Zhang 2018

This article has been accepted for publication in a future issue of this journal, but has not been
fully edited. Content may change prior to final publication. Citation information: DOI 10.1109/TIE.2018.2868014, IEEE
Transactions on Industrial Electronics
IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS 1
Low Switching Frequency Model Predictive Control

of Three-Level Inverter-Fed IM Drives with Speed
Sensorless and Field-Weakening Operation
Yongchang Zhang, Member, IEEE, Yuning Bai, Haitao Yang, Student Member, IEEE, and Boyue Zhang
Abstract—This paper proposes a single-vector-based model voltage inverters [3]. For 3L-NPC inverter, arbitrary switch
predictive control (MPC) for induction motor (IM) drive supplied between voltage vectors in practical industrial applications is
by a three-level neutral-point-clamped inverter operating at low not allowed for the aim of preventing the inverter from being
switching frequency. Different from the torque and flux control
in conventional MPC, the proposed MPC tries to minimize the damaged or producing higher harmonics [1]. Hence, a smooth
error between the applied voltage vector and a reference voltage vector switching strategy is required. Furthermore, the neutral
vector obtained based on the principle of deadbeat control, hence point potential fluctuation should also be considered, otherwise
reducing the number of weighting factor in the cost function. To the lifetime of capacitors in the upper and lower dc link may
reduce the computational burden and restrict the high jumps in be influenced and the power quality of output voltages and
both phase and line voltages, two switching tables are proposed
and compared for the pre-selection of candidate voltage vectors. current is deteriorated. Compared to two-level converter, the
The neutral point potential fluctuation and switching frequency 3L-NPC converter has to consider the limitation caused by the
are also included in the cost function to achieve the balance topology itself while satisfying the requirements of torque and
between the upper and lower dc voltages and relatively low flux control in motor drives, hence the control complexity is
switching frequency. Furthermore, a speed adaptive stator flux significantly increased.
observer with novel gain matrix is proposed to achieve speed
sensorless operation, which has higher speed and flux estimation Vector control (VC) and direct torque control (DTC) are
accuracy than conventional fixed gains. Finally, the proposed two most popular control methods of motor drives [4]. In VC,
MPC is extended to field-weakening operation by adjusting the the issues of neutral point balance and high voltage jumps
torque and stator flux reference online, which significantly widens for 3L-NPC inverter-fed motor drives can be solved in the
the speed range and improves the practical value of MPC. modulation stage, hence decoupling the high-level toque/flux
The effectiveness of the proposed method is confirmed by the
presented experimental results obtained at average switching control from the low-level modulation. However, when the
frequency of less than 600 Hz. switching frequency is well below 1 kHz, the harmonic content
of conventional space vector modulation (SVM) increases
Index Terms—Induction motor drives, predictive control,
speed-sensorless, field-weakening quickly. Using optimal modulation like selective harmonic
elimination PWM (SHEPWM) can improve the harmonic
performance [5], [6], but it is difficult to be used in closed-
I. I NTRODUCTION loop control system for achieving high dynamics [7], [8]. DTC
HE three-level neutral-point-clamped (3L-NPC) topology considers the inverter and the machine as a whole system and
T is more suitable for high power medium voltage drives
than two-level inverter owing to its lower voltage stress across
it directly selects the desired voltage vector from a predefined
switching table according to the torque and flux error signs.
semiconductor devices and less harmonic distortion in ac side Due to the use of hysteresis comparators and heuristic switch-
[1], [2]. For high power converters, it is essential to maintain ing table, it presents high torque ripples and variable switching
low switching frequency to minimize the switching losses frequency. In [1], two kinds of modified DTC schemes based
while increasing the utilization of power capability for medium on improved switching tables are proposed, which not only
achieves high performance torque and flux control but also
Manuscript received January 23, 2018; revised July 4, 2018; accepted considers the limitations caused by the 3L-NPC topology.
August 10, 2018. This work was supported in part by the National Natural However, the control complexity is increased. Furthermore,
Science Foundation of China under Grant 51577003, and in part by Beijing
Natural Science Foundation under grant 3162012. (Corresponding author: the average switching frequency is still relatively high, which
Haitao Yang). is unfavorable for high power applications.
Y. Zhang, Y. Bai and B. Zhang are with Inverter Technologies Engi- MPC has recently emerged as a powerful control method
neering Research Center of Beijing, North China University of Technology,
Beijing, 100144, China. (email: yozhang@ieee.org; whyorwhnt@qq.com; for high performance closed-loop control of power converters
lgddlzby@163.com). and motor drives, especially in the applications requiring
H. Yang is with Inverter Technologies Engineering Research Center of low switching frequency [9]. To apply MPC to 3L-NPC, the
Beijing, North China University of Technology, Beijing 100144, China,
and also with the Faculty of Engineering and Information Technology, neutral point voltage balance and average switching frequency
University of Technology Sydney, Ultimo, NSW 2007, Australia (email: reduction should be taken into account. In [10], a finite-
yhtseaky@gmail.com). state predictive torque control (PTC) is proposed for 3L-NPC
Color versions of one or more of the figures in this paper are available
online at http://ieeexplore.ieee.org. inverter-fed IM drives, which achieves good steady state and
Digital Object Identifier 10.1109/TIE.2018.××××××× dynamic performance with the consideration of neutral point
0278-0046 (c) 2018 IEEE. Personal use is permitted, but republication/redistribution requires IEEE permission. See http://www.ieee.org/publications_standards/publications/rights/index.html for more information.
This article has been accepted for publication in a future issue of this journal, but has not been fully edited. Content may change prior to final publication. Citation information: DOI 10.1109/TIE.2018.2868014, IEEE
2 IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS
voltage balance. However, it requires three weighting factors speed-sensorless control is achieved by introducing a speed
in the cost function and did not consider the limitation of adaptive flux observer with novel gain matrix. Furthermore,
voltage jumps. The average switching frequency is as high as the field-weakening scheme with consideration of overcurrent
1.5 kHz, which is not suitable for high power drives. In [11], a protection and load angle limitation was developed so that
long-horizon prediction is used to achieve better performance the speed range can be significantly improved. The proposed
than conventional short-horizon prediction while keeping low method achieved good performance over a wide speed range
switching frequency at steady state. Both neutral point voltage with average switching frequency of no more than 600 Hz.
and allowed voltage vector jumps are considered. However, the The effectiveness is confirmed by the test results from a low
multi-step prediction is computationally intensive and time- voltage 3L-NPC inverter-fed IM drive.
consuming, which requires lots of calculation resources and
hinders its practical application, especially in the case of II. M ODEL OF IM AND 3L-NPC I NVERTER
multilevel converter.
A. Dynamic Model of IM
Speed-sensorless operation is preferable in some applica-
tions because of its reliability in hostile environment, no In this paper, stator current is and stator flux ψ s in
requirement of additional mounting space, lower hardware stationary reference frame are chosen as state variables and
cost, etc [12]. Thus, different techniques, such as model ref- the state-space model of IM can be described as [22]:
erence adaptive system (MRAS)-based estimator [13], speed dx
adaptive full-order observer (SAFO) [14], extended Kalman = Ax + Bu (1)
dt
filter (EKF) [15], etc. have been extensively investigated in T
the existing literature. Among different methods, SAFO is where x = is ψ s are state variables; u = us is the
a popular one due to its accuracy during wide speed range stator voltage vector and
and good parameter robustness [16]. Normally, the feedback
−λ(Rs Lr + Rr Ls ) + jωr λ(Rr − jLr ωr )

