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Condition Monitoring and Fault Diagnosis of Electrical Motors—A Review

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IEEE TRANSACTIONS ON ENERGY CONVERSION, VOL. 20, NO. 4, DECEMBER 2005
Condition Monitoring and Fault Diagnosis of
Electrical Motors—A Review
Subhasis Nandi, Member, IEEE, Hamid A. Toliyat, Senior Member, IEEE, and Xiaodong Li, Student Member, IEEE
Abstract—Recently, research has picked up a fervent pace in the
area of fault diagnosis of electrical machines. The manufacturers
and users of these drives are now keen to include diagnostic fea-
tures in the software to improve salability and reliability. Apart
from locating specific harmonic components in the line current
(popularly known as motor current signature analysis), other sig-
nals, such as speed, torque, noise, vibration etc., are also explored
for their frequency contents. Sometimes, altogether different tech-
niques, such as thermal measurements, chemical analysis, etc., are
also employed to find out the nature and the degree of the fault. In
addition, human involvement in the actual fault detection decision
making is slowly being replaced by automated tools, such as ex-
pert systems, neural networks, fuzzy-logic-based systems; to name
a few. It is indeed evident that this area is vast in scope. Hence,
keeping in mind the need for future research, a review paper de-
scribing different types of faults and the signatures they generate
and their diagnostics’ schemes will not be entirely out of place. In
particular, such a review helps to avoid repetition of past work and
gives a bird’s eye view to a new researcher in this area.
Index Terms—Condition monitoring, electrical motors, fault di-
agnosis, review.
I. INTRODUCTION
T HE HISTORY of fault diagnosis and protection is as ar-
chaic as the machines themselves. The manufacturers and
users of electrical machines initially relied on simple protection
such as overcurrent, overvoltage, earth-fault, etc. to ensure safe
and reliable operation. However, as the tasks performed by these
machine grew increasingly complex, improvements were also
sought in the field of fault diagnosis. It has now become very
important to diagnose faults at their very inception; as unsched-
uled machine downtime can upset deadlines and cause heavy
financial losses.
The major faults of electrical machines can broadly be clas-
sified as the following [1]:
1) stator faults resulting in the opening or shorting of one or
more of a stator phase winding;
2) abnormal connection of the stator windings;
3) broken rotor bar or cracked rotor end-rings;
Manuscript received March 1, 2004; revised June 1, 2004. This work was sup-
ported in part by the Texas Advanced Research Program under Grant 95-P083,
in part by the Department of Energy under Grant DE-FG07-98ID13641, in part
by the University of Victoria, in part by the Canadian Foundation For Inno-
vation’s New Opportunity Funds, British Columbia Knowledge Development
Funds, and Natural Sciences and Engineering Research Council of Canada’s
Discovery Grant. Paper no. TEC-00055-2004.
S. Nandi and X. Li are with the Department of Electrical and Computer
Engineering, University of Victoria, Victoria, BC V8W 3P6, Canada (e-mail:
snandi@ece.uvic.ca; xiaodong@ece.uvic.ca).
H. A. Toliyat is with the Department of Electrical Engineering, Texas A&M
University, College Station, TX 77840 USA (e-mail: toliyat@ee.tamu.edu).
Digital Object Identifier 10.1109/TEC.2005.847955
0885-8969/$20.00 © 2005 IEEE
719
4) static and/or dynamic air-gap irregularities;
5) bent shaft (akin to dynamic eccentricity) which can re-
sult in a rub between the rotor and stator, causing serious
damage to stator core and windings;
6) shorted rotor field winding;
7) bearing and gearbox failures.
Of the above types of faults: 1) bearing; 2) the stator or ar-
mature faults; 3) the broken rotor bar and end ring faults of in-
duction machines; and 4) the eccentricity-related faults are the
most prevalent ones and, thus, demand special attention. These
faults produce one or more of the symptoms as follows:
1) unbalanced air-gap voltages and line currents;
2) increased torque pulsations;
3) decreased average torque;
d) increased losses and reduction in efficiency;
5) excessive heating.
For the purpose of detecting such fault-related signals, many
diagnostic methods have been developed so far. These methods
to identify the above faults may involve several different types
of fields of science and technology. They can be described as
follows [1], [2]:
1) electromagnetic field monitoring, search coils, coils
wound around motor shafts (axial flux-related detection);
2) temperature measurements;
3) infrared recognition;
4) radio-frequency (RF) emissions monitoring;
5) noise and vibration monitoring;
6) chemical analysis;
7) acoustic noise measurements;
8) motor-current signature analysis (MCSA);
9) model, artificial intelligence, and neural-network-based
techniques.
Section II will deal with the common faults and their diag-
nosis techniques. A brief introduction to fault detection using
artificial-intelligence (AI) techniques has been included in Sec-
tion III.
II. VARIOUS TYPES OF FAULTS AND THEIR
DETECTION TECHNIQUES
A. Bearing Faults
The majority of the electrical machines use ball or rolling el-
ement bearings. Each bearing consists of two rings—one inner
and the other outer. A set of balls or rolling elements placed in
raceways rotates inside these rings [2]. Even under normal oper-
ating conditions with balanced load and good alignment, fatigue
failures may take place. These faults may lead to increased vi-
bration and noise levels. Flaking or spalling of bearings might
720
occur when fatigue causes small pieces to break loose from the
