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Harmonic Modeling of Voltage Source Converters using Basic Numerical Methods
Harmonic Modeling of Voltage Source Converters
using Basic Numerical Methods

Ryan Kuo-Lung Lian

National Taiwan University of Science and Technology, Taipei, Taiwan

Ramadhani Kurniawan Subroto

Technical University of Denmark, Kgs. Lyngby, Denmark

Victor Andrean
HedgeDesk, CA, USA

Bing Hao Lin

Industrial Technology Research Institute, Hsinchu, Taiwan
This edition first published 2022
© 2022 John Wiley & Sons Ltd

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Library of Congress Cataloging-in-Publication Data

Names: Lian, Ryan Kuo-Lung, author. | Subroto, Ramadhani Kurniawan, author.

| Andrean, Victor, author. | Lin, Bing Hao, author.
Title: Harmonic modeling of voltage source converters using basic
numerical methods / Ryan Kuo-Lung Lian, National Taiwan University of
Science and Technology, Taipei, Taiwan, Ramadhani Kurniawan Subroto,
Technical University of Denmark, Kgs. Lyngby, Denmark, Victor Andrean, HedgeDesk,
CA, USA, Bing Hao Lin, Industrial Technology Research Institute, Hsinchu, Taiwan.
Description: Hoboken, NJ, USA : Wiley, 2022. | Includes bibliographical
references and index.
Identifiers: LCCN 2021015328 (print) | LCCN 2021015329 (ebook) | ISBN
9781119527138 (hardback) | ISBN 9781119527145 (adobe pdf) | ISBN
9781119527152 (epub)
Subjects: LCSH: Electric current converters–Mathematical models. |
Harmonics (Electric waves)–Mathematical models. | Electromagnetic
interference–Mathematical models. | Numerical analysis.
Classification: LCC TK2799 .L53 2022 (print) | LCC TK2799 (ebook) | DDC
621.3815/322–dc23
LC record available at https://lccn.loc.gov/2021015328
LC ebook record available at https://lccn.loc.gov/2021015329

Cover Design: Wiley

Cover Images: © dowell/Moment/Getty Images, Olivier Le Moal/iStock/Getty Images

Set in 9.5/12.5pt STIXTwoText by Straive, Chennai, India

10 9 8 7 6 5 4 3 2 1
 In Memory of Corrine Su.

“No two things have been combined better than knowledge and patience.”
– Prophet Muhammad
 vii

Contents

Preface xiii
Acknowledgments xvii
List of Symbols xix

1 Fundamental Theory 1
1.1 Background 1
1.2 Definition of Harmonics 2
1.3 Fourier Series 2
1.3.1 Trigonometric Form 3
1.3.2 Phasor Form 4
1.3.3 Exponential Form 4
1.4 Waveform Symmetry 5
1.4.1 Even Symmetry 5
1.4.2 Odd Symmetry 6
1.4.3 Half-Wave Symmetry 6
1.5 Phase Sequence of Harmonics 8
1.6 Frequency Domain and Harmonic Domain 8
1.7 Power Definitions 9
1.7.1 Average Power 9
1.7.2 Apparent and Reactive Power 9
1.8 Harmonic Indices 11
1.8.1 Total Harmonic Distortion (THD) 11
1.8.2 Total Demand Distortion (TDD) 12
1.8.3 True Power Factor 12
1.9 Detrimental Effects of Harmonics 13
1.9.1 Resonance 13
1.9.2 Misoperations of Meters and Relays 17
1.9.3 Harmonics Impact on Motors 18
1.9.4 Harmonics Impact on Transformers 18
1.10 Characteristic Harmonic and Non-Characteristic Harmonic 19
1.11 Harmonic Current Injection Method 21
1.12 Steady-State vs. Transient Response 21
1.13 Steady-State Modeling 22
viii Contents

1.14 Large-Signal Modeling vs. Small-Signal Modeling 24

1.15 Discussion of IEEE Standard (STD) 519 25
1.16 Supraharmonics 30

2 Power Electronics Basics 37

2.1 Some Basics 37
2.2 Semiconductors vs. Wide Bandgap Semiconductors 38
2.3 Types of Static Switches 40
2.3.1 Uncontrolled Static Switch 40
2.3.2 Semi-Controllable Switches 41
2.3.3 Controlled Switch 42
2.4 Combination of Switches 44
2.5 Classification Based on Commutation Process 45
2.6 Voltage Source Converter vs. Current Source Converter 46

3 Basic Numerical Iterative Methods 49

3.1 Definition of Error 49
3.2 The Gauss–Seidel Method 50
3.3 Predictor-Corrector 52
3.4 Newton’s Method 55
3.4.1 Root Finding 55
3.4.2 Numerical Integration 56
3.4.3 Power Flow 57
3.4.4 Harmonic Power Flow 61
3.4.5 Shooting Method 63
3.4.6 Advantages of Newton’s Method 67
3.4.7 Quasi-Newton Method 69
3.4.8 Limitation of Newton’s Method 71
3.5 PSO 71

4 Matrix Exponential 73
4.1 Definition of Matrix Exponential 74
4.2 Evaluation of Matrix Exponential 75
4.2.1 Inverse Laplace Transform 75
4.2.2 Cayley–Hamilton Method 76
4.2.3 Padé Approximation 78
4.2.4 Scaling and Squaring 80
4.3 Krylov Subspace Method 80
4.4 Krylov Space Method with Restarting 83
4.5 Application of Augmented Matrix on DC-DC Converters 86
4.6 Runge–Kutta Methods 90

5 Modeling of Voltage Source Converters 95

5.1 Single-Phase Two-Level VSCs 95
5.1.1 Switching Functions 95
5.1.2 Switched Circuits 97
5.2 Three-Phase Two-Level VSCs 99
 Contents ix

5.3 Three-Phase Multilevel Voltage Source Converter 112

5.3.1 Multilevel PWM 112
5.3.2 Diode Clamped Multilevel VSCs 114
5.3.3 Flying Capacitor Multilevel VSCs 120
5.3.4 Cascaded Multi-Level VSCs 128
5.3.5 Modular Multi-Level VSC 140

6 Frequency Coupling Matrices 149

6.1 Construction of FCM in the Harmonic Domain 149
6.2 Construction of FCM in the Time Domain 155

7 General Control Approaches of a VSC 179

7.1 Reference Frame 179
7.1.1 Stationary-abc Frame 179
7.1.2 Stationary-𝛼𝛽 Frame 180
7.1.3 Synchronous-dq Frame 181
7.1.4 Phase-Locked Loop 182
7.2 Control Strategies 183
7.2.1 Vector-Current Controller 183
7.2.2 Direct Power Controller 186
7.2.3 DC-bus Voltage Controller 188
7.2.4 Circulating Current Controller 189

8 Generalized Steady-State Solution Procedure for Closed-Loop Converter

Systems 193
8.1 Introduction 193
8.2 Generalized Procedure 193
8.2.1 Step 1: Determine How and Where to Break the Loop 195
8.2.2 Step 2: Check if the Calculation Flows of the Broken System are Feasible 195
8.2.3 Step 3: Determine What Domain of Each Component in the System Should be
Modeled 196
8.2.4 Step 4: Formulate the Mismatch Equations 197
8.2.5 Step 5: Iterate to Find the Solution 197
8.3 Previously Proposed Methods Derived from the Proposed Solution Procedures 197
8.3.1 Steady-State Methods Derived from Loop-Breaking 1 Method 197
8.3.2 Steady-State Methods Derived from Loop-Breaking 2 Method 198
8.4 The Loop-Breaking 3 Method 200

9 Loop-Breaking 1 Method 205

9.1 A Typical Two-Level VSC with AC Current Control and DC Voltage Control 205
9.2 Loop-Breaking 1 Method for a Two-Level VSC 206
9.2.1 Block 1 208
9.2.2 Current Controller Block 208
9.2.3 Voltage Controller Block 210
9.3 Solution Flow Diagram 210
9.3.1 Initialization 212
9.3.2 Jacobian Matrix 212
9.3.3 Number of Modulating Voltage Harmonics to be Included 228
x Contents

10 Loop-Breaking 2 Method for Solving a VSC 245

10.1 Modeling for a Closed-Loop DC-DC Converter 245
10.1.1 Model of the Buck Converter 245
10.1.2 Constraints of Steady-State 247
10.1.3 Switching Time Constraints 248
10.1.4 Solution Flow Diagram 248
10.2 Two-Level VSC Modeling: Open-Loop Equations 252
10.2.1 Steady-State Constraints 256
10.2.2 Switching Time Constraints 257
10.2.3 Solution Flow Diagram 260
10.2.4 Initialization 260
10.2.5 Jacobian Matrix 260
10.2.6 Discussions of Results 269
10.3 Comparison Between the LB 1 and LB 2 Methods 270
10.3.1 Case #1: Balanced System 270
10.3.2 Case #2: Unbalanced System with AC Waveform Exhibiting Half-Wave Symmetry 270
10.3.3 Case #3: Unbalanced System, No Waveform Symmetry 272
10.4 Large-Signal Modeling for Line-Commutated Power Converter 272
10.4.1 Discontinuous Conduction Mode 273
10.4.2 Continuous Conduction Mode 282
10.4.3 Steady-State Constraint Equations 284
10.4.4 General Comments 291

11 Loop-Breaking 3 Method 293

11.1 OpenDSS 293
11.2 Interfacing OpenDSS with MATLAB 294
11.3 Interfacing OpenDSS with Harmonic Models of VSCs 299

12 Small-Signal Harmonic Model of a VSC 315

12.1 Problem Statement 315
12.2 Gauss–Seidel LB 3 and Newton LB 3 316
12.2.1 Current Injection Method 316
12.2.2 Norton Circuit Method 317
12.3 Small-Signal Analysis of DC-DC Converter 320
12.4 Small-Signal Analysis of a Two-Level VSC 325
12.4.1 Approach from Section 12.3 325
12.4.2 Simpler Approach 326

13 Parameter Estimation for a Single VSC 335

13.1 Background on Parameter Estimation 335
13.2 Parameter Estimator Based on White-Box-and-Black-Box Models 337
13.3 Estimation Validations 339
13.3.1 Experimental Validation 340
13.3.2 PSCAD/EMTDC Validation 343

14 Parameter Estimation for Multiple VSCs with Domain Adaptation 349

14.1 Introduction of Deep Learning 349
14.2 Domain Adaptation 351
 Contents xi

14.3 Parameter Estimation for Multiple VSCs 352

14.4 Notations for DA 353
14.5 Supervised Domain Adaptation for Regression 355
14.6 Supervised Domain Adaptation for Classification 356
14.7 Test Setup 358
14.7.1 Data Generator 359
14.7.2 Data Preprocessing 359
14.8 Performance Metrics 361
14.8.1 R square (Regression) 361
14.8.2 Mean Absolute Percentage Error, MAPE (Regression) 361
14.8.3 Accuracy (Classification) 362
14.8.4 F1 score (Classification) 362
14.9 Test Results 363
14.9.1 Classification Task on Multiple VSC 363
14.9.2 Regression Task on Multiple VSC 363
14.10 Software for Running the Codes 370
14.11 Implementation of Domain Adaptation 370
14.11.1 Data Generation 370
14.11.2 Regression 372
14.11.3 Classification Network 375

References 379
Index 389
 xiii

Preface

The purpose of this book is threefold. One is to help students to see how some of the basic numerical
analysis methods can be applied for harmonic analysis and modeling of power converter systems.
Electrical engineering students usually do not have an undergraduate course specifically devoted
to numerical techniques. Thus, some of them may have difficulty in seeing that some seemingly
hard problems can be easily solved by some simple numerical techniques. This book covers some
basic numerical techniques and shows how they can be effectively used for power system analysis
and modeling.
The second purpose is that the deployment of voltage source converters (VSCs) has been grad-
ually increased over the past decade due to their greater controllability and versatility, compared
to other counterparts in power conversion, conditioning, compensation, and active filtering. The
harmonics generated by the VSCs and what adverse effects they may have on the power system
need to be fully studied. Nevertheless, a book that specifically addresses harmonic modeling of a
VSC with various topologies is currently lacking. This book is to fill in this gap in the research of
harmonic modeling.
The third objective is to unite the time-domain and frequency-domain modeling approaches for
harmonic modeling. Frequency domain modeling of power electronic converter has been well cov-
ered in books such as Power System Harmonic Analysis by J. Arrillaga, B. C. Smith, N. R. Watson,
and A. R. Wood and Power Systems Harmonics: Computer Modelling and Analysis by E. Acha and
M. Madrigal. These two books have addressed models of various power system components includ-
ing power converters. The reader is encouraged to read these two books, though it is not mandatory
for understanding this book. This book mainly focuses on harmonic modeling of a VSC. The mod-
eling process starts from deriving the state-space models of VSCs. Then it shows how a frequency
coupling matrix (FCM) can be constructed in the time domain. Finally, to model a closed-loop VSC
or other power converters, the monograph shows that one does not need to limit oneself to doing
modeling in a certain domain as long as one follows the loop-breaking procedure laid out in the
book. Moreover, although this book primarily focuses on VSC modeling, the presented techniques
in general can be applied to current source converters, and other types of converters such as matrix
converters.
This book is organized in the following fashion: Chapter 1 covers some of the fundamental con-
cepts such as the definition of harmonics, the evaluation of Fourier series, and the concept of
large-signal, small-signal, steady-state, and dynamic modeling. Chapter 2 briefly covers some of
the commonly used semiconductor switches and highlights the importance of the VSC. Chapter 3
covers some of the basic numerical iterative techniques, which will be used throughout the book.
Chapter 4 briefly reviews some of the commonly used numerical techniques for evaluating large
exponential matrices, which play an essential role in multilevel converters, where the size of their
xiv Preface

Chapter 5
Derivation of state-space
equations of VSCs

Chapter 6
Augment harmonic of interests
to the state space equation

Chapter 4
Chapter 3
Techniques on how to solve a
Numerical analysis techniques
large exponential matrix

Chapters 8, 9, and 10
Chapter 11 Chapters 13 and 14
Techniques on how to solve
Harmonic power flow (HPF) of a Parameter estimations of VSCs
steady-state closed-loop
system containing VSCs
converter system

