1990
5, MAY 2011
A Simple Real-Time Fault Signature Monitoring Tool
for Motor-Drive-Embedded Fault Diagnosis Systems
Bilal Akin, Member, IEEE, Seungdeog Choi, Student Member, IEEE,
Umut Orguner, Member, IEEE, and Hamid A. Toliyat, Fellow, IEEE
Abstract—The reference frame theory constitutes an essential
aspect of electric machine analysis and control. In this study, apart
from the conventional applications, it is reported that the reference
frame theory approach can successfully be applied to real-time
fault diagnosis of electric machinery systems as a powerful toolbox
to find the magnitude and phase quantities of fault signatures with
good precision as well. The basic idea is to convert the associated
fault signature to a dc quantity, followed by the computation of
the signal’s average in the fault reference frame to filter out the
rest of the signal harmonics, i.e., its ac components. As a natural
consequence of this, neither a notch filter nor a low-pass filter is
required to eliminate fundamental component or noise content.
Since the incipient fault mechanisms have been studied for a long
time, the motor fault signature frequencies and fault models are
very well-known. Therefore, ignoring all other components, the
proposed method focuses only on certain fault signatures in the
current spectrum depending on the examined motor fault. Broken
rotor bar and eccentricity faults are experimentally tested online
using a TMS320F2812 digital signal processor (DSP) to prove the
effectiveness of the proposed method. In this application, only
the readily available drive hardware is used without employing
additional components such as analog filters, signal conditioning
board, external sensors, etc. As the motor drive processing unit,
the DSP is utilized both for motor control and fault detection
purposes, providing instantaneous fault information. The pro-
posed algorithm processes the measured data in real time to avoid
buffering and large-size memory needed in order to enhance the
practicability of this method. Due to the short-time convergence
capability of the algorithm, the fault status is updated in each
second. The immunity of the algorithm against non-ideal cases
such as measurement offset errors and phase unbalance is theo-
retically and experimentally verified. Being a model-independent
fault analyzer, this method can be applied to all multiphase and
single-phase motors.
Index Terms—AC motor drive, broken rotor bar, condition
monitoring, eccentricity, fault diagnosis, induction motor, refer-
ence frame theory, signal processing.
I. I NTRODUCTION
T HE indusrtry’s dependence on ac machines in critical
applications often results in very costly shutdowns due
Manuscript received June 2, 2009; revised September 29, 2009 and
March 16, 2010; accepted May 2, 2010. Date of publication June 10, 2010;
date of current version April 13, 2011.
B. Akin is with Texas Instruments Incorporated, Dallas, TX 75243 USA
(e-mail: akinbilal@ti.com).
S. Choi and H. A. Toliyat are with the Department of Electrical and Com-
puter Engineering, Texas A&M University, College Station, TX 77840 USA
(e-mail: toliyat@ece.tamu.edu).
U. Orguner is with the Department of Electrical Engineering, Linköping
University, 581 83 Linköping, Sweden.
Color versions of one or more of the figures in this paper are available online
at http://ieeexplore.ieee.org.
Digital Object Identifier 10.1109/TIE.2010.2051936
0278-0046/$26.00 © 2010 IEEE
IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 58, NO.
to motor failures. Therefore, fault diagnosis and condition
monitoring have been studied in the recent decade to pre-
vent costly interruptions due to motor faults [1]–[7]. As a
widely applied method, phase current analysis has received
much attention in search of providing a practical solution to
continuous monitoring and incipient fault detection [1]–[4].
Although alternative methods such as vibration analysis with
accelerometers and thermal analysis provide satisfactory results
[5]–[7], continual low-cost protection without the use of extra
sensors and hardware is always the most attractive method for
a greater market share.
Although the practical problems of utility-driven motor fault
diagnosis are well known [3]–[6], the inverter-driven systems
need further analysis to overcome problems such as high
noise floor of current spectrum, operating-point-dependent fault
signature frequencies, transient-state dynamics of fault signa-
tures, closed-loop and current regulator effects, etc. [8]–[15].
In the case of closed-loop control, the feedback and the current
regulator bandwidths can potentially yield erroneous results
unless their impacts are particularly taken into consideration
during the analyses [8]–[10]. Furthermore, the impacts of the
control parameters and physical modifications on decoupled
flux and torque components of stator current are different from
each other [10]. When the motor is run by an adjustable-speed
drive, the stator is excited at various frequencies depending on
the speed command and the applied load. This situation makes
the fault signatures shift in the current spectrum and creates
difficulty in accurate fault signature tracking. Even though the
noise and various harmonic contents in the current spectrum
of the inverter-fed motor degrade the accuracy of most analy-
ses, among these, the low-order harmonics excite additional
fault signatures which can yield more reliable fault decision
[11]. Various techniques are presented and applied successfully
to particular rotor fault diagnosis problems of field-oriented-
controlled induction machine [12]–[15].
The line current information of inverter fed motors is readily
available for control and protection purposes. Thus, the new
trend for low-cost protection is the motor-drive-integrated fault
diagnosis systems without using any external hardware. Even
though numerous offline fault detection methods are reported
using costly hardware and high-level software, the implemen-
tation of a low-cost real-time monitoring has still been a chal-
lenge due to the involved computational complexity. In order to
achieve low-cost online monitoring, the diagnosis algorithms
should be simple enough to be executed using industrial micro-
processors in real time. Since thousands of data are processed,
and the number of data is a critical parameter for precision, the
