10.1007@978 981 13 7123 3

Lecture Notes in Electrical Engineering 550
Songlin Sun
Meixia Fu
Lexi Xu Editors
Signal and Information

Processing, Networking
and Computers
Proceedings of the 5th International
Conference on Signal and Information
Processing, Networking and Computers
(ICSINC)
Lecture Notes in Electrical Engineering
Volume 550
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Songlin Sun Meixia Fu
• •
Lexi Xu
Editors
Signal and Information

Processing, Networking
and Computers
Proceedings of the 5th International
Conference on Signal and Information
Processing, Networking and Computers
(ICSINC)
123
Editors
Songlin Sun Meixia Fu
Beijing University of Posts Beijing University of Posts
and Telecommunications and Telecommunications
Beijing, China Beijing, China
Lexi Xu
China Unicom
Beijing, China
ISSN 1876-1100 ISSN 1876-1119 (electronic)

Lecture Notes in Electrical Engineering
ISBN 978-981-13-7122-6 ISBN 978-981-13-7123-3 (eBook)
https://doi.org/10.1007/978-981-13-7123-3
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Preface
The 5th International Conference on Signal and Information Processing, Network

and Computers (ICSINC 2018 Fall) provided a forum for researchers, engineers,
and industry experts to discuss recent development, new ideas, and breakthrough in
signal and information processing schemes, computer theory, space technologies,
big data, and so on.
We were honored to have the keynote speakers invited to present their out-
standing achievements and understanding on the following topics: Space
Technology, Accurate Medical Diagnosis and Treatment Guided by Augmented
Reality, Publishing with Springer.
ICSINC 2018 Fall received 152 papers submitted by authors, 72 papers were
accepted, and finally, 71 papers were included in the final conference proceedings.
The accepted papers were presented and discussed in 6 regular technical session
and 2 workshops.
On behalf of the ICSINC 2018 committee, we would like to express our sincere
appreciation to the TPC members and reviewers for their tremendous efforts.
Especially, we appreciate all the sponsors for their generous support and advice,
including Springer, Beijing University of Posts and Telecommunications, China
Unicom, and HuaCeXinTong. Finally, we would also like to thank all the authors
and participants for their excellent work and cooperation.
Songlin Sun
Yue Wang
ICSINC 2018 General Co-chairs
v
Organization
Committee Members
International Steering Committee
Songlin Sun Beijing University of Posts

and Telecommunications, China
Takeo Fujii The University of Electro-Communications,
Japan
Ju Liu Shandong University, China
Chenwei Wang DOCOMO Innovations (DoCoMo USA Labs),
USA
General Co-chairs
Songlin Sun Beijing University of Posts

Yue Wang China Academy of Space Technology, China
Technical Program Committee Chairs
Xinzhou Cheng China Unicom Network Technology

Research Institute, China
General Secretary
Meixia Fu Beijing University of Posts

vii
viii Organization
Sponsors
Springer
Beijing University of Posts and Telecommunications
China Unicom
HuaCeXinTong
Contents
Computer Theory and Algorithms Optimization

LP-HMM: Location Preference-Based Hidden Markov Model . . . . . . . . 3
Jianhua Huang, Feixia Wu, Weiqiang Meng, and Jian Yao
Design and Performance Evaluation of On-Board Computer
Network Protocol Stack Based on Spacecraft Operating System . . . . . . 13
Lei Qiao, Bo Liu, Hongjin Liu, Hua Yang, Jian Xu, and Shufen Liu
Overview of Face Recognition Methods . . . . . . . . . . . . . . . . . . . . . . . . . 22
Lingfeng Fang, Meixia Fu, Songlin Sun, and Qianhan Ran
HAR-Net: Fusing Deep Representation and Hand-Crafted
Features for Human Activity Recognition . . . . . . . . . . . . . . . . . . . . . . . 32
Mingtao Dong, Jindong Han, Yuan He, and Xiaojun Jing
Private-Preserving Analysis of Network Traffic . . . . . . . . . . . . . . . . . . . 41
Yang Tang and Yan Ma
Design of Fault Diagnosis System for Balise Cable Based
on Machine Learning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49
Xiaoyi Cui and Jingyang Lv
Design and Implementation of ARQ Mechanism in High-Speed
Data Acquisition System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54
Xiao Li and Jingyang Lv
Application of Hilbert Huang Transform in Car
Signal Demodulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61
Hongrui Xie and Jingyang Lv
Human Action Recognition: A Survey . . . . . . . . . . . . . . . . . . . . . . . . . . 69
Meixia Fu, Na Chen, Zhongjie Huang, Kaili Ni, Yuhao Liu, Songlin Sun,
and Xiaomei Ma
ix
x Contents
Genetic Algorithm for Base Station ON/OFF Optimization

with Fast Coverage Estimation and Probability Scaling
for Green Communications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78
Yebing Ren, Wei Liu, Jiangbo Dong, Haobin Wang, Yaxi Liu,
and Huangfu Wei
Satellites and Remote Sensing

Inter-layer Link Design for Resource-Constrained Double-Layered
Satellite Network . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91
Hongcheng Yan, Rui Zhang, Yahang Zhang, Luming Li, and Jiaxiang Niu
Safety Design for Customer Furniture Instrument in Satellite . . . . . . . . 100
Tian Tan, Chunping Zeng, Xiaodong Jia, Jian Shi, and Guoqiang Jiang
Dynamic Path Planning Algorithm Based on an Optimization Model . . . 105
Jingjing Zhang, Hongning Hu, and Yuting Wan
Research on Autonomous Health Management and Reconstruction
Technology of Satellite . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115
Liuqing Yang, Xiaojuan Li, Chengyu Feng, Zhelei Sun, and Tao Zhang
The Design and Implementation of Digital Satellite Simulator . . . . . . . . 124
Dong Han, Wen-gao Lu, Lei Song, Shao-po Zhang, and Ru Gao
Research on Target Recognition Technology of Satellite Remote
Sensing Image Based on Neural Network . . . . . . . . . . . . . . . . . . . . . . . . 131
Qiang Zhang, Xiaonan Wang, Hexiang Tian, Yanan You, and Peng Kong
Research and Implementation of Automatic Test Technology
for Power Modules in Aerospace . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 139
Haibo Li, Qing Chen, Yan Li, and Chenlei Cao
Design and Implementation of User-Oriented On-Board Mission
Management System for Remote Sensing Satellite . . . . . . . . . . . . . . . . . 146
Li Pan, Yong Lei, Yu Jiang, Wenping Wang, and Yiming Liu
Extraction of Salient Region Based on Visual Perception . . . . . . . . . . . . 154
Yongchang Li, Pengluo Lu, Cheng Cheng, Jianing Hao, Li Liu,
and Jun Zhu
Thermal Design to Meet Stringent Temperature Gradient/Stability
Requirements of Space Camera’s Tube . . . . . . . . . . . . . . . . . . . . . . . . . 164
Yifan Li, Yelong Tong, Tengfei Sun, and Lei Yu
Application Design of Virtual Assembly Simulation Technology
for Installing Cables on Biaxial Drive Mechanism . . . . . . . . . . . . . . . . . 173
Chunsheng Yang, Yufeng Huang, Yi Lu, Feng Xue, Zhenyue Ren,
and Guoyu Liu
Contents xi
Data Analysis and Research Based on Satellite Micro-vibration

Disturbance Test . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 180
Yang Gao, Qiang Wang, Fei-hu Liu, Lu Cao, and Wei Cheng
Spacecraft Automation Test Procedure and System Design . . . . . . . . . . 188
Yongcong He, Feng Yang, Liang Ren, and Chao Cheng
Analysis of Wave Propagation in Functionally Graded Material
Annular Sector Plates Using Curved-Boundary Legendre
Spectral Finite Elements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 195
Teng Wang
Research on Design of Quality Management Module
in Spacecraft Assembly MES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 204
Qiang Wang
The Design and Implementation of Secure Cloud Desktop System . . . . . 212
Huifang Pan, Yi Yuan, Wenlong Song, and Zhou An
Research on Satellite Power Subsystem Anomaly Detection
Technology Based on Health Baseline . . . . . . . . . . . . . . . . . . . . . . . . . . 219
Lei Zhang, Zhidong Li, Bo Sun, and Shuai Zhang
Lifetime Prediction Method of Components Based on Failure Physics . . . 227
Li Liu, Zhimin Ding, Nan Fang, Chao Duan, Nan Li, Qianqian Lv,
and Miao Zhang
Spacecraft Technology and Application

Fault Tolerant Method for Spacecraft Bus Based on Virtual Memory . . . 241
Ning Zhao and Wei E.
The Design of Interactive Framework for Space-Exploration
Robotic Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 249
Wei Shi, Shengyi Jin, Yang Zhang, Xiangjin Deng, Yanhong Zheng,
Meng Yao, and Zhihui Zhao
Research and Design of Hierarchical FDIR in Spacecraft . . . . . . . . . . . 260
Xiaodong Jia, Chunping Zeng, and Yufu Cui
Research on Spacecraft Network Protocol Based on Space Packet . . . . . 268
Wei E., Zhengwen He, and Ning Zhao
Research on Instrument Requirements and Configuration for High
Resolution Infrared Observations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 276
Qianying Wang, Fan Mo, and Quan Jing
A Method for Solving Generalized Implicit Factorization Problem . . . . 284
Zhelei Sun, Tianwei Zhang, Xiaoxia Zheng, Liuqing Yang,
and Liqiang Peng
xii Contents
OCV-Ah Integration SOC Estimation of Space Li-Ion Battery . . . . . . . 291

Dawei Fu, Lin Hu, Xiaojun Han, Shijie Chen, Zhong Ren,
and Hongyu Yang
Analysis and Experimental Study on Influence Factors of Spacecraft
Power Cable Temperature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 300
Bingxin Zhao, Lequn Wu, Chenhua Zhang, Shijie Chen, and Yi Yang
Spacecraft System Autonomous Health Management Design . . . . . . . . . 310
Yong Lei, Quanyou Qu, Deyin Liang, Yilan Mao, and Xi Chen
Design and Simulation Verification of Ground Charge Equipment
for Li-Ion Battery Pack . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 317
Lin Hu, Dawei Fu, Hongyu Yang, Shuo Feng, Jianbo Du, Jinchen Zhao,
and Chengzhi Lu
Motion Control of Robot Mobile Platform Based on Indoor
Positioning System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 326
Zhiguang Jiang and Lijian Zhang
A Process Method and Simulation Analysis of Spacecraft Wing
Root Cable Fixing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 336
Kai Xu, Lijian Zhang, and Hao Li
Study on 3D Cable Network Design Method . . . . . . . . . . . . . . . . . . . . . 343
Yi Yuan, Wei Yu, Xiaoyi Ru, Zhou An, Qi Miao, Xuhua Hu,
and Zhenpeng Ding
A Similarity Approach for Thermal Distortion Measurement
of Large Spacecraft Structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 352
Hongtao Gao, Haitao Shi, Xiaofeng Zhang, and Lu Ren
Design Technology of Accelerated Life Test Based on the Load
Spectrum Compilation and D-efficiency . . . . . . . . . . . . . . . . . . . . . . . . . 360
Jixia Xia, Xiaokai Huang, Gang Sun, and Fangyong Li
Realization of Interconnecting Application of Non-secret-related
Network and Secret-Related Network Based on Unidirectional
Optical Shutter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 371
Qi Miao, Xiaoyi Ru, Jiang Bian, and Zhou An
Application of Ion Beam Etching Technology in Spacecraft
Encoder Lithography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 380
Suran Qin, Na Zhao, Ronghui Jiao, Chunying Zhu, Jiang Liu, Jianmin Shi,
and Hanchao Fan
Validation Technology in Super Power Supply System Design
of Telecommunication Satellite . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 391
Ronghui Jiao, Suran Qin, Lili Yuan, Ding Song, Lei Yun, and Jianwu Zhao
Contents xiii
Research on Application Method of 3D Digital Simulation

Technology in Spacecraft Assembly . . . . . . . . . . . . . . . . . . . . . . . . . . . . 400
Boyin Zhang, Qiang Wang, Xingyan Wang, and Yin Liang
Big Data Workshop

Network Traffic Prediction Based on LSTM Networks
with Genetic Algorithm . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 411
Juan Chen, Huanlai Xing, Hai Yang, and Lexi Xu
On Multicast-Oriented Virtual Network Function Placement:
A Modified Genetic Algorithm . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 420
Xinhan Wang, Huanlai Xing, and Hai Yang
PM2.5 Concentration Forecast Based on Hierarchical
Sparse Representation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 429
Rui Zhao, Bingjian Lu, Zhenyu Lu, Hengde Zhang, and Tianming Zhan
Intelligent User Profile Prediction in Radio Access Network . . . . . . . . . 437
Yaxing Qiu, Xidong Wang, Fengjun Wang, and Sen Bian
Realization of the National QPF Master Blender:
A Big Data Approach . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 446
Jian Tang, Kan Dai, Zhiping Zong, Yong Cao, Couhua Liu,
Song Gao, and Chao Yu
Artificial Intelligence Research on Visibility Forecast . . . . . . . . . . . . . . . 455
Chao Xie and Xuekuan Ma
Multi-model Ensemble Forecast System for Surface-Layer
PM2.5 Concentration in China . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 462
Tianhang Zhang, Hengde Zhang, Bihui Zhang, Xiaoqin Rao,
Linchang An, Mengyao Lv, and Ran Xu
Research on Natural Language Processing and Aspose Technology
in the Automatic Generation of Ocean Weather Public Report . . . . . . . 471
Xinping Bai, Zhongliang Lv, and Hui Wang
4G Video Service Stalling Perception Evaluation
and Optimization Based on Big Data . . . . . . . . . . . . . . . . . . . . . . . . . . . 479
Jinsong Yin, Heng Wei, and Hui Zhu
Application of the Bayesian Processor of Ensemble
to the Combination and Calibration of Ensemble Forecasts . . . . . . . . . . 487
Yi Wang, Xiaomei Zhang, and Zoltan Toth
Initial Analysis of the Cell Selection Progress in SA of 5G NR . . . . . . . 495
Zetao Xu, Yang Zhang, Ao Shen, Bao Guo, Yuehua Han, and Yi Liu
xiv Contents
NB-IoT Network and Service Collaborative Optimization . . . . . . . . . . . 505

Pengcheng Liu, Bao Guo, Yang Zhang, Yuehua Han, Yi Liu,
and Guozhi Wang
A Gender and Age Prediction Algorithm Using Big Data Analytic
Based on Mobile APPs Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . 516
Jie Gao, Tao Zhang, Jian Guan, Lexi Xu, and Xinzhou Cheng
Medium-Extended-Range Weather Forecast Based on Big
Data Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 525
Yong Li, Wei Huang, Zhengguang Hu, Huafeng Qin, and Menglei Xu
Application Research of Big Data in Heavy Rainfall Forecast Model
in Meiyu Season . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 534
Shan Yin, Jie Ma, Ronghua Jin, and Ningfang Zhou
Predictability of an Extreme Rainfall Event in North China . . . . . . . . . 542
Jie Ma, Shan Yin, Lijun Jin, and Ronghua Jin
Research on Visibility Forecast Based on LSTM Neural Network . . . . . 551
Yuliang Dai, Zhenyu Lu, Hengde Zhang, and Tianming Zhan
Application of Artificial Intelligence on the Image Identification
of Icing Weather Phenomena . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 559
Xiaoyu Huang, Chengzhi Ye, Ronghui Cai, Yao Zhang, Lianye Liu,
and Chenghao Fu
The Realization Path of Network Security Technology Under Big
Data and Cloud Computing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 570
Nan Kang, Xuesong Zhang, Xinzhou Cheng, Bingyi Fang, and Hong Jiang
Rate Control in HEVC: A Survey . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 578
Jiaqi Zou and Bingyi Li
Screen Content Coding: A Survey . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 584
Bingyi Li and Jiaqi Zou
Intelligent Fitness Trainer System Based on Human Pose Estimation . . . 593
Jiaqi Zou, Bingyi Li, Luyao Wang, Yue Li, Xiangyuan Li, Rongjia Lei,
and Songlin Sun
The Overview of Multi-person Pose Estimation Method . . . . . . . . . . . . 600
Bingyi Li, Jiaqi Zou, Luyao Wang, Xiangyuan Li, Yue Li, Rongjia Lei,
and Songlin Sun
A Network Information Data Protection Scheme
Based on Superposition Encryption . . . . . . . . . . . . . . . . . . . . . . . . . . . . 608
Liu Zhe
Author Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 617
Computer Theory and Algorithms
Optimization
LP-HMM: Location Preference-Based
Hidden Markov Model
Jianhua Huang1(&), Feixia Wu1, Weiqiang Meng1, and Jian Yao2

1
East China University of Science and Technology, Shanghai 200237, China
jhhuang@ecust.edu.cn
2
China United Network Communications Limited, Shanghai Branch,
No. 1033 Changning Road, Changning District, 200050 Shanghai, China
Abstract. Lots of mobility data have been generated with the emergence of
smart devices and location-based services. The prediction of user mobility has
become a key factor driving the rapid development of many location applica-
tions. Location prediction has attracted more and more attention in various fields,
and many location prediction algorithms have been proposed. The data currently
used for researches has many problems such as data noise and redundancy. Many
researches directly used raw data and did not consider spatiotemporal charac-
teristics of historical data enough, which leads to low prediction accuracy. This
paper proposes a point-of-interest discovering algorithm, which fully considers
spatiotemporal characteristics of data. By combining the location preference of
users for location with the Hidden Markov Model (HMM), we propose LP-HMM
(Location Preference-based Hidden Markov Model), a location prediction model
based on location preference and HMM. The proposed model is compared with
other location prediction models driven by the massive and real mobile dataset
Geolife. The experiment results show that the prediction accuracy of the pro-
posed model can achieve 6.4% and 7% higher than Gaussian Mixture Model
(GMM) and traditional HMM respectively.
Keywords: Hidden Markov Model Location preference Location prediction
1 Introduction
With the rapid development of society informatization and mobile communication

technology, human communication behaviors have been changed greatly and there is a
large amount of mobility data that can be used to analyze various aspects of human
behavior. Many services based on location require a precise location of users, so
predicting user behaviors becomes a key factor for a wide range of applications based
on geographic information, like accurate advertising, early warning systems [1].
Existing studies have found that it is very important to extract location information
from mobile phone GPS data for studying human mobility patterns [2, 3]. GPS devices
with less energy consumption collect location information passively, which has the
characteristics of wider coverage and finer time granularity [4]. Compared with CDR
data and smart traffic card data, GPS data has the characteristics of dense distribution
and can reflect user mobility accurately. CDR data records the ID of the connected

S. Sun et al. (Eds.): ICSINC 2018, LNEE 550, pp. 3–12, 2019.
https://doi.org/10.1007/978-981-13-7123-3_1
4 J. Huang et al.
cellular tower only when a mobile phone event occurs, resulting in the data to be sparse
in time and space. The coverage of smart traffic card data is small and the data can be
applied in specific scenarios merely. The shortcomings in smart traffic card data limit
its application in the research of moving object mobility patterns.
Studies of human mobility patterns show that the human moving trajectories have
high temporal and spatial regularity, so the potential visited location can be predicted by
human historical trajectory data. In order to exploit the common regularity of human
movement and build the prediction model of potential visited location, many scholars
have done some researches on human mobility pattern and location prediction in recent
years. The common location prediction algorithms include Bayesian Model, Neural
Network, Markov Model, Hidden Markov Model and Pattern Matching algorithm.
Hidden Markov Model (HMM) can reflect the random process of user movement well and
is suitable for short historical sequences. This paper proposes a prediction algorithm based
on HMM and moving object location preference which considers time characteristics of
historical trajectory data. We use a spatiotemporal threshold algorithm to transform tra-
jectory data into a series of user stay points and a POI Discovering algorithm to solve the
problem of low accuracy caused by long historical trajectory sequence.
2 Related Work
2.1 Points of Interest (POI)

Researchers have proposed many algorithms for extracting user stay points and points
of interest [5, 6]. In [7], the algorithm for extracting stay points only consider the
spatial factor, resulting in the travel sequence extracted from trajectory data containing
many useless points. Literature [8] proposes a stay points extraction algorithm based on
time and space, which can be better on extracting stay points and reflect user mobility
more accurately. In [9], the k-means cluster algorithm is used to extract points of
interest, but the algorithm needs to know the number of clusters in advance. In view of
the shortcomings of the k-means cluster algorithm, in [10], the DBSCAN cluster
algorithm is used to original trajectories. The original trajectories have a large amount
of data which is disorderly. The efficiency of clustering is very low when the data is not
preprocessed. Literature [11] uses the DBSCAN algorithm to cluster the user trajectory
sequences based on the extraction of stay points and obtain trajectory sequences that
are both concise and can truly reflect the user’s moving location.
2.2 Location Prediction Algorithms

There are many prediction models of user location such as linear regression models,
neural network models, probability models, frequent trajectory models. The linear
regression models, which assume that the trajectories of a moving object follow the rule
of linear movement, are not suitable for complex real datasets [12]. With the devel-
opment of artificial intelligence and neural network, neural network-based location
prediction algorithms [13, 14] are also continuously applied to predict potential loca-
tion. The training process of neural network-based algorithms requires a large amount
of data. Probabilistic models can well describe the stochastic process of moving
objects. Therefore, a large number of probabilistic models are proposed to predict
LP-HMM: Location Preference-Based Hidden Markov Model 5
user’s prediction location. Literature [15] proposes the model of personal mobility data
by using Markov model. The paper compares the efficiency and accuracy on different
orders of Markov model. In [16], a hybrid Markov model that combines the user’s
location preference is proposed, the paper also consider to use the moving object data
with similar trajectories for prediction when the user’s prediction sequence never
appears in historical trajectory data. In [17], two prediction models based on HMM are
proposed. One is the “temporal and spatial prediction” model which is used to predict
regular moving trajectories and the other is the “next location” prediction model which
is suitable for limited trajectory points.
3 User Mobility Modeling Based on HMM
This section gives the methods and steps for modeling user mobility based on HMM
for addressing the problem of datasets and the low accuracy of prediction models.
3.1 Data Description

A trajectory is generated when a user moves from a location (loc1) to another location
(loc2). The trajectory is composed of a series of time-stamped latitude and longitude
data represented by Traj ¼ l0 ; l1 ; . . .; lk , li ¼ ðxi ; yi ; ti Þ ði ¼ 0; 1; . . .; kÞ. (xi, yi) corre-
sponds to the latitude and longitude coordinates of trajectory point i. The location
device starts to record the user’s locations at the time stamp t.
3.2 Extracting Stay Points

After visualizing the original trajectory dataset of the moving object, it is found that
trajectories are not discrete but very dense, because the moving object tends to stay in a
certain place for a period of time. The GPS device can record a large amount of
redundant data when the moving object stays at a location. This paper proposes a
spatiotemporal threshold stay point extraction algorithm to solve the problem.
The key of the spatiotemporal threshold stay point extraction algorithm is that the
spatiotemporal property of stay points M (xi, yi, ti) and N (xi+1, yi+1, ti+1) satisfies some
conditions, where (xi, yi) indicate the latitude and longitude coordinates, and ti is
timestamp. When the trajectory points M and N satisfy the two conditions of Eqs. (1)
and (2), M and N are considered to belong to the same stay area. The location of stay
points is represented by the average latitude and longitude ðx; yÞ of all trajectory points
in this area, where Dr in Eq. (1) represents the distance threshold and Tr in Eq. (2)
represents the time threshold.
qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
ðxi þ 1 xi Þ2 þ ðyi þ 1 yi Þ2 Dr ð1Þ
qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
ðti þ 1 ti Þ2 Tr ð2Þ
6 J. Huang et al.
3.3 Extracting Points of Interest

Stay points do not reflect the locations of interest to users. Points of Interest (POI) are
usually acquired based on stay points where the number of the stay points exceeds
certain frequency threshold, so the distribution density of points of interest is higher than
the density of other areas. This paper uses the DBSCAN algorithm to extract users’ POI.
The algorithm description for extracting users’ POI is shown in Algorithm 1. First, the
parameter radius Eps and the minimum number of stay points Minpts of the algorithm
are set, and the sequences of stay points of each user are used as an input of the
algorithm. Each user’s POI is extracted by clustering stay points based on DBSCAN.
DBSCAN uses the Haversine formula as the stay points distance metric formula. The
outputs of the algorithm are the clusters to which all stay points belong. The POI dis-
covering algorithm uses the cluster results of the DBSCAN algorithm to identify the
limited points of interest of users, when continuous stay points belong to the same
cluster, we convert them to a point of interest which is used to users’ final sequence of
points of interest.
3.4 Prediction Model Based on HMM

The Markov model can be used to describe a user’s movement process since the user’s
moving trajectories are composed of a series of sequential location points. The Hidden
Markov Model (HMM) is developed based on the Markov model. HMM can solve the
problem with hidden variables compared with the Markov model. It is suitable for the
spatiotemporal sequences generated by the Markov process with unobservable states.
Therefore, this paper uses HMM for location prediction.
Based on the historical trajectory data, HMM firstly uses the Baum-Welch algorithm
to calculate the HMM parameter k, where k is the set of {A, B, p} which are the
transmission probability matrix, the transition probability matrix and the initial proba-
bility matrix of the model. According to the iterative training, the transition probability
is obtained between two different locations. The probability of a given POI sequence
visited any location can be obtained according to Eq. (3). In a word, according to the
given the first k–1 locations where the user has visited, the corresponding predicted
result is the one with the highest probability of the locations.
Ym
PðO; SjkÞ ¼ ps1 bs1 ðo1 Þ i¼2
asi 1 ; si bsi ðoi Þ ð3Þ
In Eq. (3), psi indicates the initial probability of hidden state si, bsi ðoi Þ indicates
transmission probability from hidden state si to output state oi, and asi1 ;si indicates the
transition probability from hidden state si–1 to hidden state si.
3.5 Modeling Personal Mobility Preferences Based on Temporal

Characteristics
The frequency of user access to a location at different moments is different. For
example, it is more likely to leave home in the morning to go to the company, while it
is less likely to leave home at night to go to the company. This paper analyzes the user
different probabilities between different visited locations based on the historical tra-
jectory data. POIA ! POIB represents the moving process from the current point of
interest A to the next point of interest B. Nt ðPOIA ! POIB Þ is the number of trajec-
tories that the user moves from point A to point B at time t, Nt ðPOIA Þ indicates the
number of trajectories where the user starts at point A at time t. We define a time-based
personal mobility preference algorithm, in which mobility preference probability
Ppref ðPOIA ! POIB Þ is shown in Eq. (4).
Nt ðPOIA ! POIB Þ
Ppref ðPOIA ! POIB Þ ¼ ð4Þ
Nt ðPOIA Þ
3.6 Modeling Based on HMM and Location Preference

The traditional HMM only considers the spatial continuity of a user’s historical tra-
jectory data, but does not consider the difference in the transition probability between
the trajectory points of the user in different contexts at different moments. Therefore,
8 J. Huang et al.
this paper proposes Location Preference-based Hidden Markov Model (LP-HMM), the
prediction algorithm which combines the traditional HMM model and time-based
location preference model. The probability of the LP-HMM algorithm is calculated
by Eq. (5).
PðPOIA ! POIB Þ ¼ b1 PðO; SjkÞ þ b2 Ppref ð5Þ
Where parameters b1 and b2 are the weights of the two generation probabilities,
b1 þ b2 ¼ 1, PðO; SjkÞ represents the probability of generating visited sequence, and
Ppref represents the time-based location preference probability.
4 Experiment
4.1 Dataset
This paper uses the public GPS dataset Geolife, which is composed of 182 users’ GPS
trajectory data collected by Microsoft Research Asia from 2008 to 2012. In the Geolife
dataset, a GPS trajectory is represented by a series of time-stamped points, each of
which contains latitude and longitude coordinates and timestamp. The complete dataset
contains 18,670 trajectories, making it an ideal choice for validating location prediction
methods. It can be seen from Fig. 1(a) that the distribution of user trajectory number is
very uneven, and the number of users with more than 100,000 trajectory points is the
most. Therefore, the dataset can be used to analyze the user’s mobility. We need to
select the users we need from all the users. In Fig. 1(b), it can be seen that the number
of users with a daily average of more than 2000 trajectory points is the most.
The distribution of user trajectory point The trajectory of user per day
>100 60
90-100
the number of trajectory point(10 3 )
80-90 50
70-80
40
60-70
users
50-60 30
40-50
30-40 20
20-30
10-20 10
1-10
0-1 0
<1 1-5 5-10 10-15 15-20 >20
0 20 40 60 The number of trajectory per day(101)
The number of users
(a) The distribution of user trajectory point (b) The trajectory of user per day
Fig. 1. The distribution of Geolife dataset

4.2 Data Preprocessing

Data preprocessing includes detecting stay points and extracting points of interest
based on users’ stay points. Firstly, we define a stay area as the area where a user stays
within a radius of 200 m for more than 15 min. In this paper, the mean values of the
latitude and longitude of all the trajectory points in a stay area is used to indicate the
location of stay points. Using the proposed stay point algorithm, it can be seen that the
number of trajectory points after extracting stay points is significantly less than the
number of the original trajectory points, the distribution of the user stay points is more
uniform, which improves the clustering efficiency of the clustering algorithm.
After extracting stay points from the original trajectories, the POI discovering algo-
rithm is used to extract users’ points of interest, and then the clustering results of users are
analyzed by using different Eps and Minpts. The Eps and Minpts values of this experiment
represent the clustering radius and the minimum number of points in a certain cluster
respectively. Figure 2a shows the effect of different Minpts values (3, 4, 5) on the clus-
tering results under the condition where parameter Eps is 300 m. Figure 2b shows the
effect of different Eps values (100,200,300) on the clustering results under the condition
that Minpts is 4. We find that the clustering effect is not the same under different Minpts
and Eps. According to the different parameter clustering, we compare the distribution of
user trajectories. In order to satisfy the experiment demand, we choose the condition
where the Eps is 200 m and the Minpts is 4. Under the specific parameter condition, in the
experiment we choose the users whose number of trajectories is more than 80. Finally, we
select the trajectory data of 16 users from the dataset to verify whether the model is more
effective. Table 1 gives the specific situation of top 20 users’ trajectory distribution.
300_3 300_4 300_5

100_4 200_4 300_4 70
70
60
The number of users
60
The number of users
50
50
40
40
30
30
20
20
10 10
0 0
1 2 3 4 5 6 7 8 9 10 11 12 0 1 2 3 4 5 6 7 8 9 10 >10
The number of cluster labels
The number of cluster labels
(a) The result in different Eps and same Minpts (b) The result in different Minpts and same Eps
Fig. 2. The cluster distribution of user trajectories in different Eps and Minpts
10 J. Huang et al.
Table 1. The distribution of top 20 users’ trajectory

User Numbers User Numbers User Numbers User Numbers
000 99 002 102 003 212 004 241
014 96 017 188 022 103 025 77
030 183 039 143 041 121 068 214
084 73 085 116 126 78 128 174
144 72 153 393 163 126 167 145
4.3 Location Prediction

Before the experiment, the dataset of 16 objects was divided into two separate parts.
One part is used as training set for training model parameters and the other is used as
test set for verifying the validity of the model. By removing the last location in each
verification trajectory, the experiment generates a prediction of the next location to be
accessed, and then compares the next location predicted by the model with the actual
location accessed by the given user. In this paper, the accuracy rate is used as a criterion
to measure the quality of model. It refers to the ratio of the prediction results that are
consistent with the actual location to the total prediction samples. The calculation
method is shown in Eq. (6), where TP denotes the number of predicted locations that
are consistent with the actual locations, TP + FP indicates the total number of
predictions.
TP
Accuracy Rate ¼ ð6Þ
TP þ FP
A multi-fold cross-validation prediction experiment is carried out on the users and the
experiment results are compared with the traditional HMM and GMM. The location
sequences are used in different prediction models. It can be seen from Fig. 3 that the
prediction accuracy of the hidden Markov model considering time factor is higher than
the traditional HMM and GMM. The factors that determine the location prediction
includes the space and time context. The proposed LP-HMM model considers the time
and space characteristics of the location information at the same time, while the HMM
and GMM only consider the conversion probability between the spatial locations,
which is equivalent to only utilizing the spatial characteristics of historical information.
LP-HMM improves the accuracy of prediction compared with HMM and GMM. When
the number of cluster labels exceeds a certain value, the accuracy of model prediction
decreases slightly, and GMM shows the superiority of prediction when the trajectory
sequences are longer. By analyzing the accuracy of the selected 20 users, it was found
that the increased accuracy predicted by the LP-HMM model can achieve 6.4% and
7%, respectively, compared to GMM and HMM.
HMM GMM LP-HMM
0.8
0.78
Accuracy 0.76
0.74
0.72
0.7
0.68
0.66
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16
User
Fig. 3. The comparison of different models
5 Conclusion
In this paper, we propose a method to discover POI sequences of moving objects using
GPS data. We use the POI sequences to build a model to predict the potential visited
locations of users, aiming at improving the prediction accuracy based on the HMM
prediction algorithm by considering the spatiotemporal characteristics of real datasets.
We represent a spatiotemporal threshold stay point extraction algorithm to extract stay
points. The algorithm mainly processes GPS points according to two thresholds: time
and distance. A POI discovering algorithm based on DBSCAN is proposed to obtain
the user’s POI and the sequence data which is favorable to the prediction model.
Finally, a prediction model LP-HMM combining HMM with temporal location pref-
erence is proposed based on HMM. Under the driving of the Geolife dataset, the
proposed model is compared with HMM and GMM to verify the validity of the model.
The results show that the prediction accuracy of the model is higher than that of HMM
and GMM.
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(2017)
Design and Performance Evaluation
of On-Board Computer Network Protocol
Stack Based on Spacecraft Operating System
Lei Qiao, Bo Liu(&), Hongjin Liu, Hua Yang, Jian Xu,

and Shufen Liu
Beijing Institute of Control Engineering, Beijing 100190, China

fly2moon@aliyun.com
Abstract. The spacecraft network protocol is the critical platform for the future
spacecraft cooperative mission. Especially at the level of operating system, it has
to support the network function to provide agile and reliable data transmission.
This paper proposes a new network protocol stack architecture based on the
Berkeley BSD’s TCP/IP network protocol stack of a practical spacecraft oper-
ating system. A thin glue layer is inserted between the operating system and the
protocol, and the performance testing results running on one real on-board
SPARC hardware platform shows that the highest IP layer throughout of
24.7Mbps can be obtained. This architecture has been used in some practical
spacecraft of China which has been proved to have high value of engineering.
Keywords: Spacecraft Network protocol Operating system

Performance test
1 Introduction
At present, most of the computers in the on-orbit spacecraft are interconnected directly
by buses [1]; however, network applications communicating through protocol has just
come out in the field of China’s spacecraft [2, 3] such as the third phase manned craft,
the space station and the third phase lunar exploration. In these projects, the connec-
tions between various computer systems are getting closer, and tasks to be conducted
are becoming more complicated. Thus traditional communication methods using buses
to connect various computers are no longer up to the standard for applications to work
well because of the low latency and transmission rate. Therefore, it is imperative
to utilize the network to realize the communication between various computer systems
[4, 5] to improve the performance.
Communication between the internal spacecraft computer systems have two main
types of data packets [6, 7]. One is the control data packets for transmitting control
commands between various modules, the other one is the ordinary data packets. On the
spacecraft, control packets are composed of a large number of small size packets.
Control packets are mainly control signals transmitting to another module which
requires high real-time data transmission, but the data should also be kept accurate and
integrated during transmission.

https://doi.org/10.1007/978-981-13-7123-3_2
14 L. Qiao et al.
Furthermore, traditional communication among computers on the spacecraft

depends on the direct data transmission based on bus drivers such as the 1553B bus
drivers by reading or writing data without operating system support. This mode cannot
only guarantee the reliability of transmission but also provide a good programming
interface for applications. Designing a dedicated specific network protocol for the
spacecraft is very necessary.
2 The Challenges of the Spacecraft Network Protocol Stack
The TCP/IP protocol [8, 9] software is the base of the network which is conceptually
divided into 4 layers. When implementing a protocol stack of an actual spacecraft
system, the details of the specific hardware interface, OS features and interfaces, buffer
management, protocols, and error handling must be taken into account and therefore
the structure of protocol software is more complicated than the conceptual structure.
Specifically, to implement the TCP/IP protocol stack on a spacecraft computer [10, 11],
especially on a practical operating system SpaceOS [12], in addition to the logic of
each protocol of the protocol stack itself, the following aspects need to be taken into
account:
2.1 Interface
Three interfaces should be covered. As for the lower level interface, in order to support
all kinds of communication devices, the protocol stack should communicate with the
END driver [13] through the MUX [14] layer which constructs a unified END driver
model. For the middle level interface, the management of network tasks, a semaphore
must provide mutual exclusion and synchronization, coupled with switch interrupt
protection of critical data as well as timed interrupts, the allocation and release of the
timers and the protocol stack’s memory pool must be realized as well. As for the high
level interface, the application must use the socket to communicate with the protocol
stack.
2.2 The Implementation of the Protocol Stack

The three-level buffer management structure of mBlk-clBlk-Cluster [15, 16] must be
applied and some software timer mechanism should be provided by using the time
wheel algorithm to guarantee the real time performance. The interface abstracted by
applying data structures such as PROTOSW which includes the function pointers
should be utilized among protocols instead of calling the function’s name directly.
2.3 The Testing, Demonstration and Verification

The architecture should provide a good interface for high level applications such as
FTP, TFTP, Telnet, Http (and Web Server). Also YAFFS (Yet Another Flash File
System) [17, 18], flash driver and other modules outside the protocol stack can use the
internal interfaces well.
Design and Performance Evaluation of On-Board Computer Network Protocol Stack 15
2.4 The Quality of Protocol

The interfaces of OS, applications, hardware driver and protocol are decoupled as much
as possible. The code should be tailored by using function pointers or applying macros
to control the initialization function. The lookup algorithms by using independent
network processing tasks, buffer queues and an efficient route should be applied to
improve performance. For the purpose of improving the reliability, the heartbeat
method should be used to monitor network tasks or reducing task status.
3 The New Design of Modular and Hierarchical Architecture

of Protocol Stack
3.1 Architecture Design

Regarding the four challenges above, the new architecture design of the TCP/IP pro-
tocol stack on SpaceOS is shown in Fig. 1: In this architecture, the logic of the TCP/IP
protocol stack is the core of the whole process, and the core of TCP/IP is IP. The
application layer utilizes the protocol stack through the Socket layer, and the protocol
stack communicates with the driver layer via the MUX layer. The entire protocol stack
uses a single network task which is called netTask to handle the reception and pro-
cessing of all data packets.
Fig. 1. The new architecture of the spacecraft protocol stack

16 L. Qiao et al.
The specific process is as follows:
Algorithm: Searching the longest match string

1. The netTask and the driver communicate via the ring work queue and semaphore;
2. According to the type field in the MAC header (the link layer) in the data packets, netTask decides
whether to put the packet into the ARP queue or the IP input queue;
3. The IP layer decides whether to call ICMP to process ICMP subtype, IGMP, or send it to the UDP
or TCP queue in line with the type field in the IP header, and determines the destination of the packet
according to the destination IP address (send to the upper layer for processing, forwarding,
discarding, and multicasting);
4. UDP (TCP) decides whether to send the packets to the corresponding Socket queue through the
port number in the UDP (TCP) header.
5. If an application layer task is waiting for receiving in the corresponding Socket queue, the
semaphore can be released, and then the application task can receive the data through the Socket
queue.
The function call is applied in the entire process, which occurs in the context of
application layer tasks. In addition to the implementation of the protocol stack, there are
four tasks contained in the application layer: TFTP, FTP, Telnet, and HTTP to implement
the four protocols and the application logic. The interface between the partial protocol
and the SpaceOS is decoupled via a unified interface file which we call it the glue layer.
The code in the protocol part only uses the functions in the file and is isolated from
SpaceOS. Application layer programs all need to use the file system without exception.
Here in this architecture the YAFFS is used, which is a POSIX-compliant filesystem
designed for use with NAND and NOR flash. It is efficient, robust and also has low
resource use on the host system. There is a thin layer of file system interface between
YAFFS and the application, which also supports the control of the protocol stack.
3.2 Operating System Support

From the architecture above we can see that the OS need to provide some mechanisms
to support the protocol stack including: network task management, semaphore mutual
exclusion and synchronization, switch interrupt protection of critical data, timed
interrupt, as well as the allocation and release of protocol stack memory pool.
Furthermore, when running a web application on OS, a message queue, time
management, some C library functions, and many others are needed to be provided.
The main design idea is modular: to implement a single interface file, this file calls the
SpaceOS function interface, all new functions only depend on this interface file, but not
allow direct calls to SpaceOS functions, and minimize the call to SpaceOS functions. In
this way, the relative independence of the new function and SpaceOS is guaranteed,
which can be easily achieved when modifying new functions, modifying SpaceOS
functions or cutting functions.
3.3 Modular Glue Layer Interface

The interfaces file above can be regarded as a thin glue layer which includes interface
functions of task management, interrupt management, message queue management,
memory management, time management, as well as timer interrupting callback (Fig. 2).
New functions of protocol
GLUE Layer
Function call
Task
Management
Interrupt Time
Management Management
Task Scheduling
Message
Queue Timer
Management Interrupt
Memory
Management
Timer interrupt callback,

Function call initialization
SpaceOS functions
Fig. 2. OS glue layer interface
4 Performance Testing Results
The purpose of the protocol performance test is to verify whether the software system
can achieve the performance index proposed by the user, find the performance bot-
tleneck in the software system.
4.1 Test Scenario

The basic test scenario is as shown in Fig. 3. The target board is based on the BM3803
[19] processor which is a SPARC [20] architecture used in the China’s spacecraft and
the main CPU frequency is set as 66 MHz. The SpaceOS operating system is used on
the target board to run the network protocol.
Target Board
Running SpaceOS+Protocol
Stack+Application,
2 Ethernet cards
Switch
Test Host1 Test Host2

Windows OS + Test Cases Windows OS + Test Cases
Sending Port Receiving Port
Fig. 3. Test scenario

18 L. Qiao et al.
4.2 The Testing Results

The following is the throughput data (unit BPS) measured at different levels of the
protocol stack at different frame lengths with each change of CACHE enabled, CPU
frequency, and instruction running in RAM/FLASH.
1. The impact of CACHE (Table 1)
Table 1. DCACHE + ICACHE on (66 MHz, in RAM, IO read: 66666650, IO write:

86956500)
Packet size MAC DRV IP UDP TCP
64 19065000 19065000 4112050 3679200 5825400
164 29960450 29960450 8924350 8224400 11038050
264 32264850 34953600 12336550 11336300 13530400
364 38133950 34956100 14981200 13531400 14464600
464 38132350 41945600 16778200 15535400 14980550
564 38146900 41961600 18244150 16139050 15541300
2. The impact of frequency (Table 2)
Table 2. D + I CACHE on (66 MHz, in RAM, IO read: 66666650, write: 6956500)

64 19065000 19065000 4112050 3679200 5825400
164 29960450 29960450 8924350 8224400 11038050
264 32264850 34953600 12336550 11336300 13530400
364 38133950 34956100 14981200 13531400 14464600
464 38132350 41945600 16778200 15535400 14980550
564 38146900 41961600 18244150 16139050 15541300
3. The impact of instructions running in RAM/FLASH (Table 3)
Table 3. DCACHE off + ICACHE off (66 MHz, in RAM, IO read: 47619000, write: 26666650)
64 6355000 5518800 934100 828900 1379700
164 10230400 8388900 1889350 1684500 2140000
264 11984050 9320950 2496650 2231050 2526750
364 13108550 9987450 2913000 2621700 2815250
464 13530800 10230600 3251550 2933250 2974850
564 13987200 10490400 3556050 3178900 3018800
4.3 The Testing Conclusion

Given that the CPU frequency is 66 M, and the program runs in RAM, the relationship
between the forwarding rate (IP routing) and the unidirectional transmission rate in
different CACHE states is shown in Table 4 (the average frame length is about 1000
bytes).
Table 4. The comparison of retransmission and one-way transmission.

The CACHE status Forwarding rate/ Unidirectional transmission rate/
(Kb/s) (Kb/s)
D-CACHE ON, I-CACHE 9165 20982
ON
D-CACHE OFF, I-CACHE 5942 11656
ON
D-CACHE ON, I-CACHE 2979 5380
OFF
D-CACHE OFF, I-CACHE 1992 4282
OFF
We can conclude that:

(1) The forwarding rate is approximately half of the rate of one-way transmission;
(2) CACHE has a relatively bigger impact on the performance of the protocol stack.
And the ICACHE has the greatest impact, which almost doubles that by the
DCACHE.
(3) The main frequency is positively proportional to the performance level; basically
when the main frequency is doubled, the throughput rate will be doubled as well;
(4) For the current target board, the most concerned bottleneck affecting the perfor-
mance of protocol lies in the network card IO.
(5) The throughput of the program running in RAM is twice as much of the rate when
running in FLASH.
(6) The throughput of long frame is significantly higher than that of short frame. Due
to the preamble, the frame interval, and the total number of frames processed, the
smaller the frame, the lower the throughput;
(7) The rate of the IP layer is not much different from that of the UDP layer, and the
TCP layer is much different.
(8) Some other important index is as follows:
– Throughput: the D + ICACHE are both turned on, and the program runs in
RAM, then the highest throughput is: IP layer 24.7 Mb/s, UDP layer
22.1 Mb/s, and TCP layer 16.8 Mb/s (Table 5).
– Frame loss rate: the frame loss rate is less than 0.5% (the average is about
0.2%–0.4%) in the critical area of the protocol stack’s throughput.
20 L. Qiao et al.
Table 5. Program running in RAM and FLASH.

CACHE status Runs on FLASH/(B/s) RAM running/(B/s)
D-CACHE ON, I-CACHE ON 23,326400 24,698500
D-CACHE OFF, I-CACHE ON 12,349250 12,723450
D-CACHE ON, I-CACHE OFF 1,999400 5,751700
D-CACHE OFF, I-CACHE OFF 1,934900 4,514750
5 Conclusion
Taking into account the characteristics of large transmission volume, small data packet
and high real-time requirements in the current control data packet, this paper proposed
a new network protocol architecture that optimizes and updates the BSD protocol and
integrates it with the frequently used spacecraft SpaceOS, so as to meet the decent real-
time control required by the data packet of complex network spacecraft, thereby
realizing the data transmission on the basis of operating system. Noticeably, the
function and performance test result has been given on a practical computer target
board, and positive results have been achieved which proves that it can satisfy the
requirements of spacecraft network applications.
Acknowledgment. This work is supported in part by grants from the National Natural Science
Foundation of China (NSFC) under Grant Nos. 61632005 and 61502031.
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Overview of Face Recognition Methods
Lingfeng Fang1,2,3(&), Meixia Fu1,2,3, Songlin Sun1,2,3,

and Qianhan Ran4
1
National Engineering Laboratory for Mobile Network Security,
Beijing University of Posts and Telecommunications, Beijing, China
fanglingfeng@bupt.edu.cn
2
Key Laboratory of Trustworthy Distributed Computing and Service (BUPT),
Ministry of Education, Beijing University of Posts and Telecommunications,
Beijing, China
3
School of Information and Communication Engineering,
Beijing University of Posts and Telecommunication, Beijing, China
4
Beijing Leimo New Media Culture and Communication Co., Ltd.,
Beijing, China
Abstract. With the continuous development of information technology, the

demand for security and safety is gradually improving. For the consideration of
security, face recognition has been studied for many decades. With the devel-
opment of information technology, face recognition is widely used in our daily
life, especially in security systems, information security, human-computer
interaction. Researches are committed to improving the recognition accuracy
and response speed of the face recognition system. The state-of-art of face
recognition has been significantly improved by the appearance of deep learning.
Although these systems perform well on large amounts of web collected facial
data, the performance and accuracy are still limited when they are applied in
actual scenarios. There is still a long way to go to improve the recognition
accuracy of face recognition system in real scenarios. This paper gives a com-
prehensive description of a series of face recognition methods. In this paper, we
introduce the definition and development of face recognition, and also indicate
main challenges in this domain. Furthermore, some classical popular methods in
the development of face recognition technology are described in detail. Finally,
the application of face recognition technology will be introduced.
Keywords: Face recognition ASM AAM PCA Eigen face

Deep learning
1 Introduction
Facial recognition is a Biometric Artificial Intelligence based application that can

uniquely identify a person by analyzing patterns based on the person’s facial textures
and shape. A facial recognition system is a technology capable of identifying or ver-
ifying a person from a video source [1]. Face recognition is a successful application of
image analysis and understanding, which is applied in many aspects, such as business,

https://doi.org/10.1007/978-981-13-7123-3_3
Overview of Face Recognition Methods 23
security, crime detection and so on. Therefore, face recognition technology is getting
more and more attention and has become a hot research field.
Face recognition is a routine task for human, but establishing a similar computer
system and constantly improving the accuracy is an ongoing research. The research on
face recognition can be traced back to 1950s. Up to now, researches have made fruitful
achievements in the research of computer-based face recognition methods. Especially
with the emergence of deep learning, face recognition technology has achieved a rapid
development. However, face recognition technology still faces many challenges, and it
is limited by the application environment. These limitations not only come from facial
expression, posture, position and size changes, as well as the effects of occlusion and
makeup, but also from the lighting, background changes. Face recognition technology
is also affected by data size and data distribution.
Face recognition techniques can basically be classified into two categories: feature
based methods and holistic methods. In feature based methods, some geometric fea-
tures like position and width of eyes, noses, and the thickness of eyebrow are extracted
to represent a face. On the contrary, in holistic approach, the whole face is taken as an
input to perform face recognition task. This paper will introduce some classical popular
face recognition methods in detail.
2 General Challenges
Although the emergence of deep learning has greatly promoted the development of face
recognition technology, face recognition technology still faces many challenges. There
is still a long way to go to improve the accuracy of the face recognition system in the
actual scenarios.
2.1 Illumination
Illumination is a long-standing problem in computer vision field, especially in face
recognition field. The shadow produced by illumination will enhance or weaken the
original facial features. If the illumination tends to vary, even the same individual is
captured by the same sensor with the same pose and expression, face recognition
system may make mistake to verify them to be different people.
2.2 Pose
Similar to the illumination problem, the pose problem is also a technical difficulty
needed to be solved in current face recognition research. Face recognition systems are
highly sensitive to pose variations. The pose problem involves facial changes caused by
head rotation in a three-dimensional vertical coordinate system. Deep rotation per-
pendicular to two directions of the image plane may cause partial loss of facial
information.
24 L. Fang et al.
2.3 Occlusion
Occlusion is a serious problem for face images acquisition in a non-cooperative situ-
ation. This problem is more obvious in the face images captured by video surveillance.
The monitoring object often wear glasses, hats and other ornaments, making the
captured face images incomplete, thus affecting the subsequent feature extraction and
recognition, and even lead to the failure of face recognition algorithm.
2.4 Age Variation

Age variation is a major problem in face recognition. Facial appearance changes with
age, especially in adolescents, which can lead to a decline in recognition. And it is
impossible to collect facial images of an individual at his different age to train the
system.
2.5 Data
Data is crucial to the performance of face recognition system. Data distribution and data
size do influence the performance of face recognition system. A research in [2] shows
that large amounts of data can improve the face recognition system’ performance. The
experimental results show that the performance of the system improves as the amounts
of data accumulates. However, too much data will have a long tail effect, and this effect
is caused by data imbalance, which means that some individuals have most facial
image instances, but some only have a little. When we continuously increase the
amount of data, the performance of the system may not increase or even be damaged.
In other words, adding the individuals with only a few facial image instances do not
help to improve the recognition performance and may harm the system’s performance.
3 Literature Review
The labeled faces in the wild home (LFW) dataset is intended to test the face recog-
nition systems’ performance and accuracy under an unconstrained environment. More
than 13000 images of faces are collected from web. Each face has been labeled with the
name of its owner. 1680 of the face images owner have two or more distinct image
instances in the dataset. It has become a standard dataset to evaluate the performance of
face recognition system. Other databases like LFPW (labeled face parts in the wild)
contains 3000 face images collected from web. The obtained images are detected by
face detection method and the positions of face in the images are obtained. Three
groups of 35 face feature points which are marked manually are also given. The
WDRef database contains 99773 images of 2995 individuals, and more than 2000
individuals have over 15 image instances in this database.
In order to push the accuracy limit on these datasets, large amounts of works have
been made. In this section, we will introduce some classic face recognition methods
which are widely used.
3.1 Active Shape Model (ASM)

Active shape models (ASM), proposed by Cootes and Taylor, have been shown to be
an effective tool to understand the configuration of the face images, as well as the
medical images [3]. ASM is an algorithm based on Point Distribution Model (PDM).
ASM is a method of building and using flexible models of image structures whose
shape can vary [4]. The principle of ASM is that the structure of images can be
represented by a series of points. These points can be points indicating the edge, the
points representing internal structure, or even external points. This means that ASM
can be used to extract the feature points of objects, and these feature points can be used
as a form of representing the characteristics of objects. ASM algorithm needs to cal-
ibrate the training set manually, getting the shape model by training, and then realize
the matching of specific objects by matching the key points.
ASM algorithm includes two parts: training and searching [5]. The ASM training
process consists of two parts: the establishment of shape models and the construction of
local features for each feature point. Establishing shape model consists of the following
five steps: collecting N training samples; manually recording K key feature points for
each training sample; constructing shape vectors for training set; normalizing the shape;
applying the principle components analysis (PCA) to the aligned shape vectors.
ASM algorithm is suitable for representing typical shapes and typical shape
changes. At present, it is a very mature algorithm. But its application scope is limited. If
it is simply used for feature points location, its performance (positioning accuracy and
efficiency) is completely acceptable.
3.2 Active Appearance Model (AAM)

Active appearance model (AAM), proposed by Cootes, Edwards and Taylor [6], is a
feature point extraction method which is widely used in the pattern recognition field.
AAM algorithm is an extension of ASM algorithm that uses all the information cov-
ering the target area rather than just the information near the boundary. The AAM
algorithm mainly consists of two stages: model establishment phase and model
matching phase. In the process of building face model based on AAM, not only local
feature information but also global shape and texture information are taken into
account. A face hybrid model, which is the final corresponding AAM model, is
established by analyzing face shape and texture features statistically. In the process of
image matching, in order to calibrate facial features quickly and accurately, an image
matching fitting method is adopted to locate the feature points of the tested facial
object. This method can be summarized as the process of “matching, comparison,
adjustment and re-matching, re-comparison”.
AAM model not only establishes the statistical shape model reflecting the shape
change, but also establishes the global gray model reflecting the global texture change
to make full use of the global texture information. The shape model and the gray model
are combined to establish the appearance model. The obtained apparent model can
accurately generate the target image with shape and texture changes by removing the
correlation between shape and texture.
26 L. Fang et al.
The main idea of AAM search method is based on the hypothesis that the difference
between the texture of the model and the region surrounded by the shape changes
linearly with the change of the parameters. The hypothesis is reasonable only in a
certain range of deviation, and its coverage is strongly dependent on the training set.
Therefore, the robustness of AAM algorithm is limited when it is used to search.
3.3 Principle Component Analysis

Principal component analysis (PCA) is a method used to analyze data in multivariate
statistical analysis. PCA transforms the original data into a representation in which each
dimension is linearly independent by linear transformation. PCA is widely used to
extract the main feature components of the data and reduce the dimension of high-
dimensional data.
The most famous application of PCA method should be feature extraction and
dimension reduction in face recognition. For instance, if a face recognition system
takes a 200 * 200 face image as its input, and the system only extracts the gray value of
this image as the original feature, then this feature will reach 40000 dimensions, which
will bring great difficulty to the later classifier. Therefore, in this case, we must reduce
the dimension of the feature. Dimension reduction, of course, means loss of infor-
mation, but data itself has some relevance. That is to say, if one variable is relevant to
another variable, which means that one of them is a redundancy, then we can remove
one variable to reduce dimension. In this way can we reduce the loss of information
while reducing the dimension.
The basis of PCA algorithm is Karhunen-Loeve method. PCA uses an orthogonal
transformation to convert a set of observations of possibly correlated variables into
a set of values of linearly uncorrelated variables called principal components [7].
Face recognition system can obtain the Eigen values, Eigen vectors and Euclidian
distance by applying the PCA algorithm. After comparing the Euclidian distance with
the Euclidian distance of each image in the database, face recognition system can
declare whether this person present in database or not.
3.4 Eigen Face

Eigen face, proposed by Turk and Pentland [8], is one of the most popular approaches
in face recognition field. Eigen face algorithm is based on principal component analysis
algorithm. The basic idea of feature-based face recognition technology is to find the
basic element of face image distribution from the statistical point of view, that is, the
eigenvector of covariance matrix of face image sample set, so as to approximate
the representation of face images. These feature vectors are called Eigen faces. Eigen
faces reflect the information contained in the face set and the structural relationship of
the faces. M Eigen faces construct an M dimensional space, and this space is called
“face space”. The projection distance of the test face image in the face space is
calculated, and if this distance is less than the threshold, face recognition system can
declare and match the unique individual in the database who own this face image.
Principle component analysis is successfully applied in Eigen face method to
perform dimensionality reduction task. In the experiment, the database contained 2500
images from 16 individuals. This system achieved approximately 96% correct classi-
fication averaged over lighting variation, 85% correct averaged orientation variation,
and 64% correct averaged over size variation [8]. The disadvantages of Eigen face
methods are that the Eigen face is sensitive to lightening conditions and position of
head, and it is time consuming to find the eigenvalues and eigenvectors.
3.5 Deep Learning Methods

With the development of computer science and the emergence of deep learning tech-
nique, performance of face recognition system improves rapidly. Recently, deep con-
volutional neural network (CNN) based methods on face recognition problem are
outperforming traditional ones with hand-crafted features and classifies [9]. Deep
learning is a cognitive learning that simulates the human visual perceptual nervous
system and can obtain more powerful high-level features. There are commonly two
steps in face recognition methods based on deep learning. First, deep convolutional
neural network is used to extract relatively higher dimension feature vectors. Then the
PCA or metric-learning method is performed to reduce the dimension of the feature
vectors extracted by CNN, and in this way, more efficient and more discriminative low
dimension feature vectors are obtained. And these vectors are used as the representation
of the faces of different identities. Normally, L2 distance is used to represent the
similarity of different faces. Through training, the appropriate threshold is determined
to distinguish whether different face images come from the same identity. That is to
say, when the L2 distance is greater than the threshold, the algorithm will judge that
these different face images come from different people, and when the L2 distance is less
than the threshold, the algorithm will judge that these different face images come from
the same individual.
The advantage of deep learning method in face recognition is that it can acquire a
kind of expression for invisible rules of face image by learning, avoiding complex
feature extraction, and is beneficial for hardware implementation. Deep learning
method takes advantage of computing system composed of graphics processor unit
(GPU) to perform big data analysis task. Under the framework of deep learning,
learning algorithm can directly learn discriminant facial features from original face
images. Supported by a large number of face data, face recognition methods based on
deep learning have far exceeded human beings in speed and accuracy. Deep learning
model helps to promote the development of artificial intelligence, and may even sur-
pass human intelligence level in the future. But the algorithm is hard to explain.
Because of the massive neurons and data, long operation time, and some parameters
need to be adjusted manually in the training process, so the suitable range is limited to a
small face database.
In 2012, Huang, Lee and Learned-Miller first applied deep learning method to face
recognition task in LFW database. They used the unsupervised feature learning method
and achieve 87% accuracy [10]. In recent years, many international projects have
successfully applied deep learning method to face recognition, such as: DeepFace [11],
DeepID [12], FaceNet [13], etc. The above algorithms are all based on massive training
data, allowing the deep learning algorithm to learn face features when keeping the
illumination, expression and angle unchanged. Among the above algorithms, FaceNet
28 L. Fang et al.
[13] achieved the highest accuracy, which has reached 99.63% on the LFW database,
and this accuracy even exceeded the ability of human eye.
Table 1. Comparisons between some face recognition methods based on deep learning
Method Performance on tasks
Pair-wise Rank- DIR (%) Verification Open-set
Accuracy (%) 1 (%) @ (%) @ Identification (%) @
FAR = 1% FAR = 0.1% Rank = 1,
FAR = 0.1%
IDL ensemble 99.77 98.03 95.8 99.41 92.09
model
IDL single model 99.68 97.60 94.12 99.11 89.08
FaceNet [13] 99.63 NA NA NA NA
DeepID3 [14] 99.53 96.0 81.40 NA NA
Face++ [2] 99.50 NA NA NA NA
Facebook [15] 98.37 82.5 61.9 NA NA
Learning from 97.73 NA NA 80.26 28.90
Scratch [16]
HighDimLBP [17] 95.17 NA NA 41.66 18.07
Table 1 shows the comparisons between some face recognition methods based on
deep learning. In this table, there are three evaluation protocols containing five tasks.
The first protocol was proposed by Huang et al. [18] and it was used to test the
recognition accuracy of 6000 face images pairs. The second protocol was proposed by
Best-Rowden et al. [19] and contained two tasks: a closed-set identification task and an
open-set identification task. The third protocol was proposed by Liao et al. [20] and
contained two tasks: a verification task and an open-set identification task.
This paper will introduce two face recognition systems based on deep learning.
Face++. The Face++ (Megvii Face Recognition System) was proposed by Zhou, Cao
and Yin [2]. The training set consists of 5 million face images collected from web. Four
regions of face images are used for feature extraction. The neural network consists of
10 layers and the last layer is a softmax layer. PCA algorithm is used to reduce the
dimension of the feature vectors extracted from the previous layers. And L2 distance is
used to represent the similarity of different face images.
After training, this system is tested on LFW, and it achieves 99.50% accuracy. Then
a new test set called Chinese ID (CHID) is collected offline and specializes on Chinese
people. Applying CHID test set to test this system in real scenarios, the true positive
rate is only 66% when keeping the false positive rate to 10 5 , and this performance
does not meet the requirement of real application.
After further research, it is found that data is crucial to the performance of the system.
Face recognition system faces three main challenges. First, unbalanced data do impact
the performance of the system. The data of the identities with only a few face image
instances do not work in a simple multi-class classification framework. Secondly, in real
test scenarios, the false positive rate of this system is quite low, but the true positive rate
is only 66%, and this performance does not meet the requirement. That is to say, very
low false positive rate can also influence the system’s performance. Finally, there are
some cross factors, such as occlusion, pose and age variation will affect the system’s
performance. These problems needed to be further investigated.
Two-Stage Approach From Baidu. Baidu has proposed a two-stage approach which
combines a deep convolutional neural network on multi-patch and deep metric learning
[9]. The same deep CNN structures are used to extract facial features centered on
different landmarks on face region. And the features extracted by each network is
simply concatenated together to form a high dimension feature. Since the high
dimensional feature is not efficient and consumes a lot of resources, so the next step is
to reduce the dimension of the feature. In this research, a metric learning supervised by
a triplet loss is used and the number of dimension is reduced to 128. The goal of metric
learning with triplet loss is to increase the L2 distance of different individuals and
shorten the L2 distance of the same individuals. After training, this system achieving
99.77% pair-wise verification accuracy on LFW.
In this research, the effect of data and multi-patch to the system’s performance are
investigated. The evaluation protocol is proposed by Huang et al. [18], that is to test the
accuracy of 6000 face pairs from LFW dataset. Table 2 shows the pair-wise error rate with
different amount of training data, and Table 3 shows the pair-wise error rate with different
number of patches. It is obvious that with the increase of the amount of training data, the
error rate of the system decreases, and with the increase of the number of patches, the error
rate of the system decreases, but somehow saturates after seven patches.
4 Application
Compared with other identification methods, face recognition has the advantages of
direct, friendly, convenient and robust. Its application field is gradually expending to
every field of daily life. On the one hand, it obviously improves work efficiency, on the
other hand, it is also secure and reliable. Its application prospect is very broad.
4.1 Payments
Face recognition has already been used in stores and ATMs, and customers can pay by
camera. That is to say, after the face recognition system confirms customers’ identities,
payment will success. This technology will be applied to online payment. Chinese
ecommerce firm Alibaba is planning to apply the face recognition system to payment
made over the Internet.
4.2 Access and Security

Instead of using passwords, mobile phone and many other mobile terminals can be
accessed via owners’ facial features. Apple, Samsung and Xiaomi Corp, have all
installed face recognition system in their products. And this is friendlier and more
convenient compare to the traditional access method, which requires users to input the
30 L. Fang et al.
Table 2. Pair-wise error rate with different amount of data

Identities Faces Error rate
1.5K 150K 3.1%
9K 450K 1.35%
18K 1.2M 0.87%
Table 3. Pair-wise error rate with different number of patches

Number of patch Error rate
1 0.87%
4 0.55%
7 0.32%
9 0.35%
password. Innovative face recognition system could be especially useful for a company
or organization. Organizations can also use face recognition system to record atten-
dance records.
4.3 Criminal Identification

Surveillance video plays a key role in case detection and criminal identification. Video
surveillance can be used to determine the suspect’s trajectory and even find his posi-
tion, which is beneficial to the detection of the case. If the monitoring system realize the
face recognition function, polices can directly lock and capture the suspects. Cameras
equipped with artificial intelligence have been widely used in the field of surveillance.
5 Conclusion
This paper introduces the definition and development of face recognition. General
challenges faced by face recognition system is discussed. And then we give description
to some classical popular face recognition methods in detail. At last, we indicate some
application fields of face recognition system. In short, even though the emergence of
deep learning greatly improves the performance of face recognition systems, this field
still needs to be further studied in order to improve the performance of face recognition
system in actual scenarios.
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HAR-Net: Fusing Deep Representation
and Hand-Crafted Features for Human
Activity Recognition
Mingtao Dong1, Jindong Han2(&), Yuan He2, and Xiaojun Jing2

1
The Second High School Attached to Beijing Normal University,
Beijing, China
2
hanjindong@bupt.edu.cn
Abstract. Wearable computing and context awareness are the focuses of study
in the field of artificial intelligence recently. One of the most appealing as well
as challenging applications is the Human Activity Recognition (HAR) utilizing
smart phones. Conventional HAR based on Support Vector Machine relies on
manually extracted features. This approach is time and energy consuming in
prediction due to the partial view toward which features to be extracted by
human. With the rise of deep learning, artificial intelligence has been making
progress toward being a mature technology. This paper proposes a new
approach based on deep learning called HAR-Net to address the HAR issue. The
study used the data collected by gyroscopes and acceleration sensors in android
smart phones. The HAR-Net fusing the hand-crafted features and high-level
features extracted from convolutional neural network to make prediction. The
performance of the proposed method was proved to be higher than the original
MC-SVM approach. The experimental results on the UCI dataset demonstrate
that fusing the two kinds of features can make up for the shortage of traditional
feature engineering and deep learning techniques.
Keywords: Human Activity Recognition

Inception convolutional neural network Hand-crafted features
1 Introduction
With the advent of big data era, it has been an urge for humans to find valuable
information. Among all types of applications addressing this issue, Human Activity
Recognition (HAR), which is applied frequently to the fields of human-computer
interaction, identification technology, and medical security, has been the one that is
commonly utilized. Currently, studies related to HAR is based on several approaches:
video-based HAR and wearable sensor-based HAR. The former approach of HAR is
based on the analysis and recognition videos captured by camera from moving human
bodies. This approach is mainly employed by the field of security monitoring, being
especially useful when monitoring anomalous behavior of the elderly and children.
Despite the multiple applications and benefits of video-based HAR, there are chal-
lenges that may hinder the development of the technology. Due to the demand for

https://doi.org/10.1007/978-981-13-7123-3_4
HAR-Net: Fusing Deep Representation and Hand-Crafted Features 33
storage resources and the limitations related to the deployment of cameras, the mon-
itoring of users’ whole-day activity state is impossible. This restriction causes the
considerable difficulty of popularization for the video-based approach.
Wearable sensor-based HAR, as an area of intensive interest, on the other hand, can
be achieved using wearable acceleration sensor, gyroscope, and heart rate sensor. The
potential of this approach is enabled by the portability and low cost of wearable
sensors. As an intelligent aided technology, sensor-based HAR has been employed into
commercialized devices as fitness tracker and fall detector. More socially valuable
applications, like providing dementia patients with Memory Prosthesis and proposing
suggestions for daily exercise which require a comprehensive understanding about past
and present human activity, are expected to be generalized. Whereas the traditional
approach of wearable-based HAR can be challenging to generalize as the result of the
requirement for specially designed sensors. In the 1950s, there were researchers related
to sensor-based HAR whose progress was retarded due to the immaturity of recognition
algorithm and unaffordable huge sized sensors. Decades of following advancement in
microelectronics and computer motivated the invention of MEMS that permitted the
micromotion and integration of sensors. Sensors now have attributes of high compu-
tational power, low cost, and tiny size. Meanwhile, the popularization of smart phone
enables people to enjoy an intelligent platform that incorporates amusement, com-
munication, and work, it counteracts the toughness faced by wearable-based HAR.
With the rise of artificial intelligence and wearable computing, plenty of sensors have
been integrated into smart phones. HAR based on smart phone built-in sensors has thus
become research hotspots. The portability and the ease to develop software on smart
phone makes real-time supervision of human body activity and generalization of smart
phone-based HAR applications feasible. Real-time supervision quantifies human
activity, raises humans’ self-awareness of health conditions, and offers reasonable
fitness tips, all of which make it a promising market with high value.
The structure of the remaining section is shown as subsequence: related work is
summarized in Sect. 2. Details of HAR-Net are illustrated in Sect. 3. Our model will be
evaluated in Sect. 4. Conclusions are made in Sect. 5.
2 Related Work
With the hardware development, sensor-based HAR has been commercially applied to
medical system and security. Information collected from sensors is a time series.
Different effective approaches to process time series have been proposed to act as the
foundation of HAR. The majority of focus in HAR study covers daily life, sport,
socialization, and health. Layering classification is achieved by precepting group
behavior using multiple sensors, while children’s socializing behaviors are successfully
identified through physiological sensors [1, 2]. Through using acceleration sensor,
researchers have achieved Parkinson patients’ recognition and detection of Down’s
Syndrome patients [3, 4]. Researchers in Stanford have utilized multi-model sensors
system to detect whether the elder is falling down [5]. Wearable sensors are also
applied to the recognition of newborns’ disorder related to cerebral stroke [6]. Sensor-
based HAR can be optimistic prospect when used to support vulnerable groups.
34 M. Dong et al.
Researchers have done study using an efficient Support Vector Machine algorithm
to compensate for computational loss [7]. In recent years, deep learning is rising
because of the big data. While conventional machine learning approach required
researchers to manually extract features, deep learning can accomplish end to end
learning, using original data as input without manual feature extraction. Deep neural
network can provide powerful feature representation by complex non-linear transfor-
mation. The mostly used networks are deep convolutional neural networks and LSTM
for video-based HAR. Researchers have shown the high competence of LSTM to
classify activity appear in video by analyzing Sports-1 M and UCF-101 data set [8].
Utilizing three wearable sensor data set to assess the performance on deep learning
framework, researchers are able to determine the effectiveness of deep learning on
extracting features [9]. Additionally, conventional machine learning approach has been
compared to sensor-based deep learning approach for human activity recognition [10].
When we use image and signals as input, convolutional neural networks perform
better than multilayer neural networks. A study has been done by researchers with two
dimensional images that are synthesized with 9 types of sensor data, processed by
Discrete Fourier Transformation (DFT), and recognized with convolutional neural
network [11]. Researchers have also adopted several convolutional neural networks
trained in parallel followed by max pooling, concatenated the activations, and fed them
into the fully connected layer. Convolutional neural networks can be advantageous
when applied to HAR because of the local dependency and scale invariance [12].
3 Methodology
For the wearable sensor-based human activity recognition task, we proposed a network
architecture called HAR-Net. The structure is illustrated in Fig. 1. The input of the
network will have a dimension of (1, 128, 9) with 9 channels, then will be processed by
the separative convolutional layer. This means that the 9 channels of the input will be
convoluted respectively by the same filters. For each channel of the input, it will be
processed in parallel by filters with size (1, 1), (5, 1), (9, 1), (13, 1), (17, 1), (21, 1), (25,
1), (29, 1), and (33, 1) respectively, each followed by a max pooling layer with size
(11, 1). The pattern of convolutional layer followed by a max pooling layer described
above will be repeated for four times consecutively. Hand-crafted features, including
time and frequency domain statistics, will be concatenated with the flattened output
from the convolutional layers. Then input into the first fully connected layer with 2048
neurons with relu activation function. The output of the first fully connected layer will
be input into the second layer with 64 neurons and tanh activation function. Softmax is
applied to the output of the second fully connected layer to classify different kinds of
activities. Adam optimizer with default parameters [13] was applied to the HAR-Net.
Fig. 1. HAR-Net architecture.
The structure of the Inception Block is shown in Fig. 2. Figure 3 shows the
illustration of Separable Convolution. Separative convolution is chosen because of its
advantage of preventing the interference between different channels of input.
Fig. 2. Inception block with separable convolution.
Fig. 3. Separable convolution

36 M. Dong et al.
4 Experimental Results
4.1 HAR Dataset Description
The data adopted in this paper is a public domain dataset from UCI. The subject of the
experiment used to collect the data set has chosen to be a group of 30 people with age
between 19 to 48 years old. Each person was asked to carry out the six specified
Activities: walking downstairs, walking upstairs, sitting, laying, walking, and standing.
The data in the process was collected using build-in accelerometer and gyroscope in
smart phone at a constant sampling frequency of 50 Hz.
4.2 Results on UCI Dataset

In order to evaluate the performance of the method we proposed, we compare out
method with the following two baselines:
MC-SVM [14]: it was proposed by researchers from Università degli Studi di
Genova. This approach adopted the One-Versus-All (OVA) approach in multiclass
SVM and used 561 manually extracted features as input.
The HAR-Net without Hand-crafted features: it was a modified version of the
proposed HAR-Net model. The hand-crafted features were removed. And we fine-tune
the previous model make it more suitable for this task.
Table 1. Comparison among different methods on UCI dataset

Approach Prediction Accuracy
MC-SVM 96.0%
HAR-Net with hand-crafted features 96.9%
HAR-Net without hand-crafted features 93.5%
Table 1 shows the results of our model and other baselines on UCI dataset.
According to the study proposing the MC-SVM approach, among the 2,947 test set
samples, the overall accuracy of prediction can reach 96.0%. Despite the high accuracy
reached, there are potential improvements for the approach. According to the HAR-Net
proposed in this paper, convolutional neural network can automatically select the most
effective features for higher classification accuracy through utilizing loss function and
back propagation. Through applying different filters to the signal, the deep neural
network is able to detect similar features in signal waveform and generate distinctive
feature maps. When the network gets deeper, non-linearity of the neural network
increases. More abstract features are extracted by the neural network adaptively
through the automatic learning process. The advantage of the features extracted through
deep learning is the decrease of the amount of human’s subjective judgement about
which features to use. The HAR-Net combined the Hand-crafted features with the
learnt features by the deep neural network to provide more comprehensive perspectives
when making predictions. Regarding the prediction accuracy for the HAR-Net, the
overall prediction accuracy reached 96.9% and outperformed the MC-SVM model by
0.9%, demonstrating the effectiveness of the HAR-Net.
Meanwhile, we compare the HAR-Net with the network that didn’t use the hand-
crafted features. The network without manually extracted statistics features may fail to
capture the extra effective representation and the performance is worse than the HAR-
Net. This can further prove the importance of adding the auxiliary feature engineering.
Table 2. Confusion matrix of HAR-Net

Predicted class
Actual Walking Walking Walking Sitting Standing Laying
class upstairs downstairs
Walking 490 0 6 0 0 0
Walking 14 454 3 0 0 0
upstairs
Walking 4 9 407 0 0 0
downstairs
Sitting 0 3 0 445 43 0
Standing 0 0 0 10 522 0
Laying 0 0 0 0 0 537
The confusion matrix of the HAR-Net is shown above in Table 2. Despite the
overall high accuracy, confusions happened when the model was used to predict
activities. From the confusion matrix above, a pattern of mild confusion between
walking, walking upstairs, and walking downstairs appears. A more serious confusion
between standing and sitting is discovered due to the large number of sitting that were
misidentified as standing. The confusion between those activities were caused by the
similarity in the signal’ frequency and amplitude.
Fig. 4. The HAR-Net without separable convolution
4.3 Separable Convolution Versus Conventional Convolution

A set of comparative experiments were done to illustrate the choice of Separable
Convolution instead of default convolutional layer. The Inception Block for default
convolution approach is shown below in Fig. 4.
38 M. Dong et al.
For conventional convolutional layer, the output channel size is equal to the
number of filters applied. For each filter applied, the convolutions of the all the
channels are added together to generate a single channel output. The prediction
accuracy comparison is shown in Table 3.
Table 3. Comparison among the separable conv-based HAR-Net and conventional conv-based
HAR-Net
Approach Prediction accuracy
HAR-Net based on conventional convolution 95.2%
HAR-Net based on separable convolution 96.9%
As shown in Table 3, the HAR-Net based on separable convolution outperformed

the convention convolution-based model by 1.7%. This indicate the advantage of
separable convolution over conventional convolution approach in processing 1-
dimensional time series signal. The approach of separable convolution reduces the
interference between data from different channels (axis). It retains the features extracted
from separate channels apart to provide more valid features available for automatic
learning in the deep neural network. The confusion matrix of model with conventional
convolution is shown in Table 4 below.
Table 4. Confusion matrix of the model using conventional convolution

Predicted class
Actual Walking Walking Walking Sitting Standing Laying
class upstairs downstairs
Walking 481 0 15 0 0 0
Walking 1 454 16 0 0 0
upstairs
walking 3 5 412 0 0 0
downstairs
Sitting 0 2 0 429 57 3
Standing 1 0 0 37 494 0
Laying 0 1 0 0 0 536
From Table 4, serious confusions appeared when distinguishing sitting and

standing. The model leveraging the separable convolution performed better when
distinguishing sitting and standing as well as walking and walking downstairs.
5 Conclusions
In the study, a new approach utilizing Inception Block for convolutional neural net-
work with hand-crafted features was proposed to address Human Activity Recognition.
The HAR-Net for convolutional neural network can be an appealing option for real-
izing HAR in health care industry to take care of the vulnerable groups. Due to the
advantages of convolutional neural network’s local dependency and scale invariance
[12], it can be a potential application in the field of HAR. The HAR-Net outcompetes
the traditional MC-SVM approach because of the higher prediction accuracy resulted
from the extra self-adaptive features extracted by deep learning in the model. The study
confirmed that the combination of deep learning techniques and traditional feature
engineering can outcompete MC-SVM approach using the same public data set. The
result suggests an implication about the smartphone’s effect on recognizing human
activity. Future work will include testing with the Residual Network (Resnet) and
Recurrent Network to realize HAR utilizing more datasets and reduce the degree of
confusion between distinctive activities especially sitting and standing.
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Private-Preserving Analysis of Network Traffic
Yang Tang and Yan Ma(&)
Network Information Center,

{tangyang1,mayan}@bupt.edu.cn
Abstract. Network traffic analysis has important applications in many fields,

such as the quality of service provisioning, network monitoring, network opti-
mization, and so on. We can get regional network situation by analyze all
parties’ data, however, the cooperation among multiple parties suffers an extra
drag from privacy and regulation issues. In this work, we apply secure multi-
party computation methods to analyze more than three parties’ traffic data
without revealing the secrets themselves. We present a clustering method based
on IP network prefix and apply it to the traffic. Through the results of clustering,
we can get subnets with the most considerable traffic in the network, and make
relevant network settings for these subnets.
Keywords: Secure multi-party computation Netstream

Unsupervised machine learning Clustering
1 Introduction
It is necessary and useful to analyze network traffic, we can take measures to avoid
network congestion problems and reveal potential anomalies by the result of analysis.
But network providers usually know less about the real running status of the network.
There are much research on analysing network traffic. Cluster network traffic with
different methods is key technique of most research [1, 2]. Shadi and others opt netflow
to analyze data, and they cluster network traffic with hierarchical cluster algorithm,
eventually, they traverse a hierarchical cluster tree and get information about the status
of a network [3], their work is similar to us, but they don’t consider the hierarchy of IP
itself. Jeffrey and others apply unsupervised clustering algorithms to cluster network
traffic, then they compare the result with the result using AutoClass cluster method and
they find DBSCAN method has lower accuracy but produces better clusters [4]. Most of
these studies focus on traffic of specific Internet Service Provider (ISP), however, there
are usually more than three network service providers in a region by economic reasons.
Our research pay attention to coordinate network providers’ network data for analysis.
There is an obstacle to get a panoramic view of regional networks, as several
Internet Service Providers (ISPs) make up the whole network, each of them prefers not
to share their private data with other parties for commercial purposes, but they may
want to use data from all parties to miming for more valuable information. We
introduce secure multi-party computation (SMC) [5] into the field of data mining in
network traffic.

https://doi.org/10.1007/978-981-13-7123-3_5
42 Y. Tang and Y. Ma
Administrative regulations prohibit Internet Service Providers (ISPs) from col-

lecting sensitive privacy network traffic data. Some protocols, such as Net-flow/Net-
Stream/IPFIX, can aggregate data as flows which include packets’ basic and statics
information without keep payloads of packets. Some of those protocols can also
aggregate several raw communications as a session, and the characteristics make flow
records complicates to be a replacement of raw network traffic to analysis [6]. We opt
netstream flow data as original data and use our hierarchical cluster method to get a
cluster tree that contains all network traffic, by traversing the cluster tree, we can get
clusters with significant traffic in different hierarchies, which are friendly to network
operators.
This paper is organized as follows, we introduce preliminary knowledge in Sect. 2,
which includes the definition and adversary model of Secure Multi-party Computation
(SMC) and hierarchical cluster algorithm. We explicit describe the scenario and
introduce in detail how to apply secure multi-party computation to netstream dataset
and cluster network traffic in Sect. 3, finally we conclude our work in Sect. 4. There is
a brief acknowledgement in last section.
2 Preliminaries
In this section, we introduce preliminaries and notations used later.
2.1 Definitions
Certain parties are about to jointly compute a function f, each side of n participants
(P1, …, Pn) has its private input data, denoted as (v1, …, vn), all parties provide their
input data and jointly compute f (v1, …, vn), finally all sides get the correct result.
Assume that some adversary or participants try attack computing process f and except
for other parties’ privacy data. Secure multi-party computation (SMC) is a set of
protocols and algorithms to make sure that all participants can get correct result through
jointly compute f and keep vi secret [5].
2.2 Adversary Model

An adversarial attacker controls a subset of the parties and wishes to get other sharer’s
private data. The parties under the control of the adversary are called corrupted parties.
There are two primary types of adversary model, which mainly decided by actions that
corrupted parties are allowed to take [7].
Semi-honest Adversaries: In this model, corrupted parties follow the protocol execu-
tion procedure correctly. However, the adversary can snoop the internal state through
corrupted parties during the computation, the attacker attempts to use information to
learn other’s private knowledge.
Malicious Adversaries: In this adversarial model, corrupted parties arbitrarily deviate
from the protocol during the execution process and put its own plan into execution,
according to the adversary’s instructions.
Private-Preserving Analysis of Network Traffic 43
Our research based on the semi-honest adversary model, which means corrupt
parties always follow the agreement of our protocol and try their best to derive other
sides’ private information.
3 Privacy-Preserving Data Aggregation
In this section, we consider the scenario that each Internet Service provider (ISP) has its
own netstream data, we can mine for more accuracy and meaningful results from the
overall dataset. We apply secure multi-party computation to do jointly computation
without leaking each parties’ privacy.
We select netstream data as origin data. A netstream flow can be expressed as a
quintuple (source IP, source port, destination IP, destination port, volume). Raw
network packets are aggregate with pieces of tetrad (source IP, source port, destination
IP, destination port), packets that has the same tetrad are regarded as same network
flow during a period. Each flow has a volume attribute, which is defined as the sum
bytes of all packets that were aggregated in a flow. The problem can be described as
getting a union set of all service providers’ destination IPs from netstream data and get
the sum volume of each destination IP through all sharers, and how to cluster them. We
first discuss how to union destination IPs then calculate volume corresponding with
IPs, and continued to show how we cluster them as a clustering tree.
3.1 Downscale IP Number in Privacy

For the sake of getting all participants’ destination IPs and their corresponding volume,
we first calculate the union set of all parties, it helps to shrink the scale of computation
in the next step. Secure union sets method can get the union set without reveal each
item’s source [8], and we apply the method to all parties and get the union set of all
participants’ destination IPs set without revealing each IP’s derivation. We keep an IP’s
source secret by encrypting and decrypting them, methods based on commutative
encryption is suiting for this job. Commutative encryption method firstly generates a
pair of keys (a encryption key and a decryption key) for each party, and those keys can
use to encrypt and decrypt origin IPs. The encryption key and the decryption key meet
the following regulations:
Assume that there are n participants, each one has an encryption key, all keys can
be denoted as K1, K2, …, Kn 2 K. Marking the set of all destination IPs as M, and for
any permutation i,j:

EKi1 ð. . .EKin ðIPÞ. . .Þ ¼ EKj1 . . .EKjn ðIPÞ. . . ð1Þ
1
8IP1 ; IP2 2 M and IP1 6¼ IP2 ; for gievn k; e\
2k

Pr EKi1 ð. . .EKin ðIP1 Þ. . .Þ ¼ EKj1 . . .EKjn ðIP2 Þ. . . \e ð2Þ
Pohlig-Hellman encryption [9] satisfies the two equations above, which means that
each party encrypts an IP address in turn with its own secret key, and the encrypted
data can be decrypted by all parties using their private keys in any order, after all
parties decrypt the encrypted data, we can get origin secret IP. The encrypt example
shown in Fig. 1.
Fig. 1. Example of how to encrypt all parts’ destination IPs and then communicate to get every
parts’ IPs which are encrypted by every part
Through commutative encryption, we can obtain the union set of IPs owned by all
participants without revealing an IP’s source. However, it does reveal the number of
IPs that commonly exist in all parts, it can be reveal because encrypted IPs duplicate.
However, in our scenario, this leak does not affect the overall confidentiality.
3.2 Processing IPs’ Volume Anonymously

We obtain a union set of all participants’ destination IPs, next we calculate the sum
volume of each IP in the set. Each participant are welling to calculate the sum of
volume without revealing its own relations between IPs and volume. There are some
methods to do secure add between multi parties, such as add some noise to origin data
[10], Shamir secret share [11, 12]. But we acquire a method that can provide precious
data and has low complexity. We apply secure add algorithm based on confusing data
and it is adapted to our requirement, each IP’s volume
P lays range from 0 to the max,
then we calculate the sum of volume, denoted as ni1 Vi , Vi presents volume that
corresponding with the ith IP. A secure add example shows in Fig. 2. Part A with an
IPa select a random value r and then add its own volume to r, part A pass IPa and value
that confusing with random value r to next part B, the next part can get nothing about
the previous part because the value and previous private volume lay in the same range,
the part B do the same thing as part A, the technological process can be shown in
Fig. 2, finally, part A get the sum values.
Fig. 2. Example of how to get the sum volume of each party’s volume, which is corresponding
with an IP in unioned IPs set
The secure add process of all IPs in the overall set can be done with parallel. Hence
the method can reduce the time of calculating and quite suit for calculate big scale data.
3.3 Traffic Clustering

This section describes how we use IPs and their corresponding volume to cluster and
analyze. We present a clustering algorithm to aggregate netstream flows into an IP
traffic tree. By traversing the tree from top to the bottom, we can get characteristics of
netstream flows, and it can be useful references for network operators when they apply
some policies to networks.
IP hierarchy which means that when routing an IP to the destination address, an IP
address is divided into a network portion and a host portion, and routers handle
different network portions hierarchically. And we cluster traffic with consideration of IP
hierarchy.
We define a data structure for clustering IP traffic as a tree, called tree_node, which
includes an IP address with network prefix, its corresponding volume, a link to its
parent node and links to its children nodes, the algorithm is described in Algorithm 1.
Fig. 3. Clusters that have different network prefix length
We first create a set of tree_node and denote as tree_nodes, we circularly perform

merge procedure, and decrease prefix limit, for example, at first, we merge all nodes
that possibly be merged as a node which network prefix length is 31. We also sort
tree_nodes every time during the loop to keep ordered clusters. In MERGE_NODES
function, we ignore those nodes that have a parent link, which means, those nodes have
been merged.
We find the first node that can be merged by tentatively and greedily attempt, and
then try to merge the current node with that node. If merge result does not exceed the
limit of IP network prefix length, we merge the two nodes officially, we try to merge
another node to the new merged node next time, if we got the same merge result, we
add those nodes to the new merged node. It may generate a duplicate merged node in
merging process, we set a hashtable to filter those nodes, if there exists a merged node
in the hashtable, we merge nodes to a same merged node, and finally, we change
relations between new merged node and nodes that to be merged. The merge algorithm
can be intuitional understand in Fig. 3, each tree_node has an IP with network prefix
and corresponding volume, then we use the hierarchical method to merge nodes as a
clustering tree.
3.4 Analysis of IP Traffic Tree

The network traffic can divide as ingress traffic and outgoing traffic. We can determine
ingress or outgoing traffic by judging the destination IP, If the destination IP belongs to
internal nodes, the traffic can be classed as ingress traffic, otherwise, outgoing traffic.
We collect netstream data from a backbone router at an Internet Data Center
(IDC) during an hour, and finally, we got 12062 pieces of valid netstream data, which
can be divided into ingress and outgoing traffic. There are 7561 pieces of ingress traffic
records and the other part is outgoing traffic. We use the ingress traffic data as the data
source and split it into three parts by the time, for simulating three participants. We
apply our method on the data of the three parties to get a set of destination IP addresses,
and then we apply secure add method to get the volumes corresponding to these IP,
respectively.
Fig. 4. Cluster number in different network prefix
We construct tree_nodes from IPs and their corresponding volume, we use these
tree_nodes to form a clustering tree by algorithm 1. For more detail, each node of the
tree has an IP with network prefix and its corresponding volume, the volume of a node
is the sum value of all its children’s volume. We count number of nodes which have
different IP network prefix length vary from /0 to /31, clusters are normally distributed,
which means that most of the user’s traffic can be covered by the network. Figure 4
shows there are most clusters in network prefix of /24, and end users’ traffic of Internet
Service Providers (ISPs) or enterprises will be routed to the backbone router where we
gather those data, and will finally send to service providers, we can find the status of the
service provider’s services through our clustering method. To get more detailed
information, we traverse the clustering tree to get the top 10 clusters with the most
significant volume, and we can see 10 subnetworks with most massive traffic, in our
example, we analyze the clustering tree nodes of the network with /24 network prefix.
We can get the top 10 clusters with the highest traffic, as you can see from the Table 1,
according to the information from the table, network administrators can specify rea-
sonable network policies to ensure the optimal use of the network, it avoids looking for
reports from the vast and complex raw network traffic.
Table 1. IP network prefix & volume

IP network Volume
45.115.217.0/24 222235
183.202.247.0/24 60906
120.239.106.0/24 45611
117.136.52.0/24 41625
183.200.7.0/24 37788
117.157.56.0/24 34679
113.57.183.0/24 32379
111.37.51.0/24 31353
120.239.108.0/24 29813
121.22.243.0/24 27487
4 Conclusion
We take secure multi-party computation methods to analyze network traffic, we use

secure multi-party union and add methods to get the sum of all sides’ volume without
leaking their private data. Then we put our clustering method to the data for getting a
clustering tree, the analysis of the tree can get conclusions that help network operators a
lot. In this paper, we validate our method by using a real Internet Data Center’s traffic
data, and our clustering method fits the data well. We believe that our work would help
network operators deepening the understanding of the overall network situation and
thus they can take more effective measures to ensure the rational use of networks and
avoid attacks.
Acknowledgement. The work in this paper is supported by the Joint Funds of National Natural
Science Foundation of China and Xinjiang (Project U1603261).
References
1. Snort. https://www.snort.org. Accessed 19 Oct 2018
2. Shafiq, M., Yu, X., Laghari, A.A., Yao, L., Karn, N.K., Abdessamia, F.: Network traffic
classification techniques and comparative analysis using machine learning algorithms. In:
2016 2nd IEEE International Conference on Computer and Communications (ICCC),
pp. 2451–2455. IEEE (2016)
3. Shadi, K., Natarajan, P., Dovrolis, C.: Hierarchical ip flow clustering. ACM SIGCOMM
Comput. Commun. Rev. 47(5), 48–53 (2017)
4. Erman, J., Arlitt, M., Mahanti, A.: Traffic classification using clustering algorithms. In:
Proceedings of the 2006 SIGCOMM Workshop on Mining Network Data, pp. 281–286.
ACM (2006)
5. Lindell, Y.: Secure multiparty computation for privacy preserving data mining. In:
Encyclopedia of Data Warehousing and Mining, pp. 1005–1009. IGI Global (2005)
6. Technical white paper for net stream. http://efile.huawei.com/tr/marketing/material/global/
products/enterprise_network/ce_switches/hw_353223. Accessed 19 Oct 2018
7. Rokach, L., Maimon, O.: Clustering methods. In: Data Mining and Knowledge Discovery
Handbook, pp. 321–352. Springer (2005)
8. Clifton, C., Kantarcioglu, M., Vaidya, J., Lin, X., Zhu, M.Y.: Tools for privacy preserving
distributed data mining. ACM SIGKDD Explor. Newsl. 4(2), 28–34 (2002)
9. Ly, J.T.: A serial version of the pohlig-hellman algorithm for computing discret logarithms.
Appl. Algebra Eng. Commun. Comput. 4(1), 77–80 (1993)
10. Beaver, D.: Efficient multiparty protocols using circuit randomization. In: Annual
International Cryptology Conference, pp. 420–432. Springer (1991)
11. Koga, H.: A simple secret sharing scheme using a key and its security against substitution of
shares. In: 2010 IEEE International Symposium on Information Theory Proceedings (ISIT),
pp. 2483–2487. IEEE (2010)
12. Shamir, A.: How to share a secret. Commun. ACM 22(11), 612–613 (1979)
Design of Fault Diagnosis System for Balise
Cable Based on Machine Learning
Xiaoyi Cui(&) and Jingyang Lv(&)
Beijing University of Posts and Telecommunications, 10 Xitucheng Rd, Haidian,

Beijing 100876, China
cuixiaoyi0309@126.com
Abstract. Based on the research of the lineside electronic unit in the high-speed
rail system, the design of the fault diagnosis system based on machine learning-
based of balise cable is completed. For the cable fault characteristics, the impe-
dance method is used to analyze the impedance of the cable and the magnitude and
phase of the current is used for actual fault diagnosis. A FPGA-centric platform is
designed to calculate the magnitude and phase of the current generated in cable in
real time. Analysis by actual current data, the feasibility of the program has been
verified. For the diagnosis of fault characteristics, the way of the classifier is
adopted: Logistic Regression, and support vector machine (SVM). This paper
briefly introduces the implementation principles of the two models. The training
set and test set are constructed from the actual collected data. The two models are
trained and tested respectively. According to the accuracy of the test results and the
complexity of the model, the model suitable for fault diagnosis with FPGA is
selected.
Keywords: SVM Logistic Regression Impedance Fault diagnosis
1 Background
With the rapid development of China’s high-speed rail industry, the efficiency and
security of high-speed rail communication systems are becoming more and more
important. The lineside electronic unit is a pivotal part of the high-speed rail com-
munication system. It is responsible for transmitting the train control information of the
train control center to each balise, thus realizing the vehicle-to-ground communication
and ensuring the normal operation of the train. The cable is an indispensable com-
munication link between the lineside electronic and the balise, so it is essential to
monitor and diagnose the real-time fault of the cable. At the same time, with the rise of
artificial intelligence, there are more reliable analytical methods and theoretical models
for fault data. More and more machine learning is applied to the field of fault diagnosis,
which greatly reduces the difficulty of the theory and improves the reliability and
extensiveness of fault diagnosis [1]. The combination of fault feature analysis and
machine learning drives the development of fault diagnosis.

https://doi.org/10.1007/978-981-13-7123-3_6
50 X. Cui and J. Lv
2 Analysis of Cable Fault Characteristics

2.1 Type of Cable Fault
Two common cable faults are high impedance faults and low impedance faults. High-
resistance fault means resistance of the cable is within the required specification range,
but the operating voltage cannot be transmitted to the terminal. While the low-
resistance fault refers to the drop of the insulation resistance at the fault point, which is
much smaller than the characteristic impedance of the cable [2].
2.2 Impedance Method

A commonly used fault detection method at home and abroad is the impedance
method. In a circuit, the impedance describes not only the relative magnitude of voltage
and current, but also its phase. It is defined as the ratio of the total voltage of the circuit
to the total current [3]:
U
Z¼ ð1Þ
I
According to the TSI standard, the C6 signal, output of the lineside electronic unit
is a constant voltage source, which means the current is negatively correlated with the
impedance, and the magnitude and phase of the current can reflect the impedance state
of the current link. Collecting current signals and calculate the magnitude and phase by
using the hardware diagram on the left, the impedance map is shown as the right figure
(Fig. 1).
Fig. 1. Hardware block diagram and impedance map
From the above distribution map, when the cable is in a different State, the
impedance is distributed in different intervals and linearly separable. Amplitude and
phase can be used as features of fault diagnosis, and these two features are trained to
establish a classification model.
In this paper, Logistic Regression, and SVM are used for training, and the per-
formance of the two classifiers is compared and analyzed.
Design of Fault Diagnosis System for Balise Cable 51
3 Fault Classifier Design
The classification algorithm is a kind of supervised learning. It obtains optimal

parameters by minimizing the loss function [6]. Logistic Regression, and SVM are two
typical classification algorithms.
3.1 Logistic Regression

Logistic Regression, uses probability to class the input data by sigmoid function which
maps the distance from the sample point to the classification boundary as a probability.
The classification model is defined as follows [7]:
1
hðXÞ ¼ gðf ðXÞÞ ¼ ð2Þ
1 þ e wT X þ b
When the sample point is above the classification boundary, the function output is
greater than 0.5, and vice versa. Logarithmic loss function is used as loss function [5]:
CostðhðxÞ; yÞ¼ y logðhðxÞÞ ð1 yÞ logð1 hðxÞÞ ð3Þ
The process of solving the Logistic Regression, model is the optimization process
of the following objective function:
1X N
min Cos tðhðxi Þ; yi Þ ð4Þ
h N i¼1
3.2 Support Vector Machine

SVM is a classifier with maximum interval. The classification model of the support
vector machine is defined as follows [5]:
f ðxÞ ¼ sgnðwT x þ bÞ ð5Þ
When the input data is above the classification boundary, the classifier output is
positive, otherwise it is negative. By introducing Lagrange Factor and SMO algorithm,
the following functions are optimized to get the classifier parameters [5]:
1 XN
min jjxjj2 þ C ni ; yi ðxT xi þ bÞ 1 ni ; ni 0; i ¼ 1; 2; . . .; N ð6Þ
2 i¼1
3.3 Multi-label Classification

In this system, the data is divided into three categories, short-circuit data, open-circuit
data and normal data. One-to-one manner can be applied to solve multi-label
52 X. Cui and J. Lv
classification. Any two types of data to build a classifier, and a total of three classifiers
are needed. When predicting, vote according to the prediction result of each classifier,
the label with the highest number of votes is the prediction result of the input sample.
3.4 Training Process and Performance Evaluation

Large number of impedance data is collected in the real operation. 70% of the samples
were randomly selected as the training data set, and the remaining 30% were used as
test data sets. The classifier selects Logistic Regression, and support vector machine to
training and comparison. Which model is used for actual fault diagnosis, which is
determined by the model’s prediction accuracy and complexity. The platform condi-
tions used in the training and test results are shown in the following Tables 1, 2 and 3:
Table 1. Training platform conditions

Item Version
CPU Intel Core i7-6700HQ @ 2.6 GHz
Memory size 16 GB
Python version 3.6
Number of training sets 1834880
Number of test sets 787200
Table 2. Predictive accuracy

Fault state Sample numbers LR SVM
High resistance 182040 100% 100%
Normal 431730 99% 99%
Low resistance 173430 100% 100%
Total 787200 100% 100%
Table 3. Complexity assessment

Item LR SVM
Training time 46.98 s 2387.00 s
Prediction time 0.07 s 7.006 s
Parameter number 9 9
From the perspective of Prediction precision, Logistic Regression, and SVM have
high precision, and meet the accuracy requirements of the system. For linearly sepa-
rable data sets, the model can solve the classification boundary with the same kind
parameters. During the training process, the SVM needs to find the support vector,
which takes longer than the Logistic Regression, and the space occupied during the
Design of Fault Diagnosis System for Balise Cable 53
training process also multiplies. Logistic Regression, training takes a very short time
and is not prone to over-fitting. It is more suitable for training and forecasting of large
amounts of data. Therefore, the system uses Logistic Regression, to classify fault types.
4 Conclusion
In this paper, the transponder transmission system in the high-speed rail system is taken
as the research background. The C6 signal is used flexibly, and the fault characteristics
of the balise cable are extracted by simple and efficient impedance method. The
classification algorithm is used for training and prediction, and the balise cable fault
diagnosis system is completed. At present, the system has been widely used in high-
speed rail systems and has achieved good results. However, due to the actual appli-
cation, the operating environment, cable characteristics, board characteristics and other
aspects are more complicated, the accumulation of data is not comprehensive enough,
and compatibility needs to be improved.
References
1. Kawai, T., Takinami, N., Chino, T.: A new approach to cable fault location using fiber optic
technology. IEEE Trans. Power Delivery 10(10), 85–91 (1995)
2. Wang, L.: Design and implementation of transponder fault cable detection system. Beijing
University of Posts and Telecommunications (2017)
3. Shen, Y., Liu, C.: Circuit Analysis. People’s Posts and Telecommunications Press, Beijing
(2004)
4. Harrington, P.: Machine Learning in Reality. People’s Posts and Telecommunications Press,
Beijing (2017)
5. Introduction to Support Vector Machines [EB/OL], July. https://blog.csdn.net/v_july_v/
article/details/7624837
6. Li, H.: Statistical Learning Method. Tsinghua University Press, Beijing (2017)
7. Zhou, Z.: Machine Learning. Tsinghua University Press, Beijing (2017)
Design and Implementation of ARQ
Mechanism in High-Speed Data Acquisition
System
Xiao Li(&) and Jingyang Lv(&)

Beijing University of Posts and Telecommunications, Beijing 100876, China
leexiao_shirley@163.com
Abstract. The speed of high-speed railway in China is constantly increasing,

and the demand for safety and reliability becomes more and more apparent.
Therefore, it is especially important to collect and transmit high-speed data
accurately, so high-speed data acquisition system emerged. Aiming at the
problem of transmission packet loss in high-speed data acquisition system, a
retransmission protocol is proposed for Automatic Repeat Request (ARQ) com-
munication, which is implemented on field-programmable gate array (FPGA).
This design compares several common retransmission protocols to select the
optimal scheme. And the feasibility of the high-speed rail transponder system is
analyzed. On the basis of that, this design takes full advantage of the flexibility
and reconfigurability of the FPGA, uses the hardware description language
VerilogHDL, uses Quartus II 13.1 for synthesis and routing, and finally verifies
on the Cyclone VE series 5CEFA4F23F. The design has the advantages of
convenient application and upgrade, good portability and versatility while
solving the problem of packet loss.
Keywords: High-speed railways Gigabit Ethernet ARQ FPGA
1 Introduction
From the perspective of post-maintenance of high-speed rail transportation systems, the

collection and transmission of high-speed data has far-reaching significance [1–3].
Gigabit Ethernet with fast transmission rate, good portability and good versatility is
used to transfer data between the acquisition system and the host [4, 5].
Currently, the Analog to Digital Converter (ADC) sampling rate of the acquisition
system is 63 MHz. To ensure timely data transfer, the transfer rate requirements are as
high as possible. At present, the data upload rate is above 50 MB, which is almost
impossible to achieve through the TCP protocol (Transmission Control Protocol).
Therefore, the UDP transport protocol (User Datagram Protocol) is the only viable
option. Then the packet loss problem that occurs during UDP transmission becomes an
important issue that we urgently need to solve. In response, this paper proposes an
ARQ strategy for retransmission and implements it in the system.

https://doi.org/10.1007/978-981-13-7123-3_7
Design and Implementation of ARQ Mechanism 55
2 Retransmission Protocol Feasibility Analysis

2.1 Basic Retransmission Type Selection
There are three basic types of retransmission: stop and wait, go-back-N, and SR-ARQ.
The main difference is that feedback information are handled differently [6].
Although the stop and wait ARQ and go-back-N ARQ have the advantages of
stable and small buffer storage space, they also have the disadvantages of low channel
utilization, low throughput and large influence on channel conditions. In contrast, SR-
ARQ provides the highest throughput efficiency at the expense of complex receive
control mechanisms and large buffer capacity.
Although the control logic is relatively complex, the current acquisition system
resource utilization rate is enough. In order to meet higher performance, we choose SR-
ARQ as the retransmission method of high-speed data acquisition system.
2.2 The Feasibility of Choosing Retransmission

Analyze the actual working environment of high-speed data acquisition system. The
main monitoring target is FSK (Frequency Shift Keying) signal of the balise in in-
vehicle communication. The two balise are separated by 5 m, and the single balise has
a range of 0.5 m (Fig. 1).
4.5M
t1
Fig. 1. Acquisition system application environment
T represents the time which the train can transmit data between the two balise,
which is, the maximum allowable processing time for a single transmission; t1 is the
maximum processing time required for the acquisition system to communicate a balise
data with the host computer. In normal operation, it is necessary to guarantee:
t1 T ð1Þ
The ADC data needs to be into a FIFO first, so it is later about 1:77 105 s when
the train just passed the balise.
Suppose the train travels at a speed of V m=s ð14:29 km=h V 350 km=hÞ.
5 ðmÞ 5
T¼ 1:77 105 ðsÞ ðsÞ ð2Þ
Vðm=sÞ V
Further analysis of the time required for the T1: The sending end uses FPGA as the
master, and the network card can send and receive data at the same time. So ignoring
56 X. Li and J. Lv
the time spent on the sending side, the time required for T1 only contains 2 parts: The
time to send data as tsend , and the time to retransmit data as tresend .
t1 ¼ tsend þ tresend ð3Þ
The sampling rate of the ADC data in the acquisition system is 120.58 MB/s.
Suppose the amount of data sent by FPGA be P,
120:58 ðMB=sÞ 0:5 ðmÞ 60:29

P¼ ¼ ðMBÞ ð4Þ
Vðm=sÞ V
The Gigabit Ethernet NIC (Network Interface Card) has a maximum transmission
and reception rate of 125 MB/s, which is currently 57.97 MB/s. The length of read data
is 1026 Bytes and the period is 17700 ns, so the transmission rate is (Fig. 2):
1026 ðByteÞ
Vsend ¼ ¼ 57:97 ðMB/sÞ ð5Þ
17700 ðnsÞ
14Byte 20Byte 8Byte 2Byte 1024Byte
Fig. 2. The format of the data packet sent by the acquisition system to the host computer
A packet of data uploaded by the FPGA to the PC (Personal Computer) contains

1068 bytes, of which 1024 bytes of FSK data. Further, by formula (4) and formula (5),
1068
P 60:29 1068 1:08
tsend ¼ 1024 ¼ V 1024
¼ ð6Þ
Vsend 57:97 V
Since the packet loss rate is positively correlated with the number of packets P, it is
assumed that the packet loss rate is
1068
Pf ðPÞ 1:08f ðPÞ
tresend ¼ 1024 ¼ ð7Þ
Vsend V
Bringing Eqs. (6) and (7) into Eq. (3),
1:08ð1 þ f ðPÞÞ
t1 ¼ tsend þ tresend ¼ ð8Þ
V
Bringing Eq. (8) into Eq. (1),
f ðPÞ 3:63 ð9Þ

It can be seen that sending a packet of data, only when all of it is lost and
retransmitted over 3 times still cannot be received, the time may not be enough to cause
timeout, which is impossible in practice. Therefore, the retransmission method can
theoretically solve the problem of packet loss in high-speed acquisition systems.
3 Software Design of Retransmission Protocol

3.1 Acquisition System and Host Computer Interaction
During the transmission process, the IP header sent by the acquisition system is con-
tinuous [7, 8]. After the PC accepts the data, it judges whether the id of the received
packet is continuous. If it is not, the intermediate difference is recorded in the lost
packet list. After the end packet is sent, the acquisition system enters a state of waiting
for the retransmission request sent by the host computer. After receiving the end-
packet, the host computer sends a request packet to the acquisition system. The data
portion of the request packet is 1024 bytes, and the content is the id number of the lost
data packet, ending with 0xffff. If the lost packet exceeds 511 packets during this
transmission, then one retransmission request only transmits 511 packets of the request.
The specific workflow is shown in Fig. 3. Above the dashed line is the acquisition
system FPGA internal operation mechanism, and below is the operating mechanism in
the host computer. This paper focuses on the acquisition system software design. The
whole process use full-duplex parallel operation to improve data processing speed.
Fig. 3. Acquisition system and host computer interaction flow chart

58 X. Li and J. Lv
3.2 Modular Design

The retransmission design of the acquisition system is implemented by Altera’s
Cyclone VE series 5CEFA4F23F, and the layout is performed on the Quartus II [9].
The implementation of the retransmission protocol mainly consists of two parts: the
data analysis center and the data transmission module, as shown in Fig. 4 [10].
Fig. 4. Modular design of the acquisition system
The data analysis center reads the buffered data and sends it to the data transmission
module. If the packet is lost, it receives the retransmission packet from the PC. First
store the retransmission information to the local ram. After the normal data has been
sent, read from the ram for parsing. Re-read data based on the parsed row and column
address to resend data.
The data transmission module completes the parameter configuration of the net-
work card, receives the data sent by the data analysis center for framing, controls the
transmission of the Gigabit Ethernet IP core to the host computer and parse retrans-
mission data in real time and send to the data analysis center.
4 Performance Testing
The theoretical simulation of the three basic retransmission methods is shown in Fig. 5.
The packet loss rate is set to be 40% similar to the actual acquisition system packet loss
rate. In Fig. 5, the horizontal axis represents different propagation delays, and the
Fig. 5. Three kinds of retransmission mode throughput comparison chart

vertical axis represents the normalized throughput efficiency. It can be seen that the SR-
ARQ is 1.5 times more efficient than the other two retransmission methods. So the
implementation of the SR-ARQ mode is in line with actual needs.
The resource occupancy of the software is shown in Fig. 6. The logic unit occu-
pancy rate is 59%, and the storage unit utilization rate is 39%, which satisfies the
design requirements.
Fig. 6. Resource utilization of high-speed acquisition system software
In order to further verify the feasibility of the design and test the performance, the
acquisition system communicates with the host computer through the Gigabit Ethernet
direct connection.
1000 independent experiments were performed on the data transmission, and the
number of packages per group was 2,203. Count the number of packets lost during
each transmission with or without retransmission, and plot the statistics according to
the test results as shown in Fig. 7.
Fig. 7. A statistical comparison chart of the number of packets lost per transmission with or
without retransmission
60 X. Li and J. Lv
In Fig. 7, the horizontal axis represents the serial number of the number of tests,
and the vertical axis represents the number of lost packets of a complete transmission.
When there is no retransmission, the maximum number of lost packets reaches about
900 packets, the maximum packet loss ratio is 40.8%, and the packet loss rate is 95%.
If the retransmission is not performed, the data cannot be used normally. After the
retransmission mechanism is increased, the maximum number of packet loss is 11
packets, the maximum packet loss ratio is 0.005%, and the packet loss rate is 0.012%,
which is in line with the demand.
5 Conclusion
This paper completes the design and implementation of SR-ARQ mechanism by

optimizing FPGA software by analyzing the application scenarios and packet loss
phenomena of the high-speed data acquisition system. Under the premise of timeliness
and stability, the integrity of the data in the transmission process between the acqui-
sition system and the host computer is guaranteed. Through many actual board tests,
the practical significance of the retransmission strategy adopted was confirmed. In
summary, the method has a high reference value for solving the data integrity problem
existing in the modern high-speed railway data acquisition and transmission system.
References
1. Kai, L: Ethernet-based data acquisition system implemented on FPGA. Wuhan University of
Science and Technology (2009)
2. Ning, Y., Guo, Z., Shen, S., Peng, B.: Design of data acquisition and storage system based
on the FPGA. Procedia Eng. (2012)
3. Zhong, G.: Design of high speed data acquisition system based on FPGA. Nanjing
University (2013)
4. Wu, C., Xu, J., Jiang, J.: Research and implementation of gigabit ether-net interface based on
FPGA. Mod. Electron. Tech. 41(09), 1–5 (2018)
5. Shi, P.: Design of FPGA bidirectional data transmission system based on Gigabit Ethernet.
Xidian University (2014)
6. Yang, J.: Research on ARQ Mechanism in MAC Layer of 802.16 m System. University of
Electronic Science and Technology of China (2012)
7. Yi, Q.: Design and FPGA Implementation of Ten Gigabit Ethernet MAC Controller. IEEE
Beijing Section, Global Union Academy of Science and Technology, Chongqing Global Union
Academy of Science and Technology, Chongqing Geeks Education Technology Co., Ltd.
Proceedings of 2017 IEEE 2nd Advanced Information Technology, Electronic and Automation
Control Conference (IAEAC 2017). IEEE Beijing Section, Global Union Academy of Science
and Technology, Chongqing Global Union Academy of Science and Technology, Chongqing
Geeks Education Technology Co., Ltd:IEEE BEIJING SECTION (2017)
8. Xia, Y.: 10 Gigabit ethernet TCP frame data registration algorithm based on FPGA. In:
Proceedings of 2016 2nd International Conference on Mechanical, Electronic and
Information Technology Engineering (ICMITE 2016) (2016)
9. Zhong, Z.: Top-down FPGA design. Electronic Products World (1998)
10. Zou, L., Tian, L.: Design and implementation of gigabit network data acquisition system
based on FPGA. Digital Technol. Appl. 136 (2011)
Application of Hilbert Huang Transform
in Car Signal Demodulation
Hongrui Xie and Jingyang Lv(&)

x316639495@126.com, lujy@bupt.edu.cn
Abstract. The car signal system is an important establishment to guarantee that

a train operation safety. In recent years, with the rapid development of railway
construction, the number of heavy haul trains and high-speed trains has
increased rapidly. It makes the car signal system harder to demodulate the track
circuit signal with higher interference and less response time. In order to ensure
the safety of train operation, it is necessary to study a new demodulation
algorithm for the car signal system. This paper takes widely used ZPW2000A
track circuit as an example. We analyze the merits and demerits of its signal
modulation mode, main interference sources and existing demodulation algo-
rithms. After analyzing, we propose a new demodulation algorithm based on
Hilbert Huang transform to solve these existing problems. Through the simu-
lation results, the demodulation algorithm has outstand performances and a good
application prospect in Car Signal system.
Keywords: Car signal Track circuit HHT Demodulation algorithm
1 Preface
Railways are an important infrastructure of the country and an important support for the
national economy. Railway signal equipment is an important part of the railway sys-
tem, shouldering the heavy responsibility of ensuring the safe operation of the railway
and improving the efficiency of train transportation [1, 2]. The Car Signal system is an
important subsystem of the China Train Operation Control System (CTCS) [3–5]. It
receives the ground driving commands sent by the track circuit through electromag-
netic induction. After parsing the instruction, the car signal system will display the state
of the front signal lamp, which can reduce the pressure of the driver’s look-out signal
lamp. What’s more, it will sent the instruction to the on-board safety computer, which
has the functions of automatic speed limit and emergency parking, so as to avoid
accidents caused by human errors.
Hilbert Huang Transform (HHT) is a signal processing method based on instan-
taneous frequency proposed by Huang et al. Compared with traditional signal pro-
cessing methods, it can analyze non-stationary nonlinear signals, and is adaptive and
suitable. Processing of mutational signals and other characteristics. China’s current
track circuit system is numerous. This paper takes the ZPW2000 track circuit, which is
widely used at present, as an example, and briefly analyzes its signal characteristics.
Aiming at the problem of degraded quality degradation in the supporting locomotive

https://doi.org/10.1007/978-981-13-7123-3_8
62 H. Xie and J. Lv
signal equipment, after analyzing the shortcomings of the existing demodulation

algorithm, this paper proposes to use Hilbert Huang Transform as the demodulation
algorithm and verify the performance of the algorithm through computer simulation.
The simulation shows that the Hilbert Huang transform has the characteristics of high
precision and strong anti-interference ability, and it can be used for demodulation of
locomotive signals.
2 Car Signal System Analysis
2.1 Brief Introduction of Car Signal System

The car signal system reflects the status and operating conditions of the ground signal
in front of the train, instructs the train to operate, and integrates with the CTCS to
ensure the safety of the train and realize the functions of speed control and overspeed
protection. The structure of the car signaling system shows as Fig. 1. The receiving coil
induces the current signal transmitted by the track circuit in the rail through electro-
magnetic induction, and realizes the conversion from the track circuit current to the car
signal voltage. The TCR Interface preprocesses the voltage signal to make it easier to
demodulate. The car signal mainframe will demodulate the signal and control display
information and communications with the ATP system.
ATP
System
Car Signal
Car Signal
System Mainframe
Car Signal
Power
TCR
Interface
Receiving Receiving
coils 1 coils 2
Fig. 1. Brief introduction of Car Signal System

Application of Hilbert Huang Transform in Car Signal Demodulation 63
2.2 Car Signal System Analysis

Signal Modulation Method
The ZPW2000 orbit signal is a 2FSK modulated signal. In order to reduce the power
frequency interference of 50 Hz, it selects higher frequency carriers, which are
1700 Hz, 2000 Hz, 2300 Hz and 2600 Hz respectively. It also selects 18 low fre-
quency modulated signals at intervals of 1.1 Hz, increasing from 10.3 Hz to 29 Hz.
The mathematical expression is
FðtÞ ¼ A cosðx0 t þ gðtÞÞ ð1Þ

(
x1 t T4 \t T4
gð t Þ ¼ T ð2Þ
x1 4 t 4 \t 4
T 3T
Signal Interference Analysis

The track circuit uses the rail as the transmission medium, and has the disadvantages of
relatively large traction current and high interference. Various external disturbances are
superimposed during transmission. These interferences are bound to affect the demod-
ulation of the signal. Here is a brief analysis of several main interference sources [6, 7].
(1) Unbalanced current interference in railway

In electrified orbits, the most serious disturbance is the interference caused by the
unbalanced return of the electric traction current. In addition to the current of the
track circuit in the rail, there is also the traction current of the electric locomotive.
Ideally, the traction currents on the two rails are the same in the same direction,
and the voltage generated by the electromagnetic induction can cancel each other
out. However, in the actual circuit, the external environment is more complicated,
and the leakage resistance of the rail to the ground is different, resulting in
different traction currents in the two rails, thus generating interference voltage.
(2) Neighboring line interference
In the double track section, only the signal of the running road is received in ideal
condition. But in fact, there are also problems of mutual interference between the
two lines. The main reasons are mutual inductance between rails, earth and air
leakage. The interference of adjacent lines may lead to the incorrect reception of
information from adjacent track circuits. It might make car signal system display
incorrect command information, resulting in potential accidents.
3 Demodulation Algorithm Analysis
3.1 Hilbert Huang Transform Principle

Aiming at some problems existing in existing algorithms, this paper proposes to use
Hilbert Huang Transform in car signal demodulation. The algorithm is self-adaptive. It
can analyze signals in both frequency and time domains. It can get instantaneous
64 H. Xie and J. Lv
frequency and other information of signals. It is suitable for non-stationary and non-
linear signals. Hilbert Huang Transform can be divided into three parts: Hilbert
transform, empirical mode decomposition and Hilbert spectrum [8–10].
Hilbert Transform
The Hilbert transform is defined as follows: the original signal is x(t), and the Hilbert
transform is ^xðtÞ
Z 1
1 xð t Þ 1
^xðtÞ ¼ ds ¼ xðtÞ ð3Þ
p 1 t s pt
Therefore, the Hilbert transform can be considered as the result of a filter whose
unit response is hðtÞ ¼ pt1 . That is, the Hilbert transform has a positive frequency
hysteresis of 90°, and a negative frequency of 90°. The analytic signal of x(t) can be
defined as
zðtÞ ¼ xðtÞ þ j ^xðtÞ ¼ aðtÞejuðtÞ ð4Þ

qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
aðtÞ ¼ ðxðtÞÞ2 þ ð^xðtÞÞ2 ð5Þ
2
^xðtÞ
uðt) ¼ arctan ð6Þ
xðtÞ
As we know, in nonlinear and non-stable signal processing, instantaneous fre-

quency is the most intuitive phenomenon. In order to get the instantaneous frequency
with physical meaning, there are certain constraints on the signal. These constraints
also provide a basis for decomposing signals, and empirical mode decomposition is one
of them.
Empirical Mode Decomposition (EMD)
Empirical mode decomposition (EMD) is the first step of Hilbert-Huang transform, and
it is a powerful tool for analyzing non-linear and non-stationary signals. N.E. Huang
et al. proposed the concept of intrinsic mode function (IMF), believing that any signal
can be composed of IMF. The function that satisfies the following two conditions is
called IMF.
(1) The difference between the number of zeros and the number of points in the whole
signal is no more than one.
(2) In the whole signal, the average value of the envelope formed by the local
maximum and the local minimum of the signal is zero or close to zero.
The main idea of EMD decomposition is to decompose the signal into a finite
number of IMFs satisfying certain conditions. This process is the core of HHT trans-
formation. The EMD decomposition process is as follows:
(a) For the original signal xðtÞ, find all the local maximum points and all the local
minimum points. The cubic spline interpolation method is used to fit the maxi-
mum points and the minimum points, and the upper and lower envelopes are
obtained.
(b) The average value of the upper and lower envelopes is calculated as m1(t), make
h1(t) = x(t) – m1(t).
(c) If h1(t) satisfies the IMF condition, we get c1(t) = h1(t); if not, we take h1(t) as a
new signal, repeat steps (a), (b). Get the average of the upper and lower envelopes
as m11(t), make h11(t) = h1(t) – m11(t), and continue to judge whether h11(t)
satisfies the IMF condition. If not, we continue to repeat steps (a), (b) until
screening. Select the k times to get h1k(t) satisfying the condition or satisfying the
termination condition, and get c1(t) = h1k(t).
(d) Based on the first IMF component c1(t), the residual component r1(t) = x(t) – c1(t)
is obtained. When rn(t) satisfies the stopping condition, the decomposition ends.
At this time, the signal has been decomposed into several IMFs components and
one rn(t) remainder.
Through these steps, we can get
Xn
xðtÞ ¼ j¼1
Cj ðtÞ þ rn ðtÞ ð2Þ
Each IMF component contains information of different frequencies, which are

arranged from high to low with different frequencies. The residual component rn(t) is
usually a constant or monotone function, which indicates the long-term trend of the
signal.
The termination conditions in step (c) are generally limited by the maximum
number of iterations besides the two judgment conditions of IMF to prevent the dead
cycle in decomposition.
4 Demodulation Algorithm Simulation
In this paper will introduce the concrete steps of demodulation algorithm and validates
it by MATLAB simulation.
(1) Simulate to generate 2CPFSK signal
Based on the theoretical analysis of the second chapter, the 2CPFSK signal is
generated by the method of integral, and the sampling rate of analog signal is
16384 Hz.
(2) Signal preprocessing and EMD decomposition
First, the signal is preprocessed through a strap-pass filter with a pass band of
1500 Hz to 2800 Hz. This is mainly to filter out 50 Hz frequency interference and
its high harmonic to extract the effective spectrum of car signal. Next, decomposes
66 H. Xie and J. Lv
signal by the EMD. By analyzing the IMF components obtained by EMD

decomposition, it’s obvious that the IMF1 and IMF2 contain the almost all the
features of the original signal. So in the next, only analyzes and processes the
IMF1 and IMF2. In the vast majority of cases, the information contained in the
IMF1 almost matches the original signal, shown as Fig. 2(a).
(3) Calculate the instantaneous frequency
First, calculate the analytic signal of the IMF1. After that, calculate the instan-
taneous frequency of the IMF1, shown as Fig. 2(b). It’s easy to see a certain
mutation at the beginning and end of the instantaneous frequency. Therefore,
before further processing, it is necessary to delete some of the data at the
beginning and end. At last, check whether the mean of instantaneous frequency is
near the following frequency points of 1700 Hz, 2000 Hz, 2300 Hz or 2600 Hz.
If not, it means that the IMF1 is not valid and should be discarded. Besides, repeat
these steps for the IMF2 component. If the average instantaneous frequency of the
IMF2 still doesn’t match these frequency points, this EMD decomposition is
failed and need to be done again.
(4) Calculate carrier frequency
The approximate carrier frequency is obtained in the previous step, in order to
distinguish carrier type between type 1 and type 2, precise frequency values are
required. The specific steps are as follows:
(a) Using the mean value obtained in the third step, the instantaneous frequency
is divided into the upper frequency and the lower frequency.
(b) Calculate the mean value of the data in a certain range of the upper frequency,
and discard the data outside the range, and do the same for the lower fre-
quency. Calculate the average of the mean value of upper and lower fre-
quency to get the accurate carrier frequency.
(5) Calculate modulation frequency
The modulation frequency can’t be obtained directly from the instantaneous
frequency graph and requires further calculation.
(a) Normalize the instantaneous frequency, by setting the instantaneous fre-
quencies above the average to “1”, below the average to “0”.
(b) The mean filtering of normalized instantaneous frequency is carried out to
eliminate the individual jump points. And normalize again to get a square
wave, shown as Fig. 2(c).
(c) Find all the jump points between 0 and 1. Calculate the length of each two
jump points and get the average of each length. Get the modulation frequency
from the average length and the sample rate.
Taking the signal of carrier frequency 2600 Hz as an example, the demodulated
information is shown in the Table 1. It can be seen that the demodulation result of HHT
algorithm is very accurate, which further shows that HHT algorithm is suitable for the
demodulation of ZPW2000A track circuit.
Fig. 2. (a) EMD results, (b) instantaneous frequency, (c) Normalization processing
Table 1. Demodulation results

Input Demodulation result
Modulation Center frequency Error Modulation Error
frequency (Hz) (Hz) (Hz) frequency (Hz) (Hz)
10.3 2600.0016 0.0016 10.2954 0.0046
13.6 2600.0005 0.0005 13.5963 0.0027
16.9 2599.9989 0.0011 16.8881 0.0119
20.2 2600.0038 0.0038 20.2980 0.0980
23.5 2600.0016 0.0016 23.5024 0.0024
26.8 2599.9955 0.0045 26.8187 0.0187
29 2599.9970 0.0030 29.0061 0.0061
68 H. Xie and J. Lv
5 Peroration
This paper introduces the application of HHT algorithm in car signal demodulation.
Taking ZPW2000A track circuit signal as an example, the algorithm is simulated and
verified. This paper summarizes the structure of car signal and the characteristics of
track circuit, introduces the principle and implementation of HHT algorithm in detail.
Through the MATLAB simulation, it has proved that the HHT demodulation algorithm
can greatly improve the demodulation quality of car signal and ensure the safety of
train operation.
References
1. Wang, R.: Foundation of Railway Signal Operation. Railway Publishing House, Beijing
(2008)
2. Chao, Q.L.: Track Circuit and Electrification. Railway Publishing House, Beijing (2008)
3. China Railway Signal History Editorial Committee: Electrified Railway Signal Equipment.
Railway Publishing House, China (2016)
4. Dong, Y.: Interval signal control and Train Operation Control System. Railway Publishing
House, Beijing (2008)
5. Liu, X., Zhang, L., Liu, S.: Research and implementation of ZPW2000 shift frequency signal
detection technology. Instrument technology and sensor, pp. 82–85, December 2014
6. Gai, Q., Zhang, H., Xu, X.: Adaptive frequency multiresolution analysis of Hibert Huang
transform. Electron. J. 33(3), 563–566 (2005)
7. Zhang, J.: Adjacent line interference of type ZPW2000 track circuit. Railway Technol.
Innov. 1, 53–55 (2009)
8. Qiong, G.: Application analysis of ZPW2000A track circuit for passenger dedicated line.
Railway Commun. Signal Eng. 6, 85–87 (2012)
9. Huang, N.E., et al.: The empirical mode decomposition and the Hilbert spectrum for non-
linear and non-stationary time series analysis. Proc. R. Soc. Lond. 454, 903–995 (1998)
10. Huang, N.E., et al.: A confidence limit for the empirical mode decomposition and Hilbert
spectral analysis. Proc. R. Soc. Lond. 459, 2317–2345 (2003)
Human Action Recognition: A Survey
Meixia Fu1,2,3(&), Na Chen1,2,3, Zhongjie Huang1,2,3, Kaili Ni1,2,3,

Yuhao Liu1,2,3, Songlin Sun1,2,3, and Xiaomei Ma4
1
mxfu@bupt.edu.cn
2
Beijing, China
3
4
China United Network Communications Group Co., Ltd., Beijing, China
Abstract. In this paper, we provide a comprehensive survey in human action

recognition and prediction, which has always been a universal and critical area
in computer vision. Human action recognition is the first step for a machine to
understand and percept the nature, which is small part in machine perception.
Human action prediction is the higher layer than human action recognition that
is small part in machine cognition, which would give the machine the ability of
imagination and reasoning. Here, we only discuss human action recognition
from two methodologies that is based on presentations and deep learning,
separately. Then, 4 public datasets of human action recognition are descripted
closely. Some challenges in dataset are also proposed because of the significance
to the development of computer vision. Meanwhile, we compare and summarize
recent-published research achievements under deep learning. In the end, we
conclude about mentioned methods and future challenges to work on for
computer vision.
Keywords: Human action recognition Computer vision

Machine perception Human action prediction Machine cognition
Deep learning
1 Introduction
Recently, computer vision has been a popular branch in artificial intelligence, which
gives a critical influence on human-machine interactions, intelligent vision surveil-
lance, automated driving and other applications based on vision. Most of the infor-
mation is obtained through human vision as well as machine. Human action
recognition is inescapable for a machine to understand the human behavior in computer
vision. The definition of human action has many versions in psychology, sociology and
philosophy. In computer vision, human action aims at the external performance in daily
life for humans [1–3], which means that machine could understand what human do

https://doi.org/10.1007/978-981-13-7123-3_9
70 M. Fu et al.
Action representation Action Recognition
Feature
Video Sequences Processing Model Action Labels
Extraction
(a)
Action Recognition
Video Sequences Model Action Labels
(b)
Fig. 1. The two architecture of human action recognition system. (a) shows a methodology
based on presentations, which always extract the feature firstly and then recognize the actions.
(b) presents another methodology, which completes future extraction and action recognition
simultaneously in one model.
through itself way. According to the complexity of actions [3], human activity is di
vided broadly into four levels, including gesture action, interaction and group activity.
The research in this field is more close to real-sceneries, which is in the stage of
actions and interactions.
In this work, two methodologies based on presentations and deep learning are
presented, as shown in Fig. 1(a) and (b). First, many previous-distinctive work are
adopted in Sect. 2. Then we descript 4 public datasets in detail in Sect. 3. Besides, we
compare the mentioned methods based on these public datasets. At last, we summary
the previous work and propose new challenges for future work in this field in
conclusion.
2 Previous Work
Several techniques for human action recognition have been reported, the method based
on presentations [4–6], deep learning [7–10]. We introduce these two methodologies
separately. Figure 2 shows the development of human action recognition over time.
2.1 Methods Based on Presentations

Before 2010, most methods based on presentations like Fig. 1(a) consist of hand-
crafted feature extraction and action recognition. In [4], a binary motion-energy image
and a motion-history image were considered as the feature of image sequences.
Temporal template was utilized to evaluate the similarity between the stored modes and
the current models. [5] proposed the interest point in spatial-temporal domain as the
Human Action Recognition: A Survey 71
Human action
Signal
recognition
Representations Deep Learning
Image Skeleton
MEI MHI + Template 2001 2013 2015

3D CNNs [7] Skeleton + BRNN [20]
Matching [4]
time
2005 2014 2018
time
ROI + TM [5] Two-stream [8] Skeleton + LSTM [21]
2005 2014 2018

3-D space-time volume [7] CNN+LSTM [15] ST-GCN [22]
2007 2015 2018

CHSMM [11] TDD+FV [9] RL +skeleton [23]
2007
Space-time shape [13] 2016
TSN [16]
2008
LBP+HMM [12] 2016
key frame + ST [17]
2010
Survey [14]
2018
Video Coding [18]
2018
ATW CNN [19]
Fig. 2. The development of human action recognition over time
input of matching. [6] detected all locations through 3-D space-time volume and
matched with similar dynamic behaviors. In [11, 12], Hidden Markov Models (HMMs)
were applied for the variations for sequences in an observation. [13] applied a 2D
shapes to space-time action recognition. [2] provided a detailed overview of previous
work in human action recognition.
2.2 Methods Based on Deep Learning

After 2010, many methods deep learning-based have been presented. A large of
structures are similar to Fig. 1(b). According to the different input, we distribute two
groups, image and skeleton as shown in Fig. 2.
For image, the input of the proposed methods is the original frames or deep images.
In [7], an automated human action recognition system was proposed, which developed
a novel 3D convolutional neutral networks (CNNs) as shown in Fig. 3. In [8], Karen
proposed two-stream convolutional networks according to “two-streams hypothesis”.
One stream was used to depict scenes and objects in single frame and another stream
was applied to extract motion information across frames. Each stream was using a deep
ConvNet for action recognition shown in Fig. 4. [10, 14] showed long-term recurrent
convolutional networks to recognize video sequences. [9] combined the hand-crafted
features for spatiotemporal normalization and deep-learned features for channel nor-
malization. [15] adopted multi-two stream networks for K segments in the same video.
72 M. Fu et al.
Fig. 3. The structure of 3D CNNs for human action recognition [7].
[16] presented a key volume mining framework to decrease calculation and complexity
for human action recognition. [17] applied the compressed video theory to action
recognition to decrease the redundant information among frames. [18] presented an
attention-based temporal weighted (ATW) CNN to process spatial RGB images for
object recognition, optical flow images for motion information and optical warped flow
images for motion information in three streams, separately.
Fig. 4. The structure of two-stream ConvNet for human action recognition [8].
For skeleton, the input of the proposed model is skeleton information. In [19], a
hierarchical recurrent neural network (RNN) was proposed to recognize actions. This
paper divided the whole skeleton into five parts fed to five subnets. With the layer
increasing, the features from subnets were fused to higher payers. In [20], geometric
relation modeling among skeletons was applied to RNN-based action recognition. [21]
presented a spatial-temporal graph convolution (ST-GCN) structure on skeleton
sequences, as shown in Fig. 5. [22] showed a deep progressive reinforcement learning
(RL) method skeleton-based for selecting key frames form original video sequences
and a graph-based CNN to deal with key frames for human action recognition.
Fig. 5. The structure of spatial-temporal graph convolution [21].
3 Datasets Description
With the development of computer vision, the understanding on images and videos has
attracted more attention from researchers. The most important part in this field is
datasets, which has tremendous effect on the action recognition performance for real-
world application scenarios. There are 4 datasets that are used widely in this field will
be introduced in the following.
3.1 KTH
KTH was published by Christian Schuldt in 2004 [23], which has 6 human action
classes, as shown in Fig. 6. In this dataset, each class consists of 400 clips
approximately.
walking jogging running boxing hand waving hand clapping
Fig. 6. Six examples of human actions in KTH [23].

