Power Electronics

in Renewable Energy
Systems and Smart Grid
 IEEE Press
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Ekram Hossain, Editor in Chief

Giancarlo Fortino Andreas Molisch Diomidis Spinellis

David Alan Grier Saeid Nahavandi Elya B. Joffe
Donald Heirman Ray Perez Sarah Spurgeon
Xiaoou Li Jeffrey Reed Ahmet Murat Tekalp
 Power Electronics
in Renewable
Energy Systems
and Smart Grid
Technology and Applications

Edited by

Bimal K. Bose
© 2019 by The Institute of Electrical and Electronics Engineers, Inc. All rights reserved.

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10 9 8 7 6 5 4 3 2 1
 Contents

PREFACE xiii
About the Editor xix
About the Contributors xxi
LIST OF ABBREVIATIONS xxxiii

Chapter 1 Energy, Environment, Power Electronics, Renewable

Energy Systems, and Smart Grid 1

Bimal K. Bose and Fei (Fred) Wang

1.1 Introduction 1
1.2 Energy 1
1.3 Environment 4
1.3.1 Environmental Pollution by Fossil Fuels 4
1.3.2 Climate Change or Global Warming Problems 7
1.3.3 Several Beneficial Effects of Climate Change 11
1.3.4 The Kyoto Protocol and Carbon Emission Control 12
1.3.5 How Can We Solve or Mitigate Climate Change Problems? 13
1.4 Power Electronics 14
1.4.1 The Role of Power Electronics in Renewable
Energy Systems and Grids 14
1.4.2 Fundamentals of Power Electronics 16
1.4.3 Power Electronics Applications 35
1.5 Renewable Energy Systems 48
1.5.1 Wind Energy Systems 50
1.5.2 PV Systems 52
1.5.3 Grid Energy Storage 53
1.6 Smart Grid 54
1.6.1 FACTS Technologies 54
1.6.2 HVDC Technologies 60
1.6.3 DC Grid and Supergrid 66
1.6.4 Power Electronics for Distribution Grids 73
1.7 Summary and Future Trends 76
Acknowledgments 78
References 78

v
vi Contents

Chapter 2 Power Semiconductor Devices For Smart Grid

And Renewable Energy Systems 85

Alex Q. Huang
2.1 Introduction 85
2.2 Power Semiconductor Device Operation
in Power Converters 87
2.2.1 Commercially Available Power Semiconductor Devices 87
2.2.2 Modern Power Semiconductor Device Characteristics 90
2.3 State‐of‐the‐Art Power Semiconductors: A Comparison 101
2.3.1 Voltage Rating 102
2.3.2 Current Rating 103
2.3.3 Switching Frequency 108
2.3.4 Maximum Junction Temperature 114
2.4 Recent Innovations in SI Power Devices 117
2.4.1 Silicon Superjunction (SJ) MOSFET 117
2.4.2 Thin Wafer Field Stop IGBT (FS‐IGBT) 119
2.4.3 Reverse Conducting IGBT (RC‐IGBT) 123
2.4.4 Reverse Blocking IGBT 124
2.4.5 Integrated‐Gate‐Commutated Thyristor (IGCT) 124
2.5 Recent Innovations in WBG Power Devices 127
2.5.1 SiC and GaN Diodes 128
2.5.2 SiC MOSFET 131
2.5.3 Ultra High‐Voltage SiC Power Devices 135
2.5.4 GaN Heterojunction Field Effect Transistor 137
2.6 Smart Grid and Renewable Energy System Applications 138
2.7 Conclusions 144
References 144

Chapter 3 Multilevel Converters – Configuration

of Circuits and Systems 153

Hirofumi Akagi
3.1 Introduction 153
3.1.1 Historical Review of Multilevel Converters 153
3.1.2 Overview of Chapter 3 155
3.2 Multilevel NPC and NPP Inverters 155
3.2.1 Circuits of Three‐Level NPC and NPP Inverters 155
3.2.2 Principles of the Three‐Level NPC and NPP Inverters 156
3.2.3 Comparisons Between the Three‐Level NPC and NPP Inverters 158
3.2.4 Five‐Level NPC Inverters 160
3.3 Multilevel FLC Inverters and Hybrid FLC Inverters 161
3.3.1 Circuits of the Three‐Level and Four‐Level FLC Inverters 161
3.3.2 Principles of the Three‐Level FLC Inverter 162
3.3.3 Hybrid Four‐Level and Five‐Level FLC Inverters 162
3.4 Modular Multilevel Cascade Converters 164
3.4.1 Terminological Issue and Solution 164
3.4.2 Circuits and Individualities of Six Family Members 167
 Contents vii

3.4.3 Topological Discussion on the DSBC and DSCC Converters 168

3.4.4 Comparisons among the Six MMCC Family Members 169
3.4.5 Circulating Current 170
3.5 Practical Applications of SSBC Inverters to Medium‐Voltage Motor Drives 171
3.6 Hierarchical Control of an SSBC‐Based STATCOM 173
3.6.1 Background and Motivation 173
3.6.2 Hierarchical Control 174
3.7 A Downscaled SSBC‐Based STATCOM With Phase‐Shifted‐Carrier PWM 176
3.7.1 System Configuration 177
3.7.2 Control Technique 179
3.7.3 Experimental Waveforms 181
3.8 Circulating Currents in DSCC Converters 183
3.8.1 Circulating Current in a Cycloconverter 184
3.8.2 Circulating Current in a Single‐Leg DSCC Inverter 185
3.8.3 Similarity and Difference in Circulating Current 186
3.9 A Downscaled DSCC‐Based BTB System 187
3.9.1 Circuit Configuration 187
3.9.2 Operating Performance under Transient States 189
3.10 Practical Applications of DSCC Converters to Grid Connections 192
3.11 Applications of DSCC and TSBC Converters to Motor Drives 193
3.11.1 DSCC‐based Motor Drive Systems 193
3.11.2 Experimental Motor Drives Using a DSCC
Inverter and a TSBC Converter 195
3.11.3 Comparisons in Start‐up Performance when the 50 Hz
Induction Motor was Driven 198
3.11.4 Operation of the DSCC‐Driven 50 Hz Motor and the
TSBC‐Driven 38 Hz Motor at the Rated Frequency and Torque 202
3.11.5 Four‐Quadrant Operation of the TSBC‐driven 38 Hz
Motor at No Load Torque 204
3.11.6 Discussion of the Two Motor Drives 204
3.12 Distributed Dynamic Braking of a DSCC‐FED Induction Motor Drive 204
3.12.1 Background and Motivation 206
3.12.2 Circuit and System Configurations 206
3.12.3 Experimental Verification 210
3.13 Practical Applications of DSCC Inverters
to Medium‐Voltage Motor Drives 212
3.14 Future Scenarios and Conclusion 213
References 214

Chapter 4 MULTILEVEL CONVERTERS – CONTROL

AND OPERATION IN INDUSTRIAL SYSTEMS 219

Jose I. Leon, Sergio Vazquez and Leopoldo G. Franquelo

4.1 Introduction 219
4.2 Summary of Multilevel Converter Topologies 221
4.3 Control Structure of Multilevel Power Converters 223
4.3.1 The Outer Control Loop (Stage 1) 225
4.3.2 The Inner Control Loop (Stage 2) 225
viii Contents

4.3.3 The Zero‐Sequence Injection (Stage 3) 226

4.3.4 The In‐phase Balancing Strategy (Stage 3) 227
4.4 Modulation Methods for Multilevel Power Converters (Stage 4) 227
4.4.1 Carrier‐Based Modulation Techniques 228
4.4.2 Space‐vector Based Modulation Methods 242
4.4.3 Pseudo‐Modulation Techniques and Control
Methods with Implicit Modulator 243
4.5 Applications of Multilevel Power Converters 245
4.5.1 Grid‐connected Multilevel Converters for the
Integration of Renewable Energy Sources 245
4.5.2 Power Quality Applications 248
4.5.3 Motor Drive Applications 250
4.5.4 HVDC Transmission Systems 251
4.6 Additional Practical Challenges of Multilevel Converters 257
4.7 Future Perspective of Multilevel Converters and Conclusions 258
References 259

Chapter 5 FLEXIBLE TRANSMISSION AND RESILIENT DISTRIBUTION

SYSTEMS ENABLED BY POWER ELECTRONICS 271

Fang Z. Peng and Jin Wang

5.1 Introduction 271
5.2 FACTS Configurations in the Smart Grid 279
5.2.1 Shunt Compensation 281
5.2.2 Series Compensation 284
5.2.3 Shunt‐Series Configuration 285
5.2.4 Back‐to‐Back Configuration 286
5.3 RACDS Configurations in the Smart Grid 287
5.3.1 RACDS: Microgrids 287
5.3.2 RACDS: Controllable Distribution Network 289
5.3.3 RACDS: Meshed Distribution Systems 290
5.4 Evolution of FACTS and RACDS 291
5.4.1 Traditional FACTS and RACDS 291
5.4.2 Modern FACTS and RACDS 293
5.5 FACTS and RACDS Installations 298
5.5.1 Traditional FACTS Installations 298
5.5.2 Modern FACTS Installations 299
5.5.3 RACDS Installations 301
5.6 Future Perspectives 301
5.6.1 Transformerless Unified Power Flow Controller 301
5.6.2 Compact Dynamic Phase‐Angle Regulator 303
5.6.3 Distributed FACTS 303
5.6.4 Power Regulator for Parallel Feeders 305
5.6.5 High Power Density CMIs 307
5.7 Conclusion 309
Acknowledgments 310
References 310
 Contents ix

Chapter 6 RENEWABLE ENERGY SYSTEMS WITH WIND POWER 315

Frede Blaabjerg and Ke Ma

6.1 Overview of Wind Power Generation and Power Electronics 315
6.2 Technology Challenges and Driving Forces in this Field 318
6.2.1 Low Levelized Cost of Energy (LCOE) 318
6.2.2 Complex Mission Profiles 320
6.2.3 Strict Grid Codes 322
6.2.4 Increasing Reliability Requirements 325
6.3 Wind Turbine Concepts and Power Electronics Converters 326
6.3.1 Wind Turbine Concepts 326
6.3.2 Power Electronics Converters in Wind Power Applications 328
6.4 Control of Wind Turbine Systems 333
6.5 Power Electronics for Multiple Wind Turbines and Wind Farms 336
6.6 Conclusion 340
References 341

Chapter 7 PHOTOVOLTAIC ENERGY SYSTEMS 347

Mariusz Malinowski, Jose I. Leon and Haitham Abu‐Rub

7.1 Introduction 347
7.2 Thermal and PV Solar Energy Systems 351
7.3 The Solar Cell 354
7.4 Solar PV System Costs 357
7.4.1 Incentives for More Investments in PV Systems 361
7.5 General Scheme for a Solar PV System 362
7.6 Grid‐Connected PV Systems 363
7.6.1 Utility‐scale PV Power Plants 364
7.6.2 Residential and Industrial PV Applications 366
7.6.3 Low‐power PV Systems 371
7.7 Control of Grid‐Connected PV Systems 372
7.8 Stand‐Alone PV Systems 374
7.9 Energy Storage Systems for PV Applications 379
7.10 Operational Issues for PV Systems 381
7.11 Conclusions 385
References 386

Chapter 8 OCEAN AND GEOTHERMAL RENEWABLE ENERGY SYSTEMS 391

Annette von Jouanne and Ted K.A. Brekken

8.1 Introduction 391
8.2 Wave Energy 392
8.2.1 Resource Characteristics 392
8.2.2 Wave Energy Conversion Technologies
and Resource Characterization 394
8.2.3 Power Electronics and Control 397
8.2.4 Autonomous Applications 401
8.2.5 Cost 403
x Contents

8.2.6 Rotating Machines in Marine Energy Converters 405

8.2.7 Unique Testing Opportunity for Wave Energy Converters 406
8.3 Ocean Thermal Energy Conversion 411
8.3.1 Resource Characteristics 412
8.3.2 OTEC Technologies 413
8.3.3 Open‐cycle OTEC 414
8.3.4 Closed‐cycle OTEC 415
8.3.5 OTEC Generator Grid Interface 415
8.3.6 Cost 416
8.4 Tidal and Ocean Currents 417
8.4.1 Resource Characteristics 418
8.4.2 Tidal Barrage, Tidal Current, and Ocean Current Technologies 420
8.4.3 Power Electronics and Grid Interface 422
8.4.4 Cost 425
8.5 Geothermal Energy Systems 426
8.5.1 Resource Characteristics 428
8.5.2 Geothermal Power Plant Technologies 429
8.5.3 Dry Steam 431
8.5.4 Flash Steam 431
8.5.5 Binary Cycle 432
8.5.6 Geothermal Generator Grid Interface 432
8.5.7 Cost 433
8.6 Conclusion 434
Acknowledgment 435
References 435

Chapter 9 FUEL CELLS AND THEIR APPLICATIONS IN ENERGY SYSTEMS 443

Jih‐Sheng (Jason) Lai and Michael W. Ellis

9.1 Introduction 443
9.2 Different Fuel Cell Technologies 446
9.2.1 Low‐temperature Fuel Cells 447
9.2.2 High‐temperature Fuel Cells 453
9.3 Fuel Cell Applications 457
9.3.1 Transportation Applications 457
9.3.2 Stationary Power Generation Applications 460
9.4 Electrical Characteristics 462
9.4.1 Steady‐state Operation 462
9.4.2 Dynamic Operation 465
9.4.3 Dynamic Operation with a Paralleled Ultracapacitor 468
9.5 Fuel Cell Power System Architecture 468
9.5.1 Balance‐of‐Plant 468
9.5.2 Fuel Cell DC Power Systems 469
9.5.3 Grounding Requirement for Fuel Cell AC Power Systems 471
9.6 Power Electronics for Fuel Cell Applications 472
9.6.1 DC‐DC Converters 472
 Contents xi

9.6.2 DC‐AC Inverter 479

9.6.3 Double‐Line Frequency Issues 484
9.7 Summary 485
References 486

Chapter 10 GRID ENERGY STORAGE SYSTEMS 495

Marcelo G. Molina
10.1 Introduction 495
10.2 Smart Grid Applications of Energy Storage 500
10.3 Energy Storage Technologies 506
10.3.1 Mechanical Energy Storage 507
10.3.2 Electrical Energy Storage 518
10.3.3 Electrochemical Energy Storage 529
10.3.4 Chemical Energy Storage 547
10.3.5 Thermal Energy Storage 552
10.4 Assessment of Energy Storage Technologies 555
10.5 Power Conditioning System for Interfacing Energy Storage Technologies
with the Smart Grid 565
10.6 Conclusion 572
References 574

Chapter 11 Smart Grid Simulations and Control 585

Aranya Chakrabortty and Anjan Bose

11.1 Introduction 585
11.2 Simulation Models 586
11.2.1 Synchronous Generators 588
11.2.2 Models of Renewable Energy Sources 589
11.2.3 Transmission Line Models 591
11.2.4 Load Models 591
11.3 Current Approach for Smart Grid Simulation 592
11.3.1 Power Flow Analysis 592
11.3.2 Dynamic Simulations 593
11.3.3 Economic Dispatch and OPF 593
11.3.4 Fault Analysis 594
11.3.5 Load Frequency Control 594
11.3.6 Operator Training Simulator 594
11.3.7 Reliability Modeling and Simulation 594
11.3.8 Simulation of Power Markets 595
11.4 Challenges for Grid Simulation 595
11.4.1 Structural Properties 596
11.4.2 Scalability 596
11.4.3 Model Validation 596
11.4.4 Model Aggregation 597
11.4.5 Role of Power Electronics 597
xii Contents

11.4.6 Co‐simulation of T&D Models 598

11.4.7 Co‐Simulation of Infrastructures 599
11.4.8 Cyber‐Physical Modeling and Simulations 601
11.5 Next‐Generation Grid Control Systems 605
11.5.1 Wide‐area Control 605
11.5.2 Cyber‐Physical Challenges for Wide‐area Control 608
11.5.3 Scheduling Protocols 612
11.5.4 Co‐designing Wide‐area Control in Tandem
with Communication Protocols 613
11.5.5 Plug‐and‐play Control of DERs 615
11.5.6 Distributed Load Frequency Control 616
11.5.7 Inner‐loop + Outer‐loop Hierarchical Control 617
11.6 Experimental Testbeds for Simulations and Control 618
11.7 Conclusions 619
References 620

Chapter 12 ARtificial Intelligence Applications

in Renewable Energy Systems and Smart Grid – Some
Novel Applications 625

Bimal K. Bose
12.1 Introduction 625
12.2 Expert Systems 627
12.2.1 Expert System Principles 627
12.2.2 Expert System‐Based Control of Smart Grid 631
12.3 Fuzzy Logic 636
12.3.1 Fuzzy Inference System Principles 637
12.3.2 Fuzzy Logic Control of a Modern Wind Generation System 644
12.4 Neural Networks 650
12.4.1 Neural Network Principles 650
12.4.2 Neural Network Applications 662
12.5 Conclusion 672
Acknowledgment 673
References 673

Index 677
 Preface

With a sense of pride and immense accomplishment, I am presenting this book to

the professional communities of the world with the hope that it will be enthusiasti-
cally received like my other books in the power electronics area. This is essentially
the eighth book in power electronics that I have authored and edited in my long
professional career of more than 50 years.
It is well‐known that the revolution in power electronics was ushered in by
the introduction of solid‐state power semiconductor devices almost 60 years ago,
along with the evolution in digital electronics that has created significant impact in
our society. Since the beginning, power electronics has grown as a multidisciplinary
technology and has been applied extensively in industrial, commercial, residential,
transportation, aerospace, military and utility systems, with automation and effi-
cient energy conversion systems that contribute to efficiency improvement of the
equipment. Recently, the advent of artificial intelligence techniques is creating a
challenging frontier for power electronics, with many novel applications in renew-
able energy systems and smart grid.
Power electronics has now grown to be possibly the most important tech-
nology in the twenty‐first century. In our future vision of smart grid, the role of
power electronics in high‐voltage DC (HVDC) systems, static VAR compensators
(SVCs), flexible AC transmission systems (FACTs), fuel cell energy conversion
systems, uninterruptible power systems (UPS), besides the renewable energy and
bulk energy storage systems, will be tremendous. The renewable energy segment is
continuously growing, and our dream of 100% renewables in the long run (with the
complete demise of fossil fuels and nuclear energy) is not unrealistic. Therefore,
the increasingly important role of power electronics in our society remains obvious.
This book contains 12 chapters which were contributed by my invitation from
well‐renowned professionals across the world who are specialists in the respective
areas. All the chapters essentially review the state‐of‐the‐art technology with appli-
cation examples to cater for the needs of readers who want to learn about power
electronics applications in modern renewable energy systems and smart grid. In
fact, the idea for this book came after publication of our special issue of the
Proceedings of the IEEE on Power Electronics in Smart Grid and Renewable
Energy Systems in November 2017.
Chapter 1, “Energy, Environment, Power Electronics, Renewable Energy
Systems and Smart Grid,” was contributed by me and my colleague Fred Wang.
This is an introductory chapter for the book that gives a comprehensive overview of

xiii
xiv Preface

the important elements. Energy and environmental issues, such as climate change
problems, their consequences and remedial measures, are somewhat emphasized in
the beginning because these are the foundations upon which the motivations for
clean energy systems and modernization of the power grid are based. However, the
main focus of this chapter is introduction of modern power electronics technology
and its applications in renewable energy systems and smart grid. The discussion
includes modern power semiconductor devices, converter topologies, and some of
the most common power electronics applications, particularly those related to
modern power grids. Finally, the renewable energy systems and smart grid features
are overviewed, emphasizing their basis on power electronics.
Chapter 2, “Power Semiconductor Devices for Smart Grid and Renewable
Energy Systems,” was contributed by Alex Huang. It provides a critical review of
some of the major power semiconductor device technologies and their applications
in renewable energy systems and smart grid. Highly efficient and reliable power
electronic systems that convert and process electrical energy from one form to
another are critical for smart grid and renewable energy systems. The power semi-
conductor device, as the cornerstone technology in a power electronics system,
plays a pivotal role in determining the system efficiency, size, and cost. Starting
from the invention and commercialization of the silicon bipolar junction transistor
around 60 years ago, a whole array of silicon power semiconductor devices have
been developed and commercialized. These devices enable power electronics sys-
tems to reach ultra‐high efficiency and the high power capacity needed for various
smart grid and renewable energy system applications, such as photovoltaic (PV),
wind, energy storage, electric vehicle (EV), flexible AC transmission systems
(FACTS), and high‐voltage DC (HVDC) transmission. In the last two decades,
newer generations of power semiconductor devices based on wide bandgap (WBG)
materials, such as SiC and GaN, have been developed and commercialized, further
pushing the boundary of power semiconductor devices to higher voltages, higher
frequencies, higher temperatures, and higher efficiencies.
Chapter 3, “Multilevel Converters – Configuration of Circuits and Systems,”
was contributed by Hirofumi Akagi. It begins with the definition of “multilevel con-
verters” in a broad sense, followed by a chronological overview. The multilevel
converters can be categorized as three‐level neutral‐point clamped (NPC) and
neutral‐point‐piloted (NPP) inverters, three‐level and four‐level flying capacitor
(FLC) inverters, combinations of the FLC inverter with the NPC or NPP inverter,
and a family of modern modular multilevel converters (MMCs). Then it goes on to
a discussion of their circuits and systems, as well as their applications to smart grids
and medium‐voltage, high‐power motor drives. Some multilevel converter types
have already been put into commercial use, some are in a research and development
stage, and others are within the academic research stage. It is interesting to note
that the modern MMCs based on a cascaded half‐bridge topology are receiving
maximum attention in the literature
Chapter 4, “Multilevel Converters – Control and Operation in Industrial
Systems,” was contributed by Jose Leon, Sergio Vazquez, and Leopoldo Franquelo.
 Preface xv

Considering the importance of multilevel converters in renewable energy systems

and smart grid, an additional chapter was introduced to deal with their applications
in industrial systems. It summarizes the best‐known multilevel converter topologies
and addresses their common modulation techniques. The main applications of mul-
tilevel converters are introduced, showing the implementation of conventional con-
trol methods. Grid‐connected multilevel converters for the integration of renewable
energy sources, power quality and motor drive applications, and HVDC systems are
studied in some detail. Practical challenges and a future perspective of the applica-
tion of multilevel converters are also addressed.
Chapter 5, “Flexible Transmission and Resilient Distribution Systems
Enabled by Power Electronics,” was contributed by Fang Peng and Jin Wang. It
provides a broad review of the modernization efforts in FACTS technology leading
up to its usage in the modern smart grid. Extension of FACTS technology to
the resilient AC distribution system (RACDS) to facilitate the transition to “smart‐
distribution” is also discussed in some detail. The key benefits for the application of
the modern FACTS technology lie in its ability to achieve fast, efficient and dynamic
voltage/VAR control, optimized power routing, and independent real and reactive
power control using a small footprint. On the other hand, the key benefits of the
RACDS technology include its ability to improve grid resiliency and impart a “self‐
healing” capability to the power grid. Additionally, RACDS has the ability to inte-
grate distributed energy sources into the power grid and enables bi‐directional,
interconnected distribution systems that are essential for a smart grid. Detailed
analysis of different configurations of these technologies, a review of existing and
ongoing commercial installations, and an overview of current and future research in
this area form the essential contents of this chapter.
Chapter 6, “Renewable Energy Systems with Wind Power,” was contributed
by Frede Blaabjerg and Ke Ma. This chapter gives a broad review of the major chal-
lenges as well as the technology solutions in power electronics for wind power
generation. First, the development of wind power along with power electronics, as
well as the global market, are discussed. Several technological challenges and
driving forces in this area are addressed. Afterwards, some important wind turbine
concepts are summarized along with current/future power electronics solutions and
control methods, either for individual wind turbines or for entire wind farms. As the
level of grid penetration has begun to increase dramatically, wind power is starting
to have significant impacts on the modern power grid systems, and advanced power
electronics technologies are being introduced to improve the characteristics of wind
turbines in order to make them more suitable for integration with the power grid.
Chapter 7, “Photovoltaic Energy Systems,” was contributed by Mariusz
Malinowski, Jose Leon, and Haitham Abu‐Rub. It describes solar energy systems,
which essentially constitute a mature technology. The rapid growth of solar photo-
voltaic energy worldwide indicates that this will become a very large source of
energy in several decades, and will certainly become the core energy element for
future power grids. The details of the types of PV solar cells, grid‐connected PV
systems with their converter topologies and control, and stand‐alone PV systems
xvi Preface

are discussed in this chapter. Furthermore, operational aspects of PV systems with

energy storage are discussed. As storage costs reduce, storage will be an important
part of PV systems not only for better energy management, but also for voltage and
frequency stabilization of the AC system.
Chapter 8, “Ocean and Geothermal Renewable Energy Systems,” was
­contributed by Annette von Jouanne and Ted Brekken. It reviews several forms of
ocean energy including wave, tidal, ocean current, and ocean thermal, along with
land‐based geothermal energy. The chapter presents a broad technological ­overview
of each type, along with summaries of cost of energy studies, and an overview of
conversion technologies and grid interface systems. Key techno‐economic findings
are presented, including assessments of the resources and near‐term and long‐term
cost projections. Autonomous, non‐grid‐connected ocean wave energy applications
are also presented, including adapting utility‐scale ocean wave energy devices for
small‐scale autonomous and sensor applications. Geothermal energy and ocean
thermal energy track closely with traditional dispatchable synchronous generator‐
based generation systems, while wave, tidal, and current systems bear greater
­similarities to wind power in terms of technology, cost trends, and grid interface
technology.
Chapter 9, “Fuel Cells and Their Applications in Energy Systems,” was con-
tributed by Jih‐Sheng (Jason) Lai and Michael Ellis. The chapter explains the basic
operation of fuel cell systems and their characteristics, such as the polarization curve,
dynamic response, efficiency, energy density, and specific energy. Based on their
operating temperature, different fuel cell types, such as PEMFC, AEMFC, PAFC,
DMFC, DAFC, SOFC and MCFC, are described with their respective ­applications.
To make fuel cell systems practical for use in either stationary or transportation
applications, power electronics is the essential part. This chapter then depicts system
architectures and different power conversion circuits for effective application of fuel
cells, with illustrations of conceptual diagrams and experimental results.
Chapter 10, “Grid Energy Storage Systems,” was contributed by Marcelo
Molina. Comprehensive investigation was made on key energy storage technol-
ogies in electrical energy storage systems for smart grid applications, including
their power electronic interfaces and control schemes. The chapter covers all the
important energy storage technologies, including BESS, FES, SCES, SMES,
CAES, TES, and hydrogen. It then puts also a spotlight on the design and imple-
mentation of the power electronic conditioning system for these energy storage
technologies, and the issues derived from their integration with the power grid, and
discusses the challenges and future perspectives. Finally, the chapter is completed
with a list of major practical storage installations around the world.
Chapter 11, “Smart Grid Simulations and Control,” was contributed by
Aranya Chakrabortty and Anjan Bose. It gives a comprehensive overview of the
state‐of‐the‐art practices as well as future directions of power system simulations in
both academia and industry. The discussion covers commonly used numerical
methods and their applications in solving problems in planning, operation, control,
and markets. The chapter also overviews various feedback control mechanisms that
 Preface xvii

are currently used in the grid for wide‐area oscillation damping and power flow
control. Special attention is paid to cyber‐physical implementation of wide‐area
controllers, as well as plug‐and‐play designs for next‐generation converter‐based
control of renewable energy resources.
The last chapter (Chapter 12) entitled “Artificial Intelligence Applications in
Renewable Energy Systems and Smart Grid – Some Novel Applications” was con-
tributed by me. It gives a brief but comprehensive review of the principal AI tech-
niques, such as expert systems, fuzzy logic and neural networks. Then it decribes
some new applications for smart grid and wind generation system, such as control
of smart grid based on a real‐time simulator, wind generation systems with fuzzy
logic control, adaptive neuro‐fuzzy inference system‐based health monitoring of
wind generation systems, and fault identification of smart grid subsystem by neural
networks. Many more applications can be formulated based on these concepts. The
AI techniques are expected to have major impacts on renewable energy systems and
smart grid in the future.
Finally, I would like to convey my sincere thanks to all the contributors for
their enthusiasm, cooperation and timeliness, without which this book would not
have been possible. All of them are recognized as authorities in their respective
fields. I also thank the reviewers of the book manuscript, the Wiley-IEEE Press
editor, Mary Hatcher, along with Louis Manohar, and Shiji Sreejish for their help.
I ­sincerely wish that this book fulfills the reader’s need for knowledge of power
electronics in the areas of renewable energy systems and smart grid.

Bimal K. Bose
University of Tennessee
Knoxville, USA
 About the Editor

Bimal K. Bose (Life Fellow, IEEE) is currently an Emeritus

Professor in the Department of Electrical and Computer
Engineering of the University of Tennessee, Knoxville,
TN, USA. He was Endowed Chair Professor (Condra Chair
of Excellence in Power Electronics) at the University of
Tennessee from 1987 until 2003, where he was responsible
for organizing the power electronics education and research
program. Concurrently, he was the Distinguished Scientist
(1990–1992) and the Chief Scientist (1987–1989) of EPRI
(Electric Power Research Institute) Power Electronics
Applications Center (PEAC) in Knoxville, TN, USA. Prior to that, he was a
Research Engineer in General Electric Corporate Research and Development
(GE‐CRD) (now GE Global Research Center), Schenectady, NY, USA during 1976
to 1987. From 1971 to 1976, he was an Associate Professor of Electrical Engineering
at the Rensselaer Polytechnic Institute, Troy, NY, USA.
He received the BE degree from the Indian Institute of Engineering Science
and Technology (IIEST), India, in 1956, the MS degree from the University of
Wisconsin, Madison, WI, USA, in 1960, and a PhD from Calcutta University, India,
in 1966.
He is recognized as a world‐renowned authority and pioneer in power elec-
tronics for his many contributions, including high frequency link power conversion,
advanced control techniques by microcomputers, invention of the transistor AC
power switch for matrix converters, adaptive hysteresis‐band current control, and
artificial intelligence applications in power electronics.
He has authored/edited eight books (including this one): Power Electronics
and Motor Drives – Advances and Trends (New York, NY, USA: Academic Press,
2006); Modern Power Electronics and AC Drives (Englewood Cliffs, NJ, USA:
Prentice‐Hall, 2001); Power Electronics and Variable Frequency Drives (Piscataway,
NJ, USA: IEEE Press, 1997); Modern Power Electronics (Piscataway, NJ, USA,
IEEE Press, 1992); Microcomputer Control of Power Electronics and Drives
(Piscataway, NJ, USA: IEEE Press, 1987); Power Electronics and AC Drives
(Englewood Cliffs, NJ, USA: Prentice‐Hall, 1986); and Power Electronics and AC
Drive Systems (Piscataway, NJ, USA: IEEE Press, 1982). He holds 21 US Patents
and has authored more than 260 papers.

xix
xx About the Editor

Dr Bose received the IEEE Power Electronics Society Newell Award (2005),
the IEEE Millennium Medal (2000), the IEEE Meritorious Achievement Award in
Continuing Education (1997), the IEEE Lamme Gold Medal (1996), the IEEE
Industrial Electronics Society (IES) Eugene Mittellmann Award (for lifetime
achievement) (1994), the IEEE Region 3 Outstanding Achievement Award (1994),
the Industry Applications Society Outstanding Achievement Award (1993), the GE
Silver Patent Medal (1986), and the GE Publication Award (1985). He has also
received the IIEST Alumni Association Lifetime Achievement Award (2018), the
IIEST Distinguished Alumnus Award (2006), a DSc degree (Honoris Causa) from
IIEST (2013), Distinguished Lecturership of IAS and IES, and a number of prize
paper awards. He was elected a member of the US National Academy of Engineering.
The IEEE Industrial Electronics Magazine published a special issue (June 2009)
Honoring Bimal Bose and Celebrating his Contributions in Power Electronics with
a cover photo. The IES Dr. Bimal Bose Energy Systems Award was established in
2014, which was funded by the IEEE Foundation and the IEEE IE Society.
Dr Bose has served the IEEE in various capacities, including Member of the
IEEE Awards Board, Chairman of the IEEE Medal in Power Engineering
Committee, Chairman of the IEEE IES Power Electronics Council, Associate
Editor of IEEE Transactions of Industrial Electronics, Member of the IEEE Fellow
Committee, Vice‐Chair of the IEEE Medals Council, and Member of the Proceedings
of the IEEE Editorial Board (1995–2006). He was the Guest Editor of the Proc.
IEEE Special Issues on Power Electronics in Smart Grid and Renewable Energy
Systems (November 2017) and Power Electronics and Motion Control (August
1994).
 About the Contributors

Haitham Abu‐Rub is a full professor holding two PhDs

from Gdansk University of Technology (1995) and from
Gdansk University (2004). Dr Abu‐Rub has extensive
teaching and research experience at many universities in
countries including Poland, Palestine, USA, UK, Germany,
and Qatar. Since 2006, Dr Abu‐Rub has been associated
with Texas A&M University at Qatar, where he is currently
the chair of the Electrical and Computer Engineering
program and the Managing Director of the Smart Grid
Center ‐ Extension in Qatar. His main research interests are
energy conversion systems, smart grid, renewable energy
systems, electric drives, and power electronic converters.
Dr Abu‐Rub is the recipient of many prestigious international awards and recogni-
tions, such as the American Fulbright Scholarship and the German Alexander von
Humboldt Fellowship. He has co‐authored more than 250 journal and conference
papers, five books, and five book chapters.

Hirofumi Akagi was born in Okayama, Japan, in 1951. He

received his PhD in electrical engineering from the Tokyo
Institute of Technology, Tokyo, Japan, in 1979. Since 2000,
he has been Professor, currently Distinguished Professor,
in the Department of Electrical and Electronic Engineering
at the Tokyo Institute of Technology. Prior to that, he was
with Kayama University, Okayama, Japan, and the Nagaoka
University of Technology, Nagaoka, Japan. His research
interests include power conversion systems and their applica-
tions to industry, transportation, and utilities. He has authored
and co‐authored some 140 IEEE Transactions papers and three invited papers in the
Proceedings of the IEEE in 2001, 2005, and 2017. Dr Akagi has received six IEEE
Transactions Prize Paper Awards and 16 IEEE IAS Committee Prize Paper Awards. He
was elected as an IEEE Fellow in 1996. He is the recipient of the 2001 IEEE PELS
William E. Newell Power Electronics Award, the 2004 IEEE IAS Outstanding
Achievement Award, the 2008 IEEE Richard Harold Kaufmann Technical Field Award,
the 2012 IEEE PES Nari Hingorani Custom Power Award, and the 2018 IEEE Medal
in Power Engineering. Dr Akagi served as the President of the IEEE Power Electronics
Society for 2007–2008, and as the IEEE Division II Director for 2015–2016.

xxi
xxii About the Contributors

Frede Blaabjerg was with ABB‐Scandia, Randers,

Denmark, from 1987 to 1988. From 1988 to 1992, he
obtained a PhD in Electrical Engineering at Aalborg
University. He became an Assistant Professor in 1992, an
Associate Professor in 1996, and a Full Professor of power
electronics and drives in 1998. From 2017 he became a
Villum Investigator. He is honoris causa at University
Politehnica Timisoara (UPT), Romania, and Tallinn
Technical University (TTU) in Estonia.
His current research interests include power elec-
tronics and its applications, such as in wind turbines, PV
systems, reliability, harmonics and adjustable speed drives. He has published more
than 500 journal papers in the fields of power electronics and its applications. He is
the co‐author of two monographs and editor of seven books in power electronics
and its applications.
He has received 26 IEEE Prize Paper Awards, the IEEE PELS Distinguished
Service Award in 2009, the EPE‐PEMC Council Award in 2010, the IEEE William
E. Newell Power Electronics Award 2014, and the Villum Kann Rasmussen
Research Award 2014. He was the Editor‐in‐Chief of the IEEE Transactions on
Power Electronics from 2006 to 2012. He has been Distinguished Lecturer for the
IEEE Power Electronics Society from 2005 to 2007, and for the IEEE Industry
Applications Society from 2010 to 2011, as well as 2017 to 2018. In 2018 he is
President Elect of the IEEE Power Electronics Society.
He was nominated in 2014, 2015, 2016 and 2017 by Thomson Reuters to be
one of the 250 most‐cited researchers in engineering in the world.

Anjan Bose has over 40 years of experience in industry

and academia, as an engineer, educator, and administrator.
He is well known as a technical leader in the power grid
control industry, a researcher in electric power engineering,
an educator in engineering, and an administrator in higher
education. He is a Regents Professor at Washington State
University (WSU), where he also served as the Dean of
Engineering and Architecture (1998–2005) and in 2012–13
served as a Senior Advisor to the US Department of Energy
(DOE) in the Obama administration. Dr Bose is a Member
of the US National Academy of Engineering (2003) and
has served on many National Academy Committees. He is
a founding Member of the Washington State Academy of Sciences and has been
elected as its President. He is also a Foreign Fellow of the Indian National Academy
of Engineering. He is a Fellow of the IEEE and is active in several international
professional societies. He was the recipient of the Outstanding Power Engineering
Educator Award (1994), the Third Millenium Medal (2000) and the Herman
Halperin Electric Transmission & Distribution Award (2006), from the IEEE.
 About the Contributors xxiii

He has been recognized as a distinguished alumnus of the Indian Institute of

Technology, Kharagpur (2005) and the College of Engineering at Iowa State
University (1993).

Bimal K. Bose (Life Fellow, IEEE) is an Emeritus

Professor in the University of Tennessee, Knoxville. Early
in the career, he was a faculty member in India during 1960
to 1971. From 1971 to 1976, he was an associate professor
of electrical engineering at the Rensselaer Polytechnic
Institute, Troy, New York. From 1976 to 1987, he was a
research engineer in GE Corporate Research and
Development (GE-CRD) (now GE Global Research
Center), Schenectady, New York. Since 1987, he had been
Endowed Chair Professor (Condra Chair of Excellence in Power Electronics) in the
University of Tennessee, Knoxville until 2003. He is specialized in power elec-
tronics and motor drives. He was awarded IEEE Power Electronics Society Newell
Award (2005), IEEE Millennium Medal (2000), IEEE Meritorious Achievement
Award in Continuing Education (1997), IEEE Lamme Gold Medal (1996), IEEE
Industrial Electronics Society (IES) Eugene Mittellmann Award (1994), IEEE
Region 3 Outstanding Engineer Award (1994), IEEE Industry Applications Society
(IAS) Outstanding Achievement Award (1993), GE Silver Patent Medal (1986),
GE Publication Award (1985), and Calcutta University Mouat Gold Medal (1970).
He also received IIEST Distinguished Alumnus Award (2006), D. Sc. Degree
(Honoris Causa) from IIEST (2013), and Distinguished Lecturership of IAS and
IES. He is a member of US National Academy of Engineering (2017), and Member
of the Proceedings of the IEEE Editorial Board (1995–2006). He was the Guest
Editor of the Proc. IEEE Special Issues on “Power Electronics and Motion Control”
(August 1994) and Power Electronics in Smart Grid and Renewable Energy Systems
(November 2017).

Ted K. A. Brekken (Senior Member, IEEE) is a Professor

in Energy Systems at Oregon State University. He received
his BS, MS, and PhD from the University of Minnesota in
1999, 2002, and 2005 respectively. He studied electric
vehicle motor design at Postech in Pohang, South Korea, in
1999. He also studied wind turbine control at the Norwegian
University of Science and Technology (NTNU) in
Trondheim, Norway, in 2004–2005 on a Fulbright scholar-
ship. His research interests include control, power elec-
tronics and electric drives; specifically digital control
techniques applied to renewable energy systems. He is co‐director of the Wallace
Energy Systems and Renewables Facility (WESRF), and a recipient of the NSF
CAREER award.
xxiv About the Contributors

Aranya Chakrabortty received his PhD degree in

Electrical Engineering from Rensselaer Polytechnic
Institute, Troy, NY, in 2008. He is currently an Associate
Professor in the Electrical and Computer Engineering
department of North Carolina State University, Raleigh,
NC, where he is also affiliated to the FREEDM Systems
Center. His research interests are in all branches of con-
trol theory with applications to power systems, espe-
cially in wide‐area monitoring, stability, and control of
large power systems using Synchrophasors. He is particularly interested in
investigating different cyberphysical modeling and control challenges for the
next‐generation power grid, at both transmission and distribution levels. He
currently serves as an Associate Editor for the IEEE Control Systems Society
Conference Editorial Board (2012–present), for IEEE Transactions on Power
Systems (2018–present), and also for the IEEE Transactions on Control Systems
Technology (2015–present). He has held visiting positions at University of
Illinois Urbana‐Champaign, Tokyo Institute of Technology, and Osaka
Prefecture University. He is a Senior Member of the IEEE. He received the NSF
CAREER award in 2011.

Michael W. Ellis earned a BS degree in mechanical

engineering from the University of Tennessee in 1985,
and MS and PhD degrees in mechanical engineering
from Georgia Tech in 1993 and 1996 respectively. Dr
Ellis has nearly 30 years of experience in engineering,
research, and education related to the development and
application of advanced energy systems. In 1996, Dr
Ellis joined the faculty at Virginia Tech where he is cur-
rently an Associate Professor of Mechanical Engineering.
His teaching and research focuses on the development of sustainable energy
systems in general, with an emphasis on improved porous electrode materials
for fuel cells and batteries. His work includes modeling of transport phenomena
and electrochemical processes in fuel cell electrodes, modeling of stress/strain
behavior and durability in polymer fuel cell membranes, and analysis of
­durability in commercial‐scale lithium ion batteries. He teaches undergraduate
and graduate courses in thermodynamics, fuel cell systems, computer‐aided
design of thermal systems, and sustainable energy systems. Prior to his academic
career, Dr Ellis was a design engineer and project manager for an engineering‐
architecture firm, focusing on the design of energy systems for large commercial
and industrial buildings. Dr Ellis is a former chair of ASME’s Advanced
Energy Systems Division, a Fellow of ASME, and a licensed professional
engineer.
 About the Contributors xxv

Leopoldo G. Franquelo was born in Malaga, Spain. He

received MSc and PhD degrees in electrical engineering
from the Universidad de Sevilla, Seville, Spain in 1977 and
1980, respectively. He has been an Industrial Electronics
Society (IES) Distinguished Lecturer since 2006, an
Associate Editor for the IEEE Transactions on Industrial
Electronics since 2007, Co‐Editor‐in‐Chief since 2014,
and Editor‐in‐Chief since 2015. He was a Member‐at‐
Large of the IES AdCom (2002–2003), the Vice President
for Conferences (2004–2007), and the President Elect of
the IES (2008–2009). He was the President of the IEEE
Industrial Electronics Society (2010–2011) and currently is IES AdCom Life
Member. His current research interest lies in modulation techniques for multilevel
inverters and their application to power electronic systems for renewable energy
systems. Dr Franquelo has received a number of best paper awards from journals of
the IEEE. In 2012 and 2015 he received the Eugene Mittelmann Award and the
Anthony J. Hornfeck Service Award from the IES respectively.

Alex Q. Huang was born in Zunyi, Guizhou, China, in

1964. He received his BSc degree from Zhejiang University,
China, in 1983 and his MSc degree from Chengdu Institute
of Radio Engineering, China, in 1986, both in electrical
engineering. He received his PhD from the University of
Cambridge, UK, in 1992. From 1992 to 1994, he was a
Research Fellow at Magdalene College, Cambridge. From
1994 to 2004, he was a Professor at the Bradley Department
of Electrical and Computer Engineering, Virginia Tech,
Blacksburg, Virginia. From 2004 to 2017, he was the
Progress Energy Distinguished Professor of Electrical and Computer Engineering
at North Carolina State University, Raleigh, North Carolina. At NC State University,
he led and established the NSF FREEDM Systems ERC in 2008, and the DOE
PowerAmerica Institute in 2014. Since 2017, he has become the Dula D. Cockrell
Centennial Chair in Engineering at the University of Texas at Austin, and director
of the Semiconductor Power Electronics Center (SPEC).
Since 1983, Dr Huang has been active in the development of modern power
semiconductor devices and power integrated circuits. He fabricated the first IGBT
power device in China in 1985 and was one of the early pioneers in developing CMOS‐
compatible high‐voltage integrated circuit (HVICs) in the early 1990s. While at
Virginia Tech, he led one of the earliest developments in integrated voltage regulator
(IVR) for microprocessor and POL applications. He is the inventor and key developer
of the emitter turn‐off (ETO) thyristor technology that received a prestigious R&D 100
Award in 2003. His group has also recently demonstrated a world record 22 kV SiC
xxvi About the Contributors

ETO and the world’s first symmetric SiC GTO. In 2007, he proposed the concept of
the Energy Internet as a new innovation engine for large‐scale integration of renewable
and distributed energy resources. To support such a paradigm shift, he led the
development of the 15 kV SiC MOSFET‐based smart solid‐state transformers as a
universal interface for future grid. The smart transformer technology was named by
MIT Technology Review in 2011 as one of most important technologies of the year. He
has mentored and graduated more than 80 PhD and Masters students, and has p­ ublished
500 papers in international conferences and journals. He has also been granted more
than 20 US patents. Dr Huang is a fellow of the IEEE and a recipient of the NSF
CAREER Award and the 2013 Energy Leadership Award. His current research ­interests
are smart grid, power electronics, power management microsystems, and power
­semiconductor devices.

Jih‐Sheng (Jason) Lai received MS and PhD degrees in

electrical engineering from the University of Tennessee,
Knoxville, in 1985 and 1989 respectively. In 1989, he
joined the Electric Power Research Institute (EPRI) Power
Electronics Applications Center (PEAC), where he
managed EPRI‐sponsored power electronics research pro-
jects. In 1993 he joined the Oak Ridge National Laboratory
as the Power Electronics Lead Scientist, where he initiated
a high power electronics program and developed several
novel high‐power converters including multilevel converters and soft‐switching
inverters. In 1996, he joined the Virginia Polytechnic Institute and State University.
Currently, he is the James S. Tucker Professor at the Electrical and Computer
Engineering Department, and Director of the Future Energy Electronics Center. He
also holds an Honorary International Chair Professorship at National Taipei
University of Technology, Taiwan, and serves as a Visiting Professor at Nanyang
Technological University, Singapore, and National Chiao Tung University, Taiwan.
His main research areas are in high‐efficiency power electronics conversions for
high power and energy applications. He has published more than 430 refereed
technical papers and two books, and received 27 patents. He received a Technical
Achievement Award at a Lockheed Martin Award Night, two Journal Paper Awards,
12 Best Paper Awards from IEEE sponsored conferences, and Virginia Tech Dean’s
Award on Research Excellence. He was the recipient of the 2016 IEEE IAS Gerald
Kliman Innovator Award. He led the student teams to win the Top Three Finalist in
Google Little Box Challenge in 2016, Grand Prize Award from International Future
Energy Challenge (IFEC) in 2011, and Grand Prize Award from Texas Instruments
Engibous Analog Design Competition in 2009. Dr Lai is the founding chair of the
2001 IEEE Future Energy Challenge (IFEC) and 2016 IEEE Asian Conference on
Energy, Power, and Transportation Electrification (ACEPT), and General Chairs of
the IEEE Workshop on Computers in Power Electronics (COMPEL 2000) and
IEEE Applied Power Electronics Conference and Exposition (APEC 2005).
 About the Contributors xxvii

Jose I. Leon was born in Cadiz, Spain. He received BS,

MS and PhD degrees in telecommunications engineering
from Universidad de Sevilla (US), Spain, in 1999, 2001
and 2006, respectively. Currently, he is an Associate
Professor with the Department of Electronic Engineering,
US. His research interests include modulation and control
of power converters for high‐power applications and
renewable energy systems.
Dr Leon was recipient as co‐author of the 2008 Best
Paper Award of the IEEE Industrial Electronics Magazine, the 2012 Best Paper
Award of the IEEE Transactions on Industrial Electronics, and the 2015 Best Paper
Award of the IEEE Industrial Electronics Magazine. He was the recipient of the
2014 IEEE J. David Irwin Industrial Electronics Society Early Career Award and
the 2017 IEEE Bimal K. Bose Energy Systems Award. He is currently serving as an
Associate Editor of the IEEE Transactions on Industrial Electronics.

Ke Ma received his BSc and MSc degrees in electrical

engineering from Zhejiang University, China, in 2007 and
2010 respectively. He received a PhD from Aalborg
University, Denmark, in 2013, where he became an
Assistant Professor in 2014. He was part‐time consultant
with Vestas Wind Systems A/S, Denmark, in 2015. In
2016 he joined the faculty of Shanghai Jiao Tong
University, China, as a tenure‐track Research Professor.
His current research interests include power electronics
and its reliability in the application of HVDC, renewable energy and motor drive
systems.
He is now serving as Associate Editor for two IEEE journals. In 2016 he was
awarded with the “1000 Talents Plan Program for Young Professionals” of China.
He received an “Excellent Young Wind Doctor Award 2014” from the European
Academy of Wind Energy, and several prize paper awards from the IEEE.

Mariusz Malinowski received PhD and DSc degrees in

electrical engineering from the Institute of Control and
Industrial Electronics, Warsaw University of Technology
(WUT), Warsaw, Poland, in 2001 and 2012, respectively.
He has been a Visiting Scholar at Aalborg University,
Denmark; the University of Nevada, Reno, NV, USA; the
Technical University of Berlin, Germany; and ETH Zurich,
Switzerland. He is currently with the Institute of Control
and Industrial Electronics, WUT. His current research
interests include the control and modulation of grid‐side
converters, multilevel converters, smart grids, and
xxviii About the Contributors

power‐generation systems based on renewable energies. He has co‐authored over

130 technical papers and six books. He holds two implemented patents.
Prof. Malinowski was the recipient of the Siemens Prize in 2002 and 2007;
the WUT President Scientific Prize in 2015; the Polish Minister of Science and the
Higher Education Awards in 2003 and 2008; the Prime Minister of Poland Award
for Habilitation in 2013; and the IEEE Industrial Electronics Society (IES) David
Irwin Early Career Award in 2011 and Bimal Bose Energy Systems Award in 2015.
His industry application received several awards and medals, the Innovation
Exhibition in Geneva in 2006, and the Exhibition in Brussels ”Eureco” in 2006.

Marcelo G. Molina was born in San Juan, Argentina. He

received his MS degree in electronic engineering from the
Universidad Nacional de San Juan (UNSJ), Argentina in
1997 and his PhD degree in electrical engineering from
the UNSJ in 2004. Dr. Molina is currently a Full Professor
in Power Electronics, Renewable Energy Systems and
Smart Grids at the UNSJ and a Senior Researcher at the
National Scientific and Technical Research Council
(CONICET), Argentina, where he also holds various
academic and administrative positions. From 2019 he
serves as Director of the Institute of Electrical Energy (IEE), UNSJ-CONICET.
Concurrently, he is Co-director of the Renewable Energies Laboratory at the IEE,
Director of the Smart Grids Research Group and Director of the Binational Master
Program in Intelligent Energy Systems at UNSJ-Universität Siegen, Germany. He
is also a Senior Power Systems Engineering Consultant at the IEE. In all these
positions, he has had extensive research, teaching, speaking and executive experi-
ence. Dr. Molina has co‐authored over 200 peer‐reviewed journal and conference
publications, authored one book in the energy storage field and eight book chap-
ters in various EE areas. His current research interests include power systems
modeling, analysis and control, power electronics, smart grids, renewable genera-
tion and energy storage.

Fang Z. Peng received the BS degree from Wuhan

University, China, in 1983, and MS and PhD degrees, all
in electrical engineering, from Nagaoka University of
Technology, Japan, in 1987 and 1990, respectively. From
1990 to 1992, he was a Research Scientist with Toyo Electric
Manufacturing Co., Ltd., Tokyo, Japan, and was engaged in
the R&D of active power filters, flexible AC transmission
systems (FACTS), and motor drives. From 1992 to 1994, he
was with the Tokyo Institute of Technology, Tokyo, Japan, as
a Research Assistant Professor, where he initiated a multilevel inverter program for
FACTS and a speed‐sensorless motor control project. From 1994 to 1997, he was a
Research Assistant Professor with the University of Tennessee, Knoxville, TN, USA,
working for the Oak Ridge National Laboratory, where from 1997 to 2000, he became
 About the Contributors xxix

the Lead Scientist with the Power Electronics and Electric Machinery Research
Center. Since 2000, he has been with Michigan State University, where he is currently
a University Distinguished Professor with the Department of Electrical and Computer
Engineering. He holds more than 15 patents.
Dr Peng has received many awards, including the IEEE/IAS IPCSD 2013
Gerald Kliman Innovator Award, the 2009 Best Paper Award in the IEEE
Transactions on Power Electronics, the 2011, 2010, 1996 and 1995 Prize Paper
Awards of the Industrial Power Converter Committee in IEEE/IAS; the 1996
Advanced Technology Award of the Inventors Clubs of America, Inc., the
International Hall of Fame; the 1991 First Prize Paper Award in IEEE Transactions
on Industry Applications; and the 1990 Best Paper Award in the Transactions of the
IEE of Japan, the Promotion Award of the Electrical Academy. He was an IEEE
TAB Awards and Recognition Committee (TABARC) member and has served the
IEEE Power Electronics Society in many capacities: Chair of the Technical
Committee for Rectifiers and Inverters, an Associate Editor for the IEEE Power
Electronics Transactions, Region 1‐6 Liaison, Member‐at‐Large, Awards Chair,
and Fellow Evaluation Committee member.

Sergio Vazquez was born in Seville, Spain, in 1974. He

received MS and PhD degrees in industrial engineering
from the University of Seville (US) in 2006 and 2010,
respectively. Since 2002, he has been in the Power
Electronics Group working in R&D projects. He is an
Associate Professor with the Department of Electronic
Engineering, US. His research interests include power
electronics systems, modeling, modulation and control of
power electronics converters applied to renewable energy
technologies.
Dr Vazquez was recipient as co‐author of the 2012 Best Paper Award of the IEEE
Transactions on Industrial Electronics and 2015 Best Paper Award of the IEEE
Industrial Electronics Magazine. He is involved in the Energy Storage Technical
Committee of the IEEE industrial electronics society and is currently serving as an
Associate Editor of the IEEE Transactions on Industrial Electronics.

Annette von Jouanne (Fellow, IEEE) received her PhD

degree in electrical engineering from Texas A&M
University, College Station, TX, USA. She worked with
Toshiba International Industrial Division, Houston, TX,
USA. She was a Professor in the School of Electrical
Engineering and Computer Science, Oregon State
University (OSU), Corvallis, OR, USA, for 22 years,
starting in 1995. Her research interests have been in energy
systems, including power electronics and power systems.
With a passion for renewables, she initiated the Wave
Energy Program at OSU in 1998, developing it into an
xxx About the Contributors

internationally recognized, multidisciplinary program. She was also co‐director of

the Wallace Energy Systems and Renewables Facility (WESRF). In August of
2017, Dr von Jouanne joined the Department of Electrical and Computer
Engineering at Baylor University in Waco, TX.
Dr von Jouanne has received national recognition for her research and
teaching; she was a recipient of the NSF CAREER award, and she is a registered
professional engineer as well as a National Academy of Engineering “Celebrated
Woman Engineer”.

Fei (Fred) Wang (Fellow, IEEE) received the BS degree

from Xi’an Jiaotong University, Xi’an, China, and MS and
PhD degrees from the University of Southern California,
Los Angeles, in 1982, 1985, and 1990, respectively. He
worked for GE between 1992 and 2001, as an Application
Engineer in Power Systems Engineering Department,
Schenectady, NY, a Senior Product Development Engineer
in Industrial Systems, Salem, VA, and also as the Manager
of the Electronic & Photonic Systems Technology Lab, GE
Global Research Center, Niskayuna, NY, and Shanghai,
China. He was a faculty member at the Center for Power Electronics Systems
(CPES) at Virginia Tech, Blacksburg, VA from 2001 to 2009. From 2003 to 2009,
he also served as the CPES Technical Director. Since 2009, he has been with the
University of Tennessee and Oak Ridge National Lab, Knoxville, TN, as a Professor
and the Condra Chair of Excellence in Power Electronics. He is a founding member
and the Technical Director of the multi‐university NSF/DOE Engineering Research
Center for Ultra‐wide‐area Resilient Electric Energy Transmission Networks
(CURENT). His research interests include power electronics and power systems.
Dr Wang has published over 400 journal and conference papers, authored one book
and four book chapters, and holds 15 US patents. His achievements also include the
IEEE IAS Gerald Kliman Innovation Award, seven IEEE prize paper awards, the
GE Dushman Award, and three University of Tennessee Faculty Research
Achievements Awards.
He is a fellow of the US National Academy of Inventors.

Jin Wang received a BS degree from Xi’an Jiaotong

University in 1998, a MS degree from Wuhan University in
2001, and a PhD from Michigan State University, East
Lansing, in 2005, all in electrical engineering.
From 2005 to 2007, he worked at the Ford Motor
Company as a Core Power Electronics Engineer. He joined
Ohio State University in 2007 as an Assistant Professor and
was promoted to Associate Professor in 2013 and full
Professor in 2017. His research interests include wide
bandgap power devices and their applications, high‐voltage
and high‐power converter/inverters, integration of
 About the Contributors xxxi

renewable energy sources, and electrification of transportation. Dr Wang has over

150 peer‐reviewed journal and conference publications and six patents.
Dr Wang received the IEEE Power Electronics Society Richard M. Bass
Young Engineer Award in 2011, the National Science Foundation’s CAREER
Award in 2011, and the IEEE Will Portnoy Prize Paper Award in 2018. At Ohio
State University, Dr Wang received the Ralph L. Boyer Award for Excellence in
Undergraduate Teaching Innovation in 2012, the Lumley Research Award in
2013, and the Harrison Faculty Award for Excellence in Engineering Education
in 2017. Dr Wang served as the General Chair and the Steering Committee Chair
for the IEEE Future Energy Challenge in 2016 and 2017, respectively. Dr Wang
had been an Associate Editor for the IEEE Transactions on Industry Applications
from 2008 to 2014. Currently, Dr Wang serves as the Tutorial Co‐chair for the
IEEE Applied Power Electronics Conference 2019, an Associate Editor for the
IEEE Transactions on Power Electronics and the IEEE Journal of Emerging and
Selected Topics in Power Electronics (J‐ESTPE). Dr Wang initiated and served as
the General Chair for the 1st IEEE Workshop on Wide Bandgap Power Devices
and Applications in 2013.
List of Abbreviations

AC alternating current
ACE area‐control‐error
ACT advanced combustion turbine
ADCP acoustic Doppler current profile
AEC aluminum electrolytic capacitor
AEM anion exchange membrane
AFC alkaline fuel cell
AFE active front end
AG asynchronous generator
AGC automatic generation control
AGM absorbed glass mat (battery)
AI artificial intelligence
AN advanced nuclear
ANFIS adaptive neuro fuzzy inference system
ANGCC advanced natural gas combined cycle
ANN artificial neural network
ANPC active NPC
APF active power filter
ARL Abbreviated Rule Language
ART adaptive resonance theory
ASIC application‐specific integrated circuit
ATRU auto‐transformer rectifier unit
AVR automatic voltage regulator
BAM bi‐directional associative memory
BESS battery‐energy storage system
BJT bipolar junction transistor
BOP balance‐of‐plant
BP backpropagation
BSB brain‐state‐in‐box
BTB back‐to‐back
BV breakdown voltage
CAES compressed air energy storage
CAN cable area network
CCC capacitor‐commutated converter
CC‐OTEC closed‐cycle ocean thermal energy conversion

xxxiii
xxxiv List of Abbreviations

CCS carbon capture and storage

CEC California Energy Commission
CFCs chlorofluorocarbons
CFL compact fluorescent lamp
CHB cascaded H‐bridge (converter)
CL catalyst layer
CM common mode
CMC cascaded multicell
CMI cascaded multilevel inverter
COA center of area
COE cost of energy
CPS cyber‐physical system
CSC current source converter
CSI current source inverter
CSP concentrated solar power
CT combustion turbine
CTE coefficient of thermal expansion
CVSR continuously variable series reactor
DAB dual active bridge
DAE differential‐algebraic
DAFC direct ammonia fuel cell
DC direct current
DCESG DC‐excited synchronous generator
DC‐link
DDBC double‐delta bridge‐cell
DER distributed energy resources
DFIG doubly‐fed induction generator
DFIM doubly‐fed induction machine
DFOM device(‐level) figure‐of‐merit
DG distributed generation
DHT distributed hash table
DM differential mode
DM diffusion media
DMFC direct methanol fuel cell
DMOS double diffusion MOS
DoD depth of discharge
DOE US Department of Energy
DOF degree of fulfilment
DPC direct power control
DSBC double‐star bridge‐cell
DSCC double‐star chopper‐cell
DSO distribution system operator
DSP digital signal processor
DSTATCOM distribution static synchronous compensator
 List of Abbreviations xxxv

DTC direct torque control

DVR dynamic voltage restorer
EC evolutionary computation
EDLC electric/electrochemical double‐layer capacitor
EGS enhanced geothermal system
EIA (US) Energy Information Administration
EMC electromagnetic compatibility
EMI electromagnetic interference
EMS environmental management system
EMTP electromagnetic transient program
EREV extended range electric vehicle
ES Expert Systems
ESS energy storage system(s)
ETO emitter turn‐off
EV electric vehicle
FACTS flexible alternating current transmission systems
FAD frequency and duration
FBESS flow battery‐energy storage system
FBSOA forward biased safe operation area
FC fuel cell
FC or FLC flying capacitor
FCEV fuel cell electric vehicle
FE forwarding engine
FES flywheel energy storage
FET field effect transistor
FIS fuzzy inference system
FiT feed‐in tariff
FIT failure in time
FL fuzzy logic
FLL frequency‐locked‐loop
FNN fuzzy neural network
FOC field oriented control
FOM figure‐of‐merit
FPGA field‐programmable gate array
FRT fault‐ride‐through
FS fuzzy system
FS‐IGBT field stop IGBT
FS‐MPC finite states model predictive control
FTF front‐to‐front
FWD freewheeling diode
G2V grid‐to‐vehicle
GA genetic algorithm
GHG greenhouse gas
GHP geothermal heat pump
xxxvi List of Abbreviations

GIC geomagnetic induced current

GRN general regression network
GT gas turbine
GTO gate‐turn‐off thyristor
GUI graphical user interface
HDR hot dry rock
HEMT high electron mobility transistor
HESS hybrid energy storage system(s)
HFET heterojunction field‐effect transistor
HFT high‐frequency transformer
HID high‐intensity discharge
HIL hardware‐in‐loop
HOR hydrogen oxidation reaction
HP high pressure
HTS high‐temperature superconductor
HVAC high‐voltage alternating current
HVDC high‐voltage direct current
HVRT high voltage ride‐through
IBC intermediate bus converter
IBR inverter‐based resource
ICE internal combustion engine
ICT information and communication technology
IE injection enhancement
IG induction generator
IGBT insulated‐gate bipolar transistor
IGCT integrated‐gate‐commutated thyristor
IM induction machine
IPC interphase power controller
IPFC interline power flower controller
IPM interior permanent magnet
IPS integrated power system
ISOP input series and output parallel
JBS junction barrier Schottky
JFET junction field effect transistor
LCC line‐commutated converter
LCOE levelized cost of energy
LFC load frequency control
LFT line frequency transformer
LFT low‐frequency transformer
LIB lithium ion battery
LMI linear matrix inequality
LOEP loss of energy probability
LOLP loss of load probability
LP low pressure
 List of Abbreviations xxxvii

LQG linear quadratic Gaussian

LQR linear quadratic regulator
LS‐PWM level‐shifted PWM
LVQN learning vector quantization network
LVRT low voltage ride‐through
MCFC molten carbonate fuel cell
MEA more‐electric aircraft
MEA membrane electrode assembly
MF membership function
MFT medium‐frequency transformer
MG microgrid
MLP multilayer perceptron
MMC modular multilevel converter
MMCC modular multilevel cascade converter
MMMC Marquardt modular multilevel converter
MNC metal‐nitrogen‐carbon
MNW modular neural network
MOCVD metal‐organic chemical vapor deposition
MOS gate metal‐oxide semiconductor gate
MOSFET metal‐oxide semiconductor field effect transistor
MPC model predictive control
MPP molypermalloy powder
MPPT maximum power point tracking
MTBF mean time between failure
MTDC multiterminal HVDC
MVAC medium‐voltage alternating current
NEC National Electric Code
NFV network function virtualization
NG natural gas
NGCC natural gas combined cycle
NLC nearest level control
NMC nickel manganese cobalt
NNW neural network
NPC neutral‐point clamped (multilevel converter)
NPP neutral‐point‐piloted (inverter)
NPT non‐punchthrough
OBC onboard charger
OC‐OTEC open‐cycle ocean thermal energy conversion
OCR optical character recognition
ODE ordinary differential equation
OPF optimal power flow
ORR oxygen reduction reaction
OTEC ocean thermal energy conversion
OTS operator training simulator
xxxviii List of Abbreviations

OWC oscillating water column

PADA power analysis and data acquisition
PAFC phosphoric acid fuel cell
PBI polybenzimidazole
PC pseudo‐capacitor
PC pulverized coal
PCC point of common coupling
PCM phase change material
PCS power conditioning system
PDC phasor data concentrator
PDU power distribution unit
PE processing element
PEI polyetherimide
PEM polymer electrolyte membrane
PEMFC proton exchange membrane fuel cell
PEV plugged‐in electric vehicle
PFC power factor correction
PFSA perfluorosulfonic acid
PGM platinum group metal
PHEV pure/hybrid electric vehicle
PHS pumped hydro‐storage
PI proportional‐integral (controller)
PI proportional‐integral‐derivative (controller)
PLL phase‐locked‐loop
PM permanent magnet
PMSG permanent magnet synchronous generator
PMSM permanent magnet synchronous machine
PMU phasor measurement unit
PNN probabilistic neural network
PNPC passive NPC
POL point‐of‐load
PPMV parts per million by volume
PSB polysulfide bromide
PSM phase‐shift modulation
PS‐PWM phase‐shifted PWM
PSS power system stabilizer
PSU power supply unit
PT punchthrough
PTO power take‐off
PV photovoltaic
PWM pulse width modulation
RACDS resilient AC distribution system
RBSOA reverse bias safe operation area
RB‐IGBT reverse blocking IGBT
RBFN radial basis function network
 List of Abbreviations xxxix

RC resistor‐capacitor
RC‐IGBT reverse conducting IGBT
RC‐IGCT reverse conducting IGCT
RES renewable energy sources
RFB redox flow battery
RICE reciprocating internal combustion engine
RIE reactive ion etch
rms root mean square
RNN recurrent neural network
RTS real‐time simulator
SBD Schottky barrier diode
SCES supercapacitor energy storage
SCIG squirrel‐cage induction generator
SCM staircase modulation
SCR silicon controlled rectifier (or thyristor)
SCR short‐circuit ratio
SCSOA short‐circuit safe operation area
SDBC single‐delta bridge‐cell
SDN software defined networking
SDP semidefinite programming
SE state estimation
SG smart grid
SG synchronous generator
SHE selective harmonic elimination
SHM selective harmonic mitigation
SIT static induction transistor
SJ superjunction
SLA sealed lead‐acid (battery)
SM submodule
SMES superconducting magnetic energy storage
SOA safe operation area
SOC state‐of‐charge
SOFC solid oxide fuel cell
SPE solid polymer electrolyte
SPWM sinusoidal pulse width modulation
SSBC single‐star bridge‐cell
SSCB solid‐state circuit breaker
SSFCL solid‐state fault current limiter
SSSC static synchronous series compensator
SSST solid‐state smart transformer
SST solid‐state transformer
SSTS solid‐state transfer switch
STATCOM static synchronous compensator
SVC space vector control
SVC static VAR compensator
xl List of Abbreviations

SVM space vector modulation

T&D transmission and distribution
TCPST thyristor‐controlled phase‐shifting transformer
TCR thyristor‐controlled reactor
TCSC thyristor‐controlled series capacitor
TCVR thyristor‐controlled voltage regulator
TDNNW time‐delayed neural network
TES thermal energy storage
TF transfer function
THD total harmonic distortion
TOU time‐of‐use
TRU transformer rectifier unit
TSBC triple‐star bridge‐cell
TSC thyristor‐switched capacitor
TSO transmission system operator
TSR thyristor‐switched reactor
TSSC thyristor‐switched series capacitor
UC ultracapacitor
UPFC unified power flow controller
UPQC unified power quality controller
UPS uninterruptible power supply
USC ultra supercritical coal
V2G vehicle‐to‐grid
VAR volt ampere reactive
VLA vented lead‐acid (battery)
VM virtual machine
VOC voltage oriented control
VR voltage regulator
VRFB vanadium redox flow battery
VRLA valve‐regulated lead‐acid (battery)
VSC voltage source converter
VSD variable speed drive
VSI voltage source inverter
WAMS wide‐area measurement systems
WBG wide bandgap
WEC wave energy converter
WPT wireless power transformer
WRIG wound‐rotor induction generator
WTS wind turbine system
YSZ yttria‐stabilized zirconia
ZCS zero‐current switching
ZCS zero‐current‐transition
ZEBRA Zero Emission Battery Research Activities
ZVS zero‐voltage switching
 Ch a p ter  1
Energy, Environment,
Power Electronics,
Renewable Energy Systems,
and Smart Grid
Bimal K. Bose and Fei (Fred) Wang

1.1 INTRODUCTION

This introductory chapter will attempt to set the stage for the remainder of the book by
providing an overview of energy, environment, power electronics, renewable energy
systems, and the smart grid. The main focus of the chapter is on power electronics
for renewable energy systems and smart grid, which is the theme of this book. Many of
the challenges for renewable energy systems and smart grid are related to energy and
environmental issues. Considering the relevance and their recent importance, these
topics have been discussed in some detail. The modern renewable energy system cannot
function, and the smart grid cannot be realized, without power electronics. In fact,
power electronics is the most important element in these areas. An overview of power
electronics [1, 2] is presented that includes power semiconductor devices, converter
types, commonly used circuit topologies, converter compositions, and some of the most
common power electronics applications, in particular, those related to power grids.
Finally, the renewable energy system and smart grid will be considered again with those
features that mainly require power electronics. The overview essentially covers the pre-
sent technology, technology under research and development, as well as future trends.

1.2 ENERGY

Energy is the life‐blood of human civilization and the wheel of its progress moves
continuously with energy. The present global total energy generation scenario [3–7]
is shown in Figure 1.1. About 86% of the total energy is generated by fossil fuels,

Power Electronics in Renewable Energy Systems and Smart Grid: Technology and Applications,
First Edition. Edited by Bimal K. Bose.
© 2019 by The Institute of Electrical and Electronics Engineers, Inc.
Published 2019 by John Wiley & Sons, Inc.

1
2 Chapter 1 Energy, Environment, Power Electronics, Renewable Energy Systems

of which 30% comes from coal, 24% from natural gas, and the remaining 32%
comes from oil. About 4% of our total energy is generated in nuclear plants, and
the remaining 10% comes from renewable energy sources (RES). The renewable
energy segment can be subclassified as: hydroelectric, 20%; solar, 3%; wind, 11%;
geothermal, 1%; and biomass (biofuels including biodiesel and ethanol, wood, bio-
mass waste), 65%. The US total energy generation, shown in Figure 1.2, generally
follows a similar pattern. It is interesting to note that the recent shale oil and natural
gas revolution by hydraulic fracking is altering the energy scenario of the world,
particularly that of the USA. The price of these fuels and their share of imports have
decreased significantly in the USA, and in fact, shows signs that the USA may
become a net energy exporter in the near future. The share of coal is also being
replaced by cheaper and cleaner natural gas in energy generation.
The USA has a voracious appetite for energy. Per capita energy consumption
there is the highest in the world. With nearly 4.4% of world population (322 million
out of 7.4 billion), the USA consumes nearly 23% of world energy, and this reflects a
very high living standard (Norway now has the highest living standard, with lower per

• Hydro – 20%
• Solar – 3%
30% • Wind – 11%
Coal • Geothermal – 1%
10%
• Biomass – 65%
Res
32% Total – 100%
Oil
4%
Nuclear
24%
Gas

Figure 1.1 Global total energy generation (2014) with the breakdown of renewable
energy sources.

• Hydro – 26%
• Solar – 4%
19% • Wind – 18%
Coal • Geothermal – 2%
• Biomass – 50%
10% Total – 100%
35% Res
Oil

28% 8%
Gas Nuclear

Figure 1.2 US total energy generation (2014) with the breakdown of renewable energy
sources.
 1.2 ENERGY 3

capita consumption of fossil fuels compared with the USA). In comparison, China
(now the world’s second largest economy), with nearly 19% of the world population
(1.4 billion), consumes a slightly higher total amount of energy than the USA. Of
course, this scenario is changing fast due to rapid industrialization of China.
Figure 1.3 shows the projected depletion curves of fossil fuel energy resources
[3, 6] considering their present availability and rate of consumption. The curves
plot the amount of energy (in 109 MBtu) vs. the year, and the area under each curve
gives the total available energy. Of the different types of fossil fuels, the world has
large reserves of coal. The coal consumption is expected to peak around 2070, and
will last around 280 years. As mentioned before, the coal burning rate has decreased
recently due to environmental reasons that will be discussed later. The oil and
natural gas reserves are small in comparison, but are expected to last around the
same period. However, there may be discoveries of new resources in the future. The
Arctic Ocean is believed to contain more than 25% of the world’s oil and gas, which
may be very expensive to explore. With conservation and discovery of new
resources, the depletion curves in Figure 1.3 can be extended in time. The nuclear
energy availability is small compared with fossil fuel energy and is not included in
the figure. Again, Figure 1.3 does not include renewable energy resources, which
provide another dimension of infinite and inexhaustible energy sources that are now
getting increasing emphasis throughout the world.
Figure 1.4 shows electricity generation by different types of fuel for several
selected countries [3]: USA, Japan, China and India. In the USA, around 40% of
total energy is consumed in electrical form. Of this, 39% comes from coal, 2% from
oil, 27% from gas, 19% from nuclear, and the remaining 13% comes from renewable
sources (mainly hydroelectric, as indicated in Figure 1.2). Japan does not have

World fossil-fuels energy

300

250

200
109 MBtu

150

100

50

0
1900 1925 1950 1975 2000 2025 2050 2075 2100 2125 2150 2175 2200 2225 2250 2275 2300
Year
Coal energy Crude oil energy Natural gas energy Total fossil fuels energy

Figure 1.3 Projected global fossil fuel energy depletion curves. (See electronic version for
color representation of this figure.)
4 Chapter 1 Energy, Environment, Power Electronics, Renewable Energy Systems

Coal 39%
Oil 2%
USA Gas 27%
Nuclear 19%
Renew 13%

Coal 32%
Oil 9%
Japan Gas 44%
Nuclear 1%
Renew 14%

Coal 77%
Oil 2%
China Gas 3%
Nuclear 2%
Renew 16%

Coal 75%
Oil 1%
India Gas 4%
Nuclear 3%
Renew 17%
Figure 1.4 Electricity generation for several selected countries (2014).

much indigenous energy resources [8], and mainly depends on imports. The recent
nuclear accident in Fukushima has reduced its share from 30% to 1%, which may
be revived in spite of public opposition. It is interesting to note that the world’s two
fastest developing countries (China and India) mainly depend on coal. Currently
the world’s energy generation scenario is changing fast because of the progres-
sively decreasing costs of wind (typically 5 cents/kWh) and photovoltaic (typically
6 cents/kWh) energies in comparison with the cost of coal (typically 5.2 cents/
kWh) and gas (typically 10 cents/kWh) [9]. This will be further discussed later.

1.3 ENVIRONMENT

1.3.1 Environmental Pollution by Fossil Fuels

Burning of fossil fuels (coal, oil and natural gas), as mentioned before, produces
pollutant gases, such as SO2, CO, NOx, HC, and CO2, as shown in Figure 1.5, that
cause environmental pollution problems [10–13]. Of these, SO2, CO2, HC and NOX
gases mix with rainwater and cause acid rain that destroys vegetation. It also acid-
ifies the ocean water, thus affecting marine life. Urban pollution is mainly caused
by automobile exhaust gases (CO, NOX, SO2, HC and particulate matter) that are
harmful for human breathing. The most dominant effect of fossil fuel burning is the
global warming or climate change problems caused by greenhouse gases (GHG) (CO2,
N2O, CH4 (methane), CFCs (chlorofluorocarbons), and others), because they create
a “greenhouse effect” by trapping solar heat in the atmosphere. James Hansen, a
 1.3 ENVIRONMENT 5

Coal Oil Natural

gas

Pollutant gases

SO2

CO

CO2

NOX

HC

Particulate matter

Acid Urban Global

rain pollution warming

SO2, CO2, SO2, CO, CO2, N2O, CH4

HC, NOX NOX, HC + others
green house
gases
Figure 1.5 Environmental pollution by fossil fuel burning.

NASA scientist (also an activist), first predicted global warming problems in 1988
by this greenhouse effect. The UN‐IPCC (Intergovernmental Panel for Climate
Change) now predicts with 90% certainty that global warming is caused by burning
of fossil fuels. The CO2 gas generated by burning of fossil fuels is the main cause
due to its higher concentration in the atmosphere. Although methane is significantly
more harmful than CO2, itsconcentration is low in the atmosphere and it is lighter
than air.
Figure 1.6 summarizes the different sources and sinks of GHGs [14]. Note
that the Sun is the source of nearly all our energy. Some of this energy is absorbed,
and some is reflected to maintain the heat balance and stabilize the Earth’s temper-
ature. Besides fossil fuel burning, a considerable amount of GHG is contributed by
natural sources, such as volcanic eruptions, land and ocean floor emissions, and so
on. Human beings and animals exhale GHGs (human beings exhale CO2, but animals
exhale CH4), but trees absorb CO2 by photosynthesis (called the carbon fertilization
effect) and emit oxygen. A considerable amount of GHG is washed away by rain
to raise the acidity of ocean water. A secondary cause of global warming is due
to the increase in world population and large‐scale deforestation that tend to upset
the natural ecological balance. In normal conditions, different natural sources and
sinks of GHG maintain a stable atmospheric temperature. It is interesting to note,
6 Chapter 1 Energy, Environment, Power Electronics, Renewable Energy Systems

Figure 1.6 Sources and sinks of greenhouse gases. (See electronic version for color
representation of this figure.)

however, that a significant amount of greenhouse effect is caused by water vapor in

the atmosphere (including the cloud effect), which maintains a bias temperature
and helps to sustain plant and animal life on Earth. Global warming processes are
extremely complex, and many scientific studies are now being carried out by cli-
mate scientists.
Scientists have studied the historical changes in CO2 concentrations in the
atmosphere, going back thousands of years into the past [10] (see Figure 1.7), and
have found that the curve is cyclic in nature (called Ice Age Cycles), where the peak
is nearly 280 ppmv (parts per million by volume) and the trough is near 180 ppmv.
The atmospheric temperature variation (0 °C to –10 °C) is nearly proportional to
this curve, as indicated in the figure. The data for Figure 1.7 were obtained by ice
core studies in Antarctica by US National Science Foundation (NSF). In this study,
steel tubes were inserted deep in the ice for miles to extract samples of ice that were
deposited over thousands of years [14]. Layer by layer, these ice cores are like a
fingerprint of atmospheric conditions, such as chemical composition, dust particle
composition, air temperature, nuclear radiation, and unusual events like volcanic
eruptions. The exact cause for cyclic variation of CO2 is not known. The one sure
thing in Figure 1.7 is that in the past 1000 years (particularly in the post‐industrial
revolution era), the CO2 concentration has increased dramatically (see upper curve)
 1.3 ENVIRONMENT 7

Carbon dioxide variations

400
400
The Industrial revolution has
350
caused a dramatic rise in CO2

CO2 concentration (ppmv)

300
350

1000 1200 1400 1600 1800 2000

Year (AD) 300
0°C
Ice age
cycles
250

200
–10°C
400 300 200 100 0
Thousands of years ago
Figure 1.7 CO2 cycles in the atmosphere over thousands of years, highlighting the rise
since the industrial revolution in 1785. (See electronic version for color representation of
this figure.)

to near 400 ppmv, which is much higher than the pre‐industrial revolution peak
values. Scientists now believe that this peak is due to man‐made burning of fossil
fuels, and may be irreversible. The potential impact of this rise [15], as shown in
Figure 1.8, in terms of a consequential rise in global temperature is dangerous.

1.3.2 Climate Change or Global Warming Problems

What are the effects of global warming? Climate scientists around the world are
trying to model the climate system (extremely complex) and study it using super-
computer simulations [3–14]. Figure 1.9 shows the global warming projections
made by different research agencies; they have estimated that the temperature rise
will typically be 2–5 °C every 100 years. The long‐term effects of climate change
are very serious, and can be summarized as follows:
•• Gradual melting of Arctic and Antarctic ice caps, Greenland and a large
number of glaciers around the world will raise the sea‐level and cause inun-
dation of low‐lying areas. Figure 1.10 shows the melting of the Arctic Ocean
and the vanishing habitat of polar bears, and Figure 1.11 shows melting of the
Morano glacier in the Andes mountains of South America [16]. The predicted
sea‐level rise, as studied by the NASA/Poseidon project of NASA/JPL, is typ-
ically 1.0 inch every 10 years. The projected sea‐level rise over 100 years [3, 17]
is shown in Figure 1.12. It has been estimated that, in 2006 alone, half a million
square miles of Arctic ice melted, which was three times faster than that pre-
dicted by climate model studies. One possible reason for accelerated melting
is that 90% of the incident heat is absorbed by water and only 10% by ice.
8 Chapter 1 Energy, Environment, Power Electronics, Renewable Energy Systems

654

600
60% rise
CO2
11.3 billion tons/yr.
World energy consumption

62% rise
410

Fossil fuels
(quadrillion btu)

CO2
7.0 billion tons/yr.
300
Fossil fuels

Alternative
energy
sources
Nuclear
Hydroelectric
Wind
Solar
Biomass
Geothermal
0
2002 2030
Figure 1.8 Potential rise in emissions of CO2 during 2002–2030, without control of GHG.

5
CCSR/NIES
2 – 5 deg. C/100 yrs.
CCCma 4
Temperature anomaly (°C)

CSIRO
Hadley centre 3
GFDL
MPIM 2
NCAR PCM
NCAR CSM 1

0
–0.6
–1 –1

1900 1950 2000 2050 2100

Figure 1.9 Global warming projections by different research agencies around the world,
without control of GHG. See electronic version for color representation of this figure.

The Arctic Ocean is predicted to be ice‐free by 2050. Sea‐level rise has

serious consequences because about 100 million people (mostly poor) live
within 3 feet of sea‐level. With the present rate of global warming, it has been
predicted that 50% of Bangladesh (very low‐lying ground) (Bose’s birth
 1.3 ENVIRONMENT 9

Figure 1.10 The melting Arctic Ocean and vanishing habitat of polar bears.

Figure 1.11 Melting of the Morano glacier, the Andes mountains, South America.

place) will be under water in 300 years time, displacing about 75 million
people. Several island nations in the Pacific Ocean (such as Tuvalu) will be
under water within 100 years. It has been estimated that if all the ice in
the world melts, sea‐level will rise by 210 ft and will completely immerse the
island of Manhattan in New York [16, 17].
•• Severe droughts in tropical countries such as India and parts of Africa,
and particularly near the equator, will damage agriculture and vegetation.
10 Chapter 1 Energy, Environment, Power Electronics, Renewable Energy Systems

Figure 1.12 Sea‐level rise projections over 100 years, without control of GHG.

The UN has predicted that by 2080 India’s agricultural production will

decrease by 38% due to drought, but the carbon fertilization effect will offset
it by 9%. The African countries have demanded billions of dollars
compensation from Western countries, which are blamed for the global
warming problems.
•• The quality and quantity of fresh water supplies will deteriorate.
•• The circulation of air with high moisture content will cause more hurricanes,
tornadoes, heavy rains and floods, which are already evident in some parts of
the world (including the USA).
•• Tropical climates with more moisture will spread diseases.
•• Some animal species like polar bears and penguins will become extinct
because of their vanishing habitats (see Figure 1.10). Higher acidity of sea-
water from dissolved GHGs along with higher temperatures will threaten
marine life such as corals (already evident in the Great Barrier Reef of
Australia and other parts of the world).
It has been predicted that even if fossil fuel burning is completely stopped
today, sea‐levels are expected to rise several feet in the next 1000 years. A kind
of statistical/ecological balance will tend to occur when natural carbon emis-
sions (volcanoes, ground emission, etc.) and animal exhalation will tend
to balance by the sinks due to rainwater and carbon fertilization of trees. There
may be other effects of climate change which will be uncovered by further
scientific studies.
 1.3 ENVIRONMENT 11

1.3.3 Several Beneficial Effects of Climate Change

Although climate change problems will have serious harmful effects on our society,
there are also a few beneficial effects [3, 17]. As stated before, CO2 absorption by
photosynthesis will tend to help nutrition of plants, but will be offset heavily by
droughts. Melting of polar ice caps in the summer is opening shorter transconti-
nental navigation routes. For example, as shown in Figure 1.13, a new Arctic Ocean
route (shown as the Northern Sea route) has opened recently that takes 35 days for
a ship to travel between Dalian in China to Rotterdam in the Netherlands during
summer (July to November), instead of 48 days by the Suez Canal route that is
already open throughout the year [18]. As mentioned before, it is believed that more
than 25% of world’s oil and natural gas resources lie beneath the Arctic Ocean.
However, this exploration is very expensive. Recovery of new land due to melting
of ice will enable habitation, agriculture and mining. For example, Greenland will
be exposed for Nd mining, which is important for widely used high‐energy NdFeB
magnets. Although cooling or air‐conditioning costs of many countries will

Figure 1.13 The shrinking Arctic Ocean trade route between China and the Netherlands.
(See electronic version for color representation of this figure.)
12 Chapter 1 Energy, Environment, Power Electronics, Renewable Energy Systems

increase, the heating cost of some countries in cold climates will decrease. Melting
of polar ice is expected to promote fishing industries.

1.3.4 The Kyoto Protocol and Carbon Emission Control

Considering the serious consequences of climate change, the United Nations (UN)
called a series of international meetings over a period of time to discuss the chal-
lenges posed by climate change. Finally, as a result, an international agreement
called the Kyoto Protocol or Global Climate Treaty emerged in 1997 [14]. Under
this treaty, many industrialized nations were assigned quotas for GHG emissions
which were essentially based on per‐capita emission of CO2. The protocol went into
effect in 2005, and now has 192 member countries.
However, the USA refused to participate in the Kyoto Treaty for emission
control, although its per‐capita emissions are the highest in the world, as shown in
Figure 1.14 [17]. It is interesting to note that although China’s per‐capita emissions
are much lower than those of the USA, considering its large population and the
recent trend of industrialization, the total emissions (given by the area of the rect-
angle) of China became higher than the USA from 2006. The USA refused to
accept the emission control mandate unless China took adequate remedial mea-
sures. But China blamed the USA and other industrialized nations for creating this
mess and was not willing to sacrifice its growing living standards by reducing its
fossil fuel‐based energy consumption. With no remedial measures, the projected
world CO2 increase for 2002–2030 is shown in Figure 1.8.

21 USA
Canada

18
Australia
CO2 emission/person (tons)

15

12
Russia
Japan, UK, Denmark

9 Austria
New Zealand, Italy

France
6
Switzerland
Mexico China

3 India
Brazil
Africa

0
0 700 1400 2100 2800 3500 4200 4900 5600 7 billion
Population (millions)
Figure 1.14 Per‐capita CO2 emission vs. population of selected countries in the world
(2004) (some Middle‐Eastern countries have higher per‐capita emissions).
 1.3 ENVIRONMENT 13

According to the Kyoto Treaty, a country with higher emissions can cap it by
advanced technology or by purchasing credits from a country with lower emissions
(called cap‐and‐trade policy). For example, the UK with higher‐than‐quota emis-
sions can purchase credits from Brazil, which has emissions below its quota. Within
a country, a quota can be assigned to an industry or individual person (or family)
who can buy or sell credits to satisfy the quota. In 1990, the Clean Air Act (similar
to a cap‐and‐trade policy) was enforced successfully in the USA to control power
plant and automobile air pollutions. Alternatively, carbon tax can be imposed on
polluters, based on a carbon tax rate (tax on CO2 emissions per ton per year). Both
strategies are difficult to implement. Although many UN conferences have been
held since the Kyoto Treaty and policy changes have been made, carbon emission
control strategies are not working satisfactorily in the world.

1.3.5 How Can We Solve or Mitigate Climate Change Problems?

The first step we can take is to promote all of our energy consumption to be in
electrical form. In a large centralized fossil‐fuel based power generating station, it
is somewhat convenient to apply advanced emission control standards. Since coal
is a dirty fuel for environmental pollution, coal‐fired power generation can be cut
down and eventually eliminated in the long run. The success of clean coal tech-
nology is not promising. CO2 capture from coal plants and underground sequestra-
tion (carbon capture and storage (CCS) strategies) is still expensive. Since trees
absorb CO2, tropical rainforests (such as the Amazon rainforest) can be preserved
and widespread forestation can be promoted to mitigate the global warming prob-
lems. Controlling human and other animal populations to reduce GHGs is not easy.
A substantial portion of global energy demand can be met by promoting environ-
mentally clean renewable energy sources, and the whole world is now moving in
that direction. Fuel cells, although currently expensive, can be promoted if clean
energy is used to generate its fuel – the H2 gas. Internal combustion engine (ICE)
vehicles can be replaced by electric vehicles to substantially improve the environ-
ment, if the battery‐storage electricity is generated by renewable sources. However,
if the electricity is generated by fossil fuels, the urban pollution is transferred to
generating station pollution. Similarly, other fossil‐fuel based transportations (rail-
ways, ships, etc.) can be replaced by electric transportation. Promoting mass electric
transportation as Japan has done will mitigate the global warming effect. A substan-
tial amount of energy can be saved by improving efficiency in generation, transmission,
distribution, and utilization of electrical energy. Finally, wastage of energy can be
prevented. Typically, a third of US energy is wasted because it is cheap and people
are affluent. Note that power electronics plays a significant role in renewable energy
generation, transportation and energy efficiency improvement, as mentioned before,
and will be further discussed later.
Unfortunately, as mentioned before, the global climate control strategies are
not working satisfactorily. These are progressing more or less on a voluntary basis
by piecemeal efforts of different countries. Of course, further R&D is required both
14 Chapter 1 Energy, Environment, Power Electronics, Renewable Energy Systems

in climate sciences and in methods of mitigation. Many countries in the world are
dependent on fossil fuels. The recent glut of oil and gas from shale technology has
made these fuels cheaper, promoting their increased consumption. Nuclear energy
is pollution free in the traditional sense, but nuclear plants have safety problems.
Improvement of safety measures means it has become more expensive in recent
years. Besides, nuclear waste remains radioactive for thousands of years and there
is no safe method for its disposal. For these reasons, nuclear power generation is
gradually decreasing in the USA.
Again, because of long‐term effects, environmental problems are not consid-
ered seriously. European countries have taken the leadership role in solving the
problems, but there is not much enthusiasm in the USA. A segment of the population
has tried to propagate the idea that the global warming problem is a hoax. There is
also political pressure from coal, oil and gas companies. The US leadership is
essential to tackling climate change problems, but recently it has gone in the
opposite direction.

1.4 POWER ELECTRONICS

1.4.1 The Role of Power Electronics in Renewable

Energy Systems and Grids
From the previous sections, it can be clearly seen that the energy future that will
help both the sustainability and environmental issues lies in renewable energy. As
will be described in detail in Section 1.5, the most abundant renewable energy
sources in the foreseeable future will be wind and solar energy. Modern society
runs on electricity or electric energy. For wind and solar energy (or any energy
sources for that matter) to be converted to electric energy, conversion equipment is
needed. For wind, turbines and generators are used. However, the variable wind
turbine and generator speed can lead to variable frequency and variable voltage
electricity. In order to meet the grid requirement of fixed frequency of 50 or 60 Hz
at certain standard voltage levels, additional electrical conversion equipment, in this
case to convert variable frequency, variable voltage to a fixed frequency, fixed
voltage, is required.
For solar energy, photovoltaic (PV) cell‐based panels are the most popular
technology to convert solar energy to electrical energy. However, PV panels pro-
duce DC power at unregulated low voltage (e.g., PV panels typically rated around
60 V). In order to meet the grid requirement for frequency and voltage, a DC‐to‐AC
converter that converts DC source at various voltage levels to a fixed‐frequency,
fixed‐voltage AC supply is required.
In fact, all energy sources require conversion equipment to convert them into
electrical energy sources at fixed frequency and voltage. For traditional electrical
energy sources, thermal power (including nuclear power) is converted to electricity
through steam or gas turbines and fixed speed or frequency synchronous
 1.4 POWER ELECTRONICS 15

generators; and hydro‐power is converted to electricity through hydro turbines and

fixed speed or frequency synchronous generators. Unlike wind and solar power
conversion, no frequency conversion equipment is generally required for thermal
and hydro‐power.
After its generation, electric energy generally must be transferred or deliv-
ered before consumption, since the energy sources, such as thermal power plants,
hydroelectric dams, and wind farms, are often some distance away from loads. The
energy/power delivery is realized though the electrical power system, or grid. In
addition, electrical energy needs to be controlled as well, since the energy delivery
and use often require electricity in a form different from the original form generated
at the source. Examples are the voltage magnitude and frequency. For long‐distance
transmission, the voltage needs to be stepped up at the sending end to reduce the
energy loss along the lines, and then stepped down at the receiving end for users.
For many modern consumer devices, DC voltage is needed and obtained through
transforming the 50 or 60 Hz utility power to DC power. Note that electric energy
delivery and control is often used interchangeably with the electric power delivery
and control. This is because in the modern electric power system or grid, there is
still very limited energy storage and the energy generated must be consumed at the
same time.
Since the beginning of the electricity era, electric energy delivery and control
technologies have been an essential part of electrical power systems. Many types of
equipment were developed and applied for these purposes. The commonly used
equipment includes transmission and distribution lines, generators (which are both
for mechanical to electrical energy conversion and for control), transformers,
switchgears, inductors or reactors, and capacitor banks. The traditional equipment
is electromechanical or electromagnetic in nature, and all has limited control
­capability. Many cannot be controlled at all or can only be controlled to connect or
disconnect with mechanical switches; others have a limited control range, such as
transformers with tap‐changers. Even with fully controllable equipment such as
generators, the control dynamics is relatively slow due to the electromechanical
or magnetic nature of the controller. Almost no traditional control and delivery
equipment has frequency conversion capability (a rotating transformer is an
exception), as needed by some loads, similar to the cases of wind and PV energy
sources. To achieve frequency conversion, power electronics‐based conversion
equipment can provide convenient solutions. In addition, power electronics
­converters can have many other advantages over traditional electromechanical
or electromagnetic equipment.
Power electronics are based on semiconductor devices. These devices are
derived from transistors and diodes used in microelectronic circuits, with additional
large power‐handling capability. Due to their electronic nature, power electronic
devices are much more flexible and faster than their electromechanical or
electromagnetic counterparts for electrical energy conversion, delivery, and control.
Since the advent of power electronics in the late 1950s, they have steadily gained
ground in electrical grid applications. Today, power electronics converters and
16 Chapter 1 Energy, Environment, Power Electronics, Renewable Energy Systems

controllers are an important part of equipment for electrical energy generation,

delivery, and control, and their role is growing rapidly with the continuous improve-
ment of power electronics technologies, as well as with emerging needs like renew-
able energy systems, smart grid, and electronic loads. The examples of electronic
loads include motor drives, electric vehicle (EV) charging stations, data centers,
LED and compact florescent lighting, and other digital systems.

1.4.2 Fundamentals of Power Electronics

Power Semiconductor Devices
At the heart of the power electronics conversion equipment or converters are power
semiconductor devices. Different from semiconductor devices in microelectronics,
the power electronic semiconductor devices only act as switches for desired control
functions, such that they incur minimum losses when they are either on (closed) or
off (open). As a result, the power electronics converters are basically switching
­circuits. The power semiconductor devices or switches are therefore the most
important elements of the power electronics converters. Since the 1950s, many
­different types of power semiconductor devices have been invented and developed,
and can be selected based upon the applications.
The performance of a power semiconductor device is mainly characterized
by the voltage and current ratings, conduction or on‐state loss, as well as the switch-
ing speed (or switching frequency capability) and associated switching loss. The
most popular and practical types of power semiconductor devices are listed with
their symbols and the state‐of‐art ratings and frequency range in Table 1.1.
•• Power diode – a two‐terminal device with similar characteristics to diodes
used in microelectronics but with higher voltage and power ratings.
•• Thyristor – also called a SCR (silicon controlled rectifier). Unlike a diode, a
thyristor is a three‐terminal device with an additional gate terminal. It can be

TABLE 1.1 Commonly used Si‐based power semiconductor devices and their maximum
ratings.

Types Symbol Voltage Current Switching frequency

Power diode Max 80 kV, typical <10 kV 10 kA Various

Thyristor Max 8 kV 4.5 kA AC line frequency

GTO Max 10 kV 6.5 kA <500 Hz

Power MOSFET Max 4.5 kV, typical <600 V 1.6 kA Tens of kHz to MHz

IGBT Max 6.5 kV, typical >600 V 2.4 kA 1 kHz to tens of kHz

IGCT Max 10 kV, typical >4.5 kV 6.5 kA <2 kHz

 1.4 POWER ELECTRONICS 17

turned on by a current pulse through the gate but can only be turned off when
the main current goes to zero by external means. A thyristor has low
conduction losses but slow switching speeds compared with other devices.
•• GTO – stands for gate‐turn‐off thyristor. A GTO can be turned on similarly to
a regular thyristor and can also be turned off with a large negative gate current
pulse. GTOs have been largely replaced by IGBTs and IGCTs due to their
complex gate driving needs and slow switching speed.
•• Power bipolar junction transistor (BJT) – similar to a bipolar transistor for
microelectronics and requires a sustained gate current to turn on and off. It
has been replaced by IGBTs and power MOSFETs (metal‐oxide semicon-
ductor field effect transistors) with simpler gate signals and faster switching
speeds.
•• Power MOSFET – similar to a metal‐oxide semiconductor field effect tran-
sistor for microelectronics, and can be turned on and off with a gate voltage
signal. It is the fastest device available but has a relatively high conduction
loss and relatively low voltage/power ratings.
•• IGBT – stands for insulated‐gate bipolar transistor. Unlike a regular BJT, it
can be turned on and off with a gate voltage like a MOSFET. It has a relatively
low conduction loss and fast switching speed. The IGBT is becoming the
workhorse of power electronics for medium to high power applications.
•• IGCT – stands for integrated‐gate‐commutated thyristor. It is basically a GTO
with an integrated gate drive circuit allowing a hard driven turnoff. It therefore
has faster switching speeds than a regular GTO but is slower than an IGBT.

Except for diodes, all other devices above can be turned on and/or off through
a gate signal, so they are active switches, while diodes are called passive switch.
A thyristor is sometimes called a semi‐active switch, due to its lack of controlled
turn‐off capability.
Note that devices in Table 1.1 are all based on Si. Since the invention of Si
thyristors in the 1950s, Si power semiconductor devices have gone through many
generations of development in the last 60 years and are approaching material theo-
retical limitations in terms of blocking voltage, operation temperature, and
conduction and switching characteristics. In recent years, semiconductor devices
based on wide bandgap (WBG) (energy bandgap significantly higher than 1 eV)
materials have progressed rapidly and promise to revolutionize next‐generation
power electronics converters. Compared with the Si (energy bandgap around 1 eV)
devices, WBG devices feature high breakdown electric field, low specific on‐
resistance, fast switching speed and high junction temperature capability. These
characteristics are beneficial for efficiency, high power and voltage capability, size,
and cost of power electronics converters, which are all important for the needs of
renewable energy systems and smart grid applications.
The WBG devices under rapid development and commercialization include
silicon carbide (SiC) and gallium nitride (GaN) devices, with SiC mainly targeting
 18 Chapter 1 Energy, Environment, Power Electronics, Renewable Energy Systems

high‐voltage, high‐power (600 V, kilowatts or above) applications, and GaN for

low‐voltage, low‐power (600 V, kilowatts or below) applications [19, 20].
Figure 1.15 summarizes the status of SiC‐based power devices, including
Schottky diodes, PIN diodes, MOSFETs, junction gate field effect transistors
(JFETs), IGBTs, BJTs, and thyristors with the voltage range from 400 V to 22.6 kV.
It is observed that low‐voltage (from 400 V to 1700 V) SiC devices are becoming
commercially available. Among them, the current rating per die approaches up to
100 A, and with multiple dies in parallel, state‐of‐the‐art SiC power modules on the
market can deliver hundreds of amperes of current. On the other hand, the high‐
voltage SiC (referred to here as 3.3 kV and above) are generally in the development
stage with limited commercial availability and a small current rating per die [22].
Currently, SiC MOFETs are the most developed active switches, with some
JFETs, IGBTs, BJTs, and thyristors also available. SiC MOSFETs have been used
commercially in electric vehicles (EVs) and PV applications. More SiC applica-
tions are expected, including for renewable energy systems and power grids.
GaN theoretically offers even better high‐frequency and high‐voltage
performance compared with SiC, due to its higher breakdown electric field and
electron velocity. However, GaN wafer fabrication technology is still a major
challenge for vertical devices. Currently, lateral devices called heterojunction field‐
effect transistors (HFETs), also known as high electron mobility transistors
(HEMTs), offer an effective alternative that takes advantage of the high‐mobility
layer formed at the heterojunction between GaN and AlGaN. HFETs have been
fabricated on substrates of Si, SiC, and sapphire. Si is considerably cheaper than

1000
Commercially available Research & development phase
600
400
MOSFET
200 PIN
diode
100 SJT SJT Thyristor
Current rating (A)

60
40 MOSFET
JFET
JFET IGBT
20

10
Thyristor
6
4 Schottky diode

Schottky diode
2 PIN diode

1
400 600 1,000 2,000 4,000 6,000 10,000 20,000
Voltage rating (V)
Figure 1.15 Summary of status of SiC power devices (updated January 2017) [21].
(See electronic version for color representation of this figure.)
 1.4 POWER ELECTRONICS 19

other alternatives, and as a result, commercially available GaN power transistors on

today’s market use Si as a substrate (GaN‐on‐Si). Due to the lateral structure, their
voltage rating is limited to below 650 V, with up to about 100 A current rating.
Several manufacturers and researchers are exploring other GaN devices, such as
vertical GaN‐on‐GaN JFETs and new HFET gate structures to increase the
breakdown voltage. But these are all in the research and development phase, and no
GaN devices have been released commercially above 650 V at this time.
Consequently, GaN device applications related to renewable energy systems and
grid are still very limited, even in exploratory research. They are suitable for small
PV inverters like micro‐inverters and single‐phase inverters for rooftop PV.

Power Electronics Converter Types and Basic Topologies

Discussions above explained that a power electronics converter functions as electric
energy to electric energy conversion equipment. The energy is preserved while the
voltage and/or frequency will be converted. Power electronics converters are based
on power electronics circuits containing power semiconductor switches. With
­different types of power semiconductor switches, many power electronics circuits
have been developed. Based on their conversion functions, they can be classified as
four basic types:
•• Rectifier – rectifiers convert AC to DC. Depending on AC sources, rectifiers
can be three‐phase or single‐phase; depending on device types, they can be
passive (diode‐based), phase‐controlled (thyristor‐controlled), or active
(active switch‐based).
•• Inverter – inverters convert DC to AC. They again can be three‐phase or
single‐phase. Inverters generally require active switching devices.
•• DC–DC converter – also called choppers, DC–DC converters convert one DC
voltage level to another. Sometimes they include a magnetic isolation. A DC–
DC converter generally requires active switching devices.
•• AC–AC converter – directly converts one AC to another, either only the
voltage magnitude or both magnitude and frequency. The former can also be
called an AC switch and the latter can be called a frequency changer. Active
devices are needed for these types of converters.
Furthermore, each of the converter types can be further clarified. For example,
a converter can have unidirectional power flow or bidirectional power flow. In
addition to DC–DC converters, other types can have isolation as well, though this
is less popular in application.
There are a variety of converter topologies for each type of converter listed above.
The most commonly used basic topologies for power system or grid applications are
shown in Figure 1.16. These basic topologies can be expanded through using devices
and/or converters in series or parallel to achieve higher current and voltage ratings.
For high‐power applications like renewable energy systems and utility grid,
the basic state‐of‐the‐art topology is the VSC shown in Figure 1.16b, and its
20 Chapter 1 Energy, Environment, Power Electronics, Renewable Energy Systems

(a) (b) (c)

Thyristor-based rectifier Voltage Source Converter (VSC) Bidirectional AC switch

Figure 1.16 Commonly‐used basic power electronics converter topologies (only one
phase shown for the AC switch).

variations. The VSC based on Si IGBT becomes the topology of choice in three‐
phase AC–DC or DC–AC applications due to its circuit and control simplicity, and
overall good performance and reliability. In some cases, the thyristor‐based line or
load commutated converters in Figure 1.16a, or the bidirectional AC switch in
Figure 1.16c still dominate, such as in classic high‐voltage direct current (HVDC)
and flexible alternating current transmission systems (FACTS), which will be
­presented in more detail in Section 1.6, due to their simplicity and low losses.
Thyristor‐based topologies are older technologies with drawbacks in performance
(e.g., high harmonics and low power factor), and therefore require bulky and heavy
filters and compensators.
In order to increase power rating, improve efficiency, power density, and
reliability, many advanced topologies beyond basic VSCs have been proposed, and
some of them have already been employed in applications including renewable
energy systems and grid.

Multilevel Converters Multilevel converters refer to a family of converters

that synthesize AC voltages using more than two DC voltage levels, as in the case
of the basic VSC in Figure 1.16b. The benefits of the multilevel converters include
lower AC ripple, lower voltage stress on semiconductor devices and loads (e.g.,
motors), and higher equivalent switching frequency. Many types of multilevel
converters have been proposed. The commercially adopted converters include the
neutral‐point clamped (NPC) multilevel converter, the flying capacitor multilevel
converter, the cascaded multilevel converters, modular multilevel (MMC)
converters, and Vienna‐type multilevel converters. These topologies are shown in
Figure 1.17 and compared in Table 1.2. The three‐level NPC is a suitable topology
for medium voltage (several to tens of kilovolts) when using Si IGBT or IGCT,
considering the power and voltage levels of these converters (MWs and kVs) and
availability of medium voltage IGBT and IGCT (kVs and kAs). The NPC converter
has the advantage of high power density due to its low requirements on passive
components. Therefore, NPC and its variants (including ANPC and Vienna‐type)
are often preferred for applications where high power density is important, such as
 1.4 POWER ELECTRONICS 21

(a) (b)

Dc
Ac Dc Ac

(c) (d)
HB HB HB
SM SM SM
Ac
SM SM SM
HB HB HB
Dc
Ac
HB HB HB

H-bridge
HB SM SM SM Submodule
HB HB
HB
SM SM SM SM
n

(e) (f)

Dc Ac Ac Dc

Figure 1.17 Multilevel converters: (a) three‐level NPC; (b) three‐level flying capacitor
(FC) converter; (c) cascaded H‐bridge (CHB) converter; (d) MMC; (e) three‐level active
NPC (ANPC); and (f) a Vienna‐type rectifier.
22 Chapter 1 Energy, Environment, Power Electronics, Renewable Energy Systems

TABLE 1.2 Multilevel converter comparison summary.

NPC FC CHB MMC Vienna‐type ANPC

Device utilization* 1.25 1 1 1 to 2 1 1.5

Modularity No No Yes Yes No No
Capacitors Low Medium High High Low Low
Inductors Low Low Low High Low Low
Transformers Low Low High Low Low Low

*Assume two‐level voltage source converter is 1.

shipboard or aircraft power systems. Cascaded converters and MMC are modular,
fault‐tolerant, can switch slow, use low‐voltage devices, and have high efficiency
and good harmonic characteristics. On the other hand, they require high numbers of
capacitors and have inferior power density. In Table 1.2, note that the device
utilization is calculated based on the total kVA ratings, using the peak voltages and
currents that the switches and diodes will experience. In real converters, the device
ratings, especially current ratings, will be determined based on thermal design.

Interleaved converters Multilevel converters fundamentally employ the

series converter strategies, with each converter switching phase‐shifted with respect
to others to achieve better ripple reduction while attaining higher voltage capability,
or switch slower to achieve higher equivalent switching frequency. Interleaving
refers to the strategy of paralleling identical converters, with each converter switching
phase‐shifted to achieve better ripple reduction while attaining higher current
capability. Figure 1.18 illustrates the principle of interleaving. Similar to multilevel
converters, interleaved converters have lower AC ripple, lower current stress on
semiconductor devices, and higher equivalent switching frequency. Note that
interleaving can cause circulating current problems for paralleled converters. The
circulating current can be both common mode (zero‐sequence) and differential
mode. As a result, interphase inductors may be necessary for interleaved converters,
which will increase design and control complexity, and add more components. For
motor drives, the interphase inductor function could be integrated as part of the
motor windings.

Multiphase converters Most converters in high‐power applications such

as renewable energy systems and smart grid have three‐phase AC input and/or
output. For loads such as motors, multiphase motors with a phase number greater
than three may be beneficial to cost, performance, power density and/or fault‐
tolerance. Correspondingly, the converters can also be more than three‐phase,
which can be realized with multiple three‐phase converters or dedicated multiphase
converters. In addition to modularity and redundancy, the multiphase converters
may generate lower common mode voltages, which will be beneficial to motors and
lead to lower filter requirements.
 1.4 POWER ELECTRONICS 23

Interleaving
Converter 1
κ

Converter N Load or
T(2π source
or 360°)

Symmetric
2π interleaving angle:
κ 360° K = 2π/N

Synchronized switching with shifted phase angle of PWM

Figure 1.18 Two two‐level voltage source inverters on interleaving. Interleaving and
multilevel technologies can be combined for further performance and power density gains.

Soft‐switched converters DC–DC converters often employ resonant

topologies to realize zero‐voltage switching (ZVS) or zero‐current switching
(ZCS), to reduce switching loss and enable high‐frequency switching. Many soft‐
switching topologies have been proposed for three‐phase AC converters by adding
auxiliary circuits to the original hard‐switched topologies, including two‐level
VSCs, three‐level NPC and ANPC converters [23]. Among these techniques, the
zero‐current‐transition (ZCT) technique appears to be suitable for high power
converters. The basic idea of this technique is as follows: during the switching
commutation, the current flowing through the operating device is forced to zero
prior to turning off the device with the assistance of an auxiliary circuit. Thus, the
ZCT techniques can almost eliminate turn‐off losses and overvoltage spikes during
the turn‐off transient, and greatly reduce turn‐on losses and alleviate reverse‐
recovery issues during turn‐on. In addition, the low power rating auxiliary switches
have no switching losses [23–25]. However, the soft‐switched converters have not
been much adopted in practical applications due to the added complexity and cost,
and limited benefits to motor drive type applications, where extra high‐switching
frequencies and fast dynamics are not required.

Composition of Power Electronics Converters

In addition to power semiconductor switches, it should be noted that passive
­components, such as inductors and capacitors, are essential parts of power elec-
tronics converters, as can be seen in Figure 1.17 with all kinds of VSC examples. In
fact, power electronics converters convert or control the electrical energy by storing
it temporarily in inductors or capacitors while reformatting the original voltage or
current waveforms through switching actions. The other key function of the passive
components is filtering the harmonics or noise caused by switching.
24 Chapter 1 Energy, Environment, Power Electronics, Renewable Energy Systems

Auxiliary power supplies Drive control

Gate drives & protection

Output sensors
Input sensors

Input EMI Output EMI

G filter
Rectifier DC link Inverter
filter M
Thermal management system

Figure 1.19 Functional block of a typical motor drive.

Figure 1.19 shows the functional block for one of the most popular types of
power electronics converters, a motor drive, which is an AC–AC converter used to
drive and control an electric motor. It converts the electric energy from the grid at a
fixed voltage and frequency to electric energy at a variable voltage and variable
frequency, which is required to adjust the motor speed and torque per the motor
load need. Clearly, in this case, the AC to AC conversion is realized through a three‐
phase AC to DC rectifier and then a DC to three‐phase AC inverter.
As can be seen in Figure 1.19, in addition to the rectifier and inverter circuits,
a power electronics converter also includes: (1) passive energy storage components,
for example, DC link capacitors and AC line inductors; (2) a thermal management
system; (3) filters, e.g. electromagnetic interference (EMI) filters; and (4) control
and auxiliary components, including gate drive, protection, controller, sensors, and
auxiliary power supply. Since these subsystems and components are essential parts
of the converter, and will impact on the overall converter performance, efficiency,
size, cost, and reliability, the technologies related to these subsystems and compo-
nents are reviewed here.

Passives Passive components, including inductors, capacitors, and transformers,

are essential part of power electronics converters for energy storage and filtering. They
often make up significant portion of volumes and weight of the converters and can also
incur loss.

Magnetics: Magnetics include inductors and transformers. Inductors are

used for filtering and energy storage, while transformers are used for isolation and
voltage step‐up/step‐down operations. Both inductors and transformers are made
by winding wires around cores made of a magnetic material. The material properties,
core geometry, and number of winding turns determine the characteristics of the
inductor or transformer. Inductors and transformers can be made with tape wound
or cut cores, power cores, or ferrite cores. Tape wound and cut cores are made from
soft magnetic alloys, which are summarized in Table 1.3 with selected materials
and their notable properties. Note that the first four materials are based on silicon
steel or nickel–iron alloys suitable for low‐frequency (e.g., AC grid and harmonic
frequencies) applications, with each made for high flux density or permeability.
 1.4 POWER ELECTRONICS 25

TABLE 1.3 Fundamental characteristics of materials used in tape wound and cut cores.

Saturation Electrical Upper Material Loss

flux density* resistivity frequency density density***
Core material (T) (μΩ‐cm) limit** (kHz) (g/cm3) (kW/m3)

Silicon steel 1.8 47 0.1–2 7.67 5800–8400

Supermendur 2.1 26 0.75–1.5 8.15
Orthonol 1.5 45 1.5–8 8.25
Permalloy 0.65–0.75 55–60 4–40 8.72–8.77 1200–3400
Alloy 2605 1.5 130 20–500 7.19 2200
Nanocrystalline 1.0 120 500 7.3 300

*Maximum achievable after processing.

**Dependent on tape thickness; based on operation near the saturation flux density.
***At 100 kHz, 0.2 T flux density, and 25 °C temperature.

Figure 1.20 Transformers based on nanocrystalline (smaller) and ferrite (larger) cores.

Alloy 2605 is a metal–glass amorphous alloy that is good for medium frequency
(100s of Hz to 10s of kHz) applications.
Nanocrystalline magnetic materials have been developed more recently.
They are based on ultra‐fine grains of Fe, Si and other elements with a typical
grain size of 10–15 nm, and exhibit excellent soft magnetic properties. They
have much lower loss density than Fe‐based amorphous and much higher flux
density than ferrite. Figure 1.20 shows a comparison of two high‐frequency
transformer prototypes built for the same 200 kHz, 30 kW DC/DC converter
26 Chapter 1 Energy, Environment, Power Electronics, Renewable Energy Systems

application [26]. The size of the transformer using the nanocrystalline material
is approximately a fifth of of that based on ferrite.
Powder cores are cores with distributed air gaps. They are made from a
magnetic alloy that has been ground to a fine powder, and then mixed with an insu-
lating material to increase resistivity and create distributed air gaps. The powder
cores are used mostly in high‐frequency applications. Common core materials
include iron powder, molypermalloy powder (MPP, low loss), nickel–iron powder
(high flux cores), and Kool‐Mμ (an iron–silicon–aluminum alloy with moderate
cost and lower losses and better thermal properties than iron powder).
Ferrite cores are made of oxides of metals such as iron, zinc, and manganese.
Because of the inherent insulating property of these oxides, ferrite cores have high
resistivity, which leads to low losses. As such, ferrite cores can be used up to
extremely high frequencies. The oxide is fired, ground, pressed into shape, and
re‐fired to create a core. This process allows the construction of many core shapes,
including standard E, I, U, and so on, as well as toroids and pot cores. Additionally,
any custom shape may be machined to meet user‐specified requirements. Ferrite cores
are good choices for high‐frequency applications, including EMI filters [27, 28].
Saturation flux densities for ferrite cores are low, on the order of 0.4–0.5 T.
Nanocomposites, a new class of nanocrystalline materials, are being developed
with better performance. They are composed of ferromagnetic nanocrystals embedded
in an amorphous matrix, where nanocrystals contribute to desired magnetic prop-
erties and the amorphous phase enables small grain size and large resistivity. The
nanocomposites offer several better properties compared with typical commercially
available nanocrystalline materials, including high operating temperature (≥770 °C)
and high saturation flux density (1.5–2.1 T). Low hysteresis and eddy current losses,
compact size and light weight, improved mechanical properties, and enhanced corro-
sion resistance can also be achieved by nanocomposite materials [29].

Capacitors: A high power converter in grid applications, such as a three‐

phase AC–DC converter, is likely to utilize almost every type of capacitor.
Applications range from lower power control circuitry, gate drive circuitry, and
high‐frequency EMI filter, to high‐power AC and DC filters and energy storage.
Commercially available capacitor technologies fall into four broad categories [30]:
ceramic, film, electrolytic, and electrochemical. Each category may be further
classified. Film capacitors can be of natural (paper or mica) or synthetic (e.g.,
polystyrene or polypropylene) type. Electrolytic capacitors can be distinguished by
the anode materials (e.g., aluminum, tantalum) or electrolyte (e.g., liquid or solid)
[30, 31]. Electrochemical capacitors are also called “super capacitors” or “ultra‐
capacitors” for their very high capacitance values. Table 1.4 and Table 1.5
summarize commonly used capacitor technologies. The selection of a particular
type of capacitor depends on a number of considerations, including applications,
voltage and ripple current ratings, capacitance values, power loss, reliability (mainly
failure modes and lifetime), temperature capability, density, and cost. The
application considerations include: AC vs. DC, low frequency vs. high frequency,
and filter vs. energy storage. Different capacitor technologies may be better in
 TABLE 1.4 Summary of commonly used capacitor technologies.

Technology Advantages Disadvantages Failure modes Applications

Ceramic (general High capacitance‐to‐volume Poor temperature stability; susceptible to Mechanical cracking; High‐frequency blocking,
purpose) ratio; low cost shock and vibrations; poor reliability surge currents; dielectric bypassing, filtering, and
breakdown coupling
Ceramic (temperature Temperature and time stable Low capacitance values only; Mechanical cracking; Compensation for
compensating) susceptible to shock and vibration; low surge currents; dielectric variation in temperature
capacitance‐to‐volume ratio breakdown
Paper Reliable; average stability; low Average capacitance‐to‐volume ratio; Dielectric breakdown Low‐frequency filtering
cost high resistance and coupling; power‐
factor correction;
contact protection;
motor start and run
Mica Low dielectric losses; good Low capacitance‐to‐volume ratio Dielectric breakdown High‐frequency blocking,
temperature, frequency, and bypassing, filtering, and
aging characteristics; low AC coupling; resonant
losses; reliable; low cost circuits; high voltage
Poly‐film Wide range of capacitance and Relatively high cost Dielectric breakdown; Mid‐frequency blocking,
voltage ratings; low open circuit bypassing, filtering, and
dissipation factor; stable; coupling; timing
high‐temperature stability
Aluminum electrolytic Highest electrolytic High leakage current; requires reforming Dielectric breakdown; Low‐frequency blocking,
(AEC) capacitance‐to‐volume ratio; after long storage periods; high cost for open circuit; loss of bypassing, filtering, and
highest electrolytic voltage high reliability; susceptible to dynamic capacitance; increased coupling
rating; high ripple capacity environments; damaged by chlorinated ESR and leakage
hydrocarbons current
Chemical double layer Highest capacitance; highest Low operating temperature; low Similar to AEC Energy storage
(super cap) energy density frequency capability; relatively high
cost

27

0004338979.INDD 27 06/19/2019 5:38:55 PM

 TABLE 1.5 Electrical characteristics of commonly used capacitors.

Typical dielectric Capacitance change

constant Capacitance DC voltage Volume efficiency Dissipation factor from −55 to 125 °C
Technology (air = 1.0) range range (μF V/in3) (25 °C) (%ΔC from nominal)

Ceramic 12–400,000 0.1 pF–12 μF 25 V–30 kV 273–55,000 0.006–2.5 (1 kHz) 0 (temp. comp.)
0.006–7 (1 MHz) −10 to +2
Paper 4.0 100 pF–200 μF 50 V–200 kV 130–300 0.2–0.5 (120 Hz) −10 to +8
0.2–1 (1 kHz)
Mica 7.5 1 pF–10 μF 50 V–100 kV 11–600 0.04–0.06 (120 Hz) −2 to +1
0.05–0.5 (1 kHz)
0.05–0.9 (1 MHz)
Poly‐film 3.0 20 pF–400 μF 30 V–10 kV 34–5,000 0.007–0.9 (1 kHz) +1 to −1
0.02–0.45 (1 MHz) (polystyrene)
Aluminum 10 0.5 μF–2 F 3–700 V 16,000–82,000 3–80 (120 Hz) −30 to +25
electrolytic
Tantalum electrolytic 26 0.1 μF–8 mF 3–125 V 5,800–87,500 1–6 (120 Hz) −8 to +10
(solid)

28

0004338979.INDD 28 06/19/2019 5:38:55 PM

 1.4 POWER ELECTRONICS 29

certain aspects but not others. Note that density for a capacitor can mean power or
energy density. Some capacitors have high power densities but low energy densities,
while others are just the opposite. Figure 1.21 shows energy and power densities for
different types of capacitors vs. their typical capacitance range.

(a)

1000.000

100.000
Energy density (J/in3)

10.000

1.000 AEC
Film
Mica
0.100
Ceramic
SuperCap
0.010

0.001
1.E+00

1.E+01

1.E+02

1.E+03

1.E+04

1.E+05

1.E+06

1.E+07

1.E+08

1.E+09
1.E–03

1.E–02

1.E–01

Capacitance (uF)

(b)

10000

1000
Power density, W/in3

100

AEC
10 Film
SuperCap

1
1.0E+00

1.0E+01

1.0E+02

1.0E+03

1.0E+04

1.0E+05

1.0E+06

1.0E+07

1.0E+08

1.0E+09

Capacitance, uF
Figure 1.21 Capacitor technologies: (a) energy density vs. capacitance; and (b) power
density vs. capacitance. (See electronic version for color representation of this figure.)
30 Chapter 1 Energy, Environment, Power Electronics, Renewable Energy Systems

Most commercial capacitors have temperature ratings below 85 °C, with

some rated at 105 °C. With WBG devices, high‐temperature capacitors (e.g. 200 °C
rating) become necessary and are receiving considerable attention in research and
development. Several novel dielectric materials are under development for improved
temperature capability and overall performance. For example, high‐temperature
polyetherimide (PEI) film with a high dielectric constant is being investigated to
achieve less use of films and more than 25% volume reduction. High dielectric
strength through nanocoating of PEI films also enables high breakdown voltage
[32]. Additionally, it is reported that ultrathin (5–100 µm) glass sheet, as an inor-
ganic material with significantly high thermal stability (>500 °C), enables high
capacitance and energy density [33].

Thermal Management System Thermal management is essential to power

electronics converters. Appropriate cooling is necessary in order for power
semiconductor devices and other components to maintain a safe operating
temperature. Additionally, the thermal management system takes up a large
percentage of the total converter size, weight, and cost. A sample design shows that
for a GaN FET‐based rooftop PV inverter, its heat sink is the highest cost item, even
more than the GaN devices used in the design. It is important to identify and choose
efficient and effective thermal management strategies.

Cooling methods: The most common thermal management strategy for

high power converters is forced convection cooling, with either air or liquid.
They are adequate for today’s power electronics devices, which have thermal
densities of the order of 100 W/cm2. For high‐density converter designs with
WBG devices and more integration, the thermal density can reach as high as
1 kW/cm2 [34], beyond the thermal handling capability of traditional forced
convection cooling methods.
To overcome the barrier of conventional cooling methods, advanced technol-
ogies, such as phase‐change and direct liquid cooling techniques developed in
microelectronics, have begun to be applied to power electronics. Phase‐change
techniques involve boiling the liquid coolant, or changing its phase to gas, as it
extracts heat from the components. The coolant used in phase‐change methods
must have a boiling point significantly below (e.g., 10–40 °C) the device operating
temperature [35]. Because of the high energy required to boil a liquid, phase‐change
is a very effective cooling technique. In direct liquid cooling, the component is
either directly submerged in the coolant, or the coolant is forced onto or across the
surface of the device. Direct liquid cooling can also be combined with phase‐
change; in this case, the coolant directly touches the device, and boils as a result of
the heat absorption. The direct cooling methods include liquid immersion, jet
impingement, and spray cooling. All these can be combined with phase change.
For example, pool boiling is the phase‐change liquid immersion technique. Methods
such as jet impingement and spray cooling are designed to meet the cooling needs
of 1 kW/cm2 thermal density.
 1.4 POWER ELECTRONICS 31

Most of the advanced phase‐change and direct cooling methods for power
electronics are still in their development stage. One exception is heat‐pipes, which
have been used successfully in high power density converters. Heat‐pipes are a
form of phase‐change cooling with the coolant enclosed in a pipe that is either
embedded in the device or a cold plate. The entire pipe is a closed system; as such,
the coolant is not pumped through the pipes. Instead, the coolant boils near the heat
source, and travels towards the condenser end of the heat‐pipe, where the liquid
condenses. Since these systems cannot always rely on being oriented such that
gravity pulls the coolant back down to the heat source, they often incorporate a
wicking material enclosed in the pipe. This wick draws the condensed coolant back
towards the heat source.

Heat sinks: For a given cooling method, heat sinks to large extent determine
the cooling performance. Both configurations and materials of heat sinks are
important for their performance. For air‐cooling heat sinks, metal structures with
fins are typical configurations for increased heat transfer. In recent years, pin fin
heat sinks start to be used more, due to their better performance than traditional flat
fins in certain applications, although the true heat sink performance must be
determined considering air flow. For liquid cooling, metal cold plates with
embedded cooling loops are generally used. The geometry of the liquid loops can
be simple circles or squares, but can also be designed to be more sophisticated for
improved heat transfer. For example, fin structures, which can help to create
turbulent flow for more efficient heat transfer, have been used in the liquid cooling
loops for some electric vehicle inverters. Microchannel cooling, using channels
around 10 µm in diameter, pumps liquid coolant directly onto the device, or through
a heatsink attached to the device. There is also mini‐channel cooling, where the
channel diameter is of the order of 1 mm. Microchannel can be combined with
phase‐change, where the liquid coolant is boiled inside the channel, close to the
heat source. One potential issue with micro‐ or mini‐channel cooling is its
requirement for purity of the coolant to avoid clogging.

Thermal materials: Materials with good thermal properties are desired

throughout the construction of a power converter, from the substrate of the power
semiconductor device module, to heat spreaders, thermal interfaces, and heat sinks.
For the effective removal of heat, it is desirable to use materials with high thermal
conductivities. An equally critical consideration is matching of the coefficient of
thermal expansion (CTE) at material interfaces. Poorly matched CTEs result in
excess mechanical stresses due to thermal cycling, leading to premature failure.
In general, thermal materials may be classified as first‐, second‐, or third‐­
generation materials [36]. First‐generation materials consist mainly of the tradition-
ally used aluminum, copper, and their alloys. While copper offers high thermal
conductivity, it is also heavy. The rather high CTE of copper is another drawback.
Aluminum is 30% lighter than copper, but also has lower thermal conductivity and
even greater CTE. Still, aluminum heat sinks have been a popular low‐cost choice
32 Chapter 1 Energy, Environment, Power Electronics, Renewable Energy Systems

for lightweight applications. To further reduce the size and weight of thermal
management solutions, however, advanced materials with higher conductivity and
lower mass density are required.
The bulk of second‐ and third‐generation materials are composites, in which a
matrix material is used for rigidity and the reinforcement material is used to manip-
ulate the thermal properties. One thermal material that has received considerable
attention is graphite. Many of these advanced materials, including graphite, do not
have the same thermal conductivity in all directions, unlike copper and aluminum.
Instead, the thermal conductivity may be very high in the directions in‐plane through
the material, but considerably lower in the direction normal to that plane. At first,
this may seem to be a very undesirable characteristic, but it can actually be quite
useful. The orientation of the material can be chosen when fabricating the heat
spreader or heat sink, such that the thermal conductivity is extremely high in two
dimensions, and low in the other. This can be useful in evenly spreading the heat
from multiple sources, or even directing the heat flow to a cooler area. One issue
with graphite is its negative CTE, which may be compensated for with metal meshed
with graphite. Other promising thermal materials include carbon nanotubes.

Filters Power electronics converters rely on switching devices and will

inevitably generate noise, ripples and harmonics. The switching transients can also
lead to voltage and current spikes. As a result, filters are needed for protection,
electromagnetic compatibility (EMC), and power quality. The fast‐switching WBG
devices may result in more demanding requirements for filters. Since the filters are
mostly realized with passive components, they can be important contributors to
converter size and weight, and therefore cost. The main filter types include:
harmonic filters to meet power quality requirements, EMI filters for EMC, and
dv/dt filters to relieve stress on loads, especially motor loads which have limited
insulation capability. In the topology and passive sections above, some of the filter
reduction topologies and components have been introduced. Additional technologies
that can benefit power converter filter design and reduction include active harmonic
and EMI filters, integrated filters, and switching control schemes such as random or
variable frequency pulse width modulation (PWM).
An active EMI filter, composed of noise sensing circuits, operational ampli-
fiers and noise injection elements (capacitors for current and transformers for
voltage), is able to cancel the propagating noise. As a result, the required passive
components can be significantly reduced for improved power density. For example,
Figure 1.22 illustrates a noise spectrum comparison between a 4 mH common mode
inductor and a hybrid active filter plus a 300 μH common mode inductor. In the
lower frequency range (10–200 kHz), the hybrid filter is at least as effective as the
passive filter, while reducing the inductance by a factor of 10 [37, 38].
Integrated filtering is another promising technique. For example, based on
transmission‐line theory, the converter busbar structure can also be designed to
function as a transmission‐line filter. This type of filter structure fully utilizes the
converter busbar as the filter winding, thus eliminating the extra winding weight
 1.4 POWER ELECTRONICS 33

120
110 Passive(300 uH) Passive 300 uH
+active
100
Magnitude (dBuV)

90
80
70
60
50
40
30 Passive(4 mH)
20
1.E+04 1.E+05 1.E+06 1.E+07
Frequency (Hz)
Figure 1.22 Comparison of hybrid and passive common mode filters. (See electronic
version for color representation of this figure.)

[39–41]. To increase its effectiveness, a multilayer structure can be used for the
busbar; together with some external magnetic cores, the required equivalent induc-
tance can be achieved. The capacitance can also be realized within the busbar with
high permittivity insulation layers.
The PWM switching scheme impacts ripple and EMI noise spectrum. The
random PWM and variable‐switching frequency PWM can effectively spread the
noise spectrum and shrink the EMI filter without compromising loss or affecting
performance [42, 43].

Control and Auxiliary Components Compared with traditional power

conversion equipment, power electronics converters are more intelligent due to
their controllability. Control is an essential part of the power electronics converters.
A suitable power electronics converter control architecture for high‐power
applications is the layered hierarchical control shown in Figure 1.23, and as
recommended in [44]. There are several levels of controls necessary for converters
in renewable energy systems and grid applications. The basic functions of these
control layers are briefly summarized below.
1. System control layer: All functions involved in the determination of the
system mission and thus the duties of the power electronics system or their
mode of operation. For a motor drive, this will correspond to the operation
mode control of the drive.
2. Application control layer: Dictates the operation of the power electronic
system in order to meet the mission determined by the system control. For a
motor drive, the speed, torque and even flux control will belong to this layer.
3. Converter control layer: Enables the application control layer to perform its
mission by implementing many of the functions common to all converters
34 Chapter 1 Energy, Environment, Power Electronics, Renewable Energy Systems

System control >

System control - operating mode determination ~10ms

Application control ≈.1ms..1s..

Application control
- overriding control & measurements

Converter control
PLL. αβ↔dq transformations - PLL synchronization
- αβ↔dq transformations
id/iq current control ≈10µs..1ms
- id- and iq current control

Modulator
Switching control
- Modulator

Protection
Configuration
& diagnostics

Converter - Converter switching logic

switching logic - 2nd level protection ≈1..10µs
2nd level
protection

6
A/D & D/A A/D & D/A
Hardware control ≈0.1..1µs
- Stack or module assembly
Gate drives & - Snubbers for safe commutation
device protection - Gate drives & feedbacks
- 1st level device protection
VDC1 T FB Ω1..6 l VA/B/C - A/D & D/A conversion
(optional) - Gate drive power supply
- Current and voltage sensors
∧ - AC/DC power terminals
- Thermal management
∧

Figure 1.23 Recommended control architecture for power electronics applications [44].

such as synchronous timing (phase‐locked‐loop), current and voltage ­filtering,

measurements, and feedback control calculations. This layer will include the
current control loop, which is independent of the application.
4. Switching control layer: Enables the power electronics to behave as a switch‐
mode controlled source and includes modulation control and pulse
generation.
5. Hardware control layer: Manages everything specific to the power devices,
such as gate drives and protection circuits. Gate drive is particularly impor-
tant as it is responsible for controlling the switching action of power semicon-
ductor switches.
The above control functions are realized with control hardware and software.
The system, application and converter control layers are usually implemented with
software in digital controllers such as digital signal processors (DSP); the switching
 1.4 POWER ELECTRONICS 35

control is often implemented with digital hardware circuit, such as a field‐programmable

gate array (FPGA); and the hardware control is usually implemented through an
analog circuit.
To realize the control functions, several important auxiliary components are
needed, including sensors and auxiliary power supplies. Sensors are needed to
­provide converter operation information (e.g., voltages, currents, temperature, etc.)
to the controllers. Auxiliary power supplies, which are usually AC–DC or DC–DC
converters themselves, are needed to provide power needed for controller hardware
and circuit boards. Note that sensors and power supplies, together with the hardware
control layer circuit (e.g. gate drive), need to interface both with the power
­electronics converter main circuit, which is often at a high voltage level, and with
the digital control circuit, which is at signal voltage level. Therefore, isolation is
important. The isolation between the switching control layer and hardware control
layer is often achieved by optical means: opto‐coupler in lower voltage, lower
power (<1 kV, hundreds of kW) cases, or optical fiber in higher voltage, higher
power cases. The isolation for the gate drive power supply is often achieved
through magnetic transformer. With higher voltage grid application and faster
WBG devices, isolation in power electronics converters becomes an increasingly
challenging issue.
Note also that the hierarchical layered control architecture has been devel-
oped mostly based on Si power electronics converter technology. With WBG device
technology, the partitions between layers are becoming less clear due to the faster
switching and interactions between subsystems. Better control architecture may be
needed in the future.

1.4.3 Power Electronics Applications

The role of power electronics is for electrical energy and power conversion. There
are many applications that can and have used power electronics converters. It is not
an overstatement that almost all things electrical today contain some sort of power
electronics converters. From tiny mobile and medical devices, small home appli-
ances and tools, bikes and cars, to large industrial, commercial and medical equip-
ment, data centers, transportation infrastructure, and gigantic power grids, all of
them use one or more types of power converters described earlier in this section.
Since the theme of the book is grid power electronics, the application discussion
here will focus on those related to the grid.
From the grid standpoint, the applications can be classified into three broad
categories: source related, load related, and delivery (transmission and distribu-
tion) related. The source‐related applications are mainly regarding the generation
source, which will be discussed in the renewable energy systems section
(Section 1.5), and the delivery‐related applications are mainly regarding the energy
transmission and distribution, which will be discussed in the smart grid section
(Section 1.6). This subsection will focus on the load‐related applications, with
focus on the major loads.
36 Chapter 1 Energy, Environment, Power Electronics, Renewable Energy Systems

According to the US Energy Information Administration (EIA) report, the

total electricity consumption in the United States was about 3.82 trillion kilowatt
hours (kWh) in 2017. The sales of electricity to major consuming sectors and
percentage shares of total electricity sales in 2017 were:
•• Residential: 1.38 trillion kWh (37.4%)
•• Commercial: 1.35 trillion kWh (36.6%)
•• Industrial: 0.95 trillion kWh (25.7%)
•• Transportation: 0.01 trillion kWh (0.2%, mostly to public transit systems)
Two main types of loads within the first three sectors are motors and lighting,
As a result, the application discussion will focus on them, together with fast‐
growing transportation and data centers.

Motor Drives
Motor loads account for a large percentage of total electricity use. In 2017, the US
industrial sector spent 48.2% of total electricity consumption on machine drives,
not even considering the motors used in facility heating, ventilation, air condi-
tioning, and cooling, which accounted for 9.5% of electricity usage, nor motors in
process cooling and refrigeration, which was another 7.3% of electricity usage. The
residential and commercial sectors also use motors extensively, through ventilation,
cooling and refrigeration. For the residential sector in the US, these load types
accounted for 36.3% of total electricity usage in 2017, while for the commercial
sector, they accounted for 35.8% of total electricity usage during the same time
period. Needless to say, motor loads are the most important type of loads for the
power grid, in terms of energy consumption.
More and more motors are driven by power electronics converter‐based
motor drives, to meet the variable speed and torque requirements. Compared with
fixed speed motors or other types of speed control (e.g., gearbox), power e­ lectronics‐
based motor drives have higher efficiency, higher reliability, and better performance.
There are many different types of motor drives. Two broad categories are DC
drives for DC motors and AC drives for AC motors. In the early days, DC drives dom-
inated due to easy speed control of DC motors, even though DC motors themselves
are generally less desirable than AC motors in terms of performance, ­reliability, and
cost. In the last 30 years or so, AC drives have advanced significantly and become
dominant on the market due to the digital control and power electronics technology.
AC drives basically generate variable frequencies and voltages to control AC
motor speed. There are many ways to further classify AC drives. Some of them are
listed below [45]:
•• Based on input power sources, a drive can be either DC or AC fed.
•• Based on motor types, an AC drive can be induction motor drive, or
synchronous motor (including a permanent magnet or PM motor) drive. Note
that a DC brushless motor is one type of DC‐fed PM drive and motor.
 1.4 POWER ELECTRONICS 37

•• Based on voltage ratings, a drive is low voltage if the AC line rms voltage is
lower than 1000 V, or a medium voltage drive otherwise.
•• Based on converter topologies, AC drives on the market include cycloconvert-
ers, load‐commutated inverters, PWM current source inverters (CSI), and
PWM voltage source inverters (VSI). The former two are older, thyrister‐
based, and mostly used in special high‐power applications. CSI requires
reverse blocking devices and large DC link inductors, and therefore are only
used in limited applications. PWM‐VSI based on IGBT is dominating the
market. Different voltage source converter topologies listed in Section 1.4.2
are employed in motor drives depending on power, voltage, and other
requirements.
•• Based on power device technologies, a drive can be a GTO, IGCT, IGBT,
MOSFT or silicon controlled rectifier (SCR) drive. As mentioned earlier, Si
IGBT is the device of choice currently. With the emerging SiC and GaN
devices, the landscape is changing in some applications. For example, the
faster‐switching WBG devices will be more suitable for high‐speed motors,
like motors for compressors or for EV and airplanes.
•• Based on cooling technology, a drive can be naturally cooled, forced air‐
cooled, or liquid‐cooled.
•• Based on control technologies, a drive can be analog or digital, open‐loop
controlled, or closed‐loop regulated, scaler‐controlled or vector‐controlled,
with (speed) sensors or sensorless. Modern AC drives are mostly vector‐­
controlled using digital controllers.
•• Based on energy flow capability, a drive can be regenerative with bi‐­directional
energy flow, or nonregenerative. Note that for nonregenerative drives, a
dynamic break is often provided to allow limited reverse energy flow for
motor stopping functions, and so on.
•• Based on applications, a drive can be stand‐alone, or a system drive where
multiple drives are used in a coordinated system, such as paper machines or
rolling mill stands. System drives usually require high precision control.
There are many specific drive applications [45], including those used in trans-
portation and electric power utility. The motor drives in utility include turbine
starters, boiler and cooling tower fans and pumps. Converters connected with
wind turbine generators and microturbine generators are essentially motor
drives, except they work in regenerative modes.
Motor control is a key technology for motor drives. Figure 1.24 shows a typ-
ical drive control scheme with two control loops. The outer loop is the speed control
loop with a speed regulator, and the inner loop is the torque loop with the torque
regulator. Since the torque is determined by motor flux and current, the torque reg-
ulation is generally realized through flux and current regulation. For an AC motor,
the flux and current are both vectors, and the angles between them are variable. In
order to control the torque precisely, both the magnitudes and angles of the flux and
38 Chapter 1 Energy, Environment, Power Electronics, Renewable Energy Systems

ω* ∆ω Speed T* Torque Switching

regulator regulator controller
Converter Motor
ω
T

Tach
Parameter
measurement
or estimation

Figure 1.24 Typical drive control scheme (ω, angular speed, ω*, speed reference, T,
torque, T*, torque reference).

Flux
command
Field
Torque oriented Inverter IM
command controller Voltage Current

θs

Slip ωsr ωr
frequency
calculation + +
Speed
sensor
Figure 1.25 Indirect field‐oriented control scheme for induction motor (θs, rotor flux
angle, ωr, rotor angular speed, ωsr, slip frequency).

current must be controlled. Hence, the corresponding control is called vector

­control, or field‐oriented control, as the magnetic field is vector‐controlled.
Figure 1.25 shows the popular indirect field‐oriented control scheme for an
inductor motor drive. It first determines the slip based on the motor model parameters,
magnetizing current Iy and torque producing current Ix, and then adds to the rotor
speed to determine rotor flux position. By orienting Iy to the rotor flux and Ix
to its quadrature, the two currents are decoupled and the torque can be precisely
controlled dynamically.

Lighting
Lighting also consumes a large percentage of electricity in the grid. In 2017, the
lighting loads in the US accounted for 9.4%, 10.6%, and 6.5% of the total electricity
consumption respectively for the residential, commercial and industrial sectors.
Traditional lighting dominated by incandescent lights is now obsolete. The
more efficient forms of lighting all use power electronics controllers. The compact
florescent lamps (CFLs), high‐intensity discharge (HID) lamps, and other similar
 1.4 POWER ELECTRONICS 39

Half-bridge
EMI filter Rectifier PFC resonant output Lamp

Line
input

PFC Half-bridge
Control
control resonant output
circuit

DC control Lamp fault

Figure 1.26 Conceptual electronic ballast.

lighting technologies based upon discharge, use electronic ballast, while LED
lamps are driven by AC–DC converters.
A ballast is placed in line with the lamp to limit the current. A conceptual
electronic ballast is shown in Figure 1.26. The ballast first rectifies the input line
frequency AC power to DC, and then inverts the DC to high‐frequency AC of
20 kHz or higher. The high frequency substantially reduces the flicker, a result of
the line frequency interacting with fluorescent lighting. Advanced electronic bal-
lasts may allow dimming via pulse‐width modulation or via changing the frequency
to a higher value, depending on the inverter circuit topology.
LED lamps have revolutionized lighting with their superior efficacy and char-
acteristics. LED lamps are driven by DC, and therefore a rectifier is needed for the
LED driver. In addition, the lumen of the LED is determined by current. As a result,
often a current‐controlled DC/DC converter is used. Figure 1.27 shows a LED
driver circuit with isolated flyback and buck‐boost circuits respectively. The current
control reference is the dimming control signal.

Transportation
Although the use of electricity by transportation accounted for a mere 0.2% of
electricity use in the US in 2017, the worldwide usage was about 2%, reflecting
more reliance on public transportation by the rest of the world. The usage is
expected to grow significantly in future due to the electrification of transportation,
including electric vehicles and electrified railroads. The outlook for the worldwide
electricity usage by transportation will more than double by 2040, and will grow to
account for about 5% of the total consumption.

Electric Vehicles Electric vehicles (EVs), including plug‐in electric hybrids

and all‐electric vehicles, offer a pathway to reduce our dependency on oil and
reduce greenhouse gas emissions. The efficiency of an electric traction drive motor
40 Chapter 1 Energy, Environment, Power Electronics, Renewable Energy Systems

(a)
RSN3 CSN2

BD TX1 DOUT
F1 +
Line
COUT ≈ VOUT
CIN RHV CSN1 RSN1
–
Neutral DSN
1
Analog RG
dimming 4 DIM HV GD
7 Q1
signal RT7306 RGP
8
VDD
CVDD
6 RPC
3 CS
COMP
CCOMP RCS
5
ZCD GND 2

RAUX DAUX

RZCD1

CZCD
RZCD2

(b)
BD TX1
VOUT-
Line
RHV
CIN COUT
HV DOUT
Neutral VDD VOUT+
CVDD RT7306 GD Q1

COMP RPC
CCOMP CS
RCS
Analog
DIM
dimming GND
ZCD
signal
DAUX

RZCD1

RZCD2

Figure 1.27 LED driver circuit with (a) an isolated flyback converter and (b) a buck‐boost
converter [46].

is usually more than 80%, which is much higher than the 20–30% efficiency of
internal combustion engines found in most of today’s vehicles. With the advancement
of a new generation of semiconductor devices, high‐efficiency energy conversion
technologies and high‐performance computational microprocessors have enabled
EVs to become a commercial competitor to traditional vehicles during the past
decade. To guarantee better equivalent fuel economy than traditional internal
combustion engine (ICE) powered vehicles, the powertrain in EVs, from energy
storage to electric motor, is electrified to boost energy conversion efficiency. In this
electricity‐driven system, power electronic techniques, involving power devices,
 1.4 POWER ELECTRONICS 41

Battery Traction
AC charger
Battery pack
motor drive
Motor

Auxiliary
loads

Figure 1.28 EV power flow diagram.

circuit topologies, and system controls, have been playing a key role to achieve the
goal of high efficiency, high power density, and low costs.
A typical EV power flow diagram is shown in Figure 1.28. The EV battery
charger is primarily responsible for transferring power from the utility grid to the
EV battery storage system. For a plugged‐in electric vehicle (PEV), the battery is
the only energy storage, so the driving range depends mainly on the energy capacity
of the battery pack. For an extended range electric vehicle (EREV) [47, 48] or fuel
cell vehicle (FCEV) [49, 50], the battery can be charged by engine or fuel cell when
the battery requires energy. In EVs, the electric motor is powered from the battery
pack through the boost converter and traction inverter. The auxiliary loads in EVs
receive power from the buck type DC–DC converter.
The power flow architecture for a PEV is shown in Figure 1.29. For PEV, the
high voltage battery stores all the energy at voltage levels ranging from 200–400 V.
The DC–DC boost converter is used to boost up the voltage to 650 V for the HV DC
bus. The inverter then converts the HV DC to AC, which drives the electric machine.
Based on the set point or reference set by the EV operator, the inverter controls the
EV traction motor speed and torque. The EV may also have low voltage bus through
a buck converter for the low power loads. A lower capacity LV battery can also
ensure a continuous power flow to the loads. Low power loads includes user inter-
face electronics and outlet ports. There are also high power loads like a compressor
motor, water pump, and air‐conditioning unit. Those loads are also powered by a
separate lower power inverter.
One of the important power electronics applications related to EVs is the
charging station. In Figure 1.28, the battery charger can refer to an onboard or off‐
board charger. In either case, an equivalent AC/DC power conversion is needed.
The battery DC voltage normally ranges in the 100s of volts. The input AC voltage
can be single‐phase or two‐phase residential voltage, or three‐phase voltage at low
voltage (<1 kV) or medium voltage (>1 kV) used in commercial fast chargers.
Based on the voltage and power level, and for performance and economics reasons,
multistage conversions are often used. For example, for the low power level 1 (3 kW
with 120 V single‐phase AC) and level 2 (6 kW with 240 V single‐ or two‐phase
input AC voltage) onboard chargers, a single‐phase power factor correction (PFC)
plus a DC/DC converter is often used; for medium power level 3 (60 kW with often
42 Chapter 1 Energy, Environment, Power Electronics, Renewable Energy Systems

Electric machine
DC
ω
AC Propulsion
system
HV battery LV battery

DC DC
+ – + –
DC DC

Low
HV DC bus LV DC bus power
loads

DC
Compressor
High
motor
AC power
loads
··
·

Figure 1.29 EV powertrain power system architecture [51].

with three‐phase input AC voltage) or higher power off‐board fast charger, a three‐phase
PFC plus a DC/DC converter is often used. Very often, an isolation transformer is
required, which can be realized with isolated DC/DC in onboard chargers, or
low‐frequency transformer or isolated DC/DC in off‐board chargers. With SiC
devices, medium voltage can be directly converted to DC without bulky low‐
frequency transformers, and the isolation can be realized with medium voltage
high‐frequency transformers embedded in the DC/DC converter. One promising
architecture for the future of EV charging stations will be individual DC/DC off‐
board fast chargers forming a DC grid, supplied by a common medium voltage AC/
DC rectifier connected to the AC distribution grid.

Electrified Railways The conventional configuration of a railway traction

system is shown in Table 1.6 and Figure 1.30. In this configuration, the single‐
phase AC catenary is connected to the primary winding of the low‐frequency
transformer (LFT) and grounded through the rail. The secondary winding of the
LFT is connected to an AC–DC rectifier to provide the DC voltage for the variable
speed drive system, which comprises a three‐phase inverter and a motor. Note that
the nominal voltage for this conventional configuration is 15 kV or 25 kV.
TABLE 1.6 Summary of existing configurations of locomotives.

Front‐end Inverter

Transformer Topology Topology

Configuration I Line frequency 3 L‐NPC 3 L‐NPC

Configuration II Line frequency 2L 2L

(a)
AC catenary (15 kV, 16 2/3 Hz or 25 kV, 50 Hz)

Low voltage Si
+
IGBT

M Motor
+
.
.
.

. . .

Rail

(b)
AC catenary (15 kV, 16 2/3 Hz or 25 kV, 50 Hz)

+
M Motor

.
.
.

. . .

Rail

Figure 1.30 Configurations of the conventional medium‐voltage rail traction system.

(a) Three‐level (3 L)‐NPC configuration; (b) two‐level (2 L) configuration.
44 Chapter 1 Energy, Environment, Power Electronics, Renewable Energy Systems

The LFT in the traction system is usually optimized to minimize the weight and
volume, and are heavily loaded. Hence, the efficiency is poor, even in the range of
90–92%. Meanwhile, since oil is commonly used for cooling and insulation, potential
environmental problems should be taken into account in case of leakage [52, 53].
Instead of LFT‐based isolated configuration, power electronics based
medium‐frequency (defined in this chapter as hundreds to thousands of Hz) trans-
formers (MFTs) or HFT (high frequency defined as above 10 kHz in this chapter)
transformers can be employed. MFT and HFT are so‐called solid‐state transformers
(SSTs). Due to space limitation in locomotives, it is necessary to reduce the volume
and weight. With MFT or HFT, the system power density can be greatly improved.
The MFT‐ or HFT‐based products are not as mature as the LFT‐based products.
The configuration of an ABB‐developed MFT‐based converter for locomotive
application is shown in Figure 1.31 [54]. The low‐voltage Si‐IGBT‐based cascaded
topology is used in the AC side. In particular, seven cells are connected in series,
with an additional cell used for redundancy.
A Si‐IGBT based MFT energy conversion system can be further improved by
using SiC devices, especially high voltage (e.g., 10 kV) devices. The cascaded MFT
based on Si devices can be replaced by the HFT with only one cell of HV SiC
devices. Since MV SiC devices have sufficient voltage rating for the AC catenary,
no cascaded topology is needed. Hence, the system can be simplified. With the
nominal DC output voltage at around 1–2 kV in HFT (e.g., in ABB’s MFT the DC
voltage is 1.5 kV), two‐level converters can be used as the inverter stage. Higher
voltage inverters and motors can be used for further power density and efficiency
gains. The ABB MFT has a frequency of 1.5 kHz. With high voltage SiC, the
­frequency can be an order of magnitude higher, leading to higher power density.

AC catenary (15 kV, 16 2/3 Hz or 25 kV, 50 Hz)

High voltage
SiC IGBT
+ +
M Motor

Cell 1

Cell 2

Cell N

Rail

Figure 1.31 Configuration of a traction system based on medium‐voltage SiC devices.

 1.4 POWER ELECTRONICS 45

GE’s prototype HFT developed under the DARPA‐ONR High Power Electronics
Program (HPE) used 20 and 40 kHz switching frequency, though it was developed
for shipboard applications.

All‐electric Ships and More‐electric Aircraft Ships and planes are not
connected to the grid, therefore less relevant to the theme of the book. They are
included here for completeness. Power electronics converters are a key enabler for
modern all‐electric ships. Figure 1.32 shows an example state‐of‐the‐art shipboard
electric power system based on zonal distribution with podded propulsors [55]. The
configuration is also said to be of an integrated power system (IPS) architecture due

Converter
Zone 1

Emergency/alternate
generator
Converter

Converter Converter

Ship service loads

Converter Converter Converter

Converter

Ship service loads

Zone 2

Propulsion/
ship service
generator #1

Converter Converter Converter

Converter Zone 3

Ship service loads

Propulsion/
ship service
generator #2

Zone 4
Port pod Stbd pod

Figure 1.32 Shipboard electric power system example: zonal distribution with podded
propulsors [55].
46 Chapter 1 Energy, Environment, Power Electronics, Renewable Energy Systems

to the integrated nature of its propulsion and service power systems. Clearly, power
converters are an essential part of the system, converting the AC power produced by
generators at fixed voltage and frequency (e.g., 13.8 kV and 60 Hz) to AC powers at
various voltage levels and frequencies, and DC powers at various voltage levels,
needed for supplying and controlling propulsion motors, ship service loads, mission
loads, and distribution buses. Size, weight, and efficiency are critical to shipboard
power converters. As such, WBG devices are expected to significantly advance
the power electronics for ships. Another interesting development is that the
shipboard power distribution system is going towards medium voltage DC, due to
the perceived advantage of such a system.
More‐electric aircraft (MEA) power almost all loads with electric power,
except the propulsion. Figure 1.33 shows the architecture of a conceptual
commercial MEA electrical system, which covers the environmental
management system (EMS), entertainment system, actuation, and so on. Power
conversion equipment includes high‐power AC/DC from 115 or 230 V variable
frequency AC bus to 270 or 540 V DC bus, which is often realized using an
auto‐transformer rectifier unit (ATRU); AC/DC from AC bus to 28 V DC appli-
cation, which is often realized using a transformer rectifier unit (TRU); and
DC/AC from DC bus to AC 400 Hz bus. Note that a DC bus can also directly
drive motor controllers (inverters), battery chargers, and load DC/DC ­converters.
Even more than ships and EVs, airplane power converters must be light, com-
pact, and efficient. WBG device technology should have a promising future in
aircraft applications.

Engine Generator

115 or 230 V VF
AC bus

AC AC

DC DC
270 or 540 V
DC bus

DC

28 V DC 270 V DC AC 115 V or 230 V

applications applications 400 Hz
applications
Figure 1.33 A conceptual MEA electrical system.
 1.4 POWER ELECTRONICS 47

There is strong interest in using electric propulsion for future aircraft. They
are expected to be more efficient and environmentally friendly. The technical
challenges include battery technology.

Data Center
The economy and our daily life are increasingly going digital and data‐driven. Data
centers are becoming an important type of load. It is projected that the energy con-
sumption of data centers in US will reach 139 billion kWh by 2020, about 3.6% of
the 2017 total electricity consumption.
Figure 1.34a shows an AC power architecture that is widely used in data cen-
ters. The power supply train of this architecture contains several parts, such as the
UPS (uninterruptible power supply), PDU (power distribution unit), PSU (power
supply unit), and VR (voltage regulator). It can be seen clearly that there are many
power electronics converters: three‐phase 480 V AC to DC, DC to single‐phase
120 V AC, single‐phase AC to 400 V DC, 400 V to 12 V DC, and 12 V to 1 V VR. One
issue with this architecture is its low energy efficiency. Although the efficiency of
each stage is quite high, the multiple conversions result in an overall low efficiency.
As reported in [56], for this architecture with 120 V AC intermediate distribution,
the efficiency can only reach 67%. Considering additional losses in distribution and
cooling, less than half of the input power is delivered to the computing and data
processing load. Note there are some AC architecture variations to the one in
Figure 1.34a, such as a 48 V DC intermediate bus with improved overall efficiency.
More recently, a new kind of power architecture for data centers was pro-
posed, called 400 V (or 380 V) DC power architecture [57, 58], as shown in
Figure 1.34b. The efficiency can be improved to 73% compared with 67% in
Figure 1.34a with the same power conversion technology. In this power architecture,

(a)
480 V 3Φ 120 V DC/DC 12 V VR
AC/DC DC/AC AC/DC VR
AC AC DC 1 V Electr.
Battery 400 V DC DC loads
PSU
VR
UPS/PDU Rack

87% × 90% × 86% = 67%

(b)
480 V 3Φ 400 V DC/DC 12 V VR
AC/DC VR
AC DC DC 1 V Electr.
Battery DC loads
PSU
VR
UPS/PDU Rack
89% × 92% × 88% = 73%
Figure 1.34 Power distribution architecture of data center power supply. (a) 120 V AC
power architecture; (b) 400 V DC power architecture.
48 Chapter 1 Energy, Environment, Power Electronics, Renewable Energy Systems

480 V 3Φ 480 V DC HV IBC 12 V 1 V Electr.

AC/DC POL
AC On board DC DC loads
Front-end
rectifier
Rack Mother board HV POL

Full load efficiency: 98.5% × 96.1% × 94.0% = 89.0%

Front end rectifier: HV IBC: POL:

7.5 kW, 480 Vac to 400 Vdc 300 W, 400 V to 12 V 200 W, 12 V to 1 V
SiC devices GaN devices GaN devices
Figure 1.35 Prototype data center power supplies using WBG devices.

the DC/AC converter in the UPS and AC/DC converter in the PSU are removed, and
the DC link voltage is 400 V. The benefits are not only efficiency improvement, but
also space saving, reliability improvement, and simplified wiring. This DC power
architecture is the trend for future data centers.
If WBG devices are used to replace the Si devices, power conversion
efficiency for data centers can be significantly improved. Figure 1.35 shows the
architecture and efficiency of a UTK/Auburn‐built data center converter system. It
is a rack level three‐phase 480 V AC and blade level 400 V DC power distribution
architecture. The topologies for the AC/DC stage, high‐voltage intermediate bus
converter (HV IBC) stage and point‐of‐load (POL) stage are, respectively, three‐
phase current source rectifier, LLC resonant converter, and multiphase buck
converter. Using SiC for the rectifier, and GaN for the HV IBC and POL, the three‐
stage efficiency reaches 89%. The corresponding best available Si solution using
the same architecture would have an efficiency of 83%.

