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SAE TECHNICAL
PAPER SERIES 2002-01-3253
High-Performance Sensorless PMSM Drive With

Extended Kalman Filter
K. L. Shi and Hassan Kojori
Honeywell Engines, Systems and Services
Bin Wu
Department of Electrical and Computer Engineering, Ryerson Polytechnic University
Reprinted From: Power Systems Conference Proceedings on CD-ROM

(PS2002CD)
Power Systems Conference

Coral Springs, Florida
October 29-31, 2002
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Printed in USA
2002-01-3253
High-Performance Sensorless PMSM Drive With

Extended Kalman Filter
K. L. Shi and Hassan Kojori
Honeywell Engines, Systems and Services
Bin Wu
Department of Electrical and Computer Engineering, Ryerson Polytechnic University
Copyright © 2002 Society of Automotive Engineers, Inc.
ABSTRACT proposed in recent years [1,2]. In these strategies, the

rotor position and speed are estimated and used as a
This paper presents a summary of a Honeywell feedback signal for speed and torque control.
collaborative IR&D project for development of a high- Kalman filter is a special kind of observer which provides
performance sensorless method for a Permanent optimal filtering of the noises in measurement and inside
Magnet Synchronous Motor (PMSM) based on Extended the system if the covariances of these noises are known.
Kalman Filter (EKF). The parameters of a high speed If rotor speed (as extended state) is added into the
90kW industrial PMSM is employed for validating the dynamic model of a permanent magnet synchronous
proposed sensorless method through simulation. The motor, the Extended Kalman Filter (EKF) can be used to
simulation results demonstrate that the sensorless linearize the nonlinear state model for each new
PMSM drive can work satisfactorily over the whole estimate as it becomes available. Estimation of rotor
speed range with full torque and speed control accuracy. position and speed of PMSM by EKF technique have
With the proposed flux linkage estimator, the new been reported previously in the literature [3,4]. However,
sensorless PMSM drive exhibits robustness against the estimation precision of EKF may be decreased by
machine parameter variations. Good performance is two factors. One is how to select correct covariance
obtained even when the stator resistance is changed by matrices of the Kalman estimator, which has been
200%, or the flux linkage is weakened by 20%. Detailed discussed in literature [2]. Another is how to construct a
design and modeling of the sensorless PMSM drive are proper electrical model of PMSM. Two types of PMSM
described in this paper. simulation models have been presented in the past
literatures. A simplified dynamic model of the PMSM
1. INTRODUCTION can be developed by assuming that the machine has
“infinite inertia”[3]. A more detailed and accurate model
Next generation aerospace advanced motor control can be realized by using the detailed “electrical-
applications should meet many new challenging system mechanic” electrical and mechanical equations [5][6].
and design requirements including cost effective and The disadvantage of the “infinite inertia” model is that it
reliable sensorless controls which can be implemented must be compensated with tuning other elements (such
with relative ease. as the noise covariance matrices) of EKF, while the
disadvantage of “electric-mechanic” model is that actual
In most present aerospace speed and torque controlled load torque is generally unknown hence it is not practical
drive systems, closed-loop control is based on the in all applications.
measurement of speed or position of the motor using a
hall effect sensor or more accurate resolvers. Eliminating 2. KALMAN FILTERS
the speed or position sensors, measurement cables and
the associated control circuitry in ease of manufacturing The Kalman filter provides a solution that directly
of the drive, reduces cost and weight and increases the accounts for the effects of the disturbance noise and
reliability and ruggedness of the overall drive system. errors in the parameters. The dynamic electrical model
The permanent magnet synchronous motor (PMSM) with of ac machine can be described in state equations as:
its inherent brushless constructional feature, high
efficiency and large torque-to-weight ratio, is an ideal x& = Ax + Bu + G (t )σ (t ) (System) (1)
candidate for implementing a high-performance drive for y = Cx + ρ (t ) (Measurement) (2)
industrial applications. Many speed open-loop or closed-
loop sensorless PMSM drive strategies have been
where 1) Prediction of state:
G(t) is weighting matrix of noise x n +1 n = Φ ( n + 1, n, x n n −1 , u n ) (7)

