80 IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 59, NO.

1, JANUARY 2012
A Unied PWM Method for Matrix Converters
and Its Carrier-Based Realization Using
Dipolar Modulation Technique
Paiboon Kiatsookkanatorn, Student Member, IEEE, and Somboon Sangwongwanich, Member, IEEE
AbstractThis paper proposes a unied PWM method for
matrix converters so as to establish a common platform which can
generate various types of PWM methods in real time by adjusting
the free parameters in the modulation algorithm. As a foundation
for unication, the general form of the modulation functions
for matrix converters is derived using geometric transformation
approach. All eligible direct modulation matrices are shown to be
of indirect formand are expressed in terms of instantaneous phase
quantities. This paper also presents a new viewpoint to consider
a matrix converter as a generalized three-level inverter and to
apply the double-carrier-based dipolar modulation technique of
the three-level inverter to the matrix converter. Several concepts
of the two-level PWM inverters are then generalized to the matrix
converters for better visualization and understanding of the mod-
ulation process.
Index TermsCarrier-based dipolar modulation, geometric
transformation, matrix converters, unied PWM.
I. INTRODUCTION
P
WM STRATEGIES for matrix converters have received
much attention recently [1][21]. The main task of mod-
ulation for the matrix converters is to generate the required
output voltages while controlling the input currents or the
power factor as required. Various PWM strategies have been
extensively investigated up to now. They may be classied
as direct or indirect modulation according to the structure of
their modulation matrices. The direct modulation views the
modulation matrix as a direct acdc conversion, while the
indirect method assumes a virtual dc link and decomposes
the modulation matrix into the rectier and inverter modula-
tion matrices. Alternatively, it is also possible to categorize a
PWM method as a scalar (phase) or space-vector modulation
depending on whether the three-phase voltages and currents are
treated individually as a phase quantity or totally as a space
vector.
In the above sense, the PWM methods in [2][6] are direct
scalar modulation. Solving for the required modulation matrix
Manuscript received November 15, 2010; revised March 7, 2011; accepted
April 11, 2011. Date of publication May 5, 2011; date of current version
October 4, 2011. This work was supported by The 90th Anniversary of
Chulalongkorn University Fund (Ratchadaphiseksomphot Endowment Fund).
The authors are with the Department of Electrical Engineering,
Chulalongkorn University, Bangkok 10330, Thailand (e-mail: paiboonkiat@
hotmail.com; somboona@chula.ac.th).
Color versions of one or more of the gures in this paper are available online
at http://ieeexplore.ieee.org.
Digital Object Identier 10.1109/TIE.2011.2151823
in the direct form represents the most broaden problem setting.
Despite of the general form of modulation matrices given in
[6], the whole set of eligible modulation matrices is still not
rigorously derived. Also, in general, the elements of the direct
modulation matrix are not clearly expressed in terms of the
instantaneous voltages or currents [2][5], which is necessary
in the implementation.
Compared to the direct scalar methods, the indirect scalar
methods, e.g., in [7][11], give more insightful meanings to
the action of the modulation matrices. However, whether the
restriction of the structure of modulation matrices makes the
indirect scalar modulation only a subset of the whole possible
modulation matrices or not, is still unclear. In [9][11], a gen-
eralized scalar modulation method which can generate several
PWM methods is proposed. However, since at any instant the
ctitious dc link is formed by a line-to-line voltage, the PWM
method does not allow the switching states which use the three
input voltages simultaneously.
The PWM methods in [12][15] are examples of the indi-
rect space-vector modulation. In general, indirect space-vector
PWM needs a look-up table to select the necessary active
and zero vectors depending on the status of the voltage and
current vectors. The switching times of the selected space
vectors are obtained through the combination of the duty cy-
cles of the rectier and the inverter. Finally, the switching
signals of the matrix switches have to be determined from
switching states and switching times of the selected space
vectors. Therefore, implementation of the indirect space-vector
modulation requires complicated duty-cycle calculations and
look-up tables to determine the PWM switching signals. The
calculated duty cycles are also not straightforwardly related to
the instantaneous phase values. Furthermore, it is not known yet
whether indirect space-vector PWM can be realized as a carrier-
based PWM. Consequently, the space-vector modulation for
matrix converters is more complex than that of two-level
inverters.
The direct space-vector modulation methods, e.g., [16][21],
use fully the 27 space vectors of the matrix converters. In
[17][21], a general form of the modulation matrices is pre-
sented based on the duty-cycle space vector concept. However,
the expression of the transformed modulation matrix obstructs
a clear picture of the modulation process, and is not related
directly to the phase quantities. Its implementation is thus not
easy. Besides, it is inapplicable for the case when the load is
purely reactive.
0278-0046/$26.00 2011 IEEE
KIATSOOKKANATORN AND SANGWONGWANICH: UNIFIED PWM METHOD FOR MATRIX CONVERTERS 81
It is seen from the aforementioned review that since each
PWM method is developed independently based on different
techniques. They are unrelated, and it seems almost impossible
to have one common algorithm which can generate all those
PWM strategies. The PWM theory for matrix converters in
its present status is far from being completely established and
unied, as compared to that of the two- or three-level inverters.
Matrix converters require a good PWM theory or algorithm
which
i) encompasses most of the well-known PWM methods;
ii) is computationally simple;
iii) is based on instantaneous phase values;
iv) is suit to carrier-based implementation;
v) is more comprehensible;
vi) is a generalized version of the PWM theory for the two-
or three-level inverters.
This paper aims to achieve the above objectives by proposing
a unied framework for the PWM theory of matrix converters.
In this paper, the matrix converter modulation theory is newly
investigated from the geometric transformation and the three-
level converter viewpoints. The main contributions of this paper
are as follows.
A unied carrier-based PWM algorithm that encompasses
several well-established scalar and space-vector PWM
methods is proposed.
A general form of modulation matrices is rigorously de-
rived from the geometric transformation viewpoint. The
theoretical solution clearly reveals that all the eligible
direct modulation matrices are always expressed in terms
of indirect modulation. This signicantly simplies its
practical implementation and gives a clear insight into the
functional behavior of the modulation.
It is proposed to consider the matrix converter as a gener-
alized three-level inverter. The proposed PWM can be thus
realized by the dipolar PWM technique of the three-level
inverter using double carrier waves [22].
It is shown how different switching sequences can be
automatically generated with minimal efforts.
Since this paper focuses mainly on the unied PWM al-
gorithm, several PWM methods are mentioned. However, it
is not the main aims of this paper to compare their detailed
characteristics.
II. DERIVATION OF GENERAL FORM OF MODULATION
MATRIX M BASED ON GEOMETRIC TRANSFORMATION
A. Transformation Geometrys Viewpoint
The general direct forms of voltage and current equations
of matrix converters are given by (1)(3). Voltage and current
symbols are as dened in Fig. 1

