VOLTAGE BALANCING TECHNIQUES FOR FLYING

CAPACITORS USED IN SOFT-SWITCHING MULTILEVEL

ACTIVE POWER FILTERS

Byeong-Mun Song

Dissertation submitted to the Faculty of the

Virginia Polytechnic Institute and State University
in partial fulfillment of the requirements for the degree of

Doctor of Philosophy
in
Electrical Engineering

Dr. Jason Lai, Chair

Dr. Fred C. Lee
Dr. Dan Y. Chen
Dr. Werner Kohler
Dr. Hugh F. VanLandingham

July 24, 2001

Blacksburg, Virginia

Keywords, Active Power Filter, Soft-switching Topologies, Multilevel Converters,

Voltage Balancing, Flying Capacitor

Copyright 2001, Byeong-Mun Song

Voltage Balancing Techniques for Flying Capacitors Used in
Soft-switching Multilevel Active Power Filters

by

Byeong-Mun Song

Committee Chairman: Dr. Jason Lai

Department of Electrical and Computer Engineering

ABSTRACT

This dissertation presents voltage stabilization techniques for flying capacitors used in

soft-switching multilevel active power filters. The proposed active filter has proved to be a

solution for power system harmonics produced by static high power converters. However,

voltage unbalance of the clamping capacitors in the active filter in practical applications was

observed due to its unequal parameters. Thus, the fundamentals of flying capacitors were

characterized dealing with voltage balancing between flying capacitors and dc capacitors under

practical operation, rather than ideal conditions.

The study of voltage balancing provides the fundamental high-level solutions to flying

capacitor based multilevel converter and inverter applications without additional passive

balancing circuits. The use of proposed voltage balancing techniques made it possible to have a

simple structure for solving the problems associated with the conventional bulky passive

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resistors and capacitor banks. Furthermore, the proposed control algorithms can be implemented

with a real time digital signal processor. It can achieve the high performance of the active filter

by compensating an adaptive gain to the controller. The effectiveness of the proposed controller

was confirmed through various simulations and experiments.

The focus of this study is to identify and develop voltage stabilization techniques for

flying capacitors used in a proposed active filter. The voltage unbalance is investigated and

characterized to provide safe operations. After having defined the problems associated with the

voltage unbalance, the most important voltage stabilization techniques are proposed to solve this

problem, in conjunction with an instantaneous reactive power (IRP) control of an active filter.

In order to reduce the switching losses and improve the efficiency of the active filter, the

proposed soft-switching techniques were evaluated through simulation and experimentation.

Experimental results indicate that the proposed active filter achieved zero-voltage conditions in

all of the main switches and zero-current turn-off conditions to the auxiliary switches during

commutation processes. Also, various studies on soft-switching techniques, multilevel inverters,

control issues and dynamics of the proposed active filter are discussed and analyzed in depth.

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To my wife Eun-Hee, daughter Ji-Hae (Diana), son In-Bum (David)

And

Our families in Korea

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 Acknowledgements

In the name of God, I would like to thank my advisor, Dr. Jason Lai, who has been a
constant source of support and guidance throughout my studies. Since September of 1996, I had
gained his strong industrial background in Virginia Power Electronics Center (VPEC). I am very
grateful for his training, which will be a valuable resource in my professional career. He Since I
started working with PEC.

I would also like to thank Dr. Fred C. Lee for his remarkable advice and concern for this
topic. His strong academic background made it possible for me to gain more knowledge from the
study. I also wish to thank Dr. Dan Chen, who is an excellent educator. His valuable
encouragement enabled me to finish my successful study. I thank Dr. Hugh F. VanLandingham,
and Dr. Werner Kohler for serving as a member of my committee.

I would like to thank my former advisor, Dr. Krishnan Ramu, for his support and
guidance for the 2 years that I was part of his lab, Motion Control Systems Research Group
(MCSRG). At that time I had gained a lot of knowledge about motor drives.

