2474 IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 54, NO.

5, OCTOBER 2007

Sensorless Position and Speed Control of Induction

Motors Using High-Frequency Injection and
Without Offline Precommissioning
Qiang Gao, Greg Asher, Fellow, IEEE, and Mark Sumner, Senior Member, IEEE

Abstract—This paper addresses the sensorless speed and posi-

tion control of induction motors using high-frequency injection
at zero and low frequencies. A novel algorithm is presented
which allows the rejection of saturation and nonlinear inverter
effects without the need for an offline precommissioning process.
The method is based on a set of synchronous filters to identify the
disturbance waveforms and a memory algorithm that refines the
quality of the disturbance waveforms as the motor’s operational
history is increased. The algorithm is entirely sensorless. Experi- Fig. 1. Extraction of position signals ip_αβ (s = d/dt).
mental results show sensorless low-frequency operation with and
without the memory algorithm.
the machine above ft . If this is in accordance with the natural
Index Terms—Disturbance identification, high-frequency injec- load cycles of the machine, then the method can be consid-
tion, induction motors (IMs), sensorless control. ered “precommissionless.” Experimental results are shown for
a 30-kW cage IM exhibiting rotor-slotting effects.
I. I NTRODUCTION
II. A NISOTROPY I DENTIFICATION
I T IS well known that fundamental-wave model-based en-
coderless speed- and position-estimation techniques for
induction-motor (IM) drives are unreliable at low operating fre-
Consider the injection of a rotating high frequency (ωc ) in
the stationary frame in the manner of the study in [4]. For an
quencies. Several techniques using a nonmodel-based approach
IM with Nr /p open or semiclosed rotor slots per pole pair, the
have, therefore, been developed. These rely on the injection of
resulting HF current will be of the form
a continuous high-frequency (HF) signal [1]–[5] or voltage test
vectors superimposed on the excitation frequency [6]–[9]. Both isc_αβ = icp ejωc t + icn ej(−ωc +ωsh )t (1)
types of method track a motor anisotropy: either the saturation
for flux estimation or rotor slotting for rotor-position estima- where the slot harmonic frequency ωsh = ωr Nr /p and ωr is the
tion. However, in order for the method to work in practice, rotor speed. icp and icn are the amplitudes of the positive and
effects due to unwanted anisotropies must be eliminated. This the negative-sequence components, respectively. The negative-
has led to the development of memory-based algorithms that sequence component contains the information of the rotor posi-
store, via a precommissioning process, the disturbances in time tion, which is extracted in the form of two orthogonal “position”
as functions of the IM’s torque current [6], [9], [10]. This paper signals ipαβ by the synchronous filter in Fig. 1 [4]. However,
tracks the IM position using a continuously updated memory anisotropies due to saturation and nonlinear converter effects
algorithm that stores and refines the disturbance profiles when- [6], [10] are also present in the negative-sequence component.
ever the machine is taken above a low threshold frequency ft . The normalized ipα component of the position signal is shown
The latest learnt profiles are then utilized when the motor drops in Fig. 2, where it can be seen that, in addition to the desired
below ft . The algorithm is sensorless, and “learning” is shown ωr Nr /p = 28ωr component, there exist multiple components
to be effective after a few cycles. Good experimental perfor- of the frequency kωe (k = 2, 4, . . ., etc., and ωe is the excitation
mance down to zero frequency under any load is obtained, frequency) whose amplitudes are comparable to the rotor-slot
provided that an approximately similar load is first presented to component. These components make it difficult to estimate the
rotor position and, hence, need to be identified and compen-
sated for.
Manuscript received December 25, 2005; revised April 7, 2006. This paper
was presented at the 31st Annual Conference of the IEEE Industrial Electronics
Society, Raleigh, NC, November 2005.
The authors are with the School of Electrical and Electronic Engineering,
A. Principle of the Synchronous Filters
University of Nottingham, University Park, NG7 2RD Nottingham, U.K.
(e-mail: Eexqg2@nottingham.ac.uk; greg.asher@nottingham.ac.uk; mark.
The disturbing components can be expressed as
sumner@nottingham.ac.uk).
Color versions of one or more of the figures in this paper are available online

n

at http://ieeexplore.ieee.org. idis_αβ = ipαβ _k ej(kθi +θk ) (2)

