IEEE TRANSACTIONS ON CIRCUITS AND SYSTEMS—I: REGULAR PAPERS, VOL. 51, NO.
8, AUGUST 2004
Compact Analytical Solutions for Determining
the Spectral Characteristics of Multicarrier-Based
Multilevel PWM
W. H. Lau, Member, IEEE, Bin Zhou, and Henry S. H. Chung, Senior Member, IEEE
Abstract—Multilevel pulsewidth modulation (PWM) has be-
come very important in high-power applications in recent years.
Many different types of topology and control strategy have been
developed to cater for the increasing need. One of the major con-
cerns of the control strategy is to reduce the undesirable harmonics
in order to improve the performance and efficiency. This paper
presents the derivation of analytical solutions for determining the
spectral characteristics of the multicarrier-based multilevel sinu-
soidal PWM. By decomposing the multilevel PWM into a series of
sub-PWM and followed by using double Fourier series analysis,
compact analytical solutions for any level with any carrier phase
disposition have been obtained. Closed-form solutions have also
been derived for double-sided multilevel PWM under certain
specific carrier phase settings. The analytical solutions have been
cross verified extensively with simulations and the results match
with each other very well. It is shown that the proposed analytical
solutions are by far the most compact reported in the literature.
Index Terms—Double Fourier series, multilevel pulsewidth mod-
ulation (PWM) inverter, spectral characteristics.
I. INTRODUCTION
P ULSEWIDTH modulation (PWM), in particular the
two-level inverters and converter, has found many appli-
cations in power electronic applications. However, two-level
PWM inverters cannot be used for high-power applications
due to the limited power rating of the devices. In recent years,
various topologies including the neutral-point-clamped inverter
[1], the capacitor-clamed inverter [2], and the cascaded inverter
[3], have been developed for multilevel inverter implementa-
tion. Various control strategies associated with these topologies
have also been developed. The classic multicarrier-based sinu-
soidal PWM (SPWM) [4] is one of the most common strategies.
Other common approaches include space-vector control (SVC)
[5], selective harmonic elimination [6], and space-vector mod-
ulation (SVM) [7]. Readers may refer to a recent special issue
of the IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS for
a comprehensive coverage in multilevel inverters [8].
One of the major concerns of using multilevel PWM is how
to reduce the undesirable harmonics in order to improve the
Manuscript received September 25, 2003; revised December 12, 2003.
This work was supported by the RGC of the HKSAR, China, under Research
Grant CityU 1192/99E. This paper was recommended by Associate Editor
M. K. Kazimierczuk.
W. H. Lau and B. Zhou are with the Department of Computer Engineering
and Information Technology, City University of Hong Kong, Kowloon, Hong
Kong. (e-mail: itwhlau@cityu.edu.hk; 50003655@student.cityu.edu.hk).
H. S. H. Chung is with the Department of Electronic Engineering, City Uni-
versity of Hong Kong, Kowloon, Hong Kong. (e-mail: eeshc@cityu.edu.hk).
Digital Object Identifier 10.1109/TCSI.2004.832790
1057-7122/04$20.00 © 2004 IEEE
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1577
performance and efficiency. An analytical study on the spectral
characteristics of various control strategies has been reported
elsewhere, and this paper will only concentrate on the study of
multicarrier-based sinusoidal PWM. As indicated in the anal-
ysis of the two-level PWM by Bennett [9], double Fourier se-
ries is proven to be the most convenient tool for analyzing the
nonlinear PWM problem. The first attempt to develop analyt-
ical expression for the multilevel PWM spectrum has been re-
ported by Carrara et al. [4]. However, his derivation involves a
fairly complicated decomposition of the PWM waveform, and
the analytical solution is not easy to use. In the recent work re-
ported by Holms [10]–[12], new sets of analytical solutions for
naturally and regularly sampled multilevel PWM have been de-
rived. Though the analysis is simple enough to follow, the solu-
tion is still rather complicated and the solution is only applied to
odd-level PWM. The authors have also used the double Fourier
series to analyze the multilevel SPWM and reported the results
in [13]. Since the analysis was carried out in a way that the
symmetrical properties of signal interaction has not yet been ex-
ploited, the analytical solution is still a bit cumbersome. After
carefully reexamining this approach, it is found that simple and
compact analytical solutions can be developed for various mul-
ticarrier-based multilevel PWM strategies.
In this paper, the detailed derivation of the analytical ap-
proach will be presented. In the following discussion, the
multilevel PWM inverter is referred to the multicarrier-based
multilevel PWM inverter for convenient purpose. The analysis
is based on naturally sampled multilevel PWM with arbitrary
carrier phase dispositions and a solution for overmodulation is
also derived. The double-sided odd-level PWM will be used to
illustrate the derivation followed by the double-sided even-level
PWM. The analytical solution for single-sided odd-level PWM
will also be given. By comparing the results given in [4] and
[10]–[13], the proposed analytical solutions are by far the most
compact, and closed-form solutions can also be obtained under
certain specific carrier phase dispositions for various strategies.
One of the most attractive features of the proposed approach is
that the spectral characteristics can be examined in detail for
any carrier phase setting for an arbitrary level of PWM.
II. SPECTRAL CHARACTERISTICS OF DOUBLE-SIDED
ODD-LEVEL PWM
In this section, the detailed derivation of the multilevel PWM
spectral characteristics will be presented. Similar to the analysis
of a two-level SPWM inverter reported in [9], this technique is
extended to derive an analytical solution for a double-sided odd-
level PWM inverter (DOPWM). In order to produce an odd-level
1578 IEEE TRANSACTIONS ON CIRCUITS AND SYSTEMS—I: REGULAR PAPERS, VOL. 51, NO. 8, AUGUST 2004

