On Continuous Control of PWM Inverters
in the Overmodulation Range including the Six-Step Mode
J. HOLTZ, SENIOR
MEMBER,
IEEE, W. LOTZKAT, A. KHAMBADKONE
University of Wuppertal
P. 0. Box 100 127, 5600 Wuppertal - Germany
Abstract - The power output and the dynamic perform-
ance of PWM controlled ac drives can be improved by
increasing the inverter output voltage through overmodu-
lation. Two different solutions are proposed t o increase the
output voltage in a continuously controllable fashion up to
the maximum possible value, which is reached in the six-
step mode. The solutions differ in their respective approach.
A space vector strategy is used for high-dynamic perform-
ance high-switching frequency drives, while a field-orient-
ed PWM method applies for low switching frequency high-
power inverters. The methods are described and analyzed
and the experimental results are presented.
1. Introduction
Voltage-source inverters have evolved as the most preferred
power conversion method for ac drive applications. Hard
switching techniques continue to dominate the market, rang-
ing from applications at low power using MOSFET semicon-
ductor switches, through the medium power range, which is
the domain of bipolar Darlington transistor and the IGBT, up
to GTO inverters which are applied at megawatt power level.
Typical applications are motion control systems, industrial
drives, and high-power ac traction equipment. Although very
different in nature, these schemes rely on a common basic
technology: pulsewidth modulation.
Research in this field has been very progressive during the
past decade. Apparently, this process has not yet come to a
state of saturation, as novel PWM methods continue to emerge
[ l , 2, 31. It appears, though, that one important aspect of
pulsewidth modulation techniques has been given little atten-
tion so far: pulsewidth control in the range of overmodulation.
Although this important aspect has been recently identified [4,
51, viable solutions to this problem are not yet known.
2. PWM Techniques
Pulsewidth modulation (PWM) techniques for three-phase
loads can be broadly classified into two categories:
1. feedforward schemes, and
2. feedback schemes.
Feedforward schemes generate switched three-phase voltag-
es such that the resulting fundamental space vector u l ( f ) equals
a given reference vector k*(t).Feedforward schemes are the
most widely used methods of pulsewidth modulation. Feed-
back schemes, on the other hand, generate the switching se-
quence inherently in a closed loop, which can be devised
either for the stator currents or for the stator flux. The maxi-
mum fundamental voltage umaXthat can be generated in either
method is limited by the dc-bus voltage. According to the state
of the art, the respective values of umax are always below a
theoretically achievable maximum which is the fundamental
voltage at square-wave, or six-step operation.
307
~~
3. Maximum Modulation Index
The performance of pulsewidth modulation methods is char-
acterized by the modulation index and, at given switching
frequency, by the harmonic distortion. The modulation index
is the normalized fundamental voltage, defined as
where u1 is the fundamental voltage generated by the modula-
tor and uls,x-ste 2/n Ud the fundamental voltage at six-step
operation. We Raie 0 I m 5 1, and hence the maximum
modulation index can be achieved only in the six-step mode
and is then unity by definition. The ramp comparison method
has an upper limit of the fundamental voltage equal to ud/2
and hence ( 1 ) yields the maximum modulation index mmaXl=
0.785, where the reference is a sinusoidal voltage between
phase and neutral. The modulation index can be increased
when this voltage is modified by addition of zero sequence
components, e. g. triplen harmonics. Inclusion of triplen har-
monics modifies the sinusoidal phase to neutral to have a flat-
top with its peak value less than that of the fundamental.
Hence, the fundamental amplitude of the reference voltage
used for ramp comparison can be increased without incurring
undesired pulse-dropping. This produces a higher fundamental
component. A maximum value of ud/./3can be obtained, and
the corresponding maximum modulation index as given by (1)
is mmax2 = 0.907.
The current harmonics can be computed as
I,, = q m (T)
(2)
From these, the distortion factor is defined as
d= Ihms (3)
Ih rmssix-step
with the distortion current Ih m sof a given switching sequence
being referred to the distortion current Ih ms six-step of the same
machine operated in the six-step mode. Hence, by definition,
we always have d = 1 at six-step operation, [6].
4. Feedfonvard Schemes
Feedforward schemes are conventionally carrier based. There
are a large variety of techniques that differ in their respective
concepts of signal processing and related hardware [6]. The
advantages of carrierless methods have been recently discov-
ered [ 11. Whatever particular switching sequence is generated
by anyone of these schemes, it can be conveniently analysed
and described on the basis of voltage space vectors. Assuming
operation in the steady-state for this purpose satisfies the ob-
jective of this paper.
The maximum modulation index in all the above cases is
0-7803-0582-5 /92$3.0001992 IEEE
-
I I