bearing.
Other than the normal internal operating stresses caused by
vibration, inherent eccentricity, and bearing currents [3] due to
solid state drives, bearings can be spoiled by many other external
causes such as the following:
1) contamination and corrosion caused by pitting and
sanding action of hard and abrasive minute particles or
corrosive action of water, acid, etc.
2) improper lubrication; which includes both over and under
lubrication causing heating and abrasion;
3) improper installation of bearing; by improperly forcing
the bearing onto the shaft or in the housing (due to
misalignment), indentations are formed in the raceways
(brinelling).
Almost 40%–50% of all motor failures are bearing related.
Sometimes bearing faults might manifest themselves as rotor
asymmetry faults [2], which are usually covered under the cate-
gory of eccentricity-related faults. Otherwise, the ball bearing-
related defects can be categorized as [1] outer bearing race de-
fect, inner bearing race defect, ball defect, and train defect. The
vibration frequencies to detect these faults are given by
for an outer bearing race defect
for an inner bearing race defect
for a ball defect
for a train defect (1)
where is the rotational frequency, is the number of balls,
and are the ball diameter and ball pitch diameter, respectively,
and is the contact angle of the ball (with the races).
Schoen et al. [4] have shown that these vibration frequencies
reflect themselves in the current spectrum as
(2)
where , and are one of the characteristic
vibration frequencies. However, the experimental results were
presented for rather extensive bearing damage (such as a hole in
the outer race of the bearing; brinelling induced by a vibration
table). The implementation of an unsupervised on- line detec-
tion of these faults using artificial neural networks (ANNs) has
also been described in [5].
Yazici et al. [6] have reported an adaptive, statistical time
frequency method for the detection of bearing faults. Experi-
ments were conducted on defective bearings with scratches on
the outer races and bearing balls and cage defects. It has been
claimed that all defective measurements were correctly clas-
sified as defective. However, the detection procedure required
extensive training for feature extraction. Detection of bearing
faults using vibration signals is affected by machine speed [7],
particularly when the bearing condition is deteriorating. The
machine vibration may decrease even though failure is immi-
nent. The bearing life is also influenced by variable machine
IEEE TRANSACTIONS ON ENERGY CONVERSION, VOL. 20, NO. 4, DECEMBER 2005
speed. The advantage of envelope detection techniques over
traditional spectrum analysis is demonstrated in detecting these
faults [8]. Reference [8] also presents the fundamentals of
bearing fault detection techniques in a very simplified manner.
B. Stator or Armature Faults
These faults are usually related to insulation failure. In
common parlance, they are generally known as phase-to-ground
or phase-to-phase faults. It is believed that these faults start as
undetected turn-to-turn faults that finally grow and culminate
into major ones [9]. Almost 30%–40% of all reported induction
motor failures fall into this category [9].
Armature or stator insulation can fail due to several reasons.
Primary among these are [10]:
1) high stator core or winding temperatures;
2) slack core lamination, slot wedges, and joints;
3) loose bracing for end winding;
4) contamination due to oil, moisture, and dirt;
5) short circuit or starting stresses;
6) electrical discharges;
7) leakage in cooling systems.
There are a number of techniques to detect these faults. For
large generator and motor stator windings rated 4 kV and above,
online partial-discharge (PD) test methods give very reliable re-
sults [11]. Even a portable test instrument called TGA-B is avail-
able for this purpose.
However, for low-voltage motors, stator fault detection proce-
dures are yet to be standardized. Penman et al. [12] were able to
detect turn-to-turn faults by analyzing the axial flux component
of the machine using a large coil wound concentrically around
the shaft of the machine. Even the fault position could be de-
tected by mounting four coils symmetrically in the four quad-
rants of the motor at a radius of about half the distance from the
shaft to the stator end winding. The frequency components to
detect in the axial flux component are given by
(3)
where is the number of pole pairs, is the mains frequency,
and and is the slip. The axial
flux-based detection technique works well even in the presence
of supply harmonics as in the case with VSI-driven induction
motors [13].
Toliyat and Lipo [14] have shown through both modeling and
experimentation that these faults result in asymmetry in the ma-
chine impedance causing the machine to draw unbalanced phase
currents. This is the result of negative-sequence currents flowing
in the line as also have been shown in [15] and [16]. However,
negative-sequence currents can also be caused by voltage un-
balance, machine saturation, etc. Kliman et al. [9] model these
unbalances which also includes instrument asymmetries. It is
reported that with these modifications, it is possible even to de-
tect a one turn “bolted” fault out of a total 648 turns. A sim-
ilar technique has been used in [17] with a power decompo-
sition technique (PDT) to reduce harmonic effects and nega-
tive-sequence reactance to reduce temperature and slip variation
effects on negative-sequence current measurement. The differ-
ence between the positive sequence of current under the faulty
NANDI et al.: CONDITION MONITORING AND FAULT DIAGNOSIS OF ELECTRICAL MOTORS—A REVIEW 721