Fig. 1. Double-sided odd multilevel PWM.

Fig. 2. Double-sided even multilevel PWM.

Fig. 3. Interaction between the ith positive carrier C and the modulating
PWM, an even number of carriers is required, whereas an odd
number of carriers is required to generate an even-level PWM,
0
signal V with a dc bias of (1 2i).

as shown in Figs. 1 and 2. For the analysis given in the following,

it is assumed that all of the carriers are of the same carrier fre-
quency and same magnitude , which is normalized to 2 V
peak to peak. Carriers located at the positive band of the modu-
lating signal are called positive carriers , . Simi-
larly, the carriers , , are called negative carriers.
The phase shifts of the positive and negative th carriers are rep-
resented by and , respectively. The modulating signal is
defined as , where is the peak am-
plitude, is the angular frequency, and is the phase of the si- Fig. 4. Definition of pulsewidth for a single cycle of a positive carrier.
nusoidal modulating signal, respectively. Since all of the phase
terms for both the carriers and modulating signal can be con- kinds of interaction between the th positive carrier and the
trolled in an arbitrary manner, their effects on the output spec- modulating signal with a dc bias of ( ). Obviously, there
trum can be evaluated for various phase dispositions. will be no intersections if the magnitude of the dc biased mod-
ulating signal is less than that of the carrier as shown in Fig. 3.
A. Three-Dimensional PWM Model and are the projections of the intersection points on
The main idea of the proposed approach is to determine the the axis for and , respectively. is equal to 0 if
sub-PWM signals generated by individual positive and nega- the carrier signal and modulating signal do not intersect. Con-
tive carriers and then to obtain the multilevel PWM by sum- sequently, and the value of is given as
ming all individual sub-PWM signals together. Each sub-PWM
can be considered as a result of a carrier modulated by a dc bi- (1)
ased sinusoidal signal. Similar to the traditional two-level si-
nusoidal PWM inverter, the modulation index is defined as By comparing the amplitude of the carrier and the modulating
for a -level DOPWM. The time axis can signal, a series of waveforms will be generated as the output. If
be presented by two different angular abscissas, and the carrier is smaller than the modulating signal, the output will
. Within 0 to , can be divided into several sections be 1, otherwise 0. Fig. 4 shows the PWM output for a single
according to the intersection points between the carrier envelope cycle of a positive carrier, and we can write
and modulating signal. The envelope of the carrier is given by
two straight lines, and , and may or may not in- (2)
tersect with the modulating signal. Fig. 3 shows three different (3)

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LAU et al.: COMPACT ANALYTICAL SOLUTIONS FOR DETERMINING SPECTRAL CHARACTERISTICS 1579

a single cycle of a negative carrier and parameters and are

given by
(5)
(6)
For the negative carrier, the 3-D PWM model function
is given by

(7)
The final multilevel PWM function can be obtained
by summing up all the 3-D functions, and ,
generated by individual positive as well as negative carriers.