1.5 RENEWABLE ENERGY SYSTEMS

A renewable energy source, unlike fossil fuel and nuclear sources, does not get
depleted with usage. The principal types of renewables [59–67] are hydroelectric,
wind, solar, biofuels, geothermal, wave, and tidal, which are environmentally
clean and abundant in nature. Biofuels are environmentally neutral because plants
absorb CO2 while growing, but emit CO2 while burning. For these reasons, the
whole world is now putting tremendous emphasis on exploring renewable energy
sources. Scientific American has published an article [68] indicating that all of
our energy needs can be met by renewables with adequate storage and transmis-
sion capabilities. The UN‐IPCC estimates that 50% of total energy can be met
 1.5 RENEWABLE ENERGY SYSTEMS 49

Trillion kilowatthours
2015
12

10

0
2010 2015 2020 2025 2030 2035 2040

Percent share of renewable energy

2015
100%
Other
90% Geothermal
Solar
80%
70%
Wind
60%
50%
40%
30%
Hydropower
20%
10%
0%
2010 2015 2020 2025 2030 2035 2040
Figure 1.36 World net electricity generation from renewable energy sources.
(See electronic version for color representation of this figure.)

from renewables by 2050. Among all the renewables, wind and photovoltaic (PV)
are particularly important and dependent on power electronics, and therefore will
be discussed further.
Solar and wind also dominate the renewable generation increase forecast, as
shown in Figure 1.36 [69]. For solar, installed capacity globally has seen immense
growth, reaching approximately 227 GW by the end of 2015, equivalent to pro-
ducing 1% of the electricity used globally. At the same time, PV module prices have
declined 80% from about $4/W in 2007 to $1.8/W in 2015. Global wind power
50 Chapter 1 Energy, Environment, Power Electronics, Renewable Energy Systems

Gigawatts
1000
921 Gigawatts
900 300

800 258
Ocean, CSP and
250
geothermal power
700
Bio-power
600 200 Solar PV
Wind power
500
150 145
400
333
300 98
300 100

200 51 46
50
100 33

0 0
World BRICS EU-28 China United Germany Japan India Italy
total states
Figure 1.37 Renewable power capacities in the world, BRICS, EU‐28 and top six
countries. (See electronic version for color representation of this figure.)

generation capacity increased by 16.4% in 2014, 17.2% in 2015, and at 435 GW,
represented around 7% of total global power generation capacity. Specifically, wind
power contributed 42% and 13% of the electric generation in Denmark and
Germany, respectively [70, 71].
Renewable power generating capacity saw its largest annual increase ever in
2016, with an estimated 161 GW of capacity added, as shown in Figure 1.37. The
ongoing growth and geographical expansion of renewable energy was driven by the
continued decline in prices for renewable energy technologies (in particular, for
solar PV and wind power), by rising power demand in some countries, and by
­targeted renewable energy support mechanisms. Solar PV and onshore wind power
are now competitive with new fossil fuel generation in an increasing number of
locations, due in part to declines in system component prices and to improvements
in generation efficiency. More than 170 countries have renewable energy targets,
and an estimated 150 countries have policies that support renewable energy.

1.5.1 Wind Energy Systems

In a typical wind generation system [2], as shown in Figure 1.38, a variable speed
wind turbine (normally horizontal axis) couples to the shaft of an AC machine
(induction or synchronous) through a speed‐up gear. The variable voltage, variable
frequency power is then converted to constant voltage and constant frequency
helped by a two‐sided PWM converter system. The converter can be full‐power
rating connected to a machine stator, in the case of a PM synchronous generator
 1.5 RENEWABLE ENERGY SYSTEMS 51

Vd

Wind
turbine

–
Squirrel cage
induction
generator
Utility
bus
ωr
HB-controller

Speed
controller
–

– + ia, ib, ic
ia*, ib*, i*c

+ ω*r
va,vb,vc
A P-I
Line power (po)

B
C
vw1
D
vw2 –
vw3
vw4 vd +
ωr4 ωr3 ωr2 ωr1
vd*
Generator speed (ωr)

vw
Figure 1.38 Wind energy system with an induction generator.

(Type IV wind), or can be partial power rating, connected to a machine rotor, in the
case of a doubly‐fed induction generator (Type III wind). The “grid codes” require
wind energy system support for various grids needs, such as low voltage ride‐
through (LVRT) or VAR support. The DC link of the converter system can be used
for energy storage. The control system, as shown, measures or estimates the wind
velocity and controls the generator speed to optimize the power generation
(improving the aerodynamic efficiency of the turbine) by MPPT (maximum power
point tracking) control. The line‐side converter controls the DC link voltage. It is
possible to control both active (P) and reactive power (Q) by the line‐side converter.
Currently, wind energy cost per unit is nearly equal to that of fossil fuels. One dis-
advantage of a wind generation system is that the availability of power is sporadic
and depends on the wind velocity. Therefore, back‐up power or bulk energy storage
52 Chapter 1 Energy, Environment, Power Electronics, Renewable Energy Systems

is needed. The configuration in Figure 1.38 is also used in four‐quadrant motor

drive systems, except in the case of a drive, energy mainly goes from the grid to the
machine, opposite to the wind energy system.
The future trends for power converters in wind generation systems include:
medium‐voltage converters for multi‐MW wind turbines, for better efficiency and
reliability; transformerless topologies for high power‐density, especially for off-
shore wind; and topologies with fault‐tolerant capabilities. At the system level,
wind energy systems and converters are increasingly asked to provide grid
support functions, including frequency and voltage support. Different operating
modes other than MPPT are being implemented, including voltage mode, virtual
synchronous generator mode, and inertia emulation. Of course, WBG devices can
help at both the converter and system levels.

1.5.2 PV Systems
Solar electrical energy is generally classified into solar thermo‐electric and PV
­systems [72]. In the former case, solar energy is concentrated by mirrors to heat
water and produce steam. This steam then operates a turbo‐generator system to con-
vert to electricity. In a PV system, PV devices (crystalline or amorphous Si, CdTe,
and copper indium gallium selenide) convert sunlight directly into electricity. The
generated DC is then converted to AC and fed into a grid, or used for autonomous
load. Figure 1.39 shows a typical PV system configuration, where a PV array
(series‐parallel connection of cells) is connected to a DC/DC converter to boost the
DC voltage and then converted to AC by a PWM inverter. Multiple units are cou-
pled by transformers and then feed to the AC grid. The DC/DC converter controls
the maximum power output of the array by a MPPT (maximum power point
tracking) algorithm, as indicated. For high power, multilevel converters can be

VPH IH VH v–H
–
i

–
ig v–g
* –
V dc v

L
–
i
VPL IL VL

v–L

MPPT 2-level Three-phase AC

PV strings
choppers inverters transformer grid

Figure 1.39 A photovoltaic power conversion system.

 1.5 RENEWABLE ENERGY SYSTEMS 53

used. The inverters can control both active and reactive powers, as desired. The
advantages of PV systems are that they are static, safe, highly reliable, and require
little repair and maintenance. However, energy availability is sporadic depending
on the availability of sunlight and requires energy storage or back‐up power like
wind energy systems. Although PV systems are generally more expensive than
wind systems, the price of PV cells is falling sharply with the present trend of
research, and as a result, its applications are growing very rapidly in roof‐top instal-
lations, autonomous and grid‐connected systems. The US PV energy market is now
around 0.5% and has a goal of 20% by 2030. Europe has ambitious plans for
exploring PV energy from African deserts and connecting to its grid system through
HVDC transmission. With the expected growth rates, the IEEE predicts that, by
2050, PV will supply 20% of global energy.
Similar to the wind power converters, PV converters are being advanced at
both the converter and system levels. The converter‐level development trends
include: single‐stage replacing multistage (e.g., Quasi‐Z‐Source inverter); low‐
frequency transformer replaced by high‐frequency transformer or transformerless
with leakage current minimization (e.g., HERIC inverter); multilevel converter
topologies enabling medium‐voltage grid connection (e.g., 3L‐NPC, cascaded
H‐bridge, MMC); hybrid system topology with PV and BESS; and topologies on
modular integrated DC–DC converters. WBG devices are enabling switching
frequencies of hundreds of kHz for reduced passives and better efficiency. Grid
support functions are also being developed and implemented for PV inverters.

1.5.3 Grid Energy Storage

As mentioned before, the renewable energy systems, such as wind and PV, require
bulk energy storage to store the surplus energy and then replenish it when the available
energy falls short. The various methods [73, 74] of grid energy storage can be summa-
rized as: pumped storage in hydroelectric plants, battery storage, flywheel storage,
superconducting magnet energy storage (SMES), ultracapacitor (UC) storage, vehicle‐
to‐grid (V2G) or grid‐to‐vehicle (G2V) storage, H2 gas storage, and compressed air
energy storage (CAES). In pumped storage systems, the hydrogenerator works as
a pump, to pump water from “tail” to “head” of a water reservoir using off‐peak grid
energy. During peak demand, the head water runs the generator to supply power. It is
possibly the cheapest storage method at a favorable site, and has been widely used in
hydroelectric plants. In general, battery storage is mostly favored, although it is still
expensive. In this case, the surplus grid energy is converted to DC that charges a
battery. In peak times, the battery energy is converted to AC and supplies to the grid.
Although lead‐acid batteries have been extensively used in the past, recent batteries
used for storage are NiCd, NaS, Li‐ion and vanadium redox flow batteries. It appears
that flow and Li‐based batteries are more favorable for grid storage. H2 storage is very
interesting because it can use cheap and abundant renewable energy to generate H2 gas
by electrolysis of water, which is convenient for easy storage and pipeline transmis-
sion. It can be used in fuel cells or burnt as a gas in an IC engine. The concept of a
future hydrogen economy is based on a clean H2 gas source.
54 Chapter 1 Energy, Environment, Power Electronics, Renewable Energy Systems

1.6 SMART GRID

Smart grids generally refer to grids equipped with smart sensors/meters (e.g.,
phase‐measurement unit), real‐time data collection and processing, fast communications
(e.g., fiber‐optics), visualization and situational awareness tools, and intelligent
controllers (e.g., intelligent switchgear and power electronics controllers). Smart
grid technologies will lead to better economics, reliability, power quality, and even-
tually better energy efficiency and environmental performance. This section will
focus on controller and controllable grid architecture associated with smart grids
using power electronics.
Smart grids should be controllable grids for electric energy transmission and
distribution. The traditional equipment in power grids today, including electrical
transmission and distribution lines, generators, transformers, switchgears, induc-
tors or reactors, and capacitor banks, has limited control capability. Many cannot be
controlled at all or can only be connected or disconnected with mechanical switches;
others have limited range, such as transformers with tap‐changers. Even with fully
controllable equipment such as generators, the control dynamics is relatively slow
due to the electromechanical or electromagnetic nature of the equipment [75].
Due to their electronic nature, power electronics‐based equipment is much
more flexible and faster than their electromechanical or electromagnetic counter-
parts for electrical power transfer and control. Since the advent of power semicon-
ductor devices in the 1950s, power electronics have steadily gained ground in
power grid applications. Today, power electronics controllers are an important,
albeit small, part of equipment for power transfer and control in power grids. Their
role is growing rapidly with the continuous improvement of the power electronics
technologies, and with the need for better control performance as smart grids grow.
This section focuses on power electronics‐based technologies for controlling
electrical power for transmission and distribution. For transmission, these technologies
generally belong to two basic categories: flexible alternating current transmission sys-
tems (FACTS), and high‐voltage direct current (HVDC) transmission systems. In
recent years, some new concepts have been developed, including distributed FACTS,
partial FACTS, hybrid AC/DC, variable or low‐frequency high‐voltage AC (HVAC),
and supergrid. For distribution, custom power has been developed as a counterpart to
FACTS. In recent years, due to RES and DER (distributed energy resources) growth,
other distribution level technologies have been developed, including microgrids.

1.6.1 FACTS Technologies

A modern electrical power transmission system is a complex interconnected
grid, which provides reliability and economic benefits compared with point‐to‐point
or standalone transmission systems. On the other hand, interconnected grids are
more challenging to control. For example, the power flows within the grid are
determined by the bus voltages and line impedances, which have either very
 1.6 SMART GRID 55

(a) (b) Figure 1.40 Schematic diagram of

(a) TSC, and (b) TSR.

limited control ranges (in the case of bus voltage) or are fixed (in the case of line
impedance). In order to improve the controllability of a power grid, various
series or shunt‐connected devices have been developed. For the AC grid, well‐
known devices include the shunt‐connected switched capacitor banks and series
capacitor compensation, with the former mainly for reactive power or VAR and
voltage support, and the latter for power flow control. These technologies are
simple and of low cost, but they do not provide continuous control and may
cause instability; their reliance on mechanical switches can also result in high
maintenance costs [76]. To improve controllability and avoid instability, power
electronics were introduced into the conventional switched compensators.
Figure 1.40 shows a capacitor and reactor respectively in series with a bi‐directional
switch, made up of two anti‐parallel thyristors, to allow bi‐directional current
flow. By controlling the conduction time of the thyristors over one AC cycle, also
called phase‐angle, the equivalent capacitance or reactance can be continuously
adjusted, resulting in thyristor‐switched capacitors (TSCs) and thyristor‐
switched reactors (TSRs). Paralleling TSR with capacitor banks will form the
well‐known static VAR compensator (SVC), allowing continuous generation or
absorption of reactive power [77].
To better characterize the family of the power electronics‐based devices for
AC transmission system control, the term flexible alternating current transmission
systems or FACTS was proposed in the 1980s, and defined as “alternating current
transmission systems incorporating power electronic‐based and other static con-
trollers to enhance controllability and increase power transfer capability” by the
IEEE Power Engineering Society in 1997 [78]. Although a number of FACTS
devices existed before the term (e.g., SVC), many new devices have been developed
since then. The more popular ones with practical installations are listed in Table 1.7
with their circuit configurations, main system functions, control principles and
basic power electronics functions.

Classification of FACTS Devices

FACTS devices can be categorized in several ways. The most straightforward way
is by their connections in a system [79]:
 TABLE 1.7 Summary of relatively common FACTS devices.

Basic power electronics

Controller One‐line configuration System functions Control principle function

TSC – thyristor‐switched • Stability enhancement VAR control through varying C in shunt Controlled bi‐directional
capacitor • VAR compensation connection AC switch

TSR – thyristor‐switched reactor • Stability enhancement VAR control through varying L in shunt Controlled bi‐directional
• Voltage regulation connection AC switch
u(t)

SVC – static VAR compensator • Stability enhancement VAR control through varying L & C in Controlled bi‐directional
• Voltage regulation and shunt connection AC switch
VAR compensation

TCSC – thyristor‐controlled • Power flow control Power and VAR control through varying C Controlled bi‐directional
series capacitor • Stability enhancement & L in series connection AC switch
• Fault current limiting
Ψ X
IPC – interphase power • Power flow control Power control through phase angle control Controlled bi‐directional
controller Ψ X • Stability enhancement in series connection AC switch
• Fault current limiting
Ψ and Ψ are phase-shift elements

56

0004338979.INDD 56 06/19/2019 5:39:02 PM

 TCPST – thyristor‐controlled • Power flow control Power control through phase angle control Controlled bi‐directional
phase‐shifting transformer • Stability enhancement in both shunt and series connection AC switch
• Fault current limiting

STATCOM – static synchronous • Stability enhancement VAR control through current control in Bi‐directional AC/DC
compensator • Voltage regulation and shunt connection voltage source converter
VAR compensation

SSSC – static synchronous series • Power flow control VAR control through voltage control in Bi‐directional AC/DC
compensator • Stability enhancement series connection voltage source converter
• Fault current limiting

UPFC – unified power flow • Power flow control Power and VAR control through back‐to‐ Bi‐directional AC/DC
controller • Stability enhancement back converters in both series and shunt voltage source converter
• Fault current limiting connections

57

0004338979.INDD 57 06/19/2019 5:39:03 PM

58 Chapter 1 Energy, Environment, Power Electronics, Renewable Energy Systems

1. Shunt‐connected FACTS devices include thyristor‐switched capacitors

(TSCs), thyristor‐switched reactors (TSRs), static VAR compensators
(SVCs), and static synchronous compensators (STATCOMs).
2. Series‐connected FACTS devices include thyristor‐controlled series capacitors
(TCSCs), static synchronous series compensators (SSSCs), and interphase
power controllers (IPCs).
3. Hybrid‐connected FACTS devices have both shunt and series connections,
including unified power flow controllers (UPFCs), which can be regarded as
a combination of STATCOM and SSSC, and thyristor‐controlled phase‐shifting
transformers (TCPSTs).
FACTS devices can also be categorized by the semiconductor technologies
they use. The earlier devices were mostly based on thyristors, which have large
power handling capability and low losses, but are only semi‐controllable, since thy-
ristors can only be turned on but cannot be turned off through gate control ­signals.
The newer FACTS devices are based on full switching devices, such as insulated‐
gate bipolar transistors (IGBTs) and integrated‐gate‐commutated thyristors (IGCTs).
FACTS devices can also be classified into impedance control, injected current
control, and inserted voltage control through their functions or operating principles
[80]. The thyristor‐controlled FACTS devices are generally for impedance control,
while the injected current control is generally achieved via switching device‐based
shunt‐connected FACTS devices, and inserted voltage control achieved via switching
device‐based series‐connected FACTS devices.

Recent Developments in FACTS Technologies

Power electronics‐based FACTS devices can greatly improve power system con-
trollability. However, the applications of such devices in power grids today are very
limited due to their relatively high cost and complexity. The complexity also leads
to high maintenance requirements and perceived low reliability. Continued improve-
ment in power electronics technologies should help improve the FACTS technol-
ogies. In addition, new concepts have been developed to address the shortcomings
of the conventional FACTS technologies. Two notable concepts are distributed
FACTS and partial FACTS.
Distributed FACTS devices consist of many modular power electronics‐
based converters installed along a transmission line in a distributed fashion. Each
converter functions as a small FACTS device; together, they perform the equivalent
control function as a centrally located large FACTS device. Since each converter
is small in a distributed FACTS scheme, low‐cost power electronics semicon-
ductor devices with low voltage and low current ratings can be employed. The
modular distributed configuration can easily enable redundancy implementation
for improved reliability. Ref. [81] describes a distributed series reactor realized
through low‐voltage, low‐current windings powered by a low power converter,
and clamped onto the high‐voltage, high‐current transmission line. Since the
­converter is floating on the transmission line, no costly high‐voltage insulation is
 1.6 SMART GRID 59

iac Connect to AC circuit

φdc

AC winding
DC winding

φac

idc

Figure 1.41 Schematic diagram of a CVSR. (See electronic version for color
representation of this figure.)

needed. One complexity of the distributed FACTS device is its control. Many of
the required control functions can be locally realized at each converter level;
however, in order to achieve the system‐level coordinated control, the control sig-
nals must be communicated to each converter, which can be achieved through
wireless technology.
Partial FACTS devices utilize power electronics to improve the control-
lability of the conventional electromagnetic or electromechanical devices. One
example is a transformer with power electronics tap changer. The traditional
tap changer is mechanically based and can only control the transformer voltage
in a very limited range with slow dynamics. The power electronics tap changer
can extend the control range and improve dynamics. Another example of a
partial FACTS device is the continuously variable series reactor (CVSR)
shown in Figure 1.41. The AC winding is the controlled element that can be
connected into an AC line, while the DC current regulator is the controlling
element for CVSR through DC winding, which can vary the DC bias flux as
well as the magnetization level of the saturable‐core. As a result, the AC reac-
tance reaches the maximum value when the bias DC flux equals zero, and the
minimum value when the core is fully saturated. The DC current controller is
realized through a power electronics converter with a rating of only a small
fraction of the AC winding.
60 Chapter 1 Energy, Environment, Power Electronics, Renewable Energy Systems

1.6.2 HVDC Technologies
HVDC Background
Modern transmission grids are predominantly based on high‐voltage alternating
current (HVAC) schemes due to the superior performance and low cost of AC
­generators and transformers. However, HVDC transmission schemes also have
some distinct advantages [82], including:
•• lower costs for long‐distance bulk power transmission;
•• lower costs for cable transmission (subsea, offshore);
•• ability to exchange power between two asynchronous power systems, even
two systems with different frequencies;
•• AC system support capabilities, including power flow control, frequency and
voltage support, oscillation damping, and fault current limiting;
•• better use of right‐of‐way;
•• environmental benefits, such as less corona and audible noise.
On the other hand, HVDC lines are embedded in HVAC grids and require
power electronics converters and other associated station equipment, including
filters, communications and special transformers. The high cost of converter
stations makes the HVDC a niche, albeit important technology in today’s trans-
mission grid. With new advances in power electronics, the growth of renewable
energy resources in remote and offshore locations, and concerns about environ-
mental impacts, HVDC is getting more attention and is expected to play a more
significant role in future power grids.
At the heart of the HVDC technology is the AC/DC power converters.
There are two basic types of HVDC converters: the current source converters
(CSCs) and the voltage source converters (VSCs). The CSCs are based on older
thyristor technology developed in the 1970s. The most common CSC converter
is the line‐commutated converter (LCC) based on a phase‐controlled thyristor
rectifier bridge as illustrated in Figure 1.42a. The LCC HVDC controls the

(a) (b)

AC Grid Y ∆

Y Y

Figure 1.42 Schematic diagram of (a) LCC, (b) CCC.

 1.6 SMART GRID 61

power flow through the DC voltage difference between the two terminals of the
HVDC line. The line commutation requires the AC grids on both sides of the
HVDC line to be strong; specifically, the short‐circuit ratio (SCR) should be
greater than 2. Since the current of the bridge (Figure 1.42) is unidirectional, in
order to reverse the power flow of a LCC HVDC line, the DC voltage polarity
must be reversed, making it difficult to build a DC grid or multiterminal HVDC
line with this technology. Another drawback with LCC HVDC is its low power
factor and high harmonics, requiring large filters on both AC and DC sides,
VAR compensators, and therefore a large station footprint. On the other hand,
the LCC scheme is relatively simple, low‐cost, and with low losses due to the
excellent conduction characteristics of the thyristors. As a result, the LCC
HVDC is still the scheme of choice for point‐to‐point bulk power HVDC
transmissions.
An alternative CSC HVDC converter is the capacitor‐commutated converter
(CCC), which adds series capacitors to the AC side of the thyristor bridge, as shown
in Figure 1.42b [83]. The series capacitors can affect the thyristor valve voltages
and supply reactive power, enabling both leading and lagging power factor opera-
tion. With proper design, the CCC can operate successfully in weaker AC systems
with a short‐circuit ratio around 1, and need much smaller AC filters than the LCC.
However, the extra commutating capacitors will add cost, and may also cause oper-
ational issues during transients and unbalanced conditions. As a result, the CCC
HVDC is not widely used.
Both the LCC and CCC are mature technologies. Recognizing the drawbacks
of these technologies as the result of their reliance on the phase‐controlled and
line‐commutated thyristors, the VSC HVDC was developed when high voltage and
high current IGBT and IGCT became commercially available in the 1990s. Similar
to the LCC HVDC, the power flow of the VSC HVDC is also controlled through the
voltage difference between the two terminals of the HVDC line. Unlike LCC
HVDC, the VSC can have bi‐directional current flow. Therefore, the power reversal
can be easily achieved through the DC current polarity reversal, making the VSC a
convenient topology for multiterminal HVDC or DC grid.
Other advantages of VSC HVDC include: (1) low harmonics due to the
fast switching of IGBT and IGCT; (2) black start capability, as VSC can operate
with low or even zero AC voltages; (3) independent active and reactive power
control. As a result, the VSC HVDC does not require large filters, VAR com-
pensators, or special transformers, resulting in a compact converter station
footprint. It also possesses improved AC fault ride‐through capability. On the
other hand, the VSC HVDC is generally more expensive than its LCC counter-
part. The relatively high conduction loss characteristics of IGBT, and high
switching losses due to high switching frequencies, also make VSC HVDC
less efficient. The power capability of the VSC HVDC is also lower, mainly
due to the HVDC cable technology limitations, as most VSC HVDC projects
today have been commissioned for cable transmissions such as subsea
applications.
62 Chapter 1 Energy, Environment, Power Electronics, Renewable Energy Systems

Two‐level and Three‐level Converters

The VSC HVDC is still an evolving technology. Driven by cost and efficiency
improvements, the topology of VSCs has continually evolved for the past two
decades. The main topologies used commercially include two‐level and three‐level
converters, and modular multilevel converters.
Before 2010, the commercial VSC HVDC converters were all based on either
two‐ or three‐level converters [84]. Their basic circuit schematics are given in
Figure 1.43.
With two‐level VSCs, the AC terminal voltage will be either equal to the
positive DC voltage or negative DC voltage in each switching instant. Through
proper switching actions, for example using pulse width modulation (PWM)
switching strategy, a desired fundamental frequency AC voltage can be realized
after filtering the switching frequency harmonics. With the three‐level VSCs, at a
given switching instant, the AC terminal voltage can also be equal to the DC side
middle‐point voltage, in addition to the positive and negative DC voltages.
Compared with the two‐level VSC, the three‐level VSC has lower harmonics with
the same switching frequency, or can operate with lower switching frequency to

(a) (b)

P P

N N

(c)
P

N
Figure 1.43 Configurations of (a) two‐level VSC, (b) neutral‐point clamped (NPC)
three‐level VSC, and (c) flying capacitor (FC) three‐level VSC.
 1.6 SMART GRID 63

achieve the same harmonics. On the other hand, the three‐level VSC will require
more semiconductor devices (diodes as in the NPC case) or more passive compo-
nents (capacitors as in the FC case), and its control is also more complex.
Although the two‐level and three‐level VSCs were used in the earlier VSC
HVDC projects, they pose design, operation and performance issues [85]. One
issue is the difficulty in balancing the voltages of power devices, as individual
IGBT or IGCT devices have limited voltage capabilities (below several kV) and
many of them need to be connected in series to withstand the HVDC voltages (nor-
mally tens or hundreds of kV). In addition to voltage balancing during on and off
periods, devices also need to be turned on and off simultaneously to prevent
breakdown, which is challenging to achieve. Another issue is the lower efficiency,
as compared with the LCC HVDC. The switching frequency of two‐level and three‐
level converters normally ranges between 1 to 2 kHz, significantly higher than
LCC, which operates at line frequency and also turns off naturally with zero turnoff
loss. High switching frequency reduces harmonics but increases switching loss.
Typically, the losses of two‐level and three‐level VSC HVDC are around 3% and
2.2%, respectively. Utilizing the optimized PWM scheme, the losses of two‐level
converters can be reduced to 1.7%, while the LCC HVDC has a much lower loss of
0.8% [86].

Modular Multilevel Converters (MMCs)

The newest VSC for HVDC is based on a modular multilevel converter (MMC),
which eliminates the need for series connection of devices [87]. The configuration
of a MMC is shown in Figure 1.44a. Each phase leg of the MMC consists of one
upper and one lower arm connected in series between the DC terminals. Many
series‐connected submodules (SMs) and one arm inductor Larm form an arm. Each
SM can be realized by half‐bridge, full‐bridge or clamped‐double circuits, as illus-
trated in Figure 1.44b–d. The number of SMs in each arm depends on the HVDC
voltage level and individual IGBT device voltage capability. Given that the IGBT
ratings are in kV and HVDC ratings in hundreds of kV, often several hundreds of
SMs are used for one MMC. In addition to simplified series connections, MMCs
also feature [88]:
1. Higher quality AC voltage. With high numbers of SMs in each arm, the AC
voltage of the MMC is synthesized by DC voltages of selectively inserted
SMs and therefore becomes more sinusoidal, which leads to smaller AC
filters.
2. Lower switching frequency and loss. High numbers of SMs per arm
enables each individual device to switch very slowly and still achieve a
high equivalent switching frequency. In commercial applications, the
device average switching frequency is generally below 200 Hz.
Consequently, the state‐of‐the‐art of MMC HVDC has a loss level about
1%, close to that of a LCC.
3. Modular design and inherent redundancy.
64 Chapter 1 Energy, Environment, Power Electronics, Renewable Energy Systems

(a) (b)
P
Ts1
SM1 SM1 SM1
vc
SM2 SM2 SM2 Ts2

SMN SMN SMN (c)

Ts1 Ts3
vc
Ts2 Ts4

(d)
SM1 SM1 SM1
Ts1 Ts3
SM2 SM2 SM2
vc Ts5 vc
Ts2 Ts4
SMN SMN SMN
N

Figure 1.44 (a) Circuit configurations of a MMC with (b) half‐bridge submodule,
(c) full‐bridge submodule and (d) clamped‐double submodule.

The potential disadvantages of MMCs include the high number of capacitors

required of SMs, design and control complexity due to the abundant SMs, and addi-
tional arm inductors needed, as shown in Figure 1.44, to limit the circulating
current. Because of the circulating current, the total IGBT device ratings for a
MMC will also be slightly higher than for the two‐level VSC.
Most VSCs, including two‐ and three‐level VSCs, and MMCs with half‐bridge
SMs, suffer high fault currents in DC side pole‐to‐pole short‐circuit faults. This is
because when DC voltage is low, as in the case of a short‐circuit fault, the VSC will
lose its controllability. Even if all IGBTs are turned off, fault current can still be
sustained from the AC side through diodes in parallel with IGBTs. This fault current
can only be broken off with AC or DC side breakers. Since the mechanical breakers
are slow, the fault current must be limited with AC or DC inductors, adding to cost
and design complexity. This is a drawback for VSC; in comparison, LCC, as a CSC,
can control the fault current better during the DC side short‐circuit fault.
To overcome the high short‐circuit fault current issue, MMCs with full‐bridge
or clamped‐double SMs have been developed, as shown in Figure 1.44c and d. For
the full‐bridge MMC, turning off all IGBTs during a fault will insert the capacitor
voltage into the fault current loop to limit the fault current rise rate and current
level; for the clamped‐double MMC, there is a fault current interrupting the IGBT
module in each SM, whose opening during a short‐circuit will also insert the capac-
itor voltage into the fault current loop. During normal operation, this IGBT stays on
such that the SM behaves like two half‐bridge SMs in series. The MMC with
 1.6 SMART GRID 65

full‐bridge SMs can generate both positive and negative voltages, which enables
flexible, reactive power control even during zero DC voltage.
The MMCs with full‐bridge or clamped‐double SMs require more switching
devices, which also incur more losses due to the series‐connected devices in the
current path within a SM. As a result, almost all commercial MMC HVDC projects
today use half‐bridge SMs [89]. In order to reduce the cost and maintain the fault
current limiting capability, some hybrid topologies have been proposed to use full‐
bridge SMs partially in a MMC or to have hybrid MMC and two‐level VSC [90].

Recent Developments in HVDC and Related Technologies

VSC technology, especially the MMC with various SMs, continues to improve,
driven by performance, efficiency and cost needs as mentioned above. Components
technologies are also making progress. SiC‐based switching devices with high
voltage ratings (>10 kV) can potentially replace Si devices in future HVDC con-
verters, with their superior losses and switching characteristics. Cables with higher
voltage ratings than today’s 525 kV are being developed to improve the voltage and
power capability of VSCs.
Another important technology associated with HVDC is the DC breaker. The
traditional AC circuit breakers will not work for DC due to the lack of zero current
crossing. A paralleled resonant circuit can be added to create zero current, or purely
using a solid‐state semiconductor switch. However, the mechanical switch is too
slow and the semiconductor switch has unacceptably high losses. The recently
developed hybrid DC circuit breaker, as shown conceptually in Figure 1.45, can
achieve both low losses and fast breaking time, which is the trend for future DC
breaker development [91].
Despite many advantages, HVDC lines make up only a small portion of the
transmission grid, mainly due to the high converter cost. Some alternative schemes
have been proposed, including hybrid AC/DC and low‐frequency AC schemes.
1. Hybrid AC/DC. One of the main advantages of the HVDC scheme is its
superior power transmission capability over the HVAC scheme. To increase
its transmission capability, an existing AC line can be converted to a DC line
by fully or partially rebuilding the line and adding HVDC converter stations
at both terminals. An alternative is to convert the AC line into a hybrid AC and
DC line with both AC and DC currents flowing in the same line. Figure 1.46
shows a basic hybrid AC/DC scheme based on a double‐circuit, where the DC

Main solid state breaker

Auxiliary solid state breaker

Disconnector Fast mechanical switch
Figure 1.45 Configuration of hybrid DC breaker.
66 Chapter 1 Energy, Environment, Power Electronics, Renewable Energy Systems

AC Bus 1 AC Bus 2
Transmission Line

CB1 CBx CBy CB2

CB3 CB4

CB5 CB6

CB7 CBx CBy CB8

Figure 1.46 Basic scheme of hybrid AC/DC transmission (CB: circuit breaker).

current can be injected into the AC lines through the neutral point of a three‐phase
transformer. With hybrid AC/DC, the total transmission power capability can
be significantly increased compared with the original AC‐only transmission
[92]. A special zigzag transformer is needed for DC current injection in order
to avoid saturation. A small line conditioner may also be required to deal with
line imbalance issues [93]. Even with the additional components required, the
hybrid AC/DC scheme can still be more cost‐effective than the full HVDC
conversion.
2. Low‐frequency AC transmission. One significant issue with HVDC transmis-
sion is the lack of cost‐effective DC breakers during a DC line short‐circuit
fault. Given that the power transmission capability for a long AC line is
inversely proportional to the line impedance, reducing the line frequency can
increase the power transfer capability, while preserving the short‐circuit
current control with AC breakers. In this case, relatively low‐cost, thyristor‐
based cycloconverters can be used to convert the 50/60 Hz to below a third of
the nominal frequency.

1.6.3 DC Grid and Supergrid

Multiterminal HVDC Grid
As mentioned previously, today’s power grids are predominantly based on
interconnected HVAC lines, with limited point‐to‐point or two‐terminal HVDC
lines embedded to serve certain special needs. With the development of HVDC
 1.6 SMART GRID 67

technologies, especially the VSC HVDC, interest in multiterminal HVDC (MTDC)

or DC grids are growing. Increased penetration of renewable energy resources has
also driven the research and development of MTDC technologies. For example,
with a MTDC system or a DC grid, wind energy from several distributed offshore
wind farms can be transferred to multiple onshore AC grids, offering better
transmission flexibility. In comparison, if relying on only point‐to‐point HVDC,
each wind farm will need to have a separate HVDC link connected to an onshore
AC grid. Compared with the point‐to‐point HVDC links, the MTDC offers the
following merits [94]:
•• Lower costs: When more than two adjacent AC systems need to be connected,
MTDC provides a more economical solution than employing several point‐
to‐point HVDC links.
•• Improved reliability: The faults on a point‐to‐point HVDC link can lead to
significant power transfer interruption and the whole system may need to be
shut down. For a MTDC network, the faulted link can be isolated by DC
breakers and continuous power transfer is possible through power flow
rearrangement.
•• Reduced curtailment from renewable energy sources: If a renewable energy
source, such as an offshore wind farm is connected to an AC grid through a
point‐to‐point HVDC link, energy curtailment may be necessary to follow the
load profile of the corresponding AC system. With MTDC, the surplus renewable
energy can be better exchanged among different AC area systems.
•• Low spinning reserve requirement: Connected with multiple renewable
energy sources and AC grids through MTDC, the spinning reserve requirement
for AC systems can be reduced.
•• High power exchange and trading flexibility: Energy exchange and trading
can be realized among multiple renewable energy sources and the AC grids
they are connected to, which will help to reduce the electricity price.
A MTDC system has more than two converter stations, which can be
connected either in series or in parallel [95]. As shown in Figure 1.47a, in the series
structure of a MTDC network (assuming four terminals), the converters are
connected to form a voltage loop, and identical DC current will flow through each
converter. The system is grounded at only one point, and the insulation levels for
different converter stations are distinct, making insulation coordination compli-
cated and challenging. Moreover, it is very difficult to expand an existing series‐
connected MTDC system because of the varied insulation levels. Furthermore, the
entire MTDC needs to be shut down when a DC fault occurs.
In contrast, the converters in a parallel MTDC system have identical voltage
ratings, while their current ratings can be different based on the power needs. The
parallel structure can have either radial or meshed connection, as illustrated in
Figure 1.47b and c, respectively. In a radial system, disconnection of one line or
converter will interrupt power flow to at least part of the grid. This type of segment
68 Chapter 1 Energy, Environment, Power Electronics, Renewable Energy Systems

(a)
DC cable
AC + AC
DC – DC

AC AC
DC DC

(b)

AC AC
DC DC

AC AC

DC DC

(c)

AC AC
DC DC

AC AC
DC DC
Figure 1.47 A MTDC network with (a) series connection, (b) radial connection, and
(c) meshed connection.

removal, however, will not cause power transfer disruption in a meshed MTDC
grid, if lines, cables and converters have enough capacity. Consequently, meshed
MTDC provides higher reliability and control flexibility. Compared with the series
structures, the parallel structure also enables reduced control complexity and easier
expansion.
Hybrid connection structures have also been proposed, where several HVDC
converters with relatively lower voltage ratings are first connected in series to form
a string, and then the whole string can be connected to the full voltage MTDC grid
with multiple paralleled strings. The scheme may be advantageous in applications
like wind farms, similar to string inverters in photovoltaic cases.
 1.6 SMART GRID 69

For series connections, the CSC topology is easier to implement. The DC

currents in all converters will be the same and the power control can be realized
through individual converter DC voltage controls. The power reversal can be
realized through voltage polarity reversal. For parallel connections, the VSC
­
topology is much easier to implement. The DC voltages for all converters will be at
the same level, with differences only accounting for the small voltage drops due to
line resistances. The power control can be realized through individual converter
current control and the power reversal can be conveniently achieved through current
polarity reversal.
The advantages of a MTDC grid cannot be fully realized without DC breakers
or equivalent DC fault current prevention/protection equipment. At present, cost‐
effective and fast HVDC breakers are not yet available. Consequently, there have
been very limited commercial MTDC projects. Table 1.8 lists all existing MTDC
projects in the world [96]. The first two started from point‐to‐point links and then
extended to multiterminal schemes using LCC. The second pair were built more
recently as pilot projects, and adopted half‐bridge MMC as their converters. All
four projects employed parallel connection. China is also planning to build the first
meshed MTDC project, called the Zhangbei Project, in northern China.

Supergrid
The concept of the “supergrid” was first proposed in Europe as a continent‐wide
solution to transfer renewable energy from remote resource locations to load
centers. Some of the more abundant renewable energy resources in Europe include
offshore wind in the North Sea and the Baltic Sea, solar energy around
the Mediterranean Sea, and hydropower in Scandinavia and the Alps [97]. Since
the existing HVAC transmission grids were not designed for high power transfer
from remote regions, new transmission capabilities are needed. As these transmis-
sions will involve long distances and offshore locations, HVDC can provide a more
economical solution. In particular, MTDC grids should be employed to deal with
the distributed resources and multiple connection points to existing AC grids.
Another motivation for supergrid is the wide‐area energy balance to counter the
intermittency of the wind and solar energy [98].
A precise definition of “supergrid” does not yet exist. It is generally under-
stood as an “overlay” or assimilation of HVDC and HVAC networks. Tying with
the existing grids, the supergrid connects and serves entire regions and markets,
with the objective of integrating large‐scale renewable energy sources into the grid [99].
The supergrid can hence be characterized by:
•• high flexibility in power balancing of the whole system;
•• bulk power transfer capacity;
•• geographically long distances between energy sources and load centers.
Employing HVAC, HVDC and FACTS, the supergrid can increase transmission
capacity. The overall system reliability, efficiency and economics can be improved
 TABLE 1.8 Global MTDC projects.

Commissioning
Project year Location Terminal no. Power transmitted DC voltage (kV) Topology

Italy–Corsica–Sardinia Phase I: 1967 Phase I: Sardinia, 3 Dalmazio: 300 MW 200 kV LCC

(SACOI) Phase II: 1988 Italy Codrongianos:
Phase II: Corsica 300 MW
Lucciana: 50 MW
Hydro‐Quebec‐New England Phase I: 1986 Canada, USA 5 Radisson: 2250 MW 450 kV LCC
Phase II: 1992 Nicolet: 2138 MW
Des Cantons: 690 MW
Comerford: 690 MW
Sandy pond: 1800 MW
Nan’ao 2013 China 3 JN: 100 MW ±160 kV Half‐bridge
QA: 50 MW MMC
SC: 200 MW
Zhoushan 2014 China 5 ZhouShan: 400 MW ±200 kV Half‐bridge
Daishan: 300 MW MMC
Qushan: 100 MW
Yangshan: 100 MW
Sijiao: 100 MW

70

0004338979.INDD 70 06/19/2019 5:39:05 PM

 1.6 SMART GRID 71

Figure 1.48 A conceptual plan of a European supergrid [100]. (See electronic version for
color representation of this figure.)

by pooling the resources of all participating parties (countries, utilities, etc.). The
potential issues caused by large‐scale renewable energy fluctuation can be greatly
reduced or even eliminated with wide‐area coordination.
Figure 1.48 represents the conceptual supergrid in Europe [100]. This huge
supergrid will link large‐scale offshore wind farms from the Baltic Sea to the
Mediterranean, via the North Sea and the Atlantic. Energy from wind turbines will
be transferred and distributed among countries, driving a single energy market in
Europe. Some initial planning has already been developed for this European super-
grid, in parallel with an ambitious plan to entirely phase out coal‐based and nuclear
power, and replace them with renewable energy by 2050 [101]. The Phase I plan
requires that, by 2020, the remote bulk offshore wind plants be developed and
linked together to form a meshed DC grid for high reliability and control flexibility.
Meanwhile, coal and nuclear power plants can be phased out. Power flow control
will be implemented over the whole of Europe to balance power generation and
demands from the large populated load centers. Phase II will be from 2020 to 2050,
when a Europe‐wide overlay grid can be achieved through system integration.
Based on DC transmission, this supergrid will link large‐scale wind farms as well
as pumped hydro‐storage in the north, and bulk solar power plants in the south, then
together supplying power for the European load centers. A transcontinental power
72 Chapter 1 Energy, Environment, Power Electronics, Renewable Energy Systems

Figure 1.49 A conceptual US HVDC supergrid by MISO [106]. (See electronic version
for color representation of this figure.)

transmission system is also under consideration, which can use power from solar
power plants in the deserts of northern Africa.
Since the supergrid concept was proposed, several European countries have
already met their 2020 renewable energy penetration targets. Overall, the share of
renewables in gross final energy consumption in Europe in 2013 reached 15%, and
the target set for 2020 is 20%, which is very much achievable [102]. On the other
hand, the offshore wind farms grew slower than planned, due to higher costs than
expected.
Similar supergrid concepts have also been proposed for Asia‐Pacific and the
Americas. One scheme envisions a pan‐Asia‐Pacific supergrid based on ultra‐high‐
voltage (±800 kV or higher) DC transmission grids, connecting wind farms in
Siberia, Mongolia, and offshore Australia, and solar power in China and Australian
deserts [103, 104]. The total power could supply the electricity needs of the whole
region. In the United States, the continent‐wide DC overlay has been preliminarily
investigated, with one example shown in Figure 1.49, which connects all three
North American Interconnections with HVDC lines.
The implementation of the supergrid, however, will face numerous chal-
lenges [105]. Technically, since it relies on DC grids, it has to overcome the same
barriers that the MTDC grid faces, such as the lack of cost‐effective and fast DC
circuit breakers. In addition, coordinated wide‐area control involving several
system operators will require new methods, rules, and standards to ensure system
reliability. Also, the societal acceptance of large grid infrastructures will be low,
and the economic and environmental benefits of such an overlay grid must be
clearly established to gain public support. Furthermore, a supergrid may suffer
quite difficult decision‐making processes in order to satisfy all parties involved.
 1.6 SMART GRID 73

1.6.4 Power Electronics for Distribution Grids

Due to the rapid growth of DERs, power electronics loads, and microgrids, distri-
bution grids are the new frontier for power electronics applications for grids. This
subsection will highlight some of the power electronics technologies for distribu-
tion grids.

Custom Power
Parallel to FACTS technology for transmission grids, Custom Power has been pro-
posed and developed for the distribution grid. Custom Power can be classified into
three broad categories:
1. Power flow control and interruption includes solid‐state transfer switch
(SSTS), solid‐state circuit breaker (SSCB), and solid‐state fault current lim-
iter (SSFCL).
2. Power system conditioning and compensation includes distribution static
synchronous compensator (DSTATCOM), static VAR compensator (SVC),
dynamic voltage restorer (DVR), thyristor‐controlled voltage regulator
(TCVR).
3. Power quality enhancement equipment includes shunt active power filter
(APF), and unified power quality controller (UPQC).
Table 1.9 shows the corresponding circuit configurations for the above‐listed
controllers, with their main functions, control principles and basic power elec-
tronics functions. Note the similarities between some of the Custom Power devices
and the FACTS devices.

Microgrids
The US Department of Energy (DOE) describes a microgrid as “… a group of
interconnected loads and distributed energy resources within clearly defined
electrical boundaries that act as a single controllable entity with respect to the grid.
A microgrid can connect and disconnect from the grid to enable it to operate in both
grid‐connected or island‐mode.” Microgrids (MGs) are expected to enable grid
modernization; enhance integration of distributed energy resource (DER); provide
efficient, low‐cost, clean power; reduce peak loads; promote customer participa-
tion; and significantly improve reliability and resiliency of the power grid, espe-
cially during major outages [107].
Figure 1.50 illustrates a conceptual diagram of the microgrid design being
developed at University of Tennessee, Knoxville. It shows the microgrid connecting
to the grid through multiple points of common coupling (PCC) – one feeder serving
as a primary PCC and two backups. The diagram also illustrates the concept of a
central microgrid controller interfacing directly with the utility distribution
management system and, through local controllers, the distributed generation and
loads at the site. During an outage, the microgrid will first choose a healthy feeder
to connect to, if any. With the microgrid, it is expected that the outage time of
 TABLE 1.9 Common Custom Power equipment.

One‐line Basic power electronics

Controller configuration System functions Control principle function

SSTS – solid‐state transfer switch • Power supply transfer On–off control of thyristors Controlled bi‐directional
for reliability and power AC switch
quality
• Power flow control
SSCB – solid‐state circuit breaker • Protection On–off control of thyristors Controlled bi‐directional
• Power flow control AC switch

SSFCL – solid‐state fault current • Protection Phase angle control of thyristors Controlled bi‐directional
limiter • Stability enhancement AC switch

SVC – static VAR compensator • Voltage regulation and VAR control through varying L & C Controlled bi‐directional
VAR compensation in shunt connection AC switch

DSTATCOM – Distribution static • Power enhancement VAR control through current control Bi‐directional AC/DC
synchronous compensator • Voltage regulation and in shunt connection voltage source converter
VAR compensation

74

0004338979.INDD 74 06/19/2019 5:39:07 PM

 DVR – dynamic voltage restorer • Power quality and VAR control through voltage control Bi‐directional AC/DC
stability enhancement in series connection voltage source converter
• Power flow control
• Fault current limiting

TCVR – thyristor controlled voltage • Voltage control Voltage control through on–off Controlled bi‐directional
regulator • Motor starter thyristor control, like electronic tap AC switch
changer for transformer

Shunt AF – shunt connected active • Harmonic current Harmonic current injection through Bi‐directional AC/DC
Load

filter filtering harmonic voltage control voltage source converter

UPQC – unified power quality • Power flow control Power and VAR control through Bi‐directional AC/DC
controller • Power quality back‐to‐back converters in both voltage source converter
enhancement series and shunt connections
• Fault current limiting

75

0004338979.INDD 75 06/19/2019 5:39:07 PM

76 Chapter 1 Energy, Environment, Power Electronics, Renewable Energy Systems

DMS/SCADA
Local protective devices

Local controllers
PV PV Non Critical Normal open smart switch
Load
Multiple Normal closed smart switch
feeders

PCC
Microgrid central
controller
Backup
generator
PCC
Electrical network
Batter Energy Critical
Storage System Load Communication
and control network

Combined Heat
andPower (CHP)
PCC

Figure 1.50 A conceptual microgrid and its controller. (See electronic version for color
representation of this figure.)

critical loads will be reduced by >98% at a cost comparable to non‐integrated

baseline solutions (uninterruptible power supply plus backup generator); emissions
will be reduced by >20%; and the energy use efficiencies will be improved by
>20%. It can clearly be seen that power electronics interface converters are present
for PV and battery energy storage systems. These power converters need to operate
with different grid support modes during the grid‐connected and islanded modes.

More Recent Developments

There are many newly emerging power electronics controllers under development
to solve various issues with distribution grids. SST, mentioned earlier, is a well‐
known equipment that can help with distribution grid power flow and voltage reg-
ulation. There are also a number of so‐called grid‐edge solutions using power
electronics to deal with voltage and other issues associated with roof‐top PV and
other DERs.

1.7 SUMMARY AND FUTURE TRENDS

The chapter discusses briefly and comprehensively the basics of energy, environ-
ment, power electronics, renewable energy systems, and smart grids. The important
points are summarized here:
1. The energy and environmental issues are extremely important today. The
rising global population with an appetite for higher living standards is caus-
ing increasing energy consumption. Most of our energy comes from burning
fossil fuels, which causes environmental pollution, and correspondingly
­climate change problems. These will cause serious unrest in our society. With
 1.7 SUMMARY AND FUTURE TRENDS 77

determination and the united efforts of humanity, we can solve these problems.
Energy and environmental issues are the main motivating factors for modern
R&D on smart grid and renewable energy systems, where power electronics
plays a very important role.
2. Power semiconductors have been the main driving force for power
electronics technologies. So far, Si has dominated power electronics
­converters, with devices like thyristors and IGBT. WBG SiC‐ and GaN‐based
devices are the future, with their superior characteristics with lower losses,
higher voltage, higher switching speed and capability, and higher temperature
capability. Other attributes of the power electronics converters like passives,
thermal management systems, control, and filters are also important to the
overall performance and cost of the converter.
3. Grid‐related power electronics can be classified as related to source, loads,
and transmission and distribution. The grid becomes increasingly power
electronics‐based due to the rapid growth of power electronics‐interfaced
sources and loads. The key power electronics loads in today’s and future grids
include: motor drives, lighting (fluorescent, HID, and LED lamps), EV charg-
ing stations, and data centers.
4. Renewable energy systems, mainly wind and PV solar systems, require
power electronics interfaces. The most promising energy storage systems,
battery energy storage systems, also require power electronics interfaces to
deal with the variability of the renewable energy sources. The key development
needs for these power converters are grid‐support functions traditionally per-
formed by rotating generators. They also need to tolerate grid conditions such
as fault, imbalance, and transient overvoltages.
5. Smart grids require more controllability and better power quality, two areas
with which power electronics can help. Power electronics‐based grid control-
lers include more conventional FACTS and HVDC for transmission, and
Custom Power for distribution. Most of these technologies are thyristor‐
based. Newer IGBT‐based and future WBG device‐based converters will
enable new technologies such as SST and DC grid.
Power electronics have progressed steadily since the invention of thyristors
in the 1950s. The progress is in all aspects: semiconductor devices, passives,
circuits, control, and system integration, leading to converter systems with better
performance, higher efficiency, higher power density, greater reliability, and
lower cost. Because of these developments, the power electronics applications in
power systems have become more and more widespread. However, in general,
power electronics controllers are still not sufficiently cost‐effective, reliable, or
efficient. Many improvements are needed and expected, especially in the follow-
ing areas:
•• Semiconductor devices. Devices used today are almost exclusively based on
silicon. The emerging devices based on wide bandgap materials such as SiC
78 Chapter 1 Energy, Environment, Power Electronics, Renewable Energy Systems

and GaN are expected to revolutionize power electronics with their capabilities
of higher voltage, lower losses, faster switching speed, higher temperature,
and smaller size.
•• Power electronics converters. More cost‐effective and reliable converters will
be developed as a result of better devices, passive components and circuit
structures. Modular, distributed, and hybrid with non‐power‐electronics
approaches are expected to result in greater benefits overall.
•• Enhanced functions. Power electronics controllers can be designed to have
multiple functions in the system. For example, wind and PV solar inverters
can provide reactive power to the grid, in addition to transferring real energy.
Today, power electronics controllers are mostly locally controlled. With better
measurement and communication technologies, they may be controlled over
a wide area for supporting the system‐level functions.
•• New applications. The new applications for future power systems include a
DC grid based on multiterminal HVDC and energy storage. Critical technologies
include cost‐effective and efficient DC transformers and DC circuit breakers.
Power electronics will play key roles in these technologies.

ACKNOWLEDGMENTS

This work (except the Energy and Environment sections) made use of the Engineering
Research Center Shared Facilities ­supported by the Engineering Research Center
Program of the National Science Foundation and DOE under NSF Award Number
EEC‐1041877, and the CURENT Industry Partnership Program. The authors would
like to acknowledge the help and contribution of current and former CURENT
­students Shuoting Zhang, Zheyu Zhang, Yalong Li, and Xiaojie Shi.

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 Ch a p t e r  2
Power Semiconductor
Devices For Smart Grid
And Renewable Energy
Systems
Alex Q. Huang

2.1 INTRODUCTION

According to the Energy Information Administration [1], world energy ­consumption

is projected to increase by 48% from 2012 to 2040. Unfortunately, fossil fuels are
still expected to account for three‐fourths of this in 2040. This is a grand challenge
issue for humanity because increased CO2 emissions will accelerate global
warming and climate change. Addressing this grand challenge requires the
immediate decarbonization of all energy sectors and a shift of all energy generation
and delivery to clean, renewable electrical energy. This means not only that the
electric power grid should be powered 100% by renewable and clean energy such
as wind and solar, but the generation and delivery capacity must also increase
­dramatically to provide electrical energy to all decarbonized energy sectors such as
transportation. The 100% renewable energy powered transmission and distribution
scenario is currently being studied by many utilities around the world and is
expected to drive the exponential growth of power electronic converters needed to
interface renewable energy resources with the alternating current (AC) electric
power grid. In addition to wind and solar, energy storage and electrical vehicles are
the two other major drivers for increased demand for power electronic converters.
In the transmission and distribution systems, increased power electronics are
needed in high‐voltage direct current (HVDC) power transmission systems,
FACTS devices such as SVC and STATCOM, as well as in emerging applications
such as solid‐state transformers [2].

Power Electronics in Renewable Energy Systems and Smart Grid: Technology and Applications,
First Edition. Edited by Bimal K. Bose.
© 2019 by The Institute of Electrical and Electronics Engineers, Inc.
Published 2019 by John Wiley & Sons, Inc.

85
86 Chapter 2 Power Semiconductor Devices For Smart Grid SYSTEMS

At the heart of power electronic converters are power semiconductor switch­

ing devices. They switch at a relatively high frequency (10–100 kHz) to synthesize
the voltage and current wave shapes to match the source and the AC grid. Not only
are higher and higher power ratings needed, but the increased demands for higher
converter efficiency are also driving the incremental and revolutionary break­
through in power semiconductor technology. The efficiency improvement can be
related to the reduction in the conduction and switching losses in power semicon­
ductor devices. Over the last several decades, the power conversion efficiency has
been steadily increasing through the advancement of several generations of power
semiconductor technology. Efficiency approaching 99% is widely achieved in PV
inverters and large industry motor drives. Moving the efficiency from 99% to
99.5%, a seemingly very small step, will require the reduction of the losses by 50%!
So future development focusing on power density, reliability, and cost reduction are
also being considered as other major drivers for power electronics technology. The
need to cover a large range of power levels also necessitates the development of
power devices from a few hundred volts to more than ten thousand volts, and from
a few amperes to several thousand amperes. In addition to the power level, the
switching frequency of these power devices also ranges from 60 Hz to more than
1 Mz, driven by the system requirement as well as the need to improve the power
density. To meet these demands, power devices based on various current conduction
mechanisms have been invented and manufactured in the last six decades. The main
driver behind these innovations is to obtain power devices that can conduct more
current for a given chip area and breakdown voltage. This requires the improvement
of the conductivity of the device when it is in the ON state or conducting state.
Improving the controllability of these devices from ON state to OFF state and vice
versa is another major driver behind many of the device innovations.
A brief historical view of modern power semiconductor development is sum­
marized in [3]. According to [3], there have been three major waves of innovations
as shown in Figure 2.1. The first wave of innovation can be called the silicon bipolar
wave. It started with the invention of the first point contact transistor at Bell Lab on
germanium material in 1948. Practical Si bipolar junction transistor (BJT) and the
silicon controlled rectifier (SCR), or thyristor, were commercialized in 1958. This
can be considered the starting point of modern solid‐state power electronics due to
the practical power rating achieved by the SCR at that time. Controlled three‐
terminal switches like the BJT and the gate‐turn‐off (GTO) thyristor [4] were intro­
duced in the 1960s and 1970s for power supply and motor drive applications. In the
1980s, the second wave of innovation was characterized by the use of the metal‐
oxide semiconductor (MOS) gate as the control terminal of the power devices. The
BJT was first displaced by the power MOSFET (metal‐oxide semiconductor field
effect transistor) [5–6], which has better static and dynamic performance as well as
a simpler MOS gate control interface. The second most important event in the 1980s
was the invention and development of the insulated‐gate bipolar transistor (IGBT)
[7] that capitalizes on the power MOSFET fabrication process but relies on a very
different device physics in which both electrons and holes contribute to the current
 2.2 POWER SEMICONDUCTOR DEVICE OPERATION IN POWER CONVERTERS 87

Third wave

Wide bandgap(WBG)
SiC MOSFET
SiC SBD/JBS
Second wave
GaN HFET

Silicon MOSFET Silicon SJ MOSFET

First wave
Silicon IGBT

Silicon thyristor
Silicon GTO IGCT
Si BJT ETO
PIN diode

1950 – 1980 1980 – 1990 1990 – 2000 2000 – now

Figure 2.1 A brief history of power semiconductor development.

conduction. The IGBT has since pretty much replaced the GTO in high‐power
applications. Another important innovation was the invention and development of
superjunction (SJ) MOSFET in the mid‐1990s. which reduced the conduction loss
of the power MOSFET below the so‐called “silicon limit” [8]. High‐power GTOs
also received a much needed lift in the late 1990s by the so‐called hard‐riven GTO
­technology in the form of the integrated‐gate‐commutated thyristor (IGCT) [9] and
emitter turn‐off (ETO) [10] thyristor, making them viable solutions in ultra‐high‐
power converters. The third wave of major innovations comprised the commercial
introduction of the Schottky barrier diode [11], the power MOSFET [12, 13] based
on wide bandgap (WBG) SiC material, and the heterojunction field‐effect transistor
(HFET) based on WBG GaN/AlGaN heterojunction material [14]. This chapter
intends to provide a comprehensive and comparative discussion of these important
power device technologies which are critical for industrial, smart grid and r­ enewable
energy applications.

2.2 POWER SEMICONDUCTOR DEVICE OPERATION

IN POWER CONVERTERS

2.2.1 Commercially Available Power Semiconductor Devices

A power semiconductor switch is a three‐terminal device that can either conduct a
current when it is commanded ON, or block a voltage when it is commanded OFF
through the control terminal. This change of conductivity is made possible in
a semiconductor switch by specially arranged device structures that control the
­carrier transportation. In three‐terminal power semiconductor switches, the third
88 Chapter 2 Power Semiconductor Devices For Smart Grid SYSTEMS

terminal serves as a control terminal that utilizes small amounts of power to con­
trol the conductivity between the other two terminals. The time that it takes to
change the conductivity is at the microsecond level, compared with the tens of
milliseconds of a mechanical switch. Today, SiC MOSFET or GaN HFET can
achieve nanosecond‐level switching speeds. By employing this kind of switch
operating at a high switching frequency (from a few kHz to Mhz), a properly
designed electrical system can control the flow of electric energy, shaping the
electricity into desired forms. In renewable energy and smart grid applications, the
most important circuits involve the transformation of a DC energy source such as
PV and energy storage, to another DC voltage level or to the legacy AC grid
operating at 60 Hz or 50 Hz. For single‐phase application, this means connecting to
the grid at the 120 V/240 V level, or in the case of a three‐phase system, connecting
to the 480 V three‐phase grid. For these reasons, power semiconductor switches
that can withstand a voltage higher than 600 V are typically needed for renewable
energy and smart grid applications, although lower‐voltage devices can also be
used if they are isolated from the grid by a high‐frequency isolation transformer.
An example is the panel level microinverter in which devices with a breakdown
voltage of 200 V or lower can be used. For large renewable energy systems such as
a MW‐scale solar farm, the output AC voltage is further stepped up to a much
higher level such as 35 kV by a step‐up line frequency transformer (LFT). By
­utilizing multilevel power converter topology and very high voltage power devices,
the solar inverter can be directly connected to the 35 kV distribution system without
the LFT. These types of applications are driving the development of power devices
with breakdown voltages in excess of 6.5 kV. To process the amount of renewable
energy from a few hundred watts in the case of a microinverter, to a solar farm
exceeding 5 MW, the current rating of the power devices ranges from a few amperes
to several thousands of amperes.
Although many power semiconductor switches have been developed or fabri­
cated in the past, for practical renewable energy and smart grid applications, only a
few power switches are relevant because they provide the amount of power‐handling
capability, switching speed and costs acceptable to the market. These switches are
summarized in Table 2.1.
In addition to three‐terminal switches, two‐terminal switching devices such as
PN junction diodes are also widely used in power converters to serve as a unidirectional
current conducting device. In this case, the conductivity is controlled directly by the
direction of the current. In the forward direction, the conductivity is high, while in
the reverse direction the conductivity is extremely low and stops the current flow.
Two types of diode rectifier that are currently used in the marketplace are summa­
rized in Table 2.2. In all voltage source converters (VSCs), blocking only a single
polarity of voltage is required while conducting current in both directions is required.
So a combination of a three‐terminal unidirectional blocking switch together with an
antiparallel diode is the most commonly used configuration in VSCs. In some cases,
the antiparallel diode is inherently embedded in the three‐terminal switch (e.g.,
MOSFET), hence an externally connected diode may not be needed.
 TABLE 2.1 Practical three‐terminal power switches used in renewable energy and smart grid systems.

Silicon power switch SiC power switch GaN power switch

Switch MOSFET IGBT Thyristor IGCT ETO MOSFET HFET

C: Collector Anode Anode Anode
D ID
Switch symbol D ID D

G: Gate
G G
G Turn-on
Gate Gate
E: Emitter Turn-off S
S Cathode Cathode Cathode

S
Turn‐on signal +15 V +15 V ~100 mA ~3 A ~3 A 20 V 5V
Turn‐off signal 0 V or −5 V 0 V or −5 V −5 V* −IAK and 0V −4 V 0 V or −3 V
−18 V

*A thyristor cannot be turned off by the gate alone. It needs the anode‐to‐cathode current IAK to reduce to zero and the voltage VAK changes polarity from positive to negative.

89

0004339650.INDD 89 06/19/2019 3:58:27 PM

90 Chapter 2 Power Semiconductor Devices For Smart Grid SYSTEMS

TABLE 2.2 Practical two‐terminal power switches used in renewable energy

and smart grid systems.

Silicon SiC

Switch PN diode Schottky diode

Switch symbol Anode Cathode

(+) A K (–)
Schottky diode symbol
Symbol of a diode

TABLE 2.3 An incomplete list of important power device parameters.

Static S1. Maximum current carrying capability.

S2. Forward voltage drop during “ON” and its temperature dependency.
S3. Leakage current during “OFF”.
S4. Maximum voltage blocking capability.
Dynamic D1. Switching transition times during both turn‐on and turn‐off.
D2. Switching losses for three‐terminal switch or reverse recovery loss for diode.
D3. Controllable dI/dt or dV/dt capability during switching transition.
D4. Ability to interrupt large amount of current, also known as reverse bias safe
operation area (RBSOA).
D5. Ability to withstand both high current and voltage simultaneously, also
known as short‐circuit safe operation area (SCSOA).
Thermal T1. Maximum junction temperature.
T2. Junction to case thermal resistance.
Control C1. Control power requirement and control circuit complexity.

2.2.2 Modern Power Semiconductor Device Characteristics

A market‐acceptable power conversion system must have high reliability, high
conversion efficiency, be small in size and low in cost. While many of these
­properties are also governed by the converter circuit topology and its associated
control, the power switches play an important role in determining these system‐
level performances. As shown in Tables 2.1 and 2.2, there are many choices of
power switches and diodes for a given power converter. The selected device must
match the application requirements in terms of power handling capability,
­switching speed and cost. Table 2.3 summarizes some of the important parame­
ters when selecting a semiconductor switch for power conversion applications.
Most of the above items can be found in a typical device datasheet provided by
manufacturers, although sometimes they are listed under different names. They
are divided into several main categories: static, dynamic, thermal, and control
parameters. S1 to S4 are related to the static performance of a switch, or more
directly the conduction loss of a switch. D1 to D5 are related to the dynamic
performance of the switch, or more directly the switching loss of a switch. T1 and
T2 characterize the thermal handing capability of the device. C1 applies to
 2.2 POWER SEMICONDUCTOR DEVICE OPERATION IN POWER CONVERTERS 91

(a)
SW L
+ VSW – VO

ISW IL
VCC

+ VD –
+
– ID DF CO RL

(b)

Control

IL

IL
ISW

Vcc

VSW

Vcc
VD

ID IL

t0 t 1 t2 t3 t4 t5 t6
Switch turn-on Switch turn-off
Diode turn-off Diode turn-on
Figure 2.2 (a) Buck converter and (b) its switching waveforms.

three‐terminal devices only, and is related to the amount of power needed to drive
the control terminal at a switching frequency of fsw.
An ideal power switch is considered the one that does not generate any energy
losses. Since no such “ideal switch” really exists, one must carefully choose a
­suitable switch for one’s application. Generally, the power level and switching
­frequency are two major considerations in selecting a power semiconductor switch.
To facilitate the discussion of the importance of the device level parameters on con­
verter operation, a Buck converter and its typical waveforms shown in Figure 2.2 are
used as an example. Inductor current ripple is not shown for simplicity. There are
two switches in a Buck converter: a three‐terminal switch SW and a two‐terminal
freewheeling diode switch DF. The waveform after t = t6 is repeating itself and is the
same as that from t0 to t6. The switch SW is switching at a constant frequency fsw
92 Chapter 2 Power Semiconductor Devices For Smart Grid SYSTEMS

with a controlled ON time defined by Ton = t4 − t1 or the SW duty cycle is defined as

D = Ton/T where T = 1/fsw. The turn‐on and turn‐off transient times are exaggerated in
Figure 2.2 for clear visualization purposes. In reality, they are much smaller than Ton.
The Buck converter circuit has four different operating modes. Two of them
are related to the conduction of the switches, and they are therefore closely related to
the static parameters of the device and are responsible for the conduction loss. Two
of them are associated with the switching of the switch from one state to another, and
are therefore closely related to the dynamic parameters of the device and are respon­
sible for the switching loss. Other converter circuits also have these four modes of
operation, although the duty cycle d(t) and inductor current iL(t) may both be a
function of time in the case of DC to AC converters. However, these time‐varying
quantities are slower than the switching period T, therefore within each switching
period they can be treated as quasi‐static variables so that D = d(ti) and IL = iL(ti).

Conduction Losses
•• Mode 1: From t3 to t4, the SW is on and the DF is off. During this time, the major
power loss is the conduction loss in switch SW and is generally expressed as

Pcond SW d i L vF (2.1)

where VF is the forward voltage drop of SW (related to Parameter S2 in

Table 2.3) and IL is the average inductor current. The diode DF loss is approx­
imately zero since modern power switching produces very small leakage
current (Parameter S3) as long as the device is within the acceptable temper­
ature range (Parameter T1):

Poff D F d vCC i DF ,LKG ~ 0 (2.2)

During this time the maximum voltage on the diode is VCC, therefore VCC must
be such that it is lower than the diode’s breakdown voltage BV(DF) or
Parameter S4.
•• Mode 2: From t0 to t1, the SW is off and the DF is on. The SW power dissipation is:

Poff SW 1 d vCC i SW ,LKG ~ 0 (2.3)

where ISW, LKG is the leakage current of SW. The diode DF conduction loss is

Pcond D F 1 d i L vD (2.4)

where VD is the diode forward voltage drop (Parameter S2). During this time
the maximum voltage on the SW is VCC, therefore VCC must be such that it is
lower than the SW’s breakdown voltage BV(SW) or Parameter S4.
In Mode 1 and Mode 2, it is clear that a lower forward voltage drop will result
in lower losses. The total circuit level conduction loss can be expressed as Eq. (2.5):

Pcond d i L vF 1 d i L vD (2.5)
 2.2 POWER SEMICONDUCTOR DEVICE OPERATION IN POWER CONVERTERS 93

For devices that exhibit resistive I–V characteristics, such as a MOSFET, the
conduction loss equation can also be written as

Pcond i 2 rms ron 1 d i L vD (2.6)

where Ron is the resistance when the switch is ON. In almost all devices, VF, Ron and
VD are all functions of the device operating temperature Tj. As current increases,
power dissipation increases, which increases the device temperature. Reducing
conduction loss by reducing the forward voltage drop VF or VD or Ron is the most
important driver in developing newer power devices for the same current and
breakdown voltage levels. The maximum usable current in the SW therefore is
related to the Pcond(SW), the maximum junction temperature Tj,max, the junction‐to‐
case thermal resistance Rjc, and circuit operation condition that determines the Irms.
Modern silicon power devices have a maximum junction temperature of 125 °C
while WBG power devices are typically limited to 175 °C. Also, there are additional
losses associated with dynamic switching which should also be considered.

Switching Losses
•• Mode 3: From t1 to t3, the SW is being turned on and the DF is being turned off
automatically as a consequence of the change of the current direction in the
diode. Since the inductor behaves like a current source during this period of
time, the resulting switch and diode waveforms, as shown in Figure 2.2, are
called “inductive hard turn‐on”. The switching transit time for the SW is
ton = t3 − t1 (Parameter D1). The reverse recover time for the diode is trr = t3 – t2
(Diode’s parameter related to D1). Diode reverse recovery loss is generated
during t3 – t2 and can be approximately expressed as:

Prr k3 Qrr vcc fsw (2.7)

where k3 is a coefficient parameter smaller than 1 and is related to the dV/dt of

the SW (parameter D3) and Qrr is the diode reverse recovery charge (Parameter
D1). Diode reverse recovery also adds an additional current spike to the SW,
therefore the switch’s turn‐on loss is increased by this additional diode reverse
recovery current. By controlling the dI/dt of the SW turn‐on (parameter D3),
the reverse recovery current can be reduced, hence the turn‐off loss of the DF
is reduced. This is one of the fundamental reasons to desire a switch with dI/dt
controllability (parameter D3) stated in Table 2.3. The controllability of the
dV/dt during t2 to t3 allows the control of the diode loss as well as lowering the
dV/dt‐generated common mode noise. These dI/dt or dV/dt controls are typi­
cally realized through the control of the gate of the power MOSFET or IGBT,
and is at the expense of increased losses in the SW since the turn‐on time ton
is extended. So there is a trade‐off between the switching losses and noise.
•• Mode 4: From t4 to t6, the SW is being turned off and the DF is being turned
on as a consequence of the SW turn‐off. The switching transit time for the
SW is toff = t6 − t4 (Parameter D1). There is virtually no turn‐on loss for the
94 Chapter 2 Power Semiconductor Devices For Smart Grid SYSTEMS

diode DF since the diode voltage is reduced first before there is any current
increase. This can also be defined as zero‐voltage switching (ZVS) turn‐on
for the diode. The voltage is reduced to zero by the discharge of the junction
capacitance of the diode Coss(DF) by a portion of the load current IL. In most
cases, the load current is much higher than is needed for the discharge of
Coss(DF) hence the majority of the current is still flowing through the SW,
resulting in a substantial turn‐off loss in the switch SW. The turn‐off loss is
dominated by the turn‐off time toff during which there is an overlap of voltage
and current. A voltage overshot is generated by the parasitic inductance in the
loop formed by the voltage source Vcc, switch SW and diode DF. The peak of
this voltage is related to the Lp * dI/dt where the dI/dt is determined by the
switch during time t5 to t6. Therefore controlling the dI/dt is desirable to
lower this overshot voltage, in addition to reducing Lp in the first place.
During t4 − t5, a high dV/dt will generate undesirable common mode noise,
hence controlling dV/dt during this time is desirable. Again, there is a trade‐
off between noise and losses.
Generally speaking, the switching losses in the switch and diode can be
expressed as:

Psw SW k1 i L vcc ton fsw k 2 i L vcc toff fsw

(2.8)
k 3 Qrr vcc fsw 0.5 lp i L2 fsw eoss fsw

Psw D F k 3 Qrr vcc fsw (2.9)

Parameters k1 and k2 are equal to or smaller than 0.5. The last term in Psw(SW) is
related to the energy stored in the parasitic output capacitance of the switch Coss(SW)
and is important if the switching frequency is high. For switches that have large
amounts of current tail during the turn‐off (not shown in Figure 2.2), such as
the IGBT, manufacturers typically provide the measured energy loss Eoff in the
­datasheet. Similarly, for devices like IGBTs, there is also a large voltage tail after
the device turns on (after t3 in Figure 2.2), so the manufacture typically provides the
measured turn‐on energy Eon in the datasheet. In this case, the switching loss can be
expressed as:

Psw SW eon fsw eoff fsw (2.10)

Here Eon and Eoff are the measured energy losses. Diode reverse recovery and
the impact of the parasitic inductance Lp are typically included in the measured Eon
and Eoff data. From (2.8) to (2.10), it is clear that an increase in switching frequency
results in an increase in all dynamic losses. This is the limiting factor in selecting
the maximum switching frequency for a given switch. Switching frequency is
­typically selected so that the conduction loss Pcond(SW) and the switching loss
Psw(SW) are about the same for a given application.
 2.2 POWER SEMICONDUCTOR DEVICE OPERATION IN POWER CONVERTERS 95

FBSOA, SCSOA and RBSOA

In order to operate the switch at a higher switching frequency, short transition times
are required in order to reduce the switching losses. These transition times are a
function of the device physics (internal rate of change in conductivity) and the speed
of the gate control. For unipolar power devices like the power MOSFET, the gate
control is the dominating factor in determining the speed. For bipolar devices such
as the IGBT, internal device physics dominates the switching physics. While short
turn‐on and turn‐off times are desirable, a good switch should also be able to provide
the system with an acceptable electromagnetic noise and to accommodate other
switches in the same leg of a VSC. This requires controllable dI/dt and dV/dt capa­
bilities from the switch, in other words, they should have the ability to slow down.
A typical turn‐on operation of a switch in a power conversion system is associated
with the turn‐off process of another switch (or diode). The dI/dt is generally deter­
mined by the turn‐on switch and shared by the turn‐off switch, which may not be
able to withstand the high dI/dt. For example, a silicon PN junction diode has a
fundamental turn‐off reverse recovery problem indicated by a relatively large reverse
recovery charge Qrr and large reverse recovery current Irr. A silicon ­controlled
­rectifier (SCR) or thyristor also has a very large reverse recovery current. A high
turn‐off dI/dt may overstress and damage the diode or SCR. In a VSC such as the
Buck converter shown in Figure 2.2, the diode will experience the highest instanta­
neous power stress during reverse recovery and the peak of such stress must be
limited within the so‐called “reverse bias safe operation area” (RBSOA). This is
illustrated in Figure 2.3. The two curves are the instantaneous voltage–current
­trajectories as the diode turns off with two different dI/dt. With a lower dI/dt, the
stress is lower, hence safer for the diode. In the time domain shown in Figure 2.2, the
turn‐off of the diode DF is initiated with the turn‐on of SW starting from t1. DF’s

IAK

Ending point (t3) Starting point (t1)

VAK
–BV(DF)

Lower dI/dt Current zero crossing (t2)

Higher dI/dt Irr

Irr
RBSOA
Figure 2.3 Diode reverse recovery trajectory and its reverse bias safe operation area
(RBSOA) boundary.
96 Chapter 2 Power Semiconductor Devices For Smart Grid SYSTEMS

20 0
25°C
10 –200

Diode voltage [V]

Diode current [A]
0 –400

–10 –600

–20 –800

–30 Pin diode –1000

G5 diode
–40 –1200
0 0.1 0.2 0.3 0.4
Time [μs]
Figure 2.4 Reverse recovery behavior of a fast state‐of‐the‐art 1200 V Si PIN diode and a
SiC Schottky diode generation 5 (G5). VDC = 700 V. Reverse voltage applied to the diode is
represented in black curves [15]. (See electronic version for color representation of this figure.)

falling dI/dt is equal to that of SW’s rising dI/dt. After t2, DF enters its reverse
recovery process, experiencing its highest instantaneous power stress before its
current finally goes to zero. To effectively protect the diode, the maximum turn‐on
dI/dt may need to be limited.
SiC diodes as shown in Table 2.2 are based on an entirely different internal
current conduction mechanism (this will be discussed in more detail later in this
chapter). Their Qrr or Irr are very low and can be considered zero. Therefore, the
above‐discussed need to limit the dI/dt no longer applies to VSCs that use a SiC
Schottky barrier diode (SBD). The case for limiting the dI/dt will come from other
system requirements such as electromagnetic interference (EMI). Figure 2.4 shows
a comparison of a 1200 V Si p‐i‐n diode (PIN diode) and a SiC SBD [15]. The
reverse recovery current of the SiC SBD is dramatically smaller than the Si PIN
diode. Today, the reverse recovery losses associated with SiC SBDs are considered
to be eliminated in power converters using SiC SBDs.
Similarly, a typical turn‐off operation of a switch in a power conversion cir­
cuit is associated with the turn‐on process of another switch (or diode). The dV/dt
is generally determined by the turn‐off switch and shared by the turn‐on switch.
The maximum dV/dt of the active switch should be limited to protect the switch
itself and the associated switch from false triggering into an ON state. There is also
a need to reduce dV/dt in order to reduce the common mode current through device
packaging and enclosure parasitic capacitance.
Both dV/dt and dI/dt controls normally require the switching device to pos­
sess a forward biased safe operation area (FBSOA). Devices with FBSOA normally
have an active region in which the device current is determined by the control signal
level as shown in Figure 2.5. The device current can be controlled through its gate
 2.2 POWER SEMICONDUCTOR DEVICE OPERATION IN POWER CONVERTERS 97

IG4(or VG4) or beyond

IG3(or VG3)

IG2(or VG2)

IG1(or VG1)

V
Figure 2.5 Forward I–V characteristics of a three‐terminal switching device and its
FBSOA (shaded area) definition. The control of the device may be current in the case of a
BJT, or voltage in the case of a MOSFET/IGBT.

40

35 6th gen. dv/dt

RC-IGBT dv/dt
30
Reverse-recovery dv/dt

@Tj = R.T., Ic = 10A

25
[kV/msec]

20

15

10

0
0 10 20 30 40
Rg [Ω]
Figure 2.6 dV/dt control by using Rg for two types of IGBTs tested at Vcc = 600 V, Ic = 10 A,
Vge = +15 V/−15 V [16].

(or base). In a typical application, the gate driver resistance Rg is selected to control
the dI/dt and dV/dt. Two IGBT examples are shown in Figure 2.6 [16] and Figure 2.7
[17]. Clearly the use of a larger gate resistance decreases the dI/dt and dV/dt. It
should be noted, however, that the dV/dt and dI/dt controls mean slowing down the
transient process and increasing the turn‐on and turn‐off losses.
Power devices shown in Table 2.1 all have a FBSOA except the thyristor and
IGCT. So dI/dt control in a thyristor or IGCT will have to rely on an external dI/dt
snubber, such as that shown in Figure 2.8. In this case, a series‐connected inductor
Lsnubber limits the dI/dt when the IGCT is turning on. The disadvantage of this circuit,
compared with the gate resistance‐based dV/dt control in IGBT, is that the stored
98 Chapter 2 Power Semiconductor Devices For Smart Grid SYSTEMS

5000
FDT-IGBT
GDT-IGBT

4000
dVce/dt (V/us)

3000

2000
0 1 2 3 4 5 6 7 8
Rgoff (ohm)
Figure 2.7 Tested IGBT dI/dt control by gate resistance Rg for two different types of
IGBT [17].

Lsnubber Lp

S1 D1
RCl DCl

Vcc il
CSM CCl
D2 S2

Figure 2.8 dI/dt snubber circuit used in IGCT converters. Inductor Lsnubber is used to limit
the dI/dt for diodes D1 and D2 when either S1 or S2 turns on.

energy in the Lsnubber is dissipated in the clamp resistor Rcl. The total loss associated
with the Lsnubber can be calculated as

Psnubber 0.5 lsnubber i L2 fsw (2.11)

Depending on the current level and the size of the snubber needed, this loss
could be substantial and will limit the switching frequency fsw. On the other hand,
the turn‐on loss Eon on the switch itself is substantially reduced when a dI/dt ­snubber
is used. This is shown in Figure 2.9 where the switch turn‐on trajectories with or
without a dI/dt snubber are compared. The trajectory with a dI/dt snubber is much
smaller, resulting in lower turn‐on losses. So at the system level, a trade‐off ­between
Psnubber and Psw(SW) needs to be made.
During a typical inductive turn‐off process, the voltage of the switch will rise
and its current will decrease. During the transition, the device observes both high
 2.2 POWER SEMICONDUCTOR DEVICE OPERATION IN POWER CONVERTERS 99

I
Without snubber
INOM

With snubber

VNOM V
Figure 2.9 Turn‐on I–V trajectories of a switch under a typical inductive load condition
with or without a dI/dt snubber.

I
D ID
Without snubber
INOM

Csnubber
G

With snubber S

VNOM V

Figure 2.10 RBSOA of a power switch and the inductive turn‐off voltage–current
trajectories with and without a turn‐off snubber.

voltage and high current simultaneously. Therefore, a switch is also subject to its
RBSOA limitation. Figure 2.10 depicts the typical voltage–current trajectory of
the switch as it turns off under inductive load condition, as is the case in the Buck
circuit shown in Figure 2.2 or all VSC circuits. The device’s current stays constant
while its voltage rises. Its current begins to decrease once its voltage reaches its
nominal value. The voltage spike is caused by the dI/dt and stray inductance in the
current commutation loop. On the device’s I–V plane, the curve that defines the
maximum voltage and current boundary within which the device can turn off safely
is referred to as the RBSOA of the device. Obviously, a device’s RBSOA should be
larger than all its possible turn‐off I–V trajectories in a given application. Devices
without a large enough RBSOA need an external circuit (such as an auxiliary soft‐
switching circuit or a dV/dt snubber) to shape their turn‐off I‐V trajectories to a
smaller one to ensure safe turn‐off operation. Modern power devices such as the
IGBT have a very large RBSOA (typically > 200% of the current rating), hence the
snubber is not typically needed. Prior to IGBTs, devices such as BJTs or GTOs
100 Chapter 2 Power Semiconductor Devices For Smart Grid SYSTEMS

(gate‐turn‐off thyristor) would need to have a dV/dt snubber to have a safe opera­
tion. A dV/dt snubber is simply a capacitor in parallel with the device, also shown
in Figure 2.10. However, a dV/dt snubber increases the system’s component count,
hence the system’s size and cost. The turn‐off operation conducted without the help
of a snubber is called “snubberless turn‐off” or “hard turn‐off”, while a process
with the help of a snubber is called snubbered turn‐off. The energy stored in the
snubber capacitor is typically dissipated during the next cycle when the switch
turns on, and this loss can be calculated as

Psnubber 0.5 csnubber vcc2 fsw (2.12)

Therefore a high switching frequency cannot be used if a large snubber

capacitance is used.
So to summarize what has been discussed, the RBSOA is mostly used to
describe a device’s maximum turn‐off capability, while FBSOA is used to measure
the turn‐on capability of a device. FBSOA, as implied by its name, is also used to
measure a device’s capability to withstand high voltage and high current under
short‐circuit conditions. A load short‐circuit (in the case of the Buck shown in
Figure 2.2, the inductor L is shorted or saturated) is a threat to the switch SW if it is
ON or is turning on. A failure in diode DF or a short circuit in DF will also cause the
switch to experience a short‐circuit condition. A short‐circuit can introduce an
extremely high current that generates high instant power dissipation, leading to the
failure of the switch. To effectively protect the switch under a short‐circuit condition,
the capability to limit its maximum current at a given DC link voltage is required.
In this case, the peak instant power is (VCCILIM) while for the device without this
capability it is (vCC2 /r ) , where VCC is the DC voltage, ILIM is the device’s maximum
current limitation, and r is the effective resistance of the switch when it is ON. Since
r is normally low in a practical device, the instant power of a device under a load
short‐circuit without the maximum current limiting is much higher. Figure 2.11

Device without current limiting capability

I

ILIM

Device with current limiting capability

INOM

V
Figure 2.11 Forward I–V characteristics of two type of devices with / without self‐current
limiting capability.
 2.3 STATE‐OF‐THE‐ART POWER SEMICONDUCTORS: A COMPARISON 101

shows the I–V characteristics during the ON state for devices with or without the
self‐current limitation capability. The ability for a switch to limit its maximum
current regardless of the voltage applied is an effective method for limiting its
instant power. A device with FBSOA capability normally has a self‐current limiting
capability, hence can survive a short‐circuit fault for a short time determined by its
thermal limitation. Short‐circuit SOA, or SCSOA, expressed in microseconds, is
typically used to describe the short‐circuit capability of the device. IGBT power
switches are typically capable of a 10 µs short‐circuit without damaging the device.
Si power MOSFETs and SiC MOSFETs are also capable of providing 10 µs or more
short‐circuit capability.

2.3 STATE‐OF‐THE‐ART POWER SEMICONDUCTORS:

A COMPARISON

A modern power semiconductor device operates between ON and OFF states at a

high switching frequency. An ideal switch has zero ON state and OFF state power
losses, and can switch at any frequency. Practical devices do have losses, mostly dur­
ing the ON state and during the switching transitions. To achieve the controlled ON
and OFF transitions, three‐terminal switches are needed where the third terminal
controls the ON/OFF transition by applying either a voltage or a current signal.
Examples of current controlled devices are BJTs, thyristors, and GTO ­thyristors, and
example voltage controlled switches are the MOSFET and IGBT. The insulating gate
in the MOSFET and IGBT substantially reduces the driving power needed during the
switching and is therefore preferred from a user point of view. Two terminal switches
with unidirectional current flow capability such as a diode are also needed in modern
power electronics converters. A combination of a three‐terminal switch together
with an antiparallel diode creates a functional device with bidirectional current
conduction capability and unidirectional voltage blocking capability. This configura­
tion is needed in almost all voltage source converters such as those used in PV, wind
inverters, and EV motor drives. Advanced devices, such as reverse conducting IGBTs
(RC‐IGBTs), have an internally integrated diode; therefore, no external antiparallel
diode is needed. A MOSFET has an internal body diode that can be used as the free­
wheeling diode. However, the reverse recovery current of the body diode may be too
high to be attractive. The situation in a SiC MOSFET is much better since its body
diode has a very low reverse recovery current due to an extremely low carrier life­
time. A series connection of a three‐terminal switch and a diode allows voltage to be
blocked in both directions, and this is frequently used in current source converters.
Advanced devices, such as the reverse blocking IGBTs (RB‐IGBT), can block the
voltage in both directions, hence the external series‐connected diode is not needed.
Generally speaking, the most important specifications for any power device
are its voltage and current ratings. Switching speed is another major specification
that can be used to compare device capability. Devices with various voltage ratings
(breakdown voltage) are developed for applications with varying voltage levels.
102 Chapter 2 Power Semiconductor Devices For Smart Grid SYSTEMS

For critical industry and renewable energy applications, such as PV, wind, EV and
industry motor drives, power devices with breakdown voltages higher than 600 V
are typically required. For power supply applications used in computers, mobile
computing devices, and data centers, power devices with a voltage rating from 20 V
to 600 V are typically used. Different devices are only comparable when they are
designed for the same breakdown voltage, since the performance depends strongly
on the voltage rating of the device.

2.3.1 Voltage Rating

Modern power semiconductor devices are constructed on a substrate crystal wafer
vertically, using several P‐type and N‐type semiconductor layers. Main electrical
terminals are located at the two sides of the chip. The switch function can be
achieved by changing the conductivity of the device from high in the ON state to
low in the OFF state. In the OFF state the device’s conductivity is very low since all
conducting carriers are blocked by a barrier from conducting. The device supports
the high voltage within a depletion region exhibiting very low conductivity. A high
electric field exists in the depletion region as well as the associated surface and
edge areas during the OFF state. The voltage rating is typically defined as the
breakdown voltage when the maximum electric field reaches a critical breakdown
field Ec. Ec is determined by the semiconductor material in question. Electrically, a
large OFF state leakage current will be observed if the breakdown is reached. The
operation voltage is typically selected to be much lower than the breakdown voltage,
and this derating is based on the need to tolerate transient overvoltage spikes as well
as the long‐term reliability of the converter.
For Si material, the critical field, Ec, is about 20 V/µm while for wider band­
gap materials, such as SiC and GaN, Ec is closer to 300 V/µm. This is graphically
illustrated in Figure 2.12 for the three mentioned materials [18]. A chief advantage
of using a wider bandgap material is their higher Ec as well as other preferred
material properties, such as higher thermal conductivity. From the device design
point of view, allowing the electric field to be distributed over a greater distance is
the most frequently used method to achieve a specific breakdown voltage for a
given material, since the integration of the electric field is the applied voltage. In
order to reduce the surface electric field to be below Ec, a technology called junction
termination [19–27] is used that aims at extending the electric field supporting area
at the edge of the device to be even larger than that in the inner region of the device.
A silicon thyristor with a breakdown voltage of 8000 V requires a surface depletion
region of more than 1.3 mm in order to keep the surface peak electric field below
10 V/µm [28]. As a comparison, the same breakdown can be achieved in SiC
material with an inner depletion thickness of less than 70 µm and a surface termina­
tion region of around 200 µm. It is, therefore, a much easier task for SiC power
devices to achieve extremely high breakdown voltages. The literature has reported
27 kV SiC IGBTs [29] and 22 kV SiC GTO/ETOs [30]. These blocking voltages are
far higher than any Si power devices reported [31, 32].
 2.3 STATE‐OF‐THE‐ART POWER SEMICONDUCTORS: A COMPARISON 103

Si 4H-SiC Wurtzite GaN

Critical electrical
field(MV/cm)
Low on-state losses 4 High voltage capability
3

2
Electron mobility Energy bandgap(eV)
(103cm2/V-s) 1

High temperature
operation

Electron saturation Thermal

velocity(107cm/s) conductivity(W/cm-K)
Figure 2.12 The pentagon diagram showing the critical material properties important to
power semiconductor devices. A larger pentagon is preferred [18]. (See electronic version
for color representation of this figure.)

2.3.2 Current Rating

The current rating is selected so that when the device conducts current in the ON
state, the generated heat is reasonable and does not cause the device to exceed its
maximum operating temperature. The motivation of device innovation is to increase
the current density for a given breakdown voltage. For devices exhibiting an ohmic
ON state voltage–current relationship, such as the MOSFET, the current density of
the device is expressed in Eq. (2.13a), while for devices exhibiting nonlinear I–V
characteristics such as a diode, thyristor or IGBT, it is expressed in Eq. (2.13b).

tj,max tcase
J (2.13a)
rjc sp ron sp

tj,max tcase
J (2.13b)
rjc sp vF

Here, Rjc‐sp is the specific thermal resistance from junction to case, expressed in
°C‐cm2/W, and Ron‐sp is the specific on‐resistance, expressed in ohm‐cm2. Both
­quantities are not related to the chip area. Tj,max is the maximum junction temperature
of the device and Tcase is the case temperature of the packaged device. In Eq. (2.13b),
VF is the ON state forward voltage drop of the device expressed in volts. From
Eq. (2.13a), it is clear that a 100‐times reduction in Ron‐sp could result in tenfold
improvement in the current density of the device. On the other hand, a reduction in
the forward voltage drop, VF, will directly result in an increase of the current density
104 Chapter 2 Power Semiconductor Devices For Smart Grid SYSTEMS

14000
Diode ABB 5SDD 0135Z0401
400V 13500A
Thyristor
12000 ABB 5STP50Q1800
1800V 6100A Thyristor IGBT
ABB 5SDD 60Q2800 IGCT
2kV 7385A Diode
10000 GTO
ABB 5SDD 65H2400
2400V 6520A Diode Diode
Current rating (A)

ABB 5SDD 54N4000

8000 3600V 5200A Diode
ETO
ABB 5SDD 50N5500
Thyristor 5kV 4570A Diode
6000 ABB 5STP48Y7200
ABB 5SLA 3600E170300 7200V 4840A
Fuji Electric 1MBI3600VS-170E Mitsubishi FG4000GX-90DA
Infineon FZ3600R17HP4 4500V 1200A GTO
4000 1700V 3600A IGBT 5SNA3000K452300 POWEREX
IGBT ABB 4.5kV 3kA IGBT RBK86525XX Mitsubishi
ABB 5SHY 35L4522 6500V 3200A Diode FT1500AU-240
IGCT 4500V 2100A IGCT 12kV 1500A
ABB 5SHY 42L6500
2000 6500V 1290A IGCT
GTO
Mitsubishi Mitsubishi CM750HG-130R
FG4000EX-50DA NCSU ETO4045TA ABB 5SNA0750G650300
2500V 1600A GTO 4500V 1390A ETO 6.5kV 750A IGBT
0
0 2500 5000 7500 10000 12500
Voltage rating (V)
Figure 2.13 State‐of‐the‐art commercial Si power devices in terms of the upper boundary
of the voltage and current ratings achieved in a single‐packaged device. The current rating
shown is the DC current rating at a case temperature of 85 °C. (See electronic version for
color representation of this figure.)

according to Eq. (2.13b). Higher current density, J, results in a smaller chip area,
and hence lower cost, since I = J × Achip. Many device innovations that will be dis­
cussed below are related to leapfrog reduction in Ron‐sp or VF. For a given generation
of technology (J is fixed), increasing the chip area Achip or parallel many devices in
a module is needed in order to scale the current rating into thousands of amperes.
Taking into account the manufacturing yield, the maximum chip size is typically
less than 1 cm2.
One way to compare state‐of‐the‐art power devices, especially their com­
mercial readiness, is to compare their absolute voltage and current ratings. This
is shown in Figure 2.13 for commercially available Si power devices, and
Figure 2.14 for SiC and GaN power devices. Since the current rating is deter­
mined by the underlying device technology (as suggested by Eqns (2.13a) or
(2.13b)) as well as the total packaged chip area, it also represents the state‐of‐the‐
art in manufacturing and packaging technology. Figure 2.13 clearly shows that
the Si thyristor and Si diode have achieved the highest voltage and current ratings
due to the excellent bipolar conduction mechanisms in these two devices. These
two devices are also manufactured in a single wafer using a bevel‐edge termina­
tion technology [26–28] and packaged in a so‐called press‐pak package, as shown
 2.3 STATE‐OF‐THE‐ART POWER SEMICONDUCTORS: A COMPARISON 105

Hybrid SiC module POWEREX CMH1200DC-34S

1000 Fuji 2MSI1200VAT-170EC
Full SiC module 1700V 1200A Hybrid SiC module
MITSUBISHI
FMF800DX-24A SEMIKRON SKM260MB170SCH17
1200V 800A Full SiC module 1700V 383A Full SiC module
GeneSiC GA100JT12-227 GeneSiC GA100JT17-227
1200V 160A BJT 1700V 160A BJT
BJT
GeneSiC GB50SLT12-247
100
Current rating (A)

1200V 100A SBD GeneSiC GA080TH65

Thyristor GaN System Wolfspeed C2M0045170D 6500V 80A Thyristor
GS66516T 1700V 72A MOSFET
650V 60A
JFET
Wolfspeed C3D25170H
USCi GeneSiC GB10MPS17-247
UJN1205K 1700V 25A SBD
1200V 38A JFET
10
Rohm SCT3017AL Rohm SCT3022KL
650V 118A MOSFET 1200V 95A MOSFET
GeneSiC
GA01PNS80-220
8kV 2A PIN
GeneSiC
PIN Diode GA01PNS150-220
15kV 1A PIN

1
1000 10000
Voltage rating (V)
Figure 2.14 State‐of‐the‐art commercial WBG power devices in terms of the upper
boundary of the voltage and current ratings achieved in a single‐packaged device.
The current rating shown is the DC current rating at a case temperature of 25 °C.

in Figure 2.15. Connected in series, high‐power Si thyristors are the key device
enabling ultra‐high voltage high power HVDC power stations, and the largest
one has a power‐handling capability of 8 GW operating at ±800 kV [33]. For
three‐terminal devices that have controlled turn‐on and turn‐off, the IGBT, GTO,
IGCT, as well as the ETO have also achieved excellent power‐handling capability
suitable for ultra‐high power applications. The IGBT is typically packaged in a
multichip module as shown in Figure 2.15, although there is an increasing interest
in press‐pak IGBT [34–37] due to improved reliability in critical applications
such as VSC‐based HVDC power stations [35]. VSC‐based HVDC, which typi­
cally uses IGBT as the switching device, has reached a power rating of 3 GW
operating at ±500 kV [33].
Although only introduced to the market in the last decade, SiC and GaN
power devices have also made significant progress in terms of commercially avail­
able voltage and current ratings, as shown in Figure 2.14. Nevertheless, there is still
a big gap in matching the current ratings of Si power devices as shown in Figure 2.13.
To fill this gap, hybrid devices formed by Si IGBTs and SiC diodes are being
offered [38–39] as shown in Figure 2.14 for devices at 1700 V and 1200 V levels.
High‐power WBG devices above 1700 V have yet to be introduced to the market,
106 Chapter 2 Power Semiconductor Devices For Smart Grid SYSTEMS

(a) (b)

Typical appearance

(c)

Puces sur tranche silicium

IGBT seul

Sous-
module
Module StakPakTM

Figure 2.15 (a) ABB 150 mm/8.5 kV thyristor wafer and its press‐pak packaging.
(b) Infineon wire bond type IGBT module. (c) ABB press‐pak IGBT.

although some low‐current devices are already available at very high voltages.
Compared with SiC, GaN power devices are only available at relatively low voltage
(<650 V) and current levels (<100 A).
Another way to compare the devices is to compare the underlying device
technology, which can be represented by the specific on‐resistance, Ron‐sp, value at
a given breakdown voltage. Since Ron‐sp is independent of the chip area, it repre­
sents the intrinsic device capability or the figure‐of‐merit (FOM) from the
conduction loss point of view. Figure 2.16 summarizes Ron‐sp for many commercial
and reported power devices as a function of the breakdown voltage. For bipolar
devices such as IGBTs and GTOs, its current–voltage relationship during the ON
state exhibits a nonlinear relationship, so the differential on‐resistance is plotted.
Several theoretical lines are also plotted to indicate the theoretical Ron‐sp values for
the corresponding devices. For example, the Si 1D, SiC 1D, and GaN 1D limits
 2.3 STATE‐OF‐THE‐ART POWER SEMICONDUCTORS: A COMPARISON 107

Si LDMOS
Si SJ-MOS
Si IGBT
100
SiC BJT
SiC GTO
SiC IGBT
SiC PIN
SiC JFET
Ron-sp(mOhm-cm2)

SiC MOSFET
10 it
lim
BT
S i IG

it
lim
1 t i on th
c
un r wid
erj
s up pilla
Si 1um

1D limit
it
lim

it
lim
it

T
GaN HEMT
lim
1D

M
HE GaN diode
1D

li mit
Si

MOS N
aN

GaN MOSFET
C

Ga
SiC
Si

0.1
G

100 1000 10000

Voltage (V)
Figure 2.16 Specific on‐resistance Ron‐sp vs. breakdown voltage achieved by modern
power devices. (See electronic version for color representation of this figure.)

represent the theoretical Ron‐sp of a vertical, unipolar power device’s resistance as

expressed in Eq. (2.14) [40]:
4 bv 2
ron­sp (2.14)
ec3
The denominator of this equation is only determined by the material prop­
erties of the semiconductor. It clearly shows that a larger critical electric field Ec
will result in lower Ron‐sp. This is the major reason for developing unipolar devices
on SiC and GaN since there is more than a thousand times reduction potential for
the SiC or GaN unipolar power devices due to the tenfold increase in the critical
electric field. Commercial and reported SiC and GaN devices shown in Figure 2.16
have yet to reach this full potential due to the limitation in device structure (which
is mostly 2D or 3D, instead of the 1D assumption in Eq. 2.14), design, channel
mobility, and other resistances that are not taken into account in Eq. (2.14). The
channel mobility in SiC, for example, is still much lower than Si; thus the equation
is less accurate in predicting the actual device’s Ron‐sp.
The on‐resistance of a Si superjunction (SJ) MOSFET [8] also does not
follow Eq. (2.14). For the SJ MOSFET, the theoretical limit is expressed as:
bv cp
ron­sp (2.15)
2 ec2
108 Chapter 2 Power Semiconductor Devices For Smart Grid SYSTEMS

where Cp is the cell pitch of the SJ device cell (discussed in detail later). The SJ
MOSFET resistance is linearly dependent on the breakdown voltage, instead of BV2
for a conventional device. Smaller cell pitch, Cp, will also help to lower the Ron‐sp.
Therefore SJ MOSFET resistance can be much lower than the Si limit given in Eq.
(2.14). Several generations of SJ MOSFET have been commercially introduced,
and the data shown in Figure 2.16 clearly shows the amazing achievement in
commercial SJ MOSFETs in breaking the Si 1D limit. Currently, the SJ MSOFETs
are produced in the range of 500 V to 900 V where they have the advantage of being
low loss (low Ron) and fast in speed.
The bipolar Si IGBT also does not follow the Si 1D limit because two carriers
conduct the current, which results in much higher conductivity, and hence, lower
Ron‐sp. For Si IGBT, a theoretical prediction of the forward drop/on‐resistance is con­
ducted in [41] based on the assumption of an “ideal carrier profile.” It shows that,
even if comparing the Si IGBT with the new SiC MOSFET, the IGBT is still superior
in the voltage range above 1.5 kV from the conduction point of view. Today’s
commercial IGBTs have not reached the full performance potentials ­predicted by
this, and is the motivation behind many IGBT device innovations discussed later.
SiC IGBT, GTO and PIN diodes, due to strong conductivity modulation, have clearly
surpassed even the SiC 1D limit by an order of magnitude in terms of the differential
resistance. At least another order of magnitude reduction is possible with improved
carrier profile and lifetime enhancement in these devices.

2.3.3 Switching Frequency

Modern power converters require the power device to switch at high frequencies.
Benefits of switching at higher frequencies include improved dynamic response
and reduced passive component size and weight. Reducing passive component size
is critical for high‐density power electronics. Therefore, the switching frequency is
another important parameter that can be used to compare power devices. The upper
limit of the switching frequency is constrained by the device’s switching losses dur­
ing turn‐on and turn‐off. Hence, the switching frequency is not a theoretical limit of
how fast the device can switch, but a compromise between the conduction and
switching losses. Sound design requires these two losses to be about the same, each
equaling about half of the allowed maximum power dissipation. In soft switching
converters, the switching loss is reduced to almost zero, therefore the upper limit
of the switching frequency is determined by other considerations, such as the
performance of magnetic components at high frequency.
Generally speaking, unipolar power devices can switch at much higher
frequencies since the switching losses are only related to the charge and discharge
of the parasitic capacitance. For bipolar devices, however, it is related to the build‐
up and removal of the stored excess carriers. As more stored carriers are needed in
high‐voltage bipolar devices, they are also much slower than low‐voltage devices;
hence, they will have to switch at a lower frequency. Figure 2.17 shows the switch­
ing frequency versus the converter power‐handling capability surveyed for many
 2.3 STATE‐OF‐THE‐ART POWER SEMICONDUCTORS: A COMPARISON 109

Power converter rating vs. switching frequency

Thyristors IGBT SiC ZVS SiC

1.0E+10 Thyristor in HVDC [160]

T

1.0E+09 IGBT in HVDC [152] 6.5 kV IGBT in

Locomotive [162]
1.0E+08 IGCT [161]
1.2 kV SiC
MOSFET [163]
Power rating (W)

1.0E+07 ETO [153]

10 kV SiC MOSFET [139]
1.0E+06
SPEC Gen-III SST[140]
Thyristor

1.0E+05
IGBT

1.2 kV SiC

SiC ZVS
1.0E+04 SiC JFET [164] 900 V SiC
MOSFET [165]

1.0E+03
1.2 kV SiC
MOSFET [48]
1.0E+02
1.0E+01 1.0E+02 1.0E+03 1.0E+04 1.0E+05 1.0E+06 1.0E+07 1.0E+08
Switching frequency (Hz)
Figure 2.17 Switching frequency versus power level for many surveyed power electronics
systems. (See electronic version for color representation of this figure.)

state‐of‐the‐art power electronics systems. Very high‐power thyristors‐based

­converters, such as those used in HVDC, require the device to switch at the line
frequency (50 or 60 Hz) since it does not have the gate‐controlled turn‐off capa­
bility. Silicon thyristors are manufactured as bidirectional voltage blocking devices,
so voltage reversing in an AC circuit is used to achieve the turn‐off (this is also
known as line‐commutation). For this reason, the gate‐controlled turn‐off is also
called forced commutation. High‐power GTO/IGCT/ETO/IGBT all have the forced
commutation capability, and they switch between 60 Hz to a few hundred hertz. In
medium‐power industry applications, such as PV, wind, and motor drives, 600 V to
1700 V IGBTs are the dominant devices of choice and they typically switch from
10 kHz to 20 kHz. Faster IGBTs with lower turn‐off energy loss, Eoff, can be
designed by reducing the stored charge inside the device at the expense of increased
forward voltage drop, VF. Therefore, there is typically a trade‐off between the turn‐
off loss, Eoff, and the VF. Each generation of IGBT typically has a constant Eoff–VF
tradeoff curve [42, 43], but different products can be tailored to situate along the
Eoff–VF trade‐off curve as shown in Figure 2.18.
Figure 2.17 clearly shows that SiC‐based power electronics systems have
increased the switching frequency by about an order of magnitude compared with
the IGBT systems at the same power level. With a soft switching technique,
another order of magnitude increase in switching frequency has been clearly dem­
onstrated. These SiC devices, such as SiC MOSFET and JFET (junction field
110 Chapter 2 Power Semiconductor Devices For Smart Grid SYSTEMS

300

C)

)
C)

°C
50°
250

75°

0
15
=1

=1

=
(Tj

(Tj
Collector current [A]

(Tj
200

7G

6G
7G
150

100

50
Vge = + 15V
0
0 1 2 3 4 5
Collector - emitter voltage [V]

60

6G-IGBT
50
7G-IGBT
Turn-off energy [mJ/pulse]

–0.4V
40

30 –30%

20 Vcc = 900 V
Ic = 150 A
Vg = + 15 V/–15 V
10 Tj = 150deg.C
Rg = 7.5 Ω
0
1.5 2.0 2.5 3.0 3.5
On-state voltage drop [V]
Figure 2.18 Performance of a 1700 V seventh‐generation IGBT versus sixth‐generation
IGBT. The forward I–V curve is shown on the left, and the Eoff–VF trade‐off curve is shown
on the right [42].

effect transistor), are all unipolar devices, so they are inherently faster than
Si IGBT. Many literatures have experimentally compared the switching loss
advantage of SiC MOSFETs over Si IGBTs, and have demonstrated the clear
advantage of as much as tenfold switching loss reduction in hard switching
­converters. Figure 2.19 [44] shows an efficiency comparison of a SiC MOSFET
converter with IGBT/SiC diode hybrid module. The efficiency is nearly
independent of the switching frequency, which indicates that the switching loss is
very low in the SiC converter. The upper limit of the SiC MOSFET in terms of
 2.3 STATE‐OF‐THE‐ART POWER SEMICONDUCTORS: A COMPARISON 111

100.0

99.8 Full-Sic

Converter efficiency α (%)

99.6
2 kHz 5 kHz 10 kHz 20 kHz
50 kHz
99.4
0.1%
99.2 0.7%
99.0 Hybrid-II

98.8 Hybrid-I

98.6
(a) j = 200 A/cm2
98.4
1.0E + 03 1.0E + 04 1.0E + 05
Switching frequency f(Hz)
Figure 2.19 Calculated converter efficiency for a 1200 V SiC MOSFET system versus
that based on IGBT/SiC diode hybrid power module [44].

switching frequency is, therefore, significantly higher than 50 kHz. This creates
the expectation that many future WBG power electronics system for renewable
energy and clean transportation could take advantage of this feature in achieving
higher power density.
The upper frequency limit of unipolar power devices can be theoretically
­calculated since the switching loss of a unipolar device such as the SiC MOSFET
is dominated by the gate‐drain charge, Qgd. From the material property point of
view, a high critical electric field, Ec, will result in higher unit area charge since
Q ~ ƐEc; hence, higher Qgd per unit area is expected in WBG devices. Therefore, the
capacitance in WBG power devices will actually be higher on a per‐area basis.
However, due to the reduction in Ron‐sp, the overall chip size is significantly smaller,
so the net charge/or capacitance can be smaller. Several material figures‐of‐merit
(FOMs) have been derived by Huang [45] and are updated in Table 2.4 with recent
material data [18, 46, 47] for a number of important WBG materials. The higher
FOMs are better. The HMFOM (Huang’s Material FOM) represents the total
loss reduction potential when circuit conditions, including switching frequency,
are fixed. HCAFOM (Huang’s Chip Area FOM) represents the chip size
reduction potential, and HTFOM (Huang’s Thermal FOM) represents the thermal
performance. From Table 2.4, the 4H–SiC MOSFET will theoretically have five
times lower losses than silicon MOSFET, 31 times smaller chip area, and about
50% percent higher junction‐to‐case temperature rise if both are designed to operate
under similar conditions. For vertical GaN unipolar power devices, more reductions
in loss and chip size are expected, but thermal performance in GaN vertical power
devices is much worse (higher temperature rise). A diamond vertical power device,
on the other hand, is predicted to have a 2700 times smaller chip area.
112 Chapter 2 Power Semiconductor Devices For Smart Grid SYSTEMS

The HTFOM in Table 2.4 can also be used as the switching frequency FOM.
It indicates that hard switching WBG switches will be limited in their frequency by
the poor thermal conductivity and/or small chip size. This is compared with Si uni­
polar devices and not bipolar devices, such as the IGBT. This theoretical predica­
tion also does not apply to devices operating under the so‐called soft switching
condition. A soft‐switched SiC converter at 3.36 MHz has recently been reported
[48]. All data shown in Table 2.4 are also normalized against a standard Si vertical
MOSFET and, therefore, does not apply to lateral power devices such as lateral
GaN HFET. Commercially available WBG power devices, as shown in Figure 2.16,
have not reached the Ron‐sp reduction potential predicted by Eq. (2.14). Their chip
size reductions have also not achieved that predicted by the HCAFOM in Table 2.4.
Table 2.5 has more data on the current state of die size shrinking.
Another simpler way to compare the switching performance of real‐world
unipolar power devices is to use information from the device datasheet. Four state‐
of‐the‐art power devices, a 600 V Si MOSFET, a 650 V SJ MOSFET, a 900 V SiC
MOSFET, and a 600 V GaN HFET, are compared in Table 2.5. In this case, several
device‐level figures‐of‐merit, DFOMs, are used to judge the device performance
and their capability for high‐frequency operation. The thermal performance and
cost are also compared. In Table 2.5, a lower DFOM is better. DFOM1 defines the
gate drive loop speed, and DFOM2 is directly related to the hard switching loss,
hence can be used to judge the device capability in hard switching converters.
DFOM3 is useful to compare the device in soft switching converters. Finally,
DFOM4 is used to compare the reverse recovery performance of the body diode.
Table 2.5 clearly shows that there is a substantial die size reduction when tech­
nology progresses from conventional Si MOSFET to SJ MOSFET to SiC. The SiC
MOSFET is about 20 times smaller than the Si device. The size reduction in GaN
is less significant compared with the case of SiC, because the GaN device is a lat­
eral power device instead of a vertical one, and its Ron‐sp reduction is less. On the
other hand, the larger die size results in a better thermal performance. The lateral
GaN also has a clear advantage in offering even lower capacitance/gate charge. This
is the result of the lateral structure. Substantial reduction in DFOM1, DFOM2 and
DFOM3 suggest the SiC and GaN power devices are well positioned to operate at
higher frequencies in hard switching or soft switching converters. The more than
two orders of magnitude reduction in DFOM4 is directly related to the almost zero
reverse recovery charge in the SiC and GaN power devices. In the SiC MOSFET,
the Qrr is also close to zero due to very poor minority carrier injection in the body
PN junction diode. In the case of the GaN, there is no P region in the device, and
reverse recovery charge is simply the charge needed to charge the output capaci­
tance. Hence, lateral GaN HFET has additional advantages in applications where
higher switching frequency is desired. However, the lateral structure limits the GaN
device breakdown voltage to below 1200 V. It is expected that lower power systems
could see a competition between SJ MOSFET, SiC MOSFET, and GaN HFET,
while in medium to higher power systems, the competition is between IGBT and
 TABLE 2.4 Figure‐of‐merit comparison of Si, GaN and diamond materials.

Critical electric Thermal HTFOM

HMFOM HCAFOM
Semiconductor Electron mobility, Relative dielectric field, Ec conductivity, th
2
materials μ (cm2/V‐s) constant, ε (MV/cm) σth (W/cm‐K) EC EC EC

Si 1360 11.7 0.3 1.3 1 1 1

4H‐SiC 700 9.7 2.2 3.7 5.26 31.99 0.47
Wurtzite GaN 1500 8.9 3.3 1.3 11.55 96.66 0.12
Diamond 2200 5.7 20 20 84.79 2753.90 0.47

TABLE 2.5 A device‐level comparison among three unipolar power transistors.

Breakdown Current DFOM1 DFOM2 DFOM3 DFOM4

voltage/ Wafer size Die area density Ron = Ron*Qg = Ron*Qgd = Ron*Qoss = Ron*Qrr Normalized
Device current (mm) (mm2) (A/cm2) (ohm) (ohm‐nC) (ohm‐nC) (ohm‐nC) (ohm‐nC) Rjc (°C/W) die cost

Si MOSFET 600 V/30 A N/A 41*** N/A 0.24 19.68 7.2 48.9 960 0.23 N/A
SJ MOSFET 650 V/11 A 200 6.6 170 0.220 4.4 1.32 83.7 1320 1.99 1
SiC MOSFET 900 V/11.5 A 100 2.1 540 0.280 2.66 0.95 6.93 13.16 2.3 4
GaN HFET 600 V/15 A 150 6.5 230 0.110 0.11 0.11 3.08 2.8 1 3.6

Si MOSFET = IXTH30N60P; SJ MOSFET = IPD65R225C7; SiC MOSFET = C3M0280090D; GaN HFET = GS66504B.
***Estimated die size.

113

0004339650.INDD 113 06/19/2019 3:58:37 PM

114 Chapter 2 Power Semiconductor Devices For Smart Grid SYSTEMS

SiC MOSFET. Since most IGBT systems operate at relatively low frequencies,
there is a need to explore new applications that can benefit from the SiC MOSFET’s
higher switching speed.

2.3.4 Maximum Junction Temperature

From Eqs (2.13a) and (2.13b), it is also clear that there is a benefit if the device can
operate at higher temperatures. The maximum operating temperature is typically
limited by the material property, since the leakage current during the OFF state
increases exponentially with the increase of the temperature. This limitation, plus
other factors such as the associated packaging technology as well as thermal cycling
determined reliability, result in a typical temperature of 125 °C in silicon power
devices. Advanced Si power devices are being developed and rated at 150 °C and
175 °C. WBG materials can operate at much higher temperatures from the leakage
current point of view, since the intrinsic carrier concentration in these materials is
inversely proportional to the exponent of the bandgap ni ~ exp(−Eg/2kT). However,
there is another limitation on increasing the junction temperature because of the
temperature dependence of Ron‐sp or VF. Devices like MOSFETs tend to have a
positive temperature coefficient α expressed in Eq. (2.16a), while devices like
IGBTs (see Figure 2.18), and PN junction diodes typically have a small positive
temperature coefficient β expressed in Eq. (2.16b).

t
ron­sp t ron­sp t0 (2.16a)
t0

vF t vF t0 1 t t0 (2.16b)

Different device technology tends to have different temperature coefficients

α and β. For unipolar power devices such as MOSFET, α is in the range of 1.5 to 4.
Figure 2.20 shows examples for a 900 V Si CoolMOS, 1200 V SiC MOSFET, as
well as a research prototype 15 kV SiC MOSFET. Higher Ron‐sp at high temperature
is a direct result of the decreased electron mobility, since electron mobility μn ~ (T)−n,
where n = 1.5 and 2.8 respectively for Si and SiC. Such an increase in the on‐­
resistance results in a diminished return in increasing the junction temperature, as
suggested by Eq. (2.13a). Hence an optimal maximum junction temperature exists
and can be expressed as

t j max,opt ta (2.17)
1

where Ta is the ambient temperature. For the three example devices shown in
Figure 2.20, the maximum junction temperatures are limited to 227 °C, 500 °C, and
120 °C respectively.
Some devices have negative temperature coefficients or very small positive
temperature coefficients; hence, they are more suitable for high‐temperature
 (a)
0.35

0.3

0.25
98 %

RDS(on) [Ω]
0.2
Typ

0.15

0.1

0.05

0
–60 –20 20 60 100 140 180
Tj [°C]

(b)
1.8
Conditions:
1.6 I = 50 A
V = 20 V
On resistance, RDS On (P.U.)

t < 200 μs
1.4
1.2

1.0

0.8

0.6
0.4

0.2
0.0
–50 –25 0 25 50 75 100 125 150
Junction temperature, TJ (°C)

(c) >13 kV 10A SiC MOSFET Rds(on)

3.5

3.0

2.5
RdS_On(Ω)

Vgs = 10 V
2.0
Vgs = 12 V
Vgs = 14 V
1.5
Vgs = 16 V
Vgs = 18 V
1.0
Vgs = 20 V

0.5

0.0
0 50 100 150 200 250
Temperature(°C)
Figure 2.20 Ron as a function of the temperature. (a) 900 V Si CoolMOS [49], α = 2.4.
(b) 1200 V commercial SiC MOSFET [50], α = 1.54. (c) Measured Rds‐on for a prototype 15 kV
SiC MOSFET from Wolfspeed [51], α = 3.5. (See electronic version for color representation
of this figure.)
116 Chapter 2 Power Semiconductor Devices For Smart Grid SYSTEMS

(a)
1.E + 09
Tjmax = 150°C
(7th gen.)
1.E + 08
Number of cycles [cycle]

1.E + 07
2 times
Tjmax = 150°C higher
Tjmax = 175°C
1.E + 06 (6th gen.) (7th gen.)

1.E + 05 More
output T = 175°C
jmax
(6th gen.)
1.E + 04
20 30 40 50 60 70 80 90 100
Delta junction temperature: ∆Tj [degree]

(b) Thermal stability of INF1 (600 V SBD, 2004)

2
1.8
1.6
1.4
(dP/DT)*Rth

1.2
1
8A, 600 V
0.8
0.6 6A, 400 V
0.4
0.2
0
350 400 450 500 550
Temperature (degree C)
Figure 2.21 (a) Impact of maximum junction temperature Tj,max on the thermal cycling
capability of the IGBT [42]. (b) A critical thermal runaway temperature calculated for a
SiC Schottky barrier diode (SBD) [52]. (See electronic version for color representation of
this figure.)

operation provided that the packaging technology, reliability, and leakage current also
pass the qualification test. Modern IGBTs exhibit a very small positive temperature
coefficient, β, as clearly seen in Figure 2.18. Therefore, the leakage current limitation
or other considerations, such as the device thermal cycling capability, dominate the
criteria in selecting the maximum junction temperature. For example, the thermal
cycling capability of the IGBT module typically degrades when Tj,max is higher, as
clearly shown in Figure 2.21a. Improved packaging techniques need to be introduced
to obtain adequate thermal cycling capability at high ∂(T). Similarly, IGBT switching
losses tend to increase as a function of the temperature; therefore, the thermal ­runaway,
defined in Eq. (2.18), could present another limitation on the selection of the maximum
 2.4 RECENT INNOVATIONS IN SI POWER DEVICES 117

operating temperature of power devices. Figure 2.21b shows the thermal runaway
temperature for a SiC SBD under test conduction. In this case, thermal runaway tem­
perature happens above 450 °C; therefore, it is not the dominating factor for the tested
SBD. Due to the limitation in the conduction current, leakage current, packaging
­reliability, as well as the thermal runaway limitation, today’s Si power devices are
generally rated for 125–175 °C operation. Commercial SiC and GaN are also cur­
rently limited to 175 °C. The pace in increasing Tj,max is relatively slow. When using Si
driver chips to drive WBG power devices, another limitation may be imposed by the
temperature limit of the Si driver chips. This depends on the placement of the driver
chip and its thermal coupling with the WBG devices.

Ploss
rja 1 (2.18)
t

2.4 RECENT INNOVATIONS IN SI POWER DEVICES

The above discussion makes it clear that Si power devices are still the workhorse
device in power electronics applications, although they are being increasingly
­challenged by WBG power devices. Additional innovations are still expected in Si
power devices to maintain or expand their current market leadership position.
Several important innovations in Si power devices in the last decade are reviewed
in this section.

2.4.1 Silicon Superjunction (SJ) MOSFET

The SJ concept for vertical power devices was introduced in the mid‐1990s [8, 53, 54]
to break the Si 1D limit shown in Eq. (2.14). The SJ MOSFET cell structure is shown
in Figure 2.22. A vertical P layer or P column is introduced to compensate for the
charges in the N drift layer when the device is in the OFF state. This concept is the
same as the much earlier RESURF concept [55] which has been applied to many
­lateral power devices. As a result, the electric field in a SJ device has been shaped
from the triangle distribution to the rectangular shape, while the N drift layer doping
has been increased. Both effects lead to the decrease of the on‐resistance as predicated
by Eq. (2.15). The concept has quickly become a commercial success, and many
generations of device have been introduced by Infineon, ST Microelectronics,
­
Toshiba, and many other vendors. Today, it is the device structure of choice for Si
power MOSFETs in the range of 500 V to 900 V, and the SJ MOSFET market is
expected to reach $2.2 billion by 2020 [56].
The most challenging aspect of fabricating the SJ MOSFET is to form the
vertical P column. Two popular methods exist, and both are commercially used.
Figure 2.23a shows the multi‐epitaxial growth method used by Infineon’s CoolMOS.
This method implants the P column on a thin N drift layer. The wafer then grows
another N layer, and the process is repeated until a total thickness of about 50 µm is
118 Chapter 2 Power Semiconductor Devices For Smart Grid SYSTEMS

Cell pitch Cp

Source Gate Source Gate

+N +N +N +N
P P Efield

50 um N-drift N-drift
P– P–

SJ MOSFET
N+ substrate N+ substrate
≈ 100∼400 um ≈ ≈
Drain Drain
Conventional MOSFET SJ MOSFET
Figure 2.22 Conventional and SJ MOSFET structures. A 50 µm thick epi‐layer is the
typical epi thickness needed for a 600 V device. (See electronic version for color
representation of this figure.)

Figure 2.23 Two popular implementation strategies for forming the P compensation layer.
(a) Multi‐epitaxial growth used by Infineon, etc. (b) Deep trench etch and regrowth method
for forming the SJ.

obtained. In contrast, the deep trench etch and refill method (Figure 2.23b) relies on
a single deep trench etch in the range of 45 µm, and then grows a P layer to fill the
trench to form the compensation P columns. There are pros and cons for each
method. The multi‐epitaxial has more degrees of freedom in controlling the P layer
doping, which is a critical parameter in achieving the intended static breakdown
voltage. On the other hand, this would be harder in the deep trench method since a
single regrowth is used to form the entire P column. The imperfection interface
caused by deep reactive ion etch (RIE) could cause additional issues in the
 2.4 RECENT INNOVATIONS IN SI POWER DEVICES 119

reliability of the device. The advantage of the deep trench method is that the process
is simpler and has the potential to lower costs.
Due to the increased PN junction area, the minority carrier injection in the SJ
MOSFET is substantially enhanced when the body diode conducts. This results in
a very large stored charge. This creates a very poor reverse recovery characteristic
(see Table 2.5 for a comparison). For this reason, SJ MOSFET is typically not suit­
able for applications where third quadrant operation is needed, such as in a voltage
source inverter. Today, due to the introduction of 600 V SiC MOSFETs and GaN
HFETs, these three devices are competing for the power supply market where the
SJ MOSFET is currently the device of choice. A comparison is made in Table 2.5.
The SJ MOSFET cost is still the lowest, at about a quarter of the cost of a GaN
HFET or SiC MOSFET.

2.4.2 Thin Wafer Field Stop IGBT (FS‐IGBT)

IGBT technology was the most important concept introduced almost immediately
after the planar power MOSFET was introduced [6]. The introduction of two car­
riers in the current conduction allows the current density to be increased much
higher than the MOSFET. Early issues related to parasitic thyristor latch‐up were
very quickly suppressed through design and process optimization, and full gate‐
controlled current saturation allowed the device to operate under high‐voltage
short‐circuit condition. A short‐circuit safe operation area (SCSOA) measured by a
short‐circuit time in excess of 10 µs has been established as a new IGBT device
standard. This capability, plus large snubberless turn‐off SOA (RBSOA), allows the
ruggedness of the device to be significantly better than other Si devices, such as
GTOs and BJTs. Overcurrent protection also becomes simpler. Together with a
very low forward drop due to the conductivity modulation, the device’s ratings were
quickly expanded from 600 V to 6500 V. They have therefore quickly replaced GTO
and BJT in medium‐ to high‐power applications. As clearly shown in Figures 2.13
and 2.17, the IGBT dominates the industry of power electronics applications.
To increase the current rating further, the IGBT module was introduced with
paralleled IGBT and freewheeling diode (FWD) chips (see Figure 2.15). High
current rating devices of more than 3600 A [57] have been achieved by paralleling
many chips. Figure 2.24 shows a tested RBSOA and SCSOA of a 3300 V/1800 A
IGBT module [58]. The turn‐off current is 5.6 times the nominal current, and the
resulting peak power reached 26.8 MW. The traditional limitation in terms of
dynamic avalanche is no longer limiting the RBSOA of the IGBT. Similarly, the
same module also exhibits extremely robust SCSOA as shown in Figure 2.24b. The
power stress under this condition also reached 15 MW for more than 10 µs.
From the technology point of view, several generations of IGBT technology
have been introduced through three decades of innovation and industrialization. As
mentioned before, the major driver of the innovation is to improve the performance,
which is governed by the Eoff–VF trade‐off. Other factors that must also be con­
sidered include the SCSOA and RBSOA. Some vendors call the latest IGBT the
120 Chapter 2 Power Semiconductor Devices For Smart Grid SYSTEMS

(a)
Ic = 10105A Vdc = 2500V Ls = 100nH
Rg,off = 1.5 Ohm Cge = 330nF Tj = 150°C
11000 4500
Ic PpOff = 26.8MW

7500 3250

5.6 × Ic_nom

Vce [V], Vge [V] × 10

Vce
Ic [A]

4000 2000

Ic_nom

500 750

Vge

–3000 –500
1 2 3 4 5 6 7
Time [us]

(b) Vdc = 2500 A Ls = 100nH Tj = 25°C

Rg,on = 1Ohm Rg,off = 1.5Ohm Cge = 330nF
3200 12000

Vce
2500 9000
Vce [V], Vge [V] × 10

1800 6000
Ic
Isc [A]

1100 3000

400 0
Vge

–300 –3000
0 2 4 6 8 10 12 14 16
Time [us]
Figure 2.24 ABB 3.3 kV IGBT module [58]. (a) Turn‐off under extreme SOA conditions.
(b) Short‐circuit under nominal SOA conditions.

seventh‐generation IGBT [42], but a much simpler classification is offered in

Figure 2.25a. The earliest IGBT is based on the planar gate structure with a double
diffusion MOS channel (DMOS) and the so‐called punchthrough (PT) vertical PNP
structure. The drift layer that supports the breakdown voltage is epitaxially grown
 2.4 RECENT INNOVATIONS IN SI POWER DEVICES 121

(a)
Gate Gate Cell pitch Cp

Emitter Emitter Emitter Gate

+N +N +N +N
P P P

N-drift
N-drift/epi grown Thin
wafer
N-drift
N field stop
P implantation
Collector
N+ buffer
Trench field stop
FS-IGBT
≈ ≈
P implantation
P+ substrate
(~400 um) Collector
Non-punch through
NPT-IGBT

Collector
Punch through PT-IGBT

Stored
E field carrier

FS A

FS

PT PT
G

NPT NPT
C

Figure 2.25 (a) Migration of IGBT device structure in the last three decades. Thin wafer
trench field‐stop (FS) IGBT with a strong injection enhancement (IE) effect is the dominant
device structure in production. (b) IGBT cell structure used in ABB’s 3.3 kV trench IGBT.
Injection enhancement (IE) is achieved by placing of a number of dummy trenches next to
the active ones, as well as an enhancement N layer below the P channel region [59]. (See
electronic version for color representation of this figure.)
122 Chapter 2 Power Semiconductor Devices For Smart Grid SYSTEMS

(b) N-enhancement layer

N-source P-channel

Active trench
N-base
Trenches on emitter potential

Emitter metal

Emitter contact

Figure 2.25 (Continued )

on the substrate, and the depletion region will reach the heavily doped P+ substrate.
An N buffer layer is introduced to prevent the high punchthrough leakage current.
The electric field distribution and the stored charge in a PT‐IGBT are illustrated in
Figure 2.25a. The device has a poor Eoff–VF trade‐off because large amounts of
­carriers exist at the collector side, which results in a large current tail during the
turn‐off. Epitaxial growth is also expensive, and this approach is hard to scale the
breakdown voltage higher because a much thicker layer will be needed. An improve­
ment was introduced in the 1990s in the non‐punchthrough NPT‐IGBT, which no
longer uses an epitaxially grown N drift layer. Instead, a high resistivity single
crystal wafer is used. The depletion region no longer reaches the implanted P
collector. The implanted collector allows the control of minority carrier injection;
hence, the Eoff can be tailored. However, the NPT has a longer drift layer, which
increases the VF again.
Major innovations to simultaneously achieve VF and Eoff reduction are realized
in the so‐called trench field stop (FS) IGBT structure. The major innovations are:
•• Introduction of the trench structure to increase the channel density, thereby
reducing the resistance in the channel region. Cell pitch Cp is decreased to
increase the channel density.
 2.4 RECENT INNOVATIONS IN SI POWER DEVICES 123

•• The narrow trench pitch together with other injection enhancement (IE) tech­
niques [60, 61] are used to increase the stored charge near the emitter side
during the ON state. Another way to understand this concept is to view IGBT
conduction as a PiN diode instead of a PNP transistor. The PNP transistor
gain should be suppressed as much as possible. This results in a much stronger
conductivity modulation, hence reducing the forward drop, VF. The equivalent
circuit model for a modern IGBT is more accurately represented by the
PIN + MOS equivalent model shown in Figure 2.25a, instead of the one used
in some literature which incorrectly includes a PNP transistor.
•• High‐resistivity single crystal wafer is used to reduce the wafer cost, and the
technology is developed to thin the wafer to the thickness needed for a given
breakdown voltage, such as 70 µm for 600 V devices. This reduces VF.
•• A very thin, lightly doped buffer and lightly doped P are all implanted at the
backside of the wafer. They form the so‐called transparent collector, allowing
the stored charge near the collector side to be small, and the majority of the
current conduction is the electron current. During the turn‐off, large backside
injection (electrons into the collector) is available to reduce the current tail
further. The modern IGBT has a very small tail current based on this concept,
compared with a large one in NPT‐IGBT. The overall Eoff is reduced.
Figure 2.25b shows an example of the trench cell structure of a 3.3 kV IGBT
[59]. A reduction of the forward voltage drop from 3.5 V to 2.75 V is achieved when
compared with the planar structure. IGBT performance is expected to improve con­
tinuously in the future based on the above design principles. While there are
increasing needs to develop WBG power devices, “more silicon” or “more IGBT”
remains a very attractive and cost‐effective pathway to meet the needs of industry,
smart grid and renewable energy products.

2.4.3 Reverse Conducting IGBT (RC‐IGBT)

IGBTs, shown in Figure 2.25a, do not have a reverse conduction path; hence, an
externally packaged FWD is always needed to allow the current to conduct in the
reverse direction. Design and optimization of the FWD has also seen significantly
progress in the last two decades by optimizing the anode structure and the lifetime
profile. Key design parameters are to reduce the reverse recover loss, as well as to
improve the softness of the recovery. Recently, a new generation of IGBTs with an
embedded FWD has been introduced, as shown in Figure 2.26 [66–68]. The RC‐
IGBT takes advantage of the thin wafer manufacturing technology developed for
FS‐IGBT. The backside P collector is interrupted to have an N region. This allows
the reverse current to flow from the emitter to the collector. Design optimization
requires careful placement of the inserted N regions so that the forward conduction
of the IGBT is not affected. For the reverse conducting diode, its freedom for opti­
mization is limited compared with a standalone FWD. In a RC‐IGBT power
module, the whole module footprint can now be occupied by the RC‐IGBT chip.
124 Chapter 2 Power Semiconductor Devices For Smart Grid SYSTEMS

Emitter

N-drift
Thin
wafer
Figure 2.26 Reverse conducting
N field stop
IGBT (RC‐IGBT). The full chip area is
P
utilized for IGBT conduction in the
Collector
forward direction and for the diode in
Reverse conducting IGBT the reverse direction.

This will increase the IGBT and the diode conduction area simultaneously; hence,
higher power modules can be realized for the same footprint. One new opportunity
in the RC‐IGBT is that the MOS gate/channel can be utilized to improve the diode
reverse recovery [65]. This MOS control property was explored many years ago in
the MOS controlled diode [62–64].

2.4.4 Reverse Blocking IGBT

Several important renewable energy converters, such as the T‐NPC three‐level con­
verter [69], require the use of an IGBT in series with a diode to block reverse
voltage. Therefore, the forward drop is the sum of the two devices. Significant
reduction of the loss can be achieved in an IGBT with reverse blocking capability.
The conventional IGBT structure (Figure 2.25a) inherently has a reverse blocking
junction (the collector PN junction), but its blocking voltage is typically less than
30 V. To increase the voltage, changes to the collector junction doping concentration
and the edge termination must be made. One such RB‐IGBT is shown in Figure 2.27
[70]. The N buffer layer has to be removed to increase the reverse breakdown
voltage, so the IGBT operation is degraded to an NPT‐IGBT. A new termination
will need to be introduced to reduce the surface/edge electric field in the reverse
direction. This is typically achieved by a combination of planar field limiting rings
and a deep P+ region. The latter can be formed by deep diffusion or epitaxial
regrowth after a deep etch.

2.4.5 Integrated‐Gate‐Commutated Thyristor (IGCT)

As clearly shown in Figure 2.13, the silicon thyristor, or SCR, has been and is still
the most powerful semiconductor switch ever produced, due to the clear advantages
in fabricating a high‐power device in a single device wafer, and the highly reliable
press‐pak packaging technology. In the 1960s, the press‐pak gate‐turn‐off (GTO)
was developed to provide forced commutation capability in applications such as
high‐power motor drives. The difference in the GTO, shown in Figure 2.28, as
 2.4 RECENT INNOVATIONS IN SI POWER DEVICES 125

Device edge
Emitter
+N +N
P

P+

N- drift(Base)
P+ Implantation
Collector
Figure 2.27 Reverse blocking IGBT (RB‐IGBT) structure.

Wafer diameter = 100 mm Cathode

Cathode
Total GTO cell = 2764 Gate Gate
J3 N2 N2
P2
J2

N1

N-buffer
J1
P1

Anode

G
K
L ≈ 300 nH L ≈ 3 nH L ≈ 10 nH

QG + QG + QG
E E QE

20 V IGCT 20 V ETO
GTO

FI
FO
CMDE
CMD

Figure 2.28 GTO wafer and structure, as their traditional gate drive; 4500 V/4000 A IGCT
gate drive/hardware; 4500 V/4000 A ETO gate drive/hardware.

compared with a traditional SCR (see Figure 2.15), is that more gate fingers are
introduced between the cathodes (emitter of the NPN transistor). This increased
gate‐to‐cathode area ratio improves the controllability of the NPN transistor in the
GTO. Megawatt GTO converters operating at a few hundred hertz dominated the
126 Chapter 2 Power Semiconductor Devices For Smart Grid SYSTEMS

high‐power market until they were replaced by the high‐power IGBTs. One reason
behind this is the poor turn‐off safe operation area (RBSOA) of the GTO. Typically,
failure of the GTO is associated with the so‐called dynamic avalanche limitation
inside the inherent PNP structure of the device. During inductive turn‐off, simulta­
neous high voltage and high current stress will cause the initiation of the dynamic
avalanche, thereby forcing a positive feedback by increasing the current density in
a small area of the device (this is also known as current filament) until a permanent
short is developed inside the device. GTO converter circuits had to add a capacitive
dV/dt snubber (e.g., Figure 2.10) to the GTO device in order to reduce the peak power
stress on the device to avoid this failure. This added snubber increases the overall
system cost and overall loss. When IGBTs with snubberless turn‐off operation and
large RBSOA were demonstrated, the GTO’s market share started to decrease.
One major innovation was introduced in late 1990s to reinvigorate the GTO
technology. The innovation focused on the gate drive circuit of the GTO. The tradi­
tional GTO gate drive circuit (Figure 2.28) is typically placed far away from the
device, with a gate parasitic inductance in the range of 300 nH or higher. When a
negative voltage bias is applied, the negative gate current, which is the useful
current to turn off the GTO, linearly increases. The ramp rate is limited by the
voltage and the large loop inductance. When the current reaches about a third of the
anode current, the device starts to turn off. At this moment, there is still about two‐
thirds of the current in the cathode/emitter junction; therefore, the thyristor opera­
tion is still in place. The ratio of the gate current over the cathode current, IG/IK, is
defined as the turn‐off gain. The poor RBSOA is directly related to the low turn‐off
gain, since the thyristor regenerative current conduction mechanism enhances the
formation of the current filament. The IGCT innovation introduced by ABB [9]
reduced the loop inductance to less than 3 nH. Such a dramatic reduction in the LG
results in a substantially higher IG ramp rate during the turn‐off. The turn‐off gain
becomes unity during the turn‐off. This means the cathode current is completely
reduced to zero and the inductive load current is flowing from the anode to the gate.
This unity gain turn‐off condition, also known as hard‐driven condition, forces the
device to operate like a PNP transistor when the anode voltage starts to rise. The
device’s RBSOA is then significantly expanded because a wide‐base PNP transistor
has less opportunity to form current filament. The IGBT’s large RBSOA is also due
to the wide‐base PNP transistor. Snubberless turn‐off is then demonstrated and
achieved in the IGCT. Recently, ABB has expanded the capability of the IGCT by
integrating an integrated freewheeling diode into the same wafer, resulting in a
reverse conducting IGCT (RC‐IGCT) [59]. The snubberless turn‐off waveform
shown in Figure 2.29 demonstrates excellent ruggedness of this 150 mm
RC‐IGCT.
The ETO device [10], shown in Figure 2.28, also focuses on achieving unity‐
gain turn‐off. An additional emitter MOSFET switch is in series with the cathode
(emitter of NPN). Interruption of this emitter MOS will force the cathode/emitter
current to become zero, hence achieving unity‐gain turn‐off. Impressive 5000 A snub­
berless turn‐off is achieved [71]. An additional advantage of the ETO is the lower gate
 2.5 RECENT INNOVATIONS IN WBG POWER DEVICES 127

150 mm RC-IGCT 91 mm RC-IGCT

10
9 Current
8
Voltage (kV), current (kA)

7
6
5
4
3 Voltage
2
1
0
2 3 4 5 6 7 8
Time (μs)
Figure 2.29 150 mm 4.5 kV RC‐IGCT and its snubberless turn‐off at 9.5 kA and a DC link
voltage of 2800 V [59].

drive power when compared with the IGCT, because the turn‐off operation is a
voltage‐controlled operation, similar to an IGBT. Built‐in current sensing [72] can
also be easily achieved in the ETO. On the other hand, the ETO is not currently in
commercial production.

2.5 RECENT INNOVATIONS IN WBG POWER DEVICES

The most exciting development in power semiconductor devices in the last decade
is the commercialization of a number of WBG power devices. This section reviews
the most promising commercial SiC and GaN power devices, as well as research
and future trends of WBG power devices.
128 Chapter 2 Power Semiconductor Devices For Smart Grid SYSTEMS

2.5.1 SiC and GaN Diodes

There are two semiconductor mechanisms that can be used to develop a diode: one
is based on the PN junction, and other one is based on the Schottky barrier diode
(SBD) junction. In the SBD, there is no conductivity modulation; hence, the theo­
retical on‐resistance of the SBD is also determined by Eq. (2.14) plus the voltage
needed to overcome the Schottky barrier. Therefore, a high‐voltage Si SBD is very
rare because its forward voltage drop is much higher than an equivalent Si PN
junction diode where strong conductivity modulation is available and the PN
junction turn‐on voltage is around 0.7 V. The reverse leakage current of the SBD
also increases quickly with the increase in temperature, which makes it harder to
justify a high‐voltage Si SBD. Si PN junction diodes, therefore, dominate the
market from 600 V to 10 kV. The Si PN junction diode, however, has a very poor
reverse recovery since large quantities of carrier are stored in the device during
conduction. Although improved diode performance can be incrementally achieved
by optimizing the anode injection efficiency and lifetime profile, the poor reverse
recovery performance has been a major bottleneck for increasing the switching fre­
quency in power electronics converters.
In the case of the SBD on WBG material, such as SiC, the situation is com­
pletely reversed. The high critical electric field, Ec, in SiC results in a substantial
reduction in the resistance of a SBD. Therefore, conductivity modulation is no longer
needed nor desirable. SBD has no charge stored; therefore, zero reverse recovery
loss can be achieved. Hence, a WBG diode based on the Schottky mechanism is
almost an ideal diode. The high leakage current can be reduced by using a higher
Schottky barrier metal, such as nickel, since the contribution from a higher barrier
height is still very small when the SBD is designed for 600 V or higher. To further
reduce the leakage current, the junction barrier Schottky (JBS) diode structure,
which introduces a P region to protect the Schottky region in the reverse blocking
state, can be used. Another advantage of the JBS diode is that the PN junction can
become conductive at high forward bias and results in a better surge capability than
the SBD [73]. On the other hand, the SiC PN junction diode will need to overcome
a forward voltage drop of around 3 V across the PN junction; this makes it extremely
unattractive from a conduction loss point of view, even if the drift region resistance
can be reduced by the conductivity modulation. For this reason, there is currently
no commercial SiC PN junction diode. All commercial solutions (600 V, 1200 V, and
1700 V) are all SiC SBD or SiC JBS.
The three basic diode structures are shown in Figure 2.30. The blocking
voltage of commercially available SiC SBDs is limited to 600 V due to the
increased reverse leakage current, especially at elevated temperatures. SiC diodes
above 600 V mostly use the JBS structure. The off‐state leakage current in JBS is
reduced, so devices can be rated at up to 175 °C. Because the device conduction
is still via the majority carrier electrons, the speed of the JBS is not compromised.
The JBS diode, therefore, provides excellent performance over a wide range of
voltages. A 15 kV JBS diode has also been designed and tested for high‐frequency
 2.5 RECENT INNOVATIONS IN WBG POWER DEVICES 129

(Schottky on n–, Ohmic on p+)

Anode (Ohmic) Anode (schottky metal) Anode (schottky)
P+
+d +d +d

N- drift
N- drift N- drift

N+ substrate N+ substrate N+ substrate

Cathode (Ohmic) Cathode (Ohmic) Cathode (Ohmic)

PIN SBD JBS

Figure 2.30 Three basic SiC diode structures (future GaN diodes will be similar).

applications [74]. At voltages above 10 kV, there might be a need to develop the
SiC PN diode since it can effectively reduce the drift region resistance via con­
ductivity modulation [75]. In Figure 2.31a, the I–V curve of a 10 kV SiC JBS
diode and of a 10 kV SiC PN diode with same chip size are compared. Although
the PIN diode has a higher knee voltage, the differential resistance of the SiC PIN
diode is much smaller than that of the JBS diode due to the conductivity modula­
tion. The SiC PIN diode’s much lower leakage current compared with the JBS or
SBD is another advantage that makes it an ideal candidate for high‐voltage and
high‐temperature operation. However, the ~3 V PN junction knee voltage, which
is determined by the SiC material, makes the SiC PIN ineffective from the
conduction point of view when the blocking voltages are below 3.3 kV. SiC JBS
diodes are preferred in these voltage ranges. Because of the minority carrier
stored in the device, there is also a sizeable reverse recovery current in the SiC
PIN diode, as clearly shown in Figure 2.31b, which results in large reverse
recovery loss in converter applications.
With the increasing availability of freestanding GaN wafers [78], a number of
R&D efforts are also underway to develop vertical GaN PIN diodes [77, 79–88] as
next‐generation power rectifiers to compete with SiC‐based power rectifiers. The
P anode is typically formed by metal‐organic chemical vapor deposition (MOCVD)
growth, although a strong interest exists in developing an implanted anode.
Compared with the P implantation technique in SiC, P implantation and activation
remains a major challenge in GaN due to the deep energy level of the acceptor,
although some significant progress has been made in this area [89]. P implantation
is needed to fabricate the SBD/JBS cost‐effectively. Several epitaxial‐grown PIN
diodes and their measured figures‐of‐merit (FOMs) are shown in Table 2.6. Close
to ideal differential resistance Ron‐sp has been achieved in these diodes. However, the
PN junction turn‐on voltage, also around 3 V, makes these diodes unattractive for
commercial introduction. Figure 2.31c shows the measured forward I–V results for
 (a) 10 kV SiC JBS Diode and PiN diode IV
curve
SiC PiN diode SiC JBS diode
10

Current (A)
6

0
0 1 2 3 4 5 6 7 8
Voltage (V)

(b) 15 kV SiC PiN Diode reverse recovery

curve
250
200
150
Current (A)

100 180 A
50 130 A
0 90 A
–50 50 A

–100 25 A

–150
3000 3100 3200 3300 3400 3500
Time (ns)
(c)
20.0
PD63W316FB

15.0
Diode current (A)

T = 150°C

10.0

T = 25°C

5.0

0.0
2.8 3 3.2 3.4 3.6
Voltage (V)
Figure 2.31 (a) The 10 kV SiC JBS diode and PIN diode I–V curves at room temperature
with the same chip size. (b) Reverse recovery current tested at VR = 7 kV for a 15 kV SiC
PIN diode (T = 25 °C) [76]. (c) Measured I–V curve of a large‐area 16 mm2 GaN PIN
diode [77]. (See electronic version for color representation of this figure.)
 2.5 RECENT INNOVATIONS IN WBG POWER DEVICES 131

TABLE 2.6 Reported figure‐of = merit (FOM) values for vertical GaN P‐N diodes
with MOCVD grown P anode.

Differential FOM = BV2/Ron‐sp

Reference BV Device size Ron‐sp (mohm‐cm2) (GW/cm2)

[80] 1100 50 × 50 µm 0.4 3.0

[81] 3480 107 × 107 µm 1 12.8
[82] 3900 260 × 260 µm 0.9 16.9
[83] 4000 234 × 234 µm 2.8 5.7
[84] 1500 387 × 387 µm 2.2 1
[85] 4700 100 × 100 µm 1.7 13
[86] 1700 107 × 107 µm 0.55 7.2

a 700 V GaN PN junction diode at different temperatures [77]. The high turn‐on
voltage is clearly shown. Future developments of GaN SBD/JBS diodes are expected
in order to compete effectively with SiC SBD/JBS diodes.

2.5.2 SiC MOSFET

Thanks to the well‐established gate driving technique and user base in Si MOSFET
and IGBT, SiC MOSFET is the preferred SiC three‐terminal switch (compared with
SiC JFET and BJT). It has been introduced commercially from 600 V to 1700 V,
including higher current modules as shown in Figure 2.14. It is expected that
commercial products up to 3.3 kV will be introduced in the near future, while even
higher voltage devices are being researched [51, 74, 75]. 15 kV SiC MOSFETs
have been prototyped and used in developing high‐voltage, high‐frequency solid‐
state transformers [2, 90, 91] that take advantage of the fast switching speed of the
device even at such a high voltage level. The operation frequency of SiC MOSFET‐
based converters has seen one or two orders of magnitude increase, as shown in
Figure 2.17 and Figure 2.19, when compared with an IGBT system. Under certain
conditions, zero switching losses can also be achieved in SiC MOSFET. An opera­
tion at 3.38 MHz was recently demonstrated for a 1.2 kV SiC MOSFET module
[48]. Due to the low conduction losses in the SiC MOSFET, it can also operate in
the third quadrant as a synchronous rectifier by significantly reducing the third‐
quadrant conduction loss, while offering almost zero reverse recovery loss. The
synchronous rectifier concept has been used for many years in low voltage Si
MOSFET (<100 V), and it now can be applied to SiC MOSFET even at voltages up
to 3.3 kV. This is because the body PN junction diode in SiC will not conduct until
above 3 V; hence, the channel conduction is the lower resistance path and should,
therefore, be used. The body PIN diode conducts only during the dead time. Since
the PN junction injection efficiency with an implanted P region is very poor, and the
minority carrier lifetime in the SiC is generally very low unless a special lifetime
enhancement technique is used, the reverse recovery of the body diode in SiC
MOSFET exhibits very low reverse recovery charge and, hence, very low losses
(see Table 2.5 for an example).
132 Chapter 2 Power Semiconductor Devices For Smart Grid SYSTEMS

(a) (b)
Source Gate Source
N+ N+ N+ N+
Gate
P
P– P–
P+ P+
Peak oxide field region
13 um 13 um Protecting P layer
Peak oxide field region

N-drift N-drift

≈ ≈
N+ substrate N+ substrate

≈ 100~400 um 100~400 um

Drain Drain
Conventional MOSFET SiC Trench MOSFET
Figure 2.32 Two typical SiC MOSFET structures: (a) planar and (b) trench. Epi thickness
is typical of a 1200 V device.

There are two basic device structures used in commercial SiC MOSFET
products, as shown in Figure 2.32: a planar structure and a trench structure. At
higher voltages, the reported Ron‐sp has already reached the theoretical 1D limit
because the resistance is well predicted by Eq. (2.14). At lower voltages such as
1200 V, the channel resistance, the JFET resistance between the two P regions, and
the substrate resistance are the three other components that cannot be ignored. This
is also one reason why 600 V SiC MOSFET is less competitive at the moment,
because these three components are becoming even higher percentages at 600 V.
Wafer thinning to <100 µm is very effective in reducing the substrate resistance.
Improvement of channel resistance can be achieved by improved processing tech­
niques that focus on improving the channel mobility. In the trench SiC MOSFET,
the cell pitch is further reduced to increase the channel density and, hence, reduce
the channel resistance. The JFET region is also eliminated in the trench structure.
Due to the ten times higher electric field in the SiC MOSFET as compared
with the Si MOSFET, one key challenge is to trade off the gate‐oxide reliability for
low specific on‐resistance. In the planar structure, the gate oxide is protected by the
P regions; hence, the peak electric field near the oxide is reduced. Planar MOSFET’s
gate‐oxide stability issue has been solved, and excellent reliability performance is
achieved [92]. The industry’s first reliable SiC MOSFET with a 200 °C junction
temperature was also demonstrated by General Electric (GE) [93, 94]. In the trench
device, this is harder. Many variations of the trench structures exist [95–100] to
protect the bottom of the trench gate. Figure 2.32b uses a deeper P region so it
 2.5 RECENT INNOVATIONS IN WBG POWER DEVICES 133

104
Failure rate/(FIT/cm2) 103
102
101
100
10–1
10–2
0.4 0.6 0.8 1.0 1.2 1.4 1.6
VDC/Vnominal

SiC-MOSFET-A Si-MOSFET-A Si-IGBT-B

SiC-MOSFET-B Si-IGBT-D
SiC-MOSFET-C Si-IGBT-A

Figure 2.33 Cosmic radiation related reliability of 1200 V SiC MOSFET when compared
with Si IGBT [102]. (See electronic version for color representation of this figure.)

provides some protection to the bottom of the trench gate. The first commercial
trench MOSFET was released by Rohm in 2010. A novel double trench structure
has been proposed to solve the oxide breakdown at the bottom of the trench [101].
In addition to improving electrical performance, another major driver for SiC
MOSFET innovation is reliability. High‐temperature gate bias, high‐temperature
reverse bias, and high‐humidity, high‐temperature reverse bias are the three major
­criteria for evaluating reliability. Highly reliable SiC devices have been successfully
demonstrated; for instance, the reliability of the industry‐leading 200 °C‐rated SiC
MOSFET was reported by GE in 2014 [93]. Another important parameter for power
semiconductors is immunity to cosmic rays. This is especially important in applications
in aerospace and nuclear plants. This is a less explored issue in SiC MOSFET and will
become even more important when higher‐voltage SiC devices are introduced.
In [102] and depicted in Figure 2.33, a 1200 V SiC MOSFET and Si IGBT
comparison shows a very favorable cosmic ray immunity for the SiC MOSFETs. In
[103], 1.2–3.3 kV SiC MOSFETs with fewer than ten failures in time (FITs) were
demonstrated, as shown in Figure 2.34a. This FIT rate is similar to that of the Si
IGBT. The recommended derating curve is also provided as a guideline (Figure 2.34b).
A much higher derating factor is proposed for SiC devices with higher blocking volt­
ages. Additional studies are needed to explain the physics behind this characteristic.
In addition to SiC MOSFET, SiC power BJT, JFET, and SIT (static induction
transistor) are also available commercially [104–108]. These devices do not have a
MOS structure and emerged in the early stages of the SiC power device development
history due to the challenges in developing the SiC MOSFET, because of the low
channel mobility and poor MOS reliability. These challenges are largely resolved
134 Chapter 2 Power Semiconductor Devices For Smart Grid SYSTEMS

(a)
4.5

4.0 BV_rating
1200
3.5 1700
2200
Log10 (FIT normalized)

3.0 3300

2.5

2.0

1.5

1.0

0.5
800 1000 1200 1400 1600 1800 2000 2200
Vds

(b)
80
1.2 kV
2 × 1.2 kA
75
VDS_OFF/VDS_RATED (%)

70
1.7 kV
2 × 1 kA
65
2.2 kV
2 × 750 A 2.5 kV
60
2 × 650 A

55
3.3 kV
2 × 450 A
50
1000 1500 2000 2500 3000 3500
BV rating (V)
Figure 2.34 SiC MOSFET with total active area of 7.2 cm2, room temperature, and sea‐level
[103]. (a) Failure caused by terrestrial cosmic radiation. (b) Voltage derating guideline for a
failure rate of 100. (See electronic version for color representation of this figure.)

today due to more than two decades of R&D. Hence, it is expected that these
devices will only be used in niche applications such as DC circuit breakers [108].
SiC MOSFETs and SiC superjunction MOSFETs (not commercially available yet)
will dominate the market‐place over a wide range of voltage ratings.
 2.5 RECENT INNOVATIONS IN WBG POWER DEVICES 135

2.5.3 Ultra High‐Voltage SiC Power Devices

High‐voltage SiC MOSFETs have also been reported to replace high‐voltage Si
devices from 3.3 to 6.5 kV and even higher voltages [103, 109–113]. The highest
blocking voltage reported for SiC MOSFET is 15 kV [110], although it is not in
commercial production. The high‐voltage SiC MOSFET can simplify the circuit
topology for high‐voltage and high‐frequency applications, such as solid‐state
transformers [2]. Although the high‐voltage SiC MOSFET shows a large
reduction in switching losses compared with the Si IGBT, the voltage drop
becomes high when the voltage levels are higher than 10 kV. Therefore, scaling
to higher current will be an issue. In this condition, the combination of the SiC
and bipolar device structure, such as SiC IGBT, would be desirable. Several
high‐voltage SiC IGBT designs have been reported [29, 115–118]. The highest
blocking voltage reported so far is a 27 kV SiC n‐IGBT, obtained by using a
230 µm drift layer [29]. The design also incorporated a lifetime enhancement
process to reduce the voltage drop. The highest blocking voltage reported for a
SiC P‐IGBT is 15 kV, as shown in [116]. The differential specific on‐resistance
for most of the reported SiC IGBTs is in the range of tens of mΩ‐cm2. The SiC
GTO transistor has also been investigated. It achieves the best current handling
capability with a very low forward drop among all reported high‐voltage SiC
power devices, due to the double‐side carrier injection and strong conductivity
modulation [119]. This is clearly illustrated in Figure 2.35, where the forward
conduction characteristics of the 15 kV P‐GTO, IGBT, and MOSFET are

A = 0.32 cm2 or normalized to 0.32 cm2

20
25°C IGBT
18
25°C
pGTO 125°C IGBT
16
125°C pGTO 25°C MOS
14

12 30
Current (A)

0W
/cm 2
10 125°C MOS

6 200 W
/cm 2
4
100 W
/cm 2
2

0
0 2 4 6 8 10 12 14
Voltage (V)
Figure 2.35 I–V curve comparison of 15 kV SiC P‐GTO, IGBT, and MOSFET at 25 °C
and 125 °C. (See electronic version for color representation of this figure.)
136 Chapter 2 Power Semiconductor Devices For Smart Grid SYSTEMS

Turn off at 6.2 kV/123A

20

0 0
–1 Voltage
Current –20
–2
–40
Voltage (kV)

Current (A)
–3
–60
–4
–80
–5

–6 –100

–7 –120

–8 –140
0 0.5 1 1.5 2 2.5 3
Time (us)
Figure 2.36 Snubberless turn‐off waveform of a 15 kV SiC p‐ETO at 6.2 kV and 123 A
(peak power density = 1.13 MW/cm2).

measured and compared. All these high‐voltage devices are based on 4H‐SiC
material and fabricated by Cree. To minimize the effects of different chip sizes,
the active chip areas are normalized to 0.32 cm2. The SiC P‐GTO shows the
smallest voltage drop among all three types of devices, followed by the SiC
IGBT and SiC MOSFET. In addition, instead of a positive temperature coeffi­
cient shown in SiC MOSFET and IGBT, the SiC GTO transistor has a slight
negative temperature coefficient of voltage drop. Based on SiC P‐GTO tech­
nology, 15 kV and 22 kV SiC ETOs have also been demonstrated and utilized in
circuit breaker applications [30, 120, 121]. Figure 2.36 shows the turn‐off wave­
form of the 15 kV SiC P‐ETO. It is noted that the voltage and current are plotted
in the negative region due to the P‐type device. The peak power density reached
1.13 MW/cm2, indicating a very large reverse bias safe operation area for SiC
bipolar devices. This characteristic is very important for converter and circuit
breaker applications. Currently, none of above‐discussed ultra‐high voltage SiC
devices are commercially available. Successful commercialization of these
devices with higher current ratings could have a major impact for applications
such as the HVDC MMC converter, FACTS, DC circuit breaker, and medium
voltage drives. In HVDC MMC applications, high switching frequency is not
needed; hence, SiC IGBT or GTO/ETO and PIN diodes will be the preferred
devices of choice. Due to the strong conductivity modulation in SiC GTO, a
blocking voltage as high as 50 kV is also feasible in the future, as shown in the
modeling result in Figure 2.37. An improvement in carrier lifetime and pack­
aging technology will be needed for this device to be developed.
 2.5 RECENT INNOVATIONS IN WBG POWER DEVICES 137

p-GTO IV with τ_HL = 10 μs, good anode injection

VaK (volts)
–10 –8 –6 –4 –2 0
0
–2
–4
–6
–8

Ic (A/cm2)
50 kV –10
–12
–14
40 kV
–16
30 kV –18
–20
Figure 2.37 Predicted device forward conduction capability of SiC p‐GTO for a BV of
30 to 50 kV.

