IEEE TRANSACTIONS ON INDUSTRY APPLICATIONS, VOL. 53, NO.

3, MAY/JUNE 2017 2657

Comprehensive Diagnostics of Induction Motor

Faults Based on Measurement of Space and Time
Dependencies of Air Gap Flux
Galina Mirzaeva, Member, IEEE, Khalid Imtiaz Saad, Member, IEEE,
and Mohsen Ghaffarpour Jahromi, Member, IEEE

Abstract—Condition monitoring of induction motors is impor- Brmν νth harmonic magnitude of the rotor flux density.
tant for their efficient and reliable operation. Most of the existing δ Constant or average air gap length.
electrical techniques of condition monitoring and fault diagnosis δmst
Maximum air gap variation due to static
are based on current, voltage, vibration, or/and flux measurements
external to the motor. This paper proposes an online fault diagnos- eccentricity.
dn
tic system, which is based on measurements of internal main air gap δm Maximum air gap variation due to dynamic
flux density of an induction motor by an array of Hall effect flux eccentricity.
sensors. Such an instrumentation is justified for large specialized ΔBs,r Difference between flux densities (of stator or rotor)
induction motors with particularly high-reliability requirements.
between the like poles.
Fundamental theory behind the air gap flux density as a function
of time and space, and its distortions introduced by various faults, fbr b Broken rotor bar fault signature frequency.
is reviewed in this paper. Based on this theory, this paper pro- I RMS value of current in each phase.
poses a comprehensive condition monitoring approach to diagnose l Axial length of the machine.
induction motor faults including stator turn-to-turn shorts, rotor μ0 Permeability of free space.
bar damage, and static and dynamic eccentricity, which may be m Number of winding phases.
present individually or at the same time. Moreover, the proposed
approach not only detects each fault at its early stage but also de- N Number of turns in each phase.
termines its exact location and severity. The principles proposed ω Fundamental angular frequency.
in this paper are illustrated by extensive simulations and are ex- ωr Rotor angular velocity, ωr = 1−s
p ω.
perimentally validated on a prototype online condition monitoring p Number of pole pairs.
system based on National Instruments real-time platform. R Number of rotor bars.
Index Terms—Air gaps, data acquisition, fault diagnosis, fault Rr Resistance of a rotor bar.
location, induction motors, magnetic field measurement, monitor- S Number of stator slots.
ing. s Per unit slip.
NOMENCLATURE sν Slip of the νth harmonic.
αs Space angle referred to stator. ζk ν Pitch factor.
αr Space angle referred to rotor. ζr ν Distribution factor.
α1 Angle between two adjacent stator slots (slot pitch). ζpν Band factor.
αy Angle between the two sides of a stator turn.
I. INTRODUCTION
αst Minimum air gap position due to static eccentricity.
αdn N RECENT years, three-phase squirrel cage induction mo-

Bs
Minimum air gap position due to dynamic eccentricity
at t = 0.
Flux density produced by stator.
I tors have been the backbone of modern industry, ranging
from a fraction of a horsepower to 100 000-hp ratings. The
Br Flux density produced by rotor. main advantages of induction motors include high robustness,
m low manufacturing, and low maintenance costs. Condition mon-
Bsν νth harmonic magnitude of the stator flux density.
itoring plays an important role in preventing unexpected motor
Manuscript received July 25, 2016; revised September 20, 2016; accepted breakdown. Depending on size and type of application of an
October 26, 2016. Date of publication November 15, 2016; date of current induction motor, the value of condition monitoring may vary
version May 18, 2017. Paper 2016-EMC-0514.R1, approved for publication in
the IEEE TRANSACTIONS ON INDUSTRY APPLICATIONS by the Electric Machines
from desirable, when an inexpensive motor can be easily re-
Committee of the IEEE Industry Applications Society. placed with no major interruption to production, to crucial.
The authors are with the School of Electrical Engineering and Com- An example of the latter situation is a high-power specialized
puter Science, The University of Newcastle, Callaghan, NSW 2308, Aus-
tralia (e-mail: Galina.Mirzaeva@newcastle.edu.au; Khalid.Saad@uon.edu.au;
motor used in a production critical application, such as power
Mohsen.GhaffarpourJahromi@uon.edu.au). generation, traction, or excavation. Even the most comprehen-
Color versions of one or more of the figures in this paper are available online sive instrumentation of such motors adds very little extra cost
at http://ieeexplore.ieee.org.
Digital Object Identifier 10.1109/TIA.2016.2628718
to their manufacturing and is well justified by predicting the

