IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 68, NO.
2, FEBRUARY 2021
A Model Predictive Control Method for
Grid-Connected Power Converters
Without AC Voltage Sensors
Leilei Guo , Nan Jin , Member, IEEE, Yanyan Li, and Kui Luo
Abstract—A model predictive control (MPC) strategy for
grid-connected power converters is proposed in this article
to reduce the current ripples without using ac voltage sen-
sors. First, a sliding-mode observer is designed to estimate
the grid voltage with an adaptive compensation algorithm.
Thus, grid-voltage sensors are removed. The novelty of
the proposed grid-voltage observation method is that it
is inherent frequency adaptive without using the accurate
grid angular frequency. By implementing the MPC strategy
using the estimated grid voltage, the current ripples are
reduced, especially under distorted grid-voltage conditions
because of the low-pass filter used in the observer. Next, to
further reduce the current ripples, a double-voltage vector-
based MPC strategy is proposed based on the principle
of the modulated MPC. Detailed theoretical analyses are
also carried out to show its effectiveness for the first time.
Finally, experimental studies are carried out to verify the va-
lidity of the proposed ac voltage sensorless MPC strategy.
Index Terms—AC voltage sensorless, grid-connected
power converter, model predictive control (MPC), sliding-
mode observer (SMO).
I. INTRODUCTION
N RECENT years, with the fast development of renewable
I energy technologies, grid-connected power converters have
been widespread used in many renewable energy systems, such
Manuscript received April 29, 2019; revised September 4, 2019,
November 14, 2019, and December 13, 2019; accepted January 20,
2020. Date of publication February 5, 2020; date of current version
October 30, 2020. This work was supported in part by the National
Nature Science Foundation of China under Grant 51707176, and Grant
51607159, in part by the Key Scientific Research Project in Universities
of Henan Province under Grant 18A470020, and Grant 20A470011,
in part by the Scientific and Technological Project in Henan Province
under Grant 202102210103, in part by the Open Fund of Operation
and Control of Renewable Energy & Storage Systems (China Electric
Power Research Institute) under Grant 1810-00889, in part by the Youth
Talent Support Project of Hanan Province under Grant 2019HYTP021,
and in part by Science & Technology Innovation Talents in Universities
of Henan Province under Grant 18HASTIT025. (Corresponding author:
Nan Jin.)
L. Guo, N. Jin, and Y. Li are with the School of Electrical and Infor-
mation Engineering, Zhengzhou University of Light Industry, Zhengzhou
450002, China (e-mail: 2006guoleilei@163.com; jinnan@zzuli.edu.cn;
582074055@qq.com).
K. Luo is with the State Key Laboratory of Operation and Control of
Renewable Energy & Storage Systems, China Electric Power Research
Institute, Beijing 100192, China (e-mail: luokui@epri.sgcc.com.cn).
Color versions of one or more of the figures in this article are available
online at https://ieeexplore.ieee.org.
Digital Object Identifier 10.1109/TIE.2020.2970638
0278-0046 © 2020 IEEE. Personal use is permitted, but republication/redistribution requires IEEE permission.
See https://www.ieee.org/publications/rights/index.html for more information.
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1299
as wind power systems, and photovoltaic power systems, as they
can convert direct current (DC) electric power to alternating
current (AC) electric power smoothly [1]–[3].
To improve the power quality of grid-connected power con-
verters, many control strategies are proposed, such as grid-
voltage-oriented vector control [4], virtual-flux-oriented control
[5], direct power control [6], and direct current control [7].
Conventionally, in these control systems, five sensors, including
two ac current sensors, two ac voltage sensors, and one dc
voltage sensor, are required, which increase the hardware cost.
Moreover, once these sensors fail, the control system will lose
stability. As a result, to reduce the hardware cost and improve the
operation reliability of grid-connected power converters, voltage
and current sensors need to be minimized.
In recent years, several methods have been proposed to reduce
the current and voltage sensors. In [8]–[11], to reduce the current
sensors, phase current reconstruction techniques are studied.
However, the reconstruction precision is limited because of the
dead time effects as well as the sampling noise. As accurate ac
current is very important for the control and overload protection
of grid-connected power converters, it is preferable to sample it
instead of reconstruction.
As the ac current sensors cannot be removed, in [12]–[23],
strategies are presented to remove the ac voltage sensors.
Typically, there are two kinds of approaches, i.e., virtual-flux
observation-based methods and grid-voltage observation-based
methods. To calculate the virtual-flux, pure integration operation
is required, which is sensitive to the dc-drift and initial bias in
practical application. In [12] and [13], virtual-flux is estimated
using first-order low-pass filter (LPF) instead of pure integrator
to avoid these problems associated with pure integrator. How-
ever, magnitude and phase errors are generated inevitably be-
cause of the differences between the pure integrator and the LPF
[14], [15]. In [16], a second-order LPF is designed to estimate
the virtual-flux without magnitude and phase errors. In [17] and
[18], second-order generalized integrators are utilized to observe