74 M. Fu et al.
3.2 HMDB51
HMDB51 was published by Kuehne in 2011 [24], which has 51 action classes with 7000
annotated clips. Each class includes 101 clips at least. Some examples of HMDB51 are
shown in Fig. 7. All the videos are from different movies and YouTube videos.
hand-waving drinking sword fighting
diving running kicking
Fig. 7. Six realistic examples of 51 classes human actions in HMDB51 [24].
3.3 UCF101
UCF101 was published by Khurram in 2012 [25]. It is a large dataset including 101
human action classes, some examples are shown in Fig. 8. The time span is over 27 h
and each class has about 130 clips. All of the videos are from YouTube, which is more
challenging and diverse than the existing datasets [23, 24].
Fig. 8. Nine frames of 101 classes human actions in UCF101 [25].

3.4 Kinetics-600
Kinectics-400 was published by Will Kay in 2017 [26], which is used in ActivityNet
from 2017. Kinectics-400 is a sub-set of Kinectics-600 generated from YouTube
videos, which includes 600 human action classes with at least 600 video clips for each
class. Six examples of 600 classes human actions are showed in Fig. 9. This dataset is
about consist of 500,000 video clips and each clip lasts around 10 s. Up to now,
Kinectics-600 is the largest dataset, which not only includes single class but also
human-human interactions.
headbanging stretching leg
shaking hands tickling
robot dancing salsa dancing
Fig. 9. Six examples of 600 classes human actions in Kinects-600 [26].
4 The Comparison Among Proposed Methods
We present a comparison among proposed methods on KTH, HMDB51, UCF101 and

Kinetics-600, as shown in Table 1. From architecture, there are two mainstream
framework, 3D CNNs [7, 10] and two-stream network [8, 15, 18]. From input, there are
two categories, images [14] and skeleton [21]. From complexity, [16] adopted selecting
key frames and [17] applied video coding to decrease calculation and increase
recognition speed. We achieve ATW CNN obtained the highest accuracy based on
HMDB51 and UCF101. ATW CNN shared the advantage of two-stream network and
multi-input information, which proposed three streams and employed an attention
model for human action recognition.
76 M. Fu et al.
Table 1. The performance of mentioned methods based on four datasets

Ref. Model KTH HMDB51 UCF101 Kinetics-600
[7] 3D CNNs 90.2%
[10] LTC-CNN 67.2% 92.7%
[8] Two-stream 59.4% 88.0%
[15] TSN 69.4% 94.2%
[9] TDD + FV 96.65% 65.9% 91.5%
[18] ATW CNN 70.5% 94.6%
[14] CNN + LSTM 90.76%
[16] Key frame + ST 99.94%
[17] Video coding
[21] ST-GCN 30.7%
5 Conclusion
In this paper, we presented a comprehensive survey for human action recognition. All
proposed methods have achieved great performance on public datasets. Considering the
practical sceneries, there are many challenges that needs the researchers to be dealt with
in the future. For example, all of 4 datasets have one label for each video. However,
there are not one class for single person in real-life, like running with listening, talking
with shaking hands. And there are also not one class for several persons in one video,
like one is drinking and others are talking. We would create new dataset according to
real-life condition.
Acknowledgment. This work is supported by National Natural Science Foundation of China

(Project61471066) and the open project fund (No. 201600017) of the National Key Laboratory of
Electromagnetic Environment, China.
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Genetic Algorithm for Base Station ON/OFF
Optimization with Fast Coverage Estimation
and Probability Scaling for Green
Communications
Yebing Ren1,2(&), Wei Liu1, Jiangbo Dong1, Haobin Wang2,3,

Yaxi Liu3, and Huangfu Wei2,3
1
China Mobile Group Design Institute Co., Ltd., Beijing 100083, China
renyebing@cmdi.chinamobile.com
2
Beijing Engineering and Technology Center for Convergence Networks
and Ubiquitous Services, Beijing 100083, China
3
School of Computer and Communication Engineering,
University of Science and Technology Beijing (USTB), Beijing 10083, China
Abstract. Minimizing the power consumption while maximizing the quality of

service has become a mainstream problem in green communications. The
existing approaches of network configurations often ignore the computation
complexity caused by the large number of user terminals. Our contributions
mainly lie in two folds. We formulate an optimization problem to maximize the
user terminal coverage ratio with a given number of activated base stations. We
propose a novel genetic algorithm to optimize the ON/OFF status of base sta-
tions with fast coverage estimation, in which the scaling and selection operators
are carefully designed to take the probability distribution of the estimated
coverage ratio into account. Experiments have been conducted to prove the
proposed algorithm for the network configuration for green communication.
Keywords: Green communications Base station ON/OFF strategy

Genetic algorithm Probability
1 Introduction
Green communication is a new paradigm which reduces environmental pollution and

power consumption for cellular networks [1–3]. A large portion of the network
operator’s operating expenses is used to pay for the electricity [4]. In all the energy
consumption, about 60%–80% of the power consumption is the executed in the base
stations [5]. Thus, turning on or off the base stations, i.e., adjusting the pattern of
activated base stations, is one of the most important techniques to save power con-
sumption of the mobile networks [6]. In order to meet the various demands of users
anytime and anywhere, ensuring the quality of user service has become the focus of
network operators. Coverage is one of the most important performance indicators for
assessing the quality of cellular network services [7].

https://doi.org/10.1007/978-981-13-7123-3_10
Genetic Algorithm for Base Station ON/OFF Optimization 79
Various methods of base station ON/OFF strategies have been proposed in green
communications. Oh et al. [8] proposed an dynamic base station ON/OFF strategy
algorithm to reduce the power consumption in wireless cellular networks. The proce-
dure is to turn off the base station which has the least effect on the network by
considering the additional influence of the adjacent base stations. Zhou et al. [9] solved
the concerned base station energy saving problem in green communications and pre-
sented an algorithm to dynamically turn off certain base stations when the network
traffic is low. Son et al. [10] designed a theoretical framework to save the energy
consumption of base station, which consisted of the dynamic BS ON/OFF strategy and
the user association problem. The optimization also emphasized the total cost mini-
mization but neglecting the quality of service. Bousia et al. [11] developed a switch
base station ON/OFF algorithm green communications, which adequately considered
the information of the distance between the neighbor user equipment and their asso-
ciated base station. The ON/OFF algorithm mainly lied on reducing the power con-
sumption of the communication networks by minimizing the power utilization. Bousia
et al. [12] presented a dynamic base station switch ON/OFF strategy to solve the
problem of the inefficient use of the base station power as an improvement of the
previous work. Kim et al. [13] formulated an energy minimization problem to balance
the power consumption and the revenue of the cellular networks. They also proposed
an algorithm for both base station ON/OFF strategy and user terminal association in
heterogeneous networks. Oh et al. [14] researched a dynamic base station ON/OFF
strategy system to reduce the power consumption of base station considering the
temporal characteristic of the user terminals. The existing approaches of network
configurations are mainly ignore the user terminal number and the quality of service.
In this paper, we propose a novel probability aware genetic algorithm for base
station ON/OFF strategy in green communications. Our contributions mainly lie in two
folds. We introduce an optimization problem to maximize the user terminal coverage
ratio with a given number of ON state base stations. Our contributions mainly lie in two
folds. We formulate an optimization problem to maximize the user terminal coverage
ratio with a given number of activated base station. We propose a novel genetic
algorithm to optimize the ON/OFF strategy with fast coverage estimation, in which the
scaling and selection operators are carefully designed to take the probability distribu-
tion of the estimated coverage ratio into account. Experiments have been conducted to
prove the proposed algorithm for the network configuration for green communication.
The rest of the paper is organized as follows. Section 2 formulates the problem
models and Sect. 3 proposes the novel probability aware genetic algorithm. Section 4
shows the experiments and discusses the results. Finally Sect. 5 concludes this paper.
80 Y. Ren et al.
2 System Model and Problem Formulation
This section introduces the network scenario and formulates the optimization problem.
2.1 Network Scenario

Assume that there are n base stations distributed in the predefined Region of Interest
(ROI). Let the base station set be B = {B1, B2, …, Bn}. Each base station has two
states, on state and off state. Denote the ON/OFF state SBi of BS Bi, 1 i n, as

1 if Bi is on state;
SBi ¼ ð1Þ
0 if Bi is off state:
We can turn ON/OFF the base stations artificially according to the variations of the
users’ locations.
The ON/OFF state strategy can be expressed as
G ¼ ½SB1 ; SB2 ; . . .; SBn : ð2Þ
Note that the strategy G is an n-length vector in which the elements are the states of
the base stations. An ON/OFF strategy represents a set of the activated base stations’.
There are m user terminals distributed in region R. Let the user terminal set be
U = {U1, U2,. .., Um}. The illustration of the network deployment is shown in Fig. 1.
Fig. 1. Illustration of the network scenario.
To simplify the coverage problem, we assume that if user terminal Uj is in the range
of a circle whose center is base station Bi with a predefined radius RadiusBase, the user
terminal Uj is covered by base station Bi. Covered user terminals have good com-
munication performance and satisfied quality of service, and vise versa. The illustra-
tions of the covered user terminal and the uncovered user terminal are demonstrated in
Fig. 2.
Fig. 2. Illustrations of the covered user terminal and the uncovered user terminal.
Then the coverage ratio of region R can be calculated by

U
^
C¼ ð3Þ
jU j
^ is the set of covered user terminals, and |X| is the cardinality of set X.
where U
2.2 Problem Formulation

Our goal is to maximize the region coverage ratio, that is, the number of the covered
user terminals, with limited number of on state base stations. Thus the optimization
problem can be described as
max
C ðSB1 ; . . .; SBn Þ ð4Þ
SB1 ; . . .; SBn
X
n
s:t: SB1 ¼ ^n:
i¼1
where ^n is the maximum number of the on state base stations.
3 Genetic Algorithm with Fast Coverage Estimation

3.1 Gene, Individual and Population
The gene in base station ON/OFF strategy problem refers to the ON/OFF state SBi of
the BS Bi. An individual refers to one ON/OFF state strategy G. Population is a set of
ON/OFF state strategies. Denote the population set as
Population ¼ fG1 ; G2 ; . . .; Gk g ð5Þ
where k is the population size, that is, the number of the state strategies in a population.
82 Y. Ren et al.
Let the individual Gl be

n o
Gl ¼ SlB1 ; SlB2 ; . . .; SlBn ð6Þ
Now the optimization goal is to find the optimal individual Gl to maximize the
region coverage ratio with a given number of the on state base stations.
3.2 Fast Coverage Estimation

The optimization goal is to maximize the coverage ratio C. A naive coverage calcu-
lation method is by counting in (3), which sums the above-threshold terminals among
all the terminals. However, the number of the user terminals is usually large. Thus if we
check the coverage status of all the terminals, the computation load will be large even
in our simplified coverage model, and even larger to calculate the signal strength and
link quality for all the user terminals with other complicated models. Thus, we can only
use a batch of sampled user terminals to fast estimate the coverage in a stochastic
manner.
We randomly select M user terminals, Ui0 , 1 i M, without repetition to do
the coverage calculation. The estimated coverage can be given by
^ X
M
^ ðGl Þ ¼ M ¼ 1
C I Ui0 is covered in Gl ð7Þ
M M i¼1
where M ^ is the number of the covered user terminals among the sampled user termi-
nals? Note that the coverage here is not the accurate coverage, but an roughly estimated
one which only calculated by M user terminals.
Assume that the coverage status of any user terminal, say Uk obeys the Bernoulli
distribution with the covered probability P(Uk is covered) ¼ C. Here C is the accurate
coverage ratio and is treated as a parameter to be estimated. Denote the probability
density function of Bernoulli distribution for user terminal Uk as

C B is covered;
f ðxÞ ¼ Cx ð1 CÞ1x ¼ ð8Þ
1 C otherwise:

Thus, the mean value and the variance for the stochastic variable I Ui0 is
covered in Gl Þ is given by
X
1
E I Ui0 is covered in Gl ¼ xi f ðxÞ ¼ 0 þ C ¼ C; ð9Þ
i¼0
X1
Var IðUi0 is covered in Gl Þ ¼ ^ C
ðxi CÞ2 f ðxÞ ¼ 1 C ^ ð10Þ
i¼0
The estimated coverage CðG^ l Þ, which is the summation of M 0-1 distributions,

^ l Þ B(M,C). The mean value and the variance
obeys the binomial distribution CðG
^ l Þ is given by
for the stochastic variable CðG
XM
E C^ ðGl Þ ¼ 1 C ¼ C; ð11Þ
M i¼1
X
M
C ð1 C Þ
Var C^ ðGl Þ ¼ 1 C ð1 C Þ ¼ : ð12Þ
2
M i¼1 M
Note the variance of the estimated coverage ratio is reduced if the sample number
M is increased.
3.3 Scaling and Selection Operations

The coverage by fast estimation is a stochastic variable which obeys a distribution with

the mean value C and the variance C ^ 1C ^ =M. Now that the coverage ratio itself is
not accurate, we must take the probability into account if it is selected as the
replacement of the object function to reduce the computation complexity.
The illustration of the probability density function of binomial distribution C ^ is
shown in Fig. 3.
Fig. 3. Illustrations of the covered user terminal and the uncovered user terminal.
In order to calculate the fitness function, we first select a scaling baseline constant
THP. Now we check the probability Fitl that the estimation value is greater than or
equal to THP.
XP
MTH
M
Fitl ¼ P C^ ðGl Þ THP ¼ 1 Ci ð1 C ÞMi ð13Þ
i¼0
i
84 Y. Ren et al.
The larger the fitness function is, the better the individual is.
Selection operation is an important way to generate new population by selecting the
good performance one into next generation. Denote the selection probability for
individual Gl as
Fitl
l ¼ Pk
ProSel ð14Þ
n¼1 Fitl
Note that 0 ProSel 1 Pro2 . . . Prok ¼ 1. We generate a random decimal

Sel Sel
x range in [0,1]. If 0 n ProSel

1 , we add the individual I into the next generation set. If
ProSel
l1 \n Pro Sel
l , we add the individual Gl into the next generation set. Repeat the
above-mentioned steps until the number of the new generation set is k.
If the constant THP is large, the scaled fitness of the individual Gl is very small and
is not seldom to be selected as the new generation. If the THP constant is small enough,
i.e. near zero, the scaled fitness values of all the individuals are almost equal and all the
individuals have the identical probability to be selected in the next generation.
Usually, we set the constant THP to the minimal coverage ratio in the population.
3.4 Crossover and Mutation Operations

Crossover is a biological operation to generate new individuals with the parents’ genes.
We pair the individuals according to the order of selection. For each individual pair, we
randomly generate an integer x range in [2, n − 1] and split the two individuals into two
parts at x-position, respectively. Let the crossover probability be ProCro , we randomly
generate a decimal x range in [0,1], if x ProCro , change the two parts of the individual
pair. The illustration of crossover operation is shown in Fig. 4.
Fig. 4. Crossover operation of the individual pair (Im1, Im2) in subregion C1

Fig. 5. Mutation operation of the individual Im in subregion C1.
Mutation is an important operator for genetic diversity. Denote the mutation

probability as ProMut . We randomly select k ProMut individuals to do the mutation
operation. For each selected individual, randomly choose one gene SBi to convert the
state. If SBi = 1, we make SBi = 0 and randomly covert one off state SBi = 1, and vise
versa. The illustration of mutation operation is shown in Fig. 5.
4 Experiments and Discussions
Experiments are executed to verify the accuracy and efficiency of Algorithm 1. We

uniformly select 10000 user terminals in a 25 km 25 km region. We select 600 base
stations in R and there are 213 base stations are distributed as ideal honeycomb shape.
The maximum number of the ON state base station is 213. The settings of parameters in
our simulation experiments are listed in Table 1.
Table 1. Settings of simulation parameters

Parameter Value
n 600
^n 213
m 10000
k 60
RadiusBase 1000 m
ProCro 0.9
ProMut 0.1
THp ^
Mean value of C
The original base station location map and original user terminal coverage map are
illustrated in Fig. 6. The blue dots are the on state base stations in Fig. 6(a). We
randomly generate an ON/OFF base station strategy and the on state base stations are
disperse in region R. The red region is the covered region in Fig. 6(b).
86 Y. Ren et al.
Fig. 6. The base station location and the user terminal coverage map in the initial state.
The base station location map and user terminal coverage map after the opti-
mization of the probability aware genetic algorithm are illustrated in Fig. 6. We can see
from Fig. 7(a) that the on state base station distribute more even. More even distri-
bution makes larger coverage ratio. Thus, the algorithm is valid in the base station
ON/OFF strategy. We can see from Fig. 7(b) that the user terminal coverage area is
larger than the initial one. Therefore, the algorithm is accurate to maximize the number
of the user terminal, that is, the user terminal coverage, whose quality of service meets
the required threshold in green communications.
Fig. 7. The base station location map and the user terminal coverage map of the optimization of
the probability aware genetic algorithm after 50 iterations.
The relationship of the coverage ratio and the computation load, i.e., the product of
iterations and samples, of genetic algorithm is illustrated in Fig. 8. If the We can see
from Fig. 8 that the convergence rate of the proposed genetic algorithm is fast even
with a small sample number M. In the same time span, we can run 50 iterations for
M = 100 but only 10 iterations for M = 500. Note that if M = m, i.e., we sample all the
user terminals, our algorithm degenerates into a naive one, which still in its first
iteration in the same time span. Therefore, compared to the naive one without fast
coverage estimation, the proposed algorithm converges faster and is more efficient.
Fig. 8. The relationship between the maximum coverage and the iterations of probability aware
genetic algorithm.
5 Conclusion
Minimizing the power consumption while maximizing the quality of service has
become a mainstream problem in green communications. The existing approaches of
network configurations are mainly ignore the user terminal number and the quality of
service. Our contributions mainly lie in two folds. We introduce an optimization
problem to maximize the user terminal coverage ratio with limited on state base station
number. We not only consider the power consumption by limiting the on state base
station number, but also concern the quality of service by maximizing the user terminal
number. Moreover, we propose a novel probability aware genetic algorithm to optimize
the ON/OFF strategy. The coverage fitness function is converted into a probability one
with less user terminals. Experiments have been conducted to prove the proposed
algorithm for the network configuration.
Acknowledgement. This research is funded by the Joint Foundation of MoE (Ministry of

Education) and China Mobile Group (No. MCM20160103).
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Satellites and Remote Sensing
Inter-layer Link Design
for Resource-Constrained Double-Layered
Satellite Network
Hongcheng Yan1,2(&), Rui Zhang1, Yahang Zhang1, Luming Li1,

and Jiaxiang Niu1
1
Institute of Spacecraft System Engineering,
China Academy of Space Technology, Beijing 100094, China
2
Science and Technology on Communication Networks Laboratory,
Shijiazhuang 050081, China
hongcheng.yan@gmail.com
Abstract. Due to the relative motion of low-orbit satellites and high-orbit

satellites, the inter-layer links (ILL) of double-layered satellite networks (DLSN)
need to be dynamically switched, thus causing the satellite network topology
changing dynamically. Traditional inter-layer link establishment strategy is low-
orbit-centric which assumes that the number of ILLs equipped on high-orbit
satellite is not limited. However, actual DLSNs are generally resource-
constrained, such as weight and power. Thus the number of ILLs can be
equipped on one satellite is limited. Therefore, traditional ILL establishment
strategy is hard to apply in practice. In this paper, we first propose an ILL
establishment strategy which is high-orbit-centric. We assume that high-orbit
satellites have only one ILL and use this as a precondition to establish ILL.
Then, the system snapshot performances of two ILL establishment strategies
under two typical DLSNs constellation configurations, which are LEO/MEO
and IGSO/MEO, are simulated and analyzed. Finally, since ILL establishment
strategy which is high-orbit-centric can make the ILLs of some low-orbit
satellites idle for some time, we point out that further research should be carried
out about how to effectively use low-orbit satellite ILLs.
Keywords: Inter-layer link design Double-layered satellite networks

Higher-orbit-centric Simulation analysis
1 Introduction
Since double-layered satellite networks (DLSN) can integrate the strong points of both
low-orbit satellites and high-orbit satellites, it has attracted much attention in the
research field [1]. Due to the relative motion of low-orbit satellites and high-orbit
satellites in the DLSN, they cannot be always visible. Therefore, the inter-layer links
(ILL) of the DLSN need to be dynamically switched, thus causing satellite network
topology changing dynamically. Since the inter-satellite link within a layer can generally
be fixed by selecting an appropriate constellation configuration [2], the dynamical
topology of DLSN is mainly attributed to the continuous switching of the ILLs.

https://doi.org/10.1007/978-981-13-7123-3_11
92 H. Yan et al.
Currently, the academic community has carried out some research work on the
inter-layer topological dynamics of DLSN, and mainly uses some optimal strategies to
establish ILL, such as the shortest distance, the longest connection time, and the
maximum resource utilization. Currently, the most popular ILL establishment strategy
is based on the longest connection time strategy, that is, low-orbit satellites will choose
a high-orbit satellite which has the longest predictable connection time to establish ILL
[3]. Each time the ILL changes, a new topology snapshot will be generated. Since this
strategy does not consider snapshot optimization issues, it will generate a large amount
of snapshots and the durations of snapshots are mostly short. Zhou et al. [4] and Long
et al. [5] proposed a snapshot optimization method based on snapshots merging, which
can greatly reduce the snapshots amount, while at the same time, increase the snapshots
duration.
Wu et al. [6] propose a concentrated link establishment strategy for ILLs of
LEO/MEO satellite networks. The authors force the ILLs to be reestablished at the
same time to reduce the topological dynamics. For example, for concentrated time
strategy, each LEO satellite will independently find the MEO satellite that can provide
the longest coverage time to establish ILL, and the next actual reconstruction time of all
LEO ILLs is the minimum of all LEO theoretical reconstruction time. Because the
reconstruction of the laser inter-satellite link takes a long time, the centralized ILL
reconstruction strategy of DLSN will cause the MEO layer and the LEO layer to be
isolated during the link reconstruction. Therefore, Li et al. [7] proposed a two-step
synchronous handover scheme for laser ILLs. The authors divide the ILLs into two
groups which perform ILL switching alternately. On the basis of ensuring the con-
nectivity of satellites in two layers, the topological dynamics of the inter-layer can be
reduced. Shi et al. [8] propose a traffic aware ILL selection method by considering both
the flow situation of the associated nodes and the connection time of the associated
nodes and obtain balanced flow distribution among high-orbit satellites.
The above ILL establishment strategy is low-orbit-centric and assumes that the
number of ILLs of high-orbit satellite is not limited. However, actual DLSNs are
generally resource-constrained, such as weight and power. Thus the number of ILLs
can be equipped on one satellite is limited. Therefore, traditional ILL establishment
strategy is hard to apply in practice [9].
In this paper, we first propose an ILL establishment strategy which is high-orbit-
centric. We assume that high-orbit satellites have only one ILL and use this as a
precondition to establish ILLs. Then, the system snapshot performances of two ILL
establishment strategies under two typical DLSNs constellation configurations are
simulated and analyzed. Finally, further research trends are pointed out.
2 ILL Establishment Strategy Which Is High-Orbit-Centric
The typical architecture of DLSN is shown in Fig. 1. Since the inter-satellite links
(ISL) in the same layer can be fixed by choosing an appropriate constellation config-
uration [2], the topology of low-orbit satellite constellation or high-orbit satellite
constellation alone can be regarded as constant. However, due to the relative motion of
high-orbit satellites and low-orbit satellites, the ILLs have to be dynamically switched.
Inter-layer Link Design 93
Then, it can be summarized that the topological dynamics of DLSN are mainly
attributed to the dynamic switching of the ILLs.
Fig. 1. Architecture of double-layered satellite networks (DLSN)
The traditional ILL establishment strategy is generally based on the longest cov-
erage time strategy [3], where, the low-orbit satellite will choose a high-orbit satellite
with longest predicted connection time in all visible high-orbit satellites until the high-
orbit satellite can no longer be visible. Then, the low-orbit satellite will continue to use
the same longest coverage time strategy to select the next high-orbit satellite to
establish ILL.
The traditional ILL establishment strategy is low-orbit-centric, that is, all low-orbit
satellites can establish ILLs with high-orbit satellites. Since the high-orbit satellites is
generally less than low-orbit satellites, high-orbit satellites generally need to establish
multiple ILLs. Taking the LEO/MEO constellation selected in [9] for example, the MEO
needs to establish 10 ILLs at most, 2 ILLs at least, 6 ILLs on average. This poses very
high requirements for the MEO satellite platform, since it should be equipped with many
ILLs. Therefore, traditional ILL establishment strategy is hard to apply in practice.
We propose an ILL establishment strategy which is high-orbit-centric based on the
premise that each high-orbit satellite can only establish one ILL. The ILL establishment
strategy which is high-orbit-centric is described as follows: the high-orbit satellite will
choose a low-orbit satellite with longest predicted visible time in all visible low-orbit
satellites until the low-orbit satellite can no longer cover itself. Then, the high-orbit
satellite will continue to use the same longest visible time strategy to select the next
low-orbit satellite to set up ILL.
The ILL establishment strategy which is high-orbit-centric can guarantee that each
high-orbit satellite only establishes one ILL, and because there are generally fewer
high-orbit satellites than low-orbit satellites, it cannot guarantee that all low-orbit
satellites can establish ILL.
94 H. Yan et al.
3 Simulation Analysis
This section analyzes the ILL topology through simulation. The simulation time is 24 h
and we choose the simulation step as 1 s. The simulation analysis is focusing on two
typical DLSNs, one is LEO/MEO and the other is IGSO/MEO. For each type of
DLSNs, traditional ILL establishment strategy which is low-orbit-centric and the
proposed ILL establishment strategy which is high-orbit-centric are used to establish
ILL. The snapshots are all merged using the method proposed by Zhou-Long.
3.1 LEO/MEO
The constellation configuration of the LEO/MEO DLSN selected is shown in Table 1,
in which LEO adopts the Celesti constellation and MEO adopts the ICO constellation.
Table 1. Constellation parameters of LEO/MEO DLSN

Constellation parameter LEO MEO
Inclination (°) 48 45
Altitude (km) 1400 10390
Number of planes 7 2
Number of satellites per plane 9 5
Inter-spacing of planes (°) 51.43 180
Inter-spacing of satellites in one planes (°) 40 72
Phase factor 5 0
Figure 2 shows the system snapshot sequence generated by two ILL establishment
strategies. Figure 2(a) shows the simulation result of traditional ILL establishment
strategy, and Fig. 2(b) shows the simulation result of proposed ILL establishment strat-
egy. From Fig. 2, it can be seen that the system snapshot generated by the proposed
Fig. 2. System snapshot sequence generated by two ILL establishment strategies (a) low-orbit-
centric, (b) high-orbit-centric
strategy is less than traditional strategy. The system snapshot duration generated by the
proposed strategy is also larger than that of the traditional strategy. This is due to the
reason that since there are fewer ILLs generated by the proposed strategy, the inter-layer
topology may be less dynamic which is demonstrated by fewer number and larger
duration of system snapshot.
Table 2. Statistical characteristics of system snapshots

Snapshots characteristics Traditional strategy Proposed strategy
Total number 226 176
Shortest duration/s 46 30
Longest duration/s 731 2289
Average duration/s 378.6593 485
The number and duration of system snapshots generated by two ILL establishment
strategies are shown in Table 2. The system snapshot generated by the proposed
strategy has a 22% reduction in number compared to the traditional strategy. In terms
of time, the shortest snapshot duration is reduced, the longest snapshot duration is
increased to 3.1 times and the average snapshot duration increased by 28%.
Fig. 3. The LEO satellites to which MEO satellite ILLs is connected
The visualization of inter-layer topology of LEO/MEO DLSN is shown in Fig. 3

which shows the LEO satellites to which MEO satellite ILLs is connected. The hori-
zontal axis represents time and the vertical axis represents the MEO satellite number.
The “x” symbol indicates that the MEO satellite has an ILL switch at that moment. The
number in the upper right corner of the “x” symbol indicates the LEO satellite number
to which the MEO satellite is switched at that moment.
96 H. Yan et al.
The visualization from another perspective of inter-layer topology of LEO/MEO

DLSN is shown in Fig. 4 which shows the MEO satellites to which LEO satellite ILLs
is connected. The horizontal axis represents time and the vertical axis represents the
LEO satellite numbers. The “x” symbol indicates that the LEO satellite had an ILL
switch at that time. The number in the upper right corner of the “x” symbol indicates
the MEO satellite number to which the LEO satellite is switched at that moment. If
there is no number in the upper left corner of the “x” symbol, then the ILL of the LEO
satellite will be idle after this time, i.e. no MEO satellite will establish an ILL with it.
The solid line between the “x” symbols indicates that the LEO satellite established an
ILL with a certain MEO satellite during that time period, and the dotted line indicates
that the ILL of LEO satellite is idle during that time period.
Fig. 4. The MEO satellites to which LEO satellite ILLs is connected
From Fig. 4, it can be seen that the proposed ILL establishment strategy will make
the ILLs of LEO satellite idle for certain periods of time, i.e., it cannot establish an ILL
with the MEO. Moreover, the ILL of some LEO satellites are always in an idle state,
i.e., these LEO satellites can never establish an ILL with MEO satellites.
3.2 IGSO/MEO
The constellation configuration of the IGSO/MEO DLSN selected is shown in Table 3,
in which MEO adopts the walker 24/3/1 constellation and IGSO adopts a constellation
with the same satellite sub-point track.
Figure 5 shows the system snapshot sequence generated by two ILL establishment
strategies. Figure 5(a) shows the simulation result of traditional ILL establishment
strategy, and Fig. 5(b) shows the simulation result of proposed ILL establishment strat-
egy. Similar to the LEO/MEO constellation, it can also be seen from Fig. 6 that the system
snapshot generated by the proposed strategy is less and longer than that of traditional
strategy.
Table 3. Constellation parameters of IGSO/MEO DLSN

Constellation parameter MEO IGSO
Inclination (°) 55 55
Altitude (km) 21500 35768
Number of planes 3 3
Number of satellites per plane 8 1
Fig. 5. System snapshot sequence generated by two ILL establishment strategies (a) low-orbit-
centric, (b) high-orbit-centric
Fig. 6. The MEO satellites to which IGSO satellite ILLs is connected
The number and duration of system snapshots generated by two ILL establishment
strategies are shown in Table 4. The system snapshot generated by the proposed
strategy has a 29% reduction in number compared to the traditional strategy. In terms
of time, the shortest snapshot duration is increased by 112 times, the longest snapshot is
increased to 4 times and the average snapshot duration increased by 33%.
98 H. Yan et al.
Table 4. Statistical characteristics comparison of system snapshots

Snapshots characteristics Traditional strategy Proposed strategy
Total number 45 13
Shortest duration/s 29 3250
Longest duration/s 1543 6199
Average duration/s 7170 9500
The visualization of inter-layer topology of IGSO/MEO DLSN is shown in Fig. 6

which shows the MEO satellites to which IGSO satellite ILLs is connected.
The visualization from another perspective of inter-layer topology of IGSO/MEO
DLSN is shown in Fig. 7 which shows the IGSO satellites to which MEO satellite ILLs
is connected. From Fig. 7, it can be seen that the proposed ILL establishment strategy
will make the ILL of MEO satellite idle for certain periods of time, i.e., it cannot
establish an ILL with the IGSO. This feature is similar to LEO/MEO constellation.
However, in IGSO/MEO constellation, all MEO will establish ILLs with IGSO which
is different from LEO/MEO constellation.
Fig. 7. The IGSO satellites to which MEO satellite ILLs is connected
3.3 Discussion
From the above simulation results we can see that since the number of high-orbit
satellites is generally smaller than that of low-orbit satellites, low-orbit satellites will
not establish ILL with high-orbit satellites at certain time intervals. Moreover, some
low-orbit satellites can never establish ILLs with high-orbit satellites.
Therefore, in the future, we need to study how to make more efficient use of ILLs of
low-orbit satellite. For example, we can make all low-orbit satellites alternately establish
ILLs with high-orbit satellites to prevent some low-orbit satellites ILLs from being idle;
we can also make the idle low-orbit satellites ILLs establish intra-layer links and
increase the topology connectivity of low-orbit layer; or, we can just make some low-
orbit satellites equipped with less ILLs to saving satellite construction cost, and so on.
4 Conclusions
In this paper, we propose an ILL establishment strategy which is high-orbit-centric. We

assume that high-orbit satellites have only one ILL and use this as a precondition to
establish ILLs. Then, the system snapshot performances of two ILL establishment
strategies under two typical DLSNs constellation configurations are simulated and
analyzed. Finally, further research interests are discussed.
References
1. Qi, X., Ma, J., Wu, D., Liu, L., Hu, S.: A survey of routing techniques for satellite networks.
J. Commun. Inf. Networks 1, 66–85 (2016)
2. Werner, M., Frings, J., Wauquiez, F., Maral, G.: Topological design, routing and capacity
dimensioning for ISL networks in broadband LEO satellite systems. Int. J. Satell. Commun.
Netw. 19, 499–527 (2001)
3. Chen, C., Eylem E., Akyildiz, I.F.: Satellite grouping and routing protocol for LEO/MEO
satellite IP networks. In: Proceedings of the 5th ACM international workshop on Wireless
mobile multimedia, pp. 109–116. ACM (2002)
4. Zhou, Y., Sun, F., Zhang, B.: A novel QoS routing protocol for LEO and MEO satellite
networks. Int. J. Satell. Commun. Network. 25, 603–617 (2007)
5. Long, F., Xiong, N., Vasilakos, A.V., Yang, L.T., Sun, F.: A sustainable heuristic QoS
routing algorithm for pervasive multi-layered satellite wireless networks. Wirel. Netw. 16,
1657–1673 (2010)
6. Wu, T., Wu, S.: Performance analysis of the inter-layer inter-satellite link establishment
strategies in two-tier LEO/MEO satellite networks. J. Electron. Inf. Technol. 30, 67–71 (2008)
7. Li, Y., Wu, J., Zhao, S., Deng, B., Miu, X.: A two-step synchronous handover scheme of
optical inter-orbit links in LEO and MEO satellite network. Acta Electronica Sinica 45, 762–
768 (2017)
8. Shi, W., Gao, D., Zhou, H., Xu, Q., Foh, C.H.: Traffic aware inter-layer contact selection for
multi-layer satellite terrestrial network. In: GLOBECOM 2017, IEEE Global Communica-
tions Conference, pp. 1–7 (2017)
9. Yan, H., Guo, J., Wang, X., Zhang, Y., Sun, Y.: Topology analysis of inter-layer links for
LEO/MEO double-layered satellite networks. In: International Conference on Space
Information Network, pp. 145–158. Springer, Singapore (2018)
Safety Design for Customer Furniture
Instrument in Satellite
Tian Tan(&), Chunping Zeng, Xiaodong Jia, Jian Shi,

and Guoqiang Jiang
DFH Satellite Co. Ltd., Beijing, People’s Republic of China

tantian00@163.com
Abstract. More and More piggy-back units are required in recently spacecraft
mission due to the willingness of space industry development of customer. The
risk caused by such kind unit shall be considered in all projects, and normally
the units which are mounted on board are required to ensure the safety of
satellite. However, the risks shall be considered at system level. These risks are
analyzed at system level, and some measures are taken in a typical project which
include the power supply safety, communication safety and system safe mode
design. All these methods are validated in ground test. The satellite was laun-
ched in 2018 and the performance can meet the requirement. The safety design
to CFI is successful and all the measures can be a reference to other similar
mission.
Keywords: Safety design Power supply CAN bus Safe mode
1 Introduction
The spacecraft design related with its safety issue is a key element during the whole
process which had indicated in the national standard program [1] and also issued in the
earlier spacecraft design [2, 3].
As aerospace technology keeps developing during past years, the usage of satellite
is very important for many countries and companies; however, the satellite design and
manufacture process became more attractive for those end users. In fact, the satellite
design and manufacture process is quite comprehensive so that will cause a huge risk
when they start from a spacecraft development directly. A general way is to develop a
unit of spacecraft to gather experience at the initial stage before they start the whole
satellite design and manufacture. The piggy-back unit requirement from customer is
more and more frequency in spacecraft development mission. The risk shall be rec-
ognized and the measures shall be taken since design phase to eliminate the fault in
mission level, even in case of piggy-back unit abnormal. A lot of research have been
done and most of them are focused on how to design this kind new equipment, [4]
especially in energy interface design [5, 6] and signal interface design [7].
A customer furnished instrument (CFI) mission is received from customer in some
project. The power safety, communication safety and safe mode design are designed at
spacecraft level in this paper.

https://doi.org/10.1007/978-981-13-7123-3_12
Safety Design for Customer Furniture Instrument in Satellite 101
2 Design Method
2.1 Description to CFI
The CFI unit which is used for data process on board was designed, developed in-
house, tested by customer and supplied to the satellite contractor in line with the
contract. The design, material, manufacture and process can be validated in orbit
through this unit. It was required to provide necessary resource which include power,
communication and so on. The core requirement of design is safety of the satellite and
no operation of CFI will cause any degradation in the performance of the satellite.
2.2 Piggy-Back Design

The CFI shall not be included in the main mission of satellite in accordance with piggy-
back design rules. In general, separation design and safe mode design is the most
important design method as follow.
Power supply separation: to ensure the power supply of this unit can be controlled
by satellite and the power can be shut down in case of abnormal occurred in CFI.
Communication separation: to ensure the communication with this unit will not
interfere the communication of other on-board units, even in case of abnormal occurred
in CFI.
Safe mode design: to ensure the status of CFI is under monitoring at satellite level
and this unit can be separation with satellite in case of abnormal occurred in CFI.
Besides, the restriction of CFI usage is necessary to ensure the main mission will
not be interfered in the lifetime. The CFI is not allowed to be powered on when the
main mission is performing.
3 Power Supply Design
The CFI unit is separated in 2nd payload section of power distribution design, and the
power on and off are controlled by power distribution unit (PDU) directly. There is no
other unit is included in this 2nd payload power section. In normal case, the power on
and off are controlled by tele-command through on-board computer (OBC). However,
the power distribution unit will monitor the current and it can also be powered off by
power distribution unit directly. A fuse is designed in power distribution unit, and it
will ensure the shortcut fault will not affect the other part of satellite. At the same time,
another fuse is required inside of the CFI as a redundancy design. The permitted current
of the fuse inside the unit is a little lower than the outside one.
The CFI unit is powered by 30 V power bus and the power interface is shown in
Fig. 1. Two fuses in parallel are designed for overcurrent protection. The rated power
consumption of CFI is 4 W and the rated current is 0.135 A. The working current of
chosen fuse can meet the requirement of derating design. The 30 V power bus is
powered by power control unit and the maximum current is 13 A for this circuit. In case
of the shortcut occurred in CFI, the instantaneous shortcut current will be 22 A when
the other units are working in normal case. The fuse can be fused in this case and the
abnormal will not affect the other unit of satellite.
102 T. Tan et al.
nd
Current of 22nd
Current of
Payload
Payload SecƟon
SecƟon
30V CFI
CFI Main
Main Power
Power Supply
Supply ++
30V Power
Power Bus
Bus ++
CFI
CFI backup
backup Power
Power Supply
Supply ++
nd
Voltage of 22nd
Voltage of
Payload
Payload SecƟon
SecƟon
30V
30V Power
Power Bus
Bus -- CFI
CFI Main
Main Power
Power Supply
Supply --
CFI
CFI backup
backup Power
Power Supply
Supply --
Fig. 1. CFI unit power interface with satellite
4 Communication Design
The OBC provides dual redundant CAN 2.0 bus interface link with the CFI-EnD unit
for sending and receiving data streams. CFI unit connect to a separated payload CAN
bus and only this unit is connected with satellite through this CAN bus. 4 OC com-
mands to power on/off CFI-EnD unit are designed for this unit (Fig. 2).
OBC
CAN Bus A
Payload
CAN Bus
CAN Bus B
Fig. 2. CFI communication interface with satellite

Safety Design for Customer Furniture Instrument in Satellite 103
Following rules are mandatory for CFI.

(1) CFI CAN bus Interface shall be DB25 connector, there are 2 matched resistance
(120 X) in CFI B board. One is for CAN A, the other is for CAN B.
(2) CFI CAN bus chip shall be appointed by system designer.
(3) CFI shall output respond data after receiving indirect TC or data block.
(4) CFI shall not send TM data to CAN bus until receive OBC collect sequence.
(5) CAN bus baud rata is 307.2 kbps ± 0.5%.
(6) OBC collect CFI TM each designed period.
(7) OBC communicates with CFI on CAN bus A or CAN bus B, and can switch the
bus used automatically.
5 Grounding Requirements
5.1 Grounding Criteria

The CFI unit chassis shall be bonded at multi-point to the structure. All metallic parts
of the unit shall be electrically connected. The requirements for bonding resistance are
the following:
(1) The bonding resistance between CFI unit and structure shall be less than 10 mX.
(2) The bonding resistance between any two points of CFI unit chassis shall be less
than 5 mX (Using 500 mA or 1A to test).
(3) The DC resistance between harness connector and CFI unit chassis shall be less
than 5 mX (Using 500 mA or 1A to test).
5.2 Primary Power Bus Grounding

The primary power bus shall have return lines. The return lines are connected to PSS.
The power return lines are insulated from CFI unit chassis and the secondary power
returns. The insulating resistance shall be higher than 1 MX.
5.3 Secondary Power Bus Grounding

The return lines of DC/DC converters are connected to PSS. The secondary power
return lines are insulated from CFI unit chassis and the primary power returns. The
insulating resistance shall be higher than 1 MX.
5.4 Signal Return Grounding

Signal interfaces between units shall provide appropriate insulation to avoid grounding
loops.
The return line of telemetry and tele-command signals shall refer to the ground at
the users end.
104 T. Tan et al.
6 Safe Mode Design
A CFI current safe mode and a CFI communication safe mode are designed in system
level. The healthy status is monitored and the safe mode will be implemented auto-
matically by on board computer (OBC) through the telemetry. The PDU will monitor
the current of 2nd power section also.
The power supply subsystem is most important part in the safety design, so this
status is monitored by both PDU and OBC. The current will be collected every second
by PDU and a threshold value (4 A) is designed. Once the current is exceeded, the tele-
command of power off CFI will be send by PDU directly. This safe mode is tested
during PDU acceptance test. It is also tested in satellite level.
As to the communication safe mode, the OBC will communicate with the CFI each
second to collect the telemetries. The safe mode will be trigged when 20 times con-
tinuous communication abnormal occurred. The CFI will be powered off by OBC
automatically. This safe mode is tested during the interface test between CFI and OBC.
It is also tested in satellite level.
7 Conclusion
Based on the CFI embarked requirement, the power supply design, communication
design, grounding design and satellite safe mode design are considered in satellite
development. All these methods are validated in ground test. The satellite was launched
in 2018 and the performance can meet the requirement. The safety design to CFI is
successful and all the measures can be a reference to other similar mission.
References
1. Guide to satellite reliability design. QJ 2172A-2005
2. Tang, B.: Satellite safety design. Spacecr. Eng. 1–5 (1994)
3. Jin, L., Wu, D.: Satellite system reliability and safety review. Spacecr. Environ. Eng. 500–504
(2010)
4. Du, Z., Zhen, G., Dong, X.: Safety and reliability design of ignition controller. Comput.
Measur. Control (2013)
5. Yu, L., Ren, X.: Design of sapcecraft power system. Chin. J. Power Sources (2013)
6. Yu, L., Ren, X.: Study on DC/DC structure analysis for spacecraft. Electron. Product Reliab.
Environ. Test. (2010)
7. Chen, X., Wang, Y.: The analysis and conceiving for the grounding architecture of satellite.
Aerosp. Control (2011)
Dynamic Path Planning Algorithm Based
on an Optimization Model
Jingjing Zhang1(&), Hongning Hu2, and Yuting Wan1

1
Warship Command and Fire Control Teaching and Research Section, College
of Ordnance Engineering, Naval University of Engineering, Wuhan 430032,
Hubei, China
869534782@qq.com
2
Unit 91053, Beijing 100070, China
Abstract. Unmanned surface vessels (USVs) have been extensively employed

in the past few decades. Traditional path planning algorithm assumes that
obstacles remain stationary, and the USV dynamic constraints is not taken into
account. In this paper, a path planning algorithm that considers time dimension
and the dynamic performance of a USV is proposed. The algorithm abstracts the
kinematics constraints and obstacle distance constraints into nonlinear con-
straints and abstracts the path planning problem into a nonlinear optimization
model. The nonlinear model is approximated to a least squares model to
improve the speed of solution. The experimental results show that this algorithm
is reasonable and advantageous.
Keywords: Path planning USV Nonlinear optimization Least squares

Graph optimization
1 Preface
The study of unmanned surface vessels (USVs) began during World War II [1]. USVs
have to function in more complex sea conditions [2]. This causes application of
autonomous navigation which contain generate obstacle maps and obtain path points
via path planning. The common path planning for USV are as follows:
After constructing map, a graph search is often performed to search the optimal
trajectory. A* [3] is a heuristic optimal search algorithm that employs a heuristic
function to guide the nodes close to the target point to obtain a preferential expansion
opportunity. In [4], A first-responder path planning under uncertain moving obstacles
based on algorithm A* is proposed. Zuo proposed a new hierarchical path planning
method for navigation in complex environments [5]. This method has all the future path
information known after the planner execution and before the vehicle movement [6].
However, the number of nodes is excessive and exponentially increases in the
dimension. The Morphin algorithm [7] is a path planning method that is based on
limited environmental information. This method is typically employed to understand
only local environmental information and global goals. Considering the dynamic
performance of the algorithm, algorithm based on the optimization model is gradually
applied to motion planning, with the development of optimization theory in recent

https://doi.org/10.1007/978-981-13-7123-3_13
106 J. Zhang et al.
years [8, 9]. Besides, potential field method is a prevalent method due to its small
computational load; however, it may be trapped in the local optimum [10]. Enhanced
discrete particle swarm optimization path planning is proposed for vision-based surface
inspection [11]. Adaptive algorithm was proposed to estimate the scalar field over a
region of interest [12]. Devaurs developed sampling-based approaches combining
RRT⁄ and T-RRT [13]. The algorithm is fast, guarantees the optimum but may not be
solved.
Two problems need to be solved for planning in a marine task: (1) without con-
sidering obstacle’s moving; (2) without considering USV dynamic constraints which
cause path fitting effect is poor. They are not both considered meanwhile in planning
before. For this reason, this paper proposes a path planning algorithm that incorporates
time dimension and considers the kinematics constraints of an USV. The algorithm
abstracts the path planning into a nonlinear optimization model and outputs the
sequence data of the planned position and speed of USV.
2 Path Planning Process
Based on the distance between the USV and an obstacle, a nonlinear optimization
model is established with some limits, such as speed and acceleration limitation, dis-
tance from obstacle, finally obtain the optimized pose sequence.
2.1 Obstacle Indication

O denote obstacle set. Ok;t denote the k-th obstacle at the discrete time t.
O ¼ fOk;t jk ¼ 1; 2; . . .m; t ¼ 1; 2; . . .ng ð1Þ
Ok;t ¼ ½xk þ vk t sin hk ; yk þ vk t cos hk ; dt T ð2Þ
Ok;t including the position ½xk þ vk t sin hk ; yk þ vk t cos hk (obstacle position ðx; yÞ,
velocity ðvÞ, angle ðhÞ at 0 time) and the expansion distance dk;t . The accuracy is lower
after a period of time, the dynamic obstacle may appear in a larger range. The 0 time
and the t time space obstacle is shown in Fig. 1(a),(b).
Fig. 1. (a) 0 time position, (b) t time Fig. 2. Position-time

position latitude obstacles
Dynamic Path Planning Algorithm Based on an Optimization Model 107
As the obstacle may move with time, this paper establishes the xyt space to
represent the position of the obstacle as shown in Fig. 2. The horizontal plane is
xy(position), and the vertical axis is t(time). Stationary obstacle is the cylinder which is
perpendicular to the plane. Dynamic obstacles position shifts at certain velocity, as an
inclined cylinder. For obstacles with lower certainty, the inflated circle increases with
time. The cylinder’s upper base is larger than the lower base.
Setting Optimization Variables. The location at the discrete time t is
st ¼ ½xt ; yt 2 R2 ð3Þ
The position sequence composed of dots is S ¼ fst j t ¼ 1; 2; . . .; ng.

Setting Optimization Model. The core purpose of optimization is to keep the end
of path sequence as close to the end as possible. So, the optimization model is
X
n
V ðsÞ ¼ min ½ðxt xe Þ2 þ ðyt ye Þ2 ð4Þ
s
t¼m
ðxe ; ye Þ is the end. The Euclidean distance between the USV and the end which is
calculated from time m to the final time n is calculated to minimize.
Define the time interval of adjacent values in USV and obstacle position sequence
is Dt. The conditions to be satisfied are
(1) The starting point of the USV is s1 ¼ ss , which is known.
(2) b 2 C is the yaw angle of the USV in the map coordinate system,
x 1 xt
bt ¼ arctan ytt þ
þ 1 yt
.
(3) The distance between the USV and the k-th obstacle at the position st minus the
expansion distance of the k-th obstacle at time t needs to be greater than 0.:
DðOk;t ; st Þ ¼ distðOk;t ; st Þ dk;t 0 ð5Þ
(4) The speed falls within a certain range. vlt is the forward speed at time t, vlmin ; vlmax
are the limit, correspondingly; vrt is the steering speed at time t, vrmin ; vrmax are the
limit, correspondingly.
vlmin vlt ðst þ 1 ; st ; DtÞ vlmax ð6Þ
vrmin vrt ðbt þ 1 ; bt ; DtÞ vrmax ð7Þ
vlt ¼ distðst þ 1 ; st Þ=Dt ð8Þ
vrt ¼ ðbt þ 1 bt Þ=Dt ð9Þ
(5) Similarly, the acceleration falls within a certain range. alt is forward acceleration at
time t; almin ; almax are the limit, correspondingly. art is the angular acceleration at
time t; armin ; armax are the limit, correspondingly.
108 J. Zhang et al.
almin alt ðst1 ; st ; st þ 1 ; DtÞ almax ð10Þ
armin art ðbt1 ; bt ; bt þ 1 ; DtÞ armax ð11Þ
alt ¼ ðdistðst1 ; st Þ=Dt distðst ; st þ 1 Þ=DtÞ=Dt ð12Þ
art ¼ ððbt bt1 Þ=Dt ðbt þ 1 bt Þ=DtÞ=Dt ð13Þ
(6) Due to the existence of obstacles, the model is a typical nonlinear non-convex
optimization model (The objective function is nonlinear, and the feasible region is
the position coordinate definition domain, not connected region), and its local
optimal point is related to the number of obstacles. KKT condition explain that the
dimension of the H matrix to be solved in the process of solving the Lagrange
function is equivalent to the dimension of the independent variable of the original
optimization. Thus, direct solving of this type of model is difficult.
To improve efficiency, the original problem is approximate to a least squares
optimization problem to solve the inequality constrained problem. The method
employs the first derivative to approximate the H matrix. The sparsity of the matrix is
utilized to improve the efficiency of the solution. For example, the inequality con-
straints can be approximate to a least squares penalty function.
2
DðOk;t ; st Þ ¼ distðOk;t ; st Þ dk;t 0 ! r0 minf0; DðOk;t ; st Þg2 ð14Þ
r0 denotes the penalty factor, which represents the weight relative to other penalty
items. The greater r0 , the more focused is the objective to satisfy this items. For
convenience, the penalty factor is omitted in the latter formula.
The objective function to be optimized is
8
>
> Pn P
k¼m;t¼n
>
> V ð sÞ ¼ ½ðx - x Þ 2
þ ðy - y Þ 2
þ jjmin 0; DðOk;t ; st Þ jj22 þ Fvp þ Fap
>
>
t e t e
>
> t¼p k¼0;t¼0
>
> tP
¼n tP¼n
>
> Fvp ¼ jjminf0; vlmin vlt gjj2 þ 2
jjminf0; vlmax vlt gjj22
>
>
>
>
< t¼0
tP
¼n
t¼0
tP¼n
þ jjminf0; vrmin vrt gjj22 þ jjminf0; vrmax - vrt gjj22
>
>
>
>
t¼0 t¼0
>
> P
t¼n P
t¼n
> 2
jjminf0; almax alt gjj22
> Fap ¼
>
>
jjminf0; almin alt gjj2 þ
>
> t¼0 t¼0
>
> tP
¼n tP
¼n
>
> þ jjminf0; armin art gjj2 þ 2
jjminf0; armax - art gjj22
:
t¼0 t¼0
ð15Þ
The final optimized parameter vector is
s ¼ arg min FðsÞ ð16Þ

S
2.2 Model Solution

Gauss Newton (GN) method does not require the Hessian matrix and involves fewer
computations. The Levenberg-Marquart (LM) method is a GN method in a certain trust
region. In this paper, the Gauss-Newton method and Levenberg-Marquart method are
employed to obtain the path sequence point S. The specific process is detailed as
follows. From Sect. 2.1, we obtain a series of initial values
^
S ¼ fst jt ¼ 1; 2; . . .; ng ð17Þ
the sum of the formula is a series of least squares models:
X
n X
k¼m;t¼n

VðsÞ ¼ ½ðxt - xe Þ2 þ ðyt - ye Þ2 þ jjmin 0; DðOk;t ; st Þ jj22 þ Fvp þ Fap
t¼p k¼0;t¼0
X
n X
n X
k¼m;t¼n

¼ ðxt - xe Þ2 þ ðyt - ye Þ2 þ jjmin 0; DðOk;t ; st Þ jj22 þ Fvp þ Fap
t¼p t¼p k¼0;t¼0
X
t¼n X
t¼n
Fvp ¼ jjminf0; vlmin vlt gjj22 þ jjminf0; vlmax vlt gjj22
t¼0 t¼0
Xt¼n X
t¼n
þ jjminf0; vrmin vrt gjj22 þ jjminf0; vrmax - vrt gjj22
t¼0 t¼0
X
t¼n X
t¼n
Fap ¼ jjminf0; almin alt gjj22 þ jjminf0; almax alt gjj22
t¼0 t¼0
X
t¼n Xt¼n
þ jjminf0; armin art gjj22 þ jjminf0; armax - art gjj22
t¼0 t¼0
ð18Þ
For the convenience of subsequent derivation, every least-squares item is recorded

as e2t;j ðsÞ; thus, the optimization target is
X
t;j
VðsÞ ¼ e2t;j ðsÞ ð19Þ
110 J. Zhang et al.
where j is the j summation of VðsÞ. The first-order Taylor expansion of et;j ðsÞ at
^
S ¼ fst jt ¼ 1; 2; . . .; ng is performed:
^ ^ ^
et;j ðs þ DsÞ et;j ðs Þ þ Jt;j Ds S ¼ fst jt ¼ 1; 2; . . .; ng ð20Þ
^
where Jt;j is the Jacobian matrix of et;j ðsÞ at, and e2t;j ðs þ DsÞ is
^ ^ ^
e2t;j ðs þ DsÞ ¼ et;j ðs þ DsÞT et;j ðs þ DsÞ
^ ^
ðet;j ðs Þ þ Jt;j DsÞT ðet;j ðs Þ þ Jt;j DsÞ
^ ^ ^
¼ et;j ðs ÞT et;j ðs Þ þ 2 et;j ðs ÞT Jt;j Ds þ DsT Jt;j
T
Jt;j Ds ð21Þ
|fflfflfflfflfflfflfflfflffl{zfflfflfflfflfflfflfflfflffl} |fflfflfflfflfflffl{zfflfflfflfflfflffl} |ffl{zffl}
ct;j bt;j Hi;j
¼ ct;j þ 2bt;j Ds þ Ds Hi;j Ds T
^
The approximate value of Vðs þ DsÞ is obtained as follow.
^
X
t¼n;j¼2
^
X
t¼n;j¼9
^
Vðs þ DsÞ ¼ e2t;j ðs þ DsÞ þ e2t;j ðs þ DsÞ
t¼p;j¼1 t¼0;j¼0
X
t¼n;j¼2 X
t¼n;j¼9
ct;j þ 2bt;j Ds þ DsT Hi;j Ds þ ct;j þ 2bt;j Ds þ DsT Hi;j Ds
t¼p;j¼1 t¼0;j¼0
¼ c þ 2bDs þ Ds HDs T
ð22Þ
P P P ^
where c ¼ ct;j , b ¼ bt;j , and H ¼ Ht;j . Thus, the derivative of Vðs þ DsÞ is 0,
and we can obtain the following linear equation:
HDs ¼ b ð23Þ
^
To obtain the Ds that corresponds to the minimum Vðs þ DsÞ, the minimum
optimal solution of approximate V (s) is obtained:
s ¼ s þ Ds
^
ð24Þ
The Gauss-Newton algorithm updates the H matrix and the b matrix in each iter-
ation. The iteration variation Ds is obtained from Eq. (21) and the optimal solution s is
updated from Eq. (22). In each iteration, the optimal solution s is considered to be the
^
initial solution S ¼ fst jt ¼ 1; 2; . . .; ng in the last iteration until the given termination
condition is satisfied.
The algorithm flow is shown in Table 1.
Table 1. Gauss Newton algorithm flow

Gauss Newton algorithm pseudo code
^
1. Given initial value S ¼ fst jt ¼ 1; 2; . . .; ng
2. For the next k-th iteration, we obtain the current H matrix and the b matrix.
3. Solve incremental equations HDs ¼ b
4. When the Ds is sufficiently small to stop the computation, or s ¼ s þ Ds , return to step 2
^
In the Levenberg-Marquart algorithm which can effectively reduce the problem that
the simple Gauss-Newton method may not converge [14], the damping coefficient is
added to place Ds within a certain range, which prevents Ds from being too large to cause
inaccurate approximate results and affects the convergence effect. Unlike Eq. (20), the
Levenberg-Marquart algorithm solves a linear equation with a damping coefficient.
ðH þ kIÞDs ¼ b ð25Þ
where k is a damping coefficient. The larger k, the smaller Ds . This is very useful for
controlling step size. The idea of the Levenberg-Marquart algorithm is to dynamically
control the damping factor. In each iteration, we compare the difference between the
approximate model and the actual function. If the difference is small, we reduce k.
Otherwise, we increase k to re-solve until Ds is sufficiently small. The initial value of
the damping coefficient k is closely related to the state of the coefficient matrix H [14,
15], which can be expressed as
k ¼ s maxfðHÞii g; i ¼ 0; . . .; n 1 ð26Þ
2.3 Result Optimization and Computation Speed and Acceleration

The previously described optimization models obtain a series of position points S. The
point at the end of the sequence sn may be near the end (not arrive) or clustered at the
end. If clustered, delete extra point. If not arrive, extend time scale. Then recalculate
path. Until sn at the end point. According to the adjacent positions, the velocity and
acceleration values at each point can be calculated.
3 Experiment
3.1 Simulation Experiment

The g2o [16] library is used to optimize the operation in experiment.
Comparison Test 1. Set Dt ¼ 2, vlmin ¼ 0, vlmax ¼ 4, vrmin ¼ 4, vrmax ¼ 4,

almin ¼ 0, almax ¼ 2, armin ¼ 1, armax ¼ 1, and dk;t ¼ 20. The origin coordinates of the
112 J. Zhang et al.
ship represent the origin of the world coordinate system (0, 0), and the destination
coordinates are (0,230). Specify the Y axis direction b ¼ 0. Three obstacles

Dk ¼ ½xk ; yk ; vk ; hk ; dk;t T are inserted in the clockwise direction: D1 ¼ ½50; 230; 3:5;
215; 20T , D2 ¼ ½0; 110; 0; 0; 20T , D3 ¼ ½30; 60; 3; 255; 20T , and dk ¼ 15(k = 1,2,3).
This paper’s algorithm is shown in Fig. 3. While A* algorithm is shown in Fig. 4. The
blue point is the output locus which start from left and end from right. Circles are
obstacles. Arrow indicates the obstacles direction and speed. The A* algorithm
assumes that the obstacle is stationary; thus, the resulting path will coincide with the
obstacle. The algorithm proposed in this paper considers the location of the obstacle at
multiple times and the kinematics constraints of the USV. Thus, a better degree of
fitting is achieved.
Comparison Test 2. The Timed-elastic-bands algorithm [8] is shown in Fig. 5, while

the effect of our algorithm in the same environment is shown in Fig. 7.
The Timed-elastic-bands algorithm gets the path points by solving the convex
optimization model, but does not consider the time axis. All obstacles are assumed to
be static. Obviously, as the obstacle moving, the shortest path don’t need avoid the
current position of the obstacle, because while the USV starts from the starting point
and reaches the initial position of the obstacle, the obstacle has already moved away.
The algorithm proposed in this paper can get shorter path.
Fig. 3. Schematic of experimental results Fig. 4. Effect of A* algorithm
Fig. 5. Effect of timed-elastic-bands algorithm Fig. 6. Effect of Morphin algorithm
Comparison Test 3. Path planning based on Morphin [7] is shown in Fig. 6, while the
effect of our algorithm in the same environment is shown in Fig. 7. The environment is
same as above test. Morphin algorithm can quickly calculate the path, because its
model is simple, the computational amount is very small, and it can satisfy the real-time
(100 Hz can be achieved in actual navigation). However, the dynamic nature of
Fig. 7. (a) Effect of this paper’s algorithm (flat) (b, c) this paper’s algorithm (space) (Green line:
path. Start: left. End: right. Arrow direction & length: obstacles direction & speed)
obstacles is also not taken into account, and the planned path cannot be dynamic, so the
path accept from Morphin algorithm is longer than this paper’s algorithm. On the other
side, The path obtained by Morphin algorithm doesn’t connect start point and end
point. This may result in a path that appears to be circumnavigated on a larger scale.
3.2 Real Experiment

To test the actual effect of this paper’s algorithm, the Zhoushan Islands in Zhejiang
Province was chosen as the experimental site. Average speed of the obstacles and USV
was 4 knots and 2 knots. To highlight the experimental results and enhance the
experimental safety, the expansion distance of the obstacle ship is 400 m.
The expansion distance of the static obstacles is 200 m. As shown in Fig. 8, the blue
line moves in a safe direction after bypassing a sunken ship (static obstacle) to prevent
the future position of a dynamic ship.
Fig. 8. Real experiment (requires 0.2 s). Blue line: planned path; Hollow triangle: dynamic
obstacle
4 Conclusion
Compared with the three algorithms, we find that traditional path planning algorithm
assumes that all obstacles are stationary. In Marine applications, USVs and dynamic
obstacles usually have large inertia, that meanings changing their state is slow and
difficult. If only the current position of the obstacle is considered for path planning, the
dynamic obstacle may move to the planned path at the next moment, A collision may
occur. Or there is a shorter path because of obstacle’s moving away but not find. On the
other hand, planning should consider the USV dynamic constraints, such as the speed
and acceleration limit. Otherwise, USVs may not fit the trajectory. The experimental
results show that this algorithm which considers time dimension and USV dynamic
constraints has more advantages.
114 J. Zhang et al.
References
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Analysis, School of Marine Science and Engineering, Plymouth University (2012)
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robotics/robotics-notes.html
3. Yoo, S.-J., Park, J.-H., Kim, S.-H., Shrestha, A.: Flying path optimization in UAV-assisted
IoT sensor networks. ICT Exp. 2(3), 140–144 (2016)
4. Wang, Z., Zlatanova, S., Oosterom, P.V.: Path planning for first responders in the presence
of moving obstacles with uncertain boundaries. IEEE Trans. Intell. Transp. 99, 1–11 (2017)
5. Zuo, L., Guo, Q., Xu, X., Fu, H.: A hierarchical path planning approach based on a* and
least-squares policy iteration for mobile USVs. Neurocomputing 170(C), 257–266 (2015)
6. Shum, A., Morris, K., Khajepour, A.: Direction-dependent optimal path planning for
autonomous vehicles. USV. Autonom. Syst. 70, 202–214 (2015)
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rover. Proc AIAA Forum Adv. Develop. Space Robot. (1996)
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topologies. USVics and Autonomous Systems (2016)
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predictive control. European Control Conference (ECC), pp. 3352–3357 (2015)
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planning algorithm based on ArcGIS. In: Proceedings of ICTIS 2013, pp. 2125–2134. ASCE
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Research on Autonomous Health Management
and Reconstruction Technology of Satellite
Liuqing Yang(&), Xiaojuan Li, Chengyu Feng,

Zhelei Sun, and Tao Zhang
Beijing Institute of Spacecraft System Engineering,

13601254117@163.com
Abstract. In this paper, we analysis the development and proposed design

principles of autonomous heath management. Firstly, we introduce the devel-
opment of autonomous health management between domestic and Overseas.
Then, we analyze the shortage of development and its impact. Finally, we
propose a new design principle of autonomous health management, which laid
the foundations for the future research.
Keywords: Health management Fault diagnosis Fault prediction
1 Introduction
Autonomous health management, as one of the important research directions in the

field of satellite autonomous intelligent management technology, can provide com-
prehensive guarantee for the safe and stable operation of on-orbit satellites. Due to the
harsh space environment, each component on the satellite cannot work stably for a long
time. Therefore, in order to ensure the working order of various electronic devices and
subsystems on the satellite, establishing a complete health management system is
essential for on-orbit satellites.
In this paper, we address the problem of autonomous health management and
reconstruction technology of satellite. Firstly, we study the differences of satellite
independent health management technologies at home and abroad. We then propose
design principles of satellite autonomous health management technology, which laid
the foundations for the future research.
2 Overseas Research Status of Autonomous Health

Management
To improve the operational safety of on-orbit satellites, international aerospace orga-

nizations and research institutions have invested a large amount of human, financial
and material resources to conduct research on the safe operation management, fault
diagnosis and early warning system development of on-orbit satellites. In the 1980s,
foreign countries conducted comprehensive researches on the testing, monitoring and

https://doi.org/10.1007/978-981-13-7123-3_14
116 L. Yang et al.
fault diagnosis of complex systems, which attracted great attention from the aviation
and spaceflight field including National Aeronautics and Space Administration
(NASA), Jet Propulsion Laboratory (JPL), Ames Research Center, DLR and European
Space Agency (ESA), etc. Meanwhile, early applications mainly include various types
of satellites, autonomous spacecraft and landers, such as Deep Space series, the
Phoenix lander, etc. As a result, Europe and America are far ahead in the field of
spacecraft management and fault diagnosis.
Generally, the development of foreign spacecraft autonomous health management
technology can be divided into five stages: reliability analysis, fault diagnostics and
prognostics, integrated diagnostics and system monitoring, integrated system fault
prediction and health management. Its origins can date back to the birth of reliability
theory, environmental testing and system testing, and quality methods in the 1950s and
1960s. In the 1970s, methods for diagnosing sources and causes of failures emerged,
and the development of prediction and health management technologies was beginning
to emerge. Integrated diagnostics technique became popular in the field of space and
aeronautics in U.S. in 1980s. Inspired by this, NASA proposed the concept of
flight vehicle health monitoring on the 1990s, and ultimately proposed the concept of
Integrated Systems Health Management (ISHM), which can support the high perfor-
mance requirements of the new generation of Reusable Launch Vehicles (RLVs), in
2000s.
One of typical ISHM method is Complex System Integrated Health Management
(CSIHM). CSIHM has entered the engineering practice stage and has been fully
applied and verified in projects such as X-33, X34 and X-37 in present. Among these
projects, many organization and companies, such as NASA, Lockheed Martin, pro-
posed two specific techniques: Integrated Vehicle Health Management (IVHM) system,
and Prognostic and Health Management (PHM) system [1–4]. Meanwhile, with the
development of IVHM, many diagnostic reasoning tools have emerged, including
Livingstone, BEAM and SHINE, etc.
Compared with U.S., Europe has also conducted in-depth research on spacecraft
fault diagnosis technology, and developed practical fault diagnosis systems. Many
scientists have researched and developed a variety of knowledge-based fault man-
agement and fault diagnosis systems for different tasks, such as environmental control
and life support system (ECLSSD) for Columbus module.
Russia also has advanced technology in fault diagnosis technology. Boris Katorgin
et al. developed the health monitoring and life prediction system for cryogenic
liquid-propellant rocket engines. Georgy Vasilchenko et al. developed track real-time
monitoring system that provides visualization information for astronauts of Buran
spacecraft.
In conclusion, the development of ISHM is still in its infancy, and a system with
full functionality of ISHM does not exist yet.
Research on Autonomous Health Management and Reconstruction Technology 117
3 Domestic Research Status of Autonomous Health

Management
The self-management of the existing spacecraft in China is mainly based on the data
management system that can only take some emergency measures for the failure, which
is a safety-oriented design. Common ones include autonomous energy management,
autonomous thermal control, and measurement and control component management.
The method adopted is to collect the security status information of the entire satellite
system by using the data management subsystem or the service subsystem. According
to the preset control strategy, it will controls and manages the key equipment that
affects the safety of the whole satellite system. The specific method is to design a safety
threshold for some key telemetry parameters. The software analyzes the telemetry
parameters collected by the software and compares them with the corresponding
thresholds. If the value exceeds the threshold, the fault is considered to occur, and the
predetermined safety instruction sequence is executed autonomously, such as close the
payload.
By analyzing the requirements of autonomous health management of satellites such
as the moth series satellites, the Mars Explorer Yinghuo-1 and the small satellite Trial
5, we summarizes the principles of satellite safety mode design in China:
(1) The system carries out safety mode management independently.
(2) Detect and identify faults as quickly as possible, and take necessary measures to
isolate the faults in order to prevent the expansion of the scope.
(3) To partly carry out reconfiguration operation of the system to ensure the con-
tinuous operation of the task.
Generally, each model mainly carries out the design of security mode control
strategy aiming at energy conservation, including the central computer security mode,
attitude security mode, power security mode, BAPTA blocking and switching safety
mode, bus communication abnormal security mode and so on. Specific examples are
shown as follow:
(1) Central computer security mode: satellite due to loss of programmable area
instructions when the central computer is reset or cut off. The working state of the
load is unknown. If the short-term payload equipment can’t shut down after
starting, and the short-term work becomes long-term work, it will inevitably affect
the safety of the whole satellite power supply.
(2) State Safety Mode: if the satellite’s attitude is abnormal, or the satellite can’t
imagine normally, or the satellite can’t face the sun normally, the satellite may
lose energy, so it is necessary to shut down the payload equipment to keep the
satellite in a stable low-power working state.
(3) Power Safety Mode: when the power supply system is extremely difficult, it will
affect the normal operation of the satellite, and be incapable of working. So it is
necessary to remove unnecessary loads as much as possible, so that the whole
satellite is in the lowest power consumption mode which can ensure the normal
TT&C of the satellite.
118 L. Yang et al.
Although the above measures have been verified on-orbit, it is sure that all fault
diagnosis and treatment are based on a small number of measured parameters moni-
toring and threshold judgment. Moreover, the fault type is also known in advance.
Thus, a fault diagnosis method with comprehensiveness and depth are yet to be solved.
In addition, in order to improve the on-orbit operation management ability of
spacecraft, the on-orbit fault diagnosis method of spacecraft is studied. And the fault
diagnosis system is established to improve the ability of diagnosis and location when
the system fails and improve the efficiency of operation management.
4 Comparison Between Domestic and Overseas
Through the analysis of the above investigation and comparison of the domestic and
foreign research, and application of autonomous health management technology, it is
not difficult to find that there is a big gap between China and foreign countries. The
domestic gap is mainly reflected in the following aspects:
(1) The research work started late, the theoretical basis is weak and engineering
experience is few.
(2) The existing satellite health management methods mainly rely on the ground
system, which is not conducive to timely and effective handing of unexpected
problems and emergency faults in orbit, and it’s liable to cause the expansion of
on-orbit faults, or even the risk of the failure of the entire satellite.
(3) Ground is usually monitored by the traditional way of edge measurement and
alarm. Fault diagnosis relies on manual work. Satellite long tube has many items
of manual monitoring, so it is impossible to carry out on-orbit fault early warning
and fast fault diagnosis. Generally speaking, the rescue level after the failure does
not really involve autonomous health management and fault prediction.
The existing satellite fault diagnosis expert system is basically in the ground test
type, and there are few practical applications; even if there are engineering applications,
the real-time effect of autonomous fault diagnosis and processing can’t be achieved.
5 Requirement Analysis of Autonomous Health
The health management of satellite can be divided into two parts. The first part focuses
on the health management of the design, testing and verification process. Its purpose is
to ensure that the delivered products meets the technical requirements and works
properly. Therefore, we need to find out the problems and hidden dangers in the system
through testing and verification. The second part focuses on the health management of
on-orbit satellites. By analyzing the telemetric data and observed data of on-orbit
satellites, we can not only evaluate the health status of the system, but also discover and
even predict fault of the system [5, 6].
Based on the concept above, autonomous health management and system recon-
struction is divided into several levels:
Status Detection: Through effective technical methods, various parameters closely
related to the working state of each component of the measured object are detected.
Then, a multi-parameters model of the operating state of the system is established. On
this basis, it is possible to further analyze the development and trend of the working
state of each component based on the detected data, and make valuable judgments to
diagnose the fault that has occurred, and even predict the impending fault.
Fault Diagnosis: By analyzing the characteristic signals reflecting the state of the
system and the information recorded in the system log under a specific working
environment, we can identify whether the system is in working order, or whether the
system structure is degraded or deteriorated. Furthermore, we can isolate and locate the
fault based on the relationship between system failure and actual reflection.
Failure Prediction: By pre-detecting the state of the system, or detecting the state
when the system completes the task, we can get performance indicators that reflect the
normal operation of the system. Then, we can provide an early warning to the system
based on the existing records.
Health Assessment and Generates Decision: Because it is impossible to complete
equipment replacement and maintenance for on-orbit satellites, health assessment
method for on-orbit satellite systems is completely different from the classical method.
Thus, we need to conduct a comprehensive analysis based on the existing data, and use
a variety of methods to evaluate the health of the system, and finally give reasons and
suggestions for equipment or sub-system with faults or troubles. Moreover, we can
estimate the life of the equipment to provide reference for task decision.
In conclusion, the autonomous health management and system reconstruction
means of satellite is a method apply in the period of design, verification and on-orbit
operation. It can accurately detect the fault information and identify the cause, location,
type and degree of the fault. Then, we can take corresponding measures to isolate,
reconstruct and recover the fault [7]. By this way, the risk of system failure will be
reduced. Even the satellite is working properly, and the reliability of the satellite is
improved. Furthermore, by analyzing the system logs, sensor information and envi-
ronmental information, we can predict faults of satellites and accurately assess the
health of the satellites so that we can detect system performance degradation and faults
in time. Finally, we can provide assistance for management works of on-orbit satellites,
and even extend the working life of satellites.
In fact, the autonomous health management and system reconstruction means are
committed to solve the following problems:
(1) Fault detection and diagnosis: It can detect the faults of satellites in real-time, and
quickly diagnose and locate the faults.
(2) Real-time fault self-management: According to the specific faults that being
detected and diagnosed, evaluating its severity and development trend, and give
timely countermeasures for the fault. Moreover, completing the system recon-
struction autonomously according to the available resources and task
120 L. Yang et al.
requirements, and completing the fault recovery or downgrade operation to ensure

the normal operation of the satellite.
(3) Fault prediction: Provide early warning of hidden faults and deploy the appro-
priate measures, system restructuring strategy to mitigate and avoid serious the
occurrence of faults to ensure reliable operation of the satellite satellites.
(4) Health management: By conduct a comprehensive analysis of the state of the on-
orbit satellites periodically, we can master the health of all aspects of the satellites
and then provide suggestions for the operating of on-orbit satellites, and improve
the overall availability of satellites.
At present, most domestic organizations still use traditional method to management
satellites, and each state data needs to be transmitted to the ground station through the
downlink. Then staffs confirm whether the satellite operation normally or not based on
the data. When an error occurs, a detailed instruction sequence will be layout and
transmitted to the satellite. However, satellites need to fix the fault autonomously
without the need for ground monitoring and control in the feature. Thus, the ability to
directly process various state data by satellite and formulate corresponding instruction
sequences for various faults is what we need to do.
The satellite electronic system is responsible for the key functions of satellite plat-
forms and payloads such as remote control, telemetry, energy management and thermal
management, and is the core of the satellite. The characteristics of high-risk and high-
cost of satellites let the system must be entirely reliable. Especially for integrated
electronic control and other key subsystems, it must satisfy requirements of high reli-
ability. Meanwhile, not only many new technologies are adopted in the system, but also
high integration level of software and hardware present a challenge for us. Therefore, the
system needs to have the characters of Failure Detection Isolation and system Recon-
figuration (FDIR) to ensure the safety and reliability of the satellite system.
Currently, most satellites have the requirement of long-life design. Especially, the
design life of small satellites has increased to 5–8 years. In addition to hardware
improvements, autonomous health management and fault diagnosis techniques are two
key factors to ensuring the life of satellite. It ensures that the satellite will not be scrapped
in the event of fault, and even can be repaired by software or minimized losses at least.
Nowadays, system-level fault diagnosis technologies for satellite remain at levels
with telemetry parameter monitoring and threshold judgement. The system completes
the operation according to predefined instructions. Therefore, the current fault diagnosis
technology has a small diagnostic range and relies on existing fault cases, and can’t do
anything for the diagnosis of unknown faults. In order to solve this problem, we must
further improve the autonomous health management and fault diagnosis techniques.
With the increase of new types of satellites, the existing management mode and
fault handling methods cannot be used for on-orbit failure warning and rapid fault
diagnosis. The processing time of satellite anomalies is too long, which may cause
faults to expand and even cause catastrophic consequences. Therefore, carry out
independent health management on-orbit satellites operating conditions, and on-orbit
satellites security assessment, fault warning, diagnosis and treatment technology, has a
very urgent military aerospace demand.
Therefore, there are a variety of methods to meet the above needs. On one hand, we
can establish an automatic judgment system for in-obit satellite status, quickly and
intuitively display the working status of the on-orbit satellite, detect hidden dangers in
the early stage of fault indication. On the other hand, we can establish the system which
can quickly locate and provide correct fault countermeasures for satellite design and
maintenance personnel when the fault occurs. Both of them are important methods to
ensure the healthy and reliable operation and extend the life of on-orbit satellites.
In addition, the development of military satellites in the future will gradually be
transformed from satellites used for research to satellites with equipment. In this case,
requirements of rapid satellite development, rapid equipment and reduced development
costs, will demand better results on the comprehensive support links for satellite
development. From the existing satellite development process we can find that, on the
one hand, due to the satellite product design and testing are completely separated into
independent links, resulting in complex ground testing, system fault location, and
troubleshooting, the entire testing process takes up a lot of satellite development time.
On the other hand, stand-alone test, sub-system test and whole-satellite test are inde-
pendent. However, none of the test support equipment is uniform, and the models
cannot be universal. At the same time, the product has no self-test capability and
completely relies on external test equipment, resulting in huge cost of test equipment.
For the above problems, the development requirements of satellite autonomous
health management technologies mainly include the following aspects:
(1) The requirements of task continuity and success: In order to meet the application
requirements, the satellite needs to ensure the timeliness, accuracy and continuity
of the system work firstly. By this way, the satellite will have the abilities of
timely discover faults, realize redundancy management, and improve the relia-
bility and success of the mission. Secondly, the satellite could detect concealed
faults, and then notify the upper-level system in time to take measures to avoid
occurrence of them and ultimately improve the reliability and security of the
mission. Thirdly, the satellite can record information when the state of system has
changed. Then it should analyze and predict the fault trend, and remind the
ground station to take preventive measures. Finally, through system fault detec-
tion, isolation and autonomy, the satellite will have the ability to build and
enhance the continuity of the task.
(2) The requirements of reliability and security: Due to the increased complexity and
design life of the satellite, the environmental effects of the space will cause
degradation of the performance parameters of the satellite-related components,
resulting in abnormal and faults in the satellite. If anomalies and faults for on-orbit
satellite cannot be detected in time, or corresponding control measures are taken,
it will bring serious consequences to safety of the satellite, and even invalidate the
entire satellite.
(3) Timeliness requirements for troubleshooting: With the increase of new types of
satellites, the existing management mode and fault handling methods cannot be
used for on-orbit failure warning and rapid fault diagnosis. The processing time of
satellite anomalies is too long, which may cause faults to expand and even cause
catastrophic consequences.
122 L. Yang et al.
(4) Further improvement of fault prediction capability: Through fault prediction and
health management technologies, the focus of satellite operation management will
shift forward, and give a warning of potential damage timely. Through the
analysis of satellite itself, or through the control of the ground station, hidden
troubles for the satellite can be avoided timely. Further, it can even avoid unre-
coverable damage that will affect system reliability.
(5) The requirements of usability evaluation for the system: Satellite users need to
have a comprehensive of the health and life of satellites when establish project or
performance evaluation. By this way, users can acquire an effective assessment of
the availability of satellite systems. This is also one of the research priorities of
failure prediction and health management.
(6) Improve test efficiency and reduce test costs: By analysis the test design
technology of the system and improving the test design level of the system, the
real-time detection method during system operation can quickly find faults, locate,
improve test efficiency, reduce system test time, and reduce external test equip-
ment and manpower requirements. Reducing costs will help the future develop-
ment of military satellites gradually transform from satellites of research to
satellites with equipment.
6 Conclusion
Autonomous health management capability is one of the capabilities that satellites need
to focus on development and improvement in the future. It is an important guarantee for
the safe and stable operation of on-orbit satellites. This paper investigates the current
research of autonomous health management technologies in the aerospace field at home
and abroad, and analyzes the gaps at home and abroad. Aiming at the needs of the
future satellite intelligent autonomous, we analysis the task requirements of health
management in the two stages of satellite development and satellite operation in detail.
By this way, we finally provide a guideline for the in-depth study of satellite intelligent
self-management.
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The Design and Implementation
of Digital Satellite Simulator
Dong Han1(&), Wen-gao Lu1, Lei Song2,

Shao-po Zhang1, and Ru Gao1
1
DFH Satellite Co. Ltd., Beijing 100094, China
ccechd@sina.com
2
Shandong Institute of Space Electronic Technology, Yantai 264003, China
Abstract. Digital Satellite Simulator (DSS) is a system which can realize high
precision simulation of each subsystem on board, verify and drill the flight
process in orbit. It can generate the original Telemetry (TM) frames according
the frame format of the real satellite, execute and respond the Telecommand
(TC) correctly, provide the real TM, TC, and external data interface for the
TT&C ground test system. DSS can be used to verify the correctness of the
TT&C ground test system hardware function, verify the correctness of TC
sequence which is used for mission planning in orbit, verify the correctness of
attitude in orbit and orbital maneuver, verify the authenticity and reliability of
the software operating environment on board, provide a real training and
operating platform for the satellite designers and operators, this platform can
help users to deal with the FDIR in orbit much more better in the exercise.
Function, structure, and realization method of DSS are introduced in this doc-
ument from the angle of software engineering. Generality and mass production
requirement has been considered in this design, the product development mode
has been formed. This DSS has been applied in many projects such as VRSS-1,
VRSS-2, PRSS-1 and so on. Some suggestions are also proposed for the DSS
follow-up technological development.
Keywords: Digital satellite simulator Virtual testing

Simulation and verification Onboard software
1 Foreword
With the development of the spacecraft, more and more spacecraft development
company have begun to pay attention to the application and technology development of
satellite simulator. The subsystem lever simulation platform could be built by the
simulation of units. The system lever simulation could be built by the simulation of
subsystems. Unit equipments could be connected to subsystem lever simulation plat-
form for subsystem lever design and function testing, subsystem equipments could be
connected to system lever platform for system lever design and function testing in the
future. In this way, product design defects can be exposed as early as possible in the
product development stage, it can also reduce the development cost of product
re-upgrade caused by functional abnormality after product delivery [1] and provide a

https://doi.org/10.1007/978-981-13-7123-3_15
The Design and Implementation of Digital Satellite Simulator 125
more realistic environment for the product joint testing. Compared with the conditions
for the expensive spacecraft equipment joint testing, the satellite simulator will greatly
reduce the cost of product development, improve the efficiency and shorten the
development cycle [2].
The satellite simulator can also realize the simulation and verification of in-orbit
flight mission, failure mode and effects analysis, as well as the functional verification of
ground control system, providing a more authentic training platform for in-orbit
operation [3].
2 System Design
2.1 System Architecture

The satellite simulator is made up of all digital simulation system and simulated
environment platform. All digital simulation system includes TT&C (Tracking
Telemetry & Command Subsystem), OBDH (On-Board Data Handling Subsystem),
PSS (Power Supply Subsystem), AOCS (Attitude and Orbit Control Subsystem), DTS
(Data Transmission Subsystem), and PLD (Payload Subsystem).
TT&C subsystem is composed of Transponder and GPS lower computer. OBDH
subsystem is composed of TU (Telecommand Unit) lower computer, OBC (On-Board
computer) upper computer, TCU (Thermal Control Unit) lower computer, PTU
(Payload Thermal Unit) lower computer. PSS subsystem is composed of PCU (Power
Control Unit) lower computer, PDU (Power Distribution Unit) lower computer. AOCS
subsystem is composed of AOCC (Attitude and Orbit Control computer) lower com-
puter, ALTU (Actuator Local Terminal Unit) lower computer. DTS is composed of
DTS lower computer. PLD is composed of Camera lower computer.
Simulated environment platform include monitoring console, 3D tool, track
maintenance tool and simulate model database.
Monitoring console as the core, is responsible for configuring simulation task, and
loading corresponding simulation software and onboard flight procedures, meanwhile it
is also responsible for setting simulation scenarios, simulation process control and
simulation data display. In addition, monitoring console is the bridge of data interaction
between the DSS and SCC, achieve the input of remote control commands and
telemetry data, ensure correct satellite control, transmit the test data and the test results
to the SCC through the communication network.
3D tool can display the working status of the satellite in orbit dynamically. Capable
of showing the relative position and trajectory of the satellite relative to the earth and
sun from the perspective of satellite, earth and sun.
Track maintenance tool provide the function of orbit prediction, simulate the
information of position and velocity of satellite flight, calculate the information of
celestial position, ground station tracking and measurement which related to the
satellite operation scene.
Simulate model database is composed of simulation information database and real-
time database. Simulation information database is used to store simulation scenarios,
simulation instruction, TM data, simulation process data and model information. Real-
time database is used to store TM frame, TM package, TM value [4–6].
126 D. Han et al.
Digital satellite simulator architecture is shown in Fig. 1
All Digital Simulation System

TT&C OBDH
GPS
TU TCU PTU
Lower Transponder OBC
Lower Lower Lower
computer Upper computer
computer computer computer
CAN Bus
( Protocol)
PSS AOCS DTS PLD
PCU PDU AOCC ALTU DTS Camera
Lower Lower Lower Lower Lower Lower
computer computer computer computer computer computer
LAN ( Protocol )
GCS Simulated Environment Platform
Track
Monitoring
SCC 3D Tool Maintenance Simulate Model
Console Tool Database
Fig. 1. Digital satellite simulator system architecture
2.2 Hardware Composition

The satellite simulator hardware consist of a high-performance workstation. All digital
simulation system, monitoring console, track maintenance tool, 3D tool, simulate
model database perform on the workstation centrally. The subsystem lower computers
in all digital simulation system use network link communication according to satellite
CAN bus protocol [7]. Other software uses network link communication according to
satellite simulator ICD (Interface Control Document) protocol. The communication
protocol between the satellite simulator and GCS (Ground Control System) follows real
satellite and GCS communication protocol [8, 9].
3 Functional Design and Implementation

3.1 All Digital Simulation System
(1) OBDH subsystem main Functions in satellite simulation are as follows:

• To receive commands and data block from ground stations and distribute them
to the satellite subsystems.
• To collect the satellite telemetry data and send them to ground stations.
• To manage the on-board time and broadcast it.
• To provide the capability of receive and distribute the on-board commands and
time-tagged commands.
• To provide the capability of thermal control.

• To store and restore important data between OBDH and AOCS.
• To manage the communication of the other sub-system via CAN bus.
• To monitor the important parameter of satellite and manage the safe mode of
satellite.
(2) TT&C subsystem main Functions in satellite simulation are as follows:
• To transmit the downlink telemetry frame and other data to the ground station.
• To receive the telecommand from the ground station and transmit to OBDH
subsystem.
• To compute position and orbit determination messages based on track main-
tenance tool, and then broadcast them on LAN via CAN protocol.
(3) PSS subsystem main Functions in satellite simulation are as follows:
• To simulate solar energy convert into electrical energy during sunlight period.
• To simulate energy storage in the battery during sunlight period.
• To simulate electrical energy provide to the loads continuously during all
mission lifetime, using the battery when the SA output power is not enough
(4) AOCS subsystem main Functions in satellite simulation are as follows:
• To eliminate initial deviation after the satellite’s separation from the launcher,
and eliminate attitude disturbance from solar array deployment; eliminate
attitude disturbance from data transmission antenna deployment.
• To perform Earth acquisition, and establish coarse Earth pointing attitude.
• To drive solar array for sun pointing.
• To satisfy performance requirements of attitude control in normal mode.
• To perform crab angle control automatically by the satellite.
• To perform global attitude acquisition and emergency sun pointing.
• To perform initial orbit acquisition and long-term orbit maintenance, and
satisfy requirements of nominal orbit maintenance.
• To perform roll-axis maneuver, pitch-axis maneuver and yaw-axis maneuver
• To calculate the angle of rotation for data transmission antenna.
• To calculate the solar elevation angle of the ground imaging point.
(5) DTS subsystem main Functions in satellite simulation are as follows:
• To simulate the DTS four working mode, include Real time mode, Quasi-real-
time, Record mode, and Replay mode.
(6) PLD subsystem main Functions in satellite simulation are as follows:
• To simulate the PMC (Panchromatic & Multi-spectrum Camera) imaging
mode.
• To simulate the thermal control of the camera.
128 D. Han et al.
3.2 Monitoring Console

Monitoring Console consist of three parts: network communication layer, business logic
layer and UI presentation layer. Network communication layer is responsible for the
interaction with simulation information database, real-time database, and other related
software; business logic layer is responsible for data read, retrieval, caching, and
controlling with other related software, data uplink and downlink; UI presentation layer,
as a visible layer for terminal users, is responsible for receiving of users’ operation,
pushing data needed by users, setting friendly user experience as design target.
Monitoring Console is designed in modularization, functionalization and general-
ization, including login management, scenario management, multi-satellite simulation
management, telemetry data management, telecommand management, simulation fault
management, command script management, key parameters analysis management,
satellite control center management and execution log management modules.
3.3 Orbit Maintenance Tool

Functions of the Orbit Maintenance Tool software include:
(1) Orbit Forecasting
Based on the primary orbital elements, the software can calculate and get the real-
time simulation data including UTC time, the position and velocity of the satellite
presented in J2000, the position and velocity in WGS84, the real-time orbital elements,
the longitude and latitude of the sub satellite point, and the orbit altitude.
(2) Ground Tracking Calculation
The Orbit Maintenance Tool software should provide interface for the ground
tracking calculation which produces the command signal for the designated ground
station about the angle of altitude, azimuth angle, the distance and the range conversion
rate based on the input data of time and orbit position.
The input information of the orbit position includes the position vectors in both
J2000 and WGS84. Input information for the ground station includes the longitude,
latitude and the altitude of the ground station and constraints on the antenna elevation
angle.
(3) Solar Azimuth Calculation
The Orbit Maintenance Tool software can calculate the position and angular vectors
and the distance between the sun and the earth presented in J2000 and spacecraft body
fixed coordinate based on the UTC time, and at the same time justify whether the
spacecraft is in the shadow of the earth based on the orbit data and solar ephemeris
which will be transmitted to the power supply and distribution subsystem and the
attitude-orbit control subsystem for the calculation of solar battery output power and
the sun sensors.
(4) Orbit Maneuver Planning

The Orbit Maintenance Tool software can plan and calculate the orbit maneuver
parameters including the expected orbit transfer velocity increment, the expected orbit
transfer altitude, the orbit maneuver point and the fuel consumption based on the input
UTC time and orbit data.
Orbital maintenance tool contains 5 computing modules, including Orbit Propa-
gator Module, Orbit Control Module, Ground Station Visibility Forecast Module,
Human-Computer Interaction Module, and Data Management Module.
3.4 3D Monitoring
3D monitoring displays various working modes and the flight attitude of the satellite in
3D mode. Functions of the 3D monitoring software include:
(1) To support online and offline mode.
(2) To support satellite perspective, earth perspective, sun perspective. To show the
relative position of the sun, earth and satellite.
(3) To display orbit track and the subastral points.
(4) To display working modes of the satellite.
(5) To display orbit maneuver of the satellite.
(6) To display satellite and ground station transmission.
4 The Key Technology
The key technologies for satellite simulate include:

(1) The onboard software runs and verifies under the ground virtual environment.
AOCS FM software runs in VTest (virtual test) environment, including virtual
CPU, virtual memory, target machine and peripheral environment. VTest can
meet the requirements of embedded development and debugging, without phys-
ical equipment and realize the FM software development and verification in
virtual environment.
(2) The onboard software is recompiled on the ground development environment.
OBC CPU (80C86) software is recompiled and run on a workstation.
(3) To realize AOCS high-precision orbit control and high precision attitude
dynamics simulation.
(4) To realize thermal high-precision simulation. To design the thermal mode of the
satellite via Thermal Desktop. Thermal model receives track information in real
time to calculate the current temperature distribution [10].
(5) To realize saving and loading of simulation scenario at any time.
(6) Design of satellite simulation model relational database (Fig. 2).
130 D. Han et al.
Fig. 2. Digital satellite simulator
5 Conclusion
Digital Satellite Simulator can realize high precision simulation of each subsystem,
help users to conduct in-orbit operation and training. System testing and equipment
acceptance test can be performed in the virtual simulation environment. This helps
designers expose the design flaws on the onboard software as early as possible.
References
1. Zheng, A., Zhou, J., Ma, Y.: Development of Chang’E-1 operational simulator. J. Beijing
Univ. Aeronaut. Astronaut. 39(1), 57–61 (2013)
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TT&C Technol. 27(2), 13–16 (2008)
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simulators. J. Spacecr. TT&C Technol. 30(3), 1–5 (2011)
8. Cui, W., Yang, H., Yang, J.: Design and implementation of simulation test platform for
satellite subsystems. Comput. Measur. Control 23(10), 3264–3266 (2015)
9. Zhao, G., Zheng, B., Liang, J.: Design of universal simulator for small satellite. J. Sci.
Instrum. 30(6), 357–360 (2009)
10. He, Z., Xu, X., Zhao, Q.: Design of thermal control subsystem for flying satellite simulator.
Journal of Spacecraft Engineering 20(1), 82–87 (2011)
Research on Target Recognition
Technology of Satellite Remote Sensing
Image Based on Neural Network
Qiang Zhang1(&), Xiaonan Wang1, Hexiang Tian1, Yanan You2,

and Peng Kong1
1
Beijing Institute of Spacecraft System Engineering, Beijing 100094, China
bigtree000@163.com
2
Abstract. With the rapid development of satellite remote sensing technology,

the resolution of satellite image is getting higher and higher, and more and more
satellite data can be obtained on the ground. Traditional artificial image trans-
lation methods can not deal with massive data, and can not efficiently, quickly
and accurately obtain the information of interested objects. In view of this
problem, considering that the depth convolution neural network technology has
achieved good results in the natural image target recognition, this paper uses the
typical depth neural frame Faster R-CNN as the basic frame, and uses the image
augmentation method to enhance the accuracy and generalization ability of the
neural network model, and multi-resolution optical remote sensing image data to
achieve automatic target recognition processing. The results show that the
proposed method can translate images automatically and quickly, the recogni-
tion rate of ship and other targets is better than 75%.
Keywords: Neural network Remote sensing Satellite Target recognition
1 Introduction
Remote Sensing technology is an important means for human beings to carry out
scientific investigation of their living environment. In 1972, the United States launched
its first earth resource satellite Landsat-1, since then, remote sensing technology has
become a new and high technology developed by major powers in the world. Remote
sensing satellites with multi-source sensors can obtain the spatial and physical infor-
mation of various targets in the earth’s sphere, such as vegetation, lakes, oceans and
atmosphere, and present them in the form of two-dimensional image. Geological
information contained in remote sensing images can be used in land resources survey,
urban development space monitoring, disaster assessment and early warning and other
fields, which are closely related to the development of national economy.
With the rapid development of remote sensing technology, the number of remote
sensing satellites is increasing, the resolution of remote sensing satellite image is
getting higher and higher, and the image coverage is getting wider and wider. Remote
sensing images show the development trend of “big data”, single satellite daily data

https://doi.org/10.1007/978-981-13-7123-3_16
132 Q. Zhang et al.
increased at TB level, national data center archive data reaches PB level. Relying
entirely on manual translation of images requires a lot of manpower and material
resources, and the timeliness is not good, this can not meet the requirements of con-
tinuous upgrading applications. This brings urgent demand for automatic processing
and intelligent application of massive remote sensing images.
In recent years of research, deep learning method has achieved remarkable results in
target recognition of natural images. Especially based on Deep Convolution Neural
Network, the target feature can be automatically extracted and analyzed, and the target can
be accurately identified. The remote sensing image translation framework constructed by
convolution neural network can obtain the type information and location information of
the target. Therefore, this depth learning translation method has a wide range of appli-
cation prospects in the task of satellite remote sensing image translation [1, 2].
This kind of translation method can extract the features of the target independently
and form an “end-to-end” remote sensing image processing system, which improves
the intelligence of remote sensing image processing. It can not only save a lot of
manpower in the complicated remote sensing image interpretation work, but also
effectively improve the processing speed of optical remote sensing image, while
ensuring the timeliness and accuracy of information acquisition.
In this paper, a method of remote sensing image target recognition based on depth
neural network is proposed. Typical frame Faster R-CNN is used as the basic frame,
and the image augmentation is used to improve the accuracy and generalization ability
of the neural network model. The proposed method is verified by ship recognition and
playground recognition cases. The results show that the proposed method can be used
in remote sensing image recognition. Under high speed and automatic processing, the
accuracy of target recognition is better than 75%.
2 Convolution Neural Network Technology
In recent years, with the rapid development of in-depth learning technology, it has been
paid more and more attention on speech signal processing, image processing, pattern
recognition and other fields. Its research value and application value have been fully
affirmed by academia and industry. In deep learning, Convolutional Neural Network is
a feed-forward neural network, its artificial neurons can respond to some of the sensory
units within the converge, especially suitable for large-scale image processing. CNN
includes input layer, convolutional layer, pooling layer, activation layer and other
important network units.
2.1 Network Unit
Data Entry Layer

The main task of this layer is to preprocess the original image data, which includes:
• Mean Value: zero mean for every dimension of input data that is, drawing the
sample center to the origin of the coordinate system.
Research on Target Recognition Technology 133
• Normalization: the variance is normalized to the same range, reducing the inter-
ference caused by differences in the range of values of each dimension.
• PCA/Albefaction: using PCA to achieve dimensionality reduction; albefaction is
normalization of amplitude on each characteristic axis of data.
The effect diagram of mean value and normalization are shown in Fig. 1.
Fig. 1. The effect diagram of mean value and normalization
Convolution Layer
Digital image is a two-dimensional discrete signal. Convolution operation for digital
image is to use convolution kernel (convolution template) to slide on the image,
multiply the pixel gray value to the image point with the corresponding convolution
kernel value, then add all the multiplied values as the gray value to the pixel in the
image corresponding to the middle pixel of the convolution kernel, and finally slide all
the image process.
Image convolution is shown in Fig. 2.
Fig. 2. Image convolution process

134 Q. Zhang et al.
Pooling Layer
The Pooling layer follows the convolution layer, which is used to compress data and
parameters and reduce over fitting. The pooling layer has the following functions:
(1) Feature invariant; (2) Feature dimensionality reductional; (3) Avoiding over fitting.
As pooling processing has the function of feature aggregation, the introduction of
pooling layer can reduce the risk of network falling into over-fitting and ensure that
neural network has strong generalization ability.
The working instruction of pooling layer is shown in Fig. 3.
Fig. 3. Working sketch map of pooling layer
Activation Layer
The role of the activation layer is to incorporate non-linear factors, because the linear
model is not good at expressing practical problems. In convolution neural network,
when convolution filtering is performed on an image, each pixel is assigned a weight,
this assignment is linear. However, in practical applications, the target characteristics
are not necessarily linearly separable. Therefore, the nonlinear model can be simulated
better by introducing an activation layer into convolution neural network and utilizing
the nonlinear factors produced by the activation layer.
Commonly used activation functions should be nonlinear and continuous differ-
entiable. In addition, they should have the following properties:
• Larger unsaturated zone: when there is a saturated interval, if the system opti-
mization enters the interval and the gradient approximates to zero, the learning of
the network will stop.
• Monotonicity: when the activation function is monotonic, the error function of the
single-layer neural network is convex, which is beneficial to the optimization
process.
• Approximately linear at the origin: when the weight is initialized to a random
number near zero, the gradient of the activation function is large in the approximate
linear interval, which can speed up the iteration of the network.
According to the above characteristics, the commonly used activation functions are:
Sigmoid function, Tanh function, ReLU function and etc.
2.2 Loss Function

The selection of loss functions also plays an important role in convolutional neural
network. The representative loss functions are: squared error loss, cross entropy loss
and etc.
Squared error loss function is expressed as:
1 X
yðxÞ aL ð xÞ2
C¼ ð1Þ
2n x
Among them, C means cost function, n means total sample size, x means sample,
y means actual value, a means input value.
Cross entropy loss is expressed as:
1X
C¼ ½y ln a þ ð1 yÞ lnð1 aÞ ð2Þ
n n
The higher the value of the cost function, the faster the network weight is adjusted,
and the training efficiency is much higher than that of the square error function.
2.3 Classical CNN

In the history of convolution neural network, there are many typical structures for
classification. Among them, the most classical network structures are LeNet, AlexNet,
VGGNet, GoogLeNet and ResNet [3, 4].
With the development of application requirement, CNN network is becoming
deeper and wider. With the increase of network depth, DCNN network itself can better
approximate the objective function with a greater degree of nonlinearity and get a better
feature representation. In addition, according to the different tasks of image processing,
DCNN presents the development trend of specialization. Therefore, some typical
DCNN methods for specific tasks are produced, the more famous ones are: Faster
R-CNN for target recognition, FCN for semantic segmentation, Inception mechanism
for enhancing feature extraction capability.
3 Satellite Remote Sensing Image Target Recognition
Remote sensing image automatic target recognition technology has great research value
and application value [5, 6]. For example, in military applications, automatic identi-
fication of strategic objectives such as aircraft, ships and oil depots is one of the key
link to improve military reconnaissance capability. On the civilian side, automatic
identification and statistics of specific targets such as stadiums, supermarkets and
bowling alleys will greatly improve the level of urban regulation.
136 Q. Zhang et al.
3.1 Recognition Method Based on Neural Network

The neural network technology is introduced into the task of remote sensing image
target recognition. The typical frame Faster R-CNN is used as the basic frame. The
remote sensing image pre-classified by the trained Scene Classification Network to
obtain the clear image and foggy image. The obtained image is augmented and input to
two parallel images respectively. Target recognition network is used to train and adjust
the parameters of dual to obtain the target recognition information.
3.2 Recognition Process

A complete remote sensing image can be divided into typical scenes. Scene classifi-
cation is helpful to quickly obtain the main semantic information contained in remote
sensing images. Recognizing targets in the scene with stable spatial characteristics can
ensure the accuracy of target recognition. DCNN can also be used to achieve target
recognition after scene classification.
In order to improve the accuracy of target recognition results and the generalization
ability of the model, it is necessary to argument the satellite remote sensing image data
set. In fact, the rotation and inversion of objects in satellite remote sensing images are
in line with the reality, so the methods of horizontal inversion, vertical inversion and
optical remote sensing image rotation 90°, 180°, 270° are adopted to argument the data.
Meanwhile, the corresponding target frame coordinates should also be transformed
accordingly. The width of the optical remote sensing image is W, and the height is H.
Formulas (3) and (4) are horizontal transformation and vertical reversal coordinate
transformation respectively. Set the rotation angle to a, the coordinate transformation of
rotation is shown in formula (5).
ðx; yÞ ! ðW x; yÞ ð3Þ
ðx; yÞ ! ðx; H yÞ ð4Þ
ðx; yÞ ! ðx cos ay sin a; x sin a þ y cos aÞ ð5Þ
In addition, data argumentation can also be achieved by using salt-and-pepper noise

and Gaussian noise to pollute remote sensing images. Artificial addition of salt-and-
pepper noise and Gaussian noise to optical remote sensing image can indicate the
accuracy of the model for remote sensing image recognition after noise pollution. After
the remote sensing image is blurred, a part of the details are lost, and the neural network
is easier to extract the important information from the remote sensing image, ignoring
the unimportant information. Using wavelet transform to get image pyramids to
argument remote sensing images, can improve the accuracy and generalization of the
model.
4 Recognition Result
Two cases of ship target recognition and motion field recognition are used to verify the
performance of the proposed method based on neural network for remote sensing
image target recognition.
4.1 Ship Target Recognition

Using 12650 optical remote sensing images as data set, the size is 10241024. Among
them, three types of vessels have been marked: 8875 cargo ships(T1), 2398 liners (T2),
589 yachts (T3). In the satellite remote sensing image, the scale of vessel target changes
greatly, which increases the difficulty of recognition. The data set is randomly divided
into 4/9 training sets and the rest is divided into validation sets and test sets. The
accuracy of recognition is shown in Table 1, the recognition results are shown in
Fig. 4.
Table 1. Statistical table of recognition accuracy

Accuracy (T1) Accuracy (T2) Accuracy (T3) Average accuracy
86.00% 94.12% 45.96% 75.69%
Fig. 4. Ship Target recognition results
4.2 Playing Field Target Recognition

The stadium data set consists of 150 remote sensing images with the size of 1075923.
After training, the recognition accuracy of the stadium is 0.88. Some samples of
recognition result are shown as Fig. 5.
138 Q. Zhang et al.
Fig. 5. Result of playing field target recognition
5 Conclusion
Aiming at the time-consuming and laborious problem of extracting interested objects

from mass remote sensing images manually, an automatic remote sensing image target
recognition method based on depth neural network is proposed. This method uses
typical frame Faster R-CNN as the basic frame, and uses image argumentation to
improve the accuracy and generalization ability of neural network model. The proposed
method is validated by two cases of ship target recognition and moving field target
recognition. The results show that the neural network technology can achieve a
recognition rate better than 75%, while automating the processing. The proposed
method can be used for automatic target recognition processing of massive satellite
remote sensing image data.
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Research and Implementation
of Automatic Test Technology
for Power Modules in Aerospace
Haibo Li(&), Qing Chen, Yan Li, and Chenlei Cao
Beijing Satellite Manufacturing Factory, Beijing 100096, China

juffun@163.com
Abstract. The increasing variety and quantity of power modules for aerospace
causes difficulty and complication for their testing. This paper studies the testing
technology, develop the testing software and design with hardware universal
interface to realize an automatic testing technology with data collection and
interpretation, waveform automatic storage, command automatic switch, output
channel automatic switch. The technology not only increases the testing efficacy
by more than 100%, but also the risk factors caused by manual operation during
the test are eliminated and the reliability and safety of the test system are
improved. The technology is suitable for testing all current power modules.
Keywords: Automation Software Hardware Interface Test technology
1 Introduction
In the field of aerospace, the aerospace power module is responsible for providing
stable voltage and current for subsystems of aerospace equipment such as computer
systems, navigation systems, and communication systems. As a basic component, it is
used in a variety of aerospace projects and is directly connected to electrical equipment.
Its quality and reliability are one of the basic conditions for ensuring the completion of
space missions. According to statistics, 60 to 100 power modules are generally required
on a common satellite. In recent years, with the in-depth development of manned
spaceflight engineering and deep space exploration technology, the wide application of
distributed power supply and the increase of payload, the types of power required by
aircraft are more and more complicated, and the requirements for performance indi-
cators of various aspects of power supply are also stricter. Therefore, the test of the
electrical performance indicators of the power module is more arduous. Through the
research of power module test technology, a fully automated one-button test technol-
ogy is provided to replace the traditional manual operation mode, which can eliminate
the wiring and measurement errors caused by human factors, improve test efficiency
and save labor cost.

https://doi.org/10.1007/978-981-13-7123-3_17
140 H. Li et al.
2 System Design
System plan diagram as shown below, the system is mainly composed of three parts:
the instrument required for testing, the hardware interface and the test program. The test
system uses the GPIB interface card to closely link several program-controlled test
equipment with the industrial computer and realizes the operation and control of the
instrument through the industrial computer. During the test, the tester connects the
equipment and cables, operates the test program, starts the test project, the system will
automatically execute the test, and automatically save the test results (see Fig. 1).
Secondary
Hardware Software test
power supply
equipments itmes
for test
DC regulated
Efficiency
power supply
and stability
Device test
initialization
Pull off and
Electronic load
on/off test
Equipment
calibration
Input ripple
Oscilloscope surge
6014A
Power Function
module test
34922 Board
Telemetry
impedance
Data collector
34921 Board
34980A Waveform
storage Output
34938 Board dynamic
characters
Command Data
interpretation Output
power overcurrent
&
Overcurrent
Oscilloscope recovery
Industrial
3032A
GPIB to USB computer
Fig. 1. System design
Instruments used in the test system and instructions for use:

DC power supply Agilent N5770A: The analog star bus provides an input bus for
the module power supply. It has overcurrent and overvoltage protection functions. The
voltage and power should meet the test requirements. The output ripple voltage peak-
to-peak (when purely resistive load) less than 50 mV;
DC regulated power supply Agilent E3631A: provides command pulses for relays;
Electronic load Agilent N3300A: used to simulate external load, should meet the
output voltage and output current requirements of the module power supply;
Digital Collector Agilent 34980A: Data acquisition and programming of the fol-
lowing boards:
34921 board: acquisition module power telemetry voltage and telemetry
impedance;
34922 board: automatic switching function of output channel (multi-output module
power supply measurement output when starting transient process, program control to
replace each output ripple clip);
34938 board: command automatic switching function (module power supply pro-
duct with relay switch machine command, program control command switch machine);
Digital Storage Oscilloscope Agilent DSO-X 3032A: Input reflection ripple and
surge waveforms used to acquire module power supplies;
Research and Implementation of Automatic Test Technology 141
Digital storage oscilloscope Agilent DSO6014A: used to collect the output

dynamic characteristics of the module power supply, over-current recovery waveform;
GPIB interface card: used to communicate with each other between hardware
devices;
GPIB to USB bus interface card: used for communication connection between
hardware and industrial computer, software sends control instructions of the instrument
and reads device data through GPIB interface;
Industrial computer
3 Industrial Computer
3.1 System Hardware Interface Design

The part connecting the power module and the test device is the hardware interface
part, which is one of the important components of the test system. In order to improve
the reliability and safety of the test system and achieve the universality of the system,
the system designs the output interface. The telemetry and telemetry impedance test
interface, the output channel automatic switching function interface and the command
automatic switching function interface are all four parts. Currently, the power module
can be used to produce this interface.
3.2 Output Interface

According to the characteristics of the Agilent N3300A electronic load 6-channel
output, 6 universal cables are designed, and the plug is connected to the plug connected
to the output of the power module. This saves the preparatory work during the
debugging and the number of repeated disconnection and wiring during the debugging
process. It saves a lot of time, improves efficiency, and effectively prevents the problem
of polarity reversal during the wiring process of the module power supply output, and
improves the reliability and safety of the test system.
3.3 Telemetry and Telemetry Impedance Test Interface

The telemetry and telemetry impedance test are used to test the voltage and interface
impedance of the analog telemetry. It is realized by the 34921 board of the 34980 data
collector. The collector can realize the analog acquisition and collect the telemetry
voltage U1. And in the test of the telemetry impedance, an external 10 k resistor is
required. In order to avoid manual replacement of the resistor, the Abus1 external
interface of the 34980 data collector is used, the resistor is connected in parallel to the
interface, and then the interface is connected to the COM terminal through a control
program. When testing the telemetry of the corresponding road, the resistor is con-
nected to the telemetry interface by the route of “Abus1—COM1—test end” and tests
the voltage value U0, by calculating the formula R = (U1/U0−1)*10 to get the
telemetry impedance value.
142 H. Li et al.
3.4 Output Channel Automatic Switching Function Interface

The 34922 board in the 34980A is used to solve the problem of manually replacing the
ripple clip on the output channel, saving test time and avoiding the problem of polarity
reversal of the ripple clip caused by manual operation, improving efficiency and
improving system reliability and safety.
The specific implementation method is to set the channel 1-30 of the 34922 board
as the switching channel, connect to the test end of the electronic load, and connect up
to 5 electronic loads for a total of 30 channels, and place a bleeder resistor on the 35th
channel, through the resistor. Formula with capacitance and time: s = RC, C = 4.710
−6F. When R selects 7 KX resistor, the capacitor bleeder time is 0.0329 s according to
the formula. Then the channel switching waiting time is set by the test program, and the
capacitor is discharged. The channel switching function is executed later. COM1 is
connected to the positive and negative poles of the ripple clip connected to the
oscilloscope probe for measurement and data acquisition. Note that the high and low
potentials are distinguished when COM1 is connected.
3.5 Instruction Automatic Switching Function Interface

Using the 34922 board in the 34980A, the problem of the power on and off of the
module power supply product containing the relay switch machine command during
the test process is solved. The program control command switch machine avoids the
risk of manual operation and improves the reliability of the test system. The specific
implementation method is to set the 34938 board as shown in the above figure. By
connecting the COM terminals of each channel together, and then connecting the
external control signals, the channel 1 to the channel 20 are respectively connected to
each control signal, and the channel 001-Channel 020 is controlled by the program. The
on/off and on-off time of the relay can generate a pulse control signal with a time width
of T (generally 100 ms) to realize the automatic transmission of the relay switch
machine command. [3–5].
3.6 System Control Software Design

The system control software uses Agilent VEE, a powerful graphical programming
language from Agilent that features: management and control of instrumentation, data
acquisition and processing, visual data display, etc. via GPIB serial devices and cards.
The data acquisition board constitutes a data acquisition system. The realization of the
aerospace power module automatic test system is essentially an automated test system
of virtual software instrument technology. Its software part is its core part, which is the
key part of realizing the measurement function, the summary, processing and storage of
test data.
3.7 Protective Measures Taken by the System

Input Overvoltage Protection Design: It is the test program that initializes the output
and protection value of the primary power supply and sets the overvoltage protection
function of the power supply once the input of the electronic load is turned off.
By setting the power supply overvoltage protection function, the subsequent control
voltage can be limited to the voltage range allowed by the tested product, preventing
the power supply output from overvoltage due to software programming errors and
manual operation errors during the test.
Input Overcurrent Protection Design: The positive and negative reverse connection
of the power supply is the most likely mis-operation of the power supply product
testing process, which is a low chromatographic quality problem. In order to prevent
the reverse connection operation, it is necessary to design the power-on program. The
power-on mode is to set the load to no load, set the input current to 0.2A (according to
the actual no-load power consumption of the product), and then the input voltage starts
from 0 V. The 1 V step is continuously energized, so that even if there is a reverse
connection operation, the primary power supply will over-current protection when the
input voltage is low, which will not cause damage to the product and improve the
reliability of the test system.
3.8 Modular Programming Design of the System

VEE adopts modular programming mode, with clear and concise architecture, and its
system function test is shown in Fig. 6. Test items include: dynamic performance test
unit, stability test unit, overcurrent and overcurrent recovery test unit, telemetry voltage
and impedance test unit, pull-off function test unit, input reflection ripple and surge test
unit. The included test items basically cover all the electrical performance indicators of
the power module test, and the test coverage is comprehensive.
Combined with the hardware interface design, the program automatically adds the
output channel automatic switching function and the instruction automatic switching
function module, which realizes the one-button test without manual operation in the
whole test process. For the multi-output module power supply and the stand-alone
product, the pole Greatly improves test efficiency and improves the reliability and
safety of the test system.
3.9 Automatic Storage of Waveforms and Data

The test data is stored in the form of an EXCEL form. The test waveform is stored in
the file of the specified path in the form of a file, which is beneficial to the analysis and
processing of the later data and improves the traceability of the product test [7].
3.10 Automatic Interpretation of Data

After the electrical performance test, the measured data is stored in the EXCEL file.
The system will automatically interpret whether the measured data meets the
requirements, and directly interpret the technical indicators as “√”, and directly ignore
the technical indicators as “” to avoid the interpretation error brought by human
factors improves the reliability of the test system (see Fig. 2).
144 H. Li et al.
7.8 8.0
≥80
≤100
1.2 times
9.48V
12.75
≤10
≤20
≤0.38
≤0.38
≤5
0 5
≤5
≤500
Fig. 2. Automatic data interpretation
4 Application Analysis and Outlook
Comparison with before and after using the test system (see Fig. 3)
Fig. 3. Comparison result

5 Summary
In summary, using the automatic test system to complete the test work can reduce the
labor intensity and save the test time by more than 95%, which can effectively reduce
the cost, improve the quality of the test, improve the profitability of the enterprise, and
enhance the enterprise’s core competitiveness. At present, the system has been suc-
cessfully applied to the testing of all kinds of module power products produced by our
company, and the application prospect is broad. The follow-up will continue to
transform and upgrade the test system, focusing on the comparison of the test data of
different production stages of the same module power supply, which will form a
database to make the application of the test system reach a higher level and give full
play to the power of automation equipment and digital technology. To make greater
contributions to the smooth development of spacecraft products and the development of
space industry.
References
1. Beshr, H.M., et al.: Modelling of a residential solar standalone power system. In: Proceeding
of the 1st International Nuclear and Renewable Energy Conference (2010)
2. Bhandari, R., Stadler, I.: Electrification using solar photovoltaic systems in Nepal. Appl.
Energy J. 88, 458–465 (2011)
3. Dambrine, G., Cappy, A., Heliodore, F., Playez, E.: A new method for determining the FET
small-signal equivalent circuit. IEEE Trans. Microw. Theory Tech. 36(7), 1151–1159 (1988)
4. Gu, W.B., Wang, C.Y., Liaw, B.Y.: Numerical modeling of coupled electrochemical and
transport processes in lead-acid batteries. J. Electrochem. Soc. 144(6), 2053–2061 (1997)
5. Vandersmissen, R., Ruythooren, W., Das, J., Germain, M., Xiao, D., Schreurs, D.: Transfer
from MHEMT to GaN HEMT technology: Devices and integration. In: Int. Compound
Semicond. Manuf. Technol. Conf., pp. 237–240, April 2005
6. Lee, J.-H., Yoon, H.-S., Park, C.-S., Park, H.-M.: Ultra low noise characteristics of
AlGaAs/InGaAs/GaAs pseudomorphic HEMT’s with wide head T-Shaped gate. IEEE
Electron Device Lett. 16(6), 271–273 (1995)
7. Liu, W.: “FET high-frequency properties” in Fundamentals of III-V Devices:
HBTs MESFETS and HFETs/HEMTs, pp. 422–429. Wiley, New York (1999)
Design and Implementation of User-Oriented
On-Board Mission Management System
for Remote Sensing Satellite
Li Pan(&), Yong Lei, Yu Jiang, Wenping Wang, and Yiming Liu
China Academy of Space Technology ISSE, Beijing, China

Panli0830@163.com
Abstract. In order to improve the operation, efficiency and reduce the project
cost of remote sensing satellites, this paper proposes a user-oriented hierarchical
and distributed on-board mission management system (OMMS) design and
implementation. Combined with user requirements for remote sensing satellite
applications, the typical mission mode of the OMMS and the simple and flexible
user interface are designed. The mission mode implementation adopts the
method based on sub-mission sequence, mission mode construction rules and
system configuration database to implement the OMMS software. The actual
test shows that the system can greatly reduce the amount of mission instruction
data upload by users, shorten the task preparation time and reduce the project
cost.
Keywords: User-oriented Remote sensing satellite

On-board mission management system
1 Preface
In order to facilitate users, improve the efficiency of the usage of the remote sensing
satellite, and save cost, the paper proposes a user-oriented design and implementation
method of the OMMS. The mission management system can provide flexible and
efficient control interfaces while shielding the internal design details of the satellites
[1]. The missions can be achieved merely through transmitting mission related satellite
parameters, which greatly improves the operation efficiency of the satellite.
2 User-Oriented Overall Design of the OMMS
2.1 Design Principle

The design principles of the user-oriented OMMS are as follows:
(1) The Simplification of the operation.
(2) The Improvement of the using efficiency.
(3) System coordination management of payload mission.
(4) The use safety of the satellite.

https://doi.org/10.1007/978-981-13-7123-3_18
Design and Implementation of User-Oriented 147
2.2 Analysis of the Design Constraint

Figure 1 shows the main constraints which need to be considered for the design of the
OMMS and their impact on the mission management system design.
Constraint level Constrain analysis Spaceborne mission system design

User Demands Task system working mode
Engineering
Number of available station Load data transmission strategy
system
Measurement and control resources Task interface design
Satellite energy supply capacity Energy security strategy design
Attitude maneuverability Attitude maneuver preparation time
Satellite
Antenna rotation capability Cutting station and capture strategy
system
Data storage capability Storage and transmission strategy
System reconstruction capability Task reconstruction design
Load operation timing Load operation timing design
Sub-system Working time limit Load security strategy
Other settings, etc. System configuration scheme
Fig. 1. Analysis of the design constraint
2.3 Design of OMMS Mode

The modes of OMMS are designed based on the user demands, the project system
configuration, and the system metrics of the satellite. This section discusses the typical
modes of the OMMS. Also, the application scenarios of each mode are described in
Table 1 [2].
Table 1. Design of OMMS mode

Mode Mode Application scenarios
Real-time MS_RT Imaging needs to be done in real-time, within the visible
imaging mode range of the ground station
Record mode MS_RC Support to acquire images outside the visible range of the
ground station
Record and MS_RCPL When the payload data rate is greater than the data
playback mode transmission channel data rate, Record and playback are
performed. The time consuming of transmitting data will
be longer than that of imaging
Playback mode MS_PL It is used to playback the payload data that was recorded in
the DDR
2.4 OMMS Architecture

The OMMS adopts a layered and distributed architecture design. It is divided into four
levels. The top layer is the user interface, the second one is the satellite system task, the
third one is the sub-mission, and the lowest one is the execution, as shown in the Fig. 2.
148 L. Pan et al.
Fig. 2. OMMS architecture
The satellite system mission layer is the core of the mission management system. It
is responsible for constructing the sub-mission for the lower subsystems, according to
the user demands and the system configuration database. Each subsystem may execute
their mission separately accordingly. The safety monitoring modules is responsible for
judging the rationality of user mission demands and monitoring the execution of each
level to ensure satellite security during mission execution. The system configuration
database is used to store the system optional configuration, such as the working status
and mode of each subsystem.
3 Design of the User Mission Operation Interface
The traditional satellites provide the sub-sequence of subsystem interface or execution

layer interface to users [3], however the OMMS provide the system mission layer
operation interface, as shown in Fig. 2. This section will put forward the operation
interface for each mode shown in Table 1.
3.1 Real Time Imaging Mode Interface

MS_RT {Mode, Imaging start time and stop time, Payload parameters, attitude angle,
station}.
3.2 Record Mode Interface

MS_RC {Mode, Imaging start and stop time, Payload parameters, Attitude angles,
Record parameters}.
3.3 Record and Playback Mode Interface

MS_RCPL {Mode, Imaging start time and stop time, transmission stop time, Payload
parameters, attitude maneuver angles, station, record and playback parameters}.
3.4 Playback Mode Interface

MS_PL {Mode, transmission start and stop time, playback parameters, station ID}.
4 System Mission Mode Construction Design
4.1 Sub-mission Sequence Design

Each subsystem sub-mission sequence needs to be constructed according to its working
mode, operation timing requirements, configuration requirements and so on. According
to the typical work mode of remote sensing satellites, sub-mission types can be gen-
erally divided into attitude control sub-mission, data transmission and processing sub-
mission, and antennas control sub-mission, data record and playback sub-mission,
payload control sub-mission, etc. The composition of the typical sub-mission of the
OMMS is shown in Fig. 3.
Fig. 3. Sub-mission sequence composition
Each sub-mission consists of different subsequences, and the subsequences are

composed of specific device operation instructions. Different subsequence combina-
tions can implement different sub-mission.
4.2 System Mission Mode Construction

The mission mode construction is the core of the OMMS. The mission mode con-
struction mainly completes the sub-mission sequence construction and parameter
configuration according to the user’s mission requirement, system configuration,
mission mode construction rule [4], etc. The mission mode construction process is
shown in Fig. 4.
150 L. Pan et al.
User's mission requirement
User task legiƟmacy judgment
Mission mode Mission and sub-mission sequences

construcƟon rule construcƟon
System
System Sub-mission sequences legiƟmacy Security
configuraƟon judgment monitoring
module
Sub-mission sequences distribuƟon and
execuƟon
Fig. 4. The mission mode construction process
4.3 System Mission Mode Construction Rule Design

The system mission mode construction rule is the basis of mission mode construction
and sub-mission sequence construction. The main information includes: the relation-
ship between mission mode and sub-mission/sub-sequence, the timing relationship
between sub-sequences, the sub-sequence parameter transfer/configuration strategy,
etc. The main rule information is shown in Table 2.
Table 2. System mission mode construction rule

Mode ID Correlated sub-seq. Rules Para.
MS_RT AOCS-AM, DTS-ON, DTS-RT, (1) Each sub- Transfer user
DTS-CH, ANT-SON, ANT-TRC, sequence parameter and
CM-ON, CM-SET, DTS-OFF, execution time auto-
ANT-SOFF, CM-OFF consuming computation
MS_RC AOCS-AM, DTS-ON, DTS-RC, (2) Timing
CM-ON, CM-SET, DDR-ON, relationship
DDR-RC, DDR-OFF, DTS-OFF, between sub-
CM-OFF sequences
MS_RCPL AOCS-AM, DTS-ON, DTS-RC, (3) Sub-sequences
DTS-PL, DTS-CH, ANT-SON, parallel rule
ANT-TRC, CM-ON, CM-SET, (4) Time-optimal
DDR-ON, DDR-RC, DDR-PL, rule
DDR-OFF, DTS-OFF, ANT-
SOFF, CM-OFF
MS_PL DTS-ON, DTS-PL, DTS-CH,
ANT-SON, ANT-TRC, DDR-ON,
DDR-PL, DDR-OFF, DTS-OFF,
ANT-SOFF
4.4 System Configuration Design

The system configuration database is used for the storage system optional configuration
and is mainly used for the mission sub-sequence construction process, as shown in
Fig. 4. It includes information such as the main redundant selection status and working
mode selection of the sub-system. Construct a subsequence by reading the system
configuration database to select the main or redundant, the working mode and other
specific instructions of each subsystem.
4.5 System Safety Monitoring Design

Safety monitoring is mainly used for mission mode and sub-mission sequence
construction, mission execution and other processes, as shown in Fig. 4. With the
following monitoring features:
(1) Check the conformity and feasibility of the timing rules;
(2) Check the legitimacy and safety of all the sub-sequences to be executed;
(3) Check the correctness of the actual execution of the sub-sequence.
5 Software Design and Implementation
5.1 Software Function and Process Design

The system mission management software is implemented in a satellite system man-
agement software framework using a separate mission management process. The
satellite system management software usually includes processes such as mission
management, instruction receiving and verification, real-time instruction distribution,
time-tagged instruction distribution, and telemetry [5]. The mission management pro-
cess interacts with other processes in the form of message communication.
5.2 Mission Modes Software Implementation Results

Based on the satellite system mission mode, sub-sequence, mission mode construction
rules, system configuration and mission management process design, Table 3 shows
the software implementation results for all the mission modes.
152 L. Pan et al.
Table 3. Mission modes software implementation results
6 Conclusion
This paper is based on the mission construction rules, system configuration database
and sub-sequence design to implement the remote sensing satellite OMMS. Compared
with the traditional mission operation mode, the actual test data indicates that the
mission instruction data uploaded by the user is reduced to less than 5% of the tra-
ditional mode. The time for the user to build the ground control system and the system
development workload are also greatly reduced, greatly improving the satellite’s use
efficiency.
The implementation of the OMMS lays solid foundation for its subsequent
development to the intelligent networked direction. The subsequent OMMS will
implement on-board autonomous mission planning, constellation mission planning and
constellation mission assignment, based on the functions of self-feedback mission
planning for autonomous image processing on the satellite will provide users with a
more flexible, powerful and intelligent OMMS, which will further enhance the mission
capability of the remote sensing satellite and reduce the project costs.
References
1. Bonnet, J., Gleizesy, M-P., Kaddoumy, E., Rainjonneau, S., Flandin, G.: Multi-satellite
mission planning using a self-adaptive multi-agent system. In: 2015 IEEE 9th International
Conference on Self-Adaptive and Self-Organizing Systems, pp. 1949–3673. IEEE (2015)
2. Pan, Y., Chi, Z.M., Rao, Q.L., Sun, K.P., Liu, Y.N.: Modeling and simulation of mission
planning problem for remote sensing satellite imaging. In: MATEC Web of Conferences, vol.
179, p. 03024 (2018)
3. Lic. De Elia, Estefanía: Master in Emergency Early Warning and Response Space
Applications. Septiembre (2010)
4. Donati, A.: Infusion of innovative technologies for mission operations. Acta Astronaut. 67,
1132–1137 (2010)
5. European Cooperation for Space Standardization (ECSS): Space project Management, Project
planning and implementation. ECSS-M-ST-10C Rev. 1, 6 March 2000
Extraction of Salient Region
Based on Visual Perception
Yongchang Li1, Pengluo Lu2(&), Cheng Cheng1, Jianing Hao1,

Li Liu1, and Jun Zhu1
1
DFH Satellite Co., Ltd., Beijing 100094, China
2
Institute of Geology and Geophysics,
Chinese Academy of Sciences, Beijing 100029, China
lupengluo@163.com
Abstract. In order to better analysis and understand digital images, a salient

region extraction algorithm based on visual perception is proposed. First, a
multi-scale difference of gaussian filter is used to the image, which simulates the
center-peripheral response of the human visual nerve cell; Then, we use the
pulse cosine transform to extract the edge information of the image, simulate the
side inhibition process of the nerve cell, and obtain the image feature maps at
different scales. Finally, the threshold segmentation and regional expansion of
the feature graph are used to construct the focal window in the region with the
most prominent image features. The experiment was performed on 500 images
of the salient object database provided by Microsoft Research Asia (MSRA)
using the proposed method, take b2 ¼ 0:3, the value of F-measure is as high as
0.816. Results show that the method can be effectively to extract salient area of
the image with different content, different target location and size, and has the
location and size on the adaptability.
Keywords: Space technology Data analyzing Visual perception

Salient region Pulse cosine transform Feature extraction
1 Introduction
The physiological structure of human visual perception system is very complex. We

perceive changes in our environment and receive vast amounts of information from the
outside world, but our brains cannot process and analyze it at the same time. Therefore,
the human eye actively senses the object’s morphological characteristics, abandons the
useless background information, and automatically extracts the visual regions that the
human eye is interested in for detailed observation, analysis, memory, recognition and
learning and other advanced cortical processing. This process is called visual attention.
In 1980, Marr [1] proposed Computational Theory of Vision for the first time. In
the same year, Treisman and Gelade proposed a visual attention model based on feature
integration theory [2]. In 1985, the literature [3] proposed the winner take all neural
network about attention focus transfer. On this basis, Itti et al. proposed the most
famous Itti visual attention calculation model [4], which is a bottom-up visual attention
model based on spatial domain. Since then, many researchers have made improvements

https://doi.org/10.1007/978-981-13-7123-3_19
Extraction of Salient Region Based on Visual Perception 155
on this basis. However, the drawback is that the space-based visual attention model
focuses too much on the location information of the focus, ignores the integrity of the
imaging subject, and the computational structure is usually complex. In order to
simplify the computational structure and enhance the integrity of the target, a visual
attention model based on transform domain is proposed. In 2007, literature [5] put
forward Spectral Residual (SR) significant detection method based on Fourier trans-
form for the first time by using frequency domain information of natural image scale
invariance characteristics. Later, the literature [6] proposed the Phase spectrum
Quaternion Fourier Transform (PQFT) model. In 2009, Achanta et al. [7] proposed IG
algorithm based on frequency tuning, which has stronger detection ability than SR
algorithm, but the algorithm overemphasizes image edge contour and texture, which is
not conducive to the next step of processing. Although these methods can show good
detection ability in experiments, they do not have biological theoretical support.
From the perspective of biological vision, a visual attention model based on
transformation domain is put forward in this paper to extract the salient region of
images. The image characteristic graph in multi-scale is obtained by using gaussian
pyramid decomposition, difference of gaussian (DoG) filtering and PCT transforma-
tion. Through the optimal adaptive segmentation threshold, the regular focus window is
effectively constructed. Meanwhile, experiments were carried out on the image library
of significant objects provided by Microsoft research Asia (MSRA). Experiments show
that this method can adapt to the change of the position and size of the subject and
overcome the interference of background.
2 Establishment of Visual Perception Model
2.1 Multi-scale Difference of Gaussian Filter

In the human visual nervous system, there is a kind of cells whose receptive field has
central – peripheral antagonism, which means that the response of sensory cells in the
center of the receptive field is stimulated, while response of the cells around is sup-
pressed. This characteristic has the nature of band-pass filtering, and can be simulated
through central - peripheral difference operation, which is manifested as DoG filter in
the spatial domain.
In order to give consideration to both the overall size and the edge information of
the image target, we propose a multi-scale sampling strategy on the basis of Itti and
Koch’s research before conducting the DoG filtering on the image, and adopt the
typical gaussian pyramid model to conduct multi-scale and multi-resolution analysis of
the image.
The image I ðx; yÞ can be decomposed into a series of sub-images with different
scales and resolutions by gaussian pyramid decomposition. The formula is as follows.
Lðx; y; rÞ ¼ Gðx; y; rÞ I ðx; yÞ ð1Þ

156 Y. Li et al.
Where, Gðx; y; rÞ stands for the scaled variable gaussian function, as defined below.
r is the scale coordinate, and represents the convolution operation.
1 ðx2 þ y2 Þ=2r2
Gðx; y; rÞ ¼ e ð2Þ
2pr2
The commonly used 5x5 gaussian filtering template is as follows.
2 3
1 4 6 4 1
6 4 16 24 16 47
1 6 7
w¼ 6 6 24 36 24 67 ð3Þ
256 64 4 16 24
7
16 45
1 4 6 4 1
The original image is taken as the 0-level image. First, the image is processed by
gaussian smoothing with a low-pass filter, and then the image is sampled to obtain the
image of the next level. Three sub-images are selected as input images for the next
step. Then, the sub-image is convolved with the gaussian function with different
standard deviations.
gðx; yÞ ¼ Gr ðx; yÞ I ðx; yÞ ð4Þ
The gaussian function Gr ðx; yÞ is a normal distribution function, defined as
1 ðx2 þ y2 Þ=2r2
Gr ðx; yÞ ¼ e ð5Þ
2pr2
Two images in the adjacent gaussian scale space are performed by central-
peripheral difference operation, namely the subtraction operation. Feature detection of
the image can be carried out on a certain scale to obtain DoG response value image.
g1 ðx; yÞ g2 ðx; yÞ ¼ Gr1 I ðx; yÞ Gr2 I ðx; yÞ ¼ ðGr1 Gr2 Þ I ðx; yÞ ð6Þ
Where, DoG can be expressed as

1 1 ðx2 þ y2 Þ=2r21 1 ðx2 þ y2 Þ=2r22
DoG ¼ Gr1 Gr2 ¼ e 2e ð7Þ
2p r21 r2
In the above equation, r1 [ r2 . When the standard deviation of the two gaussian
functions r1 =r2 ¼ 1:6, DoG filter is widely used for edge detection. Its performance is
similar to that of gauss Laplace filter, but the calculation quantity is far lower than that
of gauss Laplace transform. And when the ratio of the two approaches 5, it approxi-
mates the response of the ganglion cells in the retina, simulating the central - peripheral
antagonistic properties of the human eye.
2.2 Discrete Pulse Cosine Transform and Feature Graph Extraction

The discrete cosine transform is a special case of Fourier transform, both of which
reflect the characteristics of the image frequency variation distribution. Compared with
the Fourier transform, the coefficients of the discrete cosine transform (DCT) are real
numbers, and the calculation speed is faster, so it is more advantageous. The formula of
two-dimensional DCT transformation is
1 X
M 1 X
N 1
ð2x þ 1Þup ð2y þ 1Þvp
Cðu; vÞ ¼ pffiffiffiffiffiffiffiffi aðuÞaðvÞ f ðx; yÞ cos cos ð8Þ
MN x¼0 y¼0
2M 2N
In the formula, the value range of u is u ¼ 0; 1; 2; ; M 1, the value range of v

is v ¼ 0; 1; 2; ; N 1, the formula of að xÞ is defined as below.

p1ffiffiffi x¼0
að x Þ ¼ ð9Þ
2 1xM 1
The formation of visual saliency is mainly due to the lateral inhibition between
similar neurons in the V1 region of the primary visual cortex [10]. The so-called lateral
inhibition is that when a neuron detects the same visual characteristics as the neigh-
boring neurons, the excitability of the neuron will inhibit the excitability of the neigh-
boring neurons and reduce the frequency of its pulse distribution. Instead, the frequency
of the pulses is increased. Therefore, the frequency of distribution of corresponding
neurons is higher at positions where are more prominent of the object, such as the edges
and contour. Lateral inhibition helps the eye separate objects from the background.
The DCT coefficient can reflect the statistical characteristics of similar visual fea-
tures in the visual space. The higher the coefficient, the higher the probability of the
occurrence of the visual features corresponding to the frequency and direction in the
space. Discrete pulse cosine transformation (PCT) extracts the symbolic information of
DCT coefficient and sets the amplitude uniformly to 1. By this operation, the visual
features with high probability are suppressed and that with low probability are
improved. From the perspective of visual neurons, this process simulates the lateral
inhibition of similar neurons in the V1 region.
For a given image I, the calculation process of PCT is
P ¼ signðdct2ðIÞÞ ð10Þ
F ¼ absðidct2ðPÞÞ ð11Þ
Where, signðdct2ðÞÞ represents the two-dimensional DCT transformation of the

image and takes the symbol, while absðidct2ðÞÞ represents the two-dimensional DCT
inverse transformation and takes the absolute value.
In order to further clarify the nature of PCT transformation, two grayscale images
were given, as shown in Fig. 1(a). The characteristics of coefficient distribution of the
image after two-dimensional DCT transformation were as shown in Fig. 1(b). Mean-
while, PCT transformation was performed according to formula (1). As can be seen
158 Y. Li et al.
from Fig. 1(b), the two-dimensional DCT transformation of natural images has the
characteristic of “energy concentration”. The low-frequency information is mainly
concentrated in the upper left corner of the DCT coefficient matrix, while the high-
frequency information corresponding to the image edge information of the space
domain is concentrated in the lower right corner of the coefficient matrix, with the
coefficient amplitude close to 0. PCT transformation only retains the symbol of DCT
coefficient, namely the phase information, and sets the amplitude to the uniform value.
Through this operation, the low-frequency components of the image are suppressed and
the high-frequency components are amplified, which is helpful to extract the edge
information of the image spatial domain, as shown in Fig. 1(c).
(a) Original image (b) DCT coefficient distribution (c) PCT transformation
Fig. 1. Frequency domain transformation
2.3 Extraction of Salient Map

After multi-scale DoG filtering and PCT transformation, we can get the feature graph of
the source image at each scale. The response position and degree of each feature graph
may vary. We need to integrate the feature graphs of each channel in order to obtain the
final salient graph. To highlight salient regions, we conduct a weighted fusion of the
graphs. Firstly, the size of the characteristic graph under each scale was unified by
sampling, and then calculated according to the formula below.
P
Si Fi ðx; yÞ
F 0 ðx; yÞ ¼ i P ð12Þ
Si
i
m1 X
X n1
Si ¼ Fi ðx; yÞ ð13Þ
x¼0 y¼0
Where, Fi ðx; yÞ is the feature graph to be fused, and i is the number of feature
graphs.
In order to distinguish the target subject from the background and extract the salient
area, filtering and binarization should be performed on the fused feature map. Adaptive
threshold method is adopted. The filtering formula and threshold calculation formula
are as follows.
Fsaliency ðx; yÞ ¼ G F 0 ðx; yÞ2 ð14Þ
1:5 Xm1 X
n1
T¼ Fsaliency ðx; yÞ ð15Þ
m n x¼0 y¼0
Where, G represents the two-dimensional gaussian function. In order to linearly

enhance the contrast of the characteristic graph, a square operation is applied to
F 0 ðx; yÞ. Fsaliency is the final salient graph, m and n are the transverse and longitudinal
pixels of Fsaliency respectively. When the pixel value of the final salient graph is above
the threshold T, the value of the pixel is set to 1, otherwise 0.

