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IEEE TRANSACTIONS ON POWER ELECTRONICS, VOL. 17, NO. 4, JULY 2002

Predictive Transient-Following Control of Shunt and

Series Active Power Filters
John H. Marks, Student Member, IEEE, and Tim C. Green, Member, IEEE

AbstractA novel technique is presented for generation of

a contemporary estimate of the fundamental component of the
distorted input current or voltage to an uncontrolled three-phase
bridge rectifier with a DC link smoothing filter. This allows for
accurate calculation of cancellation references for series and
shunt active power filters (APF) operating under steady-state and
transient conditions. Improved transient performance allows for
reduction of the power rating and control system bandwidth of an
APF.
An artificial neural network (ANN) predictor has been used to
-axis input to the rectifier without
directly calculate the mean
filtering. This is a critical stage in separating harmonic distortion
from fundamental current or voltage. The technique is developed
using simulation data for both series and shunt APFs and validated with experimental results. The predictive harmonic identifier shows good steady-state performance and excellent transient
performance that far exceeds that of a conventional identifier using
time-domain or frequency-domain filtering.

Fig. 1. Three-phase rectifier with inductive dc link filter and shunt APF.

Index TermsActive filters, neural networks, predictive control,

transient response.
Fig. 2. Three-phase rectifier with capacitive dc link filter and series APF.

I. INTRODUCTION

large number of nonlinear loads are used in applications at

various power levels. Examples of nonlinear loads include
variable speed drives, lighting systems, switch mode power supplies and many more types besides. These devices can cause distortion to the mains supply by drawing harmonic currents and
voltages. Traditionally tuned passive filters have been used to attenuate the harmonic distortion. The use of passive filters is not
desirable as they are bulky, de-tune with age and can resonate
with the supply impedance. In order to overcome the limitations
of passive filtering techniques, there has been much research
activity in the use of active power filters (APF) to mitigate the
harmonic distortion produced by semiconductor switched loads.
The APF has may advantages over using passive filters. The
APF can be smaller, cheaper, more versatile, better damped,
more selective and less prone to failure through component drift
than its passive counterpart. It can also be used to compensate
reactive power.
When using an APF to cancel a harmonic distorting load the
type of distortion must be classified as either current-type or
voltage-type [1]. The example harmonic load considered in this
paper is a three-phase uncontrolled diode bridge rectifier. The

Fig. 3. Complete shunt APF control system.

DC link smoothing filter determines the type of harmonic distortion produced. In turn, the type of distortion determines the
type of APF required [1]. Fig. 1 shows a shunt APF used to
cancel harmonic current distortion. Fig. 2 shows a series APF
used to cancel harmonic voltage distortion. These two situations are duals of each other. Both are considered in this paper.
Throughout the paper the shunt-APF/current-distortion case is
the main description with the series case following in parentheses.
II. CONVENTIONAL APF CONTROL

Manuscript received November 23, 2000; revised May 1, 2001. Recommended by Associate Editor J. H. R. Enslin.
The authors are with the Imperial College of Science, Technology and
Medicine, Department of Electrical and Electronic Engineering, London SW7
2BT, U.K. (e-mail: [email protected]; [email protected]).
Publisher Item Identifier 10.1109/TPEL.2002.800970.

Fig. 3 shows an example of a shunt APF. The correction current that will cancel the harmonic content of the load current
is supplied by a voltage source inverter (VSI). There are three
main tasks for the controller.

0885-8993/02$17.00 2002 IEEE

MARKS AND GREEN: PREDICTIVE TRANSIENT-FOLLOWING CONTROL

Fig. 4.

Conventional low-pass APF harmonic identifier.

