Professional Documents
Culture Documents
by
Shuo Chen
Electrical Engineering
Adelaide, Australia
April, 2008
c 2008 - Shuo Chen
A
Typeset in L TEX 2
Contents
Contents i
Abstract v
Acknowledgement ix
List of Tables xi
Nomenclature xvii
1. Introduction 1
1.1. Induction Machine Condition Monitoring and Fault Diagnostics . 1
1.3. Motivation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
i
CONTENTS
2.3.1. Causes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
2.3.2. Impact . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
3.4. Simulations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
3.4.1. Initialization . . . . . . . . . . . . . . . . . . . . . . . . . . 38
ii
CONTENTS
6. Conclusion 83
6.1. The Broken Rotor Bar Fault . . . . . . . . . . . . . . . . . . . . . 83
Bibliography 87
iii
CONTENTS
A. Important Programs 93
A.1. Simulation Initialization . . . . . . . . . . . . . . . . . . . . . . . 93
iv
Abstract
On-line induction machine condition monitoring techniques have been used widely
in the detection of motor broken rotor bars for decades. Research has found that
when broken bars occur in the machine rotor, the anomaly of electromagnetic eld
in the air gap will cause two sideband frequency components presenting in the sta-
be used as a convenient and reliable approach to broken rotor bar fault diagnosis.
in this application. However, the use of DFT has several limitations. The most
length. Due to this limitation, the accuracy of broken rotor bar detection can
be highly aected in cases such as light machine load and limited data records.
However, Prony's method for spectral analysis has the ability of overcoming the
restriction of data window length on the frequency resolution, from which the
DFT suers. Such feature makes Prony's method a promising choice for broken
rotor bar diagnosis when the machine is operating under light or varying load,
the implementation of this technique in the induction motor broken rotor bar
detection, revealed its better performance than DFT in terms of maintaining high
resolution in frequency domain whilst using a much shorter window, and analyzed
In this thesis, an induction machine model that includes broken rotor bars is
and the simulated results. The Prony Analysis method for broken bar diagnosis
is implemented and tested using both simulated and measured stator current
data. Comparisons between PA and DFT results are presented, clearly indicating
v
vi
Statement of Originality
I hereby declare that this is an original thesis and is entirely my own work under
the guidance and advice of my supervisor Dr. Rastko Zivanovic. This work
contains no material which has been accepted for the award of any other degree
another person, except where due reference has been made in the text.
I give consent to this copy of my thesis, when deposited in the Adelaide University
Library, being made available for loan and photocopying, subject to the provisions
Shuo Chen
April 2008
vii
viii
Acknowledgments
I was just trying to have a short break to take breath from writing and rewriting
a same piece of work for several months by thanking people. However, what I
had not realized was that this would never be a task any easier than writing a
thesis. It is not because I have not learned enough aecting English words to
express my appreciation, but the fact that I believe, for a man indebted, even the
most exquisite word in any language is not competent to deliver this gratefulness.
Though clumsy, I still insist on writing down the following words, with the best I
Memory has carried my thought reviewing through the time from day one when
my parents saw me o in the international airport. Their images and voices keep
on emerging in my mind like that they just happened yesterday. Thank you and
forever love to my mother, Yunfeng Lei, and father Jianguo Chen. You could not
have given any more than you have done to me. Your love, support and trust is the
invaluable wealth that I have. It has carried me for the years I lived through, and
Of course none of my success would have been possible without the constant
guidance and support from my supervisor, Dr. Rastko Zivanovic. Rastko demon-
in teaching. So many times only a few words from him would turn my jumbled
and inspirations. All these are only a few of the many things that I could learn
for a lifelong time. I could not have asked for a better supervisor.
student. My ancee, Heqing Wang, has been my friend, critic, listener, assistant,
adviser, teacher and partner from the beginning and throughout the whole time
ix
I would also like to thank many colleagues who had generously donated their time
to help me with my study. Especially, I would like to thank Mr. Yinan Kong who
cated and abstract concepts by using simple words and vivid guration which a
kid would understand. Without his help, I do not know if I would survive from all
the frustrations that have happened. Many thanks to Mr. Randy Supangat and
Mr. Gene S. Liew for helping in setting up experiments in the lab. Thank you
to Ms. Hui-Min Tan and Mr. Adam Burdeniuk for kindly reading my thesis and
Mr. Benjamin Hooper from the International Student Centre of the University
of Adelaide. I did have bothered you a lot in administrative aairs and you were
x
List of Tables
5.3. PA and DFT results of the (1 2s) f sideband frequencies using the
minimum window lengths with 1000Hz sampling frequency for Machine
2 operating under full load condition and with various numbers of
broken rotor bars. . . . . . . . . . . . . . . . . . . . . . . . . . . . 69
5.4. PA and DFT results of the (1 2s) f sideband frequencies using the
minimum window lengths with 1000Hz sampling frequency for Machine
2 operating under 75% load condition and with various numbers of
broken rotor bars. . . . . . . . . . . . . . . . . . . . . . . . . . . . 69
5.5. PA and DFT results of the (1 2s) f sideband frequencies using the
minimum window lengths with 1000Hz sampling frequency for Machine
2 operating under 50% load condition and with various numbers of
broken rotor bars. . . . . . . . . . . . . . . . . . . . . . . . . . . . 70
5.6. PA and DFT results of the (1 2s) f sideband frequencies using the
minimum window lengths with 1000Hz sampling frequency for Machine
2 operating under 25% load condition and with various numbers of
broken rotor bars. . . . . . . . . . . . . . . . . . . . . . . . . . . . 70
xi
C.1. Parameters of induction machine models used for simulations. . . . . 103
D.1. Frequency estimation results by PA and DFT for Machine1 with dier-
ent number of broken rotor bars operating under dierent load condi-
tions, using a data window of 500 samples and a sampling frequency
of 1000Hz. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 106
xii
List of Figures
1.1. A ow chart of a typical MCSA system for broken rotor bar diagnosis. 3
2.1. Spectra of the simulated stator current of a 5.5kW induction motor with
32 total rotor bars operating under full load condition, with respect to
the number of broken rotor bars . . . . . . . . . . . . . . . . . . . . 13
xiii
LIST OF FIGURES
5.5. DFT spectrum of the current signal of Machine 2 with 2 broken rotor
bars operating under full load. The data window length is 5000 samples
using a sampling frequency of 1000Hz. . . . . . . . . . . . . . . . . 66
5.6. DFT spectrum of the current signal of Machine 2 with 2 broken rotor
bars operating under full load. The data window length is 1000 samples
using a sampling frequency of 1000Hz. . . . . . . . . . . . . . . . . 66
5.7. DFT spectrum of the current signal of Machine 2 with 2 broken rotor
bars operating under full load. The data window length is 500 samples
using a sampling frequency of 1000Hz. . . . . . . . . . . . . . . . . 67
5.8. DFT spectrum of the current signal of Machine 2 with 2 broken rotor
bars operating under 25% of full load. The data window length is 2000
samples using a sampling frequency of 1000Hz. . . . . . . . . . . . . 67
xiv
5.12. M AEf req of the 6 order PA frequency estimator of broken rotor bar
sideband frequencies with respect to the window length when using
1000Hz sampling frequency for 100 runs. . . . . . . . . . . . . . . . 77
5.16. DFT spectrum of the same signal data used in Figure 5.14 and Fig-
ure 5.15 but using a window of only 200 samples with the sampling
frequency of 400Hz. . . . . . . . . . . . . . . . . . . . . . . . . . . 81
xv
xvi
Nomenclature
A/D Analogue/Digital
CT Current Transformer
LS Least Squares
PA Prony Analysis
xvii
xviii
Chapter 1.
Introduction
modern life. Generally, they are robust and reliable. However, due to the com-
bination of poor working environments, heavy duty cycles, and installation and
manufacturing factors, internal faults often occur on the rotor, stator, bearing and
accessory parts of induction machines. The most common faults that induction
machines are aicted with include broken rotor bars, stator core and winding
faults, lamination damage, air gap eccentricity and bearing failures [1].
The faults mentioned above are potential hazards to the reliability and safety
of operation, and also increase the operational costs. The broken rotor bar is a
common type of fault in induction machine. Although it does not cause motor
failure initially, broken bar faults signicantly lower the eciency and shorten
and sparking caused when induction motors operating with broken rotor bars can
Therefore, the early detection of faults to prevent motor failures and potential
hazards is vital and critical to industry. The prediction of incipient faults can also
help reduce the operational costs. Such advanced warning is obviously desirable
since it allows maintenance sta to schedule outages more freely, resulting in lower
1
Chapter 1. Introduction
predict incipient machine faults. The condition monitoring and fault diagnostics
for induction machines is a vast area of study. However, the key point is to
Depending on the type of fault, the measurement and the analysis method both
thesis, the motor stator current representations of broken rotor bar faults will be
investigated and analyzed. Other methods including monitoring the core temper-
ature, bearing vibration level, and pyrolysed products have also been reported in
defects, partial discharge and lubrication oil and bearing degradation [3].
fault diagnostics are the mechanism and the representation of a specic fault,
and the feasible diagnostic approaches for practice. Research has found that the
of stator current [4]. This has promoted the Motor Current Signature Analy-
sis (MCSA), which was systematically developed in the end of 20th century, to
and a fault detection algorithm [6]. A owchart showing the information ow in
2
1.3. Motivation
Figure 1.1.: A ow chart of a typical MCSA system for broken rotor bar diagnosis.
a typical MCSA system for broken rotor bar diagnosis is illustrated in Figure 1.1.
The stator current is measured by a current transformer (CT), and then passed
through the signal processing box for spectral analysis. During the signal process-
and nally transformed into the frequency domain. By investigating the frequency
components which are present in the spectrum, fault diagnosis algorithms can be
The MCSA approach has several advantages. Firstly, it uses stator current as
the supply cable, without interfering with the machine. This is a great advantage
Broken rotor bars is a frequent fault in induction machines that can be diagnosed
with the MCSA approach. It has been a popular topic of research in recent decades
[7][8][9][10]. In this thesis, the cause, impact, modelling, and detection of broken
rotor bar faults are investigated. A dynamic model of induction motor with broken
1.3. Motivation
The typical symptom of broken rotor bar faults utilized for diagnosis purpose
frequency in the motor stator current spectrum [11]. They are called the broken
rotor bar sideband frequencies. These sideband frequency components are usually
3
Chapter 1. Introduction
very close to the fundamental frequency and have relatively small amplitudes. This
combined with low signal to noise ratio makes the task of selecting a frequency
has been previously adopted in the implementation of MCSA [9] [12]. However,
inherent disadvantages of using DFT, such as the impact of side lobe leakage and
the limitation of frequency resolution, limit its applicability. The two broken rotor
bar sideband frequencies move along with the variation of the rotor speed, which
is inuenced by the machine load condition. The sideband frequencies can be very
close to the fundamental frequency when the load is light. This requires the data
window used for DFT to be enlarged [13]. Additionally, DFT requires the values
the current signal. Sometimes only restricted data records are available. These
Therefore, in most applications reported in the literature, where DFT is used for
the signal processing stage of MCSA, the machine load is usually xed at full load
[8].
Due to those limitations of DFT, other methods for spectral analysis become
spectral analysis method developed based on the original work of the French math-
ematician, Gaspard de Prony [14]. In this thesis, Prony Analysis is proposed and
exploited for signal processing to improve the broken rotor diagnosis result. This
in the detection of broken rotor bar sideband frequencies by using very short data
acquisition windows. Such technique overcomes the drawbacks of DFT and has
high value in practical implementation in light and variable load conditions. More-
over, it is also possible to extend this method to diagnose other types of motor
the operations of an induction motor with broken bars in its rotor. The motivation
to use simulations is fueled by the simplicity of varying the number of broken rotor
bars and load conditions, and also for the economic benet of using simulations.
4
1.4. Synopsis of Thesis
tectable via the stator current spectrum; (2) broken bar rotor faults can be mod-
eled and their eect on the stator current can be simulated; and (3) there are
frequency components in the motor stator current using a shorter data window
than DFT. While formulating a plan to investigate these hypotheses, ve questions
What are the indicators of broken rotor bars in the machine stator current
spectrum;
What are the limitations of using the traditional spectral analysis method -
DFT;
What are the factors that aect the performance of the high-resolution tech-
nique.
tion motor with broken rotor bars is described mathematically and constructed
model is used to both investigate the impact of broken rotor bar faults and, to
the implementation of Prony Analysis using both simulated and measured data.
The result and comparisons with DFT are also illustrated. Finally, Chapter 6
5
Chapter 1. Introduction
6
Chapter 2.
2.1. Introduction
Broken rotor bars are a common fault in induction machine rotors. Dedicated
defect as early as possible. In this chapter, features and facts of this fault and
their use in diagnosis are detailed. Up to date research in fault severity prediction
is also reported.
The stator of an induction machine has a cylindrical annulus magnetic core which
is formed by stacking thin electrical steel laminations with uniformly spaced slots
stamped in the inner circumference. Wound poles are formed by connecting the
supply current which induces a rotating magnetic eld in the air gap between the
stator and rotor. The terminals of the three stator phase windings can be an
7
Chapter 2. Broken Rotor Bar Faults in Induction Machines and Non-Intrusive Methods of Detection
The rotor consists of a cylindrical laminated iron core with uniformly spaced
bearings. There are two main types of rotors: the squirrel-cage rotor and the
wound rotor. The squirrel-cage rotor, which is the most commonly used, has two
end rings at both ends of the rotor, with axial bars running the length of the
rotor and soldered onto the rings. There is no insulation between the rotor bars
and the walls of rotor slots. It is typical that lower-resistance cast aluminum or
copper is poured in between the iron laminates, thus the rotor bars carry the vast
majority of the rotor current ow. The windings in a wound rotor are similar to
the distributed windings in the stator. The terminals of the rotor windings are
The induction motor is also called the asynchronous motor. The word induc-
tion refers to the fact that the electromagnetic eld in the rotor is induced by the
stator current, and asynchronous refers to that the rotor operates below the syn-
chronous speed when motoring and above the synchronous speed when generating.
