Received February 25, 2019, accepted March 4, 2019, date of publication March 20, 2019, date of current version

April 5, 2019.
Digital Object Identifier 10.1109/ACCESS.2019.2906488

Optimal Dispatching Strategy for Shared

Battery Station of Electric Vehicle
by Divisional Battery Control
JIE YANG 1, WEIQIANG WANG1 , KAI MA 1, AND BO YANG2
1 Schoolof Electrical Engineering, Yanshan University, Qinhuangdao 066004, China
2 Key Laboratory of System Control and Information Processing, Ministry of Education, Shanghai Jiao Tong University, Shanghai 200240, China

Corresponding author: Kai Ma (kma@ysu.edu.cn)

This work was supported in part by the National Key Research and Development Program of China under Grant 2018YFB1702300, in part
by the National Natural Science Foundation of China under Grant 61573303, in part by the Natural Science Foundation of Hebei Province
under Grant E2017203284, and in part by the Project Funded by the China Postdoctoral Science Foundation under Grant 2016M601282.

ABSTRACT With increasing application of electric vehicle (EV), the battery swapping station (BSS) and
battery charging station (BCS) have gradually gained recognition by electric vehicle users. With the stations,
it is possible to refuel within several minutes, which promotes the EV popularization greatly. In this paper,
a shared battery station (SBS) model is proposed, which is a multi-functional facility having the ability to
charge, discharging, sleeping, and swapping abilities. Just like other shared economic, the customer has
temporary access to the battery and pays corresponding fees according to swapping energy. Different from
the traditional BCS and BSS, the SBS has a new business model. Besides, based on divisional battery
control method, a battery dispatching strategy is proposed to control the charging, discharging, sleeping,
and swapping processes. Through the divisional battery control method, the number of variables can be
reduced greatly. Hence, the large-scale battery dispatching problem can be solved reasonably and quickly.
From the view of the operator, an optimization objective function to maximize the revenue is established
to optimize the number of batteries in each segment in each time slot. The dispatching strategy and the
objective function cooperate with each other during the SBS operation to satisfy customers’ battery demand,
to ensure a sustainable and safe operation, and to participate in peak shaving and valley filling. Using the
genetic algorithm, we perform extensive simulations to validate the optimization model and to demonstrate
the efficiency of the dispatching strategy.

INDEX TERMS Shared battery station, dispatching strategy, electric vehicle, peak shaving and valley filling,
divisional battery control.

I. INTRODUCTION
ELECTRIC vehicle (EV) is an ideal solution to address
the issue of the ever-growing demand for greener lifestyle
because of its highly efficiency, zero carbon emission, and
its usage in power regulation [1]–[5]. Recently, more and
more attention has been focused on the EV energy utiliza-
tion [6]–[8]. However, the energy supply can only last several
hours or less if the EV is driven only by power, and the
working time of the battery is far below expectations [9]–[11].
In addition, it is inconvenient to charge a battery at home as it
takes too much time and space. Serious damages, exposures
The associate editor coordinating the review of this manuscript and
approving it for publication was Bin Zhou.
and even fires can be caused, if the batteries are charged in
the wrong way. Therefore, for the sake of security and conve-
nience, it is required to charge EVs in some specified place.
Generally speaking, slow charging cannot meet EV drivers’
battery demand in time, while fast charging mode challenges
the battery service life. Thus a quicker and easier access to
efficient energy supply is in pressing need [12]–[16]. The
battery swapping station (BSS) and battery charging station
(BCS) were born out of this frustration. Apart from much
quicker refueling, these stations have other benefits which
appeal to researchers and scholars all over the world, such
as improving the battery recovery rate, raising the battery
utilization ratio, reducing potential dangers, and participat-
ing in power regulation. It’s generally believed that if the

