SURGE PROTECTION FOR DOUBLE-CONVERSION UPS

L. Giuntini*, E. Blondel **, G. Mellini*

* GE Consumer & Industrial SA, Via Cantonale 50,CH-6595 Riazzino, Switzerland, lorenzo.giuntini@ge.com
** Swisscom (Switzerland) Ltd., Ostermundigenstrasse 93, CH-3050 Bern, Switzerland, enrico.blondel@swisscom.com

Keywords: Power quality, Power system transients, Surge

protection, Uninterruptible power systems. 2 Double-conversion UPS
Abstract A sample block diagram for a double-conversion UPS is
shown in Figure 1. In normal operation, the load is fed
Uninterruptible Power Supplies ensure a continuous and through the rectifier/inverter path. The rectifier converts the
reliable supply to critical loads, and double-conversion is AC input into a regulated DC voltage, providing a DC feed to
typically the preferred topology. Notwithstanding the superior the inverter while recharging the batteries. Then, the inverter
protection provided by their AC-DC-AC conversion, even converts the DC voltage into a fully regulated AC output. In
double-conversion UPS installations often include external case of a power outage, the inverter is fed by the batteries
SPD for protecting both the load and the UPS input stage. (stored energy operation). Additionally, double-conversion
This is particularly critical during high-efficiency operation UPS often feature a bypass path, with a static switch
(so-called ECO mode), when the load is fed via the bypass connecting AC input and output, allowing bypass operation
path (that is, connecting the AC input to the AC output). In (load fed directly by the AC input utility). However, this
this context, this paper discusses overvoltage attenuation by mode is mainly used for emergency operation or during
filtering as complement to surge protection and presents maintenance.
experimental results from a sample installation exposed to Following the AC-DC-AC conversion, output voltage and
high-energy surges. frequency are controlled at all times, and they are independent
from the quality of the AC input supply. Therefore, this UPS
1 Introduction topology provides top protection for the critical load [6].
Particularly, transformer-based units also provide input to
Uninterruptible Power Supplies (UPS) provide power output galvanic isolation during double-conversion operation,
conditioning and backup for sensitive loads. The typical UPS preventing the propagation of any disturbance from the AC
application is the protection of Information Technology (IT) input to the output AC bus.
equipment in data centre installations. In this context, double- While providing optimum protection, double-conversion UPS
conversion is often the preferred choice for mission critical offer limited efficiency. In fact, best-in-class efficiency for
applications (as a matter of fact, double-conversion topology transformer-based double-conversion UPS is around 94%. In
dominates the market for UPS rated 5 kVA and above as used order to overcome this limitation, some double-conversion
in US data centres [16]). UPS feature a high-efficiency mode (so-called ECO mode)
This paper reviews double-conversion UPS and applicable where the load is fed directly by the input utility via the
operating modes, including bypass operation and so-called bypass path, as long as utility remains within given
µ(&2¶ PRGH ORDG QRUPDOO\ IHG YLD WKH E\SDVV SDWK tolerances. The inverter is maintained in a stand-by state,
Particularly, it discussed potential exposure to lightning ready to take on the load whenever the bypass utility
surges from the incoming utility, and protection from such experiences a disturbance. This operating mode greatly
events by means of Surge Protection Devices (SPD). reduces losses, with resulting efficiency exceeding 98%.
Additionally, this paper evaluates specific topologies that
introduce filtering for fast disturbances, thereby
complementing external protection by providing effective
attenuation of the residual overvoltage.
Notwithstanding the protection provided by SPD and the
transient filtering provided by the UPS, concerns may still
remain about the potential of lightning surges to compromise
the UPS installation, as performance of the combination of
SPD and UPS has not been experimentally verified. This