u
v
w

. .
v
o
=

u +v
Z
v +v
Z
w +v
Z

m
11
m
12
m
13
m
21
m
22
m
23
m
31
m
32
m
33

. .
M

R
S
T

. .
v
i
v
o
=Mv
i
(1)
Fig. 1. Simplied structure of a matrix converter.
Fig. 2. Geometric transformations of voltage/current vectors. (a) Rotation,
(b) reection, (c) scaling, and (d) translation,
TABLE I
BASIC GEOMETRIC TRANSFORMATIONS FOR MATRIX CONVERTERS

i
R
i
S
i
T

. .
i
i
=

m
11
m
12
m
13
m
21
m
22
m
23
m
31
m
32
m
33

. .
M
T
T

i
u
i
v
i
w

. .
i
o
i
i
=M
T
i
o
(2)
0 m
ij
1,
3

j=1
m
ij
=1, i =1, 2, 3, j =1, 2, 3
(3)
where, R, S, T and u

, v

, w

are the scalar values of the input

and desired output voltages, respectively. M is the modulation
matrix, and v
z
is the injected zero voltage. Subscripts i, o
denote the input and output quantities. Equation (1) can be
viewed as a geometric transformation of the input voltage
vector v
i
to the designed output voltage vector v
o
, while (2) is
the corresponding transformation of the output current vector i
o
to the input current vector i
i
. Fromthe transformation geometry
theory, the applicable transformations are categorized as shown
in Fig. 2 and Table I.
From this geometrical visualization, it is easy to explain why
some transformation matrix (i.e., the rotation) results in an
input power factor (PF) equal to the output PF, and some other
82 IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 59, NO. 1, JANUARY 2012
transformation matrix (i.e., the reection) gives the inverse
input PF [1]. It is also clear that to achieve a unity input PF, both
rotation and reection transformations must be used equally.
As the transformation deals with the instantaneous values, the
transformation property is valid without sinusoidal or steady-
state assumption.
B. General Solution of the Modulation Matrix
Three-dimensional vector (1) and (2) can be transformed into
2-D vector equations by applying the space vector transforma-
tion to both sides of the equations. As discrimination is obvious
from the context, the same vector/matrix notations are used for
both three- and 2-D expressions.
It can be derived that the general solution for the modulation
matrix Msatisfying (1) is given by
M=S
T
V
M
22
S
V
+M
0
(4)
M
22
=qe
J
o
_
1
2
(I+K)+
b
2
(LJ)+
d
2
(IK)
_
e
J
i
(5)
where S
V
is the space vector transformation, modulation index
q = |v
o
|/|v
i
|,
i
and
o
are the angles of the input and output
voltage vectors (see Appendix for detailed derivation). M
0
is
the zero-voltage matrix (to be described later), and
I =
_
1 0
0 1
_
, J =
_
0 1
1 0
_
K =
_
1 0
0 1
_
, L =
_
0 1
1 0
_
(6)
are 0

, 9

rotations, and reections across x-axis and x = y line,

which form the complete bases of the 2 2 matrix space. The
general form of the modulation matrix (5) can be expressed in
terms of voltage vectors as
M
22
=
v

