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IEEE TRANSACTIONS ON ENERGY CONVERSION, VOL. 18, NO.

2, JUNE 2003 245

Application of AI Tools in Fault Diagnosis of


Electrical Machines and Drives—An Overview
Mohamed A. Awadallah, Student Member, IEEE, and Medhat M. Morcos, Senior Member, IEEE

Abstract—Condition monitoring leading to fault diagnosis and tics of the machine has proven effective in detecting faults while
prediction of electrical machines and drives has recently become of developing. These characteristics were obtained either through
importance. The topic has attracted researchers to work in during computer simulations [1]–[4] or more applicably through exper-
the past few years because of its great influence on the operational
continuation of many industrial processes. Correct diagnosis and imental testing of faulty machines. Due to their wide spreadness
early detection of incipient faults result in fast unscheduled main- in most of the industrial and domestic processes, induction mo-
tenance and short down time for the machine under consideration. tors have received the greatest part of the research work interest.
It also avoids harmful, sometimes devastative, consequences and Monitoring machine line current and observing the devia-
helps reduce financial loss. Reduction of the human experts in- tions in its time and/or frequency domain characteristics, from
volvement in the diagnosis process has gradually taken place upon
the recent developments in the modern artificial intelligence (AI) healthy to faulty operation, was the first step to be taken. This
tools. Artificial neural networks (ANNs), fuzzy and adaptive fuzzy is known as machine current signature analysis (MCSA). Other
systems, and expert systems are good candidates for the automa- characteristics to be monitored were terminal voltages, airgap
tion of the diagnostic procedures. This present work surveys the flux, speed, and shaft vibrations. Features extracted from one
principles and criteria of the diagnosis process. It introduces the or more characteristic were utilized as the fault diagnostic in-
current research achievements to apply AI techniques in the diag-
nostic systems of electrical machines and drives. dices. Such faults included stator winding faults, rotor broken
bar or end ring faults, bearing damage faults, eccentricity re-
Index Terms—Artificial intelligence, electrical machines, fault lated faults, and drive system component faults. Various digital
diagnosis.
signal processing (DSP) techniques, of which higher order sta-
tistics (HOS) received great attention in the literature, were ex-
I. INTRODUCTION tensively used for feature extraction purposes. Distinct methods
such as Park’s vector approach (PVA) for motor current were
E LECTRICAL machines and drive systems are subjected
to many different types of faults. These faults include:
a) stator faults, which define stator-winding open or short cir-
also used.
Of all possible fault types, this paper focuses on stator, rotor,
cuits and stator inter-turn faults; b) rotor electrical faults, which eccentricity, and bearing damage faults in induction motors and
include rotor-winding open or short circuits for wound rotor drive systems. Hints on some other research achievements re-
machines, and broken bar or cracked end ring faults for cage garding different motors and drives are also reported.
machines; c) rotor mechanical faults such as bearing damage,
static, and dynamic eccentricity, bent shaft, and misalignment; II. FUNDAMENTALS AND DIAGNOSTIC CRITERIA
d) failure of one or more power electronic components of the
drive control system; and e) broken, cracked, or deteriorated A. Higher Order Statistics
magnetic material for permanent magnet machines. These faults One of the novel and effective DSP tools used for feature
are reflected, and hence, could be sensed, in one or more per- extraction of the machine performance characteristic signals is
formance characteristics of the machine or drive system. The the HOS [5]–[10]. The HOS technique has been applied recently
characteristics include machine air-gap voltages and line cur- to practical problems after receiving great theoretical interests.
rents, torque dips, and pulsations, reduced average torque, ex- Advantages of estimating HOS third and above measures are
cessive losses, and lowered efficiency, acoustic noise, and ex- summarized as follows [5].
cessive heating. • Additive Gaussian noise is automatically suppressed.
Electrical machines manufacturers and users have relied for a • Nonminimum phase systems can be identified.
long time on protective relays—such as the overcurrent relay— • Information due to deviations from Gaussianity can be
to trip faulty machines. Following this scheme led to facing extracted.
some situations where the machine was badly harmed or even • Nonlinear systems can be detected and identified.
damaged, mainly due to machine tripping after the fault has In attempt to address mathematical definitions for HOS
well developed inside it. Monitoring performance characteris- measures, given a discrete time-domain signal its discrete
Fourier transform (DFT) is defined as [5]
Manuscript received October 22, 2001; revised June 24, 2002.
The authors are with the Department of Electrical and Computer Engi-
neering, Kansas State University, Manhattan, KS 66506-5204 USA (e-mail:
awadallah@ieee.org; morcos@ksu.edu).
Digital Object Identifier 10.1109/TEC.2003.811739