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J. Yang et al.: Optimal Dispatching Strategy for SBS of EV by Divisional Battery Control
schedule is planned and managed appropriately, the BSS and
BCS can not only benefit electric vehicle owners with a
fast energy refueling service, but also it can provide much
flexibility for grid operators to perform critical tasks such
as load balancing, renewable energy integration [17]–[22],
reducing carbon emissions and improving the efficiency and
stability of power system [23]–[27]. There is no doubt that
the batteries exert full potential and value to improve grid
self-regulation as a power storage facility in a proper time.
Therefore, it can achieve the economic operation of BSS
and BCS and smooth the load of the power grid by unified
charging and discharging strategy of batteries.
Recently, an increasing number of researchers and power
engineers have started to investigate the model and schedule
of BSS and BCS from different perspectives. For example,
in [28], from the perspective of swapping price, an optimiza-
tion model to maximize the daily revenue considering the
battery swapping income, depreciation cost and operation and
maintenance cost was proposed. As pointed out by [29], it’s
especially important to meet the growing demand for charge-
swap service. A multi-objective optimization model consid-
ering service capacity was designed. Moreover, as clearly
explained in [24], a suboptimal solution based on Monte-
Carlo sampling for the batteries swapping program was
developed, and the results showed that the operations of BSSs
can substantially decrease operating cost as expected. In order
to analyze the battery demand, a Markov model to present
the variables of lithium-ion batteries demand, quantity of
customers and power utilization was proposed [30]. In [31],
an integrated algorithm is proposed with constant-current /
constant-voltage charging strategy. Various heuristic algo-
rithms were used to solve the optimal problem. In [32], with
inventory robust optimization, the uncertain battery demand
was modeled. As noticed by [33], an optimal plan based
on BSS and BCS was proposed for cost-benefit analysis
and safety operation. The most outstanding feature was the
life cycle cost (LCC) criterion used to design the battery
depreciation model. To study the profit of a BSS problem
over multiple stages, in [34], discrete charging rates were
designed to charge the batteries in different slots. Differ-
ent from [34], continuously-controllable charging rates and
inventory management problem were discussed in [35]. The
BCS operator minimizes the total charging cost by changing
the loading/unloading decisions and the charging rates of all
charging bays to meet the customers’ battery demand. In [36],
a generic nonparametric method was introduced to the pre-
diction of customers’ battery demand, according to typical
BSS, the authors have proven that the proposed methods can
predict the customers’ battery demand, and the probabilistic
interval is suitable for predicting the horizon 24h ahead. Most
of previous papers focused on changing the charging rates
to manage the SOCs of batteries and control the total load
power [28], [37], [38]. The first way is to provide several
fixed charging rates [39], which is hard to realize smooth
power regulation and control the SOC of each battery flexibly.
The other way is to provide continuous charging rates [35].
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Though the effect is much better in theory, too much disk
space and processing time are taken up in the optimization
process. Besides, due to technical restrictions and security
issues, the charger cannot supply the power which is equal
to calculation results by the optimization model.
A BSS provides battery-swapping service for EV drivers
by exchanging low batteries for fully charged batteries.
Through the transportation system, the low batteries are
transported to BCSs, and after charging, they are allocated
among BSSs. Therefore the batteries are circulating between
the BSSs, BCSs and customers [35]. For instance, the NIO,
a Chinese electric car manufacturer, commits to provide bat-
tery swapping service with EV users. Due to geographical
factors, transportation system is a necessity in the circula-
tion. Besides, it is necessary to carry the batteries from the
charging bay to fully charged battery inventory by manual
power. However, the transportation system is not reliable
enough since the traffic jam often happens in the rush hour,
which leads to battery shortage. Moreover, the transportation
system and manpower not only cause extra cost, but increase
additional time. As for charge-swap station, Liang et al. [28],
Sarker et al. [32], and Li et al. [40] proposed some conceptual
frameworks, but little actual business model was put forward.
In this paper, a shared battery station (SBS) system and its
business model are proposed in detail. On the basis of meeting
the customer battery demand, an objective function and a
dispatching strategy are formulated for the SBS system to
maximize net revenue. The main features of proposed SBS
system are:
• An divisional battery control method is introduced in
the dispatching strategy. The batteries are divided into
5 segments. Through the dispatching strategy, the SBS
can control the battery charging, discharging, sleeping
and swapping process in each segment. The dispatching
and swapping process can be operated without requiring
of the transport system.
• A bonus-penalty mechanism is proposed to make the
SBS system participate in power regulation, and this
mechanism can provide peak shaving and valley filling
to the power grid.
• The SBS system can meet customers’ personalized bat-
tery demand. The SBS can provide the customer with
a high battery, even a battery with arbitrary SOC in the
station. In the dispatching process, the SOC of batteries
in the station are restricted strictly to avoid the over-
charge and over-discharge effectively.
Compared to traditional BCS, SBS has the function of
charging and swapping batteries. SBS commits to update the
refueling pattern. As a shared economic, the SBS has the
potential to be a large-capacity energy storage device. Using
the dispatching strategy, the SBS can provide the grid with
ancillary service. It will increase the SBS revenue. The SBS
gives partial of the revenue benefits to customers. The action
will encourage drivers to update their refueling pattern. Thus
the capacity is increasing. To some extent, the SBS have
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 J. Yang et al.: Optimal Dispatching Strategy for SBS of EV by Divisional Battery Control
FIGURE 1. The SBS model.
positive influence on promoting the popularization of EVs
and reducing random out-of-order charging behavior.
This paper is organized as follows. Section II proposes
the optimization model of SBS system, including constraints,
objective and prediction model. Section III describes the
dispatching strategy in detail. In section IV, a series of simu-
lation results are listed to verify the optimization model and
dispatching strategy. Finally, Section V gives the conclusion.
II. SYSTEM MODEL AND PROBLEM FORMULATION
A. SYSTEM MODEL
The SBS is a multi-functional facility having the ability
of charging, discharging, sleeping and swapping abilities.
As a shared economic, the SBS gives customers temporary
access to the battery, and the customer pays corresponding
fees according to the swapping energy. The station can run
normally without transportation system or manual operations.
The swapping process is mostly self-help. As shown in Fig. 1,
the SBS system introduced in this paper consists of three
parts: the power system, the control center, and the SBS.
The SBS provides battery rental business similar to shared
bikes. The customers scan the SBS’s two-dimensional code
to download official application program (APP). After reg-
istering, they have the access to apply to a high battery,
even a battery with arbitrary SOC in the station. While the
BSSs proposed in aforementioned work can only provide
fully charged battery. Though the battery is about to fully
charged, the customer still has to wait until the battery is fully
charged. According to the charge characteristics of battery,
it is difficult to charge a battery in that time. Facing the sudden
demand, there may be no fully charged battery in battery
station, however, the SBS can still provide customers with a
high batteries. If the customer has no special request, the SBS
provides the customer with the battery whose SOC is the
largest in the SBS. The number of corresponding box will be
sent to the customer. According to the supplied battery box
number, the customer pulls low battery into the corresponding
38226
vacant battery box, and the high battery comes out from the
corresponding battery box after the payment completed. The
fee depends on the SOCs difference before and after the
swapping. Therefore, the batteries are circulating between
the customers and SBS. Essentially, there is no difference
between the two boxes, because they share the same charger,
whenever the vacant one is the recycle box, the other one
is the charging box. In the swapping process, the quantity
of batteries remains unchanged, which is beneficial to the
schedule of the system. If the quantity of battery changes,
the uncertainty will arise, affecting the system performance
and increasing the schedule difficulty. Without timely replen-
ishing, the station operation maybe break down. In the dis-
patch process, the control center draws up a charging and
discharging plan for the rest of the day to meet battery demand
according to the forecasted demand and the condition of the
battery in the SBS at the beginning of each time slot.
B. OBJECTIVE FUNCTION
In the previous works, such as [12] and [37], the possible
factors of economic cost and income of the BSS and BCS
are not taken account in their formulation. In this paper,
the objective function is formulated to maximize net revenue
on the basis of meeting the customer battery demand. The
SBS optimization model is composed of four parts, namely,
i) the profit of peak shaving and valley filling, ii) electricity
purchasing cost, iii) battery degradation cost, and iv) rental
income. The final objective of the optimization model is
to maximize the total income subject to all the constraints.
On basic of meeting the customers’ battery demand, the rest
batteries will be used for power regulation. Therefore, the sta-
tion can help improve the reliability, efficiency and stability
of the grid. As mentioned above, the profit of peak shaving
and valley filling is associated with state of battery j in time
slot i. Through the bonus-penalty structure, it is convenient
to adjust the state of the battery appropriately in time, which
provides opportunity for the station to participate in power
regulation. The reward mechanism of peak shaving and valley
filling is built as follows, the SBS will be punished if the
battery charges in peak time, otherwise, the SBS will be
rewarded if the battery charges in valley time. The bonus-
penalty structure makes the SBS system participate in power
regulation appropriately, however the energy supply cannot
be affected.
M X
N
X
c1 = (a1 ∗ p1 ∗ t ∗ A1 (i, j) + a1 ∗ p2 ∗ t
i=1 j=1
∗ | A2 (i, j) | −a2 ∗ p1 ∗ t ∗ A3 (i, j)), (1)
where c1 is the profit of peak shaving and valley filling,
which consists of three sections, the profit of peak shaving
and valley filling of the first four segment, the profit of peak
shaving and valley filling segment and the punishment of
increasing the peak value. a1 and a2 are the coefficients of
peak shaving and valley filling, p1 is the charging power,
and p2 is the discharging power. Three integer variables A1 ,
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J. Yang et al.: Optimal Dispatching Strategy for SBS of EV by Divisional Battery Control