gain of a SAFO is designed based on the principle of pole A=
−Rs 0
placement, including the following two common cases: 1)
observer poles correspond to k > 1 times of motor poles [17], λLr
B=
and 2) observer poles correspond to the motor poles shifted 1
by an amount b < 0 [18]. However, the imaginary part of , Rs , Rr , Ls , Lr and Lm are the stator resistance, rotor
the pole is large at high speed operation, especially in the first resistance, stator inductance, rotor inductance and mutual
case, which may result in oscillation or even instability at high inductance, respectively;
ωr is the electrical rotor speed and
speed operation [14]. λ = 1/ Ls Lr − L2m .
Apart from speed-sensorless control, operation beyond the In this paper, the Heun’s method [22] is employed to
rated speed under limited DC-link voltage with proper field- discretize (1) to achieve higher accuracy than conventional
weakening (FW) strategy is also of great concern in practical first-order approximation and it is expressed as:
implementation [19]. To incorporate FW operation into MPC, (
a simple 1/ω method is employed to set flux magnitude and xk+1
p = xk + Tsc (Axk + Buks )
(2)
torque reference in [15]. Similar FW strategy can be seen in xk+1 = xk+1 p + T2sc A(xk+1
p − xk )
[20] for predictive current control. However, the limitation of
maximum load angle (45 degrees) [21] in deep FW region is where Tsc is control period, xk+1 is predictor-corrector of
k+1 p k+1 T
not explicitly investigated in both research. In this paper, the state vector; xk+1 = is ψs is the predicted
issue will be fixed by a simple method based on the proper vector of stator current and stator flux at (k + 1)th instant.
design of the maximum torque reference. The rotor flux at (k + 1)th instant can be computed from
In this paper, a speed-sensorless low-complexity MPC with stator flux ψsk+1 and current ik+1
s as:
short horizon prediction for 3L-NPC inverter-fed IM drives
Lr k+1 1 k+1
was proposed. Instead of using torque and stator flux as control ψ k+1
r = ψs − i , (3)
Lm λLm s
variables [10], [11], the proposed method firstly derives an
equivalent stator flux vector from the reference value of torque and the electromagnetic torque can be predicted as:
and stator flux [22], [23], and then a reference voltage vector 3
nullifying the stator flux error at the end of next control Np λLm (ψrk+1 ⊗ ψ k+1
Tek+1 = s ). (4)
2
period is calculated. The proposed method does not require where Np is the number of pole pairs and ⊗ represents cross
flux weighing factor, which simplifies parameter tuning. The product of two complex vectors.
candidate voltage vectors to be evaluated in the cost function
are such selected that there are no high jumps in both phase
and line voltages. In a preliminary conference version of this B. Model of 3L-NPC Inverter
paper [24], only one switching table was evaluated and it was The circuit topology of the induction motor drive fed by a
implemented with a speed sensor. In this paper, two switching 3L-NPC inverter is shown in Fig. 1. With different switching
tables for the vector pre-selection are proposed and compared, states Sak , Sbk , Sck , each phase of the motor can be connected
which not only reduces the computational burden but also to either the positive (p), negative (n), or neutral (o) point of
is beneficial to switching frequency reduction. Additionally, the dc-link. In this paper, switching states are labeled as “2”,
ZHANG et al.: LOW SWITCHING FREQUENCY MODEL PREDICTIVE CONTROL OF THREE-LEVEL INVERTER-FED IM DRIVES 3
p selecting appropriate switching state of SVVs when they are

