CoDIT'13

Diagnosis of Rotor Broken Bar in Induction Machines

under Time–Varying Condition
Y. Gritli*,**, L. Zarri**, IEEE, Senior Member, C. Rossi**, IEEE, Member,
F. Filippetti**, IEEE, Member, D. Casadei**, IEEE, Senior Member.
* University of Bologna,
Dipartimento di Ingegneria dell’Energia Elettrica e dell’Informazione «Guglielmo Marconi», Italy.
yasser.gritli@unibo.it, luca.zarri2@unibo.it,
claudio.rossi@unibo.it, fiorenzo.filippetti@unibo.it, domenico.casadei@unibo.it.
** University of Tunis El Manar,
Department of Electrical Engineering, LARA – National Engineering School of Tunis, Tunis, Tunisia.
yasser.gritli@esti.rnu.tn.

Abstract— The diagnosis of rotor broken bars in induction
machines (IMs) is commonly carried out by means of Motor
Current Signature Analysis, i.e., by classical spectrum analysis of
the input currents. Specifically in case of broken bars, the
amplitude of the left and right sideband components of a phase
current is monitored in order to sense their signature. However
Motor Current Signature Analysis, based on Fourier Analysis,
has some drawbacks that are still under investigation.
The main concern is that an efficient frequency transformation
cannot be made under speed–varying condition, since slip and
speed vary and so does the left and right sideband frequency
components. In this paper, an advanced use of the Discrete
Wavelet Transform is proposed to extract the contribution of the
most relevant rotor fault components, under time-varying
condition with high accuracy. Experimental results show the
validity of the developed approach, leading to an effective
diagnosis method for broken bars in IMs operating under non-
stationary conditions .
Keywords—Fault diagnosis; rotor broken bar; induction motor;
time-varying condition; wavelet analysis.
I. INTRODUCTION
Fault detection and diagnosis at incipient stage in induction
machines have attracted the attention of researchers, since they
allow reducing maintenance costs and down-time.
Investigations on different failure modes in induction motors
have revealed that 19% of the overall motor faults are related
to the rotor part [1]. Rotor faults can be initiated by thermal
stress, electromagnetic forces, electromagnetic noise and
vibration, centrifugal forces, environmental stress, mechanical
stress owing to lose laminations, fatigue parts, bearing
failures, or defects in connections. A detailed analysis of this
type of fault can be found in [2]. Cracked end ring or Broken
bar share a percentage of only 10% of the total induction
machine failures, but its detectability at an early stage still
remain a key issue. For several applications, the motors
operate continuously in time-varying conditions. In these
contexts, the classical application of Fourier Analysis for
processing variables fails as slip and speed vary. Thus the fault
frequency components are spread over a bandwidth
proportional to the speed variations. Among different
solutions, high resolution frequency estimation [3], Signal
Demodulation (SD) technique [4], and more recently High
order spectral analysis [5] have been developed to reduce the
effect of the non periodicity on the analyzed signals. These
techniques, based on FA, give high quality discrimination
between healthy and faulty conditions but do not provide time
domain information. This shortcoming was overcome by
Wavelet Analysis, which provide greater resolution in time for
high frequency components and greater resolution in
frequency for low frequency components. Wavelets have a
window that automatically adjusts to give the appropriate
resolution observed on approximations and details signals.
This method was used with different approaches for the
diagnosis of rotor anomalies in induction machines such as
wavelet ridge method [6] or wavelet coefficients analysis [7].
Later, approximations and details signals were investigated for
reproducing the instantaneous evolution of rotor fault
frequency components [8]-[9] and quantifying the fault extents
[10], [11]. More recently, new interesting approach based on
stationary wavelet packet transform, has been proposed in [12]
for the same purposes. In the majority of the listed
contributions, tracking rotor fault frequency components on
multi frequency bands complicates the diagnosis process. The
use of a single detail signal in [6] and more recently a single
approximation signal in [11], whose level is imposed by the
sampling frequency, were proposed for the same purposes.
Other quadratic transforms, such as the Wigner-Ville
Distribution , suffers from the same constraint [13]. This
limitation can be overcome by new advanced time-frequency
distributions such as Smoothed Pseudo Wigner-Ville
distributions [13], Choi-Williams distribution [13], [14], and
Zhao-Atlas-Marks distribution [15]. However the dependency
on an appropriate choice of the sampling frequency penalizes
these approaches, because the band of the fault harmonic
component is not known in advance, due to the time varying
operating conditions. On the other hand, the change of the
sampling frequency in order to isolate rotor fault frequency
components, as proposed in the most of the previous works,