paper aims to bridge this gap by presenting experimental
results from testing a sample SPD and UPS installation with
the injection of high-energy surges.
Figure 1: Block diagram for a double-conversion UPS.
In spite of the efficiency advantage of ECO mode, market
adoption has been limited, following the concern that bypass
operation may expose the critical load to utility disturbances.
In this context, multi-mode UPS (where the UPS
autonomously selects the most efficient operating mode
depending on the quality of the input utility) are becoming
increasingly popular. As an example, consider the double-
conversion UPS depicted in Figure 2. In normal operation
(Voltage Frequency Independent - VFI) the load is fed via the
rectifier-inverter path. Such UPS can also operate in a high-
efficiency mode (Voltage Frequency Dependent - VFD), with
the load fed via the bypass path (so-called ECO Mode).
Particularly, in this Advanced ECO Mode implementation the
inverter output filter is maintained energized via back-feed
from the bypass utility. This ensures a fast transfer to inverter
in case of utility disturbances ± typical transfer time within 2
ms [4].
3 Lightning surges
Lightning strikes are originated by the electric charges
accumulated in the clouds: the strike is the actual electric
breakdown between the cloud and ground. The discharge
drives a surge current of various kA ± this current being
driven similarly to that from a current source [14]. The
resulting waveform is typically an impulse, with a front as
short as a microsecond (time to peak: 0.1 us < T < 20 Ps),
lasting a few to various microseconds (tail duration < 300 Ps),
involving frequencies of hundreds of kHz (10 kHz to 1 Mhz)
[1,2].
Lightning surges are a major issue, and may be causing faults
or failures throughout the power system [5]. In fact, the most
stressful transients in a power system are due to lightning
strikes to the transmission lines (and associated flashover)
[14]. Particularly, lightning is considered the greatest single
cause of line outages [1].
Depending on their level, the effect of surges reaching
electronic equipment ranges from operational malfunction to
complete failure. At some level, the surge may only cause
temporary upset (e.g. a change of state) with no permanent
hardware effect, but at higher levels it may cause failures of
critical components [15].
In power converters, fast-fronted transients may force a
change of state of power semiconductor switches.
Particularly, Silicon Controlled Rectifiers (SCR or thyristors)
can be spuriously fired with high dv/dt surges [7]. Similarly,
it is also possible (at least theoretically) to switch on an
Insulated Gate Bipolar Transistor (IGBT) with high dv/dt
surges [3].
4 Surge protection for multi-mode UPS
As for other electronic equipment, lightning surges may be
harmful to the UPS itself. Additionally, double-conversion
UPS typically feature a bypass path, where a static switch
connects AC input and output, thereby allowing bypass
operation. This may offer a path where lightning surges may
potentially propagate to the load.
Figure 2: Simplified schematic of a double-conversion UPS
showing Advanced ECO Mode operation.
Advanced ECO Mode operation is particularly critical, as the
load is normally fed directly by the input utility. This may
prompt concerns than bypass operation may expose the load
to the utility power disturbances, and particularly lightning
surges.
However, basic surge protection and transient filtering may
be implemented on the UPS [8]. Consider the simplified
schematic presented in Figure 3.
Here, the rectifier section typically includes an input filter.
While this filter is mainly aimed to improve the rectifier input
characteristics (particularly in terms of harmonics), it also
constitutes a filter that may effectively attenuate transient
overvoltage.
Advanced ECO Mode operation also provides transient
filtering. In this operating mode, load-sharing between
parallel units is not actively controlled. To limit the load
unbalance due to cable length differences, an inductor is
added to the bypass line (also shown in Figure 3), resulting in
series with the load. Additionally, the inverter output filter is
energized by back-feed from the bypass utility via the UPS
