IEEE TRANSACTIONS ON INDUSTRY APPLICATIONS, VOL. 36, NO.

3, MAY/JUNE 2000

743

Real-Time Estimation of the Electric Parameters of an Induction Machine Using Sinusoidal PWM Voltage Waveforms
Luiz Antonio de Souza Ribeiro, Member, IEEE, Cursino Brando Jacobina, Senior Member, IEEE, Antonio Marcus Nogueira Lima, Member, IEEE, and Alexandre Cunha Oliveira

AbstractThis paper studies the parameter estimation of induction machines. The problems associated with the parameter estimation of induction machines are analyzed through sensitivity functions. Then, models and a procedure to estimate a set of four basic parameters (rs ; ls ; ls ; and r ) are proposed. The discrete-time parameter estimation models are written in the  operator specifically because it provides good numerical properties at high sampling rates, where the discrete-time model approaches its continuous-time equivalent. This feature permits the direct estimation of the continuous-time parameters. The main feature of the proposed procedure is the possibility to estimate the parameters by using sinusoidal signals, and without the measurement of the machine speed. The experimental results obtained with the proposed estimation procedure are presented and demonstrate that it is possible to map the parameters in terms of the operating conditions of the induction machine. Index TermsAC drives, induction machine, parameter estimation.

I. INTRODUCTION ARAMETER, flux, position, and speed estimation have been research topics of wide interest in high-performance ac drives. The impetus for this research has been due to the fact that the controllers used in high-performance ac drives require the knowledge of the parameters and states and, primarily, by the possibility of cost reduction and increasing reliability associated with the replacement of position, speed, and flux sensors. The use of parameter estimation techniques in the characterization of an induction machine has been reported by many research teams [1][11]. The main problems associated with these techniques are: 1) the use of special test signals [1], [3], [8], [9]; 2) the requirement of special operating conditions, such as to keep the machine at standstill [10]; and 3) the need of several

Paper IPCSD 9995, presented at the 1997 Industry Applications Society Annual Meeting, New Orleans, LA, October 59, and approved for publication in the IEEE TRANSACTIONS ON INDUSTRY APPLICATIONS by the Industrial Drives Committee of the IEEE Industry Applications Society. Manuscript submitted for review June 1, 1999 and released for publication January 25, 2000. This work was supported by the Conselho Nacional de Desenvolvimento Cientfico e Tecnolgico, Brazil, and the Wisconsin Electric Machines and Power Electronics Consortium (WEMPEC), University of Wisconsin, Madison. L. A. de S. Ribeiro and A. C. Oliveira are with the Departamento de Engenharia Eltrica, Centro Federal de Educao Tecnolgica do Maranho, 65030-810 So Lus, Brazil (e-mail: lantonio@dee.cefet-ma.br). C. B. Jacobina and A. M. N. Lima are with the Departamento de Engenharia Eltrica, Universidade Federal da Paraiba, 58109-970 Campina Grande, Brazil (e-mail: jacobina@dee.ufpb.br; marcus@dee.ufpb.br). Publisher Item Identifier S 0093-9994(00)04396-6.

operating points when the machine is supplied with sinusoidal pulsewidth modulated (PWM) waveforms [11]. This paper proposes models and procedures for the online estimation of the induction machine parameters. The method permits the estimation of a set of four basic parameters, rs ; ls ; ls; and r . The estimated parameter set permits a complete characterization of the induction machine model expressed in terms of the magnetizing current and the stator current. To achieve this goal, appropriate parameter estimation models are proposed. Some of the proposed models exploit the machine behavior for low- and high-frequency exciting waveforms and the subset selection partition technique. The subset selection technique has been proposed in [3] and [12] to obtain some well-conditioned models for synchronous and induction machines. However, in the present paper, a similar technique is employed to find models for online estimation without disturbing the machine from its normal operating condition. The proposed models are written in the  operator, which makes possible to directly estimate the continuous-time parameters of the induction machine. The main feature of the proposed technique is the possibility of estimating the parameters by using sinusoidal PWM signals, except for the rs estimation, where a dc+ sinusoidal modulating voltage is employed for a short period of time. Another interesting feature of the technique is that it avoids the measurement of the machine speed. Furthermore, this paper proposes a method to determine the basic parameter set at standstill without any mechanical means, which is suitable for autocommissioning purposes. In this case, a special stator voltage waveform is designed to supply the machine while keeping it at rest. The paper first describes the induction machine model, and the problems associated with the estimation of its electrical parameters are analyzed through sensitivity functions. Then, a procedure is proposed to estimate the stator resistance. Next, a set of models is derived to estimate the others parameters, again exciting the machine with PWM voltage waveforms. Finally, experimental results show the feasibility of the proposed procedure. II. AC DRIVE SYSTEM The characterization of the machine as discussed in this paper assumes that the induction machine is part of a microcomputer ac drive system, similar to the scheme sketched in Fig. 1. The

00939994/00$10.00 2000 IEEE

Authorized licensed use limited to: University of Allahabad. Downloaded on January 23, 2010 at 15:28 from IEEE Xplore. Restrictions apply.

