International Journal of Automation and Computing 12(2), April 2015, 149-155

DOI: 10.1007/s11633-015-0881-2

Backstepping Control of Speed Sensorless Permanent

Magnet Synchronous Motor Based on Slide
Model Observer
Cai-Xue Chen1,2 Yun-Xiang Xie1 Yong-Hong Lan2
1
School of Electric Power, South China University of Technology, Guangzhou 510641, China
2
School of Information Engineering, Xiangtan University, Xiangtan 411105, China

Abstract: This paper presents a backstepping control method for speed sensorless permanent magnet synchronous motor based on
slide model observer. First, a comprehensive dynamical model of the permanent magnet synchronous motor (PMSM) in d-q frame
and its space-state equation are established. The slide model control method is used to estimate the electromotive force of PMSM
under static frame, while the position of rotor and its actual speed are estimated by using phase loop lock (PLL) method. Next,
using Lyapunov stability theorem, the asymptotical stability condition of the slide model observer is presented. Furthermore, based
on the backstepping control theory, the PMSM rotor speed and current tracking backstepping controllers are designed, because such
controllers display excellent speed tracking and anti-disturbance performance. Finally, Matlab simulation results show that the slide
model observer can not only estimate the rotor position and speed of the PMSM accurately, but also ensure the asymptotical stability
of the system and effective adjustment of rotor speed and current.

Keywords: Permanent magnet synchronous motor (PMSM), slide model observer, backstepping control, speed sensorless, alternating
current (AC).

1 Introduction two categories: signal injection based methods[8, 9] and

back electromotive force (back-EMF (electro-motive force))
With the development of power electronics technology based methods[10] . The drawbacks of signal injection based
and control technology, permanent magnet synchronous methods include the generation of acoustic noise, suffer-
motor (PMSM) has been widely applied in various indus- ing from secondary saliency and cross-saturation problems.
trial sectors due to its compact size, high torque/inertia ra- Meanwhile, the methods of back-EMF are unsuitable for
tio, high torque/weight ratio and absence of rotor loss[1, 2] . low and zero speed, and sensitive to the parameter varia-
PMSM is a complicated high-order, nonlinear system with tions of the PMSM. Extended Kalman filter has been widely
multiple variables and strong coupling characteristics. Over used for rotor speed and position estimation in sensorless
the last decades, various design methods have been devel- control of PMSM[11−14] . The filter, including prediction
oped. and innovation, requires a lot of recursive computations.
To get fast four-quadrant operation, good acceleration However, it is difficult to guarantee convergence of the esti-
and smooth starting, the field-oriented control or vector mated speed and position[5] . In [15], model reference adap-
control is widely used in the design of PMSM drives[2] , and tive system (MRAS) technique has been used for speed es-
in this control process, the precise rotor position and speed timation in sensorless speed control of PMSM with space
are needed. The most commonly used control strategy in vector pulse width modulation. The stable and efficient es-
PMSM is to install an encoder or other kinds of sensors on timation of rotor speed at low region was guaranteed by
the rotor shaft to gain the information on rotor speed and simultaneous identification of PMSM. A reduced-order lin-
position of the motor, but this would increase the system ear Luenberger observer was proposed to obtain the rotor
cost and reduce the system reliability[3] . In recent years, speed of the motor[16] . The rate of convergence for the
to enhance the system performance and reduce the adverse Luenberger observer was determined through pole assign-
effects of sensors on the system, several algorithms have ment. In [17], a speed sensorless control for PMSM with
been suggested to achieve sensorless operation[4−7] . port-controlled Hamiltonian (PCH) model was established.
The sensorless control methods can be divided into Furthermore, a passive full-order observer was designed to
estimate rotor speed.
Regular Paper
Special Issue on Advances in Nonlinear Dynamics and Control In order to improve the robustness and accuracy of posi-
Manuscript received March 20, 2014; accepted September 25, 2014
This work was supported by National Natural Science Foundation tion and speed estimations, the sliding mode observers were
of China (Nos. 61104072 and 11271309). widely used in very recent years[18−20] . The sliding mode
Recommended by Guest Editor Fernando Tadeo
c Institute of Automation, Chinese Academy of Science and observer has better dynamic behavior, robustness against
Springer-Verlag Berlin Heidelberg 2015 disturbance and high accuracy estimation ability. However,
150 International Journal of Automation and Computing 12(2), April 2015