A2 , A3 are introduced to denote the decisions. M and N are
the quantity of time slots and batteries, respectively. t is the
length of one time slot. Specifically, in time slot i, if the
battery j belongs to the effective charged segment and reserve
segment to be charged in valley time, then A1 (i, j) = 1, and
otherwise A1 (i, j) = 0. In order to ensure an uninterrupted
and sustained supply of batteries, the batteries in the effective
charged segment cannot be discharged, i.e. A1 (i, j) = −1 is
impossible.
discharging and sleeping. In (5), the first term is the degra-
dation cost of battery charging. When B(i, j) = 1, the cost
of charging should be accumulated. The second term is the
degradation cost of battery discharging. When B(i, j) = −1,
the cost of discharging should be accumulated.

1,
 charging, i ∈ [1, M ], j ∈ [1, N ],
B(i, j) = −1, discharging, i ∈ [1, M ], j ∈ [1, N ], (6)

0, sleeping, i ∈ [1, M ], j ∈ [1, N ].


1, charging in vally time, i, j ∈ Z , The battery service life is related to the total charging


capacity, thus the cost per hour can be estimated by average


 i ∈ [1, M ], j ∈ [1, byy (i)],
A1 (i, j) = (2) service life. Therefore, according to the current charging
0, else, i, j ∈ Z ,


 capacity, the remaining life of the battery can be estimated.
i ∈ [1, M ], j ∈ [1, N ]. Thus the cost of battery degradation can be represented as
Similarly, in time slot i, if the control center determines M X
X N
the battery j belonging to the peak shaving and valley filling c3 = e1 ∗ (| (B(i, j) | ∗p1 ∗ t), (7)
segment to be charged, then A2 (i, j) = 1; to be discharged, i=1 j=1
A2 (i, j) = −1. Besides, in order to keep the scale of the where e1 is coefficient. The real battery service time is related
matrix, we set the A2 (i, j) = 0 in other positions of the with too much factors such as degree of discharge, envi-
matrix. In the fifth segment, once the battery is determined to ronment temperature and pressure, charging and discharging
charge or discharge, it must participate in power regulation. mode and some other factors, which make it difficult to
measure exactly [41]. From the view of statistics, using the
charging, i, j ∈ Z ,

1,
average service life instead of the actual one, the estimation



i ∈ [1, M ], j ∈ [bss (i), N ],

method in this paper is adopted. To denote the battery swap-



−1, discharging, , i, j ∈ Z ,

ping process, a binary decision variable D(i, j) is introduced.
A2 (i, j) = (3)
 i ∈ [1, M ], j ∈ [bss (i), N ], (

 1, swapping, i ∈ [1, M ], j ∈ [1, N ],
else, i, j ∈ Z , D(i, j) = (8)


0,

 0, else, i ∈ [1, M ], j ∈ [1, N ].
i ∈ [1, M ], j ∈ [1, N ].

Introduced an pricing strategy, the system renting fee is
Furthermore, in the dispatching process, in order to make appropriate and reasonable which are positively correlated
the power regulation more reasonable, if the peak value is with the battery SOC difference between before and after the
increased, the station will be punished. When the SBS charges swapping process. The rental income can be represented by
battery j in the peak time, it will be punished, A3 (i, j) = 1, and
M X
N
otherwise, A3 (i, j) = 0. The punishment appears in the first X
c4 = g ∗ D(i, j) ∗ (Sb (i, j) − Sbb (i, j)), (9)
four segments. In order to maximize revenue, the punishment
i=1 j=1
should be reduced. Due to the limit on the quantity of batter-
ies, it cannot be avoid. Through charging batteries to deal with where c4 is the rental income, Sb (i, j) denotes the SOC of
the demand in advance, the punishment can be reduced a lot. the battery j in time slot i, Sbb (i, j) denotes the SOC of the
j-th battery which customers decide to swap in time slot i,
1, charging in peak time, i, j ∈ Z ,



 and g is price per unit power. Then, the objective function is
 i ∈ [1, M ], j ∈ [1, byy (i)], formulated as
A3 (i, j) = (4)
0, else, i, j ∈ Z ,


 c = c1 + c2 + c3 + c4 . (10)
i ∈ [1, M ], j ∈ [1, N ].
C. CONSTRAINT CONDITIONS
Since the power price is fixed in this optimization model,
the electricity purchasing cost can be expressed as In order to accord with the actual situation, both the battery
capacity and quantity should be strictly constrained. Before
M X
X N and after charging/discharging, the SOC of each battery
c2 = (f1 ∗ p1 ∗ t ∗ B(i, j)) should be between 0 and 1. N and M denote the total quantity
i=1 j=1 of batteries and time slots, respectively. Therefore, we have
M X
N
0 ≤ Sb (i, j) ≤ 1, , i, j ∈ Z , i ∈ [1, M ], j ∈ [1, N ],
X
+ (f2 ∗ p2 ∗ t ∗ B(i, j)), (5) (11)
i=1 j=1 0 ≤ Sbb (i, j) ≤ 1, i, j ∈ Z , i ∈ [1, M ], j ∈ [1, N ], (12)
Here, an integer variable B(i, j) is introduced to indicate the 0 ≤ Sb (i, j) + p1 ∗ η ∗ t ≤ 1,
states of all the batteries in each time slot, such as charging, i, j ∈ Z , i ∈ [1, M ], j ∈ [1, N ], (13)

