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11
Tutorial Time Averaging Methods in PWM
Multilevel Power Converters Analysis:
Application to Voltage Quality Evaluation and
Flying Capacitors Average Voltage Balancing
Dynamics
Alex Ruderman, Elmo Motion Control, Israel
Boris Reznikov, General Satellite Corp, Russia
Steven Thielemans, Ghent University, Belgium
22
Outline Part I
1. Asymptotic Time Domain Evaluation of Multilevel
Multiphase PWM Converter Voltage Quality
1.1. Multilevel converter voltage quality, topologies and
modulation strategies overview
1.2. Ripple voltage Normalized Mean Square (NMS)
criterion definition and relationship with voltage THD
1.3. Ripple voltage NMS for 2-, 3-, 4-, 5-level and arbitrary
multilevel H-bridge PWM converters
1.4. Ripple voltage NMS for three-phase and odd
multiphase converters
1.5. NMS criterion and choke / transformer / electrical
machine PWM loss
1.6. Zero common mode voltage PWM and converter
voltage quality
Tutorials of ISIE10 4468
Page 2
33
Outline Part II
2. Time Averaging Analysis of a Flying Capacitor
Converter (FCC) Natural Voltage Balancing Dynamics
2.1. Overview of FCC topologies, modulation strategies,
and average natural voltage balancing dynamics analysis
methods
2.2. FCC average voltage balancing dynamics time
domain analysis using small parameter technique
2.3. Voltage balancing dynamics of 3-, 4-, 5-, 6- and 7-
level single-leg FCC for DC and AC PWM
2.4. Voltage balancing dynamics of 3- and 4-level
symmetric H-bridge FCC for DC and AC PWM
2.5. Flying capacitors self-precharge in FCC
44
Part I
Asymptotic Time Domain
Evaluation of Multilevel Multiphase
PWM Converter Voltage Quality
4469
Page 3
55
Outline Part I
1. Asymptotic Time Domain Evaluation of Multilevel
Multiphase PWM Converter Voltage Quality
1.1. Multilevel converter voltage quality, topologies
and modulation strategies overview
1.2. Ripple voltage Normalized Mean Square (NMS)
criterion definition and relationship with voltage THD
1.3. Ripple voltage NMS for 2-, -3-, 4-, 5-level and
arbitrary multilevel H-bridge PWM converters
1.4. Ripple voltage NMS for three-phase and odd
multiphase converters
1.5. NMS criterion and choke / transformer / electrical
machine PWM loss
1.6. Zero common mode voltage PWM and converter
voltage quality
66
Multilevel Converters Voltage Quality
Extensive on-going research on multilevel and matrix power
converters topologies and voltage modulation strategies over
the past years
Not to get lost in the sea of converter topologies and voltage
modulation strategies, simple physically meaningful output
voltage quality criterion is required
Frequency domain approach is currently dominating
Developed by Prof. D. Grahame Holmes and Dr. Brendan
McGrath of Monash University (Melbourne, Australia) see
Holmes D.G. and Lipo T.A.: Pulse Width Modulation for
Power Converters: Principles and Practice, Hoboken, NJ:
John Wiley, 2003
Voltage spectrum and Total Harmonic Distortion (THD) are
derived analytically using double Fourier integral calculation,
double infinite series with Bessel function coefficients etc. is
it practical?
4470
Page 4
77
Multilevel Converters Frequency Domain Analysis
Examples of intermediate formulas involved -
- is it really analytical? ready for use in an everyday
engineering practice?
We propose an alternative time domain PWM voltage quality
approach with ripple voltage Normalized Mean Square (NMS)
as a criterion to compare different multilevel converter
topologies and voltage modulation strategies
Ripple voltage NMS criterion has a physical meaning of a
normalized electrical machine, feeder transformer, coupling
choke PWM induced eddy current core loss that, under some
realistic assumptions, is a dominating PWM loss mechanism


=

=
+ + + =
n
c mn
m
dc
az
t n t m C
m
V
t v ) ] 1 2 [ cos(
1 2
... ) (
0
1
2



+
+
+
+ + + + =

+
=

] 1 [
] 1 [ 2 sin(
] [
] [ 2 sin(
) ] 1 2 [ ) ] ) 1 cos([( ...
) 1 (
1
0 1 2
n k
n k
n k
n k
t n k m N M mN J C
n k
k
k mn


88
Multilevel Converters Time Domain Analysis
Ripple voltage NMS criterion may be easily calculated by
successively averaging (integrating) squared PWM ripple
voltage (zero on average):
- on a switching period (that will do for DC type PWM);
- on input voltage fundamental period (practically on a 60
el.deg interval - for matrix converters only);
- on output voltage fundamental period (for AC PWM)
A viable voltage quality elaboration time domain alternative to
currently dominating frequency domain approach that
involves double (triple for matrix converter) Fourier integral
approach
Simple closed-form solutions; appeals to engineering intuition
and common sense; suitable for use in everyday engineering
practice
Try taking triple Fourier integral to analyze matrix converter
output voltage or input current spectrum ;-)
4471
Page 5
99
Two-Level Switch
Two-level (two state)
switch
A building block of a
conventional converter
(half-bridge, or leg)
Bi-directional means a
four quadrant operation
Implementation using
power MOSFETs or
IGBTs
1 S
2 S
DC
V
V 0 V 0
DC
V
1 T
2 T
1 D
2 D
V 0
DC
V
10 10
Three-Level Switch / Converter
Three-level (three-state) switch
A building block of a three-level
bi-directional converter (leg)
Implementation using power
MOSFETs or IGBTs
This is Neutral Point Clamped,
(NPC), or diode-clamped (D5,
D6), style
1 T
2 T
1 D
2 D
DC
V
2 /
DC
V
V 0
3 D
3 T
4 D
4 T
5 D
6 D
2 /
DC
V
1
3
2
DC
V
V 0
4472
Page 6
11 11
Multilevel Converter Topologies
Three-level switch Neural Point
Clamped, or diode-clamped,
approach may be easily extended to
an arbitrary number of levels
Flying capacitor, or capacitor-
clamped;
Cascaded voltage source inverters
(multi-cell series H-bridge); hybrid
asymmetric (full bridge cells with
different magnitude DC sources)
Active NPC a mix of NPC and
Flying Capacitor (pushed by ABB)
Modular Multilevel Converter M2C
(suggested by Prof. Marquadt,
pushed by Siemens)
Interleaved, open-end winding with 2
inverters have an effect of multilevel
1
3
2
DC
V
V 0
3 /
DC
V
3 / 2
DC
V
4
12 12
Three-Level Flying Capacitor Converter
Three-level flying capacitor, or
capacitor-clamped, converter may be
easily extended to an arbitrary
number of levels
Capacitor balanced voltage equals
half DC bus voltage
Intermediate voltage level may be
obtained by two topologies key
to voltage balancing
1 T
2 T
1 D
2 D
DC
V
V 0
3 T
4 T
3 D
4 D
C
DC
V
V 0
C 2 /
DC
V
C 2 /
DC
V
4473
Page 7
13 13
Multilevel Flying Capacitor Converter
Four-level flying capacitor converter leg
Capacitors balanced voltages equal 1/3 and
2/3 of DC bus voltage
Flying capacitor converter advantage
natural voltage balancing
Flying capacitor converter disadvantages
increased capacitor count and different
voltage ratings
DC
V
V 0
1 C
3 /
DC
V
3 / 2
DC
V
3 /
DC
V
1 C
2 C
3 / 2
DC
V
2 C
1 T
2 T
1 D
2 D
DC
V
V 0
3 T
4 T
3 D
4 D
1 C
5 T 5 D
6 T 6 D
2 C
14 14
Multilevel Unity Power Factor PWM Rectifiers
Multi-level PWM rectifiers is a special class of multi-level
converters unidirectional energy flow, reduced switch count
Unity power factor and sinusoidal input currents
The trade-off is semiconductor switch count for voltage amplitude
vs. voltage-current phase angle performance limitations
2 /
DC
V
DC
V
V 0
2 /
DC
V
DC
V
V 0
I I
2 T
1 D
DC
V
2 /
DC
V
V 0
4 D
1 D
DC
V
2 /
DC
V
V 0
4 D
2 D
3 D
5 D 2 D
3 D 6 D
I I
1 T
1 T
2 /
DC
V
DC
V
V 0
A
e
B
e
C
e
L
L
L
A
i
B
i
C
i
4474
Page 8
15 15
Multilevel Converter Voltage Modulation Strategies
Space Vector PWM
(SVPWM) constant
switching frequency, three-
phase inverter switching
states count
Hysteretic (tolerance band)
current control constant
PWM ripple current
amplitude, switching
frequency varies
Direct Torque (Speed,
Power Control (DTC)
constant flux ripple,
switching frequency varies
Other non-PWM schemes
sliding mode, predictive
control etc.
2 = N 3 = N 8 = S 27 = S
1
2
DC
V
V 0
3
N S =
2 /
DC
V
1
3
2
DC
V
V 0
16 16
Multi-Carrier Phase Shifted PWM Strategies
For N-level bidirectional converter, C=N-1 carrier waveforms
Multi-carrier Phase Shifted (PS) voltage modulation for diode-
clamped converter
180/C el.deg phase shift for minimal ripples
2 /
DC
V
1
3
2
DC
V
V 0
1
3
2
DC
V
V 0
3 /
DC
V
3 / 2
DC
V
4
C
V
C
V
4475
Page 9
17 17
Multi-Carrier Level Shifted PWM Strategies
For N-level bidirectional converter, C=N-1 carrier waveforms
Multi-carrier Level Shifted (LS) voltage modulation Phase
Disposition (PD) strategy
2 /
DC
V
1
3
2
DC
V
V 0
1
3
2
DC
V
V 0
3 /
DC
V
3 / 2
DC
V
4
C
V
C1
C2
1 1 2
C
V
C3
18 18
Nearest-Three Virtual-Space-Vector PWM
Nearest-Three Virtual-Space-Vector PWM actually means the
following given voltage space vector, identify the closest
triangle and use its vertices vectors to generate required
voltages
This will provide minimal ripple voltage / current
Why virtual? Because the same vertex corresponds to different
physical switching states
For minimal switching loss, use
transition sequence between
different states that requires one
switching per transition
Carrier based PWM equivalence to
Nearest-Three Virtual-Space-Vector
PWM single-phase line-line
voltage is produced by two adjacent
voltage levels for an arbitrary
voltage command (and offset for a
three-phase case)
4476
Page 10
19 19
Dual Inverter (Cascaded) and Interleaved Topologies
Two 2-level inverters driving open-end winding create the effect of 3-
level voltage (K-level inverters create (2K-1)-level voltage waveforms)
Advantage no coupling inductors; disadvantage 2 isolated voltage
supplies
Con_1
A
B
C
A'
B'
C'
Con_2
+ +
- -
Vdc_1 Vdc_2
Interleaved converters with
coupling differential mode
inductors create the effect of
level multiplication 2 2-level
3-level; 3 2-level 4-level
Con_1
Con_2
Motor
Ind_A Ind_B Ind_C
A
B
C
Con_1
Con_2 Motor
Con_3
Ind_A Ind_B Ind_C
A
B
C
Con_1 Con_2
Motor
Con_3
Con_1 Con_2
Motor
20 20
Outline Part I
1. Asymptotic Time Domain Evaluation of Multilevel
Multiphase PWM Converter Voltage Quality
1.1. Multilevel converter voltage quality, topologies and
modulation strategies overview
1.2. Ripple voltage Normalized Mean Square (NMS)
criterion definition and relationship with voltage THD
1.3. Ripple voltage NMS for 2-, 3-, 4-, 5-level and arbitrary
multilevel H-bridge PWM converters
1.4. Ripple voltage NMS for three-phase and odd
multiphase converters
1.5. NMS criterion and choke / transformer / electrical
machine PWM loss
1.6. Zero common mode voltage PWM and converter
voltage quality
4477
Page 11
21 21
Multilevel Converter Voltage Quality Evaluation
Extensive research on multilevel power converters yielded
numerous topologies and voltage modulation strategies
To keep orientation in the sea of converter topologies and
voltage modulation strategies, engineers need simple physically
meaningful output voltage quality criterion
Frequency domain approach requires double Fourier integral
calculation and deals with double infinite series with Bessel
function coefficients may be good for pure theoretical
research but difficult to use in every day engineering practice
Proposed is a time domain asymptotic PWM voltage quality
evaluation approach with ripple voltage Normalized Mean
Square (NMS) criterion to compare different multilevel converter
topologies and voltage modulation strategies
Voltage THD and normalized ripple voltage RMS are easily
derived from ripple voltage NMS
22 22
Ripple Voltage NMS Definition
Instantaneous converter output voltage waveform
Normalized output ripple voltage
Ripple voltage Normalized Mean Square
For DC PWM, single integral (averaging on PWM period) will do
For AC PWM, double integral is required for multilevel converter
For matrix converter, triple integral must be calculated
) (t V
,
) ( ) (
) (
1
B
R
V
t V t V
t v

=
DC B
V V ~
dt t v
T
NMS
T
R

=
0
2
) (
1
4478
Page 12
23 23
NMS Relationship with Voltage THD
The standard figure of merit regarding harmonic content in a
waveform is the total harmonic distortion (THD) which
expresses as a ratio the amount of unwanted harmonic content
to the fundamental
Voltage THD definition
According to Parsevals theorem also known as Rayleighs
energy theorem (RMS normalized ripple voltage Root Mean
Square)
,%
100
,%
1
2
1