Chapter 12
Small-signal harmonic modeling
of a VSC for HPF

Figure 1 Connection between the main chapters.

state matrices can drastically increase for high-power applications. Chapter 5 derives the state space
equations of various types of VSCs. Chapter 6 shows how an FCM of a VSC can be constructed in
the time domain. The constructed FCM can be directly used in a harmonic power flow program,
which relies on I = YV, where I is the harmonic current vector, V is the harmonic voltage vector,
and Y is the system admittance matrix. Chapter 7 briefly describes the reference frames including
a-b-c, 𝛼-𝛽, and d-q frames, and some of the commonly used control configurations. Chapter 8 out-
lines the solution procedure for obtaining steady-state model of a closed-loop VSC. Chapters 9 and
10 show how the solution procedure presented in Chapter 8 can be used to model a single VSC with
full control loops. Chapter 11 shows how the developed models in Chapters 9 and 10 can be inter-
faced with OpenDSS, which is a comprehensive electrical simulator, developed by Electric Power
Research Institute (EPRI) for studies of distribution systems. Chapter 12 shows how a small-signal
harmonic model of a VSC is derived. Such a model can be used to analytically predict the AC cur-
rent and dc voltage harmonics, provided that the change of the input stimuli is small. Moreover,
such a small-signal model can also be used in a harmonic power flow program where an analytical
Jacobian matrix is required. Finally, Chapters 13 and 14 demonstrate one new application for the
harmonic models of VSCs. Essentially, the VSC harmonic model, which is a white-box model, can
be combined with a (deep) neural network model, a black-box model, to form a cost-effective and
highly accurate parameter estimator of a VSC.
The order of the chapters in the book is exactly how the authors’ graduate course is taught. Thus,
instructors can follow the same order for conducting lectures. Alternatively, for readers who want
 Preface xv

to have a quick grasp of what the core of the book is, they may follow the flow of the chapters
presented in Figure 1.
It is worth noting that program code is provided in snippets. That is, the code is provided to
carry out only a particular function. Therefore, the reader needs to piece these codes together, and
perhaps add a few more lines in order to obtain the same simulation results presented in the book.
In this way, the reader does not need to read pages of code and can quickly comprehend how each
snippet is written to carry out a certain function or task. Nevertheless, for some very simple example
cases, the whole code is provided in the book.
 xvii

Acknowledgments

While teaching and revising the drafts of this book, I have received invaluable help and feedback
from my graduate students and I was very grateful. In particular, I would like to thank Miss Yi-Chun
Chen, Mr. Jing-Tong Tsai, Mr. Jason Chang, and Mr. Perry Chang for their help on some of the code
development and graph drawing. Prof. P. W. Lehn from University of Toronto is greatly appreciated
for introducing harmonic modeling to me and providing insightful guidance, patient supervision,
and invaluable comments during my Ph.D. studies. In fact, writing a book on harmonic modeling
for voltage source converters was first suggested by him during one of the weekly research meetings
at the University of Toronto.
I would also like to sincerely thank the Wiley editorial team for being super patient with me and
keeping me on track and Prof. Chia-Chi Chu from National Tsing Hua University for his encour-
agement on writing this book. Finally, I would like to thank my family, especially my wife Zujun
for taking care of our sons, Konrad and Jeff, while I was busy writing this book.

K. L. Lian, Taipei
 xix

Symbols

⊗: convolution operator
ΔF: small-signal frequency coupling matrix
𝜁 (k) : the unknown variable at the k-th iteration
𝜽𝑤 : weights of the network W,
𝜽t : weights of the network ht ,
𝜽d : weights of the network hd
𝚽: state transition of system matrix of A
̄
𝚽: ̄
state transition of system matrix of A
̂
𝚽: ̂
state transition of system matrix of A
̌
𝚽: ̌
state transition of system matrix of A
̆
𝚽: ̆
state transition of system matrix of A
𝛀: input dynamics matrix
A: system matrix
Ar : reduced system matrix
̄
A: system matrix with input dynamics augmented
̂
A: system matrix with input and harmonic state dynamics augmented
̌
A: system matrix with input, control, and reference state dynamics augmented
̆
A: system matrix with input, control, reference, and harmonic state dynamics augmented
B: input matrix
Br : reduced input matrix
C: capacitor
Cc (s): transfer function of the current controller
Ccon : connection matrix
C𝑣 (s): transfer function of the dc voltage controller
Cx : Clarke transformation matrix
: domain
 : source domain
 : target domain
𝔼: statistical expectation
h: hypothesis
ht : task hypothesis
hd : discrepancy hypothesis
i: state variable for current
itd : d-frame current
itdref : d-frame current reference
itq : q-frame current
itqref : q-frame current reference
xx Symbols

𝕀: identity matrix
Ii : i-th current harmonic component
I: vector of current harmonics
J: Jacobian matrix
L: inductor
L : risk over 
 : cross-entropy
 : classification and contrastive semantic alignment loss
 : separation loss
 : semantic alignment loss
ma : modulation index
mf : frequency modulation index
M: vector of mismatch equations
PM : Park transformation matrix
Ps (X): marginal probability distribution of source
Ps (X, Y ): joint probability distribution of source
Ps (Y |X): conditional probability distribution of source
Pt (X): marginal probability distribution of target
Pt (X, Y ): joint probability distribution of target
Pt (Y |X): conditional probability distribution of target
R: resistor
SSres : the sum of squares of errors between the true value and the estimated value of a model
SStot : the total variation
u: vector of input variable
𝑣: state variable for voltage
𝑣dc : dc voltage
𝑣dcref : dc voltage reference
𝑣ma : modulating signal of phase-a
𝑣mb : modulating signal of phase-b
𝑣mc : modulating signal of phase-c
𝑣m𝛼 : modulating signal of 𝛼 frame
𝑣m𝛽 : modulating signal of 𝛽 frame
𝑣md : modulating signal of d frame
𝑣mq : modulating signal of q frame
Vi : i-th voltage harmonic component
V: vector of voltage harmonics
Vm : vector of modulating voltage harmonics
W: weighting network
x: vector of the state variable
̄
x: vector of the system and input state variable augmented
̂
x: vector of the system with input and harmonic state variable augmented
𝑥d : integral of itdref − itd
𝑥dd : integral of 𝑣dcref − 𝑣dc
xh : vector of the harmonic state of interest
𝑥q : integral of itqref − itq
xr : reduced state variable vector
X: input space
Y: output space
Z: embedding space
 1

1
Fundamental Theory

1.1 Background
AC electric power systems are essentially designed to operate with sinusoidal voltages and cur-
rents at frequencies of 50 or 60 Hz. However, certain types of power components or loads pro-
duce currents and voltages with frequencies that are integer multiples of these frequencies (i.e.
the fundamental frequencies). These higher frequencies are a form of electrical pollution known
as power system harmonics. Power system harmonics are not a new phenomenon, and it is as
old as the distribution of alternating current, which began in 1895–1896 [1]. It is reported that
in 1893 Charles Proteus Steinmetz worked on the problem of motor heating while working at
Thomson-Houston [2]. After rigorous calculations and experimental validation, Steinmetz con-
cluded that the problem was due to the resonance in the transmission circuit feeding the plant and
a generator with a substantial amount of waveform distortion. Consequently, Steinmetz proposed
two solutions to overcome this harmonic problem. The first was to reduce the system frequency to
one half of its original value. That is, to reduce the original frequency value of 125 Hz to a new value
of 62.5 Hz. Note that at that time, most single-phase generators were operated at 125 Hz, 140 Hz or
133 13 Hz [3]. By 1892 there were a large number of Westinghouse-designed 60 Hz central stations
in existence, and 60 Hz had taken over a share of the AC business from the higher frequencies [3]
in North America. The second option was to restack iron laminations in the motor to withstand
the higher operating voltage.
In 1895, both General Electric (GE) and Westinghouse started to use distributed armature wind-
ings for their manufactured generator to substantially improve their waveforms, making them
more sinusoidal. In fact, the older-type design limited the transmission line lengths to 5 to 10
miles due to the resonance problems. In 1916, a text published by Steinmetz devotes consider-
able attention to the study of harmonics in three-phase power systems. The main concern was
third harmonic currents caused by saturated iron in transformers and machines [4]. He was the
first to propose delta connections for blocking third harmonic currents. In about the same year, a
new problem, called the telephone interference factor, arose as a result of harmonic interference
in communication circuits. Open-wire telecommunications were developed in the 19th and early
20th centuries without any consideration for other transmission lines because they were about five
decades older than those of power transmission. Problems were caused by the introduction of the
coexistence of power lines and telephone lines. Transformers and rectifiers in power systems pro-
duced harmonic currents that inductively coupled into adjacent open-wire telephone circuits and
produced audible telephone interference. These problems were gradually alleviated by filtering and

Harmonic Modeling of Voltage Source Converters using Basic Numerical Methods, First Edition.
Ryan Kuo-Lung Lian, Ramadhani Kurniawan Subroto, Victor Andrean, and Bing Hao Lin.
© 2022 John Wiley & Sons Ltd. Published 2022 by John Wiley & Sons Ltd.
2 1 Fundamental Theory

by minimizing transformer core magnetizing currents [4]. Isolated telephone interference prob-
lems still occur nowadays, but these problems are infrequent because open-wire telephone circuits
have been replaced with twisted pair, buried cables, and fiber optics [4].
Today, power electronic converters are the largest nonlinear loads and are used in industry [5] for
a variety of purposes, such as electrochemical power supplies, adjustable speed drives, uninterrupt-
ible power supplies, flexible AC transmission system devices [6], interfaces for renewable energy
sources with electric power systems, etc. These devices are useful because they can convert ac to dc,
dc to dc, dc to ac, and ac to ac. According to an estimate by the Electric Power Research Institute,
roughly 70% of electrical energy in the USA now flows through power converters, which will even-
tually grow to 100%. We expect to see the tremendous impact of power electronics not only in global
industrialization and general energy systems, but also in energy saving, renewable energy systems
and electric/hybrid vehicles [7]. Nevertheless, this comes at the expense of the generation of har-
monics. Power electronic converters use static switches such as diodes, silicon-controlled rectifiers
(SCRs), transistors, and other electronic switches to convert frequency, adjust voltage levels, and
change power flow. This is done through chopping sinusoidal or dc waveforms, which leads to the
generation of harmonics. The current emphasis on power quality has reinforced the need for har-
monic studies as an important practice of power system analysis and design activities. Harmonic
studies essentially involve quantifying the distortions in voltage and current waveforms at various
points in a power system and determining whether they are harmful to the system and how these
adverse conditions might be mitigated. This led to the availability of fairly general techniques and
software for the formulations and solutions of harmonic propagation problems. This book reveals
some of the numerical methods and techniques to model a power converter for harmonic analysis.

1.2 Definition of Harmonics

The term “harmonics” originates from the field of acoustics, where it refers to the vibration of a
string or column of air at a frequency that is a multiple of the basic repetition frequency. Similarly,
for electrical signals, a harmonic is defined as a sinusoidal component of a periodic waveform or
quantity having a frequency that is an integral multiple of the fundamental frequency. For a 60 Hz
power system, a harmonic wave is a sinusoid having a frequency expressed by:

fk = k × 60Hz, (1.1)

where k is an integer.
Fig. 1.1 illustrates the fundamental frequency sine wave and its second, third, and fifth
harmonics.

1.3 Fourier Series

The French mathematician Joseph Fourier found that any periodic waveform, 𝑥(t), can be
expressed as
1
𝑥(t) = a + a1 cos (𝜔t) + a2 cos (2𝜔t) + · · · + b1 sin (𝜔t) + b2 sin (2𝜔t) + · · · , (1.2)
2 0
where a0 , a1 , b1 , a2 , b2 , and so on are constants.
 1.3 Fourier Series 3

Figure 1.1 Fundamental frequency sine wave 60 Hz

(60 Hz) and harmonics: (a) 2nd harmonic
(120 Hz); (b) 3rd harmonic (180 Hz); (c) 5th
harmonic (300 Hz).

120 Hz
(a)

60 Hz

180 Hz
(b)

60 Hz

300 Hz
(c)

1.3.1 Trigonometric Form

Equation (1.2) can be compactly written as
1 ∑∞
𝑥(t) = a0 + ak cos (k𝜔t) + bk sin (k𝜔t) , (1.3)
2 k=1

which is generally referred as the trigonometric form of the Fourier series. The first term a0 ∕2 rep-
resents the dc (average) component of 𝑥(t). The terms with coefficient a1 and b1 together represent
the fundamental frequency component 𝜔. Similarly, the coefficients a2 and b2 together represent
the second harmonic component 2𝜔.
Evaluation of ak and bk coefficients of (1.3) is not a difficult task because the sines and cosines are
orthogonal functions, which means that their inner products are zero. Note that the inner product
of two complex functions, f and g is defined as
T
f (t)g(t)∗ dt. (1.4)
∫0
If f (t) and g(t) are real-valued functions, (1.4) is then simply
T
f (t)g(t) dt. (1.5)
∫0
4 1 Fundamental Theory

The coefficients of the Fourier series can consequently be found by setting f (t) = 𝑥(t) and
g(t) = sin(k𝜔t) or g(t) = cos(k𝜔t). Thus,
T
2
ak = 𝑥 (t) cos (k𝜔t) dt (1.6)
T ∫0
T
2
bk = 𝑥 (t) sin (k𝜔t) dt (1.7)
T ∫0
Since the dc term is the average component of 𝑥(t),
T
1
a0 = 𝑥(t)dt. (1.8)
T ∫0

1.3.2 Phasor Form

An alternative form to (1.3) is usually preferred. The sine and cosine terms of the same frequency
are grouped together, and the sum is combined to a single term, either sine or cosine. This is usually
referred as the phasor form of the Fourier series. Equation (1.9) is the phasor form of the Fourier
series in terms of cosines
∑
∞
( )
𝑥(t) = c0 + ck cos k𝜔t + 𝜃k , (1.9)
k=1

where
1
c0 = a (1.10)
2 0
√
ck = a2k + b2k (1.11)
( )
bk
𝜃k = − arctan (1.12)
ak
The derivations of (1.11) and (1.12) can be observable from the triangle of Fig. 1.2.