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 J. Yang et al.: Optimal Dispatching Strategy for SBS of EV by Divisional Battery Control
and
0 ≤ Sb (i, j) − p2 ∗ η ∗ t ≤ 1,
i, j ∈ Z , i ∈ [1, M ], j ∈ [1, N ], (14)
where Sb (i, j) denotes the SOC of battery j in time slot i,
Sbb (i, j) denotes the SOC of customers’ battery j in time slot i,
p1 represents the charging rate, p2 is the discharging rate,
η is the charging and discharging efficiency, and t denotes
the length of the time slot. It should be noted that the SBS
will charge the batteries in the whole time slot if the control
center decides to charge them at the beginning of current time
slot.
According to the charge characteristics of battery, it is
difficult to charge a battery when it is about to be fully
charged. Besides, the deep discharge and over-charge have
a negative influence on cycle life. In order to extend battery
service life, it is necessary to avoid over-charge and deep dis-
charge. Therefore, the SOCs of each battery in the dispatching
process should be constrained strictly.
Sbv (i, j) > Sd , i, j ∈ Z , i ∈ [1, M ], j ∈ [byy (i) + 1, N ],
(15)
Sbp (i, j) < Sc , i, j ∈ Z , i ∈ [1, M ], j ∈ [byy (i) + 1, N ],
(16)
< Sc , be able to charge, i, j ∈ Z ,


 qs (i) denote the quantity of batteries which the SBS can

 i ∈ [1, M ], j ∈ [1, bss(i)],
Sb (i, j) (17)

