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Modelling and Design of Shunt Active Power Filters using Genetic Algorithms
F. Cupertino, M. Marinelli P. Zanchetta, M. Sumner
Technical University of Bari University ofNottingham
Orabona st., 4 University Park
Bari, 70125, Italy Nottingham, NG7 2RD, UK
Tel.: +39 0805963218 +44 (0)115 9515549
Fax: +39 0805963410 +44 (0)115 951 5616
E-Mail: cupertino@deemail.poliba.it pericle.zanchetta@nottingham.ac.uk
marinelli@deemail.poliba.it mark.sumner(nottingham.ac.uk
URL: www.poliba.it www.nottingham.ac.uk

Keywords
Active filter, Converter control, Power Quality, Genetic Algorithm.
Abstract
One of the main issues when designing a control strategy for a power electronic system is the
development of a reliable model of the real system. It ensures that a simulation presents the same
behavior as the real system, providing a useful instrument for control design. Consequently, the designer
would avoid wasting time manually adjusting parameters of controllers which have achieved good
performance in simulation but poor performance in the real system. However, the evaluation of the actual
plant parameters is always a hard job for the designer due to the mismatch between rated and actual
values and the presence of unmodelled dynamics. This paper presents a technique for the optimization of
the parameters of the simulation model of a shunt active power filter system using Genetic Algorithms
(GAs). The optimization process is based on experimental data measured during the normal operation of
the real system. After this, the identified model has been used to optimize in simulation the controllers of
the shunt active power filter. Experimental results prove that the optimized controllers greatly improve
the system performance.
Introduction
The use of active power filters (APF) in distribution systems represents the best solution, in terms of
performance and effectiveness, for elimination of harmonic distortion as well as power factor correction,
balancing of loads, voltage regulation and flicker compensation. The shunt APF, connected in parallel
with the non-linear load, is commonly utilized to compensate for current disturbances while the series
APF is utilized to compensate for voltage disturbances.
The shunt APF generates the harmonic currents required by the non-linear load so that the supply feeds
only the fundamental component. The effectiveness of shunt active filters greatly depends both on the
method to determine the current references and the cunrnt control strategy.
The methods for extracting harmonic references from the load currents are separated in compensation
techniques in the frequency domain and compensation techniques in the time domain. The compensation
techniques in the frequency domain are mainly based on the use of the Fourier harmonic analysis [1],
requiring a large computational effort and consequently introducing a long time delay in the response. A
large number of compensation techniques in the time domain are present in literature, but the most
common are based on the PQ theory [2,3] and the Synchronous Rotating Frame (SRF) or dq method
[4,5]. These methods provide a faster response, ensuring a more effective compensation.
Once the current references have been determined, the APF must have the capability to track accurately
such references even in presence of sudden slope variations. Among the current control techniques that
have demonstrated the best compensating performance there are the hysteresis control [6], the use of

