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IEEE TRANSACTIONS ON POWER ELECTRONICS, VOL. 7, NO.

3, JULY 1992 497

A New Multilevel PWM Method: A Theoretical


Analysis
Giuseppe Carrara, Simone Gardella, Mario Marchesoni, Member, IEEE,
Raffaele Salutari, and Giuseppe Sciutto

Abstract-This paper deals with a generalization of the PWM


“subharmonic” method to control single-phase or three-phase
multilevel voltage source inverters (VSI). We derive an analyt-
ical expression of the spectral components of the output wave-
forms covering all the operating conditions. The analysis is
based on an extension of Bennet’s method. The improvements
in harmonic spectrum are pointed out, and several examples
are presented, which prove the validity of the multilevel mod-
ulation.
INVERTER A
D
I. INTRODUCTION
(b)

0 NE of the most important problems in controlling a


VSI with variable amplitude and frequency of the
output voltage is to obtain an output waveform as much
Fig. 1. DC/AC conversion system, (a) Single phase. (b) Three phase.

as possible of sinusoidal shape employing simple control ages. A full-bridge bipolar structure allows three levels.
techniques. Indeed, current harmonics caused by nonsi- From our point of view these are, respectively, two- and
nusoidal voltage feeding imply power losses, electromag- three-level structures.
netic interferences (EMI), and pulsating torques in ac mo- In the case of a three-phase half-bridge inverter we de-
tor drives. Harmonic reduction can then be strictly related fine output phase voltages those between the output ter-
to the performance of an inverter with any switching strat- minals a, b, c, and the central point 0 of the dc input
egy. source (see Fig. l(b)). We also define load phase voltages
Under the aspect of harmonic content reduction, mul- as those across each phase of the three-phase load.
tilevel inverters are of the highest importance [l]. They A bipolar three-phase half-bridge VSI is clearly a two-
are particularly suitable in high-power applications when level structure because the voltages vaorUb,, and U,, can
the semiconductor devices are not able to operate at high assume only the E or - E values. As far as a full-bridge
switching frequencies. It is also worth noting that, when bipolar inverter is concerned, it behaves substantially like
adopting traditional bipolar inverter topologies, very high three single-phase full-bridge structures [3] having the
powers cannot be obtained unless using problematic se- same dc input source, but it is not commonly employed.
ries/parallel combinations of the solid-state switches, For a long time, bipolar inverters were the most com-
which further lower the highest possible switching fre- monly employed structures. Only in this last decade have
quencies. The multilevel structures allow to raise the other structures been applied in practice, like the NPC
power handled in the conversion processes, in a very nat- inverter [4]which is a three-level inverter, or the multi-
ural and powerful way [2]. To introduce the multilevel level structure presented in [ 5 ] , which is made up of series
concept, we refer to the number of voltage levels which connected full-bridge bipolar inverters. A very simple
the output waveforms can assume. Referring to Fig. l(a), three-phase half-bridge multilevel inverter has been pre-
we define output phase voltage of the single-phase in- sented in [6]. New structures of generalized multilevel
verter the voltage between the output terminals A and B. inverters are reported in [7] and [8]. In this paper we are
Obviously, for single-phase inverters phase voltage and not interested in the actual structure of the inverter but
voltage across the load are the same. A half-bridge bi- only in the number N of the output phase voltage levels.
polar inverter allows only two levels for the output volt- Thus we say that a VSI allows multilevel operation if
Manuscript received July 25, 1990; revised September 2, 1991.
N I3. Because the level 0 is obviously of the most im-
G. Carrara and R. Salutari are with the Department of Electric Systems portance we will discuss only the case with N odd.
and Automation, University of Pisa, 56100 Pisa, Italy.
S. Gardella is with the Industrial Products Research Institute, Ibaraki
305, Japan. 11. THEMULTILEVEL PWM TECHNIQUE
M. Marchesoni and G. Sciutto are with the Electrical Engineering De- Having more than two voltage levels to build a sinu-
partment, University of Genova, 16145 Genova. Italy.
IEEE Log Number 9200723. soidal shape it is intuitive that we can have reduction of
498 IEEE TRANSACTIONS ON POWER ELECTRONICS, VOL. 7, NO. 3, JULY 1992

