ANALYSIS O F AN AC TO DC VOLTAGE SOURCE CONVERTER

USING PWM WITH PHASE AND AMPLITUDE CONTROL

Rusong Wu, S.B.Dewan, G.R. Slemon
Department of Electrical Engineering
University of Toronto, Canada, M5S 1A4
G e n e r a l Model
Establishment

Abstract
This paper presents a comprehensive analysis of a pulsewidth modulated AC to DC voltage source convecter under
phase and amplitude control. A general mathematical model
of the converter, which is dicontinuous, time-variant, and nonlinear, is first established. To obtain closed-form solutions, the
following three techniques are used: Fourier analysis, transformation of reference frame and small signal linearization. Three
models, namely, a steady-state DC model, a low frequency
small signal AC model and a high frequency model, are consequently developed. Finally, three solution sets, namely, the
steady-state solution, various dynamic transfer functions and
the high frequency harmonic components, are obtained from
the three models. The theoretical results are verified experimentally.
1. Introduction

Increasingly, AC to DC converters are required to provide

good input power factor, low line current distortion and regeneration. The pulse-width modulated AC to DC voltage source
converter has such good features. Several control strategies
of this kind of converter have been proposed [1]-[9]. One of
them is the phase and amplitude control (PAC) [1)-[4],
which
has a simple structure and provides a good switching pattern.
This paper will present a comprehensive analysis of the converter under this control, including steady-state, dynamic and
harmonic aspects.
The procedure of analysis is shown diagrammatically in Fig.
1. A general mathematical model of the AC to DC voltage
source converter has been derived in a previous paper[9]. It is
useful in computer simulation to get a detailed time response of
the converter. But this model is time-variant, non-linear and
includes switching functions. It is therefore difficult to get analytical closed-form solutions. To solved it, three techniques are
applied. The first one is the Fourier analysis to get rid of discontinuities. After that, the general model is divided into two
models, the low frequency model and the high frequency model.
Both are continuous and the boundary separating them is the
switching frequency. The second technique applied is the transformation to a rotating frame of reference, synchronized with
the utility frequency, making the system time-invariant. The
third technique is small signal linearization to linearize within
a small area around the DC operating point. The system is further divided into two parts, the steady-state DC model and the
small-signal AC model. From them, the steady-state operating
point and various dynamic responses can be solved seperately.
Finally, the input current harmonic and the output voltage
ripple can be calculated from the high frequency model.

Equations with
Switching Function

Low F r e q u e n c y

High F r e q u e n c y
Nonlinear
Transformation
t o a Rotation
Frame o f
Reference
Time1n v a r i a n t

Equations

small-Signal
Linearization

Input
Current
Harmonic
Analysis

P@'

output
Voltage
Ripple
Analysis

Switching
Pattern
C r e a t e d by
PAC C o n t r o l

Linear
Equations
Steady-State
DC Model

Small-Signal
AC m o d e l

solution

Fig.1: Procedure of analysis

(2) the filter inductors L are linear; saturation is not considered;
(3) the DC load is equivalent to a resistance ro in series
with a electromotive force eh.
This load model can represent a wide variety of loads. The
converter can work either in the rectifying mode ( e t < V d
) or in the regenerating mode ( eh > V d ). The series ro, e t
equivalent load can simulate current source loads by use of large
T O and e t values. It can also represent a voltage source load,
if ro is set low, or represent a pure resistance load by setting
e L zero. When the equivalent load includes some inductive or
capacitive elements, the whole system will have a higher order.
The analysis will be more complicated. but the procedures to
be shown are still applicable.