0885-8969/03$17.00 © 2003 IEEE


246 IEEE TRANSACTIONS ON ENERGY CONVERSION, VOL. 18, NO. 2, JUNE 2003

The second-order measure, also known as the power spectral in three-phase induction motors, the PVA pattern was recog-
density, , is given by nized to have a distinctive shape [13]. The pattern was used to
diagnose static rotor eccentricity more than 60% in both wye
and delta connected machines regardless of the load level as
long as it is less than, or equal to, normal [14]. The extended
where is the statistical expectation or average, and Park’s vector approach (EPVA) utilized the spectral component
the complex conjugate of . Extending these definitions to of the ac level of the Park’s vector pattern at twice the supply
the third- and fourth-order measures gives rise to the bispec- frequency to diagnose stator-winding faults in three-phase syn-
trum, , and trispectrum, , which are de- chronous and asynchronous motors [15]. In case of inverter-fed
fined as induction motor drives, the healthy operation pattern of PVA is
not circular; however, distinguishable deviations in the pattern
could be used to diagnose faults in the power electronic compo-
nents of the drive control [16], [17]. Direction of orientation of
the pattern was an effective index to define any short or open cir-
From the above definitions, it is clear that the bispectrum and cuit fault on one semiconductor switch. The technique was ex-
trispectrum are functions of more than one frequency index and tended appropriately to account for electronic component faults
are complex. They contain both magnitude and phase informa- in full-converter dc motor drives [18].
tion about the original time domain sequence .
Application of HOS techniques to the rotor vibration signal
C. Stator Winding Faults
has helped in diagnosing electrical and mechanical faults in
sinusoidally and inverter-fed induction motors [5], [8], and [9]. Stator winding faults constitute almost 30–40% of induction
Bispectrum of the contaminated rotor vibration signal could motors’ faults. These faults are usually short circuits between
be used to diagnose different faults in inverter-fed induction a phase winding and the ground or between two phases. It
motor drive and could account for vibration contaminations is strongly believed that such faults initiate as undetected
from known and unknown sources [10]. turn-to-turn faults that develop to a major short circuit. Stator
winding faults might have a destructive effect on the stator
B. Park’s Current Vector Pattern coils. Many techniques to diagnose and detect these faults are
available in the literature.
The well known Park’s transformation has addressed a tech-
Bellini et al. [19] reported that for an open-loop controlled in-
nique to get a two-dimensional (2-D) representation of the three-
duction motor, the supply current negative-sequence component
phase induction motor line currents. As a function of the three
at a frequency of could be used to diagnose stator winding
phase currents ( , , and ), the current Park’s vector compo-
faults. For a closed-loop field-oriented controlled motor, the
nents are given as
spectrum component of the field current at twice the supply
frequency was an effective indicator for the existence of
stator faults. On the other hand, Kliman et al. [20] observed an
increase in the motor phase current leading to shifts in both pos-
itive and negative sequence currents. Injected negative sequence
current, not related to supply imbalance, was used as the diag-
Under ideal conditions, balanced three phase currents lead to nostic index.
a Park’s vector with the following components: Cash et al. [21] summed up the machine line-to-neutral volt-
ages instantaneously and filtered out the undesired saturation,
slots, and other sound operation harmonics. The RMS value of
the remaining voltage component was utilized to detect the exis-
tence and severity of stator inter-turn faults. The standard devi-
ation of the RMS line currents of an ASD-induction motor was
used to detect stator inter-turns [22].
where is the peak supply phase current, and the radian Penman et al. [23] monitored the axial leakage flux resulting
frequency of the supply. from the stator windings to detect and locate stator inter-turns.
The representation of the motor current Park’s vector under The voltage induced in a search coil wound concentrically
healthy balanced operation is a circle centered at the origin of around the machine shaft was proportional to this flux compo-
the coordinate axes. Under faulty operation, this pattern is devi- nent. Some spectral constituents of this voltage were observed
ated according to the associated fault [11]–[18]. to detect a turn-to-turn fault. These frequencies are given by
Park’s vector approach was successfully used to detect stator-
winding faults in induction motors [11]. Under fault conditions,
the Park’s vector pattern became elliptic. The ellipticity of the
pattern was proportional to the fault severity and its major axis
orientation depended on the faulty phase. The relative thickness where , 3, , is the number of
of the pattern was utilized to diagnose broken rotor bar faults pole pairs, is the slip, and the supply frequency. The loca-
in induction motors [12]. Under rotor static eccentricity faults tion of the inter-turn fault could be specified using four auxiliary
AWADALLAH AND MORCOS: AI TOOLS IN FAULT DIAGNOSIS OF ELECTRICAL MACHINES AND DRIVES—AN OVERVIEW 247