O
v
T
i
|v
i
|
2
. .
M
U
+b
v

O
(Jv
i
)
T
|v
i
|
2
. .
M
P
+d
(Jv

O
) (Jv
i
)
T
|v
i
|
2
. .
M
Q
. (7)
From (4) and (7), the general form of the 3 3 modulation ma-
trix M which encompasses all modulation strategies satisfying
(1) is nally obtained as (8).
General form of 3 3 dimensional modulation matrix
M =M
U
+M
P
+M
Q
+M
0
M
U
=
1
(R
2
+S
2
+T
2
)

u
v
w

[ R S T ]
M
P
=
b

3(R
2
+S
2
+T
2
)

u
v
w

[ ST T R RS ]
M
Q
=
d
3(R
2
+S
2
+T
2
)

vw
wu
uv

[ ST T R RS ]
M
0
=

1
1
1

[ X Y Z ]
;
_
0 X, Y, Z 1
X+Y +Z=1
(8)
Fig. 3. Simplied structure of three-level inverter.
TABLE II
REARRANGEMENT OF VARIABLES AND MODULATION
MATRICES FOR ARBITRARY VOLTAGE SECTOR
Here, the free parameters of the modulation are b, d and the
zero-voltage matrix M
0
. From(9), it is seen that the modulation
parameters b, d in the matrices M
P
and M
Q
control the reac-
tive component of the input current i
i
, while the modulation
matrix M
U
gives the active component of the input current i
i
.
Unity power factor is obtained if M = M
U
+M
0
(b = d = 0)
is selected. On the other hand, M
0
only adds the zero voltage
to the voltage commands without affecting the input current.
The input and output active (p) and reactive (q) powers are
related by
i
i
=
M
T
U
i
o
..
_
v
i
_
v
T
o
i
o
_
|v
i
|
2
_
. .
active current
+
M
T
P
i
o
..
_
bJv
i
_
v
T
o
i
o
_
|v
i
|
2
_
. .
reactive current
+
M
T
Q
i
o
..
_
dJv
i
(Jv
o
)
T
i
o
|v
i
|
2
_
. .
reactive current
=v
i
p
o
|v
i
|
2
+Jv
i
_
b p
o
|v
i
|
2

d q
o
|v
i
|
2
_
(9)
p
i
(t) =p
o
(t); q
i
(t) = b p
o
(t) + d q
o
(t). (10)
It is important to note here that (8) represents the whole set
of the modulation matrices of all eligible PWM methods, and
every eligible direct modulation matrix is expressed in terms
of indirect forms. Therefore, it is rigorously proved that the
direct and indirect modulation methods are in fact equivalent.
Since the modulation matrix (8) is very simple with its elements
explicitly expressed in terms of instantaneous phase quantities,
its implementation requires little computational effort.
KIATSOOKKANATORN AND SANGWONGWANICH: UNIFIED PWM METHOD FOR MATRIX CONVERTERS 83
Fig. 4. Double-carrier-based dipolar PWM for generating switching signals.
III. REALIZATION BY DIPOLAR PWM
Compared to the three-level inverter shown in Fig. 3, it is
clear that matrix converters in Fig. 1 are intrinsically three-level
converters. The only differences are that the three input voltages
of the three-level inverter are constant and never change their
polarities, while those of the matrix converters are variable and
can be positive or negative. This paper thus presents a new
viewpoint to consider the matrix converter as a generalized
three-level inverter and to apply the dipolar modulation tech-
nique of the three-level inverters to the matrix converters.
To ease the explanation, it is assumed hereafter that
[R[ = max([R[, [S[, [T[), [S[ = min([R[, [S[, [T[), [T[ =
mid([R[, [S[, [T[) and u

> v

> w

. For other cases, relevant

phase variables and subscripts in the equations should be
appropriately rearranged according to Table II. Emphasis will
be made on the unity input PF case.
A. Double-Carrier-Based Dipolar PWM
From (1) the output voltage referred to the mid-phase voltage
S can be rewritten as (11). The matrix converter can thus be
viewed as a three-level inverter whose output voltage is the sum
of the output voltages u
P
, u
N
synthesized from the positive
and negative dc-bus voltages [R-S] and [T-S], respectively

u S
v S
w S

u
P
v
P
w
P

. .
u
P
+

u
N
v
N
w
N

. .
u
N

m
11
m
21
m
31

[R S]

m
13
m
23
m
33

[S T]. (11)
The PWM switching signals can be generated using a well-
established dipolar PWM method of the three-level inverter as
shown in Fig. 4, wherein the three voltage levels are v
P
= R,
v
0
= S, v
N
= T. The two groups of reference signals [U
P
],
[U
N
] in the double-carrier-based dipolar PWM are obtained by
normalizing (11) with the respective bus voltages as
[U
P
] =

m
11
m
21
m
31

m
/
11
+ X
m
/
21
+ X
m
/
31
+ X

0
[U
N
] =

m
13
m
23
m
33

m
/
13
+ Z
m
/
23
+ Z
m
/
33
+ Z

0 (12)
where M
/
= [m
/
ij
]