2.5.4 GaN Heterojunction Field Effect Transistor

GaN is another important WBG material, and its properties, as shown in Figure 2.12,
are also very suitable for power device applications. However, due to the difficulty
in producing low‐cost GaN epitaxial wafer that is needed to construct vertical
power devices, these types of devices are still in a very early research stage [77–89],
and no commercial vertical power devices are currently available. Other major
technical challenges that must be overcome before vertical power devices can be
readily made is the formation and activation of implanted P type layers in GaN.
However, due to the success of epitaxial growth of GaN/AlGaN thin layers above a
standard Si substrate, a lateral GaN power transistor, the GaN heterojunction field‐
effect transistor (HFET), has been commercially introduced for 600 V and lower
voltage applications [6, 14]. This structure, shown in Figure 2.38, can be produced
in many Si wafer factories. Multiple metal layers are used to provide interconnects
to the source and drain contacts. Early GaN HFETs are depletion mode devices; a
cascode configuration with a Si MOSFET will be needed to obtain an enhancement
device [122]. Latest devices from several vendors are enhancement devices using
gate engineering that involves a combination of recess etching, deposition of a
dielectric layer, and P type GaN gate structure. Due to the high critical electric field
and high channel mobility (1500 cm2/V‐s vs. 600 cm2/V‐s in Si inversion channel
vs. about 10 cm2/V‐s in the SiC inversion channel) in the GaN/AlGaN quantum
well as well as the lateral structure, the device is particularly attractive for very high
switching frequency applications, as clearly shown in Table 2.5. To use the devices
at their full potential, their packaging must have both very low parasitic inductance
and high thermal performance. New packaging approaches, such as embedding
138 Chapter 2 Power Semiconductor Devices For Smart Grid SYSTEMS

(a) (b)

S
G
D
25 nm AlGaN

i-GaN

Buffer layer

6'’ or 8'’ GaN-on-Si

Figure 2.38 (a) Lateral GaN heterojunction field effect transistor (HFET). (b) Advanced
GaN HFET packaging from GaN System.

dies in packages similar to a multilayer PCB, were developed by GaN System as

shown in Figure 2.38. It is expected that a 600 V GaN HFET is a strong competitor
to a Si SJ MOSFET in offline power supply applications and lower power (<5 kW)
PV inverters. Scaling GaN HFET to higher voltages is harder due to the field crowd­
ing associated with the lateral structure, so higher voltage GaN will have to be
developed based on vertical structure. Currently, this is limited by the lack of good
epitaxial material and the inability to achieve well‐activated P doping regions. The
low thermal conductivity in GaN material, as shown in Table 2.4, is another factor
that needs to be considered.

2.6 SMART GRID AND RENEWABLE ENERGY

SYSTEM APPLICATIONS

Power electronics systems for smart grid and renewable energy system applications
are typically grid‐connected systems. For a three‐phase system, the power device
breakdown voltage required is typically higher than 1200 V, while for a single phase
system, a 600 V device can be used. For this reason it is expected that 600 V GaN/
SiC power devices could potentially be used in single‐phase PV inverter applica­
tions as well as PV microinverters. The driving force will be to utilize the high
frequency capability to achieve compact and efficient solutions [123–125]. Another
emerging application for 600 V GaN/SiC could be the level‐2 onboard charger
(OBC) for electric vehicles [126–132] or wireless power transformer (WPT)
charger [133, 134]. In these cases, high‐frequency soft switching operation enables
very compact and efficient isolated bidirectional charger implementation. For all
other applications that are currently served by Si IGBT, the SiC power devices
are poised to compete effectively with the IGBT. Hybrid power modules based on
 2.6 SMART GRID AND RENEWABLE ENERGY SYSTEM APPLICATIONS 139

Si IGBT/SiC JBS diodes are also popular options for early stage insertion of SiC
power devices. Several important existing and emerging smart grid and renewable
energy system applications are summarized in Table 2.7 with the preferred future
power devices. Also summarized are perceived motivations for each application
when searching for better power device technology.
As discussed earlier, SiC MOSFETs and JBS diodes provide superior
dynamic performance compared with Si IGBTs and PIN diodes; therefore, they
can clearly improve power efficiency and power density. However, widespread
adoption of SiC power conversion systems is still a challenge. One reason is that
SiC is by no means a plug‐and‐play technology. Integrating SiC technology into
the electrical system requires a deep understanding of system design, including
EMI and thermal issues. Moreover, the relatively higher cost of SiC devices is
still a concern for end‐users. The cost of a SiC power device decreases with
increased volume production. With larger volumes, and better manufacturing
processes with larger wafers, the cost per amp of SiC devices will continuously
drop. Also the per‐watt cost of the overall system could potentially be reduced
with a better balance‐of‐plant system design. Figure 2.39 shows the concept of
system cost saving as a major driver for insertions of SiC power devices in exist­
ing applications. The savings may come from developments such as smaller
passive components, lower cooling requirements, and a higher absolute power
rating. It is demonstrated in [140] that the cost of a 17 kW solar inverter could be
reduced by 20% with SiC JFETs and SiC diodes. Additionally, the operational
cost reduction gained from efficiency improvements could justify the higher
capital cost [150].
Due to their potential to improve the power efficiency while reducing the
system cost, PV inverters could be the first major insertion point for SiC power
devices. The required voltage ratings (1200–1700 V) are considered pretty low for
SiC material. In [151, 152], SiC Schottky diode‐based solar microinverters were
demonstrated with reduced reverse recovery losses and improved efficiency. For
rooftop PV applications, a desirable weight density is necessary, for example,
1 kW/kg. Most commercialized products with Si IGBTs cannot fulfill this require­
ment; their weight density is less than 0.38 kW/kg. To address this challenge, [153]
presents a 50 kW SiC MOSFET‐based photovoltaic string inverter with signifi­
cantly increased switching frequency and reduced weight that can achieve the
design target. High‐power centralized inverters based on SiC devices have also
been developed. A 1 MW solar converter system consisting of a boost converter
with an all‐SiC power module and a Si‐based three‐level, T‐type, neutral‐point
clamped (NPC) structure is presented in [154]. The maximum achieved efficiency
is 98.8% at 850 V, which is the upper maximum power point range limit. The total
efficiency is about 0.5% higher than that of a traditional Si‐based single‐stage
inverter. Recently, GE announced a full‐SiC single‐stage megawatt‐level photovol­
taic inverter (Figure 2.40) [155]. With an industry‐leading SiC MOSFET module,
the reported California Energy Commission (CEC) efficiency is close to 99% at
900 V DC input (see Figure 2.40).
 TABLE 2.7 Key smart grid and renewable energy system applications and their power device needs (devices shown in italic are not currently
available commercially).

Today’s device Future device Major motivation for new

Field Specific applications Typical topology technology technology device technology

Electric Level‐2 onboard charger DAB DC/DC [130, 132, Si IGBT 600 V GaN/SiC High‐frequency operation,
vehicle (OBC) 135–139] MOSFET compact design, EMI size
reduction, high efficiency
WPT for EV Resonant converter [133, Emerging 600 V GaN/SiC High‐frequency operation,
140] application MOSFET compact design, EMI size
reduction, high efficiency
DC fast charger Three‐phase boost Si IGBT/PIN 1200–1700 V SiC Increased power level to
rectifier or Vienna MOS/JBS >200 kW or more, increased
rectifier [141]. >1200 V RB‐IGBT DC bus voltage to 1000 V or
more
Energy Utility scale storage 2 L VSI, 3 L‐NPC, T‐NPC Si IGBT/PIN >1200–1700 V SiC >MW power level requires
storage rectifier, or MMC [142] MOS/JBS reduction of size and cost
technology while improving the
efficiency
PV PV microinverter (<1 kW) Isolated flyback DC/AC Si MOS(<200 V) GaN HFET <200 V High‐frequency operation,
[123–125] 600 V Si ultrafast 600 V SiC SBD/ compact design, EMI size
diode JBD diode reduction, high efficiency
Single‐phase PV inverter H4, H5, H6, HERIC or Si IGBT (600 V) 600 V GaN HFET High efficiency
(1 to 10 kW) other inverter variations Reduced filter size and overall
[144] weight reduction
3‐phase string, central and 3 L‐NPC or T‐NPC [143] 1200 V and 600 V 1700 V SiC MOS/ Bus voltage >1000 V, high
utility scale PV inverters IGBT/PIN diode JBS efficiency, small filter size
1200 V RB‐IGBT and overall weight reduction

140

0004339650.INDD 140 06/19/2019 3:58:48 PM

 Wind Synchronous generator full 3 L‐NPC or T‐NPC [143] 1700 V IGBT/PIN >1700 V SiC MOS/ Increase operation voltage to
power AC/DC/AC diode JBS reduce wiring cost for ≫ MW
>1200 V RB‐IGBT level converter systems
HVDC VSC for AC/DC and DC/ MMC [144] 3.3 and 4.5 kV 15 kV SiC GTO/ Reduced number of MMC cells
AC conversion IGBT/PIN diode ETO/PIN
DC circuit breaker Hybrid DC circuit breaker 4.5 kV IGBT in >15 kV SiC GTO/ Reduce number of devices
[120, 121] series ETO/PIN in series
FACTS Reactive power SVC 4.5 kV Si SCR 20–50 kV SiC Reduce devices in series
compensation thyristor
STATCOM using MMC 3.3 and 4.5 kV 15 kV SiC IGBT/ Reduced number of MMC cells
topology [145] IGBT/PIN diode GTO/ETO/PIN in >200 kV DC applications.
Smart Solid state transformer to DAB or LLC in input Emerging 1200–1700 V SiC High frequency (>50 kHz) to
grid replace line frequency series and output application MOS/JBS reduce transformer size,
transformer (LFT) parallel (ISOP) [146] hence increase power
density. High efficiency
Single dual active bridge Emerging 15 kV SiC Simple topology to achieve
or LLC [147, 148] application MOSFET/JBS medium frequency (10 to
diode 50 kHz) and high efficiency
MVDC grid DC/DC DAB or LLC resonant Emerging 15 kV SiC MOS/JBS Isolated DC/DC between
connection converter [148] application MVDC and LVDC grid

141

0004339650.INDD 141 06/19/2019 3:58:48 PM

 A Si power conversion system A SiC power conversion system

Si devices Rest of system SiC devices Rest of system Saving

Figure 2.39 Potential system cost benefit from SiC devices. (See electronic version for
color representation of this figure.)

SiC-solar inverter efficiencies @ varied load and Vdc

100

99
Efficiency (%)

98

97

96

95
0 10 20 30 40 50 60 70 80 90 100
Load (%)
900 Vdc 1000 Vdc 1100 Vdc

Figure 2.40 GE 1 MW SiC PV inverter installed in Berlin, and its efficiency curve [155].
 2.6 SMART GRID AND RENEWABLE ENERGY SYSTEM APPLICATIONS 143

Higher voltage SiC power devices are expected to be commercially available

in the near future, perhaps initially at 3.3 kV and 4.5 kV levels, in order to compete
with IGBTs in existing applications. In HVDC MMC applications, the desired
voltage rating should be much higher than 4.5 kV since the switching frequency is
low [59], so the total number of MMC cells can be reduced. Therefore, higher
voltage devices based on SiC IGBT/GTO/PIN operation should be developed in the
future. This will also have a dramatic impact on several other high voltage applica­
tions such as the STATCOM and HVDC circuit breaker [120, 121]. The switching
frequency in these applications does not need to be high due to large number of
cascaded converter cells. High voltage and high frequency capability is needed in
applications where an isolated topology is used, such as the emerging application of
solid‐state transformers (SSTs) for the future smart grid [2, 74, 89]. This is in order
to reduce the size of the medium‐frequency isolation transformer. GE has developed
a 1 MVA solid‐state transformer based on a 15 kV/120 A SiC MOSFET module
operating at 20 kHz [156]. Compared with a traditional transformer with the same
rating, it facilitates a 50% reduction in size and 75% reduction in weight, while at
the same time achieving 98% efficiency. Recently, a single‐phase SST for a 7.2 kV
distribution grid has been developed, as shown in Figure 2.41 [147]. This SST, using

Switches and LEDs

Aux input

MV AC input LV AC output

vMV:5 kV/div t:4 ms/div

vLV:500 V/div
Vds_P2:5 kV/div

2
ir:10 A/div

Figure 2.41 A 20 kVA solid‐state transformer based on 15 kV SiC MOSFET [147].

144 Chapter 2 Power Semiconductor Devices For Smart Grid SYSTEMS

a resonant AC/AC conversion topology and 15 kV SiC MOSFET at 40 kHz, achieved

an efficiency of 97.5%. The steady‐state AC/AC waveforms are also shown in
Figure 2.41.

2.7 CONCLUSIONS

More and more energy is expected to be in the form of clean electrical energy.
Efficient processing and delivery of these energies will require more and more effi­
cient power semiconductor devices that approach the “ideal” performance. Significant
improvements in Si power devices have been made in the last six decades, and more
are expected from this cost‐effective technology. Newer power devices based
on WBG materials (SiC and GaN) are the most exciting developments in recent
years. These devices are becoming even closer to “ideal” switches. For smart grid
and renewable energy applications, higher voltage and high power handling capa­
bility will be needed; hence, SiC MOSFETs and SiC JBS diodes are the preferred
devices for the future. Ultra high‐voltage SiC power devices, such as SiC MOSFETs,
IGBTs and GTOs, could greatly simplify existing high‐voltage converter systems, as
well as enable new applications, such as the solid‐state transformer. More progress is
needed to commercialize these devices and to increase their current ratings in order
to challenge the dominance of Si power devices in high power applications. In
addition to SiC and GaN, research is also underway to find other WBG materials and
devices that can one day challenge SiC and GaN.

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[155] M. H. Todorovic, F. Carastro, T. Schuetz, R. Roesner, L. Stevanovic, G. Mandrusiak, B. Rowden,
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Proc. IEEE ECCE, 2011, pp. 2689–2692.
 C h a p t e r  3
Multilevel Converters –
Configuration of Circuits
and Systems
Hirofumi Akagi

3.1 INTRODUCTION

Multilevel converters or, strictly speaking, multilevel voltage‐source converters,

bring multilevel waveforms of voltage to their AC terminals. The prefix “multi” in
the technical term “multilevel” means any positive integer more than two, in con-
trast to traditional two‐level voltage‐source converters. Moreover, the multilevel
converters do not include any transformer for synthesizing or forming multilevel
voltage waveforms, although the technical term does not include any explicit
information about that.
Throughout this chapter, “inverters” take the positive direction of power flow
from the DC input to the AC output, whereas “rectifiers” from the AC input to the
DC output. On the other hand, “converters” pay no attention to the direction of
power flow, or represent direct AC‐to‐AC power conversion [1].

3.1.1 Historical Review of Multilevel Converters

In 1979, Nabae, Takahashi, and Akagi invented a three‐level neutral‐point‐clamped
(NPC) inverter capable of being free of simultaneous switching of two series‐
connected bipolar junction transistors (BJTs) per arm. They designed, built, and
tested an adjustable‐speed motor drive that combined a three‐phase, three‐level
NPC inverter using 12 BJTs, 12 freewheeling diodes, and six clamping diodes with
an induction motor rated at 200 V and 2.2 kW. They presented a short paper
including experimental results of the motor drive in March 1980 [2]. They then
presented the full paper at the 1980 IEEE IAS Annual Meeting in October, which

Power Electronics in Renewable Energy Systems and Smart Grid: Technology and Applications,
First Edition. Edited by Bimal K. Bose.
© 2019 by The Institute of Electrical and Electronics Engineers, Inc.
Published 2019 by John Wiley & Sons, Inc.

153
154 Chapter 3 Multilevel Converters – Configuration of Circuits and Systems

was followed by its IEEE Transactions paper in September 1981 [3]. Meanwhile,
Baker applied for a circuit patent including the NPC inverter topology in 1979,
although he did not disclose any experimental verification in his patent [4]. Since
the three‐level NPC inverter was put into practical use at the beginning of the 1990s,
it has been recognized as the dawn of “classic” multilevel inverters. Nowadays, this
inverter is often referred to as a three‐level diode‐clamped inverter, the naming of
which comes from the use of six clamping diodes.
In 1992, Meynard and Foch invented a three‐level flying‐capacitor (FLC)
inverter that might be stimulated by the NPC inverter [5]. The FLC inverter is often
referred to as a three‐level capacitor‐clamped inverter, where attention is paid to the
special‐purpose capacitor for clamping the AC output terminal in each phase leg to
half of the DC input voltage.
Around 1994, Robicon Corporation, presently a part of Siemens AG, put
medium‐voltage high‐power motor drives using multilevel inverters on the market
[6]. The emergence of these products surprised and impressed research scientists
and engineers who were engaged in research and development of medium‐voltage
motor drives. The per‐phase circuit configuration of the multilevel inverter is based
on the cascade connection of the AC output terminals of modular single‐phase full‐
bridge or “H‐bridge” inverter cells with pulse width modulation (PWM). This mul-
tilevel inverter has been recognized as the origin of “modern” multilevel inverters.
In 1996, Lai and Peng presented a static synchronous compensator
(STATCOM) for reactive‐power control in power transmission systems [7, 8]. This
topology is based on the cascade connection of multiple full‐bridge or H‐bridge
converter cells with staircase modulation (SCM) based on the so‐called “one‐pulse
PWM.” The actual switching frequency of the one‐pulse PWM is equal to the line
frequency, intended for switching‐loss reduction. In 2006, Akagi and his coauthors
presented a practical paper on a three‐phase STATCOM with phase‐shifted‐carrier
PWM at the 2006 IEEE IAS Annual Meeting, followed by its IEEE Transactions
paper [9]. The STATCOM used a cascaded multilevel converter with star connec-
tion as a main power circuit. Experimental waveforms obtained from a three‐phase
downscaled STATCOM rated at 200 V and 10 kVA were included to verify the
validity and effectiveness of voltage‐balancing control of all the floating or flying
DC capacitors. Hierarchical control was introduced to the voltage-balancing con-
trol, in which inter-cluster balancing control was integrated into the middle layer.
From 2003 to 2005, Marquardt and his coauthors presented a series of inno-
vative papers on high‐power conversion systems intended for applications to HVDC
(high‐voltage direct current) transmission systems [10–13] (see Figures 3.8b and
3.10). They named the power conversion systems as “modular multilevel converters
(MMCs)” and gave a lucid description of both circuit configurations and operating
principles. However, they disclosed neither experimental result nor waveform, and
made no description of realizing not only capacitor‐voltage balancing but also pulse
width modulation.
In 2008, Akagi and his co‐author presented a seminal paper on an MMC or, strictly
speaking, a DSCC (double‐star chopper‐cell) inverter with phase‐shifted‐carrier PWM
 3.2 MULTILEVEL NPC and NPP INVERTERS 155

at the last IEEE PESC [14], followed by its IEEE Transactions paper [15]. They
defined a “circulating” current from the positive and negative arm currents in a phase
leg of the DSCC inverter, and introduced it to the control system. This led to success
in achieving capacitor‐voltage balancing. In addition, the paper provided experi-
mental verification of the effectiveness and validity of the capacitor‐voltage balancing.
In 2009, a few research papers on MMCs or DSCC converters were presented
[16, 17]. However, these papers made no description of capacitor‐voltage balancing,
and disclosed neither experimental result nor waveform. Since 2010, many scientists
and engineers in academia and industry have been doing further research on MMCs
or DSCC converters. Nowadays, high‐voltage, high‐power DSCC converters are
finding a good market for long‐distance HVDC transmission systems and asynchro-
nous inter‐ties between two AC grids with the same or different line frequencies.

3.1.2 Overview of Chapter 3

This chapter includes an extensive description of multilevel converters, putting
emphasis on circuits and systems, as well as applications. It starts with three‐level
NPC and neutral‐point‐piloted (NPP) inverters, and three‐level and four‐level FLC
inverters, followed by the modular multilevel cascade converter (MMCC) family.
Then it provides an intensive discussion on circuits and systems of the following
two grid‐tied applications: the first is a three‐phase transformerless STATCOM
based on one family member for industrial and utility distribution systems; the
other is a back‐to‐back (BTB) system based on another family member for an asyn-
chronous inter‐tie between two transmission power systems.
Finally, this chapter gives a detailed description of circuits and systems of
electric motor drives based on two different multilevel converters. Attention is paid
to differences in motor‐driving performance between the two converters. Three
downscaled systems were designed, built and tested to verify their practicability
and effectiveness. Experimental waveforms obtained from the downscaled systems
are included to reveal the prominent individualities of the two converters.

3.2 MULTILEVEL NPC and NPP INVERTERS

This section discusses three‐level neutral‐point‐clamped (NPC) and neutral‐point‐

piloted (NPP) inverters, followed by a comparison of two three‐level inverters from
a practical point of view. Then, it extends the three‐level NPC inverter to a five‐level
NPC inverter equipped with a DC‐voltage‐balancing circuit.

3.2.1 Circuits of Three‐Level NPC and NPP Inverters

Figure 3.1 shows the following two circuit configurations on a per‐leg basis: the
three‐level NPC inverter in (a), and the three‐level NPP inverter in (b), where an
insulated‐gate bipolar transistor (IGBT) is used as a switching device. Historically,
156 Chapter 3 Multilevel Converters – Configuration of Circuits and Systems

(a) (b)

Figure 3.1 Per‐leg circuit configurations of (a) the three‐level neutral‐point‐clamped

(NPC) inverter [3], and (b) the neutral‐point‐piloted (NPP) inverter [19, 20].

the authors of [3] made an in‐depth description of topology, control, and verifica-
tion of the three‐phase NPC inverter. In addition, they introduced the three‐phase
NPP inverter resulting from the NPC inverter. Holtz built and tested a prototype of
the NPP phase leg, using thyristors in 1977 [18]. Since the thyristor‐based NPP
phase leg needs a forced‐commutation technique, it looks much more complicated
in circuit configuration than the IGBT‐based NPP phase leg shown in Figure 3.1b.
The authors of [19] named this topology the “NPP inverter” for the first time,
applying it to high‐speed motor drives. The naming was also used in [20]. At pre-
sent, the three‐level NPP inverter is often referred to as an “advanced NPC” inverter,
a neutral-point-switched (NPS) inverter, or a “T‐type NPC” inverter.

3.2.2 Principles of the Three‐Level NPC and NPP Inverters

Figure 3.2 shows five operating modes in the three‐level NPC inverter phase leg,
making the following assumptions:
•• The mid‐point voltage of the two split DC capacitors with respect to the neg-
ative DC‐link bus is regulated to a constant value of E, that is, half of the
DC‐link voltage 2E.
•• The positive direction of the AC current is defined from the AC terminal X to
a load terminal that is not shown in Figure 3.2.
Modes I, III, and V are the main players, whereas modes II and IV are the support-
ing players. Where the latest IGBTs are available on the market, an actual operating
time during modes II and IV is currently in the range of 2–20 µs, depending on the
voltage and current ratings of the IGBTs. Generally, the period of time in either
mode II or IV is referred to as a “dead time” or “blanking time.” As a result, the AC
 3.2 MULTILEVEL NPC and NPP INVERTERS 157

(a) (b) (c)

E E E

X X X
M M M
vXM vXM vXM

E E E

(d) (e)

E E

X X
M M
vXM vXM

E E

Figure 3.2 Five operating modes in a phase leg of the three‐phase three‐level NPC
inverter, where X = u, v, and w. (a) Mode I, where vXM = E. (b) Mode II, where vXM = 0 or E.
(c) Mode III, where vXM = 0. (d) Mode IV, where vXM = −E or 0. (e) Mode V, where vXM = −E.

terminal voltage with respect to the mid‐point of the two split DC capacitors, vXM,
depends on the polarity of the AC current. To avoid simultaneous switching of two
IGBTs, the NPC inverter takes the following sequence of the modes: mode I ⇔
mode II ⇔ mode III ⇔ mode IV ⇔ mode V.
Attention is paid to the transition from mode I to mode III in the following.
During mode I, both the top and second‐top IGBTs remain turned on, so that vXM is
equal to E, independent of the polarity of the AC current. Note that saturation/forward
voltages or on‐state voltages are neglected from the IGBTs and its freewheeling
diodes. After the top IGBT is turned off to execute the transition to mode II, two
possible current paths exist, as shown in Figure 3.2b. Thus, vXM can take either 0 or
E, depending on the polarity of the AC current. After a passage of dead time in the
range of 2–20 µs, the second‐bottom IGBT is turned on to complete the tradition to
mode III. As a result, vXM is equal to 0, independent of the polarity of the AC current.
Practical advantages of the three‐level NPC inverter, as well as differences
from a traditional two‐level inverter, can be summarized as follows:
•• The three‐level inverter takes values of E, 0, or − E at the AC terminal of each
phase leg, whereas the two‐level inverter takes either E or − E.
•• When the three‐level and two‐level inverters use IGBTs with the same voltage
rating, the three‐level inverter can produce a double AC voltage.
158 Chapter 3 Multilevel Converters – Configuration of Circuits and Systems

•• The three‐level inverter has the following welcome advantage: the four
IGBTs, the four freewheeling diodes, and the two clamping diodes have the
same voltage rating in each phase leg.
•• When each phase arm consists of two series‐connected IGBTs in the two‐
level inverter, it can produce a double AC voltage. However, it has to put up
with simultaneous switching of the two series‐connected IGBTs.
•• No simultaneous switching is required for the three‐level inverter as long as
mode II is always inserted in the transition between modes I and III, and mode
IV between modes III and V.
From a practical point of view, the NPC inverter should give care to “floating” in
the mid‐point voltage of the two split DC capacitors. Acceptable tolerances in
active and passive components, and control may produce a DC bias in the mid‐point
voltage if no negative feedback loop exists on the mid‐point voltage. The three‐
phase NPC inverter consisting of three phase legs has 27 (= 33) switching states
resulting from all the combinations of three main operating modes per phase leg.
The authors of [21] made a detailed description of how to choose the most appro-
priate switching state from moment to moment out of the 27 switching states. Their
approach based on space‐vector theory can bring three‐phase five‐level (line‐to‐
line) voltage waveforms to the AC terminals, eliminating the DC bias from the
mid‐point voltage. For example, a switching state of vuM = E, vvM = 0, and vwM = 0
produces the same three‐phase line‐to‐line voltages as another switching state of
vuM = 0, vvM = −E, and vwM = −E under the same three‐phase AC currents. Which
switching state is chosen, the former or the latter, determines whether the mid‐point
current flows into the mid‐point M, or flows out of it [21].
Figure 3.3 shows four operating modes in a phase leg of the three‐level NPP
inverter. Modes I, III, and IV are the main players, whereas mode II is the support-
ing player. To avoid simultaneous switching of two IGBTs, the NPP inverter takes
the following sequence of the modes: mode I ⇔ mode II ⇔ mode III ⇔ mode II ⇔
mode IV.
The three‐phase NPC and NPP inverters are the same in the waveform of
vXM during the three main modes. However, the supporting modes II and IV in the
NPC inverter are different in the waveform of vXM from the supporting mode II
in the NPP inverter, as shown in Figure 3.3. Like the NPC inverter, the NPP
inverter should give care to “floating” in the mid‐point voltage of the two split
DC capacitors.

3.2.3 Comparisons Between the Three‐Level

NPC and NPP Inverters
The NPC and NPP inverters look slightly different in topology. However, they are
almost the same in operation, control, and waveform. The NPC and NPP inverters
have the following advantages over a two‐level inverter that consists of two series‐
connected IGBTs per arm without the two clamping diodes shown in Figure 3.1a:
 3.2 MULTILEVEL NPC and NPP INVERTERS 159

(a) (b)

E E

X X
M M
vXM vXM

E E

(c) (d)

E E

X X
M M
vXM vXM

E E

Figure 3.3 Four operating modes in a phase leg of the three‐phase three‐level NPP
inverter, where X = u, v, and w. (a) Mode I, where vXM = E. (b) Mode II, where vXM = −E
or E. (c) Mode III, where vXM = 0. (d) Mode IV, where vXM = −E.

•• Each phase leg in the NPC and NPP inverters brings a three‐level voltage to
the AC terminals. This means that a voltage step at the AC terminals in the
NPC and NPP inverters is always half of that in the two‐level inverter. Strictly
speaking, however, the NPP and two‐level inverters produce the same voltage
step during the period of their dead time.
•• The NPC inverter requires no simultaneous switching of the two series‐
connected IGBTs per arm.
The NPP inverter would be preferable to the NPC inverter when the maximum DC
input voltage is lower than, for example, 750 V. The reason is that a single 1.2 kV
IGBT can be used as a switching device per arm, and that two 600 V IGBTs connected
in anti‐series can be used for voltage clamping. Thus, the NPP inverter has been used
as a low‐voltage photovoltaic (PV) inverter for grid‐tied applications. However, the
NPC inverter using 1.2 kV IGBTs and 1.2 kV freewheeling diodes, as well as 1.2 kV
clamping diodes, would be preferable for the 1.5 kVdc PV inverter. In particular, the
NPC inverter would be superior to the NPP inverter in efficiency and cost if SiC (silicon
carbide) MOSFET dual modules and Schottky barrier diode (SBD) dual modules
were available. The reason stems from the following: the NPC inverter per leg con-
sists of two 1.2 kV SiC‐MOSFET dual modules and a single 1.2 kV SiC‐SBD dual
module used as two clamping diodes. On the other hand, the NPP inverter consists of
160 Chapter 3 Multilevel Converters – Configuration of Circuits and Systems

a single 2.5 kV SiC‐MOSFET dual module and a single 1.2 kV SiC‐MOSFET dual
module in which the two SiC‐MOSFETs are connected in anti‐series. As a result, a
set of the two series‐connected 1.2 kV SiC‐MOSFETs in the NPC inverter has a lower
on‐state resistance than the single 2.5 kV SiC‐MOSFET in the NPP inverter. On the
other hand, a set of two series‐connected 1.2 kV Si (silicon) IGBTs has higher on‐
state voltage than a single 2.5 kV Si‐IGBT, because the Si‐IGBT has a non‐negligible
built‐in voltage, whereas the SiC‐MOSFET has no built‐in voltage.
Since the beginning of the 1990s, the three‐level NPC inverters have been put
into practical use for various industrial medium‐voltage and low‐voltage motor
drives, including steel‐mill drives [22]. Since March 1999, the Japanese high‐speed
train or the “Shinkansen” has been adopting a three‐level NPC rectifier/inverter
using IGBTs for driving the main traction motors, providing the capability of regen-
erative braking.
A three‐level active NPC (ANPC) inverter [23] was first introduced in 2001
for the purpose of improving the unequal loss distribution of the original NPC
inverter shown in Figure 3.1. This circuit configuration is characterized by replac-
ing each clamping diode with a pair of an IGBT and a diode connected in anti‐
parallel each other. The original NPC inverter is sometimes referred to as the passive
NPC (PNPC) inverter to avoid confusion with the ANPC inverter.

3.2.4 Five‐Level NPC Inverters

Figure 3.4 shows a three‐phase “three‐leg” five‐level NPC inverter equipped with a
DC‐voltage‐balancing circuit [24]. This comes from a straightforward extension of
the three‐level NPC inverter shown in Figure 3.1a. Note that all the IGBTs and

Diode Voltage-balancing Five-level

rectifier circuit inverter
9 kV

Cdc1
LC

6.6 kV Cdc2

M IM

Cdc3

Cdc4

0
Figure 3.4 A three‐phase five‐level NPC inverter with a DC‐voltage‐balancing circuit [24].
 3.3 MULTILEVEL FLC INVERTERS AND HYBRID FLC INVERTERS 161

diodes used in Figure 3.4 have the same voltage rating of 4.5 kV for driving the
6.6 kV induction motor. The voltage at mid‐point M with respect to the negative DC
bus can be regulated to 4.5 kV (= 9 kV/2) by control without any auxiliary circuit.
However, the individual voltages across capacitors Cdc1 and Cdc2, as well as those
across capacitors Cdc3 and Cdc4, should be regulated to 2.25 kV (= 4.5 kV/2) by the
voltage‐balancing circuit shown in Figure 3.4. Unless the balancing circuit exists,
capacitors Cdc2 and Cdc3 continue discharging, while capacitors Cdc1 and Cdc4 con-
tinue charging. A single three‐phase, six‐pulse diode rectifier is connected directly
to the 6.6 kV AC mains without transformer. Each arm of the diode rectifier consists
of four diodes connected in series. Therefore, a practical solution to harmonic mit-
igation would be to install a transformerless hybrid active filter [25] at the 6.6 kV
AC mains side, in order to comply with harmonic guidelines in an actual system
(see Figure 3.16a).
The authors of [24] designed, built, and tested the 200 V, 5.5 kW, 50 Hz
induction motor drive system using a three‐phase “three‐leg” five‐level NPC
inverter. Experimental waveforms obtained from the downscaled system verified
the effectiveness and validity of the five‐level NPC inverter shown in Figure 3.4.
However, no company or manufacturer has commercialized any three‐phase
“three‐leg” four‐level or five‐level NPC inverter, although academic research is
going on [24, 26].

3.3 MULTILEVEL FLC INVERTERS

AND HYBRID FLC INVERTERS

This section pays special attention to a three‐level flying capacitor (FLC) inverter
with focus on its circuit configuration and operating modes, followed by four‐level
and five‐level FLC inverters combined with a three‐level NPC, ANPC, or NPP
inverter.

3.3.1 Circuits of the Three‐Level and Four‐Level FLC Inverters

Figure 3.5 shows three‐level and four‐level flying capacitor (FLC) inverters. For
example, the three‐level FLC inverter is required to maintain the flying capacitor
voltage at half of the DC input voltage. Some scientists and engineers of power
electronics have done extensive research on capacitor‐voltage control, including
natural balancing based on phase‐shifted‐carrier pulse width modulation (PWM),
focusing on motor drives [27–30]. Alstom Power and Grid, presently a part of
General Electric, brought medium‐voltage motor drives using four‐level FLC
inverters to the market. The five‐level FLC inverter needs three flying capacitors
per phase leg, and their voltage ratings are different from each other. Moreover,
the five‐level inverter is much more complicated to control than the four‐level
inverter.
162 Chapter 3 Multilevel Converters – Configuration of Circuits and Systems

(a) (b)

Figure 3.5 Per‐leg circuit configurations of the three‐level and four‐level flying capacitor
(FLC) inverters [5]. (a) The three‐level FLC inverter. (b) The four‐level FLC inverter.

3.3.2 Principles of the Three‐Level FLC Inverter

Figure 3.6 shows nine possible operating modes in a phase leg of the three‐level
FLC inverter. Since the FLC inverter has the nine operating modes, it is more flex-
ible in choosing an appropriate operating mode from moment to moment than the
NPC and NPP inverters. Modes I, III, VII, and IX are the main players to produce a
three‐level voltage waveform, whereas modes II, IV, V, VI, and VIII are the support-
ing players preventing any “short‐through occurrence” inside the phase leg.
Both modes III and VII can produce the same AC voltage of vXO = E,
independent of the polarity of the AC current. However, modes III and VII have the
following significant difference in terms of circuit operation: the positive current is
charging the flying capacitor, and the negative current is discharging it in mode III.
On the other hand, the positive current is discharging the flying capacitor, and the
negative current is charging it in mode VII. This essential difference means that the
appropriate choice of either mode III or VII is mandatory for regulating the mean
DC voltage across the flying capacitor to E, which is half of the DC input voltage
of 2E. To avoid simultaneous switching of two IGBTs, the FLC inverter has to
choose the best one out of the five supporting modes during a period of transition
from one main mode to another.

3.3.3 Hybrid Four‐Level and Five‐Level FLC Inverters

Recently, attention has been paid to research on four‐level and five‐level inverters
based on combinations of a three‐level FLC phase leg with a three‐level NPC,
ANPC, or NPP phase leg. A five‐level ANPC inverter was introduced in 2005 [31],
each leg of which is based on a combination of the three‐level ANPC leg and the
three‐level FLC leg.
 3.3 MULTILEVEL FLC INVERTERS AND HYBRID FLC INVERTERS 163

(a) (b) (c)

2E 2E 2E

E E E
X X X
vXO vXO vXO

O O O

(d) (e) (f)

2E 2E 2E

E E E
X X X
vXO vXO vXO

O O O

(g) (h) (i)

2E 2E 2E

E E E
X X X
vXO vXO vXO

O O O
Figure 3.6 Nine possible operating modes in a phase leg of the three‐phase, three‐level
FLC inverter, where X = u, v, and w. (a) Mode I, where vXO = 2E. (b) Mode II, where vXO = E
or 2E. (c) Mode III, where vXO = E. (d) Mode IV, where vXO = 0 or E. (e) Mode V, where
vXO = 0 or 2E. (f) Mode VI, where vXO = E or 2E. (g) Mode VII, where vXO = E. (h) Mode
VIII, where vXO = 0 or E. (i) Mode IX, where vXO = 0.

Figure 3.7a shows the per‐leg circuit configuration of the four‐level “nested”
NPC inverter proposed in 2014 [32]. It is based on a combination of the inner three‐
level NPC phase leg with the outer three‐level FLC phase leg. Figure 3.7b shows
the per‐leg circuit configuration of the five‐level “nested” NPP inverter introduced
in 2016 [33]. It can be considered as a combination of the inner three‐level FLC
164 Chapter 3 Multilevel Converters – Configuration of Circuits and Systems

(a) (b)

Figure 3.7 Per‐leg circuit configurations of four‐level and five‐level nested inverters.
(a) The four‐level nested NPC inverter [32]. (b) The five‐level nested NPP inverter [33].

phase leg with the outer three‐level NPP phase leg. Much effort has been made
toward capacitor‐voltage balancing and switching‐frequency reduction with rela-
tion to PWM methods.

3.4 MODULAR MULTILEVEL CASCADE CONVERTERS

Figures 3.8 to 3.10 depict six circuit configurations belonging to the family of
modular multilevel cascade converters. The common concepts hidden in the family
members are based on “modular” structure, “multilevel” voltage, and “cascade”
connection. These concepts allow power electronics engineers to use the term
“modular multilevel cascade converter (MMCC)” as a family name. However, the
family name alone cannot identify the individual family members. Therefore, a
given/first name should be introduced to each family member as if to identify each
circuit configuration.

3.4.1 Terminological Issue and Solution

In 1971, McMurry patented a basic idea of multiple cascaded bridge‐cells [34]. In
1981, Alesina and Venturini published an IEEE Transactions paper describing a
generalized concept of multiple cascaded bridge or chopper‐cells [35]. However, it
was impossible to verify their idea and concept in the 1970s and 1980s. The remark-
able development of power electronics over the last three decades has made it pos-
sible to put the multilevel converters on the market.
 3.4 MODULAR MULTILEVEL CASCADE CONVERTERS 165

(a) (b) (c)

vS

M K J
vac
Figure 3.8 Three circuit configurations of modular multilevel xSBC converters, where
x = S, D, and T. Each of the five white boxes is the same as the SSBC surrounded by the
dashed‐line box on the left. (a) The SSBC (single‐star bridge‐cell) converter. (b) The DSBC
(double‐star bridge‐cell) converter. (c) The TSBC (triple‐star bridge‐cell) converter.

(a) (b)

Figure 3.9 Two circuit configurations of modular multilevel xDBC converters, where
x = S and D. Each of the eight white boxes is the same as the cluster surrounded by the
dashed‐line box on the left. (a) The SDBC (single‐delta bridge‐cell) converter. (b) The
DDBC (double‐delta bridge‐cell) converter.
166 Chapter 3 Multilevel Converters – Configuration of Circuits and Systems

vS

N P

Vdc
Figure 3.10 Circuit configuration of the DSCC (double‐star chopper‐cell) converter.

Around 1994, Robicon Corporation put an innovative multilevel inverter for

medium‐voltage motor drives on the market. This multilevel inverter was referred
to as a “cascade multilevel inverter” [8], a “cascaded H‐bridge inverter” [36], or a
“chain‐link multilevel inverter” [37]. This means that different manufacturers or
companies use different names, like trade names. However, the multilevel inverter
can be considered also as a “modular multilevel inverter” because it is one of the
modular multilevel inverters based on the cascade connection of multiple modular
H‐bridge (single‐phase full‐bridge) cells.
From 2003 to 2005, Marquardt and his coauthors presented pioneering mul-
tilevel converters that they named as “modular multilevel converters.” However, the
name or designation makes it impossible for beginners in power electronics to dis-
tinguish one circuit configuration from the others. The reason is that both terms
“modular” and “multilevel” do not have enough information to identify their circuit
configurations. Moreover, it is reasonable to call a modular multilevel converter as a
“cascade multilevel converter.” The reason is that the converter is based on the cas-
cade connection of either multiple bidirectional chopper (half‐bridge) or H‐bridge
(full‐bridge) cells. Nevertheless, it is also appropriate to use the term “modular
multilevel converter” as a proper noun. This may lead to the following confusion:
when a power electronics engineer uses either “modular multilevel converter” or
“cascade multilevel converter” in their technical paper/article or presentation, other
engineers cannot identify the circuit configuration or in the worst case may misun-
derstand it [38].
 3.4 MODULAR MULTILEVEL CASCADE CONVERTERS 167

To avoid the above‐mentioned confusion, this chapter introduces a

combination of a given/first name and a family/last name to the modern multilevel
converters, including six different circuit configurations. The family/last name of
“modular multilevel cascade converters” merges the two terms “cascade multilevel
converters” and “modular multilevel converters” together [38]. The following
given/first names are assigned to the six family members:
•• SSBC (single‐star bridge‐cell) for Figure 3.8a, or a “cascade multilevel con-
verter with star configuration” in [8].
•• DSBC (double‐star bridge‐cell) for Figure 3.8b, or an “MMC with full‐bridge
submodules” in [39].
•• TSBC (triple‐star bridge‐cell) for Figure 3.8c, or a “modular multilevel matrix
converter” in [40].
•• SDBC (single‐delta bridge‐cell) for Figure 3.9a, or a “cascade multilevel con-
verter with delta configuration” in [8].
•• DDBC (double‐delta bridge‐cell) for Figure 3.9b, or a “hexagonal converter”
in [41].
•• DSCC (double‐star chopper‐cell) for Figure 3.10, or an “MMC with half‐
bridge submodules” in [39].
These given/first names can be used to identify the six individual circuit configura-
tions. Note that the DSCC converter can be considered as a special case of the
DSBC converter from a topological point of view.

3.4.2 Circuits and Individualities of Six Family Members

Figure 3.8 shows the following three converter circuit configurations: the single‐
star bridge‐cell (SSBC) converter, the double‐star bridge‐cell (DSBC) converter,
and the triple‐star bridge‐cell (TSBC) converter. The naming convention is that the
three converters are based on one (single), two (double), and three (triple) set(s) of
three star‐connected clusters, respectively, and that each cluster consists of multiple
“bridge‐cells” connected in cascade. This chapter refers to a string of the multiple
bridge‐cells as a “cluster,” to distinguish it from existing terms “arm” and “leg”
used for traditional two‐level converters.
Figure 3.8a has no current path or branch connected between the cluster mid‐
point M and the supply neutral point O. Hence, no current would flow between
points M and O even if any voltage appeared between points M and O. An appro-
priate adjustment of vMO allows the SSBC converter to achieve cluster‐voltage
balancing [42–44]. Note that the intentionally‐injected voltage vMO does not appear
in the cluster line‐to‐line voltages.
Figure 3.8b has a current path connected between two mid‐points J and K.
The voltage difference between vJO and vKO is given by:

vJK vJO vKO vac . (3.1)

168 Chapter 3 Multilevel Converters – Configuration of Circuits and Systems

Collaborative adjustments of vJO and vKO allow the DSBC converter to achieve bi‐
directional power conversion between the three‐phase supply voltage vS and the
single‐phase AC voltage source vac.
Figure 3.8c has the capability of bi‐directional power conversion between
three‐phase supply voltage sources and three‐phase load voltage sources such as an
induction or synchronous motor. This TSBC converter is suitable for medium‐
voltage, high‐power, low‐speed, high‐torque motor drives.
Figure 3.9 shows the following two converter configurations; the single‐delta
bridge‐cell (SDBC) converter, and the double‐delta bridge‐cell (DDBC) converter.
The naming convention is that the two converters are based on one (single) and two
(double) set(s) of three delta‐connected clusters, respectively, and that each cluster
consists of multiple “bridge‐cells” connected in cascade.
Figure 3.9a allows a circulating current to flow through the three delta‐
connected clusters. Appropriate adjustment of the circulating current brings an
additional function of negative‐sequence reactive‐power control to the SDBC con-
verter [45]. However, the bridge‐cell count per cluster in the SDBC converter is
1.73 times as high as that in the SSBC converter, as long as the IGBTs used in
Figure 3.8a and Figure 3.9a have the same voltage rating.
Figure 3.9b can achieve bi‐directional power conversion between three‐phase
supply voltage sources and three‐phase load voltage sources. The DDBC converter
has the same function in power conversion as the TSBC converter. However, the
DDBC converter has only one degree of freedom in circulating current, whereas the
TSBC converter has four degrees of freedom [1]. This difference would produce a
significant effect on capacitor‐voltage‐balancing performance.
Figure 3.10 can achieve bi‐directional power conversion between three‐
phase supply voltage sources vS and a single DC voltage source Vdc. This DSCC
converter can be considered as two identical single‐star chopper‐cell (SSCC)
converters. However, the three clusters in one SSCC converter are opposite in
voltage polarity to those in the other. Note that the SSCC converter would not
be able to find any suitable application to AC grids from a practical point of
view, although it is an interesting circuit configuration from a theoretical point
of view.

3.4.3 Topological Discussion on the DSBC

and DSCC Converters
The DSBC converter can connect a single‐phase AC voltage source vac between two
mid‐points J and K, as shown in Figure 3.9b. On the other hand, the DSCC con-
verter can connect a DC voltage source Vdc between two mid‐points P and N, as
shown in Figure 3.10. The DC voltage source is given by

vdc vPO vNO (3.2)

 3.4 MODULAR MULTILEVEL CASCADE CONVERTERS 169

The DC voltage in Eq. (3.2) can be considered as a special case of the AC voltage
source vac in Eq. (3.1). Consider the following constraint between VS and Vdc

vdc 2 2vS 3 (3.3)

where VS is the three‐phase supply line‐to‐line rms voltage. Whenever the con-
straint in Eq. (3.3) is effective in Figure 3.9b, each bridge cell always produces a
positive voltage at the arm side. This means that each bridge cell can be replaced
with each chopper cell. Hence, it is concluded that the DSCC converter is a special
case of the DSBC converter in terms of circuit configuration because it can be
derived from the DSBC converter, as discussed above.

3.4.4 Comparisons among the Six MMCC Family Members

Tables 3.1 and 3.2 summarize comparisons among the six family members. The
“IGBT‐count ratio” signifies the count ratio of the IGBTs used in each member
with respect to those in the SSBC under the following assumptions:
•• The six members have the same power and voltage ratings, using the same
voltage‐rating IGBTs.
•• As for the DSBC, TSBC, and DDBC converters, their AC output voltage is
the same in rms voltage as the three‐phase supply voltage.
•• As for the DSCC converter, the DC voltage Vdc meets the following equation:
vdc 2 2vS 3 .
Note that the IGBTs have different current ratings because the count of the IGBTs
differs among the six members. The “applicability” in the last row includes technical
aspects as well as the potential market size for each member.

TABLE 3.1 Comparisons among the family members of modular multilevel cascade
converters: Part I.

Circuit Figure 3.8a Figure 3.8b Figure 3.8c

Given/first name SSBC (single‐star DSBC (double‐star TSBC (triple‐star

bridge‐cell) bridge‐cell) bridge‐cell)
Effective terminal Three terminals Five terminals Six terminals
count
Prominent function Positive‐sequence‐ 3‐ph‐to‐1‐ph direct 3‐ph‐to‐3‐ph direct power
current control power conversion conversion
IGBT‐count ratio 1 4 6
Circulating current No Two degrees of Four degrees of freedom
freedom
Applicability +++++ ++++ +++
170 Chapter 3 Multilevel Converters – Configuration of Circuits and Systems

TABLE 3.2 Comparisons among the family members of modular multilevel cascade
converters: Part II.

Circuit Figure 3.9a Figure 3.9b Figure 3.10

Given/first name SDBC (single‐delta DDBC (double‐delta DSCC (double‐star

bridge‐cell) bridge‐cell) chopper‐cell)
Effective terminal Three terminals Six terminals Five terminals
count
Prominent function Negative‐sequence‐ 3ph‐to‐3ph direct Rectification and
current control power conversion inversion
IGBT‐count ratio 3 4 3 2
Circulating current One degree of One degree of freedom Two degrees of
freedom freedom
Applicability +++++ ++ +++++

3.4.5 Circulating Current

The “circulating current” (as defined in [14, 15, 45, 46]) plays an important role in
achieving voltage balancing of all the bridge‐cell or chopper‐cell capacitors. The
SSBC has no circulating current flowing inside it, although it can inject a common‐
mode zero‐sequence voltage instead. From a practical point of view, therefore,
the SSBC has been used as a static synchronous compensator (STATCOM) for
positive‐sequence reactive‐current control and as a battery‐energy storage system
(BESS) for positive‐sequence active‐current control at the lowest cost among the
six members. The reason is that the SSBC has a minimum cell count among the six
family members, as shown in Table 3.1. The SSBC can use the common‐mode
zero‐sequence voltage vMO for achieving capacitor‐voltage balancing of all the
floating bridge cells in the STATCOM [9, 42–44], and for achieving SOC (state‐
of‐charge) balancing control, fault‐tolerant control, and active‐power control of
the individual bridge cells in the BESS [47–50].
The SDBC allows an AC current to circulate through three delta‐connected
clusters [45]. This circulating current plays an essential role in exchanging active
power among the three clusters, although the circulating current is accompanied by
a slight increase in conduction and switching losses. The SDBC is more suitable for
a STATCOM for negative‐sequence, as well as positive‐sequence, reactive‐current
control [51], and a BESS for negative‐sequence reactive‐current control as well as
positive‐sequence active‐current control.
Both DSCC and DSBC have two degrees of freedom in the circulating cur-
rents [38]. The TSBC has four degrees of freedom, whereas the DDBC has one
degree of freedom. Although both TSBC and DDBC can achieve three‐phase AC‐
to‐AC direct power conversion, the TSBC is superior to the DDBC in capacitor‐
voltage‐balancing performance. The reason is because the TSBC is more flexible
than the DDBC in terms of circulating‐current control.
 3.5 PRACTICAL APPLICATIONS OF SSBC INVERTERS TO MEDIUM‐VOLTAGE MOTOR DRIVES 171

3.5 PRACTICAL APPLICATIONS OF SSBC INVERTERS

TO MEDIUM‐VOLTAGE MOTOR DRIVES

Figure 3.11 shows a well‐known multilevel motor drive based on an SSBC

converter, which combines a multiple‐phase‐shifted‐windings line‐frequency
­
transformer with multiple three‐phase six‐pulse diode rectifiers [6]. Some com-
panies across the world have already established a good business market for

(a)

Fig 3.11(b)

Fig 3.11(b)

Fig 3.11(b)

Fig 3.11(b)

Fig 3.11(b)

Fig 3.11(b)

Fig 3.11(b)

Fig 3.11(b)

Fig 3.11(b)

(b)

Figure 3.11 A medium‐voltage motor drive system based on an SSBC inverter [6].
(a) Power circuit. (b) Power cell.
172 Chapter 3 Multilevel Converters – Configuration of Circuits and Systems

(a)

Fig 3.12(b)

Fig 3.12(b)

Fig 3.12(b)

Fig 3.12(b)

Fig 3.12(b)

Fig 3.12(b)

Fig 3.12(b)

Fig.12(b)

Fig 3.12(b)

(b)

Figure 3.12 Another medium‐voltage motor drive system based on an SSBC inverter [52].
(a) Power circuit. (b) Power cell.

medium‐voltage motor drives for fan, blower, and pump applications. However,
the manufacturers have had to put up with the indispensable line‐frequency
transformers which are complicated, heavy, bulky, costly, and prone to failure.
Figure 3.12 shows a newly‐developed medium‐voltage motor drive based
on an SSBC converter [52]. Although it is somewhat similar to Figure 3.11, the
­following significant differences exist between the two drive systems.
•• Figure 3.11 has a three‐phase, multiple‐phase‐shifted‐windings transformer.
On the other hand, Figure 3.12 has three three‐phase transformers with open‐
end windings but without any phase‐shifted winding in the secondary.
 3.6 HIERARCHICAL CONTROL OF AN SSBC‐BASED STATCOM 173

•• Figure 3.11 has a three‐phase diode rectifier as the front end of each single‐
phase, two‐legged (full‐bridge), two‐level inverter, so that it has no function
of regenerative braking. On the other hand, Figure 3.12 uses a single‐phase,
two‐legged (full‐bridge), three‐level NPC rectifier as the front end. This
­circuit configuration allows Figure 3.12 to provide the function of regener-
ative braking for applications such as conveyors, cranes, and so on. In
addition, introducing the so‐called “phase‐shifted‐carrier PWM” to multiple
three‐level NPC rectifiers makes the three‐phase line currents sinusoidal
and balanced.
The three three‐phase transformers in Figure 3.12 can be replaced with a single
three‐phase transformer in which the primary has a set of simple three‐phase
­windings and the secondary has three sets of three‐phase open‐end windings.

3.6 HIERARCHICAL CONTROL OF AN SSBC‐BASED

STATCOM

This section is a general description of an SSBC‐based STATCOM characterized

by phase‐shifted‐carrier PWM, with a focus on capacitor‐voltage balancing. The
phase‐shifted‐carrier PWM is applicable to any chopper‐cell count per cluster when
it is integrated into a hierarchical control system with three layers.

3.6.1 Background and Motivation

In the 1990s, flexible AC transmission system (FACTS) devices such as unified
power flow controllers (UPFCs) and STATCOMs using gate‐turn‐off (GTO) thyris-
tors were installed on power transmission systems. At present, in Japan there are a
few operational FACTS devices in a broad sense, and relatively few globally. The
GTO thyristors had been replaced gradually with insulated‐gate bipolar transistors
(IGBTs). Since March 1999, IGBTs have been put into practical use as power
switching devices in three‐level neutral‐point‐clamped (NPC) PWM inverters [3]
for driving main traction motors in Japanese bullet trains or the “Shinkansen.” This
epoch‐making event made Akagi interested in power conversion systems using
3.3 kV IGBTs, intended for direct installation to the 6.6 kV industrial and utility
distribution systems in Japan.
In 2002, Akagi and his graduate students commenced doing comprehensive
research on the 6.6 kV transformerless SSBC‐based STATCOM shown in
Figure 3.8a. His long experience in power electronics helped him to recognize the
superiority of phase‐shifted‐carrier PWM to staircase modulation or one‐pulse
PWM for the SSBC converter used in the STATCOM. The reason was that IGBTs
have better switching performance as well as much more compact gate‐drive and
auxiliary circuits than GTO thyristors. The better switching performance leads to
higher switching frequencies, thus resulting in bringing better current‐control
174 Chapter 3 Multilevel Converters – Configuration of Circuits and Systems

performance to the SSBC converter, even in grid‐faulty conditions. In fact, a

phase‐shifted‐carrier PWM has the following practical advantage: the actual
switching frequency of each IGBT is exactly equal to the triangular‐carrier frequency,
independent of control gains, circuit parameters, and operating conditions including
transient states. This advantage is welcomed by power electronic engineers in
industry, although research scientists in academia may not be so interested in it.
However, one of the most crucial issues at that time was how to realize voltage
balancing of all the floating or flying capacitors in the SSBC converter with phase‐
shifted‐carrier PWM [53, 54].

3.6.2 Hierarchical Control

In 2002, Akagi posed himself the following question: “What should be given the top
priority in academic research on capacitor‐voltage balancing for an SSBC‐based
STATCOM with phase‐shifted‐carrier PWM?” His answer was that the top priority
should be given to easy expansion to any SSBC‐based STATCOM, independent of
bridge‐cell counts per cluster. This priority led him to introduce so‐called “hierar-
chical control” to the STATCOM. It consists of the following three layers:
•• The top layer takes part in both reactive‐power control and overall capacitor‐
voltage control.
•• The middle layer is responsible for cluster capacitor‐voltage-balancing con-
trol [9] or inter‐cluster capacitor‐voltage-balancing control [55, 56].
•• The bottom layer is responsible for individual capacitor‐voltage balancing
control [9] or intra‐cluster capacitor-voltage-balancing control [55, 56].
Figure 3.13 depicts the conceptual circuit of the top layer, in which the SSBC
­converter shown in Figure 3.8a would act as if it were a traditional three‐phase
two‐level converter equipped with a single floating or flying DC capacitor. The
capacitor voltage vC is given as an arithmetic-average voltage of all the DC
­capacitors in the SSBC converter:

1
vC vCu vCv vCw (3.4)
3
For example, vCw can be calculated by

1
vCw vCw1 vCw 2 vCwn (3.5)
n
and, for example, vCw1 in Eq. (3.5) means an analog or digital signal after passing
through either a low‐pass filter or moving‐average filter for mitigating a 100 Hz
(double line frequency) voltage ripple included in the real DC‐capacitor voltage
vCw1. This overall capacitor‐voltage control technique in Figure 3.13 is the same in
principle as a traditional technique used in a STATCOM based on a three‐phase,
two‐level or three‐level neutral‐point‐clamped (NPC) converter.
 3.6 HIERARCHICAL CONTROL OF AN SSBC‐BASED STATCOM 175

vC

Figure 3.13 Conceptual circuit of the top layer responsible for both reactive‐power
control and overall capacitor‐voltage control [53, 54].

vCw

M
Figure 3.14 Conceptual circuit of the middle layer responsible for inter‐cluster capacitor‐
voltage balancing control [53, 54].

Figure 3.14 shows the conceptual circuit of the middle layer, where the SSBC
converter would act as if it were three single‐phase two‐level converters or bridge
cells. Each of the three bridge cells is equipped with a single floating or flying DC
capacitor. For example, vCw, given by Eq. (3.5), means an arithmetic‐average voltage
of all the DC capacitors in the w‐phase cluster. This middle layer plays an important
role in achieving capacitor‐voltage balancing among the three bridge cells or the
three clusters, as shown in experimental waveforms in Figure 3.21. The inter‐cluster
balancing control technique relies on superimposing a small amount of three‐phase
negative‐sequence current on the three‐phase supply currents drawn from the AC
176 Chapter 3 Multilevel Converters – Configuration of Circuits and Systems

(a) (b) (c)

vCu1

vCu2

vCun

Figure 3.15 Conceptual circuit of the bottom layer responsible for intra‐cluster capacitor‐
voltage balancing control. (a) The a‐phase cluster. (b) The b‐phase cluster. (c) The c‐phase
cluster [53, 54].

mains [9], or injecting an appropriate amount of zero‐sequence voltage vMO bet-

ween points M and O in Figure 3.14 [43, 44].
Figure 3.15 shows the conceptual circuit of the bottom layer. The SSBC con-
verter would act as if it were three independent clusters, each of which is equipped
with multiple floating or flying DC capacitors. The intra‐cluster balancing control
technique is so straightforward that it actually adjusts a small amount of active
power flowing into, or out of, each bridge cell inside each cluster [53, 54].
The integration of the inter‐cluster balancing control into the middle layer
brought a technological breakthrough to SSBC‐based STATCOMs [42–44] and
battery energy storage systems [47–50], and to SDBC‐based STATCOMs [45] and
utility‐scale photovoltaic systems [55, 56].

3.7 A DOWNSCALED SSBC‐BASED STATCOM

WITH PHASE‐SHIFTED‐CARRIER PWM

This section presents a downscaled SSBC‐based STATCOM with phase‐shifted‐

carrier PWM. It is rated at 200 V and 10 kVA with three bridge cells per cluster.
Experimental waveforms verify the validity and effectiveness of the hierarchical
control system described in the previous section, keeping the nine bridge‐cell‐
capacitor voltages controlled and balanced, even in a more severe transition from
capacitive to inductive (or capacitive to inductive) operation at the rated reactive
power of 10 kVA within 20 ms.
 3.7 A DOWNSCALED SSBC‐BASED STATCOM WITH PHASE‐SHIFTED‐CARRIER PWM 177

3.7.1 System Configuration

Figure 3.16 shows the system configuration of the three‐phase 200 V, 10 kVA, 50 Hz
STATCOM. Table 3.3 summarizes the circuit parameters. It consists of nine bridge
cells in total with the same voltage and current ratings. As a result, it produces a
seven‐level line‐to‐neutral (13‐level line‐to‐line) voltage waveform. The phase‐
shifted unipolar sinusoidal PWM with a carrier frequency of 1 kHz is applied to the
STATCOM. Each bridge cell is equipped with a floating or flying DC capacitor
with a capacitance value of 16.4 mF. The unit capacitance constant is calculated as
36 ms at 70 V [57]. Note that neither external circuit nor power source is installed
on the DC side of each bridge cell, except for the DC capacitor and a DC voltage
sensor.
This chapter refers to a cluster of three bridge cells in the u‐phase as the
u‐phase “cluster,” not the u‐phase arm or leg. Moreover, vuM is the u‐phase cluster
voltage with respect to the neutral point of the star‐connected STATCOM, M, while
vuv is the u‐phase cluster voltage with respect to the v‐phase cluster voltage.
Figure 3.17 shows the digital control system of the STATCOM. It consists of
a fully‐digital control circuit based on a single DSP (digital signal processor) and

vS iu
LS
iv
O iw

200 V, 50 Hz MC1

MC2 R

Lac
vuM vvM vwM

vCu1 Cu1 vu1

The w-phase cluster
The v-phase cluster

vCu2 Cu2 Cell 2 vu2

vCu3 Cu3 Cell 3 vu3

The u-phase cluster M

Figure 3.16 The three‐phase 200 V, 10 kVA, 50 Hz STATCOM used in experiment [9].
178 Chapter 3 Multilevel Converters – Configuration of Circuits and Systems

TABLE 3.3 Circuit parameters for Figure 3.16 [9].

Rated reactive power Q 10 kVA

Nominal line‐to‐line rms voltage VS 200 V

Bridge‐cell count per cluster n 3
Background system inductance LS 48 μH (0.4%)
AC inductor Lac 1.2 mH (10%)
Starting‐up resistor R 10 Ω
Capacitor voltage reference vC* 60–70 V
Capacitor capacitance C 16.4 mF
Unit capacitance constant [57] HC 36 ms at 70 V
Triangular‐carrier frequency fC 1 kHz
Equivalent carrier frequency 2nfC 6 kHz
Low‐pass‐filter cut‐off frequency 15 Hz
Dead time in each bridge cell 2 µs

Per‐unit values of 0.4% and 10% are on a three‐phase 200 V, 10 kVA, 50 Hz base.

Voltage sensors
vCu1
SSBC converter

LS vS i Lac

DCCTs vCu2
3ϕ, 200 V,50 Hz
.
.
PT .
vCw3
2 3 3 9
36

PWM
PLL A/D A/D
(FPGAs)
6 ∗
18 9
v
Control
(DSP)

∗
q
Figure 3.17 Digital control system for the 200 V, 10 kVA STATCOM [9].

three FPGAs (field‐programmable gate arrays). The PLL (phase‐locked‐loop)

­circuit in Figure 3.17 is used to synchronize internal control signals with the
supply voltage.
Figure 3.18 shows three triangular‐carrier signals with the same frequency of
1 kHz, which are phase‐shifted by 2π/3 from each other, to realize phase‐shifted‐
carrier PWM. Thus, the line‐to‐neutral voltage at the AC side of the u‐phase cluster,
vuM, results in being a seven‐level PWM waveform with the lowest harmonic
sideband centered at 6 kHz (= 1 kHz × 2 × 3).
 3.7 A DOWNSCALED SSBC‐BASED STATCOM WITH PHASE‐SHIFTED‐CARRIER PWM 179

Sampling
Computation Voltage reference
Reference Carrier signal
167 μs renewal

Bridge cell 1
0

Bridge cell 2

Bridge cell 3

Figure 3.18 Three triangular‐carrier signals with a phase shift of 2π/3 between one and
another, along with sampling timing [9].

Data sampling for bridge cell 1, for example, is carried out at every top or
bottom of the carrier signal for bridge cell 3. A pair of voltage references for bridge
cell 1 is renewed at the following top or bottom of the carrier signal for bridge cell
1 with a sampling delay of 167 µs (= 1/6 ms). Then, it is held for 500 µs to avoid the
so‐called “multi‐switching.” As a result, the sampling period is 167 µs (the sam-
pling frequency is 6 kHz), and the reference renewal period is 500 µs. The total
delay time including the zero‐order holder in the digital control is 667 µs.
The digital control system in Figure 3.17 has to execute a sequence of voltage/
current signal acquisition and voltage‐reference computation within the sampling
period of 167 µs. The DSP sends a pair of voltage references every 167 µs to one of
the three FPGAs that play an essential role in generating 36 PWM signals. A pair
of voltage references corresponds to a pair of legs in a bridge cell: one voltage ref-
erence is opposite in polarity to the other, thus resulting in the so‐called “unipolar
modulation.” Note that one voltage reference is drawn while the other is eliminated
from Figure 3.18.

3.7.2 Control Technique

Figure 3.19 shows the control block diagram for the STATCOM. It is based on the
so‐called “hierarchical control” consisting of three layers, as described in the
previous section. The top layer is responsible for both reactive‐power control and
overall capacitor‐voltage control. The middle layer is for inter‐cluster capacitor‐
voltage balancing control among the three clusters. The bottom layer is for
180 Chapter 3 Multilevel Converters – Configuration of Circuits and Systems

vCu1 vCv2 vCw3

Voltage v ∗C
reference LPF (15 Hz)
calculation 9 (vCu1, vCu2 , ···, vCw3)
Overall vBum
capacitor- Capacitor-
q∗ voltage- vBvm
voltage control
vC balancing vBwm
vSuO vSd
vSvO d-q control
i ∗d i ∗q
vSwO trans.
vSq

iu id Instantaneous v ∗d Inv. v ∗um

d-q
iv reactive power d-q v ∗vm
iw trans. v ∗wm
iq control v ∗q trans.

Figure 3.19 Control block diagram for the 200 V, 10 kVA STATCOM [9].

intra‐cluster capacitor‐voltage balancing control among the three bridge cells in

each cluster.
The following set of voltage and current equations can be obtained, neglect-
ing resistance components from Figure 3.16.

vSuO vuM iu
d
vSvO vvM lac iv (3.6)
dt
vSwO vwM iw

Invoking the d‐q transformation yields

d
lac lac id vSd vd
dt
(3.7)
d iq vSq vq
lac lac
dt

Here, vd and vq are the d‐axis and q‐axis components corresponding to the three‐
phase cluster voltages, vuM, vvM and vwM, and vSd and vSq are those corresponding to
the three‐phase supply voltages, respectively. When the three‐phase line‐to‐neutral
supply voltages vSuO, vSvO and vSwO are sinusoidal and balanced, vSq is always zero
because vSuO is aligned with the d‐axis supply voltage.
The instantaneous real power p and the instantaneous imaginary power q [58]
are given as follows:

p vSd id vSq iq vSd id (3.8)

q vSd iq vSq id vSd iq (3.9)

The mean DC‐capacitor voltage in the u‐phase cluster, vCu, for example, can be
­calculated by
 3.7 A DOWNSCALED SSBC‐BASED STATCOM WITH PHASE‐SHIFTED‐CARRIER PWM 181

1
vCu vCu1 vCu 2 vCu 3 (3.10)
3
The mean DC‐capacitor voltage of the three clusters, vC is given by

1
vC vCu vCv vCw (3.11)
3
The d‐axis current reference id* and the q‐axis current reference iq* are determined by

id* K1 vC* vC (3.12)

q*
iq* (3.13)
vSd

The d‐axis voltage reference vd* and the q‐axis voltage reference vq* are given by

vd* 1 vSd 0 lac id id* id K2 0

K2 dt (3.14)
vq* 3 vsq lac 0 iq iq* iq t2 iq* iq

The first and second terms of the right hand side in Eq. (3.14) act as feedforward com-
pensators for canceling out the supply voltage and the voltage appearing across the AC
inductor, respectively. The third term is a proportional controller for the d‐axis current,
and the fourth term is a proportional plus integral controller for the q‐axis current. The
coefficient of 1/3 comes from the bridge‐cell count per cluster.

3.7.3 Experimental Waveforms
Figure 3.20 shows experimental waveforms in a transient state from inductive to
capacitive operation with a ramp change in q* from −10 kVA to 10 kVA. Although a
set of waveforms at the bottom are the nine capacitor voltages and its reference, it is
difficult to distinguish the nine waveforms from Figure 3.20. The capacitor‐voltage
reference was controlled in a range between 60 V and 70 V, being synchronized with
the ramp change in q* [kVA] in a time interval of 20 ms as follows:

vC* 65 q* / 2 V (3.15)

The above equation means that capacitive operation at q* = 10 kVA takes the max-
imal voltage reference of 70 V, whereas inductive operation at q* = −10 kVA takes
the minimal voltage reference of 60 V. Each capacitor voltage contains a 100 Hz
(double line frequency) component inherent in a bridge cell. However, each mean
DC‐capacitor voltage was kept balanced and controlled, even in the transient state.
The u‐phase supply current flowing into the STATCOM, iu, had a current THD
(total harmonic distortion) of 3.7%.
182 Chapter 3 Multilevel Converters – Configuration of Circuits and Systems

200
vSuO [V] 0
−200
60

iu [A] 0

−60
q
15

q [kVA] 0 q∗

−15
80 v ∗C
vC [V] 70
60 vC 50 ms
50
Figure 3.20 Experimental waveforms in a transient state from inductive to capacitive
operation at 10 kVA [9].

200
vSuO [V] 0
−200
60

iu [A] 0

−60
90 Inter-cluster balancing control was
enabled
80
70
vC [V]
60 50 ms
50
Figure 3.21 Experimental waveforms confirming the effectiveness of the inter‐cluster
capacitor‐voltage balancing control when the STATCOM was in capacitive operation at
10 kVA with vC* = 70 V. Both overall capacitor‐voltage control and intra‐cluster capacitor‐
voltage balancing control remained active through this experiment [9].

Figure 3.21 shows experimental waveforms of the u‐phase supply current iu

and the nine capacitor voltages, verifying the effectiveness of the inter‐cluster
capacitor‐voltage balancing control. During capacitive operation at 10 kVA with
vC* = 70 V, the inter‐cluster balancing control was intentionally disabled for three
seconds, and then it was enabled again. Note that the intra‐cluster capacitor‐
voltage balancing control remained active in this experiment. Although the inter‐
cluster balancing control was disabled, both overall capacitor‐voltage control and
intra‐cluster capacitor‐voltage balancing control remained active. As a result, the
nine waveforms looked like the three waveforms corresponding to the u‐phase, v‐phase,
 3.8 CIRCULATING CURRENTS IN DSCC CONVERTERS 183

200
vSuO [V] 0
−200
60

iu [A] 0

−60
Intra-cluster balancing control was enabled
90
80
vC [V] 70
60 50 ms
50
Figure 3.22 Experimental waveforms confirming the effectiveness of the intra‐cluster
capacitor‐voltage balancing control when the STATCOM was in capacitive operation at
10 kVA with vC* = 70 V. Both overall capacitor‐voltage control and inter‐cluster capacitor‐
voltage balancing control remained active through this experiment [9].

and w‐phase clusters in Figure 3.21. This interesting fact indicates that the three
capacitor voltages inside each cluster were well balanced, although the capacitor‐
voltage imbalance occurred among the three clusters. As soon as the inter‐cluster
balancing control was enabled, each mean DC‐capacitor voltage converged to its
reference voltage, and finally reached 70 V in 70 ms. The reason why the capacitor‐
voltage imbalance occurred during the interval of disabling the inter‐cluster
balancing control might be related to component and control tolerances.
Figure 3.22 shows experimental waveforms verifying the effectiveness of the
intra‐cluster capacitor‐voltage balancing control during capacitive operation at
10 kVA with vC* = 70 V. The intra‐cluster balancing control was intentionally dis-
abled for ten seconds, and then it was enabled again. Note that the inter‐cluster
capacitor‐voltage balancing control remained active in this experiment. Whether
the intra‐cluster balancing control was disabled or enabled produced little effect on
the waveform of iu. However, serious voltage imbalance occurred in the nine DC
capacitors while the intra‐cluster balancing control was disabled. As soon as it was
enabled, each mean DC‐capacitor voltage started to converge to its reference
voltage, and finally reached 70 V in 150 ms [9].

3.8 CIRCULATING CURRENTS IN DSCC CONVERTERS

Around 2005, Akagi had the opportunity to read a series of Marquardt’s papers on
two slightly-different modular multilevel converters [10–13], or more strictly,
DSCC and DSBC converters. At a glance, he had an intuition that the two modular
multilevel converters show considerable promise as high‐voltage AC‐to‐DC and
AC‐to‐AC bidirectional power converters in terms of circuit configuration and
operating principles.
184 Chapter 3 Multilevel Converters – Configuration of Circuits and Systems

In 2005, Akagi’s research group succeeded in experimental verification of the

three‐phase SSBC‐based STATCOM with phase‐shifted‐carrier PWM, as described
in the previous section [9]. This precious experience convinced him to conduct
academic research on a DSCC converter with phase‐shifted‐carrier PWM, with
focus on capacitor‐voltage balancing.

3.8.1 Circulating Current in a Cycloconverter

The DSCC converter shown in Figure 3.10 is more complicated in capacitor‐voltage
balancing than the SSBC converter shown in Figure 3.8a. Akagi gained experi-
ence of research on naturally‐commutated cycloconverters operating with either
circulating‐current mode or non‐circulating‐current mode in the 1970s. In other
words, his research experience with the cycloconverters allowed him to recognize
what the circulating current in the cycloconverter operating with circulating‐current
mode was, and how it contributed to power conversion.
Figure 3.23 shows a naturally-commutated cycloconverter operating in
circulating‐current mode. It consists of a three‐phase 12‐pulse transformer, two
three‐phase full‐bridge positive and negative thyristor converters, and a center‐
tapped inductor. This cycloconverter feeds electric power from the three‐phase AC
mains to a single‐phase R‐L load at much lower frequencies than the line frequency.
The cycloconverter is characterized by having both positive and negative thyristor
converters operating always. Each thyristor converter continues carrying a positive
DC current because no negative current flows in the thyristor. Hence, the circulating

iP

iZ

iL /2
iL

iL /2

iN
Figure 3.23 A naturally-commutated cycloconverter with a single‐phase R‐L load,
operating with circulating‐current mode [53, 54].
 3.8 CIRCULATING CURRENTS IN DSCC CONVERTERS 185

current iZ should be controlled so as to satisfy the following two requirements, taking

into account the positive directions of all the three loop currents in Figure 3.23.
The requirement for the positive converter is given by

iZ iL /2 0 (3.16)

The requirement for the negative converter is given by

iZ iL /2 0 (3.17)

3.8.2 Circulating Current in a Single‐Leg DSCC Inverter

Figure 3.24 shows a single‐leg DSCC inverter loaded with a single‐phase R‐L
­circuit. The following equation regarding three branch currents iP, iN, and iL exists at
nodes M and N:

iL iP iN (3.18)

The above equation suggests that two independent branch currents among the three
should be taken into account.
Figure 3.24a shows two independent loop currents when a pair of iP and iN is
selected. This selection is so straightforward that almost all beginners of power
electronics do it. However, it would be an unfavorable selection for the following
reasons: the waveforms of iP and iN include DC and AC components even in ideal
operating conditions, where the AC component is related to the output frequency.

(a) (b)
iP

iP iZ

iL/2
iL
N M N M

iN iL/2
E

iN
Figure 3.24 Two independent loop currents in a single‐leg DSCC inverter. (a) When a
pair of iP and iN is selected. (b) When a pair of iZ and iL is selected [53, 54].
186 Chapter 3 Multilevel Converters – Configuration of Circuits and Systems

On the other hand, when iL is selected as one independent loop current, either iP or
iN should be selected as the other independent loop current. However, this selection
would be unfavorable because it leads to “asymmetry” in terms of control.
Figure 3.24b shows two independent loop currents when a pair of iL and iZ is
selected. This selection is so favorable as to fully solve the above issues caused by
the selection of a pair of iP and iN or a pair of iL and either iP or iN. The reason is that
the waveform of iZ includes only a DC component under ideal operating conditions,
thus resulting in the current control of iZ being simple, easy, and accurate [53, 54].
The above interesting consideration can be discussed from a different point of
view. The following equation comes into existence among the four loop currents in
Figure 3.24a and b:

iL 1 1 iP
(3.19)
iZ 0.5 0.5 iN

Since the determinant of the two‐dimensional matrix in Eq. (3.19) is unity, the
inverse matrix exists as follows:
1
iP 1 1 iL
iN 0.5 0.5 iZ (3.20)
0.5 1 iL
0.5 1 iZ
Eq. (3.20) concludes that the two‐dimensional linear transformation based on
(3.19) is reversible between the pair of iP and iN and the pair of iL and iZ [46, 53,
54]. This transformation is somewhat similar in mathematical formula to the well‐
known “three‐phase to two‐phase transformation” that is often used in modeling,
analysis, and control of three‐phase circuits and motors without zero‐sequence
voltage or current.
The single‐leg DSCC inverter in Figure 3.24b has the following constraint on
the circulating current from active‐power balance between the DC and AC sides:

2ei Z vL i L cos (3.21)

where IZ is the DC component of iZ, VL and IL are the load voltage and current in
rms, and cos θ is the load power factor.

3.8.3 Similarity and Difference in Circulating Current

Figure 3.23 looks somewhat similar to Figure 3.24 in circuit configuration. This
enables the reader to define the circulating current iZ for the DSCC inverter, as dis-
cussed in the previous subsection. However, the following differences exist in
circulating current between the cycloconverter and the DSCC inverter.
•• Equations (3.16) and (3.17) mean strict constraints on the circulating current
in the cycloconverter because each thyristor converter has the nature of
 3.9 A DOWNSCALED DSCC‐BASED BTB SYSTEM 187

unidirectional current flow. However, power balance between the three‐phase

AC input and the single‐phase AC output has no relation to the circulating
current. This means that the cycloconverter should regulate the circulating
current to a constant value that should be larger than the peak load current,
independent of the electric power converted by the cycloconverter.
•• Equation (3.21) results from active‐power balance between the DC input and
the AC output. It is a strict constraint on the circulating current in the DSCC
inverter. However, the peak load current itself imposes no constraint on the
circulating current.

3.9 A DOWNSCALED DSCC‐BASED BTB SYSTEM

This section presents a three‐phase downscaled back‐to‐back (BTB) system without

DC‐link capacitor between the two identical 17‐level DSCC converters [59]. Each
DSCC converter consists of 16 chopper cells per phase leg. The so‐called “phase‐
shifted‐carrier PWM” is applied to the two DSCC converters that are the same in
circuit and control. Experimental waveforms obtained from the BTB system are com-
pared with simulated waveforms obtained from the software package, “PSCAD/
EMTDC,” under the same operating conditions, circuit parameters, and control gains.
Both waveforms agree well with each other not only in steady states but also in
transient states. This means that both experiment and simulation are reliable enough
to look into more practical systems and fault‐ride‐through (FRT) performance [60].

3.9.1 Circuit Configuration

Figure 3.25 shows the overview of the three‐phase 200 V, 10 kW, 50 Hz BTB system
that was designed, built, and tested to verify the validity and effectiveness of the
capacitor‐balancing control. The two non‐coupled inductors per leg in Figure 3.10

p = vdc idc
qA qB
R iSA iSB R
vSA idc vSB
DSCC-A DSCC-B
(Fig.10) vdc (Fig.10)
CB-A MC-A Lac Lac MC-B CB-B
200 V 200 V/200 V 200 V/200 V
PT vCA vCB PT
50 Hz
48 48
vSuvA iPA iPB vSuvB
vSvwA MUX iNA iNB MUX vSvwB
∗ ∗ ∗
p q A and q B
2 6 96 gate 96 6 2 PT: Potential transformer
6 signals 6 MUX: Multiplexer

DSP FPGA-A (Altera cyclone II) FPGA-B (Altera cyclone II)

(TMS320C6713) A/D converters A/D converters

Figure 3.25 Overview of the three‐phase 200 V, 10 kW, 50 Hz downscaled BTB system
with no DC‐link capacitor between DSCC‐A and DSCC‐B [59].
188 Chapter 3 Multilevel Converters – Configuration of Circuits and Systems

DSCC-A DSCC-B

DSP and FPGAs DAQ-B

DAQ-A

Figure 3.26 Photograph of the experimental BTB system of Figure 3.25 [59].

are replaced with a single center‐tapped inductor LZ per leg in DSCC‐A and
DSCC‐B. This replacement brings the two non‐coupled inductors to significant
reductions in volume and weight [15]. The AC terminals of each DSCC converter
are connected to the three‐phase 200 V AC mains through a per‐phase AC‐link
inductor Lac, a starting circuit and a line‐frequency transformer for galvanic isola-
tion. Each of the two line‐frequency transformers is rated at 200 V, 15 kVA, and
50 Hz. The positive directions of idc and p are defined as the direction from DSCC‐A
to DSCC‐B (left to right).
Figure 3.26 presents the photograph of the 400 Vdc, 10 kW BTB system,
including the digital controller and data acquisition systems. This BTB system was
used in the following experiments.
Table 3.4 summarizes the circuit parameters of Figure 3.25, which were used in
both experiment and simulation. The DC reference voltage of each DC floating capac-
itor is set to vC* = 50 V, so that the DC‐link voltage reference should be set to vdc* = 400 V.
Each triangular‐carrier frequency is set at fC = 450 Hz, and its dead or blanking time
is 8 µs. Note that 16 triangular‐carrier signals are phase‐shifted each other by 22.5°
(= 360°/16) to each other. Therefore, each DSCC converter produces a 17‐level
waveform (line‐to‐neutral) with a voltage step as low as 25 V at the AC terminals.
The unit capacitance constant of the DC capacitors in Table 3.4, HC, is defined by

3nCvC2
HC (3.22)
2P
 3.9 A DOWNSCALED DSCC‐BASED BTB SYSTEM 189

TABLE 3.4 Circuit parameters for Figure 3.25 [59].

Rated power P 10 kW

Nominal line‐to‐line rms voltage VS 200 V

Nominal line frequency fS 50 Hz
Per‐leg chopper‐cell count n 16
AC‐link inductor Lac 2 mH (16%)
Center‐tapped inductor LZ 3 mH (24%)
Starting resistor R 20 Ω
DC‐link reference voltage vdc* 400 V
DC‐capacitor reference voltage vC* 50 V
DC capacitor C 6.6 mF
Unit capacitance constant [57] HC 40 ms at 50 V
Triangular‐carrier frequency fC 450 Hz
Equivalent carrier frequency nfC 7.2 kHz
Dead or blanking time 8 µs

Per‐unit values of 16% and 24% are on a three‐phase, 200 V, 10 kW, 50 Hz base.

The energy stored in all the DC capacitors is divided by the rated power of the con-
verter [57]. The SI unit of HC is [J/W] or [s]. The unit capacitance constant is useful
and effective in designing DC capacitors and in comparing DC capacitors in one
BTB system to another one with different voltage and current ratings. The reason is
that the unit capacitance constant can be considered as a kind of per‐unit value,
although per‐unit values have no physical unit.

3.9.2 Operating Performance under Transient States

Figures 3.27 and 3.28 show the experimental and simulated waveforms in DSCC‐A,
where the active‐power reference p* was changed from 10 kW to −10 kW with a
ramp function in a time interval of 20 ms. Note that qA* and qB* were set to zero. This
means that DSCC‐A changes its operation from the rated rectification to the rated
inversion, whereas DSCC‐B does it from the rated inversion to the rated rectifica-
tion. Such an extremely fast response makes a significant contribution to enhancing
transient system stability and frequency‐regulation capability in contingency situa-
tions such as emergency disconnections of large‐capacity synchronous generators
in thermal power plants from either power system. However, such a fast response
may not be required under normal operating conditions.
No overcurrent occurred in the supply current iS, the arm currents iP and iN,
the circulating current iZ, and the DC‐link current idc. The DC‐link current was
changing from 25 A (= 10 kW/400 V) to −25 A. Moreover, the mean DC‐capacitor
voltages and the mean DC‐link voltage were well regulated to their references even
during the transient period. The experimental and simulated waveforms agree well
with each other even under such a transient‐state condition.
190 Chapter 3 Multilevel Converters – Configuration of Circuits and Systems

20 ms
[kW] 10
p∗ 0
–10
vSuvA
[V] 400
vSuvA
vSvwA 0
vSwuA
–400 vuvA
[V] 400
vuvA
vvwA 0
vwuA
–400 iSuA
[A] 50
iSuA
iSvA 0
iSwA
–50
[A] 50 iNuA iPuA
iPuA
iNuA 0

–50
[A] 50
iZuA
0

–50
vC1uA vC9uA
[V] 75
vC1uA 50
vC9uA
25
0
[V] 600
vdc 400
200
0
24.5 A
[A] 50
idc
0

–50
−23.4 A
Figure 3.27 Experimental waveforms to a ramp change in p* from 10 kW (rated)
rectification to 10 kW inversion, where qA* = qB* = 0 [59]. (See electronic version for color
representation of this figure.)
 3.9 A DOWNSCALED DSCC‐BASED BTB SYSTEM 191

20 ms
[kW] 10
p∗ 0
–10
vSuvA
[V] 400
vSuvA
vSvwA 0
vSwuA
–400 vuvA
[V] 400
vuvA
vvwA 0
vwuA
–400 iSuA
[A] 50
iSuA
iSvA 0
iSwA
–50
[A] 50 iNuA iPuA
iPuA
iNuA 0

–50
[A] 50
iZuA
0

–50
vC1uA vC9uA
[V] 75
vC1uA 50
vC9uA
25
0
[V] 600
vdc 400
200
0
24.8 A
[A] 50
idc
0

–50
−24.5 A
Figure 3.28 Simulated waveforms to a ramp change in p* from 10 kW (rated) rectification
to 10 kW inversion where qA* = qB* = 0 [59]. (See electronic version for color representation
of this figure.)
192 Chapter 3 Multilevel Converters – Configuration of Circuits and Systems

(a)
30 5 ms

25 τ = 0.9 ms

idc [A] 20
15

(b)
30 5 ms

25 τ = 0.9 ms
idc [A]

20
15
Figure 3.29 (a) Experimental and (b) simulated waveforms with a small step change in p*
from 8 to 10 kW [59].

TABLE 3.5 400 MW HVDC system in the Trans Bay Cable Project [61].

DC power 400 MW

DC voltage ±200 kV
DC current 1050 A
Controllable reactive power ±145 Mvar
Cable length 86 km
Overall system efficiency 96% at 400 MW
Commissioned November 2010

Figure 3.29 shows the experimental and simulated waveforms with a small
step change in p* from 8 to 10 kW, where qA* qB* 0. The experimental waveform
in Figure 3.29a is almost the same as the simulated waveform in Figure 3.29b
except for a few small spikes superimposed on the experimental waveform. These
spikes were just unintentional electrical noise that occurred on the PC‐based data
acquisition system. The time constant obtained from the experimental and simulated
waveforms in Figure 3.29 is as short as about 0.9 ms, which is almost the same as
the theoretical value of 0.94 ms [59].

3.10 PRACTICAL APPLICATIONS OF DSCC

CONVERTERS TO GRID CONNECTIONS

Several back‐to‐back (BTB) systems and long‐distance high‐voltage direct‐current

(HVDC) transmission systems, based on DSCC converters, are operating in the
world. In addition, there are some ongoing BTB and HVDC projects in Europe,
USA, China, Japan, and other countries.
Table 3.5 summarizes the ratings and specifications of the long‐distance
HVDC system referred to as the Trans Bay Cable project, California, USA [61].
 3.11 APPLICATIONS OF DSCC AND TSBC CONVERTERS TO MOTOR DRIVES 193

TABLE 3.6 750 MW BTB unit in the Tres Amigas Superstation [62].

DC power 750 MW

DC voltage ±326 kV
DC current 1150 A
Chopper‐cell count 372 cells/arm
Switching devices 3.3 kV 1.5 kA IGBTs

Each DSCC converter has six inductors in total or a single inductor per arm. Each
one is an air‐core inductor, which is more bulky but less expensive than a magnetic‐
core inductor. This system is the world’s first long‐distance HVDC system based on
DSCC converters. It was reported that this system was able to ride successfully
through a two‐phase voltage sag occurring upstream of Potrero substation on March
18, 2016. At that time, the DSCC converter at the side of Potrero substation was
operating with inversion mode.
Table 3.6 summarizes the ratings and specifications of a DSCC‐based BTB
system rated at 750 MW [62]. This is due to be installed at the Tres Amigas super-
station on the border of the western interconnection, the eastern interconnection,
and ERCOT interconnection in the USA. One power module consists of eight
chopper‐cells, and each arm consists of 47 power modules. The final installation
capacity will reach 5 GW, including three sets of 750 MW BTB systems based on
DSCC converters, and three sets of 920 MW BTB systems based on traditional
line‐commutated thyristor converters.

3.11 APPLICATIONS OF DSCC AND TSBC

CONVERTERS TO MOTOR DRIVES

Historically, the following two main streams exist in basic research on both DSCC
and TSBC converters. One has come from three‐phase two‐level voltage‐source
inverters and matrix converters [11, 63–65]. The other has come from the SSBC
converter shown in Figure 3.8a [14, 15, 38, 41, 46, 59, 66–80]. The former has no
inductor connected in series with each arm or cluster, whereas the latter does. The
existence of the inductor allows a circulating current to flow through the
corresponding arm or cluster. This makes it possible to adjust the circulating current
actively and appropriately to provide voltage‐balancing capability for all the
chopper‐cell or bridge‐cell capacitors [14, 15, 46].

3.11.1 DSCC‐based Motor Drive Systems

Figure 3.30 shows four possible power circuit configurations at the front end of a
motor drive using a DSCC converter [81]. Note that no DC‐link capacitor is required
between either diode or DSCC rectifier and the DSCC inverter [82].
194 Chapter 3 Multilevel Converters – Configuration of Circuits and Systems

(a)

DSCC
M
inverter

NPC

(b)

DSCC
M
inverter

NPC

(c)

DSCC M
inverter

(d)

DSCC DSCC
M
rectifier inverter

Figure 3.30 Possible front‐end power‐circuit configurations for a DSCC‐based motor

drive. (a) Six‐pulse diode rectifier equipped with a shunt hybrid active filter; (b) 12‐pulse
diode rectifier equipped with a shunt hybrid active filter; (c) 18‐pulse diode rectifier at the
front end; (d) DSCC rectifier at the front end [81].

Figure 3.30a uses a three‐phase six‐pulse diode rectifier at the front end. This
configuration is characterized by eliminating a line‐frequency transformer from the
motor drive system. However, it requires installing a shunt hybrid active filter
combining a three‐level NPC converter with a single tuned passive filter at the front
end, to meet harmonic guidelines [83]. The required power ratings of the passive
and active filters are 25% and 6%, respectively, of that of the diode rectifier [25].
 3.11 APPLICATIONS OF DSCC AND TSBC CONVERTERS TO MOTOR DRIVES 195

Figure 3.30b is the case where a three‐phase 12‐pulse diode rectifier sits at the
front end. A three‐phase 12‐pulse transformer can be employed for voltage matching
and galvanic isolation between the supply and the motor. Another shunt hybrid
active filter is connected to mitigate the most dominant 11th‐ and 13th‐harmonic
currents, where the passive and active filters require power ratings of 8% and 0.8%,
respectively, with respect to the power rating of the 12‐pulse diode rectifier [84].
Figure 3.30c uses an 18‐pulse diode rectifier at the front end. This rectifier
would meet harmonic regulations without any harmonic filter, but at the expense of
using a complicated phase‐shifted‐windings transformer. The three power circuit
configurations using the diode rectifiers are suitable for large‐capacity fans,
blowers, and pumps in terms of reliability and availability, because neither fast‐
speed control nor regenerative braking is required for these applications.
Figure 3.30d shows a back‐to‐back (BTB) system using two DSCC con-
verters, which provides the function of regenerative braking. Three‐phase sinusoidal
currents can be drawn from the supply due to three‐phase multilevel voltage wave-
forms produced by the front‐end DSCC rectifier. This may result in eliminating
both the harmonic filter and transformer from the system.

3.11.2 Experimental Motor Drives Using a DSCC

Inverter and a TSBC Converter
Figure 3.31 illustrates the circuit configuration of a three‐phase DSCC inverter with
eight chopper‐cells per arm, which is used for the following experiments. Two arms
in each phase are connected in series via a center‐tapped inductor. The center tap of
each inductor is directly connected to one of the three motor terminals.
Figure 3.32 depicts the 400 V, 15 kW downscaled motor drive system using
the DSCC inverter. The mean DC‐capacitor‐voltage reference of each chopper‐cell,
vC*, was set to 70 V.
Figure 3.33 illustrates the circuit configuration of a three‐phase TSBC converter
with four bridge cells per cluster, which is used for the following experiments. The
TSBC converter consists of three star‐connected subconverters or SSBC converters,
each of which consists of three clusters. Each cluster is connected directly to one of the
three terminals in a three‐phase three‐leg inductor. The use of three three‐phase three‐
leg inductors for the TSBC converter makes it possible to reduce their size and
weight dramatically, compared with using nine non‐coupled inductors [74]. The
neutral point of each subconverter is connected to one of the three motor terminals.
Figure 3.34 depicts the 400 V, 15 kW downscaled motor drive system using
the TSBC converter. The mean DC‐capacitor‐voltage reference of each bridge cell,
vC* was set to 200 V.
The following two three‐phase induction motors with the same power rating
were used for experiments: one is rated at 50 Hz, 380 V, 15 kW, four poles, and
1460 r/min, while the other is at 38 Hz, 320 V, 15 kW, six poles, and 750 r/min. The
former is a general‐purpose motor, and the latter is a specially designed low‐speed,
high‐torque motor.
196 Chapter 3 Multilevel Converters – Configuration of Circuits and Systems

idc a-phase b-phase c-phase

vC1a Cell 1b Cell 1c

v1a
Cell 1a

Cell 2a Cell 2b Cell 2c

Cell 8a Cell 8b Cell 8c

iPa iMa
vdc iNa iMb vMab vMa
iMc vMb
vMc
vC9a
Cell 9b Cell 9c
Cell 9a

Cell 10a Cell 10b Cell 10c

Cell 16a Cell 16b Cell 16c

Figure 3.31 Circuit configuration of the three‐phase 17‐level DSCC inverter used for
experiments.

Regenerative load

IG

200 V τL
50 Hz vMab

vdc Fig.31 IM

200 V/400 V
400 V/200 V vC
200 V PG
48
6 96
V ∗C = 70 V MUX
gate
6 iP signals
iN
N ∗rm DSP
FPGA (Altera cyclone IV)
(TMS320C6678)
Nrm
MUX: Multiplexer
Figure 3.32 The 400 V 15 kW downscaled DSCC inverter system used for experiments [81].
 3.11 APPLICATIONS OF DSCC AND TSBC CONVERTERS TO MOTOR DRIVES 197

v uS i uS

v vS i vS

vw
S iw
S

v uv
a v vw
a

v wu
a
i ua i va iw
a i ub i uc
Subconverter a

u1 u v1 w1
vCa v1a vCa vCa
Cell 1 Cell 1
v-a w-a

Subconverter b

Subconverter c
Cell 2 Cell 2 Cell 2
u-a v-a w-a

Cell 3 Cell 3 Cell 3

u-a v-a w-a

Cell 4 Cell 4 Cell 4

u-a v-a w-a
Cluster u-a Cluster v-a Cluster w-a

iMa iMb iMc

vMa vMb vMc

Figure 3.33 Circuit configuration of the three‐phase nine‐level TSBC converter used for
experiments.

Figure 3.35 shows the photograph of two sets of induction motors and gener-
ators used in the following experiments. The two motors are the same in power
rating but are significantly different in volume and weight because their rated
frequencies are different.
Table 3.7 summarizes the circuit parameters of the DSCC inverter. Table 3.8
summarizes circuit parameters of the TSBC converter.
198 Chapter 3 Multilevel Converters – Configuration of Circuits and Systems

Regenerative load

IG

200 V
τL
50 Hz
vMab
Fig. 33 IM

200 V/400 V
vC
PG
36
9
V ∗C = 200 V [v Suvw ] 2 MUX
144
gate
uvw
[i abc ] signals
18
N ∗rm DSP
FPGA (Altera cyclone IV)
(TMS320C6713)
Nrm
MUX: Multiplexer
Figure 3.34 The 400 V 15 kW downscaled TSBC‐converter system used for experiments [81].

Figure 3.35 Photograph of the 50 Hz, 380 V, four‐pole, 15 kW induction motor (back‐left
side), the 38 Hz, 320 V, six‐pole, 15 kW induction motor (front‐left side), and mechanically
coupled induction generators (right‐side). Note that mechanical‐coupling covers for safety
were removed to take this photograph.

3.11.3 Comparisons in Start‐up Performance when the 50 Hz

Induction Motor was Driven
Figures 3.36 and 3.37 show the experimental start‐up performance of the 50 Hz
induction motor loaded at 40% torque, driven by the DSCC inverter and the TSBC
converter, respectively. The motor‐speed reference Nrm* was increased up from 0 to
1500 r/min with a ramp rate of 90 r/min/s for both experiments.
 3.11 APPLICATIONS OF DSCC AND TSBC CONVERTERS TO MOTOR DRIVES 199

TABLE 3.7 Circuit parameters for Figure 3.31 (DSCC inverter).

Rated active power P 15 kW

Rated DC‐link voltage Vdc 560 V

Center‐tapped inductor LZ 2 mH (5.9%)*
DC capacitor of chopper‐cells C 6.6 mF
DC‐capacitor voltage VC 70 V
Unit capacitance constant H 52 ms
Cell count per leg n 16
Triangle‐carrier frequency fC 1.5 kHz
Equivalent carrier frequency nfC 24 kHz

*A per-unit value of 5.9% is on a three‐phase 400 V, 15 kW, and 50 Hz base.

TABLE 3.8 Circuit parameters for Figure 3.33 (TSBC converter).

Rated active power P 15 kW

Supply line‐to‐line rms voltage VS 400 V

Supply line frequency fS 50 Hz
Three‐legged inductor L 5 mH (15%)*
DC capacitor of bridge cells C 1.7 mF
DC‐capacitor voltage VC 200 V
Unit capacitance constant H 81 ms
Cell count per cluster n 4
Triangular‐carrier frequency fC 1 kHz
Equivalent‐carrier frequency 2nfC 8 kHz

*A per-unit value of 15% is on a three‐phase 400 V, 15 kW, and 50 Hz base.

In Figure 3.36, the AC‐voltage‐mitigating control discussed in [69] was

switched over, according to the motor frequency as follows:
•• t = t0 to t1 (0 to 20 Hz): it was active where a square‐wave circulating current
and a square‐wave common‐mode voltage of 200 V and 100 Hz were
superimposed.
•• t ≥ t1 (20 Hz): it was inactive completely.
Note that the mitigating control gradually deactivates from 10 to 20 Hz, where both
circulating current and common‐mode voltage were reduced linearly. The peak
value of the arm current iPa takes the maximum of 39 A at 1 Hz and 18 A at 50 Hz.
The maximum peak‐to‐peak voltage fluctuation of vC1a is 19 V at 15 Hz.
In Figure 3.37, two kinds of AC‐voltage‐mitigating controls were switched
over as follows:
•• t = t0 to t = t1 (0 to 14 Hz): the control proposed in [73] was active.
•• t = t1 to t = t2 (14 to 35 Hz): neither control was active.
200 Chapter 3 Multilevel Converters – Configuration of Circuits and Systems

16.7 s
[r/min] 2000 1500 r/min
N*rm
1000
Nrm
0
[V] 800

vMab 0

–800
[A] 30

iMa 0

–30 39 A
[A] 50 ↓ 18 A
↓
iPa
0
iNa
–50 19 V (27% of 70 V)
[V] ↓
84
vC1a 70
↑
42
vC9a
0
t0 t1 t2 t3
Figure 3.36 Experimental start‐up performance of the DSCC‐driven 50 Hz induction
motor loaded at 40% torque. (See electronic version for color representation of this figure.)

•• t = t2 to t = t3 (35 to 40 Hz): the other control in [75] was being gradually

activated where both circulating current and DC common‐mode voltage were
increasing linearly.
•• t ≥ t3 (40 Hz): the mitigating control in [75] was activated completely.
The peak value of the cluster current iau in a low‐frequency range was 10 A, and the
maximum value around 50 Hz was 41 A. The voltage fluctuation of vCau1 is 67 V at
50 Hz. These experimental results show clear differences in peak‐to‐peak voltage
fluctuation and arm or cluster current between the DSCC inverter and the TSBC
converter.
Figure 3.38 shows the voltage and current waveforms of the DSCC inverter
when the motor was loaded at 40% torque, and running at 30 r/min. Each of the
positive and negative arm currents in the a‐phase, iPa and iNa, includes the following
three‐frequency components; 100 Hz square‐wave circulating current, 1 Hz motor
current, and small switching‐ripple components. The rms value of the positive arm
current iPa was 15 A in rms (47% on a 32 A base). The capacitor‐voltage fluctuation
vC1a was 11 V in peak‐to‐peak (16% on a 70 V base).
 3.11 APPLICATIONS OF DSCC AND TSBC CONVERTERS TO MOTOR DRIVES 201

16.7 s
[r/min] 2000 1500 r/min
N*rm
1000
Nrm
0
[V] 800

vMab 0

–800
[A] 30

iMa 0

–30
41 A
[A] 50 10 A ↓
↓
iua 0

–50 67 V (34 % of 200 V)

240 ↓
[V]
u1
200
vCa ↑
v1
vCa
w1 0
vCa
t0 t1 t2 t3 t4
Figure 3.37 Experimental start‐up performance of the TSBC‐driven 50 Hz induction
motor loaded at 40% torque. (See electronic version for color representation of this figure.)

500 ms
[A] 30
iMa
iMb 0
iMc
–30
15 A in rms (47% of 32 A)
[A] 50 ↓
iPa
0
iNa
–50 11 V (16% of 70 V)
[V] 84 ↓
70
vC1a ↑
42
vC9a
0
Figure 3.38 Experimental steady‐state performance of the DSCC‐driven 50 Hz induction
motor loaded at 40% torque and fM =1 Hz. (See electronic version for color representation
of this figure.)
202 Chapter 3 Multilevel Converters – Configuration of Circuits and Systems

3.11.4 Operation of the DSCC‐Driven 50 Hz Motor and the

TSBC‐Driven 38 Hz Motor at the Rated Frequency and Torque
Figure 3.39 shows the steady‐state waveforms of the DSCC‐driven 50 Hz induction
motor at the rated motor frequency and torque. Two kinds of voltage ripples were
included in the DC‐link voltage vdc:
•• One came from the 12‐pulse diode rectifier: it was absorbed by the capacitor
of each chopper‐cell.
•• The other came from the DSCC inverter: it had no effect on the motor‐drive
performance because its voltage step was as small as a single‐capacitor
voltage.

[V] 600
vdc 520
500

400
[A] 50

idc 25

0
[V] 20 ms
600
vMab
vMbc 0
vMca
–600
[A] 50
iMa
iMb 0
iMc
–50
[A] 50
iPa
0
iNa
–50
8.2 V (12% of 70 V)
[V] 80
↓
vC1a
70
vC9a
↑
60
Figure 3.39 Experimental steady‐state performance of the DSCC‐driven 50 Hz, four‐pole
*
induction motor loaded at the rated torque at n rm = 1500 r/min. (See electronic version for
color representation of this figure.)
 3.11 APPLICATIONS OF DSCC AND TSBC CONVERTERS TO MOTOR DRIVES 203

Installing a simple filter on the DC link would eliminate the voltage ripples from
the DSCC inverter [82]. Each of three‐phase line‐to‐line voltages, vMab, vMbc, and
vMca, has a 27‐level voltage waveform. The multilevel line‐to‐line voltages resulted
in three‐phase sinusoidal motor currents iMa, iMb, and iMc. The arm current wave-
forms iPa and iNa included DC, 50 Hz, and switching‐ripple components, where the
switching‐ripple component was negligibly small. Capacitor voltages vC1a and vC9a
were balanced perfectly with its peak‐to‐peak value of 6.3 V (9.6%). The experi-
mental results shown in Figure 3.39 suggest that it would be possible to reduce the
unit capacitance constant of the DSCC inverter from 52 to 24 ms if a peak‐to‐peak
capacitor voltage fluctuation of 25% was acceptable [81].
Figure 3.40 shows the steady‐state waveforms of the TSBC‐driven 38 Hz
induction motor at the rated motor frequency and torque. Each of three‐phase line‐
to‐line voltages at the supply side, vauv, vavw, and vawu, had a nine‐level voltage

[V] 1000
uv
vS
vw
vS 0
wu
vS
–1000
[A]
u
80
iS
v
iS 0
w
iS
–80
[V] 36 ms
1000
vMab
vMbc 0
vMca
–1000
[A] 80
iMa
iMb 0
iMc
[A] –80
80
iav
u
ia 0
iaw
–80
[V]
300 50 V(25% of 200 V)
u1
vCa ↓
v1 200
vCa
↑
w1
vCa 100
Figure 3.40 Experimental steady‐state performance of the TSBC‐driven 38 Hz, six‐pole
*
induction motor loaded at the rated torque at n rm = 750 r/min. (See electronic version for
color representation of this figure.)
204 Chapter 3 Multilevel Converters – Configuration of Circuits and Systems

waveform. This made iSu, iSv, and iSw sinusoidal at unity power factor. Moreover,
three‐phase line‐to‐line voltages at the motor side vMab, vMbc, and vMca and currents
iMa, iMb, and iMc were controlled to produce the rated torque with a negligible amount
of torque ripple. Cluster currents iau, ibu, and icu were controlled to sinusoidal wave-
forms with small current ripples. The peak‐to‐peak capacitor voltage fluctuation in
vCau1, vCav1, and vCaw1 was only 50 V (25%) [81].

3.11.5 Four‐Quadrant Operation of the TSBC‐driven 38 Hz

Motor at No Load Torque
Figure 3.41 shows experimental waveforms during the so‐called “four‐quadrant
operation” of the TSBC‐driven 38 Hz induction motor [77]. This experiment was
carried out with no load torque, although the generator was coupled with the motor.
The speed reference Nrm* was changed, as shown in Figure 3.41, where the speed‐
ramp rate in both rising and falling was set to such a value that the motor would
produce the rated torque during both acceleration and deceleration. It is convincing,
from the experimental waveforms, that medium‐voltage, low‐speed, high‐torque
motor drives will replace traditional cycloconverters using thyristors with the TSBC
converter in the near future.

3.11.6 Discussion of the Two Motor Drives

The following simple question may arise: “Which is suitable for motor drives, the
DSCC inverter or the TSBC converter?” The answer depends strongly on the
torque‐to‐speed profile of a load driven by the motor. The DSCC inverter brings
capacitor‐voltage fluctuations to all the chopper‐cells in a low‐frequency range
including the startup, whereas the TSBC converter brings them to all the bridge
cells as the motor frequency gets close to, and equal to, the supply frequency, even
when any appropriate mitigating control is applied.
Hence, the exact answer to the above question can be summarized as follows:
the DSCC inverter is suitable for a high‐speed motor drive of a load with a quadratic
torque‐to‐speed profile such as fans, blowers, pumps, and centrifugal compressors.
The TSBC converter is suitable for low‐speed, high‐torque motor drive applications
such as mills, kilns, conveyors, and extruders, which are required for regenerative
braking.

3.12 DISTRIBUTED DYNAMIC BRAKING of a DSCC‐

FED INDUCTION MOTOR DRIVE

This section provides an experimental discussion of dynamic braking for a DSCC‐

fed induction motor. Each chopper‐cell consists of a bi‐directional chopper and
and a braking chopper connecting a single small‐rated braking resistor in series
 3.12 DISTRIBUTED DYNAMIC BRAKING of a DSCC‐FED INDUCTION MOTOR DRIVE 205

[r/min] 800 700 r/min

N*rm
0
Nrm
0.28 s
–800
–700 r/min
[A] 60
iuS
ivS 0
iw
S
–60
[A] 60
iuS
ivS 0
iw
S
–60
[A] 60
iMa
iMb 0
iMc
–60
[V] 1000
vMab
vMbc 0
vMca
–1000
[V] 240
u1
v Ca
v1
v Ca 200
vw1
Ca
160
Figure 3.41 Experimental waveforms during four‐quadrant operation in which the motor
continued operating at no load torque to run up from a standstill to the speed of 700 r/min
over a time period of 0.28 s [77]. (See electronic version for color representation of
this figure.)

with a single IGBT. This configuration results in a “distributed dynamic brake”

that provides a distinctive welcomed side‐effect of protecting all the bi‐directional
chopper‐cells against sudden overvoltage. Experimental waveforms verify
satisfactory operating performance in both dynamic braking and overvoltage
­
protection.
206 Chapter 3 Multilevel Converters – Configuration of Circuits and Systems

3.12.1 Background and Motivation

Some of medium‐voltage motor drives for fans, blowers, pumps, and compressors
run day and night, lasting for more than one month. In general, these drive systems
often require the capability of dynamic braking, primarily for emergency and main-
tenance. Dynamic braking is more cost‐effective than regenerative braking in
adjustable‐speed motor drives. DSCC‐fed motor drives can use three‐phase diode
rectifiers as the front end as long as they require no regenerative braking. However,
some motor drives often combine dynamic braking with regenerative braking. The
reason is that regenerative braking works well under normal grid conditions,
whereas it may not work under abnormal grid conditions such as voltage sags. In
the worst case, the motor drives would lose the function of regenerative braking if
a so‐called “blackout” occurred.
Possible dynamic brakes for the DSCC‐fed motor drives can be divided into:
•• centralized dynamic brakes;
•• distributed dynamic brakes.
A centralized dynamic brake consists of a single medium‐voltage high‐power
braking resistor, multiple series‐connected IGBTs, and a medium‐voltage DC‐link
capacitor. It is installed at the DC input side of the DSCC inverter. Therefore, strict
simultaneous switching of all the IGBTs connected in series is indispensable for
stable operation.
A distributed dynamic brake integrates a braking chopper consisting of an
IGBT and a low‐power braking resistor into each chopper‐cell. This simple circuit
configuration enables no series connection of multiple IGBTs, and makes it pos-
sible to remove the medium‐voltage DC‐link capacitor from the DSCC inverter.
Moreover, the distributed dynamic brake provides an additional function of protect-
ing all the bi‐directional chopper‐cells against sudden overvoltage. This welcomed
function makes a system engineer free of concern about the occurrence of sudden
overvoltage [85].

3.12.2 Circuit and System Configurations

Figure 3.42a shows the overall circuit configuration of a three‐phase DSCC inverter
used for the following experiments. Each arm consists of eight chopper cells.
Figure 3.42b shows the bi-directional chopper, and Figure 3.42c shows the combined
bi‐directional and braking choppers [85]. The IGBTs used in the bi‐directional and
braking choppers are the same in voltage rating but different in current rating. Each
leg of the DSCC inverter has a center‐tapped DC inductor. The center tap is directly
connected to one of the three motor terminals. Here, vdc is the DC‐link voltage, idc
is the DC‐link current, vPu and vNu are the positive and negative arm voltages in the
u‐phase, respectively, and vuv is the line‐to‐line motor voltage between the u‐phase
and the v‐phase. Moreover, vC1u is the u‐phase capacitor voltage in the chopper‐cell
 3.12 DISTRIBUTED DYNAMIC BRAKING of a DSCC‐FED INDUCTION MOTOR DRIVE 207

(a)
idc

Cell 1u Cell 1v Cell 1w

vPu Cell 2u Cell 2v Cell 2w

Cell 8u Cell 8v Cell 8w

iPu
vu
vdc iNu vuv
iu vv
iv vw
iw

Cell 9u Cell 9v Cell 9w

vNu Cell 10u Cell 10v Cell 10w

Cell 16u Cell 16v Cell 16w

(b) (c)

vR1u
vC1u vC1u

Figure 3.42 Circuit configuration of the three‐phase DSCC inverter consisting of

16 chopper‐cells per leg. (a) Power circuit. (b) Bi-directional chopper. (c) Combined
bi‐directional and braking choppers [85].

numbered 1, and vR1u is the voltage across the braking resistor. The u‐phase positive
and negative arm currents are represented as iPu and iNu, respectively, and the three‐
phase motor currents are iu, iv, and iw.
Figure 3.43 shows the 400 V, 15 kW experimental system. Table 3.9 summa-
rizes the circuit parameters of the experimental system [85]. The IGBTs shown in
Figure 3.42c were replaced with low‐voltage MOSFETs because the rated capac-
itor voltage of each chopper‐cell is 70 V. The triangular carriers used in bi‐directional
and braking choppers for pulse width modulation (PWM) have the same frequency
of 1.5 kHz. Thus, all the low‐voltage MOSFETs used in both bi‐directional
and braking choppers have the same actual switching frequency of 1.5 kHz.
208 Chapter 3 Multilevel Converters – Configuration of Circuits and Systems

Regenerative load

IG

200 V τL
50 Hz Figure 3.42a,c
vuv
vdc
IM
DSCC inverter Braking choppers
200 V/200 V/200 V
vC 48 iP vC 48
MUX iN 96 gate MUX 48 gate
6 6 signals 6 signals
FPGA FPGA

V *C
DSP V *C DSP
N*
MUX: Multiplexer
Figure 3.43 Experimental system rated at 400 V and 15 kW [85].

TABLE 3.9 Circuit parameters in Figure 3.43.

Rated active power 15 kW

Rated line‐to‐line rms voltage VS 400 V

Rated DC‐link voltage Vdc 560 V
Center‐tapped inductor LZ 2 mH (5.9%)*
Chopper‐cell capacitor C 6.6 mF
Unit capacitance constant H 52 ms
Chopper‐cell count per arm 8
Rated capacitor voltage VC 70 V
Braking resistance R 10 Ω
Triangular‐carrier frequency fC 1.5 kHz
Equivalent carrier frequency 16fC 24 kHz

*A per‐unit value of 5.9% is on a 400 V, 15 kW, and 50 Hz base.

Each braking chopper includes a braking resistor of R = 10 Ω. The braking resistor

was designed considering the following:
•• The maximum peak current allowable is 7 A.
•• The continuous power rating is 16 W, and the short‐time (five seconds) power
rating is 208 W (16 W × 13), that is, 13 times as high as the continuous power
rating.
The control system is implemented by two individual digital controllers; one is
responsible for the bi‐directional choppers, and the other is for the braking
 3.12 DISTRIBUTED DYNAMIC BRAKING of a DSCC‐FED INDUCTION MOTOR DRIVE 209

TABLE 3.10 Motor ratings and parameters in Figure 3.43.

Rated output power 15 kW

Rated line‐to‐line rms voltage V 380 V

Rated frequency f 50 Hz
Rated rotor mechanical speed N 1460 r/min
Rated stator rms current I 32 A
Pole‐pair number p 2
Total moment of inertia J 0.2 kg m2
Unit inertia constant HJ 0.16 s
Rated motor torque τM 95.5 Nm

A unit‐inertia‐constant value of 0.16 s is on a 15 kW, 1460 r/min base.

choppers. Each of the two controllers are mainly of an FPGA (Cyclone IV) and a
DSP (TMS320C6678). The two controllers, independent of each other, require no
communications between the two, except for a startup signal in dynamic‐braking
operation.
Table 3.10 summarizes the ratings and parameters of the induction motor
used in this experiment. The total moment of inertia of the motor and generator is
0.2 g⋅m2, which is equal to a unit inertia constant of HJ = 0.16 s.1
The first step is achieved as follows. During motoring operation, the mea-
sured DC‐link voltage vdc is used as the reference of the DC‐link voltage control
[67]. During dynamic‐braking operation, however, the measured DC‐link voltage
is replaced with a preset voltage reference of 630 V, that is, the summation of the
DC‐link voltage of 560 V and the rated capacitor voltage of 70 V.2 This comes
from the fact that one capacitor voltage is always superimposed on the DC‐link
voltage [59].
Secondly, during motoring operation, the overall balancing control adjusts
the total DC component of the three circulating currents to regulate the
arithmetic‐average voltage of all the 48 capacitors to the rated capacitor voltage
reference. As a result, the DC‐link current is regulated indirectly to the summation
of three DC‐circulating currents in the u‐, v‐, and w‐phases. During dynamic‐
braking operation, the overall balancing control regulates the three DC‐
circulating currents to zero.

1
The unit inertia constant HJ is defined by the ratio of an amount of rotating kinetic energy with respect
to the motor power rating.
2
Practically, it would be preferable to set the DC‐link voltage to be higher by 10% (616 V in this
experiment), considering a grid‐voltage swell of 10%. The experiment did not consider the voltage
swell.
210 Chapter 3 Multilevel Converters – Configuration of Circuits and Systems

3.12.3 Experimental Verification
During dynamic‐braking operation, the DSCC inverter should prevent any current
flowing from the three‐phase AC mains. This can be achieved by the following
steps:

•• blocking all the diodes in the rectifier;

•• regulating the DC‐link current to zero.
Figure 3.44 shows the experimental waveforms obtained from the system shown in
Figure 3.43. Here, Figure 3.44a is in the case that no barking chopper was activated,
whereas Figure 3.44b is in the case that all the braking choppers were activated.
Note that the induction motor was loaded at no torque. The motor speed reference
N* started being reduced from the rated speed to zero with a speed‐deceleration rate
of 1500 r/min/s from t0.
In Figure 3.44a, the capacitor voltages, vC1u and vC9u, were increasing from
their rated voltage of 70 V, indicating that the total rotating kinetic energy of the
induction motor and generator was being transformed to the electrostatic energy of
all the capacitors. The DSCC inverter stopped operating at t1 because the over-
voltage protection integrated into the controller was triggered at the instant in time
when one of the 48 capacitors reached 90 V. When the rotating kinetic energy is
transformed equally to the 48 capacitors, an increased value of each capacitor
voltage can be theoretically calculated as 18.7 V. This theoretical value agrees well
with the experimental value of 20 V that can be obtained from Figure 3.44a.
In Figure 3.44b, the individual times on the horizontal axis indicate as
follows:
•• t0: the time when the dynamic brake started to be operated.
•• t1 and t2: the times at the beginning and end of the zoomed-up waveforms
shown in Figure 3.45, respectively.
•• t3: the time when the AC‐voltage‐fluctuation mitigation control [69] started to
be operated.
•• t4: the time when the motor speed reached zero.
The actual motor speed N was following its reference N* from t0 to t4 without caus-
ing any instability. The DC‐link voltage vdc increased smoothly from 560 V to 630 V
at t0. Before and after t3, the waveforms of the arm currents, iPu and iNu, changed
from sinusoids (t0 ≤ t ≤ t3) to trapezoids (t ≥ t3) because the AC‐voltage‐fluctuation
mitigation control [69] was activated at t3. As a result of having injected a non‐
negligible amount of common‐mode voltage, the DC‐link voltage changed its
amplitude at the instant of t3. However, it caused no negative effect on the dynamic
braking performance, as can be seen from the waveform of the motor speed N. The
mean DC values of vC1u and vC9u were regulated to 70 V in all the speed ranges.
The waveform of vR1u concludes that the braking chopper was operating properly to
consume the rotating kinetic energy coming from the motor.
 (a) Overvoltage protection triggered
0.1 s N
[r/min] 1500
N* 750
N*
N 0
[V] 600
vuv
vvw 0
vwu –600
[A] 50
iu
iv 0
iw –50
[V] 800
vdc 630 →
0
[A]
50
iPu
iNu 0
–50
[V] 100
vC1u 20 V↑↓
70
vC9u
0
[V]
70
vR1u
0
t0 t1

(b) 1s
[r/min] 1500 N
N* 750
N →← 10 ms N*
0
[V] 600
vuv
vvw 0
vwu –600
[A] 50
iu
iv 0
iw –50
[V] 800
vdc 630 →
0
[A] 50
iPu
0
iNu
–50
[V] 100
vC1u 70
vC9u
0
[V] 100
70
vR1u
0
t0 t1 t2 t3 t4
Figure 3.44 Experimental waveforms during distributed dynamic braking, where the
induction motor was operated at no‐load torque. (a) Dynamic braking without activating
any braking chopper. (b) Dynamic braking while activating all the braking choppers [85].
(See electronic version for color representation of this figure.)
212 Chapter 3 Multilevel Converters – Configuration of Circuits and Systems

[V] 2 ms
100 → ← 0.17 ms
70
VR1u

0
t1 t2
Figure 3.45 Time‐expanded waveform of vR1u from t = t1 to t2 in Figure 3.44b.

[V] 1s
100
vCju 80 →
70
j=1–8 60 vC1u
[V] 100
70
vR1u
0
t0 t1
Figure 3.46 Experimental waveforms of eight capacitor voltages, where the capacitor
voltage numbered 1 in the u‐phase started being increased intentionally from 70 V at t0, and
the corresponding braking chopper started operation at t1 [85]. (See electronic version for
color representation of this figure.)

Figure 3.45 shows the expanded waveform of vR1u with respect to time and
voltage in Figure 3.44b from t1 to t2. During an interval of 2 ms, the voltage pulses
can be counted up as three because the triangular‐carrier frequency was set to
1.5 kHz. The duty ratio was measured as 25%, where the power consumed by a
single braking resistor can be calculated as 123 W (= 7 A × 7 A × 10 Ω × 0.25). It was
still lower than the designed short‐time power rating of 208 W.
Figure 3.46 shows the experimental waveforms of all the eight capacitor volt-
ages in the u‐phase positive arm. Among them, the DC mean voltage of vC1u was
being increased intentionally from 70 to 80 V at t0 with the help of the individual‐
balancing control [14]. The motor speed reference was set to 1080 r/min, and the
motor was loaded at 50% of the rated torque. After the braking chopper was enabled
at t1, the DC mean value of vC1u decreased immediately to 70 V with an acceptable
undershooting voltage. The waveform of vR1u verified that the braking chopper has
the capability to protect the chopper‐cell capacitor against the sudden overvoltage.

3.13 PRACTICAL APPLICATIONS OF DSCC

INVERTERS TO MEDIUM‐VOLTAGE MOTOR DRIVES

Benshaw, presently taken over by Regal Beloit Corporation, and Siemens AG have
put medium‐voltage motor drives using DSCC inverters on the market. Table 3.11
summarizes the electrical specifications of the product from Benshaw [86], and
Table 3.12 the product from Siemens AG [87].
 3.14 FUTURE SCENARIOS AND CONCLUSION 213

TABLE 3.11 Motor drive system from Benshaw [86].

Product name M2L 3 000 Series

System configuration Figure 3.30c

Motor voltage 2.3–6.6 kV
Motor frequency 0–180 Hz
Motor power 0.23–7.5 MW
Line‐side converter 18‐pulse (min.) diode rectifier
Cooling Forced air cooling
Applications Fans, blowers, and pumps

TABLE 3.12 Motor drive system from Siemens AG [87].

Product name GH150 drive

System configuration Figure 3.30c

Motor voltage 4.16–7.2 kV
Motor frequency 0–150 Hz
Motor power 4–30 MW
Line‐side converter 12‐pulse to 36‐pulse diode rectifier
Cooling Water cooling
Applications Fans, blowers, and pumps

Both manufacturers use three‐phase 12‐pulse to 36‐pulse diode rectifiers at

the front end. Since the diode rectifiers have no capability for regenerative braking,
practical applications of the DSCC‐fed motor drives to industry include fans,
blowers, and pumps for energy savings. The adoption of the DSCC‐fed motor
drives shown in Figure 3.30a,d will make it possible to eliminate the 12‐pulse to
36‐pulse multiwinding line‐frequency phase‐shifted transformers from medium‐
voltage motor drive systems in the near future.
No company or manufacturer has commercialized medium‐voltage motor
drives using TSBC converters due to reasons including costs. However, traditional
line‐commutated cycloconverters will be replaced by TSBC converters in the near
future.

3.14 FUTURE SCENARIOS AND CONCLUSION

Classic multilevel converters include NPC, NPP and FLC inverters, and their
­combinations, while modern multilevel converters include a family of modular
multilevel cascade converters. Some have already established a good business
market, some have been in the R&D stage, and others have been in the academic
research stage.
214 Chapter 3 Multilevel Converters – Configuration of Circuits and Systems

Future scenarios for multilevel converters can be summarized as follows:

•• Replacing traditional IGBT modules with the latest SiC‐MOSFET/SBD
modules bring higher “power efficiency” and “energy efficiency” not only at
the rated load but also in partial loads to multilevel converters. Hence, it
makes the heat sinks or cooling systems that are indispensable to SiC‐
MOSFET/SBD modules simpler in configuration, smaller in size, and lighter
in weight. As a result, it would bring cost reductions to the whole power
conversion system.
•• Passive components such as capacitors, inductors, and transformers will take
the place of the main players in the near future, although they are considered
as the supporting players at present [53]. Moreover, line‐frequency trans-
formers would be eliminated, or replaced with medium‐frequency
transformers.
•• Remote sensing and monitoring in collaboration with the cutting‐edge
“Internet of Things” will make a significant contribution to conditioning
modular multilevel cascade converters and motor drives, as well as to diag-
nosing and/or preventing their malfunction [54].
Many research scientists and engineers in power electronics have long been
dreaming of “a multilevel converter higher in efficiency than a line‐frequency (50
or 60 Hz) transformer when the converter and the transformer had the same voltage
and current ratings.” Sophisticated converter design and fabrication, along with the
use of the latest SiC‐MOSFET/SBD modules with extremely low internal stray
inductance values, will make the dream come true in the near future [1].
Fortunately or unfortunately, no “versatile” multilevel converter exists from a
practical point of view, or strictly speaking, in terms of cost‐effectiveness. This fact
will encourage scientists and engineers of power electronics to do further research
on multilevel converters in a broad sense.

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 Ch a p t e r  4
MULTILEVEL
CONVERTERS – CONTROL
AND OPERATION
IN INDUSTRIAL SYSTEMS
Jose I. Leon, Sergio Vazquez and Leopoldo G. Franquelo

4.1 INTRODUCTION

The increasing demand for electrical energy worldwide is coming hand‐in‐hand

with the development of new power electronic converters capable of managing high
power. The power limits of the power converters are defined by the power switch
features and the cooling systems. If the power of a specific application is higher
than the maximum limit of a power converter, a classical solution is to install extra
power converters working in parallel to deal with it. This increases the cost of the
power conversion system. In addition, the use of several power converters working
in parallel introduces drawbacks such as non‐negligible resonances and circulating
currents, which lead to efficiency reduction.
One way to face the challenge of high‐power conversion, but avoiding the use
of parallel converters, is to design new power converters capable of increasing the
maximum power conversion rating limits in terms of maximum DC‐link voltage
and maximum currents.
One possible option is to build a power converter but connecting the power
devices in series and parallel to achieve higher voltages and currents respectively.
However, this solution presents problems with voltage and current imbalances due
to the unavoidable mismatching between the power devices. This leads to a com-
plex converter design, reducing the power system reliability. In order to overcome

Power Electronics in Renewable Energy Systems and Smart Grid: Technology and Applications,
First Edition. Edited by Bimal K. Bose.
© 2019 by The Institute of Electrical and Electronics Engineers, Inc.
Published 2019 by John Wiley & Sons, Inc.

219
220 Chapter 4 MULTILEVEL CONVERTERS – CONTROL AND OPERATION IN INDUSTRIAL SYSTEMS

this problem, for more than half a century, academia and industry have been
working together on the development of a new family of power converters, usually
called multilevel converters [1–3].
In general terms, multilevel converters are capable of dealing with high‐
power applications thanks to the converter topology design. In some cases, the mul-
tilevel converter circuits stack the power devices in series in order to share the
medium or high voltage present in the DC‐link. This is the case of the well‐known
neutral‐point‐clamped (NPC) converter or the flying capacitor (FC) converter.
Another possibility for achieving high voltages is to split off the DC‐link voltage
in several independent DC voltages, as is the case for the well‐known cascaded
H‐bridge (CHB) converter topology.
As usually happens, the introduction of multilevel converters introduces a
high number of advantages, but also comes with some disadvantages and chal-
lenges to be faced. These pros and cons can be listed as follows:

•• Increase of the nominal power of the conversion system without exceeding

the power device limits (voltages and currents).
•• High quality of the output waveforms (voltages and currents) because of the
large number of output voltage levels.
•• Possible reduction of the output filter stage, leading to a decrease in the
weight, volume and cost of the power converter.
•• Possible fault‐tolerant capability (depends on the multilevel converter
topology) leading to continued operation of the converter even when one or
several power devices fail.
•• The management of control signals and data acquisition becomes more com-
plex because the number of power devices (active and passive) is higher.
•• The control methods are more complex because extra control targets, such as
internal DC voltage balancing, are required.
•• The modulation strategies are also more complex in order to achieve maximum
quality of output waveforms with minimum power losses.

It has to be said that academia has been facing the disadvantages of multilevel
converters for the last decades. Nowadays, it can be affirmed that most of the
challenges have been overcome with the development of new modulation and
control techniques. These techniques, although complex compared with the con-
ventional ones applied to classical two‐level converters, can be easily imple-
mented in current microprocessors. In this way, a large number of multilevel
converters can now be found as commercial products in a good number of product
portfolios in the power electronics industry. Multilevel converters are currently
successfully applied for applications such as motor drives (fans, pumps, con-
veyors, compressors, etc.), high‐voltage DC transmission systems (HVDC),
inverters for renewable energy sources, and flexible AC transmission systems
(FACTS), among others [4, 5].
 4.2 SUMMARY OF MULTILEVEL CONVERTER TOPOLOGIES 221

4.2 SUMMARY OF MULTILEVEL CONVERTER

TOPOLOGIES

As commented previously, multilevel converters are an attractive solution mainly

for medium‐power high‐voltage applications, and many commercial products can
nowadays be found. In this section, a brief summary of some of the main topologies
adopted by industry will be presented. In Figures 4.1 to 4.5, some multilevel
converter topologies are represented, also introducing their advantages and
drawbacks. It should be noted that Chapter 3 focused on introducing these topol-
ogies in detail.

Mature technology for three-level converters,

possibly the most successful multilevel
Sa1 converter topology to date
Vdc + Simple multi carrier modulation method
2 based on level-shifted PWM
Sa2 Zero-sequence injection to carry out DC-link
a voltage balance control
Vdc
Typical applications: FACTS and motor drives
Sa1 for fans, pumps, blowers, compressors, conveyors
Vdc + Unequal usage of power devices leading to
unequal aging
2
Sa2 Not straightforward extension to achieve more than
three levels because of the impossibility of achieving
dc-link voltage balance control
Figure 4.1 NPC circuit topology (single‐phase circuit) and pros and cons.

Operated using PS-PWM leading to high quality

+

output waveforms with low power losses per cell

Vdc
and aging equalization
S1 S1
Topology formed by the connection of simple
power cells composed of two power devices and
+

one floating capacitor leading to high modularity

m–1 V
m dc
The floating capacitor voltages are naturally
S2 S2 controlled using the PS-PWM method
Typical applications: FACTS and motor drives
mainly for traction purposes
+

Multilevel converter topology protected by a patent

Vdc
m Large number of capacitors leading to a reduction
Sm Sm in the converter lifetime
The natural DC voltage balance of floating
capacitors using PS-PWM has low dynamic
a performance and requires high output frequency
Figure 4.2 FC circuit topology (single‐phase circuit) and pros and cons.
222 Chapter 4 MULTILEVEL CONVERTERS – CONTROL AND OPERATION IN INDUSTRIAL SYSTEMS

Operated with PS-PWM leads to high performance

AC
output waveforms with power loss equalization
Vdc Mature converter topology capable of achieving
DC
very high DC voltages by stacking power cells
Va Very high modularity because the converter is
AC formed by the series connection of power cells
Vdc
DC
(usually full bridges)
Power cell Straight forward fault tolerant capability adding
+ bypass switches per cell
S1 S2 Typical applications: FACTS and motor drives
Out+ Out–
The converter requires an independent DC source
_ _
S1 per cell (or operates with floating capacitors)
S2
– Requires a complex structure if a back-to-back
configuration is required
Figure 4.3 CHB circuit topology (single‐phase circuit) and pros and cons.

Recent converter topology becoming mature

AC mainly for high-voltage DC transmission (HVDC)
DC using a back-to-back configuration
The converter topology is capable of achieving
very high dc voltages by stacking a large
AC number of power cells which usually are half-bridges
DC Very high modularity with straight forward fault
tolerant capability
a Usually operated using nearest level control per
Vdc phase which achieves high performance, power
Power cell loss equalization and DC voltages control
AC
Sa
The converter is usually formed by a large number
DC of cells which deals to a complex control hardware
structure and rate limitations for data management
Sa The converter presents floating DC voltages which
AC
need to be controlled. This can be done but is
DC complex when the number of cells is large

Figure 4.4 Modular multilevel converter (MMC) circuit topology (single‐phase circuit)
and pros and cons.

All these converter topologies have had industrial impact, playing an impor-
tant role in the last decades in the medium‐power range. It can be affirmed that the
NPC and the CHB are probably the most successful multilevel converter topologies
for motor drives and grid‐connected applications. Year by year, more power con-
verter manufacturers introduce these converter topologies into their product portfo-
lios for classical applications and also for recent ones. Modifications of the
conventional multilevel converter topologies are also periodically introduced in
order to fit with specific applications that require particular features. Every year,
new multilevel converter topologies appear, such as the three‐level active NPC [6],
 4.3 CONTROL STRUCTURE OF MULTILEVEL POWER CONVERTERS 223

Three-level topology recently commercialized

as a industrial product for medium-power
grid-tied applications (up to 2.7 MW)
Vdc + S1
Simple converter topology similar to NPC but
2
S2 avoiding the use of clamping diodes
Similar operation compared with NPC with the
a
Vdc possibility to use exactly the same controller and
very similar modulator based on LS-PWM
S2 The reduced number of power devices leads to
Vdc + high efficiency with low power losses
S3
2 The outer power devices have to block all the
DC-link voltage which reduces the possibility
of using the converter in medium-voltage range
applications
Figure 4.5 T‐type circuit topology (single‐phase circuit) and pros and cons.

TABLE 4.1 Summary of the most well‐known multilevel converter topologies.

Converter topology Ref. Commercial product

Neutral‐point‐clamped (NPC) [15–17] MV7000 by GE

Flying capacitor (FC) [18] ALSPA VDM6000 by ALSTOM
Cascaded H‐bridge (CHB) [19, 20] MVW3000 by WEG
T‐type converter (T‐type) [21] Solar Ware Samurai by TMEIC
Active NPC (ANPC) [6] PCS8000 by ABB
Five‐level H‐bridge NPC (5 L‐HNPC) [7] Dura‐Bilt5i MV by TMEIC
Five‐level active NPC (5 L‐ANPC) [14] ACS2000 by ABB
Modular multilevel converter (MMC) [22, 23] HVDC PLUS by Siemens

the five‐level H‐bridge NPC [7], the stacked multicell [8, 9], the packed U‐cell [10],
the cross‐connected multilevel converter [11], series‐connected two‐level plus
H‐bridge converter [12], the generalized multilevel active‐clamped converter [13],
and the five‐level active NPC [14], among others.
A summary of some commercial products implementing the most well‐
known multilevel converter topologies is presented in Table 4.1.

4.3 CONTROL STRUCTURE OF MULTILEVEL

POWER CONVERTERS

The general structure of a closed‐loop operation of a multilevel converter is shown

in Figure 4.6. Taking into account the measurements of the power system, a first
stage of the control structure is usually the outer control loop which takes into
account the control targets defined by the user in order to generate the reference
currents to be generated by the power converter.
224 Chapter 4 MULTILEVEL CONVERTERS – CONTROL AND OPERATION IN INDUSTRIAL SYSTEMS

Rotational speed, torque, flux for motor drives

dc-link voltage for active-front ends

Outer control

Stage 1
Measurements Target
loop
i*
Current Stage 2
measurements Inner control
loop
v*

In-phase v *k
Stage 3

Measurements ^* balancing
Zero-sequence v
injection strategy
Stage 4

Sj
Modulator

Figure 4.6 General operational structure of a multilevel converter: control and modulation
stages.

These current references are the input for the second stage, that is, the inner
control loop which generates the reference voltages to be generated by the power
converter in order to achieve the current control.
As a third control structure stage, a modification of the voltage reference can
be done. This is usually carried out by a zero‐sequence injection (such as the third
harmonic injection method). As a particular issue for multilevel converters, an addi-
tional modification can also be done by applying modifications in the voltage refer-
ence per phase – what is called the in‐phase balancing strategy in Figure 4.6.
Finally, the output of the third stage is the reference voltage to be generated
by the power converter. This is done carrying out a modulation method which gen-
erates the firing pulses of the power devices.
It is important to note that the structure introduced in Figure 4.6 is not used
by other control methods such as the direct torque control (DTC) (for motor drive
applications), the direct power control (DPC) (for grid‐connected applications) or
the finite states model predictive control (FS‐MPC) method [24–31]. These control
techniques were initially introduced for conventional two‐level converters and have
been successfully adapted to be used in multilevel converters.
DTC and DPC are based on the definition of look‐up tables, which define a
priori the switching of the power converter depending on the instantaneous control
 4.3 CONTROL STRUCTURE OF MULTILEVEL POWER CONVERTERS 225

target errors. So, they do not present outer or inner control loops and they even
avoid the use of modulators because they apply just one switching state every
­sampling period.

4.3.1 The Outer Control Loop (Stage 1)

The outer control loop receives as inputs the control targets defined by the user. For
instance, in motor drive applications, the objective is to regulate the speed (or the
torque) of the machine [32]. In the case of grid‐connected applications operating as
a rectifier (usually called active front end, AFE), the control target is to keep the
DC‐link voltage constant. In the case of an uninterruptible power supply (UPS)
system, the control objective is to generate a pure sinusoidal voltage, whatever the
load may be. In the case of using a power converter working as a static synchronous
compensator (STATCOM), the target is to generate a specific value of reactive
power. In this way, any application defines the control objectives, which are the
inputs of the outer control loop.
For instance, for the AFE application, a well‐known solution is based on
using a proportional plus integral (PI) controller [33, 34]. Other possible methods
such as the passivity control or PI including an extended state observer, among
others, can also be used [35–38].
The outer control loop is executed every sampling time and determines the
reference currents to be generated by the power converter in order to achieve the
control targets. These reference currents can be expressed in the natural abc ia* ,ib* ,ic* ,
stationary αβ (i* , i* ) or synchronous dq (id* , iq* ) reference frames.

4.3.2 The Inner Control Loop (Stage 2)

Each sampling time, the inner control loop receives as input the current reference
values i*. These are the currents that the power converter has to generate in order
to achieve the desired control targets defined by the user. In order to implement
this inner control loop, the dynamic equations of the power converter output cur-
rents have to be known. These equations can be obtained from the system model,
taking into account what is connected in the power converter output terminals. In
the case of motor drive applications, the power converter is connected to a
machine (an induction machine (IM), permanent magnet synchronous machine
(PMSM), etc.) [39]. On the other hand, for grid‐tied applications, the power con-
verter output terminals are connected to the grid by an output filter (L filter, LC
filter, etc.) [33, 40, 41].
As commented previously, the inner control loop can be defined in different
reference frames. For instance, in the case of motor drive applications, the
synchronous dq reference frame is normally used. In order to implement the inner
control loop, the well‐known field oriented control (FOC) method is usually
adopted. FOC is based on PI regulators to control the current flowing into the
machine [42].
226 Chapter 4 MULTILEVEL CONVERTERS – CONTROL AND OPERATION IN INDUSTRIAL SYSTEMS

In the case of grid‐tied applications, the inner control loop is mostly based on
the well‐known voltage oriented control (VOC) method, which is the dual case of
the FOC technique for motor drive applications. VOC is usually developed in the dq
frame and also is based on PI regulators including a decoupling term [43–45]. As
the converter is connected to the grid, VOC needs a phase‐locked loop (PLL) or a
frequency‐locked loop (FLL) to achieve synchronization with the grid voltage [46–
48]. It is important to note that VOC method only takes into account the fundamental
frequency component and presents some problems with distorted or unbalanced
grid conditions. In these cases, the VOC method has to be modified to achieve high
performance [49].
The inner control loop can be also implemented using the stationary αβ ref-
erence frame. These controllers are normally based on a proportional plus resonant
(PR) filter tuned at the harmonic components of interest [50–52].
Finally, the inner control loop output is the reference voltage v* to be gener-
ated by the power converter. As the inner control loop can be defined in different
reference frames, the same happens with the reference voltage, and (va* , vb*, vc*) for the
abc frame, (v* , v*) for the stationary αβ frame, or (vd* , vq*) for the synchronous dq
frame can be used.

4.3.3 The Zero‐Sequence Injection (Stage 3)

Once the reference voltage has been determined by the inner control loop, it can
be generated directly by the power converter by applying a proper modulation
­technique. However, in many applications, a previous modification is done to the
reference voltages in order to improve some power converter features.
For instance, the zero‐sequence injection methods add or subtract a specific
voltage to all reference phase voltages and, therefore, it is applied in the abc frame.
If it is done in a proper manner, it affects the phase voltages but does not affect to
the phase‐to‐phase voltage or the phase currents.
A conventional zero‐sequence injection method is the third harmonic injection
which can be applied to any three‐phase voltage source converter. In this method, a
scaled sinusoidal waveform with three times the fundamental frequency is added to
the reference voltages. As the triple harmonics are naturally eliminated in a balanced
three‐phase system, it does not introduce disadvantages. The third harmonic
injection method extends the DC‐link voltage utilization by approximately 15%.
A similar method to the third harmonic injection is the well‐known min‐max
injection technique, which also adds a waveform with triple fundamental frequency
to the reference voltages. In this case, the waveform is determined by measuring at
each sampling time the maximum and minimum reference voltages. It achieves the
same good results as the classical third harmonic injection, but comparing both
methods, the min‐max method is superior. It can be applied without the synchroni-
zation requirement of the third harmonic injection method.
These methods can also be applied to multilevel converters. In fact, the zero‐
sequence injection techniques can carry out DC voltage balance control in NPC or
 4.4 MODULATION METHODS FOR MULTILEVEL POWER CONVERTERS (STAGE 4) 227

T‐type converters. This idea came with the invention of the NPC converter [53]. In
fact, it has been demonstrated that the DC‐link voltage imbalance in the NPC is
directly related to the third harmonic component of the power converter output volt-
ages [54]. In this way, a possibility for achieving this control objective is to manage
the amplitude of the zero‐sequence injection by introducing a simple controller.
Consequently, the zero‐sequence injection was also proposed as part of the control
including a PI regulator [33]. Another approaches include a properly tuned resonant
filter or a Luenberger observer [34, 55].
In addition, zero‐sequence injection can deal with the circulating current
minimization in MMC or three‐phase delta‐connected CHB converters. In this
case, the zero‐sequence injection amplitude is determined normally by a PI
­regulator [56]. If the grid is not balanced, the method has to be correspondingly
modified [57].
It is important to note that the zero‐sequence injection methods are related
to carrier‐based modulation methods. However, the same concept has also been
applied to vector‐based modulation methods, taking into account the redundant
vectors present in multilevel converters. In this way, the zero‐sequence injection
method can appear as a separate task or can be included in the modulation
­technique [58].

4.3.4 The In‐phase Balancing Strategy (Stage 3)

This part of the control structure shown in Figure 4.6 is only present in multilevel
converters and is optional. Using the in‐phase balancing strategy, the DC voltages
of each phase of converters such as the CHB or the MMC can be controlled. It is
important to note that this method is applied independently per phase once the
phase reference voltage has been determined by the previous stages.
The in‐phase balancing strategy can be included directly in the controller
stages, but can also be part of the modulator [59]. If the in‐phase balancing method
is included in the controller stages, it is normally implemented by applying propor-
tional plus resonant controllers per cell [60–62]. The idea is that each cell absorbs
or delivers the required power in order to keep its DC voltage equal to a specific DC
voltage reference.

4.4 MODULATION METHODS FOR MULTILEVEL

POWER CONVERTERS (STAGE 4)

The power converter controller usually determines the reference voltage to be

­generated in order to achieve the control targets. The modulation is defined as the
process to generate this reference voltage, on average over a modulation period,
by applying a combination of commutations of the power devices. This is a crucial
task in a power converter because the quality of the final output waveforms and the
converter efficiency is directly related to the modulation method used. In this way,
228 Chapter 4 MULTILEVEL CONVERTERS – CONTROL AND OPERATION IN INDUSTRIAL SYSTEMS

the design of optimal modulation strategies has been the focus of researchers for
decades, always looking for minimum output waveforms harmonic distortion with
minimum power losses [63].
Each power converter topology and application requires a specific modula-
tion method in order to achieve these objectives. The modulation strategy com-
plexity usually increases with the number of power switches in the circuit. This is
the case for the multilevel converter family where the number of power devices can
be very large compared with the conventional two‐level converters. Over the years,
each new multilevel converter topology requires a specifically designed modulation
method to take advantage of all the good features of the topology (best harmonic
performance with maximum efficiency).
In most cases, the modulation strategies for multilevel converters have been
born as modifications or extensions of well‐known modulation methods for two‐
level converters [63]. In this way, modulation strategies such as the classic pulse
width modulation (PWM), space vector modulation (SVM), interleaved PWM for
parallel converters, selective harmonic elimination (SHE), and others have been
adapted to be applied to different multilevel converter topologies. In this section,
the most well‐known modulation strategies for multilevel converters will be
addressed, focusing on the advantages and drawbacks of each method.

4.4.1 Carrier‐Based Modulation Techniques

The invention of the bipolar transistor in 1947 and the silicon controlled rectifier
(SCR) in 1956 provoked a big bang in power electronics. Since this boom, the
PWM method has represented the most important modulation strategy since its
appearance in the 1960s [64, 65]. PWM presents great advantages such as good
performance and extreme simplicity [66]. PWM has been deeply studied in recent
decades, and it is the base for most of the new modulation methods for the new
power converter topologies.
The PWM method is based on the generation of the switching pulses of the
power converter by comparing the reference voltage with a high‐frequency triangular
carrier. The frequency modulation index mf is defined as the ratio between the
frequencies of the carrier fcr and the reference voltages fm [67]. Applying this, the
obtained output voltage gives the desired fundamental harmonic content. In addition,
the harmonic distortion created by the converter switching is centered around the
­carrier frequency fcr, facilitating the design of the output filtering stage. A schema of
the conventional PWM method is represented in Figure 4.7, where a conventional
two‐level three‐phase power converter is used to show the modulation strategy results.
It is clear that the quality of the output waveforms and their harmonic
performance is improved whilst mf is increased. In this way, increasing mf leads to
output filters with reduced size, weight and costs. However, the power converter
efficiency is reduced if mf is large. This fact leads to a trade‐off between these two
factors: harmonic performance and its corresponding economic effect, and
 4.4 MODULATION METHODS FOR MULTILEVEL POWER CONVERTERS (STAGE 4) 229

V*
Controller Modulator
V *c +
Sa(digital) Digital V *b + –
Sc
3.3 (a)
switching
V *a
Sb
0 signals + –
Drivers V cr
–
Sa
Sa Isolated
15
switching
–8 signals
Output
Measurements DC waveforms

AC V *a (b)
Inverter

Sa Sb Sc Sa (c)
vcr
+
vdc vaN a vbN b vcN c
_ _ vaN vaN{f1} (d)
Sa Sb Sc
vdc

N t

Figure 4.7 Conventional PWM method for a two‐level three‐phase inverter. (a) PWM
control scheme. (b) Reference voltages and carrier signal. (c) Switching signal for phase a
(Sa). (d) Phase voltage of phase a (vaN)

efficiency and its corresponding effect on the design of the cooling system. In gen-
eral, the nominal power of the power converter limits the minimum efficiency to be
permitted using any specific cooling system (natural convection, forced air, or
liquid cooling). This forces the maximum switching frequency to be applied in the
modulation method and fixes the output filter to be designed and finally installed.
In the following subsections the different strategies to extend the classic two‐
level PWM method will be introduced.

Level‐shifted PWM Method (LS‐PWM)

The basis of a multilevel converter topology is the generation of an output voltage
with more than two voltage levels. One possible straightforward method for
designing a modulation strategy is to apply a PWM method to commutate between
two consecutive voltage levels generating the reference voltage on average.
The level‐shifted pulse width modulation (LS‐PWM) strategy for a N‐level
multilevel converter is based on the disposition of N − 1 triangular carriers equally
distributed in the converter voltage range [68, 69]. For instance, in a three‐level
NPC converter with a DC‐link voltage equal to Vdc, two carriers are required. The
first carrier is between zero and Vdc/2 and the second one is between zero and − Vdc/2.
The base of the LS‐PWM applied to a three‐level NPC is represented in Figure 4.8.
In the conventional implementation of the LS‐PWM method, the carriers and the
230 Chapter 4 MULTILEVEL CONVERTERS – CONTROL AND OPERATION IN INDUSTRIAL SYSTEMS

(a) va* +
vcr1 Sa1
–
+
vcr2 Sa2
–
(b) vcr1 va*

(c) S
a1 vcr2

Sa2

t
(d) vaN va{f1}

Vdc/2

Vdc/2
t
Figure 4.8 LS‐PWM method for a three‐level NPC. (a) PWM control scheme.
(b) Reference voltage for phase a and carrier signals. (c) Switching signals for phase a (Sa1
and Sa2). (d) Phase voltage of phase a (vaN)

reference voltage waveforms are normalized by dividing them by Vdc, fitting all the
waveforms in the [–1, 1] range.
It is important to note that LS‐PWM stands out for its conceptual simplicity
and easy hardware implementation. The harmonic spectrum of the resulting output
phase voltage has high quality and presents the lowest order harmonic distortion
due to the switching around the carrier frequency fcr. The typical harmonic spectrum
of the phase voltage of a multilevel converter applying the LS‐PWM method is
represented in Figure 4.9.
LS‐PWM strategy is very well designed to be applied to the non‐modular
multilevel converters such as the three‐level NPC or the three‐level T‐type con-
verter. In these cases, the comparison of the reference voltage with the triangular
carriers directly generates the switching signals. However, it can be affirmed that
the LS‐PWM method can be applied to any multilevel converter topology with
good performance [63].
 4.4 MODULATION METHODS FOR MULTILEVEL POWER CONVERTERS (STAGE 4) 231

va[pu]
1 1
mf 2mf ± 2
0.8
3mf ± 2
0.6 mf –2 mf + 2 2mf
0.4 3mf
0.2
0
Harmonic number
Figure 4.9 Harmonic spectrum of the phase voltage of a multilevel converter applying the
LS‐PWM method.

Phase‐shifted PWM Method (PS‐PWM)

Some multilevel converter topologies such as the FC, the CHB or the MMC stand
out for their modularity, as they are formed by the series connection of power cells.
In these cases, the phase output voltage is usually determined by the sum of
the cells’ output voltages. For instance, in the case of a three‐cell CHB inverter, the
phase output voltage va can be calculated as the sum of the output voltages of the
three cells (va1, va2 and va3).
This phenomenon is dual to that present in the parallel converters where the
output current can be determined as the sum of the output currents of each power
cell. It is very well known that, in the case of parallel converters (for instance, sev-
eral DC/DC converters), a very convenient working method is to implement an
interleaving operation in the system. The interleaved operation is achieved by shift-
ing the power devices’ switching instants in order to reduce the total output current
ripple and to increase the output current equivalent frequency. These two features
improve the overall operation of the system, allowing reduction in the power system
output filter without introducing drawbacks [68].
So, a dual method for the interleaved operation of parallel converters can be
applied to voltage stacked converters, which is the case for many multilevel con-
verters. The PS‐PWM strategy is based on applying a simple modulation technique
to each power cell of the converter. After this, a phase shift is applied to the switch-
ing of each power cell, looking for the same advantages present in the interleaved
operation of parallel converters [70].
For instance, in the case of a CHB inverter, each cell is formed by a DC
voltage source (Vdc) and a full bridge that can be operated using a conventional
unipolar PWM. In this way, the output voltage of each cell is a three‐level wave-
form (0 and ± Vdc). The three‐cell CHB inverter and the unipolar PWM method are
introduced in Figure 4.10.
If all power cells apply exactly the same unipolar PWM strategy with the
same phase voltage reference and the same triangular carriers, the switching of all
the cells coincide. This would lead to high phase voltage ripple, and it is not the best
way to operate the CHB. As introduced in the interleaved operation of parallel con-
verters, the unipolar PWM of the cells in a CHB inverter should be shifted among
them. In the case of the CHB topology applying unipolar PWM per cell, it is
232 Chapter 4 MULTILEVEL CONVERTERS – CONTROL AND OPERATION IN INDUSTRIAL SYSTEMS

AC
Vdc
v1
DC
v*

AC
Vdc v2 va
DC
v*

AC
Vdc v3 π
DC 3
v*
Power cell
+
2 π –vcr3 vcr3
3
S31 S32
Out+ Out– v* 1

+ S31
0
–
vcr3
S31 S32 1

+ S32
0
–
– –vcr3

Figure 4.10 Phase‐shifted pulse width modulation (PS‐PWM) method for a three‐cell
CHB inverter based on the application of unipolar PWM per cell: control scheme and
generation of the phase‐shifted triangular carriers.

demonstrated that the best angle to shift the operation of the unipolar PWM
­between consecutive power cells is equal to π/(M) where M is the number of power
cells [71]. Figure 4.11 shows the output voltages of each cell of a three‐cell CHB
and the resulting phase voltage determined as the sum of the power cells.
In PS‐PWM, all the power cells use a unipolar PWM where the reference
voltage for all the power cells is the same. So, PS‐PWM achieves a natural equal
power distribution between the power cells.
On the other hand, in PS‐PWM all the power cells use a unipolar PWM with
the same carrier frequency, and the number of commutations is the same for all the
cells. In addition, in the CHB converter (and other modular topologies) the voltages
of all the cells are the same and the phase current flows through all the power cells.
As a result of all these facts, the power losses are inherently equalized between all
the power cells.
The equal power distribution and the power losses equalization between the
cells achieved by the PS‐PWM lead to an equalized aging of the power cells. This
is an important feature of the PS‐PWM method, improving the lifetime between
failure of the power converter and facilitating the maintenance process, hence
reducing the operation costs.
 4.4 MODULATION METHODS FOR MULTILEVEL POWER CONVERTERS (STAGE 4) 233

Vdc
Vdc

v1(t)
0
v1(t)

0
–Vdc
Vdc
–Vdc
Vdc

v2(t)
0
v2(t)

0
–Vdc

–Vdc Vdc

Vdc
v3(t)

0
v3(t)

0
–Vdc

–Vdc
2Vdc
2Vdc
0
v (t)
v (t)

0
–2Vdc
–2Vdc
20 30 40
Time (ms)
23 24
Time (ms)

Figure 4.11 PS‐PWM method for a three‐cell CHB inverter: output voltages of the CHB
cells (v1, v2 and v3) and total phase output voltage v.

Another very important feature achieved by the PS‐PWM is related to its high
harmonic performance. The phase‐shifting applied to the switching of each cell
leads to a multiplication of the lowest‐order harmonic distortion. The cell output
voltage using unipolar PWM presents the harmonic distortion at around twice the
carrier frequency. The PS‐PWM moves this harmonic distortion to higher
frequencies with the number of cells of the converter. In the case of a M‐cell CHB,
the lowest harmonic distortion is located around 2Mfcr. The typical harmonic spec-
trum of the phase voltage of a multilevel converter applying the PS‐PWM method
is represented in Figure 4.12. In addition, the application of the PS‐PWM method
also reduces the dV/dt of the output phase voltage, limiting it to one power cell
voltage. These facts are crucial because this leads to an output filter reduction in
terms of weight, volume and cost.
As with the CHB topology, the PS‐PWM method can also be applied to other
modular converters. In the case of the FC converter, the PS‐PWM strategy is imple-
mented with some modifications. In this case, the modulation method applied to each
234 Chapter 4 MULTILEVEL CONVERTERS – CONTROL AND OPERATION IN INDUSTRIAL SYSTEMS

Va[pu]
1 1
0.8 2M mf ± 2
0.6 4M mf ± 2
0.4
0.2

0 Harmonic number
Figure 4.12 Harmonic spectrum of the phase voltage of a multilevel converter applying
the PS‐PWM method.

power cell is a conventional bipolar PWM strategy. The angle to be used in the PS‐
PWM method between consecutive power cells is in this case 2π/M where M is again
the number of cells. Applying this, the advantages previously noted with the CHB are
also achieved. In addition, a PS‐PWM strategy also obtains a natural balance of the
floating DC voltages of the FC topology (but with low dynamic performance) [72].
The MMC topology also can be operated with the PS‐PWM strategy. In this
case, the power cells are also operated with bipolar PWM and the angle between
consecutive power cells is 2π/M where M is the number of cells per arm (number
of cells per phase divided by two). Again, all the advantages typically obtained by
the PS‐PWM method are achieved, as well as the natural DC voltage balance of
the power cells as in the FC converter case. In order to improve the DC voltage
balance performance, the voltage reference of each power cell can be slightly
changed [73–75].

Hybrid PWM Methods

In some cases, the multilevel converter topology does not achieve the expected
results when applying the LS‐PWM or the PS‐PWM methods. Normally, this
occurs when the converter topology is not purely modular or when it is formed by
non‐equal power cells. In these cases, although the conventional modulation
methods can be applied, the obtained performance is not good enough.
One possible case to illustrate this idea is to consider the asymmetrical CHB
topology which is formed by power cells with different DC voltages. A representa-
tion of this topology is introduced in Figure 4.13 where the voltage of each cell is
different, such that V3 > V2 > V1. In this case, the PS‐PWM method does not achieve
good results, leading to distorted output waveforms and non‐equalized power
losses. Consequently, a new modulation method has to be developed trying to
achieve similar features to that achieved by the PS‐PWM method in the symmet-
rical CHB case. This operation of the asymmetrical CHB is usually called the
hybrid PWM method because it applies a different switching signal generation
technique for each power cell of the topology.
In the hybrid PWM for the asymmetrical CHB, the high‐voltage cells are
operated with fundamental switching frequency by comparing their voltage
 4.4 MODULATION METHODS FOR MULTILEVEL POWER CONVERTERS (STAGE 4) 235

AC
V3 va1
DC

AC
V2 V 3 > V2 > V1
va2 va
DC

AC
V1 va3
DC

Power cell
+

S31 S32
Out+ Out–

S31 S32

v* v3* V3 va2
h3
h3
V3

_ v*2 V2 + va
h2 va2
+
h2 +
+
V2

_
+ v*1 unipolar
PWM
va1

Control cell 1: Control cell 2: Control cell 3:

v* 1 v* 1 v*1 1
3 2 S11
S31 +_ S21 +_
+_ 0 0
0
h3 h2 vcr
1 1 1
S32 S22 S12
+_ + +_ 0
0 0
h3 –h2 –vcr

Figure 4.13 Three‐cell asymmetrical CHB topology and hybrid PWM scheme.
236 Chapter 4 MULTILEVEL CONVERTERS – CONTROL AND OPERATION IN INDUSTRIAL SYSTEMS

references with their corresponding DC voltages. This concept is introduced in

Figure 4.13 where the voltage reference of the highest voltage cell (v3*) is compared
with V3 to generate the switching of the cell (S31 and S32). The voltage generated by
the highest voltage cell (va3) is subtracted from the reference voltage v3* to determine
v2*. The process applied to the highest cell is also applied to the second cell in order
to generate its cell output voltage va2 and the voltage reference for the lowest voltage
cell v1*. Finally, the lowest voltage cell is operated using an unipolar PWM to obtain
its output voltage, va1. This modulation method is also introduced in Figure 4.13
where the switching signal generation scheme for all the cells is represented.
The obtained waveforms using this hybrid modulation method are repre-
sented in Figure 4.14. It can be observed that the high‐voltage cells are operated at
fundamental switching frequency while the low‐voltage cell commutates at the carrier
frequency. This hybrid modulation method obtains a phase voltage with high

1
Cell 3 output

va3
voltage [pu]

0 v* = v*3

–1
0 2 4 6 8 10 12 14 16 18 20

0.5
Cell 2 output
voltage [pu]

va2
0 v*2

–0.5
0 2 4 6 8 10 12 14 16 18 20
0.2
Cell 1 output
voltage [pu]

va1
0
v*1

–0.2
0 2 4 6 8 10 12 14 16 18 20

1
Inverter output
voltage [pu]

va
0 v*

–1
0 2 4 6 8 10 12 14 16 18 20
Time [ms]
Figure 4.14 Obtained waveforms of the three‐cell asymmetrical CHB topology applying
the hybrid PWM scheme. (See electronic version for color representation of this figure.)
 4.4 MODULATION METHODS FOR MULTILEVEL POWER CONVERTERS (STAGE 4) 237

quality, with the lowest order harmonic distortion located at 2fcr. Taking a look at
the results, it can be observed that the power managed by each cell is as high as its
DC voltage. Also, the number of commutations of the highest voltage cells are very
reduced, leading to a reduction of power losses.
The utilization of hybrid PWM methods is usual in new multilevel converter
topologies that are formed by the connection of different power cells. This is the
case, for instance, for the five‐level active NPC (5 L‐ANPC) which is formed by
the connection of an active NPC converter with flying capacitor power cells. The
5 L‐ANPC topology is represented in Figure 4.15 and has been successfully
­commercialized as the ACS2000 by ABB [3]. This topology can be extended to
achieve a higher number of output voltage levels just by adding extra power cells
to each phase.