+
C1 U c1 applied.
-
The deviation of the neutral point voltage 4Umid at (k +
Udc o 1)th instant can be predicted from the switching states and its
IM
+
U
previous value at kth instant as [24]:
C2
- c2
ia ib
n  k 
U c1 ,U c 2 Sa,Sb,Sc k+1 Tsc k k k iak
4Umid = Sa − 1 S − 1 Sc − 1  i 
b b

TePI Teref abc C
*
r Field- References u ref
s Cost function Udc
 ikc
 rated conversion optimization
weakening
 PI  ref (6)
MPC abc k
Vector pre-  + 4Umid ,
 sk 1 isk 1  rk 1 selection table
ˆ r us where ika , ikb and ikc are three phases current at kth instant;
Full order is
observer C = C1 = C2 is the upper and lower dc-link capacitor, as
shown in Fig. 1.
Fig. 1. Circuit topology and control diagram of the proposed MPC.
III. T HE P ROPOSED MPC
The overall control diagram of the proposed MPC is shown
020 120 220
in Fig. 1, which is mainly composed of the following parts:
field-weakening operation, MPC and full-order observer. The
010 221
MPC block is further composed of three parts: reference
021 210 conversion, cost function optimization and vector pre-selection
121 110
table. The torque command TeP I is firstly obtained through an
external speed control loop using PI controller and the initial
000 stator flux reference is set to rated value ψ rated . Both TeP I
022 122 011
111 222
211 100 200
and ψ rated are then sent to the field-weakening block to obtain
final reference value of torque and stator flux, which may be
different from the original value due to the consideration of
012
112 101
201
field-weakening. The new torque reference Teref and stator
001 212 flux reference ψ ref are the input of the reference conversion
block, which produces an equivalent stator flux reference
vector based on the principle of deadbeat torque and flux
002 102 202 control. The cost function optimization block defines the way
to find the optimal voltage vector, which can satisfy the
requirements of torque and flux while respecting the limitation
ZVV Positive Negative MVV LVV caused by the 3L-NPC topology. The block of vector pre-
SVV SVV
selection table helps to reduce the number of candidate voltage
vectors by eliminating the voltage vectors producing high
Fig. 2. Switching states of a 3L-NPC inverter and permitted switch transitions.
jumps in the line voltages or phase voltages. The block of full-
order observer estimates the stator flux and rotor speed for the
“1”, “0” for “p”, “o” and “n”, respectively. As shown in Fig. 2, aim of speed sensorless operation. The detailed introduction
there are 27 voltage vectors in the 3L-NPC inverter, which can of each part in the control diagram will be elaborated in the
be categorized into four groups: large voltage vectors (LVV), following text.
medium voltage vectors (MVV), small voltage vectors (SVV)
and zero voltage vectors (ZVV). A. Principle of Field-Weakening Operation
The deviation of the neutral point voltage is defined as the The block of field-weakening operation extends the speed
difference between the upper capacitor voltage and the lower range of MPC by adjusting the torque reference and stator
capacitor voltage in the dc-link, namely flux reference online. This significantly improve the practical
value of IM drives based on MPC.
The conventional field-weakening method is to make the
4Umid = Uc1 − Uc2 . (5) flux reference proportional to the inverse of rotor speed when
the rotor speed is above the base speed. For stator flux based
The capacitor voltages are charged or discharged only by control schemes, the simple 1/ωr method produces nearly
MVVs and SVVs while LVVs and ZVVs have no effect optimal torque capability over the entire speed range [26].
on 4Umid [25]. It should be noted that there are a pair of Hence, the stator flux magnitude is set as (7) above rated
SVVs producing the same line voltage, but their influences speed, namely
on neutral point voltage are opposite. Hence, we can use ωrated
the redundancy of SVVs to achieve neutral point balance by ψ ref = ψ rated × (7)
ωr
Due to the decrease of flux magnitude, the maximum torque

reference should be accordingly adjusted as
ψsref = ψ ref · exp(j · ∠ψsref ), (15)
ref
ψ ωrated
Tm1 = Trated × = Trated × (8) After obtaining the new stator flux vector reference ψ ref
ψrated ωr s ,
the desired stator voltage vector reference in stationary frame
Based on (4), the maximum torque reference should also be can be calculated from (1) based on deadbeat control of ψ refs
limited as (9) so that the angle difference between stator flux as
vector and rotor flux vector would not exceed π/4 [21]
√ ψsref − ψ k+1
3 2 uref = Rs ik+1 + s
. (16)
Tm2 = Np λLm |ψr | ψ ref ) (9) s s
Tsc
4
Combining (8) and (9), the torque reference can be finally set It is evident that the control of torque and stator flux can be
as equivalently converted to the control of stator voltage vector,
Teref = min(TeP I , Tm1 , Tm2 ) (10) which is simple and straightforward while eliminating the
weighting factor in conventional MPC.
where TeP I is obtained from the outer speed loop. 2) Cost Function Minimization: For a 3L-NPC inverter fed
In summary, the reference value of stator flux and torque are IM drive, minimizing the tracking error of torque and flux
determined by (7) and (10) in the field-weakening block, which linkage is one of the main aims. However, the limitation caused
ensures the drive can operate at much higher speeds than the by the 3L-NPC converter topology should also be considered.
rated speed with nearly optimal torque capability. It should be The neutral point voltage error should be minimized and the
noted that the maximum current limitation is not considered switching frequency should be kept at a few hundred hertz to
here as current limitation can be easily incorporated in the cost minimize the switching losses. Finally, high voltage jumps in
function, which will be introduced in the following text. both phase and line voltages should be avoided. Theses aims
can be combined into one cost function and expressed as
B. Principle of MPC
1) Voltage Reference Calculation: In conventional MPC for k+1 2
J1 = uref − v k+1 + Kmid M Umid

