IEEE TRANSACTIONS ON INDUSTRY APPLICATIONS, VOL. 25, NO.

6, NOVEMBERIDECEMBER 1989 1035

Parameter Estimation for Induction Machines

Based on Sensitivity Analysis

Abstmct- Induction machine parameters supplied by manufacturers

are usually sufficient for short-circuit analysis only. System studies that
involve transient simulation of machines require additional parameters
that are not readily available, but nonetheless are essential for an accu-
rate modeling of the machines. A mathematical method for estimating
the equivalent circuit parameters of induction machines from the most
readily available performance characteristics is presented. The method
utilizes machine equations to estimate the parameters and then performs
sensitivity analyses with respect to the circuit parameters to match the
given performance characteristics. An example is included to illustrate
how well the performance of the estimated model matches that of the
actual machine.

Fig. 1. Steady-state performance curve, including torque, current, and

INTRODUCTION power factor versus slip.

In this study it is assumed that the nameplate data along with

If" DUCTION machine models used for the solution of a va-
iety of steady-state and transient problems require machine
parameters that are usually considered design parameters or
data. These parameters include the resistances and reactances
representing the stator, rotor, and magnetizing branches. Ad-
ditional parameters used in some models include the effects
of saturation, hysteresis, eddy currents, deep rotor bars, and
double rotor cages.
The task of obtaining machine design data can be difficult,
if not impossible for some machines. These data might not
have been supplied by the manufacturer or have been long
lost by the owner. For most small machines the only available
data appear on their nameplates. Additional data available for
some larger motors are the steady-state performance curves,
which include the torque, current, and power factor versus
slip, as shown in Fig. 1.
Even when the design data are obtained from the manu-
facturer, their validity is questionable since they might have
been based on typical data for a similar frame size machine.
To further amplify the problem, most design data supplied
by manufacturers do not include the effects of saturation and
rotor speed on the machine resistances and reactances, thus
limiting the applicability of the data.
Paper PID 89-14, approved by the Petroleum and Chemical Industry Com-
mittee of the IEEE Industry Applications Society for presentation at the 1988
Petroleum and Chemical Industry Technical Conference, Dallas, TX, Septem-
ber 12-14.
S. Ansuj is with the Federal University of Santa Maria, 97.019, Santa
Maria, RS, Brazil.
F. Shokooh is with Operation Technology, Inc., 17870 Skypark Circle,
Irvine, CA 92714.
R. Schinzinger is with the Department of Electrical Engineering, University
of California, Irvine, Irvine, CA 92717.
IEEE Log Number 8930263.
two points from the motor performance curves are available.
These points, which include the locked rotor torquekurrent
and breakdown torque, may be obtained from actual machine
tests or from curves supplied by the manufacturer. Indeed,
these points are often the only reliable information available
from the performance curves since the rest of the curve might
have been provided merely as an indication of the machine's
generic behavior.
The estimation method described in this paper differs
from other approaches in the following ways. Waters and
Willoughby [ 11 presented a parameter estimation procedure
that required knowledge of stator resistance and leakage re-
actance in addition to selected points from the performance
curves similar to the ones required here. Other methods of
parameter estimation employ least square analysis of the data
generated during actual transient conditions. Such data are
usually produced in connection with tests of larger machines
and involve elaborate setups.
EQUIVALENT
CIRCUIT
An equivalent circuit representing the steady-state behavior
of a polyphase induction motor is shown in Fig. 2.
A listing of the parameters in this equivalent circuit and
their dependencies on the machine speed (rotor frequency) as
treated in this paper follows. All circuit parameters are in per
unit referred to the stator winding:
R, stator resistance
X, stator leakage reactance
X, magnetizing reactance
R, resistance representing core losses
X, rotor reactance