the current harmonics in the load. Nevertheless, the actual


improvement of the current spectrum depends on the con-
trol technique employed.
The most popular control technique for traditional in-
verters is the sinusoidal or “subharmonic” natural pulse- Fig. 2. Multilevel d d a c conversion system.
width modulation (PWM) method. Its popularity is due to
its simplicity and to the good results it guarantees in all
the operating conditions, including “overmodulation, ”

which allows first harmonic amplitude up to 4 / p.u. ~ A


complete analysis of both bipolar (for two-level inverters)
and unipolar (for three-level inverters) methods has been
widely developed in the literature ([9]-[ 121).
We now develop a theoretical analysis of the PWM
method for multilevel inverters. We refer to the system
outlined in Fig. 2, where
N ’ = ( N - 1)/2 (1)
Fig. 3 . Carrier disposition.
is the number of strictly positive levels of the inverter (re-
member that N is odd), and the load is supposed linear.
For the proposed multilevel generalization of the PWM the load phase currents. Thus, in the following we con-
method, we take as a starting point the unipolar technique sider only single-phase modulation.
[9], [12]. The idea we follow is to use several triangular The parameters of the modulation process are:
carrier signals, keeping only one modulating sinusoidal
signal. If an N-level inverter is employed, N - 1 carriers 1) The ratio P = w,/w,
will be needed. The carriers have the same frequency w, 2) The ratio M = A , / (N ’ A , ) , also called modulation
and the same peak-to-peak amplitude A , and are disposed index
so that the bands they occupy are contiguous (see Fig. 3). 3) The angle C#I of displacement existing between the
The zero reference is placed in the middle of the carrier sinusoidal reference and the first positive triangular
carrier signals
set. The modulating signal is a sinusoid of frequency U,
and amplitude A,. At every instant each carrier is com- We also have other degrees of freedom. In fact, the
pared with the modulating signal. Each comparison gives phase displacement between two contiguous triangular
1 (-1) if the modulating sinusoid is greater than (lower carriers is free. We consider only three very simple dis-
than) the triangular carrier in the first (second) half of the positions that seem the most interesting:
fundamental period, 0 otherwise. The results are added to
give the voltage level, which is required at the output ter- 1) All the carriers are alternatively in opposition (APO
minal of the inverter. Obviously, the actual driving sig- disposition, see Fig. 4(a))
nals for the power devices depend on the particular struc- 2) All the carriers above the zero value reference are
ture chosen to realize the inverter and thus can be derived in phase among them but in opposition with those
below (PO disposition, see Fig. 4(b))
from the results of the modulating-carriers comparison by
means of a simple logic circuit. 3) All the carriers are in phase (PH disposition, see
In the case of three-phase inverters we can choose be- Fig. 4(c)).
tween two different ways in which the switching wave-
forms of the three legs are produced. To comply with the 111. ANALYSIS OF THE MODULATION PROCESS
requirements for a three-phase system, we need always To find the analytical expression of the output voltage
three 120” phase-shifted modulating sinusoids. The two of the single-phase inverter, or of the output phase voltage
possibilities are distinguished by the use of the carrier sig- of a three-phase inverter leg, we extend the method orig-
nals. First, a single carrier set may be used to be com- inally developed by Bennett [ 141, [ 151. By means of this
pared with the three modulating sinusoids (single-phase method it is possible to calculate the spectral components
modulation). Second, three different carrier sets with 120” of the output voltage in any operating condition, even in
phase displacement among themselves may be used, each overmodulation, i.e., M > 1. Moreover, since the result
to be compared with the corresponding sinusoid (three- is a double Fourier series expression it fits both synchro-
phase modulation). An analysis of the two possibilities nous and asynchronous modulation processes.
for a bipolar modulation is given in [13]. The results ap- Referring to a bipolar modulation in which only one
ply directly to the multilevel modulation, showing the su- carrier signal is involved, to build the mathematical model
periority of the single-phase modulation. This is because of the modulation process we can exploit the fact that the
in this case the harmonics at multiples of oC,which are carrier is made of straight segments (it is a triangular
always of high amplitude, are cophasal and so are not wave). Thus it is possible, according to a linear relation,
present in the spectra of the load phase voltages and of to derive from its instantaneous value a temporal infor-