There is no current supply to the rotor. Instead, when three-phase current ows
through the stator windings, a sinusoidally distributed air gap ux is produced,
which generates rotor current. The currents owing in rotor then magnetize the
rotor to establish the revolving rotor magnetic eld. This magnetic eld interacts
with the stator magnetic eld to force the rotor to rotate into synchronization
The mechanical angular speed of the rotor is always lower than the angular speed
of the synchronous rotating stator eld in the air gap of a motor. This velocity
dierence is the so called slip speed. For an induction machine with P poles, the
ratio of slip speed to the synchronous speed in mechanical radians is called the
sm rm
s= (2.1)
sm
2
where rm is the rotor rotating speed and sm = is the synchronous speed
P e
in mechanical radians. e is given as the angular speed of stator magnetic motive
The product of slip and fundamental frequency (frequency of the excitation cur-
8
2.3. Induction Machine Broken Rotor Bar Faults
rents) f , sf , is called the slip frequency. The magnitude of the currents owing
in the rotor is determined by the magnitude of the induced rotor voltages and
the rotor circuit impedance at slip frequency [15]. Slip is always positive if the
machine is operating in motoring mode. When the motor is lightly loaded, the
rotor rotates at a very high speed so that the slip is very small. When the motor is
heavily loaded the rotor will rotate at a relatively lower speed causing an increase
in the slip.
Regardless of the connecting pattern, rotors are made of skewed solid metal lam-
inations which are arranged around its cylindrical surfaces. The laminated bars
and end rings can sometimes crack or break, resulting in the so called broken rotor
bar faults.
Broken rotor bars are usually caused by fatigue stresses owe to frequent start-ups.
the starting current in the rotor 5 to 8 times larger than the rated current and
also creates high centrifugal loadings on the end rings of the cage [3]. When the
start-up time is relatively long and the starting is frequent, which are commonly
required in heavy duty cycles, the thermal and mechanical stresses often cause
Faults may also occur during manufacturing process, through defective casting in
the case of die cast rotors, or poor jointing in the case of brazed or welded end
rings. Such defects cause higher resistances in certain parts of the rotor [3].
In fact, the joints between rotor bars and end rings are the critical locations where
the cracks are most likely to occur. This is because the rotor bars must provide the
braking and accelerating forces on the end ring when the motor changes speed.
Moreover, faulty bars always happen contiguously. This is due to that rotor
bars in the neighborhood of the defective bars suer a greater current ow and
overheating thermal impact, which are the primary causes of iron damage, than
9
Chapter 2. Broken Rotor Bar Faults in Induction Machines and Non-Intrusive Methods of Detection
2.3.2. Impact
Under ideal conditions, the current, voltage and magnetic ux are symmetrically
distributed. However, defects in the machine will distort them. The anomalies of
the rotor physical structure change the rotor resistance and inductance, and then
distort the electrical and magnetic elds, resulting in a modulated stator current
The impact of the broken rotor bars are various. The fault is reected in the stator
current by the presence of twice slip frequency components 2sf around the supply
frequency. Such a cyclic variation in the current reacts back on the rotor will
produce a torque variation and give rise to a like-patterned speed variation [16].
The stator core vibration pattern is also altered by the change of magnetic forces
owing to the change of the air gap ux pattern, resulting in modulated frequency
components in the stator core vibration spectrum [17]. The same frequency com-
ponents as those are in stator core vibration spectrum are also observed in the
axial ux spectrum. The vibration, ux linkage, output torque and instantaneous
power signatures have all been reported to be useful for detection but none of
them shows to be more reliable or feasible than the use of stator current [18].
Defective rotors with broken bars have a number of disadvantages. They signif-
icantly lower the machine's eciency, which considerably increases the already
high electricity costs for industry. Arcing and sparking may occur during motor
ronment. Fractured bars also overheat other bars in the vicinity, which degrades
the insulation and damages the windings. Additionally, if the fault deteriorates,
there are potential hazards of machine breaking down. This is observed in the
simulation when the number of broken rotor bars increases close to one third of
Current
This thesis presents an implementation of MCSA for broken rotor bar detection.
10
2.4. Detection of Broken Rotor Bar Faults
the stator current spectrum of an induction machine with defective rotor bars.
They are formed by the twice slip frequency, analytically expressed as [19]
1s
fbrb = f 2k s (2.3)
P
2k
where
P
= 1, 5, 7, 11, 13.
The amplitudes of these additional frequency components in the stator current are
determined by the fault severity and decrease as the equation index k increases.
Actually, when the number of broken rotor bars is much smaller than the number
torque at 2sf directly. The (1 + 2s) f component is caused by the speed ripple
As the fault becomes severer, higher order harmonics will then arise. It is under-
standable as that the more rotor bars are defective, the more seriously the stator
current will be modulated. This can be observed from Figure 2.1, which shows
the stator current spectra with respect to dierent numbers of broken rotor bars.
The simulated stator current is from a 5.5kW induction motor operating under
full load condition. The same spectral lines are also observed in the spectrum of
measured data shown in Section 5.6. Because of this, the two sideband frequen-
broken rotor bar faults and have been widely adopted in most practical applica-
tions. They give a straight forward indication of the extent of rotor damage, and
From Eq. (2.1) it is learned that the slip s is dependent on the rotor speed. Thus,
the two broken rotor bar sideband frequencies move as the rotor speed changes.
Figure 2.2 illustrates the movement of the broken rotor bar sideband frequency
one fractured rotor bar operating under 100%, 75%, 50% and 25% of rated load
together. The result clearly demonstrates that for a lighter machine load, the
11
Chapter 2. Broken Rotor Bar Faults in Induction Machines and Non-Intrusive Methods of Detection
20
40
Amplitude (dB)
60
80
100
120
0 50 100 150 200 250
Frequency (Hz)
20
40
Amplitude (dB)
60
80
100
120
0 50 100 150 200 250
Frequency (Hz)
20
40
Amplitude (dB)
60
80
100
120
0 50 100 150 200 250
Frequency (Hz)
12
2.4. Detection of Broken Rotor Bar Faults
20
40
Amplitude (dB)
60
80
100
120
0 50 100 150 200 250
Frequency (Hz)
20
40
Amplitude (dB)
60
80
100
120
0 50 100 150 200 250
Frequency (Hz)
Figure 2.1.: Spectra of the simulated stator current of a 5.5kW induction motor
with 32 total rotor bars operating under full load condition, with
respect to the number of broken rotor bars .
0
25% load
50% load
20 75% load
Full load
40
Amplitude (dB)
60
80
100
120
40 45 50 55 60
Frequency (Hz)
Figure 2.2.: Spectra of the simulated stator current of a 5.5kW induction motor
with 1 broken rotor bar with respect to dierent load conditions.
13
Chapter 2. Broken Rotor Bar Faults in Induction Machines and Non-Intrusive Methods of Detection
The amplitudes of broken bar sideband components indicate the existence of a ro-
tor bar fracture. However, the (1 2s) f sideband frequencies can be still detected
modulation produced by other events, for example pulsating loads and the natural
imbalance of the rotor structure. This can confuse the decision making and make
In practice, detection indices are needed in order to set a threshold for the healthy
certain operating condition relate to the presence or absence of broken rotor bars
a knowledge based system that may include all possible fault scenarios in a data
base. Bellini [5] has proposed an empirical formula to calculate the threshold
is given by
IBB 0.5
= (2.4)
I Nb
where IBB and I are the amplitudes of the (1 2s) f sideband and the fundamen-
tal frequencies in the stator current spectrum, respectively, and Nb is the number
of total rotor bars. This equation trades o the eects of the intrinsic asymme-
try and that of the rst cracked bar, and depends on the machine size and thus
the total number of rotor bars. If the ratio of the amplitudes of the (1 2s) f
0.5
sideband and the fundamental frequencies is higher than , it is considered that
Nb
0.5
there are broken rotor bars; if the ratio is smaller than , it is considered that
Nb
the machine rotor is healthy.
Another detection index threshold was proposed by Kliman [7]. He claims that
component and the fundamental frequency is less than 60dB, there is probably no
fault; if the dierence is at least 54dB, there is, very likely, a cracked bar; and if
14
2.4. Detection of Broken Rotor Bar Faults
practice. The fault severity, which means the number of broken rotor bars in this
context, is always highly desired for the purpose of decision making on equipment
bars and the amplitudes of the sideband frequencies indicate the possibility of a
quantitative index of the fault severity. Figure 2.3 presents an example revealing
IBB
IdB = 20 log (2.5)
I
A 5.5kW induction motor with various numbers of defective rotor bars, which are
detailed in Chapter 5, has been simulated using the model presented in Chapter 3,
to generate the data. The load eect is also taken into account in the simulations.
Figure 2.3 shows that the amplitude of the lower broken bar sideband frequency
(1 2s) f increases along with the accretion of the number of broken rotor bars. It
can also be observed that a lighter load causes the sideband frequency of a smaller
However, the fault severity has a greater impact on the amplitude of the broken
There has not been any analytical formulas which link the amplitudes of the
broken rotor bar sidebands with the actual number of fractured rotor bars since
the sideband amplitude is modied by the winding, pitch and distribution factors
and the leakage inductance [7]. However, several prediction equations which give
experimental experience have been proposed in earlier research. There are three
Prediction 1
According to Bellini [5], based on the assumption of constant load, the prediction
formula is
IBB nbb
= (2.6)
I Nb
where nbb is the number of broken rotor bars. When the machine load, and
15
Chapter 2. Broken Rotor Bar Faults in Induction Machines and Non-Intrusive Methods of Detection
10
40
45
50
25% 50% 75% 100%
Load conditions (percentage of full load)
consequently the rotor speed, are not constant, IBB should be replaced by the
Prediction 2
The second quantitative fault evaluation equation is proposed by Hargis [16] as
IBB sin
= (2.7)
I P (2 )
where is the electrical angle of a contiguous group of broken rotor bars, given
by
P nbb
= (2.8)
Nb
and P is the number of machine poles. This method makes the assumptions of
Prediction 3
Thomson [2] proposed a modied version of Hargis's prediction equation Eq. (2.7),
given as
16
2.4. Detection of Broken Rotor Bar Faults
0
Prediction 1
5 Prediction 2
Prediction 3
10
20
25
30
35
40
45
50
0 1 2 3 4 5 6 7 8 9
Number of broken rotor bars
Figure 2.4.: The prediction curves of (1 2s)f current sideband frequency ampli-
tudes in dB relative to the fundamental frequency, obtained by using
three prediction equations Eq. (2.6) (2.7) and (2.9) with respect to
the number of total rotor bars Nb = 32.
2Nb
nbb = D (2.9)
10 20 + P
where D is the amplitude dierence between the lower sideband frequency (1 2s) f
and the supply frequency f in decibel.
To study the property of these prediction equations, Figure 2.4 reveals the trend of
the amplitude changes of the lower broken bar sideband (1 2s) f with respect to
fault severity, indicated by the above three prediction equations. The machine is
a 5.5kW three-phase induction machine with 32 rotor bars. Each of the predicting
curves clearly shows that the sideband amplitude increases with the number of
broken bars when this number is less than half of the total rotor bar number in
one rotor phase. However, the curve of Prediction 2 falls down after the number
of broken rotor bars is greater than 4. This is due to the assumption made in
Prediction 2 that the number of defective rotor bars should be much smaller than
the total rotor bar number. The curve of Prediction 3 has an improved tendency
with respect to the number of broken rotor bars even when more than half of the
total rotor bars in one rotor phase fail. Thus, unlike Prediction 2, Prediction 3 does
not constrain nbb . The curve of Prediction 1 shows a similar trend to Prediction
17
Chapter 2. Broken Rotor Bar Faults in Induction Machines and Non-Intrusive Methods of Detection
3 but with a higher amplitude. This dierence decreases as the number of broken
nicantly by external factors, for example, load condition, because of the inherent
drawbacks of DFT. Failures of detection of rotor faults using MCSA have been
reported in the literature [9] and [16], due to the randomly uctuating load.
It is also a major problem in light load conditions, as the two broken bar sideband
detect them. Further details of the drawbacks of DFT is described in the Section
4.2 of Chapter 4.
18
Chapter 3.
In order to investigate the impact of broken rotor bars and to generate a set of
machine model has been developed. Simulations have been used for analysis in
this research due to the benets of model based studies the overall nancial
and manpower cost for simulation is signicantly less than that needed for ex-
oratory experiments need to be designed and set up, which requires the assistance
can be avoided. Thirdly, physically breaking the rotor bars is not a easy task.
Holes are usually drilled in a dierent number of the rotor bars to construct the
dierent degrees of broken rotor bar fault. In addition, for each case that to be
studied, the motor has to be opened and the rotor has to be manually installed.