windings mounted symmetrically in the four quadrants of the where , became higher under broken bar
motor near the end winding. The flux RMS magnitudes at the fault conditions. Although some of these harmonics already
various locations were measured. The change in readings from existed under healthy machine operation for various reasons,
the four coils could be used to triangulate the area of the unbal- the technique helped in avoiding the influence of the supply
anced flux, and hence, locate the shorted turn. nonidealities, such as unbalance and time harmonics, on the
Nandi and Toliyat [24] detected the same frequencies with diagnostic procedures.
good detectibility for in the machine line voltages imme- Elkasabgy et al. [27] used internal and external search coils
diately after disconnecting the mains. The detection was done and observed the induced voltage spectral components at
successfully for both sinusoidally and inverter-fed machines,
avoiding the ambiguity of detecting these components in the
current spectrum due to supply harmonics.
where is the supply frequency, is the number of poles, and
D. Rotor Broken Bar and End Ring Faults
the motor slip. It was also shown that low-frequency torque
Two different types of cage rotors exist in induction motors, oscillations at double the slip frequency were dominant under
namely, cast and fabricated. Cast cage rotors are used in motors broken bar faults.
up to 3000-kW rating. Fabricated cages are found in motors of Cho et al. [32] utilized rotor resistance estimation, whose
higher ratings and special application machines. Cast rotors are value increased under broken bar faults, in a detection scheme.
almost impossible to get fixed once breakage or cracks develop Stator current, voltage, excitation frequency, and rotor speed
in them although they are more durable and rugged than fabri- were monitored. Assuming equal stator and rotor self induc-
cated cages. Broken bar and cracked end ring faults represent tances and neglecting core loss and deep-bar ef-
5–10% of the total induction machine faults. fects, a single-phase steady-state equivalent circuit of the motor
Motor current signature analysis was extensively used to de- is governed by the equation
tect broken rotor bar and end ring faults in induction motors
[19], [25]. The sideband components at were used
to detect such faults. While the lower sideband was fault-re-
lated, the upper sideband was due to consequent speed oscil-
lations. Bellini et al. [26] stated that the summation of magni-
tudes of these two sideband components was a good diagnostic
index. It was also concluded that MCSA was superior to signa- where is the RMS stator voltage, s is the motor slip, is
ture analyses of current space vector modulus and instantaneous the supply radian frequency, is the stator and rotor winding
power and torque. The actual sequence of sidebands was given self-inductance, is the RMS stator current, is the phase
by [27] shift between stator current and voltage, is the stator winding
resistance, is the magnetizing inductance, and is the rotor
winding resistance. This equation is actually two independent
equations (real and imaginary). Since it was used to estimate
where . Considering the speed ripple effects, it four parameters, namely, , , , and , at least two sets
was reported that other frequency components, which could be of measurements for the quantities , , , and (to get
observed in the stator current spectrum, are given by [28] ) are required at the same load. More than two sets of mea-
surements would make the technique immune to measurement
noise and inaccuracy. Observing the value of the rotor resistance
and comparing it to the value under sound operation made it
where is the number of pole pairs, and . feasible to detect broken bar faults while developing. The esti-
As for the closed-loop field-oriented controlled motor, mated resistance is compensated for thermal variations through
the spectral component of the field current at was the equation
an effective index to predict broken bar faults [19]. Schoen
and Habetler [29] reported that time-varying loads produced
harmonics in the induction motor line currents that overlap
those produced by different rotor faults. These load-related where is the resistivity of the rotor cage material, and
harmonics were separable from the current spectrum, making are two different temperatures, and is 228.1 and 234.5 for
it still possible to diagnose rotor faults by MCSA. The effects aluminum and copper, respectively. This thermal compensation
of time-varying loads could be eliminated by monitoring of resistance was crucial because a thermal increase in its value
machine voltages and currents to estimate the -axis current would dominate a fault-produced increase as seen through the
component of a healthy motor driving the same load [30]. This estimation of .
component was subtracted from the faulty machine current, and Cruz and Cardoso applied the synchronous reference frame
the fault-produced portion was used as the diagnostic index. current Park’s vector approach to diagnose rotor cage faults of
Milimonfared et al. [31] developed a detection technique based three-phase induction motors [33]–[36]. The technique could
on disconnecting the machine from the mains and observing the be used to differentiate between the effect of this type of fault
line voltage spectral components. The th harmonics, and that associated with driving time-varying loads. Rotor
248 IEEE TRANSACTIONS ON ENERGY CONVERSION, VOL. 18, NO. 2, JUNE 2003