=
n
n
V
V
THD
% 100
2
2 /
,% = =
M
NMS
M
RMS
THD
NMS RMS =
24 24
Outline Part I
1. Asymptotic Time Domain Evaluation of Multilevel
Multiphase PWM Converter Voltage Quality
1.1. Multilevel converter voltage quality, topologies and
modulation strategies overview
1.2. Ripple voltage Normalized Mean Square (NMS)
criterion definition and relationship with voltage THD
1.3. Ripple voltage NMS for 2-, 3-, 4-, 5-level and
arbitrary multilevel H-bridge PWM converters
1.4. Ripple voltage NMS for three-phase and odd
multiphase converters
1.5. NMS criterion and choke / transformer / electrical
machine PWM loss
1.6. Zero common mode voltage PWM and converter
voltage quality
4479
Page 13
25 25
Ripple Voltage NMS for 2-Level DC PWM
Two-level H-bridge
PWM voltage and ripple
voltage waveforms
By definition, ripple voltage
NMS for DC PWM by
averaging on a PWM period
D normalized (positive)
voltage command, 0<D<1
) 1 ( ) 1 ( ) (
) 1 ( ) (
2
2
2
D D D D
D D D NMS
DC
= +
+ =
DC
V
+
-
1 T
2 T
1 D
2 D
3 T
4 T
3 D
4 D
L R
L
i
DC
V V v / =
T t /
0
1
D
R
v
T t /
0
D
D
D 1
1
1
26 26
Ripple Voltage NMS for 3-Level DC PWM
Specific multilevel converter type is not important
Optimal voltage quality of nearest level switching
Three-level converter waveforms
Ripple voltage NMS
t
0
t
0
1 1
DC
V V v / =
DC
V V v / =
5 . 0 5 . 0
)
`

<
<
=
1 5 . 0 ), 1 )( 5 . 0 (
; 5 . 0 0 ), 5 . 0 (
) (
3
D D D
D D D
D NMS
DC
4480
Page 14
27 27
Ripple Voltage NMS for Multilevel DC PWM
Ripple voltage NMS of L-level converter
2 ,..., 1 , 0
;
1
1
1
;
1
1
1
) (
=

+
<

\
|

+
|

\
|

=
L i
L
i
D
L
i
D
L
i
L
i
D D NMS
DC
L
0
0.05
0.1
0.15
0.2
0.25
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
R
i
p
p
l
e

V
o
l
t
a
g
e

N
M
S
,

p
.
u
.
Normalized Voltage Command D, p.u.
Ripple Voltage NMS for H-Bridge DC PWM
4-Level
2-Level
3-Level
L-1 voltage
command intervals
For all intervals,
ripple voltage NMS is
given by the same
dome function
When moving from L
to L+1, X-axis is
scaled by factor
S=L/(L-1), Y-axis
by S^2; add the
rightmost missing link
28 28
NMS for Single-Phase 2-level AC PWM
Sinusoidal normalized voltage command (M modulation index)
Time averaging on a fundamental period
Asymptotic approximation switching-to-fundamental frequencies
ratio assumed infinitely large, or fundamental signal assumed
constant on a PWM period
DC PWM
AC PWM
) sin( ) sin( ) ( M t M t D = =
0
0.05
0.1
0.15
0.2
0.25
-1 -0.8 -0.6 -0.4 -0.2 0 0.2 0.4 0.6 0.8 1
N
M
S
,

p
.
u
.
Normalized Voltage Command D, p.u.
Ripple Voltage NMS for 2-Level DC PWM
1 1
, | | ) (
2
2
< <
=
D
D D D NMS
DC
2
2
5 . 0 ) / 2 ( ) ( M M M NMS
AC
=

2 2
2
sin | sin | ) , ( M M M NMS
AC
=
4481
Page 15
29 29
NMS for Single-Phase 3-level AC PWM
Sinusoidal normalized voltage command (M modulation index)
DC PWM
AC PWM
) sin( ) sin( ) ( M t M t D = =
0
0.01
0.02
0.03
0.04
0.05
0.06
0.07
-1 -0.8 -0.6 -0.4 -0.2 0 0.2 0.4 0.6 0.8 1
R
i
p
p
l
e

V
o
l
t
a
g
e

N
M
S
,

p
.
u
.
Normalized Voltage Command D, p.u.
Ripple Voltage NMS for 3-Level DC PWM
)
`

<
<
=
1 5 . 0 ), 1 )( 5 . 0 (
; 5 . 0 0 ), 5 . 0 (
) (
3
D D D
D D D
D NMS
DC

< +
+ |

\
|
+
<
=
1 5 . 0 , 25 . 0
2
5 . 0
arcsin
1
2
1
2
; 5 . 0 0 , 5 . 0 ) / 1 (
) (
2
2
2
3
M M
M
M M
M M M
M NMS
AC

30 30
NMS for Single-Phase L-level AC PWM - I
Ripple voltage NMS of L-level converter is a piece-wise analytical
formula for L-1 intervals
Elementary functions only arcsine and square root
Asymptotic assumes infinite switching-to-fundamental frequencies
ratio Fs/Ff, or fundamental signal constant an a PWM period
Depends on levels count L and modulation index M

+
<

+
+
(

<

=
=
K
i
K
i
AC
L
L K
L
K
M
L
K
L
i
M
L
M L
i
i
L L
K K
M M
L
L
M M M
L
M NMS
1
2
2
2
1
2 2
2
2
2 1 ,
1
1
1
,
) 1 ( ) 1 (
4
) 1 (
arcsin
) 1 (
4
) 1 (
) 1 (
2
1
) 1 (
2
;
1
1
0 ,
2
1
) 1 (
2
) (

4482
Page 16
31 31
NMS for Single-Phase L-level AC PWM - II
Optimal voltage quality of nearest level switching
NMS for L+1 levels is obtained by scaling NMS for L levels X-axis
S=L/(L-1) times, Y-axis - S^2 times and adding the rightmost missing
link
Ripple Voltage NMS for AC PWM
0
0.05
0.1
0.15
0.2
0.25
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
Modulation Index M, p.u.
N
M
S
,

p
.
u
.
2-Level
3-Level
4-Level
5-Level
Ripple Voltage NMS Criterion
0
0.001
0.002
0.003
0.004
0.005
0.006
0.007
0.008
0.009
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
Modulation Index M, p.u.
N
M
S
,

p
.
u
.
6-Level
7-Level
8-Level
9-Level
10-Level
11-Level
32 32
Outline Part I
1. Asymptotic Time Domain Evaluation of Multilevel
Multiphase PWM Converter Voltage Quality
1.1. Multilevel converter voltage quality, topologies and
modulation strategies overview
1.2. Ripple voltage Normalized Mean Square (NMS)
criterion definition and relationship with voltage THD
1.3. Ripple voltage NMS for 2-, 3-, 4-, 5-level and arbitrary
multilevel H-bridge PWM converters
1.4. Ripple voltage NMS for three-phase and odd
multiphase converters
1.5. NMS criterion and choke / transformer / electrical
machine PWM loss
1.6. Zero common mode voltage PWM and converter
voltage quality
4483
Page 17
33 33
NMS for Three-Phase Multilevel AC PWM
) (
3
1
) (
2 2 2 2 2 2
RCA RBC RAB RC RB RA
V V V V V V + + = + +
NMS criterion is invariant to zero sequence
voltage command insertion (voltage pulses
redistribution)
Single-phase AC PWM NMS expressions
are valid for multiphase line-line voltages
assuming nearest level switching
3 / ) ( ) (
) 3 (
M NMS M NMS
AC
L phL
=
0 ; ; ; = + + = = =
C B A A C CA C B BC B A AB
V V V V V V V V V V V V
For star-connected balanced three-phase load, phase ripple voltage
NMS is 1/3 of line-line ripple voltage NRVMS
The proof from
obtain and average both sides of the following identity
Almost trivial for the time domain analysis - not so evident from
frequency domain considerations because line-line and phase voltage
spectra are essentially different due to the triplen sideband harmonics
cancellation between the phase legs
A
V
B
V C
V
AB
V
BC
V
CA
V
34 34
THD for Three-Phase Multilevel AC PWM - I
Normalized RMS (Root Mean Square) voltage and voltage THD
) ( ) ( M NMS M RMS
AC
L L
=
% 100
) ( 2
),% ( =
M
M NMS
M THD
AC
L
L
Normalized Ripple Voltage RMS for AC PWM
0
0.1
0.2
0.3
0.4
0.5
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
Modulation Index M, p.u.
R
i
p
p
l
e

V
o
l
t
a
g
e

R
M
S
,

p
.
u
.
2-Level
3-Level
4-Level
5-Level
Voltage THD for AC PWM
0
50
100
150
200
250
300
350
0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
Modulation Index M, p.u.
V
o
l
t
a
g
e

T
H
D
,

%
2-Level
3-Level
4-Level
5-Level
4484
Page 18
35 35
THD for Three-Phase Multilevel AC PWM - II
Voltage THD smooth approximation (M>0.03) valid for single- and
three-phase AC PWM
% 100
) 1 (
578 . 0
),% (
_

=
M L
M THD
SMOOTH L
Voltage THD Criterion - Accurate
0
10
20
30
40
50
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
Modulation Index M, p.u.
a
T
H
D
,

%
6-Level
7-Level
8-Level
9-Level
10-Level
11-Level
Voltage THD Criterion Smooth Approximation
0
10
20
30
40
50
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
Modulation Index M, p.u.
b
T
H
D
,

%
6-Level
7-Level
8-Level
9-Level
10-Level
11-Level
36 36
NMS for Odd Multiphase Multilevel Inverters - I
Odd phase number N=2k+1, balanced
load
Leg pairs combinations N(N-1)/2=Nk
k different line-line voltage magnitudes
produced by groups of N leg pairs
Nearest level switching
Consider a five-phase inverter N=5, k=2
The relationship between line-line and phase voltage (also ripple voltages)
The relationship between the squared line-line and phase voltages
Finally,
A
V
B
V
C
V
D
V
E
V
AB
V
AC
V
0 ; ;...; ; = + + + + = = =
E D C B A A E EA C B BC B A AB
V V V V V V V V V V V V V V
) ( 5 ...
2 2 2 2 2 2 2 2
E D C B A EA BD AC
V V V V V V V V + + + + = + + +
5
) ( ) (
) (
) 5 (
1 ) 5 (
M NMS M m NMS
M NMS
AC
L
AC
L
phL
+
=
618 . 0
2
1 5
54 2
1
) 5 (
1
=

= = =
o
AC
AB
SIN V
V
m
4485
Page 19
37 37
NMS for Odd Multiphase Multilevel Inverters - II
For an arbitrary odd phase number N=2k+1
Weight factors are regular N-polygon diagonal lengths normalized by the
largest one may be obtained using Chebyshev polynomials of the first
kind
For a seven-phase inverter N=7, k=3

=
=
k
i
N
i
AC
L
N
phL
M m NMS
N
M NMS
1
) ( ) (
) (
1
) (
7
) ( ) ( ) (
) (
) 7 (
3
) 7 (
2
) 7 (
1 ) 7 (
M m NMS M m NMS M m NMS
M NMS
AC
L
AC
L
AC
L
phL
+ +
=
A
V
B
V
C
V
D
V E
V
F
V
G
V
AB V
AC
V
AD
V
. 1
; 802 . 0
4 . 51 cos 2 1
3 . 64 sin 2
; 445 . 0
4 . 51 cos 2 1
1
) 7 (
3
) 7 (
2
) 7 (
1
= =
=
+
= =
=
+
= =
AD
AD
o
o
AD
AC
o
AD
AB
V
V
m
V
V
m
V
V
m
38 38
NMS for Odd Multiphase Multilevel Inverters - III
For N= 9, 11, 13
1 ; 9419 . 0
; 8290 . 0 ; 6680 . 0 ; 4681 . 0 ; 2411 . 0
; 1 ; 9190 . 0 ; 7635 . 0 ; 5462 . 0 ; 2846 . 0
; 1 ; 8794 . 0 ; 6527 ; 3473 . 0
) 13 (
6 ; 5 ; 4 ; 3 ; 2 ; 1
) 11 (
5 ; 4 ; 3 ; 2 ; 1
) 9 (
4 ; 3 ; 2 ; 1
=
=
=
m
m
m
Phase NMS for Multiphase 2-Level Converters
0.03
0.04
0.05
0.06
0.07
0.08
0.09
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
Modulation Index M, p.u.
a
N
M
S
,

p
.
u
.
3-Phase
5-Phase
7-Phase
11-Phase
9-Phase
Phase NMS for Multiphase 3-Level Converters
0.01
0.012
0.014
0.016
0.018
0.02
0.022
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
Modulation Index M, p.u.
b
N
M
S
,

p
.
u
.
3-Phase
5-Phase
7-Phase
11-Phase
9-Phase
Phase NMS for Multiphase 4-Level Converters
0.004
0.005
0.006
0.007
0.008
0.009
0.01
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
Modulation Index M, p.u.
c
N
M
S
,

p
.
u
.
3-Phase
5-Phase
7-Phase
11-Phase
9-Phase
4486
Page 20
39 39
Outline Part I
1. Asymptotic Time Domain Evaluation of Multilevel
Multiphase PWM Converter Voltage Quality
1.1. Multilevel converter voltage quality, topologies and
modulation strategies overview
1.2. Ripple voltage Normalized Mean Square (NMS)
criterion definition and relationship with voltage THD
1.3. Ripple voltage NMS for 2-, 3-, 4-, 5-level and arbitrary
multilevel H-bridge PWM converters
1.4. Ripple voltage NMS for three-phase and odd
multiphase converters
1.5. NMS criterion and choke / transformer / electrical
machine PWM loss
1.6. Zero common mode voltage PWM and converter
voltage quality
40 40
PWM Induced Additional Losses - I
Additional converter switching caused loss PWM copper loss and
PWM eddy current and hysteresis iron loss
Additional copper loss in motor, feeding transformer, and coupling
inductors is referred to as harmonic loss
For a 2-level H-bridge converter, harmonic loss has maximum
For a 2-level 3-phase converter, monotonically increases with M
Ripple Current Normalized Mean Square
(Normalized Copper PWM Loss)
0
0.05
0.1
0.15
0.2
0.25
0.3
0.35
0.4
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
Modulation Index M, p.u.
R
i
p
p
l
e

C
u
r
r
e
n
t

N
M
S
,

p
.
u
.
1
2 3
4
5
Depends on zero voltage
states placing strategy
1 - single-phase H-bridge
2 - sine 3-phase PWM
3 - 1/6 3rd harmonic injection
4 - 1/4 3rd harmonic injection
5 - 3-phase SVM
4 3 2
1
375 . 0
3
8
2
1
) ( M M M M HL + =