0093-9994 © 2016 IEEE. Personal use is permitted, but republication/redistribution requires IEEE permission.
See http://www.ieee.org/publications standards/publications/rights/index.html for more information.
2658
motor faults and avoiding downtime of the entire operation [1].
A standard three-phase induction motor equipped with compre-
hensive condition monitoring can also be a valid alternative to
fault-tolerant multiphase machines in the emerging applications
[2], [3].
In this paper, it is proposed to instrument the stator poles of an
induction motor with an array of miniature Hall effect flux sen-
sors (HEFS) [4] to measure main gap flux in both time and space
dimensions. Such an instrumentation has been used, for the last
few years, with large motors for excavating machines in mining
industry, and its practicality and robustness to extreme condi-
tions has been proven in practice [5]. In such an application, the
estimated cost of the additional instrumentation is justified even
if its only purpose is diagnosis of a stator turn-to-turn fault.
The authors have extended this objective to include all types
of electrical faults common for induction motors. This paper
proposes a comprehensive condition monitoring approach to
diagnose induction motor faults including stator turn-to-turn
shorts, rotor bar damage, and static and dynamic eccentricity,
which may be present individually or at the same time. More-
over, the proposed approach not only detects and differentiates
between different faults at their early stage but also determines
the fault’s exact location and severity.
Fundamentals of condition monitoring of induction motors
have been addressed in many research publications. The most
common faults of induction motors include the following [6]:
1) stator winding faults, which typically start with a turn-
to-turn short and rapidly develop into multiple turn and
phase-to-phase faults leading to the motor breakdown;
2) rotor electrical faults (broken rotor bar, cracked end ring,
etc.);
3) rotor mechanical faults (misalignment, eccentricity, bent
shaft, bearing damage, etc.).
The time frame for development of stator shorts from an in-
cipient stage to a breakdown can be as low as a few seconds
and must be detected almost instantly [7]. Rotor bar and ec-
centricity faults may take months to develop; however, their
detection is also very important, so that closing of the air gap
and unrepairable damage to the motor can be prevented [8].
Various techniques have been developed to monitor the
machines’ condition. For obvious reasons, the most popular
techniques are based on measurement and analysis of sig-
nals external to the motor, such as stator current, stator volt-
age, leakage flux, noise, and vibration [9], [10]. Some authors
use internal motor instrumentation with search coils [11]. Re-
cently, due to availability of new generation miniature sen-
sors, internal flux measurements are being used more frequently
[12], [13].
Signal processing techniques vary from simple spectral analy-
sis [14], [15] to more sophisticated signal processing techniques
[16], [17] and then to complex expert systems [18]. The most
popular and well-researched group of techniques are based on
the motor current signature analysis (MCSA) [19], [20], which
reveals various motor health problems from the changes of the
stator current spectrum. Although very powerful, MCSA has
its shortcomings [21], including the need for long sampling
times in steady state to achieve acceptable spectral resolution,
dependence of successful diagnosis of some faults on the ac-
IEEE TRANSACTIONS ON INDUSTRY APPLICATIONS, VOL. 53, NO. 3, MAY/JUNE 2017
curate knowledge of the motor slip, and potential ambiguity of
interpretations.
A new challenge to condition monitoring has been introduced
with the adoption of variable-frequency drives to control induc-
tion motors. In addition to moving from constant-frequency to
variable-frequency operation, which itself is a challenge, such
drives inject a range of harmonics, including the low-frequency
baseband harmonics, which make interpretation of spectral mea-
surements even more ambiguous [22], [23]. On the other hand,
in some recent publications, it is proposed to use the inverter
switching for the benefit of fault diagnosis [24]–[26].
High-reliability requirements for modern electric motors, var-
ious challenges to condition monitoring, and new instrumenta-
tion capabilities necessitate a deeper understanding of the ori-
gins of the motor electrical characteristics and their fault-related
distortions. Consequently, authors of some recent studies return
to the fundamentals of the stator and rotor MMFs and their
harmonics [27], [28]. Continuing this trend, in Section II, an
in-depth analysis of the air gap magnetic flux is presented for a
healthy motor, including time and space dimensions. This anal-
ysis is illustrated by 3-D flux waveforms, obtained by simulation
from a hypothetical HEFS array.
In Section III, similar analysis and illustrations are given for a
motor affected by various faults, including stator winding fault,
rotor static and dynamic eccentricity, and rotor bar damage. In
Section IV, this analysis is further extended to propose effec-
tive methods to detect the above faults at their early stages,
and discriminate between different faults, in case that they are
simultaneously present. Additionally, the use of the proposed
comprehensive instrumentation makes it possible to localize
and quantify each fault, in other words, to tell its location on the
stator or rotor periphery and determine its quantitative measure.
These advanced condition monitoring capabilities are also dis-
cussed in Section IV and illustrated by extensive experimental
results. Finally, Section V presents conclusions and summarizes
contributions of the paper.
II. AIR GAP FLUX WAVE OF A HEALTHY MOTOR
The most general expression for a stator flux density of an
m-phase winding, as a function of the stator angle αs , at a time
instant t, is given by [29]
√ ν =∞
2N I  1  α  sin N ν α 1 
Bs (αs ) = μ0 sin ν
y
 2 
πδ ν =1 ν 2 N sin ν α21
 
sin ((ν ± 1) π) 2π
 ±1  sin (ωt ± ναs ) ∓ (ν ± 1) . (1)
sin νm π m
Expression (1) covers various design options and contains
all possible space harmonic numbers ν. In the case of a typical
three-phase 2p-pole induction motor, general expression (1) can
be reduced to
 
 να  6 sin ν6pπ
1
Bs (αs ) = B m sin
y
  sin (ωt ± νpαs )
ν 2 S sin νSπ
(ν )
(2)
√
where ν = 6c ∓ 1 and B m = 3 2Iμ0 /(πδ).
MIRZAEVA et al.: COMPREHENSIVE DIAGNOSTICS OF INDUCTION MOTOR FAULTS BASED ON MEASUREMENT OF SPACE AND TIME 2659

