IEEE TRANSACTIONS ON INDUSTRIAL INFORMATICS, VOL. 9, NO.

2, MAY 2013 1003

State of the Art of Finite Control Set Model Predictive

Control in Power Electronics
Jose Rodriguez, Fellow, IEEE, Marian P. Kazmierkowski, Fellow, IEEE, José R. Espinoza, Member, IEEE,
Pericle Zanchetta, Member, IEEE, Haitham Abu-Rub, Senior Member, IEEE, Héctor A. Young, and
Christian A. Rojas, Member, IEEE

Abstract—This paper addresses to some of the latest contribu- traction and suspension control to automotive powertrains and
tions on the application of Finite Control Set Model Predictive thermal management [2].
Control (FCS-MPC) in Power Electronics. In FCS-MPC , the Control platforms such as Digital Signal Processors (DSPs)
switching states are directly applied to the power converter,
without the need of an additional modulation stage. The paper
or Field Programmable Gate Arrays (FPGAs) have been widely
shows how the use of FCS-MPC provides a simple and efficient used in Power Electronics [3]–[6]. The computational power of
computational realization for different control objectives in Power these hardware devices has experienced a sustained increase in
Electronics. Some applications of this technology in drives, active the last decades. For example the TMS32010 processor, in use
filters, power conditioning, distributed generation and renewable circa 1985, had the ability to perform 6, 4 million instructions
energy are covered. Finally, attention is paid to the discussion of per second (MIPS); whereas the modern dSPACE 1103 platform
new trends in this technology and to the identification of open
questions and future research topics. can perform 2500 MIPS.
This high computational power has made possible the im-
Index Terms—Digital control, power electronics, predictive con- plementation of new and generally more complex control tech-
trol, variable speed drives.
niques, e.g., fuzzy, adaptive, sliding mode, and predictive con-
trol. In particular, MPC has demonstrated to offer a very simple
and effective alternative to classical control algorithms with
I. INTRODUCTION Pulse Width Modulation (PWM) for controlling the flow of elec-
trical energy using power converters [10], [11].
M ODEL Predictive Control (MPC) has now approxi-
mately three decades of sustained development [1],
[2] and is considered one of the most important advances in
The MPC techniques applied to Power Electronics have
been classified into two main categories [10], [12]: Continuous
Control Set MPC and Finite Control Set MPC (FCS-MPC).
process control. In effect, MPC is used today in the process
In the first group, a modulator generates the switching states
industry, especially in petrochemical plants.
starting from the continuous output of the predictive controller.
MPC offers many advantages; in particular it can be used
On the other hand, the FCS-MPC approach takes advantage of
in a variety of process, being simple to apply in multivariable
the limited number of switching states of the power converter
systems. Furthermore, the inclusion of nonlinearities and con-
for solving the optimization problem. A discrete model is used
straints in the control law is straightforward. In the last decade
to predict the behavior of the system for every admissible
the use of MPC has been reported in fields ranging from vehicle
actuation sequence up to the prediction horizon. The switching
action that minimizes a predefined cost function is finally
Manuscript received November 29, 2011; revised March 12, 2012; accepted selected to be applied in the next sampling instant. The main
June 09, 2012. Date of publication October 02, 2012; date of current version
January 09, 2013. This work was supported in part by the Chilean National advantage of FCS-MPC lies in the direct application of the
Fund for Scientific and Technological Development (FONDECYT), under control action to the converter, without requiring a modulation
Grant 1100404, in part by the Anillo Grant N ^ ACT-119, in part by the Univer- stage.
sidad Técnica Federico Santa María and in part by NPRP 4-077-2-028, a grant
from the Qatar National Research Fund (a member of The Qatar Foundation).
This paper presents a survey of some of the latest appli-
The work of C. A. Rojas and H. Young was supported by CONICYT Schol- cation of FCS-MPC (hereafter referred to as MPC) in power
arships for Ph.D. studies in Chile. The statements made herein are solely the electronics. Unless otherwise noted, the MPC applications
responsibility of the authors. Paper no. TII-11-846. discussed in this paper have a horizon length of one. The MPC
J. Rodriguez, H. A. Young, and C. A. Rojas are with the Electronics En-
gineering Department, Universidad Técnica Federico Santa María, 2390123 control principle is introduced in Section II, while Section III
Valparaiso, Chile (e-mail: [email protected]; [email protected]; chris- shows a number of converter topologies where MPC has
[email protected]). been successfully implemented. Some of the main practical
M. P. Kazmierkowski is with the Institute of Control and Industrial Elec-
tronics, Warsaw University of Technology UI, 00-662 Warsaw, Poland (e-mail: applications where MPC has been employed are reviewed in
[email protected]). Section IV; the comparison of the performance of MPC versus
J. R. Espinoza is with the Department of Electrical Engineering, Universidad traditional control techniques in selected topologies and appli-
de Concepción, 407-0386 Concepción, Chile (e-mail: [email protected]).
P. Zanchetta is with the Department of Electrical and Computer En- cations is presented in Section V. Finally, Section VI is devoted
gineering, Texas A&M University at Qatar, 23874 Doha, Qatar (e-mail: to the open questions and future research trends in this field.
[email protected]).
H. Abu-Rub is with the Department of Electrical and Electronic Engineering, II. MPC OPERATING PRINCIPLE
The University of Nottingham, Nottingham, NG7 2RD, U.K. (e-mail: haitham.
[email protected]). The two-level voltage source inverter (2L-VSI) is one of the
Digital Object Identifier 10.1109/TII.2012.2221469 most widespread converter topologies found in industry. More-

1551-3203/$31.00 © 2012 IEEE

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1004 IEEE TRANSACTIONS ON INDUSTRIAL INFORMATICS, VOL. 9, NO. 2, MAY 2013

Fig. 1. (a) Two-level VSI power circuit (b) Voltage space vectors generated by
the 2L-VSI.

