IEEE TRANSACTIONS ON ENERGY CONVERSION, VOL. 18, NO.
2, JUNE 2003
Application of AI Tools in Fault Diagnosis of
Electrical Machines and Drives—An Overview
Mohamed A. Awadallah, Student Member, IEEE, and Medhat M. Morcos, Senior Member, IEEE
Abstract—Condition monitoring leading to fault diagnosis and
prediction of electrical machines and drives has recently become of
importance. The topic has attracted researchers to work in during
the past few years because of its great influence on the operational
continuation of many industrial processes. Correct diagnosis and
early detection of incipient faults result in fast unscheduled main-
tenance and short down time for the machine under consideration.
It also avoids harmful, sometimes devastative, consequences and
helps reduce financial loss. Reduction of the human experts in-
volvement in the diagnosis process has gradually taken place upon
the recent developments in the modern artificial intelligence (AI)
tools. Artificial neural networks (ANNs), fuzzy and adaptive fuzzy
systems, and expert systems are good candidates for the automa-
tion of the diagnostic procedures. This present work surveys the
principles and criteria of the diagnosis process. It introduces the
current research achievements to apply AI techniques in the diag-
nostic systems of electrical machines and drives.
Index Terms—Artificial intelligence, electrical machines, fault
diagnosis.
I. INTRODUCTION
E LECTRICAL machines and drive systems are subjected
to many different types of faults. These faults include:
a) stator faults, which define stator-winding open or short cir-
cuits and stator inter-turn faults; b) rotor electrical faults, which
include rotor-winding open or short circuits for wound rotor
machines, and broken bar or cracked end ring faults for cage
machines; c) rotor mechanical faults such as bearing damage,
static, and dynamic eccentricity, bent shaft, and misalignment;
d) failure of one or more power electronic components of the
drive control system; and e) broken, cracked, or deteriorated
magnetic material for permanent magnet machines. These faults
are reflected, and hence, could be sensed, in one or more per-
formance characteristics of the machine or drive system. The
characteristics include machine air-gap voltages and line cur-
rents, torque dips, and pulsations, reduced average torque, ex-
cessive losses, and lowered efficiency, acoustic noise, and ex-
cessive heating.
Electrical machines manufacturers and users have relied for a
long time on protective relays—such as the overcurrent relay—
to trip faulty machines. Following this scheme led to facing
some situations where the machine was badly harmed or even
damaged, mainly due to machine tripping after the fault has
well developed inside it. Monitoring performance characteris-
Manuscript received October 22, 2001; revised June 24, 2002.
The authors are with the Department of Electrical and Computer Engi-
neering, Kansas State University, Manhattan, KS 66506-5204 USA (e-mail:
awadallah@ieee.org; morcos@ksu.edu).
Digital Object Identifier 10.1109/TEC.2003.811739
0885-8969/03$17.00 © 2003 IEEE
245
tics of the machine has proven effective in detecting faults while
developing. These characteristics were obtained either through
computer simulations [1]–[4] or more applicably through exper-
imental testing of faulty machines. Due to their wide spreadness
in most of the industrial and domestic processes, induction mo-
tors have received the greatest part of the research work interest.
Monitoring machine line current and observing the devia-
tions in its time and/or frequency domain characteristics, from
healthy to faulty operation, was the first step to be taken. This
is known as machine current signature analysis (MCSA). Other
characteristics to be monitored were terminal voltages, airgap
flux, speed, and shaft vibrations. Features extracted from one
or more characteristic were utilized as the fault diagnostic in-
dices. Such faults included stator winding faults, rotor broken
bar or end ring faults, bearing damage faults, eccentricity re-
lated faults, and drive system component faults. Various digital
signal processing (DSP) techniques, of which higher order sta-
tistics (HOS) received great attention in the literature, were ex-
tensively used for feature extraction purposes. Distinct methods
such as Park’s vector approach (PVA) for motor current were
also used.