σ (t) is noise matrix of state model (system noise)
ρ (t) is noise matrix of output model (measurement where
noise)
Φ ( n + 1, n, x n n −1 , u n ) = An ( x nn ) x nn + Bn ( x nn )u n (8)
Let’s assume that σ (t), and ρ (t) are stationary, white,
and Gauss noise, and that their expectation values are
zero. The covariance matrices Q and R of these noises
are defined as: 2) Estimation of error covariance matrix:
Q = cov(σ ) = E{σσ T } (3) ∂Φ ∂Φ T (9)

Pn +1 n = Pnn + Γn QΓnT
R = cov( ρ ) = E{ρρ } T
(4) ∂x x = x nn ∂x x = x nn
where
where E{.} denotes expected value.
n +1
The overall structure of the Kalman filter is shown in Γ= ∫ Φ(t

n
n +1 , τ )G (τ )dτ
Fig.1.
3) Computation of Kalman filter gain:

System (not measurable) −1
u x y
∂H T  ∂H ∂H T 
Input dx/dt=Ax+Bu C Output K n = Pnn −1  Pnn −1 + R  (10)
∂x  ∂x ∂x 
Gain x = xnn −1  x = xnn −1 x = xnn −1 
x̂
Kalman filter
dx/dt=Ax+Bu x̂ State where
C
+r
ŷ Sum
Gain
H ( x n n −1 , n) = C n ( x n n −1 ) x n n −1 (11)
r
K
y − yˆ
4) State estimation:
Fig.1 Structure of the Kalman filter observer
xnn = xnn −1 + K n ( yn − H ( xnn −1 , n)) (12)
5) Update of the error covariance matrix:

The state equation of the Kalman filter can be set up as:
∂H (13)
Pnn = Pnn −1 − K n Pnn −1
∂x x = xnn −1
x&ˆ = ( A − KC ) xˆ + Bu + Ky (5)
In Eq.(7) and (8), Kn is the feedback matrix of the
The matrix of the Kalman filter is denoted by K. This will Kalman filter. This matrix determines how the state
be done based on the covariance of the noises. We will vector of the Kalman filter is modified after the output of
first assess the effectiveness of the observation method, the model is compared with the actual output of the
which is defined as: system.
n
The Kalman filter algorithm is also capable of handling
J x = ∑ E{[ x(t1 ) − xˆ (t1 | t )]T [ x(t1 ) − xˆ (t1 | t )]} = min (6)
i =1 nonlinear systems, such as a PMSM drive. To
implement the recursive algorithm of the extended
Kalman filter, a model of PMSM is employed. After the
K has to be chosen in order to make Jx minimal. The matrices An, Bn, and Cn are known, the matrices Φ (state
solution of K is a recursive algorithm for the discrete time prediction) and H (output prediction) can be calculated.
case. The recursive calculation of Kalman filter may be
expressed by the following system of equations, where
all symbols in the formulations denote matrices or
vectors [7]:
3. DESIGN OF EXTENDED KALMAN FILTER module, a PMSM module, a load module, and an EKF
module.
Electrical model of a permanent magnet synchronous
motor in a two-axis stationary reference frame (α, β) may load
be described as follows, w* id* id* dq2abc
Speed vd Vd*
w iq* iq* Vaf
reference
λ
Speed controller
diα R V (14)
w Vq*
= − s iα + ω sin(θ ) + α
speed
Vbet PMSM
id
dt Ls Ls Ls
the
vq
iq
current controller ab2dq
diβ R λ V iaf
= − s iβ + ω cos(θ ) + β (15) id
dt Ls Ls Ls
ibt
iq
the
dθ
=ω (16)
dt
speed voltage
EKF
If the rotor speed is included in the electrical model angle current
(Eq.(14~16) of a PMSM as a state variable, then the

electrical model becomes an extended model and the
Fig.3 Sensorless PMSM drive in Matlab
rotor speed is considered as an extended state.
Dynamic electrical model of a PMSM with infinite inertia
hypothesis is described as follows.
 R λ  1 
− 0 P sin θ 0 0
iα   Ls Ls iα   Ls A proportional integral (PI) speed controller is
i       implemented to regulate rotor speed by comparing the
d  β  R λ  i  1  Vα 
= 0 − −P cosθ 0   β  + 0
Ls  Vβ 
  θ 
reference speed with estimated speed from EKF. The PI
dt θ Ls Ls
      controller delivers an output current reference iq*, while
ω  0 0 1 0  ω  0
 
