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Automatic Fault Diagnosis of Electric Machinery: A Case

Study in PM Brushless DC Motors
a b
M. A. AWADALLAH & M. M. MORCOS
a
Department of Electric Power and Machines University of Zagazig Zagazig, Egypt
b
Department of Electrical and Computer Engineering Kansas State University Manhattan, KS,
USA
Version of record first published: 16 Aug 2006.

To cite this article: M. A. AWADALLAH & M. M. MORCOS (2005): Automatic Fault Diagnosis of Electric Machinery: A Case Study
in PM Brushless DC Motors, Electric Power Components and Systems, 33:6, 597-610

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 EMP 33(6) #39082

Electric Power Components and Systems, 33:597–610, 2005

Copyright © Taylor & Francis Inc.
ISSN: 1532-5008 print/1532-5016 online
DOI: 10.1080/15325000590885234

Automatic Fault Diagnosis of Electric Machinery:

A Case Study in PM Brushless DC Motors

M. A. AWADALLAH
Department of Electric Power and Machines
University of Zagazig
Zagazig, Egypt
Downloaded by [McGill University Library] at 07:59 06 December 2012

M. M. MORCOS
Department of Electrical and Computer Engineering
Kansas State University
Manhattan, KS, USA

This article presents an overview of diagnostic principles of incipient faults in electric

machines and drive systems. Applications of AI tools in automating the task of fault
detection are also highlighted. Operating principles of CSI-fed PM brushless DC
motors are briefly introduced. A summary of an extensive study of automatic fault
diagnosis and location in CSI-fed PM brushless DC motor drives, based on adaptive
neuro-fuzzy inference systems (ANFIS), is reported. A sample of ANFIS testing cases
and acceptable matching between simulated and measured performances of the drive
show effectiveness of the proposed methodologies.

Keywords automatic fault diagnosis, AI applications, brushless DC motors

1. Introduction
Condition monitoring leading to fault diagnosis and location of electric machinery has
recently become of importance. The topic has attracted increasing attention during the
past few decades for its significant influence on operational continuity of many industrial
processes. Accurate diagnosis and early detection of incipient faults result in fast un-
scheduled maintenance and short downtime for the machine under consideration. It also
avoids harmful, sometimes devastative, consequences on the system. Good performance
of the diagnostic scheme is reflected in considerable financial savings and improved
system reliability.
Although electrical machines are rigid, robust, and reliable, they are likely to ex-
perience fault conditions due to wide ranges of operational parameters and surround-
ing environmental characteristics. Excessive electrical, mechanical, thermal, or magnetic
stresses in the machine, as well as manufacturing imperfections, lead to degradation of
materials or breakdown of parts. Therefore, machine faults could be broadly categorized

Manuscript received in final form on 4 August 2004.

Address correspondence to M. M. Morcos, Kansas State University, Dept. of Electrical and
Computer Engineering, 261 Rathbone Hall, Manhattan, KS 66506-5204, USA. E-mail: morcos@
ksu.edu

597
 598 M. A. Awadallah and M. M. Morcos

into electrical, mechanical, and magnetic faults. The different kinds of faults are almost
always manifested in operation imbalance and performance anomalies.
Electrical faults such as winding short and open circuits, insulation failures, cracked
end rings, and broken rotor bars result in electrical imbalance of the machine. For instance,
a sound three-phase induction motor is seen by the supply as a balanced load; however,
stator or rotor winding short-circuits nullify this balance. Another example of electrical
faults is the failure of one (or more) power electronics component of the drive control
system. Manufacturers and users of electric machines have relied on protective relays for
a long time, such as the over-current relay to trip faulty machines. A major disadvantage
of the scheme is that the machine could be seriously harmed before the protective system
trips. Accordingly, a condition-monitoring plan that is capable of detecting incipient faults
while developing inside the machine has been seen as quite essential.
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2. Techniques of Machine Fault Diagnosis