mmaxe 1. A modified ref- 4.2 Distorted reference voltage

erence of the phase to Having reached the limit of sinusoidal pulsewidth modula-
neutral voltage contain- tion while moving on the largest circle inscribed in the hexa-
ing triplen harmonics ex- gon in Fig. 2, the possibility of programming a higher modula-

-
tends the maximum mod-
UbCa ulation index from 0.785
to 0.907. By definition,
1pe the addition of triplen
harmonics does not affect
the space vector compo-
nents and hence the ref-
Fig. 1: Inverter switching state erence space vector re-
vectors mains on a circular tra-
jectory.
tion index can still be availed during periodic time intervals of
limited duration. These materialize in the neighbourhood of an
active switching state vector, when the argument a = kxl3, k =
0 ... 6. Here, the circular reference vector trajectory resides
within the hexagonal area.
Pulsewidth modulation in this range can be achieved by
modification of the angle and the magnitude of the reference
vector, passing it through a preprocessor, Fig. 3. The reference

-
4.1 Sinusoidal reference voltage
A three-phase two-level inverter provides eight possible
switching states, made up of six active and two zero switching
states. The six active switching state vectors are evenly dis-
tributed at 7t/3 intervals in the complex plane. Fig. 1 shows Preprocessor
these vectors alongwith the voltage reference vector.
One way of defining a carrier based switching sequence is to Fig. 3: Pulsewidth modulator and preprocessor
consider the time average of the three switching state vectors
located adjacent to the reference vector U* = U* exp(ja) over voltage vector y* = U*. exp (ja),given by the overlaying
the subcycle interval control system, is changed by the preprocessor in angle and
To = Y2h (4) magnitude. A modified reference vector dp= up*. exp (j%) is
obtained, which is then fed to the modulator.
and to equate it to the time average of the voltage reference The preprocessor contains a set of nonlinear functions which
vector. This yields effect a distortion of the originally circular track of the refer-
* '& = & .h +&, ' tb +& .to (5a)
ence vector. The distortion results in additional odd harmonics
other than triplen, which increase the fundamental content of
&=f.+tb+fO (5b) the reference voltage. Based upon the degree of distortion of
where ta, f b and 20 are the respective on-durations of the switch- the preprocessed voltage, three different operating regions can
ing state vectors &. & and &. The above equations can be be defined:
solved for the on-durations, yielding conventional modulation + sinusoidal reference signal
overmodulation mode I + distorted continuous
to = 7
2 6 % f
.sin( - a)
~ ~ (6a) reference signal
overmodulation mode I1 + distorted discontinuous
fb =T
2 46 T o 'sha (6b) reference signal

to = TO - fa - f b (6c) 4.3 Overmodulation mode I

Fig. 2 shows the trajectory of the reference voltage vector,
which is Circular in the steady-state, being located Within an
hexagon f"ed by Joining the extremities of the six active
switching state vectors. AS the modulation index increases, the
circular trajectory at sinusoidal modulation grows Outward
until, at mm,2 = 0.907, it becomes the inscribed Circle of the
hexagon. At this particular value of the modulation index, the
on-duration of the zero vector, (6c),reduces to zero whenever
the reference trajectory touches the hexagon at a = (2k+l)n/6,
In this range, the preprocessor changes the magnitude of the
reference while the angle is transmitted without any change
(% = a).TO illustrate this, Fig. 4 shows one of the 60°-sectors
of complex plane. The dashed circle is the required reference
trajectory y . The solid line u * is~ the trajectory generated by
the preprocessor, observing the physical constraints inherent
to the inverter. Whenever the reference track is within the
hexagon, near the outer comers of a Sector on cme-length A-