> Sd , be able to discharge, i, j ∈ Z ,

 which participate in the process of peak shaving and valley
i ∈ [1, M ], j ∈ [1, bss(i)],
byy (i) = bre (i) + bre (i + 1) + bre (i + 2), (18)
bss (i) = max[dh ∗ byy (i)e, bo1 (i) + bo2 (i)
+ bo3 (i) + bo4 (i)], (19)
and
N = bo1 (i) + bo2 (i) + bo3 (i) + bo4 (i) + bo5 (i), (20)
where Sbv and Sbp denote the bound of battery SOC which can
participate in the process of peak shaving and valley filling,
respectively, bre (i) is the quantity of the predicted battery
demand in time slot i, byy is the quantity of the predicted
battery demand in the continuous three time slots, bo1 , bo2 ,
bo3 , bo4 , and bo5 are the quantity of batteries which control
center determines in the five segments in time slot i. To keep
a certain reserve, bss is the lager one between the quantity of
the batteries in the first four segments and dh ∗ byy e.
In order to ensure long-term steady operation of the SBS
and meet battery demand, the quantities of batteries in the five
segments are within reasonable ranges in each time slot. This
constraint can be interpreted as follows: to guarantee more
than bo1 fully charged batteries in the current time slot, at least
bo1 batteries, whose SOC is larger than St2 , exist in the second
segment in the pervious time slot, and at least bo2 batteries,
whose SOC is larger than St3 , exist in the third segment before
the previous time slot, and so on. Besides, the charging power
should be larger than the difference between two consecutive
38228
thresholds, and the process will be reflected in the dispatching
strategy. Moreover, for sustainable and safe operation of the
system, the following constraints are given in (21).
bomin (i, j) ≤ bo (i, j) ≤ bomax (i, j),
i, j ∈ Z , i ∈ [1, M ], j ∈ [1, N ], (21)
where bo (i, j) is the quantity of batteries in the j-th segment
in time slot i, bomin (i, j) and bomax (i, j) are the lower and
upper bounds of bo (i, j), respectively. Similarly, in each time
slot, the quantity of batteries which can participate in the
process of peak shaving and valley filling is limited within
a reasonable range:
0 ≤ bp (i) ≤ N − bss (i), i ∈ Z , i ∈ [1, M ], (22)
0 ≤ bp (i) ≤ min[ps (i), pg (i)], i ∈ Z , i ∈ [1, M ], (23)
0 ≤ bv (i) ≤ N − bss (i), i ∈ Z , i ∈ [1, M ], (24)
and
0 ≤ bv (i) ≤ min[qs (i), qg (i)], i ∈ Z , i ∈ [1, M ], (25)
where bp (i) and bv (i) denote the actual quantity of batteries
which participate in the process of peak shaving and valley
filling in time slot i, respectively, pg (i) and qg (i) denote
the quantity of batteries which are required by the grid for
peak shaving and valley filling in time slot i, and ps (i) and
supply for peak shaving and valley filling in time slot i. The
constraints (22)-(25) set limits on the quantity of batteries
filling.
D. PREDICTION MODEL
Since the real battery demand bre are uncertain, they should
be predicted on the basis of daily battery demand curve. It is
assumed that the real battery demand bre fluctuate frequently
around the predicted battery demand bpr . The simulation
of the process can be expressed in (26)-(28). It is proved
that the SOC and Sbb of the batteries which customers swap
in the 24 time slots follows Gaussian distribution approxi-
mately [42], [43]. Thus the predicted model can be denoted
as
1 (x1 −µ1 ) 2
Sbb (i, j) ∼ 1
√ e2 σ1
, (26)
σ1 2π
1 (x2 −µ2 ) 2
bde ∼ 1
√ e 2 σ2
(27)
σ2 2π
and
bl (i, j) = bde (i, j) + bpr (i, j), (28)
where bl are the values of these points corresponding to the
24 time slots on the battery demand curve, bpr is the predicted
value, and bde is the difference between the real battery
demand and the predicted battery demand. In the optimization
process, the actual battery demand, the SOC of customers’
swapping batteries in previous time slots and the predicted
battery demand, the SOC of customers’ swapping batteries
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J. Yang et al.: Optimal Dispatching Strategy for SBS of EV by Divisional Battery Control
FIGURE 2. The flow chart of GA.
in subsequent time slots are utilized for calculation in time
slot i. The system updates the battery demand and the SOC of
customers’ batteries at the beginning of each time slot. In fact,
the forecast errors are inevitable in the predicted process.
In this case, the impact of the errors on the system can be
greatly reduced. If the battery demand changes dramatically
in one time slot, the control variables can be corrected in the
subsequent time slots. Besides, because the fourth segment,
the extra batteries will be charged to supply the shortage in
the next time slot.
E. GENETIC ALGORITHM
In the optimization process, the control center determines the
quantity of batteries in each segment, the batteries to swap,
and the time of charging, discharging and sleeping. Since
the optimization problem has a large amount of decision
variables, control variables and complicated constraints, it is
difficult to be solved by traditional optimization methods. The
genetic algorithms (GA) has the advantage of global conver-
gence and high accuracy. Besides, Liao et al. [23] solved a
mixed-integer programming problem with GA, which indi-
cated that GA is effective to deal with this type of prob-
lem. Therefore, GA is used for solving the optimization
problem.
The control center can solve the complicated optimization
problem in a short time by the genetic algorithm, which
utilizes the SOC of batteries that customers have swapped
