Rotor Cage Fault Diagnostics in Three-Phase

Induction Motors, by the Instantaneous

Phase-Angle Signature Analysis
M'hamed Drif, A. J. Marques Cardoso
University of Coimbra, FCTUC/IT; Department of Electrical and Computer Engineering
Polo II - Pinhal de Marrocos; P - 3030-290 Coimbra; Portugal
Tel/Fax. + 351 239 7962321796247, E-mail. med_drif@,co. it.pt, ajmcardoso@,ieee.org
Abstract-Detection of broken rotor bars has long been an
important but difficult job in the detection area of motor faults.
The characteristic frequency components of a faulted rotor in

the stator current spectrum are very close to the power

frequency component but by far less in amplitude, which brings
about great difficulty for accurate detection. In this paper a new

Faults in induction motors can be broadly classified into

electrical faults and mechanical faults. According to some

motor reliability surveys, about 80% of induction motor
failures are caused due to problems with three components

viz., tator, rotor and bearings [1-3].

Regarding the abovementioned faults, significant efforts
detection method based on the instantaneous phase-angle
signature analysis is proposed for the diagnosis of rotor cage have been dedicated to induction machine fault diagnosis
faults in operating three-phase induction motors. For that during the last two decades and many techniques have been
purpose, a mathematical model based on the Winding Function proposed, to detect and diagnose incipient motor faults. These
b
Approach is used in order to simulate this type of fault and i
experimental tests are carried out on an induction motor with mclude both electrical faults and mechanical faults The most
several faulty rotors. Simulation and experimental results are recent research work has been directed towards electrical
presented to show the merits of this novel approach for the monitoring of the motor with emphasis on inspecting the
stator current of the motor [1-4].
detection of cage induction motor broken rotor bars.
In recent years, marked improvement has been achieved in
the design and manufacture of stator windings. However,
I. INTRODUCTION
Induction motors are the most important rotating electric motors driven by solid-state inverters undergo severe voltage
machines in industry. Their role increased after the develop- stresses due to rapid switch-on and switch-off of semiconducment of adjustable speed drives. Their low price, ruggedness, tor switches. Also, induction motors are required to operate in
efficiency and reliability make them attractive in a variety of highly corrosive and dusty environments. Requirements such
applications. These motors are exposed to many loading and as these have spurred the development of vastly improved
environmental conditions. This, acting together with the insulation material and treatment processes. But cage rotor
natural aging of the motor may lead to many failures. These design has undergone little change [1][3]. As a result, rotor
failures may be inherent to the machine itself or caused by failures now account for a larger percentage of total induction
severe operating conditions [1]. Hence, monitoring the motor motor failures. Broken cage bars and bearing deterioration are
condition is crucial to detect any fault at an early stage now the main cause of rotor failures [2][3].
The reasons for rotor bar breakage are many. They can be
eliminating the hazards of catastrophic motor failures. Faults
caused
by thermal stress, electromagnetic forces, vibration,
can be treated before totally damaging the machine and
consequently that will reduce spare parts inventories, break- centrifugal forces, environmental stress, for example abrasion
down maintenance, the maintenance cost and shutdown time. of rotor, mechanical stress due to loose laminations, fatigue
This can prolong machine life by increasing machinery parts, bearing failure, etc. [2] [3].
Modern measurement techniques in combination with
availability and performance. Thus, there is a growing need
advanced
computerized data processing and acquisition show
for a simple, reliable technique to detect incipient faults in an
new
ways in the field of induction machines monitoring by
online mode [1][2].
the use of electrical signature analysis (ESA) of electric motor
signals (e.g., stator current and voltage). Time-domain
The authors gratefully acknowledge the financial support of the analysis using characteristic values to determine changes by
Portuguese Foundation for Science and Technology (FCT) under project trend setting, spectrum analysis to determine trends of
frequencies, amplitude and phase relations, as well as spectral
n SFRH/BD/ 17592/2004.

1 -4244-0743-5/07/$20.00 2007 IEEE

1440

analysis to detect periodical components of spectra are used

as evaluation tools. ESA is a technique used to determine the
operating condition of induction motors without interrupting
production (non-invasive method). Condition monitoring
offers several integrated methods to assess and track the
condition of critical plant induction motors [4-6].
As industries continue to look for new methods of identifying and predicting equipment failures, manufacturers of
predictive maintenance equipment are developing new tools
to add to their arsenal of available technologies. Newly
developed methods of extracting information from the line
voltage and current supplied to a motor, have uncovered
information on both the electrical and mechanical health of
the equipment [4-6].
ESA is the procedure of acquiring the motor current and
voltage signals, performing signal conditioning and analyzing
the derived signals to identify the various faults. Thus, motors
can be tested from the control panel, enabling easy testing of
remote, inaccessible or hazardous area motors [4-6].
There are many contributions dealing with rotor cage fault
diagnosis in three-phase induction motors, based on ESA
techniques and its derived signals. Some detection techniques
evaluate the measured line current of the induction machine.
If they are based on the analysis of the Fourier spectrum of a
line current [4-6], they are called motor current signature
analysis (MCSA) techniques. From the machine line currents,
Park's vector (a space phasor) can also be derived. This
vector can be utilized for diagnosing broken rotor bars [7].
Fault-specific signals are also present in the electromagnetic
torque [8]. Instantaneous power signature analysis is also
used. Both simulation and experimental results demonstrate
the effectiveness of the partial power as well as the total
instantaneous power approach [9-13].
This paper introduces the application of the instantaneous
phase-angle signature analysis as a new tool for the diagnostics of rotor cage faults in operating three-phase induction
motors. This new approach is based on the computation of the
instantaneous phase-angle derived from the instantaneous real
and apparent powers. These are obtained from the measured
motor currents and voltages.