4 3 2
5
443 . 0
3
8
2
1
) ( M M M M HL + =

4487
Page 21
41 41
PWM Induced Additional Losses - II
If PWM frequency is increased
twice, PWM ripple current is
reduced in the same proportion
PWM copper loss reduces
inversely proportional to squared
switching frequency (more slowly
if accounting for skin-effect)
t, p.u.
0
Vp
D 1
t, p.u.
Vp
0
1
0 0
t, p.u.
t, p.u.
Ir
Ir
PWM iron core hysteresis loss reduces inversely proportional to
switching frequency compare the areas of minor hysteresis loops
In the first approximation, PWM
eddy current core loss does not
depend on switching frequency
Assumptions:
- pure resistive eddy current (not
accounting for eddy current path
inductance)
- iron skin effect neglected
42 42
PWM Induced Additional Losses - III
PWM loss dependence on switching frequency is often a source for
misunderstanding - some people assume PWM loss increasing with
PWM frequency extrapolating main flux induced PWM loss frequency
behavior, others expect PWM loss reduction following current ripple
decrease
It may look somewhat surprising but a reasonable approximation is
PWM loss independent of switching frequency
Local PWM induced voltage time distribution follows that of ripple
voltage
Local eddy current square does not change with frequency increase
P
v
T t /
0
D
a
D 1
RIPPLE
I
P
v
T t /
0
D
b
D 1
RIPPLE
I
D D 1
D D 1
4488
Page 22
43 43
PWM Induced Additional Losses - IV
For apparent switching frequencies >2-3 kHz, ripple currents are
practically low and PWM copper loss is typically less than 5-10% of
fundamental copper loss.
According to published experimental data, for switching frequencies >
2-3 kHz there is practically no PWM loss dependence on PWM
frequency
Iron core PWM eddy current loss is a dominant PWM loss mechanism
In the first approximation, phase ripple voltage NMS represents
normalized PWM eddy current core loss for single- and three(multi)-
phase inverters
PWM
P
KHz f ,
0
KHz 3 1
Const M =
PWM
P
0
M
Const f =
1 5 . 0
A B C
44 44
About Piece-Wise Linear Ripple Current Assumption
Consider 50% duty cycle ripple voltage waveform
Piece-wise linear ripple current actually means pure inductance no
power loss
Equivalent circuit that accounts for integral magnetic coupling between
a winding and iron core
Currents solution contains two exponential terms fast and slow
Piece-wise linear winding current and rectangular shaped eddy current
that follows time distribution of PWM ripple voltage is a good
approximation
1
I
2
I
t
t
0
0
1
R
1
L
2
R
2
L
1
I
2
I
4489
Page 23
45 45
PWM Voltage Quality Upper Bounds
The worst case 2-level H-bridge
voltage quality is obtained for
bipolar switching
For 2-level H-bridge DC PWM,
For 2-level H-bridge AC PWM
Bipolar PWM for a 2-level 3-phase
bridge that does no use zero states
For a 2-level 3-phase inverter, due
to inter-phase dependences, the
worst voltage quality is better than
for a 2-level H-bridge
DC
V V v / =
T t /
0
1
R
v
1
1
T t /
0
1
2
1 D +
2
1 D +
D 1
D 1
2
1 ) ( D D NMS
DC
UB
=
2
5 . 0 1 ) ( M M NMS
AC
UB
=
t
t
0
A
V
3 / 2
3 / 2
3 / 1
3 / 1
t
0
1
AB
V
1
c b a
v v v , ,
2
3
5 . 0 3 / 2 ) ( M M NMS
AC
UB
=
46 46
Non-Optimal PWM and Non-PWM Control Schemes
For non-optimal PWM and non-PWM control voltage schemes, voltage
quality must fall somewhere in-between the lower and upper bounds
Example of non-optimal PWM diode-clamped converter voltage
balancing PWM compromises voltage quality for medium and high M
0
0.1
0.2
0.3
0.4
0.5
0.6
0.7
0.8
0.9
1
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
R
i
p
p
l
e

V
o
l
t
a
g
e

N
M
S
,

p
.
u
.
Modulation Index M, p.u.
Ripple Voltage NMS for AC PWM
2-Level
3-Level
Upper bound 3-phase
Upper bound H-bridge
Non-PWM control schemes
include direct torque / power
control, hysteresis (dead-band),
sliding mode, predictive control etc
The advantages of non-PWM
control schemes (faster dynamics,
better tracking and disturbance
rejection) may be achieved by
compromising optimal voltage
quality of nearest level switching
that is supposed to give rise to
inductor / transformer / electrical
machine switching induced eddy
current iron core loss

4490
Page 24
47 47
Outline Part I
1. Asymptotic Time Domain Evaluation of Multilevel
Multiphase PWM Converter Voltage Quality
1.1. Multilevel converter voltage quality, topologies and
modulation strategies overview
1.2. Ripple voltage Normalized Mean Square (NMS)
criterion definition and relationship with voltage THD
1.3. Ripple voltage NMS for 2-, 3-, 4-, 5-level and arbitrary
multilevel H-bridge PWM converters
1.4. Ripple voltage NMS for three-phase and odd
multiphase converters
1.5. NMS criterion and choke / transformer / electrical
machine PWM loss
1.6. Zero common mode voltage PWM and converter
voltage quality
48 48
Zero Common-Mode Voltage PWM - I
Common-mode PWM voltages induce motor shaft voltages and
destructive bearing currents that result in bearings lifetime reduction
Theoretically, PWM common-mode voltage may be eliminated for diode-
clamped (multiple point clamped) converter multilevel topologies with
odd level count L=2K-1=3, 5, 7, or equivalent cascaded topologies
1 T
2 T
1 D
2 D
2 /
DC
V
V 0
3 T
4 T
3 D
4 D
5 D
6 D
2 /
DC
V
Y
Y
2 /
DC
V
0
2 /
DC
V
4491
Page 25
49 49
Zero Common-Mode Voltage PWM - II
3-level zero common-mode voltage PWM uses 7 switching states of 27
Zero common-mode voltage modulation uses simultaneous switching in
two phases good switching synchronization is required
Zero common-mode voltage PWM does not come for free
The payment in voltage dynamic range and voltage quality (PWM loss)
2 /
DC
V
t
A
V
B
V
C
V
A
B
C
A
C
B
2 /
DC
V
0
Phase Ripple Voltage NMS / Normalized PWM Loss
0
0.01
0.02
0.03
0.04
0.05
0.06
0.07
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
Modulation Index M, p.u.
N
M
S

/

P
W
M

L
o
s
s
,

p
.
u
.
3-Level
2-Level
3-Level with Zero Common Mode Voltage
50 50
Zero Common-Mode Voltage PWM - III
5-level zero common-mode voltage PWM uses 19 switching states of 25
L=(2K-1) level zero common-mode voltage PWM uses
switching states of possible
Zero common-mode voltage PWM phase voltage quality
Y
Y
2 /
DC
V
Y
4 /
DC
V
Y
Y
0
2 /
DC
V
4 /
DC
V
Phase Ripple Voltage NMS / Normalized PWM Loss
0
0.002
0.004
0.006
0.008
0.01
0.012
0.014
0.016
0.018
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
Modulation index M, p.u.
N
M
S

/
P
W
M

L
o
s
s
,
p
.
u
.
3-Level
5-Level
5-Level with Zero Common Mode Voltage
1 3 3
2
+ K K
3
L
|

\
|
= |

\
|
= M NMS M NMS M NMS
AC
phK
AC
K phL
3
2
4
3
3
2
4
1
) (
) 0 (
4492
Page 1
11
Tutorial Time Averaging Methods in PWM
Multilevel Power Converters Analysis:
Application to Voltage Quality Evaluation and
Flying Capacitors Average Voltage Balancing
Dynamics
Alex Ruderman, Elmo Motion Control, Israel
Boris Reznikov, General Satellite Corp, Russia
Steven Thielemans, Ghent University, Belgium
22
Part II
Time Averaging Analysis of a
Flying Capacitor Converter (FCC)
Natural Voltage Balancing
Dynamics
4493
Page 2
33
Outline Part II
2. Time Averaging Analysis of a Flying Capacitor
Converter (FCC) Natural Voltage Balancing Dynamics
2.1. Overview of FCC topologies, modulation
strategies, and average natural voltage balancing
dynamics analysis methods
2.2. FCC average voltage balancing dynamics time
domain analysis using small parameter technique
2.3. Voltage balancing dynamics of 3-, 4-, 5-, 6- and 7-
level single-leg FCC for DC and AC PWM
2.4. Voltage balancing dynamics of 3- and 4-level
symmetric H-bridge FCC for DC and AC PWM
2.5. Flying capacitors self-precharge in FCC
44
Capacitor-Clamped vs Diode-Clamped
Diode-clamped converter cant be used for DC-DC
Diode-clamped converter voltage balance is possible on a fundamental
period, active balancing, neutral point voltage variation problem
Capacitor-clamped, or Flying Capacitor (FC) converter is suitable for DC-
DC power conversion
1 T
2 T
1 D
2 D
DC
V
2 /
DC
V
V 0
3 D
3 T
4 D
4 T
5 D
6 D
1 T
2 T
1 D
2 D
DC
V
V 0
3 T
4 T
3 D
4 D
C
Natural voltage balancing property
Voltage balancing is achieved in
every PWM cycle
Natural voltage balancing no
capacitor voltage measurement
Potential disadvantage large
number of capacitances for high
phases / level count
ANPC a combination of diode-
and capacitor-clamped
A fair comparison is required
(example FC precharge)
4494
Page 3
55
Flying Capacitor Converter for DC-DC
Published FC converter research mostly deals with DC-AC conversion
FC converter is well-suitable for DC-DC inductorless power conversion
Modular DC-DC FC converter by Prof. Leon Tolbert (U Tennessee / ORNL)
Average voltage balancing dynamics for resistive (resistance dominated)
load is more or less straightforward aperiodic dynamics with RC-time
constants dependent on normalized voltage command D
Classic FC single-phase
topology uses split DC
power supply: -1<D<1
Poor voltage balancing
dynamics for D->1, D->-1
Single power supply two-
quadrant operation is
possible: 0<D<1
The results of voltage
balancing dynamics
analysis hold for both -
D -> (D + 1) / 2
66
FC Converter Phase Shifted PWM Strategies - I
Most simple and intuitive is Phase Shifted (PS) PWM strategy
Provides optimal voltage quality of nearest level switching
For a single-leg FC L-level converter, L-1 carriers must be uniformly
distributed with a 360/(L-1) el. deg phase shift for optimal voltage quality
3-level single-leg FC converter example (balanced capacitor voltage
Vc=Vdc/2 is assumed)
t
t
0
T
V
L
V
1 S
1 S
1 S 1 S
2 S 2 S
2 S
1 S 1 S 1 S 1 S 2 S 2 S 2 S 2 S 2 S
1 2 3 4 4
COM
V
2 /
DC
V
4495
Page 4
77
FC Converter Phase Shifted PWM Strategies - II
For an H-bridge (three-phase)
FC L-level converter, L-1
carriers must be uniformly
distributed with a 180/(L-1) el.
deg phase shift
3-level H-bridge FC converter
example (Vc1=Vc2=Vdc/2)
0<D<0.5 and 0.5<D<1
DC
V
V 0
2 S
L R
1 C 2 C
1 S
2 S
1 S
4 S
3 S
3 S
4 S
i
1
v
2
v
88
Other FC Converter PWM Strategies
PS PWM strategies provide the best voltage balancing dynamics for most
simple single-leg 3- and 4-level FC Converter (FCC) making use of all
available switching states (no switching states redundancy)
For other FCC types, PS PWM voltage balancing rate may be improved
(especially, for small D)
Level Shifted PWM does not work for FCC in its original form
Other suggested carrier-based FCC PWM strategies:
- modified Phase Disposition (PD) Level Shifted (LS) PWM;
- carrier rotation PWM, carrier-overlapping PWM etc.
Holmes and McGrath (2009) found that PD LS PWM has better voltage
balancing performance compared with PS PWM
Their explanation: PD LS PWM places more spectral energy into the
differential mode sideband harmonics that drive the voltage balancing
process
We will give a simple instructive explanation of voltage balancing
mechanisms based on time domain averaging considerations
4496
Page 5
99
FCC Voltage Balancing Dynamics Analysis - I
FC converter is a classic example of switched system
Average voltage balancing dynamics for a given normalized voltage
command D / modulation index M is described by linear time invariant
differential equations
A dominating approach to FC converter average voltage balancing
dynamics analysis is a frequency domain one (Meynard, Barbi, Wilkinson,
de Mouton, Holmes, McGrath and other)
Why frequency domain? Probably, because of the common formulation
that FC converter voltage balancing dynamics mechanism is driven by
load current switching harmonics
This approach is not true analytical, rather analytical-numeric


=

=
+ + + =
n
c mn
m
dc
az
t n t m C
m
V
t v ) ] 1 2 [ cos(
1 2
... ) (
0
1
2



+
+
+
+ + + + =

+
=

] 1 [
] 1 [ 2 sin(
] [
] [ 2 sin(
) ] 1 2 [ ) ] ) 1 cos([( ...
) 1 (
1
0 1 2
n k
n k
n k
n k
t n k m N M mN J C
n k
k
k mn


10 10
FCC Voltage Balancing Dynamics Analysis - II
A natural approach to switched systems analysis is time domain stitching
solutions for consecutive switching intervals
Why time domain analysis was not applied to FC converter average
voltage balancing dynamics so far?
Our understanding of FC converter average voltage balancing dynamics
physical nature voltage balancing is driven by excessive FC unbalance
energy dissipation by different loss mechanisms (load copper and iron
PWM loss, FC ESR loss, power semiconductor loss etc)
Simple analytical FC converter voltage balancing dynamics solutions are
possible under small parameter approximation
The physical meaning of the small parameter approximation:
- inductance dominated ripple current relatively high switching frequency
- reasonably low FC ripple voltage relatively high capacitance
Analytical solutions give an in-depth insight into voltage balancing
dynamics dependence on load parameters, capacitances, switching
frequency (period), normalized DC voltage command / AC modulation
index, different modulation strategies (example: lead / lag) and more
4497
Page 6
11 11
Outline Part II
2. Time Averaging Analysis of a Flying Capacitor
Converter (FCC) Natural Voltage Balancing Dynamics
2.1. Overview of FCC topologies, modulation strategies,
and average natural voltage balancing dynamics analysis
methods
2.2. FCC average voltage balancing dynamics time
domain analysis using small parameter technique
2.3. Voltage balancing dynamics of 3-, 4-, 5-, 6- and 7-
level single-leg FCC for DC and AC PWM
2.4. Voltage balancing dynamics of 3- and 4-level
symmetric H-bridge FCC for DC and AC PWM
2.5. Flying capacitors self-precharge in FCC
12 12
3-Level FC Converter and PS PWM Strategy
Switching interval durations
1 S
1 S
2 S
2 S
2 /
DC
V
2 /
DC
V
C
L R
v
i
t
t
0
T
V
L
V
1 S
1 S
1 S 1 S
2 S 2 S
2 S
1 S 1 S 1 S 1 S 2 S 2 S 2 S 2 S 2 S
1 2 3 4 4
COM
V
2 /
DC
V
;
2
3 1 PWM
T
D
t t = = ;
2
) 1 (
4 2 PWM
T
D
t t