Of all possible fault types, this paper focuses on stator, rotor,
eccentricity, and bearing damage faults in induction motors and
drive systems. Hints on some other research achievements re-
garding different motors and drives are also reported.
II. FUNDAMENTALS AND DIAGNOSTIC CRITERIA
A. Higher Order Statistics
One of the novel and effective DSP tools used for feature
extraction of the machine performance characteristic signals is
the HOS [5]–[10]. The HOS technique has been applied recently
to practical problems after receiving great theoretical interests.
Advantages of estimating HOS third and above measures are
summarized as follows [5].
• Additive Gaussian noise is automatically suppressed.
• Nonminimum phase systems can be identified.
• Information due to deviations from Gaussianity can be
extracted.
• Nonlinear systems can be detected and identified.
In attempt to address mathematical definitions for HOS
measures, given a discrete time-domain signal its discrete
Fourier transform (DFT) is defined as [5]
246
The second-order measure, also known as the power spectral
density, , is given by
where is the statistical expectation or average, and
the complex conjugate of . Extending these definitions to
the third- and fourth-order measures gives rise to the bispec-
trum, , and trispectrum, , which are de-
fined as
From the above definitions, it is clear that the bispectrum and
trispectrum are functions of more than one frequency index and
are complex. They contain both magnitude and phase informa-
tion about the original time domain sequence .
Application of HOS techniques to the rotor vibration signal
has helped in diagnosing electrical and mechanical faults in
sinusoidally and inverter-fed induction motors [5], [8], and [9].
Bispectrum of the contaminated rotor vibration signal could
be used to diagnose different faults in inverter-fed induction
motor drive and could account for vibration contaminations
from known and unknown sources [10].
B. Park’s Current Vector Pattern
The well known Park’s transformation has addressed a tech-
nique to get a two-dimensional (2-D) representation of the three-
phase induction motor line currents. As a function of the three
phase currents ( , , and ), the current Park’s vector compo-
nents are given as
Under ideal conditions, balanced three phase currents lead to
a Park’s vector with the following components:
where is the peak supply phase current, and the radian
frequency of the supply.
The representation of the motor current Park’s vector under
healthy balanced operation is a circle centered at the origin of
the coordinate axes. Under faulty operation, this pattern is devi-
ated according to the associated fault [11]–[18].
Park’s vector approach was successfully used to detect stator-
winding faults in induction motors [11]. Under fault conditions,
the Park’s vector pattern became elliptic. The ellipticity of the
pattern was proportional to the fault severity and its major axis
orientation depended on the faulty phase. The relative thickness
of the pattern was utilized to diagnose broken rotor bar faults
in induction motors [12]. Under rotor static eccentricity faults
IEEE TRANSACTIONS ON ENERGY CONVERSION, VOL. 18, NO. 2, JUNE 2003
in three-phase induction motors, the PVA pattern was recog-
nized to have a distinctive shape [13]. The pattern was used to
diagnose static rotor eccentricity more than 60% in both wye
and delta connected machines regardless of the load level as
long as it is less than, or equal to, normal [14]. The extended
Park’s vector approach (EPVA) utilized the spectral component
of the ac level of the Park’s vector pattern at twice the supply
frequency to diagnose stator-winding faults in three-phase syn-
chronous and asynchronous motors [15]. In case of inverter-fed
induction motor drives, the healthy operation pattern of PVA is
not circular; however, distinguishable deviations in the pattern
could be used to diagnose faults in the power electronic compo-
nents of the drive control [16], [17]. Direction of orientation of
the pattern was an effective index to define any short or open cir-
cuit fault on one semiconductor switch. The technique was ex-
tended appropriately to account for electronic component faults
in full-converter dc motor drives [18].
C. Stator Winding Faults
Stator winding faults constitute almost 30–40% of induction
motors’ faults. These faults are usually short circuits between
a phase winding and the ground or between two phases. It
is strongly believed that such faults initiate as undetected
turn-to-turn faults that develop to a major short circuit. Stator
winding faults might have a destructive effect on the stator
coils. Many techniques to diagnose and detect these faults are
available in the literature.
