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Abstract-A new reduced-order algorithm to be used to esti- tion and the flux signal is distorted by slot harmonics. The
mate the rotor flux components of induction motors with schemes direct schemes based on an indirect rotor flux sensing are
such as field-oriented control is described in this paper. The
algorithm is based on the extended Kalman filter theory and
sensitive to variations of motor parameters because the
estimates the desired quantities on line by using only measure- estimators need a machine model. Particularly, the rotor
ments of the stator voltages and currents, and rotor speed. The resistance variations due to temperature have a dominant
on-line adaptation of the inverse rotor time constant makes it negative effect on the estimation accuracy. Analogously,
possible to obtain very accurate estimates of rotor flux compo- the indirect schemes are sensitive to variations of motor
nents, in spite of temperature and magnetic saturation effects.
The algorithm order reduction decreases the computational
parameters, especially to those of the rotor resistance,
complexity and makes the proposed estimator superior to the because the vector controllers require a knowledge of the
other ones based on the EKF theory. rotor time constant [2].
To develop high-performance induction motor drives
the assumptions that the motor parameters are known
I. INTRODUCTION and invariant are not valid. If the position of the rotor flux
I NDUCTION motor drives are now being used more vector cannot be known with high accuracy because of
and more in process industries because of the applica- variations of motor parameters, the transformation of the
tion of the vector control strategy. The induction motors stator current component references, dependent on the
behave like dc machines when vector controllers are used desired values of rotor flux and torque, respectively, into
to maintain a 90" electrical space phase angle between the the instantaneous phase current references is not correct
rotor field and the torque-producing stator current com- and this fact leads to poor dynamic properties and satura-
ponent [l]. This control strategy permits one to obtain tion or under excitation of the machine in the stationary
fast responses to load or speed changes without the dis- point of operation. Therefore, much attention has to be
advantages of slip rings, brushes, and field supply of dc given to rotor flux estimators and rotor time constant
machines. identification schemes.
Generally, two types of field-oriented control schemes In recent years, many papers have been concerned with
are available. In the direct scheme, the instantaneous the on-line identification of the rotor time constant [3]-[5],
position of rotor flux has to be measured using either and many estimators of rotor flux have also been devel-
sensors or estimators. By means of this information, the oped for monitoring and control of induction motors. A
direct and quadrature axis stator current component ref- first lot of estimators in use for control purpose are based
erences, dependent on the desired values of rotor flux and on the observer theory. There are full-order observers
torque, respectively, can be transformed into the instanta- that estimate all the state variables in the model of the
neous phase current references, which are compared to system and reduced observers that only estimate the rotor
the actual ones to generate error signals for hysteresis or flux components. The observer structure and its gain allow
PWM current controllers. In the indirect scheme, a model one to achieve fast convergence rate and reduced sensitiv-
of induction motor is required to calculate the reference ity to parameter variations (see [6]-[lo]), but the error
angular slip frequency that has to be added to the mea- dynamics contains, however, a driving term that is associ-
sured rotor speed. The sum is integrated to calculate the ated with the uncertainty in the rotor resistance and
instantaneous position of the rotor flux. causes a steady-state error. Moreover, the observers are
The direct schemes, which use direct sensing of the air sensitive to any noise in the measurements of currents,
gap flux by Hall probes or search coils, are insensitive to voltages, and speed. A second lot of estimators are based
variations of motor parameters but they suffer from high on the extended Kalman filter theory (EKF) [lll-[14].
cost and unreliability of the measurements because the These estimators have been shown to be the best com-
Hall elements are sensitive to heat and mechanical vibra- puter algorithms for processing noisy discrete measure-
ments and obtaining high-accuracy estimates of dynamic
Manuscript received September 28, 1991; revised November 16,
1992 and March 14, 1993. This work was supported in part by the Italian system states. It is a fairly natural thing to include
Ministry for University, Scientific, and Technological Research unknown parameters, for example, the rotor resistance, in
(MURST). the state vector and once this is done, the designed
The authors are with the Department of Electrotechnics and Electron-
ics, Polytechnic of Bari, Bari 70125, Italy. algorithm also solves the parameter identification prob-
IEEE Log Number 9211425. lem. The EKF-based algorithms described in [11]-[14] are
very interesting, but they appear to be very complex and the zero variable is zero for balanced conditions. In
because of the high order of the mathematical models. (1), f can represent either voltage, current or flux ( U , i, or
The applicability of the Kalman filter to real-time signal A). This change of variables and the introduction of the
processing problems is generally limited by the complex complex quantity
mathematical operations, for example the matrix inver-
sion, necessary in computing the designed algorithm.