= M
U
+M
P
+M
Q
. For unity input PF
[U
P
] =
R
(R
2
+ S
2
+ T
2
)

u
v
w

X
X
X

[U
N
] =
T
(R
2
+ S
2
+ T
2
)

u
v
w

Z
Z
Z

. (13)
Equation (13) indicates two important features of the mod-
ulation process. First, the upper and lower references [U
P
],
[U
N
] are proportional to the commanded output voltages, and
secondly they are shifted individually by two zero voltages.
This is similar to the modulation process of the two-level
inverters, except that matrix converters have more degrees of
freedom in construction of the output voltages because of the
availability of three voltage levels. In fact, the modulation of
matrix converters uses this degree of freedom to control the
input current by assigning the reference voltages of each half
to be proportional to the phase voltages R and T.
B. Selection of the Zero-Voltage Matrix M
0
Adding the zero-voltage matrix M
0
results in shifting the
two reference voltages u
P
, u
N
up or down within the range of
the upper and lower carrier waves by two zero voltages v
ZP
and v
ZN
, respectively (Fig. 5)
v
ZP
= X[R S], v
ZN
= Z[S T]. (14)
The allowable ranges of the zero voltages are given by
min (m
/
11
, m
/
21
, m
/
31
) X 1max (m
/
11
, m
/
21
, m
/
31
)
min (m
/
12
, m
/
22
, m
/
23
) Y 1max (m
/
12
, m
/
22
, m
/
23
)
min (m
/
13
, m
/
23
, m
/
33
) Z 1max (m
/
13
, m
/
23
, m
/
33
)
X + Y + Z = 1

.
(15)
This injection of two zero voltages can be considered as a
generalization of zero-voltage-injection concept in two-level
84 IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 59, NO. 1, JANUARY 2012
Fig. 5. Shifting of three-phase upper/lower references by zero voltages and
the corresponding PWM modes.
Fig. 6. Zero vector utilization of double-carrier-based dipolar PWM (left)
compared to that of two-level inverters (right).
inverters. The upper and lower reference voltages can be
shifted independently, and the resultant zero voltage is the
sum v
Z
= v
ZP
+ v
ZN
. Thus, the double-carrier-based dipolar
PWM generalizes the carrier-based PWM modulation of the
two-level inverters to matrix (and three-level) converters. Al-
though carrier-based PWM has been used by many authors to
generate the switching signals for matrix converters, normally
no simple relationship between the reference signals and the
output voltages like (13) has been given.
Depending on the selected zero voltages v
ZP
and v
ZN
, the
PWM switching pattern for each output phase can be either
non-switching, unipolar, dipolar or bipolar as shown in Fig. 5.
Here, an integer and letters n u d or b are used to
represent a three-phase PWM mode. For example, 1n2d)
PWM means that one phase is clamped (not switched) and the
other two phases are in dipolar mode.
Also, from the space vector viewpoint, the relative positions
of [U
P
], [U
N
] correspond uniquely to the utilization of the three
zero vectors RRR (pink), SSS (yellow), TTT (green)
as shown graphically in Fig. 6. This visual interpretation is
also a generalization of that of the carrier-based PWM of two-
level inverters. Each PWM mode 3d), 2u1d), 1n2d), and
1b1u1d) in Fig. 5 uses zero vectors differently; e.g., 3d)
PWM uses all three zero vectors, 2u1d) PWM uses only
SSS. In the following, three PWM modes will be discussed
in more detail.
1) 2u1d) PWM: To reduce the switching number, the zero-
voltage matrix M
0
can be chosen according to (16). This
results in 2u1d) PWM mode which gives unipolar PWM for
the maximum and minimum phases and dipolar PWM for the
middle phase
X = min (m
/
11
, m
/
21
, m
/
31
)
Y = 1 X Z
Z = min (m
/
13
, m
/
23
, m
/
33
)

. (16)
2) 1n2d) PWM: Another important PWM mode is 1n2d)
PWM which clamps the maximum or minimum input phase
to that of the output phase as shown in Fig. 5. The 1n2d)
mode gives the same number of switching as the 2u1d)
mode. The following condition determines whether the maxi-
mum or the minimum output phase will be clamped. If [R[ =
max([R[, [S[, [T[) then u is clamped to R and
u=u +v
ZP
=R,

X=1max (m
/
11
, m
/
21
, m
/
31
)
Y =1XZ
Z=min (m
/
13
, m
/
23
, m
/
33
) .
(17A)
If [T[ = max([R[, [S[, [T[) then w is clamped to T and
w = w +v
ZN
= T,

X = min (m
/
11
, m
/
21
, m
/
31
)
Y = 1 X Z
Z = 1 max (m
/
13
, m
/
23
, m
/
33
) .
(17B)
3) 1b1u1d) PWM: Besides the 2u1d) and 1n2d) PWM
modes, 1b1u1d) PWM mode can also be realized using the
zero-voltage matrix M
0
of (18). 1b1u1d) mode is very similar
to 2u1d) mode, however 2u1d) mode is preferable because
there is no direct switching between the maximum and mini-
mum phase (bipolar switching)
X = min (m
/
11
, m
/
21
, m
/
31
)
Y = min (m
/
12
, m
/
22
, m
/
32
)
Z = 1 X Y