Digital Object Identifier 10.1109/TIE.2007.900364 k=0

0278-0046/$25.00 © 2007 IEEE

GAO et al.: SENSORLESS POSITION AND SPEED CONTROL OF IMS USING HIGH-FREQUENCY INJECTION
Fig. 2. Position signal extracted from the negative-sequence component of
HF current. (a) Alpha component ipα . (b) FFT of ipα (fr = ωr /(2π) and
fe = ωe /(2π)).
Fig. 3. Synchronous filters block for the identification of fundamental fre-
quency harmonics kωe .
where θi is the instantaneous angle of the stator current vector,
and θk is an arbitrary angle. Each of its harmonics can be
identified by an individual synchronous filter. The synchronous-
filter block for the identification of fundamental frequency
harmonics kωe is shown in Fig. 3. The kth bank transforms the
extracted negative-sequence component into a synchronous dq
frame rotating at kθi
ipdq_k = ipαβ _k e−kjθi .
Each of the kth (k = 2, 4, . . . , n) corrupting harmonics
ipαβ _k is now at dc and is retained with a low pass filter
of cutoff frequency fsyn that is arbitrarily low (0.1–0.5 Hz).
The retained harmonics are transformed back into the negative-
2475
Fig. 4. Schematic of the sideband filter for h = 1 (θ1 = θi ).
sequence frame and added to form a total disturbance signal
shown as (2).
Ideally, idis_αβ represents the total saturation and converter
harmonics if the number of the synchronous filters is suffi-
ciently high. In practice, it will be limited by the computing
power of a microcontroller. In this paper, k = 2, 4, 8, 10, and 14
are implemented.
Once the disturbance components have been identified, one
can obtain an enhanced signal


m
Nr
ipp_αβ = ipαβ − idis_αβ = iph ej ( pp θr +θh ) (4)
h=0
where θr is the rotor position, Nr θr /p is the rotor-slot position,
iph is the magnitude of hth sideband harmonics about the
rotor-slot position harmonic, and θh is the hth offset angle
from Nr θr /p. The sideband harmonics can easily be removed
by a downstream synchronous filter in the rotating frame


