energies

Review
Switched Capacitor DC-DC Converters: A Survey on the Main
Topologies, Design Characteristics, and Applications
Alencar Franco de Souza 1 , Fernando Lessa Tofoli 2 and Enio Roberto Ribeiro 1, *

1 Institute of System Engineering and Information Technology, Federal University of Itajubá,

Itajubá 37500-903, Brazil; [email protected]
2 Department of Electrical Engineering, Federal University of São João del-Rei,
São João del-Rei 36307-352, Brazil; [email protected]
* Correspondence: [email protected]

Abstract: This work presents a review of the main topologies of switched capacitors (SCs) used in
DC-DC power conversion. Initially, the basic configurations are analyzed, that is, voltage doubler,
series-parallel, Dickson, Fibonacci, and ladder. Some aspects regarding the choice of semiconductors
and capacitors used in the circuits are addressed, as well their impact on the converter behavior.
The operation of the structures in terms of full charge, partial charge, and no charge conditions
is investigated. It is worth mentioning that these aspects directly influence the converter design
and performance in terms of efficiency. Since voltage regulation is an inherent difficulty with SC
converters, some control methods are presented for this purpose. Finally, some practical applications
and the possibility of designing DC-DC converters for higher power levels are analyzed.



Keywords: DC-DC converters; integrated circuits; low-power electronics; semiconductors; switched

 capacitors
Citation: Souza, A.F.d.; Tofoli, F.L.;
Ribeiro, E.R. Switched Capacitor
DC-DC Converters: A Survey on the
Main Topologies, Design 1. Introduction
Characteristics, and Applications.
DC-DC converters are widely used in residential, commercial, and industrial applica-
Energies 2021, 14, 2231.
tions, such as renewable energy conversion systems, electric traction devices, and, mainly,
https://doi.org/10.3390/en14082231
power supplies. Currently, it is estimated that more than 70% of electricity is processed by
electronic devices [1]. In this context, increasing the power processing capacity and power
Academic Editor: Ali Mehrizi-Sani
density of converters associated with reduced manufacturing costs is of major concern.
The evolution of low-power electronics is mainly related to the increase in the purity
Received: 24 February 2021
Accepted: 7 April 2021
of materials and advanced techniques used in the manufacture of integrated circuits
Published: 16 April 2021
(ICs) [2]. This also has a direct impact on power electronics, which seeks to increase the
power levels and maximum operating frequency associated with reduced dimensions of
Publisher’s Note: MDPI stays neutral
power converters [3]. Recently, new semiconductors have become commercially available,
with regard to jurisdictional claims in
which are based on silicon carbide (SiC) and gallium nitride (GaN). These elements have
published maps and institutional affil- promising characteristics that allow the gradual replacement of silicon-based (Si) devices
iations. owing to their higher efficiency and operating frequency. Besides, there is the possibility of
combining both manufacturing technologies in a single component [4–6].
In turn, energy storage devices such as capacitors and inductors, which are typically
used as filters, also contribute directly to the improved performance of power convert-
Copyright: © 2021 by the authors.
ers. This is owing to the use of dielectric materials with optimized characteristics in
Licensee MDPI, Basel, Switzerland.
capacitors [7,8]. Besides, new ferrosilicon alloys are capable of achieving higher magnetic
This article is an open access article
permeability with reduced hysteresis and eddy current losses in the inductor cores [9–11].
distributed under the terms and In the constant search for higher power density in power converters, topologies using
conditions of the Creative Commons switched capacitors (SCs) have recently aroused the interest of industry and academia.
Attribution (CC BY) license (https:// These structures have been adopted in low power electronic applications, especially in sys-
creativecommons.org/licenses/by/ tems with limited physical dimensions and involving high energy density. Their character-
4.0/).

Energies 2021, 14, 2231. https://doi.org/10.3390/en14082231 https://www.mdpi.com/journal/energies

Energies 2021, 14, 2231 2 of 33

istics allow monolithic integration [12,13], minimized levels of electromagnetic interference

(EMI) [14–16], as well as reduced weight and volume.
However, despite the aforementioned advantages, these circuits may present low
efficiency [17]. This aspect is particularly influenced by the intrinsic characteristics of the
switches and capacitors used in the circuit, and the number of components must also be
carefully considered [18]. The regulation of the load voltage is another challenge because,
in certain operation conditions, the duty cycle does not have a linear relationship with the
output voltage, which implies an increase in the complexity of the control systems [19].
SC circuits can also be combined with traditional structures based on inductors for
obtaining families of hybrid converters, resulting in improved load voltage regulation and
extended conversion ratio when compared with topologies composed only of capacitors
and semiconductors [20,21]. An example of a pseudo SC bandpass filter can also be found
in [22]. Another hybrid approach lies in resonant SC converters, which allow increasing the
power processing capacity and power density as demonstrated in [23]. Considering that
the combination of SCs and inductors leads to a wide variety of topologies, this analysis is
beyond the scope of this work.
Considering that SC-based structures have inherent advantages and disadvantages,
the existence of adequate guides that detail different design aspects for practical appli-
cations is of great interest to professionals and researchers. In this context, this work
describes a synthesis of basic concepts and design guidelines associated with the concep-
tion of SC-based dc-dc converter topologies. Key issues such as classic configurations,
semiconductors, efficiency, regulation, and operation modes are analyzed. The rest of the
work is organized as follows. Section 2 addresses voltage multiplier circuits, as some SC
cells are derived from these structures. Next, the SC DC-DC converters are presented.
In turn, Section 3 is dedicated to analyzing the main design parameters, which includes
the influence of components and operation modes in the converter efficiency, regulation,
and control. Section 4 presents the main applications of these circuits, as well as future
perspectives of their application. Section 5 summarizes the main aspects investigated in
the study.

2. SC Structures
Although voltage multiplier circuits are simple structures widely known and de-
scribed in analog electronics textbooks, they are still used in applications where high DC
voltages must be obtained from an AC voltage source. Voltage multipliers are typically
used in X-ray machines, scanning electron microscopes, and particle accelerators, among
other devices, because they are simple and low-cost circuits [24–26].
In the literature, there are some SC structures dedicated to specific applications,
which are often derived from basic converters [27–34]. A description of SC topologies
and voltage multipliers used in the conception of non-isolated dc-dc converters for high
step-up applications is presented in [35]. However, this study is specifically focused on the
thorough analysis of existing techniques for extending the conversion range of non-isolated
dc-dc converters. Some relevant issues for the design of SC-based converters are not
addressed in [35], e.g., the proper choice of components, the charging mode of capacitors,
evaluation of efficiency associated with relevant practical aspects, and control techniques
aiming to achieve the output voltage regulation.
It is worth mentioning that there is a wide variety of circuits that employ inductors
and SCs in the form of hybrid topologies, especially for wide conversion range applica-
tions [36–65]. Owing to the existence of a great diversity of combinations with distinct
characteristics, this work is dedicated to the analysis of classical topologies based on the
use of only semiconductors and capacitors, resulting in the so-called “pure SC” converters.

2.1. Greinacher Voltage Doubler (1914)

The simplest structure of a step-up converter that uses switches and capacitors is the
Greinacher voltage doubler, which is shown in Figure 1 [66]. This circuit is powered by an
Energies 2021, 14, x FOR PEER REVIEW 3 of 33
2.1. Greinacher Voltage Doubler (1914)
The simplest structure of a step-up converter that uses switches and capacitors is th
2.1. Greinacher
Greinacher Voltagedoubler,
voltage Doubler which
(1914) is shown in Figure 1 [66]. This circuit is powered b
Energies 2021, 14, 2231 3 of 33
an ACThesource
simplest and operates
structure of aaccording to two stages.
step-up converter In switches
that uses the first and
one, capacitors
the capacitoris thei
charged to the
Greinacher peakdoubler,
voltage value of which
the source voltage.
is shown in In the second
Figure 1 [66]. one,
Thisthe previously
circuit is poweredcharged
by
capacitor
an AC sourceis placed in seriesaccording
and operates with the to source and supplies
two stages. a load.
In the first one,This
the combination
capacitor is
AC source and operates according to two stages. In the first one, the capacitor is charged to
generates
charged to athe
voltage that isofideally equalvoltage.
to twiceInthe
theinput voltage [67].
the peak value ofpeak value
the source the source
voltage. In the second one, the second
previouslyone, the
charged previously
capacitor ischarged
capacitor is placed in series with the source and supplies
placed in series with the source and supplies a load. This combination generatesa load. This combination
a voltage
generates C1 tothat
a voltage is the
ideally
that is ideally equal twice D2 equal
input to [67].
voltage twice the input voltage [67].

C1
D2 +
Vi D1 C2 Vo
+
–
Vi D1 C2 Vo
–
Figure 1. Greinacher voltage doubler.

Figure 1. Greinacher voltage doubler. this was one of the first topologies capable of stepping up
FigureBeing a simple
1. Greinacher structure,
voltage doubler.
the voltage acrossstructure,
Being a simple a load powered by an
this was one ACfirst
of the source using capable
topologies only passive semiconductor
of stepping up
and capacitors.
Being a This
simple circuit
structure, or cell
this can
was be connected
one of the in
first a modular
topologies
the voltage across a load powered by an AC source using only passive semiconductors way in
capable series or paralle
of stepping
and up
with
the phase
voltage
capacitors. opposition,
across
This a load
circuit thus
or cell canallowing
powered by the achievement
an AC
be connected in asource
modularusingof high
way only
in voltages
passive
series [68,69].
semiconductors
or parallel with
phase
and opposition,This
capacitors. thuscircuit
allowingor the
cellachievement of high in
can be connected voltages [68,69].
a modular way in series or parallel
2.2. SC
with Voltage
phase Doubler thus allowing the achievement of high voltages [68,69].
opposition,
2.2. SC Voltage Doubler
Although the voltage step-up circuit shown in Figure 1 may be useful in som
Although the voltage step-up circuit shown in Figure 1 may be useful in some appli-
2.2. SC Voltageits
applications, Doubler
use is only feasible when an AC voltage source is available. However
cations, its use is only feasible when an AC voltage source is available. However, many
many electronic
Although
electronic circuitsthe circuits
arevoltage
powered arestep-up
powered
by by DC
circuit
DC sources. Thesources.
shownSC in Thedoubler
Figure
voltage SC voltage
1 may be doubler
(SCVD) circuitin(SCVD
useful some
circuit shown
applications,
shown in Figure in Figure
its2 use 2 is a suitable
is only alternative
is a suitable alternative
feasible when
in thisan in this
AC[70,71].
case case [70,71].
voltage source is available. However
many electronic circuits are powered by DC sources. The SC voltage doubler (SCVD)
circuit shown in Figure 2 is a suitable alternative in this case [70,71].

S1 S2
S4
Vi S1 S2 +
S3 C1 S4Co Vo
Vi +
–
S3 C1 Co Vo
Figure2.2.SCVD.
Figure SCVD. –
This structure employs active switches to control the charge and discharge of the
Figure This structure employs active switches to control the charge and discharge of th
2. SCVD.
capacitors. The circuit operates in the same way as the voltage multiplier, i.e., there are two
stages. In theThe
capacitors. first circuit
one, theoperates
charge of in the same
capacitor way asInthe
C1 occurs. voltageone,
the second multiplier,
capacitor i.e.,
C1 isthere ar
two This
stages.
connected in In thewith
structure
series first one,
employs
the the
source charge
active
and the of capacitor
switches
load. Itto C1 occurs.
control
is possible In the
theemploy
to charge second
theand one,ofcapacito
discharge
connection of the
C1 is connected
capacitors.
several cells The intoseries
circuit
in series obtain with
operates inthe
a given the
gain 2n , where
source
same andnas
way thethe
is theload. It is
voltage
number possible to
ofmultiplier,
associated employ
i.e.,
stages. th
there are
n
Thus,
two it
connectionis possible
stages. In of the to
severalobtain high
cells the
first one, voltage
in series gains,
chargetoofobtainwhich allow
a given
capacitor supplying
gain 2In, the
C1 occurs. loads
where with high
n is one,
second the number
capacitoro
output
C voltages.
associated
1 is connectedstages.inThus,
seriesit is possible
with to obtain
the source and high
thevoltage
load. Itgains, which allow
is possible supplyin
to employ the
loads with high
connection
2.3. Cockcroftof
output
several
Walton
voltages.
cells
Voltage in seriesortoLadder
Multiplier obtain a given
Structure gain 2 n , where n is the number of
(1932)
associated stages. Thus, it is possible to obtain high voltage gains, which allow supplying
To supply a particle accelerator with a voltage of 1 MV, Cockcroft and Walton used
2.3. Cockcroft
loads with high Walton Voltage
output Multiplier or Ladder Structure (1932)
voltages.
a circuit powered by an AC source, substantially increasing the output voltage [72]. This
circuitTo supply
became a particle
known accelerator
as Cockcroft and with
Walton a voltage of 1 MV, Cockcroft
voltage multiplier (CWVM), or and Walton used
simply
2.3. Cockcroft Walton Voltage
which is Multiplier
exemplified inor Ladder
Figure 3 Structure
in terms of(1932)
a circuit powered by an AC source, substantially increasing the output voltage
voltage multiplier, several stages. This is one[72]. Thi
of theTo
circuitbest-known
became structures
supply aknown in electronics
particleasaccelerator
Cockcroft to obtain
and
with Walton high
a voltage gains
voltage
of owing
1 MV, to the (CWVM),
multiplier
Cockcroft simplicity of
and Waltonor simpl
used
the circuit,
avoltage low cost,
circuit multiplier, and
powered bywhich simple
an AC implementation.
is source,
exemplified Considering
in Figureincreasing
substantially the components
3 in termsthe
of several as ideal,
output stages. the
voltageThis
[72].isThis
on
output voltage Vo can be obtained by n·Vi , where n is the number of associated cells and
of the best-known
circuit became known structures in electronics
as Cockcroft to obtain
and Walton high multiplier
voltage gains owing to the simplicity
(CWVM), or simply o
Vi is the input voltage.
voltage multiplier, which is exemplified in Figure 3 in terms of several stages. This is one
of the best-known structures in electronics to obtain high gains owing to the simplicity of
Energies 2021, 14, x FOR PEER REVIEW 4 of 33
the circuit, low cost, and simple implementation. Considering the components as ideal
the output voltage Vo can be obtained by nVi, where n is the number of associated cell
andcircuit,
the Vi is the input
low voltage.
cost, and simple implementation. Considering the components as ideal,
Energies 2021, 14, 2231 4 of 33
the output voltage Vo can be obtained by nVi, where n is the number of associated cells
and Vi is the input voltage. cell
C1 Cn
cell
C1 Cn +
Vi D2 Dn Vo
D1
+–
Vi D2 Dn Vo
D1
C2 –

