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2008 International Conference on Condition Monitoring and Diagnosis, Beijing, China, April 21-24, 2008

The Application of Zoom FFT Technique to the


Extraction of Fault Character of Induction
Motor
Hongzhong Ma*, Qun Xu, Jingang Song, Jingdong Han
Hohai University, Nanjing, 210098, China

*E-mail : hhumhz@163.com

 rid of, or some new character components reflected the


Abstract-- Because the fault character signal frequency is faults directly are to be produced.
very close to fundamental wave frequency during the analysis Today induction motor is the most flexible unit applied
of induction motor rotor winding fault based on the frequency to driving all kinds of mechanical and industrial apparatus.
of stator current, though in practical application, there is only The problem how to avoid disastrous accidents by
signal spectrum in very small frequency range need to be taken identifying the motor fault in operation, has been focused on
into account, high resolution is demanded in the range,
therefore the traditional base-band FFT is difficult to analyze
continuously [1-2].
the fault character component of induction motor rotor Rotor winding fault is the most common fault of
winding effectively. In this paper, the application of zoom FFT induction motor. It is known that the rotor winding fault of
to identify the fault character signal of motor is discussed, the induction machine will result in an extra character current
fundamental principle of zoom FFT based on multiple component with the frequency of 1 r 2s f1 [3-4], i.e.
modulations and its application method is analyzed. Simulation
calculation and practical engineering test have indicated that f 2 s 1 r 2 s f1 (1)
zoom FFT technique based on multiple modulations can Where
identify the nice frequency structure of a certain band and f1 Fundamental frequency;
extract the character signal in stator current under induction
motor rotor winding fault effectively. s Slip ratio;
Index Terms-- Zoom FFT analysis, induction motor, f 2s Frequency of character component in stator current
character frequency signal, fault diagnosis.
under rotor winding fault.
At present, the fault diagnosis method based on the
I. INTRODUCTION
frequency f 2s is the most convenient method applied to the
A LL sorts of fault in apparatus always exhibit by some
signs, these fault signs are extracted from the relevant
parameters of apparatus which are collected by transducers
diagnosis of induction motor rotor winding fault. But not
only the amplitude of fault character component in stator
current is little but also its frequency is very close to the
and processed by computers. Usually, these signals
fundamental current frequency which amplitude is relatively
especially the signals who reflect early faults are weak,
very large, for large-scale induction machine, the
while the noise is strong,, and sometimes the noise may
phenomenon is especially obvious. Under normal load
even annihilate the early sign signals. Some signals from condition, the slip ratio is very small (only few percents,
transducers are considerable ulterior, so they need to be even less than one percent), therefore in stator current, the
handled and then the new parameters can be got to reflect frequency of stator fundamental current are very close to the
the faults of the apparatus. The extraction of fault character frequency of rotor fault current component, while under
component is the process that during which the signals light-load or no-load condition the difference between two
collected by the transducers are handled and the noise is got frequency is especially small. Furthermore, the so-called
fault diagnosis is mainly aimed at the motor under the
condition between normal state and light fault. The

This research project is supported by Teaching and Research Award amplitude of the fault character component in stator current
Program for Outstanding Young Teachers in Higher Education Institutions
of MOE, P.R.C.; National Natural Science Foundation of Hohai University.
will be smaller under light fault. To large-scale motor
(having more rotor bars), the amplitude of fault character
component under one broken bar fault, is only about one
percent, furthermore the amplitude is affected by load