(hθr Nr /p + θh ) [9], as shown in Fig. 4 for h = 1, where θ rs
is the estimated rotor-slot position, and ipr_αβ is the compen-
sated rotor-slot position vector. Fig. 2 shows the fast Fourier
transformation (FFT) of the sideband component for h = 1. It
is noted that the synchronous filters have a low cutoff frequency
so that the signal in (4) is only enhanced above fsyn . Since the
filtering is done in a synchronous frame, there is no phase shift
on the retained disturbance signal. Furthermore, the amplitude
of ipαβ _k varies negligibly with fe so that changes in fe do
not affect the delay in ipαβ _k . However, ipαβ _k is a function
of load, so that, under load transients, the signal ipp_αβ of (4)
is only enhanced after, typically, 0.8 s for fsyn = 0.5 Hz. Note
also that below fsyn , all the kωe harmonics, which is shown
in Fig. 2, converge to zero as fe → 0 so that synchronous
filtering becomes ineffective. Furthermore, machine operation
when kωe ≈ ωr Nr /p (for any k) also means that identification
of kωe by synchronous filtering is impossible. In order to
overcome the above problems and so effect good operation
down to zero frequency under all load conditions, a memory-
storage method is proposed that effectively enhances the signal
idis_αβ in real-time.
(3) B. Memory Algorithm
The memory mechanism is illustrated in Fig. 5. The mem-
ory accepts the signals idis_αβ from the synchronous filters
(SW1 is closed) when the fe > ft > fsyn , where ft is a
threshold value, typically 0.5–1 Hz. The memory consists
of a 2-D array imem (ni , nθ ), where ni = 1, 2, . . . , Ni and
2476
Fig. 5. Memory mechanism for the storage of the disturbance waveforms.
nθ = 1, 2, . . . , Nθ , each location corresponding to a member-
ship {ni ∆isq , nθ ∆θi }, where Ni is the maximum load current
(isq ) index and Nθ is the maximum current angle index. When
the value idis_αβ (isq , θi ) is fed to the memory, it is assigned
to the particular cell imem (ni , nθ ) according to the values of
(isq , θi ). Also assigned to each cell is a value m, which is the
number of times that the cell has been accessed. The cell value
is then updated according to
m · iold
mem (ni , nθ ) + idis_αβ (isq , θi )
inew
mem (ni , nθ ) = (5)
m+1
and m is incremented accordingly. Equation (5) corresponds
to a running-average filter. The value of idis_αβ (isq , θi ) that
is used in (5) can be interpolated depending on the degree
of membership of that cell according to the value of (isq , θi ).
The final value of the “enhanced” position signals ipp_αβ now
depends on the operational conditions as follows.
1) If fe < ft and m = 0, then SW1 = 0 and SW2 = 0, and
(4) holds. There is no learning, and the drive performance,
although functional (see Section IV) will be poor.
2) If fe > ft , then SW1 = 1 and SW2 = 1, and ipp_αβ is
derived from the memory viz.,
ipp_αβ = ipαβ − inew
mem (ni , nθ ).
Again, an output interpolation can be employed de-
pending on the degree of membership of the cell (ni , nθ )
according to the value of (isq , θi ). Under this operation,
the memory is learning from the synchronous filters and,
at the same time, producing the processed values for the
position estimation.
3) If fe < ft and m > 0, SW1 = 0 and SW2 = 1, and
ipp_αβ is again derived from (6). Under this opera-
tion, ipp_αβ is derived entirely from the memory, the
synchronous-filter output is not used, and “learning” is
blocked.
The position estimation can now work down to zero funda-
mental frequency. It is emphasized that this is possible since
the amplitude of ipαβ _k varies negligibly with fe , so that, the
amplitude of inew mem from the memory is valid for the range
fe from zero to a value where HF injection is turned off. In
addition, if under condition 2), the value of isq is held approx-
imately constant for a few time constants of the synchronous
filters (e.g., 2 s), then load transients (to approximately similar
magnitudes) can be successfully handled under condition 3).
Another feature is that only the speed–torque profile of the
particular load application is “learnt.” The memory will contain
no information of the torque values, which do not occur in
practice.
IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 54, NO. 5, OCTOBER 2007
Fig. 6. Window-spanning adjacent memory locations i, j, k, and l.
C. Input/Output Interpolation of the Memory
Since the disturbing signals are fed to the memory with finite
size, a memory-interpolation procedure acts on the input signal
for more accurate signal storage. A similar output interpolation
acts to create the output signal. Since the procedures for both
the input and output interpolation are similar, only the method
for input is given here. Various interpolation approaches exist,
such as the polynomial interpolation and spline interpolation
[11], and the one used is based on the idea of the averaged
gradients.
Consider four adjacent memory locations, i(ni , nθ ), j(ni +
1, nθ ), k(ni , nθ + 1), and l(ni + 1, nθ + 1), storing a com-
ponent of the disturbance signal, as shown in Fig. 6. The
input signal to the memory may be defined by a point p(ni +
∆i, nθ + ∆θ) (0 ≤ ∆i ≤ 1, 0 ≤ ∆θ ≤ 1) and is a function of
the instantaneous current angle and the load (see Fig. 5).
The point will fall between memory locations. The procedure
(6) to decide the new values to be assigned to the points i, j, k, and
l uses the averaged gradients computed at point p

∂idis_α 
≈ (1 − ∆θ) · (idis_α (j) − idis_α (i))
∂isq p
+ ∆θ · (idis_α (l) − idis_α (k)) (7)


∂idis_α 
≈ (1 − ∆i) · (idis_α (k) − idis_α (i))
∂θ  p
+ ∆i · (idis_α (l) − idis_α (j)) . (8)
From (7) and (8), four new estimated values for the points i,
j, k, and l can be calculated. For example, in the case of the
point i of the α component, the estimation is
 