Bellini et al. [19] reported that for an open-loop controlled in-
duction motor, the supply current negative-sequence component
at a frequency of could be used to diagnose stator winding
faults. For a closed-loop field-oriented controlled motor, the
spectrum component of the field current at twice the supply
frequency was an effective indicator for the existence of
stator faults. On the other hand, Kliman et al. [20] observed an
increase in the motor phase current leading to shifts in both pos-
itive and negative sequence currents. Injected negative sequence
current, not related to supply imbalance, was used as the diag-
nostic index.
Cash et al. [21] summed up the machine line-to-neutral volt-
ages instantaneously and filtered out the undesired saturation,
slots, and other sound operation harmonics. The RMS value of
the remaining voltage component was utilized to detect the exis-
tence and severity of stator inter-turn faults. The standard devi-
ation of the RMS line currents of an ASD-induction motor was
used to detect stator inter-turns [22].
Penman et al. [23] monitored the axial leakage flux resulting
from the stator windings to detect and locate stator inter-turns.
The voltage induced in a search coil wound concentrically
around the machine shaft was proportional to this flux compo-
nent. Some spectral constituents of this voltage were observed
to detect a turn-to-turn fault. These frequencies are given by
where , 3, , is the number of
pole pairs, is the slip, and the supply frequency. The loca-
tion of the inter-turn fault could be specified using four auxiliary
AWADALLAH AND MORCOS: AI TOOLS IN FAULT DIAGNOSIS OF ELECTRICAL MACHINES AND DRIVES—AN OVERVIEW
windings mounted symmetrically in the four quadrants of the
motor near the end winding. The flux RMS magnitudes at the
various locations were measured. The change in readings from
the four coils could be used to triangulate the area of the unbal-
anced flux, and hence, locate the shorted turn.
Nandi and Toliyat [24] detected the same frequencies with
good detectibility for in the machine line voltages imme-
diately after disconnecting the mains. The detection was done
successfully for both sinusoidally and inverter-fed machines,
avoiding the ambiguity of detecting these components in the
current spectrum due to supply harmonics.
D. Rotor Broken Bar and End Ring Faults
Two different types of cage rotors exist in induction motors,
namely, cast and fabricated. Cast cage rotors are used in motors
up to 3000-kW rating. Fabricated cages are found in motors of
higher ratings and special application machines. Cast rotors are
almost impossible to get fixed once breakage or cracks develop
in them although they are more durable and rugged than fabri-
cated cages. Broken bar and cracked end ring faults represent
5–10% of the total induction machine faults.
Motor current signature analysis was extensively used to de-
tect broken rotor bar and end ring faults in induction motors
[19], [25]. The sideband components at were used
to detect such faults. While the lower sideband was fault-re-
lated, the upper sideband was due to consequent speed oscil-
lations. Bellini et al. [26] stated that the summation of magni-
tudes of these two sideband components was a good diagnostic
index. It was also concluded that MCSA was superior to signa-
ture analyses of current space vector modulus and instantaneous
power and torque. The actual sequence of sidebands was given
by [27]
where . Considering the speed ripple effects, it
was reported that other frequency components, which could be
observed in the stator current spectrum, are given by [28]
where is the number of pole pairs, and . feasible to detect broken bar faults while developing. The esti-
As for the closed-loop field-oriented controlled motor,
the spectral component of the field current at was
an effective index to predict broken bar faults [19]. Schoen
and Habetler [29] reported that time-varying loads produced
harmonics in the induction motor line currents that overlap
those produced by different rotor faults. These load-related
harmonics were separable from the current spectrum, making
it still possible to diagnose rotor faults by MCSA. The effects
of time-varying loads could be eliminated by monitoring
machine voltages and currents to estimate the -axis current
component of a healthy motor driving the same load [30]. This
component was subtracted from the faulty machine current, and
the fault-produced portion was used as the diagnostic index.