cage faults could be detected by the identification of an elliptic The same frequency components were monitored by applying
figure in Park’s vector representation of synchronous reference a time-frequency analysis and using short-time Fourier trans-
frame current. When the load has low-frequency oscillating form (STFT) on the motor line current [39]. The time-frequency
component, the current Park’s vector pattern is an ellipse analysis showed distinct advantages over the traditional Fourier
oriented along the first quadrant of the coordinate axes. In the transform due to the nonstationarity in the current signal, which
presence of a cage fault, the pattern ellipse becomes oriented comes from the different motor operation modes. A statistical
along the second quadrant of the coordinate axes. However, method was embedded in an adaptive system that was trained to
the technique was not efficient in indicating the severity of the recognize the sound motor operation. Results showed that the
fault [36]. faulty motor signals were hundreds of standard deviation away
from healthy modes, which made the scheme power evident.
E. Bearing Damage Faults
Although 40–50% of induction motor faults are correlated F. Eccentricity Faults
with bearing defects, not much research was dedicated to de- Rotor eccentricity, which results in nonuniform airgap, is di-
tecting these faults. The reason may be because bearing faults vided into two categories—static and dynamic. In static eccen-
are recognized as shaft asymmetries, which are studied under tricity case, the airgap has a fixed minimal position, whereas this
the category of eccentricity faults. Most electrical machines use position rotates with the rotor in case of dynamic eccentricity.
either ball or rolling-element bearings, which consist of two In practice, both types occur simultaneously. Due to some de-
rings—outer and inner rings. Balls or rolling elements rotate sign and manufacturing imperfections, up to 10% eccentricity is
in raceways inside the rings. Bearing faults may be reflected allowed. Higher orders of eccentricity can cause rotor-to-stator
in defects of outer race, inner race, ball, or train. Even under rub, resulting in damage of rotor and/or stator winding or core.
normal balanced operation with good shaft alignment, fatigue Eccentricity faults could be diagnosed by monitoring the
faults can take place. Vibrations, internal stresses, inherent ec- airgap flux in induction motors [40]. Internal and external
centricity, and bearing currents due to electronic drive systems search coils were placed in the stator and the spectral con-
have effective influence on developing such faults. stituents of their induced voltage were observed for diagnosing
Shaft vibration frequencies associated with different ball components at
bearing faults were given as [37]