0 
 the direct current reference id* is set to zero to obtain the
0 0 0 0 0 0  maximum torque-to-current ratio. The current controller
(17) employs two PIs to regulate stator current and employs
feed forward control to decouple the dynamics between
the applied voltages and the currents [2]. Inputs of the
iα  current controller are current reference and estimated
  (18)
iα  1 0 0 0 iβ  rotor speed, while its output is reference voltage. The
i  =  
 β  0 1 0 0 θ  simulation module of the current controller is shown in
 
ω  Fig.4.
Based on the EKF principle, the speed estimation

algorithm of PMSM can be simulated by the
Matlab/Simulink software, which consists of a S-function 5 -Ls
iq
block as shown in Fig.2. The implementation of the S-
1
function block is based on a M-file written in a C PI 1
id*
language. vd
3
2 w
PI 2
iq* vq
vα iα 4 Ls
vβ iβ
id
iα Kalman ω Flux
iβ θ
S-Function
Fig.4 Current controller with feed forward and decoupling

Fig.2 Extended Kalman filter speed estimator in Kalman filter in Matlab
According to Eq.(14~17), a PMSM module is

4. PROPOSED SENSORLESS PMSM DRIVE implemented by Matlab/Simulink. The load model is
described by Eq. (19).
A simulation model of sensorless speed control system
of PMSM is shown in Fig.3. It consists of a speed TL = kω 2 (19)
controller, a current controller, a dq-αβ module, an αβ-dq
In this paper, k=0.000032. When the PMSM motor runs

at its rated speed of 1250 rad/sec, the load is only 50 300
N.m. 200
100
Voltage (V)
An extended Kalman filter algorithm used to estimate the
0
rotor speed of a PMSM contains 446 products, 311
additions and 8 divisions [1]. Because the algorithm -100
involves many matrix operations, they need about 150µs -200
to be completed in a 26MIPS (million instruction per

-300
second) DSP chip. When a PWM inverter switching 0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4
Time (sec)
frequency is 10kHz, the extended Kalman filter
computation must be completed within 100µs. Fig.6 Stator voltage (A-phase) of sensorless PMSM drive
Consequently, a high-speed DSP capable of executing
150MIPS, e.g. TMS320F2182 chip is required in order to
satisfy the computational requirements.
400
5. SIMULATION STUDIES AND RESULTS 300
200
The permanent magnet synchronous motor used for the
Current (A)
100
simulation studies has the following parameters: 0
-100
Base speed = 1250 rad/s, 90kW, 250V; -200
Rs= 0.014 Ω; -300
Ls= 0.18 mH; -400

0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4
Time (sec)
Flux linkage= 0.198 V.s.;
Pole number= 2; Fig.7 Stator current (A-phase)of sensorless PMSM drive
JM= 0.003025079 kg.m2;

TL=kω2 N.m (k= 0.000032).
When iq=350A, Te=104N and initial acceleration of rotor
is 34650rad/s2 with TL=0 at t=0. If TL=0 during Fig.8 shows speed responses of the sensorless PMSM
acceleration stage, then rise time is about 0.036sec for a drive. The dashed line is the speed reference, the solid
base speed of 1250 rad/s. line is the rotor speed, and the dotted line is the
estimated speed. Fig.9 shows the detailed variations of
Because the initial value of EKF error covariance matrix rotor speed and estimated speed, using an enlarged
Pn in Eq.(9) is unknown, the period from 0 sec to 0.02 speed scale. Fig.10 shows the simulation result when
sec is used to stabilize the error covariance matrix Pn. In the PMSM runs at a lower speed.
this period, EKF module will work with zero
voltage/current input. After the error covariance matrix Pn
has been stabilized, a large estimation error during start 1500
up may be avoided [4]. 1000
With regulated current id and iq, full torque of the 500
sensorless PMSM drive is delivered at acceleration and 0

