2016 IEEE International Autumn Meeting on Power, Electronics and Computing (ROPEC 2016).

Ixtapa, Mexico

Program for the Detection and Diagnosis of Broken Rotor

Bars in Squirrel-Cage Motors
Alejandro Villegas-Ortega, Tomás I. Asiaín-Olivares, Daniel Ruiz-Vega
Graduate Program in Electrical Engineering, SEPI-ESIME-Zacatenco
Instituto Politécnico Nacional.
Ciudad de México, México
avillegasortega7@gmail.com, yeriak1@yahoo.com.mx, drv_liege@yahoo.com

Abstract— This paper presents the implementation and

application of different methodologies for assessing the state of
the squirrel-cage rotor of induction motors, using a digital
embedded system programmed for this purpose. Also, an index is
proposed in order to detect the early degradation of the rotor
through the Wavelet Transform. The detection and evaluation of
the rotor’s health is carried out by a program developed for this
end by the authors. By means of the user interface, the method
for processing the start-up armature current is selected by the
operator. The program is tested considering a series of operation
conditions, including: steady and transient conditions. On the
former, the classical approach with the aid of the Fast Fourier
Transform (FFT) is applied, while in the latter the program
utilizes both, the Short-Time Fourier Transform and the Wavelet
Transform. Acceptable results are obtained using the techniques
mentioned above for both, steady and transient conditions. The
program outputs not just graphical results, also quantifies the
level of fault by means of proposed rotor condition indexes; the
results were obtained through laboratory tests using motors with
different deterioration levels on the rotor.
Keywords— Motor Signature Current Armature Analysis,
induction motors, digital signal processing, rotor’s failure
diagnosis, sidebands, Wavelet Transform, Short-Time Fourier
Transform.
I. INTRODUCTION
The motor current signature analysis has taken an important
relevance since the utilization of induction machines had been
expanded over the last decades, on several industrial appliances
[1]. The curve representing the lifetime of an induction
machine is shown on Fig. 1; in this figure the zone of
acceptable operation is grayed out. After this stage, the
machine must be subjected to some kind of predictive
maintenance, as indicated in Fig. 1, with the first point marked
on white. If the maintenance process is not carried out, the
deterioration process evolves, leading to a critical failure on the
machine. At this point, the lifetime curve will reach the stage
with the point marked on red on Fig. 1, leading to a major
maintenance process with several economic losses.
The developed program focuses on the predictive
maintenance stage marked with the first point in white on Fig.
1, its objective is to detect failures of rotor bars on early
deterioration stages. This is reached through the application of
Fig. 1 Curve representing different stages of the lifetime of an induction
machine.
new techniques based on the signal processing of the armature
current, by means of recording different operation conditions.
The latest advances on this end, points toward developing
an automatic condition monitoring, where the intervention of
an operator is not required. Recently, artificial intelligence
tools have been applied in the condition monitoring field such
as expert systems, neural networks and fuzzy logic; they are
applied for performing diagnosis tasks within a digital system
dedicated to the condition monitoring purpose [2]. Condition
monitoring systems are aimed at increasing both, uptime and
performance of machines while reducing consequential
damages.
II. SIGNAL PROCESSING TOOLS FOR
THE EVALUATION OF BROKEN BARS
In this section, a brief introduction about the transforms
used to determine the deterioration of the rotor bars on
induction squirrel-cage motors will be presented. As it is
known, the Fourier Transform (FT) has numerous applications
in the fields of pure and applied mathematics, physics and
engineering; however, the FT has limitations related to the
temporal location or the time evolution of the signal of
interest [3].
Regarding the wavelet transform, wavelet word is used to
describe a small wave. Wavelets have been created to represent
functions in a more accurately and detailed way in the time-
frequency plane. Wavelets are generated with a single function
called mother wavelet, by means of displacement and
dilation [3].

978-1-5090-3794-0/16/$31.00 ©2016 IEEE

 2016 IEEE International Autumn Meeting on Power, Electronics and Computing (ROPEC 2016). Ixtapa, Mexico
Before the development of the wavelet transform, an
analysis window of a certain length was used as a relatively
straightforward solution to the problem of location in time.
This window slides through the signal under study, in the
direction of the time axis, with the aim of performing a FT
localized in time. This method is called Short-Time Fourier
Transform (STFT). The STFT, performs a Fast Fourier
Transform (FFT) every τ time, in a predefined window on the
function x(t); as a result of this procedure, a surface showing
the spectrum (flat frequency-magnitude) versus time is
obtained. The STFT is defined as shown in (1).

