Journal of Control, Automation and Electrical Systems (2019) 30:242–252

https://doi.org/10.1007/s40313-019-00442-5

Reference Signal Injection in Induction Motors Drives to Electrical

Failures Detection
Wylliam Salviano Gongora1 · Ivan Nunes da Silva2 · Alessandro Goedtel3 · Marcelo Favoretto Castoldi3 ·
Tiago Henrique dos Santos1

Received: 28 May 2018 / Revised: 21 December 2018 / Accepted: 4 January 2019 / Published online: 23 January 2019
© Brazilian Society for Automatics–SBA 2019

Abstract
This paper shows an alternative method to electrical fault diagnosis in three-phase induction motors using reference signal
injection. The proposal is based on the insertion of search reference harmonic signals in the supply voltage by the frequency
inverter module of the induction machine and the observation of the signals of the electric current of the motor, preprocessed
through the FFT and machine signature component analysis. In order to obtain a greater precision of fault classification and
state of degradation through intelligent systems, results are validated by different algorithms whose performance are compared
in the following methods: k nearest neighbors, naive Bayes, support vector machine, multilayer perceptron and decision tree.
The practical results for the tests with controlled simulation of the electrical faults of broken rotor bars and short circuit in
stator windings show the capacity that this insertion technique has when it is used as a tool to diagnose three-phase induction
motors. The five proposals of intelligent systems result in a classification with success rates of 93% to 100% in different
classes, separated into types of faults and according to the degradation intensity.

Keywords Fault diagnosis · Three-phase induction motors · Intelligent pattern classifications · Signal injection

1 Introduction ever, as any machinery, this motor is subject to several

types of electrical and mechanical faults. A comprehensive
Three-phase induction motors (IM) have been consolidated approach to the identification and classification of operation
in the industry as the main source of transformation of elec- faults in rotating machines has resulted in several researches
trical energy into driving mechanics with robustness and low and techniques applied for this purpose, as observed in Liu
acquisition cost (de Jesus Romero-Troncoso 2017). How- et al. (2018) where the following methods are mentioned: k
nearest neighbor, naive Bayes, support vector machine, arti-
B Alessandro Goedtel ficial neural network and deep learning as tools in failure
agoedtel@utfpr.edu.br
diagnosis of failures. That reference also shows a literature
Wylliam Salviano Gongora review of the AI algorithms with industrial applications and
wylliam.gongora@ifpr.edu.br
reports its advantages, limitations and practical implications
Ivan Nunes da Silva of its implementations.
insilva@sc.usp.br
Short-circuit faults in the stator winding and broken rotor
Marcelo Favoretto Castoldi bars can correspond to the diagnosis of the problems of IMs
marcastoldi@utfpr.edu.br
with a precision of up to 47% (Irfan et al. 2017). Therefore,
Tiago Henrique dos Santos a predictive monitoring associated with the fault diagnosis
tiago.santos@ifpr.edu.br
becomes part of the maintenance process (Lakehal and Ram-
1 Federal Institute of Paraná, Assis Chateaubriand, 475 Av. dane 2017). When choosing the technique to be employed,
Cívica, Assis Chateaubriand, Paraná, Brazil methods must be considered the dynamics of the process, the
2 Department of Electrical Engineering, São Carlos School of operation of the equipment, the type of drive or control and
Engineering, University of São Paulo, 400 Av. Trabalhador the additional criteria directly related to the answers of the
São Carlense, São Carlos, São Paulo, Brazil methods (Mabrouk and Zouzou 2015).
3 Federal Technological University of Paraná, Cornélio Considering that the operation of the motors supplied by
Procópio, 1640 Av., Alberto Carazzai, Cornélio Procópio, the frequency inverters is increasingly more significant in the
Paraná, Brazil