Figure 3. CWVM.
C2
FigureRecent
Figure works point to the possibility of using this structure in several modern appli
3. CWVM.
3. CWVM.
cations involving high-gain DC-DC converters associated with photovoltaic module
Recent
[73,74] andworks
Recent even point
works high
point to the
power possibility
to the factor of using
rectifiers
possibility this structure
[75–77].
of using in several
this structure in modern
several applica-
modern appli-
tions involving
In involving
the CWVM, high-gain DC-DC
the source converters
provides associated
some charge with photovoltaic
Q to capacitor modules
C1 and, [73,74]
in modules
each hal
cations high-gain DC-DC converters associated with photovoltaic
and even
cycle ofand high
theeven power
AC input factor rectifiers
voltage, [75–77].
the charge Q is transferred from capacitor to capacitor (C2
[73,74] high power factor rectifiers [75–77].
In the CWVM, the source provides some charge Q to capacitor C1 and, in each half
C3, ),the until it reaches the last element Cn. This process involves Cshifting
1 and, inthe charge
cycleIn of the CWVM, AC inputthe source
voltage, theprovides
charge Qsome charge
is transferred Qfrom
to capacitor
capacitor to capacitor each half
through
cycle
(C2 , Cof each diode similarly to a ladder, which justifies the
the AC input voltage, the charge Q is transferred from capacitor capacitor (C2, name given to the circuit.
3 , . . . ), until it reaches the last element Cn . This process involves shifting the charge
C 3, ),
through Aneach inherent
until problem
it reaches
diode similarly thewith
to last this topology
element
a ladder, n. is thatthe
whichCjustifies
This itsname
output
process impedance
involves
given increases
shifting
to the circuit. by an
the charge
n 3 factor as the number of stages increases. This characteristic limits the output current to
through each diode
An inherent similarly
problem to atopology
with this ladder, is which justifies
that its output the name given
impedance to the
increases by circuit.
an
3 factor
nlow values, asnumber
in problem
the case of high currents;Thisthe
An as the
inherent of stages
with increases.
this topology isoutput
that itsvoltage
characteristic limits will
output the decrease
output
impedance rapidly
current to owing
increases by an
low
to values,
losses as
[78]. in the case of high currents; the output voltage will
n factor as the number of stages increases. This characteristic limits the output current to
3 decrease rapidly owing
to losses
low values, [78].as in the case of high currents; the output voltage will decrease rapidly owing
to2.4. Series-Parallel Converter (1971)
2.4.losses [78]. Converter
Series-Parallel (1971)
AAproposed
proposedalternative
alternative to to overcome
overcome the the
main main limitations
limitations of theofCWVM
the CWVM in termsin terms o
2.4.
of Series-Parallel
voltage
voltage regulation
regulation Converter
isisthe (1971)
the series-parallel
series-parallel converter(SPC)
converter (SPC) shown
shown in in Figure
Figure 4 [79].
4 [79]. ThisThis con
verter is very
A proposed
converter versatile since
alternative
is very versatile each
sincetoeach cell
overcome can be
cell can theassociated in
main limitations
be associated series or
series of parallel,
or the CWVM
parallel, and
and in the
the outpu
terms of
voltagevoltage
output
voltage can becan
regulation modified
beismodified at any time.
at any
the series-parallel time.converter (SPC) shown in Figure 4 [79]. This con-
verter is very versatile since each cell can be associated in series or parallel, and the output
voltage can be modified at any time. cell

cell
S1 Sn

S1 Sn +
Vi S2 C1 Cn
Sn+1
+
Vi S2 C1 Cn Co Vo
Sn+1
S3 Sn+2
Co Vo-
S3 Sn+2
Figure 4. SPC.
Figure 4. SPC. -

As
As
Figure thename
4.the
SPC. name suggests,
suggests, thethe energy
energy transfer
transfer from from the to
the input input to the output
the output occurs whenoccurs when
connecting
connectingsome some of of
thethe
capacitors
capacitorsin parallel with with
in parallel the source duringduring
the source the charge
thestage.
charge Instage.
a In a
second
second moment,
As moment, the
the name the capacitors
capacitors
suggests, are associated in
are associated
the energy series
transferinfrom and
series supply
theand the
supply
input load.
to thetheThis arrange-
load. This
output occursarrange
when
ment
ment has
has some
some remarkable
remarkable advantages
advantagesbecause it does
because it not
does present
not the same
present theproblems
same as
connecting some of the capacitors in parallel with the source during charge stage. In aa
problems
the CWVM, especially concerning the high output impedance. However, there are other
the CWVM,
second moment, especially
thethe concerning
capacitors the high output
are associated impedance. However, there are othe
drawbacks, such as simultaneous charging ofinmanyseries and supply
capacitors, thecan
which load. This arrange-
demand
drawbacks,
ment
a highhas such
somefrom
current as the
remarkable simultaneous
the sourceadvantages charging
because
in a short time. of many
Also,itifdoes
many capacitors,
not present are
capacitors which
thein same can
problems asa
chargingdemand
the CWVM,
process, especially
the voltage concerning
ripple the may
at the output highbe output impedance.
high, directly However,
impacting there are other
the converter
drawbacks, such as the simultaneous charging of many capacitors, which can demand a
 high current from the source in a short time. Also, if many capacitors are in charg
cess, the voltage ripple at the output may be high, directly impacting the conver
ciency.
high Depending
current from theon the length
source of the
in a short connection
time. tracks
Also, if many on the printed
capacitors circuit
are in chargin
(PCBs), the arrangement of the elements, and the number of capacitors,
cess, the voltage ripple at the output may be high, directly impacting the convert there may
Energies 2021, 14, 2231 5 of 33
problems
ciency. due to parasitic
Depending capacitances,
on the length drastically reducing
of the connection tracks onthe theefficiency of the cb
printed circuit
the event
(PCBs), the of high voltage
arrangement ofgains [80].
the elements, and the number of capacitors, there may
problems due to parasitic capacitances, drastically reducing the efficiency of the cir
efficiency. Depending on the length of the connection tracks on the printed circuit boards
2.5.
the Series-Parallel
event
(PCBs),
Multiphase
theofarrangement
high voltage gains
of the
Converter (1973)
[80]. and the
elements, number of capacitors, there may still be
problemsAnother
due to alternative to overcome
parasitic capacitances, the problems
drastically reducing the presented
efficiency of bythe
the CWVM
circuit in and
2.5.
the Series-Parallel
event of high Multiphase
voltage gains Converter
[80]. (1973)
is the series-parallel multiphase converter (SPMC) [81], which is shown in Figure 5
way,
2.5. it is possible
Another
Series-Parallel to mitigate
alternative
Multiphase to the(1973)
overcome
Converter transients
the problemsof the input
presentedcurrent
by theandCWVMthe effect
andofth
p
iscapacitances.
the Another
series-parallel While
alternative part
multiphaseof theconverter
to overcome capacitors
the problems is connected
(SPMC)
presented[81], the to
by which the
CWVM source
is shown
and thein during
SPCFigurethe
5.
cycle,
way,
is the other components
theitseries-parallel
is possible to mitigate
multiphase thattransients
the
converter are fully[81],
(SPMC) charged
of the are
input
which connected
current
is shown andtothe
in Figure 5.the load.of
Ineffect
this Mea
pa
way,
part itofis possible
the to
other mitigate the transients
series-connected of the input
capacitors current
remains
capacitances. While part of the capacitors is connected to the source during the and the
in effect
an of parasitic
intermediate charg
capacitances.
Therefore, While part
there are of
atthe capacitors
least twoareoris three
connected to the source during
phase-shifted signals thecontrolling
charge cycle, the con
cycle, the other components that fully charged are connected to the load. Mean
the other components that are fully charged are connected to the load. Meanwhile, part of
of
part the capacitors with the source and the load.
the other series-connected capacitors remains in an intermediate charge state. Therefore, charge
of the other series-connected capacitors remains in an intermediate
Therefore,
there are atthere least are
two ator least
three two or threesignals
phase-shifted phase-shifted
controlling signals controlling
the connection of thethe conn
ofcapacitors
the capacitors
with thewithsourcetheandsource cell
and the load.
the load.
Φ1
Φ2
Φ3 cell
Cn+2
Φ1 Cn+3
Φ2 C1 C2 C3 Cn+4
Φ3 D2 D3 Cn+2
Dn+2 Dn+4 Do
Cn+3 +
C1
D1 C2 C3 Dn+3 Cn+4
Vi Vo
Dn+4 Co
Do
D2 D3 Dn+2 –
Dn+3 +
Vi D1 Φ1 Vo
Co
Φ2 –
Φ3
Φ1
Φ2
Figure 5. SPMC. Φ3
2.6. Dickson
Figure
Figure 5. SPMC.Converter (1976)
5. SPMC.
Dickson
2.6. Dickson implemented
Converter (1976) the first integrated multiphase voltage multiplier in w
2.6. Dickson
circuit
Dickson
Converter
reached
implemented
(1976)
an output voltage
the first of 40multiphase
integrated V from avoltage
15 V source [82].
multiplier Besides
in which the the inn
inherent
Dickson
circuit in the
reached an introduction
implemented theof
output voltage theVintegrated
offirst
40 topology
from a 15 Vitself, it[82].
should
multiphase
source be the
voltage
Besides noted that this
multiplier
innovation inwas
wh
inherent
structure
circuit in the introduction
builtan
reached of the
experimentally
output voltagetopology
inof itself,
a totally
40 V fromit should be
encapsulated noted
a 15 V source that this
form.[82]. was
Figure the first
6 shows
Besides the
the inno
structure built experimentally in a totally encapsulated form. Figure 6 shows the Dickson
converter.
inherent in the introduction of the topology itself, it should be noted that this was th
converter.
structure built experimentally in a totally encapsulated form. Figure 6 shows the D
converter. cell

Φ
Φ cell

Φ CA CB CA1 CB1
Φ Do
D2 DA1 DB1 +
CAD1 CB CA1 CB1 Co Vo
Vi
Do –
D1 D2 DA1 DB1 +
Vi Co Vo
Φ –

ΦΦ

Φ
Figure 6. Dickson converter.

Figure 6. Dickson converter.

Figure 6. Dickson converter.

Energies 2021, 14, x FOR PEER REVIEW

Energies 2021, 14, 2231 In the literature, there are several publications dedicated to the study of this to
6 of 33
aiming at improving aspects such as efficiency, dynamic response, and regulation
A limitation of this structure lies in the fact that it does not present good perform
high-power applications
In the literature, there areowing to the difficulty
several publications of obtaining
dedicated to the studyadequate regulation
of this topology
low efficiency
aiming when
at improving it is such
aspects desired to obtain
as efficiency, high response,
dynamic voltage gains.
and regulation [83–85].
A limitation of this structure lies in the fact that it does not present good performance in
high-power applications owing to the difficulty of obtaining adequate regulation and the
2.7. Fibonacci Converter (1991)
low efficiency when it is desired to obtain high voltage gains.
When the first SC converters were designed, the power levels were initially
2.7. Fibonacci Converter (1991)
to milliwatts or a few units of watts. A natural next step would be to reduce the n
When the first SC converters were designed, the power levels were initially limited to
of components of these structures, aiming at increasing the gain, power levels, a
milliwatts or a few units of watts. A natural next step would be to reduce the number of
ciency.
componentsIn this sense,
of these the Fibonacci
structures, aiming atconverter
increasing the(FC) was
gain, proposed
power as aefficiency.
levels, and multiphase to
in which
In this the
sense, thecapacitors are associated
Fibonacci converter (FC) was in series as
proposed and parallel. topology
a multiphase In this case, the cells a
in which
bined with the source and with each other to achieve the desirable voltage gain [8
the capacitors are associated in series and parallel. In this case, the cells are combined
withisthe
FC source andinwith
presented each 7other
Figure andtoreceives
achieve the
thisdesirable
name becausevoltage gain [86].
of its gainThecharacterist
FC is
presented in Figure 7 and receives this name because of its gain characteristic, since each
each cell/stage coupled to the converter leads to an increase in the output voltage
cell/stage coupled to the converter leads to an increase in the output voltage following a
ing a proportion
proportion defined bydefined by thesequence
the Fibonacci Fibonacci
(2, 3,sequence
5, 8, 13, . . .(2,
). 3, 5, 8, 13, ).

cell

S1 Sn+1
+
S2 C1 Sn+2 Cn
Vi
Co Vo

S3 Sn+3
–

Figure 7.7.FC.
Figure FC.
The FC is very similar to the SPC, differing mainly in the way the capacitors are
The FC
connected. is very
At this point,similar
it shouldtobethe SPC,
noted thatdiffering
among themainly inpresented
topologies the wayso the
farcapacitors
that a
nected. At this point,
use the combination it should
of capacitors be noted
in series that among
and parallel, thegain
the highest topologies presented so
by the association
of stages is obtained with the FC [15,87].
use the combination of capacitors in series and parallel, the highest gain by the asso
of stages is obtained with the FC [15,87].
2.8. Ladder Converter (1992)
The CWVM can produce high voltages from a low-voltage source, but there are
2.8. LaddertoConverter
limitations (1992)
this structure, such as the high output impedance that prevents high gains
from The
beingCWVM
achieved.canIn produce
general, ithigh
can be stated that
voltages as the
from gain increases,source,
a low-voltage the output
but there
impedance also does by a cubic factor [79], which can compromise the output voltage
itations to this structure, such as the high output impedance that prevents high gai
regulation for loads requiring high currents.
beingTheachieved.
basic ladderIncells
general, it can
are shown be stated
in Figure that
8, which are as the gain
derived from aincreases, the output
study regarding
ance also does
the proposal of a by a cubicneutral
three-level factorpoint
[79],clamped
which can(NPC)compromise the output
inverter topology [88,89]. voltage
The reg
inverter
for loads described
requiringin [88,89] works with three voltage levels: Vi , Vi /2, and 0 V, and it is
high currents.
calledThe
capacitor-clamped
basic ladder cells areinverter
multilevel shownorinflying capacitor
Figure multilevel
8, which inverter (FCMLI).
are derived from a study
This is a circuit similar to the NPC inverter, but the diodes are replaced by capacitors.
ing the proposal of a three-level neutral point clamped (NPC) inverter topology
The inverter described in [88] and [89] works with three voltage levels: Vi, Vi/2, a
and it is called capacitor-clamped multilevel inverter or flying capacitor multil
verter (FCMLI). This is a circuit similar to the NPC inverter, but the diodes are r
by capacitors.
 Energies 2021, 14, 2231 7 of 33
Energies 2021, 14, x FOR PEER REVIEW 7 of 33

Sn+3 Sn+3
Cn+1 Cn+1
cell

cell
Sn+4 Sn+4
Cfly(n+1) Cfly(n+1)

+ S1
S1
C1 C1
S2
S2
Cfly1 Vi Cfly1
Vo
+
S3
S3
Vi Vo
S4
S4 – –
(a) (b)
Figure
Figure8.8.(a)
(a)Boost
Boostand
and(b)
(b)buck
buckladder
laddercells.
cells.