STFT ( ,f)  x, g , f  x(t ) g*, f (t ) dt

 x(t   )e j 2 ft dt
The equation (1) can be seen as a measure of similarity
between the signal x(t) and frequency modulated function f(t)
at window function g(t), shifted every τ time. In the case of this
study, to identify the evolution of the sidebands during engine
start, it is necessary to have a high resolution FFT in terms of
time and frequency. A high resolution is desirable because the
signal components have a better separation between them, but
in the STFT, resolutions cannot be chosen arbitrarily at the
same time, according to the uncertainty principle [4]. The
product of frequency and time resolution is bounded by a
minimum value as shown in (2).
1 used with any n order Wavelet.
  f 
4
In addition to the above limitation, the resolutions of time
and frequency should be adjusted depending on the signal to be
analyzed, prior to being processed, thus, the particularities of
each signal must be known before the analysis. In particular, if
a high frequency resolution is chosen, details of the evolution
of the signal would be lost, because the time resolution would
be low; in the same way, if a high resolution in time is chosen,
losses in frequency bands of the signal will be present [5]. This
paper, proposes to apply an appropriate balance between
frequency and time resolutions for the analyzed signals. This
setting will be explained in detail in the section IV presenting
the results obtained by means of the STFT. Furthermore, with
the above analysis, the implementation of a software tool
which deploys a method that overcomes the limitations of the
FT and the STFT is proposed; this is achieved by employing
the Wavelet Transform.
In order to implement the Discrete Wavelet Transform into
the program, the parameters a and b are discretized from the
Continuous Wavelet Transform equation [6]. The DWT
implementation is shown on (3).
 aJ ,k  J ,k ( x)   bJ ,k  J ,k ( x)
J some reference value (in this case the peak current during the
f ( x) 
kZ j 1 kZ
where:
a J ,k represents the approximation coefficients.
bJ ,k represents the detail coefficients.
 J , k ( x) represents the dilation function.
 J ,k ( x) represents the Wavelet function.
The DWT carries out a multiresolution analysis of the input
signal; this means that, through the discrete changes of the a
and b parameters on (3), the input signal is decomposed into
dual frequency bands. This is the principal reason why the
analysis of the sidebands of an armature current signal through
the DWT is convenient, besides requiring less computing time
than the STFT.
To carry out the implementation of the DWT into the
program of evaluation of broken bars, it is necessary to
represent the a and b coefficients in matrix form. These
matrices represent a low- and a high-pass filter (matrices G and
H, respectively) of the input signal f. Fig. 2 shows the
application of the aforementioned filters G and H on each
(1)
decomposition level; a sub-sampling by a factor of 2 is
performed, since this reduces the array size by half on every
level of decomposition; A detailed explanation of this
algorithm can be found in [7].
In addition, Fig. 2 represents the proposed methodology by
I. Daubechies, this process constructs an orthogonal filter bank.
Such filters and the coefficients vector of the dilation equation
defines the orthonormal base Wavelet, with acceptable
approximation properties [8]. Additionally, there exists dbn
Wavelets that satisfies the mentioned characteristics in [7] and
that are computed using a recursive pyramidal-type algorithm
as detailed in [9]. The present work uses up to a 14th order
Wavelet (db14), however, the same implemented code can be
(2)
Fig. 2 J-Step decomposition using the DWT for a signal f.
A different approach for the detected level of deterioration,
based on the Wavelet Transform, is proposed and
implemented. This classification takes on account the
Euclidian norm (L2) used with the purpose of obtaining the
energy present on each of the decomposition signals [6].
The decomposition signal values are normalized using
(3) start-up of the motor is used). Also, the norm is multiplied by a
factor k, such that k<1. The equation (4) shows the modified
Euclidian norm used to quantify the level of deterioration on
the rotor bars.
 X 2
X1
2
X n 1 
2
X k  0    (4)
 I rms I rms I rms 
 
