IEEE Transactions on Dielectrics and Electrical Insulation Vol. 21, No.

1; February 2014 33

Performance of a Load-immune Classifier

for Robust Identification of Minor Faults
in Induction Motor Stator Winding
S. Das, P. Purkait,
Haldia Institute of Technology
Department of Electrical Engineering
Haldia, WB 721657, India

C. Koley
National Institute of Technology
Department of Electrical Engineering
Durgapur, WB 713209, India

and S. Chakravorti
Jadavpur University
Department of Electrical Engineering
Kolkata, WB 700032, India

ABSTRACT
Reliable detection of induction motor stator winding insulation failure at its early stages is
a challenging issue in modern industry. Insulation failure between small number of turns,
involving less than 5% turns of phase winding are often indiscernible and detection
becomes even more complicated when motor operates at varying load levels. In line-fed
motors, supply voltage unbalance is another inadvertent issue which may tend to exhibit
current signature similar to stator winding inter-turn insulation failure case. The proposed
work presents a robust system, to identify severity of stator winding insulation faults when
an induction motor with random wound stator winding works under such operating
conditions. In the present work, various features obtained from time, frequency, time-
frequency, and non-linear analysis of stator currents at various stator winding short circuit
faults and supply voltage unbalance conditions for different load levels have been studied.
A Support Vector Machine based Recursive Feature Elimination (SVM-RFE) algorithm is
used to identify the features which can provide discrimination information related to
severity of fault level, independent of supply voltage unbalance and immune to load level
variations. Among the extracted features, features obtained through Detrended
Fluctuation Analysis (DFA) are found to be most robust for this purpose. Finally a
Support Vector Machine in Regression mode (SVR) has been formed to identify winding
failures employing the optimum number of features selected through SVM-RFE technique.
Index Terms — Induction motors, Stator inter-turn insulation failure, Load Immunity,
Park’s Vector Modulus, Wavelet, Support Vector Regression, Detrended Fluctuation
Analysis, Recursive Feature Elimination.

1 INTRODUCTION
STATOR winding insulation failures constitute a significant
percent of faults encountered during the lifetime of an induction
motor [1]. Stator inter-turn insulation failure at its incipient
stage, if remain undetected, could cause irreversible damage to
stator. If a significant number of turns are involved, damage of
Manuscript received on 23 April 2012, in final form 11 September 2013,
accepted 11 September 2013.
the stator might not be avoided if the motor protection system is
sluggish. In addition, unidentified less severe or insulation
failure between minor number of stator winding turns may lead
to premature failures of motor within a very short period of
motor operating time [2]. The situation tends to become even
worse in inverter fed induction motors with Variable Frequency
Drives (VFDs). Voltage stress impressed by high frequency
switching of power semiconductor devices present in VFD may
lead to inter-turn insulation failure of stator winding [3].

DOI 10.1109/TDEI.2013.003549
34 S. Das et al.: Performance of a Load-immune Classifier for Robust Identification of Minor Faults in Induction Motor Stator Winding
Root causes for failure of stator insulation system have
been summarized in [4-6]. Several diagnostic schemes have
been proposed by many researchers to detect stator winding
faults. From application point of view, non-invasive and non-
intrusive fault diagnostic methods are always preferred. Pros
and cons of off-line methods such as, Insulation Resistance
(IR), Polarization Index (PI), and Surge test etc and several
on-line methods based on current signature monitoring,
temperature monitoring, sequence current monitoring, and
vibration signature monitoring have been documented in [5-
8]. To detect stator winding turn insulation failure, the
accuracy of Motor Current Signature Analysis (MCSA)
combined with wavelet, current envelope, neural network
(NN) and Fuzzy neural network (FNN) has been reported in
[7-8]. Short-time Fourier transforms (STFT), wavelet
transforms and power spectral density (PSD) calculations
have been introduced in [9] for fault detection in induction
motors. As reported in [10], external factors such as
unbalances in supply voltages, inherent motor asymmetries,
and load level variations affect the effectiveness of majority of
these techniques. Methods such as estimation of negative
sequence current and impedance employing Power
Decomposition Technique (PDT) [11], multiple reference
frame theory [10], magnetic field pendulous oscillation [12],
monitoring variation of high frequency resonance in winding
[13] etc have been implemented recently in order to achieve
high accuracy in stator winding fault diagnosis under supply
voltage imbalance, load variation, and inherent machine
asymmetry. As reported in [5, 8], the interpretation of such
analysis is subjective and the least severity or least percentage
shorted turns that has been detected by some newly developed
method is found to be much significant in the context of minor
incipient stator fault detection [7]. Such issues have inspired
the researchers to implement MCSA based stator fault
diagnostics schemes which can detect faults involving minor
turns accurately and unambiguously i.e. without having
problem in interpretation. Significant efforts have been
dedicated in the last decade for stator winding fault diagnosis
using Park’s Vector approach [14-15] and current Concordia
pattern computations [16]. By analyzing two different
components of current Park’s Vector with advanced signal
and data processing tools in [17] has established competency
of Park’s Vector approach to detect such minor incipient
stator faults even in presence of supply voltage unbalance
conditions at varying load levels.
Two issues that complicate stator winding fault diagnosis
are supply voltage unbalance and load level variations.
Studies involving transient variations in supply voltage and
load can be set aside for the time being, since, most stator
fault diagnosis techniques are carried out while the motor is
operating under steady state condition.
Previous experience of the authors [17] have shown that
induction motor fault diagnosis methods based on Park’s
Vector analysis responds well under known load levels.
However, in practical field, the problem becomes more
complicated due to the fact that seldom there are devices fitted
to the motor for direct measurement of load. The loading level
thus either remains unknown or can only be estimated from
indirect measurements such as the value of motor supply
current. The fault diagnosis problem becomes more confusing
when the current signature due to supply voltage unbalance
becomes apparently similar to that due to internal stator
winding faults.
In the present work, a series of experiments were performed
to record motor supply currents at various operating
conditions including internal stator winding short circuit faults
and supply voltage unbalance under different load levels.
Park’s vector modulus (PVM) [15] was obtained through
Park’s transformation of three phase stator line currents in all
the experiment cases. Several features were extracted through
time domain, frequency domain, and time-frequency domain
analysis of the PVM. Support Vector machine (SVM) based
Recursive Feature Elimination (SVM-RFE) algorithm was
used to select, rank and optimize the number of effective
features to be used for classification. It is pertinent to mention
here that two separate feature sets were constructed; one that
included load level information while load level information
was intentionally kept hidden from the second feature set. A
Support Vector Regression (SVR) based classifier was then
used to classify different stator winding fault conditions based
on selected features. It was noticed that classifier performance
was superior when load level information was included in the
feature set than when load level information was kept hidden.
To make the fault classification algorithm immune to
varying load levels, Detrended Fluctuation Analysis (DFA)
was used to extract two additional features from PVM. In
place of providing load level information directly, these two
new features were introduced in feature set. Selecting,
ranking, and optimizing the number of suitable features from
the cumulative feature database thus formed was undertaken
once again with the SVM-RFE algorithm. Finally the SVR
based classifier was found to be reasonably accurate in
detecting and classifying motor internal faults, specifically,
stator winding minor short circuit faults even under unknown
load levels. Judicious selection of features also ensured that
the load-immune classifier thus developed responds
satisfactorily in differentiating supply voltage unbalance
conditions from stator internal fault cases.
2 EXPERIMENTAL DETAILS
In the present work, experimental studies have been
conducted on a 2.5HP, 415V, 4 pole, 3-phase induction motor
with a customized stator winding where several tappings from
different coils were taken out. Star connected stator winding
of the three phase induction motor under test has 6 coils and
360 turns per phase with enamel insulation between turns.
One of the three phases of stator winding (R-phase in the
present study) is customized to implement as many as twelve
short circuit fault conditions (1, 2, 3, 4, 5, 6, 8, 9, 11, 12, 13
and 14 turns). Short circuiting any two of the taps externally
emulates insulation failure between turns thereby creating
short circuit fault in the stator phase winding. Minor inter-turn
short circuit fault conditions in stator winding are thus
artificially created involving 0.28% (1 turn) to 3.89% (14
IEEE Transactions on Dielectrics and Electrical Insulation Vol. 21, No. 1; February 2014 35