II 1
CARRARA er al.: A NEW MULTILEVEL PWM METHOD: A THEORETICAL ANALYSIS 499

.,.‘U v v v v v v v v v wvv I

Fig. 5 . Building the mathematical model for a bipolar modulation.

mation, apart from an integer number of periods. To elim-


inate this indetermination we “stretch” the carrier turn-
ing it over at each comer, as is shown in Fig. 5 , obtaining
a ramp. The modulating signal is turned over together with
the carrier. Since we are supposed to have signals that
+
extend from - 00 to 00, we obtain finally a picture on
the plane composed by an infinite number of sinusoids
alternatively in phase opposition. The sinusoids subdivide
the plane in a number of portions called zones. It is simple
to understand that if we regard the straight line obtained
as a time axis, the intersections between the line and the
set of sinusoids identify the time instants at which we have
a switch in the PWM signal. To know the value assumed
by the PWM signal we have to assign a value at each
zone. Thus, introducing a reference frame Axyz we must
define a two variable function z = F(x, y). In the case of
a bipolar modulation, the surface defined by F is com-
posed of an infinite number of parallel walls having height

- -.t
IE
alternatively + E and - E (see Fig. 6).
The function F is periodic in both x and y and thus it is
possible to expand it in a double Fourier series. To have
the PWM signal directly, we must intersect the surface
with the plane (dashed lines in Fig. 6) perpendicular to
the xAy plane and having as the trace on it the straight line
produced as described above. The intersection is mathe-
matically obtained introducing the relation
y = Px. (2)
To find the time expression of the PWM signal we must
introduce the following relations:

7 m,
x = w,t

y = w,t. (3)
In the case of overmodulation (M > 1) the sinusoids gen-
erated by the process described above partially overlap,
delimiting new zones that must not be taken into account,
the value of F inside these zones being the same as out-
-*E-
side.

II 1
500 IEEE TRANSACTIONS ON POWER ELECTRONICS, VOL. I, NO. 3, JULY 1992

. I I I \ ',
I
Fig. 6 . Three-dimensional model for a bipolar modulation.

2AC

AC

-AC 0

2 AC
AC
-
O A.

t .---)
X

Y
I
AC
c
0 A X

- AC
-2AC

(4 (h)
Fig. 7 . Building the mathematical model for a multilevel modulation with N = 5 , M = 0.75, P = 8, PH disposition. (a), (b),
(c) Construction of F generated by the first carrier above the zero reference. (d), (e), (f). Same for the second carrier. (g) Same
for the first carrier below. (h) Same for the second carrier below. (i) Superimposition. (j) Resulting three-dimensional model.

bipolar processes. Each bipolar process gives a function (b), and (c) the construction of F generated by stretching
Fi(x,y ) , which can assume only two values. These values the first carrier above the zero reference is shown. Note
are 0 and E for the carriers above the zero reference, 0 in Fig. 7(b) how the sinusoids overlap giving a zone en-
and - E for the carriers below. To obtain the final result closed by dashed lines, which must not be considered be-
we have to add the functions Fi,building a discontinuous cause the value inside is E as outside. In (d), (e), and (f)
surface composed of many superimposed walls. As an ex- we repeat the process for the second carrier above zero.
ample, see Fig. 7, which outlines the process for N = 5 , In (g) and (h) we give the results, respectively, for the
P = 8, C#I = 0, M = 0.75, and a PH disposition. In (a), first and second carrier below zero. In (i) we show the

II 1
-

I
CARRARA et a l . : A NEW MULTILEVEL PWM METHOD: A THEORETICAL ANALYSIS 50 1

4 where
‘I
We choose as integration area the square 0 Ix I2 n ,
+ n Iy I n, which gives x* = 0 and y* = -n. To
calculate the coefficients of the series we divide the inte-
gration area in a number of parts called “bases.” As an
example, it is evident from Fig. 9 that the bases equally
dashed have a similar shape. Therefore the bases can be
gathered in families. A generic base extends between the
points (xi, -n), (xi, n), ( x i f l , n) and ( x i + l , -n). It can
be noted that each base includes a piece of two zones,
whose value depends on M and the position of the base.