s + Kn nsw + Iop (17)
motor drives, the torque and stator flux are directly selected
as the control variables. However, as they are different in where, Iop is included for overcurrent protection [10], which
amplitude and unit, a weighting factor is used to combine the is expressed as
error of torque and stator flux in one cost function. The cost (
∞ if ik+1s
> Imax
function is usually defined as Iop = (18)
0 if ik+1s
≤ Imax
J = Teref − Tek+1 + kψ ψ ref − ψsk+1

(11) Imax is the maximally allowable current of the motor drive.
where kψ is the weighting factor for the stator flux. v k+1 is the output voltage vector of 3L-NPC inverter defined
In this paper, the torque reference Teref and the stator by applied switching states Sak , Sbk , Sck ; nsw is the number
flux amplitude reference ψ ref are replaced by an equivalent of switching transitions between the switching states to be
stator flux vector reference ψ ref applied and the switching states in the last control period,
s , which is obtained based on
the principle of deadbeat torque and flux control. Under the which is expressed as
assumption that the stator flux reaches its reference value in X
Sxk+1 − Sxk ;

the next control period, the magnitude of the new stator flux nsw = (19)
vector reference ψ ref
s is set to a constant value ψ ref when x={a,b,c}
the machine runs below the rated speed, namely Kmid and Kn denote the weighting factors for neutral point
voltage balance and average switching frequency, respectively.
|ψ ref
s |=ψ
ref
(12)
By adjusting Kmid and Kn , the impact of the neutral point
The torque is also assumed to reach its reference value in the voltage balance control and average switching frequency re-
next control period, hence the angle between the rotor flux and duction can be weakened or enhanced as desired.
the stator flux in the next instant can be obtained from (4) as In classical MPC for 3L-NPC inverter-fed IM drive, the cost
! function is an extension of (11) by adding the neutral point
Teref voltage error and switching frequency, which is expressed as
∠θsr = arcsin 3 k+1 (13)
ψ ref
2 Np λLm ψr [10]

where the rotor flux ψrk+1 is obtained from (3).

The angle of the new stator flux vector reference ψ ref
s is k+1
J2 = Teref − Te + kψ ψ ref − |ψs | + Kmid M Umid