the virtual-flux. However, all these filter-based virtual-flux ob-
servation methods are sensitive to grid frequency variations.
On the other hand, to control the grid-connected power
converters without ac voltage sensors, grid-voltage estimation
methods are researched in [19]–[23]. In [19], an adaptive neural
estimator is presented to eliminate the grid-voltage sensors. In
[20], a neural-network-based adaptation algorithm is proposed
to estimate the grid voltage. However, too many parameters
 1300
require to be adjusted online in [19] and [20]. In [21] and
[22], adaptive state observers are proposed for estimation of the
positive- and negative-sequence components of the grid voltage
under unbalanced grid conditions. Nevertheless, observer gains
should be selected carefully to ensure the stability of the ob-
server. In [23], a sliding-mode observer (SMO) is designed to
observe the grid voltage under unbalanced grid conditions, and
both of the positive- and negative-sequence components of the
grid voltage are obtained. However, the accurate grid angular
frequency is required. Although phase-locked loop (PLL) or
frequency-lock loop (FLL) can be utilized to observe the grid
angular frequency, the observation error caused by the detun-
ing of the controllers may enlarge the grid-voltage estimation
errors. So, further studies should be carried out to design the
grid-voltage observation methods without using the accurate
grid angular frequency.
Besides, although Yang et al. [23] has studied the model
predictive power control strategy without ac voltage sensors,
the power ripples are enlarged as the conventional single-voltage
vector (VV)-based model predictive control (MPC) method is
adopted. As known, MPC has received much attention in the last
few years in the field of power electronics and power drives [24],
[25]. To reduce the power and current ripples, multi-VV-based
MPC strategies have been studied in [26]–[32]. Typically, there
are two ways to calculate the duration time of each VV when
multiple VVs are applied per control period. The first way
is based on the deadbeat control principle [26]–[28], and the
second one is named modulated MPC [29]–[32], it is assumed
that the duration time of each VV is inversely proportional to
its cost function value. Although the accurate duration time can
be calculated using the first way, a large calculation amount
is required. As an alternative way, modulated MPC has been
studied by many researchers in [29]–[32] in recent years as it
is simple but effective. However, although a lot of experimental
studies have shown the superiority of the modulated MPC, few
papers have carried out studies to prove its effectiveness in
theory. As it is not reasonable to assume that the duration time
of each VV is inversely proportional to its cost function value,
detailed theoretical analyses are required to provide theoretical
supports for the modulated MPC.
In this article, an MPC strategy for grid-connected power
converters without ac voltage sensors is proposed. First, to
remove the ac voltage sensors, an SMO with a novel frequency-
adaptive compensation algorithm is proposed to estimate the grid
voltage. Different to the conventional grid-voltage estimation
strategies, the accurate grid angular frequency is not required
in the proposed method. Thus, it is frequency adaptive without
PLL and FLL. That is one of the most important contributions
in this article. Then, a grid-voltage sensorless MPC system
is established by implementing the predictive current control
using the estimated grid voltage. Because of the LPF used
in the observer, the influences of the background harmonics
of the grid voltage are reduced. Thus, the current ripples are
reduced significantly, especially under distorted grid-voltage
conditions. Additionally, to further reduce the current ripples,
a double-VV-based MPC strategy without ac voltage sensors
is also presented in this article. The duration time of each VV
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IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 68, NO. 2, FEBRUARY 2021
Fig. 1. Topology and VVs of the grid-connected power converter.
(a) Topology. (b) VVs.
is calculated based on the modulated MPC principle as it is
simple and effective. Moreover, a detailed theoretical analysis
is also carried out for the first time to show the effectiveness of
the proposed double-VV-based MPC strategy in theory, which
provides a solid theoretical support for double-VV-based mod-
ulated MPC strategy. That is another contribution of this article.
Finally, experimental results are given to verify the effectiveness
of the proposed MPC strategy without ac voltage sensors.
II. CONVENTIONAL MPC METHODS
The topology and VVs of the grid-connected power converter
are shown in Fig. 1. The basic VVs are u0 (000), u1 (100),
u2 (110), u3 (010), u4 (011), u5 (001), u6 (101), and u7 (111). In the
conventional MPC system, one of the eight VVs is selected by
minimizing the defined cost function, and then it is applied for a
whole control period to control the current of the grid-connected
power converter.
The mathematical model of the grid-connected power
converter shown in Fig. 1(a) can be depicted as
dig
L = −Rig + u − e (1)
dt
where u and ig are the output voltage and current of the grid-
connected power converter on the stationary αβ reference frame,
L is the filter inductance, R is its parasitic resistance, e is the grid
VV, and u = [uα , uβ ]T , ig = [igα , igβ ]T , e = [eα , eβ ]T .
To predict the current, the model shown in (1) is discretized,
and (2) is obtained as follows:
 