If broken rotor bar faults in motors of dierent power is to be studied, the work
needs to be repeated for each motor, and the high power motors can be physically
really huge. In contrast, using a machine model simulations provides the benets
bars, and load conditions. In the end of this chapter, limited laboratory results
3.1. Introduction
A reliable model is essential for accurate simulation and fault prediction. The
19
Chapter 3. Model of an Induction Machine with Broken Rotor Bars
model should be realistic, yet general. It must be able to incorporate all of the
ations, and be able to simulate the operation of both healthy induction machines
and those with defective rotors. The desired simulated stator current needs to
be able to reect on the impact of broken rotor bar faults and their inuencing
factors. All machine parameters should be accessible for variations in values. The
There are many dynamic induction machine models that have been well developed
via dierent approaches [21] [22] [23]. A mathematical model based on the Coupled
induction machine model, the next step is to specically model the broken rotor
in 3.2.2 in detail.
and is simple to use [15]. In this research, the machine model has been constructed
with programs coded in Matlab/Simulink. Simulation results are used for the
study of broken rotor bar detection using Prony Analysis. The simulation results
are also presented and compared with experimental results in this chapter to
terms of equivalent rotor resistance [24]. The stator and rotor circuits of an
induction machine are magnetically coupled. Using the Coupled Circuit Approach
of the rst-order dierential equations of the voltages in the motor natural abc
dabc
s
vsabc = rs iabc
s + (3.1)
dt
20
3.2. Mathematical Model
dabc
r
vrabc = rr iabc
r + (3.2)
dt
and
abc
Notations vsabc , iabc abc abc
s , s , v r , ir and abc
r are column vectors representing the
voltages, currents, and ux linkages of each phase in either stator or rotor, where
the subscripts s and r indicate stator and rotor, respectively, and the superscript
abc denotes the three phases. In an ideal induction machine, the resistance in
rs,r 0 0
rs,r = 0 rs,r 0
0 0 rs,r
Notations Labc
ss and Labc
rr are matrices of the self inductance of the stator and the
Lls + Lss Lsm Lsm
Labc = Lsm Lls + Lss Lsm (3.5)
ss
Lsm Lsm Lls + Lss
Llr + Lrr Lrm Lrm
Labc = Lrm Llr + Lrr Lrm (3.6)
rr
Lrm Lrm Llr + Lrr
21
Chapter 3. Model of an Induction Machine with Broken Rotor Bars
where Lls is the per phase stator winding leakage inductance, Llr is the per phase
rotor winding leakage inductance, Lss is the self inductance of the stator winding,
Lrr is the self inductance of the rotor winding, Lsm is the mutual inductance
between the stator windings and Lrm is the mutual inductance between the rotor
windings.
cos r + 2 2
cos r 3
cos r 3
T
Labc = Labc
2
2
= L cos cos cos + (3.7)
sr rs sr r 3 r r 3
2 2
cos r + 3 cos r 3 cos r
where Lsr and Lrs are the peak values of the stator-to-rotor and rotor-to-stator
mutual inductance, respectively, r is the electrical angle between the a-phase axes
of the stator and the rotor, namely the rotor angle, and the superscript T denotes
Above equations together show that the stator and rotor voltage equations are
coupled to one another through the mutual inductance terms, which are a function
of rotor angle [15]. Thus, the coupled terms interact and vary with the rotor
For a complete model, a torque equation is also needed. The torque equation is
deduced by applying energy conservation, which is given by Eq. (3.8) in the case
of an induction machine.
where Pin is the power input to the induction machine, Pem is the rate of energy
converted to mechanical work on the rotor shaft, Ploss is the copper loss and
Pmm represents the rate of exchange of magnetic eld energy between windings.
The electromechanical torque is dened by the Pem term divided by the rotor
Pem
Tem = . (3.9)
rm
22
3.2. Mathematical Model
For convenience, mathematical transformations are often used to study the rotat-
ing electric machinery. This is because the coecients of the voltage dierential
arbitrary rotating qd0 reference frame [26]. The quadrature and direct axes are
tionship between abc and arbitrary qd0 reference frames is illustrated in Figure
3.1, where is the stator transformation angle, which is the angle between the
q -axis of the arbitrary reference frame that rotates at an angular speed of in the
direction of the rotor rotation and the a-axis of the stationary stator winding. It
can be calculated by
t
(t) = () d + (0) (3.10)
0
rotor rotation in radian per second. It is easy to observe that the transformation
angle for rotor parameters is ( r ), where the rotor angle may be expressed as
t
r (t) = r () d + r (0) (3.11)
0
The angles (0) and r (0) stand for the initial angular values of the transformation
angle and rotor angle, respectively, at the time t = 0.
where the elements of the column vectors fqd0 and fabc can be the phase voltages,
currents, or ux linkages of the machine, and Tqd0 is the qd0 transformation matrix
cos cos 2 2
3
cos + 3
2
Tqd0 () = sin sin 2 2
3
sin + 3
(3.13)
3
1 1 1
2 2 2
23
Chapter 3. Model of an Induction Machine with Broken Rotor Bars
Figure 3.1.: Relationship between abc and arbitrary qd0 reference frames.
It should be noted that f0 represents a scaled version of the zero sequence terms
where
cos sin 1
Tqd0 ()1 = cos 2 2
sin 1 (3.15)
3 3
cos + 2 sin + 2
3 3
1
The arbitrary qd0 reference frame can be chosen to rotate at a designated speed
in the same direction as the rotor rotation to simplify the model. In practice,
two often used reference frames for the analysis of induction machine in dierent
scenarios are the stationary and the synchronous reference frames. The rotor ref-
erence frame rotating at the same speed as the rotor is used infrequently. With
frame as desired. This can be easily accomplished by setting the reference rotat-
ing speed equal to either zero, the synchronous speed, or the rotor speed, for
24
3.2. Mathematical Model
the abc reference frame to the arbitrary dq0 reference frame, the transformation
functions Eq. (3.12) and Eq. (3.14) are applied to the voltages, currents and
d T1 qd0
qd0 () s
vsqd0 = Tqd0 () rs T1
qd0 () iqd0
s + Tqd0 () (3.16)
dt
1 qd0
d T qd0 ( r ) r
vrqd0 = Tqd0 ( r ) rr T1 qd0
qd0 ( r ) ir + Tqd0 ( r )
dt
(3.17)
Substituting Eq. (3.13) and Eq. (3.15) into Eq. (3.16) and Eq. (3.17), and
dqd0
s
vsqd0 = rqd0 qd0 qd0
s is + E s + (3.18)
dt
dqd0
r
vrqd0 = rqd0
r ir
qd0
+ Eqd0
r + (3.19)
dt
where
0 1 0 0 1 0
Eqd0 = 1 0 0 qd0
s , Eqd0 = ( r ) 1 0 0 qd0
r ,
s r
0 0 0 0 0 0
d d (r )
= , r = ,
dt dt
and
1 0 0 1 0 0
rqd0 = rs 0 1 0 , rqd0 = rr 0 1 0 .
s r
0 0 1 0 0 1
The ir terms are the voltages produce copper losses, the E terms represent the
speed voltages which determine the rate of energy converted to mechanical work,
25
Chapter 3. Model of an Induction Machine with Broken Rotor Bars
d
and the terms are the rate of exchange of magnetic eld between windings.
dt
The details of the derivation of the Eq. (3.18) and Eq. (3.19) can be found in
Appendix B.1.
By applying the Park's transformation to the ux linkages, inductances and cur-
qs Lls + Lm 0 0 Lm 0 0 iqs
ds
0 Lls + Lm 0 0 Lm 0
ids
0s 0 0 Lls 0 0 0 i0s
=
0qr 0
i0qr
Lm 0 0 Llr + Lm 0 0
0dr
0 Lm 0 0 L0lr + Lm 0
i0dr
00r 0 0 0 0 0 L0lr i00r
(3.22)
The derivation of Eq. (3.22) is presented in detail in Appendix B.2. The primed
rotor quantities in the equation denote values referred to the stator side. The
by equation
3 3 Ns 3 Ns
Lm = Lss = Lsr = Lrr (3.23)
2 2 Nr 2 Nr
where Ns and Nr are the numbers of coil in stator and rotor, respectively.
Eq. (3.22) is then substituted back into Eq. (3.18) and Eq. (3.19) to form
the entire machine voltage equations in the arbitrary qd0 reference frame. The
frame is shown in Figure 3.2. xls , x0lr and xm denote the stator leakage reactance,
the referred rotor leakage reactance, and the stator magnetizing reactance in ohms.
Eqs , Eqr , Eds and Edr are speed voltages dependent on the speed terms and r .
The torque equation can be transformed into the arbitrary qd0 reference frame in
a similar manner. The power conservation equation Eq. (3.8) can be extended to
26
3.2. Mathematical Model
(a) q-axis
(b) d-axis
(c) zero-sequence
27
Chapter 3. Model of an Induction Machine with Broken Rotor Bars
0 0 0 0 0 0
Pin = vas ias + vbs ibs + vcs ics + var iar + vbr ibr + vcr icr (3.24)
3 0 0 0 0 0 0
Pin = vqs iqs + vds ids + 2v0s i0s + vqr iqr + vdr idr + 2v0r i0r (3.25)
2
Thus, the equation for electromechanical torque in the arbitrary qd0 reference
frame is
3 P
(ds iqs qs ids ) + ( r ) 0dr i0qr 0qr i0dr
Tem = (3.26)
2 rm
where P is reminded as the number of machine poles. The rotor mechanical and
2
rm = r
P
The derivation of Eq. (3.26) can be found in Appendix (B.3). The torque equation
can also be expressed by using the ux linkage relationship in Eq. (3.22), that is
3P
Tem = (ds iqs qs ids ) (3.27)
22
Moreover, machine parameters are always determined in terms of the ux linkage
= b and x = b L
b = 2f.
Having constructed a general model for induction machines, the next key task is
28
3.2. Mathematical Model
the air gap between the machine stator and rotor. In turn this will eventually
model, an additional resistance is added into each of the rotor phases to simulate
broken rotor bar faults [24] [21]. The rotor resistance matrix rr in Eq. (3.2) should
be modied accordingly as
(rr + rra ) 0 0
r?r = 0 (rr + rrb ) 0 (3.28)
0 0 (rr + rrc )
where rra , rrb and rrc represent rotor resistance changes in phase a, b and c,
3nbb
rra,b,c = rr (3.29)
Nb 3nbb
where nbb and Nb are reminded as the number of broken and the total rotor bars,
respectively.
The function of rotor resistance change rra,b,c due to rotor defects is derived
based on the assumption that the broken bars are contiguous, neither the end
ring resistance nor the magnetizing current are taken account. The rotor phase
" #
(2Ns )2 2
rr = rb + 2 r e
Nb /3 Nb 2 sin 2
where rb and re represent the rotor bar and end-ring resistances, respectively, and
(2Ns )2
rr rb
Nb /3
Then, the resistance of one phase rotor with nbb contiguous broken rotor bars
becomes
29
Chapter 3. Model of an Induction Machine with Broken Rotor Bars
(2Ns )2
rr? rb
Nb /3 nbb
3nbb
r = rr? rr = rr
Nb 3nbb
Next, substitute the modied rotor resistance for the original rotor resistance
matrix in Eq. (3.2), and then apply the previously described method steps of
transforming quantities from the abc to qd0 reference frame, yielding [21]
r11 r12 r13
4r?qd0 = r21 r22 r23 (3.30)
r
r31 r32 r33
30
3.3. Model in Matlab/Simulink
system simulation can be completed by using the Simulink model editor to create
block diagrams, and then commanding Simulink to run the system model for a
specied start and stop time. A Simulink block diagram model can be manipu-
and [27] is that integral equations are preferable than dierential equations. Addi-
ables [15]. Using these suggested approaches a model can be more visually com-
according to the mathematical description in 3.2. The eect of broken rotor bars
When use the stationary reference frame, the stator speed voltage terms
0 1 0
Eqd0 = 1 0 0 qd0
s s
0 0 0
in Eq. (3.18) will be eliminated. Eq. (3.18), (3.19) and (3.22) are often expressed
in terms of ux linkage per second and reactance, as these are the parameters
which are usually measured in experiment. With the rotor parameter values re-
1 d qd0
s
vsqd0 = rqd0 qd0
s is + (3.31)
b dt
0 1 0
r 0qd0 1 d 0qd0
vr0qd0 0qd0 0qd0
= rr ir 1 0 0 r +
r
(3.32)
b b dt
0 0 0
31
Chapter 3. Model of an Induction Machine with Broken Rotor Bars
qs xls + xm 0 0 xm 0 0 iqs
ds
0 xls + xm 0 0 xm 0
ids
0s 0 0 xls 0 0 0 i0s
=
0 0
i0qr
qr
xm 0 0 xlr + xm 0 0
0
dr
0 xm 0 0 x0lr + xm 0
i0dr
0
0r 0 0 0 0 0 x0lr i00r
(3.33)
As stated, in models built in Simulink, integral equations are used rather than
(3.33) can then be rearranged as follows for simulation [15]. A detailed derivation
rs
qs = b vqs + (mq qs ) dt
xls
rs
ds = b vds + (md ds ) dt (3.34)
xls
b
i0s = {v0s i0s rs } dt
xls
rr0
0 r 0
0 0
qr = b + dr + 0 mq qr dt
vqr
b xlr
rr0
0 0 r 0 0
dr = b vdr qr + 0 (md dr ) dt (3.35)
b xlr
b
i00r = 0 0
{v0r i00r rr0 } dt
xlr
mq = xm iqs + i0qr
(3.36)
md = xm (ids + i0dr )
32
3.3. Model in Matlab/Simulink
qs mq
qs = xls iqs + mq iqs =
xls
ds md
ds = xls ids + md ids =
xls
0 0 (3.37)
0
qr mq
qr = x0lr i0qr + mq i0qr =
x0lr
0 0 0
dr = x0lr i0dr + md i0dr = dr 0 md
xlr
where
0
qs qr
mq = xM + 0
xls xlr
(3.38)
0
ds dr
md = xM + 0
xls xlr
and
1 1 1 1
= + + 0 (3.39)
xM xm xls xlr
It should be mentioned that for a squirrel cage induction machine, the rotor volt-
0 0 0
ages vqr , vdr and v0r in the qd0 reference frame are equal to zero [28].
drm
Tem = J + Tload + Tdamp (3.40)
dt
where Tem is the electromechanical torque in Eq. (3.27), Tload is the mechanical
torque applied by load, Tdamp is the damping torque in the direction opposite to
drm
the rotor rotation, and J is the inertia torque to the accelerating torque. J
dt
2
denotes the rotor inertia in kg m .
tuted of Function Blocks. Each function block implements one of the equations
33
Chapter 3. Model of an Induction Machine with Broken Rotor Bars
Figure 3.3.: Block diagram of the abc qd0 conversion module in Simulink.
in 3.3.2. Shared variables are transferred between blocks. Any variable can be con-
veniently traced and saved by using the Scope and the To Workspace blocks,
respectively. Some other Simulink blocks used in the model include, but not lim-
ited in, are the Clock, Sum, Gain, Mux, Integrator and Trigonometric
Function blocks.