jIm t
where k = 0 ... 5. When
the modulation index is
t
further increased, the
on-duration of the zero
vector, as calculated
from (6c), becomes
negative and hence
meaningless. Thus the
modulation index can-
not be increased be-
yond mmaX2 while
maintaining a sinusoi-
dal reference voltage.
Fig. 2: Reference voltage trajectories Fig. 4: Overmodulation mode range I
308
 vector li* moves along a circle
with fundamental angular fre-
quency, u*premains fixed at the ah g
vertex. As the angle of the ref-
erence U* reaches a value a =
k x / 6 , k = 0 . 3 , k*pis switched 0
to the next active switching 0.96 0.98 1.00
m-
state. This way, the modulator
generates the six-step waveform Fig. 6: Hold angle ahvs
and the maximum possible volt- modulation index
age of the inverter is available
Fig. 5 : Real Component of reference voltage at m,,,4 = 1.
in overmodulation mode I If the reference voltage U* reduces below unity, is held at
B in Fig. 4, the inverter control selects the adjacent active a vertex for a particular time, and then moves along the side of
switching state vectors or the zero state. This corresponds to the hexagon for the rest of the switching period. Such switch-
sinusoidal modulation, and the on-durations are calculated ing method is characterized by a hold angle, which controls
using (6). However, when the original reference trajectory the time interval the active switching state remains at the
passes outside the hexagon, the time average equation (6) vertices, and the respective switching times of two active
gives an unrealistic on-duration for the zero vector. Hence, switching states controlling the motion along the hexagon.
only the two adjacent active switching state vectors are switched Retracting from the six-step operation, the hold angle gradual-
alternately. During this process the average voltage trajectory ly decreases from x / 6 , reaching zero at the lower limit of
moves along B-C which coincides with the hexagon. Finally, overmodulation range 11.
To achieve control in overmodulation mode 11, the re roc-
the trajectory of L * reaches
~ the point C near the other vertex.
essor changes both the reference magnitude from U to u * ~ ,
P P
The reduced fundamental component in this region is compen-
sated by a higher fundamental on the A-B path. Hence, the on- and the reference angle from a to ai,. The trajectory of &* is
durations for this path are calculated by maintained on the hexagon which defines the magnitude Up*p.
The angle ai, is calculated by
t. =TI a c o s a - s i n a (7a) Osala,
JScosa+sina
1O
tb = TI (7b) tb = - f a (7c) ah< a < x/3-ah (8)
where TI = T d 3 , (4).
For implementation on a less powerful hardware, the first
equation can be simplified with some trade-offs:
where a h is the hold-angle. This angle uniquely controls the
fundamental voltage. It is a nonlinear function of the modula-
tion index, Fig. 6.
while the other on-durations are calculated as Der (7b) and The process of generating the reference trajectory u*p is
explained in Fig. 7, in which only the first sector is consid-
Pulsewidth control in overmodulation range I can be carried
out as long as a portion of the reference track exists within the
hexagon. As the modulation index is gradually increased, the
circular portion of the &*p trajectory wanes out. The modified
trajectory then fully coincides with the hexagon, Fig. 2, which
defines the limit of overmodulation mode I at m,,,. = 0.952.
Fig. 5 shows the real component of the reference trajectory
versus time in overmodulation mode I. It is seen that the
reference trajectory starts deviating from its sinusoidal form at a) r = A r b) r = 2 & c ) r = 3 & d) r=4& e) r = 5 &
the begining of the overmodulation range, reaching the piece-
wise linear trajectory at m,,,3 which corresponds to the hex-
a<ah a>ah a =6z a < ?-ah a > $-a,,
agonal track at the end of mode I.
A practical implementation of pulsewidth control in over- Fig. 7: Modification of the reference voltage
modulation mode I was already described in [7]. in overmodulation mode I1
4.4 Overmodulation mode II ered. In Fig. 7(a), a is less than the res ective value of ah, and
In this range, the modulation index further increases from its the preprocessor holds the vector UP at the vertex. As a
initial value m,,,3 to unity. While the trajectory of the refer- exceeds a h in Fig. 7(b), u*pmoves along the hexagon, lagging
ence signal L* always remains a circle, the trajectory of uLp a*. It is approximated by alternately switching the two adja-
changes gradually from a continous hexagon to the discrete cent active switching states. At exactly a equal to n/6, the
six-step switching sequence. The demonstration of how this is vector u*pcatches up with U*, and then speeds past it till a = IC/
achieved is easier understood if operation in the six-step mode 3 - ah. At this instant, U* has just arrived at the other vertex
is considered first, working then backwards to the continous and remains there until aP has caught up with f p . This termi-
hexagonal trajectory of mode I. nates the considered time period.
The six-step mode is characterized by holding that particular The on-durations are calculated by substituting ai, for a in
switching state vector which is closest to the reference vector (7).
for one-sixth of the fundamental period. While the reference To conclude, we observe that in the sinusoidal modulation
309
 i::::mlmdF{
0.10
max4
::2
0.4
0.907

