Abstract
Keywords
Introduction
Mineral energy is a pillar of the national economy in China. Currently, the coal energy accounts for 73% of the national energy production and consumption, and in the next 50 years, it will still account for more than 50% of China’s energy consumption. 1 According to the “China Resource Efficiency: Economics and Outlook” issued by the United Nations Environment Programme (UNEP) in 2013, 2 China’s consumption of raw material, including the construction mineral, metal mineral, fossil fuel, and biomass, is the number one in the global market. In 2010, China consumed about 20% of the world’s energy, 60% of cement, 47% of iron ore, 49% of steel, 44% of lead, 40% of aluminum, and 38% of copper. In 2012, China invested 1259.24 billion RMB in geological and mineral exploration and 1.31 trillion RMB in fixed assets of mining industry. 3 About 227 new mineral resources were discovered, including 109 large mineral areas. 3 These statistics indicate that in the 21st century, mineral resources of China are still in the leading position, and the mining industry is still the basis for the sustainable development of the national economy. Meanwhile, China’s mine production continued to maintain steady growth. 2 Consequently, the mining industry will remain as the foundation of national economy in China. 1
However, the development of advanced mining technology is slow. Severe accidents frequently occur in underground mining areas. According to the statistics presented by China Administration of Work Safety, 4 in 2004, there are 3639 mining catastrophes in China and 6027 people lost their lives; the numbers are 3341 and 5986 in 2005, respectively. Up to date, there are at least three miners died each week in China. 5 These catastrophes have brought considerably negative influence to the sustainable development of the mining industry. 6 Hence, it is imperative to develop advanced mining technology to reduce mine accidents.
Smart mining technology is an effective way to solve the safety problem in mines. 7 Smart mining is one of the most important research fields in the development of the next-generation mining technology. By means of digitalization and informatization, smart mining takes advantages of the active sensing, remote signal/data communication, and unmanned/automatic control to reduce the human factors in operating mining machines and improve the efficiency and safety of the mining process. However, some key technologies related to the smart mining are still under development and evaluation. One of them is the unmanned electric locomotive. Since 70% of mining accidents occurred in the mining area, the unmanned electric locomotive technique can reduce the human-injury accidents and hence facilitate the sustainable and healthy development of mining technology. 8 To date, the unmanned electric locomotive systems have been tested in only six mines over the world. 9 The control performance of the unmanned electric locomotive would be significantly influenced by the interaction between the operating environment and locomotive. The most influential factors for the unmanned electric locomotives include adaptive–accurate position tracking, efficient signal/data communication, and high-performance remote control techniques. However, very limited work has reported these issues. To this end, this work focuses on these key factors that determine the control performance of unmanned electric locomotives in underground mines. Two challenging tasks are discussed from the aspects of (1) construction of underground position system for locomotive position tracking and (2) advanced controller design for unmanned locomotives. Some potential solutions and suggestions were summarized.
The remainder of this article is organized as follows. Section “Progress on unmanned electric locomotive” reviews the progress on unmanned electric locomotives in smart mining. The challenges in accurate position tracking using underground position system are introduced in section “Challenges on position tracking in underground mines.” Section “Challenges in reliable controller design” describes the challenges in high control performance of unmanned electric locomotives. Then, section “Future research directions” discusses the future research directions for unmanned electric locomotives. Finally, section “Conclusion” presents the conclusions of this work.
Progress on unmanned electric locomotive
Unmanned electric locomotive system is one of the key systems in the smart mining. An unmanned electric locomotive system mainly consists of four parts. These four parts include the variable frequency control system, the wireless communication system, the automatic scheduling, monitoring and protecting system, and the power supply and control system. Different from ground automated load–haul–dump (LHD) vehicles, the unmanned electric locomotives are designed for underground mines (e.g. coal mines and/or metal mines). Hence, because of hashing and unknown working environment in the underground areas, the sensing and control system of the unmanned electric locomotives is much more complicated than that in the ground LHD vehicles.