744

IEEE TRANSACTIONS ON INDUSTRY APPLICATIONS, VOL. 36, NO. 3, MAY/JUNE 2000

ties at high sampling rates [13], where the discrete model approaches the continuous equivalent. The discrete-time model obtained from (1) by using the transform is represented by

 x = F x + H u;

(2)

where  is the operator associated to the transform, defined as x(t) = [x(t + h) 0 x(t)]=h or  = (q 0 1)=h, where h is the sampling period, and q is the shift operator. It is also assumed that the stator voltage vector u is supplied to the machine through a zero-order-hold device and the speed !r is assumed to remain constant during the sampling period. The matrices F and H of the discrete-time model are determined by

F
Fig. 1. AC drive system configuration.

eAh 0 I h

A01

 eAh 0 I 
h

B:

(3)

drive system is composed of a static power converter, a threephase induction machine coupled to a mechanical load (simulated here by a separately excited direct current generator supplying a resistive load), and a microcomputer whose software controls the overall functioning of the drive. The generation of the command signals for the converter, the data acquisition, and the control laws are implemented around a microcomputerbased platform that is equipped with the appropriate plug-in boards and sensors. III. MACHINE DYNAMIC MODEL In this paper, the standard electrical equations of an induction machine, in a stationary dq reference frame, are used. Defining is = isd + jisq ; r = rd + jrq ; vs = vsd + jvsq , as the stator current, the rotor flux, and the input stator voltage vectors, respectively, and introducing the variables x = [is r ]T and u = vs , the following state-space model can be written:
x _ =

From these expressions, it is clear that limh!0 F = A, and limh!0 H = B . In other words, the discrete-time model can be replaced by its continuous-time counterpart for high sampling rates. Introducing the power series expression of eAh , then F and H can also be expressed by

1 Ak hk01 X
k!

k=1

1 X

k=1
i

Ah)k01 B: k!

(4)

The model given by (2) may be rewritten as

 is r

 
=

F11 F12 F21 F22

  
s r
+

H11 H21

(5)

where Fmn = Fmna + jFmnb ; Hm1 = Hm1a + jHm1b ; m = 1; 2; and n = 1; 2. After some algebraic manipulations, it is possible to eliminate the rotor flux terms from (5). Solving (5) for is gives

 2 is
where

F1  is + F0 is + H1 vs + H0vs ;

(6)

Ax + B u =r

(1)

F1 F0

F11 + F22 = F1a + jF1b F12F21 0 F22F11

=

(7) (8) (9) (10)

with

A= B
=

 

0 rs
[ 1 0

=ls

rr (lm =lr )2]=ls lm =r :

(1

0 j!r lm =ls lr 0 =r j!r

) 1 +

F0a + jF0b

H1 = H11 = H1a + jH1b H0

=

The symbol j represents the standard 01 complex number. The variable represented by !r is the machine speed. The electrical parameters ls ; lr ; and lm stand for the self-inductance of the stator winding, the self-inductance of the rotor, and the mutual inductance between stator and rotor. The resistances of the stator and rotor are denoted by rs and rr , while  = 1 0 lm =(ls lr ) and r = lr =rr are the leakage factor and rotor time constant. The use of system identification techniques as proposed in this paper is based on a discrete-time representation of the induction machine behavior. The discrete-time model of an induction machine may be derived from (1) by using z -transform or -transform techniques. In this paper, the transform is selected specifically because it provides good numerical proper-

F12H21 0 F22H11 = H0a + jH0b:

It is possible to show that some parameters of the state-space model, i.e., (2) or (5), can be recovered once the parameters of (6) have been determined. By assuming that F1 ; F0; H0 and H1 were determined, it is possible to calculate

H11 = H1:

(11)

Next, assuming high sampling rates, the discrete-time model can be approximated by its continuous-time counterpart, i.e., F = A and H = B and, consequently, H21  = B21 = 0 which yields

F22 = 0H0(H1 )01 F11

=

(12) (13)

F1 + H0(H1)01

Authorized licensed use limited to: University of Allahabad. Downloaded on January 23, 2010 at 15:28 from IEEE Xplore. Restrictions apply.

RIBEIRO et al.: REAL-TIME ESTIMATION OF THE ELECTRIC PARAMETERS OF AN INDUCTION MACHINE

745

F12 F21

= Fd = F0 0 H0(H1 )01(F1 + H0(H1)01 )

(14)

and then, the model given by (6) becomes

 2is

 r + l =  1  rs s s r 0 j!r  is 0 0 j!r is ls  ls r 1 1 1 +  vs + 0 j!r vs : (15) l l 

s s r

vs ,

In terms of real and imaginary components of vectors is and this continuous-time model can be rewritten as

3 2 ls =r  isd    2 isd  6 0 rs + 0 !r 7 ls 7 6 =4 ls =r 5 isq  2isq !r 0 rs + ls 2 rs 3 r rs   0 l  0 ! ls 7 isd 6 s r + 4 !r rs rs 5 i sq 0 ls ls r 2 1 3 0  v  +6 4 ls 1 7 5 vsd
+6 4 0 2 1
ls !r

Fig. 2. FRF of the sensitivity function (21) with respect to rs .

IV. ESTIMATION MODELS The simultaneous estimation of rs ; ls ; ls and r in (18)(20) requires the use of special excitation signals. Nevertheless, the rs is estimated with such error and variance that prohibits its use in the subsequent estimation and control procedures [1], [4], [6]. The influence of a given quantity over the quality of the estimates can be evaluated via sensitivity functions [15], [16]. In this paper, the frequency-domain sensitivity functions are used to assess the quality of the estimates. These sensitivity functions are calculated by taking the partial derivative of (15) with respect to a given parameter and then transforming the result to the frequency domain normalized by i=y(j!), as shown by
@y(j!) @i y(j!) i :

This also represents that x(t)  = dx(t)=dt since the delta operator can be interpreted as the forward-difference approximation of the differential operator. To estimate the parameters using the least-squares (LS) algorithm, it is necessary to rewrite the model (16) in the form of a linear regression such as
y(t)

0 l

ls r !r
s

3   ls 7 vsd : 5
1
ls vsq

sq

(16)

(21)

= 0(t)

(17)

where y(t); 0(t), and  are the prediction vector, the regression matrix, and the parametric vector, respectively. For example, observe that (16) may be rewritten as linear regression model simply by defining
y(t)

  2isd 
 2 isq

(18)

0(t) =

 0i 0i 0i 0i sd sq sd sq 0isq isd 0isq isd

vsd vsq

vsd vsq

0vsd
(19)

vsq

r l + r l sr r s =
ls lr

!r

rs ls r

rs!r ls

1
ls

1
ls r

!r ls


:

(20) The LS algorithm to calculate  can be found in [14].