turns) turns of phase winding. Even such a minor fault makes Another series of experiments have been performed on the
the stator current asymmetrical, which is otherwise motor with unbalanced supply voltages while keeping the
symmetrical in ideal healthy case. A DC generator has been motor internally healthy. To impose unbalanced supply
directly coupled to the induction motor shaft. A group of voltages of varying amounts, three separate single-phase auto-
lamps are connected to the DC generator output terminals with transformers capable of supplying up-to 110% of motor rated
provision of loading the generator with different voltage have been employed. Amounts of supply voltage
combinations. Varying the generator output electrical load unbalance were so selected that resulting unbalance motor
thus in turn mechanically loads the induction motor to currents appear to be identical to motor currents that were
different levels. Schematic circuit diagram of the experimental caused due to stator winding insulation failures involving 1, 2,
set-up is shown in Figure 1. 3, 4, 5 and 6 turns respectively. This was intentionally done
By adjusting 3 single-phase variable auto-transformers, to pose the classifier with the problem of separating motor
rated three phase balanced supply is fed to the motor under internal faults from external voltage unbalances when
healthy as well as under inter-turn short circuit fault corresponding current signatures appear to be similar. All the
conditions of R-phase stator winding. Experiments for each of above sets of experiments under varying degrees of supply
the winding fault cases were repeated at no-load (NL) and voltage unbalance conditions were performed at all aforesaid
under five different load levels, namely 20% load (1L), 40% load levels.
load (2L), 60% load (3L), 80% load (4L) and full-load (5L) of
the motor. In each case, current signals are captured after the
motor has been run for considerable duration at a given load
so that motor temperature can attain a steady value. During the
tests, motor temperature is closely monitored by a thermal
imager. A sample of such captured image is presented in the
inset of Figure 2. Current through short circuit links in each
fault case has also been monitored and recorded as presented
in Table 1. It has been noticed that even at 1 turn fault current
through short circuiting link is well above the rated current
value (3.5 A) of the motor.
A photograph of experimental setup of the proposed scheme
is shown in Figure 2. Data acquisition has been carried out by
employing YOKOGAWA (Model no. WT230) 3-phase digital
power meter interfaced with PC through serial communication
link. It is a high accuracy and wide-bandwidth power meter
Figure 2. Photograph of test set-up
which can measure DC and AC signals from 0.5 Hz to 100
kHz with a fundamental accuracy of 0.1%. Flexibility is also Table 1. Current through short circuiting links.
available to set sampling frequencies up-to 20 kHz. Further Number
details about data acquisition process can be found in [17]. Current through shorted link (A) at different loads
of
Since noise can always interfere with the fault signatures, the Shorted
NL 1L 2L 3L 4L 5L
same experiment was repeated several times in order to reach turns
1 4.5 4.55 4.61 4.66 4.72 4.74
reliable conclusions. Therefore, for each fault condition, in
2 6.88 6.92 6.94 6.98 7.1 7.4
fact, five different data sets were recorded at different points 3 7.16 7.2 7.26 7.31 7.4 7.52
of time for analysis. It may be pointed out here that all the 4 8.75 8.86 8.88 8.91 8.98 9.06
experiments have been performed with the motor being 5 9.2 9.27 9.34 9.4 9.45 9.5
exclusively driven by a sinusoidal source. Thus, unlike in
6 9.6 9.67 9.7 9.82 9.88 9.9
PWM fed induction motors, effect of high frequency
8 10.3 10.4 10.45 10.5 10.6 10.67
components is not expected in the current signature.
9 10.6 10.62 10.65 10.76 10.85 10.89
11 11.3 11.5 11.63 11.67 11.8 11.9
12 11.9 11.9 11.96 11.97 12 12.03
13 12 12.12 12.3 12.42 12.61 12.67
14 12.7 12.8 12.8 12.86 12.87 12.96

3 EXTENDED PARK’S VECTOR

Figure 1. Schematic circuit diagram of the experimental set-up.
APPROACH (EPVA)
In three-phase induction motors, the mains supply normally
does not have neutral wire. Therefore, the line current fed to
the motor has no homo-polar component. A suitable two-
dimensional (2-D) representation can then be used to describe
three-phase induction motor performance. A commonly used
36 S. Das et al.: Performance of a Load-immune Classifier for Robust Identification of Minor Faults in Induction Motor Stator Winding

