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IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 57, NO. 11, NOVEMBER 2010

Inverters with Nonequal DC Sources Using

Particle Swarm Optimization

H. Taghizadeh and M. Tarafdar Hagh, Member, IEEE

cascade multilevel inverter by considering the nonequality of

separated dc sources by using particle swarm optimization is

presented. Solving a nonlinear transcendental equation set

describing the harmonic-elimination problem with nonequal dc

sources reaches the limitation of contemporary computer algebra

software tools using the resultant method. The proposed approach

in this paper can be applied to solve the problem in a simpler manner, even when the number of switching angles is increased and the

determination of these angles using the resultant theory approach

is not possible. Theoretical results are verified by experiments and

simulations for an 11-level H-bridge inverter. Results show that

the proposed method does effectively eliminate a great number of

specific harmonics, and the output voltage is resulted in low total

harmonic distortion.

Index TermsMultilevel inverter, particle swarm optimization

(PSO), selective harmonic elimination (SHE).

I. I NTRODUCTION

configuration to reach high power ratings and high quality output waveforms besides reasonable dynamic responses

[1][4]. Among the different topologies for multilevel converters, the cascaded multilevel inverter has received special

attention due to its modularity and simplicity of control

[5][7]. The principle of operation of this inverter is usually

based on synthesizing the desired output voltage waveform

from several steps of voltage, which is typically obtained from

dc voltage sources. There are different power circuit topologies

for multilevel converters. The most familiar power circuit topology for multilevel converters is based on the cascade connection

of an s number of single-phase full-bridge inverters to generate

a (2s + 1) number of levels. However, from the practical point

of view, it is somehow difficult to keep equal the magnitude of

separated dc sources (SDCSs) of different levels. This can be

caused by the different charging and discharging time intervals

of dc-side voltage sources [8].

To control the output voltage and to eliminate the undesired

harmonics in multilevel converters with equal dc voltages,

various modulation methods such as sinusoidal pulse width

Manuscript received June 28, 2009; revised October 7, 2009 and January 2,

2010; accepted January 5, 2010. Date of publication February 8, 2010; date of

current version October 13, 2010.

H. Taghizadeh is with the Islamic Azad University, Shabestar, Iran, and

also with Tabriz College of Technology, 5381637181 Tabriz, Iran (e-mail:

ha.taghizadeh@gmail.com).

M. Tarafdar Hagh is with the University of Tabriz, 5166616471 Tabriz, Iran

(e-mail: tarafdar@tabrizu.ac.ir).

Digital Object Identifier 10.1109/TIE.2010.2041736

suggested [9], [10]. However, PWM techniques are not able to

eliminate lower order harmonics completely. Another approach

is to choose the switching angles so that specific higher order

harmonics such as the 5th, 7th, 11th, and 13th are suppressed

in the output voltage of the inverter. This method is known as

selective harmonic elimination (SHE) or programmed PWM

techniques in technical literature [11][13]. A fundamental

issue associated with such method is to obtain the arithmetic

solution of nonlinear transcendental equations which contain

trigonometric terms and naturally present multiple solutions.

This set of nonlinear equations can be solved by iterative

techniques such as the NewtonRaphson method [11][14].

However, such techniques need a good initial guess which

should be very close to the exact solution patterns. Furthermore,

this method finds only one set of solutions depending on the

initial guess. Therefore, the NewtonRaphson method is not

feasible to solve the SHE problem for a large number of

switching angles if good initial guesses are not available.

A systematic approach to solve the SHE problem based on

the mathematical theory of resultant is proposed in [15] and

[16], where transcendental equations that describe the SHE

problem are converted into an equivalent set of polynomial

equations and then the mathematical theory of resultant is

utilized to find all possible sets of solutions for this equivalent

problem.

