Analysis of DC-Link Capacitor Losses in

Three-Level Neutral Point Clamped and Cascaded

H-Bridge Voltage Source Inverters
Georgios I. Orfanoudakis*, Suleiman M. Sharkh* and Michael A. Yuratich†

* University of Southampton, UK
†
TSL Technology, UK
[email protected]

Abstract-Loss estimation is a critical aspect of inverter design. Losses are also estimated using the rms value of the total
The present work investigates the losses occurring in the capacitor current and a single value for the ESR. The three
DC-link capacitors of the three-phase three-level Neutral Point
topologies are compared on the basis of both of these
Clamped and Cascaded H-Bridge inverter topologies, by
performing a harmonic analysis of the capacitor currents. estimates. Throughout the analysis, a ripple-free DC current
Results are verified by simulations. Their analysis reveals the is assumed to be supplied by the inverter DC sources.
advantage of the NPC inverter. Section II gives a description of capacitor ESR
characteristics and relates them to expressions used for
estimating capacitor lifetime. Section III presents expressions
I. INTRODUCTION for the rms values of the DC-link current in the three
An essential part of voltage source inverter (VSI) design is topologies and uses these values to calculate the DC-link
the selection of DC-link capacitors. The capacitors are a capacitor losses based on a constant value of the ESR. The
sensitive element of the inverter and a common source of method that is used for the analysis of DC-link current
inverter failures. Capacitor lifetime is highly affected by harmonics is summarized in Section IV, along with the results
thermal stresses that occur due to internal capacitor losses. of its application to a two-level inverter. Section V contains
DC-link capacitor losses can be significant, hence shortening the main part of the present work, which is concerned with
the capacitor lifetime and decreasing the inverter power the derivation of the analytical expressions for the DC-link
output. An accurate estimate of these losses can contribute in current spectra of the three-level Neutral Point Clamped
the design processes of sizing the inverter DC-link capacitors (NPC) and Cascaded H-Bridge inverters. The results are
and estimating the efficiency of the inverter. presented and validated in Section VI. The comparison
Losses in a DC-link capacitor occur because of its between the three topologies is included in the same section.
Equivalent Series Resistance (ESR). The rms value of the Section VII discusses the use of capacitor total current rms
total current flowing through a capacitor can provide a first expressions and a fixed value of ESR for loss estimations and
approximation for its losses. The literature contains rms Section VII summarizes the final conclusions.
expressions for the capacitor current of the two-level [1] – [3]
and the three-level Cascaded H-Bridge inverters [4]. Use of
these expressions for loss estimation assumes a fixed ESR II. CAPACITOR ESR CHARACTERISTICS
value. However, the ESR is a function of the frequency of the
capacitor current [5], [6]. Since the current of a DC-link The Equivalent Series Resistance of a DC-link capacitor
capacitor comprises several harmonics located at different varies with the frequency of the capacitor current. A typical
frequencies, it is necessary, for accurate calculation of losses, ESR – frequency characteristic is illustrated in Fig. 1 [5].
to determine the rms values of the capacitor current In case that more than one current harmonics h, with rms
harmonics and use the appropriate value of ESR for each values Ih,rms and frequencies fh flow through the capacitor, the
harmonic. The losses can be then estimated as the sum of the losses P occurring on the capacitor’s ESR can be calculated
losses caused by the different harmonics. using equation (1) below, where RC(fh) stands for the value of
A harmonic analysis of DC-link capacitor current has been ESR at frequency fh.
derived in [7] for the two-level inverter. This paper extends
this analysis to the three-level Neutral Point Clamped (NPC) P = ∑ RC ( f h ) ⋅ I h2,rms (1)
h
and Cascaded H-Bridge inverters topologies. The resulting
current spectra and a capacitor ESR – frequency characteristic Losses affect the capacitor lifetime, since they cause heat
are used to provide estimates of the DC-link capacitor losses dissipation and thermal stress. A factor KRipple is used by
in the two three-level topologies as well as the two-level capacitor manufacturers to quantify the effect of current
topology. ripple on capacitor lifetime.
 15 200
2-L / NPC

Capacitor Losses (W)

Casc H-Br

ESR (mOhms)
150
10

100

5
50

0 2 3 4 5
10 10 10 10 0
0 0.2 0.4 0.6 0.8 1
Frequency (Hz) Modulation Index
Fig. 1. ESR – frequency characteristic of a 4.7mF / 450V capacitor [5]. Fig. 2. Capacitor losses estimated using total current rms expressions.

