292 IEEE TRANSACTIONS ON ENERGY CONVERSION, VOL. 20, NO.

2, JUNE 2005

Three-Phase Self-Excited Induction

Generators: An Overview
R. C. Bansal, Senior Member, IEEE

Abstract—Induction generators are increasingly being used II. CLASSIFICATION OF INDUCTION GENERATORS
in nonconventional energy systems such as wind, micro/mini
hydro, etc. The advantages of using an induction generator On the basis of rotor construction, induction generators are
instead of a synchronous generator are well known. Some of two types (i.e., the wound rotor induction generator and squirrel
them are reduced unit cost and size, ruggedness, brushless (in cage induction generator). Depending upon the prime movers
squirrel cage construction), absence of separate dc source, ease used (constant speed or variable speed) and their locations (near
of maintenance, self-protection against severe overloads and short
circuits, etc. In isolated systems, squirrel cage induction gener-
to the power network or at isolated places), generating schemes
ators with capacitor excitation, known as self-excited induction can be broadly classified as under [21]–[24]:
generators (SEIGs), are very popular. This paper presents an i) constant-speed constant-frequency (CSCF);
exhaustive survey of the literature over the past 25 years dis- ii) variable-speed constant-frequency (VSCF);
cussing the process of self-excitation and voltage buildup, mod-
eling, steady-state, and transient analysis, reactive power control
ii) variable-speed variable-frequency (VSVF).
methods, and parallel operation of SEIG.
A. Constant-Speed Constant Frequency
Index Terms—Induction generator, isolated system, self-excited
induction generator, steady-state analysis. In this scheme, the prime mover speed is held constant by
continuously adjusting the blade pitch and/or generator char-
acteristics [21]. An induction generator can operate on an infi-
I. INTRODUCTION nite bus bar at a slip of 1% to 5% above the synchronous speed.
Induction generators are simpler than synchronous generators.
T HE increasing rate of the depletion of conventional en-
ergy sources has given rise to an increased emphasis on
renewable energy sources such as wind, mini/micro-hydro, etc.
They are easier to operate, control, and maintain, do not have
any synchronization problems, and are economical.
[1]–[16]. Generation of electrical energy mainly so far has been
B. Variable-Speed Constant Frequency
from thermal, nuclear, and hydro plants. They have continu-
ously degraded the environmental conditions. An increasing rate The variable-speed operation of wind electric system yields
of the depletion of conventional energy sources and the degrada- higher output for both low and high wind speeds [21], [25]–[28].
tion of environmental conditions has given rise to an increased This results in higher annual energy yields per rated installed
emphasis on renewable energy sources, particularly after the capacity. Both horizontal and vertical axis wind turbines ex-
increases in fuel prices during the 1970s. Use of an induction hibit this gain under variable-speed operation. Popular schemes
machine as a generator is becoming more and more popular to obtain constant frequency output from variable speed are as
for the renewable sources [1], [17]–[20]. Reactive power con- shown.
sumption and poor voltage regulation under varying speed are 1) AC–DC–AC Link: With the advent of high-powered
the major drawbacks of the induction generators, but the de- thyristors, the ac output of the three-phase alternator is rectified
velopment of static power converters has facilitated the con- by using a bridge rectifier and then converted back to ac using
trol of the output voltage of induction generators. This paper line-commutated inverters. Since the frequency is automatically
presents an overview of three-phase self-excited induction gen- fixed by the power line, they are also known as synchronous
inverters [24], [27].
erator (SEIG). The paper is organized as follows. Section II
2) Double Output Induction Generator (DOIG): The DOIG
presents the classification of induction generators. A literature
consists of a three-phase wound rotor induction machine that is
review on the process of self-excitation and voltage buildup,
mechanically coupled to either a wind or hydro turbine, whose
and modeling is presented in Sections III and IV, respectively.
stator terminals are connected to a constant voltage constant fre-
Performances under steady state, transient conditions, reactive
quency utility grid [29]–[43]. The variable frequency output is
power-control methods, and parallel operation of SEIG have
fed into the ac supply by an ac–dc–ac link converter consisting
been presented in Sections V–VIII, respectively. of either a full-wave diode bridge rectifier and thyristor inverter
combination or current source inverter (CSI)-thyristor converter
Manuscript received June 24, 2003; revised November 25, 2003. Paper no. link [24]. One of the outstanding advantages of DOIG in wind
TEC-00155-2003. energy conversion systems is that it is the only scheme in which
The author is with the Electrical and Electronics Engineering Department, the generated power is more than the rating of the machine.
Birla Institute of Technology and Science, Pilani PIN-333031, India (e-mail:
rcbansal@[Link]). However, due to operational disadvantages, the DOIG scheme
Digital Object Identifier 10.1109/TEC.2004.842395 could not be used extensively. The maintenance requirements
0885-8969/$20.00 © 2005 IEEE
BANSAL: THREE-PHASE SELF-EXCITED INDUCTION GENERATORS: AN OVERVIEW 293