thus obtained as
+ Kn nsw + Iop (20)
∠ψsref = ∠ψrk+1 + ∠θsr (14)
By comparing (17) and (20), it is seen that the weighting factor
From (12) and (14), the final expression of the new stator is reduced from three to two by removing the weighting factor
flux vector reference ψ ref
s can be obtained as for stator flux. Hence, the tuning work for weighting factor is
TABLE I are pre-selected candidate vectors that can be applied for the
C ANDIDATE VOLTAGE V ECTORS TO BE E VALUATED IN THE C OST next sampling period. Fig. 2 illustrates all switching transitions
F UNCTION OF MPC FOR 3L-NPC I NVERTER
in Type I and Type II tables. The black lines are admissible
vector candidate vectors in candidate vectors in (k + 1)th switching transitions in Type I table. While the permitted
in kth (k + 1)th instant (Type I) instant (Type II) switching transitions for the Type II table are the sum of that
instant
v1 v1 ,v2 ,v12 ,v13 v1 ,v2 ,v12 ,v13 ,v14 represented by black lines and red dotted lines. It is clear that
v2 v1 ,v2 ,v3 ,v14 ,v16 v1 ,v2 ,v3 ,v13 ,v14 ,v15 ,v16 Type I table is a special case of Type II table. Hence, Type
v3 v2 ,v3 ,v4 ,v15 v2 ,v3 ,v4 ,v15 ,v16 II table could provide border solution space for selecting the
v4 v3 ,v4 ,v5 ,v16 ,v18 v3 ,v4 ,v5 ,v15 ,v16 ,v17 ,v18
v5 v4 ,v5 ,v6 ,v17 v4 ,v5 ,v6 ,v17 ,v18
optimal voltage vector.
v6 v5 ,v6 ,v7 ,v18 ,v20 v5 ,v6 ,v7 ,v17 ,v18 ,v19 ,v20 To clearly demonstrate the vector selection process, the case
v7 v6 ,v7 ,v8 ,v19 v6 ,v7 ,v8 ,v19 ,v20 that when v1 is applied during kth control period is taken as an
v8 v7 ,v8 ,v9 ,v20 ,v22 v7 ,v8 ,v9 ,v19 ,v20 ,v21 ,v22
example. From the first row and the second column, it can be
v9 v8 ,v9 ,v10 ,v21 v8 ,v9 ,v10 ,v21 ,v22
v10 v9 ,v10 ,v11 ,v22 ,v24 v9 ,v10 ,v11 ,v21 ,v22 ,v23 ,v24 seen that candidate vectors to be evaluated in Type I table are
v11 v10 ,v11 ,v12 ,v23 v10 ,v11 ,v12 ,v23 ,v24 v1 , v2 , v12 and v13 . For each voltage vector, the corresponding
v12 v1 ,v11 ,v12 ,v14 ,v24 v1 ,v11 ,v12 ,v13 ,v14 ,v23 ,v24 cost function (17) can be calculated based on (6), (16), (18)
v13 v1 ,v13 ,v16 ,v24 ,v25 v1 ,v2 ,v12 ,v13 ,v16 ,v24 ,v25
v14 v2 ,v12 ,v14 ,v15 ,v23 ,v26 v1 ,v2 ,v12 ,v14 ,v15 ,v16 ,v23 ,
and (19). After the cost function are calculated for all four
v24 ,v26 candidate vectors, the voltage vector resulting the minimal
v15 v3 ,v14 ,v15 ,v18 ,v27 v2 ,v3 ,v4 ,v14 ,v15 ,v18 ,v27 cost is selected as the optimal one which will be applied at
v16 v2 ,v4 ,v13 ,v16 ,v17 ,v26 v2 ,v3 ,v4 ,v13 ,v14 ,v16 ,v17 , the next sampling period. The similar process is applied for
v18 ,v26
v17 v5 ,v16 ,v17 ,v20 ,v25 v4 ,v5 ,v6 ,v16 ,v17 ,v20 ,v25 Type II table. Although the use of pre-defined switching table
v18 v4 ,v6 ,v15 ,v18 ,v19 ,v26 v4 ,v5 ,v6 ,v15 ,v16 ,v18 ,v19 , would increase the requirements on memory, the vector pre-
v20 ,v26 selection strategy produces smooth vector switching in both
v19 v7 ,v18 ,v19 ,v22 ,v27 v6 ,v7 ,v8 ,v18 ,v19 ,v22 ,v27
v20 v6 ,v8 ,v17 ,v20 ,v21 ,v26 v6 ,v7 ,v8 ,v17 ,v18 ,v20 ,v21 , line and phase voltages. What’s more, the number of voltage
v22 ,v26 vectors to be evaluated in the cost function is greatly reduced,
v21 v9 ,v20 ,v21 ,v24 ,v25 v8 ,v9 ,v10 ,v20 ,v21 ,v24 ,v25 hence reducing the computational burden. On the contrary,
v22 v8 ,v10 ,v19 ,v22 ,v23 ,v26 v8 ,v9 ,v10 ,v19 ,v20 ,v22 ,v23 ,
v24 ,v26
27 predictions are required in conventional MPC, which is
v23 v11 ,v14 ,v22 ,v23 ,v27 v10 ,v11 ,v12 ,v14 ,v22 ,v23 ,v27 computationally intensive. Considering the slight increase of
v24 v10 ,v12 ,v13 ,v21 ,v24 ,v26 v10 ,v11 ,v12 ,v13 ,v14 ,v21 ,v22 , memory requirement is generally affordable by the modern
v24 ,v26 digital signal processor (DSP), it would not be a big issue in
v25 v13 ,v17 ,v21 ,v25 v13 ,v16 ,v17 ,v20 ,v21 ,
v24 ,v25 practical application.
v14 ,v16 ,v18 ,v20 ,v22 ,v24 v13 ,v14 ,v15 ,v16 ,v17 ,v18 ,v19 ,
v26
v26 v20 ,v21 ,v22 ,v23 ,v24 ,v26
v27 v15 ,v19 ,v23 ,v27 v14 ,v15 ,v18 ,v19 ,v22 ,v23 ,v27 C. Speed Adaptive Flux Observer Based on Novel Gain
For a 3L-NPC inverter-fed IM drive, as the stator flux
cannot be directly measured, accurate and fast estimation of
reduced. Furthermore, more penalty is applied to the neutral stator flux is essential to ensure the performance of MPC in
point voltage error by using squared function, which can limit practical applications. Furthermore, to reduce the cost caused
the neutral point voltage error more tightly. by speed sensor and improve the reliability of system, this
3) Switching Table for Vector Pre-selection: As introduced paper proposes a speed adaptive flux observer with novel gain.
in Section I, high voltage jumps (from “p” to “n” and vice It can provide accurate estimation of stator flux and rotor
versa) are not allowed in both phase and line voltages. To speed, hence achieving speed sensorless operation.
achieve this aim, not all 27 voltage vectors in 3L-NPC The observer is constructed from (1) by adding the error
converter are evaluated in the cost function (17). Only the feedback of stator current and its mathematical model is
voltage vectors satisfying the requirements of switching jumps expressed as
are allowed. To avoid large voltage jumps in phase and line
voltages, only switching transitions to the neighboring voltage dx̂
vectors are allowed. Additionally, switching state change per = Ax̂ + Bus + G(is − îs ), (21)
dt
every sampling period is limited to further reduce switching T
frequency and the number of candidate vectors. In this paper, where x̂ = îs ψ̂s are state variables representing the
two kinds of pre-selection switching tables are investigated. estimated stator current and stator flux.
In the first switching table, no more than one switching state The design of the gain matrix G is one of the key aspects
change is permitted per each sampling period [24], while the of observer, because it affects the convergence rate and even
second one relaxes this restriction by allowing no more than stability of system. In conventional observer the gain G is
two switching state changes in all three phases. Based on the such designed that the poles of observer is proportional to the
predefined restrictions, the two types of switching tables for poles of IM [17] or shifted to the left of the poles of IM on
vector pre-selection are summarized in Table I. In the table, the the complex plane [18]. In [1], to reduce computational burden
first column represents the voltage vector applied during the and improve stability of the observer, a constant gain matrix
current sampling period. Whilst the second and third columns G is proposed and it is expressed as:
800
800
0.36 0.25 0.18 0.125 0.08 0.035700
600
600 0.5
500
Scope Corder DL850
400
400
300
0.75
200 PC
200
100
0
Control board
100 Voltage sensors
-200
200 3L-NPC inverter
0.75
300
-400
400
500
-600 0.5 Current source of ma-
600 gnetic powder brake
0.36 0.25 0.18 0.125 0.08 0.035700 Current sensors
-800
-350 -300 -250 -200 -150 -100 -50 800 0
Fig. 4. The experimental setup for a 3L-NPC inverter-fed IM drive.