These
Thesecellscellscan
canbe bearranged
arrangedin inthe
theform
formof ofboost
boostand andbuck
buckconfigurations
configurationsas asshown
shownin in
Figure
Figure8a,b,
8a,b, respectively.
respectively. A Aconverter
converterbased basedononthis this topology
topology cancan consist
consist of one
of one or moreor more
cells
cells according
according to theto desired
the desired conversion
conversion ratio.
ratio. WhenWhen thethe converter
converter works
works in in voltage
voltage step-
step-up
up mode,
mode, thethe source
source is associated
is associated in series
in series with with n capacitors
n capacitors charged
charged withwith a voltage
a voltage V i.
Vi . The
flying
The capacitor
flying capacitorat a given moment
at a given momentis connected in parallel
is connected with the
in parallel source
with the to be charged.
source to be
Still, later
charged. it islater
Still, connected in parallel
it is connected with thewith
in parallel other thecapacitor to charge
other capacitor it with it
to charge Viwith
. In this
V i.
way,
In thisthe
way,voltage source source
the voltage in series seriesn with
inwith charged capacitors
n charged can produce
capacitors an output
can produce voltage
an output
Vo according
voltage to Equation
Vo according (1).
to Equation (1).
Vo = Vi + nVi (1)
Vo  Vi  nVi (1)
when used as a step-down topology, the converter operates similarly to a capacitive voltage
when
dividerused as a step-down
formed by n capacitorstopology,
in series,the inconverter
which the operates
load is similarly
connectedtoinaparallel
capacitive with volt-
one
age divider
of the formed
capacitors. In by
thisncircuit,
capacitorsthereinare series, in which
also one or more the loadcapacitors
flying is connectedCfly ,inwhich
parallelat a
with
given one of the capacitors.
moment are connected In this circuit,with
in parallel therethe
aresource
also oneandorlater
more onflying capacitors
associated Cfly,
in parallel
which
with theat aelements
given moment are the
that form connected
capacitive in parallel
divider.withThisthe source andproduces
arrangement later on associated
an output
in parallel with the elements that form the capacitive divider.
voltage that varies according to the number of capacitors used in the converter as This arrangement produces
defined
an
byoutput
Equation voltage
(2): that varies according to the number of capacitors used in the converter
as defined by Equation (2): V
Vo = i (2)
ncap
Vi
Vo  (2)
where ncap is the number of series capacitors in the circuit. Figure 9a shows a boost-
ncap
type ladder converter with a gain equal to two and Figure 9b presents a buck converter
where
with angain
cap is equal
the number
to 0.5. of series
This capacitors
topology is alsoin efficient
the circuit. Figure 9a
in AC-AC shows a boost-type
conversion, with good
ladder converter
regulation and highwithpower
a gainfactor,
equal and to twoit isand Figure option
a feasible 9b presents a buck
to replace converter with
ferromagnetic a
core
gain equal to 0.5.
transformers [90].This topology is also efficient in AC-AC conversion, with good regula-
tion and high power factor, and it is a feasible option to replace ferromagnetic core trans-
formers [90].
EnergiesEnergies 2021, 14, 2231
2021, 14, x FOR PEER REVIEW 8 of 33
8 of 33

+
S1 S1

C2 C2
S2 S2
Vi Cfly
Cfly Co Vo
+
S3 S3

Vi Co Vo

S4 S4
– –

(a) (b)
Figure 9. (a)
Figure Boost
9. (a) Boostand
and(b)
(b)buck
buck ladder converters.
ladder converters.

3. Design Parameters
3. Design Parameters
In this section,
In this the
section, themain
maindesign
design parameters
parameters ofofSC
SCconverters
converters
areare addressed,
addressed, suchsuch
as as
operation modes, main components, efficiency, and control techniques.
operation modes, main components, efficiency, and control techniques.

3.1. 3.1. Components

Components
3.1.1. Switches
3.1.1. Switches
In general, the efficiency and regulation of SC converters are dependent on the intrinsic
In general,
resistances theswitches
of the efficiencyandand regulationthat
the dielectrics of constitute
SC converters are dependent
the capacitors. on the in-
In low-power
trinsic resistances of the switches and the dielectrics that constitute the
and medium-power DC-DC converters, metal-oxide-semiconductor field-effect transistors capacitors. In low-
power and medium-power
(MOSFETs) are widely usedDC-DC becauseconverters, metal-oxide-semiconductor
they can operate at high frequencies. For field-effect
higher
transistors (MOSFETs)
power levels, insulatedare
gatewidely
bipolarused because
transistors they are
(IGBTs) canbetter
operate at high because
recommend frequencies.
they For
support
higher powerhigher currents
levels, and voltages,
insulated but switching
gate bipolar losses
transistors increase
(IGBTs) significantly
are with the be-
better recommend
switching
cause frequency.
they support Somecurrents
higher studies have
and shown thatbut
voltages, SiCswitching
MOSFETs have a performance
losses increase signifi-
similar
cantly withtothe
Si-based IGBTsfrequency.
switching [91–93]. Thus, the analysis
Some studies presented
have shown in this
that work
SiCconsiders
MOSFETs only
have a
MOSFETs.
performance similar to Si-based IGBTs [91–93]. Thus, the analysis presented in this work
Table 1 shows some characteristics of different commercial Si and SiC MOSFETs
considers only MOSFETs.
for comparison purposes. In these semiconductors, conduction losses must be carefully
Table 1 shows
analyzed, as theysome
dependcharacteristics of different
on the drain-source commercial
on-resistance Si. and
Rds(on) ThisSiC MOSFETs
parameter is for
comparison
provided in the manufacturer’s datasheet and expression 3 can be used to estimate the ana-
purposes. In these semiconductors, conduction losses must be carefully
lyzed, as they depend
conduction on the drain-source on-resistance Rds(on). This parameter is provided
losses [94,95]:
in the manufacturer’s datasheet and expression 3 can be 2used to estimate the conduction
Pcond(MOSFET) = Rds(on) Id(rms) (3)
losses [94,95]:
where Id(rms) is the root-mean-square
P (RMS) drain
 R current.
I 2
cond  MOSFET ds on d  rms  (3)
Table 1. Comparison of the characteristics of different MOSFETs.
where Id(rms) is the root-mean-square (RMS) drain current.
Vds(max) Id(max) Rds(on) tr tf Coss Ciss
Component Type
Table 1. Comparison of the characteristics
(V) of different
(A) MOSFETs.
(mΩ) (ns) (ns) (pF) (pF)
IRFP240 Si 200 20 180 51 36 400 1300
Vds(max) Id(max) Rds(on) tr 34 tf Coss Ciss
Component Type IRF530 Si 100 14 160 24 250 670
IRFP460 (V) Si (A)500 (mΩ)
20 270 (ns)51 (ns)
36 (pF)
430 1300(pF)
IRFP240 Si IRF840 200 Si 20500 8180 850 51 21 20
36 200400 12251300
C2M0080120D SiC 1200 36 80 22 14 92 1130
IRF530 Si SCT3080KL 100 SiC 141200 31160 80 34 22 24
24 75250 785 670
IRFP460 Si 500
IMW120R045M1XKSA1 SiC 201200 52270 59 51 24 36
13 115430 19001300
IRF840 SiNTHL080N120SC1
500 SiC 8 1200 44850 80 21 20 10
20 80200 11121225

C2M0080120D SiC 1200 36 80 22 14 92 1130

SCT3080KL SiC 1200 31 80 22 24 75 785
IMW120R045M1XKSA1 SiC 1200 52 59 24 13 115 1900
NTHL080N120SC1 SiC 1200 44 80 20 10 80 1112
 The switching losses are essentially related to the time interval required b
semiconductor to change from the ON state to the OFF state, or vice-versa. In oth
the shorter the rise time tr and fall time tf, the faster the dynamic response of a M
Energies 2021, 14, 2231 9 of 33
Table 1 shows the aforementioned parameters, as well as the parasitic capacita
affect the switching losses. It is worth mentioning that Ciss and Coss do vary sig
with the drain-source voltage Vds, but they are only slightly affected by the tem
The switching
Capacitance Cisslosses
is anare essentiallyparameter,
important related to thesince
time interval
its chargerequired
and by a given are d
discharge
semiconductor to change from the ON state to the OFF state, or vice-versa. In other words,
thefluenced byrise
shorter the drive
timecircuit
tr and fallconnected
time tf , thetofaster
the gate. Besides,
the dynamic capacitance
response Coss is charg
of a MOSFET.
voltage
Table source
1 shows of the circuitparameters,
the aforementioned and discharged through
as well as the body
the parasitic diode that
capacitances when the
is ON and OFF, respectively.
affect the switching losses. It is worth mentioning that C iss and C oss do vary significantly
with theIndrain-source voltage Vds ,losses
turn, the switching but they arecalculated
are only slightlyaccording
affected by to
thethe
temperature.
energy dissipa
Capacitance Ciss is an important parameter, since its charge and discharge are directly
switch during the turn-on and turn-off intervals. These losses depend on the s
influenced by drive circuit connected to the gate. Besides, capacitance Coss is charged by
thefrequency fs, the
voltage source drain-source
of the voltagethrough
circuit and discharged Vds, the
thedrain current
body diode whenIdthe
, and the time in
MOSFET
is quired
ON and for
OFF,turn-on and turn-off of the transistor given by ton and toff, respective
respectively.
In turn, the switching
both parts are considered lossesinareexpression
calculated according
(4) [96]:to the energy dissipated in the
switch during the turn-on and turn-off intervals. These losses depend on the switching
frequency fs , the drain-source voltage Vds , the drain V I Id , and the time interval
 fcurrent
required for turn-on and turn-off of thePtransistor   sbydstond and
sw  MOSFET  given  
ton  toff
6  toff , respectively. Thus,
both parts are considered in expression (4) [96]:


Substituting the values assumed 

f s Vdsby
Id distinct
 parameters
 defined in Table 1
(4), it is observed thatPsw(SiC =
MOSFETs t + t (4)
6 present improved performance with resp
MOSFET ) on o f f

conduction and switching losses when compared with their Si counterparts. T

Substituting the values assumed by distinct parameters defined in Table 1 in (3) and
MOSFETs can be regarded as an adequate choice for applications that high co
(4), it is observed that SiC MOSFETs present improved performance with respect to the
efficiency.
conduction and switching losses when compared with their Si counterparts. Thus, SiC
MOSFETs The transistors
can be regardedshown in Tablechoice
as an adequate 1 have for good performance
applications that highat high frequenci
conversion
efficiency.
the frequency increases, the switching losses can significantly compromise the
The transistors shown in Table 1 have good performance at high frequencies, but as
of the converter. It is observed that the drain current also influences this behavi
the frequency increases, the switching losses can significantly compromise the efficiency
ofexample, Figure
the converter. It is10 represents
observed thedrain
that the losses in a also
current MOSFET model
influences this IRFP460 operating
behavior. As
ansubjected to a drain-source
example, Figure 10 represents voltage
the lossesofin100 V, while
a MOSFET the switching
model frequency
IRFP460 operating at rang
25to◦ C, subjected to a drain-source voltage of 100 V, while the switching frequency ranges
500 kHz and, at the same time, the drain current varies from 0 to 10 A. This plo
from 0 to the
strates 500 kHz and,ofatlosses
profile the samein time, the drain current
that particular varies from
component, but0atosimilar
10 A. This
analysis c
plot demonstrates the profile of losses in that particular component, but a similar analysis
veloped for any other commercial device, considering that its characteristics
can be developed for any other commercial device, considering that its characteristics are are
by the manufacturer.
provided by the manufacturer.Thus, one
Thus, can
one canconsider theseaspects
consider these aspects in detail
in detail concerning t
concerning
and
the estimate
design of theofconverter
and estimate the converterefficiency.
efficiency.

