IEEE 2000 Summer Meeting Seattle, Washington, USA, 16

th
- 20
th
July, 2000
FILTER DESIGN USING A NEWTON-RAPHSON METHOD
BASED ON EIGENVALUE SENSITIVITY
Sergio L. Varricchio
Member IEEE
Nelson Martins
Fellow IEEE
CEPEL
P. O. BOX 68007
21.994-970 Rio de Janeiro, RJ, Brazil
e-mail: slv@cepel.br / nelson@cepel.br
Abstract A Newton-Raphson method was proposed in [1] and [2]
to accurately shift the electrical network poles and zeros to more
suitable locations in the complex plane to improve the harmonic
voltage performance of a system. The poles and/or zeros shifts were
carried out by appropriate changes in the capacitor and/or reactor
banks. Based on this concept, this paper presents a Newton-Raphson
method to accomplish the required shifts by changes in harmonic
filter parameters. In this way, a single tuning filter, designed by this
method, is shown to solve the harmonic problem of the bus where it
is connected as well as another harmonic problem at a different
system bus. Achieving these two objectives with just one single
tuning filter may be economically attractive.
Keywords: Harmonics, Filter Design, Newton-Raphson, Pole
Shifts, Transfer Function Zeros, Eigenvalue Sensitivities.
1 Introduction
A Newton-Raphson method has been recently proposed in [1]
to accurately shift an electrical network pole or zero to a more
suitable location in the complex plane. The method is based
on the fact that the harmonic voltage performance of a system
depends on the location of its poles and zeros mainly with
respect to the typical harmonic frequencies [3], [4]. This pole
or zero shift was carried out by appropriate changes in a
system element (e.g. capacitor or reactor banks). A
generalization of this method to simultaneously shift several
poles and/or zeros and imposing the constraint of maintaining
the same system operating point is proposed in [2]. This
paper presents a similar Newton-Raphson method to
accomplish the required pole (or zero) shift by changes in the
parameters of a given harmonic filter. In this way, a single
tuning filter, designed by this method, can solve the harmonic
problem of the bus where it is connected as well as another
harmonic problem at a different system bus. Achieving these
two objectives with just one single tuning filter may be
economically attractive.
The Newton-Raphson method is based on eigenvalue
sensitivity coefficients [3], [4], [5]. The sensitivity calculation
is straightforward when the network is modeled by the
descriptor system approach [5], which has an inherent ability
to deal with state variable redundancies (network degeneracy
[6]).
A review of the descriptor system approach [7], [8], [9]
applied to the study of harmonic problems will be presented
in order to better describe the proposed method.
2 Network Modeling
The dynamic behavior of an electrical network is governed
by: Kirchhoffs current law (KCL), Kirchhoffs voltage law
(KVL) and the equations describing the inherent dynamic
characteristics of each network element [10].
The Kirchhoffs laws (KCL and KVL) are algebraic
equations containing the information on system topology.
Each algebraic equation determines a linear dependence
among system variables (voltages and currents). The dynamic
characteristics of the inductive and capacitive elements are
described by first-order differential equations, in terms of
currents and voltages. The inductive currents and capacitive
voltages represent the obvious choice of state variables.
However, building a dynamic model for a practical
electrical network, based on the conventional state-space
methodology may not be a simple task. By definition, the
states form a minimum set of variables able to describe the
dynamic behavior of a system [11]. Therefore, a minimum set
of inductive currents and capacitive voltages, which are
linearly independent, must be determined. The available
techniques to determine this minimum set of states involve an
elaborate topological analysis of the electrical circuit [6].
This difficulty can be overcome by using the descriptor
system (or partially dynamic system) to model the electrical
network [7], [8], [9]. The network modeling by the descriptor
system technique assumes that all inductive currents and all
capacitive voltages are state variables. The algebraic
constraints imposed by the KCL are also included in the
model.
3 Single-phase RLC Series Branch
Harmonic studies usually utilize positive sequence network
models [12], [13], where only single-phase representation is
necessary. Three-phase modeling, needed in some harmonic
studies [13], [14], [15] could also be considered by the
proposed method [8].
IEEE 2000 Summer Meeting Seattle, Washington, USA, 16
th
- 20
th
July, 2000
The single-phase RLC branch depicted in Fig. 1 will be the
basic network element in this paper.
R L C
v
k
v
j
v
C
i
kj
Fig. 1: RLC Branch
The electrical behavior of this element can be described by
a set of two ordinary differential equations of first order:
C
kj
kj j k
v
dt
di
L i R v v + + (1)
kj
C
i
dt
dv
C (2)
Equation (1) is general and holds for the particular cases
where L or R are zero. However, when there is no capacitor in
the branch, (2) must be replaced by:
0
C
v
(3)
4 Descriptor System for Single-phase RLC Networks
A given network can be represented for harmonic studies by
the interconnection of single-phase RLC elements. For each
element, (1) and (2) can be written in matrix form:
j k
C
kj
C
kj
v v
v
i R
v
i
dt
d
C
L