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 CoDIT'13

complicates considerably the processes of rotor fault detection

based on wavelet analysis. d1(n)
H.P.F 2
In this paper, a simple and effective method is presented to
i(n)
solve the above open points in time-varying operating d2(n)
H.P.F
conditions. The technique has been first investigated for the 2

diagnosis of stator and rotor electrical faults in Doubly Fed L.P.F 2

a1(n)

Induction Machine (DFIM) [16-17]. Hence, the proposed

contribution is intended to be a validation of this new 1st Level L.P.F 2 a2(n)
decomposition
approach, based on DWT, applied to the detection of rotor bar
breakage. This paper is organized as follows. Section II 2nd level
presents a diagnosis approach for fault detection based on an decomposition
Fig. 2. Wavelet Transform using a filter banks
improved use of DWT. Experimental results for rotor broken-
bar fault analysis under speed transient conditions are
presented and commented in section III. Finally conclusions the stator current shows a series of fault components at the
and perspectives are given in section IV. following frequencies:

II. FAULT FREQUENCY TRACKING – THE PROPOSED
APPROACH
A. Rotor fault frequency propagation
Like any other rotating electrical machine, the squirrel cage
induction motor is subjected to both electromagnetic and
mechanical forces symmetrically repartitioned. Induction
machines are known as highly symmetrical electric systems,
due to the rotating magnetic field, so any type of anomaly
modifies their symmetrical proprieties. In healthy conditions
only the fundamental frequency f exists in stator currents.
If the rotor part is damaged, the rotor symmetry of the
machine is lost and a reverse rotating magnetic field related to
an inverse sequence component of the rotor currents, at
frequency –sf (s denotes the slip), appears. This inverse
sequence is reflected on the stator side and produces the
frequency component (1−2s)f. Consequently a torque ripple
and a speed ripple are generated at frequency 2sf, which
modulates the rotating magnetic flux [2]. This modulation
produces two current components, i.e., an additional left-side
component at (1−4s)f and a right side component at (1+2s)f.
Following this interaction process, the frequency content of
Rotor Stator Mechanical
freq. freq. speed
freq.
Frequency Propagation
Time-Frequencies Propagation
fbrb=(1±2ks)f (with k=1,2,3,…). (1)
The propagation principle of this chain of frequency
components is illustrated in Fig. 1. Under speed–varying
condition, the sideband components expressed by (1), whose
amplitudes have to be monitored for diagnostic purposes, are
spread in frequency. It turns out that the direct application of
the classical FA to machine stator currents is not effective. A
simple solution for an efficient diagnosis of rotor broken bars
for induction machines, under speed-varying conditions, is
presented in the next section.
B. Rotor fault frequency tracking under time-varying
operating conditions
The main feature of wavelet analysis is its high
multiresolution analysis capability. Wavelet analysis is a
signal decomposition, using successive combinations of
approximation and detail signals. The procedure for two-level
decomposition is shown in Fig. 2, where (LPF) and (HPF) are
respectively a low pass filter and a high pass filter. By using
Nyquist sampling criterion, the signal is then down sampled
by factor 2. The coefficients a1 and d1 represent respectively
approximation and detail signals at first level of
decomposition. The procedure is repeated until the original
signal is decomposed to a pre-defined decomposition level.
With the well known dyadic down sampling procedure,

±3sf
(1+2s)f
frequency bands of the jth level decomposition are related to
2sf
(1 - 2s)f
the sampling frequency fs. Hence, these bands given by [0, 2-
(J+1)
fs] or [2-(J+1)fs , 2-Jfs] cannot be changed unless a new
±sf acquisition with different sampling frequency is made [18].
f This fact complicates any fault detection based on DWT,
±1/sf* ±1/3sf* Rotor particularly in speed-varying condition. In this paper, an
periods
efficient solution to overcome this limitation is proposed.
1/f 1/(1-2s)f 1/(1+2s)f Stator
periods Hereafter the sampling frequency fs is assumed equal to
3.2kHz, and a nine level decomposition (J=9) is chosen to
Mechanical
1/2sf speed
periods cover the frequency bands in which the fault component is
Time Propagation tracked. With regard to the type of mother wavelet, a 10th
Fig. 1. Time-frequency propagation of rotor fault components: the sign (–) in
order Daubechies family is chosen, although other families
time domain corresponds to inverse current sequence components. (Dmeyer and Coiflet) also allow a clear detection of the