R Ts
ig (k + 1) = 1 − Ts ig (k) + (u(k) − e(k)) (2)
L L
where Ts is control period.
To compensate the inherent one step delay, the current
ig (k + 1) is first predicted based on (2) using the applied VV
u(k) in the last control period.
Next, to select an optimal VV in the next control period, all
the eight VVs depicted in Fig. 1(b) are substituted into (3) to
predict the current at (k+2)th instant
 
R Ts
ig (k + 2) = 1 − Ts ig (k + 1)+ (u(k + 1)−e(k + 1)).
L L
(3)
Then, all of the eight predicted currents are substituted into
the cost function given in (4) to evaluate their control effects.
The VV that can minimize the cost function g is selected as the
 GUO et al.: MPC METHOD FOR GRID-CONNECTED POWER CONVERTERS WITHOUT AC VOLTAGE SENSORS
optimal one, which will be applied in the next control period
g = |igref (k + 2) − ig (k + 2)|
where igref (k + 2) is the reference current, and igref =
[igαref , igβref ]T .
In the MPC system of grid-connected power converters, the
grid-voltage-oriented control is usually used to achieve power
decoupling control. The angle of the grid voltage is often ob-
tained by a PLL. And the grid voltage is often oriented on the
d-axis. The active current igdref and the reactive current igqref
are often given as the reference currents.
Then, the reference current igref (k + 2) can be calculated
based on (5) and (6)
 e = ksgn(Δig ) − [ksgn(Δig )]noise
igαref (k + 1) = igdref cos θg − igqref sin θg
(5)
igβref (k + 1) = igdref sin θg + igqref cos θg
 It can be seen from (10) that the grid voltages can be calcu-
igαref (k + 2) = 3igαref (k + 1) − 3igαref (k)+igαref (k − 1)
igβref (k + 2) = 3igβref (k + 1) − 3igβref (k)+igβref (k − 1)
(6)
where θg is the angle of the grid voltages.
From (2)–(6), it is easy to understand that to achieve the
predictive current control, the grid voltage is often required,
which can be obtained by using two ac voltage sensors.
Once the voltage sensors fail, the MPC system will lose its
stability.
To enhance the reliability of grid-connected power converters
and reduce the hardware cost, a new grid voltage observation
method is proposed in this article to remove the ac voltage
sensors. The details are depicted in the following.
III. GRID-VOLTAGE OBSERVATION
A. Design of the Grid-Voltage Observer
To get the grid voltage without ac voltage sensors, an SMO
is designed in this article, which is shown as
dige
L = −Rige + u − ksgn(Δig ) (7)
dt
where sgn () is the sign function, ige is the estimated current,
k is the sliding-mode gain, ige = [igeα , igeβ ]T , and Δig =
ige − ig .
According to (1) and (7), (8) can be deduced as follows:
dΔig
L = −RΔig − ksgn(Δig )+e. (8)
dt
To ensure the stability of the SMO shown in (7),
Δi∗g (dΔig /dt) should be less than zero. Thus, (9) can be
deduced as follows:
 grid voltage significantly.
−RΔig − k + e < 0 Δig > 0
. (9)
−RΔig + k + e > 0 Δig < 0
From (9), it can be concluded that to ensure the stability of
the SMO, k should be larger than max(|e|).
When the SMO converges, it means Δig = 0 and
dΔig /dt = 0. Thus, from (8) it is easy to understand that (10)
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1301
(4)
Fig. 2. Conventional compensation algorithm.
can be obtained as follows:
(10)
where [ksgn(Δig )]noise stands for the sliding-mode noise con-
tained in the sliding-mode term ksgn(Δig ).
lated now. However, as known, there are a lot of sliding-mode
chattering in the term ksgn(Δig ). Thus, to get the fundamental
frequency signal contained in ksgn(Δig ), LPF is required to
remove the high frequency sliding-mode chattering, and an
additional compensation algorithm is also required.
B. Conventional Compensation Algorithm
To get the grid voltages from the sliding-mode signal
ksgn(Δig ), an LPF is used first to remove the high-frequency
noise, shown as
eLPF = GLPF ksgn(Δig ) (11)
where eLPF = [eLPFα , eLPFβ ]T , and GLPF is shown as
ωc
GLPF = (12)
s + ωc
where ωc is the cutoff frequency of the LPF.
Although the high-frequency noise is eliminated by the
LPF, the fundamental frequency signal is also affected by
the LPF. Therefore, to get the actual grid voltage, additional
compensation is required.
If the actual frequency of the grid voltage is known, the phase
and amplitude deviations caused by the LPF shown in (12) can
be calculated and compensated easily, as illustrated in Fig. 2,
where E stands for the amplitude of the grid voltage, and ωg is
the actual gird angular frequency.
From Fig. 2 it can be known that to get the actual grid voltage,
the actual gird angular frequency should be estimated first.
Although it can be obtained by PLL or FLL, the estimation error,
which may be enlarged due to detuning of the proportional–
integral controller, will reduce the observation accuracy of the
C. Proposed Frequency Adaptive
Compensation Algorithm
To get the actual grid voltage without using the actual gird
angular frequency, a new compensation algorithm is proposed
in this article, which is depicted in Fig. 3.
 1302 IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 68, NO. 2, FEBRUARY 2021

Fig. 4. Bode diagrams of the transfer function G.

Fig. 3. Improved compensation algorithm.

Finally, by substituting the estimated grid voltage in (17) into

The main principle of the proposed method shown in Fig. 3 is (2)–(4), the predictive current control without ac voltage sensors
that same LPFs produce same phase and amplitude deviations is achieved. Because of the LPF used in (11), the harmonics
for same frequency signals. Thus, another LPF is used here to contained in the grid voltage can be suppressed. Thus, the
estimate the phase and amplitude deviations caused by the first current ripples can be reduced, which is similar to other virtual
LPF. By using this LPF, another filtered grid voltage can be flux-based control strategies [5].
obtained, shown as
D. Parameter Designing
eLPF2 = GLPF eLPF (13)
It is known that there are two key parameters for the proposed
where eLP F 2 = [eLP F 2α , eLP F 2β ]T . SMO, i.e., the sliding-mode gain k and the cutoff frequency ωc
From (11) it is known that grid voltage eLPF has no high- of the LPF. Here, the design methods of them are given.
frequency noise because of the LPF. Thus, its phase θg1 and First, from (8) it is deduced that
amplitude E1 can be directly calculated as
⎧  LsΔig + RΔig + ksgn(Δig ) = e. (18)
⎨ E1 = e 2
LPFα + eLPFβ
2