and the healthy conditions divided by the positive-sequence cur-

rent under the healthy conditions is also reported to an effective
diagnostic index [18]. Statistical process control (SPC) tech-
niques have also been applied to detect stator faults [19]. A
model to estimate and detect stator turn–turn short-circuit faults
in time domain has been reported in [20]. In [21], a fuzzy fault
detector using Concordia patterns to detect stator unbalance and
open-circuit faults has been developed. The patterns were de-
rived from the current Concordia vector based on a three-phase
to two-phase – transformation of line current in stationary co-
ordinates.
A few MCSA-based techniques for interturn stator fault de-
tection have been reported [22], [23]. Both low- and high-fre-
quency components, almost similar to those observed with ec-
centricity-related faults, are shown to be present. However, the
physics behind the existence of such components are not clearly
explained. Also, issues such as voltage unbalance, construc-
tional imperfections that produce similar effects, are not ad-
dressed. Stator fault detection using external signal injection
is discussed in [24]. Angular fluctuation of the stator current
space vector [25] has been monitored in detecting stator in-
terturn faults, rotor faults. The phase-angle variations are an-
alyzed in frequency domain. The Goertzel algorithm is used for
real-time implementation. A strong third-harmonic component
can also be found in line current with stator interturn faults [26].
Fig. 1. Experimental plots of normalized line voltage spectra of a 44-rotor
Monitoring the change in positive-sequence current using the bar, four-pole motor under healthy (top), unbalanced supply voltage (–5%,
multiple reference frame theory was additionally suggested in –2.5%) (middle) and stator interturn short (5/324) (bottom). The 21st harmonic
[26] and [27] for detection. increases by almost 10 dB only with stator fault.
Nandi and Toliyat [28] have observed that the shorted stator
turns act as a search coil to pick up rotor magnetomotive-force type, can almost never be repaired once faults such as cracked
(mmf) harmonics in a squirrel cage machine given by or broken rotor bars develop in them.
The reasons for rotor bar and end-ring breakage are several.
No. of rotor bars
They can be caused by the following:
(4)
Although MCSA can detect these components, they may 1) thermal stresses due to thermal overload and unbalance,
be confused with voltage unbalance in some machines. For- hot spots, or excessive losses, sparking (mainly fabricated
tunately, they can be unambiguously detected at the terminal rotors);
voltages of the machine just after switching it off. The exper- 2) magnetic stresses caused by electromagnetic forces, un-
imental results are shown in Fig. 1. In a healthy machine, the balanced magnetic pull, electromagnetic noise, and vibra-
pole pair number associated with this time particular harmonic tion;
does not match that of a symmetrical three-phase winding. 3) residual stresses due to manufacturing problems;
Hence, it is not detectable. Detection of stator voltage unbal- 4) dynamic stresses arising from shaft torques, centrifugal
ances and single phasing effects using traditional and advanced forces, and cyclic stresses;
signal-processing techniques have been described in [29] and 5) environmental stresses caused by for example contami-
[30]. nation and abrasion of rotor material due to chemicals or
moisture;
6) mechanical stresses due to loose laminations, fatigued
C. Broken Rotor Bar and End-Ring Faults parts, bearing failure, etc.
Unlike stator design, cage rotor design and manufacturing has Kliman et al. [32], Thomson and Stewart [33], Filippetti et al.
undergone little change over the years. As a result, rotor failures [34], and Elkasabgy et al. [35] used spectrum analysis of ma-
now account for around 5%–10% of total induction motor fail- chine line current (MCSA) to detect broken bar faults. They in-
ures (Bonnett and Soukup [31], Kliman et al. [9], [32]). vestigated the sideband components around the fundamental
Cage rotors are of two types: cast and fabricated. Previously, for detecting broken bar faults
cast rotors were only used in small machines. However, with
the advent of cast ducted rotors, casting technology can be used (5)
even for the rotors of machines in the range of 3000 kW. Fabri-
cated rotors are generally found in larger or special application while the lower sideband is specifically due to a broken bar, the
machines. Cast rotors, though more rugged than the fabricated upper sideband is due to consequent speed oscillation. In fact,
722 IEEE TRANSACTIONS ON ENERGY CONVERSION, VOL. 20, NO. 4, DECEMBER 2005