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TABLE I

''a j'' signa l

FREQUENCY BANDS AT EACH LEVEL
Approximations Frequency Details Frequency Time
«aj » bands (Hz) « dj » bands (Hz)
a9 : [0 – 3.125] d9 : [3.125 – 6.25]
a8 : [0 – 6.25] d8 : [6.25 – 12.5] Δn TIN=1

''a j'' signal

a7 : [0 – 12.5] d7 : [12.5 – 25]

seq uences
TIN=2
a6 : [0 – 25] d6 : [25 – 50] δn TIN=3
a5 : [0 – 50] d5 : [50 – 100]
a4 : [0 – 100] d4 : [100 – 200]
a3 : [0 – 200] d3 : [200 – 400]
a2 : [0 – 400] d2 : [400 – 800] Samples
a1 : [0 – 800] d1 : [800 – 1600] Fig. 4. Principle of time interval calculation, TIN: Time Interval Number.

phenomenon. Under healthy conditions, only the fundamental
component f exists in the stator currents. If the rotor part is
damaged, the first fault frequency component that occurs in
the stator currents is (1–2s)f (Fig. 1).
In time varying conditions the magnitudes of this fault
component cannot be detected through a classical frequency
analysis since it is spread in a wide frequency range. A simple
processing of the stator phase current allows shifting the fault
component (1-2sf) to a prefixed frequency band. In such a
way, all the information related to the fault is isolated and
confined in a single frequency band. More in details, a
frequency sliding fsl is applied to the stator phase current at
each time slice as shown in (2), so that the harmonic
component of interest is moved to a frequency band in which
the fault component will be tracked. Then the real part of the
shifted signal is analyzed by means of DWT.
− j 2π f sl t ⎤
I s l ( t ) = R e ⎡ is a ( t ) e
⎣ ⎦
The choice of fsl is made by taking into account the speed
range of the considered transient. The evaluation of fsl is made
in such a way that the contribution of the fault frequency
frequency interval [0, 3.125] Hz corresponding to
approximation a9 (see Table I). The proposed approach was
applied to the stator current with fsl=45.5Hz to isolate the
contribution of the (1-2s)f and fsl=48.3Hz to isolate the
contribution of the (1+2s)f component, which allow a great
precision in filtering the effects of the fundamental component
and of other harmonics around the fault component of interest.
With regard to the type of mother wavelet, the use of low
order Daubechies mother wavelet (db10) has provided
satisfactory results. Several types of mother wavelets
(Daubechies, Coiflet, and Symlet) were tested in the analysis.
Regardless of its different properties, the qualitative analysis
of the results showed that no significant advantages appeared.
Once the state of the machine has been qualitatively
diagnosed, a quantitative evaluation of the fault degree is
necessary. For this purpose a dynamic multiresolution mean
power indicator mPaj at different resolution levels j was
(2)
introduced as a diagnostic index to quantify the extent of the
fault. This index is defined as shown in (3):
Δn
1
∑ (3)
2
m P a j ( isa ) = a j (n)
Δn n =1

component, for the whole considered slip range, is shifted into

where aj(n) is the approximation signal of interest (a9 in our
one of the intervals [0, 2-(J+1)fs] or [2-(J+1)fs , 2-J fs] and
case), Δn denotes the number of samples and j the
consequently the DWT is applied to analyze only the
decomposition level. The fault indicator is periodically
frequency band of interest. In this way, the detection and
calculated over time, every 400 samples using a window of
quantification get easier. As illustrated in Fig. 3, the DWT
6400 samples as depicted in Fig. 4 where δn is a set of 400
analysis divides the signal into logarithmically–spaced
samples and Δn a set of 6400 samples. These values were
frequency bands. From this bandwidth segmentation, it is
regulated experimentally to reduce variations that can lead to
possible to realize that the approximation aJ and detail dJ have
false alarms in healthy operating conditions of the motor.
the same and the smallest frequency band width equal to
fsam/2J+1. Moreover, approximation aJ is less subjected to the When the fault occurs, the energy distribution of the signal is
overlapping effect than dJ due to its proximity to 0Hz [19]. changed in the resolution levels related to the characteristic
frequency bands of the default. Hence, the energy excess
Finally, approximation a9 was chosen for extracting the
localized in the approximation is considered as an anomaly
contribution of the fault component (1-2s)f. Therefore the
indication in case of rotor broken bar.
choice of fsl is made to shift these fault components inside the