Three-level ANPC

Vdc Flying-capacitor
S1 S1 cell

S1 S1 S2 S3

Vdc a
2

Vdc
S1 S1 S2 S3

S1 S1

1
S1
0 1
+
S2
+
v*a – 0
Sign(va*) vcr1
1
+
+ – S3
+ – 0
vdc vcr2

Figure 4.15 Five‐level active NPC (5 L‐ANPC) topology and hybrid PWM scheme.
238 Chapter 4 MULTILEVEL CONVERTERS – CONTROL AND OPERATION IN INDUSTRIAL SYSTEMS

In this case, the hybrid modulation to be applied also takes into account the
power losses to improve the converter performance. The eight power devices are
managed by switching signal S1 which has fundamental frequency because it is
generated by a square‐wave modulation. The other power devices are managed by
switching signals S2 and S3 generated by a PS‐PWM method. The shift angle to be
applied between consecutive cells is 2π/(M + 1) where M is the number of flying
capacitor cells. In the case of the 5ive‐level active NPC (5 L‐ANPC) this angle is
equal to π [76].
In order to show the performance of this hybrid PWM method, the obtained
waveforms of the 5 L‐ANPC converter are represented in Figure 4.16. It can be
observed that all power devices managed with signal Si (i ≠ 1) have equalized power
losses. In addition, the multiplicative effect on the switching frequency of the output
phase voltage is also present, leading to high‐performance waveforms where the
lowest harmonic distortion due to the switching is located at (M + 1)fcr. Finally, it is
important to note that using this hybrid PWM, the DC floating capacitors are also
inherently balanced, as happens in the FC converter case when a conventional
PS‐PWM method is applied.

vcr –vcr vc*

1

0.5

0
0 0.002 0.004 0.006 0.008 0.01 0.012 0.014 0.016 0.018 0.02

1
S1 0.5

0
0 0.002 0.004 0.006 0.008 0.01 0.012 0.014 0.016 0.018 0.02

1
S2 0.5

0
0 0.002 0.004 0.006 0.008 0.01 0.012 0.014 0.016 0.018 0.02

S3 0.5

0
0 0.002 0.004 0.006 0.008 0.01 0.012 0.014 0.016 0.018 0.02
Vdc
Vdc/2
va 0
–Vdc/2
–Vdc
0 0.002 0.004 0.006 0.008 0.01 0.012 0.014 0.016 0.018 0.02
Time (s)

Figure 4.16 Obtained waveforms of the five‐level 5 L‐ANPC topology, applying the
hybrid PWM scheme represented in Figure 4.15. (See electronic version for color
representation of this figure.)
 4.4 MODULATION METHODS FOR MULTILEVEL POWER CONVERTERS (STAGE 4) 239

Pre‐programmed PWM Methods

When a conventional PWM method is applied to a power converter, the lowest
order harmonic distortion due to the switching is located at the carrier frequency fcr.
So, from the harmonic performance point of view, it is very convenient to increase
fcr as much as possible. However, to increase fcr has a direct impact on the switching
losses and therefore on the power converter efficiency. As commented in previous
sections, a trade‐off between the harmonic performance and the efficiency must be
taken into account when designing a modulation technique.
This trade‐off is especially important when the converter has to manage high
power because the efficiency and correspondingly the cooling system becomes a
critical part of the power system.
In the case of high‐power converters, a possible option for dealing with this
trade‐off is to use a pre‐programmed PWM method such as the SHE technique.
The SHE method is based on the generation of the phase voltages by applying a
predetermined waveform taking into account specific values of switching angles αi,
that is, switching instants. A typical pre‐programmed waveform of a three‐level
converter is shown in Figure 4.17, where seven switching angles are used to
­generate the phase voltage. Usually, a quarter period symmetry is considered
to generate the phase voltage, so the switching angles are defined in the first quarter
period of the phase voltage such that 0 < α1 < ⋯ < αk < π/2.
For a three‐level converter, the output voltage waveform shown in Figure 4.17
can be mathematically described using the Fourier expansion series, which allows
us to describe any periodic signal (under mild assumptions) as the sum of the DC
term plus an infinity summation of sines and cosines:

a0
v t an cos n t bn sin n t (4.1)
2 n 1

Vdc /2
Phase voltage (V)

α1 α2 α3 α4 α5 α6 α7

–Vdc /2
0 π π π 2π
3
2 2
Angles (rad)
Figure 4.17 Phase voltage waveform of the pre‐programmed PWM method applying
seven switching angles αi (i = 1, …, 7).
240 Chapter 4 MULTILEVEL CONVERTERS – CONTROL AND OPERATION IN INDUSTRIAL SYSTEMS

where an and bn are the Fourier coefficients. Because of even symmetry, the resulting
an terms are 0. bn coefficients represent the nth harmonic order value.
k 1
4 i
Hn bn 1 sin n i (4.2)
n i 0

The SHE technique uses the harmonic definition provided by Eq. (4.2) in order to
define a set of k equations where H1 is forced to be equal to the fundamental com-
ponent (ma is the modulation index). Remaining k − 1 equations are set to 0, applied
first to k − 1 non‐double and non‐triple harmonics [77–79]. That is:

k 1
4 i
ma H1 1 sin i
i 0
(4.3)
k 1
4 i
Hn 1 sin n i 0
n i 0

While the k − 1 harmonics are set to zero, there are no conditions for the remaining
harmonics. Therefore, higher‐order harmonics are uncontrolled and they can have
high values. In this way, the output filter must be sized accordingly, increasing the
losses and cost of the converter. The typical representation of the harmonic spec-
trum of the obtained phase voltages using SHE is shown in Figure 4.18.
In order to keep the converter efficiency high, usually the number of switch-
ing angles k is low. In this way, the number of commutations is low and the switch-
ing losses are reduced at the expense of only taking care of a limited number of
harmonics.
As the pre‐programmed PWM methods are specifically well designed for
high‐power applications, the application of these strategies to multilevel converters
has been the focus of researchers over the last 20 years. The development of SHE
techniques for three‐level NPC converters is straightforward, by calculating the
Fourier coefficients as presented above in Eq. (4.2). Other researchers have focused

va [pu]
1
ma

01 Harmonic order

Non-double and non-triple

k–1 harmonics eliminated
Figure 4.18 Phase voltage harmonic spectrum applying a SHE technique with k switching
angles.
 4.4 MODULATION METHODS FOR MULTILEVEL POWER CONVERTERS (STAGE 4) 241

on designing efficient SHE methods for the NPC [80], the T‐type [81], the CHB
[82–84], the active neutral‐point‐clamped (ANPC) [85], the 5 L‐ANPC [86, 87],
and the MMC [88, 89].
It has to be affirmed that SHE obtains good results in high‐power converters
but with limited dynamic performance. It is usually applied in open‐loop applica-
tions such as conveyors or fans where feedback to the power system is not required.
In other applications where a high dynamic performance is required, SHE presents
problems because of the low bandwidth of the closed‐loop controller in order to
follow the SHE patterns [90]. It has to be commented that the synchronous optimal
PWM technique is another pre‐programmed PWM technique that is particularly
well designed for closed‐loop multilevel motor drive applications, achieving the
desired specific modulation index and minimum total harmonic distortion as shown
in Figure 4.19 [91, 92]. In any case, it can be affirmed that the use of pre‐programmed
PWM methods such as the SHE is limited to applications with relaxed dynamic
response requirements.
In recent decades, academia and industry have focused on improving the SHE
method performance. Rapid development of powerful microprocessors in the last 25
years has facilitated the calculation of the switching angles. Several real implemen-
tations have been presented and they are based on artificial neural networks [93],
using real‐time Newton‐Raphson algorithms to minimize the total harmonic distor-
tion value [94], or using new mathematical search algorithms [95–97].
Another research line related to pre‐programmed multilevel harmonic control
PWM methods is the selective harmonic mitigation (SHM) method, which was
invented as a modification of the SHE technique but taking into account actual
grid codes. The SHM strategy also applies a predefined waveform as shown in
Figure 4.17. However, the switching angles are not calculated in order to eliminate
some low‐order harmonics, but they are determined to keep the harmonic distortion
below the limits imposed by a grid code [98–100]. From this idea, the SHE formu-
lation presented in Eq. (4.3) can be translated into a non‐linear inequalities set to

LUT optimal patterns DC/AC M

converter 3∼
f1
Pattern
Modulator
selector
Control
u* arg(u*) u*
− target
Controller
+

Figure 4.19 Control scheme of the pre‐programmed synchronous optimal PWM method
applied to a motor drive application.
242 Chapter 4 MULTILEVEL CONVERTERS – CONTROL AND OPERATION IN INDUSTRIAL SYSTEMS

become a SHM problem. In this way, the maximum value for each harmonic (Lj) is
set according to the corresponding grid code to be considered.

E1 ma H1 L1
(4.4)
Ei Hn Ln

The conventional approach to solving the SHM problem of determining the best
switching angles is based on the minimization of a cost function defined usually as:

OF 1 ,, ,, k ci Ei2 cTHD THD (4.5)

i 1, 5, , 49

where the ci coefficients are implemented as follows:

if Ei Li ci 1;
(4.6)
else ci p

where ρϵ(0, 1] is the safety margin of the maximum allowed level Li and λi is defined
as the penalty factor for the ith harmonic order (λi ≫ 1). Once this cost function is
defined, its optimization is performed using meta‐heuristic algorithms.
In recent years, the concept of SHM initially applied to the NPC converter
has been applied to other converter topologies [101–103] or other applications
[104, 105].

4.4.2 Space‐vector Based Modulation Methods

SVM technique is indeed a PWM method, but approaches the modulation problem
as a geometric search because it uses a graphical representation of the finite number
of possible switching states of the power converter. In Figure 4.20a, a detail of the
graphical representation of a three‐level converter is shown. The reference voltage
to be generated is also represented in the same frame (usually the well‐known α–β
frame) as a vector that can be generated as a linear combination of the switching
states of the converter as follows [67, 70, 106–108]:

1
v*s t1 v1 t2 v 2 t0 v 0
Ts (4.7)
t1 t2 t0 Ts

The general control scheme of a SVM technique is introduced in Figure 4.20b

where the reference voltage is the input to generate the switching sequence Sa,
Sb and Sc.
It has been demonstrated that the SVM techniques and the carrier‐based
PWM methods can actually be equivalent. In fact, the zero‐sequence injection
explicitly present in carrier‐based PWM methods can lead to the same switching
 4.4 MODULATION METHODS FOR MULTILEVEL POWER CONVERTERS (STAGE 4) 243

(a) (b)
β

v*α Nearest Duty v*α

120 220 vectors cycle
v*β calc. calc. v*β
221
110 210
Sa
v* Sequence
generator
Sb
100 200 Sc
α
000 211
111
Figure 4.20 (a) Representation of a detail of the switching states of a three‐level converter
in the α–β frame. (b) General control scheme of the SVM technique for multilevel converters.

sequences determined by the SVM strategies, leading to the same DC‐link utiliza-
tion and harmonic performance [109–112]. Despite this, the SVM strategies have
been the focus of researchers in recent decades because they are conceptually
simple and can easily develop auxiliary control targets such as the DC voltages
balance in multilevel converters.
In this way, the invention of new multilevel converter topologies has brought
with it the development of new SVM methods, in order to improve the converter
performance and get the maximum advantage from the new topology. These new
SVM strategies are usually focused on the simplification of the required calcula-
tions to determine the switching sequence [113, 63]. Another important focus of
research is the best utilization of the redundant vectors (different switching states
located in the same position in the α–β frame) to achieve common‐mode voltage
elimination, DC voltage balance control, minimum losses, current ripple reduction
or other control targets [114–117].

4.4.3 Pseudo‐Modulation Techniques and Control

Methods with Implicit Modulator
As commented previously, the application of a PWM or SVM technique leads to
high‐quality output waveforms, but the performance is directly related to the carrier
frequency (or sampling frequency in SVM). This can become critical when power
losses have to be very reduced.
Another way to consider the operation of a multilevel converter is to use
pseudo‐modulation techniques or control methods with implicit modulator. These
techniques do not carry out a modulation process properly. Instead, to generate a
switching sequence in order to generate the reference voltage on average, it directly
imposes a switching state on the converter during a sampling time.
244 Chapter 4 MULTILEVEL CONVERTERS – CONTROL AND OPERATION IN INDUSTRIAL SYSTEMS

(a)
β
vα

v*α vs

vdc
2 v*s

t α
Nearest level control Nearest vector control

(b)
Inverter
v* 1/v Sx
dc round{ } switching
table
Nearest level control
v*α
3/vdc round{ }
Inverter Sx
switching
v*β table
3/vdc round{ }

Nearest vector control

Figure 4.21 (a) Concept of the nearest level control (NLC) and space vector control
(SVC) techniques. (b) General control scheme of the NLC and SVC methods.
(See electronic version for color representation of this figure.)

An example of pseudo‐modulation method is “nearest level control” (NLC),

which is based on generating an approximation to the reference voltage. In NLC,
during a sampling time the closest voltage level to the desired voltage is directly
imposed, as shown in Figure 4.21. Using NLC, the number of commutations and
correspondingly the switching losses are very reduced at the expense of losing
quality in the output waveforms. In addition, a non‐fixed switching frequency is
present in the output waveforms, leading to spread harmonic spectra, making the
filtering stage more complex. However, it has to be commented that NLC becomes
more attractive, the higher the number of converter levels, because the error com-
mitted in the reference voltage generation is lower.
An extension of the NLC method for multiphase power converters is the
space vector control (SVC) technique, also introduced in Figure 4.21 [118].
As commented previously, the use of control methods with implicit modu-
lator is another option to generate the gate signals for the inverter, avoiding the use
of PWM or SVM strategies. As happens with the pseudo‐modulators, these control-
lers achieve good results but at the expense of having a non‐constant switching
frequency leading to a widespread harmonic spectrum.
 4.5 Applications of Multilevel Power Converters 245

One example of this kind of controller is the well‐known direct torque control
(DTC) or direct power control (DPC) method where the switching of the converter
is directly determined by the controller each sampling time in order to track some
specific control target. In the case of DTC, during a sampling time the converter
output voltage is calculated using predefined look‐up tables in order to track the
torque and flux of a machine in a motor drive application [119]. DTC was invented
originally by one of the founding companies of ABB and patented in the mid‐1980s
[120], and has been adapted to be applied to multilevel converters, achieving high
performance [121–124].
On the other hand, similarly to DTC, DPC is designed to be applied in grid‐
tied applications in order to track active and reactive power references [25]. The
DPC methods have been also modified to be applied to multilevel converters
[27, 34, 125, 126].
Finally, another recent and popular control method with implicit modulator is
the well‐known FS‐MPC method (finite states model predictive control). It is based
on the calculation of a prediction of the behavior of the power system, applying all
the possible switching states. Once these predictions are determined, an objective‐
defined cost function is evaluated and minimized to choose which one of the
­possible switching states will best achieve the control targets. Several objectives
can be included in the cost function by using weighting factors in each term.
These objectives for power converter applications can be phase currents, DC voltage
balance, switching losses, common‐mode voltages, circulating currents, and
harmonic distortion, among others [127].
FS‐MPC has been applied to multilevel converters successfully, becoming
a hot research topic in the last decade [128]. However, it has to be said that the
implementation of the FS‐MPC technique in multilevel converters can present
problems due to the required computational burden when the number of switching
states to be evaluated is large. This usually happens when a multilevel converter
with a large number of levels is considered. In this way, researchers have been
focused on reducing the number of calculations required by the FS‐MPC by only
evaluating part of the possible switching states of the converter every sampling time
[129, 130]. This makes feasible the implementation of FS‐MPC methods in actual
microprocessors at the expense of losing some dynamic performance.

4.5 Applications of Multilevel
Power Converters

4.5.1 Grid‐connected Multilevel Converters

for the Integration of Renewable Energy Sources
Renewable energy sources (RES) are among the most important research topics in
the power systems area in the last 50 years. The importance of RES in the energy
arena can be clearly seen by observing the increase in new power installations
based on renewable sources in the last decades, with a trend of 8–9% annual
246 Chapter 4 MULTILEVEL CONVERTERS – CONTROL AND OPERATION IN INDUSTRIAL SYSTEMS

capacity growth on average in recent years. Among the current RES, wind energy
and solar photovoltaic energy systems are the most successful technologies,
accounting for 85% of all new capacity installed in 2017.
The RES technology success has come hand‐in‐hand with the development
of power converters to deal with the integration of these systems in the grid effi-
ciently (most of the wind and photovoltaic systems are grid‐tied applications, and
only a very minor amount is devoted to stand‐alone systems). Power converters for
RES have to fulfill requirements such as power quality, robustness, efficiency,
reduced costs, reduced volume and weight, and so on. It can be said that, despite the
best efforts of researchers being focused on fulfilling all these requirements, the use
of multilevel converters for RES applications is still limited in industry.
Related to wind energy systems, the mainstream solution for the integration
of high‐power wind generators is the direct‐drive full converter by a back‐to‐back
converter [131]. Actually, the most usual configuration for the full converter is the
back‐to‐back two‐level topology because of its industrial maturity and reduced cost
and complexity. However, step by step the industry is becoming confident of mul-
tilevel converters and these converters are now competitive because of their limited
cost and high output waveform quality. For instance, several companies have devel-
oped NPC back‐to‐back converters, such as the PCS6000 by ABB implemented in
the Multibrid M5000 5 MW wind generator [132], or the MV7000 by GE imple-
mented in XEMC wind turbines as a attractive solution for offshore wind power
utilities. The use of multilevel converters can reduce the current rating leading to
lower cable losses and simpler design, and can also provide the option to connect
the wind generators directly to a medium‐voltage grid, avoiding the use of low‐
voltage transformers.
The typical structure of the control scheme of a multilevel back‐to‐back con-
verter for wind energy applications is split off in two parts which are decoupled by
the DC‐link capacitor. The generator side is in charge of obtaining the maximum
power from the wind by executing a maximum power point tracking (MPPT) con-
trol method, which manages the desired generator rotational speed. The generator
side usually implements the well‐known FOC (field oriented control) to generate
the reference voltage of the converter. On the other hand, the grid‐side converter
usually implements a conventional VOC (voltage oriented control) method to keep
the DC‐link voltage to its desired constant value [133]. As a secondary control
target, the grid‐side control also needs to include the DC‐link voltage balance which
is required in the NPC. The conventional solution for achieving this control
objective is to include a zero‐sequence injection in the control loops before applying
a LS‐PWM strategy as modulator. The control scheme of a back‐to‐back NPC con-
verter working in a wind energy system connected to the grid is shown in Figure 4.22.
On the other hand, solar photovoltaic systems (PV) currently play an impor-
tant role in the energy arena, growing in global capacity exponentially in the last
decade (from 8 GW in 2007 to more than 300 GW in 2017). In spite of this fact, it
can be affirmed that the use of multilevel converters is minor, and only a few of
them can be currently found in the solar photovoltaic market [134, 135].
 4.5 Applications of Multilevel Power Converters 247

Gearbox Output
NPC NPC filter
Grid

SCIG
WRSG FOC VOC
PMSG

iabc vabc
iabc Sij
phase i ( i = a,b,c) Si
abc
power cell j LS-PWM LS-PWM
dq θr PLL
( j = 1,...,M) v* θr Phase i (i = a,b,c) vi* θg
ij
idq * *
vabc
In-phase dc voltage vabc dq In-phase dc voltage dq abc *
ω*m λ* balancing method abc balancing method abc dq θg Q* v dc
*
vdq * i
vdq dq

Speed controller + decoupled PI controllers Voltage regulation loop + PR controllers

Figure 4.22 Back‐to‐back NPC converter as a full converter for wind energy systems,
including the required control scheme.

Some examples of multilevel converters can be found in the largest PV

inverters portfolio. In medium‐power PV installations, the mainstream solution for
implementing the energy conversion system is to connect directly a group of series/
parallel arrays achieving 1500 V and a nominal power in the megawatt range.
Recently the maximum allowed voltage for the PV panels was 1000 V, but it was
increased to 1500 V making the possibility of using multilevel converters more
attractive. It is important to note that, in the PV case, the high nominal voltage is not
the reason to use a multilevel converter. They become a potential solution in order to
reduce the output filter with reduced power losses. As an example of this, in utility‐
scale PV systems, the 3.2 GW Solar Ware 3200 by TMEIC is a three‐level T‐type
converter that provides reduction on switching losses and performance enhancement
through filter reactor size optimization, leading to 98.9% efficiency. These good fea-
tures are achieved by taking advantage of having three output voltage levels and
reduced losses for the T‐type converter compared with other three‐level topologies.
Another commercial niche for multilevel converters in solar PV systems is
related to rooftop domestic and residential applications in the kW range. In this
case, the reason to use multilevel converters is clearly the search for maximum
efficiency and compactness, reducing as much as possible the output filter. In this
case, the use of a first DC–DC boost converter stage could be avoided, achieving
high PV array output voltages (usually up to 600 V). This kind of solution was ini-
tially explored with the 3.3–8 kW PVS300® by ABB based on the NPC topology
(not currently commercialized). Currently other similar solutions can be found,
such as the Smart Energy Center® based on the SUN2000L‐2/3/3.68/4/4.6/5KTL
by Huawei, which implements a five‐level converter achieving 98.6% efficiency
with nomimal power up to 5 kW.
248 Chapter 4 MULTILEVEL CONVERTERS – CONTROL AND OPERATION IN INDUSTRIAL SYSTEMS

Three-level
T-type inverter Output
iPV
filter

Vdc1 Grid
iabc
VPV
Vdc2
abc
dq PLL
θg
Si
LS-PWM idq
Phase i (i = a,b,c) v*i θg VPV iPV
In-phase dc voltage v*abc dq
balancing method MPPT
abc
v*dq V *PV

Voltage regulation loop + PR controllers

Figure 4.23 T‐type converter as a central inverter for a utility‐scale PV system, including
the well‐known VOC method and a LS‐PWM technique.

The conventional control scheme of a utility‐scale PV central inverter imple-

mented with a three‐level T‐type converter is shown in Figure 4.23. In this case, as
the DC–DC boost stage (normally present in string and multistring PV systems for
domestic and residential applications), the outer control loop manages the total
DC‐link voltage in order to extract the maximum power from the PV arrays. The
desired DC‐link voltage is obtained by executing a MPPT method. On the other
hand, the inner control loop is implemented by the well‐known VOC technique
[136]. Finally, the DC‐link voltage balance control can be managed before applying
the LS‐PWM by adding a zero‐sequence to the reference voltage. This DC voltage
balance control can be also carried out by applying a SVM technique using the
redundant state vectors to reduce the voltage imbalance. A detail of the controller
scheme for the utility‐scale PV system with a T‐type as central inverter is repre-
sented in Figure 4.24.

4.5.2 Power Quality Applications

Demand for electrical energy increases as long as economic and industrial activities
grow [137]. For this reason, in order to reduce or limit the environmental issues and
fuel dependency on other countries, generation of electricity based on renewable
energy sources has increased in recent years. Moreover, it is expected that this trend
will continue in years to come. As the penetration index of renewables increases in
the energy mix, some technical challenges appear. Most of them relate to the inter-
mittent nature of renewable sources and their impact on the power quality of the
generated electrical energy. To deal with these problems, grid suppliers should ful-
fill regulations and grid codes to assure the power quality and grid stability [138].
 4.5 Applications of Multilevel Power Converters 249

(V *dc)2 + P*
PI
–
V 2dc

Outer control loop Q* vgd, vgq

Akagi instantaneous power theory

i*d 1 vgd vgq P*

=
i*q v2gd + v2gq vgq –vgd Q*

i*d vgd
+ –
PI
id + – + v*d θg
–
ωL
dq/abc
ωL
iq +
+ –
+ v*q v*mk
+ PI
–
vgq
i*q

Inner control loop

+ + v* , v* , v*
Vdc1 a b c
Sign (P*) Kp +
–
Vdc2
In–phase control loop

Figure 4.24 Controller scheme for the utility‐scale PV system with a T‐type as central
inverter.

Flexible AC transmission systems (FACTS) are devices based on power

e­ lectronics semiconductors that are specially designed to work on power quality
problems [139]. FACTS inject or absorb reactive power. There are numerous
FACTS devices like STATCOM, dynamic voltage restorer (DVR), and so on, and
each one is useful for a specific task. Among others benefits, particular FACTS
power converters could be used to improve the system power factor, regulate the
grid voltage at the points of common coupling (PCC), improve grid current
250 Chapter 4 MULTILEVEL CONVERTERS – CONTROL AND OPERATION IN INDUSTRIAL SYSTEMS

harmonic spectrum and total harmonic distortion (THD), exploit the full capacity of
electric transmission lines, and so on [140].
Multilevel converters are also applied to build self‐commutated FACTS
devices. They are suitable for those FACTS connected to medium voltage and high
voltage. Conventional two‐level converters can be used, but they require series con-
nection of several power switches and/or utilization of a step‐up transformer. This
compromises the system reliability and increases the cost and size of the power
converter. The most adopted multilevel topology for FACTS is the CHB. The main
reason is its high performance and the non‐existence of DC sources to supply the
power cells. In addition, the output voltage can be easily achieved by adding as
many H‐bridge cells as necessary [141–143].
The control structure for multilevel FACTS power converters consist of the
outer control loop and the inner control loop. Zero‐sequence injection and the in‐
phase balancing method are not always present. The outer control loop regulates the
total DC‐link voltage. In addition, other targets are included depending on the
FACTS devices. Among these objectives are controlling the power factor at PCC,
defining a set point for the reactive power, regulating the grid voltage amplitude at
PCC, compensating the grid current harmonic content, and so on. The output of the
outer control loop establishes a reference current for the inner control loop. The last
one computes the error between the reference and the actual measured current, to
provide a reference voltage which, in the most common case, is finally generated
by using a modulator [144–148].
A multilevel CHB‐based STATCOM application is chosen to illustrate the
use of a multilevel power converter as a FACTS device. Figure 4.25 shows the gen-
eral structure of the control strategy. It includes the inner and outer control loop, as
well as an in‐phase balancing method to ensure the DC‐link capacitors’ voltage
balance inside the phase clusters [149–152]. Details of each controller are repre-
sented in Figure 4.26.

4.5.3 Motor Drive Applications

Motor drives are the most common application of power converters. Multilevel
topologies have also found their niche in this market. They are specially suitable for
medium‐voltage drives because they can be used to control the speed or torque of
medium‐voltage machines without the need for a step‐up transformer. This reduces
the size and economic cost of the variable speed drive (VSD). Application of mul-
tilevel power converters for motor drives is a mature technology, based on the fact
that several successful industrial products are available on the market. For instance,
NPC, ANPC and CHB are for sale as power converters for motor drives for fans,
pumps and electric motors [5].
Both DTC or FOC can be used as the control scheme of a multilevel power
converter VSD [32, 153]. As an illustrative example, the case of FOC for a CHB
VSD is shown in Figure 4.27.
The control scheme always includes the outer and inner control loops. On the
other hand, zero sequence injection and the in‐phase balancing method are only
 4.5 Applications of Multilevel Power Converters 251

CHB inverter
Output
filter
VCa1
Grid
.
.
. vg
VCaM
FLL
ia, ib, ic
phase k (k = a,b,c) Skj ω
power cell j abc/αβ
(j=1,...,M) PS-PWM
vgα, vgβ iα, iβ
v*kj

In-phase dc voltage
balancing method

v*a, v*b, v*c

αβ/abc V*Ckj VCkj Q*

v*α, v*β

Total voltage regulation loop +

(proportional + resonant) current controllers

Figure 4.25 Three‐phase multilevel CHB converter with conventional control and
modulation strategies for STATCOM applications.

present when they are needed. In particular, the FOC outer loop provides a current
reference for the inner loop. This current reference is computed from the difference
between the rotational speed and flux set points and their actual measured values.
The inner control loop is focused on regulating the output currents to their desired
values. To this end, it produces the reference output voltage that should be gener-
ated by the multilevel power converter. The complete structure of both outer and
inner control loops for FOC is shown in Figure 4.28. Regarding the zero‐sequence
injection, the min–max injection technique can be used to maximize the DC‐link
usage [154]. Another approach uses this degree of freedom to minimize the THD
and therefore improve the harmonic performance of the system [155]. To control
the DC‐link voltage imbalance, CHB and MMC can use the in‐phase balancing
method, while NPC or T‐type converters can apply the zero‐sequence injection to
this task [156].

4.5.4 HVDC Transmission Systems

Although energy transmission using a large DC connection is not recent (remember
the war of currents between Edison and Tesla), in the last decade this concept has
been greatly developed, usually known as high‐voltage DC (HVDC) transmission
252 Chapter 4 MULTILEVEL CONVERTERS – CONTROL AND OPERATION IN INDUSTRIAL SYSTEMS

Outer Control Loop

M

j=1
Σ (V*Caj)2 – (V*Caj)2

M P*
Σ
j=1
(V*Cbj)2 – (V*Cbj)2 Σ PI

j=1
Σ (V*Ccj)2 – (V*Ccj)2

Akagi Instantaneous Power Theory

vgα ,vgβ
i*𝛼 1 vgα vgβ P*
Q* i*𝛽 v2gα +v2gβ vgβ –vgα Q*

i*α , i*β
Inner Control Loop

iα , iβ – Kp v*α , v*β
+
+ + + + + αβ/abc
s
Kr
s2 + !2 vgα , vgβ
! s v*a , v*b, v*c
Kr5 +
s2 + (5!)2 +

s
Krn +
s2 + (n!)2

Proportional + Resonant Controller

M v*k
Σ
j=1
(V*Ckj)2 – (V*Ckj)2 1/M 1/M
+

(V*Ckj)2 + + –
+ v*kj
In-phase Controller sign(ik) kp
–
(cell j in phase k) (V*Ckj)2

Figure 4.26 Detail of the outer and inner control loops and in‐phase DC voltage balancing
strategy for a three‐phase CHB STATCOM with M H‐bridges per phase.

systems. In fact, it is well known that DC transmission becomes more efficient than
conventional AC transmission. Using an HVDC transmission system, the transmis-
sion transformers and the compensation substations present in the AC large connec-
tions are avoided. This fact makes the HVDC transmission systems the most
competitive solution to interconnect two points when the distance between them is
above about 100 m. This distance is decreasing each year because the required
HVDC substations are currently reducing in cost. Other very attractive application
 4.5 Applications of Multilevel Power Converters 253

Non-regenerative rectifier + CHB inverter

Grid
..
.
ωm

ia, ib, ic
phase k (k = a,b,c) Skj
power cell j Flux
( j = 1,...,M) PS-PWM ωm
estimator

v*kj

θf
in-phase method

v*a, v*b, v*c,

θf
V*Ckj VCkj dq/abc λr ω*bm λr *

v*d, v*q id, iq

Field Oriented Control (FOC) based on

flux estimator based speed controller +
decoupled PI current controllers

Figure 4.27 Three‐phase multilevel CHB converter with FOC method for induction motor
drive applications.

id
λr

* – v*d
λr + – i*d +
PI PI

ω*m 2Lr i*q v*q

T*
+ PI ÷ + – PI
– 3pLm

ωm λr iq

Outer Control Loop Inner Control Loop

Figure 4.28 Standard implementation of the field oriented control (FOC) method for an
induction machine.
254 Chapter 4 MULTILEVEL CONVERTERS – CONTROL AND OPERATION IN INDUSTRIAL SYSTEMS

niches for HVDC is for submarine or underground connections typically found

in islands or offshore wind farms. In these kinds of systems, HVDC avoids cable
resonances [23].
HVDC transmission systems usually operate with voltages above 50 kV or
even 100 kV. One possible way to develop such HVDC installations is to use line‐
commutated converters based on thyristors capable of achieving up to 800 kV and
7.2 GW. However, these installations have problems due to the costs of the large
substations to carry out the harmonic filtering, and also control problems with weak
grids. In order to minimize these problems, two solutions are currently adopted for
new HVDC installations.
One of them is based on using a conventional back‐to‐back two‐level con-
verter, but connecting hundreds of power devices in series to achieve the required
high voltages [157]. This solution has recently been improved by using a three‐level
back‐to‐back ANPC converter, implementing the HVDC light® by ABB with rat-
ings from 80 kV to 800 kV and 100 MW to 4.6 GW, with DC currents up to 3 kA
built with 5 kV/3 kA power modules [158].
Another very interesting solution is to build a HVDC system with voltage
source inverters such as the MMC. HVDC requirements fit perfectly with the
advantages of the MMC, such as the ability to achieve high voltage by stacking
power cells in series, its inherent modularity and high efficiency [159]. Among the
current commercial HVDC converters, for instance, the Mitshubishi HVDC dia-
mond® based on half‐bridge power modules can be found with nominal power up
to 1 GW, with a DC voltage level of up to ±400 kV DC. On the other hand, the
HVDC Plus® by Siemens can be built with half‐ or full‐bridge power modules
achieving a nominal power up to 1 GW and up to ±320 kV DC. Also, the MaxSine
TM by GE is based on a MMC architecture built with HVDC MaxSine® full‐bridge
power submodules, achieving up to 1 GW with ±200 kV DC.
It can be commented that for overhead line configurations, MMC with full‐
bridge power cells is a good choice, because it develops selective clearing of line
faults. Using full‐bridge power modules, the floating capacitors can be controlled
to zero or even be entirely reversed to maintain current control on the AC and DC
sides and also under short‐circuit conditions.
An example of a HVDC system based on MMC substations for the integration
of an offshore wind farm is shown in Figure 4.29. This installation is formed by a
number of wind generators in the megawatt range, each one provided normally with
a dedicated back‐to‐back direct drive full converter as shown in Figure 4.22.
Offshore HVDC can be implemented by a MMC substation which is
connected through transformers to the wind generators. Onshore HVDC substa-
tions can also use MMC, usually installed close to the coast and connected to the
medium‐ or high‐voltage grid.
A detail of the control scheme for an onshore MMC substation is shown in
Figure 4.30. The onshore MMC control objective is to keep the high‐voltage link
voltage constant. So, the outer control loop of its conventional control scheme is
devoted to achieving this target, while the inner control loop is focused on the
 4.5 Applications of Multilevel Power Converters 255

Back-to-back
full-converter High current
Low voltage
AC DC
Generator
DC AC
High voltage
AC DC AC Low current DC
Generator
DC AC DC DC cable AC
transmission
Generator HVDC HVDC
offshore onshore
VSR VSI Output
Filter
substation substation

SCIG
GearboxWRSG AC / DC AC / DC
PMSG

Figure 4.29 Integration of an offshore wind farm by a HVDC transmission line.

current control tracking. The output of the inner control loop is the three‐phase
voltage reference, which can be slightly modified with zero‐sequence injection in
order to reduce the circulating currents.
Finally, the usual way to generate the switching signals of the MMC is the
nearest level control (NLC) already introduced in previous sections. NLC perfectly
matches with the MMC topology because it achieves very good performance when
the number of levels of the converter is large. This is the case for most MMC con-
verters where the number of power cells is above 50. So, applying NLC to MMC,
for each sampling time a finite number of power cells is switched on and off, gen-
erating a staircase waveform as output phase voltage, as also shown in Figure 4.30.
The DC voltage control of each power cell is carried out by choosing care-
fully the cells that are switched on and off every sampling time. In order to develop
this voltage balance, data measurement of the DC voltages and the phase current
are needed. Taking into account this information, a DC voltage balance control is
implemented, applying a sorting algorithm to find the best combination of on/off
power cells every sampling time [22]. Conceptually, this DC voltage control is
simple, but it usually demands a high computational cost due to the large amount of
data to be processed. In recent years, several optimized approaches have focused on
reducing the computational burden of the method by simplifying the required cal-
culations, or even developing a hierarchical communication structure between con-
trollers and submodules simplifying the problem [160–163].
It is important to comment that MMC has faced the challenge of reducing the
circulating currents present in the topology. These currents flow between the con-
verter phases only, producing internal power losses, so they have to be minimized.
This can be achieved by controlling the average DC voltage values of the power
cells using dedicated PI controllers per cell [164]. One possibility is to introduce
circulating current dq frame‐based controllers [165]. Another way to face this
256 Chapter 4 MULTILEVEL CONVERTERS – CONTROL AND OPERATION IN INDUSTRIAL SYSTEMS

10
Positive DC cable

voltage (kV)
Phase
AC
0
DC

–10
0 10 20
AC Time(ms)
DC
Grid

Vdc vg

AC PLL
phase k (k=a,b,c) DC
Output ia,ib,ic
power cell j filter
(j=1,...,M) Power cell θg
abc/dq

Sa id,iq
vgd,vgq

Sa
Q* V*dc
Negative DC cable

Skj

Total voltage regulation loop

∀j,(VCkj –V*Ckj) sort{·} select{·}
+ VOC based on decoupled
per arm PI current controllers
dc voltage balance
Number of on/off cells
circulating currents reduction
In-phase controller based on

+ NLC + dc voltage balance

v*d,v*q
v*k
1/Vdc round{·}
NLC
v*a,v*b,v*c

θg
Circulating currents reduction dq/abc

Figure 4.30 Conventional control scheme modulation and control strategies of a grid‐tied
MMC converter for HVDC applications

challenge is to include this objective in the modulation stage using the redundancy
of the MMC switching states [166]. One recent solution is based on the injection of
second‐ or fourth‐order harmonic waveforms in order to minimize the submodule
capacitor voltage ripples [167–169], leading to a corresponding reduction in the
circulating currents. A similar method was presented in [170], where the circulating
current injection technique is based on the instantaneous values of the converter
output current. Other recent advances for the optimal control of the circulating
 4.6 ADDITIONAL PRACTICAL CHALLENGES OF MULTILEVEL CONVERTERS 257

current use decoupled controllers based on the decompositions of the arm current
and the arm capacitor energy [171], or applying a closed‐loop discontinuous mod-
ulation technique with a specific zero‐sequence injection [172], among others.

4.6 ADDITIONAL PRACTICAL CHALLENGES

OF MULTILEVEL CONVERTERS

It is clear that multilevel converters present great advantages, allowing the

management of high power in medium‐voltage applications with reduced cost. For
medium‐ and even low‐power applications the filter is reduced, making the system
more compact and in some cases competitive.
However, multilevel converter topologies are more complex compared with
the conventional two‐level converters that stand out for their extreme simplicity.
The number of power semiconductors increases with the number of output voltage
levels making the circuit design complex in order to achieve equalized heating and
therefore equalized aging.
The control and modulation methods are more complex, requiring extra cal-
culations, but this complexity is being reduced step by step with research efforts.
The data acquisition is one of the most demanding parts of multilevel converters,
mainly for modular converters with a large number of cells, such as the CHB or the
MMC. A high number of measurements have to be taken every sampling time, need
to be processed with analog to digital converters and then sent to the micropro-
cessor. This requires a high baud rate in order to avoid stability problems, thus
avoiding limitations in the sampling frequency. This is usually a challenge for high‐
power MMC converters with hundreds of cells, and normally requires a very com-
plex design of control and acquisition platforms. One way to face this challenge is
the use of a hierarchical control structure implementing local microcontrollers for
each cell or a small group of cells, while another more powerful microcontroller is
located in a superior level [173, 174]. A high data communication baud rate is
therefore required to exchange all the information between all the microcontrollers,
leading to the use of last‐generation microprocessors and/or FPGAs [175–177].
Reliability is one important concern in any industrial application. Stopping
the operation of the system provokes economic losses. It is crucial to increase as
much as possible the mean time between failure (MTBF) of the power system to
improve the availability of the system. Active thermal control is one method to
improve the MTBF by trying to equalize the aging of all power cells, by unbalanc-
ing the power managed by each cell [178, 179]. This facilitates maintenance
planning, which is a very important issue.
Another way to improve the availability is the fault‐tolerant capability, which
means that the power system can operate even with a failure in some power device
[180]. The inherent circuit complexity of multilevel converters in this case can be
taken as an advantage, because in some cases it allows us to achieve fault‐tolerant
capability in a very simple manner. This is, for instance, the case for modular
258 Chapter 4 MULTILEVEL CONVERTERS – CONTROL AND OPERATION IN INDUSTRIAL SYSTEMS

converters such as the CHB or the MMC, where the fault‐tolerant capability is
achieved by including an extra power switch in each cell in order to bypass it, if a
fault occurs. Only some rated power is lost, but the converter can be operating while
waiting for repair or replacement of the damaged cells. The control and modulation
methods can take this fact into account to operate correctly throughout [181–183].

4.7 FUTURE PERSPECTIVE OF MULTILEVEL

CONVERTERS AND CONCLUSIONS

The increase in power demand has pushed the energy arena to develop power sys-
tems step‐by‐step with more rated power. This development has been influenced by
the continuous evolution of the power devices which limit the voltage and current
to operate the converters. This limitation can be resolved when a higher power is
needed, by connecting several power converters in parallel in order to share the
power, but it leads to lower efficiencies.
Hand‐in‐hand with the evolution of power devices, research and academia
have focused on creating new power converters capable of dealing with higher
nominal power by increasing the voltage. This would avoid the use of parallel
­converters limiting the nominal currents, and becoming more efficient and eco-
nomically competitive. Multilevel converters have become an attractive solution
for medium‐voltage, high‐power applications over the last 30 years, and many
commercial products can be found nowadays. The initial challenges, such as
hardware complexity, data acquisition systems, data monitoring, complex control
and modulation techniques, switching signals management, and so on, have been
overcome.
Year by year, multilevel converters become very competitive compared with
other conventional solutions for applications such as high‐power motor drives,
integration of renewable energy sources (mainly wind and solar photovoltaic),
power quality systems such as FACTS, and other new applications that are or will
be present in the energy market.
Although NPC converters have been for decades the most successful multi-
level converter topology, other modular converters such as the CHB or the MMC
are becoming very popular. They stand out for their modularity and the possibility
to adapt the topology to different voltage and current ratings. The modularity is
critical in industrial applications, because the power converter has inherent fault‐
tolerant capability, leading to an increase in the availability of the system. As a
recent possible application, solid‐state smart transformers (SSSTs) have become
the focus of academia and industry in the last decade [184–186]. SSSTs are power
converters developed with the objective of replacing the conventional power trans-
formers, providing galvanic isolation but also adding extra features. The SSST
stands out for the reduction in volume and weight, and it provides ancillary services
to the distribution and transmission grids. In order to develop a SSST, two inter-
esting converter topologies are the CHB and MMC, due to the advantages
 REFERENCES 259

mentioned above. Using these topologies, it would be possible to develop SSST

systems which will manage future electrical substations, integrate different RES,
and also manage large energy storage systems.
Another very interesting potential application of multilevel converters would
be for low‐power systems. In this case, it is clear that the advantage of using multi-
level converters is not related to the capability of achieving high nominal voltages.
In this case, the advantage relates to the high power quality obtained by the extra
output voltage levels generated by the converter. This means that the required
output filter can be very reduced, leading to a very efficient and highly compact
system. This feature is very important in applications such as residential and
domestic PV systems or on‐board power systems in transportation applications
such as electric vehicles or aerospace systems.
In addition, one clear step ahead of multilevel converters is to extend their
performance and application range by implementing the converter with advanced
wide‐bandgap power semiconductors (silicon carbide (SiC), gallium nitride (GaN)
or other materials). Using this new family of power devices, the power converters
will achieve even higher voltages with reduced power losses. As an example of this
idea, the use of SiC‐based power converters for solar PV systems has become a
reality and several industrial PV systems are now built using these power devices.
It is clear that in the near future, new multilevel converter topologies will be
invented, hand‐in‐hand with new low‐, medium‐ or high‐power applications, stricter
grid codes, new power quality requirements, and new challenges to be solved. Present
and future hot topics such as the electric vehicle (the motor drives or the fast battery
chargers), the more‐electric aircraft, other transportation applications such as trains or
subways, other aerospace applications, for instance in satellites, smart grid
development including SSST and other power quality systems, the high‐power energy
storage systems connected to the grid, the efficient integration of RES, and many
others can become an industrial niche for multilevel converters. Each of these pos-
sible existing or new applications will force academia and industry to face new chal-
lenges, and modify or extend the existing range of multilevel converter topologies.
Finally, it has to be affirmed that nowadays multilevel converters form one
important part of the power converter portfolio in the medium‐voltage and mega-
watt power range. The initial challenges such as the hardware complexity, the con-
trol and modulation methods, and the competitiveness in terms of efficiency and
economic costs, have been overcome. It is expected that multilevel converters will
play a role of paramount importance in the power electronics sector during the next
decades.

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 Ch a p t e r  5
FLEXIBLE TRANSMISSION
AND RESILIENT DISTRIBUTION
SYSTEMS ENABLED BY POWER
ELECTRONICS
Fang Z. Peng and Jin Wang

5.1 INTRODUCTION

A power system is a complex interconnected network. As shown in Figure 5.1, it

consists of four subsystems:
•• generation;
•• transmission;
•• distribution;
•• loads (utilization).
In the last two decades, the power system has become more complex than ever
before, mainly because of the following three reasons: (1) more local power gener-
ation units, including renewable energy resources, at the distribution level close to
customers; (2) smart‐grid related efforts [1, 2] to modernize the generation, trans-
mission, distribution, and utilization of electric power [3]; and (3) more dynamic
behavior of loads. It is important to understand the fundamental limitations of tra-
ditional transmission and distribution systems first, before trying to understand how
power electronics can make them flexible and resilient.
The purpose of the transmission system is to transmit electrical energy from
power plants to the distribution system that delivers energy to end‐loads or cus-
tomers. Figure 5.2 illustrates the transmission network of the contiguous United
States. As can be seen, the network is meshed, complex and seemingly hard to con-
trol. As of 2010, the US power grid(s) consisted of an estimated 200,000 miles of

Power Electronics in Renewable Energy Systems and Smart Grid: Technology and Applications,
First Edition. Edited by Bimal K. Bose.
© 2019 by The Institute of Electrical and Electronics Engineers, Inc.
Published 2019 by John Wiley & Sons, Inc.

271
 Power plant

Power transformers

Generation
Transmission
Transmission
substation
Distribution
substation

Commercial & industrial Distribution

business consumers

Distribution Distribution
automation
service

Loads Residential consumers

Figure 5.1 The typical structure of large‐scale electrical power grids. (See electronic
version for color representation of this figure.)

kV
United States 115
138
Transmission grid 161
Source: FEMA 230
345
500

Figure 5.2 Meshed, interconnected nature of the transmission network of the contiguous
United States. (See electronic version for color representation of this figure.)
 5.1 INTRODUCTION 273

high‐voltage transmission lines [4]. Due to their meshed structure, multiple paths
for power flow exist between sending and receiving areas. Due to lack of control,
some lines are overloaded while some are underloaded. Figure 5.3 shows a simple
example that illustrates this. Often, as the impedances of two parallel lines or paths
differ, the power flow through those lines will be inversely related to the imped-
ances. As a result, the upper line carries twice as much current as the lower line.
In the more complex meshed network, this unbalanced power flow in unreg-
ulated lines often causes power flow congestion [5]. Figure 5.4 illustrates some of
the key congested areas in the Mid‐Atlantic Area National Corridor of the US.

Impedance = X
Power = 2/3

Impedance = 2X
Power = 1/3

Load Load
Figure 5.3 Unbalanced power transmission in parallel lines.

Legend
Mid-Atlantic area national corridor
Critical congestion area
345kV and above transmission lines
Historically congested transmission lines

Figure 5.4 Map illustrating transmission line congestion in the Mid‐Atlantic Area
National Corridor of the United States. (See electronic version for color representation of
this figure.)
274 Chapter 5 FLEXIBLE TRANSMISSION AND RESILIENT DISTRIBUTION SYSTEMS

Besides congestion, another problem often faced by transmission systems is

power flowing through long unintended paths. This phenomenon is described as
loop flow [6]. Figure 5.5 illustrates a real case of a loop flow encountered in the
Michigan Upper Peninsula [7]. Power dispatched from generating stations to the
loads in the Ohio area finds an unintended path through the Upper Peninsula, caus-
ing an overloading of that part of the transmission network.
The loop flow currents are caused by the relative phase‐angle difference bet-
ween voltage busses. Assuming the line impedance is primarily inductive, a current
will flow towards the voltage bus which is phase‐lagged. In Figure 5.6, an example
power network schematic is shown, where the relative phase angle between each

Map of U.S. Transmission Grid

Hydro Source(s): FEMA
kV
115

Generation 138
161
230
345
Coal 500

Wind

Load

Figure 5.5 A case of loop flow in Michigan Upper Peninsula [7]. (See electronic version
for color representation of this figure.)

VB<30° VB<60°
Load Load

VB<0° ⋯
X X

Loop current flow

X X
⋯
Load

Load Load
VB<330° VB<300°

Figure 5.6 An electric power network schematic showing a loop flow current path due to
voltage phase lag.
 5.1 INTRODUCTION 275

bus is roughly 30°. If several busses are connected in a series ring, there is a
­possibility for the final bus in the series to appear to be leading the original
(or beginning) bus. Thus, a current will flow continuously in a loop from voltage
bus to bus, eventually back to the sending end bus.
The majority of the states in the US import power from neighboring states to
meet their local demand [8]. Additionally, the majority of the wind power generated
is in the central part of the country [9]. But the main load centers are often located
near the coasts. These factors further stress the transmission network and result in
bottlenecks, which limit the penetration of renewable energy sources (RES).
Yet another limitation is the increasingly high cost to acquire right‐of‐way for
constructing new lines. Also, as per the original design of the transmission system,
transmission lines are to be operated/loaded well below their maximum limits.
Traditional coal‐based generators were designed with a large amount of inertia to
enhance the stability and frequency control of the grid. However, with ever‐increasing
penetration of RES with their intermittent nature, and increasing retirement of
coal‐based power plants, such generous stability margins are difficult to maintain.
To transition to a more reliable grid with high penetration of RES, there are
various critical issues in transmission systems that need to be solved. Flexible AC
transmission systems (FACTS) are considered a key technology to facilitate this
transition. In fact, its potential has been known for years. It has been listed as one
of the top ten technological breakthroughs of the past decade [10]. As per the IEEE,
FACTS is defined as “a power electronics‐based system and other static equipment
that provide control of one or more AC transmission system parameters to enhance
controllability and increase power transfer capability” [11]. To illustrate the role of
power electronics in FACTS, consider the illustration in Figure 5.7; this (a) shows
a conventional transmission network transferring power between areas 1 and 2.

(a)

Fixed line parameters

Area-1 Area-2

(b)
Power electronics + control
Variable line parameters

Area-1 Area-2

Figure 5.7 Role of power electronics in FACTS: (a) transmission network without
FACTS; (b) transmission network with FACTS.
276 Chapter 5 FLEXIBLE TRANSMISSION AND RESILIENT DISTRIBUTION SYSTEMS

The various electrical parameters of the transmission line such as impedance,

phase angle and voltage magnitude cannot be varied in real time. Figure 5.7b illus-
trates a FACTS‐based transmission network. By means of power electronics and
control, the aforementioned line parameters can now be changed and voltage phases/
magnitudes controlled in real time, leading to several new degrees of freedom.
In the case of unbalanced line loading, FACTS can be used to control the
power flow through one of the lines (either by changing one of the electrical param-
eters or by converting it to an HVDC line for example), which in turn controls the
remaining power flow through the unregulated AC line. This is shown in Figure 5.8,
which indicates HVDC transmission can be considered as an ultimate FACT device
to control power flow.
The following are some of the key roles of FACTS in a smart grid: (a) increase
penetration of renewable energy; (b) improve power transfer capability; (c) prevent
loop flows; (d) achieve fast dynamic voltage regulation and frequency control;
(e) balance power between parallel transmission paths to prevent overloading/
underloading; and (f) improve stability margins of existing grid. The operational
principles and benefits of FACTS will be explained in more detail in the subsequent
sections of this chapter.
While the transmission network is responsible for transporting bulk power
from generating stations to the distribution substations, the distribution network is
responsible for delivering power to consumers. As of 2010, there was an estimated
5 million miles of distribution lines in the US power grid [4]. With such an exten-
sive network, the distribution network forms an extremely important part of the
grid. The general layout of the distribution system is illustrated in Figure 5.9.
Unlike the traditional transmission network, the traditional distribution network for
the most part uses a radial, ring or interconnected architecture as shown in
Figure 5.10 [12]. Some of the limitations of the existing distribution network are
explained in the following paragraphs.
In the US, 90% of power outages occur in distribution systems [13]. In a
period from 2003 to 2012, 80% of the overall power outages have been due to
severe weather [14]. In a radial architecture, as shown in Figure 5.10a, an entire
feeder is often cut off in the event of weather‐related faults or natural disasters [15].
This leads to loss of power to all the consumers receiving power from the same
feeder. In a case of multiple parallel feeders from a single source, voltage sags are

HV dc line
Power flow as desired

Load Load
Figure 5.8 Use of FACTS HVDC in parallel lines to regulate power flow.
 Residential
120V - 240V

Generation plant

Distribution Commercial
substation 4 kV - 13 kV

Transmission substation
138-765 kV Industrial
26 kV - 69 kV
Distribution feeder

Figure 5.9 General layout of the power distribution network.

(a)
Substation Load Load

CB

Load

(b) Load Load

CB R R
Substation N.C. N.C.
Load
R N.O.
Load
N.C. N.C.
CB R R

Load Load

(c)
Substation 1 Load Load

CB R R
N.C. N.C.
Load
R N.O.
Substation 2 Load
N.C. N.C.
CB R R

Load Load
Figure 5.10 Different types of distribution network architecture: (a) radial; (b) ring;
(c) interconnected.
278 Chapter 5 FLEXIBLE TRANSMISSION AND RESILIENT DISTRIBUTION SYSTEMS

observed by loads connected in a feeder due to faults in neighboring feeders [16].

Although, each voltage sag event typically lasts for less than 167 ms, repeated
voltage sags have led to disruption to industries receiving power from the distribu-
tion system [16]. In the so‐called ring and interconnected structure (Figure 5.10b
and c), parallel or meshed operation is prohibited because a slight voltage difference
could result in huge circulating current. The normally‐open recloser at the end of
the feeders is for maintenance. Therefore, improving grid resilience is a critical
aspect for energy infrastructures.
As per the presidential policy directive in [17], resiliency is defined as “the
ability to prepare for and adapt to changing conditions and withstand and recover
rapidly from disruptions…”. Since distributed generation (DG) is located closest to
the consumer, improving penetration of distributed energy resources (DER) by
incorporating numerous so‐called microgrids into the grid is widely expected to
improve grid resiliency [18, 19].
As per the US Department of Energy [20], “A microgrid is a group of
interconnected loads and distributed energy resources within clearly defined
electrical boundaries that acts as a single controllable entity with respect to the
grid”. A microgrid can connect and disconnect from the grid to enable it to operate
in both grid‐connected or island‐mode.
However, the present distribution network in the US is not designed to accom-
modate microgrids with high levels of DG penetration. Unlike Europe, the stan-
dards in the North American grid require quick disconnection of the DG sources
from the distribution network in the event of a fault [21]. This severely limits the
ability of the DGs to offer grid resiliency. Additionally, with increasing penetration
of solar PV and other renewable DG sources, it is essential to enable bi‐directional
power flow through the distribution network. The intermittent nature of these
sources also causes voltage fluctuations at the distribution level. Interconnection
between feeders to route power effectively and make efficient use of energy storage
can go a long way to improving grid resiliency. Conventional voltage regulators
that use mechanical switches or on‐load tap changers cannot respond fast enough to
regulate voltage [22]. Increasing levels of industrial loads and electric transporta-
tion leads to further stress on the distribution network. Similar to FACTS, the
ongoing modernization efforts in distribution systems can be summarized as resil-
ient AC distribution systems (RACDS). The RACDS concept is to improve resil-
ience of distributed systems systematically by employing power electronics for DG
integration, voltage/var/frequency control, and efficient consumption of electricity
by loads, which includes microgrids, the use of RACDS devices (FACTS‐like con-
trol devices at distribution levels), and meshed distribution systems (looped feeders
and local generations). Analogous to the FACTS illustration in Figure 5.7, by means
of power electronics and control, RACDS renders a resilient distribution network.
Some key roles of RACDS in a smart grid are to: (a) facilitate interconnection
between feeders to improve grid resiliency; (b) enable and increase penetration of
distributed generation sources; (c) use battery energy storage and voltage restorers
to provide fast, dynamic voltage and frequency support in case of emergency/
blackouts and voltage sags due to sudden variation in source/load profile;
 5.2 FACTS CONFIGURATIONS IN THE SMART GRID 279

(d) mitigate power quality issues to ensure reliable power supply to critical loads;
and (e) facilitate the increasing penetration of electric public transportation (electric
cars, underground rails, etc.) in the distribution network.
The main aim of this chapter is to explain the importance and basic concept of
FACTS and RACDS in the future smart grid. The operating principle, various config-
urations, evolution of the modern FACTS and RACDS technology, examples of world-
wide installations and future perspectives will be described in the following sections.

5.2 FACTS CONFIGURATIONS IN THE SMART GRID

Figure 5.11 illustrates an “ideal” interconnected transmission network within a

smart grid. The possible locations where installation of FACTS could be beneficial
for the grid are marked. As the name suggests, FACTS is a flexible AC transmission
system, whereas individual pieces of equipment contributing to the overall FACTS
system are referred to as FACTS devices.
Fa c t s
Fa c

s
cts
t

Fa

Area-2

cts
Fa
Fa

Conventional
ts

c
c

ts
Fa

power plants ts ts
ts

Fac
Fa c

c
Fa

Fa c t s Area-1 Facts Area-3 Fa c t s

Renewable
energy source Fa
c ct
ts

Fa

Fa
c
ts cts s
Fa

Bulk Area-4
industrial load
ts
Fa

ac
cts
F

Fa c t s

Figure 5.11 Illustration of the transmission network in a smart grid. (See electronic
version for color representation of this figure.)
280 Chapter 5 FLEXIBLE TRANSMISSION AND RESILIENT DISTRIBUTION SYSTEMS

To fully appreciate the benefits of FACTS, the different physical parameters

of the transmission network have to be introduced. Transmission lines and under-
ground cables are essentially a distributed network of inductors and capacitors.
However, from an operational point of view, an overhead line can be considered
predominantly inductive. An underground cable is predominantly capacitive.
Consider the real and reactive power flowing through an inductive transmission line
that interconnects two areas in a synchronous grid. This is depicted in Figure 5.12.
Real power P flowing through a transmission line interconnecting any two
areas in a synchronous grid is determined by the following expression:

VSOVR
P sin (5.1)
X
Here, VSO and VR represent the voltage magnitudes at the sending and receiving
ends, respectively. X represents the equivalent impedance of the line and δ the phase
angle difference between the sending and receiving ends. The reactive power Q is
determined by the following expression:

VR
Q VR VSO cos (5.2)
X
The line current can be expressed as
 
 VSO VR
I (5.3)
jX

Equations (5.1), (5.2), and (5.3) share the same parameters: voltage magni-
tudes, phase angle difference, and impedance. A phasor diagram and resulting
power flow vs. phase angle are shown in Figure 5.13.
Using FACTS devices, one or more of these parameters are dynamically
­controlled to regulate both real and reactive power flows through the line, which
makes transmission networks controllable. In the smart grid illustration shown in
Figure 5.11, each area may receive power from both conventional sources and renew-
able energy sources. Bulk industrial loads and the distribution network are some of
the typical loads. In Figure 5.11, two key locations for FACTS can be observed:
one at the point of common coupling (PCC) between the sources/loads and their

1 2
Vso<δ1 VR<δ2
I P&Q

→
+ VL –

Load Load
Figure 5.12 Power transmission across a transmission line in a synchronous grid.
 5.2 FACTS CONFIGURATIONS IN THE SMART GRID 281

(a) (b)
Pmax

Vso∠δ1
VL
I

Power
VR∠δ2

90° 180°
Angle δ
Figure 5.13 Voltage and power relationships in a synchronous grid: (a) voltage phasor
diagram; (b) power transfer vs. phase angle difference.

corresponding area, and the other along the transmission line. For each of these loca-
tions, a few different configurations (shunt, series, shunt‐series, and back‐to‐back
connections) of FACTS are possible, which are illustrated in Figure 5.14. Starting in
the 1980s, after decades of developments, these FACTs devices have changed from
concepts presented in papers to real multi‐megawatt devices around the world.

5.2.1 Shunt Compensation

The role of FACTS at the interface between RES and the transmission network
cannot be overstated. FACTS plays a key role in enabling renewable energy inter-
connection to the transmission network. It also enables RES to meet grid code
requirements and helps increase the penetration without jeopardizing the system
stability and power quality. The configuration illustrated in Figure 5.14a is widely
used for this purpose. This type of configuration is called “shunt compensation,”
where the FACTS device is controlled to inject/absorb reactive power dynamically
to ensure voltage stability at the PCC. In shunt compensation, the FACTS device
essentially behaves as a reactive power generator, injecting reactive power (+Vars) or
absorbing reactive power (−Vars). Consider the grid integration of offshore wind
power, in which the interconnection is almost always through underwater cables. As
described before, the capacitive nature of these cables leads to a charging current
being drawn (or injection of reactive power into the grid) [23, 24]. The charging
current will be drawn from the transmission network, leading to a low power factor.
In larger wind farms, this could lead to voltage instability. During temporary faults
on the transmission system, the shunt configured FACTS device can be controlled to
regulate voltage at the interface by regulating the flow of reactive power. This
enables large solar and wind farms to achieve “fault‐ride‐through” capability.
Ensuring a high power factor, voltage stability and fault‐ride‐through capability for
interconnecting wind power is now a grid code requirement in several countries [25].
Figure 5.14a also illustrates the shunt configured FACTS device located
along the transmission line. By controlling the device to inject reactive power along
282 Chapter 5 FLEXIBLE TRANSMISSION AND RESILIENT DISTRIBUTION SYSTEMS

(a)
Transmission line
Area 1 Area 2
IL
IS1 IS2 ISN
Facts + + +

Facts

Facts
VS1 VS2 VSN
– – –

(b)
IL1 Transmission line 1
Area 1 + VC1– + VC2 – Area 2
Facts Facts

Transmission line 2
+ V – IL2 + V –
C3 CN

Facts Facts
(c)
+ V – Transmission line
Area 1 C1 Area 2
Facts IL
IS1
+
Facts

VS1
–
(d)
Facts

Facts

Area 1 Area 2

DC Link
Figure 5.14 Different configurations of FACTS for the smart grid: (a) shunt; (b) series;
(c) shunt‐series; and (d) back‐to‐back.

the transmission line (preferably at the middle of each section), the power flow
capability of the line can be increased significantly [26]. This is instrumental in
relieving congestion, enhancing dynamic stability, and better utilization of the
transmission network.
The early FACTs devices were mostly built with thyristors. By far the most
widely installed shunt‐type FACTs device is the thyristor‐controlled reactor or
capacitor‐based static VAR compensator (SVC). Until now, more than 1000 SVCs
have been installed worldwide [25–32]. SVC systems mainly control voltage by
injecting and absorbing reactive power to and from the grid. With the advance of
 5.2 FACTS CONFIGURATIONS IN THE SMART GRID 283

power electronics, nowadays research and implementation of FACTs devices is

more focused on voltage source converter (VSC) based devices. VSC utilizes fully
controllable power electronics devices, such as gate‐turn‐off thyristors (GTOs) and
insulated‐gate bipolar transistors (IGBTs) to invert DC to AC. Figure 5.15 shows a
general three‐phase VSC with IGBTs. Figure 5.16 illustrates a VSC‐based static
synchronous compensator (STATCOM).
Compared with a thyristor controller SVC, the VSC (especially the multilevel
VSC)‐based STATCOM has better dynamic response and better power quality
without large passive filters. They can also be used for harmonics compensation,
and active power (or real power) injection or absorption when DC energy sources
or batteries are connected to the VSC. By integrating an energy source such as a
photovoltaic string or a battery energy storage into the STATCOM, the device is no
longer just a reactive power generator. Active power can be injected/absorbed
to/from the grid. The FACTS device can then be used to provide back‐up power or
frequency control for the transmission network [28]. Improving voltage stability at
the PCC is also beneficial for the conventional power plants and loads. By providing
voltage support, it aids in recovery during faults and helps avoid cascaded

DC
Bank

Figure 5.15 A typical IGBT‐based voltage source converter (VSC).

VSO VR

Sending end X Receiving end

VSC

STATCOM
Figure 5.16 Configuration of a STATCOM at the receiving end of a one‐line power
system.
284 Chapter 5 FLEXIBLE TRANSMISSION AND RESILIENT DISTRIBUTION SYSTEMS

blackouts. By controlling the FACTS device to inject reactive power, the power
transfer capability and the dynamic stability margin of the network are also signif-
icantly improved [26, 27]. Some industrial loads such as arc furnaces draw huge
surge currents in a short period of time. This could lead to low power factor, insta-
bility and low power quality for other loads connected to the network. By controlling
the shunt configured FACTS device to compensate for the surge currents, the sta-
bility and power quality can be greatly improved.

5.2.2 Series Compensation

When a FACTS device is placed in series with the transmission line at one or more
locations, it is termed “series compensation.” This configuration is shown in
Figure 5.14b. The series configured FACTS device can be used to vary dynamically
three of the parameters of the transmission system: phase angle, voltage magnitude,
and impedance. By increasing the phase angle difference or by reducing the imped-
ance, more power can be transmitted through the line. By reducing the phase angle
difference or by increasing the impedance, power flow through the line can be
reduced. The dynamic power flow control is based on Eq. (5.1).
The ability to control power flow through the line dynamically enables effi-
cient power routing and is instrumental in eliminating problems such as congestion
and loop flows. Additionally, by adjusting the impedance in parallel paths (as
shown in Figure 5.11), power flow through individual paths can be balanced or
­regulated. Overloading/underloading of lines can be prevented. Congestion and
loop flow can be reduced. The detailed operating principles of series compensation
are described in [29]. The great advantage of series compensation is that only a
fractionally‐rated device is needed to control the full system power.
While the series compensation can be used for power flow control, any
change in power flow through the line leads to a change in reactive power require-
ment from the end generators. The end generators must be capable of supplying/
absorbing this additional reactive power to enable power flow control. When used
for impedance control, the series configured FACTS device needs only reactive
power exchange with the transmission line. However, when used for phase shifting,
the device may need to exchange active power. Additional energy storage devices
or alternative sources of active power may be needed in such cases. An example of
a series compensation device is a static synchronous series compensator (SSSC).
The implementation of a VSC‐based SSSC is shown in Figure 5.17.
Another type of series compensator, as shown in Figure 5.18, is the interline
power flower controller (IPFC) [31]. IPFCs are designed for use in multiline trans-
mission systems. The VSCs in an IPFC share the same DC link, and are series‐
connected in different transmission lines. In other words, an IPFC is a combination
of several SSSCs with one common DC link. In this structure, power flows from
line to line through the DC link. With proper control, the power exchange between
different lines can be conditioned and optimized. Similar to the SSSC, an IPFC
controls the grid’s voltage, phase and impedance.
 5.2 FACTS CONFIGURATIONS IN THE SMART GRID 285

VSO VR

Sending end X Receiving end

VSC

SSSC
Figure 5.17 VSC‐based SSSC.

H. V
Line 1
H. V
Line 2

IPFC VSC VSC

SSSC SSSC

Figure 5.18 VSC‐based IPFC.

5.2.3 Shunt‐Series Configuration

This configuration uses a combination of shunt and series configured FACTS
devices. The shunt‐series configuration is illustrated in Figure 5.14c. By coordinating
the control between the shunt and series FACTS devices, all the transmission line
parameters, such as phase angle, impedance and voltage, can be varied either indi-
vidually or simultaneously. This makes it the most versatile power flow control
device. Much like the operation of the series configuration discussed before, the
phase angle/voltage/impedance variation is introduced here by the series config-
ured device. The role of the shunt configured device is two‐fold: it supplies the
necessary reactive power that would otherwise be drawn from the transmission
network for power flow control, and it provides active power required by the series
configured device to perform voltage and phase angle control. This leads to the
capability of performing independent power flow control of real and reactive
powers. The shunt configured device can also be controlled to regulate the voltage
286 Chapter 5 FLEXIBLE TRANSMISSION AND RESILIENT DISTRIBUTION SYSTEMS

VSO VR

Sending end X Receiving end

VSI VSI UPFC

STATCOM SSSC

Figure 5.19 VSC‐based UPFC.

at the connecting bus. This is suitable for installation in any kind of transmission
network as it does not rely on the network to provide the additional Q to achieve
power flow control.
The capabilities of the “shunt‐series” configurations are essentially a superset
of the capabilities of all other configurations described so far. A typical “shunt‐
series” FACTs device, the unified power flow controller (UPFC), is shown in
Figure 5.19. A UPFC is the combination of a STATCOM and a SSSC, connected
back‐to‐back together with a common DC link. With this combination, the UPFC
inherits all the functions of the STATCOM and SSSC and maximizes the opera-
tional region. More detailed operating principles of IPFC and UPFC can be found
in [30–32].

5.2.4 Back‐to‐Back Configuration

The back‐to‐back configuration consists of two converters connected as shown in
Figure 5.14d. This configuration has its roots in the conventional high voltage DC
(HVDC) transmission system. Nonetheless, it has the ability to achieve power flow
control and is included in the FACTS category. By controlling the voltage magni-
tude and phase angle on the AC terminals of either converter, the power flow from
the sending end to receiving end can be controlled. Additionally, due to the presence
of the intermediate DC link, the power flow control is independent of the frequency
and phase angle difference of the AC voltage on either end. Each converter in the
back‐to‐back configuration is also capable of regulating the voltage at the
corresponding end by injecting/absorbing reactive power. This leads to a similar
functionality as the shunt configuration.
The back‐to‐back configuration is the perfect candidate for controlling power
flow in an interconnection of two asynchronous or two different frequency grids.
While it is also capable of achieving a similar functionality for synchronous grids,
it needs two fully‐rated converters, thus may not be an optimum solution in terms
of the efficiency, overall size and cost for many applications.
 5.3 RACDS CONFIGURATIONS IN THE SMART GRID 287

5.3 RACDS CONFIGURATIONS IN THE SMART GRID

Figure 5.20 illustrates an “ideal” interconnected distribution network within a smart

grid. The potential locations for installation of RACDS are marked. Compared
with the traditional distribution network, there are significant differences in the
corresponding network of the smart grid. Distributed generation (DG) sources enter
the system from the low voltage side. This is an entirely opposite approach in
comparison with the traditional “top‐down” centralized approach. Also, DG sources
are all dispersed and their power levels vary widely depending on local consumers.
Depending on targeted functionality by RACDS, different levels of resiliency can
be imparted to the power grid. Hence, a RACDS is classified based on functions
and roles.

5.3.1 RACDS: Microgrids

A microgrid is essentially a RACDS. Local generation, load management and
energy storage form a microgrid to enhance the resiliency and controllability.
Figure 5.21 shows a potential scenario for a residential microgrid.
Unlike the centralized generation mechanism, the local generation requires
power electronics to interface with the distribution system. Residential solar PV
panels are commonly connected to the system via microinverters. Voltage gener-
ated by “small‐wind” turbines requires a power converter/inverter system to convert
the variable output voltage and frequency to the desired distribution level voltage.
Local battery energy storage systems, including charging stations for hybrid and

Distribution Distribution
substation I substation 2

Parallel two feeders Parallel two out of phase feeders Parallel two feeders
RACDS RACDS RACDS

Distributed Backup power Public Critical Distributed Local power

generation generation transport loads generation generation
Figure 5.20 Illustration of the distribution network in a smart grid.
 Photovoltaic plant

Wind turbine
PV
Load 3

DFIG
Microgrid control
center

CB 3
(node 5)

Grid CB CB 1 CB 2
Main grid side (node 1) (node 3) (node 4)

Vdc – (node 2)

Critical load
Load 1 Load 2
Critical load
Local energy storage (LES)
Figure 5.21 A residential microgrid with local energy generation and storage devices. (See electronic version for color representation of this
figure.)

288
 5.3 RACDS CONFIGURATIONS IN THE SMART GRID 289

electric vehicles, also require power electronics converters to serve as interfaces

to the microgrid. Microgrids improve resiliency and controllability, and the inter-
face power electronics providing ancillary services are classified as controllable
RACDS devices.

5.3.2 RACDS: Controllable Distribution Network

To further improve resiliency of the power grid, local generation and storage from
individual microgrids must be transferred (or back‐fed) upstream through the dis-
tribution network [18, 19]. In order to achieve this, individual microgrids need to be
interfaced to the distribution network and controlled according to needs for main-
taining overall stability and resiliency. Increasing penetration of DGs leads to a
changing voltage profile on the distribution feeders [33]. Additionally, due to the
intermittent nature of renewable energy sources, dynamic fluctuation in the voltage
profile is also common. Therefore, there is a need to regulate voltages along
individual feeders. This leads to a scenario similar to that of FACTS, the parameters
of a network being altered to achieve a controllable network. Devices capable of
providing FACTS‐like control in a distribution network also fall under the RACDS
configuration. Figure 5.22a–c illustrates different configurations of RACDS devices
in the distribution network. Figure 5.22a illustrates shunt compensation using a
RACDS device. The RACDS device close to Feeder 1 can be controlled to regulate

(a) (b)
Distribution line VC1 Distribution line
Feeder 1 Feeder 1
ID ID
ISN RACDS
IS1
RACDS

+ +
RACDS

VS1 VSN ISN

– +
RACDS

– VCN
To Loads / DG
–

To Loads / DG
(c)
Distribution line 1

Feeder 1 Feeder 2
RACDS
RACDS

To Loads / DG
To Loads / DG

Distribution line 2

RACDS

Figure 5.22 Different configurations of RACDS in the smart grid: (a) shunt; (b) series
and shunt; (c) series and shunt‐series.
290 Chapter 5 FLEXIBLE TRANSMISSION AND RESILIENT DISTRIBUTION SYSTEMS

the voltage at the feeder and ensure that the voltage variation is within required
limits. As in the case of shunt compensated FACTS, a RACDS device injects/
absorbs reactive power to regulate the voltage along the distribution feeder. In a
case of DG interconnection, a shunt connected RACDS device must be capable of
fast dynamic response. Several shunt configured RACDS devices may be placed
along the distribution feeder to regulate voltage along the entire path. Many RACDS
functions could also be implemented by DG interface inverters such as in PV and
wind power.
Some bulk industrial loads connected to the distribution feeder may cause
large imbalances in individual phase voltages. This can potentially lead to loss in
power quality and can affect other loads in the system. In such cases, a RACDS
device can be used to provide variable controllable impedance/voltage in each
phase. This leads to automatic load balancing and improves the network resiliency.
Some loads may also draw a large amount of pulse current. In such cases, the
RACDS device should be controlled to deliver this current transient and ensure a
quality power supply for the network.
A series RACDS device is illustrated in Figure 5.22b. In ring and
interconnected feeders, an adjacent feeder’s fault can cause voltage sag by 50%
[16]. In these circumstances, the series RACDS device can be controlled to com-
pensate the voltage sag dynamically by injecting voltage in‐phase with the feeder
voltage. However, in order to generate an in‐phase voltage, the RACDS device
needs either energy storage or a path to receive real power from the feeder.
Today’s distribution networks do not support bi‐directional power flow.
However, with increasing penetration of DG sources, the distribution network must
be capable of bi‐directional power flow (or back‐feeding). By controlling the phase
angle of the series configured RACDS device, power flow from DGs back to the
grid can be established. The usage of series configured RACDS devices makes
power flow control possible within the distribution network.

5.3.3 RACDS: Meshed Distribution Systems

The next level of grid resiliency is achieved by moving towards a meshed and
parallel distribution network. A key requirement for meshed networks is intercon-
nection. Much like interconnected areas in a transmission network, a meshed distri-
bution network is based on interconnected feeders. In existing distribution networks
(Figure 5.10), the so‐called interconnection achieved by means of a normally‐open
switch/recloser is not a “real” interconnection, thus cannot be used for sharing local
generation, storage and load resources among feeders. The switch is only closed
during a power outage from one feeder or in order to isolate faults. Additionally, a
small voltage difference in phase and/or magnitude between feeders would result in
huge circulating current, thus forbidding interconnection or parallel operation of
active feeders. A series or shunt‐series configuration of RACDS device (illustrated
in Figure 5.22c) should be used to achieve interconnection or paralleling. In such
cases, the series configured RACDS device is controlled to compensate the voltage
 5.4 EVOLUTION OF FACTS AND RACDS 291

difference dynamically and enable the interconnection and power routing/sharing.

If there are multiple parallel paths for interconnection, the series RACDS device
can be used to vary the impedance dynamically on each path to ensure a desired
sharing of power among these parallel paths. By increasing the number of
interconnected feeders in the distribution network, a meshed distribution network is
possible in the near future.

5.4 EVOLUTION OF FACTS AND RACDS

The concept of FACTS was first introduced in the 1980s [34]. Traditional FACTS
devices based on thyristors and the passives (inductors, capacitors, and LC harmonic
filters) were large, heavy, and slow in dynamic response. Since then, rapid advance-
ments in power electronics technology have paved the way to a modern generation
of FACTS and RACDS devices. These modern devices are based on IGBTs and
multilevel converter technology, with much faster dynamic response and smaller
size and weight. They are much better suited for the smart grid. Although almost all
new installations are based on modern FACTS and RACDS, for the foreseeable
future both technologies will coexist and best use of both the technologies is critical
for the development and wellbeing of the smart grid. In this section, some of the key
features of both traditional and modern devices are described.

5.4.1 Traditional FACTS and RACDS

Although FACTS and RACDS devices may have different roles in the power grid,
the technology, configuration and basic structure of these devices are similar and
often identical to each other.
Traditional FACTS and RACDS devices use a combination of passive com-
ponents and thyristors. The passive components include inductors, capacitors and
zig‐zag (or phase‐shifting) transformers. Figure 5.23 illustrates the circuit building
blocks of some of the traditional FACTS devices. The devices illustrated in
Figure 5.23a, b, d and e are suitable for shunt compensation. In Figure 5.23a and b,
current IF is controlled by controlling the turn‐on instant of thyristors. By controlling
IF, a variable impedance is achieved. If the equivalent impedance is capacitive,
the device is supplying/generating VARs. Otherwise, the device is absorbing/
consuming VARs.
Alternatively, the thyristor can be used to just switch the passive device into
and out of the system. In such a case, several such blocks in parallel can lead to a
stepwise variation in impedance. In view of this, the device in Figure 5.23a is
termed as thyristor‐controlled reactor (TCR) or a thyristor‐switched reactor (TSR),
depending on the control of thyristor. Similarly, the device in Figure 5.23b is termed
a thyristor‐switched capacitor (TSC) [26]. The device in Figure 5.23d is a
combination of a fixed capacitor and a TCR. Such combinations between different
types of passive and thyristor‐controlled impedances offer a greater range of
292 Chapter 5 FLEXIBLE TRANSMISSION AND RESILIENT DISTRIBUTION SYSTEMS

(a) A (b) A

IF LF IF CF
CDC
A1 B1
T1 T2 T1 T2 C1
VDC

To Transmission Line
B B

Transformer
Zig-Zag
(c) A
A2 B2 C2
T1
CF
T2

(d) A
AN BN CN
IF LF

T1 T2 CF
(e)
= or

Figure 5.23 Basic building blocks of traditional FACTS and RACDS devices: (a) TCR;
(b) TSC; (c) TSSC; (d) TCSC; (e) multipulse converter.

variable impedance, spanning from inductive to the capacitive region. Static VAR
compensator (SVC) is the commercial term used when one or more thyristor‐based
controllable impedances are used in a shunt configuration as a FACTS/RACDS
device. However, the connection of these devices to transmission/distribution lines
often requires passive filters for harmonics, and transformers for voltage step‐up.
The devices in Figure 5.23c–d are also suitable for series compensation
(described below). When the thyristors in Figure 5.23c are OFF, the capacitor CF
is switched into the line. When either of the thyristors is ON, the capacitance
is bypassed. This type of device is termed a thyristor‐switched series capacitor
(TSSC).
The device in Figure 5.23d is termed a thyristor‐controlled series capacitor
(TCSC) when used in series configuration. All the types of thyristor‐based devices
discussed so far rely on the thyristor switching (once per half‐cycle) to control the
impedance. They can also be replaced with GTOs to achieve more control. However,
 5.4 EVOLUTION OF FACTS AND RACDS 293

each of the thyristor‐based or GTO‐based devices discussed so far have a time‐

delay of 8–16 ms (or half to one cycle) for turning ON and turning OFF the thyris-
tors, as they are dependent on zero‐crossing of the current.
Figure 5.23e illustrates a multipulse converter‐based FACTS device. Here,
multiple six‐pulse inverters are connected in parallel to a transmission line via a zig‐
zag transformer. By controlling the voltage magnitude and phase angle, the device
can achieve variable impedance, phase angle and voltage control. Configurations
such as shunt, series and shunt‐series can all be realized using this structure. As
shown in Figure 5.19, a unified power flow controller (UPFC) can be formed with
the shunt‐series configuration of two VSCs connected back‐to‐back [35]. Although
this structure offers faster dynamic response (~5 ms) [36], its overall response is
limited by the response time of the six‐step operation of each VSC. Also, the size,
efficiency and modularity of the overall system are all limited by the requirements of
zig‐zag transformers. There are very few installations of this type of FACTS device.
The detailed operating principles of multipulse and other VSC‐based shunt
compensators are described in [36–41]. Examples and descriptions of different
installations are provided in later sections of this chapter.

5.4.2 Modern FACTS and RACDS

In the early 1990s, two types of cascaded multilevel inverters (CMI) were introduced
[42, 43]. This was a breakthrough in terms of moving away from the multipulse con-
verter technology, which has several limitations as described earlier. The basic
building block of the CMI proposed in [42] is the single‐phase full‐bridge voltage
source converter (H‐bridge inverter) and their cascaded connection (string connec-
tion). Figure 5.24 illustrates such a string using H‐bridge inverters. Each H‐bridge
cell is a submodule (SM). Two key differences between the multipulse converter
structure and the CMI are the absence of the interfacing zig‐zag transformers and
fixed six‐step operation versus pulse‐width modulation. This leads to a much lighter
and more compact modular multilevel structure with better efficiency and dynamic
response (~1 ms) as initially stated in [42]. Additionally, the complexity in control
and operation is minimized [44]. Furthermore, the CMIs have been categorized as
the first modular multilevel converters (MMCs) according to [45].
There are two different CMI configurations as shown in Figure 5.25 and
Figure 5.26. All shunt compensation functions can be realized using either struc-
ture. By appropriately controlling the voltage magnitude and phase angle at the
terminals, the CMI can provide continuously variable VAR compensation, voltage
regulation and harmonic current compensation. Its ultra‐fast response times (<1 ms)
makes the CMI a preferred choice for smart grid.
The delta‐connected CMI configuration illustrated in Figure 5.26 can achieve
all the features of the Wye‐connected configuration.
Additionally, by controlling the delta configuration to behave like a variable
impedance in each phase independently, it has the ability to generate negative
sequence reactive power. This is a key benefit for correcting imbalance due to loads
294 Chapter 5 FLEXIBLE TRANSMISSION AND RESILIENT DISTRIBUTION SYSTEMS

S11 S31

VDC CDC A1 B1

S41 S21

S12 S32

VDC CDC A2 B2

S42 S22

S1N S3N

VDC CDC AN BN

S4N S2N

An H-bridge sub-module

Figure 5.24 Cascaded H‐bridge structure to generate staircase voltage waveforms.

such as underground railways and steel mills in the transmission and distribution
networks. The detailed operation and control of the delta‐connected shunt configu-
ration for load balancing are described in [46].
Another benefit of the CMI‐based structure is that it can easily be integrated
with battery‐energy storage systems (BESS) at the submodule level. This was pro-
posed in [47] and [48]. Other active power sources such as PV modules can also be
integrated with the submodule. Figure 5.27 illustrates such a CMI submodule.
 5.4 EVOLUTION OF FACTS AND RACDS 295

To transmission line/ distribution feeder

A B C
L L L

SM SM SM

SM SM SM

SM SM SM
N
Cascaded multilevel inverter

Figure 5.25 Wye‐connected cascaded multilevel inverter (CMI) in shunt configuration.

To transmission line/ distribution feeder

A B C

L SM L SM L SM

SM SM SM

SM SM SM

Cascaded multilevel inverter

Figure 5.26 Delta‐connected CMI in shunt configuration.

296 Chapter 5 FLEXIBLE TRANSMISSION AND RESILIENT DISTRIBUTION SYSTEMS

The BESS integrated shunt compensation can be used to provide back‐up

energy for the distribution network or an islanded network. It can also be used to
provide frequency and voltage control to the power grid. The control and operation
of BESS‐based shunt compensators for these purposes are investigated in [49–52].
The CMI‐based shunt compensators are commercially known as the aforementioned
static synchronous compensators, or STATCOMs.
The CMI structure can also be integrated into a series configuration [48].
Figure 5.28 illustrates the ability of CMI to connect directly to the transmis-
sion line/distribution line for FACTS and RACDS applications, respectively. By
appropriate control of the voltage magnitude and phase angle at the output termi-
nals of the CMI string, dynamic variation in impedance, phase angle difference
and/or voltage magnitude can be achieved. The control and operation of such a
system used for impedance compensation is described in [53]. By integrating with
battery energy storage, dynamic voltage restoration from voltage sags or swells at
the feeder is made possible for RACDS applications. This is also known as “dynamic
voltage restorer” [54, 55].

S1N S3N
Battery

VDC AN BN

S4N S2N

H-bridge sub-module

Figure 5.27 Battery integrated submodule (SM) for CMI.

(a)
IL1 Transmission line
Area 1 + – + – Area 2
CMI CMI

(b)
Distribution line
Feeder 1
ID To loads/DG
CMI

Figure 5.28 Series compensation using CMIs: (a) FACTS application; (b) RACDS
application.
 5.4 EVOLUTION OF FACTS AND RACDS 297

The ability to achieve a fully modular and compact structure, faster dynamic
response, easy integration of battery energy storage, ability to connect directly to
the power grid, and elimination of zig‐zag transformers has led to rapid commer-
cialization of the CMI‐based technology. The CMI‐based shunt compensators or
STATCOMS are the mainstay of the modern FACTS and RACDS devices being
installed today. Examples and descriptions of different installations are provided in
later sections of this chapter.
In 2002, a modular multilevel converter (MMC)‐based back‐to‐back
­configuration was introduced [56]. The block diagram of a MMC converter is
shown in Figure 5.29.
Although it was proposed in [56] that individual submodules used half‐bridge
cells, it is preferred to use full‐bridge (or H‐bridge) cells as the submodule due to
its superior DC‐side fault‐handling capability [57–60]. As per [61], out of the 95
MMC installations by Siemens from 2009 to 2013, 81 of them used full‐bridge
modules. The MMC structure is suited for HVDC transmission, in which two MMC
converters are connected back‐to‐back via HVDC. By controlling the voltage

S1 SM SM SM

SM = CDC
SM SM SM
S2

sub-module SM SM SM

L L L

Vdc

L L L

SM SM SM
ac grid

SM SM SM

SM SM SM

Modular multilevel converter

Figure 5.29 MMC for back‐to‐back configurations.

298 Chapter 5 FLEXIBLE TRANSMISSION AND RESILIENT DISTRIBUTION SYSTEMS

magnitude and phase angle on the AC terminals of either MMC, the power flow
from the sending end to the receiving end or vice‐versa can be controlled.
Additionally, due to the presence of the intermediate DC stage, power flow
control is independent of the frequency of the AC voltage on either end. While the
back‐to‐back configuration can function as a versatile FACTS device with ultra‐fast
dynamic response in a synchronous grid, it requires two fully‐rated MMCs to carry
the entire transmission line current. This leads to a larger footprint, higher cost and
lower efficiency [62, 63]. However, the back‐to‐back configuration is an ideal can-
didate for achieving power flow control in an asynchronous tie and HVDC. It
should be noted here that the MMC structure requires twice as many submodules as
the Wye‐ or delta‐CMI does for grid connection; therefore is not suited for almost
all FACTS and RACDS applications. The various commercial installations of
different types of FACTS and RACDS devices, most of them are based on either
Wye‐ or delta‐CMI, are described in the next section.

5.5 FACTS AND RACDS INSTALLATIONS

In this section, we provide an overview of different commercial installations of the

FACTS and RACDS technology discussed so far. The growing popularity of CMI‐
based devices is exemplified here.

5.5.1 Traditional FACTS Installations

Among FACTS, SVCs have been widely installed (within industry facilities and
utility systems alike) with an estimated total capacity exceeding 90 Gvar (gillion
Var) [64]. The SVCs are recognized as an important power quality enhancement
device, primarily for large industrial and traction loads. Many industrial loads such
as arc furnaces often draw large pulses of reactive power, which create voltage
fluctuation across other nearby loads. Therefore, the ability of SVCs to effectively
compensate such random variations of reactive power is beneficial for flicker
reduction, harmonics reduction and power factor correction for large dynamic
industrial loads. Such power quality enhancements are essential for higher
efficiency and productivity in industries. In addition, SVCs have also found its use
in railway traction loads. Traction drives are large single‐phase loads spaced apart
at regular distances. The sudden variation of load in one phase creates an imbal-
ance in associated three‐phase systems, leading to sudden voltage dips. Thus,
SVCs provide load balancing and dynamic voltage support to such three‐phase
systems. Some of the installations of SVCs in industries and railways include:
34.5 kV, 90 Mvar (million Var) SVC at Cascade Steel Rolling Mills, USA [65];
21 kV, 90 Mvar SVC at Ferriere Nord Steel plant, Italy [66]; 33 kV, 180 Mvar Bao
Steel group, China [67]; and 132 kV, −267/345 Mvar SVC at Powerlink Substation,
Queensland, Australia [68]. The benefits of SVCs have been realized for power
transmission systems as well. The major installations of SVCs in transmission
 5.5 FACTS AND RACDS INSTALLATIONS 299

systems are for: (1) increasing the transmission capacity of existing lines;
(2) enhancing the transient stability of interconnected systems; (3) stabilizing
­voltages in weak systems; and (4) enabling interconnection of offshore wind
power to the transmission network.
Some SVC installations for increasing transmission capacity and stability of
transmission systems include: 500 kV, −250/+250 Mvar SVC at Bom Jesus Da Lapa
II substation, Brazil [69]; 525 kV, −110/+330 Mvar SVC at Devers Substation,
Florida, USA [69]; and 500 kV, −145/+575 Mvar SVC at Black Oak substation,
Maryland, USA [67]. Similarly, some SVC installations are for enabling intercon-
nection of offshore wind farms to the grid: 230 kV, −75/+150 Mvar SVC at Extremoz
substation, Brazil [67], and 132 kV, −65/80.2 Mvar SVC at Radsted offshore wind
farm, Denmark [69].
The series‐connected TCSCs have been mostly used in transmission systems
(230–500 kV) for: (1) increasing the power transfer capability and transient stability;
(2) damping power oscillation between interconnected areas; and (3) providing
power flow control. As of 2009, there were 13 installations of TCSCs worldwide
(total 2 Gvar) [70]. Some TCSC installations are: 230 kV, 45 Mvar TCSC at Kayneta
substation, Arizona, US [70, 71]; 500 kV, 208 Mvar TCSC at Slatt substation,
Oregon, US [70]; 420 kV, 112 Mvar TCSC at Purnea substation, India[70, 71]; and
500 kV, 326 Mvar TCSC at Yimin‐Fengtun substation, Heilongjiang, China [70].

5.5.2 Modern FACTS Installations

The CMI‐based shunt compensator or STATCOM [42, 43] has undergone rapid
commercialization by manufacturers worldwide. There are an estimated 26 major
STATCOM installations (excluding small installations with less than 25 Mvar)
around the world. The worldwide (completed and ongoing) installations of such
CMI‐based STATCOMs are shown in Figure 5.30. The capacity of each device is
shown alongside the installations at their respective locations. The symbols in the
map denote the usage of STATCOMs for utility applications, offshore wind farm
integration (or grid access) applications, electric railway and industrial applica-
tions. The individual capacities of some of the ongoing/future projects include:
2 Gvar installation in northern India [72]; 1.65 Gvar installation in western India
[73]; 290 Mvar installation in Race Bank and Burbo Bank offshore windfarms, UK
[74]; and 300 Mvar Lake Turkana onshore windfarm, Kenya [75]. The total instal-
lation capacity of STATCOMs is over 20 Gvar.
The battery‐energy storage systems (BESS) integrated with STATCOM are
also being installed in transmission systems. The major applications of BESS instal-
lations are for: (1) cost saving by load leveling; (2) providing storage for intermittent
renewable energy sources; (3) maintaining stability by providing voltage and fre-
quency support; and (4) reducing or eliminating outages. Some of the BESS instal-
lations include: 40 MW Angamos BESS in Northern Chile [76]; 64 MW Laurel
Mountain BESS in West Virginia, US; 36 MW Notrees BESS, Texas, US [77]; and
40 MW Golden Valley Electricity Authority BESS, Fairbanks, Alaska [78].
Figure 5.30 Worldwide installation of CMI‐based STATCOMs. (See electronic version for color representation of this figure.)

300
 5.6 FUTURE PERSPECTIVES 301

5.5.3 RACDS Installations

Different RACDS devices like the dynamic voltage restorer (DVR) and BESS have
been installed as power quality devices at both customer (120–480 V) levels and
distribution voltage (6–69 kV) levels.
The DVR is a series‐connected RACDS device that provides protection to
sensitive loads against voltage sags. The DVR has been installed to protect critical
loads in the food processing, semiconductor, paper, textile and utility sectors [79].
Some of the installations include: 22 kV/5.25 MVA DVR at Power Cor distribution
system at Stanhope, Victoria, Australia [80]; 11 kV/4 MVA DVR at Caledonian
Paper plc, Irvine, Scotland [81]; and 25 kV/600 kVA DVR at North Lights
Community College, British Columbia, Canada [79]. In 2011, the DVR proved its
worth by protecting critical hospital loads at Sendai Microgrid, Sendai, Japan, dur-
ing a three‐day power outage caused by an earthquake [82].
BESS systems are installed at distribution feeders mainly for: (1) energy
saving by providing load leveling at substation level; (2) improving the power
factor of the feeder; (3) reducing outages by providing an islanded mode of opera-
tion; and (4) integrating renewable energy resources. A small substation‐scale
1 MW Charleston NaS Energy Storage Project in North Charleston, West Virginia,
US, has demonstrated the load leveling and power factor improvement functional-
ities [83]. Similarly, the 200 kW BESS installation in Norfolk, UK, has permitted
the integration of renewable energy sources by leveling out the power fluctuations
in a distribution network [84]. A BESS has also been installed for demonstration of
micro‐grid operations as in the case of the 2 MW Santa Rita Jail Smart Grid dem-
onstration project, Almeda County, California, US [85].

5.6 FUTURE PERSPECTIVES

Reliability, size/weight, cost, and dynamic response time of the system are the
major driving factors for the development of modern FACTS and RACDS devices.
As we continue to transition to a smart grid, these driving factors are predicted to
be pursued at full throttle. In view of this, there is continuous ongoing research to
achieve FACTS and RACDS devices that are cheaper, lighter, faster, and smaller.
A few key R&D activities in this area and the problems they aim to solve are briefly
described here.

5.6.1 Transformerless Unified Power Flow Controller

At present, the back‐to‐back MMC configuration is the preferred technology for
achieving independent power flow control in a synchronous grid. However, as
described before, this technology uses two fully rated power converters and each
MMC converter requires twice the number of submodules as the CMI structure
does, which leads to increased size, cost, and power loss of the system. The
302 Chapter 5 FLEXIBLE TRANSMISSION AND RESILIENT DISTRIBUTION SYSTEMS

traditional UPFC technology can achieve independent power flow control with
fractionally rated back‐to‐back converters. However, the need for bulky zig‐zag
transformers and lack of modularity severely limit their applications. The quest to
achieve fractionally rated power flow controllers has recently led to new inventions
in this area.
A transformerless unified power flow controller using the CMI structure has
been proposed in [86–90]. A 2 MVA prototype has recently been tested for a 13.8 kV
distribution level application. The proposed configuration can also be extended to
transmission applications. The overall configuration of the transformerless UPFC
in a FACTS configuration is illustrated in Figure 5.31. It can be seen that no inter-
facing transformers are needed. The photograph of the experimental prototype is
given in Figure 5.32. When used for power flow control, the series‐configured CMI

TRANSMISSION LINE
+VC1–
Area 1 Area 2
IL
CMI

IS1
+
CMI

VS1
–

Figure 5.31 Basic configuration of a transformerless UPFC.

Figure 5.32 Photograph of the 2 MVA prototype at Michigan State University.

 5.6 FUTURE PERSPECTIVES 303

dynamically injects a series voltage to the transmission line. The shunt‐configured

CMI is then used to inject/absorb the change in reactive power in the transmission
network due to the power flow through the line. This enables independent control
of power through the line. Both CMIs exchange only reactive power with the
­transmission/distribution network, so no active energy storage is necessary.
For many cases, the series CMI alone could achieve the necessary power flow
control. The worst‐case phase angle difference in the transmission network is within
+/−30° [34]. Power flow control in such cases has been tested in [89]. Power flow
control from 0 to 2 MVA has been implemented. The comparison between size and
cost of the transformerless UPFC and the back‐to‐back MMC for such a case is
described in [62, 63]. Based on the analysis, the proposed transformerless UPFC
is expected to be a quarter of the size and cost. Utilizing the series module alone
leads to a reduction to one eighth. Further research and development to deploy the
transformerless UPFC in the field is currently ongoing.

5.6.2 Compact Dynamic Phase‐Angle Regulator

Several instances in the power grid do not require a large variation in phase angle
difference to achieve power flow control. Traditionally, phase‐angle regulators
were achieved using phase‐shifting transformers. This led to a large footprint
and slow dynamic response. A low‐cost, compact, dynamic power flow controller
has recently been invented [91]. The general structure of the proposed system
along with the converter implementation is illustrated in Figure 5.33. By using a
cross‐coupled winding structure and duty cycle control for the AC switches,
dynamic phase‐angle shift/control is achieved. The operating principle is illus-
trated in Figure 5.33 – the cross‐coupling winding of phase “A” provides a 90°
vector (or phasor) coupled from phase “B” and “C”. The magnitude is controlled
by its converter (duty cycle control). The resultant 90° vector is added to the
input voltage vector (or phasor) and as a result, the output vector/phasor is
phase‐shifted from the input voltage. Test results from a 12.7 kV, 1 MVA rated
prototype illustrate the benefits of the technology [92]. The overall converter
power rating is reported to be a tenth of the rating of the maximum power
­flowing through the line [91]. R&D efforts in scaling to a 138 kV transmission
level are currently ongoing.

5.6.3 Distributed FACTS

FACTS devices for transmission systems often need a large platform. The high‐
voltage insulation requirements, construction and land costs lead to an increase in
the overall cost and complexity of the system. A recent invention, termed “distrib-
uted FACTS,” overcomes the requirement for such a platform. Figure 5.34 illus-
trates the distributed FACTS concept proposed in [93]. Compact, controllable
floating reactors are distributed along the transmission line. Figure 5.35 illustrates
the implementation of these floating reactors.
 V′A Converter implementation
VA

V′A VA
S1
Fixed duty
Output operating
Intput

V′A
region (Phase A) M1
Output vector VN
Output vector
(Phase A)
Output

VB VA (Phase A)
C1 Lf
Q1 Q2
VN Dsnub Vconv
Cf
VC
C2 Rsnub
Csnub
V′B
Q3 Q4
V′C

Figure 5.33 Structure of a compact phase‐angle regulator [91]. (See electronic version for color representation of this figure.)

304
 5.6 FUTURE PERSPECTIVES 305

DSI modules

Figure 5.34 Distributed FACTS illustrated in [93].

Power line

Transformer
XM

Power
supply

SM

S1 XL

Control Comm
S2 Xc

Figure 5.35 Floating reactor implementation in distributed FACTS [92].

The reactors can either be switched into the line or bypassed by controlling
switch SM. This can provide a stepwise increase in reactance that can mitigate some
congestion problems in the transmission network. Several installations are cur-
rently under way and more are expected in the near future.

5.6.4 Power Regulator for Parallel Feeders

There are always some voltage differences in magnitude and/or phase between
feeders due to loading, legacy, or other problems. A small difference can cause a
large circulating current if connecting two feeders together at their ends. The trans-
formerless UPFC described above can be used as a RACDS device, such as a power
regulator, to make parallel operation of feeders possible. Figure 5.36 shows two
cases that need a power regulator. In (a), the two feeders are 30° out of phase due to
a legacy problem. A transformerless UPFC based on two CMIs has been used and
demonstrated in the lab to connect them together to route power from one feeder to
the other, share loads and/or back‐up power. In (b), the old feeder is an overhead
306 Chapter 5 FLEXIBLE TRANSMISSION AND RESILIENT DISTRIBUTION SYSTEMS

(a)

4.68 MVA
13.8 kV Feeder 1

Non-critical Meshed connection to

Facility 1 Critical loads
loads parallel two out of phase
feeders for power transfer
w/o outage
3.5 MVA
Backup
power gen.
Facility 2 Critical Non-critical
loads loads

Insert a power
regulator to one
Micro-grid of the feeders

Figure 5.36 Power regulator to make parallel operation of feeders possible. (a) Two
parallel out‐of‐phase feeders route power from one feeder to the other, and share one
backup power generator. (See electronic version for color representation of this figure.)

line that has been used as a back‐up for the new feeder (an underground cable). Due
to an increase in the local demand, the underground cable is overloaded, whereas
the overhead line feeder carries no load current because of an impedance mismatch
of the two feeders. A power regulator based on CMIs could be used for power‐
sharing of these two extremely different feeders which would never be possible for
parallel operation otherwise.
 5.6 FUTURE PERSPECTIVES 307

(b)
Insert power
regulator here

138 kV 13.2kV
23 MVA

(Backup feeder)
Local
23 MVA gen.

(Service feeder)
Local
Substation loads

Figure 5.36 (b) Two extremely different parallel feeders share power flow. (See electronic
version for color representation of this figure.)

5.6.5 High Power Density CMIs

The majority of modern FACTS and RACDS devices use IGBT semiconductor
switches. When using CMIs and MMCs for direct connection without transformers, the
larger the number of modules, the smaller is the total harmonic distortion (THD) [63].
However, as can be observed from the case of H‐bridge modules in [63] and Figure 5.37,
the change in %THD is negligible beyond 10 modules. Since the most economical
IGBTs have a maximum voltage rating of 600 to 1700 V, more than 10 modules are
always required to facilitate a direct connection to the grid voltage. The case described
in [63] uses 20 H‐bridge modules of 1200 V each to connect to a 13.8 kV system.
The number of modules may still be within 20 to 30 for distribution‐level
RACDS applications, even with 1200 and 1700 V IGBTs or newly developed
silicon carbide (SiC)‐based MOSFET power modules. However, as it can be seen
from the installations previously discussed, a direct connection of STATCOMs
to transmission or sub‐transmission level voltages would become impossible.
Hypothetically, should such a connection be made using existing IGBT‐based tech-
nology, it could lead to hundreds of modules. This leads to an extremely complex
system and the reliability issues that are associated with such a system. Hence, a
step‐down transformer is still required for interfacing the STATCOMs to the trans-
mission level or sub‐transmission level.
Recent R&D efforts in wide‐band gap devices have led to initial prototypes
of 10 kV and higher voltage rating wide bandgap (WBG) semiconductor switches
[94, 95], to achieve high power density converters. For example, Figure 5.38 shows
a SiC‐based 1 MVA 7 kV MMC for medium voltage motor drives. The MMC has
demonstrated an efficiency of 99.4% and a power density of 0.77 MW/m3. Compared
with silicon‐based CMI systems at the same voltage and power level, three‐fold
loss reduction and almost four‐fold power density improvement has been demon-
strated [96]. The same technology can be adapted for RACDS applications.
308 Chapter 5 FLEXIBLE TRANSMISSION AND RESILIENT DISTRIBUTION SYSTEMS

35

30 THD with angles decided by nearest level

THD with minimization
25
THD value, %

20

15

10

0
0 2 4 6 8 10 12 14 16 18 20
Number of H-bridges
Figure 5.37 THD (%) vs number of modules for direct connection of cascaded H‐bridge
to the power grid [63]. (See electronic version for color representation of this figure.)

Figure 5.38 4.16 kV (7 kV DC) 1 MVA MMC at Ohio State University.

 5.7 CONCLUSION 309

Figure 5.39 10 kV SiC power module based three‐phase inverter.

Figure 5.39 shows an air‐cooled 100 kVA three‐phase inverter with 10 kV SiC
power modules.
In the future, with commercialization of HV WBG switches, the number of
modules (and hence complexity of the system) is expected to be minimized to tens
instead of hundreds, and direct connection to sub‐transmission level voltages may
become practical. This can also improve the overall reliability of the system. The
use of WBG devices also enables faster switching speeds and reduced losses.
Overall, WBG devices have great potential to make a big impact in realizing com-
pact, direct interfaced, naturally‐cooled FACTS and RACDS.
Although multilevel inverters do not require active energy storage for
STATCOM and power flow control applications, they require relatively large DC
capacitors to maintain a constant DC side voltage. In order to increase the reliability
of individual CMIs, film capacitors are used. However, film capacitors are large and
have very low power density. In view of this, there is continuous ongoing research
to minimize the DC capacitance of single‐phase inverter modules. This has great
potential to further reduce the size and cost of the overall system, and dramatically
increase the power density of the system.

5.7 CONCLUSION

This chapter has briefly touched upon two important aspects of the smart grid: the
transmission and the distribution networks. The need for flexible AC transmission
systems (FACTS) and resilient AC distribution systems (RACDS) in a smart grid
have been explained and discussed in great detail. Different configurations and
technologies available for the installation of FACTS and RACDS have been
310 Chapter 5 FLEXIBLE TRANSMISSION AND RESILIENT DISTRIBUTION SYSTEMS

marked out. Comparison between existing technologies and their suitability for a
given application are also illustrated. Installation examples around the world show-
ing the growing importance of power electronics in the grid have been given.
Ongoing and future research in this area that could lead to the next generation of
FACTS and RACDS devices has been briefly described. A wealth of literature is
included for reference and further interest.

ACKNOWLEDGMENTS

The authors wish to acknowledge the contributions of former graduate students,

Deepak Gunasekaran, Ujjwal Karki, and Yunting Liu, in the preparation of this chapter.

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 Ch apter  6
RENEWABLE ENERGY SYSTEMS
WITH WIND POWER
Frede Blaabjerg and Ke Ma

6.1 OVERVIEW OF WIND POWER GENERATION

AND POWER ELECTRONICS

Wind power has truly become an important component of the modern energy
supply. Nowadays, the price of wind power generation with a global weighted
average of USD $60 per megawatt‐hour (MWh), is actually cost‐competitive with
that of fossil fuel‐fired power generation (USD $50–170/MWh, depending on fuel
and country).
Thanks to rapidly falling prices, the installation of wind turbines has grown
at a fast pace over the last decade; the cumulative wind power capacity and growth
rate from 2002 to 2017 is shown in Figure 6.1. The installed wind power genera-
tion, which reached 539 gigawatts (GW) globally by the end of 2017, accounts for
49.8% of total renewable power capacity, not including hydro‐power [1–3], and
contributes to 5.6% of total electricity generation worldwide. However, the growth
rate of wind power installation has gradually reduced from the peak of 31% in
2009, to around 10% in 2017.
The top three countries with respect to cumulative wind power installation by
2017 were China (188 GW), the USA (89 GW), and Germany (56 GW), sharing
more than 60% of the global wind power capacity. Wind power now provides a
significant share of electricity in a growing number of countries. Generally, European
countries have a relatively higher level of penetration by wind power, and about
11.6% of its total electricity demand is covered by wind. As a pioneer in utilizing
wind power for electricity generation, Denmark has 43.4% of electricity generated
by wind power, and on November 3, 2013, it also set a record for the first time hav-
ing wind power production in excess of power consumption at the national level [4].

Power Electronics in Renewable Energy Systems and Smart Grid: Technology and Applications,
First Edition. Edited by Bimal K. Bose.
© 2019 by The Institute of Electrical and Electronics Engineers, Inc.
Published 2019 by John Wiley & Sons, Inc.

315
316 Chapter 6 RENEWABLE ENERGY SYSTEMS WITH WIND POWER

800 40%

700 35%
Cumulative capacity (giga watts)

600 30%
539

Growth rate (%)

500 487 25%
433
400 370 20%
318
300 283 15%
238
198
200 159 10%
121
94
100 59 74 5%
31 39 48
0 0%
2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 2017

Figure 6.1 Global cumulative wind power capacity and growth rate from 2002 to 2017 [2].

12 MW
D 220 m
10 MW
D 164 m
5 MW
D 124 m

2 MW
D 80 m
600 kW
500 kW D 50 m
D 40 m
100 kW
50 kW
D 20 m
D 15 m

1980 1985 1990 1995 2000 2005 2018 2019/20 (E)

Rotational
speed Fixed Partially Variable
Rating variable
Power coverage: ≈ 0% 10% 30% 100%
electronics Function: soft starter Rotor Rotor Generator power control
resistance power
control control
Roles in
power grid Trouble maker Self organizer Active contributor and stabilizer
Figure 6.2 Developments of power electronics for wind turbines between 1980 and 2022
(E, estimated). The inner circle within the turbine circle indicates the power rating coverage
by power electronics, while D is the diameter of the rotor.

The individual size and capacity of wind turbines have also increased dramat-
ically. Now cutting‐edge 8 MW wind turbines with a diameter of 164 m are avail-
able on the market [5], with 10 MW or larger prototypes up to 12 MW planned in
2022 [6]. This trend is mainly driven by the need to boost the output and reduce the
cost of energy per produced megawatt‐hour [2]. The emerging sizes of wind tur-
bines between 1980 and 2022 are illustrated in Figure 6.2, where the development
of power electronics with its rating coverage, control functions, and roles in the
 6.1 OVERVIEW OF WIND POWER GENERATION AND POWER ELECTRONICS 317

TABLE 6.1 Top 5 wind turbine manufacturers and platform lines in 2017.

Global market Rotor diameter Power range

Rank Manufacturer share (onshore/offshore) (onshore/offshore)

1 Vestas/MHI Vestas 16.7% 90–150/117–164 m 2.0–4.2/4.2–9.5 MW

(Denmark)
2 Siemens Gamesa 16.6% 114–155/154–167 m 2.1–4.5/6–8 MW
(Germany/Spain/
Denmark)
3 Goldwind (China) 10.5% 108–140/154–171 m 2.0–4.2/6.45–6.7 MW
4 GE (USA) 7.6% 82.5–158/150 m 1.7–4.8/6 MW
5 Enercon (Germany) 6.6% 44–141 m 0.8–4.2 MW

power grid are also indicated. In 2017, the average rating of wind turbines installed
was 2.1 MW in Asia‐Pacific, 3.1 MW (both for onshore and offshore) and 5.9 MW
(only for offshore) in Europe; the rating is almost double compared with 10 years
ago. Today the major wind turbine manufacturers have all issued wind turbine plat-
forms in the power range of 4–6 MW, and it is expected that more wind turbines
above 6 MW will be erected in the next decade.
With respect to the wind power manufacturers, Table 6.1 summarizes the top
five suppliers of wind turbines, with the size and capacity of their main platforms
in 2017. The companies from China, the USA, and Europe dominate the market
with wind turbines of 2–4.2 MW in the mainstream, and 6–8 MW at the high end in
terms of power level. The high‐power platforms above 4.2 MW are mainly for off-
shore wind farms. Thanks to the rich wind energy resources and rapid price fall of
offshore wind power projects in the last five years (with a global weighted average
of USD $140/MWh by 2017), the growth of the wind power industry has a very
strong tendency to move from onshore to offshore. Although onshore wind power
continues to account for the vast majority (96%) of global installed capacity, off-
shore wind power has achieved 18.8 GW with a 30% increase over 2016, which is
much faster growth than onshore wind power.
Along with the rapidly growing capacity, the power electronics technologies
used for wind turbine systems (WTSs) have also changed dramatically in the last
30 years [4, 5, 7–13]. In the 1980s, the power electronics in wind turbines consisted
simply of a soft‐starter, which is used to initially interconnect a squirrel‐cage
induction generator (SCIG) with the power grid when the wind turbine starts to
produce power. Because the power electronics did not need to carry power contin-
uously, simple power semiconductor thyristors were applied. In this concept, the
rotational speed of the generator is fixed; thus, wind‐speed fluctuations are directly
reflected as mechanical torque fluctuations and then current fluctuations of the gen-
erator. Therefore, this solution requires a “stiff” power grid, and its mechanical
construction must be able to support the high mechanical stress caused by wind
gusts. Moreover, the wind turbine cannot operate at its maximum efficiency in a
broad range of wind speeds, and thereby has reduced energy yield.
318 Chapter 6 RENEWABLE ENERGY SYSTEMS WITH WIND POWER

In the 1990s, power electronics technology was mainly used for rotor
resistance control of wound‐rotor induction generators (WRIGs), in which more
advanced power electronics such as diode bridges and choppers were used to con-
trol the rotor resistance for the generator. In this solution, the rotational speed of the
wind turbine can vary in a limited range, especially at the nominal power operation
of the wind turbine (typically 0–10% above the generator’s synchronous speed);
thus the mechanical stress in the system can be relieved.
Since 2000, even more advanced voltage source converters with bi‐directional
power flow have been introduced; the power electronics started to handle the power
from the generators continuously, and became a main part of the operation. First,
power electronics are used to handle partial‐scale of power capacity for doubly‐fed
induction generators (DFIGs), and then they are utilized to handle the full scale
of power capacity for asynchronous or synchronous generators (A/SGs) [8–10].
By introducing power electronics converters with better power controllability, it is
possible to control fully the rotational speed of the generator, which has many ben-
efits. First, the wind speed fluctuations can be smoothly converted into mechanical
torque and electrical power with certain inertia by utilizing the kinetic energy in the
blades. Moreover, wind turbine efficiency can be optimized over a broader range
of wind speeds. Meanwhile, some ancillary services can also be provided for the
grid, thanks to the extra power control flexibilities introduced by power electronics
converters.
It can be seen that power electronics have become more advanced with
growing capacity coverage, and have brought significant performance improve-
ments to wind turbines – not only reducing mechanical stress and increasing energy
yield, but also enabling the WTS to act as a controllable generator that is much
more friendly with the power grid.

6.2 TECHNOLOGY CHALLENGES AND DRIVING

FORCES IN THIS FIELD

Along with fast‐growing capacity and operational sites changing from onshore to
offshore, there are some continuous and emerging technology challenges in wind
power applications. These challenges are the main driving forces for the evolution
of power electronics technology in this field, and will determine the design and
configurations of power electronics converters. Some of these key challenges are
first discussed in this section.

6.2.1 Low Levelized Cost of Energy (LCOE)

Cost is the most important factor that determines the feasibility of energy technol-
ogies being widely utilized. The competitive cost advantage is the main reason why
wind power has shown significant growth in the last few decades compared with
other renewable energy candidates. In order to benchmark the cost for different
 6.2 TECHNOLOGY CHALLENGES AND DRIVING FORCES IN THIS FIELD 319

energy technologies, the index of “levelized cost of energy” (LCOE) is generally

used. LCOE represents the price at which the electricity is generated from an energy
source over its lifetime. The LCOE includes the major cost factors, such as research
and development costs, initial investment, cost of fuel, capital cost, and operating
and maintenance costs. LCOE can be defined in a simplified form as:

CDev CCap CO& M

LCOE (6.1)
EAnnual

where CDev represents the annualized initial development cost, CCap is the annual-
ized capital cost, CO&M is the annualized cost for operation and maintenance, and
EAnnual is the annualized average energy production. From Eq. (6.1) it is clear that
in order to reduce the cost of energy, one approach is to reduce the costs for
development, capital, and operation and maintenance; these efforts have been moti-
vations since the birth of wind power. The other effective way to reduce the LCOE
is to extend the total energy production or increase the efficiency and operating
hours of the power generation system.
Figure 6.3 lists the range and weighted average of LCOE for onshore wind
power generation, offshore wind power generation, and fossil fuel‐fired power gen-
eration in 2017, without financial support [2, 3]. The LCOE of onshore wind power
projects in 2017 fell to as low as USD $30 per MWh, with a global weighted
average of USD $60 per MWh, thanks to the rapid advances in technology and
manufacturing. However, there is still a potential margin for the price of offshore
wind power technology to keep falling because it is still in its infancy in terms of
deployment.

300

250
Levelised cost of energy

Weighted average
200
(USD / MWh)

150

100

50

0
Europe US China Europe US China Global
Wind onshore Wind offshore Fossil
fuels
Figure 6.3 Levelized cost of energy for wind power and fossil fuel‐fired power in
2017 [2, 3].
320 Chapter 6 RENEWABLE ENERGY SYSTEMS WITH WIND POWER

As more power electronics with higher capacity are introduced to improve

the performance of wind power generation, the cost of the power electronics is
becoming important in wind turbine systems. There are some cost considerations
that impose challenges for the design and selection of power electronics technol-
ogies. For example, the need for high power and full‐scale power conversion will
increase the cost of power semiconductors, passive components, and the
corresponding cooling systems; more efficient circuits and components are required
to reduce the losses and balance the budget. Additionally, the cable connections
between the nacelle and the tower base, ranging from dozens to hundreds of meters,
demand a higher voltage level in the power conversion stage of the power elec-
tronics in order to reduce the cable losses and cable weight. On the other hand,
because of the limited space in the nacelle or tower of wind turbines, the power
converters must be designed at higher power density, which may lead to extra costs
for insulation materials and compact structures as the voltage level increases.
Furthermore, the remote locations of wind turbines will increase the cost for instal-
lation and maintenance, thereby increasing the demand for high reliability, modu-
larity, and redundant capabilities of the power electronics converters.

6.2.2 Complex Mission Profiles

The complicated behavior of wind speed can be grouped into several wind classes
defined by three factors: the average annual wind speed, the speed of extreme wind
gusts that may occur every 50 years, and how much turbulence exists at the wind
site. According to the IEC standard [14], there are four types of wind‐speed varia-
tions, called Class I (high), Class II (medium), Class III (low), and Class IV (very
low), defined as annual average speeds of 10 m/s, 8.5 m/s, 7.5 m/s, and 6 m/s, respec-
tively. An extra “A” label with higher turbulence of 18% and “B” label with lower
turbulence of 16% can be applied as the suffix for Classes I–III. The locations of
wind turbines experiencing different wind classes will result in various operating
strategies as well as the selection of the rotor size. The distribution of the wind speed
under different wind classes is shown in Figure 6.4, where the Weibull function is
used to describe the distribution characteristics. A field‐recorded 9‐month wind
speed profile is shown in Figure 6.5, with 1‐hour averages at 80 m hub height,
which was field‐collected from a wind farm in Guizhou, China. The shown wind
speed belongs to the IEC wind Class III, with an average wind speed of 7.45 m/s.
Although this is a relatively low average wind speed, significant wind speed
­variations can be identified.
In wind turbine systems, the generator is energized by the power electronics
converter to regulate the electromagnetic torque, not only for maximizing the
extracted power from the blades, but also for balancing the energy flow in the case
of dynamics due to an inertia mismatch between the mechanical and electrical
power. As a result, complicated wind speed behavior will somehow be transferred
to the electrical power in the converter, and thus stress the power electronics com-
ponents. The complex loadings and transients will impose challenges for the
 6.2 TECHNOLOGY CHALLENGES AND DRIVING FORCES IN THIS FIELD 321

0.12
Cut-in Rated Cut-out
0.1
Probability distribution

0.08 Class I
Class II
Class III
0.06 Class IV

0.04

0.02

I II III IV
0
0 5 10 15 20 25 30
Wind speed (m/s)
Figure 6.4 Distributions of the wind speeds under different wind classes and the operation
of wind turbines. Region I: no power generation below cut‐in wind speed; region II:
maximum power point tracking generation; region III: constant power generation;
region IV: no power generation above cut‐out wind speed). (See electronic version for
color representation of this figure.)

20

15
Wind speed (m/s)

10

0
0 1000 2000 3000 4000 5000 6000
Time (hour)
Figure 6.5 Wind speed variations for a wind farm at Bijie, Guzhou, China (height:
80 m; averaged window 1 hour; time: 2016.3.16 17:00 ~ 2016.12.22 10:00; altitude:
2242 m; location: 105°13′56.04″E, 26°40′21.66″N).
322 Chapter 6 RENEWABLE ENERGY SYSTEMS WITH WIND POWER

selection of converter topologies and devices, as well as the design of the controls
and the cooling system. Moreover, as reported in [15], the fluctuating operating
points may excite some stability issues for the wind farm with frequency oscillation
close to the fundamental frequency, and other normal wind turbine systems
connected to the wind farm could thereby be disturbed.
There are some other challenges related to the mission profiles (i.e., operating
conditions) of wind turbines: Because of the fast‐growing power capacity, the
voltage level of the power conversion may need to be scaled up to facilitate power
transmission and reduce losses. The output voltage of the wind turbine system is
typically set at 30 kV, but has recently been seen to be raised above 60 kV; in this
case, a bulky transformer is required at the multi‐megawatt power level. Finally,
because of the inertia mismatch between the mechanical power and electrical
power, energy storage and balancing mechanisms are important considerations and
may result in extra system cost and control complexity.

6.2.3 Strict Grid Codes

The fluctuating and unpredictable features of wind energy are not preferred for grid
operation. Most countries have issued strict requirements for the behavior of wind
turbines, also known as “grid codes” [16–19]. Essentially, the grid codes are always
attempting to make WTSs act like conventional power plants from the point of view
of grid operation; the WTS should wisely manage the delivered active and reactive
power according to demand, and provide frequency and voltage support when they
are needed. Some examples of the state‐of‐the‐art grid requirements for WTSs are
discussed below – they are specified either for the individual wind turbine or for the
whole wind farm.
Wind turbines must be able to control active power at the point of common
coupling (PCC) to the grid. Normally, active power must be adjusted according to
grid frequency, so that grid frequency can somehow be maintained. As an example,
the demands of frequency support in the Danish grid codes are shown in Figure 6.6a,
where the active power should be decreased when the frequency rises above 48.7 Hz
or 50.15 Hz, depending on the power reservation strategy [17]. Similarly, the reactive
power delivered by the WTS must be regulated in a certain range. Figure 6.6b shows
the range of the reactive power reserved by the WTS under different active power
outputs [18]. In addition, the TSO normally specifies the delivered reactive power of
the wind turbine system according to the grid voltage levels. These demands result in
extra reserved capacity and higher costs when designing the power converter as well
as the wind farm. It is noted that the regulation of reactive power should be performed
slowly under a time constant of minutes [17].
Another important aspect of the grid regulations for wind power integration
is the harmonic level of current on the PCC in AC grid. Normally the harmonics of
each order in the spectrum of the injecting AC current by wind turbines are restrained
to a small percentage below 5%. A typical grid connection standard example is IEEE
1547, as shown in Table 6.2. More stringent harmonic requirements as functions
 6.2 TECHNOLOGY CHALLENGES AND DRIVING FORCES IN THIS FIELD 323

(a)
Available power
100%

75% With full

production

50%
With reduced
production
25%

fg (Hz)

48 49 50 51 52
48.7 49.85 50.15 51.3

(b)
P/Prated (p.u.)

1.0

Underexcited 0.8 Overexcited

Boundary boundary

0.6

0.4

0.2

Q/Prated (p.u.)

–0.3 Underexcited Overexcited 0.4

Figure 6.6 Typical grid codes for wind turbine systems. (a) Frequency control profiles for
the wind turbines connected to the Danish grid [17]. (b) Reserved reactive power capability
under different generating powers for a wind farm specified by the German grid codes [18].
(c) Low voltage ride‐through capability of wind turbines for different countries [16, 20].
(d) Reactive current requirements for a wind farm during grid sags by the German and
Danish grid codes [18, 19].
324 Chapter 6 RENEWABLE ENERGY SYSTEMS WITH WIND POWER

(c)

Voltage(%)
100
Germany US
90
Denmark
75

China

25 Keep connected
above the curves

Time (ms)
0
150 625 750 1000 1500 2000

(d)
Dead band
Iq/Irated
100%

Vg (p.u.)
0
0.5 0.9 1.0
Figure 6.6 (Continued)

TABLE 6.2 Individual harmonic current limits from IEEE 1547 [21].

Total demand
Individual odd harmonics h < 11 11 ≤ h <17 17 ≤ h <23 23 ≤ h <35 35 ≤ h distortion

Percentage (%) 4 2 1.5 0.6 0.3 5

 6.2 TECHNOLOGY CHALLENGES AND DRIVING FORCES IN THIS FIELD 325

of the short‐circuit ratio of the grid are defined by BDEW [22] (for medium voltage)
and VDE‐AR‐N 4105 [23] (for low voltage). These ­harmonics requirements will
have a strong influence on the modulation, topology and filtering technologies of
wind power converters, especially those at the multi‐MW power level.
In addition to the demands under normal power grid operation, increasing num-
bers of TSOs have issued strict grid support requirements for WTSs under grid fault
conditions. Figure 6.6c shows various amplitudes of grid voltage dips against the
allowable disturbance time of faults defined for a wind farm. Figure 6.6c is also
known as the low voltage ride‐through (LVRT) requirements. It is becoming an
emerging need that the WTS should provide reactive power (up to 100% current
capacity of the converter) to contribute to the recovery of grid voltage. Figure 6.6d
defines the required amount of reactive current against the amplitude of grid voltage
by the German [18] and Danish grid codes [17]. This demand is relatively difficult to
meet by wind farms equipped with DFIG‐based wind turbines, and auxiliary power
quality units such as STATCOMs may be introduced to assist the WTS in meeting
this important requirement. In recent grid codes of some countries, there is a tendency
to have requirements for high voltage ride‐through (HVRT) and reactive power
absorption of wind turbines when the grid voltage is above the normalized value.
The demanding codes for grid support by WTSs on the one hand have
increased the cost of energy, but on the other hand have also made wind energy
more suitable to be utilized and integrated into the power grid. It is predicted that
stricter grid codes in more countries will keep pushing forward the evolution of
power electronics technologies.

6.2.4 Increasing Reliability Requirements

Because of the rapid growth in power capacity, WTS failures may have adverse
impacts on grid stability, and reliability performance is now especially emphasized
for WTSs in view of the high costs of repairs as well as the loss of production.
Today, it is generally required that the power electronics used for wind turbines
should have at least a 20‐year lifetime, which is at the same level of requirements
as for aircraft applications in terms of running hours. And due to much higher cost
of failures, the offshore wind turbines will have high demands for predictable and
manageable reliability performance. However, according to some studies, it was
discovered that the reliability performance of wind turbines, including the power
electronics parts, still have room for improvement, especially for larger wind tur-
bines at the multi‐megawatt scale [24, 25]. This is because they are complicated
systems that comprise a large number of components stressed under tough mission
profiles [26–29].
Triggered by the complex mission profiles, the thermal cycles or dynamic
temperature variations are one of the main causes of failure for the power elec-
tronics components [30–32]. The relationship between the characteristics of thermal
cycles and the lifetime of power semiconductors has been extensively tested and
revealed in the last two decades. Generally, it was found that the lifetime of devices
326 Chapter 6 RENEWABLE ENERGY SYSTEMS WITH WIND POWER

will be shorter under thermal cycles with higher fluctuation amplitudes and mean
values. As mentioned previously, the complex mission profiles of the converter in
wind power applications will indicate adverse loading conditions on the compo-
nents from the viewpoint of reliability performance, and they may lead to an unsat-
isfactory lifetime of much less than 20 years using some lifetime models for power
semiconductor devices [32, 33]. As a result, technologies for proper monitoring,
prediction, and design for the reliability metrics of wind power converters under
complex mission profiles are becoming important in wind power applications.

6.3 WIND TURBINE CONCEPTS AND POWER

ELECTRONICS CONVERTERS

Driven by the technological challenges, power electronics for wind power

­applications have been evolving tremendously, and they are still undergoing rapid
improvements. In this section, some of the state‐of‐the‐art and future converter
solutions for wind turbines will be summarized and discussed. Nevertheless, the
main components employed for energy conversion from wind to electricity in a
­typical WTS are similar, including the rotor with the turbine blades, possibly
a gearbox (which is eliminated in direct‐drive solutions), an electrical generator, a
power electronics converter, and a transformer, as illustrated in Figure 6.7 [34].

6.3.1 Wind Turbine Concepts

Wind turbine designs can be categorized into several concepts depending on the
type of generator, speed controllability, and approach by which the aerodynamic
power is limited [8–10]. In these wind turbine concepts, the power electronics plays
quite different roles and has different power coverages of the system, as shown in
Figure 6.2. In recent decades, the concept of the DFIG equipped with a partial‐scale
power electronics converter has dominated the market, thanks to its technological
maturity and cost advantage. But now the configuration with an SG or AG equipped
with a full‐scale power electronics converter is gaining popularity, especially for
wind turbines with high power or erected offshore [1].

Rotor Gearbox Generator Converter Transformer

Wind Grid
Mechanical power conversion Electrical power conversion
Figure 6.7 Power conversion stages in a typical wind turbine system (gear boxes are
avoided in some systems).
 6.3 WIND TURBINE CONCEPTS AND POWER ELECTRONICS CONVERTERS 327

Doubly‐fed Induction Generator with Partial‐scale Power

Electronics Converter
This concept is the most adopted solution so far and has been erected extensively
since 2000, as shown in Figure 6.8, where a DFIG with a multistage gearbox is
adopted in the system. The stator windings of a DFIG are directly connected to the
power grid through a transformer, and the rotor windings are connected to the
power grid through a power electronics converter with approximately 30% power
capacity of the generator [35–37]. In this concept, the frequency and the current
in the rotor of the generator are flexibly controlled by the power electronics, and
thus the rotational speed of the rotor blades can be varied in a satisfactory range to
maximize the energy yield and reduce mechanical stress. The relatively small
capacity of the power converter makes this concept attractive from a cost point
of view. However, its main drawbacks are the use of slip rings with compromised
reliability, and insufficient power controllability in the case of grid or generator
­disturbances [38–40].

Asynchronous/Synchronous Generator with Full‐scale Power Converter

Another important concept, which is popular for newly installed wind turbines
above 3 MW, is shown in Figure 6.9. The SCIG, DC‐excited synchronous generator
(DCESG), and permanent magnet synchronous generator (PMSG) have been
reported as possible solutions. By introducing a full‐scale power electronics con-
verter and transformer to interface the power grid and the stator windings of the
generator, the generated power from the wind turbine can be fully regulated.

Doubly-fed Transformer
induction generator Grid

Gear box

AC DC

Filter DC AC Filter
1/3 scale power converter
Figure 6.8 Wind turbine concept with partial‐scale power converter and a doubly‐fed
induction generator.

Transformer
AC DC Grid

Filter DC AC Filter
Gear box
Asynchronous/
Full scale power converter
synchronous
generator
Figure 6.9 Wind turbine concept with full‐scale power converter.
328 Chapter 6 RENEWABLE ENERGY SYSTEMS WITH WIND POWER

Compared with the DFIG‐based concept, the main advantages can be identified as
the elimination of slip rings, simpler or even eliminated gearbox, extended power
and speed controllability, as well as better grid support capability. However, more
stressed and expensive power electronics components, as well as the higher power
losses in the converter stage, are the main drawbacks; this is the main reason why
this concept is not always used in newly erected onshore wind turbines.

6.3.2 Power Electronics Converters in Wind Power Applications

In order to handle the fast‐growing capacity of wind turbines and wind farms, new
power electronics technologies, along with a grid structure that can realize more
efficient and reliable power conversion, are expected in the near future to achieve
power conversion and transmission at higher voltage levels (1–10 kV). The major
developments are focused on the converter topology and semiconductor devices.

State‐of‐the‐art Solutions
The two‐level voltage source converter (2 L‐VSC) topology is dominant either in
the DFIG‐based or full‐scale converter‐based wind turbine concepts. Normally, two
2 L‐VSCs are configured in a back‐to‐back solution through a common DC bus, as
shown in Figure 6.10, to link the power flow between generator and grid. A technical
advantage of this back‐to‐back solution is full power controllability under four‐
quadrant operation; this solution also has a relatively simple structure with a small
component count, which contributes to well‐proven reliability as well as the benefit
of low cost.
Most of the installed wind turbines today are based on power conversion at
low voltage levels (i.e., below 690 Vrms AC). As power capacity of wind turbines
keeps increasing up to multi‐MW, the 2 L‐VSC topology may suffer from high
loading current and thereby losses at this power and voltage level. Moreover, the
cabling in the case of low voltage levels with high current is a design challenge.

To To
generator grid

DC link
2L-VSC 2L-VSC
Figure 6.10 Two‐level voltage source converter topology for wind power application
(2 L‐VSC).
 6.3 WIND TURBINE CONCEPTS AND POWER ELECTRONICS CONVERTERS 329

(a)
2L-BTB
AC AC

DC DC
To regular
generator
To
grid
2L-BTB
AC AC

DC DC

(b)
2L-BTB
AC AC

DC DC

To multi-windings To
generator grid
2L-BTB
AC AC

DC DC

Figure 6.11 Paralleled converter solutions with 2 L‐VSC cells: (a) with regular generator;
(b) with multi‐winding generator.

In order to cope with the growing power capacity, paralleled converter configura-
tions have been introduced (i.e., connect 2 L‐VSC cells in parallel to increase the
current handling capability). Figure 6.11 shows the two most adopted paralleled
converter solutions, which have multiple 2 L‐VSC cells connected in parallel both on
the generator side and on the grid side. It is noted that the wire connections on the
generator side and DC link could be different, and circulating current under common
DC link with extra filter or special PWM should be one of the major concerns. This
paralleled converter configuration has the advantages of standard and proven low‐
voltage converter technologies, as well as redundant and modular characteristics;
therefore, it is the state‐of‐the‐art solution for wind turbines above 3 MW [41, 42].

Future Solutions
Besides the paralleled converter solutions to increase the current rating, increasing
the voltage levels and the voltage‐withstand capability of the converter is another
way to cope with the growing power of wind turbines. Having the ability to convert
higher voltage and power, multilevel converters may become the preferred choice
in future WTSs [43–46]. The three‐level active/non‐active neutral‐point diode
clamped (3 L‐NPC/ANPC) converter topology is one of the most commercialized
330 Chapter 6 RENEWABLE ENERGY SYSTEMS WITH WIND POWER

To To
generator grid

3L-NPC/ANPC 3L-NPC/ANPC
Figure 6.12 Three‐level (active) neutral‐point clamped converter topology for wind
turbines (3 L‐NPC/ANPC).

multilevel topologies on the market, and it could be utilized in wind power applica-
tions, as shown in Figure 6.12. The 3 L‐NPC/ANPC converter cell achieves one
more voltage level and less dv/dt stress compared with 2 L‐VSC; thus it is possible
to realize medium‐voltage (i.e., between 1 kV and 10 kV) power conversion with
the lower current, smaller filter size, and fewer converter cells connected in parallel.
However, the main barrier to increasing the voltage level of WTS is the generator,
since the existing technologies cannot guarantee satisfactory cost, weight and size
performances of generators at medium‐voltage levels in wind power applications.
Instead of power control for individual wind turbines, an emerging converter
topology used for HVDC transmission [47, 48], called the modular multilevel con-
verter (MMC), could be used in future wind power applications for power collec-
tion and transmission of wind farms, as shown in Figure 6.13. One advantage of this
configuration is the easily scalable capability of voltage and power; therefore, it can
achieve a wide range of power conversion at the kilovolt and hundreds‐of mega-
watts level with high redundancy and modularity. Moreover, the AC filter can be
eliminated because of the significantly increased voltage levels [48]. This feature is
especially beneficial at high voltage and high power conversion.
An advanced converter configuration that shares a similar idea with the next‐
generation traction converters, the European UNIFLEX‐PM project, as well as the
US FREEDM project [49–52], could be another interesting solution for future
WTSs. As demonstrated in Figure 6.14, it is based on a solid‐state DC transformer
composed of multiple dual active bridge (DAB) building blocks with galvanic iso-
lation. The size of the transformer inside the DAB can be limited in both weight and
volume thanks to the medium‐frequency excitation. Moreover, the solid‐state DC
transformer can be directly connected to the medium‐voltage DC distribution grid
in the future, or be connected to the AC distribution grid (10–20 kV) with a medium‐
voltage DC/AC converter, such as the MMC converter shown in Figure 6.13. On the
other hand, the low voltage side of the solid‐state DC transformer enables a
 6.3 WIND TURBINE CONCEPTS AND POWER ELECTRONICS CONVERTERS 331

DC

DC
AC
/DC

DC
AC
/DC
AC

DC
AC
/DC

DC
AC
/DC

Figure 6.13 Modular multilevel converters for power collection/transmission of wind

turbines.

LVDC bus MVDC grid bus

DC AC (future)
LVAC AC
AC DC
MVAC
To DC Dual active bridge DC
grid
Gen. 1

AC
LVAC AC
DC AC
To DC
Gen. 2 AC DC

Solid state DC transformer

Figure 6.14 Converter solution with solid‐state DC transformer for wind power
applications.

low‐voltage DC bus that can be connected directly to one or multiple wind turbines.
This configuration effectively reduces the power conversion stages, and does not
impose new designs of existing wind power generators.
Moreover, the high controllability of the solid‐state DC transformer by the
use of power electronics could bring some interesting features such as power
332 Chapter 6 RENEWABLE ENERGY SYSTEMS WITH WIND POWER

routing and grid support for the future “smarter” grid. This configuration would
become attractive if it can be placed in the nacelle or offshore platform, where the
bulky line‐frequency transformer at the multi‐megawatt scale can be replaced by
more compact and flexibly configured power semiconductor devices, bringing a
promising enhancement of overall power density, modularity, and redundancy of
the power conversion stage.
It is worth mentioning that the modular converter configurations shown in
Figures 6.13 and 6.14 both have good redundancy and fault‐tolerant abilities,
which contribute to higher reliability performance. On the other hand, these
configurations have significantly increased component counts, which would
­
compromise the system reliability and efficiency, and the cost could be signifi-
cantly increased. Because the technologies for power semiconductor devices and
passive components are developing rapidly, the overall merits and disadvantages
of the use of these modular converters in wind power applications must be
­carefully evaluated.

Enabling Power Semiconductor Devices

The power semiconductor devices are also key technologies and major concerns
for wind power converters, because they are related to many critical performance
measures, such as cost, power density, efficiency, reliability, and modularity. The
silicon‐based semiconductor technologies seen in wind power applications
include module‐packaged and press‐pack packaged IGBTs [53–55]. In the last
decade, there has been rapid development of wide bandgap (WBG) devices based
on silicon carbide (SiC) or gallium nitride (GaN); SiC devices that have better
voltage/thermal capability are more promising choices in wind power applica-
tions. The major SiC devices for high‐power application are in the form of
module‐packaged metal‐oxide semiconductor field effect transistors (MOSFETs)
as well as diodes.
The key features of the three types of power semiconductor devices are gen-
erally compared in Table 6.3. The module packaging technology of IGBT has a
longer track record of applications and benefits from fewer mounting restrictions.
However, they may suffer from greater thermal resistance and lower power density,
and might have higher failure rates [56]. Interesting trends in improving the pack-
aging of IGBT modules include introducing pressure contacts to eliminate the base
plate, sinter technology to avoid chip soldering, and copper bond‐wires to reduce
the coefficient of thermal expansion – all leading to increased lifetime, as reported
in [57]. However, cost issues are always critical topics when commercializing these
new technologies.
Press‐pack packaging technology improves the connection of chips by direct
press‐pack contacting of the joints, leading to improved reliability, higher power
density (easier stacking), and better cooling capability. As the power capacity of
wind turbines grows even up to 12 MW, press‐pack packaging technology is
expected to become a more interesting solution for future wind turbine systems,
when medium‐voltage‐level conversion will become the preferred choice.
 6.4 CONTROL OF WIND TURBINE SYSTEMS 333

TABLE 6.3 Power semiconductor devices in wind power applications.

Si‐IGBT press‐ SiC MOSFET

Performances Si‐IGBT module pack module

Power density Low High Low

Reliability Moderate High Unknown
Cost Moderate High High
Failure mode Open circuit Short‐circuit Open circuit
Insulation to heat sink Yes No Yes
Switching loss Moderate Large Low
Conduction loss Moderate Moderate Large
Thermal resistance Large Small Moderate
Cost factor Moderate High High
Gate driver Moderate Moderate Small
Major suppliers Infineon, Semikron, Westcode, ABB Cree, Rohm,
Mitsubishi, ABB Mitsubishi
Voltage ratings in wind 1.7/2.5/3.3/4.5/6.5 kV 2.5/4.5/5.2/6.5 kV 1.2/1.7/10 kV
power applications
Maximum current ratings 3.6/1.5/1.8/1.5/1.0 kA 2.25/3/3/0.9 kA 0.8/1.2/0.02 kA

In addition to silicon‐based power devices, SiC devices, which have better

switching characteristics and higher voltage‐blocking capabilities, are a promising
technology for future wind power systems [58, 59]. Several years ago the current
ratings of SiC devices were not high enough for wind power conversion, but nowa-
days the ratings have been pushed significantly to the applicable range, regardless
of high cost and design complexity due to faster switching speed. Moreover, these
new devices with high voltage blocking capability have also shown great potential
to simplify the topology of power conversion at the medium‐ and high‐voltage
levels. They can also be used in some future converter structures that consist of
parallel or cascaded converter building blocks.

6.4 CONTROL OF WIND TURBINE SYSTEMS

Controlling the power electronics in a state‐of‐the‐art wind turbine involves both

electrical and mechanical subsystems, as indicated in Figure 6.15. A general
­control structure including blades, generator, and converter are illustrated. The appli-
cable wind turbine concepts can be either a full‐scale converter‐based system with
an induction generator (IG), synchronous generator (SG) and permanent magnet
synchronous generator (PMSG), or a partial‐scale converter‐based system with a DFIG.
The wind turbine system can be controlled under three different layers, as
specified in Figure 6.15. Control Level I mainly involves the basic control functions
of the electrical system, such as current regulation, DC bus stabilization, and grid
synchronization, and they must be performed rapidly [60–64]. As an example, the
334 Chapter 6 RENEWABLE ENERGY SYSTEMS WITH WIND POWER

Pin Po
D
Turbine Q Q
DFIG Udc
AC DC

Chopper
S Filter Grid
DC AC Transformer
Gearbox SG/PMSG Udc
is PWM PWM
ig ug
I
Voltage/Current Grid
IG control synchronization

Level I-Power converter control strategy

* *
Ps Udc Qg*

Ωgen Power maximization Fault ride through

& power limitation & grid support
θ
Level II–Wind turbine control strategy

P* Q*
fg* ,ug*
Power Power Power
inertia reservation quality
TSO
Level III–Grid integration control strategy commands

Figure 6.15 General control structure for a power electronics converter in a wind turbine
system. Udc, DC‐link voltage; is, generator stator current; Ωgen, rotational speed of
generator; θ, pitch angle of rotor blade; ig, current on converter side of transformer;
ug, voltage on converter side of transformer; ug*, voltage on grid side of transformer;
fg*, fundamental frequency on grid side of transformer; P*/Q*, reference active/reactive
power from control level III; Ps*/Qg*, reference active/reactive power from control level II;
Udc*, reference DC‐link voltage.

detailed control methods for a full‐scale wind power converter are illustrated
in Figure 6.16, where most of the control functions on Level I can be achieved.
Thanks to the decoupling of the DC link, the control functions on this level can be
separated into two relatively independent parts – the machine‐side converter
controller and grid‐side converter controller.
On control Level II, more advanced WTS features are achieved. First, it
ensures that the electrical power injected to the power grid behaves properly
according to the standards defined by the distribution/transmission system operator
(DSO/TSO), such as ride‐through operation under grid faults, and reactive and
active power support in both normal and abnormal power grid operations. Second,
the power flow in and out of the system must be managed. The input mechanical
power from the turbine blades should be limited by controlling the mechanical parts
such as the blade pitch angle (θ). The electromagnetic torque and rotational speed
of the rotor are adjusted by controlling the machine‐side converter to achieve
maximum power production according to the available wind energy. In some
 6.4 CONTROL OF WIND TURBINE SYSTEMS 335

Controller for θr ʃdt

ωr PMSG
machine side converter

Ps usdq usαβ usabc

Power abc
Qs calculation isdq e–jθ1 isαβ isabc
αβ

P*s + i*sd +
PI PI
– – U*sd
Ps isd

isq
i*sq u*sq usαβ*
Q*s + + –
PI PI ejθ1 SVM MSC
–
Qs
vdc
vdc
v*dc +– i*gd u*gd
PI
+ PI usαβ*
– e jθ1 SVM GSC
igd
igq
i*gq +– u*gq Cf
Lf
PI
θ1
ω1 PLL
Lg
Pg ugdq ugαβ ugabc
Power abc
Controller for Qg calculation igdq e jθ1 igαβ igabc
grid side converter αβ

Grid
Figure 6.16 The detail of controls on Level I for a full‐scale power converter in a wind
power application.

complicated cases, such as grid fault ride‐through, coordinated controls of several

subsystems, such as generator‐ and grid‐side converters, braking choppers/crow-
bars, and pitch‐angle regulators are necessary [65–68].
Depending on the region and capacity of wind turbines/wind farms, the TSO
or DSO could impose extra control requirements on the wind turbine system. These
functions are normally performed under control Level III, such as: limiting the rate
of change of the output power or increasing the power inertia in order to reduce the
impacts to grid and emulate the behaviors of synchronous generators; reserving a
certain capacity of active/reactive power in order to facilitate the grid support
functions; taking a more active role in grid power quality management, such as
damping low‐frequency power oscillations or maintaining the local line voltage.
Normally, control functions on this level are performed slowly over a longer
timescale.
336 Chapter 6 RENEWABLE ENERGY SYSTEMS WITH WIND POWER

6.5 POWER ELECTRONICS FOR MULTIPLE WIND

TURBINES AND WIND FARMS

Currently, most new installations of multi‐megawatt turbines are part of wind

farms, which aggregate the individual contributions into a power station.
Traditionally, most wind farms are onshore‐based, but present plans and ongoing
developments exist for large offshore deployments that would benefit from better
wind conditions and are located away from land. The capacity of offshore wind
farms can be up to 630 MW; for example, the Anholt wind farm off Denmark
(commissioned in 2013) is illustrated in Figure 6.17, is rated at 400 MW, and com-
prises 111 3.6 MW Siemens wind turbines. Other top‐rated offshore wind farms
include the London Array of the UK, with 630 MW capacity (commissioned in
2012, largest in the world); Gemini of the Netherlands, with 600 MW capacity
(under construction); and Global Tech I of Germany with 400 MW capacity (2015).
The majority of these are located around the North Sea of Europe.
When considering the power generation at the wind‐farm scale, on the one
hand the high cost of energy requires the power transmission to be highly efficient,
and on the other hand the high power capacity requires the wind farm to be more
active and able to provide support to the power grid. The power electronics is again
an enabling technology for the wind farms in order to fulfill the growing demands.
A typical wind farm equipped with DFIG‐based wind turbine systems is
shown in Figure 6.18a. Such a configuration is in operation in the Horns Rev off-
shore wind farm, Denmark, with a capacity of 160 MW (installed in 2002), and is
composed of 80 wind turbines from Vestas rated at 2 MW. Because of the limitation

Figure 6.17 Denmark’s largest offshore wind farm of 400 MW installed at Anholt. Photo
courtesy of Dong Energy Wind Power.
 6.5 POWER ELECTRONICS FOR MULTIPLE WIND TURBINES AND WIND FARMS 337

(a)
MVAC grid

AC DC

DC AC

HVAC grid

AC DC

DC AC

(b)
AC DC MVACgrid
DC AC

HVACgrid
AC DC

DC AC

Figure 6.18 Wind farm configurations with AC power transmission. (a) Doubly‐fed
induction generator system with AC grid. (b) Full‐scale converter system with AC grid.
MVAC, medium‐voltage alternating current; HVAC, high‐voltage alternating current.

in reactive power capability, a reactive power compensator such as a static

synchronous compensator (STATCOM) may be needed in this configuration in
order to fully satisfy some emerging grid requirements. Similarly, Figure 6.18b
shows a wind farm configuration equipped with a wind turbine concept based on a
full‐scale power converter. Compared with the DFIG‐based wind farm, the reactive
power capability in Figure 6.18b is significantly extended, and the grid‐side con-
verter in each generation unit can provide the required reactive power locally, or
with much smaller capacity than the STATCOM. This configuration has become
the dominant choice in the established offshore wind farms since 2010.
For power transmission of offshore wind farms, medium/high‐voltage direct
current (M/HVDC) is an interesting solution because efficiency is improved and no
reactive power compensators are needed [69, 70]. A typical solution for HVDC
transmission of wind power is shown in Figure 6.19a, in which the medium‐voltage
AC from the wind turbine output is converted to high‐voltage DC for transmission
338 Chapter 6 RENEWABLE ENERGY SYSTEMS WITH WIND POWER

(a)

AC DC MVAC grid

DC AC

AC +
–
DC
HVDC grid
AC DC

DC AC

(b)

AC MVDC grid

DC

DC AC
+
–
AC DC

HVDC grid
AC Solid state transformer
or“DC/DC transformer”
DC

(c)

AC DC MVAC grid

DC AC

AC DC HVDC grid

DC AC

Cascaded
Rectifier
Figure 6.19 Wind farm configurations with DC power transmission. (a) Full‐scale
converter system with VSC rectifier and transmission DC grid. (b) Full‐scale converter
system with both DC distribution and DC transmission grid. (c) Full‐scale converter system
with multiple diode rectifiers and DC transmission grid. MVDC, medium‐voltage direct
current; HVDC, high‐voltage direct current.
 6.5 POWER ELECTRONICS FOR MULTIPLE WIND TURBINES AND WIND FARMS 339

through a boost transformer and a high‐voltage source rectifier. Half‐controlled

power semiconductors, such as thyristors, or fully controlled power semiconduc-
tors, such as insulated‐gate bipolar transistors (IGBTs) connected in series, can be
applied for power conversion at high voltage.
To achieve more advanced wind farm performances, a future configuration
with HVDC transmission is shown in Figure 6.19b, where a solid‐state DC trans-
former [71] is used to convert the low‐/medium‐voltage DC of the wind turbine
outputs to medium‐/high‐voltage DC for power transmission. As a result, a com-
pletely full DC power delivery both in the distribution and transmission grid can be
realized. It is claimed in [72] that the overall efficiency of wind power delivery can
be significantly improved compared with the configuration shown in Figure 6.19a,
thanks to the reduction in converters and transformers.
In order to achieve more robust HVDC conversion and reduce the space/
weight of the offshore platform, a HVDC concept for an offshore wind farm was
recently proposed in [73, 74], as shown in Figure 6.19c. In this configuration, the
power control and power quality regulation is mainly performed by the distributed
low‐voltage wind power converters, and the rectifier is simply composed of diodes
and has no control complexity. It is claimed that this solution will save 20% of
losses and 65% of weight compared with the conventional VSC‐based HVDC
system at a scale of 200 MW. Moreover, the reduced number of components, easily
scalable and redundant rectifier connections, and reliable packaging of power semi-
conductors make this solution attractive for cost‐effective power transmission from
offshore wind farms.
It is noted that the feasibility, advantages and disadvantages for the wind
power collection/transmission solutions shown in Figures 6.18 and 6.19 must be
further evaluated. In addition to the factors of cost, efficiency, and functionality,
other practical constraints such as reliability, environmental impacts, power scal-
ability, and robustness to extreme environments, are crucial considerations for the
construction of offshore wind farms.
In addition to the requirements for highly efficient power transmission,
modern grid codes strictly regulate the behavior of the power delivered from wind
turbines. Some of the requirements are difficult to achieve by individual wind
turbine units. However, at the wind‐farm level, more advanced grid support
­features can be better achieved by introducing special power electronics c­ onverters
and controls.
Most grid codes demand the active power of the wind turbines to be flexibly
regulated on the basis of grid frequency, as in a conventional synchronous machine‐
based power plant. However, the available active power of wind turbines should be
based on the existing wind speeds, and in some cases it cannot match the power grid
demands. Consequently, some energy storage solutions may be needed for wind tur-
bines and wind farms. The storage system can be configured locally for individual
wind turbine units, or centrally in the wind farms, as shown in Figure 6.20. The
energy storage system could be configured in the form of a battery, supercapacitors,
or even combined solutions, where the power electronics are an essential part in these
340 Chapter 6 RENEWABLE ENERGY SYSTEMS WITH WIND POWER

AC DC

DC AC

DC

DC

Distributed energy
storage system

AC DC MVAC
Grid
DC AC

DC

DC
Distributed energy
storage system

DC

AC

Centralized energy
storage system
Figure 6.20 Configurations of energy storage for wind power plants.

storage systems to manage the power flow. Such wind farms equipped with energy
storage will be ready to operate as the primary controller where enough energy is
pre‐stored and the wind power plant is approved by the TSO to enable this feature.
Similarly, in order to satisfy the requirements for reactive power support dur-
ing grid voltage changes, reactive power compensators can be introduced at the
wind‐farm level to reduce the burden and cost of individual wind turbine units. This
is especially beneficial for the DFIG‐based wind turbine concept, which has limited
reactive power capability [75–77]. As shown in Figure 6.21, these reactive power
compensators, which could be STATCOMs or static VAR compensators (SVCs),
can either be configured at the medium‐voltage distribution grid, or directly config-
ured at the high‐voltage transmission grid with a transformer. Power electronics
and control are essential parts in these reactive‐power compensator systems.

6.6 CONCLUSION

The individual power ratings and installations of wind turbines have been signifi-
cantly increased over recent decades, such that wind energy now plays an important
and growing role in power systems. A main driving factor is represented by the
continuous need for sustainable and renewable energy at competitive prices.
 REFERENCES 341

MVAC grid

AC DC
DC AC

DC
AC HVAC
AC DC
Reactive power
grid
DC AC compensator
connected to HVAC grid
DC
AC

Reactive power
compensator
connected to MVAC grid
Figure 6.21 Configurations of reactive power compensation for wind power plants.

This review of state‐of‐the‐art solutions indicates that power electronic

t­echnologies, including associated controls, have significantly improved the
­operation and performance of WTSs. Through proper selection and configuration,
controls, and grid regulations, it is now possible for WTSs and wind farms to act
like conventional power plants and actively contribute to frequency and voltage
control in the power grid.
These capabilities create opportunities for continued large‐scale deployment
of wind turbines and wind farms. Furthermore, driven by the need to reduce the cost
of energy and enhance the performance of energy conversion, there are still many
new possibilities for the advancement of power electronics technologies, including
the development and application of new topologies and power devices, increases in
reliability, and the incorporation of energy storage and more power system control
capabilities.

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[77] M. Molinas, J. A. Suul and T. Undeland. “Low Voltage Ride Through of Wind Farms with
Cage Generators: STATCOM Versus SVC,” IEEE Transactions on Power Electronics, vol. 23,
no. 3, pp. 1104–1117, 2008.
 Ch a p t e r  7
PHOTOVOLTAIC
ENERGY SYSTEMS
Mariusz Malinowski, Jose I. Leon and Haitham Abu‐Rub

7.1 INTRODUCTION

The current energy systems are mainly centralized and based on the burning of
fossil fuels. However, fossil fuels are non‐renewable and emit huge amounts of
greenhouse gases into the environment, which seriously and negatively affects the
environment and human health. In addition to that, the changing prices of fossil
fuels and political conflicts have put serious pressure on energy security and cre-
ated a driving force to find other inexhaustible and cleaner sources of energy.
There are several alternative renewable energy sources (RES) that can pro-
vide clean and continuous electrical energy, such as hydro‐power, solar and wind.
Nuclear energy is possible; however, its installation cost is relatively high and its
use brings serious safety risks. Therefore it should not be deemed as clean, safe, or
even a cheap source of energy.
RES are receiving significant focus and attention worldwide as a clean and
sustainable energy supply for current and future human generations [1]. Renewable
energies are expected to overtake coal around 2030 to become the largest electrical
power source and to represent around 35% of total energy generation by 2040, as
shown in Figure 7.1 [2]. The renewable energy growth rate in different areas is
increasing more than ever, with promising targets as shown in Figures 7.2 to 7.5
[3–7]. The highest growth rate lies with solar photovoltaic (PV) systems [1].
PV energy is abundant everywhere in the world, and is safe, clean and envi-
ronmentally friendly. Hence it will play an essential role in the global energy profile
as we move towards ensuring energy security and reducing greenhouse gas
emissions. More investment in PV renewable energy would significantly help in
improving human health and life quality. PV renewable energy provides enormous
and inexhaustible amounts of electrical energy supply, which helps in ensuring

Power Electronics in Renewable Energy Systems and Smart Grid: Technology and Applications,
First Edition. Edited by Bimal K. Bose.
© 2019 by The Institute of Electrical and Electronics Engineers, Inc.
Published 2019 by John Wiley & Sons, Inc.

