IEEE Vehicle Power and Propulsion Conference (VPPC), September 3-5, 2008, Harbin, China

Research on Control Method of Three-Level NPC

Voltage Source Rectifier
Zhou Jinghua* Meng Yongqing** Li Zhengxi* Liu Kun*
* College of Mechanical and Electrical Engineering, North China University of Technology, Beijing, China.
Email: zjh@ncut.edu.cn
** School of Electrical Engineering, Xi’an JiaoTong University, Xi’an, China.

Abstract—In this paper, the mathematical model of three-
phase four-wire three-level neutral-point-clamped (NPC)
voltage source rectifier (VSR) using switching functions is
founded and its operating principle analyzed. Then a new
nonlinear control law based on Lyapunov’s stability theory
for the PWM rectifier is presented. With this control law,
the converter can be stabilized globally for handling large-
signal disturbances, and exhibit good transient response.
Also, by designing new three-level sinusoidal PWM method,
this paper solves effectively the problem that the neutral
point potential of DC-link has triple-harmonic fluctuation
resulting from existing three-level SPWM method.
Computer simulations of the system confirm the validity of
the mathematical model and the effectiveness of the
proposed control strategy.
Keywords—NPC; VSR; Lyapunov; SPWM
I. INTRODUCTION
Multilevel converter technologies are receiving
increased attention for its advantages of saving power and
improving the quality of voltage waveform in high-
voltage high-power adjustable speed drives (ASD)
applications. Among all the multilevel topologies, the
three-level “neutral-point-clamped (NPC)” voltage source
PWM converter/inverter topology [9] has been widely
researched and used for its relative simple structure and its
capability of bilateral power flow. However, the NPC
topology has the problem that the neutral point potential is
subject to fluctuation due to the irregular and
unpredictable charging and discharging action of the
upper and lower DC link capacitors[1][2]. The unbalance
of DC-link voltage may result in larger harmonics of
output voltage and even damage the power devices under
some severe conditions.
The problem of the neutral point potential variation in
NPC topology can be solved by using an additional
voltage regulator circuit [2] or by proper selection of
voltage vector in SVPWM modulation [3][4]. The former
solution need some extra software/hardware consumption
and may not suit for many high-power applications. The
latter solution can solve the unbalance problem efficiently
by controlling the charging and discharging action of the
upper and lower DC link capacitors, but the method will
be difficult to be realized when switch loss and output
voltage harmonics are considered at the same time.
In this paper, the operating principle of three-phase
four- wire three-level neutral-point-clamped (NPC)
voltage source rectifier (VSR) system [5][6] is thoroughly
analyzed, and a new nonlinear control law based on
Lyapunov’s direct method[7] for the three-level NPC
PWM rectifier is presented which can overcome the
variation and triple-harmonic fluctuation problem of the
neutral point potential of DC-link.
II. SYSTEM MODELING

Fig.1 Three-phase four-wire three-level NPC VSR

a Uppercase: Project Supported by Science and Technology The three-phase four-wire three-level neutral-point-
Development Project of Beijing Municipal Commission Of Education clamped (NPC) voltage source rectifier (VSR) using
(KM200710009004) IGBT as power device is shown as Fig.1.

978-1-4244-1849-7/08/$25.00○
C 2008 IEEE
 IEEE Vehicle Power and Propulsion Conference (VPPC), September 3-5, 2008, Harbin, China