 2016 IEEE International Autumn Meeting on Power, Electronics and Computing (ROPEC 2016). Ixtapa, Mexico
Irms is the rms value of the input signal during the tests. It
should be noted that the dc value of the signal could be used
instead the rms value, as is shown in [10].
III. DESCRIPTION OF THE DEVELOPED SOFTWARE TOOL
The main objective of the developed software tool is to
implement and apply the diagnosis of rotor's broken bars with
different processing signal methods, in order to obtain a
reliable diagnosis regarding to the health of the rotor from
squirrel-cage induction machines. As for the software tool
both, the graphical interface and the code, were implemented
using the graphical-programming language LabVIEW®. In
order to use the software, the user should select a binary file
from the test on the first screen; this file is created during the
tests by the real-time monitoring software developed for
monitoring electric machinery, specially synchronous
generators in [11]. This system has the capability to acquire the
terminal current and voltage of the induction machine, thus
obtaining a wider and detailed analysis of the machine’s
dynamics as reported on [12]. The system encompasses a set of
sensors to acquire voltage signals proportional to the three-
phase voltages and currents, and the rotor position of the
induction machine. Using the data acquired, the system
computes: rms values, active, reactive and apparent power,
energy consumption, harmonic decomposition, slip, angular
velocity, frequency, as stated in [11]. In this respect, the signal
from an encoder is also registered by the monitoring system.
This signal is used to determine, with a high degree of
precision, the speed of the shaft in order to compute the
sidebands location by the classical FFT analysis [12].
The graphical user interface is composed, as seen in Fig. 3,
by three main tabs: the first two are the Wavelet and STFT
analysis options, while the last one corresponds to the classical
FFT approach. Regarding the first tab, 10 signals are shown
Fig. 3 User interface of the software tool during a test of a 6 broken-bars rotor.
related to the Wavelet Transform; the first one consists of the
selected approximation signal, which can be controlled from
the user interface (UI), and the nine subsequent signals are the
ones computed from the first one by the wavelet transform.
The signal under analysis is displayed on the top, along with
the configuration parameters. The frequency range of these
signals is determined by (5); the software shows, by means of
this equation, the corresponding frequency range for each one
of the decomposition signals. Both, the detailed and the
decomposition signals are properly labeled. The tests reported
on this paper takes into account the number of decomposition
levels recommended in [13]. In general, one must be able to
decompose the original signal in at least two levels, under the
main frequency of the input signal; in this work 10 levels of
decomposition were selected, and thus the main signal
frequency is found on the decomposition signal 8, leaving two
decomposition signals and one approximation signal for the
appreciation of the left sideband evolution, during the motor's
start-up. The developed program computes the frequency band
ranges of the decomposition signals trough (5); this expression
is function of fs which represents the sampling frequency [14],
and j and n represent the decomposition and approximation
levels respectively.
f j   2   f s , 2 j f s  , an  0, 2   f s 
 j 1  n 1
   
(5)
Three frequency bands below the fundamental frequency
are displayed on the user interface as shown in Fig. 3. The
decomposition signals d10 and d9 with the approximation
signal a10 are shown. The characteristic behavior of the left
sideband in a damaged rotor is marked with a red line. This
behavior is well documented and, in general, consists as
follows: on the motor's start-up, the frequency of the left
sideband is the fundamental frequency; during the transient
period, this frequency decreases to a near-zero frequency value,
and finally, on steady state, the frequency goes back to the
 2016 IEEE International Autumn Meeting on Power, Electronics and Computing (ROPEC 2016). Ixtapa, Mexico

fundamental frequency. The described process analyzes the

start-up of an unloaded induction motor; however, using the
methodology described above, acceptable results can be
obtained when analyzing the motor start-up with different
mechanical loads.
As for the user interface layout on the Wavelet Transform
tab, for the motor’s start-up, it is shown in the bottom right part
of the window, the location of the selected data file, in addition
to an alarm called Read Error which is activated if the data file
does not meet the requirements to be used by the main
program. It is important to note that, in a predefined way, the
processing tool palette in LabVIEW® allows to use up to a 14-
order Daubechies Wavelet (db14); however, this parameter
(Mother Wavelet) can be processed by another program on any
programming language and uploaded to this program in order
to obtain higher-order Wavelet results.
The obtained results when (4) is applied, are shown through Fig. 6 Approximation signals (a10) for the different tests performed.
a cluster containing up to 10 data (which corresponds to the
same amount of graphs to display the decomposition levels) on
the UI. The data arrangement is the same as the graphs shown IV. TESTS AND RESULTS
on Fig. 3 (an, dn,..., dn-1). In order to test the developed program, two motors were
It is important for the user to identify the band where the used; the first one with no broken bars and the second one with
fundamental frequency is located, to allow the decomposition a deterioration of the rotor, consisting of 6 and 7 drilled broken
signals of the characteristic pattern, present when a bar on the bars. The tests performed, consisted on recording the steady
rotor is broken, can be displayed below the one containing the state and transient operation of each one of the cases described
fundamental frequency. In order to accomplish this, the FFT is above. The main characteristics of the motors tested are:
computed over the entire test, thus obtaining the fundamental power, 5 HP; voltage, 220/440 V; current, 15.6 / 7.8 A; rated
frequency; this value is then used, along with a comparison speed: 1723 rpm; 48 bars in the rotor. In the tests performed,
function, to determine which detail signal falls into the range of the sampling frequency is fixed to 20.4 kHz per signal
the fundamental frequency. The implemented function called acquired. The tests procedure consists of recording the
Level Detect, needs as an input, the frequency ranges armature current during the motor startup with a 60% of the
computed for every detailed and approximation signal along rated terminal voltage, in order to prevent that the startup
with the fundamental frequency from the FFT computation; transient transposes the sidebands evolution. The fundamental
this function highlights the detailed signal where the frequency of 60 Hz is observed in the detailed signal d8 using
fundamental frequency is present, as shown in Fig. 4, allowing the selected sampling frequency to acquire the signals,
the user recognize the aforementioned characteristic v-shape however the function implemented may obtain satisfactory
pattern. results using any sampling frequency, or processing a signal of
different frequency. The total time (start-up time) was 7
The first method by which the user can detect a failure is, seconds for the tests performed in this section.
as mentioned before, the recognition of the v-shape pattern of
at least three decomposition signals, below the one containing Firstly, the results of the Wavelet Transform option of the
the fundamental frequency. The second method consists of start-up transient condition, for the three cases studied, i.e.
reviewing the proposed indexes to quantify the level of
deterioration of the rotor’s bars.