123
Journal of Control, Automation and Electrical Systems (2019) 30:242–252
industrial applications, the modulation of the supply signals
intensifies the complexity of this analysis (Rajeswaran et al.
2018). Difficulties regarding different levels of load applied
to the machine axis are found (Mabrouk and Zouzou 2015),
as well as the variation of the operation speed (Martin-Diaz
et al. 2017), the signal-to-noise ratio (SNR) (Singh et al.
2015) and the production of frequency components close
to the fundamental component that overlaps some peculiar
signals (Naha et al. 2016).
Among the traditional fault diagnosis, there are two groups
established: the invasive and noninvasive techniques. Anal-
ysis methods vary according to the processes in which they
are inserted, to the availability of tools or to the reliability of
the responses. It is worth mentioning the vibration analysis,
the acoustic emission, the temperature, the spectral analysis
and the magnetic field, among others (Thomson and Culbert
2017).
One of the traditional techniques for fault diagnosis con-
sists of analyzing and observing the signals of the motor stator
currents (motor current signature analysis—MCSA) (de
Jesus Romero-Troncoso 2017), which are classified in the lit-
erature as noninvasive (Attoui et al. 2017). In addition, signal
processing tools are applied, such as the fast Fourier trans-
form (FFT), which allows for the visualization of the spectral
components of the time signal in the frequency domain
(Mata-Castrejón et al. 2015). To observe the changes and
patterns in different frequencies, the FFT makes it possible
to identify and even follow the fault evolution (Li et al. 2016).
Furthermore, regarding the traditional methodology of
MCSA, according to the literature, for a more accurate fault
diagnosis in rotating electrical machines, a high-resolution
processing, as shown in Martin-Diaz et al. (2017), and sen-
sor speed monitoring are needed to determine the specific
frequency of analysis (Saddam et al. 2017). The authors in
Gritli et al. (2017) also point out that the current signal anal-
ysis used to detect faults works properly when the IM is
extremely damaged.
In order to work out the unfavorable points of the tra-
ditional methods, this work present an alternative strategy
of data processing with spectral analysis of the signals sup-
plying the three-phase induction motors with a squirrel-cage
rotor where search reference harmonic signals (SRHS) are
applied.
This proposal uses the responses in the frequency domain
to interpret the series of multiplexed SRHS to supply the
machine. In addition, the frequency inverter that modulates
the drive system and motor control is used. More specifi-
cally, this technique inserts a signal with known frequency
and amplitude and observes the machine response by inter-
acting with it. Feature extraction of the signal through the
FFT is aimed at an application in a single intelligent system
capable of pointing out and classifying faults and the state of
degradation in the IM.
243
Related works such as Cusido et al. (2006a) and Cusido
et al. (2006b) inject additional voltage to the motor in a single
frequency that is different from the fundamental one. How-
ever, the injection of the search reference harmonic signal
occurs through a parallel connection to the machine supply
applied by another modulator with a different signal. In addi-
tion, the references mentioned use the frequency response
analysis and compare the signal amplitudes through direct
observation.
Therefore, the methodology used in this work consists
of using vectors of the data collected from the FFTs of the
electrical signals added from various SRHS multiplexed to
the supply signal by means of the frequency inverter mod-
ule, regardless of the operation speed of the motor and the
mechanical load applied to the machine.
Practical results of the signals obtained in laboratory are
presented to five intelligent pattern classifiers as follows: k
nearest neighbors (k-NN), naive Bayes (NB), support vector
machine (SVM), multilayer perceptron (MLP) and decision
tree (C4.5).
2 Aspects Related to the Spectral Analysis
and Pattern Classification
The electric faults in the rotor and in the stator are related to
the open windings or short-circuited windings, broken bars or
damaged short-circuit rings (Yahia et al. 2012). The mechan-
ical faults are related to the eccentricity of the rotor that is
displaced from its magnetic center, a damaged bearing, bend-
ing axis or the misalignment of the mechanical couplings
(Attoui et al. 2017).
The presence of some types of fault in the induction
machines produces changes of flux interaction between the
stator and the rotor, which result in changes in the stator cur-
rents, voltages, magnetic field, machine vibration, operation
temperature, audible noises, among other disturbances (de
Jesus Romero-Troncoso 2017).
The systems of fault diagnosis usually choose noninvasive
methods, and different techniques are shown and developed
for both data acquisition and preprocessing. However, these
tools increase the amount of information necessary to analyze
and use the signals measured as attributes, which is ineffec-
tive due to its great dimensionality. In this context, the most
recent diagnosis techniques usually have two steps: calcula-
tion and selection of resources or reduction of dimensionality
and the classification stage by intelligent systems (IS) (Attoui
et al. 2017).
2.1 Fault Identification Through Spectral Analysis
The spectral analysis method, which searches for the motor
electrical current signature analysis, can be related to sev-
123
244
eral techniques and procedures. Such procedures are aimed
at identifying the pattern present in the electrical sig-
nals that characterize the specificity of a certain failure.
The approaches such as the CSA (current signature anal-
ysis), VSA (voltage signature analysis), EPVA (extended
parks vector approach), IPSA (instantaneous power signa-
ture analysis) and motor circuit analysis (MCA) observe
the frequency response of the power signals or use a low-
voltage AC signals in order to measure their response. The
use of these techniques or their combinations can guaran-
tee the reliability of this response in the identification of
both mechanical and electrical failures (de Jesus Romero-
Troncoso 2017).
The faults change the flux in the air gap of the motor and
induce the voltages with typical harmonic frequencies. The
oscillating magnetic flux, which is reflected in the induced
voltage and consequently in the current that circulates around
the winding, interacts with the supply frequency (Mustafa
et al. 2016). These changes of harmonics result in side bands
of the fundamental supply frequency. Even if this signal is a
consequence of a mechanical fault, this can be perceived in
the electrical characteristics because of the dynamic behavior
of the IM (Gritli et al. 2017).
According to Thomson and Culbert (2017), it is possible to
determine the series of fault frequencies due to broken rotor
bars in Eq. (1), where the result determines the proportional
value of (k) order of the harmonic frequency of the broken
bar ( f brb ) based on the frequency of the machine operation
( f fun ) with split (s) and the number of poles of the stator
( p).
   