At present, most of the electric locomotives used in the underground rail transportation are controlled by drivers. 10 Due to harsh environment and human factors, the mine dispatching center cannot communicate timely along with the drivers, leading to low scheduling efficiency. Moreover, accidents of the vehicles (such as collision) occur frequently. With the continuous development of mining technology and the demand expansion of mineral resources, there are more and more large mines with over 10 million tons of annual production. 7 Reliability, efficiency, and safety are the common requirements for the underground transportations. 11 The unmanned electric locomotive system is a promising solution to these requirements. It can not only enhance the automation degree of ore transportation, but also prevent severe accidents. No matter for large mines, super large mines, or special mines, the unmanned electric locomotive can significantly improve the safety, economic and environmental benefits, and social benefits of mineral production. Consequently, the unmanned electric locomotive has been regarded as a new-generation technology. 12
Russia developed a prototype of unmanned electric locomotive in 1969. 13 The radio signal was used to realize the remote control. The Kiruna mine in Sweden implemented unmanned railway transport plan in the early 1970s and put unmanned electric locomotive into use in 1980. 14 Then, in the late 1990s, the remote control technique was developed for the mining machines in the Kiruna mine, 15 and the unmanned walking system 16 and automatic mining system 17 were applied in the Bell Allard mine and Brunswick mine applied in Canada. In the 1990s, Australia’s Commonwealth Scientific and Industrial Research Organisation (CSIRO) 18 began the development of smart mining and devoted to advanced sensing system and remote control system in the mining and loading operations. Some of their technologies have been put into commercial products by Caterpillar. 18 On the same period, the University of Helsinki in Finland started to develop the smart mining technology. A 5-year’s plan was conducted to modernize the Finnish mining group (i.e. Outokumpu Oy, Tamrock Oy, Normet Oy, and Lokomo Oy) in terms of mining machinery modernization, real-time monitoring communication, computer-aided information management, and automatic control.12,19 Another 5-year’s plan was also scheduled to realize the remote monitoring and control for the mining machineries. Now, early harvests of this plan have been obtained in the unmanned mining in the Kemi mine of Outokumpu Oy. In these plans, the focus was given to the design of fully automated mining machines. 12 The International Nickel Corporation (INCO) spent 12 years to practice the automatic mining technology and improve its productivity by 250%. 20 In the light of this output, the Rio Tinto Group announced in 2012 that they would invest 5.18 billion dollars in building an unmanned electric locomotive system in order to improve the productivity of the Pilbara iron ore. 21 The first unmanned electric locomotive was planned to put into practice in 2014, and the whole project was expected to complete in 2015. The goal of this project aimed to improve the capacity of railway network, save energy, and reduce emissions. In addition, the Rio Tinto Group would invest in developing unmanned trucks and drilling machines to further support the unmanned mining system. 21 In 2011, China ENFI cooperated with Dongguashan Copper Mine of Tongling Nonferrous Metals Group to design the first unmanned electric locomotive in China. 22 The capacity of this locomotive was 20 t. The computer control technology, bus technology, and wireless communication technology were comprehensively used. Moreover, the intelligent control was employed. In 2013, this unmanned electric locomotive system was officially put into practice in the Dongguashan copper mine. It was expected that the energy consumption could be saved above 30%. 22 Besides China, many countries are also preparing for the unmanned electric locomotive system. In South Africa, the automatic mining technique has been introduced into many mines to improve the mining safety and efficacy. 23 The remote control technique was adopted by the Mt Isa in Australia, Saskatchewan uranium mine in Canada, and El Teniente copper mine in Chile. 24 With the help of remote sensing technology, the mining efficiency was improved greatly in these mines. Hence, they planned to introduce the unmanned electric locomotive system in the near future.
Although the unmanned locomotive can significantly improve the efficiency and safety in the underground mining transportation, the existing research results indicate that it still needs to overcome some key technologies for the unmanned electric locomotive to promote its development and application in underground mines. Since in the underground, the locomotive would frequently turn on and off, it requires high control precision and stability for the control system. High-performance controllers are therefore the key technology to ensure the smooth operation of unmanned electric locomotives. The challenging issues in performing high control performance for unmanned electric locomotives are discussed in the following sections.
Challenges on position tracking in underground mines
1. Position tracking is an enabling capability for operation of autonomous vehicles.
In order to control the electric locomotives in an unmanned manner, the first issue is to precisely track the position of the locomotives. This is because positioning information is used by schedulers, for motion control and for collision avoidance (interaction with other vehicles and infrastructure). Implementation may take various forms, such as positioning relative to local features or positioning within a global map. The local positioning system is usually costly, while it is much cheaper and easy to construct the global map–based positioning system. Global positioning system (GPS) can be a promising choice.
2. Surface applications have leveraged satellite-based GPS. Augmented systems in use where satellite visibility is reduced or quality of service requirements dictate particular accuracy and availability.
As well known, GPS, supported by a series of orbiting satellites, has been widely used to provide powerful navigation service for ground vehicles. 25 The movement trajectory of a ground target can be effectively and precisely tracked by the satellite-based GPS. The location, speed, and direction of the object can be obtained. However, it is always inefficient and inaccurate for GPS to track the positions of underground vehicles because the line of sight is necessary for the satellites. 26 The performance of GPS is rather poor for locating underground vehicles since GPS signals cannot penetrate into the ground. 27
3. Underground positioning may use terrestrial beacons to extend the signals of conventional GPS but still in early days.
