IEEE TRANSACTIONS ON INDUSTRY APPLICATIONS, VOL. 30, NO.

2, MARCWAPRIL 1994

485

Estimation Methods for Power System Harmonic

Effects on Power Distribution Transformers
Gregory W. Massey, Member, IEEE

Absfracf- This paper introduces a conservative method of

estimating the composite harmonic current generated by the
operation of multiple linear and non-linear loads connected to
a single power distribution transformer. The author draws upon
the information available from industry and proposes an intuitive
expansion of the currently available K-Factor calculatio? The
proposed expansion provides a useful tool in specifying power
distribution transformers for operation in a non-sinusoidal load
environment. Note: The views expressed in this article do not
necessarily represent the views of the United States of America
or the U.S. General Services Administration.

the National Electrical Code and Underwriters Laboratories

requirements. The author proposes an expansion of this acceptable estimation method that incorporates multiple harmonicgenerating loads connected to a single transformer. The author
also addresses the requirements of the National Electrical Code
along with the Underwriters Laboratory listing and labeling
requirements for dry-type power distribution transformers.
11. MODERNMETHODSOF HARMONIC
LOADCONTENT
ESTIMATION

I. INTRODUCTION
ITH THE ever-increasing use of electronic office
equipment, such as personal computers, laser printers,
and photocopiers, that utilize non-sinusoidal power supplies, the typical Delta-Wye connected power distribution
transformer is being subjected to excessive internal heating.
The distorted current waveform, rich in harmonics, produces
additional heating in the transformer core and coils. This nonlinear load heat factor, along with the normal temperature rise
that accompanies transformers under load, causes pre-mature
insulation breakdown and subsequent loss of transformer
longevity.
The transformer manufacturer response to these heating
problems has been to redesign the power distribution transformer. This new generation of transformers designed for
operation in a non-sinusoidal load environment minimizes the
eddy-current losses. Design changes to minimize losses include enlarging the primary winding to withstand the inherent
triplen harmonic circulating currents, doubling the secondary
neutral conductor to carry the triplen harmonic currents, designing the magnetic core with a lower normal flux density
by using higher grades of iron, and using smaller, insulated
secondary conductors wired in parallel and transposed to
reduce the heating from the skin effect and associated AC
resistance [ 5 ] .
Several methods of estimating the additional heat created
by non-sinusoidal loads are available to electrical designers,
but only one method portrays the effects of individual harmonic currents. This paper examines these available methods
and asserts that only one is acceptable for compliance with
Paper ICPSD 93-33, approved by the Rural Electric Power Committee
of the IEEE Industry Applications Society and presented at the 1993 Rural
Electric Power Committee Technical Conference. Manuscript approved for
publication August 11, 1993.
The author is with the United States General Services Administration,
Public Buildings Service, Design and Construction Division, Kansas City,
MO 64131-3088 USA.
IEEE Log Number 9216406.

Presently, three methods of estimating harmonic load content are practiced. The Crest-Factor and Harmonic Factor, or
Percent Total Harmonic Distortion, (%THD), are the two most
common methods of harmonic estimation. The third method,
the K-Factor, is the most complex, but the most meaningful.
The following is a brief introduction into these three methods
and an explanation of the accuracy and usefulness of each.
A. Crest Factor

The most simple harmonic estimation technique is the

Crest Factor. The crest factor gained popularity in 1988
when The Computer and Business Equipment Manufacturers
Association, CBEMA, issued an informational letter regarding
non-linear load harmonic problems and power quality [2, 31.
The crest factor is a measure of the peak value of the
waveform compared to the true RMS value. A perfect sine
wave, by definition, will have a crest factor of 1.414. The
mathematical definition of the crest factor is the peak magnitude of the current waveform divided by the true RMS value
of the current:
Peak
Crest - Factor =
True - RMS
The logic behind this equation is that any deviation from
1.414 represents a distorted waveform. As will be illustrated
later, this estimation technique is limited because harmonic
frequencies are not considered.

