2014
International Symposium on Power Electronics,
Electrical Drives, Automation and Motion
The Use of a Modified Prony’s Method to Track the
Broken Rotor Bars Characteristic Frequencies and
Amplitudes, in Three-Phase Induction Motors
M. Sahraoui A. J. M. Cardoso
LGEB, University of Biskra, Algeria CISE - Electromechatronic Systems
CISE - Electromechatronic Systems Research Centre, University of Beira
Research Centre, University of Beira Interior, Covilhã, Portugal
Interior, Covilhã, Portugal ajmcardoso@ieee.org
m.s.sahraoui@ieee.org
Abstract—The knowledge of the broken rotor bars
characteristic frequencies and amplitudes has a great importance
for all related diagnostic methods. The monitoring of motor
faults requires a high resolution spectrum to separate different
frequency components. The Discrete Fourier Transform (DFT)
has been widely used to achieve these requirements. However,
DFT can give meaningful information only for stationary
harmonics which cannot be guaranteed in real cases. In addition,
a long data sequence is necessary for DFT to get high frequency
resolution. Nevertheless, the signals are time-varying, and the
steady-state conditions can be lost for a long time acquisition. As
a solution for these problems, this paper proposes an efficient
time-domain technique based on a modified Prony’s method for
the estimation of the frequencies/amplitudes of broken rotor bar
faults. Using this technique, the stator current is divided into
short overlapped time windows, and each one is analyzed by the
Least Squares Prony’s method. The proposed technique provides
a linear-time frequency/amplitude representation with high
frequency resolution and adjustable time resolution. It is shown
that this technique allows tracking the frequencies and
amplitudes of the sidebands around the fundamental frequency
component with a very high accuracy. The efficiency of the
proposed method is verified by simulation and experimental
tests.
Keywords—Prony’s method; Filtering; MCSA; Frequency
resolution
I. INTRODUCTION
Nowadays, induction motors have a crucial importance in
industry. Internal faults such as broken rotor bars can cause
serious damage to the motor itself as well as to motor-related
equipment, which can lead to unexpected shutdown of the
industrial processes causing then considerable economic
losses. To avoid such problems, reliable diagnostic systems
should be installed. Generally, a diagnostic system must
include a robust fault detection algorithm, which allows
detecting all defects, or any undesirable changes on the
machine performances before a total failure occurrence. Motor
Current Signature Analysis (MCSA) has been widely used to
detect broken rotor bars in squirrel cage induction motors [1],
[2]. It is well known that broken rotor bars produce geometric
and magnetic unbalances which induce sidebands, (1± 2ks ) f s
978-1-4799-4749-2/14/$31.00 ©2014 IEEE
210
A. Ghoggal
Electrical Engineering Department,
University of Biskra, Algeria
, in the stator current spectrum, where f s is the supply
frequency and s is motor slip. Therefore, the identification of
the sideband frequencies and the evaluation of their
amplitudes can be used as an efficient and reliable approach to
diagnose rotor bar faults. However, these sidebands are
usually quite close to the fundamental frequency and they may
become sensitive to load variations. In addition, the
magnitudes of the sideband components are in the range of -20
to -60 dB below the magnitude of the fundamental, which
combined with the noise usually present in the signal, makes
difficult the task of separating the different harmonic
frequencies, and consequently, the harmonic estimation is still
an open research topic.
Many harmonic estimation techniques exist in the area of
signal processing, which are categorized as parametric and
non-parametric methods [3]. Non parametric methods estimate
the spectrum directly from the signal, while the parametric
ones use a suitable model to represent the signal and then
estimate the parameters of this model from the available signal
data.
Among the numerous harmonic spectral analysis
techniques, the Discrete Fourier Transform (DFT) is the most
commonly adopted one. The DFT is a non-parametric method
which transforms a periodic, discrete signal from time-domain
to frequency-domain with finite range of data samples.