It is assumed that the input AC voltage is a balanced

⎡ R Sd1 Sd 2 ⎤
three-phase supply as follows: ⎢ −L ω 0 − ⎥
L L
ea = Em cos(ωt ) ⎢ ⎥
⎢ R S q1 S q1 ⎥
2π ⎢ −ω −
L
0 −
L L ⎥
eb = Em cos(ωt − ) (1) ⎢ ⎥
3 ⎢ R So1 So 2 − 2⎥
G=⎢ 0 0 − − ⎥
2π L 4L 4L
ec = Em cos(ωt + ) ⎢ ⎥
3 ⎢ 3S d 1 3Sq1 3So1 ⎥
And all the power devices work under ideal condition. ⎢ 2C 0 0 ⎥
⎢ 2C 2C ⎥
R is a resistance that models the parasitic resistive effects
⎢ −3S d 2 −3Sq 2 3 2 − 3So 2 ⎥
of the inductor L and the impedance associated to the ⎢ 0 0 ⎥
source and switches, iL1 and iL2 are the load currents as ⎣ 2C 2C 2C ⎦
shown in Fig.1. Because the switching functions of each ⎡1 ⎤
⎢L 0 0 0 0 ⎥
phase Si1 and Si3 , Si2 and Si4 (i=a, b, c) are complementary ⎢ ⎥
each other, two independent switching functions Si1 and ⎢0 1
0 0 0 ⎥
Si2 are selected to describe the switching status of each ⎢ L ⎥
phase. According to the KVL and KCL law of circuit ⎢ ⎥
1
theory, the mathematical model under abc coordinate B = ⎢0 0 0 0 ⎥
⎢ 4L ⎥
using switching functions Si1 and Si2 (i=a, b, c) as input ⎢ ⎥
⎢0 1
variables can be deduced as below: 0 0 − 0 ⎥
⎢ C ⎥
x = A ⋅ x + B ⋅ e (2) ⎢ 1⎥
⎢0 0 0 0 − ⎥
where x = [ia ib ic udc1 udc 2 ] e = [ ea eb ec iL1 iL 2 ]
T T
⎣ C⎦
and From equation (4), it is clear that the mathematical
A= model of the rectifier system includes the product items of
⎡ R −3S a1 + Sb1 + S c1 3S a 2 − S b 2 − S c 2 − 1 ⎤
control inputs Si1 , Si2 ( i =d, q, o) and state variable x,
⎢ −L 0 0
4L 4L ⎥ which makes the system a five rank nonlinear system, and
⎢ ⎥ the zero-sequence current io is controlled by So1 and So2.
⎢ 0 R 3S a1 − Sb1 + S c1 − S a 2 + 3Sb 2 − S c 2 − 1 ⎥
⎢
− 0
⎥
So the DC-link midpoint potential of the three-phase four-
L 4L 4L wire three-level NPC VSR system can be controlled by
⎢ ⎥
⎢ 0 R −3S a1 + Sb1 + S c1 − S a 2 − S b 2 + 3S c 2 − 1 ⎥ introducing zero-sequence current io based on controlling
0 −
⎢ L 4L 4L ⎥ the reactive current iq of the AC side and the output
⎢ S Sb1 S c1 ⎥
⎢ a1 0 0 ⎥ voltage udc of the DC side.
⎢ C C C ⎥
⎢1 − S 1 − Sb 2 1 − Sc 2 ⎥ III. CONTROL STRATEGY
⎢ a2
0 0 ⎥
⎣ C C C ⎦ As mentioned above, the rectifier system is a five rank
nonlinear system, so a nonlinear controller based on
⎡ 3 −1 −1 0 ⎤
0 Lyapunov’s direct method for the three-phase four-wire
⎢ −1 3 −1 0 ⎥
0
⎢ ⎥ three-level NPC PWM VSR is developed in this section,
⎢ −1 −1 3 0 ⎥
0
A. Steady-State Solution of the System
B=⎢ ⎥
⎢ 0 0 0 − 4L 0 ⎥ From equation (1) and (4), the switching model of the
⎢ C ⎥
⎢ ⎥ three-phase four-wire three-level NPC PWM VSR under
⎢0 0 0 4L ⎥ rotating d-q frame can be obtained as Fig. 2.
0 −
⎣⎢ C ⎦⎥ When system works in steady state, it is obvious that
For modeling and control design, it is very helpful and ed=Em; the DC-link voltage reaches the reference voltage:
convenient to transform three-phase variables into rotating 2Vr; id=In; iq=0 (Unity Power Factor); udc1=Vr; udc2=Vr;
d-q frame. A transform matrix below is used. iN=-3io/ 2 =0 (DC-link midpoint potential is controlled).
⎡ 1 ⎤ The above relationship can be substituted into equation (4)
⎢ cos(ωt ) − sin(ωt )
2 ⎥⎥ m and get:
⎡ ma ⎤ ⎢ ⎡ d⎤
⎢ m ⎥ = ⎢cos(ωt − 2π ) − sin(ωt − 2π ) 1 ⎥⎢ ⎥ (3) Em = RI n + ( S d 1 + S d 2 )Vr (5)
⎢ b⎥ ⎢ 3 3 ⎥ ⎢ mq ⎥
2⎥ 3 3
⎣⎢ mc ⎦⎥ ⎢⎢ 2π 2π
⎢m ⎥
1 ⎥⎣ o⎦
S d 1I n = iL1 S d 2 I n = −iL 2 (6)
2 2
⎢cos(ωt + 3 ) − sin(ωt + 3 ) ⎥
⎣ 2⎦ ( S o1 + So 2 − 2)Vr = 0 (7)
Where m∈{i e S(a,b,c)1 S(a,b,c)2}.The mathematical model
Let Sq1=Sq2, the switching functions in the steady state
under d-q coordinate using switching functions Si1 and Si2
are obtained as follows:
(i = d, q, o) as input variables is obtained:
z = G ⋅ z + H ⋅ f (4) 2iL1 2iL 2
S d 1s = Sd 2s = −
3I n 3I n
where
ωiL 2
z = ⎡⎣id iq io
T
udc1 udc 2 ⎤⎦ e = ⎡⎣ed eq eo iL1 iL 2 ⎤⎦
T
S q1s = S q 2 s = − (8)
3I n
and So 2 s = 2k S o 2 s = 2(1 − k )
 IEEE Vehicle Power and Propulsion Conference (VPPC), September 3-5, 2008, Harbin, China