= =
PWM
T t t t t = + + +
4 3 2 1
4498
Page 7
13 13
3-Level FCC Topologies Dynamic Equations
Interval state-space equation
For the first interval
For the second interval, assuming oscillating
step response
+
-
2 /
DC
V
L R
L
i
-
+
2 /
DC
V
L R
L
i
+ -
C
v
+
-
2 /
DC
V
L R
L
i
+ -
C
v
Topologies 1, 3
Topology 2
Topology 4
(

= + =
) (
) (
) ( ;
2
) ( ) 0 ( ) ( ) (
t v
t i
t X
V
t B X t A t X
DC
j j
;
1 0
0 ) / exp(
) (
1 (


=
L
T t
t A
( )
(


=
0
/ ) / exp( 1
) (
1
R T t
t B
L
R L T
L
/ =
C L R / 2 <
;
) sin( ) cos( ) sin(
1
) sin(
1
) sin( ) cos(
) ( ) exp( ) (
'
2 2
(
(
(

=
t t t
C
t
L
t t
t A t t A

;
1 ) cos( ) sin( ) exp(
) sin( ) exp(
1
) (
2
(
(
(
(

+ |

\
|
+

=
t t t
t t
L
t B

) 2 /( 1 / 5 . 0
L
T L R = =
2 2
0
=
) /( 1
2
0
LC =
14 14
3-Level FCC Dynamics Discrete Model
Combining the above equations
This model is not limited to D=const and works, for example, for
A steady state DC PWM (D=const) solution
........ .......... .......... .......... .......... ..........
;
2
) ( ) ( ) ( ) (
;
2
) ( ) ( ) ( ) (
;
2
) ( ) ( ) ( ) (
;
2
) ( ) ( ) ( ) (
;
2
) ( ) 0 ( ) ( ) (
1 1 4 1 1 5
4 4 3 4 4 4
3 3 2 3 3 3
2 2 1 2 2 2
1 1 1 1 1
DC
DC
DC
DC
DC
V
t B t X t A t X
V
t B t X t A t X
V
t B t X t A t X
V
t B t X t A t X
V
t B X t A t X
+ =
+ =
+ =
+ =
+ =
........ .......... .......... .......... .......... ..........
;
;
;
;
1 5
4 3 2 1 4
3 2 1 3
2 1 2
1 1
t T t
T t t t t t
t t t t
t t t
t t
PWM
PWM
+ =
= + + + =
+ + =
+ =
=
2
) ( ) ( ) ( ) (
DC
PWM
V
D B t X D A T t X + = +
( ) ( )
4 3 2 1 2 3 4
1 2 3 4
) (
; ) (
B B B B A A A D B
A A A A D A
+ + + =
=
0 ) cos( ) (
0 0
= t D D t D
f

( )
2
) ( ) ( ) (
1
DC
V
D B D A I X

=
4499
Page 8
15 15
3-Level FCC Dynamics Continuous Model
Derivatives "on average" approximations in slow time
From discrete model
FCC voltage balancing dynamics averaged continuous model
PWM
PWM
PWM
PWM
T
t v T t v
dt
dv
T
t i T t i
dt
di
) ( ) (
;
) ( ) (
+

( )
2
) (
1
) (
1
DC
PWM PWM
V
D B
T
X I D A
T dt
dX
+ =
2
) ( ) ( ) ( ) (
DC
PWM
V
D B t X D A T t X + = +
16 16
3-Level FC Converter Simulation Examples - I
Parameter values: Vdc=100 V; R=1 Ohm; L=0.25 mH; C=100 uF;
Tpwm=300 us (Fpwm=3.33 kHz)
Note capacitor charge time constant increase with duty ratio D
FC Converter Simulated Transient (D=0)
-20
-10
0
10
20
30
40
50
60
0 0.005 0.01 0.015 0.02 0.025
Time, s
a
L
o
a
d

c
u
r
r
e
n
t

(
A
)

a
n
d

c
a
p
a
c
it
o
r
v
o
l
t
a
g
e

(
V
)
VC
IL
FC Converter Simulated Transient (D=0.4)
-20
-10
0
10
20
30
40
50
60
0 0.005 0.01 0.015 0.02 0.025
Time, s
c
L
o
a
d
c
u
r
r
e
n
t

(
A
)

a
n
d

c
a
p
a
c
i
t
o
r

v
o
l
t
a
g
e

(
V
)
VC
IL
FC Converter Simulated Transient (D=0.2)
-20
-10
0
10
20
30
40
50
60
0 0.005 0.01 0.015 0.02 0.025
Time, s
b
L
o
a
d

c
u
r
r
e
n
t

(
A
)

a
n
d

c
a
p
a
c
it
o
r
v
o
l
t
a
g
e

(
V
)
VC
IL
FC Converter Simulated Transient (D=0.8)
-20
-10
0
10
20
30
40
50
60
0 0.005 0.01 0.015 0.02 0.025
Time, s
d
L
o
a
d

c
u
r
r
e
n
t

(
A
)

a
n
d

c
a
p
a
c
it
o
r
v
o
l
t
a
g
e

(
V
)
VC
IL
4500
Page 9
17 17
3-Level FC Converter Simulation Examples - II
Capacitor discharge (Vdc=0; D=0)
DC-AC excitation
FC Converter Simulated Transient - D=0; Vdc=0
-20
-10
0
10
20
30
40
50
60
0 0.002 0.004 0.006 0.008 0.01 0.012 0.014
Time, s
L
o
a
d
c
u
r
r
e
n
t

(
A
)
a
n
d

c
a
p
a
c
i
t
o
r

v
o
l
t
a
g
e

(
V
)
VC
IL
FC Converter Simulated Transient - D=0.4-0.4COS(1000*t)
-20
-10
0
10
20
30
40
50
60
70
80
90
0 0.005 0.01 0.015 0.02 0.025
Time, s
b
L
o
a
d
c
u
r
r
e
n
t

(
A
)
a
n
d

c
a
p
a
c
i
t
o
r

v
o
l
t
a
g
e

(
V
)
VC
IL
D, %
FC Converter Simulated Transient - D=0.2-0.2COS(1000*t)
-20
-10
0
10
20
30
40
50
60
0 0.005 0.01 0.015 0.02 0.025
Time, s
a
L
o
a
d
c
u
r
r
e
n
t

(
A
)
a
n
d

c
a
p
a
c
i
t
o
r

v
o
l
t
a
g
e

(
V
)
VC
IL
D, %
FC Converter Simulated Transient - D=0.4-0.4COS(2000*t)
-20
-10
0
10
20
30
40
50
60
70
80
90
0 0.005 0.01 0.015 0.02 0.025
Time, s
c
L
o
a
d

c
u
r
r
e
n
t
(
A
)

a
n
d

c
a
p
a
c
i
t
o
r

v
o
lt
a
g
e

(
V
)
VC
IL
D, %
18 18
3-Level FC Converter Time Constants for D=0
For D=0, characteristic polynomial
Once the roots are found, the equivalent continuous system time
constants are
Using small parameter and sine
series expansion
logarithm approximations become
The remarkable fact is that the solutions also hold for converter / load
parameters that deliver aperiodic step response (!) -
( ) ( )
PWM
PWM
PWM
T
T
T P

2 exp
2
sin 2 1 exp 2 ) (
2
2
2
2
+
|
|

\
|
|

\
|
+ =
); ln( / ) 0 (
1 1

PWM
T T =
( )
L PWM PWM
T T T / 25 . 0 5 . 0 sin ) / ( = =
C L R / 2 >
) ln( / ) 0 (
2 2

PWM
T T =
) ( ) 3 / 1 ( 2 ln
); ( ) 3 / 1 ( 2 ln
4 3
2
4 3
1


o T
o T
PWM
PWM
+ + + =
+ =
) (
6
1
sin
4 3
x o x x x + =
4501
Page 10
19 19
Small Time Constant Discussion
The load current associated time small constant does not depend on
capacitance, PWM period and duty ratio D
The physical explanation is that averaged on PWM period load voltage
does not depend on capacitor one
R
L
D T T = = ) ( ) 0 (
1 1
For any capacitor
voltage Vc different
from its ideal
balanced value of
Vdc/2, positive
and negative
equal shadowed
areas are cancelled
t
t
0
T
V
L
V
1 S
1 S
1 S 1 S
2 S 2 S
2 S
1 S 1 S 1 S 1 S 2 S 2 S 2 S 2 S 2 S
COM
V
2 /
DC
V
2 /
DC C
V V
C DC
V V 2 /
20 20
Large Time Constant Discussion
Small parameter analysis shows that the large capacitor charge
associated time constant depends on PWM duty ratio D as follows:
The capacitor charge time constant increases with duty ratio and
for
because for the capacitor is totally disconnected
2
2
2
48 ) 0 (
PWM
RT
C L
T =
) 2 1 ( ) 1 (
) 0 (
2 3 1
) 0 (
) (
2
2
3 2
2
2
D D
T
D D
T
D T
+
=
+
=
1 D
) (
2
D T
1 = D
4502
Page 11
21 21
Voltage Balancing Dynamics Solution - I
Approximate average voltage balancing dynamics solution
Normalized decay constant (inverse time constant) for AC PWM is
obtained by averaging that for DC PWM -
Normalized Decay Constant (Inverse Time Constant)
0
0.1
0.2
0.3
0.4
0.5
0.6
0.7
0.8
0.9
1
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
Duty Ratio D, p.u.
Modulation Index M, p.u.
D
e
c
a
y

C
o
n
s
t
a
n
t
,

p
.
u
.
DC (D)
AC (M)
| | ( )
2
/ exp 2 / ) 0 ( 2 / ) ( T t Vdc v Vdc t v + =
v t v ) (
'
=
) exp( ) 0 ( ) (
0
t v t v dt t
T
T
) (
1
0
0

=
(

=

d v t v
t
) ( exp ) 0 ( ) (
0
Normalized Capacitor Time Constant
0
0.5
1
1.5
2
2.5
3
3.5
4
4.5
5
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
DutyRatio D, p.u.
Modulation Index M, p.u.
C
a
p
a
c
i
t
o
r

C
h
a
r
g
e

T
i
m
e

C
o
n
s
t
a
n
t
,

p
.
u
.
DC (D) AC (M)
22 22
Voltage Balancing Dynamics Solution - II
Calculating
requires averaging and terms due to
No fundamental AC frequency dependence
dt t
T
T
) (
1
0
0

=
|

\
|
+
=
3 2 2
2
2
3
8
2
3
1
48
) (
M M RT
C L
M T
PWM

( )
3 2 2
2
2
2 3 1
48
) (
D D RT
C L
D T
PWM
+
=
2
D
3
D ) sin( ) ( t M t D
f
=
Normalized Capacitor Time Constant
0
0.5
1
1.5
2
2.5
3
3.5
4
4.5
5
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
Duty Ratio D, p.u.
Modulation Index M, p.u.
C
a
p
a
c
i
t
o
r

C
h
a
r
g
e

T
i
m
e

C
o
n
s
t
a
n
t
,

p
.
u
.
DC (D) AC (M)
4503
Page 12
23 23
Voltage Balancing Dynamics Solution - III
Accurate vs average AC PWM voltage balancing dynamics solution
| | ( ) ) ( / exp 2 / ) 0 ( 2 / ) (
2
M T t Vdc v Vdc t v + =
-60
-50
-40
-30
-20
-10
0
10
20
30
40
50
60
70
L
o
a
d

c
u
r
r
e
n
t

(
A
)

a
n
d

c
a
p
a
c
i
t
o
r

v
o
l
t
a
g
e

(
V
)
Time, s
FC Converter Simulated Transient - D=0.5COS(1000*t)
Capacitor Voltage Load Current Approx. Cap. Voltage Voltage Command, %
24 24
Simple Voltage Balancing Dynamics Calculation - I
Suppose zero DC bus voltage and ideal switches
Interval topologies and durations
Voltage and current ripples assuming zero load
resistance and capacitor voltage constant on a
PWM period
1 S
1 S
2 S
2 S
2 /
DC
V
2 /
DC
V
C
L R
v
i
i v,
v
i
0
P
I
t
C
V
C
V
P
I
PWM
T
1
t
2
t
3
t
4
t
L R
L R
a
L R
L
i
c
L R
L
i
b
d
L
i
L
i
C
C
+ -
+ -
2 / ) 1 (
2 /
4 2
3 1
PWM
PWM
T D t t
DT t t
= =
= =
For inductance dominated load, ohmic
power loss, W,
) 2 1 ( ) 1 (
48
) (
1
) (
2
2
2 2
0
2
D D
L
R T V
t Rd t i
T
D P
PWM C
T
PWM
PWM
+ = =

4504
Page 13
25 25
Simple Voltage Balancing Dynamics Calculation - II
Continuous derivative approximation of a FC average stored energy
Use the fundamental energy conservation law to derive an FC voltage
balancing dynamics averaged equation
) (
2 2
2 2
D P
dt
V
C d
T
V
C
C
PWM
C
=
|
|