This method is also applied to multilevel inverters with

unequal dc sources [17]. However, applying the inequality of dc

sources results to the asymmetry of the transcendental equation

set to be solved and requires the solution of a set of high-degree

equations, which is beyond the capability of contemporary

computer algebra software tools [16], [17]. In fact, the resultant

theory is limited to find up to six switching angles for equal

dc voltages and up to three switching angles for nonequal dc

voltage cases [16], [17].

More recently, the real-time calculation of switching angles

with analytical proof is presented to minimize the total harmonic distortion (THD) of the output voltage of multilevel

converters [18], [19]. However, the presented analytical proof

is only valid to minimize all harmonics including triples and

cannot be extended to minimize only nontriple harmonics that

are suitable for three-phase applications.

In [20], the harmonic elimination for multilevel converters

by a genetic algorithm (GA) approach is presented. However,

this method is only applied to equal dc sources and needs

considerable computational time. Moreover, this method has

3679

described as follows:

V (t) =

4Vdc

n

n=1,3,5,...

(k1 cos(n1 ) + k2 cos(n2 ) + k3 cos(n3 )

+ + ks cos(ns )) sin(nt)

(1)

and the switching angles 1 m must satisfy the following

condition:

0 1 2 s

Fig. 1. (a) Topology of a single-phase cascaded inverter. (b) Staircase output

phase voltage.

indexes which have solutions. Reference [21] presented modern

stochastic search techniques based on particle swarm optimization (PSO) to deal with the problem for equal dc sources.

In this paper, the PSO approach is developed to deal with

the SHE problem with unequal dc sources while the number

of switching angles is increased and the determination of these

angles using conventional iterative methods as well as the

resultant theory is not possible. In addition, for a low number

of switching angles, the proposed PSO approach reduces the

computational burden to find the optimal solution compared

with iterative methods and the resultant theory approach. The

proposed method solves the asymmetry of the transcendental

equation set, which has to be solved in cascade multilevel

inverters.

Simulation and experimental results are provided for an

11-level cascaded multilevel inverter to show the validity of the

proposed method.

II. P OWER T OPOLOGY OF C ASCADE

M ULTILEVEL I NVERTERS

Fig. 1(a) shows the structure of a single-phase H-bridge cascaded multilevel converter topology that is used to synthesize

a 2s + 1 staircase output waveform. Fig. 1(b) also shows the

staircase voltage waveform generated by multilevel converters.

A cascaded H-bridge multilevel converter consists of some

SDCS. The advantage of this topology is that the modulation,

control, and protection requirements of each bridge are modular. It should be pointed out that, unlike the diode-clamped and

flying-capacitor topologies, isolated dc sources are required for

each cell in each phase.

The number of output-phase-voltage levels in a cascade

multilevel inverter is 2s + 1, where s is the number of SDCSs.

To obtain the three-phase configuration, the outputs of three

single-phase cascaded inverters can be connected in Y or .

III. H ARMONIC -E LIMINATION P ROBLEM W ITH

N ONEQUAL DC S OURCES

By applying Fourier series analysis, the staircase output

voltage of multilevel inverters with nonequal sources can be

.

2

(2)

output voltage of the inverter is s 1. For example, to eliminate

the fifth-order harmonic for a five-level inverter, equation set (3)

must be satisfied. Note that the elimination of triple harmonics

for the three-phase power system applications is not necessary,

because these harmonics are automatically eliminated from the

lineline voltage

k1 cos(1 ) + k2 cos(2 ) = (/2)M

(3)

k1 cos(51 ) + k2 cos(52 ) = 0.

In (3), modulation index M is defined as M = V1 /sVdc and

V1 is the fundamental of the required voltage.

IV. PSO

Kennedy and Eberhart first introduced PSO in 1995 as a new

heuristic method [22]. Basically, the PSO was inspired by the

sociological behavior associated with swarms such as flocks of

birds and schools of fish. The individuals in the population are

called particles. Each particle is a potential solution for the optimization problem and tries to search the best position through

flying in a multidimensional space. The sociological behavior

which is modeled in the PSO system is used to guide the

swarm, hence probing the most promising areas of search space.