2. General Model of the AC to DC Voltage Source

Converter
The main circuit of an AC to DC voltage source converter
is shown in Fig.2. This circuit will be analyzed under the
following assumptions:
(1) the utility is a three phase balanced, sinusoidal voltage
source;

Fig.2: Main circuit of the AC to DC voltage source

converter

89CH2792-0/89/0000-11S6$01.00 0 1989 IEEE

A' =

-R

-R

d;

d;

-(d:-

(1 - d;)T

;Ed:)

$Ed;)

-(d:-

(3)

-1lro

where d, is the average value (or duty ratio) of the switching

function dt within one switching period. Therefore

O L O O
(4)

O O L O

LJ(l+ds)r
1 . d(w,t) = d,

a.

a,

= 0

b,

o o o c

277

1 0 0 0

B=

+ d,)r

Fig.3: Symmetrical double-edge modulated switching

function d;

L O O 0
Z=

(1

0 1 0 0

(l-d,)n

(9)
2

nr
-sin(nd;r)
2
+ c(-l)".
-sin(nd,a)
nr
m

(5)

df = di

0 0 1 0

cos nw,t

(10)

n=l

2
Ed: = E d ; + c[c(-l)".
-sin(nd,r)]cosnw,t
nr

where R = RL Rs is the total series resistance in one phase,

and df (i = 1, 2 or 3) is the switching function of the switching
device Si. When the Si is on, d: = 1. Otherwise df = 0.
Because no specific restriction was imposed on the switching function dr during the derivation, this mathematical model
is a general one, and universally applicable to six-step, various forms of pulse-width modulation or to other switching
strategies. It provides an exact solution at any moment if the
switching function d: is defined, and it is especially useful in
a computer simulation to obtain a detailed waveform in the
time domain. The problem with this model is that it can give
only a piece-wise solution instead of a continuous closed-form
one owing to the existence of the switching function. It is difficult to use this model to evaluate the steady-state or dynamic
performance of the system analytically.

C O 3

r=l

i=l

n = l i=l

(11)

Substitution of eq.10 and 11 into the matrix A* (eq.3) yields:

A'=A+Ah

(12)

where

1 -R

-R

-R

-(dl

$E:=,
di)

-(&-+Ed;)
-(d3-:Edi)

3. Fourier Analysis Applied to the Converter Model

To obtain continuous equations to describe the converter,

the Fourier analysis can be applied to the model.
The Fourier series of a periodical time function is
f(wt) = a0

n=l

ansinnwt

and

b, cos nut

(7)

n=l

For a natural sampling sinusoidal pulse-width modulation,

the switching points within one switching period are not symmetrical. However, when the switching frequency is much
higher then the utility frequency, the modulating wave can be
regarded as a constant within each switching period. Therefore
the switching pattern is close to a symmetrical one, as shown
in Fig.3. The switching funtion df can be expressed as follows:

n=l
CO

A4k =
n=l

The matrix A describes the low frequency property of the

converter and the matrix Ah gives the characteristics in the
range equal to and higher than the switching frequency. The
variable vector x also can be partitioned into two parts correspondingly,
2

and

,--,

2
[(-1)". ~sin(ndka)cosnwst] IC = 1, 2, or3(16)

= 21

+ xh

Therefore eq.1 becomes:

1157

(17)

Z(xr

+ i h ) = ( A + Ah)(Xi + X h ) + B e

(18)
1.0

It can be regarded as a combination of two models: one is

the low frequency model in the range lower than the switching
frequency F,,
Z i l = Ax,

+Be

(19)

The other is the high frequency model in the range of F

ZXh

= AhXl

+ AXh -k AhXh

1 F,,
(20 1
-1.0

Eq.19 can also be derived using the state-space averaging technique [lo], which ignores high frequency components.
However, through the use of Fourier analysis, one can get both
the low and the high frequency models.
For simplicity, the subscript I in all low frequency equations will be omitted henceforth, i.e.