B. Spectral Characteristics
Since is a periodic function in terms of both and
with a period of , it can be represented using double Fourier
series as follows:

Fig. 5. Interaction between the ith negative carrier C and the modulating
signal V with a dc bias of (2i 1).0
(8)
Substituting (2)–(7) into

(9)
Fig. 6. Definition of pulsewidth for a single cycle of a negative carrier. for positive and negative carriers are given, respectively,
as
Since the PWM output voltage is a function of two variables
and , it can be represented by a three-dimensional (3-D) model
[14]. Considering both Figs. 3 and 4, a 3-D PWM model func-
tion can be defined for the th positive carrier and can
be written as

(10)

(4)

Similarly, Fig. 5 shows three different kinds of interaction

between the th negative carrier and the modulating signal (11)
with a dc bias of ( ). Fig. 6 shows the PWM output for

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1580 IEEE TRANSACTIONS ON CIRCUITS AND SYSTEMS—I: REGULAR PAPERS, VOL. 51, NO. 8, AUGUST 2004

The three possible and combinations for (10) and (11),

i.e., ,( ) and ( ),
will be derived in detail. Since the analysis is carried out using
even functions, i.e., symmetrical triangular carriers and cosine
modulating signal, becomes zero and hence .
Equations (12)–(17) can be obtained
(12)

Fig. 7. Definition of pulsewidth for DEPWM.

(13)
the angular frequency of the modulating signal and carriers, i.e.,
and . The general solution for a
double-sided -level PWM with carriers and
is then given by (20), shown at the bottom of the page.
(14) For an overmodulation situation, i.e., , is given
in (21), shown at the bottom of the page, and the second term in
(20) is replaced by .
Equation (20) is further examined under certain specific
phase combinations, and it is found that, if the carrier phases
are set to be and , respectively, i.e.,
alternative phase opposition disposition (APOD), it can further
(15) be simplified to a compact closed form given in (22), shown
at the bottom of the page, in which is the th-order
Bessel function of the first kind. Hence, the spectrum of a
DOPWM inverter with APOD strategy can be directly com-
(16) puted using (22) without involving any numerical approxima-
tion techniques.

III. SPECTRAL CHARACTERISTICS OF OTHER

(17) MULTICARRIER-BASED PWM STRATEGIES
where The derivation of the spectral characteristic for the double-
(18) sided even-level PWM (DEPWM) is similar to that given in Sec-
and . tion II, but with an additional 0th carrier, as shown in Fig. 2.
The final is a summation of the PWM outputs from all The modulation index is defined as
carriers, i.e., . Finally, we for a double-sided -level PWM. The definition of
have and pulsewidth of DEPWM is shown in Fig. 7, where

(19)
In order to have a complete view on the effects to the spectrum
due to various phase dispositions, phase shift is introduced to (23a)

(20)

(21)

(22)

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LAU et al.: COMPACT ANALYTICAL SOLUTIONS FOR DETERMINING SPECTRAL CHARACTERISTICS 1581

(23b)

The 3-D PWM function is given as follows:

(24a)

Fig. 8. Multicarrier cascaded multilevel PWM inverter topology used for the
analysis.

The general solution for a double-sided level PWM

(24b) with can be obtained by substituting (26)–(32) into
(8), whereas the solution for overmodulation, i.e., , is
obtained by replacing , given in (33), shown at the bottom
of the next page.
Similar to the case for DOPWM and , a compact
closed-form solution for DEPWM can also be obtained for
and , as shown in (34) at the bottom
of the next page.
For the case of single-sided odd-level PWM, its derivation
and general analytical solution is rather complicated. However,
a compact analytical solution has also been found for
and , and is given in (35), shown at the bottom
(24c)
of the next page.
where
IV. SIMULATION RESULTS AND DISCUSSIONS
A. Inverter Topology
(25)
The analytical solution derived is for analyzing the spectrum
of a multicarrier-based cascaded multilevel PWM inverter, and
For and , the coefficients are given in the topology is shown in Fig. 8. The only inconvenient part of
(26)–(31), shown at the bottom of the page, where the proposed general solution is that it contains an integral term
which does not have a direct solution and re-
(32) quires numerical integration technique (e.g., adaptive Simpson

(26)

(27)

(28)

(29)

(30)

(31)

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1582 IEEE TRANSACTIONS ON CIRCUITS AND SYSTEMS—I: REGULAR PAPERS, VOL. 51, NO. 8, AUGUST 2004

quadrature) to compute its value. In practice, due to the in-

convenience involved in generating the carriers with specific
phase setting, three control strategies, namely the alternative
phase opposition disposition (APOD), phase opposition dispo-
sition (POD), and phase disposition (PD), are of common con-
cern since the carriers are all either in phase or 180 out of
phase, which can easily be generated. In particular, compact
closed-form solutions given in (22), (34), and (35) are derived
for carrier phases in either in phase or 180 out of phase. How-
ever, the proposed general solution is not limited to the above
carrier phase dispositions since other phase relationships can
also be generated using frequency synthesizing techniques with
the current digital technology.