output, resulting in parallel with the load. Therefore,
Advanced ECO Mode operation combines a bypass inductor
placed in series with the load, with the inverter filter
capacitors placed in parallel with the load. Now, the
combination of a series inductor and parallel capacitor
provides some protection against surges, ideally
complementing external surge protection devices [1]. As a
matter of fact, the bypass inductor in conjunction with the
inverter output capacitors constitutes an L-C filter, for which
the resonant frequency is given by:
1
fr (1)
2S LC
It is clear that the selection of inductor and capacitors is
driven by their main function and not by the desired filtering
frequency. However, in most application the resonant
frequency would fall in the 1-2 kHz range.
Figure 3: Simplified schematic of a double-conversion UPS
highlighting transient filtering.
The 80 kVA UPS used for experimental verification has an
output capacitance of 0.1 mF and a 1% bypass inductor, with
a resonant frequency around 2 kHz. Figure 4 shows the
frequency response for such L-C filter. The circuit provides
significant attenuation in the frequency range of lightning
surges.
Nevertheless, filtering alone would not succeed in providing
lightning surge protection, as the typical lightning surge
originates from a current surge [13]. As a matter of fact,
filtering provides best results in conjunction with an upstream
clamping device which diverts the surge energy before it
reaches the filter. Therefore, the UPS relies on external SPD
IRU HIIHFWLYH SURWHFWLRQ ,Q IDFW WKH ,((( µ(PHUDOG %RRN¶
[11] recommends SPD to be installed at the UPS input, to
protect both the critical load and the UPS input stage. In order
to clear remaining concerns on lightning surges effect on UPS
installation and on exposure of the critical load, the
combination of SPD and UPS protection shall be verified
experimentally.
Figure 4: Frequency response for the L-C filter consisting of
bypass inductor and output filter capacitors for the 80
kVA UPS as used in the test set-up.
5 Experimental verification
Surge testing of the combination SPD + UPS poses some
challenges, especially in defining an actual set of tests and
identifying proper set-up and test equipment. As a matter of
fact, specific standards exists defining the test procedures for
SPD devices or UPS equipment, while the combination of the
two is not routinely tested.
5.1 Test plan
Surge testing introduces standard surge waveforms which
have been defined for convenience and repeatability.
Impulsive surges, such as those induced by lightning, are
typically characterized in terms of rise and fall times. By
convention, these waveforms are referenced as Tr/Td
(typically expressed in microsecond): rise time Tr
(substantially, the time to reach the peak) and fall time Td
(time to decay to half the peak).
As stated, surge test standards exist, and they introduce
specific surge waveforms:
- IEC 61000-4-5 [9] specifies surge immunity testing,
particularly device immunity to impulsive surges such as
the ones due to lightning. Equipment is tested with a
Combination Wave Generator (CWG), able to produce a
ȝVYROWDJHVXUJHLQRSHQ-circuit conditions) and a
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between peak open-circuit output voltage and peak short-
circuit current.
- IEC 61643-1 [10] establishes SPD performance and
testing methods. Particularly, SPD are divides into three
classes depending on their performance. Testing
DFFRUGLQJ WR &ODVV  XVHV D  ȝV FXUUHQW VXUJH
waveform, further defined by its peak (note that peak
pulse current is not limited by the specification).
- IEEE Std. C62.41.2-2002 [12] presents a selection of
surge test waveforms to match a specific environment.
Particularly, it introduces location categories and
determines test surge amplitude and waveform to closely
approximate expectable surges at each specific location
category. Referenced waveforms are the combination
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,WUHVXOWVWKDWWKHȝVFXUUHQWVXUJHZDYHIRUPLVWKHPRVW
widely accepted [14], and it is therefore the one that has been
considered for the experimental verification. In terms of
magnitude, the upper peak pulse current was taken from the
most severe level in IEEE Std C62.41.2-2002: category C