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single and multiple rotating reference frames [7] and the predictive control [8,9]. A single dq frame
controller is commonly found on commercial products, as it provides a good compromise between
implementation simplicity, limited commissioning and control robustness and stability.
The choice and implementation of the current controllers is really important for the achievement of a
satisfactory performance level. The control design procedure is always based on the use of a model that
reproduces the behavior of the system. The optimal selection of the control parameters depends on the
exact conformity of the model with the real system. In fact it is not unusual for the designed controllers
have good performance in simulation but poor performance in the real system. This happens because,
very often, the model is not a reliable approximation of the real system. A reliable model is therefore
necessary for the purpose of control system design.
When dealing with modeling of active filter systems, the attention of researchers is mainly devoted to
modeling of the control system and very few papers dealing with the modeling of the active filter have
appeared in hterature [10-13]. in [10] a mathematical modeling of a three-phase shunt APF based on the
abc/dq transformation of the ac system variables was discussed. In [11] a model of a shunt APF based on
the switching flow-graph method was presented. In [12,13] mathematical models of APFs were
developed using state-space average modeling technique. Most of these papers present only simulation
results without dealing with the problem of getting a model as much as possible close to the real system.
Some other papers [14,15] deal with the modeling of APF using computational and modeling software
packages such as Matlab/Simnulink, PSpice, Saber. In most cases, these tools allow to built the entire
system including power circuits, load characteristics, control loops and thermal effects in a simple and
fast way, but it is still difficult to obtain a model which accurately predict the performances of the real
system. Some effects due, for instance, to the discrete control or the PWM processing delay, deeply affect
the behavior of the system but are not easy to quantify and to take into account in the model. Moreover,
even the parameters of the electrical circuits, for instance the impedance of the network or the resistance
of the conductors, are difficult to measure accurately and to consider in the model.
In this paper we present an optimization of the simulation model of a shunt active filter system using
Genetic Algorithms. In [16-18] control design techniques for active power filters have been already
investigated, showing that the use of a GA can help to automate the design procedure and improve the
control performance. In this paper we use two GA-based algorithms. The first identifies some model
parameters, the second optimizes controller structure and parameters. Experimental results prove that the
APF performance is noticeably improved by the proposed GA-based optimization procedure.
Description of the shunt active filter system
As shown in Fig. 1, the converter, used as an active filter, is connected in parallel with the supply through
filter inductances and operates as a closed loop controlled current source. The output voltage of the
inverter, V1,,, is controlled with respect to the voltage at the point of common coupling, Vp., so that the
inductor current matches its reference value. The switching frequency will vary depending of kVA level
required, and its value will limit the APF control bandwidth. For this work a sample frequency of 5 kHz
has been implemented, and the filter is specifically required to compensate for the 5"' and 7m harmonics in
a 50 Hz system.

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dSpace board. The inverter provides power supplies and protection, but the PWM drive signals are fed
from an external interface to the control board. 16 bit ADCs provide the interface to voltage and current
transducers. A second order Butterworth type anti-aliasing filter is used downstream the voltage and
current transducers, with a rated cut off frequency of 1.9 kHz. The rated filter inductance is 8.75 mnH, with
a rated resistance of 0.6 LI. These parameters deeply affect the control design and consequently the
response of the system. However, the presence of some effects (thermal effect, impedance of the
connections, etc.) inhibits the determination of the real values of these parameters in an accurately way.
Overview of GAs
GAs are stochastic search techniques deriving inspiration from the principles of natural evolution and
genetic laws. GAs are versatile, and require minimal a priori assumptions about the nature ofthe problem.
In contrast with other search strategies, they do not require differentiability, continuity or other restrictive
hypotheses on the objective surface to converge.
A GA works iteratively on a population of candidate solutions (individuals) of the problem, preliminarily
encoded in strings of characters (the chromosome associated to the solution) from a predefined alphabet
(usually binary or real valued). The fitness of each individual rules the iterative solution search schema,
which is performed in two subsequent phases. In the first phase, a subset of individual solutions in the
current population is selected to form a new intermediate population (the mating pool). The most
common selection operators for this phase work on a metaphor of the "surviving of the fittesft principle,
i.e. solution with higher fitness will have higher likelihood to be part of the mating pool. During the
second phase known as recombination, solutions in the mating pool are randomly selected to take part
into crossover and mutation operations, which are performed by special operators emulating genetic
phenomena. In particular, the crossover works on two randomly selected solutions (the parents) and forms
two new solutions (children), which inherit some of the chromosomes of both parents. The mutation
randomly alters a portion of the chromosome to produce a new solution with a random similarity to its
predecessor. After the random crossover and mutation have been applied, a new population (the
offspring) is ready for fitness evaluation. This process is then iterated, so that new solutions are
continuously created and evaluated until a given stopping criterion is met. As in all the stochastic search
algorithms, the convergence of a GA relies on the random determination of solutions with increasingly
higher fitness. Readers unfamiliar with GAs may refer to [20] and [21] for an authoritative and thorough
introduction to this research area.
Generally speaking, in optimization problems more attempts are needed to find an optimum solution since
the system can converge to local minima. However, with the GAs, this happens less frequently than with
other optimization methods. In fact the GA provides a stochastic optimization method where if it "gets
stuck" at a local optimum, it tries to simultaneously fmd other parts of the search space and "jump ouf' of
the local optimum, aiming for a global optimum.