(14) Meanwhile, it is known that
⎩θg1 = tan−1 eLPFβ .
eLPFα Δig
sgn(Δig ) = . (19)
In the same way, the phase θg2 and amplitude E2 of the filtered |Δig |
grid voltage eLPF2 can also be calculated as Based on (18) and (19), it can be deduced that
⎧ 
⎨ E2 = e 2 ee 1 1
LPFα2 + eLPFβ2
2

G= =k (20)
(15) e L |Δig | s + R
+ k
⎩θg2 = tan−1 eLPFβ2 . L L|Δig |
eLPFα2
where ee stands for the estimated grid voltage.
Next, based on (14) and (15), the phase and amplitude devia- Set |Δig | = 0.2 A, L = 0.02 H, R = 0.05 Ω, the bode diagrams
tions caused by the LPF given in (12) can be calculated, which of the transfer function G are shown in Fig. 4 with the sliding-
is shown as mode gain k set as 20, 50, 100, 150, and 200, respectively.

ΔE = E 1 It can be seen from Fig. 4 that when k is small, the high-
E2 (16) frequency noise can be well suppressed, while the dynamic
Δθg = θg1 − θg2 response speed is slow. To improve the dynamic response speed,
where ΔE denotes the amplitude deviation, and Δθg stands for k should be larger, while the high-frequency noise may also be
the phase deviation. enlarged. Thus, a tradeoff between dynamic and steady state
Then, as the deviations caused by the LPF have been calcu- performance should be made. In this article, considering that
lated, the actual grid voltage can be estimated by compensating max(|e|) is 86.6 V, k is chosen as 100.
these deviations, which is shown as Besides, the cutoff frequency of the LPF used in the proposed
 method also should be selected carefully as it has a large influ-
eα = E1 ΔE cos(θg1 + Δθg ) ence on the dynamic and steady-state performances. If a small
. (17) cutoff frequency is chosen, the low-order harmonic voltages
eβ = E1 ΔE sin(θg1 + Δθg )
can be well suppressed. However, the dynamic response speed
As can be seen above, the actual grid angular frequency is will be reduced. On the contrary, if a large cutoff frequency is
not required in this new compensation strategy. Nevertheless, selected, although the dynamic response speed will be enhanced,
the proposed compensation strategy is still frequency adaptive the low-order harmonic voltages cannot be well suppressed. So,
by directly calculating the deviations caused by the LPF based in this article, the cutoff frequency ωc is set as 100 πrad/s for a
on (14)–(16). tradeoff between dynamic and steady state performances.

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 GUO et al.: MPC METHOD FOR GRID-CONNECTED POWER CONVERTERS WITHOUT AC VOLTAGE SENSORS 1303

E. Parameter Sensitivity Analysis TABLE I

LOCATION OF THE REFERENCE VV
As the proposed SMO is parameter dependent, a parameter
sensitivity analysis is carried out here.
If there is a parameter mismatch, (7) can be rewritten as
dige
(L + ΔL) = −(R + ΔR)ige + u − ksgn(Δig ) (21)
dt
where ΔL and ΔR stand for the parameter deviation. TABLE II
SELECTION PRINCIPLE OF CANDIDATE VVS
According to (1) and (21), the grid-voltage estimation error
Δe can be deduced as
Δe = jω0 ΔLig + ΔRig . (22)
Transforming (22) to the synchronous rotating coordinate, it
can be deduced that
     
Δed −igq igd
= ΔLω0 + ΔR (23) where ti,uj + ti,uk = Ts , ti,uj , and ti,uk are the duration times
Δeq igd igq of uj and uk , respectively.
where Δed and Δeq are the grid-voltage magnitude observation To obtain the synthesized VV, ti,uj and ti,uk should be calcu-
errors, igd and igq are the grid currents on the synchronous lated first. There are mainly two kinds of approaches to calculate
rotating coordinate. the duration times. The first one is based on the deadbeat control
Furthermore, from (23), the grid-voltage phase observation principle, which is time-consuming. The second one is named
error Δθ0 can also be deduced, which is shown as modulated MPC, which is assumed that the duration time of
    each VV is inversely proportional to its cost function value.
eq + Δeq eq
Δθ0 = tan−1 − tan−1 . (24) As this kind of methods is simple but effective, it has been
ed + Δed ed studied in many papers in recent years to control three-phase
When the grid voltage is oriented on the d-axis, it can be active rectifiers [29], shunt active filters [30], ac/dc converters
known that ed = E and eq = 0, where E stands for the magni- [31], and three-phase inverters [32]. Thus, in this article, this
tude of the grid voltage. Then, based on (24), (25) is deduced kind of duration time calculating method is utilized. The main
  implementation steps are explained below.
ΔLω0 igd + ΔRigq
Δθ0 = tan−1 . (25) First, to reduce the calculating amount, the reference VV
ed uref (k + 1) is calculated first according to the deadbeat control
From (23) and (25), it is known that the proposed SMO is sen- principle, depicted as follows:
sitive to the parameter mismatches, which is similar with [23]. L
Besides, parameter mismatches will also affect the MPC, which uref (k + 1) = [igref (k + 2) − ig (k + 1)]
Ts
has been analyzed in [33]. To further improve the robustness,
parameters should be identified online [34]. + Rig (k + 1) + e(k + 1) (27)
where e(k + 1) is obtained by the proposed grid-voltage observer,
IV. VV DOUBLE-VV-BASED MPC STRATEGY and uref = [urefα , urefβ ]T .
A. Implementation Method Then, the VV plane is divided into six sectors equally, as
shown in Fig. 1(b). Based on (27), the location of the reference
Although the proposed grid-voltage sensorless MPC strategy
VV can be calculated, which is shown in Table I, where θu is
can reduce the current ripples by suppressing the high-frequency
calculated based on (28).
harmonics contained in the grid voltage using LPF, the current
When the location of the reference VV is got, 3 instead of
ripples are still quite large as only one VV among the eight VVs
12 synthesized VVs can be selected as candidate VVs. Then,
are selected and applied per control period.
only these three candidate VVs are required to be utilized to
In this article, to further reduce the current ripples, a simple
implement the MPC. As a result, the calculating amount is
but effective double-VV-based MPC strategy is proposed.
reduced significantly. Table II is given to show the candidate
Based on the 8 basic VVs, 12 synthesized VVs usi (i =
VV selection principle.
1, 2, 3, 4, 5, 6, 7, 8, 9, 10, 11, 12) are defined, as shown in
Fig. 1(b). They are synthesized by (u0 , u1 ), (u7 , u2 ), (u0 , u3 ),  
(u7 , u4 ), (u0 , u5 ), (u7 , u6 ), (u1 , u2 ), (u2 , u3 ), (u3 , u4 ), (u4 , u5 ), −1 urefβ
θu = tan . (28)
(u5 , u6 ), and (u6 , u1 ), respectively. urefα
The synthesized VV can be expressed as (26) according to
Second, when candidate VVs are chosen, the duration times
the volt–second balance principle
of each VV that composing the synthesized VV are calculated
ti,uj ti,uk based on the modulated MPC principle. For example, if the
usi = uj + uk (26)
Ts Ts reference VV is located at sector I, us1 , us2 , and us7 are