∂idis_α  ∂idis_α 
idis_α (i) = idis_α (p) − ∆i · − ∆θ · .
∂isq p ∂θ p
(9)
The final values to be saved in the memory are calculated
according to (5). Fig. 7 shows the output of the memory when
the drive was run at 30 r/min under 80% rated load. There is
a good identification of the disturbance signals, and hence, the
compensated position signal can be seen.
GAO et al.: SENSORLESS POSITION AND SPEED CONTROL OF IMS USING HIGH-FREQUENCY INJECTION
Fig. 7. 80% rated load at 30 r/min. (a) Normalized HF position signal ip_α
(1) and identified disturbance signal idis_α
(2). (b) Compensated position
signal ipp_α .
Fig. 8. System block of the speed sensorless control (ADI: adaptive distur-
bance identifier).
III. S ENSORLESS S PEED AND P OSITION E STIMATION
Fig. 8 shows the system of the sensorless speed and posi-
tion estimation. Only a sensorless speed controller is shown,
although a position loop can be added if required. After com-
pensation of the disturbance components, only the frequency of
the component ωr Nr /p remains.
A single sideband synchronous filter (SBF) [9] is used to
eliminate the remaining rotor-speed-associated component. The
output of the SBF is the rotor-slot position signal ipr_αβ , from


which θ rs and θ̂r may be derived. However, an observer similar
to the study in [2] is implemented and is shown in Fig. 9.
Instead of tracking the 2θ̂r component in the stationary frame,
as in the study in [2], the observer is implemented in the
negative-sequence HF frame to track the rotor-slot position
signal using the compensated position signals ipr_αβ . This was
included in order to reduce noise, particularly under heavy load,
and also to assist the motor in starting in order to raise the
machine frequency above the threshold value. The observer
2477
Fig. 9. Schematic of the modified mechanical observer (J is the moment of
inertial and kd is a design constant).
Fig. 10. Sensorless start-up from 0 to 30 r/min. (a) Measured speed (in revolu-
tions per minute). (b) Estimated rotor position (in radians), fe ≈ fr = 1.0 Hz.
creates a feedback signal at the slotting frequency, and its
dynamics are fast. The noise-reduced outputs, ω̂r , θ̂r , and θ̂rs ,
are utilized for the speed feedback, field orientation, and the
transformation angle for the SBF, respectively.
IV. E XPERIMENTAL R ESULTS
The sensorless position- and speed-estimation scheme was
implemented with speed control on a 30-kW IM, whose pa-
rameters are given in the Appendix. All results are under
sensorless speed control.
A. Sensorless Start-Up
First, it is shown that the system can start in order to reach
the condition fe > ft . The system is under no-load, and the
speed demand is 0→30 r/min at t = 1 s in Fig. 10. SW1 = 0
and SW2 = 0, and the memory is not activated.
The synchronous filters are started from zero initial states,
but the scheme gives a meaningful estimate after 5 s. The test
shows that the drive can self-start under sensorless conditions
to reach the frequency above the threshold value so as to enable
the memory “learning.”
2478
Fig. 11. Speed response to step-load changes 0% → 35%. Speed controlled
to 18 r/min. (a) Filtered isq (A). (b) Measured speed (in revolutions per minute).
(c) Estimated rotor position (in radians).
Fig. 12. Without memory 50% rated load step at 18 r/min. (a) Filtered isq (A).
(b) Measured speed (in revolutions per minute). (c) Estimated rotor position (in
radians).
B. Comparison of the Performance Under Load Condition
Without and With Memory
To show low-speed performance under torque changes with-
out learning, a test was carried out without memory (SW1 =
0 and SW2 = 0). At 18 r/min, 35% rated load was applied
and then removed repeatedly. This corresponds to fe = 0.6
changing to 0.87 Hz. Fig. 11 shows the performance. Owing
to the disturbance waveforms being a function of load, some
synchronous filter-settling behavior is observed. During this
period, the performance is relatively poor as would be expected.
It was found in practice that the system without memory could
not handle steps greater than 35%. A step change of 50% at
2.5 s at 18 r/min is shown in Fig. 12. As shown, the drive could
not hold the torque.
The next two tests were implemented with the memory
being enabled after an initial learning phase. This corresponds
to condition 2) in Section III with fe > ft , SW1 = 1, and
IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 54, NO. 5, OCTOBER 2007
Fig. 13. Speed response to step load 0% → 35% at 18 r/min with memory
enabled. (a) Filtered isq (A). (b) Measured speed (in revolutions per minute).
(c) Estimated rotor position (in radians).
Fig. 14. Response to −12 r/min → −42 r/min → −12 r/min demands with
28% rated load and memory enabled at −42 r/min. (a) Filtered isq (A).
(b) Measured speed (in revolutions per minute). (c) Estimated rotor position
(in radians). (d) Rotor flux angle (in radians).
SW2 = 1. Fig. 13 shows the same test as that of Fig. 11 but
with the memory activated at t = 5 s. The initial dynamic is
of course similar to that of Fig. 11. However, the response to
the subsequent steps is seen to be considerably improved with
good performance being evident. Fig. 14 shows the IM operat-
ing under low-frequency regenerative conditions. Initially, the
speed is controlled to −12 r/min or −0.2 Hz at 28% load.
The frequency is less than the threshold value so that the
memory is disabled and empty. Poor rotor-position estimation
may be observed as the compensation signals came from the
synchronous filters limited by the cutoff frequency. Increasing
the load would result in unstable control. The speed demand is
GAO et al.: SENSORLESS POSITION AND SPEED CONTROL OF IMS USING HIGH-FREQUENCY INJECTION 2479