the chattering phenomenon in sliding mode observer is the following nonlinear system:
major drawback. To reduce the chattering, several works ⎡ ⎤ ⎡ 3pφf ⎤ ⎡ ⎤ ⎡ ⎤
based on high order sliding mode techniques have been pub- ẋ1 −BJ 2J
0 x1 − TJL
⎢ ⎥ ⎢ P φf ⎥ ⎢ ⎥ ⎢ ⎥
lished to improve the performance[20] . ⎣ ẋ2 ⎦=⎣ − Lq − L1q R −px1 ⎦×⎣ x2 ⎦+⎣ L1q uq ⎦
1
Backstepping control is a new type recursive and sys- ẋ3 − L1d R px1 0 x3 Ld d
u
tematic design methodology for the feedback control of un- (4)
certain nonlinear system, particularly for the system with
matched uncertainties[21] . The most appealing point of it is where x(t) is the state vector defined as x. The main control
to use the virtual control variable to make the original high objective is to keep all the signals in the closed loop system
order system simple, thus the final outputs can be derived bounded and ensure global asymptotic convergence of the
systematically through suitable Lyapunov functions[5] . speed and current tracking errors to zero.
In this paper, we mainly investigate backstepping sen-
sorless speed controller for permanent magnet synchronous 3 Design of backstepping controller
motor based on slide model observer. A sliding model con-
troller, which adopted a saturation function is designed to Backstepping control is an efficient method for nonlinear
estimate the back-EMF to reduce the chattering problem. system. In the backstepping procedure, the first step is to
Also, a phase-locked loop is proposed to estimate the rotor define a virtual control state and then it is forced to become
velocity and rotor position angle, because it has good track- a stabilizing function. Consequently, by appropriately de-
ing performance for the frequency and phase. Meanwhile, signing the related control input on the basis of Lyapunov
the practical stability of the controller-observer scheme is stability theory, the error variable can be stabilized. Based
studied via Lyapunov theorem. on the backstepping design principle, the overall controller
The rest of this paper is organized as follows. In Sections design can be established.
2 and 3, the mathematical model and the backstepping con-
3.1 Speed controller design methodology
troller for PMSM are presented. The speed and position in-
formation of PMSM are estimated by slide model observer The controller for the speed state x1 can be designed in
in Section 4. Section 5 presents simulation examples to three steps.
demonstrate the effectiveness of the proposed method. Fi- Step 1. To solve speed tracking problem, the state track-
nally, some conclusions are drawn in Section 6. ing error variable can be defined as

e1 = x∗1 − x1 (5)
2 Mathematic model of PMSM and
where x∗1 is the reference rotor speed and x1 is the actual
problem formulation rotor speed. For stabilizing the speed component, the speed
tracking error dynamics derived from (4) and (5) can be
Assume that magnetic circuit is unsaturated and hystere- obtained as
sis as well as eddy current losses are ignored. The math-
1 3pφf
ematical model of a conventional surface mounted PMSM ė1 = ẋ∗1 − ẋ1 = (Bx1 + TL − x2 ). (6)
J 2
can be given with above standard assumptions in the d − q
frame as[22] Step 2. Choose the following candidate Lyapunov func-
tion as
1 2
did 1 1 V1 = e1 . (7)
= − Rid + pωiq + ud (1) 2
dt Ld Ld
diq 1 pφf 1 Step 3. The time derivative of Lyapunov function (7)
= − Rid + pωid − ω+ uq (2) can be obtained as
dt Lq L Lq
dω 3pφf B TL e1 3pφf
= iq − ω − (3) V̇1 = e1 ė1 = (Bx1 + TL − x2 ). (8)
dt 2J J J J 2
According to Lyapunovs stability definition, in order to
allow the tracking error to converge to zero, (9) must be
where R is the stator resistance, Ld , Lq are the d-axes and
satisfied and make V̇1 < 0.
q-axes stator inductances, ud , uq denote the d-axes and q-
axes stator voltages, id , iq are the d-axes and q-axes stator 1 3pφf
(Bx1 + TL − x2 ) = −ke1 , k > 0. (9)
currents, p is the number of pole pairs of the PMSM, ω is the J 2
rotor angular velocity of the motor, φf is the flux linkage, Following the backstepping methodology with (9), the
TL represents the applied load torque disturbance, J is the virtual control variable input x2 is
rotor inertia, and B is the viscous friction coefficient.
To formulate the design problem, according to (1)−(3), 2
x2 = (Bx1 + T + kJe1 ). (10)
the state space model of the PMSM can be rewritten as the 3pφf
 C. X. Chen et al. / Backstepping Control of Speed Sensorless Permanent Magnet Synchronous Motor · · · 151