When a GA is used to select the controller parameters, the evaluation of the fitness consists of a test,
performed on-line on the actual plant or off-line with computer simulations, that returns a number (the
fitness value) representative of the performance of each individual. In the on-line approach the
experimental rig is iteratively used to perform the optimization. The GA-based program recursively runs
the rig for a fixed amount of time testing each individual of each population. The relevant quantity will be
measured experimentally and passed to the software for the fitness function evaluation. On the one hand,
the main advantage of the on-line approach is the reliability of the final solution, because it is selected on
the basis of its actual performances. On the other hand, special mechanisms have to be defined to avoid
the implementation of unstable or badly performing individuals that could compromise the correct
operation of the hardware. Moreover the duration of the optimization process depends on the length of the
test. It should be noted that GAs usually require thousands of tests to reach a reliable result. This means
that the optimization process will take hours for experiments to run on the actual hardware.
The off-line optimization can be based on a much more accurate model of the system including all

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components, all non-lnearities and saturation limit of the controllers. It should however be noted that a
compromise needs to be met in terms of simulation accuracy and optimization time. For example, a
system level power electronic simulation can usually provide sufficient accuracy using ideal switches to
model the power electronic devices, rather than accurate IGBT switch models which in themselves can
take a long time for the simulation to process. Nevertheless, it is usually possible to obtain a computer
simulation that is reasonably accurate and can be executed in much less time than the relevant
experiment. The main lmitation of the off-line approach is the reliability of the final result. The
performance of the controllers selected by the GA will be reproduced on the actual plant only if the
simulation model is accurate enough. This means that the main components (linear and non-linear) of the
plant have to be considered in the simulation, and their parameters have to be known with considerable
precision.
In order to overcome these problems, and take the advantages of optimizations based both on actual
experiments and simulations, two specific original software procedures have been developed within the
Matlab environment. The first uses a GA to optimize the main parameters of the model described in the
previous section. Some experimental tests were firstly performed on the plant. The system response was
recorded and stored in the computer memory. During the GA-based optimization, the same tests were
repeated in simulation using identical controllers. The fitness was function of the difference between the
behavior of the simulation model and that of the actual plant. At the end of the optimization process the
GA returned a set of model parameters that were used to automatically tune regulators parameters in the
discrete z domain. A second software procedure was developed to define the more appropriate order and
the best structure of the controller and determine the optimum values of its parameters [17-19]. The
structure of the controller can include a gain, a pure integrator, a PI regulator, real poles and zeros,
complex poles and zeros. All the information about structure and parameters of the controller are coded
into a string. Each of these strings, therefore, represents an individual, i.e. a possible solution for the
optimization problem. The fitness function is defined based on the target specification such as transient
overshoot, rise time, steady state error, steady state ripple, bandwidth of the controller and so on. The
software procedure allows the user to choose some or all of these specifications to contribute to the fitness
function determination. At the end of the second optimization the controllers selected by the GA can be
tested experimentally to validate the efficacy of the whole optimization process.
Experimental Results
To give an indication of the performance which can be achieved using a classical control design for the
examined active shunt filter, a PI current controller was designed using the Matlab SISO tool, through
trial and error. To illustrate the performance of this controller, Fig. 3 shows the reference and actual APF
q axis currents, when a 5t11 harmonic current and a 7th harmonic current are respectively requested. These
results, together with those of a similar test in which a step change in the q axis current reference was
requested, have been used to run the first GA-based software in order to optimize the model parameters.
The software searches for the best values to assign to the inductance and resistance of the inductors and
the line, capacitance and resistance of the DC link, and parameters of the anti-aliasing filters used before
sampling the measured currents and voltages. Namely, each individual is a vector of seven real numbers.
We have measured the line currents absorbed from the supply during the three tests described above and
expressed them in the dq reference frame. These currents will be hereinafter referred as training signals.
The three tests were repeated in simulation using the same current references and PI controllers every
time the GA had to evaluate a candidate solution of the problem. The fitness function to be minimized by
the GA was chosen equal the sum of squared errors calculated between the dq currents obtained with the
simulation and the training signals.