I am very grateful to all my friends in the Center for Power Electronics Systems (CPES)
and Virginia Power Electronics Center (VPEC) for valuable discussions about research and our
vision.
I would like to thank Korea Electrotechnology Research Institute (KERI) to support my
research as several national projects. Especially, I would like to thank Dr. Dong-Wook Yoo, Dr.
Ki-Youn Joe, and Geun-Hee Rim.

I am very grateful to my family members in Korea, who have been a great source of
support and comfort. Most of all, I would like to express my deep indebtedness to my wife Eun-
Hee, who has been a constant pillar of support and understanding. I owe it to her for all the
sacrifices she made to care for our two children, Ji-Hae and In-Bum while I worked on this
project.

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 TABLE OF CONTENTS

1. INTRODUCTION ……………………………………………………………………….….1
1.1 OVERVIEW ……………………………………………………………………………….1
1.2 STATE OF THE ART……………………………………………….……………………...3
1.2.1 Power Quality and Active Filters.……………………………………….…………..3
1.2.2 Multilevel Active Power Filters ……………………………………………………5
1.2.3 Soft-Switching Techniques ..……………………………………………………….7
1.2.4 Control Issues of Active Filter …………………………………………………….10
1.2.5 Fundamentals Issues of Flying Capacitors ...…………..…………………………11
1.3 SCOPE ……………………………………………………………………………………13
1.4 DISSERTATION OUTLINE………………………………………………………………...15

2. SOFT-SWITCHING MULTILEVEL INVERTER WITH FLYING CAPACITORS

FOR ACTIVE POWER FILTER APPLICATIONS …………………………….…….17
2.1 INTRODUCTION ………………………………………………………….……...……….17
2.2 REVIEWS OF SOFT-SWITCHING INVERTERS………….…………………………………20
2.3 PROPOSED SOFT-SWITCHING INVERTER TOPOLOGY…………………………………...21
2.4 CHARACTERISTICS OF SOFT-SWITCHING CIRCUITARY ………………………………..35
2.4.1 Coupled Inductor Characteristics …………………………………………………35
2.4.2 Reset Mechanism with Saturable Inductor ………………………………… …….35
.

2.4.3 Soft-switching Control ……………………………………………………………37

2.5 SIMULATION AND EXPERIMENTAL RESULTS…………………….…………………….38
2.6 CONCLUSION ……………………………………………………………………………44

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3. FUNDAMENTALS OF VOLTAGE STABILIZATION FOR FLYING
CAPACITORS ……………………………………………………………………………..45
3.1 INTRODUCTION …..……………………………………………………………………...45
3.2 FUNDAMENTAL ISSUES OF VOLTAGE STABILIZATION ………………………………...45
3.2.1 Flying Capacitors………………………………………………….……………….45
3.2.2 DC Link Split Capacitors ………………………………………………………….47
3.2.3 Voltage Synthesizing ……………………………………………………………...48
3.3 ANALYSIS OF MAIN CIRCUIT AND ITS MODULATION ………………………………...48
3.3.1 Circuit Analysis …………………………………………………………………...48
3.3.2 Voltage Synthesizing Modulations ………………………………………………..57
3.4 CHARATERISTICS OF FLYING CAPACITORS ……………………………………………..59
3.5 CHARATERISTICS OF SNUBBING CAPACITORS ………………………………………….65
3.6 CHARATERISTICS OF DC LINK CAPACITORS ……………………………………………71
3.7 INTERACTION BETWEEN FLYING CAPACITORS AND DC CAPACITOR …………………74
3.8 CONCLUSION …………………………………………………………………………….79

4. CONTROL FOR VOLTAGE STABILIZATION ………………………………………80

4.1 INTRODUCTION …………………………………………………….……………………80
4.2 INSTANTANEOUS REACTIVE POWER CONTROL…………………………………………82
4.3 CURRENT CONTROL……………………………………………………….……………..85
4.4 DC BUS CAPACITOR VOLTAGE CONTROL ……………………………………………...90
4.5 FLYING CAPACITOR VOLTAGE CONTROL ……………… ……………………………...91
.