\
|

|
|

\
|

C
PWM C
V D D
C L
R T
dt
dV
) 2 1 ( ) 1 (
48
2
2
2
+ =
) 2 1 ( ) 1 (
48
) (
2 2
2
D D RT
C L
D T
PWM
C
+
=
FC Converter Simulated Transient - D=0; Vdc=0
-20
-10
0
10
20
30
40
50
60
0 0.002 0.004 0.006 0.008 0.01 0.012 0.014
Time, s
L
o
a
d

c
u
r
r
e
n
t

(
A
)

a
n
d

c
a
p
a
c
i
t
o
r

v
o
l
t
a
g
e

(
V
)
VC
IL
This physical energy-
based approach
justifies time averaging
used to derive voltage
balancing time
constant for AC PWM
power loss obtained on
PWM period must be
further averaged on AC
fundamental period
26 26
Single-Leg 4-Level FCC Voltage Balancing
Two DC PWM voltage command intervals
0<D<1/3 and 1/3<D<1
PS PWM interval topologies and durations
for 1/3<D<1
The next step find non-damped (zero load
resistance) free voltage balancing dynamics
1 S
1 S
2 S
2 S
2 /
DC
V
2 /
DC
V
L R
3 S
3 S
1 C 2 C
2 C
v
L
i 1 C
v
2 / ) 3 / 1 (
2 / ) 1 (
4
3 2 1
PWM
PWM
T D t
T D t t t t
=
= = = =
t
t
0
T
V
L
V
1 2 3 4
COM
V
2 /
DC
V
6 /
DC
V
4 4
4505
Page 14
27 27
Non-Damped Voltage Balancing Dynamics - I
Assuming FC voltages constant on a PWM period, calculate piece-wise
linear load current
Calculate FC voltage increments on individual switching subintervals and
on the whole PWM period;
Using "on-average" derivative approximation on a PWM period, obtain
and solve homogeneous linear differential equations for zero loss (non-
dissipative system)
Piece-wise linear load current
2 / ) 1 (
3 2 1 PWM
T D t t t t = = = =
L R
i
L R
i
1
C
1
C
L R
i
2
C
2
C L R
i
i
0
t
PWM
T 3 /
PWM
T 3 / 2
PWM
T
) 1 (
i
) 2 (
i
1 2
3
4 4 4
L t V i /
1
) 1 (
= L t V i /
2
) 2 (
=
28 28
Non-Damped Voltage Balancing Dynamics - II
To calculate FC voltage increments, first find average interval currents
Capacitor voltage increments
L R
i
L R
i
1
C
1
C
L R
i
2
C
2
C L R
i
i
0
t
PWM
T 3 /
PWM
T 3 / 2
PWM
T
) 1 (
i
) 2 (
i
1 2 3 4 4 4
L t V i I
L t V V i i I
L t V i I
/ 5 . 0 5 . 0
/ ) ( 5 . 0 ) ( 5 . 0
/ 5 . 0 5 . 0
2
) 2 ( ) 3 (
2 1
) 2 ( ) 1 ( ) 2 (
1
) 1 ( ) 1 (
= =
+ = + =
= =
2
2
2 ) 3 (
2
) 3 (
1
2
2
2 1 ) 2 (
2
1
2
2 1 ) 2 (
1
) 1 (
2
1
2
1 ) 1 (
1
2
, 0
2
) (
,
2
) (
0 ,
2
LC
t V
v v
LC
t V V
v
LC
t V V
v
v
LC
t V
v

= =
+
=
+
=
=

=
4506
Page 15
29 29
Non-Damped Voltage Balancing Dynamics - III
Capacitor voltage increments on a PWM period ( )
On-average derivatives approximation
Averaged non-damped voltage balancing differential equations for
1/3<D<1
Solution -
2
2
1 ) 3 (
2
) 2 (
2
) 1 (
2 2
1
2
2 ) 3 (
1
) 2 (
1
) 1 (
1 1
2
2
LC
t V
v v v V
LC
t V
v v v V

= + + =

= + + =
2
2
1 2
2
1
2
2 2
1
8
) 1 (
8
) 1 (
LC
T V
D V
LC
T V
D V
PWM
PWM
=
=
2 / ) 1 (
PWM
T D t =
PWM PWM
T
V
dt
dV
V
T
V
dt
dV
V
2 1 '
2
1 1 '
1
;

=

=
(

(
(
(
(

=
(

2
1
2
2
1
2
'
2
'
1
0
8
) 1 (
8
) 1 ( 0
V
V
LC
T
D
LC
T
D
V
V
PWM
PWM
t V C C t V t V
t V C C t V t V


sin ) 0 ( / cos ) 0 ( ) (
sin ) 0 ( / cos ) 0 ( ) (
1 2 1 2 2
2 1 2 1 1
+ =
=
1 3 / 1 ,
8
) 1 (
) (
2 1
2
< <

= D
C C L
D T
D
PWM

3 / 1 0 ,
12
) 3 1 (
) (
2 1
2
<

= D
C C L
D T
D
PWM

30 30
Voltage Balancing Oscillations Time Constant - I
Two flying capacitors exchange excessive "voltage unbalance" energy
by means of load inductance
Small parameter approach - a load resistance is supposed small enough
so that a load ripple current is inductance dominated
Damping time constant evaluation steps:
- calculate piece-wise linear ripple current zero on average;
- average load power loss on a PWM period;
- average load power loss on an oscillations period;
- based on energy conservation law and "on-average" derivative
approximation on an oscillation period, derive damping time
constant expression
( )
( ) t V C C t V
T
t
t V
t V C C t V
T
t
t V


sin ) 0 ( / cos ) 0 ( exp ) (
sin ) 0 ( / cos ) 0 ( exp ) (
1 2 1 2 2
2 1 2 1 1
+ |

\
|
=
|

\
|
=
4507
Page 16
31 31
Voltage Balancing Oscillations Time Constant - II
Piece-wise linear ripple current calculation
Averaging power loss on a PWM period
i
0
t
PWM
T 3 /
PWM
T 3 / 2
PWM
T
) 1 (
i
) 2 (
i
1 2
3 4 4 4
i
0
t
PWM
T 3 /
PWM
T 3 / 2
PWM
T
1 2 3 4 4 4
1
I
2
I
3 0
I I =
L t V i /
1
) 1 (
= L t V i /
2
) 2 (
=
3 / ) (
) 2 ( ) 1 (
i i I
AV
+ =
3 / ) 2 (
3 / ) 2 (
3 / ) ( 0
) 1 ( ) 2 ( ) 2 (
2
) 2 ( ) 1 ( ) 1 (
1
) 2 ( ) 1 (
3 0
i i I i I
i i I i I
i i I I I
AV
AV
AV
= =
= =
+ = = =
3 / ) (
2
2 2 1
2
1
2
12
I I I I I + + =
18
3 1
) (
2 1
2
2
2
1
2
D
i i i i I
+
+ =
2 / ) 3 / 1 (
2 / ) 1 (
4
3 2 1
PWM
PWM
T D t
T D t t t
=
= = =
32 32
Voltage Balancing Oscillations Time Constant - III
Power loss averaged on a PWM period
Averaging power loss on an oscillations period
Damping time constant derivation
2
2 2
2 1
2
2
2
1
72
) 3 1 ( ) 1 (
) (
L
R T D D
V V V V P
PWM
PWM
+
+ =
0 ) 0 (
) 0 (
2
1
=
=
V
V V
t V C C t V
t V t V

sin / ) (
cos ) (
2 1 2
1
=
=
2 /
2 2
1
V V =
) 2 /(
2 1
2 2
2
C C V V =
0
2 1
= V V
2
2
2
2 1
2 2
144
) ( ) 3 1 ( ) 1 (
) ( V
C L
C C R T D D
D P
PWM
OSC
+ +
=
( ) ) ( 2 /
2
1
D P V C
dt
d
OSC
=
V
C C L
C C R T D D
dt
dV
PWM
2 1
2
2 1
2 2
144
) ( ) 1 )( 3 1 ( + +
=
4508
Page 17
33 33
SL 4L FCC Voltage Balancing Dynamics - I
Averaged voltage balancing dynamics approximate solution
For DC PWM
For AC PWM, the oscillations frequency and time constant are obtained
by averaging on a fundamental AC period for 0<M<1/3
} sin ]
3
) 0 ( [ / cos ]
3
2
) 0 ( {[ exp
3
2
) (
} sin ]
3
2
) 0 ( [ / cos ]
3
) 0 ( {[ exp
3
) (
1 2 1 2 2
2 1 2 1 1
t
V
V C C t
V
V
T
t V
t V
t
V
V C C t
V
V
T
t V
t V
DC DC DC
DC DC DC


+ |

\
|
+ =
|

\
|
+ =
1 3 / 1 ,
8
) 1 (
) (
2 1
2
< <

= D
C C L
D T
D
PWM

3 / 1 0 ,
12
) 3 1 (
) (
2 1
2
<

= D
C C L
D T
D
PWM
3 / 1 0 ,
) )( 9 5 (
648
) (
2 1
2 2
2 1
2
<
+
= D
C C D RT
C C L
D T
PWM
1 3 / 1 ,
) )( 3 1 ( ) 1 (
144
) (
2 1
2 2
2 1
2
<
+ +
= D
C C D D RT
C C L
D T
PWM
2 1
2
12
) 5 . 1 1 (
) (
C C L
M T
M
PWM

= .
) )( 5 . 4 5 (
648
) (
2 1
2 2
2 1
2
C C M RT
C C L
M T
PWM
+
=
34 34
SL 4L FCC Voltage Balancing Dynamics - II
Averaged voltage balancing dynamics approximate solution
Angular Frequency for DC and AC PWM
0
0.1
0.2
0.3
0.4
0.5
0.6
0.7
0.8
0.9
1
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
Normalized Voltage Command D, p.u.
Modulation Index M, p.u.
N
o
r
m
a
l
i
z
e
d

F
r
e
q
u
e
n
c
y
,

p
.
u
.
DC PWM
AC PWM
Time Constant for DC and AC PWM
0
1
2
3
4
5
6
7
8
9
10
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
Normalized Voltage Command D, p.u.
Modulation Index, p.u.
N
o
r
m
a
l
i
z
e
d

T
i
m
e

C
o
n
s
t
a
n
t
,

p
.
u
.
DC PWM
AC PWM
FC Converter Load Current and Capacitor Voltages (D=1/3)
-20
-10
0
10
20
30
40
50
60
70
80
90
100
110
120
0 0.02 0.04 0.06 0.08 0.1 0.12 0.14 0.16 0.18 0.2
Time, s
a
C
u
r
r
e
n
t
a
n
d
V
o
lt
a
g
e
s
Load Current V2 Capacitor Voltage V1 Capacitor Voltage
FC Converter Load Current and Capacitor Voltages (D=2/3)
-20
-10
0
10
20
30
40
50
60
70
80
90
100
110
120
0 0.02 0.04 0.06 0.08 0.1 0.12 0.14 0.16 0.18 0.2
Time, s
b
C
u
r
r
e
n
t
a
n
d
V
o
lta
g
e
s
Load Current V2 Capacitor Voltage V1 Capacitor Voltage
4509
Page 18
35 35
SL 4L FCC Voltage Balancing Dynamics - III
Zero DC bus voltage; AC PWM
FC Converter Load Current and Capacitor Voltages (D=2/3)
-50
-40
-30
-20
-10
0
10
20
30
40
50
60
70
0 0.02 0.04 0.06 0.08 0.1 0.12 0.14 0.16 0.18 0.2
Time, s
a
C
u
r
r
e
n
t

a
n
d
V
o
l
t
a
g
e
s
Load Current V2 Capacitor Voltage V1 Capacitor Voltage
FC Converter Load Current and Capacitor Voltages (D=2/3)
-60
-50
-40
-30
-20
-10
0
10
20
30
40
0 0.02 0.04 0.06 0.08 0.1 0.12 0.14 0.16 0.18 0.2
Time, s
b
C
u
r
r
e
n
t
a
n
d
V
o
l
t
a
g
e
s
Load Current V2 Capacitor Voltage V1 Capacitor Voltage
FC Converter Load Current and Capacitor Voltages (M=0.25)
-30
-20
-10
0
10
20
30
40
50
60
70
80
90
100
110
120
130
140
0 0.02 0.04 0.06 0.08 0.1 0.12 0.14 0.16 0.18 0.2
Time, s
a
C
u
r
r
e
n
t

a
n
d

V
o
l
t
a
g
e
s
Load Current V2 Capacitor Voltage V1 Capacitor Voltage
FC Converter Load Current and Capacitor Voltages (M=0.75)
-30
-20
-10
0
10
20
30
40
50
60
70
80
90
100
110
120
130
140
0 0.02 0.04 0.06 0.08 0.1 0.12 0.14 0.16 0.18 0.2
Time, s
b
C
u
r
r
e
n
t

a
n
d

V
o
l
t
a
g
e
s
Load Current V2 Capacitor Voltage V1 Capacitor Voltage
36 36
SL 4L FCC Voltage Balancing Dynamics - IV
Lead and lag modulation strategies
} sin ]
3
) 0 ( [ / cos ]
3
2
) 0 ( {[ exp
3
2
) (
} sin ]
3
2
) 0 ( [ / cos ]
3
) 0 ( {[ exp
3
) (
1 2 1 2 2
2 1 2 1 1
t
V
V C C t
V
V
T
t V
t V
t
V
V C C t
V
V
T
t V
t V
DC DC DC
DC DC DC


|

\
|
+ =
|

\
|
+ = m
FC Converter Load Current and Capacitor Voltages (D=0.5)
-20
-10
0
10
20
30
40
50
60
70
80
90
100
110
120
0 0.02 0.04 0.06 0.08 0.1 0.12 0.14 0.16 0.18 0.2
Time, s
a
C
u
r
r
e
n
t a
n
d
V
o
lta
g
e
s
Load Current V1 Capacitor Voltage V2 Capacitor Voltage
FC Converter Load Current and Capacitor Voltages (D=0.5)
-20
-10
0
10
20
30
40
50
60
70
80
90
100
110
120
130
0 0.02 0.04 0.06 0.08 0.1 0.12 0.14 0.16 0.18 0.2
Time, s
b
C
u
r
r
e
n
t a
n
d
V
o
lta
g
e
s
Load Current V1 Capacitor Voltage V2 Capacitor Voltage
4510
Page 19
37 37
Outline Part II
2. Time Averaging Analysis of a Flying Capacitor
Converter (FCC) Natural Voltage Balancing Dynamics
2.1. Overview of FCC topologies, modulation strategies,
and average natural voltage balancing dynamics analysis
methods
2.2. FCC average voltage balancing dynamics time
domain analysis using small parameter technique
2.3. Voltage balancing dynamics of 3-, 4-, 5-, 6- and
7-level single-leg FCC for DC and AC PWM
2.4. Voltage balancing dynamics of 3- and 4-level
symmetric H-bridge FCC for DC and AC PWM
2.5. Flying capacitors self-precharge in FCC
38 38
SL 3L FCC Voltage Balancing Dynamics
PS PWM is good, lead and lag is basically the same PWM strategy
1 S
1 S
2 S
2 S
2 /
DC
V
2 /
DC
V
C
L R
v
i
t
t
0
T
V
L
V
1 S
1 S
1 S 1 S
2 S 2 S 2 S
1 S 1 S 1 S 1 S 2 S 2 S 2 S 2 S 2 S
1 2 3 4 4
COM
V
2 /
DC
V
| | ( )
2
/ exp 2 / ) 0 ( 2 / ) ( T t Vdc v Vdc t v + =
Normalized Capacitor Time Constant
0
0.5
1
1.5
2
2.5
3
3.5
4
4.5
5
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
Duty Ratio D, p.u.
Modulation Index M, p.u.
C
a
p
a
c
i
t
o
r