1) To identify the harmonic content and form a synchronised

reference.
2) Provide closed-loop control to force the current of the VSI
to follow the reference.
3) To regulate the VSI dc link voltage in the face of power
losses in the VSI and erroneous real power (fundamental
frequency) exchange with the line.
This paper reassesses the first of these control tasks and assumes
the other two are tackled in the normal way.
Conventionally, time-domain [2][5] or frequency-domain
[6] filtering techniques have been used to identify the harmonic
component of the distorted signal. This can either be done
directly, or indirectly by obtaining the fundamental frequency
component and subtracting it from the instantaneous value.
The identification can be performed in a number of different
, dq0, pq0) [3], [7]. This method
reference frames (ABC,
has been proven to work effectively under steady-state operating conditions. However, under transient conditions when
the fundamental component of the distorted signal is varying
dynamically, the conventional filtering techniques exhibit
significant delays in tracking the fundamental.
For the direct method this results in incomplete cancellation
of harmonic distortion. In the case of the indirect method, an
error in the estimated fundamental frequency component will
result in a residual fundamental frequency component in the
cancellation reference. This will cause the APF to source/sink
real power. Therefore, to prevent damage to the APF, the power
converter and energy storage must be overrated. It is difficult to
implement a fast response energy balance control loop because
it interacts with the cancellation process and causes distortion.
Fig. 4 shows a block diagram of a conventional harmonic
identifier. The identifier operates in the synchronous rotating
reference frame (dq0) using the indirect method. This identifier
is used as a benchmark by which to gauge the performance of
the predictive identifier.
The choice of filter used determines the performance of the
system. The filter used is a second order Butterworth low-pass
infinite impulse response (IIR) design with a 10 Hz cut-off frequency. This type of filter is chosen as it gives good transient
response, while maintaining acceptable attenuation of the harmonics present.

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six-pulse rectifiers with either inductive or capacitive dc link

smoothing filters. The derivation assumes the following operating conditions.
The smoothed dc link output current (voltage) is constant.
Diode commutation is instantaneous.
The derivation is carried out in three stages. Firstly, a relationship between the mean -axis rectifier input currents (voltages)
and the peak supply current (voltage) is found. Secondly, the relationship between the smoothed dc link current (voltage) and
the peak ac input current (voltage) is derived by Fourier analysis.
Finally, the two expressions are substituted to yield the relationship between the mean -axis input currents (voltages) and the
dc link current (voltage).
A. Current Rectifier
Fig. 5 shows normalized ideal current waveforms for a single
phase of a three-phase rectifier with inductive dc link filter and
shunt APF (Fig. 1).
The relationship between the peak fundamental ac input current and the mean -axis values is found using the familiar
transformation [8]. The transformation mapower invariant
trix used is the combined power invariant Clarke and Park transformations

(1)
The relationship between the dc link current and the peak
fundamental component of the ac input current is derived by
Fourier analysis of the load current waveform

(2)
The relationship between the dc link current and the mean
-axis input currents is derived by substituting (2) into (1)

III. RELATIONSHIP BETWEEN AC AND DC QUANTITIES

OF A RECTIFIER
The predictive harmonic identifier is based on the assumption that there is a relationship between the mean value of the
smoothed dc link current (voltage) of a three-phase rectifier
with inductive (capacitive) dc link smoothing filter and its mean
-axis input counterparts. In order to validate this assumption
a relationship is analytically derived for an ideal three-phase

(3)

B. Voltage Rectifier
Fig. 6 shows normalized ideal phase voltage waveforms for
a single phase of a three-phase rectifier with capacitive dc link
filter and series APF (Fig. 2).

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IEEE TRANSACTIONS ON POWER ELECTRONICS, VOL. 17, NO. 4, JULY 2002

Fig. 5. Normalized ideal current waveforms for inductive rectifier with shunt APF.

The relationship between the peak fundamental ac input

phase voltage and the mean -axis values is found using the
power invariant
transformation

The relationship between the dc line voltage and the -axis

input phase voltages is derived by substituting (5) into (4)

(6)

(4)
The relationship between the dc link voltage and the peak
fundamental component of the ac input phase voltage is derived
by Fourier analysis of the load phase voltage waveform

(5)

IV. PREDICTIVE HARMONIC IDENTIFIER

To understand the concept of the predictive identifier it is important to realize that the conventional identifier is inherently
predictive. It assumes that the fundamental frequency component of the load current (voltage) measured some time in the
past (a time set by the delay of the filter) is the same as the
present value. This assumption is valid under steady-state conditions, but no longer valid under transient conditions where the
fundamental frequency component is time-varying. It is clear
that some sort of explicit prediction is necessary to operate an
APF effectively under transient conditions.
In [9] Round and Mohan propose a time-domain artificial
neural network (ANN) identifier for a shunt APF that works in
the stationary reference frame. The identifier exhibits reasonable transient performance in that it tracks the changing fundamental with little delay. There is, however, a period of incomplete harmonic cancellation during the transient period. The
computational demands of implementing such a identifier is
high because it uses three ANNs each with a large number of
inputs and neurons.

MARKS AND GREEN: PREDICTIVE TRANSIENT-FOLLOWING CONTROL

Fig. 6.

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Normalized ideal phase voltage waveforms for capacitive rectifier with series APF.