Considering all rotor bars j and all harmonics ν, the full

expression for the rotor flux density referred to rotor results

R −1
2lμ0   sν ω m  νπ 
Br (αr ) = Bsν sin cos {sν ωt
δπRr j =0 ν R
(ν )
∞  π 

ν2πj  1 2πj
± sin k cos k αr − .
R k R R
k =1

Fig. 1. Concept of the rotor current loops. (a) Healthy rotor bars. (b) One (7)
broken rotor bar.
It is further possible to manipulate and regroup terms in
(7) to separate the terms  dependent on j. Then,  realizing
R −1 2π j
that it is always true that j =0 sin (k ± ν) = 0, and
It is clear from (2) that, if such an induction motor is fed by a  −1 2π j  R
2π j
purely sinusoidal current, then its stator field will include space that R j =0 cos R (k ± ν) = 0 only if R (k ± ν) = 2πλ,
harmonics of the orders p(6c ∓ 1), where c = 0, 1, 2, . . .. where λ = 0, 1, 2, . . ., leads to the following expression:
The rotor flux in an induction motor is induced by the stator   νπ   sin ν π
flux. Using the relation between the stator and the rotor referred Br (αr ) = Brmν sin R
cos [sν ωt ± ναr ]
R ν
angles: αs = αr + 1−s p ωt, the stator flux density referred to the
(ν )
rotor can be found as ∞
 sin π (λR −ν p)
+ R
cos [sν ωt ∓ (λR − νp)αr ]
 λ=1
λR − νp
Bs (αr ) = m
Bsν sin (sν ωt ± νpαr ) (3) 
∞

(ν ) sin π (λR +ν p)
+ R
cos [sν ωt ± (λR + νp)αr ]
λ=1
λR + νp
where sν = 1 ± ν (1 − s) is the νth harmonic slip and Bsν
m
= (8)
6 sin( ν π )
B m ν1 sin( 2 y ) S sin( 6ν pπ ) is the νth harmonic magnitude.
να
S where Brmν = R lμ 0 s ν ω
δπ Rr ν
m
Bsν
is the magnitude of the νth har-
A squirrel cage rotor consists of a number of bars, which can monic of the rotor flux density.
be considered as single turns or loops, as shown in Fig. 1(a). If Finally, referring the rotor induced flux density back to stator
the number of rotor bars is R, then one loop corresponds to an yields
angle span of 2πR .  νπ   sin ν π

Voltage induced in the jth rotor loop due to the νth stator flux Br (αs ) = Brmν sin R
cos (ωt ± νpαs )
harmonic can be found using Faraday’s law as R ν
(ν )
∞
  
sin π (λR −ν p) λR(1 − s) ± p
(2j −1) Rπ
 + R
cos ωt ∓ (λR − νp)αs
dφν j d λ=1
λR − νp p
eν j = − =− l Bsν (αr ) dαr
dt dt ∞  
(2j −3) Rπ sin π (λRR+ν p) λR(1 − s) ∓ p
+ cos ωt ± (λR + νp)αs .
 λR + νp p
lsν ω m  π 2π
λ=1
= Bsν sin ν cos sν ωt ± ν (j − 1) . (4) (9)
ν R R
The first term in (9) describes armature reaction, which only
Without loss of generality, if the rotor bar is assumed to be produces harmonics that are already present in stator flux (2).
resistive and the resistance of the bar is denoted as Rr , then νth The remaining terms in (9) contain new harmonics, not present
harmonic of the jth loop current is given by in the original stator flux, namely, time harmonics of orders
p λ(1 − s) ± 1 and space harmonics of orders λR ± νp. These
R

 π  are rotor step (or slot) harmonics, produced due to the “sam-
lsν ω m 2π
iν j = B sin ν cos sν ωt ± ν (j − 1) . (5) pling” effect of the rotor bars. Total air gap flux density is the
Rr ν sν R R sum of the stator (2) and the rotor (9) flux densities.
A case study used throughout the paper is based on a four-
MMF produced by each rotor loop equals Nj (αr )iν j , where pole motor with 36 stator slots and 28 rotor bars. According to
Nj (αr ) is a rectangular winding function for a single loop j (2) and (9), its dominant time harmonics are 1st, 5th, 7th, 13th
given by its Taylor series expansion: and 15th; and its dominant space harmonics are: 2, 10, 14, 26,
and 30 (= 28 ± 2).
∞
  π  Assume that the motor has 36 measurement points distributed
2 2πj evenly around its stator circumference. Then, the corresponding
Nj (αr ) = sin k cos k αr − . (6)
πk
k =1
R R angular resolution is 10◦ (mechanical) or 20◦ (electrical). In our
2660 IEEE TRANSACTIONS ON INDUSTRY APPLICATIONS, VOL. 53, NO. 3, MAY/JUNE 2017

Fig. 2. Simulated air gap flux wave of a healthy motor. (a) Stator referred.
Fig. 3. Stator winding turn-to-turn short. (a) Distortion MMF (at fixed cur-
(b) Rotor referred.
rent). (b) Simulated effect on air gap flux.