KRipple is given by the following equation [6]: TABLE I

LIST OF PARAMETERS
K Ripple = 2(∆T − ∆T0 ) 5 , Quantity Symbol Value Unit
DC-link voltage Vdc 800 V
R ( f ) I 
2 2
 I 
∆T = ∆T0 ⋅ ∑  h  = ∆T0 ⋅ ∑ C h  h 
Fundamental frequency 50 Hz
h RC ( f 0 ) I 0
(2)
Carrier frequency 2 kHz
h
 I 0 Fh   
Load resistance RL 2 Ohm
Load inductance LL 2 mH
where ∆T0 represents the increase in capacitor core
Load power factor cos(φ) 0.954
temperature due to the rated ripple current, I0 and f0 represent
the rated ripple current’s amplitude and frequency, and Ih and
fh represent the amplitude and frequency of current harmonic
h. Fh is a current multiplier given in data sheets or derived IV. DC-LINK CURRENT HARMONICS
from the ESR characteristic.
A more accurate approximation of DC-link capacitor losses
requires a harmonic analysis of the capacitor current. The
method used to analytically derive the current spectra is the
III. DC-LINK CURRENT RMS VALUES well-known geometric wall model, introduced by H. S. Black
The rms value of the capacitor current can provide a first in [9]. The method has been widely applied for analyzing the
approach to estimating its losses, using the equation below: harmonics of the output voltage of different inverter
topologies and PWM strategies [10]. The authors of [7] used
P = RC I rms
2
= RC ∑ I h2,rms (3) this model for the analysis of the DC-link capacitor currents
h of a two-level inverter. The resulting spectra are combined
The use of rms values for the estimation of losses implies with the ESR characteristics as shown in (1) to provide a
an assumption of constant capacitor ESR value RC, more accurate estimation of the losses than that provided by
throughout the whole frequency range. Section VII examines (3).
the conditions under which this assumption can lead to
acceptable loss estimations. Equations that give the current A. Summary of Black’s Geometric Wall Model
rms values of the two-level and three-level NPC and The geometric wall model provides an alternative way for
Cascaded H-Bridge inverters are included in the Appendix. representing the process of pulse generation in PWM
Their derivation for the case of the two-level inverter can be converters. The carrier and reference waveforms are redrawn
found in [1] – [3]. The three-level inverter equations are part in a transformed plane, so that the intersections between the
of unpublished work [8]. An equivalent result for the new waveforms define the same train of pulses as the original
Cascaded H-Bridge inverter is also found in [4]. It is PWM method. The carrier waveform in this plane turns into a
important to note that the two-level inverter has the same rms straight line (assuming natural sampling) and the reference
value of capacitor current as the three-level NPC inverter. An waveform is transformed accordingly to form closed regions
rms-based loss estimation gives equal results for these two referred to as contour plots. The width of the generated pulses
topologies and higher values for the Cascaded H-Bridge is periodic with respect to both dimensions of the new plane.
inverter. Fig. 2 illustrates the variation of capacitor losses The function that describes the pulse train can therefore be
with Modulation index for the three topologies. The values of written as a double Fourier series. The Fourier analysis results
the expression parameters are summarized in Table I. in a spectrum that plots the function in the frequency domain.
B. Analysis of DC-Link Capacitor Current using the The following solution is given for the three-level Phase-
Geometric Wall Model Disposition Pulse Width Modulation (PD PWM) method
The geometrical wall model has been widely applied for using two in-phase triangular carriers and a sinusoidal
the harmonic analysis of voltage pulse trains, as mentioned reference waveform. The application of the geometric wall
earlier. The model provides the points of waveform model to the three-level PD PWM results into the wall model
intersections that define the pulse widths. These points are contour plot illustrated in Fig. 4 [10]. According to this plot,
used to chop a constant waveform, whose amplitude is equal the output voltage for phase A is positive only in the closed
to the pulse height, and convert it to a pulse train. When region at the center of the graph. Hence, this is the region
studying converter output voltages, this constant waveform is where module V1A carries the current of phase A. The
the DC-bus voltage. complex Fourier coefficients of iV1A will therefore come from
In the case of DC-link capacitor current, the waveform that (6).
has to be chopped is a sinusoidal output current of the π 2
πM cos y
cos( y − φ ) ⋅ e j ( mx+ ny )dxdy (6)
IL
iV 1 A = ∫ ∫π
mn
inverter (assuming in this paper a sinusoidal current at
fundamental frequency). For the cases of integer carrier to 2π 2 π
− 2
− M cos y

