Monitoring and Diagnosis of External Faults in Three
Phase Induction Motors Using Artificial Neural
Network
ElSayed M. Tag Eldin, Hassan R. Emara, Essam M. Aboul-Zahab, Shady S. Refaat
Abstract—This paper addresses the possibility of integration of
an external motor faults (e.g., phase failure, unbalanced voltage,
locked rotor, undervoltage, overvoltage, phase sequence reversal
of supply voltage, mechanical overload) monitoring and
diagnostic technique into batch simulation with a digital
protection set by using an artificial neural network (ANN) for a
three-phase induction motor. The proposed set-up has been
simulated using”Matlab/Simulink” Software and tested for
external motor faults. The simulated results clearly show that
well-trained neural networks can precisely of early fault
detection, diagnosis of external faults induction motor, also
validating the proposed setup as a simple, reliable and effective
protection for the three-phase induction motor fault
identification scheme using an artificial neural network (ANN).
Index Terms— Artificial neural networks, Fault diagnostics,
induction motor, rotor-cage monitoring and external motor fault.
I. INTRODUCTION
Large three phase induction motors are very commonly
employed in power system play a very important role in
electricity production because of their good self-starting
capability, offers users simple, rugged construction, easy
maintenance, low cost and reliability. These factors have led
to use of induction motor in industry very extensively. As the
result, the motors can be exposed to different hostile
environments, misoperation, manufacturing defects, etc.
Different internal motor faults (e.g., interturn short circuits,
ground faults, mechanical failure) along with external motor
faults. These faults include: a) mechanical overloads, which
define prolonged starting or locked rotor and stalling; b)
abnormal supply conditions such as loss of supply voltage,
unbalanced supply voltage, phase sequence reversal of supply
voltage, over voltage, under voltage, and under frequency; c)
faults in starting supply / Circuit, which include Interruptions
in phases or Blowing of fuse / single phasing, and short circuit
in supply cable. These faults are expected to happen sooner or
later [1]–[3].
Correct diagnosis and early detection of faults result in fast
unscheduled maintenance and short down time for the
machine under consideration. It also avoids harms and helps
to reduce financial loss. Many of the motor fault detection and
diagnosis schemes can be applied non-invasively on-line
without the need of expensive monitoring equipment by using
a microprocessor, microprocessor-based monitoring system is
of particular interest because it can be used for regular
analysis of machine variables and to predict possible fault
conditions[4]–[6].
Recent developments in diagnosis systems have been led to
the consideration of radically different diagnosis strategies by
making extensive use of artificial neural networks (ANN’s),
1-4244-1298-6/07/$25.00 ©2007 IEEE.
ann have numerous advantages over conventional diagnosis
techniques. The main advantage of ANN method over the
conventional method is the non-algorithmic parallel
distributed architecture for information processing. In general,
they could improve the diagnosis performance. They are easy
to extend and modify, and they could be easily adapted by the
incorporation of new data as they became available.
Moreover, their design does not require a complete
mathematical model of the induction motor [7]–[12].
In the ANN-based systems, several quantities are utilized as
input signals such as: stator currents and voltages, magnetic
fields and frame vibrations, etc. In general, stator currents and
voltages are preferred because they allow for the realization of
noninvasive diagnostic systems and the sensors required are
usually present in the drive considered.
This paper presents a further step toward the protection of
three phase induction motors with reliable system for
detection and diagnosis of external motor faults. This
technique is utilizes results of the RMS measurement of stator
voltages, currents and motor speed to employ to train a neural
network for monitor and diagnosis of external motor faults.
This methodology is applied to a three phase induction motor,
using the well-know Matlab/Simulink software. In each
simulation of the system, the induction motor faults are varied,
including the fault types, fault positions.
The simulated results presented clearly show that the proposed
technique can accurately early detection, diagnosis of external
faults of induction motor. The ability of the system to provide
a complete protection set for the three-phase induction motor
under different hazard conditions. Also external motor faults
diagnosis can be achieved more efficiently and at a reduced
cost.
II. FAULT DIAGNOSIS METHODOLOGY
Since the analysis and design of induction motor is extremely
critical in terms of the cost of both production and
maintenance, it is not surprising that the fault diagnosis of
induction motor is a crucial aspect of the subject, receiving
ever more attention. Detection of faults addresses the binary
decision of whether or not a condition exists that is outside the
scope of normal system operation, elimination of possible
sources of false alarms. Fault diagnosis addresses the further
refinement of information regarding a condition that is known
to be a fault, such as its nature and root cause [13]. In order to
use ANN for identifying induction motor fault and no fault
conditions, it is necessary to select proper inputs and outputs
of the network, structure of the network, and train it with
appropriate data.