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-a-
20

10

Current (A)
0

-10

-20

0 1 2 3 4 5 6 7 8 9 10
Time (s)

-b-
1

0.5
Fig. 5. Test bed photo (left). The faulty rotor with one drilled rotor bar (right).

a9
0

-a- -b- -0.5

1510 1510

1500 1500 -1
Speed (rpm)

Speed (rpm)

1490 1490 0 1 2 3 4 5 6 7 8 9 10
Time (s)
1480 1480
Fig. 7. DWT analysis of stator phase current under speed-varying condition,
1470 1470
for tracking the fault component (1-2s)f ; Healthy condition.
1460 1460
-a-
1450 1450
0 2 4 6 8 10 0 2 4 6 8 10
Time (s) Time (s) 20

-c- -d- 10

Current (A)
20 20 0

10 10
Current (A)

Current (A)

-10

0 0
-20

-10 -10 0 1 2 3 4 5 6 7 8 9 10
Time (s)
-20 -20
-b-
0 2 4 6 8 10 0 2 4 6 8 10
Time (s) Time (s) 1

Fig. 6. Instantaneous values of a-b) speed and c-d) stator phase currents under 0.5

healthy and one rotor broken bar respectively.

a9

-0.5

-1
III. EXPERIMENTAL RESULTS 0 1 2 3 4 5 6 7 8 9 10
Time (s)

In order to test the effectiveness of the proposed rotor fault
diagnostic procedures a test bed was realized. A 7.5 kW, 2
poles pair induction machine was used (see Appendix). Two
rotors are available, one healthy and one with a drilled rotor
bar. The induction machine is coupled to a 9kW separately
excited DC machine controlled in speed. This allows to realize
speed transients. Photos of the experimental test bed are
shown in Fig. 5. Machine currents and speed are sampled at
3.2 kHz with a time duration of 10 seconds. A smaller number
of points could be used without affecting the performances of
the proposed procedure. The induction motor has been initially
tested in healthy conditions during a prefixed transient from
1496 rpm to 1460 rpm, corresponding to slip ranges from
aJ dJ
[0 : fsam/2J+1] [fsam/2J+1 : fsam/2J] [fsam/2J : fsam/2J-1]
Fig. 3. The DWT filtering process; the overlapping effect.
Fig. 8. DWT analysis of stator phase current under speed-varying condition,
for tracking the fault component (1-2s)f ; Healthy condition.
s=0.002 to s=0.026. Another test, for the same speed transient
was made with the machine operating with one rotor broken
bar. The instantaneous values of speed and phase currents,
corresponding to the healthy and faulty cases, are depicted in
Fig. 6 (a-b) and Fig. 6 (c-d) respectively.
As explained in section III, the frequency band of interest for
tracking the (1-2s)f and (1+2s)f fault components contribution
is the approximation signal a9. For the sake of clarity only the
a9 signal will be reported. In healthy condition, the 9th
approximation signal a9, resulting from the wavelet
decomposition of the stator phase current, does not show any
dJ-1 d1 kind of variation (Fig. 7-b). This indicates the absence of the
fault component (1-2s)f, leading to diagnose the healthy
condition of the motor under speed-varying condition.
Frequency However, in faulty condition (one rotor broken bar)
[fsam/4 : fsam/2]
approximation a9 shows significant variation in magnitude
observed in Fig.8-b. During the first time period (t=0s to
t=2s), under a constant speed of 1496 rpm, the 9th

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-a-
0.5
20 Healthy Broken bar
0.45
10
Current (A)

0 0.4

-10 0.35

-20
0.3
0 1 2 3 4 5 6 7 8 9 10

mPa9
Time (s)
0.25
-b-
1.2
0.2
0.8

0.4 0.15
a9

0
0.1
-0.4
0.05
-0.8

-1.2 0
0 1 2 3 4 5 6 7 8 9 10 0 10 20 30 40 50 60 70 80
Time (s)
TIN
Fig. 9. DWT analysis of stator phase current under speed-varying condition, Fig. 11. Cyclic values of the fault indicator mPa9, resulting from the 9th
for tracking the fault component (1+2s)f ; Healthy condition. wavelet decomposition level of the signals Isl under healthy and rotor broken
-a- bar (red and blue) during the tracking of (1-2s)f component.
20
0.125
Current (A)

10
Healthy Broken bar
0

-10 0.1

-20

0 1 2 3 4 5 6 7 8 9 10
Time (s)