fundamental frequency ratios only, the resulting (chopped)

current waveform is periodic, so it can be analyzed by the The results are summarized in the Appendix. The capacitor
geometrical wall model and expressed as a double Fourier current coefficients are given by a complex sum like (5), for
series. However, an extension of the Fourier coefficient modules V1A, V1B and V1C.
integrals (see (4) for example) over a large number of
fundamental periods also yields identical expressions for the
Fourier coefficients, while covering the cases of non integer
frequency ratios [10].
The DC-link capacitor current harmonics of a two-level
inverter were analyzed in [7]. The derivation was based on
the current of the IGBT/Diode module V1 of phase A that is
connected to the positive-end of the inverter’s DC-bus. The
Fourier coefficients of this current were proved to be given by
(4) below, where M(y) is the function that defines the voltage
reference waveform and IL represents the amplitude of the
load current.
2π π
(3+ M ( y ))
cos( y − φ ) ⋅e j ( mx+ ny )dxdy (4)
IL
iV 1 = ∫ ∫π (
mn 2
2π 2 0 2
1− M ( y ))

The respective coefficients for the currents of the upper

modules V3 and V5 of inverter phases B and C are given by
(4), multiplied by e+2jnπ/3 and e-2jnπ/3, respectively. Since the
capacitor current is the complex sum of these three module
currents, excluding the DC component that is assumed to Fig. 3. Three-phase three-level Neutral Point Clamped inverter.
come from the DC source, the capacitor current Fourier
coefficients can be calculated using the following equation:
π
π Mcosy
mn
iC = mniV 1 + mniV 3 + mniV 5 (5) - -
x
π/2
V. DC-LINK CURRENT HARMONICS OF THREE-LEVEL
INVERTERS π (1+Mcosy) π (1+Mcosy)
0 + y -π (1+Mcosy)
A. Neutral Point Clamped Inverter -π (1+Mcosy)
As in the two-level inverter, the instantaneous current
flowing through the DC-link capacitor of the NPC inverter is -π/2
the complex sum of the currents through the inverter’s three
upper modules (V1A, V1B, V1C), shown in Fig. 3. Harmonic - -π Mcosy -
analysis of one of these module currents is sufficient to -π
calculate the DC-link capacitor current harmonics. -π -π/2 0 π/2 π
Fig. 4. Contour plot for the three-level PD PWM method [10].
B. Cascaded H-Bridge Inverter VI. VALIDATION OF DC-LINK CURRENT SPECTRA AND
Unlike the NPC inverter, the current of each capacitor in COMPARISON OF INVERTER LOSSES
this topology is only determined by the operation of the The two three-level inverter topologies were simulated in
respective H-Bridge. Hence, the derivation of a capacitor the SimPowerSystems Toolbox of Matlab – Simulink. This
current is not given by an equation in the form of (5). The Section presents the DC-link current spectra derived using the
current that will be harmonically analyzed for this topology results of the harmonic analysis and compares them with the
will be idA, as shown in Fig. 5. The AC component of this spectra that were taken from the simulations. Fig. 6 and Fig. 7
current flows through the DC-link capacitor of phase A. illustrate representative results for the NPC and Cascaded
Since the purpose of the present analysis is to perform a H-Bridge inverters, respectively, for the operating parameters
comparison between inverter topologies, it is important to summarized in Table I and a Modulation index equal to 0.85.
select a switching method for the Cascaded H-Bridge inverter The analytically-derived spectra were validated by
that is equivalent to PD PWM for the NPC inverter. A simulations for a wide range of operating parameter values
discontinuous PWM method, that yields equal switching (Modulation index, load power factor, fundamental and
losses and the same output voltage spectra for the two carrier frequencies).
topologies, is described in pages 504 – 506 of [10]. Pulse Based on the results of the harmonic analysis, DC-link
generation is again based on the contour plot of Fig. 4. The losses were estimated assuming that the capacitor ESRs
output voltage for phase A is positive in the region at the follow the characteristic of Fig. 1. The NPC and the Cascaded
center of the plot and negative in the regions at the edges. The H-Bridge inverters use two and three of these capacitors, as
current idA of the Cascaded H-Bridge inverter is therefore shown in Fig. 3 and Fig.5, respectively. The two-level
equal to the phase current iA, or the opposite of it (-iA) in the inverter that is also included in the comparison uses two
respective regions. Its Fourier coefficients are given by (7). capacitors, connected in series.