The detailed expressions of the sensitivity functions for each parameter can be found in [15]. With these sensitivity functions, it is possible to determine in which region the parameters are better estimated. The magnitude of the frequency response (FRF) of the sensitivity function (21) with respect to rs is shown in Fig. 2. The FRF is plotted for two different speeds: !r = 0 rad/s and !r = 260 rad/s. The bigger the sensitivity of y(t) with respect to a specific parameter is, the bigger its influence will be on the prediction vector y(t) and, consequently, its estimation will be easier. This means that a given parameter will be better estimated at the frequencies where its FRF (see Fig. 2) is high. The conclusion that can be drawn by analyzing Fig. 2 is that it is possible to estimate rs only with low-frequency excitation waveforms when !r = 0 rad/s. This is a known result, since the resistance determines the steady-state gain [17]. However, if !r = 260 rad/s, a good estimation can be obtained for excitation frequencies below 210 rad/s. The problem is to determine this frequency range since it is machine and parameter dependent. In normal operating conditions, the slip is in the range 1%10% and, consequently, the fundamental frequency of the excitation waveform is around !r . As can be observed from Fig. 2, the FRF is close to zero around !  !r = 260 rad/s and then it is almost impossible to estimate rs, unless a low-frequency component or a dc bias is superimposed on the

Authorized licensed use limited to: University of Allahabad. Downloaded on January 23, 2010 at 15:28 from IEEE Xplore. Restrictions apply.

746

IEEE TRANSACTIONS ON INDUSTRY APPLICATIONS, VOL. 36, NO. 3, MAY/JUNE 2000

this should improve the accuracy of the estimation of the other parameters. In this paper, all the parameters, except rs , are estimated with only sinusoidal PWM voltage waveform by using an appropriate model and some a priori knowledge. The parameter estimation problem is solved by using the standard LS [13]. The models used in this paper are described in the following sections. A. Model A: Estimation of rs
!e

If the machine is supplied with dc quantities (stator frequency = 0), (16) can be written as the following:
vs

= rs is
vsq ]T

(22)

Fig. 3. FRF of the sensitivity function (21) with respect to ls .

and the regression model may be represented by

= [vsd 0(t) = [isd  = [rs]:

y (t)

isq ]T

(23) (24) (25)

The stator resistance estimation is accomplished online by adding a dc bias to the modulating signals as discussed in Section V. This estimated value represents the global stator resistance since the stator windings are supplied with PWM waveforms and the machine is running under normal operating conditions. B. Model B : Estimation of ls 0 rs Known In the following, two models to estimate ls will be presented. The first model assumes that the stator resistance has already been estimated. 1) Model B1 : From (16) it is possible to derive a model in terms of the dq components such as

Fig. 4. Spectrum of a six-step waveform showing the first ten harmonic components; fundamental 60 Hz.

excitation signal. Thus, it is interesting to propose a model to estimate solely rs and remove it from the parametric vector (20). This should improve the accuracy of the estimation of the other parameters. Basically, this procedure decreases the condition number of the covariance matrix associated with the LS algorithm. Fig. 3 shows the magnitude of the FRF of the sensitivity function (21) with respect to ls . In the normal operating region (slip in the range of 1%10%), it is not possible to estimate this parameter. However, for high frequencies this parameter has a strong effect on the sensitivity and its estimation is completely possible. This effect is accentuated by the skin effect proven at high frequencies. In this region, almost all the machine flux is leakage flux. In [7], the estimation of ls with model (18)(20) and a six-step waveform was shown to be very good. By analyzing Fig. 3 and the spectrum of the six-step waveform (Fig. 4), it is easy to understand why the estimation is very good. The high-frequency harmonics of the six-step waveform provide persistent excitation to estimate ls . By considering that the fundamental excitation does not provide almost any information about ls , it is interesting to propose a specific procedure for estimating ls and remove it from  (20). As has been mentioned for the case of rs ,

0usd 0 !r usq  y(t) = 0usq + !r usd

0(t) =


(26)

0 2 isd 0 !r isq 0 2 isq + !r isd

ls =r ]T

usd usq

0isd  0isq

(27)

= [ls 1=r

(28)

where usd = vsd 0 rsisd and usq = vsq 0 rs isq . When the machine is supplied with PWM sinusoidal waveforms, only ls is estimated with good accuracy in this model. This fact is due to the high-frequency harmonics present in the voltage and current waveforms that make dominant the gradient @y ^(t j )=@ associated to ls (see Fig. 3). These harmonics terms are present in the waveform due to the switching frequency of the PWM waveforms. When the machine is supplied with six-step stator voltage waveforms, the harmonic content of voltages and currents make possible the estimation of ls and r as well. 2) Model B2 : A simpler model to determine ls independently of !r is also possible. If the excitation frequency is such

Authorized licensed use limited to: University of Allahabad. Downloaded on January 23, 2010 at 15:28 from IEEE Xplore. Restrictions apply.