1−s
f brb = f fun k ±s (1)
p is aimed at classifying these data based on preliminary and
Regarding the typical frequency of the short circuit of
the stator windings (Liu et al. 2018), Eq. (2) shows the
results with the short-circuit harmonic frequency in the sta-
tor ( f st ), which is also based on the operation of the machine
( f fun ) with the split (s) and the number of the stator poles
( p).
 
n data according to the categories that already exist (Haykin
f st = f fun (1 − s) ± k (2)
p 2009).
If k is of integral order, in both cases the side band frequen-
cies are equally established and they propagate and attenuate
the fundamental frequency.
In addition, regarding the traditional MCSA, according to
the literature, one can observe that the accuracy of Eqs. (1)
and (2) depends on a series of dynamic information of the
IM, such as supply frequency, operation speed, split, num-
ber of poles, size and specific characteristics of the bearings,
among others.
123
Journal of Control, Automation and Electrical Systems (2019) 30:242–252
In order to reduce these limitations, (de Jesus Romero-
Troncoso 2017) works with regular monitoring to diagnose
operational conditions using the vibration and current anal-
ysis of the stator, where the acquired signal is processed to
extract the parameters typical of the fault with multirate sig-
nal processing techniques that improve FFT-based methods,
even though they are extremely dependent on some dynamic
conditional information of the IM.
Further difficulties with traditional methodologies are
seen in the work of Martin-Diaz et al. (2017), where the chal-
lenges of detecting incipient rotor failures using the stator
current signal under different inverter sources are reported.
This study detects incipient ruptures of the rotor bar in a
three-phase induction motor fed by the inverter under dif-
ferent load conditions using the high-resolution technique
known as multi-signal classification (MUSIC).
On the other hand, in this generalist and conventional
view, the approaches to classification methods with intel-
ligent systems for the observation of the answers provided
by the MCSA have proved effective in assisting operators in
decision making, as observed in Liu et al. (2018), where
the bibliographical review of the recent works promotes
its industrial application and the great acceptance of the
intelligent tools as a diagnostic method. In addition, the
development trends of the techniques that can be used as
generators of the signals to be analyzed by the intelligent
systems are demonstrated.
2.2 Pattern Classification
Pattern recognition consists of an automatic discovery of reg-
ularity in data by means of computational algorithms and
deductive knowledge or on statistical information extracted
from patterns (Lawrynowicz 2014).
There are two types of pattern recognition: the super-
vised and non-supervised patterns. The supervised pattern
uses the training set to classify the data obtained accord-
ing the existing categories and organizes them. On the other
hand, the non-supervised recognition uses the training set
to create new strategies instead of simply separating the
Therefore, in this work, five different methods of pat-
tern classification with supervised learning will be used: k
nearest neighbors (k-NN), naive Bayes (NB), support vector
machine (SVM), multilayer perceptron (MLP) and decision
tree (C4.5).
2.2.1 k-NN
The classification rule of the k nearest neighbor is a method
based on the analogy learning or on the similarities between
Journal of Control, Automation and Electrical Systems (2019) 30:242–252
the test samples and the pre-labeled training samples (Han
et al. 2011). The k-NN algorithm tries to establish a pat-
tern between the k samples and the training ones near the
unknown sample. These k training elements are the k-NN.
Considering a training set X , with m attributes or charac-
teristic, each sample P of this universe is placed at a spot in the
dimensional space m. The classifier calculates the proximity
between the elements according to the Euclidean distance
given by Eq. (3), where P = ( p1 , . . . , pm ) is compared to
the pattern Q = (q1 , ..., qm ); both elements belong to the X
training set.
 D consisting of xi , yi , where xi ∈  is a vectorial represen-
 m