Zx = Ax + B e

(21)

The corresponding variables, i l , 2 2 , iJ, vd represent only the

respective low frequency components. The high frequency components, i.e. the harmonics, will be expressed with a subscript
h.
In the high frequency model, eq.20, the harmonic component x h is usually much smaller than the low frequency component x , consequently, the second and third items on the right
side of eq.20 can be neglected to get an approximation,
ZXh N

Ah2

ut
Fig.4: Switching function d; and duty ratio dl in the
phase and amplitude control

(22)

Two separate models obtained in eq.21 and 22 pave the

way for solving the system analytically both in the low and
high frequency ranges.

l o

4. State-Space Equations in Rotation Frame of

For a three phase balanced system,

Reference
To solve eq.21, the function of the duty ratio d; in matrix A
should be known. For the PAC control, d; is controlled by the
phase shift 11, and modulation index m. From Fig.4 it is seen
that, if the modulating wave of phase 1 is m cos(wt - $), and
the switching frequency is much higher than the modulating
frequency, the duty ratio di can be expressed for phase i as:
2T
1
d; = - cos w t - 11, - ( 2 - 1)-3
2
3
2
Because d; is a function of time, matrix A of eq.13 is timevariant. Fortunately, the duty ratio d; of PAC control is a
cosine function of time synchronized with the utility frequency.
It is therefore possible to transform the system to a rotating
frame of reference, in which it appears time-invariant.
First, apply a transformation to the voltage vector e .

e , cos w t

el

e=

e2

e3

eL

9)
e , cos(wt + 9)

e , cos(wt -

eL

After transformation, the voltage vector in the rotating frame

of reference e, becomes:

(27)

e = Te,

Now, the voltage vector does not change with time in the rotating frame of reference. The zero sequence component eo equals
zero owing to the balanced condition. Both the forward and
The dc side
backward components e and eb equal &e,/2.
electromotive force eL is not affected by the transformation.
The next step is applying the transformation to the state
variable vector,

or
e, = T - e

(24)

where the subscript r represents the variable, vector or matrix in a rotating frame of reference. The transformation matrix T and its inverse matrix T-are:

x =Tx,

(28)

x , = T-x

(29)

or

i.e.
1158

5. Small Signal Linearization and DC, AC Models

After rotating of the reference frame, the converter represented by eq.34 becomes a time-invariant system. But it is
still a nonlinear one. Small signal linearization around its DC
operating point can be applied for solution. Let:
x,, =

x,,+

(41)

j.rr

i.e.

- -

-R

io

-R+jwL

e e j *

if

Lib

-R-jwL

CCd

L&
La f

e,-,*
eeJ*

-1
0

- ~ + j w ~
Arr

0
+ze-j+

+=
%A

ib

__

Vd

9
.
70

(33)

O=

ro
-1

-R+]RL

-R-]RL

Fe-,* FeJ*

+e]+

- R - ~ ~ +Li e - j +
+,j+

(38)

(39)

1159

*
*

-Fe,*If
-Fe-,*

_ -1

Ra

Ib

_ _ vd -

+
-

EL

R a -

LiL
A, =

In the lossless situation ( R = 0, r = 7r/2),

01

I: :J
-:L

0 0

and the RMS value of the steady-state line current from eq.60
is

(53)

I = Im/2= V d M sin*
(for R = 0,9 = 0) (63)
2&RL
The function M ( 9 ) for keeping 9 = 0 is shown in Fig.5. It
is seen that the M ( Q ) function is symmetrical with respect to
M axis assuming no losses. When the resistance of the main
circuit is taken into account, the modulation index M to keep
9 = 0 is nearly a constant in the rectifying area, but a larger
variation is needed in the regenerating area. Therefore, in parameter selection, a sufficient design margin of the modulation
index has to be provided for regenerating operation.

<
MI

6. S t e a d y S t a t e Solutions

\%

It is important to obtain steady-state solutions not only

because they give knowledge about the relationship between
state variables and system parameters in a steady-state operation, but also because the dynamic response of this nonlinear
converter is related to the steady-state operating point.
From the DC model of eq.44, the steady-state solutions can
be obtained:

= 5.0

1.0

= 5.0

-20"

-10"

10"

20"

Fig.5: Modulation index M vcrsus ijd phase control Ik

for keeping @ = 0

7. D y n a m i c R e s p o n s e Analysis
where

E =E,/4

(57)

The small signal AC model of the converter has been derived in eq.46. Its Laplace transformation is:
?rr(S)

and

r = tan-'

(F)

= (Szrr - Ass)-I[Amxrr+(s)