AKIN et al.: FAULT SIGNATURE MONITORING TOOL FOR MOTOR-DRIVE-EMBEDDED FAULT DIAGNOSIS SYSTEMS
proposed solutions should avoid storing or buffering data. In
order to examine the practicability, various techniques are im-
plemented using industry-purposed microprocessors [15]–[21],
which is the pioneering step of low-cost drive-integrated fault
diagnosis systems.
A model-based fault monitoring method avoiding frequency
analysis is presented as a possible scheme that can be tailored
to variable-speed drives in [15]. It is claimed in [16] that
the time–frequency distribution-based solutions are practical
enough for commercial implementations. In [16], after elimi-
nating the fundamental component and high-order frequencies
using a switch capacitor filter, the stator current is processed
in real time by a digital signal processor (DSP) that runs a fault
diagnosis algorithm developed for nonstationary signals based
on Hilbert transformation and Zhao–Atlas–Marks distribution.
In [17] and [18], a DSP is utilized both for motor control and
motor fault diagnosis based on lock-in detection and multiple
reference frames, respectively. Another DSP implementation is
presented in [19] to detect mechanical load faults in induction
motors during speed transients based on Wigner distribution.
Previously applied to sensorless motor control, a high-frequency
signal injection technique is discussed in [20] as a possible
solution that can be integrated to fault diagnostic schemes.
The reference frame transformation-based algorithm adopted
in this paper is quite simple and efficient; therefore, it is directly
added into the main motor control subroutine (fast loop) in
DSP program. Typically, four different fault signatures can be
tracked simultaneously in parallel without violating the CPU
utilization limits and degrading the control performance. Be-
cause the stator frequency and shaft speed are mostly available
as drive control parameters, the frequency of each fault signa-
ture harmonic is updated dynamically using these parameters.
These updated frequencies are utilized to synchronize the fault
reference frame and the fault vectors to monitor the motor
condition not only at steady state but also during transients.
Furthermore, since each measured piece of data is processed in
real time, instead of buffering, the method does not suffer from
memory shortage. The tests under nonideal conditions such as
offset, unbalance, etc., proved that they do not affect the results.
The average of transformed signal in the fault reference frame
converges and settles down to a dc level quite fast; therefore,
the diagnosis process can be finalized typically in 1 s.
On the other hand, inverter-driven motor phase currents are
influenced by many factors such as static and dynamic loading,
motor speed transients, etc. Hence, the phase currents and mod-
ulated operating-point-dependent fault signatures are accepted
as nonstationary signals [27]. However, it is well known that
Fourier transform techniques are not sufficient to represent non-
stationary signals. When a nonstationary signal is transformed
into the frequency domain, most of the information about the
transient components of the signal is lost [29], [30], and hence,
a hybrid method is proposed in [32]. Even the techniques such
as short-time Fourier transform, where a nonstationary signal is
divided into short pseudostationary segments, are not suitable
for the analysis of signals with complex time–frequency charac-
teristics [27], [28]. During the experimental stage, it is observed
that the partial use of these methods suffers from hardware
limitations of low-cost real-time monitoring systems.
1991
In this paper, a simple motor-drive-integrated fault di-
agnosis method is proposed and implemented using the
core microprocessor of the inverter (Texas Instruments DSP
TMS320F2812). The reference frame theory approach (RFTA)
is employed to measure the normalized amplitude of fault-
related harmonics. Instead of checking the whole current spec-
trum or evaluating the current waveform roughly, each time,
only a few fault-related harmonics are checked and measured to
speed up the process and to lower the computational burden. As
a basic tool, various reference-frame-theory-based applications
are reported in the literature, such as learning Park’s vector
pattern based on artificial neural network to discern healthy and
faulty patterns [22], finding deviation in an actual Concordia
pattern that is used to determine the types and magnitude
of faults in drive systems and stator, respectively [23], [24],
obtaining negative-sequence stator-fault-related indices from
the line current [25], and detecting negative-frequency rotor
asymmetry signatures at standstill based on complex fault
signature vectors [26]. The scheme proposed in this paper is
applicable to all kinds of motor faults at all operating points
even if only single-phase measurement is provided. Therefore,
it performs as a generic fault harmonic analyzer at user-defined
fault frequencies. Its performance does not depend on motor
control strategy or machine parameters such as stator/rotor
resistances and machine inductances. As long as the motor
generates a periodic fault signature and the frequency of the
fault signature can be calculated or known, the RFTA can
capture it both at the steady state and transients as it is motor
model independent. The saturation and high temperature are
physical facts basically affecting the parameters of the motor
model. Since the proposed method does not depend on the
motor parameters, it is not affected from saturation and high
temperature. Neither analog nor digital filter is needed to elim-
inate high-energy content or various unpredictable operating-
point-dependent noise harmonics.
II. A DAPTATION OF R EFERENCE F RAME T HEORY
A. Reference Frame Theory
The reference frame theory has successfully been applied
to various motor control schemes for more than a couple of
decades. Since its basics are well known, only a generalized
version of it is given here briefly in (1) and (2). The commonly
used transformation is the poly-phase to orthogonal two-phase
transformation. For the n-phase to two-phase case, it can be
expressed in the arbitrary reference frame as
[fxy ] = [T (θ)] · [f123,...,n ] (1)
where
[T (θ)]
  