are high, the power factor is low, and reliability is poor under no-load terminal voltage of the induction generator is the inter-
dusty and abnormal conditions because of the sliding mechan- section of the generator’s magnetization curve with capacitor
ical contacts in the rotor. This scheme is not suitable for iso- load line [54]. The magnetization curve of the induction gener-
lated power generations because it needs grid supply to main- ator can be obtained by running the machine as a motor at no
tain excitation. load and measuring the armature current as a function of ter-
minal voltage. To achieve a given voltage level in an induction
C. Variable-Speed Variable Frequency generator, an external capacitor must be able to supply the mag-
With variable prime mover speed, the performance of syn- netizing current of that level.
chronous generators can be affected. For variable speed corre-
sponding to the changing derived speed, SEIG can be conve- IV. MODELING
niently used for resistive heating loads, which are essentially Various models and their applications [22], [48], [63]–[84]
frequency insensitive. The basic theme of this paper is to present have been presented to analyze the steady-state as well as tran-
an overview of SEIG in isolated applications. This scheme is sient performance of SEIG operating with either a regulated or
gaining importance for stand-alone wind power applications [1], unregulated prime mover. The following categories are the dif-
[17]–[20]. ferent models used.

III. PROCESS OF SELF-EXCITATION AND VOLTAGE A. – Reference Model

BUILDUP IN SEIG – reference model was first proposed by Krause et al.
Self-excitation phenomenon [44]–[59] in induction machines [63]. After a slight modification, many authors have formu-
although known for more than a half century is still a subject of lated a – reference model for a three-phase induction gen-
considerable attention. The interest in this topic is primarily due erator. Novotony et al. [48] developed an analytical model of
to the application of SEIG in isolated power systems. Physical a system having an induction generator connected to a resis-
background of the self-excitation process has been described in tively loaded inverter using synchronously rotating – refer-
considerable depth in [49]. When an induction machine is driven ence frame. Using the – reference frame model of a three-
at a speed greater than the synchronous speed (negative slip) phase induction generator, the transient performance [66]–[69]
by means of an external prime mover, the direction of induced and unbalance operation have been studied in [76].
torque is reversed and theoretically it starts working as an induc-
tion generator. From the circle diagram of the induction machine B. Impedance-Based Model
in the negative slip region [52], it is seen that the machine draws In [77], the performance of the SEIG using an analytical
a current, which lags the voltage by more than 90 . This means model based on a conventional single-phase equivalent circuit
that real power flows out of the machine but the machine needs with per-unit (p.u.) parameter has been studied. The model
the reactive power. To build up voltage across the generator ter- used in [77] has been extended for the evaluation of various
minals, excitations must be provided by some means; therefore,
steady-state performance characteristics of stand-alone gener-
the induction generator can work in two modes (i.e., grid con-
ators, such as the effect of shaft variation [78], [79], change
nected and isolated mode). In case of a grid-connected mode,
in generator pole number [80], and parallel operation [81],
the induction generator can draw reactive power either from the
etc. Raina et al. [79] have included the effects of injected
grid but it will place a burden on the grid or by connecting a
harmonic currents due to the electronic controller on generator
capacitor bank across the generator terminals [60]–[62]. For an
losses in the steady-state model of SEIG. Rajakaruna et al.
isolated mode, there must be a suitable capacitor bank connected
[82] have included the unregulated prime mover characteristic
across the generator terminals. This phenomenon is known as
in the steady-state model of a three-phase-balanced induction
capacitor self-excitation and the induction generator is called a
generator.
“SEIG.”
The process of voltage buildup in an induction generator is
C. Admittance-Based Model
very much similar to that of a dc generator. There must be a
suitable value of residual magnetism present in the rotor. In the Quazene et al. [22] developed an admittance-based model
absence of a proper value of residual magnetism, the voltage of SEIG using a single-phase equivalent circuit model with
will not build up. So it is desirable to maintain a high level a balanced three-phase resistive load. For the determination
of residual magnetism, as it does ease the process of machine of operating frequency ( ) and magnetizing reactance ( ),
excitation. The operating conditions resulting in demagnetiza- real and imaginary parts of the sum of admittances of the
tion of the rotor (e.g., total collapse of voltage under resistive rotor, magnetizing, and stator branches are equated to zero.
loads, rapid collapse of voltage due to short circuit, etc. should This method gives an algebraic expression for magnetizing
be avoided [49]). reactance in terms of generator frequency and other machines
When an induction generator first starts to run, the residual parameters and given speed. Ammasaigounden et al. [83] also
magnetism in the rotor circuit produces a small voltage. This used an admittance-based model for a given output frequency,
small voltage produces a capacitor current flow, which increases where the performance equation becomes quadratic in terms of
the voltage, and so forth until the voltage is fully built up. The speed and other machine parameters.
294 IEEE TRANSACTIONS ON ENERGY CONVERSION, VOL. 20, NO. 2, JUNE 2005