Fig.2 The switching model of three-phase four-wire three-level VSR under rotating d-q frame
Substituting equation (8) into (5) can get the steady Due to limited space, the expression of remnant part ν
state solutions of id as of V is not written here, but it can be proved that ν is
1 positive definite. So it is obvious that V along any system
In = ( Em ± Em2 − 8 RVr (iL1 − iL 2 ) / 3) (9)
2R trajectory is negative definite if:
The smaller In will be used below. The meaning of k ΔS d 1 = γ ( I dVr − udc1 I n ) ΔSd 2 = γ ( I dVr − udc 2 I n )
(0≤k≤1) in equation (8) will be illustrated in section ΔS q1 = γ I qVr ΔS q 2 = γ I qVr (15)
III.C.
ΔSo1 = γ (4 I oVr − 3I oudc1 ) ΔSo 2 = γ (4 I oVr + 3I oudc 2 )
B. Lyapunov-Based controller Design Assume the coefficient γ (γ >0) of the perturbations
Although the open loop system is asymptotically stable, above is same for the convenience of research.
its dynamic behavior is not in general satisfactory, After substituting (8) and (15) into (13), the nonlinear
becoming increasingly oscillatory as R approaches zero controller based on Lyapunov’s stability theory has been
(with R→0, the system is not stable), and the third designed for the rectifier system. Fig. 3 illustrated the
harmonics in the DC-link midpoint potential can not be block diagram of this control strategy.
controlled.
A controller designed based on Lyapunov’s direct
method can not only make the converter system globally
asymptotically stable but also have good transient
response, and the DC-link midpoint potential can be
controlled at the same time.
Base on the Lyapunov’s stability theory, a positive
definite Lyapunov function candidate is defined as:
3 2 3 2 3 2
V= Lx1 + Lx2 + Lx3 + Cx42 + Cx52 (10)
2 2 2
Where x1, x2, x3, x4 and x5 are the state variables of the
system which is defined as:
x1 = id − I n x2 = iq x3 = io x4 = udc1 − Vr x5 = udc 2 + Vr (11)
Taking the derivative of equation (10) along any system
trajectory gives:
V = 3Lx1 x1 + 3Lx2 x2 + 3Lx3 x3 + 2Cx4 x4 + 2 Lx5 x5 (12)
Consider the perturbations away from the nominal
operation (steady state) of the switching functions: Fig.3 The block diagram of the closed-loop system
S d 1 = S d 1s + ΔS d 1 S d 2 = S d 2 s + ΔS d 2
C. Three-level PWM Modulation Method
S q1 = S q1s + ΔSq1 S q 2 = S q 2 s + ΔS q 2 (13)
To realize the nonlinear control scheme shown in Fig.
So1 = So1s + ΔSo1 So 2 = So 2 s + ΔSo1 3, the controller outputs Si1, Si2 (i=d, q, o) under rotating d-
After substituting (4), (11), and (13) into (12) and q frame need to be transform into switching function
simple manipulation, the expression for V x is obtained (modulation signal) Si1, Si2 (i=a, b, c ) under static a-b-c
as: frame by using equation (3) to get the required switching
signals after proper modulation algorithm.
V = −3( I dVr − udc1 I n )ΔS d 1 − 3( I dVr + udc 2 I n )ΔS d 2
Because of the existence of the zero-sequence
3 component of switching function, the SVM modulation
−3I qVr ΔS q1 − 3I qVr ΔS q 2 − (4 I oVr − 3I oudc1 )ΔSo1 (14)
4 method can not be used to synthesize the desired
3 switching vectors. A new three-level PWM modulation
− (4 I oVr − 3I o udc 2 )ΔSo 2 − ν method is developed as follows.
4
 IEEE Vehicle Power and Propulsion Conference (VPPC), September 3-5, 2008, Harbin, China
Consider the conventional three-level SPWM procedure
in Fig.4, phase A as an example. The modulation voltage
of phase A Va can be calculated as:
Va = Sa1udc1 + (1 − Sa 2 )udc 2 (16)
Sa1 and Sa2 in equation (16) can be obtained from
equation (13) and (3). It is obvious in Fig. 4 that the
waveform of the actual switching signal is not