0 1 Fsaliency ðx; yÞ [ T
Fsaliency ðx; yÞ ¼ ð16Þ
0 others
2.4 Build the Regular Focus Window

After binarization, the target area has a distinct dominant boundary, and we can obtain
a regular window through a variety of ways, such as boundary extension method,
diagonal neighborhood method. Considering the complexity of calculation, in this
paper, Minimum Bounding Rectangle (MBR) [11] method is used in this paper.
The MBR constructs a rectangle that contains the given target region and is tangent to
the target contour, with each side of the rectangle parallel to the horizontal or vertical
axis. The minimum external rectangle can be constructed by searching the maximum
and minimum vertical and horizontal coordinates of the target region in the
coordinate axis.
Sometimes, there are one or more target regions in the image, and the target regions
are usually disconnected. This is due to the fact that sometimes there is small target
interference in the image or there is a high contrast area in the background area. Thus,
the feature weight of the corresponding characteristic graph F of each target region is
calculated. The calculation formula is shown in formula (17). The region W with the
maximum feature weight is selected as the only focus window.
160 Y. Li et al.
1 X
WIx ¼ F ði; jÞ ð17Þ
NIx ði;jÞ2I
x
W ¼ maxfWIx g x ¼ 0; 1; 2 ð18Þ
Where, NIx is the amount of pixels contained in the target region Ix ðx ¼ 0; 1; 2. . .Þ,
and F ði; jÞ is the pixel value of the corresponding characteristic graph.
3 Experimental Results and Analysis
Through the above steps, the interested region of human eyes can be extracted as the
only focus window. Taking an actual image as an example, the image processing
results of each calculation stage of the visual attention model are illustrated, as shown
in Fig. 2. The pixel number of the source image is 512768. After the gaussian
pyramid decomposition, three sub-images of different scales are selected for DoG
filtering, with the size of 256384, 128192 and 6496 respectively. Then, PCT
transformation was performed for the sub-images after multi-scale gaussian difference
filtering, and the larger two images were sampled to the size of 6496, and weighted
fusion was performed. Finally, gaussian low-pass filtering and adaptive threshold
binarization are performed on the fused feature map, and then sampled to the size of the
source image. The unique regular rectangular window of the image is constructed by
using MBR method and feature weight method. The window size constructed in this
example is 247 by 399.
Fig. 2. The calculation process of multi-scale PCT model

To test and verify the extraction effect of salient regions, the experiments are
conducted on the salient object image library provided by Microsoft research Asia
(MSRA). The gallery contains 5000 images, including people, scenes, etc., whose
salient regions were manually marked by nine volunteers according to their subjective
intentions. Here are some of the results. Figure 3(a) is the original image, Fig. 3(b) is
the extracted feature map, Fig. 3(c) is obtained after binarization, Fig. 3(d) is the
regular window constructed by MBR method, and Fig. 3(e) is the salient object
manually marked. From the experimental results, it can be seen that the focusing
window algorithm proposed can effectively separate the subject and background
regions, extract the regions that human eyes are interested in. The focusing window
extracted automatically (as shown in Fig. 3(d)), basically contains the salient target
manually marked (as shown in Fig. 3(e)).
In order to evaluate the focus window construction method proposed in this paper
effectively and objectively, regional precision and recall are adopted, which are
respectively defined as
Precision ¼ ðS \ AÞ=S
ð19Þ
Recall ¼ ðS \ AÞ=A
Fig. 3. Extraction of salient region

162 Y. Li et al.
Where, S is the salient region automatically extracted, and A is the salient region
manually marked in the reference set, \ shows the intersection.
The precision reflects the proportion of the correct salient region in the salient
region automatically extracted, while the recall reflects how much of the salient area
manually marked is detected by the algorithm. There is a certain mutual restriction
relationship between the two, expressed by F-measure parameters, and the calculation
formula is as follows.

1 þ b2 Precision Recall
F-measure ¼ ð20Þ
b2 Precision þ Recall
In order to focus on precision, we chose b2 ¼ 0:3.

500 images of different image features and target locations in MSRA image library
were selected for testing, and the precision, recall and F-measure were calculated
respectively. The average value was calculated and compared with that of the classic
Itti method, as shown in Fig. 4.
Fig. 4. Comparison between the proposed and Itti method
It can be seen from the above figure that the method proposed is superior to the
classic Itti method in terms of the precision, recall and F-measure. When b2 ¼ 0:3, the
value of F-measure of proposed method can reach up to 0.816, while that of Itti is lower
than 0.6. Moreover, the Itti algorithm needs to extract color, brightness and directional
features at different scales, which requires a large amount of calculation. However, this
algorithm only needs grayscale information and the computing time is greatly reduced.
4 Conclusion
A salient region extraction algorithm based on visual perception is proposed in this

paper. Firstly, multi-scale DoG filtering is used to detect the features of the source
image at different scales, and then PCT transform is further used to extract the features.
In this way, the salient graph is generated through weighted fusion of the obtained
feature graphs at different scales, and binarized by adaptive threshold. Finally, the
unique focus window is determined by MBR and feature weight method. A lot of
experiments have been carried out on the salient object image database provided by
MSRA. The experiments show that this method can effectively establish the focus
window for images with different characteristics and target locations, and the precision
and recall are high.
Acknowledgment. This work was supported by the Youth Foundation of High-resolution

Program (No. GFZX04061502).
References
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Philos. Trans. R. Soc. Lond. 290(1038), 199–218 (1980)
2. Treisman, A.M., Gelade, G.: A feature integration theory of attention. Cogn. Psychol. 12(1),
97–136 (1980)
3. Koch, C., Ullman, S.: Shifts in selective visual attention: towards the underlying neural
circuitry. Hum. Neurobiol. 4(4), 219–227 (1985)
4. Itti, L., Koch, C., Niebur. E.: A model of saliency-based visual attention for rapid scene
analysis. IEEE Comput. Soc. (1998)
5. Hou, X., Zhang, L.: Saliency detection: a spectral residual approach. In: IEEE Conference on
Computer Vision and Pattern Recognition, 2007. CVPR 2007, pp. 1–8. IEEE (2007)
6. Guo, C., Zhang, L.: A novel multiresolution spatiotemporal saliency detection model and its
applications in image and video compression. IEEE Trans. Image Process. 19(1), 185–198
(2009)
7. Achanta, R., Hemami, S., Estrada, F., et al.: Frequency-tuned salient region detection. In:
IEEE Conference on Computer Vision and Pattern Recognition, 2009. CVPR 2009,
pp. 1597–1604. IEEE (2009)
8. Yu, Y., Wang, B., Zhang, L.: Pulse discrete cosine transform for saliency-based visual
attention. In: International Conference on Development and Learning, pp. 1–6. IEEE (2009)
9. Zhang, X.: Computational models and applications of the retinal color vision. University of
Electronic Science and technology of China. (2017)
10. Li, S.: Research on visual perception based spatial gamut mapping. Tianjin University
(2016)
11. Xiong, W., Xu, Y., Cui, Y., et al.: Geometric feature extraction of ship in high-resolution
synthetic aperture radar images. Acta Photonica Sinica 47(1), 49–58 (2018)
Thermal Design to Meet Stringent
Temperature Gradient/Stability Requirements
of Space Camera’s Tube
Yifan Li, Yelong Tong(&), Tengfei Sun, and Lei Yu
Beijing Institute of Spacecraft System Engineering, Beijing, China

tongyelong123@126.com
Abstract. A space camera is mounted on a remote sensing satellite in a low-

earth orbit. The thermal environment of the space camera’s tube is analyzed and
the formula of external heat fluxes for tube is given subsequently. The factors
affecting the temperature stability and gradient of tube are obtained. The tube is
cold biased, and active thermal control system is used to meet requirements.
System design based on multi-level insulation and graded heating is proposed.
Passive thermal control strategies, such as enhanced thermal insulation design
and optimum design of the baffle length, are used to reduce the sensitivity of
space camera’s tube to the external thermal environment. An active thermal
control system is taken to solve the temperature control problem for multi-zone
coupling with each other. In-orbit analysis of the last 3 years shows that, the
temperature of tube is in the range of 20 °C ± 1.5 °C. The axial and circum-
ferential temperature differences are less than 1 °C. The temperature fluctuation
is less than 0.33 °C/3 month. Periodic average heating power for tube is 16.7 W.
The validity of thermal design for tube is proved.
Keywords: Space camera Tube Thermal design Thermal baffle

Thermal balance test On-orbit performance
1 Introduction and Thermal Requirements
A space camera is mounted on a remote sensing satellite in a low-earth orbit. The

satellite is a 3-axis stabilized satellite, operating in a 10:30 am Sun synchronous orbit,
at an altitude of 500 km and an orbital inclination of 97.2°. The satellite is to have a 5
year design life. Orbital imaging maneuvers include ±45° rolls and ±45° pitch, with
the definition of these maneuvers in reference to the satellite coordinates system.
The camera is exposed to cold space with an opening structure in the front, which
adopts coaxial three-mirror optical system. The supporting structure between the pri-
mary mirror and the secondary mirror is main scope tube. The secondary mirror is in
the front of the tube and back to cold space. The focal plane assembly is mounted at the
rear of the camera [1] (Fig. 1).

https://doi.org/10.1007/978-981-13-7123-3_20
Thermal Design to Meet Stringent Temperature 165
Fig. 1. Structure of the space camera
In addition to temperature range requirements, the camera has to fulfill precision

thermal requirements. This is valid for spatial temperature gradients and temporal
temperature fluctuation to guarantee full optical performance. The main thermal control
requirements for the main scope tube are:
(1) 20 ± 1.5 °C absolute temperature to ensure the optical quality
(2) no more than 1 °C spatial temperature gradient for 5 years
(3) no more than 0.3 °C temporal temperature gradient for imaging
This paper presents thermal design considerations to meet these stringent thermal
requirements.
2 Thermal Environment
External heat flux in the inner surface of space camera’s tube is obtained through
theoretical analysis, which includes direct solar heat flux, albedo heat flux and earth
infrared heat flux [2, 3].
The orbit beta angle (b), angle between sunlight and orbital plane, is from 17.2° to
27°. a, argument of apogee, is from 115° to 245°. The depth of solar radiation in the
tube, H, is calculated with the following formula [4].
H ¼ D= tan U
ð1Þ
cos U ¼ maxð0; cosbcosa)
Where D is the camera aperture. When a = 17.2° and b = 115°, H is maximum.
Hmax ¼ 0:44D:
166 Y. Li et al.
Q2, albedo heat flux reaching on the inner surface of space camera’s tube, is
calculated as follow.
2
RE
Q2 ¼ S q maxð0; cos b cos aÞ X12 ð2Þ
RE þ h
where X12 is the angle factor between inner surface of tube and the virtual surface of the
light inlet. q is albedo factor. S, the intensity of sunlight reaching Earth, varies
approximately 3.5%, depending on Earth’s distance from the sun. At summer solstice,
the value of S is equal to 1322 W/m2. At winter solstice, the value of S is equal to
1414 W/m2. RE is Earth’s radius. h is distance from orbital plane to the surface of
Earth. h1 is depth from camera entrance (Fig. 2).
light inlet
h1=0.4D
h1=0.6D
330 h1=0.8D
300 h1=D
270
albedo heat flux Q2/ W/m2
240
210
180
150
120
90
60
30
0
0 50 100 150 200 250 300 350
α/ °
Fig. 2. Albedo heat flux at different depths of tube
Q3, Earth infrared heat flux flow on the inner surface of space camera’s tube, is
calculated as follow [5].
2
RE
Q3 ¼ S ð1 qÞ X12 ð3Þ
RE þ h
The variations in +Z Earth-emitted IR are much less severe than the variations in
albedo. Q3 is depend on X12. The depth from camera entrance is increases and Earth-
emitted IR decreases rapidly (Table 1).
Table 1. Earth infrared heat flux at different depths of tube

Depth from camera Earth infrared heat Remarks
entrance flux Q3/(W/m2)
0 212.8 Virtual surface of the light inlet
0.4D 46.6
0.6D 30.1
0.8D 19.7
D 13.2
The baffle is attached to tube at 24 points by screws and heat insulation pads are
installed on each point. However, heat conduction between the baffle and tube is
considerable. The tube views space (3K). The upper part of the tube has more heat
dissipation to space than the lower part. The orbital heat flux absorbed by tube in the
circumferential and axial directions is not uniform. At the same time, albedo heat flux
will fluctuate periodically. It is a challenge to meet the stringent thermal requirements.
3 High Stability Temperature Control
The tube is cold biased, and active thermal control system is used to meet the thermal
requirements. System design based on multi-level insulation and graded heating is
proposed. Passive thermal control strategies, such as enhanced thermal insulation
design and optimum design of the baffle length, are used to reduce the sensitivity of
space camera’s tube to the external thermal environment. An active thermal control
system is taken to solve the temperature control problem for multi-zone coupling with
each other.
3.1 Optimum Thermal Design of the Baffle

The Albedo flux and Earth infrared heat flux are the external heat fluxes that affect
tube’s temperature fluctuations. The orbital heat flux of tube is related to the length of
baffle and attitude maneuver.
(1) The length of baffle should be large than 0.44 times the camera aperture to avoid
direct sunlight.
(2) Earth infrared heat flux received inside the tube is relatively stable. However,
Earth albedo is periodic fluctuations, which is the main reason to cause tube’s
temperature fluctuations. It can be reduced by increasing the length of baffle. If the
baffle length is greater than 0.8 times the camera aperture, the peak albedo heat
flux will be reduced to 30 W/m2.
(3) Heat flux of Earth infrared and albedo will decrease due to attitude maneuver.
Due to envelope limitation of the launch vehicle, the length of baffle can reach to
0.9 m, 0.75 times the camera aperture.
168 Y. Li et al.
The external surfaces of baffle are covered with MLI. The baffle is thermally
insulated from tube by layered polyimide gaskets to increase contact thermal resistance
(Fig. 3).
Four heater loops are mounted on the baffle near the 100 mm of tube. The tem-
perature set point for baffle’s heaters should be designed so that its peak temperature is
lower than the temperature set point for tube’s heaters in order to avoid heat transfer
from baffle to tube. Therefore, heater controller set points for heaters are set to 12 °C.
The heating power is 10 W for one loop.
Fig. 3. Enhanced design for insulation
3.2 Enhanced Thermal Insulation

The thermal coupling between the baffle and tube is reduced through measures such as
reducing the contact area, layered polyimide gaskets and installing polyimide gasket
between the baffle and screw. Some special thermal control measures are adopted to
decrease the variation of tube’s orbital heating.
(1) The inner thermal baffle is set to thermal isolation tube from cold space.
(2) MLI is mounted between tube and thermal baffle, which not only decrease the
temperature fluctuations of tube, but also reduce the heating power.
(3) All the external surfaces of tube are covered double MIL by adding special thin
ribs, which can enhance the thermal insulation with outside thermal environment
(Fig. 4).
Fig. 4. Enhanced design for radiation insulation

3.3 Heater Control Approach

Due to the required optical accuracy, amongst these are the heater control loops for the
tube. The temperature gradients are strongly dependent on the division of heater zones.
Optimizing the division of heater zones will ensure the above requirement met. The
tube is therefore provided with 32 feedback-controlled heater loops.
Electronic proportional heater controllers that have a tolerance of ±0.1 °C or better
will be used. They are modeled as thermostats that open at temperature set point plus
0.3 °C and close at temperature set point minus 0.3 °C. The schematic of the heater
control approach is given in Fig. 5 [6]. The temperatures are measured by MF61
thermistors. According to MF61, the tolerance of temperature measurement is ±0.1 °C
from 0 °C to 30 °C. The set point of heater controller is 19.5 °C, which can be
adjustable in flight.
Td Proportional u
Heater
heater OBJECT
output
controller
Tm
Temperature
measurement
Fig. 5. Active heater control loop diagram
The required heater time is calculated by the control algorithm. The control period
applied is 10 s. The resolution is better than 1 s.
4 Thermal Analysis and Validation
4.1 Thermal Analysis and Testing

Thermal Desktop is used to establish the thermal analysis model. The cold case and hot
case are solved and the temperature variations of tube is shown in the Table 2. The
temperature predictions of the baffle adjacent to the tube are in the 11.2 °C to 19.8 °C
range.
Table 2. Analysis results and test results of tube

Item Analysis results (°C) Test results (°C)
Hot case Cold case Hot case Cold case
Temperature range 19.2–20.6 19.3–20.2 19.29–20.12 19.30–19.81
Temperature variation during imaging 0.19 0.16 0.08 0.06
Circumferential temperature gradient 0.82 0.71 0.57 0.41
Axial temperature gradient 0.78 0.65 0.43 0.29
170 Y. Li et al.
Fig. 6. Test temperature curve of tube in hot case
A thermal balance test was undertaken to validate the thermal design and to provide
measured data for improving the thermal model. Thermal test results are shown in
Table 2 and Fig. 6. The thermal balance tests show that:
(1) The temperature of tube is 19.29–20.12 °C, both their radial and axial temperature
gradient are less than 0.57 °C, their temperature fluctuation during imaging are
less than 0.08 °C.
(2) The periodic average heating power for tube is 18.2 W in cold case test.
(3) The analysis results are close to the thermal balance tests, indicating that thermal
analysis model is correct. The thermal control system can meet the stringent
thermal requirements.
Fig. 7. Temperature curve of tube for first 3 months in orbit

4.2 On-Orbit Performance

The in-flight results are presented in this section (Figs. 7 and 8) and where possible
compared with predictions, ordered according to the following characteristics:
1. At first 3 month in orbit, the temperature of baffle is 11.7–16.5 °C. The temperature
of tube is 19.43–19.84 °C. Their axial temperature gradients are less than 0.21 °C.
Their circumferential temperature gradients are less than 0.24 °C. Their temperature
fluctuations are less than 0.22 °C/3 month. Periodic average heating power for tube
is 16.7 W.
2. After 3 years in orbit the degradation, the temperature variation of tube is signifi-
cantly lower that predicted. Therefore, the design can meet the stringent thermal
requirements for its entire lifetime. The radial temperature gradients are less than
0.26 °C. The circumferential temperature gradients are less than 0.35 °C. The
temperature fluctuations are less than 0.33 °C/3 month.
Fig. 8. Temperature variation of tube for first 3 years in orbit
5 Conclusions
The thermal environment of the space camera’s tube is analyzed and the formula of
orbital heat fluxes for tube is given subsequently. The tube is cold biased, and active
thermal control system is used to meet the thermal requirements. Enhanced thermal
insulation design and optimum design of the baffle length, are used to reduce the
sensitivity of space camera’s tube to the external thermal environment. An active
thermal control system is taken to solve the temperature control problem for multi-zone
coupling with each other. In-orbit analysis of the last 3 years shows that, the axial
and circumferential temperature gradient of tube are less than 0.5 °C. The temperature
fluctuation are less than 0.33 °C/3 month. Periodic average heating power for tube
is 16.7 W.
172 Y. Li et al.
References
1. Wang, X., Guo, C., Hu, Y.: Design and verification for front mirror-body structure of on-axis
three mirror anastigmatic space camera. Acta Photonica Sinica (2011)
2. Gilmore, D.G.: Spacecraft Thermal Control Handbook. The Aerospace Press, California
(2002)
3. Hou, Z., Hu, J.: Foundation and Application of Spacecraft Thermal Control Technology.
China Technology Press, Beijing (2007)
4. Zhang, R.: Satellite Orbit Attitude Dynamics and Control. Astronautic Press, Beijing (1998)
5. Ning, X., Zhang, J., et al.: Extreme external heat flux analytical model for inclined-orbit
hexahedral satellite. J. Astronaut. (2008)
6. Tong, Y., Li, G., Geng, L.: A review on precise temperature control technology for spacecraft.
Spacecraft Recovery Remote Sens. (2016)
Application Design of Virtual Assembly
Simulation Technology for Installing Cables
on Biaxial Drive Mechanism
Chunsheng Yang1(&), Yufeng Huang2, Yi Lu1, Feng Xue1,

Zhenyue Ren1, and Guoyu Liu1
1
Beijing Institute of Spacecraft Environment Engineering,
yangcs426@163.com
2
Institute of Telecommunication Satellite, Beijing 100094, China
Abstract. Based on virtual assembly simulation technique for installing cables

on biaxial drive mechanism, this paper describes the process of building flexible
virtual assembly environment and simulating installation of cables. First of all,
the basic element of cable-laying is simulated, such as wires, thermistors, heat
plates, etc. Then the process of cable laying is simulated and analyzed by step
level in detail. The laying path of each wire is carefully planned in the complex
space surface of biaxial drive mechanism. The feasibility of the path is validated
in view of overall laying course. The length of each wire can be determined. So
it can get the specific process parameters. The project application results indicate
that the virtual simulation technique can optimize the process of the spacecraft
assembly and integration design, avoid faults by mistake, extend the process
expression technique, insure the reliability of irreversible operations, and
enhance the level of process design.
Keywords: Virtual assembly simulation Biaxial drive mechanism

Assembly process design
1 Introduction
With the development of technology, virtual assembly has been widely used in
spacecraft assembly integration. It has achieved application results in three dimensional
space interference analysis, ergonomics analysis, assembly mode selection, mechanical
grounding supporting equipment (MGSE) design, site adaptability etc. [1]. It has
guided the specific realization of process design, process planning and MGSE design.
Virtual simulation technology is the combination of computer technology and virtual
reality technology. Virtual environment and virtual products are constructed to simulate
and control the real entities. Virtual simulation technology is used to verify the cor-
rectness and rationality of the whole spacecraft and component-level assembly process
and assembly routes [2]. Digital visualization technology is used to test the assembly
sequence and assembly route, evaluate the product whether can be assembled, optimize
the process design, and further improve the design quality and extend the process
expression technique [3].
https://doi.org/10.1007/978-981-13-7123-3_21
174 C. Yang et al.
At present, virtual assembly technology has gradually played an irreplaceable role

in the assembly process design with research of deep space exploration engineering,
manned spaceflight engineering, navigation project, and DFH-5 platform trussed
satellites. It not only helps to solve the project bottleneck technology research, but also
helps to significantly improve the level of process planning [4]. However, for the
flexible cable process, virtual simulation technology is subject to the factors such as
complex material constraints, large variations in material properties, meticulous oper-
ation steps, and more coupling with thermal control and assembly welding.
In this paper, the application of virtual assembly simulation technology in flexible
cable assembly is studied based on the cable laying of biaxial drive mechanism of the
two-generation data relay satellite.
2 Analysis of Cable Laying Process in Biaxial Drive

Mechanism
2.1 Characteristics of Biaxial Drive Mechanism

The biaxial driving mechanism of the two-generation data relay satellite is used for
attitude control of the large umbrella shaped antenna outside the star, so that it accu-
rately points to the user satellite and ensures the relay communication between the
ground station and the user satellite. The biaxial driving mechanism has two directions
of rotation function (azimuth and pitch). By adjusting the two degrees of freedom, the
direction determination and continuous transformation of the umbrella antenna on orbit
are realized. The driving mechanism is composed of two rotating mechanisms, ele-
vation axis and azimuth axis, as well as high-frequency cabin connecting bracket, two-
axis connecting bracket and expansion-arm connecting bracket. The cables between the
elevation axis and the expansion arm support bracket are fixed cables, which do not
move during the whole lifecycle. The cables between the azimuth axis and the ele-
vation axis are movable cables, which have the active range from the compression state
to the maximum expansion position, and the free cable movement does not rub with
other parts of the satellite. The structure of the device is shown in Fig. 1.
Fig. 1. Structure diagram of biaxial drive mechanism

Application Design of Virtual Assembly Simulation Technology 175
2.2 Analysis of Cable Laying Process

Due to the characteristics of long-term reciprocating large angle motion of two degrees
of freedom, design of installing cables of the driving mechanism are much more
complicated. The rotation of the axis should not be affected. After many times of
rotation, the cables should not be dragged, pressed, and scraped together to ensure that
the signal transmission performance work well.
At the same time, the driving mechanism is installed outside the satellite, which
makes the thermal control measures of the device more complicated. It involves heating
plate, platinum resistor, thermistor, dehumidifying heating plate, thermal control sleeve
etc., while the process is irreversible. Meanwhile, it is also necessary to ensure that the
additional cables at the above thermal control are reserved for a certain length of
abundance, so as to ensure the high cables have sufficient tensile distance (including
thermal expansion and cold shrinkage allowance) and tolerable bending degree when
the biaxial driving mechanism reciprocates.
Additionally, the cable laying in the complex narrow interspace of three-
dimensional is also a difficult problem for design expression. Conventional two-
dimensional drawings are difficult to accurately express information with poor read-
ability. We need to use multimedia tools to complete the visual output of design
information, intuitively express the contents of each step of drive mechanism thermal
control implementation, specify the implementation location and the results of
requirements.
These characteristics bring great difficulty to process design, and the above harsh
conditions can’t be verified by conventional physical simulation test. Virtual assembly
simulation technology can solve this problem that process design can’t be verified.
3 Simulation of Cable Laying Process in Biaxial Drive

Mechanism
3.1 Build Simulation Analysis Environment

Primarily, we should obtain product resource model to build simulation analysis
environment. The product resource model is the most basic part of the whole system,
which is usually provided by the designer or the design process itself. Its correctness
will directly affect the results of the simulation research. The model provided by the
designer must be checked according to design documents to avoid simulation errors.
For complex products, technicians can newly design models and simplify the models,
but they should meet the key parameters of simulation. In the research of this project,
the product model of biaxial drive mechanism, the model of thermal control sleeve, the
model of moving cables, the model of thermal control lead and others are involved.
Through the acquisition of the above model, the simulation analysis unit is created.
Then, all the units are combined and laid out to achieve integration, and the
component-level construction is completed. Thereafter, the model needs to be pre-
treated, mainly by analyzing the process parameters of the unit to modify the adapt-
ability of the components. The technique research route is shown in Fig. 2.
176 C. Yang et al.
Fig. 2. Implementation path of simulation analysis environment construction
In this project, the emphasis is laid on laying and routing of thermal control cables.
Therefore, the diameter, minimum turning radius and elastic performance of cables
should be clear. Meanwhile, for additional heating plates, thermistors, platinum
resistors and so on, it is necessary to model matching and revising and positioning with
the size specified in the design documents, so as to complete the building of the
simulation analysis environment.
3.2 Simulation of Cable Laying Process

According to the layout of thermal control components, the cable laying is divided into
three stages, and virtual assembly simulation is carried out according to different stages.
The 3 stages of the division are: (1) uniaxial state: including pasting heating plate,
platinum resistance, etc. (2) before pasting sleeve and after two axis combining:
including assembling the two axis, pasting thermistor on the surface of axis, installing
wires on the sleeve, pre installing grounding wires for sleeve, etc. (3) the biaxial state
adheres the sleeve: including the dehumidification cable wires, welding plugs, instal-
ling cables through brackets, along sleeve flanging and surface of axis, welding heating
loop and reserved cables, all cable dispensing etc.
During the above three stages, according to the principle of from one part to the
whole, from inside to outside, from single wire to whole cables, from the beginning
position of the paste to the cable end locating outside of the device, we can analysis the
layout of the thermal control components with its wire routes step by step. Taking the
azimuth axis wire routes as an example, the simulation analysis process is shown in
Fig. 3.
1) the layout of the thermistor wires through 2) the layout of backup-heater the wire
the bracket to the cable beam through the bracket to the cable bundle
3) the layout of main-heater wires through 4) the inner heater loop of the sleeve is con-
the bracket to the flange of the sleeve nected in series
5) the sleeve is connected in series with the 6) the layout of heating circuit wires after
external heater circuit connection in series
7) the layout of platinum resistance wires is 8) the layout of dehumidifier wires through the
through the biaxial bracket biaxial bracket
9) welding plugs for dehumidification wires 10) stick the thermistor outside of the cable
near the bracket bundle and layout relevant wires
Fig. 3. The simulation and analysis process of layout cables on azimuth axis
178 C. Yang et al.
4 Study on Implementing Analysis and Layout Optimization

of Cable Laying
In the process of virtually simulate cable installing, we should pay attention to cable
layout, cable lines fixed mode and interference feasibility analysis, operational feasi-
bility analysis, cable routes optimization, etc. [5, 6]. Taking the feasibility analysis of
the cable through hole in bracket as an example, we premise the diameter of the single
thermal control wire to be 0.8 mm, then we can learn that no more than 19 wires can go
through the same hole together. However, there are 15 wires are designed to go through
the hole. We layout wires carefully, then we can analysis that the minimum distance
between wires are less than 0.5 mm. Considering the requirements of process pro-
tection in actual implementation process, the thermal wires will also be wrapped with
many layers of 3M tape for protection, which will increase the diameter of the wire.
Therefore, it is necessary to optimize the layout of wire by separating the harness to
different holes or changing the path. The simulation analysis is shown in Fig. 4.
Fig. 4. The analysis and study of the feasibility of cable laying
In addition, through the video animation formed by virtual assembly simulation,

both the contents of each step of the thermal implementation of the biaxial driving
mechanism, and the specific implementation location with the demand results can be
intuitively expressed. With the help of multimedia, the video provides great conve-
nience to operators, ensures the irreversible operation with safe and correctness,
improves product reliability and improves assembly efficiency [7].
5 Concluding Remarks
In this paper, the flexible cable laying of two-axis drive mechanism is studied. Set up
simulation environment should be according to the design requirements to layout
cables and plan the routes, simulate and analyze the wire installing process. In the
course of the study, we can identify the problems which may appear during design
phase or operating phase. We can optimize the cable layout effectively to ensure the
accuracy and enforceability of the process design. So it can effectively reduce the
failure rate of assembly defects and products, reduce the risk of product development,
and ensure the quality of product assembly. The successful application of virtual
assembly simulation in the cable laying of biaxial drive mechanism of the two-
generation data relay satellite can provide reference and guidance for the assembly
process design for other spacecraft.
References
1. Yang, Z., Li, L., et al.: 3D digital assembly process for rocket body cabin. Aerosp. Mater.
Technol. 4, 85–91 (2016)
2. Yuan, C.: Assembly process simulation of rocket components and on-site visualization
technology application. Xi’an University of Electronic Science and Technology (2015)
3. Feng, W., Zhang, Y., et al.: The virtual simulation technology in assembly process design of
china’s lunar exploration project II. Spacecraft Environ. Eng. 6, 326–331 (2014)
4. Zhou, R., Zhang, H., et al.: Virtual assembly process simulation of Bogie based on DELMIA.
Mach. Electron. 2, 47–50 (2015)
5. Shen, Z., Zheng, H., et al.: Application of digital assembly simulation technology for
complicated vehicle based on DELMIA. Missile Space Launch Technol. 6, 42–45 (2015)
6. Ritchie, J.M., Dewar, R.G., Simmons, J.E.L.: The generation and practical use of plans for
manual assembly using immersive virtual reality. In: Proceedings of the Institution of
Mechanical Engineers (Part B), vol. 213, pp. 461–474 (1999)
7. Li, T., Han, F., et al.: Virtual assembly simulation of catheter based on DELMIA. Mech.
Manuf. 5, 74–77 (2014)
Data Analysis and Research Based on Satellite
Micro-vibration Disturbance Test
Yang Gao1(&), Qiang Wang2, Fei-hu Liu3, Lu Cao3, and Wei Cheng3
1
35794664@qq.com
2
3
School of Aeronautical Science and Engineering,
Beihang University, Beijing 100191, China
Abstract. The micro-vibration generated by the moving parts is always pre-

sent, and has a great influence on the satellite. It is very necessary to study the
influence of the micro-vibration and take the vibration isolation measure. This
paper introduces a micro-vibration test scheme of control moment gyroscope
(CMG) on a satellite, and analyzes the measured data from two aspects: back-
ground noise and disturbance characteristics. In order to suppress the influence
of the vibration of the control moment gyroscope (CMG) on a whole star, we
design a type of spring isolator. To verify the effectiveness of the isolator, two
installation states are designed, namely rigid installation state and isolator
installation state. We test and analyze the disturbing force produced by the CMG
under the conditions of time domain and frequency domain. The test results
indicate that the vibration isolation effect is obvious. The vibration isolation
effect of CMG base frequency can reach over 90%.
Keywords: CMG Micro-vibration Vibration isolation Data analysis
1 Introduction
With the increasing resolution of remote sensing satellites, the requirements of satellite
jitter and attitude stability are becoming more and more important. The main
influencing factors include external force interference, attitude maneuver and micro-
vibration of satellite moving parts (such as momentum wheel, CMG etc.) [1, 2]. The
micro-vibration generated by these moving parts is always present, and has a great
influence on the satellite. Therefore, the suppression of micro-vibration becomes a
necessary measure to ensure the image quality [3–5]. If the disturbance characteristics
of the disturbance source are known in the development stage of the product com-
ponents, the corresponding isolation and vibration reduction measures can be taken in
the structural design stage [6–10].
During the working process of a certain type of CMG, the disturbance character-
istics of the CMG and the effectiveness of vibration isolation scheme are still unclear.
Therefore,the corresponding micro-vibration test and analysis evaluation are required.
This paper introduces the test scheme of a certain type of CMG micro-vibration test,

https://doi.org/10.1007/978-981-13-7123-3_22
Data Analysis and Research 181
analyzes the test results of rigid installation state and isolator installation state and
evaluates the effectiveness of vibration isolation scheme.
2 Test Scheme
2.1 The Micro-vibration Force Measuring Platform

This experiment is carried out by the micro-vibration force measuring platform
developed by Beihang University. The platform is mainly composed of eight unidi-
rectional piezoelectric force sensors, sensor top plate, sensor bottom plate and
mounting base. It can measure the micro-vibration load produced by the moving parts.
The physical diagram of the platform is shown in Fig. 1.
Fig. 1. The physical diagram of the platform
The platform can measure six components of vibration force (three axial forces, two
bending moments and one torque). The main performance indexes are shown in
Table 1.
Table 1. The main performance indexes of the platform

Project Index
Carrying capacity 200 kg
Force resolution 1 mN
Torque resolution 1 mN m
First order natural frequency of test system 1096 Hz
Frequency measurement range 0.5 Hz–2 kHz
When the disturbance source is installed and working on the platform, there will be
eight voltage signal outputs. The calibration process is needed to determine the
182 Y. Gao et al.
conversion relationship between eight voltage signals and six-component forces, so

that the eight voltage signals obtained by the test can be used to inversely calculate the
six-component forces acting on the platform. The schematic diagram of calibration is
shown in Fig. 2.
Fig. 2. The schematic diagram of calibration
F0 ðxÞ616 ¼ C616 FðxÞ1616 ð1Þ
In the above formula, C is used to make the force system of hammering force
(F) equivalent to the force system at the geometric center point O(F0 Þ. UðxÞ816 is the
output voltage of the platform; WðxÞ68 is the calibration matrix. Then there are the
following formulas:
WðxÞ68 UðxÞ816 ¼ C616 FðxÞ1616 ð2Þ

WðxÞ68 UðxÞ816 UH ðxÞ168 ¼ C616 FðxÞ1616 UH ðxÞ168 ð3Þ
1
WðxÞ68 ¼ C616 FðxÞ1616 UH ðxÞ816 UðxÞ816 UH ðxÞ816 ð4Þ
If the output voltage is UðxÞ81 , the six-component forces produced by the mea-
sured disturbance source are as follows:
FðxÞ61 ¼ WðxÞ68 UðxÞ81 ð5Þ

2.2 Test Condition

This test mainly tests the micro-vibration characteristics of CMG and the effect of
vibration isolation on the micro-vibration suppression of CMG. Therefore, it is nec-
essary to test the micro-vibration characteristics of CMG under the condition of rigid
installation and isolator installation, and then make a comparison. In addition, the
schematic diagram of the test under the condition of isolator installation is shown in
Fig. 3.
Fig. 3. The schematic diagram of the test under the condition of isolator installation
Under the working condition of CMG, the speed of the high-speed shaft is stable at
7000 rpm, and the low-speed frame rotates around the low-speed shaft at a certain
speed. Therefore, we should carry out the test when the low-speed frame is at different
positions (0°–330°, every 30°, for a total of 12 positions). After the stabilization, the
micro-vibration test is performed. The test conditions are shown in Table 2.
Table 2. The test conditions (The high-speed shaft: 7000 rpm; The low-speed frame: 12
different positions.)
Number of test conditions Description of test conditions
I CMG is rigidly mounted on the force measuring platform
II CMG is mounted on the force measuring platform via isolators
3 Data Analysis
3.1 The Data of Background Noise
After setting up the test system, LMS and the control equipment of CMG boot up. At
this moment, the high-speed rotor part is not activated. The data collected by LMS is
considered as the background noise of the system. Figure 4 shows the background
noise diagram of Fx in time domain. From Fig. 4, the amplitude of background noise of
Fx is within 0.35N, and the root mean square value in time domain is 0.14N. The root
mean square values of the residual force and torque are all below 0.14.
184 Y. Gao et al.
Fig. 4. The background noise diagram of Fx in time domain
3.2 Analysis of Disturbance Characteristics
(1) Rigid installation state

When the low-speed frame is located at the 0° position, the time-domain amplitude
increases from 0.35N to 8N, which increases by two orders of magnitude; the time-
domain rms value increases to 4.7N. Figure 5 shows the diagram of Fx in frequency
domain (the low-speed frame is at 0° position; condition I). Compared with the
background noise data, the peak value is increased at 116.9 Hz, 233.8 Hz and
350.7 Hz. The analysis shows that the above three frequency values are all multiplied
by 116.9 Hz. Because the high-speed rotor speed of ia at 7000 rpm, the calculated
fundamental frequency value is consistent with 116.9 Hz.
Fig. 5. The diagram of Fx in frequency domain (the low-speed frame is at 0° position;

condition I)
(2) Isolator installation state

When the low-speed frame is located at the 0° position, the time-domain amplitude
increases from 0.35N to 2.5N; the time-domain rms value increases to 0.9. Figure 6
shows the diagram of Fx in frequency domain (the low-speed frame is at 0° position;
condition II). Compared with the background noise data, the peak value increases at
15.75 Hz, 116.9 Hz, 233.8 Hz and 350.7 Hz, the latter three frequency values are
consistent with the frequency values of the condition I, and the new frequency value
15.75 Hz is related to the frequency of the isolator.
Fig. 6. The diagram of Fx in frequency domain (the low-speed frame is at 0° position;

condition II)
(3) Comparison between condition I and condition II

When the low-speed frame is at the 0° position, the latter is about 70% lower than the
former in the time domain. The amplitude corresponding to the fundamental frequency
and the multiplied frequency is 94%, 87% and 80% lower respectively in frequency
domain.
In the two installation states, we obtain the micro-vibration data when the low-
speed frame is at 12 different positions. And finally plot the waterfall diagram in
frequency domain. Figure 7 shows the waterfall diagram of Fx in frequency domain.
Compared with condition I, condition II has some special and obvious peak in the
range of 0–50 Hz, which is related to the isolators. The peak value decreases in the
whole frequency band, and the peak value of the fundamental frequency decreases
most obviously. The mean values of the root mean square values (between 0–400 Hz;
in the range of 0°–330°) of the six component forces (Fx, Fy, Fz, Mx, My and Mz) are
shown in Table 3; the mean values of the peak values at the fundamental frequency
(Fx, Fy, Fz, Mx, My and Mz; in the range of 0°–330°) are shown in Table 4. Therefore,
the vibration isolation effect of isolator is good.
186 Y. Gao et al.
Fig. 7. The waterfall diagram of Fx in frequency domain.
Table 3. The mean values of the root mean square values (Band: 0–400 Hz; Position: 0°–330°)
Conditions Fx (N) Fy (N) Fz (N) Mx (Nm) My (Nm) Mz (Nm)
Condition I 6.06 11.95 1.13 0.80 0.44 4.81
Condition II 1.11 1.11 0.66 0.45 0.12 0.62
Table 4. The mean values of the peak values at the fundamental frequency (Position: 0°–330°)
Conditions Fx (N) Fy (N) Fz (N) Mx (Nm) My (Nm) Mz (Nm)
Condition I 4.08 11.60 0.76 0.22 0.41 4.67
Condition II 0.09 0.06 0.03 0.02 0.01 0.12
4 Conclusion
The laboratory carries out the micro-vibration test of a CMG in two installation states:
rigid installation and isolator installation. Then we obtain the data of background noise
and the data in CMG working status.
(1) Compared with the data of background noise, the data in CMG working status is
increased by at least one order of magnitude. Thus the test result is considered
valid.
(2) Comparing the data of two installation states: the rigid installation state and the
isolator installation state, there is a significant decline in both the root mean square
value in time domain and the peak value in frequency domain, especially the peak
value at the fundamental frequency decreases most obviously.
Therefore, it is considered that the vibration isolation effect of the isolator is
obvious, and the vibration isolation effect at fundamental frequency is the best.
References
1. Wu, Y., Xie, Y.-c., Yan, T.-f., Fang, G.-q., Jiao, A.C.: Micro-vibration Testing Technology
for Space Station Control Moment Gyroscope. Equip. Environ. Eng. 94–99 (2018)
2. Zhang, Z.-h., Yang, L., Pang, S.-w.: High-precision mechanical environment analysis of
micro-vibration of spacecraft. Spacecraft Environ. Eng. 528–534 (2009)
3. Wang, G.-y., Zhou, D.-q., Zhao, Y.: Data analysis of on-orbit micro-vibration measurement
by remote sensing satellite. Astronaut. J. 261–267 (2015). Author, F., Author, S., Author, T.:
Book title. 2nd edn. Publisher, Location (1999)
4. Lambert, S.G., Casey, W.L.: Laser Communications in Space. Artech House, Boston (1995)
5. KATZMAN, M.: Laser Satellite Communications, p. 250. Prentice-Hall Inc., Englewood
Cliffs (1987)
6. Wu, D.-y., Li, G., Lu, M.: Noise measurement and analysis of 1000Nms control moment
gyroscope. Space Control Technol. Appl. 31–55 (2012)
7. Zhou, D.-q., Cao, R., Zhao, Y.: Measurement and analysis of micro-vibration in orbit by
remote sensing satellites. Spacecraft Environ. Eng. 627–630 (2013)
8. Zhou, J.-p.: General conception of space station project in China. Manned Spaceflight 1–10
(2013)
9. Wang, T.-m., Wang, H., Li, H.-y.: Space station common orbit vehicle deployment for
supply mission. Manned Space 583–596 (2017)
10. François, D., Mark, W., Stephen, A.: New facility for micro-vibration measurements ESA
reaction wheel characterisation facility. In: Proceedings of the 12th European Conference on
Space Structures, Materials & Environmental Testing, Noordwijk (2012)
Spacecraft Automation Test Procedure
and System Design
Yongcong He(&), Feng Yang, Liang Ren, and Chao Cheng
Institute of Manned Space System Engineering,

China Academy of Space Technology, Beijing, China
hyc.nuaa@163.com
Abstract. In view of the fact that the existing manned spacecraft electrical
measurement process cannot be streamlined and automated, it consumes a
considerable amount of human resources and time costs, the manned spacecraft
automated test program and system were designed. Through the analysis and
design of the format, function and processing flow of the automated test pro-
gram, the basic data resources for spacecraft electrical survey are provided, and
the automatic test system is designed to realize the automation and process of
the spacecraft electrical test cycle. It is suitable for different series spacecraft
electrical survey, effectively reduce the manual operation of the testers and the
number of personnel, improve the test efficiency, meet the high-intensity ground
test, and efficiently complete the high-density manned spacecraft launch
mission.
Keywords: Spacecraft Electrical test Automation test procedure

Automation test
1 Introduction
Spacecraft electrical testing refers to a comprehensive inspection of the spacecraft’s

functions, performance, interfaces, etc. under power supply. Spacecraft electrical
testing is one of the most important aspects of several spacecraft development activities
[1, 2]. As the spacecraft model development task is further intensified, there are mass
production and high-density launch missions for spacecraft, the traditional test mode
dominated by manual sending instructions can no longer meet the requirements. The
spacecraft electrical testing process must be streamlined and automated. Improve the
efficiency of electric testing, reduce costs, solve the contradiction between manpower
and material resources, and meet the needs of spacecraft high-density launch missions.
Spacecraft automation testing is the main development direction and trend of spacecraft
testing technology, That is, using the computer to automatically complete the control
command transmission and the downlink data monitoring according to the predeter-
mined program is an inevitable requirement and an effective means for improving the
test efficiency, ensuring the test quality and safety, shortening the test period, and
streamlining the test team.
Spacecraft automation testing has made great progress abroad. Boeing has a world-
class advanced satellite assembly test factory equipped with a complete automation test

https://doi.org/10.1007/978-981-13-7123-3_23
Spacecraft Automation Test Procedure and System Design 189
system to form an efficient running test procedure. Thales Alenia Space has imple-
mented fully automated testing of payloads. China’s aerospace technology department
introduced the idea of automation testing to improve the automation and intelligence of
test systems. Compared with foreign countries, the domestic research on spacecraft
automation test is still in its infancy, mainly summarizing the characteristics of
spacecraft automation test language [3–8], a valid test executable digital resource has
not yet been formed. In order to improve the research capability of China’s spacecraft
and catch up with international advanced testing technology, it is extremely urgent to
develop spacecraft automation testing.
2 Automation Test Language Design
The test procedure is composed of a single piece of text and organized by time. Each
field is separated by a tab, and each row represents a specific operation. Each operation
may include multiple sub-operations according to different opcodes, and each sub-
operation may include multiple operation parameters. The definition of the test lan-
guage begins with a step number and ends with a specific field. By designing the format
and function of the automated test language, the spacecraft automation testing can be
streamlined and fully cycled. Table 1 shows the automation test procedure format
(Tables 2 and 3).
Table 1. Automation test procedure format

Step Time Time Opcode Subaction Subaction … Terminator
number type value 1 2
The Time The Defines the content The The –
serial type execution and process of specific specific
znumber time of subsequent content of content of
of the the operations. Different the first the second
operation operation opcodes have sub- sub-
different number of operation operation
sub-operations
Table 2. Examples of automation test procedure

Step Time Time Opcode Subaction 1 Subaction 2 Terminator
number type value
1 0 0 2 K1 –
2 1 3.5 3 (DAHE.A005 >5) K1 –
3 2 12 1 WAIT(100) IF(DAHE.C060 –
> 0.5)
GOTO 90
ELSE GOTO 4
4 3 2.5 1 JUMPTO –
PROCEDURE3
190 Y. He et al.
Table 3. Sub-operation instructions

Opcode Subaction name Subaction description
0 Judging telemetry parameters Determine the telemetry parameters and
perform subsequent operations after
satisfying the judgment conditions
1 Testing program control Control testing program start, pause,
resume, delay, stop, jump, link, etc.
2 Send instructions Send instructions
3 Determine the telemetry parameters and Send the instruction after satisfying the
send instructions judgment conditions
4 Send instructions and determine Determine the specified telemetry
telemetry parameters parameter after sending the instruction
5 Determine telemetry parameters, send First determine the specified telemetry
instructions, and determine telemetry parameters, send the instruction after
parameters satisfying the judgment condition, and
then judge the specified telemetry
parameters
6 Judging telemetry parameters, test Determine the specified telemetry
program control parameters, control the test program start,
pause, resume, delay, stop, jump, link, etc.
after satisfying the judgment condition
… … …
Step number: The serial number of the operation of the line is generally incre-
mented in order from the beginning of 1.
Time type: 0 means execution in absolute time (relative to the first step), 1 means
execution in relative time (relative to the previous step),
Time value: The time of execution of the operation, absolute time, relative time are
expressed in two ways, one is “number” and the unit is second; one is “day: hour:
minute: second”, such as “00: 01:03:14” is equivalent to “3794 s”.
Opcode: The content and process of subsequent sub-operations are defined. Dif-
ferent opcodes have different number of sub-operations and can be a combination of
multiple sub-operations.
Subaction: In general, sub-operations can be divided into judging telemetry
parameters, test program control, sending instructions, and combinations thereof.
Judging telemetry parameters support:
1. The bitwise operation “bitwise AND”, “bitwise OR” is supported in the conditional
judgment;
2. The conditional judgment supports the comparison operators <, >, <=, >=,
==, *=, which means less than, greater than, no greater than, no less than, equal,
not equal;
3. The conditional judgment supports the numerical operators +, –, *, /, ^, and %,
which respectively represent addition, subtraction, multiplication, division, expo-
nential power, and modulo;
4. Support for logical operations and, or, not, in conditional judgment;

5. In the conditional judgment, the displacement operation is supported to shift to the
left and to the right;
6. The following common mathematical functions are supported in conditional
judgment (Table 4):
Table 4. Mathematical functions supported by parameter parsing language

Keyword Meaning
abs Absolute value
cosh Hyperbolic cosine function
cos Cosine function
exp E-based x-th power
floor The largest integer not greater than x
log10 Logarithm of base 10
log Natural logarithm of a number
sinh Hyperbolic sine function
sin Sinusoidal function
sqrt Open square function
tanh Hyperbolic tangent function
tan Tangent function
… …
Test procedure control operation contents can indicate start (EX), pause (HOLD),
delay execution (WAIT), stop (QUIT), inter-procedure jump (JUMPTO), in-procedure
jump (GOTO), program link (LINKTO), Conditional judgment (IF…ELSE), etc.
(Table 5).
Table 5. Test procedure control operation classification

Logical type Meaning
Conditional judgment Conditional judgment based on telemetry parameter values (IF…
ELSE)
Jump directly to other Jump to the other steps of this test procedure. Consists of
steps “keyword” + “step number”, specifying the step to jump to the
specified step number of this test procedure (GOTO)
Jump directly to other test Jump to other test procedures, consisting of “keyword + other test
procedure procedure name”, specify jump to a specific test procedure
(JUMPTO)
Link into other test Link into other test procedures, consisting of “keyword + test
procedures project name”, specify link specific test project to this test project;
link and jump are different, jump will not actively return to this test
project, when the linked test project is executed, the link returns to
the test project to continue execution (LINKTO)
192 Y. He et al.
3 Automation Testing System Design
The spacecraft automation testing business process is shown in Fig. 1. It realizes the
automation of the three stages of test preparation, test execution and test evaluation,
and realizes the automation of the whole test process [9].
Fig. 1. Spacecraft automated test business process
Test preparation: Through the modular design idea, the test project design is carried
out according to the test outline, the test project is organized, and the test rules and test
procedures are automatically generated.
Test execution: The test procedure generated during the test preparation phase is
input, the test procedure is executed, and the unattended self-monitoring is performed
in real time. When an abnormality occurs, the program jumps autonomously according
to the program design.
Test evaluation: The spacecraft and subsystem are used as the structure to evaluate the
implementation of each test procedure and the execution of the test procedure, and the
detailed test evaluation report is automatically generated according to the test rules. The
tester’s phased test coverage and test intensity analysis are shown in schematic form.
The automation test system consists of a control terminal, an execution terminal, a
database, and a display terminal. The automation test system consists of a control
terminal, an execution terminal, a database, and a display terminal.
The execution end of the automation test system extracts the corresponding test
resources from the automation test database, the operator operates the control terminal,
controls the execution terminal to run the automation test program, and the execution
terminal broadcasts the test process information to the local area network, and the
database records the test process information to provide a number for the test
evaluation.
The tester monitors the test process through the display terminal.
The automation test system and other components of the spacecraft integrated test
system work together to complete the automation test of the spacecraft, as shown in
Fig. 2.
Fig. 2. Schematic diagram of automated test system deployment
4 Application and Effectiveness
The automation test procedure and system are applied to the electrical test of a certain
type of spacecraft, covering electrical performance test, mechanical test, thermal test,
launch field test, etc. The test program execution accuracy is 100%, and the command
is sent correctly and on time.
After the test procedure is applied, the instructions are not manually sent, the test
task is programmed, the test implementation is standardized, the manual operation is
reduced by about 60%, the test time is saved by about 30%, and the accuracy of the test
operation is improved.
According to statistics, in the same series of models, 201 of the 225 test procedures
can be directly inherited, and the proportion of use is close to 90%, which can effec-
tively reduce the number of test personnel and achieve better application results
(Table 6).
Table 6. Application statistic

Test procedure type Number of test procedures Inheritable quantity
Power up and power off the device 54 54
Subsystem check and match 132 117
Flight mission simulation test 12 8
Mechanical test and thermal test 27 22
Total 225 201
194 Y. He et al.
5 Conclusion
The automation test procedures and applications provide the basic data resources for
the spacecraft electrical test, so that the spacecraft test is no longer an independent
individual and discrete instructions, with process and test procedures control capabil-
ities, which can effectively reduce the manual operation of testers and manual inter-
vention. At the same time, integrate test resources, reduce unnecessary duplication of
work, effectively reduce testers, adapt to high-intensity testing, and efficiently complete
high-density spacecraft launch missions.
References
1. Wang, Q.: Eletrical Test Technology of Spacecraft. Chinese S&T Press, Beijing (2007)
2. Li, X., Wei, C., Zhang, W., Xia, Q., Li, T.: On-orbit maintainability design system for
manned spacecraft. J. Syst. Eng. Electron. 38(1), 84–89 (2016)
3. Britton, K.J., Schaible, D.M.: Spacecraft Testing Programs: Adding Value to the Systems
Engineering Process, Kennedy Space Center, Langley Research Center, 29 March 2011
4. Ma, S., Yu, D.: Automated Test Language and system for Spacecraft Test. National Defence
Industry Press, Beijing (2011)
5. Zhu, W., Wang, J., Li, D.: Modeling for spacecraft automated test and design of automated
test language. J. Electron. Meas. Instrum. 118–121 (2009)
6. Sun, B., Ma, S., Yu, D.: Spacecraft automatic test and spacecraft test language. J. Beijing
Univ. Aeronaut. Astronaut. 35(11), 1375–1378 (2009)
7. Dang, J., Yu, J., Zhou, J.: Automatic Measurement Technology of Integrated Test System for
FY-2 Meteorological Satellite, Aerospace Shanghai, pp. 72–77 (2005)
8. Zhu, W., Wang, J., Li, D.: Design of spacecraft automated test software based on directed
graph modeling. Comput. Eng. Des. 31(8), 1702–1705 (2010)
9. He, Y., Pan, S., Li, H., et al.: Design and application of automatic test system for manned
spacecraft. Comput. Meas. Control 23(10), 3258–3263 (2015)
Analysis of Wave Propagation in Functionally
Graded Material Annular Sector Plates
Using Curved-Boundary Legendre Spectral
Finite Elements
Teng Wang(&)

tengwang_nwpu@163.com
Abstract. Functionally graded materials (FGMs) are a kind of composite

materials, where its properties change along spatial coordinates. Study on wave
propagation in the FGMs is for the detection of damage. A time-domain 2D
curved edge spectral finite element method (SFEM) is introduced in this paper to
model wave propagation in complex FGM structures. According to the classic
finite method, the shape functions of SFEM uses the Lagrange interpolation
polynomials at Gauss-Lobatto-Legendre (GLL) points. GLL quadrature rules are
used to calculate the element matrix, which brings the advantage of diagonal
mass matrix. In addition to beyond that, the spatial variation of material prop-
erties inside the element is under considerations and the quadratic Lagrange
polynomial as interpolation functions can represent the curved boundary of
structure. The efficiency of the introduced SFEM model simulating lamb wave
propagation in FGM rectangle plates is illustrated and verified by analytical
data. The wave responses in a FGM ring are solved by straight edge SFEs and
curved edge SFEs respectively to prove the efficiency of the curved edge ele-
ment. Finally, wave propagation in the FGM ring is studied through the
vibration mode, time domain response and phase velocity. Also, the effects of
excitation frequency and FGM parameters are investigated. The results
demonstrate that the developed curved edge SFEs and SFEM model can offer an
efficient and realistic simulation for wave propagation in two-dimensional FGM
structures with curved edge.
Keywords: Wave propagation FGM Spectral finite element Curved edge
1 Introduction
Functionally graded materials (FGMs) are increasingly used in the fields of aerospace,
civil and automotive engineering. Generally, FGMs are made of two kinds of materials
to satisfy specify structural performance demands [1]. Compared to traditional com-
posite, the significant property of FGMs is that the spatial coordinate dependent
material properties can overcome the interfacial problem typical for mostly layered
composite structures. However, the FGM structures are often subjected to corrosion,
impact or fatigue under severe environment condition. The damage detection of those

https://doi.org/10.1007/978-981-13-7123-3_24
196 T. Wang
structures is critical for maintaining their status. Recently, the guided-wave based
damage detection has been is proposed as a very potential way to identify and location
damage in structures [2]. Understanding the wave propagation behavior of wave is very
important for building an effective damage detection strategy.
In the past decades, dynamics analysis of FGM structures becomes necessary and
significant. A number of investigations have been done to study the wave propagation
behavior in the FGM structures by analytic methods and numerical methods.
Numerical methods are proposed to analyze the wave propagation in FGM struc-
tures with complex geometries recently. Among many numerical methods, the finite
element method (FEM) and the spectral finite element method (SFEM) are two popular
tools. To analyze wave propagation in FGM structures with numerical methods,
material simplification has to be done to consider the continuous varying of material
properties [3]. However, the studies in [4] show that only the continuous material
model can give more accurate and detailed results for FGM structures.
Simulations of wave propagation in FGM structures with finite element method can
be found in [4–6]. Exact numerical simulation of wave propagation in structures always
costs a lot of time and memory space. The spectral finite element method has attracted
high interest in recent years, which can improve computational efficiency and reduce
computation time. The time-domain spectral finite element (SEM) is proposed by
Patera in the 1984 [7]. A Chebyshev spectral plate element for wave propagation in
isotropic structures is developed in [8].
Curved structures are widely used in Engineering. To the author’s best knowing,
wave propagation in curved component has not been paid much attention. In this paper,
elastic wave propagation in a curved FGM waveguide is investigated. To achieve more
accurate geometry approximation, a curved-edge time-domain spectral element is
developed. A quadratic Lagrange function is to conduct the geometry shape transform
while higher orders Lagrange function is to interpolate the displacement field. The
continuous material model is involved to model FGMs.
2 Motion Equation
Wave propagation in three-dimensional solids is a dynamic problem that satisfies the

elastic dynamic equation, including equilibrium equation, geometrical equation and
physical equation. Based on the strain or stress condition, three-dimensional problem
can be simplified to the two-dimensional problem. Following the traditional Galerkin
procedure, the motion equation can be described by
€ þ C Q_ þ KQ ¼ F;
MQ ð1Þ
Like the classic FEM, the spectral finite element method follows the similar pro-
cedure. Then the establishment of the two-dimensional spectral finite element method
is presented in detail.
Analysis of Wave Propagation in Functionally Graded Material 197
3 Spectral Finite Element Formulations

3.1 Multiple Waveguides Structure
A multiple waveguides structure with straight-boundary and curved-boundary parts is
shown in Fig. 1. The curved-boundary part is a sector with an angle of h, internal
radius Ri and outer radius Ro. the straight-boundary part is a rectangle with a dimension
of L (Ro – Ri). This structure is established in a global coordinate system and a
denotes the angle relative to the x positive direction. This two-dimensional model is
under the hypothesis of plane strain. The toneburst line excitation is loaded on the left
side, as shown in Fig. 1. The wave response is measured on the outside edge.
Parameters of Ro and a decide the specific location of measuring point.
Fig. 1. Structure with straight-boundary and curved-boundary parts
The whole structure is made of functionally graded material. Outside and inside
phases are pure Ceramic and Chrome. Properties between them change along the
thickness. Establish a one-dimensional system d along the thick direction. Property
values f ðdÞ of the middle material, including elastic modulus, Poisson ratio and density
can be determined by the volume fraction. The volume fraction is a power law function
with exponent v.
f ðdÞ ¼ fi þ ðfo fi Þ gðdÞ ð2Þ
3.2 Shape Transform

Notice that there are curved-boundary elements in this structure. The classic spectral
finite element is established in natural coordinate system (n, η). To complete the
analysis in the global coordinate system, coordinate transformation has to be involved
here. Geometry of each element can be determined through node location and inter-
polation function. A quadric Lagrange function is implemented in this paper for the
accurate description of curved-boundary elements. The grids of nine-node 2D element
can be generated by Ansys ICEM CFD 15.0 and exported in a Nastran format.
198 T. Wang
Then element geometry can be expressed through interpolation form below
X
n X
n
x¼ u k xk ; y¼ uk yk ð3Þ
k¼1 k¼1
where uk ðk ¼ 1; 2. . .9Þ denotes Lagrange function.
3.3 Nodes Distribution and Displacement Field Interpolation

The Legendre spectral element is estimated in local coordinate. Different from the
traditional high order finite element method (FEM), nodes of the Legendre spectral
element are uniformly distributed in a square shown in Fig. 2. Coordinates of these
nodes are determined through the roots of Gauss-Lobatto-Legendre polynomial.
Fig. 2. Shape transform
3.4 Continuous FGM Property Model

Considering the spatial variation of the FGM property, elastic modulus, density and
Poisson ratio are continuous functions of the coordinates. Then a continuous material
model inside the spectral finite element is introduced to model the FGM structures
accurately. In the continuous material model, the properties of each point are calculated
through the continuous function of coordinates.
According to the elastic mechanics and finite element method, density and elastic
matrix of 2D plane strain problem are expressed as

qðn; gÞ 0
le ðn; gÞ ¼ ;
0 qðn; gÞ
2 1vðn;gÞ vðn;gÞ 3
12vðn;gÞ 12vðn;gÞ 0 ð4Þ
6 7 Eðn; gÞ
D ðn; gÞ ¼ 6
e v
4 12vðn;gÞ
1vðn;gÞ
07
5 1 þ vðn; gÞ :
12vðn;gÞ
1
0 0 2
3.5 Mass and Stiffness Matrices

With the interpolating displacement field and geometry in the element area, based on
the Hamilton variational principle, the element mass matrix, stiffness matrix and
equivalent node force are expressed in an integrating form.
Z X
n X
n
Me ¼ N e ðx; yÞT le ðx; yÞN e ðx; yÞdXe xi xj N e ðni ; gj ÞT lek ðx; gÞN e ðni ; gj Þ det½J e ðni ; gj Þ
Xe i¼1 j¼1
Z Xn Xn
Ke ¼ Be ðx; yÞT De ðx; yÞBe ðx; yÞdXe xi xj Be ðni ; gj ÞT Dek ðx; gÞBe ðni ; gj Þ det½J e ðni ; gj Þ
Xe i¼1 j¼1
Z X
n X
n
T
F ¼
e
N ðx; yÞ PdXe
e
xi xj N ðni ; gj ÞT P det½J e ðni ; gj Þ
e
Xe i¼1 j¼1
ð5Þ
The quadrature characteristic of the Legendre polynomial results in the diagonal

matrix of mass. The mass matrix and stiffness matrix of element can be integrated to the
global mass and stiffness to solve the dynamics equation. Explicit-format numeric
method is generally used to solve the wave dynamic equation. Central difference
method is implemented in this paper.
4 Numerical Validation
To validate the efficiency of the proposed element, an FGM plate excited by a time-
load is investigated, shown in Fig. 3. In this paper, the FGM plate excited is simplified
to 2D plane strain problem. The continuous material model in Legendre spectral finite
element is implemented to solve the 2D wave propagation problem. The results are
validated by the traditional FEM, operating in ABAQUS. In FEM analysis, the
structure is divided into many layers and in each layer, material properties are regarded
as constant value, which lies on the average of each layer.
Fig. 3. Two-dimensional model of FGM plate
The 2D model is shown in Fig. 3 with the thickness of 0.02 m and a finite length of
3 m. The material property is changing linearly in the thick direction where grads
parameter. Phases of top and bottom are Aluminum and Zirconia where elastic moduli
are 70 GPa, 151 GPa and densities are 2700 kg/m3, 3000 kg/m3 and Passion ratio is
200 T. Wang
the 0.3 constantly. The point impact is 5 periods sinusoid with the central frequency of
50 K modulated by the Hanning window function.
The elements are 2 80 and there are 7 7 nodes distributed in each element for
SFEM. The elements are 16 1200 and element type is 4-node bilinear plane strain
element. To catch the wave responses accurately, an time increment of 1 10–8 s is
needed. Displacements responses of measuring points located at x = 1.5 m, y = 0.02 m
are recorded. As shown in Fig. 4, a very good agreement with FEM solution is
observed. The results demonstrate that the introduced continuous material model for
FGM is validated.
Fig. 4. Displacements of X, Y on top surface at x = 1.5 m
5 Results and Discussion
The wave propagation in FGM multiple waveguides structure subjected to longitudinal

plane load is then investigated. In the structure, Ri = 1 m, Ro = 1.02 m, L = 0.48 m,
h = 90°. A Hanning-windowed three-cycle sinusoidal toneburst is used as excitation
signal. Wave field, time domain responses of a measuring point and phase velocity
dispersion are all presented. The measuring point is located at the outside of the
structure away from the load along the boundary.
5.1 Straight Element and Curved Element

To analyze wave propagation in simple FGM plate structure with straight boundary, the
linear Langrage function with four corner nodes is enough. For the complex curved
edge structures, high order Langrage function is necessary. In this paper, second order
Langrage function with four corner nodes, four nodes on the middle edge and the
central node is implemented to compare to the straight elements. The structure is
meshed by 3 16 elements. The integration increment is 2 10−8 s.
Figure 5 gives the displacement contours at t = 280 µs obtained by the curved edge
elements and the straight edge elements, respectively. The difference in geometry
shows that the quadratic Lagrange function has the full ability to describe the quadratic
boundary accurately. The numerical model made by straight elements only has broken
lines to describe the profile of the structure. There is small obvious difference in wave
field between curved elements and straight elements. Time-domain responses of dif-
ferent measuring points are farther investigated.
Fig. 5. Displacement field at t ¼ 280 ls. (a, b) Displacement of X, (c, d) Displacement of Y; (a,
c) Solved by curved element and (b, d) solved by straight element.
The results show that using curved edge elements is very necessary in wave
propagation analysis of the FGM structures with curved boundaries.
5.2 Wave Responses in the FGM Multiple Waveguides with Changing

Grads Parameters
As described in Sect. 3.1, power low is used here to define the spatial variation of the
FGM material property. And the power v is used to denote the changing rate of material
property. In this section, the effects of v on wave propagation in the FGM multiple
waveguides are investigated.
Figure 6 gives the responses of the measuring point with varied grads parameters.
Note that amplitude and phase offset are different because of the power variation. As the
power increases, amplitude of the wave packets descends and phase offset increases.
Thus time domain displacements responses have the ability to recognize the value of the
power. It should be pointed out that the material property is uniform as v = 0. There is
only one wave pocket in time-domain response, presenting S0 vibration mode.
Fig. 6. Responses of the measuring point at a = 90°, Ro = 1.02 m, with varied grads parameters.
202 T. Wang
Effects on dispersion are investigated through the phase velocity. Figure 7 shows the
phase velocity of S0 mode oscillation and A0 mode oscillation. The dispersion results
demonstrate that with the increase of the material grads parameters, amplitude of the phase
velocity decreases. The level of the dispersion with varied powers does not change
obviously.
Fig. 7. (a) Phase velocity of S0 mode oscillation and (b) phase velocity of A0 mode oscillation.
6 Conclusion
In order to investigate the wave propagation in the functionally graded material mul-
tiple waveguides with complex boundary, a curved-edge Legendre spectral element
involved a continuous material model, is introduced. In the new element, quartic
Lagrange function is implemented to complete the coordinate transform from the real
structure element to standard element. Considering continuously spatial changing of the
material property inside the element, determine the property value in the integral node
through the volume fraction function of the coordinates for accurate modeling of FGM.
Then numerical analysis on a finite FGM plate with a point impact validates the
continuous material model, compared to the FEM results. And wave propagation in the
multiple guides is studied. Wave field, time-domain response and dispersion of phase
velocity are presented. Comparison between curved SFE and straight SFE is done.
Effects of difference material grads parameters on wave propagation behavior are
investigated.
It is validated that the quartic Lagrange function for shape transform and the
continuous material model inside the Legendre spectral finite element is very necessary
and efficient when analyzing wave propagation in FGM multiple waveguides structure.
Results show that the FGM multiple guides structure loaded an impact holds two
different vibration mode S0 and A0. A0 mode oscillation disperses obviously while
S0 mode oscillation does not. A further study on material grads parameter show that as
the power v increases, amplitude of wave response increases and phase velocity des-
cends. It is suggested that the stability of S0 mode oscillation is preferred to be chosen
for damage detection based on guided wave. The future work can be extended to the
crack monitoring in FGM structures or material characterization.
References
1. Markworth, A.J., Ramesh, K.S., Parks Jr., W.P.: Modelling studies applied to functionally
graded materials. J. Mater. Sci. 30(9), 2183–2193 (1995)
2. Birman, V., Byrd, L.W.: Modeling and analysis of functionally graded materials and
structures. Appl. Mech. Rev. 60(5), 195–216 (22 pages) (2007). https://doi.org/10.1115/1.
2777164
3. Chen, W.Q., Wang, H.M., Bao, R.H.: On calculating dispersion curves of waves in a
functionally graded elastic plate. Compos. Struct. 81(2), 233–242 (2007)
4. Berezovski, A., Engelbrecht, J., Maugin, G.A.: Numerical simulation of two-dimensional
wave propagation in functionally graded materials. Eur. J. Mech. A. Solids 22(2), 257–265
(2003)
5. Cho, J.R., Ha, D.Y.: Averaging and finite-element discretization approaches in the numerical
analysis of functionally graded materials. Mater. Sci. Eng. A 302(2), 187–196 (2001)
6. Patera, A.T.: A spectral element method for fluid dynamics: laminar flow in a channel
expansion. J. Comput. Phys. 54(3), 468–488 (1984)
7. Żak, A.: A novel formulation of a spectral plate element for wave propagation in isotropic
structures. Finite Elem. Anal. Des. 45(10), 650–658 (2009)
8. Dauksher, W., Emery, A.F.: Accuracy in modeling the acoustic wave equation with
Chebyshev spectral finite elements. Finite Elem. Anal. Des. 26(2), 115–128 (1997)
Research on Design of Quality Management
Module in Spacecraft Assembly MES
Qiang Wang(&)
Beijing Institute of Spacecraft Environment Engineering, Beijing 100094, China

robretb0463_cn@sina.com
Abstract. Based on the research and development of spacecraft assembly, this

thesis starts from “how to improve the quality management level of spacecraft
assembly work under the rapid growth of spacecraft business in China”, and
referring to the design and development experience of quality management
system in enterprise informatization practice, and combined with the practical
experience of spacecraft assembly development and management, and puts
forward suggestions for improving the design of quality management module in
MES of spacecraft assembly- “To build an integrated quality management
environment” and “To build Quality-Knowledge-Base as a support platform”,
and preliminarily considers the quality management mode for improving
spacecraft assembly work under the condition of informationization.
Keywords: Spacecraft assembly MES Quality management
1 Introduction
With the rapid growth of China’s aerospace business, a large number of major Aero-
space missions with high-quality and high-efficiency support have put forward new
requirements and challenges to the development of spacecraft AIT projects. However,
it is difficult to meet the requirements for core competency and leapfrog development
of spacecraft AIT projects only by expanding the scale of scientific research and
production and increasing the cost of scientific research investment. Therefore, it is
necessary to continuously deepen and improve the model of spacecraft AIT project to
meet the needs of development, while systematically plan to seek breakthroughs,
practice and explore new models, fundamentally enhance basic capabilities, and pro-
mote the sound and rapid development of the aerospace industry.
For the high-risk aerospace industry itself, the improvement of quality management
capability is particularly prominent and urgent. In recent years, information technology
has been integrated into the quality management of aerospace enterprises, and has
become an important technical way to upgrade and optimize the quality management
capability [1]. Based on the analysis and elaboration of the characteristics of spacecraft
assembly, this thesis puts forward some suggestions for improving the design of quality
management module in spacecraft assembly MES (Manufacturing Execution System).
This thesis mainly studies the design idea of quality management function in spacecraft
assembly MES, so it does not discuss the specific overall MES framework and
information technology.
https://doi.org/10.1007/978-981-13-7123-3_25
Research on Design of Quality Management Module 205
2 Development Features of Spacecraft Assembly
The assembly work of spacecraft model is the terminal part of spacecraft development.
(1) Spacecraft assembly has the characteristics of small batch. Most of the platform
spacecrafts are manufactured at the same time in a small number. The engineering
experience of previous models has strong reference significance for spacecrafts in
research.
(2) Spacecraft assembly work requires a tight schedule and high-quality requirements.
Spacecraft development is mostly a national key project, which is of great sig-
nificance. Once the progress delays and quality problems occur as the terminal
link, the launch and use of spacecraft will be directly affected.
(3) Under the management system of the combination of R&D and production in
spacecraft assembly, it has strong dynamic characteristics in the process of
assembly implementation, including demand change, design change, process
route, resource conflict, single product change and other factors.
(4) Spacecraft assembly involves many fields and units. There may be no adminis-
trative subordinate relationship between units. Cooperative working environment
is complex, and conflict coordination and problem handling is complex.
3 The Design of Quality Management Module in MES
3.1 To Build an Integrated Quality Management Environment

The development and production process of spacecraft is complex system engineering.
It needs the research units from many fields and the research personnel from different
majors. Even in various units and personnel within the aerospace inside, there are
different understandings of quality management mode, habits and even quality man-
agement. At the same time, the sharing of quality knowledge in spacecraft assembly
design and implementation is not enough. The objective reason is that in the process of
multi-unit technical coordination, problem handling and management coordination, the
problem is particularly prominent in the stage of spacecraft assembly. The increase of
collaboration scope leads to the increase of working interface, which leads to the
increase of spacecraft assembly. The implementation quality synergy efficiency is not
high. All these cause it difficult to solve the problem in the process of multi-unit
technical coordination, problem handling and management coordination, and result in
poor quality coordination efficiency in spacecraft assembly.
Therefore, it is necessary to build an integrated quality management environment
based on the information systems of spacecraft assembly design units and assembly
implementation units (see Fig. 1) to support spacecraft assembly with high efficiency
and quality.
206 Q. Wang
Fig. 1. Integrated quality management environment.
To Build a Cooperative Environment for Spacecraft Assembly

Spacecraft assembly is based on the combination of R&D and production management
system. There is a need for collaboration between design units and implementation
units. Therefore, the integrated quality management environment should first achieve a
cooperative working environment for spacecraft assembly design and implementation
(see Fig. 1) [6].
At a technical level, it is not only to achieve the coordinated processing of technical
problems and technical coordination in the same system and environment, but also to
construct the quality information transmission channels of spacecraft assembly design
system and MES, to realize the interaction of design information and implementation
information [3]. Design information can support technical problem processing and
coordinated technical solution, which can be used to guide the implementation, and the
implementation information can be used to improve the design. At the same time, the
system can set up the state information of the design phase. The state information of the
design phase can be compared with that of the spacecraft assembly phase, and the
correctness of the state of the assembly can be checked automatically (see Fig. 1).
In terms of management, it is necessary to establish an integrated process man-
agement model based on workflow and related business with cooperating units, and
then to realize the business Coordination of spacecraft assembly quality management,
such as operation on board, processing of related procedures of status confirmation on
board, so as to ensure the standardization of spacecraft assembly quality management
(see Fig. 1).
To Strengthen the Main Environment of Quality Management
The integrated quality management environment extends the boundaries of upstream
and downstream cooperative units for spacecraft development and provides informa-
tion interface (see Fig. 1). The information interface mainly transfers the quality
knowledge of the shared spacecraft assembly to the development and cooperation units,
strengthens the main environment of spacecraft assembly quality management, trans-
mits the quality management requirements, rules and workflow in specific problems,
gradually eliminates differences in understanding quality management with collabo-
rative units, strengthens the identity of the collaboration units for the quality control of
the spacecraft assembly, creates the foundation for multi-unit collaboration and efficient
deployment of spacecraft assembly, and avoids the difficulty in handling and technical
coordination caused by the difference of quality management perception, and time
delay, which will affect the progress and quality of spacecraft assembly.
3.2 To Build Quality-Knowledge-Base as a Support Platform

The Quality-Knowledge-Base support platform can realize the accumulation and
inheritance of knowledge and experience in the process of spacecraft assembly
implementation, and effectively support the spacecraft assembly work. For example,
managers hope that risks and their influencing factors in the same or similar work in the
past can be paid attention to before the implementation of a certain assembly work, and
relevant control measures and implementation experience can be used for reference in
the implementation process. At the same time, the quality requirements and technical
specifications related to operation can be transmitted, reminded and implemented in
place, so as to prevent the occurrence of repetitive problems. Therefore, it is necessary
to build a multi-dimensional quality-knowledge-base support platform in MES and a
spacecraft assembly support mode based on the support platform. (see Fig. 2).
Fig. 2. Quality-Knowledge-Base structure

208 Q. Wang
In addition, discovering and forming quality knowledge from quality information is

an important way to discover and improve quality knowledge. However, in the data-
base design of MES, Quality-Knowledge-Base and quality information base are
designed separately. There is no Quality-Knowledge-Base design without them. If
Quality-Knowledge-Base and quality information base are not considered as a whole,
this isolated design leads to the inefficiency of finding new knowledge or knowledge
from quality information [7].
Quality-Knowledge-Base Structure
The Quality-Knowledge-Base structure should be divided into three parts: index
library, quality knowledge information base and solution Library (Fig. 3). According to
user’s input, index library extracts key features by means of language understanding
and analysis technology, and retrieves them in the index database [2, 4]. Typical-
problem users can directly access solutions from the solution database. To atypical
problems, the system locates the key features on the specific quality knowledge
database. Information base mainly stores basic information such as quality problems,
engineering experience, quality requirements and technical specifications. Users can
automatically or manually form solutions by extracting relevant quality knowledge
information from index base [5]. Solution Library mainly stores solutions of typical
operation, typical technical problems and typical management problems.
Fig. 3. Quality-Knowledge-Base structure
Quality-Knowledge-Base Establishment
Quality-Knowledge-Base is an evolving dynamic system. The acquisition of new
knowledge needs to be completed in many times of spacecraft assembly practice. The
existing engineering experience, quality control measures, technical specifications and
quality requirements need to be verified, evaluated and improved through many times
of spacecraft assembly practice. Therefore, quality information is the source and carrier
of Quality-Knowledge-Base for spacecraft assembly. Based on this, MES database

design should consider the organization and expression of quality information base and
Quality-Knowledge-Base. The presentation of quality knowledge should be easy to
guide the assembly work of spacecraft. The structure design of quality information base
should consider the knowledge discovery technology which is easy to use, so as to
discover quality knowledge and continuously improve and enrich quality knowledge.
To Build up Support Mode of Spacecraft Assembly Based
on Quality-Knowledge-Base
In MES, the correlation functions of assembly process and Quality-Knowledge-Base is
designed. In the planning and compiling stage of process regulations, guided by
technicians and quality managers, and with assembly process as the core, a structured
relationship between Quality-Knowledge-Base and assembly process is constructed to
ensure that before the implementation, the staff of each position can learn the process
requirements and contents, and draw lessons from their own implementation experi-
ence, understand the past quality problems and identify risks and hidden dangers ahead
of time, and implement control measures to reduce the probability of occurrence of
quality problems. Spacecraft assembly mode based on multi-dimensional information
support of Quality-Knowledge-Base is formed to achieve accurate monitoring and
warning of information technology.
4 Expected Results and Prospects
The integrated quality management environment constructs a cooperative working

environment for spacecraft assembly design and implementation. The two-way sharing
of design and implementation of information frees from technology coordination,
problem handling and design collaboration from space constraints. It is not necessary to
switch between various discrete documents and multiple software manually and easier
and more efficient to work cooperatively. And the support platform of Quality-
Knowledge-Base has realized the support mode of the spacecraft assembly based on the
platform. In this mode, quality knowledge is continuously acquired, shared, applied
and improved, and the working will achieve higher-quality stability, the repetitive
quality problems will be greatly reduced in the future. The technology level will also be
steadily improved with the continuous improvement of Quality-Knowledge-Base. At
the same time, the sharing of integrated Quality-Knowledge-Base makes the knowl-
edge and understanding of spacecraft assembly quality management of multi-unit and
multi-position more convergent, the coordination complexity of specific management
issues will be reduced. Based on the above design, the spacecraft assembly quality
management capability, work efficiency, reliability and process level will be greatly
improved, which will further promote the core competence of spacecraft development
(see Fig. 4).
210 Q. Wang
Fig. 4. Integrated quality environment etc. anticipation effect
A special quality management system and a set of system oriented to the whole
process of model development should be established. On this basis, a unified quality
management process technology interface and management interface should be
established to eliminate the differences in understanding quality management modes,
habits and even quality management among different units, and to establish quality
management adapted to multi-enterprise environment. The mechanism of coordination
is used to achieve quality information interaction and development collaboration in all
aspects of spacecraft development.
5 Conclusion
Aiming at the characteristics of spacecraft total quality management, this thesis studies
the design of quality management module in spacecraft assembly MES. The spacecraft
assembly design system, the integrated quality management environment taking MES as
the cores, quality-knowledge-base support platform, as well as the design of quality
management platform for tooling are emphatically discussed. These designs can promote
the improvement of quality management capability and quality management mode.
References
1. Tang, X., Duan, G., Du, F.: Implementing Technologies of Quality Information System in
Manufacturing Enterprises. National Defense Industry Press, Beijing (2009)
2. Feng, X., Zhou, L., et al.: Study of supporting platform in bi-base based integrated quality
management system. Eng. J. Wuhan Univ. 39(2), 67–69 (2006)
3. Han, X., Li, M., et al.: Design and key technologies of spacecraft assembly MES.
Aerosp. Manuf. Technol 2015(4), 55–59 (2015)
4. Baujut, J.F., Laureillard, P.: A co-operation framework for product-process integration in
engineering design. Des. Stud. 23(6), 497–513 (2002)
5. Yuan, F., Xu, D., et al.: Reserach and realization of the quality management system based on
case reasoning. Sci. Technol. Eng. 8(9), 2502–2506 (2008)
6. Shanbao, Y., Wei, H.: The construction and implement of quality management system which
faced to the manufacture process of aerospace product. Aerosp. Manuf. Technol. 2012(6), 19–
23 (2012)
7. Bingru, Y.: Knowledge Discovery Theory Based on Internal Mechanism and Its Application.
Electronic Industry Press, Beijing (2009)
The Design and Implementation of Secure
Cloud Desktop System
Huifang Pan(&), Yi Yuan, Wenlong Song, and Zhou An
Beijing Institute of Spacecraft System Engineering, No. 104, Youyi Road,

Haidian District, Beijing, China
hfpan@163.com
Abstract. PCs with Windows XP have been widely used in enterprises.

Confidential data is stored on the single hard disk of the PC. There are some
disadvantages in this way, such as Poor data reliability, Low data security and so
on. So, it is urgent to innovate and change the traditional PC usage model. With
mainstream virtualization technology and customized security design to build a
secure cloud desktop, it shall meet users’ needs and enhance the reliability and
security of the data.
Keywords: Secure cloud desktop Reliability Virtualization platform
1 Background
PCs with Windows XP have been widely used in enterprises, and confidential data
generated by users during the work is stored on the single hard disk of the PC. Thus the
following problems occur:
(1) Poor data reliability: Most staff may have access to confidential information and a
large number of confidential documents are stored locally on the PC. Once key
business data is lost due to physical or logical damage of the hard disk, it may
cause incalculable loss. Moreover, there are uncertainties in the maintenance time
and the, which seriously affects the user’s work.
(2) Low data security: It is required for the system with confidential information to
prevent external illegal intrusion and illegal data stealing by internal personnel.
Although the PC implements multiple security protection methods such as host
monitoring and three-in-one, a large amount of confidential data is scattered and
stored in the user’s local PC. There is still chance that users maliciously destroy
security protection or physically dismantle the local hard disk.
(3) High-cost maintenance: Owing to different PC models and configuration, the user
terminal administrator needs to completely install, configure, and manage the
operation system, application software, security protection program, and patch
update after testing and verifying deployment of multiple PC configurations,
which is labor-consuming. Meanwhile, it may further increase the support cost
since technical personnel often need to go to the filed to solve the problem due to
the low degree of standardization.

https://doi.org/10.1007/978-981-13-7123-3_26
The Design and Implementation of Secure Cloud Desktop System 213
(4) Limited access: Since the data is stored locally on the PC, the users need to need
to temporarily collect, sort, and copy it when they discuss plans in the conference
room, develop the design in the designing room, or compare the data in the
laboratory. The data may be lost or incomplete during transmission, which makes
it difficult for users to work outside of office.
Based on the above problems, it is urgent to innovate and change the traditional PC
usage model. With mainstream virtualization technology [1] and customized security
design to build a secure cloud desktop [2], it shall realize centralized storage of user data
and unified release management of desktop application, to meet the needs of users’ daily
office use, effectively control the output of user data, enhance the security of the user’s
desktop system, and improve operational management and maintenance efficiency.
2 Cloud Desktop Design
2.1 Design Principles

The design principles are as follows.
(1) Safety: it shall meet the requirements of security and confidentiality of military
enterprises, in line with relevant national regulations;
(2) Practicality: it shall deeply understand and analyze user requirement combined
with current problems to design a secure cloud desktop system [3];
(3) Reliability: it shall have a comprehensive redundancy design to meet the
requirements of uninterrupted operation, which will not affect the operation of the
entire system in the event of failure of important node equipment;
(4) Easy maintenance: it shall simplify system maintenance procedures and provide a
more rational design and deployment method;
(5) Scalability: it shall reserve sufficient expansion space and information interface
for future business development to facilitate future expansion and adjustment;
(6) Stability: it shall ensure existing application systems to move smoothly and safely
to the new architecture platform, to maintain daily use and smooth transition.
2.2 Overall Architecture Design

The secure cloud desktop system consists of a virtualization platform, network side,
and a terminal. The virtualization platform deploys hardware devices and desktop
virtualization software in the data center, in charge of virtual desktop creation,
scheduling, access control, and management. The network device and the security
device in network side provide a secure and reliable link for the data access between the
terminal and the virtualization platform [4]. After the PC or the thin client terminal is
deployed by the terminal, it is coordinated with the virtual desktop platform to provide
users with Virtual desktop image to meet the needs of daily office work and profes-
sional design (Fig. 1).
214 H. Pan et al.
Fig. 1. Overall architecture design of secure cloud desktop system
On the virtualization platform: the underlying server cluster and storage devices
form the physical layer of hardware to provide a secure and stable computing, network,
and storage environment for the upper layer. By adopting the leading virtualization
technology as the underlying platform for the virtual desktop, it enables a single
physical server to be run by multiple virtual desktops to form a virtual desktop resource
pool. After virtual desktop management and access server clusters are deployed, it can
be uniformly managed with terminal session access and desktop state, to effectively
solve the tight coupling problem among operation system application, and hardware.
All data is stored on a centralized storage device, and data is accessed through the FC
switch between the server and the storage.
On the Internet, switches, firewalls, and link transmission protection devices are
deployed to provide a secure and reliable data transmission link for data transmission
between the terminal and the virtualization platform [5].
It can be modified through either an existing PC or a customized thin client ter-
minal. PC can be modified by replacing the hard disk with an electronic disk. It shall
deploy a simplified embedded operating system, install a USB Key driver, add a
domain, install a lock screen program, etc.; The thin client terminal performs safe
reinforced cutting based on customized operating system to provide secure and stable
operating environment for users.
2.3 Security Design

From the prospective of physical security, operational security, information security
and confidentiality, security and confidentiality management, it provides comprehen-
sive security protection [7] for cloud desktop system.
Physical Security
The operation environment of the host machine in virtualization platform, blade
workstation, and centralized storage device is stored in the data center computer room.
It adopts physical protection methods such as the national secret access control system
and video surveillance system, equipped with UPS power supply. With a strict man-
agement system and computer room inspection system, it ensures that all equipment is
physically and safely controllable.
Operational Safety
The storage system is used to implement centralized storage of virtual desktop data and
platform management data. To ensure the security of virtual desktop images and
templates, a unified backup and recovery policy is implemented to support recovery
through templates, snapshots, and migration modes, which ensures the integrity of
virtual machine image and user data.
Information Security
In terms of information security and confidentiality, a series of security measures are
taken.
Identity authentication adopts “domain user” and “USB Key” authentication, to
ensure the legal identity of users in the desktop virtualization environment.
The secure cloud desktop system performs security auditing by recording logging
of user virtual desktop access behaviors, including login, startup, shutdown, restart,
maintenance, status query, etc.; Auditing Administrator operations includes virtualized
resource management, update maintenance, storage resource allocation, data backup
and recovery operations.
Computer virus protection shall be conducted by deploying anti-virus software on
the virtual desktop, and selecting an anti-virus version optimized for the virtualized
environment to prevent the virtual machine from simultaneously scanning for disk
viruses and upgrading the anti-virus storm caused by the client side.
User data protection shall be realized by encrypting and protecting with encryption
technology in the centralized storage device. The user data shall be effectively read and
written after the identity of the user is recognized through identity authentication.
Regarding transmission network security, the transmission network between the
user terminal and the back-end virtual desktop, uses the USB Key certificate to
establish an encrypted network transmission channel, to ensure data encryption and
integrity protection between the terminal and the virtual desktop, and effectively pre-
vent data information from being intercepted or analyzed.
In terms of storage environment security, the terminal does not store user data in the
desktop virtualization environment. All data is stored in centralized storage. Commands
and image information are transmitted between the terminal and the virtual desktop, so
that the storage environment shall be secured.
216 H. Pan et al.
Security and Confidentiality Management

The virtual desktop security level identifier is used to process the information with
confidentiality level of the virtual desktop according to the virtual desktop. The secret
level identifier is bound to the virtual desktop and cannot be modified without
authorization.
About virtual desktop security management [6], it shall formulate strict manage-
ment standard of virtual desktop usage. Virtual desktop creation, configuration modi-
fication, and abolition shall be approved.
Virtual desktop migration shall be realized through the virtual machine isolation
technology to achieve separation between different virtual machines on the same host.
Only authenticated user terminal can access their own virtual desktop resources
(hardware, software, and data). When an abnormality occurs on a host, the virtual
machines run on the host are allowed to migrate in the same security domain to ensure
high availability of the virtual machine.
Terminal Security
From the prospective of the convenience of management and the security of usage, the
terminal in the secure cloud desktop adopts software and hardware design, and multiple
security protection mechanisms to ensure its security. The security zone of the terminal
device is separately divided by devices such as firewalls and switches. The data of the
confidential information system is encrypted and saved to the back-end centralized
storage without data in the terminal.
2.4 System Reliability Design

Storage Reliability Design
High-reliability devices for storage mainly include: Raid-DP protocol for disk arrays.
Physical damage of two hard disks at any time will not cause data loss. Disk arrays
adopts hot standby of array dual-heads. In the event of failure of any controller, the
other controller shall automatically take over all of the work; meanwhile, multiple
copies of the user data shall be saved in the disk array.
Network Reliability Design

The virtualized platform devices, such as the host and the blade workstation, are
connected to multiple access switches through multiple NICs, and then connected to
the aggregation switch in the equipment room. The aggregation switch of the building
where the user is located and the aggregation switch in the equipment room use dual-
link connections, to ensure the reliability of the Ethernet network. In terms of storage, it
connects different fiber switches through two HBAs. The centralized storage adopts the
multi-port redundancy architecture and the storage multi-path technology to ensure the
reliability of the storage network link.
Reliability Design of Virtualization Platform

By establishing a resource pool, it shall realize the failure migration in the virtual
desktop, to ensure online migration of virtual desktops from one host to another, and
simultaneously achieving high-availability functions of the host. When an abnormality
occurs on one host, the virtual desktop will automatically launch from another host.
Virtual Desktop Service Reliability Design

The virtual desktop platform separates the virtual desktop image from the user data by
using the pooled desktop. Even if a virtual desktop image is abnormal, after the user re-
login the system, the available desktop can be used to load personal data in the virtual
desktop pool to get the available virtual desktop services immediately.
3 Application Effect Analysis
3.1 Reliability Analysis

During the construction of a secure cloud desktop system, all hardware is redundantly
deployed including switches, network links, servers, storage devices, etc., to avoid
system unavailability caused by hardware failures; all application components of cloud
desktops adopts dual-system hot standby mode to eliminate single point of failure and
avoid service interruption caused by failure of a component. It also uses technologies
such as hot migration of virtual machine and dynamic resource adjustment to ensure
load balance of the background resources and the stability of the system. Specifically,
the original PC hard disk failure will result in user data loss. While the secure cloud
desktop system saves the data on the back-end storage device and periodically backs up
the data, thereby it ensures high reliability of user data; the user cannot work normally
during repairing, but the secure cloud desktop system provides a redundant desktop
resource pool. Each time the user starts up, an available desktop is taken from the
resource pool, thereby improving the high reliability of the system.
3.2 Security Analysis

Traditionally data is scattered on each PC, with a risk of data being destroyed and stolen.
In the construction of secure cloud desktops, all aspects of security protection measures
have been developed in terms of physical security, operational security, information
security and confidentiality, security and confidentiality management, etc., to achieve
secure centralized storage and management of data. For example, through the security
authorization policy, each user can only access his or her own directory; through the
peripheral management policy, the download and copy of data is prohibited, and the
security of the data is effectively improved. With the application mode of the secure
cloud desktop, the user can only see the program image running in the background in the
front end, and there is no data in the front end, thereby fundamentally ensuring the
security of the client-side system and data, and effectively preventing the front-end user
from illegally stealing and maliciously destroying confidential data.
218 H. Pan et al.
3.3 Maintenance Efficiency Analysis

In terms of traditional PCs, users need to go through a series of actions such as PC
collect, operation system installation, confidential computer access, application soft-
ware installation, security protection program installation, system patch upgrade, etc.
The entire installation process takes about one day. After adopting the secure cloud
desktop, the system has developed a standardized operation and maintenance man-
agement process at the beginning of the construction, including the standardized
configuration of the front-end thin client and the monitoring and management of the
back-end cloud desktop, so that the entire installation process takes only half an hour,
which greatly improves the efficiency of operation and maintenance management. In
addition, in the case of system upgrades, patch updates, etc., the administrator only
needs to perform unified operations in the background once, so that all users can use it,
thereby reducing the maintenance complexity. Meanwhile, according to the role of the
user, the administrator can control the flow according to given privilege, configure the
access policy flexibly and dynamically in the background, adjust the application and
data range accessible by the user in time, and improve the fine configuration capability
of the access control, which enhances the security of the system and applications.
4 Summary
In summary, with the “demonstration project of confidential information system based

on cloud computing technology”, a secure cloud desktop system is constructed, which
realizes centralized storage of user data and unified release management of desktop
applications, enhances centralized management and control of user desktops, and
improves the reliability of the confidential information system and the security of the
data. It has achieved good results with the significance of demonstration and promotion.
References
1. Wang, L.Z., Laszewski, G., Younge, A., et al.: Cloud computing: a perspective study. New
Gener. Comput. 28(2), 137–146 (2010)
2. Yang, C.: Big Data and cloud computing: innovation opportunities and challenges. Int.
J. Digit. Earth 1, 13–53 (2016)
3. Netto, M., Calheiros, R., Rodrigues, E., et al.: HPC cloud for scientific and business
applications: taxonomy, vision, and research challenges. ACM Comput. Surv. 51(1), 8:1–8:29
(2018)
4. Luis, M.V., Luis, R.M., Juan, C., et al.: A break in the clouds: towards a cloud definition.
ACM SIGCOMM Comput. Commun. Rev. 39(1), 50–55 (2009)
5. Chris, R.: A break in the cloud: the reality of cloud computing. In: EABR & TLC
Conferences Proceedings, pp. 1–5 (2009)
6. Von Laszewski, G., et al.: Comparison of multiple cloud frameworks. In: IEEE 5th
International Conference on Cloud Computing (CLOUD) (2012)
7. Kostantos, K., et al.: OPEN-source IaaS fit for purpose: a comparison between OpenNebula
and OpenStack. Int. J. Electron. Bus. Manage. 11, 3 (2013)
Research on Satellite Power Subsystem
Anomaly Detection Technology Based
on Health Baseline
Lei Zhang(&), Zhidong Li, Bo Sun, and Shuai Zhang
Institute of Spacecraft System Engineering, 104 Youyi Road, Beijing, China

xxzhangleixx@126.com
Abstract. There is a huge amount of data in the satellite power subsystem, and
the information and knowledge related to the operating status of the power
subsystem in these data is an important for the abnormal state detection of the
power subsystem. In order to make data mining of satellite power subsystem and
set the reference for its anomaly detection, a satellite power subsystem anomaly
detection technology based on the health baseline is proposed. According to the
core operating conditions of the satellite power subsystem, health baselines are
constructed respectively, and the effectiveness of the proposed method is veri-
fied by the telemetry data of the satellite power subsystem. With robustness, the
test results show that anomaly detection of the onboard power subsystem can be
achieved based on the constructed health baseline.
Keywords: Satellite Power subsystem Health baseline
1 Introduction
The satellite power sub-system is the satellite subsystem used for the whole star power
supply and distribution and power connection between equipment. The health status of
the satellite power subsystem largely determines whether the satellite can operate
normally. All studies on the anomaly detection of satellite power subsystem are of great
significance.
In the internal data stream of the satellite power subsystem, there are massive multi-
source heterogeneous data such as design data, on-orbit telemetry data, historical
telemetry data and ground test data. The information and knowledge about the health
status of the power subsystem in these massive data is an important basis for the health
management of the power subsystem. On the one hand, because a variety of telemetry
parameters can reflect the health status of the same subsystem and equipment from
different angles; On the other hand, due to the complex relationship between the power
subsystem and the real-time telemetry parameters of the equipment, the evolution of its
operating state can be reflected by the association of multiple parameters. The mutual
penetration and cross-correlation pose new challenges for satellite operation state
feature extraction and anomaly detection.
For abnormal detection of power systems or electromechanical systems, in previous
studies, thresholds were often set for individual parameters as the state of health baseline

https://doi.org/10.1007/978-981-13-7123-3_27
220 L. Zhang et al.
judgment parameters to determine the state of the system. However, more and more
scholars have begun to pay attention to the coupling relationships between internal
parameters of the system, and to propose the standard of system anomaly detection.
Wang et al. [1] introduced a spatial anomaly detection method based on attribute-related
quantitative values. The attribute correlation value is calculated by quantitative analysis,
and the spatial statistic is searched by the attribute correlation matrix and the R-tree
dynamic index structure to realize spatial anomaly detection. Reference [2] proposed a
DoS attack detection system based on multivariate correlation analysis [2]. The system
used multivariate correlation analysis (MCA) to extract geometric correlation between
network traffic characteristics, and uses anomaly-based detection principle for attack
identification. Literature 3 proposed a method called Potential Correlation-Based
Anomaly Detection (LCAD), which used a probability distribution model called a
potential correlation probability model to correlate potentials between multiple corre-
lated heterogeneous monitoring data series [3]. Sexual modeling to identify anomalies
helps to detect anomalies in the working state of the device based on the correlation
between massive data. Zhang et al. [4] built a healthy baseline by mining the correlation
of internal characteristics of vibration signals, and successfully classified the inner ring
fault, outer loop fault and roller fault of the bearing.
It can be seen that under the condition of massive data from satellite telemetry,
mining the associations and rules in the data, using the associations and rules to
construct the health baseline, it is feasible and effective for the satellite abnormal state
detection.
In this paper, the satellite power subsystem is taken as the research object, and the
satellite health baseline under different working conditions is proposed to detect the
operating states of satellite. This paper was structured as follows: The second section
elaborates the main research context and structure of this paper, and briefly introduces
the main steps of constructing a healthy baseline; the third section introduces the health
baseline construction process based on two core operating conditions of satellite power
subsystem. And through the real telemetry data of the satellite power subsystem to
analyze and evaluate its effect; the fourth section draws conclusions.
2 Methodology
This paper mainly analyzes the satellite power subsystem design data and various types
of telemetry data to find out the core operating conditions of the power subsystem.
Based on this, two types of health baselines are constructed to realize the anomaly
detection of the satellite power subsystem as shown in Fig. 1. Specific steps are as
follows:
Firstly, according to the satellite design information and data feature analysis, the
satellite operating conditions are divided and screened, that is, the sub-basin constant
current charging condition and the sub-basin discharge condition.
Research on Satellite Power Subsystem Anomaly Detection Technology 221
Baseline build
Statistical
Massive status distribution method Linear health baseline
monitoring and test Expert knowledge
verification data Nonlinear health baseline
Rule based
INPUT
…… OUTPUT
Core working condition analysis
Satellite power subsystem telemetry
Fig. 1. Method flow chart
Secondly, through further condition analysis and data feature extraction, we

obtained two types of health baselines, linear health baseline and nonlinear health
baseline. Based on the health baselines, we can determine the state of the satellite.
3 Case Study
In this paper, we take all telemetry of the power subsystem as filter objects, mining
their internal relationships and building a healthy baseline, and based on the statistics of
all data fluctuations, then get the fluctuation range of the constructed health baseline.
Then we combine the health baseline with the fluctuation threshold to detect the status
of the power subsystem.
Under the two core conditions of the power subsystem, two types of health baselines,
namely the linear health baseline and the nonlinear health baseline, were constructed.
3.1 Sub-basin Constant Current Charging Condition

3.1.1 Binary Linear Health Baseline
Through statistical analysis, it is found that under the constant current charging con-
dition of the satellite, recharging current A and recharging current B show a linear
correlation, and the correlation equation is obtained by the algorithm as its health
baseline, in order to further improve the fitness baseline fitness. The upper and lower
limits of the normal fluctuation range are obtained by using a large number of satellite
telemetry data. The health baseline construction is shown in Fig. 2.
The details of the constructed baseline and parameters are as follows (Table 2):
• Health Baseline style: y_pre = a x + b,
• Health Baseline Threshold: y_upper = a_upper x + b_upper & y_lower =
a_lower x + b_lower.
All the parameters involved in the health baseline are shown in Table 1. In fact, x
and y represent telemetry names, and a, b, a_upper and b_upper represent model fitting
parameters, respectively.
222 L. Zhang et al.
Fig. 2. Health baseline between recharging current A and B under working condition 1
Table 1. Recharging current A&B health baseline parameter value list

Health baseline parameters Test parameter value Health baseline and threshold
x Recharging current B \
y Recharging current A
a 0.969 y_pre = 0.969 x + 0.362
b 0.362
a_upper 0.975 y_upper = 0.975 x + 0.420
b_upper 0.420
a_lower 0.962 y_lower = 0.962 x + 0.085
b_lower 0.085
3.1.2 Binary Nonlinear Health Baseline

In addition to the linear health baseline, there are nonlinear associated parameters in the
satellite power subsystem. Within the parameters of Battery-A, there is a nonlinear
relationship between the voltage and the charging current, so we construct its health
baseline and obtain a quantitative equation for its fluctuation range by statistically
normal data. Its health baseline and fluctuation range are shown in Fig. 3.
R
• Health Baseline: y pre ¼ a x dt þ yð1Þ
• Health Baseline Threshold: y_upper = y_pre + b_upper; y_lower = y_pre +
b_lower
Table 2. Battery A: Voltage vs. recharging current health baseline parameter value list
x Recharging current \
y Battery A voltage
R
a 0.0000389 y ¼ 0:0000389 x dt þ yð1Þ
y(1) Initial charging current
b_upper 0.5 y_upper = y_pre + 0.5
b_lower –0.5 y_lower = y_pre – 0.5
Fig. 3. Health baseline between Battery A: Voltage vs. recharging Current under working
condition 1
3.2 Sub-basin Discharge Condition

3.2.1 Binary Linear Health Baseline
Different from the charging conditions, under the discharge condition, the number of
parameters of the power subsystem and the data of each parameter will change, so it is
necessary to re-excavate its internal relationship and build a healthy baseline under this
condition. There is a linear relationship between Battery Pack Discharge Current
Backup: A vs. B. Using the method described above, build its health baseline and get
its threshold range, as shown in Fig. 4.
• Health Baseline: y_pre = a x + b
• Health Baseline Threshold: y_upper = a_upper x + b_upper; y_lower = a_lower
x + b_lower
224 L. Zhang et al.
Table 3. Health baseline between battery pack discharge current backup: A vs. B parameter
value list
Health baseline Test parameter value Health baseline and
parameters threshold
x Battery pack A discharge current \
backup
y Battery pack B discharge current
backup
a 0.952 y_pre = 0.952 x + 1.570
b 1.570
a_upper 0.967 y_upper = 0.967 x +
b_upper 1.8045 1.8045
a_lower 0.937 y_lower = 0.937 x +
b_lower 1.2025 1.2025
Fig. 4. Health baseline between battery discharge current A&B under working condition 2
3.2.2 Binary Nonlinear Health Baseline

Consistent with the working conditions, there are also nonlinear correlations in the
parameters of the operating conditions. Data analysis found that there is a nonlinear
relationship between Battery A: Voltage vs. Discharge Current, and its health baseline
and statistical threshold are shown in Fig. 5.
The details of the constructed baseline and parameters are as follows:
R
• Health Baseline: y pre ¼ a x dt þ yð1Þ
• Health Baseline Threshold: y_upper = y_pre + b_upper; y_lower = y_pre +
b_lower
Table 4. Health baseline test parameter value.

x Discharge current \
y Battery A voltage
R
a 0.0000356 y ¼ 0:0000356 x dt þ yð1Þ
y(1) Initial discharge current
b_upper 0.3 y_upper = y_pre + 0.3
b_lower –0.3 y_lower = y_pre – 0.3
Fig. 5. Health baseline between battery discharge current and voltage under working condition 2
4 Conclusion
This paper proposes a new anomaly detection method based on health baseline con-
struction for satellite power subsystem. By obtaining the different characteristics of the
telemetry data under the core conditions of the satellite power subsystem, and mining
the relationship between them, two types of health baselines based on the sub-basin
constant current charging condition and the sub-basin discharge condition are estab-
lished, that is, the linear health baseline and nonlinear health baseline. The test results
show that the method is feasible and effective for realizing the anomaly detection of the
spaceborne power subsystem.
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Lifetime Prediction Method of Components
Based on Failure Physics
Li Liu, Zhimin Ding(&), Nan Fang, Chao Duan, Nan Li,

Qianqian Lv, and Miao Zhang
China Aerospace Components Engineering Center, Beijing 10094, China

dingzm1130@163.com
Abstract. With more and more extensive application of microelectronic

devices, the production cost and performance requirements of semiconductor
devices will be replaced by the reliability requirements. The reliability test must
be carried out in a bid to analyze and evaluate the reliability of device and
predict its life from failure mechanism. Under the normal work conditions, in
order to obtain the reliability data of devices faster, it is usual to adopt accel-
erated life test. Besides, the efforts will be made to analyze the corresponding
device failure models in accordance with its failure mechanism and adopt var-
ious life prediction models and methods. The reliability of the semiconductor
device directly affects the working life of the device. After the accelerated test,
people can establish all kinds of lifetime forecasting models and methods by
analyzing the failure mechanism of semiconductor devices. This paper minutely
summarizes the evolution process of the methods that are used to forecast the
life of semiconductor devices and based on failure physics, and then, these
methods will be introduced in detail with their corresponding reliability prob-
lems. There are five models for accelerated test showed at the end of the paper.
Keywords: Life prediction Failure mechanism Evolution process

Model Method
1 Evolution of PoF Approach Affecting Device Life

Prediction
In 1952, Shockley proposed the junction gate field-effect transistor theory, in the early
1960s when mass production of MOS transistor began, it was found that the charge
related to the thermal oxidation structure of silicon had serious influence on device
reliability [1]. People started the research on the charge in oxide layer. Since then,
people have used PoF approaches to predict device life, including high-heat treatment,
defect and corrosion, and studied its effect on device electromigration and service life
from the perspective of impurity.
In the age of transistor, people already did a raft of studies on planar state. Around
the 1970s, with the emergency of planar device (MOS), people fully studied Si/SiO2
system. In the 1970s, leakage current aroused the attention and there were oceans of
studies on soft error of packaging materials. With the rapid development and expansion
of nuclear technology in the Cold War, the studies on radiation resistance of

https://doi.org/10.1007/978-981-13-7123-3_28
228 L. Liu et al.
semiconductor devices were abundant and mature because the devices were mostly
applied for national defense and military purposes. In the early 1970s, the researchers
studied the failure mechanisms including water vapor, mechanical vibration, super-
power operation and high temperature reverse bias. In the mid-1970s, the research on
thermoelectric effect became mature and the deterioration of the interface between
metals resulted in the research on metal materials. Investigations into metallization
issues became extremely in-depth, including low ohmic contact, good bounding and
adhesion and stability of SiO2, such as Al electromigration, failure mechanism of Au-
Al bounding, aluminum film rupture at the step of the oxide layer and Al corrosion.
People began looking for new metal materials as well. In addition, the effects of failure
caused by electric stress on service life of devices were also studied around the mid-
1970s, including flashover short-circuit, transient failure caused by surge current,
solder thermal fatigue caused by intermittent action and overload loss caused by
switching power dissipation. Second breakdown was already studied at that time but it
was still a theoretically unresolved issue. Meanwhile, some progress was made in the
study on gate breakdown caused by electrostatic discharge damage of MOS integrated
circuit.
From the late 1970s to the early 1980s, Very Large Scale Integration (VLSI) was
researched and developed. As the influence of hot carrier on the device attracted
people’s attention, the research on the influence of hot carrier injection (HCI) on device
life was started. At the same time, there also emerged some studies on Drain Induction
Barrier Lower (DIBL). In the early 1990s, study of DIBL became mature with much
relevant literature published, which continued into this century. Negative bias tem-
perature instability (NBTI) was first discovered by Miura [2], Goetzberger [3] and
others in 1966. However, there was not much research on NBTI and its effect on device
reliability and life in the early stage. In the late 1980s, research on NBTI was carried
out to a certain extent, the integration degree of integrated circuits was getting higher
and people paid more attention to research on NBTI. After the 1990s, a large quantity
of research literature on NBTI was published successively, especially after entering the
period of micro- and nano- scales.
As early as the 1980s, gate oxide breakdown attracted people’s attention, and the
time dependent dielectric breakdown (TDDB) ramp voltage histogram was used to
speculate on the device’s failure rate. In 1981, Arnold Berman of IBM proposed that
the previous models for inferring reliability failures through laboratory life test were
essentially incorrect as they failed to consider the effects of temperature on TDDB and
the distribution of failure time [4]. Since then, a lot of improvement research has been
done on TDDB. In the mid and late 1970s, it was discovered that the increase of the
gate voltage VG of MOS devices could cause a rise in leakage current among the poles
[5]. In the 1980s, researchers began to study the impact of gated-induced drain leakage
(GIDL) on device life and how to reduce GIDL. Today, with the continuous
improvement of the integration degree and the decreasing thickness of the gate oxide,
the research of TDDB and GIDL has become more and more important and cannot be
ignored. On this basis, researchers often need to study its effects in depth when
predicting device life.
Lifetime Prediction Method of Components Based on Failure Physics 229
Currently, the mainstream life prediction methods based on physics-of-failure

include hot carrier injection (HCI) [6], negative bias temperature instability (NBTI) [7],
time dependent dielectric breakdown (TDDB), off-state characteristics and others.
2 Life Prediction Based on Various Physics-of-Failure
2.1 Electromigration
Electromigration is the process of transporting aluminum ions along a stream of
electrons in an energized aluminum strip at high temperature and high current density.
It is the most important failure mechanism in the electrode system of semiconductor
devices and integrated circuits (IC). The accelerated life test is affected by its elec-
tromigration. For long metal wires, the aluminum alloy strip is usually connected by the
pad without preventing metallization. The overall failure life can be controlled by
nucleation, and the current density N = 2 is generally adopted. Secondly, since the
butterfly-type NIST electromigration test structure with simple pad connection is not
suitable for the existing multi-layer metal system, very good results of electromigration
can be obtained compared with the channel feedback test structure. Thirdly, the channel
feedback test structure must be carefully designed to avoid resistance saturation and
storage effect, as they can lead to incorrect median life.
The equation [8] describing the electromigration using the Black model to deter-
mine the life is as follows:
TF ¼ A0 ðJ Jcrit ÞN exp½Ea =kT
Where A0 is a constant, N is the current density factor, Ea is the activation energy,

k is the Boltzmann constant (8.62 10−5 eV/K), T is the absolute temperature, and the
applied current density J must be greater than critical current density Jcrit, so as to form
the failure. The current density and the length of the wire could cause a change in N.
Considering the change in N, an approximation of N can be obtained according to the
following formula:
N dðInTF Þ=dðInJÞ
Hypothesis: There is a very long aluminum-bronze metal tube with particle size
larger than line width; the mobile environment is the chip environment (80 °C) inside
the portable computer; the office environment is the chip environment (50 °C) inside
the case; the current density in mobile environment and office environment is
2.5 mA/cm2 and 2.0 mA/cm2 respectively; and J>>Jcrit, Ea = 0.8 eV, and N = 2. On
this basis, applying the above life model can get the ratio of life value in office
environment to that in mobile environment, i.e., AF:
AF ¼ ðJOffice =JMobile ÞN exp½ðEa =kÞð1=TOffice 1=TMobile Þ

230 L. Liu et al.
The value of AF (about 18) is calculated after inputting the aforesaid data. It can
thus be seen that the life value in low-temperature, low-current density office envi-
ronment is 18 times larger than in high-temperature, high-current density mobile
environment. Specifically, a 1.6-times difference in current density and an 11.5-times
difference in temperature could finally translate into an 18-times increase in overall life.
2.2 Hot Carrier Injection

Hot carrier injection (HCI), which usually occurs at interfaces and inside the oxide, is a
phenomenon where carriers with sufficient energy are injected to the gate oxide layer.
In the accelerated life test, when a hot carrier is injected, for devices longer than
0.25 micron, the N-channel peak substrate current and P-channel peak gate current can
accurately simulate the degradation of the transistor in which the hot carrier is injected.
For the P-channel devices shorter than 0.25 micron, under the influence of hot carrier,
drive current tends to decrease just like NMOS. Besides, the off-state leakage current
will significantly increase, especially when driven by huge current starting from the P
channel. The physical property associated with hot carrier injection will be changed at
the length of 0.25 micron or even below, which would worsen the stress situation. In
fact, accurate voltage model is more practical than substrate current and gate current.
The testing structure generally selected for HCI assessment can be directly used for
products and for direct current working status. Therefore, the calculated value of life
can be seen as an indicator for process comparison; when Vcc is lower than 2.5 V,
substrate current related to temperature is likely to obtain activation energy. In fact, the
Eyring model [8] should usually be adopted for channel-phase devices:
TF ¼ BIN expðEa =kTÞ
Where, B refers to an arbitrary value (coefficient related to dopant distribution and

lateral wall partitioning number, etc.), N can be set at 2–4 (typical value being 3), and
Ea = 0.1 eV–0.2 eV. For N-channel devices, I means the peak value of substrate
current Isub, while for P-channel devices, I means the peak value of gate current Igate.
A rule of thumb applicable to the ratio of the substrate current to voltage of P-channel
devices is that when the source-drain voltage is 0.5 V higher, the peak value of sub-
strate current will double.
A comparison between the office environment and accelerated testing environment
can help calculate the acceleration coefficient of failure of N-channel devices caused by
HCI. If the chip temperature under office environment is 50 °C, the substrate current is
1 lA; while the chip temperature under acceleration environment is –40 °C, the sub-
strate current is 10 lA, and N = 3, Ea = –0.15 eV, the life rate under the two types of
environment, i.e., AF is:
AF ¼ ðIoffice =Iaccel ÞN exp½ðEa =kÞð1=Toffice 1=Taccel Þ
AF is calculated to be 8,000. It can be shown that a shift from accelerated test

environment to office environment will bring an 8,000-times increase in the life value,
including a 1,000-times increase from substrate current and an 8-times increase from
temperature.
2.3 TDDB
In principle, the TDDB process is divided into two stages: The first stage involves
breakdown accumulation. The characteristic of this stage is that under the influence of
electric stress, new-generated traps (charge) are accumulated inside the oxide layer and
at the Si-SiO2 interface. This results in the electric-field modulation effect inside the
oxide layer. When local electric field or current hits the critical value, the second stage,
i.e., rapid breakdown, begins. In this stage, the process of positive feedback between
electricity and heat leads to gate oxide breakdown.
Given that the oxide breakdown is due to the hole being trapped and accumulated at
local traps of the oxide layer, the trapped hole flow can be expressed as [1]:
Qp / JðEOX ÞaðEOX Þt
Where, J(EOX) refers to the F-N current density, which is directly proportional to
e−B/EOX, a is the ionizing collision induced hole generation coefficient

/ EOX / eH=EOX , B, being approximately 240 MV/cm, is a constant related to the
electron effective mass and cathode interface barrier, H is approximately 80 MV/cm,
and t is the duration. When Qp reaches the critical value, breakdown occurs:
tBD / eðB þ EÞ=EOX /eG=EOX ; G ¼ B þ H
There are two common TDDB failure models used for predicting life: E model and
1/E model.
The E model assumes that the oxide burn-in and breakdown is a thermodynamic
process during which breakdown occurs possibly because Si-O bond is destroyed due
to the mutual interaction between dipoles under thermal stress and applied electric field.
In E model, there exists a linear relationship between the electric field under Eoxcon-
dition and time, with the expression [9] as follows:
tBD ¼ t0 expðcEox Þ
In the equation, tBD refers to the life of gate oxide layerunder the TDDB stress
condition, s0 means the time of intrinsic breakdown, c is the parameter of electric field
proportion, with unit of MV/cm. All these variables are related to temperature process,
their expressions being as follows respectively:

Ea c
t0 ¼ A exp ; c ¼ bþ
KT T
Where, Eox is the electric field of oxide layer, Ea is thermal activation energy,
K refers to the Boltzmann constant, T represents the absolute temperature, and both
b and c are process-related constants. E model is usually used for evaluating the life of
gate oxide layer when the SiO2 dielectric is relatively thick and the electric field is
relatively low.
232 L. Liu et al.
1/E model (hole-induced injection model) mainly relates to the F-N tunneling
current. If the breakdown process is deemed to have resulted from gate-through current,
1/E model is generally used to predict the gate oxide life [9]:
tBD ¼ t0 expðG=Eox Þ
Where, tBD refers to the life of oxide layer under the TDDB stress condition, t0
represents the time of intrinsic breakdown, which, like G, is a constant related to
temperature process, as shown in the following expressions:

Eb 1 1 d 1 1
t0 ¼ A exp ; G ¼ G0 1 þ
Kb T 300 Kb T 300
Under the same temperature and different electric field stresses, A and G are
constants. In the logarithmic coordinate, there is a linear relationship between the
average breakdown time (TDDB life) and the reciprocal of applied electric field. 1/E
model is generally used for life evaluation when the SiO2 dielectric is relatively thin
and the electric field is relatively high.
2.4 NBTI
NBTI effect is found in PMOS devices. When the device grid is under negative bias,
the device’s saturation drain current Idsat and transconductance Gm is continually
decreased while the absolute value of threshold voltage is continually increased. An
increase in the bias action time on the grid will be accompanied by continuous
degradation of the device’s electrical parameters. There are mainly two models used to
explain the degradation mechanism in NBTI: The first is the reaction-diffusion (R-D)
model: When the vertical electric field is applied, the generated hole and Si-H bond
react to isolate the hydrogen atom and leave one charge, then the hydrogen atom keeps
away from the siliconoxide interface through diffusion. Given its very slow speed to
diffuse in the oxide layer, hydrogen thus becomes the bottleneck for the NBTI
degradation speed; The second is the charge trapping and de-trapping model. When the
electric field is applied, the charge at the Si/SiO2 interface is trapped by defects in the
oxide layer, which brings more fixed oxide charges. When the electric field is removed,
some trapped charges can be divorced from the oxide layer.
Severe recovery or passivation effect exists in NBTI effect. The longer the stress
continues, the more severe the irreversible damage to the gate oxide will be. The charge
trapping and de-trapping model can well explain the rapid recovery effect of NBTI
within a short period of time, while the R-D model can explain the phenomenon of
NBTI recovery effect existing for a long period of time after the stress condition is
removed. At present, we are inclined to believe that the two mechanisms play a joint
role in NBTI degradation.
In the testing, the two mechanisms are manifested by the exponential relationship
between electrical property degradation and time. Through a theoretical calculation of
the speed of diffusion in the oxide layer for the hydrogen atom, molecule and ion,
relationship between the device’s electrical property degradation and time is reflected
as a power exponent ranging from 0.165 to 0.25 in the R-D model and less than 0.165
in the charge trapping and de-trapping model. The two models are applicable to dif-
ferent scopes of time after the electric field condition is removed, that is, a time lag
between when the electric field stress is removed and when the electrical property
parameters begin to be measured, is closely related to the performance of the tested
device. With the adoption of new testing means and improvement of test device per-
formance, the time lag is greatly reduced. New researches have generally found a
relatively small power exponent ranging from 0.08 to 0.14. Researchers have put
forward testing methods like fast NBTI and on-the-fly NBTI to reduce the NBTI
recovery effect [10].
Under the old testing methods, a relatively long time delay based on the recovery
effect result showed a smaller value in electrical property degradation compared with
that of rapid testing. But this does mean that the impact of NBTI was underestimated.
The reason is, as study suggests, with a reduction in the electric field stress, the failure
time difference calculated under different testing speeds is smaller accordingly. As a
result, the electric-field acceleration factor varies by testing speed. By deducing the
device life from the result calculated under a relatively slow testing speed, the actual
service life of the device is sometimes underestimated.
2.5 Thermoelectric Effect

When a transistor is under operation, junction temperature (active area) rises due to
conversion of consumed power to heat. The relationship between working junction
temperature Tj and device life t is as follows [1]:
ln t ¼ A þ B=Tj
Where, A and B are constants. Therefore, determining the working junction tem-
perature is an important constant in the reliability design considered for the device use.
In general, for silicon devices, the maximum allowable junction temperature is 150 °C–
175 °C in case of metallic packaging, and 125 °C–150 °C in case of plastic packaging.
Heat is transferred through three means, including radiation, convection and con-
duction. The heat generated in the active area of the semiconductor chip is transferred
to the adjacent areas through heat conduction, making temperatures in different chip
areas unevenly distributed. In other words, a temperature field is generated. The
temperature field distribution of the chip can be calculated by solving the heat con-
duction equation under certain boundary conditions, which is helpful for the reliability
of heat design. Generally speaking, heat Q transmitted from section A is directly
proportional to the temperature gradient in this direction:
Q / OT A ¼ kðTÞOT A ¼ DT=RT
In the equation, k(T) refers to temperature-related thermal conductivity of material.