1.3.3 Exponential Form

According to Euler’s formula, as stated in (1.13) and (1.14), a sinusoidal function can be expressed
in terms of sums of exponentials.
e j𝜔t + e−j𝜔t
cos (𝜔t) = (1.13)
2
e j𝜔t − e−j𝜔t
sin (𝜔t) = (1.14)
2j

Figure 1.2 The triangle for deriving the phasor form of the Fourier
series.
ck
bk

θk
ak
 1.4 Waveform Symmetry 5

Hence, the Fourier series can also be expressed in an exponential form. Substituting (1.13) and
(1.14) into (1.2), we get
( j𝜔t ) ( j2𝜔t ) ( j𝜔t )
1 e + e−j𝜔t e + e−j2𝜔t e − e−j𝜔t
𝑥(t) = a0 + a1 + a2 + b1
2 2 2 2j
( j2𝜔t )
e − e−j2𝜔t
+ b2 +··· (1.15)
2j
Grouping terms with the same exponents, we get
( ) ( ) ( )
a 2 b2 a1 b1 a a 1 b1
𝑥(t) = · · · + − e−2j𝜔t + − e−j𝜔t + 0 + + ej𝜔t
2 2j 2 2j 2 2 2j
( )
a 2 b2
+ + e2j𝜔t + · · · (1.16)
2 2j
Compactly written, we get
∑
∞
𝑥(t) = Dk ejk𝜔t , (1.17)
k=−∞
where
a0
D0 = (1.18)
2
a b
Dk = k − j k (1.19)
2 2
a b
D−k = k + j k (1.20)
2 2
Thus, the coefficients, except D0 , are complex and occur in complex conjugate pairs; that is,
Dk = D∗−k (1.21)
The Fourier series can be found by utilizing (1.4) with g(t) = e jk𝜔t . Thus,
T
1
Dk = 𝑥(t)e−jk𝜔t dt. (1.22)
T ∫0

1.4 Waveform Symmetry

Waveform symmetry can greatly simplify the integration effort required to develop Fourier coeffi-
cients. In general, symmetry arguments should be applied to the waveform after the average value
has been removed [4].

1.4.1 Even Symmetry

A periodic function f (t) has even symmetry if f (t) = f (−t). That is, if in an even function, t is
replaced with −t, the function f (t) does not change. The cosine function is a good example of an
even function because it can be written as the power series
t2 t4 t6
cos (t) = 1 − + − +··· (1.23)
2! 4! 6!
A typical example of an even function, observable in power system, is shown in Fig. 1.3. Such a
waveform is a typical dc voltage ripple of an ac/dc converter. Since even functions have no sine
terms, the bk coefficients in (1.19) are zero. Therefore, Dk and D−k in (1.19) and (1.20) are the same
and real.
6 1 Fundamental Theory

f(t) Figure 1.3 An example of an even function, f (t).

1.4.2 Odd Symmetry

A periodic function f (t) has odd symmetry if f (t) = −f (−t). That is, if in an odd function, t is replaced
with −t, we obtain the negative of the function f (t). The sine function is a good example of an odd
function because it can be written as the power series
t3 t5 t7
sin (t) = 1 − + − +··· (1.24)
3! 5! 7!
Since odd functions have no cosine terms, ak coefficients in (1.19) are zero. Therefore, both Dk
and D−k in (1.19) and (1.20) are imaginary.

1.4.3 Half-Wave Symmetry

A periodic waveform with period T, has half-wave symmetry if
−f (t + T∕2) = f (t). (1.25)
That is, the shape of the negative half-cycle of the waveform is the same as that of the positive
half-cycle, but inverted. Signal with this type of symmetry only have odd harmonics and all the
even harmonics are zero. To see this, the following derivations are applied. Based on (1.6),
T
2
ak = f (t) cos (k𝜔t) dt (1.26)
T ∫0
[ T∕2 T ]
2
= f (t) cos (k𝜔t) dt + f (t) cos (k𝜔t) dt (1.27)
T ∫0 ∫T∕2
2( )
= In1 + In2 , (1.28)
T
T∕2 T
where In1 = ∫0 f (t) cos (k𝜔t) dt and In2 = ∫T∕2 f (t) cos (k𝜔t) dt.
Making the substitution 𝜏 = t − T∕2 in In2 gives
T∕2 ( ) ( ( ))
T T
In2 = f 𝜏+ cos k𝜔 𝜏 + d𝜏 (1.29)
∫0 2 2
According to (1.25), (1.29) can be restated as
T∕2
In2 = − f (𝜏) cos (k𝜔𝜏 + k𝜋) d𝜏. (1.30)
∫0
Equation (1.30) can be simplified by using the trigonometric identity
cos (u ± 𝑣) = cos (u) cos (𝑣) ∓ sin (u) sin (𝑣) . (1.31)
 1.4 Waveform Symmetry 7

Hence,

cos (k𝜔𝜏 + k𝜋) = cos (k𝜔𝜏) cos (k𝜋) − sin (k𝜔𝜏) sin (k𝜋) (1.32)
= (−1) cos (k𝜔𝜏) ,
k
(1.33)

and
T∕2
In2 = −(−1)k f (𝜏) cos (k𝜔𝜏) d𝜏. (1.34)
∫0
Combining (1.28) and (1.34), we have

2( ) T∕2
ak = 1 − (−1)k f (t) cos (k𝜔t) dt, (1.35)
T ∫0
and
{
4 T∕2
∫0 f (t) cos (k𝜔t) dt, k is odd
ak = T (1.36)
0, k is even

Similarly,
{
4 T∕2
∫0 f (t) sin (k𝜔t) dt, k is odd
bk = T (1.37)
0, k is even

Therefore, as long as a waveform possesses half-wave symmetry, regardless of how non-sinusoidal

it looks like, only odd harmonics will be present. A waveform as shown in Fig. 1.4 only contains
odd harmonics due to its half-wave symmetry.

20

15

10

5
Amplitude (A)

–5

–10

–15

–20
0 0.005 0.01 0.015 0.02 0.025 0.03
Time (sec)

Figure 1.4 An example of current waveform with half-wave symmetry.

8 1 Fundamental Theory

Table 1.1 The phase sequences for different

order of harmonics.

Harmonics Phase Sequence

1 +
2 −
3 0
4 +
5 −
6 0
⋮ ⋮

1.5 Phase Sequence of Harmonics

In a balanced three-phase power system, the currents and voltage are shifted in time by 120∘ of the
fundamental component. Therefore, phase a current can be expressed as
∑
∞
( )
ia (t) = Ik cos k𝜔0 t + 𝜃k . (1.38)
k=1

For phases b and c current, their expressions are expressed as (1.39) and (1.40), respectively.
∑∞ ( )
2𝜋
ib (t) = Ik cos k𝜔0 t + 𝜃k − k . (1.39)
k=1
3

∑
∞ ( )
2𝜋
ic (t) = Ik cos k𝜔0 t + 𝜃k + k . (1.40)
k=1
3

For k = 1, ia (t) = I1 cos(𝜔0 t + 𝜃k ), ib (t) = I1 cos(𝜔0 t + 𝜃1 − 2𝜋3

), and ic (t) = I1 cos(𝜔0 t + 𝜃1 + 2𝜋
3
).
Thus, the first harmonic is a positive sequence. For k = 2, ia (t) = I2 cos(2𝜔0 t + 𝜃2 ),
ib (t) = I2 cos(𝜔0 t + 𝜃2 − 4𝜋
3
) = I2 cos(𝜔0 t + 𝜃2 + 2𝜋 3
), and ic (t) = I2 sin(𝜔0 t + 𝜃2 + 4𝜋
3
) = I2 cos(𝜔0 t +
2𝜋
𝜃2 − 3 ). Thus, the second harmonic is a negative sequence. For k = 3, ia (t) = I3 cos(3𝜔0 t + 𝜃3 −
2𝜋) = I3 cos(3𝜔0 t + 𝜃3 ), ib (t) = I3 cos(𝜔0 t + 𝜃3 − 2𝜋) = I3 cos(3𝜔0 t + 𝜃3 ), and ic (t) = I3 cos(𝜔0 t +
𝜃3 + 2𝜋) = I3 cos(3𝜔0 t + 𝜃3 ), which makes the third harmonic a zero sequence. Table 1.1 lists the
phase sequences for different order of harmonics.

1.6 Frequency Domain and Harmonic Domain

In this book, frequency and harmonic domains are used interchangeably. Nevertheless, there is a
difference between the two. The frequency domain is generally the domain where the frequency
can take on any real number. On the other hand, frequency can only take on an integer number in
the harmonic domain. Thus, harmonic domain models can be expressed in matrix forms.
 1.7 Power Definitions 9

1.7 Power Definitions

1.7.1 Average Power

The average power is defined as
t+T t+T
1 1
Pa𝑣g = p(t)dt = 𝑣(t)i(t)dt. (1.41)
T ∫t T ∫t
Substituting in the Fourier series of voltage and current yields
(∞ )( ∞ )
1
t+T ∑ ( ) ∑ ( )
Pa𝑣g = Vk sin k𝜔t + 𝜃𝑣,k Ik sin k𝜔t + 𝜃i,k dt. (1.42)
T ∫t k=1 k=1

Since the average values of all the sinusoidal terms is zero, we will only have the time-invariant
terms left in the summation, which is
∑∞
∑
∞
Pa𝑣g = Vk Ik cos(𝜃𝑣,k − 𝜃i,k ) = Vk Ik cos(𝜃k ) = P1,a𝑣g + P2,a𝑣g + · · · + Pk,a𝑣g + · · · , (1.43)
k=1 k=1
where cos(𝜃k ) is called the displacement power factor for the k-th harmonic and Pk,a𝑣g is the average
power for the k-th harmonic.
Note that the fundamental active power P1,a𝑣g is sometimes used to represent the active power,
ignoring powers associated with other harmonics.

1.7.2 Apparent and Reactive Power

The definition of active power is consensually agreed upon. However, the definitions of reactive
power under unbalanced and nonsinusoidal conditions are still a debatable subject. Interested
readers can refer to Prof. Emanuel’s book [8] for a comprehensive review and discussion on this
subject. Here are listed just a few well-known examples.

Budeanu’s Method
C. I. Budeanu partitioned the squared harmonic current into two orthogonal terms:
Ik2 = (Ik cos 𝜃k )2 + (Ik sin 𝜃k )2 . (1.44)
Thus,
[∞ ] ∞ [∞ ]
∑
∞
∑( ( ))2 ∑ ∑( ( ))2
2
S =V I = 2 2
Vk2 Ik cos 𝜃k + 2
Vk Ik sin 𝜃k . (1.45)
k=1 k=1 k=1 k=1
It can be shown that the apparent power can be written as three orthogonal components:
S2 = P2 + Q2B + D2B , (1.46)
where
∑∞
QB = Vk Ik sin 𝜃k (1.47)
√
k=1
√∞ ∞ [
√∑ ∑ ( )2 ( )2 ( )]
DB = √ Vm In + Vn Im − 2Vm Vn Im In cos 𝜃m − 𝜃n . (1.48)
m=1n=m+1
10 1 Fundamental Theory

Budeanu was the first one to recognize that a nonactive power is different from a reactive
power. In fact, many books today still adopt Budeanu’s definitions. Nevertheless, as proved by
L. Czarnecki, QB and DB do not possess the attributes that can be related to the power phenomena
in circuits with nonsinusoidal waveforms [8].

Fryze’s Method
S. Fryze defined an instantaneous active current, which mimics the voltage waveform, and can be
expressed as
∑
∞
( ) ∑∞
( )
ia = G𝑣 = G Vk sin k𝜔t + 𝜃𝑣,k = Ik sin k𝜔t + 𝜃𝑣,k . (1.49)
k=0 k=0

The remaining component of the current is

ib = i − ia , (1.50)

and is sometime called wattless current [8] and the following equation holds true:

I 2 = Ia2 + Ib2 . (1.51)

The apparent power, thus, is defined as

S2 = P2 + Q2F , (1.52)

where S = VI, P = VIa , and QF = VIb . The power factor is

P I
PF = = a. (1.53)
S I

Czarnecki’s Method
L. Czarnecki improved the work of Fryze and replaced ib with the instantaneous reactive current,
ir and the instantaneous scattered current, is . The three currents are mutually orthogonal, and
(1.54) resulted:

I 2 = Ia2 + Is2 + Ir2 . (1.54)

The apparent power is defined as

S2 = P2 + D2s + Q2r , (1.55)

where Ds is the scattered power and Qr is the reactive power.

Emanuel’s Method or IEEE Std. 1459-2010

Emanuel separated both P1 and Q1 from the rest of the powers. This can be achieved by partitioning
the voltage and current into the following:

V 2 = V12 + VH2 (1.56)

2
I = I12 + IH2 (1.57)

where V1 and I1 are the fundamental components of the voltage and current, respectively.
∑∞ ∑∞
Moreover, VH2 = k≠1 Vk2 and IH2 = k≠1 Ik2

S2 = V 2 I 2 = S12 + D2I + D2𝑣 + SH

2
, (1.58)
√
S1 = V1 I1 = P12 + Q21 , (1.59)
 1.8 Harmonic Indices 11

√
√∞
√∑
DI = V1 IH = V1 √ Ik2 , (1.60)
k≠1
√
√∞
√∑
DV = VH I1 = I1 √ Vk2 , (1.61)
k≠1

and
√
√∞
√∑ ∑ ∞
SH = VH IH = √ Vk2 Ik2 . (1.62)
k≠1 k≠1

Note that this method was adopted in the IEEE Std. 1459-2010, Definitions for the Measurement
of Electric Power Quantities [8]. For a three-phase system, in addition to the definitions mentioned
above, one also needs to be aware of how the apparent power for each phase is formed to form a
three-phase apparent power. Generally, there are three types, as listed below:
1. Arithmetic apparent power:
S A = Sa + Sb + Sc . (1.63)
P
The associated power factor is PFA = SA
, where P = Pa + Pb + Pc .
2. Vector apparent power:
√
S𝑣 = P2 + Q2 , (1.64)
P
where Q = Qa + Qb + Qc . The associated power factor, PF𝑣 = S𝑣
.
3. Effective apparent power:
Se = 3Ve Ie , (1.65)
√ √
2 2
Vab +Vbc 2
+Vca Ia2 +Ib2 +Ic2
where Ve = 3
and Ie = 3
.