RIBEIRO et al.: REAL-TIME ESTIMATION OF THE ELECTRIC PARAMETERS OF AN INDUCTION MACHINE

747

that !e  !r , the model expressed by (16) may be approximated by

vsh

The parameters of the discrete-time model can be determined from rs; ls ; !r , (16), and (35) by using

= ls  ish

(29)

where the subscript h stands for harmonic model. Then, from (29) the following regression model may be obtained:
y (t)

= [vshd = [ls ]:

vshq ]T ishq ]T

(30) (31) (32)

0(t) = [ishd


= 0((1) + rs )=ls F1b = 0!r F0a = 0rs (2)=ls F0b = 0rs !r =ls H1a = 1=ls H1b = 0 H0a = (2)=ls H0b = !r =ls :
F1a

(39)

C. Model C : Estimation of !r

0 rs and ls Known

If rs and ls are known, e.g., estimated with Models A and B , it is possible to derive a model that should provide a better estimateof r ; ls ,and !r whencompared tothe estimatesobtained with model (18)(20) if appropriated excitation waveforms are selected. The improvement in the accuracy of the estimates is due mainly to the better numerical conditioning of the covariance matrix of the LS algorithm. However, if sinusoidal waveforms are used for the stator voltages, only the speed can be estimated with this model, although the estimation has a large variance. The model to estimate !r with sinusoidal signals is the following:

If the machine runs at high speed and h is not relatively small, it is recommended to use the second-order discrete-time approximation to correct the estimates of ls and r [6]. In fact, it is possible to derive an algebraic expression from (4) with k = 2 to determine r . This algebraic expression can be used to explain some basic limitations of the discrete-time model. The algebraic expression of F22a obtained for k = 2 is represented by
F22a

=0

1
r

2l r s

ls

2 h: 0 !r 2

(40)

2
y(t)

=6 4
2

 2 isd  2 isq

1 0 l

0 l
isd isq

s s

usd usq

3 7 5
(33)

0(t) = 6 4

1 0 l

0 l
ls r

s s

isq isd

1
ls

usq usd

1
ls

usd usq

3 7 5
(34)

0 l
:

ls

!r

1
r

T
(35)

D. Model D : Estimation of ls and r 0 rs; ls , and !r Known To derive the equations for this model, it is assumed that
rs; ls , and !r have been previously estimated, e.g., rs with model A; ls with Model B2 , and !r with model C . In this case,

the following regression equation can be obtained from (16):

2
y(t)

=6 4

 2isd  2i
sq

1 0 l

0 l
isd isq

usd usq

!r 0 !r isq 0 l usq
s

3 7 5
(36)

2 h=2. In the case of It should be noted that (40) depends on !r first-order approximation, this term and all the others depending 2 h=2 cannot be on h vanish. However, at high speed, the term !r neglected if the sampling rate is not rather high. The physical explanation of this fact is that the discrete-time model in the  operator approaches its continuous-time equivalent only when the sampling frequency is high as compared with the bandwidth of the system. In the case of induction machines, the bandwidth of the system increases with the speed. Thus, it is necessary to use a second-order approximation. One may, of course, overcome this problem by selecting the rotor reference frame, where this term vanishes. It is also possible to choose the synchronous reference frame to minimize the effect of this term. In this case, 2 h=2 becomes !2 h=2, where ! is the slip frequency, the term !r sl sl which is quite small. In the case of the second-order approximation, the following steps are used to determine the continuous time parameters. 1) Compute the discrete-time parameters from (39). 2) Compute F22 and Fd from (12) and (14). 3) Rebuild F and H with second-order approximation to compute the continuous time parameters using the following expressions:

0 !r isd + l
usd usq

!r
s

usd

r

0b +


2a

b2 

0 2ha

:

(41)

0(t) = 6 4

0 l

1
s s

1
ls

3 7 5
(37)

ls

= ls 1 0

Fdb r F22b

(42)

1 0 l

ls

= [ls =r 1=r ]T :

(38)

2 The terms a and b in (41) are a = F22a + (h=2)F22 b and b = 1 + (h=2)[Re(F12F211)=F22b]. The rotor time constant may also be determined via an alter^ r , which native procedure as described in the following. Given !

Authorized licensed use limited to: University of Allahabad. Downloaded on January 23, 2010 at 15:28 from IEEE Xplore. Restrictions apply.

748

IEEE TRANSACTIONS ON INDUSTRY APPLICATIONS, VOL. 36, NO. 3, MAY/JUNE 2000

is assumed to be a reasonable speed estimate, obtained, for in2 h=2 to (40). Then, by considering ^r stance, with Model C , add ! that the second term in (40) is negligible, the parameter F22a is approximately equal to 0(1=r ), as shown by
F22a

=0

1
r

 2 l

ls

2h + ! 2h ' 0 1 : 0 !r ^r 2 2 2 

(43)

This alternative procedure is the best solution in computational terms. E. Model E : Estimation at Standstill This model should be employed when the machine is at standstill. In this case, the terms involving !r equal zero and the model (44)(46) is obtained from (16)
y(t)

= [ 2 isd


 2isq ]T

(44)

0(t) =

0isd 0isq
ls

usd usq

usd usq


(45)
Fig. 5. Estimation of the rs with Model Asimulation result. (a) rs and r ^s . (b) Speed.