. .
if [R[=max([R[,[S[,[T[)
or
X = 1 Y Z
Y = min (m
/
12
, m
/
22
, m
/
32
)
Z = min (m
/
13
, m
/
23
, m
/
33
)

. .
if [T[=max([R[,[S[,[T[)
. (18)
In summary, the main task of the zero-voltage matrix M
0
is to
determine the PWM mode.
C. Switching Sequence Selection
The nal stage of the modulation process is to determine
the switching sequence. This can be achieved by appropri-
ate arrangement of the phase sequence in the double-carrier
waveforms. Changing the reference input phase (the middle
phase) in the double-carrier-based dipolar PWM results in a
different switching sequence as shown in Fig. 7. In Fig. 7,
there are three possible arrangements of the phase sequence,
wherein max, mid, and min denote the input phase whose
voltages are equal to max([R[, [S[, [T[), min([R[, [S[, [T[) and
mid([R[, [S[, [T[), respectively. As mentioned earlier, here R =
max , S = mid, and T = min are assumed.
1) Mid-Phase Reference: For 2u1d) PWM, the switching
sequence with the mid-phase S as a reference is shown as an
KIATSOOKKANATORN AND SANGWONGWANICH: UNIFIED PWM METHOD FOR MATRIX CONVERTERS 85
Fig. 7. Switching sequences with different input phase as reference. (a) Mid-
phase, (b) max-phase, and (c) min-phase.
Fig. 8. Switching sequence for 2u1d PWM with S-reference.
Fig. 9. Space vector diagrams of 2u1d PWM with mid-phase reference
(a) output voltage and (b) input current.
example in Fig. 8. The main features of using the mid-phase
voltage as the reference in the 2u1d) PWM to generate the
switching signals are that
i) there is no direct transition from the maximum phase to
the minimum phase;
ii) no simultaneous switching occurs in any two phases;
iii) dipolar PWM is supported by typical controllers which
have two PWM generators.
Fig. 10. Switching sequence for 1n2d PWM with S-reference.
Fig. 11. Switching sequence for 1b1u1d PWM with S-reference.
In view of space vector, the voltage and current vectors used
are marked by the yellow dots in Fig. 9. The generated output
voltage vectors are the active vectors of voltage sector _1 and
the zero vector SSS in Fig. 9(a), while the input current
vectors lie across the current sectors _1 and _2 of Fig. 9(b).
The left and right diagrams in Fig. 8 correspond to the case of
low and high output voltages, respectively. It should be noted
that different active vectors of the voltage sector _1 are used
for low and high output voltages.
The sequences for 1n2d) and 1b1u1d) PWM are shown in
Figs. 10 and 11, respectively. Different active voltage vectors in
the sector _1 are used and the zero voltage vectors are RRR
and TTT as shown in Fig. 12. In this case, the same voltage
vectors are used for low and high output voltages. The 2u1d)
and 1n2d) PWM have a transition of voltage from max-phase
to mid-phase and then to min-phase, respectively. However,
the bipolar mode of 1b1u1d) PWM causes a direct transition
from max-phase to min-phase. It should also be noted that
different zero voltage vectors are used in the 2u1d), 1n2d),
and 1b1u1d) modes.
86 IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 59, NO. 1, JANUARY 2012
Fig. 12. Space vector diagrams of 1n2d and 1b1u1d PWM with
S-reference (a) output voltage and (b) input current.
2) Max-Phase Reference: Instead of selecting the mid-
phase voltage S as a reference, one can also select the
maximum phase R as a reference, if switching from the
maximum to minimum phase is allowed. In this case, (11)(13)
then become (19)(21)

u R
v R
w R

u
P
v
P
w
P

. .
u
P
+

u
N
v
N
w
N

. .
u
N

m
13
m
23
m
33

[T R]

m
12
m
22
m
32

[R S] (19)
[U
P
] =[m
i3
] =

m
13
m
23
m
33

0,
[U
N
] = [m
i2
] =

m
12
m
22
m
32

0. (20)
For unity input PF
[U
P
] =
T
(R
2
+ S
2
+ T
2
)

u
v
w

Z
Z
Z

[U
N
] =
S
(R
2
+ S
2
+ T
2
)