When the three-phase system is balanced, both definitions give identical results. However, for
unbalanced conditions, the results differ: SA ≥ SV and PFA ≤ PFV .

1.8 Harmonic Indices

Some of the commonly used indices for measuring the harmonic content of a waveform is discussed
in this section. The total harmonic distortion (THD) and the total demand distortion (TDD) are the
most commonly used ones. Both are measures of the effective value of a waveform and may be
applied to either voltage or current [9].

1.8.1 Total Harmonic Distortion (THD)

THD is defined as the ratio of the sum of the powers of all harmonic components to the power of the
fundamental frequency, and it is applied to both voltage and current. Note that the dc component
is usually ignored for the THD calculation. THD for current, THDI , can be stated as
√∑
∞ 2
k=2 Ik
THDI = , (1.66)
I1
12 1 Fundamental Theory

where Ik is the k-th harmonic component of the current.

Similarly, THD for voltage, THDV can be stated as
√∑
∞ 2
k=2 Vk
THDV = , (1.67)
V1
where Vk is the k-th harmonic component of the voltage. √∑
∞ 2
THD and root-mean-square (RMS) values are directly linked. Since RMS current I = k=1 Ik ,
THDI can be rewritten as
√∑
∞ 2 2
k=1 Ik − I1
THDI = , (1.68)
I1
and an equation linking THDI and RMS values can be written as
√
I = I1 1 + THD2I . (1.69)

Equation (1.69) indicates that

1. The lower the THDI values, the closer the true RMS value is to the fundamental current.
2. Line losses are proportional to the square of the RMS current. Thus, for a current distortion near
100%, the losses are almost twice those of a sinusoidal current.

THD can provide a good idea of how much losses or heat will be generated due to the voltage or
current distortions. However, it is not a good indicator of the voltage stress within a capacitor as it
is related to the peak value of the voltage waveform [9].

1.8.2 Total Demand Distortion (TDD)

THD value sometimes can be misleading. A small current may have a high THD value. However, it
is not a significant threat to the system. For example, many adjustable speed drives will exhibit high
THD values for the input current when they are operating at very light loads. This is not necessarily
a significant concern because the magnitude of harmonic current is low, even though its relative
current distortion is high [9]. Therefore, TDD1 is defined as
√∑
∞ 2
k=2 Ik
TDD = , (1.70)
IL
where IL is the peak, or maximum, demand load current at the fundamental frequency component
measured at the point of common coupling (PCC).

1.8.3 True Power Factor

The true power factor is defined as
Pa𝑣g
PFt = . (1.71)
VI

1 The definition
√∑50 stated in (1.70) is based on IEEE Standard 519 1992. TDD defined in IEEE Standard 519 2014 is
2
k=2 Ik
TDD = IL
.
 1.9 Detrimental Effects of Harmonics 13

In the absence of harmonics, (1.71) reduces to the displacement power factor as evident from
(1.72)
P1,a𝑣g
= cos(𝜃𝑣,1 − 𝜃i,1 ), (1.72)
V1 I1
where 𝜃𝑣,1 and 𝜃i,1 are the phase angles of the fundamental voltage and current, respectively.
In the presence of harmonics, (1.71) can be expanded as
P1,a𝑣g + P2,a𝑣g + P3,a𝑣g + · · ·
PFt = √ √ . (1.73)
V1 1 + THD2V I1 1 + THD2I

In most cases, the harmonic powers are small compared to the fundamental power, and the
voltage distortion is also small [4].
P1,a𝑣g cos(𝜃𝑣,1 − 𝜃i,1 )
PFt ≈ √ = √ (1.74)
V1 I1 1 + THD2I 1 + THD2I

(1.74) indicates that the true power factor of a nonlinear load is limited by its THDI . For example,
the true power factor of a nonlinear load with THDI = 100% can never exceed 0.707, no matter how
good its displacement power factor is.

1.9 Detrimental Effects of Harmonics

In addition to causing the communication interference as mentioned in Section 1.1, harmonics are
associated with many other detrimental effects.

1.9.1 Resonance
The inductive reactance of the ac power system (composed of generators, transmission lines, trans-
former, etc.) and the capacitive reactance of capacitor banks and underground cables produce
resonance conditions. The resonant frequency of an LC circuit occurs when the inductive reac-
tance equals the capacitive reactance. There are two types of resonance, which are parallel and
series resonance.

Parallel Resonance
Parallel resonance occurs when the shunt capacitor appears in parallel with the equivalent system
inductance, as depicted in Fig. 1.5. To clearly describe the concept of parallel resonance, the
simplified diagram is illustrated in Fig. 1.6. At the resonant frequency, the apparent impedance of
the parallel combination of the equivalent inductance and capacitance as seen from the harmonic
current source becomes very large. The equivalent impedance Zp is described in (1.75).
2
Xc (XLeq + R) Xc (XLeq + R) XLeq
Zp = = ≈ = QXLeq = QXC (1.75)
Xc + XLeq + R R R
where Xc , XLeq , and R denote the reactances of the shunt capacitor, equivalent source and
transformer inductors, and resistive load, respectively. The variable Q is defined as the quality
factor of a resonant circuit determining the sharpness of the frequency response, specified as
Q = XLeq ∕R = XC ∕R and normally R ≪ XLeq . Note that the reactance in (1.75) is calculated at
14 1 Fundamental Theory

Magnified
voltage at
substation bus
XT

XS

Ih
Magnified XC Harmonic
harmonic source
current

Figure 1.5 Shunt capacitor acts as parallel resonance in distribution system.

Figure 1.6 Simplified circuit of parallel resonance.

+
XT
Ih Vp XC QIh

XS
–

XLeq
Zp

the resonant frequency. Determining Q is very crucial as it affects the voltage drop across the
equivalent impedance. This can be observed through the relationship

Vp = Zp Ih = QXLeq Ih . (1.76)
( )
The voltage drop Vp is proportional to Q, meaning the larger Q causes the larger voltage drop at
the resonant frequency. Furthermore, from (1.76) one may see that a small harmonic current can
also cause a large voltage drop across the equivalent impedance. This behavior can be also found
in the capacitor shunt. Assuming the current flowing to the capacitor shunt and power system as
Ires , then
Vp QXC Ih
Ires = = = QIh
XC XC
Vp QXLeq Ih
= = = QIh . (1.77)
XLeq XLeq
From (1.77), one may observe that the current flowing through the capacitor shunt and power
system is also enlarged Q times. Thus, it can cause capacitor failure and transformer over-
heating. To reduce the equivalent impedance for the parallel resonance, the resistive load
should be added into the power system. This resistive load may be assumed as the lines or
cables between the capacitor shunt and nearest transformer. The significant length of lines or
cables can generate specified values of resistance. The frequency response of various values of
 1.9 Detrimental Effects of Harmonics 15

45

40
R=0
35

30

25
Z (Ω)

20

15
R = 0.1R s
10

5 R = 0.3Rs

0
260 270 280 290 300 310 320 330 340 350 360
Frequency (Hz)

Figure 1.7 Resistive load variations on parallel resonance.

resistance to parallel resonance is shown in Fig. 1.7. It can be clearly seen that when there is
no resistance between the capacitor shunt and transformer, the equivalent impedance is very
sharp and high at the resonant frequency. When the resistive load is added, the magnitude can
be greatly suppressed. If the resistance value is sufficient to provide the damping effect, then
the catastrophic voltage and current failure can be avoided. Thus, one may conclude that the
resistive load is able to damp the resonance, leading to a significant reduction in the harmonic
distortion.

Example 1.1
For some known parameters: Leq = 3.949 × 10−2 mH and C = 6.9 mF. When the grid resistances are
varied as 0%, 10%, and 30% of the nominal grid resistance, Rs = 2.747 mΩ, simulate the impedance
characteristics of parallel resonance circuit. Also, determine the parallel resonant frequency.
Solutions:
The transfer function of the equivalent impedance is obtained as
( )( 1 )
Rs + j𝜔Leq j𝜔C
Zp (𝜔) = 1
Rs + j𝜔Leq + j𝜔C

Parallel resonance occurs when XLeq = XC . Thus the parallel resonant frequency can be obtained as
1
fp = √ (1.78)
2𝜋 Leq C

As shown in Fig. 1.7, the parallel resonant frequency fp = 304.73 Hz. ◽

16 1 Fundamental Theory

XS RS XT Figure 1.8 Series resonance in distribution

system.

Ih XC
Harmonic
source
R

Figure 1.9 Simplified circuit of series resonance.

XT
XS

Ih XC
RS
R

Series Resonance
A shunt capacitor and the inductance of a transformer or distribution line may appear as a series
LC circuit, as depicted in Fig. 1.8. The simplified circuit is shown in Fig. 1.9. The overall impedance
of the series resonance seen from the harmonic current source is very small (theoretically zero) and
only limited by its resistance. Thus, the voltage at the capacitor is magnified and highly distorted,
as can be seen from (1.79).
Xc X
Vc = V = c Vh (1.79)
XT + Xc + R h R
The equivalent impedance Zp is described in (1.80).
( )( )
Rs + Xs XT + XC + R
Zp = (1.80)
Rs + X s + X T + X C + R
Note that the resistances R and Rs are assumed to be very small. The negligible impedance of the
series resonance is useful to absorb desired harmonic currents exhibiting the concept of a notch
filter.
In a practical situation, the parallel resonance always appears in the power system due to the
circuit topology. The parallel configuration is formed by the reactance of the source with the series
connection of reactance of transformer and capacitor bank. Thus, the frequency response, depicted
in Fig. 1.10, is composed by the parallel resonance and series resonance.

Example 1.2
For some known parameters: Rs = 2.747 mΩ, Ls = 3.949 × 10−2 mH, LT = 6.119 × 10−2 mH, and
C = 6.9 mF, simulate the impedance characteristics of parallel and series resonance circuits. Deter-
mine the parallel and series resonant frequencies.
Solutions:
The transfer function of the equivalent impedance is obtained as
( )( 1
)
Rs + j𝜔Ls j𝜔LT + j𝜔C +R
Zp (𝜔) = 1
.
Rs + j𝜔Ls + j𝜔LT + j𝜔C +R
 1.9 Detrimental Effects of Harmonics 17

0.9
Parallel resonance
0.8 f p = 190.85 Hz

0.7

0.6

0.5
Z (Ω)

0.4

0.3
Series resonance
0.2 f s = 244.8 Hz

0.1

0
0 100 200 300 400 500 600
Frequency (Hz)

Figure 1.10 Series resonance frequency response.

As shown in Fig. 1.10, the parallel resonant frequency

1
fp = √( ) . (1.81)
2𝜋 LT + LS C
Meanwhile, the series resonant frequency can be obtained as
1
fs = √ . (1.82)
2𝜋 LT C
Thus, fp = 190.85 Hz and fs = 244.8 Hz.
The problem of resonance is that small currents (voltages) generated by a harmonic source in
the power system can be amplified significantly. Since switching the configuration of the capacitor
banks (for a different power factor) changes the capacitive resonance of the system, more than one
resonant frequency may exist. In addition, since motor load appears to be primarily inductive at
harmonic frequencies, changes in motor loads on the system can result in a shift of the resonant
frequency. ◽

1.9.2 Misoperations of Meters and Relays

Most of the watt-hour meters are designed to operate in the presence of purely sinusoidal volt-
age and current waveforms, and are calibrated in this way. This is because conventional watt-hour
meters are based on the induction motor principles [10]. The rotor elements or the rotating disk
inside the meter revolve at a speed proportional to the power flow. This disk then drives a series of
gears that move dials on a register. Consequently, in the presence of harmonics, the conventional
watt-hour meters will have an error in the power readings. Harmonics can also have detrimental
18 1 Fundamental Theory

Fundamental
6

Zero crossing
Current (A)

–2

–4 Distorted
waveform

–6
0 0.005 0.01 0.015 0.02 0.025
Time (s)

Figure 1.11 Second harmonics distortion effect for zero crossing detection.

effects on the operation of a protection relay. A relay is a device that will perform switching actions
based on the information received from sensors, and is mainly used for power system protection.
Harmonics can distort or degrade the operating characteristics of protective relays depending on
the design features and principles of operation. Digital relays and algorithm that rely on sample
data or zero crossings are particularly prone to error when harmonic distortion is present. Fig. 1.11
shows the zero crossings when a sinusoidal signal is contaminated with a second harmonic, as com-
pared with a sinusoidal signal without any distortions. It can be clearly seen that the zero crossings
are shifted when harmonic distortions are present, leading to the discrepancy with its fundamental
signal.

1.9.3 Harmonics Impact on Motors

Harmonic voltage distortion at the motor terminals can cause pulsating torque, resulting in
mechanical oscillations, which can lead to rotor shaft fatigue and accelerated aging of the shaft
and connected mechanical parts. Moreover, the extra iron and copper losses at harmonic frequency
also results in efficiency reduction.

1.9.4 Harmonics Impact on Transformers

The major effects of harmonics on transformers is that current harmonics cause an increase in
copper losses and stray flux losses. In addition, voltage harmonics cause an increase in the iron
losses. As a result, the effect of harmonics on the transformer is a reduction in both efficiency and
life span.
 1.10 Characteristic Harmonic and Non-Characteristic Harmonic 19

1.10 Characteristic Harmonic and Non-Characteristic Harmonic

The characteristic harmonics in this book are referring to those produced by power converters
under balanced conditions (or normal operation). For most of the situations, characteristic har-
monics can be estimated by some analytical formulas. This can be seen by Examples 1.3 and 1.4.