Reducing the order of the mathematical model simpli- yield the following stator and rotor voltage equations 1151:
fies the computational problems and makes it technologi-
cally feasible to implement Kalman filters in real time
with DSP processors. Therefore reduced-order EKF-based
algorithms are highly desirable.
In this paper, a new reduced-order EKF-based estima- where p is the operator d/dt, L , is the stator inductance,
tor is presented. The estimator uses the mathematical L , is the rotor inductance, L,, is the magnetizing induc-
model of the rotor circuit to perform the function of tancc, R , is the stator resistance, R , is the rotor resis-
prediction of the rotor flux components. Moreover the tance, u, = K,/L,, (T = 1 - L',,/L,L,, w, is the electrical
estimator includes a third equation to predict the inverse angular speed of the rotor, and
rotor time constant. The predicted values are adjusted by
adding the product of the Kalman gains and the differ-
ences between the measured quantities and their predic-
tions. The adjustment gives the estimates of the rotor flux
components and inverse rotor time constant. The motion of the mechanical system is described by
The main contributions of this paper may be divided p u r = itZ,,(Te- TI-)/J - R,w,/J (7)
into five parts. In the first part the mathematical model of
an induction machine is recalled to evidence the stator where J is the inertia of the rotor and connected mechan-
and rotor equations and to illustrate the time-domain ical load, R,,, is the damping coeffient, TL is the load
block of the motor in the d - q reference frame. In the torque, and n p is the number of pole pairs. The electro-
second part the system configuration with speed and magnetic torque r,
may be expressed as
flux-regulating loops, Kalman filter, and direct field orien-
tation is presented in conjunction with the transfer func-
tions and the criteria of controller design. The third part If a rotating reference frame d - g, oriented in such a
contains the development of the new algorithm to esti- way that the rotor flux vector h,,, points into d-axis
mate the state variables and parameter of interest. The direction, is defined, a simplification of the mathematical
estimator equations are written in complex form because model is achieved. The transformation of the a - p vari-
the electrical engineers are more familiar with its use. ables to the d - q reference frame is
The fourth part recalls some well established reduced-
order observer equations (see [71 and [9]), which are also (9)
expressed in compact complex form, for sake of compari- wherc
son with the proposed EKF-based algorithm. Finally simu-
lation results of transient and steady-state performances
of both the new estimator and the reduced-order observers
are presented to highlight their effectiveness.
and
11. MATHEMATICAL
MODELOF INDUCTION MOTOR A,. = (AS, + AT,) l/Z .
In this section we recall the mathematical model of a
three-phase induction motor. The voltage equations may In the d - q reference frame, (5) and (8) may be expressed
be written in the stationary reference frame a - p - 0 by as follows
using the following transformation:
PA, = -?Ar + u,L,,i,, (12)
(13)
where
1 - _1 - _1
2 2
K = 6 0 -
2
--
2
Equations (12) and (14) show that i,, and i,, are the
rotor flux and the torque-producing components of the
stator current. Field orientation is accomplished by con-
trolling independently these two current components.
1 1 1
Fig. 1 illustrates the time domain block diagram of a
E E 777 three-phase induction motor in the d - q reference frame.
498 IEEE TRANSACTIONS ON INDUSTKIAL. ELECTRONICS, VOL. 40. NO. 5 , OCTOBEK 1993
1 + kpA
-.F
tion process is described by a state-space mathematical Equation (25) is obtained from (4) and (6) by applying the
model and an observation equation, see [I71 and 1181. classical Euler method to give a discrete form to (4), and
It is possible to assume that the estimation process is +
the term Zap = vCx ju, is the measurement error.