 I L π / 2 πM cos y 
Simulated Mag. (A) Estimated Mag. (A)
 2 ∫ ∫−πM cos y cos( y − φ ) ⋅e
j ( mx + ny ) 80
dxdy,
π −π / 2  60
 
mn
idA =  for n + m → even  (7) 40
  20
 
0, for n + m → odd  0

80
The Appendix contains the detailed results. Apart from the
DC component, the capacitor current of phase A is 60
harmonically described by the coefficients of idA. 40

20

0
0 2000 4000 6000 8000 10000
Frequency (Hz)
Fig. 6. Estimated and simulated spectra of the NPC inverter.
Estimated Mag. (A)

80

60

40

20

80
Simulated Mag. (A)

60

40

20

0
0 2000 4000 6000 8000 10000
Fig. 5. Three-phase three-level Cascaded H-Bridge inverter. Frequency (Hz)
Fig. 7. Estimated and simulated spectra of the Cascaded H-Bridge inverter.
 200 The capacitor current rms expressions can be used according
2-L to (8) below to provide DC-link capacitor loss estimations.

Capacitor Losses (W)

NPC
Harmonic analysis is still necessary to obtain the amplitudes
150 Casc H-Br
and frequencies of fundamental and baseband harmonics, but
does not need to extend to carrier and sideband harmonics.
100 The subscripts F/B under the sums in (8) denote that they
refer to the fundamental and baseband harmonics only. In the
second term, RC corresponds to the high frequency constant
50 value of the ESR.
 2 
0
P = ∑ RC ( f h ) ⋅ I h2,rms + RC ⋅  I rms − ∑ I h2,rms  (8)
0 0.2 0.4 0.6 0.8 1 F/B  F/B 
Modulation Index
Fig. 8. Capacitor losses estimated using harmonic analysis Equation (8) is not applicable to inverters that operate at
low switching frequencies or use capacitors with different
A plot of the estimated DC-link losses of the three ESR characteristics. In these cases, certain carrier – sideband
topologies against the Modulation index is shown in Fig. 8. harmonic groups may belong to the low frequency ESR
The plot indicates that the Cascaded H-Bridge inverter has region and therefore the results of a complete harmonic
the highest amount of losses. The losses in the DC-link of the analysis should be used according to (1).
NPC inverter are significantly lower, while from the same Two-level inverters generally switch at lower frequencies
aspect, the two-level inverter is the most efficient among the compared to three-level inverters with the same power output,
studied topologies. because of their higher voltage-rated power semiconductor
modules. They are therefore more likely to have low
frequency carrier and sideband harmonics. Increased ESR
VII. DISCUSSION values for these harmonics can decrease or reverse the
advantage that the two-level inverters have over the three-
Comparison of the two plots in Fig. 2 and Fig. 8 reveals level topologies, and particularly the NPC.
that for the three-level topologies there is a notable deviation
between the loss estimations based on the DC-link current
rms expressions which assume a constant capacitor ESR, and
VIII. CONCLUSION
the harmonic analysis, respectively. In contrast, the
estimations are similar for the case of the two-level inverter. This paper investigated the losses occurring in the DC-link
This difference is attributable to the shape of the electrolytic capacitors of the three-level NPC and Cascaded H-Bridge
capacitor ESR characteristics. inverter topologies. The three-level NPC inverter was proved
A close examination of ESR characteristics of electrolytic to have a significant advantage over the Cascaded H-Bridge
capacitors indicates that their ESR decreases for harmonic inverter in terms of its DC-link losses. The two-level inverter