1
ls r

 1 T
ls

ls r

(46)

V. EXPERIMENT DESIGN The design of the experiment is a crucial problem in parameter estimation. In the present paper, the experiment design is considered with respect to each proposed estimation model. To track online the stator resistance variations, a special procedure is proposed where the three-phase sinusoidal modulating signal is periodically disturbed with a small dc signal. The response of the machine to that disturbed waveform is filtered out to retrieve the dc components to be used with (23)(25) and the LS algorithm. In [18], this task was done by opening the current control loop and generating the dc+sinusoidal modulating voltage by using the phase and magnitude information obtained in the exact moment of the opening of the loop to minimize the transient effect caused by this operation. A better way to inject a dc level avoiding the above steps is to superimpose a current vector on the fundamental current vector in the synchronous reference frame, and with a frequency equal to the synchronous frequency. In the stationary reference frame, this superimposed current vector represents a dc level that can be used to estimate rs . Suppose the machine is running at frequency !e . For this frequency, the injected current vector in the synchronous reference frame is
i

e3 s cc

= Icc e0j!e t :

(47)

In the stationary frame, this injected current vector is represented by

i

s cc

3 j!e t e0j!e t = I : = ej!e tie cc s cc = Icc e

(48)

Fig. 5 shows the simulation results for rs estimation using current injection. For this result, the machine was running at !r = 210 rad/s with nominal load. The superimposed current (dc level) was applied in t = 3:5 s and removed in t = 4:5 s. Fig. 5(a) shows the estimated and real value of rs for the machine used in the simulation study. It is clear that the estimated value converged to the real one (error in the range of 65%) in a fraction of time less than the duration of the injected signal. At t = 3:9 s, the error is approximately 5%. Therefore, it is not necessary to inject the current for 1 s, since after 0.5 s the estimated value already has good precision. Even though it is not shown, the controller is capable of controlling both the fundamental and injected current with approximately zero steady-state error. For this case, the current controller bandwidth is 500 Hz. Fig. 5(b) shows the machine speed before, during, and after the current injection. There is a ripple of approximately 1.6% during the current injection. This ripple is due to the fact that the speed controller is not fast enough to compensate for the dc-level injection. During the current injection interval, the machine is being supplied with the dc+sinusoidal excitation. and then it is possible to track online the variations of rs due to heating. The changes of the stator resistance due to the skin effect can be included as a correction factor in terms of the frequency of the excitation voltage. To estimate ls ; ls ; and r with models B1 and C , no special signal is used and the machine is supplied with PWM sinusoidal voltages. In the case where ls is estimated with the model B2 , it might be necessary to use an extra high-frequency modulating signal during the estimation. This model is used with a high-pass filter to retrieve harmonic terms vsh and  ish . In the case of the zero-speed tests, no mechanical means have been employed to keep the machine at standstill. This

Authorized licensed use limited to: University of Allahabad. Downloaded on January 23, 2010 at 15:28 from IEEE Xplore. Restrictions apply.

RIBEIRO et al.: REAL-TIME ESTIMATION OF THE ELECTRIC PARAMETERS OF AN INDUCTION MACHINE

749

Fig. 6. Comparison of the active vectors and six-step waveforms.

is achieved by using a signal which is represented by the following spatial vector sequence that is employed for each cycle  = 2=!e
[v1 v4 v4 v1 ]=6 [v2 v5 v5 v2 ]=6 [v3 v6 v6 v3 ]=6 [v4 v1 v1 v4 ]=6 [v5 v2 v2 v5 ]=6 [v6 v3 v3 v6 ]=6 :

(49)

This signal is called here active vectors with zero mean. The comparison of this sequence with the six-step waveform profile which is defined as
[v1 ]=6 [v2 ]=6 [v3 ]=6 [v4 ]=6 [v5 ]=6 [v6 ]=6

Fig. 7. Simulation result of speed estimation with Model C; !r = 25 rad/s. (b) !r = 2 60 rad/s. TABLE I NAMEPLATE DATA

h = 50 s. (a)

AND PARAMETERS OF THE MACHINES THE EXPERIMENTAL TESTS

USED IN

(50)

would help to understand how it has been synthesized. For example, in the six-step waveform the vector v1 stays active for  =6, while in the proposed sequence it is replaced by the combination [v1 v4v4 v1 ]=6 . The comparison can be better understood by observing Fig. 6, where both waveforms are plotted. In this figure, the amplitudes of the signals are different only to make clear the comparison. With the proposed sequence, the average stator voltage is zero at each  =6 interval, the average electromagnetic torque is approximately zero, and the machine stays at standstill. Moreover, this voltage waveform has enough high-frequency harmonics to excite the machine persistently. The derivative terms vsd ;vsq ;isd ;isq ; 2isd ; and  2 isq are obtained by digital filtering. Four identical third-order digital filters were employed for each directly measured stator quantity vsd ; vsq ; isd ; and isq . The digital filters are designed by obtaining the discrete-time equivalent of
Gf (s) =
(s + !c )3

3) 4)

5) 6)

3 !c

(51)

Equation (51) represents an analog low-pass filter. The discrete filter was implemented in a state-variable format as can be seen in [19]. The conclusion of the simulation studies is the proposal of a sequential procedure for the estimation of the parameters in real time, with sinusoidal signals, and without speed measurement. The following sequence describes the procedure: 1) estimation of rs with Model A, and dc level (!r = 0); 2) estimation of ls ; ls , and r with Model E (!r = 0), using the active vectors with zero mean signal, and rs

estimated in step 1; these first two steps are used in the autocommissioning process; online estimation of ls with Model B1 , and the estimated value of rs ; online estimation of !r with Model C , sinusoidal signal, and rs; ls estimated previously; this speed is used only for on-line estimation of the other parameters; online estimation of ls and r with Model D , sinusoidal signal, and rs ; ls ; and !r estimated previously; if necessary, inject a dc level to online update the value of rs ; the frequency of this injection is very low since the thermal constant is slow and the variation of rs with the temperature depends on load conditions. VI. SIMULATION AND EXPERIMENTAL RESULTS

The proposed models were studied previously by digital simulation, where it was assumed that the measurements were corrupted by an additive white-noise term to simulate the presence of noise such as in an output error model. The noise sources were distributed as [0rv max(vsd ; vsq ); rv max(vsd ; vsq )] for the voltages, and [0ri max(isd ; isq ); ri max(isd ; isq )] for the currents. The values for rv = 0:05 and ri = 0:1 have been

Authorized licensed use limited to: University of Allahabad. Downloaded on January 23, 2010 at 15:28 from IEEE Xplore. Restrictions apply.