Fig. 2. MPC block diagram.

over, it features a generic structure and operating principle that

can be easily extended to other converter topologies. Therefore,
this topology has been selected in this paper for explaining the
basic principles of MPC in Power Electronics applications.

A. Two-Level Voltage Source Inverter Power Topology Fig. 3. MPC algorithm flowchart for current control in a 2L-VSI.

The topology of the 2L-VSI is depicted in Fig. 1(a). It con-

sists of three phase legs, each one characterized by two power any required constraints. Examples of cost functions for several
switches that connect the corresponding load terminal either to applications were discussed in [11]. For the current control in a
the positive (P) or the negative (N) busbar of the converter. 2L-VSI, a simple cost function can be defined as [25]
There are three gating signals of the power switches, defined as
, and , which can take values of 1 (ON state) or 0 (OFF (2)
state). Since there are three phases with two possible switching
states each, there is a total of different switching states. where and are the real and imaginary parts of the reference
Each switching state defines a set of phase voltages of the current vector, and are the real and imaginary parts of the
inverter with respect to the negative busbar ( , and ). predicted current vector.
The output voltage space vectors generated by the inverter are As shown in [20], a suitable discrete-time predictive model
defined by for the current is given by

(1) (3)

where . Then, by evaluating each of the switching where and are the load resistance and inductance, respec-
states in (1), eight voltage vectors can be generated tively; is the sampling time, corresponds to the esti-
by the inverter, as shown in Fig. 1(b). However, due to the re- mated load back-EMF, is the measured load current, and
dundancy of vectors and , the finite control set of different the inverter voltage is the decision variable to be calcu-
voltage vectors contains only seven elements. lated by the controller.
The MPC algorithm is presented in Fig. 3. It contains five
B. MPC Algorithm major steps that can be summarized as follows [17].
The block diagram of the current MPC in a 2L-VSI is pre- 1) Measure the load currents.
sented in Fig. 2. The load current is measured at instant and 2) Predict the load currents for the next sampling instant for
used as input for a predictive model that computes the values all the possible switching states.
of the current at the next sampling time for each of the pos- 3) Evaluate the cost function for each prediction.
sible switching states of the inverter. The predictions are then 4) Select the switching state that minimizes the cost function.
evaluated so that the switching state , which minimizes a cost 5) Apply the new switching state.
function , is applied to the converter. Results for a step in the amplitude of are shown in Fig. 4.
The cost function definition is one of the most important In a real-time implementation, the time required to compute
stages in the design of an MPC, since it allows not only to se- the control signal may take a significant portion of the sample
lect the control objectives of the application, but also to include period, resulting in one sampling time delay between the input

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RODRIGUEZ et al.: STATE OF THE ART OF FINITE CONTROL 1005

obtained with a dSPACE DS1104 controller, where the sample

period used to implement this strategy is . The
switching losses were tested, resulting in a switching frequency
of 720 Hz using . In addition, Fig. 7(b) shows the
behavior of the control method, with and without the dc-link
control term in the cost function. Note that has been
changed to zero at , losing the dc-link balancing
control capability [40].

B. Active-Front-End Rectifier
In ac-dc power conversion, AFE rectifiers offer several ad-
vantages over diode rectifiers such as bidirectional power flow
capability, sinusoidal input currents and controllable power
factor. The power circuit of an AFE rectifier is shown in Fig. 8.
The objective is to control the input active and reactive power,
as well as the dc-link voltage. For this purpose, the following
Fig. 4. Simulation results for current control in a 2l-VSI.
cost function can be used:

(5)
and its actuation. The effect of the time delay has a large im-
pact on the prediction, especially when an one-sample horizon with and as defined in Table I. In [72] the active and re-
algorithm is considered, and therefore a delay compensation active power is controlled directly by a MPC algorithm with the
scheme must be implemented [17]. This problem is not related cost function (5); the active power reference for the regulation
to the control law used because every predictive controller im- of the dc-link voltage is obtained using a linear PI controller. In
plemented on a real-time platform requires such a time-delay order to avoid the need for this additional control loop and to
compensation or the consideration of this delay in the model improve the dynamic response, in [91] a method for calculating
[89], [90]. a compatible reference for both the active power and the dc-link
voltage was proposed. However, a drawback of this approach is
III. CONVERTER TOPOLOGIES CONTROLLED WITH MPC the non-zero steady-state error (SSE) when there exists a model
Several works have reported the use of the MPC technique in mismatch. In [74], this problem was tackled by calculating the
power converters such as the three-level neutral point clamped input active power reference in terms of the output power re-
(NPC), flying-capacitor inverters (FCI), active-front-end (AFE) quirements and a differential power term obtained from a con-
rectifiers, cascaded H-bridge (CHB) multilevel converters, and tinuous model of the rectifier. This differential term provided an
matrix converters (MC). A summary of recent implementations integrative effect which allowed eliminating the SSE and im-
of MPC in different power converter topologies is presented proved the robustness to parameter mismatch.
in Fig. 5. A distinctive feature of the predictive approach is
the control flexibility that allows controlling current, voltage, C. Cascaded H-Bridge Inverter
torque, flux and other variables by designing a suitable cost Another topology used in high power applications is the Cas-
function. Some of the basic control objectives that can be in- caded H-Bridge Inverter (CHB). The power circuit of a seven-
cluded in the cost function are presented in Table I. level, three-phase CHB is illustrated in Fig. 9(a), where the cell
is shown in Fig. 9(b). The main objective is to control the load
A. Three-Level Neutral Point Clamped current . However, due to the large number of voltage vectors
The NPC converter has been widely used in medium and high available in a multilevel inverter, a large number of calculations
power applications. The power circuit of the three-level, three- are needed, hindering the implementation of this control in a
phase NPC is shown in Fig. 6. The objective is to control the standard control platform. A modified control strategy that con-
load current (similar to the method presented for the 2L-VSI) siderably reduces the number of calculations without affecting
but considering two additional requirements: reducing power the performance of the system is proposed in [58]. The proposed
losses by avoiding unnecessary switchings in the power circuit control is based on the selection from among only the adjacent
and maintaining the voltage balance of the dc-link capacitors. vectors, and it is implemented with the following cost function:
These objectives are reflected in the following cost function:
(6)
(4)
where is defined in Table I. Fig. 10 shows the output current
where and are defined in Table I, and are the and voltage of a nine-level CHB. The control is im-
predicted voltages of both dc-link capacitors and and plemented in a dSPACE DS1104 controller, where the sample
are the weighting factors to adjust the dc-link balance and period used to implement this strategy is . The
switching losses, respectively. A large value of and algorithm requires the same computational effort as the con-
implies greater priority to achieve that objective. Fig. 7(a) trol of a two-level inverter. The selection among the adjacent
shows the output current and voltage of a three-level NPC vectors strongly reduces the at the load side, while only