Most of the research work conducted in the area [1–10] has been dedicated to induc-
tion motors and drive systems due to their wide use in both industrial and domestic
applications. In most cases, researchers relied on the deviations of steady-state machine
performance from healthy to faulty operations in order to diagnose faults. Machine per-
formance characteristics that could be monitored to diagnose different faults include:
• Line current [1, 2, 5, 6, 10];
• Terminal voltage [4, 6–8, 10];
• Torque pulsations [14];
• Temperature rise due to excessive losses [9];
• Shaft vibrations [3];
• Air-gap flux [1]; and
• Speed ripples [10].
The line current represents the most widely used waveform in identifying machine faults
[1, 2, 5] for the following reasons:
• Most machine imbalances would reflect into the current waveform;
• Current is feasible and inexpensive to monitor; and
• The monitoring technique is non-invasive.
Feature extraction is the process of characteristic waveform(s) manipulation in order
to derive appropriate diagnostic indices that successfully characterize the fault. Features
extracted in either time or frequency domains from one or more characteristic wave-
forms were often used to identify faults. The feature extraction process is almost always
preferred to be completed in the frequency domain [1, 4, 7, 9, 10] as it becomes more im-
mune to delusive phenomena of the time domain waveforms. High-frequency transients,
noise, and stochastic anomalies of the characteristic waveform can badly affect indices
derived in the time domain. Monitoring and recording errors due to electromagnetic in-
terference, limited-band sampling, and environmental pickups can have similar effects.
However, feature extraction in the time domain to assess machine sequence impedances
[6] or derive Park’s vector modulus of currents or voltages [5] are quite common.
Feature extraction in the frequency domain dictates the use of a suitable digital signal
processing (DSP) algorithm to manipulate the characteristic waveform. Among the most
commonly used DSP algorithms in the machine fault-diagnosis arena are the discrete
Fourier transform (DFT), short-time Fourier transform (STFT), and wavelet transform.
 Automatic Fault Diagnosis of Electric Machinery 599

Factors that determine the algorithm suitability to processing a signal include:

• Time and frequency resolutions of the algorithm;
• Signal stationarity;
• Signal periodicity; and
• Signal smoothness and nature of time changes.
The development of an automatic, fast, and reliable diagnostic scheme has become
critical. Reduction of human involvement in the diagnosis process has taken place upon
the recent achievements in the artificial intelligence (AI) paradigms [10–14]. The ex-
panding abilities of AI tools in learning, reasoning, perception, decision making, problem
solving, nonlinear mapping, and data mining have encouraged researchers to apply them
to the area extensively.
Based on their capabilities, intelligent agents could learn the nonlinear pattern of
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correlation between a properly-derived set of diagnostic indices, and the existence, sever-
ity, and location of an associated fault. The AI tools are definitely capable of performing
one or more of the following tasks in order to automate the diagnostic process:
• Pattern recognition, parameter estimation, and nonlinear mapping applied to con-
dition monitoring;
• Agent training and database building based on both time and frequency domain
indices obtained through simulation and/or experimentation;
• Modeling systems, learning behaviors, and implementing adaptive techniques to
optimize diagnostic system parameters;
• Data mining and information coding in knowledge bases;
• Real time, on-line, unsupervised learning and diagnosis;
• Fault prediction in the incipient stage due to operation anomalies;
• Operating conditions clustering based on fault types;
• Emulating, implementing, and utilizing human expertise;
• Signal filtering, information search, and feature extraction;
• Fault classification, prognosis, and location;
• Evaluating performance indices using linguistic variables;
• Predicting abnormal operation and locating faulty elements; and
• Data compression, trend learning, and alarm processing.

3. The PM Brushless DC Motor Drive

The PM brushless DC motor drive has recently found immediate application in various
industrial processes. Electromagnetic actuators, tool drives, electric vehicle propulsion
systems, and electric power steering of small and medium-size vehicles are among such
applications. Figure 1 shows a current source inverter-fed configuration of the PM brush-
less DC motor drive. The motor, which has a three-phase winding on the stator and a
permanent-magnet rotor, possesses a trapezoidal back EMF waveform. The machine is
fed from a DC supply through a filtering capacitor, a two-quadrant hysteresis-type chop-
per, and a three-phase MOSFET-based inverter/converter bridge. The system is controlled
through a low-level electronics circuitry that runs the machine into motoring, plugging
(low-speed dynamic braking), and regenerative braking modes of operation; all in both
directions of rotation.
The capacitor helps reduce supply ripple and provides a path for the inductive current
of the system in case it is disconnected from the supply. The chopper controls the
current magnitude around a fixed current-command input—with the help of motor current
 600 M. A. Awadallah and M. M. Morcos
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Figure 1. Schematic diagram of the integrated drive system.