Speed
deceleration stages as shown in Fig.5, while the stator -500

phase current and phase voltage are shown in Fig.6 and
-1000
7.
150
-1500
0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4
100 Time (sec)
50 Fig.8 Speed response of sensorless PMSM drive

Torque
-50
-100
-150
0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4
Time (sec)
Fig.5 Torque response of sensorless PMSM drive
12 60
0.3
12 55
0.25
12 50
12 45 0.2
Angle (rad)
12 40 0.15
Speed
12 35 0.1
12 30
0.05
12 25
0
12 20
0.06 0.0 65 0.07 0.0 75 0.08
-0.05
Time (sec) 0.019 0.02 0.021 0.022 0.023 0.024 0.025
Time (sec)
Fig.12 Detailed rotor angle trace at startup stage
Fig.9 Details of rotor speed and estimated speed
Simulation results with various speed commands are

20
summarized in Table 1. It demonstrated that the closed-
15 loop sensorless PMSM drive could be operated over the
10
whole speed range with accurate static estimation
(estimated errors are less than 2% of rotor speed).
5
Speed
0 Table1. Static accuracy of sensorless PMSM

-5
ω rad/sec 1 5 10 100 500 1000 1500
-10
0.0 15 0.02 0.0 25 0.03 0.0 35 0.04 0.0 45 0.05 ∆ω̂ rad/sec 0.02 0.1 0.2 1.6 2 1.6 2.4
Time (sec) ∆ωˆ / ω (%) 2% 2% 2% 1.6% 0.4% 0.16% 0.16%
∆θˆ rad 0.02 0.02 0.02 0.01 0.01 0.01 0.01
Fig.10 Rotor speed and estimated speed when speed command is 5
rad/sec Rotor speed ω rad/sec, estimated speed ω̂
Absolute estimation error of speed ∆ωˆ = ω − ωˆ rad/sec
Relative estimation error of speed ∆ωˆ = ω − ωˆ / ω (%)
Fig.11 shows the rotor angle response of the sensorless Absolute estimation error of angle ∆θˆ = θ − θˆ rad/sec
PMSM drive. The solid line is the rotor angle, and the
dotted line is the estimated rotor angle. Fig.12 shows
details of the rotor angle trace at startup stage.
6. EFFECT OF MACHINE PARAMETER
CHANGES
2
Fig.13 shows the rotor speed responses of the
1.5
sensorless PMSM drive and the estimated speed of the
1
EKF when the motor resistance Rs is changed to 3.5Rs,
Angle (rad)
0.5
while the EKF resistance is kept as Rs.
0
-0.5
1500
-1
-1.5 1000
-2
0.015 0.02 0.025 0.03 0.035 0.04 0.045 0.05 500
Time (sec)
0
Speed
Fig.11 Rotor angle response of the sensorless PMSM drive.

-500
-1000
-1500
0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4
Time (sec)
Fig.13 Speed responses with motor resistance changed to 3.5Rs

dashed line: speed reference; solid line: rotor speed; dotted line:
estimated speed
1500
Fig.14 shows that the torque is still controlled even if the
motor stator resistance is largely increased (caused by 1000
temperature rise). 500
Speed
150
-500
100
-1000
Torque (N.m)
50
-1500
0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4
0
Time (sec)
-50
Fig.16 Speed response with flux linkage weakened to 0.9λ
-100
-150
0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4
Time (sec)
Fig.14 Torque response with motor resistance changed to 3.5Rs From the simulation results, the flux linkage variations of
PMSM are very sensitive for speed estimation in a
prototype Kalman estimator[4]. To overcome this
weakness, an online flux linkage correction method [4] is
improved and implemented by Matlab as shown in
When the flux linkage is decreased to 0.9λ (λ is rated Fig.17. The online flux linkage correction consists of a
value of flux linkage), Fig.16 shows the torque response derivative of the estimated angle and a flux linkage
of the sensorless PMSM drive. Because the flux linkage corrector. In order to eliminate the superimposed noise,
decreased, the electrical torque is proportionally a rate limiter is employed to replace a conventional low-
decreased according to a torque equation of PMSM. pass filter which will incur an excessive delay in
response.
150
100
S-Function 1
1
va
Torque (N.m)
50 m EKF
speed 2
2
0
angle vb
Rate Limiter
3
-50
du/dt d/dt ia
-100 f lux 4
w
ib
-150
0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4
Time (sec) flux estimator
Fig.15 Torque response with flux linkage weakened to 0.9λ