governed by the "current model" that is ( 5 ) [XI. Unfortu- Equation ( 2 5 ) may be written in matrix form as follows:
nately the operational changes in the parameter q , which
depends on temperature and saturation, have negative z'"(n + 1) = Hx(n + 1) + J x ( n ) + v ( n + 1) (28)
influence on the rotor flux estimation. As a consequence, where
the additional parameter a, has to be estimated in con-
junction with the rotor flux components and a further
equation must be appended to (5). The complete mathe-
matical model of the estimation process has to be dis-
cretized when measurements at discrete points in time are
available. It results in
We assume at this point that we have an initial estimate
rcfP (n + 1) = h I (1 p( n ) e ~ ~ r , ~ ~ ~ ~ Tt
+ ~ ~ ~ ~ : " ' ~ ~ ) l of the process at the time ( n ) [181. With this assumption
we now seek to use (21) and (22) to predict the rotor flux
components and the parameter a, at the time ( n + 1).
The prediction equations are
.[e-,r,(ll)?+Jm:"(fl)/ 11 + -
EA(r/j(lz) (21) ( n + 1) = hr u p ( n ) e - e r ( n ) T + l u : ' ( n ) T +
I ap
a,(n + 1) = q ( n ) + E , , ( H ) (22)
where T is the sampling time interval, during which the
measured stator currents, : z :i and rotor speed w:' are .[e f:,irl)r+ i w Y ( n ) T - 11
considered to be constant, F A U P = 4 , + jcA0 and E,,, are
-
(29)
the model errors, and (3;(n + 1) = < ( n ) (30)
1 where (-) denotes prediction. Equations (29) and (30) may
;Tcf,(n)= f i i y i ( n ) +j--[iy:,(n) + 2iY;,(tz)]. (23) be written in a compact form as follows:
0
Equations (21) and (22) may be written in matrix form as
f(n + 1) = f ( i ( n ) , n ) . (31)
follows: Correcting the predicted state variables h,,(n + l), hrp
+ 1) = f ( x ( n ) , n )+ E +
( n + I), and Gr(n 11, by means of the measurements
x(n (24) +
z:'(n + 11, and z$(n l), gives the estimates at the time
where instant ( n + 1) according to the following estimation
equation:
X = [ A , , A,, €=[EAn EA@ E<,,]',
and f = [ f , f2 fill.
P ( n ) = E { ( i ( n ) x ( n ) ) ( i ( n >- x ( n > ) 7
- (34)
P ( n ) = E { ( f ( n ) - x ( n ) ) ( i ( n )- x ( n ) I T } (35)
500 IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 40, NO. 5, OCTOBER 1993
where E represents the expectation operator. It is pos- where a,* is the reference value of the parameter 0;
sible to choose the gain matrix G so to minimize the subjected to operational changes. Discretizing (41) yields
estimation error variances for the elements of the state
vector being estimated, ?hat is the individual terms along
the major diagonal of P ( n ) . In the hypothesis that v and
E are uncorrelated vectors of random noise, quantities
having zero mean and covariances N and Q , the result is
G ( n + 1) = ( F ( n + l)HT+ @(n)P(n)JT)
.[HF(n + l ) H T + N + Jk(n)JT
+ H @ ( n ) r ; ( n ) J T + Jk(n)@T(n)HT]-'
(36)
where
F(n + 1) = @ ( n ) k ( n ) @ ' ( n +) Q (37)
and @ ( n )is a 3 X 3 matrix having the following elements where
- -(U, - +
j w r m )-h r a p u , L , ~ ' ~ ~ ,
where h is a complex coefficient 161, and E.\, is the model A r u g e - l w ~ ' , is,:
p'uy', respectively.
error. The estimation equation is The choice h = 0 gives the discrete "current model"
(1 - z2)p:ra, - hULspEya,
estimates [81. In this case the error time constant is l / q *
and the "current model" sensitivity to a, variations is
equal to 1. There is evidence that the choice h = Lr/2L,,
suggested by Verghese and Sanders for ease of illustration
[6], gives estimates that converge faster because the error
time constant becomes 1/2a,*, and the observer sensitiv-
ity to a, variations equal to 2.