Fig. 3. Poles of IM and observer based on the gains of (22) and (24).
TABLE II
M ACHINE AND C ONTROL PARAMETERS

2b DC-bus voltage Udc 540 V
G=− , (22) Rated power PN 2.2 kW
b/(λLr ) Rated voltage UN 380 V
where b is a negative constant. Rated frequency fN 50 Hz
Rated torque TN 14 Nm
In this paper, a generalized gain matrix is proposed by Number of pole pairs Np 2
combining the the principles of gain matrix design in both Stator resistance Rs 3.065 Ω
[17] and [18]. The gain is such designed that the poles of Rotor resistance Rr 1.879 Ω
Mutual inductance Lm 0.232 H
observer is not only proportional to the poles of IM but also Stator inductance Ls 0.242 H
shifted to the left of the poles of IM in the complex plane, Rotor inductance Lr 0.242 H
namely DC-link capacitors C1 , C2 2240µF
Flux amplitude reference ψ ref 0.9 Wb
eig (A − G1 C) = k · eig (A) + b (23) Weighting factor for neutral point balance Kmid 35
Weighting factor for switching frequency Kn 50
where eig() is the function for obtaining the eigenvalue of a
matrix; k and b are two constants.
By solving (23), the new gain matrix G1 is analytically drive. The experimental setup is illustrated in Fig. 4. The
derived as machine and control parameters are listed in Table II, where
" # the weighting factor of Kmid and Kn in the cost function
−2b + λ(k − 1)(Rs Lr + Rr Ls ) + j(1 − k)ωˆr (17) are obtained based on simulation study and experimental
G1 = 2
r +Rr Ls −j ωˆr /λ)
(k 2 − 1)Rs + b /λ−bk(RRsrL−jL r ωˆr
results. A 32-bit floating point DSP TMS320F28335 is utilized
(24) to execute the main control algorithm with 10 kHz sampling
The gain matrix in (24) is a generalized version of the prior frequency. The experimental data are recorded using an oscil-
gains in [1], [17], [18]. For example, if k = 1 and ωˆr = ∞, loscope DL850 and then transferred to PC for analysis.
the gain in (24) is simplified to (22). The main merit of (24)
is that when shifting the poles of observer to the left of poles A. Steady State Performance
of IM (b < 0), the imaginary component of poles can be even Firstly, comparison of steady-state performance for two
smaller than those of poles of IM (k < 1), hence improving switching tables was carried out under the same testing con-
the stability and convergence of observer. dition. Fig. 5 shows responses of electromagnetic torque, one-
Fig. 3 illustrates the poles of IM and observer based on the phase stator current and harmonic spectrum of stator current.
gains of (22) and (24) when the motor speed varies from 0 to It is seen that THD of stator current is reduced from 14.65%
rated speed. It is clearly seen that the imaginary component to 12.29% if Type II switching table instead of Type I table is
of observer with gain (22) are high at high speeds. On the employed. The superiority of Type II switching table is further
contrary, the proposed gain can shift the poles of observer confirmed by the steady state responses at 450 rpm with full
to the left (improving the convergence rate) while reducing load, as shown in Fig. 6. It can be clearly seen that there
the imaginary component of poles (improving the damping of are irregular torque spikes in Type I switching table based
system). For the tested machine in this paper, k is set to 0.8 control method. While it is significantly reduced when Type
and b is set to −40 based on experimental results. II switching table is adopted, as seen from torque histograms.
Moreover, one can see that Type II switching table is more
IV. E XPERIMENTAL R ESULTS effective in suppressing fluctuations in neutral point potential.
To confirm the effectiveness of the proposed MPC, exper- The line-to-line voltage waveforms corresponding to Type
imental tests are carried out on a 3L-NPC inverter-fed IM I and Type II switching tables are shown in Fig. 7. In
20
2
15
0
10
-2 0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4 0.45 0.5
10
0 0.033 0.067 0.1 0.133
time(s)
0
4
2
0 -10
0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4 0.45 0.5
-2
5
-4
0
0 0.033 0.067 0.1 0.133
Fundamental (15Hz) = 3.3445, THD = 14.6496% -5
0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4 0.45 0.5
H n /H 1 (%)
4 1e4
2 5e3
0 0
0 1 2 3 4 5 6 7 8 9 10 10 11 12 13 14 15 16 17 18
Frequency (kHz)
(a) (a)
20
2
15
0
10
-2 0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4 0.45 0.5
10
0 0.033 0.067 0.1 0.133
time(s) 0
4
2 -10
0 0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4 0.45 0.5
-2 5
-4 0
0 0.033 0.067 0.1 0.133 -5
Fundamental (15Hz) = 3.3466, THD = 12.2904%
0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4 0.45 0.5
H n /H 1 (%)
4 1e4
2 5e3
0
0 10 11 12 13 14 15 16 17 18
0 1 2 3 4 5 6 7 8 9 10
Frequency (kHz)
(b)
(b)
Fig. 6. Steady state responses at 450 rpm with full load using (a) Type I and
Fig. 5. Steady state responses at 450 rpm without load using (a) Type I and
(b) Type II switching table.
(b) Type II switching table.
reduction in the cost function, the average switching frequency