Assume that k(T) is a scalar which is irrelevant to direction and is of the same property
in each direction. OT represents the temperature gradient, “-” indicates heat trans-
mission from high temperature to low temperature. DT is the temperature difference,
234 L. Liu et al.
and RT represents thermal resistance, which equals to the proportion of temperature

difference to heat flow between any two points and forms resistance on the path of heat
transmission. Heat is in direct proportion to power consumption, so the equation can be
rewritten as follows:

Pc ¼ Tj Tc =RTjc ¼ DT=RTjc
In the equation, RTjc represents the thermal resistance between the collector junc-
tion and case of the transistor. Tj and Tc refer to the junction and case temperature
respectively. Pc is the dissipated power of the transistor. Based on this, thermal
resistance can be defined as the junction temperature rise caused by power consumption
per unit of transistor (unit:°C/W).
In fact, driven by switch and impulse voltage, the temperature in the active area of
the transistor will go through some relaxation time (thermal time constant s) before
gradually reaching the steady state when the temperature field and thermal resistance
will become stable. Before that, all of them constitute a function showing exponential
change over time.
Tj Tc ¼ DT ¼ Pc RT ½1 expð1 t=sÞ ¼ Pc RTS
RTS is called transient thermal resistance, and s is related to thermal resistance and
thermal capacity of the material.
2.6 GIDL (off-State Characteristics)

In the circuit, when a device is under the off state or waiting state, GIDL current plays a
dominant role in leakage current inducing static power consumption. When the gate-
drain voltage at the gate-drain overlap area VDG is very huge, the electrons in the
silicon surrounding the overlap area witness band-band tunneling between the valence
band and conduction band. Then GIDL tunneling current is formed. As the gate oxide
layer becomes thinner and thinner, the GIDL tunneling current sharply increases.
When the GIDL tunneling effect occurs, hole electron pairs will be generated at the
LDD overlap region close to the Si-SiO2 interface. With electrons collected by the
drain, most holes flow to the substrate, and the remaining ones speed up in the hori-
zontal electric field along the channel direction. Not being hit, the latter gain sufficient
energy from the electric field to cross the interface barrier, and finally change the
direction via elastic scattering before being injected into the gate oxide layer. Q0, the
total number of hole generated following the GIDL tunneling, is related to the strength
generated by the GIDL effect.
The hole injection in the process of GIDL stress can be exhibited by a quantitative
model [11]:
QT / Q0 pðLÞ ¼ Q0 expðLÞ
L ¼ UB =ðqkH EM Þ
Where, p(L) means the probability that the hole crosses the Si-SiO2 potential barrier
uB without being hit after a long enough distance L. The hole and total number of holes
injected into the oxide layer are in direct proportion to p(L). kH is the free path of holes
and QT is the charge injected into the oxide layer because of band-band tunneling. EM
is the maximum horizontal electric field.
ID ¼ A ES expðB=ES Þ
ES ¼ ðVDG 1:2Þ=3TOX
R
∵Q0 = ID dt , where ID is the GIDL tunneling current.
R
∴QT/ Q0 p(L) = ID dtexp(UB =ðqkH EM ÞÞ
The one-dimensional GIDL tunneling current model is as follows:
ID ¼ A ES expðB=ES Þ
ES ¼ ðVDG 1:2Þ=3TOX
In the equation, A is a constant, B amounts to 21.3 MV/cm, ES refers to the electric
field at the interface of the drain-gate overlap region, 1.2 is the minimum band cur-
vature that can occur with the tunneling at the vertical interface, and 3 is the dielectric
constant ratio of SiO2 to Si.
In addition, there are also some factors which have to be taken into account for their
huge impact on predicting the device life, such as corrosion, electrostatic discharge
damage, radiation damage, soft errors and packaging.
3 Acceleration Model
A product in use is vulnerable to complex environmental stresses. For instance, the

product will be influenced by temperature, electricity, humidity and other stresses
simultaneously. It is exactly also the combined effect of these stresses that has an
impact on the product life. For this reason, introducing the acceleration model of
combined stress into the acceleration test can help simulate the actual environment
conditions more accurately. Further, data obtained from the acceleration test can be
used to predict the product life under normal use. The following is an introduction to
five acceleration models [12].
3.1 Arrhenius Model

Arrhenius model applies to test projects for temperature acceleration, with the formula
as follows:
AFðTÞ ¼ exp½Ea=k ð1=TUSE1=TSTRESSÞ
In the formula, AF(T) is the temperature acceleration factor, Ea is the activation

energy (eV), an empirical value ranging from 0.2 to 1.2 eV depending on the failure
mechanism, k is the Boltzmann constant (8.617 10-5 eV/K), TUSE is the environ-
mental temperature in actual use, and TSTRESS is the test temperature.
236 L. Liu et al.
3.2 Eyring Model

Eyring model, an extension of the Arrhenius model, is used for test projects with
simultaneous voltage and temperature acceleration, with the formula as follows:
AF ðT; VÞ ¼ exp[BðVSTRESS VUSE Þexp½Ea=kð1=TUSE 1=TSTRESS Þ
In the formula, AF(T,V) is the temperature and voltage acceleration factor; VUSE is
the voltage in actual use; VSTRESS is the voltage applied during test; coefficient B,
which varies by failure mechanism, has a default value of 1. Other parameters are the
same as those of the Arrhenius model.
3.3 Peck Model

Peck model is also seen as an extension of the Arrhenius model, and is applicable to
test projects with temperature and humidity acceleration, with the formula as follows:
AF ðT; rhÞ ¼ ðrhstress =rhuse Þn exp½Ea=kð1=TUSE 1=TSTRESS Þ
In the formula, AF(T, rh) is the temperature and humidity acceleration factor; rhuse is
the humidity in actual use; rhstress is the test humidity; coefficient n is generally set at 3.
3.4 Coffin-Manson Model

Coffin-Manson model applies to acceleration test projects with changes in temperature,
the model formula shown as below:
AF ðDTÞ ¼ ðDTSTRESS =DTUSE ÞC
In the formula, AF(DT) is the acceleration factor due to changes in temperature;

DTSTRESS is temperature changes during test; DTUSE is temperature changes in actual
use; C is the material characteristics coefficient whose value ranges from 1 to 9 (1–3 for
ductile metal; 3–5 for hard metal; 6–9 for brittle fracture). In the event that detailed
information cannot be obtained, C is usually 4 at a conservative estimate.
3.5 Multi-stress Combined Acceleration Model

When a device is exposed to temperature, voltage and humidity stresses simultaneously
in the working environment, suppose there is no mutual interaction between stresses,
the acceleration model under combined multi-stress conditions can be seen as follows:
AF ðT; V; rhÞ ¼ ðrhstress =rhuse Þn exp½BðVSTRESS VUSE Þexp½Ea=kð1=TUSE 1=TSTRESS Þ
AF(T, V, rh) is the temperature, voltage and humidity acceleration factor. Other
parameters are the same as above.
4 Conclusion
This paper takes the PoF reliability analysis (TDDB, HCI, NBTI and off-state char-
acteristics are among the current mainstream methods) of semiconductor devices as the
starting point. The paper further offers a detailed summary of PoF-based methods to
predict the device life and their development history, in an effort to provide relatively
systematic reading materials for studying the device failure analysis and life prediction.
Furthermore, the paper gives a brief introduction to several acceleration models needed
and optional when predicting the device life as a supplement to the life prediction
methods.
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(2012)
Spacecraft Technology and Application
Fault Tolerant Method for Spacecraft Bus
Based on Virtual Memory
Ning Zhao(&) and Wei E.

18500084010@163.com
Abstract. In this paper, a fault-tolerant method of spacecraft bus chip based on

virtual memory is proposed. This method applies the address mapping method
of virtual memory technology. By means of self-detection and page manage-
ment, it realizes the dynamic allocation and management of internal RAM pages
in bus chip and achieves the purpose of fault tolerance. In detail, each message
area in bus chip is called page. The page index table is defined to store the page
state and give mapping for physical memory. CPU refreshes the page state in
page index table by self-detection. When sending bus messages, CPU applies
pages according to the page index table instead of writing physical memory
directly. This method can recover the bus chip damage of onboard spacecraft.
Keywords: Virtual memory Spacecraft bus Tolerant method
1 Introduction
In recent years, the development of spacecraft has turned to the direction of intellec-
tualization, networking and integration. Autonomous health and task planning have
become the hotspots of spacecraft development. These functions are emerging with the
wide application of computers in spacecraft, such as bus technology. As an important
means of communication between onboard computers, 1553B bus is the key part of
spacecraft function realization. If the 1553B bus chip fails, it may cause partial or
overall bus communication function failure of the spacecraft, seriously affecting the
service and safety of the entire spacecraft.
1553B bus was first used in the field of aviation in 1980’s, and gradually became
the control bus widely used in aerospace area. The most famous bus controller chip is
the BU61580 which is designed by DDC. It is advanced communication engine
between onboard computer. High level reliability is needed because of its importance.
In the process of spacecraft design, the following methods are adopted to improve
the reliability of spacecraft:
(1) Multi-level redundant backup strategy. Spacecraft equipment usually adopts
double or even three backups to avoid the failure of a mission caused by the
failure of a certain device. Such as some function can be realized by both onboard
computer and ground control computer.

https://doi.org/10.1007/978-981-13-7123-3_29
242 N. Zhao and W. E.
(2) The selection of high-level chip. Special design in onboard chip can avoid the
damage caused by space particles.
With the application of software on spacecraft, it is possible to adjust the config-
uration of system by modifying onboard software. In this paper, a fault-tolerant method
of spacecraft bus chip based on virtual memory is introduced to avoid RAM damage in
the bus chip, which is the same principle.
2 Principle
2.1 1553B Bus Chip Principle

BU61580 is typical bus chip applied in spacecraft. BU61580 has internal RAM
(usually 4K bytes), which is used to define the details of bus message sending. In
Table 1, “Message block” is the physical address for storing communication data. The
other area is the control area, which determines the bus message sending format and
other options. When BU61580 works in BC mode, the internal RAM is defined as
follows [1]:
Table 1. Internal RAM defined

TYPICAL NON-ENHANCED BC MEMORY MAP
(shown for 4 K RAM, ENHANCED mode)
ADDRESS(HEX) DESCRIPTION
0000-00FF Stack A
0100 Stack Point A (fixed location)
0101 Message Count A (fixed location)
0102 Initial Stack Point A (Auto-Frame Repeat Mode)1
0103 Initial Message Count A (Auto-Frame Repeat Mode)1
0104 Stack Point B (fixed location)
0105 Message Count B (fixed location)
0106 Initial Stack Point B (Auto-Frame Repeat Mode)1
0107 Initial Message Count B (Auto-Frame Repeat Mode)1
0108-012D Message Block 0
012E-0153 Message Block 1
…… ……
…… ……
0ED6-0EFB Message Block 93
0EFC-0EFF Not Used
0F00-0FFF Stack B
When BU61580 works in BC mode, the process of sending messages is as follows:

Firstly, it initializes the chip setting, such as working mode, stack pointer, message
count, etc. The physical RAM address used is in the range of 0x0000*0x0107.
Fault Tolerant Method for Spacecraft Bus Based on Virtual Memory 243
Secondly, it writes message control words into stack area. The physical RAM address
is 0x0000*0x00FF for A area and 0x0F00*0x0FFF for B area. To send a message,
the data is written into the message block according to the address specified in the
message control word, ranging from 0x108-0xEFB. Then the message count is changed
by modifying value of message count A or message count B. Finally, after sending, it
sets START register in order to start transmission the message, and judges the message
sending status by reading the value of special address in stack.
When sending bus message periodically, repeat the above steps.
In this procedure, the chip RAM is utilized as shown in Fig. 1 below.
Message Message
sending flow receiving flow
BU61580
Initial Initial
BU61580 Physical memory BU61580
address
Write subaddr Write subaddr
control data to REG and control data to
STACK RAM(0x0000-0x107) STACK
Write message data Change Message

RAM(0x0000-
to Block Count
0xFF)OR(0xF00-0x0FFF)
Change Message
RAM(0x101)OR Sending
Count
(0x105)
Sending Check send status

RAM(0x108-0xEFB)
Check send status Read Message data
Fig. 1. RAM utility while message sending
As shown in Table 1, there are 93 message blocks which store message data.
However, due to the limitation of stack size, BU61580 is able to send 64 messages at
most in one frame.
2.2 Virtual Memory Principle

Virtual memory is a memory management technology in computer science. CPU uses
continuous RAM address and does not care how physical memory is arranged through
this technology. Actually, physical RAM is split into segments which are not contin-
uous, and even some segments are temporarily located in external disk. Memory
management unit, which can be realized by operation system or special hardware,
performs the virtual memory function. Data exchange between physical memory and
virtual memory is carried out in the form of pages [2].
The special hardware designed for virtual memory is called memory management
unit (MMU). It performs efficient address mapping and translation. Due to MMU,
discontinuous and different types of physical addresses appear to be continuous and
single type.
The address space model of real-time system can be divided into four kinds: (1) plat
address space, which is original physical address; (2) equivalent single address space
(SAE), which maps physical address to virtual address directly; (3) single address space
(SAS), which maps physical address to virtual address point to point but maybe
physical address is discontinuous while virtual address is not; (4) multiple address
space (MAS), which maps physical address space to different processes and uses them
separately [3].
2.3 Fault Tolerance Principle for Spacecraft Bus Chip

The fault-tolerant principle for spacecraft bus chip refers to the idea of virtual memory
address mapping. It provides mapping from internal RAM of bus chip to virtual RAM
for CPU using. The mapping transforms when part of internal RAM is damaged. Fault
isolation is achieved through this method.
Applying the fault-tolerant method to spacecraft requires two special situations to
be considered [4]:
(1) There is invisible time in every track for some spacecrafts due to the spherical
earth. Invisible time could be more than a dozen hours. Bus chip needs to inde-
pendently identify the damaged location of RAM and dynamically adjust address
mapping.
(2) Weight and power consumption are strictly limited because of emission ability.
MMU can’t be widely applied to onboard computer, so the sketch of virtual
memory should be as simple as possible in realization.
3 Fault Tolerance Method for Spacecraft Bus
There are two parts in the fault-tolerant method for spacecraft bus: self-detection and
memory management.
3.1 Self-detection Strategy

The self-detection strategy needs to consider the opportunity, content and method.
Opportunity: The central computer on orbit, as the core of satellite data processing, is a
real-time multi-task system. It acts as BC unit in the bus network and the machine-time
is rather tense. Therefore, bus RAM self-detection should be carried out during the
minimum priority task, when other data processing tasks have been finished in a cycle.
Content: As shown in Table 1, there is fixed location area in bus chip, whose mapping
can’t be transformed. Message block area is located at 0x108-0xEFB physical address.
It occupies a large amount of internal RAM space in bus chip, but in practice, a small
amount of the area is utilized. Mapping of the message block can be adjusted when
parts are damaged. Therefore, the content of self-detection is the message block area.
Method: In order to detect RAM fault as soon as possible, self-detection method is

designed simply. CPU writes 0x55555555 to a physical address, reads and verifies,
then writes 0xaaaaaaaa, repeats the above steps. If the validations are correct, it is
considered that the address is working normally. It also can be confirmed by the bus
monitor [5].
3.2 RAM Management Strategy

Referring to the virtual memory management principle of general operating system, the
fault-tolerant method of spacecraft bus chip defines data structure named page to index
the physical bus chip address. The method achieves the purpose of substituting dam-
aged RAM address by transferring content of page [6].
Each message area of BU61580 is 32 words (16 bits), which is the maximum
capacity of a single message, therefore each page index is designed to identify a status
of 32-word size physical address block. The page index could be changed by the
memory management module according to the result of self-detection mentioned
above.
Normally, when the onboard computer initiates communication through 1553B, the
communication content is divided into 32 word-sized fragments. CPU applies for
memory allocation application to the memory management module. The memory
management module returns the address list of the message area of this application
according to the status of the page table and the size of the application space, that is, the
address mapping result. Then the memory management module locks the message
block to prevent conflict. Finally, when communication is completed, the message
block is released and the page table is updated.
When part of spacecraft bus RAM is damaged, CPU locates the location and scope
of RAM errors by regular self-detection, and then updates the status in index page
table. When the communication is initialized, the memory management module returns
the address mapping result except the damaged pages. Thus, the communication
between onboard computers can be completed normally even if parts of bus chip are
damaged (Fig. 2).
Page Status Page (Physical

Table Address)
Applicati Melloc and Page Status Table1 Physical Address1
on Allocate Page Status Table2 Physical Address2
Sending or Page Status Table3 Physical Address3
Message
Receiveing
block1 Page Status Table4 Physical Address4
message
Page Status Table5 Physical Address5
Message Page Status Table6 Physical Address6
block2
Page Status Table... Physical Address
Page Status Table n Physical Address n
Fig. 2. Fault-tolerant method of bus chip based on virtual memory

4 Verification
The fault-tolerant method for spacecraft bus chip based on virtual memory is applied on
a MEO satellite. The MEO space environment is harsh and the chip is greatly affected
by space radiation.
The normal traffic of bus communication is 0.119 Mbps, which includes: important
data storage, telemetry parameters, bus terminal status polling, and instructions. Similar
data is sent in the same frame, in which the routine telemetry parameters and bus
polling messages need to be sent once every 500 ms to 4 slave computers. In addition,
the telemetry acquisition parameters need to be strong real-time, so other messages can
be interrupted. The fault-tolerant method of bus chip RAM based on virtual memory is
used to manage message blocks.
After the satellite enters orbit, all pages (physical address of message block) are in
good self-detection status at the beginning of its life. When the remote telemetry
messages apply for addresses, there may be some pages occupied. The memory
management module assigns a page table for each message, as shown in Table 2.
Table 2. Original RAM mapping

NO Function Communication size Page index Physical address
1. Important data 1.25K (41 message 0*40 0x108*0x627
recover blocks)
2. Telemetry max 320 (10 message 10 indexes 320 words among
parameters blocks) *4 among 0*50 0x108*0x768
3. Bus terminal 1 (1 message block) *4 0 0x108*0x127
status polling
4. Important data 1.25K (41 message 0*40 0x108*0x627
storage blocks)
5. Instructions 6 (1 message block) *4 0 0x108*0x127
The satellite has a breakdown of bus chip RAM after 36 months of satellite launch.
Some address reading and writing exceptions of 0x400*0x7FF in RAM area are
found. Write 0x5555 to each 16bit and read it out, then write 0xaaaa to each 16bit and
read it out. The results are shown in Fig. 3.
Fig. 3. RAM self-detection result of bus chip

It can be determined in Fig. 3 that the 0x400-0x7FF area of the bus chip has been
damaged. After the bus RAM fault tolerance strategy based on virtual memory detects
the fault, the status of pages 23 (physical address 0x3E8*0x407) *55(physical
address 0x7E8*0x807) is set to be unavailable. The memory management module
assigns a page table for each message, as shown in Table 3.
Table 3. Fault-tolerant RAM mapping

NO Function Communication Page index Physical address
size
1. Important data 1.25K (41 message 0*22, 56*73 0x108*0x3C8,
recover blocks) 0x808*0xA47
2. Telemetry max 320 (10 10 indexes among 320 words among
parameters message blocks) *4 0*22, 56*83 0x108*0x3C8,
0x808*0xB87
3. Bus terminal 1 (1 message 0 0x108*0x127
status polling block) *4
4. Important data 1.25K (41 message 0*22, 56*73 0x108*0x627
storage blocks)
5. Instructions 6 (1 message 0 0x108*0x127
block) *4
As can be seen from Table 3, the fault-tolerant method of bus chip RAM based on
virtual memory can skip the area where reading and writing exceptions occur, and
provide reliable memory pages for CPU, so as to achieve the purpose of fault tolerance
of bus chip.
5 Conclusion
In this paper, a fault-tolerant method of on-orbit satellite bus chip based on virtual
memory is proposed. Without increasing hardware devices, the local fault of RAM can
be avoided autonomously on orbit by means of self-detection and page management of
the bus chip message physical address, and the reliability of satellite can be improved.
This method can be extended to other satellite equipments and ground systems to
improve the fault tolerance of the whole system.
References
1. ACE/Mini-ACE Series BC/RT/MT Advanced Communication Engine Integrated 1553
Terminal User Guide. DDC User Guide (1999)
2. Ling, Z., Zhang, L.: An implementation of the virtual memory management mechanism of the
embedded system. Sci. Technol. Eng. 10(27) (2010)
3. Xu, R.: Virtual memory techniques for real-time systems. Comput. Eng. Sci. 28(11), 116–118
(2006)
4. Sun, D., Wu, W., Zheng, L., Zhao, M., Li, B.: Design of a dynamic memory manager for
embedded real-time systems. J. Chin. Comput. Syst. 35(5) (2014)
5. Wang, X.: Design of multi-platform 1553B bus simulator. Comput. Measur. Control 20(2)
(2012)
6. Li, G.: Research of the Virtual Memory Management Technology on ARM. Beijing Jiaotong
University, Mater thesis (2013)
The Design of Interactive Framework
for Space-Exploration Robotic Systems
Wei Shi(&), Shengyi Jin, Yang Zhang, Xiangjin Deng,

Yanhong Zheng, Meng Yao, and Zhihui Zhao

20115266@qq.com
Abstract. The deep space-exploration spacecraft or robot need to perform

missions in complex and harsh environments and far away from the earth.
Restricted by large communication delay and low-bandwidth, the operator on
the earth can’t interact frequently with spacecraft or robot. For the reasons, the
system design of spacecraft is required to powerfully autonomous and reliable.
This paper is based on the application of the sampling robot for extraterrestrial
planets, described the design of interactive framework for task-level Command
control of robotic systems, establish a standard planning operators(POs) sets that
can cover the operating space basically, and shows how to improve system
autonomy through interactive planning and learning. Under this framework
designation, with a small amount of task-level command and state feedback
telemetering between the operator on the earth and the spacecraft, it can meet the
mission.
Keywords: Interactive-framework Planning operators (POs)

Space-exploration robotic systems Task-level command
1 Introduction
Space is fundamentally one of the most challenging domains that humans have ever
tried to explore. For exoplanet soil/rock sampling tasks, restricted by incomplete initial
environment information, uncertain execution duration and large communication delay
[1], and so on. For this reasons, space- exploration spacecraft or robot is required to be
powerfully autonomous and reliable. However, it is limited by the current computing
and storage level of computers on spacecraft, the development of artificial intelligence
technology, and the high reliability and safety requirements of spacecraft missions,
making spacecraft have powerfully autonomous is a great challenge. Lightweight, low
volume, simple and convenient application need to be considered. This study, we
propose a design of interactive framework for application of space- exploration robotic
systems.

https://doi.org/10.1007/978-981-13-7123-3_30
250 W. Shi et al.
2 Related Work
With the continuous development of space action, the field of exploration is expanding.
Space-exploration spacecraft have also evolved from simplicity to complexity, from a
single mission to a variety of tasks, from relying mainly on manual operation to
gradually autonomous development. “Surveyor” (1966–198), “Luna16/20” (1970–
1972)”, “Luna24” (1976), “Viking” (1976), “Sojourner” (1997), “Hayabusal” (2003),
“Mars express” (2003), “Rosetta” (2004), “Curiosity” (2011), “Jade Rabbit” and so on.
These successful space exploration actions represent a significant trend.
In order to realize the goal of space exploration spacecraft/robot with autonomous
and reliability, a complete system framework is necessary. Base on the design of
framework, through experiments and knowledge learning, the intelligent level of
spacecraft is gradually optimized and improved to meet the application requirements of
various missions.
The US Air Force Research Laboratory (AFRL) Space Vehicles Directorate, the
team of Orbit Logic, PnP Innovations, and Emergent Space are developing an
Autonomous Planning System (APS) framework. The core of APS is specialized
Autonomous Planning Agents (SAPAs) and Master Autonomous Planning Agent
(MAPA), SAPAs generate plans, and the plans are integrated by [2].
Many artificial intelligence techniques have been used to learn and reason in a way
that humans describe the world [4, 5]. In the described method, a set of POs is
generated using a specific use case developed by the expert system, and these operators
are then optimized using an improved PRODIGY planner [6] and the PO is optimized
using a modification of the version space method named OBSERVER. In [7], a TRIAL
plan and learning strategy is proposed. It learns and optimizes POs when generating
plans and executing plans. Until the system deadlocks, external teachers are called to
participate in controlling the completion of tasks. In [8], a system architecture design
solution named EXPO was proposed. This system uses PRODIGY as a benchmarking
program to improve knowledge in multiple domains.
The characteristics of the space exploration mission determine that the robot system
has a high rate of undefined operations in an unknown environment, and it is extremely
important to be able to react and process quickly when encountering undefined oper-
ations. Therefore, we place greater emphasis on the online learning capabilities pro-
vided by the architecture. Teacher intervention occurs during the execution of the task,
providing only the operational instructions that need to be performed, and returning the
control of the task to the system after the operation. Our strategy for action guidance is
similar to other types of tele-operation technology [6]. The robot system provides a set
of functions (actions) in advance, and the teacher (served by the ground operator)
simply indicates which functions (actions) to perform in a given situation. After
instructing actions, the robot is allowed to perform actions and generate state transitions
for learning [9]. In particular, the teacher does not supervise the behavior and does not
provide clues as to the relevant attributes of the world that should appear in the
successful execution of the task [10]. This greatly reduces the number of human-
computer interactions, and it should be noted that, depending on the complexity of the
application, indicating all relevant properties of the world in every possible situation
The Design of Interactive Framework for Space-Exploration Robotic 251
faced by the robot may be complicated. To alleviate this burden, we propose a method
of automatically learning world-related attributes that should exist to allow POs to
perform successfully [11].
3 The Design of Interactive Framework
The framework design described in this paper provides two different modes of oper-
ation: the ground development mode and the task execution mode. The ground
development model is mainly used for training and improving system intelligence, and
the task execution mode is used for deep space exploration of spacecraft on-orbit task
execution. The core of the two model frameworks is the planning module and the
learning module. The planning module searches, generates, and optimizes the sequence
of motion controls needed to achieve the mission objectives based on established
execution rules and constraints. The learning module is used to interact with the
operator to create, edit, and repair these execution rules and constraints.
Schematic of the Interactive framework is shown in Fig. 1. The framework includes
planning module (PM), learning module (LM), Teaching module (TM), Operation
basic set module(OBM), Control rule set module (CRM), Emergency response module
(ERM), Control execution interface module (EIM), execution module (EM), environ-
ment Perception and modeling module (EA&M). The space-exploration spacecraft
system, the application examples corresponding to two different operation modes in the
framework are shown in Fig. 2.
Fig. 1. Schema of interactive framework

252 W. Shi et al.
(a) the ground development mode (b) the ground development mode
Fig. 2. Schematic of two mode
The ground development mode is used in the development stage before the mission
is executed. The model is shown in Fig. 2(a). The system consists of Substitute
spacecraft, Substitute DSN (Deep Space Network) and GSS (Ground support system).
The EM and the environment perception part of EA&M functions are provided by
Substitute spacecraft, and the EIM function is provided by Substitute DSN. The PM,
LM, TM, OBM, CRM, ERM and the environment modeling part of EA&M functions
are all included in the GSS. Initially, the OBM consists of a limited number of meta-
operations that described in accordance with the prescribed the declarative instruction.
The manual operator interacts with the LM of the system by the EIM to form the
original CRM. The PM is based on this CRM, receive task-command and planning to
generate an initial operation sequence, through the EIM controls the EM sequentially
complete the state transition specified by the operation sequence. Meanwhile the
EA&M continuously monitors and establishes or updates the environmental state
model, and feeds back the latest environmental state model to the PM, which executes
according to the feedback status update or control operation sequence. If the planning
module finds that the feedback status is undefined or does not find a solution in the
CRM, then the ERM is activated. The operator interacts with the LM of the system to
complete the CRM and exit the ERM. The PM continues to complete the control
execution of the planning and operation sequence until the task-command requirements
are met.
The mission execution mode is shown in Fig. 2(b). Unlike the ground development
model, the system consists of spacecraft, DSN, and GSS in mission execution mode. In
addition to EM and the environment perception part of EA&M functions, the spacecraft
is also loaded with PM, LM, TM, ERM and optimized OBM and CRM. The envi-
ronment modeling part of EA&M which need large computational complexity and
large storage requirements,is retained in the GSS. The GSS also includes a complete
ground development mode framework to synchronize Substitute spacecraft with the
mission spacecraft state.
When the system is running, the task commands received by the PM may be task
commands such as “detect and collect samples at target A”, requiring the system to
understand these task commands and translate them into instructions that control the
EM. The declarative description of the states of the world that currently exists is need
to be provided. These descriptions need to be unambiguous and can be programmed to
generate control sequences for controlling EM without confusion. Based on this, the
planner attempts to find a sequence of actions that converts the current state to a state
that satisfies the target of the task command specification.
3.1 The Declarative Description of Actions and States

In this section, we introduce the declarative description of actions and states in this
study. Here we define a finite states space Š and a finite actions space Â. State s2Š and
s ¼ fd1 ; d2 . . . . . .dm g; m 2 N. di is a subdivision unit that describes a state and a
predicate is map the properties. ‘s’ is regard as a state that can be described by multiple
logic predicates. A action a2Â may take arguments representing the objects to which
the action is applied.
In the planning, the planner is given a description of the initial state, ‘s_ini’ and the
target state description ‘Des’. Using these elements, the planner searches for sequences
of actions that allow the changes form ‘sini ’ reach to the goal ‘Des’. This search is
performed using a set of POs, ‘ ’, each of which encodes the expected changes after
performing an action. A PO is represented as

pi ¼ sp ; a; e; P ð1Þ
Where ‘sp’ is the states of precondition requirements, ‘a’ is the action, ‘e’ is the
expected results, and ‘P’ is a probability estimate, which indicates the probability of
reaching the ‘e’ when ‘sp’ is observed and action ‘a’ is executed.

P ¼ Pr esp ; a ð2Þ
A PO encodes the changes that should be observed when an action ‘a’ is executed.
The ‘sp’ contains the initial values of the state descriptors changed by the action ‘a’,
while the ‘e’ contains their final values. The action ‘a’ describes the action that needs to
be executed. For example, a ‘PO’ for an action of move the robot end actuator from ‘A’
position to ‘B’ position by ‘default’ mode and description of ‘velocity’ may have the
following parts:
sp ¼ fPoweronðrobotÞ; Ishold ðrobotÞ; AtpositionðAÞg;

ð3Þ
a ¼ Moveðrobot:end actuator; 'default'; velocityÞ; e ¼ fAtpositionðBÞg
Where PoweronðrobotÞ is a predicate that takes a value ‘true’ when ‘robot’ is

power on, Ishold ðrobotÞ is a predicate that takes a value ‘true’ when robot is no move
and hold on at the current position, AtpositionðAÞ is a predicate that takes a value ‘true’
when the current position of the robot end actuator is at ‘A’. Where
Moveðrobot:end actuator; 'default'; velocityÞ is a predicate that move the robot end
254 W. Shi et al.
actuator with ‘default’ mode and ‘velocity’. And AtpositionðBÞ is a predicate with a
value true when the robot end actuator at ‘B’ position. In this case, the state descriptor
that changes with the action is AtpositionðAÞ. However, for this change to occur, it is
also necessary that robot is hold on, which is a fact specified by the descriptor
Ishold ðrobotÞ at remains unchanged by the action.
The PO provides a concise description of the action state and execution results. Of
all the descriptors associated with completing the task, the particular PO only considers
those descriptors associated with its effect, and other descriptors may be ignored or
ignored. For instance, if the PO in (3) is used in a task that also requires other actions,
e.g. the current position is not exactly at the ‘A’ position, a private PO,
pk ¼ fsk ; ak ; ek ; Pk g, is need be completed
sk ¼ fPoweronðMAÞ; IsholdðMAÞ; notðAtpositionðAÞÞg

ð4Þ
ak ¼ MoveðMA:end teminalÞ; ek ¼ fAtpositionðAÞg
This is because the a private PO, ‘pk’, not relevant to ‘move the robot end actuator
from ‘A’ position to ‘B’ position’. In general, the number of descriptors used in the
state representation is much larger than the number of descriptors used in a particular
PO [16].
In the proposed framework, not all of the POs are available for planning and some
will only be handled by the learning method. We make this distinction when needed.
The training instances for learning comprise state transitions of the form:
pt ¼ ð S t ; a t ; S t þ 1 Þ ð5Þ
Where t is the time step, st is the state before executing the action, at is the executed
action, and st þ 1 is the state after executing the action. A positive instance pt;iþ for the
PO pi ¼ fsi ; ai ; ei ; Pi g is defined as that where all of the predicates in the precondition
are observed in the state before the execution of the action, the action coincides with
the action of the state transition, and the predicates in the effect are observed in the state
after the execution of the action:
pt;iþ ¼ fsi St ; ai ¼ at ; ei St þ 1 g ð6Þ
By contrast, a negative instance p

t;i , represents a state transition where the PO was
applied but the expected changes did not occur.
p
t;i ¼ fsi St ; ai ¼ at ; ei 62 St þ 1 g ð7Þ
We say that an operator pi covers an instance when si St ; ai ¼ at .
3.2 The Algorithm Description

The main algorithmic description of the interactive framework is presented in
Algorithm 1. Note that the initial set of POs could be the empty set. The predefined
operational description has been included in the OBM is defined as Ppredef , the
description of the operation that was learned has been included in the CRM is defined
as Plearned .
The main algorithm includes two key steps algorithm,
and . FindPlan Algorithm can use binary tree search
algorithm, here we focus on the Learned algorithm.
4 Learning and Planning Operators
Learning and planning are the most important components of the interactive frame-
work. The following sections focus on these two aspects.
4.1 PO Evaluation
How to evaluating each PO to determine its probability in Eq. (2) is a very important
issue. In our application, the evaluation of each PO is strictly limited to the current state
and the risk in the implementation of the PO. we divide the PO in the task into two
categories.
256 W. Shi et al.

The first category, pdef ¼ sdef ; adef ; edef ; P , pdef can be verified by a large number
of tests, And when sdef 2 St ¼ et1 , Calculate P according to the formula
nþ
P¼ ð8Þ
n þ þ n
Where n þ is the number of positive experience instances covered by the PO, n is

the number of negative instancesn covered. o
þ

The second category, p1N ¼ sdef ; a; e; P , p2N ¼ st ; a; edef ; P , where p1N repre-
sents a positive experience instances state, by executing action a, reaching a expected
results. p2N represents an inverse operation of p1N by executing action a to reach a
positive experience instances state from an arbitrary state, So the probability P of p1N
þ
and p2N , generally using the distance between e and sdef , st and edef as the estimation
evaluation method, at the same time to ensure that the robot movement safety type will
be constrained according to the configuration of the robot and the recognition envi-
ronment model, according to the configuration of the robots assuming a function:
(

0; 8xi 2 X; 8yj 2 Yt ; minxi 2X;yj 2Yt y2j x2i [ C
FðX; Yt Þ ¼ ð9Þ
D; other
Where X describes the robot’s own configuration description and Yt describes the
configuration of the moving part on the robot in the current state. When the function is
0, the moving part of the robot is described in the current state. No contact is made with
the body structure. In addition, we also need to define the function:
(

0; 8ei 2 E; 8yj 2 Yt ; minxi 2X;yj 2Yt y2j e2i [ C
GðE; Yt Þ ¼ ð10Þ
D; other
Where E describes the reconstruction description of the task environment, and

when the function is 0, the moving part of the robot is not generated in the current state
and the task execution environment contact. Here, P can be expressed without consider
the measurement error:
0 2 1
y2 þ 2
t sdef
@ A
Z
tþ1 2
1
P ¼ Pr esp ; a; FðX; YÞ; GðE; YÞ ¼ E dt FðX; YÞ GðE; YÞ
t 2
ð11Þ
In our application, the second category PO is verified once, the probability PN of

OP pN is can be temporarily looked as the first category PO. If pN is positive expe-
rience instances, n þ n þ þ 1. When the environment changed, calculate PN
according to the formula:
Yt þ 1
P ¼ PrðejGðE; YÞÞ ¼ PN t
GðE; Yt Þdt ð12Þ
4.2 PO Generation
The states processing rules contained in CRM are limited and cannot completely cover
or cope with complex and variable state transitions in real tasks. PM search generation
POs that reflect the best state transition is a typical optimal path planning problem.
Finding the optimal path in a large number of states space requires a lot of computational
time investment. In order to improve system reliability and reduce time investment,
ERM is started to generate new POs in two cases. (1) When planning, it is found that
there is undefined actions definition, and the corresponding operation rules need to be
added in the CRM. (2) When the execution of a PO has an unexpected effect.
Generation from an Action Instruction

Undefined actions may prevent the generation of plans, thereby triggering an action
instruction request to ERM be started. After executing the instructed action, ainst , a new
PO is generated to fill the Plearned , and For descriptors this PO, first, the
changed descriptors are extracted from the observed state transition,
sc ¼ fsi 2 St jsi 62 St þ 1 g
ð13Þ
ec ¼ fsi 2 St þ 1 jsi 62 St g
Where sc and ec are the sets of the changed descriptors, respectively, St is the state
before and St þ 1 is the state after executing the action. Then, a new PO, pinst , is created
by using sc , ainst and ec as the precondition, action, and effect parts, respectively. The
new PO becomes available immediately for planning. However, the new PO only
considers the changed descriptors in its precondition, so some unchanged causative
descriptors may be missing. In this case, the execution of the newly generated PO may
have an unexpected effect.
Generation from Unexpected Effects

Without considering the system failure, the PO extracted and executed from the set of
operations defined by OBM and CRM has an unexpected effect, indicating that there is
a constraint defect in the initial state definition of the execution of the PO. When the
system state does not satisfy the real execution condition of the PO, the PM plans and
starts the execution of the PO according to the state definition of its.
The refinement process starts by bringing together all the POs that code the same
changes an the failing PO set, pexe , which have been accumulated in the PO set:
, where aexe and eexe are the action and effect parts of
pexe , respectively. In this case, first try to find a candidate OP, pc ¼ feexe ; ac ; ec 2 st g,
258 W. Shi et al.
if such a candidate pc can be found, then add pc to the CRM. Since eexe is an unexpected
state, such a candidate OP cannot be found which is a high probability event to bring the
system control into a transition state. The transition state is generally selected from the
safe parking state, which is a limited state set Sinterim . And the safe
parking state selection
strategy is handled by the proximity principle sk ¼ minsi 2Sinterim e2exe s2i ,The problem
turns into finding a PO set :
ð14Þ
Learner Algorithm description as follow:

5 Conclusion
We integrated the artificial intelligence technology into space-exploration robotic

systems design effectively. In this study, our main goal is to design a framework of
robotic systems that can be commonly applied in the field of space exploration, which
make the robot system can autonomously plan, made decisions, and complete the tasks
required by the command after receiving task-level commands. In this way, we propose
to use simple task-level commands to trigger task-related operations, while simple fast
learning can be used to generate POs from observed state transitions to quickly increase
robot autonomy.
References
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level human feedback. J. Aerosp. Inf. Syst. 13(8) (2016)
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System, SpaceOps Conferences 5–9 May 2014, Pasadena, CA SpaceOps 2014 Conference
(2014)
3. Truszkowski, W.F., Hinchey, M.G., Rash, J.L., Rouff, C.A.: Autonomous and autonomic
systems: a paradigm for future space exploration missions. IEEE Trans. Syst. Man Cybern.
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Research and Design of Hierarchical FDIR
in Spacecraft
Xiaodong Jia(&), Chunping Zeng, and Yufu Cui
DFH Satellite Co., Ltd., Beijing 100094, China

15811283470@163.com
Abstract. A method for designing hierarchical fault detection, isolation and

recovery (FDIR) is proposed in this paper for the limited visible period of in-
orbit spacecraft. The hierarchical FDIR design uses the highly integrated in-orbit
autonomous operation of CAST2000 platform satellite including centralized
management in system level, autonomous control in subsystem level and
redundancy design in unit level to optimize satellite FDIR design and structure.
The design is widely used in CAST2000 platform satellite and verified in system
level performance test and in-orbit operation. The verification shows hierar-
chical FDIR could reduce adverse effects of in-orbit failure and support the
satellite stable operation.
Keywords: Hierarchical fault detection Isolation and recovery (FDIR)

In-orbit autonomous operation Safety mechanisms
1 Introductions
Advanced autonomous management functions have been widely used in spacecraft

system level design. The classification standard of spacecraft autonomous management
based on different mission requirements in the ECSS standard is as follows:
– Autonomous execution of routine tasks
– Autonomic treatment of failures
– Autonomous processing of task data
Deep space exploration projects of ESA, such as Mars Express and Rosetta mis-
sions, have put forward the requirements of highly autonomous management on
spacecraft and achieved remarkable results [1]. For earth observation satellites,
autonomous management ability is also an important aspect of satellite design in order
to reduce operational costs and improve security disposal capacity.
As the main small satellite platform of China, CAST2000 platform mainly runs in
the sun synchronous orbit [2], which is the most commonly, used orbit design for earth
observation. The orbit altitude is about 500 km to 700 km and about 15 cycles per day,
so as to realize the high coverage of earth observation. On the other hands, the impact is
the visible time of ground control station is less and the satellite runs outside more time.
So, satellites in SSO need the capability of carrying out various missions indepen-
dently. In particular, the satellite needs to be able to detect the fault in real time, locate
the fault and reconstruct it to ensure the safe and reliable operation of the satellite,
https://doi.org/10.1007/978-981-13-7123-3_31
Research and Design of Hierarchical FDIR in Spacecraft 261
at least keep satellite safe until it enters visible area again, so that the ground control
system can intervene and handle the failure.
Fault detection, isolation and recovery (FDIR) to ensure the safe and reliable
operation of spacecraft has become an indispensable content of spacecraft.
The concept of hierarchical FDIR was proposed by R. Gessner of EADS-Astrium
[3], which was extracted and summarized from the experience of multiple projects of
ESA. In China’s satellite design, satellite safe mode has become an important method,
but the concept of systematic and hierarchical FDIR design has not yet been formed.
Based on the project experience of remote sensing satellite of CAST2000 platform, this
paper elaborates the design concept of hierarchical FDIR of satellite. Through the
centralized management at system level, autonomous disposal at subsystem level and
redundant design of equipment level, it optimizes the parameters of software and
hardware design of satellite FDIR and realizes the FDIR architecture at satellite system
level.
2 Overview of Fault Detection, Isolation,

and Recovery (FDIR)
FDIR is an important function of spacecraft autonomous management, which is real-

ized from the system level to each sub-system, so as to achieve a higher level of
autonomous management.
FDIR means fault detection, isolation and recovery. In common design, in order to
ensure the reliability of the in-orbit work of the satellite, engineers consider both the
redundancy design and the safety of the satellite operation. The design of improving the
in-orbit viability and reliability of the satellite could reduce the impact of the fault on
the performance of satellite and guarantee the service life of the satellite. The safety
design is based on the reliability design, aiming at the failure which can not be
eliminated, ensuring the failure diffusion and avoiding the impact on the performance
of the satellite. The design of FDIR is the main aspect of satellite safety design, which
is mainly aimed at building a work mode of autonomous fault processing by the
satellite during the in-orbit operation.
2.1 Fault Detection and Isolation

The main part of fault detection is the on-board computer (satellite housekeeping
computer and sub-computers), which is used for fault judgment based on the telemetry
range of pre-set fault [4, 5].
The main part of fault isolation is also the on-board computer. The diagnosis
algorithm and isolation measures are all stored in the on-board computer. In order to
identify the satellite fault accurately and on time, the on-board computer software
collects data and carries out comparison periodically. At the same time, according to
the pre-designed strategy, the fault is isolated through the independent operation of
satellite housekeeping computers and sub-computers to ensure the safety of satellite.
262 X. Jia et al.
2.2 Fault Recovery

When autonomously identifies fault, the satellite will deal with the fault according to
the pre-designed fault isolation and recovery strategy. Generally speaking, when the
failure affecting the satellite at system level occurs, the on-board computer will switch
on backup of hardware according to the relevant criterion algorithm and restore the
preset related parameters. When the failure affect in lower level (subsystem or unit
level), the method is introducing backup data by software or switching to backup
hardware in unit level or subsystem level to ensure the normal operation of the system
through corresponding error correction. The overall goal is to ensure the reliable
operation of the satellite by not reducing the system performance after fault recovery.
2.3 Fault Classification

The basis of FDIR and the fault it detects should be the result of FMEA (Failure Mode
and Effects Analysis). The unit/subsystem level FDIR solution can be obtained from
the unit/subsystem level FMEA, and the system level FDIR solution can be obtained
from the system level FMEA result. The SSO satellite has the characteristics of battery
discharge in each cycle and can’t enter the visible arc in multiple cycles. Therefore,
various in-orbit faults are classified as follows according to the damage grade of
different faults to satellite, Classification of in-orbit faults is as follows:
• Level I: When the equipment relating to satellite energy failure, will directly affect
the satellite energy safe and in-orbit survival ability, this kind of fault is defined as
level I.
• Level II: When a satellite from normal mode to abnormal operating mode, lead to
payload cannot work normally, this kind of fault is defined as level II.
• Level III: Because some equipment fails in-orbit, only cause local temporary loss of
function, but does not affect the safe of the entire satellite, this kind of fault is
defined as level III.
3 FDIR Design Process
The article [3] shows the design flow of ESA. The Fig. 1 shows the design flow of
CAST2000 satellite. This figure based on the ESA design flow and mixed the typical
CAST develop phase. The main flow is similar. Our design flow focuses on project
development instead of study or science experiment. Also for project, we emphasis
heritage, so the study phase is simplified to mission analysis phase. In this phase, we
should identify a basis heritage project and technical status changes. For the second
phase, instead of ESA definition phase, we define design phase including preliminary
design and critical design. The develop and test phase is for the FDIR implementation
and test in different levels. In orbit phase, we have same FDIR activity as ESA.
Mission analysis phase: according to the mission requirements, the requirements of
autonomous satellite processing and the preliminary FDIR requirements at the system
level are proposed.
Fig. 1. Hierarchical FDIR develop flowchart
Design phase: complete the development requirements of FDIR, analysis of FDIR

and detailed design of FDIR implementation through FMEA, available software and
hardware resources.
Development and testing phase: complete software and hardware implementation
of FDIR, finish the FDIR test at sub-system testing and system level.
The develop flow chart of hierarchical FDIR is as follows:
In whole process, the first step is making the FDIR development requirement which
includes mission/system level constrains, mission definition, failure categories and
FMEA (Failure mode and effect analysis). The most important work is FMEA. The
method is identifying the object of FDIR by subsystem/unit level FMEA and making
the design requirements to software/hardware.
The tools used in FDIR are basically from ECSS, including classification of system
failure categories, definition of probability of occurrence and FMEA methods.
From ECSS [6], the classification of system failure categories and definition of
probability of occurrence are shown as following. Following failure categories are
defined based on the effects of the failure on mission Likely hood of failures are
categorized into five levels of probability from extremely unlikely to very likely. The
level of probability is determined considering the mode of failure, components involved
and operating environment (Tables 1 and 2).
Table 1. Severity category of system level analysis

Failure category Severity Failure effect
I Catastrophic Loss of the spacecraft, or seriously damaged
II Critical Loss of one or more major functions of the satellite
III Major Minor degradation of a subsystem function
IV Negligible No effect
264 X. Jia et al.
Table 2. Definition of probability of occurrence

Possibility Definition
A Very likely
B Medium likely
C Likely
D Unlikely
E Extremely unlikely
The second step is FDIR analysis, which including system failure handling strat-
egy, subsystem/unit level failure list based on FMEA, design of system and
subsystem/unit interface, software design. The main work is close-loop the FMEA
result by FDIR analysis. The following table shows the example of unit level FMEA
and its FDIR requirement to system level (Table 3).
Table 3. FMEA result

S. Unit/item Failure Failure Failure effect Criticality Observable Preventive/compensatory
No. mode causes level/occurrence symptoms measures and remarks
possibility
1 Unit Unit Component Redundancy No III/D Communication OBC FDIR Automatic
function failure loss failure between unit Operation
failure and OBC Ground OBC will Switch from unit
OR Unit TT&C would could to redundant unit
DC/DC receive all TMs Tele-command Operation
converter packet except this TC can be used to switch
failure unit to redundant unit
The FDIR analysis is to ensure the compensatory measures could be implementing

by different level. The redundant design should be done by unit hardware and relative
interface (TM, TC and power). The communication failure criterion should be designed
in OBC software and OBC has the strategy to switch from unit to redundant unit. All of
these requirements should be delivered to different designers. This is the basic flow of
hierarchical FDIR.
4 Hierarchical FDIR Design
4.1 Typical FDIR Levels

Hierarchical FDIR design in satellite is from top to bottom with four layers [3], the
break down is shown in Fig. 2. This figure shows the actual project design for hier-
archical FDIR application.
• Level 4 (Top) is satellite safe mode layer which is controlled OBC (onboard
computer). The satellite enters the safe mode, and at the same time, the system
reconstruction is realized, that is, each subsystem is switched to the corresponding
mode.
• Level 3 is system handling layer, that is, when subsystem fails and being judged by
the onboard computer, the fault subsystem is disposed. So that the subsystem is
restored to normal without affecting the whole satellite mission.
• Level 2 is subsystem handling layer, that is, when fault occurs under subsystem
level and the subsystem (sub-computer) independently judges, the fault processing
is completed within the subsystem, without affecting the subsystem functions.
• Level 1 (Bottom) is unit handling layer, that is, when unit (software/hardware)
autonomous judge fault occurring, and the fault processing is completed within the
unit, so that the unit can recovery without affecting the unit function.
Fig. 2. FDIR hierarchical breakdown
Each FDIR layer has specific definition of I/O interface. The input interface is the
alarm symbol or specific TMs of lower layer. The output interface has two kinds: one is
sending the alarm symbol or specific TMs upper layer, the other one is sending tele-
command to lower layer (switch off payload or switch to redundant unit, etc.).
4.2 Typical FDIR Measures
Redundant Design. FDIR function at unit level is commonly used as redundant

design. Hot redundant is the main measure at unit level. the advantage of hot redundant
is not affecting the unit function. Cold redundant is the measure which needs the
external inferior, like upper layer FDIR. Typical redundant design is (Table 4):
Table 4. Redundancy design of Power supply subsystem

Unit/Module Redundant design FDIR
DC/DC Hot redundant Unit/Module level
Battery Hot redundant Unit/Module level
Shunting regulator Hot redundant Unit/Module level
Sub-computer Cold redundant System level
EED Hot redundant Unit/Module level
266 X. Jia et al.
One advantage of cold redundant is the saving of power energy. So in CAST2000

platform, all sub-computers are designed as cold redundant and the FDIR design
ensures OBC could switch sub-computers from main to redundant. The strategy is
OBC could detect CAN bus communication with each sub-computer, when the com-
munication failure accumulate to a set threshold.
Compared to cold redundant, hot redundant design could save TMs and TCs
resources and be more intelligent inside unit. Unit intelligent design is better for higher
levels which could release more space to management high level FDIR.
Safe Mode. For the serious failure which could affect the satellite safety, like battery
discharge voltage abnormal, attitude abnormal, satellite must automatically handle it as
soon as possible. The basic rule is make sure the satellite has enough power energy,
stable attitude, maintain the link between satellite and ground control station (Fig. 3).
Fig. 3. Flow chart of typical safety mechanism
Health Status Monitor. OBC is the core unit of FDIR. In order to detect fault as soon
as possible, the OBC could monitor the system and subsystem by check the “health
status symbol” of each subsystem. The health status monitor is designed as hierarchical
design: lower level generates health status symbol to upper layer. OBC is on the top
layer and monitor the whole satellite health status (Table 5).
Table 5. Design of health symbol in safety mechanism

Parameter1 Parameter2 Parameter3 Parameter4
Subsystem1 Health Enable/disable Fault Relative recovery
status trigger commands sending
symbol1 counters counters
Subsystem2 Health Enable/disable Fault Relative recovery
status trigger commands sending
symbol2 counters counters
…… …… …… …… ……
5 Conclusions and Prospect
This paper gives an example of hierarchical FDIR application and improvement on

small satellite. The hierarchical FDIR improves FDIR design by close loop the FMEA
result. The structure of “from top to bottom” ensures the FDIR covers all compensatory
measures from FMEA. The four layers FDIR structure uses on board resources
effectively. The next step of hierarchical FDIR is to analysis fault and makes the
recovery strategy by artificial intelligence.
References
1. Rabenau, E. et al.: Mars express mission planning – expanding the flight box in flight. In:
SpaceOps2010 Conference, Huntsville, USA, 25–30 April 2010
2. Yang, W.: A control model for satellite orbit maintenance. Chin. Space Sci. Technol. 1, 11–15
(2001)
3. Gessner, R., et al.: Hierarchical FDIR Concepts in S/C Systems [EB/OL]. http://arc.aiaa.org,
https://doi.org/10.2514/6.2004-433-249
4. Lang, L.E., et al.: Research and design of FDIR techniques for satellite avionics. Comput.
Eng. Des. 35, pp. 2607–2611 (2014)
5. Jiang, L., et al.: Fault Detection, isolation and recovery design for micro-satellites. In: 2016
Sixth International Conference on Instrumentation & Measurement, Computer, Communi-
cation and Control, Harbin, China, 21–23 July 2016
6. Schmidt, M., et al.: The ECSS Standard on Space Segment Operability. SpaceOps2004,
Montreal, Canada (2004)
Research on Spacecraft Network Protocol
Based on Space Packet
Wei E.(&), Zhengwen He, and Ning Zhao

5865800@qq.com
Abstract. This paper proposed a research on spacecraft and intra-spacecraft

network protocol based on space packet protocol, and application efficiency
improvement are studied. This paper analyzes the architecture, the characteris-
tics and the addressing mechanism of space packet protocol. Based on standard
space-borne interface service and space internet protocol, it discusses the
method of interaction between space packet protocol and on-board subnet, space
subnet and application support layer. It puts forward the extended definition of
space packet format, constructs the application scenario of space packet protocol
in satellite networks, promotes the standardization of inter-satellite, satellite-
earth, intra-satellite protocols, and promotes the integration of resources between
different fields.
Keywords: Spacecraft network protocol Space packet protocol

Application support layer
1 Introduction
With the wide application of space technology and the diversification of spacecraft
functions, space communication has evolved from spacecraft-ground to inter-satellite
links. The information exchange relationship within and between the spacecraft is
increasingly complicated. The unified information network service requires the multi-
spacecraft, multi-application process in spacecraft, and multi-user task coordination. It
requires integrated network communication among devices to provide reliable opera-
tion and management for the integrated network [1]. For this reason, CCSDS has
extracted the concepts of sub-package telemetry (TM), sub-package remote control
(TC) and advanced on-orbit system package (AOS). The latest research results in this
area is standard space packet protocol (SPP), it solved the limitation that packet uti-
lization standard (PUS). The PUS service is too closely related to TM and TC, only
focused on satellite-earth link interaction [2]. The SPP can enable space missions to
efficiently transmit space application data with different types of characteristics in a
network including satellite-ground and inter-satellite links, and can realize intercon-
nection and intercommunication between spacecraft and spacecraft under CCSDS
standards.
This paper studies the application of space packet protocol, explores and proposes data
exchange strategies among satellite, earth, inter-satellite and intra-satellite information

https://doi.org/10.1007/978-981-13-7123-3_32
Research on Spacecraft Network Protocol Based on Space Packet 269
nodes, which is helpful to promote the unification of protocol and information sharing,
promote the integration of resources in various fields, and improve the space application
capability and efficiency.
2 The Concept of Space Packet Protocol
2.1 Architecture
In the traditional spacecraft on-board data network, space packet protocol is located at
the network layer. The subnet protocol only includes the on-board subnet protocol,
which uses packet service, memory access service, equipment discovery service, etc. to
realize SOIS data service, uses the convergence sublayer to realize the mapping
between data link and data service, and uses 1553B, space wire and other on-board
subnet protocols to realize the data link layer and physical layer. With the joining of
intra-satellite links, the subnet protocol is extended to UDP/IP and other internet
protocols. As the carrier of asynchronous message transmission and other services in
the application support layer, the space packet protocol can realize the subscription and
distribution of messages in the space internet and on-board equipment networks.
The interaction process of space packets in the network is shown in Fig. 1. The path
from the source to one or more destination through the subnet is called the logical data
path (LDP) [8]. The path id, including the source, the terminal and one or more subnets,
authenticates each LDP uniquely. When the application data passes through the LDP
subnet, the protocol provided by the subnet layer is used. The accessor carries the
subnet when the path is inside the spacecraft and accesses the space subnet when the
path passes through the space internet. The protocols used in the on-board subnetwork
and the space subnetwork are independent of each other, and the logical data paths
between the subnetworks can be configured and implemented through the management
system to map the relationships between the protocols.
Fig. 1. Space packet interaction process

270 W. E. et al.
2.2 Protocol Characteristics

The protocol data unit used by the space packet protocol is a space packet. Except that
the packet header is mandatory, including the packet version number, the packet
identification domain, the packet sequence control domain, and the packet data length.
The user application process rather than the lower subnet transmission mechanism
completely determines the contents of the space packet secondary header and the data
domain. However, if different users define different package contents, when sharing
information among users, they must learn the package formats of other users and
provide interactive support operation methods.
2.3 Addressing Mechanism

The space packet main header only contains the application process identifier (APID)
as the path identifier, and only the 16 - bit APID can be used as the address identifier
for data routing within the spacecraft. However, when transmitting in the space subnet,
the limitation of the value range of the APID will be highlighted. Therefore, the space
package protocol establishes an APID naming domain for each spacecraft. Every APID
is unique only in one spacecraft and can be defined repeatedly among the different
spacecraft. The lower subnet protocol determines the value of the APID naming
domain. If the IP protocol is used as the protocol of the space subnet, the IP address can
be used as the APID naming domain. If the AOS link protocol is used, the main
channel identifier consisting of the transmission frame version number and the
spacecraft identifier can be used as the APID naming domain.
APID is used as the addressing mark of the LAN in the satellite, while the APID
naming domain expands the address range of the user application process in the
integrated network. Because space packets are transmitted in one direction, APID can
subscribe, publish, and identify application messages between on-board devices,
between different spacecraft, and between the ground and spacecraft. However, the
subnet protocol is not necessarily unidirectional, so when the user application process
initiates the message transmission between subnets, the destination address must be
mapped according to the configuration information.
3 Space Packet Protocol Application Method
Due to the development process, PCM remote control system and CCSDS standard
remote control space link protocol [9] are mainly used in the uplink of spacecraft space-
to-ground links, AOS [10] is mainly used in the spacecraf-ground to inter-satellite
links, and the adjacent space link protocol is being preliminarily applied. The internal
communication bus of the spacecraft also presents diversified development trends,
including 1553B bus and CAN bus at low speed, 1394 bus, SpaceWire bus and
Ethernet bus at high speed. When different spacecrafts interoperate or share informa-
tion, space packet protocol, as a protocol data unit with the smallest granularity, has the
advantages of good compatibility with various protocols, small resource overhead and
flexible customization, and can assume the responsibility of generalization of interfaces
between spacecraft in various fields. The following analyzes and illustrates the appli-
cation methods of space packet protocol from the perspective of compatibility between
different layers of space packet protocol and network architecture.
3.1 Interaction with Onboard Subnets

The on-board subnet provides a set of entities defined by SOIS for supporting the
network layer’s space packet protocol and the application support layer, including the
data service sublayer, the convergence sublayer, the data link layer and the physical
layer. The packet service of the data service sub-layer can provide the transmission
function of the space packet through the aggregation sub-layer. The aggregation sub-
layer completes the analysis and conversion of user process identification APID to the
specific address of the data link in the space packet, and carries out the communication
between the sub-network nodes through the data link layer and the physical layer.
When designing the information-flow of spacecraft, the scope of APID should be
divided according to the structural characteristics of spacecraft in different fields. When
the spacecraft routes space packets, it can map to different terminal addresses according
to the value of APID, thus realizing the correspondence between APID and application
process in the terminal.
The main head of a space packet is used to distinguish between a space packet and a
remote control packet based on a packet type. However, with the development of
intelligent spacecraft, the space packet type in satellite is no longer limited to remote
sensing and control, and various types of payload data or user data appeared. The logical
path direction, data domain format, and the processing method of different packet types
are quite different. Therefore, it is necessary to add a packet type extension field to
represent different data types together with the packet type field in the main header.
There are two implementations for the packet type extension field, one is to occupy the
high position of the APID, and the other is to define it in the secondary header. It is more
reasonable to define the packet type extension domain in the secondary header. In order
to comply with the agreement of the advanced on-orbit data system, the packet type is
expanded as 4 bits high and the packet type as 1 bit low, forming a packet type field of
5 bits. The reserved value of ‘00000’ represents the TM packet, while ‘00001’ repre-
sents the TC packet, providing (25–1) extended identifiers for other data types in the
spacecraft for identifying remote sensing image data, autonomous navigation data,
asynchronous message management data, etc. The definition of the main header of the
transmitted space packet in the on-board subnet is shown in the following Fig. 2.
Fig. 2. Packet header format

272 W. E. et al.
3.2 Interaction with Space Subnets

The space packet protocol uses APID to perform simple network topology routing in
the satellite. In the space internet scene, the space packet protocol uses the naming
domain in the space subnet protocol to address complex networks. No matter using
IPoC or DTN technology, when the source system of spacecraft A initiates message
transmission to the terminal system of spacecraft B, it is necessary to specify not only
the application process identification and data type of the terminal system, but also the
address of the terminal system in the network. For the source system, the address may
be generated by the registration and subscription managers in the asynchronous mes-
saging service, or it may be due to customized heartbeat data or collaboration data
conventions between spacecraft constellations.
However, when spacecraft nodes of various TC and TM systems are interconnected
with ground nodes, the mapping between named domains becomes extremely difficult.
The PCM TC system, TM link protocol and AOS TM protocol adopted in low-speed
satellite-ground link do not contain destination address identification. Increasing IP and
other network layer protocol fields under the limited satellite-ground link channel rate
will result in increased encapsulation overhead. In order to connect the low-speed link
with the high-speed link, the method of storing a copy of the named domain in the
secondary header of the space packet can be used. Each space packet stores the network
destination address in the secondary header. When the link without the network layer
and the link with the network layer carry out packet relay, the named domain in the
secondary header is used for routing and mapping. When the link with the network
layer carries out packet relay, the named domain of the network layer is directly used
for routing.
For the selection of the named domain, in order to realize forward compatibility, the
communication link of the traditional measurement and control system uses SCID as
the named domain, and the high-speed communication link uses IP address as the
named domain. When relaying between the low-speed link and the high-speed link, the
control center constructs and manages the mapping relationship between SCID and IP
address. However, in the era of space internet, the 8-bit spacecraft identification SCID
is far from meeting the needs of network addressing. On the premise of not changing
the SCID field definition, the 4-bit spacecraft type extension field can be added to the
secondary pilot to solve the dilemma.
It should be pointed out that when the spacecraft uses the time-triggered Ethernet
bus, each device of the spacecraft will have an independent IP address, and each device
will form a sub-network on the device, while each device will form a space sub-
network, and each device will become a network node in the space internet. The data
domain of the space packet encapsulated in the IP packet carries out message trans-
mission inside and between the spacecrafts. If the space packet is transmitted inside the
spacecraft, the source address and the destination address in the packet sub-header are
filled into the satellite, and the mapping between the APID and the IP address realizes
the intra-satellite routing.
The secondary leader after adding the network layer addressing copy is shown in
Fig. 3. The contents of the packet sub-header are specified by the source end user of
each path id and notified to the end user through asynchronous message service.
Fig. 3. Package sub-header format
3.3 Interaction with the Application Support Layer

In the application support layer, space packets can be used as service carriers regardless
of command and data acquisition service, time access service, file and packet storage
service, message transmission service, and device enumeration service.
Command and data acquisition service uses TC space package and TM space
package to register the analog quantity, temperature quantity and subset of command
transmission of the equipment with APID. The application program only needs to
access the data domain of the space package in device data pool service according to
the configuration information, and does not need to care about the physical location
information of the device. The on-board network layer automatically initiates the
routing of space packets in the on-board subnetwork and the space subnetwork, and
converts the on-board subnetwork into communication with the destination terminal.
The file and package storage service enables users to access storage areas across
devices or spacecraft according to LDP paths. When the spacecraft adds equipment, the
equipment enumeration service allocates the global virtual equipment identification to
provide mapping between the virtual equipment identification and the APID. When the
equipment is revoked, the relevant application process identification in the equipment is
deleted at the same time.
The asynchronous message service (AMS) provides a complete set of registration
and management mechanism for the transmission of various types of space packets in
space- ground integrated network. When an application process node wants to join the
network, it first obtains the registrar’s address in the spacecraft from the configuration
server and registers the APID and the APID named domain with the registrar. The
registrar updates its member information and informs the configuration server, regis-
trars of other spacecraft in the inter-satellite network, and other application process
nodes of the spacecraft of the access address of the application process. Other appli-
cation process nodes notify their own access information to the new node. At this point,
the new application process can learn the addresses of any devices in the on-board
subnet and the inter-satellite subnet, thus completing the invitation, transmission, group
sending, subscription and publishing operations based on APID and its named domain
addressing.
274 W. E. et al.
4 Verification
The global navigation system is composed of dozens of satellites, which often have
inter-satellite communication links, and can measure and control all satellites through
limited ground stations. For remote sensing satellites, a limited number of ground
stations means a limited observation time, because remote sensing satellites generally
do not need to form constellations. The spacecraft network protocol based on space
package proposed in this paper can enable remote sensing satellites, navigation satel-
lites and ground stations to support each other at the network layer of the spacecraft
network, thus enabling all kinds of satellites to cooperate with each other and give play
to their respective advantages (Fig. 4).
Fig. 4. Space packet protocol application
When the ground user initiates the TC operation of the spacecraft, any satellite node
can be selected to inject the TC space package according to the visibility. The earth-
visible satellite node extracts the space packet APID naming domain, selects the link
network to route to the destination node according to the space internet network layer
protocol, the destination node identifies the space packet APID, searches for corre-
sponding equipment through an addressing mechanism, transmits the equipment-borne
subnet to the terminal system, and executes the instruction unit in the space packet by
the application process in the terminal system.
When the remote sensing satellite and navigation satellite work together, the
spacecraft and gateway learn the APID naming domain of service providers and service
requestors through asynchronous message transmission services to form address
routing tables in configuration servers, registrants, and nodes. At the same time, service
demanders need to bind the auxiliary guide of the space package and the analysis rules
of the data domain generated by the service provider’s application process.
5 Summary and Suggestions
The network protocol based on space packet proposed in this paper will inevitably
become the basis of interactive support in future space-based networks due to its small
field overhead, strong scalability, good compatibility with link protocols at various
stages, and taking into account the characteristics of low-speed and high-speed link
performance. Due to the flexible application of the space packet protocol, there are
differences in the current use methods in various models. This paper starts with the
application methods of the space packet protocol, makes clear the characteristics and
the addressing mechanism of the space packet protocol, and studies the interaction
methods between the space packet protocol and the carrier subnet, the space subnet and
the application support layer. It is suggested that in future spacecraft design in various
fields, the space packet protocol should be adopted to construct the integration network
interoperability model of space and ground to achieve the goal of resource integration
and interactive support among different types of spacecraft.
References
1. Zhao, H.: Building an intelligent and easy way for spacecraft with integrated electronic
technology. Spacecraft Eng. 24(6), 1–6 (2015)
2. Merri, M., Cooper, S.: What has CCSDS SM&C to do with ECSS PUS? In: SpaceOps 2010
Conference (2010)
3. Zhang, Q., Guo, J., et al.: Space data system. China science and technology publishing
house, p. 118, July 2016
4. He, X.W., Zhu, J., et al.: Application method of spaceborne standard interface service in
spacecraft. Spacecraft Eng. 24(6), 52–58 (2015)
5. CCSDS713.0-B-1 Space Communication Protocol Specification (SCPS)-network protocol
(SCPS-NP). Washington DC: CCSDS (1999)
6. CCSDS 702.1-B-1. IP over CCSDS Space Links. Washington D.C.: CCSDS (2012)
7. Scott, K.,Burleigh, S.: Bundle protocol specification [EB/OL], 15 November 2015. http://
tools.ietf.org/html/rfc5050
8. CCSDS 133.0-B-1 SPACE PACKET PROTOCOL. Washington D.C.: CCSDS (2003)
9. CCSDS 232.0-B-3 TC space data link protocol. Washington D.C.: CCSDS (2015)
10. CCSDS 732.0-B-3 AOS space data link protocol. Washington D.C.: CCSDS (2015)
Research on Instrument Requirements
and Configuration for High Resolution
Infrared Observations
Qianying Wang(&), Fan Mo, and Quan Jing

bitwqy@163.com
Abstract. High resolution infrared remote sensing can realize all-day, non-
contact, high-precision temperature measurement such as the atmosphere, water
and other objects, which is an important means of environmental monitoring and
resource detection. But High-resolution infrared data are relatively scarce data
sources, especially thermal infrared. This paper introduces the research on
instrument requirements and configuration for high resolution infrared obser-
vations. By using large aperture and integrated optical system combined with
linear push broom, high resolution multi-spectral imaging can be realized which
covers multiple detection channels from visible light, short wave infrared, mid-
wave infrared and long wave infrared spectral bands, and remote sensing data
with a panchromatic resolution better than 1 m and an infrared resolution better
than 5 m can be obtained, which can serve environmental protection, mineral
exploration, and urban remote sensing after ground processing. Through the
research in this paper, it provides a reference for the design and engineering of
high resolution infrared payload.
Keywords: High resolution Thermal infrared Payload configuration
1 Introduction
High-resolution mid-wave and long wave infrared data are relatively scarce data
sources. In the field of terrestrial observation in China, most of the payloads are limited
in some applications such as environmental protection, mineral exploration, and urban
remote sensing due to the lack of infrared spectrum, especially the long-wave infrared
spectrum. The spatial resolution of ASTER short-wave and long-wave infrared
developed by Japan is 30 m and 90 m respectively, which is one of the sources of our
infrared data, but the payload has been invalidated. In this paper, the concept of high-
resolution from visible light to thermal infrared multi-spectral integrated camera pay-
load is proposed from the perspective of Instrument Characteristics.

https://doi.org/10.1007/978-981-13-7123-3_33
Research on Instrument Requirements and Configuration 277
2 Instrument Requirements
This chapter analyzes the basic spatial resolution, swath, spectral bands and accuracy
requirements from the application in environmental protection, mineral exploration,
urban remote sensing and other fields.
2.1 Spatial Resolution

In the aspect of environmental protection [1], the infrared spectrum, especially the mid-
wave and long wave spectrum segment, has a spatial resolution of 5 m, and can
monitor cooling tower of large power plant, most of the hot pollution drainage and
warm drainage, and urban black and odorous water. For example, most of the cooling
tower tops are 15 m in diameter and need 3 pixels to distinguish. Most black and
odorous water have a width of 15 m. It requires 3 pixels to distinguish. The diameter of
the Smokestack is 5 m, which need panchromatic image to support identification. In
the aspect of mineral exploration, the basic geological remote sensing survey and the
1:50000 scale geological mapping require a spatial resolution of 6 m. In terms of urban
environmental monitoring, targets such as buildings and urban facilities are small and
require high resolution. When the resolution is 10 m, the thermal structure of roads,
small gardens, buildings and other facilities can be distinguished. When the resolution
is lower, a single pixel is fused with too much detail information, which cannot meet
the refined application of urban remote sensing. In summary, the infrared resolution of
5 m can meet the needs of most applications. At the same time, some applications
require a high-resolution panchromatic image that is better than 1 m.
2.2 Swath
The imaging swath is mainly designed to meet the needs of fast revisiting and global
coverage. For high-resolution payloads, the width is limited by the detector, and it is
generally difficult to achieve a large swath.
Among the international mainstream of the same type of payload, the MTI which
has the same resolution has a swath of only 12 km, and the Worldview-3 with a short-
wave resolution of 3.7 m is only 13.1 km wide. Among the low and medium resolution
satellites, Landsat-8 has a swath of 185 km, but its corresponding short-wavelength and
long-wavelength infrared spectrum resolution is only 30 m/100 m. ASTER has a swath
of only 30 km when the short-wavelength infrared spectrum resolution is 30 m and the
long-wavelength infrared spectrum resolution is 90 m.
For urban black and odorous water, straw burning, the warm water discharge in
nuclear power plant, evaluation of urban heat island effect and other applications, since
the target scale is relatively small, the 30 km imaging swath capability can meet the
requirements, which can cover monitoring targets and sensitive areas of the sur-
rounding environment. However, for large inland water bodies such as Taihu Lake,
large-scale monitoring areas such as nature reserves, they require large-scale obser-
vations superior to 100 km.
278 Q. Wang et al.
2.3 Spectral Bands

It is necessary to adopt visible and near infrared spectrum to realize aerosol optical
thickness monitoring, use mid-wave infrared spectrum to realize monitoring of fire
points such as straw burning, use thermal infrared spectrum to realize normal tem-
perature target and high temperature gas monitoring. In the aspect of water environ-
ment monitoring, it is necessary to adopt the visible and near infrared spectrum to
realize the monitoring of black and odorous water and the water bloom monitoring, and
the thermal infrared spectrum to realize the thermal pollution of water bodies and the
monitoring of nighttime sewage discharge [2]. In the aspect of ecological environment
monitoring, it is necessary to adopt visible and near infrared spectrum to realize
vegetation monitoring, use short-wave infrared spectrum to realize atmospheric cor-
rection and vegetation/soil moisture monitoring, use thermal infrared band to realize
nature reserve monitoring and drought monitoring.
In mineral exploration, it is necessary to use short-wave infrared and long-wave
infrared spectrum to realize the characteristic spectrum monitoring of minerals.
In the aspect of urban environmental monitoring, the visible and near infrared
spectrum is used to realize land cover classification and sewage treatment facility
identification. The long wave infrared spectrum is used to monitor land surface tem-
perature, water temperature and urban heat island effect.
2.4 Accuracy
The distribution of surface temperature is an important research object in the fields of
environmental monitoring, urban heat island, vegetation ecology, etc. It is also an
important parameter in remote sensing models such as surface flux, soil moisture
content and crop estimation. According to the research of application requirements, the
accuracy of surface temperature inversion is better than 1K.
3 Spectral Bands Configuration
3.1 From Visible Spectrum to Mid-Wave Infrared Spectrum

For the visible light to medium-wave infrared spectrum, the atmospheric transmittance
curve is shown below (see Fig. 1). It can be seen from the figure that the ground
observation spectrum is mainly concentrated in three spectral segments of 300 nm–
1300 nm, 1300 nm–2500 nm and 3500 nm–5000 nm. The wavelength range from
0.3 lm to 1.3 lm includes all visible light bands, partial ultraviolet bands and some
near-infrared bands. The wavelength range from 1.3 lm to 2.5 lm belongs to short-
wave infrared. The atmospheric transmittance between the wavelength range from
1.55 lm to 1.75 lm is high, and it is mainly used for remote sensing during the
daytime. The wavelength range from 3.5 lm to 5 lm belongs to the mid-wave
infrared, and the atmospheric transmittance is 0.6–0.7. This band mainly includes the
reflection and emission spectrum of the ground object, and the detectable temperature
range is relatively wide, which can be used to detect high temperature targets such as
fire and high temperature pollution sources.
Fig. 1. Atmospheric spectral transmittance curve from visible to mid-wave infrared.
In the visible/near-infrared spectrum configuration of the payload, some relatively

common spectral bands which include one panchromatic spectral band and four mul-
tispectral bands, which is 0.450–0.900 lm, 0.520–0.590 lm, 0.630–0.690 lm, 0.770–
0.890 lm.
The short-wave infrared spectrum is mainly used for the identification of iron
oxides and hydroxides, minerals which contain Al-OH, and minerals which contain
Mg-OH. The spectral range is referred to the SWIR5*SWIR8 in WorldView-3, which
is 2.145–2.185 lm, 2.185–2.225 lm, 2.235–2.285 lm, 2.295–2.365 lm.
The mid-wave infrared spectrum is mainly used to monitor the surface high
temperature fire point target. Generally, the temperature of the forest fire is as high as
300–800 °C, the peak wavelength of the forest fire is generally 3–5 lm. Finally, one
spectral band is arranged which is 3.5 lm–4.1 lm.
3.2 Thermal Infrared Spectrum

In order to obtain surface radiation information, the band configuration in thermal
infrared spectrum focuses on two aspects: atmospheric absorption and surface emis-
sivity. For atmospheric absorption, the thermal infrared band should be in the band of
the highest atmospheric transmittance because the atmospheric effect is the lowest in
this case, and the atmospheric water vapor is the main component of atmospheric
absorption. The figure below (see Fig. 2) shows the atmospheric permeability of the
mid-latitude summer standard atmosphere with an atmospheric water vapor content of
2 g/cm2.
The transmittance values vary with changes in atmospheric water content, but the
shape of the spectra remains similar, so the analysis described below is also valid for
other atmospheric profile information. Based on this spectrum, two different atmo-
spheric windows can be identified: one is a window of 8 to 9.4 lm and the other is
approximately 10 to 12.5 lm. Therefore, the thermal infrared band for surface tem-
perature inversion should be located in these two atmospheric windows [3].
In addition, the following figure also shows that the highest atmospheric trans-
mittance is between 10.5 and 11 lm, so a thermal infrared band should be set up in this
area only considering atmospheric transmittance information.
Because the thermal infrared signal is not only affected by atmospheric absorption
but also by the surface emissivity, the best spectral range for obtaining accurate surface
280 Q. Wang et al.
Fig. 2. Mid-latitude summer atmospheric transmittance of atmospheric water content of 2 g/cm2
temperature should have the highest emissivity for most natural surfaces. The emis-
sivity value between 8 and 10 lm is relatively low, and the volatility is also higher than
the value of the 10 to 13 lm interval [4].
In summary, the atmospheric window of the main infrared observation in the
thermal infrared band is mainly 8–9.4 lm and 10–12.5 lm. These two windows are the
most concentrated bands of thermal radiation energy at room temperature. The
detection information mainly reflects the emissivity and temperature characteristics of
the ground objects. Among them, the window has a high atmospheric transmittance and
a higher surface emissivity in the 10–12.5 lm window.
Long-wave infrared data needs to be inverted to obtain the surface temperature and
emissivity information required for the application. The accuracy of different inversion
methods is different. There are three commonly used surface temperature inversion
methods. One is single-channel algorithm (SC) which only contains one thermal
infrared channel, the other is dual channel algorithm or split window algorithm
(SW) which requires two thermal infrared channels, the third is temperature and
emissivity separation algorithm (TES) which requires multiple thermal infrared bands,
at least three or four thermal infrared bands.
Through the configuration of multiple thermal infrared spectral bands, the tem-
perature emissivity separation algorithm can be used to simultaneously invert the
surface temperature and emissivity. For example, the TES algorithm is proposed for
ASTER data. The ASTER sensor has five thermal infrared spectral bands, so we can
learn from ASTER’s thermal infrared spectrum configuration and add two variations to
improve the ASTER configuration [5]. First of all, The spectrum around 8.3 lm is not
considered because of the atmospheric effects. Second, The spectral segment located at
11.3 lm is placed with 12 lm, and the spectral segment of 10.6 lm is combined to use
the split window algorithm, since the 13 and 14 spectral bands of ASTER are too close
to fit the split window algorithm.
In summary, the thermal infrared is configured with four spectral bands which are
8.475–8.825 lm, 8.925–9.275 lm, 10.3–11.3 lm, and 11.5–12.5 lm.
3.3 Atmospheric Correction Spectrum

In the thermal infrared remote sensing surface temperature inversion, water vapor is an
important input parameter, which affects the inversion accuracy of surface temperature.
Among them, the inversion of atmospheric water vapor by the absorption of water
vapor in the 0.94 lm band has high precision and is widely used in inversion of
atmospheric water vapor in satellite remote sensing.
By using atmospheric radiation transport model MODTRAN to simulate the
change of atmospheric water vapor transmission rate with wavelength in mid-latitude
summer, we found that the transmittances in the range of 0.84–0.88 lm, 1.00–1.07 lm
and 1.22–1.26 lm are close to 1, which is the transmission band of atmospheric water
vapor, and 0.89–0.99 lm is the atmospheric water vapor absorption band. Tak-
ing MODIS data as an example, band 2 (0.84–0.885 lm) and band 5 (1.23–1.25 lm)
are atmospheric window channels, band 17 (0.890–0.920 lm), band18 (0.931–
0.941 lm) and band 19(0.915–0.965 lm) are absorbs channels for the atmosphere.
Combining the current international mainstream infrared multispectral payload
configuration and water vapor transmission rate curve, four spectral bands of 0.845–
0.885 lm, 0.89–0.92 lm, 0.931–0.941 lm and 0.915–0.965 lm were selected for the
near-infrared spectrum of water vapor inversion, two short-wavelength infrared spectral
bands of 1.36–1.39 lm and 1.56–1.66 lm are selected for detection and identification
of thin clouds, thick clouds and snow.
3.4 Spectral Bands Configuration Results

In summary, the payload is configured with one mid-wave and four long wave infrared
spectrum segments, multiple near-infrared and short-wave infrared observation bands,
and a high-resolution visible light full-length segment. The following table gives a
summary of all spectral bands (Table 1).
Table 1. The summary of all spectral bands.

Spectral bands Value (lm)
VNIR 0.450–0.900, 0.450–0.520, 0.520–0.590,
0.630–0.690, 0.770–0.890
SWIR 2.145–2.185, 2.185–2.225, 2.235–2.285, 2.295–2.365
MWIR 3.5–4.1
TIR 8.475–8.825, 8.925–9.275, 10.3–11.3, 11.5–12.5
Atmospheric 0.845–0.885, 0.89–0.92, 0.931–0.941, 0.915–0.965, 1.36–1.39,
correction 1.56–1.66
282 Q. Wang et al.
4 Payload Configuration Analysis

4.1 Imaging Mode Selection
In terms of the technical implementation of the current infrared camera, it mainly
includes two methods of scanning and pushbroom [6]. If the orbital height of the
satellite is 500 km, the scanning imaging system has a short dwell time and cannot
meet the signal-to-noise ratio requirement when the spatial resolution is 5 m. It is
necessary to use pushbroom imaging to obtain a longer integration time. From the
requirement of the resolution and swath of the camera payload, it can be seen that
6000–8000 pixel detectors are needed (see Fig. 3). In addition, a larger 100 km range
of observations needs to be implemented in conjunction with the agile working mode
of the satellite. Since the detectors of this scale are available, the camera payload
chooses pushbroom means in terms of system design and performance.
Scanning
• Smaller scale detector
• Easy to achieve large field of view
Application requirements Instrument requirements • Short cell dwell time, low signal to noise ratio
• Satellite attitude/stability is affected
• 5m IR resolution
• 30km swath • 6000~8000 pixels
• 1K temperature • 0.05K NETD Pushbroom
inversion accuracy • Higher signal to noise ratio
• Relatively simple system / high reliability
• High geometric accuracy of image data
• Small impact on satellite platforms
• Long line array infrared detector is needed
Fig. 3. Imaging mode selection
4.2 Realization Method Selection

In order to achieve high-resolution infrared multi-spectral observation, an optical lens
larger than 1 m is required. If the optical lens of visible light full-color and multi-
spectral remote sensors are separately configured, the entire payload scale will be
difficult to control. At the same time, an infrared lens with an optical lens larger than
1 m can collect enough energy to balance the needs of visible light full-color and multi-
spectral remote sensing. At the same time, using a lens larger than 1 m in the infrared
spectrum can collect enough energy to balance the needs of visible panchromatic and
multi-spectral remote sensing. To this end, the integrated optical system design is
adopted, and various types of detection tasks share the front optical system, and the rear
optical system and the focal plane are modularized and independent of each other (see
Fig. 4). Through such design ideas, the comprehensive observation task is achievable.
Multiple optical system

• Relatively simple system
Application requirements Instrument requirements • Large size payload
• 5m IR resolution • Great influence on satellite platform
• 0.8m Pan resolution
• Multi-channel
• Multi-spectral
• Multiple focal plane Integrated optical system
• 1K temperature
inversion accuracy • Relatively complicated system
• High geometric accuracy
• Small influence on satellite platform
Fig. 4. Realization method selection
5 Conclusion
In this paper, the concept of high-resolution visible light to thermal infrared multi-
spectral integrated camera payload is proposed. From the spatial resolution, the infrared
multi-spectral has a resolution better than 5 m, and the panchromatic has a resolution
better than 1 m. From the spectral configuration, it covers multiple detection channels
from visible, short-wave, medium-wave to long-wave. Simultaneous phase observation
of different spectral segments is realized on a remote sensor, which improves the
information content and accuracy of the data.
References
1. Sobrino, J.A., Del Frate, F., Drusch, M., Jiménez-Muñoz, J.C., Manunta, P., Regan, A.:
Review of thermal infrared applications and requirements for future high-resolution sensors.
IEEE Trans. Geosci. Remote Sens. 54(5), 2963–2972 (2016)
2. Hook, S.J.: NASA 2014 The Hyperspectral Infrared Imager (HyspIRI) – Science Impact of
Deploying Instruments on Separate Platforms, California (2014)
3. Sobrino, J.A., Jiménez-Muñoz, J.C.: Minimum configuration of thermal infrared bands for
land surface temperature and emissivity estimation in the context of potential future missions.
Remote Sens. Environ. 148, 158–167 (2014)
4. Lagouarde, J.-P., Bach, M., Sobrino, J.A., Boulet, G.: The MISTIGRI ther-mal infrared
project: scientific objectives and mission specifications. Int. J. Remote Sens. 34(9–10), 3437–
3466 (2013)
5. Ramsey, M.S., Realmuto, V.J., Hulley, G.C., Hook, S.J.: HyspIRI Thermal Infrared
(TIR) Band Study Report, California (2012)
6. Johnson, W.R., Hook, S.J., Foote, M.: Infrared instrument support for HyspIRI-TIR. Proc.
SPIE 8511(23), 02 (2012)
A Method for Solving Generalized Implicit
Factorization Problem
Zhelei Sun1(&), Tianwei Zhang1, Xiaoxia Zheng1, Liuqing Yang1,

and Liqiang Peng2,3
1
Beijing Institute of Spacecraft System Engineering, Beijing 100 094, China
814228971@qq.com
2
State Key Laboratory of Information Security, Institute of Information
Engineering, Chinese Academy of Sciences, Beijing 100 093, China
3
Data Assurance and Communication Security Research Center,
Chinese Academy of Sciences, Beijing 100 093, China
Abstract. The problem of factoring RSA moduli with the implicit hint was
firstly proposed by May and Ritzenhofen at PKC’09 where unknown prime
factors of several RSA moduli shared some number of least significant bits
(LSBs), and was later considered by Faugère et al. where some most significant
bits (MSBs) were shared between the primes. Recently, Nitaj and Ariffin pro-
posed a generalization of the implicit factorization problem. Let N1 ¼ p1 q1 and
N2 ¼ p2 q2 be two distinct RSA moduli, Nitaj and Ariffin showed that when a1 p1
and a2 p2 share enough bits, N1 ; N2 can be factored in polynomial time, where a1
and a2 are some unknown positive integers. They also extended their work to the
case of k ð 3Þ moduli. In this paper, we revisit Nitaj-Ariffin’s work and
transform the problem into solving small roots of a modular equation. Then by
utilizing Coppersmith’s method, for the case of two moduli we improve Nitaj-
Ariffin’s result when the unknowns a1 ; a2 are relatively small, and our result is
always better than Nitaj-Ariffin’s result for the case of k ð 3Þ moduli.
Keywords: RSA scheme Implicit factorization problem

Coppersmith’s method
1 Introduction
RSA [13] is one of the most widely deployed public-key cryptosystem. Its security
relies on the difficulty of factoring large composite integer. A brief description on the
key generation algorithm of the RSA scheme is given as follows:
Key Generation of RSA: Let N ¼ pq be an RSA modulus, where p and q are primes
of the same bitlength. Randomly choose an integer e such that gcdðe; uðNÞÞ ¼ 1,
where uðNÞ ¼ ðp 1Þðq 1Þ and calculate d such that ed 1ðmod uðNÞÞ by the
Extended Euclidean Algorithm. The public keys are N and e, and the private key are p,
q and d.
Although the problem of constructing efficient algorithm to factor N ¼ pq has been
studied for decades, there are still no polynomial time algorithms known except for
quantum algorithm. And it is believed as a mathematical hard problem in computational

https://doi.org/10.1007/978-981-13-7123-3_34
A Method for Solving Generalized Implicit Factorization Problem 285
number theory. However, the factorization may become feasible in polynomial time
under several special cases, such as small decryption exponent attacks [1, 15].
In 2009, May and Ritzenhofen [10] proposed the problem of factoring RSA moduli
with the implicit hint and showed that if the unknown prime factors of several RSA
moduli shared enough number of LSBs, the moduli can be factored in polynomial time.
Later, Faugère et al. [4] extended the problem to the case of unknown prime factors
shared MSBs. In 2011, Sarkar and Maitra [14] related both May-Ritzenhofen’s work and
Faugère et al.’s work to computing approximate common divisors problem and slightly
improved previous results. Since then, the methods for solving implicit factorization
problem has been well studied and deeply understood by many researches [7, 12].
Recently, Nitaj and Ariffin [11] proposed a generalization of implicit factorization
problem. Suppose that Ni ¼ pi qi are k distinct n-bit RSA moduli with an-bit qi where
a 2 ð0; 1Þ: If there exist kð 2Þ unknown positive integers ai satisfy that ai pi share tn
LSBs or MSBs where t 2 ð0; 1Þ and ai 2bn where b 2 ð0; 1Þ for i = 1, …, k. Then
Nitaj and Ariffin showed that Ni can be factored in polynomial time if
t 2a þ 2b þ 1; for k ¼ 2;
k k 2 ð1Þ
or t [ k1 a þ k1 b; for k 3:
Note that, here we ignore the small constants of Nitaj-Ariffin’s result.

In this paper, we revisit Nitaj-Ariffin’s work and utilize Coppersmith’s method to
propose the new result of generalized implicit factorization problem. By the compar-
ison, for the case of two moduli, i.e. k ¼ 2, our result is better than Nitaj-Ariffin’s result
when the unknowns a1 ; a2 are relatively small, and our result is always better than
Nitaj-Ariffin’s result for the case of k 3 moduli.
We organize our paper as follows. In Sect. 2, we introduce the lattice-based
Coppersmith’s method which can solve small roots of modular equations and the
background of lattice. In Sect. 3, we propose our method, and Sect. 4 is the conclusion.
2 Preliminaries
In 1996, Coppersmith [2, 3] successfully applied the L3 lattice basis reduction algo-
rithm to find small roots of modular equations, typically called Coppersmith’s method.
To describe the sketch of Coppersmith’s method, we first give a brief review on the
definition of lattices. Let L be a lattice which is spanned by k linearly independent
vectors v1 ; . . .; vk 2 Zn . Namely, lattice L is composed by all integer linear combina-
tions, c1 v1 þ . . . þ ck vk , of v1 ; . . .; vk , where c1 ; . . .; ck 2 Z. Then the set of vectors
v1 ; . . .; vk is called a lattice of L and K is the lattice dimension of L. Moreover, there
will be infinite lattice bases for any lattice L whose dimension is greater than 1.
In 1982, A.K., Lenstra, H.W. and Lovász, L. introduced the famous L3 lattice basis
reduction algorithm to find a lattice basis with good properties in polynomial time.
286 Z. Sun et al.
Lemma 1. (L3 , [6, 9]) Let L be a lattice of dimension k. Applying the k algorithm to
the basis of L, the output reduced basis vectors v1 ; . . .; vk satisfy that
kðkiÞ 1
kvi k 24ðk þ 1iÞ detðLÞk þ 1i ; for any 1 i k: ð2Þ
We also state a useful lemma from Howgrave-Graham [5] which gives a sufficient
condition to transform a modular equation into an integer equation. We define the norm
P
of a polynomial gðx1 ; . . .; xn Þ ¼ ði1 ;...;in Þ ai1 ;...;in xi11 . . .xinn as
X 1
kgðx1 ; . . .; xn Þk ¼ ð a2
ði1 ;...;in Þ i1 ;...;in
Þ2 : ð3Þ
Lemma 2. (Howgrave-Graham, [5]) Let gðx1 ; . . .; xn Þ 2 Z ½x1 ; . . .; xn be an integer

polynomial with at most k monomials and m be a positive integer. Let p; X1 ; . . .; Xn be
positive integers. Suppose that
gð xe1 ; . . .; xen Þ 0 ðmod pm Þ for j xe1 j X1 ; . . .; j xen j Xn ; and

pm
kgðx1 X1 ; . . .; xn Xn Þk\ pffiffiffi : ð4Þ
k
Then gð xe1 ; . . .; xen Þ ¼ 0 holds over the integers.

Then based on the above two lemmas, we give a brief sketch of Coppersmith’s
method. For a modular equation f ðx1 ; . . .; xn Þ 0 modulo p, we want to solve the
desired roots ð xe1 ; . . .; xen Þ. Firstly, construct k polynomials hi ðx1 ; . . .; xn Þ which have
the same roots ð xe1 ; . . .; xen Þ modulo pm , where i ¼ 1; . . .; k and k should be larger than
n. Then construct a lattice basis whose row vectors correspond to the coefficients of the
selected polynomials hi ðx1 X1 ; . . .; xn Xn Þ, where j xe1 j X1 ; . . .; j xen j Xn . Suppose that
by applying L3 algorithm to the lattice basis, one can obtain n polynomials
he1 ðx1 ; . . .; xn Þ; . . .; hen ðx1 ; . . .; xn Þ corresponding to the first n reduced basis vectors
whose norms are sufficiently small enough to satisfy Howgrave-Graham’s Lemma.
Once the conditions are satisfied, one can find the roots xe1 ; . . .; xen from the polynomials
he1 ðx1 ; . . .; xn Þ; . . .; hen ðx1 ; . . .; xn Þ, if he1 ðx1 ; . . .; xn Þ ¼ 0; . . .; hen ðx1 ; . . .; xn Þ ¼ 0.
Note that, to satisfy the conditions in Howgrave-Graham’s Lemma, based on
Lemma 1 one have

e kðk1Þ
h1 ðx1 X1 ; . . .; xn Xn Þ . . . hen ðx1 X1 ; . . .; xn Xn Þ 24ðk þ 1nÞ detðLÞk þ 1n :
1
ð5Þ
Moreover, since the obtained polynomials he1 ðx1 ; . . .; xn Þ; . . .; hen ðx1 ; . . .; xn Þ are
some integer combinations of the polynomials hi ðx1 ; . . .; xn Þ which are used to con-
struct lattice, he1 ðx1 ; . . .; xn Þ; . . .; hen ðx1 ; . . .; xn Þ have the same roots ( xe1 ; . . .; xen ) modulo
pm . Then if the norm of he1 ðx1 ; . . .; xn Þ; . . .; hen ðx1 ; . . .; xn Þ satisfy the second condition
kðk1Þ
p ffiffi
1 m
of Lemma 2, namely if 24ðk þ 1nÞ detðLÞk þ 1n \ p k
we have that hold over the integers.
e e
Here we ignore h1 ðx1 ; . . .; xn Þ ¼ 0; . . .; hn ðx1 ; . . .; xn Þ ¼ 0 small terms and only
simply check whether detðLÞ\pmk does hold or not. Then based on the following
heuristic assumption, we can solve the roots xe1 ; . . .; xen from the polynomials
h1 ð xe1 ; . . .; xen Þ ¼ 0; . . .; hn ð xe1 ; . . .; xen Þ ¼ 0.
Assumption 1. The polynomials he1 ðx1 ; . . .; xn Þ; . . .; hen ðx1 ; . . .; xn Þ derived from L3

output vectors are algebraically independent. Then the common roots of these poly-
nomials can be efficiently computed by using techniques like calculation of the
resultants or finding a Gröbner basis.
3 Our Method for Generalized the Implicit Factorization

Problem
In this section, we revisit the generalization of the implicit factorization problem

proposed by Nitaj and Ariffin [11] and propose our improved analysis by utilizing
Coppersmith’s method.
Theorem 1. Let Ni ¼ pi qi be k distinct n-bit RSA moduli with an-bit qi where
a 2 ð0; 1Þ. Suppose that there exist k unknown positive integers ai satisfy that ai pi
share tn LSBs where t 2 ð0; 1Þ and ai 2bn where b 2 ð0; 1Þ for i ¼ 1; . . .; k. Then
under Assumption 1, Ni can be factored in polynomial time if
1
k2
t [ kð1 aÞ 1 ð1 aÞk1 þ b: ð6Þ
k1
Proof: Let ai pi ¼ p þ 2tn ~pi . Then moduli Ni can be represented as
a1 N1 ¼ q1 ðp þ 2tn ~p1 Þ;
. . .. . . ð7Þ
ak Nk ¼ qk ðp þ 2tn ~
pk Þ:
Furthermore, we can get following modular equations
N11 N2 aq1 aaa12q2 0 mod 2tn ;

. . .. . . ð8Þ
N11 Nk aq1 aaa1kqk 0 mod 2tn ;
Q
where a ¼ kj¼1 aj .
Then we can firstly construct a k-dimensional lattice L1 which is generated by the
row vectors of following matrix
0 1
1 N11 N2 . . . N11 Nk
B0 2tn ... 0 C
B. .. .. .. C
@ .. . . . A
0 0 ... 2tn
288 Z. Sun et al.

Since Eqs. (1) hold, the vector v ¼ aq1 ; aaa12q2 ; . . .; aaa1kqk 2 L1 . According to
Gaussian heuristic, the length of the shortest non-zero vector of L1 is
rffiffiffiffiffiffiffiffi
k 1 ðk1Þtn
detðL1 Þk ffi 2 k : ð9Þ
2pe
ðk1Þtn
Then with a good possibility, the vector v is the shortest vector when kvk 2 k ,
k2
namely t k1
k
a þ k1 b. By applying L3 reduction algorithm to the lattice L1 , the

vector v ¼ aq1 ; aaa12q2 ; . . .; aaa1kqk can be found out, which means one can obtain some
unknown multiples of q1 ; . . .; qk . Then one can easily factor Ni by computing greatest
k2
common divisors. However, when t\ k1 k
a þ k1 b, the reduced basis ðk1 ; . . .; kk Þ
doesn’t contain vector v. For this case, we can represent the vector v into the form with
a linear combination of reduced basis. Namely, there exist integers x1 ; . . .; xk such that
v ¼ x1 k1 þ . . . þ xk kk . Moreover, we can obtain following modular equations
x1 l11 þ x2 l21 þ . . . þ xk lk1 ¼ aq1 0 mod q1 ;

. . .. . . ð10Þ
x1 l1k þ x2 l2k þ . . . þ xk lkk ¼ aaa1kqk 0 mod qk ;
where ki ¼ ðli1 ; li2 ; . . .; lik Þ for i ¼ 1; . . .; k.

Based on the Gaussian heuristic, the length of ki and the size of the entries lij can be
1 ðk1Þtn
roughly estimated as detðL1 Þk ¼ 2 k , hence the solution of above equations can be
bounded as jx j ffi aa1 qi ffi 2ða þ kb k Þn :
tðk1Þ
i lij ai
Then using the Chinese Remainder Theorem, from the above equations we can
obtain the following homogeneous modular equation
a1 x1 þ a2 x2 þ . . . þ ak xk 0 mod q1 q2 . . .qk ; ð11Þ
where ai is an integer satisfying ai lij mod Nj for 1 j k and can be calculated from
lij and Nj .
To solve the above homogeneous linear modular equation, we utilize the following
theorem introduced by Lu et al. [8].
Theorem 2. LetN be a sufficiently large composite integer (of unknown factorization)
with a divisor p p N b . Furthermore, let f ðx1 ; . . .; xn Þ 2 Z ½x1 ; . . .; xn be a homoge-
neous linear polynomial in nðn 2Þ variables. Under Assumption 1 we can find all the
solutions ðy1 ; . . .; yn Þ of the equation f ðx1 ; . . .; xn Þ 0 (mod p) with
gcdðy1 ; . . .; yn Þ ¼ 1, and jyi j N ci for i ¼ 1; . . .; n if
Xn n
1

i¼1
c i 1 ð1 bÞ n1 nð1 bÞ 1 ð1 bÞn1 : ð12Þ
The running time of the algorithm is polynomial in logN but exponential in n.

For the homogeneous linear equation in k variables modulo q1 . . .qk ffi ðN1 . . .Nk Þa ,
by Theorem 2 with the variables xi \ðN1 . . .Nk Þd ffi 2kdn , for i ¼ 1; . . .; k, we can solve
the variables when
k
1

kd 1 ð1 aÞk1 kð1 aÞ 1 ð1 aÞk1 ; ð13Þ
namely,
t ð k 1Þ k
1

a þ kb 1 ð1 aÞk1 kð1 aÞ 1 ð1 aÞk1 : ð14Þ
k
Then we can obtain that when
k k
1

t a þ kb 1 þ ð1 aÞk1 þ kð1 aÞ 1 ð1 aÞk1
k1
ð15Þ
1 k2
¼ k ð1 aÞ 1 ð1 aÞk1 þ b:
k1
we can find the vector v, then we can factor Ni for i ¼ 1; . . .; k. This concludes the
proof of our Theorem 1.
Our method also can be extended to the case of the multiples of primes share MSBs
and we can obtain the same bound. As it is shown, for the case of two moduli, i.e.
k ¼ 2, our result is better than Nitaj-Ariffin’s result when the unknowns a1 ; a2 are
relatively small, and our result is always better than Nitaj-Ariffin’s result for the case of
kð 3Þ moduli.
4 Conclusion
In this paper, we revisit the problem of generalized implicit factorization problem

proposed by Nitaj and Ariffin, and then transform the problem into solving small roots
of a modular equation. By utilizing Coppersmith’s method, we show that the result of
Nitaj-Ariffin’s bound can be further improved.
References
1. Boneh, D., Durfee, G.: Cryptanalysis of RSA with private key d less than N0.292. IEEE
Trans. Inf. Theory 46(4), 1339–1349 (2000)
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1996, pp. 155–165 (1996)
3. Coppersmith, D.: Finding a small root of a bivariate integer equation factoring with high bits
known. In: EUROCRYPT 1996, pp. 178–189 (1996)
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middle bits. In: PKC 2010, pp. 70–87 (2010)
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Cryptography and Coding 1997, pp. 131–142 (1997)
6. Lenstra, A.K., Lenstra, H.W., Lovász, L.: Factoring polynomials with rational coefficients.
Math. Ann. 261(4), 515–534 (1982)
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Revisited. In: ASIACRYPT 2015, Part I, pp. 189–213 (2015)
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of Paderborn (2003). http://ubdata.uni-paderborn.de/ediss/17/2003/may/disserta.pdf
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implicit hint. In: PKC 2009, pp. 1–14 (2009)
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with implicit hint. In: AFRICACRYPT 2014, pp. 165–177 (2014)
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public-key cryptosystems. Commun. ACM 21(2), 120–126 (1978)
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553–558 (1990)
OCV-Ah Integration SOC Estimation of Space
Li-Ion Battery
Dawei Fu(&), Lin Hu, Xiaojun Han, Shijie Chen, Zhong Ren,
and Hongyu Yang

jicanghai@163.com
Abstract. The state of charge of battery is a key, basic parameter of the battery
management, which represents the current capacity of the battery and is a health
criterion for the consistency of each cell. The accurate estimation of SOC will
provide effective technical support for extending battery life and enable the
battery to give full performance in the best state. In this paper, an optimized
OCV-Ah integration method is proposed. It can eliminate the influence of
internal resistance on the estimation error and provide an online estimation,
which is suitable for space Li-ion battery. Compare to the experimental value,
the estimation accuracy of calculated SOC is better than 4%. This method has
been applied to the analysis of a space battery, and the fault cell is identified
with the performance difference between the cells.
Keywords: OCV Ah integration SOC estimation Space Li-ion battery
1 Introduction
Li-ion battery is characterized by higher energy ratio, smaller thermal effect, lower self-
discharge rate and higher cell voltage. However, it has the disadvantages of bad over-
charge and over-discharge resistance. Because of the gradually diverging of the state of
charge (SOC) of each cell, it will lead to over-charge or over-discharge. In order to
improve the life of Li-ion battery, an effective management is needed.
SOC is a key, basic parameter of the battery management, which represents the
current capacity of the battery. In addition, it is a health criterion for the consistency of
each cell, which will determine the battery management strategy. The accurate esti-
mation of SOC will provide effective technical support for extending battery life and
enable the battery to give full performance in the best state.
At present, the SOC estimation method of space Li-ion battery is generally
Ampere-hour (Ah) integration method, which is simple with poor accuracy and low
reference value. In this paper, the principle and application range of Ah integration
method, open circuit voltage (OCV) method are introduced. And an optimized OCV
method combined with Ah integration method is proposed. It can eliminate the
influence of internal resistance on the estimation error with estimation accuracy better
than 4%.

https://doi.org/10.1007/978-981-13-7123-3_35
292 D. Fu et al.
2 The Estimation of SOC

2.1 State of Charge
SOC is the state of charge of the battery, which represents the current capacity [1]. It is
defined as below, where Qt is current capacity, and Q is the nominal capacity.
Qt
SOC ¼ ð1Þ
Q
For Li-ion battery, the relation between OCV and SOC isn’t linear with a plat
region as shown in Fig. 1 from 20%–80% SOC. But in a certain range of voltage, there
is a good one-one mapping relation [2].
4.1
3.9
3.7
OCV
3.5
3.3
3.1
0% 20% 40% 60% 80% 100%
SOC
Fig. 1. OCV-SOC curve
2.2 The Estimation of SOC of Li-ion Battery

SOC is a key, basic parameter of the battery, but it can’t be measured directly which is
usually estimated by other parameters such as voltage and current.
The first step of the estimation is modeling the battery, such as equivalent circuit
model, electrochemistry model and neural network model. For the equivalent circuit
model [3], the electrical properties of the battery in the circuit are utilized. For elec-
trochemistry model [4], the complicated chemical reaction is analyzed. With enough
training data, neural network [5] can be used to build up Li-ion battery model, too.
The second step is the estimation of SOC based on battery model. There are several
methods such as Ah integration method [6], OCV method [7], Kalman-Filtering
method [8] and neural network method [9].
Ah integration method, which is widely used, is simple and applicable to online
estimation, but the estimation error caused by initial integration value, time accumu-
lation and charging efficiency is hard to be removed [10]. OCV method is suitable to
the battery with obvious voltage change caused by the SOC change. The biggest
drawback is that the precision can only be guaranteed after standing of enough time
without charging and discharging. Therefore, it’s not suitable for the online estimation.
OCV-Ah Integration SOC Estimation of Space Li-Ion Battery 293
But after enough standing, it will estimate the SOC accurately, providing initial value
or reference for error correction of other methods.
3 Battery Model
The relation between battery performances with each factor should be described in the
battery model. Good model generally can describe the above relation accurately with
parameters easy-to-get and lower order for implementation.
3.1 R-Int Model

R-int model is simple but effective battery model as shown in Fig. 2(a). Uoc is the open
circuit voltage. R0 is the internal resistor. Uout is the output voltage. And I is the
charging current or discharging current, which is negative for charging and positive for
discharging.
I
I Rp
R0
R0
UOC Cp
Uout
UOC
Uout
(a) R-in Model (b) Thevenin Model
Fig. 2. The equivalent circuit of R-in model and Thevenin model
So, the output voltage of battery is
Uout ¼ UOC IR0 ð2Þ
This model can describe the constant current mode of batteries. But the internal
polarization and self-discharging of the battery are not involved in this model.
3.2 Thevenin Model

Thevenin model is proposed based on Thevenin’s theorem. There is a R-C network in
this model as shown in Fig. 2(b). R0 is the internal resistor which will simulate the
voltage drop of the output property. CP is the polarization capacitor, and RP is the
polarization resistor, simulating the gradual change of output voltage.
This model can explain the output voltage difference between no-load mode and
output mode. The polarization of battery can also be explained.
294 D. Fu et al.
4 OCV-Ah Integration Method
In this chapter, an optimized OCV method combined with Ah integration method

(OCV-Ah Integration Method) is proposed, which can correct the accumulated error of
Ah integration method and give an online estimation result.
4.1 OVC vs. SOC

The corresponding relation between output voltage and SOC of a space Li-ion battery
is shown in Fig. 3 with charging mode, discharging mode and static mode. The
charging current and discharging current are both 15A. Because of the long time
standing, there are only 14 points of test result for the static mode in the figure and
Table 1.
Fig. 3. Corresponding relation between output voltage and SOC
Table 1. Corresponding relation between OCV and SOC

No. Voltage (V) SOC No. Voltage (V) SOC
1 3.178 0.00% 8 3.850 55.41%
2 3.707 7.92% 9 3.878 63.33%
3 3.739 15.83% 10 3.925 71.24%
4 3.781 23.78% 11 3.972 79.16%
5 3.805 31.66% 12 4.017 87.07%
6 3.813 39.58% 13 4.075 94.99%
7 3.828 47.49% 14 4.109 100.00%
Due to the low data volume, the static data can only provide an unsmooth curve as
shown above with bad accuracy. The charging and discharging curves are smoother
with more testing data. However, there is a large deviation to the static curve. It means
that all these three curves can’t estimate the SOC accurately.
Considering the R-int battery model in the Sect. 3, during the charging or dis-
charging of battery, the relation between output voltage and OCV is
Uout ¼ UOC IR0 ð3Þ
In the charging mode where I = –15A, the output voltage is
Uout1 ¼ UOC þ 15R0 ð4Þ
In the discharging mode where I = 15A, the output voltage is
Uout2 ¼ UOC 15R0 ð5Þ
So, the OCV is
Uout1 þ Uout2
UOC ¼ ð6Þ
2
The OCV-SOC curve is the average of charging and discharging curve with the
same current. And, it is between the two curves in Fig. 3 in accordance with Eq. (6).
4.2 Fitting of OCV-SOC Curve

The output-voltage vs. SOC curves of charging and discharging mode can be fitted
firstly. Then, according to Eq. (6), the average of these two curves is the OCV-SOC
curve. The two curves in Fig. 3 can be fitted with 9-order polynomial.
When the Li-ion battery is charged constantly from 0% to 100% with 15A current,
the relation between the output voltage and SOC is
Uout1 ¼ p1 x9 þ p2 x8 þ p3 x7 þ p4 x6 þ p5 x5
ð7Þ
þ p6 x4 þ p7 x3 þ p8 x2 þ p9 x þ p10
where p1 = 1247.74, p2 = –5977.63, p3 = 12218.22, p4 = –13882.28, p5 = 9570.00,

p6 = –4100.79, p7 = 1077.63, p8 = –165.91, p9 = 13.99, p10 = 3.27, as shown in
Fig. 4(a).
When the Li-ion battery is discharged constantly from 100% to 0% with 15A
current, the relation between the output voltage and SOC is
Uout2 ¼ p1 x9 þ p2 x8 þ p3 x7 þ p4 x6 þ p5 x5
ð8Þ
þ p6 x4 þ p7 x3 þ p8 x2 þ p9 x þ p10
where p1 = 1398.64, p2 = –6814.82, p3 = 14118.08, p4 = –16210.84, p5 =

11274.44, p6 = –4875.28, p7 = 1295.88, p8 = –202.12, p9 = 17.04, p10 = 3.06, as
shown in Fig. 4(b).
296 D. Fu et al.
(a) Charging (b) Discharging
Fig. 4. Fitting result of voltage-SOC curve
According to Eq. (6), the OCV-SOC curve of this type space Li-ion battery is
Uout ¼ p1 x9 þ p2 x8 þ p3 x7 þ p4 x6 þ p5 x5
ð9Þ
þ p6 x4 þ p7 x3 þ p8 x2 þ p9 x þ p10
where p1 = 1323.19, p2 = –6396.23, p3 = 13168.15, p4 = –15046.56, p5 =

10422.22, p6 = –4488.03, p7 = 1186.76, p8 = –184.01, p9 = 15.51, p10 = 3.17.
So, the OCV-SOC curve of the space Li-ion battery is shown in Fig. 5.
Fig. 5. The OCV-SOC curve of the space Li-ion
4.3 Validation of the OCV-SOC Equation

According to the Eq. (9), the calculated SOC of the 14 points of open circuit voltage of
Table 1 is shown in Fig. 6 in contrast to the experimental results. The solid line is the
curve of Eq. (9) and the dashed line is the experimental data. The good consistency of
calculated and experimental SOC is clear.
Fig. 6. The calculated and experimental OCV-SOC curve
In consequence, Eq. (9) is a good expression for the OCV-SOC curve of the space
Li-ion battery. And it will provide accurate estimation of SOC.
For a spacecraft using Li-ion battery as the energy storage device, there are nine
cells in series. The cell voltage of the battery on June 11 and July 5 are listed in
Table 2. In this duration, the battery is only discharged by the measurement circuit.
The corresponding SOC of the cell voltage in Table 2 is calculated according to the
Eq. (9) and shown in Table 3. From the table, it is concluded that the decrease of SOC
of cell 7 is faster than the others after twenty-three days’ standing. That means, the self-
discharge rate of cell 7 is larger than the others with poorer performance.
Table 2. The cell voltage of the Li-ion battery

Cell No. 1 2 3 4 5 6 7 8 9
June 11 3.9543 3.9550 3.9534 3.9543 3.9522 3.9522 3.9509 3.9536 3.9540
July 5 3.9330 3.9343 3.9326 3.9349 3.9300 3.9295 3.9106 3.9318 3.9335
Table 3. The SOC of each cell

Cell No. 1 2 3 4 5 6 7 8 9
June 11 78.47% 78.58% 78.32% 78.47% 78.13% 78.13% 77.92% 78.35% 78.42%
July 5 74.86% 75.10% 74.80% 75.21% 74.32% 74.23% 70.45% 74.65% 74.95%
The charge holding performance of each cell is listed in Table 4. The charge
holding rate of cell 7 is 90.41%, but all the others’ are larger than 95% after twenty-
three days’ standing. So the fault cell is cell 7 with lower charge holding rate.
Table 4. The charge holding performance of each cell

Cell No. 1 2 3 4 5 6 7 8 9
Performance 95.40% 95.57% 95.51% 95.85% 95.12% 95.01% 90.41% 95.28% 95.58%
298 D. Fu et al.
4.4 OCV-Ah Integration

Compare to the static mode, there is a voltage step for the voltage of battery in charging
or discharging mode, caused by the internal resistance as shown by Eq. (2). But in the
above section, the OCV-SOC equation provides accurately estimation of battery in
static mode. So, the estimation result of OCV-SOC equation can be used as initial
integration value for Ah integration method.
Equation (1) can be modified as
Z
I
SOC ¼ SOC0 þ g dt ð10Þ
Q0
where SOC0 is initial state of charge, I is the charging current, Q is nominal capacity
and η is the charging efficiency. For the Li-ion battery, the online estimation of
charging mode and discharging can be obtained using Eq. (10) where SOC0 is esti-
mated by the OCV-SOC equation.
For the Li-ion battery in the above section, the initial voltage and SOC before
charging, the voltage and SOC (Experimental and Calculated) after charging of 3Ah is
shown in Table 5. The results show that the largest deviation is 3.84% between the
calculated and experimental value, with accurate estimation.
Table 5. The experimental and calculated SOC

No. Initial Charged Estimation Error
Voltage (V) SOC Voltage (V) SOC
Experimental Calculated
1 3.178 0 3.707 7.92% 10.08% 2.16%
2 3.707 7.92% 3.739 15.83% 17.99% 2.16%
3 3.739 15.83% 3.781 23.78% 26.12% 2.34%
4 3.781 23.78% 3.805 31.66% 35.00% 3.34%
5 3.805 31.66% 3.813 39.58% 43.42% 3.84%
6 3.813 39.58% 3.828 47.49% 49.74% 2.25%
7 3.828 47.49% 3.850 55.41% 57.55% 2.14%
8 3.850 55.41% 3.878 63.33% 64.07% 0.74%
9 3.878 63.33% 3.925 71.24% 70.91% 0.33%
10 3.925 71.24% 3.972 79.16% 81.29% 2.13%
11 3.972 79.16% 4.017 87.07% 89.08% 2.01%
12 4.017 87.07% 4.075 94.99% 95.67% 0.68%
13 4.075 94.99% 4.109 100.00% 100.63% 0.63%
5 Conclusion
At present, the SOC estimation method of space Li-ion battery is generally Ah inte-
gration method with poor accuracy. In this paper, an optimized OCV-Ah integration
method is proposed. It can eliminate the influence of internal resistance on the esti-
mation error and is suitable for space Li-ion battery. Compare to the experimental
value, the estimation accuracy of calculated SOC is better than 4%. This method has
been applied to the analysis of a space battery, and the fault cell is identified with the
performance difference between the cells.
References
1. Zhang, J., Lee, J.: A review on prognostics and health monitoring of Li-ion battery. J. Power
Sources 6007–6014 (2011)
2. Broussely, M., Perelle, M., McDowell, J., et al.: Lithium ion: the next generation of long life
batteries-characteristics, life predictions and integration into telecommunication systems. In:
Proceedings of IEEE International Telecommunications Energy, V01.2, pp. 194–201 (2000)
3. Gomez, J., Nelson, R., Kalu, E.E., et al.: Equivalent circuit model parameters of a high-
power Li-ion battery: thermal and state of charge effects. J. Power Sources 4826–4831
(2011)
4. Santhanagopalan, S., White, R.E.: State of charge estimation using an unscented filter for
high power lithium ion cells. Int. J. Energy Res. 152–163 (2010)
5. Hu, Y., Yurkovich, S.: Battery cell state-of-charge estimation using linear parameter varying
system techniques. J. Power Sources 198, 338–350 (2012)
6. Ng, K.S., Moo, C.S., Chen, Y.E.: Enhanced coulomb counting method for estimating state
of charge and state of health of lithium-ion batteries. Appl. Energy 1506–1511(2009)
7. Lee, S.J., Kim, J.H., Lee, J.M., et al.: The state and parameter estimation of a li-ion battery
using a new OCV-SOC concept. In: 2007 IEEE Power Electronics Specialists Conference,
vol. 1–6, pp. 2799–2803. IEEE, Electron Devices Soc & Reliability Group, New York
(2007)
8. Di Domenico, D., Fiengo, G., Stefanopoulou, A., et al.: Lithium-ion battery state of charge
estimation with a Kalman filter based on an electrochemical model. In: 2008 IEEE
International Conference on Control Applications, vol. 1, 2, pp. 425–430 (2008)
9. Lee, Y.S., Wang, W.Y., Kuo, T.Y.: Soft computing for battery state-of-charge (BSOC)
estimation in battery string systems. IEEE Trans. Electron. 55(1), 229–239 (2008)
10. Bakkera, S., Maat, K., van Weeb, B.: Stakeholder’s interests, expectations, and strategies
regarding the development and implementation of electric vehicles: The case of the
Netherlands. Transp. Res. Part A Policy Pract. 66, 52–64 (2014)
Analysis and Experimental Study on Influence
Factors of Spacecraft Power Cable
Temperature
Bingxin Zhao1(&), Lequn Wu1, Chenhua Zhang2,

Shijie Chen1, and Yi Yang1
1
zhaobingxin200709@163.com
2
Beijing Satellite Factory, Beijing 100094, China
Abstract. The design of the power cables is related to the safety of the satellite
power supply. High temperature of the power cables may lead to short circuit,
cable transmission performance degradation, cable damage or other risks. The
temperature of the power cables is difficult to get accurate result by theoretical
calculation and simulation analysis. In this paper, cable temperature rise tests
under different constraints are carried out, and the influence of the factors on
cable temperature changes is analyzed. Based on the effect of various factors on
cable temperature rise, the design methods and treatment measures of the power
cables in practical application are summarized. The results can provide a ref-
erence to the design of the spacecraft power cables.
Keywords: Spacecraft Power cable Temperature rise Influence factor Test
1 Introduction
The spacecraft cable network is responsible for the transmission of energy and signals
between the various devices, mainly has power cables, signal cables and high fre-
quency cables. The main power cables have higher load current and higher temperature
rise. Once a short circuit occurs, the cable temperature rises more severely or even
burns, which is related to the safety of the satellite. The ambient temperature of the
spacecraft is generally good, but there are also working conditions with high ambient
temperature reaching 50–55 °C and the load power is larger. Under the severe working
conditions, the reliability of the cable is put forward higher. To ensure reliable trans-
mission, the ability to carry a certain load is required and the temperature rise also
needs to meet the derating requirements.
The main power cables bundle of the spacecraft is generally thick, and limited by
the space layout and the through-hole, it is impossible to achieve separate lashing and
laying. When laying cables, power cables, signal cables, buses are often partially
processed together. The temperature of complex cables has many influencing factors,
and it is difficult to accurately estimate the temperature of the real cable bundle of the
spacecraft by establishing a simulation model. On spacecraft, the temperature mea-
surement is usually performed by the thermistor. Due to the limited number and

https://doi.org/10.1007/978-981-13-7123-3_36
Analysis and Experimental Study on Influence Factors of Spacecraft 301
location of the measuring points, the monitored cable temperature may not be the
highest temperature, and there is a hidden danger. In addition, according to the
development process of the spacecraft, the monitoring of the cable temperature is only
in the late stage of development, and if the temperature is too high, the cost of the
change is large. Therefore, it is necessary to study the cable temperature. Cable tem-
perature measurement points selection, cable temperature rise factors, the relationship
between temperature and wire selection, and cable laying design need to be solved.
For the cable temperature rise problem, there are many researches [1–4] on the
high-voltage transmission power cables in atmospheric environment, but there are few
studies on the cable temperature rise of spacecraft. Due to lack of convection in a
vacuum environment and the effective heat conduction path on spacecraft, it relies on
radiation to dissipate heat, and the cable heat dissipation problem is more severe. In this
paper, temperature rise tests of single cable and multi-cables are carried out, the actual
use on the spacecraft is simulated, the influencing factors of the cable temperature rise
are analyzed, and the influence degree of each influencing factor on the cable tem-
perature rise is given. This paper proposes constructive suggestions and guidance for
the design of the cables.
2 Cable Temperature Rise Tests
2.1 The Plan of the Cable Temperature Rise Tests

The test cables are suspended in a test box placed in a vacuum rank. The cables have no
contact with the test box. The connection diagram of the test system is shown in Fig. 1.
The tests only radiate heat, regardless of conduction heat dissipation. The simulation
tests are more severe than the actual conditions. The rated temperature of the selected
wire is 200 °C, and the cable temperature specified in the standard should not exceed
120 °C. The single wire is folded and lashed repeatedly to simulate a single cable with
multi-wires [5]. The lashing points are spaced 300 mm apart. The cable tying of a
single cable test is shown in Fig. 2. The multi-cables are bundled as shown in Fig. 3.
Vacuum tank
Test box
Temperature
Thermocouple
Measuring
Equipment
Bulkhead W01
electrical W02
connector W03
W04
W05
Power Source
Voltage
W06
W07
Electronic Load W09
Load
Fig. 1. Cable temperature rise test system connection diagram

302 B. Zhao et al.
W01Y-01 W01Y-02 W01Y-03

W01N-01 W01N-02 W01N-03
V+
V-
Load+
Load-
Length/m
Lashing point
Fig. 2. The single cable lashing diagram (W06/W07/W09)
Fig. 3. The multi-cables lashing diagram (W01, W02, W03, W04, W05)
The temperatures of the cables are measured by thermocouples, which are set at the
beginning (marked as -01), middle (marked as -02) and end (marked as -03) of the
single cable. There are two temperature measurement points for each temperature
measurement position, namely inner temperature named as W01N-03 and outer tem-
perature named as W01Y-03 by taking the end position of W01 cable as an example.
The inner temperature of the multi-cables at a specific location is defined as W01N-A
by taking the inner temperature of W01 at position A as an example. The bonding
points of the inner temperature and the outer temperature are required to be set at the
same section of the cable temperature measurement position. The inner temperature
measurement point is placed at the center of the cable, and the outer temperature
measurement point is placed on the outer surface of the cable, as shown in Fig. 2.
The cables are tested under vacuum environment, at ambient temperatures of 25 °C,
45 °C, and 55 °C, respectively. The current of the cable is loaded according to a certain
Table 1. Test cable design

Test Cable Line Number of wires in the Remark
Case Number type lashing
1 W07 0124-22 40 Loading
2 W06 0124-20 40 Loading; Different ways of
W09 0124-20 40 tying
3 W01 0114-26 80 Without load
W02 0124-22 24 Loading
W03 0124-26 16 Loading
W04 0124-22 16 Loading
W05 0124-20 48 Loading
timing, and the temperature data is recorded every minute. The design of test cables is
shown in Table 1.
2.2 Test 1: The Temperature Rise Test of a Single Cable at Different

Ambient Temperatures
The single cable: The test cable is W07 and the current is loaded according to the
timing shown in Fig. 4.
TEST1: W07 Current

3
W07 Current
2.5
Current(A)
1.5
0.5
0 50 100 150 200 250
Time(min)
Fig. 4. Loading current of W07 cable
2.3 Test 2: The Temperature Rise Test of Single Cables with Two Tying
Methods at Different Ambient Temperatures
The single cables: The test cables are W07 and W09. The difference between the two
test cables is only the way of tying. W07 is the whole cable tied together. W09 is tied
by grouping, that is, four twisted pair wires are tied together. The loading current is as
follows (Fig. 5):
TEST2: W06/W09 Current

3.5
3
Current(A)
2.5
W06/W09 Current
2
0 50 100 150 200 250 300 350 400
Time(min)
Fig. 5. Loading current of cables named W06 and W09

304 B. Zhao et al.
2.4 Test 3: The Temperature Rise Test of Combined Lashing

Multi-cables at Different Ambient Temperatures
The cables of Test 1 and Test 2 are all single laying. In actually, the cables in spacecraft
are lashing together, and the cable temperature rise problem is more complicated. The
number of wires at the lashing point increases, and the temperature rise of each cable
affects each other, so the heat dissipation conditions are more severe. According to the
actual situation of the spacecraft, design cables named W01 to W05. The tying method
of the cables is shown in Fig. 4. W01 cable is signal cable without load. The cables
named W02 to W05 are loaded according to the timing shown in Fig. 6.
TEST3: W02/W03/W04/W05 Current

4
W02 Current
W03 Current
3
W04 Current
W05 Current
Current(A)
0
0 50 100 150 200 250 300 350 400 450 500
Time(min)
Fig. 6. Loading current of cable named W02 to W05
3 Test Results and Analysis

3.1 Test 1 Results and Analysis
When the ambient temperature is 25 °C, the temperature rise of W07 cable is shown in
Fig. 7. The temperature measured at W07N-02 point is the highest, that is, the tem-
perature in the middle of the cable is slightly higher than the temperature at the
beginning or the end of the cable, and the highest temperature in the middle of the cable
is at the center of the cable. According to the figure, the most important factor affecting
cable temperature is loading current. Generally, when the current becomes larger, the
cable temperature will rise rapidly, and the cable temperature rise rate will slow down
after about ten minutes. After the cable is loaded with a constant current for one hour,
the temperature rise of the cable is basically stable. Certainly, current loading time is
also one of the factors affecting the temperature rise of cable.
At different ambient temperatures, the temperature of W07N-02 point as a function
of time is shown in Fig. 8. Ambient temperature is also one of the main reasons that
affect cable temperature rise. When ambient temperature rises, the temperature when the
cable temperature stabilizes will also increase, but the increase in the cable temperature
rising is less than ambient temperature increment. At 25 °C ambient temperature, the
maximum temperature of W07 cable is 126.171 °C; At 45 °C ambient temperature, the
maximum temperature of W07 cable is 137.92 °C; At 55 °C ambient temperature,
the maximum temperature of W07 cable is 144.25 °C. The maximum temperature of the
cable consisting of 40 wires of AWG22 exceeds 120 °C when the current value is
W07 Cable Temperature (Ambient Temperature 25 ) W07N-02 Cable Temperature at different Ambient Temperatures
140 160
140
120
120
100
)
)
Temperature(
Temperature(
100
80
W07N-01 80
W07N-02
60
W07N-03 60
W07Y-01 W07N-02 @25
40 40 W07N-02 @45
W07Y-02
W07Y-03 W07N-02 @55
20 20
0 50 100 150 200 250 0 50 100 150 200 250
Time(min) Time(min)
Fig. 7. W07 cable temperature rise Fig. 8. W07N-02 temperature as a function of

time
2.32 A, that is the deducted current value of the cable, however, when the current is
2.05 A, the maximum temperature when the cable is stabilized is less than 120 °C.