Example 1.3 A square waveform, shown in Fig. 1.12, will only have odd harmonics due to its
half-wave symmetry.
To simplify the analysis, we assume that 𝜔 = 1. Then, ak coefficient is found from
2𝜋 [ 𝜋 2𝜋 ]
1 1
ak = f (t) cos (kt) dt = A cos(kt)dt + −A cos(kt)dt = 0. (1.83)
𝜋 ∫0 𝜋 ∫0 ∫𝜋
Also, by inspection, the average (dc) value is zero. bk coefficients are found from (1.84).
2𝜋 [ 𝜋 2𝜋 ]
1 1
bk = f (t) sin (kt) dt = A sin(kt)dt + −A sin(kt)dt
𝜋 ∫0 𝜋 ∫0 ∫𝜋
A
= (1 − 2 cos (k𝜋) + cos (2k𝜋)) (1.84)
k𝜋
for k = even, bk = 0. For k = odd, (1.84) reduces to
4A
bk = . (1.85)
k𝜋
Thus, the k-th (characteristic) harmonic has an amplitude of 1∕k in per unit of the fundamental
amplitude, as listed in Table 1.2. ◽

Example 1.4 A three-phase, full-bridge rectifier, operated under balanced conditions, is shown
in Fig. 1.13. The waveforms of the ac current are shown in Fig. 1.14. By means of Fourier analysis
of the ac current, the fundamental frequency component of the phase A current, Ia1 , has an RMS
value [11]
1√
Iac1 = 6Idc . (1.86)
𝜋
The harmonic components Iak can be expressed in terms of the fundamental frequency compo-
nent as
I
Iak = a1 , (1.87)
k
where k is an odd integer number. ◽

ωt
–A

Figure 1.12 A square waveform.

20 1 Fundamental Theory

Table 1.2 The harmonic amplitude of a square waveform.

Harmonic order Amplitude in p.u.

1st 1
3rd 1∕3
5th 1∕5
7th 1∕7
9th 1∕9
⋮
k-th 1∕k
⋮

vac D1 D3 D5

iac
Idc

D4 D6 D2

Figure 1.13 A three-phase, full-bridge rectifier.

Idc
120˚
ia 0 ωt
120˚
60˚
Idc
ib 0 ωt

Idc
ic 0 ωt

Figure 1.14 AC current waveform of a full bridge rectifier. Source: Modified from [11].

Non-characteristic harmonics are those produced by the power converter under unbalanced
conditions, abnormal operation, or situations where other external harmonic sources are present.
These non-characteristic harmonics usually require a harmonic power flow program or a full
steady-state solver to obtain the value, and generally cannot be easily calculated by some analytical
formula.
 1.12 Steady-State vs. Transient Response 21

Figure 1.15 The harmonic current injection into

bus m.
Bus m
Power
system

Ik,m

1.11 Harmonic Current Injection Method

One most common approach of modeling a power converter (or a nonlinear device in general)
is to treat it as a harmonic current source, and its harmonic content can be obtained by taking a
snapshot of the field measurement or simply determined by the characteristic harmonics. Thus,
power system harmonic voltage is a direct (non-iterative) solution via (1.88).
|Vk,m | = |Zk,m ||Ik,m |, (1.88)
where Ik,m represents the injected k-th current harmonic to bus m, Vk,m is the resulting k-th voltage
harmonic at bus m, and Zk,m is the impedance matrix looking into bus m for the k-th harmonic, as
shown in Fig. 1.15.
This method is often referred to as the harmonic current injection technique. The magnitude
and the angle of each harmonic current injected into the power system by the harmonic device are
assumed to be constant and known. Therefore, the following problems exist by using this approach
in modeling a power converter:
1. It ignores completely the harmonic interactions between the power converters and the rest of
the power network.
2. It ignores the harmonic interactions between the input side and the output side of the converter.
3. It neglects the fact that different controllers have different impacts on the system harmonics.
To be able to account for these three interactions, a full steady-state model of a converter is
needed, and a simple harmonic current source is not sufficient.

1.12 Steady-State vs. Transient Response

There are two ways of decomposing the (total) response of a circuit. The first is to break it into a
“natural response” and “forced response,” and the second is to break it into a “transient response”
and a “steady-state response.” This can be illustrated by the step response of a RC circuit, as shown
in Fig. 1.16.
By Kirchhoff’s current law (KCL),
d𝑣(t)
RT C + 𝑣(t) = VA , for t ≥ 0. (1.89)
dt
22 1 Fundamental Theory

t=0 Figure 1.16 An RC circuit.

RT

+
+
VA – v(t) C
–

The solution to (1.89) is

𝑣(t) = 𝑣n + 𝑣f , (1.90)
where
𝑣n = 𝑣o e−t∕(RT C) , 𝑣o = 𝑣(0), (1.91)
and
𝑣f = VA (1 − e−t∕(RT C) ), (1.92)
where 𝑣n is the natural response, and is the general solution of (1.89) when the input (i.e. VA ) is set
to zero. 𝑣f is the forced response because it is produced by the circuit when the forcing function (the
input) is applied. It represents what the circuit is forced to do by the input excitation. The nature
response eventually dies out along with the transient component of the forced response, leaving
only the steady-state component of the forced response. Hence, the second way of looking at the
complete response is to decompose it into transient and steady-state responses:
𝑣 = 𝑣t + 𝑣ss , (1.93)
where
𝑣t = (𝑣o − VA )e−t∕RT C , (1.94)
and 𝑣ss = VA .
The transient response 𝑣t is temporary and is the portion of the complete response that decays
to zero as time approaches infinity. The steady-state response 𝑣ss is the portion of the complete
response that remains after the transient response has died out. An electromagnetic transient pro-
gram is a general purpose program, directly solving for the differential equations of a circuit. Thus,
both transient and steady-state responses will be obtained in these programs.

1.13 Steady-State Modeling

In some situations, only the steady-state responses are of interest. For example, when one wants
to perform harmonic analysis or find out the steady-state operating point for the design of a
controller. It may be impractical to wait until the transient response of an electromagnetic program
dies out. In particular, an under-damped circuit may experience an excessively long transient
time. Consequently, there are research demands in finding techniques for quickly obtaining
steady-state responses. The techniques generally are referred to as “accelerated” steady-state
methods or simply steady-state methods. The steady-state methods are generally classified into
frequency-domain, time-domain, and a hybrid of frequency- and time-domain methods. The
following example (Example 1.5) is used to illustrate the time- and frequency-domain approaches
in steady-state modeling.
 1.13 Steady-State Modeling 23

Figure 1.17 An RL circuit. t=0 i(t)

R L
v(t) = Vm sin(ωt + α)

Example 1.5 An RL circuit is shown in Fig. 1.17. Assume that the breaker closes at time t = 0.
By Kirchhoff’s voltage law,
di(t)
𝑣(t) − Ri(t) − L =0 (1.95)
dt
L di(t) V
+ i(t) = m sin(𝜔t + 𝛼). (1.96)
R dt R
The natural response is
L di(t)
+ i(t) = 0. (1.97)
R dt
The solution to (1.97) is
t
in = Ke− 𝜏 , (1.98)
where 𝜏 = RL , and K is a constant.
The forced response is
L di(t) V
+ i(t) = m sin(𝜔t + 𝛼). (1.99)
R dt R
If we assume
if (t) = a cos(𝜔t + 𝛼) + b sin(𝜔t + 𝛼) (1.100)
and substitute (1.100) into (1.99), then (1.101) is resulted.
[ ] [ ]
L L V
b𝜔 + a cos (𝜔t + 𝛼) + b − a𝜔 − m sin (𝜔t + 𝛼) = 0 (1.101)
R R R
Consequently,
L
b𝜔 + a = 0 (1.102)
R
L V
b − a𝜔 − m = 0. (1.103)
R R
From (1.102) and (1.103), we obtain
Vm L𝜔
a = −√ √ (1.104)
R +L 𝜔
2 2 2 R + L2 𝜔2
2