2 cos(P θ/2) cos(P θ/2−ξ) · · · cos (P θ/2−(n−1)ξ)
=
n sin(P θ/2) sin(P θ/2−ξ) · · · sin(P θ/2−(n−1)ξ)
(2)
with P being the number of poles, θ being the angle between the
stationary and rotating frames, and ξ being the electrical angle
between adjacent magnetic axes of the uniformly distributed
1992
Fig. 1. Fault vector with other harmonic vectors in the stationary and rotating
(fault) reference frames.
n-phase windings. One must note that the notations, indices,
and axes of the frames might change depending on how they
are defined by the user. In the literature, there are different
representations of the reference frame theory, but the basics of
all are the same. By judiciously choosing the reference frame, it
is possible to monitor motor faults, whose effects are reflected
to the line current as detailed in the following section. Note that
the fault reference frame modules in the software work sepa-
rately and independently than the ones used for motor control.
B. Fault Component Analysis of Multiphase Systems
The fault component space vector in the stationary reference
frame is defined as the complex quantity
îfc_αβ (t) = ifc_α (t) + jifc_β (t).
Complex current harmonic vectors describe a circular trajec-
tory in the space vector plane as shown in Fig. 1.
Therefore, a multiphase system in phase variables transforms
to a circular locus in the equivalent two-axis representation.
In Fig. 1, the radius of the circle around the origin is the
peak magnitude, and the vector rotation frequency is equal to
the angular frequency of the inspected fault vector (vectorial
representation of the fault-related signal in the stator current).
Note that the drawings in Fig. 1 are exaggerated to explain
explicitly the basics of the theory; indeed, the magnitude of
fundamental harmonic is several times higher than those of
all line and fault harmonics. If the rotating reference frame is
defined where the axes are made to rotate at the same rate as
the angular frequency of the inspected fault vector, a stationary
current vector results, where its orthogonal components are dc
quantities. In this paper, the rotating reference frame is defined
⎡
 2  2  ⎤1/2