in previous time slots, the predicted SOC of batteries that
customers intend to swap in subsequent time slots, the SOC of
batteries in the current time slot, the predicted battery demand
in the subsequent time slots, the real battery demand and some
other parameters. The flow chart of the genetic algorithm
is shown in Fig. 2. Through the genetic algorithm, we can
obtain the value of bo in several minutes to maximize the total
revenue.
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FIGURE 3. The segments.
III. DISPATCHING STRATEGY
In this paper, a day is divided into 24 time slots. At the
beginning of each time slot, the control center sequences the
batteries in a descending order of their SOCs in the SBS.
Through optimizing the objective function, the quantity of
batteries can be obtained in each segment, bo1 , bo2 , bo3 ,
bo4 , bo5 . It means the control center assigns the first bo1
batteries to the first segment, and the next bo2 batteries to
the second segment, and so on. Note that it is not a phys-
ical partition, but an information partition. The first three
segments are called the effective charged segment. In these
segments, If their SOCs are lower than the thresholds St1 , St2 ,
and St3 in the corresponding segments, respectively, they will
be charged. For example, in the first segment, if Sb (i, j) <
St1 , it will be charged in this time slot and Sb (i + 1, j) =
Sb (i, j) + η ∗ p ∗ t, and otherwise, this step is skipped and
Sb (i + 1, j) = Sb (i, j). Within a time slot, the charging power
should be larger than the difference between the two consec-
utive thresholds. Though we set the first three segments to
keep sustainable operation of the system, it is necessary to
reserve some batteries when the demand change dramatically.
Thus the fourth segment takes as reserve segment, in case
the SBS has troubles in battery shortages facing with the
sudden demand and forecast error. And the fifth segment
is specialized for peak shaving and valley filling. The total
segments can be described in Fig. 3 in detail. The flow chart
of dispatching in the first segment is given in Fig. 4. S1 and S2
are the actual load curve and expected load curve of the area,
respectively. Since the second and third segments are similar
to the first one, their flow charts are omitted here.
As shown in (18) and (19), byy is the quantity of the
predicted battery demand in the continuous three time slots,
bss is the total quantity of batteries in the first four segments
at the beginning of the time slot, bss is the lager one between
the quantity of the batteries in the first four segments and
dh ∗ byy e at the end of the time slot, bss and byy are used
to guarantee the customers’ degree of satisfaction. It is nec-
essary to provide a margin for the quantity of batteries in
order to improve the system reliability. The charging mode
is different from that of the batteries in the effective charged
segment, the first bss −byy batteries will be charged, and other
batteries will keep sleeping in this segment. The process is
shown in Fig. 5.
The last segment involves a lot of complicated control
problems. The remaining batteries belong to this segment,
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 J. Yang et al.: Optimal Dispatching Strategy for SBS of EV by Divisional Battery Control
FIGURE 4. The flow chart of dispatching strategy in the first segment.
FIGURE 5. The flow chart of dispatching strategy in the fourth segment.
whose main function is peak shaving and valley filling. Usu-
ally, the quantity of batteries is not large in this segment
during peak time. However, it will be a large one in valley
time and rainy day. This segment offers a huge flexibility
for the grid. First of all, the quantity of batteries bp and
bv that can be charged and discharged should be identified,
respectively. It is assumed that the batteries are effective for
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FIGURE 6. The flow chart of dispatching strategy in the fifth segment.
TABLE 1. Parameters.
charging if their SOCs are below Sc , and they are effective
for discharging if their SOCs exceed Sd . The mechanism
can avoid overcharging and deep discharging effectively.
Therefore, the battery service life can be extended. Second,
the scale of batteries that are required for peak shaving and
valley filling should be determined, which are denoted as pg
and qg , respectively. ps and qs are the quantity of battery
which the SBS can provide with the customer to participate
in peak shaving and valley filling. The SBS system compares
pg with ps and qg with qs . Then the quantity of batteries
which participate in peak shaving and valley filling can be
determined in this time slot. The first bv (bp ) batteries will be
charged (discharged). The process is expressed in Fig. 6.
IV. SIMULATION RESULTS
In this section, the optimization model and dispatching strat-
egy are validated with simulations based on an area load
curve. We focus on a one-day scheduling horizon with one
hour per slot.
This paper selects the daily battery demand curve in an
area according to the probability distribution [44]. By using
the Monte Carlo algorithm, we take battery samples whose
SOCs follow Gaussian distribution. Some parameters are
given in Table 1. Considering the scale of customers,
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TABLE 2. Income of the SBS, with optimal dispatching strategy(o) and