D. Operational Circuit-Based Model Suitability of pole changing (4/6 pole) of SEIG for harnessing
In [84], an alternative approach to the steady-state perfor- more wind energy under wide variation in wind speed is pre-
mance analysis of a stand-alone SEIG is presented. An oper- sented in [83], [91], [92]. It is shown that at lower prime mover
speed, the machine is to be operated with a higher number of
ational equivalent circuit in terms of operator d/dt
poles (six) and at higher speed, it has to be operated with a lower
replacing in an impedance based model is developed, where
number of poles (four) so as to reduce the excitation require-
. The solution of a fifth-order polynomial for lagging
ment over a large range of speed of the machine. Chatterjee et al.
load gives the values of and .
[92] discussed the relative requirements of excitation capacitor,
for the specific ratio of flux density, maximum electromagnetic
E. Power Equations-Based Model torque, maximum output power, and terminal voltage of the gen-
Above-mentioned models are difficult to extend for a mul- erator under different pole configurations. It is observed that the
timachine system like wind–diesel hybrid system having both capacitor requirement is about 44%, stator current is smaller,
induction and synchronous generators as these models are and power output is about 2.5 times in four pole as compared to
based on voltage/current equations. Moreover, the variation a six-pole configuration which leads to the better utilization of
in slip, a very important parameter in wind power generation the generator rating for a four-pole configuration.
due to fluctuating nature of wind, has not been considered in Sandhu et al. [93] have proposed an approach, which leads
these mathematical models. Authors [72]–[74] developed a to a quadratic equation in slip making the steady-state analysis
power equation model of SEIG, which is very easy to extend simple and comprehensive. Wang et al. [95] have presented
for a multimachine hybrid system having both induction and an eigenvalue-based approach to predict both minimum and
synchronous generators. maximum values of capacitance required for self-excitation of
SEIG.
Steady-state analysis and performance of SEIG driven by reg-
V. STEADY-STATE AND PERFORMANCE ANALYSIS
ulated and unregulated turbines have been presented in [96] and
Steady-state analysis of SEIG is of interest, both from the [97]. In case of regulated turbines for CSCF operation, the per-
design and operational points of view. In an isolated power unit speed is determined directly by solving a quadratic equa-
system, both the terminal voltage and frequency are unknown tion. For unregulated turbines, an additional iteration procedure
and have to be computed for a given speed, capacitance, and using the Secant method has been used for dealing with the vari-
load impedance. A large number of articles have appeared able-speed nature of the turbine. Alghuwainem [98] has exam-
on the steady-state analysis of the SEIG [1], [22], [76]–[80], ined the steady-state analysis and performance characteristics
[82]–[115]. Contributions of the important papers are presented of stand-alone SEIG when a transformer is connected to its ter-
in this section. Murthy et al. [77] developed a mathematical minals to supply the load at different voltage levels or to step up
model to obtain the steady-state performance of SEIG using the terminal voltage. The transformer tends to saturate at higher
the equivalent circuit impedance of the machine. Two nonlinear speeds and, thus, absorbs the excess reactive power, limits the
equations, which are real and imaginary parts of the impedance, increase in the terminal voltage, and improves the voltage regu-
are solved for two unknowns and using Newton–Raphson lation. But the transformer introduces an additional nonlinearity,
method. Quazene et al. [22] used a nodal admittance technique which complicates the analysis considerably. A technique has
to obtain a nodal equation and then separated it into its real and been suggested for formulating and solving the system’s equa-
imaginary parts so as to solve them first for and then for tion including the transformer saturation and the same tech-
by substituting the value of . Jain et al. [85] have proposed a nique is also applicable for nonlinear loads. Kumarasen et al.
method in which the algebraic equation is solved for the initial [99] compared the performance of wind-driven SEIG with load
value of and then the Secant method is used for the exact matching using the capacitor alone and with the combination of
solution. shunt and series capacitors.
Chan [86] has proposed an iterative technique by assuming The comparison between the steady-state performance of
some initial value for and then solving for a new value con- self-excited reluctance and induction generators has been
sidering a small increment until the result converges. This tech- presented in [23] and [102]. A reluctance generator is a syn-
nique, however, lacks in making a judicious choice of an ini- chronous machine with a salient or segment rotor, which does
tial value and number of iterations required. Rajakaruna et al. not requires any dc rotor excitation. Very little work has been
[82] have used an iterative technique which uses an approxi- reported in regards to reluctance generators, and has relatively
mate equivalent circuit and a mathematical model for - curve minor practical applications.
and the solution is reduced to a nonlinear equation in . Singh Using the method of symmetrical components, a general anal-
et al. [88] tried an optimization technique by formulating this ysis for three-phase SEIG with an asymmetrically connected
as a multivariate unconstrained nonlinear optimization problem. load and excitation capacitance is presented in [104]. Alolah et
The impedance of the machine is taken as an objective func- al. [111] have presented an optimization-based approach for the
tion. The and are selected as independent variables, which analysis of SEIG. The problem is formulated as a numerical op-
are allowed to vary within their upper and lower limits so as timization problem where no derivation of the analytical equa-
to achieve practically acceptable values of the variables. The tion is needed. Instead of the step-by-step method analytical
Rosenbrock’s method of rotating coordinates has been used for derivation, a global optimizer, such as those built in the mathe-
solving the problem. matical software Matlab, is utilized to solve the total impedance
BANSAL: THREE-PHASE SELF-EXCITED INDUCTION GENERATORS: AN OVERVIEW 295