B. %THD
The %THD is a ratio of the root-mean-square (RMS) value
of the harmonics to the RMS value of the fundamental. In
equation form, the definition of %THD is

%THD is a measure of the additional harmonic current contribution to the total RMS current. It is derived from a similar

0093-9994/94$04.00 0 1994 IEEE

IEEE TRANSACTIONS ON INDUSTRY APPLICATIONS, VOL. 30, NO. 2, MARCWAPRIL 1994

486

equation for total voltage waveform harmonic distortion found

in [4], where it appears as a definition. Reference [4] provides guidance for the total voltage waveform distortion from
converters permitted on the supply side of power distribution
systems.
The distortion factor for voltage is explained as being used
to define the effect of harmonics on the power system voltage
[4]. Thus, %THD is used to measure the distortion of the
current waveshape due to harmonics. This equation is also
limited because harmonic frequencies are not considered.
C. Limitations of Crest Factor and %THD

Transformer winding eddy-current losses increase in proportion to the square of the load current and the square of
the frequency [ 11. It is this exponential characteristic that
results in tremendous heat in transformers supplying nonsinusoidal currents and causes abnormal winding temperature
rise. In order to accurately model the additional heating that
harmonic loads generate within transformers, the frequency of
the harmonics must be considered.
The crest factor is the ratio of the current peak magnitude
divided by the true RMS current magnitude. It is a measure of
waveform distortion, or waveform variance from the expected
value of 1.414. The %THD is, by definition, a measure of
current waveform distortion. Both the crest factor and the
%THD are useful when initially establishing whether harmonic
current distortion is present. But because harmonic frequency
is not taken into consideration, these two estimation techniques
are not adequate when specifying equipment for operation in
a harmonic load environment.
In order to model the exponential heating effects of harmonic load currents, frequency must be considered [6]. The
K-Factor is the only harmonic content estimation technique
available that takes harmonic frequency into account [6].
D. K-Factor

The K-Factor calculation considers the important effect that

frequency has on transformer losses. The K-factor is defined
as the sum of the squares of the per unit harmonic current times
the harmonic number squared. In equation form, the K-Factor
is defined as:
(3)
h=l

where Jh(pu) is the harmonic current expressed in per unit

based upon the magnitude of the fundamental current and h
is the harmonic number.
The K-factor considers the effect of harmonic current
frequency. The additional heating due to the square of the per
unit harmonic load currents and the square of the harmonic
number is the characteristic that dominates premature breakdown of transformers supplying non-sinusoidal currents due to
abnormal winding temperature rise [ 11. Because the K-Factor
takes frequency into account, it is the most accurate and the
most useful method of estimating non-linear load harmonic
content for the specification of dry-type power distribution
transformers [6].

E. Dificulfies in Using K-Factor

Although the best procedure of the three, the K-Factor is

somewhat difficult to implement for both existing and new
installations. To calculate the K-Factor on an existing power
distribution system, a harmonic analysis must be performed
to determine the harmonic characteristics or fingerprint of
the system. No two systems are identical. Moreover, most
buildings go through a daily cycle with full load during the
day and light loading at night. Some industries have seasonal
cycles, being busier at different times of the year.
It is difficult to obtain an accurate harmonic study because
the load generally is in a constant state of transition. The
analysis should be extended to illustrate the cyclical peaks and
valleys of the harmonic currents over time. Once the harmonic
analysis is complete, the transformer should be designed for
the worst-case harmonics recorded.
For a new distribution system, the job is more difficult.
Often there is no existing equipment upon which to perform
an analysis. The owner should know whether his building will
be used as general office space, as a warehouse, etc. This will
give insight into what types of equipment will be installed.
This information along with the guidance given by [7] will
provide a conservative direction for design.
When the type of equipment is known, the designer should
contact several manufacturers directly and obtain copies of
harmonic analyses performed on that type of equipment. This
approach should help establish an accurate K-Factor for specifying transformers for new installations. Once the harmonic
analyses are obtained, the transformer should be designed for
the worst-case harmonics for that type of equipment.
The problem associated with determining the K-Factor for
a new installation is compounded by the fact that distribution
transformers often supply several types of load. No guidance
exists for this situation. A simple expansion of the K-Factor
calculation provides conservative results when calculating the
K-Factor for differing multiple loads.