A . APO Disposition
We start calculating the Fourier coefficients for the APO
disposition. The most important features of F(x, y ) are
ti) that:
Fig. 7 . (Continued.)
1 ) F has odd symmetry. Thus the series expansion will
contain only sinusoidal terms.
superimposition of the various figures. Note that the pic- 2) The pieces of sinusoid that delimit the zones can be
tures ((c), (f), (g), and (h)) must be superimposed in such expressed as
a way to have coincidence of the points labeled A . A three-
dimensional sketch of the surface obtained is shown in f B f Q sinx (7)
Fig. 7(j). With respect to a bipolar modulation, it is in- where
teresting to note that the shape of the surface changes not
only when overmodulation occurs but each time a higher B=i2a iEZ (8)
voltage level is required, i.e., at M = l / N ’ , 2 / N ’ , Q = MN’T. (9)
* . ., l .
The families of bases are 4 as indicated in Fig. 10.
The integration is similar for the bases of the same
IV. SPECTRAL
ANALYSIS family. Having added the contributions of each
base, and introducing the relations (3), we can wnte
The function F(x, y ) is periodic. In Fig. 8 we show the after several calculations expression (10) for the
contour curves of the surface for the three dispositions in PWM signal:
the square 0 Ix I2 n , - n s y In.
V
N “ = [MN’] + 1 ~ ( t=
) - { M [ h ,+ - sin (%I, + I >I
(4) n

the number of strict positive levels required by the mod- + 4 cos ( x , ~ + ~ ) }sin (wmt + 4)
ulation process, the influence of the parameters N ’ and M
on the shape of the figures is considered by defining N ”
n - 1
values xl, x 2 , * --
, x N t p which
, are the abscissas of the
points where the pieces of sinusoid intersect among them
or with the boundary of the square. x N l +t = n / 2 is con-
4v ‘c” 1
sidered too, even if at this point there is no intersection.
+=
F(x, y ) can be expressed as a double Fourier series as fol-
lows:
- sin (nwmt + n 4 )+- a2N’m=l -
m C
n=-w
Sm,n

+a
sin (mw,t + nwmt + n 4 ) (10)
F(x, Y ) = Ao,o 5 + n=l [4,0 cos (m) + %,0 sin 0741
where
+a +a
1
+ mC= l Cn=-a
[A,,, COS (nx + my) Sm,n = J n ( m M N ’ n ) x N , + -
l c
h # -n,odd
Jh(mMN’n)-
n + h
+ Bn,msin (nr + my)] (5) sin [(n +h ) ~ ~ t + ~ ]

II1 I
502 IEEE TRANSACTIONS ON POWER ELECTRONICS, VOL. I, NO. 3, JULY 1992

Fig. 8. Contour curves of the surface F(x, y) in a square. (a) APO disposition ("odd). (b) APO disposition ("even). (c) PO
disposition. (d) PH disposition.

1 +-
+- 2 v E
? r 2 ~ mf = l m n =C
-
-m
sm,n

sin (mw,t + nwmt + n4)


Fig. 9. Similarity in the shape of the bases in an APO example.
where

Sm,n = Jn(mMNf?r)[ l - (-l)"]

Fig. 10. Families of bases in the APO case.


1
- E
h # -n,odd
Jh(mMN'a)-
n + h
[l + (-l)"+9
and

v(t) = -
V
{M[2xN,+ - sin (2xNc+ )] + 4 cos (xN, ,)}
+
- {sin [(n +h ~ ][(n + h)xk]}.
) ~ ~ -+ sin
7r
In ( l l ) , as well as in the following, we indicated
sin (w,t + 4) + -v n = 3C, o d d
.?r
[I - (-I)"] with V = N f E half the total dc input voltage.

sin [(n - 1)xw + 11 - sin [(n + 1 ) x ~+t 1 1


n + l 1 B. PO Disposition
The symmetry properties are as in the APU case, as
+ -2 cos (mN3
+ )
1 sin (nu,[ + n4) well as the definitions of B and Q . The final result is ex-
pressed by (12).
CARRARA et al.: A NEW MULTILEVEL PWM METHOD: A THEORETICAL ANALYSIS 503