978-1-4244-1622-6/08/$25.00 2007 IEEE


magnitude too, along with the reduction of load, the kinds of intelligent system whose calculation function is
amplitude of character current component will decrease too. limited to carry out FFT calculation, the problem is quite
Thus it can be seen that without effective method of signal prominent. The increase of calculation points not only
process, the fault character component in stator current will affects operation speed but also demand larger internal
be difficult to identify, consequently the difficulty is storage capacity, sometimes the demand even cannot be met.
brought to the diagnosis of motor rotor winding fault. In Therefore the effect of the means is extremely limited.
addition, there is always some noise current of different Meanwhile, when the point of FFT does not change, the
frequency exists in stator current, and its amplitude maybe location of frequency point of base-band analysis does not
equivalent to rotor winding fault character component, this change too, the flexibility of spectrum analysis is bad.
will make the method that applied stator steady current to As the base-band FFT has difficulty to increase
the diagnosis of rotor fault become more difficult. Much frequency resolution, so the concept about zoom FFT is
research work on how to extract the effective signals from presented. Its fundamental idea is to magnify the certain
the collected signals has been done by many special people, band of signal spectrum locally, i.e. to increase spectral
but they mainly concentrated on the extraction of density locally round a certain frequency that is the analysis
fundamental fault character component in stator current, and of choosing band.
the problem has not been resolved effectively yet. Hence
this paper put forward that taking use of zoom FFT B. ZFFT Algorithm
technique to analyze in detail the character component in ZFFT is the zoom FFT analysis method of multiple
motor stator current and consequently to diagnose the fault modulations, it is one of the most widely used zoom FFT
of motor rotor winding. method. It can analyze the spectrum structure in any
narrowband on frequency axis by the appointed enough
II. FREQUENCY RESOLUTION AND ZOOM FFT high frequency. ZFFT is very suitable for those demanding
wide band, high resolution and few transform point case.
A. The Problem of Frequency Resolution ZEFT algorithm takes use of the nature of frequency
Spectrum analysis is the research on the character of shift, to shift the frequency in high band to origin of
signals in frequency domain, such as the change rule of frequency axis, then to reduce the sampling frequency and
amplitude, phase, energy and power along with the variation resample, so the higher frequency resolution can be
of frequency [3]. General spectrum analysis method is achieved. ZFFT algorithm is concise and realized
realized by DFT, so it is called base-band spectrum analysis. conveniently, but there still exists some problems: (1) after
Spectrum analysis method via computer is realized by FFT, shift and modulation to the time-domain signal, in order to
so it is called base-band FFT. avoid frequency superposition, the digital filtering is needed
An important index about spectrum analysis is usually. FIR (limited impulse response) is often used. As the
frequency resolution 'f , i.e. the minimum identifiable truncation effect of finite order filter, the spectrum around
space between two frequencies in spectrum. As we know barrier frequency produces local distortion; (2) the higher
that the relationship between frequency resolution 'f , refining multiple is, the higher choice sampling ratio of re-
sampling and the more narrow bandwidth needs to be
sampling frequency f s , sampling period TS and the amount refined will be. If the bandwidth needs to be refined is big,
of sampling point N as following : multiple refining is must be done. This will certainly add the
fs 1 (2) amount of calculation; (3) the higher refining is, the more
'f time-domain sampling point is needed, and this is
N N Ts
unpractical in some circumstances.
In the analysis of stator current spectrum of this paper,
During the motor fault diagnosis based on the character
because of the small difference between f 2s and f1 , so the frequency in stator current, since the slip ratio of large-scale
frequency resolution as high as possible is expected, i.e. and middle-scale motor is usually less than 5%, when
'f should as small as possible. As shown in (2), there are s 0.05 , then according to (1) the character signal
two approaches in improving the frequency resolution of frequency: f 2 s 1 r 2 u 0.05 u 50 45Hz and 55Hz.
base-band analysis: (1) to reduce the sampling frequency; (2) That is to say the frequency range to be mainly concerned
to increase the sampling point N (i.e. the intercepted length about is between 45Hz and 50Hz and 55Hz. Thus the zoom
of sequence). The former reduces the analysis range of FFT technique is very suitable for analysis.
frequency and cannot raise up frequency resolution of high
frequency band (of cause, if the signals in high frequency III. ZOOM FFT TECHNIQUE BASED ON MULTIPLE
band do not need, the filter may be taken into account to MODULATIONS
filter the high frequency component, and then the proper
low sampling frequency is taken); the latter must increase A. Basic principle
the length of data window, now along with the application While carrying out spectrum analysis of stator current in
of computer, this is no longer a chief problem. But while this system, it is not the whole spectrum but the small range