0
1

0
1

0 1
1

0
0
]
]
]
,

,
+
]
]
]
,

,
+
]
]
]
,

,
]
]
]
,

]
]
]
,

,
]
]
]
,

,
(4)
where the current
kj
i through the inductor and the voltage
C
v
across the capacitor are the chosen state variables. Symbols
k
v and
j
v denote the voltages at nodes k and j, respectively.
If there is no capacitor, (4) needs to be modified:
j k
C
kj
C
kj
v v
v
i R
v
i
dt
d L

0
1

0
1

1 0
1

0 0
0
]
]
]
,

,
+
]
]
]
,

,
+
]
]
]
,

,
]
]
]
,

]
]
]
,

,
]
]
]
,

,
(5)
The electric network model contains two differential
equations for each existing RLC branch and one algebraic
equation (the KCL) per system node. After interconnecting
the equations for all RLC branches, the following descriptor
system equation is obtained [1], [2], [5]:
u B x A x T +
(6)
x C y
(7)
where y and u are the nodal voltage and current vectors,
respectively. The dimensions of the square matrices A and T
are
m l
n n + 2 , where
l
n is the number of RLC branches and
n
n is the number of network nodes.
A simple RLC circuit with one redundant state is used in [2]
to describe the network modeling by means of the descriptor
system technique.
5 Harmonic Impedance seen from a System Node
Applying the Laplace Transform to (6) and (7):
( ) ( ) ( ) s s s u B A T x
1
(8)
( ) ( ) s s x C y (9)
where ( ) s x , ( ) s u and ( ) s y are the Laplace transforms of x, u
and y, respectively.
From the above two equations:
( ) ( ) ( ) s s s u B A T C y
1
(10)
The impedance matrix ( ) s Z can be defined from (10):
( ) ( ) B A T C Z
1

s s (11)
The
kk
z element of ( ) s Z is equal to the ( ) k n
l
+ 2 diagonal
element of ( )
1

A T s [1], [2], [5]:

( ) ( ) [ ]
( ) k n kk
l
s s z
+

2
1
diag A T (12)
Let
k
T and
k
A be the matrices obtained by canceling the
k n
l
+ 2 row and column of the matrices T and A,
respectively. Thus, the k n
l
+ 2 diagonal element of
( )
1

A T s is given by [1], [2], [5]:

( ) ( ) [ ]
( )
( )
( ) A T
A T
A T

det
det
diag
2
1
s
s
s s z
k k
k n kk
l
(13)
Equation (13) is a generalization for descriptor systems of
its counterpart [3], [4] developed for conventional state space
systems. It shows that:
The system poles are the generalized eigenvalues [16] of
the matrix pair T A , :
( )
i i i
s v T v A A T 0 det (14)
The zeros, associated with the self-impedance of node k,
are the generalized eigenvalues of the matrix pair