B. Simulation Results
Pspice and Matlab have been used to verify these general so-
lutions extensively, and their validity has been confirmed. De-
spite the fact that it may not be practical to set the phases of the
carriers and modulating signal arbitrarily, the proposed solution
is able to evaluate the phase effects on the spectral components.
Figs. 9 and 10 show the simulated and analytical results for four-
and five-level double-sided PWM spectra, and the phase dispo-
sitions are purposely made to be arbitrary, which is uncommon
for verifying the validity of the proposed analytical solutions.
Overmodulation is also one of the concerns for multilevel PWM,
and the proposed solution allows us to have a close examina-
tion of the output spectrum when overmodulation occurs. Fig. 11
shows the spectra obtained from simulation and analytical solu-
tion of a five-level PWM with overmodulation, . The
above examples demonstrate that the simulated and analytical re-
sults match very well. Although hardware implementation has
not been carried out, the proposed solution has been cross ver-
ified by comparing the experimental result of a five-level cas-
Fig. 9. Spectrum of a double-sided four-level PWM with f = 50 Hz, f =
caded PWM inverter reported in [12] and the analytical spec- 2100 Hz, M = 0:9,  = =4,  = 0, and  = =3. (a) Simulation result.
trum matches that of the experimental spectrum very well. (b) Analytical result.

(33)

(34)

(35)

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LAU et al.: COMPACT ANALYTICAL SOLUTIONS FOR DETERMINING SPECTRAL CHARACTERISTICS
Fig. 10. Spectrum of a double-sided five-level PWM with f = 50 Hz, f =
2100 Hz, M = 0:9,  = =3,  =  ,  = =4, and  = 6=5.
(a) Simulation result. (b) Analytical result.
C. Discussions
With the analytical solutions provided in this paper, one can
perform thorough examination of the spectral characteristics of
any level multicarrier-based PWM strategies. With some un-
common carrier phase dispositions, it is shown in Figs. 9 and
10 that the spectra are rather unclean and are not suitable for
real applications. However, if the carrier phases are set appropri-
ately and the corresponding spectra are described in (22), (34),
and (35), the spectrum will be very clean and ready for real ap-
plications. Fig. 12 shows the spectra of the double-sided four-,
five-, six-, and seven–level PWM. It can be seen that the energy
of the spectral components shrinks as the number of levels in-
creases, but more spectral components with significant energy
appear at the same time. This phenomenon has also been ob-
served for the single-sided odd-level PWM with specific carrier
phase dispositions as shown in Fig. 13, except that the spectral
components are denser than that of the double-sided PWM due
to the asymmetrical properties of the carriers. With this tool,
one can choose the most appropriate number of levels and con-
trol strategy by observing the spectral characteristics.
The solution derived is based on ideal situations such as ideal
switching devices and ideal voltage supplies with perfect bal-
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1583
Fig. 11. Spectrum of a double-sided five-level PWM with f = 50 Hz, f =
2100 Hz, and M = 1:2. (a) Simulation result. (b) Analytical result.
ance. In practice, the voltage unbalance problem is an impor-
tant issue in a multilevel inverter and also is not an easy task
to tackle. Since the proposed technique is based on sub-PWM
analysis, it is easy to modify the dc voltage for each carrier. The
dc voltage can be represented by a nominal value plus an offset
voltage and, by solely considering the contributions from the
nominal voltages, the proposed solution can be derived. How-
ever, it is not an easy task or, rather, it is quite impossible to
obtain a simple representation to generalize the voltage unbal-
ance effect to the spectrum unless the offset voltages are exactly
the same for dc supplies. Nevertheless, such a condition is un-
likely to exist in practice.
Another concern of applying the analytical solution to real
applications is that the effects of output filter have not been con-
sidered. Since multilevel inverter is one type of voltage source
inverters, the output current is dependent on the output voltage
waveform. It is thus true that the output filter or its variant (such
as the machine) is used to filter out undesirable harmonics. Nev-
ertheless, the source of the harmonic generation is originated
from the PWM generation process. This is the major reason
why power electronics researchers spend a great deal of ef-
fort studying the modulation strategies to understand their spec-
tral characteristics. However, incorporating the filter parameters
1584 IEEE TRANSACTIONS ON CIRCUITS AND SYSTEMS—I: REGULAR PAPERS, VOL. 51, NO. 8, AUGUST 2004