The induction motor model contains four major modules: the abc qd0 conver-
sion module, the unit vector calculation module, the induction motor qd0 model
module, and the qd0 abc conversion module. Each module is explained in detail
as below.
frame by applying the Park's transformation function Eq. (3.12). In this model
Thus the stator phase voltages are transformed. Figure 3.3 shows the Simulink
module has rotor angular speed as its input, and sin r , sin 2r , cos r and cos 2r
as outputs. The angle r is calculated directly by using Eq. (3.11), and is used
as inputs to the transformation functions Eq. (3.12). The unit vectors sin r and
cos r are obtained by taking the sine and cosine of r , and are used for calculating
stator and rotor variables in the qd0 sequences.
34
3.3. Model in Matlab/Simulink
Figure 3.4.: Block diagram of the unit vector calculation module in Simulink.
This block is also used to set the rotor starting position by assigning the initial
four subsystem blocks: the q, d and 0 sequence modules and a rotor module,
coupling with one another. In each of the qd0 sequences modules, currents and
ux linkages are calculated. Eq. (3.34) to (3.37) are properly organized in each
module, so that in each state integral is a function of only other state variables
and model inputs. The rotor block calculates the rotor output torque and the
rotor speed using Eq. (3.40). The structure of the q -axis and zero sequence blocks
are shown in Figure 3.5. The d-axis block is similar to the q -axis block. The rotor
taken as inputs and then transformed to the three-phase currents in normal abc
reference frame. It is from this module the stator current is collected for the
analysis for broken rotor bar detection. Figure 3.7 presents the inside of this
block.
35
Chapter 3. Model of an Induction Machine with Broken Rotor Bars
Figure 3.5.: Block diagram of the induction motor model module in Simulink.
36
3.3. Model in Matlab/Simulink
Figure 3.7.: Block diagram of the qd0 abc conversion module in Simulink.
37
Chapter 3. Model of an Induction Machine with Broken Rotor Bars
3.4. Simulations
3.4.1. Initialization
must also be set up. Both of these tasks can be done by using the M-Files scripts
motor model are the three-phase supply voltage and the load torque. The outputs
are the three-phase currents, the resulting electromechanical torque, and the rotor
rotating speed. Both the number of broken rotor bars and the machine load can
Based on the described induction motor model and machine parameters that are
Matlab/Simulink have been implemented to obtain the stator current, rotor speed
and output torque. In order to validate this model, laboratory tests on the real
motor described above have also been conducted. The rotor speed and stator
current are measured and compared with the simulated data. Figure 3.8 presents
the output torque curve obtained from the simulation. The simulated rotor speed
is plotted together with the measured signal in Figure 3.9. It can be observed that
there is a considerable agreement between the two speed curves. The simulated
stator current is plotted with a small phase shift in respect to the measured data
for comparison in Figure 3.10. The two stator current plots also match with each
other well. Dierences in magnitude in the transient state exist but both the
simulated and measured currents enter the steady state at the same time. Also,
zoomed in view of the comparison in steady state is presented as only the current
in steady state is related to the methods of broken rotor bar diagnostics in this
thesis. The spectra of the simulated stator current of the induction machine with
38
3.4. Simulations
140
120
100
80
Torque (Nm)
60
40
20
20
40
0 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6 1.8 2
Time (s)
1.5
Measured data
Simulated data
Rotor speed in per unit
0.5
0
0 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6 1.8 2
Time (sec)
Figure 3.9.: Comparison of the simulated and measured rotor speed curves.
39
Chapter 3. Model of an Induction Machine with Broken Rotor Bars
80
Measured data
Simulated data
60
20
20
40
60
80
0 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6 1.8 2
Time (sec)
(a)
20
Measured data
Simulated data
15
10
Stator current (A)
10
15
20
1 1.05 1.1 1.15 1.2 1.25 1.3
Time (sec)
40
Chapter 4.
4.1. Introduction
Discrete Fourier Transform (DFT), which is the discrete form of Fourier analysis,
is the most commonly adopted tool for signal processing in frequency domain.
algorithm to compute the DFT . However, there are several inherent drawbacks
of DFT, which limit the condition of its application. Trade-os have to be made
accordingly.
Extensive research in the last a few decades has led to a great development of
modern digital spectral estimation techniques [14] [29] [30]. Their advantages
such as higher frequency resolution and increased signal detectability have shown a
now has been largely extended for dealing with data corrupted with noise. Its
most useful feature for motor condition monitoring applications is that it can
maintain high resolution in frequency domain whilst using short data windows.
This advantage overcomes the problems from which DFT suers. In this chapter,
41
Chapter 4. High-Resolution Spectral Analysis
detection results to the desired level of precision are still hard to obtain due to its
ference in hertz between two frequency components which allows to resolve two
time duration over which sampled data is available [13], given by the equation
fs 1 1
f = = =
N N Ts T
where f denotes the frequency dierence, fs is the sampling frequency, N is
the number of data points within the window, Ts is the sampling interval and T
represents the total sampling time. Thus, to obtain a higher frequency resolution,
Another major disadvantage of DFT is that the impact of side wiggles (Gibbs
oscillations) [13]. The implicit windowing process when using DFT causes side lobe
leakage in spectral domain [31], obscuring and distorting other spectral response
in its vicinity. This especially depresses the dierentiation of the broken rotor bar
sideband frequencies as it is the case that two small frequency peaks present closely
to a large peak. There are also other limitations such as that the time domain
which limits the certainty of computing frequency width, magnitude, and phase
[32] and, it is also known that DFT may cause spurious spectral components in
the spectrum, which will confuse the detection on desired frequency components.
Therefore, trade-os among leakage suppression, resolution and stability are hard
chine condition monitoring situations. Short data records are usually required
42
4.2. Comparison Between Discrete Fourier Transform and Prony Analysis
broken rotor bar sideband frequencies. However, on the other hand, a high reso-
lution is required to observe the two broken rotor bar sideband frequencies when
the machine is operating with light load as they can be very close to the funda-
mental frequency. This means longer data acquisition time in the case of using
DFT. Moreover, in practice, sometimes only restricted data records are available.
This also makes enlarging the data window to obtain a high resolution impos-
sible. Thus, the detection of broken rotor bars using DFT can be dicult and
unauthentic.
Prony Analysis is a linear prediction method for modelling a set of uniformly sam-
science [34], environmental engineering [32], radar [35], sonar [36], geophysical
sensing and speech processing [37]. It has the following key features.
Main advantages of Prony Analysis above DFT may be briey summarized that
Prony Analysis does not have the problem of the spectral leakage phe-
nomenon.
Prony Analysis can compute the amplitudes, frequencies, phases and damp-
ing factors of the tted signal whereas DFT can not determine the damping
factors.
43
Chapter 4. High-Resolution Spectral Analysis
equally spaced data points. It was discussed in detail by Marple [14] and Therrien
[29]. Here will give a brief review of this technique. Assuming signal data x [n]
has N complex samples x[1], . . . , x[N ], the Prony method will t the data with a
q
X
x [n] = Ak exp [(k + j2fk ) (n 1) Ts + jk ] (4.1)
k=1
the plot of the estimation of the signal within the data window, and that of the
prediction of the future signal after the data window, should t the original signal
Since only real signals are considered, the signal poles exp (k + j2fk ) must ap-
pear in complex conjugate pairs. Thus the q is always assumed to be even for
q
X
x [n] = hk zkn1 (4.2)
k=1
hk = Ak exp (jk )
and
44
4.3. The Original Prony Method
N
X
= | [n]|2
n=1
where
q
X
[n] = x [n] x [n] = x [n] hk zkn1
k=1
representing the complex error between the original data samples x [n] and the
linear approximation x [n]. For a real signal x [n], minimizing the squared error
yields:
= c1 + c2 hk = 0
hk
. (4.3)
= c3 + c4 hk = 0
zk
c1 c4 = c2 c3 ,
solution is available.
and then considering Eq. (4.2) as a set of linear simultaneous equations to solve for
hk . The key of Prony method is in the fact that to see the Eq. (4.2) as the solution
45
Chapter 4. High-Resolution Spectral Analysis
q q
Y X
(z) = (z zk ) = am z pm (4.4)
k=1 m=0
The linear dierence equation whose homogeneous solution is given by Eq. (4.4)
is
q
X
am x [n m] = 0 (4.5)
m=0
available samples and the relationship can be then expressed as the qq Toeplitz
x [q] x [q 1] x [1] a1 x [q + 1]
x [q + 1] x [q] x [2] a2 x [q + 2]
. . .
. = . (4.6)
..
. . . . . .
. . . . .
x [2q 1] x [2q 2] x [q] aq x [2q]
By solving the matrix equation, the am coecients, which are the function of zk ,
can be determined.
Next, the roots of Eq. (4.4) can be determined by polynomial factoring, and the
damping factor k and the sinusoidal frequency fk can be determined from roots
and
Finally, these roots are used to obtain the complex parameter hk in Eq. (4.2).
The amplitudes Ak and initial phases k are determined from hk by using the
relationships
46
4.4. Extended Least Squares Prony Method
Ak = |hk | (4.9)
and
Step 1 Determine the linear prediction parameters that t the observed data.
diction coecients and determine the estimates of the damping factor and
factoring Eq. (4.4) and solving Eq. (4.7) and Eq. (4.8).
Step 3 Solve the original set of linear equation to yield the estimates of the
exponential amplitude and sinusoidal initial phase. This step is to solve the
original matrix equation Eq. (4.2), where the matrix of the time-indexed z
elements has a Vandermonde structure.
This means that the actual noise present in the data will be approximated entirely
of the original Prony method is unstable if there is noise in the signal data.
However, in practice, acquired signal data is always embedded in noise. The Eq.
(4.2) should be modied as the following form for noise corrupted signals [39].
q
X
x [n] = hk zkn1 + [n] (4.11)
k=1
where [n] is known as the exponential approximation error and noise which is
assumed to be Gaussian distributed and white. If the noise present in the signal
is not white then standard ltering methods can be used to whiten the signal so
47
Chapter 4. High-Resolution Spectral Analysis
are usually more data points than the minimum number of samples needed to t
procedures and Singular Value Decomposition (SVD) [40] are employed in the rst
and third steps of the original Prony method, and this is called the extended Least
Squares (LS) Prony method [41]. The goal of the algorithm is to minimize the
total squared error over all sampled data with respect to the complex parameters
As mentioned in Section 4.3 that the minimization of the norm of the exponential
error [n] is a dicult nonlinear problem. The extended LS Prony method employs
determined approach, N data points, where N > 2q , are utilized to compose the
linear prediction equations. Thus, the linear dierence equation Eq. (4.5) should
be modied to [14]:
q
X
am (x [n m] + [n m]) = 0 (4.12)
m=0
LS Prony method ignores the past noise values, then the Eq. (4.12) becomes
q
X
am x [n m] = e [n] (4.13)
m=0
which actually denes a forward linear prediction error equation. Thus each am
terms a linear prediction parameter and is selected to minimize the linear predic-
PN
tion total squared error n=q+1 |e [n]|2 . The minimization can be done by using
the covariance method, or alternatively, by using the SVD for ecient computa-
The third step of the original Prony method also switches to a linear least square
H
Z Z h = ZH x
(4.14)
can be yielded from Eq. (4.11). The equation components, which are the N q
matrix Z, the q1 vector h, and the N 1 data vector x are dened as
48
4.5. Iterative Prony Method
1 1 1 h1 x [1]
z1 z2 zp h2 x [2]
Z= . . .. .
, h= .
, x= .
. . .
. . . . .. ..
z1N 1 z2N 1 zpN 1 h3 x [N ]
and the superscript H means the matrix complex conjugate transposition, so that
addictive noise present in the signal data. The LS Prony can deal with practical
mum solution as this approach does not make a separate estimation of the noise
process, but ts the exponentials to any noise present in the data [14]. However,
The Iteratively Reweighted Least Squares (IRLS) Prony method has been devel-
fault records of a power system [33]. The major improvement to the LS Prony
min T W (a)
(4.15)
with respect to a, where the superscript T indicates matrix transpose, and W (a)
is the covariance matrix for the errors [n] at each data point in the rst step of
Prony method. It iteratively minimizes the total squared error, so that to lter
out noise more eciently. Accurate parameter identication has been achieved as
a result.