The temperature rise curve of the inner temperature of W06 cable and W09 cable with
the load current is shown in Fig. 9 under different temperature conditions. When the
rated current is 3.28A, the temperature of W09 cable is 8–9 °C lower than the tem-
perature of W06 cable when the cable temperature is stable. It shows that the group
tying method is better than the whole bundle tying method. It can be seen that the tying
method of power cables has a certain influence on the temperature rise. When the
number of wires in high-power cables is large, the group tying method should be
selected.
Cable Temperature at different Ambient Temperatures

100
80
)
60
Temperature(
W06N-02@25
40
W09N-02@25
W06N-02@45
20 W09N-02@45
W06N-02@55
W09N-02@55
0
0 50 100 150 200 250 300 350 400
Time(min)
Fig. 9. W06N-02/W09N-02 temperature as a function of time

306 B. Zhao et al.
At 25 °C ambient temperature, the maximum temperature of W06 cable is 74.064 °C;

At 45 °C ambient temperature, the maximum temperature of W06 cable is 89.309 °C; At
55 °C ambient temperature, the maximum temperature of W06 cable is 97.106 °C. The
maximum temperature of the cable consisting of 40 wires of AWG20 does not exceed
120 °C when the current value is 3.28 A, that is the deducted current value of the cable.
Compared with W06 cable, W07 cable has the same number of wires, length, lashing
point, and temperature measurement points, only the selected line type and loading current
are different. At the same ambient temperature, W07 cable at the maximum derating
current (2.32 A) has a much higher temperature rise than W06 cable at the maximum
derating current (3.28 A). When designing a high-power cable, the load current is close to
the derating current and the number of wires is large, it is recommended to select a thicker
wire. The choice of wires is also the direct cause of temperature rise.

The inner temperature curve at the different lashing points of W02 cable is shown in
Fig. 10 at an ambient temperature of 25 °C. The temperature at the lashing point F is
the highest, and the number of wires at the position F is the highest, which is not
conducive to heat dissipation. Compared with position A, due to the heat conduction
between the wires, position A is close to the end of the whole bundle cable, and the
heat dissipation area is larger than the area of the middle. Therefore, the temperature of
position A is slightly lower than the temperature of position F, but still higher than
other lashing position temperature.
W02N-A/B/E/F/G Cable Temperatures (Ambient Temperature 25 )

100
80
)
60
Temperature(
40
W02N-A
W02N-B
20 W02N-E
W02N-F
W02N-G
0
0 100 200 300 400 500
Time(min)
Fig. 10. W02 cable temperature as a function of time
The temperature rise curves of cables named W01 to W05 at the F lashing position
are shown in Figs. 11, 12 and 13 at different ambient temperatures. W01 cable is not
energized and is bundled with other cables. The temperature of W01 cable will also
change with the temperature of surrounding cables. The highest temperature position
of W01 is W01N-F point. At 25 °C ambient temperature, the maximum temperature of

W01 cable is 77.15 °C; At 45 °C ambient temperature, the maximum temperature of
W01 cable is 92.58 °C; At 55 °C ambient temperature, the maximum temperature of
W01 cable is 99.96 °C. The temperature of signal cables will also be affected by power
cables bundled with. Power cables should be lashed separately from other signal cables
to avoid the influence of temperature rise on signal transmission.
Among the whole bundle of cables, W05 cable has the highest temperature. At 25 °C
ambient temperature, the maximum temperature of W05 cable is 112.62 °C; At 45 °C
ambient temperature, the maximum temperature of W05 cable is 125.15 °C; At 55 °C
ambient temperature, the maximum temperature of W05 cable is 131.85 °C. W05 cable
(2.7 m length, 48 wires, 3.32 A current load) has a longer length and a slightly larger
number of wires than W06 cable (0.8 m length, 40 wires, 3.28A current load). In
addition, W05 is a cable lashed together with multiple cables and W06 cable is a single
cable. But the temperature of W05 cable is about 34 °C–39 °C higher than the tem-
perature of W06 cable.
In summary, the temperature of the cable is the result of multiple parameters. The
influencing factors are ambient temperature, line type, number of wires, position of the
lashing point, working current, working time, etc. In the cable design process, in
addition to meeting the current derating requirements specified in the standard, the
selection of the power cable channel is particularly important, and that is one of the key
factors affecting the maximum temperature of the cable. The laying path should be set
as much as possible, and a high-power cable should be laid separately to ensure that the
cable has good heat dissipation conditions.
Cable Temperature at different Ambient Temperatures Cable Temperature at different Ambient Temperatures
W02N-F @45
140 W02N-F @25 140
W03N-F @45
W03N-F @25
120 120 W04N-F @45
W04N-F @25
W05N-F @45
W05N-F @25
)
)
100 100 W01N-F @45

W01N-F @25
Temperature(
Temperature(
80 80
60 60
40 40
20 20
0 100 200 300 400 500 0 100 200 300 400 500
Time(min) Time(min)
Fig. 11. Cable temperature at ambient Temp25 °C Fig. 12. Cable temperature at ambient Temp45 °C
308 B. Zhao et al.
Cable Temperature at different Ambient Temperatures
W02N-F @55
140
W03N-F @55
120 W04N-F @55
W05N-F @55
)
100 W01N-F @55
Temperature( 80
60
40
20
0 100 200 300 400 500
Time(min)
Fig. 13. Cable temperature at ambient Temp55 °C
4 Conclusion
Through the test and analysis of this paper, the following conclusions can be drawn:
(1) For the case that power cables are concentrated and the load is large, temperature
monitoring needs to be set and the position should be specified. The location of
the temperature measurement should be selected as close as possible to the middle
position of the cable and the lashing position where the number of wires is the
highest, and paste it at the centerline of the cable.
(2) Power cables should be laid as close as possible to the deck to facilitate heat
dissipation.
(3) When signal cables are bundled with power cables, the temperature of signal
cables increase with the temperature of power cables, and finally approaches the
external temperature of power cables. Power cables should be laid separately and
separated from other cables, which is beneficial to the heat dissipation of power
cables, avoiding the temperature influence on other cables, and reducing the
influence range in the case of power cables failure.
(4) The high-power cables can be tied by grouping to facilitate heat dissipation and
avoid local overheating, which can reduce the cable temperature.
(5) Considering the temperature rise in the case of complex cables lashed together,
the high-power concentrated cable should be further derated on the basis of the
specified derating to ensure that the cable temperature rise does not exceed the
requirements.
(6) In the early stage of spacecraft design process, high-power laying path and suf-
ficient access should be reserved when planning the overall layout and cable path.
Other methods can be considered to solve local overheating and insufficient access
problems, such as high-voltage bus, buried cable or wireless transmission.
References
1. Blums, J., Budahs, M., et al.: MV Cable Temperature Characteristics in Dependence of load
Current, Ambient Environment and Temperature. Determination of the Critical Environment
(2016)
2. Du, B.: Research on Temperature Field and Ampacity of Power Cables. Zhengzhou
University, Zhengzhou (2016)
3. Lu, Z., Zhang, H., Ao, M., et al.: Research of thermal time constant and steady criterion used
in the power cables ampacity test. J. Northeast Dianli Univ. 36(5), 25–31 (2016)
4. He, J., Jiao, Y., Ye, D., et al.: Simulation and computation of temperature field and ampacity
of conduit cable laying in different ways. Electr. Meas. Instrum. 53(3), 99–104 (2016)
5. Zhang, P., Wu, L., Jiang, D., Wu, L., Zhang, Y.: The temperature rise model of spacecraft
cables in vacuum environment. Spacecr. Environ. Eng. 30(3), 235–239 (2013)
6. Geng, L., Peng, F., Wang, T., et al.: Analysis of the impact of high-power electric cable
heating on satellite thermal design. Spacecr. Environ. Eng. 31(1), 83–87 (2014)
7. Kong, W., Wang, B., Lao, S., Ai, Y.: Study on fire initiation of wire insulations on board the
satellite. Chin. J. SpaceSci. 28(1), 28–32 (2008)
Spacecraft System Autonomous
Health Management Design
Yong Lei(&), Quanyou Qu, Deyin Liang, Yilan Mao, and Xi Chen
China Academy of Space Technology ISSE, Beijing, China

leiyong@cast.cn
Abstract. In order to ensure the stable operation of spacecraft in orbit, improve

continuous working capacity and reduce ground management pressure, this
paper proposes a hierarchical and distributed spacecraft health management
system architecture design, and proposes a healthy data flow design scheme,
health data generation and processing methods, health data sharing mechanisms
and health data scheduling methods. For the system health management
requirements, the paper put forwards some system health management strategies
such as spacecraft system monitoring, payload mission safety, power supply
safety, safety mode, system recovery and system reconfiguration, etc.
Keywords: Health management architecture Health data management

Health management strategy
1 Preface
With the development of aerospace technology and applications, users’ requirements for
spacecraft have been upgraded from the survival to continuous execution of missions.
The spacecraft mission has the characteristics of high cost and complex system com-
position. There is limited ground monitoring and control time, ground fault diagnosis
and disposal are not always timely. At the same time, with the increasing number of
spacecraft operating in orbit, the pressure to monitor and manage spacecraft is growing.
In order to improve the spacecraft’s continuous service capability, improve the timeli-
ness of fault handling, and reduce the pressure on ground management, it is necessary to
study and improve the spacecraft autonomous health management capabilities [1].
Spacecraft health describes the ability of spacecraft systems, subsystems, and
components to perform their design functions. The spacecraft health management can
be defined as a management activity directly related to its health status, that is, it can
independently monitor and diagnose its own health status, in the event of an anomaly,
it can be handled autonomously and return to normal work mode or minimize the risk
of safety and the impact on the mission. Health management uses monitoring and
diagnosis as the main means and it is the decision-making process and execution
process with perception as the core.
This paper carries out the research and design work of spacecraft system autono-
mous health management, and presents a hierarchical and distributed spacecraft health
management system architecture design. Based on this, the spacecraft health data
management mechanism and system health management strategies have been resear-
ched and designed.
https://doi.org/10.1007/978-981-13-7123-3_37
Spacecraft System Autonomous Health Management Design 311
2 Health Management Architecture Design
Depending on the complexity of the spacecraft system, the autonomous health man-
agement architecture can be divided into centralized, distributed, and hierarchical and
distributed types. The core of the centralized architecture is a central management
controller or processor that collects and processes all health information. This type is
suitable for simple spacecraft. The distributed architecture consists of tasks such as
status monitoring, fault detection, and isolation processing independently. The
advantage is that system integration and testing are easy. The disadvantage is the
inability to perform data fusion between subsystems, the reliability of fault diagnosis
and detection is lower.
Considering the advantages and disadvantages of centralized and distributed
architecture, and the spacecraft system usually consists of multiple sub-systems and
products, its functions, composition, working modes, etc. are more complex, thus
providing a hierarchical and distributed autonomous health management architecture
design that combines the advantages of centralized and distributed [2], as shown in
Fig. 1. The architecture is divided into system, subsystem and component layers, it
include main functions such as health data management at all layers, fault perception,
data fusion diagnosis, and fault handling based on knowledge database.
Health data
management
System layer data

System level fault fusion fault
health Data perception handling
diagnosis
Spacecraft
GRound
managem
Subsystem Sub-system data ent Center
fault fusion fault knowledg
layer level health
perception handling e database
Data diagnosis
Component Component
layer level health
Sensor 1 Sensor n BITm
Data
Fig. 1. Hierarchical and distributed health management architecture
The system layer mainly completes the following functions: acquiring, storing, and
processing the health data, and adopting different strategies to interact with the ground
system according to the critical degree of health status; exchanging health information
with each subsystem, in the event of a fault, according to system fault-tolerant
resources and Knowledge model, perform system-layer and subsystem-layer fault
handling and reconfiguration [3]; integrate health data and information from different
subsystems to eliminate data inconsistency, identify and isolate faults, and obtain more
reliable subsystem health status.
312 Y. Lei et al.
The subsystem layer mainly completes the following functions: obtaining sub-
system, component-layer health data and information, and performing fusion pro-
cessing, performing subsystem-layer, component-layer fault handling and reconfigu-
ration according to subsystem-layer fault detection, diagnosis, and knowledge model;
exchanging the subsystem health data and fault handling information with the system
layer.
The component layer will complete the following functions: according to the self-
test information or internal sensor information of the component, the fault diagnosis of
the component is performed and the fault management strategy is executed according
to the knowledge model; exchanging the component health information and fault
handling information with the subsystem layer.
3 System Health Data Management Design
3.1 Health Data Flow Design

The spacecraft health data is generated and processed by each component, subsystem
and system layer. The low-layer data is shared with the upper layer for data fusion
diagnosis, and the high-layer shares the fusion results, system health information, and
fault diagnosis to the lower layers. Figure 2 shows the Health data flow.
The system management unit undertakes system health management tasks, and
implements functions such as health data collection, processing, sharing and
scheduling. The health data storage unit is used to store all health data, fault diagnosis
information, system configuration status, etc. and can assist the system management
unit in data statistics, fusion, query, playback, etc.
Data sharing Data

and storing System management unit scheduling
System
Health data health Spacecraft Ground
storage unit Data management center
Generation Data
scheduling
Data sharing
and storing
Health Data sharing Data bus
Subsytem 1 Subsytem 2 Subsytem i
Compo Compo Compo Compo Compo Compo

nent 1 nent j nent 1 nent k nent 1 nent n
Fig. 2. Spacecraft health data flow design

3.2 Health Data Management Function Design

Health data management functions can be divided into three parts: health data gener-
ation and processing, health data sharing, and health data organization scheduling.
Health Data Generation and Processing. System layer commonly used health data
generation and processing methods include health status synthesis, statistical analysis,
Point extraction, mutation monitoring, event reporting, and system working status
records, as shown in Table 1.
Table 1. System level common health data generation and processing method
Method Description Application
Health Synthesize and analyze the health status of each Generate the health status of the
status subsystem, perform fusion diagnosis spacecraft for the ground to
synthesis processing, and obtain system health status quickly and accurately
summary information, including system understand the health status of
working mode, system event report index, the spacecraft
energy/attitude/load/communication/propulsion
and resource margin evaluation
Statistical According to the specific period (one track, one Used to analyze and diagnose
analysis day, one month, load working period, etc.), long-term characteristics of key
count the maximum/minimum value and parameters
average value of key parameters affecting the
health status of the system
Point For the key parameters of continuous change, it Draw curves for key parameters
sampled can also be sampled and stored according to the in a specific period
period, and generated a curve according to the
period (one track, one day, one month, etc.)
Mutation Performs system mutation monitoring and Used to detect a sudden change
monitoring important telemetry parameters, including 0-1 or an excessive range of
mutation, excessive variability of transitions, changes
and out of range
Event Corresponding event reports are generated for Used for further analysis,
reporting faults and abnormal events monitored at the location and disposal of faults
system level, and record all relevant data on the ground
System Real-time record system latest working status, Record the critical state of the
working system configuration status, and reliable storage system and use it for system
status through multiple methods recovery in case of fault
records
314 Y. Lei et al.
Health Data Sharing. The purpose of spacecraft health data sharing is to synchronize
system state, improve the accuracy, robustness and efficiency of health management.
Spacecraft system layer health data sharing is mainly through the following ways.
Publish the whole system parameters, health status, system configuration status, etc.
to the sub-systems, and synchronize the current status of the system.
Correlate the current working parameters between the relevant subsystems for
verification diagnosis. To ensure that all kinds of data required for fault detection are
comprehensive and accurate, and improve detection accuracy.
Store the critical state of the system in different storage units or sub-systems. When
a sub-system fails, the working parameters before the failure can be restored to
maintain the continuity of the system as much as possible; the health data storage unit
can also perform fusion analysis on health data to achieve accurate fault diagnosis and
location.
Health Data Scheduling. Health data scheduling includes spacecraft internal
scheduling and scheduling between the spacecraft and ground. The principle of data
scheduling is to transmit critical health data in a timely and on-demand manner.
The spacecraft internal scheduling adopts a periodic and burst-compatible
scheduling strategy. The periodic scheduling strategy is used for periodic messages,
and the burst-compatible strategy is adopted for the changing messages, which can
ensure that information is delivered in a timely manner and save communication
bandwidth resources. In addition, all health data is stored in the health data storage unit,
so that all data can be queried when needed.
AOS-based channel and packet two-level scheduling strategy is adopted between
the spacecraft and ground. The channel is used to distinguish different types of data, the
channel scheduling uses a policy triggered by an instruction or an abnormal event. The
packet scheduling strategy adopts a two-dimensional dynamic scheduling method
based on the shortest transmission period and the importance of packet.
4 System Layer Health Management Strategy
The spacecraft system layer health management strategy mainly includes: system
monitoring strategy, payload mission safety strategy, power supply safety strategy,
transfer to safety mode strategy, system recovery strategy, system reconfiguration
strategy, etc., and the implementation of each health management strategy depends on
lots of basic technologies, including fault detection, diagnosis, data fusion, software
development, PUS [4] (Telemetry and telecommand packet Utilization) anomaly event
handling mechanisms. The composition of the spacecraft system layer health man-
agement strategy is shown in Fig. 3.
spacecraft system layer health

management strategy
system payload power safety system system

strat monito mission supply recover reconfigu
egy mode
ring safety safety y ration
Tech- fault diagn data softw

nologies detection osis fusion are
Fig. 3. The spacecraft system layer health management strategy
Table 2 gives a description of the system layer health management strategies.
Table 2. System layer health management strategies

Strategy Strategy description
System It is used to monitor the status of the intelligent control unit of each
monitoring subsystem. When the abnormality is detected, the system management unit
takes corresponding recovery procedure for each intelligent control unit,
such as reconfiguration, reset, switch main/backup, etc.
Payload mission Check the validity of the user mission command, the verification includes
safety whether the task conflict, whether the system capability, on-board storage,
energy and other resources are sufficient to complete the mission; During
the execution of the load task, monitor the payload and the platform status.
When the abnormality is found, execute the payload forced shutdown to
ensure satellite safety
Power supply Monitoring of key parameters such as current, subsystem current, battery
safety discharge depth and charging current under various working modes of the
spacecraft, when the abnormality is found, the payload is turned off, the
relevant control parameters are adjusted or the equipment is switched to
ensure the energy safety of the spacecraft
Safety mode In the event that the attitude or the power supply are abnormal, if the
spacecraft cannot be returned to normal, the spacecraft can be transferred
to the safety mode for ground processing. The safety treatment
corresponding to the safety mode usually include stopping all the payload
missions, shifting to the minimum energy mode, emergency or the stop
control mode, and maintains the minimum working state
System recovery The latest critical parameters are stored in the health data storage unit and
different subsystems. When the intelligent control unit reset, switched or
other failure mode needs to be recovered to the previous working mode,
the subsystems or health data storage units can be read to quickly recovery
the working mode before the fault
System In the case of equipment failure, working mode error and other abnormal
reconfiguration conditions, system reconfiguration are required to restore the system status.
Reconfiguration method include: power off and power on, software reboot,
Transfer the task between different devices or subsystems [5], software
maintenance, component switch, etc.
316 Y. Lei et al.
5 Conclusion
According to the spacecraft health management objectives and requirements, this paper
proposes a hierarchical and distributed health management design, from the aspects of
health management architecture, health data management and health management
strategy. The hierarchical and distributed architecture has the advantages of simple and
efficient implementation, sufficient data fusion and sharing, and accurate fault diag-
nosis. The health data management is based on the system management unit and the
health data storage unit. The health data flow design scheme, health data generation and
processing method, health data sharing mechanism and scheduling method are put
forward. Finally, for the health management application, the health management
strategies such as system monitoring, payload mission safety, power supply safety,
safety mode; system recovery and system reconfiguration are designed.
The system layer health management scheme proposed in the paper is reasonable in
architecture, complete in health data management, effective in strategy, and can adapt
to the health management needs of complex spacecraft. It can be used as a reference for
spacecraft system layer health management research, system design, and spacecraft
ground control system design.
References
1. Tipaldi, M., Bruenjes, B.: Spacecraft Health Monitoring and Management Systems (2014).
978-1-4799-2069-3/14 ©IEEE
2. Kolcio, K., Breger, L., Zetocha, P.: Model-Based Fault Management for Spacecraft
Autonomy (2014). 978-1-4799-1622-1114 ©IEEE
3. Figueroa, F., Walker, M.G.: Integrated System Health Management (ISHM) and Autonomy,
8–12 January 2018, Kissimmee, Florida (2018)
4. ECSS. Ground systems and operations - Telemetry and telecommand packet utilization,
ECSS-E-70-41A (2003)
5. Fayyaz, M.: Survey and future directions of fault-tolerant distributed computing on board
spacecraft. Adv. Space Res. 58, 2352–2375 (2016)
Design and Simulation Verification of Ground
Charge Equipment for Li-Ion Battery Pack
Lin Hu(&), Dawei Fu, Hongyu Yang, Shuo Feng, Jianbo Du,
Jinchen Zhao, and Chengzhi Lu

hulin-0@163.com
Abstract. Li-ion battery packs are aerospace energy storage components that
have been used and have good prospects. Because it is not overcharge resistant
but needs to use them in series, the complex requirements of charging man-
agement have become an important factor restricting their development. It
designed a li-ion battery pack ground charging device from the satellite interface
to meet the demand in this paper, this device used CC-CV charge method,
equalization charging for cells, and has completed simulation verification, laid a
good foundation for subsequent charging equipment.
Keywords: Ground charge equipment CC-CV charge method

Equalization charging Design and simulation verification
1 Introduction
Compared with Ni-Cd and Ni-MH batteries, li-ion battery has higher operating voltage
without memory effect, smaller volume, lighter weight, higher energy ratio, higher
discharge current, longer life, lower self-discharge rate, and wider available tempera-
ture range and so on. Therefore, li-ion battery is the first choice when we need the
higher performance, reliability, security electrical energy storage device [1].
The charging process of the li-ion battery is completely different from the other’s,
as the performance of li-ions decreases, the imbalance between battery cells becomes
more serious after repeated charge and discharge cycles, the li-ion battery is not
overcharge resistant, overcharging will seriously affect the cycle life of the li-ion
battery. The charge termination voltage is generally controlled within 1% accuracy.
Thus, in order to meet the needs of routine testing, it is necessary to use a charging
equalization circuit to manage the charging process of the battery pack, it should design
special charging device for li-ion battery packs. It designed a more efficient equal-
ization charging ground equipment for li-ion battery packs in this paper, which charges
from the interface of the spacecraft with the existing charging power supply.

https://doi.org/10.1007/978-981-13-7123-3_38
318 L. Hu et al.
2 Systematic Review
2.1 Charging Mode
The development of charging mode starts with constant current charging but this
method is not easy to control. Constant voltage charging method, keeps the charging
voltage constant during the charging process, has some adaptability, and is closer to the
optimal charging curve than constant current charging method. However, the initial
charging current is too large, which has a great impact on the life of the battery, and
even causes the battery damage, so it is also hardly used. Compared with the two
methods, the stage charging is more reasonable, especially the two-stage charging
method which combines constant current and constant voltage. This method charges
constant current to the rated voltage and uses constant voltage charging to complete the
remaining charge [2]. Through the combination of the previous two charging methods,
the battery safety is better guaranteed. Although the charging control circuit is more
complex, because of its short charging time and high charging safety, it plays a
dominant role in the charging of li-ion batteries. The charging device designed in this
paper adopts this charging mode.
2.2 Equalizing Charge Type and Comparison

Equalizing charge management is needed in the charging process, which has become
the most difficult problem, and is also a hot topic in battery charging research. Among
them, battery optimization, battery screening, optimize battery usage, negative balance
and other ways to solve the problem of battery balance is too negative, cannot fun-
damentally ensure battery equalization in use. And the control circuit of energy transfer
equalization is too complex, the loss of energy of storage elements and switches makes
its advantages more obvious in the application of high capacity battery packs over
100 Ah.
By comparing the voltage of single cell with the reference voltage, the shunt
resistance equalization method uses bypass resistance to shunt the charge current to the
higher voltage cell [3]. Among them, the average voltage equalization method which
compares the average battery voltage with the single cell voltage to decide shunt or not
has good effect with more simple structure. Considering various factors, this design
selects the equalization mode of average voltage shunt resistance.
3 The Design and Simulation Verification of the Equipment
The design of the equipment mainly includes the design of the system (including the
whole system, constant current charging loop, constant voltage charging loop), related
modules design (including equalization module, system stability, overvoltage protec-
tion module, etc.) and the simulation of the system. The setup of system and simulation
of the circuit use Oracd Pspice.
Design and Simulation Verification of Ground Charge Equipment 319
3.1 Design of the System

The system topology is shown in Fig. 1. According to the previous description, the
system design of the circuit uses the CC (constant current)-CV (constant voltage)
charge method. The circuit consists of two loops: a constant voltage charging loop and
a constant current charging loop.
Fig. 1. System topology
In view of the current common and the increasing demand for battery capacity with
the development of aerospace, the 70 Ah battery pack is selected as the charging target.
In the constant current charging process, the charging current is selected to be 10 A,
which improves the charging efficiency and safety; in the constant voltage charging, the
charging current is selected to be 0.7 A. The single cell voltage range is set to 2.7 V to
4.2 V. For the common 30 V spacecraft bus voltage, 7 cells are connected in series, the
voltage of the whole pack is from 18.9 V to 29.4 V. Agilent 6670 series power supply
is used as the charging device.
Fig. 2. Constant current charging loop Fig. 3. Constant voltage charging loop
320 L. Hu et al.
As the system topology shown in Fig. 1, the feedback of the current loop is
obtained by collecting the voltage across the current sampling resistor. The feedback of
the voltage loop is the output voltage division.
DVEA R6
gain ¼ ¼
DVSENSE R5
Figure 2 shows the constant current charging loop. Through the two resistors R5
and R6 on the periphery of the amplifier, when performing the gain calculation of small
signals, it is known
The system selects 7.5 times gain to ensure the accuracy of charging current within
3%. It is proved by simulation that the system is stable and can meet the charging
current accuracy. If the sampling resistor is considered at the same time, the loop gain
is 3.
The design of the constant voltage charging loop is shown in Fig. 3, using the
output voltage divider for feedback. The gain of the loop is the same as the gain
calculation of the constant current charging. The error amplifier gain is 40 when the
sampling gain is not considered, and the gain obtained by considering the sampling
gain is 5.39.
3.2 Designs of Related Modules and the Others
Designs of the Equalization Module

Each single cell is connected in parallel with an equalization module to achieve bal-
anced charge management. The composition of the entire circuit shown in Fig. 4. The
negative end of the battery which comes from the constant current charging sampling
resistor is non-zero.
Fig. 4. The equalization module Fig. 5. The equalization module for

single cell
There is a series relationship between the battery cells. During the charging process, the
positive and negative voltage of each battery cell are floating.
Each equalization module is shown in Fig. 5: each single cell is connected in
parallel with a shunt resistor R, and the output of this current is controlled by switch;
each module samples and calculates the total voltage of the entire pack and the cell, it
compares the average voltage of the entire battery with the cell, so that, during the
charging process, relatively smaller charging current is achieved for the higher voltage
battery and larger for the lower ones, so the entire pack is matched. According to

m 1
Vcomp þ Vcomp ¼ ðVcell þ Vcell Þ ðVBAT þ VBAT Þ ð1Þ
mþ1 m
the circuit shown in Fig. 5:

When m (the number of battery segments) is 7, the amplification factor of the single
cell voltage compared with the average of the whole pack is 7/8 = 0.875.
Design of System Stability
Since the system has two control loops, the common control method which compen-
sates the error amplifier will not be applicable for switching mode power supply. The
main reason is that the compensation between the two control loops of voltage and
current will affect each other, Considering the small signal model of the control signal
of BUCK circuit, it can be known by calculation that: when the inductance and the
capacitance value are increased, so that small pole exists in the circuit, the system can
be stabilized.
The dynamic small-signal model of the BUCK circuit is established. The calcu-
lation results show that the two poles are 3.4*104 and 2.5*107 respectively. The above-
mentioned pole calculation conditions are satisfied, and the conclusion is correct. The
system gain itself is small and can be stabilized before 3.4*104.
The ratio of the pole frequency 3.4*104 to the system switching frequency is less
than 1/10, which ensures that the system is not affected by the switching frequency.
Design of Indicators and Parameter Calculation
System parameters: The switching frequency is selected to be 1 MHz, the input voltage
is 40 V, and the variation range is between from 35 V to 55 V.
Constant current charging: charging current is 10 A; charging current ripple during
charging is less than 1%; during stage of voltage rise during charging, charging current
error does not exceed 3%;
Constant voltage charging: voltage ripple is less than 2%; charging current is
700 mA;
The inductor current ripple depends on the inductor, switching frequency, duty
cycle, etc., according to the relationship between inductor current and voltage, it can be
known that:
1 1
2Iripple ¼ ðVin VoutÞD ð2Þ
L f
among them,
D ¼ Vout=Vin. ð3Þ
Comprehensive consideration of system stability and other factors, choose L to be

100 uH. The capacitor is selected to 10 uF level to ensure voltage ripple.
322 L. Hu et al.
Design of Over Voltage Protection

To prevent overcharging of the battery, there is overvoltage protection in the circuit:
When the output voltage exceeds the rated value, the system turns off the switch and
stops charging. The overvoltage protection module compares the voltage sampled with
two reference, and completes the hysteresis through logic judgment.
3.3 Design of Interface and Safety Reliability

The charging device and the satellite are connected with a satellite interface. The
connection mode is as shown in Fig. 6: The positive and negative terminals of each cell
in the whole pack are led to the interface which is connected to the device with the
special cable during charging or is protected in the rest of the time. In terms of safety
reliability design, overvoltage protection is added to the system to prevent overcharging
of the whole battery.
Fig. 6. Schematic diagram of connection with satellite
3.4 System Simulation Results

In the simulation, when the system simulation starts, the system is not working, the
output voltage is low and the output current is extremely small. When establishing the
state through negative feedback, the charging current is gradually increased to the set
10 A rated charging current, the simulation result is shown in Fig. 7. During this
process, the current increase is linear and the system is stable.
Fig. 7. Charging establishment process

Fig. 8. Charging current ripple Fig. 9. Current ripple on the inductor
Simulate the charging current ripple at some selected part of the simulation process.
According to Fig. 8, the maximum charging current of the sample is 10.02 A, the
minimum is 9.98 A, and the ripple is less than 0.02 A, which is much less than 1%. It
meets the requirements of the indicator. Figure 9 reflects the ripple variation of the
current flowing through the inductor, it can be seen that the ripple value is less than 1%.
it can also meet the requirements of the indicator.
Fig. 10. Charging current with voltage Fig. 11. Charging current with input
voltage
During the charging process, as the battery voltage gradually increases, the
charging current decreases accordingly. However, under the regulation of the system’s
negative feedback, the charging current is relatively stable. The simulation results in
Fig. 10 show that when the battery voltage increases from 18.9 V to 29.4 V, the ripple
decreases and the charging current decreases accordingly. During the whole change,
the DC component of the charging current decreases from 10.25 A to 9.92 A. The
change is within 3%.
When charging li-ion battery through the interface of the satellite, an existing
ground power source can be used as the supply. The design of the system with a large
input range can increase the universality of the system accordingly. This design selects
40 V as the input voltage selection, and the input voltage range can be selected from
324 L. Hu et al.
35 V–55 V. Figure 11 shows the simulation result. When the input voltage changes
from 35 V to 55 V, the current is between 9.95 A and 10.10 A, and the variation range
is within ±0.5%.
Fig. 12. Output voltage ripple of CV loop Fig. 13. Inductor current of CV loop
Figure 12 shows the output voltage of the constant voltage loop. The maximum
voltage is 29.989 V, and the minimum is 29.256 V, the average is 29.622 V.
Considering that the voltage drop of the sampling resistor at the negative end of the
battery pack is 0.28 V, it sets the output voltage as 29.68 V, the ripple is 0.367 V
which is 1.2% compared with the rated voltage. Figure 13 shows the inductor current
value, the maximum is 744.473 mA, the minimum is 670.244 mA, the average
inductor current is 707.359 mA, the average inductor current design of the constant
voltage loop is 700 mA, the error is 1%, and the ripple is 37.1 mA, it is 5%. Since the
main control object of constant voltage charging is lower voltage ripple, the current
performance is generally sacrificed, so the system is not as good as the constant current
loop in terms of current characteristics.
Fig. 14. CC loop voltage at the SW point Fig. 15. CV loop waveform at the SW point
Figure 14 shows the voltage at the SW point which is between the switch and the
inductor in the constant current loop. Figure 15 shows the voltage at SW point in the
constant voltage loop. The input voltage is PWM modulated by the switch, the max-
imum 36 V and the minimum –1 V SW voltage are obtained. The loss of the 36 V
compared to the 40 V input voltage is resistance consumption of the resistance in the
switch, and the negative 1 V voltage comes from the voltage drop of the freewheeling
diode. According to this figure, it can be seen that the output current/voltage of the
charging system is stable. According to the above simulation results, it can be seen that
the current loop is stable and can reach various indexes.
4 Summary and Prospect
Li-ion battery packs are aerospace energy storage components that have been used and
have good prospects. Because it is not overcharge resistant but needs to use them in
series, the complex requirements of charging management have become an important
factor restricting their development. How to satisfy the requirement of equalization
charge of li-ion batteries in spacecraft AIT stage has become one of the problems that
restrict the upgrading and optimization of spacecraft energy storage devices.
It designed a li-ion battery pack ground charging device from the satellite interface
to meet the demand in this paper, this device used CC-CV charge method, equalization
charging for cells, and has completed simulation verification, laid a good foundation for
subsequent charging equipment.
References
1. Slimm, M., et al.: Lithium-ion batteries for space. Space Power 502(416), 477 (2002)
2. Pan, J.: Lithium battery intelligent management system. Doctoral dissertation, Zhejiang
University (2004)
3. Bian, Yankai, et al.: Equilibrium control and design of Li-ion batteries. J. Northeast Electric
Power Univ. 26(2), 69–72 (2006)
Motion Control of Robot Mobile Platform
Based on Indoor Positioning System
Zhiguang Jiang(&) and Lijian Zhang

cast_jiangzhiguang@163.com
Abstract. This paper studies and designs the electric omnidirectional mobile
platform which based on the Mecanum wheel for the robot automation
assembly. The host computer communicates with the indoor positioning system
and the mobile platform to remotely track and control the mobile platform. At
the same time, the visualization module can view the movement trajectory of the
mobile platform, the state of the platform and the positional relationship with the
obstacle in real time, and can perform basic motion control and path planning
and execution operations on the mobile platform. By properly arranging the
location of the base station, the global positioning of the 100-m plant can be
achieved, and the positioning accuracy can reach 10 cm, which is better applied
to the development of spacecraft and provides technical support for the real-
ization of smart factories in the future.
Keywords: Robot mobile platform Mecanum wheel

Indoor positioning system Visualized numerical control
1 Introduction
With the maturity of robotic precision assembly technology, more and more spacecraft
models use this technology to assemble large-weight equipment, and achieved good
results. However, there are still some problems in the use process [1], in which the lack
of automation of the mobile platform is the main problem affecting its ease of use.
The existing robot mobile platform is purely mechanical and relies on manual
pulling and moving, and has the following problems:
(1) The transfer is time-consuming and labor-intensive, and the manual control has
low control accuracy for the entire system position;
(2) Insufficient steering ability, it is not convenient to adjust the direction of the robot
within a limited station;
(3) There are hidden dangers to people and products during the manual pulling
process.
The degree of automation of the manual pull-type mobile platform and the
industrial robot does not match, which affects the application efficiency and effect of
the entire system. It is necessary to introduce an automated electric mobile platform to
further improve the transport adjustment capability of the robotic precision assembly
system, making it better suited for spacecraft assembly.

https://doi.org/10.1007/978-981-13-7123-3_39
Motion Control of Robot Mobile Platform Based on Indoor Positioning System 327
The omnidirectional mobile technology based on the Mecanum wheel structure has
mature applications [2, 3], and the technology is applied to the robot precision
assembly system, which can realize the automatic movement of the system’s zero
turning radius and improve the use efficiency [4]. After adopting the electric omnidi-
rectional mobile platform, the system can be more conveniently transported at different
stations according to the application requirements, and the system orientation can be
flexibly and quickly adjusted to improve the automation level and application efficiency
of the entire system. The operator can precisely control the movement of the mobile
platform through the control terminal, and improve the position control precision of the
system. Compared with the manual pulling mode, the safety risk to the person and the
product can be greatly reduced.
In addition, after adopting the electric omnidirectional mobile platform, the robot
system will have the capability of remote automatic control, combined with the indoor
positioning system, which can realize high-precision remote closed-loop control in the
use site. Intelligent factory is an important development trend of industrial production
in the future. It realizes remote path planning and closed-loop control of mobile
platform, which can provide technical support for the realization of smart factory in the
future. This project has carried out research on remote visualization CNC software of
robot mobile platform, aiming at realizing remote path planning and closed-loop
control of mobile platform.
2 Overall Design
2.1 Functional Requirements
It can communicate with the indoor positioning system [5, 6] and the mobile platform
through the host computer, and then remotely track and control the robot mobile
platform. At the same time, the visualization module can view the movement trajectory
of the mobile platform, the state of the platform (coordinates, speed, etc.) and the
positional relationship with the obstacles in real time. It enables basic motion control
and path planning and execution of mobile platforms.
2.2 Scheme Design

The main function of the robot mobile platform control software is to realize the remote
control of the movement of the robot mobile platform between different stations in the
plant and its real-time online condition monitoring by constructing a global positioning
measurement field in the spacecraft assembly plant. The overall working principle of
the system is shown in Fig. 1.
The software uses the indoor positioning system as the position feedback means of
the omnidirectional mobile platform, and drives the platform to reach the command
position by sending identifiable speed commands (including speed gear position
information, yaw angle information and yaw rate information) to the omnidirectional
mobile platform. The system control module includes path planning and simulation
functions to realize automatic and manual planning and simulation of non-interference
328 Z. Jiang and L. Zhang
paths [7, 8]. In addition, the system can provide related operation auxiliary interfaces
such as compilation of NC program files, such as editing and saving of files, and data
feedback of programs written.
Fig. 1. Schematic diagram of the system working principle
Fig. 2. Robot mobile platform remote visualization control software overall program framework
The status monitoring functions carried by the system include: online display of
real-time position information of the platform (obtained by the indoor positioning
system), platform movement speed and angular velocity information, alarm informa-
tion, and obstacles (in the vehicle body safety zone or alarm zone) information [9]. In
addition, the system will also realize the feedback and monitoring of the stable support
state information, and achieve the virtual support requirement of the platform by
independent drive adjustment of four independent supports, the sub-module including
the drive adjustment module and the status display module. The control software will
realize the transmission of instruction information and status monitoring with the
platform in a wireless manner, and achieve the expected application goal of remote
real-time control and monitoring. The overall framework of the specific scheme is
shown in Fig. 2.
3 Detailed Design
Based on the above design, the basic interface of the developed control software is
shown in Fig. 3. The independent mode and the modules can be switched to each other.
The input and output of the control commands are visualized. The important state
monitoring information (such as alarms) is displayed in real time in the fixed window
position, and is not affected by the switching of each module.
Fig. 3. Preliminary framework of remote visualization CNC module for robot mobile platform
The data communication of the system module adopts the wireless mode, and the
underlying driving communication with the omnidirectional mobile platform is based
on the RS232/485 data protocol.
3.1 Serial Communication

The host computer communicates with the robot mobile platform through the wireless
device. The wireless device is connected to the computer through the R232 port, and
the software implements serial communication, and transmits and receives data through
the serial port. The wireless communication device performs wireless pairing with the
robot mobile platform (Fig. 4).
Fig. 4. Wireless communication box
3.2 Indoor Positioning System

This project uses ultra-wideband carrierless communication technology to transmit data
using non-sinusoidal narrow pulses of nanoseconds to picoseconds [10, 11]. It has a
strong penetration precision and can be accurately positioned indoors and underground,
Fig. 5. Location information of the indoor positioning system output

with a transmission distance of less than 10 m. The global positioning of the entire
plant can be achieved by rationally arranging the location of the base station, and the
positioning accuracy can reach 10 cm [12] (Fig. 5).
3.3 Mobile Platform Path Planning

In the software two-dimensional coordinate system, you can plan the path that the
mobile platform will walk by clicking on the points in the coordinate system. The
mobile platform has a moving forward direction, so the coordinate values and direction
vectors established in the indoor positioning system are first read by two or more PCEs
placed on the mobile platform, and the passing point coordinates in the planned path
are selected at one time. Two PCEs are placed on the mobile platform to mark the
mobile platform. A PCE is placed in the center of the platform, and the coordinates of
the center point position of the mobile platform can be read in real time, and also serves
as the starting point of the vector (point B), and the other PCE is placed at the forefront
of the moving platform (point C). Then the vector BC (starting point -> platform front
end point) direction indicates the current heading direction of the platform (Fig. 6).
Fig. 6. Specifies the motion path

4 Software Introduction
4.1 Technology Implementation
(1) Communication function

(1) The remote visualized numerical control module can perform wireless data
communication with the vehicle-mounted PC, feedback the motion state of
the mobile platform in real time, and send control commands, and the com-
munication cycle does not exceed 100 ms;
(2) The remote visualization CNC module can receive the indoor positioning
system data in real time, and the positioning data update period does not
exceed 100 ms.
(2) Motion control
(1) It can perform basic translation and steering motion control on the mobile
platform, and has continuous motion and quantitative motion functions;
(2) For the determined sequential path point, the closed-loop control function
with continuous execution motion passing through the path point in turn, the
offset of the straight line between the two points during the movement
between the two path points does not exceed 200 mm;
(3) It can control the execution of the platform legs and the automatic leveling
action;
(4) With remote emergency stop control.
(3) Software visualization function
(1) The software interface can display the working platform of the mobile plat-
form in the form of a virtual two-dimensional plane, and can draw graphics in
the virtual field by means of mouse drawing to indicate the boundary of the
site, obstacles, etc. [13, 14];
(2) With a visual path planning function, the path point is picked up and recorded
by clicking on the mouse in the virtual field;
(3) It can graphically display the perception of obstacles by the obstacle avoid-
ance device of the mobile platform;
(4) The software interface has the necessary display, operation controls, operation
boundaries, and is not prone to errors.
4.2 Instructions for Use
(1) Interface introduction

Mobile platform control interface is shown in Fig. 7.
• The upper part is the information display column;
• The information can be set as yaw angle, angular velocity, and motion speed;
• “Run” button: control the movement of the mobile platform according to the
entered value;
• Path Planning button: Plan the platform rotation angle and rotation direction
according to the n coordinates selected by the operator in the plane coordinate
system (the path consisting of n points will be presented in this coordinate
system). The platform will eventually reach the final target point.
Fig. 7. Motion Control Module Interface
(2) Operation steps:

• Click on any continuous point in the coordinate system, these points form the
path and display in the coordinate system;
• Click the “Path Planning” button, the mobile platform will automatically
follow the path (first determine the direction of rotation, then determine how
big the angle needs to be rotated, and finally drive to the target point in a
straight line after the rotation is completed);
• “Stop” button: Stops immediately regardless of what manipulation the mobile
platform is performing (Fig. 8).
Fig. 8. Mobile platform support module interface

You can choose to set the mobile platform to “stable support adjustment”/”stable
support release”.
4.3 System Hardware Components
• Mobile platform
• Computer
• Indoor positioning system
• Mobile platform wireless communication equipment
5 Conclusion
The wireless communication between the upper computer and the indoor positioning
system and the robot mobile platform is realized, and the movement of the mobile
platform is controlled through the visual interface operation, and the movement is
performed according to the trajectory. By properly arranging the location of the base
station, the global positioning of the 100-meter plant can be achieved, and the posi-
tioning accuracy can reach 10 cm.
References
1. Zhou, Y., Zhang, J., Le, Y., et al.: Application of mobile robot technology in aerospace
manufacturing industry. Mech. Des. Manuf. Eng. (2018)
2. Zhu, Y.: Research on Design and Performance of Omnidirectional Vehicle Based on
Mecanum Wheel. Yanshan University, Qinhuangdao (2016)
3. Chung, J.H., Yi, B.J., Kim, W.K., et al.: The dynamic modeling and analysis for an
omnidirectional mobile robot with three caster wheels, vol. 03, pp.3091–3096 (1994)
4. Lu, W.: Structural design of omni-directional wheel moving mechanism. Mech. Electron.
(2006)
5. Liu, H., Darabi, H., Banerjee, P., et al.: Survey of wireless indoor positioning techniques and
systems. IEEE Trans. Syst. Man Cybern. Part C Appl. Rev. 37, 1067–1080 (2007)
6. Lee, B.-G., Chung, W.-Y.: Multitarget three-dimensional indoor navigation on a PDA in a
wireless sensor network. IEEE Sens. J. 11, 799–807 (2011)
7. Wang, Z., Guo, G.: Current status and prospects of mobile robot navigation technology.
Robotics (2003)
8. Luo, M., Wu, H., Du, Y.: Research on mobile robot navigation based on human-computer
interaction. J. Comput. Measur. Control, 1291–1293 (2013)
9. Lu, X., Zhang, G.: Research on navigation method of indoor service robot. Robotics (2003)
10. Deng, P., Fan, P.: Principle and application of wireless positioning in cellular system. Mobile
Commun. (2000)
11. Lee, J.-Y., Scholtzr, A.: Ranging in a dense multipath environment using an UWB radio
link. IEEE J. Sel. Areas Commun. 20, 1677–1683 (2002)
12. Cao, S.: Research on Key Technologies of Ultra-Wideband Indoor Positioning System.
Guilin University of Electronic Technology (2006)
13. Li, Z., Wang, H.: Design and implementation of remote human-computer interaction
software platform for mobile robots. J. Comput. Measur. Control 121–125 (2017)
14. Pfeifer, R., Iida, F., Bongard, J.: New robotics: design principles for intelligent systems.
Artif. Life 11(1/2), 99–120 (2005)
A Process Method and Simulation Analysis
of Spacecraft Wing Root Cable Fixing
Kai Xu1,2(&), Lijian Zhang1,2, and Hao Li1,2

1
xukaiclover@163.com
2
Beijing Engineering Research Center of the Intelligent Assembly
Technology and Equipment for Aerospace Product, Beijing 100094, China
Abstract. In order to avoid the situation that the cable is damaged during the
unfolding and folding process of solar wings, a spacecraft solar wing root cable
tying process is designed. Through the simulation of the root-hinge cable laying
process, it is concluded that setting the appropriate reserved length and cable tie
point, improving the installation flexibility of the wire harness, and the wire
harness can be prevented from being stressed after the connector is plugged,
thereby improving the service life of the cable. Then through the simulation of
the motion of the root cable, it is concluded that the interference of the root cable
is not affected during the deployment of the solar wing, and the correctness of
the static simulation is verified, which provides a theoretical basis for the
satellite assembly operation.
Keywords: Multiple deployment of solar wing Root cable Process method

Simulation analysis
1 Introduction
The solar wing is the main energy supply device of the spacecraft. Due to the limitation
of the vehicle, the solar wing folds and the gathers in the fairing during the launching
stage. When the spacecraft is separated from the vehicle, it expands into a plane and
locks. Therefore, the reliable deployment of the solar wing is the key to ensuring its
normal on-orbit operation and accurate orientation of the sun [1–3].
Due to the uncontrollable expansion speed of the solar wing energy-free devel-
opment agency, the active deployment mechanism has increasingly become a hot field
in research of the solar wing mechanisms at home and abroad. However, at present,
there are no optimized design schemes for the solar wing root cable lashing point and
the solar wing root cable reserved length. The solar wing root cable tying and fixing
method has not been finalized yet, and the solar wing unfolding and folding process
exists the danger of squeezing, pulling, and damaging the cable. Therefore, this paper
simulates and analyzes the cable tying of the root cable, and determines the reserved
length of the cable, the way of walking, and the cable state after the solar wing is
rotated [4–7].

https://doi.org/10.1007/978-981-13-7123-3_40
A Process Method and Simulation Analysis 337
2 The Multiple Deployment of Solar Wing

2.1 The Multiple Deployment of Solar Wing Structure and Motion
Process
The multiple deployment of the solar wing consisting of a root hinge, a center plate,
and a side plate, and the collapsed state is pressed the side wall of the satellite through
the pressing point. The solar wing uses a root hinge in a series with the center plate, and
the center plate is parallel with two side plates [8–11].
After the multiple deployment of solar wing pressing device is unlocked, the
unfolding process is divided into two steps [12–14]. First, the upper and lower side
panels and the center panel are simultaneously unfolded under the constraint of the side
panel release device. Thereafter, the side panel release device releases the restraint on
the upper and lower side panels, and the upper and lower side panels are unfolded, as
shown in Fig. 1.
Fig. 1. Schematic diagram of the solar wing deployment process
2.2 The Multiple Deployment of the Solar Wing Root Hinge and Cable
Design
In the course of research, the design model was first confirmed, and the distance
between the lower plane of the root hinge inserting the plate and the center of the root
hinge was confirmed. There are 4 connectors for the solar wing hinge design. They are:
X07, X08, X09, X10. Among them, X07 is a rectangular connector, X08, X09 and X10
are circular connectors. Currently, the circular connector has Two tail covers, one is a
straight tail cover, and the other is a tail cover. The X8 adopts a straight tail cover when
designing, and the X9 and X10 adopt a curved tail cover. In order to avoid the X9 tail
cover and the X10 interference, rotate the X9 tail cover, as shown in Fig. 2.
338 K. Xu et al.
Fig. 2. Schematic the diagram of the solar wing root cable routing
3 Simulation Analysis
The length of each electrical connector lead in the design: the X07 lead length is about
350 mm, the X08 lead length is about 300 mm, the X09 lead length is about 210 mm,
the X10 lead length is about 140 mm.
Due to the design of the cable, the cable is considered as a rigid body, and the true
state of the cable under the influence of its material parameters is not considered, and
whether the minimum bending radius, the maximum tension and the like are reached.
This simulation is based on the real material parameters of the cable for real-time
simulation of the one-dimensional finite element.
In order to meet the minimum bending radius requirement of the cable, the standard
length of the cable needs to be bundled. After flexible processing, the parameters of the
cable are input, the parameters are shown in Table 1.
Table 1. Cable related parameters

Related parameters Value
Young’s module 2:76e þ 07 N=m2
Material density 1200 Kg=m3
Inner diameter 0:000 mm
Outer diameter 13:00 mm
Minimal bending radius 26:000 mm
Minimal bending radius 2 Factor
Maximal tension force 50 N
Maximal torsion moment 1 Nm
The length of the lead is the design length after conversion. The result of the
standard length of the rectangular connector and the round connector tail, cable must be
tied, as shown in Fig. 3. The blue segment is the minimum bending radius prompt, the
red segment indicates interference with the rigid body structure.
Fig. 3. Cable retention standard length, lashing segment results
3.1 Cable Laying Simulation

After the cable is flexibly processed, through the comprehensive simulation of the
laying process of the root cable, the reserved length of the cable, the position of the
lashing point, and the order of the wire harness installation are determined to improve
the installation flexibility, thereby avoiding the stress or reaching the limit of cable
insertion status.
Cable Length and the Lashing Point Position Simulation
After the flexible treatment of the cable, due to its material parameters, its natural
routing method is different from the design time. The cable is designed as a rigid body
without considering the influence of material parameters, thus causing the difference
between the direction and mode of the design and the actual installation state. The
difference from the actual installation state may cause the flexible cable to interfere with
the rigid body, reach the minimum bending radius, and there are tensions, etc., and
there are hidden dangers in the daily operation of the cable.
After the flexible treatment, it can be seen that the cable interferes with the sur-
rounding components, and the long-term use will cause wear on the cable. It is rec-
ommended to increase the lashing point, as shown in Fig. 4. And the X08 cable bundle
reaches the minimum bending radius, there is a hidden danger in operation, and the
reserved design length needs to be adjusted at the same time.
It can be seen from the setting of the lashing point in Fig. 4. The original design
length can not meet the cable routing requirements. It is necessary to adjust the cable
length while setting the lashing point.
This simulation follows the on-site assembly situation. The adjustment of the cable
is adjusted in 1 mm increments, and the length of the cable is adjusted. Through pre-
adjustment, the maximum tensile force and the disconnection state of the cable are
eliminated, but there is still a case where the X08 cable reaches the minimum bending
radius and interferes with surrounding components. The reserved length needs to be
further adjusted.
340 K. Xu et al.
Fig. 4. Sets the lashing point (pink represents the maximum tension of the cable, red represents
the pull-off state)
Through the adjustment of the reserved length to eliminate various minimum

bending radius, maximum tensile force, interference and other unfavorable conditions,
the adjusted cable length is the preliminary reserved length of the simulation result, in
the future, the dynamic simulation process will be combined to further simulate the
reserved length, as shown in Fig. 5.
Fig. 5. Cable status after simulation
After preliminary simulation, when the X07 lead length is 368 mm, the X08 lead
length is 318 mm, the X09 lead length is 213 mm, and the X10 lead length is 145 mm
can meet the working requirements.
The position of the ligature point to the lower section is: the X07 lead length is
68 mm, the X08 lead length is 77 mm, the X09 lead length is 73 mm, the X10 lead
length is 68 mm.
Cable Installation Sequence Simulation

Using the function of IC.IDO, physical simulation the installation sequence of the
cable, while verifying the dynamic assembly process of the four joints together with the
leads, the ergonomic analysis of the hand space of the assembler is also performed to
confirm the space, ensure the installation of four connectors.
Through the analysis and simulation of the installation process and hand ergo-
nomics, the installation sequence is determined as the first step to install the X10
connector, the second step X09, the third step X08, and the last step X07.
3.2 Root Cable Motion Process Simulation

After static simulation (laying simulation) of the root cable, determining the reserved
length, the position of the lashing point, and the installation sequence, the deployment
process of the solar wing is simulated to investigate whether the root cable interferes or
hooks during the deployment process, and further examine the results of the static
simulation. By simulating the motion process of the stranded cable, it can be seen that
the minimum clearance between the expansion limit position with the sun wing is
17.15 mm; the minimum distance from the remaining fixed components is 5.43 mm;
the minimum distance of the cable from the bottom hinge is 13.21 mm; the minimum
distance from the moving parts is 17.15 mm and 16.81 mm, as shown in Fig. 6.
(a) Minimum clearance between the extended limit position and the solar wing
(b) The minimum distance of the cable from the bottom hinge
Fig. 6. Simulation of the movement process of the root cable

342 K. Xu et al.
It can be seen from Fig. 6 that in the whole process, there is no influence on the root
cable, and there is no interference or hooking, so there is no stress.
4 Conclusion
Through static and dynamic simulation analysis, the optimal design of the lashing point
and the cable reserved length under the overall wiring state of the solar wing root cable
is realized, avoiding the minimum bending radius, the maximum tension and the
occurrence of interference, hooking and other undesirable phenomena, guarantee the
safety of the spacecraft solar wing working state.
References
1. Fei, K.: Design and Performance Test of Repeated Folding and Locking Solar Wing
Mechanism. Zhe jiang University of Technology, Hangzhou (2013)
2. Yang, J., Huang, H., Liu, Y., et al.: The evidential network for fault tree analysis with
imprecise knowledge. Int. J. Turbo Jet Engines 29(2), 111–122 (2012)
3. Zhou, Z., Wu, Y., Wang, J., et al.: Development status and trend of the circular solar wing.
Spacecr. Eng. 24(6), 116–122 (2015)
4. Zhang, L.: Design and Research of the Spacecraft Step-and-Expanding Solar Wing.
Shanghai Jiaotong University, Shanghai (2012)
5. Li Entrusted: Tension design and analysis of the solar wing linkage device. Chin. Space Sci.
Technol. 26(2), 52–57 (2006)
6. Eacret, D.L., White, S.: ST8 validation experiment: Ultraflex-175 solar array technology
advance: deployment kinematics and deployed dynamics ground testing and model
validation. In: AIAA 2010-1497. AIAA, Washington D.C. (2010)
7. Hua, D.: Design and Analysis of the Repetitive Locking and Release Mechanism of the Solar
Wing. Harbin Institute of Technology, Harbin (2008)
8. Wang, X., Yan, H., Zhou, Z.: Development status and trend of two-dimensional multiple-
expansion solar wing technology. In: Expandable Spatial Structure (2014)
9. Liu, Z., Wu, Y., Qi, H., et al.: Evaluation method for reliability of spacecraft solar wing
expansion. Chin. Space Sci. Technol. 52–56 (2013)
10. Solar, J.: Dynamic Fault Tree Analysis of Solar Wing Drive Mechanism. The university of
Electronic Science and Technology of China (2012)
11. Ren, S., Shang, H., Shang, H., Qi, H.: Simulation analysis of deployment dynamics of a two-
dimensional unfolded solar wing. Spacecr. Eng. 21(4), 32–36 (2012)
12. Murphy, D.M.: MegaFlex-the scaling potential of UltraFlex technology. In: AIAA 2012-
1581. AIAA, Washington D.C. (2012)
13. Xinggao, Z., Fengxi, C., Tingwei, L., et al.: Research on vibration test specifications of solar
wing drive mechanism based on modal analysis. Min. Mach. 38(5), 171–173 (2017)
14. Hu, M., Li, W., Chen, W., et al.: Motion simulation and functional experiment of repeated
folding mechanism of sectoral solar wing. Chin. J. Space Sci. 36(1), 92–98 (2016)
Study on 3D Cable Network Design Method
Yi Yuan(&), Wei Yu, Xiaoyi Ru, Zhou An, Qi Miao, Xuhua Hu,
and Zhenpeng Ding

89556690@qq.com
Abstract. In order to solve the problems in the spacecraft 3D cable network

design flow, this paper rebuilds the 3D cable design mode according to the
spacecraft development flow, brings forward the improvement method in detail,
describes the key points which was used, confirms the method by developing the
software based on Pro/E. This paper as a reference can help to improve the 3D
cable network design automation level.
Keywords: Spacecraft cable network 3D design

Second-development Pro/E
1 Introduction
3D cable network design is an essential part in the 3D design of spacecraft. A common

satellite has about 200–300 cables, 1500 branches and more than 20000 connections. It
is the bottleneck of the 3D cable network design of spacecraft, as in the traditional
pattern there is a huge and error-prone workload when the designers are adopting the
cable module of Pro/E software for manual modelling. They have to figure out the
spatial location extracting and accessing the electric connectors and execute selection
through the mouse.
In this paper, according to the 3D cable network development of a domestic general
design institute of spacecraft and the secondary development of Pro-E software, the 3D
design flow of cable network is optimized. The manual operation difficulties are
automatically achieved through software to reduce the difficulties in the 3D cable
network design and improve the design efficiency.
2 3D Cable Network Design of Spacecraft
2.1 Current 3D Cable Network Design

The 3D cable network design flow of a general space design unit is as shown in Fig. 1.
First of all, to develop the IDS signature. IDS is the interface pattern of spacecraft
development data originally created by the unit. As the only basis to carry out the
development of spacecraft device, it stipulates the functional indexes such as the
mechanical properties, electrical characteristics, thermal performances and telemetry
parameters of the spacecraft device etc. The standalone unit starts developing the
standalone device according to the DIS file and proposes the standalone device and the
matching 3D model of IDS to the general unit. The general design adopts the

https://doi.org/10.1007/978-981-13-7123-3_41
344 Y. Yuan et al.
standalone device model to carry out the general configuration layout design and form
the whole-spacecraft configuration layout model. The logic design of cable network
forms the table of the cable branch connection relation according to the electric con-
nector information and contact distribution relation in the IDS file. Based on the whole-
spacecraft configuration layout model, the general designer starts the 3D cable network
design according to the connection directing in the table of cable branch connection
relation to form the 3D cable network model finally [1].
Interface design IDS file
standalone model
device model design activity
design
whole-spacecraft design activity

configuration configuration
layout design layout model
design activity
installation of electric
connector plug
electric connector
designation
3D cable design activity
3D cable
network design bobbin design network
path planning
model
harness design
branch design
table of cable
cable network branch
logic design connection
design activity
relation
Fig. 1. 3D cable network design flow of spacecraft
As shown in Fig. 1, data of standalone modelling, configuration layout and logic

design of cable network are from IDS, which has guaranteed the unification of the data
source during the design. However, as most operations of the 3D cable network design
are excessively dependent on manual execution of the designers, the procedure are
complicated and error-prone. It is rather difficult to search for the matching cable inlet
and outlet among such tremendous information manually, especially there are dozens
of slabs, hundreds of devices, thousands of electric connectors and interlaced sub-
system models during the 3D design of whole-spacecraft cable network. Therefore, on
the condition of maintaining the current flow, the design steps and outputs shall be
regulated by achieving the procedural and repetitive operations automatically through
software to improve the design efficiency and correctness of the design result.
2.2 Improvement of 3D Cable Network Design Method

There are the following problems in the current 3D cable network design:
(1) The device model is nonstandard and the information are incomplete. The 3D
models proposed by all subsystems and standalone development units have no
unified requirements for modelling, a lot of key information are unattainable and
missing.
Study on 3D Cable Network Design Method 345
(2) The design link interface is unclear. The current 3D cable network design is based
on the general configuration model. When the general configuration layout model
is adjusted, the 3D cable network mode will change automatically, which is not
helpful to clear the responsibility interface and control the technical state of
model.
(3) The key links are lower automatized. The cable network design is composed of
several links i.e. analysis of cable branch file, installation of electric connector
plug, electric connector designation, wire gauge design, routing path planning and
3D modelling etc., all of which will be manually completed by the designers. In
the early stage of the cable network design, the 3D models are constructed by IDS
and the standalone development units manually, hence lack the corresponding
tools and software.
Therefore, to realize the fast 3D cable network design, we must start from the
following aspects:
(1) Normalize the device. Realize the automatic modelling of device based on the IDS
file and the unify the model patterns. Identify the key information (i.e. electric
connector name) required by the 3D cable network design in the automatic
modelling to facilitate the subsequent design and extraction of cables.
(2) Clarify the working interface and connector. Construct the 3D design input model
of whole-spacecraft cable network according to the whole-spacecraft configura-
tion layout model. When the spacecraft configuration layout is changed, the input
models can be updated only after the designers execute the change and confir-
mation. This can help the designers to control the technical design state.
(3) Develop the specific tools according to the design platform. Realize the branch
length analysis, electric connector designation, installation of electric connector
plug, cable directing planning, wire gauge design, 3D modelling automation and
simplify the design process.
Interface IDS file

design
design activity
standalone device
specification
model design
model
whole-spacecraft
configuration
configuration design activity
layout design layout model
installation of electric
input interface connector plug
model for cable design activity
electric connector
network design designation 3D cable
3D cable
path planning bobbin design network
network design model
harness design
branch analysis
branch design
table of cable
cable network
branch
logic design connection design activity
relation
Fig. 2. Ideal development mode of 3D cable network

346 Y. Yuan et al.
Figure 2 is the ideal development mode of 3D cable network. Except for the design
activities such as configuration layout, cable logic design and cable path planning that
are inseparable from the manual intervention, other works can be automatically realized
through the software tools. After making the information preparation for the 3D cable
network design, the modelling process of 3D model is a black box that can lower the
complexity of cable network design and reduce the design workload.
3 Implementation of the 3D Cable Network Design Based

on Pro/E
The fast design of 3D cable network contains four parts namely the device normal-
ization modelling, construction of input interface model, analysis cable network con-
nection relation and automatic modelling of cable network. Now the implementation
method will be expounded in four aspects:
3.1 Device Normalization Modelling

The spacecraft device can be simplified into the combination of the device itself and
electric connector. The device itself reflects the spatial contour of the device, the
electric connector is the outlet and inlet of cable, so that the specific sign shall be set on
the electric connector for programming identification. The device normalization
modelling can be decomposed into automatic construction of device contour, automatic
installation of electric connector and property setting of the electric connector interface.
(1) Device modelling. The device contains the device box and installation lug. The
device box is rectangular and the installation lug can be summarized as several
patterns. Therefore, the device box and the installation lug can be respectively
defined as the user-defined features. During the automatic modelling, the user-
defined features of device box shall be inserted and the user-defined features of
lug can be selected and inserted according to the description of the lug type in the
IDS file to complete the automatic construction of the device box.
(2) Electric connector installation. The electric connector library of spacecraft cor-
responding to the physical electric connector is built and maintained by specially.
The geometric shape of the 3D electric connector models can be simplified
properly, yet it must reflect the elements required for the cable network design, for
instance the outline, straight length and so on. Each electric connector shall be
equipped with specific coordinate system as the installation reference to the cable
plug. During the device modelling, according to the electric connector type
description in IDS file, the corresponding 3D electric connector models will be
selected automatically. As each electric connector installed on the spacecraft has
the unique sign during the development process, the congruent relationship
between each 3D electric connector model installed on the device and the unique
sign shall be established by setting the parameters and properties for the automatic
identification in the 3D cable network design (Figs. 3 and 4).
Method of development
Input Step and implementation
Device box modelling User-defined

IDS file
features
Installation lug User-defined

IDS file
modelling features
Electric connector
IDS file Templet
installation
Setting of electric Setting of

IDS file parameters and
connector identification
properties
Fig. 3. Implementation method of device normalization modelling
Fig. 4. Normative device established automatically
3.2 Construction of Input Interface Model

Input interface model of the cable network design is based on the spacecraft config-
uration layout model and reflects the outline and installation location of the spacecraft
device. The process is implemented through the contracting and enveloping functions
of Pro/E; as the model input of the 3D cable network design, it contains the data (i.e.
the installation coordinate system of the cable plug on the electric connector) required
for the sequent design at the same time of contracting the geometric shape (Fig. 5).
Fig. 5. Example of 3D cable network input interface model

348 Y. Yuan et al.
3.3 Analysis on the Branch Connection Relation File of Cable Network

Connection relation file of cable network is in excel format containing three parts
namely the wire gauge definition, connector definition and connection relation defi-
nition. The wire gauge defines the specification data of cable such as the diameter,
turning radius and linear density etc.; the connector definition sets the plug types
corresponding to all electric connectors; the connection relation definition describes the
logic connection of cables including the harness, branch, start point, end point and
corresponding wire gauge of the cables. The three parts have completely expressed the
physical properties and connection properties of cables. Analysis on the connection
relation file of cable network is to adopt the object-oriented method to structure the
descriptive text into the information flow that can be identified by computer as the
design input of the 3D cable network modelling (Fig. 6).
Fig. 6. Example of cable branch connection relation table
3.4 Automatic Cable Network Modelling

Automatic cable network modelling is implemented in line with the following steps.
(1) According to the description of the plug type corresponding to each electric
connector in the table of cable branch connection relation, plug corresponding to
each electric connector shall be automatically invoked from the template library
through the software development. The installation method is to superpose the
installation coordinate system on the plug model with that on the electric con-
nector to facilitate the software realization (Fig. 7).
Fig. 7. Example of cable plug installed fast

(2) Pro/E takes the +Z axis in the coordinate system as the cable inlet. The coordinate
system shall be designated under the Pro/E cable module, so that it can be
identified in modelling. The cable design coordinate system shall be preset on the
template of cable plug and make sure the +Z direction is outward. Also, the open
interface Pro/Toolkit of Pro/E has provided a large number of cable network
implementation functions. During the software implementation, all connector
plugs in the current model can be traversed first; the cable installation coordinate
system on each cable plug can be obtained through feature analysis; the batch
setting implementing the cable installation coordinate system can be designated
cyclically through software; each cable installation coordinate system is endowed
with a unique internal sign by interpreting the whole-spacecraft unique sign of the
electric connector corresponding to the cable plug; the cable installation coordi-
nate system endowed with sign can be identified by Pro/E subsequently (Fig. 8).
Fig. 8. Example of cable installation interface
(3) Main cable path is realized through the routing network equipped on the Pro/E
software. Its principle is to preplan a virtual path on the spacecraft model, the
Pro/E will search the main path with the shortest distance from the directing
automatically during implementing the cable network directing design. Under the
circumstances of various cable networks and complicated directing, try the best to
make sure several cables can share the common path, so that the cables can be
bound and tied up. The main cable path design shall take the whole-spacecraft
cable network layout into full consideration; whether the main path is reasonable
has determined whether the cable directing is reasonable and whether the target of
cable weight control can be realized [5, 7].
(4) Pro/E provides a large number of automatic realization interfaces of cable net-
work; however, the realization process is rather complicated and the developers
must have deep understanding on the realization mechanism of Pro/E cable net-
work. To lower the development difficulty, Pro/E also provides the neutral file
format (nwf) to define the wire gauge and connection logic of the cables in the
neutral file. After Pro/E reads the neutral file, the wire gauge can be established
automatically to connect the automatic identification of the start point and end
point. The developers only have to make fewer encoding work to construct the 3D
cable network modelling automatically [6] (Fig. 9).
350 Y. Yuan et al.
Fig. 9. Definition example of nwf file wire gauge, component and connector, connection
relation
According to the neutral file, development of the fast design function of 3D cable
network modelling can be simplified into obtaining the wire gauge and logic con-
nection relation of cable network from the table of cable branch connection relation and
writing it into the neutral file according to the canned format of the neutral file. As each
wire coordinate system has been identified during designating the installation interface
of cable network, when Pro/E reads the neutral files, it can identify the cable network
design port on the model corresponding to the logic relation automatically. By adopting
the canned 3D cable network construction function of Pro/E, the 3D cable network
modelling can be generated as shown in the following figure [2–4].
4 Conclusion
On the basis of summarizing up the 3D cable network design characteristics of

spacecraft, the paper optimizes the design flow by putting forward the fast imple-
mentation method of 3D cable network design. It verifies some functions according to
the secondary development of the Pro/E software and has a reference value and guiding
significance to improve the quality and automation level of 3D cable network design.
References
1. Chen, Y.: An Introduction of Digital Design for Spacecraft, pp. 386–387. Science and
Technology Press, Beijing, China (2010)
2. Wang, W.: The Example of Pro/E wildfire 4.0 Second Development, pp. 53–55. Tsinghua
University Press, Beijing (2010)
3. Wu, L., Chen, B.: The Base of Pro/ENGINEER second development, p. 1. Publish House of
Electronics Industry, Beijing (2006)
4. Lin, L.: Second Development of Pro/E Wildfire 2.0 with Pro/Toolkit, pp. 529–530. Publish
House of Electronics Industry, Beijing (2005)
5. Li, Y., Li, C., Liang, D., et al.: Pro/Engineer 4.0 Self-Study Manual, pp. 156–164. Publish
House of Electronics Industry, Beijing (2010)
6. PTC Corporation. Pro/TOOLKIT Wildfire 2.0 APIWizard. PTC Corporation, Needhan (2011)
7. Heng, S.: Learn Pro/Engineer the Right Way, pp. 325–326. China Youth Publishing Group,
Beijing (2007)
A Similarity Approach for Thermal Distortion
Measurement of Large Spacecraft Structure
Hongtao Gao(&), Haitao Shi, Xiaofeng Zhang, and Lu Ren
ISSE of China Academy of Space Technology, Beijing, China

gaohongtao@cast.cn
Abstract. Thermal distortion is one of the key factors to satellite image

geolocation accuracy. To evaluate the thermal stability of large spacecraft
structure, a similarity approach of thermal distortion measurement on a down-
scaling model is presented. Similarity relations of thermal distortion between
downscaling model and the full-size structure were derived, and a thermal
distortion test system based on 3D-DIC (digital image correlation) was built and
used to distortion measurement of several structures with dimensions from sub-
meters to meters. Results showed that measurement on the downscaling model
could achieve nearly same precision as that on full-size structure, and could
reduce test complexity, cost and time.
Keywords: Spacecraft structure Thermal distortion Similitude DIC
1 Preface
With the development of remote sensing satellite technology, image geolocation and
resolution will be promoted further, which always requires large dimension and low
thermal distortion. For example, a pointing error of 1 arcsecond in 500 km SSO orbit
will cause 2.5 m horizontal error. Analysis is the primary tool now in structure thermal
stability design [1, 2], and design result need to be validated by the thermal distortion
test. In the 1990s, both NASA JPL and ESA did research on thermal distortion test
methods [3–7]. In these methods, coordinate measurement machine [8] and theodolites
[9] have relative low precision. Though laser interferometer has precision of sub-micro,
it is vulnerable to environment disturbance. 3D-DIC (digital image correlation)
methods has developed rapidly in recent years, and measurement precision can be
submicros, but it is still difficult for large scale structure measurement because of
influence by environment vibration, thermal control difficulty, high cost and long test
time. This paper presents a method to evaluate the thermal stability of large-size
structure by means of measuring its down-scaling model.
2 Similarity Relations of Thermal Distortion
Similarity relations of thermal distortion are based on the three similitude theorems
[10], and from that we deduce the similarity relations of thermal distortion between
similar structures.

https://doi.org/10.1007/978-981-13-7123-3_42
A Similarity Approach for Thermal Distortion Measurement 353
When applied with thermal load, the thermoplastic equations of solid are [1]:
8
< C ¼ ður þ ruÞ=2
r Tþf ¼ 0 ðIn XÞ ð1Þ
:
T ¼ 2lC þ ðkJ ðCÞ 3K0 aðh h0 ÞÞI
k ¼ Em=ð1 þ mÞð1 2mÞ; l ¼ E=2ð1 þ mÞ K0 ¼ k þ 2l=3 ð2Þ
u; C; T are displacement vector, strain tensor, and stress tensor respectively. I is unit
tensor, and J ðCÞ is the trace of C. k and l are Lame coefficients, and f is body force. a
is thermal expansion coefficient, and E is modulus of elasticity. m is Poisson’s ratio, and
K0 is equivalent modulus of compression.
The boundary conditions on boundary @X of region X are:
8
<u ¼ u On @u X
n T¼t On @t X ð3Þ
:
n T þ ku ¼ 0 On @e X
@u X; @t X; @e X are independent components of boundary @X, and no intersection

between them. u and t are two known vectors, and n is the unit normal of the
boundary, and k is a positive constant.
2.1 Relations in Varied Temperature Field

Suppose alternating frequency of the temperature field is x, and by (1)–(3) distortion u
and other parameters can be expressed as:
f ðx; r; l; E; q; t; u; g; x; a; hÞ ¼ 0 ð4Þ
Where x; r; l; E; q; t; u; g; x; a; h are position coordinate, initial surface stress,

structure length, modulus of elasticity, density, time, displacement after distortion,
acceleration of gravity, frequency, thermal expansion coefficient, and temperature
change. l; E; q; a, are primary parameters, and other parameters can be expressed by
primary parameters as:
pffiffiffiffi !
x r t u g xl E
f ; ; pffiffiffiffiffiffiffiffiffi ; ; ; pffiffiffi ; ah ¼ 0 ð5Þ
l E l E=q l E=ql q
The dimensionless parameters are:

pffiffiffi
r t u g xl q
P1 ¼ ; P2 ¼ pffiffiffiffiffiffiffiffiffi ; P3 ¼ ; P4 ¼ ; P5 ¼ pffiffiffiffi ; P6 ¼ ah ð6Þ
E l E=q l E=ql E
354 H. Gao et al.
Above parameters should be same in the downscaling model and full-size structure,
and from that, the following conditions should be met:
1=2 1=2
kr ¼ kE ; kt ¼ kl kE kq ; k u ¼ kl ;
ð7Þ
kE k1 1 1=2 1=2 1
kg ¼ l kq ; kx ¼ kE kq kl ; kh ¼ k1
a
Where kl ; kq ; kE are geometric scale, mass/density scale, module of elasticity scale.

kl ¼ lp lm , subscript p and m represent full-size structure and downscaling model
indecently.
It is very difficult to meet (7) completely, since the acceleration of gravity is a
constant on earth, which means kg ¼ 1, thus kE k1 1
l kq ¼ 1, and so kl ; kq ; kE cannot be
determined indecently. But this item can be discarded since gravity makes little effect
on thermal distortion. Equation (7) provides principles for designing the downscaling
model according to its full-size structure.
2.2 Relations in Constant Temperature Field

In the Eq. (7), varying temperature, gravity effect and other factors are all considered,
which makes it difficult to use. Generally speaking, thermal distortion is always
measured after temperature is steady during the ground test, and no exterior forces
applied on the tested structure. In such cases, Eq. (4) can be simplified as:
f ðl; E; u; a; hÞ¼ 0 ð8Þ
Considering l; E; a as primary parameters, we have:

u
f ; ah ¼ 0 ð9Þ
l
From (9), E doesn’t affect u=l, but ah does, which means the module of elasticity
does not influence distortion if the structure contains only one single material.
Parameter scale should meet the following equation:
ku ¼ kl ; kh ¼ k1
a lim ð10Þ
x!1
And we get:
up ¼ um ku ¼ um kl ¼ um lp =lm ð11Þ
Even if kh 6¼ k1
a , ah is proportional to u from (1)–(3), which means the down-
scaling model is still similar to its full-size structure. We also get:
um l p ap hp
up =um ¼ kl kh ka ) up ¼ ð12Þ
l m am hm
Equation (12) means, whatever material is chosen, the downscaling model is

always similar to its full-size structure, and the relation is still the Eq. (12).
2.3 Relations of Multiple-Materials Structure in Constant Temperature

Field
Spacecraft structure is always composed of multiple materials. Suppose the composed
material number is m, and E1 ; a1 ; ; Em ; am are modules of elasticity and thermal
expansion coefficients, then the Eq. (9) can be rewritten as:
f ðl; E1 ; a1 ; ; Em ; am ; u; hÞ¼ 0 ð13Þ
Select l; E1 ; a1 as primary parameters, and we get:

E 2 a2 Em am u
f ; ; ; ; a1 h ¼ 0 ð14Þ
E 1 a1 E 1 a1 l
Since temperature change doesn’t affect the similarity relation between models, to
keep the similarity of the downscaling model and its full-size structure, following
conditions should be met:
kE1 ¼ kE2 ¼ ¼ kEm ; ka1 ¼ ka2 ¼ ¼ kam ð15Þ
Equation (15) shows, only if the module of elasticity scale and the thermal
expansion coefficient scale of the downscaling model and its full-size model are kept
same for each material, the thermal distortion will be similar.
Since the material property can’t be chosen freely, the Eq. (15) is difficult to fulfill.
Some materials which has no effect on thermal distortion should be discarded as
necessary (Fig. 1).
Payload
1
6 21
4
22
5
7 3 23 8
Z
10
Y X
2 11 15
19 14
18 20 12 13
16
17
9
Platform
Fig. 1. A payload supporting structure

356 H. Gao et al.
2.4 Relations of Anisotropic Material Structure

For anisotropic material structure, materials in the downscaling model should be
selected the same as that of full-size structure for simplicity, and the module of elas-
ticity scale, thermal expansion scale should meet the following condition:
kE1 ¼ kE2 ¼ ¼ kEm ¼ 1;ka1 ¼ ka2 ¼ ¼ kam ¼ 1 ð16Þ
3 Analysis and Test

3.1 FEM Analysis
Structures with different sizes and materials were analyzed, as shown in Table 1.
Table 1. Structure properties in FEM analysis cases

S/N Material Dimension Temperature Boundary condition
1 Carbon fiber 3m 20 °C to 30 °C −Z Fixed
2 Carbon fiber 0.3 m 20 °C to 30 °C −Z Fixed
3 Al 0.3 m 20 °C to 30 °C −Z Fixed
4 Al (E doubled) 0.3 m 20 °C to 30 °C −Z Fixed
5 Al (E, a doubled) 0.3 m 20 °C to 30 °C −Z Fixed
Figure 2a shows that the thermal distortion ratios of different positions are same,
and are all equal to the ratio of structure dimension if given same material compositon.
From Fig. 2b, thermal distortion ratios vary with positions even structures have similar
(a) (b)
(c) (d)
Fig. 2. Thermal distortion ratios of different structures in different areas

geometric shapes, only because of different constitutive relations. Figure 2c and d show
that E does not influence the thermal distortion ratio, but the thermal expansion
coefficient a does.
3.2 Thermal Distortion Test

3D-DIC thermal distortion measurement system was established to compare the
measurement precisions of different size structures. 3D-DIC was proposed by Peter and
Ranson [11] in the 1980s, and it acquires the 3d position of the measured surface by
principles of binocular vision.
Since the thermal distortion is proportional to the structure size, thermal distortion
of large structure will be greater than that of small structure given same temperature
change. When small structure is measured, the thermal distortion is small too, and the
measurement results is vulnerable to noises, which will reduce the measurement pre-
cision. On the contrary, thermal distortion of large structure can be much larger than
measuring noise, and good precision can be achieved, but the large structure thermal
distortion test is more vulnerable to ground vibration environment, inhomogeneity of
temperature change, and other factors, which will decrease the measurement precision.
Different spacecraft structures with dimension from 0.2 m to 3 m were tested, as
Figs. 3, 4 and 5 show. Though with different shapes, the measured structures were
composed by same material, carbon fiber composite, and thus have similar thermal
expansion coefficients. From the Eq. (12), thermal distortion is related to the structure
dimension, thermal expansion coefficient, temperature change and other parameters,
and to reduce the influences of different test temperatures and structure dimensions,
thermal distortion data were all converted to thermal expansion coefficients. The result
is shown in the Table 2. Though the dimensions of the measured structure differ,
thermal expansion coefficients are almost the same, shows that thermal distortion
measurement on the downscaling model and full-size structure can both achieve the
desirable result. Table 2 also shows the configurations and durations of the tests, and
from that we can see the thermal distortion test for small structure is much simple,
cheaper and faster than that for large structure.
Table 2. Comparison of the thermal distortion tests for different size structures
Structure type Small-size Middle-size Large-size
Structure size *0.2 m *2 m *3 m
Camera number 2 8 16
Test duration 3 days 20 days 30 days
Thermal expansion coefficient −1.1 10−6/°C −1.3 10−6/°C −1.2 10−6/°C
358 H. Gao et al.
Relative distance
change (μm)
Relative distance is 150mm,αeff≈-1.1 10-6/
Image No.
Temperature
( )
Image No.
Fig. 3. 3D-DIC thermal distortion test and results for small-size structure
Relative deformation (%)
Image No.
Fig. 4. 3D-DIC thermal distortion test and results for middle-size structure
Relative deformation (%)
Image No.
Fig. 5. 3D-DIC thermal distortion test and results for large-size structure
4 Conclusion
Similarity relations between the downscaling model and its full-size structure were
deduced, and a thermal distortion measurement system was established to test struc-
tures with different sizes. It was shown that the measurement precisions for structures
with dimensions from 0.2 m to 3 m were very close, and it was feasible to evaluate the
thermal stability performance of large structure from the measuring results of its
downscaling model, which will reduce the cost, time and difficulty.
References
1. Marschall, C.W., Maringer, R.E.: Dimensional Instability—An Introduction. Permagon,
New York (1977)
2. Wolff, E.G.: Introduction to the Dimensional Stability of Composite Materials. DEStech,
Lancaster (2004)
3. Jacobs, S.F.: Variable invariables—dimensional stability with time and temperature. In:
Critical Reviews of Optical Science and Technology, vol. CR-43, pp. 181–204. Society of
Photo-Optical Instrumentation Engineers, Bellingham, WA (1992)
4. Giaretto, V., Miraldi, E., Ruscica, G., Cabiati, F., Dosio, D.: The Dimensional Stability of a
CFRP Structure Probed with Sub-Millimetre Accuracy in Varying External Conditions, ESA
Paper SP-386 (1996)
5. Cabeza, I., Pradier, A.: Dimensional Stability Verification of an Optical Bench for Space
Applications Under Thermal-Vacuum Environment, ESA Paper SP-386 (1996)
6. Edeson, R., Morris, N., Tatnall, A., Aglietti, G.S.: Dimensional stability testing on a space
optical bench structure. AIAA J. 47(1), 219–228 (2009)
7. Garnich, M.R., Liu, P., Akula, V.M.K., Fitch, J.F., Long, D.S.: Approach for increasing the
static dimensional stability of composite space Structures. AIAA J. 47(4), 1005–1013 (2009)
8. Greenway, P., Tosh, I., Morris, N.: Development of the TopSat Camera, ESA, Paper SP-554
(2004)
9. Figoski, J.W.: Alignment and test results of the Quickbird telescope using the ball optical
systems test facility. In: Proceedings of SPIE: the international society for optical
engineering, vol. 3785, pp. 99–108 (1999). https://doi.org/10.1117/12.367607
10. Murphy, G.: Similitude in Engineering. The Ronald Press Company, New York (1950)
11. Peters, W.H., Ranson, W.F.: Digital imaging techniques in experimental stress analysis. Opt.
Eng. 21, 427–431 (1981)
Design Technology of Accelerated Life
Test Based on the Load Spectrum
Compilation and D-efficiency
Jixia Xia1(&), Xiaokai Huang2, Gang Sun2, and Fangyong Li2

1
Beijing Institute of Control Engineering, Beijing, China
13641310002@139.com
2
Beijing Institute of Spacecraft Environment Engineering, Beijing, China
Abstract. The accelerated life test is a highly efficient method for long life
evaluation of products, but the operation profile validity and test time opti-
mization are unavoidable in the actual application. Herein, a design technology
research was conducted. First, the load spectrum of temperature and vibration on
operation profile of a rail transportation equipment was measured. Thus the load
spectrum was compiled based on 3-parameter rain-flow counting method and
operation profile was equivalently designed based on Corten-Dolan cumulative
damage model to ensure the validity. Then step-stress accelerated life test model
based on generalized Eyring model and Weibull distribution was developed.
The design method of step-stress accelerated life test with the shortest test time
was given. Finally, the design method was applied in signal output board of rail
transportation case. The residual life assessment was made for the 2-year-used
equipment taking the current usage profile as the first step of the step-stress
accelerated life test which verifying the design method.
Keywords: Load spectrum compilation D-efficiency

Step-stress accelerated life test
1 Introduction
It’s an efficient way of residual life assessment to do the statistical analysis for the
accelerated life test data in the acceleration process of failure or performance degra-
dation by loading higher stress above normal without changing the failure mechanism
of the product [1]. The operation profile validity and test time optimization are the
problems to be solved in the application of the accelerated life test in recent years.
In the 1950s, M. Matsuiski and T. Endo proposed rain-flow counting method
regarding the material’s stress and strain, providing theoretical basis for the conversion
of measured load history to test load cycling. Chen introduced measured load spectrum
compilation based on the rain-flow counting method and equivalent conversion tech-
nology for accelerated verification of load spectrum [2]. Zhu derived the calculation
method of equivalent fatigue stress range based on Corten-Dolan accumulative damage
rule which can make equivalent conversion of loading order and nonlinear factors in
the load spectrum compilation [3]. Liao and Elsayed first presented the optimal design
method for test of products with logarithmic-distribution life which can equivalently
https://doi.org/10.1007/978-981-13-7123-3_43
Design Technology of Accelerated Life Test 361
converse constant-stress tests to step-stress tests [4]. Balakrishnan proposed a more

general D-optimality criterion for a test optimization design with shortest time, fewest
samples and lowest cost by limiting the determinant value of Fisher information matrix
[5]. In view of the residual life assessment for signal products in rail transportation,
load spectrum compilation and test profile equivalent design were conducted based on
the 3-parameter rain-flow counting method and Corten-Dolan cumulative dam-
age model after measuring the temperature and vibration load spectrum of the signal
output board in Beijing light railway Yan-Fang line under unmanned operation, which
ensures the equivalent profile design of the accelerated life test. Then the nonlinear
damage and lifetime assessment model of temperature and vibration step stress was
built, defines the D-efficiency method for the determinant value of the Fisher infor-
mation matrix is equal, which established the optimization design model and numerical
method for accelerated life test. At last, the step stress accelerated life test based on the
measured temperature and vibration load spectrum is designed for signal output board
in rail transportation. The residual life assessment is made for the 2-year-used signal
output board through test, providing the basis of the later maintenance guarantee
project design.
2 Overall Framework
The residual life assessment could be made for products operated for some time by
after the measurement, compilation and equivalent conversion of temperature and
vibration load spectrum. The general idea are followed.
First, compilation and equivalent conversion of temperature and vibration load
spectrum is conducted. The temperature and vibration response date of the key part on
the signal output board in Beijing railway Yan-Fang line under unmanned operation is
measured. Thereby, the compilation of randomicity, volatility and irregularity regarding
the measured data is made based on 3-peak-valley rain-flow counting method. Mean-
while, the measured load spectrum is equivalently conversed to constant-stress test
profile based on Corten-Dolan nonlinear cumulative damage model.
The test time optimal design based on D-optimality criterion is conducted as fol-
lows. The step-stress nonlinear cumulative damage model based on generalized Eyring
model and Weibull distribution is developed and it can make the convert of fault or
censoring time in different stress step. The D-optimality optimal method for constant
stress and step stress accelerated life test is established by limiting the determinant
value of Fisher information matrix.
Finally, the residual life assessment is made for the signal output board applying in
rail transportation. The test profile of accelerated life test is designed with the load
spectrum compilation and equivalent conversion. At the same time, the signal output
board step stress test plan according to the usage profile is set by the test time optimal
design method of D-efficiency. Hence, the residual life assessment of the signal output
board already operated for some time is completed through experiment and data
analysis.
362 J. Xia et al.
3 Load Spectrum Compilation and Equivalent Conversion

3.1 Temperature and Vibration Load Spectrum Measurement
Beijing Railway Yan-Fang Line is China’s first independently developed and full-
automatic operating line. It travels at 60 km/h and can provides a typical design and
application condition for signal output board. In this paper, signal output board is
installed in signal control cabinet near the central control room at the head of the train.
The temperature is measured by thermocouple sensor with accuracy of ±0.1 °C, and
vibration load is measured by American PCB356M41 acceleration sensor of 3 com-
ponents with accuracy of ±10–4 g. The installation of temperature and acceleration
sensors are shown in Figs. 1 and 2, respectively [6, 7].
No.1 No.2
1
Fig. 1. Position of vibration sensor Fig. 2. Position of temperature sensor
The door keeps closed during measurement to ensure the board located in real
environment. The measurement results are shown in Figs. 3, 4 and Table 1. The power
spectral density curve by vibration sensor is regular in Fig. 3(1). After compilation
about randomicity, volatility and irregularity, the power spectral density for accelerated
life test is shown in Fig. 3(2). The follow-up research mainly covered the compilation
and equivalent conversion of FPGA temperature curve as shown in Fig. 4.
PSD(g^2/Hz)
5×10-5g2/Hz
Frequency/Hz
0 900 1000
(1)Measurement results (2) Compilation results
Fig. 3. Power spectral density

Table 1. The vibration load measurement results

Sensor direction No. 1(g) No. 2(g)
X (vertical) 0.569 0.508
Y (travelling) 0.370 0.411
Z (installation) 0.359 0.360
Fig. 4. FPGA temperature measurement result
3.2 Load Spectrum Compilation Based on 3-Parameter Rain-

Flow Counting Method
The rain-flow counting method aimed at conversing the measured load-time course to
load cycle of arranged amplitude with average amplitude. And 3-parameter rain-flow
counting technology gets widely used in application for its simple counting advantage.
Its principle to determine a complete cycle by compare if the absolute value of the
difference between the latter two points is bigger than the former two points.
First, the amplitude and average are extracted from the FPGA measured temper-
ature curve in Fig. 4 by MATLAB and the results are shown in Fig. 5. The frequency
of amplitude is skew distribution, so the probability density curve could be described
as Weibull distribution shown as below, where A0, Aa, and b represent minimum
amplitude, characteristic amplitude (median amplitude) and shape parameter
respectively.
b
AA0
Aa A
1

F ð AÞ ¼ e 0 Aa A0 ð1Þ
, lnð lnðF ð AÞÞÞ ¼ ðb þ 1Þ lnðAa A0 Þ b lnðA A0 Þ
With the horizontal coordinate of ln(A–A0) and vertical coordinate of −ln(−ln(F

(A))), frequency date of amplitude in Fig. 5 is fitted according to the Weibull cumu-
lative distribution function and the result is below,
lnðlnðF ð AÞÞÞ ¼ 0:086 0:1881 lnðAa A0 Þ

364 J. Xia et al.
Fig. 5. Amplitude and average of FPGA temperature result
3.3 Equivalent Conversion of Test Profile Based on Corten-Dolan Model

The equivalent conversion of test profile with higher precision could be acquired by the
Corten-Dolan cumulative damage model due to the consideration of load sequence and
nonlinear factors.
It is assumed that the fatigue damage to the product with multi-level variable
amplitude loading be equal to that with the equivalent constant-amplitude repeated
stress. According to Corten-Dolan model, the conversion function can be written as
below,
2P 31
ni Mid 10k m
6 7
Dre ¼ 4 i
P 5 ð2Þ
ni Ml rdl
i
Dre is the constant amplitude after the equivalent conversion, ni and Mi represent
the cycles and amplitude for the i-level stress, respectively, rl and Ml refer to the
maximum value of alternating load and alternating stress amplitude, d is the empirical
constant and d = 5.8. k and m are parameters to be identified.
According to the mathematical physics relation between the Weibull distribution
and S-N curve, k and m can be calculated from Weibull cumulative distribution
parameters as below.
k ¼ ðb þ 1Þ lnðAa A0 Þ¼ 0:86
m ¼ b ¼ 0:1881
Fig. 6. Equivalent conversion of FPGA temperature curve
The equivalent profile of the FPGA temperature curve could be obtained in Fig. 6
after the calculation of equivalent conversion function based on Corten-Dolan theory.
The equivalent constant-amplitude temperature equals to 31.8882 °C, and it could be
used as the first stage for the step-stress to get the operation profile of the accelerated
life test.
4 Test Time Optimal Design Based on D-efficiency

4.1 Nonlinear Cumulative Damage and Life Assessment Model
The accelerated life model with Weibull distribution parameter is set first. It’s assumed
that the product life under stress of Ti ; Vi follow Weibull distribution, and the shape
parameter under each stress equal to each other, m0 = m1 = …… = mi = m. Under the
temperature and vibration stress, the characteristic life gi with accelerated stress Ti ; Vi
follows the generalized Eyring model as follows,

B D
gi ¼ A exp Vi ; i ¼ 0; 1; ; k ð3Þ
Ti
Ti and Vi represent the temperature and vibration under the i level of stress. k is the
level of accelerated stress. A, B and D are function parameters to be identified.
Due to the equal value of shape parameter mi, the equivalent time sij under the stress
of Tj, Vj conversed from work time si under the stress of Ti, Vi could be calculated as,
D
gj
B B Vj
sij ¼ si ¼ eTj Ti si ; i 6¼ j ð4Þ
gi Vi
366 J. Xia et al.
Second, the step-stress nonlinear cumulative damage model is developed. In the

step-stress accelerated life test, the test time of the former i−1 levels of stress should be
first to compensate to the failure time of tij to obtain the actual life data under the stress
of Ti ; Vi . Then the actual life data under each stress is conversed to the data under the
practical stress of Ti ; Vi as below,
8 0
> t1j ¼ a1 þ t1j ; 1 j r1 ;
>
>
> t2j
<
0
¼ gg1 a2 þ gg1 t2j ; 1 j r2 ;
2 2
.. ð5Þ
>
> .
>
>
: t0 ¼ g1 a þ g1 t ; 1 j r ;
kj g k
k
g kj
k
k
rk is the failure data under the k stress. ai is the compensation from the test time
s1 ; s2 ; . . .; si1 under the stress of (T1, V1), (T2, V2), …, (Ti-1, Vi-1) to the failure time
ti1 ti2 . . . tiri si and a1= 0,
X
i1
ai ¼ s1i þ s2i þ . . . þ si1;i ¼ ðgi sj =gj Þ i ¼ 2; . . .; k:
j¼1
Hence, the maximum likelihood estimation of cumulative failure probability

density function with n samples is,

n! Y r
m m1 tj ðB; DÞ m
LðA; B; D; mÞ ¼ tj ðB; DÞ exp
ðn r Þ! j¼1 gm 1 g1

m nr
tr ðB; DÞ
exp ð6Þ
g1
The unknown parameters are A, B, D, m.

At last, the prediction of life parameters is given. The Weibull distribution is
rewritten to extreme value distribution. If d ¼ ln t, zi ¼ ðdi li Þ=r,
ni ¼ ðln si li Þ=r, where li ¼ ln A þ Bxi þ Dyi , the maximum likelihood function of
cumulative failure probability density function with n samples is,
X
n
L¼ fIi ½ ln r þ zi expðzi Þ þ ð1 Ii Þ½ expðni Þg ð7Þ
i¼1
Ii is the schematic function. si = 1 if failure time di is shorter than truncation time

si , otherwise si = 0.
According to the maximum likelihood theory, the covariance matrix of parameters

A; B; D; r in the accelerated life model with Weibull distribution could be written as,
0 1
^
Var A ^ B
Cov A; ^ ^ D
Cov A; ^ ^ r
Cov A; ^
X
B ^
Var B ^ D
Cov B; ^ ^ r
Cov B; ^ C
¼B
@ C ð8Þ
^
Var D ^ r
Cov D; ^ A
symmetrical Var^r
The Information matrix F is both the inverse matrix of the covariance matrix of R
(R = F−1) and the expectation of negative two order partial derivative matrix about
likelihood function, so it could be written as,
0 1
A11 A12 A13 A14
X
n B
A22 A23 A24 C
F¼ B C ð9Þ
@ A33 A34 A
i¼1
symmetrical A44
The analytic solution of life parameter could be obtained by calculation of negative

two order partial derivatives of function L about relating parameter of A, B, D, m.
2
A11 ¼ E @@AL2i ¼ f1 exp½ expðni Þg;

@ 2 Li @ 2 Li
A12 ¼ E @A@B ¼ xi A11 ; A13 ¼ E @A@D ¼ yi A11 ;
R
@ Li
2 ni
A14 ¼ E @A@r ¼ 1 zi expð2zi Þ exp½ expðzi Þdzi þ ni expðni Þ exp½ expðni Þ;
2
A22 ¼ E @@BL2i ¼ x2i A11 ; A23 ¼ E @B@D @ 2 Li
¼ xi yi A11 ;
2
@ Li
¼ xi A14 ; A33 ¼ E @@DL2i ¼ y2i A11 ;
2
A24 ¼ E @B@r

@ 2 Li
A34 ¼ E @D@r ¼ yi A14 ;
2
A44 ¼ E @@rL2i
R ni
¼ 1 ½zi expðzi Þ þ expðzi Þ 1zi expðzi Þ exp½ expðzi Þdzi þ ðni þ n2i Þ expðni Þ exp½ expðni Þ
4.2 D-efficiency Optimal Design for Accelerate Test Time

The covariance matrix is always used for solutions of relative parameters in model.
Regarding to the reciprocal characteristics between the covariance matrix and the
Fisher information matrix, it is considered that the two plans are equivalent in the
information extraction if the Fisher information matrix determinants of the two plans
are equal.
In conclusion, if the determinant ratio of Fisher information matrix s ¼ jM j=jM0 j is
bigger than a specified threshold where |M0| and |M| are the Fisher information matrix
determinants of a definite accelerate life test plan and another plan to be defined
368 J. Xia et al.
respectively, the two plans are considered to be equal based D-efficiency. And that’s
the definition of D-efficiency based equal Fisher information matrix determinants.
Thereby, the mathematical model of D-efficiency of the total test time for tem-
perature and vibration step-stress accelerated life test when the shortest test time is the
constraint condition could be deduced as below,
min tðA; B; D; mÞ
jM j
s:t: s
jM0 j
Ti ¼ T1 þ ði1ÞðT
k1
k T1 Þ
; i ¼ 1; 2 k
ði1ÞðVk V1 Þ
Vi ¼ V1 þ k1 i ¼ 1; 2 k
Tk and Vk are the highest level of the test stress as design variables. And the D-
efficiency s is also the design variable and it’s set to 0.95 in this paper.
5 Residual Life Assessment of Signal Output Board
5.1 Step-Stress Test Plan Based on Operation Profile

The signal output board is a key product for rail transportation that ensures a safe
output of the constant voltage of 24 V. 4 groups of constant-stress test for over 2000 h
are needed if the conventional accelerated life test method is adopted and it is hard to
accept. The parameters of the accelerated life model are
A ¼ 4:5432; B ¼ 2:9876; D ¼ 0:2081; m ¼ 2:9753, and the Fisher information
matrix determinant is M0 = 2.524 106.
The current operation profile and time need to be compiled as the first stage in the
residual life assessment for a step-stress accelerated life optimization with a shorter
time. The operation temperature and vibration stress are T1 = 305 K and V1 = 0.539 g
(in vertical direction) respectively. The maximum temperature and vibration stress
detected through reliability enhancement test are T4 = 368 K and V4 = 2 g respec-
tively. Setting s to 0.95 and conversing the Fisher information matrix determinant, the
constraint condition for the optimized model are obtained. Then the mathematical
model of D-efficiency with minimum test time is calculated by genetic algorithm.
Table 2. D-optimization design for step-stress test plan

No. Temperature stress (°C) Vibration stress (g)
1 305 0.539
2 326 2
3 347 1.026
4 368 1.513
The Fisher information matrix
determinant = 2.397 106
The optimized test time decreased to 1080 h, 920 h shorter than the conventional
plan with the same evaluation accuracy which is more time-saving. The detail of the
optimized test plan is shown in Table 2.
5.2 Residual Life Assessment Model

20 signal output boards that had been operated for 2 years are tested according to the
step-stress accelerated life test plan in Table 2. The life-reliability-acceleration model is
identified through data analysis as below,
17475000 1
ln tR ¼ 133:4688 þ þ 0:4851 ln V þ ln½lnð1=RÞ
Tk 0:0128
When the duty ratio was set to 2/3 which means the product is in work of 16 h each
day, the average of residual life is calculated to be 15.62 years with confidence (c) of
0.7 and reliability (R) of 0.8.
6 Conclusion
The design technology of accelerated life test based on the load spectrum compilation
and D-efficiency is proposed in this paper, which accomplished the mutual support and
verification of measured load, test optimization and residual life assessment. The
technique ensures the effectiveness and economy of the accelerated life test. The main
creative work is as blow.
(1) The temperature and vibration load spectrum are measured for the signal output
board in operation and it is compiled and equivalently conversed into test profile
which is efficient for the accelerated life test design.
(2) The nonlinear accumulate damage model of step stress is deduced and the test
optimization method based on D-efficiency is defined for the Fisher information
matrix determinant is equal. It established the theoretical foundation for the
accelerated life test optimization design.
(3) A residual life assessment case for the signal output board in rail transportation is
given. It verified the feasibility and practicability of the load spectrum compila-
tion, test optimization and residual life assessment.
References
1. Chen, X., Zhang, C., Wang, Y., et al.: The technology and application of accelerated life test.
National Defense Industry Press (2013)
2. Chen, Q.: Research on the equivalent load spectrum method in accelerated validation of the
fatigue life. Beihang University (2014)
3. Zhu, H., Yu, Z., J, L.: Calculation method of equivalent fatigue stress range based on Corten-
Dolan accumulative damage rule. J. Highw. Transp. Res. Develop. (2010)
370 J. Xia et al.
4. Liao, H., Elsayed, E.A.: Equivalent accelerated life testing plans for log-location-scale
distributions. Nav. Res. Logist. (NRL) 57, 472–488 (2010)
5. Ng, H.K.T., Balakrishnan, N., Chan, P.S.: Optimal sample size allocation for tests with
multiple levels of stress with extreme value regression. Nav. Res. Logist. 54, 237–249 (2007)
6. Cai, C.: The development of automotive fatigue life test technique based on the real road load
spectrum. Automotive Collaborative Innovation Center of Chongqing University (2015)
7. Zhao, C.: Study on preprocessing and feature extraction of high speed rail vibration data
based on cloud computing. Southwest Jiaotong University (2013)
Realization of Interconnecting
Application of Non-secret-related Network
and Secret-Related Network Based
on Unidirectional Optical Shutter
Qi Miao(&), Xiaoyi Ru, Jiang Bian, and Zhou An
Institute of Spacecraft System Engineering, CAST, Beijing 100094, China

ericmiao111@163.com
Abstract. The terminals, networks and systems involved in the daily work,
scientific research and production of military enterprises are all defined as secret-
related. In accordance with the national requirement, physical isolation from the
internet and internal non-secret-related network must be maintained. But at the
same time, each enterprise also deploys a private network for testing, experi-
menting and processing, and the data exchange between the networks must be
completed by manual transfer, which can be as far as one or two hours fast and
as slow as half a day, and has been far from meeting the requirement of military
enterprises’ scientific research tasks in the information age. In this paper, the
utilization of unidirectional optical shutter is proposed to realize the data
transmission between non-secret-related network and secret-related network.
Furthermore, the feasibility is analyzed and the technical verification is
completed.
Keywords: Information security Controlled interconnection Optical shutter
1 Introduction
1.1 Current Situation

A military enterprise is responsible for satellite research and development, space tech-
nology development and application and other fields of work, and its secret-related
office responsible for the daily office work (hereinafter referred to as the secret-related
network) has been in accordance with national security requirements and completed the
construction of various security protection. In addition, in order to effectively strengthen
the test work of satellites and spacecraft, a test network for non-secret-related network
for spacecraft (hereinafter referred to as test network) has been established, which is
physically isolated from the secret-related network. A dedicated test device is deployed
in the network so as to store the process data in the testing process. Since the special
device cannot implement the security protection means according to the national
security requirement, the test network is kept physically isolated from the secret-related
network.

https://doi.org/10.1007/978-981-13-7123-3_44
372 Q. Miao et al.
1.2 Transfer Manner

Data exchange between the two networks is often involved in the work. At present, it is
realized by manual transfer. The actual operation is [5]:
(1) The special security software is installed in the terminal of the test network, which
can identify the corresponding “USB flash drive”, and the users will save the data
needing to be imported into the secret-related network into the USB flash drive.
(2) The operator connects the USB flash drive to the “intermediate machine”, which
is in the state of not being connected to the network, and the data are burned onto
after the checking and killing of the virus and Trojan.
(3) A special terminal in the secret-related network is connected with a “CD-ROM”.
After reading the contents of the CD-ROM, the information is sent to the user
through a specific approving system.
From the secret-related network to the test network, the flow direction of infor-
mation is opposite, and the schematic diagram of the transfer operation is shown in
Fig. 1.
Fig. 1. Transfer operation
The whole process of transfer work requires manual participation, and the operation
is tedious and laborious, which leads to a large delay in data transfer, seriously affecting
work efficiency.
2 Design Plan
At present, the mainstream research direction is to realize one-way data transmission

[1] through the “the controlled connection” of the network. The key equipment used is
divided into two independent parts, connecting to two types of networks respectively.
By using physical characteristics in the intermediate area, the data in the form of file are
forwarded from one end of the network to the other end [2, 3] without the occurrence of
direct connection between TCP/IP and its upper layer protocol.
Since the importance of the secret-related network is higher than that of the test
network, the impact of data transmission from the test network to the secret-related
network is much lower than that of the reverse, as far as the data flow direction is
Realization of Interconnecting Application of Non-secret-related Network 373
concerned. Therefore, this paper mainly analyzes the data exchange from the test
network to the secret-related network, which has been able to meet the transfer need of
more than 80% of scientific research personnel, and achieve the stated object.
2.1 Overview of Optical Shutter

According to the market research, there are three kinds of products corresponding to the
“key equipment” mentioned above: one-way light shutter, laser one-way transmission
gatekeeper and automatic optical disk ferry system. The first two are essentially the same
kind of products, all using the one-way transmission characteristics of light to achieve
one-way, non-feedback transmission of data; automatic optical disk ferry system is to
use a manipulator to simulate the operation of manual transfer, with the transmission rate
being limited by the capacity of optical disk and the up-to-minute delay [10]. By
comparing the inspection qualification of product and data transmission rate, and
combining with the actual situation of the enterprise, the way based on one-way optical
shutter is selected to carry out the project construction.
System Architecture. The one-way optical shutter system consists of two parts: one-
way isolation device and management control system. The one-way isolation device is
special-purpose hardware, which connects the secret-related network and the test
network respectively to restrict the one-way transmission of data. The architecture is
shown in Fig. 2.
Fig. 2. Device architecture
Unidirectional Transmission. After changing the electrical signal into an optical

signal, the external exchange host divides the light into 2 bundles [6–8] through a beam
splitter. One is received by the intra-change host to complete the one-way transmission
of data; the other returns to the external exchange host to check the validity and
integrity of the transmitted data. The schematic diagram of data transmission is shown
in Fig. 3.
Through one-way optical shutter system, the data in test network can be transmitted
one-way to the secret-related network.
374 Q. Miao et al.
Fig. 3. Unidirectional transmission
2.2 Network Interconnection

Network interconnection is based on one-way optical shutter devices, but in order to
ensure the regularity of data transmission and the formation of record, the data transfer
and approving system [4, 9] need to be deployed in both types of networks. Data
exchange area involves one-way optical shutter equipment, servers, firewalls, anti-virus
walls, intrusion detection machines and supporting network equipment. The schematic
diagram of the connection is shown in Fig. 4.
Fig. 4. Schematic diagram of network interconnection
2.3 Data Exchange Area Design

In order to ensure that the “interconnected” network will not bring in new security
risks, and can effectively control the flow of data transmission, the security design of
data exchange area will refer to the protection standard of secret-related network in line
with the principle of strict control.
IP Address Design. The secret-related network and the test network are divided
according to the scope of optical shutter equipment, and one new IP address field is
allocated respectively. On the one hand, it is easy to form the audit record by
distinguishing it from the existing IP address field; on the other hand, it adds network
control measures to the address field to strictly restrict data access. For the ACL
reference under the VLAN interface, the following principles should be complied with:
(1) Secret-related network segments in the data exchange area: Secret-related net-
works are only allowed to be accessed by the user departments and other
departments are prohibited from accessing;
(2) Test network segment in the data exchange area: only “user departments of the
unit” within the test network are allowed to access, and “externally-connected
areas (external units) of the test network” are prohibited to access.
Firewall Design. In the data exchange area, two firewalls are configured as the logical
boundaries of secret-related network and test network respectively. According to the
minimum release principle of data, the source IP address, destination IP address and
TCP/UDP port are restricted. They mainly are:
(1) Restricting the access of the data sending server to the terminal IP address of the
“user department of the unit” in the test network, being convenient for the sub-
mission of data transmission application and uploading of the data;
(2) Restricting the “data sending server” solely to send the data to the interface of the
test network of the optical shutter equipment.
(3) Restricting the interface of optical shutter devices in the secret-related network
can only send data to the data receiving server.
(4) Restricting the access to the data receiving server only by the “user department”
terminals in the secret-related network, being convenient for the examination and
approval of application procedures and downloading of data.
Anti-virus Wall Design. The anti-virus wall is connected to the link in a serial way,
aiming at checking and killing Trojans, viruses and malicious attacks on the data
entering the secret-related network. The feature library must be ensured to be updated
at least once a week.
Intrusion Detection Design. By configuring the port mirroring function on the secret-
related network interchanger, the traffic mirroring can be sent to the intrusion detection
machine to detect and analyze the data so as to ensure that no malicious attack data are
mingled. The feature library must be ensured to be updated at least once a week.
2.4 Internal Design of Test Network
Network Architecture. The application mode of the test network has its particularity.
In the test process, the terminal of the task cooperative unit also needs to join up the
network to obtain data. The current test network is a two-tiered architecture, where all
terminals share the same address field, and there are no effective control measures for
access isolation between the terminal of the unit and the terminal of external unit. In
view of this, it is necessary to redesign the test network, by adding access control
376 Q. Miao et al.
measures, standardizing terminal security policy settings, etc., which can reduce
security risks from the source. The redesigned test network is shown in Fig. 5.
Fig. 5. Architecture of the test network
The network adopts the divisional design, which is divided into the terminal area of
the unit and the external terminal area. The access control between the regions is
completed through the firewall, restricting the server IP address which can be accessed
by the external terminal area, and setting up the anti-virus wall on the critical link to
avoid the external terminals’ carrying viruses.
Safety Control Measures. Although the safety protection standard and requirement of
the test network are not as high as those of the secret-related network, the working
ideas are the same. The safety control within the network mainly consists of the
following aspects:
(1) Firewall: Increase the deployment of firewalls, in accordance with the principle of
“traffic minimization” to control the flow of data within the network, specially
focusing on the control of the data access from external terminal;
(2) Antivirus: Antivirus system is deployed in the “terminal area of the unit”, which is
C/S architecture. The computer needs to be installed with an anti-virus software
client. Through the configuration strategy, the virus library of the system is kept
up-to-date and the virus is checked and killed at least once a week. The anti-virus
wall will be deployed in a serial way between the regions to avoid the virus carried
by external terminals which will affect the operation of the terminal of the unit.
(3) Network access control: a network admission control system will be deployed
within the network to restrict the access, except for the MAC address of legitimate
terminals to enter the network, and wipe out the illegal terminal access through the
functions such as “MAC address whitelist”;
(4) Inspection software: network security inspection system software will be installed
in the computers and servers in the “terminal area of the unit”. The computer user
records, system access behavior, connection records of USB interface, etc. are
checked regularly by a specially-assigned person, and the problems found will be
corrected in time.
2.5 Operation Process Design

In order to import the test network data into the transmission direction of secret-related
network, the work process is as follows:
(1) The applicant visits the “data sending server” in the test network, fills in the
application procedures, and uploads the data;
(2) Personnel with the authority of examination and approval (usually the head of the
department) logs in to the “data sending server” to examine and approve the
application procedures, and then the system automatically sends the documents to
the “data receiving server” within the secret-related network.
(3) The applicant logs on the “data receiving server” in the secret-related network to
save the data and complete the one-way transmission.
3 Technical Identification
In order to test the actual performance of the above design schemes, a company has carried
out the small-scale verification. The local controlled interconnection is performed
according to the topological link shown in Fig. 4. The key device is unidirectional optical
shutter device developed by domestic enterprises. The uploading and downloading of
data are accomplished through a dedicated transfer system. Compared with the traditional
way, the intuitive improvement can be seen in Table 1.
More detailed data records are available (running cycle is about 3 months) as
follows:
(1) Transmission rate: matching 1000 Mbps Ethernet and the data transmission of
1 GBps size needs about 12 s;
(2) Transmission delay: the delay of data transmission from “data sending server” to
“data receiving server” is second level.
(3) System stability: there are totally more than 200 times of data transmission, single
data size ranges from 10 MB to 15 GB, and one-time success rate of data
transmission is about 95%;
(4) Multi-person parallel operation: there are up to 30 people online simultaneously,
conducting data uploading, data downloading and the operation of process
approval respectively. The system has no obvious delay and functions well.
(5) Security: No virus, malicious code and Trojans are found in the secret-related
network, and no illegal data transmission event occurs.
378 Q. Miao et al.
The actual realization of the network controlled interconnection conforms to the

expectation. The unidirectional optical shutter equipment runs stably and the safety
protection measures are in place, which proves that the interconnection design is feasible.
Table 1. Correlation table of effect

No. Comparative Before After
item
1 Elapsed time 1–2 h 5 Min
of data
exchange
2 Data 700 MB Unlimited
exchange (Limited to the capacity of
quantity single disk)
3 Reliability of Low High
data The problem of loss of CD Even if a file loss takes place in
exchange often takes place transmission, it will be
automatically retransmitted
4 Convenience Low High
of data involving the operations from Solely needs to be approved by
exchange many departments and the department director
operators
5 Record of Poor readability Strong readability
data Involving multiple links, The complete record can be
exchange including manual operation checked from the transfer system
record, system record, etc
4 Conclusion
Through the above analysis and technical verification, it can be seen that the controlled
“interconnection” between the non-secret-related network based on one-way optical
shutter and the secret-related network can ensure that the data can only enter the secret-
related network unidirectionally and without any feedback, so as to avoid the missing
of secret-related information and the risk of leakage. The construction of security
protection system in data exchange area and test network can ensure that the data
entering the secret-related network does not contain virus and malicious code, and will
not affect the stable operation of the secret-related network. In the process, supple-
mented by the formulation of management system, the management main body and
responsibilities of all parties of “interconnection” are defined, which can reduce more
than 90% of the “interconnection” risk.
The interconnection mode discussed in this paper has the value to be expanded,
which can be used as a reference for the construction of secret-related networks and
other non-secret-related networks used internally. The controlled “interconnection” of
the network, on the one hand, practices “intelligent manufacturing 2025” and makes
bold innovations and changes; on the other hand, it effectively optimizes work process
and improves the efficiency of research in military enterprises.
References
1. Yan, M.-y., Wei, L.: The design of the one-way isolation net gap and its transmission
reliability. Value Eng. 219–220 (2014)
2. Ao, L-q, Chen, Z.: Research on information resource sharing scheme based on network
isolation technology. Softw. Guide 16(6), 163–167 (2017)
3. Zuo, Z.-y., Pu, X.-p.: Analysis and practice of non-confidential information exchange in
military enterprises. Inf. Secur. Commun. Priv. 117–122 (2016)
4. Wang, Y.-j., Yang, J.-h., Guo, G.-t., Liu, Y-t.: Analysis and prospect of physical isolation
technology for network security. Inf. Secur. Commun. Priv. 117–122 (2016)
5. Zhai, J.: Network Edge—Evolution of Thought of Safety Protection 23–24 (2013)
6. Zhang, X.-q.: Analysis of principle and function of unidirectional optical shutter. Netw.
Secur. Technol. Appl. 99–100 (2016)
7. Wei, X.-z.: Study on Dual-network Safe Access on the Basis of Double Unidirectional
Optical Shutter. Beijing University of Chemical Technology (2015)
8. Wan, Y.-l., Zhu, H.-j., Liu, H.-z., Zhang, K.-f.: Research on reliability of unidirectional
transmission system based on optical shutter. Hacking Def. Res. 25–27 (2010)
9. Liu, B.: Design and Implementation of Multiple Networks Synthetic Integrated System.
Northeastern University (2014)
10. Zhong, J., Li, Q.: Research on information security management based on network isolation
technology. Sci. Educ. J. 158 (2016)
Application of Ion Beam Etching Technology
in Spacecraft Encoder Lithography
Suran Qin1(&), Na Zhao2, Ronghui Jiao3, Chunying Zhu2, Jiang Liu2,

Jianmin Shi2, and Hanchao Fan2
1
qinsr12@163.com
2
Beijing Institute of Control Engineering, Beijing 100194, China
3
Abstract. The encoder is a core component of encoding sun sensor, the pho-
tolithography precision and quality has the serious impact on the measurement
accuracy of sun sensor. Traditional encoder photolithography uses wet etching
technology, and line edge has sawtooth and burr phenomenon, photolithography
accuracy is low, can not meet the aerospace products high precision and high
quality requirements. In this paper, iron beam etching technique is used to verify
the feasibility of ion beam etching technology used in encoder, which solves the
problem of edge sawtooth and burr, and the technical problems of low pho-
tolithography accuracy, which laid the foundation for the further development of
products to higher precision.
Keywords: Ion beam etching Photolithography Quality improvement
1 Introduction
In recent years, Chinese spacecraft are developing to the direction of low cost, high
precision and high reliability, and spaceflight products need to be miniaturized, high
precision and high quality. The same is true for encoding sun sensors which are used as
a general product of spacecraft [1].
The encoder is the core part of the encoding sun sensor. By coating and pho-
tolithography, 14 code channel patterns arranged according to certain rules are pre-
pared, which are composed of more than 300 rectangular windows with different width
of 0.07 mm–8 mm. The lithography accuracy and quality of the encoder seriously
affect the measuring accuracy of the encoding sun sensor, and this error is random
error, which can not be corrected by the way of error compensation. Therefore, the
influence of this error must be reduced by improving the lithography accuracy [2].
The traditional lithography of the encoder adopts wet etching technology, and there
are some phenomena such as sawtooth and burr on the edge of the graph. The
lithography accuracy is low, which can not meet the requirements of high precision and
high quality of aerospace products. This paper attempts to use ion beam etching
technology to verify the feasibility of ion beam etching technology used in encoding
sun sensor lithography, in order to solve the technical problems of irregular edges and
low lithography accuracy of product lithography.

https://doi.org/10.1007/978-981-13-7123-3_45
Application of Ion Beam Etching Technology in Spacecraft Encoder Lithography 381
2 Photolithography Technology for Spacecraft Encoder

2.1 Wet Lithography Technology of Encoder
Lithography is a kind of precision micro-nano machining technology, which is widely
used in semiconductor industry. Encoder lithography adopts the traditional wet etching
technology, by coating photoresist on the dielectric layer (chromium film layer) of the
encoder substrate as the intermediate medium, the mask pattern is transferred to the
photoresist by exposure and development. Then, through the hard film process, the
photoresist is further hardened as a protective layer that does not need to be etched, and
then the bare medium layer is etched by the etching link, and finally the excess
photoresist that plays a protective role is removed through the degumming process.
Present the desired lithography pattern [3]. Encoder lithography process schematic as
shown in Fig. 1.
Dielectric layer Photoresist Photoresist layer
Encoder substrate Coating photoresist Preroasting
Ultraviolet lamp
Development liquid
Mask
pattern
Exposure Development(positive photoresist) Roasting
Photoresist Dielectric layer
Check
Wet etching Photoresist removing
Fig. 1. Schematic diagram of lithography process of encoder
2.2 Problems in Wet Lithography

In the specification of the lithography quality of the encoder, it is clearly required that
the edge of the lithography pattern be observed under a microscope of 40 times, no
sawtooth, no burr, and the lithography accuracy 3.0 lm. However, the traditional
wet etching process soaking in the etching liquid will make the edge of the lithography
appear sawtooth, burr and so on because the metal coating of the encoder is thicker and
the etching time is long, so the quality of the lithography becomes worse, the lithog-
raphy precision drops, and the product is not qualified. Figure 2 shows a picture of an
unqualified product microscope with edge sawteeth and burrs.
382 S. Qin et al.
Edge burr
Edge sawtooth
Fig. 2. Unqualified products with edge sawtooth and many burrs in photolithography (X40)
In order to analyze the specific situation of the unqualified item, the unqualified
encoder produced within one year was investigated statistically. There are 91
unqualified encoders participating in the statistical investigation, from the coating,
lithography, flanging, cleaning of the encoder, surface shape and other aspects of the
collection, formed an unqualified items questionnaire, see Table 1. According to the
results of the survey, the arrangement is drawn, as shown in Fig. 3.
Table 1. Encoder (chromium film) ion beam etching test scheme

No. Test content Number of test pieces
1 Selective ratio test 1–2
2 Low energy and high beam etching test 1–2
3 Medium energy and beam etching test 1–2
4 High energy and low beam etching test 1–2
5 Preparation of etched samples 8–10
6 Edge quality check of lithography 4–5
7 Lithography precision detection 4–5
8 Etching effect analysis 4–5
It can be seen from the questionnaire of unqualified items and the Pareto diagram
that: in the unqualified products produced within one year, the proportion of pho-
tolithography is 68.2%, in which the main item (42.9%) is the precision of lithography,
and the minor item (25.3%) is that the edge of lithography is not up to standard.
According to the principle of quality improvement, two main quality problems caused
by the low pass rate of encoder can be solved by solving the problems of over-precision
and unqualified edge of lithography.
Pareto diagram for unqualified items of encoder
Fig. 3. Pareto diagram for unqualified items
3 Ion Beam Etching Technology
3.1 Ion Beam Etching Technology

Ion beam etching (IBE) is a kind of dry etching. It is bombarded by Ar+ ion beam with
certain energy under vacuum condition, so that the surface atoms are sputtered and
removed from the sample. Finally, the graphics that need to be processed are presented
[4]. Because of its strong directivity, anisotropy and high resolution, ion beam etching
has super fine machining ability and can achieve nanoscale precision. And also because
of the beam density, energy, incident angle of ion beam, the rotation speed of the
workpiece, sample temperature, gas flow rate, working pressure and other parameters
can be accurately adjusted and controlled, therefore, it is easy to achieve the best
process conditions, process flexibility and good reproducibility [5].
In this paper, we try to use ion beam etching instead of wet etching, so that the
lithography can be observed neatly under 100 times microscope, without sawtooth or
burr. At the same time, the lithography accuracy of the encoder is improved from 3 lm
to 2 lm, and the quality and precision of the lithography are greatly improved.
3.2 Technical Proposal
(1) Train of thought of selecting technical scheme

The ion beam etching of the encoder is made by the ion beam bombarding the coating
layer of the encoder, so that the unnecessary coating layer is stripped out from the
surface of the encoder, and the desired pattern is formed. As ion beam etching tech-
nology is pure physical sputtering, in principle any material will be etched, that is to
say, the coating that needs to be etched will be etched, and the non-etched lithography
layer will also be etched [6]. In order to verify the feasibility of ion beam etching for
384 S. Qin et al.
encoder lithography, it is necessary to determine the ratio of the thickness of film layer
to the rate of etching layer thickness through selective ratio test, so as to ensure that the
photoresist can protect the coating which does not need to be etched in the process of
etching. After verifying the feasibility of ion beam etching, through a series of
experiments, the key optimum technological parameters of ion beam etching are
selected, and the experimental samples are prepared. Finally, the edge quality and
lithography accuracy of the samples are analyzed and evaluated under microscope, and
the application effect is confirmed.
Technical scheme determination
Based on the above ideas, the ion beam etching test of chromic film encoder is
carried out, and the test scheme is shown in Table 1.
(2) Technical Measures
In this paper, IBE-150B standard ion beam etching machine is used to carry out ion
beam etching test of chromic film encoder. The main performance index of ion beam
etching machine is shown in Table 2.
Table 2. Main performance indexes of IBE-150B standard ion beam etching machine
Bed dimension U150 mm (maximum sheet diameter 4 in.)
Ion beam incident angle 0–90º arbitrary adjustment
Etching rate 10 nm–200 nm/min (relating to etching materials
and processes)
Etching inhomogeneity ±5%
Ar+ ion energy range 100–1000 eV, Continuous adjustable
Ion beam current density 0–1 mA/cm2, Continuous adjustable
Effective ion beam diameter U100 mm
The sample of ion beam etching of encoder is sent to the professional inspection
mechanism for lithography accuracy detection, and the number of drawing figure is 124
per piece of encoder. Testing qualification and testing devices are as follows.
• Testing qualification:
• The uncertainty of calibration results is evaluated and expressed in accordance with
the requirements of JJF1059 series standards.
• Calibration of environmental conditions:
• Temperature: (20±0.2) °C Humidity: (50±10)% RH
• Calibration of metrology base (standard) devices (including reference materi-
als)/main instruments (Table 3).
Table 3. Calibration device information

Name Measuring range Uncertainty/accuracy rating
qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
2-D linear working 300 mm 300 mm
UðXÞ ¼ 1042 þ ð0:16 xÞ2 þ ð0:28 yÞ2 nm
reference device qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
UðYÞ ¼ 1042 þ ð0:16 yÞ2 þ ð0:28 xÞ2 nm
k = 2, x, y unit is mm
Where x stands for the horizontal ordinate and y for the ordinate.
4 Verification of Ion Beam Etching Technology
4.1 Determination of Ion Beam Etching Selection Ratio

Different materials have different etching rates under the same etching parameters. In
the experiment of the ratio of chromium film layer to photoresist, two specimens were
selected and the commonly used etching parameters, namely ion energy 250 V and ion
beam current 100 mA, were used to carry out the experiment. The test results are
shown in Table 4.
Table 4. Selection ratio test results

No. Test Film Thickness of Thickness of Etching Film etching Coating
article thickness rubber layer rubber layer time rate etching
number before etching after etching rate
1 JM-001 350 nm 2900 nm 2700 nm 20´ 17.5 nm/min 10 nm/min
2 JM-002 350 nm 2300 nm 2100 nm 20´ 17.5 nm/min 10 nm/min
The experimental results show that under this condition, the etching rate of chro-
mium film is 17.5 nm/min, the etching rate of photoresist is 10 nm/min, the selection
ratio of chromium film and photoresist is 1.75:1, that is to say, under the same con-
ditions, the etching rate of chromium film is faster than that of photoresist by ion beam.
This is also a need trend. After obtaining this data, we can draw a conclusion that when
the thickness of chromium film is 350 nm under the condition of medium energy
250 V and medium plasma beam 100 mA, if the thickness of photoresist is more than
200 nm, the etching of chromium film can be guaranteed in theory. When chromium
film is etched clean, photoresist can also play a masking effect.
4.2 Selection of Key Parameters for Ion Beam Etching