D(P, Q) =  ( pi − qi ) (3)
i=1
Therefore, the algorithm is capable of verifying and asso-
ciating the X class to which the P sample belongs by the
predominance of the nearest k patterns.
One of the advantages of this method is to create a decision
surface that is adapted to the way the training data are thor-
oughly distributed. Considering k = 1, an accurate classifier
is obtained and with good success rates, but subject to inter-
ferences because of small variations in the samples. However,
k neighbors can be widened creating greater regions of hyper-
planes with data generalization, once accuracy reduction is
accepted.
2.2.2 Naive Bayes
The Bayesian methods use problem resolutions through the
probability of success in decision making. The algorithm
establishes the probabilities of an unknown sample to belong
to each one of the possible classes, predicting the most prob-
able class (George and John 1995).
The greatest probability P of an instance Y belonging to a
Z class is determined by Eq. (4), where the result will show
the most probable class with which this instance is associated.
Let P(Z |Y ) be the probability a posteriori of Z conditional
to Y :
P(Z |Y )P(Z )
245
that implements a limit derived from a statistical learning
theory (Steinwart and Christmann 2008).
This learning strategy developed by Vapnik (1995) can
be formulated as an optimizer of a quadratic programming
to the determine the optimal value. As shown in the litera-
ture, this methodology has high performance in the practical
applications in fault classification in electrical machines
(Martínez-Morales et al. 2018).
In the applications that require the learning of two differ-
ent classes, SVM is aimed at finding the best function that
enables the distinction between the members of a training set
tation of a sample i and yi ∈ [−1, 1] is its correspondent
class that is linearly separable.
A linear classification function, which separates the two
classes, can be determined by Eq. (5), corresponding to a
hyperplane that separates two classes and that has margins
called supporting vectors represented by Eq. (6).
xi · w + b = 0, i = 1, 2, ..., D (5)
yi (xi · w + b) − 1 ≥ 1)
(6)
yi (xi · w + b) − 1 < −1)
In this equation, xi represents a vector with patterns of
input training, w is the normal vector regarding the hyper-
plane or the adjustable weight vector, and b is the threshold
that corresponds to the distance of the hyperplane in relation
to its origin.
2.2.4 Multilayer Percecptron
The artificial neural networks are methodologies of parallel
and distributed processing based on human brain (Haykin
2009). The topology of the MLP network is known for its
organization into input and output layers and with one or
more hidden layers. This structure shows good results in the
pattern classification and guarantees the extraction and stor-
age of knowledge associated with some specific application
(Haykin 2009).
According to Haykin (2009), these structures can be
represented mathematically by Eq. (7), which allows for
computational implementation.
P(Z |Y ) =
P(Y )
This type of prediction is statistical, as it is completely
based on probabilities. Therefore, this method associates
a probability with every new prediction, which represents
the level of confidence of the classifier in the final answer
(George and John 1995).
2.2.3 Support Vector Machines
The support vector machine (SVM) technique is a method of
supervised learning adapted to a mathematical optimization
(4)  n 
Ym = f ωmi · xi − ωm0 (7)
i=1
The parameters of Eq. (7) of the network can be identified
as the xn elements that represent a set of nth inputs in a sum
of its weighting through synaptic weights of n neurons of
m layers of the network ωmn , minus an activation threshold
ωm0 considered as a polarization weight.
The Ym term represents the network output or the input
vector in the intermediate layers up to the mth layers of ANN.
The result of the equation of the output layer is weighed by
123
246
the function of the saturation effect f (.) The signals from this
output can be directly used or treated according to application
needs.
2.2.5 Decision Tree
The C4.5 decision tree system was proposed by Quinlan
(1993), in which the algorithm selects the most significant
characteristics to classify the data set. Each node in the tree
specifies a certain attribute, while each descendent branch
corresponds to a possible value for the attribute, dividing the
problem recursively, as shown in Aydin et al. (2014) or in
Karabadji et al. (2014), in the application of fault classifica-
tion in IMs.
By calculating the information gain compared to entropy,
the instances of a spot known as root are ordered up to a
determined leaf node. For example, in a X training set with
m classes (C1 , C2 , . . . , Cm ), where the entropy of the infor-
mation of the E(x) node is established by Eq. (8), there are
|X | cases in X and f (Ci , X ) cases Ci belonging to X .
m   applied by the three-phase frequency inverter, model PS-3
f (Ci , X ) f (Ci , X )
E(X ) = − log2 (8)
|X | |X |
i=1
To select the Z features, the training set is classified in
n subsets (S1 , S2 , . . . , Sn ), and the expected information
Fig. 1 Experimental workbench
123
Journal of Control, Automation and Electrical Systems (2019) 30:242–252
entropy Ie (X , Z ) is calculated by Eq. (9), where S j is the
number of cases.
n
Sj
Ie (X , Z ) = − I (S j ) (9)
|X |
j=1
This data classification structure is capable of avoiding
data overfitting and determines how much a tree decision
must grow.
3 Proposed Methodology
The methodological procedures of fault insertion in labo-
ratory are shown and validated in the work of Bazan et al.
(2017). In this work, a dedicated hardware with an embedded
software, based on a DSP kit (digital signal processing) of
Texas Instruments® model TMS320 C2000TM and proces-
sor F28335 DelfinoTM , was used . This equipment performs
the modulation and the sequencing of the switches that are
Semikron SKS 80F, with nominal power of 22kW . The exper-
imental workbench mentioned is shown in Fig. 1.
The methodology of the signal processing mentioned in
this study consists of a system of three different sequential
steps, as described in Fig. 2. The first step is related to the
Journal of Control, Automation and Electrical Systems (2019) 30:242–252
Fig. 2 Flowchart of data processing
preparation and monitoring of the signals. In the second step,
the attributes are preprocessed and the database is structured.
The third step is characterized by the fault classification and
the state of degradation of the machine.
In the first step, the frequency inverter module of speed
and torque control of the induction motor is used to emulate
a multiplexed sinusoidal supply voltage signal with a SRHS.
Figure 3 describes the system in which SRHS is set at an odd
multiple frequency of integral order of the fundamental sign
with an amplitude of 10% of the nominal supply voltage.
This amplitude percentage value was established for a plau-
sible oscillation without damaging the IM or other equipment
connected to the grid.
The essence of scalar control is to establish the constant
voltage/frequency (V/f) ratio, so as to keep the maximum
magnetic flux in the air gap also constant. The modulation
Fig. 3 Modulation of the search
reference harmonic signal
247
technique used in this work operates in this way and con-
trols the inverter, in an open loop mode, through pulse width
modulation (PWM) signals. More specifically, the modula-
tion algorithm used in this work is based on the one proposed
by van der Broeck et al. (1988), where the space vector pulse
width modulation (SVPWM) occurs.
Modulation occurs in the axis of the α β coordinates and
is equally applied to the three phases of supply. The har-
monics of integral order are applied one at a time so that
sub-harmonics are not generated or treated in the grid, as it
is more complex to understand and manipulate them through
digital processing.
Once the fundamental frequency of operation and the spe-
cific search reference harmonic frequency to be injected are
entered into the algorithm, the system uses internal sawtooth
signals of unitary amplitude varying in the constant interval
of 2π rad. to generate the angle θ . This signal, once inte-
grated, generates the angle reference used by the sine and
cosine in the construction of the power signals and phase
harmonics.
Each modulated signal is employed when supplying the
experimental workbench composed of a 735, 5W IM coupled
to a DC generator that establishes the mechanical load rela-
tionship in the machine axis, by simulating its applicability in
various conditions of work, which are also considered in this
paper. This experimental workbench shown in Fig. 4 is mon-
itored according to several aspects, and the data are acquired
and stored by the National Instruments® PC I − 6221, a data
acquisition device with DAQ capabilities.
The interval the frequency variations of the SRHS signal is
composed of odd-order harmonics according to the operation
speed of the motor, varying from the third to the twenty-first
harmonic of the fundamental signal (3rd to 21st). Therefore,
there are eleven different injection frequencies. In this case,
the lower limit is close to the known frequency band for the
faults suggested by Likitjarernkul et al. (2017). In addition,
the upper limit is above the frequency bands considered in
the region of low inference from other harmonics, such as its
own inverter switching (Likitjarernkul et al. 2017).
123
248 Journal of Control, Automation and Electrical Systems (2019) 30:242–252