k k
T A , :
( )
i k i i k k k
s v T v A A T 0 det (15)
where
i
and
i
are the generalized eigenvalues associated
with the pairs T A , and
k k
T A , and
i
v and
i
v are their
associated generalized eigenvectors.
6 Test System
The results described in this paper relate to the 3-bus test
system studied in [1], [2], [4] and [5]. This system can be
modeled by the interconnection of several RLC branches [4],
[5], as shown in Fig. 2.
bus 1
bus 2 bus 3
L
cc
L
12
R
12
R
2
L
2
I
h2
I
h3
L
3
R
3
R
13
L
13
I
h1
C
2
C
3
C
1
Fig. 2: Test System
IEEE 2000 Summer Meeting Seattle, Washington, USA, 16
th
- 20
th
July, 2000
The system frequency is 50 Hz and the numerical values of
its elements are given in Table 1.
Table 1: System parameter values
Inductance (mH) Resistance () Capacitance (F)
cc
L
8.0 2
R
80.0 1
C
23.9
2
L
424.0 3
R
133.0 2
C
8.0
3
L
531.0 12
R
0.46 3
C
11.9
12
L
9.7 13
R
0.55
13
L
11.9
The impedance moduli as a function of frequency, seen
from each system bus (self-impedance), are shown in figures
3, 4 and 5.
0
5
10
15
20
25
30
35
40
45
0 100 200 300 400 500 600 700 800 900 1000
Frequency (Hz)
I
m
p
e
d
a
n
c
e

M
o
d
u
l
u
s

(

)
Fig. 3: Self-impedance seen from bus 1
0
10
20
30
40
50
60
70
80
0 100 200 300 400 500 600 700 800 900 1000
Frequency (Hz)
I
m
p
e
d
a
n
c
e

M
o
d
u
l
u
s

(

)
Fig. 4: Self-impedance seen from bus 2
0
10
20
30
40
50
60
70
80
0 100 200 300 400 500 600 700 800 900 1000
Frequency (Hz)
I
m
p
e
d
a
n
c
e

M
o
d
u
l
u
s

(

)
Fig. 5: Self-impedance seen from bus 3
The network model has a total of eight poles: three pairs of
complex conjugate poles plus other two real poles. These
poles are the generalized eigenvalues of finite modulus of the
matrix pair T A, calculated by the QZ eigenroutine [16].
The total number of eigenvalues calculated by this routine is
actually equal to 23 (the order of the matrices A and T).
Therefore, other 15 generalized eigenvalues of infinite
modulus corresponding to the algebraic equations are also
obtained.
The pole-zero spectra of the Test System are shown in Fig.
6, for the self-impedance of each one of the three buses. In
this figure,
iA
Z and
iB
Z denote the two pairs of complex
zeros seen from bus i ( ) 3 , 1 i . Note that only those poles
(three complex pairs) and zeros (two complex pairs per bus)
with non-zero imaginary parts were plotted in this figure.
P
2
P
3
P
1
Z
1B
Z
1A
Z
2A
Z
2B
Z
3A
Z
3B
0
100
200
300
400
500
600
700
800
-900 -800 -700 -600 -500 -400 -300 -200 -100 0
Real Part (s
-1
)
I
m
a
g
i
n
a
r
y

P
a
r
t

(
H
z
)
System poles Zeros seen from bus 1
Zeros seen from bus 2 Zeros seen from bus 3
Fig. 6: Pole-Zero Spectra of the Test System
It is worth noting that the shapes of the impedance plots,
shown in figures 3, 4 and 5, may be sketched by hand from
the inspection of the associated pole-zero spectra. One can
observe, for instance, that the two zeros seen from bus 1
(
A
Z
1
and
B
Z
1
) are close to pole
2
P (488 Hz) eliminating the
peak around this frequency value, in the plot of Fig. 3. Note
also that the second zero seen from bus 3 (
B
Z
3
) is close to
the pole
3
P (722 Hz), causing a large reduction at this
frequency in the plot shown in Fig. 5.
7 Shifting a Pole or a Zero by Means of a Single
Tuning Filter
This section describes a Newton-Raphson algorithm to
shift a pole or a zero to a specified location in the complex
plane by varying the parameters of a single tuning filter. The
method is then applied to solve a harmonic problem in the
3-bus test system through the addition of a single tuning
filter.
Let f be the frequency value in Hz (imaginary part divided
by 2 ) of a chosen pole or zero of a system;
r
f the target
value for f (in other words, f should become equal to
r
f at
the solution) and
f
C and
f
L the values of capacitance and
inductance of a single tuning filter that are assumed to vary,
connected at a system bus as shown in Fig. 7.
IEEE 2000 Summer Meeting Seattle, Washington, USA, 16
th
- 20
th
July, 2000
System bus
Z
Other Shunt
Elements
L
f
C
f
R
f
Fig. 7: Single tuning filter connected at a system bus
One may define:
( )
f f
,L C f f
(16)
The mismatch function of the frequency of the selected
pole or zero can be defined by:
( )
( )
% 100
,
,
(
(
,
\
,
,
(
j