[34] shows that broken bars actually give rise to a sequence of

such sidebands given by
(6)
The motor-load inertia also affects the magnitude of these
sidebands. Other spectral components that can be observed
in the stator line current are given by Kliman et al. [32] and
Gaydon [36]

(7)

where are detectable broken bar frequencies;

.
Elkasabgy et al. [35] has also shown that broken bar faults
can also be detected by time- and frequency-domain analysis
of induced voltages in search coils placed internally around
stator tooth tip and yoke and externally on the motor frame.
The frequency components are given by (6) with .
Torque and speed signals also contain and frequency
components with broken rotor bars [34], [35]. Following the
works of Penman [37], detection of these faults is also possible
by frequency-domain analysis of shaft flux or more generally
axial leakage flux which is monitored by using an external
search coil wound around the shaft of a machine. The fre-
quency components are still given by (6) with . The
modeling of rotor bar and end-ring faults has been described in Fig. 2. Simulated plots of normalized line current spectra around fundamental
and fifth and seventh time harmonic (top row), torque, and its spectra (middle
[14]. Broken bar detection using state and parameter estimation row), speed, and its spectra (bottom row) with two bars partially broken. Slip =
techniques have also been reported [38]. However, the current 0:033. PSD is the acronym for power spectral density.
spectrum and the parameter estimation approach has been com-
pared and the former has been found to be more efficient [39].
Masoud and Toliyat [40] proposed using pattern recognition
to detect broken rotor bars. The rotor speed is estimated from
stator current and then the featured vector is extracted as an
input to Baye’s classifier. The time-stepping coupled Finite
element-state space (TSCFE-SS) method has been used [41] to
compute core losses and copper losses with broken-bar faults
in variable speed drives. Time-series data mining (TSDM)
in conjunction with the TSCFE-SS method has been used to
extract broken bar information from torque data [42], [43].
Interestingly, while literature abounds with MCSA-based fault
detection, it is shown in [44] that spectral components related
to broken bar faults are stronger in per-phase partial power
and total power than in stator line currents. The best result is
obtained with partial power.
As suggested in [45], interbar currents are present in uninsu-
lated rotor cages, where the contact between the rotor core and
the bars are good. Interbar currents reduce [46] the magnetic im- Fig. 3. Simulated plots of line current and speed (top row) and their normalized
balance caused by broken bars. This makes detection of broken spectra (bottom row) for the two end rings partially broken. Slip = 0:036.
bars more difficult, particularly at early stages. Significant in-
terbar current is present with broken bars even in double-cage current components given by (4–6) and the 2 and 4
induction motors [47]. Axial vibration spectra can also be used speed-related components can be clearly seen in the plots.
to diagnose rotor bar faults [48]. The axial vibration arises out of However, in practice, the current sidebands around the fun-
the axial force generated by the interaction of the interbar cur- damental may exist even when the machine is healthy, as can be
rent and stator flux. Experimental results have been given for seen in Fig. 4. This could be due to uneven rotor bar resistance
copper cage rotors with one broken bar. because of the die-casting process, rotor asymmetry, etc. Also,
Figs. 2 and 3 show simulated current, speed, and torque components given by (6) may not show any marked change
waveforms and their related spectra with two partially broken (Fig. 5). Hence, at least for small motors, it may be worthwhile
bars and two partially broken end-ring faults for a 3-ph 3-hp to confirm the presence of broken bars through the speed spectra
60-Hz four-pole skewed 44-rotor bar induction motor. The (Fig. 6).
NANDI et al.: CONDITION MONITORING AND FAULT DIAGNOSIS OF ELECTRICAL MOTORS—A REVIEW
Fig. 4. Experimental plots of normalized line current spectra of healthy
