Design of Several

Permanent Magnet Synchronous Generators

for High Power Traction Applications
M. Aydin, Member, IEEE, M. K. Guven, Member, IEEE

power traction applications such as Caterpillar TTT, the power

Abstract In this paper, different axial gap permanent magnet
generators are designed and compared for one of the Caterpillar levels would be in the order of a few hundred kilowatts. In
truck applications. Various axial gap designs with multiple such high power hybrid systems, the generator must be short,
stators and rotors are carried out and compared with a compact, power dense and has the flexibility of mounting on
conventional PM generator in terms of torque density, efficiency, the engine block. In addition, the generator has to have large
loss, heat dissipation, volume, inertia and weight. The results stator surface area to transfer the heat flux to the engine block
reveal the advantages of axial gap generators over radial gap
and also has a moment of inertia large enough not to require
generators and that internal rotor double stator disc generator
fits the hybrid electric traction application with the given any flywheel.
specifications. The aim of this work is to compare different AFPM
generator designs with a conventional radial flux PM
Index Terms Axial flux generators, electric machines,
generator design. The work includes sizing analyses of various
permanent magnet motor, permanent magnet machines,
comparison. radial and axial flux permanent magnet generators for
stringent D7 specifications. Design codes for each generator
I. INTRODUCTION are generated and modified for D7 tractor specs, and a detailed
comparison work having weight, volume, cost, inertia, torque
S INCE advances in electric drive technology and the
increase of owning and operating cost due to increase of
oil prices, electric hybrid power-train configuration became
densities, losses, efficiency and so on is provided.
Electromagnetic and mechanical FEA as well as thermal
analysis are also accomplished for the generators. Conclusions
attractive for off-highway applications. [1-3]. A variety of
of the comparison provide important information regarding the
generators are employed for electric hybrid power-train
axial flux PM generator topologies for hybrid electric traction
applications such as conventional permanent magnet
generators for D7E TTT applications.
generators, induction and switched reluctance generators. The
potential of increased efficiency and packaging advantages of
the Axial Flux Permanent Magnet (AFPM) generator
technology is an attractive option especially for such series
hybrid off-highway truck applications [4-6]. The main
advantage of AFPM generators in such high power series
hybrid applications is smaller size, higher efficiency and better
cooling as opposed to other generator options. Components of
a series hybrid system are provided in Fig. 1. In this system,
the engine drives the AFPM generator and usually the output
from the generator is rectified through a power converter and
fed into a DC bus. This power is then used in traction motors
through one or more power inverters. During braking
operation, regenerative power flows back to the battery packs.
Power requirement of the system entirely depends on the
vehicle type and objectives of the system. For low power
traction applications such as 3-wheelers and solar cars, this Fig. 1. Components of a series hybrid system
requirement is in the order of a few kilowatts. For automobile
applications, the rating goes up to 100kW levels and for high
II. TARGET APPLICATION AND DESIGN SPECIFICATIONS
This work was supported in part by Caterpillar Inc. and MDS Motor Ltd. The Caterpillar D7E tractor was designed to meet
M. Aydin is with Kocaeli University, Department of Mechatronics Engr., increasing demand for powerful and controllable track-type
Kocaeli, 41380, Turkey (corresponding author, phone: +90 (262) 303-3231; tractors. Caterpillar has developed a new class of tractor that
fax: +90 (262) 303-3003; e-mail: metin.aydin@kocaeli.edu.tr). delivers the best potential balance of performance by using
M. K. Guven is with Caterpillar Inc., TBU, P.O. Box 1875, Peoria, IL,
61656, USA; (e-mail: guven_mustafa_k@cat.com).
electric drive technology to the special requirements of this