We start the IRLS Prony method by the model given by Eq. (4.11), noting that
Taking into account that the error-free signal satises exactly the dierence equa-
tion Eq. (4.5), when substitute the error-free data with real signal data, the
dierence equation Eq. (4.12) is satised for each sample in the data window
49
Chapter 4. High-Resolution Spectral Analysis
Xa + b + D (a) = 0 (4.16)
where
h i
aT = a1 a2 . . . aq is the q1 column vectors of dierence equation coef-
cients,
h i
T
= [1] [2] . . . [N ] is the N 1 column vectors of error components
on each sample,
h i
bT = x [q + 1] x [q + 2] . . . x [N ] is the (N q)1 column vectors of data,
x [q] x [q 1] x [1]
x [q + 1] x [q] x [2]
X= . . .. .
is the (N q)q data matrix, and
. . . .
. . .
x [N 1] x [N 2] x [N q]
aq aq1 a1 1 0 0
0 aq aq1 a1 1 0
D= .. .. .. .. .. .. .
is the (N q) N coecients
.
. . . . . . .
0 0 aq aq1 a1 1
matrix for errors.
In order to minimize the sum of squared error over the available data, the error
is expressed by rearranging Eq. (4.16), yielding
where + indicates the matrix pseudoinversion. Thus, the optimal estimates of
n o
min (Xa + b)T W (a) (Xa + b) (4.18)
a
h i1
where W (a) = D (a)D (a)T is a real symmetric positive denite weighting
matrix. The least squares solution is then returned to the linear system Xa + b =
0 with covariance matrix proportional to W (a), subject to the relation given by
Eq. (4.16).
50
4.5. Iterative Prony Method
One aspect of the IRLS method that needs to be addressed to attention is that
because the elements of the weighting matrix W (a) depend on the unknown
at the previous iteration. Thus, results of the LS Prony method are used here as
the initial values of the iteration process. Then an iteratively reweighting process
is the next step based on error residue criteria and the iteration count [33]. In
lscov.
51
Chapter 4. High-Resolution Spectral Analysis
52
Chapter 5.
5.1. Introduction
In this chapter the implementation of Prony Analysis (PA) for induction motor
broken rotor bar diagnostics is described, demonstrated and discussed. There are
three major parts of interest for study. Firstly, the eect of broken rotor bar
fault on motor stator current spectrum will be illustrated with comparisons of the
results between Prony Analysis and Discrete Fourier Transform (DFT). Secondly,
the Prony Analysis will be evaluated in terms of accuracy and limitations. In the
end, the verication of Prony Analysis by using measured stator current data will
be presented.
Simulation data of induction motor stator currents obtained from the model de-
scribed in Chapter 3 is used for the rst two studies and real data measured from
laboratory-based experiments is used for the verication. All data analysis and
To study how the number of broken rotor bars and the machine load aect
53
Chapter 5. Implementation of Prony Analysis for Induction Motor Broken Bar Detection
of noise and load variation using data windows with dierent lengths.
In order to examine the aspects listed above, a number of simulation cases have
been designed. The model parameters for simulation are varied in a systematic
manner. Simulated induction motor stator current signals are analyzed using both
Prony Analysis and DFT for comparison. The method of Prony Analysis employed
in this chapter refers to IRLS Prony in all of the applications, and the model
order is chosen as six, unless otherwise indicated. Inuencing factors to both the
value and the amplitude of broken rotor bar sideband frequencies are investigated.
Studies in Section 5.3 uses simulated data corrupted with noise obtained by adding
to the supply frequency, unless otherwise advised. This value is chosen since the
In the study of the eect of broken rotor bar faults on motor stator current spec-
trum, the number of fracture rotor bars, load conditions and the parameters of the
machine are varied in a systematic manner. Prony Analysis results are presented
Fault Severity A severer fault means a bigger number of broken rotor bars. The
motor breaks down when this number exceeds a certain limit, which is usu-
ally close to one third of the total number of rotor bars. In a squirrel-cage
rotor, one third of the rotor bars together is considered equivalent to one
Load Conditions The machine load is varied from full-load to non-load, giving
a range of the movement of two broken rotor bar sideband frequencies from
54
5.2. Data Acquisition and Preprocessing
Machine number Rated power (kW) Number of poles Number of rotor bars
Machine 1 2.2 4 28
Machine 2 5.5 4 32
Machine 3 35 8 52
hertz. Small load conditions, which refers to conditions that the machine
load is less than 5% of the rated load in this chapter, are also investigated.
generalizing of the machine model and for studying the impact of the ma-
chine power on the broken rotor bar sideband frequencies. The relevant
parameters of the induction machine models utilized for study in the chap-
ter are shown in Table 5.1 whilst full parameters are listed in Appendix
C.
and examining their impact on frequency estimation accuracy. The factors which
are focused on for discussion are the data window length and the signal noise
level. Section 5.5 will give more insights of Prony Analysis to help understand its
Current signals obtained in practice are analog. They need to be sampled for
digital signal processing (DSP) applications. The sampling frequency denes the
number of samples per second sampled from a continuous signal to make a dis-
crete signal. The data window length may be described as the number of data
55
Chapter 5. Implementation of Prony Analysis for Induction Motor Broken Bar Detection
N
Lw = (5.1)
fs
The basic requirement for sampling frequency is the Nyquist Sampling Theorem,
which denes that the lowest sampling frequency should be at least twice as high as
the highest frequency components of the signal. Because of the requirement of the
DSP techniques, the naturally analog stator current signals must be sampled as
discrete data points. Any analog frequencies greater than the Nyquist frequency,
which refers to the frequency component at half the sampling frequency, after
fs
sampling, will alias with frequencies between 0 and Hz. In the digital domain,
2
there is no way to distinguish these aliasing frequencies from the frequencies that
fs
actually lie between 0 and Hz. Therefore, these aliasing frequencies need to be
2
removed from the analog signal before sampling by an A/D converter.
5.2.2.1. Preltering
Filtering in the frequency domain is a usually employed prior to the DSP proce-
dures to gain improved results. For all DFT applications in this chapter, signal
order to decrease the spectral leakage eect and to shape the signal spectrum.
The objective of ltering the signal prior to applying Prony Analysis is to atten-
uate the noise and undesired frequency components and to separate the broken
rotor bar sideband frequency components in the spectrum. By doing so, the per-
lter will pass all frequency components of a signal within a designated frequency
range, namely the pass band, and to reject all other frequency components of
a signal outside this range. Thus, the use of a bandpass lter in the frequency
domain eliminates all other frequency components which are not, or less related
to induction machine broken rotor bar diagnostics, leaving only the fundamental
and the two sideband frequencies. The number of signal poles in the ltered stator
56
5.2. Data Acquisition and Preprocessing
20
20
Magnitude (dB)
40
60
80
100
0 20 40 60 80 100
Frequency (Hz)
current is then known as three. The order of the Prony Analysis algorithm can
Thank to the powerful function and the Graphical User Interface (GUI) design
Design Toolbox [46]. In this research, an FIR equiripple bandpass lter has been
The bandwidth of this lter is 20Hz centered at the 50Hz fundamental frequency.
This is decided by the range of the movement of the two broken bar sideband
In real recorded data, there is such a concern that a DC component may be caused
in the signal by the electronic devices that used in the test. The DC component
can result in signicant errors in the Prony Analysis results. The bias introduced
57
Chapter 5. Implementation of Prony Analysis for Induction Motor Broken Bar Detection
before sent for Prony Analysis. The preprocess includes removing any linear trend
5.2.2.3. Downsampling
Prony Analysis involves the solution of over-determined linear equations and root-
of so, the amount of data used in the algorithm can be a great concern in practice
as a large number of data will increase the complicity of the equations and de-
the data signal can eectively reduce the number of data points and the eort
the original sampling frequency is high. To avoid aliasing, anti-aliasing low pass
While the number of broken rotor bars increases, the anomaly of the ux linkage
within the motor aggravates consequently, which will cause a higher degree of cur-
rent distortion. This phenomenon is observed from the stator current waveform.
Here, Machine 2 is simulated with a supply of 50Hz three-phase voltage with rated
amplitude and loaded with rated load. The number of broken rotor bars is varied
from zero, which indicates the healthy status of the induction motor, up to 8,
Selected estimation and prediction results of Prony Analysis on faulty stator cur-
rents are plotted in the left and right sides of Figure 5.2, respectively, together with
the simulated current signals for comparison. The estimation refers to estimating
the signal data within the data window used for the PA algorithm, whilst the pre-
diction refers to predicting the future signal data after the window. The prediction
waveform is obtained by plotting the signal data with parameters gained from the
estimation procedure. The window length used for Prony Analysis is 500 samples
58
5.3. Prony Estimation and Prediction
20 20
Current Signal Current Signal
Prony Estimation Prony Prediction
10 10
Magnitude (A)
Magnitude (A)
0 0
10 10
20 20
0 0.1 0.2 0.3 0.4 0.5 0.5 0.6 0.7 0.8 0.9 1
Time (sec) Time (sec)
(a) PA estimation of healthy stator cur-(b) PA prediction for the period into the
rent. future.
20 20
Current Signal Current Signal
Prony Estimation Prony Prediction
10 10
Magnitude (A)
Magnitude (A)
0 0
10 10
20 20
0 0.1 0.2 0.3 0.4 0.5 0.5 0.6 0.7 0.8 0.9 1
Time (sec) Time (sec)
(c) PA estimation of 1 broken rotor bar sta-(d) PA prediction for the period into the
tor current. future.
with the sampling frequency of 1000Hz. Zoomed-in views of the estimation and
prediction results are presented in Figure 5.3 for the one broken rotor bar case.
The numerical result of Prony Analysis for Figure 5.2 is displayed in Table 5.2.
A complete result of the same format but for four dierent load conditions (full,
and phase within a designated signal and tries to t a model to the signal. Only
20 20
Current Signal Current Signal
Prony Estimation Prony Prediction
10 10
Magnitude (A)
Magnitude (A)
0 0
10 10
20 20
0 0.1 0.2 0.3 0.4 0.5 0.5 0.6 0.7 0.8 0.9 1
Time (sec) Time (sec)
(e) PA estimation of 3 broken rotor bars(f ) PA prediction for the period into the
stator current. future.
59
Chapter 5. Implementation of Prony Analysis for Induction Motor Broken Bar Detection
20 20
Current Signal Current Signal
Prony Estimation Prony Prediction
10 10
Magnitude (A)
Magnitude (A)
0 0
10 10
20 20
0 0.1 0.2 0.3 0.4 0.5 0.5 0.6 0.7 0.8 0.9 1
Time (sec) Time (sec)
(g) PA estimation of 5 broken rotor bars(h) PA prediction for the period into the
stator current. future.
20 20
Current Signal Current Signal
Prony Estimation Prony Prediction
10 10
Magnitude (A)
Magnitude (A)
0 0
10 10
20 20
0 0.1 0.2 0.3 0.4 0.5 0.5 0.6 0.7 0.8 0.9 1
Time (sec) Time (sec)
(i) PA estimation of 7 broken rotor bars(j) PA prediction for the period into the
stator current. future.
20 20
Current Signal Current Signal
Prony Estimation Prony Prediction
10 10
Magnitude (A)
Magnitude (A)
0 0
10 10
20 20
0 0.1 0.2 0.3 0.4 0.5 0.5 0.6 0.7 0.8 0.9 1
Time (sec) Time (sec)
(k) PA estimation of 8 broken rotor bars(l) PA prediction for the period into the
stator current. future.
Figure 5.2.: Comparisons between PA estimation and prediction results with the
simulated stator currents of Machine 2 with 0, 1, 3, 5, 7 and 8 bro-
ken rotor bars operating under full load, using a data window of 500
samples with the sampling frequency of 1000Hz.
60
5.3. Prony Estimation and Prediction
20 20
Current Signal Current Signal
Prony Estimation Prony Prediction
10 10
Magnitude (A)
Magnitude (A)
0 0
10 10
20 20
0.05 0.1 0.15 0.55 0.6 0.65
Time (sec) Time (sec)
broken rotor bar diagnostics. The damping factor may be used associated with
the amplitude to eliminate feigned results in the case of using a model order higher
It can be observed from the comparison gures that the more defective rotor
bars there are, the more severely the stator current is modulated. From the
less distorted current waveforms caused by a few broken rotor bars to the highly
explicitly that both the estimates and the predictions t the data within and after
the window perfectly. The Mean Absolute Error (MAE) presented in Table 5.2 is
calculated as the mean of the absolute error over the whole length of the plotted
PN
n=1 | [n] |
M AEf itting = (5.2)
N
where [n] is the error calculated on each sampled data point and N is the total
number of the data points. All fundamental and sideband frequency components
have been estimated accurately, shown in the table comparing with the true fre-
quency values. The true values of the two sideband frequencies are calculated by
rstly averaging the rotor speed and then using equation (1 2s) f . The result
is sucient to prove the credibility of Prony Analysis as it does not only exactly
model the available data but also well predicts the future data.
61
Chapter 5. Implementation of Prony Analysis for Induction Motor Broken Bar Detection
Table 5.2.: Numerical PA result of the stator current of Machine 2 with various broken rotor bar numbers operating under full
load condition using a data window of 500 samples with the sampling frequency of 1000Hz.