0093-9994/89/1100-1035$01.OO 0 1989 IEEE

1036 IEEE TRANSACTIONS ON INDUSTRY APPLICATIONS, VOL. 25, NO. 6, NOVEMBERIDECEMBER 1989

R. X.. xr The rotor resistance equations are based on the total rotor
resistance R r / S , which is split into a component that accounts
for mechanical power output P m d , = If(1 - S ) R r / S and a
component that represents Joule heating PloSs= I f R r . The
total power input into the rotor is P r = IfRr / S , and in the per
I 1 unit system this also represents torque, since T = Pm&/wr =
Fig. 2. Equivalent circuit representing steady-state behavior of polyphase (1 - S ) P r / { ( 1 - S ) w o } = P r when rotor angular frequency wr
induction motor. is expressed as (1 - S) times synchronous frequency wo = 1.
+
(1 K:S)Xr, p For values of slip S between full load (small S)and locked
rotor reactance at full load (S = S,) rotor (S = l), the rotor resistance is approximated by
rotor reactance at locked rotor (S = 1)
rotor reactance cage factor to account for deep bars Rr = ( 1 +KrS)Rr,f/
and double cage effects as slip changes from one to
where K , , which ranges between 0 and 3, depends on the
zero
cage construction (deep bar, double cage, etc.). This equation
rotor resistance
allows one to extract Kr for later use by substituting Rr,Ir for
(1 +KrS)Rr.fl Rr when S = 1.
rotor resistance at full load (S = S,)
The total input reactance at locked rotor can be found from
rotor resistance at locked rotor (S = 1)
rotor resistance cage factor to account for deep bars
and double cage effects as slip changes from one to
Xs +Xr = d S = J1/Z:,lr - (Rs +Rr,Ir)*

zero where
slip speed
slip at full load. Z = E / I = l.O/Zs,,r.
PARAMETER
ESTIMATION The stator and rotor reactances can then be determined by
applying typical values of an empirical distribution of leakage
The algorithm for estimating the equivalent circuit parame-
reactances in induction motors [2]:
ters for a machine proceeds as follows. First, the parameters
of a simplified equivalent circuit that omits the magnetizing
Xs/Xr =P
branch are obtained. These parameters are then used to arrive
at the values for the elements of a detailed equivalent circuit where
that includes the magnetizing branch and the effect of slip fre-
p =1 for Class A and wound rotor motors
quency. This sets the stage for application of the sensitivity
213 for Class B motors
analysis, which will be discussed in the next section.
3/7 for Class C motors.
The performance characteristics required for this method
are grouped according to the three load conditions usually Next, the stator resistance is calculated from the given
specified for induction motors as follows: locked rotor power factor:
full load power factor, PFfr
efficiency, EFFfr
Rs = ( X , +X,)/[tan COS-^ PFlr)] - Rr,lr.
locked rotor power factor, PFIr Having found approximate values for the stator and rotor
stator current, I s , / r circuit parameters, the parameters of the magnetizing branch
torque, TI, can now be computed. The magnetizing reactance (X,) is
maximum torque torque, T m approximated successively until the model circuit provides a
slip, Srm. power factor that matches the given power factor at full load
( P F f l ) .To do this, a modified equivalent circuit will be con-
The per unit system is used. Accordingly the full load torque,
structed in which the rotor and magnetizing branches are com-
full load current, and terminal voltage are all equal to 1.0 pu
bined in parallel. This new circuit is shown in Fig. 3 where
each.
the parameters RI and X ’ are
The process is initiated with the following assumed values
unless they are specified. The rotor currents at full load ( I r , f / )
R’ = R c x ; ( x ? , [ r +R:*/r+ R r , / r R c ) / D
and locked rotor (Zr,l r ) are each set at 95 percent of their stator
counterparts. The full load slip is assumed to be 1.5 percent. +
XI = RzXm(X$,lr R;,lr Xr,lrXm)/D +
The effects of double cage or deep bar construction on the
with
rotor reactance are neglected at this stage. Based on this set
of assumed values, an approximate set of equivalent circuit
parameters is computed by the following equations:
+ +
D = (Rr,/rRc - Xr,/rXmI2 (Rr,lrXm RcXr,/r +RcXm)* *
Before determining the remaining component of the mag-
Rr,f/ =SflTf//I?,f/ netizing branch R e , it is necessary to correct the values of
Rr,/r = T l r / I : , / r * full load rotor current and full load slip, which so far have
ANSUJ et al.: PARAMETER ESTIMATION FOR INDUCTION MACHINES 1037

X’ R’ From P , one obtains

R, =E;/P,

where Em is the voltage across the magnetizing branch, found

from
Fig. 3. Modified equivalent circuit with rotor and magnetizing branches
combined in parallel. E; = 11 -I,, f l ~ cos(&
s - + [ I , , f l Z ,sin(6 -

where
0 = cos-’ (PFf l )

- ‘Th
1
6 = tan-’ ( X , / R , ) .

A preliminary set of circuit parameters is now available.