study, such a resolution has proven itself as a good compromise

B. Static and Dynamic Eccentricity
between the instrumentation complexity and the fault localiza-
tion accuracy. It will be applied to the test motor and can be Eccentricity is known as a condition that occurs when there
taken as a guide for other motor designs. is a nonuniform or asymmetric distance between the rotor and
Based on the 36 measurement points, the theoretical air gap stator in the air gap. In the case of static eccentricity, the center
flux density can be presented as a 3-D plot with both time and line of the shaft is at a constant distance from the center of
space dimensions, as shown in Fig. 2(a). The same flux den- the stator; hence, the minimum air gap is always in the same
sity referred to the rotor (by calculations) appears in Fig. 2(b). angular position. Under dynamic eccentricity, the center line of
Similar 3-D plots will be used further as the basis for the fault the shaft is at a variable distance from the center of the stator and
analysis. the minimum air gap revolves with the rotor [6]. Both types of
eccentricity typically coexist in an electric machine, resulting in
III. AIR GAP FLUX DISTORTIONS DUE TO FAULTS a mixed eccentricity. Induction motors, having smaller air gaps
compared to other motors of the same size, are more sensitive
A. Stator Winding Fault to eccentricities.
As discussed earlier, stator winding short is the most danger- Eccentricity produces an unbalanced magnetic pull that tries
ous fault due to its very fast development rate. When a single to pull the rotor further away from the stator center [30]. Both
turn of the stator winding is shorted (e.g., due to an insulation types of eccentricity cause excessive stress on the machine and
failure), it becomes disconnected from other (Nt − 1) turns in increase the bearing wear. The radial magnetic force produced
the same phase coil, which creates some, typically small, change by eccentricity may also act on the stator core and cause harmful
in the phase MMF. What is more dangerous is that the isolated vibrations to the stator windings. If not detected early, a rotor-
turn, as a result of mutual coupling with other windings, carries to-stator rub might take place causing consequential damage to
a significant loop current, which may exceed the rated current. the core, windings, and the rotor cage.
Such a loop current causes an excessive heating and leads to a To model both types of eccentricity, we include variation in
further development of the fault into a catastrophic failure. the air gap length δ, which appears in denominators of both
As an example, in our experimental study, after creating an stator (2) and rotor (9) flux density equations. Such variation is
artificial short of one turn in the stator winding at no load, the commonly described as [31]
temperature of the shorted turn increased from 60 to 120 °C in    
δ(αs ) = δ − δm st
cos αs − αst − δm dn
cos αs − αdn − ωr t .
just 6 s. That is why, fast detection and localization of the stator
(10)
winding fault is very important in general and was one of the
Since typically δm st
 δ0 and δm
dn
 δ0 , the inverse of the air
primary objectives of the fault-diagnosis system discussed in
gap length can be approximated as
this paper.
The effect of the shorted turn on the air gap flux can be 1 1 δmst  
modeled as flux of a single turn added to the flux of the healthy ≈ + cos αs − αst
δ(αs ) δ δ
motor, which is illustrated in Fig. 3(a). This distortion adds a
whole series of space harmonics, as per (6) and, consequently,
dn
δm  
+ cos αs − αdn − ωr t . (11)
gets reflected in the time harmonic spectrum, where it can be δ
picked up by, for example, MCSA-based techniques. For simplicity, here, we consider only the dominant, funda-
However, given the comprehensive instrumentation used in mental, component of the air gap flux produced by the stator.
this study, and to avoid ambiguity of the time harmonics inter- Using (11) for 1δ in expression (2) and taking ν = 1 yields
pretation, it is possible to directly measure the distortion due
to stator shorts in the main air gap flux, which is illustrated in B (αs ) = Bs1
m
sin (ωt − pαs )
Fig. 3(b). Note the rise of the main wave magnitude within the     
× 1 + δm st
cos αs − αst + δmdn
cos αs − αdn − ωr t .
span of the shorted turn in Fig. 3(b). This rise can be used to
determine the exact location of the fault. (12)
MIRZAEVA et al.: COMPREHENSIVE DIAGNOSTICS OF INDUCTION MOTOR FAULTS BASED ON MEASUREMENT OF SPACE AND TIME 2661

Fig. 4. Simulated air gap flux under static eccentricity. (a) Stator referred. Fig. 6. Superposition of fluxes for a broken bar fault. (a) Rotor flux compo-
(b) Rotor referred. nents. (b) Resulting rotor flux.

The effect of purely static and purely dynamic eccentricities

on the rotor referred flux wave is illustrated by Figs. 4(b) and
5(b), respectively. Expressions (13) and (14) will be later used
to discriminate between the two eccentricities and to determine
magnitude and angular position of each one of them.

C. Rotor Bar Fault

In cage induction motors with fabricated bars, rotor bar faults
Fig. 5. Simulated air gap flux under dynamic eccentricity. (a) Stator referred.
(b) Rotor referred.
develop mostly due to manufacturing defects, temperature, and
mechanical stresses [8]. A motor with a broken bar will con-
tinue to operate by distributing the rotor current between healthy
bars, but this also means increased stress on the healthy bars and
1−s
Manipulating (12) and using ωr = p ω results in shortening of their life. Broken bars can bend outwards and rub
   stator, causing severe motor damage. Incipient rotor faults usu-
B (αs ) = Bs1
m
1 + δm
st
cos αs − αst sin (ωt − pαs ) ally cause torque pulsations, speed fluctuations, and mechanical
  vibrations [6].
B m δ dn p−1+s
+ s1 m sin ωt − (p − 1) αs − αdn Rotor bar faults are commonly diagnosed under steady-state
2 p
  conditions by detecting double-slip sidebands around funda-
B m δ dn p+1−s mental frequency [32]. To achieve acceptable spectral reso-
+ s1 m sin ωt − (p + 1) αs + αdn . (13)
2 p lution, long sampling time under constant speed and load is
required, which limits application of MSCA-based meth-
It is clear from (13) that static eccentricity modulates the ods in online condition monitoring for dynamic motor
magnitude of the fundamental component of the air gap flux, applications.
while dynamic eccentricity gives rise to fractional time harmon- Another approach, which has its own complications and am-
p and p (provided that s ≈ 0), and to space harmonics
ics p−1 p+1
biguities, is based on using start-up or run-down motor condi-
(p − 1) and (p + 1). The effect of purely static and purely dy- tions coupled with short-time spectral analysis techniques, such
namic eccentricities on the stator referred flux wave is illustrated as wavelet or short time Fourier transform [32], [33].
by Figs. 4(a) and 5(a), respectively. As illustrated in Fig. 1(b), a broken rotor bar number n can
Similar logic can be applied to determine the effect of the be modeled as a field superposition of the following magnetic
eccentricities on the rotor referred air gap flux, resulting in structures: a healthy rotor; minus two adjacent turns passing
   through the broken bar; plus a double-span turn passing through
B (αr ) = Bs1 m
sin (sωt − pαr ) 1 + δmdn
cos αr − αdn
the healthy sides of the affected turns.
 