750

IEEE TRANSACTIONS ON INDUSTRY APPLICATIONS, VOL. 36, NO. 3, MAY/JUNE 2000

Fig. 8. Estimation of the rs with Model Amachine 1.

Fig. 10. Estimation of ls machine 1. (a) Model B1 at 20 Hz. (b) Model B2 at 60 Hz.

Fig. 9. Estimation with Model E at !r = 0machine 1. (a) ls . (b) r . (c) ls .

chosen to represent a relatively large noise contribution. Even though a white noise was used to simulate the noise presented in the measured signals, the filtering process employed to generate the derivative terms of the signals transforms this noise into a colored one. The simulation studies have demonstrated that it is possible to estimate all the parameters with good precision (error between 5%10%) with these noise levels. As an example, Fig. 7(a) and (b) shows the crucial case, i.e., estimation of !r with Model C . In this case, there are three parameters in the model and a sinusoidal signal is not persistently exciting enough to estimate all of them. However, as can be seen in Fig. 7(a) and (b), the speed is estimated with a mean error less than 5% at both speeds. It is clear that a speed estimate with such an error cannot be used to replace the speed sensor, however, it is acceptable for use with Model D . Thus, estimation of !r with Model C avoids the use of a speed sensor in the estimation of the other machine parameters. The experimental setup is presented in Fig. 1. The drive system is controlled through a PC/486DX266 equipped with dedicated plug-in boards. The angular shaft position was obtained from a 9-bit optical encoder (absolute). The speed

Fig. 11.

Estimation of !r at 10 Hzmachine 1. Model C .

measurement is computed from the readings of this encoder. The signals (vsd ; vsq ) and (isd ; isq ) are obtained by measuring two of the three phase quantities. The measurements of the voltages and currents are sensed with Hall-effect devices to provide the required galvanic isolation between the power stage and the control system. The signals provided by the Hall sensors are low-pass filtered (antialiasing) and converted through four 10-bit A/D converters. The converted signals are supplied to the state-variable filters to obtain the derivative terms. The cascade connection of the Hall-effect devices, the antialiasing filters, and the state-variable filters yields a suitable bandwidth for noise filtering of the measurement data. The estimation algorithm employed to process the experimental data was the recursive LS with forgetting factor. The sampling time was set to h = 50 s and the forgetting factor to  = 0:999. Two machines were used in the experimental results. The parameters obtained through the classic procedures, e.g., lockedrotor and no-load tests (std) [20], are presented in Table I. The

Authorized licensed use limited to: University of Allahabad. Downloaded on January 23, 2010 at 15:28 from IEEE Xplore. Restrictions apply.

RIBEIRO et al.: REAL-TIME ESTIMATION OF THE ELECTRIC PARAMETERS OF AN INDUCTION MACHINE

751

TABLE II ESTIMATED AND STANDARD (std) PARAMETERS FOR MACHINE 1

Fig. 12. (b) ls .

Estimation of r and ls with Model D at 20 Hzmachine 1. (a) r .

Fig. 14. Variation of ls with the frequencymachine 2. Model B2 , 10 Hz.

Fig. 13. (b) ls .

Estimation of r and ls with Model D at 60 Hzmachine 1. (a) r .

machine 1 (220 V, 5.8 A, 1700 r/min) has a wound rotor, and machine 2 (12 V, 120 A, 450 r/min) has a cage rotor. Fig. 8 shows the estimation of the stator resistance with dc excitation and with dc+sinusoidal waveform using model A. The dc excitation employed in Fig. 8 corresponds to vs1 = 05 V, vs2 = 10 V, vs3 = 05 V and the estimation of the stator resistance in this case is indicated by dashed lines. The dc+sinusoidal waveform is obtained by adding to these voltages a three-phase sinusoid of 60 Hz and 150 V. The estimation of the stator resistance in this case is obtained by using the low-pass

filter (51) with cutoff frequency of 12 rad/s. In these two cases, the average values of the estimated stator resistance are quite s = 1:87
for dc+sinusoidal and r s = 1:82
. Note similar: r that a first-order filter can be employed to reduce the estimation time. Fig. 9 shows the estimation obtained with Model E at zero speed. The variances and the transient estimation in this case are better than the ones obtained when rs is also estimated [7]. Fig. 10(a) and (b) shows the estimation of ls obtained with Model B1 at 20 Hz and Model B2 at 60 Hz. Note that the estimates converge quickly and only the transient peak due to the startup of the LS algorithm is observed. Fig. 11 shows the speed estimation with Model C at 10 Hz. Even though the estimation variance is high, the mean value of the estimate is smaller than 3%. This is enough to get a good parameter estimation with Model D . Figs. 12 and 13 show the estimation of ls and r obtained with Model D using first-order approximation at 20 Hz and secondorder approximation at 60 Hz, respectively. The values of ls and rs employed with Model D were issued from Model B and from Model A, respectively. Table II presents the results obtained via the standard and no-load and locked-rotor tests (std), and the mean value of the parameters estimated with Models A; B; C; D , and E .

Authorized licensed use limited to: University of Allahabad. Downloaded on January 23, 2010 at 15:28 from IEEE Xplore. Restrictions apply.