0.00 0.0
0.0 0.2 0.4 0.6 0.8 0.9 1.0 0.952
m-
Fig. 8: Distortion factor vs modulation index

mode, the preprocessor transmits the reference magnitude and 0.976

the angle without any change, thus retaining its sinusoidal
nature. In the overmodulation mode, the reference trajectory is
distorted by changing the magnitude in range I and then both
the angle and the magnitude in mode 11. Operating through
overmodulation ranges I and 11, the modulation index can be
continously increased over the previous limit mmax2 = 0.907,
reaching its absolute maximum value of unity at six-step oper-
ation.
4.5 Switching frequency and harmonic distortion
In general, the current distortion can be reduced by increas-
ing the switching frequency. The choice of the maximum
switching frequency is dictated by the switching devices used
and cannot be arbitrarily increased. For a given switching
frequency, the current distortion increases with the modula-
tion index, Fig. 8. In the sinusoidal modulation range, three
commutations per switching subcycle are required to generate
the desired voltage. When operating in the overmodulation
range, the trajectory of y*pcoincides partly or completely with
the hexagon. On the hexagonal trajectory, only two commuta-
tions per subcycle are required as compared to three at sinu-
soidal modulation. Since the effective switching frequency is
maintained at the permitted maximum value, the distortion
factor tends to reduce when entering the overmodulation range,
Fig. 8. After passing through a minimum, almost the same
value of distortion factor as at mma,2 is reestablished at m,,,3.
The distortion factor increases when the reference waveform
becomes discontinuous in mode 11, finally reaching unity val-
ue at unity modulation index, which satisfies the original defi-
nition ( 1 ) .
4.6 Implementation
The proposed modulator can be easily implemented on any
standard microcontroller without any additional hardware. A
dedicated hardware implementation consisting of an EPROM
and a logic array is also feasible, which relaxes computing
time requirements of the microcontroller. Switching frequen-
cies to the order of 20 kHz are possible in this case. For our
investigations. the above scheme was implemented on an Intel
80 C 196 microcontroller.
Fig. 9 shows oscillograms of the currents at different operat-
ing points within the overmodulation range. The increasing
content of non-zero sequence harmonics in the reference volt-
age waveforms are clearly reflected in the distortion of the
current waveforms. Towards the absolute limit mmaX4,the typ-
ical current waveshape of six-step operation evolves. The pro-
posed scheme allows the full utilization of the dc bus voltage
with no extra hardware cost.
m=l
0 lo t- 20 ms
Fig. 9: Feedforward scheme: motor currents at increased
modulation index in the overmodulation mode.
rent dependent switching time delay. In recent years, several
methods of feedback PWM have been published [8,9, 10, 1 1 ,
14, 151. None of these schemes highlight the problem of dc
bus utilization. Xu and Novomy 1121 have discussed the prob-
lem and conclude the following: 1 ) Any regulator operating in
terms of instantaneous current feedback will have less than the
optimal bus utilization of a feedforward VSI system. 2) A
higher switching frequency reduces the maximum excursion
of current error and promotes a higher bus utilization.
A different class of feedback PWM schemes was first pro-
posed by Holtz and Stadtfeld [8, 131. Here, the switching
sequence is not solely dictated by the magnitude of the current
error. An optimization criterium is used, instead, to determine
the next switching state. The criterium aims to reduce the
switching frequency while restricting the magnitude of the
current error to the interior of a circular error boundary.
5 .I Field-oriented pulsewidth modulation.
The aforementioned class of on-line optimized feedback
PWM schemes was extended to current regulation in a syn-
chronous reference frame aligned to the rotor flux vector [2,
161. This method of field-oriented pulsewidth modulation uses
a rectangular error boundary in field coordinates. Doing so, a
larger part of the current harmonics is transferred to the in-
phase component is,, of the stator current. The rotor flux which
depends on isd, however filtered by a first order delay associ-