111. PROPOSED EXPANSION

OF THE K-FACTOR

The principle behind this adaptation of the K-Factor is using

the K-Factor as a weighted sum[7]. The current waveform
will have different harmonic characteristics due to the presence
of different types of non-linear and linear loads. A weighted
sum approach takes this into account. By considering each type
of load separately, each non-linear heating component can be
considered individually and combined to create a composite
harmonic fingerprint. Thus, a K-Factor transformer can be
specified for any particular application.

A. Development of the Equivalent Harmonic Current

The first step in the modification to the K-Factor calculation
is to develop an index relating K-Factor to harmonic current.
Since the 3rd, 5th, and 7th harmonics represent the first
symmetrical component current terms after the fundamental,
an examination of their usefulness in developing an index for
a K-Factor weighted sum will be helpful [6].

487

MASSEY: ESTIMATION METHODS FOR POWER SYSTEM HARMONIC EFFECTS

a""

p
Y

3
5

2
I 50 0
OI

50

"""I

300

200

100
0
1

13

17

Fig. 1.

0
2

Fig. 3.

Graph of Equation (4),with IEH = I3 and h = 3.

:._:::4
3

11

13

15

17

19

21

23

K FACTOR

Fig. 2. Graph of Equation (4).with IEH = 15 and h = 5.

The equation used to find the values of Equivalent Harmonic

for the three harmonic indices is [6]:
Current, IEH,

IEH
=

25

29

33

37

41

45

Graph of Equation (4).with IEH = 17 and h = 7.

Thus, the following equation can be used as an index of

Equivalent Harmonic Current for most values of harmonic
current generating loads :

200

100 1

21

K FACTOR

K FACTOR

{
E
) (4)
( K - h2)

where IEH
is expressed as Harmonic Amperes, HA, K is the
K-Factor as calculated by Equation (3), and h2 is the square
of the harmonic number. The derivation of this equation is
shown in [ 6 ] .Examining the graphs of Equation (4) will help
to determine which harmonic index can be confidently applied
in determining total harmonic load current of differing loads.
Fig. 1 represents the relationship Equation (4) demonstrates
when h = 3. The 3 r d harmonic index reaches an infinite value
at K = 9 and is undefined for values of K > 9. Since standard
transformer K-ratings are available as high as K-50, the 3rd
harmonic is useless as a harmonic index for several K-Factors
between K = 9 and K = 50.
Fig. 2 represents the relationship Equation (4) demonstrates
when h = 5. The 5th harmonic index reaches an infinite value
at K = 25 and is undefined for values of K > 25. Again,
since standard K-ratings are available as high as K-50, the 5th
harmonic is useless as a harmonic index for several K-Factors
between K = 25 and K = 50.
Fig. 3 represents the relationship Equation (4) demonstrates
when h = 7. The 7th harmonic index reaches an infinite value
at K = 49 and is undefined for values of K > 49. Since the
index cut-off of 49 is approximately the highest available Krating, K-50, the 7th harmonic is a reasonable choice for the
Equivalent Harmonic Current Index. The majority of standard
available K-ratings are governed by the linear portion of the
curve between K = 2 and K = 40. Thus, the 7th harmonic
current index has the most useful relationship with K-Factor
in the development of a weighted sum approach to supplying
multiple non-linear loads with a single transformer [ 6 ] .

IEH
=

{M
(K - 49) x 100

Once the K-Factor for a load has been established, the

Equivalent Harmonic Current can be determined and combined
with other loads as a weighted sum. Thus, multiple harmonic
generating loads can be combined and applied on a single
power distribution transformer.