traditional charging strategy(t) in normal condition.

FIGURE 7. The optimization result of total income in normal day.

1200 batteries is set in the SBS. The optimal dispatching

strategy and traditional strategy are adopted to control the
SBS operation. With traditional charging strategy, as long
as the battery is not fully charged (whose SOC is not equal
to 1), it will be charged in the time slot. The charging model
will cause over-charge which damages the battery. Similarly,
it provides the customers with the largest SOC battery. How-
ever, without the command of control center, the SBS cannot
discharge in any time slot. That means the SBS has little
opportunity to participate in peak shaving and valley filling.
As shown in Table 2, it is obvious that the total revenue with
optimal dispatching strategy are much larger than that with
traditional strategy. Comparing the values of c1 , c2 , c3 , and
c4 under the two strategies, the following conclusions can be
obtained:
• The profit of peak shaving and valley filling is much
FIGURE 8. The optimization result of each part income in normal day.
larger with the optimal dispatching strategy, over twice
more than the profit with the traditional charging strat-
egy. However, it has little peak shaving profit with
the traditional dispatching strategy, because the system SOC restrictions and the objective to maximize revenue.
cannot control the charging, discharging and sleeping The SBS sacrifices the rental income to increase total
time and the quantity of batteries in these states in a income in some time slots.
smart way. While with the optimal dispatching strategy, • Compared with the traditional charging strategy,
the SOC of batteries and total SBS load power are the optimized dispatching strategy has a significant
controllable. Therefore, not only the income increases, advantage in terms of economic benefits.
but also the load curve becomes relatively flatter. We simulate and analyze the dispatching strategy
• The electricity purchasing cost is the main part in the in MATLAB. The convergence results can be observed
total cost, and the optimized purchasing cost is slightly in Figs. 7–10. It’s obvious that the objective function con-
lower than the traditional cost. In order to maximize the verges to the optimum and a better solution can be obtained
total income, the system has to sacrifice some benefits, after about 300 generations, and the customers satisfaction
which leads to rental income get lower. Hence the elec- can be guaranteed. The optimal dispatching strategy can
tricity purchasing cost reduce a little. contribute to the peak shaving and valley filling. However,
• The cost of battery degradation is slightly less with the the effect of peak shaving and valley filling are restricted by
optimal dispatching strategy. In order to avoid over- the capacity limits and the priority of battery supply, such as
charge, the SOC of battery which can be charged should the valley filling at the third time slot.
be strictly limited. The restrictions lead to the less bat- In order to evaluate the optimization model and dispatch-
tery degradation cost. ing strategy, an experiment is continuously performed for
• The rental income is slightly less with the optimal 10 days. The results are shown in Table 3. Though the total
dispatching strategy. The result attributes much of revenue have some fluctuations, the optimized revenue is