Fig.17 Online flux linkage correction in Matlab
When the flux linkage of motor is decreased, the flux

linkage of EKF will be larger than that of the motor, while Construction of the flux linkage corrector is shown in
the EKF speed estimation can not distinguish the error of Fig.18. After a rate limit (+35000, -35000), difference
the flux linkage of motor from the error of estimated between the estimated angle derivative and the
speed [4]. Hence, the estimated speed in EKF has to be estimated speed is routed to a PI regulator to estimate
adjusted down to keep the balance of the estimated the motor flux linkage. Another improvement for the
current and the measured current. In this case, the online flux linkage correction method [4] is that a
estimated speed will be less than the rotor speed, which constant flux linkage is used as initial values which will
may be observed from Eq.(14) and (15). Fig.16 also speed up the convergence of the flux linkage estimation.
show that the rise time of rotor speed is elongated with
the acceleration torque decreased as shown in Fig.15.
because these variations may be handled as noise

PI |u| 1
effectively by the Kalman filter.
1
flux d/dt
7. CONCLUSION
0.198 |u| 2 Extended Kalman Filter sensorless method is developed
w and presented for sensorless PMSM drives in aerospace
and industrial applications. Satisfactory performance
Fig.18. Flux linkage corrector over the whole speed range, including the standstill
state, with full torque control and high speed precision is
verified through simulation of a high speed PMSM.
Simulation results demonstrate the sensorless PMSM
drive is insensitive to changes in the motor stator
Simulation results confirm that the online flux linkage resistance. When the motor flux linkage is weakened by
correction is available. Fig.19 shows a convergence of 20%, the new drive also works well with an improved
estimated flux linkage when motor flux linkage is set as online flux linkage correction.
0.8*0.198V.s (i.e. weaken 20%), while the flux linkage of
EKF keep 0.198V.s. 8. LIST OF SYMBOLS
0.24
0.22
An, Bn, Cn input and output matrices of discrete system
Flux linkage (V.S)
0.2
G weighting matrix of noise
0.18
H matrix of output prediction
0.16
id, iq, stator current vector in stationary frame, A
0.14 iα, iβ stator current vector in synchronous frame, A
0.12 JM moment of inertia of the rotor, kg.m2
0.1
0 0.02 0.04 0.06 0.08 0.1
JL moment of inertia of the load, kg.m2
Time (sec) Kn Kalman filter gain
Ls stator inductance, H/ph
P number of poles
Fig.19 Online flux linkage correction Pn error covariance matrix
Q covariance matrix of system noise
R covariance matrix of measurement noise
Rs stator resistance, Ω/ph
TL load torque, N.m
Although motor flux linkage has been decreased 20%, the sensorless
u control function, vector
PMSM with the online flux linkage correction may be controlled with
small static speed error (about 4 rad/sec or 0.3% of rotor speed).
v(t) noise matrix of output model
Fig.20 shows speed response of sensorless PMSM drive with motor Vd,Vq, stator voltage vector in stationary frame, V
flux linkage weakened by 20% of the rated value. Vα,Vβ stator voltage vector in synchronous frame, V
w(t) noise matrix of state model
1400
x system state
1200
y system output
1000 ω ω* rotor speed and speed command, rad/sec
Speed (rad/sec)
800 λ flux linkage, V.s