machine (top) and with one to four bars partially broken (next four plots).
Slip = 0:033. These plots have been obtained from a machine that is similar
to the one simulated. Faults were introduced by drilling the bars.
Fig. 5. Experimental plots of normalized line current spectra of healthy
machine (top) and with four bars broken (bottom) around the 5th and 7th time
harmonics. Slip = 0:033.
723
Fig. 6. Experimental plots of normalized speed spectra of healthy machine
(top) and with four bars broken (bottom). Slip = 0:033.
The harmonics of the stator terminal voltages just after
switching the motor off can also be used as a diagnostic
measure [49]. Other transient detection techniques have been
described in [50].
D. Eccentricity-Related Faults
Machine eccentricity is the condition of unequal air gap
that exists between the stator and rotor (Vas [1], Heller and
Hamata [51], Cameron et al. [52]). When eccentricity becomes
large, the resulting unbalanced radial forces (also known as
unbalanced magnetic pull or UMP) can cause stator to rotor
rub, and this can result in damage of the stator and rotor.
There are two types of air-gap eccentricity: the static air-gap
eccentricity and the dynamic air gap eccentricity. In the case
of the static air-gap eccentricity, the position of the minimal
radial air-gap length is fixed in space. Static eccentricity may
be caused by the ovality of the stator core or by the incorrect
positioning of the rotor or stator at the commissioning stage.
If the rotor-shaft assembly is sufficiently stiff, the level of
static eccentricity does not change.
In case of dynamic eccentricity, the center of the rotor is
not at the center of the rotation and the position of minimum
air-gap rotates with the rotor. This misalignment may be caused
due to several factors such as a bent rotor shaft, bearing wear
or misalignment, mechanical resonance at critical speed, etc.
Dynamic eccentricity in a new machine is controlled by the
total indicated reading (TIR) or “run-out” of the rotor (Barbour
and Thomson [53]). An air-gap eccentricity of up to 10% is
permissible. However, manufacturers normally keep the total
eccentricity level even lower to minimize UMP and to reduce
vibration and noise.
In reality, both static and dynamic eccentricities tend to
co-exist. An inherent level of static eccentricity exists even
in newly manufactured machines due to manufacturing and
assembly method, as has been reported by Dorrell et al. [54].
This causes a steady UMP in one direction. With usage, this
may lead to bent rotor shaft, bearing wear and tear etc. This
might result in some degree of dynamic eccentricity. Unless
detected early, these effects may snowball into a stator to rotor
hub causing a major breakdown of the machine [53].
724 IEEE TRANSACTIONS ON ENERGY CONVERSION, VOL. 20, NO. 4, DECEMBER 2005

Fig. 7. Simulated normalized plots of the line current spectra of a 3-ph 3-hp
60-Hz induction motor with 38.46% static (top) and 20% dynamic eccentricity Fig. 8. Simulated normalized plots of the line current spectra of a 3-ph 3-hp
(bottom) with 2p = 4; R = 43. Slip = 0:029. 60-Hz induction motor with 38.46% static with Slip = 0:029 (top) and 40%
dynamic eccentricity and Slip = 0:004 67 (bottom) with 2p = 4; R = 42. The
other static eccentricity component is suppressed due to loading effects.
The presence of static and dynamic eccentricity can be de-
tected using MCSA [1], [52]. The equation describing the fre-
quency components of interest is

(8)

where in case of static eccentricity, and ,

in case of dynamic eccentricity ( is known as eccentricity
order), is the fundamental supply frequency, is the number
of rotor slots, is the slip, is the number of pole pairs, is any
integer, and is the order of the stator time harmonics that are
present in the power supply driving the motor ( ,
etc.). In case one of these harmonics is a multiple of three,
it may not exist theoretically in the line current of a balanced
three-phase machine. However, it has been shown by Nandi et
al. [55] and Ferrah et al. [56] that only a particular combination
of machine pole pairs and rotor slot number will give rise to sig-
nificant only static or only dynamic eccentricity-related compo-
nents. This relationship for a 3-ph integral slot 60 phase belt
machine is given by