where is the supply frequency, and is the rotational fre-


quency.
for outer race defects Dorrell et al. [41] monitored casing vibration components at a
frequency to diagnose eccentricity faults in induction
motors. MCSA was used extensively to diagnose eccentricity
faults in three-phase induction motors. Specific frequencies re-
for inner race defects lated to fault are given by [37]

where is any positive integer, is the number of rotor bars, is


for ball defects, and
the number of pole pairs, is the eccentricity order ( for
static eccentricity and for dynamic eccentricity), is the
motor slip, is the order of time harmonics present in the power
supply driving the motor , and is the supply
for train defects, where is the number of balls, is the rotor frequency. In case of static eccentricity, principal slot harmonics
rotational frequency, is the ball diameter, is the ball pitch and supply time harmonics contribute to these components. If
diameter, and is the contact angle of the ball with the race. the order of one of these harmonics is a multiple of three, it may
Schoen et al. [38] implemented MCSA in a technique to de- not theoretically appear in the current spectrum of a balanced
tect rolling-element bearing faults in induction motors. Line cur- machine. However, it was shown that for a specific combination
rent spectral components are predicted at frequencies of of the number of fundamental pole pairs and number of rotor
slots, the machine would give rise to only static or only dynamic
eccentricity related components [42].
where is one of the characteristic vibration frequencies, is Obaid et al. [43] used MCSA to diagnose eccentricity faults
the supply frequency, and . Although the mag- in three-phase induction motors by observing the components
nitudes of these harmonic components are small compared to
other spectral constituents, they fall at different locations from
those of the supply and machine inherent slot harmonics. This
phenomenon makes it feasible to distinguish between healthy where is a positive integer. The RMS value of each com-
and faulty operations. ponent was calculated after filtering out the fundamental. The
AWADALLAH AND MORCOS: AI TOOLS IN FAULT DIAGNOSIS OF ELECTRICAL MACHINES AND DRIVES—AN OVERVIEW 249

RMS values were compared to a preset threshold that was de- to human experts. Although they are expensive and time-con-
termined upon observation of sound operation. Under load im- suming during evolvement, some research work dedicated to ap-
balance, and horizontal and vertical misalignment conditions, plying expert systems to machine fault diagnosis was reported
the machine gave rise to such harmonic components with mag- in the literature [71]–[74]. These applications include
nitudes dependent on the condition. • emulating and implementing human expertise;
• building and online updating system knowledge bases;
III. AI APPLICATIONS • signal filtering, information search, and feature extraction;
• data managing and information coding in knowledge
A. Artificial Neural Networks
bases;
Artificial neural networks (ANNs) are one of the oldest • employment of users interactive sessions;
AI paradigms that have been around the power engineering • fault classification, diagnosis, and location;
research arena for quite some time. ANNs mimic the human • knowledge base building through simulation and/or exper-
brain structure, which consists of simple arithmetic units imentation.
connected in complex layer architecture. They are capable Applications of AI tools in condition monitoring and fault
of representing highly nonlinear functions and performing diagnosis of electric machines and drives have provided the au-
multiinput, multioutput mapping. They learn these functions tomation of the diagnostic process. It also helped in utilizing the
through examples. ANNs have been applied densely in the human expertise, and gaining early and precise detection. Arti-
area of motor condition monitoring and fault diagnosis [28], ficial intelligence is expanding the horizon of the new research
[44]–[65], performing one or more of the following tasks: related to the topic in the coming years.
• pattern recognition, parameter estimation, and nonlinear
mapping applied to condition monitoring;
IV. CONCLUSION
• training based on both time and frequency domain signals
obtained via simulation and/or experimental results; A review of the state-of-the-art of condition monitoring and
• real time, online unsupervised diagnosis; fault diagnosis in electrical machines is presented. Noninvasive
• dynamic updating of the structure with no need to retrain motor current signature analysis (MCSA) has been the most
the whole network; preferable technique. Distinct methods like feature extraction
• filtering out transients, disturbances, and noise; using higher-order statistics (HOS) and motor-current Park’s
• fault prediction in incipient stages due to operation anom- vector approach (PVA) were surveyed. Definitions and possible
alies; applications of the recently developed AI techniques are re-
• operating conditions clustering based on fault types. ported. Advantages of the paradigms applied to the field include
emulating and employing human expertise, automating the di-
B. Fuzzy and Adaptive Fuzzy Systems agnosis process, and gaining earlier and more precise detection.
Fuzzy logic and adaptive fuzzy systems are emerging as pow-
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AWADALLAH AND MORCOS: AI TOOLS IN FAULT DIAGNOSIS OF ELECTRICAL MACHINES AND DRIVES—AN OVERVIEW 251