B m δ st s(p − 1) + 1 Fig. 6 illustrates superposition of the corresponding fluxes.
+ s1 m sin ωt − (p − 1) αr − αst In the case of a broken bar, two adjacent rotor loops [“affected
2 p
  loops” in Fig. 6(a)] become excluded from the total rotor flux. In
m st
B δ s(p + 1) − 1 replacement, a double-span loop is formed on the healthy sides
+ s1 m sin ωt − (p + 1) αr + αst .
2 p of the affected loops. As shown in Fig. 6(a), the double-span loop
(14) induces almost twice as strong flux as the affected loops. This
is because for the double-span loop in (4), the induced voltage,
Dynamic eccentricity in (14) modulates the magnitude of the and hence the current, includes the stator  flux integral over a
low-frequency component, while static eccentricity manifests double span, resulting in factor sin ν 2π R instead of sin ν π
R .
itself around frequencies ±ω/p (provided that s ≈ 0) and gives The resultant rotor flux of the faulty rotor is shown in Fig. 6(b).
rise to space harmonics (p − 1) and (p + 1). Analytical expression for the additional components injected
2662 IEEE TRANSACTIONS ON INDUSTRY APPLICATIONS, VOL. 53, NO. 3, MAY/JUNE 2017

Fig. 7. Flux density for simulated rotor bar fault. (a) Stator referred. (b) Rotor Fig. 9. Instrumentation and experimental setup. (a) Extra stator turns to short.
referred. (b) Test stand and CompactRIO.

Fig. 8. Differential flux density for simulated rotor bar fault. (a) Stator
referred. (b) Rotor referred. Fig. 10. Experimental air gap flux wave of the test motor. (a) Stator referred.
(b) Rotor referred.