C
h
a
r
g
e

T
i
m
e

C
o
n
s
t
a
n
t
,

p
.
u
.
DC (D) AC (M)
4511
Page 20
39 39
SL 4L FCC Voltage Balancing Dynamics
1 S
1 S
2 S
2 S
2 /
DC
V
2 /
DC
V
L R
3 S
3 S
1 C 2 C
2 C
v
L
i 1 C
v
} sin ]
3
) 0 ( [ / cos ]
3
2
) 0 ( {[ exp
3
2
) (
} sin ]
3
2
) 0 ( [ / cos ]
3
) 0 ( {[ exp
3
) (
1 2 1 2 2
2 1 2 1 1
t
V
V C C t
V
V
T
t V
t V
t
V
V C C t
V
V
T
t V
t V
DC DC DC
DC DC DC


|

\
|
+ =
|

\
|
+ = m
Angular Frequency for DC and AC PWM
0
0.1
0.2
0.3
0.4
0.5
0.6
0.7
0.8
0.9
1
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
Normalized Voltage Command D, p.u.
Modulation Index M, p.u.
N
o
r
m
a
l
iz
e
d
F
r
e
q
u
e
n
c
y
, p
.u
.
DC PWM
AC PWM
Time Constant for DC and AC PWM
0
1
2
3
4
5
6
7
8
9
10
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
Normalized Voltage Command D, p.u.
Modulation Index, p.u.
N
o
r
m
a
liz
e
d
T
im
e
C
o
n
s
t
a
n
t
, p
.u
.
DC PWM
AC PWM
40 40
SL 5L FCC Voltage Balancing Dynamics - I
Topology and PS PWM strategy (0.5<D<1)
1 S
1 S
2 S
2 S
2 /
DC
V
2 /
DC
V
L R
3 S
3 S
1 C 2 C
2 C
v
L
i 1 C
v
3 C
3 C
v
4 S
4 S
t
t
0
T
V
L
V
COM
V
2 /
DC
V
1 1 2 3 4 5 5 5 5 5
4 /
DC
V
L R
i
2 /
DC
V
L R
i
2 /
DC
V
1
C
2
C
3
C
L R
i
2 /
DC
V
L R
i
2 /
DC
V
1
C
2
C
3
C
PWM
T
D
t t t t
2
) 1 (
4 3 2 1

= = = =
PWM
T
D
t
2
) 2 / 1 (
5

=
4512
Page 21
41 41
SL 5L FCC Voltage Balancing Dynamics - II
Non-damped averaged differential equations and their solution
(0.5<D<1)
(
(
(

(
(
(

=
(
(
(

3
2
1
3
2 2
1 1
2
3
2
1
0 / 1 0
/ 1 0 / 1
0 / 1 0
8
) 1 (
V
V
V
C
C C
C
L
D T
V
V
V
PWM
&
&
&
3 1
3 3 1 1
2
3 1 3
1 2
3 1
1 3 1
3
3 1
3 3 1 1
2
3 1 1
3 2
3 1
3 1 3
1
3 1
2 3 1
3 1
2 2
) 0 ( ) 0 (
sin ) 0 (
) (
cos
)] 0 ( ) 0 ( [
) (
) 0 ( ) 0 (
sin ) 0 (
) (
cos
)] 0 ( ) 0 ( [
) (
sin )] 0 ( ) 0 ( [
) (
cos ) 0 ( ) (
C C
V C V C
t V
C C C
C C
t
C C
V V C
t V
C C
V C V C
t V
C C C
C C
t
C C
V V C
t V
t V V
C C C
C C
t V t V
+
+
+
+

=
+
+
+
+
+
+

+
=



1 5 . 0 ,
8
) 1 (
) (
13 2
2
<

= D
C C L
D T
D
PWM
5 . 0 0 ,
16
) 2 1 (
) (
13 2
2
<

= D
C C L
D T
D
PWM

3 1
3 1
13
C C
C C
C
+
=
42 42
SL 5L FCC Voltage Balancing Dynamics - III
Aperiodic time constant (V1=V3=V for simple methodology)
5 . 0 0 ,
) 4 3 (
) ( 48
) (
2 2
3 1
2
<

+
= D
D D RT
C C L
D T
PWM
A
Aperiodic Time Constant for DC and AC PWM
0
1
2
3
4
5
6
7
8
9
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
Normalized Voltage Command D, p.u.
Modulation Index M, p.u.
N
o
r
m
a
l
i
z
e
d

T
i
m
e

C
o
n
s
t
a
n
t
,

p
.
u
.
DC PWM
AC PWM
+
-
L R
d
i
+ -
a
L R
i
+ -
e
2 /
DC
V
2 /
DC
V
+ -
-
+
L R
i
+ -
c
2 /
DC
V
2
C
L R
i
+ -
2 /
DC
V
+ -
1
C
b
2
C
+
-
+
-
3
C
L R
i
+ -
2 /
DC
V
+ -
-
+
3
C
2
C
1
C
3
C
+ -
1
C L R
i
+ -
f
2 /
DC
V
+ -
2
C
3
C
+ -
1
C
-
+
1 5 . 0 ,
) 1 4 ( ) 1 (
) ( 48
) (
2 2
3 1
2
<

+
= D
D D RT
C C L
D T
PWM
A
Aperiodic time constant tends to
infinity for D->0
Physical explanation is based on
zero voltage states consideration
4513
Page 22
43 43
SL 5L FCC Voltage Balancing Dynamics - IV
Periodic time constant
5 . 0 0 ,
)] 2 ( 2 ) 6 ( 3 16 [
) ( 384
) (
2 3 2
2
3 1
< <
+ + +
+
= D
F D F D RT
L C C
D T
PWM
P
1 5 . 0 ,
] 6 ) 1 8 [( ) 1 (
) ( 384
) (
2 2
2
3 1
< <
+ +
+
= D
F D D RT
L C C
D T
PWM
P
1
3
3
1
2
3 1
3 2 1
) , , (
C
C
C
C
C
C C
C C C F F + +
+
= =
Angular Frequency for DC and AC PWM
0
0.1
0.2
0.3
0.4
0.5
0.6
0.7
0.8
0.9
1
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
Normalized Voltage Command D, p.u.
Modulation Index M, p.u.
a
N
o
r
m
a
l
i
z
e
d

F
r
e
q
u
e
n
c
y
,

p
.
u
.
DC PWM AC PWM
Periodic Time Constant for DC and AC PWM
0
1
2
3
4
5
6
7
8
9
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
Normalized Voltage Command D, p.u.
Modulation Index M, p.u.
N
o
r
m
a
l
i
z
e
d

T
i
m
e

C
o
n
s
t
a
n
t
,

p
.
u
.
DC PWM
AC PWM
44 44
SL 5L FCC Voltage Balancing Dynamics - V
Free damped solution
For lag modulation strategy, change the signs of sine terms
To incorporate a non-zero DC bus voltage (forced solution), add the
balanced capacitor voltage values and replace the initial conditions
according to
|
|

\
|

+
+
+
+

|
|

\
|
=
|
|

\
|

+
+
+
+
+
+

|
|

\
|
=

|
|

\
|
=
A P
A P
P
T
t
C C
V C V C
t V
C C C
C C
t
C C
V V C
T
t
t V
T
t
C C
v V V C
t V
C C C
C C
t
C C
V V C
T
t
t V
t V V
C C C
C C
t V
T
t
t V
exp
) 0 ( ) 0 (
} sin ) 0 (
) (
cos
)] 0 ( ) 0 ( [
{ exp ) (
exp
) 0 ( ) 0 (
} sin ) 0 (
) (
cos
)] 0 ( ) 0 ( [
{ exp ) (
} sin )] 0 ( ) 0 ( [
) (
cos ) 0 ( { exp ) (
3 1
3 3 1 1
2
3 1 3
1 2
3 1
1 3 1
3
3 1
3 3 1 1
2
3 1 1
3 2
3 1
3 1 3
1
3 1
2 3 1
3 1
2 2



4 / 3 ) 0 ( ) 0 (
; 2 / ) 0 ( ) 0 ( ; 4 / ) 0 ( ) 0 (
3 3
2 2 1 1
DC
DC DC
V v v
V v v V v v


4514
Page 23
45 45
SL 5L FCC Voltage Balancing Dynamics - VI
DC PWM forced solutions
FC Converter Load Current and Capacitor Voltages (D=0)
-30
-20
-10
0
10
20
30
40
50
60
70
80
90
100
110
0 0.02 0.04 0.06 0.08 0.1 0.12 0.14 0.16 0.18 0.2
Time, s
a
C
u
r
r
e
n
t
a
n
d
V
o
lt
a
g
e
s
Load Current V2 Capacitor Voltage V1 Capacitor Voltage V3 Capacitor Voltage
FC Converter Load Current and Capacitor Voltages (D=0.5)
-30
-20
-10
0
10
20
30
40
50
60
70
80
90
100
110
0 0.02 0.04 0.06 0.08 0.1 0.12 0.14 0.16 0.18 0.2
Time, s
b
C
u
r
r
e
n
t
a
n
d
V
o
lt
a
g
e
s
Load Current V2 Capacitor Voltage V1 Capacitor Voltage V3 Capacitor Voltage
FC Converter Load Current and Capacitor Voltages (D=0.5)
-60
-50
-40
-30
-20
-10
0
10
20
30
40
50
60
70
80
0 0.02 0.04 0.06 0.08 0.1 0.12 0.14 0.16 0.18 0.2
Time, s
a
C
u
r
r
e
n
t
a
n
d
V
o
lt
a
g
e
s
Load Current V2 Capacitor Voltage V1 Capacitor Voltage V3 Capacitor Voltage
FC Converter Load Current and Capacitor Voltages (D=0.5)
-20
-10
0
10
20
30
40
50
60
70
0 0.02 0.04 0.06 0.08 0.1 0.12 0.14 0.16 0.18 0.2
Time, s
b
C
u
r
r
e
n
t
a
n
d
V
o
lt
a
g
e
s
Load Current V2 Capacitor Voltage V1 Capacitor Voltage V3 Capacitor Voltage
DC PWM free solutions
46 46
SL 5L FCC Voltage Balancing Dynamics - VII
Lead / lag DC PWM solutions
AC PWM free solutions
FC Converter Load Current and Capacitor Voltages (D=0.25)
-30
-20
-10
0
10
20
30
40
50
60
70
80
90
100
110
0 0.02 0.04 0.06 0.08 0.1 0.12 0.14 0.16 0.18 0.2
Time, s
a
C
u
r
r
e
n
t
a
n
d
V
o
lt
a
g
e
s
Load Current V2 Capacitor Voltage V1 Capacitor Voltage V3 Capacitor Voltage
FC Converter Load Current and Capacitor Voltages (D=0.25)
-30
-20
-10
0
10
20
30
40
50
60
70
80
90
100
110
0 0.02 0.04 0.06 0.08 0.1 0.12 0.14 0.16 0.18 0.2
Time, s
b
C
u
r
r
e
n
t
a
n
d
V
o
lt
a
g
e
s
Load Current V2 Capacitor Voltage V1 Capacitor Voltage V3 Capacitor Voltage
FC Converter Load Current and Capacitor Voltages (M=0.2)
-30
-20
-10
0
10
20
30
40
50
60
70
80
90
100
110
0 0.02 0.04 0.06 0.08 0.1 0.12 0.14 0.16 0.18 0.2
Time, s
C
u
r
r
e
n
t
a
n
d

V
o
lt
a
g
e
s
Load Current V2 Capacitor Voltage V1 Capacitor Voltage V3 Capacitor Voltage
FC Converter Load Current and Capacitor Voltages (M=0.5)
-30
-20
-10
0
10
20
30
40
50
60
70
80
90
100
110
0 0.02 0.04 0.06 0.08 0.1 0.12 0.14 0.16 0.18 0.2
Time, s
C
u
r
r
e
n
t
a
n
d
V
o
l
t
a
g
e
s
Load Current V2 Capacitor Voltage V1 Capacitor Voltage V3 Capacitor Voltage
4515
Page 24
47 47
SL 6L FCC Voltage Balancing Dynamics - I
Topology and PS PWM strategy (3/5<D<1)
PWM
T
D
t
2
) 5 / 3 (
6

=
1 S
1 S
2 S
2 S
2 /
DC
V
2 /
DC
V
L R
3 S
3 S
2 C
v
L
i
1 C
v
3 C
v
4 S
4 S
5 S
5 S
4 C
v
4
C 3
C
2
C
1
C
t
t
0
T
V
L
V
COM
V
2 /
DC
V
1 2 3 4 5 1 2 6 6 6 6 6 6
10 / 3
DC
V
10 /
DC
V
2 / ) 1 (
5 4 3 2 1 PWM
T D t t t t t = = = = =
L R
i
L R
i
2 /
DC
V
2 /
DC
V
1
C
L R
i
2 /
DC
V
2
C
L R
i
2 /
DC
V
L R
i
2 /
DC
V
1
C
2
C
3
C
4
C
L R
i
2 /
DC
V
3
C
4
C
Other voltage
command
intervals
1/5<D<3/5;
0<D<1/5
Each capacitor
voltage is
comprised of 2
damped sine /
cosine terms
48 48
SL 6L FCC Voltage Balancing Dynamics - II
Non-damped solution
3/5<D<1 0<D<1/5 and 1/5<D<3/5
Skew-symmetric matrices with biquadratic characteristic equation
Two pairs of complex conjugate eigenvalues
Non-damped free solution
4 ... 1 ; cos sin cos sin ) (
2 2 2 2 1 1 1 1
= + + + = i t c t s t c t s t v
i i i i i

| |
T
t v t v t v t v t X X X t X D A t X ) ( ) ( ) ( ) ( ) ( ; ) 0 ( ); ( ) ( ) (
4 3 2 1 0
'
= = =
(
(
(
(
(
(
(
(
(