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Mohamed A. Awadallah (S’00) received the
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B.S. (with honors) and M.S. degrees in electrical
neural nets: GRNN and BPN,” in Proc. Int. Conf. Ind. Electron., Contr.
engineering from the University of Zagazig, Egypt,
Instrumentation, 1995, pp. 1456–1461.
in 1993 and 1997, respectively. He is currently
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pursuing the Ph.D. degree in electrical engineering
approach to electric machine on-line diagnostics,” in Proc. Europe.
at Kansas State University, Manhattan.
Conf. Power Electron. Applicat., vol. 4, 1995, pp. 213–218.
He was a Teaching and Research Assistant in
[64] L. Collamati, F. Filippetti, G. Franceschini, S. Pirani, and C. Tassoni,
the Department of Electrical Power and Machines
“Induction machine stator fault on-line diagnosis based on LabVIEW
Engineering at the University of Zagazig, Egypt,
environment,” in Proc. Mediterranean Electrotech. Conf., 1996, pp.
from 1994 to 1999. His research interests include
495–498.
diagnosis of electrical machines and drives, artificial
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intelligence applications to drive systems, and power electronics applications.
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Mr. Awadallah is a member of Eta Kappa Nu and Phi Kappa Phi.
Ind. Electron., 1994, pp. 220–225.
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the interpretation of higher order spectra applied to fault diagnosis in
electrical machines,” in Proc. Int. Conf. North Amer. Fuzzy Inform. Pro- Medhat M. Morcos (M’78–SM’86) received the
cessing Soc., 2000, pp. 158–162. Ph.D. degree in electrical engineering from the
[68] C. Combastel, S. Gentil, and J. P. Rognon, “A symbolic reasoning ap- University of Waterloo, ON, Canada, in 1984.
proach for fault detection and isolation applied to electrical machines,” Currently, he is Professor of Electrical and
in Proc. IEEE Int. Conf. Contr. Applicat., 1998, p. WP05. Computer Engineering and Distinguished Teaching
[69] A. Consoli, F. Gennaro, A. Raciti, and A. Testa, “Fuzzy logic application Scholar at Kansas State University, Manhattan.
to pre-fault diagnoses of induction motors,” in Proc. IEEE Int. Conf. His current research includes power electronics,
Devices, Circuits Syst., 1998, pp. 249–254. artificial intelligence applications in power quality
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diagnosis by a fundamental frequency amplitude based fuzzy decision and high-voltage engineering.
system,” in Proc. IEEE Ind. Electron. Soc. Annu. Conf., 1998, pp. Dr. Morcos is a member of the America Society for Engineering Education,
1961–1965. Eta Kappa Nu, Sigma Xi, Tau Beti Pi, and Phi Kappa Phi.