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 1304 IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 68, NO. 2, FEBRUARY 2021

Fig. 6. Schematic diagram for analyzing the effectiveness of the

modulated MPC strategy.

As shown in Fig. 6, us7 is synthesized by u1 and u2 . Thus, it

can be expressed as
t7,u1 t7,u2
us7 = u1 + u2 . (33)
Fig. 5. Implementation steps of the proposed double-VV-based MPC Ts Ts
strategy.
Considering that t7,u1 + t7,u2 = Ts , (34) can be deduced as

selected as candidate VVs. Then, duration times of each VV that t7,u2

us7 = u1 + (u2 − u1 ). (34)
composing us1 , us2 , and us7 are calculated based on (29)–(31), Ts
respectively [29]–[32] According to the geometrical relationship depicted in Fig. 6,
 it can be obtained that |AD| = t7,u2 /Ts∗ |(u2 − u1)| and |BD| =
t1,u0 = G0 + G1 T s
G1
t7,u1 /Ts∗ |u2 − u1|. As t7,u1 /t7,u2 is equal to G2 /G1 according
(29)
t1,u1 = to (31), it can be deduced that |BD|/|AD| = G2 /G1 . Besides,
G0 + G1 T s
G0

 according to (32) it is easy to understand that G1 = |AC| and

t2,u7 = G7 + G2 T s
G2
t2,u2 = G7 + G2 T s
G7
 |AC|>|AF| is obtained. Then, it can be deduced that
t7,u1 = G1 + G2 T s
G2
t7,u2 = G1 + G2 T s
G1
where Gi (i = 0, 1, 2, 3, 4, 5, 6, 7) is calculated based on (32)
Gi = |uref (k + 1) − ui | .
When the candidate synthesized VVs are calculated according
to (26)–(32), they are substituted into (32) again to evaluate their
control performance, and the one that can minimize the cost
function given in (32) is chosen as the best one, which will be
applied in the next control period.
For clarity, Fig. 5 is given to illustrate the detailed implemen-
tation steps of the proposed MPC strategy.
B. Effectiveness Analysis
In recent years, a lot of papers have studied the modulated
MPC strategy. However, few papers have validated its effective-
ness in theory. Although when the cost function of the VV is
large, its duration time should be short, it is still not reasonable
to assume that they are inversely proportional. In this article,
to show the effectiveness of the proposed double-VV-based
modulated MPC strategy in Section IV-A, a detailed theoretical
analysis is carried out. In this analysis, it is assumed that the
reference VV is located at Sector I.
G2 = |BC|. Thus, |BD|/|AD| = |BC|/|AC|.
(30) Assume that there is a point F located on the segment AB
and |BC| = |BF|. As |BC| + |AC|>|AB| and |AB| = |BF| + |AF|,
(31) |BC| |BD| |BF|
= < . (35)
|AC| |AD| |AF|
As |BD|/|AD| is smaller than |BF|/|AF|, the point F must lie
on the segment AD instead of BD. As |BC| = |BF|, ࢬBCF =
(32)
ࢬBFC is true. Meanwhile, as ࢬCDB is an exterior angle of the
triangle CDF, ࢬCDB>ࢬBFC is true. Thus, ࢬCDB>ࢬBCF. As
ࢬCBD is smaller than π/3, ࢬBCF and ࢬBFC should be larger
than π/3. Thus, it is concluded that ࢬCDB> π/3 >ࢬCBD. Then,
according to the law of sines, |BC|>|CD| is true. As |BC| is the
voltage control error of u2 , and |CD| is the voltage control error
of us7 , it can be concluded that the control error is reduced when
us7 instead of u2 is applied.
In the same way, it can be deduced that |AC|>|CD|, meaning
that the control error of us7 is smaller than that of u1 . Similarly,
it can be verified that the control error of us1 is smaller than that
of u0 and u1 , and the control error of us2 is smaller than that of
u7 and u2 . Thus, it can be understood that it is effective to apply
the 12 synthesized VVs defined in this article instead of the 8
basic VVs to reduce the control errors. Moreover, it can also
be concluded that it is effective to calculate the duration times
of each VV based on (29)–(32), which is the basic principle
of the modulated MPC. Thus, the proposed double-VV-based
modulated MPC strategy can be utilized to further improve the
current control performance.