600 Φ matrix of state prediction
400
200 REFERENCE
0
-200
0 0.02 0.04 0.06 0.08 0.1
[1]. G. Henneberger, B.J. Brunsbach, Th. Klepsch, "Field-oriented
Time (sec) Control of Synchronous and Asynchronous Drives without
Mechanical Sensors using a Kalman Filter", Sensorless Control
of AC Motro Drives, IEEE Press, 1996, pp.207~214
Fig.20 Speed response of sensorless PMSM drive with motor flux
[2]. K.L. Shi, T.F. Chan, Y.K. Wong, S. L. Ho, "Speed Estimation of
linkage reduction of 20%. an Induction Motor Drive Using an Optimized Extended Kalman
Filter", IEEE Transactions on Industrial Electronics. Vol.49, No.1,
February 2002, pp.124-134
[3]. S. Bolognani, R. Oboe, and M. Zigliotto, "Sensorless Full-Digital
PMSM Drive With EKF Estimation of Speed and Rotor Position",
IEEE Transactions on Industrial Electronics, vol.46, No.1, 1999,
Although electrical parameters are employed in the pp.184-191
speed estimation computations, the extended Kalman [4]. S. Bolognani, M. Zigliotto, and M. Zordan, "Extended-Range
PMSM Sensorless Speed Drive Based on Stochastic Filtering",
filter is not sensitive to the machine parameter IEEE Transactions on Power Electronics, vol.16, No.1, 2001,
variations, e.g. changes in the stator resistance, pp.110-117
[5]. Jun Hu; Dong-qi Zhu; Bin Wu, "Permanent magnet synchronous
motor drive without mechanical sensors Electrical and Computer
Engineering", 1996. Canadian Conference on , Volume: 2 , 1996
pp. 603 –606
[6]. Dhaouadi, R.; Mohan, N.; Norum, L., "Design and
implementation of an extended Kalman filter for the state
estimation of a permanent magnet synchronous motor", Power
Electronics, IEEE Transactions on , Volume: 6 Issue: 3 , July
1991, pp. 491 -497
[7]. F. L. Lewis, Applied Optimal Control & Estimation, Prentice-Hall,
Inc., 1992

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High-Performance Sensorless PMSM Drive With

Reprinted From: Power Systems Conference Proceedings on CD-ROM

Power Systems Conference

For permission and licensing requests contact:

For multiple print copies contact:

SAE Customer Service

High-Performance Sensorless PMSM Drive With

Copyright © 2002 Society of Automotive Engineers, Inc.

ABSTRACT proposed in recent years [1,2]. In these strategies, the

where 1) Prediction of state:

G(t) is weighting matrix of noise x n +1 n = Φ ( n + 1, n, x n n −1 , u n ) (7)

Q = cov(σ ) = E{σσ T } (3) ∂Φ ∂Φ T (9)

The overall structure of the Kalman filter is shown in Γ= ∫ Φ(t

3) Computation of Kalman filter gain:

xnn = xnn −1 + K n ( yn − H ( xnn −1 , n)) (12)

5) Update of the error covariance matrix:

current controller ab2dq

(Eq.(14~16) of a PMSM as a state variable, then the

Based on the EKF principle, the speed estimation

Fig.4 Current controller with feed forward and decoupling

According to Eq.(14~17), a PMSM module is

In this paper, k=0.000032. When the PMSM motor runs

involves many matrix operations, they need about 150µs -200

to be completed in a 26MIPS (million instruction per

Rs= 0.014 Ω; -300

Ls= 0.18 mH; -400

JM= 0.003025079 kg.m2;

up may be avoided [4]. 1000

With regulated current id and iq, full torque of the 500

sensorless PMSM drive is delivered at acceleration and 0

deceleration stages as shown in Fig.5, while the stator -500

50 Fig.8 Speed response of sensorless PMSM drive

Fig.5 Torque response of sensorless PMSM drive

Simulation results with various speed commands are

0 Table1. Static accuracy of sensorless PMSM

Fig.11 Rotor angle response of the sensorless PMSM drive.

Fig.13 Speed responses with motor resistance changed to 3.5Rs

temperature rise). 500

Fig.15 Torque response with flux linkage weakened to 0.9λ

When the flux linkage of motor is decreased, the flux

because these variations may be handled as noise

800 λ flux linkage, V.s

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