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1006 IEEE TRANSACTIONS ON INDUSTRIAL INFORMATICS, VOL. 9, NO. 2, MAY 2013

Fig. 5. Application of Model Predictive Control in different power converters.

TABLE I
BASIC CONTROL OBJECTIVES IN MPC

voltage applications, since they do not require isolated dc

sources or bulky zig-zag transformers. A single-phase FCI
power topology with three power cells is illustrated in Fig. 11.
The main objective is to control the load current . However,
an additional requirement needs to be taken into account:
the balance of the clamping capacitors. The objectives are
illustrated in the following cost function [65]:

(7)

where is defined in Table I. In [65] a asymmetric three-

phase four-level flying capacitor inverter is controlled with this
cost function structure in coordinates.
Fig. 6. Three-level, three-phase NPC converter power topology.
E. Matrix Converters
The power circuit of a direct matrix converter (MC) is shown
slightly affecting the dynamic performance. This is an afford- in Fig. 12(a). This topology does not feature large energy storage
able tradeoff when considering its application in high-power components and represents an alternative to the back-to-back
motor drives, where CHB inverters are used. converters, particularly in applications where volume and size
are an important issue. In an MC, the load is connected directly
D. Flying-Capacitor Inverter to the mains, increasing the complexity of traditional controllers
In the last decade Flying-capacitor inverters (FCI) have and modulation algorithms, since the input and output need to be
emerged as an attractive multilevel topology for medium controlled simultaneously. Here, MPC becomes very attractive

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RODRIGUEZ et al.: STATE OF THE ART OF FINITE CONTROL 1007

Fig. 7. (a) Experimental waveforms of NPC controlled with MPC, load current
and voltage on phase (b) Experimental test regarding voltage balance
in the dc-link capacitors applying the predictive strategy.

Fig. 9. Three-phase nine-level cascaded H-bridge inverter Power Topology (a)

Topology (b) Power cell.

Fig. 8. Active-front-end rectifier power topology.

Fig. 10. Experimental waveforms of nine-level CHB controlled with MPC,

because it is not necessary to develop the very complex mod- load current and voltage on phase .
ulation strategies used in the classical solutions [92]. Several
requirements at the load and at the input can be included in a
single cost function [79]–[83].
Fig. 12(b) shows the application of MPC to a direct matrix
converter. Here, the cost function used is a combination of a
load current error and instantaneous reactive power minimiza-
tion. The main objective is to control the load current . These
objectives are illustrated in the following cost function:

(8)
Fig. 11. Single phase four-level (three cell) flying-capacitor inverter.
where and are defined in Table I, and . In Fig. 12(b)
the load current is properly controlled and the effect of the in-
stantaneous reactive power minimization can be appreciated at IV. SOME APPLICATIONS OF MPC IN POWER ELECTRONICS
, resulting in sinusoidal input currents, which are Some recent applications of Power Electronics controlled by
in phase with respect to the supply voltage. MPC are presented in this section, e.g., distributed generation

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1008 IEEE TRANSACTIONS ON INDUSTRIAL INFORMATICS, VOL. 9, NO. 2, MAY 2013

Fig. 13. MPC for LCL Coupled Inverter-Based Distributed Generation System
using: 2L-VSI [93] and 3L-NPC [53].

in the MPC control law. This is observed in the following cost

function,

(9)

where is the absolute error between the prediction of the in-

jected current and its reference , is the absolute error
between both capacitor voltages and , is the number
of commutations to reach the next state, and is
the cost function associated to an internal resonance in the LCL
filter configuration. This internal resonance is avoided using a
filter shaping of the frequency components [53]. Other
works using MPC in distributed generation systems are pre-
sented in [41], [93].