20
Loss (W)

10

500k 9
300k 5 7
100k 0 1 3
f s (Hz) I d (A)
Figure
Figure 10. 10. Behavior
Behavior of switching
of switching and conduction
and conduction lossesIRFP460.
losses in MOSFET in MOSFET IRFP460.
3.1.2. Diodes
3.1.2. Diodes
Some SC topologies like Dickson, ladder, and SMPC use diodes besides active switches,
Some
which can SC topologies
influence like
the conversion Dickson,
efficiency ladder, Therefore,
significantly. and SMPC use diodes
it is important to besid
know the characteristics
switches, which canofinfluence
such semiconductors, especially
the conversion considering
efficiency the commercial
significantly. Therefore
availability of Si and SiC components.
portant to know the characteristics of such semiconductors, especially consid
Table 2 summarizes the main parameters associated with some diode models, which
commercial
include availability
the maximum ofthe
value of Si and SiC components.
repetitive peak reverse voltage VRRM , the average
Table 2 summarizes the main parameters associated with some diode mode
include the maximum value of the repetitive peak reverse voltage VRRM, the ave
ward current IF(avg.), the forward voltage drop VF, the reverse recovery time trr
Energies 2021, 14, x FOR PEER REVIEW 10 of 33

Energies 2021, 14, 2231 10 of 33

reverse recovery charge Qrr as informed by the manufacturer at 25 C. It is worth men-
tioning that the total capacitive charge QC of SiC diodes is equivalent to Qrr in Si ones.
Only ultrafast Si diodes are listed because SC converters often operate at high switching
forward current IF(avg.) , the forward voltage drop VF , the reverse recovery time trr , and
frequencies. Besides, only SiC Schottky diodes are described since this technology pre-
the reverse recovery charge Qrr as informed by the manufacturer at 25 ◦ C. It is worth
sents improved characteristics
mentioning that the when
total capacitive compared
charge Q of SiCwith
diodesother solutions.
is equivalent to Qrr in Si ones.
C
Only ultrafast Si diodes are listed because SC converters often operate at high switching
Table 2. Comparison
frequencies. of the
Besides, only SiCcharacteristics
Schottky diodesof are
different diodes.
described since this technology presents
improved characteristics when compared with other solutions.
VRRM VF Trr Qrr/QC
Component Type IF(avg.)
(V)
Table 2. Comparison of the characteristics of different (V)
diodes. (ns) (nC)
MUR860 Si 600 8 1.20 60 195
VRRM VF Trr Qrr/ QC
RHRP8120 Si 1200
Component Type 8 (V) 3.2
IF(avg.)
(V)
70
(ns) (nC)
165
HFA15TB60S Si 600 15 1.2 50 84
MUR860 Si 600 8 1.20 60 195
60EPU04 Si 400
RHRP8120 Si 60 1200 81.05 3.2 8570 165 375
IDT08S60C SiC HFA15TB60S
600 Si 8 600 151.5 1.2 50 84 20
60EPU04 Si 400 60 1.05 85 375
C4D10120A SiC 1200
IDT08S60C SiC
33 600 8
1.5 1.5
- 20
52
SCS210KGHR SiC 1200
C4D10120A SiC 10 1200 331.4 1.5 - 52 34
IDH15S120 SiC SCS210KGHR
1200 SiC 15 1200 101.65 1.4 - 34 54
IDH15S120 SiC 1200 15 1.65 - 54

SiC diodes are often much faster than Si ones and do not present significant problems
due to SiC diodes
the are recovery
reverse often muchphenomenon,
faster than Si ones
thusand do not present
contributing significant
to the problems
reduction of switching
due to the reverse recovery phenomenon, thus contributing to the reduction of switching
losses. In either case, such semiconductors can be represented by the simple equivalent
losses. In either case, such semiconductors can be represented by the simple equivalent
model shownininFigure
model shown Figure 11,11, in which
in which Vto represents
Vto represents the voltage
the voltage drop
drop across theacross the semicon-
semiconduc-
ductor junction and rt is the intrinsic resistance. The values of Vto and rt are not often pro-
tor junction and rt is the intrinsic resistance. The values of Vto and rt are not often provided
vided by manufacturers,
by manufacturers, even thougheventhey
though
can bethey can be
estimated estimated
from fromcurves
characteristic characteristic
available curves
available in datasheets.
in datasheets.

A K

A K
Vto rt
IF
VF

Figure
Figure 11.
11. Diode symboland
Diode symbol and equivalent
equivalent model.
model.

The aforementioned model can be used to estimate the losses in a diode. The conduc-
The aforementioned model can be used to estimate the losses in a diode. The conduc-
tion losses are owing to the current flowing through the component and can be calculated
tion losses are owing to the current flowing through the component and can be calculated
as in Equation (5).
as in Equation (5). P =V I +r I 2
(5)
cond( D ) to F ( avg.) t F (rms)
2
where IF(avg.) and IF(rms) represent thePcond  D   Vtoand
average I F  avg
RMS.
 rvalues
t I F  rms  of the forward current. (5)
In turn, the switching losses occur during the turn-on and turn-off of the diode when
where IF(avg.)
both the and and
current IF(rms)voltage
represent the zero,
are not average beingand RMS values
estimated from of the forward
Equations current.
(6) and (7),
In turn, the switching losses occur
respectively. 
during the 
turn-on and turn-off of the diode when
both the current and voltage
Psw(on)( D)are notVzero,
= 0.5 being estimated from Equations (6)
F (max) − VF IF ( avg.) trr f s (6)and (7),
respectively.
Psw(o f f )( D) = Qrr VF(max) f s (7)
where VF(max)
P
is the maximum value
 0.5
sw  on assumed
D byF (max)
V  VF  F voltage
the forward
I t f
 avg . rr sdrop. From Equation (6)
(6), it is observed that the longer trr , the higher the switching losses, and the lower the
P  off  D   Q rr V F (max) f s (7)
efficiency as a consequence. Besides, theswefficiency can be further increased if diodes with
low Qrr or QC are chosen in practical designs.
where VF(max) is the maximum value assumed by the forward voltage drop. From Equation
(6), it is observed that the longer trr, the higher the switching losses, and the lower the
 3.1.3.
Energies 2021, 14, x FOR PEER REVIEW Capacitors 11 of 3

Besides semiconductors, capacitors are essential devices in SC converters, as t

the only energy storage elements used in the circuit when hybrid topologies
Energies 2021, 14, 2231 efficiencywhich
adopted, as a consequence. Besides, theasefficiency
also have inductors can of
in the case be [97].
further increased
The 11ifofdiodes
equivalent wit
33 model
low Qrr or QC are chosen in practical designs.
pacitor basically consists of the series association of a capacitance C, the equivalen
resistance (ESR), and the equivalent series inductance (ESL) as shown in Figure 12
3.1.3. Capacitors
3.1.3. Capacitors
Besides
Besides semiconductors,
semiconductors, capacitors
capacitors are are essential
essential devices
devices in SCinconverters,
SC converters, as they ar
as they
are the only energy storage elements used in the circuit when hybrid topologies are not are no
the only energy storage elements used in the circuit when hybrid topologies
adopted,which
adopted, which also
also have
have inductors
inductors asthe
as in in the
casecase of [97].
of [97]. The The equivalent
equivalent modelmodel
of a of a ca
pacitor basically
capacitor consists
basically consists of of
thethe series
series ESL
association
association of a of a capacitance
capacitance C, the C, the equivalent
equivalent series serie
ESR
C and the equivalent
resistance (ESR), series inductance (ESL) as shown in Figure
resistance (ESR), and the equivalent series inductance (ESL) as shown in Figure 12. 12.
Figure 12. Equivalent circuit of a capacitor.

Capacitance C is related to the type of dielectric used in the construction of th

ponent. It C has a direct impact ESL
ESR on the energy density and, consequently, on the dim
of the converter. Parameter ESR cannot be accurately estimated from the simple m
Figure
Figure Equivalent
12.12. Equivalent circuit of a of
circuit capacitor.
a capacitor.
ment performed with an ohmmeter because it is strongly influenced by the dielectr
trodes, and the ohmic losses in the terminals
Capacitance C is related to the type of dielectric used of the component.
in the construction of the compo-
Capacitance C is related to the type of dielectric used in the construction of the com
nent. The
It haslosses
a directinimpact
dielectrics correspond
on the energy densityto theconsequently,
and, delayed bias on ortherelaxation,
dimensions of varying
ponent.
the converter.It has a directESR
Parameter impact on be
cannot theaccurately
energy density
estimated and,
fromconsequently,
the simple on the dimension
measurement
ing to the
of the dielectric
converter. medium,
Parameter ESRtemperature,
cannot and frequency
be accurately estimated [98].
fromThethe losses
simplein electr
measure
performed with an ohmmeter because it is strongly influenced by the dielectric, electrodes,
low
ment
and
frequencies
theperformed
ohmic losses
are
with essentially
anterminals
in the ohmmeter ohmic
of because
and itdepend
the component. is stronglyon the dimensions
influenced by theand type of
dielectric, m
elec
At high
trodes, frequencies,
and
The losses the ohmicthe
in dielectrics losses
losses in the
correspond increase
terminals
to significantly
of the
the delayed owing varying
biascomponent.
or relaxation, to the according
skin and proxim
fects.
to the The
dielectric
lossesmedium, temperature,
in dielectrics and frequency
correspond [98]. Thebias
to the delayed losses in electrodesvarying
or relaxation, in low accord
frequencies
ing to the are
Overall, essentially
it is reasonable
dielectric ohmic temperature,
medium, and depend
to state onand
that the dimensions
the and type
losses in capacitors
frequency [98]. Theof material. At
are influenced
losses in electrodes byi
high frequencies,
low frequencies the losses
are In increase
essentially significantly
ohmic owing
and depend to the skin and proximity effects.
variety of aspects. SC-based converters, thison the dimensions
element and type of materia
can be satisfactorily repr
Overall, it is reasonable to state that the losses in capacitors are influenced by a wide
byAtChigh and frequencies,
ESR, resulting the losses theincrease
inconverters, significantly owing
representation intoFigure
the skin and proximityδ ei
variety of aspects. In SC-based this element shown
can be satisfactorily 13. Parameter
represented
fects.
dissipation
by C and ESR,factor (DF)
resulting in or
theloss angle, whose
representation shown value is often
in Figure providedδ is
13. Parameter incalled
datasheets
Overall,
dissipation it
factor is reasonable
(DF) or loss to
angle, state
whose that the
value losses
is
In this way, it is possible to estimate the ESR using Equation (8) [101].often in capacitors
provided in are influenced
datasheets [99,100]by a wid
variety
In of itaspects.
this way, In SC-based
is possible to estimateconverters, this
the ESR using element
Equation (8)can be satisfactorily represente
[101].
by C and ESR, resulting in the representation shown tan in Figure 13. Parameter δ is calle
dissipation factor (DF) or loss angle, tanESR
whose δ)  is often provided in datasheets [99,100
(value
ESR =
fs C
2 f s C (8)
In this way, it is possible to estimate the 2π
ESR using Equation (8) [101].
tan  
Complex ESR  (8
2 f s C

ESR (Ω)
Complex Real
Capacitive
Reactance
(Ω) ESR (Ω)
Real
Capacitive δ
Reactance
(Ω)

–j δ
2πfsC

–j
2πfsC
Figure 13. Representation of the loss angle of a capacitor.
Figure 13. Representation of the loss angle of a capacitor.
The ESL can be hardly measured because it depends on the pad layout, capacitor
height,
The
Figure and power
13.ESL plane
can bespreading
Representationhardly inductance
angle of [102].
measured
of the loss It can it
a because
capacitor. be depends
neglected aton
low frequencies,
the pad layout, ca
but its influence should be considered as the operating frequency gets close to the resonance
height, and power plane spreading inductance [102]. It can be neglected at low f
frequency of
The its
ESLthecan
capacitor. The ESL
be hardly limits the
measured maximum
because switching
it depends onfrequency
pad at
thefrequencywhichcapacito
layout,
cies, but
the converter influence
can should
operate since, be considered
at very as
high frequencies, the operating
the inductive gets clos
reactance is much
height, and power plane spreading inductance [102]. It can be neglected at low frequen
resonance frequency of the capacitor. The ESL limits the maximum switching fre
cies, but its influence should be considered as the operating frequency gets close to th
resonance frequency of the capacitor. The ESL limits the maximum switching frequenc
Energies 2021, 14, x FOR PEER REVIEW 12 of 33
Energies 2021, 14, 2231 12 of 33

at which the converter can operate since, at very high frequencies, the inductive reactance
higher
is muchthan thethan
higher capacitive reactance.
the capacitive Figure Figure
reactance. 14 presents the behavior
14 presents of the of
the behavior capacitor
the ca-
impedance as a function of the frequency and ESR [103].
pacitor impedance as a function of the frequency and ESR [103].

|Z|
ESR

|Z|=1/jωC
|Z|=jωL
|Z|/ESR (Ω )

Frequency (Hz)

Figure 14. Behavior of the capacitor impedance as a function of the operating frequency and ESR.
ESR.

Table 33 presents
Table presents aa comparison
comparison among
among eight
eight commercially
commercially available
available capacitor
capacitor models
models
that use
that use different
differenttypes
typesofofdielectrics,
dielectrics,which
whichhave a capacitance
have of 1ofµF.
a capacitance Also,Also,
1 μF. the maximum
the maxi-
operating
mum voltage
operating variesvaries
voltage according to thetotype
according the of material
type used.used.
of material An analysis is then
An analysis per-
is then
formed considering important aspects such as volume, energy density,
performed considering important aspects such as volume, energy density, and the maxi- and the maximum
loss angle
mum measured
loss angle at 1 kHz,
measured at 1 so thatsothe
kHz, designer
that can becan
the designer assisted in choosing
be assisted the most
in choosing the
adequate type of capacitor. The energy density has an impact on the size
most adequate type of capacitor. The energy density has an impact on the size of the con-of the converter
and, therefore,
verter it is important
and, therefore, to know
it is important how these
to know how parameters vary from
these parameters vary one
fromcapacitor
one capac-to
the other
itor to theaccording to the type
other according to theoftype
dielectric.
of dielectric.