1.1,
C. PH Disposition I
F has no symmetry properties, and thus sine and cosine
terms will be present in the series expansion. In this case,
B=in iEZ (13)
Q = MN'n (14)
The result is expressed by (15).
V
u(t) = -
n
{M[bN,+1 - sin (bN,+1)] + 4 COS (~"+1)}

. sin (wmt + 4) + -v n=3,odd


T
C
+O0
[I - (-I)"]
OO 0.5 I 13 2 l.5 3 3.5 4

sin [ ( n - 1 ) ~ ~ , +- ~sin] [(n + I ) X ~ , + ~ ]


n + l
2
n
(nwmt + n4) + -
n2N' m= I

- m1 n=--m
-
+m
, , (mo,t + nwmt + n 4 )
C { c ~cos

+ s ~sin, (mo,t
~ + numt + n 4 ) } (15)
where

(b)
Fig. 11. Amplitude of the main spectral components as a function of M
for the APO case with (a) N = 3 and (b) N = 5 .

3) A term giving, for n = 0, the amplitude of the har-


- COS [(a + h)Xk]} monics at the carrier frequency and multiples. In the
APO and PO cases such harmonics do not exist at
sm,n= [I - ( - 1 ) 7 [ 1 + (-1)"l all. For the PH case no harmonics exist at even mul-
tiples of the carrier frequency.

I
N'

* [ J n ( m M N ' n ) [ z l cos[m(k- l)nl(Xk+l - xk) 4) The same term for m fixed and n variable provides
the amplitude of the harmonics in the sidebands
1 " centered around each multiple of the carrier fre-
C
-
h # -n,odd
Jh(mMN'n)-
n + h kC= i cos [m(k - 1) n] quency. In the APO and PO cases only odd-order
components exist in each sideband. In the PH case
. {sin [(n + h ) ~ ~ -+ sin
~ l[(n + h)xkl} .

As we can see, the multilevel technique produces, mod-


I only even-order components exist in the sidebands
centered around odd harmonics of the carrier and
vice versa. The amplitudes of these components re-
duce in overmodulation as M increases.
ulated signals, like the bipolar one, that consist of three
terms: From an analytical point of view the number N of levels
appears in the same way in all the three expressions:
1 ) A term giving the amplitude of the fundamental,
which is directly proportional to the modulation in- 1) The components at the fundamental frequency and
dex M until M I 1 . When overmodulation occurs multiples are not affected.
( M > I), the relation is no more linear, and it is 2) All other harmonics amplitudes are divided by N I .
expressed through the new definition of xN,+ I . 3 ) N ' also appears in the argument of Bessel's func-
2) A term (for m = 0) giving the amplitude of the har- tions as a multiplying factor.
monics at multiples of the modulating frequency, The last two items point out the improvements in the har-
which are zero until M > 1 . In overmodulation the monic reduction obtained by multilevel operation. This is
expression of these harmonics is the same for all the evident even from Figs. 1 1 , 12, 1 3 which show the am-
three dispositions and for any value of N . As M in- plitude (relative to V = N ' E ) of the main components as
creases, the values of these components increase up a function of the modulation index M for different values
to the harmonics of the square wave. of N .
504 IEEE TRANSACTIONS ON POWER ELECTRONICS. VOL. 7 , NO. 3, JULY 1992

8, t

OJ t /
o.6 t / ..............
b . 0

0.2
..... h.nsa*.
F 5.0 ..........
.... ...... ......
.......... (c)
0 05 I1 IJ 1 U 3 3 J h , 4 Fig. 14. Example of the spectra obtained with a five-level synchronous
modulation with M =0.75, P = 15, and + = 0 compared with those of a
(b) three-level modulation with the same parameters. (a) APO. (b) PO. (c) PH.
Fig. 12. Amplitude of the main spectral components as a function of M
for the PO case with (a) N = 3 and (b) N = 5 .
When the frequency ratio P is high, there are no sub-
stantial differences among the three carrier dispositions
proposed because all the harmonics are shifted to high
frequencies so that are easily filtered. A comparison be-
comes significant when P is not sufficiently high. In this
case the PH disposition seems the least interesting due to
the large value (greater than the fundamental) of the har-
monic at U, for M low (see Fig. 12). However, dealing
with three-phase inverters and using a single-phase mod-
ulation, that harmonic will be of a cophasal nature and so
will be not present in the current spectrum of the load. In
this case the PH disposition becomes the most interesting
due to the very little values of the other harmonics.
0 03 I 13 1 2.5 3 3.5 1
To check the validity of the expressions we simulated
several synchronous modulation processes with different
(a)
values of the parameters. The spectra obtained applying
I .4 a Fourier series algorithm were compared with those cal-
1 culated starting from (lo), (12), and (15) by vectorial
summation of the components overlapping at the same
frequency. The errors are always < 1% and are due to the