N 
⎢ ifc_dk +
1 1
Ifc ⎢ N N
⎢
k=1 k=1
Ifund = 20 log ⎢
⎢   2 
⎣
N N
1
ifund_dk + N1
N
k=1
IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 58, NO. 5, MAY 2011
as fault reference frame. In other words, the fault reference
frame is a rotating reference frame which is synchronized to
the fault vector ifc in order to keep it stationary and convert the
vector and its orthogonal d−q projections to dc. The current
harmonic space vector in this fault reference frame is given by
îfc_dq = ifc_d + jifc_q
= îfc ej(θfc −ϕfc ) in the stationary frame
= îfc ej(ϕfc ) in the rotating (fault) frame (θ = θfc ) (4)
where θfc is the angle between the stationary reference frame
and the fault reference frame, ifc is the fault vector (vectorial
representation of the fault signature), and ϕfc is the phase angle
between the fault vector and fault reference frame. The phase-A
stator current can be modeled as
istator_A (t) = ifc cos(θfc −ϕfc )+inoise cos(θnoise −ϕnoise ) (5)
where all the components in the stator current other than the
fault signature are represented by the second term, including
fundamental component, all multiples of low-order harmonics,
dc offset, and the noise content. All we require from the noise
terms in (5) is that they do not have components at the fault
frequency. In practice, the phase current is composed of infinite
harmonic vectors besides the fault components, where θfc =
θnoise . If (5) is substituted into (1)–(4), all harmonics other than
the inspected one remain as ac in the fault reference frame, as
shown in the following equation:
îstator_dq (t) = îfc e−jϕfc + înoise ej(θnoise −θfc −ϕnoise ) . (6)
     
stationary nonstationary
component components
(3) The average of these ac harmonics converges to zero and has
a negligible effect on the average after some sufficient time.
In other words, the reference frame synchronized to the fault
component shifts the frequency spectrum of the phase current
by the frequency of fault component. This frame converts only
the associated fault harmonic vector to a stationary vector at
0 Hz whose projection on orthogonal base vectors is dc, and
the averages are nonzero in time. The resultant fault vector
modulation is normalized with respect to the fundamental
vector which is computed at the stator reference frame. The
ratio gives the relative magnitude of the fault harmonic as
(7), shown at the bottom of the page, where ifund_dk and
ifund_qk are the dq components of fundamental harmonic, θfund
is the angular position of the stator reference frame, and Ifund
and Ifc are the relative magnitudes of the fundamental and
fault harmonic vectors, respectively. In addition to the fault
harmonic magnitude calculation, the phase angle information
of associated harmonic vector can also be found using the
N
ifc_qk ⎥
⎥
 θ=θfc ⎥
 2 ⎥
⎥
dB (7)
⎦
ifund_qk
k=1
θ=θfund
AKIN et al.: FAULT SIGNATURE MONITORING TOOL FOR MOTOR-DRIVE-EMBEDDED FAULT DIAGNOSIS SYSTEMS 1993

dq components obtained by the proposed technique as given

in the following equation:
⎛ ⎞

N
1
ifc_qk
⎜N ⎟
⎜ k=1 ⎟
ϕfc = tan−1 ⎜ θ=θfc ⎟ . (8)
⎝ 1 
N ⎠

ifc_dk
N
k=1 θ=θfc

C. Fault Component Analysis of a Single Phase

For further simplification, this method is reduced to a single
phase by assuming harmonic vector as pure imaginary or real.
The single-phase analysis has lesser computational burden and
provides implementation opportunity even if only one sensor
reading is available. Reducing the number of hardware com-
ponents like current sensors and interface circuit for signal
conditioning naturally yields greater reliability. Since the char- Fig. 2. Single-phase fault vector transformation.
acteristic features of the fault signatures are expected to be
identical in all three phases, the results are the same as that representations of vectors and frames in (9) are shown in Fig. 2.
of the multiphase analysis case. Although the averages of fault The fault component is decoupled into two as designated in the
frame dq components are different from the ones obtained for first part of (9), one of which is rotating synchronously with
multiphase, the normalized ratios remain the same. During the fault frame and the other component is rotating in the opposite
single-phase analysis, one of α or β components is set to zero, direction where the fault vector is oscillating on the real
and the other one is set to one of the three-phase current. axis of the stationary frame. When these two components are
Alternatively, setting both of them to the same phase quantity superimposed in the fault reference frame as given in the second
yields the same result as well. In order to depict single-phase part of (9), it is clearly seen that the first component of the
analysis, stationary frame real component is set to iα (t) = fault harmonic becomes dc and survives while the second one
ifc cos(θfc − ϕfc ) and iβ (t) = 0 as in the first case mentioned remains ac and vanishes after averaging as other nonstationary
earlier. After the reference frame transformation, the fault vec- harmonic content in the rotating fault reference frame.
tor synchronizes to the fault reference frame where θ = θfc as Similar to (6), the stator phase current is represented in the
in Fig. 2. Here, in order to explain the transformation visually fault reference frame as
as in the multiphase case, the rotating components of the single-
phase fault vector decoupled using Euler’s formula given as îstator_dq (t) = ifc e−jϕfc + ifc e−j(2θfc −ϕfc ) + înoise e−jθnoise .
⎛ ⎞      
ifc1 ifc2 stationary nonstationary
        component components
⎜ i(θ −ϕ ) ⎟ −iθ (10)
îfc_dq = ifc ⎜
⎝e
fc fc
2 + e−i(θfc −ϕfc ) 2⎟
⎠e
fc