From (8) and (10), the following equation can be obtained then the following result is obtained as
as
2(B − kJ) 3pφf Rx2
( x2 − Bx1 − TL ) + +
V̇1 = e1 ė1 = −ke21 . (11) 3pφf J 2 L
uq pφf
Therefore, when (10) is satisfied, the speed error approaches px1 x3 − + x1 = −k1 e2 , k1 > 0 (19)
L L
zero. In other word, global asymptotic tracking of speed can V̇2 = −ke21 − k1 e22 < 0. (20)
be achieved.
PMSM is a complicated high-order, nonlinear system Similarly, the d-axis current controller can be designed
with multiple variables and strong coupling characteristics. by the following steps.
Decoupling control is a commonly used method in PMSM Step 1. Choose d-axis current tracking error as a new
control system. The exact thrust force to drive the motor is state variable as
determined by the q-axis current. Moreover, it is advisable
to make the d-axis current x3 be zero for the interest of re- e3 = x∗3 + x3 . (21)
duction of power consumption. Since controlling x3 to zero
will eliminate the coupling term x1 , x3 in (2), the minimal Differentiating e3 with respect to time and using the re-
control effort can be expected. In other word, when id =0, sult of (4) give
the control scheme is R ud
ė3 = ẋ∗3 − ẋ3 = x3 − px1 x2 − . (22)
2 L L
x∗2 = (Bx1 + T + kJe1 ) (12)
3pφf
Step 2. For a new system based on e1 , e2 and e3 , define
x∗3 = 0 (13) the third Lyapunov function as

where x∗2 is the reference q-axis current and x∗3 is the refer- 1 2
V3 = V2 + e3 . (23)
ence d-axis current. 2

3.2 Current controller design methodol- Step 3. Differentiating V3 with respect to time yields
ogy V̇3 = V̇2 + e3 ė3 =
Step 1. For the purpose of q-axis current tracking, e2 is R ud
− ke21 − k1 e22 + e3 ( x3 − px1 x2 − ). (24)
selected as the new state variable for current tracking error. L L

e2 = x∗2 − x2 . (14) Equation (24) contains the actual control variable ud . If

the actual control variable ud is defined as
The derivative of e2 is given by
ud = Rx3 − pLx1 x2 + Lk2 e3 , (25)
ė2 = ẋ∗2 − ẋ2 =
2(B − kJ) 3pφf then V̇3 < 0, i.e.,
( x2 − Bx1 − TL )+
3pφf J 2 R ud
Rx2 uq pφf x3 − px1 x2 − = −k3 e3 , k3 > 0. (26)
+ px1 x3 − + x1 . (15) L L
L L L
Combining (23) and (25), we obtain
Step 2. For a new system based on e1 and e2 , we define
the second Lyapunov function as V̇3 = −ke21 − ke22 − ke23 . (27)
1 2
V2 = V1 + e2 . (16) From (27), it can be seen that the Lyapunov function V3 =
2
ke21 +ke22 +ke23 > 0 and V̇3 < 0, which indicates the tracking
Step 3. The time derivative of V2 is given by error will converge asymptotically to zero. The objective of
backstepping control for PMSM is completed.
2(B − kJ) 3pφf
V̇2 = V̇1 + e2 ė2 = −ke21 + e2 [ ( x2 −
3pφf J 2
Rx2 uq pφf
4 Design of speed observer
Bx1 − TL ) + + px1 x3 − + x1 ] (17)
L L L The precise rotor position and speed information are es-
where uq is the actual control variable. If the stabilizing sential for implementing back-stepping control of PMSM.
control law is defined as However, in industrial applications, because of issues such
as space limitations, signal noise and temperature, using
B B2 2BTL
uq = L x2 − 2 x1 − − sensors to measure the rotor s position and speed is not
J 3pφf J 3pφf J
suitable. This paper exploits the paradigm of the sliding-
2k2 J Rx2 pφf mode observer to acquire the rotor position and speed in-
+ − px1 x3 + x 1 + k1 e 2 (18)
3pφf L L formation for PMSM based on backstepping control.
152 International Journal of Automation and Computing 12(2), April 2015