u
v
w

Y
Y
Y

. (21)
When the maximum phase R is chosen as the reference,
the sequence of the three voltage levels in the double-carrier
modulation becomes v
P
= T, v
0
= R, v
N
= S. The switching
sequence is shown in Figs. 1315. In these cases, the same
voltage vectors are used for both low and high output voltages.
The switching sequence in Fig. 13 turns out to be exactly the
same as that of the modied space-vector PWM in [14].
As can be seen from Fig. 16, the output voltage and input
current vectors for the 2u1d), 1n2d), and 1b1u1d) PWM lie
entirely in the sector _1 .
3) Min-Phase Reference: Similarly a different switching se-
quence can be obtained taking the minimum phase T as the
Fig. 13. Switching sequence for 2u1d PWM with R-reference.
Fig. 14. Switching sequence for 1n2d PWM with R-reference.
Fig. 15. Switching sequence for 1b1u1d PWM with R-reference.
KIATSOOKKANATORN AND SANGWONGWANICH: UNIFIED PWM METHOD FOR MATRIX CONVERTERS 87
Fig. 16. Space vector diagrams of 2u1d, 1n2d and 1b1u1d PWM with
R-reference (a) output voltage and (b) input current.
reference. In this case, (11)(13) then become (22)(24). When
the minimumphase T is chosen as the reference, the sequence
of the three voltage levels in the double-carrier modulation
becomes v
P
= S, v
0
= T, v
N
= R. Detailed discussions are
similar to the previous cases, so they are omitted here

u T
v T
w T

u
P
v
P
w
P

. .
u
P
+

u
N
v
N
w
N

. .
u
N

m
12
m
22
m
32

[S T]

m
11
m
21
m
31

[T R] (22)
[U
P
] =[m
i2
] =

m
12
m
22
m
32

0,
[U
N
] = [m
i1
] =

m
11
m
21
m
31

0. (23)
For unity input PF
[U
P
] =
S
(R
2
+ S
2
+ T
2
)

u
v
w

Y
Y
Y

[U
N
] =
R
(R
2
+ S
2
+ T
2
)