Fig. 4. Magnetizing branch combined with stator branch to form Thevenin This set models a machine whose performance characteristics
equivalent circuit. can be calculated from equations that resemble the ones used
in the foregoing analysis, except that they were used in a
been assumed (unless they have been specified, in which case “reverse engineering” mode there. The performance of the
the next two equations are superfluous). Having a fair indi- model may deviate from the data given for the actual machine
cation of the magnitude of X m and knowing that R , is much (and used as input for the estimation process) by as much as
larger than X m , the rotor current without reference to R , is 20 percent, although in most of the test cases the deviation was
recalculated as below 10 percent. Further refinements to improve the match
between the model and the actual machine are carried out next
Ir,f/ = Is,fixm/(Xm + X r , f / )= X m / ( x m +-Xr,fi)* by means of a sensitivity analysis.
Then the full load slip is more accurately obtained as SENSITIVITY
ANALYSIS
Sfi = ~ ? , p ~ r , f i ~ f / The nonlinear behavior of induction machines and the com-
plex interdependencies of the machine parameters make it ex-
= Rr,fiX; / W m + X r , f i ) 2 - tremely difficult to obtain exact and simultaneously practica-
With S f l updated, the rotor resistance at full load is ble equations that relate the performance characteristics and
circuit parameters. This fact, along with the simplifying as-
sumptions made in the derivation of the equations presented
in the last section, will result in a set of estimated circuit
Returning to R , , its magnitude is found in a manner simi- parameters which may not produce terminal characteristics
lar to the way X m was determined in that another equivalent identical to those given. These values can be thought of as
circuit is fashioned, only this time the magnetizing branch is the maximum-likelihood or minimum-variance estimate of the
combined with the stator branch to form the Thevenin equiva- circuit parameters. They can now be adjusted or modified to
lent circuit of Fig. 4. The elements of the Thevenin equivalent account for the machine nonlinearities and parameter depen-
circuit are dencies not considered in the equations.
Parameter modifications can be accomplished by a set of
adjustment factors obtained from sensitivity analyses of the
performance characteristics with respect to each circuit pa-
rameter. The sensitivity of a variable Y (such as the full load
power factor P F p ) with respect to a parameter 0 (such as
the stator resistance R,) is the partial derivative of Y with
respect to 0.The values of the circuit parameters used for
where evaluation of the sensitivity factors are the estimated values
obtained earlier. The expression for the normalized sensitivity
of variable Y with respect to 0 is
We are still after an estimate for R , and an indication of its
6Y 1/Y
influence on other parameters in the estimation process. We 6,,p =- ~

turn to the core loss P , , given as the difference between input 60 110
power and known power losses: -
-
P 6Y
_ _
y 60
Pc = Pmech/EFFfi -Pout - I:,f/Rs - IF,f/Rr,fi
where in this case Y represents, in turn, the variables
where P F f i , EFFfr, PFl,, Ilrr T I , ,T m , and ST^. The parame-
ters Rs, Xs,Re, Xm, X r , f / ,x r , / r , R r , f / ,and Rr,/r are rep-
+
Ir,f l =ETh[(RTh + R , , f ~ / S f i ) ~(XTh + x r , i r ) 2 ] - ‘ ’ 2 . resented by b.
1038 IEEE TRANSACTIONS ON INDUSTRY APPLICATIONS, VOL. 25, NO. 6 , NOVEMBERIDECEMBER 1989

Performance c h a r a c t e r i s t i c s calculated frm the estimated parameters:

Calculated F u l l Load Current = 126.4

Full Load Torque = 1481.3 ft-lb X Slip RPll

- _ _ _ - - ------ .__---
Maximum Torque = 3184.7 ft-lb Locked Rotor: 100.0 0.0 31.0 459.2 410.2 518.6 15.0 0.0
90.0 360.0 34.2 506.3 410.5 519.0 15.6 4.4
80.0 720.0 38.1 564.7 410.6 519.1 16.4 9.4
70.0 1080.0 43.2 639.2 410.5 519.0 17.5 15.0
60.0 1440.0 49.8 737.2 410.1 518.5 18.8 21.5
50.0 1800.0 58.9 872.1 409.1 517.2 20.7 29.0
40.0 2160.0 72.1 1068.4 406.9 514.5 23.4 37.8
30.0 2520.0 93.0 1377.8 402.2 508.5 27.8 48.5
20.0 2880.0 129.7 1921.0 389.7 492.8 35.9 61.6
19.0 2916.0 134.8 1996.9 387.5 489.9 37.2 63.0
18.0 2952.0 140.3 2078.0 385.0 486.7 38.5 64.6
17.0 2988.0 146.1 2164.6 382.0 483.0 39.9 66.1
16.0 3024.0 152.4 2257.0 378.7 478.0 41.5 67.7
15.0 3060.0 159.0 2355.2 374.8 473.8 43.2 69.3
14.0 3096.0 166.0 2459.3 370.2 168.0 45.2 71 .O
13.0 3132.0 173.4 2568.6 364.8 461.2 47.3 72.7
12.0 3168.0 181.1 2682.3 358.4 453.1 49.6 74.5
Xlr = 24.09 X Locked r o t o r (subtransient) reactance a t S = 100% 11.0 32oC.O 188.9 2298.3 350.7 443.4 52.2 76.3
23.69 X a t S = 1.50% 10.0 3240.0 1W.7 2913.0 341.4 431.7 55.2 78.1
9.0 3276.0 203.9 3020.8 330.1 417.4 58.4 80.0
xoc = m.02 x Open-circuit reactance 8.0 3312.0 210.1 3112.1 316.2 3W.8 62.0 82.0
7.0 3348.0 214.2 3172.2 299.0 378.0 65.9 84.6
X/R = 14.37 Xlr/Rs r a t i o a t S = 100% 6.0 3384.0 214.6 3178.4 2T1.5 350.8 70.2 86.1
= 15.55 a t s = 1.50% 5.0 3420.0 209.2 3090.3 250.6 316.9 74.8 88.2
4.0 3456.0 195.0 2888.2 217.2 274.6 79.3 90.3
Tdo' = 0.476 Sec. Rotor open-circuit tim constant a t 5 = 100% 3.0 3492.0 168.6 2497.3 176.1 222.7 83.4 92.5
= 0.524 Sec. a t S = 1.50% 2.0 3528.0 127.0 1881.6 127.1 160.7 85.9 94.7
F u l l Load: 1.50 3546.0 100.0 1481.2 100.1 126.5 05.6 95.8
Kr = 0.103 Rotor resistance cage f a c t o r

Kx = 0.035 Rotor reactance cage f a c t o r Max. Torque: 6.40 3369.6 215.0 3184.2 286.7 362.4 68.5 85.2
(a) (b)

INWCIIOW lVICHlNE IORPUE/SLIP CURUE

3ee
1 /

e
i.: SLIP Sr

(c)
Fig. 5. Computer output for induction machine parameter estimation.
ANSUJ et al. : PARAMETER ESTIMATION FOR INDUCTION MACHINES 1039

This derivative represents the ratio of the first variation of Y used to estimate new values for the circuit parameters as fol-
to the first variation of /3. Values obtained from the sensitivity lows:
equation can be interpreted as the percentage of change in Y
when /3 is changed by one percent. Rs,new =Rs,old(l +FRAdjR,)
The individual sensitivity equations are in general complex
and lengthy. As an example, with Rc neglected, the sensitivity X S ,new = X S ,old(1 + F x A d j x , )
factors of the full load power factor with respect to the circuit
parameters are given below. The sensitivity equations with R ,
included are too complex and lengthy to be listed here. +
Rc,new =Rc,old(l FMAdjR,)

6 pf l~, R ~= [A”2 - ( R , +R i ) 2 A - ” 2 J / A

where
Using the latest value of the circuit parameters, the sensitiv-
ity factors are evaluated and used to calculate the adjustment
factors for each parameter.
EXAMPLE
To illustrate the application of the method, a three-phase
1OOO-hp 4.16-kV 60-Hz induction motor was selected. A
computer program was developed for PC-DOC environments
to calculate the circuit parameters. The full load power fac-
tor and efficiency, the locked rotor current, torque and power
factor, and the breakdown torque and slip were entered as
input data through a user-friendly menu. The result of the
first set of estimated parameters obtained from the machine
equations (without the sensitivity analysis) indicates deviations
ranging from 0.03 to 2.86 percent between the input and cal-
culated characteristics. Similar ranges of deviations were ob-
tained when other machine data were used. This is in spite of
having exploited the available machine equations to the fullest
extent and, therefore, emphasizes the need for sensitivity anal-
ysis for final parameter adjustments. This particular example
required 18 iterations of parameter adjustments until the per-
formance characteristics calculated from the estimated circuit
parameters were within 1 percent of the given values, as in-
dicated in the computer output shown in Fig. 5. Actually far
fewer iterations would suffice to obtain acceptable results.