Fig. 1. Illustrates the inputs and outputs of the ANN
Condition monitoring techniques for the diagnosis of faults in
induction motor need to be improved in order to be able to
identify, as quickly as possible, the different kinds of faults
which may occur in the motor. The RMS value of the line
stator voltages, currents and motor speed signals are used as
the input to neural network, hence the RMS value is the only
ac reading that does not depend on the shape of the signal.
The RMS is often the most useful measurement for real-world
waveforms and motor speed signal can logically be utilize to
discriminate between motor starts and short circuits, and more
accurate fault identification. Therefore, there are seven input
neurons. There are eight outputs corresponding to eight
external motor faults mentioned before. Figure 1 illustrates the
inputs and outputs of the ANN. The output stage of the
classifier selects the maximum discriminant fault and responds
with the number of the discriminant fault having the largest
value.
The output "Zero" will correspond to "No Fault" according to
normal data achieved through monitored input measurements.
The output “one” will correspond to condition "Faulty motor"
if that particular condition in the monitored currents, voltages
and motor speed are exists. Consequently, that will be
detection and diagnosis. The diagnosis process (fault
identification) is illustrated by Fig. 2. In fact, this diagnosis
process has several advantages including accuracy, reliability,
modularity, and flexibility. This architecture is achieved
satisfactory distributed implementation of new types of faults
to the initial NN system [9], [12].
III. NEURAL NETWORK ARCHITECTURE AND TRAINING
The architecture of a neural network specifies the arrangement
of the neural connection as well as the type of units
characterized by an activation function. The processing
algorithm specifies how the neuron calculates the output
vector for any input vector and for a given set of weights. The
training algorithm specifies how the NN adapts its weights w
for all given input vectors, called training vectors. Thus, the
neural network can acquire knowledge through the training
algorithm and store the knowledge in synaptic weights.
A. Neural Network Structure
In this study, a multilayer feedforword neural network
(FFNN) that has two hidden layers is used. The bias unit,
whose activity level is fixed at one, is connected to all neurons
in the hidden and output layers to adjust the weighted sum
input of each neuron. The output of the jth neuron is obtain as
⎡ ⎤
o j = f j (net j ) = f j ⎢ ∑ ( w ji xi ) + b j ⎥
⎣ i ⎦
Where x1 , x2 ,….. xi are the input signals, w j1 , w j 2 ,…
w ji are the synaptic weights of neuron i ; f j is the activation
function; and o j is the output signal of the neuron. Generally,
the sigmoid function is used as the activation function. The
output of each FFNN is connected to a simple perceptron
neural network having threshold effectively adds an offset to
the weighted sum.
⎡ n ⎤
yo = f h ⎢ ∑ wi o j − θ ⎥
⎣ i =1 ⎦
Where yo is final output simple perceptron neural network, f h
is a heaviside function. The total input of neurons has to be
compared to a certain value in the neuron, the threshold value.
This thresholding process is accomplished by comparison; if
the sum is greater than the threshold value, it threshold at θ.
The value of θ is therefore known as the neuron’s bias, the
resulting value compared to -0.2; if the result is positive, then
output a 1, else output a 0.
The perceptron neural network has a hard limit function a 0
or a 1, the target output of each ANN was built in such way
that the value 1 represents an external motor fault (trip signal
to Circuit Breaker); the value 0 represents a normal operation
condition for induction motor. The ANN structure for the
motor fault detection and diagnosis system is shown in Fig.3.
Each ANN is trained with the data sets obtained from
simulated faults on induction motor.
Fig. 2. The general structure of a Diagnosis system of a three-phase induction
motor.

Fig.3. Basic structure of each ANN Structure.
B. Neural Network Training
The objective of training the network is to adjust the weights
so that application of a set of inputs produces the desired set
of outputs. At the beginning of neural network training, the
neural network fault detector's diagnosis of the motor's
conditions will not be accurate an error quantity is measured
and used to adjust the neural network's internal parameter in
order to produce a more accurate output decision. This process
is repeated until a suitable error is achieved. Once the network
is sufficiently trained and the network parameters have been
saved, the neural network contains all the necessary
knowledge to perform the fault detection. The performance
function for NN’s was mean square error (mse) between the
network outputs and the target outputs.