into the air gap flux due to the broken rotor bar is given by
 ∞ IV. IMPLEMENTATION AND EXPERIMENTAL RESULTS
 π  n +1 
2  m  1
In the previous section, fundamental principles behind detec-
Bbr (αs ) = Br ν − sin k cos k
R k R j =n tion of different faults were outlined. In this section, we add
(ν ) k =1
    implementation detail and focus on fault discrimination, quanti-
2πj 2πj zation, and localization. The objective of the research presented
× αs − − (1 − s)ωt cos ωt (1 ± ν(1 − s)) ± ν
R R in this paper was to develop a comprehensive online condition
∞
1     monitoring system for large specialized induction motors and
2π 2π(n + 0.5)
+ sin k cos k αs − − (1 − s)ωt to validate it on a laboratory scale motor. The developed system
k R R should take advantage of the advanced instrumentation by an
k =1
  HEFS array inside the motor air gap [34].
2π(n + 0.5)
× cos ωt (1 ± ν(1 − s)) ± ν . (15) The test motor was instrumented by 36 HEFS around the
R
stator circumference as shown in Fig. 9(a) (where an extra wire
The additional components given by (15) are summed in the is used to emulate a stator fault, as will be explained later).
air gap with the healthy motor components given by (2) and (9). Fig. 9(b) shows the laboratory test bed, including a 10-kW test
Analysis of expression (15) with respect to time reveals afore- induction motor, a matching size DC motor acting as a load,
mentioned slip sidebands around the fundamental frequency. and the real-time data acquisition and signal processing system
Expression (15) also suggests that space harmonics of all based on CompactRIO platform from National Instruments (NI).
harmonic numbers k will be present in the air gap flux wave, The AC motor was driven by an insulated-gate bipolar transistor
unlike expressions (2) and (9), which contain only space har- inverter based on Semikron stacks with a PC interface module.
monics number kp, where k is odd integer. Field-oriented control for the drive was implemented in C++ on
The effect of the broken rotor bar on air gap flux density is a TMS320F28335 processor.
illustrated in Fig. 7. Field distortion due to the broken rotor bar, Real-time condition monitoring algorithm was developed
which looked significant in Fig. 6, is not that obvious in Fig. 7. using NI LabView real-time library for CompactRIO. It was
This is because the distorted rotor flux shown in Fig. 6 sums in expected that each fault is detected at an early stage and dis-
the air gap with a stronger stator flux. criminated from other faults. A quantitative measure for each
To improve sensitivity to the rotor bar fault, in a multipole fault and its location, relative to either stator and rotor, are to be
motor, it is possible to find the difference between air gap flux determined, as to assist in the motor maintenance.
densities under the like poles. The distortion due to the broken The stator referred flux density was directly measured by the
bar appears only under one pole, while the rest of the flux is 36 HEFS installed on the stator. Fig. 10(a) shows a 3-D plot
identical under both. This removes the main flux components of the experimentally measured air gap flux density referred to
and highlights the rotor bar distortion, as shown in Fig. 8. stator. To obtain the rotor referred air gap flux density, a referral
MIRZAEVA et al.: COMPREHENSIVE DIAGNOSTICS OF INDUCTION MOTOR FAULTS BASED ON MEASUREMENT OF SPACE AND TIME
Fig. 11. Time harmonic magnitudes versus space angle. (a) Stator turn-to-turn
short. (b) Static eccentricity.
algorithm was implemented in CompactRIO FPGA, which used
pulses from the position encoder to shift the virtual “moving”
sensor array relatively to the stationary sensor array, and to
interpolate the measurements between the sensors. The result
produced by this algorithm is illustrated in Fig. 10(b).
Note that, without any special filtering, the experimentally
measured flux density signals were remarkably “clean” and very
similar to the corresponding simulation plots shown in Fig. 2(a)
and (b). This is due to the filtering effect of the air gap inductance
and to the quality of the data acquisition system.
The previously discussed faults were divided into two groups:
stationary relative to stator (stator winding shorts, static ec-
centricity) and stationary relative to rotor (dynamic eccentric-
ity, rotor bar faults). The first group was analyzed using the
stator referred air gap flux density [see Fig. 10(a)], and the
second group—using the rotor referred air gap flux density [see
Fig. 10(b)].
A. Stator Winding Faults and Static Eccentricity
As was discussed in Sections III-A and III-B, both stator
shorts and static eccentricity can be derived from the magnitude
of the first time harmonic of air gap flux density, seen as a
function of space angle. This is illustrated by simulation plots
appearing in Fig. 11(a) and (b). To avoid the influence of the
two other, rotor referred faults, magnitudes of the first time
harmonics have to be estimated over p fundamental periods, or
multiples of p. This removes the effect of dynamic eccentricity,
which, according to expression (13), is reflected in p−1 p+1
p and p
time harmonics. Also, since the rotor makes an approximately
full revolution over p periods of fundamental, then the effect of
the rotor bar fault on the first time harmonics will average out.
Now, to discriminate between static eccentricity and stator
short, we observe from Fig. 11 that a stator short manifests
itself as a rise in the fundamental magnitude over the span of
the faulted turn. If the winding has an integer number of slots
per phase per pole, which is common, then the span of each
turn is 360◦ /(2p), or 90◦ for a four-pole motor. Comparing
the first time harmonic magnitudes of the adjacent sensors will
show a step up and after 90◦ —a step down, corresponding to
the beginning and the end of the faulted turn, respectively.
Static eccentricity, on the other hand, affects the first time har-
monic magnitude differently. According to (13), the magnitude
of the first time harmonic varies as Bs1m
[1 + δmst
cos (αs − αst )].
The static eccentricity magnitude, therefore, corresponds to the
2663
Fig. 12. Experimental diagnostics of the test motor faults. (a) Stator turn-to-
turn fault. (b) Static eccentricity.
magnitude, and the location of the minimum air gap to the phase,
of the first space harmonic of the first time harmonic.
To test these ideas, an additional coil consisting of three turns
was wound on top of the normal stator winding, between slot 1
and slot 10, as can be seen in Fig. 9(a). These three turns were
so wired that it was possible to short one, two, or all three turns.
The motor was run under a moderate load, when the shorts were
sequentially applied. The first time harmonic magnitudes were
continuously estimated for all sensor over each rotor revolution.
Differences between these values for the adjacent sensors (i.e.,
36th to 1st, 2nd to 1st, 3rd to 2nd, etc.) shown in Fig. 12(a)
clearly indicated the beginning and the end of the shorted turn.
Moreover, the number of shorted turns could be easily differen-
tiated as well, as seen in Fig. 12(a).
For the same motor, originally considered to be healthy, mag-
nitude and phase of the first space harmonic of the first time har-
monic magnitude were estimated, as shown in Fig. 12(b). The
magnitudes obtained over many rotor revolutions were closely
on top of each other, reliably indicating a relative gap variation
of 4.3% and minimum gap at 19◦ (relative to the sensor marked
as #1). This 19◦ corresponded to the bottom of the stator. The
rotor was checked for loose fitting of the bearings, and after
reassembly, the static eccentricity reduced to below 1%.
Note that static eccentricity results in a sinusoidal distribution
of the sensor magnitude differences; hence, the algorithm will
not confuse it with a stator short. A stator short, on the other
hand, will demonstrate some degree of the first space harmonic
indicating static eccentricity. However, once detected, a stator
short takes priority over other faults, and its influence on the
static eccentricity detection becomes irrelevant.
B. Dynamic Eccentricity and Rotor Bar Fault
According to (14), when referred to rotor, the dynamic ec-
centricity component modulates the air gap flux density at low
(slip) frequency, and static eccentricity component—at ±ω/p.
To avoid the influence of static eccentricity on dynamic eccen-
tricity estimation, the rotor referred flux density can be averaged
over p periods of fundamental (or a full rotor revolution). The
resulting average flux density is given by
  