Milimonfared et al. [31] developed a detection technique based
on disconnecting the machine from the mains and observing the
line voltage spectral components. The th harmonics,
247
where , became higher under broken bar
fault conditions. Although some of these harmonics already
existed under healthy machine operation for various reasons,
the technique helped in avoiding the influence of the supply
nonidealities, such as unbalance and time harmonics, on the
diagnostic procedures.
Elkasabgy et al. [27] used internal and external search coils
and observed the induced voltage spectral components at
where is the supply frequency, is the number of poles, and
the motor slip. It was also shown that low-frequency torque
oscillations at double the slip frequency were dominant under
broken bar faults.
Cho et al. [32] utilized rotor resistance estimation, whose
value increased under broken bar faults, in a detection scheme.
Stator current, voltage, excitation frequency, and rotor speed
were monitored. Assuming equal stator and rotor self induc-
tances and neglecting core loss and deep-bar ef-
fects, a single-phase steady-state equivalent circuit of the motor
is governed by the equation
where is the RMS stator voltage, s is the motor slip, is
the supply radian frequency, is the stator and rotor winding
self-inductance, is the RMS stator current, is the phase
shift between stator current and voltage, is the stator winding
resistance, is the magnetizing inductance, and is the rotor
winding resistance. This equation is actually two independent
equations (real and imaginary). Since it was used to estimate
four parameters, namely, , , , and , at least two sets
of measurements for the quantities , , , and (to get
) are required at the same load. More than two sets of mea-
surements would make the technique immune to measurement
noise and inaccuracy. Observing the value of the rotor resistance
and comparing it to the value under sound operation made it
mated resistance is compensated for thermal variations through
the equation
where is the resistivity of the rotor cage material, and
are two different temperatures, and is 228.1 and 234.5 for
aluminum and copper, respectively. This thermal compensation
of resistance was crucial because a thermal increase in its value
would dominate a fault-produced increase as seen through the
estimation of .
Cruz and Cardoso applied the synchronous reference frame
current Park’s vector approach to diagnose rotor cage faults of
three-phase induction motors [33]–[36]. The technique could
be used to differentiate between the effect of this type of fault
and that associated with driving time-varying loads. Rotor
248
cage faults could be detected by the identification of an elliptic
figure in Park’s vector representation of synchronous reference
frame current. When the load has low-frequency oscillating
component, the current Park’s vector pattern is an ellipse
oriented along the first quadrant of the coordinate axes. In the
presence of a cage fault, the pattern ellipse becomes oriented
along the second quadrant of the coordinate axes. However,
the technique was not efficient in indicating the severity of the
fault [36].
E. Bearing Damage Faults
Although 40–50% of induction motor faults are correlated
with bearing defects, not much research was dedicated to de-
tecting these faults. The reason may be because bearing faults
are recognized as shaft asymmetries, which are studied under
the category of eccentricity faults. Most electrical machines use
either ball or rolling-element bearings, which consist of two
rings—outer and inner rings. Balls or rolling elements rotate
in raceways inside the rings. Bearing faults may be reflected
in defects of outer race, inner race, ball, or train. Even under
normal balanced operation with good shaft alignment, fatigue
faults can take place. Vibrations, internal stresses, inherent ec-
centricity, and bearing currents due to electronic drive systems
have effective influence on developing such faults.
Shaft vibration frequencies associated with different ball
bearing faults were given as [37]
for outer race defects
for inner race defects
for ball defects, and
for train defects, where is the number of balls, is the rotor
rotational frequency, is the ball diameter, is the ball pitch
diameter, and is the contact angle of the ball with the race.
Schoen et al. [38] implemented MCSA in a technique to de-
tect rolling-element bearing faults in induction motors. Line cur-
rent spectral components are predicted at frequencies of
where is one of the characteristic vibration frequencies, is
the supply frequency, and . Although the mag-
nitudes of these harmonic components are small compared to
other spectral constituents, they fall at different locations from
those of the supply and machine inherent slot harmonics. This
phenomenon makes it feasible to distinguish between healthy
and faulty operations.