752

IEEE TRANSACTIONS ON INDUSTRY APPLICATIONS, VOL. 36, NO. 3, MAY/JUNE 2000

Fig. 17. Comparison between the measured is and the simulated ^ is with the estimated parametersmachine 1. Six-step waveform. Fig. 15. Variation of the inductances with the flux levelmachine 2 at 10 Hz. (a) ls , Model B2 . (b) ls , Model D .

Fig. 16.

Variation of the rotor resistancemachine 1. Model D , 10 Hz.

Fig. 14 shows the influence of the frequency on the variation of ls . For each frequency in the range between 60 Hz1 kHz, ls was estimated by using Model B2 . This result is for machine 2 running at 10 Hz. It can be noted that the value of ls decreases with the frequency. This is due to the skin effect. Fig. 15(a) and (b) shows the variation of ls and ls as a function of the flux level. The results are obtained for machine 2 which has rated flux equal to 0.02 Wb. The frequency of the injected signal used to estimate ls with Model B2 was 1 kHz. Therefore, the value of ls plotted in Fig. 15(a) is corrected by a factor due to the skin effect. This factor is determined by observing the scale (see Fig. 14) that ls has at 1 kHz in relation to the values at low frequencies. The behavior of these parameters is expected; both parameters decrease with an increase in the

Fig. 18 Comparison between the measured is and the simulated ^ is with the standard (std) parametersmachine 1. Six-step waveform.

flux level. This is due to the saturation of the magnetic circuit. Furthermore, it can be noted that there is an increase in the value of ls when the flux level is very small. This is due to the fact that the tooth tip saturates almost immediately, even for small flux levels. Fig. 16 shows the effect of the rotor resistance variation in the rotor time constant. At t = 0:4 s, three resistors of approxi-

Authorized licensed use limited to: University of Allahabad. Downloaded on January 23, 2010 at 15:28 from IEEE Xplore. Restrictions apply.

RIBEIRO et al.: REAL-TIME ESTIMATION OF THE ELECTRIC PARAMETERS OF AN INDUCTION MACHINE

753

determined through the classical test procedures. Figs. 17 and 18 compare the experimental stator current vector (is ) and is ) at 60 Hz for a six-step stator voltage the simulated one (^ waveform. In Fig. 17, the estimated parameters are used in the determination of the simulated current, and in Fig. 18, the standard parameters are used in the calculation of the simulated current. As can be noted from these figures, the magnitude and phase errors are smaller for the case where the estimated parameters are used in the calculation of the simulated current (see Fig. 17). The same conclusions can be drawn from Figs. 19 and 20, where a sinusoidal stator voltage waveform is used. VII. CONCLUSION This paper has discussed the use of linear parameter estimation techniques to characterize a three-phase induction machine. With the proposed approach, it is possible to estimate rs ; r ; ls ; and ls . The special procedure that uses a small dc bias and a low-pass filter to estimate the stator resistance has given good results. With respect to the parameter ls , it can be obtained in two different ways. The first one is quite simple but requires the knowledge of the shaft speed that is estimated in a previous stage. The second one is valid only at high frequencies, uses high-pass filtering, and does not impose the knowledge of the shaft speed. The other parameters, r and ls , are estimated using the previous estimates of rs and ls as well as the estimated !r . In the proposed approach, the basic parameter set is determined with a single machine operating point. This feature provides a way to build a parameter mapping of an induction machine in terms of its operating points. On the other hand, the estimation is carried out by using only PWM voltage waveforms. Thus, it is possible to continuously retune the controllers of the drive as long as there are changes in the parameters. Model E permits estimation of ls ; ls ; and r at standstill using a special waveform. With Model A, used to estimate rs, model E can be used in the autocommissioning of the machine. REFERENCES
[1] M. Vles-Reyes, K. Minami, and G. C. Verghese, Recursive speed and parameter estimation for induction machines, in Conf. Rec. IEEE-IAS Annu. Meeting, 1989, pp. 607611. [2] J. Holtz and T. Thimm, Identification of the machine parameters in a vector-controlled induction motor drive, IEEE Trans. Ind. Applicat., vol. 27, pp. 11111118, Nov./Dec. 1991. [3] K. Minami, M. Vles-Reyes, D. Elten, G. C. Verghese, and D. Filbert, Multi-stage speed and parameter estimation for induction machines, in Proc. IEEE PESC91, 1991, pp. 596604. [4] J. Stephan, M. Bodson, and J. Chiasson, Real-time estimation of the parameters and fluxes of induction motors, IEEE Trans. Ind. Applicat., vol. 30, pp. 746759, May/June 1994. [5] D. E. Borgard, G. Olsson, and R. D. Lorenz, Accuracy issues for parameter estimation of field oriented induction machine drives, in Conf. Rec.IEEE-IAS Annu. Meeting, 1994, pp. 593600. [6] L. A. S. Ribeiro, C. B. Jacobina, and A. M. N. Lima, Dynamic estimation of the induction machine parameters and speed, in Proc. IEEE PESC95, 1995, pp. 12811287. , Parameter and speed estimation of induction machine based on [7] dynamic models, in Proc. EPE Conf., 1995, pp. 14961501. [8] H. B. Karayaka, M. N. Marwali, and A. Keyhani, Induction machine parameter tracking from test data via PWM inverters, in Conf. Rec. IEEE-IAS Annu. Meeting, 1997, pp. 227233. [9] A. Stankovic, E. R. Benedict, V. John, and T. A. Lipo, A novel method for measuring induction machine magnetizing inductance, in Conf. Rec. IEEE-IAS Annu. Meeting, 1997, pp. 234238.