B. Multiple Harmonic Load Example

The application of this proposed expansion of the K-Factor
can best be illustrated through an example. Suppose that a 150
KVA, delta-wye grounded distribution transformer is required
to supply 30 KVA of K-30 computer mainframe load, 50
KVA of K-4 fluorescent lighting load, and 70 KVA of K-13
electronic office equipment load. The first step is to determine
the K-Factor of each type of load using Equation (3). For this
example, the information is given.
The second step is to determine the Equivalent Harmonic
Current, IEH,for the three types of load. This represents the
equivalent magnitude of the 7th harmonic to generate the same
amount of harmonic heat as a specific K-rated load. Using
Equation ( 5 ) , the IEHfactors are determined to be:

x 100 = 123.54 HA

IEH(K-~
= ~ ) (' - 13) x 100 = 57.74 HA
~

(13 - 49)

(6)

(8)

The third step is to calculate the weighted sum of the KVAEquivalent Harmonic Current factor for the various types of
loads and add them together. This is determined by multiplying
the nameplate load KVA by the Equivalent Harmonic Current
determined above for each type of load. The resulting values

488

IEEE TRANSACTIONS ON INDUSTRY APPLICATIONS, VOL. 30. NO. 2, MARCWAPRIL 1994

transformers is governed by Article 100, Definitions, and

Article
110-3, Examination, Identification, Installation, and
KVA(K-30) = (30 KVA ) (123.54 HA) = 3706.2 KVA-HA
Use of Equipment. Article 110-3, (b) Installation and Use,
KVA(K-04) = (50 KVA) (25.82 HA) = 1291.0 KVA-HA
states that listed or labeled equipment shall be used or
KVA(K-13) = (70KVA) (57.74 HA) = 4041.8 KVA-HA
installed in accordance with any instructions included in the
listing or labeling [B]. A product must be designed, tested,
Total Weighted Sum Composite Load = 9039.0 KVA-HA
and listed and/or labeled for a particular application in order
The fourth step is to determine the composite system to comply with the NEC.
Equivalent Harmonic Current, or the magnitude of 7th harAccording to Article 100-Definitions, Labeled equipment
monic current that produces the same harmonic heat as the is defined as equipment that has been tested by a qualified
combination harmonic load. This is determined by dividing organization by whose labeling the manufacturer indicates
the Total Weighted Sum Composite Load found in Step 3 by compliance with appropriate standards or performance in a
the total KVA load of the transformer, in this case, 150 KVA. specified manner. Listing is defined as a published list of
The result is:
equipment that has been tested by a qualified organization
9039 KVA-HA
by whose listing states either that the equipment or material
IEH=
= 60.26 HA
(9) meets appropriate standards or has been tested and found
150 KVA
which indicates that 60.26% of the fundamental current as suitable for use in a specified manner.
Listed and labeled equipment has been tested and certified
the 7th harmonic produces the same heat as the combination
by
listing or labeling for operation in a specified manner. The
non-linear load outlined above. This result, in per unit, is
conclusion
drawn from the 1993 NEC is that listed and labeled
plugged into Equation (3) along with the per unit value for
equipment
can
only be operated under conditions for which it
the fundamental current, and the multiple non-linear load
has
been
tested
and certified. Thus, any installed equipment
composite K-Factor is determined to be:
other than that equipment certified for a particular installation
K = (1)(1)
(0.6026)2(7)2 = 18.79
(10) is in violation of the NEC.
UL recently began testing dry-type power distribution transThe next higher standard sized K-Factor transformer should formers for suitability when supplying non-linear load curbe specified for the application to avoid shortened transformer rents. These transformers are tested in accordance with UL
life. In this particular example, a K-20, 150 KVA transformer 1561 Standard for Safety, Dry-Type General Purpose and