Fig. 12. (a) Three-phase Direct Matrix Converter power topology (b) Simula- B. Active Filters and Power Conditioning
tion results for current control in a Three-phase Direct Matrix Converter.
Active power filters (APF) are applications that demand a
small ac current ripple, low total harmonic distortion and high
bandwidth. Due to its multi-objective nature, its ability to simul-
systems, active filters and power conditioning, drives, non-con- taneously control currents and voltages with coupled dynamics,
ventional renewable energy, uninterruptible power supplies. and its superior transient capabilities, MPC has been considered
a suitable option for these applications. Some recent examples
of MPC in APF include the control of multilevel Neutral Point
A. Distributed Generation Systems Clamped [43], [45] and Flying Capacitor [63], [64], [94] in-
verters. The results have shown a satisfactory performance of
The distributed generation refers to power generation on a the predictive methods in the APF bandwidth, the distortion
scale from low to medium power , where the basic level of the currents and the voltage balancing of the capaci-
idea is to locate multiple sources in a distance closer to the load, tors in the multilevel topologies.
helping to satisfy the total demand of the system. Dynamic voltage restorers (DVR) are used to protect sen-
Recently, some solutions using MPC in distributed genera- sitive loads from disturbances in the electrical network, such
tion appeared in the literature. In [53] an MPC strategy for a as voltage sags, voltage swells, and harmonic distortion. Pre-
grid connected 3L-NPC was presented. Low power commuta- dictive control schemes have been considered for the control
tion losses or reduced switching frequency is required. To re- of these devices with promising results. For example, reduced
duce the harmonics generated by the NPC inverter, an LCL filter THD levels in the output voltage, accurate regulation of unbal-
is used. The proposed scheme shown in the Fig. 13 allows the anced load ac voltages, and improved transient behavior have
control of the active and reactive power fed into the grid, where been reported using a predictive controller of a NPC inverter
the main objective is the control of the injected current . To [46]. In high power systems, low switching frequency com-
reduce the switching frequency and keep the dc-link capacitor bined with optimized reactive elements in the output filter make
voltages balanced while avoiding excitation of the LCL filter the application of standard control strategies difficult. To solve
resonance frequencies, it is necessary to incorporate constraints this problem a predictive controller with a second-order model

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RODRIGUEZ et al.: STATE OF THE ART OF FINITE CONTROL 1009

was developed, rendering excellent transient and steady-state

behavior [57]. Another successful application was presented
in [78], where a DVR composed of a flywheel energy storage
system and a matrix converter was controlled by a predictive
algorithm, producing a good mitigation of voltage sags, swells
and THD on the load, with neither delays, nor voltage under-
shoots nor overshoots.
MPC schemes have also been proposed for grid-connected
applications where low voltage ride-through requirements must
be satisfied [41]. The evaluated predictive controllers demon-
strated compliance with this objectives, furthermore providing
a fast, accurate and overshoot-free response in the current ref-
erence tracking.

C. Drives

Torque and flux control is mainly used for high-performance

adjustable speed drives. The most widely used linear strategy
in medium and low power electrical drives is Field Oriented
Control (FOC), in which a decoupled torque and flux control
is performed by considering an appropriate coordinate frame. A
non-linear hysteresis-based strategy such as Direct Torque Con-
trol (DTC) appears as an alternative solution. A recent alterna-
tive to both classical solutions is the so-called Predictive Torque
Control (PTC). In this application, all the inverter voltage vec-
tors are evaluated in a cost function. The vector that minimizes
this cost function is selected and applied in the next sampling Fig. 14. (a) Predictive torque and flux control diagram (b) Experimental wave-
time [36], [95]. As the stator flux is not directly measurable, it is forms using PTC controlling an induction machine fed by an 2L-VSI. Speed,
necessary to make an estimation before the prediction, resulting electric torque and stator current behavior during a speed reversal maneuver at
of the nominal load.
in a three stage algorithm: Stator flux estimation, stator flux and
torque prediction, and cost function optimization. A simplified
Predictive Torque Control scheme is shown in Fig. 14(a). The
cost function to minimize is resonances [52]. Multi-phase applications [27]–[29], [31], [32]
and sensorless operation [21], [34] have also been reported.
(10)
D. Non-Conventional Renewable Energy
where and are defined in Table I and the torque reference In the last decades, the world has been facing environmental
is obtained from the outer PI-speed control loop. The problems as a product of global warming, caused by the indis-
reference stator flux magnitude is constant and defined criminate use of fossil fuels, which supply the greater part of the
by the rated machine values, and is a weighting factor that world’s energy. Furthermore, the availability of these non-re-
handles the magnitude relation between both terms, whose newable resources is progressively declining, making it imper-
value is obtained by a heuristic procedure [11], [80], [96]. The ative to find new ways to produce energy with low emissions
stator and rotor fluxes can be estimated with the measurement and in a sustainable way.
of the stator currents. Using the rotor speed and considering Two general forms of non-conventional renewable energy
the seven possible voltage vectors, seven predictions of the are studied in depth in the literature. The first is wind power
torque and stator flux are calculated. Experimental results for generation and the second is photovoltaic generation (PV). Re-
a 2L-VSI-fed induction motor showing a speed reversal are cently, the control of this kind of energy has been studied using
shown in Fig. 14(b). These results have been obtained using MPC. For example, in [97] an implementation of a PV array
a dSPACE 1103 platform with a sample period using a Maximum Power Point Tracker (MPPT) through MPC
[36]. The torque presents a very good dynamic response, which is presented. The proposed controller scheme is based on an
is completely decoupled from the stator flux that is kept con- incremental conductance algorithm and the two-step horizon
stant at all times. The load currents appear highly sinusoidal, MPC. Here the MPC controller governs the dc-dc boost con-
although no PI-current controllers are included in the control verter using the system model. A simplified PV system using
algorithm. MPC is shown in Fig. 15. The cost function used in this appli-
Other recent applications of MPC in drives aim not only for cation includes the minimization of the input current given by
current or torque control but also other simultaneous objectives the MPPT method and the battery array voltage reference,
such as reducing the switching losses [35], balancing the neutral
point potential in NPC inverters [48], [51] and mitigating filter (11)

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1010 IEEE TRANSACTIONS ON INDUSTRIAL INFORMATICS, VOL. 9, NO. 2, MAY 2013

Fig. 15. Diagram of the overall grid connected PV system configuration im-
plementing MPPT through the MPC technique [97].

where is the absolute error between the dc-link voltage pre-

diction and its reference , is the absolute error be-
tween the input current and its reference , and are
the weighting factors associated to the minimization objectives.
Another renewable energy study, in this case focusing on wind
power generation, is presented in [39], [87]. The application pre-
sented in [87] is developed using a Doubly Fed Induction Gen- Fig. 16. (a) Block diagram of the predictive control of a UPS (b) Experimental
results: output voltages and currents for a resistive-inductive load step [19].
erator (DFIG) fed by an Indirect Matrix Converter (IMC) and
controlled using MPC, whilst a DFIG fed by a (2L-VSI) is pre-
sented in [39].