Fig. 7. Block diagram of ANN predictive harmonic identifier.

There is a growing trend in the use of ANN to control APFs.

In many cases, an ANN is used to perform a task that is more
simply performed with established digital signal processing
techniques (DSP) such as fast Fourier transforms [10] or determining inverter switching patterns [11] where space vector
modulation (SVM) is highly efficient.
A frequency-domain predictive APF identifier for a
three-phase thyristor rectifier driven dc motor was proposed
in [12]. The identifier exhibited excellent transient response
but was sometimes problematic under steady-state conditions.
Early simulation results for a predictive identifier similar to the
one presented here have been presented for the single case of
rectifiers with inductive dc link filters [13].
The predictive identifier (Fig. 7) proposed here is for a threephase rectifier with inductive (capacitive) dc link filter. A feedforward ANN is used to estimate the mean -axis rectifier input
currents (voltages) using the instantaneous dc link current and
voltage. Information relating to the fundamental and sixth harmonic reference angles are also provided so that the fluctuation
of dc current (voltage), assumed constant in Section III, can be

Fig. 8. PSpice simulation of rectifier with inductive dc filter and voltage source
input.
TABLE I
PARAMETERS USED FOR SHUNT APF SIMULATION

accounted for. These estimated mean values are then subtracted

from the instantaneous values to yield a cancellation reference.

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Fig. 9.

IEEE TRANSACTIONS ON POWER ELECTRONICS, VOL. 17, NO. 4, JULY 2002

Simulated load, estimated fundamental, and cancellation reference currents for conventional shunt APF.

The dc link current (voltage) is used as a basis for the prediction

as it exhibits much less distortion than the -axis rectifier input
currents. The sine and cosine functions of the sixth harmonic
reference angles are included to give a continuous signal representing the periodicity of the dc link distortion. Similar information for the fundamental harmonic reference angle is included
to allow the ANN to deal with unbalanced supply conditions.
The ANN used has the following configuration.
1) A hidden layer with five neurons with hyperbolic tangent
sigmoid transfer function.
2) A second hidden layer with seven neurons with log sigmoid transfer function.
3) An output layer with two output neurons with linear
transfer function.
A two hidden layer ANN is used as it is proven to be able to
adapt to any arbitrary function [14], [15]. No delays or feedback
were used within the ANN.

[14], [15] to update the ANN weight and bias values. The
ANN performance is judged according to the mean squared
error (MSE) between the actual ANN output and the target
outputs. All training is carried out off-line in the MATLAB
environment.
B. Calculation of Target Data
To generate the target output data for training the contemporary mean of the -axis rectifier distorted input current
(voltage) is calculated using a noncausal moving average filter.
Equation (7) is the linear difference equation representing the
filter. This technique is chosen as it provides the best possible
transient response. The filter uses both past and future data.
This method can, therefore, only be used on data processed
off-line
(7)

A. Predictor Training
The network is trained by presenting it with a large set of
steady-state experimental input and target output data. The
training is accomplished using the LevenbergMarquardt (LM)
back-propagation method [14], [15], in conjunction with the
gradient descent with momentum (GDM) learning method

where
index of the present sample;
period of the input, in number of samples;
mean value of the input at a specific sample
index ;

MARKS AND GREEN: PREDICTIVE TRANSIENT-FOLLOWING CONTROL

Fig. 10.

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Simulated load, estimated fundamental, and cancellation reference currents for predictive shunt APF.

TABLE II
PARAMETERS USED FOR SERIES APF SIMULATION

Fig. 11. PSpice simulation of rectifier with capacitive dc filter and current
source input.

input at sample index

sample index offset.

V. SIMULATION
In order to test the operation of the predictor models, several
three-phase rectifiers were simulated in PSpice. Training and
validation data was acquired for processing in MATLAB.

A. Shunt APF Simulation Results

Fig. 8 shows the PSpice model of a three-phase rectifier with
an inductive dc link filter. It was used to generate training and
validation data for the shunt APF identifier of the configuration shown in Fig. 1. The load is a variable resistance. Line
impedance is included in the model to ensure simulation convergence. The impedance is very small and hence the rectifier
terminal voltages are very close to sinusoidal. In this mode of
operation the rectifier behaves as if an shunt APF were in place.
The parasitic resistance Rp is included to reference the dc link
to the neutral line. It is necessary to reference the dc link to the

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Fig. 12.