978-1-4673-4974-1/13/$31.00 2013 IEEE 81

application. Caterpillar's D7E tractor, debuted March 2008 at
ConExpo (as seen in Fig. 2), is the very first electrically driven
dozer with alternating-current motors. The Caterpillars new
electric drive train has 60% fewer moving parts than the
electric drives in previous D7 models. In addition, the machine
balance is attained better because of power flow from the
generator to traction motors through cables.
Fig. 2. Caterpillar D7 truck picture
For the D7 application, a 2-motor 1-generator power-train
configuration is chosen as the best configuration for the
electric drive technology. In this topology, for the ED machine
to satisfy the critical requirements, generator should provide
high power density, high efficiency, excellent reliability and
good performance. The generator must also have smaller
volume and lower cost to reduce the cost of the power-train
system. Finally, it also has excellent thermal behavior since
generator housing is connected to the main engine.
Application of this traction generator requires that it operate
both in a generating mode during tractive powering mode of
the machine, and in a motoring mode while regenerative
braking of the machine. The intent of the motoring mode is to
dissipate the regenerated power recovered from the machine
during braking within the engine. The Generator is coupled to
the engine via a flexible coupling. The speed and number of
poles of the generator is to be selected so that during motoring
mode the electrical frequency of the generator does not exceed
400Hz. This limitation allows the use of lower cost lamination
steels within the generator without experiencing high core
losses, and allows for power converter carrier frequencies to
be minimized reducing power converter switching losses. The
output of the generator is connected to a 3-phase power
converter using IGBT technology. During generating mode,
power converter receives the unregulated AC output from the
generator, and converts it into a regulated DC output. During
motoring mode, the power converter converts power from the
DC bus into controlled AC power delivered to the generator.
This power used by the generator in this mode is used to drive
82
the engine providing machine braking and reducing fuel
consumption. Optionally, the generator system should also be
capable of being used to start the engine. During this mode,
battery power will be stepped up to a DC level, and will be
used to operate the generator as a motor, and crank the engine
until it starts.
The following table summarizes the electrical, mechanical
and thermal specifications of the D7E tractor generator.
TABLE 1. ELECTRICAL, MECHANICAL AND THERMAL SPECIFICATIONS
OF THE D7 APPLICATION
Power 179kW
Frequency 400Hz (max)
DC Bus Voltage 715VDC
Back EMF Shape Sinusoidal
Rated Speed 1600rpm
Voltage Limit 540VDC at 2400rpm
Max outer diameter 500mm (max)
Max length 450mm (max)
Max stack length 380mm (max)
Max inlet temperature 105 C
Weight limit 270kg (max)
III. INTRODUCTION TO AXIAL FLUX PM GENERATORS
Most of the electric machines used in various applications
such as induction, synchronous, PM, DC etc are radial flux
machines (RFM) because the main flux travels in radial
direction. However, all of these motors can be manufactured
so that the main flux travels axially. These machines are called
axial flux machines (AFM) (also called as axial gap machines
or disc machines) and the most common AFM are AFPM
machines. They have various possibilities both on the rotor
and the stator. The minimum number of discs in an AFPM
machines is two but three or more discs could also be utilized
resulting in different topologies. This is one of the powerful
benefits of AFMs which RFMs do not have.
Fig. 3 (a) shows the basic AFPM machine topology. Single
stator and single rotor AFPM machine has a PM disc rotor
mounted on the rotor surface and a tape wound slotted stator.
Three disc AFPM machines have a variety of options. If the
stator is sandwiched between the two rotors the topology is
called two-rotor-single-stator AFPM machine or TORUS
machine [1-7]. TORUS machine could have slotless or slotted
(Fig. 3 (b)) with tape wound core and surface mounted PM
rotors. The winding could be airgap winding as in slotless
TORUS topology, gramme type winding or distributed
winding. Another alternative to two-rotor-single-stator
topology is coreless alternative where stator is formed only by
AC windings without any core. All of these machines are well
covered in the literature both as a motor and generator.
Fig. 3. Single-rotor-single-stator axial flux surface magnet PM machine (a), Double-rotor-single-stator TORUS type axial flux surface magnet PM machine with
non-slotted and slotted alternatives (b), and Single-rotor-double-stator AFIR type axial flux surface magnet PM machine with non-slotted and slotted alternatives
(c)
The second alternative of the three disc option is two-stator-