Fig. 4 Detail and approximation signals for the start-up current of the healthy
rotor condition test. Fig. 5 Computed indexes for the tests performed.
 2016 IEEE International Autumn Meeting on Power, Electronics and Computing (ROPEC 2016). Ixtapa, Mexico
healthy rotor, 6 broken bars rotor, 7 broken bars rotor are
presented. On Fig. 6, the level-10 approximation signals are
displayed. Note that the behavior on this graph, showing the
frequency band corresponding to [0, 9.965] Hz interval, is the
expected one for the healthy rotor test. This can be stated
because there are no significant oscillations on the central part
of the graph. On the other hand, the six broken bars rotor test
presents significant oscillations, as well as the one with the
seven broken bars. In addition to the characteristics described,
on Fig. 6, the approximation signals display oscillations on the
final part of the test; this is a non-desirable response because of
its contribution on the computed indexes; on [15] this problem
is addressed.
The indexes values obtained through the developed program
for the healthy rotor are considered as the reference values for
the following tests. On Fig. 5, the computed indexes are
displayed for the purpose of visualizing these data. The indexes
for the healthy rotor tests tend to increase on magnitude along
with the number of broken bars; moreover, the gap between the
indexes from the 6 broken bars and the 7 seven broken bars
tests tends to be proportional to the number of broken bars
present on the rotor as seen on Fig. 5. This behavior confirms
the usefulness of the proposed indexes for monitoring
purposes; the proposed method intends to use the computed
indexes as it follows: first, a reference value is computed on the
current motor condition, whether healthy or not. Secondly, a
periodic or on-line monitoring of the start-up current has to be
scheduled and keep a record of the program results. When a
predefined threshold is reached, predictive maintenance should
be performed. The next value (threshold) of the index that is
expected to occur when a new rotor bar is broken, is indicated
by a yellow-dashed line in Fig. 5, and is computed considering
the gap between two failures.
Besides Wavelet Transform, the program allows to
compute the STFT using the same start-up data, with the
purpose of obtaining an analysis and diagnose of the state of
the machine's rotor. As previously exposed, the general
description of this transformation consists on applying the FT
on a sliding window of the input signal. In the configuration
options of this part of the program, the user needs to input the
following parameters: the length window in terms of time, the
sliding time, and the resolution of the FFT in terms of samples.
Once the user inputs this data, the program requests whether or
Fig. 7 Spectrogram corresponding to the test of the healthy rotor condition.
Fig. 8 Spectrogram corresponding to the test of 6 broken bars rotor condition.
not to cut the original current signal, to avoid processing
unnecessary portions of the signal. Once the configuration
parameters are ready, the program outputs results, that include:
the spectrogram corresponding to the STFT, the magnitude of
the transformation is represented on the z-axis, the frequency
on the y-axis and the time on the x-axis. In addition to the
spectrogram, the software tool displays additional data on the
UI: type of window used to perform the FFT, frequency
resolution, slide steps, adjustment of the z-axis and the colors
map configuration of the spectrogram.
It is important to note that the same data used for the
Wavelet analysis can be used for the STFT analysis as well.
When a healthy rotor is analyzed, the v-shape pattern is not
visible, as shown in the spectrogram of Fig. 7. This type of
analysis searches for a particular pattern on the magnitude of
the frequency bands on the spectrogram. This pattern is known
as a v-shape pattern; in case of broken bars present on the rotor,
the aforementioned pattern should appear right under the band
corresponding to the fundamental frequency, as seen on Fig. 8.
The characteristic pattern depends, as indicated in [16], [17],
[13], among others, on the particular evolution of the left side
band. As stated before, the frequency of the left side band at
the beginning of the start-up equals the frequency of the power
supply (slip=0), when the slip reaches a value of 0.5, the left
side band frequency falls to a near-zero value; finally, on