Fig. 15. Memory learning in step load mode 0% → 35% → 0% → 50% →

0% → 65% rated load, at 30 r/min. (a) Filtered isq (A). (b) Measured speed Fig. 16. Speed response to step load changes 0% → 70%. Speed controlled
(in revolutions per minute). to 0 r/min. (a) Filtered isq (A). (b) Measured speed (in revolutions per minute).
(c) Rotor flux angle (in radians).

then stepped to −42 r/min or −1.2 Hz to enable the memory

learning. Clean compensation components are now generated
and saved into the memory. When the speed is stepped back
to −12 r/min, the learning ends. Since the proper disturbance
values have been stored into the memory, good estimation
continued. This test illustrates the capabilities of the memory
“learning.”
For the memory to learn under higher loads (here > 50%
rated), one option is to increase the load in a staircase man-
ner. However, we show, here, successive steps 0% → 35% →
0% → 50% → 0% → 65% → . . ., in which memory input oc-
curs at each positive step. Thus, the 50% step will use the
“learnt” values of the previous 35% case. Of course, the per-
formance for the new larger step will not be perfect, but Fig. 15
shows that the sensorless drive is able to step up in load by
using the disturbance “learnt” from the previous largest applied
load value. The procedure was performed under sensorless
conditions with the memory for every load condition being
empty at t = 0. It is, therefore, reasonable to expect the same Fig. 17. Speed response to step-load changes 0% → 54%. Speed controlled
to −12 r/min. (a) Filtered isq (A). (b) Measured speed (in revolutions per
effect of the poor estimation, as shown in Fig. 11, within the minute). (c) Rotor flux angle (in radians).
first 2 s of each step, after which, the synchronous filters settle.
This is the case.
Fig. 16 shows that the drive is capable of withstanding Fig. 19 illustrates the capability of the drive to perform
large load steps at zero rotor speed with fe = 0 and 0.48 Hz. the speed reversal under load conditions in which the stator
The memory has learned prior to this test. Since fe is less frequency goes to zero.
than the threshold value, the memory provides the disturbance
waveforms, and the output of the synchronous filter is not used.
V. C ONCLUSION
This corresponds to the condition 3) in Section III, SW1 = 0
and SW2 = 1. A criticism of frequency-injection techniques for estimating
In Fig. 17, load steps of 54% rated torque were applied to the flux or rotor position at low and zero frequencies has been
the IM controlled at −12 r/min. This corresponds to a stator that they require some precommissioning in order to obtain a
frequency switched from −0.4 to 0 Hz. It shows that the drive record of the disturbance signatures. This paper has proposed an
can hold the torque in a step manner at zero frequency. As the online method of obtaining the disturbance signatures that can
excitation frequency falls below the threshold frequency, only be carried out under sensorless conditions and without a con-
the signals from the memory are used. A speed step under heavy ventional machine model. The method relies on synchronous
load is shown in Fig. 18, such that, the stator frequency goes filters augmented by a memory array that updates the signatures
from 1.48 to 0.48 Hz, which lie on both sides of the thresh- whenever the frequency exceeds a threshold. The signatures are
old frequency. It shows the smooth mode switching of SW1 then used to yield good performance when the frequency drops
and SW2. below the threshold. The only constraint on the method is that