both cases, there is no high voltage jump in the line-to- is significantly reduced to less than 600 Hz, which is suitable
line voltage, indicating the effectiveness of the pres-selected for high power applications.
vectors. According to the calculated weighted total harmonic To further confirm the effectiveness of the proposed MPC,
distortion (WTHD), Type II switching table produces smaller it is compared with the conventional SVM-based deadbeat
harmonics than Type I table. As seen from Table I, Type I control using (16) under the condition of the same switching
table is a subset of Type II table. Hence, it is more likely that frequency of 500 Hz. As two methods have different sampling
the voltage vector selected from Type II table is more effective frequencies, it is unfair to directly compare their torque and
in satisfying control objectives. Since Type II switching table flux ripples. As the stator current is directly measured using
is better, only the results using Type II switching table are 10 MHz probe, the harmonic performance of stator current
presented in the following tests. reflects the steady state performance of both methods. It is
The average switching frequencies at various speeds with seen from Fig. 9 that the current THD of the proposed method
and without rated load are exhibited in Fig. 8. The average is even lower than that of SVM-based deadbeat control. The
switching frequency fav is obtained by counting the total results confirm the effectiveness of the proposed single-vector-
switching actions N of 12 semiconductors of three-level based MPC when compared to SVM-based methods, espe-
inverter over a fixed period of 1s, namely that fav = N/12. cially under low switching frequency of only a few hundred
It is seen that by enabling the switching frequency reduction hertz.
(Kn 6= 0) in (17), the average switching frequency is reduced
by up to 30.79% and 34.03% respectively in average under B. Dynamic Response
no-load and rated load conditions. The average switching Fig. 10 presents the starting responses from standstill to
frequency of the proposed method under no-load and rated 1500 rpm for the proposed method. In order to avoid large
load conditions are 579 Hz and 554 Hz, respectively. The re- starting current while providing sufficient starting torque, the
sults clearly confirm that by enabling the switching frequency stator flux is firstly established by using current chopping
U ab/V 500
5
0
0
-500
0 0.0097 0.0193 0.0290 0.0386

t/s
-5
10
2 0 0.02 0.04 0.06 0.08
H n/(nH1) (%)
time(s)
Fundamental ( 25Hz ) = 3.70(A), THD = 10.25%
Fundamental= 530.3403, WTHD = 1.4732% 5.0
10 0
4.0
Hn /H1 (%)
-2 3.0
10
0 2 4 6 8 10 12 14 16 18
2.0
Harmonic order
(a) 1.0
0.0
0 1 2 3 4 5 6 7 8 9 10
500
Frequency (kHz)
(a)
U ab/V
5
-500
0 0.0096 0.0193 0.0289 0.0386

t/s
0
10 2
H n/(nH1) (%)
Fundamental = 529.5298, WTHD = 0.55491%

10 0 -5
0 0.02 0.04 0.06 0.08
-2 time(s)
10 Fundamental ( 25Hz ) = 3.39(A), THD = 11.99%
0 2 4 6 8 10 12 14 16 18 5.0
Harmonic order
4.0
(b)
Hn/H1 (%)
3.0
Fig. 7. Line-to-line voltage and its WTHD when using (a) Type I and (b)
2.0
Type II switching tables.
1.0
0.0
Switching frequency (Hz)
0 1 2 3 4 5 6 7 8 9 10
1200 Kn 0, no load
Frequency (kHz)
1000 Kn =0, no load
(b)
800
Fig. 9. Harmonic spectrum of stator current under the condition of the same
600 switching frequency of 500 Hz, (a) the proposed method, (b) SVM-based
400 deadbeat control.
150 300 450 600 750 900 1050 1200 1350 1500
speed (rpm) 1500
1000 15
Switching frequency (Hz)
1200 Kn 0, rated load 500 10