347
348 Chapter 7 PHOTOVOLTAIC ENERGY SYSTEMS

40%

35%
2017 2040
30%

25%

20%

15%

10%

5%

0%
Oil Renewables Coal Gas Nuclear
Figure 7.1 Proportions of global electricity generation in 2017 and projected for 2040.
(See electronic version for color representation of this figure.)

energy security, stable energy prices, and securing new jobs and other economic
benefits [8]. Furthermore, there are various political, social, and technical drivers
for adopting solar energy. Among the benefits of solar energy are: energy security;
industry development; integrating the public in decision‐making; and community
development. Energy security is a priority for all nations and generations, which
justifies all the efforts and investments being put into the deployment of renewable
energies, and in particular PV and wind distributed systems [9].
RES, in particular PV and wind, have undergone huge growth in recent years
and are expected to lead world electrical power growth [10, 11]. The highest renew-
able energy addition rate is for PV energy, as evident in Figures 7.2 and 7.3 [3, 4].
PV systems expansion, capacity and numbers, and related focused research have
intensified worldwide. Solar energy (in particular PV) has had the greatest focus
with the highest growth rate mainly because of a huge decline in costs. Other rea-
sons are the wide availability, good visibility, and safe use at residential, commercial,
and utility‐scale applications. Solar PV power capacity has more than doubled in
less than five years. It is expected that PV power systems could reach 25% of total
energy production by 2050 [12].
The overall capacity of installed PV systems is shown in Figures 7.4 and 7.5
[1, 5, 6]. The exponentially rising installation capacity all over the world shows a
very promising future for PV energy resources as an alternative to the traditional
solutions. To provide a viable solution for such renewable energy, huge PV farms
have been commissioned in many countries, led by China, India, and the USA (an
example is given in Table 7.1 where the largest solar PV plants are listed [13]). The
worldwide trend is to increase the system power level. For example, increasing
the system voltage from 1000 V to 1500 V gives a reduction in losses. PV farms
have now started targeting the GW level of power production. Currently, China
 7.1 INTRODUCTION 349

2017
2016
2015
2014
2013
2012
2011
2010
2009
2008
2007
2006
2005
0 100 200 300 400 500 600 700 800 900
Coal Gas Nuclear Large hydro Fuel oil Wind Biomass Solar PV

Figure 7.2 Generation capacity of Europe (GW). (See electronic version for color
representation of this figure.)

Solar PV

Concentrated solar power

Wind

Hydro-power

Geothermal power

Solar water heating

Biodiesel production

Ethanol production

0 5 10 15 20 25 30 35 %
Growth rate end 2011 through 2016 Growth rate in 2016

Figure 7.3 Average annual growth rates (%) of renewable energy capacity and biofuel
production, end‐2010 to end‐2016. (See electronic version for color representation of
this figure.)
350 Chapter 7 PHOTOVOLTAIC ENERGY SYSTEMS

2011 2012 2013 2014 2015 2016

55.6
GW

33.1
22.6
22.3
19.5
17.6

17.2
16.7
16.1

15.4

13.6

10.8

0.7

0.6
0.5
0.4

0.2

0.1
Grid-connected decentralized Grid-connected centralized Off-grid
Figure 7.4 Global PV installations (2011–2016). (See electronic version for color
representation of this figure.)

2017
2016
2015
2014
2013 Previous year capacity (GW)
2012 Annual addition (GW)
2011
2010
2009
2008
2007
2006

0 50 100 150 200 250 300 350 400

Figure 7.5 Solar PV global capacity and annual addition (GW). (See electronic version
for color representation of this figure.)

represents over 40% of global new installations, while the top five countries account
for almost 80% of installations, and top ten countries for almost 90% of new instal-
lations (see Figures 7.6 and 7.7) [6]. The cumulative data are similar to this, which
means that many countries around the world have a long, but promising, way ahead
of them.
The cumulative capacity of installed PV systems is way above 400 GW at the
time of writing, and is expected to significantly exceed half a terawatt by the end
of 2018.
 7.2 THERMAL AND PV SOLAR ENERGY SYSTEMS 351

TABLE 7.1 Top ten largest solar PV plants worldwide in 2018.

Capacity (MWp) Project Location On grid

1547 Tengger Desert Solar Park China 2016

1000 Datong Solar Power Top Runner Base China 2016
1000 Kurnool Ultra Mega Solar Park India 2017
850 Longyangxia Dam Solar Park China 2015
746 Bhadla Solar Park India 2017
648 Kamuthi Solar Power Project India 2016
600 Pavagada Solar Park India 2017
579 Solar Star USA 2015
550 Topaz Solar Farm USA 2014
458 Copper Mountain Solar Facility USA 2015

Residential and commercial PV systems (such as rooftop systems) are major

components for creating microgrids. Such kinds of distributed energy systems will
grow most with the development of the smart grid paradigm.

7.2 THERMAL AND PV SOLAR ENERGY SYSTEMS

There are two main types of solar power systems: thermal and PV. The direct
thermal use of solar energy for water heating is very old, mature and cheap tech-
nology. The world capacity of such solar thermal energy is over 400 GW‐thermal
and is expected to increase sharply. For electricity generation, concentrated solar
power (CSP) is a promising technology for places with the right environmental
conditions for generating electricity with higher efficiency than PV technology.
This technology is only practical for high electrical power generation and
storage, because of the complicated technology with relatively high initial and
running costs.
CSP technology is an indirect use of solar energy to generate electricity that
depends on the use of lenses or mirrors and electromechanical tracking systems to
concentrates the solar thermal energy in order to heat up a solid, liquid, or gas to
very high temperatures. The mirrors concentrate large amounts of the sun’s heat
into a small area that is called a focal point. This allows the heated element to be
used for electricity generation and/or energy storage. The popular types of CSP
technologies are the parabolic trough and power tower, the dish stirling, the concen-
trating linear fresnel reflector, and the solar chimney [14]. The majority of available
CSP systems are of the parabolic trough type (almost 60%), which achieves at least
25% efficiency. The second popular type of CSP system used is the power tower,
based on high‐power plants which may have a 40% capacity factor [15].
The use of solar energy is very attractive in many applications such as water
heating, solar cooling (heat‐powered air conditioning), and even water desalination.
Solar thermal technologies have various levels of temperature and pressure, with
352 Chapter 7 PHOTOVOLTAIC ENERGY SYSTEMS

2012
100
80
60
2017 2013
40
1st global PV markets
20
0 Top 5 global PV markets

Top 10 global PV markets

2016 2014

2015
Figure 7.6 PV market share of top countries, 2012–2017. (See electronic version for color
representation of this figure.)

Spain
Australia
France
India
United Kingdom
Italy
United States
Germany
Japan
China

0 20 40 60 80 100 120 GW
Figure 7.7 Solar PV capacity of various countries, 2017.

various heat‐conducting and storage materials. Solar thermal energy systems allow
storage of the energy for hours longer than electrochemical and electromechanical
based technologies [1].
Figure 7.8 shows the global deployment (installed and cumulative) of CSP
energy, while Figure 7.9 shows the capacity by country of CSP. It is evident that this
technology is led by Spain followed by the USA [5]. Although this technology
could be used for longer storage, this advantage is still not fully utilized, as evident
from Figure 7.10. The worldwide capacity of this type of energy is still very low
compared with PV energy systems. This is caused by high initial and running costs
 6000

5000 Installed (MW) Cumulative (MW)

4000

3000

2000

1000

0
2000 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 2017
Figure 7.8 Evolution of worldwide CSP generated electrical energy (MW, 2000 to end
2017). (See electronic version for color representation of this figure.)

United states Spain Rest of the world

2.5

1.5
Gigawatts

0.5

0
2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 2016
Figure 7.9 Capacity by country for generation of CSP generated electrical energy.
(See electronic version for color representation of this figure.)

2017
2016
2015
2014
2013
2012
2011
2010
2009
2008
2007

0 2 4 6 6 10 12 Gwh
Figure 7.10 Total global CSP thermal energy storage (GWh), 2007–2017.
354 Chapter 7 PHOTOVOLTAIC ENERGY SYSTEMS

and relatively complicated technology, requiring continuous maintenance and

attention. Furthermore, the successful deployment of this technology requires good
environmental conditions, with low amounts of dust, humidity, and shading.

7.3 The Solar Cell

The direct use of solar power is possible through PV panels that allow conversion
of solar radiation directly to electrical energy. The solar PV panels consist of 60 or
72 small cells (12.5 cm2 or 15.6 cm2) that are made of a material which is able to
convert the energy of light (photons) into electricity using a photovoltaic effect.
Solar cells, also called PV cells or photoelectric cells, are connected together to
form a PV panel. The PV modules are available in the power range between 40 W
and 400 W. The average module power, in the next ten years, is expected to increase
from 275 Wp (Watt peak) in 2017 to 350 Wp for 60‐cell modules and from 325 Wp
to 395 Wp for 72‐cell modules [16].
The behavior of PV modules strongly depends on the solar radiation and tem-
perature conditions. In order to show this fact, the characteristic curves showing
voltage, current and power of a PV module are represented in Figure 7.11. The most
important PV module parameters are the open‐circuit voltage, the short‐circuit
current, and the voltage and current at maximum power point (Vmp and Imp respec-
tively). The desired operation point of the PV module is defined by the maximum
power point, which is determined by the product of Vmp and Imp. The maximum

Module type: kyocera solar KD325GX-LFB (at 25°)

10 1 kW/m2 400
Imp = 8.07A Pmp = 325.21W
8
Current (A)

300
Power (W)

6
0.5 kW/m2 200
4
2 0.1 kW/m2 100
0 0
0 5 10 15 20 25 30 35 40 45 50
Voltage (V) Vmp = 40.03V

Module type: kyocera solar KD325GX-LFB (at 1 kW/m2)

10 400
Imp = 8.07A Pmp = 325.21W
8
Current (A)

25° 300
Power (W)

6 45°
75° 200
4
2 100
0 0
0 5 10 15 20 25 30 35 40 45 50
Voltage (V) Vmp = 40.03V

Figure 7.11 Characteristic curves of a PV module depending on the solar radiation and
temperature conditions. (See electronic version for color representation of this figure.)
 7.3 The Solar Cell 355

power point algorithm objective is to operate the PV module (or array) always at
this point in order to extract maximum available energy from the sun.
There are different types of materials used for the design of PV cells.
Crystalline silicon types dominate the market, with over 90% of the global produc-
tion. Examples of such crystalline materials are single crystalline (sc‐Si) with a
Czochralski (CZ) and float zone (FZ) technology, multicrystalline (mc‐Si) with a
cast, sheet, ribbon growth technology, polycrystalline (pc‐Si) with a chemical
vapour deposition technology, and microcrystalline (µc‐Si) with a plasma deposi-
tion. The major difference between those materials is the regularity level and the
structure, affecting the size of the crystals that are used to build those materials.
The materials of interest for solar cells are the thin films such as amorphous
silicon (a‐Si), cadmium telluride (CdTe), and copper indium gallium selenide
(CI(G)S) [17]. Additional types of solar cells are also available, such as desensitized
solar cells, gallium arsenide (GaAs) germanium solar cells, luminescent solar con-
centrator cells, multijunction solar cells, organic solar cells, perovskite solar cells,
photoelectron chemical cells, plasmonic solar cells, plastic solar cells, polymer
solar cells, and quantum dot solar cells [1]. Amorphous silicon (a‐Si) technologies
are used but they are of higher cost than crystalline silicon and lower efficiency than
other thin‐film solutions.
Multifunction PV cells are usually designed using gallium arsenide (GaAs)
built with germanium substrates. They have relatively very high efficiencies
(exceeding 40%) but are expensive, and therefore are used in specific applications
in which the price is not a priority, such as space applications. Thin film cells are
becoming of more interest in design and application, although they are of lower
efficiencies than crystalline silicon technologies. They are built using very thin
layers of semiconductor materials that are packed on specific material, such as
glass, stainless steel or plastic. Currently they have become less expensive to man-
ufacture than crystalline cells.
The organic thin‐film PV cells are becoming of great interest for research and
demonstration. They are built using dye or organic semiconductors [18]. There has
been a significant price decrease per watt peak for solar cells during recent decades.
Figure 7.12 shows the price reduction history for silicon solar cells [19]. The price
of crystalline silicon cells was above $76 USD per watt peak in 1977, while cur-
rently it is around $0.30 USD per watt peak. Prices for thin‐film solar cells and c‐Si
solar panels are less than $0.60 USD per watt [20].
The efficiency of solar PV cells and panels is relatively low and different
according to the types as shown in Figure 7.13 [21]. Monocrystalline PV cells are
currently commercially available with efficiencies exceeding 16%. Polycrystalline
silicon cells are popular because of the lower price although they usually have
lower efficiencies. The efficiency of all PV panels is progressing. Figure 7.14 shows
the progress in PV cell efficiencies in different laboratories [21]. This figure shows
some improvement in the efficiencies, although is not enough. Therefore, there is a
significant need for further R&D toward efficiency and materials improvement.
Nevertheless, the progress so far is promising [22]. In ten years, the efficiency of
356 Chapter 7 PHOTOVOLTAIC ENERGY SYSTEMS

Cumulative Power (GW) Solar Panel Price ($ USD/W)

450 4,5

400 4

350 3,5
Cumulative power (GW)

300 3

$ USD/W
250 2,5

200 2

150 1,5

100 1

50 0,5

0 0
2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 2017
Figure 7.12 Price history of silicon solar cells, 2006–2017. (See electronic version for
color representation of this figure.)

A-Si, Triple (module)

CI (G)S, (module)

CDTE, (module)

Multi-Si, block, (module)

Mono-Si,CZ N-type, (module)

0 5
10 15 20 25
Efficiency (%)
Figure 7.13 Efficiency comparison of technologies: best lab cells vs. best lab modules.

commercially available PV modules has increased by almost 5% (from about 12%

to 17%). The efficiency increase rate of the thin‐film solar cells has been higher
than the mono and silicon cells. The CdTe type of thin‐film module efficiency has
increased by almost 9% in ten years, as shown in Figure 7.13. In the laboratory
environment, the best‐performing monocrystalline silicon models have about
25.6% efficiency. At a wider scale, thin‐film modules are available in the market
with efficiencies between 7% (a‐Si) and 18% (CdTe) with wide‐scale commercial
availability at 13% efficiency. Also, high concentration multijunction solar cells
 7.4 Solar PV System Costs 357

Thin film CdTe Thin film CIGS

Multi crystalline silicon Mono crystalline silicon
50

45

40
Solar cell efficiency %

35

30

25

20

25

15

10

5
2000 2002 2004 2006 2008 2010 2012 2014 2016
Figure 7.14 Development of solar cell efficiency. (See electronic version for color
representation of this figure.)

may achieve 46% efficiency in the laboratory environment. There is a significant

need for further focused and goals‐oriented R&D for efficiency improvement at the
market level. It is a persisting challenge to get high‐efficiency PV panels at produc-
tion scale with a reasonable price. On other hand, the maximum amount of converted
power by PV panels negatively varies with various environmental conditions such
as ambient temperature and dust. This further decreases the efficiency of PV panels.
Nevertheless, the PV market shows the highest rate of increase among all renew-
able energy types.
Multisilicon technology dominates the market, as shown in Figure 7.15,
because of competitive prices, high reliability, low maintenance, long durability,
relatively low weight, and ease of transmittance. For the global PV market, thin‐
film solutions represent around 7%,with more than half as CdTe followed by CIGS,
then a‐Si. The crystalline silicon (mono‐Si and multi‐Si) in 2015 accounts for 95%
of the global PV market, as shown in Figure 7.15 [1, 5, 23]. The mono‐Si currently
accounts for almost 70% of the worldwide market.

7.4 Solar PV System Costs

The PV panels are used to form renewable energy systems at different scales, such
as residential, commercial and utility‐scale. Rooftop PV systems are of very high
interest and investment worldwide, and are formed using tens to hundreds of panels.
Building integrated PV systems are currently of great interest although the market
358 Chapter 7 PHOTOVOLTAIC ENERGY SYSTEMS

Thin film
5%
Multi-Si
33% Mono-Si

62%

Figure 7.15 Global PV market by technology in 2017. (See electronic version for color
representation of this figure.)

is still small (around 45 MW), but is expected to increase significantly in the next
few years. Japan is expected to lead this technology worldwide because of the spe-
cially provided incentives. Finally, the large‐scale systems consist of thousands,
hundreds of thousands, or even millions of PV panels.
Solar photovoltaic energy is the most attractive renewable source worldwide
because of its abundance, safe conversion process, ease of transportation and instal-
lation, good visibility, long lifetime with little maintenance, and affordable price
that is significantly decreasing [24]. The cost of PV systems has being dropping
sharply (Figures 7.16 and 7.17) [19, 25, 26]. In five years there has been an almost
50% reduction in the total system cost, almost 70% in the PV modules, 40% in the
inverter cost, and 40% in the labor and other installation‐related costs. Such a
significant price drop has promoted this technology worldwide and made it an
alternative and viable energy solution, leading to an increase in new installations of
PV power systems in the last decade as shown in Figure 7.5. The PV electrical
energy contribution to total electricity needs is significantly increasing in most
countries and is predicted to increase sharply. Grid‐connected PV technology is the
most promising solution for current and future energy demands. Research related to
PV mainly focuses on efficiency improvement, cost reduction, reliability improve-
ment for the PV systems, maximum power point tracking (MPPT), power elec-
tronics converter solutions for different applications and power levels (topologies
and control), power quality improvement, more energy and power density storage,
and an integration with future smart grid [3, 27, 28].
Table 7.2 presents the initial capital costs per watt peak of various types of
power plants on the US market, which includes traditional and renewables [29].
The significant cost reduction of PV power systems has made them an economi-
cally competitive investment. Figure 7.18 shows the projected capital costs of var-
ious energy resources (renewable and non‐renewable) in 2025 compared with those
in 2014 [1, 30]. The grid‐connected solar PV systems will have a further reduction,
 2009
7.766

7.06
6.472
2017 2010
5.23 5.177
4.46 6.19
3.883
4.85
3.82
2.589
2.8
1.85 1.294

2016 2.13 1.42 1.11 2.59 3.34 4.37

2.93 2011

1.78 1.99
1.84
2.71
2.21
3.11 3.82
2.7

3.36

2015 2012

Residential PV
Commercial PV
2013
Utility-Scale PV

Figure 7.16 Installation prices of residential, commercial and utility‐scale PV systems

(USD per watt DC). (See electronic version for color representation of this figure.)

2.5

2
Installation price (USD/Wdc)

1.5

0.5

0
Module Inverter BOS Labor Other Module Inverter BOS Labor Other

Residential (3–10 kW) Commercial (10kW-2MW)

2010 2011 2012 2013 2014 2015 2016 2017

Figure 7.17 Overall trend in system PV costs. (See electronic version for color
representation of this figure.)
360 Chapter 7 PHOTOVOLTAIC ENERGY SYSTEMS

TABLE 7.2 US capital costs of different energy resources in 2016.

Capacity Capital cost

Energy sources (MW) (USD/kW)

Coal
Ultra supercritical coal (USC) 650 3636
USC with carbon capture and sequestration (USC/CCS) 650 5084
Pulverized coal (PC) conversion to natural gas 300 226
PC greenfield with 10‐15% biomass (GCBC, greenfield 300 4620
conversion biomass co‐firing)
PC conversion to 10% biomass – 30 MW (CTBC, 300 537
conversion to biomass co‐firing)
Natural gas (NG)
NG combined cycle (NGCC) 702 978
Advanced NG combined cycle (ANGCC) 429 1104
Combustion turbine (CT) 100 1101
Advanced combustion turbine (ACT) 237 678
Reciprocating internal combustion engine (RICE) 85 1342
Uranium
Advanced nuclear (AN) 2234 5945
Biomass
Biomass (BBFB, biomass bubbling fluidized bed) 50 4985
Wind energy
Onshore wind 100 1877
Solar energy
Photovoltaic – fixed 20 2671
Photovoltaic – tracking 20 2644
Photovoltaic – tracking 150 2534

Geothermal power 2025

Hydro-power 2014
Biomass-AD
Biomass gassification
Wind offshore
Wind onshore
Solar PV-grid
CSP PTC (6h storage)
PTC (Parabolic Trough Collector)
CSP PTC (no storage) CSP (Concentrated Solar Power)

0 0.05 0.1 0.15 0.2 0.25

USD/kwh
Figure 7.18 Worldwide capital cost expectations for various energy resources in 2025
compared with 2014. (See electronic version for color representation of this figure.)
 7.4 Solar PV System Costs 361

allowing them to be competitive with most other energy sources. Figure 7.16 and
Figure 7.17 give an overview of the price reductions of different types of PV sys-
tems (residential, commercial and industrial). As for large‐scale PV power systems,
the prices are currently below or around $1.5 USD/watt peak. In many situations
the PV energy cost has been competing with coal‐ or gas‐fired electrical energy.
The relative costs of system elements are different in various countries and
regions. The total system cost is lower in Asia than in other regions [16]. China has
been leading the global PV market for many years, driven by many attractive incen-
tives and policies put in place to allow their market to reach very high growth.

7.4.1 Incentives for More Investments in PV Systems

There are many incentives created and adopted worldwide to boost investment in
PV systems. A feed‐in tariff (FiT) scheme is an economic policy that has being
introduced since the beginning of the 1970s by many countries to promote the
deployment and production of renewable energies. FiT schemes ensure access of
different PV energy producers to the grid. They usually offer long‐term contracts
with purchase prices based on actual expenditures. Countries provide a FiT for PV
energy in the electricity bill which may change (usually decrease) depending on the
actual PV market price and energy size [31]. Some countries limit the size and type
(residential/commercial/industrial) of PV systems that can benefit from the FiT.
A self‐consumption premium above the retail electricity price is a kind of
incentive scheme that is used to encourage the self‐consumption of electricity, par-
ticularly in the low and medium renewable generation systems. Market premium is
another incentive scheme in which the producer can decide to sell generated renew-
able energy during a specific period of time, rather than getting the fixed tariff.
A direct capital subsidy is another scheme of incentives that is used to push
the installation of grid‐connected PV generation and other renewable energy sys-
tems. Figure 7.19 shows the different schemes of renewable energies incentives [3].

Feed-in Tariff (for the entre…

Direct subsidies or tax breaks

Incentivized Self-consumption or…

2016 Market incentives and enablers

Feed-in Tariff through tender
Historical market incentives and enablers

Others

0% 10% 20% 30% 40% 50% 60% 70%

Figure 7.19 Market incentives and enablers. (See electronic version for color
representation of this figure.)
362 Chapter 7 PHOTOVOLTAIC ENERGY SYSTEMS

The huge and rapid increase in PV‐generated energy can cause grid conges-
tion and delays because the current energy paradigm is not designed to face such
new challenges of fluctuating generated energy. This has forced the use of PV cur-
tailment to protect system reliability, which is a major challenge facing current and
future utilities. Some countries such as China, have ensured minimum guaranteed
utilization hours (purchase requirements) for solar/wind renewable energies, and
have continued to build new ultra‐high‐voltage transmission lines to deal with this
problem.

7.5 GENERAL SCHEME FOR A SOLAR PV SYSTEM

The nominal power of a solar PV system is in the range from hundreds of watts to
several megawatts. So, the installation of PV systems is widespread from domestic
to utility‐scale applications. Depending on the application and the power range, the
PV panels can be arranged in series achieving tens of volts in domestic applications
to up to 1500 V for utility‐scale systems (1500 V is the current voltage limitation
imposed by the PV regulations).
Although PV systems differ a lot depending on their nominal power, it is
possible to represent a generalized power configuration for a PV system (for
stand‐alone or grid‐connected applications). This structure is represented in
Figure 7.20 where some parts are obligatory and others are optional depending
on the nominal power of the PV system or whether the grid‐connected feature is
present [32].
From left to right in Figure 7.20, the PV panels are connected in series/
parallel to achieve the required voltage and power capacity. So, the solar cells can
be arranged to form a single module (domestic applications) or to form large PV
arrays (utility‐scale systems).
The final objective of a PV system is to adapt the sun’s power from DC to AC
signals with grid voltage and frequency ratings. This fact means that in low‐power

For grid-connected application

Optional
PV inverter Optional
Input Output
DC-link (3Φ or 1Φ)
filter filter LF Trafo
Grid
DC/DC DC/AC

Series/parallel Loads in
connection AC load stand-alone
PV modules or applications
single PV module
Figure 7.20 General scheme for a PV system for grid‐connected or stand‐alone
applications.
 7.6 GRID‐CONNECTED PV SYSTEMS 363

PV systems, a DC/DC stage is usually required to boost the PV panels’ voltage

from a few tens of volts up to approximately 450 volts (single‐phase systems) or
700 V (three‐phase systems). This is because the DC voltage has to be higher than
the peak value of the phase voltage (single‐phase grid) or peak value of phase‐to‐
phase voltage (three‐phase system). So, this DC/DC boost stage is optional and
depends on the optimum operation point DC voltage of the PV panels.
The generation of the output AC waveforms is carried out by the DC‐AC
inverter that is connected through an output filter to the grid (grid‐connected appli-
cations) or is connected to different loads without grid connection (stand‐alone
applications). In grid‐connected systems, the PV inverter has to fulfill different grid
codes in order to avoid potential pollution of the grid. On the other hand, in stand‐
alone applications, the PV inverter will operate as an uninterruptible power supply
(UPS) system in order to generate a local grid, also fulfilling the requirements for
specific stand‐alone codes.
One important topic to take into account when a PV system is designed is the
national regulations of the country where the installation will be located. For in-
stance, depending on the national regulation, galvanic isolation may or may not be
required by law. If this is a requirement, in some point of the power system a trans-
former will be required. It can be located in the DC‐DC power converter, usually as
a high‐frequency transformer (if the PV system has this stage), or in the grid‐
connection point as a low‐frequency transformer. For this reason, many PV power
converter manufacturers offer in their portfolios several options, including a trans-
former or transformerless.
Another important issue to mention for a PV system is that the PV panels
(single‐module or large PV arrays) always have to work to extract the maximum
possible energy from the sun. So, the PV panels voltage has to be accurately con-
trolled in order to look continuously for the maximum power point. The required
MPPT algorithm has to be implemented in some of the power converters of the PV
system. If the DC‐DC stage is present, it implements the MPPT method. If not, the
PV inverter will execute the MPPT method, but this introduces control challenges,
because MPPT can change the DC voltage in a limited range from the minimum
demanded by the inverter (i.e., 600 V in three‐phase converters) to the maximum
limited by the blocking voltage of semiconductors and capacitors.

7.6 GRID‐CONNECTED PV SYSTEMS

The design of an efficient and low‐cost PV system strongly depends on the nominal
power to be managed [33]. So, a classification of PV systems can be done that
might include large utility‐scale PV installations (high power), commercial and res-
idential applications (medium and low power, usually up to 150 kWp), and domestic
PV systems (low power, usually below 5 kWp).
364 Chapter 7 PHOTOVOLTAIC ENERGY SYSTEMS

7.6.1 Utility‐scale PV Power Plants

Large PV power plants are being installed all over the world, increasing their
nominal power capacity in recent years to more than 1 GWp. As they normally need
large areas for installation, they are usually located in remote regions. The list of the
top ten large‐scale PV installations in 2018 was summarized in Table 7.1 [13].
Global PV installations reached 415 GWp at the end of 2017. In fact, during
2017 the newly installed solar PV power of over 90 GWp represented a 29.3%
increase over the previous year and another new all‐time record. This increase
during 2017 was more than all the worldwide cumulative installed PV capacity up
to the middle of 2012. These numbers show the competitiveness of the solar PV
sector, and the large PV power plants are the one of the main players [21].
In the last decade, the maximum power of a single PV plant has increased
from 50 MWp up to more than 1500 MWp in 2017 (as shown in Table 7.1). In fact,
power converters for utility‐scale PV systems represented more than 40% of market
sales in the solar PV sector during 2017 [21].
Following the general scheme shown in Figure 7.20, in order to achieve high
nominal power in utility‐scale PV systems, the PV panels are connected in series to
reach voltages as close as possible to 1500 V, which is the limit imposed by current
regulations. In addition, several of these high‐voltage PV arrays are connected in
parallel to achieve the maximum nominal power that can be managed by the power
converters. So, in the utility‐scale PV systems the DC‐DC stage to boost the array
voltage is not required. In fact, the PV arrays are directly connected to the DC‐AC
inverter through a DC‐link capacitor.
A utility‐scale DC‐AC converter is usually called a central PV inverter. The
maximum power of the PV power system in this case is limited by the maximum
current ratings that the power devices of the PV central inverter can manage. The
typical structure of a utility‐scale PV system in represented in Figure 7.21a.
The conventional solution to implementing a central inverter with the existing
voltage limitations imposed by the grid codes and with the current limits of the
power devices is a conventional three‐phase, two‐level voltage source inverter. The
central inverter nominal power is approximately 1 MW, usually implemented with
IGBTs blocking up to 1700 V. The grid connection is done normally by a bulky
low‐frequency transformer. This is the solution shown in Figure 7.21a, and it is
­efficient in terms of reduced power converter costs.
However, one of the drawbacks of this solution is that all PV arrays connected
in parallel to achieve the maximum power managed by the central inverter have to
operate necessarily at the same voltage. So, only one MPPT algorithm can be exe-
cuted by the central inverter. As the area occupied by the PV arrays is quite large in
order to achieve power in the MWp range, the solar radiation is not constant all over
the area (a phenomenon usually called partial shading). Under these conditions, the
PV arrays may not be working in the best conditions, leading to a performance
reduction. In this case, a global MPPT method is executed in order to minimize
the performance reduction, looking for maximum power generation even with non‐
constant solar radiation conditions, which are typical in utility‐scale PV systems [34].
 7.6 GRID‐CONNECTED PV SYSTEMS 365

(a)
Series/parallel connection
of PV arrays
PV inverter Output
DC-link filter LF Trafo Grid

DC/AC

(b)

Series/parallel connection
of PV arrays LF Trafo
Output Grid
PV inverter
DC-link filter

DC/AC

(c)

Series/parallel connection
of PV arrays
PV inverter Output
DC-link filter

DC/AC
Series/parallel connection
Grid
of PV arrays
PV inverter Output
DC-link filter

DC/AC Multi-winding
LF Trafo

Sa Sb Sc

a b c
– – –
Sa Sb Sc

Figure 7.21 General schemes of high‐power PV systems based on central inverters: (a)
single‐channel central inverter; (b) multichannel central inverter; (c) dual central inverter.
366 Chapter 7 PHOTOVOLTAIC ENERGY SYSTEMS

The increase in the maximum PV array voltage (changed in 2015 from 1 kV

to 1.5 kV) has created an interest in the use of other converter topologies that can
operate with higher voltages. The trend in the PV sector is to increase step by step
because higher‐voltage systems enable longer strings, which allow for fewer com-
biner boxes, less wiring and trenching, and therefore less labor. The changes in the
PV regulation pushed academia and industry to explore new, efficient solutions for
utility‐scale PV systems. An example of a new PV central inverter solution is the
three‐level T‐type converter, which is the converter topology chosen by TMEIC.
The Solar Ware 3200 is one of the largest central PV inverters in the 1500 V power
class, and implements this multilevel T‐type solution with high efficiency (98.9%)
and reduced output filter because of the extra output voltage level [35].
If the installation of PV arrays available in the utility‐scale PV power plant is
above the maximum nominal power of just one central inverter (around 1 MWp), it
is usual to install several in parallel, but using only one low‐frequency transformer
as shown in Figure 7.21b. In this case, the system with several central inverters is
inside a cabinet and is economically competitive, reducing the installation costs.
Usually, all the PV arrays over a large area are connected as a single DC input to
the cabinet. However, it has to be commented that not always all central inverters in the
cabinet are managing power. If the solar radiation is lower than the power capacity of
just one central inverter, only one of them in the cabinet manages the power, while the
others are switched off. This is usual in the morning when solar radiation is increasing
hourly. When the solar radiation exceeds the nominal power of one central inverter, an
extra inverter inside the cabinet starts to operate. In this way, the complete power
system becomes more efficient because the power losses of the power converters are
minimized. Also, the efficiency is improved because the number of operating auxiliary
power systems (such as cooling systems) is always kept to a minimum.
Another conventional feature in this multichannel central inverter solution
shown in Figure 7.21b is to have specific DC voltage inputs from different PV
arrays. In this case, each central inverter can execute dedicated global MPPT algo-
rithms leading to a higher energy yield at the expense of increasing the wiring costs.
A recent solution in order to achieve even higher nominal power ratings is to
use the dual central inverter as shown in Figure 7.21c. In this case, several central
inverters are connected to a sole high‐power, multiwinding, low‐frequency trans-
former in order to maximize the efficiency with maximum reduction of price. An
example of this multichannel solution is introduced in Figure 7.22 [36] where the
PV3000WD3HV550 modular inverter by GPTech is shown. It is a 3.3 MW multi-
channel central PV system based on two cabinets connected to a dual‐input, low‐
voltage, low‐frequency transformer. Each cabinet is formed by three independent
central inverters which can have independent DC voltage inputs.

7.6.2 Residential and Industrial PV Applications

Central inverters are the mainstream solution for large PV power plants implementing
converters with a nominal power above approximately 200 kWp. However, there
are a large number of solar PV installations with power below 150 kWp mainly
 7.6 GRID‐CONNECTED PV SYSTEMS 367

Dual-winding
low-frequency
LV transformer Cabinet 2

Cabinet 1

Central control Inverter 1 Inverter 2 Inverter 3

Cabinet
Figure 7.22 3.3 MW multichannel 1500 V central inverter PV3000WD3HV550 by GPTech.

related to industrial, residential, and commercial applications. The cost of the

overall installation is the key factor for designing the system, and efficiency, energy
yield and distributed operation become crucial. These applications from 3 kWp up
to 150 kWp represent 52% of the market share, which is significant in the products
portfolio of many companies.
In residential, industrial and commercial applications, the mainstream solu-
tion is to use so‐called string PV systems. The PV panels are arranged in series/
parallel to achieve the maximum allowed voltage with the highest nominal power.
But usually the installation area is limited, so the nominal power is not high enough
to justify the installation of central inverters, such as in the large PV power plants.
In this case, the typical structure of a string PV system is shown in Figure 7.23.
The PV panel voltage is normally quite low, and a DC‐DC boost converter is
required to step‐up this voltage in order to achieve the necessary DC voltage in the
368 Chapter 7 PHOTOVOLTAIC ENERGY SYSTEMS

Optional
Series connection (depending on
of PV arrays Input DC/DC Converter with Output grid codes)
interleaved operation PV inverter
filter DC-link filter LF Trafo Grid

DC/DC DC/AC

1-Φ or 3-Φ grid connection

depending on the nominal power
and grid codes reqiurements
(usually 3-Φ if P>5 kw)
Sa Sb
S5
Vi Sx Vo
Vi a b
– –
Sa Sb

(a)

Sa Sb Sc
a b c
Vi
– – –
Sa Sb Sc

(b)
Figure 7.23 General scheme for a two‐stage medium‐power PV system based on a string
structure formed by a boost DC/DC converter and a grid‐tied inverter: (a) inverter based on
a single‐phase H5 topology; (b) inverter based on a three‐phase, two‐level topology.

DC‐link (usually around 700 V). The MPPT algorithm to extract maximum energy
from the PV panels is executed by this boost converter. The grid connection is car-
ried out by a PV inverter that is in charge of generating the grid currents with high
power quality, while also keeping the DC‐link voltage controlled and constant.
Depending on the nominal power of the PV system and the national regula-
tions, the string converter can be a single‐phase (with nominal power usually below
5 kWp) or a three‐phase system (power above 5 kWp). If a single‐phase string con-
verter is considered, a typical scheme is shown in Figure 7.23. Conventionally, the
DC‐DC converter is a boost converter and the inverter is the well‐known full bridge.
One option to improve the PV string performance in order to avoid leakage currents
is to replace the full bridge inverter by using other, more complex topologies such
as the H5 (by SMA), H6 (by Ingeteam), or HERIC inverters [37–40]. On the other
hand, if a three‐phase system has to be implemented in order to fulfill the regula-
tions demanded by law, the inverter is typically implemented by a conventional
1200 V IGBT‐based three‐phase, two‐level inverter as shown in Figure 7.24.
However, other solutions based on multilevel converters can also be found (PVS300
by ABB, not yet on the market, or the Smart Energy Center based on the
SUN2000L‐2/3/3.68/4/4.6/5KTL by Huawei). The advantages of using a multilevel
converter topology are the higher quality of the output waveforms, leading to a
reduction in output filters, at the expense of slightly decreasing the efficiency.
 7.6 GRID‐CONNECTED PV SYSTEMS 369

(a)

Series connection PV inverter Output

High-frequency isolated DC-link filter
of PV arrays Input DC/DC converter with Grid
filter interleaved operation
DC/AC
DC
DC

Sa Sb Sc
Sa Sb
Vi a b c
Vi Vo
– – –
– – Sa Sb Sc
Sa Sb

(b)

Series connection PV inverter Output

DC/DC converter with DC-link filter LF Trafo
of PV arrays Input Grid
interleaved operation
filter
DC/AC
DC/DC

Sa Sb Sc

Vi a b c
Vi Sx Vo
– – –
Sa Sb Sc

Figure 7.24 General schemes for a medium‐power PV system based on a multistring

structure: (a) with high‐frequency isolated DC/DC stage; (b) with non‐isolated DC/DC
stage with low‐frequency grid‐connected transformer.

As commented previously, some national regulations demand galvanic isola-

tion in the PV installation. This requirement can obviously be solved by using a
grid‐tied low‐voltage, low‐frequency transformer. Another option that has gained
importance is to introduce the galvanic isolation in the DC‐DC stage by replacing
the boost converter with another DC‐DC converter topology that provides this fea-
ture. In this case, the DC‐AC‐DC converter formed by a full bridge, a high‐fre-
quency transformer and a diode bridge is a typical solution in commercial PV string
products (see Figure 7.24a).
The PV string converters usually achieve nominal power of around 30 kWp
maximum. If the PV installation is above this value, a possible option is to install
several PV string converters connected to independent PV arrays, leading to opti-
mized MPPT per PV array and therefore high energy yield. However, in order to
370 Chapter 7 PHOTOVOLTAIC ENERGY SYSTEMS

reduce the costs, one recent trend for PV manufacturers is to develop string inverters
capable of managing higher nominal power. In recent years, string inverters have
increased their power and some commercial products have achieved 150 kW. For
instance, the Solectria XGI 1500 by Yaskawa is at 166 kW, and suitable for 1500 V
PV arrays. In fact, in this specific case the string inverter avoids the use of a DC‐DC
boost inverter because the PV array voltage is in the range of 860–1450 V. Yaskawa
claims that it is a high‐power, high‐voltage string inverter, but it can be considered
as a low‐power central inverter. The inverter is implemented with a three‐level
neutral‐point clamped (NPC) converter which improves the output filter size and
the power quality compared with the conventional two‐level inverter [41].
Another solution is to extend the PV string configuration when the power is
above 30 kWp, based on implementing the called multistring PV systems shown in
Figure 7.24. In this case, each PV array is connected to dedicated a DC‐DC con-
verter that executes the MPPT algorithm. The DC‐DC converters can operate with
the well‐known interleaving technique, leading to DC‐link currents with reduced
ripple. All the DC‐DC converters are connected to a sole DC‐AC inverter imple-
mented by a conventional three‐phase, two‐level inverter. So, compared with the
solution based on using several string PV systems, some inverters are avoided, thus
optimizing the power converter costs. Therefore, the multistring configuration for
medium‐power PV systems brings the advantages of the central inverters (present in
high‐power PV) and the string configurations (present in low‐power PV). The mul-
tistring PV converters are a very attractive solution for PV systems from 10–150 kWp
present in industrial, residential, or even domestic large rooftop PV installations.
It has to be said that in recent years string converters are doing better in the
market than multistring systems. This is because the power electronics costs are
lowering year by year, making the string solution very competitive. String inverters
are superior to multistring inverters in terms of availability. Using multiple string
converters, even if one of the inverters fails, the remaining string inverters can still
operate. When the inverter of a multistring converter fails, the whole PV system has
to stop its operation. So, several 1500 V string inverters with power above 30 kWp
can be found as commercial products, such as the 95 kW SUN2000‐95KTL‐US by
Huawei, the 125 kW Conext CL125 by Schneider, or the 166 kW SOLECTRIA
XGI 1500 by Yaskawa.
On the other hand, it can be affirmed that the use of string inverters for large PV
installations is becoming competitive compared with large central inverters [42–44].
This has been achieved thanks to the declining prices of power electronics, a better
awareness of their long‐term benefits, and the introduction of string inverters with
higher nominal voltages. For instance, in the US utility‐scale market, it is estimated
that the use of multiple high‐voltage string inverters in large PV installations above
5 MW is expected to continue its rise from less than 5% in 2016 to 22% by 2022.
Although the initial investment and installation costs of multiple string
inverters is higher than implementing conventional large central inverters, the
­operation and maintenance performance of string inverters is superior. The use of
multiple string inverters in a large PV plant converts the installation into a very
 7.6 GRID‐CONNECTED PV SYSTEMS 371

decentralized power system. The obtained energy yield is much higher because of
the dedicated MPPT per string. The flexibility in the plant design is very high, and
the limited weight and size of the string inverters enable easy transportation and
installation. In addition, string inverters are much smaller in power than central
inverters and, after a string converter failure, only a small amount of generated
power is lost. In addition, damaged central inverters are difficult to transport and
repair, requiring specialized personnel, while string inverters are not heavy and can
quickly be replaced by a new unit.

7.6.3 Low‐power PV Systems

Usually, low‐power PV systems focus on rooftop installations in the power range of
hundreds of watts to a few kilowatts. The focus of the design of such PV installa-
tions is to achieve highest efficiency with lowest weight and volume.
As the power is very limited, these systems are usually single‐phase with
galvanic isolation (normally demanded by the regulations). The string inverter is
probably the most competitive solution in PV installations from 2 to 5 kWp. As an
example, GALVO 3.0‐1 by Fronius implements a 3 kW string converter with a
high‐frequency galvanic isolation DC‐DC converter plus a single‐phase inverter.
When the power is below this range, the use of a string PV system is well‐
suited as a “plug and play” device for domestic applications. For PV installations
with a power range from 500 W up to 2500 W, one very attractive solution is the use
of a power electronic system termed a single‐phase inverter with power optimizers.
In this case, the structure is the same that was shown for multistring converters (see
Figure 7.24), where multiple DC‐DC converters are connected to a sole DC‐link
and one single‐phase inverter connects the system to the grid. Using this solution,
due to its high modularity, the cost per watt of the system decreases as the installa-
tion size increases. This is, for instance, the solution provided by SolarEdge,
connecting up to four power optimizers M2640 to a sole SE2000M inverter.
Below the 500 W range, PV inverters are called micro‐inverters or AC‐module
inverters. They are converters connected to a single low‐voltage, low‐power PV
module. The micro‐inverters normally operate with nominal power around 250–
500 W with efficiency above 95%. All the converters including the DC‐DC and the
DC‐AC are very reduced in volume and are usually located just behind the PV
module facilitating the installation procedure. This solution is very efficient in
terms of energy yield because the MPPT algorithm tracks the optimal operation of
a small‐size PV area. As an example of a commercial product, the IQ6+ by Enphase
is a 400 W micro‐inverter with module compatibility from 60 to 72 PV modules
with 97% efficiency.
In Figure 7.25, the typical configurations of a rooftop galvanic isolated PV
system are shown. The power converter which implements the PV system is nor-
mally connected very close to a single PV module or a small PV array with reduced
DC voltage (usually 20–100 V). The required DC‐link voltage to achieve normal
operation in the DC‐AC grid‐tied inverter is at least 450 V, so an initial DC‐DC
372 Chapter 7 PHOTOVOLTAIC ENERGY SYSTEMS

PV module
Input Step-up Output Single-phase
PV inverter
filter converter DC-link filter grid
DC
DC/AC
DC

Vo Sa Sb
a b
Vi Vi

– –
Sa Sb
S1 S2

(a)

Sa Sb
Vi Vo

– –
Sa Sb

(b)
Figure 7.25 General schemes for a low‐power PV system based on a high‐frequency
isolated DC/DC converter and a single‐phase inverter: (a) interleaved DC/DC high‐
frequency flyback converter; (b) resonant H‐bridge and diode bridge rectifier.

stage is required. For this DC‐DC converter, several solutions can be found as
commercial products [45, 46]. For instance, high‐frequency interleaved (or not)
flyback converters or full‐bridge resonant converters can be found. On the other
hand, for the PV inverter, the conventional solution is to use a 600 V MOSFET‐
based full bridge because of its simplicity, low cost, high efficiency and maturity.
Although the impact of low‐power PV systems in the PV market is still
limited (4% of the PV market in 2017 [21]), the growth of this type of domestic and
residential installation has been great in recent years, and a significant increase in
this market is expected in the future.

7.7 CONTROL OF GRID‐CONNECTED PV SYSTEMS

The control scheme of a PV system strongly depends on its structure, which is directly
related to its nominal power as commented in the previous section [47, 48]. The PV
system can formed by one or two power converter stages, as introduced in Figure 7.20.
 7.7 CONTROL OF GRID‐CONNECTED PV SYSTEMS 373

If a high‐power PV system is considered, only one stage is required, as shown

in Figure 7.21a where only a central inverter is required to integrate the PV system
to the grid. The control scheme to be implemented in such PV systems is introduced
in Figure 7.26a. The main controller objective is the accurate tracking of the MPPT
algorithm in order to extract the maximum power from the PV arrays with the
actual solar radiation conditions. Once the MPPT is executed, the required PV array
*
DC voltage VPV is the input for a conventional voltage oriented control (VOC) using
the synchronous d‐q frame (note that this is not the case in single‐phase inverters)
[49]. The VOC strategy generates the reference phase voltages (va* , vb* and vc*) to be
generated by the inverter. The VOC method normally tracks the unity power factor,
also looking for high‐quality output currents fulfilling grid codes. It is possible to

(a)
Series/parallel connection
of PV arrays
PV inverter Output ia, ib, ic
DC-link filter LF trafo Grid
iPV V + DC/AC
PV
–

Si PLL
PWM
abc/dq θg

Zero-sequence injection id, iq

VPV, iPV
v*a, v*b, v*c
dq/abc θg MPPT
*
v*d, v*q VPV

DC Voltage regulation loop +

decoupled current (id, iq) PI controllers

(b) Optional if isolation

is not required
Series connection or is present in
of PV arrays Input the dc/dc stage
PV inverter Output
filter DC-link filter LF trafo Grid
+ + ia, ib, ic
iPV VPV DC/DC VDC DC/AC
– –

Si
PLL
VPV , iPV Sj PWM
abc/dq θg
MPPT PWM Zero-sequence injection id, iq
v*a, v*b, v*c
*
*
VPV Duty cycle D dq/abc θg V DC

v*d, v*q

PV voltage regulation loop + DC voltage regulation loop +

DC current controller decoupled current (id, iq) PI controllers

Figure 7.26 Control schemes of: (a) a typical single‐stage PV system for a large PV
power plant; (b) a typical two‐stage PV system for industrial or domestic applications.
374 Chapter 7 PHOTOVOLTAIC ENERGY SYSTEMS

add a zero‐sequence injection method such as the min‐max strategy in the final
­generation of the reference voltages in order to maximize the usage of the DC‐link
voltage. Finally, the inverter switching signals are generated by a pulse width
­modulation (PWM) strategy.
If the PV structure demands the use of a DC‐DC stage (as happens with string
converters, multistring converters and low‐power PV systems shown in Figures 7.23,
7.24 and 7.25), a VOC method is also implemented in the inverter. However, in con-
trast to what happens in the large central inverters, in this case the DC‐link voltage
VDC is kept constant. In this case, the MPPT algorithm is not carried out in the
inverter, but it is implemented in the DC‐DC stage. In this way, the only objective
of the DC‐DC converter is to track accurately the MPPT voltage reference, which
leads to highest power production. The control scheme of a two‐stage PV system is
represented in Figure 7.26b.

7.8 STAND‐ALONE PV SYSTEMS

Stand‐alone (off‐grid) PV power systems are losing their share of total cumulative
PV capacity in the global market due to dynamic development of grid‐connected
systems as well as higher prices for stand‐alone applications caused by storage bat-
tery requirements. The market share of stand‐alone PV systems over the last 16
years has reduced from 15% in 2000 to below 0.4% in 2016. Their share was
105 MW in 2016, while the cumulative capacity was 1150 MW. This is very low in
comparison to 302 GW (centralized and decentralized) of total cumulative capacity
of grid‐connected installations [3]. Leading countries in stand‐alone systems are
presented in Table 7.3.
However, stand‐alone PV systems have important social benefits because
there are still 1.2 billion people all over the world living without access to the
electric grid [50]. For these people, stand‐alone PV installations particularly have
become a viable solution for creating small‐scale or large‐scale hybrid ­systems

TABLE 7.3 2016 cumulative capacity of stand‐alone solar PV systems worldwide.

Ranking Country Power

1 China 360 MW
2 Australia 209 MW
3 Japan 161 MW
4 Spain 143 MW
5 Canada 61 MW
6 Germany 50 MW
− All other countries 166 MW
− TOTAL 1150 MW
 7.8 STAND‐ALONE PV SYSTEMS 375

with energy storage and gas/diesel generators as part of bigger islanded microgrids.
This issue is becoming more attractive for research and deployment toward trans-
forming to smart grid and solving the problems of rural areas [51, 52].
Generally, stand‐alone PV applications can be divided into:

•• Pico PV systems (P < 10 Wp)

•• Domestic PV systems (10 Wp < P < 10 kWp)
•• Commercial/institutional PV systems (P > 10 kWp)

Pico PV systems are the only rapidly developing part of stand‐alone applica-
tions, taking into account the number of produced devices, which gave impressive
multiple market growth during recent years [50]. They are used mostly as charging
devices for efficient lights (e.g., LEDs), mobile phones or radios.
The number of other stand‐alone domestic PV installations is not as impres-
sive. They are used only in households for lighting, water pumping, or low‐power
loads if the electricity distribution network is at a distance of several kilometers and
connection is unviable.
Stand‐alone commercial/institutional PV systems are also rarely applied.
Mostly they are used as hybrid installations with a diesel generator in
microgrid for telecommunication devices or water pumping stations, which
reduces fuel consumption or provides more reliable post‐fault operation in
case of blackout.
Power electronics converters used in stand‐alone domestic and commercial
PV systems are available in the portfolio of most producers and can be used in DC
(only domestic) or AC (domestic and commercial) systems, as shown in Figure 7.27.
The AC system shown in Figure 7.27b is more popular because it is easily scalable,
has a similar structure to the public grid, is simple to install, and scalable (gives the
option to add other elements of smart grid, like wind turbines or gas/diesel genera-
tors). It is worth mentioning that the large majority of installations include energy
storage as a mandatory part of a stand‐alone system. It stores energy when there is
low demand and provides more energy at peak times, but it also brings better
voltage and frequency stabilization of the AC system.
One of most important parts of stand‐alone PV systems is the control
method of the DC/AC converter. The simplest control method in the case of a
single converter connecting PV with the local load is based on the closed
voltage control loop (Figure 7.28). The synchronous rotating coordinate system
d‐q is used to determine the reference voltage vector as shown in Eq. (7.1),
where component vd* in d‐axis describes the amplitude of the reference voltage
and ω* its frequency. Next, after a simple voltage control loop, reference voltage
signals (Vd* , Vq* ), after reverse transformation dq/αβ to the stationary coordinate
system shown in Eq. (7.2), are given to the modulator [53]. The solution intro-
duced in Figure 7.28 can be easily applied in the case of a three‐phase symmet-
rical load. If single‐phase or asymmetrical three‐phase load is applied, the
system has to be four‐wire, which demands the application of a four‐leg DC‐AC
376 Chapter 7 PHOTOVOLTAIC ENERGY SYSTEMS

(a)
Series/parallel connection
of PV arrays
Input
filter DC-link

DC/DC DC
converter load

BMS
DC/DC
converter

Battery

(b)
Series/parallel connection
of PV arrays
Input
filter

DC/AC (3Φ or 1Φ)

converter

AC load
BMS
DC/AC
converter

Battery

Figure 7.27 Configuration examples of domestic and commercial stand‐alone PV

systems: (a) simple DC‐based; (b) single or three‐phase AC‐based.

converter or a delta‐star transformer installed between a three‐leg converter and

the asymmetrical load.

vd cos sin v
(7.1)
vq sin cos v

v cos sin vd
(7.2)
v sin cos vq

In larger PV stand‐alone systems, where several DC‐AC converters are connected

in parallel to the same islanded microgrid, most frequently droop control is applied
[54]. It assumes that the active (P) and reactive power (Q) are calculated as [55]:
 7.8 STAND‐ALONE PV SYSTEMS 377

DC/AC
converter
Transformer
(optional)

VDC Load

Sa Sb Sc va vb vc

Modulator abc/αβ

Vα* Vβ* vα vβ
γ
dq/αβ αβ/dq

Vq′* Vd′* vd vd

ω*
PI PI

vq – – vd

+ + *
vd
vq* = 0 Control block

Figure 7.28 Scheme for the VOC in the stand‐alone mode of operation.

EV
P sin
X
(7.3)
EV cos V2
Q ,
X
where E is the converter voltage amplitude, V is the filtered output voltage amplitude,
X is the coupling impedance, and φ is the angle between E and V.
From Eq. (7.3) it is possible to assume that the active power depends mainly
on the angle φ, which changes indirectly by the converter voltage pulsation error
Δω. On the other hand, the reactive power depends on the converter voltage
amplitude E, as seen from Figure 7.29.
The above relations are implemented in the control algorithm (Figure 7.30),
where estimated and filtered active (P) and reactive (Q) powers as well as nominal
*
voltage amplitude (Vamp ) and voltage pulsation (ω*) are used in the outer drop con-
trol loop to determine the reference converter voltage vector (Vd* , ). After transfor-
mation to the stationary coordinate system dq/αβ, the voltage inner control loop and
378 Chapter 7 PHOTOVOLTAIC ENERGY SYSTEMS

(a)
ω
Rectifier Inverter

ω*
∆ω1
∆ω2

∆P1 ∆P2 P

(b)

E
Capacitive load Inductive load

E*
E1
E2

Q1 Q2 Q

Figure 7.29 Droop characteristics. (a) P–ω; (b) Q–E.

DC/AC
converter Transformer
(optional)

Islanded
VDC
microgrid

iα iβ vα vβ
Sa Sb Sc va vb vc ia ib ic

Control block
The instantaneous
Modulator abc/αβ abc/αβ
power estimation

p q
vα vβ iα iβ
* *
Vβ Vα LPF LPF
*
iα vα P Q V amp
– * – * * +
+ iα + Vα Vd – Q
PR PR n
dq/αβ γ P
+ + –
PR PR m
* *
– iβ – Vβ +
*
iβ vβ *
Vq = 0 ω

Figure 7.30 Scheme of droop control in the islanded microgrid mode of operation.
 7.9 ENERGY STORAGE SYSTEMS FOR PV APPLICATIONS 379

the current inner control loop with PR controllers are used. The droop coefficients
(m,n) are constant and they are proportional to rated active (PN) and reactive (QN)
power respectively [56]:

max
m
PN
(7.4)
Vmax
n
QN

where Δωmax is the maximum allowed increase of voltage pulsation, and ΔVmax is
the maximum allowed increase of voltage amplitude.

7.9 ENERGY STORAGE SYSTEMS FOR PV

APPLICATIONS

Since solar energy is not always available, it should be partly stored in an efficient
manner. Energy storage systems (ESS) can be classified as small local (up to
50 kWh) or distributed (with capacity above 50 kWh). Another classification is
related to nominal power ratings of converter‐connecting ESS:
•• domestic (LV, P < 10 kW)
•• small institutional (LV, 10 kW < P < 25 kW)
•• large institutional (LV, 25 kW < P < 100 kW)
•• small commercial (LV or MV, 100 kW < P < 500 kW)
•• large commercial (LV or MV, 500 kW < P < 2500 kW)
The recent rapid growth of ESS applied to power systems has been observed
because ESS have obtained a level of mature technology accepted by the transmis-
sion system operator (TSO) and the distribution system operator (DSO). The recent
biggest ESS installations supporting power systems are shown in Table 7.4. ESS
installed directly to support high power PV power plants are still not common, but

TABLE 7.4 Largest energy storage installations directly supporting power systems.

Power/capacity Battery type Location Year

1 50 MW/300MWh Soldium‐sulphur Buzen Substation, Japan 2016

2 100 MW/129MWh Lithium‐ion Hornsdale Power Reserve, Australia 2017
3 30 MW/120MWh Lithium‐ion Escondido Substation, USA 2017
4 20 MW/80MWh Lithium‐ion Pomona Substation, USA 2017
5 20 MW/80MWh Lithium‐ion Mira Loma Substation, USA 2017
6 40 MW/40MWh Lithium‐ion Minamisoma Substation, Japan 2016
380 Chapter 7 PHOTOVOLTAIC ENERGY SYSTEMS

TABLE 7.5 Largest energy storage installations directly supporting solar PV plants.

Power/capacity Battery type Location Year

1 15 W/60 MWh Redox flow 111 MWp SoftBank Tomatoh, Abira Solar Park, 2015
Japan
2 14 W/53 MWh Lithium‐ion 140 MW of RES (wind + PV) 2011
2 W/8 MWh Redox flow 40 MWp solar PV, China 2016
3 13 MW/52 MWh Lithium‐ion 17 MWp Tesla Solar Plant, USA 2017
4 2 MW/14 MWh Sodium‐sulfur 2 MWp Vaca Dixon Solar Plant of Vacaville, USA 2012
5 2.6 MW/3.2 MWh Lithium‐ion PV (1 MW) + Wind Park (4.5 MW) in Azores, 2016
Portugal
6 0.5 MW/2 MWh Lead‐acid 0.5 MWp Albuquerque PV Park, USA 2011
7 1.3 MW/2 MWh Lead‐acid 68 MWp Solarpark in Alt Daber, Germany 2014
8 0.5 MW/2 MWh Lithium‐ion 1 MW solar PV plus diesel generators, Australia 2016

the situation is changing due to the continuous cost reduction of battery stacks and
new hard restrictions imposed by the grid codes. The forecast shown in [57] expects
a multiple increase in ESS associated with PV systems to 45–75 GWh in 2030.
Examples presenting first installations are shown in Table 7.5.
Future investment in and installation of energy storage is also promising. One
significant reason for that is the dynamic market development of electric vehicles
(EVs) and the utilization necessity for chemical batteries removed from EVs, which
can be still used (as a secondary life) in ESS applied for RES or power systems.
According to the scenario described in [58, 59], the cumulative installed capacity of
secondary live batteries in electrical power systems will reach 230 GWh and
1000 GWh in 2025 and 2030 respectively.
The crucial part of an ESS is the power electronics converter which,
besides the main function of optimal energy management in storage, can provide
additional functionalities such as: active and reactive power control, individual
power control per phase [60], easy islanding and black start, as well as harmonic
cancellation of other non‐linear loads installed close to the PV plant [49].
Possible system configurations for ESS are presented in Figure 7.31. The most
common application in the case of ESS directly supporting a PV plant or power
system is the centralized ESS with common DC‐bus (Figure 7.31a), where
capacity of the system can reach a few dozens of MWh. The decentralized con-
figuration shown in Figure 7.31b is very interesting because it provides more
flexibility and redundancy. Therefore TESLA company, based on this configura-
tion, decided to start the huge project of a virtual power plant in South Australia
(final commissioning in 2022), where each of 50,000 houses will have installed
solar panels (5 kW) and battery storage (13.5 kWh) to give an impressive total
virtual power plant of 250 MWp and capacity of 675 MWh. A detail of the con-
trol scheme for a decentralized grid‐connected PV system with a battery‐based
ESS is shown in Figure 7.32.
 7.10 OPERATIONAL ISSUES FOR PV SYSTEMS 381

(a)

AC grid

PE converter 1 PE converter 2

DC/AC DC/AC
with P/Q control with P/Q control

DC/DC DC/DC DC/DC DC/DC

with MPPT with EMS with EMS with MPPT

BMS BMS

Battery Battery

Series/parallel connection Series/parallel connection

of PV arrays of PV arrays
Figure 7.31 System configurations of battery energy storage with PV: (a) common
DC‐bus (master/slave configuration); (b) separate DC‐bus for system redundancy and
flexibility. EMS, energy management system; BMS, battery management system.

7.10 OPERATIONAL ISSUES FOR PV SYSTEMS

Controlling the quality, reliability and safety of the grid connection in PV system
installations has become crucial mainly in the last decade, due to the increasing
number of PV installations. PV systems are now a non‐negligible part of our energy
production, and some requirements are demanded by energy distribution com-
panies in order to keep the electrical grid stable and providing a minimum power
quality. The regulation of PV systems is defined in both installation and operational
aspects. Numerous technical and non‐technical regulations should be considered
and deeply analyzed to achieve safe installations, and robust and high‐quality
operation.
The main purpose of codes and regulation is to establish the basic rules,
­procedures, guidelines and standards for the PV system to plan, develop, maintain
and ensure secure, reliable and efficient operation of the PV system in a technical
and economic manner. There are several types of standards: national standards, grid
(b)

AC grid

PE converter1 PE converter2

DC/AC DC/AC
with P/Q control with P/Q control

DC/DC DC/DC DC/DC

DC/DC
with MPPT with EMS with MPPT
with EMS

BMS BMS

Battery Battery

Series/parallel connection Series/parallel connection

of PV arrays of PV arrays
Figure 6.31 (Continued)

Sab VPV iPV

PWM MPPT
Di V *PV
PV voltage regulation loop +
current controller

VSI Output
filter

DC Grid

DC

DC VOC

DC

iabc vabc
Si

PS-PWM
BMS control PLL
θg
v*abc dq abc
dq θg Q* v*dc
abc
v*dq idq

Voltage regulation loop + PR controllers

Figure 7.32 Details of the control scheme of a grid‐connected PV system with a battery‐
based ESS.
 7.10 OPERATIONAL ISSUES FOR PV SYSTEMS 383

codes, and company regulations or guides when there is a lack of detailed require-
ments for the company needs. Various standards have been already established
worldwide. The major technical barrier for the PV industry regarding grid
integration is the wide variety of requirements which may vary from country to
country, and in many cases even from utility to utility. However, most of the require-
ments originate from already known standards such as IEEE1547 and UL1741,
which include regulations about power quality, responses to abnormal conditions,
islanding protection, passive system participation, and the testing procedures for
PV distributed resources. The standards can be classified depending on the
organizations involved in their definition (IEC, International Electro‐technical
­
Commission; UL, Underwriter Laboratories Inc.; IEEE, Institute of Electrical and
Electronics Engineers; CEN, European Committee for Standardization). However,
it can be affirmed that the regulations depend on each country and that global
­standardization is not currently achieved. Standards to be fulfilled by PV converters
are summarized in Table 7.6.
The stochastic nature of PV systems and the operation of PV power electronic
converters can cause voltage fluctuations and flickering, which are very negative for
grid stability and safe operation. A PV system injects current harmonics into the grid
and it is not possible to avoid it completely. In order to reduce this problem, the
IEEE519 standard recommends that the consumer should confirm that power factor
correction capacitors or harmonic filters are not being overstressed by excessive har-
monics, and that the level of harmonic distortion at the point of common coupling
(PCC) is affordable. A usual rule is that the current total harmonic distortion must
be below 5% of the fundamental frequency current at rated inverter output. The grid
codes usually also define a maximum limit for each harmonic order.

TABLE 7.6 Summary of international standards and recommendations for PV systems.

Standard Focus

EN50524 Data sheet and name plate for photovoltaic inverters in grid parallel operation
EN50530 Overall efficiency of photovoltaic inverters including the procedure to
measure the accuracy of the MPPT
UL1741 Inverters, converters, controllers and interconnection system equipment for
stand‐alone or grid‐connected power systems
IEEE1547 Interconnecting distributed resources with electric power systems including
voltage and frequency regulation, power quality, ride‐through capability
and anti‐islanding operation
IEC61683 Power conditioners – Procedure for measuring efficiency
IEC62109 − 1 Safety of Power Converters for Use in PV Power Systems – Part 1: General
Requirements
IEC62109 − 2 Safety of Power Converters for Use in PV Power Systems – Part 2: Particular
Requirements for Inverters
IEE929 Recommended Practice for Utility Interface of PV Systems
IEC61727 PV systems – Characteristics of the utility interface
384 Chapter 7 PHOTOVOLTAIC ENERGY SYSTEMS

The operation of PV systems when a grid fault occurs has been the focus of
regulations in the last decade, becoming increasingly crucial because the number of
PV systems connected to the grid is growing. Voltage or frequency grid faults
appear when the measured frequency or voltage reache an error threshold continu-
ously for a predefined time. Regulations related to voltage ride‐through or fre-
quency ride‐through are now demanded by the utility in order to prevent fast PV
installation disconnections when a short‐time voltage or frequency faults appear.
These regulations force the PV system to be connected to the grid even when the
fault occurs, helping the grid in the recoveryprocess and avoiding the domino effect
of a grid blackout. If the fault continues, finally the PV system carries out a con-
trolled disconnection from the electric power grid. These regulations were initially
demanded for wind energy systems and now is a requirement for high‐power PV
systems as well.
Nowadays, PV systems are designed to support the grid, providing several
ancillary services and preventing a total blackout of the electrical service. On the
one hand, voltage regulation describes the ability of the PV system to regulate its
voltage within acceptable limits. It is implemented with the injection of reactive
power, making a contribution to the stabilization of the grid voltage at the intercon-
nection point. PV systems should be designed to operate between minimum and
maximum utilization voltage ranges. The over‐ and under‐voltage levels and the
corresponding trip times should be in accordance with the standards.
In addition, the PV system has to operate in synchronisation with the grid.
For any country, the PV system has to follow the frequency operating window stan-
dards of that country. In North America as an example, the accepted operating fre-
quency range is 59.3–60.5 Hz. Utilities may require adjustable operating frequency
settings for intermediate and large systems. The over‐ and under‐frequency levels
and the corresponding trip times should be in accordance with the standards.
Frequency regulation service is carried out, defining the droop curve to be applied
over the active power reference to help the system recovery to the nominal grid
frequency.
The power factor of a PV system is also regulated by some standards. In this
way, for instance when the power output is greater than a specific percentage value
of rated output, the average PV system power factor should be higher than a
corresponding number (lead or lag).
Another regulation recently introduced for large PV systems is called power
curtailment. In this case, under some circumstances the utility can demand the PV
system to limit the active power injected in the PCC. This can be easily done by
modifying the operation of the MPPT algorithm. In this case, the MPPT does not
track the maximum power but it looks for the PV operation voltage in order to gen-
erate the maximum instantaneous power allowed by the utility. Obviously, power
curtailment is negative from the PV system owner point of view, so the utility com-
pensates this lost profit. In order to minimize the power curtailment, the PV system
can include an energy storage system (ESS). The ESS can store the energy when
 7.11 CONCLUSIONS 385

this is limited by the utility, and injects this energy into the grid when it is more
profitable for the PV plant operator.
Islanding is a negative effect that occurs when a portion of the utility system,
which contains both load and the PV system, becomes isolated. Under some cir-
cumstances the PV system does not detect the shutdown of the grid and continues
providing power to the local load. This phenomenon can become dangerous for the
grid utility staff because they could assume that the grid wires can be repaired
safely and they may not know that the local line is powered.
So, there are PV regulations in order to detect this phenomenon, forcing the
PV system disconnection before a specific time to prevent hazards when a grid
blackout happens. Also, some extra regulations are imposed in order to prevent
overcurrents in the PV equipment once the grid recovers (soft‐start reconnection).
Anti‐islanding detection methods for PV systems can be divided into three main
categories: passive inverter‐resident methods, active inverter‐resident methods, and
other techniques not resident in the inverter, which include the use of communica-
tions between the utility and PV inverter [61]. Some features of these methods are:
1. Passive inverter‐resident methods rely on the detection of abnormal condi-
tions in the voltage at the point of common coupling (PCC) between the PV
inverter and the utility.
2. Active inverter‐resident methods use a variety of methods to attempt to cause
an abnormal condition in the PCC voltage that can be detected to prevent
islanding.
3. Active methods not resident in the inverter also actively attempt to create an
abnormal PCC voltage when the utility is disconnected, but the action is
taken on the utility side of the PCC. Communications‐based methods involve
a transmission of data between the inverter or system and utility systems, and
the data is used by the PV system to determine when to continue operation.
On the other hand, condition monitoring and fault detection are important for
increasing the efficiency, safety and reliability of PV systems. Various condition
monitoring techniques for PV systems reported in the literature can be broadly cat-
egorized based on statistical analysis, which uses energy production data from the
inverter of the PV system.

7.11 CONCLUSIONS

Solar energy systems have become a promising clean energy resource in terms of
potential, price, and accessibility worldwide. It has become a mature technology
and an essential element for future energy scenarios. The continuous development
of materials has led to new families of solar systems that are more efficient, com-
pact, and cheap. The growth rate of PV systems worldwide indicates that this type
of energy will, in few decades, become the largest source of energy.
386 Chapter 7 PHOTOVOLTAIC ENERGY SYSTEMS

Future development will focus on:

•• New PV panel materials with increased efficiency and reduced cost.
•• Development of PV power electronics converter topologies and control, with
maximized efficiency, minimized cost, increased reliability and fault‐tolerant
operation.
•• More policies with fewer incentives because the PV market will compete with
other renewable and non‐renewable solutions.
Demand for economic profit maximization will force investors to use energy
storage installations (batteries with improved lifetime and reduced cost) supporting
PV installations to save extra energy if a power curtailment is required, or adding
active and/or reactive power if the grid demands it. Future PV installations will be
a major part of modern smart grids, with integrated communications systems,
which can easily emulate a virtual power plant and react quickly for energy demand
and grid stability.

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project in hachinohe: Microgrid with private distribution line,” 2007 IEEE International Conference
on System of Systems Engineering, April 2007, pp. 1–6.
[53] G. Holmes, T. Lipo and T. A Lipo. Pulse Width Modulation for Power Converters: Principles and
Practice, Piscataway, NJ: IEEE‐Wiley, 2003.
[54] A. Trzynadlowski. “Power electronic converters and systems: Frontiers and applications,” in IET
Power and Energy Series, 2015. doi:10.1049/PBPO074E
[55] J. M. Guerrero, N. Berbel, J. Matas, J. L. Sosa and L. G. de Vicuna. “Droop control method with
virtual output impedance for parallel operation of uninterruptible power supply systems in a
microgrid,” APEC 07 – Twenty‐Second Annual IEEE Applied Power Electronics Conference and
Exposition, Feb. 2007, pp. 1126–1132.
[56] A. Milczarek, M. Malinowski and J. M. Guerrero. “Reactive power management in islanded
microgrid? Proportional power sharing in hierarchical droop control,” IEEE Transactions on Smart
Grid, vol. 6, no. 4, pp. 1631–1638, July 2015.
[57] “Electricity storage and renewables: Costs and markets to 2030.” In International Renewable
Energy Agency. Available online at www.irena.org, Oct. 2017.
[58] “Battery storage for renewables: market status and technology outlook.” In International
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[59] G. Reid and J. Julve. “Second life‐batteries as flexible storage for renewable energies,”
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[60] M. Sedlak, S. Stynski, M. Malinowski and M. P. Kazmierkowski. “Power management in four‐leg
converter interfacing res with the grid,” 15th European Conference on Power Electronics and
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[61] S. Kouro, B. Wu, H. Abu‐Rub and F. Blaabjerg, Photovoltaic Energy Conversion Systems. John
Wiley & Sons, Ltd, 2014, ch. 7, pp. 160–198. doi:10.1002/9781118755525.ch7
 Ch a p t e r  8
OCEAN AND GEOTHERMAL
RENEWABLE ENERGY SYSTEMS
Annette von Jouanne and Ted K.A. Brekken

8.1 INTRODUCTION

Renewable ocean wave, tidal and current, ocean thermal, and geothermal energy
resources represent significant potential energy resource contributions to enable
diversified energy portfolios. Energy from waves, currents, and ocean thermal can
be considered as different forms of solar energy, while tidal energy is essentially
from the gravitational interaction of the Earth, our moon and sun. Completely sep-
arate from ocean energy, geothermal energy originates primarily from the radioac-
tive decay that occurs deep within the Earth and from residual heat from the
formation of the Earth. Ocean wave energy is the potential and kinetic energy of the
water within a wave, and shows promise for both grid‐connected bulk electricity
generation and autonomous, off‐grid applications with integrated self‐powering
capabilities. Tidal and current energy is the kinetic energy in moving water, such as
a stream or tidal inlet. Ocean thermal energy is the energy recoverable in the tem-
perature gradient between warm surface water and cold deep water. Geothermal
energy is the energy available in hot rock and water deep underground. This chapter
presents key techno‐economic findings, including assessments of the resources
(global as well as US estimates) and near‐term and long‐term cost projections for
grid‐connected ocean wave, tidal and current, ocean thermal, and geothermal
energy, including conversion technologies and grid interface characteristics. In
addition, the unique constraints placed upon rotational electric machines (e.g., in
wave and tidal energy converters) are discussed. Autonomous, non‐grid‐connected
ocean wave energy applications are also presented, including adapting utility‐scale
wave energy devices for small‐scale autonomous and sensor applications.

Power Electronics in Renewable Energy Systems and Smart Grid: Technology and Applications,
First Edition. Edited by Bimal K. Bose.
© 2019 by The Institute of Electrical and Electronics Engineers, Inc.
Published 2019 by John Wiley & Sons, Inc.

391
392 Chapter 8 OCEAN AND GEOTHERMAL RENEWABLE ENERGY SYSTEMS

8.2 WAVE ENERGY

8.2.1 Resource Characteristics

The sun’s uneven heating of the Earth’s surface drives our winds, and the winds
create the waves. The power density increases with each stage of energy conversion
from solar energy, to wind energy, and then to wave energy. Thus, wave energy can
be considered a concentrated form of solar energy. The density of ocean wave
power is of the order of tens of kW per meter of crest length (perpendicular to the
direction the wave is moving toward the shore). This high power density makes
ocean wave power an attractive resource, along with good forecastability and lower
variability, compared with solar and wind [1, 2].
Waves are created by multiple factors, but dominant among them for deep‐
water waves is the creation of a pressure differential across the crest and trough
caused by air flowing over the wave. The air moves more quickly over the crest of
the wave than the trough, which causes a relatively high pressure at the crest, and
low pressure over the trough. This relative pressure differential increases the size of
the wave.
The movement and elevation of the ocean wave represents kinetic and poten-
tial energy, which is transferred from one water molecule to the next as the wave
propagates. The energy moves at the wave group velocity, which for large ocean
swells in deep water is typically on the order of 5–10 m/s. Wave power generally
has good forecastability due to the relatively slow propagation of energy and the
low energy loss [3].
Wave power is calculated by multiplying the wave energy by the group
velocity, and is typically 30 kW per meter of wave front (transverse to the wave
propagation direction) and higher for a good wave power site (e.g., the West Coast
of the US). The equation for wave power (W/m) is

g2 2
P Hs Te (8.1)
64
where P is the wave power per meter of wave front (transverse to the direction of
wave propagation), ρ is the water density, g is the acceleration due to gravity, Hs is
the significant wave height, and Te is the energy period [4]. The power is propor-
tional to the square of the wave height, and directly proportional to the wave period.
Figure 8.1 below shows the ocean power per meter for the United States. The
resource generally increases from south to north, and is much larger on the West
Coast than the East Coast. The total available wave energy resource along the US
West Coast (including Alaska) is estimated to be 2640 TWh/yr (301 GW average).
The total recoverable wave energy resource is 1170 TWh/yr, assuming 15 MW of
rated generation per km [5]. That is approximately 25% of the US electrical needs,
compared with an estimated 3897 TWh of electrical energy supplied to the grid in
2015 [6]. The global total average wave power estimate is over 2000 GW [7].
 WEF| Annual (kW/m)
< 10
10 – 15
15 – 20
20 – 25
25 – 30
30 – 35
35 – 40
40 – 50
50 – 60
60 – 70
70 – 80
80 – 100
> 100

Figure 8.1 Annual wave energy per meter for the US (image from [1]). (See electronic version for color representation of this figure.)

393
394 Chapter 8 OCEAN AND GEOTHERMAL RENEWABLE ENERGY SYSTEMS

8.2.2 Wave Energy Conversion Technologies and Resource

Characterization
Wave energy converters (WECs) designed to harness that wave power can be
broadly classified into three categories [8]: oscillating bodies, overtopping devices,
and oscillating water columns (OWCs).
The operation of oscillating bodies is such that the cyclical forces induced by
the passing waves cause the device to move relative to the mooring point. This overall
cyclical motion can be in any of six degrees of freedom, specifically heave, surge,
pitch, roll, yaw, and sway. Heave, surge, and pitch are the most typically employed in
wave energy devices. Examples of oscillating bodies include the SeaRay from
Columbia Power Technologies, the Powerbuoy from Ocean Power Technologies,
the Weptos WEC, and the NWEI Azuray (Figure 8.2 through Figure 8.5).
The second category is the oscillating water column (OWC). OWC devices
use the pressure caused by the vertical motion of the water surface to pressurize air
in an enclosed chamber to drive an air turbine [10]. An air turbine is driven by this
pressurized air as it is released through a narrow aperture in the chamber. Examples
of this technology include the Limpet, the Mutriku wave power plant in Spain, a
500 kW OWC at Jeju island in Korea, the Oceanlinx series of wave energy con-
verters, and the Ocean Energy OWC (Figure 8.6 through Figure 8.8).
Overtopping devices operate similarly to hydroelectric dams, where in ocean
applications a narrowed channel or ramp forces the ocean water at the crest of a
wave to spill over a retaining wall, filling a basin in order to create a low‐head hydro
effect to power a turbine. Some of the earliest and largest projects have been of this
type, including the Tapchan project in Norway and the Danish Wave Dragon project
(Figure 8.9) [12].

Nacelle
Wave direction

Aft float

Fore float

Spar
Damping plate

Figure 8.2 Columbia Power Technologies SeaRay (image from [9]).

 8.2 WAVE ENERGY 395

Figure 8.3 Ocean Power Technologies PB3 PowerBuoy deployed off the coast of New
Jersey (image from [1]).

Figure 8.4 Weptos WEC (image from [1]).

396 Chapter 8 OCEAN AND GEOTHERMAL RENEWABLE ENERGY SYSTEMS

Figure 8.5 Northwest Energy Innovations (NWEI) Azura (image from [1]).

(a) (b)

Figure 8.6 (a) Pico OWC; (b) demonstration plant at Toftestallen (image from [11]).

Wave resource characterization conventionally uses long‐term deployments

of wave measurement buoys, such as from the US National Data Buoy Center
(NDBC) or the Coastal Data Information Program (CDIP). These deployments
must last several years to capture all of the variability in a wave climate at a specific
site. When buoy data is not available, model hindcast data, such as from
 8.2 WAVE ENERGY 397

Figure 8.7 Oceanlinx MK1 full scale prototype (image from [11]).

Figure 8.8 Wavegen Mutriku breakwater (image from [11]).

WAVEWATCH III, is used. The results are often combined into joint probability
distributions of significant wave height (Hs) and peak period (Te). However, there
is a growing awareness that this reliance on bulk parameters is a very low‐fidelity
approach to characterizing wave sites.

8.2.3 Power Electronics and Control

Figure 8.10 provides an overview of some of the most common power electronics
conversion strategies for wave energy.
In the field of ocean wave energy, the physical mechanism that converts the
wave energy to another useful form (typically electrical energy) is called the power
take‐off (PTO).
398 Chapter 8 OCEAN AND GEOTHERMAL RENEWABLE ENERGY SYSTEMS

Overtopping
Reservoir

Turbine Outlet

Figure 8.9 Wave Dragon overtopping WEC (image from [13]).

Wave energy converter control – control of the force and velocity of the
PTO – is a complex topic. Many linear and nonlinear approaches have received
significant attention [15, 16]. The type of PTO used dictates the type of control that
can be applied.
For oscillating body type converters, an electrical machine connected directly
between the bodies will oscillate in both negative and positive directions of rota-
tion. If this machine is a synchronous type, with the field supplied by permanent
magnets or a field winding, the oscillating position, speed, and acceleration will
create a frequency and amplitude modulated back‐EMF. This can be managed via
rectification of the generator electrical output via a diode‐bridge to a DC‐link. An
inverter can then couple the DC‐link to the AC mains [17–19]. An advantage of this
design is its simplicity; however, control over the generator torque is generally
imprecise, limited to controlling the DC‐link voltage to control the generator RMS
current. Additionally, the power quality of current in the generator will be poor.
Another option is to use an AC‐AC converter (e.g., a matrix converter or back‐to‐
back inverters) to couple the variable generator output to the AC mains [20–23].
This is more complex, but affords greater precision and control, particularly the
ability to motor the wave energy converter, which is momentarily required in some
cases of optimal control [16].
Example waveforms for a directly connected linear generator are shown in
Figure 8.11 below.
The current produced by the generator – before being processed by the power
electronics for grid connection – is both frequency‐ and amplitude‐modulated in
 Power conversion chains (pcc)

Relative Relative
Energy conversion linear rotary
Fluid capture
seawater or air
mechanism motion motion

Mechanical Hydraulic Turbine

drivetrain driventrain transfer

Check valves/
accumulator
Power transmission
Direct Reaction/ Self-
Gearbox
drive impulse rectifying

Hydraulic
motor

Linear Rotary synchronous Rotary induction

generators generators generators
Electrical generation

Longitudal Transverse Conventional Multipolar Squirrel Double-

Pm Pm (Field wound) (Pm) cage fed
Rotar speed Variable Variable Variable Variable Fixed Variable Variable

Full frequency Partially-rated Color legend

converter frequency converter
No new technical uncertainties
(Ac-dc-ac) Or ‘soft starter’
Power conditioning
Increasing trl

New technical uncertainties

New technical challenges

Fixed frequency /
Demanding new technical
Electrical energy voltage (ac)
challenges

Figure 8.10 Wave energy conversion strategies. Linear motion can be converted to rotary motion (or vice‐versa) via belt or chain drives, rack
and pinions, sliding screw systems, or crank shaft systems. The dash‐dot outline box contains typical components of a hydraulic system, and the
short dashes outline box contains typical components of a direct‐drive electromagnetic system (image from [14]). (See electronic version for
color representation of this figure.)

399
400 Chapter 8 OCEAN AND GEOTHERMAL RENEWABLE ENERGY SYSTEMS

Position (m) / speed (m/s)

1

–1
80 90 100 110 120

100
Current (A)

–100
80 90 100 110 120
150
Power (kW)

100

50

0
80 90 100 110 120
Time (s)
Figure 8.11 Example direct‐drive wave energy converter waveforms (image from [13]).

accordance with the machine speed. The power produced varies with the ocean
wave excitation, with a periodic behavior of approximately 5 seconds.
In some cases for oscillating body type converters a hydraulic machine is
used as the main power take‐off, with an electrical generator connected to the
hydraulic machine. To allow for uni‐directional rotation of the electrical generator,
check‐valves are often used to rectify the hydraulic fluid. This allows the use of
grid‐connected induction generators, very similar in application to early wind tur-
bines [24] (though it is noted that directly connected induction generators have poor
fault characteristics, and are not encouraged by modern standards [25]).
Electrical standards for ocean wave energy are IEC/TS 62600‐100 and IEEE
Std 1547 “Standards for Interconnecting Distributed Resources with Electric Power
Systems.” IEC/TS 62600‐100 covers measurement of power and energy and deter-
mination of WEC power curves and mean annual energy production, and IEEE Std
1547 largely covers interconnection standards. The unique oscillating operation of
a directly connected electric machine also requires careful rating and consideration,
and is not explicitly covered in current standards [26, 27].
Power quality issues, such as harmonics, flicker, and fault ride‐through,
are much the same as any generator with a full‐rated power electronics connec-
tion to the grid (e.g., some wind turbine designs) [13, 21–23, 28–31]. In fact, it is
 8.2 WAVE ENERGY 401

anticipated that many of the standards, issues, and concerns applicable to wind
energy converters are the best starting place for ocean wave energy conversion tech-
nologies [25].
It is expected that geographical diversity and energy storage will play an
important role for wave energy. It has been shown that the short timescale vari-
ability of wave energy can be improved with geographic diversity (i.e., placing
the individual WECs of an array such that they do not produce maximums or
­minimums of power at the same time) [25, 32–34].
Lastly, like many non‐dispatchable, variable power sources, the variability of
wave power on the timescales of seconds, minutes, or hours raises concerns for grid
stability and the ability to provide reserves. Studies have generally found that the
integration of wave power is similar in impact to the integration of wind power
[2, 34–38].

8.2.4 Autonomous Applications
There is considerable interest in the development of ocean wave energy converters
(WECs) for autonomous remote sensor applications, such as powering data buoy
communications equipment or for providing power for open‐ocean vessels and
platforms [39]. The addition of wave energy conversion mechanisms to solar‐ and
wind‐based autonomous power systems can increase reliability and reduce the
required capacity of each individual generation component due to aggregation of
variability [40].
Some of the very first deployments of any ocean wave energy technology
were on autonomous Japanese navy navigation buoys. Two types of buoy were
evaluated: a pendulum and rack and pinion system, and an oscillating water column.
The oscillating water column (OWC) was found to be the most cost‐effective at
that time, and over 1000 of the buoys were produced, with lifetimes of over
20 years [41, 42].
For modern autonomous remote buoy applications, the primary power source
for atmospheric sensing equipment on board has been a combination of solar, wind,
and battery systems, where WEC technologies would add to the sensing system
power options. Applications will naturally include a variety of sensing capabilities
and functions for both in‐situ and roaming devices, such as can undertake powered
moves, dives and resurfacing [43, 44]. Thus, required power levels could range
from a few watts to hundreds of watts [45, 46].
Large‐scale ocean energy devices can be scaled, adapted, and integrated with
autonomous ocean sensor buoys to enable self‐powering capabilities, where oscil-
lating body WECs are particularly suitable. Example oscillating body WEC sys-
tems that have been found to be a potentially good match for low‐power ocean
sensors are inertial mass‐based WECs, linear generators, and linear to rotary
conversion systems. These systems would work together with solar or wind
­systems on board to provide power for the local sensor loads and charge the
system batteries.
402 Chapter 8 OCEAN AND GEOTHERMAL RENEWABLE ENERGY SYSTEMS

Inertial WECs use the motion of a relatively large mass or masses, creating a
pendulum effect, to convert wave energy into electricity through the rotation of an
internal shaft and generator system (see Figure 8.12). An advantage of inertial sys-
tems is that they can be entirely enclosed from the sea environment, thus improving
robustness.
Linear generators have also been considered and can be advantageous in that
they can be integrated into long spar‐like designs (see Figure 8.13) that take
advantage of both dominant heave motion and the stability of a deep draft. These
systems are generally several meters long and can produce several watts continu-
ously [45, 46, 48]. They can be implemented either as inertial systems, or connected
between the mooring and the main buoy.

Bearings

Pendulum

Gearbox

section
Hull cross Generator

Figure 8.12 A generic inertial mass‐based, vertical‐axis pendulum WEC (image from [47]).

Sea surface

Inflatable float
A sea-anchor or a
resistance plate with Rigid connection
a rigid connection Buoy canister
can be used in place Armature restoring spring
of a bottom anchor
and flexible line. Linear generator stator and coils

Linear generator armature

Low friction seal

Rigid connector
Anchor weight

Ocean bottom

Figure 8.13 Linear generator integrated into an autonomous buoy spar (image from [48]).
 8.2 WAVE ENERGY 403

1
3

Figure 8.14 Winch system integrated into the mooring for linear to rotary conversion
(image from [50]).

The linear heave motion of the buoy can also be converted to rotational
motion so that a standard electrical generator can be used. Typical mechanisms
for this might be crank shafts, rack and pinions, and winch or pulley systems
(see Figure 8.14) [49–51].
In the case of rotational systems, a clutch can be used to rectify the generator
shaft speed for unidirectional rotation. However, with modern, compact, inexpen-
sive machine power electronics drives, electrical synchronous rectification is easily
achieved, allowing a direct connection of linear or linear‐to‐rotary generators to the
battery charging system, with only minimal power electronics losses [9].
In addition to the oscillating body WEC systems above, oscillating water
­columns (OWCs) have found successful deployment in both old and modern
designs (see Figure 8.15), and have a proven track record of performance for
­autonomous systems [41, 42, 52].

8.2.5 Cost
Sixteen studies on wave energy costs conducted in the USA, Europe, and Australia
are summarized in Figure 8.16 [25]. From the 16 studies, the median cost of energy
(COE) is $0.24 per kWh. This puts the current price of wave energy several times
higher than grid competitiveness, which would typically be in the range of $0.05 to
$0.10 per kWh. The capital cost of power capacity is shown in Figure 8.17. Of the
6 studies shown, the median is $3.28 per W. This is generally 3–4 times higher than
the grid competitiveness benchmark of $1 per W.
404 Chapter 8 OCEAN AND GEOTHERMAL RENEWABLE ENERGY SYSTEMS

Light

Floater

Vertical
tube
Ballast

Mooring
line

Figure 8.15 Oscillating water column integrated into a navigation buoy (image from [41]).

0.70

0.60

0.50
COE $/kWh

0.40

0.30

0.20

0.10

0.00
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16
Study
Figure 8.16 The total median COE is $0.24 per kWh (data adapted from [25]).

Other studies based on surveys of ocean wave energy developers, as well as

published results from prototypes and early deployments, suggest that the capital
expenses for large‐scale ocean deployments (i.e., 10–100 MW) converge to approx-
imately $5/W [53].
The overall cost of energy depends on anticipated reductions in cost as the
industry accumulates total installed capacity worldwide. Chozas (2015) studied
levelized cost of energy as a function of penetration and found “The curves show
that in the long term, after more than 10 GW of capacity are deployed, wave energy
could reach 100‐150 $/MWh, or even lower in the more optimistic estimates” [53].
 8.2 WAVE ENERGY 405

12.00

10.00

8.00
$/W

6.00

4.00

2.00

0.00
1 2 3 4 5 6
Study
Figure 8.17 Median cost of power is $3.28 per W (data adapted from [25]).

8.2.6 Rotating Machines in Marine Energy Converters

As discussed in the previous section, marine energy converters can utilize multiple
forms of energy conversion mechanisms. Some examples are oscillating water col-
umns, which utilize bi‐directional air flow to drive an air turbine, and oscillating
body designs that utilize linear generators, or linear‐to‐rotary conversion mecha-
nisms with a rotational generator. In this section, we consider some of the unique
constraints placed upon rotational electric machines in this application.
One of the main items of consideration is whether or not there is a rotational
rectification mechanism to produce uni‐directional rotation. This can be achieved
with hydraulic systems that use check valves to maintain uni‐directional fluid flow
and thus uni‐directional machine rotation, or in the case of linear to rotary
conversion mechanisms, various types of clutching or gearing that keep the output
shaft rotating in one direction even if the input shaft is oscillating. Uni‐directional
rotation can better utilize large inertia machines, as the machine is kept spinning
in one direction and the inertia will act to help smooth out minor power variations,
like a flywheel.
If the electric machine is directly connected to the oscillating motion of the
wave energy converter, then its rotation and direction of torque development will be
bi‐directional, with a transition in torque and speed roughly at the dominant wave
period, which is in the range of 10 seconds. This will favor machines with lower
inertia, as less energy must be invested in the acceleration and deceleration of the
mass. However, large torques may be required, which would favor large diameter
machines, which tend to have large inertia, so careful design is required.
An additional consideration is the need for the power conversion mechanism
to provide power to the ocean. Optimal ocean energy conversion theory requires
that power periodically be delivered to the ocean, in exchange for a larger amount
of power returned [16]. This is seen in any system that is externally driven to reso-
nance. This impacts the directional constraints on the power conversion mechanism
406 Chapter 8 OCEAN AND GEOTHERMAL RENEWABLE ENERGY SYSTEMS

because rectification methods (such as clutches or hydraulic check valves)

will likely prevent full control of bi‐directional power flow. Depending on the
system design, this issue may favor more directly connected, bi‐directionally
rotating machines.
For bi‐directionally rotating machines, the average and instantaneous
power, torque, and speed limitations are not equal (in contrast to constant speed
machines) [26].
For simplicity, consider a single harmonic in the oscillating motion of the
wave energy converter at a period. Also assume the torque and speed are in phase.

2
ˆ sin (8.2)
T
2
ˆ sin (8.3)
T

The instantaneous power is torque times speed. For simple harmonic motion, the
average power is the RMS torque times RMS speed, which is exactly half of the
maximum instantaneous power.

P (8.4)
ˆˆ ˆˆ
mean P rms rms (8.5)
2 2 2
Therefore, we see that for safety, the machine must be rated for speed and torque
2 larger than the effective power producing equivalent, and a power rating of
twice the average value. In other words, our revenue (the average power) has half
the weight of our costs (machine capacity).
There are only a few analyses in the literature of the impacts of non‐constant
speed operation on machine rating and performance [9]. Initial results suggest that
the impact on machine rating and performance is not radically different from the
uni‐directional rotation case.
The final consideration discussed here is the speed and torque design require-
ments. Generally, ocean wave energy is characterized by slow speeds and large
forces. Therefore, directly connected electric machines will need to be designed for
large torques and slow speeds, which favors multi‐pole, large diameter machines.
This is an issue that has been well explored in wind power, and many of the advances
there should be applicable to ocean wave energy machine design.

8.2.7 Unique Testing Opportunity for Wave Energy Converters

With the increased interest in developing and testing wave energy converter (WEC)
prototypes, and to facilitate the commercialization of marine energy technologies,
the Northwest National Marine Renewable Energy Center (NNMREC) [54],
 8.2 WAVE ENERGY 407

initiated at Oregon State University (OSU), has been developing ocean test facil-
ities that can be used by WEC developers to test their prototype devices. Since
2004, OSU has made strong efforts to establish a National Marine Renewable
Energy Center in Oregon, which was awarded by the U.S. Department of Energy
in September 2008 through the Water Power Program. NNMREC’s mission has
been to facilitate the commercialization of marine energy technology, inform
regulatory and policy decisions, and to close key gaps in scientific understanding
with a focus on student growth and development. Primary center activities have
included: 1) development of facilities to serve as an integrated, standardized test
center for U.S. and international developers of wave and tidal energy; 2) evalua-
tion of potential environmental, ecological and social impacts, focusing on the
compatibility of marine energy technologies in areas with sensitive environments
and existing users; 3) device and array optimization for effective deployment of
wave and tidal energy technologies; and 4) increased reliability and survivability
of marine energy systems.
Figure 8.18 summarizes the initial development of NNMREC wave energy
assets for testing small-scale to full-scale devices, including phases of prototype
development from modelling to scaled and full scale testing. NNMREC’s wave
energy ocean testing facilities were developed in a multi-step process where the first

Phase 1: Model Validation at OSU Facilities

Ph 1a - 20kW Wave Energy Linear Test Bed (WESRF), 2m stroke
Ph 1b – Tank Testing in Regular and Irregular Waves (HWRL)
Directional Tank (3D) Dimensions (m): 48.8L × 26.5W × 2.1D
Max Wave: 0.8m in 1m water depth, periods (T): 0.5-10s
Scale 1:33-100, TRL 4-6

Phase 2: Advanced Model Validation at OSU Facilities

Ph. 2 – Tank Testing in Regular and Irregular Waves (HWRL)
Large Wave Flume Tank (2D) Dimensions (m): 104L × 3.7W × 4.6D
Max Wave: 1.6m in 3.5m water depth, periods (T): 0.5-10s
Scale 1:15-50, TRL 4-6

Phase 3: Field Testing (Intermediate Scale, TRL 6-8)

Yaquina Bay (OR): Wind Waves: 0-02m in 7.6m water depth, T:2-3s
Puget Sound (WA): Wind Waves: 0-1m in 16m water depth, T:2-4s

Phase 4: Marine Testing Facility for Scaled & Full Scale Devices TRL 7-9
Oregon Coast, 50m scaled site, sandy bottom, waves:1-4m, T:6-12s
Future cable-to-shore site in deeper waters of the outer continental shelf
Summer average wave heights and periods (1.5m, 6-8s)
Winter average wave heights and periods (3.5m, 8-12s)

Figure 8.18 NNMREC wave energy testing assets for scaled to full‐scale device
development (image from [56]). (See electronic version for color representation of this
figure.)
408 Chapter 8 OCEAN AND GEOTHERMAL RENEWABLE ENERGY SYSTEMS

Figure 8.19 Envisioned Pacific Marine Energy Center (PMEC) for testing of full‐scale
wave energy devices (image from [56]). (See electronic version for color representation of
this figure.)

step consisted of scaled (up to 100 kW average power) mobile ocean test berths
including power analysis and data acquisition (PADA) systems and load banks for
power dissipation, where an Ocean Sentinel instrumentation buoy (discussed in
more detail in the next sub-section) represents the stand alone instrumentation buoy
platform [55]. In 2018 NNMREC was rebranded as the Pacific Marine Energy
Center (PMEC) with continuing efforts to develop the first utility scale, grid-con-
nected wave energy test site in the U.S. Figure 8.19 illustrates the envisioned PMEC
site, which will operate under the name PacWave. The PMEC PacWave plans include
4 separate marine power cables (4 berths), approximately 6 miles west of Newport,
OR, for testing individual WECs and arrays. Eventually, the plan is for the PMEC
PacWave site to accommodate up to 20 WECs, with a capacity of 20 MWs. The
water at the site ranges in depth from 65 to 72 meters, where the Federal Energy
Regulatory Commission (FERC) draft license application has been submitted in
2018. A grid emulator at the site is possible for non-grid-connect testing.

The Ocean Sentinel Instrumentation Buoy

A novel Ocean Sentinel instrumentation buoy was developed by NNMREC and
AXYS Technologies in 2012 for WEC testing [55]. A concept diagram of the Ocean
Sentinel testing a WEC is shown in Fig. 8.20, with the deployed Ocean Sentinel
shown on station in Fig. 8.21. The Ocean Sentinel is a surface buoy, based on the
 8.2 WAVE ENERGY 409

TRIAXYS wave
measuring buoy

n
io
at
st
WEC under test

e
or
sh
To
Ap
pro
x
12 imat
5 m ely

Ocean sentinel
Instrumentation buoy Load
bank

DAS &
telemetry
Power
U
m

conversion
bi
lic
al

Figure 8.20 WEC testing with the Ocean Sentinel instrumentation buoy (image from [56]).

Figure 8.21 Ocean Sentinel instrumentation buoy on station (image from [56]).
410 Chapter 8 OCEAN AND GEOTHERMAL RENEWABLE ENERGY SYSTEMS

6-meter NOMAD (Navy Oceanographic Meteorological Automatic Device) hull

design. This instrumentation buoy facilitates open-ocean, stand-alone testing of
WECs with average power outputs of up to 100 kW.
WECs under test are moored approximately 125 meters from the instrumen-
tation buoy and are connected by an umbilical cable. Power generated by the WEC
is controlled by switchgear and power conversion equipment located on board the
instrumentation buoy and dissipated in an onboard load bank. Wave data recorded
by a wave‐measuring buoy is also transmitted to the Ocean Sentinel, via wireless
telemetry.
The primary functions of the Ocean Sentinel instrumentation buoy are as
follows:
1. Provide stand‐alone electrical loading and power conversion for the WEC
under test.
2. Measure and record WEC power output.
3. Collect and store data transmitted from the TRIAXYS wave‐measuring buoy
moored nearby.
4. Transmit collected data to a shore station via a wireless telemetry system.
5. Conduct environmental monitoring.
The Ocean Sentinel power conversion and load bank system provides a stand‐
alone load for the WEC under test. This system provides generator control for
WECs in early stages of development that do not include onboard generator power
conversion. A switchgear enclosure that includes the contactors along with an
electrical disconnect, current and voltage sensors, and fuses is installed below
deck in the forward compartment of the Ocean Sentinel, together with the power
converter. Two 50 kW, air‐cooled load banks are installed above deck. This system
is controlled by a National Instruments CompactRIO based data acquisition system
developed by NNMREC, which is also used to record WEC power and measured
wave data.
Because NNMREC anticipates testing WECs with different power outputs
and generator configurations, the Ocean Sentinel loading system has been designed
for a high degree of flexibility and is reconfigurable via terminations in the
­switchgear enclosure. The air‐cooled load bank can be reconnected for different
voltage and power levels, and can be controlled by either contactor switching,
­converter control, or a combination of the two. WECs with output current up to
125 A continuous can be accommodated, for a power capability of 100 kW at 460 V
or 50 kW at 230 V.
An onboard power system developed by AXYS Technologies can supply up
to 400 W of 24 V DC and 120 V AC power to the instrumentation and power
conversion equipment installed on the Ocean Sentinel, and to the WEC via the
umbilical. Primary power is provided by 40 sealed lead acid batteries (2000 amp‐
hours at 24 V), which are charged through a 1 kW wind generator, 2 × 210 W solar
panels and a 3.2 kW standby diesel generator. The solar and wind generation are
 8.3 OCEAN THERMAL ENERGY CONVERSION 411

designed to provide the primary battery support required during normal

­operations, and sufficient battery storage is included for typical periods when
this generation is not adequate (based on Newport, Oregon, summer characteris-
tics). The generator can be relied upon to provide back‐up power if required, and
is designed for 3‐month minimum deployment periods without the need for
­refueling, though the system is designed to allow refueling at sea. The Ocean
Sentinel power system is controlled and monitored by a Watchman 500 data
acquisition and control system. Two independent cellular telemetry systems are
used between the Ocean Sentinel and shore, one for the Watchman 500 that
­controls and monitors the power system, and the other for the CompactRIO
system that provides control and data acquisition for WEC testing. In summary,
the Ocean Sentinel is a good solution for the ­testing of early‐stage prototype
WECs that do not have their own generator power converter.

8.3 OCEAN THERMAL ENERGY CONVERSION

Ocean thermal energy conversion (OTEC) systems convert the energy available in
the temperature gradient of the warm surface‐water layers and the deep, cold ocean
depths of approximately 800–1000 m [57, 58]. Solar energy is stored as heat within
the top ocean surface layers and mixed by the motion of waves to water depths of
about 100 m. The deeper ocean consists of colder water, where the thermocline, or
transition layer, between the warmer surface‐water layers and the cooler deep water
is sometimes marked by an abrupt change in temperature, but more often the change
is gradual [59]. Thus, essentially, the ocean offers a fuel‐free heat source as well as
the heat sink that is required for a heat engine.
OTEC plants can be either land‐based (see Figure 8.22) or floating infrastruc-
tures. In OTEC technologies, warm surface seawater is used to cause flash evapo-
ration of either the seawater itself or of a low boiling point working fluid such as
ammonia, where the expanding vapor drives a turbine generator. Cold deep sea-
water pumped through a heat exchanger condenses the vapor back into a liquid and
ensures the pressure differential to drive the turbine [60]. OTEC has the potential to
be a favored baseload renewable resource in that it is dispatchable, with capacity
factors ranging from about 90–95% [60].
In addition to generating electricity, OTEC technologies have other useful
applications such as producing freshwater and energy‐intensive byproducts
including hydrogen, oxygen, and ammonia through, for example, electrolysis [59].
OTEC technologies can also support other industries such as marine aquaculture
and chilled‐soil agriculture, which uses cold deep water as a chiller fluid in air con-
ditioning systems [58–64]. Large datacenters can also benefit from both the gener-
ation of power and the equipment cooling opportunities provided by OTEC [64].
Figure 8.22 illustrates a land‐based OTEC system, showing the power generation
(1), refrigeration (2), desalination (3), and irrigation (4). The remainder of this
OTEC discussion will be on power generation aspects.
412 Chapter 8 OCEAN AND GEOTHERMAL RENEWABLE ENERGY SYSTEMS

3
1
Desalination
Power
Generation
Warm Water
Intake

Warm Water
Discharge

Cold Water
Intake Irrigation
4

Cold Water
Discharge
2

Refrigeration

Figure 8.22 Diagram of a land‐based OTEC plant (image from [1]). (See electronic
version for color representation of this figure.)

For OTEC to be classified as a renewable, continued warming of the ocean

surface layers by the sun is required, as well as the availability of cold ocean water
from depth. Cold, deep seawater is naturally produced through the thermohaline
circulation of ocean waters driven by density gradients due to salinity, surface heat
and freshwater influxes in different parts of the ocean [59]. The potential global
power resource that could be extracted with OTEC plants without negatively
affecting the thermohaline ocean circulation is estimated to be at least 5000 GW:
10,000 × 500 MW OTEC plants [65]. To help put this estimate into perspective, this
would be about twice the amount of power projected for worldwide electricity con-
sumption by 2025 [59].

8.3.1 Resource Characteristics

The ocean thermal resource is defined by the change in temperature ∆T, which is
the temperature differential between water depths of 20 m and 1000 m [59].
Worldwide, ∆T typically ranges from 10 °C to 25 °C, with the higher values found
in tropical waters closer to the equator [58]. For efficient and cost‐effective power
production, a ∆T of at least 20 °C within 1000 m below the ocean surface is desired
[61, 64]. At 1000 m water depth, temperatures are relatively constant at about
4–5 °C [64]. Thus, with a relatively constant temperature of 4 °C at 1000 m, the ∆T
is driven by surface temperatures. Thus, OTEC is particularly suitable for average
surface temperatures around 25 °C [60].
 8.3 OCEAN THERMAL ENERGY CONVERSION 413

90°N 26

60°N
24
30°N

EQ 22

30°S

Ocean data view

20
60°S

90°S 18
180°W 90°W 0° 90°E 180°E
Figure 8.23 Average ocean temperature differentials ∆T between 20 m and 1000 m water
depths, using the WOA05 data with a color palette from 18 °C to 26 °C [66] (image from
[1]). (See electronic version for color representation of this figure.)

Figure 8.23 shows a map of the average OTEC thermal resource ∆T using
World Ocean Atlas 2005 (WOA05) data [66]. Considering the important criteria of
∆T discussed above, and the feasible access to deep water, Figure 8.23 illustrates
favorable sites for OTEC technologies. Global estimates of the extractable net power
from OTEC total 6300 GW [64], while, as stated above, the power extraction estimate
to prevent negatively affecting the thermohaline circulation is at least 5000 GW [65].
From reference [64], over 500 GW is available from within US waters alone.

8.3.2 OTEC Technologies

While OTEC technologies have existed for decades (the first electricity‐producing
OTEC plant was built in 1930 in Cuba and rated at 22 kW), commercial adoption
has been slow [63], due to high initial capital costs and the lack of experience
building OTEC plants at scale [60, 64]. Research continues on optimized plant
designs and multi‐use market applications including desalination of seawater,
cooling of buildings, and the use of cold water in aquaculture applications [63].
Two primary OTEC technologies are differentiated by the types of working fluids
used. Open‐cycle OTEC (OC‐OTEC) technologies use seawater as the working
fluid, while closed‐cycle OTEC (CC‐OTEC) commonly uses ammonia (which has
a low‐temperature evaporation point) as the working fluid. Currently, land‐based
systems are considered a niche market, needing 1000 m depth close to shore [59]
and thus geographically restricted, and possibly facing more stringent permitting
challenges associated with the siting of the large seawater pipes. A primary candi-
date for commercial‐size plants appears to be the floating OTEC plant, where the
power would be transmitted to shore through a submarine power cable [59]. The
OC‐OTEC systems offer the benefit of producing freshwater as a byproduct, though
414 Chapter 8 OCEAN AND GEOTHERMAL RENEWABLE ENERGY SYSTEMS

they also require larger turbine diameters [59]. The OTEC system efficiency, based
on the thermal resource, is affected by several parameters including the power plant
design and the matching of the seawater components, plant size, and the resource
temperatures. Theoretical maximum Carnot cycle efficiencies of heat engines
depend on the temperature differentials, and for a 20 °C ∆T OTEC system, the
maximum efficiency is only 7% [67]. The overall efficiency, based on the ∆T, would
be further reduced to about 3–5% in practical OTEC installations due to the inherent
pumping loads and the component losses within the system [68, 69].

8.3.3 Open‐cycle OTEC

Open‐cycle OTEC (OC‐OTEC) uses warm surface seawater as the working fluid,
injected into a vacuum chamber where the pressure is reduced below the saturation
value corresponding to its temperature, thus causing flash evaporation. The result-
ing low‐pressure steam expands to drive a turbine generator. Figure 8.24 illustrates
the steps of OC‐OTEC through a flow diagram [59].
The first OC‐OTEC plant was a land‐based system built in 1930 in Cuba
rated at 22 kW [59, 63]. While the plant operated for several weeks, it was not able
to achieve net power production due to several factors including poor site selection
(i.e., the thermal resource ∆T was not sufficient), in addition to a power plant/sea-
water components design mismatch [59]. The only other open‐cycle demonstration
was a land‐based 210 kW OC‐OTEC Experimental Apparatus built and operated at
the Natural Energy Laboratory of Hawaii Authority (NELHA) [59]. The system
operated for six years (1993–1998), and provided extensive data and analyses for
future modifications and improvements in the OC‐OTEC process. The turbine gen-
erator was designed for an output of 210 kW for 26 °C warm surface water and a
deep water temperature of 6 °C. In addition, a fraction (10%) of the steam produced
was diverted to a surface condenser for the production of desalinated water. The
highest production rates achieved were 255 kW (gross) with a corresponding net

Warm To Cold seawater

seawater in vacuum KW return to sea
pump Vaccum pump
1 7 Atmosphere
Desalinated Desalinated 8 Dissolved gas
water water
Vacuum chamber vapor vapor
flash 2 Condenser
evaporator 3 5 Desalinated
water 71
4 6
Turbogenerator
Warm seawater Cold
return to sea seawater in

Figure 8.24 Open‐cycle OTEC flow diagram [57] (image from [1]).
 8.3 OCEAN THERMAL ENERGY CONVERSION 415

power of 103 kW (due to the auxiliary power required for the pumps and losses) and
0.4 liters per second of desalinated water [59]. It must be noted that the net power
was not optimized because pumping losses were relatively high due to the use of an
existing seawater system that was available. It is expected that for a commercial
size plant the ratio of net to gross power would be approximately 0.7 [70].

8.3.4 Closed‐cycle OTEC

In a closed‐cycle OTEC (CC‐OTEC) system, warm surface seawater provides heat
to a working fluid with a low boiling point to vaporize the working fluid to drive a
turbine generator. A simple flow diagram for CC‐OTEC systems is illustrated in
Figure 8.25.
Hybrid systems combine components of both open‐cycle and closed‐cycle
systems to maximize the use of the pumped seawater thermal resource available to
produce both power and water [58]. For example, the steam generated by flash evap-
oration in OC‐OTEC can then be used as the heat to drive CC‐OTEC processes [71].

8.3.5 OTEC Generator Grid Interface

OTEC generators could provide baseload power, where the steam turbines drive
synchronous generators that would have similar protection and grid interface as
conventional thermal plants such as coal and natural gas. The generator grid inter-
face would be through step‐up transformers, and again for floating plants, the power
would be transmitted to shore via submarine power cables. Synchronizing equip-
ment would be employed to control the generator terminal voltages for grid voltage

KW Return
Warm water in water to sea
Working Working
fluid fluid
vapor vapor
Evaporator Condenser
5 1 2

4
Return Turbogenerator 3 Cold
water to sea water in
Working fluid
feed pump

Working fluid
Working fluid condensate

Figure 8.25 Closed‐cycle OTEC process flow diagram [58] (image from [1]).
416 Chapter 8 OCEAN AND GEOTHERMAL RENEWABLE ENERGY SYSTEMS

matching through the step‐up transformers, as well as to control the turbine speed
for grid frequency and phase regulation [59]. During plant startups, the generator
voltage, frequency and phase would be synchronized to the grid, the circuit breaker
energized and the OTEC generators interfaced to the grid.

8.3.6 Cost
The estimated capital costs for OTEC plants are strongly related to the plant size,
and range from $7900 per kW for a plant size of 100 MW, to more than $22,000
per kW for smaller plants of 5 MW or less [72]. Considering the operations, main-
tenance, repairs and replacement (OMR&R) costs, and the fact that no fuel is
purchased, Figure 8.26 presents the levelized cost of energy (LCOE) analyses for
first generation OTEC plants in ¢/kWh as a function of plant size and loan terms
[59]. At the commercial scale, developers expect a rapid decrease in LCOE
through experience and plant upscaling, leading to a LCOE of about 10–18
¢/kWh [63]. In addition, in many favorable sites in the tropics, potable water is a
highly desired commodity that could be marketed to offset the price of OTEC‐
generated electricity [59].

Levelized cost of electricity versus plant size

100
Commercial loan: 8%/15 years
90

80
Government bond: 4.2%/20 years
70

60
US cents/kWh

50

40

30

20

10

0
1.35 5 10 50 100
Nominal plant size, MW-net
Figure 8.26 Cost of electricity production (capital cost amortization plus OMR&R
levelized cost) for first‐generation OTEC plants as a function of plant size, with loan terms
(interest and term) as a parameter, and annual inflation assumed constant at 3% [59]
(image from [1]). (See electronic version for color representation of this figure.)
 8.4 TIDAL AND OCEAN CURRENTS 417

8.4 TIDAL AND OCEAN CURRENTS

Marine renewable energy can also be harnessed from the tides, from tidal currents,
and non‐tidal ocean currents. Tidal current is the periodic ebb and flow of coastal
tidal waters accompanying the rise and fall of the tides driven by the gravitational
forces of the moon and sun, combined with the centrifugal force produced by the
rotation of the Earth [73]. The gravitational force of the Moon is 2.2 times larger
than the gravitational force of the sun due to the fact that the moon is much closer
to Earth, and that proximity more than compensates for the higher mass of the sun
[73]. Non‐tidal ocean currents include the more continuous currents in the general
circulatory system of the oceans [74]. Many commonalities exist between the tech-
nologies designed to harness tidal currents and ocean currents, where the kinetic
energy in moving water is converted to electrical energy much like a wind turbine,
and thus they will be discussed together.
Two primary approaches for efficient tidal energy conversion have emerged
[73]. The first approach is similar to a hydroelectric dam and captures the potential
energy created by the difference in sea‐level between high tides and low tides. This
is considered the more traditional approach where a tidal dam, barrage, or barrier is
employed to establish a head of water to power a turbine [75]. The second tidal
energy approach is based on more recent developments where the kinetic energy
existing in tidal currents drives turbines, which is similar to the means by which
wind turbines harness energy from the wind [76, 77]. In fact, several tidal designs
of current turbines resemble submerged wind turbines (see Figure 8.27). The pro-
cess of harnessing ocean energy through tidal current turbines is also referred to as
“tidal stream,” and the turbines are also called marine current turbines.

Figure 8.27 Array of horizontal axis ANDRITZ HYDRO Hammerfest HS1000 tidal
current turbines [83] (image from [1]).
418 Chapter 8 OCEAN AND GEOTHERMAL RENEWABLE ENERGY SYSTEMS

Most coastal sites experience high and low tides twice a day (semi‐diurnal
tides), although some areas have just one high and low tide per day (diurnal tides)
or a combination of diurnal and semi‐diurnal oscillations (mixed tides) [74]. Thus,
tidal currents are variable in speed and reverse direction; however, they are uninflu-
enced by weather such that the variability is deterministic, not stochastic like for the
wind and waves [76]. Despite the relatively low velocity of tidal currents, the higher
density of water (832 times more dense than air) means that tidal turbines have the
opportunity to extract more power for a given turbine rotor swept area than wind,
and thus tidal turbines are generally smaller than wind turbines for the equivalent
power capacity [78, 79]. While tides can be accurately predicted years in advance,
tidal generation is still non‐dispatchable with typical capacity factors ranging from
10% to 40% [80–82].
Ocean currents are driven by wind patterns, as well as the ocean thermohaline
circulation caused by density gradients due to temperature and salinity differences
[74]. Compared with tidal currents, ocean currents are unidirectional, and generally
slower but more continuous than tidal currents and they tend to be stronger near the
surface [84]. Unlike tidal currents, ocean currents are influenced by atmospheric
and ocean conditions and can experience drift, or “meandering,” on scales of tens
of kilometers [84].

8.4.1 Resource Characteristics

The worldwide tidal energy resource is of the order of 1000 GW and is relatively
localized [77]. Figure 8.28 [85] illustrates the global amplitude of the main lunar
tidal forcing where the white lines are lines of constant tidal phase, called cotidal
lines, differing by 1 hour. Along the cotidal lines the high tide is reached simulta-
neously, extending from the coast out into the ocean and converging at amphi-
dromic points where minimal tides exist. The curved arcs around the amphidromic
points show the direction of the tides, each indicating a synchronized 6‐hour period
[85]. Figure 8.28 indicates the potential for both barrage or “range” systems and for
tidal stream technologies, since high tidal ranges are often a prerequisite for fast
tidal currents. Currents are often further magnified by topographical features, such
as headlands, inlets and straits, and by the shape of the seabed when water is forced
through narrow channels [86]. In general, tidal streams must reach flow speeds of
at least 1–2 m/s for tidal current turbines to operate cost‐effectively [74, 87]. At the
same time, tidal currents exceeding 4 m/s can pose significant design challenges
due to the imparted load, while sites with peak velocities lower than 1 m/s are often
considered uneconomical [88]. Major tidal streams have been identified along the
coastlines of every continent, making it a global, though site‐specific, resource
based on geographic location [74]. Total tidal barrage (range) deployment in 2015
was approximately 518 MW, and approximately 7 MW for tidal current. Extensive
plans exist for tidal barrage projects in countries including India, Korea, the
Philippines and Russia, adding up to about 115 GW. Deployment projections for
tidal current through 2020 are in the range of 200 MW [77].
 8.4 TIDAL AND OCEAN CURRENTS 419

GOT99.2 NASA/GSFC

60'N

30'N

0'

30'S

60'S

60'E 120'E 180'W 120'W 60'W 0'

R Ray
Space Geodesy Branch
6/99
0 10 20 30 40 50 60 70 80 90 10 110 120 130 cm
Figure 8.28 Global distribution of semi‐diurnal tidal amplitude [85] (image from [1]).
(See electronic version for color representation of this figure.)

In the USA, the tidal and ocean current theoretical power potential is esti-
mated at approximately 50 GW from tidal streams [89] and approximately 5 GW
from the Gulf Stream Florida Current [90]. The US tidal current resource hotspots
are defined as current speeds of at least 1 m/s, total surface area larger than 0.5 km2
and depths greater than 5 m [91]. The majority of such tidal current resource
is found in Alaska, followed by Maine, Washington, Oregon, California,
Massachusetts, and New York [91]. Note that tidal current technologies are scal-
able and are also suitable for deployment in river environments, and in the USA
the feasible average resource is estimated at 14 GW from rivers [92]. Regarding
ocean current resources, the Gulf Stream (which includes the Gulf Stream Florida
Current) is one of the world’s most studied ocean current systems, at about 90 km
wide and 1000 m deep, beginning in the Caribbean and ending in the northern
North Atlantic. The power density of the Gulf Stream Florida Current exceeds
2000 W/m2 in the upper 200 m of the water column, while most of the other US
offshore waters have a mean surface power density lower than 100 W/m2. The
Florida Current speed is fastest near the surface, driven by winds, with the
maximum speeds typically exceeding 2 m/s. The Florida Current features
characteristic wind‐driven seasonal variation, with the current flow being stronger
in the summer and relatively weaker in the winter, with the variation prevalent in
the upper layer of the water column (upper 100 m), while the variation in deeper
water is negligible.
420 Chapter 8 OCEAN AND GEOTHERMAL RENEWABLE ENERGY SYSTEMS

8.4.2 Tidal Barrage, Tidal Current, and Ocean Current

Technologies
Tidal and ocean current technologies can be categorized into three main categories:
tidal barrage/range, tidal current turbines, and ocean current turbines. Tidal barrage
(range) is considered a mature technology; however, implementation has been
limited due to site availability, environmental effects, and high capital costs [74].
Tidal and ocean current technologies are currently undergoing research and
development and are at the pre‐commercial demonstration stage [74].

Tidal Barrage
Tidal barrage, or range, technologies harvest power from the potential energy of the
height difference between high and low tides. A tidal barrage is typically a dam
structure, or other barrier, built across a bay or estuary, creating a reservoir (basin)
behind it, such that the flow of water is forced into a smaller area to create a tidal
range in excess of 5 m [73]. Tidal barrages operate much like hydroelectric dams in
that the barrage produces a pressure head to drive turbines, though tidal currents
flow in both directions with generators designed to respond to bi‐directional water
flows [73]. The flow of water from the sea into an estuary or bay is known as the
“flood tide”, and the flow in the opposite direction back into the sea is the “ebb
tide”. Additional configurations include multiple‐basin schemes, enclosed basins
located offshore away from estuaries called tidal lagoons, and tidal fences (a scaled‐
down version of the tidal barrage).
The world’s first large‐scale tidal barrage (range) power plant, the 240 MW
La Rance Tidal Power Station, became operational in 1966 in Brittany, France, and
is still in operation to date. The 254 MW Sihwa Lake Tidal Power Station in South
Korea became the world’s largest tidal barrage when it was opened in 2011. Only a
few other sites have been developed around the world [93].

Tidal Current and Stream Technologies and Resource Characterization

It is anticipated that commercial tidal current (stream) projects will operate in arrays of
turbines as tidal farms, similar to commercial utility‐scale wind farms [76, 94]. Many
of the tidal energy converter concepts at the forefront of the industry have adopted a
horizontal axis turbine, with several design permutations within the horizontal axis
design [76]. An overview of tidal stream projects conducted in reference [77] revealed
that approximately 76% of design types are horizontal axis turbines, approximately
12% are vertical axis turbines, with other designs making up the remaining 12%.
Horizontal axis turbines, an example of which is shown in Figure 8.27, are
the marine equivalent of wind turbines where rotation of the turbine is due to the lift
forces of the moving water on the turbine blades mounted on a horizontal axis [76,
95]. Thus, the turbines are similar to designs used for traditional wind turbines, but
due to the higher density of water relative to air, the blades are significantly smaller
than equivalently rated wind turbines with regards to power ratings, and, due to
lower current velocities, turn more slowly [77, 95].
 8.4 TIDAL AND OCEAN CURRENTS 421

Figure 8.29 Nova Innovation M100 tidal current turbine [96] (image from [1]).

To date, several developers have deployed single unit tidal current demonstra-
tion systems [76]. The world’s first array of tidal power turbines to deliver power
to the grid was deployed by Nova Innovation in the Bluemull Sound, the strait of
water running between the islands of Unst and Yell in the north of Shetland, where
the North Sea meets the Atlantic. The second Nova Innovation M100 100 kW tur-
bine (see Figure 8.29) was deployed in August 2016, lining up alongside the first
turbine, which was installed in the Bluemull Sound in March 2016, with discus-
sions to expand to six turbines. Note, remote islands like these benefit greatly from
additional power sources, and they are home to some of the world’s most powerful
tidal resources. The first commercial deployment of tidal turbines, the MeyGen
project, is the largest planned tidal stream project in the world. In 2010, MeyGen
Limited was awarded an agreement for lease, granting the option to develop a tidal
stream project of up to 398 MW at an offshore site between Scotland’s northern-
most coast and the island of Stroma, consisting of multiple 1.5 MW devices.
Tidal resource characterization conventionally uses acoustic Doppler current
profile (ADCP) measurements at fixed locations. Using measurements of at least
90 days in duration, the data are processed to determine the phase and amplitude of
the major tidal constituents, which can be used to predict tidal currents in the future.
At some sites, wave‐ and wind‐driven currents are also important, which requires
additional forecast modeling. Histograms of measured currents are sometimes used
to complement the harmonic and forecast analysis.

Ocean Currents
Similar approaches and principles for tidal current technologies can be adapted to
generate power from ocean currents [74]. Compared with tidal currents, ocean cur-
rents are uni‐directional and in general ocean currents are slower than tidal currents
(depending on location), but more continuous. Ocean current technologies are in
422 Chapter 8 OCEAN AND GEOTHERMAL RENEWABLE ENERGY SYSTEMS

the early developmental stages, and to date, no full‐scale prototype has been tested
or demonstrated [74]. Although there are technology developers working on con-
cepts in the USA, Japan, Italy and Spain, they are much fewer in number than those
developing tidal stream turbine technologies [74]. In the USA, the Southeast
National Marine Renewable Energy Center (SNMREC) at Florida Atlantic
University seeks to advance ocean current technologies, specifically for the Gulf
Stream Florida Current. A primary impediment to deployment of ocean current tur-
bines is the water depth at deployment sites (e.g., > 300 m), which increases the
complexity of mooring and electrical power export [74].

8.4.3 Power Electronics and Grid Interface

Due to the variable nature of tidal and ocean current resources, power electronic
converters are employed to enable wide‐ranging speed control of the turbine gener-
ators for optimum power performance [95, 97, 98]. Tidal currents exhibit more
variability than ocean currents, and represent one of the most rapidly growing tech-
nologies for generating electrical energy in marine environments [99]; therefore
tidal stream turbine grid interface will be the focus of this section.
A pure semidiurnal tidal cycle lasts 12 hours and 25 minutes, where both ebb
and flood occur once per cycle, and thus the tidal current varies and runs approxi-
mately six hours in one direction and then reverses and runs for another six hours
in the opposite direction. There are also periods of time when there is little or no
horizontal flow of water – slack water – which occurs between the flood and ebb
currents [73]. Figure 8.30 presents an example of varying tidal current velocity, v
m/s (top graph), and the resulting variable power output, Pel, for one month (bottom
graph) [79]. A maximum tidal current velocity vmax of 2.5 m/s is assumed, along
with a nominal generator power rating of 1 MW at vmax [79]. As seen from
Figure 8.30, maximum power is available every 14 days.
The tidal stream power that a tidal turbine extracts is proportional to the
density of the seawater and the cube of its speed, and can be expressed as
follows:

1 3
P Cp Avtides (8.6)
2
where ρ (kg/m3) is the seawater density, Cp is the power performance coefficient,
A (m2) is the cross‐sectional area swept by the turbine blades, and vtides (m/s) is the
tidal stream velocity. The density of the seawater (ρ ≈ 1025 kg/m3), 832 times that of
the air, enables tidal currents of about 1/9th the wind speed to carry comparable
kinetic power density as the wind [84]. The power performance coefficient (Cp)
represents the percentage of the stream power that the tidal turbine can extract, and
is limited to ~59% by the well‐known Betz law for sparse arrays. For tidal turbines,
Cp (a function of the tip speed ratio and the blade pitch angle) [100] is generally in
the range of 30–50%, depending on the degrees of freedom for control in
 8.4 TIDAL AND OCEAN CURRENTS 423

Tidal current velocity: v

v (m/s)
0

–2

0 7 14 21 28
Time (day)

Electric power output: Pel

1.5
Pel (MW)

0.5

0
0 0 14 21 28
Time (day)
Figure 8.30 Tidal current velocity and power output for one month [79] (image from [1]).

time‐varying currents [99, 101]. Overall, Eq. (8.6) illustrates that the extracted
power depends primarily on the tidal velocities and the turbine sizes.
As with the wave energy industry, commercial tidal stream projects are devel-
oping to operate in arrays of turbines, similar to utility‐scale wind farms [74], with
submarine power cables connecting the devices (arrays) to the grid through power
electronic converters and step‐up transformers. As such, tidal turbines can have a
converter in each device, enabling every generator to operate at its optimum speed,
or there can be a common converter for each array cluster, offshore or onshore
[102]. In the case of one converter per array (cluster), the speed and electrical fre-
quency vary proportionately with the average tidal current speed in the array
(cluster). With only one converter per array (cluster), the resulting mechanical loads
on the tidal current turbine drive trains could be higher than those tidal turbine sys-
tems with individual converters [81], where individual turbine converters will be
discussed in more detail below.
Two commonly proposed tidal stream turbine converter technologies [98, 99,
103] are: (1) a doubly‐fed induction generator (DFIG) configuration [104, 105], as
shown in Figure 8.31 [97]; and (2) a direct‐drive permanent magnet synchronous
generator (PMSG) [103], as shown in Figure 8.32 [97]. Control approaches consid-
ered for tidal turbine converters are similar to those for DFIG and direct‐drive
PMSG for offshore wind turbines. Some control approaches use the generator‐side
converter controller to maintain the rotational speed of the generator at an optimal
value, and minimize the core losses, while using the grid‐side converter controller
to maintain the voltage of the DC‐link and to control the output reactive power.
424 Chapter 8 OCEAN AND GEOTHERMAL RENEWABLE ENERGY SYSTEMS

Main circuit breaker

Brake

DFIG

Gear
Generator
Pitch side Grid side
converter converter Line coupling
drive
transformer

Medium voltage switchgear

Frequency
Converter control
converter

Marine turbine
control

Figure 8.31 Schematic diagram of a DFIG‐based generation system [97] (image from [1]).

Main circuit
Frequency Generator side Line side
converter converter breaker
converter
DC

Converter
control

PMSG Line coupling

transformer
Medium voltage switchgear
Brake
Rotor bearing Pitch
drive
Marine turbine
control
Synchronous
generator

Figure 8.32 Schematic diagram of a PMSG‐based generation system [97] (image from [1]).

Other control approaches use the generator‐side converter controller to control the
output active power and reactive power, while using the grid‐side converter
controller for controlling the DC‐link voltage and the terminal voltage of the tur-
bine system [99, 103]. As shown in Figure 8.31 and Figure 8.32, pitch controllers
adjust the tidal current turbines to achieve optimum speeds [97–99].
 8.4 TIDAL AND OCEAN CURRENTS 425

8.4.4 Cost
There are several technological aspects that determine the performance and cost
of tidal and ocean current technologies, including: (1) conversion technology;
(2) support structures; (3) array configuration; and (4) electrical connections to
shore [77].
The estimated capital costs for tidal barrage (range) power generation is very
site‐specific and is largely based on two large plants in operation: the La Rance
barrage in France and the Sihwa dam in South Korea. Thus, the estimated capital
costs range from $117 per kW for the Sihwa, using an existing dam for the
construction of the power generation technology, to approximately $340 per kW for
the La Rance barrage, which was originally built for the purposes of power genera-
tion [77]. Electricity production costs for the La Rance and Sihwa installations are
5 ¢/kWh and 2.5 ¢/kWh respectively [77].
Tidal current technologies are still largely in the demonstration stage; thus,
capital cost estimates are projected to decrease as the level of deployment increases
to large‐scale arrays as the industry enters a post‐commercialization phase [63, 77].
Significant cost reduction is anticipated in the areas of installation, grid intercon-
nect, and project development. Figure 8.33 gives capital cost ranges for differing
deployment stages [63]. The dotted lines in Figure 8.33 represent the maximum/
minimum cost values provided from stakeholders. The solid lines with shaded areas
represent the industry average cost with an uncertainty bound of ±30%, with the
exception of when the maximum or minimum from consultation falls below the
±30% uncertainty limit [63].
Figure 8.34 gives the levelized cost of energy (LCOE) ranges for differing
stages of deployment, which are diverse within the first array deployment, and

14000

12000

10000
Capex ($/kW)

8000

6000

4000

2000

0
1st array 2nd array Commercial scale
Maturity stage project

Figure 8.33 Capital cost ranges for differing stages of deployment (adapted from [63]).
426 Chapter 8 OCEAN AND GEOTHERMAL RENEWABLE ENERGY SYSTEMS

100

80
LCOE (cents/kWh)

60

60

20

0
1st array 2nd array Commercial scale
Maturity stage project

Figure 8.34 The LCOE ranges at differing stages of deployment (adapted from [63]).

converge as progression is made towards commercial‐scale projects [63]. Again,

the dotted lines in Figure 8.34 represent the maximum/minimum costs provided
from stakeholders. The solid lines with shaded areas represent the industry average
costs with an uncertainty bound of ±30% [63]. Given the stage of development,
these forecasts should be considered to have significant uncertainty, which will
decrease over time as larger arrays enter service and the reliability becomes more
established.

8.5 GEOTHERMAL ENERGY SYSTEMS

Geothermal energy conversion is an abundant, renewable resource consisting of the

natural heat generated and stored in rock and fluids in the Earth’s crust that can be
used for electricity generation and for heating and cooling purposes. The Earth’s
heat is the resource, where steam or liquids, such as water or brine, from as deep as
6 miles (10 km) beneath the Earth’s surface [106], serve as the medium that can be
tapped to generate electricity through geothermal power plants operating steam tur-
bine generators (see Figure 8.35). Geothermal energy has significant advantages as
a baseload renewable resource in that it is dispatchable and can provide around‐the‐
clock generation and balancing of diurnal and weather‐driven variable renewables
such as wind and solar. Capacity factors for geothermal power plants can reach up
to 95% [74]. In addition to electricity production, lower temperature geothermal at
shallow depths (i.e., 10–15 °C at approximately 10 feet (3 m) below ground level)
drives geothermal heat pumps (GHPs) for energy‐efficient heating and cooling, and
to provide hot water. GHPs use the relatively constant temperature of the Earth as a
 8.5 GEOTHERMAL ENERGY SYSTEMS 427

Figure 8.35 Natural steam from production wells power steam turbine generators. The
steam is condensed by evaporation in the cooling tower and pumped down injection wells
to sustain production (image from [1]). (See electronic version for color representation of
this figure.)

heat source in the winter and as a heat sink in the summer. During the cooler winter
months, GHPs use conventional vapor compression (refrigerant‐based) heat pumps
to extract the heat from the relatively warmer ground to provide building heat. In
the warmer summer months, the process reverses and the GHP pulls the building’s
warmer air into the relatively cooler ground, where the excess energy in these
processes can be used to heat water [107]. The remainder of this geothermal section
will focus on power generation.
A naturally occurring geothermal system can be defined by three key ele-
ments: heat, fluid, and permeability at depth. In order to access heat, fluid must
come into contact with heated rock, either via natural fractures or through stimula-
tion of the rock [108]. High temperatures are continuously produced inside the
Earth. This is primarily due to the slow decay of radioactive particles in the rock
[57]. Geothermal resources can be classified as either low temperature (less than
90 °C), moderate temperature (90–150 °C), or high temperature (greater than
150 °C). Surrounding the Earth’s core of solid iron, approximately 4000 miles
(~6500 km) below the Earth’s surface, is an outer core of very hot magma (molten
rock). Surrounding the outer core is the mantle, which is about 1800 miles thick and
consists of magma and rock. The outermost layer of the Earth is the crust, ranging
from 3–35 miles (4.8–56 km) thick, where the crust is about 3–5 miles thick under
the oceans and 15–35 miles thick on the continents [57]. The crust is divided into
pieces called plates, which drift apart and push against each other in the process
called plate tectonics. Magma comes close to the Earth’s surface near the bound-
aries of these plates, which is also the location of volcanic and seismic activity.
Most high‐temperature geothermal resources (150–370 °C) occur where magma
has penetrated the upper crust of the Earth around these tectonic plate edges where
428 Chapter 8 OCEAN AND GEOTHERMAL RENEWABLE ENERGY SYSTEMS

the crust is highly fractured and thus permeable to fluids. The magma heats the sur-
rounding rock, and when that rock is permeable enough to allow the circulation of
water, the resulting hot water or steam is referred to as a hydrothermal resource for
geothermal power plants [107].
Geothermal energy production has historically been concentrated in areas
where the geological conditions permit naturally occurring steam or hot water
reservoirs to transfer heat from within the Earth to the Earth’s surface [109]. In
contrast to conventional geothermal systems, enhanced geothermal systems
(EGS), also known as engineered geothermal systems, focus on geothermal loca-
tions with insufficient natural permeability or fluid saturation, such as regions
with hot, dry and impermeable rock. EGS technologies enhance and/or create
geothermal resources in what is called hot dry rock (HDR) through a process
called hydraulic stimulation. To develop an EGS, a pressurized fluid (typically
water) is injected into the subsurface where the increased fluid pressure coupled
with thermal stresses (due to the temperature difference between the hot rock and
cooler water) create new fractures and open existing fractures in the rock fabric
to enhance the permeability [110]. Thus the EGS concept is designed to create
large heat exchange areas in hot fractured rock to which water can be added
through injection wells. The injected water absorbs the heat and generates steam
by contact with the rock and returns to the surface through production wells to a
geothermal power plant. Geothermal injection and production wells are con-
structed of pipes layered inside one another and cemented into the Earth and to
each other, which protects shallow drinking water aquifers from mixing with
deeper geothermal water/brine. It is estimated that 90% of the geothermal power
resources in the USA exist through EGS [111].
Note that geothermal energy sites may not be considered renewable if heat
energy is extracted through the fluid medium faster than the fluid medium is
replaced. Thus, sustainable use of geothermal energy implies that the heat and fluid
removed from the resource is replaced on a similar timescale. When sufficient
natural recharge to a geothermal system does not occur, reducing production or
implementing water reinjection schemes can be necessary to ensure production
rates will be maintained. Geothermal underground water/steam reservoirs are natu-
rally refilled when rainwater soaks back into the Earth’s crust. When there is a
depletion of the fluid to carry the heat to the surface, external water injection can be
used to replenish reservoirs.

8.5.1 Resource Characteristics

The global geothermal market is at approximately 13.3 GW of operating capacity
as of 2016, spread across 24 countries, where the global geothermal industry is
expected to reach about 18.4 GW by 2021. It is estimated that there is over
200 GW of conventional hydrothermal potential globally available, based on
current knowledge and technology [112]. Figure 8.36 depicts global operating
capacity by country.
 8.5 GEOTHERMAL ENERGY SYSTEMS 429

3,567
4,000
3,500
Operating capacity (MW)

3,000

1,930
2,500

1,375
2,000

1,069
1,500

973
944

637
665

607
533
1,000
205
204

109
500
27

56

29
97
40
15
42
8

Japan
Kenya
Mexico
New Zealand
Nicaragua
Papua New Guinea
Philippines
Portugal
Russia
Turkey
United States
Italy
China
Costa Rica
El Salvador
Ethiopia
Germany
Guadeloupe
Guatemala
Iceland
Indonesia

Figure 8.36 Geothermal power operating capacity by country [112] (image from [1]).

Figure 8.37 provides the current planned capacity additions under

development. With these planned capacity additions, only about a sixth of the
global potential has identifiable development plans [112].
The geothermal resource potential map in Figure 8.38 shows the US locations
of identified hydrothermal sites and the favorability of deep EGS.

8.5.2 Geothermal Power Plant Technologies

Three primary types of geothermal power plant designs utilize the various temper-
ature ranges of geothermal resources: dry steam, flash steam, and binary cycle.
Binary plants are used with lower temperature resources, while flash and dry steam
plants are used with higher temperature resources. Flash technologies, including
double and triple flash, account for almost two‐thirds of installed capacity globally,
while dry steam makes up about a quarter of the installed capacity, and binary
makes up about a sixth of global geothermal power generation [112]. The overall
energy conversion efficiency, based on the total heat content (enthalpy) of the pro-
duced geothermal resource (fluid), is affected by many parameters including the
power plant design (dry steam, single, double or triple flash, binary, or hybrid
system), the plant size, the geothermal resource temperature, as well as ambient
surface temperatures. The conversion efficiencies of geothermal power plants are
generally lower than those of conventional thermal plants (such as coal and natural
gas), and range from 11–22% for geothermal resource (fluid) temperatures ranging
from 150–350 °C respectively [106].
 430 Chapter 8 OCEAN AND GEOTHERMAL RENEWABLE ENERGY SYSTEMS

4,013
4,500
4,000
Planned capacity additions

3,500
3,000

2,500
2,000
1,272
1,153
1,091

1,500
987
587
1,000 575
481
285
250
500

180
179
165
120
98
95
62
59
59
57
54
50
0
Indonesia
United States
Turkey
Kenya
Ethiopia
Philippines
Iceland
Mexico
New Zealand
Guatemala
Columbia
Armenia
Costa Rica
Chile
India
Germany
Vietnam
Nicaragua
Australia
Japan
Argentina
Djibouti
Figure 8.37 MW capacity under development by country [112] (image from [1]).

Geothermal Resource of the United States

Locations of Identified Hydrothermal Sites and
Favorability of Deep Enhanced Geothermal Systems (EGS)

Favorability of deep EGS

Most favorable

Least favorable
N/A*
No data**
Identified hydrothermal site (≥ 90°C)

Figure 8.38 Geothermal resource potential map for the US. “Hydrothermal” refers to
naturally occurring geothermal resources used by conventional geothermal power plants,
while “Deep EGS” refers to geothermal heat resources that require technologies that are
currently being developed and demonstrated (image from [1]). (See electronic version for
color representation of this figure.)
 8.5 GEOTHERMAL ENERGY SYSTEMS 431

8.5.3 Dry Steam

Dry steam power plants (Figure 8.39) draw from underground reservoirs producing
mostly steam that is heated by the Earth’s mantle and released through natural
vents. Production wells are drilled down to the aquifer and then the superheated,
pressurized steam (180–350 °C) is brought to the surface through pipelines, filtered
(e.g., purified through a “rock‐catcher” to protect the turbine) and passed (expanded)
through a steam turbine. The lower pressure steam is then cooled and condensed
into water using water from a cooling tower. The steam turbine is directly coupled
to the generator, and the condensate is pumped back to the cooling tower where it
is cooled and then recirculated to the condenser located at the exit of the steam tur-
bine. Excess condensate, as well as the external water pumped in to replenish the
resource (e.g., from wastewater plants), is injected back into the reservoir through
injection wells [112, 113].

8.5.4 Flash Steam

Flash geothermal power plants, as depicted in Figure 8.40, are the most common
(about two‐thirds of installed capacity), and use water‐dominated geothermal reser-
voirs with temperatures in excess of 182 °C. The boiling point of a fluid increases
as its pressure is increased. Thus, superheated water in geothermal reservoirs is
liquid water under pressure at a temperature higher than the normal boiling point of
100 °C. When the pressure is reduced, the water flashes into steam. Thus, as the
superheated water is pumped from depth, the pressure decreases and some of the
hot water boils, or “flashes” into steam in a separator or flash tank. The separated
and purified steam is piped to a steam turbine (generator) and the remaining hot

Dry steam power plant

Turbine
Generator

Electricity

Condensed
Steam steam
(water)

Figure 8.39 Geothermal dry steam power plant, where the steam shoots up the wells and is
passed through a rock catcher (not shown) and then directly into the turbine (image from [1]).
432 Chapter 8 OCEAN AND GEOTHERMAL RENEWABLE ENERGY SYSTEMS

Flash steam power plant

Steam Turbine Generator
Flash
tank Electricity

Hot Condensed
water Sep steam
arat
wate ed (water)
r

Figure 8.40 Flash steam power plants use hot water reservoirs. As the hot water is
released from the pressure of the deep reservoir in a flash tank, some of it flashes to steam
(image from [1]).

water may be flashed again (twice, i.e., double flash plant) or three times (triple
flash) at progressively lower pressures and temperatures, to obtain even more steam
[109]. The cooled brine and the condensate are typically sent back down into the
reservoir through injection wells. Combined‐cycle flash steam plants use the heat
from the separated geothermal brine in lower temperature binary plants (which will
be discussed next) to produce additional power before re‐injection [109].

8.5.5 Binary Cycle

For geothermal temperatures less than 182 °C, binary cycle power plants (see
Figure 8.41) are employed where the hot water or brine emerging from depths
through a borehole is directed through a heat exchanger to boil a working fluid,
typically an organic compound with a lower boiling point than water (e.g., butane
or pentane in the organic Rankine cycle, or an ammonia–water mixture in the
Kalina cycle) [109]. The working fluid vaporized in the heat exchanger is used to
drive a steam turbine, where the water (brine) from depth is then recycled back
down the injection borehole to be reheated. The water and the working fluid are
kept separate during the entire process, so that there will be little or no air emis-
sions, and the water (brine) from the primary heat source never comes into contact
with the turbine generator units.

8.5.6 Geothermal Generator Grid Interface

Geothermal energy conversion systems provide baseload power, where the steam
turbines drive synchronous generators that have similar protection and grid inter-
face as conventional thermal plants such as coal and natural gas. The external
 8.5 GEOTHERMAL ENERGY SYSTEMS 433

Binary cycle power plant

Binary
vapor Turbine Generator
Electricity

Binary liquid

Heat exchanger

Hot Cooled
water water

Figure 8.41 Binary power plant, where the heat from geothermal water is used to
vaporize a working fluid in separate adjacent pipes. The vapor, like steam, powers the
turbine generator (image from [1]).

generator excitation system provides variable DC current to the field winding for
controlling terminal voltages and reactive power, ensuring stable operation with the
grid, improving transient stability after faults, and keeping the machinery within
acceptable operating ranges [114]. The steam governor system controls the position
of the steam‐governing valve to regulate the turbine speed, the power, and the fre-
quency synchronization to the grid. The generator grid interface is through step‐up
transformers. Synchronizing equipment is employed to control the generator
terminal voltages for grid voltage matching through the step‐up transformers, as
well as to control the turbine speed for grid frequency and phase regulation. When
the generator voltage, frequency, and the phase are synchronized to the grid, the
circuit breaker is energized and the geothermal generator can be interfaced to
the grid [114].

8.5.7 Cost
The capital costs for a geothermal plant range from $3000 per kW to more than
$6500 per kW, and are highly dependent on the type and the temperature of the
hydrothermal resource, the conversion technology, and the necessary depth of the
wells [115]. Geothermal plants harnessing high‐temperature resources (e.g., flash
and dry steam systems) tend to be less expensive than those relying on low‐temper-
ature resources (e.g., binary systems). Considering the operations and maintenance
costs, and the fact that no fuel is purchased, levelized cost analyses reveal that geo-
thermal plants can produce electricity for 3–15 ¢/kWh, depending on the resource
characteristics and the project development finance structure [115–117].
434 Chapter 8 OCEAN AND GEOTHERMAL RENEWABLE ENERGY SYSTEMS

8.6 CONCLUSION

This chapter presents ocean wave energy, tidal energy, ocean current energy, ocean
thermal energy, and geothermal energy techno-economic summaries including
information on resource characteristics, conversion technologies, power electronics
approaches as applicable, and grid interface issues.
Power electronics requirements are most relevant for ocean wave and tidal
generation, as these are variable resources in which optimal conversion is dependent
on environmental conditions and the prime mover speed or motion trajectory.
Therefore, power electronics-based drives are required to enable variable torque
and speed operation using topologies very similar to what is seen in wind turbines.
The low-level control of the power electronics follows the standard for synchronous
reference frame control (i.e., vector control) for the generation, and synchronous
rectification followed by the inverter for the grid-connection side. High-level con-
trol theory for optimal power conversion of wave and tidal follows from the specific
physics of those resources and is not within the scope of this chapter.
Geothermal generation and ocean thermal energy conversion (OTEC) typi-
cally follows the synchronous generation topology seen in traditional thermal or
hydro generation, for which common power electronics is utilized for control of
ancillary systems or generation field windings, but not connected in-line with the
main stator grid-connected power flow. Operation of these systems follows closely
with thermal generation (e.g., coal-fired steam turbines).
The estimate for the total worldwide average wave resource is ~2,000 GW [7],
with ~300 GW in the U.S. [5]. The estimate for the total worldwide tidal resource is
~1,000 GW, with ~50 GW in the U.S. [77, 89]. The marine current resource estimate
for the Florida Current in the southwest United States is estimated at 5 GW [90].
Ocean thermal energy has a global capacity estimate of 5,000 GW [65]. Lastly, the
global conventional hydrothermal geothermal capacity estimate is approximately
200 GW, but with much more possible through enhanced geothermal systems [112].
It should be noted that information on costs can be presented as both near-
term prototypes, and projected costs for larger scale developments. For near-term
costs, wave energy conversion has a median of ~$0.24/kWh based on 16 studies
[25] Tidal energy is found to be approximately $0.50 per kWh and $0.20 per kWh
depending on stage of development [63]. Ocean thermal energy cost is approxi-
mated at $0.10 to $0.18 per kWh [63]. Finally, geothermal, being more closely
aligned in technology with traditional thermal generation (e.g., coal, natural gas,
and nuclear), is estimated at $0.03 to $0.15 per kWh [115–117].
A summary of the estimated long-term large-scale future cost of energy and
capacity is given in the table below. The table also includes an estimate of the
Technology Readiness Level (as defined by the United States Department of
Energy.) Note that the transmission costs and grid connection costs are not included
in these estimates and would need to be included in the total cost of installations.
Onshore systems can work with standard AC power transmission, distribution and
protection equipment. Offshore systems require transmission of the power to shore,
which can be implemented as AC or DC transmission (with DC to AC conversion
 REFERENCES 435

TABLE 8.1 Large‐scale development cost and Technology Readiness Level (TRL)
estimates.

Technologies Cost of energy (¢/kWh) Capacity cost ($/W) TRL

Ocean wave 10–15 3–5 7–8

OTEC 10–18 8–22 6
Tidal (barrage) 2.5–5 0.12–0.34 9
Tidal (stream) and ocean currents 10–25 3–5 8
Geothermal 3–15 3–6.5 9

at the shore point of connection to the bulk grid) [118–121]. The cost of high‐power
undersea transmission cables is of the order of $3.3 million per mile ($2 million per
km) [122]. Considering the strong potential of these renewable energy resources, it
is projected that continued research and development may reveal these resources to
be important components of a diverse energy mix.

ACKNOWLEDGMENT

The authors gratefully acknowledge the help of Luis Vega of the Hawaii National
Marine Renewable Energy Center, Brian Polagye of the University of Washington,
and Karl Gawell of the Geothermal Energy Association.

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 Ch a p t e r  9
FUEL CELLS AND THEIR
APPLICATIONS IN ENERGY
SYSTEMS
Jih‐Sheng (Jason) Lai and Michael W. Ellis

9.1 INTRODUCTION

Fuel cells are most commonly applied in standalone power generation systems and
vehicle energy sources because of their unique features of high efficiency, wide size
range, modularity, and compatibility with cogeneration. The development of a
complete fuel cell energy system requires a basic understanding of the fuel cell and
supporting hardware, as well as the associated power electronics for different appli-
cations [1]. A fuel cell system produces electricity by electrochemically oxidizing
a fuel source, which may consist of hydrogen or a simple hydrocarbon. The direct
chemical‐to‐electrical conversion process can provide high energy conversion
efficiency across a wide range of sizes and part‐load conditions. Fuel cell systems can
also be installed close to electrical loads, enabling the thermal energy provided as a
by‐product of the reaction to be used for cogeneration applications, making the
combined efficiency even more attractive. Furthermore, fuel cells operate silently and
are a dispatchable distributed generating technology. Finally, fuel cell systems typi-
cally emit extremely low levels of regulated air pollutants and provide reduced carbon
dioxide emissions due to improved efficiency and near‐zero carbon fuel sources.
Over the past two decades, considerable progress has been made in the
development of fuel cell technology, and today, system cost and durability are the
major challenges to bringing fuel cell technology to the stationary power market. In
the transportation application, where hydrogen is the fuel of choice, fuel cell sys-
tems face the additional challenges of hydrogen distribution and storage. Currently,
research and development continue to address these challenges [2], and the recent
debut of commercially available fuel cell electric vehicles indicates growing interest

Power Electronics in Renewable Energy Systems and Smart Grid: Technology and Applications,
First Edition. Edited by Bimal K. Bose.
© 2019 by The Institute of Electrical and Electronics Engineers, Inc.
Published 2019 by John Wiley & Sons, Inc.

443
444 Chapter 9 FUEL CELLS AND THEIR APPLICATIONS IN ENERGY SYSTEMS

from the automotive industry [3, 4]. This interest in fuel cell vehicles is motivated
largely by their extended driving range and shorter refueling time relative to battery
electric vehicles.
Fuel cell systems are similar to other systems for energy storage or generating
devices, such as batteries and photovoltaic (PV) cells, in the sense that they can
generally be described as a voltage source with an internal impedance. However,
the battery internal impedance is passive, but the fuel cell internal impedance is a
controlled variable that is a function of its operating conditions including reactant
concentration, temperature, and humidity levels. In contrast, the PV cell is a passive
device with an output primarily controlled by the solar irradiance, not by the
balance‐of-plant (BOP) operation. Thus, the fuel cell distinguishes itself in that it is
a controllable source that produces power when needed as long as fuels are avail-
able, making it a promising candidate for portable power, transportation, uninter-
ruptible power supply (UPS), and distributed generation applications.
Proper application of fuel cell technology requires an understanding of fuel
cell system architecture, system components, steady‐state and dynamic behavior,
and system interaction with the load. Furthermore, the electrical connection of fuel
cells has regulatory requirements, including grounding requirements that are unique
compared with those of other energy generation and storage devices. The design of
power electronics circuits and controls for fuel cell systems must address the overall
operation of the fuel cell system while complying with the unique electrical
demands associated with the particular application. This chapter provides an over-
view of the fuel cell system including the basic principles of fuel cell operation,
different types of fuel cells, basic fuel cell system architecture, and detailed
electrical characteristics and associated power electronics. Application issues are
also introduced for both transportation and stationary applications.
As illustrated in Figure 9.1, a fuel cell system typically consists of six sub-
systems including an air supply, fuel processing, thermal management, water
management, power management, and the fuel cell stack. The air supply system
filters the air and pressurizes, preheats, and humidifies the air as needed by the
particular application. The nature of the fuel processing system depends on the
type of application. Transportation and portable power applications typically uti-
lize simple fuels (hydrogen or methanol) supplied directly from a storage tank, and
thus the fuel supply system simply controls the flow of the fuel to the fuel cell
stack. For stationary applications, however, the fuel may be a hydrocarbon such as
natural gas, diesel, or biogas, and thus may require conversion to hydrogen before
it is supplied to the fuel cell stack. This conversion process typically begins with a
sulfur removal process that is then followed by a reforming step, which uses a cat-
alyzed reaction at high temperature to transform the hydrocarbon to a mixture of
hydrogen, carbon dioxide, and carbon monoxide. In the case of low‐temperature
fuel cells this initial reforming step is followed by additional steps to reduce the
carbon monoxide concentration to very low levels (<50 ppm) to avoid poisoning
the fuel cell catalysts. In higher‐temperature fuel cells (>500 °C), carbon monoxide
removal is unnecessary, and in fact, the fuel cell stack may be able to
 9.1 INTRODUCTION 445

Electrical Power Electrical

storage management output
Fuel cell
Fuel cell power
stack

Fuel H2 or Anode
Fuel1
processor syn gas2 exhaust

Air Cathode
Air
supply exhaust

Water
mgmt

Thermal Thermal
management output

1Fuel consists of H2 or hydrocarbon depending on fuel processor

2Syn gas consists of H2 with H2O, CO, CO2, depending on cell type
Figure 9.1 A complete fuel cell system consisting of subsystems for chemical to electrical
energy conversion and thermal management.

accommodate reforming or direct oxidation of the sulfur‐free fuel within the stack.
The oxidation of this fuel within the fuel cell stack produces exhaust that consists
of water and carbon dioxide, given that the primary fuel is a hydrocarbon.
Emissions of sulfur oxides are very low because sulfur is removed upstream of the
fuel cell, and emissions of nitrogen oxides are very low because reactions in both
the fuel processor and the fuel cell occur over catalysts at temperatures <1000°C.
Furthermore, while fuel cells operating on reformed hydrocarbons do produce
carbon dioxide, the emissions are lower than for other less efficient energy
conversion technologies.
The fuel cell stack is composed of series‐connected fuel cells, each of which
is supplied with fuel and air and produces direct current at less than one volt. The
entire stack voltage ranges from a few volts to a few hundred volts, depending on
the number of cells connected in series. The stack voltage decreases gradually as
the load current increases until it reaches a limit determined by mass transfer
restrictions. A power management system is required to regulate the stack voltage
to match the load, prevent transient power demands that could damage the stack,
and control the system output voltage to meet the needs of the application. While
the fuel cell system is efficient relative to traditional engines, roughly half of the
input chemical energy is still transformed to thermal energy, which leaves the stack
in the exhaust gas, or, for low‐temperature cells, in the stack cooling fluid. The
thermal management system uses this thermal energy within the fuel cell system to
preheat fuel and air or supplies the thermal energy externally for cogeneration
446 Chapter 9 FUEL CELLS AND THEIR APPLICATIONS IN ENERGY SYSTEMS

applications. Finally, depending on system characteristics, the water management

system may use water for humidifying air and fuel or for reforming fuel, and may
acquire this water from external sources or recover it from the stack exhaust. The
requirements associated with these six systems are determined by the application
and by the selection of the fuel cell technology utilized within the stack.

9.2 DIFFERENT FUEL CELL TECHNOLOGIES

Different fuel cell technologies are categorized by the nature of the application and
the desired fuel source. The basic components of a fuel cell shown in Figure 9.2
include an anode where fuel is oxidized; a cathode where oxygen is reduced;
collector plates, which connect the electrodes to the external load and provide flow
channels for conveying products and reactants; and an electrolyte that transports
ions between the electrodes. Fuel cell technologies can be classified by the type of
electrolyte, fuel source, operating temperature, or application, but the operating
temperature is perhaps the most important distinguishing feature, as it affects all of
the other characteristics.

e– Elect. Load
Fuel (humid) Air
H2, H2O O2, N2, H2O

Cation
e.g., H+
Collector Collector
plate e– OR e– plate

Anion
e.g., O2–, OH–
or CO32–
Spent fuel Anode Electrolyte Cathode Spent Air
↓H2, H2O ↓O2, N2, H2O↑

Notes:
1. The MCFC reactions involving CO32– also require CO2 at
the cathode and yield CO2 at the anode (not shown here)
2. SOFC and MCFC can also utilize simple hydrocarbon fuels
such as methane through internal reforming or direct
reaction at the anode
Figure 9.2 A typical fuel cell that includes two electrodes, anode and cathode, collector
plates with embedded flow channels for supplying gas, and an electrolyte in the middle that
separates the two electrodes while permitting ion transport. (See electronic version for
color representation of this figure.)
 9.2 DIFFERENT FUEL CELL TECHNOLOGIES 447

9.2.1 Low‐temperature Fuel Cells

Fuel cells designated as “low temperature” generally operate below 200°C. Low‐
temperature fuel cells typically exhibit high power density, rapid start‐up, relatively
simple and inexpensive assembly processes and materials (excluding catalysts), simple
balance of plant components, and high electrical conversion efficiency. These charac-
teristics align with the critical needs for automotive power systems and have made
them, particularly the polymer electrolyte membrane (PEM) fuel cells, the target tech-
nology for this large market application. On the other hand, low‐temperature operation
means that catalysts are typically expensive platinum group metals (PGMs) and
that fuel options are essentially limited to hydrogen and methanol. Furthermore, low‐
temperature operation precludes the use of waste heat for fuel processing operations
and may limit the utility of thermal energy for cogeneration applications.
In the automotive application, heat for cabin comfort does not require high
temperatures, and onboard reforming is not a practical option, so low‐temperature
operation does not present significant disadvantages. Instead, the key impediments
to widespread deployment of low‐temperature fuel cells for automobiles are the high
cost of the PGM catalyst, the inadequate durability of the membrane electrode
assembly (MEA), and the lack of a hydrogen fueling infrastructure. To reduce or
eliminate the need for expensive PGM catalysts, researchers are pursuing low‐cost
catalyst options and anion exchange membrane (AEM) fuel cells in which the
oxygen reduction reaction (ORR) occurs in a more favorable alkaline environment.
Other applications for low‐temperature fuel cells include small‐scale
stationary power and cogeneration applications, which utilize fuel cell systems
operating at the upper end of the “low temperature” range (i.e., high‐temperature
PEM or HT‐PEM) to provide both electricity and heat for buildings; and portable
electronics where direct methanol fuel cells (DMFCs) show promise.