5. Feedback Schemes
0 4-
Feedback PWM schemes generate the switching instants in a
closed loop and hence they are fast enough to inherently com- in stator coordinates in field coordinates
pensate all nonlinear effects of pulse dropping and load cur- Fig. 10: Field oriented PWM
310
ated with the large rotor time constant, is free of these har-
monics. As a consequence, the torque ripple of the machine kd(t) = &(to) +=did ' ( 1 - 10) ( 12b)
depends only on the ripple of the quadrature current compo-
nent is,, notwithstanding the higher ripple contained in isd, The rate of change of the stator current can be calculated
The location of a rectangular error boundary in a field- using the following equations:
oriented reference frame is shown in Fig. 10. As soon as the
current trajectory hits any of the q-error boundaries, an invert-
er switching state is selected which changes the quadrature
current component is, at the lowest possible rate while direct-
&+ = uss - G1sq - W,X& - Uj (13a)

ing the current trajectory to the interior of the rectangle. Not &x
d = kd
U, -G&j +W,X#& (13b)
all of the eight switching states of the inverter provide the
required minimum rate of change of current. A reduced set of At lower speed, the back-emf and the cross-coupling dynam-
active switching states consisting of the two active switching ic voltages are small compared to the switched inverter volt-
age. Hence the trajectory of the stator current is linear and has
.t o.6 . t O6 a dominating q-component, Fig. ll(a). As the speed increases,
the back-emf and the cross-coupling terms become more prom-
lsq 0.4 lSq 0.4 inent, and therefore the rate of change of current has an in-
creasing d-component, which is demonstrated by (13a) and

"w.;
0.2 0.2 (1 3b). Due to the rotation of the actual switching state vector
in the synchronous reference frame, the components of the
0 0.2 0.4
lsd
0.6
-
0 0.2 0.4
kd -
0.6
current derivative in this coordinate system vary with time.
Especially at higher speed, the actual switching state vector
states adjacent to the back- rotates appreciably during the time interval between two in-
emf vector and the zero verter commutations. Thus, the direction of the current uajec-
q!i switching states are consid- tory changes continuously, and hence the path of the current
ered for optimization with- vector is basically composed of sections having high curva-
-0.2 out loss of quality. ture, being pieced together as the switching state changes, Fig.
0 0.2 0.4 0.6 When the current error 11(b).
Zsd- hits a q-error boundary, the
instantaneous value of the
5.2 Overmodulation
Since the switching states are selected based on (9), the
Fig. 11: Measured current tra- in-phase error component is
jectory in field coordinates vectors selected at low speed are an active switching state
registered. Then, the time vector or the zero state. As the back-emf increases with speed,
taken by the current trajec- the rate of change of current for the zero switching state
tory to travel between two error boundaries is calculated for
increases. Hence at higher speeds the zero switching state is
the prospective switching states. The next switching state is no more the optimal by definition (9). Consequently, the zero
determined by the sign of error and the type of error: q- or d-
switching state is not selected and the inverter state commu-
error. For example, in case of a negative q-error, i. e. current tates between two active switching state vectors only. This
trajectory hitting the upper boundary, the choice of a suitable describes the overmodulation mode.
switching state is limited to those switching states which pro-
As the speed is further increased, the trajectory, being curved
vide a negative rate of change of current in the quadrature
with an increasingly dominant d-component, moves towards
direction. Thus the time durations inside the error boundary the d-error boundaries, avoiding the q-error boundaries. Ow-
have to be calculated only for two switching states at a time. A
ing to the clockwise rotation of the switching state vectors in
simple algorithm for optimization is described thoroughly in
the field oriented reference frame, the current trajectory in this
[2]. The philosophy for selecting the kth switching state can be mode predominantly hits the right-hand side d-error boundary.
given as
The appropriate switching algorithm selects the switching state
Wk)+min (9) &(k) + max (10) providing a negative rate of change of current in the d-direc-
for smaller error magnitude, which corresponds to steady-state tion: This is the active switching state to the left of the back-
and quasi-steadystate operation, and a large-signal algorithm emf vector. At positive speed, this switching state, though
(10) which governs the case of larger transients. providing the required rate of change of current in the d-
direction, causes the current trajectory to move towards the
5.2 Current trajectories in field coordinates
The stator voltage of an induction machine can be expressed t 8o
in field coordinates in terms of the stator current and the rotor is A
flux 0