or admittance equations of the circuit of the machine to obtain Induction generators and also load, which is generally induc-
the frequency and other unknown parameters of the machine. tive in nature, require the supply of reactive power [128]–[149].
Unbalanced reactive power operation results in voltage varia-
VI. TRANSIENT/DYNAMIC ANALYSIS tion. Capacitance requirements and the selection of capacitors
of the SEIG have been discussed in [128]–[134]. Malik et al.
Many articles been appeared on the transient/dynamic anal-
[132] have shown that the minimum capacitance requirement
ysis of SEIG [69], [84], [116]–[127] and most of the transient
of SEIG is inversely proportional to the square of speed and
studies of induction generators are related to voltage buildup
maximum saturated magnetizing reactance. Sridhar et al. [134]
due to self-excitation and load perturbation. In [69], the transient
have discussed a methodology to choose the appropriate value
performance of short-shunt SEIG is presented. It is seen that it
of capacitors for desired regulation of short-shunt SEIG. The
can sustain severe switching transients, has good overload ca-
short/long-shunt configurations of the SEIG give better perfor-
pacity, and can re-excite over no load after loss of excitation. It
mance in terms of voltage regulation than the simple shunt con-
is also observed that except for the most unusual circumstances
(the short circuit across the machine terminals across the series figuration, but the compensation used in these configurations
capacitor), the short-shunt SEIG supplies adequate fault current causes the problem of subsynchronous resonance while sup-
to enable overcurrent protective device operation. plying power to inductive and/or dynamic loads.
In [84], the voltage buildup of SEIG due to switching of the An overexcited synchronous machine can provide reactive
three-phase capacitor bank at rated speed at no load is presented. power compensation [135], [136]. But it does so on the sacrifice
It is observed that depending on the machine parameters, the of active power generation as the winding of the synchronous
generator voltage builds up from small voltage due to residual generator is designed for a particular rating of current. Further,
magnetism to its rated value in nearly 1 s. In [118], transient this method is somewhat complex, and is only cost effective
analysis of SEIG feeding an induction motor (IM) has been when a large amount of compensation is needed.
investigated to analyze the suitability of the SEIG to sudden A fixed capacitor alone, presented in [77], [115], cannot pro-
switching, such as starting of the IM. It is seen that reliable vide the adequate amount of reactive power needed by the in-
starting of an IM on SEIG is achievable with the value of ca- duction generator at all possible speeds and loading conditions.
pacitance determined through steady-state investigation; how- Even if fixed capacitors are used to provide the average value,
ever, the capacitance should be applied in two steps: first to self-excitation may result in undue overvoltages.
self-excite the generator, and second along with the motor or A fixed and switched capacitors scheme presented in [137]
after switching on the motor. consists of two discrete groups of fixed and switched capaci-
Wang et al. [119] have presented the transient performance of tors, which furnish enough reactive power for an induction gen-
stand-alone SEIG under the voltage buildup process, suddenly erator throughout its desired operating region of speed. The
switching off one excitation capacitor and suddenly switching number of switched capacitors is kept to a minimum to simplify
off two excitation capacitors. It is seen that when one of the the switching circuit, and yet provides adequate and varying
three balanced excitation capacitors is switched off from the reactive power compensation. The controller senses the reac-
machine, SEIG can still maintain self-excitation and generates tive power drawn by the machine and accordingly provides the
adequate voltage on other two phases. When two of the three- needed reactive power to improve the power factor to as close to
balanced excitation capacitors are switched off from the ma- unity as possible. This method has limited applications because
chine, the generated voltage of the SEIG collapses and gradually it regulates a terminal voltage in discrete steps.
reduces to zero. Wang et al. [120] have presented a compara- The above described methods of reactive power control have
tive study of long-shunt and short-shunt configurations on dy- many disadvantages and may not be able to provide the ade-
namic performance of an isolated SEIG feeding an induction quate amount of reactive power under varying input and/or load
motor load. Results show that the long shunt configurations may conditions. Wind is the main conventional energy source that
lead to unwanted oscillations while the short shunt provides the fluctuates highly in nature, and power produced from the wind
better voltage regulation. Levi et al. [59] have presented an ex- varies with the cube of the speed [138]. Static var compensators
perimental study of the dynamic behavior of SEIG. The em- (SVCs) have been used in conventional power systems and can
phasis is placed on the situation that leads to voltage collapse also be used conveniently in isolated power systems [142] where
and the total demagnetization of the machine and on the vari- continuous and fast control of reactive power is required.
able speed of the induction generator with a fixed capacitor In [142], an SVC has been used to control the reactive power
bank. Transient performance of three-phase SEIG during bal- of an isolated wind-diesel hybrid system in which the induction
anced and unbalanced faults is presented in [121], considering generator is used for wind systems and the synchronous gen-
the effects of main and cross flux saturation for load perturba- erator is for a diesel generator set. SVC has fast response and
tion, three-phase, and line-to-line short circuit, opening of one continuous control of reactive power and offers a large number
capacitor, two capacitors and a single line at the capacitor bank, of advantages over conventional reactive power compensation
opening of single-phase load, two-phase load, etc. schemes.