2480
Fig. 18. Speed steps between 0 and 30 r/min under 75% rated load. (a) Filtered
isq (A). (b) Measured speed (in revolutions per minute). (c) Rotor position
angle (in radians).
Fig. 19. Speed reversal at ±12 r/min under load. (a) Filtered isq (A).
(b) Measured speed (in revolutions per minute). (c) Rotor flux angle (in
radians).
the drive must be able to reach the threshold value before load
torque is presented to the “learning mechanism.” For the system
described in this paper, starting from zero speed was only
consistently possible for loads below 40%. However, above the
threshold frequency of 0.5 Hz, a succession of load torques
applied to the drive enabled generalized memory updating that
allowed the drive to subsequently operate under all low- and
zero-speed conditions. The mechanism has been verified for
position estimation for an open-slot IM, operating under speed
sensorless conditions.
A PPENDIX
IM parameters: Brook Crompton, ∆-connected, 415 V,
50 Hz, 30 kW, 53 A, 1480 r/min, 56-slot rotor, and moment
of inertia: J = 0.69 N · ms−1 .
IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 54, NO. 5, OCTOBER 2007
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Qiang Gao received the B.Sc. and M.Sc. degrees
in electrical engineering from the Shanghai Jiao
Tong University, Shanghai, China, in 1998 and 2001,
respectively. He has recently completed his Ph.D.
degree in sensorless IM drives at the University of
Nottingham, Nottingham, U.K.
From 2001 to 2003, he was a Research and De-
velopment Engineer at the Delta Power Electronics
Centre, Shanghai, working on the permanent-magnet
machine design and control. His current research is
on the sensorless control of induction machines.
GAO et al.: SENSORLESS POSITION AND SPEED CONTROL OF IMS USING HIGH-FREQUENCY INJECTION
Greg Asher (F’07) received the degree in electrical
and electronic engineering and the Ph.D. degree in
bond graph structures and general dynamic systems
from Bath University, Bath, U.K., in 1976 and 1979,
respectively.
He was appointed as a Lecturer of control in
the School of Electrical and Electronic Engineer-
ing, University of Nottingham, Nottingham, U.K., in
1984, where he developed an interest in motor-drive
systems, particularly the control of ac machines. He
was appointed as a Professor of electrical drives in
2000 and is currently the Head of the School of Electrical and Electronic
Engineering. He has published over 200 research papers.
Prof. Asher was a Member of the Executive Committee of European Power
Electronics Association until 2003. He is an Associate Editor of the IEEE
Industrial Electronics Society and is currently the Chair of the Power Elec-
tronics Technical Committee for the Industrial Electronics Society. He is the
recipient of over $6M in research contracts.
2481
Mark Sumner (SM’05) received the B.Eng. degree
in electrical and electronic engineering from Leeds
University, Leeds, U.K., in 1986, and the Ph.D.
degree from the University of Nottingham, U.K.
in 1990.
He worked for Rolls Royce Ltd., Ansty, before
embarking on research work in induction-motor
drives at Nottingham University, Nottingham, U.K.
After working as a Research Assistant, he was ap-
pointed Lecturer in October 1992 and Senior Lec-
turer in 2004 at Nottingham University. His research
interests are in microprocessor control of power-electronic systems including
advanced sensor and sensorless induction-motor drives research, active filters,
system identification, and the development of new converter topologies.