on-line monitoring and diagnosis system taking use of all
of basic frequency that to be concerned about, that is to say resolution is enhanced D times while reducing sampling
higher frequency resolution in the small range around basic frequency and keeping original sampling point, namely the
frequency is expected. The zoom FFT technique is a kind of multiple of refining is D. So a new discrete signal xr n will
fast Fourier transform technique of frequency band
be got via re-sampling, then to apply complex FFT
expansion , and it is called ZFFT too, or local spectrum
computation to the signal, the spectral line after refining will
enlargement. It is able to make some local interesting
be received, its central frequency is f 0 and bandwidth is B.
frequency get higher frequency resolution just like zoom
lens zooming local image of the whole picture, this function Calculation example: supposing the bandwidth of
just meets the systems requirements. There are lots of original signal is 1kHz,, the highest effective frequency
methods of zoom FFT, this paper mainly discusses on the among the signal is 1kHz, sampling frequency is at least
detailed method based on multiple modulations [7, 8]. 2kHz, supposing the sampling point is N=1024, then
The method based on multiple modulations mainly frequency resolution is :
fs 2000
contains digital frequency shift, digital low-pass filtering, 'f | 2Hz (Sampling period is Ts 1 f s 0.5ms )
re-sampling, FFT transforming and weighted correction and N 1024
so on, just as shown in Fig. 1. Firstly, the frequency Now shifting the origin of frequency coordinates to
components over f s of the continuous signal x t are 40Hz, that is to say in new coordinates, the point of 40Hz is
2 0Hz, in original coordinates, the signal in the range from
eliminated via anti-superposing low-pass filter, then via 40Hz to 60Hz need to be analyzed, and in new coordinates,
A/D converter, to sample with the frequency f s , then to get the range is from 0 to 20Hz, to reduce the sampling
frequency to 1/D of the original. For example, supposing D
the discrete data signal x0 n including N points. Supposing
is 10, f s' f s D 2000 / 10 200Hz , the point of sampling
the central frequency of the local band demanded to enlarge remains 1024, then after FFT, 1024/2=512 spectral lines
is f 0 and frequency bandwidth is B, the second step is to will be got. Then the resolution is:
carry multiple modulations on signal x0 n , which is f s' 200
'f | 0.2 Hz
multiplying digital signal x0 n with e
2Sf 0 / f S n
: N 1024
While reducing the sampling frequency to 1/D of the
x n x0 n e  j 2S f 0 f s n
original, then resolution is enhanced to D times of the
(3)
x0 n cos 2S f 0 f s n  jx0 n sin 2S f 0 f s n original, and the D is refining multiple. In order to avoid the
frequency superposition, before re-sampling, low-pass
filtering should be taken, its bandwidth is:
f s 2 2000
B 100Hz
D 2 u 10
B. Simulation Calculation
Supposing the measured signal is:
y A1 sin 2S f 1 t  A2 sin 2S f 2 t
Given A1=1, f1=50Hz, A2=0.01, f2=48Hz, the original
sampling frequency is f s 1000 Hz , the calculation point is
Fig.2. The principle figure of zoom FFT based on multiple modulations
1024. The zoom FFT method which based on multiple
According to frequency shift nature of discrete Fourier modulations is adopted, the figures of spectrum before
transform, the discrete spectrum of x n is: refining (i.e. do not have refining processing), after fourfold
refining, after eightfold refining (local magnification figure)
X k X 0 k  L0 (4)
are shown in turn in Fig .2(a), the ordinates in the figure is a
Where, L0 f 0 'f represents the order number of normalization coordinates. In order to increase the
spectral line when the frequency is f0, X k is the spectrum resolution of small amplitude signal, it is processed by
window (with P301 window). As shown from the
after frequency shift, X 0 k is the spectrum before comparison, zoom FFT increases the resolution of spectrum,
frequency shift. but for the special signal discussed in this paper, the
Filtering all frequency components of the signal after combined application of zoom FFT and window function
frequency shift except for a narrowband B around f0 via can achieve perfect results.
low-pass filter, if the bandwidth is less than 1 D of There is still a problem need to pay attention to in Fig 2,
sampling frequency after frequency shift, then the sampling while without window, as the leaking of basic frequency
frequency may be reduced to 1 D of the original, and the before refining, the component with the frequency of f2 is
completely annihilated, and after eightfold refining, the f2
superposition unlikely to be produced, then to take new component can be seen, but its amplitude is blocked up
sampling frequency f x' f s D and resample. Frequency by the leaking energy of the basic frequency, so this
amplitude can not apply to quantitative analysis, its error is After analyzing Fig .3, it can be seen clearly that (1)
great, in addition, the amplitude character of rectangular while without zoom FFT processing, the character signal is
window is the worst of all the common window. In fact, the completely annihilated by the basic frequency signal, fault
amplitude of f2 component is only 0.01. diagnosis can not be carried out by using this fault character
signal; (2) comparing the results of eightfold refining and
fourfold refining, it can be seen that not only the frequency
resolution, but also the amplitude accuracy is increased.
In addition, using appropriate window function can
effectively restrain basic frequency leaking, and increase the
frequency resolution.