E. Uninterruptible Power Supplies

In uninterruptible power supply (UPS) system, the main ob-

jective is to obtain high quality sinusoidal output voltages, in-
dependently of the output load. For this purpose, an LC filter
is included at the output of the inverter, which makes the con-
troller design more difficult. Motivated by its simplicity and fast
dynamic response, an MPC scheme was presented in [19]. A
block diagram of the predictive control scheme is presented in
Fig. 16(a). Measurements of the output voltage and the
filter current are used to predict the value of the output
voltage at the next sampling instant for all the voltage
vectors that can be generated by the inverter. The switching state
that minimizes the following cost function is selected for appli-
cation during the next sampling interval:

(12)

with as defined in Table I. The predictive strategy was

tested experimentally using a inverter with an
output LC filter. The inverter was implemented using a
TMS320C6713 digital signal processor operating with a
sample time , and considering the sampling time
Fig. 17. (a) Field oriented control diagram (b) Experimental waveforms using
delay compensation method explained in [20]. The transient FOC for controlling an induction machine fed by a 2L-VSI. Speed, electric
response of the system for a step from no-load to full-load oper- torque and stator current behavior during a speed reversal maneuver at
ation is shown in Fig. 16(b). It can be observed that the output of the nominal load.
voltage, with an amplitude of , remains unaffected. The
performance of the predictive control scheme considering a
two-step prediction was also studied [18]. The results showed behavior; however, the number of calculations grows exponen-
that a higher number of prediction steps improve the system tially.

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RODRIGUEZ et al.: STATE OF THE ART OF FINITE CONTROL 1011

Fig. 18. Output current and voltage for a step in reference current with (a) Linear controller + modulation and (b) MPC.

V. COMPARATIVE ASSESSMENTS OF MPC VERSUS CLASSIC In [36] PTC was compared with FOC. Fig. 17(a) shows the
LINEAR CONTROLLERS WITH PWM block diagram of the classic FOC scheme. The experimental
results shown in Fig. 17(b) were obtained using the same outer
In recent years, a considerable effort has been made towards speed controller for both strategies. Again, the linear method
the validation of predictive-based control schemes in power outperformed the MPC controller in steady-state operation;
electronics and drives by comparing their performance with whereas PTC presented a very fast torque response, limited only
that of industry-standard controllers. Although comparative by the actuation capability of the inverter, obtaining settling
studies between MPC and linear control methods with PWM times about six times shorter than FOC. The improved inner
have been reported for several converter topologies, the review loop response of PTC allowed increasing the bandwidth of the
in this section is focused only on two-level voltage source speed control loop without detriment to the speed transient
inverters and multilevel NPC, due to their widespread use in behavior, as it was observed with FOC.
industry applications.
B. Comparison in NPC Multilevel Converters
A. Comparison in Two-Level Voltage Source Inverters Some recent studies reveal that in NPC converters the MPC
schemes are better compared with the classic controllers than in
For current control in 2L-VSI, several authors have reported the 2L-VSI. This might be caused in part by the greater number
studies of comparison between predictive and linear (PI) con- of voltage vectors and levels available for the predictive algo-
trollers [25], [26], [35]. The main conclusions obtained from rithm to select in this topology.
these assessments are that the MPC greatly outperforms the In [44] a power control application in a grid-connected three-
classic controllers in transient operation. Moreover, the predic- level NPC VSI was studied. In steady-state, both the predictive
tive controllers have demonstrated a better performance in the and the PWM-based strategies presented similar harmonic spec-
decoupled control of the or components of the current, trum levels. Similarly, for current control MPC achieved lower
as can be seen in Figs. 18(a) and 18(b). This last feature has absolute error in reference tracking [40], operating at the same
not only been observed for three-phase, but also in multi-phase switching frequency as a PWM controller. Moreover, in a DVR
systems with and coordinates [30]. On the other hand, application [46], MPC achieved better results in terms of output
control schemes based on classic PI controllers with PWM have voltage THD than -frame and resonant PI controllers.
consistently presented a better steady-state behavior than MPC The transient operation of the MPC was compared to that of
schemes. PI controllers designed through optimal methods [44]. Although
The aforementioned results are also valid for predictive the response of the linear controllers was fast, it presented a sub-
power control. In [98] MPC was compared with a standard stantial overshoot. Also, in NPC converters the predictive con-
voltage-oriented controller (VOC) with PWM. Besides the trol methods hold their advantage regarding the decoupled con-
power tracking, the MPC was also designed for minimization trol capabilities [40], [44]. The load disturbance capabilities of
of power losses in the semiconductors. The results showed an an MPC scheme were tested for a DVR by introducing an im-
MPC response around 12 times faster than the PWM-based con- balance in the load and a power consumption step [46]. The re-
troller in active-power reference transients, but with a slightly sults showed that MPC kept the tracking of the reference output
higher current THD. In this case, the inferior steady-state voltage, resisting the load step changes well. As for the PI con-
performance was ascribed to the constraints imposed by the trollers, phase unbalance and slow transients were observed in
power losses optimization. the output voltage.

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1012 IEEE TRANSACTIONS ON INDUSTRIAL INFORMATICS, VOL. 9, NO. 2, MAY 2013

A benchmark of MPC against FOC with SVM was carried

out in [47]. The comparison was based on the tradeoff between
switching losses and harmonic distortion in stator current
and torque. The results showed that for a given value of the
switching losses, predictive controllers with long horizons
lead to lower distortion levels in current and torque than the
SVM-based scheme. On the contrary, the steady-state perfor-
mance of the one-step predictive controllers appeared to be
inferior to that of the classic controllers. The differences be-
tween the control schemes are more noticeable at low switching
frequencies and losses, while for higher switching losses their
behavior tends to converge to the tradeoff curve of the SVM.