True Value PA
Number
Fundame
of (1 2s) f (1 + 2s) f (1 2s) f Amplitude (1 + 2s) f Estimation Prediction
Amplitude -ntal Amplitude
broken (Hz) (Hz) (Hz) (Hz) M EAf itting M EAf itting
Frequency
bars
0 N/A N/A N/A N/A N/A N/A 50.0000 6.7916 0.0012 0.0208
1 43.9432 56.0568 43.9432 0.1854 56.0410 0.0482 50.0000 6.7937 0.0052 0.0219
2 43.7198 56.2802 43.7195 0.3946 56.2852 0.0941 50.0000 6.7990 0.0058 0.0260
3 43.4593 56.5407 43.4589 0.6129 56.5450 0.1346 50.0000 6.8105 0.0045 0.0232
4 43.1530 56.8470 43.1537 0.8468 56.8487 0.1669 50.0000 6.8239 0.0058 0.0309
5 42.7875 57.2125 42.7867 1.1840 57.2150 0.2085 49.9999 6.8689 0.0029 0.0124
6 42.3328 57.6672 42.3341 1.7278 57.6647 0.2643 49.9999 6.9352 0.0027 0.0093
7 41.7585 58.2415 41.7558 2.1860 58.2446 0.2828 50.0000 7.0388 0.0039 0.0164
8 40.9666 59.0334 40.9622 2.7316 59.0370 0.2866 50.0001 7.2384 0.0024 0.0100
62
5.3. Prony Estimation and Prediction
Though there are higher order harmonics of the broken rotor bar sideband fre-
quencies presenting in the stator current spectrum, as shown in Section 2.4, the
characteristic indicators of broken rotor bar faults. The amplitudes of these two
sideband frequencies are subject mainly to the the number of broken rotor bars
However, there has not been a precise mathematical denition that can determine
the exact number of broken rotor bars using the amplitudes of these sideband
degree of the fault severity. This works together with empirical judgment to make
reasonable predictions.
Machine 1 to 3 are simulated under full load separately. The amplitude of the left
broken rotor bar sideband frequency (1 2s) f is plotted in Figure 5.4 in terms
of dB with respect to the number of broken rotor bars for an intuitionistic view.
The three prediction equations given in Chapter 2 are also drawn together.
It is observed that for Machine 1 and 2, the amplitude of the (1 2s) f sideband
the number of broken rotor bars are less than four, which is approximate half of
the number of total rotor bars in one rotor phase. When the number of broken
rotor bars exceeds four, the Prediction 1 underestimates the sideband amplitude
within 4dB, and thus overestimates the number of broken rotor bars when given
an amplitude value. It is also observed in Figure 5.4(a) and (b) that the amplitude
mate 5dB above the Prediction 3 curve, regardless the number of broken bars. A
corrector may be employed in these cases to give a more accurate prediction of the
number of broken rotor bars. For the result of a higher power Machine 3 shown
less than 6, and overestimates it when the number of broken rotor bars increases
further. However, the dierence between the Prediction 1 and the Prony Analysis
result is always within 4dB. Nevertheless, in practice the broken rotor bar faults
63
Chapter 5. Implementation of Prony Analysis for Induction Motor Broken Bar Detection
10
15
Magnitude (A)
20
25
30
35
40 PA estimation values
Prediction 1
45 Prediction 2
Prediction 3
50
0 1 2 3 4 5 6 7 8
Number of broken rotor bars
10
15
Magnitude (A)
20
25
30
35
40 PA estimation values
Prediction 1
45 Prediction 2
Prediction 3
50
0 1 2 3 4 5 6 7 8 9
Number of broken rotor bars
10
15
Magnitude (A)
20
25
30
35
40 PA estimation values
Prediction 1
45 Prediction 2
Prediction 3
50
0 2 4 6 8 10 12 14
Number of broken rotor bars
64
5.4. Disadvantages of DFT and Solutions by Prony Analysis
It is known that the frequency resolution of DFT, which indicates the capability
sampling time, or the data window length with a given sampling frequency. It
is because of this, the frequency resolution is a major problem when using DFT,
where due to restrictions that the window length can not be enlarged as desired.
examples of the stator current spectra obtained by DFT using windows of dierent
lengths. Machine 2 is simulated under full load. Two broken rotor bars are chosen
just for demonstration. The sampling frequency is 1000Hz and the signal data is
In Figure 5.5, a window of 5000 data points is used, which requires a sampling time
are observed distinctly in the spectrum, noticing the true values of the lower and
respectively, and the frequency values given by DFT are 43.8000Hz and 56.2000Hz.
If a shorter data window, for example that of 1000 data points is used, the two
frequencies are still visible but with quite a low denition, as shown in Figure 5.6.
However, Figure 5.7 shows when the window size is reduced to 500 samples, DFT
This disadvantage can be even worse as that if the machine load is lighter, the data
window required for DFT becomes much longer. Figure 5.8 shows the spectral
result of using a window of 2000 data points and a same sampling frequency for the
same machine as above but operating under 25% of full load. It can be seen the
two sideband frequency components have merged into the fundamental frequency
For the convenience of comparison, minimum window lengths are dened as the
threshold of the window length requirement for both Prony Analysis and DFT.
65
Chapter 5. Implementation of Prony Analysis for Induction Motor Broken Bar Detection
30
(1+2s)f sideband frequency: 56.2Hz
Amplitude (dB)
40
50
60
70
80
90
100
0 10 20 30 40 50 60 70 80 90 100
Frequency (Hz)
Figure 5.5.: DFT spectrum of the current signal of Machine 2 with 2 broken ro-
tor bars operating under full load. The data window length is 5000
samples using a sampling frequency of 1000Hz.
0
Fundamental Frequency: 50Hz
10
(12s)f sideband frequency: 44Hz
20
30
(1+2s)f sideband frequency: 56Hz
Amplitude (dB)
40
50
60
70
80
90
100
0 10 20 30 40 50 60 70 80 90 100
Frequency (Hz)
Figure 5.6.: DFT spectrum of the current signal of Machine 2 with 2 broken ro-
tor bars operating under full load. The data window length is 1000
samples using a sampling frequency of 1000Hz.
66
5.4. Disadvantages of DFT and Solutions by Prony Analysis
10
20
30
Amplitude (dB)
40
50
60
70
80
90
100
0 10 20 30 40 50 60 70 80 90 100
Frequency (Hz)
Figure 5.7.: DFT spectrum of the current signal of Machine 2 with 2 broken rotor
bars operating under full load. The data window length is 500 samples
using a sampling frequency of 1000Hz.
10
20
30
Amplitude (dB)
40
50
60
70
80
90
100
0 10 20 30 40 50 60 70 80 90 100
Frequency (Hz)
Figure 5.8.: DFT spectrum of the current signal of Machine 2 with 2 broken rotor
bars operating under 25% of full load. The data window length is
2000 samples using a sampling frequency of 1000Hz.
67
Chapter 5. Implementation of Prony Analysis for Induction Motor Broken Bar Detection
where fest denotes the estimated frequency value whilst ftrue indicates the true
frequency value calculated from motor slip. The minimum or threshold window
length is then dened as the shortest window needed for either Prony Analysis or
also should be kept in mind that the exact value of each threshold is dependent
As an example, a number of simulations have been conducted and the results re-
veal that for Machine 2 with two broken rotor bars operating under full load, when
using a sampling frequency of 1000Hz, DFT requires a minimum data window with
the length of 800 data points (frequency resolution: 1.25Hz). This requirement
25% of full load and up to a 6000 points window (frequency resolution: 0.1Hz)
when the load is only 10% of full load. True values of both the lower and higher
broken bar sideband frequencies calculated from motor slip are 48.5624Hz and
51.4376Hz, and 49.4525Hz and 50.5475Hz in the 25% and 10% load conditions,
respectively. If a lighter load condition applies, an even longer sampling time is re-
quired consequently. These limitations make the accuracy of the broken rotor bar
However, there is no such restrictions for Prony Analysis. To generalize the ability
of maintaining a necessary frequency resolution for both Prony Analysis and DFT
with respect to the data window length, Table 5.3 to Table 5.6 list the true and
the minimum lengths for broken rotor bar detection on Machine 2. The number
of broken rotor bars and the load condition are varied. The sampling frequency
used in these simulations is 1000Hz. The stator currents used for both approaches
In Table 5.3, the result shows that when using even a window size as small as only
40 samples, Prony Analysis is still able to estimate the values of the sideband
frequency components, whereas in the case of using DFT, windows which are
more than 20 times longer are required. Similar result is also observed for other
load conditions. Besides that the load condition aects considerably the values
of sideband frequencies, it is noticed from the table that the number of broken
68
5.4. Disadvantages of DFT and Solutions by Prony Analysis
Table 5.3.: PA and DFT results of the (1 2s) f sideband frequencies using the
minimum window lengths with 1000Hz sampling frequency for Machine
2 operating under full load condition and with various numbers of
broken rotor bars.
Minimum win-
(1 2s)f sideband (1 + 2s)f sideband dow length
Full load
component (Hz) component (Hz) (Number of
samples)
Number
True True
of broken DFT PA DFT PA DFT PA
Value Value
rotor bars
Table 5.4.: PA and DFT results of the (1 2s) f sideband frequencies using the
minimum window lengths with 1000Hz sampling frequency for Machine
2 operating under 75% load condition and with various numbers of
broken rotor bars.
Minimum win-
75% of (1 2s)f sideband (1 + 2s)f sideband dow length
full load component (Hz) component (Hz) (Number of
samples)
Number
True True
of broken DFT PA DFT PA DFT PA
Value Value
rotor bars
69
Chapter 5. Implementation of Prony Analysis for Induction Motor Broken Bar Detection
Table 5.5.: PA and DFT results of the (1 2s) f sideband frequencies using the
minimum window lengths with 1000Hz sampling frequency for Machine
2 operating under 50% load condition and with various numbers of
broken rotor bars.
Minimum win-
50% of (1 2s)f sideband (1 + 2s)f sideband dow length
full load component (Hz) component (Hz) (Number of
samples)
Number
True True
of broken DFT PA DFT PA DFT PA
Value Value
rotor bars
Table 5.6.: PA and DFT results of the (1 2s) f sideband frequencies using the
minimum window lengths with 1000Hz sampling frequency for Machine
2 operating under 25% load condition and with various numbers of
broken rotor bars.
Minimum win-
25% of (1 2s)f sideband (1 + 2s)f sideband dow length
full load component (Hz) component (Hz) (Number of
samples)
Number
True True
of broken DFT PA DFT PA DFT PA
Value Value
rotor bars
70
5.4. Disadvantages of DFT and Solutions by Prony Analysis
rotor bars also has a small inuence on them. This is because the increase of
resistance on rotor due to fractured rotor bars can be treated as a small increase
of load. When the number of broken rotor bars rises, the two sideband frequencies
are slightly more apart from the fundamental frequency. It also can be observed
that the minimum window length requirement for Prony Analysis decreases as
the number of broken rotor bars increases. This is because the amplitudes of the
sideband frequencies are higher when the fault is severer. This makes it easier for
Table 5.3 to Table 5.6 are plotted together in the three-dimensional Figure 5.9
to illuminate the impact of load and broken rotor bar numbers on the minimum
length requirements of data windows for both Prony Analysis and DFT. It should
also be noticed that the data acquisition time is in direct proportion to data win-
dow length when the sampling frequency is determined. Thus, it is observed that
in all circumstances those have been taken into account, Prony Analysis needs
a considerably shorter data window (or data acquisition time) for distinguishing
the two sideband frequency components compared to DFT. It also can be seen
that when the machine load decreases, which means the two broken bar sideband
frequency components will move close to the fundamental frequency, the mini-
mum window length required for DFT increases dramatically, whereas that for
Prony Analysis only goes up sightly. The trends of the minimum window length
requirements of the two methods illustrate that if higher frequency resolutions are
needed, the data window (or data acquisition time) for DFT has to be enlarged (or
only needs slightly longer data windows (or data acquisition time).
In practice, more precise estimates of the values of the broken rotor bar sideband
frequency resolution, which is solely determined by the sampling time. The accu-
racy of the frequency estimation by Prony Analysis is also aected by the window
length, but in a dierent manner. In this section, they are compared in terms of
the unitary Mean Absolute Error of the frequency estimation, which is calculated
as the mean of the unitized absolute error of frequency estimates for a number of
71
Chapter 5. Implementation of Prony Analysis for Induction Motor Broken Bar Detection
3000
Window length (number of samples)
2500 DFT
2000
PA
1500
1000
rs
0 a
500 1 b
2 or
3 rot
4
5 ken
6
0 7 bro
Full load 8 f
75% 50% ro
25% be
Load condition (percentage of full
load) Num
PNt
U Ent
nt =1
M AEf req = (5.4)
100Nt
Figure 5.10 and Figure 5.11 shows the accuracy of frequency estimation in terms of
M AEf req of using both Prony Analysis and DFT. The M AEf req is calculated for
100 independent trials with each window size, varying from 500 samples to 3500
samples using 1000Hz sampling frequency. To construct the independent trials for
testing the two spectral analysis methods, 10 independent runs of the simulation
with random selection of errors for 40s are executed. A dierent segment of data is
used for each trial. The numerical results of using the two methods with a window
size of 500 samples can be found in Appendix D. The model has been used in
these simulations is Machine 2 with broken rotor bar number varying from 1 to 8
and load varying as 100%, 75%, 50% and 25% of the rated load. The amplitude
It is observed that although the M AEf req of DFT decreases when the data win-
Analysis using a window of the same length is achieved. With a range of dierent
window lengths taken into account, the comparison result highlights that Prony
72
5.4. Disadvantages of DFT and Solutions by Prony Analysis
0
10
MAE of PA result for (12s)f sideband
MAE of PA result for (1+2s)f sideband
MAE of DFT result for (12s)f sideband
1
10 MAE of DFT result for (1+2s)f sideband
3
10 DFT for (1+2s)f sideband
Figure 5.10.: M AEf req in frequency estimation by PA and DFT in respect of win-
dow length using 1000Hz sampling frequency for simulated current
data of Machine 2 operating under full load.