feedback—for torque control. The switching status of the chopper switches is determined
by the controller upon comparing the instantaneous value of the motor current with the
current command altered by a certain tolerance value. During the current build-up, the
chopping MOSFET (QM ) is switched OFF once the motor current exceeds the current
command plus the tolerance value. The inductor voltage is then applied to the chopping
diode (DM ) and switches it ON to provide a path for the motor current to decay. The
chopping MOSFET (QM ) switches ON if the motor current drops—while decaying—
below the current command minus the tolerance value.
The bridge consists of six legs, each of which has an anti-parallel assembly of a
MOSFET and a diode. It works as an inverter that converts the DC current from the
supply to three-phase currents flowing into the motor during the motoring and plugging
modes of operation. The bridge also rectifies the three-phase currents from the motor and
returns them to the supply during the regenerative braking mode. The switching logic of
the bridge is determined by the controller through the rotor-position signals issued by
three Hall sensors (Figure 2). Rotor position signals define six different switching states
of the bridge. During each state, an upper switch carries the current from the supply
to the motor, and a lower switch returns current back from the motor to the supply.
Accordingly, each switch is ON for one-third of the electrical cycle; each phase carries
positive current for one-third and negative current for another third of the electrical
cycle. The three-phase currents injected to the stator winding create a magnetic field
that rotates inside the machine with discrete jumps (or hops) every 60 electrical degrees.
The discrete jumps of the stator field are synchronized to the rotor rotation through the
rotor-position sensors. Hence, the switching pattern of the inverter bridge maximizes the
electromagnetic torque developed due to the interaction between the stator magnetic field
and rotor MMF which comes from the permanent magnet.

4. Fault Diagnosis Study

The present work reports a fault diagnosis study of the PM brushless DC motor drive
where both normal and faulty performances are obtained through simulation. System
parameters are measured experimentally and then inserted to the network model pro-
posed in [15] and [16]. Performance waveforms of the system are studied under normal
 Automatic Fault Diagnosis of Electric Machinery 601
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Figure 2. Idealized phase currents and EMFs, Hall sensor signals, and switching states of the
inverter bridge.

and faulty conditions in order to select characteristic signals to identify different faults.
Adaptive neuro-fuzzy inference systems (ANFIS) are used as intelligent paradigms to
automate the diagnosis process. The list of studied faults includes:
• Switch open-circuit faults;
• Open-phase faults;
• Stator insulation-failure faults; and
• Inter-turn short circuit faults.
 602 M. A. Awadallah and M. M. Morcos

The study yielded a comprehensive diagnosis and location scheme for electrical faults
of the drive system. Many ANFIS-based modules were developed to identify different
faults by monitoring various characteristic waveforms and processing them using different
DSP tools. The developed modules could be assembled to form a unique automatic
scheme for condition monitoring. Testing results show acceptable performance of the
developed system in diagnosing and locating all studied faults.

4.1. Switch Open-Circuit Faults

Switch short-circuit faults would result in a supply short circuit if the switching pattern
remains normal. The fault should be tripped by the supply protective scheme, for example,
through the over-current relay. Switching action of the drive system was modeled by
representing each electronic switch by a nonlinear resistor that attains a very high value
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when the switch is OFF and a very small value when it is ON. The switch open-circuit
fault is modeled by assigning a permanent high value to the nonlinear resistor that
represents the faulty switch.
Current waveform of the motor DC-link was found best to identify the fault. The
current vanishes during the two switching states that correspond to the faulty switch. Char-
acteristic signals are cyclically identical when the fault occurs across different switches.
A definite-time resolution DSP tool is needed to process the waveform in order to char-
acterize and locate the fault simultaneously. Appropriate diagnostic indices are derived
from the characteristic waveform after being processed using continuous wavelet trans-
form (CWT). A diagnostic ANFIS, which could both identify and locate the fault, is set
up in order to automate the process. ANFIS output is either zero under normal operation
or an integer indicating the open switch under fault.

4.2. Open-Phase Faults

The open-phase fault was modeled by inserting an extremely high resistance in series
with the faulty phase in order to prevent the current from flowing into the phase winding.
Again, the current waveform of the motor DC-link was found best to identify the fault
since this waveform is made of individual phase current signals. Consequently, DC-link
current vanished during four switching states, depending on the faulty phase. Since the
faulty characteristic signals are cyclically identical when the fault occurs on different
phases, CWT is used to derive appropriate diagnostic indices. An ANFIS could automat-
ically diagnose the fault and identify the open phase; the output is either zero at normal
operation or an integer characterizing the open phase under fault conditions.