Polymer Electrolyte Membrane (PEM) Fuel Cells

The PEM fuel cell (PEMFC) uses a thin membrane fabricated from an acidic ion‐
conducting polymer (ionomer) as an electrolyte to conduct H+ ions from the anode
to the cathode. The typical membrane material consists of a polymer backbone that
resembles PTFE with pendant side‐chains terminated by perfluorosulfonic acid
(PFSA) groups which, when the polymer is hydrated, create ionic transport path-
ways through the material [5]. Other ionomers have been developed as potential
alternatives to the benchmark PFSA materials to improve durability and cost. These
include modified fluoropolymers and non‐fluorinated acid ionomers based on
poly(arylene ether)s and polyimides [6]. A typical low‐temperature ionomer can
operate at temperatures up to approximately 100°C but must remain well‐hydrated
to achieve sufficient conductivity. Thus, the nature of the electrolyte establishes the
fuel cell system temperature limit and requires that the balance‐of‐plant includes
provisions for humidifying inlet fuel and air streams.
The overall PEM cell structure is similar to that shown in Figure 9.2 in which the
PEMFC electrode consists of two distinct structures: the catalyst layer (CL), which
448 Chapter 9 FUEL CELLS AND THEIR APPLICATIONS IN ENERGY SYSTEMS

is adjacent to the membrane and provides the electrochemical reaction sites, and
the gas diffusion media (DM), which provides a porous, electrically conductive
path between the CL and the collector plate. At low temperatures in an acidic
environment, the catalyst layer has historically required PGM catalysts to achieve
sufficient electrochemical activity [7]. The catalyst is generally synthesized as
nanometer‐sized PGM particles decorated onto carbon particles (d ~ 100 nm) to
create a carbon‐supported catalyst. The carbon‐supported catalyst, along with the
ionomer, is dispersed in a solvent and cast onto the electrolyte membrane (or
onto the surface of the DM) to form a porous structure with intermingled electrical
and ionic pathways that connect the PGM catalyst sites to the electrolytic mem-
brane and to the DM. Reactant gas from flow channels in the collector plates
travels through the DM to the CL reaction sites and, at the cathode, the reaction
product (i.e., water) diffuses back through the DM and is removed with the
oxygen‐depleted air.
As the cost and durability remain the two primary impediments to the wide-
spread adoption of PEM fuel cells, key areas of development at the cell level
include reduction of catalyst loading at the cathode, improved durability of the
membrane and catalyst, and improved water management in the cathode. The
PGM catalyst accounts for roughly 20% of the PEM fuel cell system cost, with
the majority of the cost attributable to the cathode catalyst loading. Cost reduction
focuses on decreasing the catalyst loading (presently 0.16 g/kW with a target of
0.125 g/kW), or eliminating the PGM catalyst entirely by replacing it with mate-
rials such as metal‐nitrogen‐carbon (MNC) catalysts, which have shown prom-
ising activity for the ORR [8–10]. The catalyst also presents a challenge for
durability since, over time, the larger catalyst particles tend to grow or coarsen at
the expense of smaller particles, leading to a loss in active area and reduced
performance [11]. Corrosion of the carbon support can contribute to this coars-
ening effect [12]. Both catalyst coarsening and carbon corrosion are believed to
be enhanced by voltage cycling caused by varying load conditions and by opera-
tion at high voltage idling conditions [11]. The catalyst life can be extended
through the use of improved carbon or non‐carbon supports and by better
management of the operating environment of the cell (i.e., temperature, humidity,
voltage) [11, 13]. Power electronics can contribute to PEM fuel cell durability by
properly controlling the load transient and managing the cell voltage during start‐
up and shut‐down. In addition to catalyst degradation, hydrothermal cycling of
the membrane is believed to lead to membrane thinning and pinhole formation,
with failure occurring when the membrane is no longer an effective barrier bet-
ween the anode and cathode [14, 15]. Efforts to improve membrane durability
include the development of more robust polymers and the use of composite mate-
rials [6]. Finally, the control of water, particularly in the cathode where water may
condense and block the transport of oxygen to the catalyst sites, remains a
challenge that limits the areal power density of PEM fuel cells [16–18]. Table 9.1
summarizes state‐of‐the art performance and cost metrics for the PEMFC
alongside comparable metrics for other fuel cell technologies.
 TABLE 9.1 Status and targets for key fuel cell system performance metrics.

Transportation Residential Distributed generation

operating on H2 operating on NG operating on NG
80 kW 1–25 kW 100 kW – 3 MW

2015 Final 2015 Final 2015 2015 2015 2020

PEMa targeta PEMa and SOFCa targeta PEMa SOFCa MCFCb targeta

Electrical efficiency (LHV) 60% 70% 34–40% 45% 42–47% 47% 50%
Cogeneration efficiency (LHV) NA NA 80–90% 90% 70–90% 84% 90%
Equipment cost, $/kW 53 30 2300–2800c 1500c 1200d
4500 4200e 1000
Durability, 1000 hours 3.9 8.0 40–70 60 40–80 40e 80
Power density,f W/liter 640 850 ‐ ‐ ‐ ‐ ‐ ‐

Notes:
a. Data from [8] unless noted otherwise.
b. Performance based on SureSource 1500 by Fuel Cell Energy, Inc. [19].
c. Cost at production volume of 50,000 units per year.
d. Cost at production volume of 1000 units per year.
e. Cost and durability from [20, 21]; cost reported is 2010 cost at actual production volume of 30 MW/y.
f. Specific power is primarily relevant to the transportation application and is not a key metric for stationary applications.

449

0004339657.INDD 449 06/19/2019 4:45:08 PM

450 Chapter 9 FUEL CELLS AND THEIR APPLICATIONS IN ENERGY SYSTEMS

Anion Exchange Membrane (AEM) Fuel Cells

One approach for reducing the catalyst cost in low‐temperature fuel cells is to
operate the fuel cell electrodes in an alkaline environment in which a variety of
less expensive catalysts (e.g., inorganic oxides, Fe, Co, Ag, and others) can be
used [22]. The alkaline environment also allows the use of less expensive mate-
rials for the collector plates and may be more favorable for the oxidation of some
alcohol fuels [23]. Alkaline fuel cells (AFCs) were employed in the US Apollo
spacecraft in the 1960s and later in the Space Shuttle Orbiter. In these stacks, the
electrolyte was a liquid KOH solution with OH− as the mobile ion, moving from
cathode to anode [24]. The liquid electrolyte was retained in a porous matrix and
further constrained between the two porous electrodes. Today, research is focused
on replacing the liquid electrolyte with an AEM to provide a polymeric electro-
lyte with OH− mobility, thus avoiding the difficulties associated with retaining the
liquid electrolyte.
A variety of options have been considered for the AEM material, which gen-
erally consists of a cationic group (e.g., quaternary ammonium) attached directly or
via a sidechain to a polymer backbone (e.g., poly(arylene)ether)) [22]. The cationic
groups form conductive pathways through the membrane for OH− ions. The chal-
lenges for AEM fuel cells (compared with PEM fuel cells) arise from the relatively
poor stability of the AEM material and the lower mobility of the OH− ion, which
leads to higher ohmic losses in the membrane. Furthermore, the presence of CO2 in
the cathode air supply enables the formation of CO32− and HCO3− ions. In liquid
electrolyte alkaline fuel cells, these ions combine with the mobile cation (K+ or
Na+) to form solid precipitates. For AEMs, the cation is bound to the polymer back-
bone, thus precluding the formation of precipitates. However, the CO32− and HCO3−
ions can accumulate in the membrane, particularly at the anode, and reduce the cell
performance [22]. By removing CO2 from the air or by using oxygen at the cathode,
several studies have demonstrated the operation of AEM fuel cells at practical
power densities using PGM‐free catalysts [25, 26]. However, more research and
development will be required to realize the goal of PGM‐free AEM fuel cells with
performance approaching that of the PEM fuel cell.

Phosphoric Acid Fuel Cells (PAFCs)

The PAFC is typically designated as a high‐temperature PEM (HT‐PEM) fuel cell.
The first large‐scale commercial deployment of fuel cells used PAFC technology.
These systems employed an H+ conducting electrolyte as in the modern PEM fuel
cell, but instead of a polymer, the electrolyte was a porous silicon carbide matrix
infused with phosphoric acid. These cells operated at temperatures as high as 200°C
and exhibited sufficient durability (some systems exceeded 40,000 h of operation)
to be used in megawatt‐level distributed generation and stationary cogeneration
applications, with more than 500 units installed worldwide [27, 28]. Unfortunately,
this generation of phosphoric acid fuel cells exhibited low power density and
required relatively high PGM loadings (with corresponding high cost), making
them unattractive for transportation applications and limiting their widespread use
 9.2 DIFFERENT FUEL CELL TECHNOLOGIES 451

even in stationary applications. More recently, techniques have been developed to

infuse a high‐temperature polymer such as polybenzimidazole (PBI) with
phosphoric acid to form an H+ conducting polymer composite suitable for operation
at temperatures of 150–200°C [29]. These PBI/phosphoric acid membranes are also
attractive because they do not require moisture for operation, thus eliminating the
water management and humidity control issues associated with PEM fuel cells
using PFSA membranes. The HT‐PEM is particularly promising for cogeneration
applications where the higher operating temperature (>150°C) not only provides
more useful thermal energy but also makes the anode catalyst tolerant of up to 1%
CO. For stationary applications using hydrocarbon fuels, greater CO tolerance may
eliminate the need for a final CO cleanup operation in the fuel processor, thus
reducing cost and complexity. Major challenges with HT‐PEM systems, relative to
PEM systems based on PFSA membranes, include insufficient durability, higher
catalyst loadings, and lower power density [29].

Direct Methanol Fuel Cells (DMFCs)

The DMFC configuration is similar to that of the PEM fuel cell, but instead of
hydrogen, the DMFC uses a dilute methanol solution as the fuel at the anode. As a
liquid, methanol has a much greater energy density than that of hydrogen, and in
relatively small systems has a greater specific energy when the complete storage
system is considered. Table 9.2 compares the specific energy and energy density
between hydrogen gas and other fuels [30]. The use of methanol also simplifies
transportation and refueling operations. Unfortunately, the methanol oxidation
reaction at the anode is quite slow, thus leading to low power density and the need
for high loadings of PGM catalysts. Furthermore, the membranes (e.g., PFSA iono-
mers) used in the DMFC permit methanol crossover which reduces the fuel cell
efficiency. The crossover can be mitigated by using more dilute methanol solutions
(e.g., 3–10 wt% methanol in water), but then the gravimetric and volumetric advan-
tages of methanol are reduced. This problem can be overcome by storing methanol
at high concentration and then mixing the stored fuel with water (recovered from
the cathode reaction) prior to introduction to the anode. Crossover can also be
reduced by feeding the methanol solution to the anode as a vapor. Techniques to
dilute and vaporize methanol increase the system complexity, but in many cases the
system can still be implemented passively (i.e., without the benefit of pumps,

TABLE 9.2 Comparison of hydrogen and other fuels for their specific energy and energy
density.

Fuel type Pressure (bar) Specific energy (MJ/kg) Energy density (GJ/m3)

Hydrogen, H2/metal hydrides 14 142 3.6

Ammonia, pressurized tank 10 22.5 13.6
Methanol, CH3OH/liquid tank 1 15.2 11.4
Gasoline, C8H18/liquid tank 1 46.7 34.4
452 Chapter 9 FUEL CELLS AND THEIR APPLICATIONS IN ENERGY SYSTEMS

sensors and controls) [31]. Another approach for limiting crossover is to develop
new or modified membrane materials that maintain high H+ conductivity while
exhibiting low methanol permeability, though these characteristics generally
conflict with one another [32].
In addition to limiting fuel crossover, methanol systems must be designed to
manage the evolution and transport of CO2 gas, which is produced by the methanol
oxidation reaction at the anode. The structure of the electrode and fuel supply
system must accommodate a liquid/gas mixture and must vent the gas phase to the
surroundings [33]. These requirements further reduce the power density and com-
plicate the fuel supply system.
Thus, in spite of the advantages offered by a liquid fuel, the low power
density, poor efficiency, and high cost of the DMFC have made it unattractive for
high‐power applications. Instead the DMFC is primarily considered for low‐power
applications that require extended operating periods, such as portable electronics.
Systems for these types of applications have been demonstrated at sizes ranging
from 1–100 W [31]. Widespread application of DMFC technology in these portable
power applications will likely require the development of novel membranes that
provide H+ conductivity while limiting methanol crossover.

Direct Ammonia Fuel Cells (DAFCs)

As shown in Table 9.2, ammonia has a much higher energy density than hydrogen
under the same or less pressurized condition. In addition, ammonia is a carbon‐
free gas and its reforming process does not emit CO, CO2, or any other hydro-
carbon. These characteristics of high energy density and zero‐carbon together with
low cost and the appeal of a liquid fuel have encouraged interest in ammonia as a
clean energy carrier to replace hydrogen, especially in transportation applications
[30, 34–36].
Early studies envisioned the use of ammonia as a direct fuel for elevated‐tem-
perature alkaline fuel cells or for high‐temperature solid oxide fuel cells. A reform-
ing process to convert ammonia to hydrogen was generally considered essential for
the use of ammonia in low‐temperature fuel cells. However, a recent study has
demonstrated the feasibility of using low‐temperature (<200 °C) fuel cells with
direct ammonia [34]. Under low pressure and ambient conditions, the direct
ammonia fuel cell (DAFC) holds 6 kWh/kg specific energy, much higher than the
1.7 kWh/kg held by compressed hydrogen at 700 bars. Unfortunately, ammonia is
toxic and flammable and the technology required for safe handling and storage
tends to increase the overall cost.

Prospects and Challenges for Low‐temperature Fuel Cells

Technology for PEMFCs, based on PFSA membranes, has improved dramatically
over the last two decades and seems likely to approach key performance targets
through evolutionary design and manufacturing process development. Revolutionary
advances that could encourage adoption of PEMFC technology include the
development of durable PGM‐free catalysts for the oxygen reduction reaction
 9.2 DIFFERENT FUEL CELL TECHNOLOGIES 453

(ORR) and CO‐tolerant hydrogen oxidation reaction (HOR) catalysts. The former
could, by itself, cut the gap between current and targeted PEMFC system costs in
half. The latter would significantly lower the cost of fuel processing for stationary
applications (discussed in a subsequent section), thus facilitating a gateway market
that would help move PEMFC technology forward. Other low‐temperature technol-
ogies are considerably more high risk/high reward. Technology for AEM fuel cells
is appealing for catalyst cost reduction and fuel flexibility, but low OH− conduc-
tivity in fuel cell conditions and limited durability are quite challenging. Likewise,
while HT‐PEM technology is conceptually appealing, the pathways for overcoming
high catalyst cost, low power density, and durability challenges are not clear.

9.2.2 High‐temperature Fuel Cells

High‐temperature (i.e., operating at >500 °C) fuel cells include solid oxide fuel
cells (SOFCs) and molten carbonate fuel cells (MCFCs). The SOFC typically oper-
ates in the range of 700–1000 °C, with ongoing development efforts to lower the
temperature to as low as 500 °C. The SOFC comprises a porous ceramic‐metal
(cermet) composite anode, a dense O2− conducting ceramic electrolyte, and a porous
ceramic cathode [37]. The MCFC operates at a temperature of approximately
650°C and is fabricated primarily from metallic components with a molten salt
electrolyte that is retained within a porous structure.
Sufficiently high operating temperatures may permit the direct electrochem-
ical oxidation of methane at the fuel cell anode. Even at somewhat lower tempera-
tures, thermal energy from the electrochemical reaction can be used in an upstream
fuel processor to reform ammonia, methane and other hydrocarbons to produce
hydrogen, which can then react electrochemically at the anode. High operating
temperatures also eliminate the need for precious metal catalysts because the ORR
can proceed at a sufficient rate without a catalyst at SOFC temperatures and on the
surface of inexpensive nickel oxide catalysts at MCFC temperatures, and the HOR
proceeds without a catalyst in the SOFC and on nickel catalysts in the MCFC.
Reforming of hydrocarbon fuels, though, requires catalysts that range from low‐
cost industrial catalysts such as nickel for steam‐reforming of natural gas, to more
exotic catalysts for reforming heavier hydrocarbons. In addition to fuel flexibility
and low‐cost catalysts, high‐temperature fuel cells offer the advantage of yielding
high‐temperature thermal energy that can be used for cogeneration systems that
simultaneously produce electricity and heat for buildings or industrial processes.
In general, high‐temperature fuel cells exhibit lower areal specific power,
higher cost, and slower start‐up/shut‐down processes relative to low‐temperature
fuel cells. For both SOFC and MCFC, high ohmic resistance associated with the
electrolyte requires relatively low current density and hence requires large cell
areas and large stacks. This large stack size requirement leads to high costs despite
the absence of precious metal catalysts. High‐temperature fuel cells can also expe-
rience thermal gradients or mismatches in expansion coefficients for fuel cell com-
ponents that can lead to stresses within the stack. These stresses can fracture the
454 Chapter 9 FUEL CELLS AND THEIR APPLICATIONS IN ENERGY SYSTEMS

stack materials, particularly the relatively brittle materials in the SOFC. Stresses
can be exacerbated by rapid changes in temperature, thus necessitating slow start‐
up/shut‐down processes. In addition, the need to purge the reactants from the stack
by using inert gas introduces additional complexity in the start‐up/shut‐down oper-
ations. The system complexity is further increased by the incorporation of the fuel
processing steps necessary to accommodate fuels other than hydrogen.
Large stack size and increased balance of plant complexity typically make the
overall system size much larger for high‐temperature fuel cell systems than for
low‐temperature systems of comparable power. The combination of larger sizes,
higher cost, and the need for continuous operation make high‐temperature cells a
better fit for distributed generation applications than for portable power or transpor-
tation power. Furthermore, the advantages of high‐temperature systems – use of
widely available fuels like natural gas and availability of heat for cogeneration – also
make them attractive candidates for distributed generation.

Solid Oxide Fuel Cells

Research interest in SOFCs accelerated in the 1980s with the introduction of the
Westinghouse tubular SOFC design [38]. In this design, a porous, electrically con-
ductive support tube is surrounded by concentric layers comprising the cathode, elec-
trolyte, and anode. A nickel–felt interconnect is passed through the electrolyte and
anode to provide a series‐connection between the interior cathode of one tube and the
exterior anode of the adjacent tube. In contrast to the planar structure shown in
Figure 9.3a, the tubular structure shown in Figure 9.3b simplifies fabrication, inter-
connection, and sealing issues and tends to be more resistant to damage arising from
thermal gradients within the stack. On the other hand, the power density (kW‐m−3) of
the tubular stack is lower, making costs higher. Though tubular designs are attractive
in some applications [39], the planar configuration tends to be more common [40].
The SOFC anode is a cermet which is chosen based on a number of require-
ments including the ionic and electronic conductivity, fuel composition, operating

(a) (b)
w
l flo Anode
Fue Electrolyte Interconnection

Cathode
Electrolyte
Fuel
Cathode
flow

Bipolar Air flow

plate
Air flow
Anode
Figure 9.3 Fuel cell stack structures: (a) planar; and (b) tubular. (See electronic version
for color representation of this figure.)
 9.2 DIFFERENT FUEL CELL TECHNOLOGIES 455

temperature, and thermal expansion considerations, among others, and is com-

monly a mixture of the ion‐conducting ceramic, yttria‐stabilized zirconia (YSZ),
with alloys of Ni or Cu. With a properly designed anode, the SOFC is capable of
oxidizing hydrogen, synthesis gas mixtures (derived from gasification of solids or
external reforming of natural gas) and natural gas itself [41]. Natural gas is of
particular interest, and can in theory be oxidized directly (dry) on the anode or
mixed with water to accomplish internal steam reforming within the SOFC stack.
This fuel flexibility is among the most significant advantages of the SOFC. Fuel
oxidation within the anode yields a mixture of H2O, CO2, and unreacted fuel (typi-
cally 15% or more depending on the application) at the anode exit [42]. The unspent
fuel can be oxidized to produce heat for fuel reforming, or combusted in a down-
stream gas turbine (GT) in hybrid SOFC/GT systems. If the anode exit gas is
reacted with pure oxygen, the final exhaust will consist of H2O and CO2, from
which the H2O can be condensed to yield a stream of concentrated CO2. This CO2
stream can be captured and sequestered much more economically than the CO2/
excess air mixture from a combustion process.
The electrolyte is a key determinant of cell performance for the SOFC
because, at high temperatures, activation losses are small and the voltage drop asso-
ciated with ion transport through the electrolyte dominates the cell performance.
The ionic conductivity of SOFC electrolytes is very low at room temperature but
increases with temperature. Early electrolyte materials (e.g., YSZ) required high
temperatures and low current density to achieve acceptable performance. Advances
in electrolyte materials and improved fabrication techniques that enable thinner
electrodes have allowed designers to pursue a lower operating temperature and/or
a higher current density. The former choice (lower temperature) helps minimize
the balance‐of‐plant costs, facilitate operational cycling, and improve durability,
while the latter choice reduces stack cost. Today, several electrolyte materials are
available based on the desired operating temperature, including YSZ (~700 °C),
strontium, magnesium‐doped lanthanum gallate (~550 °C), and gadolinium‐ or
samarium‐doped ceria (~550 °C) [41]. However, operation at temperatures below
600 °C begins to impact the fuel flexibility and the thermal integration with the
upstream fuel processor.
The SOFC cathode is a mixed ion/electron conducting ceramic chosen to pro-
vide excellent electrical conductivity, compatibility with the electrolyte, high elec-
trochemical activity for the ORR, porosity for oxygen transport, and high thermal
stability. Perovskites (e.g., lanthanum, strontium, manganite), are commonly used
as cathode materials and may be mixed with electrolyte materials (e.g., YSZ) to
provide ionic conductivity and to enhance the availability of gas/electrolyte/elec-
trode interfaces where the ORR occurs [41].
Research and development of SOFC systems is presently focused on improved
materials and better manufacturing processes that can yield lower operating tem-
peratures, lower cost, and improved durability. Considerable progress has been made,
with estimated high‐volume production costs for the stack dropping from $1500 to
$175 per kW over the 2000–2010 period, and stack degradation as low as 0.3% per
456 Chapter 9 FUEL CELLS AND THEIR APPLICATIONS IN ENERGY SYSTEMS

1000 h reported for recent stack designs [40]. Table 9.1 summarizes state‐of‐the‐art
performance and cost metrics for the SOFC alongside comparable metrics for other
fuel cell technologies.

Molten Carbonate Fuel Cells

Molten carbonate fuel cells were demonstrated at commercial sizes in the early
1990s, and since that time more than 80 MCFC systems have been installed in loca-
tions around the world with a combined capacity of more than 300 MW [43]. The
MCFC operates at roughly 650 °C and consists of a planar configuration that
includes a porous nickel‐aluminum anode, an electrolyte composed of a mixture of
lithium carbonate and potassium (or sodium) carbonate retained in a porous lithium
aluminate matrix, and a porous lithiated nickel oxide cathode [20]. Fuel (e.g.,
hydrogen and carbon monoxide) is supplied to the anode where it reacts with car-
bonate ions from the electrolyte to produce water and carbon dioxide. Air and
carbon dioxide are supplied to the cathode where the oxygen is reduced to form
carbonate ions (CO32−) that travel through the electrolyte to the anode. The CO2
supplied to the cathode is typically obtained by recycling a portion of the anode
exhaust gas. The need for CO2 at the cathode is unique among fuel cells and intro-
duces additional complexity for MCFC systems. Recently, CO2 capture systems
have been proposed to exploit this feature by supplying flue gas from a fossil‐fuel
power plant to the MCFC cathode. Excess air in the flue gas combined with supple-
mental air then supplies the oxygen for the ORR, while the cathode CO2 is supplied
by the combustion products in the flue gas. In this design, the CO2 from the fossil‐
fuel plant is captured in the carbonate ion and transported to the anode where it
reacts with the fuel to produce CO2 in the anode exhaust stream. The advantage that
this offers is that the CO2 is removed from the dilute flue gas and introduced into
the concentrated anode exhaust stream from which it can be more easily removed,
thus avoiding the need for expensive and maintenance‐intensive CO2 scrubbing
from the flue gas. These MCFC‐enabled CO2‐capture systems are in the early
stages of research and development [43].
Since the MCFC operates at ~650 °C and uses a relatively benign electrolyte,
it can be manufactured with collector plates fabricated from inexpensive stainless
steel (with nickel cladding at the anode) [20]. The use of low‐cost materials for the
collector plates and electrodes is a cost advantage; however, this is offset by a
relatively low areal power density (ca. 150 mW‐cm−2), which leads to large fuel cell
stacks. The operational limits imposed by a molten liquid electrolyte, the system
complexity introduced by the need for CO2‐recycle, and the large stack size make
the MCFC system unattractive for small power applications. On the other hand, the
MCFC exhibits excellent durability, with 40,000 operational hours demonstrated
and 80,000 hours targeted [20]. Further, the high operating temperature allows the
integration of fuel reforming within the stack or in a thermally integrated external
fuel processor, allowing the system to be fueled by simple hydrocarbons such as
natural gas and biogas. Currently, the MCFC is commercially available in sizes of
300 kW, 1.4 MW, 2.8 MW, and 3.7 MW [19], with recent estimates indicating an
 9.3 FUEL CELL APPLICATIONS 457

installed cost of $4200/kW for a natural gas fueled system [20]. Thus, for large
stationary applications, the MCFC offers the advantages of high efficiency, low
emissions, fuel flexibility and durability, but these advantages come at a cost pre-
mium relative to other distributed generation options (e.g., internal combustion
engines with an installed cost of roughly $1500/kW).

Prospects and Challenges for High‐temperature Fuel Cells

Technology for SOFCs shows significant promise for cogeneration systems and
advanced cycles (e.g., SOFC/GT cycles). While progress toward cost and durability
goals has been slower than originally anticipated, recent estimates of high‐volume
stack production at costs as low as $175/kW and several reports of degradation lower
than 1% per 1000 hours are very encouraging. Furthermore, the availability of low‐
cost natural gas is very favorable for the deployment of SOFC distributed generation
systems. Key remaining challenges include the development of materials with
improved durability, the development of materials and designs that achieve lower
temperatures and higher power density, and the development of manufacturing
approaches that are economical at the relatively small production scales associated
with initial markets. In contrast to SOFC technology, MCFC technology has been
relatively stable for a long period. The durability of the MCFC is impressive and it
does offer the prospect of integration with carbon sequestration systems. However,
it is difficult to see how MCFC technology will compete over the long term with
SOFC technology, which is likely to become considerably less expensive.

9.3 FUEL CELL APPLICATIONS

The successful deployment of fuel cell technology will require that the fuel cell
system provides a significant benefit over existing technologies. Currently trans-
portation and stationary power generation are the two most promising opportunities
for the adoption of fuel cell technology.

9.3.1 Transportation Applications

Since the emergence of the automobile at the turn of the twentieth century, scien-
tists and engineers have been searching for electrochemical alternatives to the
internal combustion engine as a power source for personal transportation. Early
batteries (ca. 1900) were based on lead‐acid technology and provided limited power
and range. Electric vehicles powered by improved lead‐acid and nickel metal
hydride batteries were aggressively explored again in the 1990s, but were ultimately
unable to meet consumer needs at an affordable price. Fuel cell electric vehicles
(FCEVs) emerged as a transportation alternative in the late 1990s, with the
development of the PEM fuel cell with its high power density, efficiency, and low
operating temperature, which facilitated rapid start‐up. USCAR, a consortium of
major automobile manufacturers, launched the FreedomCar initiative in 2002 to
458 Chapter 9 FUEL CELLS AND THEIR APPLICATIONS IN ENERGY SYSTEMS

encourage the development of FCEVs [44]. Initially, fuel cell technology advanced
rapidly with improvements in performance, system integration and cost. However,
durability challenges, slow deployment of a hydrogen infrastructure, limited
progress with onboard hydrogen storage, and persistently high cost estimates, due
in large measure to the use of Pt catalysts, led to waning research and development
funding by the late 2000s. In addition, the emergence of the lithium ion battery
(LIB) as a potential alternative for transportation led some to question the viability
of fuel cells. In 2011, the FreedomCar initiative transitioned to US DRIVE with a
broader portfolio of technologies including, among others, both fuel cells and
advanced vehicle batteries [44]. Today both fuel cells and LIBs are considered
viable candidates for meeting the demands for future personal transportation, with
range requirements, cost, and availability of hydrogen infrastructure likely to be the
deciding factors in the success of one or the other (or both) technologies [45, 46].
An analysis by Gallagher et al. suggests that advanced lithium batteries (e.g.,
silicon/carbon composite anodes with high‐energy nickel manganese cobalt (NMC)
cathodes) may achieve specific energy values as high as 250 Wh/kg, corresponding
to roughly twice the specific energy of current state‐of‐the‐art LIBs [47]. Battery
technologies such as pure lithium anodes and lithium‐oxygen batteries may offer
even higher values for energy density, but the development challenges for these
technologies are quite high and not likely to be solved in the near future. Groger,
Gasteiger, and Suchsland provided an analysis of range and cost for vehicles pow-
ered by advanced lithium batteries (i.e., with specific energy ~250 Wh/kg or about
double that of current batteries). They concluded that “without radical changes in
battery and/or vehicle technology, the production of battery electric vehicles with
driving ranges of ~200 miles might be challenging and for anywhere near 300 miles
is likely not feasible for the mid‐size car market due to battery weight and cost con-
straints” [45]. Larger vehicles and longer ranges are likely to be very difficult to
achieve, even with more advanced lithium batteries, unless the vehicle is hybridized
(e.g., Chevy Volt, Toyota Prius Plug‐In).
Against this backdrop, the FCEV offers the potential for larger size, lower
cost for long‐range vehicles, and rapid refueling. Currently available FCEVs
include the 2017 Honda Clarity (mid‐sized sedan), 2017 Hyundai Tucson Fuel Cell
(small SUV) and Toyota Mirai (sub‐compact sedan), which are available for lease‐
only in limited markets where a hydrogen infrastructure is emerging, such as Japan
and parts of southern California [48]. The range, power and refueling time for these
FCEVs have been shown to be comparable to gasoline vehicles. However, since
these vehicles are lease‐only, manufactured using small‐scale production, and
intended for demonstration purposes, they provide limited insight into the eco-
nomics of fuel cell technology. Most considerations of fuel cell cost reference the
US Department of Energy’s (DOE) Hydrogen and Fuel Cell Multi‐year Research
Development and Demonstration Plan (MYRDDP), which has established cost tar-
gets for FCEV implementation and has tracked progress against these targets since
2002 [8]. As noted in Table 9.1, the current cost (based on 500,000 vehicles per year
production rate) is estimated to be $53/kW with a long‐term goal of $30/kW.
 9.3 FUEL CELL APPLICATIONS 459

The current cost estimate reflects an impressive 75% reduction from the 2002 cost
estimate of $200/kW [49]. For an 80 kW‐net fuel cell system, combined with a 5 kg,
70 bar hydrogen storage tank (sufficient for 300 miles), the long‐term cost targets
yield a system cost of approximately $4900, which compares favorably with the
$21,000 advanced lithium battery system required to achieve the same range [45].
While the FCEV offers size, range, refueling rate, and at least the prospect of
reasonable cost, challenges remain in the areas of durability and hydrogen infrastruc-
ture. Currently, as indicated in Table 9.1, durability in typical vehicle applications is
estimated to be about half of the necessary 8000 hours. As noted previously, catalyst
degradation and membrane damage represent key impediments to longer life, with the
power management system playing a key role in managing the cell voltage to limit
damaging cell potentials during dynamic operation. In the area of infrastructure, an
enormous investment will be required to implement a hydrogen refueling network
large enough to allow the widespread adoption of FCVs. In the near term, this is likely
to limit FCVs to captured fleets (e.g., taxis, service vehicles, etc.) or to high‐density
population centers where the infrastructure is more economical. More widespread
application may require smaller, cheaper, less complex refueling stations. Key enabling
technologies for these stations are likely to be low‐cost electrolyzers and advanced
hydrogen storage technologies that allow vehicles to store hydrogen at lower pressures
(<100 bar), thus reducing the cost of hydrogen compression and dispensing systems.
The environmental impact of large‐scale FCEV deployment depends on the
scope of the analysis and the origin of the hydrogen fuel. Locally, hydrogen‐fueled
FCEVs are environmentally benign, producing only water as a tailpipe emission,
and eliminating emissions of CO2 as well as all of the criteria pollutants (i.e., par-
ticulates, oxides of sulfur, oxides of nitrogen, carbon monoxide, unburned hydro-
carbons) associated with internal combustion engine (ICE) vehicles. Globally, the
impact of the FCEV on CO2 emissions depends on whether the hydrogen is pro-
duced by reforming natural gas or by electrolyzing water.1 Natural gas reforming is
the most common approach for industrial production of hydrogen, and yields CO2
in proportion to the carbon content in the natural gas. For the same amount of
energy, natural gas has a lower carbon content than petroleum fuels. Furthermore,
FCEVs operate with a higher efficiency, particularly at part‐load, than ICE vehi-
cles. On the other hand, compression and distribution of hydrogen is more energy‐
intensive than distribution of petroleum fuels. Electrolysis is currently a more
expensive and less common method for producing hydrogen, and the global emis-
sions depend on whether the electricity is produced by a typical utility mix of gen-
erating resources or whether the electricity is derived from renewables.
A well‐to‐wheels analysis suggests that FCEVs emit 50% less CO2 than using
ICEs fueled by gasoline when the hydrogen for the FCEV is produced by steam
methane reforming and stored onboard as compressed hydrogen. If hydrogen is

1
Electrolysis achieves the opposite result of the fuel cell reaction in a similarly configured device. In
electrolysis, water enters the electrolyzer and an electrical current is used to drive oxygen evolution at
one electrode and hydrogen evolution at the other.
460 Chapter 9 FUEL CELLS AND THEIR APPLICATIONS IN ENERGY SYSTEMS

produced by electrolysis and the electricity source is the US average mix of

­generating resources, then FCEVs yield roughly 20% more CO2 than gasoline ICE
vehicles. However, if the electricity is from renewables (i.e., hydro, solar or wind)
or nuclear, then both local and global FCV emissions are negligible [50].

9.3.2 Stationary Power Generation Applications

The prospects for the use of fuel cells in stationary power applications are, in many
respects, more promising than in transportation applications because the technical
and economic constraints are less demanding. Stationary fuel cell systems are gen-
erally fueled by natural gas and designed to provide 1–25 kW for single and multi‐
family residences (micro‐cogeneration) and 100 kW–3.0 MW for commercial and
utility systems. In contrast to transportation applications, the weight and volume
constraints for these systems are not as stringent, and system costs as high as $1000/
kW for natural gas fired systems can be economically attractive. The primary
competing technology at very small sizes (<25 kW) is the small‐scale internal
combustion engine (ICE), which is not well suited for long‐term continuous opera-
tion and which has relatively high maintenance costs. At larger scales, automobile
or diesel derivative engines and micro‐turbines are the primary competition and
also suffer from relatively high maintenance requirements.
To compete with conventional systems at the small scale (1–25 kW), the US
DOE 2020 targets presented in Table 9.1 specify a fuel cell system cost for large‐
scale production (i.e., 50,000 units per year) of $1000/kW and an operating lifetime
of 80,000 hours [48]. Similar costs and durability are targeted for larger systems at
smaller production scales. Some researchers argue that these targets are overly
ambitious and that a more reasonable cost goal is roughly $3000/kW [51]. For
current technology at current production volumes, costs are much higher and life-
times lower than targeted, and yet several aggressive demonstration programs have
been implemented. The largest demonstration program is the Japanese Enefarm
program, an effort of the Japanese government, utilities, and fuel cell manufac-
turers, which as of 2012 had been involved in the installation of more than 20,000
micro‐cogeneration systems. The 2012 price of these 700 W PEMFC‐based sys-
tems was roughly $21,000 before subsidies. Japan, in conjunction with Osaka Gas,
has also supported a large demonstration project for 700 W SOFC‐based micro‐
cogeneration systems [52]. In addition to the micro‐cogeneration systems widely
demonstrated in Japan, other cogeneration systems have been demonstrated at var-
ious sizes ranging from a few kW to 3.0 MW. These systems have employed
PEMFC, HT‐PEM, MCFC, and SOFC technologies.
A primary advantage of the high‐temperature fuel cell based stationary power
systems is that cogeneration – the simultaneous on‐site generation of power and
thermal energy – makes better use of primary energy resources than centralized
power generation. In a typical centralized coal‐fired power plant, 60–65% of the
chemical energy supplied in the fuel is discharged to the environment due to
conversion losses without providing any useful benefit. Even for the newest
 9.3 FUEL CELL APPLICATIONS 461

combined cycle power plants, roughly 40% of the input energy is discharged at the
power plant. Furthermore, transmission and distribution losses lead to another
5–10% loss. On‐site cogeneration allows the input fuel energy to be converted to
electricity while allowing the thermal energy arising from conversion losses to be
used for space heating or water heating. Cogeneration systems are commonly char-
acterized by both an electrical efficiency and a cogeneration efficiency defined
respectively as:

W sys
el (9.1a)

mHV

W sys Q
cogen (9.1b)

mHV

where W sys is the power provided by the system (J‐s−1), m is the mass flow rate of
fuel (kg‐s−1), HV is the heating value of the fuel (J‐kg−1), and Q is the thermal output
rate available from the system (J‐s−1), while other variables are as previously
defined. The cogeneration efficiency is somewhat misleading since the thermal
output supplied by the system is worth considerably less economically (and ther-
modynamically) than the power output, but the metric is still commonly used. For
natural gas fired cogeneration systems, typical values for electrical efficiency are
30–40%, and typical values for cogeneration efficiency are 70–90%.
For a fuel cell generation system that contains a fuel reformer, the fuel cell
stack efficiency improves with decreasing load, but the reformer efficiency
decreases with decreasing load as heat loss from the reactor vessels becomes
relatively more significant. The combination of these two effects makes both the
electrical and cogeneration efficiency relatively constant across a wide range of
operation.
Another important consideration related to the efficiency metrics for a cogen-
eration system is that they indicate the fraction of the fuel input that is available
from the system as electrical and thermal energy. But, to be useful, the output
energy streams have to be both available and needed. Further, since both thermal
and electrical energy are related to the fuel flow rate, they vary together and may or
may not be in the same proportion as the thermal and electrical needs of the facility.
For example, if the cogeneration system is operated to meet the electrical demand
(i.e., electrical load following operation) for air conditioning while the simulta-
neous space heating and water heating requirements are small, then the thermal
energy is not fully utilized and the effective cogeneration efficiency is reduced. On
the other hand, if the system is operated to meet the thermal load (i.e., thermal load
following operation), which happens to be small, and generates little electricity,
then supplemental electricity must be purchased from the electrical grid. The
thermal and electrical loads of the building can be aligned with the energy outputs
from the cogeneration system by a bi‐directional grid connection that allows
electricity to be sold to or purchased from the grid; by on‐site batteries; and/or by
462 Chapter 9 FUEL CELLS AND THEIR APPLICATIONS IN ENERGY SYSTEMS

thermal storage in the form of a variable‐temperature water tank. The proper design
of a cogeneration system can be quite complicated and requires consideration of the
electrical and thermal load profiles, the system electrical and cogeneration efficiency
metrics, storage options, and utility pricing structures. For the Japanese Enefarm
demonstration program, the micro‐cogeneration systems were sized to meet only a
fraction of each residence’s electrical power demand, with grid interconnection and
thermal storage used as necessary to maximize the use of both the electrical and the
thermal outputs.
In contrast to transportation applications where the environmental effects
depend on the fuel source, stationary applications are almost always environmen-
tally attractive. First, stationary fuel cell systems use natural gas, which has a lower
carbon content and yields fewer emissions of criteria pollutants than the average US
utility fuel mix, which typically includes coal, natural gas, and some nuclear.
Second, stationary fuel cells convert fuel to electricity at the point of use with a
greater efficiency than the average power plant can generate and distribute
electricity.2 Finally, the heat available from a fuel cell cogeneration system offsets
the use of other fuels that would be combusted to meet the coincident heating load.
Thus, stationary fuel cell systems reduce overall energy use and associated emis-
sions when compared with energy systems based on conventional centralized power
plants. The magnitude of the environmental benefit depends significantly on the
effective cogeneration efficiency.

9.4 ELECTRICAL CHARACTERISTICS

9.4.1 Steady‐state Operation

The steady‐state electrical characteristics of a fuel cell are typically expressed in a
polarization curve, similar to that shown in Figure 9.4 that relates voltage to current.
The theoretical open circuit voltage is determined by thermodynamics and is a
function of the cell temperature, the cell pressure, the type of fuel, and the concen-
trations of fuel in the anode and oxygen in the cathode. For a single fuel cell operating
on hydrogen and air at atmospheric pressure, the theoretical open circuit voltage
ranges from approximately 1.2 V for a PEM fuel cell at 80°C to approximately 1.0 V
for a SOFC at 700°C. The actual open circuit voltage is somewhat less due to fuel
crossover from the anode to the cathode. Referring to Figure 9.4, the initially steep
drop in voltage associated with increasing current for the PEM fuel cell is attribut-
able to the activation overpotential required to sustain the rate of the electrochemical
reaction. Because of the high operating temperature, the activation overpotential is
lower for the SOFC. As the current continues to increase, an ohmic overpotential

2
Modern combined cycle power plants have a higher generating efficiency (e.g., ~60%) than stationary
fuel cell plants, but the average electrical efficiency over all generating plants remains in the 35–40%
range.
 9.4 ELECTRICAL CHARACTERISTICS 463

PEM voltage SOFC voltage PEM power density

Voltage, V or areal power density, W-cm–2 1.2

1.0

0.8

0.6

0.4

0.2

0.0
0 0.5 1 1.5 2 2.5 3
Areal current density, A-cm–2
Figure 9.4 Polarization curve of a fuel cell depicting a steady‐state relationship between
voltage and current. (See electronic version for color representation of this figure.)

associated with the transport of ions through the electrodes and electrolyte and the
transport of electrons through the electrodes and collector plates also becomes
significant, causing the voltage to decline linearly with current over a broad range.
Finally, as the current approaches high values, the concentration of reactants in each
electrode decreases due to mass transfer limitations through the porous electrode,
leading to a concentration overpotential that eventually drives the cell voltage to
zero. The concentration overpotential is high for the PEMFC due to the formation of
liquid water at high current, which impedes oxygen transport through the electrode.
The power provided by the cell is simply the product of voltage and current
and, as shown for the PEM fuel cell in Figure 9.4, reaches a maximum at a current
density roughly corresponding to the onset of significant concentration overpoten-
tial. The ideal electrical efficiency, ηideal of the cell can be expressed as the ratio
of the work available from the reaction (given by the change in Gibbs energy, ΔG
(J‐g−1), for the reaction) to the heating value of the fuel, HV (J‐g−1):

G
ideal
(9.2)
HV
Multiplying the numerator and denominator by the mass flow rate of fuel, m (g‐s−1),
and recognizing that the product of the mass flow and ΔG is the ideal power, W ideal
(W), yields:

m G W ideal Videal I
ideal (9.3)

mHV 
mHV 
mHV
464 Chapter 9 FUEL CELLS AND THEIR APPLICATIONS IN ENERGY SYSTEMS

where Videal is the ideal or reversible voltage and I is the current. For fuel cells
operating on hydrogen with minimal fuel crossover, the difference between Videal
and the operating cell voltage, Vcell, reflects the sum of the overpotentials and thus
the main inefficiencies associated with the cell.3 The effect of these inefficiencies is
captured in the voltage efficiency, ηV:

def Vcell
V (9.4)
Videal

The fuel cell electrical efficiency, ηfc, is the ratio of the fuel cell stack power, W fc (W),
to the flow of chemical energy into the stack and can be related to the ideal efficiency
and the voltage efficiency:

W fc Videal I Vcell
fc ideal V (9.5)
m HV 
mHV Videal

Eq. (9.5) implies that that the polarization curve also provides a good approxima-
tion of the variation of fuel cell efficiency with current. At high current, the cell
efficiency suffers, while at part‐load, the cell becomes more efficient as Vcell
approaches Videal. This is in contrast to many other energy conversion devices for
which the part‐load efficiency is poor. Efficient performance at part‐load makes
fuel cells attractive for transportation and distributed generation applications, which
may see the majority of their operating hours at low load.
The overall electrical efficiency, ηel, is defined as the ratio of the net power
provided by the system, W sys (W) to the flow rate of chemical energy into the system:

W sys
el BOP V ideal
(9.6)

mHV
where the BOP efficiency, ηBOP, reflects the efficiency of the BOP components at
converting W fc to net power:

W sys
(9.7)
W
BOP
fc

The overall electrical efficiency can vary through a wide range depending on the
fuel type and application.
Figure 9.5 illustrates the relationship between fuel cell efficiency metrics and
depicts representative efficiency behavior for both hydrogen‐fueled systems and
natural gas‐fueled systems. For the hydrogen‐fueled PEMFC, efficiency decreases

3
In the case of direct methanol fuel cells, for which fuel crossover is significant, and for fuel cells
operating with more complex fuels, the description of the fuel cell efficiency requires additional
considerations.
 9.4 ELECTRICAL CHARACTERISTICS 465

1.0

0.8

0.6
Efficiency

0.4

0.2

0.0
0.0 0.2 0.4 0.6 0.8 1.0
Part-load fraction

Ideal hydrogen fuel cell (25c) PEM fuel cell

Nat. gas-fueled PEM balance of plant Nat. gas-fueled PEM system

Nat. gas-fuel SOFC system

Figure 9.5 Fuel cell efficiency metrics varying with load fraction and system type.
Representative trends are shown here, but actual performance varies widely with system
design. (See electronic version for color representation of this figure.)

with increasing load fraction. However, the efficiency of the BOP increases with
increasing load fraction as thermal losses from the fuel processor become relatively
less important. As an example, the net effect for a residential natural gas‐fueled
PEMFC system is a relatively flat efficiency curve down to about 50% load, fol-
lowed by a steep decrease at lower loads. The residential natural gas‐fueled SOFC
system tends to have a flatter profile throughout the performance range due to sim-
plified fuel processing requirements. Ellamla et al. provide a more detailed
discussion of part load performance for residential cogeneration systems [53].

9.4.2 Dynamic Operation

Fuel cell dynamic operation reflects three different phenomena that occur at
­different rates: (1) the electrochemical reaction, which responds very quickly;
(2) the mass transport processes within the stack, which respond more slowly; and
(3) the response of the system equipment, which is likely to be even slower. Within
the electrode, the electrochemical reaction forms a charge double‐layer across the
interface between the electrically conductive phase and the ion‐conducting phase,
which behaves like a capacitor. This double‐layer forms in parallel to the charge
transfer pathway, leading to the simplest electrical description of the fuel cell, the
Randles circuit illustrated in Figure 9.6a.
466 Chapter 9 FUEL CELLS AND THEIR APPLICATIONS IN ENERGY SYSTEMS

(a)
0.75
Cdl 0.7 Ohmic loss

Cell voltage (V)

RΩ 0.65
Rct Zw 0.6
W 0.55 Double layer discharge
0.5
0 0.5 1 1.5 2

Time (s)
(b)
0.75
0.7
Cell voltage (V)

Reactant depletion
0.65
Balance of plant response
0.6
0.55
0.5
0 20 40 60 80 100
Time (s)
Figure 9.6 Dynamic fuel cell circuit model: (a) dynamic response at short times described
by the Randles circuit; (b) over a longer time period, the response is characterized by
multiple timescales.

In the Randles circuit, the charge transfer pathway is characterized by a charge

transfer resistance, Rct, and an additional mass transfer impedance, which may
behave like a simple resistor or a more complicated nonlinear Warburg impedance,
ZW. The final element in the circuit is a resistive element, RΩ, which reflects the
losses associated with electrical and ionic conduction through the cell. The cell sur-
face area for the double‐layer is formed in the microporous electrode and is quite
large, leading to a very large capacitance, Cdl. On the other hand, the large surface
area for the reaction results in a small charge transfer resistance, Rct. The time
constant for the resulting resistor‐capacitor (RC) circuit is generally small (less than
1 s for PEM fuel cells). In contrast, the mass transport processes in the cell involve
depletion or accumulation of chemical species in the electrode pores and flow chan-
nels due to the fuel cell reactions, and occur at somewhat longer time constants.
Finally, the fuel and oxidant supply systems and cell temperatures respond at even
slower rates (of the order of 10–100 s for a typical PEM fuel cell) [54].
Figure 9.6b illustrates the typical response of a fuel cell to a step increase in
the applied current. Initially, the voltage drops instantaneously due to the ohmic
resistance of the cell. The voltage then gradually declines further to a new quasi‐
steady value over a timescale determined by the electrochemical processes charac-
terized by the Randles circuit (~1 s). However, the new, higher cell current will
begin depleting the concentration of reactants in the flow channels, leading the cell
 9.4 ELECTRICAL CHARACTERISTICS 467

voltage to continue to decline. Finally, the system will respond over a longer time-
scale by increasing the air compressor flow, adjusting the hydrogen supply valve
(or increasing the flow through the fuel processor), and responding to the changing
thermal characteristics of the stack, thus bringing the system to a new steady
condition. A step decrease in current results in the opposite series of changes.
Several dynamic analyses of these processes can be found in the literature
with models implemented using tools commonly employed for electrical system
analysis [54–57].
The actual response of a fuel cell system depends heavily on the BOP design.
If the BOP, especially the compressor, responds quickly enough, the time constant
can be significantly reduced. Figure 9.7 plots the experimental time‐domain response
of a 1.2 kW PEM fuel cell stack that has been accelerated with a compressor over a
6‐second test period [21]. Initially under no‐load conditions, the fuel cell stack
voltage vFC stays at 43 V. With a step increase in resistive loading, the voltage pres-
ents an undershoot determined by the double‐layer discharge and the local reactant
depletion, but then returns to an equilibrium condition of 27.2 V. The compressor
reacts immediately after the load step, thus limiting the dynamic time constant to a
small value. At the 5.4 s time mark, following the instantaneous load removal, the
voltage returns to the open‐circuit voltage condition without overshoot, but the
power presents an overshoot due to the delayed response of the BOP.

50
43V
40
27.2V
vFC(V)

30
20
10 Voltage undershoot
0

60
50
40
iFC(A)

30
20
10
0

2000
150W dip 300W
1500
pFC(W)

1000 Overshoot
500 Step load: 1.47kW
0
0.0 0.5 1.0 1.5 2.0 2.5 3.0 3.5 4.0 4.5 5.0 5.5 6.0

Time (s)
Figure 9.7 Experimental waveforms of a 1.2 kW PEM fuel cell stack under step‐up and
step‐down load change conditions.
468 Chapter 9 FUEL CELLS AND THEIR APPLICATIONS IN ENERGY SYSTEMS

FC VOLT Fuel cell voltage (20V/div)

Ultra-capacitor current (20A/div)

C1
ULTRA CAP CUR

C2

FC CUR Fuel cell current (20A/div)

C3
DC LOADCUR

C4 Load current (5A/div) 50 ms/div

Figure 9.8 Fuel cell dynamic load step responses with added 145 μF ultracapacitor.

9.4.3 Dynamic Operation with a Paralleled Ultracapacitor

Referring to Figure 9.7 for a load step with no externally added capacitance, the
fuel cell voltage shows a noticeable dip under the load step condition. As suggested
by the literature [58], it is possible to reduce such a voltage dip with a large capac-
itor bank or ultracapacitors. Figure 9.8 demonstrates a test case with an added
145 μF ultracapacitor. With a step load of 40 A, the ultracapacitor absorbs nearly all
the load current, and the fuel cell current and voltage remain near constant. If the
plot were observed over a much longer time period, the capacitor current would
return to zero, and the fuel cell current would equal the load current. This test result
indicates that an ultracapacitor stabilizes the fuel cell voltage and current during
load dynamics and is a good companion for the fuel cell stack.

9.5 FUEL CELL POWER SYSTEM ARCHITECTURE

A complete fuel cell power system requires a BOP to manage the power output
and to ensure the fuel cell operates under the most efficient and reliable condi-
tions. In addition, a power electronics system is needed to regulate the output of
the fuel cell under different load conditions and to convert the output to different
power formats.

9.5.1 Balance‐of‐Plant
A typical fuel cell power system is shown in Figure 9.9. The core of the entire fuel
cell power system is the fuel cell stack, which consists of tens or even hundreds of
cells connected in series. As discussed in conjunction with Figure 9.1, the BOP
controls flow rate, pressure, temperature and humidity using heat exchangers,
 9.5 FUEL CELL POWER SYSTEM ARCHITECTURE 469

Core of fuel cell Balance of plant (BOP)

Flow rate
Pressure
Humidity
Fuel in Electrode
Membrane Temperature
Electrode
Assembly
Electrode
Assembly
Electrode
(MEA)
Assembly
(MEA)
Assembly
(MEA) Power electronics
(MEA)
DC-DC for portable
DC-AC for household
DC-variable frequency
Energy storage
AC for automotive

Figure 9.9 Fuel cell system architecture showing the stack as the core, BOP, and power
electronics blocks.

humidifiers, compressors and blowers. The significance of the BOP controls can be
illustrated by the 80 kW transportation PEM fuel cell system described in the US
DOE’s MYRDDP [8]. The BOP for this application incorporates a compressor and
expander to control the stack pressure and pumps to supply water for cooling and
humidification, and recovers the power from the exhaust air. The state‐of‐the‐art
system requires 11 kW with the expander and 17.3 kW without the expander for the
air compression system. A multi‐year research plan has been undertaken to reduce
such ancillary power to 8 and 14 kW with and without the expander. However, even
with these improvements, maintaining the pressure and humidity of the stack reac-
tants to support efficient cell operation will still require an additional 10–18% of the
stack net power. While other approaches have been explored to control PEM
hydration, such as periodically driving individual cell currents to high rates to inter-
nally generate water for hydration [59], operating the stack at pressure with humid-
ification remains the favored mode of control despite the ancillary power burden.

9.5.2 Fuel Cell DC Power Systems

In addition to controlling the BOP, the power management system must provide
stable voltage for the associated load. To stabilize the output voltage and to limit the
effect of voltage fluctuations imposed by the load on the fuel cell, a large capacitor
bank can be added across the fuel cell output, but the life expectancy of such a
capacitor bank can be a concern, especially with the use of electrolytic capacitors.
As shown in Figure 9.10a, it is possible to add a DC‐DC boost converter for each
fuel cell and connect the converter outputs in series, which not only stabilizes the
load‐side voltage, but also helps voltage balancing and provides the boost function
[60]. However, the cost is proportionately increased as the number of cells increases.
Therefore, instead of adding DC‐DC converters at the cell level, most high‐voltage
systems adopt a DC‐DC converter as the buffer stage in between the load and the
fuel cell stack, as shown in Figure 9.10b [61–65]. In large fuel cell systems, [66–68]
470 Chapter 9 FUEL CELLS AND THEIR APPLICATIONS IN ENERGY SYSTEMS

(a) (b)
Fuel DC-DC
cell boost

Fuel DC-DC
cell boost DC-DC
Load boost Load
Fuel
cell
Fuel DC-DC stack
cell boost
Figure 9.10 (a) Fuel cell output with rch fuel cell and stack the boost converter output;
(b) adding a boost converter for the entire series connected stack.

(a) (b)

Fuel Fuel
DC-DC
cell Load cell Load
boost
stack stack

Bi-directional Bi-directional
DC-DC DC-DC
converter converter

Figure 9.11 Fuel cell systems with added battery energy management: (a) matching fuel
cell stack output voltage with load, but adding a bi‐directional DC‐DC converter for the
battery; (b) adding a uni‐directional DC‐DC boost converter for the fuel cell and a
bi‐directional DC‐DC converter for the battery.

suggest the entire stack be split into multiple substacks connected in series, with
each substack incorporating an isolated DC‐DC converter with inputs connected to
each substack and outputs connected in series to provide high‐voltage DC output.
For a fuel cell system with multiple sources, especially with an added battery
pack to help stabilize the fuel cell output voltage, additional power management
converters are needed. In electric vehicles where cost is very sensitive, the fuel cell
is normally stacked at a higher voltage level that can directly power the load, with
an added battery‐powered DC‐DC converter that must be bi‐directional as shown in
Figure 9.11a and Figure 9.11b [65, 69–74]. Depending on system requirements, the
added battery and associated bi‐directional DC‐DC converter can be used as an
energy buffer to serve as power management for a stack with a significantly lower
power rating for cost reduction.
In [73] a battery coupled with a bi‐directional DC‐DC converter was pro-
posed to serve multiple purposes for fuel cell electric vehicles. Basic functions of
the bi‐directional DC‐DC converter are described as follows.
 9.5 FUEL CELL POWER SYSTEM ARCHITECTURE 471

1. During start‐up, a low‐voltage 12 V battery charges the high‐voltage 300 V

DC bus to provide sufficient bus voltage to power the fuel cell’s ancillary sys-
tems, especially the air compressor. The battery is under “discharging mode.”
2. After fuel cell power is established and during vehicle regenerative braking,
the high‐side DC bus voltage recharges the battery, and the battery is under
“charging mode.”
3. During vehicle accelerating and uphill driving conditions, the battery supple-
ments the power to the high‐side DC bus, and the battery is under “discharg-
ing mode.”
With a large difference in voltage scale between input and output, the DC‐DC
converter circuit in [73] adopts an isolation transformer that changes the voltage
ratio to allow switching devices rated according to their respected voltage levels. In
[74], however, with a similar system architecture and similar voltage scale between
battery and fuel cell, non‐isolated circuit topologies are adopted. In addition, the
system in [74] has a load voltage much higher than that of the fuel cell and battery,
so two converters for both fuel cell and battery are needed to match the DC bus
voltage, as shown in Figure 9.11b.

9.5.3 Grounding Requirement for Fuel Cell AC Power Systems

For a power electronic circuit, the selection of circuit topology with or without iso-
lation typically depends on cost and efficiency considerations. If the input and
output voltage ratio is high, using transformer isolation is naturally the choice
because it allows the semiconductor devices to be sized according to the voltage
and current levels. If the input and output voltage levels are similar, non‐isolated
circuit topologies are normally adopted to reduce the cost and increase the efficiency.
In some special power conversion cases, isolation is required by regulations.
For example, when a fuel cell system includes both AC and DC power outputs, the
National Electric Code Article 692 (NEC‐692) requires that the DC ground be
bonded to the AC grounding system [75]. The requirement that DC and AC share
the same ground implies that the fuel cell DC output must be isolated from the AC
lines. As most fuel cell output DC is low voltage relative to the AC line voltage, the
isolation can be implemented with an isolated DC‐DC converter which naturally
provides isolation and voltage boost through a high‐frequency transformer.
Figure 9.12 indicates the grounding configuration of a fuel cell power system
that consists of a DC voltage at the fuel cell output Vdc and an AC voltage at the
inverter output Vac. The fuel cell is represented by a fixed DC source Vfc along with
an internal nonlinear resistance Rfc. The negative terminal of Vfc and the neutral of
the AC lines are connected to the same ground node. Thus, the power electronics
circuit requires isolation to avoid a short‐circuit between input and output. For a
photovoltaic (PV) power system, such a source grounding is not required by NEC
(NEC‐690) [75] because the PV panel does not have an associated BOP control
system, and thus the circuit isolation is unnecessary in PV power systems.
472 Chapter 9 FUEL CELLS AND THEIR APPLICATIONS IN ENERGY SYSTEMS

Fuel cell Vdc+ Vac+

DC-DC
Rfc Non-isolated
converter Neutral
Vdc DC-AC Vac
with
Vfc inverter
isolation

Vdc– Vac–

Figure 9.12 Grounding system requirement for a fuel cell AC power system.

9.6 POWER ELECTRONICS FOR FUEL CELL

APPLICATIONS

A power electronic circuit contains mainly switching devices and passive compo-
nents to convert the input and output with different magnitudes or different formats
such as DC or AC. For fuel cell applications, the input source is DC, so the major
components are DC‐DC converters and DC‐AC inverters.

9.6.1 DC‐DC Converters

Basic DC‐DC converter topologies can be categorized into buck (or step‐down),
boost (or step‐up), and buck‐boost [76–78]. Without isolation, these basic DC‐DC
converters are more suitable for similar voltage levels between input and output to
avoid a significant penalty on switching device voltage and current ratings. With
isolation, the topology choices are numerous, but the selection process is non‐
trivial. In general, most fuel cell stacks operate at a relatively low voltage. To obtain
a high‐voltage AC output, the fuel cell output voltage must be boosted with a high
conversion ratio to a level that is higher than the peak value of the AC output
voltage. In this case, an isolated DC‐DC circuit with a high voltage conversion
function is the natural choice.

Single‐Switch Isolated DC‐DC Converters

The three basic non‐isolated DC‐DC converter topologies can be extended to iso-
lated buck (or forward), isolated boost, and isolated buck‐boost (or flyback) con-
verters [76–78]. These simple isolated DC‐DC converters require only one
switching device, but their transformers typically operate in the first quadrant where
both flux density and magnetic field strength are positive. In other words, the
magnetic core is not fully utilized with single‐switch type converter circuits.
Although single‐switch type DC‐DC converters serving as the boost and
buffer stage between source and inverter are not widely adopted in fuel cell appli-
cations, other low‐power renewable energy sources, especially PVs, tend to prefer
single‐switch type converters at the low‐power panel or subpanel level because of
the cost and parts‐count considerations. Several variations of single‐switch type
DC‐DC converters are available to convert low voltage to high voltages. In [79–88],
 9.6 POWER ELECTRONICS FOR FUEL CELL APPLICATIONS 473

(a) (b)
D1 D1

C1 C1
Vo
Vin Vo
C2 C2
Vin S1
S1
D2 D2
Figure 9.13 Single‐switch forward‐flyback DC‐DC converters suitable for low‐cost and
low‐power applications: (a) with one switch and two secondary stages connected in series; (b)
a shared winding type with one switch and two secondary stages that share the same winding.

high‐voltage boost ratio power conversions were proposed using the combination
of boost and flyback converters. These topologies are mainly non‐isolated and are
more suitable for PV applications because the NEC does not require the PV output
terminal to be grounded.
Shown in Figure 9.13, two isolated DC‐DC converters employ the combination
of forward and flyback converters using only one switch [89–94]. The energy
transfer with such a combination can be performed during switch turn‐on and turn‐
off periods, thus achieving better transformer utilization and overall efficiency.
These converters can be used for fuel cells where isolation is required, but are
limited to relatively low‐power applications due to high switch stresses.
The converter circuit shown in Figure 9.13a is considered a hybrid forward‐
flyback DC‐DC converter that employs only one switch and two secondary stages
connected in series. When switch S1 is turned on, the forward converter transfers the
energy to output capacitor C1 through diode D1 and the top‐side secondary winding.
When switch S1 is turned off, the flyback converter transfers the energy to output
capacitor C2 through diode D2 and the bottom‐side secondary winding. For
Figure 9.13b, a hybrid forward‐flyback DC‐DC converter employs only one switch
and one shared secondary winding to reduce the component counts. In [89], an
active clamping switch was added with an operating mode that turns on and off the
switch under zero voltage and near‐zero current condition. The hybrid structure also
allows the transformer flux to swing in both first and third quadrants and fully
utilizes the magnetic core. With near‐zero switching loss and full utilization of the
magnetic core, the power conversion efficiency is substantially higher than the con-
ventional forward or flyback converter alone. The reported converter peak efficiency
in [89] is 97.5% under low‐voltage 45 V input and high‐voltage 400 V output
condition for a 250 W system.

Multiswitch Isolated DC‐DC Converters

Although the single‐switch versions of the DC‐DC converters can fully utilize the
magnetic core and achieve satisfactory power conversion efficiency, the switch
current stress can be excessively high for high‐power systems. It is necessary to add
474 Chapter 9 FUEL CELLS AND THEIR APPLICATIONS IN ENERGY SYSTEMS

switches to share the duty among them and to reduce the stress of the individual
switches. As an alternative, the two basic two‐switch isolated DC‐DC converters
are push‐pull and half‐bridge converters [76–78]. The push‐pull converter utilizes
the center‐tap transformer, with the center of the winding connecting to the source
and the two ends of the winding connecting to switches that turn on and off com-
plementary to one another. Thus, the transformer flux swings between positive and
negative symmetrically, which allows full utilization of the magnetic core. The
main issue with this topology is the voltage stress of the individual switch, which
sees twice the input voltage, thus requiring power semiconductor devices with
higher voltage ratings. The half‐bridge converter utilizes split capacitors to provide
two voltages that are half the input voltage. The main issue with this topology is the
switch current stress, which is essentially double because the voltage supplied to
the transformer is half.
For high power applications, the voltage and current stresses must be within
the specified operating range for the switch, and thus the most popular circuit is the
full‐bridge converter [76–78]. The full‐bridge can be considered as two half‐bridge
converters that connect the transformer winding in between two phase‐leg outputs.
Instead of using the middle point of the capacitor or the center tap of the trans-
former winding as one of the primary nodes, which tends to be unbalanced with
component mismatch, the full‐bridge converter offers relatively balanced voltage
between positive and negative cycles. The voltage stress is the same as the fuel cell
input supply, and the current stress is the same as the rated input current.
Based on the switching circuit input, all multiswitch DC‐DC converters can
be configured with voltage source or current source. If the input of the switching
circuit is fed by a stiff voltage source, typically a capacitor, then the circuit is con-
sidered a voltage‐source or voltage‐fed converter. If the switching circuit is fed by
a stiff current source, typically an inductor, then the circuit is considered a current
source or current fed converter. The abovementioned push‐pull, half‐bridge, and
full‐bridge converters can each be configured for operating with a voltage or current
source. If the primary‐side switching circuit is a voltage source, then the secondary‐
side rectifying circuit output must be connected to the output capacitor through an
inductor. In other words, a voltage source input must be buffered with a current
source secondary before supplying the output. For current source converters, the
primary‐side switching circuit is fed with a stiff current source or a large inductor,
and the secondary‐side rectifying circuit output can be directly connected to the
output capacitor.
The converter switching devices are normally switching at high frequencies,
tens of kilohertz (kHz) for high‐power systems and hundreds of kHz for low‐power
systems, and the current slew rate (i.e., di/dt) is quite high such that it tends to pro-
duce a high voltage spike. Additionally, the turns‐ratio of the transformer needs to
be high enough to accommodate the fuel cell input voltage variation, which typi-
cally drops 50% from no load to full load following the polarization curve. For
voltage source converters, under light‐load condition, the transformer secondary
output voltage is more than 50% higher than the output voltage. Similarly, for
 9.6 POWER ELECTRONICS FOR FUEL CELL APPLICATIONS 475

current source converters, the transformer primary‐side input voltage is more than
50% higher than the source voltage. Since the output side of the converter is a rec-
tifier circuit, for a voltage source converter, the output diodes must be rated at a
higher voltage. For current source converters, however, with overvoltage on the
primary side, the switches must be rated at a higher voltage. To reduce the voltage
stress, a clamping circuit is normally added to reduce the stress on diodes in voltage
source converters and on switches in current source converters. The clamping cir-
cuit can be passive or active. With an active clamp, since the clamping switches are
turned on and off under zero‐voltage and zero‐current conditions, and the energy is
circulating between capacitors, the efficiency is generally higher [73, 95, 96].
However, the addition of the clamping switch and associated control tends to
increase the cost and complexity.
To explain the difference between voltage and current source converters, a
full‐bridge converter is used as the example. Figure 9.14a and Figure 9.14b com-
pare the active clamp circuit arrangements between voltage source and current
source converters. In Figure 9.14a, the primary‐side full‐bridge switching circuit
consists of four switches, S1–S4, and is fed by a voltage source Vin, which connects
across the fuel cell output with a relatively large capacitor Cin across the converter

(a)
Vin Ld

S1 S3
1:n Sc
Rfc
Cin Cdc Vo
Vfc Cc
S2 S4

(b)
Lin Iin

Sc S1 S3
1:n
Rfc
Cin Cdc Vo

Vfc
Cc
S2 S4

Figure 9.14 Two different full‐bridge DC‐DC converters: (a) voltage source converter
with active clamp; (b) current source converter with active clamp.
476 Chapter 9 FUEL CELLS AND THEIR APPLICATIONS IN ENERGY SYSTEMS

input. The secondary rectifier diode circuit feeds through a current source buffer
inductor Ld to the DC output capacitor Cdc. The rectifier output voltage is the input
voltage times the turns ratio, n, plus the leakage inductance and di/dt induced
voltage, and thus is much higher than the output voltage Vo, especially under light‐
load conditions. Therefore, an active clamp circuit that consists of clamping
switch Sc and clamping capacitor Cc is added to reduce the voltage stress of the
rectifier diode.
In Figure 9.14b, the primary‐side full‐bridge switching circuit is fed with a
large‐size inductor Lin which represents a stiff current source Iin. The secondary rec-
tifier diode circuit feeds directly to the output capacitor Cdc. The transformer pri-
mary voltage is the output voltage divided by the turns ratio, n. The switches see a
voltage that is the sum of the transformer primary voltage and the leakage induc-
tance‐induced voltage, and is much higher than the input voltage Vin. Therefore, an
active clamp circuit that consists of clamping switch Sc and clamping capacitor Cc
is added between the inductor and the switching circuit to reduce the voltage stress
of the switches S1–S4.

Soft‐switching DC‐DC Converters with Isolation

The full‐bridge converter can operate under pulse width modulation (PWM) duty
cycle control or phase‐shift modulation (PSM) conditions. With PSM, the converter
can achieve zero‐voltage switching (ZVS) [97, 98]. The problems with the PSM
scheme are loss of ZVS at light loads and circulating currents between the winding
and switches when either two upper switches or two lower switches are turned on
simultaneously. When ZVS is not achieved, the switching loss is high, and during
current circulating periods, the conduction loss is high. Therefore, many remedy
circuits have been proposed to improve the efficiency of phase‐shift modulated con-
verters [99, 100].
Figure 9.15 depicts a hybrid‐switching type soft‐switching DC‐DC converter
that is of particular interest. This circuit employs a hybrid switching concept similar

Ld
Vin

S1 S3 Cr
Dr Lr
1:n
Rfc
Cin Vd Cdc Vo
Vfc
S2 S4 Do

Figure 9.15 A hybrid soft‐switching DC‐DC converter combining a conventional full‐

bridge voltage source PWM converter and a resonant circuit in the secondary side for
soft‐switching operation.
 9.6 POWER ELECTRONICS FOR FUEL CELL APPLICATIONS 477

to the idea described in [101–103]. The basic hybrid switching idea combines con-
ventional PWM with resonant operations. The original full‐bridge converter con-
sists of switches S1–S4, a transformer, a rectifier bridge, inductor Ld, and output
capacitor Cdc that operate in traditional PWM mode. The added components consist
of output freewheeling diode Do, resonant capacitor Cr, resonant inductor Lr, and
resonant branch diode Dr. There are two operating periods: (a) PWM duty cycle
on‐period in which the diode bridge output voltage is the input voltage times the
turns ratio, or Vd = n⋅Vin; and (b) PWM duty cycle off‐period in which the diode
bridge output voltage is zero, or Vd = 0.
When Vd = n⋅Vin, the conventional PWM current iL goes through Ld and charges
Cdc. The resonant current ir is created through Cr, Lr, and resonant branch diode Dr.
Resonant components Lr and Cr can be designed such that ir resonates to zero before
or at the end of PWM duty, so diode Dr is always zero‐current turn‐on and turn‐off.
The buffer inductor Ld is a large inductor compared with Lr, and maintains contin-
uous current iL during both PWM on and off periods. When one of the primary‐side
switches is turned off, the transformer primary current, iL/n, is sufficient to discharge
the switch output capacitance that creates a zero‐voltage turn‐on for the switch.
When Vd = 0, the PWM current iL continues freewheeling through Do, Cr, and Ld.
Therefore, the primary side no longer sees circulating current.
If the input voltage is high during light load conditions, the resonant period
may exceed the PWM duty, which will result in non‐zero current turn‐off for diode
Do, which deteriorates the efficiency. In this case, the variable frequency approach
can be applied to improve the light‐load efficiency. The concern with the variable
frequency approach is the electromagnetic interference (EMI) frequency spectrum.
However, if variable frequency operation is not objectionable in some particular
applications, the variable frequency type resonant DC‐DC converter is an alternative
to a more PWM‐oriented converter. Figure 9.16 depicts a popular resonant DC‐DC
converter that utilizes the magnetizing current iM to discharge the primary‐side
switches to achieve zero‐voltage turn‐on. The resonant current ir swings to zero
before or at the switch turn‐off, thus achieving zero‐current switching for both pri-
mary‐side switches and secondary‐side diodes [104–108].

Vin

S1 S3 Cr Lr 1:n
Rfc im
Cin ir Cdc
Lm Vo
Vfc
S2 S4

Figure 9.16 Resonant DC‐DC converter showing the circuit structure where Lr can be
externally added or part of the leakage inductance of the transformer.
478 Chapter 9 FUEL CELLS AND THEIR APPLICATIONS IN ENERGY SYSTEMS

Multiphase DC‐DC Converters with Isolation

For stationary power system applications, if the fuel cell output voltage is below
50 V, but the power requirement is 5 kW and above, then the single full‐bridge DC‐
DC converter may experience a large current stress. Although it is possible to
parallel switches, the parasitic components can result in unnecessary losses. A mul-
tiphase DC‐DC converter using parallel multiple‐leg converters can be employed
for high‐power applications while avoiding parasitic component losses. The
individual leg can be a half‐bridge, full‐bridge, or resonant type [62, 109–113].
To reduce the current stress to a level that discrete semiconductor devices can
handle, the number of phases needs to be as high as possible. Figure 9.17 shows a
three‐phase, six‐leg DC‐DC converter example for low‐voltage fuel cell applica-
tions in [62, 109–111]. Analogous to the car engine in the automotive industry,
where the high horsepower engine evolved from a single cylinder to multiple cylin-
ders such as the V6 engine to improve the fuel efficiency and smooth the torque
output, this circuit topology was named the “V6” converter. The three phases are
grouped into different blocks including switches S11–S14 as the first block, switches
S21–S24 as the second block, and switches S31–S34 as the third block. Each block
forms a full‐bridge converter. The secondary transformer windings are connected in
Y configuration so the line‐to‐line output voltage is twice the supply voltage times
the turns ratio. For example, the maximum voltage between a and b, or vab, equals
2⋅n⋅Vin. In other words, under full duty condition, Vo = 2⋅n⋅Vin. This double voltage
conversion ratio allows a smaller turns ratio, which will help reduce the leakage
inductance. As the three phases operate 120° apart in one switching cycle, the effec-
tive switching frequency is three times, and thus the size of the buffer stage inductor
Ld can be largely reduced. When each phase‐conducting duty cycle is 120° or
higher, the voltage conversion ratio is fixed at the maximum, but three outputs are
no longer interrupted, which means the output current is ripple‐free.
All PWM, PSM, and LLC soft‐switching circuits can be applied to each full‐
bridge converter. For low‐voltage fuel cell converters, the semiconductor devices

S11-S14 S21-S24 S31-S34 Ld

Vin

1: n
a
Rfc
b
Cdc Vo
c
Vfc

Figure 9.17 A three‐phase, six‐leg (V6) DC‐DC converter suitable for high‐power but
low‐voltage fuel cells.
 9.6 POWER ELECTRONICS FOR FUEL CELL APPLICATIONS 479

can achieve zero‐voltage switching even with low transformer leakage inductance
because the energy needed to discharge the device output capacitance is relatively
low. Hence, overall this V6 converter is quite suitable for low‐voltage, high‐power
fuel cells with key features like (1) high‐efficiency power conversion because of
soft switching, (2) small passive components because of the ripple cancellation
with interleaved operation, and (3) reduced transformer leakage inductance and its
related loss.

9.6.2 DC‐AC Inverter

Basic DC‐AC inverter circuits and their modulation methods can be found in text-
books [76, 77, 114–116]. Figure 9.18 shows two example circuit diagrams: (a) a
full‐bridge single‐phase inverter and (b) a three‐phase bridge inverter. For the same
inverter circuit, different modulation methods can significantly affect the efficiency,
waveform quality, and filter design. Considering a single‐phase full‐bridge inverter,
bipolar and unipolar sinusoidal pulse width modulations (SPWMs) are two major
modulation methods. For three‐phase inverters, with the absence of multiples of
three times harmonic currents, different SPWM approaches with and without
neutral signal injection for the reference signals can be used to increase the DC bus
voltage utilization [116].
A single‐phase full‐bridge inverter example is illustrated in Figure 9.18a. The
inverter comprises two phase legs: phase‐leg‐a consisting of Q1 and Q2 with output
node a, and phase‐leg‐b consisting of Q3 and Q4 with output node b.
Figure 9.19 illustrates the basic SPWM method, which is to compare a
sinusoidal reference voltage and a carrier signal vc. For phase‐leg‐a, the reference
voltage signal is vref‐a. Between node‐a and negative DC bus node‐0, the modulated
phase output node‐a voltage, va0, swings from Vdc to 0 or 0 to Vdc with a pulse width
corresponding to the comparison results. If phase‐leg‐b switches complementarily,
the output node‐b vb0 voltage will be complementary to va0. In other words, when va0
is Vdc, vb0 will be 0, and when va0 is 0, vb0 is Vdc. The overall inverter output voltage
across a and b, vab = va0 − vb0 will then swing between −Vdc and +Vdc. This voltage
can be defined as the differential mode (DM) voltage in electromagnetic

(a) (b)

Q1 Q3 Q1 Q3 Q5

a +
+ a
vab
Vdc vbc
Vdc Cdc vab Cdc b
– vbc
– b c
Q2 Q4 Q4 Q6 Q2
0 0
Figure 9.18 Circuit diagrams of typical inverters: (a) single‐phase; and (b) three‐phase.
480 Chapter 9 FUEL CELLS AND THEIR APPLICATIONS IN ENERGY SYSTEMS

vc vref-a

va0

vb0
vab = va0 – vb0

vab

vcm
vcm = (va0 + vb0)/2 time

Figure 9.19 Bipolar SPWM differential and common mode output waveforms.

vc vref-a vref-b

va0

vb0

vab
vab = va0 – vb0

vcm

vcm = (va0 + vb0)/2 time

Figure 9.20 Unipolar SPWM differential and common mode output waveforms.

interference (EMI) studies. To the overall EMI, it is also important to pay attention
to the common mode (CM) voltage, which can be defined as vcm = (va0 + vb0)/2. As
indicated in Figure 9.19, with bipolar modulation that has complementary output
voltages va0 and vb0, the common mode voltage is a constant with the value of Vdc/2.
As the DC output does not emit high‐frequency noise, this bipolar SPWM allows
the CM EMI filter to be minimized. However, its DM output harmonics are exces-
sively high because it swings between −Vdc and +Vdc.
To reduce the output harmonics and high‐frequency noise, unipolar SPWM is
normally adopted. Figure 9.20 illustrates an option for unipolar SPWM operation.
In this case, individual legs are modulated with an independent SPWM. For phase‐
leg‐a, the reference signal is vref‐a, and for phase‐leg‐b, the reference signal is vref‐b.
The DM output vab = va0 − vb0 swings between +Vdc and 0 in the positive line cycle,
 9.6 POWER ELECTRONICS FOR FUEL CELL APPLICATIONS 481

and between 0 and −Vdc in the negative line cycle. In either the positive or the neg-
ative line cycle, the voltage swings in one direction only, thus this modulation is
called unipolar modulation. Its harmonic contents are significantly lower because
the equivalent switching is doubled, and the most significant frequency is around
twice the switching frequency, which allows much smaller size harmonic filters and
DM EMI filter. The CM voltage (vcm = (va0 + vb0)/2), however, presents high‐
frequency components that swing between +Vdc and 0. This implies that the CM
EMI filter must be much larger than the one used in the bipolar modulation method.
For compliance purposes, the complete single‐phase inverter should include
the abovementioned bridge‐type inverter, a harmonic filter, a DM EMI filter, and a
CM EMI filter. Figure 9.21 depicts the arrangement of a complete inverter system
that consists of a full‐bridge inverter. The common mode current path consists of a
parasitic capacitance between the switching nodes and the ground through a heat
sink and the CM EMI filter. If the switching frequency is high enough, the harmonic
filter and EMI filter may be combined in one. The CM filter, however, is not avoid-
able due to parasitic components and high‐speed switching of the devices. A CM
filter contains a CM inductor Lcm, which blocks the current from the inverter to the
load, and two CM capacitors Ccm1 and Ccm2 which conduct the CM current through
the ground loop. Design of an inverter requires a comprehensive understanding of
the impact of the modulation method, switching frequency, switching speed, para-
sitic components, and filter design.
In practice, the size of passive components, including all the filter capacitors
and inductors and heat sink, will dominate the entire inverter size and weight. Filter
component size and associated costs can be reduced by increasing the switching
frequency. Soft‐switching that allows the inverter to switch at a higher frequency
while maintaining high efficiency is attractive for stationary fuel cell applications
[117–134]. High‐efficiency design can also reduce the size of the heat sink and
associated cost. Among different soft‐switching inverters, the auxiliary resonant
snubber approaches, which have been reported to exhibit greater than 99%
efficiency using silicon devices [130, 131], are quite suitable for medium‐power
applications.

Harmonic DM EMI
filter filter CM EMI filter
Q1 Q3
Lf Ldm Lcm
+
a
Ccm1
Vdc vab Cf vac Cdm vo
Ccm2
b
–
Q2 Q4
Full-bridge inverter
Cpara
Parasitic capacitance

Figure 9.21 A complete inverter circuit with all filters added.

482 Chapter 9 FUEL CELLS AND THEIR APPLICATIONS IN ENERGY SYSTEMS

Rfc Isolated
a3 dc-dc b3 c3
Vfc converter

Rfc Isolated
a2 dc-dc b2 c2
Vfc converter

Rfc Isolated
a1 dc-dc b1 c1
Vfc converter

ia ib ic
van vbn vcn

Figure 9.22 Cascaded multilevel inverter configuration for large‐scale fuel cell systems.

For megawatt (MW)‐scale systems, multilevel inverters are necessary to

reduce the voltage and current stresses on switching devices and to reduce the size
and weight of passive components [135–142]. Since the fuel cell stack must be
grounded, multilevel inverters must have isolated DC‐DC converters between the
stack and the inverters. Figure 9.22 depicts a cascaded multilevel inverter (CMI) for
high‐voltage, high‐power fuel cell power conversion systems. The number of levels
can be chosen as many as needed for the application. In this example, three fuel cell
stacks per phase are configured as a single unit that produces a PWM inverter
output with a relatively low switching frequency AC. All AC outputs of each phase
are connected in series with interleaved operation. With a small output filtering cir-
cuit, the current can be a clean sinusoidal, as shown in the simulation results of
Figure 9.23. The only design concern is the common mode voltage from each stack
to the ground, which requires an isolated DC‐DC converter for each fuel cell to
ensure insulation at the highest DC bus voltage level.
As shown in Figure 9.24, the CMI circuit arrangement can be extended to a
three‐phase modular multilevel converter (MMC), which consists of two comple-
mentary CMIs in a series stack for each phase, or leg. Each leg consists of two arms.
Each arm is a single‐phase CMI. The middle point between two arms is inserted with
the inductors. Using phase‐a as an example, the two inductors are denoted as La1 and
La2. This structure provides both high‐voltage DC output, Vdc, and AC output, va, vb,
and vc. The AC output can be directly connected to a high‐voltage grid through the
grid source inductors, Ls. This type of circuit configuration has also been extensively
studied in battery energy storage systems for the state‐of‐charge control [143–146].
 9.6 POWER ELECTRONICS FOR FUEL CELL APPLICATIONS 483

van

ia ib ic

Figure 9.23 Output voltage and current waveforms of a cascaded multilevel inverter.

Vdc

FCBa1 FCBb1 FCBc1

Fuel Cell +
Bridge
(FCB) FCBa2 FCBb2 FCBc2

FCBan FCBbn FCBcn

La1 Lb1 Lc1 Ls

Iso.
DC- va
DC vb
Vfc
vc
La2 Lb2 Lc2

FCBa2n FCBb2n FCBc2n

FCBan+2 FCBbn+2 FCBcn+2

FCBan+1 FCBbn+1 FCBcn+1

0
Figure 9.24 A large fuel cell system employing a three‐phase modular multilevel
converter.
484 Chapter 9 FUEL CELLS AND THEIR APPLICATIONS IN ENERGY SYSTEMS

9.6.3 Double‐Line Frequency Issues

The voltage source inverter switching devices require anti‐paralleled diodes to
allow load current freewheeling. These freewheeling currents occur every time a
switch is turned off. Looking from the DC input, the freewheeling current presents
a high double‐line‐frequency content. All the single‐phase and cascaded multilevel
inverters have the double‐line frequency ripple at the inverter input side, which can
propagate back to the fuel cell. To understand the impact of the double‐line fre-
quency ripple to the fuel cell, the first attempt was to identify the transient behavior
of the reactant concentrations within the stack, and of mass diffusion within the
electrode under inverter loads with frequencies between 30 Hz and 1250 Hz [147].
In [148, 149] the study indicated that the fuel cell stack is not disturbed if its current
frequency is higher than 10 kHz or lower than 1 Hz. However, at the double‐line
frequency of 100 Hz, the fuel cell voltage and current characteristic presents a hys-
teresis effect that can result in additional losses. References [150, 151] further ver-
ified that the double‐line frequency can impact the fuel cell efficiency and maximum
available power output.
Adding a large electrolytic capacitor or an ultracapacitor [58] can suppress the
double‐line frequency ripple, but the size, cost, and reliability are major concerns.
Active ripple cancellation allows significant size reduction. Adding a paralleled
branch to serve as the ripple port or active filter is possible to reduce the double‐line
frequency flowing back to fuel cells [152, 153]. For a system with two stages including
a front‐end DC‐DC converter and a subsequent DC‐AC inverter, the simplest solution
is to design a high gain at the double‐line frequency in the current loop controller for
the existing DC‐DC converter [154–160]. Of particular interest is a novel controller
proposed in [160, 161], shown in Figure 9.25. This method employs a notch filter in
the feedback loop for the DC bus voltage Vdc. The output of notch filter Vdc‐n serves as
the feedback signal for the voltage loop control. The comparison of the DC bus refer-
ence voltage Vdc* and Vdc‐n yields a signal which feeds into a voltage loop with propor-
tional‐integral (PI) controller Gv(s). The output of Gv(s) serves as the DC bus current
reference Idc*, which compares with the current feedback Idc to obtain an error signal
that feeds into a PI plus proportional resonant (PR) controller Gc(s) with resonant fre-
quency equal to 2⋅f1, and the output of Gc(s) is fed into a PWM controller for DC‐DC
converter control. The inverter‐side current loop controller Gi(s) is also a PI+PR
controller except that its resonant frequency is f1.
Figure 9.26 compares the experimental voltage and current waveforms with a
capacitor bank, and with the same capacitor bank but adding a PI+PR controller in
the control loop. With the added PI+PR controller in the current loop, the fuel cell
voltage and current ripples are significantly reduced. Physically, the double‐line fre-
quency ripple still exists on the inverter side, iinv, but with a control loop that has
sufficient gain at 2f1 such that the ripples are eliminated or significantly reduced at
the DC side, or Idc. In other words, the DC bus capacitor Cdc needs to absorb the
ripple current. Nevertheless, the approach is very attractive and can effectively sup-
press the double‐line frequency ripple without adding any components or extra cost.
 9.7 SUMMARY 485

2×f1 f1

Ifc Idc iinv iac

ic
Rfc DC-DC DC-AC
Vin Cdc vac
converter inverter
Vfc

Interface PWM Hidc Hvdc SPWM Hiac Hvac

Fuel cell PLL

PI+PR Notch PI+PR iac
command
Gc(s) Idc – filter Gi(s)
Pref
– iac *
Vdc-n ×
P→I Idc* +
+ –
conv. + Iref
Gv(s) Vdc*

DSP controller
Figure 9.25 Block diagram of a two‐stage single‐phase inverter that implements a novel
PI+PR controller for double‐line frequency ripple reduction.

(a) (b)
20V/div 10V/div
Vin
0.5A/div
2A/div Iin

vac vac
Vac
(240Vrms)

Iac
iac iac
(8.3Arms)

Figure 9.26 Experimental results of a current loop controller: (a) with a capacitor bank,
and (b) with the same capacitor bank, but added PI+PR control in the control loop.

9.7 SUMMARY

Fuel cell systems exhibit attractive features that make them appealing in stationary
power systems and transportation applications. Unlike other power sources such as
PVs, the fuel cell system has a BOP to control the static and dynamic characteristics
of the power output. As long as the fuel cell system is connected to a reliable source
486 Chapter 9 FUEL CELLS AND THEIR APPLICATIONS IN ENERGY SYSTEMS

of fuel such as hydrogen, natural gas, methanol, or ammonia, it can continuously

provide power to the load, making it more desirable for distributed generation than
PVs or wind. Furthermore, different fuel cell technologies can be chosen to align
with specific application requirements. For example, low‐temperature fuel cells
exhibit low‐cost, high power density, and rapid start‐up, making them suitable for
transportation applications as well as for stationary power, provided the stationary
application can use low‐grade heat. High‐temperature fuel cells, on the other hand,
are more compatible with natural gas operation and provide high temperature heat,
thus making them more suitable for stationary applications, where they can operate
in cogeneration with a system efficiency approaching 90%.
Although hydrogen has been the default fuel for fuel cells, simple hydrocar-
bons, simple alcohols, and even ammonia can be reformed to generate hydrogen or
used directly as the fuel. The successful development of fuel cells that can directly
use alternative fuels such as methanol and ammonia could significantly simplify the
fuel distribution and storage infrastructure and expand the opportunities for fuel
cell commercialization.
The low voltage provided by individual fuel cells necessitates stacking a high
number of fuel cells to meet the voltage requirement for larger systems. For large
stacks, the BOP required to keep individual cells supplied with reactants and main-
tained at appropriate temperature and moisture conditions can be challenging. For
stationary power system applications, one of the major challenges for the power
management system is to convert low‐voltage DC to high‐voltage AC while com-
plying with the grounding requirement for the source. For transportation applica-
tions, however, grounding is not required by regulations, but the dynamic response
is a major concern, and an energy management system incorporating external bat-
teries with bi‐directional chargers is necessary.
For high‐power applications, the availability of semiconductor devices and
components and the package‐related parasitics can impact the power conversion
performance, especially the efficiency. As outlined in this chapter, different design
options for DC‐DC and DC‐AC power conversion circuits are available to accom-
modate different power levels and operating requirements. For a source supplying
to a single‐phase AC load, the double‐line frequency ripple propagating from the
inverter back to the fuel cell source may reduce the fuel cell life expectancy and the
fuel efficiency. As reviewed in this chapter, a recently developed approach with a
two‐stage power conversion and advanced control techniques provides a solution
for addressing this concern that is cost‐effective. Experimental waveforms using
this two‐stage approach show that that it can significantly improve the performance
without adding extra components.

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 Ch a p t e r  10
GRID ENERGY STORAGE
SYSTEMS
Marcelo G. Molina

10.1 INTRODUCTION

Over the last century, the electrical power industry has continued to evolve and
adapt to changing energy requirements and technology innovation. The profound
changes experienced have been motivated by a complex web of factors: technolog-
ical, economic, social, and political. This period witnessed a rapid expansion of the
power generation and delivery system to meet the growing electricity demand. The
traditional general model under this structure used large‐scale centralized genera-
tion involving thermal power plants (fossil fuels and nuclear) and hydroelectric
power stations. These generation centers, often located far from populated load
centers, were connected to an extensive high‐voltage interconnected network for
delivering electricity to consumers, often covering long distances. As a result, the
biggest weakness of the model was the efficiency, because of high energy losses in
the transmission system as well as CO2 emissions from fossil‐fuel power plants.
This problem worsened mostly because of the significant growth of the electricity
demand. The advent of steam turbines capable of handling higher steam pressures
and temperatures made it possible to increase the size of generating units, attaining
economies of scale and greater energy efficiency [1–3].
The deregulation and liberalization of the electricity market transformed the
power sector by introducing competition into generation, transmission, and distri-
bution. The industry suffered a transition from a vertically integrated and regulated
monopoly utility to a structure equipped to function in a competitive market [4].
This created a new framework for operating the power industry that attracted the
entry of private sector companies. It gave rise to many opportunities to interconnect
local and regional systems. Nonetheless, this deregulation posed more challenging
problems to the electrical power systems as they could no longer be operated in a
structured and conservative manner. Indeed, it contributed to making the system

Power Electronics in Renewable Energy Systems and Smart Grid: Technology and Applications,
First Edition. Edited by Bimal K. Bose.
© 2019 by The Institute of Electrical and Electronics Engineers, Inc.
Published 2019 by John Wiley & Sons, Inc.

495
496 Chapter 10 GRID ENERGY STORAGE SYSTEMS

more fragile and increased the critical number of failures, causing cascading black-
outs. These issues, far from finding effective solutions, have been c­ ontinuously
augmented even more, driven by energy factors, ecological issues, and financial
and regulatory restrictions of wholesale markets [5–7].
Another fundamental landmark of the twentieth century was the advances in
power electronics technology. It began at the dawn of the last century and went
through various periods to reach the modern era of solid‐state power electronics [8,
9]. Since then, there has been a huge development of the technology in different
areas, including, among others, power semiconductor devices, converter topologies,
electrical machines, drives, digital signal processors, advanced control techniques,
and computer‐aided design and simulation. Presently, the evolution of modern
solid‐state electronics, together with the technological advances in microelec-
tronics, are playing an increasingly crucial role in global energy conservation and
environmental pollution control trends of this century [10, 11].
Currently, the electrical power industry is facing unprecedented challenges and
opportunities. The industry is once again entering an era of significant changes, but
now promising an extraordinary revolution in the near future. This transformation is
being driven by technological innovation, environmental requirements, consumer
behavior, policy, regulation, markets, and an increased focus on grid resiliency [12].
The electrical grid must meet increasingly higher standards in reliability, security,
efficiency, power quality, and cost of service. Nevertheless, additional to these aims,
the modern power grid must address new global environmental issues, such as climate
change, national security concerns, and a customer’s growing need to better manage its
energy usage in order to reduce costs and decrease the ecological impact [13].
In order to turn these challenges into opportunities and successfully meet all
these goals, an upgrade to and further development of the electricity infrastructure
is required. This entails complete modernization of the electrical power grid to
allow the dynamic optimization of grid operations and resources, the rapid detec-
tion and mitigation of disturbances, the incorporation of various generation sources
including renewables, the integration of demand response and energy‐efficiency
resources, the participation in markets, and protection against physical and cyber
risks [14]. These distinctive capabilities can be accomplished by integrating
electrical technologies with advanced information and communication technol-
ogies (ICTs) into every aspect of electricity generation, delivery and consumption.
The idea of an ICT‐based energy system is that technologies are implemented in
such a way that all actors are able to communicate efficiently with their counter-
parts when necessary. This application of intelligent and cooperative resources to
create a flexible power system is often referred to as the smart grid (SG) or intelli-
gent energy system [15]. This electricity grid offers a reasonable alternative to
improving the coordination of energy resources, aimed at reaching a more effective
way to balance supply and demand in order to efficiently deliver sustainable,
economic and secure electricity supply [16].
The rise of the smart grid is of great benefit to all who are involved in the
electrical power industry, including not only its customers and various stakeholders,
 10.1 INTRODUCTION 497

but also society as a whole. It is changing the traditional architecture of the power
system based on a small number of large power plants, centrally managed, with
hierarchical (one‐way) control and passive loads. This traditional operating para-
digm was not designed to meet most of the growing challenges, especially for
moving forward towards a clean, low‐carbon and efficient energy economy. Hence,
SGs emerge as the ultimate solution to restructuring this traditional model into one
that combines centralized and decentralized power generation, to get a modern grid
that is more flexible, robust and agile. Incorporating cutting‐edge technologies,
sophisticated control approaches, and an integrated digital communications infra-
structure into the existing electricity grid has started a new revolution in the field of
electricity, which is currently seen as the energy infrastructure of the future smart
cities. This grid transformation requires the implementation of innovative technol-
ogies, comprising smart metering, intelligent monitoring, automation, communication,
demand‐side management and self‐healing, among others [17, 18].
Today, technological improvements in generation and transmission technol-
ogies have allowed utilities and non‐utilities to produce electricity using small
generation units (up to a few MW) at lower marginal costs than older large‐scale
steam generators. These modern generators employ novel, highly efficient, low‐
emission and modular non‐conventional technologies. They are integrated into the
distribution network at a site closer to customers in order to reduce losses during
electricity delivery. In addition, these small‐scale generators can be built and put
into operation relatively quickly and provide consumers with the potential for
higher service reliability, high power quality, increased energy efficiency, and
energy independence [19]. Thus, the distribution network is transformed from the
conventional passive network to a new active grid, which could give rise to bi‐
directional power flows between distribution and transmission systems. This
­solution is known as distributed generation (DG), also referred to as in‐situ, on‐
site, dispersed or decentralized generation, and represents a significant paradigm
shift from conventional central generation. DG refers to the process of producing
electricity using a variety of non‐conventional alternative technologies, but the
growing application of sustainable energy policies and the environmental aware-
ness spreading widely around the world have encouraged the development of
renewable energy sources (RESs) [20–22].
Renewable energy describes energy sources that are replenished by natural
processes on a sufficiently rapid timescale such that they do not involve the con-
sumption of exhaustible resources such as fossil fuels or uranium. Renewable
energy includes small hydro, solar, wind, biomass, biogas, ocean and geothermal
energy, among others. These clean and sustainable energy technologies are increas-
ingly taking a prominent role in driving the ongoing transformation of global
electricity markets [23, 24]. The drivers behind this revolution include various sus-
tainability dimensions: social, technological, economic, environmental, and
political. Nonetheless, the rapid deployment of renewables has been endorsed by a
relentless improvement in their competitiveness, due largely to sustained tech-
nology development, benefits of mass production, market competition, improved
498 Chapter 10 GRID ENERGY STORAGE SYSTEMS

financing conditions, clear government commitment, and expansion of utilization

to newer markets with better resources. In fact, while fossil fuel costs hold steady,
renewable energy costs are forecast to keep falling so fast that it should be steadily
cheaper than traditional fossil fuels within just a few years [25, 26].
At present, the most promising architecture of the distribution power grid that
would allow better use of distributed energy resources (especially based on renew-
able sources) and distributed energy storage is the electrical microgrid (MG), also
referred to as smart microgrid [27]. This innovative grid paradigm is considered as
the starting point to smart grids, since it reflects a new way of thinking about
designing and building smart grids at the distribution level. It provides a platform for
utilization of controllable loads (also known as demand response) and distributed
resources. MGs operate as unique subsystems with predictable generation and
demand, providing both power and heat to its local area by using communication
technologies and advanced control methods. Microgrids are localized and small‐
scale electricity grids that can be operated either connected to the main power system
or autonomously isolated. In this context, hybrid AC/DC microgrids are emerging
today as an optimal approach as they combine the main advantages of AC and DC
networks. Thus, the great flexibility of the microgrid enables it to not only import
and export energy from/to the main power grid (grid‐connected operation mode), but
also to separate itself from the bulk power grid to operate autonomously in inten-
tional (scheduled) or unintentional island mode. This innovative concept of distribu-
tion network has been developed to address the successful grid integration of
renewable energy sources and plug‐in pure/hybrid electric vehicles (PEVs/PHEVs)
[1, 28]. Figure 10.1 shows a conceptual model of a smart grid framework clustering
microgrids and encompassing diverse technologies and infrastructure elements.
Microgrids are a flexible solution for a broad diversity of problems arising
from the increasing grid integration of variable and intermittent renewable sources,
such as wind and solar, and the imminent grid connection of PHEVs/PEVs [29].
The high penetration of the unpredictable renewable generation (and electromobil-
ity) may drastically interfere with the power system operation and lead to severe
problems. This may include fluctuations in voltage and frequency, stability issues
and violations of power transfer capability constraints of existing power lines,
among others, especially if they are connected to weak power systems. This
condition is aggravated by the decrease in the microgrid inertia due to the use of
modern inverter‐interfaced distributed generation systems. As a result, adding the
variable generation into the power grid may lead to difficulties in controlling supply
to best match the electricity demand, both during normal and emergency operating
modes [30]. The variability of the generated (or drawn with e‐mobility) power
introduces several challenges to power systems operation and planning, since it cre-
ates additional costs for the electricity system and consumers, as well as potential
risks to the reliability of the electricity supply [31].
MGs support a flexible, efficient and secure electricity grid by enabling the
increasing incorporation of inverter‐interfaced distributed energy resources. This
includes dispatchable generation such as microturbines and fuel cells, and
 10.1 INTRODUCTION 499

Large-scale
industrial Wind power
PV power plant plant
Hydroelectric plant
power plant

Thermal/
nuclear
ICT infra- power plants
structure

Transmission To a
control center distribution
control center High voltage (HV)
EV charging
facilities HV/MV transmission line
Smart houses
substation
with demand
Buildings/ response
public
facilities
Microgrid Microturbine
control generators
center

Industrial Distributed
plant energy storage
system
Distributed Distributed
wind power PV power
generators generators

Figure 10.1 General layout of a conceptual model of a smart grid clustering microgrids.
(See electronic version for color representation of this figure.)

non‐dispatchable renewable generation, like photovoltaic (PV) arrays and wind

­turbines, among other technologies [32, 33]. Therefore, stable operation of the
microgrid requires matching the power generation and consumption profiles at all
times and consequently having available generating capacity that can rapidly respond
to short‐term steep ramps. In such a complex scenario, energy storage technologies
have emerged as an essential and very valuable technological solution with unique
capabilities to realize the full benefits of the smart grid. Main benefits of advanced
energy storage systems include high power and energy density with outstanding
conversion efficiency and power response [34–36]. Nevertheless, to fully exploit the
advantages of energy storage in the smart grid context, it is essential to have the
support of a high efficiency and very fast response electronic power conditioning
system to interface the storage device with the electricity grid. The power electronics
technology plays a strategic role in adapting the raw energy [37, 38].
The combination of innovative energy storage systems (ESSs) and cutting‐edge
power electronics technologies has created an extraordinary opportunity for storage
systems to provide exclusive services to the evolving power grid [39–41]. This
integration of energy storage is not limited to the distribution network – it extends to
all of the power grid, depending on the services to be provided. Thus, ESSs can
support the operation security by directly strengthening the stability and robustness of
500 Chapter 10 GRID ENERGY STORAGE SYSTEMS

the electric power grid through the provision of critically important grid services [42,
43]. With appropriate power electronics interface and controllers, ESSs are capable of
supplying the smart grid with both active and reactive power independently, simulta-
neously and very rapidly. Consequently, the application of advanced energy storage
systems is expected to become not only a feasible solution for modern power applica-
tions, but also the most significant innovative components of smart grids because of
their strategic role in complementing variable and intermittent power generation [44].
Energy storage is evolving, and declining rapidly in cost, as technological
advancements in both the storage technology and its power electronics interface are
achieved. Energy storage projects are already economically competitive with con-
ventional alternatives in several conditions. But, there is a great variety of energy
storage technologies available on the market for power and energy applications
with a high potential to support the realization of smart grids [45–47]. These energy
storage devices require innovative electronic power conditioning systems in order
to reduce their energy consumption, as well as the volume, weight and ultimately
the cost of their power. New types of semiconductor materials and construction
technologies are replacing the traditional silicon‐based semiconductors and
providing incentives for innovations in storage applications. However, all these
rapid changes are creating the need for a deeper understanding of the inclusion of
energy storage in smart grid applications, the role storage can play in the evolving
system, and the present status and future prospects of these technologies [48–51].
In this chapter, a complete analysis of major technologies in ESSs and their
power conditioning system for connecting to the smart grid is performed. The study
includes the principle of operation and the technology profile of conventional and
leading emerging storage topologies suitable for SG applications. The analysis
examines opportunities for energy storage to clearly influence the generation, trans-
mission and distribution of electricity in the new context of the smart grids.
Furthermore, it discusses the design and implementation of power electronic appli-
cations and their control strategies for these storage technologies. To this aim, after
this introduction to the topic, the application of energy storage in smart grids is
introduced in Section 10.2. Thereafter, Section 10.3 describes an overview of
energy storage technologies. Section 10.4 discusses the assessment of energy
storage technologies for smart grid applications. Based thereon, the power condi-
tioning system for interfacing energy storage technologies with the smart grid and
its controller are presented in Section 10.5. Lastly, the chapter concludes with a
discussion presented in Section 10.6.

10.2 SMART GRID APPLICATIONS

OF ENERGY STORAGE

Energy storage is one of the critical components of the upcoming smart grid. It pro-
vides a way to store energy and buffer transient fluctuations in the grid when there
is a mismatch between the periods of generation and demand. Traditionally, energy
storage has played three prominent roles [52].
 10.2 SMART GRID APPLICATIONS OF ENERGY STORAGE 501

First, it has been used to increase energy efficiency and reduce electricity
price by using an energy trading strategy within the electricity market known as
energy arbitrage. This approach aims at buying energy from the grid at a low price
during off‐peak periods, storing the energy produced, and then selling it back to the
grid at a significantly higher price, namely during periods of peak demand. Thus,
arbitrage takes advantage of spot market price spreads (between off‐peak and
peak‐demand hours) to create revenue. It is also known as energy shifting since it
effectively moves the energy consumption. This storage service typically operates
over a long time period, which can be as long as several hours. Other long‐term
storage capability applications include load levelling, peak shaving, black start, and
non‐spinning (or supplemental) reserve [53].
Second, energy storage has been applied to improve the stability and reli-
ability of the power grid by providing essential ancillary services. These services
largely include grid frequency control (or frequency regulation), voltage control,
and spinning reserve. Energy storage can support the grid by providing operating
(spinning and non‐spinning) reserve to regulate short‐period random changes in
frequency during normal operation and respond quickly to emergency situations. In
fact, ESSs are designed to stabilize the frequency following contingencies such as
large generation/load disturbances and to regulate the voltage at a given bus by
exchanging reactive power. These rapid‐response storage services are required to
ensure robust grid operation in response to short (seconds to tens of minutes) fluc-
tuations in generation and demand. The required storage devices typically operate
over a short to long time periods, according to the services provided [54].
Third, energy storage has been utilized to improve the power quality of the
electric grid. Power quality has become a major concern for sensitive industries,
sophisticated equipment users and buildings, as a consequence of the increased use
of nonlinear loads in industry, customer‐owned computers and other electronic
equipment. The most common power quality problems typically comprise supply
interruptions, harmonic distortion of voltages and currents, voltage sags (or dips)
and swells, transients, and flickers. Energy storage systems can supply sufficient
energy to “ride through” short‐term power delivery anomalies and provide a bridge
power to standby power generation [55].
The smart grid addresses the challenges of current power grids by enhancing
the flexibility and use of data. In this framework, energy storage emerges as the most
important advanced component due to its role in providing new critical values and
services to the electricity grid. There are mainly two evolving critical services for
energy storage to allow realization of the smart grid concept: to provide flexibility to
the power system, aiming at increasing the amount of variable and intermittent
renewable power generation; and to strengthen the grid resilience to power outages
due to severe weather events and attacks on the cyber‐physical infrastructure [56].
This latter paradigm, which connects cyber systems to physical systems by coupling
sensing, computation, and control with the physical environment of the power grid,
is bringing many opportunities for increasing reliability, security, efficiency and
power quality. Nonetheless, better connectivity is also expanding the potential risk
of attack on critical infrastructure. To deal with these new requirements for energy
502 Chapter 10 GRID ENERGY STORAGE SYSTEMS

storage, smart microgrids emerges as a strong component of the smart grid with
the capacity to integrate renewable energy‐driven distributed generation in a more
reliable, efficient, resilient, and sustainable power grid [57, 58].
Energy storage can be integrated at different levels of the electricity grid so
as to provide a large portfolio of grid services: at the transmission level, at the dis-
tribution level, and at the customer/end‐user side (also called behind‐the‐meter)
[59]. These different locations in the power system involve different stakeholders,
energy storage technologies, and impact on the type of services provided. The
stakeholder groups involved are power system operators (of transmission, distribu-
tion, etc.), utilities, and customers. In addition, each position in the electricity
system provides a specific share of centralized and decentralized energy storage
and a capacity range in terms of power, i.e., large‐scale (GW), medium‐scale (MW)
or micro‐scale (kW) energy storage. Similarly, it also provides a capacity range in
terms of energy that defines the discharge time at rated power (milliseconds to
hours), that is, for very short, short, medium, and long‐term storage capacity [52].
As a result, the application of energy storage can be categorized into two main
types: power applications and energy applications. In general terms, power applica-
tions involve storage systems rated for one hour or less, whereas energy applica-
tions comprise devices operating for longer periods. In addition to the power and
energy capacities of a storage device, other relevant factors to define ESSs are the
durability expressed as the maximum number of operating cycles (cycle life) and
the service lifetime given in years [1, 60].
Table 10.1 gives a summary of grid services provided by energy storage to the
three major stakeholder groups of a modern electricity grid: system operators, util-
ities, and customers. As the global energy storage industry continues its path of
rapid development and technological innovation, a new paradigm has arisen for
balancing supply and demand at all times, since energy storage falls on both sides
of the equation [61]. This leads to the need to assess the way in which energy
storage systems must be employed to maximize the value of the services they pro-
vide. Provision of these services can represent significant values that should be
considered in economic benefit calculations. A key factor is the degree to which
services could overlap, since they cannot be exclusive of one another, the extent to
which markets could exist for these services, and the level to which methods have
been developed to value them [62].
At present, grid operators around the world are beginning to recognize the
value that energy storage can provide. ESSs can provide a set of grid services to
benefit system operators in both regulated and deregulated markets. All these ser-
vices can be quite different from each other, depending mainly on the time horizon
of the required application. Medium‐ and long‐term energy storage (with storage
time in the range of some minutes to several hours) can supply grid services such as
energy arbitrage, load levelling, peak shaving, non‐spinning (or supplemental)
reserve and black start, among others [63]. Similarly, short‐term energy storage
(with storage time in the range of some seconds to some minutes) can supply
essential ancillary services, such as spinning reserve, frequency control and voltage
 10.2 SMART GRID APPLICATIONS OF ENERGY STORAGE 503

TABLE 10.1 Major services provided by energy storage to three key stakeholder groups.

EPS operators Utilities Customers

Energy arbitrage Transmission Time‐of‐use bill management

deferral
Load levelling Distribution deferral Demand charge reduction
Peak shaving Resource adequacy Increased dispersed generation
self‐consumption
Non‐spinning reserve Transmission Back‐up power
congestion relief
Black start Distribution Power quality improvement
congestion relief
Frequency control
Voltage control
Spinning reserve
Integration of variable and
intermittent renewable
energy sources
Grid resilience
strengthening

control. A grid service that is increasingly required in current electricity grids, but
which is also vital for the development of smart grid and microgrid structures, is to
support integration of variable and intermittent renewable energy technologies,
such as wind and solar. In order to compensate for the variability and intermittency
of these renewable energy sources, energy storage emerges as the ideal solution
with outstanding capacities to dampen these fluctuations in a more cost‐effective
way than other technologies, such as typical rapid‐response gas‐fired turbines com-
monly utilized as peaking power plants [64]. This service offers a variety of bene-
fits to the system operators and can be utilized at either the transmission level as a
centralized bulk energy storage (GW), or the distribution level as a decentralized
(distributed) grid storage system (MW). When energy storage is used as a distrib-
uted energy resource to support the grid integration of distributed generation, it can
increase the reliability of these generation assets by providing power conditioning
services. This allows the integration of higher levels of distributed generation, par-
ticularly from renewable energy sources. Another vital grid service in the frame-
work of smart grids and microgrids is the grid resilience (also referred to as
resiliency) strengthening. The power grid resilience is crucial in achieving energy
sustainability and security worldwide. Maintaining resilience of the power grid
enhances its capability to eliminate service outages (known as blackouts), recover
and survive after extreme weather and climate events or man‐made disruptions such
as terrorist incidents or cyber‐attacks. In this sense, energy storage arises as an
effective solution to keep the power on during these extreme events and thus to
504 Chapter 10 GRID ENERGY STORAGE SYSTEMS

strengthen the grid against different hazards that entail risks to the integrity of the
electricity grid [65, 66].
Energy storage devices can provide a variety of grid services to utilities at
either the transmission level or the distribution level. These services consist mostly
of two groups: transmission‐ and distribution‐ (T&D) system upgrade deferral, and
resource adequacy and T&D congestion relief. In the first group, energy storage can
be used to postpone, reduce the magnitude, or even totally avoid the necessity for
investments in T&D infrastructure upgrades due to demand growth (deferral). A
vital premise for this service is that a small amount of storage can allow the utility
to delay the need for expensive, demand‐growth‐related T&D equipment upgrade.
In addition, it can reduce the demand served by existing T&D equipment such that
the equipment life is extended. In any case, the storage device must be located elec-
trically downstream from the assessed equipment. In the second group of grid ser-
vices to benefit utilities, ESSs can be used to diminish congestion in the transmission
and distribution system. On the distribution side, energy storage can be used to
avoid over‐sizing network lines to meet the maximum demand at any time. On the
transmission side, energy storage can be employed to reallocate demand to a period
when the system is not capacity‐constrained, thus shaving off the peak of the system
load and avoiding transmission congestion. In addition, energy storage can be used
for resource adequacy, by deferring or even reducing the need for new generating
capacity to meet the load requirements. This results in a higher utilization of exist-
ing assets. Thus ESSs can be a disruptive force in the industry as they allow for a
more efficient deployment of capital to meet the evolving power grid requirements
and can enable the development of new business models [67–70].
Eventually, energy storage can provide a set of grid services that directly help
customers (also referred to as consumers or end‐users for the purposes of this
book). Nonetheless, the provision of these customer services also produces benefits
for both system operators and utilities [71]. Indeed, by deploying ESSs at the grid
edge (i.e., at the customer‐side), the more services they can provide to the power
system as a whole. Thus, by placing energy storage behind‐the‐meter, an intelligent
bill management tool can be used to decrease customer bills by shifting the
electricity purchase from hours when time‐of‐use (TOU) prices are higher to
periods of lower rates. Something similar happens with the service of reducing the
demand charge. Demand charges exist because utilities need to have an infrastruc-
ture at the customer’s disposal to supply electricity at the times of highest demand
throughout the year. Like the TOU structure, this type of structure is fairly common
for billing commercial and industrial customers. In this case, energy storage can
effectively smooth the load profile by reducing the customer peak demand and con-
sequently lessen the portion of the customer’s monthly electricity bill related to the
peak load usage. In both billing structures, price signals such as TOU pricing and
peak demand charges give end‐users incentives to adjust their load profile as a
demand response, aiming at lowering overall system production costs. Another cus-
tomer service that energy storage can provide is to support the increased dispersed
generation self‐consumption [72]. With the self‐consumption of electricity from
 10.2 SMART GRID APPLICATIONS OF ENERGY STORAGE 505

renewable power generation, especially based on photovoltaics, modern consumers

are no longer passive, but rather active prosumers (producers‐consumers) since
they have become producers as well. In this sense, energy storage can minimize the
export of electricity from customers by firming dispersed generation capacity to
maximize the financial benefit in areas with unfavorable export tariffs (with no pro-
motion of renewables). In addition, energy storage can be used to provide back‐up
power and power quality improvement. The nearly instantaneous response (less
than half a grid cycle) of several energy storage devices allows them to provide
sufficient energy to ride‐through short‐term (in the range of 10 ms to 60 s) power
delivery anomalies and thus to improve the grid power quality. Similarly, energy
storage can assure an essentially continuous supply of power (also called emergency
back‐up power) to sensitive industries, sophisticated end‐user equipment and criti-
cal buildings at multiple scales (ranging from seconds to hours) until a generator
can be turned on or the utility power is restored [73, 74].
The value of all the services provided by energy storage changes significantly
depending on where it is deployed on the electricity grid and the stakeholders
involved. Indeed, the services supplied by some ESSs may benefit various stake-
holder groups, but the value created for them may vary radically among each other,
depending on numerous factors. Figure 10.2 describes the potential deployment of
energy storage at different levels of the upcoming smart grid. It can be noted that
the further downstream energy storage is sited on the electricity grid (i.e., when it
approaches the grid edge), the more services it can offer to the system as a whole.
The furthest downstream location is behind‐the‐meter, and includes any decentral-
ized energy storage on the customer side (residential, commercial, or industrial
buildings), even including electric vehicles [75]. This low‐voltage (<1 kV), low‐
scale (kW) energy storage (also referred to as end‐user, dispersed, micro‐ or behind‐
the‐meter energy storage) can technically provide all major services of Table 10.1
to the three stakeholders. In fact, energy storage encompasses a wide range of tech-
nologies that differ in terms of cycle life, system lifetime, efficiency, size and other
characteristics, so that only a few technologies are capable of meeting the require-
ments of the service. When energy storage is deployed at the distribution‐system
level, this being a midstream location for medium‐scale energy storage (MW) with
medium voltages (ranging from 4–46 kV), some customer services cannot be
provided. As an example, a decentralized distributed energy storage loses the capa-
bility to deliver any bill management service to customers, but still retains valuable
services for utilities and system operators, such as supporting DG applications in
smart microgrids. In this case, ESSs can be individual distributed energy storage
devices, or aggregated ones that even combine different technologies to reach the
required power and energy levels. Generally, the latter combination is more effec-
tive than individual distributed storage for suppressing the power fluctuations of
renewable generation in the microgrid, due to the fact that the power output of a
renewable farm is usually more stable than each individual unit [76]. When energy
storage is located at the transmission‐system level, the furthest upstream location
that energy storage can be deployed on the electricity grid, essentially characterized
506 Chapter 10 GRID ENERGY STORAGE SYSTEMS

Transmission Distribution Behind-

the-meter

Low-scale
energy storage
(kW)

Generation

69 kV to 4 kV to
< 1kV
765 kV 46 kV
Generation

(GW) (MW) (kW)

Decentralized
Centralized

Low-scale
Medium-scale energy storage
energy storage

Large-scale
energy storage

Services to Services to Services to all

transmission utilities utilities and stakeholders
and system operators system operators
Figure 10.2 Potential deployment of energy storage at different levels of the smart grid.

by high voltages (in the 69–765 kV range), other utility and customer services
cannot be provided. In this location, energy storage, known as bulk energy storage
(GW), is centralized but faces the same limitations as distributed energy storage. As
an instance, bulk ESSs lose the capability of deferring distribution system upgrades
and supporting distributed generation, among others. Nevertheless, they still pre-
serve valued services for system operators, such as supporting various smart grid
applications. A big difference between distributed and centralized energy storage is
that the distributed storage is not subject to siting limitations and can be located
anywhere on the grid, either near the generation or near the consumers [77].

10.3 ENERGY STORAGE TECHNOLOGIES

Electrical energy storage converts electrical energy to some other form of energy
that can be directly stored and converted back into electrical energy as needed. The
choice of an energy storage technology for a specific application depends on the
required power and energy ratings, response time, cycle life, lifetime, efficiency,
 10.3 ENERGY STORAGE TECHNOLOGIES 507

ENERGY STORAGE
TECHNOLOGIES

Mechanical Electrical Electrochemical Chemical Thermal

storage storage storage storage storage

Pumped Super Lead-acid Sensible

capacitor Hydrogen heat
hydro battery
–PHS –SCES storage
Advanced
Compressed Supercond. battery Latent
air magnetic –ABESS heat
–CAES –SMES storage
Flow
Flywheel battery
–FES –FBESS

Figure 10.3 Classification of energy storage technologies based on the storage

methodology.

weight, volume, and operating temperature [78]. There exist in the literature
­different methodologies for classifying energy storage technologies, such as in
terms of their functions, response times, on the form of energy stored, and so on.
One such way classifies ESSs by their functions into two major groups: storage
systems for energy applications (for medium‐ and long‐term duration requirements)
and systems for power applications (for short‐ and very short‐term duration
­requirements). Nonetheless, the most widely accepted approach for classifying
storage systems is according to the form of energy stored in the system, as depicted
in Figure 10.3. In this way, energy storage can be classified into five categories:
mechanical, electrical, electrochemical, chemical, and thermal energy storage
[1, 52, 79–82].

10.3.1 Mechanical Energy Storage

Mechanical storage exchanges its stored energy with the power grid in the form of
kinetic or potential energy. The most common mechanical storage technologies are
pumped hydroelectric power plants (pumped hydro‐storage: PHS), compressed air
energy storage (CAES) and flywheel energy storage (FES) [83].

Pumped Hydro‐Storage (PHS)

Pumped hydro is the most mature mechanical energy storage technology. The first
pumped hydro‐storage plants were installed in the Alpine regions of Switzerland,
Austria and Italy in the 1890s. PHS has a long history as a well‐established central-
ized power generation technology and is commercially available on a large scale.
508 Chapter 10 GRID ENERGY STORAGE SYSTEMS

Upper
Dam
reservoir

Water
flow
Motor/
Penstock Power
generator
house
Lower
Intake reservoir

Control a
b
gate Pumping c

Generating
Discharge
Pump/
turbine

Figure 10.4 General layout of a conventional pumped hydro‐storage (PHS) plant.

All existing pumped storage facilities in the world involve surface reservoirs, either
natural or artificial, and a small number use very large water bodies [84].
At present, pumped hydro systems are the most widely used energy storage
technology, and represents more than 96% of worldwide bulk storage capacity. As
depicted in Figure 10.4, a typical conventional PHS plant uses two water reservoirs
at different elevations to pump water mostly during off‐peak hours from the lower
to the upper reservoir. This charging operation mode (pumping mode) uses surplus
(or cheap) electrical energy to store energy in the form of gravitational potential
energy. At a later time, when energy is required, the water flows back down from
the upper to the lower reservoir, powering a turbine that drives the electrical machine
to generate electricity. This discharging operation mode (generation/turbine mode)
uses the stored potential energy to convert it back into electrical energy, just like a
conventional hydroelectric power facility [85]. The amount of energy stored
depends on the height difference between the two reservoirs and the total volume of
water stored. In the same way, the rated power of PHS plants depends on the water
pressure and flow rate through the turbines, and rated power of the pump/turbine
and generator/motor units. Due to the low energy density of pumped storage
schemes, they are actually only applicable for large‐scale grid applications [86].
Pumped hydro‐storage technologies are characterized by a large power and
energy capacity (with hourly to daily storage durations), low energy cost, fairly low
maintenance (low operating costs), high cycle (round‐trip) efficiency and fast
response time (from a few seconds to a few minutes). Other benefits of PHS facil-
ities include low atmospheric pollution levels and the fact that most of the water can
be recycled over and over again, so that a relatively small reservoir may be suitable
for many applications. Indeed, this proven technology is the most economical means
of energy storage with a long service lifespan, which can reach up to 100 years.
 10.3 ENERGY STORAGE TECHNOLOGIES 509

These attributes have made pumped storage projects very attractive for providing
a range of grid energy and ancillary services to the utility grid [87]. Nevertheless,
this technology has recently received significant attention from the power industry
because of its capacity to support the integration of renewable resources and the
reliable and efficient operation of the electric grid. These new grid services are
increasingly being required in modern electricity grids, especially for realizing
the smart grid concept. Thus, pumped hydro‐storage emerges today as a high‐
potential candidate to be used as a large‐scale energy storage medium in future
smart grids [88].
Table 10.2 shows a comparison of major attributes and potential applications
of mechanical energy storage technologies, including power and energy ratings,
storage duration (or discharge time), specific power and energy, self‐discharge,
response time, cycle (round‐trip) efficiency, cycle life, service lifetime, operating
temperature, and power and energy costs. In this table, the first row summarizes the
characteristics and potential applications corresponding to conventional PHS
technologies.
Major drawbacks of pumped hydroelectric storage lie in the necessity of hav-
ing geologically appropriate areas, with availability of water and high elevation
differences for building two large reservoirs and one or two dams; the long lead
time (typically up to 10 years); a high up‐front capital cost for construction of pro-
jects; and environmental issues (e.g., removing trees and vegetation from large
amounts of land prior to the reservoir being flooded). Projects are rarely located
close to urban centers, and getting permissions to construct PHS facilities can take
many years due to their significant environmental impact [89]. As a result, new pro-
jects try to avoid some of these problems by using as a reservoir either a natural
body of water, such as a river or lake, or a pre‐existing dam or even the ocean when
it is possible. These proposed PHS projects are often classified as closed‐loop sys-
tems, when they are not continuously connected to a naturally‐flowing water source
(case shown in Figure 10.4), and open‐loop schemes when they are continuously
connected to a naturally‐flowing water body (like rivers, etc.). Closed‐loop systems
are generally preferred because of the fewer environmental impacts associated with
these developments, since there is no transfer of water from a free‐flowing source
other than the need for makeup water to replace the evaporative water loss, thereby
greatly reducing aquatic issues (fish passage, sediment relocation, etc.).
Even though conventional PHS technologies have dominated the energy
storage market for more than a century, continuous improvements and innovations
have been implemented regarding performance, power rating, control and applica-
tion areas. In this sense, one of the key advances during recent decades has been the
development of variable (or adjustable) speed technology to allow modern PHS to
offer extra flexibility to conventional plants by enabling power regulation in pump-
ing mode (charging) as well as in generation mode (discharging) [90]. The main
achievement in this respect has been the development of a reversible turbine with a
power electronics‐controlled variable speed machine. Although there are two main
approaches to providing adjustable speed operation for a PHS plant, the doubly‐fed
 TABLE 10.2 Comparative analysis of mechanical energy storage technologies.

Power rating, Capacity, Storage duration Specific power, Specific energy, Self‐discharge,
Storage technology MW MWh (discharge time) W/kg Wh/kg %/day Response time

Pumped hydro‐ 30–3000 5000–30,000 6–24 h – 0.5–1.5 ≈0 0.1 s–5 min

storage (PHS)
Compressed air 30–600 5000–14,000 5–20 h – 30–60 – 5–15 min
energy storage
(CAES)
Flywheel energy 0.002–20 0.01–10 15 s–15 min 400–1600 10 (low speed)–150 20–100 < 1s
storage (FES) (high speed)

Service Operating Power Energy

Round‐trip Cycle life lifetime, temperature, cost, cost,
Storage technology (cont.) efficiency, % (durability), cycles years °C $/kW $/kWh Applications

Pumped hydro‐storage 70–85 18,000–50,000 45–100 – 550–3000 65–165 Energy arbitrage, RES integration,
(PHS) grid reliability, ancillary services
Compressed air energy 42–75 8000–20,000 30–45 – 400–1200 10–120 Energy arbitrage, RES integration
storage (CAES)
Flywheel energy storage 85–95 10,000–100,000 15–20 <60 110–350 1100–4500 Voltage/freq. stabilization, power
(FES) quality, transportation

510

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 10.3 ENERGY STORAGE TECHNOLOGIES 511

induction machine (DFIM) with a reduced‐power static converter in the rotor cir-
cuit system has been mostly used for large unit sizes (hundred MW), mainly for
reasons of economics. Thus, the power level can be adjusted rapidly so that this
high‐speed regulation capability can assist in providing a stable supply of electricity,
even when the power grid incorporates a significant share of variable and intermit-
tent RESs. The power electronic drive system can be used to enhance the response
time for power control by utilizing the inertia (flywheel operation) of the pump‐
turbine and the electrical machine, both in generating mode and in pumping mode.
In addition, the global plant efficiency can be increased by operating the turbine at
optimal speed even at partial loads [91]. The availability of the plant can also be
increased since it can operate in a wider head range. Moreover, the reliability can
be improved by eliminating operation modes prone to hydraulic instability or cavi-
tation, thus reducing the maintenance and increasing the lifetime. As a result, these
advanced variable (or adjustable) speed pumped storage technologies offer better
electrical and hydraulic performances than existing PHS systems. Although con-
ventional PHS technology is among the most flexible of technologies for energy
storage, the advanced (variable speed) PHS technology provides even more flexi-
bility. These improvements have made advanced PHS projects more attractive for
providing a wider range of services to the electricity grid, especially for supporting
very large‐scale variable and intermittent renewable electricity generation [92, 93].
At present, there are many PHS power stations in operation worldwide (more
than 350 plants), reaching an installed capacity of about 184 GW. The five largest
power‐rated operational pumped hydro‐storage plants are listed in Table 10.3 (first
rows) along with their major features [94]. All these PHSs are conventional‐type
closed‐loop systems with fixed‐speed machines. Advanced pumped hydro‐storage
systems with variable speed turbines have been built in Japan since the beginning
of the 1990s for load levelling applications, with a subsequent introduction in
Europe. No such plants have been built to date in the USA, but significant interest
has recently grown especially in upgrading existing conventional PHS. The last part
(two rows) of Table 10.3 lists a sample of advanced PHS facilities presently
operating around the world. To date there are more than 100 PHS projects (conven-
tional and advanced technologies) planned or under development worldwide, which
will increase the existing global storage capacity by almost 50% to almost 225 GW
by 2030.

Compressed Air Energy Storage (CAES)

CAES technology is seen as an alternative to pumped hydro‐storage. Both storage
systems are commercialized technologies with high potential as centralized power
plants for providing power output greater than 100 MW with a single unit. The
major issue with CAES plants is undoubtedly the fact that they have not yet reached
the phase of enough technical maturity, especially for advanced CAES which are
still at the research and demonstration stages. CAES are largely equivalent to
pumped hydro‐storage plants in terms of some applications and comparable char-
acteristics, that is, a large power and energy capacity (with hourly to daily storage
 TABLE 10.3 Major largest operational pumped hydro‐storage plants in the world.

Energy rating,
Project name Power rating (duration) Location Year of commission Type

Bath County 3003 MW, the world’s largest 30 GWh (10 h) Virginia, USA 1985 Conventional (fixed‐speed
power rated PHS plant machine), closed‐loop
Huizhou 2448 MW – Guangdong Province, 2007–2011 Conventional, closed‐loop
China
Guangzhou 2400 MW – Guangdong Province, 1994–2000 Conventional, closed‐loop
China
Okutataragi 1932 MW 16 GWh (8 h) Hyōgo Prefecture, Japan 1974 Conventional, closed‐loop
Ludington 1872 MW 15 GW (8 h) Michigan, USA 1973 Conventional, closed‐loop
Kazunogawa 1200 MW (planned – Kōshū, Yamanashi 1999–2000–2014 (last Advanced (adjustable‐speed) open‐
1600 MW) Prefecture, Japan unit expected by 2024) loop thyristor (GTO) converter
Limmern 1000 MW – Linthal, Canton of 2017 Advanced, closed‐loop, insulated gate
Glarus, Switzerland bipolar transistor (IGBT) converter

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 10.3 ENERGY STORAGE TECHNOLOGIES 513

duration), low energy cost (even less than PHS), low maintenance (low operating
costs), long service lifespan (although less than PHS), and even in the location
requirement for the air storage tank. Nonetheless, CAES has lower round‐trip
efficiency and slower response time (range of some minutes) than PHS plants.
Furthermore, there are barriers opposing the implementation of large‐scale CAES
units, such as the system complexity, the requirement for combusting fossil fuels
and the polluting emissions [95]. Table 10.2 gives a comparison of major attributes
and potential applications of CAES technologies with respect to other mechanical
energy storage technologies.
In a conventional CAES plant, ambient air is compressed and stored under
pressure in an underground cavern. When electricity is required, the compressed air
is heated and expanded in an expansion turbine, driving a generator for power pro-
duction. Thus, these traditional CAES systems require an external fuel source (e.g.,
natural gas) to generate output power [96]. Figure 10.5 depicts a typical conven-
tional in‐ground compressed air energy storage system. The CAES system operates
in a similar way to a conventional gas turbine power plant, with the main difference
being that the gas turbine in a conventional power plant requires up to two‐thirds of

Air Exhaust Exhaust gas

intake gas outlet

Motor Generator
abc
Recupe-
rator HP LP

Compressor
Gas
Fuel
turbine
Cooling injection
Pre- (Gas)
water heated
air Combustion Pre-treatment
chambers
Intercooler Compressed
air

Air Air
outlet intake
Underground
cavern

Figure 10.5 General layout of a conventional compressed air energy storage (CAES)
plant. (See electronic version for color representation of this figure.)
514 Chapter 10 GRID ENERGY STORAGE SYSTEMS

the mechanical energy it produces in order to drive the compressors (only a third is
available for moving the electric generator). A conventional CAES system sepa-
rates the compression and expansion cycles of a gas turbine into two decoupled
processes and stores the electrical energy in the form of the elastic potential energy
of compressed air. During low demand, energy is stored by compressing air up to
100 bars at near‐ambient temperatures into an airtight space, typically an under-
ground cavern (charging operation mode, with the motor driving a compressor).
When the power demand is high and the stored energy is required, compressed air
is drawn from the storage chamber, heated up by burning fuel in the combustion
chamber, and then expanded through a high‐pressure (HP) turbine, which captures
some of the energy contained in the compressed air (discharging operation mode).
Then, the air partially expanded through the HP turbine is reheated in another
combustion chamber before feeding it into the low‐pressure (LP) turbine for final
expansion. Both the high‐ and low‐pressure turbines are connected to a generator to
produce electricity. The waste heat of the exhaust is potentially captured via a heat
exchanger (or recuperator) before being released [97, 98].
There are mostly three states in which a CAES system can deal with the heat
created from compression during the charging operation mode: diabatic, adiabatic,
or isothermal. Diabatic storage dissipates much of the heat of compression as waste
into the atmosphere by utilizing an intercooler, as shown in the figure (therefore
approaching isothermal compression). Although this approach is relatively simple,
this process decreases the efficiency of the storage cycle since more fuel burning is
required for power generation. This increases the cost of the recovered energy and
compromises the ecological benefits associated with the storage of energy gener-
ated from renewable energy sources. The round‐trip efficiency of conventional
CAES plants is lesser than 60%. Nevertheless, this conventional diabatic CAES (or
D‐CAES) is by far the only system that has been implemented commercially [99].
On the other hand, adiabatic storage traps the heat produced by compression
and reuses it later by feeding it back into the air as it is expanded to generate power,
thereby eliminating the dependence on fossil fuels to reheat while avoiding the det-
riment of the CAES performance. In this case, heat is stored separately in a solid,
such as concrete or stone, or more likely in a fluid, such as hot oil (up to 300 °C) or
molten salt solutions (up to 600 °C). Hence, the adiabatic CAES (or A‐CAES) can
be considered a combination of CAES and thermal energy storage (TES) because
energy is stored in two forms, namely pressure of the compressed air and heat
stored in the thermal energy storage. In this way, efficiency of an A‐CAES is
expected to achieve up to 75%.
Finally, the isothermal compression‐expansion approach is an emerging tech-
nology that attempts to overcome some of the limitations of diabatic and adiabatic
methods. This leads to the least amount of thermodynamic work in compression
and the maximum work in expansion through an effective heat exchange with the
environment, trying to conserve the operating temperature without using fuel or
high‐temperature thermal storage. The I‐CAES is similar to an Ericsson cycle and
is expected to have the highest round‐trip efficiency (ideally more than 90%). In an
 10.3 ENERGY STORAGE TECHNOLOGIES 515

TABLE 10.4 Major operational compressed air energy storage (CAES) plants.

Project Energy rating, Round‐trip Year of

name Power rating (duration) efficiency Location commission Type

Huntorf 321 MW, the 650 MWh (2 h) 42% Niedersachsen, 1978 Diabatic,
world’s first Germany in‐ground, salt
caverns
McIntosh 110 MW, the 2860 MWh (26 h) 54% Alabama, USA 1991 Diabatic,
world’s second in‐ground, salt
caverns, heat
exchanger

I‐CAES, the temperature maintained during the compression and expansion is effi-
ciently achieved by the sufficient heat transfer using moisture in the air or a two‐
phase flow of air and droplets [100].
Presently, there are various CAES power plants in operation in the world,
reaching an installed capacity greater than 430 MW [94]. In addition, there are
some CAES projects being constructed today and others have recently been
announced. The major operational in‐ground CAES power plants are listed in
Table 10.4 along with their major characteristics. They are the first two utility‐scale
conventional D‐CAES projects in the world. Both commercial plants are still oper-
ational and have steadily shown good performances with very high reliabilities. On
the other hand, small‐scale advanced A‐CAES units have recently emerged as a
good solution for small‐ and medium‐scale utility applications. Indeed, major adia-
batic CAES plants built today comprise small‐scale (less than a MW) demonstra-
tion implementations.

Flywheel Energy Storage (FES)

Flywheels have existed for thousands of years as one of the most primitive
mechanical energy storage systems. The most common traditional example was the
potter’s wheel used as a rotatory object using the flywheel effect to maintain its
energy under its own inertia. During the Industrial Revolution, flywheels were
introduced in order to improve the steam engine by allowing direct‐drive of the
rotary machinery of factories and mills. In recent decades, technology of flywheels
for electrical energy storage has become the focus of extensive research. Today,
flywheel energy storage (FES) systems are seen as a promising alternative to tradi-
tional storage technologies in order to mitigate stability problems in distribution
networks due to the variable power output of renewable‐based generators [101].
FES technology stores mechanical energy as kinetic (or inertial) energy in the
angular momentum of the rotor mass spinning at very high speeds. As portrayed in
Figure 10.6, a FES system comprises five primary components: the flywheel rotor,
the set of bearings, the electrical machine (motor/generator), the electronic power
conditioning system (not shown), and the containment (or housing) system that
provides a high vacuum environment. The charging/discharging process of the
device is performed using an electrical machine operated either as a motor or as a
516 Chapter 10 GRID ENERGY STORAGE SYSTEMS

Axes of rotation

Protective Upper
shield magnetic
bearings
Motor/
generator
a
Flywheel
rotor b
c
Vacuum
housing

Lower
magnetic
bearings

Vacuum
pump
Hub
Figure 10.6 Basic structure of a typical flywheel energy storage (FES).

generator. In the charging operation mode, the flywheel rotor is accelerated up to

the required speed by absorbing power from the electric grid using the electrical
machine as a motor. In the discharging operation mode, the kinetic energy stored in
the flywheel is converted back to electrical energy by decelerating the flywheel
rotor through the electrical machine operating as a generator; thus electrical power
is produced on demand [102].
Table 10.2 presents a comparison of major attributes and potential applica-
tions of FES technologies with respect to other mechanical energy storage technol-
ogies. The FES system has very low rotational losses due to the magnetic bearing
assembly, which prevents contact between the stationary and rotating parts, thus
decreasing mechanical friction at high speeds of operation. Furthermore, the aero-
dynamic resistance of the rotor is greatly reduced by employing a high vacuum
enclosure. Consequently, the use of a vacuum (10−6–10−8 atmospheric pressure) and
magnetic bearings allows FES to minimize the rotation resistance and thus to reach
an overall round‐trip efficiency exceeding 80% [103].
The rotational kinetic energy stored in a flywheel system is linearly propor-
tional to the moment of inertia, i.e. a combination of its shape and mass, and the
square of its rotational speed (also called angular velocity), as stated by Eq. (10.1),
while the power rating is dependent on the motor/generator.

1 2
EFES JF mF (10.1)
2
 10.3 ENERGY STORAGE TECHNOLOGIES 517

where EFES is the amount of energy stored in the flywheel (J), JF is the moment
of inertia of the flywheel rotor plus the electrical machine (kg m2) and ωmF is the
flywheel rotor mechanical speed (rad/s).
Thus, according to Eq. (10.1), the rotational kinetic energy stored in a
­flywheel can be optimized by either increasing the spin speed or increasing the
moment of inertia. This allows FES systems to be divided into two categories:
low‐speed FES systems (typically below 10,000 rpm) and high‐speed FES units
(above 10,000 rpm and up to 100,000 rpm). Conventional low‐speed FES systems
are the most popular in the industry. Their rotor is usually made of heavier metallic
material, such as steel, and can be supported by either mechanical or magnetic bear-
ings. On the other hand, high‐speed FES units commonly utilize lighter but strong
advanced high‐strength composite materials (such as carbon‐fiber) for their rotor,
and typically require magnetic bearings. Nevertheless, the cost of high‐speed
­flywheels can be up to five times higher than the cost of low‐speed flywheels [104].
Low‐speed FES systems have very high specific power, although their
specific energy is low. They suffer from idling losses during the standby operation
owing to the losses on bearings and air resistance, which can lead to relatively high
self‐discharge. Therefore, low‐speed flywheels are suitable for applications that
require very high power for only a short time duration (several seconds) with a high
number of charging–discharging cycles and only short storage periods (some min-
utes), such as power quality applications. On the other hand, high‐speed FES sys-
tems also have very high specific power as well as higher specific energy, which
increases their energy storage capacity. This is still relatively low especially when
compared to that of batteries. Therefore, high‐speed flywheels are suitable for
applications with longer storage duration (several minutes). However, the cost of
high‐speed composite systems can be much higher than that of conventional metal
flywheel systems.
FES systems have several promising characteristics, including long cycle life
and service lifetime, high cycle (round‐trip) efficiency, relatively high power
density, immunity to depth‐of‐discharge effects and to temperature fluctuations,
and easy maintenance. In fact, FES devices are relatively tolerant to abuse – their
lifetime is not shortened by a deep discharge, unlike batteries. Additionally, they are
relatively compact, capable of charging and discharging very rapidly (some min-
utes) and have lower maintenance requirements than batteries. FES systems enable
relatively simple state monitoring, as the state‐of‐charge is a function of readily
measurable parameters, such as the flywheel inertia and speed. On the other hand,
flywheels have relatively low specific energy and high standing losses. Indeed, self‐
discharge rates for FES systems are very high, this being the reason why flywheels
are not adequate for long‐term energy storage [105].
Flywheel energy storage technology is not yet mature enough and therefore
needs additional research and development in a number of aspects, including high‐
strength composite materials, flywheel rotor technology, magnetic bearings and
high‐speed electrical machines, among others. Actually, new advances in FES
technology are presently drawing attention, such as the high‐temperature
­
518 Chapter 10 GRID ENERGY STORAGE SYSTEMS

superconductor (HTS) bearings, which is a promising means to improve bearing

performance and thus the overall round‐trip efficiency of the system. They are com-
mercially available and several installations have so far been built worldwide. Typical
FES units are usually not large due to their high rotating speed and inertia (about
100–300 kW with 3–25 kWh of stored energy), but if greater capacity is needed,
many small‐sized units can easily be integrated (paralleled) into a large one [106].
Nowadays, there are various FES systems in operation around the world, with
an installed capacity greater than 940 MW [1, 94]. The five largest operational
utility‐scale FES facilities are listed in Table 10.5 with their major characteristics.
The first three are conventional low‐speed FES projects used to support the main
power supplied for fusion pulse experiments. Since the power requirements during
the plasma pulse are very high for a few seconds duration, and often unavailable at
the point of coupling to the local grid, the flywheels act as a bridge in meeting these
requirements. These FES units are high‐power and low speed technologies that
allow onsite power supply for plasma heating in fusion experiments. On the other
hand, the last two FES projects are high‐speed (up to 16,000 rpm) composite
­flywheel technologies that provide frequency regulation (or control) services to
grid operators. These flywheels recycle energy from the grid in response to changes
in demand and grid frequency. When the generated power exceeds the load, the
­flywheels can store this surplus energy, whereas when the load increases, the fly-
wheels can inject this stored energy back into the grid. These innovative technol-
ogies are best suited to seconds‐to‐minutes applications and have proven over
8 million hours in commercial operations with almost no degradation and no state‐
of‐charge (SOC) limits to manage cycle life.

10.3.2 Electrical Energy Storage

The simplest and most efficient method to store electrical energy is directly as
electrical energy. The electrical energy storage mainly comprises supercapacitor
energy storage (SCES) and superconducting magnetic energy storage (SMES).

Supercapacitor Energy Storage (SCES)

Capacitors are electrical devices that store energy in the form of an electrostatic
field established by opposite charges between two conducting plates (electrodes)
separated by a thin layer of insulator (dielectric), when a constant DC voltage
source is connected across both plates. On the other hand, the so‐called super‐ (or
ultra‐) capacitors do not have a conventional solid dielectric. They instead have
plates that are filled with two layers of an identical substance, which allows them to
separate the charges. As a result, supercapacitors can achieve additional benefits,
such as a capacitance value much higher than normal capacitors and an improved
charge/discharge cycle life [107].
Supercapacitors can store energy using either ion absorption or fast surface
redox reactions. In this way, several kinds of supercapacitors can be distinguished
depending on the charge storage mechanism as well as the active material type.
 TABLE 10.5 Major operational flywheel energy storage (FES) plants.

Year of
Project name Power rating Energy rating, (duration) Location commission Type

Joint European Torus 400 MW, the world’s largest 12,000 MJ (30 s) Oxfordshire, UK 1986 Vertical shaft, low speed,
(JET) Fusion power rated FES plant pulsed power
Max Planck Institute 387 MW 3800 MJ (10 s) Garching bei München, 1987 Horizontal shaft, low
ASDEX‐Upgrade Bavaria, Germany speed, pulsed power
Institute of Plasma 70 MW 210 MJ (3 s) Prague, Czech Republic 2008 Vertical shaft, low speed,
Physics (IPP) Prague pulsed power
Beacon Power 20 MW 5 MWh (15 min) Stephentown, New 2011 Vertical shaft, magnetically
Stephentown York, USA levitated, high speed
Beacon Power Hazle 20 MW 5 MWh (15 min) Pennsylvania, USA 2014 Vertical shaft, magnetically
levitated, high speed

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520 Chapter 10 GRID ENERGY STORAGE SYSTEMS

According to the charge storage mechanism, super capacitors can be classified into
two groups: electric (or electrochemical) double‐layer capacitors (EDLCs), and
pseudo‐capacitors (PCs). In relation to the active material type, there are two cate-
gories of supercapacitors: symmetrical and asymmetric supercapacitors.
EDLCs are a relative recent technology in the field of short‐term energy
storage systems for grid applications. The first high‐power supercapacitor with low
internal resistance was developed in the early 1980s in the USA for portable mili-
tary applications. They are the most common type of supercapacitors, and share the
same physical principles with conventional capacitors: storing energy using ion
absorption. Nevertheless, the key difference is the EDLC structure of liquid electro-
lyte and porous electrodes, which creates an extremely high specific surface area
(hundreds of m2/g) compared with the conventional electrode structure. In addition,
it ensures an outstandingly short distance at the interface between the electrode and
the electrolyte (less than 1 nm), which allows EDLCs to reach a very high capaci-
tance per unit of volume (up to thousands of times larger than conventional electro-
lytic capacitors). Furthermore, exceptional electrical conductivity of the electrolyte
in the EDLC can reduce the internal resistance of electrodes so as to facilitate
increased mobility of ions into the pores of electrodes to further enhance its power
performance [108].
EDLCs are composed of a porous structure of activated carbon for both elec-
trodes, which are immersed into an electrolytic solution (typically potassium
hydroxide or sulfuric acid) and a porous membrane that prevents physical contact
of the electrodes but allows ion transfer between them, as shown in Figure 10.7.
Although several types of electrodes have been used, the most common

Electrolyte
Porous carbon Separator Porous carbon
electrode electrode

Double layer Current collector

Figure 10.7 Schematic view of an EDLC‐type supercapacitor energy storage (SCES).
(See electronic version for color representation of this figure.)
 10.3 ENERGY STORAGE TECHNOLOGIES 521

supercapacitor devices today are built using the electrochemical double‐layer

capacitance principle, which is carbon‐based (an abundant and inexpensive form of
carbon called activated carbon) and has an organic electrolyte that is easy to manu-
facture. In order to further improve the capacitance of the activated carbon material,
further advances have engineered sophisticated carbon structures, such as ordered
mesoporous carbon, carbon nanotubes, and graphene. These materials are normally
more expensive than activated carbon, but their capacitive capabilities exceed those
of activated carbon structures [109, 110].
As can be derived from the figure, the EDLC structure effectively creates
two equivalent capacitors (between each electrode and the electrolyte) connected
in series, which gives them the name of electric double‐layer capacitors. Energy
is stored as a charge separation in the double‐layer created at the interface bet-
ween the solid electrode material surface and the liquid electrolyte in the micro-
pores of the electrodes. The capacitance of these supercapacitors can be estimated
using the double‐layer model which considers the double‐layer charge as two
charge mono‐layers. Thus, the specific capacitance of such a double‐layer is
given by Eq. (10.2):

A
CSC 0 r
(10.2)
d
where CSC is the double‐layer capacitance (F), ε0 the absolute permittivity or
dielectric constant of free space (vacuum, approximately 8.85 × 10−12 F/m), εr the
relative permittivity or dielectric constant of the medium between the two layers, A
the effective area of the electrodes, and d is the thickness of the double‐layer at the
electrode/electrolyte interface. This double‐layer has a very small thickness and
significantly large area, showing that EDLCs have a much higher capacitance than
that of conventional capacitors [111].
In the same way, the amount of energy stored as static charge on the surfaces
between the electrolyte and the two conductor electrodes in an EDCL supercapaci-
tor is given by Eq. (10.3).

1
ESCES CSCV 2 (10.3)
2

with ESCES being the energy stored by the SCES system (J), CSC the double‐layer
capacitance (F), and V the terminal voltage (V).
Unlike EDLCs, where the electrical charge storage is stored electrostatically
with no interaction between the electrode and the ions, pseudo‐capacitors or redox
supercapacitors store electrical energy faradaically by electron charge transfer bet-
ween electrode and electrolyte. This is accomplished through a very fast sequence
of reversible faradaic reduction‐oxidation (redox) reactions, electrosorption, and
intercalation processes on the surface of suitable electrodes, named pseudo‐
capacitance. They utilize an electrochemical active redox material combined with a
522 Chapter 10 GRID ENERGY STORAGE SYSTEMS

carbon material such as an activated carbon to make an electrode that allows them
to gain up to hundred times more capacitance than that of pure EDLCs with the
same electrode surface. In this way, the electron storage at the electrode/electrolyte
interface is not simply a physical process, as some fast reversible oxidation/
reduction reactions occur to increase the specific energy of the storage device. To
address this aim, PCs utilize transition metal oxides as well as electrically conduct-
ing polymers as pseudo‐capacitive active materials. One of the more thoroughly
explored materials for pseudo‐capacitors is ruthenium oxide, since it has multiple
redox phases that allow more electron transfers for greater capacitance. In addition,
this faradaic storage with only fast redox reactions makes charging and discharging
much faster than batteries. Nevertheless, using these intercalation‐based electrodes,
such capacitance gain is normally detrimental to the cycle life, especially at high
depth of discharge, and other burdens that are shared with batteries. Accordingly,
important research efforts are being directed towards increasing the stability during
long‐term cycling [112].
A third group of super capacitors is a combination of EDLCs and PCs, which
is known as hybrid (or asymmetric) capacitors. They are built with different elec-
trodes: a battery‐like Faradaic electrode and a capacitive carbonaceous electrode.
This unique design benefits from both the capacitors and the battery properties to
increase the energy density due to the electrochemical redox process at the Faradaic
electrode. These asymmetric supercapacitors are a promising technology with great
potential for future energy storage devices in terms of energy density improvement.
This is very interesting for large‐scale energy applications, because they have a
considerably higher energy density than symmetrical supercapacitors and much
lower leakage currents.
Supercapacitors have been developed to bridge the gap between conventional
electrolytic capacitors and rechargeable batteries. In terms of specific power and
specific energy, this gap covers various orders of magnitude. The essential features
of SCES devices are both the extremely high capacitance (thousands of farads) and
the very high charge/discharge rate as a result of the extraordinarily low inner resis-
tance, which are characteristics not found in conventional batteries. Other prom-
ising features includes high reliability, no maintenance, long cycle life and service
lifetime, very high cycle (round‐trip) efficiency, and outstanding cycling stability
within a wide range of temperature and environmental conditions. This is particu-
larly true for EDLCs assembled using nanostructured activated carbon fabric as the
electrode material [113].
Table 10.6 shows a comparison of major attributes and potential applications of
electrical energy storage technologies, including power and energy ratings, storage
duration (or discharge time), specific power and energy, self‐discharge, response
time, cycle (round‐trip) efficiency, cycle life, service lifetime, operating temperature,
and power and energy costs. In this table, the first row summarizes the characteristics
and potential applications corresponding to supercapacitor technologies [114].
The specific energy of supercapacitors is substantially larger than that of tra-
ditional capacitors (by two orders of magnitude for PCs), but around 10 times less
 TABLE 10.6 Comparative analysis of electrical energy storage technologies.

Power Specific Specific

rating, Capacity, Storage duration power, energy, Self‐discharge, Response
Storage technology MW MWh (discharge time) W/kg Wh/kg %/day time

Supercapacitor energy storage 0.001–1 0.001–1 0.1 s–1 min 1000–10,000 1–30 0.5–5 < 1 ms
(SCES)
Superconductor magnetic 0.001–10 0.001–10 1 s–5 min 500–2000 1–15 10–15 < 1 ms
energy storage (SMES)

Service Operating
Round‐trip Cycle life (durability), lifetime, temperature, Power cost, Energy cost,
Storage technology (cont.) efficiency, % cycles years °C $/kW $/kWh Applications

Supercapacitor energy 92–98 10,000–1,000,000 > 20 −40–100 120–400 320–2500 Voltage/freq. stabilization,
storage (SCES) power quality, transportation
Superconductor magnetic 95–96 10,000 > 20 – 200–400 1000–6500 Voltage/freq. stabilization,
energy storage (SMES) power quality, transportation

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524 Chapter 10 GRID ENERGY STORAGE SYSTEMS

than existing battery technology. On the other hand, the specific power of superca-
pacitors is about 10 to 100 times higher than conventional batteries. This property
is especially significant in applications that require quick bursts of energy to be
released from the storage device. In the same way, supercapacitors have charge and
discharge times comparable to those of ordinary capacitors and by far superior to
those of batteries. Indeed, supercapacitors can be charged/discharged in seconds,
while it takes up to several hours for batteries to reach the fully charged/discharged
states. Moreover, supercapacitors can be charged/discharged millions of times, hav-
ing a virtually unlimited cycle life, while batteries only have a lifespan of a few
thousand cycles. Also, supercapacitors are safer than regular batteries when they
are mistreated. On the other hand, besides the low specific energy of supercapaci-
tors, the major factors that limit their usage is the high self‐discharge rate, which is
higher than that of batteries, and the high capital cost. Therefore, supercapacitors
are well suited for short‐term storage applications with a large number of short
charge/discharge cycles, but not for long‐term energy storage [115, 116].
Supercapacitors constitute a developed technology that needs further research
and development in various fields, including, among others, new electrode and
electrolyte materials, lifespan, stability, and large‐scale power grid integration.
Nonetheless, they are commercially available and a few large‐scale facilities have
to date been built worldwide. Today, there are various SCES system projects in
operation worldwide, reaching an installed capacity of approximately 70 MW.
Many small‐scale demonstration projects are employed for providing voltage
support and compensation services to railway transportation, while new larger
SCES systems are being built to support the grid integration of renewable energy
sources [1]. Table 10.7 lists two selected demonstrator SCES stations constructed
to provide these services. The first project, one of the largest of its kind in terms of
energy capacity in the USA, is a wayside SCES station installed for performing
regenerative braking to obtain greater energy efficiency and reduced energy con-
sumption in the US rail transit system. The second project is Europe’s most impor-
tant demonstration station with regard to energy storage in island environments,
and includes the assessment of various storage technologies, including FES devices
and batteries. The aim of this development is to demonstrate the technical and
financial viability of large‐scale storage systems to improve the reliability and oper-
ation of the grid in weak and isolated island networks [117–119].

Superconducting Magnetic Energy Storage (SMES)

Superconducting magnetic energy storage (SMES) technology stores electrical
energy in the magnetic field created by a direct current (DC) flowing through a
superconducting coil. This superconducting coil is cooled to cryogenic tempera-
tures by immersing it directly in a cryogenic liquid or by placing it in an atmosphere
cooled by cryogenic refrigeration. Thus, when the temperature of the coil is low-
ered below a certain characteristic temperature of the material, called the critical
temperature, a sharpness transition occurs from the normal to the superconducting
phase. This attribute of the SMES coil implies the permanent storage of energy,
 10.3 ENERGY STORAGE TECHNOLOGIES 525

since it has zero internal resistance at the superconducting state and consequently
no DC losses. Furthermore, it allows the superconducting coil to release high levels
of power within a fraction of a cycle, although only for short periods of time. In this
way, the major feature of SMES systems is the fast dynamic response that allows a
very short response time (in the range of ms), limited only by the switching time of
the power conditioning system [120].
The SMES device is actually a current source. Indeed, it is considered the
“dual” of a supercapacitor, which is a voltage source. Some other crucial technical
attributes that describe SMES systems are their excellent overall round‐trip
efficiency, long cycle life (and service lifespan) with full charge–discharge and
their capability of discharging all the stored energy, in contrast to many other energy
storage technologies. The cycle life of a SMES is not influenced by the number of
service cycles or the depth of discharge. It is rather limited by the mechanical
fatigue of the support structure. Furthermore, as in the case of supercapacitors, the
specific energy of SMES systems is low, limited by mechanical considerations, but
the specific power can be extremely high. Therefore, SMES units are suitable for
providing services that require constant, full cycling and a continuous mode of
operation. These features make SMES systems interesting for providing power
quality enhancement services, particularly with high‐power and short‐time require-
ments (acting as pulse power sources) [121].
A simplified topology of a SMES plant is shown in Figure 10.8. It comprises
four main components or subsystems: the superconducting coil with its supporting
structure and connection components, the cryogenic refrigerating system (cryostat,
vacuum pumps, cryogenic refrigerator, tanks, etc.), the electronic power condi-
tioning system (inverter, chopper, etc.), and the control system (for electronics,
cryogenics, magnet protection, etc.) [122].
The core of a SMES device is its superconducting magnet, which must satisfy
major technical requirements, such as low stray field, and a mechanical design suit-
able for containing the large Lorentz forces. The mechanical design of the coil is of
extreme importance, since the magnetic superconductor must be designed to with-
stand high stresses and deformations without degradation of superconducting

TABLE 10.7 Selected operational supercapacitor energy storage (SCES) facilities.