2-D representation is based on the Park’s transformation 4 FEATURE EXTRACTION FROM

which has been successfully applied in the steady-state PARK’S VECTOR MODULUS (PVM)
diagnosis of rotor faults, stator turn-to-turn insulation faults,
unbalanced supply voltage conditions, and mechanical load- 4.1 TIME DOMAIN ANALYSIS
misalignments [15].
From the time domain analysis it was observed that the
The orthogonal Park’s vector components (Id, Iq) are function
PVMs consist of DC component (average value) with
of mains three phase line currents (Ia, Ib, Ic) as mentioned in
superimposed oscillating part i.e. AC component. The time
[17]. Instead of analyzing two different current components (Id
domain signal for healthy motor with balanced as well as
and Iq), effort has been made to reduce the number of variables
unbalanced supply voltage conditions along with some minor
to be analyzed to one by calculating Park’s Vector Modulus
fault conditions at different load levels are shown in Figure 3.
(PVM) from Id and Iq. This approach known as Extended Park’s
As pointed out earlier, PVMs calculated for all operating
Vector Approach (EPVA) [15] thus sets a new challenge to fault
diagnostic method which is to be implemented to identify faults 6
by analyzing effectively only one system variable. Success in conditions have been divided by I M , where IM is taken
2
achieving desired fault identification performance of proposed as maximum value of healthy motor current under no-load.
method would confirm that estimated PVM actually inherits Thus the normalized values of PVMs as shown in Figure 3 are
valuable information associated with operating condition of the unit-less. Average value (DC component) of these normalized
motor from Id and Iq. Authors have adopted this approach by PVMs with different number of faulted turns and under
taking encouragement from their previous contribution in [17] different load levels are plotted in Figure 4. Y-axis of Figure 4
where analyses were performed using the two separate showing average values of normalized PVMs is also unit-less.
components Id and Iq. Average values of normalized PVMs actually are indications
Park’s Vector Modulus (PVM) is then computed as: of amounts of unbalance present in the line currents. From
2 2
PVM  I d  I q (1) Figure 4 it can be observed that average values of PVMs are
found to be higher in general with an increase in the number
Under normal operating conditions i.e. when a healthy of shorted turns as well as with loading level. Whereas actual
induction motor is fed from a balanced supply, the PVM only PVM plots (Figure 3) show substantial variations w.r.t number
contains a dominant dc component. Magnitude of this dc of faulted turns, their average values (DC component) do not
6 show significant variations up to 4 turns (Figure 4). This may
component is found to be I M [15]. Where, IM is be due to the fact that faults involving such minor number of
2 turns (up to 4 turns) create so less unbalance in the winding
maximum value of the motor current. But, under abnormal impedance that effects of those are hardly discernible on the
operating conditions of the motor, due to asymmetries in the average values of PVMs.
motor current signature, the magnitude of the Park’s Vector
contains a frequency that is twice the fundamental frequency
along with dominant dc component [15]. However, in the case
of a practical healthy machine there will always be a small
degree of unbalance due to intrinsic asymmetries, hence the
PVM corresponding to healthy motor will not be free from ac
component. Diagnosis technique proposed in this article is
based on analyzing the Park’s vector modulus, corresponding
to the motor current signatures under different inter-turn short
circuit fault conditions of the stator winding under varying
load levels. It is also to be noted that in this analysis, PVMs
6
calculated for all operating conditions are divided by IM
2
and IM is taken as maximum value of healthy motor current under Figure 3.Time domain plot of normalized Park’s Vector Modulus (PVM), (A)
no-load. This manipulation does not change any characteristics Healthy condition at no-load, (B) 6 turns short at no-load, (C) 8 turns short at
no-load, (D)13 turns short at no-load, (E) 3 turns short with 40% load, (F)
of PVM signals excepting magnitude. Thus all PVMs are supply voltage unbalance causing unbalance in motor currents identical to 3
converted from ampere (A) scale to only relative amplitude turns short at 40% load, (G) 12 turns short at 80% load, (H) 12 turns short at
which is unit-less. This normalization method allows obtaining full- load, (I) 14 turns short at full- load.
unity amplitude of PVM when a healthy motor without any
internal asymmetry is fed from balanced supply under no-load. It Oscillating parts (AC component) of the normalized PVMs
also suitably scales PVM amplitude corresponding to any as shown in Figure 5, were extracted after eliminating the DC
operating condition irrespective of motor no-load current component from the normalized PVM signals i.e. AC part of
magnitude and effectively facilitates to compare PVMs obtained normalized PVM = normalized PVM-average of normalized
from different operating conditions of motor. So, through out this PVM. As for Figure 3 and Figure 4, the Y-axis of Figure 5 is
analysis normalized amplitudes of PVMs have been used. also unit less. On first visual, the figure seems more like noise
IEEE Transactions on Dielectrics and Electrical Insulation
superimposed on each other. However, this very nature of the
plots, which indicate definite variations in the AC components
of PVMs w.r.t number of shorted turns and load, encouraged
the authors to extract several properties from these plots.
Properties that were extracted from AC component of the
PVMs include rms value, Standard Deviation, Median,
Skewness and Kurtosis [18].
Figure 4. Plot of average values of normalized PVMs w.r.t faulted turns at
different loading levels: (NL) No-load, (1L) 20% load, (2L) 40% load, (3L)
60% load, (4L) 80% load, (5L) full load.
Figure 5. Time Domain plot of extracted AC parts of the normalized PVMs:
(A) Healthy at no-load, (B) 4 turns shorted at no-load, (C) 8 turns shorted at
no-load, (D) 11 turns with 40% load, (E) 11 turns shorted at full-load.
4.2 FREQUENCY DOMAIN ANALYSIS
Several frequency domain based features were extracted to
study the variations of harmonic components of PVM so that
fault severity can be identified independent of the load and
supply voltage unbalanced condition. Thus the extracted AC
parts of PVMs were first normalized w.r.t the standard
deviation (i.e. normalized value of AC part of PVM = AC part
of PVM / Standard deviation of respective AC part of PVM)
and then Fast Fourier Transform (FFT) was performed. Figure
6 shows the plot of absolute value of the FFT coefficients vs.
frequency of PVM patterns under different fault severity and
supply voltage unbalance conditions at no-load. Around 400
data samples (at 20 kHz sampling frequency) have been used
to obtain FFT. It can be highlighted here that scale of the
vertical axis in Figure 6 is not expressed in terms of ampere;
rather it indicates a scale where FFT amplitudes only (unit
less) have been plotted. This is because of the fact that FFT
was performed basically on the AC parts of the PVMs after
normalizing those w.r.t standard deviation. Thus the input
signal being fed to FFT is not in terms of ampere, but rather it
is a unit less quantity which results in a unit less quantity
again in FFT coefficients. Harmonic frequency components
Vol. 21, No. 1; February 2014 37
present in the FFT can be attributed to winding faults, supply
unbalance, and flux distortion.
From Figure 6, it can be observed that the major peaks,
occurring around 100, 200, 300 and 400Hz have certain
definite variations with respect to different observation cases
A, B, C, and D. It is pertinent to mention here that a
symmetrical, healthy stator winding picks up only those
harmonics present in the rotor MMF whose pole pair numbers
match with those which the stator winding itself can produce.