-b-
mPa9

1.2

0.8

0.4 0.05
a9

-0.4

-0.8

-1.2
0 1 2 3 4 5 6 7 8 9 10
Time (s)
0
Fig. 10. DWT analysis of stator phase current under speed-varying condition, 0 10 20 30 40 50 60 70 80

for tracking the fault component (1+2s)f ; One rotor broken bar. TIN

Fig. 12. Cyclic values of the fault indicator mPa9, resulting from the 9th
wavelet decomposition level of the signals Isl under healthy and rotor broken
bar (red and blue) during the tracking of (1+2s)f component.
approximation signal, representative of the (1-2s)f frequency
component, do not show any important variations. This is due
of the stator phase current, under healthy (Fig. 9-b) and rotor
to the fact that at low load level (under 4% of the nominal
broken bar (Fig. 10-b) reproduce clearly the magnitude
torque) the fault frequencies are practically superimposed to
evolution of the fault component (1+2s)f dynamically over
the fundamental and magnitudes are not detectable. During
time. If we confine our attention on the approximation signal
deceleration (around t=2s), a9 shows particular magnitude
a9 depicted in Fig. 7-b and Fig. 10-b, we can notice that the
escalation proportional to the abrupt deceleration until
rotor fault signature issued from the fault component (1-2s)f is
reaching a quasi steady-state magnitude (under 66% of the
more relevant than the corresponding one related to the
nominal torque). More in detail, the oscillations observed in
(1+2s)f component. This is mainly due to the damping
the signal a9, with quasi-constant amplitude, follow a
machine-load inertia effect on high order rotor fault
characteristic pattern that fits the evolution in frequency of the
harmonics. The 9th approximation signal obtained from the
fault component (1-2s)f, during the speed transient. The
experimental results shows the sensitivity and the
second rotor fault signature tracked is related to the fault
effectiveness of this particular signal a9 to reproduce the
component at frequency (1+2s)f. The corresponding
contribution of the frequency components (1-2s)f and (1+2s)f
experimental results, under healthy and rotor broken bar are
under large speed varying conditions. As introduced in the
presented in Fig. 9 and Fig. 10. The same observations as for
previous section, a fault indicator based on a cyclic mean
the signature of the side band (1-2s)f under the considered
power calculation of the approximation a9, resulting from the
rotor unbalance, are reached; the comparison of the
wavelet decomposition applied to one stator current, has been
approximation signal a9, issued from wavelet decomposition
proposed to evaluate quantitatively the degree of the fault

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extent. The cyclic evolution of the fault indicator mPa9,
representative of the contributions of the fault components
components (1-2s)f and (1+2s)f , issued from the experimental
tests (Figs. 7-10), under healthy and rotor broken bar
conditions are depicted in Fig. 11 and Fig. 12 respectively. In
healthy condition, and under large range of speed variations,
mPa9 does not show any significant change. Consequently, the
indicator values for the healthy motor are considered as a
baseline to set the threshold for discriminating healthy from
faulty conditions. Under rotor broken bar condition the
calculated mPa9 indicator shows a noteworthy increase. The
large energy deviation observed in faulty condition proves the
effectiveness of the proposed approach, since the transient
speed motor operation does not disturb the fault assessment, in
comparison with the healthy case.
IV. CONCLUSION
A diagnosis procedure for detection and quantification of rotor
broken bar in squirrel cage motor, in speed-varying condition
is proposed here. The presented approach is based on an
improved use of the DWT by a simple pre-processing of the
stator phase current. Once the state of the machine is
qualitatively diagnosed, a cyclic time-frequency fault indicator
was introduced to quantify the fault extent. It is obvious that
the method is particularly advantageous even when the fault
component of interest is very close to the fundamental one or
in case of other faults that would produce their appearance of a
peculiar fault frequency. The proposed approach allows, with
high precision, the extraction of the contribution of the most
relevant rotor frequency components separately.
Experimental results demonstrate the effectiveness of this new
approach for the detection of rotor broken bar in squirrel cage
motor, under time varying conditions. Eventually, the
technique can be extended to the investigation of mixed
mechanical or/and electrical fault conditions.
V. APPENDIX
Rated data Value
Rated Power kW 7.5
Nominal stator current A 15.3
Rated stator voltage V 380
Rated frequency Hz 50
Rated speed rpm 1440
Stator phase resistance Ω 0.54
Stator inductance mH 88.4
Pole pairs 2 Automation and Motion-SPEEDAM‘2010, Jun. 14-16, Pisa (Italy), 2010.
Number of rotor bars 28
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