Vm R
b= √ √ . (1.105)
R +L 𝜔
2 2 2 R + L2 𝜔2
2

Thus,
i(t) = in (t) + if (t) (1.106)
− 𝜏t Vm
= Ke + 2 [−L𝜔 cos (𝜔t + 𝛼) + R sin (𝜔t + 𝛼)] . (1.107)
R + L2 𝜔2
√
Let us define 𝛾, as depicted in Fig. 1.18, and let Z = R2 + L2 𝜔2 . Then, the following relations
can be obtained:
R
cos(𝛾) = (1.108)
Z
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will not see. This alone, without farther charge to your Majesty, your
frontiers being well guarded, will work your end. This care should be
taken, that when particular boroughs can be made sensible of their
past errours, and willing to return to their allegiance, they be not
only then not barred from trade, but received into your Majesty’s
favour and protection.
In my opinion, your ships would be best ordered thus, eight or ten
to lie in the Firth. There should be some three or four plying to and
again betwixt the Firth and Aberdeen, so long as the season of the
year will permit them to keep the seas; and when they are not
longer able, they may retire into the Firth; in which there are several
places in which they may ride in all weathers.
Those ships that lie in the Irish seas, will be sufficient to bar all
trade from the west of Scotland. The fittingest places are between
Arran and the coast of Galloway. When the weather is foul, there is
an excellent road in Galloway called Lochyen; and another in Arran
called Lamlash, or the Holy Island; where they may ride in safety.
This is all I shall say concerning the barring them of trade.
This will certainly so irritate them, as all those who within this
country stand for your Majesty, will be in great and imminent danger.
The best way, that for the present I can think on to secure them,
and to make some head for your Majesty, is, to appoint the Marquis
of Huntley in the north, your Majesty’s Lieutenant; with full power to
him to raise such and so many men, as he shall think convenient for
the defence of the country. By this means, there being a head, those
that are in the north will know to whom to repair; and there is no
doubt but in those parts they will do well enough.
For those that are besouth the river Forth, I apprehend their
danger most; and I would advise that there were lieutenants
likewise appointed, to whom they might repair. Necessity will force
your Majesty upon one of two, either Traquair or Roxburgh; or,
indeed, both, for they may both have commissions. They may be
well furnished with arms, and other things necessary, from England,
by land, both their fortunes being near adjacent to Northumberland;
and though I fear they will not be able to make a body of an army,
yet necessary it is that lieutenants should be, and I know none so fit
as these in those parts; for I will never think they have traiterous
hearts.
Certainly necessary it is for the government of this kingdom, that
a commissioner or deputy should be in it. For experience hath taught
me, that your Majesty will never be well served by your council,
unless there be some one or other amongst them on whom the chief
care must lie. If your Majesty do not first settle the country, and
reclaim it, whosoever you shall employ, will never be able to do any
thing. Therefore that should be done, before any new commission
be given; and even then, where you will find a man, I cannot
possibly say, unless your Majesty send the Duke of Lenox. As for the
Marquis of Huntley, certainly he may be trusted by you; but whether
fitly or no, I cannot say. If I keep my life (though next Hell I hate
this place), if you think me worthy of employment, I shall not weary
till the government be again set right; and then I will forswear this
country.
As for your Majesty’s castle of Edinburgh, it was a most shameful
thing it should have been so neglected. I cannot promise that it shall
be defended, yet I hope they shall not take it, but by an hostile act.
Some few men I have stolen in, but as yet cannot get one musket
put there, nor one yard of match. I have trusted, for a time, the
same man that was in it, and perhaps your Majesty will think this
strange that I have done so; yet necessity forced me to it. For
thither Ruthven would not go, without arms and ammunition; and
indeed he is not to be blamed therefore; but, Sir, I have that in
working, that, if I can accomplish, may for a time secure that place.
And for my trusting that man, I can only say this, that if he deceive
me, we were in no worse condition than when it was in Lord Marr’s
hands; safe only, for the giving him 2000l. which, if lost by the
default of him whom I have trusted, your Majesty shall not be
burthened by the payment of this money, for I deserve to lose it for
my confidence. He is no Covenanter, and hath solemnly sworn to
me, to lose his life before he quit it.
 As for Dunbritton, the way is easy to put as many men there as
you please, with victual and ammunition; from Ireland they must
come, and at the castle they must land; 100 men will be sufficient,
provided with ammunition and victual for three months; and the
sooner this be done the better.
Thus, Sir, your Majesty hath the humble opinion of what I
conceive of the affairs of the kingdom. What I have said, I humbly
submit to your Majesty.
I have now only this one suit to your Majesty, that if my sons live,
they may be bred in England, and made happy by service in the
court; and if they prove not loyal to the crown, my curse be on
them.
I wish my daughters be never married in Scotland. I humbly
recommend my brother to your favour.
Thus, with my hearty prayers to God, that he will bless you with a
long and happy life, and crown all your intentions with a wished
success; which I hope to live and see effected, notwithstanding of all
the threats that is used to
Your Majesty’s, &c.
HAMILTON.
Glasgow,
27th November, 1638.
 1638.—November.
97. The Supplication and humble Remonstrance of
the Ministers of the Church of Scotland, presented to
his Majesties High Commissioner and Generall
Assemblie held at Glasgow in November, 1638.125
May it please your Grace,
And you right Noble, Right Worshipfull, and you most Reverend
brethren, conveened by his Majeties Proclamation in this venerable
nationall Assembly, to consult upon the most convenient wayes, and
to enact such Ecclesiasticall Lawes, as to your wisdomes seemes
most expedient, for preserving of peace and truth in this Church, for
which ends wee from the bottome of our hearts (as feeling members
of the same) earnestly intreat him, who hath promised to be with his
owne to the end of the world, by his spirit and grace, so to direct
and assist your wisedomes, that by this long expected meeting,
glory may redound to his ever glorious Name, and peace to this rent
Church, which all the members thereof, with most earnest wishes,
expect at your hands. For the present, we thought it our duty, as
those whom it doth most clearly concerne (our great Shepheard
having committed to our charge a part of that Flock which he hath
redeemed with his precious bloud) to present unto you our just
feares which arise from the sudden incroaching of the Laick (now
called Ruling) Elders, in divers Presbyteries of this Kingdome, having
chiefe hand in chusing of Commissioners there, lest they, with
Commissioners thus elected, may bring upon the neck of the
Ministery and Church here, the heavie yoke of overruling Elders in all
times comming, to the no small hurt of us and our successors in the
Gospel, except timely remedy be provided.
Our humble supplication therefore to your Grace, and Members of
this present Assembly, is, that all these Commissioners thus chosen
by the voyce of Laick Elders, and in whose Commissions they have
had hand, may be removed, as men to whose voyces and
judgements we cannot submit our selves in matter of Church
government, for the just feares above exprest, they being justly
suspect Judges not to be admitted, and their elections and
Commissions void for reasons following: First, there is no Law in this
Kingdome whereby Laick Elders have any voyce in chusing
Commissioners to Generall Assemblies; the chusers therefore having
no legall power to elect, those that are chosen by such, can have no
place nor voyce in this Assembly. Secondly, albeit there have beene
heretofore, and before Churches were fully planted, a custome that
Laick-Elders did sit in Presbyteries, yet that custome hath beene
these 35. yeeres by-past, universally (and above forty yeeres in most
Presbyteries) interrupted; which prescription is sufficient to make
voyd any such custome: so that it can to no sufficient warrant for
them to sit and voyce in Presbyteries now, much lesse to intrude
themselves (as they have done in many Presbyteries) contrarie to
the minds and publicke protestation of the Ministerie. Thirdly, when
Laick-Elders had place in Presbyteries, yet it was ordained that the
voyces should not be equall in number, with the voyces of the
Ministerie, as is to be seene in the ____________ booke of discipline
____________ Chapter. But in this election, their number were not
onely equall, but in most parts more, because out of every Parish
there was a Laick-Elder, and so at least equall in number; and in
election of these Commissioners, against whose election we except,
there was put upon the list six in some places, and in others foure of
the Ministers, who being removed, in their absence the choyce was
made when the Laick-Elders by six or foure at the least exceeded the
Ministers in number of voyces, yea in some Presbyteries the Laick-
Elders were twice so many in number; so that these Commissioners
are mainly chosen by the Laitie, and not by the Ministers, neither
can wee acknowledge them for ours. Fourthly, these Laick-Elders did
of old onely assist in Discipline, not medling with points of Doctrine
(suffering the spirit of the Prophets to be subject to the Prophets,
according to the Apostolicall rule;) but now they intrude themselves
to sit and voice in the Presbyteries in matters of Doctrine, and have
given Commission to those whom we except against, to voyce in this
venerable Assembly, in Doctrine as well as in matters of Discipline;
which Commissions are null, as proceeding à non habente
potestatem. For these and other most weighty causes, the election
of such Commissioners, and their place in this Assembly being so
dangerous to the Church, threaten the same with the most
intolerable yoak of bondage to be laid upon the neck of the
Presbyteries by Laick over-ruling-Elders, to the prejudice of the
liberties of the said Presbyteries, and whole Discipline of this Church.
We could not, out of conscience to God, our callings, and flocks, but
make humble remonstrance of the same to your Grace and members
of this grave Assembly: withall protesting, both in our own names,
and in name of all the Ministerie and body of this Church that will
adhere to this present supplication, that all sentences, conclusions,
Canons, Statutes, and Ordinances, which shall be made in that
Assembly wherein the foresaid Commissioners shall have
determinative voyce, to be voyd, null, and of no effect to oblige us
or any of us to the obedience of the same: But if this our just
supplication be not admitted (which we hope and earnestly pray may
be graciously accepted) then this our protestation may be of force
against such Lawes and proceedings that may follow thereupon.
Thus hoping for your charitable construction of this our necessarie
duty in so eminent a danger of the Church, and humbly intreating
these presents may be put upon Record, We rest.
 1638.—November 29.
98, 99. Speech of Hamilton at dissolving the
Assembly, and his Reply to Moderator.126
I find this day great contrarieties of Humours in my self, first,
cause of Joy; next, cause of Sorrow: cause of Joy, in making good
what hath been promised by His Majesty; cause of Sorrow, in that I
cannot make further known his Majesties Pious Intentions.
You have called for a Free General Assembly: His Majesty hath
granted you one, most Free on his part, and in his intentions; but as
you have handled and marred the matter, let God and the World
judge, whether the least shadow or footstep of Freedom can be
discerned in this Assembly, by any man who hath not given a Bill of
Divorce both to his Understanding and Conscience. With what
wresting and wringing your last Protestation charges His Majesties
last Gracious Proclamation in the point of Prelimitations, is both
known and misliked by many even of your own pretended Covenant;
but whether your Courses, especially in the Elections of the Members
of this Assembly, be not onely Prelimitations of it, but strong Bars
against the Freedom of it, nay utterly destructive both of the Name
and Nature of a Free Assembly, and unavoidably inducing upon it
many and main Nullities, will be made manifest to the whole World.
But his Majesties Sincere Intentions being to perform in a lawful
Assembly all he hath promised in his Gracious Proclamation, if you
find out a way how these things may pass, and be performed even
in this Assembly, such as it is, and yet His Majesty not made to
approve any way the Illegalities and Nullities of it, for satisfying all
His Majesties good Subjects of the Reality of his Meaning; I am by
His Majesties special Command ready to doe it, and content to
advise with you how it may be done.
[And after this he caused read his Majesties Concessions, as they
had been before proclaimed: upon which he took instruments, that
by producing and signing of them, first his Majesties Intentions were
made known: next, that in the producing and delivering of them, the
Lawfullness of the Assembly was not acknowledged. After that he
went on, and discoursed against the Constitution of the Assembly in
the following words,]
But now I am sorry I can go on with you no more, for the sad part
is yet behind, about Ruling-elders; for neither Ruling-elders, nor any
Minister chosen Commissioner by Ruling-elders, can have voice here,
because no such election is warranted, either by the Laws of this
Church or Kingdom, or by the practice or custom of either: for even
that little which appeareth to make for those Elders in the Book of
Discipline, hath at this time been broken by you, there being more
Lay-elders giving votes at every one of those Elections, than there
were Ministers, contrary to the Book of Discipline; as in Lanerick but
eight Ministers and eighteen or nineteen Lay-elders; and so in divers
other Presbyteries: and in every Presbytery, when the Ministers upon
the List were removed, the remaining Elders exceeded far the
remaining Ministers. But say there were Law for those Lay-elders,
the interruption of the execution of that Law, for above 40 years,
makes so strong a Prescription against it, that without a new
reviving of that Law by some new Order from the General Assembly,
it ought not again be put in practice; for if His Majesty should put in
practice, and take the Penalties of any disused Laws without new
intimations of them from Authority, it would be thought by your
selves very hard dealing.
To say nothing of that Office of Lay-elders, it being unknown to
the Scripture or Church of Christ for above 1500 years, let the World
judge whether those Laymen be fit to give Votes in inflicting the
Censures of the Church, especially that great and highest Censure of
Excommunication, none having power to cast out of the Church by
that Censure, but those who have power to admit into the Church by
Baptism: and whether all the Lay-elders here present at this
Assembly be fit to judge of the high and deep Mysteries of
Predestination, of the Universality of Redemption, of the Sufficiency
of Grace given, or not given to all men, of the Resistibility of Grace,
of total and final Perseverance, or Apostasie of the Saints, of the
Antilapsarian or Postlapsarian Opinion, of Election and Reprobation;
all which they mean to ventilate, if they do determine against the
Arminian, as they give out they will.
In many Presbyteries these Lay-elders disagreed in their Elections
wholly, or for the most part, from the Ministers, and carried it from
them by number of Votes, though in all reason the Ministers
themselves should best know the abilities and fitness of their
Brethren: and this was done in the Presbyteries of Chirnside,
Linlithgow, Aberdeen, and divers more.
How can these men now elected be thought fit to be Ruling-
elders, who were never Elders before, all or most part of them being
chosen since the Indiction of the Assembly, some of them but the
very day before the Election of their Commissioners; which
demonstrates plainly that they were chosen onely to serve their
Associates turn at this Assembly?
Since the Institution of Lay-elders by your own Principles is to
watch over the Manners of the People in the Parish in which they
live, how can any man be chosen a Ruling-elder from a Presbytery,
who is not an inhabitant within any Parish of that Presbytery, as hath
been done in divers Elections, against all Law, Sense, or Reason?
By what Law or Practice was it ever heard, that young Noblemen,
or Gentlemen, or others, should be chosen Rulers of the Church,
being yet Minors, and in all Construction of Law thought unfit to
manage their own private Estates, unless you will grant that men of
meaner Abilities may be thought fit to rule the Church, which is the
House of God, than are fit to rule their own private Houses, Families,
and Fortunes?
By what Law can any Ruling-elder be sent to a Presbytery to Vote
in anything, especially in chusing Commissioners for the General
Assembly, who is not chosen for that purpose by the Session of that
Parish in which he is a Ruling-elder? And who gave power to the
Minister of every Parish, to bring with him to the Presbytery for that
purpose any Ruling-elder of his Parish whom he pleased?
But it is well-known, that divers Elders gave Votes in these
Presbyteries to the Elections of some Commissioners here, who were
not chosen by the Sessions of their several Parishes to give Votes in
those Presbyteries; and therefore such Commissioners as were
chosen by such Lay-elders can have no Vote here.
By what Law or Practice have the several Parishes or Presbyteries
chosen Assessors to their Ruling-elders, without whose consent
some of the Commissioners here present are sworn not to vote to
any thing?
This introducing of Ruling-elders is a burthen so grievous to the
Brethren of the Ministry, that many of the Presbyteries have
protested against it for the time to come, some for the present, as
shall appear by divers Protestations and Supplications ready to be
here exhibited.
For the Ministers chosen Commissioners hither, besides that the
fittest are passed by, and some chosen who were never
Commissioners of any Assembly before, that so they might not stand
for their own Liberty in an Assembly of the nature whereof they are
utterly ignorant, choice hath been also made of some who are under
the Censure of the Church, of some who are deprived by the Church,
of some who have been banished and put out of the University of
Glasgow, for teaching their Scholars that Monarchies were unlawful,
some banished out of this Kingdom for their Seditious Sermons and
Behaviour, and some for the like Offences banished out of another of
His Majesties Kingdoms, Ireland, some lying under the fearful