corresponding to that of the switching function
modulation signal. So, as for the switching function Sa1
and Sa2, the traditional SPWM modulation is a nonlinear
one and it results in the triple-harmonic fluctuation on the
DC-link neutral point and deteriorated control
performance[8].
Fig.4 Conventional three-level sinusoidal PWM
To realize the linear modulation of the switching
functions Sa1 and Sa2 , two criterions must be satisfied:
no over-modulation and no switching combination {Si1=1,
Si2=0, (i=a, b, c)} (the switching restrictions of NPC
topology).
It is proved that if the switching function modulation
signals Si1 and Si2 (i=a, b, c) can be transformed to the
interval [0, 1], they can be linearly modulated by simple
two-level SPWM method. The k in equation (8) is used to
realize the method.
Assume the load of the DC-link is balanced and the
system works in steady-state, without considering the
zero-sequence component of Si1, Si2 (i=a, b, c), it can be
derived that:
1 Line resistance: R=0.1 Ω;
Sd21 + S q21 ≤ (17)
2 DC-link capacity: Cup=Clow=C=1000μF;
When the zero-sequence component of Si1, Si2 (i=a, b,
c) is considered, the following equation can be got from
equation (7).
So1 + So 2 − 2 = 0 (18)
From the inverse of (3), the offset (zero-sequence
component) of Si1, Si2 (i=a, b, c) must satisfy:
δ o1 + δ o 2 = 1 (19)
where So1 = 2δ1 , So 2 = 2δ 2 .
From equation (8) and (19), it can be deduced that:
δ1 = k δ 2 = 1 − k (20)
If let k in equation (8) be
k = S d21 + S q21 (21)
then Si1 and Si2 (i=a, b, c) are added proper zero-
sequence component and transformed from bipolar signal
to unipolar signal confined in interval [0,1] as:
0 ≤ S a1 , Sb1 , Sc1 ≤ 2k (22)
1 − 2k ≤ S a 2 , Sb 2 , Sc 2 ≤ 1 (23)
where 0 ≤ K ≤ 0.5, Si 2 > Si1 (i = a, b, c)
Two-level SPWM is shown in Fig.5. It can be
concluded that the equivalent low-frequency relationship
between the modulation signal Sa1' and the actual
switching signal STa1 is:
S a1 '+ 1
STa1 = (24)
2
Fig.5 Two-level sinusoidal PWM
Let
S a1 ' = 2 S a1 − 1 (25)
Substitute (25) to (24), the linear modulation
relationship can be achieved as
STa1 = S a1 (26)
As long as the (22) and (23) are fulfilled, the over
modulation will not occur and (26) can be assured true. In
addition, because of Si2>Si1 (i=a, b, c), when Si1=1, Si2 is
confined to 1. The switching restriction can be fulfilled
(no Si1=1, Si2=0, i=a, b, c).
IV. SIMULATION RESULTS
Simulations base on the proposed system mathematical
model, control strategy and PWM modulation method
have been performed by using Matlab SimPowerSystems
Package to prove the validity of the system designed. It is
assumed here that the rectifier has a balanced three-phase
supply and two balanced inductive loads. The
environments of the simulations are listed below:
Output power: 50kW;
Source voltage: 380Vrms (line-to-line);
Loads: RL=10Ω, LL=4mH
Line inductance: L=4mH;
Reference voltage: 2Vr = 1000V;
Switching frequency: fs=2kHz;
Controller coefficient: γ =2×10-5;
Output voltage (V)
Fig.6 The output voltage of DC-link
Fig. 6 describes the waveforms of the DC-link output
voltage (udc, udc1, udc2). Fig. 7 illustrates the waveforms of
line voltage and current of phase A of AC source. From
those figures, it is clear that the nonlinear controller
proposed can overcome the problem of the neutral point
potential variation and triple-harmonic fluctuation when
the rectifier system works with unity power factor. Also
the system has good transient response. Fig.8 is the
harmonic spectrum of phase A line current with the
THD=2.78%.
 IEEE Vehicle Power and Propulsion Conference (VPPC), September 3-5, 2008, Harbin, China