IEEE TRANSACTIONS ON ENERGY CONVERSION, VOL. 18, NO. 2, JUNE 2003
The same frequency components were monitored by applying
a time-frequency analysis and using short-time Fourier trans-
form (STFT) on the motor line current [39]. The time-frequency
analysis showed distinct advantages over the traditional Fourier
transform due to the nonstationarity in the current signal, which
comes from the different motor operation modes. A statistical
method was embedded in an adaptive system that was trained to
recognize the sound motor operation. Results showed that the
faulty motor signals were hundreds of standard deviation away
from healthy modes, which made the scheme power evident.
F. Eccentricity Faults
Rotor eccentricity, which results in nonuniform airgap, is di-
vided into two categories—static and dynamic. In static eccen-
tricity case, the airgap has a fixed minimal position, whereas this
position rotates with the rotor in case of dynamic eccentricity.
In practice, both types occur simultaneously. Due to some de-
sign and manufacturing imperfections, up to 10% eccentricity is
allowed. Higher orders of eccentricity can cause rotor-to-stator
rub, resulting in damage of rotor and/or stator winding or core.
Eccentricity faults could be diagnosed by monitoring the
airgap flux in induction motors [40]. Internal and external
search coils were placed in the stator and the spectral con-
stituents of their induced voltage were observed for diagnosing
components at
where is the supply frequency, and is the rotational fre-
quency.
Dorrell et al. [41] monitored casing vibration components at a
frequency to diagnose eccentricity faults in induction
motors. MCSA was used extensively to diagnose eccentricity
faults in three-phase induction motors. Specific frequencies re-
lated to fault are given by [37]
where is any positive integer, is the number of rotor bars, is
the number of pole pairs, is the eccentricity order ( for
static eccentricity and for dynamic eccentricity), is the
motor slip, is the order of time harmonics present in the power
supply driving the motor , and is the supply
frequency. In case of static eccentricity, principal slot harmonics
and supply time harmonics contribute to these components. If
the order of one of these harmonics is a multiple of three, it may
not theoretically appear in the current spectrum of a balanced
machine. However, it was shown that for a specific combination
of the number of fundamental pole pairs and number of rotor
slots, the machine would give rise to only static or only dynamic
eccentricity related components [42].
Obaid et al. [43] used MCSA to diagnose eccentricity faults
in three-phase induction motors by observing the components
where is a positive integer. The RMS value of each com-
ponent was calculated after filtering out the fundamental. The
AWADALLAH AND MORCOS: AI TOOLS IN FAULT DIAGNOSIS OF ELECTRICAL MACHINES AND DRIVES—AN OVERVIEW
RMS values were compared to a preset threshold that was de-
termined upon observation of sound operation. Under load im-
balance, and horizontal and vertical misalignment conditions,
the machine gave rise to such harmonic components with mag-
nitudes dependent on the condition.
III. AI APPLICATIONS
A. Artificial Neural Networks
Artificial neural networks (ANNs) are one of the oldest
AI paradigms that have been around the power engineering
research arena for quite some time. ANNs mimic the human
brain structure, which consists of simple arithmetic units
connected in complex layer architecture. They are capable
of representing highly nonlinear functions and performing
multiinput, multioutput mapping. They learn these functions
through examples. ANNs have been applied densely in the
area of motor condition monitoring and fault diagnosis [28],
[44]–[65], performing one or more of the following tasks:
• pattern recognition, parameter estimation, and nonlinear
mapping applied to condition monitoring;
• training based on both time and frequency domain signals
obtained via simulation and/or experimental results;
• real time, online unsupervised diagnosis;
• dynamic updating of the structure with no need to retrain
the whole network;
• filtering out transients, disturbances, and noise;
• fault prediction in incipient stages due to operation anom-
alies;
• operating conditions clustering based on fault types.