4.3. Insulation Failure Fault

Faults due to insulation failure of windings normally initiate as degradation of the in-
sulating material between two adjacent turns. Material contamination and/or excessive
electrical, thermal, mechanical, or other environmental stresses are possible causes of
the fault. If not detected early, the fault propagates randomly in either a helical or axial
direction seeking the weakest path in the material. Simultaneous propagation in both
directions is also possible, although its frequency of occurrence is very low.
The net impact of the insulation-failure fault in the stator winding is a reduction in
the effective number of turns across the faulty phase. Due to the random property of
fault initiation and propagation, no current is assumed to circulate in the faulty section
 Automatic Fault Diagnosis of Electric Machinery 603

of the winding. The fault was modeled by deviating machine parameters of the faulty
phase due to the number of shorted turns. Faulty phase resistance, EMF magnitude, and
mutual inductances with healthy phases are proportional to the number of effective turns.
However, self inductance is proportional to the square of the number of effective turns
across the faulty phase.
All faulty-operation current waveforms were identical to those of normal operation
since the configuration of the current source inverter with chopping control makes the
controller (not the machine) form the current waveform. The electromagnetic torque
waveform under faulty operation had noticeable curve dips due to the decrease in the
EMF across the faulty phase. Magnitude of torque dips characterize the number of shorted
turns, and the switching states during which dips exist identify the faulty phase. Classical
DFT applied to the torque waveform could extract a single index that perfectly determined
the number of faulty turns. STFT could derive appropriate indices to locate the waveform
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dips, and hence identify the faulty phase. Two independent ANFIS were successfully set
up to diagnose and locate the fault.

4.4. Stator Inter-Turn Faults

The inter-turn faults usually isolate a winding section by creating a short circuit across
a number of turns. The fault is usually manifested in an electric arc connecting two
points of the winding; advanced stages of insulation-failure faults could be also charac-
terized as inter-turn short circuits. The normal operation model of the drive was mod-
ified to accommodate the inter-turn fault, and augment the state vector of the system
to include the fault current. The shorted section of the winding was represented by an
EMF source in series with a resistance and self inductance. Mutual inductances to other
healthy windings were also taken into consideration. Each parameter is obtained by
modifying the corresponding normal-operation value according to the number of shorted
turns.
The faulty-operation torque waveform has curve dips similar to, but more severe than,
those of the insulation failure fault. Magnitude of the torque dip implies the number of
shorted turns and its switching states identify the faulty phase. The DFT and STFT are
used separately to extract diagnostic indices in order to determine the fault severity as
well as its location. Two independent diagnostic ANFIS were designed, trained, and
tested to automate the process of fault diagnosis and location.
Anomalies of the waveform of line-to-neutral voltage summation were also noticed
under fault. Although the phase voltages are equal in magnitude and shifted in time
by 120◦ electrical, they do not add up to zero because of the harmonic content of the
trapezoidal EMFs. Differences between healthy and faulty voltage-summation waveforms
could be detected in the frequency domain using DFT. The STFT could be used to
differentiate between similar faults that occur on different phases. Again, two independent
ANFIS could fully diagnose the fault by automatically determining the number of shorted
turns and identifying the faulty phase.

4.5. ANFIS Testing

All ANFIS agents developed in this work are trained based on simulated waveforms
within a wide range of operational parameters. To demonstrate ANFIS ability in com-
prehensive fault diagnosis, training data cover operating conditions from 2 A to 30 A
current command, and 400 RPM and 1400 RPM constant rotor speed. ANFIS modules
 604 M. A. Awadallah and M. M. Morcos

Table 1
Testing results of diagnostic ANFIS modules

Operating point
ANFIS output
Speed, Command,
# RPM A Operating condition Actual Ideal

1 1170 3.7 Normal (perfect commutation) −0.076 0

2 1330 28.5 Normal (noisy) 0 0
3 950 13.1 Normal (state 2 delayed 4◦ ) −0.007 0
4 430 27.3 Open MOSFET 6 6.0186 6
5 770 16.8 Open phase A 0.9713 1
6 950 2.8 Insulation failure on 1 turn—phase C 1 and 2.736 1 and 2
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7 795 11.1 Inter-turn short circuit on 1 turn— 1.057 and 2.012 1 and 2
phase B
8 1190 27.7 Inter-turn short circuit on 5 turns— 4.918 and 0.9998 5 and 1
phase A

are tested based on diagnostic indices derived from simulated characteristic waveforms.
Testing data points are randomly selected within the range of training data without being
explicit elements in the training sets. A sample of testing results of ANFIS is shown
in Table 1, which indicates an outstanding performance of ANFIS in diagnosing and
locating considered faults.