location (extreme exposure), C3 scenario (worst),
corresponding to 10 kA.
The complete test plan includes the verification of the
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the rectifier input and on the UPS output in both double-
conversion and Advanced ECO Mode operation.
Additionally, a life time test is to be executed with the UPS
operating in Advanced ECO Mode by injecting a sequence of
surges intended to represent a possible lifetime exposure for
the system (10+ year).
5.2 Test set-up
Figure 5 shows the actual set-up used for the tests.
The UPS is a three-phase 80 kVA transformer-based double-
conversion UPS. Its architecture matches the simplified
schematic of Figures 2 and 3. Both the rectifier and inverter
sections are IGBT-based converters. In the test set-up, both
the rectifier and the bypass line are fed by the same utility.
The UPS integrates commercial level surge protection in the
form of PCB mounted Metal-Oxide-Varistors (MOV) in
conjunction with a spark gap arrester.
The SPD selection focused on MOV devices. As a matter of
fact, almost all industrial-type SPD use MOV [15]. Two
different SPD have been selected, both are Type 2 [17] SPD:
- SPD1: max discharge current 40 kVA, nominal discharge
current 20 kA, surge life 2 kA x 1,000 impulses.
- SPD2: high-exposure, max discharge current 150 kVA,
nominal discharge current 20 kA, surge life 10 kA x
20,000 impulses.
While they offer similar characteristics, these SPD can be
expected to have different longevity, allowing to assess
potential impacts on actual protection.
In order to inject the surge into a live three-phase system
while preventing line voltage back-feed into the surge
generator, the surge is injected via coupling varistors.
Additionally, a filter network prevents the injected surges
from back-feeding towards the utility.
The surge generator has been set up for 8/20 ȝV current
waveform over a short circuit. When applied to the actual test
circuit, the obtained current waveform was nearly 16/40 ȝV
due to the long coupling lines impedance, effectively
doubling the surge energy. A sample surge current waveform
is shown in Figure 6.
(a)
(b)
Figure 5: Surge test set-up: simplified schematic (a) and
picture (b).
Figure 6: Sample surge current waveform (5 kA), 1 kA/div,
10 ȝVGLY.
5.3 Test results
First of all, the SPD devices were tested alone (no UPS
connected) in order to evaluate their characteristics by
measuring the residual voltage during 10 kA surges. Results
are listed in Table 1.
Then, testing focused on surge protection with the UPS
operating in Advanced ECO Mode. In this mode the load is
normally fed by the bypass utility, and it is therefore
perceived as being the most critical operating mode. Figure 7
shows the effect of a 10 kA surge on the UPS output voltage
with the system operating in Advanced ECO Mode. Results
are also listed in Table 1. Actual impact on output voltage is a
limited overvoltage: magnitude of 30 % above the line peak
voltage; duration below 1 ms.
At this stage, it was clear that there are only minor differences
between the two SPD in terms of protection. Actually, SPD1
may even outperform SPD2, resulting in a lower residual
voltage (though this may be due to minor differences in
cabling of the two SPD during testing). Therefore, subsequent
testing focused on SPD1 only.
Additionally, these results also show that the SPD divert
towards ground most of the surge energy, thereby driving it
away from the protected device. The residual energy reaching
the UPS is actually comparable with that resulting from
testing with a CWG. Consider the waveforms in Figure 8,
showing the effect on the output voltage of a UPS when
exposed to 4 kV / 2 kA L-N combination wave surges.
Comparing these waveforms with those of Figure 7 shows
that exposure to these events produces similar effects on the
output voltage.
(a)
(b)
Figure 7: Effect on 3-ph UPS output following a 10 kA surge
in Advanced ECO Mode operation. (a) SPD1 [500 V/div];
(b) SPD2 [450 V/div].
Figure 8: 4 kV / 2 kA combination wave surge applied to UPS Figure 9: Effect on 3-ph rectifier input following a 10 kA
in Advanced ECO Mode operation, no SPD protection. surge in double-conversion operation [750 V/div].
Top: input voltage, bottom: output voltage [300 V/div].