0
10
MAE of PA result for (12s)f sideband
MAE of PA result for (1+2s)f sideband
MAE of DFT result for (12s)f sideband
1
10 MAE of DFT result for (1+2s)f sideband
Frequency estimator error (MAE)
2
10
Figure 5.11.: M AEf req in frequency estimation by PA and DFT in respect of win-
dow length using 1000Hz sampling frequency for simulated current
data of Machine 2 operating under 75% of full load.
73
Chapter 5. Implementation of Prony Analysis for Induction Motor Broken Bar Detection
Minimum win-
Load (1 2s)f sideband (1 + 2s)f sideband dow length
condition component (Hz) component (Hz) (Number of
samples)
(% of full True True
DFT PA DFT PA DFT PA
load) value value
curately than DFT. It is also observed that the M AEf req remains in almost the
same level for Prony Analysis regardless of the window length, though there is an
The window length can be critical for on-line diagnosis of induction machine bro-
ken rotor bars. The eect of small or changing load is desired to be eliminated
as much as possible. Therefore the requirement of long data windows for DFT
The general impact of load condition on the movement of broken rotor bar side-
band frequencies in the stator current spectrum has been described in Chapter
2. Apart from that, another interesting fact is that what the smallest machine
load is, for Prony Analysis to be able to accurately estimate the two sideband fre-
quencies. Table 5.7 displays the true and estimated values of sideband frequency
that the load is less that 25% of the full load. The sampling frequency is 1000Hz.
Table 5.7 shows that the Prony Analysis has successfully estimated the two broken
bar sideband frequencies for Machine 2 with one broken rotor bar in conditions
that the load is as light as only 1% of full load. This is an extreme case as it is
74
5.5. Evaluation of Prony Analysis
frequency peak. The amplitude of the two sideband frequencies in the 1% load
case, are -65.33dB and -71.77dB lower than the fundamental frequency, respec-
tively, due to the extremely light load. The frequency dierence between the
nearest high peak is only 0.05Hz. These would make the two frequency compo-
nents almost enshrouded in the noise oor or the side lobe of the fundamental
frequency due to spectral leakage. With the same load condition, the one broken
rotor bar case can be considered as the most dicult one. Thus, it is reasonable
to state that if more than one broken bar exist in the rotor, they also can be
detected when the machine is operating with the same small load. To achieve the
similar resolution, DFT requires much longer data windows as presented, which
Since the small value of motor slip when the load is light, more sideband harmonics
will also appear very close to the fundamental frequency if the number of broken
rotor bars is more. This increases the complexity of the computation for Prony
interfering frequency components. Here, the lter used for small load conditions
has the frequency passband of f 3Hz, passing only the fundamental frequency
work better. Though the original Prony method was invented about more than
200 years ago, it has not been practically used until the recent decades after the
have been proposed to overcome its problems of inconstancy and sensitivity when
analyzing noise corrupted signals. The IRLS Prony method [33] is a signicant
improvement of the Prony algorithm based on LS Prony and has shown a strong
ability of dealing with noisy signals in practice. It is therefore the method chosen
far on how these factors aect. Signal noise level, amplitude of each frequency
order choice, the number of samples taken into the estimation process or even the
75
Chapter 5. Implementation of Prony Analysis for Induction Motor Broken Bar Detection
choice of data segment all aect the estimation result. This is both reported in
It has been shown in 5.4.2 that if the length of data window for Prony Analysis is
more than 500 samples with 1000Hz sampling frequency, even if the window length
Figure 5.12 displays the M AEf req of the higher and lower sideband frequency
estimations with respect to the length of the data window less than 500 samples
using 1000Hz sampling frequency. The data used is the stator current signal of
Machine 1 operating with 2 broken rotor bars with full load. The M AEf req is
calculated using Eq. (5.4) for 100 independent trials. It is observed that if only a
little data is available the estimator error can be much higher. However, after the
amount of data samples used in the Prony algorithm achieving a certain number,
the frequency estimator error falls down and then remains almost steady even the
data window length continues to increase. The length of the data window at this
turning point of the M AEf req curve is the minimum window length requirement
Noise presented in the signal can deteriorate the performance of Prony Analysis.
The M AEf itting of Prony estimation calculated using Eq. (5.2) is displayed in
Figure 5.13. The signal is sampled with a sampling frequency of 1000Hz and the
data window is 500 samples. The standard deviation of the measurement error is
0.105 with a step of 0.01. The results clearly show the degree of accuracy that
the IRLS Prony is able to perform in modeling the original signal. A higher noise
The selection of model order can be a critical and tough task as it directly aects
the performance of Prony Analysis [32] [47]. Some selecting approaches have been
76
5.5. Evaluation of Prony Analysis
0
10
(12s)f sideband
(1+2s)f sideband
1
10
Frequency estimator error (MAE)
2
10
3
10
4
10
Figure 5.12.: M AEf req of the 6 order PA frequency estimator of broken rotor bar
sideband frequencies with respect to the window length when using
1000Hz sampling frequency for 100 runs.
0
10
1
10
Fitting error (MAE)
2
10
3
10
4
10
77
Chapter 5. Implementation of Prony Analysis for Induction Motor Broken Bar Detection
proposed but they are complicated and may not work in all situations [14] [37].
is smaller than the number of sinusoids present, great error can occur and cause
the tting to fail. Generally, increasing the model order can be useful to improve
the tting estimation result [14]. However, the algorithm may suddenly fail at
some points as the order increases [47]. The computational diculty rises due
Moreover, feigned poles will be resulted from the calculation, which confuse with
the actual ones. Thus, roots inspection is necessary to eliminate fake signal poles.
This can be accomplished by discarding the results with very small or even zero
system, an initial estimate in needed. An empirical rule is to start with one third
of the number of data points in the window, and then increase the order until the
However, prior knowledge of the number of signal poles can greatly reduce the
three (the fundamental frequency and two sideband frequencies). Moreover, for
the IRLS Prony method, the iteration process depresses the impact of the order
chosen. Thus, an order of 6 can be chosen in most of the situations as there are
only three frequency components in the bandpass ltered current signal. Only in
some of the previous small load conditions, the algorithm fails with an order of 6.
If this is the case, simply choosing another order or applying the one third rule
In order to verify the Prony Analysis method for practical uses, measured data
4 poles induction machine, which has a standard cast aluminum squirrel cage
is coupled via a belt as load, and is loaded by using a variable resistance bank.
78
5.6. Practical Implementation Test
The broken rotor bar fault is constructed by cutting holes through the rotor bars
at the joints with the end ring using a ne milling cutter.
anti-aliasing lter, which is an 8th order Butterworth lter, and nally sampled
frequency of 200Hz. The sampling time is 20s, which gives the length of the data
The captured data was then analyzed using both Prony Analysis and DFT in
Matlab. The data is passed through a Hanning window before applying DFT,
and is passed through an FIR bandpass lter before applying Prony Analysis.
Examples are presented in this section for demonstration and verication of the
Prony Analysis. Four bars are cut in the rotor and the induction motor is managed
to operate with full load. The spectrum of the measured stator current using DFT
and 56.70Hz and their harmonics can also be observed. The whole data is used
In this implementation a remarkably short data window of only 200 samples is used
for Prony Analysis. The order of the algorithm is chosen as 6 since the number of
5.15 and Table 5.8. The rotor speed is measured using a digital photo tachometer
The plotted estimation and prediction results in Figure 5.15 both demonstrate
excellent matches with the real data waveforms. The M AEf itting of the estimation
part of signal is 0.0014 and the M AEf itting of the prediction part of signal is 0.0127.
The numerical result in Table 5.8 shows a high resolution achieved by Prony
Analysis, while the DFT result presents big errors in determining the frequency
values. The spectral estimation result obtained by DFT using 200 data samples
is also plotted in Figure 5.16 to compare against the result of Prony Analysis.
The comparison between the Prony Analysis and DFT results clearly shows the
79
Chapter 5. Implementation of Prony Analysis for Induction Motor Broken Bar Detection
10
20
43.3 Hz
30
56.7 Hz
Amplitude (dB)
40
50
60
70
80
90
100
0 20 40 60 80 100 120 140 160 180 200
Frequency (Hz)
Figure 5.14.: Spectrum of the measured stator current of a 2.2 kW induction motor
with 4 broken rotor bars using DFT with a sampling frequency of
400Hz, and a data window of 4000 samples.
Table 5.8.: PA result of the measured stator current signal of a 2.2kW induction
motor with 4 broken rotor bars operating under full load condition,
using a data window of 200 samples with the sampling frequency of
400Hz.
PA DFT
True
Value Amplitude Value Amplitude
value
(Hz) (dB) (Hz) (dB)
(Hz)
80
5.6. Practical Implementation Test
10
Current Signal
8 Prony Estimation
Magnitude (A)
2
10
0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4 0.45 0.5
Time (sec)
(a) Sampled real data and PA estimation for the period of sampling
10
Current Signal
8 Prony Estimation
4
Magnitude (A)
10
0.5 0.55 0.6 0.65 0.7 0.75 0.8 0.85 0.9 0.95 1
Time (sec)
(b) Sampled real data and PA prediction for the period into future.
10
20
44 Hz
30
Amplitude (dB)
56 Hz
40
50
60
70
80
Figure 5.16.: DFT spectrum of the same signal data used in Figure 5.14 and Figure
5.15 but using a window of only 200 samples with the sampling
frequency of 400Hz.
81
Chapter 5. Implementation of Prony Analysis for Induction Motor Broken Bar Detection
82
Chapter 6.
Conclusion
The data window limitation in induction machine condition monitoring and fault
approach such as DFT suers from this due to its inherent drawbacks and to other
objective causes, for instance, the light load condition and the load variation.
can be dicult and expensive, because of the eort needed to make this fault in
This thesis has shown the implementation of the Prony Analysis in the diagnostics
operation of an induction motor with broken rotor bar faults and to generate
data for tests. Laboratory measurement is used to validate the Prony Analysis
approach. In the thesis, the nature of induction motor broken rotor bar faults is
analysis technique that overcomes the disadvantages of the DFT is applied and
veried, and the nature of this technique is investigated. This chapter gives an
as the presence of specic frequency components. The most consistent and widely
adopted ones among these characteristic frequency components are the two broken
tion. When the machine is operating under full load, these two sideband frequen-
cies are 2sf Hz away from the fundamental frequency. This frequency dierence is
83
Chapter 6. Conclusion
always within 10Hz. When the load becomes light, these two sideband frequencies
move towards the fundamental frequency, due to the decrease of the slip. They
can be very close to the fundamental frequency until disappeared since the slip
equals to zero if the load is zero. This has been addressed in Section 2.4. Thus,
the data windows need to be enlarged to gain higher resolution in the frequency
domain for DFT. This trades o the requirement of short data window due to
The fault severity has a major eect on the amplitude and a minor eect on
the value of the sideband frequency components. The amplitude of the sideband
frequencies rises when the number of broken rotor bars increases. This has led
of the (1 2s) f sideband are compared in Section 5.3. The result shows that
the Prediction 1 performs the best in predicting the amplitude of the (1 2s) f
sideband when the number of broken rotor bars is less than half of the number
4dB if the number of broken rotor bars increases further. The result also shows
Additionally, broken rotor bar faults distort the motor stator current. The mod-
ulation is severer if more defective rotor bars exist, as revealed in Section 5.3. A
series of sideband harmonics will also arise when the number of broken rotor bars
increases, described in Section 2.4. The induction motor normally breaks down
when this number goes up close to the number of total rotor bars in one rotor
phase.
the resistance of the rotor phase where the fault occurs. The model is built in the
the model, measured data from laboratory experiments is used for comparison.
This model successfully simulates the dynamic and steady operating state of an
induction motor with or without broken rotor bar faults. The broken rotor bar
sideband frequency components well present in the stator spectrum. Their ampli-
tude and values change according to the change of fault severity and the machine
84
6.3. The Implementation of Prony Analysis
load. Result in Section 2.4 and Section 3.4 has shown the validity of this model.
With this model, the load condition and the number of broken rotor bars can be
easily changed, which provides great convenience for study. All machine param-
eters are also accessible. This gives the advantage of study the broken rotor bar
tion using both simulated and measured data. The result is also compared with
DFT result.
ing needed to be conducted prior to running the Prony Analysis algorithm. Es-
The Prony Analysis is not only able to well estimate the data within the data
window, but also predict the future data with high precision, as shown in Section
5.3. In Section 5.4, compared with DFT, the Prony Analysis has demonstrated
great advantages in terms of using much shorter data windows to satisfy the
estimation using the same length windows. This gives the Prony Analysis the
ability to detect the broken rotor bar sideband frequency components in light and
varying load conditions. Result shown in Section 5.4 proofs the minimum window
length required by DFT can be 6 to 20 times longer than Prony Analysis in light
load conditions.
The Prony Analysis algorithm needs a minimum length window to function cor-
rectly. If this minimum window length is not achieved, Prony Analysis may fail
ing Prony Analysis shows great independence on the data window length after
the minimum length requirement has been met. This result is shown together in
The noise level aects the accuracy of Prony Analysis. A higher noise level will
result in a lower estimate accuracy. Thus, in practice, decreasing the noise level by
Analysis.
85
Chapter 6. Conclusion
The order of the Prony algorithm is always chosen as twice the number of frequency
signal poles is desired. Besides, since the Prony Analysis is a high computational
tion in an induction motor has shown a great advantage over DFT in terms of
using shorter data windows and achieving higher frequency estimation accuracy.
plemented for the detection of other kinds of machine faults by signal spectral
86
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92
Appendix A.
Important Programs
Models, simulations and data analysis were undertaken using the MATLAB R2006b.