IEEE TRANSACTIONS ON POWER ELECTRONICS, VOL. 17, NO. 4, JULY 2002

Simulated load, estimated fundamental, and cancellation reference phase voltages for conventional series APF.

ac side to ensure convergence under starting conditions. Table I

shows the parameters used.
Fig. 9 shows the performance of the conventional harmonic
identifier for a shunt APF under transient conditions. There is
a clear tracking delay in the estimated fundamental frequency
component of the load current. This leads to a residual fundamental component in the cancellation reference current, which
in turn causes a large real power flow in the APF.
In contrast, Fig. 10 shows the performance of the predictive
shunt APF identifier over the same transient. The predictive
identifier tracks the changing fundamental frequency component of the load current without delay and with negligible
residual harmonic distortion. The cancellation reference is
therefore accurate and gives no average power flow in the APF.
B. Series APF Simulation Results
Fig. 11 shows the PSpice model of a three-phase rectifier with
a capacitive dc link filter under conditions of sinusoidal supply
current. It was used to generate training and validation data for
the series APF identifier of the configuration shown in Fig. 2.
The currents were forced to be sinusoidal to train the predictor
for a case where the APF was already active rather than training
with a voltage source and non-APF case. The Norton equivalent
of the line impedance shown in 8 is included to ensure convergence of the simulation. The impedance is very large and hence

the rectifier input currents are very near sinusoidal. As with the
previous simulation parasitic resistance is referenced the dc link
to the ac side to ensure convergence under starting conditions.
Table II shows the parameters used.
Fig. 12 shows the performance of the conventional harmonic
identifier for a series APF under transient conditions. There is
a clear tracking delay in the estimated fundamental frequency
component of the load phase voltage. This leads to a residual
fundamental component in the cancellation reference voltage,
which in turn causes a large real power flow in the APF.
Fig. 13 shows the performance of the predictive series APF
identifier over the same transient. The predictive identifier
tracks the changing fundamental frequency component of the
load phase voltage without delay and with negligible residual
harmonic distortion. The cancellation reference is therefore
accurate and gives no average power flow in the APF.

VI. EXPERIMENTAL RESULTS

An experimental system was constructed in order to demonstrate the operation of the predictor in a realistic environment.
The objectives were to show that
i) an ANN of the required size can be implemented in realtime;

MARKS AND GREEN: PREDICTIVE TRANSIENT-FOLLOWING CONTROL

Fig. 13.

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Simulated load, estimated fundamental, and cancellation reference phase voltages for conventional shunt APF.

A suite of software distributed over DSP and PC platforms

provides real-time processing and data-acquisition. The implementation of the predictive identifier was optimized for speed
by use of interpolated lookup tables for the activation functions
of the ANN. The resulting execution time allowed for a sampling frequency of 6.4 kHz, corresponding to 128 samples per
50 Hz mains cycle.
Fig. 14.

Block diagram of digital three-phase phase-locked loop.

A. Three-Phase PLL
ii) the quantization of the ANN and the look-up tables of the
activation functions are acceptable approximations;
iii) that the predictor can work in nonideal circumstances
with overlap in commutation, line voltage distortion and
rectifier dc-side current ripple.
The results concentrate on the harmonic identifier and do not
include the functioning of the APF.
The test system consisted of a three-phase diode bridge
rectifier with a 230 mH dc-side inductance and variable
resistance. The rectifier was connected to a 415 V 50 Hz
supply via a VARIAC. Real-time processing is provided by a
50 MHz TMS320C44 digital signal processor. Analogue input
is achieved by means of 12-b ADCs. The DSP board is housed
in a Pentium 200MMX IBM compatible PC host with 128 MB
of RAM. The setup offers fast bidirectional data exchange
between PC and DSP platforms via dual-port RAM.

Implementation of the predictive identifier requires that an

accurate estimate of the mains reference angle is known. To
this end a discrete-time three-phase phase-locked loop (PLL)
[16][18] is implemented on the DSP. Fig. 14 shows a block diagram of the PLL. The regulator works by adjusting the estimated
frequency until the mean value of the -axis voltage (obtained
by the LPF) is zero. The estimated frequency is then integrated
to yield the estimated mains reference angle. This is the angle
transformation on the input three-phase
used to perform the
voltage.
The PLL was tested on a variety of harmonically distorted
and unbalanced three-phase networks and successfully locked
on to the fundamental phase and frequency with a high degree
of accuracy. Fig. 15 shows an oscilloscope plot of the PLL successfully locked onto an extremely distorted and unbalanced
three-phase network.