=
0
1
0 0
1
0
1
0
0
1
0
1
0 0
1
0
8
) 1 (
) (
4
3 3
2 2
1
2
C
C C
C C
C
L
T D
D A
PWM
(
(
(
(
(
(
(
(
(

=
0
) ( ) ( ) (
) (
0
) ( ) (
) ( ) (
0
) (
) ( ) ( ) (
0
8
) (
4 4 4
3 3 3
2 2 2
1 1 1
C
D a
C
D b
C
D b
C
D a
C
D a
C
D b
C
D b
C
D a
C
D a
C
D b
C
D b
C
D a
L
T
D A
PWM
4516
Page 25
49 49
SL 6L FCC Voltage Balancing Dynamics - III
DC PWM frequencies and time constants
6-Level Single-Leg FC Converter Normalized Frequencies
0
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
Normalized Voltage Command D, p.u.
a
F
r
e
q
u
e
n
c
y
,

p
.
u
.
6-Level Single-Leg FC Converter Normalized Time
Constants
0
0.1
0.2
0.3
0.4
0.5
0.6
0.7
0.8
0.9
1
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
Normalized Voltage Command D, p.u.
b
T
i
m
e
C
o
n
s
t
a
n
t
,

p
.
u
.
.
6-Level FC Converter Load Current and Capacitor Voltages (D=0.6)
-20
-10
0
10
20
30
40
50
60
0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4
Time, s
C
u
r
r
e
n
t
a
n
d
V
o
lt
a
g
e
s
Load Current V2 Capacitor Voltage V1 Capacitor Voltage V3 Capacitor Voltage V4 Capacitor Voltage
For 0<D<1/5 and 1/5<D<3/5, sine /
cosine terms coefficients become
dependent on D
Note zero low frequency for D=0.145
Low voltage balancing rate for D=0
Better PWM using other Vdc/10 and
-Vdc/10 states?
50 50
SL 6L FCC Voltage Balancing Dynamics - IV
For AC PWM, due to increased
complexity the analysis ended up with
oscillations frequencies no AC PWM
time constants solution so far
Strict AC PWM time constants and
voltage balancing dynamics solution is
a challenging topic for future research
PWM strategies different from PS
PWM for faster voltage balancing
6-Level Single-Leg FC Converter AC PWM Normalized
Frequencies
0
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
Modulation Index M, p.u.
F
r
e
q
u
e
n
c
y
,

p
.
u
.
6-Level FC Converter Load Current and Capacitor Voltages (M=0.1;
f=50Hz)
-10
0
10
20
30
40
50
60
0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4
Time, s
b
C
u
r
r
e
n
t
a
n
d
V
o
lt
a
g
e
s
Load Current V2 Capacitor Voltage V1 Capacitor Voltage V3 Capacitor Voltage V4 Capacitor Voltage
6-Level FC Converter Load Current and Capacitor Voltages (M=0.2;
f=50Hz)
-10
0
10
20
30
40
50
60
0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4
Time, s
c
C
u
r
r
e
n
t
a
n
d
V
o
lt
a
g
e
s
Load Current V2 Capacitor Voltage V1 Capacitor Voltage V3 Capacitor Voltage V4 Capacitor Voltage
4517
Page 26
51 51
SL 7L FCC Voltage Balancing Dynamics - I
PS PWM strategy (2/3<D<1)
PWM
T
D
t
2
) 3 / 2 (
7

=
2 / ) 1 (
6 5 4 3 2 1 PWM
T D t t t t t t = = = = = =
Other voltage
command
intervals
1/3<D<2/3;
0<D<1/3
Two damped
sine / cosine
terms and
aperiodic
components
1 S
1 S
2 S
2 S
2 /
DC
V
2 /
DC
V
L R
3 S
3 S
1 C 2 C
2 C
v
L
i
1 C
v
3 C
3 C
v
4 S
4 S
5 S
5 S
4 C
4 C
v
5 C
6 S
6 S
5 C
v
t
t
0
T
V
L
V
COM
V
2 / DC V
1 2 3 4 5 1
3 / DC V
6 / DC V
7 7 7 7 7 7 6
52 52
SL 7L FCC Voltage Balancing Dynamics - II
DC PWM frequencies and time constants
For 0<D<1/3 and 1/3<D<2/3, sine /
cosine terms coefficients become
dependent on D
Significant complexity increase
compared with single-leg 3-, 4-,
and 5-level FC converters
Infinite time constants periodic for
D=0 and aperiodic for D=1/3
0
0.1
0.2
0.3
0.4
0.5
0.6
0.7
0.8
0.9
1
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
N
o
r
m
a
l
i
z
e
d
F
r
e
q
u
e
n
c
i
e
s
,
p
.
u
.
Normalized Voltage Command, p.u.
7-Level Single-Leg FC Converter Oscillation
Frequencies
0
2
4
6
8
10
12
14
16
18
20
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
N
o
r
m
a
l
i
z
e
d

T
i
m
e

C
o
n
s
t
a
n
t
s
,

p
.
u
.
Normalized Voltage Command D, p.u.
7-Level Single-Leg FC Converter Time Constants
0
2
4
6
8
10
12
14
16
18
20
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
N
o
r
m
a
l
i
z
e
d

F
r
e
q
u
e
n
c
i
e
s
,

p
.
u
.
Normalized Voltage Command, p.u.
7-Level Single-Leg FC Converter Aperiodic Time
Constant
4518
Page 27
53 53
SL 7L FCC Voltage Balancing Dynamics - III
Infinite aperiodic time constant
for D=1/3
PS PWM employs 6 Vdc/6
(D=1/3) states
The system: V2=0; V3-V1=0;
V4-V2=0; V5-V3=0; -V4=0;
-V5+V1=0 does not have unique
solution V1=V2=V3=V4=V5=0
The solution V2=V4=0,
V1=V3=V5=V
Better PWM using other Vdc/6
(D=1/3) states of 15 possible?
0
2
4
6
8
10
12
14
16
18
20
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
N
o
r
m
a
l
i
z
e
d

F
r
e
q
u
e
n
c
i
e
s
,

p
.
u
.
Normalized Voltage Command, p.u.
7-Level Single-Leg FC Converter Aperiodic Time
Constant
54 54
SL 7L FCC Voltage Balancing Dynamics - IV
Infinite periodic time constant
for D=0
PS PWM employs 6 zero
(D=0) states
The system: V5+V2=0; V3=0;
V4-V1=0; V5-V2=0; -V3=0;
-V4+V1=0 does not have unique
solution V1=V2=V3=V4=V5=0
The solution V1=V4=A, V2=V5=B
Better PWM using other zero
(D=0) states of 20 possible?
0
2
4
6
8
10
12
14
16
18
20
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
N
o
r
m
a
l
i
z
e
d

T
i
m
e

C
o
n
s
t
a
n
t
s
,

p
.
u
.
Normalized Voltage Command D, p.u.
7-Level Single-Leg FC Converter Time Constants
4519
Page 28
55 55
Outline Part II
2. Time Averaging Analysis of a Flying Capacitor
Converter (FCC) Natural Voltage Balancing Dynamics
2.1. Overview of FCC topologies, modulation strategies,
and average natural voltage balancing dynamics analysis
methods
2.2. FCC average voltage balancing dynamics time
domain analysis using small parameter technique
2.3. Voltage balancing dynamics of 3-, 4-, 5-, 6- and 7-
level single-leg FCC for DC and AC PWM
2.4. Voltage balancing dynamics of 3- and 4-level
symmetric H-bridge FCC for DC and AC PWM
2.5. Flying capacitors self-precharge in FCC
56 56
HB 3L FCC Voltage Balancing Dynamics - I
PS PWM strategy (0<D<0.5)
DC
V
V 0
2 S
L R
1 C 2 C
1 S
2 S
1 S
4 S
3 S
3 S
4 S
i
1
v
2
v
t
T
V
C
V
C
V
t
2 /
DC
V
L
V
1234 4 3 12 4 3 2 1 4 3 2 1 4 3 2 1 4 3 2 1 4 3 2 1 4 123 4 3 2 1
PWM
T
D
t t t t
2
7 5 3 1
= = = =
PWM
T
D
t t t t
2
5 . 0
8 6 4 2

= = = =
L R
L R
i
2 C
2
v
L R
i 1 C
1
v
1
v
1 C
i
L R
i 2 C
2
v
DC
V
DC
V
Vdc/2 (D=0.5) switching states
4520
Page 29
57 57
HB 3L FCC Voltage Balancing Dynamics - II
Load time constant
Voltage balancing time constants
Differential and common mode voltages
Voltage balancing dynamics
R
L
D T = ) (
1
) 2 1 ( ) 1 (
48
) (
2 2
2
2
D D RT
C L
D T
PWM
+
=
1 5 . 0 ,
) 1 4 ( ) 1 (
96
) (
5 . 0 0 ,
) 4 3 (
96
) (
2 2
2
3
2 2
2
3
<

=
<

=
D
D D RT
C L
D T
D
D D RT
C L
D T
PWM
PWM
2 / 2 / ) (
; 2 / ) (
2 1
2 1
DC c
d
V v v v
v v v
+ =
=
) / exp( ) 0 ( ) (
) / exp( ) 0 ( ) (
3
2
T t v t v
T t v t v
c c
d d
=
=
) / exp( ) 0 ( ) / exp( ) 0 ( 2 / ) (
) / exp( ) 0 ( ) / exp( ) 0 ( 2 / ) (
3 2 2
3 2 1
T t v T t v V t v
T t v T t v V t v
c d DC
c d DC
+ =
+ + =
58 58
HB 3L FCC Voltage Balancing Dynamics - III
Voltage balancing time constants for AC PWM
|

\
|
+
=
3 2 2
2
2
3
8
2
3
1
48
) (
M M RT
C L
M T
PWM

5 . 0 0 ,
9
32
64
) (
3 2 2
2
3
<
|

\
|

= M
M M RT
C L
M T
PWM

Differential Mode Time Constant for DC and AC Modulation


0
1
2
3
4
5
6
7
8
9
10
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
Normalized Voltage Command D / Modulation Index M, p.u.
N
o
r
m
a
l
i
z
e
d

T
i
m
e

C
o
n
s
t
a
n
t
,

p
.
u
.
T2(D)
T2(M)
Common Mode Time Constant for DC and AC Modulation
0
1
2
3
4
5
6
7
8
9
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
Normalized Voltage Command D / Modulation Index M, p.u.
N
o
r
m
a
l
i
z
e
d

T
i
m
e

C
o
n
s
t
a
n
t
,

p
.
u
.
T3(D)
T3(M)
4521
Page 30
59 59
HB 3L FCC Voltage Balancing Dynamics - IV
Infinite common mode time constant for D=0
PS PWM zero voltage states
No energy dissipation the steady state is V1=V2=V
Improvement direction explore the use of 2 zero voltage states not
employed by PS PWM
L R
i
2 C
2
v
L R
i 1 C
1
v
1 C
1
v
2 C
2
v
L R
i
L R
i
t
T
V
C
V
C
V
t
2 /
DC
V
L
V
1234 4 3 12 4 3 2 1 4 3 2 1 4 3 2 1 4 3 2 1 4 3 2 1 4 123 4 3 2 1
b
L R
i 2 C
2
v
+
-
+
-
DC
V
1
v
1 C
+ -
a
L R
i 2 C
2
v
+
- -
+
DC
V
1
v
1 C
+ -
60 60
HB 3L FCC Voltage Balancing Dynamics - V
Switched simulation vs analytical approximations
FC Converter Load Current and Capacitor Voltages (D=0.25)
-10
0
10
20
30
40
50
60
0 0.01 0.02 0.03 0.04 0.05 0.06 0.07 0.08 0.09 0.1
Time, s
a
C
u
r
r
e
n
t

a
n
d

V
o
l
t
a
g
e
s
V1 Capacitor Voltage V2 Capacitor Voltage Load Current
FC Converter Load Current and Capacitor Voltages (D=0.75)
-10
0
10
20
30
40
50
60
0 0.01 0.02 0.03 0.04 0.05 0.06 0.07 0.08 0.09 0.1
Time, s
c
C
u
r
r
e
n
t
a
n
d
V
o
lt
a
g
e
s
Load Current V1 Capacitor Voltage V2 Capacitor Voltage
FC Converter Transients - D=0.5COS(250*t)
-30
-20
-10
0
10
20
30
40
50
60
70
80
90
100
0 0.01 0.02 0.03 0.04 0.05 0.06 0.07 0.08 0.09 0.1
Time, s
a
C
u
r
r
e
n
t
a
n
d
V
o
l
t
a
g
e
s
V1 Capacitor Voltage V2 Capacitor Voltage Load Current
FC Converter Transients - D=0.5COS(250*t)
-30
-20
-10
0
10
20
30
40
50
60
70
0 0.01 0.02 0.03 0.04 0.05 0.06 0.07 0.08 0.09 0.1
Time, s
b
C
u
r
r
e
n
t

a
n
d

V
o
l
t
a
g
e
s
V1 Capacitor Voltage V2 Capacitor Voltage Load Current
4522
Page 31
61 61
Mirror Hypothesis Formalism for Half-Bridge FCC
Fast differential mode voltage balancing dynamics is of less practical
importance
Common mode voltage balancing dynamics for an H-bridge FCC with
PS DC PWM may be formally derived from that of a single-leg FCC
prototype with PS DC PWM
For 0.5<D<1, a symmetric H-bridge FCC common mode voltage
balancing dynamics parameters (frequencies and time constants) are
derived from its single-leg prototype by the following substitutions
For 0<D<0.5, CM voltage balance parameters are derive from those
for 0.5<D<1 by substitution
Mirror symmetry around D=0.5
; 1 2 D D ; 2 /
PWM PWM
T T
i i
C C 2
D D 1
62 62
Mirror Hypothesis Discussion
The physical meaning:
- maps H-bridge 0.5<D<1 interval
into single-leg 0<D<1 interval;
- accounts for the fact that for the same switching
frequency H-bridge apparent load frequency is two times higher;
- reflects that H-bridge common mode capacitance is
twice that of the single-leg prototype
D D 1 2
PWM PWM
T T 2 /
i i
C C 2
4523
Page 32
63 63
3-Level H-Bridge FCC by Mirror Hypothesis
3-Level Single-Leg 3-Level H-Bridge
1 0 ,
) 2 1 ( ) 1 (
48
) (
2 2
2
<
+
= D
D D RT
C L
D T
PWM
1 5 . 0 ,
) 1 4 ( ) 1 (
96
) (
; 5 . 0 0 ,
) 4 3 (
96
) (
2 2
2
2 2
2
<