Abnormal harmonics, which appear in a stator current, are
functions of a number of variables due to MMF distribution and
the permeance wave representation of the air gap. Number of
rotor slots or bars, pole pair, slip, and skew in stator and rotor
also affects those frequencies and magnitudes [19-20]. With an
inter-turn short circuit, shorted portion of the winding acts as a
pick-up coil for some specific harmonics. These harmonics will
be induced in healthy portion of the winding [21]. Due to
dependence on these various parameters as mentioned,
harmonic components as present in FFT may not be at exactly
integral multiples of supply frequency fundamental. It can also
be observed that the amplitudes of the peaks are different for
different number of faulted turns. Say for example, the
amplitude of the peak around 300 Hz for 2 and 6 turns are in
decreasing order whereas around 100 Hz it is in increasing
order. Similar observations can also be made for supply voltage
unbalance conditions. Features such as peak values of the FFT
coefficient around 100, 200, 300 and 400Hz are obtained. In
addition to these, exact frequencies of peaks around 100, 200
and 300 Hz are also included in the feature set.
Figure 6. FFT at different fault levels and supply voltage unbalance
conditions, (A) 2 turns short, (B) supply voltage unbalance causing unbalance
in motor current equivalent to 2 turns short, (C) 6 turns short, and (D) supply
voltage unbalance causing unbalance in motor current equivalent to 6 turns
short.
Analysis of FFT coefficients up to 1 kHz, revealed that
power in higher frequency band (0.5-1 kHz) increases with
the severity of the fault. It was also observed that power in
this high frequency band remain low in healthy motor as well
as during voltage unbalance conditions when compared to
faulty motor conditions. In the context of present work, this
analysis suggests that stator winding fault due to inter-turn
insulation failure, introduces more harmonics in PVM profile
than that due to supply voltage unbalance conditions. This is
further confirmed by estimating power of AC parts of PVM
signals using Power Spectral Density (PSD) calculation with
Welch's overlapped segment method (available in MATLAB)
employing Gaussian window function. For example, high
frequency range PSD at no-load for healthy motor, motor with
38 S. Das et al.: Performance of a Load-immune Classifier for Robust Identification of Minor Faults in Induction Motor Stator Winding
six turn fault, and voltage unbalance causing supply currents
equivalent to those due to six turn fault are -78.4 dB, -75.1 dB,
and -77.3 dB respectively. In this context, it would be pertinent
to mention that PVM values under healthy condition and
balanced supply voltage would have been ideally 1 when
normalized, as can be anticipated from Figure 3. This can be
taken as the reference value of PSD corresponding to 0 dB. In
the analysis presented in the manuscript, PSD values were
estimated for PVAC (AC parts of PVMs) which are very small
in magnitude, even less than 1, as found in Figure 5. Thus, even
the relatively high magnitudes of estimated PSD values in the
low frequency range of this analysis were found to be around -
60 dB. It has been further observed that with increasing
frequency, the estimated PSD values were decreasing. PSD
values beyond -80 dB were considered to be noise and have
been discarded from further analysis. Several additional features
such as power of the signal in the frequency band of 100±25,
200±25 and 300±25 Hz, and from these basic features, other
derived features such as ratio of the power, and ratio of sum of
the first three odd harmonics power to total power, ratio of the
remaining harmonics power to total power, power in high
frequency band (500-1000 Hz) and ratio of it to power in low
frequency band (0-500 Hz) were calculated.
4.3 TIME-FREQUENCY DOMAIN ANALYSIS
Due to non-stationary behavior of the PVMs, and to analyze
how the harmonic contents vary with respect to time at
different level of fault severity, load level and voltage
unbalanced condition, Continuous Wavelet Transform (CWT)
[22-23] of the PVMs (extracted AC part) was obtained. The
plots of CWT coefficients under different operating conditions
of the motor are shown in Figure 7. CWT generally will
produce a 3-dimensional plot with X-axis showing time
(translation), Y-axis showing frequency (scale) and Z-axis
showing the CWT coefficients. Accordingly in Figure 7,
horizontal axis of each figure indicates translation along data
number, vertical axis indicates scale, and CWT coefficients
are drawn with different color shades indicating its magnitude
value. Color bar on the right side of Figure 7 indicates
magnitude of CWT coefficients. In each plot, the maximum
CWT coefficient value, along with its corresponding
translation and scale values have been observed to be varying
with fault types and fault severity. One such CWT maximum
peak has been circled for example in the Figure 7(a).
Figure 7. Plot of CWT Coefficients Vs. Time and Scale, (a) healthy motor
at no-load , where the major peak is circled (b) voltage unbalance at no-load
without any internal fault, (c) 4 turns short at no-load, and (d) 4 turns short at
40% load.
In this analysis it has been found that use of “Morlet”
wavelet as a mother wavelet is providing better discriminating
information when PVMs of different fault severity are
presented. The analysis revealed that CWT coefficient of
major peak, its position in ‘time’ (translation) and ‘scale’ axes
vary with respect to number of faulted turns.
5 NON-LINEAR ANALYSIS (DFA)
The motivation behind use of non-linear analysis came from
the fact that most of the earlier features as discussed are
sensitive to load level variations. To build a robust fault
severity identification system, it is thus necessary to look for
the additional features which are less affected by the changes
in load level and have large variations due to change in
winding fault severity. Extracted non-linear features from the
chaotic nature of signals similar to PVM in present study have
shown effectiveness in various fields of engineering [24]. A
closer look at Figure 4 reveals that the general wave shape of
extracted AC parts of PVM for winding fault involving given
number of turns do not vary much with changes in load level,
except amplitude variation; whereas the wave shapes change
radically when fault severity levels change. In search of a
method that responses to changes in wave shape, the
Detrended Fluctuation Analysis (DFA) which is one kind of
Fractal analysis has been found to be suitable. Since its
introduction, the DFA has been effectively used as a tool for
detection of correlations and fluctuations in different time
series. Its applications include long time geological patterns
[25], sea clutter radar data sets [26] and even, heart rate
dynamics [27].
5.1 BRIEF THEORY OF DFA
Detailed theoretical formulations of DFA can be found in
[25]. Summary of important features of DFA is presented here
for ready reference.
Let v ( n ) represent any PVM in time domain, where n=1,
2,…, K and K is the total number of points present in the PVM.
For the DFA, first an integrated series z ( n ) is obtained by
K
z( n )   { v ( n )  v ( n )} , where v ( n ) represent the average
n 1
value of v ( n ) . Then the entire sequence is divided into N
equal windows by discarding any remainder, so that each
window has c=integer_part( K /N) number of points. Now for
the wth window a semi-local trend was obtained by performing a
least square fit of z ( n ) with the help of straight line z w (n) .
The rms fluctuation S(c) from the semilocal trends in N
windows can be calculated as:
1 N wc 2
S (c )    z (n)  z w (n) (2)
Nc w1 n( w1)c1
Since DFA considers only the fluctuations from the
semilocal trends, it is insensitive to spurious correlations
introduced by slowly varying external trends [28]. It is
apparent that S(c) will increase with increasing window size
IEEE Transactions on Dielectrics and Electrical Insulation Vol. 21, No. 1; February 2014 39