u
v
w

X
X
X

. (24)
As a conclusion, the unied PWM algorithm can be depicted
as shown in Fig. 17. Some well-established PWM methods
are considered as special cases of the proposed unied PWM
method as shown in Table III. Since in most PWM methods,
unity input power factor is desired, as can be seen from the
input current (9) this corresponds to select b = d = 0. The
free parameters b and d can, however, be determined freely
according to any required characteristics.
This simple unied algorithm enables real-time realization
and transition of various PWMmodes and switching sequences.
It may be necessary to switch in real time from one PWM
strategy to another for many reasons. For example, some space-
vector PWM is a combination of several PWM modes as shown
in Table III and later in Figs. 24 and 25. Switching losses and
Fig. 17. Flow chart of the unied PWM algorithm.
TABLE III
RELATIONSHIP WITH SOME PWM METHODS
harmonic contents of each PWM strategy are also different and
usually dependent on the operating conditions, so the PWM
strategy must be changed according to the operating conditions
if some of those characteristics are to be optimized.
IV. SIMULATION RESULTS
Simulation has been carried out to verify the feasibility and
performance of the unied PWM algorithm proposed. Simula-
tion conditions are as shown in Table IV, wherein unity input
PF is assumed for all PWM methods. Figs. 1825 are the simu-
lation results for various PWM strategies which are realized by
varying the zero-voltage matrix M
0
and/or changing the ref-
erence phase in the double-carrier-based dipolar PWM. All the
results give exactly the same averaged output voltages and input
currents as demanded. For the same PWM modes, the same
88 IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 59, NO. 1, JANUARY 2012
TABLE IV
SIMULATION CONDITIONS
Fig. 18. 2u1d PWM with max-phase reference in dipolar PWM (equivalent
to PWM strategy in [14]).
Fig. 19. 2u1d PWM with mid-phase reference in dipolar PWM (equivalent
to PWM strategy in [8] and [16]).
averaged output voltages (referred to the neutral point at the
input) are generated as can be compared between Figs. 1820
for 2u1d) mode or Figs. 2123 for 1n2d) mode. How-
ever, detailed investigation of the output voltage waveforms
in expanded time scale indicates that using different reference
phases (max- or mid- or min-phase) in the double-carrier-based
PWM, the pulse patterns or switching sequences are different.
Those which use the mid-phase input voltage as a reference in
the dipolar PWM will have a nice switching transition of the
voltage from maximum to middle and minimum, respectively.
Fig. 20. 2u1d PWM with min-phase reference in dipolar PWM (new PWM
strategy).
Fig. 21. 1n2d PWM with max-phase reference in dipolar PWM (new PWM
strategy).
On the contrary, those with the max-phase or min-phase as a
reference will have a direct voltage transition from maximum
to minimum, which is not preferable.
Fig. 24 shows that the PWM mode can be changed in real
time very easily, and the example shown in this gure is in fact
equivalent to the space-vector PWM method proposed in [13].
Finally, Fig. 25 illustrates that both the PWM mode and the ref-
erence phase can be changed in real time smoothly as required.
The result shown in Fig. 25 is an improved version of the space-
vector PWM of [12], by keeping the switching number at 8 per
switching period. These results point out that the equivalent
carrier-based PWM for the two space-vector PWM methods.
Therefore, the space-vector PWM can be realized easily using
the proposed carrier-based dipolar PWM.
V. EXPERIMENTAL RESULTS
Experimental conditions are shown in Table V, wherein unity
input PF is assumed for all PWM methods. The unied PWM
KIATSOOKKANATORN AND SANGWONGWANICH: UNIFIED PWM METHOD FOR MATRIX CONVERTERS 89
Fig. 22. 1n2d PWM with mid-phase reference in dipolar PWM (new PWM
strategy).
Fig. 23. 1n2d PWM with min-phase reference in dipolar PWM (new PWM
strategy).
algorithmis implemented using a digital signal processor (DSP)
TMSLF2407 which has two PWM peripherals to support the
dipolar PWM. The current commutation among the matrix
switches is realized outside the DSP using an FPGA board.
Figs. 2631 are some experimental results with the unied
PWM algorithm. The experiments are carried out by varying
the zero-voltage matrix M
0
and/or changing the reference
phase in the double-carrier-based dipolar PWM similar to the
simulation results. Figs. 2629 are the results corresponding to
the 2u1d) and 1n2d) modes, respectively. It can be seen that
the switching patterns conform well to those of the simulation
results in Figs. 18 and 19 and 21 and 22, respectively. In all
cases, the input current is controlled to be sinusoidal and is in
phase with the input phase voltage (which can be observed from
the envelope of the output voltage waveform).
Fig. 30 illustrates the real-time transition of the PWM
strategy by changing the reference phase. In this case, the
Fig. 24. Mixed 1b1u1d and 2u1d PWM modes with max-phase refer-
ence in dipolar PWM (equivalent to PWM strategy in [13]).
Fig. 25. Mixed both PWM modes and references in dipolar PWM (improved
version of the PWM method in [12]).
2u1d) PWM mode with mid-phase reference is switched to
max-phase reference instantaneously. It can be seen from the
time-expanded waveforms that the voltage transition sequence
in the uppermost phase changes in accordance with the refer-
ence change as expected. Also, since there is no transient in
the current waveform, it conrms that the real-time transition is
possible without effecting the operation of the matrix converter.
Similarly, Fig. 31 shows the results when the PWM mode is
changed from 2u1d) to 1n2d) PWM mode instantaneously.
The time-expanded waveforms illustrate the smoothness of the
mode change and the input current waveform also shows no
transient when the PWM mode is switched.
90 IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 59, NO. 1, JANUARY 2012
TABLE V
EXPERIMENTAL CONDITIONS
Fig. 26. Experimental results: 2u1d PWM with max-phase reference in
dipolar PWM (equivalent to PWM strategy in [14]).
Fig. 27. Experimental results: 2u1d PWM with mid-phase reference in
dipolar PWM (equivalent to PWM strategy in [8] and [16]).
From the experimental results, it can be concluded that the
proposed unied carrier-based PWM algorithm can be realized
very easily and all the theoretical results are correct and feasible
in practice.
VI. CONCLUSION
This paper presents a unied PWM algorithm which en-
compasses all main PWM strategies of matrix converters. The
proposed PWM method is based on the general form of the
Fig. 28. Experimental results: 1n2d PWM with max-phase reference in
dipolar PWM (new PWM strategy).
Fig. 29. Experimental results: 1n2d PWM with mid-phase reference in
dipolar PWM (new PWM strategy).
modulation matrices which is derived by viewing the modula-
tion matrix as a geometric transformation. Equivalence between
the direct and indirect modulation techniques is claried owing
to the fact that all eligible direct modulation matrices are
represented in terms of an indirect form. From the viewpoint
to consider a matrix converter as a generalized three-level
inverter, several concepts in the carrier-based PWM of two-
and three-level inverters are extended to the matrix converter.
This gives a insightful interpretation of the PWM algorithm
which explains how the output voltages are synthesized and
related to the reference signals in the double-carrier-based
dipolar modulation. The unied PWM algorithm is composed
of three simple steps: 1) calculating the modulation free pa-
rameters from the required input characteristics; 2) adding the
zero-voltage matrix to achieve the specied PWM mode; and
3) determination of the switching sequence by choosing an in-
put phase as a reference in the double-carrier-based modulation.
KIATSOOKKANATORN AND SANGWONGWANICH: UNIFIED PWM METHOD FOR MATRIX CONVERTERS 91
Fig. 30. Experimental results: 2u1d PWM mode with mixed mid and max-
phase references in dipolar PWM.
Fig. 31. Experimental results: mixed 2u1d and 1n2d PWM modes with
mid-phase reference in dipolar PWM
In summary, the new concepts and viewpoints presented in
this paper give a natural framework to construct the PWM
theory for the matrix converters, which can be considered as
a generalization of the PWM theory of the two- and three-level
inverters.
APPENDIX
The general form of the modulation matrices can be derived
as follows.
Problemstatement: Find all the modulation matrices Mwhich
satisfy (1).
Solution: First, without loss of generality, the modulation
matrix can be rewritten as
M = M
/
+M
0
=
_
m
/
ij