The data set for training neural networks have been
constructed by computer simulation of Matlab models
measurements. This data is first used to train a back-
propagation feed-forward network using Matlab Neural
Network Toolbox [14]. Levenberg-marquardt algorithm in
MATLAB Toolbox was used for training because it is the
fastest training algorithm for networks of moderate size and
has a memory reduction feature. The trained network is placed
in a Matlab model that monitors the voltages, currents and
motor speed and displays the fault conditions.
The step length of the moving data window is 1/4 cycle
(4.16ms at 60 Hz frequency).
Fig.4. Overall block diagram of external motor faults detection system
IV. SIMULATION OF FAULT DETECTION SYSTEM
An extensive series of simulation studies have been carried
out to obtain various motor faults for analysis.
The simulation of external motor faults detection system
can be conceptually consist of a three-phase AC supply feeds
a three-phase squirrel-cage induction motor of a 2250 HP,
2400 V, 60 Hz, and 1725 rpm through a three-pole circuit
breaker. A RMS measurements device is connected in series
to an measure motor currents and connected in parallel to
measured voltages applied to motor, motor speed signal from
a speed sensor device is feed to an ANN module containing
all the necessary knowledge to perform the fault detection and
trip the three-phase switch in the main module according to
the fault conditions as shown in Figure 4. The protection
scheme is implemented through the ANN to provide a
complete protection set to the induction motor against any
external faults. It should be noted that for each protection
scheme, the time delay and setting values could be
individually adjusted according to the rating and characteristic
of the protected motor, taking into account the coordination
between different protection schemes
V. SIMULATION RESPONSE EVALUATION
In the design and study of the external motor faults diagnosis
schemes, it is important to evaluate if the designed fault
diagnosis algorithm is able to correctly classify different
external faults conditions, so In order to confirm the effective
performance of the proposed technique a high number of
computer simulations were performed using Matlab/Simulink
(considering different kinds of conditions).
A. Line to Ground Fault (ANSI code 50/51)
If a short circuit occurs at the connection point between the
feeder and motor (down stream from the monitoring device),
the monitored current may be rise to between 10 and 15 rated
current and then drop to zero upon the tripping of the circuit
protection.
The typical responses of the protection scheme for line to
ground fault for phase is 4.16msec as shown in Fig. 5. Clearly
from Fig. 5, the neural network is detected the line to ground
fault from the first fault sample input to the neural network.
B. Phase Reverse Fault (ANSI code 47)
When the connection of any two phases in a three phase
power supply is reversed, motor will run backward. This
condition is destructive to rotation sensitive load; a reversal in
the phase sequence of the supply voltage causes the motor
reverse direction of rotation. For most motors, this is not
damage to the motor, but it may be a cause for serious concern
for the driven load, and this may conceivably be dangerous to
nearby personnel.
The typical response of the protection scheme for phase
reverse fault of two phases (b and c) is 4.16msec as shown in
fig. 6.
C. Locked Rotor Fault (ANSI code 51LR)
If for some mechanical reason, the motor rotor becomes
obstructed and prevented from rotation, this is a locked-rotor
condition. The motor current changes from its normal run
value to the stall or Startup value, which will usually be from
five to eight times greater than normal full load run current.
The motor is not design to carry this much current
continuously and protection is required to ensure that the
motor is disconnected before permanent damage occurs.
Fig.5. Responses of relay to line to ground fault
However, when Investigating on the 3-ph stator currents,
voltages and speed. It will be found that the stator current will
increase and the speed will rapidly decrease. The typical
responses of the protection scheme for Locked rotor fault is
8msec as illustrated by fig.7
D. Phase losses fault (ANSI code 46)
Single phasing or phase loss is the operation of a three
phase motor on only two phases due to the loss of voltage on
one phase. Phase loss is the maximum condition of voltage
unbalance, since the voltage of one of the three phases is not
just reduced, but becomes zero.
The three-phase motor now operates on a two line supply.
This condition is phases reflected by an increase in current on
the two healthy phases. Fig. 8 presents a three phase stator
currents, voltages waveform, speed of the motor and the
typical response of the relay for phase C losses faults is
12msec
E. Over Load Fault (ANSI code 49)
The motor is overloaded by up to 25% of its rated (full-load)
current. For most motors, the design will allow the motor to
sustain this kind of overload for a period of time before
tripping.