Fig. 4 Applied diagram in

experimental workbenches

Once each SRHS is individually injected in the supply perform a pre-classification of fault and no fault before deter-
voltage of the machine, the electrical current signals that must mining severity. When the algorithm points out the presence
be structured in a single set of samples to be employed in the of anomaly, it will be already determining the type of fault
pattern classification methods are measured, and data prepro- and its severity.
cessing begins. Therefore, everything is structured according For a practical evaluation of the methodology studied and
to the MatLab® computer environment, which manages the the comparison among all the five IS approaches, a uni-
operation and the acquisition of DAQ, an algorithm that verse of data consisting of 720 samples and divided into four
extracts and manipulates the vector data by creating a sample classes with faults and one class with no fault was established,
vector for each sequence of harmonic insertion consisting of according to Table 1.
the eleven modulated signals. This manipulation consists in All classes have IM samples operating under regime that
transforming the signals of time domain in signals of fre- diversify the operation frequencies from 20 Hz (low speed)
quency response by the FFT. to 60 Hz (rated speed) and with simulation of the load torque
For standardization, each FFT of an added sinusoidal sig- in the axis. The load is within the range from 0.5 Nm (with
nal of SRHS is a source of a sub-vector of 1300 points, in 12.5% load) to 4 Nm (rated load). Considering the torque of
which each point is the amplitude of a frequency within the 0.5 Nm is the torque of the weight of the components of the
determined spectrum of 1–1300 Hz. The sub-vectors of the bench, additional load is not attributed to the axis.
same sample (n search reference harmonics) are structured in After this, the third and last step of the process begins, in
signals, thus creating a single sample vector of 14,300 points, which the sample vectors are structured in tables to be shown
that is, with eleven injected harmonic frequencies. as a valid set of signals. The sample vector is then submitted
In order to represent the reality of the industrial environ- to the pattern classifier that classifies each fault and degree of
ment and the scope of the greater percentage of faults to deterioration in a different category, determining, therefore,
which IMs are subject according to Irfan et al. (2017), bro- the intensity of the fault besides its type.
ken rotor bars and the short circuit of the stator coils are In this processing stage, the Waikato Environment for
studied in this work. These faults correspond to 47% of the Knowledge Analysis (WEKA) platform is used as a com-
IM faults. For this proposal, the anomalies were considered
in two different conditions, in addition to a class for operation
Table 1 Data sample
without faults:
Class a b c d e
– Broken rotor bars—2 consecutive broken bars and 4 Location No fault Rotor Rotor Stator Stator
broken bars, two at a time.
Type fault No fault 2 bb 4 bb (2 − 2) s-c (3%) s-c (5%)
– Short circuit in the stator—3% of the coil winding and
Nr of Inst. 240 120 120 120 120
5% of the coil winding.
Operation range (Hz) 20–60 20–60 20–60 20–60 20–60
Torque range (Nm) 0.5–4 0.5–4 0.5–4 0.5–4 0.5–4
Therefore, there are five different classes for the intelli-
gent system classification. The approach proposed does not bb broken bars, s-c short circuit