4.6. Experimentation
Performance waveforms were measured in the lab under different healthy and faulty
operating conditions. Experimentally obtained waveforms were compared to simulation
results in order to verify the computed characteristics of the system. Different faults were
artificially inserted into either the inverter bridge or the machine. Open-circuit faults were
done by disconnecting the associated elements; a specially wound machine with certain
taps taken off one phase winding was used to obtain inter-turn fault performance. Simu-
lated and measured current waveforms of phase C, when MOSFET 2 is open, are shown
in Figures 3 and 4, respectively. Simulated current waveform of phase A—when phase C
experienced an open-circuit fault—is shown in Figure 5. The measured waveform of
the same current is depicted in Figure 6. Simulated and measured waveforms of the
fault current circulating inside two shorted turns of phase C are shown in Figures 7
and 8, respectively. Also, the net effect of insulation failures and inter-turn short circuits
on machine torque development is a reduction of the average torque. The percentage
reduction of average torque based on both simulations and measurements is given in
Table 2. Simulated torques are absolutely larger than measured values since simulations
stand for electromagnetic torques developed by the motor, while measured entities repre-
sent output torques. Developed torque is larger than output torque due to rotational and
other mechanical losses. It should be pointed out that the main concern of simulation
validation is the agreement between percentage torque reduction, rather than absolute
torque values. Generally, the agreement between simulation and measurement results is
fairly good, which supports the effectiveness of the diagnostic methodologies proposed in
the study.
 Automatic Fault Diagnosis of Electric Machinery 605
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Figure 3. Simulated phase-C current at 1000 RPM and 14 A command with open MOSFET 2.

Figure 4. Measured phase-C current at 1000 RPM and 14 A command with open MOSFET 2.
 606 M. A. Awadallah and M. M. Morcos
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Figure 5. Simulated phase-A current at 1000 RPM and 13 A command with open phase C.

Figure 6. Measured phase-A current at 1000 RPM and 13 A command with open phase C.
 Automatic Fault Diagnosis of Electric Machinery 607
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Figure 7. Simulated fault current at 2000 RPM and 10 A command with two shorted turns on
phase C.

Figure 8. Measured fault current at 2000 RPM and 10 A command with two shorted turns on
phase C.
 Downloaded by [McGill University Library] at 07:59 06 December 2012

Table 2
Percentage torque reduction due to winding faults

Operating point Fault Simulated torque, N.m Measured torue, N.m

# Speed, RPM Command, A Type Turns Healthy Faulty Reduction Healthy Faulty Reduction

608
1 1000 20 Insulation failure 1 0.6845 0.6737 −1.58% 0.561 0.554 −1.25%
2 1000 20 Insulation failure 4 0.6845 0.6424 −6.15% 0.561 0.529 −5.70%
3 500 10 Inter-turn 2 0.3724 0.3628 −2.58% 0.360 0.350 −2.78%
4 1000 10 Inter-turn 2 0.3745 0.3661 −2.24% 0.350 0.340 −2.86%
5 2000 20 Inter-turn 2 0.7452 0.7306 −1.96% 0.711 0.696 −2.11%
 Automatic Fault Diagnosis of Electric Machinery 609
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Figure 9. Block diagram of the diagnostic system.

4.7. System Integration

The modules explained earlier could be integrated into a unified fault diagnosis agent,
shown as a block diagram in Figure 9, for the PM brushless DC motor. Monitoring a single
characteristic waveform to develop a diagnostic system is also possible. Deviations of the
motor DC-link current under open-switch and open-phase faults are identical to those of
the torque waveform under the same faults. Developed torque pulsations could be used to
diagnose insulation-failure and stator inter-turn faults. Hence, a unified diagnostic scheme
that monitors the torque waveform only to identify all the electric faults mentioned earlier
is possible to implement.

5. Conclusions
This article presents an overview of the diagnostic principles of electric machines’ faults
along with the automation methods applying AI paradigms. Results of a comprehensive
case study of fault detection and location in PM brushless DC motor drives are reported.
Diagnostic methodologies of four different fault types are introduced including charac-
teristic waveform, signal-processing algorithm, and feature-extraction technique used in
each case. ANFIS modules are developed in order to automate the mission of fault diag-
nosis and location; testing results of ANFIS agents indicate their outstanding performance.
Experimental study of the faulty system is conducted, and some measured charac-
teristics are displayed. Good agreement between measured and simulated performance is
achieved, which verifies analytical results and validates the proposed diagnostic routines.
Plans for the integration and implementation of the developed modules are explored
showing the inherent practicality of the study.

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