Therefore, the mean of the projection of the stator current on the

    d-axis of the fault reference frame, including all the harmonics,
= ifc e−iϕfc 2 + e−i(2θfc −ϕfc ) 2 (9) is equal to the mean of the stationary component of the fault
vector on the d-axis, as shown in (11) at the bottom of the
where e−iϕfc /2 is the dc component, e−i(2θfc −ϕfc ) /2 is the ac page, where N is the number of processed data. Likewise, the
component, and ϕfc is the phase angle between the rotating mean of the fault harmonic on the q-axis can be calculated as
fault reference frame and the fault harmonic vector. The shown in (12) at the bottom of the page. Finally, the relative

  −jϕfc   j(θnoise (k)−θfc (k)−ϕnoise ) 

1 
N
e e−j(2θfc (k)−ϕfc ) e ej(θnoise (k)+θfc (k)−ϕnoise )
īstator_d =  ifc + + inoise +
N 2 2 2 2
k
ifc
−−−−−→ īfc_d = cos(ϕfc ) (11)
N →∞ 2

  −jϕfc   j(θnoise (k)−θfc (k)−ϕnoise ) 

1 
N
e e−j(2θfc (k)−ϕfc ) e ej(θnoise (k)+θfc (k)−ϕnoise )
īstator_q =  ifc + + inoise +
N 2 2 2 2
k
i
−−−−−→ īfc_q = fc sin(−ϕfc ) (12)
N →∞ 2
1994
Fig. 3. Simulation of harmonic vector tracks when the reference frame is
rotating at θ = θfc . (a) Fault component at 33.33 Hz. (b) First harmonic at
60 Hz. (c) Third harmonic at 180 Hz. (d) Fifth harmonic at 300 Hz.
magnitude of the fault component in the fault reference frame is
found as
! one does not affect the result, provided that the algorithm is run
ifc
|Ifc | = ī2fc_d + ī2fc_q = . (13)
2 turns out to be a vector rotating in the fault reference frame in
Note that the same procedure is repeated for the fundamental
component in order to normalize the result. Thus, at the end, the
term N and constant coefficients are simplified, and an exact
value of the fault component with respect to the fundamental
component is found. When the αβ components are taken as
iα (t) = ia (t) and iβ (t) = ia (t), then the dc components in the
fault reference frame will converge to
ifc
īstator_d = (cos(ϕfc ) + sin(ϕfc )) (14)
2 0.3-p.u. dc offset, as shown in Fig. 4(a) and (c). In the three-
ifc
īstator_q = (cos(ϕfc ) − sin(ϕfc )) (15)
2
where the relative ratio between the fault component and the
fundamental component magnitudes remains the same as cal-
culated in the previous case and multiphase case.
Simulation of typical harmonic vector tracks after single-
phase transformation given through (11)–(13) is shown in
Fig. 3, where θ = θfc and stator current is composed of 1.0-p.u.
first harmonic, a number of 0.01-p.u. (−40-dB) low-order odd
harmonics, and −80-dB fault signal at 33.33 Hz. It is clear that
only fault component harmonic has dc offset and that the rest
are located symmetrically around the origin with average values
converging to zero. Therefore, after a certain number of cycles,
the average of the transformed signal magnitude converges to
the magnitude of stationary vector, and the impacts of other
nonstationary components converge to zero.
III. I MMUNITY OF RFTA AGAINST N ONIDEALITIES
In the harsh industrial plant environment, it is highly possible
to observe cases where the motors run under nonideal con-
ditions or measurement devices function inaccurately. In this
IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 58, NO. 5, MAY 2011
section, the impacts of the most often encountered problems on
the proposed technique are examined.
A. Offset Errors
First, the line current measurement offset error is studied,
which is mostly caused by either signal conditioning boards or
current sensing system. In this case, the stator phase current is
added an offset term ς
istator_A (t) = ifc cos(θfc − ϕfc )
+ inoise cos(θnoise − ϕnoise ) + ς. (16)
In the rotating frame (θ = θfc ), substituting (16) into (1) and
(2) for three-phase system analysis, the stator current vector is
written as
îstator_dq (t) = îfc e−jϕfc + înoise ej(θnoise −θfc −ϕnoise )
     
stationary nonstationary
component components
+ ςe−θfc . (17)
  
nonstationary
component
As mathematically derived in (10)–(12), the impact of noise
component, including all harmonics, other than the fault-related
for a long enough time. As shown in (17), the dc component
the opposite direction. Similar to other harmonics, the mean of
its projections on the rotating axes converges to zero. Although
(16) and (17) are derived for the three-phase system, if (16) is
substituted into (11)–(13), the same result can be obtained for
the single-phase case as well.
The derivations are simulated both for the three- and single-
phase cases, as shown in Fig. 4, under practical assumptions.
Both the three- and single-phase stator current models have
−40-dB fault signature at 144 Hz, 10% THD, 40-dB SNR, and
phase simulation, only one of the line current is added a dc
offset where the result would be the same as in the case when
all the phases are added. In Fig. 4(c) and (d), the time averaging
results show that the dq components of both methods converge
to the final average value quite fast even under various distort-
ing impacts and dc offset simply by eliminating them in the
rotating fault frame. After repeating the same procedure for the
fundamental component to normalize the fault component as
given in (7), both of the normalized fault signature magnitudes
are found as −40.087 dB, with and without offset. Note that the
accuracy of the final average values is further enhanced using
simple windowing techniques in order to get rid of the negative
impacts of high-energy components.
B. Unbalanced Phase Currents
The variations of the signal amplitudes mostly depend on the
parameter unbalance of the phases or supply unbalance. The
relative effect of the phase unbalance on the fundamental
component and the fault signature are proportional to each
other. Because the proposed solution detects the faults based
on the normalized values, but not on the absolute magnitudes,
AKIN et al.: FAULT SIGNATURE MONITORING TOOL FOR MOTOR-DRIVE-EMBEDDED FAULT DIAGNOSIS SYSTEMS 1995