Energy
Power rating, Year of
Project name rating (duration) Location commission Type

Long Island Rail 1 MW 60 MJ (1 min) New York, 2013 EDLC modules

Road (LIRR) USA platform with active
Malverne balancing and shock/
Station vibration technology
Endesa STORE: 4 MW 20 MJ (5 s) Canary 2013 EDLC modules platform
La Palma Islands, with active balancing
Project Spain
526 Chapter 10 GRID ENERGY STORAGE SYSTEMS

Protective
shield
Superconducting
coil (LTS/HTS)
Liquid helium/
liquid nitrogen

Temp.
Lts ~4 K
Vacuum hts ~77 K
chamber
Pump
Liquid helium/
Cryogenic liquid nitrogen
Cryostat refrigerator tank
Figure 10.8 Structure of a superconducting magnetic energy storage (SMES) system.

properties. Thus, two methodologies have mostly been employed to contain the
large Lorentz forces: earth (warm) and self‐supported (cold) structures. In the first
approach, the magnet is supposed to be installed in an underground cavern or in
reinforced surface trenches, so that forces are transferred to the external surface.
In the self‐supporting design, which is the cheaper option, the cold structure of the
magnet itself supports the Lorentz forces [123].
From a magnet design perspective, there are two most classical topologies in
a SMES system: solenoidal and toroidal. Solenoids (case shown in Figure 10.8)
have a simple structure and provide large stored energy per unit length of the
­superconductor. Nevertheless, the basic drawback of solenoids (unshielded) is that
they produce large stray magnetic fields that can have negative effects on the
­cryogenic refrigerator and power electronics. It also limits their site location and
requires employment of various shielding methods to contain these stray fields. On
the other hand, toroids decrease the stray magnetic fields of the superconducting
magnet at the expense of mechanical complexity. Although the magnetic forces are
augmented and additional superconducting material is required, they provide less
stored energy per unit of the superconductor, being able to store nearly half of the
energy of a solenoid [124, 125].
SMES topologies are cooled to a critical temperature depending on the type
of superconductor. Consequently, superconducting coils can be categorized into
two groups: low‐temperature superconducting (LTS) coils, typically built with a
niobium‐titanium (NbTi) alloy and cooled by liquid helium at about 4 K, and high‐
temperature superconducting (HTS) coils, normally built with a ceramic oxide
compound and a coolant of liquid nitrogen (LN) at about 70 K. The most commonly
used superconductor for magnet windings, by far, is NbTi due to its lower cost
­compared with the first generation of high critical temperature superconductors.
 10.3 ENERGY STORAGE TECHNOLOGIES 527

Operation at higher temperatures can bring benefits such as lower investment and
operating costs for the cryogenic refrigerator and an improvement in stability
against perturbations for the magnet. In this way, the second generation of high
critical temperature semiconductors is more attractive in terms of cost, performance,
and operating temperature, among others [126–129].
The amount of energy stored in the form of a magnetic field in the supercon-
ducting coil of a SMES is given by Eq. (10.4):

1
ESMES L IL2 (10.4)
2

where ESMES is the energy stored by the SMES system (J), L is the inductance (H) of
the superconducting magnet, and IL is the inductor current (A).
Major drawbacks of SMES units are the high investment (capital) costs,
high daily self‐discharge rate, and environmental issues associated with a strong
magnetic field. Even though there are no moving parts in the main part of the SMES
system, the refrigerating system significantly influences the overall reliability and
power consumption in order to keep the coil at low temperatures to reach the super-
conducting state. Typical SMES units range from 1 MW to some tens of MW, with
storage times going from a few seconds to some minutes. Nonetheless, research is
being conducted on larger SMES systems in the range of 10–100 MW with storage
times of various minutes. These features make SMES systems suitable for short‐
term applications, such as support of voltage stability and power quality problems
for large industrial customers and microgrids [130–133].
Table 10.6 shows a comparison of major attributes and potential applications
of electrical energy storage technologies, including power and energy ratings,
storage duration (or discharge time), specific power and energy, self‐discharge,
response time, cycle (round‐trip) efficiency, cycle life, service lifetime, operating
temperature, and power and energy costs. In this table, the last row summarizes the
characteristics and potential applications corresponding to SMES technologies.
SMES is a developed technology that requires additional research and
development in various fields, including novel high‐temperature superconducting coil
materials, reliability, cryogenic refrigeration system, large‐scale grid integration,
and so on. Nevertheless, they are commercially available and a few large‐scale
stations have so far been constructed in the world. The LTS‐SMES technology is
more developed and commercially available, while the HTS‐SMES is presently in
the development stage. SMES systems have experienced some problems related
to the stability of the superconducting coil, since its superconductivity is quite
sensitive to temperature variations and critical magnetic field.
To date, a few somewhat small SMES systems are commercially available.
Nevertheless, there are several demonstration projects around the world with
increasing power levels. It is estimated that over 100 MW of SMES units are now in
operation worldwide [52]. Table 10.8 lists two selected demonstration SMES facil-
ities built to provide power quality services. The first project is the first
 TABLE 10.8 Selected superconducting magnetic energy storage (SMES) stations.

Energy rating,
Project name Power rating (duration) Location Year of commission Type

Gesellschaft für 20 kW (peak) 5 kJ (2 s) Gelsenkirchen, North 1996 High‐temperature SMES system

Innovative Rhine‐Westphalia,
Energieumwandlung Germany
und Speicherung (EUS)
Texas Center for 20 kW 2 MJ (100 s) Houston, Texas, USA Under construction Ultra‐high field (UHF) SMES
Superconductivity since 2011 system, second‐generation (2G)
(TcSUH), University HTS wires
of Houston

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 10.3 ENERGY STORAGE TECHNOLOGIES 529

significant‐sized HTS‐SMES magnet built by American Superconductor Corp. for a

company in Germany. The superconducting magnet consists of a solenoidal coil con-
structed from a Bi‐2223 conductor with a rated current of 100 A (at 25 K). The second
demonstration project is an ultra‐high field (UHF) SMES system being developed
since 2011 by the US Department of Energy through a collaborative partnership
among SuperPower Inc., ABB Inc., the Brookhaven National Laboratory (BNL), and
the Texas Center for Superconductivity (TcSUH) at the University of Houston. This
device utilizes second‐generation (2G) HTS wires based on (RE)BCO (rare earth
barium copper oxide elements) operating at liquid nitrogen ­temperatures (77 K).

10.3.3 Electrochemical Energy Storage

Electrochemical energy storage technologies are secondary (rechargeable) battery‐
energy storage systems (BESSs) that store electrical energy in the form of chemical
energy. This storage technique is one of the oldest forms of electricity storage and
employs a reversible chemical reaction that takes place in the presence of an elec-
trolyte for storing/producing DC electricity. A BESS comprises a number of elec-
trochemical cells connected in series and/or parallel to achieve the required voltage
and power ratings. Each cell consists of two electrodes, a positive electrode and a
negative electrode, with an electrolyte that can be in liquid, viscous, or solid states.
A cell can bi‐directionally convert energy between electrical and chemical energy
(in order to prevent confusion, the negative electrode is the anode and the positive
electrode is the cathode during discharge – it is understood that they will be reversed
during charge). Figure 10.9 shows an overall schematic diagram for a classic BESS.
This storage approach includes traditional lead‐acid battery‐energy storage sys-
tems, advanced battery‐energy storage systems (ABESSs) and redox (reduction‐
oxidation) flow batteries. Advanced BESSs comprise nickel chemistry batteries
(nickel‐cadmium and nickel‐metal hydride), lithium chemistry batteries (lithium‐
ion and lithium‐polymer), and sodium chemistry batteries (sodium‐sulfur and
sodium nickel chloride) [1, 134].

Lead‐Acid Batteries (Pb‐acid BESS)

Lead‐acid battery‐energy storage systems (Pb‐acid BESSs) are the oldest type of
rechargeable battery, invented by the French physicist Gaston Planté in 1859. They
are the most readily available and broadly applied secondary battery type in the
world, and have been commercially deployed since around 1880. They offer the
only mature and well‐researched technology among all BESSs, with the lowest
costs compared with the rest. A Pb‐acid battery cell shares the structure of
Figure 10.9, making use of lead dioxide (PbO2) as the positive electrode, spongy
lead (Pb) as the negative electrode, and sulfuric acid (H2SO4) as electrolyte, with
lead as the current collector. The above materials combine to produce a nominal
cell voltage of about 2 V. Consequently, series and parallel connections are employed
to fulfill the power and energy requirements of the application. As an example, six
cells are normally connected in series for a 12 V standard battery [135].
530 Chapter 10 GRID ENERGY STORAGE SYSTEMS

Cell Negative
connector terminal

Positive
terminal

Electrode
connectors

Electrolyte
solution

Protective
Multi-plate casing
positive Cell
electrode divider

Multi-plate
negative
electrode
Figure 10.9 Simplified overall schematic diagram of a battery‐energy storage
system (BESS).

Major attributes of lead‐acid batteries comprise very short response times

(ms), low self‐discharge rates, relatively high cycle efficiencies, and low capital
costs. Other advantages are an auspicious cost/performance ratio, easy recyclabil-
ity, and a simple charging technology. However, the key disadvantages of lead‐acid
batteries are the relatively low cycle lifetime and the low specific energy. Other
drawbacks are the reduction of their capacity when high power is drawn, the depen-
dency of the cycle life on the depth of discharge, their poor performance at low
temperatures, sulfatation of electrode plates, and the use of lead, a hazardous
material restricted (or even prohibited) in several countries. In addition, to avoid
accelerating the sulfatation process, Pb‐acid batteries must meet specific operating
requirements, such as being charged after every discharge, to keep charged at a
floating voltage higher than the nominal voltage and not to be discharged below a
minimum voltage (1.75 V per cell) [136, 137].
Table 10.9 presents a comparison of major attributes and potential applica-
tions of electrochemical energy storage technologies, including power and energy
ratings, storage duration (or discharge time), specific power and energy, self‐
discharge, response time, cycle (round‐trip) efficiency, cycle life, service lifetime,
operating temperature, and power and energy costs. In this table, the first row
reviews the characteristics and potential applications corresponding to lead‐acid
battery technologies.
 TABLE 10.9 Comparative analysis of electrochemical energy storage technologies.

Power Specific Specific Self‐ Cell

rating, Capacity, Storage duration power, energy, discharge, Response voltage,
Storage technology MW MWh (discharge time) W/kg Wh/kg %/day time V

Lead‐acid (Pb‐acid) battery 0.05–50 0.001–150 15 s–10 h 75–300 30–50 0.1–0.3 < 2 ms 2
Nickel‐cadmium (NiCd) battery 0.05–40 0.001–30 15 s–5 h 150–350 50–70 0.2–0.6 < 2 ms 1.2
Nickel‐metal hydride (NiMH) battery 0.01–40 0.001–50 15 s–5 h 175–750 70–250 0.4–1.2 < 2 ms 1.2
Lithium‐ion (Li‐ion) battery 0.1–1 0.001–30 15 s–10 h 500–2000 80–300 0.1–0.3 < 2 ms 3.3–3.7
Lithium‐polymer 0.1–1 0.001–30 15 s–10 h 500–1000 85–350 0.1–0.3 < 2 ms 3.3–3.7
(Li‐Po) battery
Sodium‐sulfur 0.5–50 0.001–240 15 s–5 h 150–230 75–500 0.05 < 2 ms 2.1
(NaS) battery
Sodium‐nickel chloride (NaNiCl or 0.01–1 0.001–200 15 s–5 h 150–200 75–350 0.045 < 2 ms 2.58
ZEBRA) battery
Redox flow battery (RFB) 0.01–15 0.001–250 15 s–10 h 100–180 85–220 0.05–0.15 < 2 ms 1.4–1.7

Service Operating Energy

Round‐trip Cycle life lifetime, temperature, Power cost, cost,
Storage technology (cont.) efficiency, % (durability), cycles years °C $/kW $/kWh Applications

Lead‐acid (Pb‐acid) battery 70–85 500–1000 5–15 < 55 250–500 150–450 Energy arbitrage, ancillary
services, RES integration,
transportation
Nickel‐cadmium (NiCd) 60–70 1500–2500 10–20 < 55 500–850 600–900 Energy arbitrage, ancillary
battery services
Nickel‐metal hydride 60–75 1500–1800 10–15 < 55 600–900 700–950 Energy arbitrage, ancillary
(NiMH) battery services
(Continued)

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 TABLE 10.9 (Continued)

Service Operating Energy

Round‐trip Cycle life lifetime, temperature, Power cost, cost,
Storage technology (cont.) efficiency, % (durability), cycles years °C $/kW $/kWh Applications

Lithium‐ion (Li‐ion) 95–98 1500–3500 10–15 < 55 250–550 230–450 Energy arbitrage, UPS,
battery black start, RES
integration, ancillary
services, transportation
Lithium‐polymer 95–98 1200–3500 10–15 < 55 250–600 250–500 Energy arbitrage, UPS,
(Li‐Po) battery black start, RES
integration, ancillary
services, transportation
Sodium‐sulfur 75–90 900–4500 10–15 300–350 220–2000 300–900 Energy arbitrage, UPS,
(NaS) battery power quality, peak
shaving, RES integration,
ancillary services
Sodium‐nickel chloride 86–88 2500–3000 12–15 < 300 150–700 200–400 Energy arbitrage, UPS,
(NaNiCl or ZEBRA) power quality, peak
battery shaving, RES integration,
ancillary services
Redox flow battery (RFB) 75–80 12,000–14,000 5–20 < 55 400–1200 150–1200 Energy arbitrage, UPS,
power quality, peak
shaving, RES integration,
ancillary services

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 10.3 ENERGY STORAGE TECHNOLOGIES 533

Lead‐acid BESSs are mostly used in both mobile and stationary applications.
In mobile applications they can act as power sources for pure or hybrid electric
vehicles. As stationary devices, they can be used as backup power supplies for data
and telecommunication systems and to provide energy management solutions.
Nevertheless, stationary lead‐acid batteries have to meet higher quality standards
than mobile batteries [138].
There are two major types of Pb‐acid batteries commonly available on the
market: the most common vented (flooded) lead‐acid (VLA) batteries and the
sealed (SLA) lead‐acid batteries. These latter BESSs are also called valve‐regulated
lead‐acid (VRLA) batteries or simply maintenance‐free batteries, since they elimi-
nate the need for replacing the water inside them (an activity that must be carried
out frequently with vented batteries). The valve‐regulated battery is fitted with a
pressure‐release valve that maintains a specific oxygen pressure inside the cells
with the purpose of recombining the oxygen generated during charging to re‐form
water. These batteries are usually more compact in size than vented batteries and
are typically employed in areas where ventilation is inadequate to accommodate
vented batteries. Nevertheless, they are more susceptible to failure due to high tem-
peratures than vented lead‐acid BESSs [139].
Among valve‐regulated Pb‐acid batteries there are two distinct designs:
absorbed glass mat (AGM) design and gelled electrolyte design. In the AGM
design, the spaces between the cells are replaced by a glass fiber mat soaked in elec-
trolyte. This mat greatly reduces evaporation and allows the battery to be totally
sealed, which makes them useful in portable devices. Another benefit of the AGM
design is that the electrolyte acts as a mechanically strong separator material. In the
gelled design, a silica gelling agent is used to immobilize the electrolyte. This helps
to increase the operating temperature range of the battery and consequently its
robustness. Research effort is presently focused on the insertion of carbon into the
negative plate of the battery in order to increase the peak power handling capability
of the cells, hence reducing the need for maintenance and improving the deep dis-
charge capacity and cycle life [140–142].
Lead‐acid technology is still governing in cost‐sensitive BESS applications
where low energy density and restricted cycle life is not an issue, and where rough-
ness and misuse tolerance is required. Until now, various lead‐acid BESS projects
for utility system applications have been built, and the installed global capacity of
Pb‐acid battery storage systems is above 100 MW, although some projects are not
active to date [52]. Major old projects were focused on providing energy
management, power quality and ancillary services to the electric grid (peak shav-
ing, frequency and voltage control, spinning reserve, etc.). On the other hand, latest
projects aim at playing new roles, such as supporting the grid integration of solar
and wind power generation and the realization of the smart grid. Table 10.10 lists
some examples of Pb‐acid BESSs built to provide these services.
As a reference for the first group of old projects, it is a lead‐acid battery
project installed in 1987 in Berlin, Germany. This project was the largest of its type
in the world at the time of commission, and was operational until 1995. The BESS
 TABLE 10.10 Selected Pb‐acid battery energy storage system facilities.

Energy rating, Year of

Project name Power rating (duration) Location commission Type

Berliner Kraft‐ und Licht 8.5 MW, the world’s largest 14 MWh (1.7 h) Berlin, Germany 1987 De‐commissioned 1995,
(BEWAG) Facility power rated plant at time flooded battery
of commission
Southern California Edison 10 MW, the world’s largest 40 MWh (4 h) Chino, California, 1988 De‐commissioned 1997,
(SCE) Chino BESS power rated plant at time USA flooded battery
Project of commission
Puerto Rico Electric Power 20 MW 14 MWh (42 min) San Juan, Puerto 1994 De‐commissioned 1999,
Authority (PREPA) Rico, USA flooded battery, flat‐plate
Battery System cell
Shiura Wind Park BESS 4.5 MW 10.5 MWh (2.3 h) Shiura, Aomori 2010 Operational, VRLA battery,
Facility Prefecture, Japan especial for partial state
of charge
Yuza Wind Farm Battery 4.5 MW 10.5 MWh (2.3 h) Yuza, Yamagata 2010 Operational, VRLA battery,
Facility Prefecture, Japan especial for partial state
of charge

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 10.3 ENERGY STORAGE TECHNOLOGIES 535

was used to provide frequency control and spinning reserve services. Another
project is a lead‐acid battery facility installed in 1988 in Chino, California, USA. At
that time, the project became the largest in the world, exceeding the capacity of
Berlin’s facility. The Chino plant was operational until 1997, allowing demonstra-
tion of the benefits and costs of utilizing battery energy storage for energy
management services (including load leveling, transmission line stability, local
VAR control, black start, etc.). An additional old project is the lead‐acid battery
station installed in 1994 in San Juan, Puerto Rico. This system was operational until
1999, and was employed to provide frequency control and spinning reserve ser-
vices. Among the modern operational projects are two battery projects installed in
2010 in Japan. The first project was built in Shiura, Aomori, and a second one, some
months later, in Yuza, Yamagata. Both facilities were built using VRLA batteries
especially developed to be used at a partial state of charge, suited to stabilizing the
output fluctuation from a 15.4 MW wind farm. As a result, both wind farms become
the first in Japan integrating an output fluctuation regulating system.

Advanced Batteries (ABESS)

Advanced battery‐energy storage systems (ABESSs) comprise nickel chemistry,
lithium chemistry, and sodium chemistry batteries. An evaluation of foremost
­features and potential applications of these advanced battery technologies is listed
in Table 10.9.
Nickel chemistry batteries have been in commercial use since around 1915,
that is, over 100 years. In fact, nickel is one of the most abundant elements on Earth.
The most important types are nickel‐cadmium (NiCd) and nickel‐metal hydride
(NiMH) batteries, while less common types include nickel‐iron (NiFe), nickel‐
hydrogen (NiH2) and nickel‐zinc (NiZn) batteries. Compared with traditional
lead‐acid batteries, nickel‐based batteries have slightly greater power and energy
densities, and a higher cycle life [142].
A nickel‐cadmium battery cell shares the structure of Figure 10.9, using nickel
hydroxide (Ni(OH)2) as the positive electrode and metallic cadmium (Cd) as the
negative electrode, and an aqueous alkaline solution of potassium hydroxide (KOH)
as the electrolyte. On the other hand, a nickel‐metal hydride battery is similar to the
NiCd battery except that a hydrogen‐absorbing alloy is used as the negative elec-
trode, instead of cadmium. In both nickel chemistry batteries, the materials combine
to produce a nominal cell voltage of 1.2 V. Therefore, series/parallel arrays are nor-
mally built to fulfill the power and energy requirements of the application [1].
Nickel‐cadmium batteries have higher specific power and specific energy,
and a better cycle lifetime than lead‐acid batteries. However, self‐discharge rates
and cycle efficiencies are worse, and capital costs higher than for Pb‐acid batteries.
On the other hand, nickel‐cadmium batteries have relatively high reliability, safety
(stable at deep discharges and overcharges), and low maintenance requirements.
Furthermore, these are the only batteries with good performance at low tempera-
tures (in the range of −20°C to −40°C). Nevertheless, their major drawbacks include
the use of cadmium and nickel, which are highly toxic heavy metals, and from an
536 Chapter 10 GRID ENERGY STORAGE SYSTEMS

operational point of view, the appearance of the so‐called memory effect through
which the maximum capacity of NiCd batteries can be dramatically reduced if the
battery is recurrently recharged after being only partially discharged. This latter
feature strongly restricts the services these batteries can provide, especially for
smart grid applications.
To date, a few NiCd BESS facilities are commercially available for utility‐
scale applications. One example, having the record for the world’s most powerful
NiCd battery, is the Golden Valley Electric Association (GVEA) BESS project
installed in 2003 in Alaska, USA. The system offers services of spinning reserve,
power supply and compensation to an electrical island system with many
geographical restrictions. The local cold temperature (down to −40°C) was the pri-
mary driving force for selecting this BESS technology. It seems unlikely that NiCd
batteries will be greatly used for future grid‐connected energy storage projects.
Table 10.11 describes this example of NiCd BESS facility [143].
Nickel‐metal hydride batteries were introduced in the 1990s as a non‐toxic
alternative to NiCd batteries. They are in many aspects superior to their nickel‐
brother NiCd battery technologies. Major advantages of NiMH batteries over NiCd
batteries are that they suffer considerably less from the above‐mentioned memory
effect and that they are more environmentally friendly (they can be more easily dis-
posed). Furthermore, they have roughly double the capacity of an equivalent size
NiCd battery, with an energy density significantly better (comparable to a lithium‐
ion battery). Moreover, NiMH battery cells have lower internal resistance, which
makes them a preferred battery type for electronics with high drain of current.
However, the main disadvantage of NiMH batteries is the high rate of self‐discharge
(double that of NiCd, highly time‐dependent). They are also less robust than NiCd
batteries, have a low tolerance against overcharging and are more sensitive to deep
cycling (their performance decreases after a few hundred full cycles). Thus, NiMH
batteries are generally used for portable products, mobile applications (old) in
(hybrid) electric vehicles and potential industrial standby applications, such as UPS
devices [1].
Presently, there are very few grid‐tied NiMH battery facilities operational in
the world. A representative case, being the world’s largest power rated operational
NiMH BESS, is listed in Table 10.12 along with its major features. It is the Minami
Daito NiMH BESS plant installed in 2015 in Okinawa, Japan. This small‐scale
demonstration system offers services of frequency control to the Okinawa Electric
Power Company (OEPC). Like NiCd batteries, it also appears improbable that
NiMH batteries will be greatly used for future grid‐connected energy storage pro-
jects due to the existing great growth opportunity for lithium‐ion batteries.
Lithium chemistry batteries have been commercially available since the
1990s, when Sony Corporation introduced to the market the first lithium‐ion bat-
tery. Indeed, lithium is the lightest of all metals, has the greatest electrochemical
potential, and provides the largest specific power and energy. Today, this chemistry
has become the most promising and fastest growing on the market. Meanwhile,
research continues aimed at developing a safer lithium‐based battery.
 TABLE 10.11 Selected nickel‐cadmium battery‐energy storage system facility.

Energy rating, Round‐trip Year of

Project name Power rating (duration) efficiency Location commission Type
Golden Valley Electric 27 MW, the world’s largest 7 MWh (15 min) 72–78% Golden Valley, 2003 Liquid electrolyte
Association (GVEA) BESS power rated plant Alaska, USA battery

TABLE 10.12 Selected nickel‐metal hydride battery‐energy storage system plant.

Energy rating, Round‐trip Year of

Project name Power rating (duration) efficiency Location commission Type

Minami Daito NiMH 300 kW, the world’s largest 50 kWh (15 min) 75–78% Minami Daito Island, Okinawa 2015 Liquid electrolyte
BESS plant power rated plant Prefecture, Japan battery

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538 Chapter 10 GRID ENERGY STORAGE SYSTEMS

The most important types of lithium chemistry batteries are lithium‐ion (Li‐
ion) and lithium‐polymer (or more correctly lithium‐ion polymer, Li‐Po) batteries.
The six most common Li‐ion batteries are: lithium cobalt oxide (LiCoO2), lithium
manganese oxide (LiMn2O4), lithium nickel manganese cobalt oxide (LiNiMnCoO2
or NMC), lithium iron phosphate (LiFePO4), lithium nickel cobalt aluminum oxide
(LiNiCoAlO2), and lithium titanate (Li4Ti5O12) [144, 145].
Lithium‐ion battery cells share the structure of Figure 10.9 for the case of a
prismatic structure, although the Li‐ion cell can also have a cylindrical structure. In
the figure, a separator consisting of a polymeric membrane forming a microporous
layer must be placed between each electrode (anode and cathode). The main
function of this separator is to keep the two electrodes apart to prevent electrical
short‐circuits while also allowing the transport of the ionic charge carriers that are
needed to close the circuit during the passage of current in the electrochemical cell.
In the figure, the anode is made of graphitic carbon with a layered structure and the
cathode is made of a lithiated metal oxide. The electrolyte is generally a non‐
aqueous organic liquid containing lithium salts, such as LiClO4 or LiPF6, dissolved
in organic carbonates. When the battery is charged, the lithium atoms in the anode
become ions and migrate through the electrolyte toward the cathode, where they
combine with external electrons and are deposited between carbon layers as lithium
atoms. Discharging reverses this process [146].
The main advantages of Li‐ion battery technologies are: a high energy density
(better than that of NiMH batteries), high specific power and energy, short response
time (ms), long cycle lifetime (the most recent commercial batteries exceed 3500 cycles),
a low self‐discharge (much lower than other rechargeable cells), and very high cycle
efficiency. Nevertheless, a major advantage of Li‐ion over NiMH batteries is that they
do not suffer from the memory effect and that they are more environmentally friendly.
In addition, they have a nominal cell voltage in the range of 3.3–3.7 V (according to
the type), meaning that the number of cells in series required to obtain the target
voltage can be reduced with respect to other battery technologies. The capital costs
of Li‐ion batteries are higher than those of NiMH batteries, but the expansion in
worldwide production capacity is continuously bringing down these costs. The
market for batteries of electric and hybrid vehicles is growing slowly but steadily. In
this way, latest lithium‐ion battery costs have collapsed, particularly over the last five
years, and have now fallen to lower than $230 per kWh in the first quarter of 2018.
As a result, Li‐ion batteries have become the most significant storage technology in
the areas of portable and mobile applications, where the response time, small dimen-
sions and/or weight are important. Nonetheless, the main disadvantages of Li‐ion
batteries are that the depth of discharge and a temperature above 45°C can affect the
battery lifetime. Moreover, safety is a serious issue in lithium‐ion battery technology.
Most of the metal oxide electrodes are thermally unstable and can decompose at
elevated temperatures, releasing oxygen, which can lead to a thermal runaway. To
minimize this risk, lithium‐ion batteries are placed in special packaging and are
equipped with internal monitoring and protection circuits to avoid over‐charging and
over‐discharging, but increasing their costs. Lithium‐ion battery technology is still
 10.3 ENERGY STORAGE TECHNOLOGIES 539

developing, and there is a significant potential for further progress. Research is

focused on the development of advanced electrode materials and electrolyte solu-
tions for increasing battery power capability and specific energy [147].
Lithium‐ion polymer batteries have evolved from Li‐ion batteries. Just as
with other Li‐ion cells, LiPo batteries work on the principle of intercalation and
de‐intercalation of lithium ions from a positive electrode material and a negative
electrode material, with the electrolyte providing a conductive medium. To prevent
the electrodes from touching each other directly, a microporous separator is in bet-
ween which allows only the ions and not the electrode particles to migrate from one
side to the other. The primary difference is that instead of using a liquid lithium‐salt
electrolyte held in an organic solvent, the battery uses a solid polymer electrolyte
(SPE). The solid electrolyte can typically be classified as one of three types: dry,
gelled, and porous solid polymer electrolyte. Unlike lithium‐ion cylindrical and
prismatic cells, which have a rigid metal case, LiPo cells have a flexible, foil‐type
(polymer laminate) case, so they are relatively unconstrained. This soft package or
pouch makes them lighter but also less rigid. Thus, they can be easily produced
with almost any desired shape, which is essential for mobile phone and notebook
applications. Li‐polymer can be made in various chemistries, and the most widely
used format is Li‐cobalt. The voltage of a LiPo cell depends on its chemistry and
varies from about 3.3–3.7 V. LiPo cells are affected by the same problems as other
lithium‐ion cells. This means that overcharge, over‐discharge, over‐temperature,
short‐circuit, and physical trauma may all result in a catastrophic failure, including
the pouch rupturing, the electrolyte leaking, and fire [148].
More than 350 MW of grid‐scale lithium‐ion BESS projects are currently in
operation worldwide, and more than 80 small‐scale (of the order of some kW) pro-
jects are being tested for multiple applications [1, 52]. These utility‐scale systems
can be divided into two groups: short duration projects aimed at providing fre-
quency control (regulation) services, and long duration projects aimed at support-
ing the integration of intermittent renewable generation. Table 10.13 lists some of
these operational facilities, along with their major features. As a reference for the
first group of Li‐ion batteries, the 52 MW lithium‐ion BESS facility, comprising two
stages (28 MW at West‐Ansung (Seo‐Anseong) substation and 24 MW at Shin‐Yoinin
Substation), was built at Yongin, Gyeonggi Province, South Korea, in 2015. The
Seo‐Anseong substation BESS facility provides automatic generation control (AGC)
services. Both facilities perform frequency control regulation services under normal
conditions to maintain the system frequency at 60 Hz. This demonstration system offers
services of frequency control (regulation) to the Korea Electric Power Corporation
(KEPCO). For the second group of Li‐ion batteries, the largest operational lithium‐
ion BESS is the Notrees Battery Storage Project installed in 2013 in Goldsmith,
Texas, USA. This demonstration technology is used to assist a 153 MW wind power
system, addressing intermittency issues in addition to providing regulation services
in the ERCOT market. Another project is the AES Energy Storage Laurel Mountain
BESS facility installed in 2011 in Elkins, West Virginia, USA. The system is used
for supporting a 98 MW wind farm, providing operating reserve capacity to the
 TABLE 10.13 Selected Li‐ion battery‐energy storage system facilities.

Year of
Project name Power rating Energy rating, (duration) Location commission Type

Seo‐Anseong and Shin‐Yongin 52 MW (Stage 1: 28 MW, Stage 1: 7 MWh Yongin, Gyeonggi 2015 Lithium titanate
Substations, LiPo BESS Stage 2: 24 MW) (15 min), Stage 2: Province, South Li‐ion cell
KEPCO Pilot Project 12 MWh (30 min) Korea
Notrees Battery Storage Project 36 MW 24 MWh (40 min) Goldsmith, Texas, 2013 Li‐ion cell
USA
AES Energy Storage Laurel 32 MW 8 MWh (15 min) Elkins, West 2011 Lithium iron phosphate,
Mountain BESS facility Virginia, USA lithium nickel
manganese cobalt
Li‐ion cell
AES Energy Storage Angamos 20 MW 5 MWh (15 min) Mejillones, 2012 Lithium iron phosphate,
BESS facility Antofagasta, lithium nickel
Chile manganese cobalt
Li‐ion cell
Indianapolis Power & Light 20 MW 20 MWh (60 min) Indianapolis, 2016 Lithium iron phosphate
(IPL) Advancion Energy Indiana, USA Li‐ion cells
Storage System
Del Lago Academy BESS 100 kW 209 kWh (2 h) San Diego, 2013 Sodium‐based
California, USA Li‐Po cell
TransGrid iDemand facility 100 kW 400 kWh (4 h) Horsley Park, New 2014 Lithium nickel
South Wales, manganese cobalt
Australia Li‐Po cell
DREWAG Reick pilot and 2 MW 2 MWh (1 h) Reick, Dresden, 2015 Lithium nickel
demonstration plant Germany manganese cobalt
Li‐Po cell

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 10.3 ENERGY STORAGE TECHNOLOGIES 541

PJM (Pennsylvania‐New Jersey‐Maryland) Interconnection (one of the largest

competitive wholesale electricity markets in the world). An additional project is the
AES Angamos Li‐Ion BESS storage system installed in 2012 in Mejillones,
Antofagasta, Chile. This facility provides critical contingency services to maintain
the stability of the electric grid in northern Chile, an important mining area. Another
high‐energy project is the Indianapolis Power & Light Advancion Energy Storage
System installed in 2016 in Indianapolis, Indiana, USA. The system is used to
improve reliability and lower costs for its customers, providing ancillary services
focused on primary frequency control.
In the case of lithium‐polymer technologies, a utility‐scale demonstration
project is the Del Lago Academy BESS installed in 2013 in San Diego, California,
USA, offering grid services for supporting the integration of a 173 kW PV system,
which directly powers the local community in Escondido. Another Li‐Po BESS
project is the TransGrid iDemand facility installed in 2014 in Horsley Park, New
South Wales, Australia, offering demand management for supporting the integration
of a 98 kW PV system. Furthermore, the largest Li‐Po project currently in operation
today is the DREWAG (German clean energy and natural gas utility) Reick pilot
and demonstration plant installed in 2015 at its thermal station in Reick, Dresden,
Germany. The project is used to ensure performance and stability of the power
system integrating renewable energies.
Sodium chemistry battery systems have been in commercial use since the
mid‐1990s. The most important types are sodium‐sulfur (NaS) and sodium‐nickel
chloride (NaNiCl) batteries.
NaS battery technology was originally developed in the USA in the 1960s by
the automotive corporation Ford Motor Company, and subsequently sold to the
Japanese company NGK Spark Plug Ltd. NGK started the development of Beta
Alumina electrolyte, utilizing the expertise of fine ceramic technologies in the
1984s, and extended it to the development of the sodium‐sulfur battery in 1989,
jointly with the Tokyo Electric Power Company (TEPCO) and with later effective
commercialization in 2002 [1].
NaS batteries are a type of molten‐salt battery built from liquid sulfur (molten S)
at the positive electrode and liquid sodium (molten Na) at the negative electrode,
separated by a solid beta‐alumina (beta‐Al2O3) ceramic tube, which acts as both the
electrolyte and separator at the same time. The NaS battery cell is typically made in
a cylindrical configuration, as depicted in the schematic diagram of a sodium‐sulfur
battery‐energy storage system in Figure 10.10. Thus, the tubular configuration of the
sodium‐sulfur battery allows the volumetric change of the electrodes during cycling
and minimizes the sealing area. The battery operates at temperatures ranging from
300°C to 350°C in order to keep the electrodes (sodium and sulfur), as well as the
reaction product polysulfide, in a liquid (molten) state. Nevertheless, at present
novel NaS BESSs with lower temperatures (down to 100°C) are being developed.
This characteristic supports the high reactivity of the electrodes [149, 150].
The NaS battery electrolyte allows only positive sodium ions to go through it
and combines with sulfur to form sodium polysulfides. During discharge, positive
542 Chapter 10 GRID ENERGY STORAGE SYSTEMS

Cell
terminals
Molten
sodium Current
electrode collector

Na S Protection
Sulfur layer
electrode
Na+
Solid electrolyte
(Beta alumina tube)
Cell
container Thermal
enclosure

Sodium-
Negative sulphur
terminal cell

Positive
terminal
Figure 10.10 Schematic diagram of a sodium‐sulfur (NaS) battery‐energy storage system.

sodium ions flow through the electrolyte and electrons flow in the external circuit
of the battery, producing around 2.1 V. This process is reversible as charging causes
sodium polysulfides to release the positive sodium ions back through the electrolyte
to recombine as elemental sodium. Major benefits of NaS batteries are: high power
and energy densities, high round‐trip efficiency, long cycle life, fast response (ms),
very low daily self‐discharge rate, and high pulse power capability. In addition, they
have acceptable temperature stability and safety levels. Since NaS batteries are fab-
ricated from inexpensive and non‐toxic materials, they have reached competitive
capital costs when compared with other BESS technologies, especially when the
NaS cell increases in size. In addition, the high operating temperatures and highly
corrosive nature of the sodium polysulfides primarily make them suitable for
stationary energy storage applications. These attributes have enabled NaS batteries
to be economically appropriate as grid energy storage for non‐mobile large‐scale
applications with daily cycling, such as peak shaving, load leveling, emergency
 10.3 ENERGY STORAGE TECHNOLOGIES 543

power supply, power quality, and support to the integration of renewable energy
generation. Nonetheless, the main drawback of NaS battery systems is the require-
ment of a heat source to maintain operating temperatures, which uses the battery’s
own stored energy, partially reducing the battery performance [151, 152].
Thus far, there are various NaS BESS facilities in operation in the world,
especially in Japan, USA, Italy, Germany and France, with an installed capacity
greater than 180 MW. Table 10.14 lists some major projects along with their fea-
tures [52]. Among the most significant demonstration projects is the Rokkasho
Wind Farm NaS BESS facility in Rokkasho Village, Aomori, Japan, which was the
largest grid‐tied NaS system in the world, when installed in 2008. This facility was
also the first of its class to use NaS batteries to control the transmission of power
from the wind farm to the national power grid. The sodium‐sulfur BESS is charged
at night, when the load demand is lower, while the stored electricity can be supplied
to the grid together with the electricity generated by the wind farm during daylight
hours, when demand is higher. Another representative project is the Buzen Solar
Generation NaS BESS Facility built in Buzen, Fukuoka, Japan in 2016 by Mitsubishi
Electric Corp. for the Japanese power vendor Kyushu Electric Power Company Inc.
The project is the world’s largest power rated NaS plant, and is part of a pilot
project focused on balancing supply and demand via high‐capacity NaS battery‐
energy storage systems in order to handle the extra capacity generated by solar
power. Furthermore, the first large‐scale NaS BESS installation in the European
grid system is the TERNA SANC facility in operation since 2014 in Flumeri
(Project 1) and Miscano (Project 2), Campania, Italy. The project comprises two
NaS BESS facilities, which are used to balance the demand and supply of electricity
and stabilize the transmission grid for optimum performance under the massive
increase in intermittent renewable energy. Moreover, the largest NaS BESS project
installation in the USA is the so‐called Big‐Old Battery (BOB) system installed in
2010 for addressing voltage fluctuations and providing back‐up power to the town
of Presidio, Texas, in case of power outages mainly associated with severe weather
(thunderstorms). Many other similar MW projects have been installed subsequently
in other states.
Sodium‐nickel chloride batteries, also known as ZEBRA (Zero Emission
Battery Research Activities) batteries, have been commercially available since
around 1995. The technology of NaNiCl batteries is similar to NaS batteries, since
both are high‐temperature batteries, but ZEBRA BESSs use nickel chloride instead
of sulfur for the positive electrode, thus allowing reduction of the operating temper-
ature of cells to around 270°C and an increase in the pulse power capability of the
battery. Therefore, NaNiCl batteries can withstand limited overcharge and over‐
discharge, and have potentially better safety characteristics with higher cell ­voltages
(about 2.58 V) than NaS batteries. Hence, major advantages of ZEBRA batteries are
good pulse power capability, maintenance‐free cells, a very small self‐discharge,
and relatively high cycle life. This battery technology has been applied in electric
vehicle demonstrations and to replace lead‐acid in surface ship applications. The
disadvantages of ZEBRA BESSs with respect to NaS batteries are their lower
 TABLE 10.14 Selected NaS battery energy storage system projects.

Year of
Project name Power rating Energy rating, (duration) Location commission Type

Rokkasho Wind Farm 34 MW 245 MWh (7 h) Rokkasho Village, Aomori 2008 NGK NaS battery cell
NaS BESS Facility Prefecture, Japan
Buzen Solar 50 MW, the world’s largest 300 MWh (6 h) Buzen City, Fukuoka 2016 NGK advanced NaS
Generation NaS power rated plant Prefecture, Japan battery cell
BESS Facility
TERNA SANC NaS 24 MW (Project 1: 12 MW, Project 1: 96 MWh (8 h), Campania, Italy 2014 NGK advanced NaS
BESS Facility Project 2: 12 MW) Project 2: 96 MWh (8 h) battery cell
Big‐Old Battery 4 MW 32 MWh Presidio, Texas, USA 2010 NGK NaS battery cell
(BOB) NaS Facility (8 h)

TABLE 10.15 Selected NaNiCl (ZEBRA) battery‐energy storage system plants.

Year of
Project name Power rating Energy rating, (duration) Location commission Type

Annobon Island Microgrid 5 MW 10 MWh (2 h) Annobon Province, Equatorial 2014 NaNiCl battery cell
NaNiCl BESS Facility Guinea
TERNA NaNiCl BESS 2.2 MW (Lab. 1: 1.2 MW, Lab. 1: 3 MWh (2.5 h), Codrongianos, Sardinia, Italy 2014 NaNiCl battery cell
Project Lab. 2: 1.0 MW) Lab. 2: 2 MWh (2 h)

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 10.3 ENERGY STORAGE TECHNOLOGIES 545

power and energy densities, and the fact that only a few companies in the world are
involved in the development of this technology, which may limit its application [1].
To date, there are more than 30 MW of grid‐scale NaNiCl BESS facilities
presently operational in the world. Some selected projects are listed in Table 10.15
along with their major features. The largest grid‐tied NaNiCl system in the world is
the Annobon Island Microgrid installed in 2014 in Annobon Island, Equatorial
Guinea. This is Africa’s largest self‐sufficient microgrid project, powered using
three solar PV distributed generators (totalizing 5 MW) and three diesel generators
on Annobon Province, an island of Equatorial Guinea in west central Africa. The
project uses a NaNiCl BESS system to provide energy services to the microgrid.
Another project is the TERNA Storage project in operation since 2014 in
Codrongianos, Sardinia, Italy. The facility comprises a pair of NaNiCl BESSs,
which are used as storage test beds to host activities to develop smart grid
applications.

Flow Batteries (FBESS)

Flow battery‐energy storage systems (FBESSs), also called redox flow batteries
(RFBs) due to the reduction‐oxidation reactions of the electrolyte solutions, are a
promising technology that offers the best combination of efficiency, cost and flexi-
bility among all electrochemical devices. RFBs convert the chemical energy in the
electro‐active materials directly to electrical energy, similar to a conventional bat-
tery and fuel cells. The electro‐active materials in a flow battery, however, are
stored mostly externally in an electrolyte and are introduced into the device only
during operation. Therefore, these batteries have unique characteristics which make
them especially attractive when compared with conventional batteries, such as their
ability to decouple rated power from rated capacity, as well as their greater design
flexibility and long cycle life. The rated power of the RFBs depends on the reactor
size (number of cells in the stack and size of the electrodes) while the storage
capacity depends on the volume of the electrolyte tanks (concentration and amount
of electrolyte) [153].
Flow batteries are essentially made up of two electrolytic solutions stored in
different reservoirs (tanks) and a reactor with a stack of battery cells, as shown in
Figure 10.11. The operation is based on making the electrolytes flow through each
active cell within the reaction chamber. These reactor cells are close to each other
but separated by a special membrane that only allows certain ions to be exchanged
between the two electrolytes. During the charging state, a DC voltage is applied
across the cell electrodes so that the ion exchange will increase the potential energy
of the electrolytes (electrolyte chemical energy). In this way, one electrolyte is
oxidized at the anode and another electrolyte is reduced at the cathode. The above
process is reversed during the discharging state, developing a voltage across the
cells that allows the stored energy to be released to the load [154].
Undoubtedly, the most noteworthy attribute of redox flow batteries is
the independence between their power and energy ratings, which brings a
­flexible layout. Nonetheless, they have other distinguishing features, such as high
546 Chapter 10 GRID ENERGY STORAGE SYSTEMS

Ion-selective
membrane

Carbon Carbon
electrode electrode
(Positive) (Negative)

Current
collector

Exchange
Ion
Positive Negative
electrolyte electrolyte
Positive Negative
terminal terminal

Electrolyte Electrolyte
tank tank

Pump Active Cells Pump

Figure 10.11 Structure of a flow battery‐energy storage system (FBESS). (See electronic
version for color representation of this figure.)

round‐trip efficiency, long cycle lifetime, high robustness, short response time (ms),
low self‐discharge (as there is no reaction outside of the reaction chamber), toler-
ance to overcharge/over‐discharge, no need for equalization during charging, low
maintenance, and no harmful emissions. These technical merits make redox flow
batteries a well‐suited option for large‐scale energy storage, especially long‐duration
applications, since they scale‐up in a more cost‐effective manner than other bat-
teries. Indeed, flow batteries can release energy continuously at a high rate of dis-
charge for up to 10 h. On the other hand, major disadvantages of redox flow batteries
include low energy density and more complex system requirements (pumps, sen-
sors, flow and power management, secondary containment vessels, etc.) compared
with other batteries.
Different types of flow battery technologies are commercially available in the
market, such as vanadium redox (VRFB), polysulfide bromide (PSB) and zinc
bromide (ZnBr). Nevertheless, vanadium redox flow batteries are the most utilized
in electric power system applications. The nominal cell voltage of redox flow bat-
teries is in the range of 1.4–1.7 V (VRFB, 1.4 V; PSB, 1.5 V; and ZnBr, 1.7 V). Thus,
multiple individual cells must be arranged in series and/or parallel to achieve the
required stack voltage and power ratings [155].
Redox flow batteries represent a developed technology that requires further
research to reach technical maturity. They are presently considered the most prom-
ising scalable technology for stationary applications, such as the storage of the
 10.3 ENERGY STORAGE TECHNOLOGIES 547

energy generated by renewable energy sources. It is estimated that over 100 MW of

RFB units are currently in operation globally. These operational projects range
from some kW to some MW. The larger projects are focused on integrating renew-
ables, while many of the smaller pilot projects are used for peak shaving and other
ancillary services. Table 10.16 lists some selected operational RFB facilities along
with their major features [1, 52]. As a reference, the world’s largest redox flow
BESS in operation is the Minami Hayakita Substation RFB system installed in
2015 in Abira‐Chou, Hokkaido, Japan. This validation project is utilized to test the
performance of a vanadium RFB energy storage system as a driver to increase the
integration of fluctuating renewable energies, like wind and solar generation.
Another redox flow battery project is the Zhangbei National Wind and Solar Energy
Storage and Transmission demonstration project installed in 2011 in Zhangbei,
Hebei, China. This vanadium RFB application supports the grid integration of
wind, solar and other renewables, and provides frequency and voltage control ser-
vices. The system aims at using a BESS to enable interactive management of the
electric power grid. A reference ZnBr RFB facility is the National Grid Distributed
Energy Storage System demonstration project installed in 2016 in Worcester,
Massachusetts, USA. Under this project, two demonstration flow batteries have
been connected to the national grid at different locations in Massachusetts. One
FBESS has been grid‐connected next to a 605 kW photovoltaic (PV) array in
Everett, and the other storage system has been grid‐connected next to a 600 kW
wind turbine at the Holy Name High School feeder in Worcester. The National Grid
deploys, operates, and monitors the aggregated 1 MW FBESS in their respective
locations. The project has been utilized to demonstrate competitively priced, grid‐
scale, and long‐duration performance of advanced flow batteries for utility grid
applications.

10.3.4 Chemical Energy Storage

Chemical energy is the type of energy that is stored in molecular compounds.
Specifically, it is stored in the bonds between different types of molecules. When
something causes these bonds to break, the molecules become rearranged, and the
energy is released. The substance from which the energy came is converted into a
completely different substance, and frequently into any other form of energy.
Chemical energy storage mainly focuses on secondary energy carriers, such as
hydrogen and synthetic gas (a mixture of hydrogen and carbon monoxide).
Hydrogen‐based chemical energy storage systems use two separate processes for
storing/releasing energy. In order to generate electricity, both gases (hydrogen and
oxygen) are fed into a fuel cell (FC), where an electrochemical reaction takes place
(an oxidation half‐reaction occurring at the anode and a reduction half‐reaction
occurring at the cathode). The anode and the cathode of the fuel cell are separated
from each other by a semipermeable membrane. This membrane is used as an elec-
trolyte, which prevents oxygen diffusion from the cathode chamber to the anode
chamber, while allowing protons to move from the anode chamber to the cathode
 TABLE 10.16 Selected redox flow battery (RFB) energy storage system facilities.

Year of
Project name Power rating Energy rating, (duration) Location commission Type

Minami Hayakita Substation 15 MW 60 MWh (4 h) Abira‐Chou, Hokkaido 2015 Vanadium RFB cell
RFB Facility Prefecture, Japan
Zhangbei National Wind and 2 MW 8 MWh (4 h) Zhangbei, Hebei 2011 Vanadium RFB cell
Solar Energy Storage and Province, China
Transmission Project
Distributed ESS – National 1 MW (Device 1: Device 1: 3 MWh (6 h), Everett and Worcester, 2016 Zinc bromide RFB cell
Grid Demonstration Project 500 kW, Device 2: Device 2: 3 MWh (6 h) Massachusetts, USA
500 kW)

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 10.3 ENERGY STORAGE TECHNOLOGIES 549

chamber. Hydrogen and oxygen react and generate electricity with almost no
­emissions, while producing water and releasing heat. The use of an electrolyzer is
a common way to produce hydrogen from water, which can be stored in high‐pressure
tanks for later use. This can be done practically for an unlimited time [156, 157].
Fuel cells are the main method of hydrogen utilization. In this sense, regener-
ative fuel cells are devices that combine the function of the fuel cell and the electro-
lyzer into one single device. Combining the two functions into one device reduces
the system size, but current regenerative FC designs are less efficient in hydrogen
production than other methods such as combined electrolysis‐fuel cells. Fuel cells
are electrochemical energy conversion devices with the capability of generating as
much energy as fuel (hydrogen) and oxidant (oxygen) are provided to the electrodes.
Figure 10.12 shows the basic structure of a typical hydrogen energy storage system
with fuel cell technology and electrolyzer. Electrical and heat energy are released
during the process. Such hydrogen‐based ESSs can offer capacity and power
independence in energy production, storage and usage, due to the separate processes.
There are six major types of fuel cells: alkaline fuel cells (AFCs), phosphoric
acid fuel cells (PAFCs), solid oxide fuel cells (SOFCs), molten carbonate fuel cells
(MCFCs), proton exchange membrane (PEM) fuel cells (PEMFCs), and direct
methanol fuel cells (DMFCs). Nevertheless, PEM fuel cells are the most widely
used in electric power applications because of their key characteristics, such as high
power density, long life, lower corrosion, and lower operating temperatures, in
addition to the use of a solid electrolyte [158].
Fuel cell systems are characterized by low emissions of nitrogen oxide and
sulfur oxide (producing less pollution), low maintenance, long lifetime, high avail-
ability and good reliability. They are also quieter and more efficient than fossil fuel
combustion approaches. Other factors affecting their future economic viability
include compact design, modularity, easy scaling (from kW to hundreds of MW),
siting flexibility, and high energy density. Although the overall round‐trip energy
efficiency of this hydrogen‐based ESS is low (roughly 70% for the electrolyzer and
50% for the fuel cell, yielding up to 45% in some cases) compared with chemical
energy storage, this is the only concept that allows storage of large amounts of
energy (up to the TWh range) for longer periods of time. Furthermore, this efficiency
can be increased to 85% when the fuel cells are used in a cogeneration system.
Hence, hydrogen‐fuel cell ESSs can be used as a decentralized energy resource
(particularly for commercial and residential applications), as a mid‐power cogene-
ration resource (around 100 kW), and even as a centralized energy resource (hun-
dreds of MW). They can also provide an effective solution for isolated areas where
the installation of power lines is too difficult or expensive [159].
The major drawbacks of hydrogen‐FC‐electrolyzer ESSs are the high capital
cost per kW and the poor dynamic behavior of the overall system, which includes a
limited output voltage regulation. They have a slow response caused by their capac-
itance effect, flow delays, mechanical characteristics of pumps, and thermody-
namic characteristics. They are also sensitive to various disturbances in the system,
such as current/voltage ripple and repetitive abrupt load changes, which restricts
550 Chapter 10 GRID ENERGY STORAGE SYSTEMS

Hydrogen outlet Hydrogen intake Utility grid Oxygen

outlet
Compressor

Motor

H2 O2
Water
Hydrogen intake
outlet

Water Pump
Compressed hydrogen gas
(CHG) storage tank electrolyzer

Air
Hydrogen Positive Negative intake
intake terminal terminal

Positive
Fuel in (H2) ion Oxidant in (O2)
Heat
Product out (H) Negative Product out (H2O)
ion

Anode Cathode Fuel

Excess cell unit
hydrogen Electrolyte Water
outlet outlet
Figure 10.12 Basic structure of a typical hydrogen ESS with fuel cell–electrolyzer
technology. (See electronic version for color representation of this figure.)

their performance. Nonetheless, their main disadvantage is the fact that they are
still under development. Although these technologies have been used for around
three decades to generate electricity, much research work remains to be done. They
are in the demonstration stage, but are technically promising and are presently
being investigated by numerous institutions around the world.
Table 10.17 summarizes the main characteristics and potential applications
of chemical energy storage technologies, particularly hydrogen ESS with FC‐
electrolyzer. The table lists power and energy ratings, storage duration (or discharge
time), specific power and energy, self-discharge, response time, cycle (round-trip)
efficiency, cycle life, service lifetime, operating temperature, and power and
energy costs.
 TABLE 10.17 Analysis of chemical energy storage technologies, particularly hydrogen energy storage with FC‐electrolyzer.

Power Specific Specific

rating, Capacity, Storage duration power, energy, Self‐discharge,
Storage technology MW MWh (discharge time) W/kg Wh/kg %/day Response time

Hydrogen 0.1–50 0.001–150 10 s–24 h 10–500 350–2000 0.001–0.012 <15 min

storage with FC‐electrolyzer

Cycle life Service Operating Power Energy

Round‐trip (durability), lifetime, temperature, cost, cost,
Storage technology (cont.) efficiency, % cycles years °C $/kW $/kWh Applications

Hydrogen storage with 33–45 (with no 2000–20,000 5–30 250–650 600–2200 30–85 Energy arbitrage, peak shaving, UPS,
FC‐electrolyzer co‐generation) RES integration, ancillary services

TABLE 10.18 Selected hydrogen‐fuel cell energy storage facility.

Power Energy rating, Year of

Project name rating (duration) Location commission Type

Utsira Combined Wind 10 kW 240 kWh (24 h) Utsira Island, 2004 De‐commissioned 2008, 48 kW alkaline
Power & Hydrogen Plant Rogaland, Norway electrolyzer, methane reforming, 12 m3,
200 bar hydrogen storage vessel

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552 Chapter 10 GRID ENERGY STORAGE SYSTEMS

To date, very few grid‐tied small‐scale demonstration hydrogen‐FC‐electrolyzer

ESS facilities have been installed in the world [1, 52]. Table 10.18 lists an example
of an operational hydrogen‐fuel cell energy storage facility along with its major
features. The world’s first utility‐scale test bed of a stand‐alone renewable energy
system integrated with hydrogen storage and fuel cells was installed in 2004 in
Utsira Island, Rogaland, Norway. This demonstration full‐scale wind–hydrogen
energy system was operational until 2008, and has been used to demonstrate how
renewable energies can provide a continuous, safe, and efficient energy supply to
remote areas using hydrogen produced through a wind‐powered electrolysis system
(600 kW wind turbine) and supplying the demand load using a PEM fuel cell.

10.3.5 Thermal Energy Storage

Thermal energy storage (TES) is one of the most practiced forms of energy storage.
It includes a variety of technologies that store available heat by using different
means in an insulated repository. TES can be categorized into three technologies: a
sensible heat storage method through a temperature change of a material (sodium,
molten salt, pressurized water, concrete, etc.); latent heat storage through a phase
change of a material (liquid–solid transition at constant temperature); and thermo-
chemical heat storage by thermally inducing changes in a material chemical struc-
ture (using an adsorbent/working fluid pair). Nevertheless, in the case of electrical
energy storage, sensible/latent heat storage systems are the most relevant. The
choice of the TES technique depends on multiple issues such as the storage temper-
ature range, the specific application and the storage media [160].
Thermal energy storage systems are further categorized into two groups: low‐
temperature TES (consisting of aquiferous low‐temperature TES and cryogenic
energy storage) and high‐temperature TES (including latent heat TES and sensible
heat TES), depending on whether the operating temperature of the energy storage
material is higher than room temperature. High‐temperature TES systems are the
most important for electrical energy storage [1].
Sensible heat thermal storage is one of the best‐known and most extensive
technologies. Thermal energy is stored only through a change of temperature of the
storage medium, so the medium does not undergo any form of phase change. The
storage medium can be a liquid such as water or thermal oil, or a solid such as
concrete or the ground. The capacity of a storage system is defined by the specific
heat capacity and the mass of the medium used.
Latent heat storage is accomplished by using phase change materials (PCMs),
including organic (paraffin) and inorganic (salt hydrates), as storage media. Latent
heat is the energy exchanged during a phase change. It is also called “hidden heat”,
because there is no change of temperature during the energy transfer. Currently,
most PCMs use the solid–liquid phase change, such as molten salts, as a thermal
storage medium. Latent heat storage can be smaller, more efficient and provide a
lower‐cost alternative to sensible thermal storage systems.
Figure 10.13 shows an example of a concentrated solar power (CSP) plant
with a power tower using sun‐tracking mirrors (heliostats) to focus sunlight on a
 10.3 ENERGY STORAGE TECHNOLOGIES 553

Solar
receiver
Sunlight

Reflected
sunlight

Generator
a bc
Field of
heliostats HP LP
Tower

Molten salt storage Steam Exhaust

Molten tank (high temp.) Molten Steam
salt salt turbine steam

Cooling
water

Steam Condenser
Pump Pump generator
(or boiler)
550 °C Pump Water

285 °C

Molten salt storage

tank (low temp.)

Figure 10.13 Topology of a concentrated solar power (CSP) plant integrated with thermal
energy storage. (See electronic version for color representation of this figure.)

receiver at the top of the tower. The system utilizes two tanks for thermal energy
storage. In this case, energy can be stored in the form of either sensible heat or
latent heat, with high‐temperature solar thermal input. The TES system can store
large quantities of energy without any major hazards, the heat cycle efficiency is
high, and its daily self‐discharge is small. Additionally, the reservoir offers good
energy density and specific energy. Nevertheless, the overall round‐trip cycle
efficiency of TES systems is low. Moreover, while TESs are technically developed
and commercially available, their actual applications, especially for large‐scale
utility, are still not widespread. TES is utilized in order to overcome the mismatch
between energy generation and energy use. In this way, they have been used in
applications such as load shifting and electricity generation for heat engine cycles.
Table 10.19 summarizes the main characteristics and potential applications of
thermal energy storage technologies, particularly sensible or latent heat.
 TABLE 10.19 Analysis of thermal energy storage technologies (high‐temperature).

Power Specific Specific Self‐

rating, Capacity, power, energy, discharge,
Storage technology MW MWh Storage duration (discharge time) W/kg Wh/kg %/day Response time

Thermal energy storage 0.1–300 0.1–350,000 30 min–2 months 10–30 80–250 0.05–1.0 40 min–8 h
(sensible or latent heat)

Service Operating Power Energy

Round‐trip Cycle life (durability), lifetime, temperature, cost, cost,
Storage technology (cont.) efficiency, % cycles years °C $/kW $/kWh Applications

Thermal energy storage 30–45 3000–20,000 10–40 175–650 200–400 6–120 Energy arbitrage, peak
(sensible or latent heat) shaving

554

0004339658.INDD 554 06/19/2019 4:52:29 PM

 10.4 ASSESSMENT OF ENERGY STORAGE TECHNOLOGIES 555

TABLE 10.20 Selected operational concentrated solar power (CSP) plants integrated
with thermal energy storage.

Power Energy rating, Year of

Project name rating (duration) Location commission Type

Khi Solar One 50 MW 100 MWh (2 h) Upington, 2016 Heat TES

CSP Plant Northern Cape, (saturated
South Africa steam), CSP
with heliostat
solar field
Solana Solar 280 MW 1700 MWh (6 h) Gila Bend, 2013 Molten salt TES,
Generating Arizona, USA CSP parabolic
Plant troughs

Presently, there are various molten salt thermal storage facilities in operation
in the world, reaching an installed capacity higher than 3 GW. Moreover, there are
several molten salt TES plants being planned today [1, 52]. Table 10.20 lists some
selected operational concentrated solar power plants integrated with thermal energy
storage, along with their major features. The largest operational CSP TES plant
with a power tower in the world is the Khi Solar One CSP Plant installed in 2016 in
Upington, Northern Cape, South Africa. The power tower system uses large sun‐
tracking heliostats to focus sunlight on the receiver at the top of a tower. Water is
pumped up to the tower‐mounted receiver and is converted to steam, which, in turn,
is used in a conventional turbine generator to produce electricity. The power station
includes a facility to store steam (heat thermal storage), enabling it to generate
electricity for several hours when the sun is not shining. In the same way, the largest
parabolic trough CSP TES project in the world is the Solana Solar Generating Plant
installed in 2013 in Gila Bend, Arizona, USA. The plant is used to dispatch energy
as needed, during cloudy periods and before sunrise or after sunset, in order to help
meet consumption demand. The TES facility provides clean and sustainable power
for approximately 70,000 homes near Phoenix in Arizona. This CSP technology
uses mirrors to concentrate solar energy onto receiver tubes in order to drive a con-
ventional steam turbine. Molten‐salt thermal energy storage provides several hours
of dispatchable energy.

10.4 ASSESSMENT OF ENERGY STORAGE

TECHNOLOGIES

The selection of an energy storage technology for a particular application is a multi‐

criteria process that must consider a set of factors customized for the application
under consideration. For an application to be performed effectively, it is crucial that
the appropriate storage technology is determined. As discussed above, multiple
energy storage technologies currently available on the market have great potential
556 Chapter 10 GRID ENERGY STORAGE SYSTEMS

to support various smart grid applications. Each energy storage technology is

capable of providing a set of major grid services to benefit various stakeholder
groups, such as system operators, utilities, and customers. The value of all these
services changes significantly depending on where the ESS is placed on the electric
power grid and the stakeholders involved. In this way, a discussion‐based assessment
must be realized between the feasible energy storage systems, leading to the selec-
tion of the appropriate technology [80, 161]. The process utilizes both qualitative
and quantitative attributes of the ESSs to measure the strengths and weaknesses of
each storage technology. This can be done by assigning each factor an index pro-
portional to its impact on the smart power grid. This index‐based approach is widely
used in social, economic and environmental sciences, since it is simple to use and
brings together all the system features, both qualitative and quantitative, on a single
basis to compare them on the same scale [64].
It is easy to compare quantitative factors of ESSs, such as energy/power
density, efficiency, lifetime, response time, and capital costs, by assigning each
factor an index. This index may be rated in a category from 1 to 10 proportional to
its impact on the system (10 for the greatest effect and 1 for the lowest). However,
it is more complex to analyze qualitative attributes, like environmental impact,
maturity level and risk factors, so they need to be carefully quantified in order to
evaluate all factors on the same basis. Subsequently, the selection process continues
by weighting each criterion according to the requirements of the considered appli-
cation of the ESS, and the individual grade points obtained are then added together
to calculate the final grade. The results allow a ranking list of energy storage tech-
nologies to be drawn up based on effectiveness factors, and the top technology can
then be selected for the application under study.
Energy storage technologies are a key element of the smart grid, addressing
the new requirements of the grid by providing essential services, as described in
Table 10.1. These services are different from each other due mostly to the power
rating and time horizon (discharge duration) for which they are provided. Thus, a
wide variety of energy storage applications can be appropriately categorized
through the time that the nominal energy capacity can cover the load at rated power.
Figure 10.14 summarizes the major energy storage applications in smart grids char-
acterized by their size requirements (in kW to GW on the x‐axis) and operational
timescale (in seconds to months on the y‐axis). The graph also shows the ESS siting
requirements for each application, considering their connection at the transmission
level, at the distribution level, and at the end‐user/customer side (behind‐the‐meter).
At the transmission system level, energy storage can provide grid services to both
transmission system operators (TSOs) and transmission utilities, while at the distri-
bution system level it can benefit more stakeholder groups, such as transmission
and distribution system operators (TSOs/DSOs), and transmission and distribution
utilities. Nevertheless, it is essential to remark that the value created for each of
these stakeholder groups may differ greatly [1, 69].
As can also be noted from the chart, energy storage applications can be
divided into two main types: power applications and energy applications. In general
 10.4 ASSESSMENT OF ENERGY STORAGE TECHNOLOGIES 557

ESS siting

Behind-the-meter Distribution Transmission

Months Integration of intermittent renewable energy

sources and grid resilience strengthening
Discharge time at rated power

Days Load levelling, resource

adequacy and T&D grid support

Energy
Peak
Black start arbitrage
Hours shaving

Power quality
improvem.,
Short-term
Minutes backup
power apps.
Long-term
and other Operating reserve, apps.
end-user frequency control and
Seconds services other ancillary services

1 10 100 1 10 100 1 10
Kw Mw Gw
Power rating
Figure 10.14 Energy storage applications in smart grids characterized by the
requirements of discharge time versus power rating.

terms, power applications involve storage devices suitable for short‐term applica-
tions, with short discharge time (seconds to several minutes, typically less than an
hour), while energy applications include storage systems appropriate for long‐term
applications, with extended discharge time (usually more than an hour and up to
some months). Commonly, short‐term applications require energy storage systems
to supply energy immediately after activation, though undergoing a rapid discharge.
The energy storage systems for these applications must have an energy‐to‐power
(E2P) ratio (energy capacity in kWh divided by the power rating in kW) of less than
1 hour. The requirements of charge/discharge rates are high as per the power appli-
cation, so ESSs must perform a huge number of charge/discharge cycles per day.
Conversely, long‐term applications do not need energy storage to supply energy
instantly after activation, and the maximum duration of power delivery is higher
than an hour. These required energy storage systems must have an energy‐to‐power
ratio of more than 1 hour, so they are able to supply power for several days or weeks
(even months). The requirements of charge/discharge rates are not high as per the
energy application, so ESSs hardly exceed two full charge/discharge cycles per day.
Thus, energy storage applications may be appropriately categorized for both long/
short duration and frequent/infrequent discharge. These are considered the most
relevant characteristics for a preliminary assessment of the most appropriate ESS
technologies [162].
558 Chapter 10 GRID ENERGY STORAGE SYSTEMS

100 000
e
lum
Super capacitor
Li-ion vo
ing
10 000 battery eas
Flywheel cr
SMES
De
Power density (W/l)

1 000
Other Fuel cell
advanced
batteries NaS battery
100
e
m
lu Lead-acid
vo battery
g
10 sin
ea
cr
In Redox flow
CAES battery
PH
TES
1
1 10 100 1 000 10 000
Energy density (Wh/l)
Figure 10.15 Power density versus energy density (per unit volume) of major energy
storage technologies. (See electronic version for color representation of this figure.)

The specific requirements of the considered application defines the energy

storage system in terms of power density (large‐, medium‐ and micro‐scale) and
energy density (very short‐, short‐, medium‐, and long‐term storage capacity). These
ESS features are vital since the power density characterizes the amount of power per
unit volume (expressed in W/m3 or W/l), while the energy density (Wh/m3 or Wh/l)
relates the mass of energy to the volume of the storage facility. Figure 10.15 illus-
trates the power density versus energy density (per unit volume) of major ESS tech-
nologies. As can be derived, the higher the power and energy density, the lower the
required volume for the energy storage system. Very compact ESS technologies suit-
able for applications with limitations of space can be found at the top right‐hand part
of the graph, while large area‐ and volume‐consuming storage systems are located at
the bottom left‐hand corner. As can be seen, supercapacitors are the ESS technol-
ogies with the highest power densities, but they have low energy densities. In the
same way, fuel cells have the highest energy densities among ESS technologies, but
they show relatively moderate power densities. Compressed air energy storage,
pumped hydro‐storage and thermal energy storage have the lowest power and energy
densities. It is to be noted that Li‐ion batteries have both high energy density and
high power density, which leads to their extensive use in portable devices, transpor-
tation and grid‐scale ESS applications [162, 163].
 10.4 ASSESSMENT OF ENERGY STORAGE TECHNOLOGIES 559

100 000
Other advanced t
batteries igh
we
Super capacitor g
10 000
Li-ion bat.
asin
c re
De
Specific power (W/kg)

NaS
1 000 bat.

SMES
Flywheel

100 Lead-acid Fuel

battery Redox flow
cell
bat.

ight
10 we
ing TES
e as
cr
In
1
1 10 100 1 000 10 000
Specific energy (Wh/kg)
Figure 10.16 Specific power versus specific energy of major energy storage technologies.
(See electronic version for color representation of this figure.)

In the same way, specific power (expressed in W/kg) and specific energy
(Wh/kg) are also two parameters of great importance that indicate how much power
and energy can be obtained per unit weight of the ESS. These two properties play a
major role especially in transportation applications, such as hybrid and electric
vehicles (HEVs/EVs), where the weight of battery packs for these applications
must be reduced to an acceptable fraction of the HEV/EV total weight. Figure 10.16
shows the comparison of specific power and specific energy of various ESS tech-
nologies. As can be seen, the higher the specific power and energy, the lighter the
energy storage system. The ESS technologies suitable for lightweight applications
can be found at the top right‐hand corner of the figure. In contrast, the lower the
specific power and energy, the heavier the energy storage system (these technol-
ogies are located at the bottom left‐hand corner). As can be seen, supercapacitors
SMES and flywheels are the technologies with the highest specific power, but they
have low specific energy. In the same way, fuel cells have the highest specific
energy but they show a relatively moderate specific power. Most batteries are
located in the middle area in terms of specific power and specific energy, with Li‐
ion batteries having both high specific energy and high specific power. This explains
the recent wide range of applications for Li‐ion batteries, especially from portable
electronic devices to transportation [163, 164].
560 Chapter 10 GRID ENERGY STORAGE SYSTEMS

Based on the requirements of rated power, rated energy, and discharge time
of a particular application and the performance of the energy storage technologies,
the first round of comparisons must focus on assessing how the attributes of ESS
technologies match the requirements of the specific application for a preliminary
selection of the most likely ESS technologies. This comparison is useful when con-
sidering which technologies are the best for providing a particular benefit, although
in some cases it may be beneficial to use a single energy storage technology for
more than one application.
Figure 10.17 depicts the major energy storage technologies characterized by
their module size (power rating in kW to GW on the x‐axis) and their discharge
time at rated power (in seconds to months on the y‐axis). As can be seen by com-
paring Figure 10.14 with Figure 10.17, different energy storage technologies can be
used to achieve a specific application. In many cases, it can be straightforward to
infer the application–technology pairs by overlapping both charts. In this way, for
power applications such as those with requirements of discharge time from seconds
to some minutes (i.e. for power quality improvement or uninterruptable power
supply), flywheels, supercapacitors and SMES are ideal since they meet the power
and energy requirements. In these particular cases, response time and cycle life are

ESS siting

Behind-the-meter Distribution Transmission

Months
Fuel cell Pumped hydro
Discharge time at rated power

Days CAES
Redox flow battery
Nas
bat.
TES
Lead-acid battery
Hours
Li-ion Other
Flywheel
bat. advanced
Short-term batteries
Minutes
applications

Super capacitor Long-term

SMES applications
Seconds

1 10 100 1 10 100 1 10
Kw Mw Gw

Power rating
Figure 10.17 Discharge time versus power rating of major energy storage technologies.
(See electronic version for color representation of this figure.)
 10.4 ASSESSMENT OF ENERGY STORAGE TECHNOLOGIES 561

also key requirements. On the other hand, for other applications such as those with
requirements of discharge time from minutes to days, the application–technology
pair selection is not so direct. Many of these applications require a combination of
energy density, power density, cost, and cycle life specifications that cannot be met
by a single energy storage technology. In such cases, the integration of various tech-
nologies in a hybrid ESS (HESS) can get the best of both worlds by combining the
advantages of different storage technologies. Moreover, the electrical characteris-
tics of the combined technologies may be significantly different. Nevertheless, the
power electronics interface between the integrated energy storage technologies in
these HESSs is essential to adapt the different voltage levels as well as the power
flow of each device to provide a custom‐made ESS [165–167].
The assessment of ESS technologies continues with other relevant attributes
required by the application under consideration. Other features such as response
time, cycle life, depth of discharge and efficiency are also crucial and depend on the
specific application.
Figure 10.18 shows a graphical representation of major energy storage tech-
nologies using their round‐trip energy efficiency (without the power electronic
interface) and service lifetime measured in cycles (at 80% depth of discharge – DoD).
A charge/discharge cycle is commonly seen as the full discharge of a charged
­battery with subsequent recharge. Nevertheless, as battery technologies are very

100
Li-ion
Battery

90 SMES Super
Nas capacitor
Lead-acid battery
Battery
Flywheel
80 Redox
Energy efficiency (%)

flow Pumped
battery hydro

70

CAES
60
Other advanced
batteries

50

Fuel cell TES

40
100 1 000 10 000 100 000 1 000 000
Cycle life at 80% DoD (cycles)
Figure 10.18 Energy efficiency versus cycle life of major energy storage technologies.
(See electronic version for color representation of this figure.)
562 Chapter 10 GRID ENERGY STORAGE SYSTEMS

sensitive to the storage temperature and depth of discharge, they are seldom fully
discharged. Thus manufacturers often use the 80% DoD formula to rate batteries,
this definition being generalized here to all ESSs, even though some other technol-
ogies are able to reach a full discharge without affecting the cycle life of the storage
device. This means that only 80% of the available energy is delivered and 20%
remains in reserve. The DoD is an alternative method to indicate the state‐of‐charge
(SOC) of an energy storage. Indeed, they are complementary to each other, so that
if the first increases, the second decreases. A low efficiency will contribute to a
higher effective energy cost of the system, since only a proportion of the stored
energy can really be used. In the same way, a short cycle life for ESSs contributes
to higher costs, as the storage devices will need to be replaced more often. As can
be noted, high‐power energy storage technologies such as supercapacitors, SMES
and flywheels prove to have the best combination of energy efficiency and cycle
life. The other high‐power energy storage technology, Li‐ion batteries, also have a
high round‐trip energy efficiency, although with lower cycle life [168–171].
Similarly, Figure 10.19 shows a comparison of major energy storage technol-
ogies using two other key attributes: self discharge rate (measured per day), and
service lifetime of storage technologies. As can be seen, high‐power energy storage
technologies such as supercapacitors, SMES and flywheels suffer from very high
self‐discharge rates, especially flywheels, making them unsuitable for storage over
timescales much longer than a few tens of minutes. Indeed, since these devices have
a high cycle life, they are best suited for supplying loads with a common profile of

100
Flywheel

SMES
10
Daily self discharge (%)

Other advanced
batteries Super
capacitor
1

Lead-acid
battery
TES
0.1
Redox
flow battery NaS
Li-ion battery
battery
Pumped
Fuel cell CAES hydro
0.01
0 10 20 30 40 50
Service lifetime (Years)
Figure 10.19 Daily self‐discharge versus lifetime for major energy storage technologies.
(See electronic version for color representation of this figure.)
 10.4 ASSESSMENT OF ENERGY STORAGE TECHNOLOGIES 563

frequent discharge and high instantaneous power requirement, but with a relatively
low average power demand (generally referred to as pulsed or intermittent loads).
The duration of such a load usually ranges from hundreds of milliseconds to sec-
onds, with power levels depending on the particular application. Thus, the response
time of the ESS is also a crucial feature in this case. In contrast, lithium‐ion bat-
teries have lower self‐discharge rate, so they can be utilized for storage periods of
up to several days. However, their lower cycle life and high dependence on the
depth of discharge greatly limit their application for supplying pulsed loads. As can
also be seen in the figure, pumped hydro‐energy storage, compressed air energy
storage and thermal energy storage have very long service lifetime with the smallest
self‐discharge for the first two technologies, which allows them to supply almost
constant loads when the ESS discharge requirement is infrequent, and thus to
spread out high initial costs [168].
Figure 10.20 describes the technical maturity of major energy storage tech-
nologies within the mechanical, electrical, electrochemical, chemical, and thermal
categories. As ESS technologies advance from research, development, demonstra-
tion, and deployment (RDD&D) stages toward commercialization (reaching matu-
rity), the cost and risk of the technology dramatically reduces and the technical
attributes are often improved. It is to be noted that mechanical and electrochemical
energy storage are the most mature technologies, while chemical and thermal are

Mature

Deployment
Pumped hydro – PHS
Technical maturity

Lead-acid battery
Compressed air – CAES

Other advanced batteries

Demonstration
NaS battery
Flywheel – FES

Li-ion battery

Flow battery

Development
SMES
SCES

Heat storage
Hyd.-FC

Research
Chemical storage

Thermal storage
Electrochemical
Mechanical

Electrical
storage

storage

Storage

ESS technologies
Figure 10.20 Technical maturity of major energy storage technologies.
564 Chapter 10 GRID ENERGY STORAGE SYSTEMS

the least mature. Clearly, pumped hydro‐storage and lead‐acid batteries are
the only completely mature and commercially available technologies. Sodium
sulfur batteries may be classified as nearly mature technologies since they have
been actively deployed but still have some features to be improved. Other
technologies in the deployment stage include lithium‐ion batteries, flow bat-
teries, compressed air energy storage, and flywheels. Other advanced batteries
(including advanced lead‐acid batteries), supercapacitors and SMES are still in
the demonstration stage and need to be further improved towards high‐energy
utility‐scale applications. Hydrogen‐based chemical energy storage and thermal
energy storage are the least commercially mature technologies and need further
investigation [170].
Capital (or investment) cost is one of the most critical factors in deter-
mining the success of an energy storage technology for a particular application.
The capital cost is expressed in terms of cost per unit power ($/kW), cost per unit
energy ($/kWh), and cost per unit energy per cycle ($/kWh/cycle). The latter is
defined as the cost per unit energy divided by the cycle life, which is one of the
optimal techniques to estimate the real cost of energy storage in frequent charge/
discharge applications. Figure 10.21 shows a comparison between the capital cost
per unit power and the capital cost per unit energy for major energy storage tech-
nologies. As can be seen, CAES, PHS, TES and fuel cells are placed in the lowest
region of capital cost per unit energy. In the same way, supercapacitors are posi-
tioned in the lowest area of capital cost per unit power, while fuel cells and PHS

10 000
SMES
Flywheel Redox
Super
flow battery
Capital cost per unit energy ($/kWh)

capacitor
Other advanced
batteries
1000
NaS battery

Li-ion bat.
Pumped
Lead-acid bat.
hydro
100
Fuel
cell
TES

CAES

10
100 300 1000 3000 10 000
Capital cost per unit power ($/kW)
Figure 10.21 Capital cost per unit energy versus capital cost per unit power for major
energy storage technologies. (See electronic version for color representation of this figure.)
10.5 POWER CONDITIONING SYSTEM FOR INTERFACING ENERGY STORAGE TECHNOLOGIES 565

have the highest capital cost per unit power. On the other hand, the cost per unit
energy of TES and CAES is the lowest among all the ESS technologies, while
SMES is positioned in the highest area of capital cost per unit energy [1, 69,
162–171].

10.5 POWER CONDITIONING SYSTEM

FOR INTERFACING ENERGY STORAGE
TECHNOLOGIESWITH THE SMART GRID

In a grid‐tied energy storage system, the power conditioning system (PCS) is a vital
technology for supporting the connection of energy storage technologies to the
electricity grid. The PCS provides a power electronic interface between the AC
power grid and the energy storage device, aimed at achieving two major objectives:
first, to convert electrical power from one form to another (DC or uncontrolled AC
to AC established by the power grid) to ensure that grid code requirements of power
quality, flexibility, efficiency and reliability are met when providing services to the
electric grid; and second, to control the power flow of the ESS and regulate its
operating points to charge/discharge the storage device efficiently and hence ensure
its lifetime expectancy. To fully exploit the benefits of energy storage in the smart
grid environment, a high‐efficiency and very rapid‐response electronic power con-
ditioning system is required to interface with the electric grid. With the appropriate
topology of the PCS and its control system design, the ESS unit is capable of simul-
taneously performing both instantaneous active and reactive power flow control, as
required in modern utility grid applications. The rapid advancements in power elec-
tronics devices and enhanced control technologies have enabled the development of
PCSs with rapid response capabilities and improved performance characteristics,
with enough flexibility to adapt to the specific dynamic conditions of the smart
power grid [1, 172].
Power electronics has improved rapidly during the last 30 years. The amount
of applications has been growing, mostly as a consequence of the developments of
semiconductor devices and microprocessor technology. For both cases, higher
performance has been increasingly given for the same area of silicon, and simulta-
neously they have continuously reduced in weight and cost. Moreover, power
electronic device technology is still undergoing key developments, including var-
ious crucial self‐commutated devices, such as metal‐oxide semiconductor field
effect transistors (MOSFETs), insulated‐gate bipolar transistors (IGBTs),
integrated‐gate‐commutated thyristors (IGCTs), and new silicon carbide (SiC)
FETs/IGBTs. Although SiC offers great potential for the realization of high‐
performance power semiconductor devices because of its attractive electrical prop-
erties, such as a wide bandgap, high breakdown electric field, and high thermal
conductivity, silicon IGBTs are still the most important and widely used component
for power electronics. The IGBT combines the simple gate‐drive characteristics of
MOSFETs with the high‐current and low‐saturation‐voltage capability of bipolar
566 Chapter 10 GRID ENERGY STORAGE SYSTEMS

transistors. It stems from the combination of an isolated‐gate FET for the control
input and a bipolar power transistor as a switch, all in a single device. It gives
IGBTs the flexibility and easy handling to make them suitable for a wide range of
medium‐ to high‐power applications, both in power distribution and transmission.
The breakdown voltage and/or current‐carrying capability of these components are
continuously increasing [173, 174].
The main part of the electronic PCS is the DC/AC static power converter, also
called an inverter, which is composed of semiconductor devices, driving, protec-
tion, and control circuits to perform voltage magnitude and frequency conversion
and control. The power converter, depending on the configuration and application,
may have the capability to exchange power flow in both directions. There are many
types of power converters, so they can be classified according to the different
methods, among which certain categories stand out [175–188], as described below.
According to the main switching device type, there are two different types of
converters: line‐commutated and self‐commutated converters. The line‐commutated
converters are mainly composed of semiconductor devices without self‐turn‐off
capabilities, such as thyristors, making six‐pulse or higher pulse arrangements with
high power capacity. This semi‐controlled thyristor‐based converter always con-
sumes reactive power and cannot be operated properly if the connected AC system
is weak. As a consequence, the current application of this type of converter is rather
restricted. In contrast, self‐commutated converters are semiconductor arrangements
built with devices having self‐turn‐off capabilities, such as IGBTs, which usually
employ pulse width modulation (PWM) control techniques. This type of converter
is able to exchange both active power and reactive power with the main power grid,
and in both directions (from DC to AC or vice versa). This means that the converter
can provide reactive (capacitive or inductive) power to the electric grid simulta-
neously and independently of the active power exchange. The high‐frequency
switching of the PWM converter produces harmonics and interharmonics in the
range of some kHz, although these harmonics are relatively easily removed by
small‐size filters. This type of converter is mostly used in modern power systems
applications [182, 184].
Converters can be divided into voltage source converters (VSCs) and current
source converters (CSCs), according to the DC power. The former type is fed by a
stiff DC voltage and the output voltage is an alternating square waveform. The latter
is fed by a stiff DC current and the output current is also an alternating square wave-
form. Both types have their own advantages and disadvantages and are reported
extensively in the literature. However, VSCs have gained more attention in power
systems compared with CSCs, mainly because they are a more cost‐effective solu-
tion for most applications.
According to the type of connection, there are two different types of con-
verters: transformer‐based and transformerless topologies. Within the transformer‐
based topologies, the conventional grid‐connected PCS normally uses a power
frequency transformer operated at 50 or 60 Hz to step up the inverter output voltage
to the medium‐ or high‐voltage level. It has the advantages of a simple structure,
10.5 POWER CONDITIONING SYSTEM FOR INTERFACING ENERGY STORAGE TECHNOLOGIES 567

with various protective functions implemented at lower voltages. Furthermore, with

this configuration the converter operation is more stable and reliable, and the trans-
former has the ability to confine the higher harmonic components while providing
galvanic isolation. However, the transformer is bulky, lossy and expensive, with
relatively low efficiency, particularly when is operated at partial load. On the other
hand, the transformer‐based topology may use a high‐frequency transformer with a
frequency ranging up to hundreds of kHz. In this case, the inverter incorporates a
low‐voltage inverter to generate the high‐frequency, low‐voltage AC for the pri-
mary of the high‐frequency step‐up transformer. On the secondary side, a high‐fre-
quency rectifier connected to the DC bus of the traditional grid‐side inverter is
usually utilized. Since the high‐frequency inverter is small and lightweight, the
power density of the circuit and consequently the inverter efficiency at partial load
are greatly improved. In general, the peak energy conversion efficiency is over 90%
for small and medium high‐frequency PCSs. Transformerless PCS topologies (i.e.
directly connected to the utility grid) have lighter weight and higher efficiencies
than their counterparts with transformers, although not providing galvanic isola-
tion. This lack of galvanic isolation between the DC and AC circuits could allow the
transmission of dangerous DC faults to the AC side. For direct connection to the
medium‐voltage AC grid, transformerless solutions can use two topologies: an
arrangement based on the series connection of semiconductors, so that multiple
IGBTs are connected in series to reach the desired voltage block of the inverter DC
link, and the other based on the series connection of submodules, using cascaded
modular converters based on a basic full bridge six‐pulse inverter configuration.
Each full bridge can regulate the power flow of the energy storage modules
connected to its DC link. Moreover, multilevel converter configurations provide an
alternative cascaded topology which has attracted research interest over recent
years [185–188].
According to the power converter structure, the converter can be divided into
the traditional two‐level converter topologies and multilevel topologies. The two‐
level pulse width modulation voltage source converter (2L‐PWM‐VSC) with six‐
pulse bridge‐commanded IGBTs is the most widely used converter topology so far
for low‐ and medium‐power applications, since the power rating requirement for
the converter is restricted. A technical advantage of this solution is the full power
controllability (four quadrant operation) with a relatively simple structure and few
components, which contribute to well‐proven robust/reliable performances as well
as advantages of cost. Largely, a two‐level PWM inverter with high switching fre-
quency can be adequately used in many applications, but for high‐power applica-
tion the switching losses can be prohibitive. For medium‐ to high‐voltage power
systems, multilevel converters are a more attractive converter alternative, since they
can achieve higher voltage and power levels. The most relevant topologies of mul-
tilevel converters are those with diode‐clamped (neutral‐point clamped, NPC), with
capacitor‐clamped (flying capacitors), with cascaded multicell (CMC) with sepa-
rate DC sources and the modular multilevel converter (MMC or M2C). The control
design and modulation techniques for these converters are more complicated than
568 Chapter 10 GRID ENERGY STORAGE SYSTEMS

the conventional 2L converter. However, they provide an extra degree of freedom to

increase the output voltage magnitude of the converter and improve the harmonic
performance. By increasing the number of levels in the inverter, the output voltages
waveforms have more steps, generating a staircase approximation of a sinusoidal
waveform, which has reduced harmonic distortion. Thus, there is a trade‐off for
different types of multilevel converters between the increased installed power, the
mechanical complexity and harmonic performance. Among multilevel topologies,
the three‐level neutral‐point diode clamped (3L‐NPC) topology is one of the most
commercialized multilevel topologies on the market [182, 184]. On the other hand,
the three-level modular multilevel converter (3L-MMC) topology is an emerging
and widely acclaimed converter topology for high-voltage, high-power applications
[189–192].
The application of power converters in electric power systems can be largely
carried out in both the transmission and distribution systems. In the transmission
system, power converter technology is the building block of two main and comple-
mentary technologies for controlling the transmission of electrical energy: (a)
conversion to DC current by means of high‐voltage direct current (HVDC) trans-
mission systems; (b) directly by using flexible AC transmission systems (FACTS).
In the distribution system, power converter arrangements can be used mainly to
mitigate different types of power quality problems as a part of Custom Power tech-
nologies, or to support the integration of distributed energy resources, which include
renewable DG and distributed energy storage.
Some examples of applications in the distribution systems of selected energy
storage technologies are briefly discussed below. To this aim, Figures 10.22 to 10.24
describe the general architecture of selected energy storage systems used as distrib-
uted ESSs, including their power conditioning systems and control techniques [1].
Figure 10.22 shows the case of an electrochemical energy storage (BESS)
and an electrical energy storage (supercapacitor ESS). All these distributed energy
storage systems can be roughly seen as controlled voltage sources (although they
have different charge/discharge dynamics). Their structure is composed of the
energy storage device itself (bank of batteries/supercapacitors), the power condi-
tioning system for connecting to the electric grid, and the controller device. The
main part of the PCS is the voltage source inverter (VSI), which is shared by all the
distributed energy storage systems presented in this chapter. This device corre-
sponds to a three‐phase inverter shunt‐connected at the point of common coupling
(PCC) to the distribution network by means of a step‐up coupling transformer and
the corresponding sinusoidal filter. The inverter uses IGBTs and sinusoidal pulse
width modulation (SPWM) techniques with a three‐level 12‐pulse topology, which
generates a more smoothly sinusoidal output voltage waveform than conventional
two-level structures. In the diagram, a modular multilevel converter topology has
been employed. Although the MMC is a promising topology with a scalable tech-
nology making high voltage and power capability feasible, in this case a three level
converter has been used as it has gained a considerable share of applications. Thus,
by employing only the simplest basic building block (submodule or SM), i.e. a
 Electric utility grid
Commands Measured PCC
from BESS/SCES variables
system general control
operator
structure

Switching
signals Step-up
coupling
Measured transformer
variables Measured
variables
Buck/boost Three-phase three-level
dc/dc converter MMC voltage source inverter
Dfu
+VES /2 Lb +Vd /2
+ + +
Tbck – – –
Bank of batteries/SCs

ES1
Line filter
Lc1
ES2 Tbst Cd + La1
Lb1
a b c
Dfd –
ES3 La2 Lb2 Lc2 CF1

CF2
ESn + + +
– – – CF3
–VES /2 –Vd /2

Figure 10.22 General architecture of selected energy storage: BESS and SCES
technologies.

Electric utility grid

Commands
from Measured PCC
system SMES variables
operator general control
structure

Switching
signals Step-up
coupling
Measured transformer
variables Measured
variables
Three-level buck/boost Three-phase three-level
DC/DC converter voltage source inverter

+Vd/2 Line filter

Ds2 LF1
T3 Cd1 +
Superconducting coil

+VSMES/2 Dc1
NP LF2
T1 –
+ 0 a
NP b LF3
c
– T2 Cd2 + CF1
Ds1
Dc2 –
T4 CF2
–VSMES/2
–Vd/2 CF3

Figure 10.23 Structure of a selected energy storage technology: SMES system.

570 Chapter 10 GRID ENERGY STORAGE SYSTEMS

Electric utility grid

Commands PCC
from Measured
FES variables
system
general control
operator
structure

Switching
signals Step-up
coupling
Measured Measured transformer
Variables variables
Machine-side Grid-side
three-phase three-level three-phase three-level
voltage source inverter voltage source inverter

+Vd/2 Line filter

Flywheel
LF1
Cd1 +
LF2
am –
bm a
cm 0 LF3
NP b
c
Cd2 +
CF1
–
CF2

–Vd/2 CF3

Figure 10.24 Architecture of selected energy storage technology: FES system.

two-level half-bridge (HB) cell, and connecting two of them per leg, a three-level
topology is built. Nevertheless, since the AC voltage level at the PCC determines
the number of submodules needed, which is by far higher than the three used here,
an ordinary step-up coupling transformer must be used. It also allows reducing
losses since low voltage is applied across each switch with a low switching
frequency.
The integration of a bank of batteries/supercapacitors into the inverter DC
bus requires a rapid and robust bi‐directional interface to adapt the wide range of
variation in voltage and current levels between both devices, during both charge
and discharge modes. Controlling the battery/supercapacitor rate of charge/dis-
charge requires varying the voltage magnitude according to the state‐of‐operation,
while keeping the DC bus voltage of the inverter essentially constant. To this aim,
a two‐quadrant two‐level buck/boost DC/DC converter topology is employed,
which enables efficient performance of the overall system. This combined step‐
down/step‐up converter (or chopper) allows a decrease in the ratings of the overall
power devices (particularly the VSI rating power) by regulating the current flowing
from the distributed energy storage to the inverter and vice versa. Both actions
reduce the harmonic distortion produced in the AC side of the inverter and conse-
quently enhance the quality of power delivered to the grid, while permitting simul-
taneous and independent active and reactive power exchange with the distribution
grid. The control is responsible for determining the active and reactive power
10.5 POWER CONDITIONING SYSTEM FOR INTERFACING ENERGY STORAGE TECHNOLOGIES 571

exchange between the energy storage device and the electrical grid, according to
the external commands set by the power system operator and the state‐of‐charge
(SOC) of the energy storage device. To this aim, a lower hierarchical level control
must generate the switching signals for the 12 IGBTs of the VSI (PWM firing
pulses with grid‐synchronization), and the two IGBTs of the bi‐directional DC/DC
converter.
Figure 10.23 shows the case of another electrical energy storage, the
­superconducting magnetic energy storage system (SMES), which consists of s­ everal
distinctive subsystems, but shares most of them (VSI and part of the controller) with
the previous distributed energy storage systems (all operate at DC voltage levels).
The main part of the PCS, namely the voltage source inverter, corresponds to a
three phase inverter shunt-connected at the PCC to the distribution network by
means of a step-up (Δ-Y in this case) coupling transformer and the corresponding
sinusoidal filter. As in the prior ESS technologies, the inverter uses IGBTs and
SPWM techniques, but in the case of the SMES device, a diode-clamped three-
level 12-pulse (NPC) topology has been used instead of the MMC one, just for
demonstration purposes. This structure also allows generating a more smoothly
sinusoidal output voltage waveform than conventional two-level ones with almost
the same cost and performance than the MMC. Indeed,the overall system efficiency
of the three-level MMC topology is slightly lesser than this NPC, even when iden-
tical IGBTs are used, and requiring about an order of magnitude higher installed
capacitance (although, it does not affect the converter cost significantly). However,
the MMC topology offers many benefits over all the other topologies, such as
modularity and very high reliability, which make it very valuable as the voltage
level increases.
The basis of the SMES system is the large superconducting coil, which can be
roughly seen as a controlled current source. The inclusion of the SMES coil into the
DC bus of the VSI demands the use of a rapid and robust bi‐directional interface to
adapt the wide range of variation in voltage and current levels between both devices
(higher than in the previous cases). Controlling the SMES coil rate of charge/dis-
charge requires varying the coil voltage magnitude as much as the polarity according
to the coil state‐of‐charge, while keeping the voltage of the VSI DC‐link capacitors
essentially constant and balanced. To this aim, a two‐quadrant three‐level IGBT DC/
DC converter is employed. This converter allows reduction of the ratings of the
overall PCS by regulating the current flowing from the SMES coil to the inverter and
vice versa. Since, the NPC three-level inverter structure has the drawback of having
voltage imbalance problems between the VSI DC link capacitors when active power
flow is exchanged with the utility grid, a dual two-quadrant three-level DC/DC
converter topology is used. Major advantages of this three‐level DC/DC chopper
topology compared with traditional two‐level ones include: reduction of voltage
stress for each IGBT by half; permitting increase in the chopper power ratings while
maintaining high dynamic performance; and decreasing the harmonic distortion
produced. Furthermore, it includes the availability of redundant switching states,
which allows generation of the same output voltage vector through various states.
572 Chapter 10 GRID ENERGY STORAGE SYSTEMS

This last feature is very significant for reducing switching losses and VSI DC current
ripple, but mainly to maintain the charge balance of the DC bus capacitors, thus
avoiding contributing additional distortion to the utility grid. The control scheme
for the SMES system consists of various distinct blocks with different hierarchies
and their own control objectives, similar to the previous distributed energy
storage systems.
Figure 10.24 shows the case of a flywheel energy storage (FES) system,
which is mainly composed of the rotor, the bearing system, the driving motor/gen-
erator and housing, and the PCS for coupling to the grid. Unlike all the former dis-
tributed energy storage systems that operate at DC voltage levels, FES systems use
an electrical machine, such as a permanent magnet synchronous machine, to gen-
erate a set of three sinusoidal voltage waveforms with variable amplitude and fre-
quency. The PCS is composed of a back‐to‐back AC/DC/AC converter topology
that allows the FES system to meet the amplitude and frequency requirements of
the utility grid. Two voltage source inverters comprise the core of the back‐to‐back
converter: a machine‐side inverter and a grid‐side one. The grid‐side VSI is the
same device formerly described (NPC topology), sharing the topology with the
machine‐side VSI. As in all prior cases, the control scheme of the FES system con-
sists of several blocks with different hierarchies and their own control objectives,
sharing many structures with the previous distributed energy storage controllers.
Here, the main difference is the incorporation of a fully decoupled current control
strategy for the machine‐side VSI with the goal of controlling the active power
provided by the FES system during the charging/discharging process. The decou-
pled current control strategy of the grid‐side VSI regulates the reactive power gen-
erated. In addition, the lower level incorporates the triggering control signals for
both three‐level inverters.

10.6 CONCLUSION

In this chapter, a comprehensive analysis has been conducted of key technologies

in electrical energy storage systems, including mechanical, electrical, electro-
chemical, chemical and thermal energy storage systems, and their power condi-
tioning systems for application in next generation power grids. The work has
provided a study of the principles of operation and the technology profiles of con-
ventional and leading emerging storage topologies suitable for applications in the
evolving grid. In addition, a comparison between them in terms of applications,
power rating, storage duration, cost, life time and impact on the environment has
been presented. A summary of major practical storage installations worldwide has
also been included. Moreover, the study has examined opportunities for energy
storage systems to beneficially impact the generation, transmission and distribu-
tion of electric power in the new context of smart grids, along with the implica-
tions for the design and implementation of the power electronic applications for
these technologies.
 10.6 CONCLUSION 573

The analysis shows that energy storage can be deployed at all scales of the
electricity system depending on the services required, from the transmission level
to the customer side. These different locations in the power system involve different
stakeholders, energy storage technologies, and impact on the type of services
provided. There are a number of benefits that energy storage can offer in various
forms and to various stakeholders in the evolving electricity grid, such as:
•• to enable the grid integration of more variable and intermittent renewable
energy sources (such as wind and solar) in the energy mix;
•• to decrease the requirement to invest in new conventional generation capacity
and in transmission and distribution system upgrades, resulting in financial
savings and reduced emissions;
•• to improve energy security by optimizing supply and demand, thus reducing
the need to import electricity from other countries;
•• to provide system stability during electricity outages by supplying energy and
thus reducing the financial costs of power outages;
•• to increase efficiency and reduce electricity costs by shifting the energy con-
sumption, storing energy when prices are low and releasing it when they are
higher;
•• to provide ancillary services such as frequency control, spinning reserve and
black start capacity;
•• to provide improved power quality and reactive power dispatch;
•• to provide for islanding of a grid into multiple microgrids.
The study highlights that both the energy storage technologies and their
power electronics will have a major role in enabling the smart grid paradigm, espe-
cially with the increasing grid integration of renewable energy sources and the new
challenges that face the power industry. Both technologies have a great potential for
various applications in the upcoming power systems, ranging from transmission to
distribution networks and even on end‐user sites. Although there are many energy
storage systems commercially available, no single energy storage technology meets
all the selection criteria to become the optimal system for the smart electricity grid.
Consequently, the best technological combination will require further comprehen-
sive studies for the specific application.
Some storage technologies are technically mature, such as pumped hydro‐
storage and lead‐acid battery energy storage. However, most of the energy storage
technologies are not mature, like compressed air energy storage, advanced battery
energy storage (comprising nickel chemistry batteries, lithium chemistry batteries
and sodium chemistry batteries), redox flow batteries, flywheel energy storage,
supercapacitor energy storage, superconducting magnetic energy storage, and
thermal energy storage. All these ESSs are technically developed to different
degrees and commercially available, but have not reached full maturity yet. Their
competitiveness, durability and reliability still need more research. On the other
574 Chapter 10 GRID ENERGY STORAGE SYSTEMS

hand, fuel cell energy storage is a technology under development with great poten-
tial, although with key challenges for energy costs, performance, durability, and
environmental concerns.
The development and application of the energy storage technology in future
smart grids depends not only on the improvement in energy storage and power elec-
tronics features, but also on the cost reduction and the market policy required from
the power industry. A much larger potential market for energy storage is expected
in the future, mainly driven by the increasingly incorporation of renewable energy
sources and the transformation of the energy sector, including new smart grid appli-
cations such as the aggregation of electric (or hybrid) vehicles, and synthetic inertia
provided by excess energy stored in the DC‐link capacitor of existing inverter‐
interfaced distributed generators, like wind and PV solar systems.
There are growing expectations for energy storage technologies to provide
novel energy services to the forthcoming smart grid, such as compensating for the
fluctuation in renewable energy power generation, especially with large facilities of
wind turbines and PV systems. In this new scenario, advanced battery BESSs, par-
ticularly Li‐ion batteries and sodium‐sulfur batteries, and redox flow batteries seem
most promising for meeting the medium‐ to long‐term requirements, while fly-
wheels are more attractive for short‐term applications. On the other hand, advanced
pumped hydro‐storage (APHS) with variable speed technologies are becoming
very attractive for providing long‐term requirements to the electricity grid, if the
necessity of having geologically appropriate areas is met. If further cost reductions
and technology improvement can be achieved, these technologies will be widely
deployed in smart grid applications. In fact, the continuous expansion of the market
in batteries for transportation (electric/hybrid vehicles) has significantly reduced
the capital costs of Li‐ion batteries in recent years. This condition has rapidly
expanded the scale of the storage industry to capture large energy markets.
Consequently, in the near future, Li‐ion BESSs may have significant potential to
penetrate firmly into the electric power grid.

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 Ch a p t e r  11
Smart Grid Simulations
and Control
Aranya Chakrabortty and Anjan Bose

11.1 INTRODUCTION

Simulation is defined as the process of using a mathematical model to study the

behavior and performance of a physical system. When it comes to understanding
the behavior of an enormously complex, nonlinear, large and multi‐timescale
system such as an electric power system, simulations are, in fact, the primary tool,
if not the only option, that one can rely on. Accurate simulations can guide the oper-
ation, planning, and control of power systems at all levels – generation, transmis-
sion, distribution, consumers and markets [1, 2]. They are essential for accurate
analysis and evaluation of power system operations with actual operating values.
They improve system planning and design. They help in recognizing and in
­mitigating potential hidden problems in the grid, avoiding unforeseen errors, and
preventing system interruption, and can determine under‐utilization of system
resources. They accelerate engineer and operator training, reduce design and com-
missioning time, and help power system operators in avoiding inadvertent plant
outages caused by human error and equipment overload. Currently, power systems
in different parts of the world are undergoing revolutionary changes in both
architecture and operating principles [3, 4]. The envisioned digital grid of tomorrow
must facilitate the open competition and innovation needed to accelerate the
adoption of renewables, while satisfying various challenges related to grid stability,
markets, and dynamics. It must also allow for active participation of customers in
day‐to‐day grid operations through data‐driven programs such as demand response.
Simulations will be essential to understand all of such complex interactions bet-
ween cyber, physical, and social layers of the grid.
While simulations can help in prediction and planning, control is needed to
improve the stability and real‐time dynamic performance of the grid. For several
decades the traditional mindset for controlling power systems has been limited to local

Power Electronics in Renewable Energy Systems and Smart Grid: Technology and Applications,
First Edition. Edited by Bimal K. Bose.
© 2019 by The Institute of Electrical and Electronics Engineers, Inc.
Published 2019 by John Wiley & Sons, Inc.

585
586 Chapter 11 Smart Grid Simulations and Control

output feedback control, which means that controllers installed within the operating
region of any utility company typically use measurements available only from inside
that region for feedback, and, in fact, more commonly only from the vicinity of the
controller location. Examples of such controllers include automatic voltage regulators
(AVRs), power system stabilizers (PSSs), automatic generation control (AGC), FACTS
control, HVDC, and so on. However, the US Northeast blackout of 2003, followed by
the timely emergence of sophisticated GPS‐synchronized digital instrumentation tech-
nologies such as wide‐area measurement systems (WAMS), led utility owners to
understand how the interconnected nature of the grid topology essentially couples their
controller performance with that of others, and thereby forced them to look beyond
this myopic approach of local feedback and instead use wide‐area measurement
feedback [1]. Wide‐area control alone, however, will not be enough for the modern
grid. It may improve the damping performance of the legacy system, but will not be
able to keep up with the unpredictable rate at which renewables such as wind, solar,
batteries, and their power electronic interfaces, collectively referred to as distributed
energy resources (DERs) are being added to the grid. Every time a new DER is added
it will be almost impossible for an operator to re‐tune all the wide‐area control gains to
accommodate the change in dynamics. DERs have high variability and intermittency,
and need to be operated in a plug‐and‐play fashion. Accordingly their controllers need
to be local, decentralized, and modular in both design and implementation. The overall
control architecture for the future grid needs to be a combination of these decentralized
plug‐and‐play DER controllers and distributed wide‐area controllers.
In this chapter we review a list of methods of current and future practice for
simulating various planning, operation, stability, reliability, and economic models
of power systems, as well as different approaches for designing new control sys-
tems that will become imperative as more renewables and power electronics get
integrated into today’s grid. We base our presentation on simulations of both
physical models and heuristic data‐based models. Physical models describe the
behavior of physical components in the grid such as synchronous generators,
induction motors, transmission lines, control equipment, loads, transformers, relays
and circuit breakers. Heuristic models, on the other hand, are employed to describe
uncertainties as well as the behavior of many other engineered and human‐driven
infrastructures underlying the grid. A list of simulation software is presented. New
control architectures arising from non‐conventional generation sources and loads,
with an emphasis on power electronics, are also presented. The need for larger‐
scale simulations in order to transition from local monitoring and control to system‐
wide monitoring and control is highlighted.

11.2 SIMULATION MODELS

We start our discussion with a comprehensive list of applications that power engi-
neers need to simulate for everyday operations of the grid. The majority of these
applications are optimization problems whose solutions decide the setpoints for
 11.2 SIMULATION MODELS 587

decision variables that are needed to operate the grid in a stable, efficient,
economic, and reliable way. All of these optimizations need to be done over a large
number of variables while following different constraints arising from the physical
behavior of the grid, thereby necessitating simulations. The following list captures
the most important applications, but, of course, is not complete. We classify these
different applications with respect to their time step of simulation as follows.

1. Steady‐state simulations:
•• Power flow
•• State estimation
•• Steady‐state security assessment
•• N‐1, N‐1‐1 contingency analysis
•• Fault analysis, fault location analysis
•• Volt/VAR optimization
•• Symmetrical components and unbalanced faults
•• Induction motor analysis
•• Device coordination and selectivity
•• Reliability assessment
•• AMR/AMI integration
•• Power system markets
2. Long‐term planning (in years):
•• Production costing
•• Model validation of generators
•• Reliability evaluation
3. Scheduling (in hours):
•• Economic dispatch
•• Optimal power flow (OPF)
•• Unit commitment
•• Hydro‐thermal coordination
•• Preventive security constrained OPF
•• Weather modeling and predictions
4. Slow dynamic simulations (in minutes):
•• Voltage stability
•• Loadability limit calculations
5. Electromechanical simulations (in seconds):
•• Automatic generation control (AGC)
•• Operator training simulator (OTS)
588 Chapter 11 Smart Grid Simulations and Control

6. Fast electromechanical simulations (in milliseconds):

•• Modal analysis of oscillations
•• Oscillation damping control
•• PSS, FACTS controller tuning
•• Transient stability
•• Synchronous machine transient analysis, including harmonics and unbal-
anced short‐circuit faults
7. Electromagnetic simulations (in microseconds):
•• Electromagnetic transient program (EMTP)
•• Geomagnetic induced current (GIC) calculations
•• Arc flash hazard analysis
Each of these applications come with their own first‐principles physics‐based
models that enable their simulations. These models are mostly nonlinear, and
described by a large set of algebraic and differential equations whose evolution
vary over different timescales as noted in the list itself. Many of these models
exhibit strong nonlinearities such as saturation, deadband, if‐then logic rules, and
even non‐smooth behavior [5–6]. The applications are numerous such that it is
impossible to detail all possible models within the confines of a single book.
Therefore, in the following we only list a selected set of simplified models that rep-
resent the various fundamental building blocks of the physical behavior of a power
system. These models are often used for running simulations on academic exam-
ples of a grid, mostly at generation and transmission levels. Depending on the accu-
racy and resolution of the simulations, these models by themselves can quickly
become quite complicated. To avoid this difficulty, we limit this chapter to only the
most basic mathematical equations that capture the main functionalities of the
system, and point the reader to appropriate references for more details.

11.2.1 Synchronous Generators

Consider a power system network with n synchronous generators. The flux‐decay
model of the generator that is often used for design and simulation of generator
control systems is given by the following set of differential‐algebraic equations:
 (11.1)
i i s

mi  i Pmi di i s PGi (11.2)

xdi xdi xdi
i E i Ei Vi cos i i EFi (11.3)
xdi xdi

EiVi xdi xqi

PGi sin i i Vi 2 sin 2 i i (11.4)
xd i 2 xqi xdi
 11.2 SIMULATION MODELS 589

EiVi xdi xqi xdi xqi

QGi cos i i cos 2 i i Vi 2 (11.5)
xd i 2 xqi xdi 2 xqi xdi

where i is the generator index, i 1, , n. Equations (11.1) and (11.2) are referred
to as the swing equations, (11.3) as the excitation equation, and (11.4) and (11.5)
as the power flow equations. The voltage at the ith bus is denoted as Vi Vi i
where Vi is the magnitude (volts) and θi is the phase (radians). The internal voltage
phasor of a synchronous generator connected to any generator bus is denoted as
E i Ei i . The symbols δi, ωi and Ei, respectively, denote the generator phase
angle (radians), rotor velocity (rad/sec), and the quadrature‐axis internal EMF; ωs
is the synchronous frequency, which is equal to 120π radian/sec for a 60 Hz power
system such as the North American grid. PGi and QGi are, respectively, the active
and reactive power produced by the ith generator (megawatts and mega VAR),
Mi is the generator inertia (seconds), Di is the generator damping, Pmi is the
mechanical power input from the ith turbine (MW); τi is the excitation time
constant (seconds); xdi, x′di, and xqi are the direct‐axis salient reactance, direct‐axis
transient reactance, and quadrature‐axis salient reactance (all in ohms), respec-
tively. The field voltage EFi is often used for designing feedback control inputs
that can be actuated through power system stabilizers (PSSs) for damping oscil-
lations in the power flow, phase angles, and frequency following both large and
small‐signal disturbances. More detailed description of the various parameters of
this model can be found in [7]. The model itself can have many more state vari-
ables arising from AC and DC excitation equations, flux linkage, automatic
voltage regulators (AVRs), power system stabilizers (PSSs), washout filters,
FACTS devices, and so on.

11.2.2 Models of Renewable Energy Sources

Wind Generators
A wind power system contains wind turbines, their associated control systems such
as pitch and yaw controllers, doubly‐fed induction generators (DFIG), and their
associated internal voltage and current regulators. The turbine can be modeled by a
single‐mass or double‐mass unit with gearboxes that couple its shaft with the
rotating shaft of the DFIG [8]. The turbine is driven by an aerodynamic torque pa,
which is typically a cubic function of the wind velocity. The DFIG is modeled
through the dynamics of its stator and rotor currents, expressed in a rotating d‐q
reference frame as

idr
i a g i ri V1 Bi w iqr
, i:
ew v1 iqs j v1 ids ids
iqs
590 Chapter 11 Smart Grid Simulations and Control

where A is the state matrix for the linearized model (the linearization is generally
done at the operating point that corresponds to the wind velocity that produces
maximum wind power output in steady‐state), ωg is the rotor angular velocity
whose dynamics are decided by the turbine mechanics [8], and skipped here for
brevity, idr and iqr are the d‐ and q‐axis rotor currents, ids and iqs are the d‐ and q‐axis
stator currents, V1 is phasor d‐ and q‐axis stator voltage at the bus where the wind
power plant is connected, ew = Pw + jQw is the total effective wind power with Pw
being the active power and Qw being the reactive power. The variable w = [wd wq]
represents the d‐ and q‐axis rotor voltages. The positive constant γ is the number of
wind turbines in the plant, which when multiplied by the power output of each gen-
erator provides the total power output of the wind farm. Typically, both the d‐ and
q‐axis currents of the rotor need to be regulated to pre‐computed setpoints based on
a maximum power‐point tracking algorithm for the operating wind speed. This is
usually achieved by simple PI control.

Power Converters
Three‐phase pulse‐width‐modulated (PWM) converters are used for integrating
DERs with the grid. Assuming a direct‐quadrature synchronous reference frame,
the converter model can be written as [9]:

lid liq vdc

li q lid eq vdc (11.6)
idc eq iq / vdc

where id and iq are the d‐ and q‐axis current flowing into the converter, eq is the
q‐axis voltage at the bus connecting to this converter, vdc and idc are the converted
DC voltage and current, ρ is the duty cycle, and L is the filter‐inductance, and is
the synchronous frequency. Generally, a PI controller is used to regulate the output
DC current of the converter to a desired setpoint.

Storage Models
Today’s power grid is also experiencing penetration of electrical battery storage at
various scales. Typical models of batteries involve electrochemical equations that
reflect their internal physical principles, coupled with power flow balance that
connect them to the grid. Many variants of battery models with different levels of
complexity exist in the literature [10]. A simple model can be considered as [11]:
q idc /C , vdc g (q ) (11.7)

where q is the state of charge, C is the capacity of the battery, and g(q) is a mono-
tonically increasing function and positive if q is positive, following from the elec-
trochemistry of the battery cell. Similarly, a solar PV generator and its associated
power electronic converter model following from standard literature [12] can be
used as another example of a DER.
 11.2 SIMULATION MODELS 591

11.2.3 Transmission Line Models

A transmission line is modeled using series resistance, series inductance, shunt
capacitance, and shunt conductance. For a medium‐length line, the power balance
equations at any bus i can be written as
n
ViVk Gik cos ik Bik sin ik PGi Pdi 0 (11.8)

k 1
 
Pi x

n
ViVk Gik sin ik Bik cos ik QGi Qdi 0 (11.9)

k 1
 
Qi x

where θik = θi − θk, x col V1 ,V2 , ,Vn , 1 , 2 , , n , PGi and PDi are the active power
generated and demanded at bus i, QGi and QDi are the reactive power generated and
demanded at bus i, and Gik and Bik are the conductance and susceptance of the line
joining buses i and k. Transmission lines also include transformers, circuit breakers,
phase shifters, and shunt and series compensators.

11.2.4 Load Models

The active and reactive power drawn by the jth load can be modeled as [7]:

Plj a jV j2 b jV j cj (11.10)
2
Qlj e jV j f jV j gj (11.11)

where (aj, bj, cj) and (ej, fj, gj) are load‐specific constant coefficients, and the three
terms in each equation explicitly represent the contribution of each type of load,
namely constant impedance, constant current, and constant power load, respectively.
For academic derivations one often assumes all loads as constant impedance because
this assumption greatly simplifies the derivation of the final state‐space model of the
entire power system network in an explicit closed form. Retaining this explicit form
is not always possible for the two other types of loads, and thus engineers have to
resort to software programs to simulate the implicit model equations numerically,
linearize them over a given equilibrium point, and compute a small‐signal state‐
space model. Several papers in the literature have also considered dynamic loads
[13, 14]. Especially in today’s grid operations, loads play an extremely important
role by virtue of customer‐side applications such as demand response. A recent
paper [15], for example, develops an accurate aggregated model for a population of
air‐conditioning loads, including statistical information of the load population, load
heterogeneity, and second‐order dynamics that capture their transient dynamics.
Various other types of static and dynamic load models such as building loads and
industrial machine loads can be found in [16, 17].
592 Chapter 11 Smart Grid Simulations and Control

11.3 CURRENT APPROACH FOR SMART GRID

SIMULATION

There are several software packages for power system simulations that are cur-
rently used in industry and academia. Examples include open‐source software such
as UWPFLOW, TEFTS, MatPower, PST, InterPSS, GridLAB‐D, OpenETran,
OpenPMU, Open‐DSS, and rapid61850, and also commercial software such as
PowerWorld [18], PSS/E, PSLF, Aspen, E‐Tap, PSCAD, Plecs, DSS, and SimPower
Systems. Educational software programs include PSAT, which is based on Matlab/
Simulink, and DOME, based on Python and public‐domain C, C++, and Fortran
libraries [19]. For details of these software, please see the survey in [20]. The pri-
mary applications of these software are listed next.

11.3.1 Power Flow Analysis

The power flow equations (11.4) and (11.5) can be expressed in a compact form as

f x 0 (11.12)

where

P2 x PG 2 Pd 2
P3 x PG 3 Pd 3

Pn x PGn Pdn
f (11.13)
Q2 x QG 2 Qd 2
Q3 x QG 3 Qd 3

Qn x QGn Qdn

Solution of these nonlinear equations is referred to as power flow. Most software

packages these days come with their own sets of power flow solvers including
accelerated Gauss‐Seidel, Newton‐Raphson, and perturbation‐theory iterative tech-
niques. Fast decoupled and DC techniques are also often used [5]. The advantage of
the Newton‐Raphson method is that it guarantees fast convergence as long as the
initial guess is close to the actual solution, and also that it enhances the region of
convergence. The difficulty, however, is computing and inverting the Jacobian
matrix J(xk) at every iteration. Factorizing a full matrix is an order n3 operation, and
hence extremely expensive. The order can be decreased, however, by exploiting the
sparse structure of Y, which induces sparsity in J as well. It has been shown through
examples in [5] that using sparse matrix methods results in a computational order
of approximately n1.5, which can be a substantial saving when solving systems with
tens of thousands of buses.
 11.3 CURRENT APPROACH FOR SMART GRID SIMULATION 593

11.3.2 Dynamic Simulations

Transient stability simulations for large power system models are based on the
differential‐algebraic (DAE) model (11.1–11.5) for synchronous generators, and
the algebraic power flow equations (11.4–11.5). The DAE can be written in a
­general form as:

dx
f ( x, y, p), x  n , y  m , p  q (11.14)
dt
0 g( x, y, p). (11.15)

The state vector x corresponds to the internal dynamic states of generators, exciters,
governors, PSS, dynamic loads, power electronic devices, and so on. The output
vector y contains the network power‐flow variables, such as bus voltage magnitudes
and angles. The vector p describes machine parameters such as time‐constants,
transmission line parameters such as line reactances and network topology, as well
as operational parameters such as the status of shunt capacitor banks. The current
trend in general‐purpose DAE simulation, for example in Powerworld, PSCAD,
and PSAT, follows hierarchical system modeling, which, in addition to simplifying
the conceptual and model‐management tasks, also provides a good basis for
incremental testing and validation of models and simulations. Traditional power
system literature lists two broad modeling approaches for simulations – namely,
explicit modeling and implicit modeling. Explicit models for dynamic systems use
ordinary differential equations (ODEs) as the primary mathematical abstraction.
The word “explicit” here refers to causality, that is, equations representing the
physics of the system are written so that known quantities such as inputs and state
variables are used to define unknown quantities. Languages associated with explicit
modeling are block‐oriented, such as Simulink and Ptolemy II [21]. Implicit
models, on the other hand, directly use DAE as the primary mathematical abstrac-
tion. DAE‐based models emphasize the relationships between elements without
regard to a particular casual ordering, and hence the name implicit. Examples of
such languages are Modelica [22], Hydra [23], and Sol [24].

11.3.3 Economic Dispatch and OPF

Linear and quadratic programming techniques are the most common tools for both
of these critical applications. Powerworld, for example, uses “Quadprog” and
“Rglpk” packages for optimal power flow (OPF), both of which are based on
quadratic programming. The classical OPF problem aims to minimize the function

J ci1 PGi2 ci 2 PGi ci 0 (11.16)

i G

which is the sum of the quadratic costs accounting for the cost of active power gen-
eration at every generator bus (the set of all generator buses being denoted as )
594 Chapter 11 Smart Grid Simulations and Control

over the bus voltages, active and reactive power generations, subject to different
system‐level constraints such as for power balance, and upper and lower bounds for
all variables. In general, this problem is non‐convex, and difficult to solve. Recent
results in [25] have derived conditions on power system models that guarantee a
zero duality‐gap so that semidefinite programming (SDP) can be used to retrieve
the global optimum solution to the OPF problem. The results have been extended to
meshed transmission network topologies in [26].

11.3.4 Fault Analysis

Fault simulation packages simulate single‐phase and three‐phase bolted faults for
interconnected power system models, and make provision for complex fault imped-
ance. The Y‐bus building algorithm is commonly implemented to construct the
admittance matrix [27], followed by sparse matrix inverse computations. Several
fast algorithms exist for this – for example, direct methods via LU factorization,
Recursive Green’s Function (RGF) algorithm, and more advanced, newer and faster
methods such as Fast Inverse using Nested Dissection (FIND). A list of simulation
tools for comprehensive fault analysis can be found in [28].

11.3.5 Load Frequency Control

In these simulations, users can change loads in selected areas in the grid, and load
frequency control is automatically initiated based on the speed droop settings of the
areas. The areas share the load by changing their generation levels based on their
preset percentage contributions.

11.3.6 Operator Training Simulator

The simulation engine for the operator training simulator (OTS) has to simulate the
behavior of the power system in real time so that the operator trainee gets the feel for
a real power system. As mentioned before, such a simulation consists of solving
differential equations (the dynamic part) as well as the algebraic equations (the
steady‐state part). To solve this in real time the dynamic part must be faster than real
time so that the steady‐state part has enough time for its solution. Since the operator
usually observes the power system through SCADA, which updates every few sec-
onds, a time step of 1 second for the simulation provides enough accuracy. Today,
however, with the increasing availability of phasor measurements that update at 30 Hz
or more, the OTS simulation needs to be done in much smaller time steps. New OTS
implementations are appearing that use the transient stability formulation with around
10 ms time steps to be able to generate phasor measurements in real time.

11.3.7 Reliability Modeling and Simulation

The failure and repair cycle of power system components is typically modeled by
alternating renewal processes. One common method is the sequential Monte‐Carlo
simulation with stochastic point process modeling [29]. The application of
 11.4 CHALLENGES FOR GRID SIMULATION 595

probability models to the evaluation of generation reliability allows for the

integration of different unit sizes and types, the effects of maintenance, the capacity
of interconnections, and other factors such as economic aspects. The commonly
employed metrics for this purpose are called “loss of load probability” (LOLP),
“loss of energy probability” (LOEP), and “frequency and duration” (FAD). For
detailed definitions of these metrics, please see [30].

11.3.8 Simulation of Power Markets

Many commercial softwares such as Powerworld are currently used for simulating
power markets. Several research institutions have also recently developed efficient
market simulators. Examples include the AMES (Agent‐based Modeling of
Electricity Systems) wholesale power market testbed at Iowa State University,
JASA (Java Auction Simulator API) developed by Ripple Software Ltd., a Python‐
based software called MiniPower developed in University of Washington, and sev-
eral other market simulators created by Argonne National Lab. Detailed descriptions
of these packages together with appropriate test systems such as the eight‐zone
ISO‐New England system can be found at [31].

11.4 CHALLENGES FOR GRID SIMULATION

Millions of new devices are projected to penetrate the grid in the next few years,
impacting the dynamics, stability, and most importantly the seconds to tens‐of‐
seconds timescale performance of the grid. Developing simulation models that can
capture such impacts in a scalable way is a serious challenge. A set of relevant
­questions that naturally arise are:
1. How can we develop accurate models that capture the dynamic and steady‐
state characteristics of DERs at scale? How can we identify important cou-
pling parameters that reveal the possibility of weak operating points,
indicating transient instability and voltage instability?
2. How can we develop robust numerical methods that will enable us to execute
simulations of DER‐integrated grid models in a scalable and modular fashion?
3. With most of the modern‐day grid applications becoming increasingly
dependent on communication of information across large geographical spans
of the grid, how can we accurately simulate the cyber‐physical system (CPS)
interactions between the grid components?
4. Similarly, how can we model and co‐simulate complex interactions between
power system models and models of other engineered infrastructures such as
transportation, gas, and water networks?
The key factor for these types of scientific experimentation is modeling. To
properly answer these questions one requires a holistic approach to modeling by
developing simulation models that are not only easier to build, re‐use, and validate,
596 Chapter 11 Smart Grid Simulations and Control

but also those that fundamentally characterize the environment in which they
operate. We next list the challenges that currently stand in the way of these advanced
modeling methods.

11.4.1 Structural Properties

One of the desired properties of simulation models, for example, is structural
dynamicity. By definition, structural dynamicity is the notion that one is not able to
predetermine the number of structural configurations that a system may take on.
The concept is not new to power systems. Contingencies, renewable integration,
and interactions between prosumers are a few obvious examples. Upon such events,
the structural orientation of the system along with the underlying mathematics that
models the physics of the system may change, for example, in quantity or direction.
Another desired property is to capture the hybrid nature of the grid operating as a
CPS, consisting of a combination of continuous‐time (physical domain) and dis-
crete‐time (cyber domain) behaviors. Component interactions is the third required
property. Models that inherently and implicitly capture the interaction between dif-
ferent components are critical for holistic simulation approaches, especially when
there is more than one explicit representation for a given component. Another
necessary property is component reflectivity. Having models that are closely reflec-
tive of the components being modeled promotes modularity, and lessens the burden
of deriving the causality explicitly when the consequences of the interactions are
not known a priori.

11.4.2 Scalability
One big challenge is to enable a real‐time simulation capability for power system
DAE models such as Equations (11.14) and (11.15) at extreme scales. Foundational
work on taxonomy theory for modeling and analysis of DAE power models has
been done in theory [32], but its translation to simulation models is still missing.
Software such as Modelica and Hydra, for example, need to be exploited for mod-
eling scalability through modularity, composition, static correctness, implicit repre-
sentations and structural dynamics. All of these selected abstractions then need to
be brought under the umbrella of a common modeling language and the front end
of a compiler, followed by a library and language‐level abstractions that support the
needs of experimentation.

11.4.3 Model Validation

Another significant challenge is the validation of the models used in these simula-
tions. This is particularly true for the dynamic models of the generators and their
associated controls. After the large blackout on the US west coast in 1996, it became
clear that the generator models used in the studies were not accurate enough. Since
then the Western Electricity Coordinating Council (WECC) standard requires
 11.4 CHALLENGES FOR GRID SIMULATION 597

updating of the model parameters through standardized testing. Power systems in

other parts of the world where stability is an issue have followed a similar approach.
However, off‐line testing is expensive, and as phasor measurement units (PMUs)
have proliferated over the past decade, using PMU data during disturbances to
update model parameters on‐line have become more common. Several challenges
still stand on the way. For example, new technologies such as renewable generation
sources and storage that requires power‐electronic grid interfaces have completely
new types of dynamic model. Together with HVDC and FACTS devices, devel-
oping accurate modeling methods and devising procedures to validate these models
and their parameters are currently lagging behind.

11.4.4 Model Aggregation

Given the large size of any realistic power system, it is often very difficult to derive
and simulate the dynamic model for an entire network. Using conventional model‐
based equivalencing methods [85] would be impractical for this purpose because
they are highly time‐consuming and numerically challenging for large‐scale non-
linear simulations, and more importantly, dependent on the precise knowledge of
the model parameters of thousands of generators, transmission lines and loads.
Several papers such as [34] have addressed this problem, and derived a series of
results on measurement‐based model reduction that combines aggregation theory
with system identification. Several open questions still exist, however. For example,
once a baseline model is constructed, one must study how it can be updated at reg-
ular intervals using newer PMU data, and how this updated model can be used to
predict the slow frequencies and corresponding damping factors needs to be for-
malized, and validated via realistic simulations. Questions also exist on how the
reduced‐order model can predict the sensitivity of the power flow oscillations
within any area with respect to faults and wind power penetration in any other area.
If answered correctly, utilities can exploit this information from simulations of
the aggregated model, and evaluate their dynamic coupling with neighboring
companies, leading to more efficient resource planning.

11.4.5 Role of Power Electronics

The need for intricate modeling is critical for power electronic converters. Average
models are often described by nonlinear dynamics that are valid only in specified
“safe zones of operation.” High‐fidelity simulations are required for revealing these
safe zones for different operating conditions and network topologies. A solid‐state
transformer contains both AC and DC terminals that may be connected to wind,
solar, battery storage, and loads. A boost converter is coupled with the rectifier cir-
cuit to convert the lower DC voltage of solar generators to lower AC voltage. PV
panels are directly connected with a boost converter to amplify the panel voltage
to the DC bus voltage. Based on the voltage level of the panels, other DC‐DC con-
verters can also be used for this interface. A similar interface with bi‐directional
598 Chapter 11 Smart Grid Simulations and Control

energy flow can be used to control the battery charging and discharging for power
and energy management of the system. The charging voltage of a battery is typi-
cally lower than the DC bus voltage. Thus, a good choice for this interface circuit is
a buck converter for the DC energy cell, and an inverter‐coupled buck converter for
the AC energy cell. However, to allow flexibility in choosing the voltage rating of
the battery, a bi‐directional buck‐boost converter is used for DC batteries, and
an inverter coupled with a buck‐boost converter is used for AC batteries. Recent
examples in [72] show that when these circuits are connected to a radial distribution
grid, the small‐signal model of the system exhibits a wide variation in timescales
ranging from microsecond dynamics arising from switching, to tens of seconds
of dynamics arising from the inertial effects of the DFIGs. Thus, multi‐timescale
numerical methods that can successfully capture such large spectra of eigenvalues
need to be developed as more and more of these power electronic devices get
integrated into the grid.
Yet another important factor for simulating converter models is harmonics.
For example, it was recently shown in [72] that the effective duty cycle ratio that
enters the dynamics of the rectifier stage model of a converter can be written as:

d (t ) d1 (t )cos( (t )) d2 (t )sin( (t )), (11.17)

(t )
1 (t ) (11.18)
where d1 and d2 are the d and q‐axis components of the duty cycle, and θ represents
the dynamics of the phase‐locked‐loop (PLL) controlling the grid frequency. The
time constant of the PLL is often assumed to be faster compared with that of the
rectifier, and thereby ω1 is approximated to be constant at the synchronous value of
377 rad/sec. Accordingly, θ(t) is approximated as

t t 0 1t (11.19)
Depending on more complex dynamic models of the PLL, θ(t) may be simulated by
more complicated functions than just a simple straight line. The important point to
note is that although θ(t) by itself is an unbounded function, it enters the rectifier
dynamics through bounded trigonometric functions. The implications of these
bounded time‐varying terms for judging the stability of the entire converter model
can be validated using simulations.

11.4.6 Co‐simulation of T&D Models

Given the recent nationwide initiatives in promoting demand response, many
researchers are proposing co‐simulation of transmission and distribution grid
models, defying the traditional practice of treating these two as completely decou-
pled infrastructures. Recent papers such as [35] have started developing a so‐called
DR‐advisor, which acts as a recommender for the loads on both transmission and
distribution sides of the grid for power consumption prediction and control strat-
egies using machine learning theory. Necessary aggregation techniques may need
 11.4 CHALLENGES FOR GRID SIMULATION 599

to be applied here to lump the transmission grid as a single source of information.

Once a load is predicted and the DR strategy is evaluated, co‐simulation models can
guide operators on how to update the load setpoints, based on the load forecasts.
Online estimation algorithms need to be applied to gather information about
weather, possibilities of natural disasters, approximate generation schedules over
the next hour, information about transmission line faults that may severely disrupt
the currents flowing on the distribution side, and so on. Load control algorithms
will need to be tuned accordingly, depending on whether the distribution grid can
depend on the transmission grid for any deficit power‐feed.

11.4.7 Co‐Simulation of Infrastructures

Co‐simulation is being envisioned as a necessary tool not just for T&D models, but
for verification and validation of various other infrastructures whose functionalities
are interconnected with power systems. Over the past few years, several major
blackouts in the US grid have forced power engineers to evaluate the impact of dif-
ferent failure scenarios in the grid on other critical infrastructures that drive and
depend upon it. For example, power systems depend on the delivery of fuels to
power generating stations through transportation services; the production of those
fuels depends in turn on the use of electrical power, and those fuels are needed by
the transportation services. Evaluating these types of interdependencies is critical
when big natural calamities hit the grid, causing loss of power for extensive periods
of time. This interdependence is only going to increase over time, thereby necessi-
tating the development of modeling and simulation tools that can assess the risks
and possible impacts of critical events on quality of life by identifying factors that
trigger the domino effect between these infrastructures. Co‐simulation can be a
potential solution for this problem, an excellent survey on which was recently pre-
sented in [63].
Co‐simulation refers to a combination of theory and techniques to enable
global simulation of a coupled system via the composition of smaller simulators.
Each simulator is a black‐box mock‐up of a constituent infrastructure, whose model
is developed by its respective operator, allowing for each operator to work on his
part of the problem with his own domain‐specific tools. An alternative to co‐simu-
lation is co‐modelling, where models of the different infrastructures must be
described in a unified language, and then simulated. There are advantages to this
approach, but each domain has its own particularities when it comes to simulation,
as a result of which it is impractical to find a unified language and simulation
algorithm that fits all.
A recent study was done by Sandia National Laboratory in [64] about
shock propagation and physical‐to‐market feedback for US natural gas using
agent‐based modeling and state‐space dynamic models. These models capture
the non‐equilibrium and endogenous feedback aspects representing the natural
gas system, considering various infrastructure constraints. A related study on co‐
simulation was done in [65] using the idea of co‐optimization. Co‐optimization
600 Chapter 11 Smart Grid Simulations and Control

models are computer‐aided decision‐support tools that search among possible

combinations of different infrastructure‐level investments to identify integrated
solutions that are best in terms of cost or other objectives, while satisfying all
physical, economic, environmental, and policy constraints. The work in [65]
reviewed the state‐of‐the‐art in power system expansion planning tools, including
existing co‐optimization models, and also summarized data and computational
requirements for simulating co‐optimization models. The conclusion was that
co‐optimization‐based modeling and simulations can be excellent tools for
system expansion planning, and especially important for power systems given the
large transmission investments that are anticipated to promote interregional
power trades and renewable integration.
A typical co‐simulation may consist of one or more of the following topics [63]:

1. Numerical analysis where conditioning, accuracy, and stability of the cou-

pled system model must be addressed.
2. Differential‐algebraic system simulation: the compositions of co‐simulation
units, generally speaking, are made through algebraic constraints, similar to
the power system model.
3. Hybrid systems: co‐simulation scenarios, generally speaking, involve hybrid
systems where both continuous‐time state transitions and discrete‐event
switchings are involved.
4. Hierarchy: Interconnected models of infrastructures are often hierarchical,
and thus their co‐simulation scenarios must be hierarchical too.
Compositionality properties of co‐simulations are, therefore, important
research challenges.
5. Formal verification: co‐simulation orchestrators must be equipped with
proper formal verification methods to coordinate the information flows bet-
ween different computers running models of different infrastructures.
6. Structure and timescales: Different infrastructures may have different struc-
tural properties in their dynamics, and different time constants, all of which
are reflected in their co‐simulations.
7. Time‐varying models: Many subsystems, including power systems, can also
have different models at different levels of abstractions while the same simu-
lation is running. The relationships between these models must be known so
that correct switching between the levels of abstraction can be made at the
correct time instants.

Co‐simulations can facilitate fast automated decision‐making for grid operators

during emergency conditions. A significant amount of research still needs to be
done, for example, on developing efficient algorithms for discrete‐event based co‐
simulation models, their compositional convergence, hybrid co‐simulations,
identification and handling of discontinuities, Zeno behavior, real‐time constraints,
and also the corresponding simulation standards [63].
 11.4 CHALLENGES FOR GRID SIMULATION 601

11.4.8 Cyber‐Physical Modeling and Simulations

Distributed control in tomorrow’s grid would require a robust and resilient communi-
cation backbone by which large volumes of grid data could be transported from one
part of the grid to another in real‐time. It is critically important to develop simulation
packages for testing and validation of these cyber and physical layers, and also the
way in which these two layers interact. Challenges in modeling and simulation on the
communication plane, for example, can arise from modeling of delays, queuing,
packet loss, routing, bandwidth sharing, and load balancing. Other important chal-
lenges can arise from inter‐operability standards, interfacing middleware, security
and privacy constraints. One recent example of such a CPS simulator is GridSim [68].
The data delivery component in this simulation platform, also referred to as GridStat,
is a publish‐subscribe middleware, which allows for encrypted multicast delivery of
data. GridStat is designed to meet the requirements of emerging control and protec-
tion applications that require data delivery latencies of the order of 10–20 ms over
hundreds of miles with extremely high availability. Simulation platforms such as
GridStat, however, are just starting points for research. Much more advanced cyber
emulators need to be developed. One outstanding challenge is to develop a reliable
communication software that will enable timely delivery, high reliability, and secure
networking for these emulators. Timeliness of message requires guaranteed upper
bounds on end‐to‐end latencies of packets. Legacy networking devices do not provide
such guarantees, either for commodity Internet connections or for contemporary pro-
prietary IP‐based networks that power providers may operate on. Moreover, simula-
tion engines need to be integrated into action adapter modules so that results from the
monitoring algorithms can be exported to a custom SQL database that can be visual-
ized, and set to trigger alerts or alarms whenever, for example, damping levels of
oscillatory modes fall below pre‐specified thresholds. These alarm signals need to be
communicated to the operator through a reliable communication network.
Two primary applications in a control center where CPS simulation will
become essential in the foreseeable future are SCADA (System Control and Data
Acquisition) and wide‐area monitoring, protection and control (WAMPAC).
SCADA forms a major part in power system operations as it represents a central
point through which the grid is supervised and control decisions are taken.
Interruptions in grid operations due to major accidents caused by faults, natural
events, market flaws or attacks could cause massive damage, financial losses, and
even physical destruction or loss of life, either directly or indirectly. The primary
role of SCADA is to improve the visibility and reliability of the grid so that such
critical failures can be avoided as much as possible. Currently, many software pack-
ages come with SCADA simulation modules. Examples include Powerworld,
ETAP, Algor, Gothic, etc. These software provide model‐driven SCADA with intu-
itive real‐time visualization and analyses using an intelligent graphical user inter-
face, one‐line diagrams, geospatial views, and digital dashboards. Predictive
simulation, optimization and automation, operator training simulator, online and
archive data trending, and E‐SCADA communication and applications are some of
the common modules in these SCADA packages.
602 Chapter 11 Smart Grid Simulations and Control

Recent research trends, however, indicate that, in the near future, control cen-
ters will require hybrid software‐hardware simulation platforms for SCADA and
contingency analysis. One example is the Graphic Contingency Analysis (GCA)
tool developed in Pacific Northwest National Laboratory (PNNL) to provide effec-
tive decision‐making support to operators [70]. A SCADA‐based state estimation
(SE) simulator has been developed recently at Washington State University using
the GridSim simulation platform [71]. More advanced SCADA emulators based on
Synchrophasor data need to be developed in future. These emulators will require a
very robust CPS platform for processing of PMU data at the substation level, fast
communication of the results to the control center, and synchronization of the data
at the control center before it finally calculates a state estimate (SE) for an entire
power system model. The CPS simulator can also be used to investigate possible
failure scenarios and cyber‐attacks in the communications network. For example,
when some jitter occurs in the data delivery between the substation and the commu-
nication network, SE results at the control center can suffer from both errors and
slow convergence. Oscillation monitoring and control systems, on the other hand,
are meant for real‐time monitoring and control of problematic electromechanical
oscillations in transmissions grid using multiple streams of system‐wide PMU
measurements. The monitoring may be triggered by disturbance events, or may be
completely ambient. Oscillation monitors combine advanced signal‐processing
algorithms with heuristic expert system rules to automatically extract the damping
ratio, frequency, and mode shape of poorly damped electromechanical oscillations
from power system measurements. For example, considering a small‐signal model
of the system, the impulse response of any voltage, phase angle, or frequency
measurement following a disturbance can be decomposed as
r n
j t j t
y t y0 t ri e i i rk e k k (11.20)

DC modes 
i 1

k r 1

ys t : Inter-area modes y f t : Intra -area modes

The number r is selected such that ωi ϵ (0, 4π] rad/s, assuming that all inter‐area
modes for the system are less than 2 Hz. Depending on baselining of the system
using historical PMU data, this range can be expanded or reduced for better
estimation. Many newer software such as RTDMS (real‐time dynamics monitoring
system), PGDA (phasor grid data analyzer), and GridSim come with prototype soft-
ware for online oscillation monitoring. In the near future, these simulation engines
need to be integrated into action adapter modules so that results from the moni-
toring algorithms can be exported to a custom SQL database that can be visualized,
and set to trigger alerts or alarms whenever damping levels of oscillatory modes fall
below pre‐specified thresholds. These alarm signals need to be communicated to
the operator through a reliable communication network. The operator can then take
manual action to bring the damping back to acceptable levels.
Figure 11.1 shows a cyber‐physical architecture that can enable these func-
tionalities. This architecture reflects the three pillars or the three Cs of any typical
 11.4 CHALLENGES FOR GRID SIMULATION 603

Area 1 Area 4
u1(t) u8(t)

u2(t) u9(t)

u3(t) u10(t)

Power
Transmission
Network

u4(t)
u6(t)

Area 2 Area 3
u5(t)
u7(t)
Control signals Control signals
back to PSS back to PSS

x6(t) x7(t)
x4(t) x5(t)
VM VM VM VM

Local cloud in Local cloud in

Area 2 Area 3

x3(t)
VM VM VM VM x (t)
9
x1(t)
x10(t)
x2(t) VM x8(t)
VM

Local cloud in Area 1 Local cloud in Area 4

Internet of Clouds
Figure 11.1 Cloud‐in‐the loop architecture for wide‐area control of power systems [71].
(See electronic version for color representation of this figure.)
604 Chapter 11 Smart Grid Simulations and Control

cyber‐physical system, namely communication, computing, and control. One may

use advanced networking concepts such as software defined networking (SDN) and
network function virtualization (NFV) to model communication, cloud computing
for computation, and various distributed nonlinear control designs for control. The
figure shows the example of a transmission network representing the physical layer,
but the same architecture can very well be applied to distribution systems as well.
The power system is divided into multiple non‐overlapping areas that may repre-
sent balancing regions belonging to different utility companies. Time‐synchronized
PMU measurements from local buses inside each area are first communicated to a
phasor data concentrator (PDC) at the local substation, from where they are sent to
virtual computers residing in a local cloud. The virtual computers are denoted as
VM (virtual machine) in Figure 11.1. The geographical location of the VMs can be
close to the generators in that area so that the latency from PDC‐to‐cloud commu-
nication is small. The local clouds themselves constitute an Internet of clouds that
connects the VMs through an advanced, secure, third‐party wide‐area communica-
tion network such as SDN. Virtual machines in each local cloud communicate with
their neighboring machines inside the cloud as well as to those across other clouds
exchanging PMU data using SDN, and computing control signals via pre‐embedded
state and output feedback laws. The control signals are, thereafter, transmitted back
from the local cloud to the actuators of the corresponding generators in that area.
The resulting closed‐loop wide‐area control system is referred to as cloud‐in‐the‐
loop wide‐area control.
Data delivery latency and loss rate are important factors in the performance
of wide‐area control and protection applications. In recent years, simulation plat-
forms such as ExoGENI‐WAMS have been developed [67], where the computation
and communication planes are entirely shifted away from the physical infrastruc-
ture, as shown in Figure 11.1. Service‐based third‐party private clouds are used to
create on‐the‐fly virtual machines, which continuously receive real‐time streaming
data from specific sets of PMUs, and exchange them with both intra‐cloud and
inter‐cloud VMs through a wide‐area network such as Internet2. The measurements
are digitally represented as a periodic stream of data points. The data delivery infra-
structure for supporting these types of applications is still evolving. Another
example of a CPS simulator is GridSim [68]. The data delivery component in this
simulation platform, also referred to as GridStat, is a publish‐subscribe middle-
ware, which allows for encrypted multicast delivery of data. GridStat is designed to
meet the requirements of emerging control and protection applications that require
data delivery latencies on the order of 10 to 20 ms over hundreds of miles with
extremely high availability.
Similar to GridStat, the VMs in any cloud‐in‐the‐loop CPS simulator may
consist of two communication planes, namely a data plane and a management
plane. The data plane is a collection of forwarding engines (FEs) designed to route
received messages quickly on to the next VMs. The FEs are entirely dedicated to
delivering messages from publishers to subscribers. Routing configuration
information is delivered to the FEs from the management plane. The forwarding
 11.5 NEXT‐GENERATION GRID CONTROL SYSTEMS 605

latency through an FE implemented in software is generally on the order of 100

microseconds, and with network processor hardware it is less than 10 microsec-
onds. The management plane, on the other hand, is a set of controllers, called QoS
brokers, that manage the FEs of the data plane for every VM. The QoS brokers
can be organized in a hierarchy to reflect the natural hierarchy in the physical
­infrastructure of the grid model. When a subscriber wishes to receive data from
a publisher, it communicates with a QoS broker which designs a route for the
data, and delivers the routing information to the relevant FEs and VMs, creating
the subscription.
It should be noted that simulation platforms such as GridStat are just starting
points for research. Much more advanced cyber emulators need to be developed for
the future grid. One outstanding challenge is to develop a reliable communication
software that will enable timely delivery, high reliability, and secure networking for
these emulators. This is needed for all applications, whether that be on the transmis-
sion side or distribution side. Timeliness of message requires guaranteed upper
bounds on end‐to‐end latencies of packets. Legacy networking devices do not
­provide such guarantees, either for commodity Internet connections or for con-
temporary proprietary IP‐based networks that might be used by power providers.
Moreover, direct communication lacks re‐routing capabilities under real‐time con-
straints, and resorts to historic data when communication links fail. A promising
solution for both timeliness and link‐failures is the idea of distributed hash tables
(DHTs), which was recently introduced for wide‐area control applications in [69].
The idea is very general, and can be applied to other applications as well.

11.5 NEXT‐GENERATION GRID CONTROL SYSTEMS

11.5.1 Wide‐area Control

In the current state‐of‐the‐art, power system controllers, especially the ones that are
responsible for transient stability and power oscillation damping, are all operated in
a decentralized and uncoordinated fashion using local output feedback only. With
rapid modernization of the grid, however, these local controllers will not be tenable
over the long term. Instead, system‐wide coordinated controllers will become
essential. Such controllers, where signals measured at one part of the network are
communicated to other remote parts for feedback, are called wide‐area controllers.
Over the past few years several researchers have studied PMU data‐driven wide‐
area control designs using H∞ control [38–40], linear matrix inequalities (LMIs)
and conic programming [41], wide‐area protection [42], model reduction and con-
trol inversion [43], adaptive control [44], linear quadratic regulator‐based optimal
control [45–47], and so on, complemented with insightful case studies of controller
implementation for various real power systems such as the US west coast grid [48],
Hydro Quebec [49], Nordic system [50, 51], and power systems in China [52],
Australia [53], and Mexico [54]. Papers such as [45, 46] have posed a typical
606 Chapter 11 Smart Grid Simulations and Control

wide‐area oscillation damping control problem as a constrained optimal control

problem of the form:

1
min K J x t t Qx t ut t ru t dt
20
s.t., x t ax t Bu t (11.21)
u t Kxˆ t , K  , Q 0, r 0,

where xˆ (t ) is an estimate of the grid state. The choice of the objective function J
depends on the goal for wide‐area control. For power oscillation damping, this
function is often simply just chosen as the total energy contained in the states and
inputs as in (11.21). For wide‐area voltage control, it can be chosen as the setpoint
regulation error for the voltages at desired buses, while for wide‐area protection
it can be chosen as the total amount of time taken to trigger relays so that fault
­currents do not exceed their maximum values. The set  is a structure set that
­determines the topology of the underlying communication network. In the current
state‐of‐the‐art, most synchronous generators operate under completely decentral-
ized feedback from its own speed measurement only. Thus in today’s power grid the
structure set  is reflected in K as

K1 0 0 0
0 K2 0 0
K , Ki 0 1 0 0 0 (11.22)

0 0 0 Kn

where Ki is the PSS controller for the ith generator, i 1, , n . However, as pointed
out before, decentralized feedback can damp only the high‐frequency oscillations
in the power flows. Their impact on inter‐area oscillations that typically fall in the
range of 0.1–2 Hz is usually small [4]. Inter‐area oscillations arise due to various
coherent clusters in the power network oscillating against each other following a
disturbance. If left undamped they can result in catastrophic failures in the grid.
Over the past few years utility companies have gradually started moving away from
the structure in (11.22) to a slightly more global structure as

K1 0 0 0
0 K2 0 0
K (11.23)

0 0 0 Kr

where K i  ni 5 ni , ni being the number of generators within the operating region of

the ith utility company, and r being the total number of such companies. All the
elements of the block matrix Ki may be non‐zero, meaning that the generators
 11.5 NEXT‐GENERATION GRID CONTROL SYSTEMS 607

inside an area communicate their state information with each other to compute their
control signals. The resulting controller K is block‐diagonal, and, therefore, a better
wide‐area controller than (11.22) since here at least the local generators are allowed
to interact. An ideal wide‐area controller, however, would be one whose off‐block‐
diagonal entries are non‐zero as well, meaning that generators across the operating
areas of different companies are allowed to exchange state information. In the worst
case, K can be a standard linear quadratic Gaussian (LQG) controller, and therefore
a dense matrix with every element non‐zero, which means that the communication
topology is a complete graph. In reality, however, all‐to‐all communication can be
quite expensive due to the cost of renting communication links in the cloud, if not
unnecessary. Papers such as [46] have proposed various graph sparsification algo-
rithms based on ł1‐optimization to develop controllers that require far fewer com-
munication links without losing any significant closed‐loop performance. Papers
such as [45], on the other hand, have proposed the use of modal participation factors
between generator states and the inter‐area oscillation modes to promote network
sparsity in a more structured way. Several questions arise from the design problem
stated in (11.21). For example:

1. In practice, given the size and complexity of any typical grid, the exact values
of the matrices A and B are highly unlikely to be known perfectly. Moreover,
the entries in these matrices can change from one event to another. Therefore,
just one dedicated model created from a one‐time system identification may
not be suitable. Thus, one pertinent question is: how can one extend the
model‐based design in (11.23) to a more measurement‐based approach where
online PMU measurements from different parts of the grid can be used to
estimate the small‐signal model of the grid, preferably in a recursive way,
based upon which the control signals can be updated accordingly? This
estimation should also be preferably carried out in a distributed way over the
sparse communication topology generated from the controller. While tradi-
tional notions of adaptive control can be highly useful here, the speed of
estimation may suffer if the entire model needs to be estimated. Newer ideas
from reinforcement learning, adaptive dynamic programming, and Q‐learning
can be useful alternatives in this case as they tend to optimize the objective
function directly by bypassing the need for estimating the model.
2. Another question is: is it necessary to base the design of the wide‐area controller
u(t) on the entire state‐space model (23), or does it suffice to design it using a
reduced‐order model only? For example, one can make use of singular pertur-
bation‐based model reduction for designing u(t) in a highly scalable way for
consensus networks using a hierarchical control architecture. This is especially
true if the grid exhibits spatial clustering of generators due to coherency.
Therefore, one idea could be to estimate a reduced‐order network model, where
every network node represents an equivalent generator representing an entire
cluster, design an aggregated control input for each equivalent generator, and
then broadcast the respective inputs to every generator inside that cluster for
608 Chapter 11 Smart Grid Simulations and Control

actuation. Open questions for these types of designs would include proofs
for stability, sensitivity of closed‐loop performance to estimation and model
reduction errors, derivation of numerical bounds for closed‐loop performance
as a function of the granularity of model reduction, and so on.
Many other CPS‐centric design and implementation questions related to scalability,
centralized versus distributed implementation, speed of computation, big data ana-
lytics in the loop, and co‐dependence of (11.23) on other state estimation and con-
trol loops (for example, those using SCADA) can also arise.

11.5.2 Cyber‐Physical Challenges for Wide‐area Control

One of the biggest roadblocks for wide‐area control is that the current power grid
IT infrastructure is rigid and low capacity as it is mostly based on a closed‐mission
specific architecture. The current push to adopt the existing TCP/IP‐based open
Internet and high‐performance computing technologies such as the NASPInet [73,
74] would not be enough to meet the requirement for collecting and processing very
large volumes of real‐time data produced by such thousands of PMUs. Secondly, as
pointed out before, the impact of the unreliable and insecure communication and
computation infrastructure, especially long delays and packet loss uncertainties
over wide‐area networks, on the development of new wide‐area applications is not
well understood.
For example, as shown in Figure 11.2, uncontrolled delays in a network can
easily destabilize the closed‐loop response of a wide‐area linear quadratic regulator
(LQR) based oscillation control system. The need to have accurate delay models
and network synchronization rules is absolutely critical for wide‐area control since
the timescale of the physical control loop is of the order of tens of seconds to a few
minutes, while the spatial scale can range over thousands of miles, for example, the

10
Ω1
Inter-area frequency (rad/sec)

Ω2
8
Ω3

2
0 50 100 150 200
Iteration (k)
Figure 11.2 Instability due to asynchronous delays. (See electronic version for color
representation of this figure.)
 11.5 NEXT‐GENERATION GRID CONTROL SYSTEMS 609

entire west coast of the US. The existing PMU standards, IEEE C37.118 and IEC
61850, only specify the sensory data format and communication requirements.
They do not indicate any dynamic performance standard for the closed‐loop system.
Control and simulation frameworks need to be built where we can explicitly show
how the closed‐loop dynamic responses of phase angles, frequencies, voltages, and
current phasors at any part of a grid model are correlated to network delays that
arise from transport, routing, and most importantly, from scheduling, as other appli-
cations are running in the shared network. In recent literature, several researchers
have looked into delay mitigation in wide‐area control loops [76–80], including the
recent seminal work of Vittal and co‐authors in [81] where ∞ controllers were
designed for redundancy and delay insensitivity. All of these designs are, however,
based on worst‐case delays, which makes the controller unnecessarily restrictive,
and may degrade closed‐loop performance.
Besides protocols, yet another question is: how can such a wide‐area commu-
nication network be guaranteed to be economically viable? Installation of commu-
nication links for transporting feedback data from PMUs to PDCs, especially across
utilities, needs a significant financial investment, all of which must be borne by the
utilities themselves. However, due to differences in geographical locations, physical
topology and coupling with neighboring areas, different areas may have vastly dif-
ferent requirements for inter‐area feedback, and therefore for the number of com-
munication links and their associated costs. It would be highly unfair to divide the
total installation cost equally among the companies as each of them has a different
pay‐off for the control objective they are jointly trying to achieve for the entire
system. All these issues lead to three sets of pertinent questions:

•• What may be the most common queuing protocols for transmitting PMU data
over a shared wide‐area communication network? How will prior knowledge
of these protocols help one in estimating variable queuing delays, and subse-
quently using that knowledge for designing delay‐aware wide‐area control
designs instead of the traditional approach of delay‐tolerance? Ideas from
real‐time calculus and arbitrated network control systems, both of which have
recently been shown to be highly promising tools for this purpose in embedded
system designs [82], can be used for this analysis. The goal here should be
twofold: first, to characterize the closed‐loop response of a large power grid
in terms of distinct performance metrics; and second, to derive analytical
expressions for the error bounds between ideal designs and delay‐aware
designs as explicit functions of the queuing protocols.
•• How can various utility companies jointly decide upon the use and deploy-
ment of communication links for achieving global control objectives in the
most economical way? How much cost‐benefit does any specific company
gain by transcending from selfish control to system‐level wide‐area control?
Ideas of cooperative game theory with distributed real‐time control methods
need to be combined for developing cost‐sharing mechanisms for controls
with and without network delays.
610 Chapter 11 Smart Grid Simulations and Control

•• How can we ensure security and resiliency of wide‐area computing and

­communication architectures against attacks and failures? Using existing
networking solutions, one must evaluate distributed server‐based and
peer‐based architectures, and their potential use in the security of wide‐
area control.
For example, consider a power system network with n buses. Consider the network
to be divided into M areas belong to M different utility companies (these areas need
not be coherent [85]), where area i has ni states and pi controllers. Sorting the states
in terms of the areas, we can write the small‐signal model as:

x 1 t a11 a12  a1m x1 t B1 u1 t

x 2 t a21 a22  a2 m x2 t B2 u2 t d t
B
    
x m t am 1 am 2  amm xm t Bm um t

a

where for area i: x i (t )  ni 1 is the vector of states, u i (t )  pi 1 is the vector of

excitation control inputs, and d(t) is the scalar disturbance input. The PMU mea-
surements of voltage, phase angle, frequency and currents at different buses in
these areas are accordingly denoted as y(t) = Cx(t). Obviously, if any output
feedback control of the form u = −Ky needs to be implemented, whether it be a
LQR‐type design or any other wide‐area damping control design, PMU data
from one area will need to be communicated to actuators in other areas as indi-
cated by the non‐zero entries of K. As indicated earlier, the wide‐area control
problem can be cast as a LQR state‐feedback problem. The feedback will involve
an end‐to‐end delay. One may classify the delays into three types, namely (1)
small delays τs if the feedback measurements are communicated from PMUs
located very close to a given controller, (2) medium delays τm if the measure-
ments are communicated from PMUs from more distant buses but still within the
operating region of the same utility company, and finally (3) large delays τl if the
measurements are communicated from remote buses that belong to a different
company. But the important point to understand here is that if the communica-
tion is executed over a shared network, then a significant part of τs, τm and τl
will include delays from scheduling and routing. One challenge is to study the
various data transmission protocols to understand these scheduling patterns,
and to study how the delays evolving from these schedules may be estimated and
exploited for designing u(t). The details of this implementation can be described
as follows.

Step 1: Local state estimation. The first task is to implement a distributed

control strategy using real‐time algorithms such as MPC, taking into account the
voltage limit constraints of the excitation system. For this one must run a local
 11.5 NEXT‐GENERATION GRID CONTROL SYSTEMS 611

phasor state estimator in discrete‐time with gain Li at the control center of every ith
area, exchanging outputs with its neighboring areas  i as:

xi k 1 aii xi k Bii ui k ail xl k Bil ul k

l ni
(11.24)
li k yi k Cii xi k

Step 2: Prediction of state/output estimates. Real‐time optimal control

requires estimates of the states and outputs over the entire prediction horizon from
time t + 1 until time t + Np, and can only make these predictions based on information
up to and including the current time t. Equation (11.24) can be used to obtain
xi (k 1), and optimal estimates can be obtained by forwarding the time index from
k to k + j where j = 1, ⋯, Np.

Step 3: State trajectory communication. The calculated state trajectories

are then sent to the control agents of the neighboring areas via inter‐area
communication, while those of the same area, but from the previous iteration, are
broadcast to the controllers via intra‐area communication.

Step 4: Solve global optimization problem. At each iteration, an objective

function is minimized to solve for the optimal input trajectory. This objective
function can be any arbitrary nonlinear function of all the states and the inputs,
representing a system‐level stability or performance metric. A specific example is
the transient energy function of structure‐preserving models of power systems, an
excellent illustration of which has recently been presented in [86]. Energy function,
in fact, is a convenient choice for designing power system stabilizers (PSSs) via
excitation control, and therefore will be used for our control problem. A quadratic
LQR‐type transient energy function, for example, can be of the form:

np 1

Ji xˆ ict1:m k j Qxˆ ic 1:m k j uict1:m k j ruic 1:m k j (11.25)

j 1

Step 5: Input trajectory communication. Calculated optimal input

trajectories are communicated and exchanged with neighboring areas.

Step 6: Check convergence and repeat. Whether or not to proceed to the

next iteration is determined by the convergence of the objective function to its
minimum value, achieved via appropriate numerical algorithms such as interior‐
point methods.
Steps 3 and 5 involve inter‐area communication, and therefore will be sub-
jected to the three types of delay, τs, τm and τl. We next highlight how these delays
612 Chapter 11 Smart Grid Simulations and Control

may potentially depend upon the scheduling protocols of the shared network,
denoted by the set  , and propose strategies by which the control design steps may
be adapted to be aware of these delays, instead of being simply tolerant.

11.5.3 Scheduling Protocols

Consider three arbitrary applications, say 1, 2 and 3, sharing bandwidth over a
local network. 1 transmits PMU data yi(t) for all PMUs belonging to that area for
the purpose of output feedback control (or perhaps the control trajectory itself fol-
lowing from Step 5 above). 2 transmits the same data, but with a possibly lower
resolution for phasor state estimation (SE), while 3 transmits the same with a sig-
nificantly lower resolution for SCADA/EMS type applications such as topology
updates, which in turn provide necessary parameter adaptations to the control loops.
1 (control) will run with the highest data exporting rate (30–60 samples/sec). 2
may run at a lower rate (10–15 samples/sec) to save bandwidth. 3 is only meant to
capture very slow parameter variations during the disturbance event, and hence
may run at 1–3 samples/sec. Even in the most optimistic scenario when 2 and 3
may not be necessary (i.e., the network is only dedicated to wide‐area feedback),
the bandwidth sharing problem, unfortunately, still cannot be avoided precisely
because of the multi‐input, multi‐output nature of the controller in Step 5, where
multiple PMU data streams must be accommodated through the same network. One
may consider common time‐duplexed means of carrying payload for control versus
other tasks. Three specific scheduling protocols that are envisioned to become
tailor‐made for wide‐area communication are as follows [87]:

Protocol 1: Say, the total number of samples measured by a PMU between

two control updates, u(k − 1) and u(k), is nk. Then in this protocol one can choose a
fixed number p and divide nk into p slots (up to modulo precision). Figure 11.3
illustrates the idea using p = 3 for three PMUs. Here, all three PMU data needed
between two subsequent control input updates is divided into three equal (or unequal,
depending on the data exporting rate) chunks. The first chunk, needed for the control
application 1 is sent over a time interval of τ1. Then, a downsampled version of this
chunk is sent for the SE application 2 over a time interval τ2, followed by a further
downsampled version for 3 sent over a time‐slot of τ3. Obviously, depending on the
downsampling rate, one can conclude that τ1 ≥ τ2 ≥ τ3. After that, the next third of
the full‐sampled PMU data are again sent for 1 over a time‐slot of τ1, and so on. The
protocol is easy to implement, and may be ideal when the inter‐area grid topology is
sufficiently observable (leading to lesser complexity of SE).