steady state, the left side frequency reaches again the value of
the power supply. The evolution of the left side band was
identified on the spectrograms for both, the tests of 6 and 7
broken bars; only the results for the healthy and 6 broken bars
conditions are presented on the following paragraphs.
On Fig. 7 the spectrogram obtained for the healthy rotor
test is shown. Note that the red-colored lines represent, on the
z-axis, the magnitude of the current, along the time axis on a
frequency band, on rms values. At least three red lines are
present: the first one corresponding to the fundamental
frequency of the 60 Hz power supply represents the greater
energy concentration. Also the fifth and seventh harmonics
(300 and 420 Hz respectively) are present on the spectrogram.
The configuration data requested by the program were set to:
FT length: 8192 samples, sliding-window time: 17 ms,
frequency bands: 48611. These data remain fixed for the
following tests, and offer an adequate resolution in time and
frequency, as seen on the reported spectrograms (see Fig. 7,
 2016 IEEE International Autumn Meeting on Power, Electronics and Computing (ROPEC 2016). Ixtapa, Mexico
Fig. 8). However, the program allows changing the
configuration parameters at any time, for further tests on
different motors. The spectrogram obtained for the start-up
corresponding to the rotor with 6 broken bars is presented on
Fig. 8. The frequency axis adjustment was set to a maximum
value of 540 Hz in order to appreciate the v-shaped pattern
which is present below the fundamental frequency. The
characteristic evolution of the left sideband was found on the
tests for the 6 and 7 broken bars; as it is seen on Fig. 8, the
pattern is highlighted on the spectrogram with a black-dashed
line with the corresponding label. At this point, the user should
notice that a failure on the rotor is present. The left sideband
begins at a value of frequency close to the fundamental
frequency, at approximately 3.4 seconds, the value of the left
sideband frequency reaches a value near to zero and, finally at
6 seconds, the value of the left sideband frequency reaches
again the frequency of the power supply. Note that the start-up
of the motor is carried on unloaded; this indicates through the
classic approach of sidebands, that the sidebands are
superimposed to the fundamental frequency band, because the
slip has a near-zero value.
In the spectrogram presented in Fig. 8, the bands
corresponding to the fifth and seventh harmonic components
are shown on the 300 Hz and 420 Hz bands respectively. On
the other hand, the presence of the right side band begins its
evolution on the 3fs (180 Hz) band, it reaches a value that is
superimposed to the main frequency band. This behavior is
proposed in [13] as a complementary diagnosis in monitoring
sidebands in the rotor. Is important to note that both, the left
and right sideband can be detected by the developed software.
In this type of analysis, an index to quantify the level of failure
has not been programmed yet; this implementation is proposed
to be included in future upgrades on the software tool.
V. CONCLUSIONS
A revision of some of the latest methods for the Transient
Motor Current Signature Analysis (TMCSA) has been
presented. The implementation of this method was also
performed, using a specialized software tool. Monitoring
techniques for the quantification of rotor broken bars have been
proposed as well; this is achieved through the implementation
of indexes along with the Wavelet Transform. A method is also
proposed to use the mentioned indexes. The main feature of the
proposed indexes is based on the determination of the
magnitude of the gap between the decomposition and
approximation signals; when a considerable gap exists, one
may determine that there exists a failure on the bars of the
rotor. However, it is important for future works, determine the
magnitude’s gap under different tests, i.e. to carry on tests with
motors of different ratings. In this case it is necessary to
implement statistical functions (standard deviation, variance,
covariance) to verify the usefulness of the proposed indexes.
VI. ACKNOWLEDGMENTS
The first author thanks the Instituto Politécnico Nacional
(IPN) for the doctorate’s scholarship, plus the resources of the
research project 1734, which were necessary to acquire the
components that were used to implement the equipment
described in this work. Funding from CONACyT in project
83701 is also gratefully acknowledged.
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