c, since the deviations from the fits will become larger for captured per input supply cycle (20ms). This part of the
larger segments. analysis has been carried out by varying the data samples per
The variation of S(c) due to the variation of window size c window from 100 (window size = 4) to 8 (window size=50).
In order to understand more clearly how these two exponents
indicates the power law relationship ( S(c)  c ) where α
α
αs and αL vary when fault severity and load level change, a
indicates the nature of fluctuation in the PVMs. The exponent scatter plot between αs and αL at different fault and load levels
α can thus be estimated as the slope of plot between ln[S(c)] over multiple experiments are shown in Figure 8. For example,
and ln[c]. In general, this exponent becomes 0.5 for scatter points corresponding to healthy (H) case of the motor at
uncorrelated white noise [28] and α >0.5 indicate that six different load levels and at all the five test runs are marked
correlations in the signal are persistent (i.e., an increment is with darker dots. Similar scatter points have been obtained for
very likely to be followed by an increment, and vice versa). different turn faults as well as voltage unbalance conditions at
The exponents estimated by DFA lie between 0 and 2 [28]. different loads and at different test runs.
Figure 8 clearly displays the clusters formed at different
5.2 APPLICATION OF DFA
winding fault levels. Clusters at different winding fault
In DFA, smaller windows focus on the fast varying severity levels are almost mutually exclusive with limited
components whereas larger window sizes focus on the slowly instances of overlap. The most important observation from
varying trends. The scaling exponents αs and αL can be Figure 8 however, is that the effect of load level variation is
considered to distinguish the scaling behaviour of the almost absent. Irrespective of load level, the scatter points
fluctuation function on small and large time scales (high corresponding to a given winding fault condition lie within a
frequency and low frequency) respectively in order to find out reasonably close cluster. It is interesting to note from Figure 8
the nature of short-range or long-range correlations. Short that clusters corresponding to healthy (H), and voltage
range (high frequency) correlation in the time series data is unbalance (VU), conditions are located at different position
indicated by value of α (αS) greater than 0.5 on smaller scales from clusters correspond to internal winding faults of different
(window size). Value of α (αL) larger than 0.5 in large scale severity.
indicates long range (low frequency) correlation. The value of
αs corresponds to the slope of ln[ S(c) ] as a function of ln[c] in
Table 2. List of Extracted Features.
Features from Label Description
F1 Average value of the Parks Vector
F2 RMS value of the extracted AC part
F3 Standard Deviation of the AC part
Time domain
F4 Median value of the AC part
analysis
F5 Mode value of the AC part
F6 Skewness of the AC part
F7 kurtosis of the AC part
F8, F9, F10 Peak values of the FFT coefficient around
and F11 100, 200, 300 and 400 Hz respectively
F12, F13 Exact frequency of the maximum FFT
and F14 coefficient around 100, 200 and 300 Hz
F15, F16, Power of the signal in the frequency band of
F17 and 100 , 200±25, 300 ±25 and 400 ±25
F18 respectively
Frequency Figure 8. Plot of αs vs. αL at different faults and load levels over multiple
domain analysis F19, F20, experiments. [1, 2, 3,…14 in the Fig. indicate faulted turns; VU indicates
F21, F22 Ratio of the F15/F16, F15/F17, F15/F18, supply voltage unbalance cases; H indicate healthy case].
and F23 F16/F17 and F17/F18 respectively
F24 and Ratio of sum of the first three odd harmonic Closeness and few instances of overlap of the clusters
F25 power to total power and remaining power reveal that only αs and αL are not enough, but can work as
F26 and Power in High frequency band (500-1000 Hz) effective features when added to the existing feature set (time,
F27 and ratio of it to the low frequency band (0-
frequency and time frequency domain features) for accurate
Time-frequency F28, F29 Scale, Translation and Coefficient values of fault detection with acceptable degree of load-immunity.
domain analysis and F30 the Major Peak
Loading value F31 Load Level
F32 αs 6 SVR AND SVM-RFE BASED FAULT
DFA
F33 αL CLASSIFICATION
the short range 6  c  22 and the αL for the long range of 24  6.1 DESIGN OF FEATURE DATABASE
c  36 samples. These two ranges were determined by
A total of 33 features extracted following the procedure
searching max[ S   L 2 ] with variable window size in described in sections 4 and 5 are described in Table 2.
between 4 to 50. The basis of varying the window size In order to design a suitable classifier that can satisfy the
depends upon the number of data samples acquired per input primary aim of identifying minor inter-turn short circuit faults
supply current cycle. In this work, 400 data samples were due to insulation failure under varying load and unbalance
40 S. Das et al.: Performance of a Load-immune Classifier for Robust Identification of Minor Faults in Induction Motor Stator Winding
supply voltage conditions, an SVM based classifier in
regression mode (SVR) was employed. For training, testing
and performance evaluation of the classifier, the input feature
matrix (Table 1) and one class level or target matrix were
used.
In the present work, a total of 19 cases (one healthy with
balanced supply voltage, 6 healthy with unbalanced supply
voltage, and 12 inter-turn short circuit faults) have been
emulated at six different motor load levels (including no-
load) and the same experiment has been repeated for five
times. Based on this fact, features are arranged in matrix
form according to experiment number, load level and fault
condition. Among the five set of data obtained from five
experiments, one set of data were kept aside for
independent testing of the SVR on unseen data. The single
column target matrix contains a number according to the %
of turns in the phase winding involved in inter-turn fault.
This target matrix does not differ with load level, supply
voltage unbalance and experiment number. The target (t)
values were obtained by choosing a linear function
(t=mx+c) of % of winding under fault condition (x), where
m was 0.22 and c was 0.1. These two typical values of m
and c were chosen to keep the target range in between 0.1
and 1. The value c=0.1 was considered to set the target
value for healthy motor (with or without supply voltage
unbalance) to 0.1 (above ‘0’ value).
Classification performance of a regression model depends
primarily, on the selection of good features, i.e., features that
represent maximal correlation with the target function. So, in
order to eliminate irrelevant and redundant features, an SVM
based Recursive Feature Elimination (SVM-RFE) algorithm
has been used. This is a popular and fast technique for feature
selection, used in natural language processing and remote
sensing [29]. The motivation behind using SVM as a classifier
is the fact that most of the previous works of multi-class
classifications in high dimensional feature space pointed out
the superiority of SVM classifiers over traditional statistical
and neural classifiers [23].
6.2 THEORY OF SVR AND SVM-RFE
Let for each of the d-dimensional training feature vector
   