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reference and hand-tuned PI controllers.
One ofthe key-posits ofthe GA-based optinzation is the choice of the limits ofthe search space. Even if
the search space has to be selected wide enough to guarantee the GA can find the global optimum, bounds
have to be fixed for each variable in order to prevent the final solution being meaningless. We selected
the lower and the upper bounds to be approximnately equal to 1/5 and 5 times the relevant rated values
respectively. Figure 4a shows the performance of the simnulated system at the end of the identification
process when a 5 'i harmonic current is requested. The current response shown in figure 4a has been
compared with the relevant truniing signal in figure 4b. This figure shows evidence of a good agreement
between experiment and simulation and demonstrates the effectiveness of the GA-based identification
process.
Once a good model of the plant is obtained, the second GA-based software is used to find a better set of
controllers. This software defmes thec most appropriate order and the best structure of the controller and
determines the optimum values of its paraineters. Similarly to what has been described for thie
identification procedure, in this case a training test has been defined. The test consists of three Simulink
simulafions in which a step change in the q axis current reference, a 5"' harmonic current and a 7th
harmonic curet are respectively requested. The programn recursively runs the training test reproducing
the whole system, testing each of the individuals in the cur=t population. Using the simulation results, a
fitness value is associated to all the individuals at the end ofthe training test. In this way, the fitiess value
takes into account for the perforances ofthe control system in different operatig conditions. The search
procedure is termmated when the fixed maximum number of generations is reached or when the value of
the fitness gets to its preset target. The final output of the procedure will be an optirnum controller with a
maximized fitness function.

Figures 5a, 6a, and 7a show the simnulation results obtained performing the training test at the end of the
optinization of the control system, and using the best controllers selected by the GA. The controllers
selected by the GA have second order transfer function being the cascade of a PI controller and first order
lead network. The improvement with respect of the performances obtained using the hand-tuned PI
controllers is evident.

To verify the effectiveness of the opfimiization procedure we tested the controllers tuned in simulation on
the actual hardware, obtaining the results shown in figures 5b, 6b, and 7b. These figures compare the
simulation results shown in figure 5a, 6a, and 7a with the relevant experimental results obtained using the
sane current references. Also in this case there is good agreement between simulations and experimenh.
This comparison demonstrates that it is possible to use the controllers optimized in simulation on the
actual plant obtaining similar performances thanks to the reliability of the model and the accuracy of the
identification of its parameters.

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Conclusion
This paper proposes a new method to identify the model parameters of a power electronic system and
optimize its controllers. The approach is based on two specifically designed software procedures based on
GAs. The first one identifies the model parameters using experimental data measured on the actual plant.
The second software optimizes the parameters of the current controllers using computer simulation based
on the previously identified model. The optimized controllers have been tested experimentally to prove
the advantages of the proposed approach. They can be summarized as follows:
- The model identification and controller optimization procedures are fully automatic;
- A minimal number of experiments are required to optimize the system;
- Good performances are achieved in different operating conditions thanks to the adoption of
controllers with higher order;
- The results can be easily extended to other power electronic devices.
Current research is devoted to the development of an even more accurate model, in order to model non-
linear phenomena related to the behavior of power electronic devices, and to the application of non-linear
fuzzy controllers to improve dynamic performances.

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