Each particle is determined by two vectors in D-dimensional

search space: the position vector Xi = [xi1 , xi2 , . . . , xiD ] and

the velocity vector Vi = [vi1 , vi2 , . . . , viD ]. Each particle in the

swarm refines its search through its present velocity, previous

experience, and the experience of the neighboring particles.

The best position of particle i found so far is called personal

best and is denoted by Pi = [pi1 , pi2 , . . . , piD ], and the best

position in the entire swarm is called global best and is denoted

by Pg = [pg1 , pg2 , . . . , pgD ]. At first, the velocity of the ith

particle on the dth dimension is updated by using (4), and then,

(5) is used to modify the position of that particle

vid (t + 1) = [vid (t) + 1 r1 (pid xid (t))

+2 r2 (pgd xid (t))]

xid (t + 1) = xid (t) + vid (t + 1)

(4)

(5)

respectively. In these equations, r1 and r2 are random values

uniformly distributed within [0, 1].

3680

IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 57, NO. 11, NOVEMBER 2010

PSO algorithm and improve the convergence characteristic, the

constriction factor is proposed and defined as [23], [24]

2k

,

=

2 2 4

= 1 + 2 ; > 4.

(6)

Let i = [i1 , i2 , . . . , is ] be a trial vector representing the

ith particle of the swarm to be evolved. The elements of i are

the solutions of the harmonic minimization problem, and the

dth element of that is corresponding to the dth switching angle

of the inverter. The step-by-step procedure to solve the SHE

problem with nonequal dc sources is as follows.

1) Get the data for the system. At the first step, the required

parameters of the algorithm such as population size M ,

maximum iteration number itermax , etc., are determined

and the iteration counter is set to iter = 1.

2) Generate the initial conditions of each particle. Each

particle in the population is randomly initialized between

0 and /2; similarly, the velocity vector of each particle

has to be generated randomly within Vmax and Vmax .

3) Evaluate the particles. Each particle is evaluated using

the fitness function of the harmonic minimization problem. The switching angles 1 , 2 , . . . , s in a multilevel

inverter for the output waveform can be calculated such

that odd and nontriple low-order harmonics up to the

3s 2th order while s is odd and up to the 3s 1th order

when s is even can be eliminated from the output phase

voltage of the inverter to minimize the cost function given

as follows:

f (1 , 2 , . . . , s )

|V5 |+|V7 |+ +|V3s2 or 3s1 |

|V1 |

+

= 100 M

.

sVdc

sVdc

(7)

4) Update the personal best position of the particles. If

the current position of the ith particle is better than

its previous personal best position, replace Pi with the

current position Xi . In addition, if the best position of the

personal bests of the particles is better than the position

of the global best, replace Pg with the best position of the

personal bests.

5) Update the velocity and position vectors. All particles

in the population are updated by velocity and position

update rules (4) and (5), respectively.

6) Termination criteria. If the iteration counter iter reaches

itermax , stop; else, increase the iteration counter iter =

iter + 1 and go back to step 3).

Continuing by an example, let us consider a five-level inverter for simplicity, which includes the series connection of

two H-bridge inverters. For this case, there are two SDCSs (one

for each bridge), the values of which are generally unequal.

Fig. 2. Landscape and contour plot for the five-level inverter and nonequaldc-source case, where M = 1, k1 = 1.05, and k2 = 0.88. (a) Landscape of

the problem. (b) Corresponding contour plot.

is symmetric [refer to (3)]. However, this symmetric manner for

the nonequal-dc-source case no longer takes place.

As an example, the magnitude of the dc source for the first

level is considered to be 105% of the nominal dc voltage

(k1 = 1.05) and 88% for the second level (k2 = 0.88). The

landscape of the problem and the contour plot for M = 1 are

shown in Fig. 2(a) and (b), respectively. As seen from Fig. 2,

the landscape of the problem is not symmetric. The solutions

for switching angles are also shown in Fig. 2(b).