4.5.1 Analysis of Voltage Variations ……………………………………………………92

4.5.2 Voltage Stabilizer ………………………………………………………………….97
4.6 DISCUSSION ……………………………………………………………………………103

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5. SIMULATION AND EXPERIMENTAL RESULTS………………………………..…104
5.1 SIMULATION RESULTS………………………………………………………………….105
5.1.1 Control Models…………………………………………………………………...105
5.1.2 Performance Evaluation …………………………………………………………108
5.1.3 Conclusion ……………………………………………………………………….111
5.2 EXPERIMENTAL RESULTS ……………………………………………………………...112
5.2.1 Test Descriptions ………………………………………………………………...112
5.2.2 Experimental Verification ………………………………………………………..112
5.3.3 Dynamic Responses ……………………………………………………………...115
5.3 CONCLUSION …………………………………………………………………………...117

6. CONCLUSION…………………………………………………………………………….119
6.1 SUMMARY ……………………………………………………………………………...119
6.2 FURTHER RECOMMENDATIONS ………………………………………………………..121

REFERENCES ……………………………………………………………………………….122

APPENDIX:
A: A NOVEL TWO-QUADRANT SOFT-SWITCHING CONVERTER WITH ONLY
AUXILARY SWITCH FOR HIGH POWER APPLICATIONS …………………………..135

B: SWITCHING CHARACTERISTICS OF NPT- AND PT IGBTS UNDER ZERO-VOLTAGE

SWITCHING CONDITIONS …………………………………………………………….158

VITA ………………………………………………………………………………………….177

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 LIST OF FIGURES

Fig. 2.1 Basic block diagram of active harmonic compensation ……….18

Fig. 2.2 Sample current waveforms of a three-phase active power filter ……….19
Fig. 2.3 Reactive power compensation of a three-phase system ……….19
Fig. 2.4 Configuration of a single-phase three-level inverter circuit ……….22
with flying capacitors
Fig. 2.5 Proposed soft-switching three-level inverter with one phase leg ……….22
Fig. 2.6 Switching sequences and corresponding voltage and current ……….23
waveforms of the multilevel inverter.
Fig. 2.7 Corresponding voltage and current waveforms during ……….24
commutations for S1 and S4.
Fig. 2.8 Operational modes of the commutation sequence
Fig. 2.8(a) (a) Mode 0 [t0 – t1] ……….29
Fig. 2.8(b) (b) Mode 0 [t1 – t2] ……….29
Fig. 2.8(c) (c) Mode 0 [t2 – t3] ……….30
Fig. 2.8(d) (d) Mode 0 [t3 – t4] ……….30
Fig. 2.8(e) (e) Mode 0 [t4 – t5] ……….31
Fig. 2.8(f) (f) Mode 0 [t5 – t6] ……….31
Fig. 2.8(g) (g) Mode 0 [t6 – t7] ……….32
Fig. 2.8(h) (h) Mode 0 [t7 – t8] ……….32
Fig. 2.8(i) (i) Mode 0 [t8 – t9] ……….33
Fig. 2.8(j) (j) Mode 0 [t9 – t10] ……….33
Fig. 2.8(k) (k) Mode 0 [t10 – t11] ……….34
Fig. 2.8(l) (l) Mode 0 [t11 – t12] ……….34
Fig. 2.9 Reset mechanism of the coupled inductor with a saturable
inductor
Fig. 2.9(a) (a) Reset mode ……….36
Fig. 2.9(b) (b) Blocking function ……….36
Fig. 2.9(c) (c) Voltage sharing ……….36
Fig. 2.10 Control block diagram for soft-switching control
Fig. 2.10(a) (a) Soft-switching control scheme ……….37
Fig. 2.10(b) (b) Gate signals ……….38
Fig. 2.11 Simulated output voltage and current waveforms of a single- ……….39
phase three-level inverter with flying capacitors
Fig. 2.12 Simulated voltage and current waveforms of the soft-switching ……….39
inverter with fixed time of TD.
Fig. 2.13 Experimental current waveforms of the inverter under soft- ……….40
switching operations
Fig. 2.14 Experimental voltage and current waveforms of Sx1 under soft-