(a)


(a)

(b)
Fig. 2. The comparison of spectrum before and after frequency refining
(simulation data). (a) without window, (b) with P301 window

IV. THE APPLICATION OF ZOOM FFT TECHNOLOGY


IN THE MOTOR FAULT DIAGNOSIS
From the above analysis, the amplitude of character
frequency component in stator current under motor rotor
winding fault is small, the frequency is very close to (b)
fundamental frequency of stator current, for large-scale Fig. 3. The comparison of spectrum before and after frequency refining
motor, slip ratio is very small and the difference between (measured data). (a) without window; (b)with P301 window
the two frequencies is smaller. For example, when slip ratio
s=0.01, f 2s 49Hz , when using traditional method to V. CONCLUSION
analyze spectrum, the character signal which amplitude is This paper has discussed how to apply the zoom FFT to
small is easily to be annihilated by the basic frequency extract the character signal under induction motor rotor
signal which amplitude is large. winding fault. And it offers a kind of new idea and method
Using zoom FFT method which based on multiple that can be used to extract weak signal in a strong disturbing
modulations to analyze the spectrum of stator current actual environment which maintains much similar frequency.
measured from the two broken bars motor in the lab. The When the traditional FFT is used to analyze the
sampling frequency is 1000Hz, the spectrum before refining, spectrum of continuous signal, because of the leak effect,
the spectrum after fourfold refining and eightfold refining fence effect and other effects, the resolution is not as well as
are shown in Fig .3. In order to increase the resolution of we expect, and it is very difficult to take use of general
small amplitude signal, as shown in Fig .3(b), it is processed base-band FFT to improve the frequency resolution
with P301window as same as the Fig. 2(b). effectively.
For the fault character component of induction motor [3] A. Bellini, F. Filippetti, On-field Experience with on-line Diagnosis
of Large Induction Motors Cage Failures using MCSA, IEEE Trans.
rotor winding, since the range of frequency which need to on ndustry Application, vol. 38, pp.1045-1053, 2002.
be considered is very narrow, (the range is 506Hz, large- [4] S. Lee, R.M. Tallan, T.G. Habetler, A Robust On-Line Turn-Fault
scale motor is less), but higher frequency resolution is Detection Technique for Induction Machines Based on Monitoring
needed, so zoom FFT technique is especially suitable for the Sequence Component Impedance Matrix, IEEE-Trans. on Power
Electronics, vol.18, pp.865-872, May 2003.
analysis. It can improve the frequency resolution in limited [5] Hongzhong Ma, Xunming Li. Diagnosing Rotor Winding Fault in
sampling points, and then it can efficaciously extract the Asynchronous Motors by Using Residual Voltage after AC Dump.
fault character signal. Thereby it can be used to diagnose the Proceedings of the CSEE, vol. 24, pp.183~187, July 2004.
[6] M.E.H.B.Benbouzid. A review of Induction motors signature analysis
fault of induction rotor winding. Certainly if it can be
as a medium for faults. IEEE Trans. on Industrial Electronics.
combined with other methods, such as adding window, self 2000,47(10):984-993.
adapting filtration and so on, it will achieve a more [7] PAPOUL IS E V , STATHALD T. A DFT Algorithm Based on Filter
efficacious result. Banks : the Extended Subband DFT[Z] . Image Processing IEEE,
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[8] HOSSEN A N , HEUTE U. Fully Adaptive Evaluation of Sub2band
VI. ACKNOWLEDGMENT DFT. Circuit s and Systems ISCAS ,Chicago Illinois USA , 1993.
[9] Hongzhong Ma,P.Ju. Integrated Diagnosis Techniques of High
This research project is supported by National Natural
Voltage Induction Machine with Rotor Winding Faults. 7th
Science Foundation of China (50477010) and China International Power Engineering Conference (IPEC 2005). IPEC
Education Ministrys Foundation Program for Excellent 2005November 29 December 2, 2005 Marina Mandarin, Singapore.
Young Teachers in Universities.

VII. REFERENCES
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[2] Hamid A.Toliyat, Thomas A.Lipo. Transient Analysis of Cage
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