Sentence of Excommunication, some having no Ordination nor
Imposition of Hands, some admitted to the Ministry contrary to the
standing Laws of this Church and Kingdom, all of them chosen by
Lay-elders; what a Scandal were it to the Reformed Churches to
allow this to be a lawful Assembly, consisting of such Members, and
so unlawfully chosen?
 Of this Assembly divers who are chosen are at the Horn, and so
by the Laws of this Kingdom are uncapable of sitting as Judges in
any Judicatory.
Three Oaths are to be administered to every Member of this
Assembly, the Oath for the Confession of Faith, lately renewed by His
Majesties Commandment, the Oaths of Allegeance and Supremacy;
and whosoever shall refuse any of these, cannot be a Judge in any
Judicatory of this Kingdom: and therefore resolve presently whether
you will take them or not.
You have cited the Reverend Prelats of this land to appear before
you by a way unheard-of, not only in this Kingdom, but in the whole
Christian World, their Citations being read in the Pulpits, which is not
usual in this Church; nay, and many of them were read in the Pulpits
after they had been delivered into the Bishops own hands. How can
His Majesty deny unto them, being His Subjects, the benefit of His
Laws, in declining all those to be their Judges, who by their
Covenant do hold the principal thing in question, to wit, Episcopacy
to be abjured, as many of you do? or any of you to be their Judges,
who do adhere to your last Protestation, wherein you declare, that it
is an Office not known to this Kingdom, although at this present it
stand established both by Acts of Parliaments, and Acts of General
Assemblies? Who ever heard of such Judges as have sworn
themselves Parties? And if it shall be objected, that the Orthodox
Bishops in the first four and other General Councils could not be
denied to be competent Judges of the Hereticks, though beforehand
they had declared their Judgments against their Heresies: it is easily
answered, that in matters of Heresie no man must be patient, since
in Fundamental points of Faith a man cannot be indifferent without
the hazard of his Salvation, and therefore must declare himself to be
on Christs side, or else he is against him; but in matters of Church-
government and Policy, which by the Judgment of this Church in the
21ᵗʰ Article of our Confession is alterable at the will of the Church, it
is not necessary for any man who means to be a Judge, to declare
himself, especially against that Government which stands established
by Law at the time of his Declaration, being not onely not necessary,
but likewise not lawful for him at that time so to doe; now this
Declaration all you who adhere to the last Protestation have made,
even since you meaned to be the Bishops Judges. Besides, even
those Orthodox Fathers never did declare themselves against the
Hereticks, their Persons or Callings, by Oaths and Protestations, as
you have done; for that had been a prejudging in them, and this
prejudging in you makes you now to be incompetent Judges.
Upon the whole matter then there are but two things left for me
to say: first, you your selves have so proceeded in the business of
this Assembly that it is impossible the fruits so much wished and
prayed for can be obtained in it; because standing as it does, it will
make this Church ridiculous to all the Adversaries of our Religion, it
will grieve and wound all our Neighbour Reformed Churches who
hear of it; it will make His Majesties Justice to be traduced
throughout the whole Christian World, if he should suffer His
Subjects in that which concerns their Callings, their Reputations and
their Fortunes, to be judged by their sworn Enemies. If therefore
you will dissolve your selves, and amend all these errours in a new
Election, I will with all convenient speed address my self to His
Majesty, and use the utmost of my Intercession with His Sacred
Majesty for the Indiction of a new Assembly, before the meeting
whereof all these things now challenged may be amended: if you
shall refuse this Offer, His Majesty will then declare to the whole
World, that you are disturbers of the Peace of this Church and State,
both by introducing of Lay-elders against the Laws and Practices of
this Church and Kingdom, and by going about to abolish Episcopal
Government, which at this present stands established by both the
said Laws: two points (I daresay) and you must swear it, if your
Consciences be appealed to, (as was well observed by that Reverend
Gentleman we heard preach the last Sunday) which these you drew
into your Covenant were never made acquainted with at their
entering into it; much less could they suspect, that these two should
be made the issue of this business, and the two stumbling-blocks to
make them fall off from their Natural Obedience to their Soveraign.
 The Commissioner’s Reply to the Moderator.127
As for your pretence of your unlimited Freedom, you indeed
refused so much as to hear from His Majesties Commissioner, of any
precedent Treaty for the preparing and right-ordering of things
before the Assembly; alledging, that it could not be a free Assembly
where there was any Prelimitation either of the Choosers, or of those
to be chosen, or of things to be treated of in the Assembly, but that
all things must be discussed upon the place, else the Assembly could
not be free: but whether you your selves have not violated that
which you call Freedom, let any man judge; for besides these
Instructions, which it may be are not come to our knowledge, we
have seen, and offer now to produce, four several Papers of
Instructions sent from them, (whom you call the Tables) containing
all of them Prelimitations, and such as are not onely repugnant to
that which you call the Freedom, but to that which is indeed the
Freedom of an Assembly. Two of these Papers were such as you
were contented should be communicated to all your Associates, to
wit, that larger Paper sent abroad to all Presbyteries, immediately
after His Majesties Indiction of the Assembly, and that lesser Paper
for your meeting first at Edinburgh, then at Glasgow, some days
before the Assembly; which Paper gave order for chusing of
Assessors, and divers other particulars: but your other two Papers of
Secret Instructions were directed, one of them onely to one Minister
of every Presbytery, to be communicated by him as he should see
cause, but to be quite concealed from the rest of the Ministers; the
other Paper was directed onely to one Lay-elder of every Presbytery,
and to be communicated by him as he should see cause, but to be
quite concealed from all others: in both which Papers are contained
such Directions, which being followed, as they were, have quite
banished all Freedom from this Assembly; as shall appear by reading
the Papers themselves.
 [These he caused read, but they were disowned by the Members
of the Assembly; and they said, they might have been the private
Opinions of some, but did infer no Prelimitation on the Assembly: to
which the Marquis answered]—
That all the Elections being ordered according to these, was a
clear proof, they were sent by an Authority which all feared to
disobey. And after that he told, That for many moneths the Orders
of the Table had been obeyed by all; but he would now make a trial
what Obedience they would give to the Kings Command: and
protested, that one of the chief Reasons that moved him to dissolve
this Assembly, was to deliver the Ministers from the Tyranny of Lay-
elders, who (if not suppressed) would (as they were now designing
the ruine of Episcopal Power) prove not onely Ruling, but Over-
ruling-elders.
 1638.—November 29.
100. Royal Proclamation anent the Assembly.128
Charles by the grace of God, King of Scotland, England, France,
and Ireland, Defender of the Faith. To Our Lovits
_______________________________ Heraulds, Pursevants, Our
Sheriffes in that part conjunctly & severally specially constitute,
greeting. Forsameikle as out of the royall & fatherly care which We
have had of the good & peace of this Our ancient and native
Kingdome, having taken to Our serious consideration all such things
as might have given contentment to Our good & loyall subjects: And
to this end had discharged by Our Proclamation the Service Booke,
Booke of Canons, and high Commission, freed and liberate all men
from the practising of the five Articles, made all Our subjects both
ecclesiasticall & civill liable to the censure of Parliament, generall
Assembly, or any other Iudicatorie competent, according to the
nature and qualitie of the offence; and for the free entrie of
Ministers, that no other oath be administrate unto them then that
which is contained in the Act of Parliament: had declared all by-gone
disorders absolutely forgotten & forgiven: and for the more full and
cleare extirpating all ground & occasion of feares of innovation of
Religion, We had commanded the confession of faith, and band for
maintenance thereof, and of authoritie in defence of the same,
subscribed by Our deare Father, and his household, in anno 1580. to
bee renewed and subscribed againe by Our subjects here: Likeas for
settling of a perfect peace in the Church and Commonwealth of this
Kingdome, We caused indict a free generall Assembly to bee holden
at Glasgow the 21. of this instant, and thereafter a Parliament in
May 1639. By which clement dealing, We looked assuredly to have
reduced Our subjects to their former quiet behaviour & dutifull
carriage, whereto they are bound by the Word of God, and Lawes
both nationall and municipall, to Us their native and Soveraigne
Prince. And albeit the wished effects did not follow, but by the
contrary, by Our so gracious procedure they were rather
emboldened, not onely to continue in their stubborne and unlawfull
waies, but also daily adde to their former procedures acts of neglect,
& contempt of authority, as evidently appeared by open opposing of
Our just & religious pleasure and command, exprest in Our last
Proclamation anent the discharge of the Service Booke, Booke of
Canons, high Commission, &c. protesting against the same, and
striving by many indirect meanes to withdraw the hearts of Our good
people, not onely from a hearty acknowledgement of Our gracious
dealing with them, but also from the due obedience to those Our
just and religious commands, notwithstanding We had been formerly
so oft petitioned by themselves for the same. By their daily and
hourely guarding and watching about Our Castle of Edinburgh,
suffering nothing to be imported therein, but at their discretion, And
openly stopping and impeding any importation of ammunition, or
other necessaries whatsoever to any other of Our houses within that
Kingdome: Denying to Us their Soveraign Lord that libertie and
freedome, which the meanest of them assume to themselves, (an
act without precedent or example in the Christian world,) By making
of Convocations and Councell Tables of Nobility, Gentry, Burrowes
and Ministers within the Citie of Edinburgh, where not regarding the
Lawes of the Kingdome, they, without warrant of authoritie,
conveene, assemble, and treat upon matters, as well ecclesiasticall
as civill, send their injunctions and directions throughout the country
to their subordinate Tables, and other under-ministers appointed by
them for that effect. And under colour & pretext of religion exercing
an unwarranted & unbounded libertie, require obedience to their
illegall and unlawfull procedures and directions, to the great & seen
prejudice of Authority, and lawfull Monarchicall government. And
notwithstanding it was evidently manifest by the illegall & unformall
course taken in the election of their Commissioners for the Assembly,
whereof some are under the censure of this Church, some under the
censure of the Church of Ireland, and some long since banished for
open and avowed teaching against Monarchie, others of them
suspended, and some admitted to the Ministerie contrary to the
forme prescribed by the Lawes of this Kingdome, others of them a
long time since denounced Rebels and put to the Horne, who by all
law and unviolable custome and practique of this Kingdome, are,
and ever have been incapable, either to pursue, or defend before
any Iudicatorie, far lesse to be Iudges themselves: some of them
confined, and all of them by oath and subscription bound to the
overthrow of Episcopacie. And by this and other their under-hand
working, and private informations and perswasions, have given just
ground of suspicion of their partiality herein, & so made themselves
unfit Iudges of what concerneth Episcopacie. And also it was
sufficiently cleared by the peremptorie and illegall procedures of the
Presbyteries, who at their own hand by order of law, & without due
forme of processe, thrust out the Moderatours lawfully established,
& placed others, whom they found most inclinable to their turbulent
humours; associate to themselves for the choosing of the said
Comissioners for the Assembly, a Laick-Elder out of each Paroch,
who being in most places equall, if not moe in number then the
Ministerie, made choice both of the Ministers, who should be
Commissioners from the Presbyteries, as also of a Ruling-Elder;
being directed more therein by the warrants from the foresaid
pretended Tables, then by their owne judgements, as appeares by
the severall private instructions sent from them, farre contrary to the
Lawes of the Countrey, and lowable custome of the Church: by
which doings it is too manifest, that no calme nor peaceable
procedure or course could have been expected from this Assembly,
for settling of the present disorders and distractions: Yet We were
pleased herein in some sort to blindfold Our own judgement, and
overlooke the said disorders, and patiently to attend the meeting of
the said Assembly, still hoping that when they were met together, by
Our Commissioner his presence, and assistance of such other well
disposed subjects who were to be there, and by their owne seeing
the reall performance of all that was promised by Our last
Proclamation, they should have been induced to returne to their due
obedience of subjects: But perceiving that their seditious disposition
still increases, by their repairing to the said Assembly with great
bands and troupes of men, all boddin in feare of warre, with guns
and pistolets, contrary to the lawes of this Kingdome, custome
observed in all Assemblies, and in high contempt of Our last
Proclamation at Edinburgh the 16. of this instant: As also by their
peremptory refusing of Our Assessors, authorized by Vs (although
fewer in number then Our dearest Father was in use to have at
divers Assemblies) the power of voting in this Assembly, as formerly
they have done in other Assemblies; and by their partiall, unjust,
and unchristian refusing, and not suffering to be read the reasons
and arguments given in by the Bishops, and their adherents, to Our
Commissioner, why the Assembly ought not to proceed to the
election of a Moderatour without them, neither yet to the admitting
of any of the Commissions of the saids Commissioners from
Presbyteries, before they were heard object against the same,
though earnestly required by our Commissioner in our name. And
notwithstanding that our Commissioner under his hand, by warrant
from us, gave in a sufficient declaration of all that was contained in
our late proclamation and declaration, the same bearing likewise our
pleasure of the registration of the same in the books of assembly for
the full assurance of the true religion to all our good subjects; And
yet not resting satisfied therewith, lest the continuance of their
meeting together might produce other the like dangerous acts,
derogatory to royall authoritie, we have thought good, for
preveening thereof, and for the whole causes and reasons above-
mentioned, and divers others importing the true monarchicall
government of this estate, to dissolve and breake up the said
Assembly. And therefore OVR will is, and we doe discharge and
inhibit all and whatsoever pretended Commissioners, and other
members of the said pretended assembly, of all further meeting and
conveening, treating and concluding any thing belonging to the said
assembly, under the pain of treason, declaring all and whatsoever
that they shall happen to doe in any pretended meeting thereafter,
to be null, of no strength, force nor effect, with all that may follow
thereupon: Prohibiting and discharging all our lieges to give
obedience thereto, and declaring them, and every one of them, free
and exempt from the same, and of all hazzard that may ensue for
not obeying thereof. And for this effect we command and charge all
the foresaids pretended commissioners, and other members of the
said assembly, to depart forth of this city of Glasgow, within the
space of xxiiii houres after the publication hereof, and to repair
home to their own houses, or that they goe about their own private
affaires in a quiet manner. With speciall provision alwayes, that the
foresaid declaration, given in under our Commissioners hand, with
all therein contained, shall notwithstanding hereof, stand full, firm
and sure to all our good subjects in all time coming, for the full
assurance to them of the true religion. And our will is, and we
command and charge, that incontinent these our letters seen, ye
passe, and make publication hereof by open proclamation at the
market crosse of Glasgow, and other places needfull, wherethrough
none pretend ignorance of the same. Given under our signet at
Glasgow the 29. of November, and of our reign the fourteenth year.
1638.
Sic Subscribitur.
HAMILTOUN,
Traquaire, Roxburgh, Murray, Linlithgow, Perth, Kingorne,
Tullibardin, Hadingtoun, Galloway, Annandaill, Lauderdaill,
Kinnoull, Dumfreis, Southesk, Belhaven, Angus, Dalyell, J. Hay, W.
Elphinstoun, Ja. Carmichael, J. Hamiltoun.
 1638.—November 28 and 29.
101. The Protestation of the generall Assembly of the
Church of Scotland, &c. Made in the high Kirk, and at
the Market Crosse of Glasgow, Novemb. 28. and 29.
An. 1638.129
Wee Commissioners from Presbyteries, Burghes, and Vniversities,
now conveened in a full and free Assembly of the Church of
Scotland, indicted by his Majestie, and gathered together in the
Name of the Lord Jesus Christ the only Head, and Monarch of his
own Church, And we Noblemen, Barons, Gentlemen, Ministers,
Burgesses and Commons, Subscribers of the Confession of Faith,
Make it knowne that where We His Majesties loyall Subjects of all
degrees, considering and taking to heart the many and great
innovations and corruptions lately by the Prelates and their
adherents intruded into the doctrine, worship, and discipline of this
Church, which had been before in great purity to our unspeakable
comfort established amongst us, were moved to present many
earnest desires and humble supplications to his sacred Majestie, for
granting a free generall Assemblie, as the only legall and ready
meane to try these innovations, to purge out the corruptions, and
settle the order of the church, for the good of Religion, the honour
of the King, and the comfort and peace of the Kirk and Kingdome: It
pleased his gracious Majestie, out of his Royall bountie, to direct
unto this Kingdome, the Noble and Potent Lord, James Marques of