i
data processing. In Fig. 14 an example of the spectra ob-
tained with a five-level modulation is shown, compared
o'a:
0.6 with the results of a unipolar ( N = 3) modulation.

V. CONCLUSIONS
0.2 In this paper three multilevel PWM techniques for VSI
inverters were presented. The multilevel modulation pro-
cesses were analyzed with a powerful and mathematically
(b) rigorous method that provides the analytical expressions
Fig. 13. Amplitude of the main spectral components as a function of M of the output phase voltages of the inverter. The results
for the PH case with (a) N = 3 and (b) N = 5 . are valid even in overmodulation operation. The improve-
-

CARRARA et a/ : A NEW MULTILEVEL PWM METHOD: A THEORETICAL ANALYSIS 505

ments in the harmonic contents due to the increased num- Simone Gardella was born in Genova, Italy, on
June 9 , 1966. He received the B.S.E.E. degree in
ber N of levels were highlighted. The most important fea- electronic engineering with maximum marks in
tures of the three techniques were exposed. As a 1989 from the University of Pisa, Italy.
conclusion, the use of a multilevel inverter proves to be From September 1989 to March 1991 he was
with the European Patent Office in The Hague as
very interesting under the aspect of reducing the harmonic a patent examiner in the fields of power converters
contents. However, several considerations on the actual and motor drives. Since April 1991 he has been a
structure of the inverter and on the system in which it has guest researcher at the Industrial Products Re-
_ - search Institute in Tsukuba, Japan, with a STA
to be employed should be done case by case to determine fellowship. HIS interests currenily Include neural
the practical convenience of this solution. On the other networks and cybernetics
hand it is worth noting that the multilevel approach is the
only permissible when both reduced harmonic contents
and high power are required.

REFERENCES
Mario Marchesoni (M’89) was born in Genova,
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Power Elecrron., vol. PE-3, no. 3, 1988. B.S.E.E. degree in electrical engineering at the
1141 S . R. Bowes, “New sinusoidal pulsewidth modulated inverter,” in University of Genova, Italy in January 1973.
Proc. IEE, vol. 122, no. 11, 1975. After graduation, he worked in the Research and
[I51 H. S . Black, Modulation Theory. New York: D. Van Nostrand, Development Laboratories of Ansaldo S.p.A., in
1953. the area of vibrations and noise. From November
1977 to June 1986 he was associate professor of
Industrial Electronics at the Electrical Engineer-
ing Department, University of Genova. Since June
Giuseppe C a r r a r a was born in Viareggio 1986. he has been full professor of Power Elec-
(Lucca), Italy, on October 6, 1936. He received tronics and with the charge of professor of Electric Traction at the Electri-
the B.S.E.E. degree in electrical engineering from cal Institute, Faculty of Engineering, University of Pisa. Since November
the University of Pisa, Italy. 1989 he has been full professor of Traction Electrical Drives at the Elec-
After graduation he became Assistant Professor trical Engineering Department of the University of Genova and with the
and then Associate Professor of Electrical Ma- charge of professor of Power Electronics Systems. He has served as chair-
chines at the Department of Electric Systems and man, cochairman and steering committee member of international meet-
Automation of the University of Pisa. At present, ings, and he is a reviewer of international journals, including the PRO-
he is Associate Professor of Power Electronics. CEEDINGS OF THE IEEE. His technical and scientific activities are mainly
His research interests include power converters, oriented toward electrical transportation systems and power electronics and
electricai drives, and robotics. He has published electrical drives. He is the author of more than 100 papers presented at
more than 50 papers. international conferences and published in international journals.

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