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 GUO et al.: MPC METHOD FOR GRID-CONNECTED POWER CONVERTERS WITHOUT AC VOLTAGE SENSORS 1305

Fig. 7. Photo of the experimental platform.

TABLE III
SYSTEM PARAMETERS Fig. 8. Grid-voltage observation results of the conventional
compensation algorithm. (a) 50 Hz. (b) 55 Hz.

V. SIMULATION AND EXPERIMENTAL RESULTS

To verify the validity of the proposed strategy, an experimental
platform shown in Fig. 7 is established and experimental studies
are carried out. In this platform, a digital signal processor of
DSP28335 is taken as the main controller. A bidirectional dc
power source APL-II is employed to emulate the dc side. A Fig. 9. Grid-voltage observation results of the proposed frequency
adaptive compensation algorithm. (a) 50 Hz. (b) 55 Hz.
programmable ac power source Ametek MX30 is employed to
emulate the grid. YOKOGAWA DLM4000 series oscilloscope
is used to record the experimental waveforms. The parameters
used in the experiment are shown in Table III.

A. Experimental Results of the Proposed

Grid-Voltage Observer
In the first experiment, the proposed grid-voltage observer is
tested to show its effectiveness and superiority. The conventional
compensation algorithm shown in Fig. 2 and the proposed fre-
quency adaptive compensation algorithm depicted in Fig. 3 are
compared. The results are shown in Figs. 8 and 9, where eα and
eβ stand for the actual grid voltages, while eeα and eeβ stand
for the estimated ones. In these experiments, igdref is 3 A with
igqref = 0. The grid-voltage frequency is set as 50 and 55 Hz,
respectively.
In the conventional compensation algorithm, the grid angular
frequency ωg is set as 100π rad/s, which is similar to [35]. In the
proposed frequency adaptive compensation algorithm, the grid
angular frequency is not required. As shown in Fig. 8(a), when
the gird frequency is 50 Hz, the grid voltage can be estimated
accurately by the conventional method. However, once the gird
frequency is changed, there will be an obvious grid-voltage
estimation error, as shown in Fig. 8(b), which may further
Fig. 10. Dynamic grid-voltage observation results of the proposed
frequency adaptive compensation algorithm.
enlarge the current control error. To reduce the estimation error,
the accurate gird frequency, which is used in the compensation
algorithm, should be estimated by PLL or FLL.
On the contrary, as shown in Fig. 9, the proposed method in
this article can observe the gird voltage accurately even when
the gird frequency is changed without the knowledge of the
accurate gird frequency, which shows its inherent frequency
adaptive characteristic.
Furthermore, to show the dynamic performance of the pro-
posed grid-voltage observer, another experiment is carried out
when the frequency of the grid voltage is suddenly changed from
50 to 55 Hz. The results are shown in Fig. 10. It is clear to see

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 1306 IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 68, NO. 2, FEBRUARY 2021

Fig. 11. Grid-voltage observation results of the proposed frequency

adaptive compensation algorithm under distorted conditions.

TABLE IV
DIFFERENCES BETWEEN THE THREE METHODS

that the voltage estimation errors are small during the dynamic
process, and the recovery time is also less than one rated period,
which further verifies the effectiveness of the proposed method
in this article.
Additionally, Fig. 11 is given to further show the estimated
grid voltage using the proposed method under distorted condi-
tions. In this test, a 7th harmonic voltage with its amplitude set Fig. 12. Current control performance under ideal grid-voltage
conditions. (a) MPC-I. (b) MPC-II. (c) MPC-III.
as 8.7 V is injected into the grid voltage.
It is clear to see from Fig. 11 that actual grid voltage is
distorted. However, the harmonic is reduced in the estimated
grid voltage. That is mainly because LPFs are used to observe the
grid voltage, as shown in Fig. 3. As a result, the current ripples
can be reduced when the estimated grid voltage is utilized to
implement the MPC algorithm. That is the second advantage of
the proposed grid-voltage observation method.

B. Experimental Results Under Ideal

Grid-Voltage Conditions Fig. 13. Current THD analysis result.