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IEEE TRANSACTIONS ON POWER ELECTRONICS, VOL. 17, NO. 4, JULY 2002

Fig. 15. Distorted phase voltage input to PLL and estimated reference angle. ABC phase voltages,
Timebase 5 ms/div.

V ,V ,V

(150 V/div) estimated angle,  (2 rad/div).

Fig. 16. Conventional harmonic identifier experimental results. Rectifier current, I , estimated fundamental current, I and cancellation current, I (5 A/div).
APF power, P (750 W/div). Timebase 20 ms/div.

B. Shunt APF Experimental Results

Fig. 16 shows the performance of the conventional shunt
identifier under transient conditions. The conventional identifier exhibits a substantial delay in tracking the changing
fundamental frequency component of the rectifier input current. This results in a residual fundamental component in the
cancellation reference and consequently real power flow in the
APF.
Fig. 17 shows the performance of the predictive shunt identifier under the same transient conditions. The predictive identifier tracks the changing fundamental frequency component of
the rectifier input current without delay. This results in an ac-

curate cancellation reference. The average APF power is zero

throughout the transients.
The experimental results are in close agreement with the simulation results shown in Fig. 9 for the conventional identifier and
Fig. 10 for the predictive identifier.
VII. CONCLUSIONS
In this paper, a novel predictive distortion identifier for an
APF was proposed in order to overcome the tracking delays experienced with conventional APFs utilizing time or frequency
domain filtering techniques. The identifier employed an artifi-

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Fig. 17. Predictive harmonic identifier experimental results. Rectifier current, I , estimated fundamental current, I and cancellation current, I (5 A/div). APF
power, P (750 W/div). Timebase 20 ms/div.

cial neural network to predict the mean -axis input to an uncontrolled diode bridge rectifier. It was adapted for both series
and shunt APF configurations.
A relationship between the dc link current (voltage) and mean
-axis current (voltage) of an uncontrolled three-phase diode
bridge rectifier was derived for ideal conditions in order to validate the basis for predicting the mean -axis current (voltage)
from its instantaneous DC counterpart.
Simulation results with PSpice and MATLAB showed good
steady-state performance for both series and shunt predictive
harmonic identifiers. The conventional identifier exhibited poor
transient response, due to the delays incurred in the filtering
process. This in turn led to a fundamental frequency component
appearing in the cancellation reference and would consequently
result in real power flow in the APF. The predictive identifier
exhibited no delay in tracking the fundamental and showed negligible residual harmonic distortion. This resulted in an accurate
cancellation reference and zero average real power flow in the
APF.
An experimental system was implemented in order to validate the results of the predictive identifier for a shunt APF. The
identifier showed good steady-state and excellent transient response. The agreement between simulation and experimental
results was very good. This demonstrates that
a) it is realistic to run an ANN in real time at the sample rates
required
b) the quantization of the network activation function
look-up tables is not a problem
c) the ANN trained on simulation data can generalize to a
real case with nonideal features such as commutation
overlap and mains voltage distortion.
The implications of improved transient response of an APF
identifier are reduced power rating, energy storage component
size and control system bandwidth. This results in reduced implementation cost of an APF.

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[3] L. Pittorino, A. Horn, and J. Enslin, Power theory evaluation for the
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[6] C. V. Nunez-Noriega and G. G. Karady, Five step-low frequency
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[18] S.-K. Chung, Phase-locked loop for grid connected three-phase power
conversion systems, Proc. Inst. Elect. Eng., vol. 147, pp. 213219, May
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John H. Marks (S02) received the B.Eng. degree

(first class honors) in mechatronics from the
University of Leeds, U.K., in 1997 and is currently
pursuing the Ph.D. degree in electrical engineering
in the Department of Electrical and Electronic
Engineering, the Imperial College of Science,
Technology, and Medicine, London, U.K.
His research interests include power quality, adaptive neural control systems, and power electronics.

Tim C. Green (M89) received the B.Sc. degree

(with first class honors) from Imperial College of
Science, Technology, and Medicine, London, U.K.
in 1986 and the Ph.D. degree from Heriot-Watt
University (HWU), Edinburgh, U.K. in 1990, both
in electrical engineering.
He was at HWU until 1994 and is now a Senior
Lecturer at Imperial College and member of the Control and Power Research Group. He has research interests in power quality and power delivery covering
active power filters, unified power flow controllers,
embedded generation, and un-interruptable supplies. He also pursues series/parallel use of power modules for frequency spectrum improvement and the design
of integrated high speed drives systems.