single-rotor AFPM machine. This topology is also called
Axial Flux Internal Rotor (AFIR) PM machine demonstrated
in (Fig. 3 (c)) [8-11]. AFIR type axial gap machines could be
again slotless or slotted with strip wound core. The winding in
slotless AFIR machine is usually gramme type while in slotted
AFIR machine is usually distributed winding. AFIR type
AFPM machines are used in the literature frequently as
generators among other AFMs.
One of the main benefits of AFPM machines is higher
power and torque densities compared to other electric
machines. The torque density might exceed 3 times than the
induction machine with high energy NdFeB magnets. It has
geometric advantages with short stack and larger diameter
which might be suitable for some applications such as wheel
mounting as traction motors or engine mounting as traction
generators. Certain topologies of AFMs have significant
efficiency advantage with short end windings. Planer and
adjustable airgaps with the flexibility of increasing the number
of rotor or stator discs is one of the major benefits of such
machines.
The main drawbacks and limits of AFPM machines are
related to the stator structure. Because of the tape wound core
and axial laminations, the manufacturing is cumbersome and
costly although material cost is less or comparable to other
machines. In addition, mechanical designs need special
83
attention in all AFPM machine. Another drawback is related
to the winding. Placing AC windings into slots in slotted
machines and creating gramme windings in slotless machines
are difficult to realize. Also slot fill are usually less than the
RFMs. One should not forget about the fact that unbalanced
forces between the stator and rotor discs could complicate the
manufacturing process. All these drawbacks presented here
are most peculiar to AFPM machines and limits the use of
these machines in industry.
IV. DESIGN OF HIGH POWER PM GENERATORS AND
COMPARISON
Design procedure for any AFPM generator includes three
main aspects: Electromagnetic design using design models and
finite element analysis (FEA), structural check and thermal
design and analyses of the generators. The first and the third
stages are crucial for finalizing the disc type PM generator
design but structural analysis is not a necessity due to the low
centrifugal forces acting on the magnets and the position of
the rotor disc where magnets are placed. The first step during
the design stage is to carry out a series of optimizations such
as pole number, loading, current density, dimensional limits
and so on to find the optimum values. After finding a design
for each generator that meets the spec, the structure has to be
modeled in 3D FEA to verify the actual generator
performance. If the design passes this test, structural and then
thermal checks need to be carried out to finalize the generator
design. If the generator does not meet the structural or thermal
tests, then the electromagnetic design study should be repeated
for a better design. It must be emphasized that thermal design
is crucial for demanding Caterpillar applications due to the
high inlet temperature and the location of the generator placed
Fig. 4. Axial flux PM generator design process
Sizing analysis of PM machines has been accomplished in
earlier studies [12-14]. One of the common sizing approaches
is the equations developed by S. Huang and etc. [13-14]. In
general, the sizing equations for a 3 phase AFPM machine
have the following form:
f 1+ 2
PR = K ABg A (1 2 ) Do Le (1)
p 2
where PR is rated output power of the machine, Le is effective
stack length of the machine, f is frequency, p is pole pair, Bg is
airgap flux density, is efficiency, KA is waveform constant
and is the diameter ratio of the machine which is defined as
D
= i (2)
Do
where Do and Di are machine diameters at outer and inner
surfaces. This parameter is the most important design
parameter of AFPM machines. It should be mentioned that
(a) (b)
Fig. 5. Power density plots of each generator type (a) Slotless TORUS, (b) Slotted TORUS, (c) Slotless AFIR and (d) Slotted AFIR generators
84
in the engine block. Flowchart of this process is shown in Fig.
4. Finally, it should be mentioned that sizing analysis is
carried out in order to chose the appropriate generator
topology for D7 type tractor in addition to both structural and
thermal analyses. Detailed design and optimization as well as
the structural and thermal checks are performed for some
topologies if required.
small diameter ratios result in larger airgap flux density and
higher ratio of active winding. Large diameter ratios give rise
to smaller airgap flux density and lower ratio of active
winding. More details of this sizing approach are given in the
literature in detail [13-14].
A. General Sizing and Optimization
In order to optimize the performance of the AFMs for D7
truck application, the diameter ratio and the airgap flux