valid as the load may change continuously and the harmonics

content too. A theory for the transient condition is necessary
[14]. Other new theories are proposed in the literature [1517], where the instantaneous power factor is defined [18]. The
instantaneous phase-angle was used in the case of an
unbalanced voltage line in power systems [19]. In electrical
machines, the phase-angle in its classic definition (mean
value) was used to study the effect of the harmonics and their
individual phase-angle on the performance of induction
motors [20] and for their protection [21]. Motor current and
power representation in phase-angle domain were also used to
study electrical and mechanical faults in induction motors
[22][23]. In this study, the spectral analysis of the instantaneous phase-angle is used for the diagnosis of broken rotor
bars in squirrel cage induction motors. In the following, a
comprehensive theoretical study regarding broken rotor bars
fault characterization by the instantaneous phase-angle
signature analysis is presented.
The apparent power can be expressed in the complex
domain as [15]:
s = vi = (vd + jvq )('d - jIq )
= (vdid + VqQ) + J(Vqid - Vdlq)
S

= Pr + jqi

(2)

where the modulus of s- is given by:

s(t) = p, (t)+ q, (t)

(3)

and where s(t) is the instantaneous apparent power, pr (t) is

the instantaneous real power and q, (t) is the imaginary

power.

The instantaneous power factor is given by [18]:

cos[q(t)] = Pr (t) / s(t)

(4)

and finally, the instantaneous phase-angle corresponding to

the instantaneous power factor is expressed as:
(t) = cos' [Pr (t) / s(t)]

II. INSTANTANEOUS PHASE-ANGLE SIGNATURE ANALYSIS

It is well known that faults and pollution effects are

reflected in electrical quantities by the appearance of
characteristic harmonic components due to these phenomena.
The phase-angle or the power factor angle is a characteristic
quantity that is used in power systems as well as electrical
machines and it is one of these electrical quantities which is
also affected by the presence of faults or pollution, as well as
the corresponding power factor. This means that the theory
based on rms and mean values used in steady-state, is not

(1)

(5)

It is clear from (5) that the instantaneous phase-angle is

only the inverse function of the ratio of the instantaneous real
power and the apparent one. For a healthy motor, the
spectrum of the instantaneous phase-angle contains only a dc
component. Results presented in [10-12] have shown the
effect of broken rotor bars on the real power and their
effectiveness for the diagnosis of such fault. Consequently,
the spectrum of the instantaneous phase-angle in the case of a

1441

rotor cage fault contains the dc component and a harmonic

component at the disturbance frequency fb = 2sf . This additional component, at the modulation frequency, subsequently
called characteristic component, provides an extra piece of
diagnostic information about the presence of rotor cage faults
in the machine.

winding distribution ofthe winding i, and Nj (Or, i) is called

the winding function [24].
The advantages of the presented diagnostic technique are
confirmed by simulation, on a 50 Hz, 7.5-Hp, 380 V, 4-pole
squirrel cage three-phase induction motor, using the aforementioned model (6). Initially, the healthy motor drives a
load with a constant torque. The Fig. l(a) shows obviously,
only the presence of a dc component in the instantaneous
phase-angle spectrum corresponding to its mean value, which
reflects the healthy case of the motor.
When one broken rotor bar is introduced, the motor speed
and slip begin oscillating due to the pulsating torque at
fb = 2sf =5.6 Hz. As a result of this situation, the instantaneous phase-angle significantly differs from that of a healthy
motor, as shown in Fig. l(b), by noticing the appearance of a
frequency component directly at the frequency of speed
oscillation fb =5.6 Hz, with an amplitude of 1.61 degrees.
When the severity of the fault is increased (four broken bars),
in the corresponding instantaneous phase-angle spectrum
(Fig. 1(c)), the amplitude of the characteristic frequency at
fb=10 Hz also increases to 14.94 degrees, as well as its
multiple spectral components, reflecting the increase in the
fault severity.