+ ~ P F Ip ~, ( 1 - PF/r,given /PF/r,c d c ) CONCLUSION

Our experience, as exemplified by the representative nu-
+ 6rlr ps( 1 Z / r , given / Z / r ,c d c )
-
merical example, shows that with a restricted set of input data
it is possible to find the elements of a machine model that
+ hlrps(1 - T/r,given/T/r,c d c ) duplicate the given performance to a high degree of accuracy.
Without sensitivity analysis, accuracies on the order of 1 to
+
& , , ~ , ( l -Tm,given/Trn,calc) 10 percent are obtained, but after employing sensitivity anal-
ysis, an accuracy of 0.2 percent or better can be achieved.
+6sTmss(l -S~rn,given/S~m,cdc). The procedure presented here is a valuable tool for estimating
parameters of equivalent circuits to be used in steady-state and
The calculated adjustment factors are then weighted and transient analyses of systems involving induction machines.
1040 IEEE TRANSACTIONS ON INDUSTRY APPLICATIONS, VOL. 25, NO. 6, NOVEMBERIDECEMBER 1989
REFERENCES
Samuel S. Waters and Ronald D. Willoughby, “Modeling induction mo-
tors for system studies,” IEEE Trans. Ind. Appl., vol. 1AS-19, pp.
875-878, 1983.
Philip L. Alger, Induction Machines, 2nd ed., New York: Gordon and
Breach, 1970.
Somchai Ansuj was born on August 20, 1949 in
Bangkok, Thailand. He received the B.Eng. (Hons.)
degree from Chulalongkorn University, Thailand, in
1970, and the M.S.E.E. and Ph.D. degrees from
the University of Missouri, Columbia, in 1971 and
1975, respectively.
Since 1975 he has been with the Federal Uni-
versity of Santa Maria, Rio Grande do SUI, Brazil,
where he is presently Professor and Coordinator of
the Post Graduate Program in Electrical Engineer-
ing. From 1981-1985 he was Head of the Depart-
ment of Electromechanical and Power Systems. From 1985-1987 he was a
Visiting Associate Professor at the University of California, Irvine, where he
was engaged in research and teaching in Electrical Energy Systems.
Dr. AnSUj is a member of Eta Kappa Nu and Tau Beta Pi and is a Registered
Professional Engineer in Thailand and Brazil.
Farrokh Shokooh (S’75-M’79-SM’82) received
the B.S. and Ph.D. degrees in electrical engineering
from the Louisiana State University, Baton Rouge,
in 1972 and 1979, respectively.
He was associated with Barbay Engineers, Inc.,
has served on the faculty at Louisiana State Univer-
sity, and has been a Visiting Lecturer in the Uni-
versity of California, Irvine, School of Engineering,
since 1981. He was also a Staff Engineer for Fluor
Daniel, Inc., for six years before joining Operation
-_ Inc. in 1986. His teaching and research
Technology,
interests include electric machines and mathematical modeling of power sys-
tems. His industrial experience ranges from conceptual design, engineering
and operation of industrial power systems, to computer software design and
development.
Dr. Shokooh is a member of Eta Kappa Nu, Tau Beta Pi, and Phi Kappa
Phi. He is an active member of the IEEE Subcommittees for Emergency and
Standby Power and Short-circuit Calculation Working Groups and a Regis-
tered Professional Engineer in the State of California.
Roland Schinzinger (M’55-SM’78) was born and
raised in Japan. He received the B.S., M. S., and
Ph.D. degrees in electrical engineering from the
University of California, Berkeley, in 1953, 1954,
and 1966, respectively.
From 1954-1958 he worked as an electrical en-
gineer at Westinghouse Electric Corporation, East
Pittsburgh, PA, specializing in large rotating ap-
paratus development. From 1958-1963 he taught at
Robert College (presently Bosphorus University, Is-
tanbul, Turkey). Since 1965 he has been with the
University of California, Irvine, and is currently a Professor of Electrical and
Computer Engineering. His research interests include electric energy systems
and large scale utility networks.
Dr. Schinzinger is a co-founder of the Industry Applications Society/Power
Engineering Society Joint Chapter of the IEEE in Orange County, CA.