B. Fuzzy and Adaptive Fuzzy Systems
Fuzzy logic and adaptive fuzzy systems are emerging as pow-
erful AI techniques. Fuzzy logic is a more powerful variation of
crisp logic; where knowledge representation is closer to the way
humans think. Fuzzy inference systems employ powerful infer-
ential engines on natural (linguistic) variables and build data
bases via fuzzy if—then rules. Adaptive fuzzy systems utilize
the learning capabilities of ANNs or the optimization strength of
genetic algorithms to adjust the system parameter set in order to
enhance the intelligent system’s performance based on a priori
knowledge. Some of the fuzzy and adaptive-fuzzy systems’ ap-
plications to motor fault diagnosis [56], [66]–[70] include
• evaluating performance indices using linguistic variables;
• predicting abnormal operation and locating faulty ele-
ment;
• utilizing human expertise reflected to fuzzy if—then rules;
• system modeling, nonlinear mapping, and optimizing di-
agnostic system parameters through adaptive fuzzy sys-
tems;
• fault classification and prognosis.
C. Expert Systems
Expert systems represent an attempt to emulate the human
thought through knowledge representation and inference mech-
anisms. Within a bound domain of knowledge, expert systems
are capable of decision making on a quality level comparable
249
to human experts. Although they are expensive and time-con-
suming during evolvement, some research work dedicated to ap-
plying expert systems to machine fault diagnosis was reported
in the literature [71]–[74]. These applications include
• emulating and implementing human expertise;
• building and online updating system knowledge bases;
• signal filtering, information search, and feature extraction;
• data managing and information coding in knowledge
bases;
• employment of users interactive sessions;
• fault classification, diagnosis, and location;
• knowledge base building through simulation and/or exper-
imentation.
Applications of AI tools in condition monitoring and fault
diagnosis of electric machines and drives have provided the au-
tomation of the diagnostic process. It also helped in utilizing the
human expertise, and gaining early and precise detection. Arti-
ficial intelligence is expanding the horizon of the new research
related to the topic in the coming years.
IV. CONCLUSION
A review of the state-of-the-art of condition monitoring and
fault diagnosis in electrical machines is presented. Noninvasive
motor current signature analysis (MCSA) has been the most
preferable technique. Distinct methods like feature extraction
using higher-order statistics (HOS) and motor-current Park’s
vector approach (PVA) were surveyed. Definitions and possible
applications of the recently developed AI techniques are re-
ported. Advantages of the paradigms applied to the field include
emulating and employing human expertise, automating the di-
agnosis process, and gaining earlier and more precise detection.
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Mohamed A. Awadallah (S’00) received the
B.S. (with honors) and M.S. degrees in electrical
engineering from the University of Zagazig, Egypt,
in 1993 and 1997, respectively. He is currently
pursuing the Ph.D. degree in electrical engineering
at Kansas State University, Manhattan.
He was a Teaching and Research Assistant in
the Department of Electrical Power and Machines
Engineering at the University of Zagazig, Egypt,
from 1994 to 1999. His research interests include
diagnosis of electrical machines and drives, artificial
intelligence applications to drive systems, and power electronics applications.
Mr. Awadallah is a member of Eta Kappa Nu and Phi Kappa Phi.
Medhat M. Morcos (M’78–SM’86) received the
Ph.D. degree in electrical engineering from the
University of Waterloo, ON, Canada, in 1984.
Currently, he is Professor of Electrical and
Computer Engineering and Distinguished Teaching
Scholar at Kansas State University, Manhattan.
His current research includes power electronics,
artificial intelligence applications in power quality
and power systems protection, gaseous insulation,
and high-voltage engineering.
Dr. Morcos is a member of the America Society for Engineering Education,
Eta Kappa Nu, Sigma Xi, Tau Beti Pi, and Phi Kappa Phi.