=
<

=
D
D D RT
C L
D T
D
D D RT
C L
D T
PWM
c
PWM
c
0
0.5
1
1.5
2
2.5
3
3.5
4
4.5
5
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9
N
o
r
m
a
l
i
z
e
d

T
i
m
e

C
o
n
s
t
a
n
t
s
,

p
.
u
.
Normalized Voltage Command D, p.u.
3-Level H-bridge Common Mode Time Constant
TC
64 64
4-Level H-Bridge FCC by Mirror Hypothesis - I
Four-level H-bridge FCC (b) and its single-leg prototype (a)
1 S
1 S
2 S
2 S
+
-
+
-
L
R
3 S
3 S
1 C 2 C
-
+
-
+
2
DC
V
2
v
1
v
DC
V
L R
3 S
2 S
1 S
1 C 2 C
1 S
2 S
3 S
6 S
5 S
4 S
3 C 4 C
4 S
5 S
6 S
-
+
-
+
-
+
-
+
2
v
1
v
3
v
4
v
+
-
a b
2
DC
V
4524
Page 33
65 65
4-Level H-Bridge FCC by Mirror Hypothesis - II
For 4-Level single-leg
1 3 / 1 ,
8
) 1 (
) (
3 / 1 0 ,
12
) 3 1 (
) (
2 1
2
2 1
2
<

=
<

=
D
C C L
D T
D
D
C C L
D T
D
PWM
PWM

1 3 / 1 ,
) )( 3 1 ( ) 1 (
144
) (
3 / 1 0 ,
) )( 9 5 (
648
) (
2 1
2 2
2 1
2
2 1
2 2
2 1
2
<
+ +
=
<
+
=
D
C C D D RT
C C L
D T
D
C C D RT
C C L
D T
PWM
PWM
} sin ]
3
) 0 ( [ cos ]
3
2
) 0 ( {[
3
2
) (
} sin ]
3
2
) 0 ( [ cos ]
3
) 0 ( {[
3
) (
1
2
1
2
/
2
2
1
2
1
/
1
t
V
v
C
C
t
V
v e
V
t v
t
V
v
C
C
t
V
v e
V
t v
DC DC T t DC
DC DC T t DC


+ + =
+ =

66 66
4-Level H-Bridge FCC by Mirror Hypothesis - III
Common mode voltages
Frequency and time constant by mirror hypthesis
3 / 2 2 / ) (
3 / 2 / ) (
4 2 2
3 1 1
DC c
DC c
V v v v
V v v v
+ =
+ =
1 3 / 2 ,
8
) 1 (
) (
3 / 2 3 / 1 ,
24
) 1 6 6 (
) (
; 3 / 1 0 ,
8
) (
2 1
2
2 1
2
2 1
2
<

=
<

=
< < =
D
C C L
D T
D
D
C C L
D D T
D
D
C C L
D T
D
PWM
c
PWM
c
PWM
c

1 3 / 2 ,
) )( 1 3 ( ) 1 (
144
) (
3 / 2 3 / 1 ,
) )( 1 9 9 (
1296
) (
3 / 1 0 ,
) )( 3 2 (
144
) (
2 1
2 2
2 1
2
2 1
2 2
2 1
2
2 1
2 2
2 1
2
<
+
=
<
+
=
< <
+
=
D
C C D D RT
C C L
D T
D
C C D D RT
C C L
D T
D
C C D D RT
C C L
D T
PWM
c
PWM
c
PWM
c
4525
Page 34
67 67
4-Level H-Bridge FCC by Mirror Hypothesis - IV
Common Mode Frequency for 4-level H-bridge
0
0.1
0.2
0.3
0.4
0.5
0.6
0.7
0.8
0.9
1
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
Normalized Voltage Command D, p.u.
Modulation Index M, p.u.
a
N
o
r
m
a
li
z
e
d

F
r
e
q
u
e
n
c
y
,
p
.
u
.
AC PWM
DC PWM
Common Mode Time Constant for 4-level H-bridge
0
1
2
3
4
5
6
7
8
9
10
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
Normalized Voltage Command D, p.u.
Modulation Index M, p.u.
b
N
o
r
m
a
l
iz
e
d

T
im
e
C
o
n
s
t
a
n
t
,
p
.
u
.
AC PWM
DC PWM
D=0.3 and D=0.7
68 68
4-Level H-Bridge FCC PS PWM for D=0
Infinite common mode time
constant for D=0
PS PWM 6 zero voltage states
No energy dissipation the
common mode steady state is
V1=V3=A, V2=V4=B
Improvement direction
explore the use of other 14
zero voltage states not
employed by PS PWM
4526
Page 35
69 69
3-Level H-Bridge FCC Improved PWM - I
Infinite time constant for D=0
PS PWM uses 4 zero voltage
states
Solution replace two capacitor-less zero states by the remaining two;
generated by modified LS PWM
DC
V
V 0
2 S
L R
1 C 2 C
1 S
2 S
1 S
4 S
3 S
3 S
4 S
i
1
v
2
v
L R
i
2 C
2
v
L R
i 1 C
1
v
1 C
1
v
2 C
2
v
L R
i
L R
i
L R
i 2 C
2
v
DC
V
1
v
1 C
L R
i 2 C
2
v
DC
V
1
v
1 C
70 70
3-Level H-Bridge FCC Improved PWM - II
For LS PWM 0<D<0.5,
For LS PWM 0.5<D<1,
PWM
T
D
t t t t
2
5 . 0
11 5 10 1

= = = =
PWM
T
D
t t t t
2
8 6 4 2
= = = =
t
2 /
DC
V
L
V
4 3 2 1
0
t
L
V
0
C
V
C
V
4 3 2 1 4 3 12 4 23 1 4 3 2 1 4 3 2 1 4 3 2 1 4 123
C
V 2
C
V 2
4 23 1
PWM
T
D
t t t t
2
1
8 6 4 2

= = = =
2 / ) 5 . 0 (
9 PWM
T D t =
t
2 /
DC
V
L
V
4 3 2 1
0
DC
V
t
L
V
0
C
V
C
V
4 3 12 4 3 2 1 4 123 4 3 12 4 3 12 4 3 12 4 3 12 4 3 12
4527
Page 36
71 71
3-Level H-Bridge FCC Improved PWM III
LS PWM voltage balancing frequency and time constant
Oscillating LS PWM voltage balancing dynamics
1 5 . 0 ,
4
) 1 (
) (
5 . 0 0 ,
8
) 2 1 (
) (
2 1
2
2 1
2
<

=
<

=
D
C C L
D T
D
D
C C L
D T
D
PWM
PWM

) )( 2 1 ( ) 1 (
96
) (
2 1
2 2
2 1
2
C C D D RT
C C L
D T
PWM
+ +
=
], sin ) 0 ( cos ) 0 ( [
2
) (
]; sin ) 0 ( cos ) 0 ( [
2
) (
'
1
2
1 '
2 2
'
2
1
2 '
1 1
t v
C
C
t v e
V
t v
t v
C
C
t v e
V
t v
T
t
DC
T
t
DC


+ + =
+ =

2 / ) 0 ( ) 0 (
; 2 / ) 0 ( ) 0 (
2
'
2
1
'
1
DC
DC
V v v
V v v
=
=
72 72
3-Level H-Bridge FCC Improved PWM - IV
LS DC PWM provides significant
voltage balancing rate speed-up
for low and medium D
For AC PWM, voltage balancing
rate improvement is even more
impressive
FC Converter Time Constants For DC Modulation
0
0.5
1
1.5
2
2.5
3
3.5
4
4.5
5
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
Normalized Voltage Command D, p.u.
N
o
r
m
a
li
z
e
d
T
i
m
e

C
o
n
s
t
a
n
t
,
p
.
u
.
LS
PS
FC Converter Dynamics with LS PWM (D=0.1)
0
10
20
30
40
50
60
70
80
0 0.01 0.02 0.03 0.04 0.05 0.06 0.07 0.08 0.09 0.1
Time, s
a
C
u
r
r
e
n
t

a
n
d

V
o
l
t
a
g
e
s
V1 Capacitor Voltage V2 Capacitor Voltage Load Current
FC Converter Dynamics with LS PWM (D=0.5)
0
10
20
30
40
50
60
70
80
0 0.01 0.02 0.03 0.04 0.05 0.06 0.07 0.08 0.09 0.1
Time, s
b
C
u
r
r
e
n
t

a
n
d

V
o
l
t
a
g
e
s
V1 Capacitor Voltage V2 Capacitor Voltage Load Current
4528
Page 37
73 73
3-Level H-Bridge FCC Improved PWM - V
AC PWM time constants are
obtained by averaging inverse
DC PWM time constants on a
fundamental AC period
AC PWM averaged voltage
balancing dynamics does not
depend on AC fundamental
frequency
FC Converter Time Constants For AC Modulation
0
0.5
1
1.5
2
2.5
3
3.5
4
4.5
5
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
Modulation Index M, p.u.
N
o
r
m
a
l
iz
e
d
T
i
m
e
C
o
n
s
t
a
n
t
,

p
.u
.
LS
PS
FC Converter PS AC PWM - D=0.5COS(314*t)
-30
-20
-10
0
10
20
30
40
50
60
70
80
0 0.01 0.02 0.03 0.04 0.05 0.06 0.07 0.08 0.09 0.1
Time, s
a
C
u
r
r
e
n
t

a
n
d

V
o
l
t
a
g
e
s
V1 Capacitor Voltage V2 Capacitor Voltage Load Current
FC Converter LS AC PWM - D=0.5COS(314*t)
-30
-20
-10
0
10
20
30
40
50
60
70
80
0 0.01 0.02 0.03 0.04 0.05 0.06 0.07 0.08 0.09 0.1
Time, s
b
C
u
r
r
e
n
t

a
n
d

V
o
l
t
a
g
e
s
V1 Capacitor Voltage V2 Capacitor Voltage Load Current
74 74
Outline Part II
2. Time Averaging Analysis of a Flying Capacitor
Converter (FCC) Natural Voltage Balancing Dynamics
2.1. Overview of FCC topologies, modulation strategies,
and average natural voltage balancing dynamics analysis
methods
2.2. FCC average voltage balancing dynamics time
domain analysis using small parameter technique
2.3. Voltage balancing dynamics of 3-, 4-, 5-, 6- and 7-
level single-leg FCC for DC and AC PWM
2.4. Voltage balancing dynamics of 3- and 4-level
symmetric H-bridge FCC for DC and AC PWM
2.5. Flying capacitors self-precharge in FCC
4529
Page 38
75 75
Flying Capacitors Self-Precharge in FCC - I
Series connected switches of FCC are normally rated for a fractional
DC bus voltage
It is necessary to provide FC precharge (initialization) at power-up to
their balanced voltages not to have semiconductor devices exposed
to voltage overstress
Engineering community is convinced that FC precharge is a complex
task that may be considered as a serious disadvantage of FCC
Some typical citations:
- "Additional circuits are also required to initialize the capacitor charge
- "Precharging all the capacitors to required voltage level at start-up is
complex
- "Flying capacitor inverter limitations include separate pre-charge
circuits required for each bank of DC capacitors
- "The flying capacitor topology has several disadvantages that have
limited its use. The first of these is the converter initialization
- "The flying capacitors initially have zero charge and starting the
converter is not a trivial issue that needs to be seriously addressed"
76 76
Flying Capacitors Self-Precharge in FCC - II
Given PWM strategy with good
voltage balancing rate and DC
bus ramp control at power-up,
self-precharge comes at
virtually no cost
Just apply zero voltage
command (D=0) to get zero on
average load current
3L H-bridge with LS PWM
FC Converter Self-Precharge with LS PWM (D=0, Tdc=0s)
-10
0
10
20
30
40
50
60
70
80
90
100
110
0 0.01 0.02 0.03 0.04 0.05 0.06 0.07 0.08 0.09 0.1
Time, s
a
C
u
r
r
e
n
t

a
n
d

V
o
l
t
a
g
e
s
V1 Capacitor Voltage V2 Capacitor Voltage Load Current
DC Bus Voltage
FC Converter Self-Precharge with LS PWM (D=0, Tdc=0.005s)
-10
0
10
20
30
40
50
60
70
80
90
100
110
0 0.01 0.02 0.03 0.04 0.05 0.06 0.07 0.08 0.09 0.1
Time, s
b
C
u
r
r
e
n
t

a
n
d

V
o
l
t
a
g
e
s
V1 Capacitor Voltage V2 Capacitor Voltage Load Current
DC Bus Voltage
FC Converter Self-Precharge with LS PWM (D=0, Tdc=0.02s)
-10
0
10
20
30
40
50
60
70
80
90
100
110
0 0.01 0.02 0.03 0.04 0.05 0.06 0.07 0.08 0.09 0.1
Time, s
c
C
u
r
r
e
n
t

a
n
d

V
o
l
t
a
g
e
s
V1 Capacitor Voltage V2 Capacitor Voltage Load Current
DC Bus Voltage
4530
Page 39
77 77
Conclusions
Time averaging is a powerful tool for multilevel converters analysis
Using time-averaging techniques, we obtained simple closed-form
asymptotic voltage quality expressions for multilevel converters with
an arbitrary number of levels and (odd) number of phases
Ripple voltage Normalized Mean Square criterion is related to iron
core (eddy current) loss induced by power converter switching
Applied to FCC voltage balancing dynamics, time averaging methods
delivered simple closed form expressions that reveal dependences on
load parameters, switching frequency, capacitances, DC voltage
command / AC modulation index, and modulation strategies
Time averaging methods are true analytical that stimulates
engineering intuition and creativity and a good example is our simple
elegant Flying Capacitor self-precharge solution precharging
capacitors using natural voltage balancing mechanism while keeping
load current zero on average
Flying Capacitor Converter future research directions - accounting for
other loss mechanisms (iron loss), improved (optimal) voltage
balancing PWM strategies, generalization for 3- and multiphase
converters and more
78 78
Thank You!
4531