In order to address the limitation of GPS in underground applications, the underground positioning system has attracted considerable attention in the communications engineering. 28 Generally, underground positioning adopts extremely low-frequency electromagnetic wave to carry the GPS signals. Low-frequency waves can travel a long distance underground. To receive the GPS information, the low-frequency electromagnetic wave can be launched either from ground GPS equipment to underground GPS receiving end or from underground to ground. Swiss Institute of Speleology and Karstology (ISSKA) has started to develop its underground positioning system since 2004. 29 The developed prototype Underground-GPS (U-GPS v2) has been tested and is able to follow a caver in real time. The DigiTrak Eclipse 30 is another useful underground locating system, but it is initially designed for horizontal directional drilling (HDD). 31 For underground mining, several attempts have been made for the purpose of effective locating of mining equipment. Chen et al. 32 used the radio frequency (RF) identification devices (RFID) for underground positioning. Maqsud et al. 33 adopted the micro-electromechanical systems (MEMS) to construct the underground mine positioning system. Conceicao et al. 34 employed the wireless sensor network (WSN) to establish underground GPS. Liu and He 35 used the chirp spread spectrum (CSS) to improve the position accuracy of WSN-based underground positioning system. Salih et al. 36 suggested ultra wideband (UWB) for underground positioning. Liu and Wang 37 combined WiFi and UWB to provide real-time underground position. Cypriani et al. 28 tested WiFi-based position system for a 70-m underground gold mine. Katayama 38 presented the GPS repeater system for underground mall. Chen and Xiao 39 proposed the ZigBee-based underground positioning technique. Baffour and Abatan 40 discussed the possibility of combination of ground penetrating radar (GPR), geographic information system (GIS), and GPS for underground position system. Among these existing publications, WSN is the most promising technique for underground positioning system. 41 However, there are still several unsolved challenging issues before developing a reliable WSN-based underground positioning system. 42
4. Challenges in constructing underground positioning system using WSN.
(a)
(b)
(c)
Therefore, if the aforementioned challenging issues can be addressed, an efficient and reliable WSN-based underground position system can be expected for the unmanned electric locomotives.
Challenges in reliable controller design
The vector control and direct torque control are often employed in the variable frequency inverters. The vector control technique achieves the torque control of the driving motor by decoupling control of the motor stator current. Its control dynamic quality is good, but it consumes a large amount of calculation. The direct torque control technique directly controls the torque of the driving motor. Though its control computation is less than the vector control, it often subjects to the torque ripple in high and low speed. 22 Therefore, the control performance of the vector control is better than the direct torque control in applications where the speed/position adjustment accuracy is strictly requested. Given that the underground electric locomotive is requested to stop at the designated locations or to run at reference speeds, it is reasonable to adopt the vector control for the unmanned electric locomotive systems. It should be noted that the controller design using the vector control technique is always closely associated with the working environment of the control objective. There is little research that addressed the control of underground unmanned locomotives. Hence, in order to obtain high control performance, it is crucial to construct a robust controller based on vector control for the unmanned electric locomotive system according to the specific working environment. The major challenges in reliable controller design for the unmanned electric locomotive system are discussed in the following.
1. The first challenge involves the mathematical model describing the interaction between the underground rail and locomotive body motion.
The complicated topography and rapidly changeable environment cause strong vibration on the electric locomotive body, leading to speed fluctuation of the locomotive. Moreover, the locomotive operates with frequent start–stop and acceleration–deceleration commands. The large inertia of the locomotive body directly affects the operation of the driving motor. That is to say, the control system should consider not only the speed control of the driving motor but also the thrust of the locomotive body. Thus, the coupled movement of the locomotive and the driving motor constitute as an organic whole. On one hand, the vibration and inertia of the locomotive body affect the reasonable allocation of the driving motor speed and torque. On the other hand, the speed and torque control of driving motor directly determine the running speed and vibration of the locomotive body. Hence, the dual coupling effect between the locomotive body and the driving motor raises the challenge on multi-body decoupling control of both the driving motor and the locomotive body. This control problem belongs to the multi-input multi-output (MIMO) control, which is a hot topic in the field of vehicle control. However, little research has reported the MIMO control of the underground electric locomotive. Therefore, from both academic and practical aspects, it is imperative to investigate the MIMO controller for the decoupling control of the motion of the locomotive body and driving motor.