However, some disadvantages limit its applicability in
practice; in fact, the DFT is only efficient for stationary
harmonics (i.e. for signals under steady-state conditions). On
the other hand, the DFT requires a long data sequence to get a
high frequency resolution. However, storing a big number of
data samples is not always possible due to the system memory
limitation. In addition, the broken rotor bar sideband
frequencies are time-varying, and the steady-state conditions
can be lost for a long time acquisition. Since the frequency
resolution is mandatory and it depends on the inverse of the
time acquisition, reduction of this later decreases considerably
the fault detection efficiency. In order to overcome the
limitations of DFT for signals having non stationary
harmonics, the Short Time Fourier Transform (STFT) has
been also widely used. The STFT is based on applying the
DFT algorithm on a sliding window. This technique allows a
linear time-frequency representation; however, the time and
frequency resolutions depend strongly on the type and the
length of the window. In fact, a very short window gives a
good time-resolution with a poor frequency resolution,
whereas a long window provides high frequency resolution
with reduced time resolution. Thus, a tradeoff among these
two mandatory requirements is difficult to fulfill.
Due to these limitations of DFT and STFT, other methods
for spectral analysis have been proposed in the literature. As
far as the fault detection in induction motors is concerned, it is
known that the spectral fault signatures are usually localized in
some frequency ranges, consequently not all the Nyquist
spectrum requires high resolution. Based on this idea, the
Zoom-FFT (ZFFT) method was proposed in [4] to improve the
frequency resolution and reduce the computational time.
However, the frequency resolution obtained by ZFFT is still
dependent on the acquisition time. In [5], the Maximum
Covariance method for Frequency Tracking (MCFT) was used
successfully to estimate and track the fundamental and the
rotor-slotting frequencies even under time-varying conditions.
This method provides a high frequency resolution independent
of the sampling frequency and the time acquisition. However,
the MCFT requires a long computation time when a large
frequency bandwidth and very high frequency resolution are
required. In addition, the MCFT cannot estimate the
amplitudes of the target harmonics which is extremely
necessary for the diagnostic procedures. In [6], a combined
use of MCFT and ZFFT techniques for the processing of
induction motor stator currents has been proposed to
overcome the constraint of limited time or frequency
resolutions of classical DFT-based method.
Among various time-frequency methods, the Wavelet
Transform (WT) and its variants have been extensively used
for many fault diagnostic domains[7]. The WT methods can
be considered as a band-pass filter with a varying window
size, being wide for slow frequencies and narrow for the fast
ones, which represents the main advantage. Thus, the WT
methods have multi-resolution capability and they also retain
time information of the signal. The WT methods are suitable
for signals with gradual frequency changes or transient
conditions, however, their high computational burden and
interpretation complexities limit their stand-alone application
for harmonics estimation.
The classical Multiple Signal Classification (MUSIC)
method is a noise subspace based parametric method that uses
sinusoidal or exponential model to estimate harmonic
frequencies present in the signal. It has been largely used in
many fault detection applications [8]. Although the MUSIC
method is a powerful tool for detecting frequencies, with very
high frequency resolution, from a short data record signal
buried in a noise, it has the drawback of long computation
time when the dimension of the autocorrelation matrix
increases. To tackle this problem, a combined use of the ZFFT
technique with the MUSIC method was proposed to improve
the accuracy of broken rotor bars detection. This method is
designated by ZMUSIC [9]. However, the amplitude
estimation is still a problem for the MUSIC method and its
211
variants. To overcome this major drawback, a new approach
has been proposed in [10].This approach uses a subspace
method known as estimation of signal parameters via rotation
invariance technique (ESPRIT). The ESPRIT has advantages
in terms of estimation accuracy and computational efficiency
compared to MUSIC method. The approach proposed in [10]
uses the zooming technique to reduce the complexity of the
ESPRIT leading to more accurate frequency estimation then
ZMUSIC. Once the harmonic frequencies are known, their
corresponding amplitudes are obtained using the least squares
(LS) algorithm. Despite the good results obtained by this new
approach, the amplitude/frequency tracking is still a problem
for this approach.