Fig. 12. Spectra of double-sided PWM with M = 0:9, f = 50 Hz, f =

2100 Hz,  = (i 01) , and  = i for odd-level PWM and  = Fig. 13. Spectra of single-sided PWM with M = 0:9, f = 50 Hz, f =
 = i and  = 0 for even-level PWM. (a) Four-level. (b) Five-level. 2100 Hz, and  =  = 0. (a) Three-level. (b) Five-level. (c) Seven-level.
(c) Six-level. (d) Seven-level. (d) Nine-level.

into the analysis is inevitably complicated, and it is unlikely that assumption that the signal must be periodic. If the ratio of
a compact solution will be obtained. the carrier and modulating signal frequencies is not a rational
Finally, it should be noted that the proposed solution is number, the PWM signal is not periodic and the analytical
obtained based on double Fourier analysis which has a basic solution cannot be applied. It is also of interest to point out that

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LAU et al.: COMPACT ANALYTICAL SOLUTIONS FOR DETERMINING SPECTRAL CHARACTERISTICS
all even harmonics will be eliminated due to the odd half-wave
symmetry if the ratio is an odd integer, and this property may
also help control the harmonics.
V. CONCLUSION
This paper presents an elegant approach to derive the general
solutions for various multicarrier-based multilevel PWM strate-
gies. The main idea is to sum up all the PWM waveforms ob-
tained by decomposing the multilevel PWM into a number of
sub-PWM waveforms. The general solutions have been verified
using Pspice and Matlab simulations extensively. The proposed
approach offers the following advantages: 1) easy understanding
of the derivation; 2) adaptability for arbitrary carrier phase and
modulating signal phase disposition; 3) only a simple numerical
integration technique is required to compute the analytical solu-
tion; 4) the overmodulation situation is also taken into account;
and 5) a compact closed-form solution can be obtained for spe-
cific carrier phase disposition. These general solutions provide
a very convenient tool for researchers who would like to have
an in-depth insight into the spectrum of multicarrier-based mul-
tilevel PWM with arbitrary phase disposition.
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W. H. Lau (M’88) received the B.Sc. and Ph.D. de-
grees in electrical and electronic engineering from
University of Portsmouth, Portsmouth, U.K., in 1985
and 1989, respectively.
In 1990, he joined the City University of Hong
Kong, where he is currently an Associate Professor
in the Department of Computer Engineering and In-
formation Technology. His current research interests
are in the area of digital signal processing, digital
audio engineering, visual speech signal processing.
Dr. Lau is currently the Vice-Chairman of the IEEE
Hong Kong Section. He is the Financial Chair of the TENCON 2006. He was
the recipient of the IEEE Third Millennium Medal. He was the Registration
Co-Chair of the ICASSP 2003 and ISCAS 1997. He was the Chairman of the
IEEE Hong Kong Joint Chapter on CAS/COM for 1997 and 1998.
Bin Zhou received the B.Eng. degree in electrical
and electronic engineering from Shanghai Jiaotong
University, Shanghai, China, in 2001. He is currently
working toward the Ph.D. degree from the City Uni-
versity of Hong Kong.
His research interests include digital signal pro-
cessing, digital audio engineering, and fundamental
control principles for power electronic converters.
Henry S. H. Chung (S’92–M’95–SM’03) received
the B.Eng. (with first class honors) and Ph.D. degrees
in electrical engineering from The Hong Kong Poly-
technic University in 1991 and 1994, respectively.
Since 1995, he has been with the City Univer-
sity of Hong Kong. He is currently an Associate
Professor with the Department of Electronic En-
gineering. His research interests include time- and
frequency-domain analysis of power electronic
circuits, switched-capacitor-based converters,
random-switching techniques, digital audio ampli-
fiers, soft-switching converters, and electronic ballast design. He has authored
four research book chapters and over 160 technical papers including 76 refereed
journal papers in the current research area, and holds four U.S. patents.
Dr. Chung was track chair of the technical committee on power electronics
circuits and power systems of IEEE Circuits and Systems Society in 1997–1998.
He was Associate Editor and Guest Editor of the IEEE TRANSACTIONS ON
CIRCUITS AND SYSTEMS–Part I: FUNDAMENTAL THEORY AND APPLICATIONS.
He was the receipient of the Grand Applied Research Excellence Award in
2001 from the City University of Hong Kong.