AWX,SJ(s)+B.,e^,(~)+A,oX,,io( s)+B,oio( s)+B.L~L(s ) ] ( 64)

Two other important variables to be observed are the power

factor angle 9 and the peak AC line current I,. They can be
derived from the forward and backward current components I1
and Ib as

9 = Arg(I1) = tan-'

+ A+Xrr$(s)+

(65)

E s i n r - %sin(*++)
E c o s r - %cos(*

+ r)

(59)

and

and
2, = ( S L

(60)
[ E c o s r - %cos(*

Z,=(SL+R-jRL)

+ r)]'+ [Esinr - %sin(* + r)]

(RZ+ R2L2)/2

[ ( s L R)'

The converter is usually operated a t unity power factor.

The necessary modulation index A4 for keeping @ = 0 can be
obtained from Eq. 59,

M=

2 4 E sin I'
sin(@ I")

vd

(for 0 = 0)

+R + j n L )

In eq.64, the steady-state solution Xrrhas been solved in

the previous section. All the matrices are known. Therefore
any kind of transfer functions between the state variables i ~.
f,
;b, t?d and the controls liz,
load disturbance i o , ?L or input
disturbance 2, 6, can be obtained from this equation.

4,

(61)

+ RZLz]+ ~3M2( s + R)(66)

L

I160

As examples, Fig.6, Fig.7 and-Fig.8 show the dynafnic responses between the variables ?&,q5 and the controls &, 1c, in the
conditions of E = 63.5V, R = 377, L = 6.43mH, C = 13.7mF,
v d N 197V, and cos q5 N 1.0. The calculated solutions from the
eq.64 are close to the experimental results, especially in the low
frequency area. Based on these dynamic responses obtained,
the regulators of a closed-loop control system can be designed
or adjusted properly.

8. I n p u t Current Harmonic Analysis

Previous sections were dedicated to the analysis in the frequency range lower than the switching frequency. This section
and the following one will focus on the harmonic analysis of
the converter.
An approximate high frequency model has been established
in eq.22. For the steady-state harmonics

zxh N AhX

(67)

where
x h

= [ I l h r IZh,

(68)

13/19 Vdh],

I i h (i = 1, 2 or 3) - the steady-state harmonic of the

h e current I;, and Vdh - the steady state ripple of the DC
output voltage vd.
In a three phase balanced system, each phase current has
the same steady-state harmonic content. Hence, only one phase,
namely phase 1, need be discussed. The first row of the eq.67
is

-450"

This equation means that there is a high frequency voltage

A14Vd applied to the inductance L which creates the harmonic
I 1 h . Therefore, the steady-state harmonic current is

Fig.6: Frequency response of 6d/& at Ro = 29.2ohm,

E L = 0, M = 0.83, rk = 20.1", R E 1.13ohm

Ilh

Ai4vd

= n = l {(-l)n&

-r-I--l---tttc----c--tct(-&

-270"
-180"

0.1

10

100

( 70)

Impedance of the inductor

3

[sin(ndin) - -Csin(ndin)
3 i=l

Because the amplitude of the harmonic is inversely proportional to the square of the order n*,it is reasonable to approximate the harmonic current by the first order component with
a modifying coefficient k h , i.e.

Calculated
For phase and amplitude control, the duty ratio di has the
expression shown in eq.23. Therefore eq.71 becomes

-360"
Fig.7: Frequency response of $ / m at Ro = 42.lohm,
EL = 0, M = 0.83, 9 = 13.2", R N 1.220hm

I l h 2 Ilhm

cos(wst)

( 72)

where

Phase

Gl(s) =

239

(1

rn)

(1 +

The real waveform of the current harmonic is close to a triangular wave instead of a sine wave, so that the coefficient k h
is used to modify the difference of the peak values between a
triangular wave and a sine wave with equal RMS value,

A)

kh

-90"
- 180"

..