In order to design suitable MIMO controller, it is necessary to establish the mathematical model about the interaction between the underground rail and locomotive body. This is because the vector control technique requires effective identification of the control model parameters, including resistance, inductance and flux of the driving motor, and the speed and vibration of the locomotive body. But due to strong nonlinearity of the unmanned electric locomotive system, it is difficult to establish precise mathematical model of the underground rail-locomotive body-driving motor. Consequently, it is inefficient for the traditional controllers to obtain high control performance. For instance, the traditional proportional–integral–derivative (PID) controller is difficult to meet the control requirement of time-varying nonlinear systems. 55 Although some industrial control methods, including the sliding mode variable structure control, robust control, and back stepping control,56,57 can deal with nonlinear control systems, they still need to overcome the model boundary problem of the control system. However, the model boundary is determined by a comprehensive understanding of the mathematical model of the control system. Several intelligent control methods can solve the model boundary problem. These methods include the fuzzy control and neural network control. 57 They can achieve excellent control performance without knowing the exact mathematical model of the control system.
The aforementioned industrial and intelligent control methods are applicable to their own unique control conditions and scenarios. Neither of them can be used for all control objects. The latest study58,59 strongly suggested that for very complex dynamic systems, the integration of several control methods can fully use their respective characteristics and complementary advantages to achieve the far higher control performance than single usage of them. This viewpoint will also hold water for the unmanned underground electric locomotives because the locomotive control mathematical model is very complex and one single control method cannot regulate various system interference and uncertainties. Once efficient combination of different control methods is developed, the difficulties in control of the locomotive speed, loading and unloading, parking, emergency braking, collision avoidance, control fault tolerance and so forth can be solved. High control performance will facilitate the application of the unmanned electric locomotives in underground mines.
2. The second challenge is about speed sensorless control of the driving motor.
In the vector control of electric locomotives, the speed/position detection of the driving motor rotor must be provided. In the actual industrial control practice, the speed and position of the motor rotor are usually measured by the speed encoder. But due to harsh working surroundings and complex interaction between the locomotive body and rail, the locomotive would experience extremely strong vibration. Compared with civil railway transportation, the electric locomotives in underground mines present relatively low manufacturing accuracy and aseismic resistance. Moreover, the smoothness of underground rails is much lower than civil railway. There are lots of bends and branches in the underground mines. Particularly, the electric locomotives are in the suspending state when passing the unloading stations. Thus, all these facts cause much stronger vibration on the locomotives underground than that in the civil railway. Consequently, the service life of the speed encoders is very limited. The practice indicates that 9 due to severe vibration, the service life of the speed encoders is very short and sometimes they cannot work normally. In addition, the external sensors greatly increase the hardware cost of the control system, to say, up to one-third of the total price. 60 Hence, it is important to solve the sensor problem in the control of the unmanned electric locomotives. A promising solution to this issue is the speed sensorless control.61–63 The speed/position of the motor rotor can be estimated by numerical calculation without a speed sensor. This sensorless control not only improves the reliability of the control system but also optimizes its structure and reduces its manufacturing cost.
Up to date, the speed sensorless control methods include the dynamic speed estimator, 60 model reference adaptive system (MRAS), 62 Kalman filtering, 63 artificial intelligence observer, 64 harmonic admittance method, 65 and high-frequency injection method. 66 The dynamic speed estimator relies on the accuracy of the motor parameters, and its speed estimation accuracy is low. The MRAS is based on the back electromotive force (EMF) to estimate the motor speed but it is difficult to detect the back EMF at low speed range because the back EMF is proportional to the motor speed. So, it is suitable for medium- and high-speed ranges. Both the Kalman filtering method and artificial intelligence observer can overcome the random interference of observation object and are workable for a wide speed range. But their computational complexity is relatively high. The high-frequency injection method is not influenced by the change of motor parameters and can accurately estimate the speed at a wide speed range, even for zero speed; but its requirement on signal processing is relatively high. Nevertheless, all these methods provide good performance for the speed sensorless control in their own applications. Successful cases have been found in the speed sensorless control of motor cars, 67 metro trains, 68 alternating current (AC) motors, 69 and electric vehicles. 70 However, little work has reported the application of the speed sensorless vector control technique in the underground unmanned electric locomotives. Although there is close similarity between the underground electric locomotive and the urban light rail, motor car, and metro train, their working environment is obviously different. Harsh working environment of the underground electric locomotives makes it impossible to directly use existing speed sensorless vector control techniques. New theories and methods are urgent for underground unmanned electric locomotives. The working environment facts should be included into the existing control technology to solve the restarting control using the speed sensorless vector control and the zero frequency compensation to the driving motor stator at extremely low speed of the underground unmanned electric locomotives. That is to say, for the specific research object of the electric locomotives, how to develop the suitable speed sensorless control method and provide reliable control performance is the key to realize the unmanned electric locomotives.