For the considered nonequal dc sources (k1 = 1.05 and k2 =

0.88), the calculated switching angles by the PSO method and

the corresponding resulted costs are plotted with respect to the

modulation index M in Fig. 3. The number of generations that

evolve depends on whether an acceptable solution is reached

or a set number of iterations is exceeded. In this paper, the

maximum-number-of-iterations criterion is used to stop the

algorithm. Moreover, the threshold of the cost to accept a

solution is chosen to be 0.005. However, most of the time, the

resulted cost values reached by the algorithm is around 1012 ,

which is many times better than the reported results for the GA

method applied to the equal-dc-source case in [20].

By changing the dc-side voltage, the switching pattern has to

be recalculated but, if not, there will be considerable harmonics

in the output voltage waveform. For example, Fig. 4 shows the

3681

Fig. 3. Switching angles versus M and corresponded cost values for a fivelevel cascade multilevel inverter.

Fig. 5. Solutions for switching angles and corresponding cost function values

for an 11-level cascade multilevel inverter.

pattern calculated for the equal-dc-source case is applied to the nonequal case

with k1 = 1.05 and k2 = 0.88 for a five-level inverter.

TABLE I

T YPICAL VALUES OF ki U SED IN C ALCULATIONS FOR THE

11-L EVEL C ASE

if the same switching pattern calculated for the equal-dc-source

case is applied to the considered nonequal case with k1 = 1.05

and k2 = 0.88.

The second case that is considered is an 11-level inverter,

where the resultant method is not able to find the switching

angles for the nonequal-dc-source case. The considered typical

values of ki for this case are listed in Table I.

The solutions for the switching angles and the corresponding

cost values are shown in Fig. 5. From the cost values shown in

Fig. 5, it is evident that the PSO algorithm is effectively able

to find the optimum switching angles to suppress the undesired

harmonics.

Fig. 6 shows the normalized amplitude of the undesired

5th-, 7th-, 11th-, and 13th- order harmonics if the same switching pattern calculated for the equal-dc-source case is applied

Fig. 6. Normalized amplitude of generated harmonics if the switching patterns calculated for the equal-dc-source case is applied to the considered

unequal case (ki values listed in Table 1) for an 11-level-inverter case.

considered ki values listed in Table I.

Figs. 4 and 6 show that if the magnitudes of dc sources are not

equal and the same switching pattern calculated for the equaldc-source case is applied as the switching times of the inverter,

undesired harmonics will be produced at the output voltage of

the inverter. Therefore, to eliminate these harmonics, it is necessary to recalculate the new set of solutions for switching angles.

3682

IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 57, NO. 11, NOVEMBER 2010

Fig. 8. FFT analysis of line voltage if the calculated switching angles for the

equal-dc-source case were used.

magnitudes of lower order 5th, 7th, 11th, and 13th harmonics

are negligible.

The THD result of the output line voltage shown in Fig. 7(b),

which is calculated according to the following, is 5.416%:

49

T HD =

Vn2 V1 .

(8)

n=5,7,11,...

angles calculated for the equal-dc-source case are applied to the

considered unequal case. The THD result for this case is 8.12%.

Therefore, without the recalculation of optimum switching

angles, the undesired harmonics (5th, 7th, 11th, and 13th in

this case) will be produced and the THD of output voltage

increases.

VII. E XPERIMENTAL R ESULTS

(a) Output phase voltage. (b) Output line voltage. (c) FFT analysis for line

voltage.

is accomplished in the MATLAB programming environment.

The calculation of each set of solutions takes approximately

0.29 s on a personal computer with a 2.8-GHz Pentium 4

processor and 512-MB memory that is enough for most of the

practical applications.

VI. S IMULATION R ESULTS

To validate the computational results for switching angles, a

simulation is carried out in MATLAB/SIMULINK software for

an 11-level cascaded H-bridge inverter and unequal dc sources.

The nominal dc voltage is considered to be 100 V, and the ki

values are the same as those in Table I. Simulation results are

presented for modulation index M = 0.7.