Protocol 2: Fixed slot‐lengths, however, may restrict flexibility in

exploiting the delay information for control. Therefore, taking a hint from cable
area networks (CANs) one can consider this protocol where every cycle between
the control updates consists of a static and a dynamic segment (slot) [82]. Consider
the size of each slot to be large enough to include the communication stack overhead,
 11.5 NEXT‐GENERATION GRID CONTROL SYSTEMS 613

PMU 1

τ1 τ2 τ3 τ1 τ2 τ3 τ1 τ2 τ3

Control State SCADA

estimation

PMU 2

τ1 τ2 τ3 τ1 τ2 τ3 τ1 τ2 τ3

PMU 3

τ1 τ2 τ3 τ1 τ2 τ3 τ1 τ2 τ3

τ1 + τ2 + τ3 τ1 + τ2 + τ3 τ1 + τ2 + τ3

Figure 11.3 Protocol 1 with fixed time‐slots for every application running sequentially.
(See electronic version for color representation of this figure.)

such as frame packing and unpacking times of each message from each PMU. As
shown in Figure 11.4, τ3 is kept static, while τ1 + τ2 is dynamically divided into
several mini‐slots to facilitate 1 and 2. The goal should be to design this multi‐
modal structure for the communication network so that we can change the priority
of messages, and regulate the relative proportions of the delays for 1 and 2. The
same rule applies for wide‐area networks, as shown in Figure 11.4b, although the
SCADA communication may not be applicable there. Other non‐power application
services, however, may run in the wide‐area network slots in a predetermined way,
which, in turn, will force both 1 and 2 to wait.

Protocol 3: This can be similar to protocol 2 except here the prioritization

rule will be decided by the identity of the PMUs, and not of the application. This
means that instead of sending data from PMU1, PMU2, PMU3 in parallel over τ1
for 1, we will send them serially by dividing τ1 into dynamic mini‐slots. Whichever
PMU has the highest participation factor (computed a priori) for the specific
controller u(k) should be given the highest priority.

11.5.4 Co‐designing Wide‐area Control in Tandem

with Communication Protocols
The next question is: how can the controller in Steps 1–5 be co‐designed with the
information about τs, τm and τl, all of which depend on  following from above?
614 Chapter 11 Smart Grid Simulations and Control

(a)
Control SE Control SE Control SE SCADA Control SE Blank SE Control Blank
PMU 1

Slot alloted to Other

other apps
applications
τ11 τ12 τ21 τ22 τ31 τ32
τ11 τ12 τ3 τ21 τ22 τ4
PMU 2
PMU 3

τ11 τ12 τ21 τ22 τ31 τ32

τ11 τ12 τ3 τ21 τ22 τ4
τ1 + τ2 τ3 τ = τpower + τother

Protocol 2 for Intra-area network Protocol 2 for Software-Defined

Inter-area network

(b)
Control SE Blank SE Control Blank
Slot alloted to
other Other
PMU 1 applications apps

τ11 τ12 τ3 τ21 τ22 τ4

PMU 2

PMU 3

τ11 τ12 τ3 τ21 τ22 τ4

τ = τpower + τother

Figure 11.4 Protocol 2 with variable and adjustable slots. (a) For intra‐area network.
(b) For wide‐area network. (See electronic version for color representation of this figure.)

The conventional approach is to hold the controller update until all the messages
arrive at the end of the cycle. However, this approach usually results in poor closed‐
loop performance. Our alternative approach, therefore, will be to (1) design the
time‐slots τ1, τ2, etc., for protocols 1, 2 and 3, and then (2) update the control input
as new information arrives instead of waiting until the end of the cycle. If tweaking
the protocols is difficult, then an alternative strategy can be to estimate the upper
bounds for the delays using real‐time calculus [88]. The approach is referred to as
arbitration, which is an emerging topic of interest in network control systems [89,
90]. Based on the execution of the three protocols, we will define two modes for the
delays, namely nominal and overrun. If the messages meet their intended deadlines,
 11.5 NEXT‐GENERATION GRID CONTROL SYSTEMS 615

we denote them as nominal. If they do not arrive by that deadline, we refer to them
as overruns. Defining two parameters τth1 and τth2 such that τth1 ≤ τth2, one can define
nominal, skip, and abort cases as:
•• If the message has a delay of less than τth1, we consider the message as the
nominal message of the system and no overrun strategy will be activated.
•• If the message suffers a delay greater than τth1 and less than τth2, the message
will be computed; however, the computations of the following message will
be skipped.
•• If the message suffers a delay greater than τth2, the computations of the mes-
sage will be aborted, and the message is dropped. This strategy is motivated
by assuming that the messages will be significantly delayed, and are no longer
useful.
Accordingly, a feasible way to formulate our execution rules can be: (1) if
τth1 ≤ τth2 ≤ τwcet, where τwcet is the worst case delay of the system, both abort and skip
can happen; (2) Abort Only: if τth1 = τth2 < τwcet, the message will be dropped if they
miss their first deadline; and (3) Skip Only: if τth1 ≤ τwcet and τth2 ≥ τwcet. One idea would
be to set τth2 = τwcet to develop a constructive strategy to determine τth1. An interesting
research direction is to design and compare the combination of these three imple-
mentation strategies for each of the three protocols proposed for queuing. One can
anticipate this step to be a significant improvement over conventional network con-
trol designs in terms of both closed‐loop performance and resource utilization.

11.5.5 Plug‐and‐play Control of DERs

The shift of energy supply from large central generating stations to smaller DERs
is accelerating at a very rapid pace. DERs are also often referred to as inverter‐
based resources (IBRs). The challenge is that existing voltage and frequency con-
trol mechanisms in today’s legacy power system may not be able to keep up with
the unpredictable rate at which these IBRs are being added. Their voltage control-
lers need to be local, decentralized, and modular in both design and implementa-
tion. This means that the design of one controller should not depend on that of
another, and nor should either of these two controllers need to be updated when a
third IBR is added in the future. Researchers in [55] have recently developed a con-
trol method called retrofit control by which these types of plug‐and‐play controllers
can be designed for IBR buses. The efficacy of this method for voltage and fre-
quency stability, however, is still an open question.
The basic idea behind retrofit control is as follows. Imagine a pre‐existing
network of dynamic agents operating with internal stabilizing controllers. A new
agent, with potentially heterogeneous dynamics, is added to this network in such a
way that it destabilizes the network model. One option to mitigate this would be to
redesign every single controller of the pre‐existing network so that they can safely
accommodate the new node. However, such redesigns can be extremely tedious and
computationally expensive when the pre‐existing network has thousands of nodes
616 Chapter 11 Smart Grid Simulations and Control

just like in a power system. In contrast, the retrofitting approach needs information
about the model of the new agent only, and designs a controller using local feedback
only from its internal states and the output that couples its dynamics with that of the
pre‐existing network. The design in [55] showed that this local controller can not
only guarantee stability, but can also improve dynamic performance of the closed‐
loop system with the new agent accommodated. These controllers are decentralized
in terms of both design and implementation meaning, such that the controller will
be actuated using local feedback measurements of voltage and reactive power at the
respective IBR buses only. For the purpose of controller testing, however, one may
also carry out simulations where one may make neighboring voltage controllers
communicate and exchange feedback to test whether this can lead to better dynamic
performance of their respective bus voltages. Too much communication, however,
will be discouraged, as the basic objective of the designed controllers is to maintain
modularity and plug‐and‐play without depending too much on the system dynamics.
One driving assumption behind these control architectures is that the trans-
mission grid is divided into multiple non‐overlapping control areas, where each
area has hundreds of synchronous generators, loads and IBRs. One natural question,
therefore, is that if any load inside any area is too high, then is it sufficient that only
IBRs and static VAR compensators (SVCs) in that particular area be controlled, or
do IBRs and SVCs in other areas need to be controlled as well? If so, then what
kind of information exchange needs to happen between the area‐level coordinators
in terms of voltage setpoints for their individual IBRs? One must employ area‐level
supervisors to keep track of all of the logistic information needed to control IBRs
and SVCs in different areas. Another idea for voltage control could also be to use
some load‐side control. New loads are coming into the grid, and some of them are
smart, meaning they can be controlled to some extent. One idea would be to study
whether load‐side control can be done in addition to retrofit control of IBRs to alle-
viate “voltage stress” inside areas in a rapid way.

11.5.6 Distributed Load Frequency Control

This hierarchical control‐area based architecture can be used not just for voltage
control, but for load frequency control (LFC) as well. In the current state‐of‐the‐art,
LFC is implemented by a combination of centralized control and broadcast messag-
ing. This means that every balancing area has an area‐level centralized AGC
(automatic generation control) unit which minimizes the area‐control‐error for fre-
quency deviation in that area, and thereby generates the correct setpoints for all the
generators in that area which is broadcast to the respective governors. With millions
of IBRs penetrating the grid in the near future, this conventional control architecture
needs a major change. Both IBRs and FACTS controllers such as STATCOMs can
be made to provide frequency regulation as an ancillary service by appropriate con-
trol mechanisms. The overall controllability of the grid is, therefore, only going to
increase with more and more of these control points being added, and the new
architecture must take advantage of that capability. One option could be to develop
 11.5 NEXT‐GENERATION GRID CONTROL SYSTEMS 617

a distributed LFC framework, where generators may continue to communicate with

their area‐level AGC units, but these AGC units must now communicate with many
other IBR controllers in a completely distributed way as well as with other AGC
units. The challenge is to come up with an efficient, robust control strategy that can
guarantee closed‐loop stability despite the intermittency of the IBRs. Model predic-
tive control (MPC) can be a viable candidate for this. Although MPC is a model‐
based method, it has been shown to provide robustness since it considers the
limitations of the grid operating conditions as hard constraints in the control design.
Distributed MPC (dMPC), for example, can be used to develop a distributed
LFC regulator between the IBRs and the synchronous generators. The control
architecture for frequency regulation and optimal dispatch can take advantage of
IBR‐specific properties, such as additional flexibility and controllability provided by
duty cycle control. The controller can be used to drive the average frequency error to
zero while ensuring that the frequency at every IBR bus is equal, and that the
operating point that results from this distribution is stable. More specifically, the
generators and IBRs need to be controlled such that: (1) generation and demand are
constantly balanced (primary control), (2) frequency is regulated (secondary con-
trol), and (3) costs of generation are minimized. All of these goals must be met
without violating any power output limits of the generation and IBR units. In today’s
power system, each of these objectives is achieved independently using a three‐lay-
ered generation control architecture. The bottom layer operates nearly instanta-
neously, and is responsible for balancing generation and demand. The primary
function of the middle layer is to regulate frequency, and properly interchange power
between the control areas [56]. The function of the top layer is to optimally dispatch
the generating units. Compared with the distributed MPC control architecture,
among these three control layers only the bottom one operates using completely
local information; the top two layers require centralized decision‐making.

11.5.7 Inner‐loop + Outer‐loop Hierarchical Control

The loads in the LFC loop will always vary continuously over time by small sto-
chastic variations on top of a nominal value. Large changes in certain industrial
loads can usually be predicted or scheduled sufficiently ahead of time so that the
required amount of generation resources can be reserved. When large loads change
at the scheduled instants of time, the internal duty cycle based controller in the rec-
tifier circuit of the converters gets triggered, and drive the steady‐state voltages and
currents to the respective setpoints using available power generation from wind and
solar PV. A challenge, however, may arise when any load changes significantly in
between the scheduled instants of operator commands in an unforeseen or unpre-
dicted way. For example, consider the following scenario. Consider that the load in
one area changes by a large amount suddenly. Hence, new set points need to be
computed, involving every synchronous generator and every IBR in the entire grid
for frequency regulation. But if that needs to be done in real time, then that would
take an enormous amount of time. An alternative idea could be as follows:
618 Chapter 11 Smart Grid Simulations and Control

1. Make area‐level IBRs, STATCOM controllers and synchronous generators

communicate with each other as in [56], and solve a local power flow. This is
referred to as inner‐loop computation. This local power flow, however, will
be incorrect as the true power flow would involve all grid variables. So for the
inner loop, at every iteration incorrect setpoints will be generated for the
IBRs. The IBR controller as well as the STATCOM controllers will try to
track this setpoint every time a new wrong setpoint comes in from the inner‐
loop iterations. In parallel, there can be an outer‐loop computation, which
accurately couples the inner‐loop power flow solutions, and iteratively gener-
ates the correct setpoints over a slower timescale than the inner‐loop itera-
tions. Eventually, over time, all IBRs and STATCOMs will get the correct
setpoints once the outer‐loop power flow converges.
2. A related question is: how will the IBR‐to‐IBR or IBR‐to‐STATCOM
information exchange inside an area (inner loop) as well as across the areas
(outer loop) be coupled to the conventional AGC loops of the synchronous gen-
erators? We must remember that the existing AGC controllers in the grid will
still be operating for frequency regulation. The additional IBR controllers need
to be integrated with them. One idea could be that only the outer‐loop setpoint
estimation communicates with the area‐control‐error (ACE) of the AGC unit in
that area, and they jointly try to cancel the ACE. The effectiveness of this
approach against conventional AGC needs to be tested using simulations.
In summary, a hierarchical approach for controlling DERs or IBRs can be simply to
include two layers of control: (1) an inner layer of IBR/STATCOM control for local
power (voltage + current) setpoint regulation; and (2) the outer‐layer MPC between
IBRs, STATCOMs and AGC units of synchronous generators across areas. The
area‐level supervisor will keep continuous track of how much headroom for power
is available from the wind and solar PV units inside the area, and accordingly assign
power‐sharing between the local IBRs. Note that the IBR and STATCOM control-
lers must operate under the previous setpoints for a certain period of time while the
inner‐loop power‐sharing loop converges. This convergence is not going to
be instantaneous, and in reality may take several seconds to spit out the correct
setpoints. Therefore, the controllers must be robust enough to guarantee that the
system does not become unstable under the incorrect setpoints, even if that lasts for
only a few seconds. Ideas from robust control theory and sensitivity analysis need
to be used to ensure this issue on top of the dMPC algorithm.

11.6 EXPERIMENTAL TESTBEDS
FOR SIMULATIONS AND CONTROL

In the current state‐of‐the‐art, using power system models and data for research
purposes is contingent upon accessing the real data from specific utility companies
that own the system assets at the locations of interest. Gaining access to such data
may not always be an easy task due to privacy and non‐disclosure issues. More
 11.7 CONCLUSIONS 619

importantly, in many circumstances even if real data are obtained, they may not be
sufficient to study the detailed operation of the entire system because of their limited
coverage. To resolve this problem, several CPS smart‐grid simulation testbeds have
recently been developed to facilitate hardware‐in‐loop simulation of different grid
applications including grid controls without the need for gaining access to real data.
Selected examples of such testbeds in the United States include CPS testbeds at
Washington State University using GridStat [68], cloud‐assisted wide‐area control
testbeds at North Carolina State University using ExoGENI [67], cyber‐security tes-
tbeds at Iowa State [58], TCIPG at the University of Illinois [59], DETER at the
University of Southern California [60], Idaho National Lab, Cornell University,
Pacific Northwest National Labs, and a big data hub at Texas A&M [61].
One pertinent question is whether these different simulation testbeds at dif-
ferent locations should be conjoined with each other to create a much bigger nation-
wide network of CPS testbeds. And if yes, then what are the most common
challenges for such a remote testbed federation? Developing protocols for usability
by different users, and potential safety hazards, are two examples of important chal-
lenges. Researchers are also contemplating making their testbeds open to the public
for accelerating research in the power and CPS community, but a robust economic
and ethics model for sharing access to private resources still needs to be developed.
Should there be a common centralized simulation testbed for accessing power
system model and data, one must also resolve standardization issues, communica-
tion issues, maintenance costs, and strategies for sustainability.
Another challenge for the users of the hundreds of existing simulations is that
none of them are compatible with each other. Using two different simulations
requires keeping up two different databases of input data, and being familiar with
two different sets of graphical outputs. This is not only true for different types of
applications but also of the same application marketed by different vendors. Thus, in
the current state‐of‐the‐art it is impossible to integrate these different simulation pro-
grams. The easiest way to encourage interoperability is to standardize the databases.
The data that go into these databases are proprietary to the utilities, and if the utilities
can agree on using a standard database, the simulation vendors will have to adopt it.
In the USA, the National Institute for Standards and Technology (NIST) has been
tasked to develop such standards. An earlier standard called the Common Information
Model (CIM) is now an IEC standard, and is slowly being adopted at different rates
in different countries. A similar effort should be made to standardize user interfaces.
If the database and user interface for a simulation is standardized, the ability to inte-
grate different simulators as mentioned above would become much simpler.

11.7 CONCLUSIONS

In this chapter, we covered the state‐of‐the‐art of power system simulation and

­controls, which has evolved since the 1960s by utilizing the rapidly increasing
power of digital computation. Increased computational capabilities have resulted
in more accurate modeling and more powerful algorithms that allow engineers
620 Chapter 11 Smart Grid Simulations and Control

many more analytical tools at their fingertips to obtain results. The challenge,
however, arises from a different direction. The grid itself is changing because of
the proliferation of new control technologies. New sources of renewable genera-
tion that are intermittent and have no rotating inertia are being added rapidly.
New types of loads such as electric vehicles and smart buildings are also prolifer-
ating. Power electronic converters and controllers are being introduced to connect
these new generation sources, load and storage devices to the grid. Many of these
new generation sources and electronics are being added to the distribution system
as well as on the customer side of the meter, thus making the operation of the
grid more complicated. Evidently, there are several challenges that need to be
surmounted in order to implement the proposed simulation methods and control
designs, requiring a strong knowledge of stochastic modeling, estimation theory,
distributed control, system identification, model reduction, robust control,
­optimization, and related topics in signal processing and computer science. We
hope that this topic will be viewed by power engineers as a challenging and
attractive opportunity in the coming days.

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 Ch a p t e r  12
ARtificial Intelligence
Applications in Renewable
Energy Systems and Smart
Grid – Some Novel
Applications
Bimal K. Bose

12.1 INTRODUCTION

What is artificial intelligence (AI)? AI is basically a computer emulation of human

intelligence, often called computational intelligence. A human brain with a
biological nervous system has natural intelligence and the ability to think, that is, to
learn, reason and comprehend. Can a computer really think and take intelligent
decisions? Or is it only as good as the program embedded into it? Computational
intelligence has been a debatable subject for a long time. It is true that the intelli-
gence of a computer is far inferior to the natural intelligence of a human being. But
it is also true that it can help in solving complex problems which are difficult to
solve by traditional methods. The AI technology evolution has been tremendous in
the last several decades, and it has been extensively applied in industrial process
control, geology, medicine, information management, military systems, space
exploration, finance, marketing, and so on.
AI can be basically classified into four different areas. These are: Expert
Systems (ES), fuzzy logic (FL), artificial neural network (ANN) or neural net-
work (NNW), and genetic algorithms (GA) or evolutionary computation (EC).
In recent years, AI technology has been almost synonymous with neural network
applications. In fact, the origins of AI theory go back to the days of George

Power Electronics in Renewable Energy Systems and Smart Grid: Technology and Applications,
First Edition. Edited by Bimal K. Bose.
© 2019 by The Institute of Electrical and Electronics Engineers, Inc.
Published 2019 by John Wiley & Sons, Inc.

625
626 Chapter 12 ARtificial Intelligence Applications

Boole, an English mathematician, when he theorized that human thinking is

basically based on “yes–no” principles, or “1–0” logic, and published his his-
toric paper “The Investigations on the Laws of Thoughts” in 1854. As a result of
this paper, Boolean algebra was gradually born and ushered in the modern‐day
digital computers. This also gave birth to the classical AI technique called Expert
Systems in the 1970s which is based on IF … THEN … rules or rule‐based sys-
tems, which were extensively used in the 1980s. Lotfi Zadeh, another mathema-
tician and computer scientist, invented FL in 1965, arguing that human thinking
is often fuzzy, vague, or imprecise in nature. A similar rule base is also valid in
FL, but the rules use multivalued logic, which will be discussed later. The GA
theory was proposed by John Holland in 1974. In this evolutionary method of
computation, a probabilistic method of solving optimization problems is used.
Following the principle of biological genetics, or Darwin’s theory of evolution,
biological terms such as population, offspring, cromosomes, reproduction, gen-
eration, crossover (or mating), mutation, fitness function, and convergence are
commonly used in GA theory. An initial population (a series of binary strings) is
assumed and then optimization is reached over several generations. While ES,
FL and GA follow the behavioral nature of human thinking, the NNW is the
most generic form of AI and tends to emulate the human nervous system for
problem‐solving. The NNW is the most powerful technique among all the AI
methods. Zadeh classified ES as “hard” or precise computing (because it is
based on Boolean variables), whereas FL, GA and NNW are classed as “soft” or
approximate computing.
If the control, estimation, or diagnosis of a system is generally based on AI,
it is generally called an intelligent system. For example, the traditional control of a
linear system is based on a PI (proportional‐integral) or PID (proportional‐integral‐
derivative) controller, the parameters of which are determined from mathematical
models of the system. The intelligent control may not need any mathematical
model. Such control is often defined as learning, self‐organizing, or self‐adaptive
control. In fact, many systems may not have s mathematical model, or the model
may be ill‐defined with parameter variation problems. For example, the propor-
tional gain (Kp) and integral gain (Ki) of a nonlinear parameter‐varying system can
be tuned online for a desired response from the transient behavior of the plant. An
adaptive PI‐tuned control system can be designed by ES, FL, NNW or GA. Of
course, for computer simulation study, a mathematical plant model is essential. The
experimental performance of a plant can be captured and its intelligent control can
be designed on this basis.
Suffice to say that the integration of modern power electronics, com-
puters, communications, information and cyber‐technologies with the smart
grid has already created a challenging frontier for smart grid design and imple-
mentation. This challenge will be more formidable with the emerging AI tech-
niques. Smart grid is truly an interdisciplinary technology with multiple
dimensions of complexity. This chapter will first comprehensively review the
 12.2 EXPERT SYSTEMS 627

basic principles of AI (i.e., ES, FL and NNW). This background knowledge

[1–10] is essential to understanding the applications of AI in renewable energy
systems (RESs) and smart grid discussed in this chapter. The NNW will be
discussed in more detail because it appears that the next generation of AI will
be heavily based on NNW.
More specifically, the following novel applications will be covered in this
chapter:
•• ES‐based control concept of a smart grid system with real‐time simulator.
•• Permanent magnet synchronous generator (PMSG)‐based wind generation
system with FL‐based control.
•• Adaptive neuro fuzzy inference system (ANFIS)‐based health monitoring of
a wind generation system.
•• Fault identification of a smart grid subsystem by neural network.
These application principles can be extended to cover many other applications.

12.2 EXPERT SYSTEMS

In this section, the basic principles of ES and its applications will be discussed with
relevance to renewable energy systems and smart grid.

12.2.1 Expert System Principles

An ES is basically an advanced and intelligent computer program that embeds the
expertise of a human being in a certain domain. The human expert acquires
the domain knowledge by education and training over a prolonged period of time.
The objective of an ES is to replace the human expert to solve the particular problem
by computer‐embedded expertise. Figure 12.1 shows the block diagram of ES with
the different elements as follows [11–15]:
•• Knowledge base
•• Inference engine
•• User interface
•• Explanation subsystem for user education.
The core of an ES is the knowledge base, which is acquired from the domain expert
by a knowledge engineer and translated into a software program. It is assumed that
the domain expert (say, a power electronics or power systems engineer) does not
have the requisite software expertise to structure or represent their knowledge into
efficient ES software. The core of the knowledge base is the expert knowledge,
which consists of a matrix of IF… THEN rules that is supported by the database as
628 Chapter 12 ARtificial Intelligence Applications

Explanation
subsystem
(user education)
Knowledge base

User User Inference Expert

Database
dialog interface engine knowledge

Work Knowledge
space acquisition

Domain
expert

Figure 12.1 Expert system block diagram showing the different elements.

Knowledge base
Z

X X1 X2 X3 X4
Y
Y1 A B C D
Inference
engine Y2 E F G H Data base
Y3 I J K L
Y4 M N O P

Matrix of rules

Figure 12.2 Knowledge base rule‐matrix showing interface with data base and inference
engine.

shown in Figure 12.2. In the 16‐rule knowledge base, shown in the figure, the rules
can be read as

Rule 1: IF X = X1 AND Y = Y1, THEN Z = A (12.1)

.
.
.
Rule 16: IF X = X4 AND Y= Y4, THEN Z = P (12.16)

where X, Y and Z are the rule parameters, and X1, Y1, A, and so on, are the respective
parameter values. The database that supports the knowledge base embeds the
 12.2 EXPERT SYSTEMS 629

parameter values which can be in the form of data (logical or numeric), facts or state-
ments. A rule has a conditional (premise or antecedent) part in the IF statement and
the action (consequent or conclusion) part in the THEN statement. The logical
connective can be AND, OR, and NOT operations for drawing the conclusion. A rule
is fired IF the conditional part is true, and then the action part guided by the THEN
statement is executed. A complex rule can have a large number of parameters and
corresponding values. A practical rule for a power grid control can be given as

IF photovoltaic station A output 0 AND wind station C output 800 kW,

THEN trip circuit breaker K and assign battery storage station D outpput 100 kW
(12.17)
The knowledge base rules can be designed to be complex to handle probability with
certainty factors and probability‐based models, such as a Bayesian approach. It can
also incorporate fuzzy inference systems (FIS) which will be discussed later. The
knowledge base can be adaptive in nature, depending on system changes or tech-
nology advancement. Knowledge is sometimes defined as “shallow” or “deep.”
Shallow knowledge is obtained directly from the domain expert and deep knowledge
is derived from the system model and simulation response [15], which is based on
the designer’s or researcher’s knowledge.
The inference engine is basically the controller or executive software of the
ES. It tests the rules of the knowledge base in sequence and tries to draw inferences
or conclusions. The validation of the rules can be either by “forward chaining” or
“backward chaining.” In the forward chaining principle, the conditional part is
tested first, and if it is true, then the rule is fired. In backward chaining, the infer-
ence engine assumes that the action part is true and then tests backwards the
conditional part for validity before firing the rule. The ES software uses symbolic
language like LISP or PROLOG for problem‐solving. The program can also be
developed in C language for time‐critical real‐time operation.
The inference engine communicates with the user in a very user‐friendly
dialog in natural language (English, for example). Through the inference engine,
the ES requests parameter values for the rules for problem‐solving from the user. If
the parameter values satisfy the conditional part of a rule, then it will be fired.
One very important function of the ES is user education through the explana-
tion subsystem, as shown in Figure 12.1. This subsystem responds during problem‐
solving by the HELP, WHY and HOW commands of the user. The user is usually a
semi‐skilled person and does not understand the details for solving a complex
problem by ES. With the HELP command, the ES explains to the user the technical
features of the problem with explanatory texts and figures.The WHY command
explains to the user why the ES is asking for relevant information from the user, and
the HOW command explains how the ES arrived at the particular solution. Often,
user education may be the sole purpose for designing an ES.
The knowledge base of a large system can be organized in the form of a tree
using a large number of hierarchical frame‐based structures, as shown in Figure 12.3.
630 Chapter 12 ARtificial Intelligence Applications

Sub frame Rules

1C
Sub frame
1

Sub frame
Parameters
1D
Root
Sub frame
frame
2

Sub frame
3

Figure 12.3 Hierarchical frame‐based structure of knowledge.

Each frame has a characteristic set of rules and parameters. The frame‐based
knowledge organization changes a large system into a simple and logical modular
structure. The core knowledge of the system may be embedded in the root frame.
The first‐layer subframes (child frames) and second‐layer subframes (grandchild
frames) can be considered as subdomains of the expert knowledge, which can be
obtained by the direction of root frame. For a small system, just the root frame
alone may be sufficient. An ES can be organized to track its own operation to
improve efficiency and speed of its own knowledge base with learning. The
knowledge about its own knowledge‐base operation is defined as meta‐knowledge.
The meta‐rules will dictate the most efficient order of rule search to improve the
efficiency of knowledge‐base operation.
The ES software is normally designed with the help of a SHELL‐based soft-
ware platform,which is basically a user‐friendly development system. A number of
commercial SHELLs [11] are available for ES program development. The program
developer is required to have familiarity with the SHELL, although the production
rules are written in English‐like Abbreviated Rule Language (ARL) for rapid
development of the knowledge‐base rules. For example, the rule in (12.17) can be
represented in ARL as

IF :: PVA NO AND WINDC 800

(12.18)
THEN :: CBK 0 AND BESSD 100

where PVA, WINDC, CBK and BESSD are the parameter names with the given
assigned values. The program software is in LISP or C, but the user dialog and
explanation subsystem should be in natural English language. The external
 12.2 EXPERT SYSTEMS 631

Database Graphical
files files

Simulation
files

User ES
interface shell Interface
routines

User
Mathematical functions
program

Figure 12.4 Expert system development shell interfaced with external elements.

interface of the SHELL with USER INTERFACE, DATABASE FILES, GRAPHICS

FILES, SIMULATION FILES, INTERFACE ROUTINES, USER FUNCTIONS
and MATHEMATICAL PROGRAM for program development is shown in
Figure 12.4. A limited amount of numerical data, logical, and arithmetical capabil-
ities can be directly embedded in the ES program, but for a large amount of data,
such as product catalog information, database files should be constructed. For
­complex calculations, such as solving differential equations, the program should
take help from external programs. In the same way, an external simulation program
can generate the result for the ES program. The SHELL can also integrate pictures
(such as power grid or power electronic systems) in the knowledge base. The
­developed ES program can be operated from the SHELL directly, or exported to
another computer with the user interface and inference engine. When the client
program is resident in the SHELL, the program developer can easily alter or
update it, but when it is in the client environment outside the SHELL, no program
modification is possible.

12.2.2 Expert System‐Based Control of Smart Grid

A smart or intelligent grid is basically a vision of an advanced electric power grid
of tomorrow using state‐of‐the‐art technologies in power systems, power elec-
tronics, control systems, computers, communications, information, AI, cyber, and
so on, that will improve system availability, reliability, power quality, energy
efficiency, and security, with optimum resource utilization and economical
electricity to the consumers [16–25]. Suffice to say that control and protection of
smart grid are extremely complex, particularly if the grid is large. Currently, with
the present status of technology, we do not have a clear understanding of the control
strategy for a future smart grid.
632 Chapter 12 ARtificial Intelligence Applications

Regional controls

Regional Regional Regional Regional

controller controller controller input
signals

Local control
override

ES based Real time

Operator System
master simulation
interface signals
controller (opal-RT)

Local control
override

Regional
Regional Regional Regional
input
controller controller controller
signals

Regional controls
Figure 12.5 Expert system based simplified control block diagram of smart grid with real
time simulator.

It is convenient to centralize the control system of the whole grid with the
integration of the latest technologies, as mentioned above. As the respective tech-
nology advances, incremental update can be made on the system. Figure 12.5 shows
a simplified conceptual control block diagram of the smart grid [1, 2, 26, 27] based
on ES principles. The grid incorporates a large segment of renewable energy sources
along with bulk power generation by fossil and nuclear power plants. There are
bulk energy storage plants (mainly to support the RES), HVDC systems, FACTS
(flexible AC transmission systems), VAR compensating STATCOMs (static com-
pensators), and MMMCs (Marquardt modular multilevel converters) distributed
strategically throughout the grid.
The whole grid is segmented into a number of regions which are under the
control of centralized master controller. The master controller (shown at the center
of the figure) has an ES oriented knowledge base, where the rules are formulated on
the basis of extensive a priori offline analysis, design and simulation of the whole
system. This is a massive task that requires a large number of iterations. The ES rules
usually have a large number of parameters with different parameter values. The
knowledge base can be updated continuously as more knowledge is gained about the
system. A simple typical rule, as mentioned before, may have the structure as:

IF photovoltaic station A output 0 AND wind station C output 800 kW,

THEN trip circuit breaker K and assign battery storage station D outpput 100 kW
(12.17)
 12.2 EXPERT SYSTEMS 633

The knowledge base can also incorporate rules based on a fuzzy expert system (or
fuzzy inference system) which will be discussed in the next section.
The master controller has an operator interface on the left and a real‐time
simulator (RTS) interface on the right, and controls all the regional controllers, as
shown on the figure. The RTS can be designed, for example, on the basis of OPAL‐
RT technology [28] which will be described later. All the regional controllers have
local override in case of a problem with the master controller. The RTS is based on
a cluster of supercomputers which embeds the dynamic model of the whole grid
including the fast response power electronic systems. It is a virtual grid which runs
independently from the physical system.
The RTS helps the master controller to generate the command and control
signals for the regional controllers based on a real‐time solution of the virtual (or
simulated) grid. The RTS receives the whole system signals, whereas the regional
controllers receive only the regional signals. A large number of grid signals can be
obtained through system‐wide PMUs (phasor measurement units). The signals may
be sensor‐based or sensorless. Redundant signals may be needed for unreliable
signals.
The operator interface in the central control station is assisted with large
display boards (not shown) that monitor all the key signals (such as system fre-
quency, bus voltages, active and reactive power flows, and status of the system
operation) for information and assistance of the operators. The virtual grid opera-
tion in RTS is similar to a full‐order real‐time observer of a high‐performance
machine drive system [9]. Note that AI‐based (ES, FL and NNW) controls can also
be used extensively within the elements of the smart grid system.
The RTS can also be used for initial planning, analysis and design of the grid,
and to formulate the optimum default control strategy, typically on a 24‐hour period
basis with the predicted loading, generation and energy storage capability curves,
including the planned outages of the equipment. This offline default control strategy
can remain valid if the grid topology with the parameters remain unchanged and the
predicted load and generation curves remain the same. In practical grid operation,
all of these will change to some extent. For example, unpredictable weather condi-
tions in some regions of the grid can cause equipment outages and substantially
lower wind and PV generation. There may also be equipment outages due to unpre-
dicted faults. For these reasons, control laws and parameters require continuous
iteration based on real‐time simulation for optimum grid performance under all
conditions. The RTS can also be used to study future expansion of the grid.
The broad functions of the control system can be briefly summarized as
follows:

•• Initialize the system control gracefully to the default state, assuming normal
state of the grid, with the predicted load and available generation curves based
on offline system analysis and simulation on 24‐hour period basis, as men-
tioned above. For a certain pattern of system loading, the generators are
assigned along with the routing of P and Q so that generation, transmission
634 Chapter 12 ARtificial Intelligence Applications

and distribution are most economical without any overloading, and the system
losses are minimized. The system frequency and bus voltages are controlled
appropriately.The cost and loss models of the elements of the system should
be available for real‐time computation.
•• After initialization of the controllers, iterate the system control typically on
an hourly basis based on real‐time simulation, considering the deviation from
the predicted generation and load curves, forced equipment outages, and
other system topology and parameter variations, so that the system operation
remains healthy with minimum cost and optimum efficiency. Of course, for
any major equipment commissioning or outage, faster control iteration is
desired.
•• From the actual usage of the equipment, depreciation and loss computations,
calculate the dynamic tariff rate and promote demand‐side energy management
with the help of smart meters and smart appliances.
•• For transient system loading/unloading and/or generator power shedding, sta-
bilize the system frequency and bus voltages with the help of fast response
PWM converters working with energy storage.
•• Perform hardware‐in‐loop (HIL) automated testing of deteriorating equip-
ment and reconfigure them for fault‐tolerant operation (self‐healing), or iso-
late them for repair. In addition, perform HIL testing of new equipment before
commissioning the system.
•• Extensive system monitoring, diagnostics, fault‐tolerant control and protec-
tion strategies are embedded in the system. However, for any hard fault, the
equipment should be protected from damage by local protection.

The reliable operation of hardware and software of the controllers and the RTS are
extremely important. For this reason, some redundancy in hardware and software
should be built in. However, the system tends to be prohibitively expensive if very
high reliability is demanded.

OPAL‐RT Based Real‐Time Simulation Technology

OPAL‐RT Company commercializes supercomputer‐based hardware and software
platforms for real‐time simulation and HIL testing of equipment for electrical, elec-
tromechanical and power electronic systems for a complex power grid. The
ePOWER grid products, as shown in Figure 12.6, permit simulation of everything
from fast electromagnetic phenomena to the transient stability of large power sys-
tems, optimization of security in power systems, efficiency and performance evalu-
ation of microgrids, renewable energy sources and large interconnected smart
power grids. The selection of a particular technology depends on the size and com-
plexity of the power system, and the desired speed of computation. The ePHASOR-
sim can be used in a large system with a maximum number of single‐phase nodes,
and slower transient phenomena. Then, HYPERSIM, eMEGAsim and eFPGAsim
can be used as the speed of simulation increases with the corresponding reduction
 12.2 EXPERT SYSTEMS 635

Choose the technology that is right for you by looking at the frequency
of the transient phenomena simulated as well as the numbers of nodes.

Number of
single-phase nodes

30,000
20,000
10,000
2,000
1,000
500
100
10

1 Hz 100 Hz 20 KHz 100 KHz 1 MHz 10 MHz 100 MHz

(1 s) (10 ms) (50 μs) (10 μs) (1 μs) (100 ns) (10 ns)
Frequency and period of transient phenomena simulated

Figure 12.6 OPAL-RT based real-time simulation products family for power grids (with
permission from OPAL‐RT). (See electronic version for color representation of this figure.)

in number of nodes, as shown in the figure. Of course, the use of multiple units of
the same type can increase the size of the system with the same speed range. Or
else, different types of the technology can be strategically mixed in a system. Let
us consider only the eMEGAsim‐based simulator, whicht has a wide frequency
range and can include fast power electronics‐based converters such as HVDC
­converters, FACTS, STATCOMS, MMCs, along with electrical and electrome-
chanical components.
The basic features of eMEGAsim technology are summarized in Table 12.1.
The hardware of eMEGASIM is based on an Intel high‐speed parallel processing
system along with high speed XLINK FPGAs to provide small time‐steps in the
range of 100 ns to 10 µs. More units can be used as a cluster for large grid simu-
lation. The real‐time software platform (RT‐LAB) uses a mathematical model of
the grid consisting of electrical, electromagnetic, electromechanical and power
electronic systems. The real‐time simulation of eMEGAsim is based on MATLAB/
Simulink and SimPowerSystem (MathWorks), where for an increase in computa-
tion speed, segmented parallel computation is used and the results are then
combined at the output. As usual, the libraries of models for machines, motor
drives, transmission/distribution lines, transformers, power electronic converters
(two‐level and multilevel), high‐frequency switches, and so on, are embedded in
the system. The supercomputer system permits hardware‐in‐loop (HIL) testing of
electrical, electronic and electromechanical systems. Besides normal operation,
various types of faults and disturbances in the system can be studied. The simu-
lator can also be used as a great tool for education and training of power system
engineers.
636 Chapter 12 ARtificial Intelligence Applications

TABLE 12.1 Features of eMEGAsim supercomputer‐based real‐time smart grid digital

simulator [28].

• Core hardware can scale up to 96 Intel 3.3 GHz processors with up to 48‐processor parallel
INTEL computing system with time‐step of 10 µs, and XILINK 6 FPGA chips with time‐step
as low as 100 ns and timing accuracy of 10 ns.
• Extra INTEL and XILINK boards can be added.
• No. of signal I/O channels: 128 analog and 256 digital.
• For a large power system, a cluster of eMEGAsims can be used with interconnections.
• Can be hybridized with ePHASORsim, HYPERSIM and eFPGAsim technologies.
• Real‐time integrated software platform (RT‐LAB) uses mathematical models of dynamic
system.
• Uses MATLAB/Simulink and SimPowerSystems real‐time simulation with graphical user
interface. To enhance computation speed, segmented parallel simulation is used and then
combined.
• Softwares include model block libraries of machines, drives, lines, transformers, load, power
systems, protection equipment, relays, power electronic components, protection in equipment
and control systems, and so on.
• Multi‐rate sampling and hundreds of three‐phase buses can be used.
• Provides interface with MATLAB, Plecs, SimScape, EMTP‐RV, etc.
• Can emulate ES, FL and ANN‐based software in real time.
• Permits real‐time simulation and control of HVDC, FACTS, STATCOMS, storage, generation,
transmission and distribution systems.
• Permits HIL testing of electrical, power electronic and electromechanical systems.

12.3 FUZZY LOGIC

Since the invention of FL by Lotfi Zadeh in 1965, its applications have expanded
widely in both engineering and non‐engineering areas. The first application to con-
trol a dynamic process was reported by Mamdani in 1974, and by Mamdani and
Assilian in 1975. These were extremely significant contributions because they
stirred widespread interest by later workers in the field for many other applications.
Mamdani and Assilian were concerned with the control of a small laboratory steam
engine. The control problem was to regulate the engine speed and boiler steam
pressure by means of the heat applied to the boiler and the throttle setting of the
engine. The process was difficult because it was nonlinear, noisy, and strongly cou-
pled, and no mathematical model was available. The fuzzy control designed purely
from the operator’s experience by a set of IF… THEN… rules was found to per-
form well and was better than manual control. In 1976, Kickert and Lemke exam-
ined the fuzzy control performance of an experimental warm water plant, where the
problem was to regulate the temperature of water leaving a tank at a constant flow
rate by altering the flow of hot water in a heat exchanger contained in the tank. The
success of Mamdani and Assilian’s work led King and Mamdani (1977) to attempt
to control the temperature in a pilot‐scale batch chemical reactor by a fuzzy
 12.3 FUZZY LOGIC 637

algorithm. These results indicated that fuzzy control was very useful for complex
processes and gave superior performance over the conventional PID control, partic-
ularly if a good mathematical model of the plant is not available.
In this section, fuzzy inference system principles and their applications will
be discussed for modern wind generation systems.

12.3.1 Fuzzy Inference System Principles

A fuzzy inference system (FIS) (or fuzzy system (FS)) [8, 9, 29, 30] basically emu-
lates fuzzy human thinking with the help of multivalued fuzzy variables, as men-
tioned before. This concept can be extended to many applications. Each fuzzy
variable is defined by a number of fuzzy sets which are linguistic in nature, and
each fuzzy set is defined by a multivalued membership function (MF).
Similar to ES, a FIS can be described by a set of IF…. THEN… rules, a
­simplified form of which is shown in Figure 12.7. Here, X, Y and Z are the fuzzy
variables, where X and Y are the inputs and Z is the output. The fuzzy variables can
be unipolar or bipolar, and the range of values of each is defined as a “universe of
discourse.” For convenience, the fuzzy variables are normally defined on a per unit
(pu) basis. In Figure 12.7, there are three simple rules which can be defined as:

Rule 1: IF X is negative small NS AND Y is zero ZE

THEN Z is positive small PS (12.19)
Rule 2 : IF X is zero ZE AND Y is zero ZE
THEN Z is zero ZE (12.20)
Rule 3 : IF X is zero ZE AND Y is positive small PS
THEN Z is negative small NS (12.21)

Because of analogy, a fuzzy system is often defined as a fuzzy expert system.

X
NS ZE
Y

ZE PS ZE

PS NS

Figure 12.7 Simple rule matrix for fuzzy inference system.

638 Chapter 12 ARtificial Intelligence Applications

The shape of the MF may be triangular, trapezoidal, Gaussian, or other types, and
may be symmetrical or asymmetrical about the vertical axis. The computations in
FIS consist of the following five steps to determine the inference or conclusion:
1. Fuzzification of the input crisp variables (X, Y, etc.);
2. Application of fuzzy operator (AND, OR, NOT) in the IF (or antecedent) part
of the rule;
3. Implication from the antecedent to the consequent (THEN) part of the rule;
4. Aggregation of the consequents of the rules;
5. Defuzzification to convert the fuzzy output to crisp value.
There are a number of fuzzy implication methods in the literature [9]. The
frequently used types are:
•• Mamdani method;
•• Lusing‐Larson method; and
•• Sugeno (or Takagi‐Segeno‐Kang) method.
The Sugeno method is again subdivided into zero‐order and first‐order
methods. The Mamdani method is most commonly used in the literature.

Mamdani‐Type Fuzzy Inference System

Figure 12.8 illustrates the Mamdani‐type FIS using symmetrical triangular MFs
which corresponds to the rules in Figure 12.7. All the three rules are shown in the
consecutive horizontal rows with the input values of X = −3 and Y = 1.5. Since all
the rules use the AND operator, the DOFs (degrees of fulfilment) from the ante-
cedent parts of the rules are calculated as DOF1 = 0.6, DOF2 = 0.4 and DOF3 = 0.4,
respectively. The corresponding fuzzy output MFs (shaded) are PS’, ZE’ and NS’,
respectively from the consequent part of the rules. The total fuzzy output, as shown
in the figure, is the aggregation of the consequents of the rules. The defuzzification
calculates the center of the area (COA) which is generally given by the expression

Z. out Z
Z0 (12.22)
out Z dZ

where Z0 is the defuzzified or crisp output. The overlap areas in the output are not
considered. Note that a practical FIS can have a large number of input and output
variables and each variable may have a large number of MFs.

Fuzzy Speed Control of Induction Motor Drive

Let us now illustrate application of a Mamdani type FIS for speed control of a
vector drive with induction motor, as shown in Figure 12.9.
*
In the figure, the variable X e r r is the speed loop error, Y = CE =
dE/dt, the rate of change of the speed loop error, and Z dU iqs* is the incremental
 12.3 FUZZY LOGIC 639

μ(X) μ(Y) μ(Z)

1 NS 1 ZE PS
0.8 1
0.6 PSʹ
Rule-1 DOF1 = 0.6

–6 0 6 –6 0 6 –6 0 6
μ(X) μ(Y) μ(Z)
ZE ZE
1 1 1 ZE
0.6
Rule-2 0.4 DOF2 = 0.4 ZEʹ

–6 0 6 –6 0 6 –6 0 6
μ(X) μ(Y) μ(Z)
ZE PS 1.0 NS
1 1 1
Rule-3 0.4 DOF3 = 0.4 NSʹ

–6 0 x 6 –6 0 Y 6 –6 0 Z 6
x = –3 Y = 1.5
μ(Z)
μout (Z)
1

–6 0 6
Z0

Figure 12.8 Mamdani implication method of fuzzy inference system showing output
defuzzification.

ℐ
d CE
dt VC
Fuzzy DU U
controller ∫ and Induction
ω*r (Δi*qs) (i*qs) inverter motor
+ E
–
ωr

Figure 12.9 Fuzzy speed control of a vector‐controlled induction motor drive.

active component of current signal. The iqs* is integrated to generate the active
current signal iqs* for the vector drive. The equations for the control can be written as
*
e r r (12.23)

de e ce
(12.24)
dt t ts
640 Chapter 12 ARtificial Intelligence Applications

dU K1e K 2ce (12.25)

U K1 edt K 2 e (12.26)

where variation of K1 (integral gain) and K2 (proportional gain) in the fuzzy

controller makes the vector control adaptive for parameter (such as inertia J and
load torque disturbance TL) variation, giving robustness of the drive system.The
fuzzy P‐I control principle, as indicated by Eq. (12.26) and shown in Figure 12.9,
can be applied in Figure 12.15 to give robust speed control of the wind generation
system, which will be described later. A FIS can be designed with the help of a
Fuzzy Logic Toolbox [31] and simulated in the MATLAB/Simulink environment
with the dynamic system model.
The MFs of the fuzzy speed controller and the corresponding rule matrix for
a practical system are given in Figures 12.10 and 12.11, respectively, where all the
fuzzy variables are defined on a pu basis. The input variables, e and ce, have seven
MFs, whereas the output variable (du) has nine MFs. There are altogether 7 × 7 = 49
rules, as shown in Figure 12.11. This indicates (by square box) the validation of the
four rules at the typical operating point e = 0.08 and ce = 0.13, and the corresponding
fuzzy outputs are indicated by the shaded areas in Figure 12.10). The defuzzifica-
tion gives the output du0 = 0.427.

μ(e)
(a)
NB NM NS Z PS PM PB
0.6
0.4
–1 –0.8 –0.6 –0.4 –0.2 0 0.2 0.4 0.6 0.8 1 e(pu)
e = 0.08
(b)
μ(ce)
NB NM NS Z PS PM PB
0.7
0.3

–1 –0.8 –0.6 –0.4 –0.2 0 0.2 0.4 0.6 0.8 1 ce(pu)

ce = 0.13
(c) μ(du)
NB NM NS NVS PVS PS PM PB
Z
0.6
0.3 0.3 0.4 0.7

–1 –0.8 –0.6 –0.4 –0.2 0 0.2 0.4 0.6 0.8 1 du(pu)

duo = 0.427
Figure 12.10 Membership functions for fuzzy speed controller: (a) error (e); (b) change
in error (ce); and (c) change in output (du).
 12.3 FUZZY LOGIC 641

du(pu)

e(pu)
NB NM NS Z PS PM PB
ce(pu)

NB NVB NVB NVB NB NM NS Z

NM NVB NVB NB NM NS Z PS

NS NVB NB NM NS Z PS PM

Z NB NM NS Z PS PM PB

PS NM NS Z PS PM PB PVB

PM NS Z PS PM PB PVB PVB

PB Z PS PM PB PVB PVB PVB

Figure 12.11 Rule matrix for fuzzy speed control of induction motor.

Input Space Output Space

Black
Box

Excitation Response

Figure 12.12 Input–output nonlinear mapping property of fuzzy and neural systems.

A FIS can be interpreted as a general input–output nonlinear mapping

problem, as indicated in Figure 12.12. This is a very important concept for both
fuzzy systems and neural networks, which will be discussed later. The input
information is defined in the input space, it is processed in the “Black Box,” and
the solution appears in the output space. This mapping can be interpreted as a
pattern matching or pattern recognition problem. For a human being, for example,
when we see an apple, we recognize that it as an apple by its characteristic color
and shape. This is pattern recognition by the associative memory property of the
human brain, which is represented by the Black Box in the figure. The mapping
can be static or dynamic with linear or nonlinear relationships, as determined by
642 Chapter 12 ARtificial Intelligence Applications

the Black Box’s characteristics. In general, the Black Box can represent not only
a fuzzy system, but also ES, NNW, or a mathematical function, where in general
an excitation creates the response. In Figure 12.9, the Black Box is the fuzzy
controller that gives a robust control algorithm with inertia variation and load
torque disturbance of the drive system. In solving static nonlinearity in engi-
neering problems, the black box is often implemented by a mutidimensional
DSP‐based look‐up table.

Sugeno Method of Fuzzy Inference System

Figure 12.13 illustrates the Sugeno zero‐order method of implication in FIS, where
the input MFs are the same as those in the Mamdani method in Figure 12.8, but the
output MFs are given by singleton MFs at constant values of Z, that is, Z1 = K1,
Z2 = K2 and Z3 = K3 in the universe of discourse, as shown in the figure. In the conse-
quent part of each rule, the respective singleton is truncated with the respective
DOF1, DOF2 and DOF3 values of each rule, and are then aggregated to constitute
the total fuzzy output shown in the lower right of the figure. The rule base and the
MFs are considered the same as that of the Mamdani method for simplicity. A typ-
ical rule in the figure can be read as:

Rule 1 : IF X is NS AND y is ZE
THEN Z K1 (12.27)

μ(X) μ(Y) μ(Z)

NS ZE
1 0.8 1 0.6 1

DOF1 = 0.6

–6 0 6 –6 0 6 –6 0 6
Z1
μ(X) μ(Y) μ(Z)
1 ZE 1 ZE ZE
1
0.6
0.4 DOF2 = 0.4

–6 0 6 –6 0 6 –6 0 6
Z2
μ(X) μ(Y) μ(Z)
ZE PS 1.0 1
1 1
0.4 DOF3 = 0.4

–6 0 X 6 –6 0 Y 6 –6 Z3 0 Z 6

X = –3 Y = 1.5 μ(Z)
1 DOF1 = 0.6
DOF2 = 0.4
DOF3 = 0.4

–6 Z3 Z2 Z1 6

Z0

Figure 12.13 Sugeno (zero‐order) implication method of fuzzy inference system.

 12.3 FUZZY LOGIC 643

X Y
μ(X) μ(Y)
NS ZE
1 1
0.8
Rule-1

0.6
Z1 = A01+ A11X +A21 Y
DOF1 = 0.6
Z1·DOF1

–6 0 6 –6 0 6

μ(X) μ(Y)
ZE ZE X Y Z2·DOF2
1 1
0.6
Rule-2

0.4 DOF2= 0.4

Z2 = A02 + A12X +A22Y Defuzzification Z0

–6 0 6 –6 0 6

μ(X) μ(Y) X Y
ZE PS 1.0
1 1 Z3·DOF3
Rule-3

DOF3= 0.4
0.4 Z3 = A03+ A13X +A23Y

–6 0 x 6 –6 0 y 6

X = –3 Y = 1.5

Figure 12.14 Sugeno (first‐order) implication method of fuzzy inference system.

The fuzzy output can be converted to crisp output by the defuzzification ­formula as

K1. dof1 K 2 . dof2 K 3 . dof3

Z0 (12.28)
dof1 dof2 dof3

A more general first‐order Sugeno method of implication is illustrated in

Figure 12.14. In this case, the the Ks of the zero‐order method move in the universe
of discourse linearly as a function of input signals X and Y with the constants A01,
A02, etc., so that the respective rule output is:

Z1 A01 A11 X A21y (12.29)

Z2 A02 A12 X A22y (12.30)
Z3 A03 A13 X A23y (12.31)

The constants in the above equations can be iterated to optimize the FIS performance.
The output defuzzification can be given by the formula:

Z1. dof1 Z 2 . dof2 Z 3 . dof3

Z0 (12.32)
dof1 dof2 dof3
where Z1, Z2 and Z3 are the functions of the input signals as shown in the figure. It
can be mentioned here that a FIS can be implemented by a NNW which will be
discussed later, and the Sugeno methods are convenient for such implementation.
644 Chapter 12 ARtificial Intelligence Applications

12.3.2 Fuzzy Logic Control of a Modern Wind

Generation System
Let us now discuss fuzzy logic‐based control of a modern wind generation system.
It is well known that electrical energy generated from wind is renewable, safe,
­economical, environmentally clean (or “green”), and the cost is generally cheaper
than fossil‐fuel or nuclear‐based energy generation. Recently, technological
advances in power electronics, variable speed drives and wind turbines have made
it even more economical. The wind (as well as photovoltaic) energy resources are
abundant, and tapping only a small part of it can essentially meet all the energy
demands of the world. However, since renewable energy is generally sporadic and
regional, adequate storage and transmission capabilities at economical prices are
essential for their utilization. A modern wind generation system [9] uses variable‐
speed horizontal‐axis wind turbines that are usually coupled to a generator shaft
with or without a speed‐up gear. The generator can be either an induction or a
synchronous type machine. Many configurations of wind generation systems are
possible. Figure 12.15 shows a modern variable‐speed wind generation system [32,
33] that uses a high‐efficiency interior (or buried) permanent magnet (IPM) (with
NdFeB magnet) type sinusoidal synchronous generator, where the control system is
based on fuzzy logic. Basically, the system can be looked upon as a four‐quadrant
AC drive, where the machine operates continuously in regenerative braking mode.

Ipm
sync. PWM PWM
generator rectifier inverter
Vd Bus
P0
Vw Q0
Ids, Iqs
Wind
turbine Ia, Ib
P.S. Pd
θe Svm,
Cos(θe + δ) Svm,
Sin(θe + δ) sync.
sync. Sinθe
IM current
IT current Cosθe
control Q0
control
Te ψs ωr I M* IT* Ids* Iqs*
P-I P-I P-I P-I
Te
ψs* ψs* + Q0* + – Q0 P0
ψs Te*
– + Pd + –
Te +P0*
Fuzzy PI
MPPT-2 Vd P-I
FLC-3 –
FLC-2 +
Vd* –1

P0

MPPT-1 FLC-1

ωr*
+
ωr
–

Figure 12.15 Permanent magnet synchronous generator (PMSG)‐based wind generation

system showing fuzzy logic‐based MPPT control.
 12.3 FUZZY LOGIC 645

Description of Power Circuit

The horizontal axis wind turbine at variable speed with varying wind velocity (Vw)
couples to the shaft of the generator directly without any speed‐up gear. Such a direct‐
drive system eliminates the cost, weight, power loss, noise and loss of reliability
due to the gear, and lowers the cut‐in speed of the generator. Of course, this causes
some cost and weight penalty to the machine. With interior mounting of magnets, the
machine is robust at high speed. The machine is salient pole with the direct axis air
gap larger than that of the quadrature axis (Ldm < Lqm), and the armature reaction effect
becomes dominant due to a smaller effective air gap. The variable‐frequency, vari-
able‐voltage generator output is rectified to regulated DC voltage (Vd) by a three‐
phase PWM IGBT converter. The machine current waves are sinusoidal. The active
component of the current corresponds to machine output power, but the reactive (or
magnetizing) component of current controls the stator flux (Ψs) for light‐load
efficiency optimization. The DC‐link voltage is converted to constant‐frequency,
constant‐voltage output by the line‐side three‐phase sinusoidal PWM IGBT converter
that couples to the utility bus. For higher power generation, multilevel converters
(such as Marquardt MMCs) can be used. A transformer can be used to boost the
output voltage with isolation, if necessary. Both the active (P0) and reactive power(Q0)
(leading or lagging) can be controlled by the line‐side c­ onverter. Such a four‐quadrant
dual converter system can be operated in generating mode as well as in motoring
mode, where the machine can be controlled as a variable speed motor. Since the avail-
able wind energy is sporadic in nature due to variation in wind velocity, a battery
storage system in the DC‐link can provide compensation for the sporadic power.

Wind Turbine Characteristics

Figure 12.16 shows the family of torque–speed curves of the wind turbine at differ-
ent wind velocities with a fixed blade pitch angle. The turbine speed (ωr) is con-
trolled independently by the drive system to tune with the wind velocity (Vw) in order
to maximize the turbine aerodynamic efficiency. Assume that initially the wind
speed is constant at Vw1 and the generator speed is ωr1 so that the operating point is
at A. If ωr is decreased, the turbine shaft torque increases and reaches a maximum
value at point B, and then decreases with further decrease of ωr. Since turbine power
PT = Te.ωr, the maximum power point is at C corresponding to ωr2, as shown. The
locus of maximum power delivery ( pT K r3 ) for different values of Vw is shown in
the figure. This means that as the wind speed varies, the turbine speed is to be varied
to track with it to capture the maximum power. The power output of the turbine can
be reduced at a fixed Vw by reducing the blade pitch angle. The turbine can be
stopped completely by control (feathering) of the pitch angle. The torque–speed
curves can easily be converted to power‐speed curves (shown in Figure 12.20).

Description of Control
The optimum control of the wind generation system is quite complex and is shown
by the simplified block diagram of Figure 12.15. Both the machine‐side and line‐
side converters use space vector modulation (SVM), and the converters always
646 Chapter 12 ARtificial Intelligence Applications

er
ow
tp
an
st
on
Turbine torque (Te)

c
of
Locus of maximum
s
ne
power delivery
Li

C
B
A
Turbine torque/speed
VW1
curves for increasing
wind speed

ωr2 ωr1
Turbine rotational speed (ωr)

ρπRw2
TM = CP(λ) 0.5· η Vw2
GEAR

Figure 12.16 Torque‐speed curves of wind turbine at different wind velocity showing
fuzzy control to maximize output power.

operate in undermodulation mode. The generator speed (ωr) is controlled by close

loop which generates the torque command te* for the machine, which is also con-
trolled by close loop, as shown.The close loop torque control as well as the fuzzy
controller FLC‐3 gives robustness to the drive system with pulsating torque and
wind gusts. The machine uses direct vector control with stator flux orientation and
synchronous current control, as explained by the phasor diagram in Figure 12.17,
where the torque component of current IT is aligned in phase with the stator voltage
Vs and the stator‐fed magnetizing current IM is aligned in the direction of stator flux
Ψs, as shown. The command IM* is generated from the stator flux Ψs control loop,
where the flux command s* is generated from torque command through the flux
program, as indicated, for light‐load efficiency improvement. The flux command
curve is prior‐computed by the machine analysis.
Following the phasor diagram in Figure 12.17, the following equations can be
derived:

1
ids ia sin e ia 2ib cos e
(12.33)
3
1
iqs ia cos e ia 2ib sin e
(12.34)
3
vq b qs b lqsiqs (12.35)
 12.3 FUZZY LOGIC 647

qe

deʹ
Vf
B
ψqs
ψs
qeʹ Is δ
Vs ψa
iqs

ϕ C δ
IT Magnetic flux
IM ψf
–ids de
D θe ψds A

ds
ψs
ψa

Figure 12.17 Phasor diagram of IPM machine with vector control.

vd b f ldsids (12.36)
vq
sin (12.37)
ˆ
b s

vd
cos (12.38)
ˆ
b s

ˆs b vd 2 vq 2 (12.39)
cos e cos e cos sin e sin (12.40)
sin e sin e cos cos e sin (12.41)
3 p 1
te vd iqs vq ids (12.42)
2 2 b

iT iqs cos ids sin (12.43)

iM iqs sin ids cos (12.44)

where ia, ib = machine phase currents,

θe= field flux angle with ds axis
ids, iqs = de‐qe axes currents
Ψf = field flux
Ψds,Ψqs = de‐qe axes stator fluxes
ωb = base speed
648 Chapter 12 ARtificial Intelligence Applications

δ = machine torque angle

cos( e ), sin( e ) = unit vectors for vector control
P = number of machine poles
Lds, Lqs = machine stator inductances.
There are three fuzzy controllers (FLC‐1, FLC‐2 and FLC‐3) in the control
system which will be described later. The line‐side converter in Figure 12.15 is also
vector‐controlled with synchronous current control in order to control the line
active (IP) and reactive (IQ) currents to control the active (P0) and reactive powers
(Q0), respectively. The P0 that corresponds to the generated power is controlled to
regulate the DC‐link voltage Vd by close loop, as shown in the figure. The tight con-
trol of Vd requires feed‐forward injection of DC‐link power Pd in the P0 control
loop, as indicated. The following equations can be derived from Figure 12.18,
where IP and v̂s are oriented to the de axis, and IQ (leading) is oriented to the qe axis:

vqss
sin (12.45)
vˆ
e
s

vdss
cos (12.46)
vˆs
e

iP ids iqss sin e idss cos e (12.47)

iQ iqs iqss cos e idss sin e (12.48)
p0 3vs i P (12.49)
Q0 3vs i Q (12.50)

The wind generation system in Figure 12.15 uses three fuzzy controllers
(FLC‐1, FLC‐2 and FLC‐3), as shown, with Mamdani‐type FIS in all of them. The

qe
iqs = IQ
θe
iqss vqss
qs

θe ids = IP
idss

vdss Vˆ s = Vds

de
ds ωe

Figure 12.18 Phasor diagram for line‐side converter with vector control.
 12.3 FUZZY LOGIC 649

Rule
matrix

ωr

∆P0 +
∆ω*r ω*r

+
Membership
functions

Z−1
L∆ω*r

Figure 12.19 Fuzzy MPPT control principle (FLC‐1).

F
-1
Po jump by FLC FLC-2
Line power (Po)

Vw change E
I
D G Vw1
H FLC-1
C
FLC-2 Vw2
-1 B Vw3
FLC Wind
A
Vw4 velocity

ωr1 ωr2 ωr3 ωr4

Generator speed (ωr)

Figure 12.20 Output power maximization of wind generation system with fuzzy MPPT‐1
(or FLC‐1) and MPPT‐2 (or FLC‐2) controls.

FLC‐1 is an online‐search based MPPT (maximum power point tracking) (MPPT‐1)

control, where optimum turbine speed (ωr) is searched for maximum line power
(P0) at constant Vw so that the turbine operates at maximum aerodynamic efficiency.
This was explained in Figure 12.16. A simplified fuzzy MPPT control principle is
explained in Figure 12.19, where the inputs are incremental power ΔP0 and last
increment/decrement of Δωr (L Δωr), and the output is the command speed
increment Δωr*. This is added with the previous ωr signal to obtain the command
speed r* . The FLC‐2 operates on the same (MPPT‐2) principle to set the optimum
light‐load flux command s* as a function of te* for best light‐load generator
efficiency. The operations of FLC‐1 and FLC‐2 are explained on the power–speed
curves of the generator shown in Figure 12.20. Assume that initially the wind
velocity is Vw4 and generator speed is ωr1, which gives the operating point A on the
power curve. The FLC‐1 control brings the operating point to B. Then, FLC‐2
650 Chapter 12 ARtificial Intelligence Applications

control will further increase the output power to point C at the same Vw4 and ωr2. If
Vw now increases to Vw2, the operating point jumps to D. Further operation of the
fuzzy controllers will bring the operating point to F. The effect on decrease of Vw
is also shown in the figure. The FLC‐3 is basically robust fuzzy PI control of the
generator speed using the principle explained in Figure 12.9.

12.4 NEURAL NETWORKS

The principles and applications of neural networks will be discussed in this

section.

12.4.1 Neural Network Principles

Among all the AI techniques, neural networks [9, 34–36] are most important, and
therefore their principles, characteristics and applications will be discussed in some
detail. In fact, modern AI technology is generally synonymous with neural network
applications. It is often said that the invention of neural networks is as significant as
the invention of the transistor. There are predictions that AI technology will signif-
icantly impact our future civilization. The application potential of neural networks
appears to be tremendous. We have hardly scratched the surface because we do not
understand it well, and suitable microchips are not yet available for economical
applications.
What is a neural network? A neural network (also called neurocomputer or
connectionist system) is the most generic form of AI for emulation of human
thinking, compared to rule‐based ES or FL, which emulate the behavioral nature of
human thinking. A neural network tends to mimic the biological neural network of
a human brain. The structure of our nervous system is not well understood, but it is
said to contain around 100 billion nerve cells or biological neurons. Although
biological neuron structure is known, the way they are interconnected is not well
known. Our memory and intelligence, and the corresponding thinking process, are
generated by the action of a biological neural network. An artificial NNW tends to
emulate a biological nervous system in an approximate way by using an electronic
circuit or computer program. It helps us to solve pattern recognition and image
processing type problems, which are difficult to solve by conventional methods.
The core of neurocomputation is nonlinear multidimensional input–output
mapping (see Figure 12.12) or pattern recognition by auto‐associative memory
property of human brain. It is the property by which we recognize a person when
we see their face, or recognition of an alphabet character by a child. Another prop-
erty is pattern classification by which we can differentiate a Chinese face from an
African face by looking at the skin color and facial patterns. This pattern recogni-
tion or classification property can be obtained by learning or supervised training
through input–output example data‐sets, which will be discussed later.
Before we proceed to neural network principles and applications, it would be
interesting to touch upon the historical evolution of this important technology. In
 12.4 NEURAL NETWORKS 651

fact, neural network evolution pre‐dates modern digital computers and other AI
techniques. The history essentially started with the pioneering work of McCulloch
and Pitts in 1943, who were trying to model the nervous system of the human brain
by binary valued artificial neurons that were capable of performing simple threshold
logic computations. McCulloch was a psychiatrist and neuroanatomist, whereas
Pitts was a mathematician. The next major development in neural networks came in
1949 when Hebb proposed his synaptic learning mechanism of biological neurons
in his book The Organization of Behavior. The book had immense influence among
psychologists, but was practically ignored by the engineering community. In the
1950s, the dominant personality in neural network research was psychologist Frank
Rosenblatt of Cornell Aeronautical Laboratory, who invented Perceptron (see
Figure 12.23) and its learning theory to model a biological sensory organ, such as
an eye. In 1960, Widrow and Hoff proposed Adaline and Madaline. Unfortunately,
the lack of expected performance of these networks, coupled with the glamour of
the von Neumann digital computer in the late 1960s and 1970s, practically camou-
flaged the neural network evolution. Many researchers, except those in psychology
and neurosciences, practically deserted the field almost for a decade. Of course,
during the 1970s and early 1980s, attention was diverted for extensive research of
expert system techniques and their applications, as mentioned before. The modern
era of neural networks with rejuvenated research was started by Hopfield in 1982,
a professor at CalTech, who presented his research at the National Academy of
Science. Since the beginning of the 1990s, neural networks have captivated the
interest of a large segment of the scientific community. It is amazing to see how the
results of research mainly from psychologists, psychiatrists, neuroscientists and
mathematicians can be of such importance to the engineering community.

Biological and Artificial Neurons

A NNW consists of a cluster of artificial neurons interconnected together. The
structure of an artificial neuron is inspired by the concept of a biological neuron, as
shown in Figure 12.21a. A neuron is the basic processing element (PE) in the ner-
vous system of the brain which receives and combines signals from other similar
neurons through thousands of input paths called dendrites. Each input signal
(electrical in nature) flowing through a dendrite passes through a synapse or syn-
aptic junction. The junction gap is filled with neurotransmitter fluid which either
accelerates or retards the flow of the signal. The signals are then summed up in
nucleus and nonlinearly modified at the output before flowing to other neurons
through axon, as shown in the figure. The adjustment of the impedance of the syn-
aptic gap by the neurotransmitter fluid contributes to the “memory” or “intelli-
gence” of the brain. According to the theory of the neuron, we believe that our brain
has distributed associative memory or intelligence characteristics which are con-
tributed by the synaptic junctions of the cells. This means that we do not have a
computer‐like centralized memory.
The model of an artificial neuron that closely matches the biological neuron
is shown in Figure 12.21b. Basically, it is an op‐amp summing structure. The
652 Chapter 12 ARtificial Intelligence Applications

(a)

Dendrites

Nucleus

Axon

Synapse

(b)
Bias source
X1 Synaptic +1.0
weights
Wb
X2 W1
b
W2 F(S)
N S F(S) Neuron
Inputs X3 W3 S = ΣXKWK + b
output Y
K= 1

WK Activation
Summing function
XK
WN node (sigmoidal)

XN
Figure 12.21 (a) Biological neuron structure; (b) artificial neuron model.

artificial neuron is also known as a processing element (PE), neurode, node, or cell.
Each input signal (continuous variable or discrete pulses) flows through a gain or
weight (called synaptic weight or connection strength) which can be positive (exci-
tory) or negative (inhibitory), integer or noninteger. The summing node accumu-
lates all the input‐weighted signals, adds to the weighted bias signal b, and then
passes to the output F(S) through the nonlinear (or linear) activation or transfer
function (TF), as shown in the figure.
Some common type activation functions are shown in Figure 12.22. These
are defined, respectively, as linear bipolar, threshold, signum, sigmoidal (or log‐
sigmoid), and hyperbolic tan (or tan‐sigmoid). Another type is Gaussian, which is
not included here. The magnitude of these functions varies between 0 and 1, or −1
to +1, as indicated. The linear function can be unipolar or bipolar. The sigmoidal
and hyperbolic tan functions are commonly used because they are differentiable
 12.4 NEURAL NETWORKS 653

(a) (b) (c)

F(S) F(S) F(S)
+1 +1 +1

Bias

0 S 0 S 0 S

–1 –1
Linear Threshold Signum

(d) (e)
F(S) F(S) α =1
+1 +1
1 α=1
F(S)= eαS – e–αS α =2
1 +e–αS 0.5 F(S) = α = 0.5
eαS + e–αS
0 S 0 S

–1

Sigmoidal Hyperbolic tan

Figure 12.22 Activation (or transfer) functions of artificial neuron.

and slope or gain can be adjusted by varying the coefficient α. All the functions are
squashing in nature. The nonlinear activation functions of neurons permit nonlinear
input–output mapping of NNW.

Neural Network Structures

The objective of NNW applications is to solve scientific, engineering, and many
other real‐life problems as human beings solve them using the a biological neural
network. As mentioned before, scientists understand well the structure of individual
neurons, but their interconnection is not understood well. Therefore, many models
have been proposed in the literature. A model is useful only if it can solve problem(s)
and it can be trained properly. Neural networks are generally classified as feed‐
forward and feedback (or recurrent) types, some of which are listed below [9]:
Feed‐forward types:
•• Perceptron
•• Adaline and Madaline
•• Backpropagation (BP) Network
•• Radial basis function network (RBFN)
•• General regression network (GRN)
•• Modular neural network (MNW)
654 Chapter 12 ARtificial Intelligence Applications

•• Learning vector quantization network (LVQN)

•• Probabilistic neural network (PNN)
•• Fuzzy neural network (FNN)
Recurrent types:
•• Real‐time recurrent NNW
•• Kohonen’s Self‐Organizing Feature Map (SOFM)
•• Adaptive resonance theory (ART) network
•• Elman network
•• Recirculation network
•• Brain‐state‐in‐box (BSB)
•• Hopfield network
•• Boltzmann machine
•• Bi‐directional associative memory (BAM) network
In the feed‐forward class (see Figure 12.23), the signals flow only in the forward
direction, whereas in a recurrent neural network (RNN), the signals can flow in for-
ward as well as in backwards or lateral directions. A network can be defined as
static or dynamic, depending on whether it emulates a static or dynamic system. For
static input–output mapping, feed‐forward topologies are important, whereas for
dynamic temporal mapping, the RNNs are important. A description of all the topol-
ogies and their applications is beyond the scope of this chapter. Currently, around
90% of applications use the feed‐forward BP‐type networks (see Figure 12.24), and
therefore this topology will be emphasized.

Perceptron Network
A perceptron network [8] is a simple, single‐layer, parallel feed‐forward cluster of
neurons which is used for classification of input signal patterns that are linearly
separable. The general structure of a perceptron network (multiple perceptrons)
with a number of neurons S that use unipolar threshold (hard‐limit) TFs is shown in
Figure 12.23a, while Figure 12.23b shows the performance for the upper percep-
tron only. The general parallel input signal vector p has R elements that are multi-
plied by weight matrix W (W1,1, W2,1, etc.) given by (RXS) before connecting to the
summing junction. The resulting Wp vector with the added bias b constitutes the
vector given by n = Wp + b. Each bias signal is generated from +1 source through a
weight (b1, b2, etc.), as shown. The output vector a is then given by a = hardlim
(Wp + b). The lower figure shows the output with p1 and p2 inputs only, when
W1,1 = −1 and W1,2 = +1. The shaded area classifies p1 and p2 loci for n1 > 0 and the
unshaded area for n1 < 0. The classification boundary is given by line L = Wp + b = 0.
The bias signal shifts the line L horizontally, whereas the input weights change its
slope. For more than two input signals, the classification boundary is given by a
hyperplane. The boundary hyperplane of each perceptron can be designed by its
 12.4 NEURAL NETWORKS 655

(a)
W1,1 n1 a1
∑
p1
b1

p2 1
n2 a2
∑
p3
• • b2 • •
• • • •
• • 1 • •
pR
nS aS
∑
WS,R
bS

1
(b)
p2 L
W Wp + b > 0
+1 a=1

–b/w1,1 Wp + b = 0
a=0
+1 p1
–1
Wp + b < 0
–b/w1,2 a=0
–1
Where... w1,1 = –1 and b = +1
w1,2 = +1
Figure 12.23 (a) Perceptron network model structure; (b) explanation of the pattern
classification property for upper neuron only.

weights and bias. For the desired classification boundaries, the perceptron weights
can be designed by a supervised computer training algorithm (perceptron learning
rule). The training of NNW will be discussed later. A simple application of a per-
ceptron is to identify the response charactetistics of a drive system when the time‐
delayed samples of the response curve (see Figure 12.27) are placed at the inputs of
a perceptron. Another simple application is solving a Boolean function [8].
The Adaline or Madaline (multiple Adalines) is another feed‐forward NNW
that has the same structure as the perceptron except its TF is bipolar linear. The
linear network can give only linear input–output mapping. In addition to its use for
pattern classification, it can be used for linearizing nonlinear functions (linear
function approximation) or pattern association.

Backpropagation Network
Figure 12.24 shows the topology of the most commonly used feed‐forward multi-
layer backpropagation (backprop or BP) network. The name “backpropagation”
656 Chapter 12 ARtificial Intelligence Applications

Bias source
+1.0
Hidden
layer (b)
Link
4 V4
Input W14 W49 Output
layer (a) V5 layer (c)
X1 1 5 9 Y1

V6 Output
Input X2 2 6
Descaling or
V7 normalization
X3 3 7 10 Y2
Node
V8 Weight
Scaling or W38 Actual
normalization 8 W8 10 output
Y1 Y2 pattern

Weight E
adjustment
algorithm
Error Desired
Z1 Z2 output
pattern
Figure 12.24 Feed‐foward neural network structure showing backpropagation training.

comes from the method of supervised training for the NNW shown by the lower
two blocks in the figure, which will be discussed later. The network is commonly
called multilayer perceptron (MLP), although the activation function can be differ-
ent from the threshold function. The circles represent the neurons which have an
associated TF (not shown in the figure). The dots indicate the synaptic weights of
the neurons which are often omitted for simplicity. The figure shown has three
layers of neurons: an input layer, a hidden layer and the output layer. With five neu-
rons in the hidden layer as shown, it is defined as a 3‐5‐2 network. The input layer
of neurons essentially distributes the signals to the hidden layer. Therefore, this
topology is often called a two‐layer network. If the signals are bipolar, the hidden
layer neurons have hyperbolic‐tan TF, and the output layer has bipolar linear TF.
Otherwise, for unipolar input signals, these TFs can be sigmoidal and unipolar,
respectively. Sometimes, the output layer uses nonlinear TF also. The NNW nor-
mally processes the signals in per unit (pu) manner. Therefore, the input signals
scaling (or normalization) and output signals descaling (or denormalization) are
used. A fixed bias signal normally couples to all the hidden layer and output layer
neurons through weights, but the output layer coupling is not shown in the figure.
The NNW input and output signals can be continuous, logical unipolar or logical
 12.4 NEURAL NETWORKS 657

bipolar. Although a majority of applications use three layers of neurons, sometimes

more than three layers are used.
The artificial NNW, as shown in Figure 12.24, has analogies with a biological
neural network. Similar to a biological network, where intelligence or memory is
contributed to in a distributed manner by the synaptic junctions of neurons (see
Figure 12.21a), the NNW synaptic weights contribute to distributed intelligence.
This intelligence permits the basic input–output nonlinear mapping or pattern rec-
ognition property of a NNW. This is the associative memory property, which is
similar to that of a biological nervous system.
A NNW can be implemented by serial or parallel‐connected DSPs, FPGAs
(field‐programmable gate arrays), or application‐specific ICs (ASIC chips).
Massive parallel computation contributes not only high‐speed execution but also
fault tolerance and noise immunity of signals.
One unique characteristic of NNW is that it generally requires supervised
backpropagation training with example input–output data‐sets instead of traditional
programming for solving a problem in a computer. This is analogous to supervised
alphabet training (or learning) of a child with the help of a tutor. It may be inter-
esting to note that backpropagation theory was originally proposed by Paul Werbos
in his doctoral thesis at Harvard University in 1974, but it went unnoticed by the
scientific community for almost a decade. In 1986, the modern backpropagation
supervised training algorithm was reported by Rumelhart, Hinton and Williams,
and has been used extensively for feed‐forward multilayer‐perceptron (MLP)‐type
networks. This type of network is the most commonly used in recent years, as men-
tioned before.

Backpropagation Training Method

The backpropagation training method of NNW is shown by a flowchart in
Figure 12.25. In the beginning, input–output example data patterns are obtained by
simulation with the mathematical model of the plant, if such a model is available.
An initial NNW configuration is created by the desired input and output layer neu-
rons dictated by the number of signals, a hidden layer with a few neurons, and
appropriate TFs. Small random weights are selected to prevent saturation of sig-
nals. With one input signal pattern, the output is calculated and compared with the
desired output pattern. The weights are then altered in the backward direction by a
backpropagation algorithm (gradient descent technique) until the error between the
calculated pattern and the desired pattern is very small and acceptable, which is
determined by the equation:

p Q
2
SSE dj p yj p (12.51)
p 1j 1

where SSE is the total sum of squared error, P is the number of training patterns, Q
is the output layer neurons, djp is the desired output of the jth neuron of the output
layer, and yjp is the corresponding actual output.
658 Chapter 12 ARtificial Intelligence Applications

Get input-output example

data patterns from experimental
or simulation results

Select ANN topology with no. of

layers, nodes, and activation function

Initialize with
random weights

Select an
Change number of input-output pattern
neurons in hidden
layer or no, of layers
Calculate output
and compute error

Is error N Change weights

acceptable? by training algorithm
Y
Train network with
other patterns

N Is error
acceptable?

Y
Test network
performance

Network is
ready for use
Figure 12.25 Flowchart explaining the backpropagation training algorithm of a feed‐
forward neural network.

A number of BP algorithms have been proposed, but the L‐M (Levenberg‐

Marquardt) algorithm is frequently used because of its rapid convergence. Once the
NNW is trained properly, it should be adequately tested with intermediate data to
verify the quality of the training before acceptance. Normally, a computer program
(such as MATLAB‐based Neural Network Toolbox [38]) performs the training to
determine the number of hidden layer neurons and the network weights.

Real‐time Recurrent Network

In the previous sections, we have discussed the feed‐forward neural networks that
give only static nonlinear input–output mapping. In many applications, a neural
network is required to emulate a dynamic system with temporal behavior, such as
 12.4 NEURAL NETWORKS 659

identification of a machine model. Figure 12.26a shows a recurrent or feedback

network with time delays Z–1 that can emulate a dynamic system. The output of the
network not only depends on the present input, but also prior inputs, thus giving
temporal behavior of the network. The network can emulate nonlinear differential
equations that are characteristic of a nonlinear dynamic system (such as a dynamic
model of an induction motor).
The model of the network can be given as:

Q1 w11 . . wn m 1 U1
. . . . . .
(12.52)
. . . . . .
Qn w1n . . wn m n
Un m

yj k 1 f Qj k (12.53)

where Q = neuron output before the TF

F(Q) = neuron activation function
N = number of output neurons
M = external input connections
M + N = total network inputs
X(k) = external input vector
Y(k + 1) = vector neuron output at one step later at discrete time (k + 1)
W’s = weights of neurons that define the parameters of the system
The network can be trained by a dynamic backpropagation (real‐time
temporal supervised learning) algorithm, where the desired time domain output
from the reference dynamic system can be used to force the network to track by
tuning the weights dynamically sample by sample, as indicated in Fig.12.26b. The
rea‐time simulation of an IPM synchronous generator in Figure 12.15, for example,
can be made by the real‐time recurrent network type of Figure 12.26a.

Time‐delayed Network
In addition to the RNN structure of Figure 12.26a, a time‐delayed neural network
(TDNNW), as shown in Figure 12.27, is also popular for identification and control
of a dynamic system. In this case, a single input X(k) is fed to a multiple‐input static
network through a tapped delay line. The delay line generates a sequence of signals
with unit time delay (Z−1). The signals are multiplied by the respective weights
within the ANN and then generate the output Y(k) through the TF as shown in the
following equation:
n
y k f wnk X k n (12.54)
n 0
660 Chapter 12 ARtificial Intelligence Applications

(a) Delayed feedback

Z–1
•
•
•
Z–1

1 W11
Y1(k) • Q1
• W1N 1 F(Q1) Y1(k+1)
YN(k) •
N • TF
• Output
• Signals
X1(k) 1
Intput • QN
signals • Y(N+M)1 N F(QN) YN(k+1)
•
XN(k) M TF
Y(N+M)N

(b)

X(k) y(k)
PLANT

+
y′(k)
ANN
–
e(k)

Figure 12.26 (a) Real‐time recurrent network structure; (b) block diagram for training.

where wnk w0 k ,w1k wnk is the network weight vector and F is the
activation function of the neuron. The network can be trained by BP algorithm
as discussed before.

Inverse Model Identification of Plant by Neural Network

Previously, we discussed identification of the dynamic model of a plant with the
help of a recurrent neural network. It is also possible to identify the inverse plant
model by training of a RNN, as shown in Figure 12.28a. In this case, the plant
response Y(k) is impressed at the input of the NNW and its calculated output is com-
pared with the plant input, which is the data of the target. The resulting error ξ(k) is
 12.4 NEURAL NETWORKS 661

X(k)

Z–1
X(k–1)
Z–1 STATIC
ANN Y Y(k)
X(k–2)
Z–1 F(·)
X(k–3)

Z–1
X(k–N)

N
Y(k) = F Σ WnkX(k–n)
n=0

Figure 12.27 Time‐delayed network with tapped delay line.

(a)
F(·)

X(k) Plant y(k)

+
ξ(k)

– F–1(·)
Inverse
model

(b)
F–1(·)
ANN Main signal
inverse
model
u’(k)
F(·)
+
e + u(k)
r(k) G Plant y(k)
+
–
Supplemental
signal

Figure 12.28 (a) Training of inverse dynamic model of a plant; (b) inverse dynamic
model‐based adaptive control of a plant.
662 Chapter 12 ARtificial Intelligence Applications

used to train the network so that the error becomes reduced to the acceptable
minimum value. After satisfactory training and testing, the NNW represents the
inverse dynamic model of the plant. This model can then be placed in series as the
actual controller of the plant shown in Figure 12.28b. The inverse model ideally can-
cels the forward model, i.e., F−1(.) F(.) = 1. Therefore, the output signals follow the
input signals and no feedback control is necessary. However, in practical cases, the
output will deviate from the input because the inverse model may not be perfect, and
there may be parameter variation effect. Therefore, a feedback loop is added where
the supplemental error signal e is generated as shown. The signal e can also be used
for online tuning of the NNW inverse model.

12.4.2 Neural Network Applications

Before we proceed to NNW applications in power systems, let us discuss its appli-
cation in a simple non‐engineering optical character recognition (OCR) of an
alphabet [35] to clarify the ideas. Figure 12.29 illustrates mapping of the letter “A”
by the 5‐bit binary code (10101) using a BP NNW. However, the general problem
is to represent all the 26 alphabet characters by a 5‐bit binary code. In the figure, A
is represented by a 5 × 7 matrix of inputs consisting of logical 0 s and 1 s, where the
shaded squares correspond to 1 and unshaded squares represent 0. The input vector
of 35 logical signals is connected to the input of a 35‐20‐5 BP network without any
bias signals. The NNW uses sigmoidal TFs in all the neurons and the output is
clamped to logical 0 or 1. The input–output mapping is peformed by supervised
learning of all the weights. The NNW has altogether 800 weights, which give it 800
degrees of freedom for pattern mapping.
The letter B is to be coded by 10001. After training for A, if B is given as the
input, the NNW output will be totally distorted. Another round of training tunes the

Input Output
1 0 Hidden layer

1
0 Binary
35 lines 1 code
10101
0
1

7×5 35-20-5 5 ×1
Matrix Feed forward neural Matrix
network
Figure 12.29 Neural network‐based pattern recognition principle by alphabet character
identification.
 12.4 NEURAL NETWORKS 663

weights so that B gives the desired code 10001. However, if A is impressed again,
the output will be distorted. The NNW is trained back and forth with all the 32 input
vectors and the corresponding binary codes so that each vector generates the
corresponding code after successful training. Evidently, the nonlinearity of the
NNW with so many degrees of freedom and logical clamping at the output permits
such recognition of patterns. This example gives a clear idea of pattern recognition
properties of NNWs. Note that inverse mapping of the codes to generate the
corresponding input character by a NNW is also possible, as shown in Figure 12.30a.

(a) 1 0

5-20-35
5×1 Feedforward 7×5
Matrix neural Matrix
network

(b) Distorted Clean

A A

Distorted 35-20-35
7×5 Neural 7×5
Matrix network Matrix

Figure 12.30 (a) Inverse mapping of letter “A”; (b) autoassociative mapping of “A”.
664 Chapter 12 ARtificial Intelligence Applications

It is also possible to cascade these NNWs to recover the original character (i.e.
35‐20‐35 NNW topology) (Figure 12.30b). The advantage of these heteroassocia-
tive or autoassociative NNWs is that if the input pattern is distorted, the output
pattern will be clean. This is the noise filtering property of NNWs.

Three‐Phase Sine Wave Generation

Let us now consider a simple example application of NNW for generation of three‐
phase sine waves in some detail. Figure 12.31a shows the network that generates
the sine functions from the input signal X in radians that varies from 0 to 2π. The
output peak amplitude is set to 1 for normalized data processing. The network uses
a three‐layer BP NNW with the topology of 1‐5‐3, using tan‐sigmoid TF in the
hidden layer and linear bipolar TF in the output layer. For generality, a bias of +1 is
supplied to the hidden and output layers, as shown. The training data of X (with a
step size of 0.1 radian) and the corresponding output target data were generated by
MATLAB sine functions. The input–output data file in MATLAB was imported to
a GUI (graphical user interface) for training. The network was trained by MATLAB‐
based Neural Network Toolbox [38] using an L‐M algorithm. After training the
network, it was converted to MATLAB‐Simulink program for testing. A sawtooth
wave with X was impressed at the input and the corresponding three‐phase waves
were generated at the output. The training error converged to the desired goal of
0.001 after 178 epochs (number of forward and reverse pass cycles). The final
matrices of weights and biases are given below:

w111 0.9746 b111 4.9313

w121 1.0423 b121 6.5538
w1 w131 0.7937 b1 b131 2.5381
w141 0.9571 b141 1.1780
w151 0.9504 b151 0.1443

w112 w212 w312 w412 w512

w2 w12 2 w22 2 w32 2 w42 2 w52 2
w132 w232 w332 w432 w532
2.7096 4.1398 9.5330 1.4385 5.3972
8.2493 2.1779 4.4349 7.7484 8.3220
5.5379 6.3177 5.0981 9.1869 2.9248

b112 3.4111
2
b b12 2 10.8206
b132 14.2317
 12.4 NEURAL NETWORKS 665

(a)
+1
BIAS
B1 B2

1
W2
W1

2 1 Y1 = AsinX

X = (0–2pi)
INPUT 2 Y2 = Asin(X–2pi/3)
SIGNAL 3

3 Y3 = Asin(X+2pi/3)
4
OUTPUT
SIGNALS
5

(b)

IW{1,1} LW{2,1}

b{1} b{2}

1 5 3

(c)

Figure 12.31 Neural network training example for three‐phase sine wave generator.
(a) NNW topology; (b) symbolic form in the toolbox; (c) output waves after training.
666 Chapter 12 ARtificial Intelligence Applications

Figure 12.31b shows the NNW in symbolic form and Figure 12.31c shows the
output waves. Note that the same functions could also be generated by DSP‐based
look‐up tables, but the NNW has the advantage of precise interpolation.

Neural Network Applications in Renewable Energy Systems and Smart Grid

Among all the AI techniques, NNW appears to have the maximum potential for
application in renewable energy systems and smart grid. Currently, our knowledge‐
base in these applications is very inadequate. Exploring the full potential of NNW
applications in these areas will take a prolonged effort by many scientists. Some of
these applications can be mentioned as follows [39, 40]:
•• Consumer load forecasting on the grid
•• Forecasting of wind and PV generation curves
•• Online fault diagnostics and fault‐tolerant control of power system
•• Sensorless robust estimation of feedback signals
•• Noise and delay‐free filtering of signals
•• Neural network modeling of static and dynamic system elements and real‐
time simulation by DSPs/FPGAs/ASIC chips
•• Intelligent scheduling of generation and storage
•• High‐performance intelligent control of system elements
•• Real‐time pricing predictions of electricity with demand‐side management.
In fact, NNW‐based AI can be applied to every phase of the smart grid for
performance improvement. Let us now discuss some specific application
examples.

Health Monitoring of Wind Generation System by ANFIS

What is ANFIS? ANFIS [41], or “adaptive neuro fuzzy inference system” is
­basically a fuzzy inference system implementation by a NNW. As mentioned
before, both FIS and NNW are basically multidimensional, nonlinear input–output
mappings. A NNW uses input–output example data‐tables to train a network,
­typically by a supervisory backpropagation technique. On the other hand, a fuzzy
system MFs and rule tables are usually determined by trial and error that may be
time‐consuming. Therefore, a fuzzy system for the desired input–output mapping
can be trained quickly by neural network training methods.
Both Mamdani and Sugeno FIS were discussed before. The Sugeno (zero‐
order and first‐order) methods are usually popular in ANFIS, although higher‐order
systems are also possible. In this section, as shown in Figure 12.32, we will review
a simple first‐order ANFIS with only two input variables (X and Y) and one defuzzi-
fied output (F). Figure 12.32a shows the FIS with triangular MFs (A1, A2, B1 and
B2) for the antecedent part of the rules, and f1 and f2 are the output singleton MFs.
Being a first‐order system, f1 and f2 (singleton bases) vary linearly with the input
 12.4 NEURAL NETWORKS 667

(a)
Singleton MFs

1 A1 1 B1
μA1(x) μB1(Y)
w1

f1 w1 w2
F= f + f F
A2 B2 w1+ w2 1 w1 + w2 2
1 1
Defuzzified
output
μA2(X) w2 Where
μB2(Y)
b f1 = A01+A11X+A21Y
X Y f2 f2 = A02+A12X+A22Y
a First-order
Takagi-Sugeno method

(b)
Backpropagation
f1 algorithm
μA1(x)
A1
W1 W1
X Π N Π
W1f1 e
μB1(Y) W1
A2
Input Σ
variables W2 f2 F –
B1 output +
μA2(X)
W2 W2 W2f2 Fd
Y Π N Π
AND Normalizer Desired
B2 output
μB2(Y)

MFs
Layer 1 Layer 2 Layer 3 Layer 4 Layer 5
Figure 12.32 (a) Sugeno (first‐order) fuzzy inference system with two rules; (b) ANFIS
structure for (a).

variables X and Y, as shown by the equations on the right of the figure. The two
rules which are considered in the FIS are

Rule 1 : IF X is A1 AND y is b1 , THEN Z f1 (12.55)

Rule 2 : IF X is A2 AND y is b2 , THEN Z f2 (12.56)

where f1 = A01 + A11X + A21Y

f2 = A02 + A12X + A22Y
and A01, A11, etc. are the coefficients.

w1 f1 w2 f2 Z1. dof1 Z 2 . dof2

The defuzzified output f (12.57)
w1 w2 dof1 dof2

where DOF1 = W1 and DOF2 = W2.

668 Chapter 12 ARtificial Intelligence Applications

The corresponding ANFIS structure is shown in Figure 12.32b, where the

functions A1, A2, B1, B2, f1 and f2 are tuned by the backpropagation algorithm. The
feed‐forward NNW has five layers which can be summarized as follows:
1. Layer 1 – Generate the membership values from the two rules

A1 X , A2 X , b1 y , b2 y

2. Layer 2 – Generate the firing strength by multiplication (π) or AND

operation

w1 A1 X . b1 y
and w2 A2 X . b2 y

3. Layer 3 – Normalize the firing strengths

w1
w1
w1 w2
w2
w2
w1 w2

4. Layer 4 – Calculate the rule outputs by multiplying with the consequent

parameters

w1 f1 w1 . f1
and w2 f2 w2 . f2
5. Layer 5 – Sum all the component outputs

f w1 f1 w2 f2

Note that each triangular MF again has two unknown parameters a (peak) and
b (support), as indicated in the figure. The equation of a function in terms of
a and b parameters is:

X a
X 1 , if X a 0.5b, 0 else (12.58)
0.5b
This means that each MF is tuned by the parameters a and b.

In the training, as shown in the figure, the calculated output F of the network
is compared with the desired value Fd, and the error signal e is used to train the net-
work parameters by the backpropagation algorithm. The MATLAB‐based Fuzzy
Logic Toolbox can be used to design an ANFIS. Usually, f1 and f2 are trained first,
which require determining all the coefficients of f1 and f2. This is then followed by
 12.4 NEURAL NETWORKS 669

the design of the a and b parameters of the triangular MFs. Other types of MFs,
such as Gaussian, can also be considered. A Gaussian‐type MF is particularly con-
venient because it is continuous, differentiable, and always has some finite value.
Instead of a first‐order Sugeno system, a simpler zero‐order can also be considered.
The principle of ANFIS in Figure 12.32 has been illustrated with only two input and
one output signals. For a practical application, the ANFIS can have a large number
of input and output signals.
Let us now consider application of the ANFIS given in Figure 12.32b for
health monitoring of a wind generation system. A practical wind generation system
(see Figure 12.15) can have a large number of system signals for monitoring and
protection. The signals may be classified as follows:
Wind signals:
Velocity
Wind direction
Turbulence

Turbine signals:
Blade speed
Shaft speed
Pitch angle
Pitch angle control signal
Bearing temperatures
Vibration of blade
Yaw angle
Shaft torque
Mechanical brake signal
Tip speed ratio

Gear box:
Oil temperature
Oil viscosity
Noise intensity
Vibration
Nacelle temperature

Generator:
Bearing temperatures
Shaft vibration
Stator winding temperatures
670 Chapter 12 ARtificial Intelligence Applications

Rotor magnet temperatures

Shaft torque
Stator voltages
Phase sequence
Stator currents
Stator frequency
Active power
Reactive power

Converter:
Converter temperatures
Cooling fluid velocity
DC‐link voltage
DC‐link current
DC‐link power
AC line voltages
Output frequency
Phase unbalance of voltages
AC line currents
Phase unbalance of currents
Active power
Reactive power
Motoring/regeneration mode

The signals can be monitored with the help of sensors (or sensorless estimation) to
determine the general health of the wind generation system. Although the system in
Figure 12.15 is gearless, the gearbox signals have been included for generality. All
the signals vary within certain ranges. The health condition or health index of the
system can be defined as “excellent” if variation of the signals remains confined
within a highly satisfactory range. If some signals go beyond this range, but are yet
very safe, the system can be defined as “very good”. Similarly, for other ranges, the
health index can be classified as “good,” “fair,” “poor,” “unsafe,” and so on. If some
signals degrade, the diagnostic messages for the signals can be generated indepen-
dently. If any signal goes beyond the safe range into a fault condition, the system
can be shut down for protection. Fault‐tolerant control can be implemented, as
desired. Figure 12.33 shows the ANFIS implementation of the health monitoring
system. Similar health monitoring principles can be extended to PV or other sys-
tems also. Once the system design is complete, it can be implemented by DSPs or
FPGAs, as previously discussed.
 12.4 NEURAL NETWORKS 671

Wind
signals Trip signals
Turbine
signals
Excellent
Unsafe
Gear box
signals Very
Poor
Anfis good

Fair
Generator
signals
Good Health
index
Converter
signals
Diagnostic
messages

Figure 12.33 ANFIS‐based health monitoring for wind generation system (see
Figure 12.15).

ANN‐based Fault Pattern Identification of Smart Grid Subsystem

This application of NNW is concerned with the identification of fault and power
quality problems in a smart grid subsystem (or microgrid) as indicated in
Figure 12.34. The three‐phase voltage and current wave signals of a grid give the
footprint or characteristic signatures of different types of faults in a system. As
shown in the figure, the voltage and current signals are sensed and their space vec-
tors are computed. These space vectors are then analyzed to identify different types
of faults in the system. For example, in a healthy harmonic‐free balanced system
with the rated sinusoidal voltage and current waves, the space vectors are circles of
fixed diameters. For overvoltage or overcurrent conditions, the respective circle
diameters will increase proportionately. Similarly, for a decrease in voltage or
current, the respective circle diameter will decrease proportionately. Therefore, the
quantitative deviations from the rated values can be determined by measurement of
the circle diameter. For system imbalance or harmonics in the waves, the space vec-
tors will be distorted characteristically. For every abnormal condition in the system,
the space vector signals will have some distortion, the signature of which can be
analyzed to identify the fault condition quantitatively. The space vector patterns are
displayed on optical grids with m × n matrix, and the characteristic logic signal 1 s
(shaded) and 0 s (unshaded) can be generated similar to the alphabetic character
recognition system in Figure 12.29. These matrices of the characteristic logic
­signals are impressed at the input of a feed‐forward neural network, as shown
in the figure. The NNW is trained with example data patterns to identify the
corresponding fault in the system. This is essentially the image processing or
pattern identification property of NNW discussed before. Some of the identified
faults are indicated in the figure. Fault‐tolerant control based on NNW can also be
designed and ­implemented in the system.
672 Chapter 12 ARtificial Intelligence Applications

SMART GRID
SUBSYSTEM

va ia
vb ib
vc ic
OPTICAL
GRID
m×n
MATRIX

m×n m×n

Bias source
+1.0
Hidden
layer (b)
Link
4 V
Input W Output
W
layer (a) V layer (c)
Thd
X 1 5 9 Y
Line short
V Output Single phasing
Input X 2 6
Descaling or 3 ph short
V normalization
Over loading
X 3 7 10 Y
Over voltage
Node
V Weight
Scaling or W
W
Actual Under voltage
normalization 8 output
Y Y pattern Over current
Weight E
adjustment
algorithm
Error Desired
Z Z output
pattern

Feedforward
backpropagation
neural network

Figure 12.34 Fault identification of smart grid subsystem by neural network mapping.

12.5 CONCLUSION

The advent of powerful AI technology has opened a new frontier for modernization
of smart power grids with renewable energy systems. Generally, this is an ambi-
tious and challenging task that will take many years for implementation with the
integrated efforts of many scientists specialized in this area. It will help in meeting
the desired SG goals of system availability, reliability, power quality, energy
efficiency, and system security with optimum resource utilization and economical
electricity, as mentioned before. The chapter includes a brief and comprehensive
review of different elements of AI, such as ES, FL and NNWs. ES has been dis-
cussed extensively in the literature and applied widely in both industrial and non‐
industrial applications, although their application in power and power electronic
systems is not that common. The ES applications have been extended in this chapter
for the control of smart grid based on a real‐time simulator. Fuzzy inference sys-
tems have been considered in various applications. A modern PMSG‐based wind
 REFERENCES 673

generation system has been discussed in detail, using FL‐based optimization of

wind turbine aerodynamic efficiency for maximum energy capture, generator
efficiency improvement at light load by flux programming, and robust turbine‐
generator operation with wind gust pulsating torque control. Among all the AI
techniques, the importance of NNW is most significant, and therefore it has been
discussed in some detail. The feed‐forward backpropagation network and its appli-
cations have been emphasized because of its wide popularity. Different applications
of NNW have been discussed for smart grid and renewable energy systems. These
include adaptive neuro fuzzy inference system (ANFIS) for health monitoring
of wind generation systems, and fault identification in a smart grid subsystem by
analyzing the voltage and current wave patterns. It is interesting to note that, among
all the AI techniques, NNWs are now getting maximum emphasis for future
­applications. A new kind of industrial revolution is expected in the future [42, 43]
by widespread applications of AI with the advent of powerful and economical
application‐specific NNW microchips.

ACKNOWLEDGMENT

The author is grateful to Prof. Joao Pinto of Federal University of Mato Grosso Sul,
Brazil, and Prof. Marcelo Simoes of Colorado School of Mines, USA, for their help
with the contents of this chapter when they were doctoral students in my laboratory
at the University of Tennessee.

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[37] B. K. Bose. “Guest editorial,” IEEE Trans. Ind. Electronics (Special Section on Neural Network
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[41] J. S. R. Jang. “ANFIS: Adaptive‐network‐based fuzzy inference system,” IEEE Trans. Systems,
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[42] C. Campbell/Beijing. “Baidu’s brain (Russian President Vladimir Putin recently said that whoever
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 Index

A air‐cooled 100 kVA three‐phase inverter, 309

ABESSs see advanced battery‐energy air supply system, 444
storage systems (ABESSs) alkaline fuel cells (AFCs), 450
absorbed glass mat (AGM) design, 533 amorphous silicon (a‐Si), 355
AC–AC converters, 19 ANDRITZ HYDRO Hammerfest HS1000
AC drives, 36–37 tidal current turbines, 417
AC‐module inverters, 371 ANFIS see adaptive neuro fuzzy inference
acoustic Doppler current profile (ADCP), 421 system (ANFIS)
activation functions of artificial neuron, anion exchange membrane (AEM) fuel
652, 653 cells, 450
activation overpotential, 462 ANN‐based fault pattern identification,
active inverter‐resident methods, 385 671–672
active NPC (ANPC) inverter, 160 arbitration approach, 614
active switch, 17 artificial intelligence (AI)
adaptive neuro fuzzy inference system (ANFIS) definition, 625
description, 666 expert system (see expert system (ES))
for wind generation system fuzzy logic, 636
converter, 670 control of modern wind generation
feed‐forward neural networks, 668 system, 644–650
gear box, 669 fuzzy inference system, 637–643
generator, 669–670 neural networks (see neural networks)
implementation, 670 origin, 625–626
Sugeno method, 666, 667 artificial neural networks, 650
turbine signals, 669 asynchronous/synchronous generator with
wind signals, 669 full‐scale power converter, 327–328
advanced battery‐energy storage systems
(ABESSs) B
lithium chemistry batteries, 536–541 backpropagation network, 655–657
nickel‐cadmium batteries, 535–535 backpropagation training method, 657–658
nickel‐metal hydride batteries, 536 back‐to‐back configuration, 286
sodium‐nickel chloride batteries, 543, 543 balance‐of‐plant fuel cells, 468–469
sodium‐sulfur batteries, 541–544 battery‐energy storage system (BESS),
advanced NPC inverter, 156 170, 294

Power Electronics in Renewable Energy Systems and Smart Grid: Technology and Applications,
First Edition. Edited by Bimal K. Bose.
© 2019 by The Institute of Electrical and Electronics Engineers, Inc.
Published 2019 by John Wiley & Sons, Inc.

677
678 Index

binary cycle power plants, 432–433 cloud‐in‐the loop wide‐area control, 604
biofuels, 48 CO2 concentration, historical changes, 6
biological and artificial neurons, 651–653 CO2 emissions, 85
bipolar devices, 108 cogeneration systems, 461
bipolar junction transistor (BJT), 86, 153 Columbia Power Technologies SeaRay, 394
bipolar Si IGBT, 108 commercially available power
blanking time, 156 ­semiconductor devices
building integrated PV systems, 357–358 GaN HFET, 88
high‐frequency isolation transformer, 88
C line frequency transformer, 88
cadmium telluride (CdTe), 355 panel level microinverter, 88
CAES see compressed air energy storage PV and energy storage, 88
(CAES) SiC MOSFET, 88
capacitor‐based static VAR compensator three‐terminal power semiconductor
(SVC), 282 switches, 87
capacitor‐commutated converter (CCC) three‐terminal power switches, 88–89
HVDC technology, 61 two‐terminal power switches, 88, 90
carbon emission control and Kyoto voltage source converters, 88
Protocol, 12–13 co‐modelling, 599
carbon fertilization effect, 5 compact dynamic phase‐angle regulator,
carrier‐based modulation techniques 303–304
hybrid PWM method, 234–238 complex mission profiles, 320–322
level‐shifted PWM method, 229–231 compressed air energy storage (CAES)
phase‐shifted PWM method, 231–234 adiabatic storage, 514
pre‐programmed PWM method, 239–242 diabatic storage, 514
PWM method, 228–229 isothermal compression‐expansion
cascaded H‐bridge (CHB) converter, 220 approach, 514
cascaded H‐bridge inverter, 166 issues, 511
cascade multilevel converter, 166 layout of, 513
cascade multilevel inverter (CMI), 166, operational in‐ground power plants, 515
293, 482 concentrated solar power (CSP), 351
cathode current, 126 concentration overpotential, 463
central PV inverter, 364 continuously variable series reactor
ceramic capacitors, 26 (CVSR), 59
chain‐link multilevel inverter, 166 controllable distribution network, 289–290
CHB circuit topology, 221–222 control structure of multilevel converters,
chemical energy storage, hydrogen‐based, 547 223–225
circulating currents, 170 inner control loop, 225–226
in DSCC converters, 183–184 in‐phase balancing strategy, 227
cycloconverter, 184–185 outer control loop, 225
similarity and difference, 186–187 zero‐sequence injection, 226–227
single‐leg DSCC inverter, 185–186 conventional medium‐voltage rail traction
classic pulse width modulation (PWM), 228 system, 42, 43
climate change converters (power electronics), 78
beneficial effects, 11–12 AC–AC converters, 19
long‐term effects, 7–10 application control layer, 33
problems, mitigation methods, 13–14 auxiliary power supplies, 35
closed‐cycle OTEC (CC‐OTEC), 415 converter control layer, 33–34
 Index 679

DC–DC converters, 19 D
filters, 32–33 data center power supplies, 47–48
hardware control layer, 34 DC‐AC inverter, 479–483
interleaved, 22, 23 DC‐DC converters, 19
inverters, 19 multiphase, 478–479
multilevel, 20–22 multiswitch isolated, 473–476
multiphase, 22 single‐switch isolated, 472–473
passive components soft‐switching, 476–477
capacitors, 26–30 DC drives, 36
magnetics, 24–26 DC power systems, 469–469
rectifiers, 19 dead time, 156
sensors, 35 delta‐connected CMI configuration,
soft‐switched, 23 293, 295
switching control layer, 34 depth of discharge (DoD) method, 561, 562
system control layer, 33 desensitized solar cells, 355
thermal management system DFIG‐based wind turbine systems,
direct liquid cooling, 30–31 336–337
forced convection cooling, 30 diamond vertical power device, 111
heat sinks, 31 diffusion MOS channel (DMOS), 120
phase‐change cooling, 30–31 direct ammonia fuel cells (DAFCs), 452
thermal materials, 31–32 direct‐drive permanent magnet synchronous
co‐optimization models, 599–600 generator (PMSG), 423
copper indium gallium selenide directly connected linear generator,
(CI(G)S), 355 398, 400
co‐simulation direct methanol fuel cells (DMFCs),
description, 599 451–452
differential‐algebraic system direct power control (DPC), 224, 245
simulation, 600 direct torque control (DTC), 224, 245
formal verification, 600 distributed energy resources (DERs), 586
hierarchy, 600 distributed FACTS, 303, 305
hybrid systems, 600 devices, 58–59
numerical analysis, 600 distributed generation (DG), 497
structure and timescales, 600 distributed hash tables (DHTs), 605
time‐varying models, 600 distributed load frequency control, 617–618
CPS smart‐grid simulation testbeds, 619 distribute model predictive control (dMPC),
CSC HVDC technology, 60, 61 617–618
CSP TES plant, 555 distribution grids, power electronics for
current filament, 126 Custom Power, 73–75
current rating, 103–108 microgrids, 73, 76
current source converters (CSCs), 566 double‐delta bridge‐cell (DDBC)
Custom Power, 73–75 converter, 168
cyber‐physical modeling and simulations double‐star bridge‐cell (DSBC)
cloud‐in‐the loop architecture, 602–604 converter, 167
GridStat, 601, 604 double‐star chopper‐cell (DSCC), 154
SCADA, 601, 602 doubly‐fed induction generator (DFIG),
virtual machines, 604, 605 318, 423
WAMPAC, 601 with partial‐scale power electronics
cycloconverter, 184–185 converter, 327
680 Index

downscaled DSCC back‐to‐back electrical power industry, challenges and

(BTB) system opportunities, 496
circuit configuration, 187–189 electric (electrochemical) double‐layer
operating performance under transient capacitors, 520–520
states, 189–192 electricity generation, in selected ­countries, 3, 4
DR‐advisor, 598 electric vehicles (EVs), 39–42
droop coefficients, 379 electrified railways, 42–45
dry steam power plants, 431 electrochemical capacitors, 26
DSCC see double‐star chopper‐cell (DSCC) electrochemical energy storage
DSCC and TSBC converters to motor drives advanced batteries, 535–545
discussion of, 204 attributes and potential applications, 530–530
DSCC‐based motor drive systems, 193–195 description, 529
experimental motor drives, 195–199 flow batteries, 545–545
four‐quadrant operation, 204–205 lead‐acid batteries, 529–530, 533–533
50 Hz induction motor, 198–201 electrolytic capacitors, 26
operation of, 202–204 electromagnetic simulations, 588
DSCC‐based motor drive systems, 193–195 electromechanical simulations, 587
DSCC converters electronic ballasts, 39
circulating currents in, 183–184 eMEGAsim technology, 635, 636
cycloconverter, 184–185 EMI filters, 32
similarity and difference, 186–187 emitter turn‐off (ETO) thyristor, 87
single‐leg DSCC inverter, 185–186 energy, 1–4
DSBC and, 168–169 energy security, 348
to grid connections, 192–193 energy storage
DSCC‐driven 50Hz motor, 202–204 chemical, 547–552
DSCC inverters to medium‐voltage motor customer services, 504
drives, 212–213 discussion‐based assessment, 556
dynamic braking for a DSCC fed induction electrical, 518–529
motor, 204–205 electrochemical, 529–547
background and motivation, 206 grid services provided by, 502, 503
circuit and system configurations, 206–209 mechanical, 507–518
experimental verification, 210–212 medium‐and long‐term, 502
dynamic voltage restorer (DVR), 296, 301 potential deployment, 505, 506
power and energy applications, 502
E roles, 500–501
ebb tide, 420 short‐term, 502, 557
electrical characteristics, fuel cells thermal, 552–555
dynamic operation, 465–465 transmission and distribution system, 504
dynamic operation with a paralleled energy storage systems (ESS), 379–382,
ultracapacitor, 467–468 499–500, 505
steady‐state operation, 462–465 capital cost, 564–565
electrical energy storage daily self‐discharge vs. lifetime, 562
attributes and potential applications, discharge time vs. power rating, 560
522, 523 energy efficiency vs. cycle life, 561
supercapacitor energy storage, 518, power vs. energy density, 558
518–524 specific power vs. specific energy, 559
superconducting magnetic energy technical maturity, 563
storage, 524–529 engineered geothermal systems, 428
 Index 681

enhanced geothermal systems (EGS), 428 layout of the power distribution network,
environmental pollution, by fossil fuel 276–277
burning, 4–7 modern, 293–298
ExoGENI‐WAMS, 604 in parallel lines to regulate power
experimental motor drives, 195–199 flow, 276
experimental waveforms, 181–183 partial, 59
expert system (ES) reactive power, 280
backward chaining principle, 629 real power, 280
block diagram, 627, 628 ring and interconnected structure,
control of smart grid, 631–636 277–278
forward chaining principle, 629 role of power electronics in, 275
function, 629 series compensation, 284–285
hierarchical frame‐based structures, 629, 630 series‐connected devices, 58
objective, 627 shunt compensation, 281–284
16‐rule knowledge base, 628, 629 shunt‐connected devices, 58
SHELL‐based software platform, 630, 631 shunt‐series configuration, 285–286
explicit modeling, 593 thyristor‐controlled devices, 58
traditional, 291–293
F traditional installations, 298–299
FACTS see flexible alternating current transmission network, 275–276, 279
transmission systems (FACTS) types of distribution network
fast electromechanical simulations, 588 architecture, 276–277
fault identification of smart grid subsystem, voltage and power relationships,
671–672 280–281
fault simulation packages, 594 flood tide, 420
FBESSs see flow battery‐energy storage flow battery‐energy storage systems (FBESSs)
systems (FBESSs) disadvantages, 546
FC circuit topology, 221 operational facilities, 547, 548
feed‐in tariff (FiT) scheme, 361 structure, 545, 546
ferrite cores, 26 technical merits, 546
FES see flywheel energy storage (FES) types of, 546
field oriented control (FOC) method, 225 flying capacitor (FC) converter, 220
field‐programmable gate arrays (FPGAs), 178 flying‐capacitor (FLC) inverter, 154
film capacitors, 26 flywheel energy storage (FES), 571
finite states model predictive control architecture, 568, 570
(FS‐MPC) method, 224 characteristics, 517
first‐generation thermal materials, 31–32 components, 515, 516
FIS see fuzzy inference system (FIS) high‐speed, 517
five‐level active NPC (5L‐ANPC), 237 high‐temperature superconductor
five‐level NPC inverters, 160–161 bearings, 517–518
flash geothermal power plants, 431–432 low‐speed, 517
flexible alternating current transmission operational utility‐scale, 518, 519
systems (FACTS), 56–57, 173, 249 rotational kinetic energy, 516–517
back‐to‐back configuration, 286 focal point, 351
benefits of, 280 forced commutation, 109
definition, 55, 275 fossil fuels
distributed, 58–59, 303, 305 energy depletion curves, 3
hybrid‐connected devices, 58 environmental pollution by burning, 4–7
682 Index

four‐level FLC inverters, 161–162 fuel cell stack, 445

freestanding GaN wafers, 129 fuel processing system, 444
freewheeling diode (FWD) chips, 119 full‐SiC single‐stage megawatt‐level
frequency‐locked loop (FLL), 226 photovoltaic inverter, 139, 142
frequency modulation index, 228 fuzzy inference system (FIS)
fuel cells, 549 computations, 638
AC power systems, 471–472 induction motor drive, speed control of,
air supply system, 444 638–638
balance‐of‐plant, 468–469 Mamdani‐type, 638
basic components of, 446 simple rule matrix, 637
chemical‐to‐electrical conversion Sugeno method, 642–643
process, 443 fuzzy logic (FL), 636
complete system, 444–445 control of modern wind generation
DC‐AC inverter, 479–483 system, 644–650
DC‐DC converters fuzzy inference system, 637–643
multiphase, 478–479
multiswitch isolated, 473–476 G
single‐switch isolated, 472–473 gallium arsenide (GaAs) germanium solar
soft‐switching, 476–477 cells, 355
DC power systems, 469–469 GALVO 3.0‐1, 371
double‐line frequency issues, 484–485 GaN heterojunction field effect transistor,
electrical characteristics 137–138
dynamic operation, 465–465 GaN HFETs, 119
dynamic operation with a paralleled GaN wafer fabrication technology, 18
ultracapacitor, 467–468 gate‐drain charge, 111
steady‐state operation, 462–465 gate‐turn‐off (GTO) thyristor, 86, 173, 283
fuel cell stack, 445 gelled electrolyte design, 533
fuel processing system, 444 GE 1 MW SiC PV inverter, 139, 142
high‐temperature, 453–454 geothermal energy systems, 426–428
molten carbonate, 456–457 binary cycle power plants, 432–433
prospects and challenges for, 457 costs, 433
solid oxide, 454–454 dry steam power plants, 431
internal impedance, 444 flash steam, 431–432
low‐temperature geothermal generator grid interface,
anion exchange membrane, 450 432–433
direct ammonia, 452 geothermal power plant technologies,
direct methanol, 451–452 429–430
phosphoric acid, 450–451 resource characteristics, 428–429
polymer electrolyte membrane, geothermal heat pumps (GHPs), 426
447–447 Global Climate Treaty, 12–13
prospects and challenges for, 452–453 global electricity generation, 347–348
power management system, 445 global warming
stationary power generation applications, fossil fuel burning, 4, 5
460–460 projections, 7, 8
system cost and durability, 443 secondary cause of, 5
thermal management system, 445 Graphic Contingency Analysis (GCA)
transportation applications, 457–460 tool, 602
water management system, 446 graphite, 32
 Index 683

greenhouse effect, 4 advantages, 60

greenhouse gases (GHGs) converters, types of, 60–61
emissions, 347 hybrid AC/DC schemes, 65–66
sources and sinks, 5–6 hybrid DC circuit breaker, 65
grid codes, 322–325 low‐frequency AC transmission, 66
grid‐connected multilevel converters, high voltage ride‐through (HVRT), 325
245–248 high‐voltage SiC MOSFETs, 135
grid‐connected PV systems high‐voltage Si SBD, 128
control of, 372–374 hot dry rock (HDR), 428
low‐power PV systems, 371–372 4H‐SiC MOSFET, 111
residential and industrial PV HVDC light®, 254
­applications, 366–371 HVDC MaxSine®, 254
utility‐scale PV power plants, 364–366 HVDC Plus®, 254
grid‐connected PV technology, 358 HVDC transmission systems, 251–257
grid energy storage, 53 hybrid AC/DC transmission schemes,
grid‐scale NaNiCl BESS facilities, 545 65–66
GridStat, 601, 604 hybrid (asymmetric) capacitors, 522
GTO wafer and structure, 125–126 hybrid‐connected FACTS devices, 58
3.2 GW Solar Ware 3200, 247 hybrid DC circuit breaker, 65
hybrid ESS (HESS), 561
H hybrid forward‐flyback DC‐DC converter, 473
half‐controlled power semiconductors, 339 hybrid four‐level and five‐level FLC
hard‐riven GTO technology, 87 inverters, 162–164
harmonic filters, 32 hybrid PWM method, 234–238
harmonics, 598 hydraulic stimulation, 428
heat‐pipes, 31 hydrogen‐based chemical energy
heat sinks, 31 storage, 547
HERIC inverters, 368 hydrogen‐FC‐electrolyzer ESSs, 549–549
heterojunction field‐effect transistors hydrogen (H2) storage, 53
(HFETs), 18, 19
high‐power centralized inverters, 139 I
high power density CMIs, 307–309 I‐CAES, 514–515
high‐power GTOs, 87 ice age cycles, 6
high‐power Si thyristors, 105 IEC/TS 62600‐100, 400
high‐power thyristors‐based converters, 109 IEEE Std 1547, 400
high‐power WBG devices, 105 IGBT‐count ratio, 169
high‐resistivity single crystal wafer, 123 implicit modeling, 593
high‐speed flywheel energy storage, 517 induction motor drive
high‐temperature fuel cells, 453–454 fuzzy speed control of, 638–638
molten carbonate, 456–457 indirect field‐oriented control scheme
prospects and challenges for, 457 for, 38
solid oxide, 454–454 inductors and transformers, 24
high‐temperature superconducting (LTS) information and communication technology
coils, 526 (ICT)‐based energy system, 496
high‐temperature TES, 552 injection enhancement (IE) techniques, 123
high‐voltage bipolar devices, 108 inner control loop, 225–226
high‐voltage direct current (HVDC) inner‐loop + outer‐loop hierarchical control,
technologies 617–618
684 Index

in‐phase balancing strategy, 227 structure, 529, 530

input–output nonlinear mapping property, types, 533
of fuzzy and neural systems., 641 LED lamps, 39
insulated‐gate bipolar transistor (IGBT), 17, level‐shifted PWM method (LS‐PWM),
86, 155, 283, 565, 566 229–231
integrated filtering technique, 32 lighting, 38–39
integrated‐gate‐commutated thyristor line‐commutated converters (LCC), 566
(IGCT), 17, 87, 124–127 line‐commutation, 109
integration of renewable energy sources, lithium‐ion batteries, 538–538, 563
245–248 lithium‐ion polymer batteries, 539, 539
intelligent energy system see smart grid (SG) load models, 591
interleaved converters, 22, 23 load‐related power electronics applications
interleaved PWM, 228 data centers, 47–48
interline power flower controller (IPFC), lighting, 38–39
284–285 motor drives, 36–38
islanding, 385 transportation, 39–47
loop flow, 274
J low levelized cost of energy (LCOE),
junction barrier Schottky (JBS) diode 318–320
structure, 128 low‐power PV systems, 371–372
low‐speed flywheel energy storage, 517
K low‐temperature fuel cells
15 kV/120 A SiC MOSFET module, 143 anion exchange membrane, 450
22 kV SiC GTO/ETOs, 102 direct ammonia, 452
27 kV SiC IGBTs, 102 direct methanol, 451–452
10 kV SiC JBS diode, 129–130 phosphoric acid, 450–451
1.2 kV SiC‐MOSFET, 131, 160 polymer electrolyte membrane, 447–447
15 kV SiC MOSFET, 114, 144 prospects and challenges for, 452–453
2.5 kV SiC‐MOSFET dual module, 160 low‐temperature superconducting (LTS)
15 kV SiC MOSFETs, 131 coils, 526
10 kV SiC PN diode, 129–130 low‐temperature TES, 552
6.6 kV transformerless SSBC‐based low voltage ride‐through (LVRT), 323–325
STATCOM, 173 LTS‐SMES technology, 527
3.3‐8 kW PVS300®, 247 luminescent solar concentrator cells, 355
50 kW SiC MOSFET‐based photovoltaic
string inverter, 139 M
Kyoto Protocol, 12–13 Mamdani‐type fuzzy inference system, 638
marine current turbines, 417
L marine energy converters, rotating
land‐based OTEC system, 411–412 machines in, 405–411
latent heat storage, 552 maximum junction temperature, 114–117
LCC HVDC technology, 60–61 mechanical energy storage
lead‐acid battery‐energy storage systems attributes and potential applications,
(Pb‐acid BESSs) 509, 510
advantages, 530 compressed air energy storage, 511,
drawbacks, 530 511–515
examples, 533, 534 flywheel energy storage, 515–518
mobile and stationary applications, 533 pumped hydro‐storage, 507–512
 Index 685

medium/high‐voltage direct current more‐electric aircraft (MEA) power, 46

(M/HVDC), 337 motor drives
medium‐voltage motor drive, 172 AC drives, 36–37
megawatt GTO converters, 125 DC drives, 36
membrane electrode assembly (MEA), 447 functional block of, 24
meshed distribution systems, 290–291 motor control schemes, 37–38
metal‐organic chemical vapor deposition motor loads, 36
(MOCVD), 129 multifunction PV cells, 355
metal‐oxide semiconductor field effect multijunction solar cells, 355
transistor (MOSFET), 86 multilevel converters, 20–22
microgrids (MGs), 73, 76, 287–289, 498 circulating currents in DSCC converters,
grid resilience, 503 183–184
micro‐inverters, 371 cycloconverter, 184–185
Mitshubishi HVDC diamond®, 254 similarity and difference, 186–187
MMC see modular multilevel converter single‐leg DSCC inverter, 185–186
(MMC) control structure of, 223–225
MMC‐based back‐to‐back configuration, 297 inner control loop, 225–226
MMC circuit topology, 221–222 in‐phase balancing strategy, 227
modern power semiconductor device outer control loop, 225
characteristics zero‐sequence injection, 226–227
Buck converter, 91–92 DSCC and TSBC converters to motor
conduction loss, 92–93 drives
FBSOA, SCSOA and RBSOA, 95–101 discussion of, 204
power device parameters, 90 DSCC‐based motor drive systems,
switching loss, 93–94 193–195
three‐terminal power switches, 89–90 experimental motor drives, 195–199
two‐terminal power switches, 90 four‐quadrant operation, 204–205
modern wind generation system, fuzzy 50 Hz induction motor, 198–201
logic control of, 644–650 operation of, 202–204
modular multilevel cascade converter DSCC converters to grid connections,
(MMCC), 155 192–193
circuits and individualities of six family DSCC inverters to medium‐voltage
members, 165–168 motor drives, 212–213
circulating current, 170 dynamic braking for a DSCC fed
comparisons among the six MMCC induction motor, 204–205
family members, 169–170 background and motivation, 206
DSBC and DSCC converters, 168–169 circuit and system configurations,
terminological issue and solution, 206–209
164–167 experimental verification, 210–212
modular multilevel converter (MMC), 154, 482 five‐level NPC inverters, 160–161
circuit configurations, 63, 64 four‐level FLC inverters, 161–162
disadvantages, 64 future perspective of, 258–259
features, 63 historical review of, 153–155
with full‐bridge/clamped‐double HVDC transmission systems, 251–257
submodule, 64–65 hybrid four‐level and five‐level FLC
modular multilevel inverter, 166 inverters, 162–164
molten carbonate fuel cells (MCFCs), integration of renewable energy sources,
456–457 245–248
686 Index

multilevel converters (cont’d ) multipulse converter‐based FACTS

modular multilevel cascade converters device, 293
circuits and individualities of six multisilicon technology, 357
family members, 165–168 multi‐switching, 179
circulating current, 170 multiswitch isolated DC‐DC converter,
comparisons among the six MMCC 473–476
family members, 169–170 multiterminal HVDC (MTDC), 66
DSBC and DSCC converters, 168–169 advantages/merits, 67
terminological issue and solution, global projects, 69, 70
164–167 radial and meshed connection, 67, 68
modulation methods for, 227–228 series connection, 67, 68
carrier‐based modulation techniques, MV7000 converters, 246
228–242
pseudo‐modulation techniques and N
control methods, 243–245 nanocomposites, 26
space‐vector based modulation nanocrystalline magnetic materials, 25–26
methods, 242–243 nearest level control (NLC), 244
motor drive applications, 250–251 neural networks
power quality applications, 248–250 ANN‐based fault pattern identification,
practical challenges, 257–258 671–672
pros and cons, 220 applications, 662–664
SSBC‐based STATCOM backpropagation network, 655–657
background and motivation, 173–174 backpropagation training method,
hierarchical control, 174–176 657–658
SSBC‐based STATCOM with phase‐shifted biological and artificial neurons,
carrier PWM, 176 651–653
control technique, 179–181 description, 650
experimental waveforms, 181–183 feed‐forward types, 653–654
system configuration, 177–179 historical evolution, 650–651
SSBC inverters, 171–173 in renewable energy systems and smart
three‐level FLC inverters grid, 666
circuits of, 161–162 inverse model identification of plant,
principles of, 162–163 660–662
three‐level NPC and NPP inverters non‐engineering optical character
circuits of, 155–156 recognition of alphabet, 662–664
comparisons between the, 158–160 perceptron network, 654–655
principles of, 156–159 real‐time recurrent network, 658–659
three‐phase downscaled DSCC back‐to‐ recurrent types, 654
back (BTB) system three‐phase sine wave generation,
circuit configuration, 187–189 664–666
operating performance under transient time‐delayed neural network, 659–660
states, 189–192 neutral‐point‐clamped (NPC) converter,
topologies, 221–223 220, 370
multiphase converters, 22 neutral‐point‐piloted (NPP) inverters, 155
multiphase DC‐DC converters with Newton‐Raphson method, 592
isolation, 478–479 next‐generation grid control systems
multiple wind turbines and wind farms, distributed load frequency control,
336–341 616–617
 Index 687

inner‐loop + outer‐loop hierarchical perovskite solar cells, 355

control, 617–618 phase‐locked‐loop (PLL), 178, 226
plug‐and‐play control of DERs, 615–616 phase‐shifted PWM method, 231–234
wide‐area control, 605–608 phase‐shift modulation (PSM), 476
nickel‐cadmium (NiCd) batteries, 535–535 phasor measurement units (PMUs), 597
nickel‐metal hydride (NiMH) batteries, 536 phosphoric acid fuel cells (PAFCs),
Northwest Energy Innovations (NWEI) 450–451
Azura, 394, 396 photoelectron chemical cells, 355
NPC back‐to‐back converters, 246 photovoltaic (PV) cell‐based panels, 14
NPC circuit topology, 221 photovoltaic energy systems
nuclear energy, 14 energy security, 248
energy storage systems, 379–382
O general scheme for a solar PV system,
ocean currents, 421–422 362–363
Oceanlinx MK1 full scale prototype, 394, 397 generation capacity of Europe, 347–349
Ocean Power Technologies PB3 global electricity generation, 347–348
PowerBuoy, 394–395 global PV installations, 347, 348, 350
Ocean Sentinel instrumentation buoy, greenhouse gas emissions, 347
408–411 grid‐connected PV systems
ocean thermal energy, 391 control of, 372–374
ocean thermal energy conversion (OTEC), low‐power PV systems, 371–372
411–412 residential and industrial PV
cost, 416 ­applications, 366–371
generator grid interface, 415–416 utility‐scale PV power plants, 364–366
open‐cycle OTEC, 414–415 largest solar PV plants, 347, 351
resource characteristics, 412–414 operational issues for, 381, 383–385
ocean wave energy, 391 renewable energy capacity and biofuel
ohmic overpotential, 462–463 production, 347–349
OPAL‐RT Based Real‐Time Simulation renewable energy sources, 347
Technology, 634–636 solar cell, 354–357
open‐cycle OTEC (OC‐OTEC), 414–415 solar PV global capacity and annual
operator training simulator (OTS), 594 addition, 347, 348, 350
organic solar cells, 355 solar PV system costs, 357–362
organic thin‐film PV cells, 355 stand‐alone (off‐grid) PV power systems,
oscillating water columns (OWCs), 394 374–379
outer control loop, 225 thermal and PV solar energy systems,
351–354
P photovoltaic (PV) systems, 52–53
paralleled ultracapacitor, 467–468 Pico OWC, 394, 396
partial FACTS devices, 59 Pico PV systems, 375
partial shading, 364 plasmonic solar cells, 355
passive inverter‐resident methods, 385 plastic solar cells, 355
passive switch, 17 plug‐and‐play control of DERs, 615–616
Pb‐acid BESSs see lead‐acid battery‐energy plus resonant (PR) filter, 226
storage systems (Pb‐acid BESSs) polymer electrolyte membrane (PEM) fuel
PCS see power conditioning system (PCS) cells, 447–447
PCS6000 converters, 246 polymer solar cells, 355
perceptron network, 654–655 powder cores, 26
688 Index

power bipolar junction transistor, 17 modern power semiconductor device

power conditioning system (PCS) characteristics
back‐to‐back AC/DC/AC converter Buck converter, 91–92
topology, 571 conduction loss, 92–93
DC/AC static power converter, 566 FBSOA, SCSOA and RBSOA, 95–101
objectives, 565 power device parameters, 90
transformer‐based topologies, 566–567 switching loss, 93–94
transformerless topologies, 567 three‐terminal power switches, 89–90
two‐quadrant three‐level IGBT DC/DC two‐terminal power switches, 90
converter, 571 performance, 16
voltage source inverter, 568 Si‐based, 16
power conversion efficiency, 86 power system
power diode, 16 electric power network, 274
power electronics FACTS (see flexible alternating current
converters, 78 transmission systems (FACTS))
composition, 23–35 loop flow, 274
future solutions, 329–332 RACDS (see resilient AC distribution
power semiconductor devices, systems (RACDS))
332–333 renewable energy sources, 275
state‐of‐the‐art solutions, 328–329 transmission line congestion, 273
types and basic topologies, 19–23 transmission network, 271–272
for distribution grids, 73–76 typical structure of large‐scale electrical
load‐related applications power grids, 271–272
data centers, 47–48 unbalanced power transmission in
lighting, 38–39 parallel lines, 273
motor drives, 36–38 power take‐off (PTO), 397
transportation, 39–47 pre‐programmed PWM method, 239–242
power semiconductor devices, 16–19 press‐pak gate‐turn‐off (GTO), 124
role in renewable energy systems and press‐pak package, 104
grids, 14–16 proportional plus integral (PI)
power grid resilience, 503 controller, 225
power management system, 445 proton exchange membrane (PEM) fuel
power MOSFET, 17 cells, 549
power regulator for parallel feeders, 305–307 pseudo‐capacitors, 521, 522
power semiconductor devices pseudo‐modulation techniques and control
commercially available power methods, 243–245
semiconductor devices pulse width modulation (PWM), 476
GaN HFET, 88 switching scheme, 33
high‐frequency isolation transformer, 88 pumped hydro‐storage (PHS), 507
line frequency transformer, 88 benefits, 508
panel level microinverter, 88 characterization, 508
PV and energy storage, 88 closed‐loop systems, 509
SiC MOSFET, 88 drawbacks, 509
three‐terminal power semiconductor layout of, 508
switches, 87 operational plants, 511, 512
three‐terminal power switches, 88–89 punchthrough (PT) vertical PNP structure, 120
two‐terminal power switches, 88, 90 PV3000WD3HV550 modular inverter, 366
voltage source converters, 88 PWM method, 228–229
 Index 689

Q rooftop PV systems, 357

QoS brokers, 605 rotating machines in marine energy
quantum dot solar cells, 355 converters, 405–411

R S
RACDS see resilient AC distribution SCADA (System Control and Data
systems (RACDS) Acquisition), 601, 602
Randles circuit, 466 SCES see supercapacitor energy storage
reactive ion etch (RIE), 118 (SCES)
real‐time recurrent network, 658–659 scheduling protocols, for wide‐area
real‐time simulator (RTS), for control of communication, 612–613
smart grid, 633–634 Schottky barrier diode (SBD), 87
redox flow batteries (RFBs) see flow battery‐ dual modules, 159
energy storage systems (FBESSs) junction, 128
renewable energy second‐generation thermal materials, 32
description, 497 selective harmonic elimination (SHE), 228
neural networks in, 666 selective harmonic mitigation (SHM)
transmission and distribution, 85 method, 241
renewable energy sources (RESs), 2, 48, self‐commutated converters, 566
245–248, 275, 347 semi‐active switch, 17
grid energy storage, 53 semipermeable membrane, 547
power converters, 590 sensible heat thermal storage, 552
power generating capacity, 50 sequential Monte‐Carlo simulation with
PV systems, 52–53 stochastic point process modeling, 594
storage models, 590 series compensation, 284–285
wind energy systems, 50–52 series‐connected FACTS devices, 58
wind generators, 589–590 shipboard electric power system, 45, 46
world net electricity generation, 49 short‐circuit safe operation area (SCSOA), 119
residential and industrial PV applications, shunt compensation, 281–284
366–371 shunt‐connected FACTS devices, 58
resilient AC distribution systems (RACDS) shunt‐series configuration, 285–286
configurations Si‐based power semiconductor devices
controllable distribution network, gate‐turn‐off thyristor, 17
289–290 insulated‐gate bipolar transistor, 17
meshed distribution systems, 290–291 integrated‐gate‐commutated thyristor, 17
microgrid, 287–289 power bipolar junction transistor, 17
installations, 301 power diode, 16
key roles of, 278 power MOSFET, 17
modern, 293–298 thyristor, 16–17
traditional, 291–293 SiC and GaN diodes, 128–131
RESs see renewable energy sources (RESs) SiC‐based power devices, 18
reverse blocking IGBTs (RB‐IGBT), 101, SiC MOSFETs, 18, 131–134
124–125 SiC‐MOSFET/SBD modules, 214
reverse conducting IGBT (RC‐IGBT), 101, silicon bipolar wave, 86
123–124 silicon carbide (SiC)‐based MOSFET
reverse conducting IGCT (RC‐IGCT), 126 power modules, 307
rooftop galvanic isolated PV system, silicon controlled rectifier (SCR), 86, 228
371–372 silicon superjunction (SJ) MOSFET, 117–119
690 Index

silicon thyristors, 109 reactive power, 280

simulations real power, 280
defined, 585 series compensation, 284–285
electromagnetic, 588 shunt compensation, 281–284
electromechanical, 587 shunt‐series configuration, 285–286
experimental testbeds, 618–619 technologies, 54–59
fast electromechanical, 588 transmission network, 279
long‐term planning, 587 voltage and power relationships,
scheduling, 587 280–281
slow dynamic, 587 grid resilience, 503
steady‐state, 587 high power density CMIs, 307–309
single‐delta bridge‐cell (SDBC) HVDC technologies, 60–66
converter, 168 modern FACTS installations, 299–300
single‐leg DSCC inverter, 185–186 neural networks in, 666
single‐phase full‐bridge inverter, 479 power regulator for parallel feeders,
single‐star bridge‐cell (SSBC) 305–307
converter, 167 RACDS configurations
single‐star chopper‐cell (SSCC) controllable distribution network,
converters, 168 289–290
single‐switch isolated DC‐DC converters, meshed distribution systems, 290–291
472–473 microgrid, 287–289
sinusoidal pulse width modulations RACDS installations, 301
(SPWMs), 479 and renewable energy system
Si PN junction diode, 128 applications, 138–144
Si power devices supergrid, 69, 71–72
integrated‐gate‐commutated thyristor, traditional FACTS installations, 298–299
124–127 transformerless unified power flow
reverse blocking IGBT, 124–125 controller, 301–303
reverse conducting IGBT, 123–124 smart grid simulation
silicon superjunction MOSFET, 117–119 challenges, 595–596
thin wafer field stop IGBT, 119–123 cyber‐physical modeling, 601–601
slow dynamic simulations, 587 model aggregation, 597
smart grid (SG), 54, 77, 496 see also power model validation, 596–597
electronics role of power electronics, 597–598
clustering microgrids, conceptual model scalability, 596
of, 498, 499 structural properties, 596
compact dynamic phase‐angle regulator, T&D models, co‐simulation of,
303–304 598–595 (see also co‐simulation)
DC Grid, 66–69 differential‐algebraic (DAE) model, 593
distributed FACTS, 303, 305 dynamic simulations, 593
energy storage (see energy storage) economic dispatch and optimal power
evolution of FACTS and RACDS flow, 593–594
modern FACTS and RACDS, 293–298 fault analysis, 594
traditional FACTS and RACDS, linear and quadratic programming
291–293 techniques, 593
FACTS load frequency control, 594
back‐to‐back configuration, 286 operator training simulator, 594
benefits of, 280 power flow analysis, 592
 Index 691

power markets, 595 current rating, 103–108

reliability modeling and simulation, maximum junction temperature, 114–117
594–595 switching frequency, 108–114
SMES see superconducting magnetic voltage rating, 102–103
energy storage (SMES) static synchronous compensator
snubberless turn‐off waveform, 126–127 (STATCOM), 154, 225, 337
sodium‐nickel chloride batteries, 543, 543 static VAR compensator (SVC), 292
sodium‐sulfur (NaS) battery‐energy storage steady‐state simulations, 587
system structural dynamicity, 596
benefits, 542 Sugeno implication method, of fuzzy
demonstration projects, 543, 544 inference system, 642–643
drawback, 543 supercapacitor energy storage (SCES)
schematic diagram, 541, 542 architecture, 568, 569
soft‐switched converters, 23 benefits, 518
soft‐switched SiC converter, 112 electric (electrochemical) double‐layer
soft‐switching DC‐DC converters with capacitors, 520–520
isolation, 476–477 features, 522
soft switching technique, 109 hybrid (asymmetric) capacitors, 522
solar cell, 354–357 operational facilities, 524, 525
solar electrical energy classification, 52 pseudo‐capacitors, 521, 522
solar photovoltaic energy, 358 super capacitors, 26
solar PV system, 246 superconducting magnetic energy storage
costs, 357–362 (SMES), 571
general scheme for a, 362–363 description, 524
solar thermo‐electric systems, 52 drawbacks, 527
Solar Ware 3200, 366 features, 525
Solectria XGI 1500, 370 solenoids, 526
solid oxide fuel cells (SOFCs), 454–454 structure, 525, 526, 568, 569
solid‐state smart transformers (SSSTs), 258 toroids, 526
solid‐state transformers (SSTs), 85, 143 supergrid
space‐vector based modulation methods, challenges, 72
242–243 characterization, 69
space vector control (SVC) technique, 244 in Europe, conceptual plan, 71
space vector modulation (SVM), 228 pan‐Asia‐Pacific, 72
squirrel‐cage induction generator (SCIG), 317 superjunction (SJ) MOSFET, 87
SSBC‐based STATCOM switching frequency, 108–114
background and motivation, 173–174 synchronous generators, 588–589
hierarchical control, 174–176
with phase‐shifted carrier PWM, 176 T
control technique, 179–181 tape wound and cut cores, 24, 25
experimental waveforms, 181–183 thermal and PV solar energy systems,
system configuration, 177–179 351–354
SSBC inverters, 171–173 thermal cycling capability, 116
staircase modulation (SCM), 154 thermal energy storage (TES)
stand‐alone (off‐grid) PV power systems, categories, 552
374–379 characteristics and potential applications,
state‐of‐the‐art power semiconductors, 553, 554
101–102 thermal management system, 445
692 Index

thin wafer field stop IGBT (FS‐IGBT), resource characteristics, 418–419

119–123 tidal barrage, 420
third‐generation thermal materials, 32 tidal current and stream technologies and
three‐level capacitor‐clamped inverter, 154 resource characterization, 420–421
three‐level FLC inverters tidal barrage, 420
circuits of, 161–162 tidal stream, 417
principles of, 162–163 time‐delayed neural network, 659–660
three‐level neutral‐point‐clamped (NPC) total energy generation
PWM inverters, 173 global scenario, 1, 2
three‐level neutral‐point diode clamped USA, 2
(3L‐NPC) topology, 568 transformerless unified power flow
three‐level NPC and NPP inverters controller, 301–303
circuits of, 155–156 transformers
comparisons between the, 158–160 based on nanocrystalline and ferrite
principles of, 156–159 cores, 25
three‐level T‐type converter, 366 inductors and, 24
three‐phase diode rectifier, 171, 173 transmission and distribution grid models,
three‐phase downscaled DSCC back‐to‐ co‐simulation of, 598–599
back (BTB) system transmission line models, 591
circuit configuration, 187–189 transparent collector, 123
operating performance under transient trench field stop (FS) IGBT structure, 122
states, 189–192 triple‐star bridge‐cell (TSBC) converter, 167
three‐phase 17‐level DSCC inverter, TSBC‐driven 38Hz motor, 202–204
195–196 t‐type circuit topology, 221, 223
three‐phase, multiple‐phase‐shifted‐­ T‐type NPC inverter, 156
windings transformer, 171–172 two‐level pulse width modulation voltage
three‐phase nine‐level TSBC converter, source converter (2L‐PWM‐VSC), 567
195, 197 two‐quadrant three‐level IGBT DC/DC
three‐phase sine wave generation, 664–666 converter, 571
three‐phase six‐pulse diode rectifier, 194
thyristor, 16–17, 86 U
thyristor‐controlled reactor (TCR), 282, ultra‐capacitors, 26
291–292 ultra‐high field (UHF) SMES system, 529
thyristor‐controlled series capacitor ultra high‐voltage SiC power devices,
(TCSC), 292 135–137
thyristor‐switched capacitor (TSC), 55, unified power flow controller (UPFC), 173,
291–292 286, 293
thyristor‐switched reactor (TSR), 55, uninterruptible power supply (UPS), 225
291–292 unipolar modulation, 179
thyristor‐switched series capacitor unipolar power devices, 108
(TSSC), 292 utility‐scale DC‐AC converter, 364
tidal and current energy, 391 utility‐scale PV power plants, 364–366
tidal and ocean currents, 417–418
cost, 425–426 V
ocean currents, 421–422 3300 V/1800 A IGBT module, 119
power electronics and grid interface, valve‐regulated lead‐acid (VRLA)
422–424 batteries, 533
 Index 693

vanadium redox flow batteries, 546, 547 WBG power devices, 127
vertical GaN unipolar power devices, 111 GaN heterojunction field effect transistor,
600 V GaN HFET, 112 137–138
1200 V IGBT‐based three‐phase, two‐level SiC and GaN diodes, 128–131
inverter, 368–369 SiC MOSFET, 131–134
400 V 15 kW downscaled DSCC inverter ultra high‐voltage SiC power devices,
system, 195–196 135–137
400 V 15 kW downscaled TSBC‐converter Weptos WEC, 394–395
system, 195, 198 Western Electricity Coordinating Council
voltage or frequency grid faults, 384 (WECC) standard, 596–597
voltage oriented control (VOC) wide‐area control
method, 226 co‐designing with communication
voltage rating, 102–103 protocols, 613–615
voltage source converter (VSC), cyber‐physical challenges, 608–608
19–20, 566 description, 605
VSC‐based IPFC, 284–285 ideal wide‐area controller, 607
VSC‐based SSSC, 284–285 objective function, 606
VSC‐based static synchronous compensator scheduling protocols, 612–613
(STATCOM), 283 wide‐area voltage control, 606
VSC‐based UPFC, 286 wide bandgap (WBG) semiconductor
VSC HVDC technology, 60 devices, 17–18
advantages, 61 switches, 307
modular multilevel converter, 63–65 wide‐base PNP transistor, 126
two‐and three‐level converters, 62–63 wind energy systems, 50–52
900 V SiC MOSFET, 112 wind generation system
1200 V SiC MOSFET, 114, 133 fuzzy logic control of
600 V SiC MOSFETs, 119 description, 645–650
900 V Si CoolMOS, 114 fuzzy controllers, 648–650
600 V Si MOSFET, 112 maximum power point tracking
650 V SJ MOSFET, 112 principle, 649
permanent magnet synchronous
W generator‐based, 644
water management system, 446 phasor diagram, 646–648
Wave Dragon overtopping WEC, power circuit, description of, 645
394, 398 wind turbine characteristics, 645, 646
wave energy monitoring by ANFIS, 666–671
autonomous applications, 401–404 wind power generation and power electronics
conversion technologies and resource complex mission profiles, 320–322
characterization, 394–398 control of wind turbine systems, 333–335
costs, 403–405 doubly‐fed induction generators, 318
power electronics and control, 397–401 emerging sizes of wind turbines, 316
resource characteristics, 392–393 global cumulative wind power capacity
rotating machines in marine energy and growth rate, 315–316
converters, 405–411 increasing reliability requirements, 325–326
wave energy converters (WECs), 394 low levelized cost of energy, 318–320
Wavegen Mutriku breakwater, 394, 397 multiple wind turbines and wind farms,
wave power, 392 336–341
694 Index

wind power generation and power and wind farms, 336–341

­electronics (cont’d ) wound‐rotor induction generators
power electronics converters, (WRIG), 318
328–333 Wye‐connected cascaded multilevel inverter
squirrel‐cage induction generator, 317 (CMI), 293, 295
strict grid codes, 322–325
top five suppliers of wind turbines, 317 Z
wind turbine concepts, 326–328 ZEBRA batteries, 543, 543
wound‐rotor induction generators, 318 zero‐current‐transition (ZCT) technique, 23
wind turbines, 326–328 zero‐sequence injection, 226–227
control of, 333–335 zero‐voltage switching (ZVS), 476
 IEEE Press Series
on Power Engineering
Series Editor: M. E. El‐Hawary, Dalhousie University, Halifax, Nova Scotia,
Canada

The mission of IEEE Press Series on Power Engineering is to publish leading‐edge

books that cover the broad spectrum of current and forward‐looking technologies in
this fast‐moving area. The series attracts highly acclaimed authors from industry/
academia to provide accessible coverage of current and emerging topics in power
engineering and allied fields. Our target audience includes the power engineering
professional who is interested in enhancing their knowledge and perspective in
their areas of interest.

1. Electric Power Systems: Design and Analysis, Revised Printing

Mohamed E. El‐Hawary
2. Power System Stability
Edward W. Kimbark
3. Analysis of Faulted Power Systems
Paul M. Anderson
4. Inspection of Large Synchronous Machines: Checklists, Failure Identification,
and Troubleshooting
Isidor Kerszenbaum
5. Electric Power Applications of Fuzzy Systems
Mohamed E. El‐Hawary
6. Power System Protection
Paul M. Anderson
7. Subsynchronous Resonance in Power Systems
Paul M. Anderson, B.L. Agrawal, and J.E. Van Ness
8. Understanding Power Quality Problems: Voltage Sags and Interruptions
Math H. Bollen
9. Analysis of Electric Machinery
Paul C. Krause, Oleg Wasynczuk, and S.D. Sudhoff
10. Power System Control and Stability, Revised Printing
Paul M. Anderson and A.A. Fouad
11. Principles of Electric Machines with Power Electronic Applications,
Second Edition
Mohamed E. El‐Hawary
12. Pulse Width Modulation for Power Converters: Principles and Practice
D. Grahame Holmes and Thomas A. Lipo
13. Analysis of Electric Machinery and Drive Systems, Second Edition
Paul C. Krause, Oleg Wasynczuk, and Scott D. Sudhoff
14. Risk Assessment for Power Systems: Models, Methods, and Applications
Wenyuan Li
15. Optimization Principles: Practical Applications to the Operation of Markets
of the Electric Power Industry
Narayan S. Rau
16. Electric Economics: Regulation and Deregulation
Geoffrey Rothwell and Tomas Gomez
17. Electric Power Systems: Analysis and Control
Fabio Saccomanno
18. Electrical Insulation for Rotating Machines: Design, Evaluation, Aging,
Testing, and Repair, Second Edition
Greg C. Stone, Ian Culbert, Edward A. Boulter, and Hussein Dhirani
19. Signal Processing of Power Quality Disturbances
Math H. J. Bollen and Irene Y. H. Gu
20. Instantaneous Power Theory and Applications to Power Conditioning
Hirofumi Akagi, Edson H. Watanabe, and Mauricio Aredes
21. Maintaining Mission Critical Systems in a 24/7 Environment
Peter M. Curtis
22. Elements of Tidal‐Electric Engineering
Robert H. Clark
23. Handbook of Large Turbo‐Generator Operation and Maintenance,
Second Edition
Geoff Klempner and Isidor Kerszenbaum
24. Introduction to Electrical Power Systems
Mohamed E. El‐Hawary
25. Modeling and Control of Fuel Cells: Distributed Generation Applications
M. Hashem Nehrir and Caisheng Wang
26. Power Distribution System Reliability: Practical Methods and Applications
Ali A. Chowdhury and Don O. Koval
27. Introduction to FACTS Controllers: Theory, Modeling, and Applications
Kalyan K. Sen and Mey Ling Sen
28. Economic Market Design and Planning for Electric Power Systems
James Momoh and Lamine Mili
29. Operation and Control of Electric Energy Processing Systems
James Momoh and Lamine Mili
30. Restructured Electric Power Systems: Analysis of Electricity Markets with
Equilibrium Models
Xiao‐Ping Zhang
31. An Introduction to Wavelet Modulated Inverters
S. A. Saleh and M. Azizur Rahman
32. Control of Electric Machine Drive Systems
Seung‐Ki Sul
33. Probabilistic Transmission System Planning
Wenyuan Li
34. Electricity Power Generation: The Changing Dimensions
Digambar M. Tagare
35. Electric Distribution Systems
Abdelhay A. Sallam and Om P. Malik
36. Practical Lighting Design with LEDs
Ron Lenk and Carol Lenk
37. High Voltage and Electrical Insulation Engineering
Ravindra Arora and Wolfgang Mosch
38. Maintaining Mission Critical Systems in a 24/7 Environment,
Second Edition
Peter M. Curtis
39. Power Conversion and Control of Wind Energy Systems
Bin Wu, Yongqiang Lang, Navid Zargari, and Samir Kouro
40. Integration of Distributed Generation in the Power System
Math H. J. Bollen and Fainan Hassan
41. Doubly Fed Induction Machine: Modeling and Control for Wind Energy
Generation
Gonzalo Abad, Jesús López, Miguel Rodrigues, Luis Marroyo, and Grzegorz
Iwanski
42. High Voltage Protection for Telecommunications
Steven W. Blume
43. Smart Grid: Fundamentals of Design and Analysis
James Momoh
44. Electromechanical Motion Devices, Second Edition
Paul Krause, Oleg Wasynczuk, and Steven Pekarek
45. Electrical Energy Conversion and Transport: An Interactive Computer‐Based
Approach, Second Edition
George G. Karady and Keith E. Holbert
46. ARC Flash Hazard and Analysis and Mitigation
J. C. Das
47. Handbook of Electrical Power System Dynamics: Modeling, Stability, and
Control
Mircea Eremia and Mohammad Shahidehpour
48. Analysis of Electric Machinery and Drive Systems, Third Edition
Paul Krause, Oleg Wasynczuk, Scott Sudhoff, and Steven Pekarek
49. Extruded Cables for High‐Voltage Direct‐Current Transmission: Advances in
Research and Development
Giovanni Mazzanti and Massimo Marzinotto
50. Power Magnetic Devices: A Multi‐Objective Design Approach
S. D. Sudhoff
51. Risk Assessment of Power Systems: Models, Methods, and Applications,
Second Edition
Wenyuan Li
52. Practical Power System Operation
Ebrahim Vaahedi
53. The Selection Process of Biomass Materials for the Production of Bio‐Fuels
and Co‐Firing
Najib Altawell
54. Electrical Insulation for Rotating Machines: Design, Evaluation, Aging,
Testing, and Repair, Second Edition
Greg C. Stone, Ian Culbert, Edward A. Boulter, and Hussein Dhirani
55. Principles of Electrical Safety
Peter E. Sutherland
56. Advanced Power Electronics Converters: PWM Converters Processing
AC Voltages
Euzeli Cipriano dos Santos Jr. and Edison Roberto Cabral da Silva
57. Optimization of Power System Operation, Second Edition
Jizhong Zhu
58. Power System Harmonics and Passive Filter Designs
J. C. Das
59. Digital Control of High‐Frequency Switched‐Mode Power Converters
Luca Corradini, Dragan Maksimovic, Paolo Mattavelli, and Regan Zane
60. Industrial Power Distribution, Second Edition
Ralph E. Fehr, III
61. HVDC Grids: For Offshore and Supergrid of the Future
Dirk Van Hertem, Oriol Gomis‐Bellmunt, and Jun Liang
62. Advanced Solutions in Power Systems: HVDC, FACTS, and Artificial
Intelligence
Mircea Eremia, Chen‐Ching Liu, and Abdel‐Aty Edris
63. Operation and Maintenance of Large Turbo‐Generators
Geoff Klempner and Isidor Kerszenbaum
64. Electrical Energy Conversion and Transport: An Interactive Computer‐Based
Approach
George G. Karady and Keith E. Holbert
65. Modeling and High‐Performance Control of Electric Machines
John Chiasson
66. Rating of Electric Power Cables in Unfavorable Thermal Environment
George J. Anders
67. Electric Power System Basics for the Nonelectrical Professional
Steven W. Blume
68. Modern Heuristic Optimization Techniques: Theory and Applications to
Power Systems
Kwang Y. Lee and Mohamed A. El‐Sharkawi
69. Real‐Time Stability Assessment in Modern Power System Control Centers
Savu C. Savulescu
70. Optimization of Power System Operation
Jizhong Zhu
71. Insulators for Icing and Polluted Environments
Masoud Farzaneh and William A. Chisholm
72. PID and Predictive Control of Electric Devices and Power Converters Using
MATLAB®/Simulink®
Liuping Wang, Shan Chai, Dae Yoo, Lu Gan, and Ki Ng
73. Power Grid Operation in a Market Environment: Economic Efficiency and
Risk Mitigation
Hong Chen
74. Electric Power System Basics for the Nonelectrical Professional,
Second Edition
Steven W. Blume
75. Energy Production Systems Engineering
Thomas Howard Blair
76. Model Predictive Control of Wind Energy Conversion Systems
Venkata Yaramasu and Bin Wu
77. Understanding Symmetrical Components for Power System Modeling
J. C. Das
78. High‐Power Converters and AC Drives, Second Edition
Bin Wu and Mehdi Narimani
79. Current Signature Analysis for Condition Monitoring of Cage Induction
Motors: Industrial Application and Case Histories
William T. Thomson and Ian Culburt
80. Introduction to Electric Power and Drive Systems
Paul Krause, Oleg Wasynczuk, Timothy O’Connell, and Maher Hasan
81. Instantaneous Power Theory and Applications to Power Conditioning,
Second Edition
Hirofumi Akagi, Edson Hirokazu Watanabe, and Mauricio Aredes
82. Practical Lighting Design with LEDs, Second Edition
Ron Lenk and Carol Lenk
83. Introduction to AC Machine Design
Thomas A. Lipo
84. Advances in Electric Power and Energy Systems: Load and Price Forecasting
Mohamed E. El‐Hawary
85. Electricity Markets: Theories and Applications
Jeremy Lin and Fernando H. Magnago
86. Multiphysics Simulation by Design for Electrical Machines, Power
Electronics, and Drives
Marius Rosu, Ping Zhou, Dingsheng Lin, Dan Ionel, Mircea Popescu, Frede
Blaabjerg, Vandana Rallabandi, and David Staton
87. Modular Multilevel Converters: Analysis, Control, and Applications
Sixing Du, Apparao Dekka, Bin Wu, and Navid Zargari
88. Electrical Railway Transportation Systems
Morris Brenna, Federica Foiadelli, and Dario Zaninelli
89. Energy Processing and Smart Grid
James A. Momoh
90. Advanced Control of Doubly Fed Induction Generator for Wind Power
Systems
Dehong Xu, Frede Blaabjerg, Wenjie Chen, and Nan Zhu
91. Power Electronics in Renewable Energy Systems and Smart Grid
Bimal K. Bose