r
r f f
f f
f
f L C f
L C g
(17)
The mismatch function of reactance can be defined by:
( )
( ) ( )
( )
% 100
(
(
,
\
,
,
(
j

f c
f c f l
f f
C x
C x L x
,L C r
(18)
where:
f t l
L x
(19)
and

1
f t
c
C
x

(20)
The symbol
t
denotes the tuning frequency of the filter.
In order to shift the initial value of the frequency of the
selected pole or zero ( f ) to the target value ( f
r
), while
keeping the filter properly tuned, the following mismatch
vector equation must be satisfied
]
]
]
,

]
]
]
,

,
0
0
r
g
(21)
which implies in simultaneously solving (17) and (18).
Applying the Newton-Raphson method to (21), the following
recurrence formula is obtained
( )
k
k
k
f
f
k
f
f
r
g
L
C
L
C
]
]
]
,

]
]
]
,

]
]
]
,

,
+
1
1
J (22)
where the index k denotes the iteration number and J is the
Jacobian matrix:
]
]
]
]
]
]
,
,
,
,

f f
f f
L
r
C
r
L
g
C
g
J (23)
The expressions for the Jacobian matrix elements in the
first row are given by:

100
p
f
f p
g
r

(24)
were p denotes a filter parameter (
f
C or
f
L ).
The values of
p
f

correspond to the imaginary parts

(divided by 2 ) of the eigenvalue sensitivities, directly
obtained from (see [5]):
v
T A
w
1
(
(
,
\
,
,
(
j

p p k p
(25)
where v and w are the right (column) and the left (row)
generalized eigenvectors of T A , associated with the
generalized eigenvalue f j 2 + , and v T w k .
The expressions for the elements located in the second row
of the Jacobian matrix are derived below.
Differentiating (18) with respect to
f
C :

1
100
(
(
,
\
,
,
(
j

c f
l
f
x C
x
C
r
(26)
Differentiating (18) with respect to
f
L :
f
l
c f
L
x
x L
r

100
(27)
Differentiating (19) with respect to
f
L and the inverse of
(20) with respect to
f
C :
t
c f f
l
x C L
x

(
(
,
\
,
,
(
j

1
(28)
Substituting (19) and (28) into (26), yields:
f t
f
i
L
C
r
100
2

(29)
Similarly, from the manipulation of (20), (28) and (27),
one obtains:
f
t
f
C
L
r
2
100

(30)
8 Problem Example
Assume that current source
1 h
I , shown in Fig. 2, has
negligible modulus while the sources
2 h
I and
3 h
I contain
5
th
and 11
th
harmonic components, respectively.
The impedance value seen from bus 2 at 250 Hz
(5
th
harmonic) is 44.48 and the impedance value seen from
bus 3 at 550 Hz (11
th
harmonic) is 44.12 . Therefore, the 5
th
and 11
th
harmonic distortions (neglecting the transfer
impedances) are given by:

3 Bus for 12 . 44
2 Bus for 48 . 44
11 11
5 5
I V
I V
(31)
Assume that these distortions have exceeded their
individual limits. The next two sections describe the
IEEE 2000 Summer Meeting Seattle, Washington, USA, 16
th
- 20
th
July, 2000
traditional and proposed solutions to reduce these harmonic
distortions.
8.1 Traditional Solution
The traditional solution for this problem would involve the
installation of a 5
th
harmonic single tuning filter at bus 2 and
a 11
th
harmonic single tuning filter at bus 3.
As an example, consider that a 1 F capacitor is used to
build a 11
th
harmonic single tuning filter. This implies that
the inductor value must be 83.74 mH. It was considered a
filter quality factor of 75. The frequency plots for the self-
impedance seen from bus 2 and 3, after the installation of the
filter at bus 3, are shown in Fig. 8 and Fig. 9.
Fig. 8 shows that with the installation of the 11
o
harmonic
filter at bus 3, the impedance seen from bus 2 at 250 Hz
(5
th
harmonic) remains practically unchanged (41.67 ).
Therefore, the traditional solution to this problem also calls
for the installation of a 5
th
harmonic filter at bus 2.
0
10
20
30
40
50
60
70
80
0 100 200 300 400 500 600 700 800 900 1000
Fequency (Hz)
I
m
p
e
d
a
n
c
e

M
o
d
u
l
u
s

(

)
Fig. 8: Impedance modulus seen from bus 2 - 11
o
harmonic filter at bus 3
0
10
20
30
40
50
60
70
80
0 100 200 300 400 500 600 700 800 900 1000
Fequency (Hz)
I
m
p
e
d
a
n
c
e

M
o
d
u
l
u
s

(

)
Fig. 9: Impedance modulus seen from bus 3 - 11
o
harmonic filter at bus 3
8.2 Proposed Solution
The frequencies (imaginary parts divided by 2) of the
complex conjugate network zeros of the self-impedances of
the three buses (series resonance), as well as their sensitivities
with respect to the inductances and capacitances of the Test
System, considering the 11
th
harmonic filter installed at bus 3,
are presented in Table 2.
The sensitivities are normalized, being given in Hz/per unit
of change of nominal parameter value.
Table 2: Zero sensitivities - 11
th
harmonic filter at bus 3
Node 1 Node 2 Node 3
1 2 3 1 2 3 1 2 3
f(Hz) 395 565 593 317 558 653 382 550 704
cc
L 0 0 0 -42 -33 -53 -88 0 -47
2
L 0 -7 0 0 0 0 -5 0 -2
3
L -4 0 -1 -4 0 -1 0 0 0
12
L 0 -290 0 -34 -27 -44 -37 0 -289
13
L -173 0 -35 -73 -13 -158 -59 0 -32
f
L
-21 0 -264 -6 -206 -72 0 -275 0
1
C 0 0 0 -30 -76 -173 -85 0 -189
2
C 0 -269 0 0 0 0 -109 0 -145
3
C -152 0 -68 -108 -2 -99 0 0 0
f
C
-46 0 -226 -19 -201 -51 0 -275 0
Table 2 shows that the zero 1 seen from bus 2 (317 Hz)
presents considerable sensitivities with respect to the filter
parameters (
f
C ,
f
L ). This suggests the possibility of shifting
this zero to the frequency of 250 Hz, by changes in
f
C and
f
L , minimizing the 5
th
harmonic distortion at bus 2. The
series connection of these new values of
f
C and
f
L must
obviously continue to carry out its function as a 11
th
harmonic
filter.
Applying the Newton-Raphson method to solve this
problem, yielded the optimized values of F C
f
9.20 and
mH L
f
9.11 in 3 iterations with absolute value of the
mismatch functions less than 0.1 %. The filter quality factor
was kept equal to 75.
The frequency response diagram for the self-impedance
seen from bus 2 and 3 for these new parameters of the 11
th
harmonic filter, are depicted in Fig. 10 and Fig. 11. The new
frequency values of the poles and zeros are presented in
Table 3.
0
10
20
30
40
50
60
70
80
0 100 200 300 400 500 600 700 800 900 1000
Fequency (Hz)
I
m
p
e
d
a
n
c
e