The output phase voltage, lineline voltage waveforms,

and frequency spectra of the lineline voltage are shown in

Fig. 7(a)(c), respectively. From the frequency spectra of the

simulations, experimental results are presented for a singlephase 11-level cascaded H-bridge inverter. The circuit configuration in the experimental circuit is the same as that in Fig. 1(a).

The inverter uses 30-A 200-V MOSFETs as the switching

devices, and the nominal dc-link voltage for each H-bridge is

considered to be 20 V. Each H-bridge unit uses a 4700-F 80-V

capacitor in its dc bus. The gate control signals are generated

by a dedicated unit implemented on the Spartan II series

of Xilinxs field-programmable gate array (FPGA). Furthermore, an Atmel 8-b AVR RISC microcontroller (ATmega16L)

is considered to interface with the operator and provide the

switching times for the FPGA. Fig. 9 shows the implemented

prototype.

The magnitudes of the dc voltage levels in the experiment are

considered as follows, which correspond to the ki coefficients

given in Table I:

Vdc1 = 21.6

Vdc2 = 19.6

Vdc4 = 17.2

Vdc5 = 16.

Vdc3 = 18

M = 0.47. The output phase voltage and the corresponding fast

Fig. 9.

3683

Fig. 11. Experimental results for M = 0.7. (a) Output phase voltage.

(b) Corresponding FFT analysis.

Fig. 10. Experimental results for M = 0.47. (a) Output phase voltage.

(b) Corresponding FFT analysis.

(b), respectively.

The second experiment is done for M = 0.7. The output

phase voltage and also the corresponding FFT analysis for this

case are shown in Fig. 11(a) and (b), respectively.

The last experiment is carried out for a higher modulation index M = 1.075. The output phase voltage and its FFT analysis

are shown in Fig. 12(a) and (b), respectively.

From the FFT analyses for all cases, the 5th-, 7th-, 11th-,

and 13th-order harmonics are completely eliminated from the

output phase voltage of the inverter. Referring to Fig. 5, there

is only one set of solutions for M = 0.47 (used in Fig. 10),

M = 0.7 (used in Fig. 11), and M = 1.075 (used in Fig. 12)

Fig. 12. Experimental results for M = 1.075. (a) Output phase voltage.

(b) Corresponding FFT analysis.

global optima. These switching angles are used for getting

the experimental results and are listed in Table II. This table

also compares the THDs of the theoretical, simulation, and

3684

IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 57, NO. 11, NOVEMBER 2010

TABLE II

C OMPARISON OF THE THD S OF THE E XPERIMENTAL , S IMULATION , AND T HEORETICAL R ESULTS

considered in this section.

The experimental results also validate the computational and

simulation results.

VIII. C ONCLUSION

The PSO has been proposed to solve the SHE problem

with nonequal dc sources in H-bridge cascaded multilevel

inverters. When the resultant approach reaches the limitation of

contemporary algebra software tools, the proposed method is

able to find the optimum switching angles in a simple manner.

The simulation and experimental results are provided for an

11-level cascaded H-bridge inverter to validate the accuracy of

the computational results.

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H. Taghizadeh received the B.S. degree in electronic engineering from the Islamic Azad University,

Tabriz, Iran, in 2005 and the M.S. degree in electrical

engineering from the University of Tabriz, Tabriz, in

2008.

He is currently a Lecturer with the Islamic Azad

University, Shabestar, and the Tabriz College of

Technology, Tabriz. His research interests include

the modulation and control of power electronic converters, and artificial intelligence with application to

power systems and power electronics.

(with first honors) and Ph.D. degrees in power engineering from the University of Tabriz, Tabriz, Iran,

in 1992 and 2000, respectively.

He has been with the Faculty of Electrical and

Computer Engineering, University of Tabriz, since

2000, where he is currently an Associate Professor.

He has published more than 130 papers in powersystem- and power-electronics-related topics. His

topics of interest include power system operation,

flexible alternating current transmission systems, and

power quality.

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