VI. OPEN QUESTIONS AND FUTURE WORK

In the recent years, the application of the MPC in Power Elec-
tronics has been tested and proven both theoretically and ex-
perimentally. However, the implementation of MPC in the dif-
ferent power converters has given rise to some questions, such
as the weighting factors calculation and the frequency opera-
tion. Some of these open questions are collected here.

A. Weighting Factors Calculation

The research done up to now has revealed that a key issue
in MPC operation is the selection of the weighting factors in
the cost function. A weighting factor, or scalar factor, is a vari- Fig. 19. (a) Scheme of a Predictive Speed Control of a Permanent Magnet Syn-
chronous Motor fed by a 2L-VSI [24] (b) Simulation results for the operation
able used to give more importance or priority to one or another of a Permanent Magnet Synchronous Motor, using the Predictive Speed Con-
variable. These scalar factors in the cost function are the only trol proposed in [23]. Reference and measured rotor speed, stator currents in
parameters to adjust. However, a drawback is that their tuning -frame and three-phase stator currents.
is more complicated than that of PI coefficients or hysteresis
bands used in classics controllers. To date, there is one formal
method to obtain the optimal weighting factor in a cost func- are presented in Figs. 19(a) and 19(b), respectively. The typical
tion but only for two objectives in an specific application [99]. high sampling time of MPC controllers, the detailed knowledge
When more objectives are considered, the weighting factors cal- of the rotor position, and the limited precision of the standard
culation is usually performed using trial and error procedures encoders present serious difficulties for the predictive speed
and running time-consuming simulations, in a not very system- control in an experimental implementation [103]. Furthermore,
atic way [80], [100]. Another simple method to find these scalar to obtain the discrete model of the system an accurate discretiza-
factors was studied in [67], [96]. Although the use of the linear tion is needed [104]. However, an experimental validation for
combined objective function to solve the optimization problem the predictive speed control is presented in [24], where the
at each sampling time is simple, it is not the only possible alter- implementation issues are solved using an estimator with high
native; a decision making strategy could be used. In this way, the performance, such as the state reduced order extended Kalman
multiple attribute nature of the selection is retained, resulting in filter (ROEKF), including constraints in the cost function and
a multi-objective formulation and optimization [84], [101]. with a comprehensive model of the mechanical sub-system.
The cost function used in [23] is the following:
B. Predictive Speed Control in Drives
(13)
Classically, in standard drive solutions, such as FOC and
DTC the external speed control loop has a linear PI structure. where, is the error between the prediction of the rotor speed
The same structure is used with the MPC solution [22], [36]. and its reference , minimizes the magnitude of direct
However, with this technique the inclusion of speed control current prediction , is a constraint that minimizes the
loop is possible in the same cost function, without using any high-frequency components of the torque. Finally the constraint
auxiliary linear controllers. In [23], [102] the idea of a pre- is included to limit the values of predicted currents
dictive speed controller of a Permanent Magnet Synchronous
Motor (PMSM) is presented. The new approach of [23] allows if
(14)
the simultaneous manipulation of the speed and electrical if
variables, without using any external PI-speed controller. The
scheme and the simulations results of the predictive speed and is the set of weighting factors to be
control of a PMSM fed by a two-level voltage source inverter designed [23].

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RODRIGUEZ et al.: STATE OF THE ART OF FINITE CONTROL 1013