123
Journal of Control, Automation and Electrical Systems (2019) 30:242–252 249

putational tool. The software performs the computational Table 3 Comparative results among classifiers
analysis and the statistics of the data through data mining Classifier MLP k-NN SVM C 4.5 NB
to generate solution hypotheses. Based on JAVA language,
the software gathers algorithms from different approaches of Nr Class 5 5 5 5 5
computational intelligence dedicated to the study of machine Nr Instances 720 720 720 720 720
learning (Hall et al. 2009). In this proposal, the answers of Incorrectly Inst 37 0 0 64 28
the methodologies of k-NN, naive Bayes, SVM, MLP and Correctly Inst 683 720 720 674 692
decision tree are studied and compared. % Correctly Inst 94.86 100 100 93.61 96.11
This software generates the intelligent system algorithm RMSE 0.125 0.003 0.316 0.158 0.123
structures in an autonomous way, managing and changing MAE 0.052 0.002 0.240 0.027 0.015
some parameters in order to structure the best response to Kappa 0.933 1 1 0.917 0.950
the problem, and in many cases, the intervention or adjust-
ment by the operator is not necessary. In this way, some of
the algorithms used in this proposal were simulated with the
WEKA default configuration. Even so, the main characteris-
tics of each approach are outlined in Table 2. The approaches of the algorithms k-NN and SVM showed
a success rate of 100%, while the other approaches showed
rates higher than 93% for C4.5, 94% for MLP and 96% for
4 Results NB.
The kappa statistic coefficient shows the relationship
The whole approach was implemented and used in an off-line between the real value and the estimated value for the output
classification model because, after data collection, the data of each classifier. The closer the kappa index is of a unity
were treated, structured and classified externally in relation value, the more the estimated values correspond to the real
to the inverter modules of machine frequency and control. ones. Therefore, even in the approaches in which the index
The five proposals resulted in a classification with success is different from 1 (success rates lower than 100%), there are
rates of 93% to 100%, as shown in Table 3. These percentages no great differences in the results showing that the estimated
of correct instances in the five different classes are separated values are near the real ones even when they are not correct.
into types of faults regarding the degradation intensity. In Table 3, either the mean absolute error (MAE) measure
or the root mean square error (RMSE) expresses the mean
Table 2 Algorithm configuration parameters
errors of prediction of the models in units of the variable of
Parameter Setting Select interest. Both measures are treated indifferently to the direc-
tion of errors and are negatively guided, which means that
k-NN
lower values are the best ones. From this perspective, the
Number of neighborhoods 1 Adjusted
MAE index of the approaches, especially regarding the pro-
Number of decimal places 2 Default
posals that are not classified with 100% accuracy, shows that
NN Search algorithm LinearNNSearch Default
the NB algorithm has promising results. Therefore, the mean
Naive Bayes
value of 0.015 of the error variation shown by the classifier is
Number of decimal places 2 Default lower than the errors presented by the classifier and was only
Kernel estimator False Default higher than k-NN, thus having a more equivalent distribution
Supervise False discretization Default among the values.
SVM However, for the RMSE measure, the analysis attributes
Complexity parameter c-1 Default have relatively high weight in relation to major errors.
Calibration method Logistic Defaul This means that even where the MAE is stable, the RMSE
Kernel Poly Kernel Default increases, as the variance associated with the frequency dis-
MLP tribution of the error magnitudes also increases. Therefore,
Haidden layers 20-15-5 Adjusted by observing the approaches mentioned, it is possible to see
Learning rate 0.03 Adjusted that the low index of 0.125 of the MLP algorithm is close
Momentum 0.2 Default to the value of 0.123 of the NB algorithm, besides the diver-
C4.5 gence of the MAE values.
Confidence factor 0.25 Default Therefore, the MLP has a greater MAE and consequently
Minimum instances per node 2 Default a smaller success rate, but the errors shown are not much
Number of folds 3 Default different than those of the objetive values. For the C4.5 algo-
rithm, the mean index of MAE (0.027) is smaller than the

123
250 Journal of Control, Automation and Electrical Systems (2019) 30:242–252

one of the MLP index (0.052); however, it is a higher RMSE the faults proposed. However, if one considers an approach of
(0.158) index than that of the other two approaches. simple classification between the presence or not of fault, the
By deepening the performance analysis of the propos- MLP approach has the best performance, as it showed only
als that have not reached the classification of 100%, there one false positive and four false negatives. This corresponds
are confusion matrices shown in Table 4, which shows the to a success rate percentage of 99.3% for MLP, while the NB
examples of the database used in the MLP, C4.5 and NB remains with a rate of 96.11%.
approaches. The confusion matrix is a table that makes it By directly comparing with the results shown by corre-
possible to visualize the performance of the classifier, and lated works, one can observe the increase of success rates
each line of the matrix shows the sample class returned by in some approaches of intelligent classifiers with the adop-
the classifier, and each column represents the real class. tion of the proposed preprocessing technique, as shown in
For the NB intelligent system, it is possible to perceive Table 5.
a different error pattern, as it classified eighteen instances Among the works shown in Table 5, the proposal of this
as false positives, but all of them were in one category, and work is the only one that evaluates the faults related to sever-
ten samples classified as false negatives also belong a single ity, as there is a distinct class for each fault category and
class. degree of severity. This proposal compared with Yahia et al.
The results in Table 3 show that the NB algorithm has (2012) quantifies the results in percentages of success rates
the greatest success rate compared to the MLP and C4.5, for a similar technique of fault identification that uses FFT
because it has the best classification among the five classes of and the MSCA technique.
Another relevant aspect in these comparisons is the clas-
sification of rotor and stator faults, which is also mentioned
Table 4 Confusion Matrices by Aydin et al. (2012); however, with a success rate of 100%
against 98.85% using SVM.
PMC
The direct comparison of the results of this proposal with
a b c d e Class False Positive 1
the ones in Bazan et al. (2017) shows that the value of 94.86%
239 1 0 0 0 a False Negative 4 in the MLP approach is smaller than 99.64%. However, if
0 118 2 0 0 b Class Major error d we consider the MLP proposal as a simple classifier, the
4 3 113 0 0 c Class Minor error a percentage value of success rates for this work is of 99.3%.
0 21 6 93 0 d
0 0 0 0 120 e
C 4.5
a b c d e Class False Positive 14 5 Final Remarks
226 7 6 1 0 a False Negative 25
17 101 2 0 0 b Class Major error a The practical results for the tests with controlled simulation
6 2 110 1 1 c Class Minor error e of the electrical faults of broken rotor bars and short circuit
2 0 0 117 1 d in stator windings show the capacity that this insertion tech-
0 0 0 0 120 e nique of the SRHS has when it is used as a tool to help in the
NB diagnosis of three-phase induction motors.
a b c d e Class False Positive 18 The reliability of the proposal as an auxiliary tool in fault
222 18 0 0 0 a False Negative 10 classification and in severity estimates is based on the per-
0 120 0 0 0 b Class Major error b centage values of the success rates presented as results.
0 0 120 0 0 c Class Minor Error c,e Therefore, it is possible to notice that, with the modu-
10 0 0 110 0 d lation and insertion of the SRHS, as well as with the data
0 0 0 0 120 e preprocessing before the submission of the intelligent sys-
tem, a more simplified approach of fault multi-classification