Fig. 13 describes the waveforms of the response of DC-

output voltage, line voltage and line current of phase A
when a sudden load changes from zero to nominal
value(t=0.2s). Fig. 14 describes the waveforms of the
response of DC-output voltage, line voltage and line
current of phase A when a sudden load changes from
nominal value to zero(t=0.4s).

Fig.7 Line voltage ea and line current ia of AC source

Fig.12 Input line-to-line voltage Vab of the rectifier

Fig.8 Harmonic spectrum of line current ia

Fig.9 describes the active, reactive and zero-sequence
components of line current in d-q frame under steady-
state. It shows that the reactive and zero-sequence current
is sustained to zero well. Fig.10 demonstrates the
switching function of the controller Si1 (i=d, q, o) in d-q
frame under steady-state.
(a) DC output voltage
Line voltage (V)
Line current (A)

Fig.9 id, iq, io components of line current in d-q frame

(b) Line voltage and line current of phase A
Fig. 13 Response of DC-output voltages, line voltage ua and line current
ia for a sudden load change from zero to nominal value

Fig.10 Switching function Si1 (i=d,q,o) in d-q frame

(a) DC output voltage

Switch value

Fig.11 Switching function Sa1(low), Sa2(up) in a-b-c frame

Fig. 11 is the switching function of phase A Sa1 (upper)
and Sa2 (lower) in a-b-c frame under steady-state. It is
obvious to see that the switching function is confined in (b) Line voltage and line current of phase A
[0, 1] and Sa2>Sa1, which satisfies the inner requirement of Fig. 14 Response of DC-output voltages, line voltage ua and line current
NPC switching patterns. Fig. 12 is the waveform of input ia for a sudden load change from nominal value to zero
line-line voltage Vab of the rectifier.
 IEEE Vehicle Power and Propulsion Conference (VPPC), September 3-5, 2008, Harbin, China
Fig. 15 illustrates the waveforms of DC-output
voltage, line voltage and line current of phase A for a
sudden change from rectifying to regenerating.
Output voltage (V)
Time (s)
(a) DC output voltage
(b) Line voltage and line current of phase A
Fig. 15 Response of DC-output voltages, line voltage ua and line current
ia for a sudden change from rectifying to regenerating
V. CONCLUSION
A nonlinear controller based on Lyapunov’s stability
theory has been proposed for the three-phase four-wire
three-level NPC PWM VSR in this paper. The converter
system using this method has the unique features of global
stability and good transient response. At the same time,
the unity power factor of AC source is achieved and the
THD of line current is low. Based on thorough analysis of
the mathematical model of the rectifier system, the new
three-level PWM modulation method developed can solve
the problem of variation and triple-harmonic fluctuation of
the DC-link neutral point potential that exist in
conventional SPWM modulation method. The validity of
the mathematical model and the nonlinear controller
designed based on Lyapunov’s direct method has been
verified by simulation results.
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