Figure 9 shows the effect of a 10 kA surge on the UPS

rectifier input voltage, with the system operating in double-
conversion (measure taken on the rectifier input, downstream
the input filter), while Figure 10 shows the effect on the UPS
output (again, in double-conversion operation). It can be
noticed that the UPS input filter attenuates the overvoltage at
the rectifier input. Additionally, superior protection in double-
conversion operation is confirmed by the negligible impact of
the surge on the UPS output voltage. Actual measurements
are also included in Table 1. In order to further confirm the
resilience of Advanced ECO Mode operation to repeated Figure 10: Effect on 3-ph UPS output following a 10 kA
surge events, the UPS has been exposed to a lifetime test by surge in double-conversion operation [400 V/div], with
injecting a sequence of surges intended to represent a possible superimposed surge at UPS input [1500 V/div].
lifetime exposure for the system (10+ years). The following
sequence of surges has been considered:
- 20x hits at 2.5 kA;
- 10x hits at 3.75 kA;
- 5x hits at 5 kA.
Result from testing the 5kA sequence is shown in Figure 11.
Note that the SPD has been left to cool down for at least one
minute in between surges.
Finally, both SPD were verified for a post-evaluation (no UPS
connected) in order to assess potential degradation of their
performance. Again, results are listed in Table 1, showing no
appreciable ageing effect on these components.
(a)
Test SPD1 SPD2
SPD Evaluation 1.55kV 2.00kV
Output voltage 442V 411V
(Advanced ECO Mode) (136%) (126%)
Output voltage 345V n/a
(double-conversion) (106%)
SPD Post-Evaluation 1.49kV 2.06kV

Table 1: Residual peak voltage following 10 kA surge on the

tested system under stated conditions.

(b)
Figure 11: Lifetime test results. (a) 5x 5 KVA surges applied
on UPS input. (b) Residual overvoltage at the UPS output
when operating in Advanced ECO Mode.
6. Conclusion
Double-conversion UPS topology, its possible operating
modes and exposure to lightning surges have been discussed
in this paper. Particularly, Advanced ECO Mode offers a
high-efficiency alternative for multi-mode UPS operation, but
it may raise concerns in terms of potential exposure to surges.
In this context, surge protection and filtering has been
evaluated in different operating modes.
These concepts have been experimentally validated by
injecting high-energy surges on a sample SPD + UPS
installation. The test results show that the primary surge
protection diverts the bulk of the surge energy away from the
protected device. As a matter of fact, the residual energy
towards the UPS is comparable with that produced during
UPS testing with a combination wave generator.
In these conditions, the surge protection and transient filtering
means in the UPS module provide effective protection for
both the UPS system and the critical load. Particularly, in
Advanced ECO Mode operation the overvoltage recorded on
the UPS output following the surge is limited to 30 % above
[10] IEC 61643-1, Surge Protective Devices Connected to
Low-Voltage Power Distribution Systems, Part 1:
Performance Requirements and Testing Methods.
[11] IEEE Std 1100, IEEE Recommended Practice for
Powering and Grounding Electronic Equipment, Chp 8
(2005).
[12] IEEE Std C62.41.2, IEEE Recommended Practice on
Characterization of Surges in Low-Voltage (1000 V and
Less) AC Power Circuits (2002).
[13] F. D. Martzloff, "Diverting Surges to Ground:
Expectations versus Reality", Proceedings of Open
Forum on Surge Protection Application (1991).
[14] A. Rosseau, R. Gumley, "Surge Protection" in
Encyclopaedia of Electrical and Electronics
Engineering, John Wiley & Sons, pp. 153-165 (1999).
[15] K. Samaras, C. Sandberg, C.J. Salmas, A.
Koulaxouzidis, ³(OHFWULFDO6XUJH-Protection Devices for
Industrial Facilities ± $7XWRULDO5HYLHZ´ IEEE Trans.
on Ind. App., vol. 43, no. 1, pp. 1-11 (2007).
[16] 0 7RQ DQG % )RUWHQEXU\ ³+LJK 3HUIRUPDQFH
Buildings: Data Centers - Uninterruptible Power
the line peak voltage for less than 1 ms. Even better results SXSSOLHV 836´ /DZUHQFH %HUNHOH\ 1DWLRQDO
can be expected on higher rating units, featuring a larger Laboratory, Final PIER-CEC Report (2005).
inverter output capacitance. [17] UL 1449, Standard for Surge Protective Devices, 3rd ed.
Additionally, testing shows that while a higher rating SPD (2006).
may be expected to provide longevity, it does not really
provide additional protection in terms of residual overvoltage.
Therefore, even if SPD selection requires evaluation of the
actual requirements of the specific installations, conservative
designs with over-sized SPD will add cost while only
providing little additional benefit.

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