3. Comparison
Table 3.
Table Comparison among
among different
different types
types of
of capacitors.
capacitors.
Vol. E
E Dens.
Dens. Max(tan(δ))
Max(tan (δ))
Cap.
Cap. Manufacturer
Manufacturer Type
Type Series
Series VV Vol.
dcdc
(mm(mm
3) 3)
(mJ) (µJ/mm 3) @1 kHz
(mJ) (μJ/mm ) 3 @1 kHz
11 Hitano
Hitano Electrolytic
Electrolytic ECRECR 47
47 215.98
215.98 1.25
1.25 5.785.78 0.10* *
0.10
2 Nichicon Electrolytic UMA 50 62.83 1.25 19.89 0.10 *
23 Nichicon
TDK
Electrolytic
Polyester
UMA
B32560
50
63
62.83
244.8
1.25
1.98
19.898.10
0.10 *
0.008
34 TDK
Panasonic Polyester
Polyester B32560
ECQE 63
100 244.8
1125.6 1.98
5 8.104.44 0.008
0.01
45 Panasonic
TDK Polyester
Polypropylene ECQE B32672L 100
250 1125.6
3663 5
31.25 4.448.53 0.01
0.0008
56 Hitano
TDK Polypropylene B32672L
Polypropylene MKT 100
250 2592
3663 5
31.25 8.531.92 0.01
0.0008
7 TDK Ceramic (ML) FA24 50 67.5 1.25 18.51 0.03
6 Hitano Polypropylene MKT 100 2592 5 1.92 0.01
8 Hitano Ceramic (ML) R25 50 132 1.25 9.46 0.1
7 TDK Ceramic (ML) FA24 50 67.5 1.25 18.51 0.03
* Value measured at 120 Hz as informed by the manufacturer.
8 Hitano Ceramic (ML) R25 50 132 1.25 9.46 0.1
* Value measured at 120 Hz as informed by the manufacturer.
The power dissipated in a capacitor depends on the root mean square (RMS) current
IC(rms)
Theand the ESR
power according
dissipated in atocapacitor
Equationdepends
(9). on the root mean square (RMS) current
IC(rms) and the ESR according to Equation (9).
Pcap = ESR · IC(rms) 2 (W) (9)
Pcap  ESR  IC rms 2 (W) (9)
As the ESR depends on the DF and the frequency, it is possible to combine Equations
(8) and
As(9)
thetoESR
approximately
depends on determine
the DF andthe
thelosses in a capacitor
frequency, according
it is possible to Equation
to combine (10).
Equations
(8) and (9) to approximately determine the
 lossesin a capacitor according to Equation (10).
tan(δ) 2
Pcap = I (10)
 tanf sC  C(rms) 2
2π
Pcap    I (10)
 2 f s C  C rms
As an example, and for the eventual efficiency analysis of the converters, capacitor 8
was chosen in Table 3. By varying the RMS current from 0 to 10 A and the source frequency
ergies 2021, 14, x FOR PEER REVIEW 13 o

Energies 2021, 14, 2231 As an example, and for the eventual efficiency analysis of the converters, 13 of 33capacito
was chosen in Table 3. By varying the RMS current from 0 to 10 A and the source
quency from 0 to 500 kHz, it is possible to plot the component losses as shown in Fig
15 with
fromthe
0 toaid
500of Equation
kHz, (10).to plot the component losses as shown in Figure 15 with
it is possible
the aid of Equation (10).

3.0

Loss (W)
1.5

0
9 7 5 3 1 0 500k 300k 100k
Ic (A) fs (Hz)
Figure 15. Behavior
Figure ofoflosses
15. Behavior losses in
in aa capacitor
capacitoras as function
function of theofRMS
thecurrent
RMS current and operation
and operation frequency. fre-
quency.
Of course, each type of capacitor has its own electrical and constructive characteris-
tics. The objective of this work is not to present a detailed analysis of these components,
Of course,
but each type
only to address someofimportant
capacitor has its
aspects that own
allowelectrical
the choice and constructive
of the most suitable characte
tics. The
elementobjective
for a given of this work is
application. In not to present
general, a detailed
it is reasonable to stateanalysis of these
that the most popularcomponen
but only to address some important aspects that allow the choice of the most suitable e
capacitor used in SC converters is of film type. This component is widely used mainly
mentinfor applications
a given in which it is necessary
application. In general, to operate at high voltages
it is reasonable to and
state frequencies. The popu
that the most
film dielectric has low DF, reduced ESR, and good response at high frequencies [104]. The
capacitor used in SC converters is of film type. This component is widely used mainly
dielectric consists of a thin layer of plastic, the most common materials being polyester and
applications
polypropylene.in which it is necessary
Capacitors to operate
made of metallized film at high
have voltages
vaporized and frequencies.
dielectrics with a thin The f
dielectric
layer ofhas low DF,asreduced
aluminum, this additionalESR,layerandprovides
good response
the dielectricatwith
highthefrequencies [104]. The
self-regeneration
ability [105–107]. Given the possible occurrence of a voltage
electric consists of a thin layer of plastic, the most common materials being polyester a higher than the nominal value
supported by the capacitor, which in turn would damage the dielectric, this characteristic
polypropylene. Capacitors made of metallized film have vaporized dielectrics with a t
allows rapid heating to occur owing to the short circuit of the plates. When subjected to
layerhigh
of aluminum,
temperatures, asthis
this additional
layer of aluminum layer provides
around theturns
the hole dielectric with theoxide,
into aluminum self-regene
tion ability
which has [105–107].
an insulating Given the possible
character occurrence
and thus eliminates the of a voltage
short circuit. higher than the nomi
Polyester capacitors
value supported can be found
by the capacitor, commercially
which in turn would from some units ofthe
damage nanofarads to val-
dielectric, this char
ues on the order of 220 µF, with voltages greater than or equal
teristic allows rapid heating to occur owing to the short circuit of the plates. When s to 1000 V. This material often
has limited use since, among the film-based capacitors, this is the type most sensitive to the
jectedincrease
to high temperatures,
of temperature [108]this
and layer
frequencyof aluminum
[104]. Its use around the hole
is recommended turnswhen
mainly intoitalumin
oxide, which to
is desired has an insulating
obtain converters with character
reduced and thus eliminates
dimensions the short
since polyester circuit.
capacitors have
Polyester
the capacitors
smallest size for a given can be found
capacitance commercially
value in comparison from some units
to its remaining of nanofarads
counterparts.
values onWhen compared
the order of 220to other
μF, components,
with voltages polypropylene-based
greater than or capacitors
equal to 1000demonstrate
V. This mate
excellent characteristics, such as the fact that the capacitance varies little with temperature,
often has limited use since, among the film-based capacitors, this is the type most sensit
frequency, and voltage variations. Polypropylene absorbs less moisture than polyester,
to thewhich
increase
makesof temperature
this material suitable [108] for and
a wide frequency [104]. Its inuse
range of applications is recommended
harsh environments. mai
whenCommercial
it is desired to obtain
capacitance converters
values can reach with
up toreduced
270 µF. dimensions since polyester capacit
Ceramic capacitors are the passive
have the smallest size for a given capacitance value devices most usedinincomparison
low power electronics today.
to its remaining co
In this case, the capacitance does not vary significantly with the frequency and temperature,
terparts.
while the components present low loss factor [109]. The dielectric materials used can be
When compared
porcelain, mica, andto other
other components,
silicates. polypropylene-based
Also, the components can be produced capacitors demonstr
on a single
excellent
disc orcharacteristics,
in multiple layers, suchi.e.,as
inthethe fact
formthat the capacitance
of multilayer varies little
ceramic capacitors with temperatu
(MLCCs). A
frequency,
negativeand aspectvoltage variations.
lies in the Polypropylene
fact that fractures absorbs
in the dielectric less moisture
can occur than polyes
owing to voltage
which spikes
makes andthisrapidmaterial
changes in temperature,
suitable for awhich
wide can cause
range offailures and even
applications ina harsh
short circuit
environmen
in the capacitor [110]. These components are often manufactured with low capacitances,
Commercial capacitance values can reach up to 270 μF.
which are typically rated on the order of picofarads.
CeramicWithincapacitors
the most common are the commercial
passive devices capacitors,mosttheused in low capacitor
electrolytic power electronics
has the tod
In this
mostcase, the capacitance
different does not varyThis
construction characteristics. significantly with the
element is formed by afrequency and tempe
sheet of porous
paper embedded in an electrolyte and, to improve the contact
ture, while the components present low loss factor [109]. The dielectric materials used of the plate with the welding
terminal, the paper is wrapped in aluminum foil, so that this set forms the negative terminal
be porcelain, mica, and other silicates. Also, the components can be produced on a sin
disc or in multiple layers, i.e., in the form of multilayer ceramic capacitors (MLCCs)
negative aspect lies in the fact that fractures in the dielectric can occur owing to volt
spikes and rapid changes in temperature, which can cause failures and even a short circ
 ing terminal, the paper is wrapped in aluminum foil, so that this set forms the
terminal of the capacitor (cathode). The other terminal of the capacitor is connect
nally to a second aluminum foil that constitutes the positive terminal (anode). T
Energies 2021, 14, 2231 receives an electrochemical treatment called anodic oxidation, which 14 causes
of 33 the
ance of a thin layer of an insulating material called aluminum oxide (Al2O3) depo
that same sheet, thus forming the dielectric.
This Al2O
of the capacitor 3 oxide The
(cathode). layer hasterminal
other the advantage of a high
of the capacitor dielectric
is connected constant
internally to a and hi
ity with
second a very thin
aluminum thickness
foil that onthe
constitutes thepositive
order of 0.7 μm.
terminal WithThis
(anode). thissheet
characteristic,
receives it is
an electrochemical treatment called anodic oxidation, which causes
to reach high capacitances in a very small volume, which can vary from 1 μF to the appearance of a
thin layer of an insulating material called aluminum oxide (Al2 O3 ) deposited on that same
Thus, this is one of the most important characteristics of this type of capacitor
sheet, thus forming the dielectric.
otherThishand,
Al2 O3the
oxidemaximum voltage
layer has the advantage stresses
of a high supported by this
dielectric constant andcomponent
high rigidity are low
tionato
with thethin
very other elements
thickness previously
on the order of 0.7presented.
µm. With this If characteristic,
this type of component
it is possible is sub
to reach high capacitances in a very small volume, which can vary
transients that exceed the rated voltage, even if very briefly, the dielectric from 1 µF to 330 mF. is compr
Thus, this is one of the most important characteristics of this type of capacitor. On the other
causing a change in the capacitance value and reducing the component’s usefu
hand, the maximum voltage stresses supported by this component are low in relation to the
general,
other this previously
elements type of capacitor
presented.has defined
If this type ofpolarity
component and, if it is connected
is subjected to transientsto a circ
inverted
that exceedway, electrochemical
the rated voltage, even if reactions
very briefly,canthe occur inside
dielectric it, causingcausing
is compromised, leakage and
aplosion.
change inWhen the capacitance value and reducing
high capacitances the component’s
are required, their useuseful
is oftenlife.essential,
In general,but thes
this
itors have a shorter useful life than film and ceramic components. inverted
type of capacitor has defined polarity and, if it is connected to a circuit in an As they are m
way, electrochemical reactions can occur inside it, causing leakage and even explosion.
ceptible
When highto failure, their
capacitances use on their
are required, a large scale
use is oftenisessential,
avoided. but these capacitors have
a shorter useful life than film and ceramic components. As they are more susceptible to
3.2. Operation
failure, Modes
their use on a large scale is avoided.
As mentioned,
3.2. Operation Modes SC converters have a simpler structure than conventional pow
tronic convertersSCthat
As mentioned, employ
converters inductors,
have a simpler but the control
structure system becomes
than conventional more co
power elec-
this case.
tronic Theoretically,
converters that employ it is possible
inductors, to control
but the achieve highbecomes
system voltagemore
gains withinsome str
complex
this case. Theoretically,
However, it shoulditbe is possible to achieve
noted that high voltage
the higher gainsthe
the gain, withmore
some components
structures. wil
However, it should be noted that the higher the gain, the more components
ployed and, consequently, the lower the efficiency. Figure 16 presents the behavi will be em-
ployed and, consequently, the lower the efficiency. Figure 16 presents the behavior of the
theoretical voltage gain as a function of the number of cells for the voltage doub
theoretical voltage gain as a function of the number of cells for the voltage doubler, SPC,
SPMC,
SPMC, Dickson,
Dickson, and and FC topologies.
FC topologies.

70
65 Voltage Doubler
60
SPC, SPMC
55 Dickson
50 Fibonacci
45
Vo/Vi

40
35
30
25
20
15
10
5
0
0 1 2 3 4 5 6
Number of cells

Figure
Figure Behavior
16.16. of theofvoltage
Behavior gain of SC
the voltage converters
gain as a functionas
of SC converters ofathe number of
function ofcells.
the number of cel
To analyze the behavior of the output voltage, the circuit represented in Figure 17 is
ToInanalyze
adopted. this case,the
the behavior of be
converter can the outputasvoltage,
modeled the circuitwith
an ideal transformer represented
turns ratio in Fig
adopted.
m:n, where RIno isthis case, the output
the equivalent converter can of
resistance bethe
modeled as an
SC converter, ideal
which transformer wi
is connected
in series with the load R [86,111]. In this model, the resistance R controls
ratio m:n, where Ro isL the equivalent output resistance ofo the SC converter, the power whic
transferred the load and the output voltage regulation. The variation of R
nected in series with the load RL [86,111]. In this model, theo resistanceis Ro con
to in practice
mainly associated with the switching frequency and the internal resistance of the converter
power transferred to the load and the output voltage regulation. The variation
elements.
practice is mainly associated with the switching frequency and the internal resis
the converter elements.
Energies 2021, 14, x FOR PEER REVIEW

Energies 2021, 14, 2231 15 of 33

Energies 2021, 14, x FOR PEER REVIEW Ro

Vi RL
Ro
m:n
Vi 17. Simplified model used in the analysis
Figure RLof SC converters.