( χ k  R d )  = { 1 ,  2 ,... K } , a target value ( y k ) was
assigned, with k  1,2,...K , where K corresponds to size of
the target data. The idea of regression problem is to determine
a function from the training
   from F. This measure of predictive ability is defined as:
set {(χ1 , y 1 ),(χ 2 , y 2 ),...(χ K , y K )} , that can approximate future
target values accurately. Then from the K number of training
features one needs to iteratively find weight matrix (w) of d-
dimension and bias b so that
 i 1 j1
yk  w. k  b, for k  1,2,...K
If the features are not linearly related, then they are mapped
into a higher dimensional space, called kernel space () with
 r q  w 2 (L , L  w 2q (L , L ) for each iteration is computed.
the help of a kernel function κ (  k ,  ) so that each
coordinates of the kernel space correspond to one feature in
the feature set. In that kernel space, a variety of methods can
be used in general to find relationships between data items.
Use of kernel functions allows the SVM representation to be
independent of dimensionality of the input space. Different
kernel functions such as linear, RBF, hybrid, polynomial,
logarithmic etc. [30] can be used to provide the SVM to model
complicated separating hyperplanes between feature data sets.
Finding regression function from the training set in this case
thus becomes estimation of w and b so that from [29]:

y k  f (  )  w.Θ(χ k )  b, for k  1,2,...K (4)
The optimal regression function is given by the minimum of
the risk function,
K
1

2
( w k )  w k  C k Lk (y K ,i ) (5)
2 i 1
where, Lk (y K ,i ) are the allowable tolerance values
introduced to represent boundary constraints on the outputs of
the system, and the user specified constant Ck is a
regularization parameter, that allows control of boundary
when out of boundary data are present [29]. High values of Ck
will indicate a more optimized solution whereas a low value
results in a more generalized solution.
Minimization of the risk function (5) can be achieved with
the -insensitive loss function L k taking the form [31]
Lk = i
Lk (y K ,i ) , where
0 when, fk (  )  yk,i  εk

Lk (yk,i )  
 fk (  )  yk,i  εk otherwise
(6)
where, k is the user specified error level.
The regression risk given by (5) and the loss function given
by (6) have been minimized by solving quadratic optimization
problem, whose solution provide possible values of Lagrange
Multipliers L , L [32].
RFE technique, in its basic form, selects a subset of most
discriminative features with certain pre-defined inter-
relationship. This selection is performed through a sequential
backward elimination procedure following a margin
maximization principle [32]. The idea of RFE is to start
training the SVM classifier with all the features that least
decreases the margin using some mathematical or heuristic
rules. This process of feature elimination is repeated till some
stopping criteria are met. When a particular feature q is to be
removed from the feature subspace F during a certain
iteration, then a measure of predictive ability of the SVM
data regression need to be calculated after leaving out the feature q
K K
w 2q ( L ,L )   ( L i  Li )( x iq , x j q ) (7)
(3)
Where, x iq denotes the ith training point in the feature space
F without the feature q. The ranking score given by
The feature q with smallest ranking score is eliminated from
feature subspace F. For large original input spaces, to speed
up the computational process, the authors in [33] suggested
that more than one feature should be removed at a time. This
IEEE Transactions on Dielectrics and Electrical Insulation Vol. 21, No. 1; February 2014 41