93
Appendix A. Important Programs
motor_1hp.m
%%---------------------------------------------%%
Tfactor = (3*P)/(4*wb); % factor for torque expression
N = 28; % total rotor bar number
n = 1; % broken bar number
94
A.2. Least Squares Prony Method
%%----------machine parameters------------------%%
rs = 3.35; % stator winding resistance in
% ohms
xls = 6.94e-3*wb; % stator leakage reactance in
% ohms
xplr = xls; % rotor leakage reactance
xm = 163.73e-3*wb; % stator magnetizing reactance
rpr = 1.99; % referred rotor wdg resistance
% in ohms
dr = (rpr*n)/(N/3-n); % broken bar effect
xM = 1/(1/xm + 1/xls + 1/xplr);
J = 0.15; % rotor inertia in kgm2
H = J*wbm*wbm/(2*Sb); % rotor inertia constant in sec
Domega = 0; % rotor damping coefficient
%%----------Parameters set-up------------------%%
close
global order N Z input_signal
%downsample(); % downsampling if needed
fs=; % sampling frequency
T=1/fs; % sampling interval
t=[0:T:]; % sampling time
input_signal = ias; % input signal
order = ; % model order
N = length(input_signal); % number of data samples
95
Appendix A. Important Programs
%% coefficients a[m]-------%%
X = []; % compose the X matrix
m = N - order;
step = order;
for d = 1:order
for j = 1:m
X(d,j) = input_signal(step-1 + j);
end
step = step-1;
end X=X';
z = [];
for l = 1:(N-order)
z(l,1) = -input_signal(l+order);
end
theta = pinv(X)*z; % evaluation of the
% overdetermined linear
% simultaneous equations
96
A.2. Least Squares Prony Method
end
V=V';
H = pinv(Z)*V;
phase_rad = angle(H);
amplitude = abs(H);
plot(t,input_signal,'k')
ylabel('Magnitude (A)')
xlabel('Time (s)')
hold
plot(t,y,':kx')
legend('Current Signal','Prony Estimation');
xlim([0 length(y)]);
97
Appendix A. Important Programs
98
Appendix B.
d[T1 qd0
qd0 ()s ] d[T1
qd0 ()] 1 d(qd0
s )
dt
= dt
qd0
s + Tqd0 () dt
sin cos 0
d qd0 1 d(qd0
s )
= sin 2 2
cos 0 + T ()
3 3 dt s qd0 dt
sin + 2 cos + 2
3 3
0
Substituting this back to Eq. (3.16), obtain Eq. (3.18). The procedure of getting
(3.19) is similar.
By applying the Park's transformation to the above ux linkage equations, obtain
1 abc 1
qd0
s = Tqd0 () Labc qd0
ss Tqd0 () is + Tqd0 () Lsr Tqd0 ( r ) ir
qd0
cos cos 2 cos + 2
3 3
Lls + Lss Lsm Lsm
= 23 sin sin 2 2
sin + Lsm Lls + Lss Lsm
3 3
1 1 1
2 2 2
Lsm Lsm Lls + Lss
cos sin 1 iqs
cos 2 2
sin 1 ids
3 3
cos + 2 sin + 2
3 3
1 i0s
99
Appendix B. Important Equation Derivations
cos cos 2 2
3
cos + 3
+ 23 Lsr sin sin 2 2
sin +
3 3
1 1 1
2 2 2
cos r + 2 2
cos r 3
cos r 3
cos r 2 2
cos cos +
3 r r 3
cos r + 2 cos r 2
3 3
cos r
cos ( r ) sin ( r ) 1 iqr
cos r 2 sin r 2
1 idr
3 3
cos r + 2 sin r + 2
3 3
1 i0r
3
2
(L ls + L ss L sm ) 0 0 i qs
= 23 0 3
(Lls + Lss Lsm ) 0 ids
2
3
0 0 2
(Lls + Lss ) + 3Lsm i0s
3
2
0 0 iqr
3
+Lsr 0 2 0 idr
0 0 0 i0r
Because of Lsm = Lss cos 23
= 12 Lss , the above equation can be written as
3
Lls + 23 Lss 0 0 2
L sr 0 0
qd0
0 L + 3
L 0 i + 0 3
L 0 iqd0
ls 2 ss s 2 sr r
0 0 Lls 0 0 0
Similarly, we can obtain the rotor ux linkages in the qd0 reference frame
3
L
2 sr
0 0 Llr + 23 Lrr 0 0
qd0 = 0 3
L 0 iqd0
s + 0 Llr + 32 Lrr 0 iqd0
r 2 sr r
0 0 0 0 0 Llr
Then Eq. (3.22) is obtained by expressing the above two equations together
compactly.
3 0 0 0 0 0 0
Pin = 2
vqs iqs + vds ids + 2v0s i0s + vqr iqr + vdr idr + 2v0r i0r
we yield
3 d
2
Pin = 2
rs iqs + ds iqs + dt
(qs iqs )
d
+rs i2ds qs ids + dt
(ds ids )
100
B.4. Derivation of Eq. (3.34)
+rr0 i02 0 0
dr ( r ) qr idr +
d
dt
(0dr i0dr )
+ 2rr0 i02 d 0 0
0r + 2 dt (0r i0r )
3
rs i2qs + rs i2ds + 2rs i20s + rr0 i02 0 02 0 02
= 2 qr + rr idr + 2rr i0r
+ 32 dtd qs iqs + ds ids + 20s i0s + 0qr i0qr + 0dr i0dr + 200r i00r
of magnetic eld energy between windings, and the i terms represent the rate
by the machine is given by the sum of i terms divided by the mechanical speed
2
rm = , yield
P r
3 P
(ds iqs qs ids ) + ( r ) 0dr i0qr 0qr i0dr
Tem = 2 r
1 d(qs )
vqs = b dt
+ rs iqs
Thus,
qs = b (vqs rs iqs ) dt
From Eq. (3.33), obtain
Thus,
qs mq
iqs = xls
Finally, obtain
n rs
o
qs = b vqs + xls
(mq qs ) dt
The rotor ux linkages can be obtained using the similar procedure.
101
Appendix B. Important Equation Derivations
= 2 N
Pq n1
Pq
zkn1 n1
P
n=1 k=1 x [n] zk i=1 hi zi
h P
= zk 2 N n1 n1 n1
zk n=1 x [n] h 1 z1 + . . . + h k z k + . . . + hq z q
2 i
+ N n1
+ . . . + hk zkn1 + . . . + hq zqn1
P
n=1 h1 z1
= 2 (n 1) N
P Pq n2
n=1 x [n] k=1 hk zk
+2 N
Pq n1
(n 1) h1 z1n2 + . . . + hk zkn2 + . . . + hq zqn2
P
n=1 k=1 hk zk
= 2 (n 1) N
Pq n2
Pq
hk zkn2 n1
P
n=1 k=1 x [n] hk zk i=1 hi zi
Set = 0 and z
hk k
= 0, yield:
PN Pq n1
Pq
zkn1 n1
n=1 k=1 x [n] zk i=1 hi zi = 0, and
PN Pq n2
Pq
zkn2 n1
n=1 k=1 (n 1) x [n] zk i=1 hi zi = 0.
Thus,
PN Pq
c1 = n=1x [n] zkn1 ;
k=1
c2 = N
P Pq n1
Pq n1
n=1 k=1 zk i=1 zi ;
c3 = N
P Pq n2
n=1 k=1 (n 1) x [n] zk ;
c4 = N
P Pq n2
Pq n1
n=1 k=1 (n 1) zk i=1 zi .
102
Appendix C.
Output power
2.2 5.5 35
(kW)
Rated frequency
50 50 50
(Hz)
Rated voltage
220 415 460
(V)
Poles 4 4 8
Number of rotor
28 32 52
bars
Stator winding
0.435 1.003 0.187
resistance ()
Stator leakage
1.554 2.57 0.502
reactance ()
Rotor leakage
1.554 2.57 0.502
reactance ()
Stator magnetizing
26.13 44.307 13.08
reactance ()
Referred rotor
winding resistance 1.016 1.4735 0.228
()
103
Appendix C. Parameters of Induction Machines
104
Appendix D.
105
Table D.1.: Frequency estimation results by PA and DFT for Machine1 with dierent number of broken rotor bars operating under
dierent load conditions, using a data window of 500 samples and a sampling frequency of 1000Hz.
Full
True Value DFT PA
Load
Number
of (1 2s) f (1 + 2s) f (1 2s) f Amplitude (1 + 2s) f Amplitude (1 2s) f Amplitude (1 + 2s) f Amplitude
broken (Hz) (Hz) (Hz) (dB) (Hz) (dB) (Hz) (dB) (Hz) (dB)
bars
1 43.9432 56.0568 44.0000 -32.3600 56.0000 -44.4100 43.9432 -31.2799 56.0410 -42.9812
2 43.7198 56.2802 44.0000 -25.7700 56.0000 -38.3300 43.7195 -24.7258 56.2852 -37.1771
3 43.4593 56.5407 44.0000 -21.8300 56.0000 -35.1100 43.4589 -20.9158 56.5450 -34.0827
4 43.1530 56.8470 44.0000 -19.2200 56.0000 -33.2600 43.1537 -18.1365 56.8487 -32.2430
5 42.7875 57.2125 42.0000 -16.3300 58.0000 -31.3800 42.7867 -15.2707 57.2150 -30.3556
6 42.3328 57.6672 42.0000 -13.2000 58.0000 -29.5000 42.3341 -12.0713 57.6647 -28.3792
7 41.7585 58.2415 42.0000 -10.9100 58.0000 -28.7100 41.7558 -10.1570 58.2446 -27.9204
8 40.9666 59.0334 40.0000 -10.0800 60.0000 -29.6500 40.9622 -8.4658 59.0370 -28.0473
Appendix D. Prony Analysis Results
75%
True Value DFT PA
Load
Number
of (1 2s) f (1 + 2s) f (1 2s) f Amplitude (1 + 2s) f Amplitude (1 2s) f Amplitude (1 + 2s) f Amplitude
broken (Hz) (Hz) (Hz) (dB) (Hz) (dB) (Hz) (dB) (Hz) (dB)
bars
1 45.6170 54.3830 Fail Fail Fail Fail 45.6164 -33.1123 54.3805 -40.9856
2 45.4560 54.5440 Fail Fail Fail Fail 45.4569 -26.4389 54.5445 -35.0059
3 45.2694 54.7306 Fail Fail Fail Fail 45.2715 -22.4082 54.7325 -31.7183
4 45.0564 54.9436 Fail Fail Fail Fail 45.0535 -19.4734 54.9459 -29.5699
5 44.7988 55.2012 44.0000 -17.8200 56.0000 -28.8000 44.7975 -16.9035 55.2036 -27.8927
6 44.4841 55.5159 44.0000 -14.7300 56.0000 -26.7200 44.4863 -14.0924 55.5152 -26.1252
106
7 44.0981 55.9019 44.0000 -12.1200 56.0000 -25.4100 44.0984 -11.1222 55.9030 -24.3925
8 43.5840 56.4160 44.0000 -10.1800 56.0000 -24.9200 43.5898 -9.1925 56.4117 -23.9287
50%
True Value DFT PA
Load
Number
of (1 2s) f (1 + 2s) f (1 2s) f Amplitude (1 + 2s) f Amplitude (1 2s) f Amplitude (1 + 2s) f Amplitude
broken (Hz) (Hz) (Hz) (dB) (Hz) (dB) (Hz) (dB) (Hz) (dB)
bars
1 47.1622 52.8378 Fail Fail Fail Fail 47.1628 -36.4707 52.8462 -40.4929
2 47.0590 52.9410 Fail Fail Fail Fail 47.0556 -30.0562 52.9414 -34.8171
3 46.9409 53.0591 Fail Fail Fail Fail 46.9382 -25.7854 53.0614 -30.9764
4 46.7990 53.2010 Fail Fail Fail Fail 46.7984 -22.6637 53.2017 -28.5780
5 46.6380 53.3620 Fail Fail Fail Fail 46.6317 -19.9379 53.3683 -26.5194
6 46.4375 53.5625 Fail Fail Fail Fail 46.4356 -17.3182 53.5678 -24.7541
7 46.1967 53.8033 Fail Fail Fail Fail 46.1946 -14.5572 53.8069 -22.9079
8 45.8868 54.1132 Fail Fail Fail Fail 45.8847 -11.7460 54.0792 -22.7825
25%
True Value DFT PA
Load
Number
of (1 2s) f (1 + 2s) f (1 2s) f Amplitude (1 + 2s) f Amplitude (1 2s) f Amplitude (1 + 2s) f Amplitude
broken (Hz) (Hz) (Hz) (dB) (Hz) (dB) (Hz) (dB) (Hz) (dB)
bars
1 48.6128 51.3872 Fail Fail Fail Fail 48.6885 -43.8687 51.2795 -45.8390
2 48.5624 51.4376 Fail Fail Fail Fail 48.5101 -39.1548 51.4898 -41.3964
3 48.5005 51.4995 Fail Fail Fail Fail 48.4519 -34.2296 51.4848 -36.4170
4 48.4335 51.5665 Fail Fail Fail Fail 48.4322 -30.7713 51.5702 -32.6599
5 48.3528 51.6472 Fail Fail Fail Fail 48.3539 -28.0812 51.6434 -30.2020
6 48.2635 51.7365 Fail Fail Fail Fail 48.2575 -25.4226 51.7414 -27.9801
7 48.1286 51.8714 Fail Fail Fail Fail 48.1384 -22.7975 51.8603 -25.8499
107
8 47.9869 52.0131 Fail Fail Fail Fail 47.9911 -20.1440 52.0073 -23.8403