Under the condition that the incident angle of the surface bombarded by ion beam and
the atomic structure and crystal direction of the processed material are relatively fixed,
the etching rate is related to the ion energy on the surface of the coating. The higher the
voltage is, the higher the beam current is. The larger the ion beam energy, the higher
386 S. Qin et al.
the etching rate, but the larger the voltage, the larger the ion energy will lead to the
substrate damage. Therefore, it is necessary to select the appropriate voltage to
maintain the appropriate etching rate. In addition, the ion beam density is also one of
the main factors directly affecting the etching rate. Ion beam energy and beam current
in ion beam etching are controlled [7]. The two key parameters of the effect, the higher
the energy and the higher the beam current, the faster the etching rate of the chromium
film is, but the greater the damage to the photoresist. In order to guarantee that the
photoresist can not only play a better protective role, but also improve the etching
efficiency, it is necessary to set different process parameters for process test [8].
According to the experience of ion beam etching parameter selection, three groups
of experiments have been carried out, including low energy 200 V, high beam current
120 mA, medium energy 250 V, medium beam current 100 mA, high energy 500 V
and low beam current 80 mA. The test parameters are shown in Table 5. The etching
results of chromium film encoder are shown in Table 6.
Table 5. Ion beam energy and beam parameters of chromium film encoder
Sample Energy and beam Parameter Etching Chromium etching
number time rate
009 Low energy, high 200 V, 25 min 14 nm/min
beam 120 mA
010 Medium energy and 250 V, 20 min 17.5 nm/min
beam 100 mA
011 High energy, low 500 V, 30 min 11.7 nm/min
beam 80 mA
Under the Leica M2500 metallographic microscope (Fig. 4, left) and 200 times
(Fig. 4, right), the black rectangular strip edge is the edge of the etched figure. As can
be seen from Fig. 4, the chromium film layer in the window is etched cleanly, and the
graphic edges are neat. No sawtooth, no burr, good etching effect.
It can be seen from the above experimental conditions that the etching parameters
of high energy 500 V and low beam current 80 mA have not been etched clean and do
not meet the requirements of lithography index. Therefore, the test conditions are not
suitable. The etching parameters of medium energy 250 V and medium beam current
100 mA are adopted, the graphic edges are neat, the sawtooth and burr are free, the
resolution is high, the lithography index is satisfied, and the etching efficiency is the
highest. So the medium energy 250 V and the medium beam 100 mA are chosen as the
best parameters of ion beam etching.
4.3 Verification Results of Ion Beam Etching

4.3.1 Analysis of Edge Quality Effect of Ion Beam Etching Lithography
According to the optimum technological parameters of ion beam energy 250 V and ion
beam current 100 mA, the sample of encoder etched by ion beam was prepared
in different stoves. The sample number was 10 pieces of Cr-1– Cr-10, respectively.
Table 6. Results of chromium film code plate etching test

Sample Visual inspection Microscopic examination of 40 times after Conclusion
number after etching etching
009 Surface adhesive, Cr etching clean, etched lines neat edge, Qualified
film without high resolution, edge steepness, no sawtooth
damage or burr
010 Surface adhesive, Cr etching clean, etched lines neat edge, Qualified
film without high resolution, edge steepness, no sawtooth
damage or burr
011 Surface adhesive, Part of the window Cr is not completely Unqualified
film without etched clean, neat edges, no sawtooth and
damage burr
Fig. 4. 010 Chromium film encoder sample window edge etching effect (X200)
The ion beam energy and beam current used in the preparation process are the same
and the operation process is the same. The edge effect of lithography pattern was
observed under Leica M2500 metallographic microscope by random sampling of 1 Cr-
6 number disk out of 10 etched samples. It can be seen from the figure that the edge of
lithography pattern, sawtooth and burr of wet etching sample (Fig. 5) is serious. The
edge of the Ion beam etching of Cr-6 sample (Fig. 6) lithography is neat, no sawtooth,
no burr, and the edge of the ion-beam etched lithography is improved obviously.
4.3.2 Precision Analysis of Ion Beam Etching Lithography

In order to investigate the error distribution of lithography accuracy of 10 chromium
film encoders, the lithography error data of the 10 code plates are statistically analyzed.
The lithography error distribution of the coded Cr-7 encoder is shown in Fig. 7.
In Fig. 7, the horizontal coordinates represent the lithography error in lm, the
vertical coordinates represent the frequency, and the sampling number N is 124. It can
be seen from Fig. 7 that the LSL = −2.0 lm and USL = 2.0 lm are limited under the
lithography precision of the encoder, while the error distribution of the 124 points
photolithography measured by the Cr-7 encoder is −0.60 lm–0.7 lm, the error dis-
tribution accords with the normal distribution, and the data is more concentrated, the
standard deviation is 0.3245. The histogram results show that compared with the
388 S. Qin et al.
Fig. 5. Edge etching effect of wet etch- Fig. 6. Ion-beam etching of Cr-6 code-
ing encoder (X100) disk graphics edge effect (X100)
Fig. 7. Lithography error distribution curve numbered as Cr-7 encoder (−0.6 lm–0.7 lm)
lithography index of 2.0 lm, the lithography accuracy of the Cr-7 encoder prepared
by ion beam etching technology meets the requirements. The precision distance
between the upper and lower specifications is sufficient margin.
In order to observe the whole lithography error distribution of 10 encoders, the box
diagram is drawn by using 124 lithography precision test data extracted from each
encoder, as shown in Fig. 8. In the graph, the horizontal coordinate represents the
encoder number, the vertical coordinate represents the error value, the unit is lm, the
specification limit is LSL = −2.0 lm under the lithography precision, the upper
specification limit is USL = 2.0 lm, and the black spot line in the diagram is the
median line. It can be seen from the box diagram in Fig. 8 that the lithography errors of
the 10 encoders are within the upper and lower specification limits, which meet the
requirements of the lithography accuracy 2.0 lm. Where the maximum lithography
error appears in the Cr-5 encoder, the maximum value is 1.3 lm, the maximum value is
35% margin from the upper specification limit, the minimum lithography error appears
on the Cr-5 encoder, the minimum value is −1.4 lm, and there is a 30% margin at the
minimum distance.
Fig. 8. 10 control charts of mean value of lithography error of encoder
5 Conclusion
In this paper, a lithography method based on ion beam etching is designed according to
the problems existing in the sun sensor encoder lithography of spacecraft. Through a
series of experiments, the feasibility of ion beam etching applied to the encoder
lithography of spacecraft solar sensor is verified. The application results show that the
ion beam etching technique can ensure that the edge of the lithography of the encoder is
neat, no sawtooth, no burr, and at the same time, the precision of encoder lithography
has been improved from 3 lm to 2 lm. Ion beam etching technology has
improved the quality and precision of the lithography pattern of the encoder of the solar
sensor of spacecraft.
References
1. Zheng, K.: The development direction and prospect of solar sensor. Control Eng. pp. 6–9
(2004)
2. Tu, S.: Satellite Attitude Dynamics and Control. Aerospace Press, Beijing (2003)
3. Zhou, H., Yang, H.: Present situation and prospect of lithography and microfabrication
technology. Micro/Nanoelectron. 49, 936–939 (2012)
4. Orloff, J., Utlaut, M., Swanson, L.W.: High Resolution Focused Ion Beam, Chapter 2, In:
Physics of Liquid Metal Ion Sources. Kluwer Academic Publisher (2003)
5. Li, J.: Progress of dry etching technology in semiconductor device process. Micromachining
3, 43–48 (1993)
390 S. Qin et al.
6. Cui, Z. (ed.) Microsystem technology standardisation roadmap (2003). http://www.memstand.

org/
7. Li, H., Lu, Z., Liao, J., et al.: Study on the slope of step side wall during ion beam etching.
Micromach. Technol. no. 2, pp. 28–32 (2000)
8. Liu, Z.: Optimization method of lithography process parameters. Semicond. Optoelectron. 22
(1), 52–53 (2001)
Validation Technology in Super Power Supply
System Design of Telecommunication Satellite
Ronghui Jiao1(&), Suran Qin2, Lili Yuan1, Ding Song1,

Lei Yun1, and Jianwu Zhao1
1
4028212@qq.com
2
Abstract. It’s difficult at designing super power system of telecommunication

satellite whose power achieves 20 KW at Present. The power system applying
PCUNG and super capability Li-Battery can be work stably in the power pro-
cesses of producing, transmitting, controlling and storing by design validation.
In addition, design validation can ensure satisfiable output electrical character-
istics of power system. In this paper, the all-digital, semi-physical and all-
physical design verification techniques are used to test and verify the commu-
nication satellite power supply system in each stage, to check whether the
technical specifications of the power supply system meet the requirements. The
super power reliability growth test is carried out to investigate the operating
reliability of the power supply system, which lays a solid foundation for the
successful application of the super power communication satellite power supply
systems.
Keywords: Super power Power system Design validation Imitation
1 Introduction
The communication satellite power supply system is generally composed of solar cell
array, power controller, battery group and distribution system. Solar cell array gener-
ates energy, and the power is adjusted by power controller to form a primary power
supply bus. In addition, the power controller stores the excess energy generated by the
solar cell array in the battery set for use when the satellite solar light is invisible or the
output power of the solar cell array is insufficient. The distribution system is respon-
sible for distributing the primary bus energy to each load, which not only ensures the
low energy loss, but also ensures the safety of energy transmission [1].
The satellite power supply system is related to the lifeblood of the satellite, and the
failure or instability of the power supply system is directly related to the success or
failure of the satellite mission. For example, the INTERSAT19 satellite solar panel
failure caused the satellite power loss of 50%, the satellite mission was seriously
affected, the domestic satellite power supply system transmission path SADA fault,
resulting in satellite mission failure. The statistical results of the faults of satellite power
system in orbit at home and abroad in recent years show that the problems concerning

https://doi.org/10.1007/978-981-13-7123-3_46
392 R. Jiao et al.
solar cell array, power supply regulation, battery group and distribution fault are rel-
atively high, and the omnidirectional design of power supply system is carried out. It is
urgent to improve the reliability and operation stability of satellite power system.
2 Verification Technology of Power Supply System Design
The design and verification technology of communication satellite power supply sys-
tem mainly includes digital simulation verification technology, semi-physical simula-
tion verification technology and all-physical test verification technology.
2.1 Full Digital Simulation Verification Technology

In the field of full digital simulation and verification, at present, communication
satellites are based on DFH-4 platform satellites, and many full digital simulation
models of power supply system have been established. For example, single-junction
and three-junction GaAs solar cell array simulation model, S3R shunt regulator sim-
ulation model, BCR charging regulator simulation model, BDR discharge regulator
simulation model and battery group simulation model [2], based on the power system
simulation model, Set up the whole digital simulation verification platform of super
power supply system.
The whole digital simulation and verification platform of super power supply
system is shown in Fig. 1. The platform consists of power supply and distribution
simulation analysis system, simulation planning and dispatching management system,
simulation database and three dimensional demonstration system of satellite power
flow. The power supply and distribution simulation analysis system is composed of
solar cell array output model (including solar wing shading model), power controller
module model, battery group model, power transmission model and load model. Based
on the models It completes power system simulation analysis and key technical indi-
cators verification. The simulation planning scheduling management system realizes
the data scheduling and planning management of power system simulation [3].
The simulation process is as follows. The input of the system is satellite orbit and
attitude data, satellite 3D geometry model, antenna and solar wing motion character-
istics, etc. The simulation results of solar cell array occlusion and power output are
given under different operating conditions of the satellite in orbit. The calculation
results are input to the power controller model and the battery group model through the
power transmission model. The power controller model is controlled by shunt regu-
lation and charge/discharge regulation, and the satellite primary bus is formed. The
power flow of the satellite is formed through the power transmission model to the load
model. At the same time, the whole process is displayed in the three-dimensional
demonstration system of the satellite power flow [4].
The model parameters of the power supply system are simulated under different
operating conditions of the satellite in orbit to ensure that the model parameters meet
the requirements of the device, and the primary bus characteristics of the power system
meet the load requirements. The impedance characteristics of the power supply system
can meet the requirements of stable operation of the system [5].
Validation Technology in Super Power Supply System 393
Power supply and distribution simulation analysis system,
Solar cell array antenna and solar wing 3D geometry model

satellite orbit and attitude data
occlusion
antenna and solar wing motion characteristics three
software solar cell position in space dimensi
onal
power solar cell po
demons
Simula supply array Other input
w S3Rs BDRs
er model model tration
tion and occlusion tr po
Simulate system
planni we
distrib an MEA BCRs
r data of
ng and s model model Lo
ution m tra
ad satellite
dispatc Solar cell array is PCU model ns
mo power
hing mi
power predict si
on ssi
del
flow
manag on
m
ement mo
system
od
el
Battary group del
model
Simulation database
Simulate
Solar cell array occlusion data Device simulate data data
Solar cell array power predict data Load simulate data
Fig. 1. Full digital simulation verification platform for super power supply system
2.2 Semi-physical Simulation Verification Technology

The schematic diagram of super power supply system semi-physical simulation plat-
form is shown in Fig. 2, which includes the following four parts.
(1) Verification Environment for High Power supply system
By means of ground hardware equipment and software simulation, the super power
supply verification environment is built up with full hardware, full simulation and half
hardware and half simulation system verification environment. This environment is
called HILS (Hardware-in-the-Loop Simulation) that is hardware in loop simulation.
A real-time simulation system based on mathematical model is established by using
hardware-in-loop simulation technology to replace the real power component equip-
ment and satellite computer to realize the function verification of the key modules in
the system design [6].
(2) Verification Environment for High Power Distribution system
The verification environment of super power distribution system realizes the interface
matching verification, performance index matching verification, equipment usage
policy verification and power transmission characteristic verification between distri-
bution equipment, initiator manager, low-frequency cable network and so on.
(3) Verification Environment for Distributor
The verification environment of distributors realizes the verification of high speed
signal transmission of bus cable, solid state distributor, DC/DC and the fault isolation,
detection, recovery and power converter performance.
394 R. Jiao et al.
(4) DSPACE Semi-physical Simulation Verification Environment

The DSPACE (digital Signal Processing And Control Engineering) real-time simula-
tion development environment realizes the complete seamless connection with
MATLAB/Simulink. The DSPACE real-time system has a hardware system with high
speed computing power, a convenient code generation/download tool and a software
environment for testing/debugging [7].
Fig. 2. Principle block diagram of super power supply system semi-physical simulation
platform
Based on DSPACE, the hardware-in-the-loop simulation environment of satellite

power supply system can be established. The digital models of each device can be used
to carry out fault test, boundary test and limit test. Therefore, the system fault handling
measures can be verified and evaluated under the premise of ensuring the safety of the
test equipment, and the design cycle of the power system can be greatly shortened and
the development cost can be reduced.
2.3 Full Physical Test Technique

In the field of full physical simulation and combined test certificate, the construction
and related test verification of communication satellite primary power supply test
certificate system are carried out [8].
The whole physical simulation and test system is shown in Fig. 3 [9]. The system is
based on the power controller and battery group. The peripheral equipments include the
analog solar array output equipment, the primary bus test equipment and the devel-
opment platform of energy management strategy. The main functions of the system are
as follows [10]:
Solar array Load for

Mass power Power for charge Computer
simulator discharge
Battary group BCRB Power control unit Power

analyzer
Twinkle Prima
load ry bus
Bus load
Interface unit for Platform of energy
Impedance test
battary group management strategy
system
Fig. 3. All-physical simulation and test system
• Test the correctness and matching of the interface between the devices of the power
supply system, and test the power supply path;
• A primary bus output characteristic test, including bus impedance, bus ripple and
bus transient response test, etc.
• Energy management strategy test, including battery charge and discharge man-
agement logic verification, various operating conditions switching threshold test
and so on.
396 R. Jiao et al.
3 Design Verification Results
The simulation results of output power of solar cell array are as shown in Fig. 4. The
bottom of the diagram shows the occlusion of the two solar arrays in the north and
south, the gray is occluded, the white is unoccluded, and the occlusion rate curve of the
upper right corner of the diagram can be seen. In the simulation period, the maximum
power loss rate of solar cell array is about 25%. The middle diagram of the right side of
the diagram shows the output curve of solar cell array current in the same simulation
time period, which shows the dynamic characteristics of the output current of solar cell
array in the case of occlusion. The bottom right corner of the diagram shows the typical
values of the solar cell array voltage output histogram in this time period.
Fig. 4. Simulation results of solar cell array output power
The following figure shows the simulation results of impedance and dynamic
characteristics of power supply system.
Figure 5 shows the output impedance and load input impedance diagram simulated
in S3R domain. The maximum output impedance of the power supply system is 25.4 m
X, which does not intersect with the input impedance and the system is stable.
Figure 6 shows the BDR output impedance and the maximum load input impe-
dance diagram. The maximum output impedance of the power supply system is 38 m
X, which is not intersected with the input impedance and the system is stable.
Figure 7 shows the characteristics of output impedance and load input impedance
in BCR domain. The maximum output impedance of power supply system is 26 m X,
which is not intersected with load input impedance, and the system is stable.
Fig. 5. Impedance simulation results in S3R Fig. 6. Impedance simulation results in BDR
domain domain
Figure 8 is a dynamic characteristic diagram of power supply system. When the

steady power of the load is 6915 W, the step power of the load is 2600 W, corre-
sponding to the primary bus voltage step waveform, it can be seen that at 2600 W load
step time, the primary bus overshoot is within 800 mV. The power system meets the
load requirements.
Fig. 7. Impedance simulation results in BCR Fig. 8. Dynamic characteristic diagram of

domain primary bus
Table 1 is the test list of power supply system test system, including power system
interface inspection [11], power system health inspection, power system function test
and power system special test. The test of power system interface is to ensure the
matching and safety of single-machine interface between power systems. Power system
health check is to do low-power level of the power system functional inspection. The
function test of power supply system is to carry out 1:1 function verification of power
supply system according to orbit condition. The special test of power supply system is
to carry out FDIR and reliability growth test of power system [12].
398 R. Jiao et al.
Table 1. List of test items for power supply system test system
NO. Project category Project name
1 Power system interface PCU interface check
2 check Battery group interface check
3 Others interface checks
4 Power system health check PCU health check
5 Battery group health check
6 Others health check
7 Power system function test Busbar overvoltage protection function test
8 S3R shunt regulation function test
9 S3R shunt regulation function test
10 BCR charging function test
11 BDR discharge function test
12 BDR discharge redundancy function test
13 Battery charge function test
14 Battery discharge function test
15 Special test of power system Incoming and outgoing shadow switching function
test
16 Load step dynamic response test
17 FDIR test of power supply system
18 Power system reliability growth test
4 Conclusion
In this paper, the design and verification system of super power supply system is
designed, the full digital simulation verification platform and the all physical test
certificate platform are built, and the practical application is carried out. The application
results show that, the full digital simulation platform effectively verifies the system
characteristics of the power supply system and ensures that the design of the power
supply system meets the requirements of the satellite system. The whole physical test
platform is used to test and verify the satellite power system products, and the relia-
bility of the system is tested to ensure that the power supply system does not have any
doubt. After that, the semi-physical simulation of the super-power supply system will
be carried out, and the influence of the power supply system on the power supply
system will be simulated under the condition of part of the device failure. To ensure the
satellite power supply system single failure service continuity, double failure to ensure
satellite safety.
References
1. Li, G.-x.: Introduce to Spacecraft Power System Technology. China Aerospace Publishing
House, Beijing (2008)
2. Zhang, Y., Jiang, D.-s., Liu, Z.: Research on Modeling and Simulation of Satellite Electrical
Power System
3. Ma, X., Zhang, D., Xu, D.: S3R&S4R control strategy analysis and simulation. Manag.
Control Technol. 26(6), 45–50 (2007)
4. Miao, D., Zhang, D.: Simulation of S4MPR application for spacecraft power supply system.
21(19), 6298–6302 (2009)
5. Zhao, G.-w., Han, F.-t.: MPPT technology for high orbit and high power satellite power
system, design and research of power technology, 1002-087X 08-1675-04 (2016)
6. Ma, P.-b., Wu, J.-h., Ji, J., Xu, X.-l.: Software environment and application of dSPACE real-
time simulation platform. J. Syst. Simul. 1004-731X 04-0667-04 (2004)
7. Zhnag, X., Guo, Y., Tong, L., Chen, H.: dSPACE real-time simulation and controller
parameters tuning for three-phase PWM rectifier. Trans. Chin. Electrotech. Soc. 28, 219–224
+232 (2013)
8. Liu, L.: Faults simulation and diagnosis of satellite power system. Dissertation for the Master
Degree in Engineering, Harbin Institute of Technology (2015)
9. Xiao, L.: Faults simulation and diagnosis of satellite primary electrical power system.
Dissertation for the Master Degree in Engineering, Harbin Institute of Technology (2016)
10. Wang, H.: Spacecraft electrical test technology. Beijing Institute of Technology Press (2018)
11. Jiao, R., Chen, Y.: Design and realization of automatic system in satellite low frequency
interface test. In: Proceedings of Spacecraft Extend Life and Reliability Study, pp. 397–406.
China Aerospace Science and Technology Corporation, Beijing (2011)
12. Song, S., Pan, J.: Key ability of EPS in integration test. In: Proceedings of Technology
Committee of Beijing Institute of Spacecraft System Engineering, pp. 23–26. Beijing
Institute of Spacecraft System Engineering, Beijing (2009)
Research on Application Method of 3D Digital
Simulation Technology in Spacecraft Assembly
Boyin Zhang(&), Qiang Wang, Xingyan Wang, and Yin Liang

robretb0463_cn@sina.com
Abstract. The process method shall be considered completely and imple-

mented systematically in assembly of spacecraft products due to complicated
structure and high integration and coupling of mechanical, electric and heat
characteristics. An application method based on 3D digital simulation technol-
ogy in assembly of the spacecraft is proposed in this paper and some tests are
implemented for verification. This method proposes a brand-new solution means
for installation of complicated products in model development. This method
features extensive promotion and application significance and can effectively
improve assembly efficiency and quality of spacecrafts.
Keywords: 3D digitalization Spacecraft Assembly application
1 Introduction
Spacecraft products feature complicated structures and integrate mechanical, electric

and heat characteristics on the star integration phase. To satisfy layout requirements of
different payloads, generally a star structure is composed of multiple independent box-
type typical structures and different devices are deployed inside the star body. Different
devices are connected as systems via complicated cable networks. The devices and
space cabins are coated by different heat control materials on their surface to satisfy the
operating temperature range of instrument. The process methods shall be completely
considered and systematically implemented in case of assembly of spacecraft products
due to high integration and coupling of mechanical, electric and heat characteristics.
Design and virtual simulation of the digital assembly process are applied in fields
such as 3D interactive process planning, virtual simulation of assembly sequence and
assembly path and visual guidance document output. It plays an important role in
optimal solution to manufacturing of complicated products such as spacecraft [1].
Design of the assembly process is throughout whole spacecraft assembly, which is
main basis to guide tooling design and product assembly and is the key part to ensure
assembly efficiency and quality of spacecraft products. Studying process design of
digital assembly and assembly process simulation is significant for solving of defects in
traditional assembly and improvement of assembly efficiency [2, 3].
With complicated load assembly of a spacecraft model as the object, this paper
studies the process model and virtual simulation flow for assembly and gets assembly
process design and simulation scheme of spacecraft under 3D virtual environment as

https://doi.org/10.1007/978-981-13-7123-3_47
Research on Application Method of 3D Digital Simulation Technology 401
the foundation for full 3D digital design and manufacturing of spacecraft products,
which provides references for assembly of spacecraft products and can promote
implement of related industry work.
2 Requirement Analysis for Digital Assembly of Spacecraft
2.1 Overview of Spacecraft Assembly

Spacecraft assembly indicates to combine massive parts and components into complete
products according to the assembly process plan and technical requirements. The whole
assembly process includes process design, process planning, component assembly and
assembly and is the most significant part in spacecraft production. The spacecraft
assembly process design is the foundational work in spacecraft development and is the
significant means to design products, ensure product quality, reduce consumption and
improve productivity [4, 5]. Assembly and test of a spacecraft is the final phase in
spacecraft development. Its assembly and test technology will directly affect general
performance, function and reliability of the spacecraft and play a critical role in normal
operation of a spacecraft in the orbit. Based on the statistics of the aerospace sector of
Russia, the assembly workload is about 35% of total machining workload of a
spacecraft. Assembly and test cycle is about 30% of total development cycle.
2.2 Main Features of Spacecraft Assembly

Assembly is implemented strictly according to the requirements in design documents,
drawings and process documents and includes the following three features:
1. Extensive and diversified specialties involved and high comprehensiveness.
Spacecraft assembly and test covers assembly of bench workers, electric installation
workers and metalers, heat control manufacturing and assembly, pipeline manu-
facturing and installation, instrument, device installation precision test, airtight
system leakage detection, quality characteristics test, electric performance test,
dynamic environmental test and heat vacuum test, so it features diversified, crossed
and frequent work procedures and long work cycle and depends on comprehensive
application and coordination of diversified specialties and technologies. Some new
processes and new technologies are continuously developed to adapt requirements
of assembly and test technologies of different spacecraft models.
2. Multi-model and pilot production. With diversification and quick development of
spacecraft and their application and long period and high investment of spacecraft
development, a spacecraft features diversified models and pilot production, even
single piece production. It is difficult to mechanically produce spacecrafts due to
these production features, narrow space inside spacecraft, high-density installation
of instrument, devices, cables and pipes, and bad openness, so massive work
depends on manual operation. The operation skills, work responsibilities and work
experiences of workers play a key role in quality and security of spacecraft
assembly and test.
402 B. Zhang et al.
3. High assembly workload and long period of spacecraft. Generally assembly

workload of a mechanical product is about 20% of total assembly workload. The
assembly process of a space is about 40%–50% product manufacturing cost and
work hours and will consume massive manufacturing time and resources.
2.3 Design and Analysis of Existing Spacecraft Assembly Process

Now traditional process design system is still used for 2D assembly process design in
the domestic assembly process design of a spacecraft. The following issues exist:
1. The assembly process planning method cannot guarantee uniform manufac-
turing information. Now generally the 3D product design model provided by a
design department cannot cover complete assembly process information and cannot
be throughout the whole manufacturing process in design, production and manu-
facturing of spacecraft. The 2D process guidance document is prepared as the
production basis according to digital product design model in assembly. Such serial
mode cannot effectively associate manufacturing process information with design
information and reduce transmission and distribution efficiency of manufacturing
information data. Ambiguity of design information and process information defi-
nition may lead to inconsistent data. Possible issues in production preparation
cannot be discovered in advance and effectively solved, so it leads to an error in
field production.
2. Assembly process design results are lack of effective validation and optimiza-
tion method. Now the assembly process design mainly includes assembly process
scheduling, assembly step management result distribution and association among
assembly equipment, assembly environment and assembly process is not wholly
considered. Before the assembly process document is distributed, assembly process
cannot be simulated and validated effectively. Feasibility of process design, oper-
ability of assembly tooling design and openness of assembly space cannot be
discovered and solved in time on the design phase, so it increases error rate at the
production site.
Based on above analysis, the digital product model shall be fully applied, the visual
assembly process design mode is implemented, assembly process simulation technol-
ogy is introduced, and complete assembly process data information management and
transfer process are constructed to effectively improve assembly quality and increase
assembly efficiency.
2.4 Requirements of Digital Assembly

Digital assembly process design indicates a system method in which digital models of
the 3D products are introduced to digital process design environment via the data
management system interface and the assembly process is planned via human-machine
interaction to form guidance assembly process documents. Contents and features of the
assembly process are analyzed under the digital environment and the technical system
of visual assembly process design for assembly process is built by combining the
existing assembly process design mode based on the digital product model [6].
1. Assembly process design technologies. To completely transfer assembly process

design information, with assembly process as the main body and with digital
models of 3D products as the foundation under the digital assembly process design
mode, assembly information such as product information, process information and
tooling information in assembly are effectively associated to form single data set in
product production and manufacturing and ensure effective transmission and dis-
tribution of product information based on the enterprise production capabilities,
production step scheduling and product manufacturing resource configuration.
2. Assembly process simulation technology. The assembly process is simulated prior
to assembly according to the assembly process plan. Assembly sequence and
assembly path of parts are simulated in spacecraft assembly to check and verify
feasibility of assembly process implementation plan, discover and feed back
problems for correction. Simulation covers verification of production environment,
manufacturing resources and process equipment and can optimize production line
layout and assembly tooling design.
3. Output of assembly process design results. The 3D process documents generated
in 3D visual assembly process design mode include the video, cartoons and 3D
images to guide production. The network data transmission mode can facilitate
timely feedback and correction of problems in the process design.
3 Digital Assembly Process Design Process of Spacecraft
Assembly process design can prepare the process for spacecraft product assembly.
Since the product design information is received, the assembly process plan is prepared
according to the structural features of products, the assembly process model is created
by combining the manufacturing resource information, assembly process design pro-
cess of spacecraft is digitalized, the assembly task is scheduled and assembly process is
simulated under the 3D environment, and the feasible assembly process execution
documents can be obtained [7, 8].
With complicated load assembly of a spacecraft model as one example, digital
applications of its assembly process are studied by using the design method for digital
assembly process in this paper.
3.1 Analysis of Assembly Working Conditions and Division of Assembly

Units
A load model covers the camera body, lens hood, star sensor, integrated structure, rear
hood of camera, 4 camera heat pipe and corresponding fixing hoop.
To satisfy the requirements of the process and assembly, the integrated camera
structure combination is divided into several assembly units in installation. For the list
of assembly units, refer to the Table 1.
1. After 3 star sensors are combined with the bracket, star-sensitive radiation plate and
star-sensitive heat pipe under the star, they will be installed on the camera body;
404 B. Zhang et al.
Table 1. List of assembly units of integrated structure combination of optical camera

SN Product name Quantity Mass (kg) Remark
1 Camera body 1 390
2 Camera rear cover 1 /
3 Lens hood 1 75
4 Heat pipe 4 0.65 (single piece)
5 Hoop 11 /
6 Star sensor combination 3 7 (single piece)
2. The camera body and the lens hood are installed on the spacecraft floor via the
integrated structure;
3. The camera radiation plate bracket is installed on the floor of the spacecraft;
4. The south and north radiation plate and 4 heat pipes (GFY07-4) of the camera have
no direct installation interfaces with the whole star. The radiation plate is installed
on the radiation plate bracket.
5. Two ends of the heat pipes are connected to the radiation plate via the hoop (4
hoops at each end). The middle part of the heat pipe is connected to the heat
collector plate under the camera body via 3 hoops. After all heat pipes are installed
in place, the gap in the contact area among heat pipes, radiation plate and heat
collector plate is less than 0.2 mm.
3.2 Establishment of Assembly Environment

4 operators (A, B, C and D) are arranged according to the process features of heat pipes
of camera/integrated structure combination under the start under the Delmia environ-
ment. The body model is 170 cm high. The operator A and B disassemble and
assemble the bottom cover inside the unwheeling and install the hoop, shown as the
Fig. 1. The operator C and D install the hoops outside the unwheeling and assist
conveying of the bottom cover, shown as the Fig. 2.
Fig. 1. Diagram of operator A and B Fig. 2. Diagram of operator C and D

3.3 Assembly Process Analysis

Verify the installation flow of heat pipes of the camera/integrated structure combination
under the star and analyze visibility and reachability of difficult parts under Delmia
environment and record visibility and reachability analysis results of key parts. The
following risky points shall be verified in simulation:
(a) Turning space inside the unwheeling, implementability, hazardous points and
risky points with possible interference with instrument during removal of camera
bottom cover;
(b) Implementability for bottom cover transfer under the unwheeling and possible
hazardous points and risky points for collision with instrument;
(c) Implementability for one operator to support heat pipes and hoops with a tray;
(d) Operability for realizing coplane of “U-shaped” part of the heat pipe with the
“heat pipe regulation and installation plate” tooling;
(e) Implementability for two operators to operate at exchanged position inside the
unwheeling during heat pipe regulation.
3.4 Outputs of Simulation Results

After assembly process simulation is completed, the reasonable assembly process plan
is obtained. The process design results and analysis results are outputted via the data
output options of the DELMIA platform to form the electronic document of assembly
process guidance. The assembly simulation process is recorded via the screen recording
to get the assembly cartoon and video for browsing and facilitate technology training
and field assembly guidance.
Optimization of Assembly Process
4 heat pipes are installed at the bottom of the camera and are drilled out via the notch
on the wall of the integrated structure. After optimization based on simulation process,
the process steps for heat pipe installation are described as follows:
(a) Hoist the camera/integrated structure combination away from the unwheeling
installation plane; Place 4 heat pipe on the surface of the unwheeling connection
frame and fix it with the hoop temporarily;
(b) Make the camera/integrated structure combination fall onto the unwheeling;
(c) Most outside 2 hoops fixing the heat pipes of the heat collector plate at the bottom
of the camera are placed on the tray (tooling) and then the operator supports and
makes it contact the heat pipe;
(d) Remove the hoops fixing the heat pipe on the connection face of the unwheeling;
(e) Support the tray and hoop to the corresponding position of the heat collector plate
at the bottom of the camera together with 4 heat pipe, shown as the Fig. 3;
(f) An operator keeps supporting posture and another operator slightly relaxes the
fastener at two ends of the hoop;
406 B. Zhang et al.
Fig. 3. An operator supports tray and hoop together with 4 heat pipes
(g) The operator outside the unwheeling keeps “U-shaped” coplane by using the
terminal tube hoop and fastener via the regulation plate on the side of the terminal
tube (tooling). The operator inside the unwheeling regulates looseness of the
fastener at the camera heat collector plate to assist the operator outside the
unwheeling to regulate the “U-shaped” coplane of the heat pipe, shown as the
Fig. 4.
Fig. 4. Fix heat pipe on the regulation plate on the side
(h) The operator inside the unwheeling completes all hoops and fasteners at the heat
collector plate of the camera, fasten them by the regulated torque, and disassemble
the regulation plate on the side;
(i) Detect the gap in the contact part between the heat collector plate and the heat
plate by using a feeler. The gap shall be less than 0.2 mm;
(j) Disassemble 4 heat pipes and scrape and coat GD414 silicon rubber in the contact
area of the heat pipe of the heat collector plate of the camera.
(k) Install 4 heat pipes again according to the step (4)–(10);
Wipe the overflowing GD414 silicon rubber by using the dust-free cloth dipped with
the absolute ethyl alcohol;
(l) Install the camera’s bottom cover again;
Risk Analysis in Assembly

It is slightly difficult for an operator to support about 3 g tray and heat pipe in the step
(6) via Delmia environment analysis [9], but the maximal supporting weight of the
operator is 8.942 kg at this time, which can be withstood. When the operator installs
the fixing hoop of the heat pipe at the side regulation plate, the minimal distance from
the integrated structure is 15.523 mm and the minimal distance from the heat pipe is
6.508 mm. Collision probability is very high. A safety officer shall be assigned for
careful operation (Fig. 5).
Fig. 5. Collision risk in operator
Human-Machine Effect Analysis in Assembly

The operator color represents operation comfort in Delmia software, green indicates
comfortable, yellow indicates better, orange indicates good and red indicates dis-
comfortable. When the operator installs the fixing hoop of the heat pipe at the side
regulation plate in the step (8), the waist, arm and hand muscles of the operator feel
fatigue. If the operator keeps operation for a long period, it will feel discomfortable, so
it shall break and regulate operation. For effect analysis diagram, refer to the Fig. 6.
Fig. 6. Operator comfort
4 Conclusions
This paper describes application process of the digital 3D simulation technology in

spacecraft assembly. The digital assembly simulation of a spacecraft can plan the
assembly process under the spacecraft 3D reality by fully using 3D digital sample
machine of the spacecraft and assembly resources, so the errors and defects in design,
tooling design and process design can be discovered before the drawing is delivered to
the plant or earlier in order to reduce redoing and decommissioning of parts, cost and
shorten the development period, provide the visual field assembly guidance, and
improve assembly quality and efficiency.
References
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virtual assembly. Virtual Reality 11(4), 217–228 (2007)
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technology. Chin. Mech. Eng. (15), 1004–1398 (2015)
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Big Data Workshop
Network Traffic Prediction Based on LSTM
Networks with Genetic Algorithm
Juan Chen1, Huanlai Xing1(&), Hai Yang2, and Lexi Xu3

1
Southwest Jiaotong University, Chengdu 611756, China
hxx@swjtu.edu.com
2
10th Research Institute of China Electronics Technology Group Corporation,
Chengdu 610036, China
3
China Unicom Network Technology Research Institute, Beijing 100048, China
Abstract. Network traffic prediction based on massive data is a precondition of

realizing congestion control and intelligent management. As network traffic time
series data are time-varying and nonlinear, it is difficult for traditional time series
prediction methods to build appropriate prediction models, which unfortunately
leads to low prediction accuracy. Long short-term memory recurrent neural
networks (LSTMs) have thus become an effective alternative for network traffic
prediction, where parameter setting influences significantly on performance of a
neural network. In this paper, a LSTMs method based on genetic algorithm
(GA), GA-LSTMs, is proposed to predict network traffic. Firstly, LSTMs is used
for extracting temporal traffic features. Secondly, GA is designed to identify
suitable hyper-parameters for the LSTMs network. In the end, a GA-LSTMs
network traffic prediction model is established. Experimental results show that
compared with auto regressive integrated moving average (ARIMA) and pure
LSTMs, the proposed GA-LSTMs achieves higher prediction accuracy with
smaller prediction error and is able to describe the traffic features of complex
changes.
Keywords: Genetic algorithm Long short-term memory recurrent neural

networks Network traffic prediction
1 Introduction
Cloud computing has become a popular topic in the field of information computing
resources. There are an estimated 50 billion connected devices worldwide by 2020 [1].
Interconnections among these devices would cause generation of massive data. These
data must be stored and processed so that their profits can be explored and utilized.
Many large data centers are built to provide different type of services. Network traffic
prediction is a fundamental service that is needed to enable any traffic management
operation, such as differentiating traffic pricing and treatment (e.g., policing and
shaping) and security (e.g., firewall, filter and anomaly detection) [2].
Numerous models have been proposed to exploit the temporal and self-similar
property of network traffic classification and prediction. Existing models, such as auto
regressive integrated moving average (ARIMA) [3] and support vector machines [4],

https://doi.org/10.1007/978-981-13-7123-3_48
412 J. Chen et al.
are mainly linear models that cannot well describe high dimensional data and capture
complex nonlinear relationships [5]. To cope with nonlinear modeling, neural network-
based regression algorithms are widely used since neural networks are capable of
modeling highly nonlinear and complex structures [6]. However, it is reported that they
are prone to over-fitting problems and cannot always achieve adequate performance in
certain applications [7]. Recurrent neural network (RNN) is also advocated to predict or
class the time series data. In this paper, we want to explore the potential of deep neural
networks as feature extractors and learn long term temporal dependencies by LSTMs, a
type of RNN [8]. Reference [9] applied the bilinear recurrent neural network (BLRNN)
to the real world Ethernet network traffic data set and obtained decent results. However,
the parameter setting was based on local information, which was not globally opti-
mized. For random network traffic, structural parameters in LSTM model should be
carefully set to achieve high prediction accuracy.
Genetic algorithm (GA) is a class of evolutionary algorithms (EAs). GA is widely
used for search and optimization problems, where structures of chromosome and
evolutionary operations such as selection, crossover and mutation, are mimicked. In
recent years, significant attention has been attracting by integrating GA with deep
learning. More specifically, it has been utilized for more efficient selection of hyper-
parameters, e.g. kernel size, and network structures [10, 11].
In this paper, we apply GA-LSTMs to network traffic prediction, where GA is
developed to optimize the hyper-parameters in the LSTM model. The GA-LSTMs
model is mainly composed of two parts. One is the LSTMs model itself that serves as a
mapping rule between input and output variables and also the core in fitness function.
The other part is GA that optimizes the hyper-parameters in the LSTMs model.
Experimental results demonstrate that GA-LSTMs outperforms ARIMA and LSTMs in
terms of the prediction accuracy.
The rest of this paper is organized as follows. Section 2 introduces the LSTMs
model and briefly describes GA. Section 3 presents the GA-LSTMs method and the
implementation process. Section 4 discusses the experiment design and results. Finally,
the conclusion is given in Sect. 5
2 The Model
2.1 LSTM
In this section, we introduce deep learning-based structures used for network traffic
forecasting. LSTMs are good at memorizing information for a long time. As the
accuracy of the model may be affected by more previous information, LSTMs become
an appropriate choice for employ. LSTMs have been demonstrated to be effective in
language translation [12] and speech recognition [13].
Figure 1 shows a basic LSTMs architecture. The network model is composed of
three stages: input, feature extraction (based on LSTMs), and regression stage (flatten
layers). We use the window method in the input stage. The input window [Xt–n, Xt–n+1,
…, Xt–2, Xt–1, Xt] is consecutive samples for regression, where each of them is
Network Traffic Prediction Based on LSTM Networks 413
normalized to fit in [0, 1]. The historical samples are forwarded to the LSTMs for
temporal traffic feature extraction and then to flatten layers for single upcoming net-
work traffic prediction.
Fig. 1. The GA-LSTMs architecture
2.2 GA
GA is a meta-heuristic that mimics the biological evolution according to the rule of
nature, i.e. the survival of the fittest. We encode all hyper-parameters in the LSTMs
model as a chromosome (also called individual/solution), where each hyper-parameter
is a gene with predefined value range. A population consists of a number of chro-
mosomes. The initial population is randomly generated. Each individual is evaluated by
some performance metrics of the LSTMs model. Fitter individuals are more likely to
survive than others in the population in the selection process. Then, crossover and
mutation are performed to the selected individuals. Selection, crossover and mutation
are repeated to evolve the population for promising values for the hyper-parameters in
the LSTMs model until that a predefined number of generations are finished.
414 J. Chen et al.
3 Methodology
In order to predict the future service traffic accurately, a LSTMs model based on GA is
proposed, where the flowchart is illustrated in Fig. 2. LSTMs is for network traffic
prediction while GA is utilized to tune the hyper-parameters in the LSTMs network.
Besides, the LSTMs network is integrated into the fitness evaluation in GA.
Fig. 2. The flowchart of GA-LSTMs
The procedure of GA-LSTMs in Fig. 2 is expressed as follows:

1. Dataset Preprocessing. We divide the dataset into two subsets, one for training and
the other for testing.
2. Population initialization. Set parameters of GA, including the maximum generation
of evolution, the population size N, the crossover probability Pc, the mutation
probability Pm, the number of genes in each individual Ngene, the value range of
each gene.
3. Fitness evaluation. The LSTMs model associated with each individual is tested and
the mean absolute error (or root mean square error) of the test dataset is assigned to
this individual as its fitness value.
4. Execution of the evolutionary operations. Selection, mutation and crossover are
performed to generate a new population. In addition, single-point crossover is used.
5. Stopping condition judgement. If it is the predefined generation number, GA stops

and output the best individual as the hyper-parameter setting for the LSTMs model
and the associated test dataset is used for training it; otherwise, go to Step 3.
4 Experiment Design and Performance
The GA-LSTMs prediction model is programmed by Python based on the TersorFlow

deep learning framework and it runs on a Windows 10 workstation with Intel(R) Core
(TM) i7-6700 3.4 GHz, 16G RAM, and GPU NVIDIA GeForce GTX 1070.
4.1 Dataset Description

For data analysis with deep learning, it is essential yet often challenging to obtain a
high-quality dataset. The experiment dataset in this work is collected from real world
network traffic traces of Yahoo! data centers locating at Dallas, USA. It approximately
contains a one-day data (1383 data points) from 8:55 am, April 28th, 2008, to 7:57 am,
April 29th, 2008. A data point represents a summation of the traffic flow values
obtained in one minute. In our experiment, data is divided into two parts, i.e. dataset for
training (80%) and that for testing (20%).
4.2 Hyper-parameters Settings

The value ranges of the hyper-parameters used in the LSTMs model is described
below. The number of layers is randomly selected from 1 to 5. The number of LSTMs
cells is each layer is randomly selected from [32, 64, 128, 256, 512, 1024]. The number
of batch size is randomly selected from 1 to 64. The length of inputs is from 1 to 64.
The dropout to avoid over-fitting and the learning rate are set to 0.5 and 0.0006,
respectively. The four hyper-parameters above are encoded as an individual in GA, so
the number of genes Ngene is set to 4 for each individual. In GA, the population size and
the predefined number of generations are set to 500 and 35, respectively. The crossover
and mutation probabilities, Pc and Pm, are set to 0.6 and 0.1, respectively.
GA is utilized to find the optimal combination for hyper-parameters. After training
the model for 100 times, we obtain the best combination of hyper-parameters. Table 1
shows the best hyper-parameter setting for GA-LSTMs and the default hyper-
parameters setting for LSTMs and ARIMA models. The batch sizes in GA-LSTMs are
smaller than the default ones. As for the number of cells in each layer, GA-LSTMs is
larger than the default ones.
4.3 Evaluation Criteria

The mean absolute error (MAE) and the root mean square error (RMSE) are used to
evaluate the prediction accuracy. Equations (1) and (2) define the above errors.
416 J. Chen et al.
Table 1. Hyper-parameter setting in different models.

Hyper-parameters Best (GA-LSTM) Default (LSTM) Default (ARIMA)
Layers 1 2 8
Cells in each layer 32 10 16
Batch size 2 60 60
Length of inputs 24 20 50
1 Xn
MAE ¼ jyðtÞ xðtÞj ð1Þ
n t¼1
rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
1 Xn
RMSE ¼ ð yð t Þ xð t Þ Þ 2 ð2Þ
n t¼1
Where y(t) and x(t) are the predicted and actual output values at time t, respectively,
and n represents the number of predictions.
4.4 Results
The actual data points are verified by various models, including ARIMA, LSTMs and
GA-LSTMs. The network traffic prediction results are shown in Fig. 3. In Fig. 3, we
sample these data points every five minutes because the amount of data points are too
many to be shown. Figure 4 is an extracted segment from Fig. 3.
Fig. 3. Comparison among different models

Fig. 4. The partial comparison among different models
In Figs. 3 and 4, it is easily seen that GA-LSTMs has a higher prediction accuracy
than models based on LSTMs and ARIMA. Besides, data points in the next 240 min
are also forecasted in Fig. 5. The forecasting data points are almost the same with the
actual traffic data, reflecting a promising performance of GA-LSTMs. In fact, compared
with neural network, the GA-LSTMs model not only reduces the computational
complexity, but also improves the generalization ability for the model.
Fig. 5. The network traffic prediction results obtained by the GA-LSTMs model
Table 2 shows the MAE and RMSE results of ARIMA, LSTMs and GA-LSTMs.
Apparently, GA-LSTMs performs significantly better than the other two methods,
indicating the superiority of GA-LSTMs for network traffic prediction.
418 J. Chen et al.
Table 2. Prediction errors of different models

Model MAE RMSE
ARIMA 1188005 1534919
LSTM 815774 1336008
GA-LSTM 117965 179655
5 Conclusion
A long short-term memory method based on genetic algorithm is presented for network
traffic prediction in this paper. The network traffic is forecasted by training the GA-
LSTMs model. The original big data can be analyzed effectively by GA-LSTMs.
Experimental results show that GA-LSTMs achieves much better prediction results
than ARIMA and LSTM. Our future work will consider user perception aware
applications and resource allocation schemes in cellular networks [14, 15].
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On Multicast-Oriented Virtual
Network Function Placement: A Modified
Genetic Algorithm
Xinhan Wang1, Huanlai Xing1(&), and Hai Yang2

1
Southwest Jiaotong University, Chengdu 611756, People’s Republic of China
hxx@swjtu.edu.com
2
10th Research Institute of China Electronics Technology Group Corporation,
Chengdu 610036, People’s Republic of China
Abstract. Network function virtualization (NFV) is an emerging network

paradigm that will ease the network reconfiguration and evolution for Network
Service Providers (NSPs). In NFV, the virtual network function placement
(VNFP) problem has become a hot topic. However, little research attention has
been paid to multicast-oriented VNFP (MVNFP) problem. This paper studies
the MVNFP problem and presents a two-step approach to address it. The first
step constructs a multicast tree for a given multicast service request and the
second one places VNFs onto the tree. In the first step, Dijkstra’s algorithm is
adopted while in the second step, a modified genetic algorithm (mGA) with
problem-specific chromosome encoding, crossover and mutation is proposed.
Simulation results show that mGA performs better than a number of evolu-
tionary algorithms with respect to the solution quality and convergence.
Keywords: Genetic algorithm Multicast Network function virtualization

Virtual network function placement
1 Introduction
Network function virtualization (NFV) is an emerging network architecture that was

introduced by the European Telecommunications Standards Institute (ETSI) in 2012
[1]. NFV decouples network functions (such as NAT, DNS, IDS, Proxy, etc.) from
traditional network hardware by introducing a virtual resource layer that enables the
deployment of functional network elements via virtual machines. Deploying virtual
network functions (VNFs) on compute nodes not only improves the network flexibility
but also greatly reduces the capital and operational expenses (CAPEX/OPEX).
In NFV, a service function chain (SFC) is a set of ordered VNFs. A network service
is provided by deploying a SFC onto the corresponding substrate network. In order to
receive a network service, a data flow needs to be processed by all VNFs of a SFC in
right order before it reaches the destination. VNF placement (also known as SFC
mapping) has been regarded as one of the most challenging issues when considering
the practical deployment of NFV. Unfortunately, this problem is NP-hard [2].

https://doi.org/10.1007/978-981-13-7123-3_49
On Multicast-Oriented Virtual Network Function Placement 421
Currently, the main research stream on VNF placement focuses on unicast com-
munications. For example, Refs. [3, 4] studied the establishment and placement of
VNFs. On the other hand, with the emergence of more and more multimedia appli-
cations, e.g. remote education and IPTV, multicast has become one of the key com-
munications technologies. In NFV, network service should also be provided to
multicast sessions. The multicast-oriented VNF placement (MVNFP) problem, how-
ever, has not attracted enough research attention. In [5], NFV-enabled multicast routing
based on SDN was studied, where the branch and bound method was adopted. Then,
Xu et al. [6] proposed the concept of pseudo-multicast tree. The same network func-
tionality is only deployed once, which means any two VNFs in a multicast tree stand
for two different network functions. Nevertheless, some data flows need to travel longer
distance before reaching their destinations. Longer distance is more likely to lead to
larger delay, which to a certain extent deteriorates the performance of NFV.
Genetic algorithm (GA) has been successfully applied to solve the unicast-oriented
VNFP problem, where resource allocation in cloud datacenter is considered [4].
Compared with traditional mathematical methods, GA is self-organizing, adaptive, self-
learning, etc., especially suitable for tackling the NP-hard problems. The MVNFP
problem has been proven to be NP-hard.
This paper formulates a MVNFP problem with the average transmission delay in a
multicast tree minimized and proposes a two-step approach to handle it. The first step
adopts the Dijkstra’s algorithm to build a multicast tree once there is a multicast service
request. The second one deploys the VNFs for the tree, where a modified GA
(mGA) with problem-specific chromosome encoding, crossover and mutation is
devised. Compared with population based incremental learning, ant colony optimiza-
tion and particle swarm optimization, the proposed mGA achieves better solutions and
convergence.
2 Multicast Virtual Network Function Placement (MVNFP)

Problem
A communications network is represented by a graph G ¼ ðV; EÞ, where V and E are

node and link sets, respectively. Let s and D ¼ d1 ; d2 ; . . .; djDj be the source node
and the
set of destination nodes, respectively, where jDj is the cardinality of D. Let
F ¼ f1 ; f2 ; . . .; fjF j represent a set of ordered VNFs (i.e. a SFC request), where fi
denotes the i-th VNF, i ¼ 1; 2; . . .; jF j. Then, we denote a multicast service request by
MR ¼ fs; D; F g.
Assume that all nodes in a network are NFV-enabled, which means any node is
able to host one or more VNFs subject to its physical resource availability. In order to
maximize the effectiveness of each VNF, we do not allow the deployment of two or
more VNFs with the same functionality on a single node, which means any two VNFs
on a node are different.
422 X. Wang et al.
2.1 Multicast Tree Construction

In a multicast tree, nodes hosting VNF(s) incur processing delays since data flows
passing by them are processed by one or more VNFs on them. Nodes that do not host
any VNF are responsible for forwarding data flows only. The processing delays
incurred on them are trivial, compared with those on nodes with VNF(s) hosted. We
thus simply ignore the processing delay on each forwarding node. Denote the propa-
gation delay on link e 2 E by DelayðeÞ.
Let Pathi be the path from source s to destination di ði ¼ 1; 2; . . .; jDjÞ in the
multicast tree. Denote the propagation
delay
along Pathi before
placing VNFs by
Delaybfr ðPathi Þ. Let EPath
i
¼ ei1 ; ei2 ; . . .; ei Ei i
and VPath ¼ vi1 ; vi2 ; . . .; vi V i be
j Path j j Path j
i i
the link and node sets of Pathi , respectively. EPath and VPath are the number of links
and that of nodes along Pathi , respectively. Then, Delaybfr ðPathi Þ is defined in Eq. (1).
X
Delaybfr ðPathi Þ ¼ i
e2EPath
DelayðeÞ; i ¼ 1; 2; . . .; jDj ð1Þ
Given a multicast service request MR, we use Dijkstra’s algorithm to find the
multicast tree GT ¼ ðVT ; ET Þ with the average propagation delay minimized, where
GT G; VT V, and ET E. The objective is defined in Eq. (2).
Minimize:
1 XjDj
Delaybfr ðPathi Þ ð2Þ
jD j i¼1
2.2 Multicast-Oriented VNF Placement

After the multicast tree construction, F ¼ f1 ; f2 ; . . .; fjF j is to be placed to the resulted
GT . Note that in a multicast tree there is a path from the source to a destination, i.e.
Pathi originates from s and terminates at di ði ¼ 1; 2; . . .; jDjÞ. In order to ensure user
experience, we expect to reduce the transmission delays along each path in the mul-
ticast tree. Hence, we propose to deploy F on each source-destination path, with the
purpose of achieving smaller transmission delay.
Let Udpl ðvÞ F represent the set of VNFs hosted by node v. Let RAvailable ðvÞ be the
compute resource available on node v and let RConsumed ðfk Þ denote the compute resource
consumed by deploying VNF fk , where k ¼ 1; 2; . . .; jF j. Let DelayiPath ðfk Þ represent the
processing delay caused by VNF fk on path Pathi , where i ¼ 1; 2; . . .; jDj and
k ¼ 1; 2; . . .; jF j.
As aforementioned, the VNF placement step deploys F on each source-destination
path on GT , which means for an arbitrary path Pathi , the data flow originated from the
source is processed by f1 ; f2 ; . . .; fjF j before arriving at destination di . The propagation
delay on Pathi after F is deployed, Delayaft ðPathi Þ, is defined in Eq. (3). Note that the
processing delays incurred on those nodes along Pathi that host one or more VNFs are
not included in Delayaft ðPathi Þ.
X X X
Delayaft ðPathi Þ ¼ Path
e2Es!f i
DelayðeÞ þ Path
e2Ef !fi
DelayðeÞ þ Pathi
e2Ef
DelayðeÞ
1 k kþ1 jF j !di
ð3Þ
Pathi
where Es!f 1
; EfPath i
k !fk þ 1
; EfPath i
jF j !di
EPathi , i ¼ 1; 2; . . .; jDj and k ¼ 1; 2; . . .; jF j 1. Es!f
Pathi
1
represents the link set of the sub-path from s to the node hosting f1 on Pathi . EfPath i
k !fk þ 1
stands for the link set of the sub-path from the node hosting fk to the node hosting fk þ 1
on Pathi . EfPath i
jF j !di
is the link set of the sub-path from the node hosting fjF j to destination
di on Pathi .
In the VNF placement, this paper aims to find an appropriate SFC deployment
solution for the multicast tree. The objective and constraints are shown in Eqs. (4)–(7).
Minimize:
1 XjDj h XjF j i
Delay aft ð Path i Þ þ Delay i
ð f k Þ ð4Þ
jD j i¼1 k¼1 Path
Subject to:
[
i
v2VPath
Udpl ðvÞ ¼ f1 ; f2 ; . . .; fjF j ð5Þ
\
Udpl ðuÞ Udpl ðvÞ ¼ £; 8u; v 2 Pathi ; u 6¼ v; i ¼ 1; 2; . . .; jDj ð6Þ
X
RAvailable ðvÞ fk 2Udpl ðvÞ
RConsumed ðfk Þ; v 2 V ð7Þ
Objective (4) is to minimize the average transmission delay of the multicast tree,
where the propagation delay on links and the processing delay on nodes that host VNFs
are both considered. Constraint (5) specifies that all VNFs in F are deployed on each
source-destination path, e.g. Pathi . Constraint (6) explains that any two VNFs on the
same source-destination path are different, which helps to improve the utilization of
compute resource. Constraint (7) specifies that the compute resource consumed by
deploying VNFs cannot exceed the available compute resource a node can offer prior to
the VNF placement.
3 mGA for VNF Placement
As mentioned in Sect. 2, Dijkstra’s algorithm is employed to build a multicast tree

GT ¼ ðVT ; ET Þ with the average propagation delay minimized. Note that, in this step,
the processing delays caused by nodes hosting VNFs are not taken into account. Then
we deploy SFC of multicast service request MR, F, onto GT by a modified GA (mGA),
where the average transmission delay is minimized with the processing delay incurred
by VNFs considered.
GA is a stochastic search evolutionary algorithm in the field of computational
intelligence [7]. GA first generates a population of solutions (also called chromosomes).
424 X. Wang et al.
It then calculates the fitness value of each solution in the population via fitness evalu-
ation. Later on, it selects solutions into a mating pool, where better solutions are selected
with higher probability. After that, crossover and mutation are applied to the solutions in
the mating pool to generate a new population. The selection, crossover and mutation
operations are repeated to evolve the population until termination condition is met.
A typical GA has the following steps [7]:
1. Initialization: Set the generation number s ¼ 0. Set the predefined maximum
generation number to Ng and randomly generate Np individuals to form population
PðsÞ.
2. Fitness evaluation: Calculate the fitness value of each individual in PðsÞ.
3. Selection: Repeatedly select an individual from the population until a mating pool
with Np individuals is generated.
4. Crossover: The crossover operation is performed to PðsÞ with a crossover proba-
bility Pc .
5. Mutation: The mutation operation is performed to PðsÞ with a mutation
probability Pm .
The population PðsÞ goes through the selection, crossover, and mutation
operations and becomes Pðs þ 1Þ.
6. Termination condition: If some termination criteria are satisfied, the evolution of
population stops and the best individual obtained in the evolutionary search is
output as the optimal solution.
In mGA, we set the population size to Np and the maximum number of itera-
tions to Ng . We use Eq. (4) as the fitness function.
3.1 Solution Encoding and Fitness Evaluation

As known, an appropriate individual encoding not only clarifies the relationship among
decision variables of the problem, but also reduces the time complexity of the algo-
rithm. According to the features of the MVNFP problem, we design a problem-specific
individual encoding scheme.
As aforementioned, SFC of a given multicast service request MR, F, is to be
deployed on each source-destination path in the multicast tree. This paper proposes a
two-dimensional solution encoding scheme, where an individual is a jDj jF j matrix.
The i-th solution Xi is defined in Eq. (8), where i ¼ 1; 2; . . .; Np . Value xij;k represents
the ID of a node on path Pathj that is selected to host fk . We refer to a region as a row in
the individual. So, an individual is composed of jDj regions and each region has a
length of jF j. In fact, each region is a set of nodes to host F in a source-destination path
in the multicast tree.
2 3
xi1;1 xi1;jF j
6 . .. .. 7
Xi ¼ 6
4 .. .
7
. 5; 8i ¼ 1; 2; . . .; Np ð8Þ
xijDj;1 xjDj;jF j
i
In the fitness evaluation, we first check if a solution is feasible according to con-

straints (5)–(7). A feasible solution is evaluated according to Eq. (4) while an infeasible
solution is assigned a sufficiently large value and it will not be involved in VNF
placement process.
3.2 Selection, Crossover and Mutation in mGA

In mGA, the tournament selection is adopted, where the tournament size is set larger
than two to increase the selection pressure, hence ensuring a faster convergence.
Traditional crossover and mutation are not directly applicable to mGA as the indi-
viduals are matrix-based but not string-based. In mGA, the crossover is performed to
each pair of individuals with a crossover probability Pc . If a pair is selected, a randomly
chosen region in one individual and another randomly chosen region in the other
individual are swapped, resulting into two offspring individuals. Our crossover helps to
produce feasible individuals by avoiding significant destruction to promising genes
accumulated during the evolution. Figure 1 shows an example of the proposed cross-
over operation. The m-th region of X i and the n-th region of Xj are randomly chosen and
swapped. Then, the two offspring individuals replace their parent individuals.
Fig. 1. An example of crossover
After crossover, the population undergoes mutation operation, where each position
in the individuals is chosen with a mutation probability Pm . Suppose the k-th position
of the j-th region in individual Xi , xij;k , is chosen for mutation. Then, a node is randomly
j
selected from node set VPath and used to replace xij;k .
4 Performance Evaluation
In order to verify the effectiveness of mGA, we compare it with three widely used
evolutionary algorithms, including population based incremental learning (PBIL), ant
colony optimization (ACO) and particle swarm optimization (PSO). There are six
instances for experimentation, where three real-world networks from the Internet
426 X. Wang et al.
Topology Zoo (http://www.topology-zoo.org) and three random networks are gener-

ated by the Random ER Graph Generation Algorithm [8]. The available compute
resource of node v, RAvailable ðvÞ, the compute resource consumed by deploying VNF
fi ; RConsumed ðfi Þ, and the processing delay caused by fi ; Delayðfi Þ, are uniformly dis-
tributed in the ranges of [30, 50] units, [10, 20] units, and [10, 20] ms, respectively.
Table 1 shows the test instances and their parameters. In each instance, the multicast
service request MR is randomly generated. In each instance, the multicast source and
destination nodes are randomly generated, where the number of destination nodes
varies from 5 to 9. The number of VNFs is uniformly distributed in the range [5, 8].
Table 1. Test instances and their parameters.

Tinet Dfn Tata Random_1 Random_2 Random_3
Nodes 53 58 145 50 150 250
Links 89 87 186 128 419 665
Dest. Nodes 5 8 5 6 7 9
VNFs 8 5 8 5 6 7
In mGA, we set Pc ¼ 0:7 and Pm ¼ 0:05. In PBIL, the learning rate and the
mutation probability are set to 0.1 and 0.05, respectively. In ACO, the pheromone
evaporation rate is set to 0.5 and the two heuristic factors are set to 0.1 and 0.2,
respectively. In the PSO, we set the inertia weight to 0.2 and the two positive constants
c1 ¼ c2 ¼ 2, respectively. For all algorithms, we set Np ¼ 100 and Ng ¼ 300. Each
algorithm is run 20 times for each instance and the best fitness curve is provided in
Fig. 2.
Fig. 2. Best fitness value vs. generation

In terms of the convergence, PBIL, PSO, and ACO are easily trapped into local
optima in early stage of evolution, e.g. they converge around 50th generation. mGA, on
the other hand, converges gradually because of the diversity preservation provided by
the proposed mutation scheme. It not only helps to explore wider area in the search
space but also avoid damaging feasible individuals. Regarding the solution quality, it is
no doubt that mGA always obtains the best solution in each instance. This is because
the proposed crossover and mutation operations provide efficient global exploration
and local exploitation over the search space.
5 Conclusion
This paper formulates a multicast-oriented virtual network function placement

(MVNFP) problem. First, it adopts Dijkstra’s algorithm to construct a multicast tree
with the minimum average propagation delay. Then, the paper deploys virtual network
functions (VNFs) onto the tree by a modified genetic algorithm (mGA), where
problem-specific individual encoding, crossover and mutation are devised. Experiment
results demonstrate the superiority of mGA over a number of well-known evolutionary
algorithms in terms of the solution quality and convergence. In the future, we would
like to extend the MVNFP problem in the context of wireless and mobile networking
environment [9, 10].
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PM2.5 Concentration Forecast Based
on Hierarchical Sparse Representation
Rui Zhao1, Bingjian Lu1,2(&), Zhenyu Lu2,3, Hengde Zhang1,

and Tianming Zhan4
1
National Meteorological Center, Beijing 100081, China
1003014781@qq.com
2
School of Electronic and Information Engineering, Nanjing University of
Information Science and Technology, Nanjing 210044, Jiangsu, China
3
The Collaborative Innovation Center on Atmospheric Environment and
Equipment of Jiangsu, Nanjing 210044, Jiangsu, China
4
Nanjing Audit University, Nanjing 210044, Jiangsu, China
Abstract. This paper proposes hierarchical sparse representation (H-SRC) to

predict PM2.5 Concentration. It selects factors from observational data in
Beijing-Tianjin-Hebei. Its time is from January to March in 2013–2017. Then, it
constructs 4000 samples of historical databases based on fuzzy C means algo-
rithm (FCM). Input Meteorology factors predicted by Rapid Refresh Multi-scale
Analysis & Prediction System-CHEM (RMAPS-CHEM) and European Centre
for Medium-Range Weather Forecasts (ECMWF), use the first-level sparse
representation to classify test samples and the second-level sparse representation
to regress test samples, then it predict the PM2.5 Concentration. Experiment
with the data in Beijing-Tianjin-Hebei between January and March, 2018,
reveals that the method in this paper can increase the accuracy and reduce mean
absolute error. The accuracy by hierarchical sparse representation is 25.28%,
13.34%, 14.28%, 23.08% higher than RMAPS-CHEM in 0–35 lg=m3 , 75–115
lg=m3 , 115–150 lg=m3 , 150–250 lg=m3 , while absolute errors are all lower
than RMAPS-CHEM. At the same time, this method is easy to study and is
convenience for the analysis of other meteorological data.
Keywords: Historical database Sparse representation Regress

PM2.5 concentration
1 Introduction
In recent years, haze pollution in China has shown an overall trend of increase [1].
PM2.5 (particle size less than 2.5 l) as the primary pollutant in the process of heavy
haze pollution, has been proved to have significant harm to human health [2]. Since the
implementation of the State Council’s air pollution prevention and control plan in
2013, the pollution situation in Beijing-Tianjin-Hebei has been obviously alleviated
and the air quality has improved significantly. However, the pollution weather has
occurred from time to time. Especially in the “2+26” cities, the pollution phenomenon
is more prominent, which is still significantly higher than that in developed countries.

https://doi.org/10.1007/978-981-13-7123-3_50
430 R. Zhao et al.
Therefore, it has great importance to search for a suitable method to predict air
pollution.
At present, the North China Regional Meteorological Center introduced the WRF-
CHEM model and established the North China Regional Meteorological Prediction
System (BREMPS) locally [3]. It can simulate the temporal and spatial distribution of
regional atmospheric pollutant concentration. However, due to the uncertainties of the
emission list and the imperfections of physical and chemical mechanisms, the pre-
diction errors of PM2.5, PM10, O3 and other key pollutants are large [4]. In the recent
ten years, machine learning has been rapidly rising and has become the cornerstone of
technology in the era of big data. Fan et al. have constructed a space-time prediction
model based on the missing value processing algorithm and the cyclic neural network
to realize the prediction of air quality [5]. Experimental comparison verified the validity
of the space-time prediction framework based on depth learning. Dai et al. combined
particle swarm optimization (PSO) and support vector machine (SVM) to establish a
rolling prediction model to predict the concentration of PM2.5 in the next 24 h [6].
Although the above methods have achieved good results to some extent, there are still
some problems. Such as, the learning speed of neural network method is slow; the
support vector machine is difficult to achieve multi-classification.
Sparse representation is a focus in the current research. It is especially widely used
in computer vision, machine learning and pattern recognition. The representation
coefficient of this method contains many information, which is helpful for classifying
[7]. Moreover, It is also used for voice signal processing [8] and visual target tracking
[9]. The final result of sparse representation is depend on a few coefficients. So, the
computational complexity is greatly reduced. Since it doesn’t need to know the exact
relationship of dependent variables and independent variables, it is perfect for pre-
dicting when the relationship between predictors and prediction objects is ambiguous.
This paper uses observational data and two numerical forecast data to predict the PM2.5
concentration. It constructs 4000 samples of historical databases based on fuzzy C
means algorithm (FCM). Then, it use meteorological elements and pollutant concen-
tration to predict. It firstly use the first-level sparse representation to divided the test
samples into six categories. Then, It use the second-level sparse representation to
regress PM2.5 concentration with classification and its corresponding sub databases. By
experiments with the data predicted by RMAPS-CHEM and ECMWF in 2018, the
method in this paper has proven to have potential in PM2.5 concentration forecast. It
can improves forecast accuracy of PM2.5 concentration and is suitable for the analysis
of other meteorological data.
2 Information
2.1 Data Sources
Meteorological Data. Air temperature, wind direction, wind speed, humidity and
other observational data of meteorological stations in Beijing-Tianjin-Hebei by 3 h
between January and March, 2013–2017.
PM2.5 Concentration Forecast Based on H-SRC 431
Pollutant Concentration. The hourly concentration of PM2.5 at 1493 stations

announced by China Environmental Monitoring Station were selected from the nearest
environmental monitoring stations of the required meteorological stations.
The Prediction Field of Meteorological Data. Air temperature, wind direction, wind
speed and other meteorological data of Beijing-Tianjin-Hebei between January and
March 2018 are predicted by ECMWF and RMAPS-CHEM.
The Prediction Field of Pollutant Concentration. RMAPS-CHEM predicts the
PM2.5 concentration in Beijing-Tianjin-Hebei between January and March 2018.
2.2 Factor Selection

Cheng et al. found that in most cases the PM2.5 concentration had a good correlation
with air temperature, humidity, wind direction and wind speed, and passed the 99.9%
confidence level test [10]. Based on the experience of predecessors and forecasters, this
paper calculates 10 factors, including air temperature, 24-h variation of air temperature,
humidity, wind direction, wind speed and dew point on the ground, air temperature and
the dew-point deficit of 700 hpa, air temperature and the dew-point deficit of 850 hpa.
3 Core Algorithm
Figure 1 gives the structure chart about predicting PM2.5 concentration forecast by
hierarchical sparse representation. This method is mainly include two parts. The first
part is classification: it firstly uses observational meteorological elements to construct
historical database D. Then input meteorological data predicted by RMAPS-CHEM
and ECMWF and historical database D. Finally, it can divided test samples into six
categories by first-level sparse representation. The second part is regression: it firstly
divides historical database D into six subclass databases. Then it inputs the results of
classification and subclass databases. Finally, it can regress PM2.5 concentration by the
second-level sparse representation.
3.1 Construct Historical Database

If there are enough samples in the historical database and there are certain structural
characteristics, the sample elements can be sparsely represented. It can be seen that one
of the main points of sparse representation is to build a suitable database. This paper
constructs the historical database with the observational data from January to March of
years 2013–2017. If samples’ number in the historical database is too large, processing
speed will be impacted. However, if samples’ number in the historical database is too
small, sample’s integrity will be impacted. This paper selects about 4000 samples to
construct the historical database by doing many experiments.
Assume that xi ¼ ½ai1 ; ai2 ; ; ai10 ; zi T , ai1 ; ai2 ; ; ai10 is the elements of a certain
day, zi is its corresponding PM2.5 concentration. It is divided into 6 categories
according to the PM2.5 concentration (as shown in the Table 1). The number of each
class is numb , b ¼ 1; 2; ; 6.
432 R. Zhao et al.
Meteorological data predicted by Observational data

RMAPS-CHEM and ECMWF (meteorological data and PM2.5 concentration)
Historical database D
about 4000 samples
First-level sparse representation

Subclass historical databases
Classify (six subclass) D1, D2, D3, D4, D5, D6
Second-level sparse representation

Input subclass database
Regress PM2.5 concentrations
Fig. 1. Structure chart of predicting PM2.5 concentration by hierarchical sparse representation
Table 1. The classification standard of PM2.5 concentration

Air quality index level PM2.5 concentration ðlg=m3 Þ Air pollution level
First level 0–35 Good
Second level 35–75 Moderate
Third level 75–115 Lightly polluted
Fourth level 115–150 Moderately polluted
Fifth level 150–250 Heavily polluted
Sixth level >250 Severely polluted
How to select samples to ensure diversity of samples is very important, after being
classified by the PM2.5 concentration. Because it cannot be classified more meticu-
lously from the surface. In 1974, Dunn proposed FCM algorithm. From the most
algorithms of cluster, it is a successful one and is widely used in fuzzy cluster. Thus, we
use it to classify further data. Each sample is further divided into 100 categories by
FCM algorithm. It needs to select the number of each class according to the proportion
of each class randomly, which is constantly adjusted in the experiment. Finally, it
selects about 4000 samples for constructing the historical database D,
D ¼ ½x1 ; x2 x4000 .
3.2 Hierarchical Sparse Representation (H-SRC)

Whether today’s weather and historical weather belong to the same kind, there are
certain similarities between them, especially the meteorological data of the same
weather in the weather classification. If today’s weather is similar to many historical
weather, we can represent today’s weather by those similar historical weather. Now, we
can use historical PM2.5 concentration to represent the future PM2.5 concentration
sparsely. Figure 2 gives the structure diagram of H-SRC.
Input meteorological data predicted by RMAPS-CHEM and

ECMWF
(test sample f)
Input historical database D
First-level sparse representation

Classify Subclass historical database
f1 f2 f3 f4 f5 f6 D1 D2 D3 D4 D5 D6
Second- level sparse representation
Historical PM2.5 concentration
β1 β2 β3 β4 β5 β6 z1 z2 z3 z4 z5 z6
Regress
y1 y2 y3 y4 y5 y6
Fig. 2. The structure diagram of hierarchical sparse representation
It divides historical database D into six categories according to PM2.5 concentration

as shown in the Table 1. D ¼ ½D1 ; D2 ; ; D6 , D1 D6 is six subclass databases. The
test sample f is composed of meteorological data predicted by RMAPS-CHEM and
ECMWF, f ¼ ½a1 ; a2 ; a10 . Equation (1) is the formula for calculating sparse
coefficients.
a ¼ argminkf Dak22 þ kkak1 ð1Þ

a
The result is a ¼ ½a1 ; a2 ; ; a6 . a1 a6 is six types of coefficients corresponding

to six subclass historical samples. Equation (2) is the formula for calculating the
reconstruction error of each coefficients, c ¼ 1; 2; ; 6. The test samples’ categories
are depending on the smallest error. It classifies test samples into six categories that is
f ¼ ½f1 ; f2 ; ; f6 . f1 f6 is six subclass test samples.
ec ¼ kf Dc ac k2 ð2Þ
434 R. Zhao et al.
Equation (3) is the formula for calculating the second sparse coefficients. The
second sparse coefficients is the coefficients of subclass test sample f corresponding to
its subclass historical database Dk .
bk ¼ argminkf Dk bk k22 þ kkbk k1 ð3Þ

bk
After getting the second sparse coefficients, we use these coefficients and the PM2.5
concentration of subclass historical database to regress PM2.5 concentration yk . zkj
represents the PM2.5 concentration in j sample of k subclass historical database.
j ¼ 1; 2; ; mk , In it, mk is samples’ number of k subclass historical database Dk .
X
mk
yk ¼ bkj zkj ð4Þ
j¼1
4 Experimental Results
This paper does the experiment with the meteorological data predicted by RMAPS-
CHEM and ECMWF to verify the effect of using H-SRC to predict PM2.5 concen-
tration. The data is from Jan. 1 to Mar. 31 in Beijing-Tianjin-Hebei, 2018.
4.1 Contrast Experiment of Observational Data, H-SRC and RMAPS-

CHEM
This paper does related experiments to evaluate H-SRC. It use the data of 08 h from
Jan. 1 to Mar. 31 in 2018 in Beijing-Tianjin-Hebei. Figure 3 is observational data and
the results predicted by H-SRC and RMAPS-CHEM at Beijing from January to March
in 2018. There are 68 test samples when removing missing data.
From Fig. 3, its vertical axis is PM2.5 concentration lg=m3 and its horizontal axis is
date. The results of H-SRC are similar to the observational data. It can simulate the
PM2.5 concentration better than the forecast results of RMAPS-CHEM, especially in
low pollution conditions.
4.2 The Accuracy and Mean Absolute Error of H-SRC and RMAPS-
CHEM
In order to analyse the forecasting effect of H-SRC, Table 2 gives the forecasting
accuracy rate of two forecasting methods for three hours from January to March in
2018 at Beijing, and Table 3 gives the forecasting error of two forecasting methods for
three hours from January to March in 2018 at Beijing.
From Table 2, the accuracy of H-SRC in 0–35 lg=m3 , 75–115 lg=m3 , 75–115
lg=m3 , 115–150 lg=m3 is 25.28%, 13.34%, 14.28%, 23.08% higher than BREMPS.
The accuracy in 35–75 lg=m3 is only 8.23% lower than RMAPS-CHEM. Because it is
Fig. 3. Results of observational data, H-SRC and RMAPS-CHEM
Table 2. The accuracy of two methods at Beijing from January to March 2018
Methods 0–35 35–75 75–115 115–150 150–250 >250
Hierarchical sparse representation 71.31% 20.34% 26.67% 28.57% 61.54% /
RMAPS-CHEM 46.03% 28.57% 13.33% 14.29% 38.46% /
Table 3. The mean absolute error of two methods at Beijing from January to March 2018
ðlg=m3 Þ
Methods 0–35 35–75 75–115 115–150 150–250 >250
Hierarchical sparse representation 17.90 44.21 55.51 46.01 69.76 /
RMAPS-CHEM 49.52 49.95 82.42 50.09 106.61 /
easily misreported in 75–115 lg=m3 . On the whole, H-SRC has a better forecasting
effect, especially when the weather is excellent.
From Table 3, the mean absolute error of the six types of pollution in this method
is 31.62 lg=m3 , 5.74 lg=m3 , 26.91 lg=m3 , 4.08 lg=m3 , 36.85 lg=m3 lower than
BREMPS. Taken together, all mean absolute errors of PM2.5 concentration by this
method are less than RMAPS-CHEM. So, the effect of H-SRC is better.
436 R. Zhao et al.
5 Conclusion
This paper proposed hierarchical sparse representation to predict PM2.5 concentration.

And it does some experiments to verified its feasibility. Through the contrast experi-
ments with RMAPS-CHEM, we can see that: the accuracy of PM2.5 concentration
based on H-SRC is better than RMAPS-CHEM in 0–35 lg=m3 , 75–115 lg=m3 ,
115–150 lg=m3 , 150–250 lg=m3 . And the mean absolute errors of PM2.5 concentra-
tion forecast in all categories are lower than RMAPS-CHEM. That is to say the PM2.5
concentration forecast based on H-SRC can reduce mean absolute error and increase
the accuracy.
Acknowledgments. This work has been supported in part by the National Key Research Pro-
gram of China (Grant No. 2016YFC0203301), the National Natural Science Foundation of China
(Grant No. 61773220, 61502206), the Nature Science Foundation of Jiangsu Province under
Grant (No. BK20150523).
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representation of speech signals. Speech Commun. 85, 71–82 (2016)
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move image forgery detection in smooth regions. In: International Conference on Machine
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concentration in China based on CMAQ model and adaptive partial least square regression.
J. Environ. Sci. 35(8), 2771–2782 (2016)
Intelligent User Profile Prediction in Radio
Access Network
Yaxing Qiu(&), Xidong Wang(&), Fengjun Wang(&),

and Sen Bian(&)
Green Communication Research Center of China Mobile Research Institute,

CMCC, Beijing, People’s Republic of China
{qiuyaxing,wangxidong,wangfengjun,biansen}
@chinamobile.com
Abstract. With increasingly dense deployment of base stations, power con-

sumption, resource utilization, interference management, and user experience
optimization in mobile network have become more and more important chal-
lenges. The effective prediction of temporal and spatial data traffic distribution,
en-powered by intelligent user profile prediction, will be essential. This paper
investigates user mobility and user service patterns prediction by generating
refined user trajectory and 2-D service feature models. Specifically, an improved
Bayesian trajectory prediction strategy coupled with time-domain features
extraction used for user service pattern prediction is proposed. Large scale field
test using 2300 active mobile devices (users) across 1600 cells in a live network
showed promising results of 85% trajectory prediction accuracy and 70% ser-
vice pattern prediction accuracy. The accurate prediction of user-level behavior
pattern is of great significance not only for the improvement of network energy-
efficiency, but also for the guarantee of user experience and the optimization of
network utilization.
Keywords: Mobility prediction Service pattern prediction Machine learning
1 Introduction
As one of the biggest telecom operators in the world, China Mobile has the widest
wireless access networks in China, in which the total number of base stations (BSs) has
exceeded 3 million by 2016 [1]. For the 5th Generation communication system (5G),
more BSs will continue to be installed to support up to 1,000-fold gains in capacity.
With increasingly dense deployment of base stations, wireless networks have become
more and more advanced and complicated. The wireless networks are generating a
large amount of wireless data (such as measurement report, traffic load, resource
usages, etc.) all the time, and this drives the wireless communication networks into the
era of big data [2]. In practice, the traffic load and resource usages of network are
closely related to the behavior pattern of the mobile users. Analyzing users’ behavior
pattern based on their interaction with wireless networks is a key problem in network
usage mining. Also, user mobility and behavior patterns prediction can significantly

https://doi.org/10.1007/978-981-13-7123-3_51
438 Y. Qiu et al.
benefit the resource-constrained network automation, from network planning, network

traffic monitoring to network management in mobile networks [3].
Mobility is an inherent characteristic of users in mobile networks. User mobility
prediction allows estimating or predicting the location and trajectory of users at the next
moment. Nowadays, a number of studies have been proposed to conduct human mobility
pattern mining based on human mobility data in many types of wireless networks. In [4],
Order-k Markov predictor is used to predict next place on the basis of the sequence of the
k-most latest locations in users’ trajectories. Additionally, some prediction methods using
machine learning techniques have been suggested as useful approaches to improve the
prediction accuracy. One advantage of the learning-based model is that mobile contexts
can be quantitatively measured and mapped into a feature space for prediction. Tomar and
Verma have suggested the trajectory prediction method using a Support Vector Machine
(SVM) and used it as the regression analysis method in [5]. Furthermore, deep learning
approach for spatiotemporal modeling and prediction in cellular networks is also proposed
with using big system data in [6]. Unfortunately, these methods are challenged by multiple
factors, such as low accuracy, high complexity, etc. More importantly, these methods
consider only historical trajectory data for prediction without taking into account time
factors (i.e., the residence time of a user in a cell), which, however, is an important factor
for the data traffic distribution in the wireless network.
In this paper, we study the user-level behavior patterns to predict the temporal and
spatial data traffic distribution in the wireless network. To model a user profile, user’
mobility and service pattern are investigated. An improved Bayesian trajectory pre-
diction algorithm is proposed to predict the user’s trajectory in the working and rest
days, respectively. Also, the user residence time is considered to achieve more accurate
trajectory prediction. User service pattern prediction is obtained by combining time
feature and the mobility prediction results. Furthermore, instead of using virtual mobile
data, our work is based on the real mobile data collected from the mobile networks,
which can make our prediction results more meaningful. The contributions of this
paper are summarized as below:
(1) For user mobility prediction, an improved Bayesian prediction algorithm is
conceived to predict the likelihood of the next location for users with considering
the user residence time to achieve more accurate location prediction.
(2) An innovative approach is designed to predict user service type and traffic by
combining with time feature and location prediction results.
(3) En-powered by user mobility and service patterns prediction, the effective pre-
diction for temporal and spatial data traffic distribution is carried out.
2 User Profile Prediction Algorithm
The user profile prediction algorithm is divided into two parts: user’s location pre-
diction and service pattern prediction. For user’s location prediction, the personal
trajectory modeling can be conducted according to the users’ historical trajectory. After
modeling, when the system is inputted the continuous trajectory points of a user within
a few hours, which cell the user will visit next time will be predicted as the output
Intelligent User Profile Prediction in Radio Access Network 439
results. For service pattern prediction, when the continuous service information for a
period of time (for example, a few hours) is fed into the well trained model, the service
type and the traffic used by the user at the next moment can be predicted as the output
results. After the above two predictions are effectively combined, for a certain cell we
can know how many users will enter and leave at the next moment, and how much data
traffic they will bring in or take away. The real-time prediction of the users’ mobility
and service pattern will assist in the analysis of data traffic distribution in wireless
networks at the near future moment.
The algorithm includes three parts (see Fig. 1): offline learning, online prediction
and traffic statistics. In the offline learning stage, historical data is used to build pre-
diction models. For online prediction, the real-time data in the process of user
movement will be fed into the model that has been well trained in the offline learning
stage to obtain the prediction results. Then, the data traffic at the next moment for a cell
brought by each user can be summed up to obtain the total traffic. The other Key
Performance Indicators (KPI) prediction (for example, PRB resource utilization) can be
also made to understand the load condition of the network at the near future moment.
Data
collec on
Mobile
network
data Data pre-
Historical loca on data
processing
Offline
learning
Loca on data APP type and traffic
Real- me Real- me APP type training data training
loca on data and traffic data
User me- User me-
loca on model service model
Online
Predic on
User locaton APP type and
predicton traffic predic on
Summarize user traffic volume to

predict the cell traffic volume
Othre KPI prediton
Traffic Sta s cs
Fig. 1. The flowchart of prediction algorithm.

440 Y. Qiu et al.
2.1 Mobility Prediction Model

In wireless network, mobile users need to have their existing connections transferred to
a different access point (AP) to feed their highly mobile habits. With the movement of
users, their connections are constantly being switched from one wireless AP to another.
The user trajectory can be obtained by connecting the continuous wireless APs that
have been accessed by users. So, the cell (or AP) granularity is taken as the smallest
grid unit to analyze and predict the user’s location. The trajectory T1 can be represented
as fn1 ; n2 ; n3 ; n6 g by network nodes.
A model based Bayesian theory towards this objective was studied in detail to make
the user next location prediction. In this model, the user’s previous moving trajectory
has been known and is selected as historical trajectory. When the user’s current travel
trajectory is Tp , his destination nj can be predicted by using Bayesian algorithm. And
then the path with the highest probability of switching from Tp to a location ln under the
condition of destination nj will be chosen and the next location of the trajectory ln is the
prediction location point. The formula is described as:
PðTp jd 2 nj Þ Pðd 2 nj Þ
Pðd 2 nj jTp Þ ¼ PG : ð1Þ
k¼1 PðTp jd 2 nk Þ Pðd 2 nk Þ
Where G represents the total number of destinations for a certain user. A location
where a user resides for more than a certain time can be selected as the destination. The
longer the residing time is, the more likely the location is to be a destination, but this
method may miss the places where users only stay at a short time. For Pðd 2 nj Þ, it is
the priori probability of the destination nj , it can be calculated as
Pðd 2 nj Þ ¼ Sd2nj =Stotal ð2Þ
Where Sd2nj is the total number of the historical trajectories that with the destination
nj . Stotal is the total number of historical trajectories. Only a priori probability of the
grid nodes that users have ever reached is not zero. That means, only the grid nodes that
users have arrived before can be predicted as the user’s next destination. It is important
to note that the prior probability and the time are relevant. So, for better location
prediction, the trajectory of the user’s working day and the weekend is analyzed and
counted, respectively. Where PðTp j d 2 nj Þ is the posteriori probability that indicates
the probability of passing through the trajectory Tp when the destination is nj . It can be
calculated as:
STp ;d2nj
PðTp j d 2 nj Þ ¼ ð3Þ
Sd2nj
Where STp ;d2nj refers to the number of trajectories Tp when the destination is nj . For
the process of user trajectory prediction, the user’s destination is predicted by real-time
trajectory data, and then the cell with the highest handoff probability from the current
location to the predicted destination is selected. The next location of the trajectory Tp is
the prediction point.
If the user is at the current location point nc , the destination predicted is nj , there
may be different tracks from the current point to the destination, the location transfer
probability from nc to nj is
Pðnc ! nj Þ ¼ Pðnc ! nc þ 1 Þ Pðnc þ 1 ! nc þ 2 Þ Pðnj¼1 ! nj Þ ð4Þ
The next location of the trajectory with Pðnc ! nj Þ maximum is the predicted
location point.
According to the above model, the data of the rest day and the data of the working
day are divided into two databases, which are trained and predicted respectively. The
distinction between the working and the rest day can improve the accuracy of pre-
diction model for it is in line with users’ living habits.
2.2 Service Pattern Prediction Model

According to the burst and continuity of user’s service pattern, we divide user’s service
type prediction into type analysis in the moving state and static state to make more
accurate prediction. Service type modeling and prediction in motion state: the type of
service used by the user is related to his trajectory. We decompose the user’s proba-
bility of using certain application (APP) at some time and place to two important
variables: APP type and location. After the user position switches from the current
point to the next point, the APP that he uses may change. For example, when a user
goes to the subway, he will turn on the video and watch the movie, and when he goes
down the subway he will turn off the video. This event has a high occurring probability
with a specific user. Define the state switching probability of using certain APP when
user’s location changes as:
Nðqar ! qar0 & ni ! ni þ 1 Þ

Pðqar ! qar0 j ni ! ni þ 1 Þ ¼ ð5Þ
Nðni ! ni þ 1 Þ
Where Nðqar ! qar0 & ni ! ni þ 1 Þ refers to the number of events that the APP
switches from qar ! qar0 by a user when the location changes from ni ! ni þ 1 . The next
location ni þ 1 of user can be obtained by the previous trajectory prediction, and
combine the current location ni and the current application status qar the number for
handover Nðqar ! qar0 & ni ! ni þ 1 Þ can get. Then the service type with the maximum
Pðqar ! qar0 jni ! ni þ 1 Þ will be chosen as the predicted service type.
In static state, according to the continuity of business, users’ service type is related
to the user’s current location, next time period and the probability of a service type user
will use in the next period of time. In this way, we can give the probability that the user
will use a certain service type for the next period of time:
442 Y. Qiu et al.
Ni;t;a
PAi;t;a ¼ PA ð6Þ
a¼1 Ni;t;a
Among the formula, Ni;t;a is the number of events that the service type a is used by
the user at the location ni and time t, and the A refers to the total number of user service
types.
2.3 Traffic Statistics Model

The traffic of a certain wireless communication cell is determined by the usage of the
users. All the traffic that users used in the cell needs to be counted to know the total
traffic. As predicted above, whether a user will enter a cell can be measured by a
probability value. Combined with the service type and traffic prediction, which APP is
used by each user and how much traffic consumed is also a probability value. So the
output of this module is also the probability of the total traffic volume of service APPs
at the next time.
First, define the threshold for a cell traffic is VTH , the probability of the total traffic is
greater than VTH will be calculated in this section. Define the traffic matrix V, in it the
matrix vij indicates the traffic of user i uses the service type app j, and i m; j n.
Matrix U is defined as a probability matrix for the user i to use a APP j, and
i m; j n.
0 1
v11 v1n
V ¼ @ A ð7Þ
vm1 vmn
0 1
u11 um1
U ¼ @ A ð8Þ
u1n umn
So, the traffic of user i is as follows:

0 1
V1
B V2 C X
AðjÞ
B C¼V U ¼ vij uij ð9Þ
@...A
j¼1
Vm
The matrix E describes the number of users in the current cell and their state,
E ¼ ðe1 ; e2 ; e3 ; . . .e2n Þ ð10Þ

0 1
p1
B p2 C
p¼B @A
C ð11Þ
pm
The probability matrix corresponding to the user state is defined as P, pi is the

probability of user i is in this cell. The total cell traffic S can be calculated as,
S ¼ ðV1 ; V2 ; . . .Vm Þ E ¼ ðS1 ; S2 ; . . .S2n Þ ð12Þ
In this case, the distribution probability of the total traffic volume of the cell is,
0 1 0 1
S1 p1
B S2 C B p2 C
B C B C
@ . . . A ! @ . . . A ¼ pðei Þ ð13Þ
S2 n p2 n
The probability that the total traffic volume is greater than VTH in a cell is,
X
2n
pðS [ VTH Þ ¼ pðei ÞpðSi [ VTH jei Þ ð14Þ
i¼1
3 Experiments Results
To verify the performance of our proposed scheme, we used a wireless trajectory

dataset collected from Nanning to perform prediction. The format of input raw data is
the detailed XDR. About 2300 mobile devices (users) active in 1600 wireless com-
munication cells in NanNing urban area is chosen as test objects. The size of dataset
collected is about 10G each day (including 265 million S1-U HyperText Transfer
Protocol (HTTP) data and 223 million S1-U Mobility Management Entity
(MME) data). History data of last 14 days is used to generate history training dataset.
Every 15 min real time data in testing day is used as test dataset. For privacy security,
data is encrypted to ensure that user’s information is not directly involved in the study.
To estimate the overall accuracy of our prediction, we select the mobile users by
their historical stay time. Similarly, the valid destinations are selected by historical stay
number and time threshold. The track prediction result for 1 day (2018-01-23) is shown
in Fig. 2. Blue line is the ratio of fully correct prediction. Red line is the ratio of next
cell correct prediction. For most of the time, the track prediction accuracy is above
85%. Track prediction accuracy is a little lower in rush hour than other time. The
mobile prediction is important to understand users’ distribution in the network.
S1-U HTTP data is used for service pattern prediction. To estimate the overall
accuracy of service type and traffic prediction, the proportion of correct service type
and traffic prediction for all chosen mobile users is evaluated. The prediction result for
one day (2018-01-23) is shown in Fig. 3. The overall service type and traffic prediction
accuracy is above 70%, and the accuracy is a little lower in rush hour.
444 Y. Qiu et al.
Ratio of Correct Track Prediction

100.00%
95.00%
90.00%
85.00%
80.00%
75.00%
00:30-00:45
11:00-11:15
00:00-00:15
01:00-01:15
01:30-01:45
02:00-02:15
03:00-03:15
04:00-04:15
02:30-02:45
03:30-03:45
04:30-04:45
05:00-05:15
05:30-05:45
06:00-06:15
06:30-06:45
07:30-07:45
08:00-08:15
08:30-08:45
14:00-14:15
15:00-15:15
15:30-15:45
23:30-23:45
07:00-07:15
09:00-09:15
09:30-09:45
10:00-10:15
10:30-10:45
11:30-11:45
12:00-12:15
12:30-12:45
13:00-13:15
13:30-13:45
14:30-14:45
16:00-16:15
16:30-16:45
17:00-17:15
19:00-19:15
17:30-17:45
18:00-18:15
18:30-18:45
19:30-19:45
20:00-20:15
20:30-20:45
21:00-21:15
21:30-21:45
22:00-22:15
22:30-22:45
23:00-23:15
Ratio of Fully Correct Prediction Ratio of Next Cell Correct Prediction
Fig. 2. Ratio of correct track prediction.
Ratio of Correct App Prediction

82.00%
80.00%
78.00%
76.00%
74.00%
72.00%
70.00%
68.00%
00:00-00:15
00:45-01:00
03:00-03:15
03:45-04:00
04:30-04:45
06:00-06:15
10:30-10:45
12:00-12:15
15:45-16:00
16:30-16:45
01:30-01:45
02:15-02:30
05:15-05:30
06:45-07:00
07:30-07:45
08:15-08:30
09:00-09:15
21:45-22:00
09:45-10:00
11:15-11:30
12:45-13:00
13:30-13:45
14:15-14:30
15:00-15:15
17:15-17:30
18:00-18:15
18:45-19:00
19:30-19:45
20:15-20:30
21:00-21:15
22:30-22:45
23:15-23:30
Correct App Prediction Ratio
Fig. 3. Ratio of correct service type and traffic prediction.
4 Conclusions
In this study, we have proposed a new algorithm model for user profile prediction. The
proposed scheme includes two sub-algorithms: Bayesian theory is used to model the
user mobility pattern and an innovative method is designed to make service pattern
prediction by combining the time and location features. The proposed strategy has low
computational complexity. Field test results show that the accuracy and timeliness of
the algorithm is of great significance to understand the temporal and spatial data traffic
distribution in the wireless network. Also, the user profile prediction can help operators
perceive the personalized service needs of mobile users so that more refined type of
operation and maintenance can be carried out.
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Realization of the National QPF Master
Blender: A Big Data Approach
Jian Tang(&), Kan Dai(&), Zhiping Zong, Yong Cao, Couhua Liu,
Song Gao, and Chao Yu
National Meteorological Center of CMA, Beijing 100081, China

tangjian@cma.gov.cn, daikan1998@163.com
Abstract. With the development of the weather forecast modernization, fore-

casters are facing challenges brought by the explosion of meteorological data,
the increasing demand of service front-end and the wide use of objective
forecasting technology. Tradition quantitative precipitation forecast (QPF) rou-
tine, which is mainly based on manually plotting of precipitation areas, can no
longer assist forecasters in demonstrating added value at a higher level. To
support the forecasters’ central role in the QPF routine, a subjective and
objective QPF blender has been designed and developed. This platform helps
forecasters to take control of the whole forecast process with the following five
steps: selection from massive forecast data, integration of multi-source QPF,
adjustment and correction of QPF, grid processing and service product pro-
duction. The intelligence of the platform is secured by the development of a
number of key supporting techniques. Based on the Meteorological Information
Comprehensive Analysis and Processing System Version 4 (MICAPS4), the
main functions of this QPF platform are realized. The “QPF Master Blender 1.0”
version was released and put into operational use in May 2017, which has
yielded good feedback and effectiveness. Based on different weather forecast
scenarios, five stages of work mode are provided, which are demonstrated by
corresponding examples and verifications. At the end of this paper, the future
development of the platform is prospected, including the development of
numerical model verification tools and the research on the fusion technologies of
multi-scale model information.
Keywords: Gridded quantitative precipitation forecast Big data

Intelligent forecast Weather forecast scenarios
1 Introduction
Precipitation is one of the most important weather forecast products and plays a key
role in many forecast-related scenarios [12, 16]. In response to the increasing demands,
national prediction centers all over the world have established quantitative precipitation
forecast (QPF) operation. [3, 8, 14, 20, 25] comprehensively reviewed the progress of
QPF technology, and pointed out that the continuous development of numerical pre-
diction models and the application of statistical post-processing techniques have led to
continuous improvement of QPF accuracy, but the added value which can be provided
by forecasters is increasingly limited. In recent years, with the development of
https://doi.org/10.1007/978-981-13-7123-3_52
Realization of the National QPF Master Blender 447
modernization of weather forecasting services, how to maintain the key position of

forecasters in QPF operational processes has been challenged in the following three
aspects.
Firstly, it is the challenge of massive forecast data (Table 1). The modern QPF
routine is based on numerical model forecasts. In order to improve the forecasting
ability of QPF, the global model of each country is strengthening data assimilation,
perfecting the model physical process and upgrading the spatial and temporal resolu-
tion, such as the deterministic integrated forecasting system of the European Centre for
Medium-Range Weather Forecasts (ECMWF) whose resolution has reached 9 km/137
layers [15], and the China’s self-developed GRAPES (Global/Regional Assimilation
and Prediction System [5, 26]), which has a horizontal resolution of 25 km. In addition,
the numerical weather prediction (NWP) cloud that is built in the lead of Shanghai
Meteorological Bureau, could provide real-time model forecasts, including GRAPES-
MESO, GRAPES-RAFS and GRAPES-3 km. Besides, North China, East China and
South China regional meteorological centers all have their own high-resolution models.
These models have provided important support for the refined weather service in
China. Furthermore, in order to provide uncertainty information for QPF and early
warnings of extreme weather, the ensemble prediction systems have also been devel-
oped rapidly, such as ECMWF [18] and Global ensemble forecasting system of
National Centers for Environmental Prediction (NCEP [22, 23]) of the US, China’s
T639 ensemble prediction system upgraded in 2014, and the THORPEX Interactive
Grand Global Ensemble (TIGGE [2]). In addition to the global ensemble models, the
convective-scale ensemble prediction system has become a hot topic in recent
researches [10, 11]. And the GRAPES-Meso regional ensemble system of China is also
continuously improved [26]. Therefore, with the rapid development of NWP, forecast-
related data has grown by orders of magnitude. At the session of Commission for Basic
systems (CBS) of World Meteorological Organization (WMO) in 2016, Ms. Jiao
Meiyan, the Deputy Director of China Meteorological Administration, pointed out that
the data processed by China meteorological services in 2015 reached 6.54 TB, and it is
expected that it will be rising to more than 60 TB by 2020. Thus it poses a huge
challenge for forecasters to get effective forecast information from massive data.
Table 1. List of data sources of operational numerical weather prediction models available at
CMA. See more detail in Tang et al. 2018.
Model type Model name Resolution
Global deterministic CMA GRAPES global model 0.25°/up to 240 h
ECMWF high-resolution model 0.125°/up to 240 h
NCEP global model 0.5°/up to 240 h
Global ensemble ECMWF global ensemble model 0.5°/up to 360 h
CMA T639 global ensemble model 0.5°/up to 360 h
NCEP global ensemble mode 1.0°/up to 384 h
Regional mesoscale CMA GRAPES-MESO model 0.1°/up to 84 h
CMA GRAPES-3 km model 3 km/up to 36 h
CMA-Shanghai-MESO 9 km model 9 km/up to 72 h
448 J. Tang et al.
Secondly, the demand for front-ends of QPF products is increasing fast. For
example, in hydrological applications, only the QPF with spatial/temporal resolution
smaller than 10 km/1 h could meet the requirements of flash flood forecasting [1, 24],
and the accuracy is critical [13]. In order to meet the demand, Weather Prediction
Center (WPC) of the US has established a complete product system, including the
cumulative QPF and probability QPF grid products in the future 3/6/24 h, with a spatial
resolution of 2.5 km. The Central Meteorological Observatory (also known as National
Meteorological of China, NMC) has also carried out QPF operation for many years,
and established a grid-based QPF forecast routine in 2015, using objective technologies
to convert the field forecasts into QPF products with a resolution of 5 km [4]. The
“Modern Meteorological Forecast Operation Development Plan (2016–2020)” released
in 2016 put forward a higher goal, that is requiring the release of higher resolution
gridded forecasts with spatial and temporal resolutions of 1–2.5 km and 1 h respec-
tively by 2020, and the forecast accuracy rate of heavy rain should maintain an
improvement rate of 10–20% compared with the international advanced models. Tra-
ditional QPF routine has been unable to support forecasters to achieve the above
objectives.
In addition, the widespread use of big data mining techniques in forecasting
operations challenges the value of traditional forecasters. For example, [17] evaluated
the WPC QPF and indicated that the forecaster did not show an advantage over the
objective QPF after the bias correction and downscaling procession. The same situation
exists in the QPF service of NMC. For example, the “ensemble optimal quantile”
method has approached or slightly exceeded the forecasters’ skill on the Threat Score
(TS) [3]. There are three main reasons why the objective forecasting techniques show
better scores than forecasters: (1) The traditional value of the forecaster is reflected in
the correction of the systematic deviation of the model precipitation level forecast, but
the objective QPF method can better replace this work. (2) In addition to the correction
of the magnitude of model output, the forecaster also adjusts the location and distri-
bution of the rain area through the analysis of the evolution of the weather systems,
which is very difficult, but the TS score is difficult to express or evaluate this part of
work. (3) When the heavy rain warning is issued, the forecaster would sacrifice false
alarming ratio (FAR) to secure public safeness.
Facing with the above challenges, forecasters need to find new added value based
on massive information and data mining technology to play a more important role in
NWPs. [3] pointed out that the forecasters need to be freed from the traditional manual
production, based on the ability to understand the model and the information mining
ability from well-designed artificial intelligence, and turn to be scientific decision-
makers. [7] also pointed out that there is an urgent need to develop convenient and
efficient forecast editing tools to help forecasters achieve added value. To this end, this
study proposes to design a subjective and objective QPF platform to help forecasters
cope with multiple challenges. The remainder of this paper is organized as follows.
Section 1 introduces the overall design of the platform. Section 2 explains the opera-
tional routine based on the platform design. Finally, in Sect. 3 we show the forecasting
ideas through case application and verification, and present a summary and future
development in Sect. 4.
2 Operational Routine Design
How to integrate massive model forecast data information to obtain accurate QPF
products is the primary problem that needs to be solved in the subjective and objective
integration of QPF platform. Using different dynamic frameworks and physical
parameterizations, model systems from different forecasting centers have assimilated
different observations, and therefore they have different advantages and disadvantages
for different regions, seasons, steps and weather types. In addition, different data can
provide complementary QPF forecast information. For example, global NWPs can
provide precipitation information for large-scale weather systems. Ensemble model
systems can provide forecast uncertainty and low probability of extreme weather
information. High resolution meso-scale model can provide characteristics such as the
shape and evolution of the convective-scale precipitation system.
At present, leading international weather centers are developing tools that can help
forecasters quickly mine massive forecast information. For example, in WPC of the
US, the QPF process [19] is done as follows. The forecasters need to verify and
evaluate the forecast results of more than 100 numerical models, and use the “WPC
MASTER BLENDER” software to rapidly select the model forecasts and give corre-
sponding weights according to verifications. Then the products with relatively coarse
resolution are generated. After that, automated post-processing techniques are used to
form high-resolution products which are then distributed to regional weather offices.
Next, local forecasters could perform grid editing with graphical forecast editors
(GFE), and finally return, merge and publish the QPF.
In the traditional QPF operation of NMC (see Fig. 1), forecasters usually make
QPF products bases on a single model QPF (usually ECMWF as the deterministic
model), with other models or objective forecast methods as a reference. Then they use
MICAPS to plot contours of different QPF levels and finally convert the contour-QPF
into grid products through automated post-processing operations. The disadvantages of
this QPF routine including the inability to use massive model data information effec-
tively, the waste of time manually drawing the contour-QPF, the out of control of QPF
post process, and the lack of proper tools to make specific products according to users’
requirements. To this end, according to the operational technology framework in short-
medium-range weather forecast proposed by [6, 7], the design of subjective and
objective QPF routine is divided into the following five steps. (1) Based on real-time
multi-model QPF, appropriate QPF source is selected based on different forecasting
steps, seasons and needs. (2) Based on history, recent forecast verification and forecast
uncertainty assessment, best guess QPF is obtained by using multi-model QPF inte-
gration technology. (3) Based on various weather conceptual models and understanding
of model bias, QPF adjustment techniques and contour correction techniques are used
to further correct the best guess field. (4) A high-resolution grid QPF is obtained by
using the gridded post-processing techniques to downscale the best guess QPF field.
(5) Finally, service products are produced according to various service needs, such as
heavy-rain warning, typhoon rainfall, process precipitation, station forecast, etc. The
process uses multiple intelligence techniques [21] to help forecasters control the entire
grid QPF process and rapidly implement the subjective corrections.
450 J. Tang et al.
Fig. 1. The comparison between traditional QPF processes and the subjective and objective
integrated QPF processes.
QPF Master Blender V1.0 was mounted on MICAPS4 [9]. MICAPS4 provides
efficient display and analysis for high-resolution model forecast, and adopts an open
framework, which provides very convenient expansion capability and a basis for QPF
platform construction. The platform adopts a layered architecture, consists of a multi-
data source integrated correction module and a grid point post-processing module. The
multi-data integration correction module includes five interactive Graphic User Inter-
faces (GUI): data source selection, multi-source QPF integration, QPF field adjustment,
contour generation and modification, and grid QPF post-processing.
3 Case Application and Operational Verification
3.1 Operational Verification

QPF Master Blender V1.0 was officially put into operational use on May 1st, 2017. The
quality of the high-resolution grid products output by QPF master blender will be
compared with the ECMWF and T639 models through TS score (May 1st to August
31st, 2017). The results show that blender’s TS is 0.204, which has an increase of 22%
and 32% compared to ECMWF (0.167) and T639 (0.154), respectively. The increase
also is the highest among the past three years. It should be pointed out that the
improvement rate of TS compared with raw model is also related to the climate
background and the training degree of forecasters, but it also shows the adaptability of
QPF master blender to the new operational routine. Forecasters can produce higher
resolution QPF products. In addition, the main role of blender is to provide an intel-
ligent forecasting tool.
3.2 User Recommendation Based on Different Forecast Scenarios

After two-year operational use in flood season of 2017 to 2018, according to the
forecasters’ intervention in the degree of precipitation prediction, the use of QPF
master blender by forecasters can be divided into five different levels of work mode
(see Fig. 2): fully automatic stage (L0), data-selecting stage (L1), weight-specifying
stage (L2), grid-editing stage (L3) and hand plotting stage (L4). Three different cases
are chosen to illustrate how forecasters can adjust their work stages with QPF master
blender in different scenarios in order to achieve the best added value. In the L0
scenario, the numerical model is stable and the consistency is high, and the precipi-
tation is relatively weak. Thus forecasters can fully believe the objective methods and
carry out the grid QPF generation based on the objective guidance forecast. In the L1
scenario, often an objective method or model exhibits obvious advantages. For weak or
medium rainfall processes, forecasters can select priority members from multi-source
forecast products based on experience and use them to make gridded products. In the
L2 scenario, forecasters need to select multiple forecast data sources, then give them
weights and extract effective forecast information based on verification and experience.
At this time, the model and objective method often show different abilities. The
magnitude and spatial distribution of QPF need to be synthesized. In the L3 scenario,
strong or extreme precipitation processes often occur. The integration results do not
conform to the forecasters’ conceptual weather model. The forecasters need to apply
the point and surface grid adjustment techniques to the whole field or regional
adjustment on the basis of multi-source integration. In the L4 scenario, the model
predictions are divergent and the integration results are unreasonable. Forecaster need
to re-adjust or draw the contours based on optimal guidance. From July 24th to 25th,
2018, the residual circulation of typhoon “Ampil” affected Northeast China, and
brought strong precipitation after combining with cold air. By evaluating the earlier
stage model and objective product performance, forecasters found that the optimal
percentile product and Shanghai-MESO model were stable, and the global model,
mesoscale model and objective method forecast were similar. Forecasters integrated the
operation by selecting credible model and objective products. After that, the forecast
can be completed with a small amount of operations. After inspection, it is found that
when the optimal percentile, Shanghai- MESO, GRAPES-MESO and ECMWF have a
weight ratio of 4:2.5:2.5:1, the highest TS score can be achieved by theoretical weight
integration. Forecasters have a TS score of 0.31 during this forecast and effectively
control the FAR. This is an example that forecasters only need to do a small amount of
interventions (L2).
From June 5th to 6th, 2018, during the heavy precipitation process in South China,
the recent model verification showed that NCEP-GFS performed outstandingly.
Afterwards, it was also found that it had a good skill of QPF in central and southern
Jiangxi and western Fujian. The TS score of ECMWF reached 0.20 and the optimal
percentile reached 0.33. However, the model forecasted heavy rainfall poorly in Hainan
and required forecasters to intervene. Therefore, after selecting the “optimal” model
combination, forecasters still need further intervention, especially the further correction
of the strong precipitation in northern Hainan. It was found that when the weight ratio
of NCEP-GFS, Shanghai-MESO, GERMAN, GRAPES-MESO was 5:2:2:1, the
452 J. Tang et al.
Fig. 2. Forecasters’ different work modes of QPF Master Blender under different forecast
scenarios.
theoretical weight integration maximum TS of 0.369 can be achieved, and the fore-
caster’s TS score reached 0.36. This is a L3 case.
From May 16th to 17th, 2018, there were scattered heavy precipitation cases in
Huanghuai region. It can be found that almost all global models have missed the
process, but the mesoscale models have some reflection on heavy rain. The real-time
verification found that the constancy of recent model is poor, and the global models and
the mesoscale models are quite different. Then, forecasters need to fully intervene. And
this could be a L4 stage case. Forecasters need to complete the operations by com-
pletely intervening the forecast through the understanding of the precipitation process.
4 Conclusions and Prospects
Facing with the challenges brought by the explosive growth of meteorological data, as
well as the increasing demand from front-ends and the wide application of objective
forecasting techniques, the traditional QPF operational routine can no longer embody
the core value of forecasters. To this end, QPF Master Blender V1.0 was designed and
implemented to help forecasters control the entire digitization QPF process from five
aspects: forecast big data selection, QPF integration, QPF adjustment and correction,
grid post-processing and service product production. Then the value of forecasters
could be redefined as “big data mining based on weather understanding”. QPF Master
Blender integrates several key technologies: the construction technology of multi-
model QPF dataset, including the design of standard data format and storage specifi-
cation, as well as the conversion technology of the data with different resolutions;
multi-model QPF weighting and probability matching technique; various adjustment
and correction techniques of QPF field, including whole-field frequency adjustment

and filter adjustment techniques, single-point and target rain area adjustment tech-
niques, and correction techniques of contour area; spatial downscaling and time
splitting techniques. Based on the MICAPS4, the main functions of QPF Master
Blender have been realized, and the version 1.0 has been released. In May 2017, “QPF
Master Blender 1.0” passed the operational test at NMC and became the main sup-
porting tool for the daily forecast operation, and initially showed good feedbacks and
results.
The future development of the platform mainly includes the following five aspects.
(1) The platform mainly provides intelligent forecasting and editing tools for fore-
casters. However, if we want to support forecasters to make correct subjective judg-
ments, further development is needed to help forecasters find, track and understand
model errors. For example, model verification tools can provide error statistics of
historical weather patterns, real-time model verification and uncertainty/stability
information of future models. (2) Integration based on weights cannot solve the fusion
of models with different scales. For example, if it is necessary to combine the large-
scale precipitation of the global model with the convective precipitation of the
mesoscale model, scale separation and synthesis techniques are needed. (3) For special
forecast scenarios such as winter precipitation phase, typhoon rainstorm, complex
terrain precipitation, etc., it is necessary to develop targeted data mining and integration
techniques to further improve the QPF forecasting capability. (4) Current QPF platform
can only provide the most likely forecast. In the future it is necessary to provide
corresponding probabilistic forecasts to transmit the uncertain information of forecasts,
which is beneficial to users in making scientific decisions. (5) Forecasters can be
supported to interpret the forecast results and to issue influence forecast through adding
the information of human geography, socio-economic and other information.
Acknowledgment. This paper was supported by the National Science and Technology Major
Project of the Ministry of Science and Technology of China under grant No. 2017YFC1502004
and the Key Project in the National Science & Technology Pillar Program of China under grant
No. 2015BAC03B01.
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Artificial Intelligence Research on Visibility
Forecast
Chao Xie and Xuekuan Ma(&)
National Meteorological Center, Beijing, China

sili_mxk@qq.com
Abstract. The meteorological data in 2000 to 2017 from the China observation
meteorological stations were collected for research. The multiple time scales
variation characteristics and relations between visibility and meteorological
elements were studied to summarize the weather conditions of low visibility
weathers. The selecting factors which related to visibility and its change were
input into an artificial neural network model for training. The long-term and
meticulous visibility forecast of observation stations in China were calculated
through the European Centre for Medium-Range Weather Forecasts (ECMWF)
data. The error and TS score detection showed that the model had better ref-
erence than the China Meteorological Administration Unified Atmospheric
Chemistry Environment model (CUACE) in the first half year of 2018.
Keywords: Low visibility Neural network Model release
1 Introduction
Along with the increase of aerosol emissions in various urban areas in China, low
visibility weather occurs frequently [1], which not only affects the normal operation of
highways and civil aviation, but also causes continuous heavy pollution incidents and
endangers public health and safety. Visibility changes have similar regularity and
periodicity on a larger time scale, which is mainly affected by climate, topography and
other factors, while the frequent fluctuations of visibility in the same time-space region
are caused by meteorological and environmental factors [2]. Precipitation [3], boundary
layer height, wind direction [4], wind speed [5], temperature [6], relative humidity [7],
pollutant concentration [8, 9] and other factors affect the atmospheric extinction
characteristics in different ways, and then change the visibility. The optical properties
of aerosols are determined by the chemical composition, the particle size, shape and
mixed state of the aerosol, and these properties are related to meteorological factors
[10]. In recent years, with the increasing scale of industrial production, the hygroscopic
growth of pollutants in aerosols was gradually responsible for the frequent occurrence
of long-term low visibility weather [11].
Visibility has strong nonlinear characteristics. The Neural Network prediction
method directly output the prediction data by inputting various types of related data
[12], and uses its better approximation ability for nonlinear data, and can better predict
the air quality of a specific city group or a larger area. Fully connected neural network
using back propagation algorithm is a mature artificial intelligence method. It can
https://doi.org/10.1007/978-981-13-7123-3_53
456 C. Xie and X. Ma
approximate any nonlinear function through the hidden layer and linear output layer by
using signal forward propagation and error back propagation [13]. However, fully
connected neural network is subject to more conditions in practical applications due to
its shortcomings in convergence, difficulty in training, easy to fall into local minimum,
and no feedback in one-way propagation [14].
2 Weather Characteristics in Low Visibility Weather
In order to ensure the physical significance of the input factors of the neural network
model, the correlation between the meteorological observation factors and visibility of
the national meteorological stations from 2000 to 2016 was analyzed. We analyzed
nineteen surface and near-surface meteorological observation factors such as pressure,
temperature, humidity, wind speed and wind direction and their daily changes by
person correlation analysis method. The result showed that the p values were all less
than 0.05 and was statistically significant.
The stable pressure field and the sparse pressure gradient are beneficial to the
formation of low visibility weather. When the pressure is low, the stable pressure field
will cover the boundary layer and enrich particulate matter and water vapor in the
boundary layer. In this way the possibility of low visibility weather significant increase.
The relationship between visibility and temperature change is more complicated. On
the one hand, when the pressure change is not obvious, the negative temperature
change is mainly caused by radiation cooling, which is conducive to the formation of
radiation fog, resulting in a reduction of visibility. On the other hand, when the pressure
change is a large positive value, the negative temperature change at this time is mainly
caused by the invasion of cold air, resulting in an increasing of visibility. When the
temperature in the boundary layer rises, the vertical exchange of the atmosphere is
strengthened, and the stability of the atmospheric stratification is reduced, which is
conducive to the dilution of the pollutants and the dissipation of the mist. Meanwhile,
the relative humidity in the air is lowered resulting in a significant increasing of
visibility. Relative humidity has a significant effect on visibility. Water vapor changes
visibility by changing the optical properties of aerosols in the boundary layer. On the
one hand, the extinction of water vapor itself will reduce visibility, on the other hand,
the moisture absorption of particulate matter in the aerosol increases, and the extinction
increases significantly, resulting in a reduction of visibility.
Wind has a dilution effect on pollutants and water vapor at the horizontal level. It is
difficult to appear fog and haze weather in gale weather. However, the blowing sand or
floating weather in Northwest China may occur with the increase of wind speed, which
significant reducing the visibility. Meanwhile, the topography and the urban underlying
surface affected the ground wind field. The effect of diffusion dilution cannot be fully
reflected. The wind direction also has an effect on visibility. The warm and humid air
current blown from the sea surface to the land area is rich in high water vapor, increasing
the possibility of low visibility weather. the bias from the north Although the northerly
wind is relatively dry, it is not conducive to low-visibility weather, but the polluted air
mass from the north may also increase the aerosol concentration in China and reduce
visibility. When the vertical wind shear (WS) near the formation is low, turbulent
Artificial Intelligence Research on Visibility Forecast 457
mixing almost does not exist. It’s easy to appear low visibility weather with the vertical
stratification in a stable state. In the opposite case, when the vertical WS in the near-
surface layer is large, the vertical layer is in an unstable state. The elements of the
boundary layer are evenly mixed and are not prone to low visibility weather. Mean-
while, short-term heavy rainfall, thunderstorm gale and hail weather, which reduces
visibility, are prone to occur in the case of high vertical wind shear, so the correlation
between wind shear and visibility is affected.
The inversion phenomenon in the boundary layer will hinder the vertical convec-
tion of the air meanwhile reduce the pollutant capacity of the boundary layer. In this
case the pollutants, the combined air and gas bubbles cannot be exchanged vertically
and gradually accumulate under the low environmental capacity result in a significantly
decreasing of visibility. When the humidity above 850 hPa is high, it indicates that the
unstable weather system is developing and then the cloud amount in the sky will
increase obviously or precipitation will occur. At this time, there will be no fog. But
when the surface humidity is close to saturation and the height above 850 hPa is
relatively dry, namely an “upper dry and lower wet” atmosphere structure, which is
more prone to foggy weather [15].
3 Construction of the Neural Network Visibility Forecasting

System
Quality control of the meteorological data in 2000–2017 in China was conducted to

remove missing and abnormal values. Input factors are selected after correlation
analysis. Linear or nonlinear parameterization of input factors is carried out to speed up
the convergence speed of the network and enhance the sensitivity of the neural network
to low visibility weather. The three-layer structure and the gradient descent search
algorithm were adopted. Based on the empirical formula, the neural network param-
eters are determined through repeated experiments to ensure reliability, stability and
versatility of the neural network. The overall input data is often divided into multiple
sets of data and modeled separately. However, this method destroys the integrity of the
original data set, especially the ability to fit low visibility weather with small data
samples. After repeated experiments, the reliability and stability of the prediction
model can be determined, and the “over-fitting” phenomenon of the neural network can
be prevented. The reasonable parameters of the final determined neural network are as
shown in the Table 1.
The number of hidden layer nodes is four layers. The determination of the number
of hidden layer nodes is directly related to the rationality of model construction and the
final forecasting effect. Increasing the number of hidden layer nodes may improve the
convergence accuracy of the network. However, the excessive number of hidden layer
nodes will reduce the ability of the network to identify samples with noise and lead to
“over-fitting” phenomenon. The variable learning rate and the momentum factor are
used to dynamically select the value according to the effect of the last solution in the
objective function to shorten the learning time. The ownership value was initialized and
then the initial value is randomly selected and adjusted in the operation.
Table 1. The parameters and their principles of ANN

Parameter Principle Result
The number of Balance of generalization ability and fit Four
hidden layer ability
nodes
Learning rate Learning rate a and momentum factor b Dynamic value
dynamically take values to shorten the
network learning time
Normalization Avoid the saturation region of the Input value is between 0.2 and
of sample data Sigmoid function Effectively to improve 0.8
training speed
Order of The network has invalid sample sets Random sort
sample data with continuous features
Eliminate Samples with too large fitting errors The rejection rate is less than
interference should be rejected, and excessive 5% of the total
samples rejection will result in poor
representativeness of the sample set
System Positive deviation for low-visibility Calculate the fitting deviation
deviation fitting results and negative bias for high between the partitions of
correction visibility historical data
After the stability experiment the neural network forecasting model was deter-
mined. Ground monitoring meteorological data such as temperature, pressure,
humidity, wind speed and the ECMWF high-altitude data such as humidity, wind speed
were input to the model so as to obtain the visibility forecast of 10 days with a 3 h
interval.
4 Results
After the establishment of the model, the forecast effect of the visibility of the national
meteorological stations from January 1, 2008 to June 30, 2008 was tested.
The daily average errors of forecast data and corresponding observation data were
compared. The Mean absolute error (MAE), Root mean square error (RMSE) and
System error (SE) were utilized to test the accuracy and generality of the forecasting
model. Meanwhile, the CUACE visibility forecast model of 3 days were introduced to
this test by the same method. The test results were shown in Table 2.
As shown in Table 2, the neural network model had a better performance than the
CUACE model in Absolute error test and Root mean square error test. The accuracy of
the neural network model was maintained at a high level during the 10-day forecast
process, and gradually weakened by the extension of the forecast time. This is due to
the model belongs to off-line model, the accuracy of ECMWF data itself decreases with
the extension of prediction time and the time series iteration caused by the prolongation
of forecast date in the process of neural network modeling leads to the decrease of
forecast precision. The neural network model also had a better performance than
Table 2. Error analysis of ANN visibility (outside the brackets) and CUACE forecast visibility
(outside the brackets) to monitoring data
Error024 h 048 h 072 h 096 h 120 h 144 h 168 h 192 h 216 h 240 h
MAE 3.90 4.03 4.07 4.13 4.18 4.25 4.34 4.52 4.52 4.73
(5.51) (5.55) (5.49)
RMSE 5.06 5.25 5.31 5.37 5.41 5.50 5.58 5.78 5.78 6.01
(6.86) (6.95) (6.93)
SE –1.41 –1.74 –1.76 –1.83 –1.86 –1.88 –1.89 –1.90 –1.97 –2.00
(2.94) (2.90) (3.08)
CUACE model in System error test. It is shown that the model maintains good stability
in multi-station and multi-time prediction. The visibility prediction of neural network is
less than the actual value, mainly due to the systematic error of ECMWF data.
In order to highlight the forecasting effect of the neural network model on the
difference visibility level, the average visibility of meteorological stations during the
period from January 1, 2018 to June 30, 2018 was classified according to less than
2 km, 2–5 km and 5–10 km, respectively. The daily average TS score of 1–10 days is
the correct number of predictions divided by the number of correct predictions, the
number of empty reports, and the number of false negatives. Meanwhile, the CUACE
visibility forecast model of 3 days were introduced to this test by the same method. The
test results were shown in the Table 3.
Table 3. Forecast TS score of ANN visibility (outside the brackets) and CUACE forecast
visibility (outside the brackets)
TS 024 h 048 h 072 h 096 h 120 h 144 h 168 h 192 h 216 h 240 h
score
<2 km 0.14 0.14 0.13 0.12 0.11 0.09 0.09 0.08 0.08 0.08
(0.03) (0.02) (0.01)
2–5 km 0.24 0.24 0.24 0.23 0.23 0.22 0.21 0.21 0.21 0.19
(0.10) (0.07) (0.08)
5– 0.22 0.22 0.22 0.22 0.22 0.22 0.21 0.21 0.21 0.20
10 km (0.11) (0.11) (0.13)
As shown in Table 3, TS scores (outside brackets) of each visibility measure level

in first half of 2018 predicted by the neural network are significantly higher than those
predicted by the CUACE model (inside brackets), indicating that the prediction effect
of the neural network is better than that predicted by the CUACE model. For visibility
less than 2 km, the TS score predicted by the neural network decreases from 0.14 to
0.08 with the extension of time. For visibility of 2–5 km, the TS score predicted by the
neural network decreases from 0.24 to 0.19 with the extension of time. For the visibility
of 5–10 km, the TS score predicted by the neural network decreases from 0.22 to 0.20
with the extension of time. It showed that the effect of the neural network on Visibility
Forecast of 2–10 km is better than that of the visibility forecast of less than 2 km,
mainly due to the insufficient training caused by fewer samples of low visibility
weather data. It also showed that with the extension of prediction time, the prediction
effect of visibility the neural network is gradually weakening.
5 Conclusions
Low visibility weather occurs frequently, causing the serious loss of life and property,
and it’s difficult to forecast. Based on the principle of meteorology, the meteorological
elements and vertical stratification elements were analyzed to reveal their relationship
with low visibility weather. The results showed that the stable pressure field, near-
surface relative humidity, “upper dry and below wet” structure contributed significantly
to low visibility weather. By means of selecting reasonable diagnostic factors, an
artificial neural network model was established with dynamic learning rate BP algo-
rithm to simulate the low visibility weather of China. Based on the balance between
generalization ability and prediction accuracy, the tests conducted repeatedly to
determine the parameters of the artificial neural network. And then, the ECMWF data
was used as the input data in the model and obtain a visibility forecast. The error and
TS score detection showed that the model had better reference than the CUACE model.
It provided guidance for improving visibility objective forecasting technology.
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Multi-model Ensemble Forecast
System for Surface-Layer PM2.5
Concentration in China
Tianhang Zhang, Hengde Zhang(&), Bihui Zhang, Xiaoqin Rao,

Linchang An, Mengyao Lv, and Ran Xu
Nation Meteorological Center of China Meteorological Administration,

sharp@mail.iap.ac.cn
Abstract. To enhance the forecast accuracy of PM2.5 concentration in China,

we developed a multi-model ensemble forecast system for next 72 h based on
CUACE, BREMPS, RAEMS, and an improved CMAQ model. For each site
and forecast time, mean ensemble, weighted ensemble, MLR ensemble, ANN
ensemble, and a final best ensemble based on real-time evaluation were estab-
lished. Compared with single models, mean and weighted ensembles only
slightly reduced the biases between forecasted and observed PM2.5 concentra-
tions in China during 2015–2016. But MLR and ANN ensembles largely
improved the forecast results in most sites of China with NMB values reduced
to ±5% and ±10%, respectively. Compared with MLR and ANN ensembles,
best ensemble showed stronger comprehensive forecast capability in major
pollution regions, with similar NMB and RMSE values but higher R values of
0.6–0.9. In the heavy haze process occurred in south of Jing-Jin-Ji region from
February 25 to March 4, 2018, the NMB and R values between best ensemble
forecasted and observed PM2.5 concentrations in 3 representative cities varied
from –4% to –26% and from 0.49 to 0.77, respectively. These indicate that as
the final output of multi-model ensemble system, best ensemble performs better
than single models and can provide a strong objective reference to forecaster.
Keywords: Multi-model ensemble Forecast PM2.5 concentrations
1 Introduction
Particulate matter with diameter of 2.5 µm or less (PM2.5) is the most important
component of haze that frequently occurs in China in recent years. High PM2.5 con-
centration can reduce the atmospheric visibility [1], affect human health [2], and also
influence regional and global climate [3]. Therefore, more accurate forecast of surface-
layer PM2.5 concentrations can enhance the early warning ability of haze process and
reduce its negative impact on human lives.
Numerical prediction of PM2.5 concentrations is widely implemented in many
countries’ national operational air quality forecast systems [4, 5]. Recently years, China
Meteorological Administration (CMA) has developed some numerical PM2.5 forecast
models for specific regions of China, such as China Meteorological Administration

https://doi.org/10.1007/978-981-13-7123-3_54
Multi-model Ensemble Forecast System 463
Unified Atmospheric Chemistry Environment for aerosols (CUACE) model for entire
China, Beijing Regional Environmental Meteorology Prediction System (BREMPS)
for northern China [6], Regional Atmospheric Environmental Modeling System
(RAEMS) for eastern China [7], and an air quality forecast system based on Com-
munity Multiscale Air Quality Model (CMAQ) for southern China [8]. However, there
are large biases between forecasted and observed PM2.5 concentrations in these
numerical models due to the uncertainties in initial conditions, meteorological fields,
emission inventories, and physical and chemical processes in aerosols’ life time.
Multi-model ensemble method is an effective way to improve forecast accuracy,
and some previous studies have applied it to forecast PM2.5 concentration. Huang
improved the air quality forecast system for Beijing by multiple linear regression
ensemble based on Nested Air Quality Prediction Modeling System (NAQPMS),
CMAQ, and Comprehensive Air Quality Modeling System with Extensions (CAMx)
[9]. Results showed that after ensemble, the biases and RMSE between forecasted and
observed daily PM10 concentrations over 28 sites of Beijing during January−April
2010 were reduced by 5.8 µg m−3 and 32−43%, respectively. However, most previous
multi-model ensemble studies in China focused on specific regions, a study for entire
China is needed. Furthermore, few studies used combination of several multi-model
ensemble methods to forecast PM2.5 concentration, which may reduce the uncertainty
of single multi-model ensemble method [10]. Different with traditional statistical
methods, Artificial Neural Network (ANN) has strong ability in dealing with non-linear
questions and is widely used in PM2.5 concentration forecast. However, most input data
of ANN in previous studies were from single numerical prediction model, few studies
used ANN in multi-model ensemble forecast. Only Zhang used Back Propagation ANN
(BP-ANN) ensemble to forecast the PM2.5 concentrations in Beijing during Olympic
Games based on NAQPMS, CAMx and CMAQ models [11]. The bias between
observed and forecasted daily PM2.5 concentrations was lower than that of mean
ensemble, with value of 22.5 µg m−3.
Therefore, we developed a multi-model ensemble system to enhance the forecast
accuracy of PM2.5 concentrations in China, which is operated and maintained by
Environmental Meteorological Center of CMA. Sections 2 and 3 describe the data and
ensemble methods, respectively. Sections 4 and 5 evaluate the forecast results during
2015−2016 and a heavy haze process, respectively.
2 Data Description
Observed hourly surface-layer PM2.5 concentrations of 1492 sites in China were from
China National Environmental Monitoring Centre. Forecasted hourly surface-layer
PM2.5 concentrations for next 72 h were from four air quality forecast models which
were CUACE, BREMPS, RAEMS, and a CMAQ model with localized improvements
operated by National Meteorological Center, Beijing Meteorological Bureau, Shanghai
Meteorological Bureau, and Guangdong Meteorological Bureau, respectively. And in
this paper, the four models were abbreviated as CUACE, NNC, ENC, and SNC,
respectively, according to their forecast region. To fit the observations, forecast data
were interpolated to 1492 sites. The study period was from January 1, 2015 to
December 31, 2016.
464 T. Zhang et al.
3 Ensemble Methods
3.1 Mean Ensemble
In mean ensemble, all models were thought to have same forecast accuracy. For each
site and forecast time, the mean ensemble was calculated as
1 Xn
Fmean ¼ F
i¼1 i
ð1Þ
n
in which n was the number of models with value of 4 in this paper, Fmean was
forecasted PM2.5 concentration by mean ensemble, and i and Fi were the model i and
its forecast value, respectively.
3.2 Weighted Ensemble