Fig. 5. (a) Unbalanced three-phase stator currents (in per unit): Phase A
has 1.5 times higher amplitude. (b) Time average of the fault signature dq
components when the frame is rotating at 144 Hz. (c) Same dq components
Fig. 4. (a) Three-phase stator currents (in per unit): Phase-A has 0.3-p.u.
as (b) when all three phases are balanced.
offset. (b) Time average of the fault signature dq components when the frame is
rotating at 144 Hz using the three-phase method. (c) Single-phase stator current TABLE I
with 0.3-p.u. offset. (d) Time average of the fault signature dq components ANALYSIS OF PROXIMATE HARMONICS
when the frame is rotating at 144 Hz using the single-phase method.

the “ratio” between the fault signature and the fundamental

component remains the same. This is valid both for single-
and three-phase analyses. Therefore, the proposed method is
not affected when the phase amplitudes are not the same. The
most common unbalanced stator conditions are unbalanced
source voltages and unbalanced loads [31]. In these cases,
the source voltages might be different as ega = egb = egc and
ega = egb = egc , or the applied voltages might be different due
to a series additional load as
2
vas = ega − ias Zs
3
1
vbs = egb + ibs Zs C. Proximity of the Harmonics
3
1 In some cases like broken bar fault analysis, the fault signa-
vcs = egc + ics Zs (18)
3 tures are in the close vicinity of the fundamental harmonic or
where vas , vbs , and vcs are the applied phase voltages and other rotor asymmetry components. Therefore, the resolution
Zs is the additional phase load that causes unbalanced load of the fault diagnosis tool should be high enough to correctly
situation in a Y-connected three-wired system. In addition to distinguish each harmonic component. In order to test the
this, the supply can be balanced, but the impedances might be RFTA, a number of neighboring harmonics are injected to the
different from each other. When the saturation is ignored, it is fundamental harmonic as shown in Table I, i.e., 54, 56, and
clear that all of the harmonic content proportionally changes in 58 Hz. Then, the proposed method is run at each frequency
each phase under all unbalanced conditions. The three-phase starting from 54 to 61 Hz, increasing the frame frequency by
transformation can be decoupled as a balanced three-phase one at each time. The simulation results prove that the proposed
vector and an additional single-phase vector causing unbalance, method is highly promising in differentiating the neighboring
both of which are detailed in the previous section. The resultant components, as shown in Table I, provided that sufficient data
averaged magnitude of each harmonic will be different from are used. Note that the amounts of decoupled dq components
the balanced condition; however, the normalized amplitudes vary depending on the phase angle of the injected harmonics.
remain constant. In Fig. 5(a), the unbalanced three-phase stator
current model has −40-dB fault signature at 144 Hz, 10% THD, D. Phase Delay
and 40-dB SNR. Phase-A current amplitude is intentionally
kept 50% higher than the other phases to simulate the unbal- Phase delay between the rotating frame and the inspected
anced three-phase system. After applying the procedure given harmonic or other harmonic components does not degrade the
through (1)–(7), the normalized fault components are calculated results. In Table I, the line currents are composed of different
as −40.247 and −40.087 dB for the unbalanced and balanced harmonics at different frequencies and phase delays. The phase
conditions, respectively. The simulation results show that the differences of injected harmonics change the amplitudes of the
proposed method can be applied to unbalanced systems to find dq components, as given in (6) and Table I, but do not affect the
normalized motor fault signature magnitudes reliably. magnitude of the examined component.
1996
Fig. 6. (a) Phase A of stator current in transient state. (b) dq components
of the fundamental component. (c) dq components of the fault component.
(d) Time average of the normalized fault component.
E. Transient-State Analysis
So far, it is assumed that the rotor speed, fundamental stator
frequency, and the load level are all constant. In practice, the
steady-state assumption in fault detection analysis is not valid
for many applications where constant speed cannot always
be guaranteed (e.g., in wind generation or hybrid electric ve-
hicle (HEV) drive cycles). The classical applications of fast
Fourier transform (FFT) show an averaged frequency distrib-
ution, and there is no time representation. Fluctuations in the
instantaneous frequency and amplitude as a result of machine
operation or loading effects are averaged out. Therefore, an
accurate detection under transient conditions cannot easily be
accomplished. The transient state degrades the performance of
RFTA as well, however, due to its particular features; the results
are superior to similar applications. Ignoring the rest of the
spectrum other than the inspected vector, RFTA provides fast
update opportunity which is an inevitable criterion for transient-
state analysis. Second, due to the readily available drive control
parameters such as stator frequency and rotor speed, one can
continually update the operating-point-dependent fault signa-
ture frequencies on the order of microseconds and keep the
track of normalized magnitude during transients.
In order to simulate the transient response of the proposed
method, a stator current is modeled with exponentially ris-
ing amplitude and linearly increasing frequency as shown in
Fig. 6(a). A 0.01-p.u. fault component is injected to the stator
current, the frequency of which is five times higher than the
fundamental. The proportional increase in both fundamental
and harmonic currents during transient is a consistent assump-
tion with the transient model given in [31]. The transient-state
dq components of the fundamental and the fault components
obtained by (1)–(6) are shown in Fig. 6(b) and (c). The time
average of the normalized fault component is shown in Fig. 6(d)
which shows the instantaneous update of (7). As shown in
Fig. 6(d), the normalized fault magnitude converges to the final
value pretty fast and is accurately under transient condition
as well. The update duration can be shortened by selecting a
narrower window or multidata windows, following each other
IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 58, NO. 5, MAY 2011
Fig. 7. Experimental setup.
with equal amount of delays running in parallel. If the experi-
enced system transients are too fast, either of these methods is
necessary in order to obtain acceptable precision.
F. Unfiltered Fundamental and High-Energy Components
The experimental and simulation tests verify that the res-
olution of the fault detection can further be improved and
corrected using quite simple windowing techniques. Remember
that this technique operates on a finite-length time record in an
attempt to estimate periodic harmonic vector magnitude, which
averages over all periods. When the current signal includes low-
order harmonics and particularly fundamental component with
high-energy content, the fault analysis suffers from these domi-
nating components and results in slightly oscillatory waveforms
as shown in Fig. 3(b) and (d). At the end of averaging, if all
ac components perfectly end up with an integer number of
periods, the final value would be free of error; however, this
is an unrealistic case. The results can be improved either by
processing more data or window weighting to minimize this
error and ensure accuracy. The results obtained in Table I and
the normalized fault component shown in Fig. 5(d) are obtained
by means of a weighted window. As shown in Fig. 5(d),
zeroing the oscillatory behavior at the end, the normalized
average converges to the actual value with very high precision.
Exhibiting robust features against the many nonidealities, in-
accurate speed information would degrade the performance of
the proposed method. This is because the fault signal in the
new reference frame will not be stationary and the averaging
will yield erroneous results. This issue is valid for many au-
tocorrelation and discrete-Fourier-transform-based solutions as
well. A frequency offset search algorithm can partially solve
this issue as long as the fault generates symmetric sidebands or
its multiple harmonics to double check and justify the search
result. Otherwise, the relevancy of the findings to the inspected
fault signature cannot be guaranteed.
IV. E XPERIMENTAL R ESULTS
A number of identical induction motors are artificially mod-
ified to test broken rotor bar and eccentricity faults. The bro-
ken bar rotor has 4/44 broken bars, and the eccentric motor
is mechanically modified to form a mixed eccentricity with
20.69% dynamic eccentricity and 41.37% static eccentricity. A
3-hp induction motor is loaded by a dc generator and driven
by an inverter as shown in Fig. 7(a) and (b), respectively. The
inverter control [field-oriented control (FOC) or V /f ] and on-
line fault diagnosis are implemented simultaneously by a 32-b
fixed-point 150-MHz TMS320F2812 DSP which has a 12-b
AKIN et al.: FAULT SIGNATURE MONITORING TOOL FOR MOTOR-DRIVE-EMBEDDED FAULT DIAGNOSIS SYSTEMS 1997