(9) Fig. 9. Simulated, normalized line current spectra of 3-ph 3-hp 60-Hz skewed
four-pole induction motors with different rotor slots and identical mixed
where , and or or . eccentricity (SE = 38:46%; DE = 20%) machine around fundamental. From
top to bottom R = 44; 43; 42. Slip = 0:029.
Equation (9) assumes only the fundamental eccentricity com-
ponent in the permeance or inverse air-gap function [51], [56]. It
is to be noted that with , these components are very weak However, if both static and dynamic eccentricities exist to-
and noticeable only under light load conditions. gether, low-frequency components near the fundamental [54],
Simulated results with a four-pole, skewed, 43-rotor slot ma- [57] given by
chine, which conforms to (8) with are given in Fig. 7. (11)
Similar results with a four-pole, skewed, 42-rotor slot machine
can also be detected for all machines (Fig. 9). These low-fre-
are given in Fig. 8. The effects of eccentricity on fre-
quency components also give rise to high-frequency compo-
quency components given by (7) seem to be much less pro-
nents as described by (8). However, these components are strong
nounced for this machine. It has also been ascertained that ma-
only for machines (Fig. 10) whose pole pairs and rotor slot num-
chines generating principal slot harmonics (PSHs) will not give
bers are related by (9) and (10). For machines described
rise to these components with only static or only dynamic eccen-
by (9) with , they are rather weak (Fig. 11). Equations (9)
tricity. The pole pairs and rotor slot numbers for these machines
and (10) can be proved following [58]–[60].
(3 ph, integral slot, 60 phase belt) are related by
Modeling-based approaches to detect eccentricity-related
(10) components in line current have been described in [55] and
[57]. The simulation results obtained through the models can be
where , and or . corroborated by permeance analysis and experimental results.
NANDI et al.: CONDITION MONITORING AND FAULT DIAGNOSIS OF ELECTRICAL MOTORS—A REVIEW 725

Fig. 10. Simulated, normalized high-frequency line current spectra of 3-ph

Fig. 12. Experimental line current spectra with R = 44; p = 4; SE =
3-hp 60-Hz four-pole induction motors with different rotor slots and identical
38:46%; DE = inherent; slip = 0:029. Top row: healthy, Bottom row: faulty.
mixed eccentricity (SE = 38:46%; DE = 20%) machine. From top to bottom
R = 44; 43. Slip = 0:029.

Fig. 11. Simulated, normalized high-frequency line current spectra of

3-ph 3-hp 60-Hz four-pole induction motors with 42 rotor slots and mixed
eccentricity (SE = 38:46%; DE = 20%) machine. Slip = 0:02.