C. Steady-State Error Issues In general, it can be concluded that Model Predictive Control
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[69] H. Peyrl, G. Papafotiou, and M. Morari, “Model predictive torque con- [90] C. Xia, M. Wang, Z. Song, and T. Liu, “Robust model predictive
trol of a switched reluctance motor,” in Proc. 2009 IEEE Int. Conf. Ind. current control of three-phase voltage source PWM rectifier with
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[70] J. Villegas, S. Vazquez, J. M. Carrasco, and I. Gil, “Model predictive pp. 459–471, Aug. 2012.
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modulation,” in Proc. IEEE Int Ind. Electron. (ISIE) Symp., 2010, pp. predictive control of an AFE rectifier with dynamic references,” IEEE
3139–3144. Trans. Power Electron., vol. 27, no. 7, pp. 3128–3136, Jul. 2012.
[71] P. Antoniewicz, M. P. Kazmierkowski, S. Aurtenechea, and M. A. Ro- [92] M. Rivera, A. Wilson, C. A. Rojas, J. Rodriguez, J. R. Espinoza, P. W.
driguez, “Comparative study of two predictive direct power control Wheeler, and L. Empringham, “A comparative assessment of model
algorithms for three-phase AC/DC converters,” in Proc. Eur. Conf. predictive current control and space vector modulation in a direct ma-
Power Electron. Applicat., 2007, pp. 1–10. trix converter,” IEEE Trans. Ind. Electron., vol. 60, no. 2, pp. 578–588,
[72] P. Cortes, J. Rodriguez, P. Antoniewicz, and M. Kazmierkowski, “Di- Feb. 2013.
rect power control of an AFE using predictive control,” IEEE Trans. [93] K. H. Ahmed, A. M. Massoud, S. J. Finney, and B. W. Williams, “A
Power Electron., vol. 23, no. 5, pp. 2516–2523, 2008. modified stationary reference frame-based predictive current control
[73] M. Perez, M. Vasquez, J. Rodriguez, and J. Pontt, “FPGA-based pre- with zero steady-state error for LCL coupled inverter-based distributed
dictive current control of a three-phase active front end rectifier,” in generation systems,” IEEE Trans. Ind. Electron., vol. 58, no. 4, pp.
Proc. 2009 IEEE Int. Conf. Ind. Technol., Feb. 2009, pp. 1–6. 1359–1370, Apr. 2011.
[74] M. Pérez, R. Lizana, and J. Rodriguez, “Predictive control of DC-link [94] F. Defay, A. M. Llor, and M. Fadel, “Predictive control of flying capac-
voltage in an active-front-end rectifier,” in Proc. IEEE Int Ind. Electron. itor active power filter,” in Proc. IEEE Int. Ind. Technol. (ICIT) Conf.,
(ISIE) Symp., 2011, pp. 1811–1816. 2010, pp. 1820–1825.
[75] P. Correa, J. Rodriguez, I. Lizama, and D. Andler, “A predictive control [95] H. Miranda, P. Cortes, J. I. Yuz, and J. Rodriguez, “Predictive torque
scheme for current-source rectifiers,” IEEE Trans. Ind. Electron., vol. control of induction machines based on state-space models,” IEEE
56, no. 5, pp. 1813–1815, 2009. Trans. Ind. Electron., vol. 56, no. 6, pp. 1916–1924, 2009.
[76] I. Lizama, J. Rodriguez, B. Wu, P. Correa, M. Rivera, and M. Perez, [96] P. Cortes, S. Kouro, B. La Rocca, R. Vargas, J. Rodriguez, J. I. Leon,
“Predictive control for current source rectifiers operating at low S. Vazquez, and L. G. Franquelo, “Guidelines for weighting factors
switching frequency,” in Proc. IEEE 6th Int. Power Electron. Motion design in model predictive control of power converters and drives,” in
Control Conf. IPEMC ’09, 2009, pp. 1630–1633. Proc. IEEE Int. Conf. Ind. Technol. ICIT 2009, 2009, pp. 1–7.
[77] M. Perez, J. Rodriguez, E. Fuentes, and F. Kammerer, “Predictive con- [97] P. E. Kakosimos and A. G. Kladas, “Implementation of photovoltaic
trol of AC-AC modular multilevel converters,” IEEE Trans. Ind. Elec- array mppt through fixed step predictive control technique,” Renewable
tron., vol. 59, no. 7, p. 2839, 2012. Energy, vol. 36, no. 9, pp. 2508–2514, 2011.
[78] P. Gamboa, J. F. Silva, S. F. Pinto, and E. Margato, “Predictive optimal [98] S. Aurtenechea, M. Rodriguez, E. Oyarbide, and J. Torrealday, “Pre-
matrix converter control for a dynamic voltage restorer with flywheel dictive control strategy for DC/AC converters based on direct power
energy storage,” in Proc. 35th Annu. Conf. IEEE Ind. Electron. IECON control,” IEEE Trans. Ind. Electron., vol. 54, no. 3, pp. 1261–1271,
’09, 2009, pp. 759–764. 2007.
[79] M. Rivera, C. Rojas, J. Rodriguez, P. Wheeler, B. Wu, and J. Espinoza, [99] S. Davari, D. A. Khaburi, and K. Ralph, “An improved FCS-MPC algo-
“Predictive current control with input filter resonance mitigation for a rithm for induction motor with imposed optimized weighting factor,”
direct matrix converter,” IEEE Trans. Power Electron., no. 99, 2011. IEEE Trans. Power Electron., vol. 27, no. 3, pp. 1540–1551, 2012.
[80] R. Vargas, U. Ammann, B. Hudoffsky, J. Rodriguez, and P. Wheeler, [100] S. Thielemans, T. J. Vyncke, and J. Melkebeek, “Weight factor selec-
“Predictive torque control of an induction machine fed by a matrix con- tion for model-based predictive control of a four-level flying capacitor
verter with reactive input power control,” IEEE Trans. Power Elec- inverter,” Power Electron., IET, vol. 5, no. 3, pp. 323–333, 2012.
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[81] R. Vargas, U. Ammann, and J. Rodriguez, “Predictive approach to in- and M. Trincado, “Predictive torque and flux control without weighting
crease efficiency and reduce switching losses on matrix converters,” factors,” IEEE Trans. Ind. Electron., vol. 60, no. 2, pp. 681–690, Feb.
IEEE Trans. Power Electron., vol. 24, no. 4, pp. 894–902, 2009. 2013.
[82] R. Vargas, U. Ammann, J. Rodriguez, and J. Pontt, “Predictive strategy [102] M. Preindl and S. Bolognani, “Model predictive direct speed control
to control common-mode voltage in loads fed by matrix converters,” with finite control set of pmsm drive systems,” IEEE Trans. Power
IEEE Trans. Ind. Electron., vol. 55, no. 12, pp. 4372–4380, 2008. Electron., vol. 28, no. 2, pp. 1007–1015, Feb. 2012.
[83] R. Vargas, J. Rodriguez, U. Ammann, and P. W. Wheeler, “Predictive [103] T. Orlowska-Kowalska and M. Kaminski, “Fpga implementation of
current control of an induction machine fed by a matrix converter with the multilayer neural network for the speed estimation of the two-mass
reactive power control,” IEEE Trans. Ind. Electron., vol. 55, no. 12, drive system,” IEEE Trans. Ind. Inf., vol. 7, no. 3, pp. 436–445, Aug.
pp. 4362–4371, 2008. 2011.
[84] F. Villarroel, J. R. Espinoza, C. A. Rojas, J. Rodriguez, M. Rivera, and [104] C. A. Silva and J. I. Yuz, “On sampled-data models for model pre-
D. Sbarbaro, “Multiobjective switching state selector for finite-states dictive control,” in Proc. IECON 2010—36th Annual Conf. IEEE Ind.
model predictive control based on fuzzy decision making in a matrix Electron. Soc., 2010, pp. 2966–2971.
converter,” IEEE Trans. Ind. Electron., vol. 60, no. 2, pp. 589–599, [105] R. P. Aguilera, P. Lezana, and D. E. Quevedo, “Finite-control-set
Feb. 2013. model predictive control with improved steady-state performance,”
IEEE Trans. Ind. Inf., 2013, to be published.