III. SIMULATION RESULTS

In this study, a mathematical model for the squirrel cage
induction motor has been developed in order to investigate
rotor cage faults. This is a multi-harmonic model that also
evaluates higher harmonics. By means of this model, typical
rotor fault harmonic components can be predicted. The
respective harmonics arise in the machine currents [3-13],
torque [8], and power [9-13]. The analysis is based on the
winding function and the coupled-circuits theories. To study
the performance of squirrel cage induction motors with rotor
cage faults, a mesh model of the rotor is selected. The rotor is
described in the terms of loops. Rotor loop currents are
defined as the currents flowing in loops comprising two
adjacent rotor bars and the portions of end ring joining them.
Each rotor bar and end ring segment are characterized by a
resistance and inductance. For a three-phase squirrel cage
induction motor with Nb bars, Nb+3 windings couple with
IV. EXPERIMENTAL RESULTS
each other through the airgap flux.
The test motor used in the experimental investigation was a
The mathematical model of the squirrel cage induction
motor is given by the following differential equations system: three-phase, 50 Hz, 4-pole, 3 kW, ABB induction machine,
type MBT 100 LB, with several rotors of identical types,
can be easily interchanged. Each of them is a singlewhich
1
d[
d[L] [
-L]1FR
[
squirrel cage type rotor with 28 skewed and insulated bars. A
]
+ rrndO
dt
separately excited dc generator feeding a variable resistor
a mechanical load. The diagnostic instrumentation
provided
T,
(6)
dcrm 1
system used basically comprises a micro-computer, suppor2J
J
dt
ddOm
ting a data acquisition board, two clip-on current probes, two
dOm
differential voltage probes, and a preconditioning module.
dt rm
The motor was initially tested with a healthy rotor. Fig.
2(a) shows the instantaneous phase-angle spectrum for this
All the relevant inductances for the induction motor can be case. It can be seen that in the absence of fault, the behaviour
calculated using the WFA given in [24]. According to the of the motor is again characterized by the presence of a dc
winding function theory, the mutual inductance between any component as theoretically predicted.
two windings "i" and 'j" in any electric machine can be The occurrence of one broken rotor bar is also clearly
noticeable in the instantaneous phase-angle spectrum shown
computed by [24]:
in Fig. 2(b), by the appearance of the characteristic compo(7)
nent
at fb = 2sf =10.99 Hz. Tests were carried out for a
Lj (0r)=po(6)
)g1(6S, 0)n,(06, 0)N (0r/,0)ddo
higher number of adjacent broken bars. In the case of a rotor
with four broken bars the amplitude of the characteristic comwhere Or is the angular position of the rotor with respect to
ponent, fb , increases accordingly, as can be seen in Fig. 2(c).
some stator reference, 0 is a particular position along the
Figs. 3 and 4 show the evolution of a normalized severity
alongeffective factor,
statormines
termed the
theinv
g
inverseeffe
g (Or1S, ) is
is termed
innerr surefece,
stator
defined as the ratio of the amplitude of the fb composurface,
and the
airgap function, t is the length of the stack, and r is the nent of the instantaneous phase-angle of the motor
average radius of the airgap. The term nf(O, i) is the corresponding dc value, with the severity of the fault. Both

1 442

16-9
14
1 81

12

0|
27-

-I

10

.d

copnt

1dc component
dc component

8~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

13

14-

1.)~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~

27-

10

20

30

40

50

Frequency (Hz)

10

60

70

80

10

20

30

(a) - Hnealthyemotor.

12

50

60

70

80

60

70

80

60

70

80

(a) - Hnealthyemotor.

270

10

20

30

40

50

60

Frequency (Hz)

70

80

10

10

20

30

2fb~

~
~
~ ~

50

(b) - eo broken bar.

~

~ ~~~~~~~~~~~~~f

9 Sb
b
fb~~~~~~~~~~~~~~~~~~

16

40

Frequency (Hz)

-~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

(b) - eo broken bar.

40

Frequency (Hz)

142

10

20

30

40

Frequency (Hz)

50

60

70

80

4~

~
~

10

20

30

40

Frequency (Hz)

50

(c) - FOur broken bars.

(c) - FOur broken bars.

~~~~~14

S30 _
ot

taneous phase-angle without being obscured by them and with

an amplitude corresponding to the fault severity level.
Through Figs. 1 - 4, some differences can be noticed in the
amplitude of some the parameters involved (slip, phase-angle,
etc.) which are due to the fact that motors with different
power ratings were used in the simulation studies and experimental tests. However the same pattern has been achieved.

35

25-

, 20

V. CONCLUSION

c115

g
05
0.5

1.5
1.5

2 2B2.55

3.5

This paper introduces a new approach, based on the

_/spectral analysis of the instantaneous phase-angle for detecting the occurrence of broken rotor bars in operating threephase induction motors. The experimental and simulation
results show that rotor cage faults can be effectively detected
new
whose
relies on
by this
philosophy
the
behaviorapproach,
of the spectraloperating
component
at a frequency

10-

offb = 2sf .

Fig. 3 - Fault severity factor (simulation results).

18

16
;;140

12

4-

/ 10-

-m

8
6_

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ct

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/
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1
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3.5

Fig. 4 - Fault severity factor (experimental results).

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