=AZ 21 1.23
8

The maximum harmonic value can be calculated by taking the

derivative of the I l h m with respect to Rt. At (Rt - Q) = f n / 2 ,
I l h m has its maximum value

Experimental
Calculated

-270"
Fig.8: Frequency response of fd/G at Ro = 42.lohm,
N 1.220hm

EL = 0, M = 0.83, \k = 12.6", R

1161

Eq.72 to 74 provide mathematical expressions of the line current harmonic. It is seen from eq.72 that the line current harmonic is predominantly related to switching frequency F,. The
envelope of the harmonic amplitude is given in eq.73 and the
maximum amplitude is expressed in eq.74.
At no load operation, the line current equals the harmonic
component. As an example, consider the no load current under the following conditions: v
d = 202b', F, = 3100Hz, L =
6.43mH, A4 = 0.89, @ = 0". From eq.74 the maximum peak
harmonic can be obtained as
IIihmlmax

= 0.5444

The envelope of its amplitude is calculated from eq.73 and

plotted in Fig.9. The experimental current waveform is shown
in Fig.10 under the same conditions. Both waveforms are in
good agreement with each other, except that the real no load
current still has a small amount of fundamental component
owing to the losses of the circuit.
When a load is applied to the converter, the phase control Q increases correspondingly, but the modulation index M
changes very little (see Fig.5). The maximum harmonic in
eq.74 is only related to the value of M , not the value of a.
Therefore the harmonic component superimposed on the fundamental component has a n amplitude similar to that in the
no load condition. The difference is that the harmonic component is phase shifted owing to the increase of the phase control
(eq.73). This shift can be seen from the current waveform
shown in Fig.11.

Fig.11: Waveforms of the input line current and the

line-to-neutral utility voltage (t:2ms/div, e:100 V/div, z:2.5
A/div)
An important specification of the converter is the relative
value of the current harmonic rather than the absolute value.
This relative harmonic can be defined as the ratio of maximum
peak harmonic I I l h m l m a x to the peak value of the nominal current I,,,
(75)
Substitution of eq.63 and 74 in the above equation yields:

Envelope of the no load

current harmonic

/*/'

//

/.

\
'\,-/,/

(F)]

4khR
[I - cos
3$F,M
sin a,,
where an is the nominal phase control angle.
It is seen that the ratio of the switching frequency to the
utility frequency (F,/R) is the main factor in influencing the
relative harmonic value. The higher the ratio, the lower the
current harmonic. It is also interesting to note that the relative current harmonic is not directly related to the inductance
L. The explanation is that, when the value L increases, the
absolute current harmonic reduces. But the converter can provide less nominal line current if the nominal phase control @,
is kept constant. Therefore their ratio does not change with
the variation of inductance L.
Eq.76 can be used to determine the necessary switching
frequency Fa, if a certain amount of relative harmonic value
I;
is required,

I;,

Line-to-neutral supply
voltage as a reference

Fig.9: Envelope of the no load input line current

-.

9. Output Voltage Ripple Analysis

The output voltage ripple can be calculated in a similar
way from the high frequency model using the fourth row of the
eq.67,
Vdh

= Vdhm c0sw.t

where
l/dhm

*
+F,C

x cos Rt

Fig.10: Waveforms of the no load input line current

and the line-to-neutral utility voltage (t:2 msfdiv, e:100
Vfdiv, i:2.5 Afdiv)

(78)

{cos [+cos

2x1}

- (i - 1)-

[.t - \k - (i - I)-]]
27f
3

(79)

At no load operation and @ = 0, the maximum voltage ripple

occurs a t Rt = fk:, where IC is an integer, and the maximum
output voltage ripple is given by
1162

Ivdhmlmaz

Tt$($)

-[cos

I)$(

- cos

References
(80)
[I] Eugenio Wernekinck, Atsuo Kawamura and R.Hoft, A

Eq.78 to 80 give the expressions of the voltage ripple, including

its envelope Vdhm and the maximum ripple Ivdhmlmaz. The
necessary capacitance of the DC filter can be determined by
the requirement for DC voltage ripple Vdr, which is the double
of Ivdhmlmar,