Fig. 19. Comparison between the measured is and the simulated ^ is with the estimated parametersmachine 1. Sinusoidal waveform.

Fig. 20. Comparison between the measured is and the simulated ^ is with the standard (std) parametersmachine 1. Sinusoidal waveform.

mately 3
were added in series with the rotor windings. It can be observed that the algorithm converges to the new value of r . It has been verified that simulating the machine behavior by using the parameters obtained with the proposed approach gives a stator current waveform that agrees quite well with the stator current observed experimentally. This agreement is substantially better than the one obtained with the parameters

Authorized licensed use limited to: University of Allahabad. Downloaded on January 23, 2010 at 15:28 from IEEE Xplore. Restrictions apply.

754

IEEE TRANSACTIONS ON INDUSTRY APPLICATIONS, VOL. 36, NO. 3, MAY/JUNE 2000

[10] S. Moonl and A. Keyhani, Estimation of induction machine parameters from standstill time-domain data, IEEE Trans. Ind. Applicat., vol. 30, pp. 16091615, Nov./Dec. 1994. [11] A. M. N. Lima, C. B. Jacobina, and E. B. de Souza Filho, Nonlinear parameter estimation of steady-state induction machine models, IEEE Trans. Ind. Electron., vol. 44, pp. 390397, June 1997. [12] M. Burth, G. C. Verghese, and M. Vles-Reyes, Subset selection for improved parameter estimation in on-line parameter identification of a synchronous machine, IEEE Trans. Power Syst., vol. 14, pp. 218225, Feb. 1999. [13] R. H. Middleton and G. C. Goodwin, Digital Control and EstimationA Unified Approach. Englewood Cliffs, NJ: Prentice-Hall, 1990. [14] L. Ljung, System Identification: Theory for the User. Cambridge, MA: MIT Press, 1987. [15] L. A. S. Ribeiro, Estimao e controle da mquina assncrona para sistemas de acionamentos de alto desempenho, Ph.D. dissertation, Dep. Elect. Eng., Univ. Federal da Paraiba, Campina Grande, Brazil, June 1998. [16] V. E. DeBrunner and A. A. Beex, Sensitivity analysis for the identification of linear systems from impulse response data, in Conf. Rec. Int. Conf. Acoustics, Speech and Signal Processing, 1989, pp. 22142217. [17] R. J. A. Gorter, P. P. J. Van den Bosh, and S. Weiland, Simultaneous estimation of induction machine parameters and velocity, in Proc. IEEE PESC95, 1995, pp. 12951301. [18] L. A. S. Ribeiro, C. B. Jacobina, and A. M. N. Lima, The influence of the slip and the speed in the parameter estimation of induction machines, in Proc. IEEE PESC97, 1997, pp. 10681074. [19] R. D. Lorenz, T. A. Lipo, and D. W. Novotny, Motion control with induction motors, Proc. IEEE, vol. 82, pp. 12151240, Aug. 1994. [20] IEEE Standard Test Procedure for Polyphase Induction Motors and Generators, IEEE Std 112-1991, 1995.

Cursino Brando Jacobina (S78M78SM98) was born in Correntes, Brazil, in 1955. He received the B.S. degree in electrical engineering from the Federal University of Paraba, Campina Grande, o me dEtudes Approfondies Brazil and the Dipl^ (D.E.A.) and Ph.D. degrees from the Institut National Polytechnique de Toulouse, Toulouse, France, in 1978, 1980, and 1983, respectively. Since 1978, he has been with the Electrical Engineering Department, Federal University of Paraba, where he is currently a Professor of Electrical Enginnering. His research interests include electrical drives, power electronics, control systems, and system identification.

Antonio Marcus Nogueira Lima (S77M89) was born in Recife, Brazil, in 1958. He received the B.S. and M.S. degrees in electrical engineering from the Federal University of Paraba, Campina Grande, Brazil, and the Ph.D. degree from the Institut National Polytechnique de Toulouse, Toulouse, France, in 1982, 1985, and 1989, respectively. He was with the Escola Tcnica Redentorista, Campina Grande, Brazil, from 1977 to 1982 and was a Project Engineer with Sul-Amrica Philips, Recife, Brazil, from 1982 to 1983. Since September 1983, he has been with the Electrical Engineering Department, Federal University of Paraba, where he is currently a Professor of Electrical Enginnering. His research interests are in the fields of electrical machines and drives, power electronics, electronic instrumentation, control systems, and system identification.

Luiz Antonio de Souza Ribeiro (M95) received the B.S. degree from the Federal University of Maranho, So Lus, Brazil, and the M.S. and Ph.D. degrees from the Federal University of Paraba, Campina Grande, Brazil, in 1991, 1995, and 1998, respectively, all in electrical engineering. From December 1996 to February 1998, he was a Visiting Scholar at the University of Wisconsin, Madison. Since 1991, he has been a faculty member in the Electrical Engineering Department, Centro Federal de Educao Tecnolgica do Maranho, So Lus, Brazil. His research interests include electrical drives, system identification, electric machines, and power electronics.

Alexandre Cunha Oliveira was born in Fortaleza, Brazil, in 1970. He received the B.S. and M.S. degrees in electrical engineering in 1993 and 1995, respectively, from the Federal University of Paraba, Campina Grande, Brazil, where he is currently working toward the Ph.D. degree. Since 1996, he has been a faculty member in the Electrical Engineering Department, Centro Federal de Educao Tecnolgica do Maranho, So Lus, Brazil. His research interests include electrical drives and power electronics.

Authorized licensed use limited to: University of Allahabad. Downloaded on January 23, 2010 at 15:28 from IEEE Xplore. Restrictions apply.