Different with mean ensemble, after considering the forecast biases in previous 50 days
of each model, weighted ensemble was calculated as
Xn Xn 1
jAvgi Avgobs j
Fwighted ¼ W Fi ¼ Pn Fi ð2Þ
i¼1 i i¼1 1
i¼1 jAvgi Avgobs j
in which Fweighted was forecasted PM2.5 concentration by weighted ensemble, and Wi

was the weight coefficient. Avgobs and Avgi were the average observed and forecasted
PM2.5 concentration of model i in previous 50 days.
3.3 MLR Ensemble

In MLR ensemble, observed and forecasted PM2.5 concentrations of 4 models were set as
dependent and independent variables, respectively. Data in previous 50 days were used in
training process. For each site and forecast time, MLR ensemble was calculated as
Xn
FMLR ¼ i¼1
ai Fi þ a0 ð3Þ
in which FMLR was forecasted PM2.5 concentration by MLR ensemble. ai and a0 were
the weight coefficients solved by training stage.
3.4 ANN Ensemble

Back propagation ANN (BPANN) was used in our work. BPANN contained one input
layer, one or more hidden layer, and one output layer. Each layer could have multiple
neurons. The training process of BPANN was the forward propagation of information
and back propagation of error. Network’s input information was propagated forward to
hidden and output layer by weight coefficients and transfer function. If the error
between forecasted and expected values was larger than preset value, it would be
propagated forward along the network and adjust the weight coefficient and threshold.
The learning rule of network was defined as the minimum mean square error criterion.
Network would repeat the processes mentioned above until the error between fore-
casted and expected values smaller than preset value or maximum training times.
According to sensitivity experiments, we found out a reasonable setting of BPANN
parameters for our data, which were trainbr training function, 10 hidden layers, and a
sample length of 50 days [12].
3.5 Best Ensemble

As the purpose of our ensemble system was to provide only one objective reference to
forecaster. Based on real-time evaluations of each single model and ensemble methods
in previous 50 days, we obtained a best ensemble for each site and forecast time.
The evaluation indexes we used were the absolute value of normalized mean biases
(|NMB|), RMSE, and R which were calculated as:
Pn
i¼1 ðFi Obsi Þ

jNMBj ¼ Pn 100% ð7Þ
Obs i¼1 i
rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
1 Xn
RMSE ¼ ðFi Obsi Þ2 ð8Þ
n i¼1
Pn

i¼1 ðFi F Þ Obsi Obs
R ¼ qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
Pn 2 ð9Þ
2
i¼1 ðFi F Þ Obsi Obs
in which n was the number of days used in evaluation and equaled to 50 in this paper.
F was the forecasted PM2.5 concentration of a specific single model or ensemble
method. Obs was the observed PM2.5 concentration.
For each of the three evaluation indexes, all single models (CUACE, NNC, ENC,
and SNC) and ensemble methods (mean, weighted, MRL, and ANN) were ranked
according to the value of index, with points from 0 to 7 corresponding to evaluation
result from worst to the best, respectively. For example, for a specific single model or
ensemble method, the smaller |NMB| value meant smaller forecast biases and higher
evaluation points. Therefore, the maximum and minimum |NMB| value of all models
and ensemble methods were given 0 and 7 points, respectively. And the total score was
the sum of the points of all three evaluation indexes. For each site, the single model or
ensemble method with highest total score was considered to be the best ensemble for
next 72 h. For a site, the points were calculated as follows

PointjNMBj;i ¼ Sort jNMBj18 i ð10Þ
PointRMSE;i ¼ SortðRMSE18 Þi ð11Þ
PointR;i ¼ SortðR18 Þi ð12Þ

466 T. Zhang et al.
in which i was a specific single model and ensemble method. Pointi was the point of i.
Sort was sorting function. Sorti was the rank of i for a certain evaluation index. The
forecasted PM2.5 concentration by best ensemble was calculated as follows

FBest ¼ Max Sort PointjNMBj;18 þ PointRMSE;18 þ PointR;18 ð13Þ
in which FBest was forecasted PM2.5 concentration by best ensemble. Max was max-
imum function.
4 Evaluation During 2015–2016
Figure 1 presents the statistical variables of observed and forecasted PM2.5 concentra-
tions by all single models and ensemble methods during 2015–2016, including mean
value and NMB, RMSE, and R values between them. All single models and ensemble
methods could forecast high PM2.5 concentrations in China which located in Jing-Jin-Ji,
Yangtze river delta and Sichuan basin regions. However, CUACE model overestimated
concentrations in central China and Sichuan basin with NMB values of 20–80%, and
underestimated concentrations in southern and western China with NMB varied from –
80% to –5%. ENC and NNC model underestimated concentrations in northern China with
NMB varied from –40% to –10%. SNC model underestimated concentrations in southern
China with NMB values from –20% to –5%, and largely overestimated concentrations in
Sichuan basin, central China, and Yangtze river delta region with NMB values larger than
40% in most sites.
Compared with CUACE and SNC models, mean ensemble reduced the magnitude
of overestimation in central China but still with high NMB values varied from –20% to
40%. And the improvements in western and northeastern China were limited. This
indicate that mean ensemble cannot effectively improve the forecast results, and its
forecast ability is highly dependent on those of single models. After taking the biases
between single models and observations as weight coefficients, weighted ensemble
slightly reduced the overestimation of mean ensemble in central China and Yangtze
river delta region in which NMB values were in the range of ±20%. In other regions of
China, the forecast results of weighted ensemble were similar to those of mean
ensemble. And weighted ensemble presented lower R values in northern China.
Compared with mean and weighted ensemble, forecasted PM2.5 concentrations by
MLR and ANN ensembles were closer to observations, especially in western and
northeastern China. In most sites of China, the NMB values between observations and
MLR and ANN ensembles were in the range of ±5% and ±10%, respectively. But
there were more sites with R values in the range of 0.6-0.8 in northern China in ANN
ensemble compared with MLR ensemble. MLR and ANN ensembles has similar
RMSE values of 20–70, 20–40, and 10–30 lg m−3 in northern, central, and southern
China, respectively, which were smaller than those of single models, mean and
weighted ensembles. On the basis of real-time evaluations of all single models
and ensemble methods, PM2.5 concentrations forecasted by best ensemble was higher
and closer to observations in northern China compared with MLR and ANN
ensembles. The NMB values between observations and best ensembles were in the
range of ±5% in most regions of China. The RMSE values were similar to those of
MLR and ANN ensembles. Best ensemble presented strong positive correlation with
observations, with more sites in China had R values higher than 0.6 compared with any
single model and other ensemble method. This suggests that best ensemble combined
advantages of all single models and ensemble methods in different sites, and presented
similar average PM2.5 concentrations but better trend compared with MLR and ANN
ensembles.
Fig. 1. Observed and forecasted mean PM2.5 concentrations (lg m−3) by single models
(CUACE, ENC, NNC, and SNC) and ensemble methods (mean, weighted, MLR, ANN, and
best) during 2015–2016 and the NMB, RMSE, R values between them.
468 T. Zhang et al.
5 Case Evaluation
From February 25 to March 4, 2018, a heavy haze process occurred in the south of
Jing-Jin-Ji region, with maximum observed PM2.5 concentrations of 251, 323, and
311 lg m−3 in Beijing, Shijiazhuang, and Zhengzhou, respectively. Figure 2 presents
the time series of observed and forecasted PM2.5 concentrations by best ensemble. Best
ensemble could forecast the bimodal distribution of observed PM2.5 concentrations.
A clean and cold air swept across Jing-Jin-Ji region from north to south in the middle of
this process, leading to the transmission of pollutants from north to south. The PM2.5
concentrations rapidly decreased to good level, but the time when concentrations began
to decrease in southern site was later than that of the northern site. With the extension
of forecast time, biases between forecasted and observed PM2.5 concentrations became
larger. From 24 to 72 h’ forecast, the NMB values decreased from –22% to –25%,
from –4% to –26%, and from –12% to –15% for Beijing, Shijiazhuang, and
Zhengzhou, respectively. And R values also decreased with the extension of forecast
time, but they maintained at a high level with values in the range of 0.49–0.77. The
results above illustrate that best ensemble has the ability to forecast the magnitude and
trend of PM2.5 concentrations in heavy pollution process.
Fcst_24 Fcst_48 Fcst_72 Observation

350 Beijing R_24=0.72 R_48=0.68 R_72=0.64
300 NMB_24= NMB_48= NMB_72=
250
200
150
100
50
0
PM2.5 concentrations (µg m-3 )
Shijiazhuang R_24=0.77 R_48=0.66 R_72=0.49

350 NMB_24= NMB_48= NMB_72=
300
250
200
150
100
50
0
Zhengzhou R_24=0.73 R_48=0.64 R_72=0.50
350 NMB_24= NMB_48= NMB_72=
300
250
200
150
100
50
0
20 08 20 08 20 08 20 08 20 08 20 08 20 08 20
02/25 02/26 02/27 02/28 03/01 03/02 03/03 03/04
Date
Fig. 2. Time series of observed and forecasted PM2.5 concentrations by best ensemble in
different forecast time from February 25 to March 4, 2018 in Beijing, Shijiazhuang, and
Zhengzhou.
6 Conclusion
To enhance the forecast accuracy of PM2.5 concentrations in China, we developed a

multi-model ensemble PM2.5 concentration forecast system based on 4 operational
models. According to the evaluation results during 2015–2016, mean and weighted
ensembles could only slightly reduce the biases between forecasted and observed PM2.5
concentrations compared with single models. But MLR and ANN ensembles’ results
were closer to observations, especially in western and northeastern China, with NMB
values of ±5% and ±10% in most sites of China, respectively. Best ensemble showed
stronger comprehensive forecast capability with similar NMB and RMSE values but
higher R values compared with MLR and ANN ensembles.
In the heavy haze process occurred in south of Jing-Jin-Ji region from February 25
to March 4, 2018, the NMB and R values between best ensemble forecasted and
observed PM2.5 concentrations in 3 representative cities varied from –4% to –26% and
from 0.49 to 0.77, respectively. These indicate that as the final output of multi-model
ensemble system, best ensemble performs better than single models and can provide a
strong objective reference to forecaster.
Acknowledgments. This work is supported by “National Key Research Program of China”

(Grant No. 2016YFC0203301), “Research Program of Key Technologies in Meteorological
Forecasting Business of China Meteorological Administration” (Grant No. YBGJXM2018-7A),
and “Youth Fund of National Meteorological Centre” (Grant No. Q201808).
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Research on Natural Language Processing
and Aspose Technology in the Automatic
Generation of Ocean Weather Public Report
Xinping Bai(&), Zhongliang Lv, and Hui Wang
National Meteorological Center, Zhongguancun South Street 46, Beijing, China

colins03@sina.com
Abstract. Combining with the requirements of the production of the ocean

weather public reports, based on the analysis of a large number of historical
documents issued daily by National Meteorological Center (NMC), it proposes
an automatic generation method of ocean weather public reports by using
Natural Language Processing technology and Aspose technology. Furthermore,
it focuses on three key issues for further discussion, such as historical text
content analysis and feature extraction, text description rules and their natural
language processing, report template customization and automatic generation of
report document from the template by Aspose technology. Meanwhile, it pro-
poses the implementation in detail for these issues. Compared with the content
between forecasters’ manuscript and the computer report document, the results
show that the automatically generated forecast text is correct in content,
semantics and syntax, smooth in sentences, and the text style conforms to the
habits of forecasters. The automatically generated report document effectively
avoids the common errors of weather elements and time interval selection,
illustration sorting and text style in the process of manually editing documents.
It can effectively improve the efficiency of forecasters.
Keywords: Natural language processing Text auto-generation

Aspose technology Template customization
1 Introduction
Ocean meteorological service requires timeliness, precision and diversity. There are
many kinds of public report service products, involving a variety of meteorological
elements and content. It also needs a lot of analysis and production time for forecasters
to meet the needs of public services. Taking the ocean weather public report as an
example, issued three times a day, it mainly focuses on the forecast and observation
description of the ocean gale and ocean fog, including the wind force, wind direction,
fog level, visibility and so on. The forecast text also needs its corresponding forecast
graphics. On the one hand, text descriptions not only need to transform various
meteorological elements and their observation or forecast values, but also need to
merge the sea areas with similar wind or fog phenomena, which can highlight the focus
and regularity of the report. On the other hand, forecasters usually revise the contents of
the report on the basis of the previous report, and make changes to various factors such

https://doi.org/10.1007/978-981-13-7123-3_55
472 X. Bai et al.
as reporting time, forecasting time and observing time. Because of the persistence of
weather phenomena, some contents of the previous report may be reused. So, the
forecaster will just make necessary changes according to the new changes. Therefore,
as far as the process of producing the ocean weather public report is concerned, the
quality of the report is highly demanded. It is necessary not only to extract and interpret
various meteorological elements efficiently and accurately, but also to analyze and
refine the characteristics and the merger rules of the sea areas based on meteorological
elements, and to express them in natural language, supplemented by graphics. Finally,
a meteorological service product that is easily understood and accepted by the public
comes into being. At the same time, there are some heavy and simple repetitive labor.
Abroad research began in the 1970s on the automatic generation method of weather
forecast text, it has gone through the earliest word substitution method (Computer
Worded Forecasting, CWF) and the natural language processing technology (NLP) in
the early 1990s. Some text generation systems for specific weather forecasting fields
have also been developed and applied. Domestic research is relatively late, mainly
focusing on the simple conversion from data codes to their corresponding text
descriptions. In 2000, Shanghai Jiao Tong University launched a preliminary study on
multi-language weather forecast text automatic generation system (MLWFA) based on
natural language processing technology [1–3]. About the automatic generation of office
documents, including data, text, graphics, and so on, there are COM components which
refer to the Microsoft Office to generate and control the operation of office documents
and document generation technology based on XML technology, but the implemen-
tation is too difficult. Aspose technology using a series of APIs for document
manipulation and management in the application program can achieve the creation and
editing functions of Microsoft Office Word documents, and then complete the auto-
matic generation of the report document [4, 5]. Therefore, combined with the
requirements of producing the ocean weather public reports, this paper analyzes a large
number of historical reports published daily by National Meteorological Center of
China, and proposes an automatic generation method of ocean weather public reports
by using Natural Language Processing technology and Aspose technology.
2 Principle
The computer automatic generation method of ocean weather public reports is to solve
the problem of generating the report document based on the ocean weather data. This
paper proposes the following basic ideas: Firstly, read the ocean weather forecast data,
and match the codes or values of various meteorological elements with the code of the
sea area one by one. Then, select the meteorological elements according to the forecast
focus, and Merge eligible sea areas and their associated meteorological elements into
different sets. Secondly, these meteorological elements in each set are filtered and
merged after their corresponding sea areas according to certain rules, such as the wind
force, the wind direction, the increasing and decreasing trend of wind force. Then,
natural language generation technology is applied to reasonably organize the meteo-
rological Information such as the forecast period, the corresponding sea area, the wind
force, the wind direction, the wind trend, and etc. Furthermore, microplanner, sentence
Research on Natural Language Processing and Aspose Technology 473
optimization and post-processing are used to form the text paragraph in natural lan-
guage expression. Finally, Aspose document management technology is used to
automatically generate the report document based on templates and historical docu-
ments, accompanied with automatic reference and update of related content and
standardization of file formats. The basic process is shown in Fig. 1:
Fig. 1. Basic flowchart
3 Key Technology
3.1 Text Content Analysis and Feature Extraction
Text analysis and feature extraction are to analyze the content and structure features of
a certain type of text, and provide extraction rules for the automatically generated text.
For the text of the ocean weather public report, it is generally necessary to perform
feature analysis and extraction on time variables, regional variables, meteorological
element variables, and short sentences and paragraphs involved.
The statistical analysis of more than 600 historical ocean weather public reports
written by forecasters, focusing on those expressions with the natural language, gives
the following results. Firstly, meteorological element variables include weather terms
describing the wind or gust, fog, and visibility at sea and their corresponding intensity
(magnitude), for example, wind forces of 7, 8–9, 4–6 level, wind directions in the
north, in the southeast, from the north to the northwest, fog levels includes “light fog”,
“fog”, “dense fog”, visibility levels include “visibility less than 500 m”, “visibility less
than 1 km”, “visibility less than 10 km”. Secondly, regional variables include 18 areas
of China’s inshore sea, which forecasters usually describe jointly with geographical
names that represent geographical locations such as the Bohai Sea, Taiwan Strait, and
the terms that represent the azimuth and area ratio, such as the Northeastern part of sea,
the Southeastern part of sea, the Central part of sea, and the majority of sea. The short
sentence structure feature refers to the general sentence expression form describing the
above-mentioned variables involved in meteorological elements. The multiple short
474 X. Bai et al.
sentence structures are extracted and merged into a sentence template. Figure 2 shows a
simple example of a sentence template. The brackets (【】) and information in them
represent a variable which can be time, the location, wind force, wind direction, fog
level, visibility distance, illustration number, etc.
Fig. 2. The forecast text template
3.2 Text Description Rules and Natural Language Processing

The rule base mainly includes the description rules of sea areas, the description rule of
wind force, the description order of meteorological elements, the merger rule of areas,
the fuzzy describing rule of areas. These rules not only need to meet the grading
standards of meteorological elements, but also need to consider the language expres-
sion habits that forecasters have formed over the years. The extraction and application
of these rules directly determine whether the automatically generated texts conform to
natural language expression. The establishment and the continuous addition of these
rules are the core of the automatic generation of the report, which determines the
correctness and readability of automatically generated texts and whether it can effec-
tively reduce the workload of forecasters.
The Natural Language Processing (NLP) method can select words from the
meaning to be expressed, generate sentences that conform to grammar and logic, have
smooth contents and conform to people’s understanding. It usually adopts a pipelined
computer model including Document Planner, MicroPlanner, and Surface Realize.
Document Planner mainly determines the text content. MicroPlanner mainly makes the
text more fluent and natural by means of ellipsis, referencing, merging, etc. Surface
Realize then generates the final text [1]. For the above three aspects of natural language
processing of the ocean weather text, the following rules are mainly followed:
The Description Rules of Sea Areas. When multiple areas with similar ocean weather
phenomena are merged, they are mainly described in an order from north to south and
from west to east, which is as followed: the Bohai Sea, Bohai Strait, the Northern part of
the Yellow Sea, the Central part of the Yellow Sea, the Southern part of the Yellow Sea,
the Northern part of the East China Sea, the Southern part of the East China Sea, Taiwan
Strait, Sea east of Taiwan, Bashi Channel, Beibu Gulf, Qiongzhou Strait, the North-
western part of the South China Sea, the Northeastern part of the South China Sea, the
West Central South China Sea, the East Central South China Sea, the Southwestern part
of the South China Sea, the Southeastern part of the South China Sea.
The Description Rule of Wind Force. The ocean weather texts are prioritized
according to the level of wind force. Areas with strong gust (usually referred to 7–8
level and above) are first classified, and areas with the same wind force and similar
wind direction are grouped together. In principle, 4–5 level wind and below are not
required to be written in the report, but if all winds are 4–5 level and below in summer,
4–5 level and its areas are still written. The gust level is always one level than the
average wind, for example, if the wind is 6–7 level, the gust is 8 level.
The Description Order of Meteorological Elements. The general sequence is wind
force, wind direction, fog, visibility.
The Merger Rule of Areas. Areas with the same wind increase and the same wind
decrease trend, the same or adjacent wind direction (no more than 45° deflection), or
the same fog level, can be combined to describe, so that the text description is more
compact and the overall weather change trend is more clear.
The Fuzzy Description Rule of Areas. The final output text needs to be merged and
other subsequent optimization processing, mainly involving the language consolidation
rules of adjacent areas. By analyzing massive historical texts, words like the majority of
sea and inshore sea are introduced to describe multiple adjacent areas to make the text
expression more compact. For example, when three areas of Yellow Sea exist at the
same time, they will be summarized as the majority of the Yellow Sea. The north-
western and northeastern part of the South China Sea will be summarized as the
northern part of the South China Sea. Regarding nine areas from Bashi Channel to the
Southern part of the South China Sea, if more than 7 areas exist, they can be sum-
marized as the southern China Sea. If involved areas are more than 70%, they can be
summarized as China’s inshore seas.
3.3 Template Customization and the Automatic Generation of Report

Document from Template by Aspose Technology
Aiming at the characteristics of the ocean weather public report with similar structure,
similar content, fixed position and consistent layout style, a method using Aspose
technology to automatically generate report documents based on custom templates is
proposed. Firstly, through statistics of historical documents, a template document is
created, in which the area with the same content, the same style and the same position
is defined as a constant field, while the area where the content changes is defined as a
variable field. Furthermore, all common format is customized. Next, call the template
document with the Aspose. Words component, and fill in the variable field with the
actual data, and finally export the target report document.
Aspose technology is a component technology developed by Aspose mainly for
document operation. Its core product is Aspose component, which provides a complete
application program interface (API) for office document operation and management.
The Aspose. Words is a class library that can create, edit, render, and print Microsoft
Office Word documents in the application program without relying on Microsoft Word
[4]. It can directly perform the document processing tasks.
476 X. Bai et al.
The ocean weather public report is a Microsoft Word document. Figure 3 shows a
custom template word document. The brackets (【】) and information in it represent
the variable fields. The other parts are constant fields. The data in constant and variable
fields can be either texts or images. Positions of variables can be determined by
“bookmark” or defining variables and can be initialized. Next, methods based on
Aspose. Words, such as Document, DocumentBuilder, Bookmark, InsertImage can be
used to search, locate, fill and modify the text, image and other elements in the variable
field and modify the format. Finally, a new report Word document by Save method is
output.
Fig. 3. A custom report template
4 Application
Based on the above method automatically generate the public report. Firstly, input data
mainly includes the ocean weather data for the next 1–3 days issued three times a day
by NMC and historical documents. Secondly, establish the paragraph template and
customize the document template by using natural language processing technology and
word frequency statistics technology. Finally, Aspose. Words dynamic link library is
called in the application program, developed in C# language, to generate the final
document of the ocean weather public report. The result of automatically generated text
and manually written text is shown in Fig. 4. The automatically generated report
document is shown in Fig. 5. It can be seen that variable fields in the custom template
have been filled with valid data and the font, paragraph, and the layout of the document
are consistent with the custom template.
Fig. 4. Distinction between automatically generated and manually generated text
Fig. 5. An automatically generated report document

478 X. Bai et al.
5 Conclusion
This paper focuses on main issues of the automatic generation of the ocean weather
public report, including making texts closer to forecaster’s intention, ensuring the
correctness of text description in terms of grammar and semantics, and ensuring the
efficiency and correctness of the report document. The natural language processing
technology and Aspose technology are used to explore the automatic generation
method of the report document. The results are shown as following:
Automatically generated text content is correct, which is consistent with the orig-
inal data without missing important meteorological elements and any sea area. It also
coincides well with manually written texts by forecasters, which is convenient for them
to just make some small amount of modification on this basis and output the final
release document more quickly.
The automatically generated text is fluent and correct in semantics and grammar,
and the text style conforms to forecasters’ writing habits.
The automatically generated document guarantees the correctness, consistency and
standardization which effectively avoids common errors of weather elements and time
interval selection, illustration sorting, and text styles that occur during manual editing
of documents.
Forecasters can reduce much complicated manual labor and improve the efficiency
of forecasting services.
This method has strong practicability.
References
1. Wu, H., Lv, Z., Zhang, H., et al.: Text generation on weather falling area description. Comput.
Eng. Appl. 50(13), 247–251 (2014)
2. Zhang, J., Tan, X.: A method for automatically generating meteorological text products.
Meteorol. Sci. Technol. 32, 72–93 (2004)
3. Yao, T., Huang, X., Zhang, D., et al.: The research on the model for Chinese text generation
of weather forecast. J. Jiangxi Normal Univ. 22, 102–111 (1998)
4. Zhou, Q., Zhu, X., Hu, X.: Document generation method based on Aspose technology and
custom template. Comput. Syst. Appl. 24(6), 235–238 (2015)
5. Wang, X., Qing, G., Zhang, M.: Application of Aspose. Words Public Meteorol. Serv.
Comput. Program. Skills Maintenance 18, 43–45 (2015)
4G Video Service Stalling Perception
Evaluation and Optimization
Based on Big Data
Jinsong Yin(&), Heng Wei, and Hui Zhu
Chong Qing Branch of China Unicom, Chongqing, China

{yinjs9,weiheng1,huizhu}@chinaunicom.cn
Abstract. This paper proposes a 4G mobile video service perception evaluation

model based on the network operation and user service big data analysis. The
key quality indicators (KQIs) are selected and comprehensively analyzed by
correlation coefficient method, interval score method, and interval increment
method. Focus on the application of video service stalling rate optimization in
4G mobile networks to quickly identify video service poor-quality cells and
service content servers on mobile networks. This greatly improves user expe-
rience and improves optimization efficiency.
Keywords: Big data Video service stalling rate

Video download rate/Video bitrate
1 Introduction
In recent years, mobile Internet services have developed rapidly. The proportion of
netizens using mobile phones reaches 98.3%, mainly for 4G networks [1]. The telecom
operators face a series of challenges, especially the improved requirements of users’
quality of service (QoS) [2–4]. The traffic proportion of mobile Internet video services
has exceeded 60%, which is the main driving force for network traffic growth. Cur-
rently, Tencent video service traffic accounts for more than 56% of video service traffic
[5]. Therefore, the analysis of Tencent video service stalling rate can help improve the
4G network video service experience. However, mobile video service perception
evaluation involves a wide range of processes and a large number of network elements
[6, 7]. Thus, a reasonable video perception evaluation method has always been nec-
essary and precious.
This paper proposes a 4G mobile video service perception evaluation model, based
on the network operation and user service big data analysis. This model includes the
correlation coefficient method, the interval score method, and the interval increment
method to select and analyze KQIs. Through the establishment and application of the
model, we find a problem diagnosis method of video service poor-quality cells and
content servers. Therefore, accurate evaluation and quick optimization can be per-
formed to improve service perception.

https://doi.org/10.1007/978-981-13-7123-3_56
480 J. Yin et al.
2 Evaluation Model
2.1 Model Establishment
Video service stalling is an important basis for determining the performance of 4G
video services. It can directly reflect the experience of video services. The big data
analysis method is used to mine xDRs (x detail record) on the 4G network. Based on
factors that affect video service experience, the following four analysis methods are
used to map KQIs from multiple dimensions to CEI (customer experience indicator)
[8]: Correlation coefficient calculation, segmentation statistics, normal distribution
statistics, and comprehensive evaluation. Thus, we can create an evaluation model for
user video stalling perception to accurately evaluate video service stalling perception.
The video perception model is showed as the Fig. 1.
Fig. 1. The process of establishing a video perception model
2.2 Data Source

Data sources include Tencent video service xDRs and KQIs that may affect video
stalling perception, about 20 million data records. Based on multi-dimensional data
correlation analysis, we can identify KQIs that have great impact on video service
experience and the impact of these KQIs.
2.3 Video Perception Score

The video perception score is the basis for determining the final video service expe-
rience. It is used to quantify major KQIs (such as the uplink packet loss rate, and the
4G Video Service Stalling Perception Evaluation and Optimization 481
downlink packet loss rate) affecting video service perception. Therefore, major KQI
identification, indicator weight calculation, and evaluation threshold selection are key
to the final perception scoring model [9].
A. KQI Identification & Indicator Weight Calculation
The correlation coefficient method is used to identify the KQIs with high correlation to
evaluate the video service stalling perception.
Select n items for which correlation evaluation is performed, and calculate the
stalling rate based on the 0.5% step. Then calculate the average value of KQIs in each
range to obtain the stalling rate column S = (0%, 0.5%, …, 12.5%), in which the
number of variables is 26 and 95% cells are included.
Suppose that Si is for KQI of item i, Ri is for the correlation coefficient between
KQI and Si . The calculation method of Ri is as Formula (1):
Pn Pn Pn
n Sj Sij Sj Sij
j¼1 j¼1 j¼1
Ri ¼ vffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
!2ffi v ffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
!2ffi ði ¼ 1; 2; . . .; n; j ¼ 1; 2; . . .; nÞ
u u
u P u
tn S 2 P S P P
n n n n
j j tn S2ij Sij
j¼1 j¼1 j¼1 j¼1
ð1Þ
i is for the sequence number corresponding to the KQI, j is for the variable numbers
corresponding to Si and S.
The correlation depends on the absolute value of Ri . Thus we identify the KQI with
the absolute value 0.8 as the evaluation basis to evaluate the mapping between KQIs
and CEIs.
The KQI weight is proportional to the correlation coefficient of the stalling rate. The
weight of each KQI can be calculated based on related coefficients. Then the calcu-
lation method of the percentile weight of the KQI indicator di is as Formula (2):
Ri
di ¼ P
n 100 ði ¼ 1; 2; . . .; nÞ ð2Þ
Ri
i¼1
B. Indicator Threshold Selection

According to the distribution trend of KQI index, a reasonable statistic method was
used to select the threshold.
KQI statistics of cell numbers in segmented index follow normal distribution, such
as downlink RTT delay indicator statistics (Fig. 2). According to the centralization,
symmetry and uniformity of normal distribution, the KQI evaluation criteria are
obtained: the critical value of the first 20% of the KQI index distribution is the good
value, the distribution peak is the median value, and the last 20% of the distribution is
the poor value.
482 J. Yin et al.
Downlink RTT delay indicator statistics

Number of cells corresponding to the downlink RTT delay
8000 DistribuƟon trend(Number of cells corresponding to the downlink RTT delay)
(Number of cells)
6000
4000
2000
0
0 20 40 60 80 100 120 140 160 180 200 220 240 260 280 300 320 340 360
(The downlink RTT delay indicator)
Fig. 2. Downlink RTT delay indicator statistics follow normal distribution.
C. Scoring Calculation
Referencing the video perception model, we obtain major KQI identification, indicator
weight and evaluation threshold. Then we can calculate the video perception score by
the comprehensive evaluation method.
Suppose that gi is for the evaluation coefficient of KQI index, Kih is for the eval-
uation threshold of the good value, Kiz is for the evaluation threshold of the median
value, Kic is for the evaluation threshold of the poor value, Kix is for the KQI. The
evaluation coefficients gi can be calculated by using the interval scoring method and the
interval increment method. The calculation method is as Formula (3):
8
>
> If kix is better than Kih ; then gi ¼ 1
> If k is
< worse than Kic ; then gi ¼ 0
ix
gi ¼ If kix is jKix Kiz j
better than Kiz ; and worse than Kih ; then gi ¼ jK 0:6 þ 0:4
>
> ih Kiz j
>
: If k is
ix better than Kic ; and worse than Kiz ; then gi ¼ jK ix Kic j
jKiz Kic j 0:4
ð3Þ
Based on evaluation weights di, putting the evaluation ideas of interval scoring
method and interval increment method into the evaluation process, we obtain the
service perception scoring results.
X
n
Video Perception Score ¼ di gi ði ¼ 1; 2; . . .; nÞ ð4Þ
i¼1
gi is for the evaluation coefficient of KQI index, di is for the evaluation weights.
3 Model Verification
3.1 Analysis Object
We select 38,441 cells with the poor stalling rate as objects for model verification.
3.2 Weight
Firstly, the stalling rate is calculated by the segment, and then the correlation coefficient
is obtained by means of calculation according to Formula (1). Finally, five KQIs whose
absolute values of correlation coefficient are >0:8 are obtained (Tables 1 and 2).
Table 1. The correlation coefficient of selected KQIs

Indicator Downlink Streaming Downlink TCP Proportion of the low Proportion
RTT delay media valid retransmission video download of low rate
download rate rate/Video bitrate sampling
rate sampling
The 0.88 0.88 0.84 0.82 0.81
absolute
correlation
coefficient
Calculate the weight of each KQI based on Formula (2).
Table 2. The Weight of Each KQI

KQI Proportion Proportion of the low Downlink Streaming Downlink TCP
of low rate video download RTT delay media valid retransmission
sampling rate/Video bitrate download rate
sampling rate
Weight 19.04 19.34 20.81 20.88 19.93
3.3 Threshold
We collect statistics on selected KQIs based on the number of cells, and then we obtain
the distribution curve. Based on the evaluation threshold, the grading threshold of each
KQI is as Table 3.
Table 3. The grading threshold of each KQI

KQI Good Median Poor
Proportion of the low video download rate/Video bitrate 0.01% 0.02% 0.03%
sampling
Downlink RTT Delay 80 ms 140 ms 200 ms
Proportion of low rate sampling 0.02% 0.05% 0.08%
Downlink TCP Retransmission Rate 0.04% 0.08% 0.14%
Streaming Media Valid Download Rate 6 Mbps 4.5 Mbps 3 Mbps
484 J. Yin et al.
3.4 Verification Result

Complete the perception score of all cells by referring to the evaluation model, and then
calculate the stalling rate of each cell by segment to obtain the fitting curve of the score
and the stalling rate (Fig. 3).
Fig. 3. The fitting curve of the perception score and stalling rate
The mapping between the score model and the actual stalling rate is high. The
stalling rate corresponding to the curve 60 points is 1.90%, and the average stalling rate
1.74% corresponds to 70 points. There is an obvious correlation between two curves.
For 38441 cells, the precision rate is 73% and the recall rate is 80.96%. Based on
the traditional analysis method, this is a good result. The scope and accuracy of the
check are considered, which proves that the evaluation model is effective and feasible.
4 Optimization Effect
During network optimization, the video stalling rate evaluation model is used to
evaluate video services based on the service IP address, Gateway, transmission
IP RAN, and wireless network cells. We can identify network elements with poor
quality based on scores.
The score of IPRAN-22 on the transmission ring is significantly lower than that on
others. The cause is that the network delay increases due to high transmission load.
After the bandwidth is expanded, the indicator becomes normal (Table 4).
Table 4. The score of IPRAN-22 on the transmission ring

IPRAN no. Streaming Downlink Proportion Proportion of the Downlink TCP Evaluation
media RTT delay of low rate low video download retransmission score
valid sampling rate/Video bitrate rate
download sampling
rate
IPRAN-22 2.43 Mbps 216 ms 10.09% 1.82% 54.00% 28.74
IPRAN-125 4.85 Mbps 55 ms 4.43% 0.66% 5.00% 87.39
Based on the evaluation of wireless network cells, TOP 1,000 cells with poor scores
are filtered out. We associate 4G network performance counters to locate the problem,
and implement optimization by means of carrier capacity expansion, parameter opti-
mization, and radio frequency adjustment. Then, the stalling rate of Tencent video
services is improved by 0.27PP, greatly improving work efficiency (Fig. 4).
Stalling Rate of Tencent Video

2.50% 2.45%
2.40%
2.30%
2.18%
2.20%
2.10%
2.00%
Before optimization After optimization
Fig. 4. The optimization effect of tencent video stalling rate
5 Conclusion
This paper presents an effective and feasible evaluation model of 4G mobile video
service perception, based on the network operation and user service big data analysis.
With the application of the model, the video service stalling problem evaluation and
locating efficiency is greatly improved. In addition, it supports efficient implementation
of optimization and improves user experience in 4G network video services. At the
same time, it provides a valuable reference for E2E (end to end) perception evaluation
and optimization.
References
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(2018)
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Application of the Bayesian Processor
of Ensemble to the Combination
and Calibration of Ensemble Forecasts
Yi Wang1, Xiaomei Zhang2(&), and Zoltan Toth3

1
National Meteorological Centre, China Meteorological Administration,
2
Public Meteorological Service Centre, China Meteorological Administration,
492783709@qq.com
3
Global Systems Division, Earth System Research Laboratory, National
Oceanic and Atmospheric Administration, Boulder, CO 80305, USA
Abstract. Ensemble forecasts are developed to assess and convey uncertainty

in weather forecasts. Unfortunately, ensemble prediction systems (EPS) usually
underestimate uncertainty and thus are statistically not reliable. In this study, we
apply the Bayesian Processor of Ensemble (BPE), which is an extension of the
statistical post-processing method of Bayesian Processor of Forecasts (BPF) to
calibrate ensemble forecasts. BPE is performed to obtain a posterior function
through the combination of a regression-based likelihood function and a cli-
matological prior. The method is applied to 1–10 day lead time EPS forecasts
from the NCEP Global Ensemble Forecast System (GEFS) and the Canadian
Meteorological Centre (CMC) of 2-m temperature at 24 stations over the con-
tinental United States (CONUS). Continuous rank probability score is used to
evaluate the performance of posterior probability forecasts. Results show that
post-processed ensembles are much better calibrated than the raw ensemble. In
addition, merging two ensemble forecasts by incorporating the CMC ensemble
mean as another predictor in addition to GEFS ensemble forecasts is shown to
provide more skillful and reliable probabilistic forecasts. BPE has a broad
potential use in the future given its flexible framework for calibrating and
combining ensemble forecast.
Keywords: Ensemble forecasting Statistical post-processing
1 Introduction
Ensemble prediction systems (EPS) were developed to quantify the uncertainty in

numerical weather forecasts. However, EPS’ are often under-dispersed and tend to be
biased [1]. To address these issues, a variety of statistical postprocessing methods for
ensemble forecasts have been proposed [2]. These methods produce a probability
density function (PDF) for the weather variable of interest, which generally outper-
forms the raw ensemble in terms of satisfying the underlying goal of “maximizing
sharpness subject to calibration” [3]. The Meteorological Development Laboratory

https://doi.org/10.1007/978-981-13-7123-3_57
488 Y. Wang et al.
(MDL) of National Weather Service (NWS) has developed a MOS-based technique

called ensemble model output statistics (EMOS) [4]. There also exist alternative
approaches such as Nonhomogeneous Gaussian regression (NGR) [5], extended
logistic regression [6] and decaying-average bias correction [7].
In the context of Bayes theory, Bayesian model averaging (BMA) [8] is a widely
used postprocessing method. However, the main difficulty with the BMA is that many
parameters and weights are needed to be estimated. Hamill [9] discussed issues of
disadvantage of BMA method related to overfitting. Hodyss [10] pointed out the
tendency of overweighting climatological information in BMA. By implementing the
Bayes’ basic rule, Krzysztofowicz and Evans [11] introduced the Bayesian Processor of
Forecasts (BPF). This method firstly transformed climatological data of predictand to a
normal distribution which provides the prior. Then the prior was updated based on a
PDF estimated through a correction of the current forecasts using the regression
relationships estimated from the joint sample of transformed forecasts and observa-
tions. Rather than attempting to calibrate the forecast solely based on the recent
forecast-observation pairs, BPF aims to update the climatological prior with the like-
lihood. Thus information from climatic sample and joint sample is optimally fused.
Merging different EPS’ into multi-center ensembles has recently gained increased
interest, since these combined ensemble forecasts improve the skill of the single
probabilistic forecasts. One example is the North American Ensemble Forecasting
System (NAEFS [12]), merging the NCEP and the Canadian Meteorological Centre
(CMC) ensemble. In this paper, we use the Bayesian Processor of Ensemble (BPE) that
was recently developed by Krzysztofowicz [13] as an extension of BPF to utilize
uncertainty information from EPS. 2-m temperature (T2M) data are used in this study
for application of BPE to ensemble forecast calibration and combination.
The structure of the article is as follows: Sects. 2 and 3 describe the data and the
BPE methodology used. Section 4 illustrates the application of BPE to T2M ensemble
forecasts from NAEFS and assesses the skill and reliability of calibrated ensemble
forecasts, while Sect. 5 offers a summary and some discussion.
2 Observations and NAEFS Forecast Data
The observational temperature data set that is used in this study was provided by MDL
of NWS. It contains T2M observations from 24 stations over the conterminous United
States (CONUS) (Fig. 1) during 1977–2010.
The NAEFS combines the National Centers for Environmental Prediction’s
(NCEP) Global Ensemble Forecast System (GEFS) with the Canadian Meteorological
Center (CMC)’s ensemble prediction system. Both GEFS and CMC systems contain a
control forecast and 20 perturbed members. All data were taken from the 0000 UTC
runs with lead time from 24 to 240 h. The gridded ensemble forecasts were interpolated
to the 24 station sites. In this study we focus on the warm half year season of April–
September. Similar results were found for the cold half year of October–March (not
shown). Two seasons were used for development of BPE (2008, 2009) and the third
season (2010) was used for cross-validation.
Application of the Bayesian Processor of Ensemble 489
Fig. 1. Spatial distribution of 24 stations over CONUS
3 Methodology
The idea of the Bayesian Processor of Ensemble (BPE) is to build a likelihood function
from the joint sample of ensemble forecasts and observations, and to combine it with a
prior distribution to obtain the posterior distribution of the predictand. According to
Bayes theorem:
f ðXjwÞgðwÞ
£ðwÞ ¼ ð1Þ
kðXÞ
Here gðwÞ is the prior density function of the predictand (I.e., climatological dis-
tribution); f ðXjwÞ is called the likelihood function of the predictand and describes the
conditional probability density of the forecast given an observed value; kðXÞ is the
expected density function of the predictor vector X and £ðwÞ is the posterior density
function.
Thus, the BPE includes three components: (i) estimation of the prior distribution,
(ii) modeling of the likelihood function, and (iii) determination of the posterior dis-
tribution. Details of the procedures are found in Krzysztofowicz [13]. Prior distribution
for the predictand Prior distribution is based on a long climatic sample. In this study we
use 30 years from 1977 to 2006. To increase the sample size, data are pooled from
consecutive 5 days. The daily time series are standardized to guarantee the stationarity
of the first two moments. Seasonality effect is also removed after standardization.
Instead of estimating a different distribution function for every day of the season, it is
sufficient to estimate just one distribution function. From a set of candidates, the
Weibull distribution is chosen as it fits the sample best (not shown).
3.1 Modeling of the Likelihood Function

A joint sample of predictand (wk , observed T2M) and predictor (xk , ensemble forecast)
is retrieved from the observational and ensemble forecast datasets. First, each joint
realization (xk , wk ) is standardized using the climatic mean mk and the climatic standard
deviation Sk for day k:
490 Y. Wang et al.
xk mk 0 wk mk
x0k ¼ ; wk ¼ ð2Þ
Sk Sk
Next step is to model the stochastic dependence between the standardized forecast
and predictand. Here we employ the meta-Gaussian likelihood model of Krzyszto-
fowicz and Kelly [13] using the normal quantile transform (NQT):
Z ¼ Q1 ðK 0 ðx0 ÞÞ; V ¼ Q1 ðG0 ðw0 ÞÞ; ð3Þ
where G0 is the prior distribution, K 0 denotes the marginal distribution function of the
standardized forecast x0 ; Q is the standard normal distribution function, and Q1 is its
inverse. The NQT guarantees that each marginal distribution function is Gaussian in
the sample space of the transformed variates (Z, V).
The likelihood parameters a, b and r2 can be estimated through:
EðZÞ ¼ aV þ b,VarðZÞ ¼ r2 ð4Þ
3.2 Determination of the Posterior Distribution

After the likelihood parameters have been estimated, the posterior parameters can be
calculated:
a ab r2
A¼ ;B ¼ 2 and T 2 ¼ 2 ð5Þ
a2 þr 2 a þr 2 a þ r2
The posterior distribution is obtained by simply combining the prior with the
likelihood function, where the posterior distribution function £ of w, is specified by
the equation

1 1 1

£ðwÞ ¼ Q Q ðGðwÞÞ AQ ðKðxÞÞ B ð6Þ
T
3.3 Assessment of Forecast Skill and Reliability

To assess the performance of the calibrated ensemble forecasts, the Continuous Ranked
Probability Score (CRPS) is used [14]. CRPS compares the difference between
cumulative distribution functions (CDFs) of the forecast with the observation.
The CRPS is a negatively oriented score; hence the lower the CRPS, the better the
probabilistic system performs.
Users might prefer a reliable system over a sharper forecast which is not reliable. In
this paper, reliability is assessed through the decomposition of CRPS into reliability
and potential components proposed by Hersbach [15]:
CRPS ¼ Rel þ Potential ð7Þ
The reliability component Rel measures the ability of the EPS to be statistically
consistent by comparing the observed frequency of events with their forecast proba-
bility. When perfectly calibrated (i.e., zero Rel error), a given EPS system would reach
its lowest, Potential CRPS value, which is also a function of the observational data.
4 Results
The BPE coefficients are developed and then applied for each station and each lead
time independently. Two seasons of a joint sample (2008, 2009) is used as training
data, and a third year (2010) is used as the cross-validation data. BPE outputs calibrated
distribution functions, quantile functions, density functions, and ensemble members.
Here we use 11 posterior quantiles (0.05, 0.1, 0.2, … 0.9, 0.95) for verification. The
verification is carried out for all sites and CRPS and its reliability component is then
averaged over the 24 stations and the entire verification period.
To assess the effect of merging different ensemble forecast systems, we designed
and tested two configurations of BPE with different potential predictors for the multi-
linear regression for central tendency of the likelihood function. Table 1 gives the
configuration name and the potential predictors. For simplicity, both configurations use
the GEFS ensemble as a predictor for both the central tendency and uncertainty.
The GEFS control is also offered as a predictor of central tendency in both configu-
rations, while BPE-GEFS_CMC also adds the CMC ensemble mean as a potential
predictor.
Table 1. Configuration of BPE with different potential predictors for the multi-linear regression
for central tendency of likelihood function
Model name Potential predictors of T2M
BPE-GEFS GEFS Control Member, GEFS Ensemble Mean
BPE-GEFS_CMC GEFS Control Member, GEFS Ensemble Mean, CMC Ensemble Mean
The reliability component of CRPS is displayed in Fig. 2b. Short range raw 2mT
GEFS forecasts exhibit a large (up to 3.5 F) calibration error over both the dependent
(2008–2009) and independent (2010) verification periods. This is due to the lack of
initial surface perturbations in the GEFS system, highlighting the need for the statistical
calibration of raw ensemble forecasts. Due to their miscalibration, CRPS (Fig. 2a) for
the raw short range GEFS is also high (above 4.5 F). This leads to the unusual, mostly
flat raw GEFS CRPS curves.
In contrast, the calibration component of the BPE-GEFS system is significantly
reduced to around 0.15 F at all lead times, both for the dependent and independent
samples. Therefore, post-processed ensemble forecasts accurately represent the uncer-
tainty and are very reliable. This is due to the self-calibration property of the Bayesian
492 Y. Wang et al.
Fig. 2. (a) CRPS and (b) its decomposition in reliability of raw GEFS and BPE-GEFS calibrated
ensemble forecast averaged over 24 stations during summer half year for training sample
(2008/09) and independent sample (2010).
formulation used in BPE [16]. Correspondingly, CRPS for the BPE-GEFS system is
significantly lowered, starting from above 2 F and reaching just below 4 F at longer lead
times. As with the reliability component, BPE-GEFS exhibits similarly low scores for
CRPS over the dependent and independent verification periods (cf. red vs blue dotted
curves in Fig. 2a), indicating a robust performance with no apparent overfitting.
BPE is set up to combine forecasts from any number of systems. When the CMC
ensemble mean is included as an additional potential predictor for central tendency
(BPE-GEFS_CMC) beyond the GEFS ensemble and control forecasts (BPE-GEFS),
CRPS is generally lowered (except at Day 9 lead time for 2010), thus extending pre-
dictability by 12–24 h (Fig. 3a). The combined BPE-GEFS_CMC configuration displays
calibration scores even better than the already low values found for BPE-GEFS (Fig. 3b).
Fig. 3. (a) CRPS and (b) its decomposition in reliability of BPE-GEFS, BPE-GEFS_CMC,
calibrated ensemble forecast averaged over 24 stations during summer half year for training
sample (2008/09) and independent sample (2010).
The above verification results indicate the value of post-processing raw ensemble
forecasts with BPE in terms of enhanced skill and reliability. Encouragingly, the results
on dependent data carry over to an independent verification period. Since BPE can
combine independent input information from multiple forecast systems, it can be used
to merge output from multiple ensemble forecast systems.
5 Discussion and Conclusion
A post-processing method called Bayesian Processor of Ensemble (BPE) is utilized to

calibrate ensemble forecasts. The scheme is based on Bayes basic rule. The BPE
technique includes three steps: (i) estimation of the prior distribution, (ii) modeling of
the likelihood function, and (iii) determination of the posterior distribution. An
appealing aspect of BPE is that it leverages a long-term climatology thus reducing the
need for large training datasets (i.e., reducing the demand on the costly generation of
hind-cast datasets). It also avoids some other disadvantages of the BMA approach.
We applied the BPE technique to GEFS control and ensemble 2-m temperature
forecasts. Results obtained for 24 stations over the CONUS indicate that BPE produces
forecasts with negligible calibration error that are also significantly more skillful than
the raw ensemble forecasts. When the CMC ensemble mean forecast is also considered
as a central tendency predictor, BPE gains 12–24 h additional skill beyond using GEFS
input only.
BPE can also be configured to use additional predictors from any number of single
value or ensemble forecasts, as well as “auxiliary” predictors (i.e., forecast variables
other than the predictand, e.g., 850 hPa T and/or 1000/500 hPa thickness for predicting
2m T). Given its flexible framework and multiple output formats, BPE can be used in a
multitude of applications, including the blending and calibration of information from
multiple forecast systems.
Acknowledgements. We thank Kevin Kelleher, former Director of GSD/ESRL/NOAA for his

support. The work was sponsored by the National Key Research and Development Program of
China (2017YFC1502004) and “Key technology research on medium range forecast”
(2015BAC03B01) project. The detailed algorithm of the BPE was developed by Professor
Krzysztofowicz of the University of Virginia and coded by Geary Layne of GSD. We
acknowledge discussions with Mark Antolik and Jeffrey Craven of MDL. Data were kindly
provided by John Wagner and Carly Buxton of MDL.
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Initial Analysis of the Cell Selection Progress
in SA of 5G NR
Zetao Xu1(&), Yang Zhang2, Ao Shen1, Bao Guo3, Yuehua Han3,

and Yi Liu4
1
China Mobile Group Design Institute Co., Ltd., Beijing, China
xuzetao@cmdi.chinamobile.com
2
Department of Networks, CMCC, Beijing, China
3
China Mobile Group Shanxi Co., Ltd., Taiyuan, China
4
China Mobile Group Shandong Co., Ltd., Jinan, China
Abstract. As the commercialization of the 5th generation mobile networks is

approaching globally, 5G NR standard is deemed as a competitive candidate
who abstracts a mass of concern from the industry. However, there are still some
blurry conceptions and issues regarding real network deployment needed to be
further studied. 5G NR standardization claims there are non-standalone
(NSA) and standalone (SA) network deployment schemes, respectively. No
matter how it would be chosen, the UE cell selection mechanism is an inevitable
fundamental process for end-to-end communication service, which needs to be
further concerned. For the purpose of network operators’ daily optimization &
management in the future stage, this paper briefly analyzed UE cell selection
process for NSA and SA networking scheme, respectively.
Keywords: 5G new radio (NR) Non-standalone (NSA) Standalone (SA)
1 Introduction
With the acceleration of the commercial pace of the 5th generation mobile networks
worldwide, ultra-high speed, ultra-high spectral efficiency, ultra-low latency and
massive connectivity based on massive IoT have become the consensus of the next
generation broadband mobile communication networks. 5G NR technology adopts
application-oriented design ideas in the formulation of standards, and adapts to the
differentiated networking requirements through flexible and variable system-level
parameter adjustment. The 5G NR has attracted wide attention from domestic and
foreign operators due to its targeted design for new spectrum (millimeter wave). In the
standard setting phase, 5G NR has formulated two networking modes according to the
actual networking development requirements. One is non-standalone networking mode
that needs to be combined with the existing 4G network, and the other is standalone
networking mode that can be independently deployed and operated. As the develop-
ment of standardization, the related networking technology details are still being
improved. No matter which networking mode is adopted, the UE cell selection
mechanism is the basic process for implementing end-to-end communication in any
communication system, and it is also an important entry point for subsequent network

https://doi.org/10.1007/978-981-13-7123-3_58
496 Z. Xu et al.
operation and maintenance optimization to enhance user perception. This paper is

based on the preliminary analysis of the UE cell selection mechanism in the non-
standalone and standalone networking modes.
2 5G NR Non-standalone Networking and Standalone

Networking Technology
2.1 5G NR Non-standalone Networking Technology

In order to meet the ever-expanding global connectivity needs and provide diversified
service experience, 5G NR has re-designed a new 5G unified air interface design based
on OFDM technology. In addition to new spectrum usage, greater air interface trans-
mission bandwidth, new waveform modulation and channel coding techniques, CU-
DU separation architecture, new multi-antenna array technology and other new fea-
tures, one of the most noteworthy features is that it provides a flexible frame design,
and differentiated services are provided through flexible and tunable system-level
parameters for different applications (eMBB, URLLC, mMTC). Based on the flexible
framework design concept, 5G NR defines two networking architectures, one is non-
standalone networking mode, and the other is standalone networking mode. Among
them, the non-standalone networking mode relies on the existing 4G LTE network for
fusion networking. This solution leverages the existing 4G core network and trans-
mission network to pass the dual connection in the form of “subcarrier” (E-UTRA NR
Dual Connectivity, EN-DC) provides high-speed data services. The schematic diagram
of the LTE-Assisted 5G NR networking architecture is shown in Fig. 1.
Fig. 1. 5G NR non-standalone networking architecture.
In addition to the two NSA candidate schemes illustrated in Fig. 1, there are some
other candidates. However, it is generally believed that the candidate of the operator’s
Initial Analysis of the Cell Selection Progress in SA of 5G NR 497
initial most feasible system is the one on the left of Fig. 1 [1]. This paper does not
cover the other candidates. We can choose between co-site and non-co-site for NSA
networking deployment.
2.2 5G NR Standalone Networking Technology

The ultimate form of any kind of communication system evolution is to provide
information services independently, and 5G systems are no exception. 5G adopts the
standalone networking architecture, which has produced a series of changes from the
access side to the core network element. The core network adopts a service-based “bus-
based” network architecture (SBA). A new interface form is defined between the access
network, the core network and the access network element. The access network can
also be separated according to the Central Unit (CU) and the Distributed Unit
(DU) subnet to promote the segmentation of the protocol stack and further decoupling
of the system software and hardware, business and resources, and achieving processing
delay and optimization improvement of system performance [2]. It is shown in Fig. 2.
Fig. 2. 5G NR standalone networking architecture diagram (including CU/DU separation).
The 5G NR still follows the design concept of control plane and user plane sep-
aration in LTE. The SDAP sublayer is added to the user plane to provide the QoS
mapping relationship between the core network and the data radio bearer (DRB).
498 Z. Xu et al.
2.3 SA and NSA Technology Comparison

For individual terminals, the NSA has excellent downlink rate due to 4G/5G dual
connectivity. According to relevant statistics, NSA is better than SA7%. Because of
independent 5G dual-issue, the uplink peak rate is better than NSA, field test verifi-
cation. The uplink rate SA is 87% better than the NSA, but the uplink edge rate is
relatively low.
Coverage performance: The NSA can achieve continuous coverage with the
existing 4G network, and can quickly perform 5G deployment. The dual connectivity
technology can be seamlessly switched to ensure service connectivity. The SA mode is
relatively high due to the 5G frequency band. Small, initial continuous coverage
construction costs are high, and it is necessary to perform interoperability between 5G
and 4G through reselection and handover, and business continuity is relatively poor.
Voice capability: NSA relies on dual connectivity technology to inherit 4G existing
voice solution VoLTE/CSFB; SA adopts 4/5G loose coupling, relies on interoper-
ability, voice solution uses voice to fall back 4G and 5G to carry voice VoNR, Vo5G
performance Depends on the 5G coverage level.
Service Capability: The NSA is limited by the EPC capability of the existing 4G
core network, and cannot provide 5G new services, such as network slicing related
services; SA supports 5G new services, such as eMBB, mMTC and uMTC, to facilitate
the expansion of vertical industries and meet each Diversified needs of users of class
scenarios.
3 5G NR Standalone Networking Process
3.1 UE Initial Search Process

The process of 5G UE power-on network includes PLMN search (cell search), random
access, ATTACH, public process and other sub-processes. After the UE is powered on,
it first enters the PLMN search (cell search) process, in order to search the network and
obtain downlink synchronization with the network. Random access is to resolve
competition between different UE and achieve uplink synchronization. The ATTACH
process establishes the same mobility context between the UE and the core network,
the default bearer of the terminal, and obtain the IP address assigned by the network.
The public process includes the authentication process and the secure mode process.
The Channel Raster is fixed at 100 kHz in LTE, and different Channel Raster are
defined in different frequency bands in NR, as shown in Table 1. The channel band-
width is large in NR, and the UE performs synchronization signal search according to
the Channel Raster, and the delay is long. Thus NR introduces a synchronous Raster,
and the synchronization signal is placed according to the synchronous Raster. The UE
of any communication system needs to synchronize with the network when it is
powered on. The synchronization is to obtain network information more accurately.
Synchronization at power-on refers to downlink synchronization. Downlink synchro-
nization involves two processes, frequency synchronization and time synchronization.
Generally, there is frequency synchronization before time synchronization. Nearly 30
working bands are defined in the 5G NR. In order to avoid the synchronization of the
full band (FR1: 450 MHz–6000 MHz; FR2: 24250 MHz–52600 MHz), the UE can
synchronize downward frequency according to the pre-built operating frequency band
of the country’s operator, thereby shortening the initial boot cell search time. The 5G
NR terminal is step-locked in accordance with the accuracy of the synchronization
raster in frequency synchronization. The 5G NR sync grid is not fixed with 100 kHz as
the synchronization precision in LTE/NB-IoT, but combined with the calculation
formula of GSCN (global synchronization channel number) and center frequency point
of SSB [3, 4]. It is worth mentioning that the UE needs to further clarify the center
frequency by determining the location of the 20 PRBs in the frequency domain
occupied by the SSB. Since the OFDM subcarrier spacing of the 5G NR is flexible, the
UE needs to make a traversal search attempt according to the subcarrier spacing cor-
responding to the different working frequency bands to determine the actual subcarrier
spacing of the SSB in the initial downward synchronization. After locking SSB to
achieve frequency domain synchronization, UE can achieve time domain synchro-
nization of symbol level precision by combining carrier frequency and acquired sub-
carrier spacing [5].
Table 1. Channel Raster in different bands in NR.

NR operating band DF_raster (kHz)
n1 100
n5 100
n8 100
n75 100
n77 15
n78 15
n257 60
The UE cell needs to perform downlink synchronization to obtain downlink timing

to correctly demodulate the broadcast system message sent at a specific moment.
In LTE, the UE acquires the synchronization accuracy of the symbol level in the
subframe by successfully demodulating the primary synchronization signal (PSS) and
the secondary synchronization signal (SSS). After obtaining downlink synchronization,
a series of system messages (MIB, SIB1, SI) are demodulated for cell selection process
[6, 7].
In the non-standalone networking mode, the 5G NR adopts the EN-DC dual-
connection scheme to provide data services. In this scheme, the UE does not need to
perform cell selection, but needs to obtain physical control channel configuration
information. Therefore, the downlink time-frequency domain synchronization process
is still needed.
In addition, due to the “bundled” special design structure of the SS/PBCH block
and the UE needs to periodically update the network side information, although the
design MIB message can be reserved, the UE does not need to decode the MIB
message content. And the system design does not need to separately design SIB1 and
500 Z. Xu et al.
other SI system messages for the EN-DC data transmission mode of the non-
independent networking. Of course, the system design can also perform SIB1 design
for compatibility with the independent networking mode, but the UE cannot listen to
the decoding.
3.2 Synchronization Signal Structure

The synchronization signal (SS) and the PBCH appear in groups according to a certain
time-frequency domain resource relationship in 5G NR. The SS/PBCH (SSB) block of
each cell can be independently and flexibly configured in the full bandwidth time-
frequency domain location [8]. This design not only reflects the flexibility of 5G NR in
resource utilization, but also allows operators to customize network planning based on
such flexible design to further improve the reliability of SS/PBCH decoding. The
SS/PBCH block occupies 4 OFDM symbols in the time domain, and is indexed from 0
to 3 in the SS/PBCH block, while the frequency domain occupies the frequency
domain width of 20 RB, occupying up to 240 subcarriers (each RB contains 12 sub-
carriers in 5G), the frequency domain RB index and the subcarrier index can be
respectively identified in ascending order from 0. It is shown in Fig. 3.
239 P
B
C
192 H
182
P P
P S
Subcarrier B B
S S
Number C C
S S
H H
56
47 P
B
C
H
0
0 1 2 3
OFDM symbol number
Fig. 3. SSB time and frequency domain structure.
The UE first searches for the PSS primary synchronization signal, and the PSS
length of the NR is 127 pseudo-random sequence, using the frequency domain
BPSK M sequence. The PSS maps to consecutive 127 subcarriers in the middle of 12
PRBs, occupies 144 subcarriers, and performs guard intervals on both sides without
transmitting power. After the UE searches for the PSS, the subcarrier spacing of the
SSB can be obtained.
The SSS frequency domain is similar to the PSS. It maps to 127 subcarriers in the
middle of 12 PRBs and occupies 144 subcarriers. After the UE searches for SSS, it can
ð1Þ
obtain NID . The only physical layer cell ID in NR is determined as the following
formula:
ð1Þ ð2Þ ð1Þ ð2Þ

cell
NID ¼ 3NID þ NID ; NID 2 f0; 1; . . .; 335g; NID 2 f0; 1; 2g ð1Þ
The different symbol positions occupied by PSS, SSS, PBCH, and DM-RS are
given in Table 2, where v ¼ NID
cell
mod 4.
Table 2. Resource allocation in SS/PBCH block.

Channel OFDM symbol number l relative to the Subcarrier number k relative to the
or signal start of an SS/PBCH block start of an SS/PBCH block
PSS 0 56, 57, …, 182
SSS 2 56, 57, …, 182
Set to 0 0 0, 1, …, 55, 183, 184, …, 236
2 48, 49, …, 55, 183, 184, …, 191
PBCH 1, 3 0, 1, …, 239
2 0, 1, …, 47,
192, 193, …, 239
DM-RS 1, 3 0 þ v; 4 þ v; 8 þ v; . . .; 236 þ v
for PBCH 2 0 þ v; 4 þ v; 8 þ v; . . .; 44 þ v
192 þ v; 196 þ v; . . .; 236 þ v
4 The Related Parameters of 5G NR Resident Network

Process
4.1 The Content of MIB in PBCH Channel

The NR cell network side needs to exchange control plane information with the UE. In
the initial boot process, the UE needs to perform the cell selection process. Therefore,
the entire system message design includes not only the MIB message block but also the
SIB1 of the cell selection related parameters and other optional type system messages
(SIBX).
The UE obtains the MIB message by synchronous decoding SSB in the time-
frequency domain (as shown in Fig. 4). It is extremely important to set some system-
level parameters in the cell planning of 5G NR independent networking. If the setting is
abnormal, the UE may not be able to perform network residing [9, 10].
4.2 The Related Parameters of RMSI

After the UE obtains the SSB block information, it also needs to obtain some necessary
system information to complete the camped cell and the initial access. The necessary
system information becomes RMSI (Remaining Minimum System Information) in the
NR. In the current R15 version, the RMSI can be considered as an SIB1 message in
502 Z. Xu et al.
-- ASN1START
-- TAG-MIB-START
MIB ::= SEQUENCE {

systemFrameNumber BIT STRING (SIZE (6)),
subCarrierSpacingCommon ENUMERATED {scs15or60, scs30or120},
ssb-SubcarrierOffset INTEGER (0..15),
dmrs-TypeA-Position ENUMERATED {pos2, pos3},
pdcch-ConfigSIB1 INTEGER (0..255),
cellBarred ENUMERATED {barred, notBarred},
intraFreqReselection ENUMERATED {allowed, notAllowed},
spare BIT STRING (SIZE (1))
}
-- TAG-MIB-STOP
Fig. 4. System parameters included in MIB message.
LTE, mainly transmitted through the downlink PDSCH channel, and the PDSCH
channel needs the DCI of the PDCCH to be scheduled. The UE needs to obtain the
PDCCH channel information of the scheduled RMSI in MIB, perform blind detection
on the PDCCH to obtain the RMSI. This information in the MIB is the pdcch-
ConfigSIB1 field [11].
The parameter ssb-SubcarrierOffset in the MIB message can be used to confirm
whether the current SSB has a common CORSET (control resource set) in the fre-
quency domain, that is, the Type0-PDCCH common channel is configured. Therefore,
it can be determined whether the frequency domain of the current SSB is configured
with SIB1. When the UE detects that the current SSB in the frequency domain is not
configured with SIB1 under certain conditions, the parameter pdcch-ConfigSIB1
contained in the MIB message can be used to detect whether the Type0-PDCCH public
search space provides CORSET in the frequency domain of the next SSB and the
biased SSB. If the UE still does not detect the public CORSET, it can be considered
that the cell is not configured with SIB1, and then the cell search procedure for the
corresponding frequency point obtained by the previous frequency-locked SSB will be
abandoned [12].
The PDCCH channel in the NR corresponds to multiple search spaces, including
common search space and UE-specific search space. The Common Search space of
Type 0 is only used for RMSI scheduling. In NR, CORESET (Control Resource SET)
is introduced for the physical Resource SET for the PDCCH channel. One cell PDCCH
channel corresponds to multiple CORESET sets, and the CORESET set has an ID
number, where CORESET 0 represents a physical resource set corresponding to the
search space.
4.3 The Related Parameters of SSB

In the 5G NR non-standalone networking solution, the NR cell network side does not
need to exchange control plane messages with the UE, while the data transmission of
the 5G NR cell user plane can be independently scheduled by listening to the physical
control channel. The UE may acquire the 5G NR system configuration parameter by
using the camped 4G LTE cell RRC reconfiguration message. The LTE cell configures
the system configuration parameter of the 5G NR as the second cell group related
parameter of the EN-DC, and encapsulates it into an 8-byte string group for trans-
mission. The UE can quickly obtain the SSB message by decoding these auxiliary
configuration information. These auxiliary information mainly involves the following
four aspects:
Subcarrier interval (numerology) information of SSB: 5G is flexible and config-
urable for OFDM system level parameter subcarrier spacing, and subcarrier spacing of
SSB can only be configured for 15 kHz or 30 kHz (carrier frequency <6 GHz),
120 kHz or 240 kHz (carrier frequency >6 GHz);
Frequency domain location information of the SSB: the starting node of the fre-
quency domain (absoluteFrequencyPointA), the frequency domain location of the SSB
(absoluteFrequencySSB, defined as the no. 0 subcarrier of the no. 10 index RB in
SSB), the frequency band (frequencyBandList) and actual carrier start position (off-
setToCarrier) or bandwidth (carrierBandwidth) based on different subcarrier spacing;
Time domain location information of SSB: The SSB can repeatedly transmit at a
specific candidate position within a half-frame (5 ms), and the number of repetitions
and whether the candidate time domain position is actually configured by the SSB can
be known by the parameter ssb-PositionsInBurst. If the candidate location is not
configured with SSB, the frequency domain location of the corresponding SSB does
not need to be used for other channels or signal transmission. At the same time, the
auxiliary time domain information also includes the repetition period (ssb-
periodicityServingCell) for configuring the SSB half-frames, and the default value is
repeated every half frame (5 ms).
5 Conclusion
This paper introduces two network architectures of 5G non-standalone and standalone

networking, and focuses on the UE cell search process in 5G standalone networking
mode. At the same time, it explains the system-level parameters that need to be paid
attention to in the open network optimization. Generally, when the UE is powered on
for the first time, it does not know the bandwidth and frequency of the network.
The UE repeats the basic cell search process and traverses the frequency points of the
entire spectrum to try to demodulate the synchronization signal. This process is time
consuming, but the general time requirements are not strict. The UE initialization time
can be shortened by some methods, such as the UE storing the previous available
network information, and searching for these networks and frequency points after
booting. Once the UE searches for the available network, the UE first demodulates the
PSS, implements symbol synchronization, and obtains the ID of the cell
group. Secondly, it demodulates the SSS, implements frame synchronization, acquires
the cell group ID, and combines the ID of the cell group to obtain the PCI of the cell.
Get the service cell ID. The UE will demodulate the downlink broadcast channel PBCH
to obtain system information such as system bandwidth and number of transmitting
504 Z. Xu et al.
antennas; after receiving the PBCH, the UE also receives system messages transmitted
on the PDSCH. Finally get the complete system message.
References
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scenarios. Telecommun. Sci. 44–51 (2016)
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4. Lei, Q., Zhang, Z., Cheng, F.: 5G radio access network architecture based on C-RAN.
5. 3GPP TS 38.331 V15.2.0 NR; Radio Resource Control (RRC) protocol specification
(Release 15)
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(2017)
7. 3GPP TS 38.101-1 V15.2.0 NR; User Equipment (UE) radio transmission and reception;
Part 1: Range 1 Standalone (Release 15)
8. 3GPP TS 38.213 V15.2.0 NR; Physical layer procedures for control (Release 15)
9. Zhang, J., Xie, W., Yang, F.: Mobile edge computing and application in traffic offloading.
Telecommun. Sci. 32, 132–139 (2016)
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ultra-dense network. Sig. Process. 1263–1271 (2015)
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based LTE site selection scheme in LTE deployment. In: 1st International Conference on
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Taylor & Francis Group, Beijing (2015)
NB-IoT Network and Service Collaborative
Optimization
Pengcheng Liu1(&), Bao Guo2, Yang Zhang3, Yuehua Han2, Yi Liu4,

and Guozhi Wang5
1
China Mobile Group Design Institute Co., Ltd., Beijing, China
Liupengcheng1@cmdi.chinamobile.com
2
China Mobile Group Shanxi Co., Ltd., Taiyuan, China
3
Department of Networks, CMCC, Beijing, China
4
China Mobile Group Shandong Co., Ltd., Jinan, China
5
China Mobile Group Zhejiang Co., Ltd., Hangzhou, China
Abstract. The preliminary construction of the NB-IoT network has been

completed at this stage. The overall coverage is good, but there are more partial
coverage holes, insufficient coverage of indoor difficult scenes, prominent
interference problems, and overlapping coverage. At present, the industry
application of NB-IoT is low in maturity, and the application of the industry is in
its infancy. Different terminal manufacturers have different specifications, which
leads to major problems in the deployment process of network deployment. This
article analyzes the NB-IoT network related indicators according to different
business characteristics according to the main types of business of the Internet of
Things, analyzes the coverage performance of such services according to test
data and statistical data, and conducts in-depth coverage analysis on the covers
of manholes and poles. Overlapping coverage analysis gives an optimized
solution to the business model with relatively concentrated service access.
Keywords: Deep coverage Independent antenna feeder Access capability
1 Introduction
NB-IoT network construction is to build a high-quality, high-quality, urban-wide

continuous coverage of the IoT bearer network, supporting the national big connection
strategy, but limited by external strong interference, site alarms and hardware failures,
single check network process needs to be improved For other reasons, local areas have
not yet formed continuous coverage. At present, the application maturity of NB-IoT
industry is low, and the industry application is in its infancy. The terminal specifica-
tions of different manufacturers are different, and the receiving sensitivity is different.
This leads to major problems in the network deployment and the signal strength of
different terminal access networks. The signal quality requirements are very high,
otherwise it will not be able to access the network [1, 2].
At present, the NB-IoT network construction process has discovered five major
problems: the network interference problem is prominent, the overlapping coverage is
serious; the overall coverage is good, but the local coverage is more empty; the indoor

https://doi.org/10.1007/978-981-13-7123-3_59
506 P. Liu et al.
difficult scene depth coverage problem; the concurrent capacity bottleneck; To be

improved. In addition, the Internet of Things service based on NB-IoT technology has
the characteristics of “large difference in service model, large difference in service
level, high depth coverage requirement, and long terminal silence”. At this stage, the
NB-IoT network is in the early stage of construction, commercial terminals have not
yet been popularized, and the business volume is small, and the optimization experi-
ence that can be used for reference is lacking. It is urgent to carry out targeted network
and business collaborative optimization research [3].
Based on the main business types of the current Internet of Things, this paper
analyzes the NB-IoT network association indicators according to different service
characteristics, analyzes the coverage performance of such services based on test data
and statistical data, and performs deep coverage analysis on the manhole cover and the
light pole business respectively. Overlap coverage analysis, corresponding optimization
analysis of business models with relatively concentrated business access [4].
2 NB-IoT Services Coverage Research
2.1 NB-IoT Business Scenario and Related Indicators

At present, the main business types of NB-IoT include water meter, street light, bicycle
and intelligent parking service. According to the data reporting method (data reporting,
data real-time interaction) and mobile mode, the NB-IoT network coverage is adopted.
Types (indoor, outdoor, subsurface, and mobile) can be roughly divided into four types
of business: type 1, fixed monitoring, such as smart meter reading, intelligent parking,
manhole cover monitoring, etc.; type 2, fixed control Classes, such as smart street
lights, self-service washing machines, etc.; type 3, mobile monitoring, such as logistics
monitoring, chronic disease management, etc.; type 4, mobile control, such as shared
bicycles, mobile POS machines, children’s watches, etc.
In order to accurately evaluate the performance of the NB-IoT service, according to
the current test data and statistical data, the NB-IoT service indicators such as the
connection class, the attachment class, and the rate class are selected, and the bench-
mark value of the service indicator and the corresponding RSRP and SINR are obtained
through test analysis. The value provides basic data support for the study of sub-
business coverage standards [5, 6].
Fixed Monitoring Class. Such services mainly include meter reading, manhole cover,
hydrological monitoring and other services, and are sensitive to network coverage,
service connectivity and power consumption indicators. Involved indicators: Attach
success rate, RRC connection success rate, and uplink rate.
Fixed Control Class. Such services mainly include smart light poles, smart security,
smart home and other services, which are sensitive to network coverage, power con-
sumption and data related indicators. Involved indicators: Attach success rate, RRC
connection success rate, uplink rate, and downlink rate.
NB-IoT Network and Service Collaborative Optimization 507
Mobile Monitoring. Such services mainly include services such as personnel and item
location tracking, and are sensitive to network connectivity, power consumption, and
mobility metrics. Involved indicators: Attach success rate, RRC connection success
rate, uplink rate, and downlink rate.
Mobile Control Class. Such services mainly include services such as shared bicycle,
smart wear, and mobile payment, and are sensitive to network connectivity, service
connectivity, power consumption, and mobility metrics. Involved indicators: Attach
success rate, RRC connection success rate, RRC connection delay, uplink rate,
downlink rate.
2.2 NB-IoT Business Scenario Coverage Standard

Through the standard coverage method of service coverage, the minimum coverage
standards of the four types of services are obtained respectively. Through analysis, the
fixed control services have the highest coverage requirements, and the fixed monitoring
services are relatively low. Combined with business scenario coverage standards, it can
provide guidance for subsequent NB-IoT network construction and optimization.
Fixed Monitoring Coverage Standard is RSRP: –112.9 dBm, SINR: 1.3 dB. The
main data transmission mode of the fixed monitoring service is periodic or triggering
data reporting, occasional data configuration and other data delivery requirements, and
the power saving mode is usually set. In response to this feature, in order to ensure
business continuity, the RSRP indicator is the focus of optimization.
Fixed Control Coverage Standard is RSRP: –108.6 dBm, SINR: 0.5 dB. The fixed
control service is mainly for periodic or triggering terminal status data reporting and
platform command data receiving. In order to ensure that the platform side can monitor
the terminal in real time, the uploading information is usually set frequently. For this
feature, SINR is the focus of optimization for this scenario.
Mobile Monitoring Coverage Standard is RSRP: –110.3 dBm, SINR: 0.9 dB.
Mobile monitoring service terminals are usually deployed in moving targets such as
vehicles, machinery, and personnel to realize remote monitoring of target status and
location information, and there are two-way requirements for data reporting and
delivery. The RSRP and SINR indicators in this scenario are the focus of optimization.
The Coverage Standard of Mobile Control is RSRP: –100.7 dBm, SINR: 0.7 dB.
The mobile control service is usually worn by people, and the terminal monitoring and
remote control are realized through the NB-IoT communication module in the terminal.
Due to the characteristics of the service type, the scenario is sensitive to coverage and
rate. Therefore, the RSRP and SINR indicators in this scenario are the focus of
optimization.
508 P. Liu et al.
3 Optimization Analysis of Depth Coverage

3.1 Depth Coverage Assessment Method
The NB-IoT network protocol stipulates that the terminal does not report the MR and
cannot evaluate the deep coverage status through the MR data. The coverage perfor-
mance can be evaluated by the PH level information carried by the NB-IoT terminal in
the MSG3 message [7].
Road loss estimation: According to the PH level information carried by the terminal
in the MSG3 information, a specific value is assigned to each PH through its corre-
sponding range for path loss estimation. The formula is as follows:

PH ¼ Pcmax P0Npusch þ a PLUL ð1Þ
Pcmax is the maximum transmit power of the terminal, P0-Npusch is the initial target
power of the UE, PL is the path loss, and a is the road loss compensation weight, which
is usually 0.7–0.8.
According to the calculated uplink path loss, it considers the difference between the
uplink and downlink frequencies, and estimates the downlink path loss, and further
approximate the RSRP of the location of the UE. The formula is as follows:
RSRP ¼ RSTXPwr ðD þ PLUL Þ ð2Þ
Among them, RSTXPwr is the reference signal power, and D is the correction value
for the uplink path loss.
In the NB-IoT network planning and design, GSM (900 MHz) is planned according
to 1:4 site, and the depth coverage requirement scenario can adopt 1:2, 1:1 planning
scheme, and on-demand planning to ensure good coverage of the NB-IoT network; The
antenna uses the 2T4R deployment principle to replace the site with 2T4R antenna
feeds to improve the uplink performance of the NB-IoT network. NB and GSM
independent antenna feeder systems should be deployed in key areas and overlapping
coverage areas to ensure that NB optimization does not affect GSM network coverage.
The outdoor road edge coverage RSRP is not lower than –84dBm, and the SINR is not
lower than –3 dB. It is expected that no less than 30 dB penetration loss can be
reserved to meet the general scene depth coverage requirements [8].
3.2 NB-IoT 1: N Networking Mode

At present, the NB-IoT network is mainly based on macro station coverage, and is
planned in a 1:4 ratio with the GSM station, which can solve about 90% indoor general
scene coverage [9]. However, some IoT terminal modules are concentrated in corridors,
basements, etc., and have a fixed position, which requires high depth coverage. The 19
sites of the NB-IoT network are selected as the 1:N pilot area of the GSM site.
The RSRP test results are shown in Fig. 1.
Fig. 1. NB-IoT 1: N mode coverage performance comparison
Tests show that NB-IoT is 1:1 compared with GSM networking mode 1:2, RSRP is
about 4–7 dB, and 1:4 is about 10–12 dB lower than 1:1. However, in the 1:2 net-
working mode, the SINR is 1.5–2 dB higher than the 1:1, and the SINR is 0.6–2.4 dB
higher than the 1:4. The pairs under different load loads are shown in Table 1.
Table 1. Comparison test of NB-IoT and GSM 1:N networking

Terminal drive test 1:1 no 1:2 no 1:4 no 1:1 with 1:2 with 1:4 with
1:1 no load load load load load load load
Average RSRP –78.7 –85.9 –89.8 –77.1 –80.1 –89.3
Edge 5% RSRP –100 –102.3 –107.1 –96.1 –98.6 –105.9
Average SINR 8.9 10.9 6.5 6.1 7.5 6.8
Edge 5% SINR –6.7 –5.8 –8.7 –7.5 –8 –7.4
Tests show that NB-IoT in 1:4 network can reach the same level of GSM coverage
and has certain wear and tear redundancy. If 1:1 networking is adopted, not only the
investment is too large, but also the problem that the network noise rise is obvious and
the interference control is difficult. In the initial stage of network construction, NB-
IoT’s coverage enhancement technology can be fully utilized to achieve basic coverage
of NB-IoT compared to the GSM900 macro station’s 1:4 mode, which can support a
510 P. Liu et al.
wide range of business development needs and effectively control investment risks. It
should be noted that when 1:4 networking, NB-IoT can basically meet indoor demand,
95% coverage can reach –107 dBm, and receiving sensitivity has 25 dB surplus, which
can meet basic indoor coverage requirements, and some deep coverage can be Deepen
coverage based on actual conditions.
3.3 NB-IoT Independent Antenna Feeder

The NB-IoT network has basically achieved continuous urban coverage, but the NB-
IoT network structure is quite different from the traditional LTE/GSM network. Due to
the difference in NB-IoT and GSM site size and coverage targets, the site size of the
NB-IoT network. It is about 1/4 of GSM, and the cell coverage of the two is quite
different. Therefore, the optimal setting of the antenna parameters will be different
[10, 11]. The NB-IoT independent antenna feeder network is beneficial to the opti-
mization of network coverage quality. The coverage performance comparison between
NB-IoT total antenna feed and independent antenna feed mode is shown in Fig. 2.
Fig. 2. Comparison of coverage performance between NB-IoT total antenna feed and
independent antenna feed.
The test results show that the outdoor road coverage, the NB-IoT independent
antenna feeder has a RSRP increase of 0.86 dB and a SINR increase of 1.67 dB. The
test pairs in the outdoor coverage room are shown in Table 2.
Table 2. Comparison of indoor coverage performance of NB-IoT independent antenna feeder

Outdoor covered RSRP SINR
indoor Total Independent Gain Total Independent Gain
antenna antenna antenna antenna
**Department –111.48 –113.87 2.3895 8.884 7.2475 1.6365
**Big hotel –86.135 –93.888 7.753 5.1665 0.349 4.8175
**Professional –81.393 –83.79 2.397 12.9915 6.9085 6.083
Engineering College
** Hotel –96.108 –99.906 3.79798 7.45429 3.37667 4.07762
**University –120.26 –117.46 –2.8064 1.93071 –0.3179 2.24857
underground garage
University cafeteria –91.887 –93.553 1.6655 6.306 4.3955 1.9105
Average –97.877 –100.41 2.53276 7.12217 3.65988 3.46228
The test results show that the outdoor coverage room, the NB-IoT independent
antenna feed has a 2.5 dB increase in RSRP and a 3.5 dB increase in SINR.
Summary: Under the NB-IoT independent antenna feed scenario, the RF opti-
mization adjustment scheme will not be affected by the different coverage targets of
GSM and FDD networks, and no joint optimization is needed. The azimuth can be
independently combined with the requirements of NB-IoT network coverage opti-
mization. The adjustment of the mechanical downtilt angle, the electronic downtilt
angle and even the antenna hanging height optimizes the RF optimization effect.
According to field test research, the independent antenna feeder network has a sig-
nificant effect on the optimization of depth coverage.
4 Collaborative Optimization Based on Business

Characteristics
4.1 Internet of Things Business Characteristics

The Internet of Things business itself has the characteristics of “large difference in
business model, large difference in service level, and high demand for concurrent users
in the industry”. From the statistics of the NB-IoT test area of the current network, the
statistical results of different business models show large differences. Collecting the
maximum number of users in a single time period in 24 h of the test area, it can be seen
that the statistical data is consistent with the online time of the water meter, as shown in
Fig. 3.
512 P. Liu et al.
Fig. 3. NB-IoT single-time maximum number of users.
The maximum number of users in the 24 h of a single cell in the test area is
collected. It can be seen from that the statistical data is consistent with the on-line time
of the street light, as shown in Fig. 4.
Fig. 4. NB-IoT single cell maximum number of users in each period.
4.2 NB-IoT Access Capability Analysis

The terminal accesses the NB-IoT network by two processes: first accessing the net-
work and then allocating resources. The random access capability depends on the Msg3
message processing capability; the ability to allocate resources depends on the NB-IoT
schedulable resources. There are two main factors affecting the concurrent access
processing capability: one is the PRACH period size, and the other is the allocation of
traffic channel resources in the access process [12].
When the PRACH period is 320 ms, the theoretical maximum concurrent access
user is 37.5. The theoretical maximum number of concurrent access users is calculated
as follows:
Theoretically concurrent access to the largest number of users

duration 1000 ms ð3Þ
¼ PRACH number of subcarriers ¼ 12 ¼ 37:5
PRACH period 320 ms
NB-IoT network defaults that the PRACH channel occupies 12 subcarriers, and
each user access occupies one subcarrier. Under the better conditions of the wireless
environment, 12 terminals initiate random access at the same time, and the RRC access
time to all terminals is 0.93 s. The Msg2 to Msg5 resource allocation process takes
0.92 s, and the 1 s supports up to 12 concurrent users. From this point of view,
concurrent access is mainly limited by the resource allocation in the process of Msg2 to
Msg5.
The NB-IoT access capability mainly considers two aspects: one is the maximum
number of RRC connected users, and the other is the number of valid RRC connected
users. At present, the maximum number of RRC connected users of Huawei and ZTE is
600.
Through calculation, the maximum number of valid RRC connected users in
100 ms is 150, calculated as follows:
The maximum effective number of users in the uplink theory. In the Single-tone
15 kHz subcarrier mode, each user occupies one RU, and the resources occupied by the
PRACH are not considered.
Maximum number of valid usersð100 msÞ

NBIoT frequency domain bandwidth duration 180 kHz 100 ms
ð4Þ
¼ RU frequency domain bandwidth RU duration ¼ 15 kHz 8 ms ¼ 150
In the simulation calculation, the maximum number of valid RRC connected users
is 50, which is calculated as follows:
Simulate the maximum number of effective users. Under the better conditions of the
wireless environment, the Single-tone 15 kHz subcarrier mode is used for uplink
scheduling simulation. Each uplink user occupies an average of 2.5 RUs. Considering
the PRACH resource consumption and scheduling efficiency, the 8 ms average
scheduling is calculated. The number of uplink users is four.
Number of valid RRC connected users ð100 msÞ ¼ 100 ms=8 ms * 4 ¼ 50 ð5Þ
In theory, each uplink user occupies 1 RU. In fact, the row user occupies an average
of 2.5 RUs because the number of valid users decreases to 50. One RU frequency
domain is 15 k and the time domain is 8 ms.
Summary: NB-IoT access capability is mainly limited by the capability of con-
current access processing. Constrained concurrent access will generate a large amount
of retransmission signaling, causing signaling avalanche. The research and verification
of the concurrent access processing capability of NB-IoT base stations under different
coverage levels is carried out. By verifying the concurrent access test of 60 terminals,
the access can be concurrently transmitted under coverage level 0 and coverage level 1,
and only 36 concurrent accesses can be accessed under coverage level 2.
514 P. Liu et al.
5 Conclusion
NB-IoT network construction is initially completed, but the overlapping coverage and
interference problems are prominent; the overall coverage quality is up to standard, but
there are still coverage holes and continuous weak coverage sections; at this stage, NB-
IoT is mainly covered by macro stations, which can solve the problem. 90% indoor
general scene coverage, however, some indoor complex and difficult scenarios need to
further study the low-cost, easy-to-deploy NB indoor scene coverage scheme. In the
optimization analysis of the problems that have occurred in NB-IoT, it can be found
that the terminal management and control capabilities are lacking. Each terminal
manufacturer can define the frequency and time of the terminal access network. If a
large number of terminals simultaneously access the network, it will lead to network
congestion and even network congestion. Signaling storm; when the market is required
to promote the business, the traction customer is aligned with the NB-IoT platform, and
the technical department communicates with the industry manufacturers before the
business application commercial. In addition, end-to-end analysis methods are lacking:
the enabling of industry terminals, in addition to the ability of operators to end-to-end
pipelines, depends on the ability of the manufacturer to manage the platform. For
example, the lamp management platform fails to control the lights, and the motorcycles
cannot be reported. Cycling status, etc.; end-to-end analysis means should be imple-
mented and improved as soon as possible to clarify the problem demarcation. For non-
network reasons, urge customers to check.
References
1. He, X., Song, L.: NB-IoT uplink coverage performance based on rate requirements.
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deployment. Mobile Commun. 78–84 (2017)
3. Guo, B., Liu, Y., Zhang, Y.: Discussion on NB-IoT wireless throughput and low power
consumption technology. Mobile Commun. 84–89 (2017)
4. Xu, L., Chen, Y, Schormans, J., et al.: User-vote assisted self-organizing load balancing for
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5. Chao, Z., Gao, Y., Ding, H.: Analysis of NB-IoT performance. Mobile Commun. 47–52
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6. Feng, C.: Discussion on the strategy of narrowband internet of things deployment. Mobile
Commun. 64–68 (2017)
7. Yan, S., Huang, J.: NB-IOT coverage analysis based on theory and measurement. Mobile
Inf. 72–74 (2016)
8. Wang, Y.: NB-IoT technology and network deployment. Electron. Test. 60–61 (2017)
9. Ritao, C., Anda, D., Fanli, M.: Preliminary study on planning objectives and planning of
NB-IoT. Telecommun. Sci. 137–143 (2016)
10. Liu, Y., Dong, J., Liu, N.: Key technology and planning simulation method of NB-IoT.
11. Zhang, J.: Research on NB-IoT deployment strategy of China mobile. Mobile Commun.
25–30 (2017)
(2018)
A Gender and Age Prediction Algorithm Using
Big Data Analytic Based on Mobile APPs
Information
Jie Gao(&), Tao Zhang, Jian Guan, Lexi Xu, and Xinzhou Cheng
Research and Development Centre of Big Data, Unicom Network Technology

Research Institute China, Beijing, People’s Republic of China
{gaojie49,zhangt176,guanj9,xulx29,
chengxz11}@chinaunicom.cn
Abstract. In the current society, almost everyone can’t do without a mobile

phone. As the rapidly expansion of smartphone and app market in recently
years, the current 35%–40% penetration of smartphone in the mobile phone
market will reach to 60% by the year 2019. The customers use their mobile
phones to browse internet, have chat and play popular game almost at anywhere
and anytime. As a result, mobile phone carries almost all of a person’s behavior
and preferences. In that way, user’s personal information such as gender and
age, demographic attribute that is frequently used in precision marketing, can be
accurately predicted. In this paper, a gender and age prediction algorithm
(GAPA) is proposed to predict user’s gender and age by using established
supervised machine learning. The numerical results show that the algorithm
proposed in this paper is high-efficiency and is able to control the loss function
near 2–3.
Keywords: Big data Data mining Machine learning Prediction algorithm
1 Introduction
As the rapidly development of telecommunications and smartphone, almost everyone

can’t do without the personal mobile phone. From Ericsson Mobility Report, it show
that during nearly development of 5 years, the smartphone penetration in the mobile
market will increase from 30% to 60% by the year 2019. People use their mobile
phones to browse internet, have chat and play popular game almost every day. As a
result, the mobile phone carries nearly all of a person’s behavior and preferences. The
record data, such as installed APP list, APP usage record, type and price of the mobile
phone which are collected by tracing platform will contain abundant information of the
customers. In that way, user’s personal information such as gender and age can be
accurately predicted by using machine learning technology. This information can be
widely used to provide personal targeted advertising. It can not only help APP com-
panies understand their users’ behavior characteristics, iterate products, but also help
enterprises to more accurately deliver Internet advertising and save advertising costs.
Recently, in [1], the author proposes that the behavioral targeted advertisements could

https://doi.org/10.1007/978-981-13-7123-3_60
A Gender and Age Prediction Algorithm Using Big Data Analytic 517
improve the click-through-rates of advertisement effectively. To achieve this objective,

big data and machine learning technology have the ability to provide nearly real-time
solutions for processing the huge amount of data collected from tracing platform.
There have several famous supervised algorithms in machine learning technology
such as Support Vector Machines (SVM), Logistic Regression (LR), and Decision
Trees, i.e. The gender of customers is divided into male and female. The information of
age can be represented by 10 years per group. From the above, the prediction of gender
and age can be converted as a problem of classification. There are also some classical
algorithms to solve the problem of classification, such as Decision Trees, GBDT
(Gradient Boosting Decision Tree), and XGBoost algorithm, i.e. For example,
XGBoost is an optimized distributed gradient boosting library designed to be highly
efficient, flexible and portable. It implements machine learning algorithms under the
Gradient Boosting framework [2]. Later after XGBoost, LightGBM was proposed by
Microsoft to improve the performance of boosting algorithms [3]. As a result, it can
reduce the calculation cost of split gain and use histogram subtraction for further speed-
up. Based on the machine learning algorithms mention above, we develop a framework
to estimate the gender and age of mobile users by the installation and usage of APPs.
This paper is organized as follows, in Sect. 2, researches related to prediction of
user’s information are discussed. Section 3 shows the scheme of GAPA algorithm.
Section 4 describes the numerical results of the accurate scheme by analyzing the
tracing data. At last, conclusions of this paper are given in Sect. 5.
2 Relevant Work
To the best of our known, the feasibility of demographic inference through various
tracing data of the customers has been proposed many times in the past. For example,
the authors of [4] proposed a solution of predicting gender, age and religion tendency
of the mobile users based on the search queries from SNS, such as Facebook, i.e.. In
[5], the authors developed a scheme to predict demographics such as relationship, age
and gender. The scheme is not only based on the behavioral features of application
usage, voice call usage, and SMS usage, but also refers to the environment features,
such as Bluetooth and WiFi devices detected per day on mobile phones. Also in [6],
Suranga gave a warning that there will be multiple privacy and security issues with the
data collection through over-permission platform and share with other companies. In
order to verity the affection, the authors presented a framework to predict mobile users’
gender based on installed APPs simply and the accuracy could reach around 70% in the
numerical results.
Mobile phones are widely used worldwide [7–9]. The proposed gender and age
prediction algorithm is based on the LightGBM method by collecting the tracing data
such as installed APPs, records of APPs usage, type and price of the mobile phone. In
order to enhance the accuracy of prediction, cross verification scheme is applied in the
proposed GAPA. Through repeated iterative calculations based on the training data set,
we use the most accurate set of the features’ importance to train the forecast data set.
Then we check the accuracy of this calculation model by the log-loss function.
518 J. Gao et al.
3 A Gender and Age Prediction Algorithm Based on Machine

Learning
In order to enhance the accuracy of prediction, LightGBM algorithm and cross veri-
fication scheme is applied in the proposed GAPA. Figure 1 presents the process of
GAPA and the whole process can be divided into five steps: data collection, feature
engineering, model training, cross verification and results evaluation.
N
Step 2 Step 3 Step 4
Step 1
Training Set
Feature
Begin Data Collection Model Training Meet the target?
Engineering
Forecast Set
Data Processing Model Training
Step 5
Results Evaluation
End
Fig. 1. The flowchart of GAPA
3.1 Step 1: Collection

The first step is data collection, the collector in the tracing platform will gather user’s
mobile information, such as user ID, mobile brand, mobile sub-brand, mobile price,
gender and age. Of course, we set the data cluster with gender and age as the training
set, and set the data cluster without gender and age information as the forecast set. In
this study, we collect nearly 73000 android users’ information, and out of 50000
android users who provide the information of gender and age. We set this data of users
as training set. In this data set, there are 32324 (64.6%) male and 17676 (35.4%)
are female.
Beside the user’s mobile information, user’s APP information is also collected by
the collector. It contains user ID, APP, APP series, APP sub-series, start time and end
time record of the APP usage. Tables 1 and 2 describe the fragmentary of the two kind
of data collected from tracing platform. In the next step, we will separate this data and
promote the feature engineering which is the key processing of GAPA.
Table 1. User’s mobile information

User ID Brand Sub brand Price Gender (training) Age (training)
f69cdc Samsung GT-I9507 V 2538 1 3
Table 2. User’s APP information

User ID APP Series Sub series Start time End time
10125 8c4ac9e Financial Investment and finance 2018-6-1:8:00:00 2018-6-1:8:00:00
3.2 Step 2: Feature Engineering

Step 2 is feature engineering, which is the most important segment in each machine
learning project. In this process, we need to pick up features which have the most
influential and discriminative ability to classify and identify the user’s information. In a
word, the more studies we do in the step, the more accuracy result we will get from the
machine learning algorithm. First of all, we need to have statistical analysis of the
training set which have 50000 users’ data.
Before the study, we set a regulation for the target features, gender and age. It is
presented in Table 3.
Table 3. Regulation for gender and age

Gender Index Age Index Age Index Age Index
Male 1 0–10 0 30–35 4 50–60 8
10–20 1 35–40 5 60–70 9
Female 2 20–25 2 40–45 6 70–80 10
25–30 3 45–50 7
We represent the male and female as 1 and 2, we divide the age as 10 years for each
group. For example, the users who are in the 25–30 group will be represented by 3 in
the age feature.
3.2.1 Basic Features

Basic features show the rule of statistics for the basic information in the training set.
Figure 2 describes the distribution of mobile brand in training set, it is obviously
that no matter in male and female, Xiaomi, Samsung and Huawei are the top three
market share in the android smartphone. The occupation ratio of Xiaomi is 20.5% and
18.7% in male and female separately. In Fig. 3, the distribution of age in different
mobile brand is shown. From the figure, we can find a rule that the top three market
share brands have intensified competition for the young consumers below 30 years old.
3.2.2 APP Features

APP features describe the installed and usage statistical rules in the training set.
Figure 4 shows the distribution of installed APP in different gender. For the male in left
figure, the top three favorites APPs are social, mobile shopping and App-Manager. On
the other side, social, mobile shopping and physical health are the most favorites APPs
amount female customers. This market rule is formed by the different living habit, way
of thinking and physiologic structure.
520 J. Gao et al.
Fig. 2. The distribution of mobile brand in training set
Fig. 3. The distribution of age in different mobile brand
Fig. 4. The distribution of installed APP in different gender
What is more, we select game and physical health as the representative APP series
for different gender to analyze the rule more deeply. In Fig. 5, the physical health series
is a very popular series amount the female consumers during 20 to 50 years old. The
penetration of game series demonstrate a young tendency in male group, as the users
below 40 years will be more likely to install and play for fun.
Fig. 5. The distribution of physical and game in different gender
From the above analysis, we chose TF-IDF (Term Frequency–inverse Document

Frequency) algorithm which is a very famous algorithm is information retrieval to
process the installed APPs information which is a kind of literal-type data. TF-IDF is
an algorithm that is intended to reflect how significant a word that is to a document in a
collection or corpus.
In the case of the TF, the simplest choice is to use the raw count of a term in a
document. It can be described as follow:
ni;j
TFi;j ¼ P ð1Þ
k ni;j
where ni;j is the number of times that term t occurs in document d, the denominator is
the total number of words in d.
The inverse document frequency is a measure of how much information the word
provides. It can be described in (2):
jDj
ITFi = log ð2Þ
jfj : ti 2dj gj
where |D| is the total number of documents in the corpus, {j: ti 2 dj} is the number of
documents where the term t appears.
Then TF-IDF is calculated as (3):
TF ITFi;j = TFi;j * IDFi ð3Þ
The TF-IDF value will increase as the number of times that a word appears in the
corpus proportionally.
3.3 Step 3: Model Training

As mention above, GAPA is based on big data and machine learning technology, we
studied GBDT, Xgboot and LightGBM, which are famous algorithm in machine
learning. After comparison of the accuracy and complexity, we chose LightGBM as the
522 J. Gao et al.
core algorithm of GAPA. The parameters for the lightGBM in Python is set as follow
(Table 4):
Table 4. Regulation for gender and age

Boosting_type Max_depth Metric Num_class Objective Random_state
gbdt 3 Multi_logloss 22 Multiclass 666
3.4 Step 4: Cross Validation

In this step, cross validation scheme is used to optimize the parameters of iteration trees
in LightGBM algorithm. Cross validation is any of various similar model validation
techniques for assessing how the results of a statistical analysis will generalize to an
independent data set. It is mainly used in settings where the goal is prediction, and one
wants to estimate how accurately a predictive model will perform in practice. We fold
the training data into 5 pieces, 1 piece for training and the rest for validation.
3.5 Step 5: Results Evaluation

In order to evaluate the performance of the built model, we use loss-log function to
profile the accuracy of the prediction result. The loss-log function is presented in
formula (4):
1X N X 22
Loss ¼ yij lnðpij Þ ð4Þ
N i¼1 j¼1
where i is the number of users in forecast set, j is the different group of users divided by
gender and age, yij is whether a user is in the group of j or not, and pij is the probability
calculated by the GAPA for each user.
In a solution, the Loss-log is the cumulative sum of the error between the reality and
the prediction result. Apparently, 0 is the ideal target of the proposed algorithm.
4 Numerical Result
In this paper, the case analysis of machine learning is based on the user’s mobile
information collected by tracing platform. The data sets is processed and analyzed by
Sklearn in the Python environment (Fig. 6).
From the above, we can observe a disciplinary rule that the performance of GAPA
will be improved as the accumulation of features. Because all the basic features are
gains for the Sklearn algorithms. The inflection point happens when we add the
‘Top30–40 apps is installed’ features in the algorithms. Because this ten features
contain some interferential features that is an interference to classify the forecast data
set. The best result in our experiment is 2.67 by using the LightGBM algorithm.
LightGBM Xgboost GBDT

4.65 4.66
4.5
4.35
4.26
4
3.90 3.88
3.5
3.46
3.26
3.20 3.19
3.15
3.06 3.05
3 3.02
2.80
2.71
2.67
2.5
+BRAND +PRICE +DURATION +TFIDF_SUM +SOCIAL +PHYSICAL +TOOLS +TOP20APP IS +TOP40APP IS
INSTALLED INSTALLED
Fig. 6. The distribution of precision for different algorithms
5 Conclusions
In this paper, a gender and age prediction algorithm based on big data analytic and
machine learning is proposed for study. The proposed framework can predict the user’s
information by machine learning algorithm with accuracy of 2.67. The proposed
algorithm considers more aspects and features than the algorithms in [4–6]. Also, the
precision can be improved unceasingly. In the end, we give the performance of GAPA
is significant by analyzing the collected data in the last part. And the results show that
the GAPA scheme can be generalized in the area of targeted advertising.
References
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by predicting user’s behavioral data and next location. In: Conference 2018, ICISC, pp. 1345–
1350. IEEE (2018)
2. Chen, T., Carlos, G.: Xgboost: a scalable tree boosting system. In: Conference 2016, ACM,
pp. 785–794. IEEE (2016)
3. Ke, G., Meng, Q., Finley, T.: LightGBM: a highly efficient gradient boosting decision tree. In:
Conference 2017, NIPS, pp. 342–353. NIPS (2017)
4. Bi, B., Shokouhi, M., Kosinki, M.: Inferring the demographics of search users: Social data
meets search queries. In: Conference 2013, World Wide Web, pp. 131–140. IEEE (2013)
5. Aarthi, S., Bharanidharan, S., Saravanan, M.: Predicting customer demographics in a mobile
social network. In: Conference 2011, International Conference on Advances in Social
Networks Analysis and Mining, pp. 553–554. IEEE (2011)
6. Chen, J., Wang, C., He, K.: Semantics-aware privacy risk assessment using self-learning
weight assignment for mobile apps. IEEE Trans. Dependable Secur. Comput. pp, 1 (2018)
7. Xu, L., Luan, Y., Cheng, X.: Telecom big data based user offloading self-optimisation in
heterogeneous relay cellular systems. Int. J. Distrib. Syst. Technol. 8, 27–46 (2017)
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8. Xu, L., Cheng, X., Chen, Y., Chao, K., Liu, D., Xing, H.: Self-optimised coordinated traffic
shifting scheme for LTE cellular systems. In: 1st EAI International Conference on Self-
Organizing Networks, pp. 67–75. Springer press, Beijing (2015)
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Qingdao (2018)
Medium-Extended-Range Weather Forecast
Based on Big Data Application
Yong Li, Wei Huang(&), Zhengguang Hu, Huafeng Qin,

and Menglei Xu

huangwei@cma.gov.cn
Abstract. The National Meteorological Center initially completed the con-

struction of the Medium-Extended-Range Weather Forecast (MERWF) opera-
tional system in 2018. The system uses browser/server system architecture to
support concurrent operation of hundreds of terabyte real-time and historical
data, through the introduction of large data core technologies such as distributed
storage and distributed computing. The key technical problem of MERWF,
which is the fusion of real-time data and historical data, is solved. It greatly
improves the efficiency of data access and display, and realizes the development
of MERWF technology products based on the big data analysis and the effective
extraction of predictable information. Based on big data analyses, an application
technology system of MERWF is then established for the first time in national
business department, to meet the objective and intelligent needs of modern
meteorological business.
Keywords: Big data Medium-Extended-Range Forecast Application
1 Introduction
With the development of modern weather forecast services, the amount of data in all
fields of meteorological services, including meteorological observations, numerical
model simulations, objective derivatives and diversified services, has grown geomet-
rically. The massive data is used in MERWF services, which constitutes a big data
environment. At present, the national forecast operation system is the Meteorological
Information Combine Analysis and Process System (MICAPS) developed by the China
Meteorological Administration (CMA). The system has been developed to the fourth
edition and has begun to support the storage and access of massive real-time data. But
the fusion of real-time data and historical data, as well as the big data analysis technical
integration, still cannot satisfy the modern MERWF. Its existing client/server infras-
tructure is also not conducive to effectively integrating the multitudinous supporting
technologies and products developed in recent years. There is very little time for
forecasters to use big data analysis and fine-tuning. At the same time, the current
MERWF is still challenged by the limitations of basic theory, model level,
Supported by the National Science and Technology Support Program of China (2015BAC03B07).

https://doi.org/10.1007/978-981-13-7123-3_61
526 Y. Li et al.
predictability, etc., which has become a hindrance for forecasters to efficiently correct
and integrate multi-source forecast information. It makes forecasters unable to get more
forecast information and conduct sufficient data mining in a limited time and has
seriously affected the efficiency of work. Therefore, according to the needs of business
development, it is urgent to build a new generation operational system which could
support the integrated business processes and big data analysis, and this is exactly what
this paper will introduce.
2 The Construction Background of MERWF Operational

System
2.1 Big Data Characteristics of MERWF

The MERWF covers the next 4–30 days. Since the atmospheric system is a highly
nonlinear chaotic system, the uncertainty of forecast increases rapidly with the increase
of leading time. The ensemble forecast, which would usually produce a large amount of
data, is widely used to deal with this long-range nonlinear uncertainty. Meanwhile, in
order to reflect abnormal weather signals such as weather trends, important weather
processes, key circulation systems, monsoons and rainy seasons, it is necessary to
apply a large number of historical data and derived data. Such operations, including
multi-type and high-dimensional data processing, data value mining, and efficient
interactive operations, which are all based on the massive data, have gradually become
the core of data analysis application on MERWF.
2.2 Issues and Goals of Big Data Application

At present, the national meteorological department has built a server cluster system for
hundreds of concurrent users, which can accommodate meteorological real-time data in
the order of 102 TB. It basically realizes the real-time storage, read and write functions
of high-resolution observation and numerical model data [1–3]. But the system cannot
meet the specialized needs of medium-extended-range weather forecasts and services.
The main disadvantages are as follows. First, the storage and processing of massive
historical data is insufficient. Second, the interpretation application on MERWF is not
enough. Third, it is unable to extract the high-value information based on the big data
comprehensive application, such as the predictability.
Our goal is to build an operation system based on big data applications that can meet
MERWF. So, we need to build a big data distributed application environment and
interactive display platform, covering meteorological and user databases, wherein the
meteorological databases include real-time databases and historical databases. Further-
more, the MERWF technology based on big data analysis should be integrated, and then
we could realize the forecast technical process with monitor, forecast and service inte-
grated together. Thus, establish intensive, objective and intelligent weather forecast to
satisfy the demands of modern meteorological business development.
Medium-Extended-Range Weather Forecast 527
3 System Architecture of MERWF
The MERWF operational system is a specialized big data application system built on
the MICAPS4 network platform [3]. It adopts the browser/server system architecture
and chiefly includes three parts: basic environment of big data, big data processing
system and front-end interactive analysis display (Fig. 1).
Front-end interactive analysis display

The MERWF analysis product Basic geographic Making and publishing
display information display products
Search Interaction Layer property control Statistical analysis module
Web browser HTML5
Big data processing system

Cache Message transmission path Polling Quality control
Basic data parsing and Meteorological data

Algorithm preprocessing
reconstruction preprocessing
Distributed computing system STORM REDIS
Basic environment of big data

Real-time database Historical database Relational database
Cassandra (TimesTen) (MySQL)
Basic geographic information CIMISS Local business data
Fig. 1. System architecture of MERWF.
3.1 Basic Environment of Big Data

The data sources of the operation system mainly include meteorological service data in
China Integrated Meteorological Information Sharing System (CIMISS), basic geo-
graphic information service data, and local applied meteorological service data. These
data can be divided into real-time data and historical data. Real-time data uses Cas-
sandra as the storage system [2]. Cassandra is a point-to-point distributed system based
on key-value, which is suitable for multi-dimensional data space. Historical data is
principally stored in the memory database (Timesten). That is, the data is directly
manipulated in the memory, and the database processing speed is more than 10 times
faster than the traditional disk storage. At the same time, in view of the characteristics
that the MERWF involves a complex and highly correlated data model, a relational
528 Y. Li et al.
database management system (MySQL) is used to satisfy this requirement. The system
builds comprehensively distributed database architecture by introducing a variety of
databases, which basically meets the storage and access requirements of massively
concurrent system.
3.2 Big Data Processing System

We have adopt STORM [4], a distributed real-time big data processing framework, to
expand the functions of the MERWF operational system, such as the big data pre-
processing system and product processing system. The forecast operational system also
realizes the unified and efficient processing of meteorological data analysis, memory
data structure organization, data analysis, graphic process and product output. Mean-
while it supports the computational processing node parallelism and functional mul-
tiplexing. As an open source distributed computing system, STORM can handle large
data streams easily and reliably, and support applications such as real-time analysis,
online machine learning and continuous computing [4, 5]. It especially suits to the
calculation and analysis of meteorological data characterized by massive, multi-source
and real-time, etc. It also can guarantee the efficient real-time network publishing of
basic data, and the real-time distributed processing requirements of basic meteoro-
logical elements could also be satisfied.
The distributed processing program of the MERWF operational system uses real-
time message monitoring to record the arrival, update and deletion of various meteo-
rological data information, as well as the front-end interactive display of graphical
interface and the operation applications of statistical analysis. These instant messages
will enter the memory database (REDIS) as a message index queue. REDIS has an
efficient indexing Key-Value performance for massive data [6]. The topology of the
STORM cluster will immediately obtain the data index from the memory database
(REDIS) message queue. Each topology will rapidly find the corresponding data
according to the index and enter the subsequent unit to calculate and analyze the data.
3.3 Front-End Interactive Analysis and Display

The browser of the MERWF operational system is based on the HTML5 network
platform. The Canvas and WebGL drawing interfaces provided by HTML5 have strong
performance on real-time rendering of vector data and raster data. WebWorker parallel
processing can provide a smoother interface response when performing complex
analysis operations. HTML5 has transformed Web browsers from simple rendering into
a runtime environment that provides rich interactive applications in numerous fields
[7], and interactive analysis display is exactly the basic requirements for visualizing
MERWF products. Real-time operations including multi-layer overlay, map zooming
and roaming, projection switching, display mode switching, statistical analysis, etc.
have high requirements on the processing speed of the system. After testing, the
average response time of the systematic front-end display product is not more than 1 s.
In addition, in order to further reduce the processing pressure on the webpage side, the
system uses pre-processing drawing on the server pretreatment for common graphic
products by means of algorithms or software like Python, Grads, etc.
4 MERWF Technology Based on Big Data Analysis
The difficulty of MERWF techniques is to effectively excavate the predictable infor-

mation, which is hidden in interrelated historical and real-time data. The MERWF
operational system firstly uses the big data comprehensive application analysis as the
core of platform construction. Based on big data analysis, the operational system inte-
grates techniques such as abnormal weather forecast information extraction, extreme
weather process forecast, statistical post-processing forecast and machine deep learning.
4.1 Technology of Abnormal Weather Forecast Information Extraction

Based on the basic principles of meteorology, the real-time observation data, numerical
models, historical observations, and reanalysis data are interpreted and applied.
Through multi-element and multi-level conjoint analysis, the spatio-temporal distri-
bution anomaly signals of large-scale circulation are effectively extracted, such as an
index sequence that reflects the abnormal evolution of the atmospheric circulation; the
anomaly, the standardized anomaly, and the abnormal percentile that reflect the spatial
distribution anomalies of the surface elements.
4.2 Forecast Technology of Extreme Weather Process

By use of an objective identification method, Li et al. [8] established a historical case
database of extreme precipitation processes in specific seasons and regions. Through
the analysis of big data in high, middle and low level circulation fields, the key
circulation indexes were extracted. We can select a variety of eigenvalues for each
characteristic index. The eigenvalues of different indexes can be freely combined,
which is equivalent to constructing a massive retrieval model. According to the pre-
dictability of the model prediction, a certain priority can be set for objective automatic
retrieval. Figure 2 shows the specific forecasting technology flow.
Historical case database
Compared
Filter Filter Sort
Forecast
Filter Selected cases
Eigenvalue1
Eigenvalue1 Eigenvalue1 Eigenvalue1
Index Eigenvalue2 Index
Eigenvalue2
Eigenvalue3
Index 3 Eigenvalue2 ... Index n Eigenvalue2
Eigenvalue3 Eigenvalue3 ...
Eigenvalue4
Fig. 2. Technology flow of extreme weather forecast.