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 switching operations
Fig. 2.14(a) (a) Auxiliary switch and resonant inductor ……….41
Fig. 2.14(b) (b) Resonant branch ……….41
Fig. 2.14(c) (c) Coupled inductor and its blocking voltage ……….42
Fig. 2.14(d) (d) Saturable inductor and its blocking voltage ……….42
Fig. 2.14(e) (e) Current sharing between coupled windings ……….43
Fig. 2.14(f) (f) Auxiliary switch and diode currents ……….43

Fig. 3.1 Unbalanced flying capacitor waveforms under soft-switching ……….46

operations
Fig. 3.2 Self-balanced waveforms of a dc link capacitor under PWM ……….47
switching
Fig. 3.3 Configuration of a half-bridge 3-level inverter with a flying ……….51
capacitor
Fig. 3.4 Simulated capacitor voltages at start-up
Fig. 3.4(a) (a) Numerical calculation ……….51
Fig. 3.4(b) (b) P-spice simulation ……….52
Fig. 3.5 Bode plots of the flying capacitor voltage with open-loop
Fig. 3.5(a) (a) Cf = 1000µF and IL = 1A ……….53
Fig. 3.5(b) (b) Cf = 470µF and IL = 1A ……….54
Fig. 3.5(c) (c) Cf = 470µF and IL = 20A ……….54
Fig. 3.6 Experimental waveforms of the flying capacitor at start-up
conditions
Fig. 3.6(a) (c) Balanced case at a load current of 10A (VCf = Vs/2) ……….55
Fig. 3.6(b) (d) Unbalanced case of a load current of 20A (VCf > Vs/2) ……….56
Fig. 3.6(c) (c) Voltage imbalance waveforms of the main switch ……….56
Fig. 3.7 Single-phase 3-level active power filter with flying capacitors ……….58
Fig. 3.8 Normalized capacitor current vs. duty ratio at a load frequency ……….58
of 500 Hz
Fig. 3.9 Current and voltage waveforms of clamping capacitor
Fig. 3.9(a) (a) Load current of 80A ……….61
Fig. 3.9(b) (b) Capacitor ripples voltage vs. duty ratio at a load current ……….62
80A
Fig. 3.9(c) (c) Ripple voltage of the clamping capacitor under PWM ……….62
switching
Fig. 3.10 Relationship between the ripple voltage and modulation index
Fig. 3.10(a) (a) Cf = 200 µF ……….63
Fig. 3.10(b) (b) Cf = 1000 µF ……….64
Fig. 3.10(c) (c) Ripple voltage versus modulation index ……….64
Fig. 3.11 Experimental waveforms of the current and voltage of IGBTs
under hard-switching
Fig. 3.11(a) (a) Hard-switching: Isw = 300 A ……….66
Fig. 3.11(b) (b) Hard-switching: Isw = 600 A ……….66