M
o
d
u
l
u
s

(

)
Fig. 10: Impedance modulus seen from bus 2 - optimized filter at bus 3
IEEE 2000 Summer Meeting Seattle, Washington, USA, 16
th
- 20
th
July, 2000
0
20
40
60
80
100
120
0 100 200 300 400 500 600 700 800 900 1000
Fequency (Hz)
I
m
p
e
d
a
n
c
e

M
o
d
u
l
u
s

(

)
Fig. 11: Impedance modulus seen from bus 3 - optimized filter at bus 3
Table 3: Poles and Zeros sensitivities - optimized filter
Zeros
Poles
Node 1 Node 2 Node 3
1 2 3 4 1 2 3 1 2 3 1 2 3
f(Hz) 211 416 686 818 296 565 792 250 571 811 382 550 704
With the optimization of the 11
o
harmonic filter at bus 3,
the impedance seen from bus 2 at the frequency of 250 Hz
(5
th
harmonic), changed from 44.48 to 13.79 . This
means a reduction of about 70 % in the 5
th
harmonic
distortion.
The proposed method, therefore, produced a solution that
does not require the installation of a 5
th
harmonic filter at bus
2, reducing the cost of the harmonic distortion control.
The generalization of the proposed method to shift m poles
and/or zeros by appropriate changes in the parameters of m
single tuning filters can be accomplished in a way similar to
that described in [2]. Some important practical constraints
can also be added, such as maintaining the same operating
point for the test system.
9 Conclusions
This paper describes a method of potential value for the
design of harmonic filters based on the Newton-Raphson
algorithm and eigenvalue sensitivities. The filter design is
performed taking into consideration the full dynamic
characteristics of the electrical network. The example results
provided show that a single tuning filter can solve the
harmonic problem of the bus where it is connected as well as
the harmonic problem of another bus of the system. This
double function for the single tuning filter may be attractive
in cases where there exist practical limitations to the
installation of additional filters.
The applicability of the proposed method to networks of
any size and topology is made feasible by the use of the
descriptor system approach associated with sparsity
techniques [9]. It can also be extended to deal with systems
having non-linear, distributed parameter elements [8], [17].
Future work will involve the allocation and design of
damped second-order filters among other harmonic distortion
reduction solutions. Aspects like the robustness of the filter
design solutions to the variable configuration of a practical
industrial system will be addressed.
10 Bibliography
[1] S. L. Varricchio and N. Martins, Applying Sensitivity Analysis to
Improve Harmonic Voltage Performance, VII Symposium of
Specialists in Electric Operational and Expansion Planning VII
SEPOPE, Curitiba, Brazil, 21
th
- 26
th
May, 2000.
[2] S. L. Varricchio and N. Martins, A Newton-Raphson Methos based on
Eingenvalue Sensitivities to Improve Harmonic Voltage Performance,
submited for publication in the IEEE Transaction on Power Delivery.
[3] T. H. Ortmeyer and K. Zehar, Distribution System Harmonic Design,
IEEE Transaction on Power Delivery, Vol.6, No. 1, January 1991
[4] J. Martinon, P. Fauquembergue and J. Lachaume, A State Variable
Approach to Harmonic Disturbances in Distribution Networks, 7
th
International Conference on Harmonics and Quality of Power - 7
th
ICHQP, Las Vegas, USA, 16
th
- 18
th
October, 1996, pp. 293-299.
[5] S. L. Varricchio, N. Martins, L. T. G. Lima and S. Carneiro Jr.
Studying Harmonic Problems Using a Descriptor System Approach,
Proceedings of the IPST99 - International Conference on Power
System Transients, Budapest, Hungary, June, 1999.
[6] P. M. Anderson, B. L. Agrawal and J. E. Van Ness, Subsyncronous
Resonance in Power System, IEEE Press, New York, USA, 1990.
[7] David G. Luenberger, Dynamic Equations in Descriptor Form, IEEE
Transaction on Automatic Control, Vol. AC-22, No. 3, June 1977,
pp.312-321.
[8] L. T. G. Lima, N. Martins and Sandoval Carneiro Jr., Dynamic
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