B (αr ) = Bs1 m
sin (ψslav − pαr ) 1 + δm dn
cos αr − αdn (16)
where ψslav
is average value of the slip term sωt over the rotor
revolution.
2664
Fig. 13. Use of differential rotor referred flux density. (a) Dynamic eccentric-
ity. (b) Dynamic eccentricity/broken bar.
We now look at the air gap flux density as a function of αr
and manipulate (16) as
B m δ dn
B (αr ) = Bs1
m
sin(ψslav − pαr ) + s1 m {sin [ψslav −
2
  av 
(p − 1) αr − α dn
+ sin ψsl − (p + 1) αr + αdn . (17)
It is clear from (17) that the air gap flux density contains
a space harmonic number p, due to the main flux wave, and
space harmonics number (p − 1) and (p + 1), due to dynamic
eccentricity. For a 2p-pole motor, there are p periods of the main
wave over the rotor circumference.
Because of the low resolution of space harmonics, the main
harmonic p may affect the much smaller side harmonics (p −
1) and (p + 1). A good solution to this problem is, from the
beginning, to use the flux density difference ΔB (αr ) between
the like poles of the 2p-pole motor, instead of B (αr ).
Such a flux density difference ΔB (αr ) for a four-pole motor
is illustrated by a simulation plot in Fig. 13(a). In ΔB (αr ), the
component related to the main wave is identical between the
like poles and will cancel out, while the odd space harmonic
components (p − 1) and (p + 1) will double, resulting in the
following average flux density difference over a rotor revolution:
  ing to the mixed first and third harmonic curves in Fig. 15(a)]
ΔB (αr ) = Bs1 δm sin ψslav − (p − 1) αr − αdn
m dn
 