As for the m:n switching frequency, two asymptotic limits can be establishe
switching limit (SSL) and fast switching limit (FSL) [112,113]. When the converter o
Figure
in SSL,
Figure 17.17.
the Simplifiedmodelmodel
switching
Simplified inused
frequency
used inisthe
the analysis lowanalysis
of enough
SC of SC
converters.forconverters.
the capacitors to fully charge
charge.AsAs Inthe
for this scenario,
switching the currents
frequency, have short-term
two asymptotic limits can be peaks. Besides,
established: slow all resistanc
switch-
switches for
andand the switching
capacitors frequency,
are neglected, two asymptotic
as these impedances limits
do not can affect establish
be the full c
ing limit (SSL) fast switching limit (FSL) [112,113]. When the converter operates in
switching
the the
SSL, capacitors. limit
switching In
(SSL) and
this operation
frequency
fast
is low enough
switching
mode,for the
limit (FSL)
thecapacitors
duty cycle [112,113].
has
to fully
When
littleand
charge
the
influence converter
discharge.on the b
inthis
In SSL, the switching
scenario, the currents frequency
have is low
short-term peaks.enough
Besides,forallthe capacitors
resistances of the to fully charge
switches
of the converter. In the FSL condition, the currents that flow through the capacitor
charge.
and In this
capacitors
considered
arescenario,
constant,
neglected,the
and thecurrents
as these impedances have short-term
series resistances
do not affect peaks.
the fullBesides,
of the components
charge of allthe
cannot resistanc
be negle
capacitors.
switches In this operation
and capacitors mode, the
are neglected, duty cycle has little influence on the behavior
as these impedances do not affect the full c of
they can affect the full charge of the capacitors.
the converter. In the FSL condition, the currents that flow through the capacitors can be
the capacitors.
Other In thismethods
analytical operation aremode,
based the
onduty cycle has
the charge andlittle influence
discharge on the
ofascapacito
considered constant, and the series resistances of the components cannot be neglected,
of the
they
The can converter.
the fullIn
affectshown
circuit the
charge
in FigureFSL
of the condition,
18 capacitors.
can be used the forcurrents that flow
this study, where through
an active the switch
capacito
S
considered
Other analytical methods are based on the charge and discharge of capacitors [114].be negl
constant, and the series resistances of the components cannot
the energy transferred from a DC voltage source Vi to a capacitor Co. This repres
The circuit
canshown in Figure 18 can be of used this study, where an active switch S controls
forcapacitors.
isthey
the simpler
energy
affect
than the
transferred
full
thefrom
model charge
a DC voltage
the
corresponding source totoFigure
Von a capacitor17 and
Coand leads
. This to similar result
representation
adopted Other analytical
in this methods
work corresponding are
in the studytoofFigure based i
topologies. the charge
It addresses discharge
the behavior of capacito
is simpler than the model 17 and leads to similar results, and is of th
The circuit
according
adopted toshown
in this three
work in in Figure
different
the study18 of can
modes be usedIt for
shown
topologies. in this study,
Figure
addresses whereof
19,behavior
the where anthe
the active switch S
instantaneous
circuit
vthe
accordingenergy transferred
to three from ashown
different modes DC voltage
in Figuresource
19, where
Co(t) and instantaneous current iCo(t) are represented for the full charge, partial
Vi the
to ainstantaneous
capacitor Cvoltageo. This repres

vis simpler
Co (t) than the model
and instantaneous currentcorresponding
i (t) are represented to Figure 17 and
for the full charge, leads
partialto charge,
similar resul
and
and no
nocharge
charge conditions. Co
conditions.
adopted in this work in the study of topologies. It addresses the behavior of th
according to three different modes shown in Figure 19, where the instantaneou
vCo(t) and instantaneous S Ri
current iCo(t) are represented for the full charge, partia
and no charge conditions.
iCo +
Vi S Ri VCo Co
–
iCo +
Vi 18.18.
Figure
Figure RCRC circuit
circuit usedused
in the in the analysis
analysis of the chargeVCo
of the
andcharge and
discharge Co
of dischargein of
capacitors SCcapacitors
converters. in SC c
ers.
In this case, the equivalent model of the converter – is considered as a first-order Ri Co
circuit with time constant τ, where Ri = Rsw + ESR, Rsw being the resistance of the switch,
In this case, the equivalent model of the converter is considered as a first-or
while Co represents the capacitor in the charge or discharge regime. The switch is turned
Figure with
18. RC circuit used in τ,
the analysisRi of
= the
RTswoncharge and
RswdischargetheofTresistance
capacitors in of SC
on to charge thetime
circuit constant
capacitors during awhere
time interval +over
ESR, being
a switching period s . Thus, it
the
ers.
while
is Co represents
reasonable to state thatthe
SC capacitor in thedesigned
circuits are often chargebasedor discharge
on the timeregime.
constant The switch i
rather
than the switching frequency. Besides, such converters are capable
on to charge the capacitors during a time interval Ton over a switching period Ts.of operating in full
charge In this case,
eventhe equivalent model
condition
is reasonable to at high
state thatfrequencies
SC circuits areof
according the
often converter
to the is considered
specifications
designed based of capacitors as
on the time anda first-o
constan
switches
circuit used
withintimethe design.
constant τ, where Ri = Rsw + ESR, Rsw being the resistance of th
than the switching frequency. Besides, such converters are capable of operatin
while C
charge o represents the capacitor in the charge or discharge regime. The switch i
condition even at high frequencies according to the specifications of capaci
on to charge the capacitors during a time interval Ton over a switching period Ts
switches used in the design.
is reasonable to state that SC circuits are often designed based on the time consta
The three modes of operation are defined [115,116]:
than the switching frequency. Besides, such converters are capable of operatin
(1) If Tcondition
charge on >> RiCo,even
that at
is,high
when the time interval
frequencies during
according to thewhich the switch
specifications remai
of capac
muchused
switches greater than
in the the time constant of the circuit, the capacitors charge a
design.
charge
The threecompletely.
modes ofThus, the current
operation becomes
are defined zero in each cycle, and then i
[115,116]:
assumed that the system operates under full charge condition according to
(1) 19a.
If Ton >> RiCo, that is, when the time interval during which the switch rema
 is not fully discharged [117]. The converter then operates on a partial charge condi
tion. The representation of the current in the capacitor is shown in Figure 19b.
(3) If the switching frequency is very high, that is, if the value of Ton is small in relation
to Ts, then Ton << RiCo. Thus, the current in the capacitor is almost zero, and the voltage
Energies 2021, 14, 2231 16 of 33
across it can also be considered constant. In this mode, the converter operates at no
charge condition according to Figure 19c.

vCo(t)

Peak
Voltage

(a) (b) (c)

Full Partial
t (s)
No
Charge Charge Charge

iCo(t)

(a) (b) (c)

Average
Current
t (s)
Full Partial No
Charge Charge Charge

19.Capacitor
Figure 19.
Figure Capacitorcharging modes:
charging (a) full
modes: (a) charge, (b) partial
full charge, charge,charge,
(b) partial (c) no charge.
(c) no charge.
The three modes of operation are defined [115,116]:
In general, the equivalent resistance of the circuit represented in Figure 18 can be
(1) If T >> Ri Co , that is, when the time interval during which the switch remains on is
defined on
by Equation (11) [118]:
much greater than the time constant of the circuit, the capacitors charge and discharge
completely. Thus, the current becomes zero in each 1 cycle,
e   and then it can be assumed
that the system operates under fullRcharge 
1
condition
 
according to Figure 19a.
eq (11
2 f sbecome
(2) If Ton ≈ Ri Co , the capacitor current does not 
Co 1  zero 
e   and, therefore, the capacitor
is not fully discharged [117]. The converter then operates on a partial charge condition.
where
Theβ is given by Equation
representation (12). in the capacitor is shown in Figure 19b.
of the current
(3) If the switching frequency is very high, that is, if the value of Ton is small in relation to
Ton
Ts , then Ton << Ri Co . Thus, the current in 
the=capacitor is almost zero, and the voltage (12
across it can also be considered constant. In thisi Cmode,
R o the converter operates at no
charge condition according to Figure 19c.
The time constant associated with the circuit is given by Equation (13).
In general, the equivalent resistance of the circuit represented in Figure 18 can be
defined by Equation (11) [118]:   Ri Co (13
+ e− β the on-time of the switch Ton and the


The duty cycle is defined as the ratio1 1between
Req = (11)
2 f s Co 1 − e− β


switching period Ts as in Equation (14):

where β is given by Equation (12). Ton

TonD (14
β= Ts (12)
Ri Co
where
TheTstime
is defined
constantaccording
associatedto Equation
with (15).
the circuit is given by Equation (13).

τ = Ri C 1 (13)
Tso  (15
fs
The duty cycle is defined as the ratio between the on-time of the switch Ton and the
Defining
switching DT=s 0.5,
period as inExpression (11) can be written as Expression (16).
Equation (14):

Ton
D= (14)
Ts
 Energies 2021, 14, 2231 17 of 33

Energies 2021, 14, x FOR PEER REVIEW 17 of 33

where Ts is defined according to Equation (15).

1
Ts = (15)
fs   0.5 

   f 
1  e  s 

Defining D = 0.5, Expression (11) can be written  as Expression  (16).
1  
Req    (16)
2 f s Co (− τ0.5fs )  0.5  
1 + e
1 1  e  f s  
Req =   0.5   (16)
2 f s Co (− τ fs ) 
1−e
Expression (16) is plotted in Figure 20a, where the behavior of the converter equiva-
Expressionis(16)
lent resistance is plotted inasFigure
represented 20a, where
a function the behavior
of product of the converter
τfs. Proper tradeoffs equivalent
must be made
resistance is represented as a function of product · f . Proper
between such parameters to achieve good overall performance. Increasing the
τ s tradeoffs must be made
switching
between such parameters to achieve good overall performance. Increasing
frequency may lead to higher efficiency as observed in Expression (16). However, it is the switching
frequency may lead to higher efficiency as observed in Expression (16). However, it is
worth mentioning that the switching losses and the existence of parasitic inductances and
worth mentioning that the switching losses and the existence of parasitic inductances and
capacitances
capacitances maymayaffect
affectthe
thebehavior
behavior of Rineq practice,
of R in practice,
which which
tendstends to increase
to increase after a after
givena given
eq
point
pointin in the
the curve shownininFigure
curve shown Figure20b20b [119].
[119]. Therefore,
Therefore, the efficiency
the efficiency will bewill be reduced
reduced as as
a aconsequence. This condition depends on the characteristics of
consequence. This condition depends on the characteristics of switches and capacitors switches and capacitors
used
usedininthe
the design, andsuch
design, and suchcomponents
components must
must be wisely
be wisely chosenchosen in practical
in practical applications.
applications.

Req

(b)

(a)

τfs
Figure 20. Behavior of the converter equivalent resistance as a function of the time constant and
switching
Figure frequency:of
20. Behavior (a)the
ideal model; (b)
converter real model.
equivalent resistance as a function of the time constant and
switching frequency: (a) ideal model; (b) real model.
Performing an analysis in terms of β and Ton , the output resistance of the converter
can be estimated as follows:
Performing an analysis in terms of β and Ton, the output resistance of the converter
(1) If β > 1, the converter operates in full charge mode, where Ton > 5τ, while the output
can be estimated as follows:
resistance depends on the inverse of the product of fs and Co . In other words, the
(1) Ifresistances
β > 1, the of the switches
converter and capacitors
operates represented
in full charge mode, Ri has little
bywhere Ton >influence
5τ, while onthe
the output
converter behavior.
resistance depends on the inverse of the product of fs and Co. In other words, the
(2) resistances
If β = 1, theof
capacitors operate
the switches andin partial charge
capacitors mode and the
represented byoutput
Ri has resistance of the on the
little influence
converter depends on Ri , Co , and fs .
converter behavior.
(3) If β < 1, the converter operates in no charge mode. In this case, it is possible to employ
(2) Ifvery
β = 1, the switching
short capacitorstime
operate in partial
intervals comparedcharge mode
to the and
circuit theconstant.
time output resistance
Thus, the of the
converter depends
output resistance of on
theRconverter
i, Co, andisfsvery
. dependent on Ri and D.
(3) IfTable
β < 1,4 the converter operates in no charge
presents a comparison among the operation mode.modes
In this
ofcase, it is possible to employ
SC converters.
very short switching time intervals compared to the circuit time constant. Thus, the
output resistance of the converter is very dependent on Ri and D.
Table 4 presents a comparison among the operation modes of SC converters.
 Table 4. Operation modes of SC converters.

Operation Mode Time Constant β Variation of

Energies 2021, 14, 2231 18 of 33 1
Full charge Ton >> RiCo β>1 2 f sCo
1
Partial charge ,
Table 4. Operation modes of SC converters. Ton ≈ RiCo β1 2 f s Co

Operation Mode Time Constant of Req Ts Ri

No charge Ton << RiCo β β < Variation
1 Ri =
Ton D
Full charge Ton >> Ri Co β>1 1
2 f s Co
Partial charge Ton ≈ Ri Co β≈1 β, 2 f1s Co
3.3. Voltage Balance
No charge Ton << Ri Co β<1 Ri TTons = RDi
SCs rely on the principle that the energy stored in a given element is transf
3.3. Voltagewhile
another, Balancethe capacitors can be associated in series or in parallel depending
SCs rely on the
configuration. Of principle that thedifferences
course, small energy stored in aexist
will giveninelement is transferred
the rated to
capacitances even
another, while the capacitors can be associated in series or in parallel depending on the
ponents with the very same specifications are used. In most SC converters, the
configuration. Of course, small differences will exist in the rated capacitances even if
transfer occurs
components in very
with the equivalent circuits represented
same specifications by the
are used. In most parallel association
SC converters, the energy of cap
A given capacitor C previously charged with a voltage V transfers
transfer occurs in equivalent circuits represented by the parallel association of capacitors.
i Ci energy to
A given capacitor
capacitor Ci previously
Co, which charged or
has no charge with
a smaller VCi transfers
a voltage amount energy to
of charge another to th
according
capacitor C , which has no charge or a smaller amount of charge according
shown in Figure 21. It is worth mentioning that a given series resistance
o to the circuitRi also
shown in Figure 21. It is worth mentioning that a given series resistance Ri also exists in
practice owing to capacitors Ci and Co, as well as to the active switches.
practice owing to capacitors Ci and Co , as well as to the active switches.