density Bg have to be chosen cautiously because the ratio, ,
and Bg are design parameters which have significant effect on
the characteristics of the generator. This approach is repeated
for all of the 3-disc AF generators and optimum operating
points are found. The results for all of the generators used in
the comparison are displayed in Fig. 5.
(c) (d)
 comparison of the generator topologies after finalizing the
B. Criterias for Comparison design at the optimum operating point. During the design
The quantities used to compare the 179kW PM generators process structural analysis for AFIR type generators and
with stringent operating conditions and mechanical thermal analysis for both slotted TORUS and slotted AFIR
specifications are torque density, power density, efficiency, generators are completed as well.
utilization factor, active weight, total volume, active material
volume, inertia and material cost. C. Comparison of Generators
Before documenting the comparison effort, it is useful to After all the analyses are completed and the generator
provide a few definitions since many common terms are used designs are finalized, the comparison of the generators in
for both axial and radial flux machines. The quantity Ltot is the terms of power/torque density, efficiency, weight, utilization
total axial length or stack length for AFMs. However, the factor, and heat dissipation has been accomplished for 179 kW
same parameter is the total axial length including stack length 1600 rpm 16 pole radial and axial flux PM generators. Some
and protrusion of the end winding for RFMs. The quantity Dtot design values such as current density and electrical loading are
is the total outer diameter including the protrusion of the end kept the same throughout the designs and each generator
winding for AFMs. provides the same output power. In order to see the effects of
The power density (W/cm3) and torque density (Nm/cm3) of higher pole numbers, the pole number is increased to 16 for
a generator are expressed as, the sizing of the D7E generator. The detailed sizing results
PR obtained for D7 type 179kW tractor are provided in Fig. 6, Fig. 7
Pden. = (3) and Fig. 8. The following conclusions are drawn from these
2
Dtot Ltot analyses:
4
Slotted dual-stator-single-rotor generator (AFIR-S)
PR
Tden. = (4) has the highest power and torque densities among
2 the other structures. It has 59.8% higher
r Dtot Ltot
4 power/torque density than the conventional
where PR is the rated power of the machine and r is the rated generator. In general, all of the axial gap generators
rotor speed. have higher power/torque densities than the
Another torque density comparison used in the study is the conventional generator.
active torque density where active material volume is used
AFIR-S generator has the highest torque-to-weight
rather than total volume of the generator. The active torque
ratio. This machine offer 2.58 times more torque
density is given by
per weight than the RFPM generator.
TR
Tden. = (5) The generator efficiencies are approximately the
V PM + Viron + Vcopper same except for the RFPM generator. Slotless
where VPM is the magnet volume, Viron is the total stator and TORUS generator has the highest efficiency while
rotor volume and Vcopper is the copper volume of the generator. the RFPM generator has the lowest efficiency.
The generators are also compared for torque-to-weight
RFPM generator has higher loss component than the
ratios defined as
axial gap generator. Slotless TORUS structure has
T the lowest loss value among the other structures
Tden-kg = R (6)
Weight resulting in the highest efficiency.
Also, the utilization factor in (kW/kg) is expressed as Heat dissipation factor is the lowest for slotless
P . AFIR and the highest for the RFPM generator. In
Cw = R , (7)
Weight other words, RFPM generator is very difficult to
where Weight is the active generator weight. cool while AFIR-NS is the easiest to cool because
Heat dissipation factor is nice definition to consider the of the larger surface area.
temperature rise. This factor for radial gap and single stator AFIR type topologies are easier to cool than
axial gap and dual stator axial gap generators is respectively TORUS type topologies because of the larger stator
defined as surface area. In other words, AFIR type generators
PCu + PFe . are the best, and conventional generator is the worst
H diss = (8) in terms of transferring the heat to the generator
D o Ltot
frame.
PCu + PFe .
H diss = (9) When the generator material costs are compared,
( Do + Di ) Ls + 2( Do2 Di2 ) / 4 slotted generators are cheaper than the slotless
PCu + PFe . generators, and the material cost for the slotted
H diss = (10) topologies are roughly the same. The reason is that
2 ( Do + Di ) Ls + 4( Do2 Di2 ) / 4
the slotless structures use more magnet material
All of the definitions given in this section are used in the
resulting in higher cost than the other structures.