Fig. 8. Block diagram of FOC-driven motor fault diagnosis implementation.

embedded analog-to-digital converter (ADC). A 16-b ADC at

a 256-kHz SR760 FFT spectrum analyzer is used to monitor
the real-time current and voltage spectra to verify the online ex-
perimental findings. Several experiments are performed under
various conditions such as different rotor speeds, slip values,
load conditions, switching frequencies, sampling frequency,
and the number of data processed to examine the reliability of
the proposed technique.
Since the results obtained by RFTA are the actual magni-
tudes, proposing a particular fault index scheme is not needed.
The results are simply compared with a predetermined thresh-
old to check the severity of the fault. The shortcomings of
constant threshold lookup table can be compensated using an
approximated adaptive threshold which is a function of the op-
erating point, i.e., the torque and the speed. In [16], an adaptive
threshold that varies as a fixed percentage of the fundamental
frequency component (in this case chosen as 2%) is proposed
for an automatic detection. In order to come up with a complete
dynamic behavior analysis of fault signatures, all the operating
points should be taken into consideration, including low-speed
region, saturation region, etc., which is considered as future
work in this study. Furthermore, the closed- and open-loop
adaptive threshold patterns must be determined individually.
The load-dependent linear magnitude change assumption in the
case of utility-driven and open-loop inverter control is not valid
for the closed-loop applications.
A. DSP Implementation of RFTA
The ultimate goal of this study was to come up with a smart
motor drive that can both control the motor and report the
incipient faults simultaneously using the drive-embedded DSP
as shown in Fig. 8. Therefore, simple but robust methods are
focused on in order not to overload the DSP during real-time
operations.
Fig. 9. DSP implementation timing.
During the RFTA implementation, the number of processed
data is chosen to be the same as the sampling frequency to
synchronize the fault subroutine with a motor control algorithm
as shown in Fig. 9. The number of data can typically be adjusted
between 4000 and 20 000 depending on the resolution require-
ments. When the motor is run from mains to get rid of insulated-
gate bipolar transistor switching frequency limit, and the DSP
is merely dedicated to the fault analysis, it is observed that
the resolution enhancement efforts beyond 20 000 data yield
negligible benefit for this application. A predetermined number
of data in each data window help the user to simplify averaging
by downscaling each measured current sample without the need
of buffering. When the switching frequency is set to 20 kHz, it
takes 1 s to process 20 000 data, which is long enough to handle
RFTA convergence time even at low frequencies where the
convergence takes longer time due to less numbers of averaging
periods.
Instead of synchronizing the fault algorithm to switching
frequency, one can set ADC to continuous conversion and run
consecutive fault diagnosis loops in each switching period. This
can be implemented during the residual time after the motor
1998
Fig. 10. DSP-based experimental results of open-loop V /f -controlled
inverter-driven motor sidebands. (a) Eccentricity signatures detected by RFTA.
(b) FFT spectrum analyzer output of eccentric motor line current. (c) Broken
bar signatures detected by RFTA. (d) FFT spectrum analyzer output of broken
bar motor line current.
control module to shorten the convergence time. Moreover, the
number of data can further be reduced to get faster response in
order to track the fault signature updates during the transients
at the expense of resolution degradation.
Owing to the low complexity of the proposed algorithm, a
number of fault signatures can be estimated simultaneously.
These signatures can belong to either various types of faults
or the same type of fault sidebands around the fundamental and
low-order harmonics. In this study, four different fault signa-
tures at various frequencies are tracked simultaneously during
the residual time following the motor control algorithm in each
main interrupt subroutine (ISR) period. Since the incipient fault
propagation time is very long when compared to the order of
main ISR execution time, updating different types of fault status
in each second is quite reasonable. The stator frequency can
either be found by current control module or set to the reference
value depending on the control type, and the rotor speed can
either be measured using an encoder or estimated to update fault
models. A 2048-pulse/rev. optical encoder is integrated to the
motor shaft as shown in Fig. 7(b). Obviously, inaccurate speed
feedback yields less precise results due to the frequency offset;
however, an analysis of this issue is kept out of this paper’s
scope. The ADCs embedded in TMS320F2812 have 12 b which
limits the signal sensing to −65 dB due to dominating quanti-
zation errors as shown in Appendix B. For further resolution to
detect the incipient fault at very early stages or bearing faults
which generate very small fault signatures (typically between
−70 and −90 dB), the system should be supported by integrated
or embedded higher resolution ADCs.
B. DSP-Based Fault Analysis of V /f -Controlled Motor
In this experiment, the reference speed is set to ωref =
0.99 p.u., and the motor is run at no load and full load for
eccentricity and broken bar tests, respectively. As shown in
Fig. 10, both the eccentricity and broken rotor bar sidebands
IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 58, NO. 5, MAY 2011
Fig. 11. DSP-based experimental results of field-oriented controlled inverter-
driven motor sidebands. (a) Eccentricity signatures detected by RFTA.
(b) FFT spectrum analyzer output of eccentric motor line current. (c) Broken
bar signatures detected by RFTA. (d) FFT spectrum analyzer output of broken
bar motor line current.
calculated by DSP are very close to the FFT spectrum analyzer
outputs at (29.79 Hz, 89.11 Hz) and (53.47 Hz, 65.19 Hz),
respectively. The errors between the RFTA results and spectrum
analyzer outputs are mostly less than |1| dB. The time spent
to process 20 000 data and find the amplitudes of sidebands
is 1 s. Depending on the resolution requirements and the
system control parameters, execution time might be shortened
or extended.
C. DSP-Based Fault Analysis of FOC-Controlled Motor
In Fig. 11, the same experiments are repeated, running the
motor with a closed-loop field-oriented control algorithm at
various operating points as detailed in Section IV-B. The eccen-
tricity test is implemented at no load, and the reference speed
is set to wref = 0.66 p.u. where the sideband frequencies are
20.02 and 59.57 Hz. The broken bar motor is tested under full
load and wref = 0.6 p.u. where the sidebands are at 33.45 and
39.31 Hz. Similar to the V /f tests, the sideband errors are at an
acceptable level. These online experimental results confirm that
the proposed method can be adapted to real-time applications
successfully. In this study, it is observed that the most chal-
lenging case is encountered when the motor is controlled by
FOC. One of the significant issues is higher noise floor which
threatens the small fault signature detection, and the other one is
bandwidth-dependent error suppression impacts of the closed-
loop regulators. As long as FOC does not completely suppress
the fault signature, RFTA can detect the fault. However, the user
needs to adjust the severity factor and threshold when the motor
is run using current regulators.
D. Continuous Fault Monitoring in Time–Frequency Domain
and Transient Analysis
In addition to the previous sideband snapshots of eccentric
and broken bar faults, it is possible to trace the sideband
AKIN et al.: FAULT SIGNATURE MONITORING TOOL FOR MOTOR-DRIVE-EMBEDDED FAULT DIAGNOSIS SYSTEMS
Fig. 12. DSP-based experimental results of V /f -controlled inverter-driven
motor. (a) Normalized eccentricity sideband variation in time obtained by
DSP running RFTA (at no load). (b) Related motor speed profile in per unit.
(c) Normalized eccentricity sideband variation in time obtained by DSP running
RFTA (wref = 0.4 p.u.). (d) Related motor line current vector in per unit.
variations in real time by means of RFTA. As shown in
Fig. 12, the right eccentricity sideband amplitude variation
during speed and load change is monitored simply by updating
the result at the end of each data window. Instead of long-
term periodic status checks, monitoring the motor continuously
and scheduling the needed maintenance prevent catastrophic
failures. It is obvious that fault analysis based on stationary
current is not realistic for most of the applications which have
dynamic duty cycle profile constituting transients such as HEV,
wind generator, etc. In these cases, the motor runs at various
operating points at different load–speed combinations for an
unknown time period.
During the transient state, the information provided by the
FFT integral corresponds to all time instances. It means that
no matter where in time the frequency appears, it will affect
the result of the integration equally. This is why the traditional
application of FFT is not a satisfactory alternative for non-
1999
Fig. 13. DSP algorithm frequency update illustration of left eccentricity
sideband during the transient state.
stationary signals. On the other hand, RFTA keeps its focus
on only one component, the frequency information of which
is updated continuously in each sampling time, i.e., 50 μs in
this test. The updated frequency value is utilized to synchronize
the reference frame and the associated fault vector. Therefore,
even the motor excitation frequency or rotor shaft speed change,
the shifting fault signature in the spectrum is continuously
kept track of with very high frequency resolution as shown
in Fig. 13. Thus, the RFTA average contains more accurate
information regarding fault vectors.
This unique feature provides real-time tracking of fault sig-
nature components in the time–frequency domain. One can
keep the number of data relatively low, like 4000 instead
of 20 000, and update the fault status in every 0.2 s. Below
4000 data, it is observed that the resolution of the RFTA results
decreases drastically. However, if the motor has very low inertia
and the transient durations are very short, then, obviously,
RFTA cannot capture the fault signature during the transients.
The dynamic characteristics of right eccentricity sideband un-
der varying rotor speeds and load are traced experimentally by
the DSP in real time as shown in Fig. 12(a) and (c), respec-
tively. During transients, the details of dynamic behaviors, loop
impacts, related theoretical derivations, dynamic thresholding,
etc., are considered as future work and, hence, out of this
paper’s scope.
V. C ONCLUSION
This paper has presented the analytical validation of the
reference frame theory application to electrical motor fault di-
agnosis as an accurate amplitude and phase measurement tool.
The experimental test results are compared with FFT spectrum
analyzer results to confirm the accuracy of this method. Its low
computational burden and immunity to nonideal cases enhance
its practical value for real-time applications. Being a motor-
model-independent structure, this technique can be applied to
fault diagnosis of other single- and multiphase ac motors. It
is experimentally shown that this simple diagnosis algorithm
can be embedded in the main control subroutine and run by the
motor drive processor in real time without affecting the control
performance of the inverter. Therefore, it can even be added
to the existing motor drives at almost no cost, which is highly
promising for future fault diagnosis products.
2000 IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 58, NO. 5, MAY 2011
A PPENDIX
A. Some Fault-Related Identities
The frequency of the eccentricity fault sidebands is given as
  