Table 5 Comparison among

Paper Ref. Fault location Type classif. PpT Method Acc. (%)
correlated works
Yahia et al. (2012) Rotor Simple FFT MCSA NE
Bazan et al. (2017) Stator Simple FFT / DWT RBF/MLP 95.82, 99.64
Aydin et al. (2012) Stator/rotor Simple FFT KNN/SVM 86.50, 98.85
This work Stator/rotor Severity FFT MLP/SVM 94.86, 100
PpT preprocessing technique, Acc accuracy

123
Journal of Control, Automation and Electrical Systems (2019) 30:242–252
is achieved without having to use of multi-agents or sequen-
tial subclassifications with cascading networks.
The comprehensiveness of the technique is defined con-
sidering the degree of degradation of each type of failure
with five different classes into two fault categories and two
degrees of degradation by fault proposed, by also considering
that the faults that are approached in this study cover about
47% of the faults to which the operating IMs are submitted.
The generalization of the approach is evidenced in the
speed variations of the motor operation and in the samples
with variation of load torque in the machine axis. It is also
worth noting that each system responsible for pattern clas-
sification was submitted to the use of the same data pattern
of motors with and without failure in the modulations men-
tioned.
Acknowledgements The authors gratefully acknowledge the contribu-
tions of CNPq (Processes 474290/2008-5, 473576/2011-2, 552269/2011-
5, and 405228/2016-3), Fundação Araucária (Process 06/56093-3) and
FAPESP (Process 2011/17610-0).
References
Attoui, I., Fergani, N., Boutasseta, N., Oudjani, B., & Deliou, A. (2017).
A new timefrequency method for identification and classification
of ball bearing faults. Journal of Sound and Vibration, 397, 241.
Aydin, I., Karakose, M., & Akin, E. (2012). An adaptive artificial
immune system for fault classification. Journal of Intelligent Man-
ufacturing, 23(5), 1489.
Aydin, I., Karakose, M., & Akin, E. (2014). An approach for automated
fault diagnosis based on a fuzzy decision tree and boundary anal-
ysis of a reconstructed phase space. ISA Transactions, 53(2), 220.
Bazan, G. H., Scalassara, P. R., Endo, W., Goedtel, A., Godoy, W. F.,
& Palácios, R. H. C. (2017). Stator fault analysis of three-phase
induction motors using information measures and artificial neural
networks. Electric Power Systems Research, 143, 347.
Cusido, J., Rosero, J., Romeral, L., Ortega, J. A., & Garcia, A. (2006).
New techniques for fault detection analysis by injecting additional
frequency test. In Proceedings of the IEEE conference instrumen-
tation and measurement technology (pp. 2087–2090).
Cusido, J., Rosero, J., Romeral, L., Ortega, J. A., & Garcia, A. (2006).
New fault detection techniques for induction motors. Eletrical
Power Quality and Utilization, 2(1), 39.
de Jesus Romero-Troncoso, R. (2017). Multirate signal processing
to improve FFT-based analysis for detecting faults in induction
motors. IEEE Transactions on Industrial Informatics, 13(3), 1291.
George, P. L., & John, H. (1995). Estimating continuous distributions
in Bayesian classifiers. In Proceedings of the eleventh conference
on uncertainty in artificial intelligence (pp. 338–345).
Gritli, Y., Bellini, A., Rossi, C., Casadei, D., Filippetti, F., & Capolino,
G. A. (2017). IEEE 11th international symposium on diagnostics
for electrical machines, power electronics and drives (sdemped)
(pp. 77–84).
Hall, M., Frank, E., Holmes, G., Pfahringer, B., Reutemann, P., & Wit-
ten, I. H. (2009). The WEKA data mining software: An update.
SIGKDD Explorations Newsletter, 11(1), 10.
Han, J., Kamber, M., & Pei, J. (2011). Data mining: Concepts and
techniques (3rd ed.). Morgan Kaufmann, p 744.
Haykin, S. (2009). Neural networks and learning systems. Ontario:
Pearson Education.
251
Irfan, M., Saad, N., Ibrahim, R., & Asirvadam, V. S. (2017). Condition
monitoring of induction motors via instantaneous power analysis.
Journal of Intelligent Manufacturing, 28(6), 1259.
Karabadji, N. E. I., Seridi, H., Khelf, I., Azizi, N., & Boulkroune, R.
(2014). Improved decision tree construction based on attribute
selection and data sampling for fault diagnosis in rotating
machines. Engineering Applications of Artificial Intelligence, 35,
71.
Lakehal, A., & Ramdane, A. (2017). Fault prediction of induction motor
using bayesian network model. In 2017 International conference