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1016 IEEE TRANSACTIONS ON INDUSTRIAL INFORMATICS, VOL. 9, NO. 2, MAY 2013

[106] P. Stolze, P. Landsmann, R. Kennel, and T. Mouton, “Finite-set model Pericle Zanchetta (M’00) received the five-year
predictive control with heuristic voltage vector preselection for higher Laurea degree in electronic engineering and the
prediction horizons,” in Proc. 2011—14th European Conf. Power Elec- Ph.D. degree in electrical engineering from the
tron. and Applicat. (EPE 2011), 2011, pp. 1–9. Technical University of Bari, Bari, Italy, in 1993
and 1997, respectively. In 1998, he was an Assistant
Jose Rodriguez (M’81–SM’94–F’10) received Professor of power electronics and control with the
the engineer degree in electrical engineering from Technical University of Bari.
the Universidad Federico Santa Maria (UTFSM), Since 2001, he has been with The University
Valparaiso, Chile, in 1977 and the Dr.-Ing. degree of Nottingham, Nottingham, U.K., where he was
in electrical engineering from the University of a Lecturer in control of power electronics systems
Erlangen, Erlangen, Germany, in 1985. with the Power Electronics, Machines and Control
He has been with the Department of Electronics Research Group and is currently an Associate Professor. His main research
Engineering, University Federico Santa Maria, interests are in the field of power quality and harmonics, active power filters,
since 1977, where he is currently full Professor and repetitive and model predictive control of power converters, and design and
Rector.He has coauthored more than 300 journal identification using heuristic optimization strategies. He has published over 160
and conference papers. His main research interests papers in international journals and conferences and he is currently secretary
include multilevel inverters, new converter topologies, control of power of the IEEE-IAS Industrial Power Converter Committee.
converters, and adjustable-speed drives.
Prof. Rodriguez is Associate Editor of the IEEE TRANSACTIONS ON POWER
ELECTRONICS and IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS since
2002. He received the Best Paper Award from the IEEE Transactions on Haitham Abu-Rub (M’99–SM’07) received the
Industrial Electronics in 2007, the Best Paper Award from the IEEE Industrial Ph.D. degree from the Electrical Engineering De-
Electronics Magazine in 2008 and the Best Paper Award from the IEEE partment, Technical University of Gdansk, Gdansk,
TRANSACTIONS ON POWER ELECTRONICS in 2010. He is member of the Chilean Poland.
Academy of Engineering. His main research focuses on electrical drive con-
trol, power electronics, and electrical machines. He is
currently a Senior Associate Professor at Texas A&M
University, Doha, Qatar. He has published/accepted
Marian P. Kazmierkowski (M’89–SM’91–F’98) more than 140 journal and conference papers
received the M.S., Ph.D., and Dr. Sci. degrees in Dr. Abu-Rub has earned many prestigious inter-
electrical engineering from the Institute of Control national awards including the American Fulbright
and Industrial Electronics (ICIE), Warsaw Univer- Scholarship, the German Alexander von Humboldt Fellowship, the German
sity of Technology, Poland, in 1968, 1972, and 1981, DAAD Scholarship, and the British Royal Society Scholarship (at Southampton
respectively. University), and others. .
From 1987 to 2008, he was the Director of ICIE.
Since 2003 he has also been the Head of the Centre of
Excellence on Power Electronics Intelligent Control
for Energy Conservation (PELINCEC) at ICIE. He Héctor A. Young was born in Valparaiso, Chile
is currently the Dean of the Department of Technical in 1984. He received the B.Eng. and the M.Sc.
Science, Polish Academy of Science, Warsaw, Poland. degrees in electronics engineering in 2009 from the
Dr. Kazmierkowski was the recipient of an Honorary Doctorate degree from Universidad de la Frontera (UFRO), Temuco, Chile.
Aalborg University in 2004 and from the Institut National Polytechnique de He was granted a scholarship from the Chilean Na-
Toulouse, France, in 2010. In 2005 he received the Dr.-Ing. Eugene Mittelmann tional Research, Science and Technology Comitee
Achievement Award from the IEEE Industrial Electronics Society and in 2007 (CONICYT) in 2010 to pursue his PhD studies
the SIEMENS Research Award in Poland. In 2007, he was a Corresponding in power electronics at the Universidad Técnica
Member of the Polish Academy of Science. He was the Editor-in-Chief of the Federico Santa María, Valparaiso, Chile.
IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS from 2004 to 2006. His main research interest is model based predic-
tive control of power converters and drives.

José R. Espinoza (S’92–M’97) received the Eng. de-

gree in electronic engineering and the M.Sc. degree in Christian A. Rojas (S’10–M’11) received the
electrical engineering from the University of Concep- Engineer degree in electronic engineering from the
ción, Concepción, Chile, in 1989 and 1992, respec- Universidad de Concepción, in Concepción, Chile,
tively, and the Ph.D. degree in electrical engineering in 2009. He was awarded a scholarship from the
from Concordia University, Montreal, QC, Canada, Chilean Research Foundation CONICYT in 2010
in 1997. to pursue his PhD studies in power electronics
Since 2006, he has been a Professor in the De- at Universidad Técnica Federico Santa María, in
partment of Electrical Engineering, University of Valparaiso, Chile.
Concepción, where he is engaged in teaching and His research interests include matrix converters,
research in the areas of automatic control and power digital control, and model predictive control of power
electronics. He has authored and coauthored more than 100 refereed journal converters and drives.
and conference papers and contributed to one chapter in the Power Electronics
Handbook published in 2011 by Academic Press.
Prof. Espinoza is currently an Associate Editor of the IEEE TRANSACTIONS
ON INDUSTRIAL ELECTRONICS and Power Electronics.

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