The response of the protection scheme for over load is
depicted in Fig. 9, and we can see that the response of relay is
41ms, which indicates that this protection scheme can protect
the motor insulation from excessive thermal stresses.
F. Over Voltage Fault (ANSI code 59)
When the supply voltage is more than 10% greater than the
motor rated voltage it often results in motor overheating [15]
from increased core losses associated with saturation.
For (10%) over voltage the motor will be overloaded by
approximately (10%). The core loss is (20 to 30%) greater
than normal and could cause the machine to overheat. The
response of the protection scheme for (12%) over voltage fault
is 8.3msec as shown by Fig. 10.
Fig. 6. Responses of relay to phase reverse fault
G. Unbalanced Voltage Fault (ANSI code 46)
When line voltages applied to the motor are not exactly the
same, unbalanced currents will flow in the stator winding, the
magnitude depending upon the amount of unbalance .A small
amount of voltage unbalance may increase the current an
excessive amount. The effect on the motor can be severe and
the motor may overheat to the point of burn out [16].
The response of the protection scheme for unbalanced
voltage fault is 8.3msec. when unbalanced voltages exceed
3% to prevent overheating of the windings as defined by Fig
11
Fig.7. Responses of relay to locked rotor fault
H. Under Voltage Fault (ANSI code 27)
Under voltage is an average line-to-line voltage that is
lower than the minimum acceptable operating voltage. The
motor speed also increases proportionally to the square of the
voltage drop. As a result, the motor will be running slower
with a lower output, a large drop in voltage may cause the
motor to stall. This suggests that low voltage is serious
enough to warrant protection in certain cases.
So, if the supply voltage reduces below 80% of rated
voltage, a drastic increase in the motor current will occur. The
effect of under voltage is graphically illustrated in shown Fig.
12, where the responses of the protection scheme for under
voltage fault is 4.16msec.
It should be noted that for each protection scheme, the
setting values could be individually adjusted according to the
rating and characteristic of the protected motor, taking into
account the coordination between different protection
schemes.
The typical responses of the protection scheme for
randomly created external motor fault to evaluate the
performance of the created neural network. From these results,
it can be seen that 4.16-41 ms after the occurrence of a fault
according to the importance of the fault and effect on the
motor, the protection technique develop correctly.
Fig.8. Responses of relay to phase losses fault
An extensive training of neural network for short circuit
and phase reversal, instantaneous tripping is utilized to
provide the fastest protection scheme, while other protection
schemes are utilized for better performance. It is apparent that
an ANN with 7 neuron in the first hidden layer and 1 in the
second, gives the best performance.
In all cases, the ANN will be successfully detect the fault
from the measured current, voltage and motor speed signals
then tripe the circuit breaker, accurately identifying the faults
on a three-phase induction motor.
VI. NEURAL NETWORK TESTING
The complete system is successfully tested by creating
different faults on the simulated motor, testing measurement
data sets to test the accuracy of the trained neural network to
diagnose different external motor faults. The result
demonstrates that with proper processing of the measured data
and proper training procedure, the neural network motor fault
diagnosis schema can diagnose external motor faults with
desired accuracy.
Testing of the system involves measuring the RMS values
of stator voltage, current and motor speed and passes the
values to the neural network. The motor is turned-off using
the circuit breaker, if a fault is encountered, that enable to test
the trained network
Fig.9. Responses of relay to over load fault
VII. CONCLUSION
This paper has described and illustrated a methodology for
monitoring and diagnosing of three-phase induction motors
external faults. Motor fault detection and diagnosis involves
processing a large amount of information of the motor system.
The proposed methodology is based on artificial neural
network ANN.
The monitoring and operational diagnosis of a three-phase
induction motor was achieved by using eight outputs, each for
one fault type. The inputs to the specified Artificial Neural
Networks were the RMS three phase currents, voltages and
motor speed. The outputs were whether a fault occurs or not.
The neural network model is training and its performance was
tested using back-propagation feed-forward network function
network.
In this technique we use the ability of ANN in monitoring
and diagnosis different types of external motor faults that
cause unbalance in motor performance and failure to motor
parts. Extensive simulations were carried out using MATLAB
to full assess usefulness of the proposed technique for the
preventive maintenance diagnostics. The simulation results
show that the trained neural networks can early detection,
diagnosis of external motor faults of induction motor.
Fig.10. Responses of relay to Over Voltage Fault
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