Ri S

+ +
Ci VCi Energy VCo Co
– –

Figure 21. Circuit representing the energy transfer between two capacitors.
Figure 21. Circuit representing the energy transfer between two capacitors.
The series resistance is neglected a priori in the forthcoming analysis. Thus, the total
The
amount series in
of charge resistance
the circuit is
Qt neglected a priori (17):
is given by Equation in the forthcoming analysis. Thus,
amount of charge in the circuit Qt is given by Equation (17):
Qt = QCi + QC o (17)
t Q  Q Q
Ci
where QCi and QCo are the charges stored in capacitors Ci andCCo
o , respectively.
Since charge balance is supposed to occur, the initial charge Qi must be equal to the
where QCi and QCo are the charges stored in capacitors Ci and Co, respectively.
final charge Qf according to Equation (18).
Since charge balance is supposed to occur, the initial charge Qi must be equ
final charge Qf according to Equation
Q f =(18).
Qi (18)

Q f  Qi
Considering this condition, Expression (19) is valid:

VCi Ci + VCo
Considering this condition, Co = Vf Ci +(19)
Expression Vf Cois valid: (19)

where VCo is the initial voltage across capacitor CoV; Co

VCi C i  andC oVf isV the final value assumed by the
f Ci  V f Co
equilibrium voltage.
whereThus,
VCoitis
is the
possible to obtain
initial voltageVf from Expression
across capacitor (19)Cas o; in Expression
and Vf is the(20).
final value assume
equilibrium voltage. V Ci + VCo Co
Vf = VCi
Thus, it is possible to obtain f from
(20)(20).
Ci + CExpression
o
(19) as in Expression
VCi Ci  VCo(19)
If Co is initially discharged, then VCo = 0 and Expression Co becomes (21).
Vf 
Ci  Co
VCi Ci = Vf Ci + Vf Co (21)
If Co is initially discharged, then VCo = 0 and Expression (19) becomes (21).
VCi Ci  V f Ci  V f C o
Energies 2021, 14, 2231 19 of 33

Thus, Expression (22) results.

 
Ci
Vf = VCi (22)
Ci + Co

The behavior of the voltages across the capacitors does depend on the charge mode
as shown in Figure 19. On the other hand, the rated value of the equilibrium voltage
achieved when one capacitor transfers charge to another depends on the capacitances,
which may vary in practical conditions owing to distinct factors, e.g., aging, temperature,
among others. If VCi remains constant while considering distinct combinations of Co and
Ci , it is observed that the equilibrium voltage changes when the capacitances are not the
same. Another important issue is the fact that the value of Ri does not affect the value
assumed by Vf , but only the time constant of the circuit. This aspect also becomes evident
in Section 3.4, where it is demonstrated that Ri does not affect the conversion efficiency
during the charge cycle.

3.4. Efficiency
There are many works dedicated to analyzing the variables that influence the efficiency
of SC converters. Some studies point out the constructive characteristics of capacitors [120],
the intrinsic resistance of switches [121], or even a combination of both as the main factors
responsible for affecting this behavior [122]. Other aspects are also brought up, such as the
voltage conversion ratio and the charge regime, that is, full charge or no charge [123].
As previously mentioned, in each cycle when in full charge mode, the capacitor
discharges fully. For a circuit in which the capacitor is initially discharged, the maximum
theoretical efficiency achievable is 50% according to Equation (23). As the initial voltage on
the capacitor increases, the efficiency also does. The same behavior occurs when operating
with partial charge, and the efficiency does not depend on the resistance of the switches
and capacitors according to Equation (24). The charging process is affected only by the
initial and final values of the capacitor voltage. Therefore, the greater the voltage variation,
the lower the efficiency during the charge cycle. The increase of the resistances in series
with the capacitors during the charge cycle only modifies the time constant, but it does not
affect the efficiency itself. An increase in such series resistances during the charge cycle
decreases the peak current and, at the same time, increases the charge time. Thus, the
efficiencies under full charge and partial charge conditions are given by η FC and η PC in
Equations (23) and (24), respectively.
 
1 V
η FC = 1 + initial (23)
2 Vi

Vinitial + Vf inal
 
1
ηPC = (24)
2 Vi
where Vinitial and Vfinal are the initial and final values of the capacitor voltage, respectively.
During the discharge cycles, the efficiency can be estimated in at least three different
ways: capacitor discharging in a resistance; capacitor discharging into another capacitor;
and capacitor discharging into a parallel RC circuit.
For the first case, the efficiency is given by (25):

RL
nR = (25)
R L + Ri

where RL is the resistance on which the capacitor is discharged. It is observed that the
lower the series resistance, the higher the circuit efficiency. Thus, it is interesting to know
the parameters presented in Tables 1 and 3.
However, for the capacitor discharge in another capacitor, the efficiency can be esti-
mated in two ways that depend on the operation mode in which the circuit works, that is,
 mated in two ways that depend on the operation mode in which the circuit works,
Energies 2021, 14, x FOR PEER REVIEW
full charge or no charge. As an example, Figure 21 shows the circuit used in the an
whose waveforms in Figure 22 represent the moment after which switch S is turne
Energies 2021, 14, 2231 20 of 33
v(t) However, for the capacitor discharge in another capacitor, the efficiency can
V Ci
mated in two ways that depend on the operation mode in which the circuit works,
full charge or no charge. As an example, Figure 21 shows the circuit used in the a
full charge or no charge. As an example, Figure 21 shows the circuit used in the analysis,
whose waveforms in Figure 22 represent the moment after which switch S is turne
whose waveforms in Figure 22 represent the moment after which switch S is turned on.
Vf
v(t)
VCi
VCo t (s)
0
Vf 22. Waveforms representing the discharge of one capacitor into another capacitor in
Figure
charge mode.

VCo As previously mentioned, capacitor Ci is initially t (s) charged with voltage VCi, w
0
capacitor Co is completely discharged. Thus, a charge balancing occurs so that at t
of the 22.
Figure
Figure process, the representing
22. Waveforms
Waveforms voltage onthe
both
representing thecapacitors
discharge becomes
of one capacitor
discharge of intonearly
one capacitoranotherbalanced
anotherinand
capacitor
into full equal
capacitor in
charge
if mode.
the capacitances are equal to each other. Therefore, the voltages across Co and
charge mode.
increased and decreased,
As previously mentioned,respectively, asinitially
capacitor Ci is the efficiency
charged can
withbe calculated
voltage according to
VCi , whereas
tion As previously
(26).
capacitor mentioned,
Co is completely discharged.capacitor
Thus, a chargeCi isbalancing
initiallyoccurs
charged
so thatwith
at thevoltage
end of VCi, w
the process, the voltage on both capacitors becomes nearly
capacitor Co is completely discharged. Thus, a charge balancing occursbalanced and equal to VCiso/2that at t
if the capacitances are equal to each other. Therefore, V fthe
 Vvoltages
Co across Co and Ci are
of the process, the voltage on both capacitors nFC  becomes nearly balanced and equal
increased and decreased, respectively, as the efficiency V f can
VCi be calculated according to
ifEquation
the capacitances
(26). are equal to each other. Therefore, the voltages across Co and
increased and decreased,
Considering respectively,
a capacitor Vas
dischargingf +the efficiency
VCointo anothercan capacitor,
be calculated butaccording
in partialto
n FC = (26)
tion (26).
mode, a similar analysis can be performed. Vf + VCi
Now, the capacitor Ci initially charge
VCi isConsidering
discharged a capacitor discharging
into another into another
capacitor until capacitor,
V f  VCo but
reaching in partial
VCi(min) charge
. In this mode,
way, the capa
a similar analysis can be performed. Now,
charges from a minimum voltage VCo to VCo(max) then 
capacitor C initially charged with V is
V ,f and then the cycle is interrupted.
FC i Ci
discharged into another capacitor until reaching VCi(min) . VInCi this way, the capacitor Co
havior of the capacitor voltages in this case is shown in Figure 23. The efficiency
charges from a minimum voltage VCo to VCo(max) , and then the cycle is interrupted. The
type Considering
of discharge
behavior a capacitor
cycle
of the capacitor discharging
can beingiven
voltages intoinanother
byisEquation
this case shown (27): 23.capacitor,
Figure The efficiency but in partial
of this
mode, a similarcycle
type of discharge analysis
can becan bebyperformed.
given Equation (27):Now, the capacitor Ci initially charge
VCo max   VCo
VCi is discharged into another capacitor n until
 reaching VCi(min). In this way, the capa
PC ) + VCo
VCo(max
charges from a minimum voltage VCi , and
n PC = VCo to VCo(max) VCi  minthen
 the cycle is interrupted.
(27)
VCi + VCi(min )
havior of the capacitor voltages in this case is shown in Figure 23. The efficiency
where
whereofV
type Vdischarge
Co(max) is the maximum
maximum
Co(max) is thecycle can be voltages
voltages
given on on capacitor
bycapacitor
Equation Co;Vand
Co ;(27):
and VCi(min) is the minimum
Ci(min) is the minimum
on capacitor
voltage Ci. Ci .
on capacitor
VCo max   VCo
v(t)
n PC 
VCi
VCi  VCi  min 

where VCo(max) is the maximum voltages on capacitor Co; and VCi(min) is the minimum
onVCi
capacitor
(min) Ci.
VCo(max)
v(t)
VCi
VCo t (s)
0

Figure
Figure 23. Waveforms
VCi(min)23. representing
Waveforms representing a capacitor
a capacitor discharging
discharging into another
into another capacitor
capacitor in partialin partia
VCo
charge
mode. mode.
(max)

A third possibility is the discharge of a capacitor in a parallel RC circuit, as shown

A third possibility is the discharge of a capacitor in
VCo 24. In this case, there is a capacitor Ci charged with
a parallel RC circuit, as sh
in Figure t (s) an initial voltage VCi , to
Figure 0
which a24. Inresistance
series this case,Ri there is a capacitor
is connected, Ci charged
corresponding to the sumwith anresistances
of the initial voltage
of the VCi, to
switch
aFigure and
series23. the capacitors.
resistance
Waveforms Ri is The load
connected,
representing R is associated
Lacorresponding in parallel with
to theinto
capacitor discharging a capacitor
sumanother C , which
of the resistances
o
capacitor in of the
partia
mode.

A third possibility is the discharge of a capacitor in a parallel RC circuit, as sh

Energies 2021, 14, x FOR PEER REVIEW
Energies 2021, 14, x FOR PEER REVIEW

Energies 2021, 14, 2231 21 of 33

and the
and the capacitors.
capacitors. TheThe load load RRLL isis associated
associated in in parallel
parallel with
with aa capacitor
capacitor CCoo,, whic
whic
tiallydischarged.
tially discharged. Thus, Thus,the thedischarge
discharge occurs
occursinintwo
twoevents.
events. AtAt first,
first, the
thecharge
charge of of ca
ca
is initially discharged. Thus, the discharge occurs in two events. At first, the charge of
CC i is divided between Co and RL. When the charge between the two capacitors is ba
i is divided between Co and RL. When the charge between the two capacitors is ba
capacitor Ci is divided between Co and RL . When the charge between the two capacitors is
both
both start
start supplying RRLL until
supplying until they
they areare completely
completely discharged,
discharged, as represented
represented in Fi
balanced, both start supplying RL until they are completely discharged, asas represented in in Fig
At
At each
each
Figure stage,
25.stage,
At each there
there isthere
stage,is aa different
different expression
expression
is a different expression for
for the
forthe efficiency.
the efficiency.
efficiency.

Rii
R SS

++ ++
Ci
Ci VCi
VCi VCo
VCo Co
Co RLL
R
–– ––
Figure 24.Circuit
Figure 24.
Figure 24. Circuit
Circuit representing
representing aa capacitor
capacitor
a capacitor
representing discharging
discharging into
into a parallel
discharging into aacircuit.
RC parallel RC
parallel RC circuit.
circuit.

v(t)
v(t)
VCi
VCi

VCi(min)
VCi(min)
Vf transition between the stages
Vf transition between the stages
VCo(max)
VCo(max)

VCo t (s)
VCo t (s)
0
0
Figure 25.Waveforms
Figure 25.
Figure 25. Waveforms
Waveforms representing
representing aa capacitor
capacitor
a capacitor
representing discharging
discharging into
into a parallel
discharging RCaa
into parallel RC
circuit.
parallel RC circuit.
circuit.

InInthe first
the stage,
first the efficiency
stage, can be given
the efficiency
efficiency can be by given
be Equation by(28).
Equation (28).
(28).
In the first stage, the can given ! by Equation
VC o(max) + VCo
η1 =
V CiVVCCoo(max)
f 1+V
VVCo 
(max) 
Co 
(28)
1   V  V 
 V ff  VCiCi 

In the second stage, the efficiency can be estimated by Equation (29). 
In the
In the second
second stage,
stage, the
the efficiency
efficiencyRcan
can be
be estimated
estimated by
by Equation
Equation (29).
(29).
L
η2 = (29)
R L + Ri
R
 2  RLL
RRL  RRi must also be considered,
In this analysis, the switching losses in the semiconductors
2
L i
although they have not been incorporated in the previous expressions. This is justified
because In this analysis,
adequately the
quantifyingswitching
them dependslosseson in
thethe semiconductors
intrinsic
In this analysis, the switching losses in the semiconductors must characteristics of must
eachalso
type be con
also be cons
of switch.
although theyIn the case
they have of MOSFETs,
have not not been the increase
been incorporated in
incorporated inthe switching
in the frequency
the previous has
previous expressions.direct impact
expressions. This This is
is j
although
on the switching losses as shown in Equation (4) [18,113]. On the other hand, when the
because adequately
because adequately quantifying them them depends
depends on on the
the intrinsic
intrinsic characteristics
characteristics of ea
switching frequency is quantifying
increased, the voltage ripple is reduced. With a smaller voltage of ea
of
of switch.
switch.
variation, Inefficiency
In
the the case
the caseincreases
of MOSFETs,
of MOSFETs,
according the
the increase in
to increase
Expressions in(23),
the(24),
the switching
switching frequency
frequency
(26)–(28). has di
Thus, it is has di
pact
up toon
pact on the
thethe switching
designer losses
to carrylosses
switching as shown
shown
out a detailed
as in Equation
analysis
in Equation
regarding (4) (4) best
the [18,113]. Onpoint
operation
[18,113]. On the other
the other hand
for hand
the circuit.
the switching
switching frequency
frequency is is increased,
increased, the the voltage
voltage ripple
ripple is is reduced.
reduced. With With aa smaller
smaller
the Analyzing the behaviorincreases
of capacitors operatingtoinExpressions
no charge, partial charge, and
variation,
variation, the efficiency
the efficiency increases according
according to Expressions (23), (24),
(23),valid
(24),for(26)–(28).
(26)–(28). Th
Th
full charge modes, it is reasonable to state that this methodology becomes any
up
up to the
to
converterthetopology
designer
designer to carry
to
becausecarry out aa detailed
out
the operating detailed
principle analysis
analysis regarding
regarding
of SC circuits the best
the
is essentially best operation
operation
based on pp
the
the circuit.
the charge
circuit. transfer from one element to another.
Analyzing the behavior of capacitors operating in no charge, partial charge,
Analyzing
3.5. Regulation and the behavior of capacitors operating in no charge, partial charge, a
Control
charge modes,
charge modes, itit is
is reasonable to to state
state that
that this
this methodology
methodology becomes
becomes valid forfor aa
In this section, thereasonable
most common control techniques applicable to SC convertersvalid
are
verter topology
verter topology because
because the the operating
operating principle
principle ofof SC
SC circuits
circuits is
is essentially
essentially based
based
discussed since there is a significant voltage decrease when the load is connected to the
charge
charge
output of transfer
transfer from
from one
such structures. one element
element
The to another.
simplesttoway
another.
to increase the voltage gain in the case of