0 I
By definition, the rotor flux vector has only a real compo-
nent in field coordinates and its magnitude is constant in the
base speed range. The components of the linearized stator
current trajectory are given by 1 l l l I t I I I I l
0 10ms t- 20

Fig. 12: Feedback scheme: motor currents at increasing

modulation index in the overmodulation mode.
31 1
lower q-error boundary. If a q-error is registered
at some instant, a switching state is searched
which corrects the 4-error. Since no such state is isa
available, the actual switching state must contin-
ue. The current trajectory thereafter changes to -0.8
an upward direction, later turning back to the
right to meet the starting point again. Finally, it t
describes an eye-like figure, as demonstrated by ha
the measured trajectory Fig. 11(c).
-1.L.
5.2 Experimental Results
The scheme was implemented on a TMS 320
C25 dual signal processor system [2]. The algo-
rithm workssatisfactorily i n PWM. overmodula-
tion range and at six-step operation without any
additional structural changes. Fig. 12 shows the currents in all
three ranges of operation. The fundamental distortion at over-
modulation, although not directly progammed, turns out to
have the same nature as in the feedforward approach. Note
that the second curve is characterized by higher switching
frequency. Work is currently being continued to improve on
this. A transition from overmodulation mode to six-step mode
is shown in Fig. 13.
6. Conclusion
It was an accepted fact until now that the controllable range
of modulation index has an upper limit at mmax2= 0.907. The
six-step mode having unity modulation index was considered
an additional discrete and isolated operating point. We have
shown that the gap between the aforementioned limit values
can be bridged, which provides a gain of 10% in fundamental
output voltage, and hence inverter power.
Continuous control in the new range of overmodulation is
achieved by adding non-zero sequence distortions to the con-
trolling fundamental signal. ' h odistinct overmodulation tech-
niques are discussed which are tailored to different areas of
application:
1. PWM for general purpose industrial drives and high-
frequency servo-systems, and
2. PWM for low switching frequency applications, preferra-
bly at higher power level such as railway traction and mill
drives.
For the first category, an extended space vector modulation
technique is proposed, which can be used either in a feedfor-
ward configuration or in combination with a closed loop cur-
rent controller. The required non-zero sequence distortions are
generated in a preprocessor which modifies the input signal to
the modulator. -0 different modes of overmodulation exist.
Operation in mode I, which governs the lower overmodulation
range, provides reduced total harmonic distortion, although
being based on a distorted reference signal. Implementation in
software avoids additional production cost.
The second class of applications calls for optimal modula-
tion techniques to reach a better compromise between switch-
ing losses and harmonic distortion. Overmodulation is achieved
here as an inherent feature of the existing field oriented
pulsewidth modulation method, which is of the feedback type.
Although not directly programmed, the same non-zero se-
quence distortions appear as in the feedforward method. The
field oriented modulation method can be also used for IGBT
inverters in the 100 - 300-kW power range at switching fre-
quencies up to 5 kHz without loss of six-step operation.
Continuously controllable transition in quasi-steadystate
from basic pulsewidth modulation to six-step operation is ex-
perimentally demonstrated for either method.
0.8
0
1.2
0
1 1
0 50 ms 100
t-
Fig. 13: Transition from PWM to six-step mode
Acknowledgement
This project was partly funded by the Deutsche Forschungs-
gemeinschaft (DFG).
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