Hammiltoun, with Commission to hear and redresse the just
grievances of the good Subjects, who by many petitions, and
frequent conferences, being fully informed of the absolute necessity
of a free generall Assemblie, as the only Iudicatorie which had
power to remedie those evils, was pleased to undergoe the paines of
a voyage to England, for presenting the pittifull condition of our
Church to his sacred Majestie; And the said Commissioner his Grace
returned againe in August last, with power to indict an Assemblie,
but with the condition of such limitations, as did both destroy the
freedome of an Assembly, and could no wayes cure the present
diseases of this Church; which was made so clearly apparent to his
Grace, that for satisfying the reasonable desire of the Subiects,
groaning under the wearinesse and prejudices of longsome
attendance. He was againe pleased to undertake another journey to
his Majestie, and promised to indeavour to obtain a free Generall
Assemblie, without any prelimitation, either of the constitution and
members, or matters to be treated, or manner, and order of
proceeding; so that if any question should arise concerning these
particulars, the same should be cognosced, judged, and determined
by the Assembly, as the onely Iudge competent: And accordingly by
warrant from our Sacred Soveraigne, returned to this Kingdome, and
in September last, caused indict a free Generall Assemblie to be
holden at Glasgow, the 21. of November instant, to the unspeakable
ioy of all good Subiects and Christian hearts, who thereby did expect
the perfect satisfaction of their long expectations; and the finall
remedie of their pressing grievances: But these hopes were soone
blasted: for albeit the Assemblie did meet and begin at the
appointed day, and hath hitherto continued, still assisted with His
Graces personall presence, yet His Grace hath never allowed any
freedome to the Assemblie, competent to it by the Word of God, acts
and practices of this Church, and his Majesties Indiction, but hath
laboured to restraine the same, by protesting against all the acts
made therein, and against the constitution thereof by such
members, as by all law reason and custome of this Church were ever
admitted in our free Assemblies, and by denying his approbation to
the things proponed and concluded, though most cleare,
customable, and uncontraverted.
And now since his Grace after the presenting and reading of his
owne commission from our sacred Soveraigne, and after his seeing
all our commissions from Presbyteries and Burghes produced and
examined, and the Assembly constitute of all the members by
unanimous consent, doth now to our greater griefe, without any just
cause or occasion offered by us, unexpectedly depart and discharge
any further meeting, or proceeding in this assemblie, under the
paine of treason: and after seven dayes sitting, declare all Acts
made, or hereafter to be made in this Assemblie, to be of no force
nor strength; and that for such causes as are either expressed in his
Maiesties former proclamations, (and so are answered in our former
protestations) or set downe in the declinatour and protestation
presented in name of the Prelats, (which are fully cleared in our
answer made thereto) or else were long since proponed by the
Commissioner his Grace in his eleven articles or demands sent unto
us, before the indiction of the Assembly (and so were satisfied by
our answers, which his Grace acknowledged, by promising after the
recept thereof to procure a free generall Assembly, with power to
determine upon all questions, anent the members, manner, and
matters thereof) all which for avoiding tediousnesse we cease to
repeat: Or otherwise the said causes alleadged by the Commissioner,
were proponed by His Grace, in the Assemblie; such as first, that the
Assemblie refused to reade the Declinatour and Protestation
exhibited by the Prelats, which neverthelesse was publickly read and
considered by the assemblie, immediately after the election of a
Moderatour and constitution of the Members, before the which,
there was no assemblie established, to whom the same could have
been read: Next, that ruling Elders were permitted to have voice in
the election of commissioners from Presbyteries, which was knowne
to His Grace, before the indiction and meeting of the assembly, and
is so agreeable to the acts and practice of this Church, inviolably
observed before the late times of corruption, that not one of the
assembly doubted thereof, to whom by the indiction and promise of
a free assembly, the determination of that question, anent the
members constituent propertie belonged.
And last, that the voices of the six Assessors, who did sit with His
Grace, were not asked and numbered, which we could not conceive
to be any just cause of offence, since after 39. Nationall assemblies
of this reformed church, where neither the Kings Majestie, nor any in
his name was present, at the humble and earnest desire of the
assembly, His Majestie graciously vouchsafed His presence either in
His owne Royall Person, or by a Commissioner, not for voting or
multiplying of voices, but as Princes and Emperours of old, in a
Princely manner to countenance that meeting, and to preside in it
for externall order; and if Wee had been honoured with His Majesties
Personall presence, His Majestie (according to the practice of King
James of blessed memorie) would have onely given his owne
Judgement in voting of matters, and would not have called others
who had not been clothed with commission from the church to carry
things by pluralitie of voices.
Therefore in conscience of our duty to God and his truth, the King
and his honour, the Church and her liberties, this Kingdome and her
peace, this Assemblie and her freedome, to our selves and our
safety, to our Posterity, Persons and Estates, We professe with
sorrowfull and heavie, but loyall hearts, That We cannot dissolve this
Assemblie, for the reasons following.
1. For the reasons already printed anent the necessity of
conveening a Generall Assemblie, which are now more strong in this
case, seeing the Assemblie was already indicted by his Majesties
authority, did conveene, and is fully constitute in all the members
thereof, according to the Word of God, and discipline of this church,
in the presence and audience of his Majesties Commissioner; who
hath really acknowledged the same, by assisting therein seven
dayes, and exhibition of His Majesties Royall Declaration, to be
registrate in the Bookes of this Assemblie, which accordingly is done.
2. For the reasons contained in the former Protestations made in
name of the Noblemen, Barons, Burgesses, Ministers, and
Commons, whereunto We doe now iudicially adhere, as also unto
the Confession of Faith & covenant, subscribed and sworn by the
Body of this Kingdome.
3. Because as We are obliged by the application and explication
subioyned necessarily to the Confession of Faith subscribed by Vs;
so the Kings Majestie, and his Commissioner, and Privie Councell,
have urged many of this Kingdome to subscribe the Confession of
Faith made in an. 1580. and 1590. and so to returne to the doctrine
and discipline of this Church, as it was then professed: But it is
cleare by the doctrine and discipline of this Church, contained in the
book of Policie then registrate in the books of Assemblie, &
subscribed by the Presbyteries of this Church; That it was most
unlawfull in it selfe, and preiudiciall to these privileges which Christ
in his Word hath left to his Church, to dissolve or breake up the
Assemblie of this Church, or to stop and stay their proceedings in
constitution of Acts for the welfare of the Church, or execution of
discipline against offenders; and so to make it appeare, that Religion
and Church government should depend absolutely upon the pleasure
of the Prince.
4. Because there is no ground of pretence either by Act of
Assemblie, or Parliament, or any preceding practice, whereby the
Kings Maiestie may lawfully dissolve the Generall Assemblie of the
Church of Scotland, far lesse His Maiesties Commissioner, who by his
commission hath power to indict and keep it, secundum legem &
praxim: But upon the contrarie, His Majesties prerogative Royall, is
declared by Act of Parliament, to be no wayes preiudiciall to the
priviledges and liberties, which God hath granted to the spirituall
office-bearers, and meetings of this Church; which are most
frequently ratified in Parliaments, and especially in the last
Parliament holden by His Maiestie himself: which priviledges and
liberties of the Church, his Maiestie will never diminish or infringe,
being bound to maintain the same in integritie by solemn oath given
at his Royal Coronation in this Kingdome.
5. The Assemblies of this Church have still inioyed this freedome
of uninterrupted sitting, without or notwithstanding any contramand,
as is evident by all the Records thereof; and in speciall by the
generall Assembly holden in anno 1582. which being charged with
letters of Horning by the Kings Majestie his Commissioner and
Councell, to stay their processe against Master Robert Montgomerie,
pretended Bishop of Glasgow, or otherwise to dissolve and rise, did
notwithstanding shew their liberty and freedome, by continuing and
sitting still, and without any stay, going on in that processe against
the said Master Robert, to the finall end thereof: And thereafter by
letter to his Maiesty, did shew clearly, how far his Maiesty had been
uninformed, and upon misinformation, preiudged the prerogative of
Jesus Christ, and the liberties of this Church, and did inact and
ordain, that none should procure any such warrant or charge under
the pain of excommunication.
6. Because now to dissolve, after so many supplications and
complaints, after so many reiterated promises, after our long
attendance and expectation, after so many references of processes
from Presbyteries, after the publick indiction of the Assembly, and
the solemn Fast appointed for the same, after frequent Convention,
formall constitution of the Assembly in all the members thereof, and
seven dayes sitting, were by this act to offend God, contemne the
Subjects petitions, deceive many of their conceived hopes of
redresse of the calamities of the Church and Kingdome, multiply the
combustions of this Church, and make every man despair hereafter
ever to see Religion established, Innovations removed, the Subiects
complaint respected, or the offenders punished with consent of
authority, and so by casting the Church loose and desolate, would
abandon both to ruine.
7. It is most necessary to continue this Assembly for preveening
the prejudices which may ensue upon the pretence of two
Covenants, whereas indeed there is but one, That first subscribed in
1580. and 1590. being a Nationall covenant and oath to God; which
is lately renewed by Vs, with that necessary explanation, which the
corruptions introduced since that time contrary to the same,
inforced: which is also acknowledged by the Act of councell in
September last, declaring the same to be subscribed, as it was
meaned the time of the first subscription; And therefore for
removing that shame, and all prejudices which may follow upon the
show of two different covenants & confessions of Faith in one
Nation, The Assemblie cannot dissolve, before it trie, finde and
determine, that both these covenants, are but one and the self same
covenant: The latter renewed by us, agreeing to the true genuine
sense and meaning of the first, as it was subscribed in Anno 1580.
 For these and many other reasons, We the Members of this
assemblie, in our owne name, and in the name of the Kirk of
Scotland, whom We represent; and We Noblemen, Barons,
Gentlemen, Ministers, Burgesses, and Commons before mentioned,
doe solemnly declare in the presence of the everliving God, and
before all men; And protest,
1. That our thoughts are not guilty of anything which is not
incumbent to us, as good Christians towards God, and loyall Subjects
towards our sacred Soveraigne.
2. That all the Protestations generall or particular, proponed or to
be proponed by the commissioner his Grace, or the Prelats and their
adherents, may be presently discussed before this generall
Assemblie, being the highest Ecclesiasticall judicatorie of this
Kingdome: and that his Grace depart not till the same be done.
3. That the Lord commissioner depart not, till this Assemblie doe
fully settle the solide peace of this church, cognoscing and
examining the corruptions introduced upon the doctrine and
discipline thereof: and for attaining hereof, and removing all just
exceptions which may be taken at our proceedings, we attest GOD
the searcher of all hearts, that our intentions, and whole
proceedings in this present assemblie, have beene, are, and shall be
according to the word of GOD, the lawes and constitutions of this
church, the confession of faith; our nationall oath, and that measure
of light, which GOD the father of light shall grant us, and that in the
sincerity of our hearts, without any preoccupation or passion.
4. That if the Commissioner his Grace depart, and leave this
church and kingdome in this present disorder, and discharge this
assemblie, that it is both lawfull and necessary for Vs to sit still and
continue in keeping this present Assemblie, indicted by His Majestie,
till we have tryed, judged, censured all the bygone evils, and the
introductors, and provided a solide course for continuing Gods truth
in this land with purity and liberty, according to his Word, our oath
and Confession of Faith, and the lawfull constitutions of this Church;
and that with the grace of God, We and every one of Vs adhering
hereunto, shall sit still and continue in this Assembly, till after the
finall setling and conclusion of all matters, it be dissolved by
common consent of all the members thereof.
5. That this Assemblie is and should be esteemed and obeyed, as
a most lawfull, full and free generall Assembly of this Kingdome: And
that all acts, sentences, constitutions, censures and proceedings of
this Assemblie, are in the selfe, and should be reputed, obeyed, and
observed by all the Subjects of this Kingdome and members of this
Church, as the actions, sentences, constitutions, censures, and
proceedings of a full and free generall assembly of this Church of
Scotland, and to have all ready execution, under the Ecclesiasticall
paines contained, or to bee contained therein, and conforme thereto
in all points.
6. That whatsoever inconvenience fall out, by impeding,
molesting, or staying the free meeting, sitting, reasoning, or
concluding of this present assembly, in matters belonging to their
judicatorie, by the word of God, lawes and practice of this Church,
and the Confession of Faith, or in the observing and obeying the
acts, ordinances and conclusions thereof, or execution to follow
thereupon, That the same be not imputed unto us, or any of us, who
most ardently desired the concurrence of his Majesties
Commissioner to this lawfull assembly; But upon the contrary, that
the Prelats and their adherents, who have protested and declined
this present assemblie, in conscience of their owne guiltinesse, not
daring to abide any legall tryall, and by their misinformation have
moved the Commissioner his Grace to depart and discharge this
assemblie, be esteemed, repute, and holden the disturbers of the
peace, and overthrowers of the liberties of the Church, and guiltie of
all the evils which shall follow hereupon, and condignely censured
according to the greatnesse of their fault, and Acts of the Church
and Realme: And to this end, Wee againe and again doe by these
presents cite and summon them, and everie one of them, to
compeere before this present generall assembly, to answer to the
premises, and to give in their reasons, defences, and answers
against the complaints given in, or to bee given in against them, and
to heare probation led, and sentence pronounced against them, and
conforme to our former cytations, and according to Iustice, with
certification as effeirs; Like as by these presents We summon and
cyte all those of his Majesties Councell, or any other, who have
procured, consented, subscribed, or ratified this present
Proclamation to be responsable to his Majesty and three Estates of
Parliament, for their counsell given in this matter, so highly importing
his Majestie, and the whole Realme, conforme to the 12. act. King
James 4. Parliament 2. And protest for remedy of law against them,
and every one of them.
7. And lastly wee protest, that as we adhere to the former
protestations all and every one of them, made in the name of the
Noblemen, Barons, Gentlemen, Ministers, Burghes, and Commons;
So seeing wee are surprised by the Commissioner his Graces sudden
departing, farre contrary to his Majesties indiction, and our
expectation, we may extend this our protestation, and adde more
reasons thereunto in greater length and number, whereby wee may
fully cleare before God and man the equitie of our intentions, and
lawfulnesse of our proceedings: And upon the whole premises the
foresaid persons for themselves and in name aforesaid, asked
Instruments. This was done in the high Church of Glasgow in publike
audience of the Assembly, begunne in presence of the Commissioner
his Grace, who removed and refused to heare the same to the end,
the twenty eighth day of November: and upon the Mercate Crosse of
Glasgow, the twentie ninth day of the said Moneth, the yeere of God
1638. respective.
 1638.—November 30.
102. Letter from Traquair to Hamilton.130
Falkirk, Nov. 30th.
I could not find the Earl of Argyle yesterday at his own house; and
being unwilling to go from Glasgow before I saw him, I came to the
Lord Boyde’s lodging, where I was told he was, with the Lord
Loudon and some others. He resolves to stay still in Glasgow, some
time at least; and during his abode there, will haunt the assembly,
and be careful to make them go on in such a way as shall be
justifiable.
The Service-book will be condemned in general, as repugnant to
the tenets of this church; episcopal government, as not agreeable to
the government thereof; and presently all the bishops of this
kingdom are condemned, and presently excommunicate.
The Lord Loudoun acknowledges one of the papers, your Grace
produced in the assembly, but the certificate refused; the same was
required of me, which at the kirk-yard entry I acknowledged and
declared to be such as became an honest man; for truly, if I should
say otherwise, I should deny truth and my own judgment. And if I
should subscribe any covenant or confession, which, in my
judgment, excluded episcopacy or episcopal government, I behoved
to subscribe against the light of my own conscience; and this I
declared publicly, as I shall do while I breathe.
This morning the Lairds Carberry, Nidrie, and Colintone, with John
Smith of Edinburgh, parted from this, about four in the morning, to
attend my coming to Edinburgh, for protesting against the
proclamation; which they expect at the cross of Edinburgh.
As your Grace shall be pleased to honour me with any of your
commandments, I shall not be wanting with the uttermost of my
power; and without consideration either of life or fortune, shall
witness myself to be
Your, &c.
Traquair .