simplifies the search procedure but may lead to sub-optimal are performed with the set of features thus obtained. For each
solutions, so in the present work only one feature was of the three models along with their performance with rank
removed at each level of iteration. wise cumulative features in the feature vector are presented in
Table 4. For training and testing in all the cases k-fold Cross
6.3 LOAD IMMUNE FAULT CLASSIFICATION
Validation (CV) procedure [34] was adopted. In this process,
To evaluate the effectiveness of DFA analysis on PVMs for the SVR was trained with randomly chosen (k-1) number of
identification of fault severity in the presence of load variation sub-sets and then tested with the remaining sub-set. Adequate
and supply voltage unbalance condition, three set of care was taken, however, to ensure that during training
identification models were created for comparison of the process; at least one feature vector from each class (fault
performances; these are as follows: condition and load level) is present in the training data set.
Model 1: Consider all the features from F1 to F31, i.e. with Next step involves optimization of the SVR models by
known load level and without DFA features. varying ε, kernel function (specifically the γ parameter), and
Model 2: Consider only the features from F1 to F30, i.e.
Ck as described before, for the respective reduced set of best
without DFA and without load level features.
Model 3: Consider all the features except load level i.e. F31. features as obtained from the first step.
This model was chosen to purposefully make the classifier Table 3. SVR Optimum Parameters Values.
blind to load levels, and still check how it performs. As was
observed in Figure 8, that the plot between DFA features αs Parameter Model 1 Model 2 Model 3
C 45 120 55
and αL generated reasonably close cluster of scatter points γ 0.58 0.44 0.88
corresponding to a given winding fault condition irrespective ε 0.1 0.1 0.1
of load level. This interesting finding prompted the authors to
replace load level feature (F 31) from the feature vector by αs Table 4. Ranking and Performance (Accuracy in %) of the SVR Model
and αL, to make the proposed SVR based system robust i.e. for Three Experiments.
(FN stand for Feature Name and AC is Accuracy in %).
immune to variations of load and voltage unbalance
Rank Model 1 Model 2 Model 3
conditions. FN AC FN AC FN AC
For each of the three models, three separate SVR models 1 F1 62.5 F27 58.1 F32 68.7
were considered. For each of these models, first selection of 2 F31 75.3 F23 65.1 F33 73.2
reduced set of best features were performed through SVM- 3 F2 83.2 F25 69.7 F27 81.3
RFE. Then optimization of the respective SVR model 4 F27 88.7 F17 71.4 F25 87.3
5 F3 89.5 F1 74.3 F23 89.6
parameters like error level (ε), kernel function and the
6 F26 90.8 F22 75.7 F22 91.7
tolerance values Ck were performed to improve respective 7 F17 91.7 F3 75.9 F1 92.3
model performance through iterative process of grid search. In 8 F23 92.5 F26 76.4 F17 92.5
9 F25 93.9 F24 77.4 F26 92.6
the iterative process, these parameters were varied over some 10 F30 93.7 F2 78.8 F1 92
predefined range iteratively (i.e. one parameter at one time). 11 F24 94.4 F11 78.9 F3 92.1
For each of the iteration, performance was evaluated in terms 12 F28 94.2 F30 80.1 F30 92.6
of accuracy (AC), which was calculated as AC = (100 - %
error), where,
The last step involves validation of the proposed model, i.e.
Actual faulted turns  Predicted faulted turns to identify fault severity through testing on unseen data. To
error 
Actual faulted turns judge performance of the classifier critically, all features of a
particular fault number/class were removed from training data
It was pointed out in [30] that there is no general theoretical
set, but was included in the testing data set. This posed a
tool to predict which kernel can give best results for a given
challenge to the classifier to identify a fault condition for
data set. Thus experimenting with different kernels is only
which it was not trained.
way to choose the best one. In the present work, for each of
A flow chart summarizing the entire process of fault
the models, Gaussian RBF kernel function was found to
classification is presented in Figure 9.
provide better performance when compared to linear and
polynomial (up to 2nd order) kernels. The Gaussian RBF
kernel was tuned to set the SVR parameters (C, γ, and ε) to get 7 RESULT AND DISCUSSION
optimum regression performance. The optimum parameters Results obtained from feature selection process for the three
values for each of the models are listed in Table 3. models as shown in Table 2 indicate that none of the features
Finally, the respective model accuracies were obtained on is best over the three models. From the ranking of Model 1
seen and unseen data with the help of respective best set of and Model 2 it can be observed that ranking of the features
features and optimized SVR models. change completely when load level information is not
First step i.e. feature selection involves ranking of the provided. The top ranked feature F1 in Model 1, which
features during training on the basis of rq values in each run contained average value of PVM’s, is ranked at much lower
(as discussed in previous section), and then searching best position when the load level information is not provided i.e. in
reduced set of features by observing the improvement in Model 2. This drop in rank of F1 from 1st to 5th position is due
performance of the model. Subsequently training and testing to the fact that its value depends heavily on the load level as
42 S. Das et al.: Performance of a Load-immune Classifier for Robust Identification of Minor Faults in Induction Motor Stator Winding
shown in Fig. 3. Similar explanations can be sought for other
features taking up their respective ranking positions both with
and without load level information. It can be also observed that
when load level information is not presented, then the features
F27, F23 and F25, which are basically ratios, get higher ranks.
For Model 3, i.e. when DFA features are added with the features
of Model 2, the rank of the DFA features (F32 & F33) are 1st
and 2nd as expected. The feature F27, i.e. the ratio of power in
high frequency band to low frequency band is found to be
another effective feature, which occupy 1st rank in the case of
Model 2 and 3rd rank (after DFA) for Model 3. This fact
indicates that when winding fault occurs, significant amount
high frequency components are injected in the stator winding
compared to the voltage unbalanced conditions.
Figure 9. Flow chart of the proposed scheme.
Variation of the DFA features with fault conditions also
point out the same fact, that with the fault severity the long
rage correlation i.e. αL decreases and short range correlation
i.e. αs increases and the DFA features are able to extract this
piece of information more effectively. On the other hand the
values of the αL and αs depends on the wave shape and it was
observed that the change in basic wave shape of PVMs are
more significant compared to the changes in the load level and
voltage unbalance conditions.
The improvement in performance with rank wise
cumulative inclusion of one feature at a time for the Model 1,
2 and 3 as shown in Figure 10, indicate that inclusion of more
than 11, 12 and 9 features for Models 1, 2 and 3 respectively
do not improve the performance significantly. From the
performance of Model 1, as presented in Table 2, it can be
observed that the best feature is F1. F1 alone is able to provide
fault identification accuracy of 62.5% and the inclusion of F31
i.e. load level information increase the performance to 75.3%,
even though the feature F31 does not contain any fault related
information. It is also interesting to see that the SVM-RFE has
placed F2 in 3rd rank whose variation with fault and load level is
similar to F1. This proves once again, the ability of SVM-RFE