3.5. Regulation
3.5. Regulation andand Control
Control
In this
In this section,
section, the
the most
most common
common control
control techniques
techniques applicable
applicable to
to SC
SC conver
conver
discussed since there is a significant voltage decrease when the load is connecte
Energies 2021, 14, 2231 22 of 33

reducing the output voltage is to associate more cells in series. However, the higher the
component count, the greater the series resistance in the circuit and, consequently, the
lower the efficiency. A problem that can occur is the accuracy of the regulation capacity, as
the connection of a second stage can excessively increase the output voltage.
Another solution that has less impact on efficiency is the achievement of voltage
regulation using pulse width modulation (PWM) [124–126]. This technique is widely used
to control the output voltage in the conventional buck, boost, and buck-boost converters.
In SC circuits, this operation mode is divided into two stages per cycle. In the first stage,
the capacitor is charged, and the duty cycle can assume values between 0 < D < 0.5. In
the second stage, the capacitor is connected to the load, and its discharge process begins.
This situation is repeated during each cycle. It should be noted that when the duty cycle
approaches zero, the voltage ripple increases and, consequently, the input current peaks
increase [127].
Another strategy presented in the literature is the interleaved connection of cells [128].
However, this arrangement may or may not work with overlapping phases [128,129].
The main advantage lies in the fact that this method reduces the output voltage ripple,
providing not only voltage regulation, but also an improvement in efficiency. However,
as mentioned, it should be considered that a greater number of components causes an
increase in losses. An advantage of this technique is the possibility of increasing the power
levels considering that the current is shared among the interleaved cells.
The pulse frequency modulation (PFM) control technique is also well known in
electronics. The advantage of this strategy lies in the simplicity of producing a variable fre-
quency signal from monitoring the output voltage or output current. This signal increases
the switching frequency according to the load current [130,131]. However, this technique
does not guarantee reduced voltage ripple under heavy load conditions [132]. Another
important point is that, when MOSFETs are used, increasing the switching frequency can
increase switching losses according to (4).
A prominent control technique that takes advantage of the MOSFET transconductance
is called quasi-switched capacitor (QSC). This strategy was formerly introduced in [133]
as a new SC cell. Subsequent work used this concept in a somewhat obscure way while
adopting the terms “QSC cell” and “QSC control”. However, it can be regarded as technique
for controlling the gate-source voltage in a MOSFET. When operating in the active region,
that is, in the triode region, the drain current is proportional to the gate-source voltage [134].
If the MOSFET always operates in that region, the drain current can be controlled. The
main difference in relation to the other techniques mentioned above is that the input
current waveform does not change during the charge stage, while in other cases, there
are short-term current peaks. In this way, this allows to reduce the current stresses on the
switches and prevents the occurrence of conducted EMI. This control approach does not
affect the converter efficiency, because, according to Expressions (23) and (24), the efficiency
during the charge stage is dependent only on the difference between the voltage on the
capacitor in charging process and the source voltage.

3.6. Comparison among SC Topologies

The existing SC topologies are very similar to each other in terms of constructive
aspects, although they may differ with respect to the voltage gain, number of components,
and stresses. The component count associated with the capacitors and switches required
by a given basic cell is shown in Table 5 for a generic number of cells N = 1, 2, 3, . . . .
Besides, F(N − 1) is the (N − 1)-th Fibonacci number, where F(0) = F(1) = 1. It is also worth
mentioning that Table 5 summarizes the main characteristics of basic topologies used in
the conception of SC dc-dc converters, which can assist the designer in choosing which
configuration is more adequate for a given application.
Energies 2021, 14, 2231 23 of 33

Table 5. Comparison among SC topologies.

Parameters SCVD SPC SPMC Dickson FC Ladder *

Capacitors N N 3N 2N N 2N
Switches 4N 3N 3N 2N 3N 2N
Maximum voltage on the
2( N −1) Vi Vi Vi NVi F ( N − 1)Vi Vi
capacitors for N-th cell
Maximum voltage on the
2( N −1) Vi NVi NVi Vi F ( N − 1)Vi Vi
switches for N-th cell
* Boost mode.

It is observed that the voltage stresses on the capacitors increase as more cells are
added to extend the conversion ratio in the SVCD and FC configurations. The maximum
voltage stress on the active switches is constant and equal to the input voltage Vi in
the Dickson and ladder converters, which makes them proper choices for applications
involving high output voltages. The current stresses cannot be estimated in a such a simple
manner because they do not depend only on the characteristics of the load connected to
the converter, but also on the charge modes of the capacitors, which were discussed in
Section 3.2.
SC circuits operating in full charge mode present high short-term current peaks, which
occur when the capacitors are charged. The maximum value of the charging current must
be taken into account carefully because it may damage the switch. Besides, the pulsating
nature of the input current may lead to the increase of conducted electromagnetic emissions.
Operation at high frequencies and/or the use of high capacitances to ensure the full charge
or no charge condition are possible solutions that allow for mitigating such undesirable
problems. The QSC is a control approach that can be used for this purpose as well as
explained in Section 3.5. It allows obtaining a nearly continuous input current, thus causing
the current stresses on the switches to be reduced as a consequence. Interleaved converters
are also less susceptible to the undesirable effects caused by the voltage ripple on the
capacitors as discussed in Section 3.5.

4. Applications
Conventional SC converters are widely used in practice, mainly at low power levels
and when high power density is desired [35]. Such characteristics make them quite
attractive for specific applications involving embedded electronic systems, biomedical
equipment, energy harvesting, and general-purpose microelectronics. In this context, it
is worth mentioning that some modern portable electronic devices have very low power
consumption. For instance, smartphones consume approximately 1 W, while cardiac
pacemakers consume 50 µW [135].
Several studies have discussed the relevance of using the available energy in the
environment where a device or equipment is placed. Various forms of energy can be
harvested and converted into electrical energy to power the aforementioned devices.
Photovoltaic solar energy is a typical example [136–140], but other more unusual sources
can be considered, such as pyroelectric [141–143] and blood sugar [144–146].
Regardless of the source, the applicability of SC converters in these cases has also
drawn the attention of researchers in the case of other low-power applications [147–150].
Its use in the supply of sensors or very-low-power circuits is also possible, precisely in
conditions in which space is limited [151–155].
Hybrid vehicles, which combine fossil fuels and energy storage devices such as
supercapacitors and batteries, also constitute a favorable scenario for the use of SC convert-
ers [156,157]. In this case, the topologies can be employed to increase the voltage across
the batteries and also to control the bidirectional power flow [47,158] aiming at the energy
management and charge of the batteries [159–163]. Owing to the small size, one can even
consider the integration of the whole set to the battery system itself as a consolidated
solution.
Energies 2021, 14, 2231 24 of 33

SCVDs are often reported in the literature for applications rated at some milliwatts,
which include electrically-erasable programmable read-only memories (EEPROMs), very
large-scale integration (VLSI) systems VLSI [164,165], energy harvesting [152,154,166,167],
and liquid crystal display (LCD) technology [168,169].
This technology can be used to supply electronic circuits such as operational amplifiers
and analog-to-digital (A/D) converters, since this is the only type of SC configuration
available in the form of commercial ICs. Table 6 shows some voltage doubler ICs available
on the market, which are rated at low output currents and low input voltages.
SPC structures can be configured more simply with an array of encapsulated capacitors
aiming at a wide range of options not only in series to increase the gain, but also in parallel
to decrease the current ripple [170]. Existing applications are reported in a smaller number
of publications owing to the control complexity. Among them, some circuits are proposed
for energy harvesting in [150,151,153,171] and biomedical systems [172]. Since the SP
topology is very versatile with respect to the voltage gain, the output voltage may remain
constant even when there are large variations in the input voltage.
The Dickson converter was one of the first structures developed for practical applica-
tions involving memories [173–176]. The evolution of existing circuits is mainly concerned
with the increase of energy density and efficiency. Some devices can even be integrated
with the same memory chip [120,177].
The FC is similar to the SPC, but it requires a larger number of switches and capacitors.
An emergency power supply for a computer system based on this structure was proposed
in [178] as an emerging application, but LCD drivers can also be found in [179,180].
The ladder topology is also adequate for some specific applications, even though it
is not very often used in DC-DC power conversion when compared with its remaining
counterparts [181,182]. Among the topologies presented, this is the one with the highest
efficiency and versatility. In experimental tests, the efficiency can be greater than 90% with
low voltage ripple even at power levels on the order of 1 kW [183]. Thus, this is the only
promising topology developed so far for high-power applications, while the others are
only feasible at low power levels [170].

Table 6. Parameters of SCVD ICs.

IC Vi (V) Io (mA) ηmax (%)

MAX660 [180] 1.8 to 5.5 100 88
LM2660 [184] 2.5 to 5.5 100 88
LM2685 [185] 2.85 to 6.5 50 80
MAX1680 [186] 2 to 5.5 5 90
MAX860 [187] 2 to 5.5 50 87
LT1054 [188] 3.5 to 15 100 NA
LM2665 [189] 2.5 to 5.5 40 90
LM2767 [190] 1.8 to 5.5 15 96
ADP3610 [191] 3 to 3.6 320 90
TCM828 [192] 1.5 to 5.5 25 95
GS7660 [193] 3 to 6 200 98

5. Conclusions
SC converters have drawn significant attention from academia and industry recently
owing to their prominent characteristics associated with high energy density and low EMI
levels in DC-DC, DC-AC, AC-DC, and AC-AC conversion. Considering that many hybrid
SC topologies composed of capacitors, semiconductors, and inductors have been reported
in the literature, this work has been specifically concerned with a general review of impor-
tant concepts associated with “pure SC” DC-DC converters. The existing configurations
were analyzed in detail, while a brief explanation on voltage multipliers was also included,
considering that some structures are derived from such popular circuits used in low-power
ac-dc power conversion.
Energies 2021, 14, 2231 25 of 33

It should be noted that pure SC converters employ only semiconductors and capacitors.
Thus, it is reasonable to state that a successful design relies on the careful choice of such
components, whose characteristics and impact on overall performance could be addressed
in detail. Among controlled switches, MOSFETs are most used in practice owing to their
ability to operate at high frequencies. In this context, the characteristics of required parts
have an important role aimed at the increase of the converter efficiency. The capacitors,
which are also a fundamental part of the circuit design, were analyzed in terms of the main
characteristics of different types of technologies found on the market, such as film, ceramic,
and electrolytic. It is worth mentioning that capacitors have direct impact on the converters
size, while both the ESL and ESR limit the maximum operating frequency of the circuit.
During the design stage, it is very important to know inherent characteristics in
operation modes of SC converters. Essentially, there are three distinct modes, each of which
has a different impact on the circuit performance in terms of efficiency and regulation.
From the previous knowledge of the intrinsic resistances of both capacitors and switches,
it is possible to define a proper time constant aimed at achieving an adequate operating
frequency for the converter. This aspect is also directly associated with the behavior of the
output resistance of the circuit, which is inversely proportional to the conversion efficiency.
The control and voltage regulation techniques for SC DC-DC converters are still
reported in a smaller number in the literature compared to those dedicated to the classic
isolated and non-isolated DC-DC converters. Thus, this work was dedicated to the detailed
analysis of the existing strategies for regulating the output voltage and obtaining reduced
high-frequency ripple, since these aspects directly influence the efficiency significantly.
The classic control approach is based on PWM, but other techniques may also lead to
good overall performance, e.g., PFM, especially because the duty cycle has little influence on
the output voltage depending on the operation mode. The use of interleaved structures also
provides good output voltage regulation and high efficiency due to the ripple minimization.
Other more complex solutions, e.g., QSC, can also be used, with special concern to the
reduction of the current peaks due to the operation of MOSFETs in the triode region.
Typical low-power applications of SC converters include general-purpose ICs, memo-
ries, and also energy harvesting for biomedical equipment owing to inherent high energy
density. Considering the low efficiency typically achieved by SC structures in high-power
applications, few publications are dedicated to the conception of power electronic con-
verters based on capacitors and semiconductors only, i.e., without using inductors and
transformers. However, more recently, the attention of many researchers has turned to
the development of prominent structures for higher power levels. In this scenario, the
efficiency analysis of SC converters considering the operation modes associated with the
charging and discharging of capacitors is of major importance. It is also noteworthy that
the ladder structure is an attractive solution for the development of power converters rated
on the order of a few units of kilowatts.
Despite the apparently reduced complexity of the topologies, the design procedure
must consider many variables. The characteristics of semiconductors and capacitors can
drastically reduce the circuit efficiency if adequate components are not chosen. Another
important aspect is the fact that the control methods are relatively complex, and do not act
so responsively in the output voltage.
Even in the face of all the difficulties encountered in the development of these circuits,
several modern applications highlight the great application potential of SC converters.
Considering the constant search for miniaturization of electronic devices and the growing
use of system on chip (SOC) type ICs, the topologies in question are among the main
solutions that can be fully integrated into a single chip, since inductors do not allow that
feature.
Energies 2021, 14, 2231 26 of 33

Author Contributions: Conceptualization, F.L.T. and E.R.R.; methodology, investigation, writing—

original draft preparation, A.F.d.S. All authors have read and agreed to the published version of the
manuscript.
Funding: This research was funded by the Federal University of Itajubá.
Data Availability Statement: Data available on request from the authors.
Acknowledgments: The authors acknowledge CAPES, CNPq, FAPEMIG, and INERGE for the
overall support to this work.
Conflicts of Interest: The authors declare no conflict of interest.

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