X Y Z
X Y Z
X Y Z

where X = (1/3)

i
m
i1
, Y = (1/3)

i
m
i2
, Z =
(1/3)

i
m
i3

i
m
/
ij
=

j
m
/
ij
= 0, 0 X, Y, Z 1, X + Y + Z = 1.
Equation (1) is transformed by the space vector transforma-
tion matrix
S
V
=
_
2
3
_
1 1/2 1/2
0

3/2

3/2
_
to be a space vector (A.1) of two dimensions
S
V
v
o
. .
v

o
=S
V
Mv
i
= S
V
[M
/
+M
0
]v
i
= S
V
M
/
v
i
= S
V
M
/
S
T
V
. .
M
22
S
V
v
i
. .
v
i
v

o
=M
22
v
i
. (A.1)
Beware here that as mentioned earlier we use the same bold-
face symbols for the three-phase quantities and the space-
vector quantities.
Therefore, instead of solving the phase voltage (1), we will
solve the following problem instead, i.e., nd all the modulation
matrices M
22
which satisfy (A.1).
Let v

o
= |v

o
|e
J
o
_
1
0

, v
i
= |v
i
|e
J
i
_
1
0

, (A.1) can be
rewritten as
|v

o
| e
J
o
_
1
0
_
=M
22
|v
i
|e
J
i
_
1
0
_
_
1
0
_
=
|v
i
|
|v

o
|
e
J
o
M
22
e
J
i
_
1
0
_
=
1
q
e
J
o
M
22
e
J
i
. .

M
_
1
0
_
.
Dene

M = (1/q)e
J
o
M
22
e
J
i
, then
_
1
0
_
=

M
_
1
0
_
. (A.2)
Since the matrices I, J, K, L are the four bases of the 2X2
matrix space, it is possible to express

M = a
1
I + a
2
J + a
3
K+ a
4
L.
To satisfy (A.2), it requires that a
1
+ a
3
= 1, and a
2
+ a
4
= 0.
As a result, the general solution for

Mis

M =
1
2
(I +K) +
b
2
(L J) +
d
2
(I K) (A.3)
where
d = a
1
a
3
, b/2 = a
4
= a
2
.
Therefore
M
22
= qe
J
o
_
1
2
(I +K) +
b
2
(L J) +
d
2
(I K)
_
e
J
i
.
(A.4)
92 IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 59, NO. 1, JANUARY 2012
This proves the (5) shown in the Section II. Noting that
1
2
(I +K) =
_
1 0
0 0
_
=
_
1
0
_
[ 1 0 ]
1
2
(I K) =
_
0 0
0 1
_
=
_
0
1
_
[ 0 1 ]
1
2
(L J) =
_
0 1
0 0
_
=
_
1
0
_
[ 0 1 ] .
Therefore
M
22
=q
_
_
e
J
o
_
1
0
___
e
J
i
_
1
0
__
T
+ b
_
e
J
o
_
1
0
__

_
Je
J
i
_
1
0
__
T
+d
_
Je
J
o
_
1
0
___
Je
J
i
_
1
0
__
T
_
M
22
=
v

o
v
T
i
|v
i
|
2
+ b
v

o
(Jv
i
)
T
|v
i
|
2
+ d
Jv

o
(Jv
i
)
T
|v
i
|
2
. (A.5)
So, (7) is proved.
Using the following relations:
S
T
V
v

o
=

u
v
w

, S
T
V
v
i
=

R
S
T

S
T
V
Jv

o
=
1

vw
wu
uv

, S
T
V
Jv
i
=
1

S T
T R
R S

|v
i
|
2
=R
2
+ S
2
+ T
2
(A.5) can be transformed back to phase quantities using (4), and
nally we get the general form (8).
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Paiboon Kiatsookkanatorn (S10) was born in
Suphanburi, Thailand, in 1974. He received the
B.S. degree in Tech. Ed. (electrical engineering)
and B.Eng. degree in electrical engineering from
Rajamangala Institute of Technology, Thailand, in
1998 and 2002, respectively, and the M.Eng. de-
gree in electrical engineering from Chulalongkorn
University, Bangkok, Thailand in 2005, where he is
currently working toward the Ph.D. degree in the
Department of Electrical Engineering.
Since 1998, he has been a Lecturer in the De-
partment of Electrical Engineering, Rajamangala University of Technology
Suvarnabhumi, Thailand. His research interests include matrix converters and
PWM techniques.
Somboon Sangwongwanich (S88M90) was born
in Bangkok, Thailand, in 1962. He received the
B.Eng., M.Eng., and Dr.Eng. degrees in electrical
engineering fromNagoya University, Nagoya, Japan,
in 1985, 1987, and 1990, respectively.
He is currently an Assistant Professor in the De-
partment of Electrical Engineering, Chulalongkorn
University, Bangkok, Thailand. His research inter-
ests include sensorless control of ac machines, EMI
lters, and power converters.
Dr. Sangwongwanich has received several Prize
Paper Awards from the IEEE, the Institute of Electrical Engineers of Japan,
and the Society of Instrument and Control Engineers of Japan.