An interesting approach to estimate harmonic frequencies
of a signal is the Prony analysis (PA) [3], [11]. The PA is a
high-resolution spectral analysis method developed on the
basis of the original work of the French mathematician,
Gaspard de Prony. This method approximates a sampled
waveform as a linear combination of complex conjugate
exponentials [12]. The PA has the ability to estimate
accurately all attributes of harmonics: frequency, amplitude,
phase and damping factor, from a short data record signal. The
performances provided by PA overcome the drawback of the
DFT and many other methods. However, the original Prony’s
method is sensitive to noise and its direct application requires
a complex and long computational time especially for high
model order. To tackle these problems, many modified
versions of PA have been proposed in the literature. For
instance, in [13] a remedial technique for the root-finding
process was proposed to overcome the computational burden
of the classical PA. This remedial technique uses a filter bank
with a set of band-pass filters to eliminate the undesired
harmonics and separate the signal into several frequency
canals. Consequently, a few sampled points are needed for the
calculation, and the time-varying harmonic estimation can be
performed in a short time duration. However, the efficiency of
this technique was tested only for simple generated signals
(not real signals) and it was found that the obtained phase
angles are deteriorated due to the non-linear response of the
used band-pass filters. In [14] an adaptive Prony method is
proposed for the evaluation of spectral components of power
system waveforms. This method is based on the application of
the PA to some contiguous variable windows leading to a
reduction of the computational complexity. However, the
noise effect is still a problem for this method and its efficiency
cannot be confirmed since it was only tested by numerical
generated signals. In [15] an iterative reweighted least square
Prony’s method is used to estimate the amplitudes and
frequencies of the broken rotor bar sidebands. This method
has shown a great ability of dealing with noisy signal. A
comparison between the performances of the PA and the DFT
was also performed in [15]; it was found that the minimum
window required by DFT can be 6-20 times longer than PA in
light load conditions. However, the frequency/ amplitude
tracking and the time-varying conditions were not studied. A
combination of digital filtering and an algorithm using Prony's
method was presented in [16] for frequency estimation of
basic components of real measured signals from industrial ⎡ x[ P ] " x[1] ⎤ ⎡ a1 ⎤ ⎡ x[P + 1]⎤
circuits containing PWM converters. Another solution based ⎢ ⎥
# ⎥ , A = ⎢ # ⎥ , Y = ⎢⎢ # ⎥⎥
⎢ ⎥
where: X = ⎢ # %
on a combined use of wavelet and Prony methods has been
applied successfully for determining the beginning and the end ⎢⎣ x[2 P − 1] " x[ P ]⎥⎦ ⎢⎣a P ⎥⎦ ⎢⎣ x[2 P ] ⎥⎦
of transient phenomena and also for voltage dip detection [17]. The linear prediction parameters ak that fit the observed
The Kalman filter has been also used to improve the accuracy data are determined by solving (3), then, a characteristic
of the Prony’s method for amplitude estimation of electrical
polynomial with roots zk can be formed using the linear
signals of power systems [18]. The results showed that this
technique is an efficient tool to estimate time-varying prediction parameters as follows:
harmonics. P
In the present paper, a useful and efficient technique, based F ( z) = ∑ ak z P − k (4)
on a modified version of the Prony's method, is proposed to k =0
estimate and track the frequencies and corresponding
As a result, the damping factor and the frequency can be
amplitudes characteristic of the broken rotor bars occurrence
from a short data record current signal buried in a noise. Using deduced directly from the roots zk of (4):