1
SALVATORE et al: A NEW EKF-BASED ALGORITHM 501
1.3
I
I
rotor flux estimated via Hori and Umeno
1.25
$ 1.3
n/
2
1.2 6: actual rotor flux
1j '
1.15
U
8
l.l actual rotor flux 1.1
.* rotor flux estimated via EKF algorithm
1.os
v1
e,
11
0
I 0.05 0.1 0.15 0.2 0.25 0.3
1
0 0.05 0.1 0.15 0.2 0.25 0.3
time, s
time, s
Fig. 7. Rotor flux estimated via reduced-order observer proposed by Fig. 10. Rotor flux estimates carried out in presence of strong measure-
Bellini, Figalli, and Ulivi, with the reference of the inverse rotor time ment noise: a) via reduced-order observer proposed by Hori and Umeno,
constant equal to 50% and 100% of the actual value (50% increase of with the reference of the inverse rotor time constant equal to 50% of the
speed at t = 0.05 s). actual value, and b) via EKF algorithm, with the initial value of
the inverse rotor time constant equal to 50% of the actual value.
1.3 I I
. . * . .. . .
injectea noise ana nave steaay-state errors wee
. . I ~ I"*\
(44)
..J
anu
g 1.25 1 (45)).
The superior transient and steady-state performances
of the new EKF-based reduced-order algorithm in com-
rotor flux estimated via EKF algorithm parison with the other ones (see Figs. 4-10) are due to the
recursive estimation method of Kalman, and the on-line
updating of the inverse rotor time constant that has been
actual rotor flux considered a further state variable (see (29)-(32)).
I
VII. CONCLUSION
0 0.05 0.1 0.15 0.2 0.25 0.3 This paper has examined the problem of flux compo-
time, s nent and inverse rotor time constant estimation in induc-
tion machines. The new recursive algorithm developed in
Fig. 8. Rotor flux estimated via EKF-based reduced-order algorithm
with the initial value of the inverse rotor time constant equal to 50% of this work is based on the EKF theory. It has shown
the actual value (50% increase of speed at t = 0.05 s). superior behavior to other well known methods. Its advan-
tages may be resumed as follows: reduced order of the
mathematical model, high convergence rate in the estima-
tion of the rotor flux components, high convergence rate
in the contemporaneous estimation of the inverse rotor
time constant, estimates of high accuracy, good perfor-
mance in transient conditions, very low steady-state error,
optimal rejection of measurement noise.
.I
4
31
0 0.05 0.1 0.15 0.2 0.25
In spite of the inverse rotor time constant variation, the
use of the flux estimates in the coordinate changer and
flux-regulating loop has made it possible to keep constant
rotor flux in the machine under direct field orientation.
The high accuracy of the estimate of the "actual" inverse
rotor time constant also suggests the possibility of using
0.3 the new algorithm for correct implementation of indirect
time, s field orientation schemes.
Fig. 9. Inverse rotor time constant estimated via EKF-based reduced-
order algorithm (50% increase of speed at t = 0.05 SI.
ACKNOWLEDGMENT
The authors would like to thank the anonymous review-
ers of this paper; the EKF-based algorithm has been
the observer proposed by Bellini, Figalli, and Ulivi are improved because of their very useful comments.
very similar to those derived from the observer of Hori
and Umeno and, therefore, have not been reported in REFERENCES
Fig. 10. There is evidence that the EKF-based algorithm is [l] W. Leonhard, Control of Electrical DriLm. Berlin: Springer-
Verlag, 1985.
able to reject the strong noise injected into the estimator [2] B. K. Bose, Power Electronics and AC Drices. Englewood Cliffs,
inputs. On the contrary, the observers are sensitive to the
lEEE TRANSACTIONS O N INDUSTRIAL ELECTRONICS, VOL. 40, NO. 5 , OCTOBER 1993
W. Leonhard, “Control of ac-machines with the help of microelec- Luigi Salvatore was born on March 4, 1945, in
tronics,” in IFAC Control in Power Electronics and Electrical Dric~s, Lecce, Italy. He received the degree in electrical
Lausanne, Switzerland, pp. 769-792, 1983. engineering from the University of Bari, Italy, in