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 J. Yang et al.: Optimal Dispatching Strategy for SBS of EV by Divisional Battery Control
FIGURE 9. The effect of peak shaving and valley filling in normal day.
FIGURE 10. The comparison of income between optimization and
tradition strategy.
FIGURE 11. The battery demand in rainy day.
larger than that of the traditional one all the time. In fact,
the predicted customers’ battery demand may have large
errors under some unusual conditions, such as sudden thun-
dershower, strong wind and other factors. In the simulations,
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TABLE 3. The total income comparison in continuously operational
period.
FIGURE 12. The optimization result of total income in rainy day.
it is assumed that it rains on the 11-st day in this area, and the
predicted battery demand and the upper and lower bounds of
variables should be adjusted. As shown in Fig. 11, the battery
demand has changed a lot in a rainy day. The results are
given in Figs. 11–14 and Table 4. It is observed that the SBS
operates normally on the rainy day.
Moreover, as shown in Table 4 and Figs. 11–14, even
though the rental income is lower than before, the profit
of peak shaving and valley filling is greatly increased on
the rainy day. Therefore the income does not reduce a lot.
However, the traditional dispatching strategy make very lit-
tle profit on a rainy day. In Table 5 and Figs. 15–18, it is
observed that the SBS system operates normally when a sud-
den demand happens. Facing a sudden demand, the system
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FIGURE 13. The optimization result of each part income in rainy day. FIGURE 16. The Battery demand in sudden demand day.

FIGURE 14. The effect of peak shaving and valley filling in rainy day. FIGURE 17. The effect of peak shaving and valley filling in sudden
demand day.

FIGURE 15. The optimization result of total income in sudden demand

day. FIGURE 18. The optimization result of each income in sudden demand
day.

cannot predict it in advance, thus the dispatching strategy can- dispatching strategy. As shown in Fig. 19, the customer sat-
not change beforehand. But the system can provide satisfying isfaction can be guaranteed during the most of time slots in
batteries and increase the income a lot under the proposed the three conditions. The SBS sacrifices customer satisfaction

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 J. Yang et al.: Optimal Dispatching Strategy for SBS of EV by Divisional Battery Control
FIGURE 19. The degree of customers’ satisfaction in the three conditions.
TABLE 4. The total income comparison in rainy day.
TABLE 5. The total income comparison in sudden demand day.
to increase total income in some cases, which occurs usually
during the time slot 17, 18 and 19. In the three conditions,
the SBS can keep a sustainable and safety operation. Besides,
the SBS participate in peak shaving and valley filling which
improves the stability of the grid.
V. CONCLUSIONS
In this paper, a SBS system model is proposed to provide
swapping batteries service for electric vehicles. An opti-
mization model and a dispatching strategy are formulated
to solve the SBS scheduling problem. The SBS system and
its business model are proposed in detail. Apart from fully
charged batteries, the SBS can provide the customer with a
high battery, even a battery with arbitrary SOC in the station.
An divisional battery control method is introduced in the dis-
patching strategy. Through the dispatching strategy, the SBS
can control the process of battery charging, discharging,
sleeping and swapping in each segment, and the quantity of
batteries in each segment is obtained by maximizing the total
revenue. The possible factors of economic cost and income
of the SBS are considered in the objective function. The
dispatching strategy can meet customers’ battery demand,
guarantee the customer satisfaction and maintain the stability
of the SBS system. The SBS can provide the grid with much
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flexibly. On basic of meeting the predicted customer battery
demand, the rest batteries in the SBS can participate in peak
shaving and valley filling. Simulation results demonstrate
the effectiveness of the proposed model and strategy. The
results shows that the proposed strategy can both increase
the income for the SBS operator and provide flexible loads
for the grid. Furthermore, the SBS has strong robustness,
which guarantees the continuous operation of system. Since
the capacity of one SBS is limited, the scheduling system of
battery station cannot supply an enough capacity for peak
shaving and valley filling. The cooperation among several
SBSs might be an effective solution to the problem.
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JIE YANG received the B.Eng. degree in elec-
trical engineering and automation and the mas-
ter’s degree in control theory and control engi-
neering from Yanshan University, in 2006 and
2009, respectively, and the Ph.D. degree in control
science and engineering from Tianjin University,
in 2015. She is currently an Associate Profes-
sor with Yanshan University. Her research interest
includes economical dispatch in power systems.
WEIQIANG WANG received the B.Eng. degree in
electrical engineering and automation from Yan-
shan University, in 2017, where he is currently
pursuing the master’s degree in electrical engineer-
ing. His research interests include optimization
and smart grid.
KAI MA received the B.Eng. degree in automa-
tion and the Ph.D. degree in control science
and engineering from Yanshan University, China,
in 2005 and 2011, respectively. In 2011, he joined
Yanshan University. From 2013 to 2014, he was
a Postdoctoral Research Fellow with Nanyang
Technological University, Singapore. He is cur-
rently a Professor with the Department of Automa-
tion, School of Electrical Engineering, Yanshan
University. His research interests include demand
response in smart grid and resource allocation in communication networks.
BO YANG received the Ph.D. degree in elec-
trical engineering from the City University of
Hong Kong, Hong Kong, in 2009. He was a Vis-
iting Scholar with the Polytechnic Institute of
New York University, in 2007, and a Postdoctoral
Researcher with the Royal Institute of Technology,
Stockholm, Sweden, from 2009 to 2010. He joined
Shanghai Jiao Tong University, in 2010, where he
is currently a Full Professor. His research interests
include game theoretical analysis, optimization of
communication networks, and smart grid.
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