0 5
1000 Kn =0, rated load 20
0
10
800 0.192 0.194 0.196
0
600
1
400 0.5
150 300 450 600 750 900 1050 1200 1350 1500 0
speed (rpm) 10
0
Fig. 8. Average switching frequencies at different speeds with and without
-10
rated load.
5
0
-5
control. It is seen that the motor accelerates quickly to 1500 0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8
time(s)
rpm while the peak current is limited within 10 A (less than
1.5 times nominal value). At the same time, the neutral point Fig. 10. Starting response from standstill to 1500 rpm.
voltage fluctuation is well suppressed within the range of ±5 V
even during the dynamic process. The proposed MPC achieves
very quick dynamic response, which only requires less than 1 speed. It is seen that by using the proposed gain matrix in
ms for the torque to reach rated value from zero, as shown in (24), the error between the estimated and real rotor speed is
the zoomed torque response in Fig. 10. small during the whole dynamic process. On the contrary,
The dynamic response of speed reversal from 900 rpm to if the prior gain matrix in (22) is used, it is clearly seen
-900 rpm is illustrated in Fig. 11, where the motor decelerates from Fig. 12 that the speed error is much larger than that
quickly to zero speed and then accelerates quickly to the target using the proposed gain matrix, especially during the dynamic
1000 1600
0 1400
-1000
1200
20
0
10
-10
-20 0
10 10
0 0
-10 -10
40
20
20
0 0
-20
-40 -20
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8
time(s) time(s)
(a)
Fig. 11. Dynamic response of speed reversal from 900 rpm to -900 rpm
20
0
50
-20
0 -40
-50 0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8
time(s)
50 (b)
0 Fig. 14. Dynamic behavior of the machine at 1500 rpm under the condition
-50 of external rated-load disturbance, (a) with accurate parameters (b) with 1.6
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8
Rr .
time(s)
3000
Fig. 12. Comparison of rotor speed estimation error when using different 2000
1000
gain matrix in the full order observer 0
20
50 10
0 0
-50 1
5 0.5
0 0
10
-5
0
5
-10
0
40
-5
20
10 0
0 0 0.5 1 1.5 2 2.5 3
-10 time(s)
-20
-30
0 0.2 0.4 0.6 0.8 1 1.2 Fig. 15. Starting from standstill to 400% base speed with halved dc bus
time(s) voltage.
Fig. 13. Dynamic response of speed reversal from 60 rpm to -60 rpm
speed recovers to its original speed quickly after a speed
drop. During the dynamic process, the speed estimation error
process. The results confirm the effectiveness of the proposed is around zero and within the range of ±20 rpm if accurate
gain matrix in improving the convergence rate of rotor speed machine parameters are used. When the rotor resistance in the
estimation. The dynamic response of speed reversal at low controller and observer are increased to 160% of its actual
speed of ±60 rpm is shown in Fig. 13. It is seen that the value, it is seen from Fig. 14b that the speed estimation error
proposed gain matrix is also effective in the low speed range increases slightly. However, the system is still stable. The
by tracking the real speed closely. results indicate that the proposed control method is somewhat
sensitive to the rotor resistance variation, however, without
C. Robustness Against Rotor Resistance Variation affecting the stability of system.
Fig. 14 presents the dynamic behavior of the machine at
1500 rpm when an external disturbance of rated load is applied D. Field-Weakening Operation
to the system. It is seen that, the electromagnetic torque To validate the effectiveness of the field-weakening algo-
increases quickly to balance the external load and the rotor rithm in Section III-A, Fig. 15 presents the starting response
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Yongchang Zhang (M’10-SM’18) received the B.S.

degree from Chongqing University, China, in 2004
and the Ph.D. degree from Tsinghua University,
China, in 2009, both in electrical engineering.
From August 2009 to August 2011, he was a
Postdoctoral Fellow at the University of Technology
Sydney, Australia. He joined North China University
of Technology in August 2011 as an associate pro-
fessor. Currently he is a full professor and the direc-
tor of Inverter Technologies Engineering Research
Center of Beijing. He has published more than 100
technical papers in the area of motor drives, pulsewidth modulation and
AC/DC converters. His current research interest is model predictive control
for power converters and motor drives.
Yuning Bai was born in Inner Mongolia Au-

tonomous Region, China, in 1992. He received
the B.S. degree from North China Electric Power
University in electrical engineering and automation,
Beijing, China, in 2015. He is currently working
toward the M.S. degree in electrical engineering at
the North China University of Technology, Beijing.
His research interests include two/three level
inverter-fed induction motor drives and speed sen-
sorless control of induction motor.
Haitao Yang (S’16) received the B.S. degree from

Hefei University of Technology, Hefei, China, in
2009, and the M.S. degree from North China Uni-
versity of Technology, Beijing, China, in 2015, both
in electrical engineering. He is currently working
toward the Ph.D. degree in mechanical engineering
with the School of Mechanical and Mechatronic En-
gineering, University of Technology, Sydney, NSW
2007, Australia.
His research interests include motor drives, posi-
tion/speed sensorless control of AC motors, PWM
converters and electric vehicle.
Boyue Zhang was born in 1993. He received the

B.S. degree in electrical engineering and automa-
tion from Liaoning Technical University , Liaoning,
China, in 2017. He is currently working toward the
master’s degree in electrical engineering at North
China University of Technology, Beijing.
His research interest is model-predictive control
of IM drives.

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This article has been accepted for publication in a future issue of this journal, but has not been

Low Switching Frequency Model Predictive Control

p selecting appropriate switching state of SVVs when they are

Due to the decrease of flux magnitude, the maximum torque

where the rotor flux ψrk+1 is obtained from (3).

Fig. 4. The experimental setup for a 3L-NPC inverter-fed IM drive.

reduction in the cost function, the average switching frequency

0 0.0097 0.0193 0.0290 0.0386

0 0.0096 0.0193 0.0289 0.0386

Fundamental = 529.5298, WTHD = 0.55491%

1200 Kn 0, rated load 500 10

[24] Y. Zhang and Y. Bai, “Model predictive control of three-level inverter-fed

Yongchang Zhang (M’10-SM’18) received the B.S.

Yuning Bai was born in Inner Mongolia Au-

Haitao Yang (S’16) received the B.S. degree from

Boyue Zhang was born in 1993. He received the

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