85
 179kW AFIR-S machine is the lightest structure of In general, slotless generators have larger inertia
all while the conventional generator is the heaviest than the others because of more magnet material
one. It can also be observed that the RFPM used.
generator uses the most amount of iron while
slotless structures use the most amount of magnet
material.
Slotted AFIR structure is the smallest in volume
Slotted AFIR structure has the lowest moment of
inertia compared to any other structure.

Torque Density [Nm/cm3)

6 0.035
Power Density [W/cm3]

5 0.03
0.025
4
0.02
3
0.015
2 0.01
1 0.005
0 0
RFSM TORUS-NS TORUS-S AFIR-NS AFIR-S RFSM TORUS-NS TORUS-S AFIR-NS AFIR-S
Torque-to-weight (Nm/kg)

2
10
Cost ratio (%)
8 1.5
6
1
4
0.5
2
0 0
RFSM TORUS-NS TORUS-S AFIR-NS AFIR-S RFSM TORUS-NS TORUS-S AFIR-NS AFIR-S
W_pm
250 W_copper
W_iron
200
Weight (kg)

150
100
50
0
RFSM TORUS-NS TORUS-S AFIR-NS AFIR-S
Fig. 6. Comparison of 179 kW 16pole 1600 rpm radial and axial gap permanent magnet generators. (a) Power density [W/cm3], (b) Torque density [Nm/cm3], (c)
Torque to weight ratio [Nm/kg] comparisons, (d) Material cost ratio comparison, (e) Distribution of material weight [kg]

P_cu
97 7 P_iron
6 P_other
96
Efficiency (%)

5
Loss (%)

95 4
94 3
2
93 1
92 0
RFSM TORUS-NS TORUS-S AFIR-NS AFIR-S RFSM TORUS-NS TORUS-S AFIR-NS AFIR-S
Utilization Factor (kW/kg)

Heat Dissipation W/cm2)

1.5 3
2.5
1 2
1.5
0.5 1
0.5
0
0
RFSM TORUS-NS TORUS-S AFIR-NS AFIR-S RFSM TORUS-NS TORUS-S AFIR-NS AFIR-S
Fig. 7. Comparison of 179 kW 16pole 1600 rpm radial and axial gap permanent magnet generators. (a) Efficiency [%] and (b) Loss distribution [%] comparisons,
(c) Utilization factor [kW/Kg], (d) Heat dissipation [w/cm2] comparisons,

86
 0.06 0.035

Total active vol (m3)

0.03
Total volume (m3)

0.05
0.025
0.04
0.02
0.03
0.015
0.02
0.01
0.01 0.005
0 0
RFSM TORUS-NS TORUS-S AFIR-NS AFIR-S RFSM TORUS-NS TORUS-S AFIR-NS AFIR-S
4

Interia ratio
2

0
RFSM TORUS-NS TORUS-S AFIR-NS AFIR-S
Fig. 8. Comparison of 179 kW 16pole 1600 rpm radial and axial gap permanent magnet generators. (a) Total volume (using Dtot and Ltot) [m3], (b) Total active
volume (material volume only) [m3], (c) Inertia comparisons [kgm2]

machine room, IEEE Transactions on Industry Applications, Vol.37,

No.6, Nov/Dec 2001, pp. 1693-1701.
V. CONCLUSIONS [5] F. Caricchi, F. Crescimbini, E. Fedeli and G. Noia, Design and
The main focus of this paper was the analytical sizing, construction of a wheel-directly-coupled axial-flux PM motor prototype
optimization and comparison of different AFPM generators for EVs, IEEE Industry Applications Society Annual Meeting, 1994,
pp.254-261.
for high power D7 Caterpillar applications. Conventional [6] S. Huang, M. Aydin and T. A. Lipo, TORUS concept machines: Pre-
radial gap PM generator was also designed for comparison prototyping design assessment for two major topologies, IEEE Industry
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that the diameter ratio, axial length, and airgap flux density
[7] F. Caricchi, F. Crescimbini and O. Honorati, Modular, axial-flux,
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This paper has revealed some important design aspects for
Applications Society Annual Meeting, Sep.30-Oct.4, 2001, Chicago, pp.
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