Fig. 13. Experimental line current spectra with R = 45; p = 4; SE =

Fig. 12 shows a machine with under healthy 50%; DE = inherent; slip = 0:0193. Top row: healthy, Bottom row: faulty.
and with 38.46% static eccentricity and inherent dynamic
eccentricity. This machine should show no increase in com-
ponents given by (8) and (11) and it does not. However, with
(Fig. 13) with 50% static eccentricity clearly
shows a significant rise in the aforementioned components. Of
interest are the changes of the components given by (11). Both
sidebands change almost equally, unlike what was reported
in [54]. The results in [54] are also different from Fig. 12 as
far as the components given by [11] are concerned. However,
when mixed eccentricity was introduced in a
machine, related harmonics given by (8) and (11) show an ap-
preciable increase under no-load as well as full-load condition.
Figs. 14–16 show these results. Loading seems to suppress
some of the components. This machine falls into the category
described by (10).
Vibration signals can also be monitored to detect eccen-
Fig. 14. Experimental line current spectra around fundamental, with R =
tricity-related faults. The high-frequency vibration components 28; p = 4; SE = 41:37%; DE = 20:69%; slip = 0:0028. Top: healthy,
for static or dynamic eccentricity are given by [52] using an Bottom: faulty.
equation similar to (7) (only the values of and are dif-
ferent). In case of mixed eccentricity, the low-frequency stator
vibration components are given by However, vibration transducers are delicate and expensive. They
also have special installation requirements to avoid damage due
(12) to shock and vibration.
726
Fig. 15.Experimental line current spectra around PSH, with R = 28; p =
4; SE = 41:37%; DE = 20:69%; slip = 0:0028. Top: healthy, Bottom:
faulty.
Fig. 16. Experimental line current spectra with R = 28; p = 4; SE =
41:37%; DE = 20:69%; slip = 0:022. Top: healthy, Bottom: faulty.
Fig. 17. ANN-based fault diagnosis.
Time-stepping finite-element methods have been employed
recently to compare simulated results with experimentally ob-
tained static eccentricity components in line currents [53]. It
should be noted that eccentricity should be modeled using the
modified winding function approach (MWFA) [55], [57]. Using
the winding function approach (WFA) gives unequal mutual in-
ductances, leading to incorrect results [61].
Other approaches, such as monitoring the stator voltage and
current Park’s vector (Cardoso and Saraiva [62]) to detect ec-
centricity in an induction motor, can also be found in the liter-
ature. Toliyat and Al-Nauim [63] have provided simulation and
IEEE TRANSACTIONS ON ENERGY CONVERSION, VOL. 20, NO. 4, DECEMBER 2005
experimental results for synchronous machines with dynamic
eccentricity-related faults. DC motor eccentricity has also been
reported by Haji and Toliyat [64]. Eccentricity fault signatures
can be extracted from torque data [43] using TSDM in conjunc-
tion with TSCFE-SS. The inductances of an eccentric induction
machine [65] are computed by combining the WFA and mag-
netic equivalent circuit (MEC). Effects of load unbalance, an-
gular (horizontal) misalignment, and radial (vertical) misalign-
ment on the current sideband of a small induction machine were
studied in [66].
III. AI-BASED MACHINE CONDITION MONITORING AND
FAULT DIAGNOSIS
Until recently, the prevalent fault detection technique has
been MCSA. References [67] and [68] provide a good review
of MCSA-based techniques. Apart from fast Fourier transform
(FFT)-based techniques applied to line current; broken bar
faults, stator faults, and dynamic eccentricity faults can also
be detected using higher order spectrum (HOS); in particular,
bispectrum and trispectrum, from a single sensor measurement
of the radial EM vibration [69]. Both line- and inverter-driven
machines have been tested.
Artificial neural networks (ANNs), fuzzy, or neuro-fuzzy sys-
tems are now used extensively for speed, torque estimation, and
solid-state drive control of both dc and ac machines. They are
particularly suited for ac machines’ applications where the rela-
tionships between motor current and speed are nonlinear. These
AI techniques are now being extended as a decision making tool
to MCSA results for condition monitoring and fault detection of
machines [5], [34], [71]–[74].
A neural net-based fault diagnosis system utilizing the stator
current spectra is described in Fig. 17. The preprocessor ex-
tracts the frequency components of the sampled current data.
Using the rule-based frequency filters, these frequency compo-
nents are classified into four categories with a decreasing level
of importance. Based on these rules, a neural network, which
has been trained for all possible operating conditions of the ma-
chine, is used to classify the incoming data. A spectral signa-
ture that falls outside the trained clusters is marked as a poten-
tial motor fault. In order to prevent false diagnosis, the postpro-
cessor sends an alarm only when fault signatures are observed
persistently. This function is performed by maintaining a time
history of the motor being monitored. Such a scheme has been
successfully implemented [5] to diagnose bearing and unbal-
anced rotor faults of induction motors. References [75] and [76]
describe a neural-network-based fault prediction scheme that
does not require any machine parameter or speed information.
Speed is estimated from measured terminal voltage and current.
Induction machines of different power ratings can be accom-
modated using minimal tuning of the neural network. Detection
effectiveness of 93% or more is achieved.
Similarly, fuzzy-logic-based systems have been used [73] to
classify broken-bar-related faults by categorizing the two side-
band components (6) around the fundamental of the induction
motor line current by a set of nine rules. Denoting the side-
bands as and , which are the two inputs of the system,
and the number of broken bars as the output of the system,
NANDI et al.: CONDITION MONITORING AND FAULT DIAGNOSIS OF ELECTRICAL MOTORS—A REVIEW
an example of these rules is “ If is small and is large,
equals one broken bar.” The fuzzy logic system considered is
the Mamdani type. The fuzzy inference is obtained by using the
fuzzy implication min–max methods and the centroid defuzzifi-
cation technique. The membership functions for and are
small, medium, and large. Other examples of motor fault detec-
tion using neural networks and fuzzy-logic techniques can be
found in [77].
IV. CONCLUSION
A brief review of bearing, stator, rotor, and eccentricity-re-
lated faults and their diagnosis has been presented in this paper.
It is clear from various literature that noninvasive MCSA is by
far the most preferred technique to diagnose faults. However,
theoretical analysis and modeling of machine faults are indeed
necessary to distinguish the relevant frequency components
from the others that may be present due to time harmonics,
machine saturation, etc. Other techniques for fault detection
based on axial flux-based measurements, vibration analysis,
transient current, and voltage monitoring, etc. have also been
discussed. A section on automated fault detection has also been
included.
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NANDI et al.: CONDITION MONITORING AND FAULT DIAGNOSIS OF ELECTRICAL MOTORS—A REVIEW 729