is required.
Power Transformers, along with being tested for the addiThis weighted sum method for determining the resultant tional heating under non-sinusoidal load conditions [9]. The
system load K-rating is the most practical approach available listing for Power and General Purpose Transformers, Dry ripe
to specify transformers supplying several different non-linear (XQNX), states, in part, that, Transformers that have been
and linear loads [6]. This simple expansion of the IEEE evaluated for use where significant non-sinusoidal current is
recommendations for specifying transformers serving non- present are marked, Suitable for non-sinusoidal current load
sinusoidal loads is easy to implement and will prevent costly with K-Factor not to exceed -, where the blank is filled in
over-design.
with one of the standard K-Factor ratings of 4, 9, 13, 20, 30,
40, or 50 [9].
Iv. CODES AND STANDARDS
Since UL tests transformers for suitability in supplying nonK-Factor transformers, because of their special design to sinusoidal load current, lists, and labels these transformers as
minimize losses due to harmonics, are more expensive than K-Factor transformers, electrical engineers must calculate
traditionally designed transformers. Some electrical designers a K-Factor for the distribution system and must select Kcontend that K-rated transformers are undesirable due to this rated transformers for all non-siwsoidal operating conditions
added expense. The selection of a derated 225 or 300 KVA to fulfill the listing and labeling requirements of Underwriters
transformer that is not K-rated in lieu of the K - 20, 150 Laboratory and the safety requirements of the 1993 National
KVA transformer would be acceptable. That trade-off is not Electrical Code [6].
acceptable according to the applicable codes and standards that
govem electrical design and installation.
Frequency must be taken into consideration for an accurate
V. CONCLUSION
estimation of the additional heat non-sinusoidal loads inflict
upon transformers [ 11. Only the K-Factor considers the harNon-sinusoidal loads cause accelerated loss of insulation
monic magnitude and frequency. Because of these two facts, life in power distribution transformer windings because of the
the K-Factor is the only acceptable method for estimating har- exponential heating effects of high frequency harmonics. Of
monic content and for specifying distribution transformers for the available methods of calculating the additional heating
use under non-linear load conditions according to ANSI, IEEE, associated harmonic currents, only the K-Factor produces
the 1993 National Electrical Code, (NEC), and Underwriters results acceptable for specifying non-sinusoidal, K-Factor
transformers as required by the National Electrical Code and
Laboratory, (UL) [ 6 ] .
Although the 1993 NEC does not address the issue of Underwriters Laboratories. For practical applications, the K harmonic load currents directly, the requirement for K-Factor Factor can be expanded and adapted to account for multiple
are listed below:

MASSEY ESTIMATION METHODS FOR POWER SYSTEM HARMONIC EFFECTS

loads on a distribution transformer by taking

sum
- a weighted
approach to its application.
The author recommends that electrical designers utilize
the K-Factor calculation and Drouosed adaDtation of the
K-Factor when specifying dry-type power diskbution transformers intended to supply non-sinusoidal current-drawing
loads. This will fulfill the -listing and labeling requirements
of Underwriters Laboratory, the safety requirements of the
1993 National Electrical Code, and the ethics of good design
practice.
I

REFERENCES
ANSILEEE Srd (257.1 10-1986: American National Standard Recommended Practice for Establishing Transformer Capability When Supplying Non-Sinusoidal Load Currents.
CBEMA Information Letter, CEEMA, E X - 3 Committee, November
1987.
Freund, Arthur, Double the Neutral and Derate the Transformer Or
Else!, Electrical Construction and Maintenance, March 1988.
IEEE Srd 519-1981: IEEE Guide for Harmonic Control and Reactive
Compensation of Static Power Converters.
I. Kerszenbaum, A. Mazur, M. Mistry and J. Frank Specifying DryType Distribution Transformers for Solid-State Applications, IEEE
Trans. Indusrry Applicat., Vol. 27, No. 1, Januarykbruary 1991.

489

[6] Gregory W. Massey, Non-Linear Load Harmonic Content Estimation

Techniques for Use in Specifying Power Distribution Transformers,
Masters Thesis, University of Missouri--Columbia, December 1992.
171 .McPdand. ~ r i a nJ.. Use K-Factor Transformers? kfiniteiv! But
_
What K-Fktor?, Electrical Design and Installation, June 199<

~ Laboratory,
~
~

Gregory W. Massey (S91-M92) was born in

Kansas City, MO, USA, in 1967. He attended the
University of Missouri, Columbia MO, from 1986
to 1992, where he received the B.S.E.E. in 1990
and the M.S.E.E. in 1992. He is pursuing a Ph.D.
in Electrical Engineering.
Mr. Massey has been with the U.S. General
Services Administration since 1991 and is currently an Electrical Engineer with responsibilities
for power distribution, communications, security,
fire, life safety, and lighting systems design and
project management. Mr. Masseys current area of interest is power system
harmonics. He is the author of multiple technical articles and is a member of
the NSPE and the MSPE.