4.1 Sliding-mode observer

The sliding model observer design is modeled in station-
ary αβ coordinates, (28) shows the transformation matrix
between dq-current (idq ) and αβ-current (iαβ ).




iα cos θe − sin θe id
= × (28)
iβ sin θe cos θe iq

where θe denotes the electrical angle of the rotor. Equations

(1)–(3) can be expressed as Fig. 1 Block diagram of phase loop lock (PLL)
diα 1 1 1
= − Riα + iα + uα (29) The deviation between the actual rotator position and
dt L L L
diβ 1 1 1 the estimated value can be expressed as
= − Riβ + iβ + uβ (30)
dt L L L e = φf ω̂e sin(θe − θ̂e ) = êα cos θe + êβ sin θe . (36)
diω 3pφf B TL
= (iβ cos θe − iα sin θe ) ω − . (31)
dt 2J J J In this estimation algorithm, the one-order low-pass filter
The electromotive force equation is defined as is used. As a result, phase delay occurs and phase compen-
 sation is required. In this paper, phase compensation is
eα = −φf ωe sin θe
(32) achieved by using variable cut-off frequency at a certain
eβ = φf ωe cos θe . reference rotation speed.
Since the electric time constant is rather small, the stator θe = a tan(ω̂e × T ) (37)
current response is quicker than the rotation speed. Sup-
1
posing ω̇ = 0 in cycle control time, (32) can be rewritten where T = M ×ω ∗
, M denotes a constant (normally is 2−5).
as
 4.2 Stability analysis
ėα = −ωe eβ
(33) The designed slide model observer must be stable and
ėβ = ωe eα .
satisfy the Lyapunov s stability condition
From (32), it can be seen that the back-EMF eα and eβ
are sinusoidal waves, and contain the information of rotor sṡ < 0. (38)
velocity and position information, so the rotor velocity and
Using (34), the previous equation (38) will yield
position can be obtained from the estimated back-EMF. We
construct the slide model observer as si × ṡi =
⎧ ⎧
⎪ dsα 1 1 k k1 ⎪ R 1 k
⎨ = − Rsα + eα − zα − sat(sα ) ⎨ − s2i + [ei − k1 ( )], if si > 
dt L L L L (34) L L s + ωc ,
⎪
⎩ dsβ = − 1 Rsβ + 1 eβ − k zβ − k1 sat(sβ ) ⎪ R
⎩ − s2i +
1
[ei + k1 (
k
)], if si < 
dt L L L L L L s + ωc
i = α, β (39)
where sα = îα − iα , sβ = îβ − iβ , zα = k1 sat(sα ) × s+ω
ωc
c
,
ωc
zα = k1 sat(sβ )× s+ωc , k denotes the feedback coefficient, k1 where  denotes the boundary-layer thickness of saturation
denotes the slide model coefficient and k1 > 0, ωc denotes function.
the cut-off frequency of one-order, low-pass filter. In (39), − R s2 < 0 and satisfies (40), therefore the slide
L i
The slide model observer reaches the slide model surface model observer is stable.
within limited time if the inequality is satisfied. The esti-
k
mated value of the electromotive force can be deduced as k1 (1 + ) > |ei | = θf |ωe |. (40)
 s + ωc
êα = kzα + k1 sat(sα )
êβ = kz β + k1 sat(sβ ).
(35) 5 Numerical simulation and analysis
The rotor position of PMSM is related to the phase of the Simulation works are carried out on the PMSM to prove
electromotive force. A common method for estimating the the effectiveness of the proposed scheme. The simulations
actual rotor position is achieved by using arc-tangent func- are performed using the Matlab simulink simulation pack-
tion of electromotive force. However, this method leads to age. In order to validate the control strategies as discussed,
disadvantages such as low robustness, low anti-disturbance digital simulation studies were made using the system de-
ability, and inability to adapt to environmental changes. scribed in Fig. 2.
A more serious consequence is the chattering phenomenon The stator resistance R is 0.56, the number of pole pairs
caused by parameter variation. In this paper, the phase- p is 3, the rotation inertia J is 0.0021 kg/m2 , the flux of per-
locked loop method is used to estimate the speed and posi- manent magnet ϕf is 0.82 Wb, the inductance L is 0.0153 H,
tion of the rotor, as shown in Fig.1. and the viscous damping B is 0.0001.
 C. X. Chen et al. / Backstepping Control of Speed Sensorless Permanent Magnet Synchronous Motor · · · 153