] + sin ψslav − (p + 1) αr + αdn . (18)
Dynamic eccentricity often accompanies a rotor bar fault. A
combination of the two faults (dynamic eccentricity and rotor
bar), reflected in the flux density difference between the like
poles, is illustrated by a simulation plot in Fig. 13(b). Now, the
task is to differentiate between the two.
To perform the relevant experiments, dynamic eccentricity
was introduced by using rotor weights and inserts between shaft
and bearings [see Fig. 14(a)], while the rotor fault was intro-
duced by first understanding the shape of the bars on a spare
rotor [see Fig. 14(b)] and then drilling a hole in the test rotor
[see Fig. 14(c)].
To determine dynamic eccentricity, the differential rotor re-
ferred air gap flux density, averaged over a rotor revolution,
was analyzed for space harmonics, as shown in Fig. 15(a). If
magnitudes and phases of the first and third space harmon-
ics are denoted as H1 , ϕ1 and H3 , ϕ3 , respectively, then,
according to (18), the relative dynamic eccentricity equals
dn
δm = (H1 + H3 )/2 and its angular location on the rotor is
IEEE TRANSACTIONS ON INDUSTRY APPLICATIONS, VOL. 53, NO. 3, MAY/JUNE 2017
Fig. 14. Physical emulation of the induction motor faults. (a) Rotor weights
and bearings. (b) Rotor bar shape. (c) Rotor bar damage.
Fig. 15. Experimental results for rotor referred faults. (a) Dynamic eccentric-
ity. (b) Broken bar.
αdn = (ϕ1 − ϕ3 )/2. Subtraction of the harmonic phases re-
moves their dependence on the rotor slip.
The resulting dynamic eccentricity estimated over multiple
periods is shown in Fig. 15(a) by sinusoidal waves on top of
each other, which correspond to the air gap variation due to
dynamic eccentricity shown relative to the rotor. In this experi-
ment, the dynamic eccentricity as low as 0.2% was successfully
detected, and the location of the minimum gap was determined
as 280◦ relative to the marker on the rotor. While the “humps”
or maxima/minima of the differential flux density [correspond-
slowly moved relative to the rotor at slip frequency, the estimated
air gap variation [the sinusoidal waves in Fig. 15(a)] remained
stationary to the rotor. This can be also used to differentiate
dynamic eccentricity from the rotor bar fault, as illustrated in
Fig. 15(b).
In the experiment illustrated in Fig. 15(b), rotor bar #8 was
damaged, creating a disturbance between bars #7 and #9. Local
variations of the differential flux density changed randomly, and
the components related to dynamic eccentricity moved slowly
relative to the rotor. But the positive and the negative pulses due
to the rotor bar fault were always in the same position relative
to the rotor.
To detect the rotor bar fault in an automatic manner, a running
time average was calculated for 28 discrete positions around the
rotor circumference and compared to a set bipolar threshold. The
anomalies that kept crossing the thresholds were always in the
same locations relative to the rotor: at 280◦ and, symmetrically,
at 100◦ relative to the marker on the rotor.
Further illustration of the rotor bar detection technique ap-
pears in Fig. 16, where the experimentally measured rotor re-
ferred differential flux density ΔB (αr ) is shown by color maps
MIRZAEVA et al.: COMPREHENSIVE DIAGNOSTICS OF INDUCTION MOTOR FAULTS BASED ON MEASUREMENT OF SPACE AND TIME
Fig. 16. Differential flux density shown by color diagrams. (a) Load 80%
rated healthy rotor. (b) Load 80% rated faulty rotor. (c) Load 50% rated faulty
rotor. (d) Load 20% rated faulty rotor.
for three load cases: 20%, 50%, and 80% of the rated load. The
80% load case is represented by two maps: one for a healthy
rotor case [see Fig. 16(a)] and the other one for a faulty rotor
case [see Fig. 16(b)]. Each color map is essentially a 3-D sur-
face plot of ΔB (αr ), as in Fig. 13, but viewed from above.
From that angle, a 3-D surface is seen as a 2-D color map, and a
brighter/darker color corresponds to a higher/lower magnitude,
respectively. In all four plots in Fig. 16, scaling and color settings
with respect to the flux density magnitude were identical.
In Fig. 16(b), one can easily see the anomaly associated with
the broken rotor bar. It is slowly pulsating in time but always
appears in the same angular location. The anomaly of the op-
posite sign appears in the symmetrical location. In a four-pole
motor, a full pole set (a+ b− c+ a− b+ c− ) repeats itself twice, and
the difference between pole set 2 and 1 is the negative of the
difference between pole set 1 and 2. Therefore, it is not possible
to tell from Fig. 16(b) which of the two anomalies corresponds
to the broken bar, and both locations will need to be inspected
for maintenance. In the case of a six-pole motor, by having three
differential signals, it is possible to exclude this duplication and
to establish the location of the broken rotor bar in a unique
manner.
The color spots in Fig. 16 correspond to the “humps” seen
in Fig. 15(a), which are due to the dynamic eccentricity. They
are pulsating as well as moving in time and hence can be easily
distinguished from the anomalies related to the rotor bar fault.
From Fig. 16(d) and (c), it is clear that, as the load reduces, it
becomes harder, yet still possible, to identify the rotor fault.
Visualization of the flux density similar to that shown in
Fig. 16 can be used as an additional tool for fault detection and
localization. In summary, all four types of faults were success-
fully detected, in isolation and in the presence of each other, and
their magnitudes and locations were determined. Therefore, the
principles of the comprehensive condition monitoring proposed
in this paper, were successfully validated. Additionally, it has
2665
been noted that variable speed and load conditions had very lit-
tle influence on the accuracy of the fault diagnosis, due to very
short time frames used in the underlying algorithms. Due to the
use of the main flux and a high-quality data acquisition system,
inverter switching had very little effect on the measurements.
V. CONCLUSION AND CONTRIBUTIONS
The paper has proposed an advanced instrumentation of pro-
duction critical induction motors, which includes an array of
Hall effect sensors installed around the stator circumference in-
side the motor air gap. Flux density measurements performed
with such an instrumentation, have both time and space dimen-
sions, offering new capabilities to the condition monitoring.
Fundamental theory behind the AC motor faults and their
manifestation in the motor air gap flux has been reviewed in the
paper, illustrated by simulations and 3-D plots, with an emphasis
on having both time and space dimensions, and their potential
use for the advanced fault detection.
Based on this theory, effective methods and algorithms have
been proposed to diagnose and differentiate between stator
winding faults, static and dynamic eccentricity and rotor bar
faults. Additionally, the paper has shown how to determine the
severity and the exact location of each fault relatively to either
stator or rotor.
Based on the principles presented in the paper, a comprehen-
sive condition monitoring system has been developed, based on
using NI CompactRIO real-time platform. The proposed algo-
rithms have been implemented and validated experimentally.
The proposed online condition monitoring system has shown
high sensitivity to faults, immunity to noise, and tolerance of dy-
namic variations of the motor conditions and is, therefore, very
suitable for dynamic applications of inverter-fed large induction
motors with high-reliability requirements.
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Galina Mirzaeva (M’05) received the B.Eng. degree
in electronic engineering and the Ph.D. degree in elec-
trical engineering from South Ural State University,
Chelyabinsk, Russia, in 1990 and 1997, respectively.
From 2004 to 2010, she was a Researcher with
CRC-Mining, Brisbane, Australia. Since 2010, she
has been with the School of Electrical Engineering
and Computer Science, The University of Newcastle,
Callaghan, NSW, Australia. Her research interests in-
clude electric machines, electric drives, modulation,
and control of power electronics.
Dr. Mirzaeva served as the Chair of the Mining Industry Committee of the
IEEE Industry Applications Society from 2009 and 2011. Since 2014, she has
been an Associate Editor of the IEEE TRANSACTIONS ON ENERGY CONVERSION.
Khalid Imtiaz Saad (M’12) received the B.Sc. de-
gree in electrical and electronic engineering from
Bangladesh University of Engineering and Technol-
ogy, Dhaka, Bangladesh, in 2009. He has been work-
ing toward the Ph.D. degree in electrical engineering
at the School of Electrical Engineering and Computer
Science, The University of Newcastle, Callaghan,
NSW, Australia, since 2012.
From 2009 to 2012, he worked in the telecommu-
nication industry in Bangladesh. His research inter-
ests include electric machines, electric drives, fault
detection, and condition monitoring.
Mohsen Ghaffarpour Jahromi (M’16) received the
B.Eng. degree in electrical engineering from Shiraz
University, Shiraz, Iran, in 1998, and the M.Sc. de-
gree in electrical engineering from Amirkabir Uni-
versity of Technology, Tehran, Iran in 2001. He has
been working toward the Ph.D. degree in electrical
engineering at the School of Electrical Engineering
and Computer Science, The University of Newcastle,
Callaghan, NSW, Australia, since 2013.
In 2001–2011, he worked as an Electrical Engineer
for Moshanir, IranKhodro, and BooAli Petrochemi-
cal companies and in 2008–2010 as a Consultant with Tehran University. In
2011–2013, he was a Research Assistant at The University of Newcastle. His
research interests include control and diagnosis of power electronics, electric
machines, and power systems.