Future research directions
In section “Challenges on position tracking in underground mines,” we discuss three critical issues (i.e. data collision problem, power supply problem, and efficient data transmission) in WSN-based underground position system.
For the data collision problem, it should optimize the distribution of sensor nodes. In order for this to cover the underground working area as much as possible using the least number of nodes, the GIS information of the underground area should be considered into the WSN node optimization process. The three-dimensional (3D) parameters of the underground area, provided by GIS, will be beneficial to the distribution optimization of sensor nodes. In addition, since the locomotive is moving underground, the position system should be designed to cooperate with the locomotive movement. The UWB can be utilized with WSN to locate moving objects. 71 Hence, interesting research points include the following:
GIS assisted sensor node optimization for WSN-based underground position.
Moving target locating by combination of UWB and WSN.
Precision analysis of UWB-WSN in underground position system.
In order to solve the power supply problem in WSN-based underground position, the following suggestions are made:
Development of RF-recharged batteries, including lithium-ion, supercapacitor, thin film, and solid-state batteries with RF energy-harvesting features.
Suitable recharging strategy for RF-recharged batteries.
Furthermore, CS is a promising research direction in WSN applications. The data transmission efficiency can be improved greatly between WSN nodes by CS sampling. To this end, the following future researches can be implemented.
Theoretical and experimental analyses of suitable denoiser for D-AMP applied to practical signals.
Establishment of D-AMP-based WSN for underground position.
Figure 1 depicts the future research emphases on the position tracking using underground position system.

The future research directions for locomotive position tracking using underground position system.
In section “Challenges in reliable controller design,” two major challenges should be solved in the controller design of underground unmanned electric locomotive systems. One is the mathematical model about the interaction between the underground rail and locomotive body and the other is the speed sensorless control. The future research directions of these two challenges are discussed as follows.
For the mathematical model issue, it is important to first investigate the dynamics and vibrations of the locomotive body. Then, the couple effect between the locomotive body and the driving motor should be evaluated to obtain the boundary parameters and boundary conditions about the mathematical model of the locomotive body–driving motor interaction. Finally, the decoupling control of the locomotive body motion and driving motor motion needs to be developed based on the hybrid intelligent control theories. These three research points can be described as follows:
Influence mechanism of the underground rail on the dynamics of the locomotive body.
Mathematical model of the locomotive body–driving motor interaction.
MIMO controller design using hybrid intelligent control theories.
For the speed sensorless control issue, it is important to propose highly efficient speed estimation algorithm. The high-frequency injection method is very suitable for the unmanned electric locomotives because its performance is not limited by the working speed range of the driving motor. Once the motor speed can be accurately estimated, it is possible to use the high-frequency injection method to solve the restarting problem in the sensorless control. So, the research potentials include the following points:
Speed estimation algorithm using high-frequency injection method.
Restarting control under zero speed or extremely low frequency of the motor rotor.
Novel experimental device and/or experimental tests to evaluate the proposed speed sensorless control.
Figure 2 summarizes the future research emphases on the optimal control of underground unmanned electric locomotives.

The future research directions for optimal control of underground unmanned electric locomotives.
Conclusion
Unmanned electric locomotive system is a critical part for smart mining. This work reviewed the progress in applications of the unmanned electric locomotive systems. The challenging tasks for locomotive position tracking and control were discussed in underground mines, and potential research directions were summarized. Through the discussion on the recent development of underground electric locomotives, it should be noticed that a comprehensive understanding about the working environment of the locomotives should be taken into account for the control system design. On one hand, WSN is a realistic solution to underground position system. The critical issues that limit the application of WSN in underground mines are discussed. In order to develop suitable WSN-based underground position system, the installation, energy consumption, and data transmission should be designed compatibly to the underground environment. The purpose of developing efficient and robust WSN is to provide accurate and real-time position information of locomotives. The position information will be used to schedule and control the movements of locomotives. On the other hand, we suggest considering the dynamics of locomotive body and underground rails into the design and manufacture of the unmanned electric locomotives. Then, based on the intelligent control theories, an advanced control system for unmanned electric locomotive systems can be developed. It is not an easy task to achieve highly efficient and intelligent control for unmanned electric locomotive systems due to that the controller design involves the computer technology, communication technology, control technology, risk assessment technology, and so forth. Once the control system is developed, the decoupling control of the locomotive body and the driving motor can be realized to provide safe, reliable, and efficient operation of unmanned electric locomotive systems.