530 Y. Li et al.
4.3 Statistical Post-processing Forecast Technology

For different forecast objects, the factors with high correlations are selected, and the big
data are applied to traditional statistical post-processing techniques such as Chebyshev
[9], natural orthogonal decomposition [10], Logistic correction [11], ingredients based
method, frequency matching, and ensemble optimal percentile [12, 13], multi-mode
integration [14], and prediction techniques like multivariate time-delay regression
model, multivariate time-delay regression/principal component complex autoregressive
model, etc. [15], to construct training model and produce forecasts with ensemble
forecast data.
4.4 Machine Deep Learning Technology

As the core of artificial intelligence, machine deep learning has developed rapidly in
many fields. Its advantages lie in the ability of automatically acquiring data features
through learning algorithms. At present, the theory and method of machine deep
learning have been initially applied to the field of meteorological forecast. For example,
Bayesian classifier [16], neural network [17], clustering [18], support vector machine
(SVM) [19] and other algorithms are used to analyze and forecast meteorological
elements and circulations. Some of these products have been initially applied in
MERWF operational system, such as precipitation correction products (Fig. 3) based
on SVM-Multi-Mode Integration (SVM_MEF). It can be seen from the figure that
(a) (b)
(c) (d)
Fig. 3. (a) Observational precipitation on June 23th, 2012, and the corresponding
(b) SVM_MEF forecast, (c) EC_C forecast, and (d) EC_M forecast [19].
compared with control forecast (EC_C) and ensemble average forecast (EC_M) in the
European Centre for Medium-Range Weather Forecasts, forecast effect of SVM_MEF
is significantly better.
5 System Function and Interface Design
The browser of MERWF operational system includes multi-source big data, subjective
and objective comprehensive analysis and forecast, service and evaluation, etc. It is
divided into 8 functional modules: historical background, monitoring, numerical model
interpretation, predictability analysis, objective forecasting, business evaluate, product
production, and customer service (Fig. 4). Each module has a unified application logic
relationship, which is consistent and reflects the professional technical process of
MERWF services.
Service and evaluation
product production
customer service
Multi-source Comprehensive
big data Big data analysis analysis and
historical and application forecast
background predictable analysis
monitoring objective forecast
numerical model business evaluate
interpretation
Fig. 4. The function modules of the MERWF operational system browser.
The visual user interface contains three parts: the functional area, the attribute area,
and the display area. The function area is located at the top of the page, including the
system function main menu and sub menu. The attribute area is situated on the left side of
the page, and is flat-designed for different modules, including data attribute character-
istics such as mode type, meteorological element, geographic range, etc. The display area
532 Y. Li et al.
is located in the right side of the page, which displays product information such as
graphics, text, and corresponding attribute operations.
The MERWF usually need to display multi-dimensional data comprehensively. The
visual products with high business value should be produced through analysis,
reconstruction, and information extraction. Products often contain a large amount of
data such as historical data, real-time data, forecast data and inspection data, which can
reflect the changing trend, abnormal signals and predictability of the weather system.
6 Summary and Outlook
The MERWF operational system uses distributed data storage and distributed com-
puting technology, and significantly improves the application capability and access
efficiency on multi-type, high-dimensional, and complex-related meteorological data.
The system has realized efficient integration of massive real-time data and historical
data, as well as the integration of big data with forecasting techniques. The specialized
big data application system of MERWF is initially constructed. Furthermore, the
MERWF business process which integrates monitoring, forecast and service is also
established.
The system has been applied in the national forecast business department and some
provincial meteorological business departments, which has shown good versatility and
stability. However, big data applications are still focused on big data mining within the
meteorological industry. In the future, it will gradually expand to cross-industry data
and form a broader data application platform. We will focus on such intelligent
development directions, including forecast technology integration, efficient function
expansion, improving on system performance, personalized service and convenient
management. With the continuous development and improvement of the system, it
could efficiently support the development of national MERWF services.
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and medium-range weather forecast. Meteorol. Mon. 42(12), 1445–1455 (2016)
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(2018)
Application Research of Big Data in Heavy
Rainfall Forecast Model in Meiyu Season
Shan Yin(&), Jie Ma(&), Ronghua Jin, and Ningfang Zhou

yins@cma.gov.cn, majie@mail.iap.ac.cn
Abstract. In this paper, 33 classic Meiyu precipitation processes in recent 30

years are selected by using historical observation big data, and the inter-annual
variation characteristics of heavy rainfall location are analyzed by descriptive
big data analysis method. Besides, it is verified that there is a close connection
between rainfall location and 500 hPa 5840 geopotential meter isoline. How-
ever, serious errors appeared in the forecast model during the medium-range
precipitation forecast (4–10 days) from June 30th to July 4th, 2016. Therefore,
in this paper, the causes of errors are analyzed by diagnostic big data analysis
method using European Centre for Medium-range Weather Forecasts (ECMWF)
ensemble forecast data. The results show that the premise for an accurate
forecast by the classic forecast model is that, the heavy precipitation process
must be accompanied by a southward-moving cold air. As the precipitation was
a warm area rainfall in the monsoon region, errors were caused by the lack of
high-level cold air participation. On one hand, this study proves the important
impact of southward-moving cold air on the accuracy of rain belt location
forecast. On the other, it will undoubtedly serve as an important reference for the
subjective correction of the rain belt location in the forecast operation.
Keywords: Big data Rain belt during Meiyu season

5840 geopotential meter isoline Monsoon Jet
1 Introduction
Meiyu rainfall generally occurs over the Yangtze-Huaihe River Valley (YHRV) from
the beginning of June to July each year. Therefore, it is also known as the Jianghuai
Meiyu which accomplished by frequent heavy rain, large precipitation and concentrated
rainy days. According to statistics, the precipitation of the Jianghuai Meiyu accounts for
about 45% of total summer rainfall. Studies have shown that the Meiyu rain belt usually
shows a quasi-zonal direction around 30°N in eastern China, presenting a long strip
shape [1, 2], while it shows an east-northeast direction in the Korean Peninsula and
Japan [3, 4]. Therefore, the location and residence time of the Meiyu rain belt often
determine the spatial distribution variability of precipitation over the YHRV. In addi-
tion, due to the narrow shape of the YHRV, the location of the rain belt is often the key
and also the difficulty in the weather and climate forecast operation. Previous studies
have paid great attention to the Meiyu rain belt. Some discussed the causes of the rain
belt from the perspective of Meiyu front structural characteristics [3]. Some studied the

https://doi.org/10.1007/978-981-13-7123-3_62
Application Research of Big Data in Heavy Rainfall Forecast Model 535
variation characteristics of rain belt location, range and intensity on inter-annual and
inter-decadal time scales [5]. Besides, some other researchers discussed the factors
affecting the location of the rain belt, such as the winter sea temperature and the various
subsystems of the summer monsoon circulation [6, 7]. The relationship between the
westerly jet and Meiyu rainfall shows that when the westerly jet is strong (weak), the
rain belt locates further south (north) [8]. In the short-range and medium-range (1–10
days) forecasts, forecasters often refer to the 500 hPa 5840 geopotential meter isoline
when considering the Meiyu rain belt location over YHRV, because the isoline usually
corresponds to the Meiyu front location [9].
From June 30th to July 4th, 2016, the strongest precipitation process occurred since
the beginning of the Meiyu season this year. The middle and lower reaches of Yangtze
River MLYR suffered heavy rainfall with an extreme precipitation of 800–948 mm
observed in some areas of Huanggang, Hubei Province. It is shown by post analyses
that compared with observations, the rain belt intensity in short-range and medium-
range subjective and objective forecast is obvious weaker, and the east part of the rain
belt is forecasted to be in further north area. The updating forecasts all indicated that the
main rain belt would center in MLYR, the Huaihe Valley and the Huanghuai area. In
observations, the heavy rainfall located along the Yangtze River and presented a typical
quasi-east-west Meiyu rain belt. However, both the numerical models and the sub-
jective forecast indicated that the heavy rainfall center would be near the Huaihe River
(figure omitted), where was about one latitude further north than the observations.
According to the forecast, the flood control in the Huaihe Basin would be quite
challenging because of high population density and lack of the estuary. Therefore, the
impact of the error in the rain belt location forecast is great, although it is only one
latitude further north. In view of this, it is necessary to clarify the reasons for the rain
belt location forecast error. In the following, the big data approach will be used for the
study of the aforementioned issue.
2 Data and Methodology
The grid precipitation data provided by the National Meteorological Information Center
(from early June to the middle of July during 1980–2009), is used to analyze the distri-
bution of pentad rainfall in Meiyu seasons over the past 30 years. 33 precipitation pro-
cesses with quasi-east-west rain belt are selected. At the same time, the NCEP/NCAR
reanalysis data [10] is used to analyze the atmospheric circulation during the same period.
To explore the mechanism of the precipitation process from June 30th to July 4th, 2016,
both ECMWF ensemble forecast data from June 21st to July 4th, 2016 and the daily
rainfall data observed at 20 o’clock every day are used. Here we defined the position of the
zonal-mean precipitation maximum in the middle-lower Yangtze River reaches from
110° to 120°E as the location of the rain belt for the period from June 30th to July 4th.
536 S. Yin et al.
3 Characteristics of Rain Belt Distribution
Figure 1 shows the average horizontal distribution of 33 precipitation processes. Here,

the area where the rainfall exceeds 100 mm is regarded as the range of the rain belt. On
average, the rain belt was within 27.5°–31°N and exhibited a quasi-zonal distribution
(Fig. 1a). In addition, two precipitation centers were located in the east and west
respectively, with the maximum rainfall intensity about 180 mm/day, reaching the
magnitude of large rainstorm. From the zonal average of precipitation within 110°–
120°E (Fig. 1b), it can be seen that the intensity curve and the range covered by
100 mm can well represent the area of the rain belt in Fig. 1a. Showing a sinusoidal
distribution, the curve has only one maximum value located at 28.5°N, similar to the
latitude of the maximum rainfall intensity in Fig. 1a. Based on the above analyses, the
rain belt location for each precipitation process could be defined as the latitude of the
maximum cumulative rainfall between 110°E and 120°E. Figure 2 shows the variations
of rain belt locations of 33 precipitation processes. From the figure, the southernmost
rain belt was at 27.75°N (the second process), and the northernmost one at 35.75°N
(the 31st process). It can be seen from Fig. 2 that after normalized, the rain belts of 16
processes were located to the south of the 0 line and the rest were located to the north of
the 0 line. These rain belt locations were basically symmetrical.
Fig. 1. (a) The average precipitation distribution of 33 precipitation processes; (b) the zonal
average of the precipitation in Figure (a).
Fig. 2. The variation characteristics of rain belt locations of 33 precipitation processes. The
histogram shows the rain belt location corresponding to the right coordinate, with its average
value denoted by the red dotted line; the short-dotted line with + is the normalized series
corresponding to the left coordinate.
4 Main Factors Affecting the Rain Belt Location
Based on previous studies and forecasters’ experience, it is considered that the location
of 200 hPa westerly jet, South Asia High, 500 hPa 5840 geopotential meter isoline,
850 hPa and 700 hPa shear line, as well as the intensity of West Pacific subtropical
high (WPSH) are all related to the rain belt location. So, is there still a close rela-
tionship between the precipitation process in quasi-zonal rain belt and these factors?
The correlation coefficients between the rain belt location and 200 hPa maximum wind
speed center, the location of its corresponding zero wind speed line, and the 5840
geopotential meter isoline are calculated. The corresponding correlation coefficients are
0.49, 0.63 and 0.67 respectively, and reach the 99%, 99.9% and 99.99% significance
levels respectively. Therefore, the above high-level circulation systems have significant
influences on the location of the typical quasi-east-west Meiyu rain belt.
Fig. 3. The comparisons between rain belt locations and meridional wind zero isotaches at
(a) 500 hPa, (b) 600 hPa, (c) 700 hPa, and (d) 850 hPa during 33 precipitation processes.
The rain belt locations and shear lines at different levels during 33 precipitation
processes are further compared and analyzed (Fig. 3). Here we use the location of the
zero isotach of the meridional wind as the shear line. The results show that the 850 hPa
shear line was often absent, indicating that the rainfall was mainly warm area pre-
cipitation without cold air in low level. Thus the distinct wind shear was hard to find.
Although similar situations could be detected in the middle and upper levels, shear
lines become more and more obvious with the rise of height. For example, distinct
shear lines can be found easily at 700 hPa in the first 26 cases, and they are found in
almost all the cases at 500 hPa. On one hand, it is revealed that the system in high level
is often more stable than the lower one. On the other, it shows that the cold air is weak
in most cases and not obvious in low levels. In general, the shear line does determine
the location of the rain belt in some cases. At 700 hPa to 500 hPa, the correlation
coefficients between shear lines and the rain belt locations all exceed 0.52. However,
538 S. Yin et al.
this relationship is not stable, especially for 850 hPa – the reference level often used in
the operational forecast of central and eastern China.
In the past forecasts, many front-line forecasters often take the location of low level
(850 hPa and 700 hPa) shear line and middle level (500 hPa) 5840 geopotential meter
isoline into serious consideration when forecasting the rain belt location during heavy
rainfall. When it comes to the medium-range forecast, most of them only focus on the
location of the 5840 geopotential meter isoline. It is revealed that with the lengthening
of the forecasting time, the middle and high level systems and their relationships with
the rain belt locations are generally more stable than that of the low-level ones.
5 Case Analysis
The Meiyu season in 2016 was from June 19th to July 17th. Six heavy precipitation
processes occurred during this period, of which the one from June 30th to July 4th was
the strongest and most influential. However, verification shows that serious errors
appeared in the forecasting rain belt location and heavy rain center by both numerical
models and subjective forecasts.
The average circulation situation during the precipitation from June 30th to July 4th
reflects that cooperating with WPSH, the summer monsoon extended from the north-
west side of the WPSH to the Jianghuai and Huanghuai areas (figure omitted). A wide
low trough controlled the mid-high latitudes of Asia. Blocking highs were observed in
both of the Ural Mountains on the west side of the low trough and the Okhotsk Sea on
the east side. This circulation pattern is often referred to as “two ridges and one trough”
in daily forecast operation. It is one of the typical circulation patterns in the Meiyu
season, indicating that the circulation situation is relatively continuous and stable. This
precipitation process lasted for 5 days with the cumulative rainfall of 100–250 mm in
MLYR, some areas reaching 300–400 mm, and parts of areas exceeding 600 mm. It
increased the severity of flood control in the Yangtze River Basin.
The medium-range subjective forecast (5 days earlier before the end of the process)
showed that the heavy rainfall center of the precipitation process would be along the
Huaihe River, which is obviously one latitude further north than the observation.
Referring to the experiences using the characteristic line (5840geopotential meter
isoline) commonly in the forecast, the sliding correlation between the rain belt location
and 5840 geopotential meter isoline during the Meiyu season is analyzed (Fig. 4). It
can be seen from Fig. 4a and b that there was a certain correspondence between the rain
belt location variation and the correlation coefficient trend before June 30th. The
correlation coefficient increased (decreased) when the rain belt moved to the north
(south). When it comes to July 1st, the coefficient between them decreased rapidly,
revealing that the 5840 geopotential meter isoline could no longer indicate the rain belt
location, and the 500 hPa circulation system could not dominate the rain belt location
any more, like what it had done in several previous precipitation processes.
To find out why the rain belt location could no longer be forecasted by 5840
geopotential meter isoline, the average rainfall in MLYR (26–32°N, 115–120°E) is
defined as the rainfall intensity index in the key area, and the correlation between the
Fig. 4. (a) The sliding correlation coefficient of the rain belt location and 5840 geopotential
meter isoline from June 18th to July 4th, 2016; (b) 110°–120°E zonal average precipitation.
Fig. 5. The correlation coefficients between the rainfall intensity forecasted on the 30th and
height field at (a) 500 hPa, (b) 700 hPa, (c) 850 hPa and (d) 925 hPa. The shadow denotes the
areas passing 90% confidence level, and the isoline is the average 500 hPa geopotential height
during the precipitation process.
rainfall intensity index based on the ensemble forecast and the 500–850 hPa geopo-
tential height is analyzed (Fig. 5). Figure 5a shows that the correlation coefficient in
MLYR does not pass the 90% confidence level test, indicating that there is no obvious
relationship between the rainfall intensity and 500 hPa geopotential height, or the 5840
geopotential meter isoline. However, in the lower levels (700–925 hPa), the correlation
is significant with the coefficient passing the 90% confidence level test, revealing that
the heavy rainfall or location variation during the precipitation process is only closely
related to the circulation below 700 hPa, while the influence of the higher layer
(500 hPa) circulation is relatively weak.
Further analysis also shows that the relevant significant regions from 700 hPa to
925 hPa in Fig. 5a–c are located on the northwest side of WPSH, i.e. the active
southwest monsoon region in the low level, indicating that the southwest monsoon has
540 S. Yin et al.
played a significant role in the intensity variation of this precipitation process. Figure 6
shows a vertical section along 115–120°E, from which it can be seen that the northerly
wind (cold air from the north) generally influences the area to the north of 35°N and
slopes northward with the rise of height during this rainfall. Therefore, the cold air was
far from the heavy rainfall center, and its contribution was insignificant because it was a
warm area precipitation in the monsoon region. It is quite different from the average
circulation pattern of 33 processes in Fig. 6b. In 33 classic Meiyu precipitation pro-
cesses, around the strong rainfall center (30–31°N), there were both low-level shear
lines (the interface of east and west wind) and middle-low-level (850–500 hPa) cold
and warm air confluence (the interface of south and north wind) (Fig. 6b). From June
30th to July 4th, no northerly cold air participated in the precipitation process, resulting
in deviations between the actual rain belt location and the classic forecast model results
(or 33 process averages). In the classic forecast model, the rain belt central location
(5840 geopotential meter isoline) is generally in the cold and warm air convergence
zone accompanied by a strong convergence rise, which is conducive to heavy rain
(Sugimoto et al. 2003).
Fig. 6. (a) The vertical section of 115–120°E averaged vectorial wind field, the zonal wind (red
contour), meridional wind (shaded) in the middle and low levels from June 30th to July 4th,
2016; (b) the same as (a) except for 33 historical cases; (c) the heavy rainfall center variation of
33 historical cases.
6 Conclusion
In this paper, the big data analysis method is used to explore the variation character-
istics of the rain belt location during the typical Meiyu season in the past 30 years. The
results show that the rain belt location is closely related to the 500hpa 5840 geopo-
tential meter isoline, which is in line with the forecast operation experience. However,
errors appear in the forecast of the precipitation process from June 30th to July 4th,
2016 by the classic forecast model, indicating that there are still some limitations in it.
The results of this paper show that the northerly cold air only appeared in the middle
and upper troposphere during the heavy precipitation process from June 30th to July
4th, 2016. There was a certain distance between the cold air and the rain belt center,
that is, the heavy precipitation process was not caused by the confluence of cold and
warm air. Considering the location of WPSH, it can be seen that this precipitation
process occurred in the warm area of the monsoon region, which was caused by the
convergence of warm air. Under this formation mechanism, the 5840 geopotential
meter isoline of the classic forecast model loses its forecasting ability. Instead, cold air
participation in the precipitation process is the key factor determining the accuracy of
the forecast model. On one hand, this conclusion is conducive to enriching and
deepening the forecaster’s understanding of the rain belt location variation during the
Meiyu season. On the other, it provides important reference for forecast correction.
There are still many problems in the paper that need further study. For example, why
did the numerical model fail in the rain process forecast? What are the reasons for the
difference in the performance of different numerical models? These will be discussed in
the future work.
Acknowledgement. This work was supported by grants of the National Natural Science
Foundation of China (41575066) and the National Key Technology Research and Development
Program of the Ministry of Science and Technology of China (2015BAC03B04,
2015BAC03B06 & 2015BAC03B07).
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decadal climate variations. J. Nanjing Univ. 40(3), 292–303 (2004)
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forcing by the westerly jet. J. Clim. 23, 113–134 (2010)
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Predictability of an Extreme Rainfall Event
in North China
Jie Ma1(&), Shan Yin1(&), Lijun Jin2, and Ronghua Jin1

1
majie@mail.iap.ac.cn, yinshan21@sina.com
2
Hydrology Bureau, Yellow River Conservancy Commission,
Zhengzhou, China
Abstract. In this paper, the predictability of an extreme rainfall event in North

China is discussed by diagnostic big data analysis method. The data of the event
(July 18th–20th, 2016) is from the deterministic forecast and ensemble forecast of
the European Centre for Medium-Range Weather Forecasts (ECMWF). The
results show that, the rainfall event is characterized by evident variations of the
precipitation magnitude and rainfall belt location from July 18th to 19th. The rain
belt moved almost 10 degree northward, bringing significant heavy rainfall to
North China, thus it caused a big challenge for forecast operation. Further analyses
reveal that in this event, the predictability of the rain belt location was determined
by the strength of blocking high system over the Bohai Sea (120–130°E). The
blocking high system above the Bohai Sea was favorable for the low vortex over
North China to move northward slowly. Meanwhile, the eastward-moving vortex
and the blocking high strengthened the southwest wind in the low levels, increased
the precipitation magnitude, and drove the rain belt to move further northward in
North China. Furthermore, the comparison between the deterministic forecasts
and ensemble forecasts with different leading times demonstrates that the maxi-
mum forecast leading time for the rain belt location in the deterministic model is
96 h, while that in the ensemble model is 120 h.
Keywords: Predictability Extreme rainfall event Rain belt location

Blocking high
1 Introduction
From July 18th to 20th, 2016, the Sichuan Basin, the area from Jianghan to North
China, and the Huanghuai area suffered from the strongest rainfall process since the
flood season in 2016. The rainfall in 22 counties and cities such as Daxing of Beijing
City and Jingjing of Hebei Province broke the historical records. The heavy rainfall
also caused disasters such as mountain torrents, landslides, debris flow and urban
waterlogging in provinces like Hubei, Hunan, Hebei, Shanxi and Guizhou, resulting in
many casualties. The heavy rainfall event is characterized by two remarkable features.
First, the rain area jumped rapidly from the Yangtze River Basin to North China, which
connected two rainy seasons – the Jianghuai Meiyu season and North China rainy
season. It can be seen that the rain belt moved drastically on the 18th and the 19th,

https://doi.org/10.1007/978-981-13-7123-3_63
Predictability of an Extreme Rainfall Event in North China 543
moving from 28°N (the Yangtze River Basin) to the vicinity of 38°N (North China),
crossing 10 latitudes northward within two days. The rainfall intensity also increased
significantly on the 19th, reaching the magnitude of rainstorm. In comparison, the
change of the rainfall zone showed a slow v-shaped variation in the east-west direction,
extending from east to west from the 16th to 19th. After reaching the largest magnitude
on the 19th, the rain zone began to move back from west to east (Fig. 1c). Another
feature is that on the initial stage, large errors appeared in the forecasts from both the
ECMWF numerical model (Fig. 1d), which generally performed perfectly, and the
subjective forecast (figure omitted). Figure 1d shows the forecast of the rain belt
location from 1200 UTC July 19th to 1200 UTC July 20th (hereinafter referred to as
the 20th) from different initial forecast times. It can be seen that before the 16th, all the
forecasts indicated that the rain belt was within the area from the middle and lower
reaches of the Yangtze River to the Huanghuai area (30–35°N), and the average rainfall
intensity was weak. After that, the forecasted rain belt moved to around 40°N,
revealing that the ECMWF deterministic model gave the information 96 h in advance
that the rain belt would jump northward, while it failed to grasp this feature before that
time point.
Fig. 1. (a) Distribution of cumulative precipitation in North China and other places from July
18th to 20th, 2016. (b) Time series of zonal averaged precipitation in 110–120°E from July 16th
to 22th. (c) Time series of meridional averaged precipitation in 26–42°N from July 16th to 22th.
(d) Rain belt location forecast on July 20th by ECMWF deterministic model initialized at 1200
UTC from July 10th to 19th.
Previous studies have pointed out that the rain belt jumps northward two times and
stays in three quasi-stationary phases every year in China. And it moves northward
periodically [1–4]. Among them, the third stagnation period from mid-July to mid-
August represents the beginning of the rainy season in North China and Northeast
China. During this heavy rainfall process, the rain belt jumped from the Yangtze River
Basin to North China, indicating the end of the Jianghuai Meiyu and the beginning of
the rainy season in North China. However, in most medium-range forecasts, subjective
544 J. Ma et al.
or objective, there are obvious errors, especially in the forecast of the rain belt location.
So, what causes these forecast errors? How long is the predictability of this extreme
rainfall process by numerical model? In this paper, to solve the above problems, the
causes of the dramatic rain belt location variation in a short period of time and its
mechanisms are analyzed. Besides, the big datasets of deterministic forecast and
ensemble forecast are used to discuss the predictability of the rainfall process in the
medium-range forecast.
2 Data and Method
It is generally believed that the difference in the initial fields is an important reason for
forecast errors of the numerical model. Ensemble numerical forecast provides an
effective way to correct initial bias and model errors. Compared with the deterministic
forecast, ensemble numerical forecast can improve the effectiveness and reliability of
the forecast by providing probabilistic prediction involving multiple members or
possible scenarios through characterizing and describing the uncertainty of initial filed
[5–7]. Some members of the ensemble forecast may capture some “missing” infor-
mation to help forecasters, decision makers and the public make better decisions. Big
data set of ensemble forecast has also been widely used in recent years due to its great
application value in operational weather forecast and forecast theory research. There-
fore, forecasting and analysis field in ECMWF deterministic model (spatial resolution:
2.5° 2.5°, forecasting time: 240 h), and the big data set from ECMWF ensemble
forecast model (spatial resolution: 0.5° 0.5°, forecasting time: 360 h with 51
members) are used to analyze the atmospheric circulation and the predictability of this
heavy rainfall process by statistical methods such as empirical orthogonal function
(EOF), correlation analysis and composite analysis.
In addition, the NCEP/NCAR rainfall reanalysis data with a spatial resolution of
0.5° 0.5° is selected to verify the forecast results. The location of blocking high is
quantified as a blocking high north boundary position index, defined as the averaged
latitude of the 500 hPa 5880 gpm isoline in 120–130°E. The rainstorm north boundary
position index is defined as the zonal averaged 50 mm precipitation north boundary
position in 110–120°E.
3 Analysis of the Atmospheric Circulation Background

and Key Impact System Sensitivity
Through the analyses of circulation background, it can be seen that the low vortex
system of the lower layer (850 hPa), the monsoon and West Pacific Subtropical High
(WPSH) are the main circulation systems affecting the rainfall process (figure omitted).
The low vortex system gradually moved northward when it moved eastward along the
edge of WPSH, so the main rainfall area was obviously related to the WPSH north
boundary position. Figure 2a shows the changes of WPSH from July 18th to 20th. It
can be seen that with the eastward movement of the low vortex system in the middle
and lower reaches of the Yangtze River, WPSH began to extend westward and move
northward. Its western ridge point extended from 125°E to 110°E, and the 5880 gpm
isoline above the 120–130°E region (often used to define the north boundary of WPSH)
also jumped from 30°N to 40°N. Near the Bohai Sea and the East China Sea, a high
pressure ridge was formed, which slowed down the low vortex moving eastward and
northward. Therefore, the rainfall was prolonged and the accumulated rainfall increased
obviously in North China, the Huanghuai area and the nearby areas.
The heaviest rainfall in North China during this rainfall process is on July 20th, 2016,
and North China is the region with the greatest error in precipitation forecasting. Thus, the
region of 38–42°N and 115–120°E is selected as the key area for the following analyses.
The correlation between the average rainfall intensity in the key area and 500 hPa
geopotential height field is calculated (Fig. 2b). Two systems affecting the variation of the
rainfall intensity in the key area are found: the blocking high in 120–130°E and the low
vortex in 110–120°E, both of which have passed the 99.9% confidence test. It also
confirms that the strong blocking high is favorable for heavy rainfall in North China, and
the effect of the low vortex is reflected in the inverted trough on the north side.
Fig. 2. (a) The variations of the WPSH position from July 18th to 20th. The black, red, and
green lines represent the 18th, 19th and 20th respectively. (b) Distribution of the correlation
coefficients between the average rainfall intensity in the key area (38–42°N, 115–120°E) and
500 hPa geopotential height field (shaded means the passing of 99.9% confidence test) from
ECMWF ensemble forecast initialized at 1200 UTC July 16th. The contour is 500 hPa
geopotential height on the 20th.
In addition, from the composite analysis of 850 hPa wind field based on the
blocking high north boundary position index, it can be seen that when the high located
to the north of its normal position, a cyclonic anomalous wind field was detected in
North China (Fig. 3a), increasing the low vortex intensity (Fig. 3d). It was favorable
for the enhancement of the southwest monsoon and pushed the low-level jet northward
(Fig. 3a and c), and vice versa (Fig. 3b). The comparison of the north boundary
position index series of blocking high and the rainstorm shows that their variation
trends were consistent, and their correlation coefficient reached 0.61 (passed the 99.9%
confidence test). It is revealed that in 110–120°E, the average rain area location and
intensity variation were obviously affected by the geopotential height field of the region
(30–45°N, 120–130°E).
546 J. Ma et al.
Fig. 3. Composite analyses of 850 hPa wind field based on blocking high north boundary
position index on July 20th from ECMWF ensemble forecast initialized at 1200 UTC July 16th
(shaded represents the passing of 99.9% confidence test), for (a) high index members, (b) low
index members, (c) difference between high and low index members, and (d) ensemble mean
wind anomalies.
4 Analyses of the Predictability
As the position variation of the east section of WPSH has a significant impact on the
rain belt location during the heavy rainfall, it is necessary to analyze the causes for the
deviation of the forecasted rain belt location from the geopotential height field of 120–
130°E. Is the failure of predicting the variation characteristics of WPSH in 120–130°E
the reason for the omission of the sudden northward jump of the rain belt?
First, the ECMWF deterministic forecasts are verified. Figure 4 shows the ECMWF
deterministic forecasts of WPSH on July 20th, which were initialized on July 13th to
19th. It can be seen that the variation of WPSH north boundary in 110–120°E was
obviously smaller than that in 120–130°E, and it was very close to the observations.
The results show that the subjective and objective forecasts of the western part of the
rain belt (110–115°E) were closer to the observations. However, the subjective and
objective prediction errors in the eastern part of the rain belt (115–120°E) were
obvious, which might be caused by the great impact of the WPSH in 120–130°E on the
east part of the rain belt. From July 13th to 19th, with the approaching of time, the
range of WPSH near 120–130°E predicted by the model continuously adjusted,
jumping from 32°N to 40°N. The model shows great uncertainty for the prediction of
WPSH in this region (Fig. 4a). In Fig. 4a, the WPSH on 20th predicted by the model
initialized on July 13th to 15th was in the south thus the moving path and influence
range of the low vortex were both in the south, and the overall rainfall area and the
strong rainfall center were in the south of North China. The forecasted WPSH on 20th
initialized on July 16th to 18th began to adjust toward the “blocking situation”, so the
predicted rainfall area gradually moved northward with an enhanced intensity.
Therefore, from the perspective of forecasting time, only the ECMWF deterministic
forecast initialized on July 16th has reference values. It can be seen that the rainfall in
key areas on 20th (North China and nearby areas) initialized on July 16th was sig-
nificantly enhanced when compared with that initialized on July 12th–15th. With the
previous analyses of the rain belt’s northward jumping, it can be seen that the maxi-
mum forecast leading time of ECMWF deterministic model is only 96 h for the rain
belt location.
Fig. 4. (a) The ECMWF deterministic forecast of WPSH on the 20th initialized at 1200 UTC
every day from July 13th to 19th, and the observations on the 20th. The contour number is the
corresponding starting date; (b) the rainfall intensity forecast for key areas on July 20th by
ECMWF deterministic model initialized at 1200 UTC every day from July 12th to 17th.
Based on the empirical orthogonal function (EOF) analysis of rainfall field on July
20th initialized at 1200 UTC on July 12th, the main distribution mode presented
northeast-southwest direction (the first principal component with an interpretation
variance of 21.9%) (Fig. 5a), and the main rainfall centers were located in the
Huanghuai and Jianghuai areas. It represented the forecast trend of most members, that
is, the rain belt moved northward while moving eastward, but most of its north
boundary was within the Huanghuai area (represented by member 1 and 4). The
correlation analysis between the time coefficient of the first principal component and
the 500 hPa height field show that there is a significant correlation between the main
rainfall mode and the 500 hPa geopotential height field in the region (120–130°E, 35–
45°N), indicating that the variation of the 500 hPa height field has a significant
influence on the rain belt distribution. The results are consistent with our analysis of the
circulation background field. Figure 5b shows another rain distribution type, in which
the rain belt was carried northward to the north of Huanghuai-Jianghuai area, while the
middle and lower reaches of the Yangtze River were negative, indicating that the
rainfall was less and the Meiyu season tended to end. It corresponds to members of
2/6/14/24. The third mode explanation variance is small and it is unnecessary to be
analyzed here.
We also analyze the distribution characteristics of 500 hPa geopotential height
fields and the amount of precipitation on July 20th when the time coefficients of the
548 J. Ma et al.
Fig. 5. EOF analysis of the precipitation on 20th from the ECMWF ensemble forecast
initialized at 1200 UTC July 12th, for (a) the first principal component and (b) the second
principal component. (c) The distribution of correlation coefficients between the time coefficients
of the first principal component and the synchronous 500 hPa height field.
above modes are greater than 1.5 standard deviations (figure omitted). It is found that
when the first and second modes are strong, the distribution of rain areas is similar
except for the north boundary of rainstorm area. The second mode rain area is located
in the further northeast area. It indicates that the heavy rainfall center moves faster, and
its main body would move eastward into the sea. But the heavy rainfall center in the
first mode would continue to move northward. It also explains why the first mode
presents an east-west dipole distribution. The difference between the two modes might
be attributed to the development of blocking high over 120–130°E in the east side of
the rain area. Although the blocking high situations are presented in both the first and
second modes, the intensities of these two are different. It shows that the strong rainfall
area is more sensitive to the change of blocking high intensity. In comparison, the rain
belt forecasted by ECMWF deterministic model is still located in the Yangtze River
valley on July 20th, indicating that the forecast error from deterministic model is
greater.
Figure 6 shows the first two modes of the forecasted rainfall on the 20th initialized
every day at 1200 UTC from July 13th to 16th, 2016. With the approaching of leading
time, the rain belt of the first mode (Fig. 6a, c, e, g) and its north boundary continu-
ously move to the northeast, indicating the northward movement of the forecasted rain
belt, which is closer to the observations. The explained variance of the first mode varies
little with time, and the significant correlation region between the first mode time
coefficient and the height field is similar to that of Fig. 5c, indicating that the ensemble
forecast is stable for the first mode. Compared with the first mode, the horizontal
distributions of the second mode change obviously with the approaching of leading
time (Fig. 6 b, d, f, h). In the forecasts initialized on the 13th and 14th, the second
mode is mainly located in the north part of the Jianghuai and the Huanghuai areas. In
the forecasts initialized on the 15th and 16th, the main rain areas in the second mode
jumped northward to North China. Therefore, the ensemble forecast initialized on the
15th can be used as a reference as it reveals that the rain belt would jump northward to
North China and nearby areas during this rainfall process.
Fig. 6. The first mode (a, c, e, g) and the second mode (b, d, f, h) of EOF based on the 20th
rainfall forecasted by ECMWF ensemble model initialized at 1200 UTC July 13th (a and b), 14th
(c and d), 15th (e and f) and 16th (g and h). The explained variance is given in the lower right
corner.
In conclusion, from the point of view of forecast leading time, compared with the
deterministic forecasts (started from the 16th), the ensemble forecasts (started from the
15th) could give a more reasonable forecast 24 h in advance, so it has a significant
advantage in forecasting. The analyses of the first two modes of EOF reveal the
uncertainties of rain belt location prediction and the causes, which is of important
reference value for improving the medium-range forecast.
5 Conclusions
In this paper, the predictability of medium-range forecast for an extreme rainfall event
from July 18th to 20th, 2016 is discussed. In this event, both subjective and objective
forecasts show great errors on the forecast of the north boundary position of the rain
belt. To find out the reason, the atmospheric circulation factors influencing the rain belt
location variation are firstly analyzed. The results show that the intensity variation of
blocking high in 120–130°E greatly affects the rain belt location in 110–120°E. When
the blocking high is stronger, the average 5880 gpm isoline in 120–130°E is in a further
north area, so is the rain belt in 110–120°E. Then, the rainfall intensity in North China
is also higher.
The further study of atmospheric circulation shows that when the blocking high is
stronger, the low vortex system in North China is stronger, and the southwest airflow
between them is obviously stronger, which is favorable for the northward transport of
water vapor. Therefore, it leads to the more north location of rain belt in the East China
and the strong rainfall in North China. Based on the characteristics of heavy rainfall
550 J. Ma et al.
and the forecast of the above-mentioned atmospheric circulation factors, the pre-
dictability of extreme rainfall in North China is discussed by big data set of ECMWF
ensemble and deterministic model forecasts. The results show that the maximum
forecast leading time for the rain belt location by deterministic model is 96 h, while it
can reach 120 h by ensemble model.
Acknowledgement. This work was supported by grants of the National Natural Science
Foundation of China (41575066) and the National Key Technology Research and Development
Program of the Ministry of Science and Technology of China (2015BAC03B04,
2015BAC03B06 & 2015BAC03B07).
References
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3. Ding, Y.H.: Summer monsoon rainfalls in China. Q. J. R. Meteorol. Soc. 70, 373–396 (1992)
4. Ding, Y.H., Li, C.Y., He, J.H., et al.: South China Sea Monsoon Experiment (SCSMEX) and
the East Asian monsoon. Acta Meteorologica Sin. 62(5), 561–586 (2004)
5. Matsueda, M., Tanaka, H.L.: Can MCGE outperform the ECMWF ensemble? SOLA 4,
77–80 (2008)
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combining ensembles. Q. J. R. Meteorol. Soc. 134(637), 2029–2050 (2008)
7. Johnson, C., Swinbank, R.: Medium-range multi-model ensemble combination and calibration.
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Research on Visibility Forecast Based
on LSTM Neural Network
Yuliang Dai1(&), Zhenyu Lu1,2, Hengde Zhang3, and Tianming Zhan4

1
School of Electronic and Information Engineering, Nanjing University of
Information Science and Technology, Nanjing 210044, Jiangsu, China
1319609764@qq.com
2
Jiangsu Collaborative Innovation Center on Atmospheric Environment and
Equipment, Nanjing 210044, Jiangsu, China
3
4
Nanjing Audit University, Nanjing 210044, Jiangsu, China
Abstract. For series problems in the meteorological field, the long-short-term

memory neural network (LSTM) model is applied to the visibility forecast in the
Beijing, Tianjin and Hebei region. First of all, the historical meteorological data
during the months (Oct.-to-Dec. and Jan.-to-Feb.) of years 2015–2016 in the
Beijing, Tianjin and Hebei region is selected as a dataset. Then, the Pearson
Correlation Coefficient method is applied to select meteorological factors that
have main influence on visibility to construct the training set, and adjust the
network model parameters to train the neural network, and establish the input
meteorological factors and the visibility of the output. Finally, European Centre
for Medium-Range Weather Forecasts (ECMWF) data of the Beijing, Tianjin
and Hebei region from October to December in 2017 is used to test the forecast
effect of the LSTM model, and compared with the prediction results of the BP
neural network. The result shows the visibility forecast based on the LSTM
model is significantly better than BP neural network. The TS score in 0–1 km is
0.22, and its error is 0.34 km. The TS score in 1–10 km is 0.51, and its error is
2.18 km. The TS score above 10 km is 0.38, and its error is 6.07 km
Keywords: Visibility forecast Neural network LSTM
1 Introduction
Atmospheric visibility refers to the maximum horizontal distance of a target object that
can be seen by a person with normal vision under the current weather conditions [7].
Visibility as an important physical parameter for characterizing atmospheric trans-
parency reflects air pollution and atmospheric environmental quality in the region.
When continuous and wide-ranging low-visibility weather conditions occur, it often
causes frequent occurrences of traffic accidents and delays in aircraft movements,
causing huge losses to people’s lives and property. Therefore, accurate forecasting of
low visibility weather is a difficult problem in meteorological work and plays a positive
role in preventing the occurrence of various traffic accidents.

https://doi.org/10.1007/978-981-13-7123-3_64
552 Y. Dai et al.
Atmospheric visibility mainly depends on air pollution and meteorological condi-

tions [9]. The air pollution caused by the rise of the industrial and transportation
industries has led to the accumulation of particulate matter in the air, which has
significantly reduced atmospheric visibility through extinction [1]. The effects of
changing of relative humidity, wind direction, and wind speed on atmospheric visibility
are reflected in the fact that atmospheric aerosol particles can moisture absorption grow
through the moisture in the air and change their optical characteristics, thereby affecting
visibility; the spread of pollutants in the air is poor, and particulate matter is constantly
increasing, which also reduces visibility.
The forecasting methods of visibility are roughly divided into three categories at
present. One is based on the method of meteorological analysis. For example, Yin [2]
used weather maps to analyze the weather conditions to determine the visibility level of
future haze weather. Such methods have strong theoretical knowledge and rich expe-
rience requirements for forecasters engaged in this business. The second category is the
method of historical data statistics, including non-parametric modeling, linear regres-
sion, etc. For example, Zhai [3] used the method of the support vector machine to
analyze the characteristics of haze weather to predict visibility. This method has strong
dependence on meteorological data and geographical location, and models built by this
method are not easy to generalize and apply to the business. The third type is the
method of numerical model, which establishes the visibility forecasting system of haze
weather through atmospheric chemistry model, such as the CUACE model of the
Chinese Academy of Meteorology, this method has a clear physical meaning, but has
strong requirements for hard conditions such as computing resources, and there will be
some statistical bias compared with the observed values.
The neural network method has developed rapidly in various fields recent years,
and many scholars have applied it to the meteorological field [5]. The long-short-term
memory neural network (LSTM) is a variant of the recurrent neural network (RNN).
Recurrent neural network can be regarded as multiple copies of the same neural net-
work. Information of each neural network module will be transmitted in turn, and the
time-order can memorize the data. However, in the recurrent neural network, there are
problems of gradient explosion and gradient disappearance, which makes it impossible
to deal with time series with too long delay [8]. The LSTM model is a new network
structure improved on the basis of the recurrent neural network, solved the problems of
gradient explosion, gradient disappearance and the lack of long-term memory in the
traditional recurrent neural network. Therefore, the LSTM model is better than the
traditional model to solve the time series problem with missing values [10], and
establish an effective space-time forecasting framework.
2 Model Data
2.1 Data Source
Meteorological stations in Beijing, Tianjin and Hebei region are located in the North
China Plain. They are affected by the East Asian monsoon climate, with similar cli-
matic background and the same range of relative humidity, so similar weather
Research on Visibility Forecast Based on LSTM Neural Network 553
phenomena are also found in the same weather conditions. The data used in this paper
is the conventional ground observation data and high-altitude data from October to
February of 2015–2016, including wind speed, relative humidity, temperature, and so
on. The model is trained by constructing a historical database of the conventional
ground and high-altitude data, and the data derived from the EC model with the same
elements as above from January to February and October to December in 2017 is used
to forecast.
2.2 Factor Analysis

There are many factors affecting visibility. In order to predict the visibility of the next
day more accurately, the correlation coefficient method is needed to select physical
quantity factors that are highly correlated with visibility as the input factor of the
forecast model. Choosing a highly correlated feature factor is conducive to constructing
a faster, lower-cost model and improving the accuracy of the prediction. This paper
applies the Pearson Correlation Coefficient, which is a statistic used to reflect the linear
correlation between two variables. Equation as follows.
COVðX; YÞ EððX lX ÞðY lY ÞÞ EðXYÞ EðXÞEðYÞ

qX;Y ¼ ¼ ¼ pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffipffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
rX rY rX rY EðX 2 Þ E 2 ðXÞ EðY 2 Þ E 2 ðYÞ
ð1Þ
The value interval is [–1, 1], a complete negative correlation is denoted by –1, a
complete positive correlation is denoted by +1, and a non-linear relationship is denoted
by 0. Table 1 gives the factors selected based on the calculation results.
Table 1. Factors of visibility forecast based on LSTM

Factors Absolute value of correlation
coefficient
08h humidity 0.62
The difference between 08h temperature and dew 0.60
point
Up dry and down wet 0.57
wrh 0.49
08h 950 hpa horizontal component of wind speed 0.45
14h humidity 0.44
08h 900 hpa temperature 0.41
The difference between 08h temperature and 14h dew 0.40
point
08h 925 hpa temperature 0.39
08h 850 hpa vertical component of wind speed 0.39
Difference between 08h 850 hpa and ground 0.38
temperature
08h atmospheric pressure 0.36
554 Y. Dai et al.
3 Model Structure
Neural network is a deep learning technique which simulates the structure of biological
neural network and is used to model nonlinear statistical data [4]. The neural network is
connected by a large number of artificial neural units in a prescribed manner, including
an input layer, a hidden layer, and an output layer, and external input information is
dynamically processed by adjusting the structural parameters of the internal unit [6].
The LSTM model is a new network structure, which solves the lack of long-term
memory in the traditional recurrent neural network. It contains a memory unit and three
control gates, namely the forget gate, the input gate and the output gate, to realize
storage and control of information (Fig. 1).
ht-1 ht ht+1
tanh
A σ σ tanh σ
A
Xt-1 Xt Xt+1
Fig. 1. The structure of LSTM
The forget gate determines some of the information that is discarded from the cell
state. The gate reads the output of the previous layer and the input of the current time
point, and outputs a value between 0 and 1 to the current cell state. Completely
reserved with the value 1 and completely discarded with the value 0. The calculation
formula is:
ft ¼ rðWf ½ht1 ; xt þ bf Þ ð2Þ
Input gate determines the amount of new information added to the cell state. The
implementation of the gate requires two steps: First, the sigmoid activation function
determines the information that needs to be updated, and the new candidate vectors will
be generated by the tanh activation function and added to the state ct . The calculation
formula for this process is:
it ¼ rðWi ½ht1 ; xt þ bi Þ ð3Þ
~ct ¼ tanhðWc ½ht1 ; xt þ bc Þ ð4Þ
Then, the cell’s state needs to be renewed. Multiply the forget gate ft with the state
ct1 of the old cell, discard the information that needs to be discarded, and add a new
candidate vector. The calculation formula is:
ct ¼ ft ct1 þ it ~ct ð5Þ
Output gate controls the influence of long-term memory on current output. This
output is not only based on cell status, but also a filtered version. A sigmoid activation
function is used as a valve to selectively output part information of the cell’s state, and
the tanh activation function is used to scale the value of the cell’s state between –1 and
1, and multiply the output of the sigmoid activation function with this value. It will
ultimately determine which part of the cell’s information will be output. The calcula-
tion formula of this gate is:
ot ¼ rðWo ½ht1 ; xt þ b0 Þ ð6Þ
ht ¼ ot tanhðct Þ ð7Þ
4 Experimental Analysis
After the model was established, the data of meteorological stations in Beijing, Tianjin
and Hebei region from October to December of 2017 was predicted by the LSTM
model. Effect of the model is verified, and compared with the results of the BP neural
network. In order to evaluate the prediction effect at different levels of visibility,
classification is performed according to the intervals of 0–1 km, 1–5 km, 5–10 km and
above 10 km. The model effect is analyzed by the Mean Absolute Error (MAE) and the
Root Mean Square Error (RMSE) of the predicted value and visibility.
From Table 2, the mean absolute error (MAE) and the root mean square error
(RMSE) between the forecast results of LSTM model and the observed results of
visibility are smaller than those of BP neural network model. Among them, the root
mean square error (RMSE) of the LSTM model is 4.81 km, which is 0.25 km lower
than the BP neural network. It shows that predicted values of LSTM model is highly
fitted to the observed values, and the stability is good. At the visibility levels of 0–
1 km, 1–5 km and 5–10 km, the mean absolute errors of LSTM model are 0.37 km,
1.25 km and 1.57 km, respectively, which are 1.56 km, 1.58 km and 2.33 km lower
than those of BP neural network method. From the perspective of the mean absolute
error, when the visibility level is below 10 km, the deviation between predicted value
and observed value is less than forecast result of the level above 10 km, which indi-
cates that the prediction effect of the two models below 10 km is stable and higher than
the forecast result of the visibility above 10 km.
Define the TS score, TS = accuracy/(accuracy + empty + missing). Take visibility
less than 1 km as an example. Accuracy means that the observed value is less than
1 km and the forecast result is less than 1 km. Empty means that the observed value is
greater than 1 km and the forecast result is less than 1 km. Missing means that the
observed value is less than 1 km and the forecast result is larger than 1 km. At the same
time, the predicted value of the BP neural network model are compared, as shown in
Table 3.
556 Y. Dai et al.
Table 2. Error analysis of LSTM and BP neural network on forecast visibility

Methods RMSE 0– 1– 5– 10 km/MAE
1 km/MAE 5 km/MAE 10 km/MAE
LSTM neural 4.81 0.37 1.25 1.57 6.07
network
BP neural network 5.06 1.93 2.83 3.90 7.96
Table 3. TS score of LSTM and BP neural network on forecast visibility

Methods 0–1 km/TS 1–5 km/TS 5–10 km/TS 10 km/TS
LSTM neural network 0.22 0.27 0.23 0.38
BP neural network 0.16 0.25 0.22 0.21
From the data of Table 3, the TS scores of this method in 0–1 km and above 10 km
are 0.22 and 0.38, and the forecasting effect is obviously better than BP neural network
method, which are 0.06 and 0.17 greater than that of BP neural network method.
Experimental results in 1–5 km and 5–10 km show that the difference between the two
is only 0.02 and 0.01. In this interval, the prediction accuracy of the two methods is
relatively close. On the whole, the LSTM model has a better application effect in the
low visibility of 0–1 km and the high visibility above 10 km.
In order to visually value the forecasting effect of the LSTM model, the heavy
pollution weather data of Beijing, Tianjin and Hebei region in November 6, 2017 is
selected for testing. The missing data is removed, and a total of 159 test samples are
tested. As shown in Fig. 2, the predicted results are visually compared with the
observed results.
Actual situa on LSTM
25
visibility(km)
20
15
10
5
0
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Station
Fig. 2. The comparison of predicted values of LSTM model and observed values
The red and blue in the line chart represent the true and predicted values of
visibility respectively. As shown in the figure, the forecast effect of the model in the 1–
10 km is slightly better than the forecast effect of the model in the 0–1 km, mainly due
to the lack of heavy-pollution, low-visibility weather data samples, resulting in
insufficient training of the model. From the whole point of view, the predicted results of
the model fit well with the observed values of visibility, and even when the visibility is
extreme, the relevant information can also be captured.
5 Conclusion
The model of visibility prediction based on LSTM recurrent neural network proposed
in this paper is an effective model to deal with time series. Based on the historical
meteorological data of Beijing, Tianjin and Hebei region from October to February of
2015–2016, meteorological factors that highly correlated with visibility are selected
with the Pearson Correlation Coefficient method to build the data set. And weighted
parameters of the model are trained to predict the visibility. With the comparison and
analysis of the experiment, the following conclusions are obtained: (1) The LSTM
model shows good stability in the prediction of multiple sites under the same climate
background. (2) Due to few weather data samples with heavy pollution and extremely
low visibility, the TS score of the LSTM model in 0–1 km is lower than 1–10 km. It
can be seen that increasing the training samples with low visibility in the later period is
beneficial to improve the effect of model in 0–1 km. (3) The visibility forecast skills
based on LSTM neural network are better than that of BP neural network. The TS score
of visibility in 0–1 km is 0.22, and the mean absolute error is 0.34 km. The TS score of
visibility in 1–5 km is 0.27, and the mean absolute error is 1.25 km. The TS score of
visibility in 5–10 km is 0.22, and the mean absolute error is 1.57 km. The TS score of
visibility above 10 km is 0.38, and the mean absolute error is 6.07 km. It can be seen
that the LSTM model has higher application value in visibility forecasting and can
obtain more accurate results.
Acknowledgments. This work has been supported in part by the National Natural Science
Foundation of China (Grant No. 61773220), the National Key Research Program of China (Grant
No. 2016YFC0203301), the Nature Science Foundation of Jiangsu Province under Grant
(No. BK20150523).
References
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strong haze pollution in central and eastern China in January 2013. Chin. Sci. Earth Sci. 1,
3–14 (2014)
2. Yin, S., He, L.: Analysis of atmospheric circulation and weather in January 2015.
Meteorological 4, 514–520 (2015)
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(2014)
558 Y. Dai et al.
4. Zhang, W., Wang, Z., An, J., et al.: Using BP neural network to improve the prediction effect
of real-time forecasting system for air quality of Olympic games. Climatic Environ. Res. 5,
595–601 (2010)
5. Li, Y., Liu, D., Jin, L., Gao, Y.: Application of BP neural network model in Chongqing
drought forecast. Meteorology 12, 14–18 (2003)
6. Cai, Z., Han, S., Yao, Q., Zhang, M.: Study on weather visibility prediction of Tianjin based
on BP neural network, pp. 2848–2854. Chinese Academy of Environmental Sciences (2016)
7. Liu, D., Hu, B., Yuan, Y., Zhang, H.: Application of least squares support vector machine in
visibility prepackage, pp. 1386–1391. Meteorological Society of China (2009)
8. Han, W., Wu, Y., Ren, F.: Air pollution prediction based on full connection and LSTM
neural network. Geogr. Inf. World 3, 34–40 (2018)
9. Jiang, J., Zhang, G., Gao, J.: Main influencing factors of atmospheric visibility in Beijing.
J. Appl. Meteorol. 2, 188–199 (2018)
10. Fan, J., Li, Q., Zhu, Y., Hou, J., Feng, W.: Research on space-time prediction model of air
pollution based on RNN. Sci. Mapp. Sci. 7, 76–83 (2017)
Application of Artificial Intelligence
on the Image Identification of Icing
Weather Phenomena
Xiaoyu Huang1, Chengzhi Ye2(&), Ronghui Cai2, Yao Zhang3,

Lianye Liu2, and Chenghao Fu2
1
hxylry@126.com
2
Hunan Meteorological Office, Changsha 41007, China
yechengzhi_hunan@hotmail.com
3
Beijing Woquxiu Science and Technology Ltd., Beijing 100101, China
Abstract. Based on field experiments at Nanyue Mountain Meteorological

Station and Huaihua National Reference Climatological Station in Hunan Pro-
vince, the camera images of icing weather phenomena, such as glaze, rime and
mixing rime, are collected minutely from January to March in 2018. The con-
volution neural network technology is employed for modelling and training
using the camera images of the icing field experiment at Nanyue station, and the
results of identification are examined by the camera images. Furthermore, based
on deep learning, the environmental layout requirements of ice accretion image
identification are discussed. The main conclusions are as follows. When iden-
tifying icing weather phenomena at Nanyue station, the probability of correction
(PC) is 99.21%, the false acceptance rate (FAR) is 0.28%, and the probability of
omission (PO) is 0.51%. The probability of icing identification increases sig-
nificantly in the initial stage of ice accretion, while that in the sustained stage is
stably around 99.0%, and in the dissipation stage it gradually decreases. False
acceptance and omission occur occasionally during the initiation and dissipation
stages, the transition period between daytime and night, and the nighttime when
the pictures are not clear enough. The test results show that the artificial intel-
ligence identification model established in this paper can extract the key features
of icing in different stages of an icing lifetime, and the identification result is
good. In addition, the false acceptance and omission can be further eliminated
by using the meteorological conditions criteria and judging the consistency of
identification. This method can provide important technical support for the
automatic observation of icing weather phenomena.
Keywords: Icing weather phenomena Artificial intelligence

Automatic identification

https://doi.org/10.1007/978-981-13-7123-3_65
560 X. Huang et al.
1 Introduction
Surface observation is the basis of weather monitoring, weather forecast [1–3], analysis
and prediction on climate [4, 5], and other works. With the advancement of observation
automation and structural reform of vocational work in China, most of the surface
observational projects have realized automation. It greatly reduces the workload of
observers and makes it possible for the observers to focus on the operation system
guarantee and data processing, and to realize the unattended operation of surface
observation. However, at present, many weather phenomena, such as cloud cover,
cloud height, ground condensation and obstruction to vision, still need manual
observation. The disadvantages of strong subjectivity, low observation frequency,
sparse distribution of stations, high input and maintenance costs are becoming
increasingly prominent, which seriously affects the effectiveness of observation
automation [6–8]. In recent years, the image recognition technology based on deep
learning has developed greatly. Research on deep learning by Hinton et al. [9, 10] leads
many scholars to find new research directions and targets, significantly improving the
timeliness and accuracy of deep learning [11]. Convolutional neural network (CNN) is
an algorithm of deep learning, which can realize local connection and parameter
sharing, thus reducing the number of parameters, calculation difficulty and time [12]. It
is a multi-layer feedforward neural network specially designed for processing two-
dimensional input data [13], with strong fault tolerance, self-learning ability and par-
allel processing ability. Krizhevsky et al. [14]. proposed a deep learning algorithm
based on the core of CNN and won the champion of the 2012 ImageNet Competition
with a much lower error rate than second place. After that, the research and application
of CNN have increased exponentially and they are widely used in classifying problems
of various fields. However, the relative researches on the identification and application
of the weather phenomena are few. According to the characteristics of icing, 47 layers
of neural network are designed to analyze the existence of icing and its key features in
different stages of development, so as to automatically identify the phenomena of icing.
The weather phenomena image recognition method in the basis of deep learning is
similar to the observers’ visual observation in principle, avoiding the problems such as
small sample numbers, complex relationships between meteorological elements and the
inconspicuous convergence of model in the process of establishing the statistical
identification model. It is expected to obtain more continuous and quantitative mete-
orological observation information.
Ice accretions, such as surface glaze, rime and mixing rime, are the major weather
phenomena causing freezing disaster in China, which have great impact on industrial
and agricultural production and socioeconomic development. Especially during Jan-
uary 10–February 2 in 2008, southern China suffered from a rare synoptic process of
continuous low temperature, rain, snow and frost [15–17]. According to statistics, more
than 100 million people were affected by this disastrous synoptic process, and the direct
economic losses exceeded 110 billion yuan. Therefore, the observation of glaze and
rime plays an important role in meteorological disaster prevention and mitigation. At
present, the observation of glaze and rime is an artificial observation task. Since Jan-
uary 1 2014, the domestic meteorological stations had stopped the night observation of
Application of Artificial Intelligence on the Image Identification 561
glaze and rime, and planned to cancel the artificial observation task from 2019. In the
absence of automatic observation equipments for glaze and rime, it is necessary to carry
out the study of glaze and rime image recognition algorithm based on deep learning, in
order to satisfy the needs from weather forecast and service.
Based on the field experimental data of icing weather phenomena, including glaze,
rime and mixing rime at Nanyue Mountain Meteorological Station (Nanyue station)
and Huaihua National Reference Climatological Station (Huaihua station) in Hunan
Province, the layout environment requirements of icing weather phenomenon image
identification based on deep learning, are discussed in this paper. By using the
experimental pictures collected at Nanyue station, the CNN deep learning is used to
model and train, and it is tested with the data at the same station. This method provides
technical support for the automatic observation of icing weather phenomena, and also
plays a positive role in effectively promoting the automation of surface observation and
realizing the unattended operation of surface observation.
2 Analysis of Observation Environment
The Nanyue Mountain is situated in the Hengshao Basin of Hunan Province, located in
the Nanyue District of Hengyang City. Nanyue station (27° 18′N, 112° 42′E) is located
on Wangritai mountaintop in Nanyue Mountain Scenic Area. The altitude of the
observation site is 1265.9 m, and the horizontal distance to Zhurong peak (1300 m) is
only 400 m. Nanyue station is a high-altitude station, and in winter there are many
types of icing condensation weather, such as glaze, rime and mixing rime. HuaiHua
station (27° 34′N, 110° 00′E) with higher elevation and much more glaze in winter is
situated in the eastern part of Yunnan-Guizhou Plateau. The two stations can provide
abundant sample data for the research on artificial intelligence identification technology
of image recognition based on deep learning.
The field experiment used hikvision DS-2CD5028FWD/E-IRA web cameras with 2
million black-light. The cameras have functions of network shield integration, ultra-
wide dynamic infrared camera shooting, human eye bionic technology, multi-spectral
imaging technology and so on. The image size is 1920 * 1080 pixels. Due to the
infrared function of the camera, light was not filled at night during the experiments.
In the local observation field at Huaihua station, the camera was fixed only once so
its stability was poor, and the observation scene experienced many changes during the
period of the experimental observation (Fig. 1). Except the glaze observed in Fig. 1B,
the glaze and rime cannot be clearly shot in Fig. 1A, C and D because of their long
focal length, and even in Fig. 1B the observation time is very short. Therefore, the
observation environment at Huaihua station is not conducive to automatic camera
observation of ice accretion.
Nanyue station is a high-altitude station, and the observation environment is harsh
with high winds and thunderstorms. Therefore, the camera was reinforced twice and its
stability was improved significantly. The scene was fixed with a dense forest behind the
ice shelf, and there were icing wires, stainless steel, porcelain, bamboo poles, and screw
steel, etc. on the shelf. The stainless steel was painted red to test the ice accretion on
different media surfaces (Fig. 2). Comparing and analyzing the field experiment
562 X. Huang et al.
Fig. 1. Observation background of HuaiHua Station
pictures and artificial observations, it can be concluded that metal has small heat
capacity, poor hydrophilicity, fast cooling and heating speed. So it is easy to form
icing, but fast for melting. While vegetation has large heat capacity, good
hydrophilicity, slow cooling and heating speed, and the melting speed of icing is
obviously lower than that on metal. The impact of different colors on icing is not
obvious. For example, the beginning of ice accretion on the metal icing shelf at 0:43 on
January 25 (Fig. 2A) is basically the same as the artificial observation. The end time of
ice accretion on the metal ice shelf is 12:30 on February 7, and the ending of vegetation
ice accretion is 11:43 on February 9. The former is 40 h earlier than the latter (Fig. 2B,
C), and the latter is basically consistent with the artificial observation. Consequently,
the icing shelf and the tall dense vegetation background are the necessary conditions for
the observation of ice accretion, and the observation at Nanyue station is consistent
with the artificial observation. During the field experimental observation period (from
January 22 to March 1 2008), few icing pictures were observed at Huaihua station, but
three icing synoptic processes occurred at Nanyue station. The specific times of arti-
ficial observation were: the mixing rime process from 0:40 on January 25 to 12:30 on
February 9 (hereinafter referred to as process 1); the rime process from 8:46 on
February 10 to 17:45 on February 11 (process 2); the mixing rime process from 19:30
on February 20 to 10:17 on February 23 (process 3). During the observation period, the
equipment was damaged due to a lightning strike. The data of February 16–21 and
February 29–30 were missed and icing data in the beginning period of Process 3 was
absent. In brief, because of good observational environment and large sample size, the
data at Nanyue station were selected for modeling.
Fig. 2. Formation and melting process of icing (A: 0:43 on January 25; B: 12:03 on February 7;
C: 11:43 on February 9)
3 Analysis of Observation Data
The sample data for modeling and training are camera pictures photographed at Nanyue
station every 20 min from 07:00 on January 23 2018 to 23:00 on March 1 2018.
1789 pictures are selected as training samples after decontamination. Ice accretion
during the daytime (07:00a.m.–18:59) and the night (19:00–06:59a.m.) at Nanyue
station are respectively shown in Fig. 3A and B. The pictures of the daytime are
significantly better than those of the night. The blurry pictures are very unclear
(Fig. 3C) mainly due to the changes of night camera mode after February 8, thus there
are only the daytime pictures after February 8. The pictures at Nanyue station during
January 23–March 1 2018 are selected as the testing samples, which are not duplicated
and independent with the training samples.
Fig. 3. Contrast of mixing rime between day and night (A: 14:43 on February 6; B: 23:03 on
February 6; C: 04:00 on February 25)
Because of light, focus, weather and other reasons, the sizes of the photographs are
different. In order to calculate conveniently, we uniformly use the numpy, which is a
math library of python, to convert the picture into 299 * 299 pixels (not shown).
4 Technology and Methods
In this paper, after pre-processing and simply tagging the start and end time of ice
accretion, the training model automatically captures the shape, color, texture and other
key information of the ground icing through neural network, and directly extracts
information features from the whole picture instead of manual marking.
4.1 Introduction of Training Model

The more-advanced Google Inception Net training model is adopted in this research,
and the 47-layer Inception V3 (hereinafter, V3) network is used for network training,
while training samples are randomly divided into test samples and training samples at
the ratio of 1:4.
564 X. Huang et al.
4.2 Model Training

Using tf.contrib.slim, based on the V3 network structure, the full connective layer is
deleted to reduce the scale of parameters and enhance the generalization ability of the
network. The entire CNN is customized and its structure is shown in Table 1.
Table 1. V3 Structure table

Typer Kernel patch/stride or remarks Input size
Convo 3 3/2 299 299 3
Convolution 3 3/1 149 149 32
Convolution 3 3/1 147 147 32
Pooling 3 3/2 147 147 64
Convolution 1 1/1 73 73 64
Pooling 3 3/2 35 35 192
Inception modules 3 inception modules 35 35 256
Inception modules 5 inception module 17 17 768
Inception modules 3个 inception module 8 8 1280
Pooling 88 8 8 2048
Linear Logits 1 1 2048
Softmax Classifier 1 1 1000
The training process of CNN is divided into two stages. The first stage is dis-
seminating data from the low level to the high level, or the forward propagation stage.
Another stage is when the results of the forward propagation do not correspond with
expectations, the error is propagated from the high level to the low level, or the back
propagation stage.
The main parameters of the model are shown in Table 2. Training steps denote the
steps must be run before the end of training. Learning_rate denotes the speed at which
the parameters could reach optimal values. Train_batch_size is the number of pictures
trained at a time. Validation_batch_size is the number of pictures used in the evaluation
batch. Eval_step_interval denotes the time interval of estimating the training results.
Table 2. List of training parameters

Training steps Learning rate Train batch size Validation batch size Eval step interval
4000 0.01 100 100 10
5 Result Analysis
The test pictures independent of training samples after decontamination at Nanyue

station are used to test the training model. The probability greater than or equal to 50%
indicates ice accretion, whereas that less than 50% indicates no ice accretion.
5.1 Image-Testing Results at Nanyue Station

One fifth of the 1789 samples that is 358 samples without training are tested. The PC of
identification is 98.88%, the FAR is 0.28%, and the PO is 0.84%.
In addition, 1773 samples without training during January 23–March 1 2018 are
used to verify the model. The results are shown in Fig. 4. The PC is
1759/1773 = 99.21%, the FAR is 5/1773 = 0.28%, and the PO is 9/1773 = 0.51%.
The results are basically consistent with that from the random test of model. The three
icing processes can be clearly analyzed in Fig. 4. The duration of process 1 is the
longest, and those of the second and third processes are shorter. During the icing
formation period the probability increases gradually with the accretion of the con-
densate, but it is fluctuant.
100
75
50
25
0
1-23 1-26 1-29 2-1 2-4 2-7 2-10 2-13 2-16 2-19 2-22 2-25 2-28
Fig. 4. Time series of icing identification probability at Nanyue Station from 7:23 January 23 to
12:20 March 1, 2018
(The blue line expresses the probability of icing identified by the model of each
time level; and the red line indicates the start and end time of the three icing processes.)
Figure 5 shows the pictures of the three processes in the icing stable period
respectively, and all the probabilities are greater than 99.3%. There are many con-
densates in the stable periods of process 1 and process 3, the probability is stably more
than 99%, just like quasi-straight line. Process 2 is a rime process with shorter icing
duration and less condensate, thus the probability fluctuates (Fig. 4).
During the process of icing melting, the probability gradually decreases. The
amount of condensate in the process 1 is maximum, and it began to melt on Feb 7; the
melting time is longer and the probability curve decreases slowly. Process 3 is similar
to process 1, but the condensate is less than process 1, and the melting speed is
relatively faster, the probability curve decreases more rapidly. Process 2 is a rime
566 X. Huang et al.
Fig. 5. Pictures of icing stationary phase in the three processes (A: 13:23 on January 31
(99.9%); B: 7:03 on February 11 (99.3%); C: 13:43 on February 22 (99.9%))
process with short duration, the melting speed is the fastest and the probability curve
drops rapidly (Fig. 4).
There are 9 omissions in the testing pictures, and the probability is less than 50%.
The omission usually occurs at the beginning or near the end of the ice accretion due to
the small amount of condensate and the indistinct characteristics of the ice accretion
(Fig. 6A and B). In addition, when the condensate is little or during the transition of
camera modes between daytime and night, omissions could occur. Under these two
situations, it is also difficult to identify even by manual observation, so, such cases are
few and generally have little impact on the observations.
Fig. 6. Omissions of ice accretion (A: 7:03 on February 9 (41.84%); B: 15:43 on February 11
(36.29%); C: 18:43 on February 22 (23.63%))
There are 5 false accepted pictures in the testing pictures (the probability is greater
than 50%). The false accept mainly appears in the beginning or at the end of the
process. In Fig. 7A, the icing has almost melted, but condensation still exists on the
ground, and the probability of false acception is 50.3%. Because of the decrease of
visibility before the rime formation in Fig. 7B, the image is blurred and the FAR
reaches 85.65%. Due to the discontinuity of false accept pictures and the low FAR, it
has little effect on the observations.
In summary, the PC of identification is more than 98%. The training model can
extract the characteristics of ice accretion very well and identify the icing weather
phenomena effectively. Although the probabilities of false and missing identification
are very low, PC can be further improved by the following measures. On one hand, the
meteorological conditions can be included to eliminate the false identification. On the
other, because the ice accretion is a continuous weather phenomenon, the false
acception and omission can be further eliminated according to the consistency of the
identification criteria.
Fig. 7. False identification of ice accretion (A: 15:23 on February 9 (50.3%); B: 8:03 on
February 10 (85.65%))
6 Conclusion and Discussion
In this paper, the camera images of the icing field experiment at Nanyue station and
Huaihua station are used to model the testing images at Nanyue station by CNN
technology, and the testing data are used to verify the model. On this basis, the
environment conditions for collecting images used for identification of icing weather
phenomena by artificial intelligence are discussed. The main conclusions are as
follows.
(1) Comparing and analyzing the experimental pictures at Nanyue station and
Huaihua station, the environmental conditions for the image acquisition equip-
ment of Nanyue station are similar to manual observation environment and are
better than that of Huaihua station. The Nanyue station is suitable for the auto-
matic observation of icing weather phenomena, including glaze, rime, mixing
rime and so on.
(2) Independent samples are used to verify the effect of the icing training model at
Nanyue station. The PC is 99.21%, the FAR is 0.28%, and the PO is 0.51%. The
probability of ice accretion during the formation period ascends, and the proba-
bility in the stable period is greater than 99.3%. But, it decreases in the melting
period. It shows that the training model can extract the characteristics of icing
weather phenomena very well, and the identification effect of icing is quite good.
However, in the initial stage of icing formation, the end stage, the transition time
of camera modes between daytime and night, or when the pictures are unclear at
night, the false acceptance or omission could occasionally occur. It is recom-
mended to set supplementary lighting at night for increasing the clarity of the
pictures.
(3) Artificial intelligence image recognition method based on deep learning can
identify the icing weather phenomena very well, and can eliminate the false
acceptance and omission by including the meteorological conditions criteria and
judging the consistency of identification. Glaze, rime and mixing rime can be
distinguished by precipitation, temperature, relative humidity, visibility and other
meteorological parameters.
568 X. Huang et al.
(4) Image identification based on deep learning needs to be trained by a lot of image
samples from different fields, backgrounds and illumination conditions. The
quantity of the image samples and the precision of the annotations probably affect
the image recognition effect. In this study, the field testing duration is relatively
short. The corresponding image acquisition standards and specifications will be
studied according to the needs of deep-learning image identification technology
and conditions of meteorological operation. The artificial intelligence model
should be further optimized and improved.
Acknowledgement. This research was funded by the Small Business Construction Project of
China Meteorological Administration (2018) “Comprehensive Meteorological Observation
Intelligent Analysis and Identification System Construction” (QXPG20174022) and Special
Project for Capacity Building of Meteorological Forecasting of Hunan Meteorological Bureau
(2016-2017) “Meteorological element product improvement based on multi-source data fusion
(YBNL16-04)”.
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The Realization Path of Network Security
Technology Under Big Data and Cloud
Computing
Nan Kang1(&), Xuesong Zhang1(&), Xinzhou Cheng2(&),

Bingyi Fang1(&), and Hong Jiang1(&)
1
Unicom Cloud Data Limited Liability Company, China United Network
Communications Corporation, Beijing 100084, People’s Republic of China
{kangnan,zhangxs18,fangby2}@chinaunicom.cn,
jh13402510702@163.com
2
Network Technology Research Institute, China United Network
Communications Corporation, Beijing 100048, People’s Republic of China
694451784@qq.com
Abstract. This paper studies the cloud and big data technology based on the
characters of network security, including virus invasion, data storage, system
vulnerabilities, network management etc. It analyzes some key network security
problems in the current cloud and big data network. Above all, this paper puts
forward technical ways of achieving network security. Cloud computing is a
service that based on the increased usage and delivery of the internet related
services, it promotes the rapidly development of the big data information pro-
cessing technology, improves the processing and management abilities of big
data information. With tie rapid development of computer technology, big data
technology brings not only huge economic benefits, but the evolution of social
productivity. However, serials of safety problems appeared. How to increase
network security has been become the key point. This paper analyzes and dis-
cusses the technical ways of achieving network security.
Keywords: Network security Big data Cloud
1 Introduction
Cloud computing is a kind of widely-used distributed computing technology [1–3]. Its

basic concept is to automatically divide the huge computing processing program into
numerous smaller subroutines through the network, and then hand the processing
results back to the user after searching, calculating and analyzing by a large system of
multiple servers [4–6]. With this technology, web service providers can process tens of
millions, if not billions, of information in a matter of seconds, reaching a network
service as powerful as a supercomputer [7, 8]. Cloud computing is a resource delivery

https://doi.org/10.1007/978-981-13-7123-3_66
The Realization Path of Network Security Technology 571
and usage model, it means get resource (Hardware, software) via network. The network
of providing resource is called ‘Cloud’. The hardware resource in the ‘Cloud’ seems
scalable infinitely and can be used whenever [9–11].
Cloud computing is the product of the rapid development of computer science and
technology. However, the problem of computer network security in the background of
cloud computing brings a lot of trouble to people’s life, work and study [12–14].
Therefore, scientific and effective management measures should be taken in combi-
nation with the characteristics of cloud computing technology to minimize the risk of
computer network security and improve the stability and security of computer network.
This paper briefly introduces cloud computing, analyzes the network security problem
of computer under cloud computing, and expounds the network security protection
measures under cloud computing.
2 Model Construction of Cloud Computing Technology

in Data Processing
Processing data by cloud computing can save the energy expenditure and reduce the
dealing cost of big data, so that it can improve the healthy development of cloud
computing technology. Analyzing big data by cloud computing technology can be
shown by a directed acyclic data flow graph G ¼ ðV; EÞ, and the cloud service module
in the Parallel selection mechanism is made up by a serial group V ¼ fiji ¼ 1; 2; . . .; vg
and a serial of remote data transfer hidden channels E ¼ fði; jÞji; j 2 Vg. Assuming the
date transmission distance of the data flow model in C=S framework is
T0 þ B þ is þ Td þ ji þ 1\T0 þ B þ is þ Td.
The directed graph model GP ¼ ðVP; EP; SCAPÞ explanation, EP represent
LKSET, the VP cross channel bearing the physical node set, the SCAP explains the
quantity of data unit of physical node. Besides, assuming undirected graph GS ¼
ðVS; ES; SARSÞ expresses data packet markers input by application. The process of link
mapping between cloud computing components and overall architecture can be
explained by:
eS ¼ PðvS ! vtÞ; eS 2 ES; ð vs; vtÞ 2 VS ð1Þ
For the different customer demands, building an optimized resource-allocated

model to build the application model that processed by big data. The built-in network
link structure for big data information processing as follows:
572 N. Kang et al.
Fig. 1. Built-in network link structure for big data information processing
In Fig. 1, the ith transmission package in the cloud computer is ith. Let Ti represent
the transmission time of ith. The interval of Component is mapped to thread or process
is showed by ji ¼ Ti Td , when ji ¼ Ti Td in the range of (−∞, ∞), the weight of
node I is Wi which computing time, the detail application model of big data infor-
mation processing is shown in Fig. 2
Fig. 2. The application model of the big data information processing
3 The Formulation of Cloud Computing in Computer Data

Processing
In the mobile cloud system model, the grid architecture that relies on local computing
resources and the wireless network to build cloud computing, which will select the
components of data flow graph to migrate to the cloud, Computer data processing cloud
computing formula modeling, fGðV; EÞ; si; di; jg is the given data flow applications,
assuming that the channel capacity is infinite, the problem of using cloud computing
technology to optimize big data information processing is described as follows
1
maxmax TP ¼ ; i; j 2 f0; 1; ; v þ 1g ð2Þ
xi;yi;jxi;yi;j tp
Among them:
si X di;j ðxi xj Þ2
tp ¼ maxfmax maxðxi : Xi Þ; max max ð Þg ð3Þ
i2v i2v gp i2v ði;jÞ2E ði;jÞ2E yi;j
The energy overhead of data flow migrating between groups in mobile cloud
computing is described as:
nQ
k ¼ Intð Þþ1 ð4Þ
1Q
4 Main Characteristics of Network Security Technology

4.1 Security
In the context of big data, cloud computing, users can save the data in the cloud and then
process and manage the data. Compared with the original network technology, it has
certain data network risks, but its security coefficient is higher. Cloud security tech-
nology can utilize modern network security technology to realize centralizing upgrade
and guarantee the overall security of big data. Since the data is stored in the cloud,
enhancing the cloud management is the only way to ensure the security of the data.
4.2 Convenience
Big data stored in the cloud usually affects network data. Most enterprises will connect
multiple servers so as to build computing terminals with strong performance. Cloud
computing itself has the convenience. Customers of its hardware facilities do not need to
purchase additional services. They only need to purchase storage and computing ser-
vices. Due to its particularity, cloud computing can effectively reduce resource con-
sumption and is also a new form of energy conservation and environmental protection.
4.3 Participatory
When local computers encounter risks, data stored in the cloud will not be affected, nor
will it be lost, and at the same time these data will be shared. The sharing and transfer
of raw data is generally based on physical connections, and then data transfer is
implemented. Compared with the original data research, data sharing in big data cloud
computing can be realized by using the cloud. Users can collect data with the help of
various terminals, so as to have a strong data sharing function.
574 N. Kang et al.
5 Security Issues
5.1 System Vulnerabilities
Most computer networks have risks from system vulnerabilities. Criminals use illegal
means to make use of system vulnerabilities to invade other systems. System vulner-
abilities not only include the vulnerabilities of the computer network system itself, but
also can easily affect the computer system due to the user’s downloading of unknown
plug-ins, thus causing system vulnerability problems.
5.2 Virus Invasion

With the continuous development of the network, its virus forms are also diverse, but
mainly refers to a destructive program created by human factors. Due to the diversity of
the virus, the degree of impact is also different. Customer information and files of
enterprises can be stolen by viruses, resulting in huge economic losses, and some of the
viruses are highly destructive, which will not only damage the relevant customer data,
but also cause network system paralysis.
5.3 Data Storage

In the context of big data cloud computing, external storage of the cloud computing
platform can be realized through various distributed facilities. The service characteristic
index of the system is mainly evaluated through high efficiency, security and stability.
Storage security plays a very important role in the computer network system. Computer
network system has different kinds, large storage, the data has diversified character-
istics. The traditional storage methods have been unable to meet the needs of social
development. Optimizing the data encryption methods cannot meet the demand of the
network. The deployment of cloud computing data and finishing need data storage has
certain stability and security, to avoid economic losses to the user.
5.4 Network Management

In order to ensure data security, it is necessary to strengthen computer network man-
agement. All computer managers and application personnel are the main body of
computer network security management.
If the network management personnel do not have a comprehensive understanding
of their responsibilities and adopt an unreasonable management method, data leakage
will occur. Especially for enterprise, government and other information management,
network security management is very important. In the process of application, many
computers do not pay enough attention to network security management, leading to the
crisis of computer intrusion, thus causing data exposure problems.
6 Ways to Achieve Network Security

6.1 Save and Encrypt Data
One of the main factors influencing the big data cloud save system is data layout.
Exploring it at the present stage is usually combined with the characteristics of the data
to implement the unified layout. Management and preservation function are carried out
through data type distribution, and the data is encrypted. The original data stored in
more than one cloud, different data management level has different abilities to resist
attacks. For cloud computing, data storage, transmission and sharing can apply
encryption technology. During data transmission, the party receiving the data can
decrypt the encrypted data, so as to prevent the data from being damaged or stolen
during the transmission.
6.2 Build Network Walls

The intelligent firewall can identify the data through statistics, decision-making,
memory and other ways, and achieve the effect of access control. By using the
mathematical concept, it can eliminate the large-scale computing methods applied in
the matching verification process and realize the mining of the network’s own char-
acteristics, so as to achieve the effect of direct access and control. The intelligent
firewall technology includes risk identification, data intrusion prevention and outlaw
personnel supply warning. Compared with the original firewall technology, the intel-
ligent firewall technology can further prevent the network system from being damaged
by human factors and improve the security of network data.
6.3 Introduction of Encryption Protection Technology

The system encryption technology is generally divided into public key and private key
with the help of encryption algorithm to prevent the system from being attacked.
Meanwhile, service operators are given full attention to monitor the network operation
and improve the overall security of the network. In addition, users should improve their
operation management of data. In the process of being attacked by viruses, static and
dynamic technologies are used. Dynamic technologies are efficient in operation and can
support multiple types of resources.
7 Use Case: Shenzhen E-Government Resource Center

Security Isolation System
Safety isolation system is usually called virtualizes distributed firewalls (VDFW). It

made up of security isolation system centralized management center and security
service virtual machine (SVM). The main role of this system is to achieve network
security. The key functions of the system are as follows.
576 N. Kang et al.
7.1 Access Control

Access control functions analyze source/destination IP addresses, MAC address, port
and protocol, time, application characteristics, virtual machine object, user and other
dimensions based on state detection access control. Meanwhile, it supports many
functions, including the access control policy grouping, search, conflict detection.
7.2 Intrusion Defense

Intrusion prevention module judge the intrusion behavior by using protocol analysis
and pattern recognition, statistical threshold and comprehensive technical means such
as abnormal traffic monitoring. It can accurately block eleven categories of more than
4000 kinds of network attacks, including overflow attacks, RPC attack, WEBCGI
attack, denial of service, trojans, worms, system vulnerabilities. Moreover, it supports
custom rules to detect and alert network attack traffic, abnormal messages in traffic,
abnormal traffic, flood and other attacks.
7.3 Malicious Code Protection

It can check and kill the Trojan, worm, macro, script and other malicious codes
contained in the email body/attachments, web pages and download files based on
streaming and transparent proxy technology. It supports FTP, HTTP, pop3, SMTP and
other protocols.
7.4 Apply Identification

It identifies the traffic of various application layers, identify over 2000 protocols; its
built-in thousands of application recognition feature library.
8 Conclusion
This paper studies the cloud and big data technology. In the context of large data cloud
computing, the computer network security problem is gradually a highlight, and in this
case, the computer network operation condition should be combined with the modern
network frame safety technology, so as to ensure the security of the network infor-
mation, thus creating a safe network operation environment for users.
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(2015)
Rate Control in HEVC: A Survey
Jiaqi Zou1,2,3(&) and Bingyi Li1,2,3

1
jqzou@bupt.edu.cn
2
Beijing, China
3
Abstract. Rate control is an important tool in video coding. So far, R-k based
rate control algorithm for rate control is widely used in High Efficiency Video
Coding (HEVC). In this paper, we present a survey on the algorithm of R-k
based rate control process, including bit allocation and rate control coding by
parameters calculation. Firstly, we provide bit allocation method at three levels:
group of pictures (GOP), frame, and basic unit level. Secondly, the method-
ologies of coding parameters calculation are presented. Then, we summarize the
recent research achievements and future directions and finally open problems are
discussed.
Keywords: Rate control HEVC R-k model
1 Introduction
Rate control is of vital importance in video applications, particularly in which that

constrained by bandwidth requirements, such as real-time video services. Due to the
importance of rate control, a large number of rate control algorithms have been pro-
posed in HEVC. In general, rate control algorithms include into two steps. The first one
is bit allocation. In GOP, frame, and BU level, an appropriate amount of bits is
allocated. And then, in the second step, the algorithm is required to achieve the allo-
cated number of bits, with calculation of the coding parameters required [1].
Overall, the proposed rate control algorithms can be categorized into two kinds.
One assumes that R and Q are closely related, including Q-domain algorithm [2] and
q-domain algorithm [3]. The other believes that there is a closer connection between k
and R, such as k-domain algorithm that is usually adopted in HEVC.
In this paper, we concentrate on k-domain rate control algorithms. In Sect. 2, we
introduce algorithms in each bit allocation level, including GOP, frame, and basic unit
level. In Sect. 3, we introduce methodologies of coding parameters calculation. In
Sect. 4, the future of rate control in HEVC is discussed and more insights might be
provided for the design of rate control in HEVC.

https://doi.org/10.1007/978-981-13-7123-3_67
Rate Control in HEVC: A Survey 579
2 Bit Allocation
In most rate control models, bit allocation is adapted in three levels: GOP level, frame
level, and basic unit level. For HEVC, one basic unit can be divided into one or more
coding units (CU). Except three levels above, bit allocation for the first picture is one
special level as encoder is hardly to know the first picture’s information and allocate a
proper number of bits and in most cases, the encoding parameters are appointed by
users.
2.1 GOP Level

At GOP level, [2] uses the same bit allocation strategy as the strategy in H.264/AVC
[5]. However, the GOP structure in HEVC is different from H.264/AVC, so the pre-
vious GOP level bit allocation method is not suitable. Thus, [1] uses a sliding window
to smooth the bitrate adjustment in GOP level. By using the sliding window, this
algorithm can allocate more bits for current GOP if the previous GOPs have been
allocated fewer bits and vice versa. In [4] the bits allocated for each GOP are uni-
formed, which is suitable for low delay configuration. [6] proposes a new GOP level
algorithm that matches with the encoding structure of HEVC, and the filling degree of
encoder buffer is nearly reduced to zero. Figure 1 show the new open-GOP coding
framework.
Fig. 1. Figure gives a demonstration of the intra-frame period of four GOPs with a size of eight
frames. The I frame is represented by a black bar (the last one in GOP0). In this picture, only
GOP0 consists of an I frame.
2.2 Frame Level

[7] proposes a rate control method in frame-level, which is based on textured and non-
textured models. In [8, 9], distinct R-k models are allowed to use in different regions of
a frame, and a higher bit rate is allocated in the region of interest (ROI) as while as
holding the overall bit rate approaching target number. Besides, [10] proposes an
algorithm of lossless ROI in intra-coding in rate control. And [11] proposes a method
for intra-coding based on block predictive transform coding (PTC) that approximates
the rate-distortion (RD) curve linearly in every frame. [12] studies the influence of the
size of encoding units on encoding efficiency and complexity in HEVC intra prediction
using off-line and on-line training machine learning models. We can see that in frame
level, most of the algorithms proposed recently tend to allocate different bits by ana-
lyzing the different characteristics of regions and intra coding is increasingly popular.
580 J. Zou and B. Li
2.3 BU Level
In HEVC, one BU can consist of one or more CUs. In BU level, one important topic is
how to divide CUs and code in different CU. [13] proposes an algorithm which is able
to decide the size of CU in a fast way that terminates the homogeneous CUs. After that,
for the rest CUs, it used two linear support vector machines (SVMs) to decide CU
division and termination. [7] categorizes the depth of CUs into three levels including
low-texture, medium-texture and high-texture level and take the distinguish statistical
characteristics into consideration and use Laplacian probability density function to
calculate the transform ratio residues. Besides, in order to find the best coding unit, [14]
proposes a convolutional neural network (CNN) aimed to classify units. The algorithm
can learn the region-wise images’ characteristics.
3 Rate Control Coding
After allocating appropriate bits for each level, the encoder is required to achieve
allocated bits by adjusting coding parameters. Coding parameters calculation is usually
adapted by the bit allocation strategy. Coding strategies based on R-k model which
approximate the rate of the RD curve while taking the difference between intra-frame
and inter-frame into account, which have been proved a good performance. Figure 2
gives a typical demonstration of R-D curve in videos.
Fig. 2. A typical operational RD curve.
In R-k model, it’s of vital importance to accurately calculate the value of k, because
k largely depends determines the accuracy of algorithm. For this reason, the R-k based
rate control algorithm designs a special methodology to calculate the coding parameters
and update the value of k in encoding procedure by using trained data [15].
[13] proposed a new algorithm to calculate k value, which does not need trained
models. Instead, it uses piecewise linear approximations. In each frame, it linearly
approximate k by the actual rate and distortion of coded blocks.
After the value of k is determined, other coding parameters including QP can be

calculated by exhaustive RDO search. In [9] a multi-R-k model is proposed. Consid-
ering the different characteristics of different regions, it uses three different R-k models
to approximate the RD curve, and achieves better accuracy in high-dynamic range. In
the proposal of [8], the models of CUs from the region-of-interest is independent from
the non-region-of-interest. Their parameters are computed separately. And [17]
improves the performance of error tolerant algorithms in [15] by considering region-of-
interest information in rate control for each frame. In [16], a QP accommodation
algorithm is proposed. This algorithm is based on a header bits’ map that is calculated
by convolutional neural network and has low complexity.
4 Future Topics
As we mentioned above, a lot of works based on R-k model aim to allocate appropriate
bit rate and achieve the target bit by updating parameters, and they are proved to
achieve good performance.
In general, recent works on rate control concentrate on two subjects: one is to
consider special rate control strategies for special situation, such as [9] concentrating on
high dynamic range imaging (HDR), [18–20] aimed to screen content coding (SCC),
and the proposal in [21] applying for 3-D HEVC; the other is to apply distinct R-k
models for different parts and compute coding parameters separately, such as proposals
in [8–11]. We believe in the future, research on special situation will go deeper, with
more analyses and better development on SCC, 3-D, HDR and so on. Multi-R-k model
may also result in wider application.
Moreover, although current rate control algorithms in HEVC have a good capa-
bility, they have not been accurately designed for coding intra frames. Thus their
accuracy in achieving a target bit rate cannot reach a high level. More algorithms of
intra-coding may be proposed.
Besides, with the development of deep-learning, some algorithms based of neural
network have been applied in video coding. The proposed algorithms perform good
accuracy and low complexity in simulation. We believe deep-learning in HEVC may
be another hot topic in the next few years.
5 Conclusion
In this paper, we present a survey for rate control in HEVC from the perspective of bit
allocation and coding parameters calculation. There are kinds of bit allocation strategies
at each bit allocation level, and methodologies of coding parameters calculation are
adapted accordingly. With tractable theoretical analysis, more insight might be pro-
vided for the design of video coding, especially for special situation video coding and
multiple coding models building.
582 J. Zou and B. Li

(Project 61471066) and the open project fund (No. 201600017) of the National Key Laboratory
of Electromagnetic Environment, China.
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2. Choi, H., Nam, J., Yoo, J., Sim, D., Bajic, I.: Rate control based on unified RQ model for
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Screen Content Coding: A Survey
Bingyi Li1,2,3(&) and Jiaqi Zou1,2,3

1
cynthiali2010@hotmail.com
2
Beijing, China
3
Abstract. Screen content is partly driven by the rapid development of screen

applications such as wireless display, screen sharing, cloud computing and
gaming, etc. Different from camera-captured content, screen content has rela-
tively bad continuity in spatiotemporal domain and severe movements or sudden
changes may occur in continuous pictures. Owing to the special characteristics
of screen content, conventional coding tools including High Efficiency Video
Coding (HEVC) standard are unsuitable for screen content coding (SCC).
A SCC extension to HEVC was brought out and developed to meet the demand
of screen content coding. This paper provides a brief survey on the main coding
tools in the HEVC-SCC extension. Screen content sequences also pose chal-
lenges on transmission due to its discontinuity. The alternate presentation of
moving and stationary pictures makes the exploitation of bandwidth a technical
difficulty. This paper introduces the improvements of SCC rate control in HEVC
with better transmission performance and more efficient bandwidth utilization.
Keywords: Screen Content Coding (SCC)

High Efficiency Video Coding (HEVC) Video coding Rate control
1 Introduction
The early development of the well-known High Efficiency Video Coding (HEVC) and
H.264/AVC [1] is primarily concentrated on camera-captured content sequences.
However, the phenomenon that not just camera-captured content is displayed on video
devices has become popular in recent years. This video sequence containing a large
amount of moving or stationary pictures, text, together with camera-captured content is
mostly used in specific situations such as remote computer desktop access, wireless
displays, and video conferencing screen sharing [2]. This kind of content is called
screen content, which shows very different characteristics in comparison with that
captured by camera. The sequence captured by the camera has relatively good conti-
nuity in the spatiotemporal domain. While in the sequence of screen content, timely
continuous pictures may show significant movement or sudden change, and spatially, a
single image may have large flat areas with high contrast and sharp edges. Due to these

https://doi.org/10.1007/978-981-13-7123-3_68
Screen Content Coding: A Survey 585
different characteristics, coding tools initially proposed for camera-captured sequences

are unsuitable for screen content sequences. Since screen content has particular features
such as repetitive patterns, no noise from sensors, delimited color categories, and the
same regions or slices in one sequence, the coding performance and compression
efficiency can be significantly improved if these characteristics properly leveraged.
Screen content was taken into consideration during the development of the first
edition of the High Efficiency Video Coding (HEVC) standard, known simply as
HEVC version 1 [3], which was settled down in January 2013, and HEVC range
extensions (HEVC-RExt) [4], which was developed after HEVC version 1. Although
screen content was not the key point of these standards which targeted camera-captured
content, there are coding tools designed for screen content as well. In HEVC version 1,
a Transform Skip Mode [5–8] is introduced due to the sharp, irregular edges and shapes
in screen content images. This feature leads to residual signals already sparse after the
prediction procedure because the background of screen content can be accurately
predicted while the foreground not due to its irregularity. If residuals still transform as
the conventional coding structure under such circumstances, energy will be spread out
rather than being compacted, which destroys the sparsity and will have bad influence
on the next procedure of entropy coding. Therefore, skipping transform is adopted and
turns out to be a good improvement for coding efficiency in screen content sequence. In
HEVC-RExt, several improvements are made for the Transform Skip Mode [9–12] and
other tools targeted screen content coding are added such as Residual Differential Pulse
Code Modulation (RPDCM) [13–15], which was introduced for intra lossless coding
and later extended to inter coding and lossy coding, Cross-Component Prediction
(CCP) [16], which helps coding efficiency for videos with RGB format, the domain
which screen content is exactly captured in, and so on.
In January 2014, a series of demands raised for an extension of HEVC for screen
content coding was published [2]. In July 2014, the HEVC-SCC extension Draft Text 1
[17] was published. Up to present, SCC has been added in the fourth version of HEVC.
The rest of the paper is organized as follows: Sect. 2 briefly describes the coding
tools included in HEVC-SCC extension. Section 3 presents the technical difficulty in
transmission of screen content sequence and the improvements in screen content
coding rate control. Finally, Sect. 4 concludes the whole paper.
2 HEVC-SCC Extension
As an extension of HEVC standard, HEVC-SCC extension mainly focuses on the

application of screen content video, inheriting the coding tools of HEVC version 1 [3]
and HEVC RExt [4] as the basis of its development. Following are several main coding
tools proposed and incorporated in HEVC-SCC extension.
2.1 Intra-Block Copy (IBC)

In modern video coding, motion compensation plays an essential role. In order to
exploit the bandwidth of the video signal, the correlation between adjacent images has
been studied. The method of block matching and copying in one image originated from
586 B. Li and J. Zou
this concept. When this concept is applied to the video captured by the camera, it turns
out not very successful because text patterns in adjacent areas of space may share
similarity with ongoing coding blocks, while often change as space steadily changes.
Therefore, accurate match for blocks is hard to find in the same image, thus limiting the
improvement of coding performance. However, for screen content, it is difficult to find
spatial correlation between pixels in the same image. For a typical screen content
sequence, repeated patterns frequently occur in the same image. Therefore, block
copying in a single image is possible and turns out very efficient.
Therefore, Intra-Block Copy mode is proposed as a new prediction mode to take
advantage of the particular feature.
In this mode, the blocks which have previously been reconstructed are used for
predicting the prediction unit (PU) in the same image. The relative displacement from
the position of the present PU to the reference block position is shown by the dis-
placement vectors (block vectors or BVs). Then, the compensated prediction error is
coded in the same way as the residual in HEVC version 1 [3]. An illustration of IBC is
shown in Fig. 1.
Fig. 1. An illustration of IBC.
In [18], an IBC fulfillment is integrated into a software platform, which is founded

for the generation development of the next video coding standard and hosted by Joint
Video Expert Group (JVET). The simulation results in [18] show that IBC can remain
great improvement on coding efficiency in screen content test sequences in the latest
JVET with all state-of-the-art coding tools beyond HEVC enabled.
2.2 Palette Mode

In addition to repeated text patterns in one image, another unique feature of screen
content is that the number of colors used in blocks is statistically smaller than that in
camera-captured content of the same size. For example, one coding block usually only
contains the color of foreground and background text in a textual screen content pic-
ture. Sometimes text characters have random patterns, which makes it difficult for the
current encoding block to find out matching blocks from previously encoded pictures.
In this case, efficient compression using directed local intra prediction is also chal-
lenging. Palette Mode is a proposed coding tool and has been proved effective in
processing this type of source.
Fig. 2. An example of palette mode.
In short, palette coding is a prediction method based on colors [19, 20]. All the
pixels of the encoding block (the values of three components, R/G/B or Y/Cb/Cr) are
categorized as a list of colors. The main color is the representative color, which occurs
frequently in blocks. For each coding unit (CU) in palette mode, an index table of color
is created. Every index entry in the table is combined with three sample values (R/G/B
or Y/Cb/Cr). Except barely used pixels, almost all pixels are transformed into matching
indexes in CU. These rare pixels are called escaped pixels. They are set apart in the
index table and unable to be quantized to dominant colors with ESCAPE symbols
marked. Actual values of these escaped pixels are explicitly signaled. These indexes,
ESCAPE included, are run-length coded, predicting from the upper or left neighbor. An
illustration of Palette Mode is shown in Fig. 2.
[21] proposed a pre-decision approach for fast palette mode on the basis of ana-
lyzing color complexity in video data. The approach saved approximately 74.24%
computation in game video experiments compared with HEVC-SCC palette mode.
Meanwhile, the bjøntegaard delta bit rate (BDBR) only increases about 0.36% and the
bjøntegaard delta peak signal-to-noise rate (BD-PSNR) averagely decreases 0.03 dB.
2.3 Adaptive Color Transform (ACT)

Adaptive Color Transform (ACT) performs on the coding unit (CU) level. In this CU, a
flag which occupies 1 bit is used to indicate whether a color space transform is con-
ducted for each predicted residual pixel. The goal of ACT is that there to be a certain
correlation among different components of the same pixel for a given color space (for
example, RGB space). Even after the prediction from adjacent spatial or temporal
pixels, the correlation still exists among residual pixel components. Color space
transform may help compact energy and thus improve coding performance. ACT is
used both for lossy [22] and lossless [23] coding.
2.4 Adaptive Motion Vector Resolution (AMVR)

The movements in screen content pictures are supposed to have an integer displace-
ment. Thus, the aliasing effect caused by motions happened in time domain sampled by
camera may be invalid. If motion compensation is skipped, the bits for presenting
motion vectors can thus be saved. Yet, the method is obviously unsuitable for camera-
captured content due to the use of integer motion vector resolution.
A flag placed on the slice level is proposed in [24] to indicate the resolution mode
(integer or quarter pixel) the motion vector is at in this slice.
On the decoder side, if integer motion vectors are used in slices, decoded motion
vectors should be left moved by two. For the design of the encoder, different methods
are suggested to decide if the integer motion is suitable for the ongoing coding slice. In
the two-channel method, integer motion and quarter-pixel motion are used to encode
the current slice twice, and then the method with better rate-distortion (RD) perfor-
mance is chosen. The encoder time is doubled as a result.
Pre-analysis of slice content is conducted by using the original pixel in the alter-
native method. The percentage of 8 8 homogeneous block is calculated. Isomorphic
blocks are defined as slices that match perfectly in the first reference image in List 0, or
they have no text pattern (the whole block is a value). If the estimated percentage of
8 8 uniform blocks exceeds the predefined threshold, a flag on the slice level will be
used for integer motion. Then, the dual-pass coding procedure can be avoided, and
most of the coding performance gains in the dual-pass method can thus be maintained
(BD rate savings from 3 to 4%) for 1080p test sequences. Pay attention that for
animated video or camera-captured video sequences, no giant benefits for coding
performance are observed with this tool.
3 SCC Technical Difficulty and Improvement

3.1 SCC Technical Difficulty
Screen content has very different characteristics in comparison with camera-captured
content. The sequence captured by the camera has relatively good continuity, while
screen content sequence has poor correlation between previous and subsequent frames.
The probability of mutation is much greater than that of natural images captured by
camera. Due to the discontinuity of the screen content sequence, some complex frames
may consume too many bits in the coding process, which may affect the coding of
subsequent frames and cause the problem of out-of-control rate in the whole video
coding process, thus leading to unstable transmission and inappropriate use of band-
width. Therefore, existing rate control schemes primarily designed for camera-captured
content in HEVC turn out unsuitable for screen content coding and improved bit
allocation and rate control schemes are required for better transmission performance
and more efficient bandwidth utilization for SCC.
[25] analyzed the characteristics of each frame of screen content sequence and
proposed a rate control optimization scheme for screen content coding based on HEVC.
Through modeling and analysis, abrupt pictures in a screen content sequence are
predicted effectively, and a compensation window is added to ensure the video quality
under the premise of bitrate control. In order to better allocate resources and avoid
bitrate runaway, [25] also introduces sliding window bit allocation instead of traditional
GOP bit allocation, and achieves good results.
3.2 SCC Rate Control in HEVC

To describe the improved SCC Rate Control in HEVC, conventional rate control mode
in HEVC should be introduced first. Common rate control scheme is divided into two
steps: bit allocation and bit control. First, proper bits are allocated to every specific
level, which is group of picture (GOP) level, picture level and coding unit (CU) level.
After properly allocating the bits, the second part is adjusting parameters during coding
process to make actual consumed bits close to the previously allocated target bits.
In the improved SCC Rate Control scheme [25], because there exists many sta-
tionary frames in screen content sequence which consume very few bits besides abrupt
frames, a sliding window bit allocation is used in the first step to replace the traditional
GOP-level bit allocation in order to make full use of bandwidth resources. The analysis
of each image’s complexity in the screen content sequence is done within the sliding
window. Bit allocation will be conducted according to the complexity analysis of each
image. Due to the long sliding window, resources can be allocated uniformly, so that
existing resources can be distributed more optimally. Meanwhile, abrupt pictures are
predicted and specially processed in the sliding window. If the current frame is an
abrupt frame, the coding parameters will be adjusted as the second step according to the
allocation of bits and actual consumption bits in the coding process, so that the
parameters can get the optimal value quickly and converge in the iteration process.
After the processing of abrupt pictures, a compensation window is added to com-
pensate quality loss due to the bitrate control so as to improve the quality of the whole
sequence. The flow chart of the improved SCC Rate Control scheme is illustrated in
Fig. 3.
[26] proposed another rate control scheme targeting on the frame level. Firstly, to
present the similarity among continuous frames in SCC sequences, inter frame corre-
lation (IFC) is calculated. Frames are further divided into two major kinds - key frames
(KFs) and non-key frames (NKFs), on the basis of IFC. Secondly, based on IFC and
Hypothetical Reference Decoder (HRD), an effective bit allocation scheme designed
for KFs and NKFs is proposed, which can guarantee R-D performance well. Finally, a
rate-quantization (R-Q) model for KFs and NKFs is established with the features of
these two kinds of frames taken into consideration. Therefore, the rate control scheme
proposed in [26] is able to achieve accurate bit allocation on the frame level. This
method has low coding delay and low coding complexity burden, which enables it to
be applied in real screen sharing scenarios. Results from experiments show that this
method achieves more accuracy with better R-D performance than the rate control
scheme recommended in HEVC. In detail, the mismatch of bit rate is less than 1.4% on
average and R-D performance improves by more than 19% in general.
Fig. 3. The flow chart of the improved SCC rate control scheme.
4 Conclusion
Coding tools added in HEVC-SCC extension which were primarily designed for screen
content coding have made great improvements in SCC. With new coding tools under
development, screen content coding is expected to achieve higher efficiency. In rate
control of screen content coding, aiming at the discontinuity of screen content
sequence, an abrupt frame prediction mechanism is added. Meanwhile, the bit allo-
cation and parameter updating in bitrate control are improved. The rate runaway is
prevented and the coding quality is guaranteed, thus improving the coding efficiency in
SCC.

(Project 61471066) and the open project fund (No. 201600017) of the National Key Laboratory
of Electromagnetic Environment, China.
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document ITU-T Rec. H.264 and ISO/IEC 14496-10, May 2003
2. Yu, H., McCann, K., Cohen, R., Amon, P.: Requirements for an Extension of HEVC for
Coding of Screen Content, ISO/IEC JTC 1/SC 29/WG 11, document MPEG2014/N14174,
San Jose, CA, USA, January 2014
3. Sullivan, G.J., Ohm, J., Han, W.-J., Wiegand, T.: Overview of the high efficiency video
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document JCTVC-L0428, Geneva, Switzerland, January 2013
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TUs, document JCTVC-N0288, Vienna, Austria, July 2013
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document JCTVC-J0053, Stockholm, Sweden, June 2012
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document JCTVC-M0351, Incheon, Korea, April 2013
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Residual DPCM, Incheon, Korea, document JCTVC-M0442, April 2013
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Plane Prediction for RGB Content, document JCTVC-M0230, Incheon, Korea, April 2013
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Intelligent Fitness Trainer System Based
on Human Pose Estimation
Jiaqi Zou1,2,3(&), Bingyi Li1,2,3, Luyao Wang3, Yue Li4,

Xiangyuan Li4, Rongjia Lei1,2,3, and Songlin Sun1,2,3
1
National Engineering Laboratory for Mobile Network Security, Beijing
University of Posts and Telecommunications, Beijing, China
jqzou@bupt.edu.cn
2
Beijing, China
3
School of Information and Communication Engineering, Beijing University of
Posts and Telecommunications, Beijing, China
4
School of Computer Science, Beijing University of Posts and
Telecommunications, Beijing, China
Abstract. With the popularization of health concept, the demand of fitness

trainer system has increased. However, the existent trainer systems only provide
motion demonstration but lack users’ motion feedback. This paper designs and
implements intelligent fitness trainer system based on human pose estimation,
which not only shows fitness training courses but also provides motion cor-
rection. The system obtains users’ motion data by optical camera, and then
applies human pose estimation, finally providing motion correction advice. In
this paper, we present the system design on hardware and software, and intro-
duce the applied human pose estimation algorithm in detail. The field trail
results show that the system exerts a good influence on fitness training.
Keywords: Fitness trainer Human pose estimation Deep-learning
1 Introduction
1.1 Research Background and Meaning

Yoga, Taijiquan and other fitness exercises are becoming more and more popular, but
incorrect exercise cannot achieve fitness effects as well as be harmful to human body.
For this reason, professional guidance is indispensable. However, personal coaches are
expensive and time-intensive, with a big contrast between the strong demand for fitness
and the scarcity of professional guidance. In our trainer system, we implement a low-
cost, easy-to-deploy fitness self-learning and evaluation system to help fitness practi-
tioners self-learn correct movements.
Intelligent fitness trainer system can meet the four major requirements of users:
Learn fitness movements correctly. The system contains yoga, Taijiquan and other
standard fitness courses, recording the fitness process of users, capturing fitness
movements, and carrying out corrective reminders.

https://doi.org/10.1007/978-981-13-7123-3_69
594 J. Zou et al.
Convenient deployment. The system can be deployed conveniently in the gym and
other application scenarios, which satisfies the freedom of fitness time and space for
users.
The personalized needs of users. The system can intelligently analyze the different
characteristics of multiple fitness practitioners, give personalized guidance suggestions.
The needs of gym venues. Gym managers are eager to improve the scientific and
technological level of gym, and intelligent functions can attract a larger number of
users.
1.2 Research Background and Meaning

So far, motion capture technology is mainly divided into four categories: mechanical,
acoustic, electromagnetic and optical and infrared thermal imaging technology. These
technologies have their own merits, and are widely used in film and television works
modeling, interactive games, athletes training and other scenarios. Considering the
convenience and cost of deployment, our system chooses optical camera and motion
capture based on deep-learning human pose estimation algorithm.
2 Intelligent Fitness Trainer System

2.1 System Architecture
The technical framework of the system is divided into four layers; Fig. 1 shows the
system architecture.
Fig. 1. System architecture.
Hardware Layer. It consists of camera, display screen, server and user terminal. The
camera is responsible for obtaining user’s facial information and user’s action resource
data. The display screen is used to show the user’s action in real time, and hide the
Intelligent Fitness Trainer System Based on Human Pose Estimation 595
camera position. The user can practice the action in front of the display screen without
looking for the camera position. Server is our data processing center. We build user
database, implement alphapose platform for human pose estimation and design
movements evaluation and correction algorithm. User terminals display various ser-
vices to users and display information processing. User’s historical information and
operation behavior will be displayed and output in the terminal.
Data Layer. Data layer is divided into three parts: image data, course data and user
data. User data includes user’s face data, physical fitness data, history course data and
score data. Users can freely access personal data after matching face information
correctly (in the future, they can support sharing or backup operations). Image
resources are user posture information acquired by camera, which is uploaded to the
server during user fitness process. After image data processing, the system will give a
score and update user data.
Application Layer. The application layer provides various services, including training
courses selection and allow users to choose and match freely. Physical fitness analysis
and recommendation of personalized courses or course packages are provided; real-
time analysis and correction of user posture will be carried out during training. After
training, the training will be scored and guidance suggestions will be put forward.
Users can also view their history courses.
Presentation Layer. The presentation layer is divided into three parts, web end, APP
and desktop client.
2.2 Introduction
Intelligent fitness trainer system is a self-learning and evaluation system for fitness. It
has the functions of motion capture, correction reminder, face recognition, behavior
recording and so on. It is suitable for gyms. The system achieves the self-learning by
motion capture, correcting and reminding the fitness worker according to the standard
movement coursed, evaluating the fitness worker after the completion of fitness by
intelligent learning, perfecting personal fitness files through face recognition and
behavior records, and giving fitness suggestions by using recommendation algorithm.
The system aims to provide users with personalized fitness guidance, develop good
sports habits, while increasing their interest. And the physical map of our system is
shown in Fig. 2.
2.3 Principle
Figure 3 shows the principle and working process.
Firstly, we use the camera to recognize the users by face recognition. The server
can provide the user database information, understand its usage habits, and recommend
courses from the course resource database, and give a pre-warning of the habitual errors
in the user’s history.
596 J. Zou et al.
Fig. 2. Physical map.
Fig. 3. Working process.
After the motion starts, the system will call the system motion module. First, the
server reads the images captured by the camera and process them frame by frame. By
deep learning alpha pose algorithm, human pose estimation is applied, human body is
recognized, key points of human joints are marked, and position information of user
joints in each frame is obtained. Then, it compares with the standard action to realize
the action correction. The results are shown in Fig. 4.
At the end of the whole exercise process, we will generate feedback reports,
including details of movement errors, corrective guidance and motion accuracy scores,
maximum error points, best progress points, calorie consumption, etc., to enhance the
users’ sense of fitness achievement and interest in fitness.
Fig. 4. Recognition results.
3 Key Technology
In our system, the key technology is human pose estimation, which determines the
accuracy of pose recognition and has vital effect on movement correction.
Human pose estimation is a popular topic of computer vision. Compared with
traditional algorithms, algorithms based on deep learning train the networks with a
large amount of images, learn features from global space. It needn’t detect or recognize
the local feature of objects and has good robustness [1]. In practice, it is more chal-
lenging to recognize multiple people’s postures than to recognize individual people’s
postures in images. [2, 3]. In general, two frameworks for this problem have been
proposed: one is a two-step framework [4], which first detects human bounding boxes
and then the posture in each box is estimated independently; the other is a part-based
framework [5–7], which detects body parts firstly and then assemble the detected body
parts into multiple human postures.
As for video scene reconstruction framework, [9] proposes a framework for col-
laborative tracking of multiple human objects and estimating their three-dimensional
posture. [10] eliminates the re-projection error, avoids the optimization of noise
observation, and introduces geometric constraints on prior knowledge composed of
human joints at reference points.
We apply the two-step framework. We apply a regional multi-person pose esti-
mation (RMPE) framework proposed in [8]. And the framework is shown in Fig. 5.
598 J. Zou et al.
Fig. 5. A regional multi-person pose estimation (RMPE) framework.
4 Conclusion
In this paper, we introduce a kind of intelligent fitness trainer system based on human
pose estimation. We use the optical camera to capture users’ movement, and achieve
pose estimation by regional multi-person pose estimation framework. The field trail
shows that our system has a good influence on fitness training, especially on accuracy
of movements. Besides, although our method makes some efforts in improvement of
RMPE algorithm, more work still need to be done in deeper research.

References
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The Overview of Multi-person Pose
Estimation Method
Bingyi Li1,2,3(&), Jiaqi Zou1,2,3, Luyao Wang3, Xiangyuan Li4,

Yue Li4, Rongjia Lei1,2,3, and Songlin Sun1,2,3
1
cynthiali2010@hotmail.com
2
Beijing, China
3
4
School of Computer Science,
Abstract. Research on Multi-person pose estimation is partly improved by

deep learning and the computer vision. Multi-person pose estimation is expected
to be involved in many applications, such as fitness training, pedestrian
recognition, military training, and so on. The prospect of multi-person estima-
tion development is promising and challenging. This paper provides a brief
survey on four major multi-person pose estimation methods – DeepCut, Dee-
perCut, OpenPose and AlphaPose, and presents the advantages and disadvan-
tages of these methods.
Keywords: Multi-person pose estimation DeepCut DeeperCut OpenPose

AlphaPose
1 Introduction
Multi-person pose estimation concentrates mainly on the discovery of body parts of

individuals [1–3] by locating anatomical key points and “parts”. The extrapolation of
multiple people’s pose in images is challenging, especially those of socially engaged
individuals. First, the number of people contained in one image is unknown and people
are likely to appear at any position in the image. Second, spatial overlapping may occur
due to human-to-human interaction, which makes it difficult to distinguish each part from
each individual. Third, runtime complexity increases as the number of people contained in
the image gets larger, which poses great challenges to real-time performance.
For multi-person pose estimation, there exists two major methods. One is the top-
down method. This method detects multiple people, and then estimates each person’s
pose. The detection method can be combined with a single person’s pose estimation.
The other one is the bottom-up method: after detecting the joint points, which person
each joint belongs to will be determined.

https://doi.org/10.1007/978-981-13-7123-3_70
The Overview of Multi-person Pose Estimation Method 601
Common top-down methods for multi-person pose estimation [4–6] are to use
person detectors, within which the estimation for single-person pose [7–9] is adopted.
The major problem of the top-down method is that if a person detector goes wrong,
there is no means of recovery. Due to the principle of this method, the running time is
in proportion to the number of people. Bottom-up methods, by contrast, are more
robust in theory and tend to weaken the relationship between the number of people in
the image and the runtime complexity. However, the bottom-up method does not utilize
global context directly from other individuals. Bottom-up approaches [10, 11] in
previous practice did not keep efficiency advantages because of the costly global
inference in eventual parsing. For example, [10] proposed a bottom-up approach to
detect candidates and associate them with individuals. [11] developed on the basis of
[10] with more solid partial detectors featured by Residual Neural Network (ResNet)
[12] and pairwise scoring algorithm dependent on images, which greatly improves the
runtime but needs a separate logistic regression due to the difficulty for pairwise
representation to regress accurately.
The rest of the paper is organized as follows: Sect. 2 introduces two top-down
methods, DeepCut and DeeperCut. Section 3 briefly describes a bottom-up method
OpenPose. Section 4 presents the method AlphaPose used in our Intelligent Fitness
Trainer System. Finally, Sect. 5 concludes the whole paper.
2 DeepCut and DeeperCut
2.1 DeepCut
In [10], the top-down method is used to estimate the pose of many people. The so-
called top-down method is, first, to use Convolutional Neural Networks (CNN) to
detect human body, that is, body part candidates, and second, to determine whom these
joint points belong to. Finally, the Integer Linear Programming (ILP) optimization
model is used to estimate attitude. There are overlapping parts in the execution order of
the two steps.
The DeepCut model is illustrated in Fig. 1. Firstly, CNN is used to extract body
parts candidates. Each candidate region corresponds to a joint point. Each joint point
acts as a node in the graph. All the nodes represented by these candidate joints con-
stitute a complete graph, as shown in dense graph in Fig. 1. The correlation between
nodes is used as the weight between nodes in the graph. At this time, it can be regarded
as an optimization problem. The joints belonging to the same person (the nodes in the
figure) can be grouped into a group with each person as a separate class. Meanwhile,
another branch needs to mark the detected nodes to determine which part of the human
body they belong to. Finally, each person’s posture estimation is made up of classified
people and tagged parts.
The advantages of the DeepCut model can be summarized in three points. The first
is that the problem of multi-person pose estimation can be solved in the case of number
position. The distribution of each person’s nodes can be obtained by classification.
Secondly, by clustering graph-theoretic nodes, non-maximum suppression is effectively
used. Thirdly, the optimization problem is expressed as an ILP problem, which can be
effectively solved by mathematical methods.
602 B. Li et al.
Fig. 1. DeepCut model.
However, the computational complexity of DeepCut is very costly due to the use of
adaptive fast R-CNN for body detection and ILP for pose estimation, so the following
method DeeperCut is an accelerated implementation of DeepCut.
2.2 DeeperCut
[11] proposed an improved method, DeeperCut, based on DeepCut. The improvements
are mainly on the following two aspects: (1) Using the latest residual net to extract
body part, which makes the outcome more accurate and the precision higher. (2) Using
image-Conditioned Pairwise Terms method, which can compress the nodes of many
candidate regions to fewer nodes, and that is the major reason why DeeperCut can be
stronger and faster than DeepCut. The principle of the image-Conditioned Pairwise
Terms method is to judge whether the candidate nodes are the same important node by
the distance between them.
3 Multi-person Pose Estimation Using OpenPose
Top-down methods, such as DeepCut and DeeperCut introduced in Sect. 2, detect

people first and then perform pose estimation. Under such circumstances, when people
are close to each other, the method of detecting human body is ineffective, and the more
the people there are, the more time it takes to detect, leading to real-time effect unable to
be achieved. Therefore, [13] proposed a method using bottom-up method on OpenPose.
This method presents an effective method to detect the two-dimensional pose of multiple
people in an image. The method utilizes nonparametric representation called Part
Affinity Fields (PAFs) to connect body parts with individuals. It also encodes global
context and allows greedy bottom-up parsing steps, which achieves high accuracy as
well as real-time performance regardless of the number of people in the image. This
structure is designed to learn part positions and association by two branches of the
prediction process in the same sequence. The approach proposed in [13] ranks first in the
first COCO 2016 Key points Challenge. The model of real-time multi-person 2D pose
estimation using part affinity fields is shown in Fig. 2.
Fig. 2. The model of real-time multi-person 2D pose estimation using PAFs [13].
The main ideas applied in this method are as follows. The first idea is using
confidence maps for joint detection. Each joint corresponds to a confidence map. Each
pixel has a confidence level. Values of each point in the confidence map is related to
the distance of ground truth. For multi-person detection, K-person confidence maps are
merged to get the maximum of each person at that point. The maximum rather than the
average is used here because the accuracy is not affected even if the peak value is very
close. In the test phase, non-maximum suppression is used to obtain candidates for
body parts.
The second idea is using Part Affinity Fields (PAFs) for body composition. For
multi-person problem, the parts of different people are detected, but each person’s body
needs to be separately combined to form a full-body, where the method PAF is used.
The advantage of this method is to include both location and direction information.
Each limb has an affinity region between two related body parts, and each pixel has a
description direction of a 2D vector. If there are more than one person overlapping at a
certain point, the vector sum of these individuals is divided by the number of people.
After obtaining confidence maps and PAFs, how to use such information to find the
optimal connection between two body-parts should be taken into consideration, which
is transformed into a graph theory problem. Hungarian algorithm used here is the third
idea. The nodes in the graph are the detection candidates in the body part, and the edges
are the optimal connections of these candidates. The weight on each edge is the
aggregation of affinity regions. So the next problem is to find a group of connections so
that no two edges share a node, that is, to look for a way of connection for edges with
largest weight.
604 B. Li et al.
As a supplement, [14] proposed a method referred to as the Magnify-Net for multi-

person 2D pose estimation. This method aimed to present a solution to the bottleneck
problem of mean average precision (mAP) versus pixel error. Another bottom-up
approach is proposed in [15], within which a limb detection heat maps is introduced as
a body joint pairs connection representation. For multi-person 3D pose estimation in
addition to 2D pose estimation, [16] proposed a novel single-shot method in natural
sequences.
4 Multi-person Pose Estimation Using AlphaPose
The methods DeepCut [10], DeeperCut [11] and OpenPose [13] introduced in Sect. 2
and Sect. 3 all have the problem that if two people are very close, they are prone to get
ambiguity, whether they are top-down methods or bottom-up methods. In addition,
because they depend on the relationship between the two components, they lose access
to global information. Due to this problem, [17] proposed an improved method based
on top-down methods.
[17] aimed to detect the correct pose of human body, even if the inaccurate area
frame is detected in the first step. To illustrate the problems of previous algorithms,
Faster-RCNN and Single Person Pose Estimation (SPPE) Stacked Hourglass are used
for experiments. The main problems are location recognition errors and redundancy.
Actually, SPPE is easily affected by area frame errors that redundant area frames may
create redundant poses. Therefore, a Regional Multi-Person Pose Estimation (RMPE)
framework is introduced to improve SPPE-based performance. Adding symmetric
spatial transformer network (SSTN) to SPPE structure can pick out human body parts
in inaccurate region frames with high quality. Parallel SPPE branches (SSTNs) are used
to optimize their networks. Parametric pose non-maximum suppression (NMS) is used
as a solution to redundancy detection. In this structure, an ordinary pose distance
measurement scheme is applied to compare the similarity between poses. Data-driven
method is used for the optimization of distance parameters. Finally, Pose-Guided
Proposals Generator (PGPG) is introduced to enhance training data, and learn the
descriptive information of different poses in output results to imitate the generation
process of the human body region frame and further produce a larger training dataset.
In details, the method is made up of three parts. The first part is Symmetric STN
and Parallel SPPE. The human body region frame obtained by target detection algo-
rithm is not very suitable for SPPE in that SPPE algorithm is trained on a single image
and is rather sensitive to location errors. The effect of SPPE can be effectively
improved by micro-transformation and pruning. SSTN + Parallel SPPE can effectively
enhance the effect of SPPE under imperfect human body area detection results. The
structure is shown in Fig. 3.
After STN + SPPE + SDTN, the inaccurate detection frame first conducts pose
estimation and maps the estimation results to the original map, so as to adjust the
original frame and make the frame become accurate.
Fig. 3. An illustration of SSTN architecture [17].
The second part is Parametric Pose NMS. Human location inevitably results in
redundant detection frames and redundant attitude detection. Due to this phenomenon,
[17] proposed a non-maximum suppression for pose to eliminate redundancy. First, the
pose of maximum confidence is selected as the reference, and the region frame close to
the reference is eliminated according to the elimination criterion. This process is
repeated several times until redundant recognition boxes are eliminated and each
recognition box is unique (no overlap beyond the threshold).
The third part is Data Augmentation. For Two-Stage pose estimation (first locating
the region, then locating the pose points), proper data enhancement can help
SSTN + SPPE to adapt to imperfect human body region location results. Otherwise,
the model may not be well adapted to strange human body location results when it is
running in the test phase. An intuitive method is to use the detected area frame in the
training phase. However, target detection only produces a localization area for a person.
By using the generated human body localization, a certain effect can be achieved.
Because the real location of each person and the detected location box have already
been generated, a large training set of samples can be created by using the same
samples as the human body test results. Through this technology, system performance
can be further improved.
The results of the four methods – DeepCut [10], DeeperCut [11], OpenPose [13],
AlphaPose [17] on the MPII Human Pose dataset is presented in Table 1. The statistics
in the table illustrate that AlphaPose is 17 mean average precision (mAP) higher than
DeepCut and DeeperCut. Quantitative results on full testing set and subset of 288
testing images used in [10]. It is noteworthy that the average accuracy of AlphaPose in
recognizing complex joints such as wrist, elbow, ankle and knee is 72 mAP, which is
20 mAP higher than the previous latest results. The final wrist accuracy of AlphaPose is
70.4 mAP and knee accuracy is 73 mAP. Some results of AlphaPose is shown in
Fig. 4. These results show that AlphaPose can accurately predict the attitude of multi-
person images.
606 B. Li et al.
Table 1. MPII multi-person test set results [13, 17]

Method Head Shoulder Elbow Wrist Hip Knee Ankle MAP S/image
Subset of 288 images as in [10]
DeepCut [10] 73.4 71.8 57.9 39.9 56.7 44.0 32.0 54.1 57995
DeeperCut [11] 87.9 84.0 71.9 63.9 68.8 63.8 58.1 71.2 230
OpenPose [13] 93.7 91.4 81.4 72.5 77.7 73.0 68.1 79.7 0.005
AlphaPose [17] 89.3 88.1 80.7 75.5 73.7 76.7 70.0 79.1 1.3
Full testing set
DeeperCut [11] 78.4 72.5 60.2 51.0 57.2 52.0 45.4 59.5 485
OpenPose [13] 91.2 87.6 77.7 66.8 75.4 68.9 61.7 75.6 0.005
AlphaPose [17] 88.4 86.5 78.6 70.4 74.4 73.0 65.8 76.7 1.5
Fig. 4. Some results of AlphaPose’s prediction models [17].
5 Conclusion
In test phases, DeepCut, DeeperCut and OpenPose frequently have errors in pose
location and joints connection, while AlphaPose perform better with less errors and
faster runtime speed. AlphaPose is a relatively accurate multi-person pose estimation
tool compared with previous methods from the robustness of its algorithm. AlphaPose
can estimate poses in pictures, videos or multiple pictures, and track motion in pictures.
It has different output forms, such as PNG, JPG and AVI, which have key image forms,
as well as JSON format, which makes it a popular tool for many applications.

References
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(2005)
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estimation. In: ICME (2018)
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(2017)
A Network Information Data Protection
Scheme Based on Superposition Encryption
Liu Zhe1,2(&)
1
School of Information and Electronics,
Beijing Institute of Technology, Beijing, China
stayhere1974@163.com
2
General Office of Supreme People’s Procuratorate, Beijing, China
Abstract. The wide application of virtualization, big data, cloud storage and
other technologies has made the data centralized storage increase security risks
and leakage risks. For the problem of internal personnel using legal identity and
role to steal internal information, this paper proposes a network information data
protection architecture based on superposition encryption from the process of
data generation, transmission, storage and processing. Based on the framework,
including information storage protection based on symmetric cryptography and
information transmission protection based on hybrid cryptography, a network
information data protection scheme based on superimposed encryption is
designed. Finally, the security of the scheme is proved.
Keywords: Centralized storage Information encryption

Data protection External attacks Internal stealing
1 Introduction
With the development of big data, cloud storage, virtualization and other technologies,
great changes have taken place for the information application model, in which a large
number of data are centralized on the server, and the end users retrieve data from the
server through application systems or virtualization technologies. This application
mode enables information to be shared more fully, greatly improving work efficiency,
but also bringing greater risks and hidden dangers to security and confidentiality, which
is partly due to information attacks through external attacks on the network, on the one
hand, due to internal personnel using work convenience to steal information.
In this context, many industries and enterprises in many fields at home and abroad
are facing increasingly severe problems of data information security, and many
scholars are constantly exploring solutions for data security protection in the era of big
data. Paper [2] analyzes the security requirements of data services and studies the
existed data protection scheme and mechanism. Combining the cloud service charac-
teristics and data services process, a secure solutions for data service in cloud needs to
meet the requirement: re-encryption method under trusted cloud service providers.
Paper [3] proposes the security framework based on the integration of cloud and client,
the cloud cooperate with the client each other to achieve the protection for user data in
the cloud, that is, the cloud will be responsible for protecting the security of the user

https://doi.org/10.1007/978-981-13-7123-3_71
A Network Information Data Protection Scheme 609
data in the cloud, meanwhile the client will be responsible for verifying and proving the
data safety. Yan et al. [4] discusses various aspects of cryptography and data security in
cloud computing, including secure cloud data storage, cloud data privacy protection,
trusted cloud data management and cryptography related to cloud data security. Paper
[5] brings a critical comparative analysis of cryptographic defense mechanisms, and
explores research directions and technology trends to address the protection of out-
sourced data in cloud infrastructures. Paper [6] proposes advanced algorithm for
cryptography which is totally depend on hashing function technique to generate a
secret key which is further used to encrypt and decrypt the important information.
Rajesh et al. [7] proposes a well-organized privacy preservation data-mining scheme
with data-mining perturbation merged approach, and uses the association rules with
cryptography techniques. Paper [8] presents AES4SeC, a security scheme fully con-
structed over cryptographic pairings. Paper [9] introduces an algorithm-agnostic
solution that provides both data integrity and confidentiality protection at the disk
sector layer. Yi et al. [10] proposes an efficient hardware architecture based on mul-
tivariate scheme for storage devices.
For the problem of internal personnel using legal identity and role to steal internal
information, this paper proposes a network information data protection system archi-
tecture based on superposition encryption, which includes information storage pro-
tection based on symmetric cryptography and information transmission protection
based on hybrid cryptography, then a network information data protection scheme
based on superimposed encryption is designed. Finally, the security of the scheme is
proved. The scheme achieves effective protection on the basis of satisfying the normal
application of information technology, which can ensure the security of information
data, especially the centralized storage data in the network.
2 Network Information Data Protection Architecture

Based on Superposition Encryption
At present, the information encryption protection generally adopts symmetric cryp-

tography and hybrid cryptography. In order to ensure that files can be reused and
shared by multiple users when using symmetric cryptography, each file or each user
shares the same (or the same group) key for encryption and decryption; since the key is
known to all users, it cannot effectively prevent the “insiders” stealing behavior, which
has shortcomings in security. Hybrid cryptography solves the key transmission prob-
lem very well, realizes “one text and one key”, and can solve the “insiders” stealing
behavior, which ensures high information security; the symmetric cryptographic key in
the hybrid cryptography needs to be protected by digital envelope technology, which is
very effective for one-to-one file transfer applications such as e-mail and file exchange,
but not for information sharing applications.
In order to solve the above problems of using symmetric cryptography and hybrid
cryptography separately, this paper designs a cryptography protection architecture. As
shown in Fig. 1, the two cryptographic technologies are combined using their
respective advantages to protect information in storage and transmission stages through
different cryptographic technologies, which not only effectively utilizes the efficiency
610 L. Zhe
and flexibility of symmetric cryptography, but also fully utilizes the security of hybrid
cryptography. In the case of ensuring the security of information storage, the appli-
cation is more flexible and meets actual needs.
Fig. 1. Storage encryption
This cryptographic protection method uses symmetric cryptography protection for

storage and hybrid cryptography protection for transmission. In order to ensure the
security of information storage, an address conversion table can be set up to convert the
actual storage address of the information and then provide it to the outside, which can
more effectively protect the security of information storage. In addition, information
with different information sensitivity levels can be stored in in different partitions, and
the information sensitivity level is corresponding to the user’s reading information
rights, which can effectively realize the control of the user’s reading information rights
by establishing the corresponding relationship between the asymmetric cryptographic
public key in the hybrid cryptography and the storage area where the user can access
the information.
3 Information Storage Protection Based on Symmetric

Cryptography
The information is stored centrally on the server and protected by symmetric cryp-
tography, where the information plaintext is converted into cipher text when stored, and
then converted into plaintext after being read from the storage device.
3.1 Using Symmetric Cryptography to Encrypt and Decrypt Information

Storage
In order to improve the security of encrypted information storage and avoid the overall
information leakage problem, the symmetric cryptography of information storage can
use different keys for different partitions, that is, the storage is divided into partitions,
and use different keys for different partitions. In addition, the information partition
storage can set the protection strength according to the sensitivity of the information,
perform finer-grained area division, and use more intensive encryption algorithms or
keys. This fine-grained use of symmetric cryptography encrypts the stored files, which
can achieve “one thing (text) and one key” under the highest security.
3.2 Configuration of Encryption and Storage Devices

If the storage partition block (area) uses a key or a “one text one key” method, then a
key table needs to be set up to establish the corresponding relationship. In order to
increase security, encryption and decryption devices and storage devices should be
separated. The corresponding structure is shown in Fig. 2.
Storage
Corresponding Symmetric Address

Table for Storage Encryption and Conversion Table
Address and Key Decryption
Fig. 2. Storage address conversion
3.3 Storage Address Conversion

In order to further increase the security of information storage, the actual storage
address of information in the storage device can not be clear to the outside. To realize
such address conversion, an address conversion table should be set up to correspond
the storage address to the address provided to the outside, and the corresponding
configuration structure is as shown in Fig. 3.
Fig. 3. Encryption and decryption of the server information

612 L. Zhe
4 Information Transmission Protection Based on Hybrid

Cryptography
Hybrid cryptography is only used during the information transmission protection, and
the symmetric cryptographic key is used once and randomly generated for each time.
Thus, the symmetric cryptographic keys are different for each transmission even for the
same file, thus achieving “one person one key” and “one thing one key” and “one time
one key”.
4.1 Using Hybrid Cryptography to Encrypt Transmission Information

Firstly, use symmetric cryptography to encrypt information, that is:
C1 ¼ E0K0 ðPÞ
where Kʹ is a randomly generated key, Eʹ is a symmetric cryptographic encryption

operation, C1 is a symmetrically encrypted information ciphertext, and P is a infor-
mation plaintext.
Secondly, use asymmetric cryptography to encrypt the symmetric cryptographic
keys, that is:

M ¼ Ek y0 ðKÞ
Where y2Bn, Bn is the user set, k°yʹ is the public key (encryption key) for user y, E°
is a asymmetric cryptographic encryption operation; M is the ciphertext of the sym-
metric cryptographic key encrypted by the asymmetric cryptographic operation.
Finally, the information ciphertext encrypted by the symmetric cryptography and
the symmetric key encrypted by the asymmetric cryptography are superimposed.
f:C ¼ C1 þ M
4.2 Use Hybrid Cryptography to Decrypt the Transmitted Information

Ciphertext
Decryption is an inverse operation of encryption.
First, the information ciphertext is decomposed, that is:
f 1 :C1 ¼ C M, M ¼ C C1
This is the inverse operation of C = C1 + M, obtaining C1 and M.

Secondly, use the asymmetric cryptography to decrypt the symmetric cryptographic

key, that is:

K0 ¼ Dk y ðMÞ
Where y 2 Bn, Bn is the user set; k°y is the private key (decryption key) of the user
y; Kʹ is the symmetric cryptographic key; M is the ciphertext of the symmetric cryp-
tographic key encrypted by the asymmetric cryptography.
Finally, use the asymmetric cryptography decrypt the obtained symmetric crypto-
graphic key, and decrypt the information ciphertext to obtain the information plaintext,
that is:
P ¼ D0K0 ðC1 Þ
Where C1 is the information ciphertext encrypted by the symmetric cryptography,

P is the information plaintext, Dʹ is a symmetric cryptographic encryption operation,
and K is the symmetric cryptographic key.
The decryption process of the hybrid cryptography is the inverse operation of the
hybrid encryption process, but the key used for the asymmetric cryptographic
decryption in the decryption process is the user’s private key, so it is not necessary to
retrieve the user’s public key information base as in the case of server encryption.
4.3 System Implementation

When using hybrid cryptography to protect the information transmission, the settings of
the server and the client devices are basically the same, except that a public key table is
added for the server. The specific system configuration diagram is shown in Figs. 4 and 5.
Fig. 4. Encryption and decryption of the user information

614 L. Zhe
Fig. 5. Overall architecture and implementation
5 Conclusion
The superposition of the symmetric cryptography and the hybrid cryptography is used
to protect information, which solves the problem of security and confidentiality in
information centralization to a certain extent, but also affects the normal implemen-
tation of some functions in application, such as the information retrieved by the
application system is ciphertext data, which cannot be counted and queried. This
cryptography protection mode is mainly based on the protection of information
including core sensitive content, such as daily office files, which is more suitable for the
protection of unstructured data such as files, audio and video.
For the information security and confidentiality requirements in information
application, this paper proposes a cryptographic protection scheme based on the
superposition encryption of the symmetric cryptography and the hybrid cryptography,
which combines “one person one key” and “one text one key” to ensure the security of
information transmission due to the use of the hybrid cryptography; storage and
transmission encryption are separated from each other due to the use of superposition
encryption. This paper demonstrates the feasibility of the scheme from system con-
struction, scheme design, technology implementation, security protection, etc., which
can meet the information security protection in the information application of gov-
ernment agencies and other units, and can effectively guarantee information security of
the application modes of virtualization, big data, cloud storage.
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Author Index
A Du, Jianbo, 317

An, Linchang, 462 Duan, Chao, 227
An, Zhou, 212, 343, 371
E
B E., Wei, 241, 268
Bai, Xinping, 471
Bian, Jiang, 371 F
Bian, Sen, 437 Fan, Hanchao, 380
Fang, Bingyi, 570
C Fang, Lingfeng, 22
Cai, Ronghui, 559 Fang, Nan, 227
Cao, Chenlei, 139 Feng, Chengyu, 115
Cao, Lu, 180 Feng, Shuo, 317
Cao, Yong, 446 Fu, Chenghao, 559
Chen, Juan, 411 Fu, Dawei, 291, 317
Chen, Na, 69 Fu, Meixia, 22, 69
Chen, Qing, 139
Chen, Shijie, 291, 300 G
Chen, Xi, 310 Gao, Hongtao, 352
Cheng, Chao, 188 Gao, Jie, 516
Cheng, Cheng, 154 Gao, Ru, 124
Cheng, Wei, 180 Gao, Song, 446
Cheng, Xinzhou, 516, 570 Gao, Yang, 180
Cui, Xiaoyi, 49 Guan, Jian, 516
Cui, Yufu, 260 Guo, Bao, 495, 505
D H
Dai, Kan, 446 Han, Dong, 124
Dai, Yuliang, 551 Han, Jindong, 32
Deng, Xiangjin, 249 Han, Xiaojun, 291
Ding, Zhenpeng, 343 Han, Yuehua, 495, 505
Ding, Zhimin, 227 Hao, Jianing, 154
Dong, Jiangbo, 78 He, Yongcong, 188
Dong, Mingtao, 32 He, Yuan, 32

https://doi.org/10.1007/978-981-13-7123-3
618 Author Index
He, Zhengwen, 268 Liu, Fei-hu, 180

Hu, Hongning, 105 Liu, Guoyu, 173
Hu, Lin, 291, 317 Liu, Hongjin, 13
Hu, Xuhua, 343 Liu, Jiang, 380
Hu, Zhengguang, 525 Liu, Li, 154, 227
Huang, Jianhua, 3 Liu, Lianye, 559
Huang, Wei, 525 Liu, Pengcheng, 505
Huang, Xiaokai, 360 Liu, Shufen, 13
Huang, Xiaoyu, 559 Liu, Wei, 78
Huang, Yufeng, 173 Liu, Yaxi, 78
Huang, Zhongjie, 69 Liu, Yi, 495, 505
Liu, Yiming, 146
J Liu, Yuhao, 69
Jia, Xiaodong, 100, 260 Lu, Bingjian, 429
Jiang, Guoqiang, 100 Lu, Chengzhi, 317
Jiang, Hong, 570 Lu, Pengluo, 154
Jiang, Yu, 146 Lu, Wen-gao, 124
Jiang, Zhiguang, 326 Lu, Yi, 173
Jiao, Ronghui, 380, 391 Lu, Zhenyu, 429, 551
Jin, Lijun, 542 Lv, Jingyang, 49, 54, 61
Jin, Ronghua, 534, 542 Lv, Mengyao, 462
Jin, Shengyi, 249 Lv, Qianqian, 227
Jing, Quan, 276 Lv, Zhongliang, 471
Jing, Xiaojun, 32
K M
Kang, Nan, 570 Ma, Jie, 534, 542
Kong, Peng, 131 Ma, Xiaomei, 69
Ma, Xuekuan, 455
L Ma, Yan, 41
Lei, Rongjia, 593, 600 Mao, Yilan, 310
Lei, Yong, 146, 310 Meng, Weiqiang, 3
Li, Bingyi, 578, 584, 593, 600 Miao, Qi, 343, 371
Li, Fangyong, 360 Mo, Fan, 276
Li, Haibo, 139
Li, Hao, 336
Li, Luming, 91 N
Li, Nan, 227 Ni, Kaili, 69
Li, Xiangyuan, 593, 600 Niu, Jiaxiang, 91
Li, Xiao, 54
Li, Xiaojuan, 115 P
Li, Yan, 139 Pan, Huifang, 212
Li, Yifan, 164 Pan, Li, 146
Li, Yong, 525 Peng, Liqiang, 284
Li, Yongchang, 154
Li, Yue, 593, 600 Q
Li, Zhidong, 219 Qiao, Lei, 13
Liang, Deyin, 310 Qin, Huafeng, 525
Liang, Yin, 400 Qin, Suran, 380, 391
Liu, Bo, 13 Qiu, Yaxing, 437
Liu, Couhua, 446 Qu, Quanyou, 310
Author Index 619
R X
Ran, Qianhan, 22 Xia, Jixia, 360
Rao, Xiaoqin, 462 Xie, Chao, 455
Ren, Liang, 188 Xie, Hongrui, 61
Ren, Lu, 352 Xing, Huanlai, 411, 420
Ren, Yebing, 78 Xu, Jian, 13
Ren, Zhenyue, 173 Xu, Kai, 336
Ren, Zhong, 291 Xu, Lexi, 411, 516
Ru, Xiaoyi, 343, 371 Xu, Menglei, 525
Xu, Ran, 462
S Xu, Zetao, 495
Shen, Ao, 495 Xue, Feng, 173
Shi, Haitao, 352
Shi, Jian, 100 Y
Shi, Jianmin, 380 Yan, Hongcheng, 91
Shi, Wei, 249 Yang, Chunsheng, 173
Song, Ding, 391 Yang, Feng, 188
Song, Lei, 124 Yang, Hai, 411, 420
Song, Wenlong, 212 Yang, Hongyu, 291, 317
Sun, Bo, 219 Yang, Hua, 13
Sun, Gang, 360 Yang, Liuqing, 115, 284
Sun, Songlin, 22, 69, 593, 600 Yang, Yi, 300
Sun, Tengfei, 164 Yao, Jian, 3
Sun, Zhelei, 115, 284 Yao, Meng, 249
Ye, Chengzhi, 559
T Yin, Jinsong, 479
Tan, Tian, 100 Yin, Shan, 534, 542
Tang, Jian, 446 You, Yanan, 131
Tang, Yang, 41 Yu, Chao, 446
Tian, Hexiang, 131 Yu, Lei, 164
Tong, Yelong, 164 Yu, Wei, 343
Toth, Zoltan, 487 Yuan, Lili, 391
Yuan, Yi, 212, 343
W Yun, Lei, 391
Wan, Yuting, 105
Wang, Fengjun, 437 Z
Wang, Guozhi, 505 Zeng, Chunping, 100, 260
Wang, Haobin, 78 Zhan, Tianming, 429, 551
Wang, Hui, 471 Zhang, Bihui, 462
Wang, Luyao, 593, 600 Zhang, Boyin, 400
Wang, Qiang, 180, 204, 400 Zhang, Chenhua, 300
Wang, Qianying, 276 Zhang, Hengde, 429, 462, 551
Wang, Teng, 195 Zhang, Jingjing, 105
Wang, Wenping, 146 Zhang, Lei, 219
Wang, Xiaonan, 131 Zhang, Lijian, 326, 336
Wang, Xidong, 437 Zhang, Miao, 227
Wang, Xingyan, 400 Zhang, Qiang, 131
Wang, Xinhan, 420 Zhang, Rui, 91
Wang, Yi, 487 Zhang, Shao-po, 124
Wei, Heng, 479 Zhang, Shuai, 219
Wei, Huangfu, 78 Zhang, Tao, 115, 516
Wu, Feixia, 3 Zhang, Tianhang, 462
Wu, Lequn, 300 Zhang, Tianwei, 284
620 Author Index
Zhang, Xiaofeng, 352 Zhao, Rui, 429

Zhang, Xiaomei, 487 Zhao, Zhihui, 249
Zhang, Xuesong, 570 Zhe, Liu, 608
Zhang, Yahang, 91 Zheng, Xiaoxia, 284
Zhang, Yang, 249, 495, 505 Zheng, Yanhong, 249
Zhang, Yao, 559 Zhou, Ningfang, 534
Zhao, Bingxin, 300 Zhu, Chunying, 380
Zhao, Jianwu, 391 Zhu, Hui, 479
Zhao, Jinchen, 317 Zhu, Jun, 154
Zhao, Na, 380 Zong, Zhiping, 446
Zhao, Ning, 241, 268 Zou, Jiaqi, 578, 584, 593, 600

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Lecture Notes in Electrical Engineering 550

Signal and Information

More information about this series at http://www.springer.com/series/7818

Signal and Information

ISSN 1876-1100 ISSN 1876-1119 (electronic)

Library of Congress Control Number: 2019936553

© Springer Nature Singapore Pte Ltd. 2019

The 5th International Conference on Signal and Information Processing, Network

International Steering Committee

Songlin Sun Beijing University of Posts

Songlin Sun Beijing University of Posts

Technical Program Committee Chairs

Xinzhou Cheng China Unicom Network Technology

Meixia Fu Beijing University of Posts

Beijing University of Posts and Telecommunications

Computer Theory and Algorithms Optimization

Genetic Algorithm for Base Station ON/OFF Optimization

Satellites and Remote Sensing

Data Analysis and Research Based on Satellite Micro-vibration

Spacecraft Technology and Application

OCV-Ah Integration SOC Estimation of Space Li-Ion Battery . . . . . . . 291

Research on Application Method of 3D Digital Simulation

Big Data Workshop

NB-IoT Network and Service Collaborative Optimization . . . . . . . . . . . 505

Jianhua Huang1(&), Feixia Wu1, Weiqiang Meng1, and Jian Yao2

Keywords: Hidden Markov Model Location preference Location prediction

With the rapid development of society informatization and mobile communication

© Springer Nature Singapore Pte Ltd. 2019

2.1 Points of Interest (POI)

2.2 Location Prediction Algorithms

3 User Mobility Modeling Based on HMM

3.1 Data Description

3.2 Extracting Stay Points

3.3 Extracting Points of Interest

3.4 Prediction Model Based on HMM

3.5 Modeling Personal Mobility Preferences Based on Temporal

3.6 Modeling Based on HMM and Location Preference

PðPOIA ! POIB Þ ¼ b1  PðO; SjkÞ þ b2  Ppref ð5Þ

Fig. 1. The distribution of Geolife dataset

4.2 Data Preprocessing

300_3 300_4 300_5

Table 1. The distribution of top 20 users’ trajectory

4.3 Location Prediction

HMM GMM LP-HMM

Fig. 3. The comparison of different models

Lei Qiao, Bo Liu(&), Hongjin Liu, Hua Yang, Jian Xu,

Beijing Institute of Control Engineering, Beijing 100190, China

Keywords: Spacecraft Network protocol Operating system

© Springer Nature Singapore Pte Ltd. 2019

Furthermore, traditional communication among computers on the spacecraft

2 The Challenges of the Spacecraft Network Protocol Stack

2.2 The Implementation of the Protocol Stack

2.3 The Testing, Demonstration and Veriﬁcation

2.4 The Quality of Protocol

3 The New Design of Modular and Hierarchical Architecture

3.1 Architecture Design

Fig. 1. The new architecture of the spacecraft protocol stack

The speciﬁc process is as follows:

Algorithm: Searching the longest match string

3.2 Operating System Support

3.3 Modular Glue Layer Interface

New functions of protocol

Timer interrupt callback,

PðPOIA ! POIB Þ ¼ b1 PðO; SjkÞ þ b2 Ppref ð5Þ