to eliminate redundant features and find the best set of
complementary features. The performance of Model 3 with top
ranked feature i.e. F32 is 68.7%. This is much higher than
Model 1 with its top ranked feature F1. This indicates that F32
is more effective feature than F1, but whenever the F31 is added
to the Model 1 its performance increases dramatically and
becomes higher than that of Model 3 after addition of F33. With
the addition of other features i.e. top 11, 12 and 9 features for
Models 1, 2 and 3 respectively, their performances can be
improved up to 94.4%, 80.1% and 92.6%. The performance of
Model 2, which does not contain load level information and
DFA features have lowest performance.
After finding the reduced best set of features for each of the
SVR models, the individual SVR model parameters was tuned
as discussed in earlier section. With the properly tuned SVR
models, the performance was improved to 95.3%, 82.7% and
93.2% for Models 1, 2 and 3 respectively. These are average
accuracy obtained from k-fold CV test. When unseen data was
presented to each of the optimized and properly trained
respective models, the performances were found to be 95.1%,
80.8% and 92.7% respectively. At the first glance it may seem
that performance of Model 1 is superior to other models.
However, it is to be pointed out here that Model 1 is presented
with the load level information, while Model 2 and Model 3 are
blind to load level information. It is pertinent to highlight that
Model 3, even without load level information, provides
acceptable range of accuracy when compared to Model 1. This
is a major contribution of the present study that use of DFA (in
Model 3) has made the load-immune classifier perform
reasonably close to Model 1 where the load information is
known.
Comparative performance of the classifier with and without
DFA can be better visualized using the plots shown in Figure
10. From Figure 10, it is clear that when DFA is used (Model
3), the classifier gives reasonably good performance even
when it is blind to load level changes. As expected, Model 2,
without DFA and without load level information has worst
performance out of the three.
8 CONCLUSION
Detecting minor level short circuit faults involving less
number of turns in stator winding of induction motor has
always been a challenging issue for researchers. The problem
gets complicated under varying load levels, especially when
the loading information is unknown. Attempt of this article
has been to identify suitable features from Park’s vector
modulus of motor line currents under different fault severity.
Contribution of this research work has been
 Development of an experimental set up that emulates inter
turn short circuit faults in stator winding of an induction
IEEE Transactions on Dielectrics and Electrical Insulation
motor at varying load levels and also under supply voltage
unbalance conditions.
 Using EPVA to process the line current signals to extract
AC components of PVMs that are found contain fault
signatures.
 Normalization procedure adopted on PVM throughout this
work actually makes the features independent of actual
value of current magnitude. It is thus expected that the
proposed classification model will perform with comparable
accuracy for more powerful industrial grade machines of
similar configuration.
 The extracted AC part of PVM are then processed with
time, frequency, and time-frequency (CWT) domain signal
processing tools, and fractal technique (DFA) for fault
feature extraction.
 Design of a classifier that could identify stator winding
minor faults of different severity with reasonable accuracy
even when the loading level is unknown.
 The scheme also takes care of situations where unbalanced
supply voltages can cause current variations similar to
internal fault cases. Such robust load immune fault
classification could imply more acceptability of the
proposed method in practical applications.
Future directions of research in this area can be listed as:
 Probing into possible application of the proposed scheme
for fault identification in industrial grade motors with
different configuration.
 For delta coupling and on faulty motor, harmonic currents
may flow in the coupling. These currents may affect the
results of this study based on line current measurements.
Incorporation of such results will require more extensive
studies with different types of coupling. Future plan of
research includes studies on effects of coupling current,
bearing current and shaft current on classifier performance.
Model 1
100
90
Model 3
80
70 Model 2
Performance (%)
60
50
40
30
20
10
0 induction motor faults," IEEE Industry Applications Mag., Vol. 7, No. 4,
0 5 10 15 20 25 30
Number of Features
Figure 10. Performance vs. cumulated number of features used in
classification.
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Santanu Das (M’05) was born in Arambagh,
Hooghly, India, in 1977. He obtained his B.E.E and
M.E.E. degrees from Bengal Engineering and Science
University, Howrah, India in 1998 and 2001,
respectively. He has recently submitted his thesis for
the Ph.D. degree in Electrical Engineering at
Jadavpur University, Kolkata, India. He worked at
Asansol Engineering College, India as a Lecturer.
Presently he holds the post of Associate Professor
and Head, Electrical Engineering Department, Haldia Institute of Technology,
Haldia, India. His research interests include Motor condition monitoring, PLC
based motion control, Power Electronics and Drives.
Prithwiraj Purkait (M '97, SM’09) was born in
Kolkata, India in 1973. He obtained his B.E.E.,
M.E.E. and PhD degrees from Jadavpur University,
Kolkata, India in 1996, 1999 and 2002,
respectively. He worked with M/s Crompton
Greaves Ltd, Mumbai, India as a Design Engineer
for one year. He was involved in post-doctoral
research in the University of Queensland, Australia
during 2002-2003. Presently he holds the post of
Professor, Department of Electrical Engineering,
Haldia Institute of Technology, Haldia, India. His current research includes
transformer insulation condition assessment techniques, motor fault diagnosis
techniques and advanced signal processing applications in High Voltage
Engineering.
Chiranjib Koley (M’03) was born in Tarakeswar,
Hooghly, India in 1978. He obtained his B.Tech,
M.Tech, and Ph.D. degrees in 2000, 2002 and 2007,
respectively. Presently he holds the post of Associate
Professor in the Department of Electrical
Engineering, National Institute of Technology,
Durgapur, India. He has published more than 20
research papers and developed an online course. His
current research includes condition monitoring of
electrical equipment, signal processing, machine learning, instrumentation and
control.
Dr. Sivaji Chakravorti (M'89, SM'00) received his
BEE, MEE and Ph.D. degrees from Jadavpur
University, Kolkata, India, in 1983, 1985 and 1993,
respectively. Since 1985 he has been a full-time
faculty member of Electrical Engineering
Department of Jadavpur University, where he is
currently a Professor in Electrical Engineering. In
1984 he worked at the Indian Institute of Science
Bangalore as Indian National Science Academy
Visiting Fellow. He worked at the Technical
University Munich as Humboldt Research Fellow in
1995-96, 1999 and 2007, respectively. He served as Development Engineer in
Siemens AG in Berlin in 1998. He has also worked as Humboldt Research
Fellow in ABB Corporate Research at Ladenburg, Germany, in 2002. He
worked as US-NSF guest scientist at the Virginia Tech, USA, in 2003. He is
Fellow of Indian National Academy of Engineering, Fellow of National
academy of Sciences India and distinguished lecturer of IEEE Power
Engineering Society. He has published about 140 research papers, has
authored a book and developed three online courses. His current fields of
interest are numerical field computation, condition monitoring of electrical
equipment and lifelong learning techniques.