To further verify the effectiveness of the proposed method,

other experimental studies are also carried out. Here,
for convenience, the conventional single-VV-based MPC
strategy with sampled grid voltage is named MPC-I. The
single-VV-based MPC strategy without ac voltage sensors
using the proposed grid-voltage observation method illustrated
in Fig. 3 is named MPC-II. The proposed ac voltage sensorless
double-VV-based MPC strategy using the grid-voltage
estimation method depicted in Fig. 3 is named MPC-III.
In this test, igdref is stepped up from 3 to 10 A with igqref = 0.
To make a fair comparison, the control period is set as 66.67 μs
for all the three methods. The main differences of three methods
are summarized in Table IV. The results are illustrated in Fig. 12.
As shown in Fig. 12(a) and (b), similar current control perfor-
mance can be achieved by using the observed grid voltage, which
verifies the effectiveness of the proposed grid-voltage estimation
method. Moreover, it can be seen from Fig. 12(c) that by using
the proposed double-VV-based MPC strategy, the total harmonic
distortions (THDs) are reduced, which also shows the validity
of the proposed method as well as the theoretical analysis in
Section IV-A and -B.
As illustrated in Table IV, the main differences of the three
methods lie in two parts. First, the strategy MPC-I uses voltage
sensors to sample the actual grid voltage, while the other two
methods use the proposed SMO to estimate the grid voltage.
Second, the strategy MPC-I and MPC-II choose and apply only
one optimal VV per control period, while the proposed strategy
MPC-III applies two VVs per control period. Section IV-B has
verified the effectiveness of the proposed two-VV based MPC
strategy in theory, which means that the voltage error shown
in (32) can be further reduced compared to the single-VV-based
MPC strategy. As the voltage error is reduced, the current control
error and the current ripples can also be reduced, which has been
analyzed in detail in [36]. Thus, the current THDs shown in
Fig. 12(c) are smaller.
Additionally, the current THD analysis result of the proposed
method when igdref = 10 A and igqref = 0 is shown in Fig. 13
to further show its low-order harmonic along with the IEEE
Std.1547. It is clear that the current low-order harmonic does
not exceed the limit.

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 GUO et al.: MPC METHOD FOR GRID-CONNECTED POWER CONVERTERS WITHOUT AC VOLTAGE SENSORS 1307

Fig. 15. Experimental results of the double-VV-based MPC using the

conventional grid-voltage observation method. (a) 50 Hz. (b) 55 Hz.

Fig. 14. Current control performance under distorted grid-voltage

conditions. (a) MPC-I. (b) MPC-II. (c) MPC-III.

C. Experimental Results Under Distorted

Grid-Voltage Conditions
As known, the grid voltage is often distorted due to the
low-frequency harmonics caused by the nonlinear load, which
will affect the current control performance. In this section, the
control performance of the proposed method under distorted
grid-voltage conditions is tested. Here, igdref is set as 10 A
with igqref = 0. A seventh harmonic voltage is injected into
the three-phase grid voltage, which is the same as Fig. 11. The
experiment conditions are the same for all the three methods to
Fig. 16. Experimental results of the double-VV-based MPC using the
ensure the fairness of the comparison. The results are depicted proposed grid-voltage observation method. (a) 50 Hz. (b) 55 Hz.
in Fig. 14.
It is clear to see from Fig. 14(a) that the currents are distorted
when the conventional method is used. That is mainly because of
the influences of the distorted grid voltage. When the proposed grid-voltage observer on the double-VV-based MPC are further
grid-voltage sensorless control method is used, the current dis- tested. The proposed method shown in Fig. 3 and the conven-
tortion is reduced obviously, as shown in Fig. 14(b). The reason tional one depicted in Fig. 2 are compared. igdref is set as 10 A,
is that the harmonics contained in the grid voltage are reduced and igqref is set as 0. The frequency of the grid voltage is set as
because of the LPF used in the proposed grid voltage observation 50 and 55 Hz, and the results are depicted in Figs. 15 and 16,
method. Furthermore, when double VVs are applied per control respectively.
period, the current THDs can be further reduced, as illustrated Fig. 15 is the results when the conventional compensation al-
in Fig. 14(c), which shows the effectiveness of the proposed gorithm shown in Fig. 2 is used. In this algorithm, the frequency
method. of the grid voltage is assumed as 50 Hz. So, the grid voltage
can be observed precisely, as shown in Fig. 15(a), when the
actual grid-voltage frequency is 50 Hz. However, once the actual
D. Experimental Results Under Variable Frequency
frequency of the grid voltage is changed, there will be a phase
Grid-Voltage Conditions and amplitude estimation error in the estimated grid voltage,
The superiority of the proposed grid-voltage observer has as shown in Fig. 8(b). Thus, the current control error is also
been tested in Section V-A. In this section, the effects of the enlarged. As can be seen from Fig. 15(b), the actual current lags