Conclusions
From the analysis of the phase and amplitude controlled
PWM AC to DC converter the following conclusions can be
drown:
1) The general model of an AC to DC voltage source con-

verter gives detailed time response if the switching function is known and is therefore useful in computer simulations. Analytical solution is however difficult because
of the discontinuities, time variation and nonlinearity of
the model.
2) Closed form solution can be obtained using Fourier analysis, transformation of reference frame and small signal
linearization converting the general model into a steadystate DC model, a small-signal AC model and a high
frequency model.
3) The steady-state DC model gives steady-state solutions.
The small-signal model, which is suitable in the frequency
range lower than the switching frequency, provides various transfer functions between state variables, controls,
input or load disturbances. The high-frequency model
provides information about input current harmonics and
output voltage ripple. From the solutions, the circuit parameters and the regulators of a closed-loop control can
be properly designed.
4) When the circuit resistance is taken into account, the required modulation index M to obtain unity power factor
is relatively independent- of load in the rectifying area.
However, a larger change in M is required in the regenerating area. Therefore enough margin should be left for
a four quadrant operation.

High Frequency AC/DC Converter with Unity Power

Factor and Minimum Harmonic Distortion, Conf. Record,
IEEE-PESC, 1987, pp. 264-270
[2] S.Manias, A.R.Prasad, P.D.Ziogas, A 3-Phase Inductor Fed SMR Converter with High Frequency Isolation,
High Power Density and Improved Power Factor, Conf.
Record, IEEE-PESC, 1987, pp. 253-263
[3] S.B.Dewan, Rusong Wu, A Microprocessor-BasedDual
PWM Converter Fed Four Quadrant AC Drive System,
Conf. Record, IEEE-IAS, 1987, pp.755-759
[4] J.W.Dixon, B.T.Ooi, Indirect Current Control of a Unity
Power Factor Sinusoidal Current Boost Type Three-phase
Rectifier, IEEE Trans. on Industrical Electronics, Vo1.35,
No.4, pp.508-515
[5] B.T.Ooi, J.C.Salmon, J.W.Dixon, A.B.Kulkarri, A 3Phase Controlled Current PWM Converter with Leading
Power Factor, Conf. Record IEEE-IAS, 1985, pp. 10081014
[6] J.W. Dixon, A.B. Kulkarni, M. Nichimoto, B .T.Ooi, Characteristics of a Controlled-Current PWM Rectifier-Inverter
Link, Conf. Record, IEEE-IAS, 1986, pp.685-691
[7] H.Kohlmeier, D.Schroder, Control of a Double Voltage
Inverter System Coupling a Three Phase Mains with an
AC-Drive Conf. Record, IEEE-IAS, 1987, pp.593-599
181 Hidehiko Sugimoto, Sigeo Morimoto, Masao Yano, A
High Performance Control Method of a Voltage-Type
PWM Converter, Conf. Record, IEEE-PESC, 1988,
pp.36-368
(91 Rusong Wu, S.B.Dewan, G.R.Slemon, A PWM AC to
DC Converter with Fixed Switching Frequency, Conf.
Record, IEEE-IAS, 1988, pp.706-711

[IO] R.D.Middlebrook, S.M.Cuk, A General Unified Approach

to Modelling Switching Converter Power Stages, Conf.
Record, IEEE-PESC, 1976, pp.18-34
[ll] Khai D.T.Ngo, Slobodan Cuk, R.D.Middlebrook, A New

Flyback DC-To-Three-phase Converter with Sinsoidal Outputs, Conf. Record, IEEE-PESC, 1983, pp.377-388

The relative current harmonic is not directly related to

the value of the filter inductance L.

[12] Khai D.T.Ngo, Low Frequency Characterization of PWM

Both input current harmonic content and output voltage ripple are predominantly affected by the ratio of the
switching frequency F, to the utility frequency R. The
higher the ratio, the lower the relative current harmonic
and the DC voltage ripple.

Converters, IEEE Trans. on Power Electronics, Vol.

PE-1, No.4, Oct. 1986, pp.223-230
[13] D.M.Mitchel1, DC-DC Switching Regulator Analysis,
McGraw-Hill, 1988

The theoretical results were verified experimentally.

1163