on electrical and information technologies (ICEIT) (pp. 1–5).
Lawrynowicz, A. (2014). Pattern based feature construction in semantic
data mining. International Journal on Semantic Web and Informa-
tion Systems, 10, 28. https://doi.org/10.4018/ijswis.2014010102.
Li, C., de Oliveira, J. V., Cerrada, M., Pacheco, F., Cabrera, D., Sanchez,
V., et al. (2016). Observer-biased bearing condition monitoring:
From fault detection to multi-fault classification. Engineering
Applications of Artificial Intelligence, 50, 287.
Likitjarernkul, T., Sengchuai, K., Duangsoithong, R., Chalermyanont,
K., & Prasertsit, A. (2017). Pca based feature extraction for clas-
sification of statorwinding faults in induction motors. Pertanika
Journal Science and Technology, 25(S), 197.
Liu, R., Yang, B., Zio, E., & Chen, X. (2018). Artificial intelligence
for fault diagnosis of rotating machinery: A review. Mechanical
Systems and Signal Processing, 108, 33.
Mabrouk, A. E., & Zouzou, S. E. (2015). Diagnosis of rotor faults in
three-phase induction motors under time-varying loads. In 2015
IEEE 10th international symposium on diagnostics for electrical
machines, power electronics and drives (SDEMPED) (pp. 373–
379).
Martin-Diaz, I., Morinigo-Sotelo, D., Duque-Perez, O., Arredondo-
Delgado, P., Camarena-Martinez, D., & Romero-Troncoso, R.
(2017). Analysis of various inverters feeding induction motors
with incipient rotor fault using high-resolution spectral analysis.
Electric Power Systems Research, 152, 18.
Martínez-Morales, J. D., Palacios-Hernández, E. R., & Campos-
Delgado, D. U. (2018). Multiple-fault diagnosis in induction
motors through support vector machine classification at variable
operating conditions. Electrical Engineering, 100, 1–15.
Mata-Castrejón, P. V. D., Villegas-Ortega, A., Asiaín-Olivares, T. I., &
Ruiz-Vega, D. (2015). Evaluation of progressive deterioration of a
squirrel-cage rotor, with a condition monitoring system that imple-
ments the sideband methodology. In 2015 IEEE international
autumn meeting on power, electronics and computing (ROPEC)
(pp. 1–6).
Mustafa, M. O., Varagnolo, D., Nikolakopoulos, G., & Gustafsson,
T. (2016). Detecting broken rotor bars in induction motors with
model-based support vector classifiers. Control Engineering Prac-
tice, 52, 15.
Naha, A., Samanta, A. K., Routray, A., & Deb, A. K. (2016). A method
for detecting half-broken rotor bar in lightly loaded induction
motors using current. IEEE Transactions on Instrumentation and
Measurement, 65(7), 1614.
Quinlan, J. R. (1993). C4.5: Programs for machine learning. San Fran-
cisco: Morgan Kaufmann Publishers Inc.
Rajeswaran, N., Swarupa, M. L., Rao, T. S., & Chetaswi, K. (2018).
Hybrid artificial intelligence based fault diagnosis of svpwm
voltage source inverters for induction motor. Materials Today: Pro-
ceedings, 5(1, Part 1), 565.
Saddam, B., Aissa, A., Ahmed, B. S., & Abdellatif, S. (2017). Detection
of rotor faults based on hilbert transform and neural network for
an induction machine. In 2017 5th international conference on
electrical engineering—Boumerdes (ICEE-B) (pp. 1–6).
Singh, G., Kumar, C. A., & Naikan, V. N. A. (2015). Effectiveness
of current envelope analysis to detect broken rotor bar and inter
turn faults in an inverter fed induction motor drive. In 2015 inter-
123
252 Journal of Control, Automation and Electrical Systems (2019) 30:242–252

national conference on power and advanced control engineering
(ICPACE) (pp. 191–194).
Steinwart, I., & Christmann, A. (2008). Support vector machines (Infor-
mation Science and Statistics). New York: Springer.
Thomson, W. T., & Culbert, I. (2017). Current signature analysis for
condition monitoring of cage induction motors: Industrial appli-
cation and case histories (Vol. 1). Hoboken: Wiley.
van der Broeck, H. W., Skudelny, H., & Stanke, G. V. (1988). Analysis
and realization of a pulsewidth modulator based on voltage space
vectors. IEEE Transactions on Industry Applications, 24(1), 142.
Vapnik, V. N. (1995). The nature of statistical learning theory. New
York: Springer.
Yahia, K., Cardoso, A. J. M., Zouzou, S. E., & Gueddidi, S. (2012).
Broken rotor bars diagnosis in an induction motor fed from a fre-
quency converter: Experimental research. International Journal of
System Assurance Engineering and Management, 3(1), 40.

123