Subhasis Nandi (S’97–M’00) received the B.E. de- Xiaodong Li (S’02) received the B.Eng. degree in
gree in electrical engineering from Jadavpur Univer- electrical engineering from Shanghai JiaoTong Uni-
sity, Calcutta, India, in 1985, the M.E. degree in elec- versity, Shanghai, China, in 1994, and is currently
trical engineering from the Indian Institute of Sci- pursuing the Ma.Sc. degree at the University of Vic-
ence, Bangalore, in 1988, and the Ph.D. degree in toria, Victoria, BC, Canada.
electrical engineering from Texas A&M University, In 1994, he became an Electrical Engineer with
College Station, in 2000. Hongwan Diesel Power Co., Zhuhai, China, the local
Currently, he is an Assistant Professor with the power company in South China, where he conducted
Department of Electrical and Computer Engineering, power generation system maintenance.
University of Victoria, Victoria, BC, Canada. He
has recently received a Canadian Foundation for
Innovation (CFI) and a matching British Columbia Knowledge Development
Fund (BCKDF) grant for setting up an advanced drives’ lab at the University
of Victoria. From 1988 to 1996, he was with TVS Electronics and the Central
Power Research Institute, Bangalore, India, working in the areas of power
electronics and drives. His main research interests are power electronics and
drives and analysis and design of electrical machines, with special emphasis
on fault diagnosis.

Hamid A. Toliyat (S’87–M’91–SM’96) received the

B.S. degree in electrical engineering from Sharif Uni-
versity of Technology, Tehran, Iran, in 1982, the M.S.
degree in electrical engineering from West Virginia
University, Morgantown, in 1986, and the Ph.D. de-
gree in electrical engineering from the University of
Wisconsin, Madison, in 1991.
He joined the faculty of Ferdowsi University of
Mashhad, Mashhad, Iran, as an Assistant Professor of
electrical engineering. In 1994, he joined the Depart-
ment of Electrical Engineering, Texas A&M Univer-
sity (TAMU), College Station, where he is currently E. D. Brockett Professor
of Electrical Engineering. His main research interests and experience include
analysis and design of electrical machines, variable speed drives for traction
and propulsion applications, fault diagnosis of electric machinery, and sensor-
less variable speed drives. He has supervised more than 35 graduate students,
published over 250 technical papers, presented more than 35 invited lectures all
over the world, 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
Co-Editor of the Handbook of Electric Motors: 2nd Ed. (Marcel Dekker, 2004).
Dr. Toliyat received the prestigious Cyrill Veinott Award in Electromechan-
ical Energy Conversion Award from the IEEE Power Engineering Society in
2004, TEES Fellow Award in 2004, Distinguished Teaching Award in 2003,
E.D. Brockett Professorship Award in 2002, Eugene Webb Faculty Fellow
Award in 2000, and TAMU Select Young Investigator Award in 1999 from
TAMU. He has also received the Space Act Award from NASA in 1999, and
the Schlumberger Foundation Technical Awards in 2001 and 2000. He is also
Chairman of IEEE-IAS Electric Machines Committee, and is a member of
Sigma Xi. He is a senior member of the Power Engineering, Industrial Appli-
cations, Industrial Electronics, Power Electronics Societies of the IEEE, and
the recipient of the 1996 IEEE Power Engineering Society Prize Paper Award
for his paper on the Analysis of Concentrated Winding Induction Machines for
Adjustable Speed Drive Applications-Experimental Results. He is an Editor of
IEEE TRANSACTIONS ON ENERGY CONVERSION, and was an associate editor of
IEEE TRANSACTIONS ON POWER ELECTRONICS.

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