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Fig. 3.12 Soft-switching characteristics of IGBT under different
snubbing capacitors
Fig. 3.12(a) (a) Cr = 0.14 µF ……….67
Fig. 3.12(a) (b) Cr = 0.28 µF ……….68
Fig. 3.13 Turn-off dv/dt comparisons corresponding to snubbing ……….69
capacitors
Fig. 3.14 Turn-off switching energy comparisons under hard- and soft-
switching operations
Fig. 3.14(a) (a) Tj = 25 °C ……….70
Fig. 3.14(b) (b) Tj = 100 °C ……….70
Fig. 3.15 Unbalanced voltage waveforms of clamping capacitor ……….71
Fig. 3.16 Power flow of the capacitors during reactive power
compensation
Fig. 3.16 (a) (a) Charging mode for Cf1 ……….76
Fig. 3.16 (b) (b) Charging mode for Cf2 ……….77
Fig. 3.16 (c) (c) Flying mode ……….77
Fig. 3.16(d) (d) Dc voltage mode ……….78
Fig. 4.1 Proposed three-level active power filter with flying capacitors ……….81
Fig. 4.2 Definition of active and reactive power with α-β coordinates ……….83
Fig. 4.3 p-q algorithm for the current reference extraction
Fig. 4.3(a) (a) Block diagram of control logic ……….84
Fig. 4.3(b) (b) Implementation of control logic ……….84
Fig. 4.4 A current control loop for active filter ……….86
Fig. 4.5 Bode plots of an open-loop current control system with
proportional-integral control
Fig. 4.5(a) (a) Proportional-integral (PI) controller ……….89
Fig. 4.5(b) (b) Open-loop system ……….89
Fig. 4.6 Voltage control loop for dc bus capacitor
Fig. 4.6(a) (a) Overall voltage control loop ……….91
Fig. 4.6(b) (b) Simplified voltage control loop ……….91
Fig. 4.7 Voltage control for balancing ……….93
Fig. 4.8 Estimated voltage imbalance of the clamping capacitor during
inverter operation
Fig. 4.8(a) (a) Cf = 1000µF ……….94
Fig. 4.8(b) (b) Cf = 200µF ……….94
Fig. 4.9 Proposed voltage controller for flying capacitor
Fig. 4.9(a) (a) Diverse capacitor voltage waveforms of the inverter ……….96
Fig. 4.9(b) (b) Feedback control scheme of the voltage stabilization ……….96
Fig. 4.9(c) (c) Voltage stabilizer with a PI controller ……….97
Fig. 4.10 Proposed voltage controller for flying capacitor with PI control
Fig. 4.10(a) (a) Voltage stabilizer for flying capacitor with a PI ……….99
controller
Fig. 4.10(b) (b) Simplified voltage control loop ……….99

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Fig. 4.11 Step response of the close-loop system for a flying capacitor ……….100
voltage loop
Fig. 4.12 Bode plots of a voltage loop transfer function with
Fig. 4.12(a) proportional-integral control
Fig. 4.12(b) (a) Proportional-integral (PI) controller ……….102
(b) Open-loop system ……….102
Fig. 5.1 Calculation of source voltage and load current with α-β ……….105
orthogonal coordinates
Fig. 5.2 Calculation of current commands from instantaneous reactive ……….106
power
Fig. 5.3 Compensated source current and control signals of the active ……….107
filter
Fig. 5.4 Simulated results of a compensated source current ……….107
Fig. 5.5 Compensated harmonic spectrum under frequency domain ……….109
Fig. 5.6 THD comparison under active filtering ……….109
Fig. 5.7 Simulation results of an active filter with/and without a
proportional-integral (PI) voltage balancing controller
Fig. 5.7(a) (a) Overall simulation results of the controller ……….110
Fig. 5.7(b) (b) Dynamic responses of a controller with voltage ……….110
balancing gains
Fig. 5.7(c) (c) Dynamic responses of a controller without voltage ……….111
balancing gains
Fig. 5.8 Experimental results of the source voltage and the load ……….113
currents without an active filter
Fig. 5.9 Experimental results of the source voltage and load currents ……….113
with an active filter
Fig. 5.10 Compensated source voltage and current waveforms under ……….114
high impedance load conditions
Fig. 5.11 Compensated source voltage and currents under unbalanced ……….115
load conditions
Fig. 5.12 DC link voltage transitions while the load is suddenly ……….116
connected to the source
Fig. 5.13 DC link voltage transitions while the load is suddenly ……….116
disconnected from the source
Fig. 5.14 DC link voltage transitions during start-up ……….117

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 LIST OF TABLES

Table 3-1 Switching states of a single-phase three-level inverter ……….57

Table 3-2 Possible switching states of a single-phase 3-level active filter ……….58
Table 3-3 Voltage ripple comparison under different flying capacitors ……….63
Table 3-4 Power flows between flying capacitors and dc capacitor during ……….75
reactive compensation
Table 5-1 System parameters of the experimental prototype ..…….112

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