frequencies between 50 Hz and 1 kHz, while it remains that was also examined performs better than both the three-
approximately constant for higher frequencies. Additionally, level topologies, under the assumption of similar switching
inverter switching (carrier) frequencies are commonly higher frequencies. In practice, a two-level inverter may need to
than 1 kHz. As a result, the majority of carrier and sideband switch at a lower frequency than the NPC due to using higher
harmonic groups, which appear around multiples of the voltage devices, in which case its capacitor losses may be
switching frequency, belong in the constant-ESR frequency higher than those of the NPC inverter.
range. Fundamental and baseband harmonics, however, have Loss estimations obtained by harmonic analysis were
to be associated with higher ESR values, according to (1). compared with estimates based on total DC-link capacitor
Loss estimation based on current rms expressions (3) fails to current rms expressions. The comparison indicated that the
treat these harmonics separately, which results in an latter are likely to underestimate the capacitor losses of three-
underestimation of DC-link capacitor losses for the three- level inverters because they use a fixed value for the capacitor
level inverters. The DC-link capacitor current of the two-level ESR. However, fundamental and baseband harmonics can be
inverter on the other hand does not contain any fundamental combined with the total rms current expressions to give more
or baseband harmonics [7]. Hence, the respective rms accurate estimates of capacitor losses.
expression and the harmonic analysis give similar results for
this topology.
It is worth mentioning that in the common case of an
inverter that uses electrolytic capacitors for its DC-link and
switches at a moderate frequency, a complete harmonic
analysis may not be necessary for the estimation of losses.
 APPENDIX Sideband harmonics, for n even and m even:

I L e J n−1 (Mmπ ) 
A. Neutral Point Clamped Inverter jφ

iC ,Casc = (− 1)
n
mn 1+ (17)
The expression that gives the DC-link capacitor total 2  
current rms value for the three-level NPC inverter can be mπ − e − jφ J n+1 (Mmπ )
shown to be identical to that of the two-level inverter [8].
Sideband harmonics, for n odd and m odd:
n +1
iC ,Casc = (− 1) ∑ J (Mmπ )⋅
4I L
M  3 2 3 9  2  mn
2
I NPC ,rms = I L +  − M  cos (φ ) (9) mπ 2
k
 k =1, 3, 5...
2  2π  π 8  
 cos φ + j (n + k ) sin φ cosφ + j (n − k ) sin φ 
 −  (18)
The solution of (6) provides the complex Fourier
 1 − (n + k ) 2 1 − (n − k ) 2 
coefficients for the current of the upper DC-link capacitor of
the three-level NPC inverter as follows:
Baseband harmonics, for n = 3, 9, 15, …: Note that the amplitude IL of the load current is the same
for all topologies and is determined by the voltage Vdc, the
n −1 6 MI L  2 cosφ 
0n
iC , NPC = (− 1) + j sin φ  (10) Modulation index M and the load impedance ZL at the
( 
)
2
π n −4  n
2
 fundamental frequency, according to the following equation:
MVdc
Carrier harmonics, for m = 1, 2, 3, …: IL = (19)
2 ZL
J 1 (Mmπ )cosφ
3I L
m0
iC , NPC = − (11)
mπ
Sideband harmonics, for n even and m = 1, 2, 3, …: REFERENCES
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jφ

iC , NPC = (− 1)
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 
2mπ − e − jφ J n+1 (Mmπ )
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