this technique, the line stator current is divided into short ln z k 1 ⎡ Im( zk ) ⎤
overlapped time windows, and each one is analyzed by the αk = tan −1 ⎢
and f k = ⎥
Ts 2πTs ⎣ Re( zk ) ⎦
Least Squares Prony's method, which allows considering the
non-stationary aspect of the problem. The proposed technique Finally, the roots zk are used to write the P equations of (1)
provides a linear-time frequency/amplitude representation with in a matrix form as:
high frequency resolution and adjustable time resolution. This
⎡ 1 1 " 1 ⎤
technique shows a great ability of tracking frequencies and ⎢ z ⎥ ⎡ h1 ⎤ ⎡ x (1) ⎤
z " z P ⎥⎢ ⎥
# = ⎢ # ⎥⎥
amplitudes of the sidebands around the fundamental with very ⎢ 1 2 (5)
high. ⎢ # # # # ⎥⎢ ⎥ ⎢
⎢ P −1 ⎢
⎥ hP ⎥ ⎢ ⎥
x( P)⎦
II. THE PRONY'S METHOD ⎣ z1 z 2P −1 " z PP −1 ⎦ ⎣ ⎦ ⎣
The original Prony's method is a signal processing The complex parameters hk can be determined by solving
technique for extraction the sinusoid or exponential signals by (5), and consequently, the exponential amplitudes Ak and
solving a set of linear equations. Assuming the signal x(t ) and phases angle ϕ k can be obtained using the following
its N complex samples , the Prony's method approximates the
relationships:
sampling data with linear combination of P complex
exponential functions: ⎡ Im(hk ) ⎤
Ak = hk and ϕ k = tan −1 ⎢ ⎥
P ⎣ Re(hk ) ⎦
xˆ ( n ) = ∑ hk z kn −1 (1) It should be noticed that the performance of the classical
Prony’s method becomes unstable if there is noise in the
k =1
signal data. This is due to the fact that there is no error
with hk = and z k = e (α k + j 2πf k )Ts
Ak e jϕ k considered in the model. However, the real acquired signals
where Ts is the sampling time. The model parameters Ak , f k , are always embedded in noise. To deal with such situation, the
ϕ k and α k represent, respectively, the unknown amplitude, equation (1) should be modified to the following form:
P
frequency, phase angle and damping factor of the kth
component. The above equation is a difficult non linear
x[ n] = xˆ[ n] + ε [ n] = ∑ hk zkn −1 + ε [n] (6)
k =1
problem which can be solved using the Prony’s Method. In
fact, Prony's method turns the parameters estimation non where ε represents the approximation error between the
linear problem into the solution of a linear system and roots original data samples x[n] and the linear approximation xˆ[ n] .
calculation of the polynomial. On this direction, the PM This error is assumed to be white and has Gaussian
constructs an homogenous linear difference equation with distribution. The parameter estimation problem is based on the
constant coefficients (with a0 = 1 ): minimization of the squared error over the N samples:
P 2
N N P
∑ ak x[n − k ] = 0 (2) E= ∑ ε [ n] 2
= ∑ x[n] − ∑ hk z kn −1 (7)
k =0 n =1 n =1 k =1
In the classical Prony’s Method, the number of the In practice, the number of available data samples exceeds
available data samples is assumed to be equal to the unknown the number of unknown parameters ( N > 2P ). In the over-
model parameters, thus, the linear difference equation (2) can determined data case, the linear difference equation (2),
be expressed in matrix form as follows: should be modified to:
X . A = −Y (3)

212
 P III. SIGNAL PREPROCESSING
∑ ak x[n − k ] = ε [ n] (8) The success of amplitude and frequency estimation by the
k =0 Prony's method can be affected by several factors. Indeed, the
The available N data samples are used to rewrite (8) in a noise level, the number of the harmonics to be estimated, the
matrix form: sampling frequency, the model order, the number of samples
⎡ x[ P ] " x[1] ⎤ ⎡ a1 ⎤ ⎡ x ( P + 1) ⎤ considered in the estimation process and the signal nature
⎢ ⎥⎢ # ⎥ = −⎢ ⎥ (stationary or not) all affect the quality and the accuracy of the
# % # # (9)
⎢ ⎥⎢ ⎥ ⎢ ⎥ results. To reduce the impact of these influenced factors, a
⎢⎣ x[ N − 1] " x[ N − P ]⎥⎦ ⎢⎣ a P ⎥⎦ ⎢⎣ x ( N ) ⎥⎦ preprocessing of the acquired signal is extremely necessary.