VII. VOLTAGE-CONTROL ASPECTS VIII. PARALLEL OPERATION OF SEIG

The need for reactive power support and poor voltage reg- In places where natural resources are available in abundance,
ulation are the two major drawbacks of induction generators. usually SEIGs operate in parallel [115], [150]–[154] to utilize
296 IEEE TRANSACTIONS ON ENERGY CONVERSION, VOL. 20, NO. 2, JUNE 2005

the full potential of natural resources. Parallel operation of SEIG are almost negligible. It is expected that better methods of reac-
requires extensive investigation with regard to different aspects tive power/voltage-control techniques will make the SEIG more
of parallel operation, such as influence of parameter variations suitable for isolated applications.
on parallel operation, VAR control, etc.
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aspects of wind energy conversion systems,” Energy Convers. Manage., of Technolgy, Delhi, India, in 2003.
vol. 43, no. 16, pp. 2175–2187, Nov. 2002. Currently, he is with the Faculty in the Department
[139] R. K. Mishra, “Voltage regulator for an isolated self-excited cage induc- of Electrical and Electronics Engineering, Birla Insti-
tion generator,” Elect. Power Syst. Res., no. 24, pp. 75–83, 1992. tute of Technology and Science, Pilani, India. He has
[140] B. Singh and L. B. Shilpakar, “Analysis of a novel solid state voltage published many papers in national/international jour-
regulator for a self-excited induction generator,” Proc. Inst. Elect. Eng., nals/conferences. His research interests include reac-
Gen., Transm. Distrib., vol. 145, no. 6, pp. 647–655, Nov. 1998. tive power control, power system optimization, and
[141] A. A. Shaltout and M. A. Abdel-Halim, “Solid-state control of wind artificial intelligence techniques in power systems.
driven self-excited induction generator,” Elect. Mach. Power Syst., vol. Dr. Bansal is a Life Member of the Indian Society of Technical Education and
23, pp. 571–582, 1995. a Member of the Institution of Engineers (India).