Fig. 2 Block diagram of the sensorless PMSM speed control system

The initial rotation speed of the motor is 500 r/min, and

the rotation speed is 100 r/min at 0.5 s and 250 r/min at
0.8 s, respectively.
The initial load torque of the motor is 5 N·m and the load
torque is 10 N·m at 0.25 s.
The parameters of the backstepping controller are se-
lected as k = 250, k1 = 500 and k2 = 150. The parameters
of the slide model observer are selected as  = 1, k1 = 20,
k = 125 and ωc = 40 Hz.
The numerical simulation results are shown in Fig. 3.
Fig. 3 (a) indicates the reference rotation speed of the mo-
tor and the actual rotation speed. From Fig. 3 (a), it can be
seen that the rotation speed of the motor can rapidly track
the reference rotation speed with small stability error, fast
response and small overshoot. Fig. 3 (b) shows the variation
of electromagnetic torque as the load torque changes. From
Fig. 3 (b), it can be seen that the motor has fast torque
response. Fig. 3 (c) shows the three-phase current of the
stator. The current amplitude is proportional to the rota-
tion torque and changes rapidly as the load torque varies.
The current frequency is inversely proportional to the rota-
tion speed. Fig. 3 (d) shows the wave of rotor current in d-q
frame. In Fig. 3 (d), d-axis current id is zero, which satisfies
the control scheme i∗d = 0. In Fig. 3 (e), the magnitude of
q-axis current, iq is proportional to the load torque.
Fig. 4 shows the tracking error of actual rotation speed
and estimated rotation speed, respectively. It can be seen
that there is a relatively larger error when the motor is
started. However, after a short while, the slide model ob-
server can accurately and quickly track the rotation speed.

6 Conclusions

This paper has presented a design method for backstep-

ping control of PMSM based on slide model observer. An
efficient backstepping controller was first presented. Then,
154 International Journal of Automation and Computing 12(2), April 2015

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[19] L. Qi, H. B. Shi. Adaptive position tracking control of Yun-Xiang Xie received the B. Sc.
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pp. 23–30, 2013. China in 1985, 1988, and 1991, respectively.
He was a postdoctoral researcher from 1991
to 1994 and an associate professor from
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1994 to 1999 in the School of Electrical
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same department at the South China University of Technology
since 1999. He is a senior member of the China Electrotechnique
[21] M. Karabacak, H. I. Eskikurt. Design, modelling and sim- Society and the director of the Electrical Energy Saving Special
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ping speed tracking controller for uncertain PMSM. Ap- ing in the Chinese Society of Mechanical Education and Chinese
plied Mathematical Modelling, vol. 36, no. 11, pp. 5199– Power Industry Education Association of Electrical Engineering
5213, 2012. and Automation Committee, he authored or coauthored more
than 170 published technical papers.
[22] M. Karabacak, H. I. Eskikurt. Speed and current regula- His research interests include power electronics and control,
tion of a permanent magnet synchronous motor via nonlin- high-power density rectifiers, multilevel converters, active filter,
ear and adaptive backstepping control. Mathematical and and distributed power quality and control strategies.
Computer Modelling, vol. 53, no. 9–10, pp. 2015–2030, 2011. E-mail: [email protected]

Cai-Xue Chen received the B. Sc. and Yong-Hong Lan received the B. Sc. and
M. Sc. degrees in electrical engineering from M. Sc. degrees in applied mathematics from
Xiangtan University, China in 2001 and Xiangtan University, China in 1999 and
2006, and Ph. D. degree from South China 2004, respectively, and Ph. D. degree in
University of Technology, China in 2014. control theory and control engineering from
He is currently an assistant professor in the Central South University, China in 2010.
School of Information Engineering, Xiang- He is currently an assistant professor in the
tan University, China. School of Information Engineering, Xiang-
His research interests include power elec- tan University, China.
tronics and control, high-power density rectifiers, alternating cur- His research interests include repetitive control, fractional or-
rent (AC) drives, active filter, and distributed power quality and der control systems, and intelligent control.
control strategies. E-mail: [email protected]
E-mail: [email protected] (Corresponding author)
ORCID iD: 0000-0002-6854-8377