The vector of the unknown parameters ak is selected to This represents a crucial step prior to Digital Signal
Processing procedures in order to obtain improved results.
minimize the linear prediction total squared error. The Data acquisition, filtering, DC components removal and dawn-
minimization can be solved by using the least square method. sampling are the main involved tasks.
In addition, the estimation of the complex parameters hk is
A. Data acquisition
switched also to a linear least square procedure. In this case,
the set of linear equations (5) should be modified to the During acquisition, the stator current which is an analog
following compact form: signal is transformed into a discrete signal characterized by a
Z .H = C (10) number of data points and a determined sampling frequency.
⎡ 1 1 " 1 ⎤ B. Filtering
⎢ z ⎡ h1 ⎤ ⎡ x (1) ⎤
z2 " z P ⎥⎥ It is an important task having a direct effect on the quality
With Z = ⎢ 1
, H = ⎢ # ⎥ , C = ⎢⎢ # ⎥⎥
⎢ ⎥
of the results. In the present case, filtering the stator current
⎢ # # # # ⎥
⎢ N −1 N −1 N −1 ⎥
⎢⎣hP ⎥⎦ ⎢⎣ x ( N ) ⎥⎦ has two main objectives: attenuation of noise and separation of
z
⎣ 1 z 2 " z P ⎦ the broken rotor bar sidebands from undesired spectral
In this paper, the treated signals (stator currents) are time- components. Using the “fdesign.bandpass” function from the
varying and they undergo sudden variations due to the Filter Design Toolbox of Matlab, a band-pass filter with a
occurrence of broken rotor bars. The Prony’s Method narrow pass band frequencies is designed and employed to
described above cannot deal with such situation, and it is process the current signal after acquisition (Fig.2). The
unable to track the harmonic properties. To overcome these parameters of this filter are specified to allow passing the
drawbacks, a Short Time Least Square Prony’s method fundamental and the two sidebands frequencies only. The
(STLSP) is proposed. filter specifications are presented in Table I.

TABLE I. THE BANDPASS FILTER SPECIFICATIONS

Band-pass Filter specifications Values

frequency at the edge of the start of the first
Fstop1 45Hz
stop band
frequency at the edge of the start of the pass
Fpass1 46Hz
band
frequency at the edge of the end of the pass
Fpass2 54Hz
band
frequency at the edge of the start of the
Fstop2 55Hz
second stop band
Astop1 attenuation in the first stop band in dB 40dB
Fig. 1. Description of the proposed method Astop2 attenuation in the second stop band in dB 40dB
Apass amount of ripple allowed in the pass band 0.5dB
Using the STLSP, the stator current is divided into short
overlapped time windows, and each one is analyzed by the
Least Squares Prony’s method (Fig.1). The Prony’s method is
well suitable for the proposed technique since it was originally
developed to work with small number of data samples.
Compared with the STFT, where there is a design trade-off
that must be made between the time and frequency resolution,
the STLSP provides very high frequency resolution even for
very short time windows. This can reduce considerably the
computational cost together with time acquisition. Moreover,
the time resolution can be ameliorated by increasing the
overlapping degree without affecting the frequency resolution. Fig. 2. Band pass filter design
Hence, tracking harmonic attributes of distorted signals can be
achieved with high accuracy.

213
C. The model order
h
The Prony's method is unfortunately a high computational
cost algorithm, because it requires the inverrsion of large size
matrices and deals with high order poolynomials. These
complexities depend strongly on the model order P and the
number of treated sampled data N . The propper selection of P
and N can be considered as a critical taskk to obtain correct
estimations. In fact, a model order smaller thhan the number of
the searched harmonics leads to great errorss on the harmonic
estimation. However, increasing the model order
o can improve
the estimation precision but it causes long computational time Fig. 3. Frequency estimation for the fundamental
f and the two sidebands
and produces many fake signal componentts. Some selecting
approaches have been proposed in [133] but they are
complicated and my not work in all situationns.
The efforts done for proper selection off P and N can be
considerably reduced if there is prior knowledge
k of the
number of searched harmonics. Fortunatelly, in the broken
rotor bar diagnosis applications, the numbeer of the searched
harmonics is known as there are onlly three spectral
components in the band pass filtered current signal. For our
application, it is found that P = 7 and N = 15 are largely
sufficient to obtain very good results.