T. Matsuo and T. A. Lipo, “A rotor parameter identification 1970.
scheme for vector-controlled induction motor drives,” IEEE Trans. From 1976 to 1983, he worked in the Electri-
on Ind. Applications, vol. IA-21, pp. 624-632, 1983. cal and Electronic Department of the same
G. Andria, A. Dell’Aquila, and L. Salvatore, “On-line identifica- University as a member of the research team on
tion of induction motor parameters,” in Proc. Elecfrical Drii.e electrical machines. From 1983 to 1987, he was
Symp. 1987, Cagliari, Italy, 1987, pp. 201-214. a Researcher of electrical machines in the same
G. C. Verghese and S. R. Sanders, “Observers for flux estimation department. From 1987 to 1991, he was an Asso-
in induction machines,” IEEE Trans. Ind. Electronics, vol. 35, ciate Professor of clectrical machines at the
pp. 85-94, 1988. University of Bari. Since 1991, he has been an Associate Professor of
A. Bellini, G. Figalli, and G. Ulivi, “Analysis and design of a electrical machines at the Polytechnic of Bari He has produced over 50
microcomputer-based observer for an induction machine,” Auto- technical papers, 23 of which have been published in periodic journals.
matica, vol. 24, no. 4,pp. 549-555, 1988. His current research interests include the control, monitoring, and
R. Nilsen and M. P. Kazmierkowski, “Reduced-order observer dignostic of ac drives, and the areas of signal processing and digital
with parameter adaption for fast rotor flux estimation in induction measurements on power electronics systems.
machine,” IEE Proc., vol. 136, pp. 35-43, 1989. Prof. Salvatore is a member of the Italian Electrical and Electronic
Y. Hori and T. Umeno, “Flux observer based field orientation Association (AEI).
(FOFO) controller for high performance torque control,” in Int.
Power Electronics C o n f , Tokyo, Japan, 1990, pp. 1219-1226.
G. Franceschini, C. Tassoni, and A. Vagati, “Flux estimation for
induction servo-motors,” in Int. Power Electron. CO$, Tokyo,
Japan, 1990, pp. 1227-1234. Silvio Stasi was born in Bari, Italy. He received
F. Hillenbrand, “A method for determining the specd and rotor the degree in electrical engineering from the
flux of the asynchronous machine by measuring the terminal University of Bari, in 1989. Currently he is pur-
quantities only,” in IFAC Control in Power Electronics and Electri- suing the doctoral degree at the Polytechnic of
cal Drices, Lausanne, Switzerland, 1983, pp. 55-62. Bari. His research interests are in electrical
L. C. Zai and T. A. Lipo, “An extended Kalman filter approach to machinery, estimation techniques, and adaptive
rotor time constant measurement in PWM induction motor drives,” control.
in Conf: Record IEEE Ind. Applications Sociery Ann. Meeting,
Atlanta, GA, 1987, pp. 177-183.
M. La Cava, C. Picardi, and F. Ranieri, “Application of the
extended Kalman filter to parameter and state estimation of
induction motors,” Int. J. Modelling Simulation, vol. 9. no. 3,
pp. 85-89, 1989.
D. J. Atkinson, P. P. Acarnley, and J. W. Finch, “Application of
estimation techniques in vector-controlled induction motor drives,”
in 4th Int. Conf Power Electron. and Variable Speed Drii.es, London. Lea Tarchioni was born in Bari, Italy. She
1990, pp. 358-363. received the degree in electrical engineering
P. C. Krause and 0. Wasynczuk, Electromechanical Motion Dei,ices. from the University of Bari, in 1990.
New York: McGraw-Hill, 1989. From 1990 to 1991 she worked in the Electri-
L. Szklarski. K. Jaracz, and A. Horodecki, Elecfric D r i i ~Systems cal and Electronic Department of the same
Dynamics. Amsterdam: Elsevier, 1990. University as a member of the research team on
A. H. Jaminski, Stochastic Processes and Filtering Theory. London: electrical machines. From 1991 to 1992, she
Academic, 1970. worked in IBM in Raley R.T.P., N.C., as a
A. Gelb, Applied Optimal Estimation. Cambridge, MA: M.I.T. systems designer. Since 1992, she has worked for
Press, 1988. ENEL the Italian Electrical Company. Her
R. G. Brown and P. Y. C. Hwang, Introduction to Random Signal.5 research interests are in the electrical machin-
and Applied Kalman Filtering. New York: Wiley, 1992. ery, especially induction motor drives and their nonlinear control.