1−s
feccentricity = f1 1 ± m
p/2
= f1 ± m.fr , m = 1, 2, 3, . . . . (A1)
The frequency of the broken rotor bar fault sidebands is
given as
fb = (1 ± 2ks)f1 , k = 1, 2, 3, . . . (A2)
where m and k are integers, s is the per-unit slip, f1 is the
fundamental excitation frequency, fr is the mechanical rotation
frequency, and p is the number of poles.
B. Minimum Sensitivity Limit
The ADC resolution is given by
VRefHi − VRefLow
Q=
2M − 1
3.0 V − 0 V
= = 0.732 mV/step
4096 − 1
where Q is resolution in volts per step, VRefHi − VRefLow is the
full-scale voltage range for ADC input, and M is the ADC’s
resolution in bits. Therefore, the system cannot sense further
details of the signal, and the absolute measurable lowest limit
is −62.7 dB while the normalized lowest limit is −65 dB.
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AKIN et al.: FAULT SIGNATURE MONITORING TOOL FOR MOTOR-DRIVE-EMBEDDED FAULT DIAGNOSIS SYSTEMS
Bilal Akin (S’03–M’08) received the B.S. and M.S.
degrees in electrical engineering from Middle East
Technical University, Ankara, Turkey, in 2000 and
2003, respectively, and the Ph.D. degree in electrical
engineering from Texas A&M University, College
Station, in 2007.
From 2005 to 2007, he was an R&D Engineer
with Toshiba Industrial Division, Houston, TX. From
2007 to 2008, he was a Postdoctoral Research As-
sociate with Texas A&M University. Since 2008, he
has been an Application Engineer with the C2000
Embedded Control Group, Texas Instruments Incorporated, Dallas. His re-
search interests are advanced control methods in motor drives, real-time fault
diagnosis of industrial systems, digital power management, and various DSP-
based industrial applications.
Seungdeog Choi (S’08) received the B.S. degree in
electrical engineering from Chung-Ang University,
Seoul, Korea, in 2004 and the M.S. degree in elec-
trical engineering from Seoul National University,
Seoul, in 2006. He is currently working toward the
Ph.D. degree at Texas A&M University, College
Station.
He was an R&D Engineer with LG Electronics,
Korea, from 2006 to 2007, and with Toshiba Inter-
national Cooperation, Houston, TX, from 2008 to
2010. His research interests include applied signal
processing, power electronics, and motor drive analysis with special emphasis
on fault diagnosis.
Umut Orguner (S’99–M’07) received the B.S.,
M.S., and Ph.D. degrees in electrical engineering
from Middle East Technical University, Ankara,
Turkey, in 1999, 2002, and 2006, respectively.
Between 1999 and 2007, he was a Teaching and
Research Assistant with the Department of Electrical
and Electronics Engineering, Middle East Techni-
cal University. Since January 2007, he has been a
Postdoctoral Associate with the Division of Auto-
matic Control, Department of Electrical Engineer-
ing, Linköping University, Linköping, Sweden. His
research interests include estimation.
2001
Hamid A. Toliyat (S’87–M’91–SM’96–F’08) re-
ceived the B.S. degree in electrical engineering from
Sharif University of Technology, Tehran, Iran, in
1982, the M.S. degree in electrical engineering from
West Virginia University, Morgantown, in 1986, and
the Ph.D. degree in electrical engineering from the
University of Wisconsin, Madison, in 1991.
In 1991, he was an Assistant Professor of electrical
engineering with the faculty of Ferdowsi Univer-
sity of Mashhad, Mashhad, Iran. Since March 1994,
he has been with the Department of Electrical and
Computer Engineering, Texas A&M University, College Station, where he
is currently a Raytheon Endowed Professor. He has supervised more than
36 graduate students, published over 310 technical papers, where 92 papers are
in IEEE T RANSACTIONS, and presented more than 50 invited lectures all over
the world. He is also an inventor and has ten issued and pending U.S. patents
in these fields. He is the author of DSP-Based Electromechanical Motion
Control (CRC, 2003) and the coeditor of Handbook of Electric Motors—
2nd Edition (Marcel Dekker, 2004). His main research interests and experience
include the analysis and design of electrical machines, variable-speed drives for
traction and propulsion applications, fault diagnosis of electric machinery, and
sensorless variable-speed drives.
Dr. Toliyat is a member of Sigma Xi. He is an Editor of the IEEE
T RANSACTIONS ON E NERGY C ONVERSION and was an Associate Editor
of the IEEE T RANSACTIONS ON P OWER E LECTRONICS. He is also the
Chair of the Industrial Power Conversion Systems Department, IEEE-IAS.
He was the General Chair of the 2005 IEEE International Electric Machines
and Drives Conference in San Antonio, TX. He was the recipient of the 1996
and 2006 IEEE Power Engineering Society Prize Paper Awards and the 2006
IEEE Industry Applications Society Transactions Third Prize Paper Award, the
prestigious Cyrill Veinott Award in Electromechanical Energy Conversion from
the IEEE Power Engineering Society in 2004, the TEES Fellow Award in 2004
and 2006, the Outstanding Professor Award in 2005 from Texas A&M, the
Distinguished Teaching Award in 2003, the E.D. Brockett Professorship Award
in 2002, the Eugene Webb Faculty Fellow Award in 2000, and the Texas A&M
Select Young Investigator Award in 1999 from Texas A&M University. He has
also received the Space Act Award from the National Aeronatical and Space
Administration in 1999 and the Schlumberger Foundation Technical Awards in
2001 and 2000. He is a Professional Engineer in the State of Texas.