IV. SIMULATION RESULTTS
Fig. 4. Frequency estimation error
The proposed method STLSP was impleemented in Matlab
and tested using a simulated stator current signal of a three- In order to demonstrate thhe tracking capabilities of the
phase induction motor with broken rotor r bars. The STLSP in the case of a tiime-varying signal, the same
mathematical model used to generate the stator currents is mathematical model was usedd to simulate the occurrence of
based on the winding function approacch which allows broken rotor bars. This fault inntroduces high distortions in the
considering the rotor slots harmonics. Thhis model is well stator current and the estimatioon frequencies can be regarded
described in [19]. The motor is 3 kW with four poles and 28 as a challenge.The results deppicted in Fig. 5 prove the high
rotor bars. The current signal is sampled at thhe frequency of 10 accuracy of the proposed methhod for estimating and tracking
kHz for 10 s. In order to track the frequenciies of the searched the amplitudes and the frequenncies of the fundamental and the
components, the acquired signal is divided into a lot of short two sidebands even for a high distorted
d signal.
overlapped time windows with small size (15 ( samples). The
overlapping degree is fixed as 14 sampless which represent
93.3% of the sliding window. Each window is analyzed by the
Least Squares Prony’s method. Fig. 3 show ws the frequencies
estimation using the STLSP. All figuress have the same
frequency axis range for better observations.
fr
It is important to note that the sideband frequencies, during
the simulation record, are not constant; thhey present small
fluctuations due to the presence of rotor sloots harmonics. The
estimation accuracy is evaluated usingg the frequency
estimation error defined as follows:
f true − f estim
E freq (%) = 100 (11) Fig. 5. Simulation test: Frequency annd amplitude tracking for a motor with
f true rotor bar fault occurred suddenly at 2s
where f true is the true frequency calculated frrom the motor slip
V. EXPERIM
MENTAL RESULTS
and f estim is the estimated frequency valuee obtained by the
In order to test the STLSP P for practical cases, measured
proposed method. Fig.4 shows the time evolution of the
signals from laboratory experim ments are used. A three-phase 3
frequency estimation error for the threee harmonics (the kW squirrel cage induction mootor, with four poles and 28 bars
fundamental and the two sidebands). Obvviously, E freq has is used in the experiments (Figg. 6). The broken rotor bars fault
very small values over the signal length. Thiss confirms that the is introduced by drilling holes in
i the rotor bars close to the end
STLSP can give high frequency resolution using only small ring.
number of data samples.

214

Fig. 6. Experimental test bench.
Since to rotor bar fault cannot be introduced suddenly, the
motor was tested first at healthy state and then with two broken
bars. In both cases, 10 s of the three-phase currents are sampled
at 10 kHz using a dSpace 1104 card.
Fig. 7. Experimental test: Frequency and amplitude tracking for ahealthy
then with broken rotor bar.
The acquired signal was preprocessed before being
analyzed by the proposed STLSP. For this test, a short sliding
time-window of only 30 samples is used which represents 30
ms. The order of the algorithm is chosen to P = 7 . The
obtained results are displayed in Fig. 7. As can be clearly seen,
these results demonstrate the capability of the STLSP to deal
with practical noisy signals. Besides, since the STLSP track
continuously the sideband amplitudes, the broken rotor bars
can be detected easily.
VI. CONCLUSION
This paper introduces the Short Time Least Square Prony’s
(STLSP) method which is an improvement of the classical
Prony's Analysis. The STLSP method is not only able to
estimate amplitudes and frequencies of the searched
harmonics, but also track the amplitudes and frequencies even
for time-varying signals with high distortion due to the
occurrence of broken rotor bars, for example. Improving the
accuracy of this method for a variety of types of analyzed
signals will be the subject of other works, but these very
preliminary investigations show the opportunity for use of the
proposed method especially in those systems which have a
low stability of harmonics.
215
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