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 1308
Fig. 17. Experimental results with dc offset.
Fig. 18. Estimated grid voltages with and without white noise.
(a) Without white noise. (b) With white noise.
behind the actual grid voltage when the grid-voltage frequency is
55 Hz. The reason is that the estimated grid voltage lags behind
the actual grid voltage in this situation, as depicted in Fig. 8(b).
On the contrary, when the proposed method shown in Fig. 3 is
utilized, the change of the gird voltage frequency has no effects
on the double-VV-based predictive current control, as shown in
Fig. 16, which shows the superiority of the proposed method.
E. Experimental Results Considering DC Offsets
Considering that dc offset is a common and unavoidable
practical situation due to the nonlinearity of the sampling chan-
nel, its influence on the proposed SMO is studied here. In this
experiment, igdref is set as 3 A with igqref = 0. DC offsets named
iαdc and iβdc are added to the current iα and iβ , respectively.
Then, iα and iβ with dc offset are used to estimate the grid
voltage using the proposed SMO. Here, iαdc is stepped up from
0 to 1 A at the time t1 , while iβdc is stepped down from 0 to −1
A at the time t2 . The results are shown in Fig. 17.
It can be seen from Fig. 17 that although there is a small
grid-voltage observation error because of the dc offsets, it is
very small, which can be analyzed theoretically.
F. Simulation Results Considering White Noise
To further show the robustness of the proposed grid-voltage
observation method against the white noise, a simulation study
is carried out. Here, igdref is set as 8 A with igqref = 0. A white
noise with its amplitude set as ±1 A is added to the currents iα
and iβ . Then, the currents with white noise are used to estimate
the grid voltage based on the proposed SMO. The observed grid
voltages are shown in Fig. 18.
It can be seen that the white noise added in the current has
an influence on the grid-voltage observation, which will further
affect the actual current. Fortunately, simulation results show
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IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 68, NO. 2, FEBRUARY 2021
Fig. 19. Simulation results when the inductance is increased.
(a) Estimated grid voltage. (b) Reference currents. (c) Current control
error.
that when the white noise is added, the THD of the actual current
is only increased from 1.97% to 2.05%, which is very small.
Moreover, it should be pointed out that such a large white
noise (±1 A) is almost impossible to appear in reality. When it
is reduced, its influence can be further reduced.
G. Simulation Results Considering
Parameter Mismatches
To show the effects of the parameter mismatches, another
simulation study is carried out. Here, igdref is set as 8 A with
igqref = 0. The inductance used in the control system is changed
from 0.02 to 0.03 H at 0.02 s. The results are shown in Fig. 19,
where iαref is the actual reference current that is calculated
based on the reference current igdref , igqref , and the actual gird
voltage angle, while iαrefe is the estimated reference current that
is calculated based on the reference current igdref , igqref , and the
estimated gird voltage angle.
It is clear to see from Fig. 19(a) that a voltage estimation error
is appeared when inductance is increased, and the estimated
grid voltage is lag behind the actual one. From Fig. 19(b) it
can be understood that the estimated current reference is lag
behind the actual one because of the lag of the estimated grid
voltage. Besides, it can be seen from Fig. 19(c) that although
the estimated current reference iαrefe is changed because of
the variation of the inductance at 0.02 s, the current control
error between iαrefe and iα is still very small, which shows
the robustness of the MPC algorithm. However, as there is a
large error between iαrefe and iαref , the actual current control
error between iαref and iα is large because of the inductance
mismatch. To improve the robustness of the observer against
parameter variation, parameter online compensation strategies
should be designed [34], which will be studied in the future.
Additionally, the computation time of the proposed method in
this article is also tested and compared with the deadbeat control
principle-based MPC method, which shows that the proposed
method has a reduced calculation amount.
 GUO et al.: MPC METHOD FOR GRID-CONNECTED POWER CONVERTERS WITHOUT AC VOLTAGE SENSORS 1309

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 1310 IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 68, NO. 2, FEBRUARY 2021
Leilei Guo was born in Henan, China, in 1987.
He received the B.S. and Ph.D. degrees in elec-
trical engineering from the School of Electrical
Engineering and Automation, Hefei University
of Technology, Hefei, China, in 2010 and 2016,
respectively.
He is currently a Lecturer in Electrical En-
gineering with Zhengzhou University of Light
Industry, Zhengzhou, China. He has published
more than 30 technical papers in journals
and conference proceedings. His current re-
search interests include model predictive control of induction motors,
permanent-magnet synchronous motors, and power converters.
Dr. Guo was selected into the Young Talent Promotion Plan of Henan
province, in 2018.
Nan Jin (Member, IEEE) received the B.S.
and M.S. degrees in electrical engineering
from Zhengzhou University of Light Industry,
Zhengzhou, China, in 2003 and 2007, respec-
tively, and the Ph.D. degree in power electronics
and electrical drives from Shanghai Jiao Tong
University, Shanghai, China, in 2012.
He is currently an Associate Professor in
Electrical Engineering with Zhengzhou Univer-
sity of Light Industry, Zhengzhou, China. He
was a Visiting Professor with the Department of
Electrical Engineering and Computer Science, University of Tennessee,
Knoxville, TN, USA. He has published more than 50 technical papers in
journals and conference proceedings, two books, and holds 12 Chinese
patents. His research interests include model predictive control method
for power converter, fault diagnosis, and tolerant control of power elec-
tronics system.
Dr. Jin was the recipient of the 2018 Highlighted Paper Award from
IEEE TRANSACTIONS OF POWER ELECTRONICS.
Authorized licensed use limited to: Seoul National Univ of Science & Tech (SNUT). Downloaded on February 09,2021 at 01:39:01 UTC from IEEE Xplore. Restrictions apply.
Yanyan Li was born in Henan, China, in 1987.
She received the Ph.D. degree in control sci-
ence and engineering from the College of Artifi-
cial Intelligence, Tianjin Key Laboratory of Intelli-
gent Robotics, Nankai University, Tianjin, China,
in 2017.
She is currently a Lecturer in Electrical Engi-
neering with Zhengzhou University of Light In-
dustry, Zhengzhou, China. Her current research
interests include model predictive control for
power converters, grid impedance identification,
and tolerant control of power electronics systems.
Kui Luo received the B.S. and M.S. degrees
in electrical engineering from Hefei University
of Technology, Anhui, China, in 2010 and 2013,
respectively.
From 2014 to 2015, he was funded by the
Chinese Scholarship Council (CSC) as a Vis-
iting Scholar with the Department of Electrical
Engineering, Technical University of Denmark,
Lyngby, Denmark. He is currently an engineer
in Renewable Energy Center, China Electric
Power Research Institute, Beijing, China. His
research interests include distributed optimal control of distributed gen-
eration, real-time, and power hardware-in-the-loop simulation.