1564
5, MAY 2011
Recent Advances in Modeling and Online Detection
of Stator Interturn Faults in Electrical Motors
Arun Gandhi, Student Member, IEEE, Timothy Corrigan, Student Member, IEEE, and
Leila Parsa, Senior Member, IEEE
Abstract—Online fault diagnosis plays a crucial role in provid-
ing the required fault tolerance to drive systems used in safety-
critical applications. Short-circuit faults are among the common
faults occurring in electrical machines. This paper presents a
review of existing techniques available for online stator interturn
fault detection and diagnosis (FDD) in electrical machines. Special
attention is given to short-circuit-fault diagnosis in permanent-
magnet machines, which are fast replacing traditional machines
in a wide variety of applications. Recent techniques that use
signals analysis, models, or knowledge-based systems for FDD
are reviewed in this paper. Motor current is the most commonly
analyzed signal for fault diagnosis. Hence, motor current signature
analysis is a topic of elaborate discussion in this paper. Addition-
ally, parametric and finite-element models that were designed to
simulate interturn-fault conditions are reviewed.
Index Terms—Analytical model, artificial intelligence (AI),
condition monitoring, fault diagnosis, fault tolerance, feature ex-
traction, induction machines, permanent-magnet (PM) machines,
turn fault.
N OMENCLATURE
Znp Coupled negative–positive-sequence impedance.
Znn Negative-sequence impedance.
I˜p Positive-sequence current.
I˜n Negative-sequence current.
ei Instantaneous value of the back-EMF of the ith
phase.
vi Instantaneous value of the stator voltage of the ith
phase.
ii Instantaneous value of the stator current of the ith
phase.
Rs Phase resistance.
Ls Phase self-inductance.
Mij Mutual inductance between the ith and jth phases.
La1 Inductance of the faulty part of the winding (as1 ).
Ra1 Resistance of the faulty part of the winding (as1 ).
La2 Self-inductance of the healthy part of the winding
(as2 ).
Ra2 Resistance of the healthy part of the winding (as2 ).
rf Fault insulation resistance.
if Instantaneous current in the fault loop.
Manuscript received January 26, 2010; revised August 24, 2010; accepted
September 25, 2010. Date of publication October 28, 2010; date of current ver-
sion April 13, 2011. This work was supported by the Office of Naval Research.
The authors are with the Department of Electrical, Computer and Systems
Engineering, Rensselaer Polytechnic Institute, Troy, NY 12180 USA (e-mail:
gandha2@rpi.edu; corrit3@rpi.edu; parsa@ecse.rpi.edu).
Color versions of one or more of the figures in this paper are available online
at http://ieeexplore.ieee.org.
Digital Object Identifier 10.1109/TIE.2010.2089937
0278-0046/$26.00 © 2010 IEEE
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IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 58, NO.
ea2 Back-EMF of healthy turns.
ea1 Back-EMF of faulted turns.
ia1 Current through the faulted turns.
ia2 Current through the healthy turns.
M Mutual inductance due to coupling between
healthy and faulted turns.
Ra,n Reluctance of the upper part of the nth stator tooth.
Rb,n Reluctance of the lower part of the nth stator tooth.
Rsb,n Reluctance representing the stator back iron.
Rt,n Reluctance representing the tooth tip section.
Rla,n Reluctance of the leakage-flux path of the upper
part.
Rlb,n Reluctance of the leakage-flux path of the lower
part.
l Axial length of an induction machine.
r Average radius of the air gap.
g −1 (ϕ, θ) Inverse air-gap function (1/g in the case of uniform
air gap).
Ni (ϕ, θ) Winding function of winding i.
Nj (ϕ, θ) Winding function of winding j.
ϕ Angle along the inner surface of the stator.
θ Angle of rotor position with respect to a fixed point
on the stator.
I. I NTRODUCTION
I N THE PAST, fault detection in machines involved simple
techniques such as overcurrent or overvoltage detection.
After detection, it was required to bring the machine offline
to clear the fault. In safety-critical applications, however, a
shutdown of the motor may not be acceptable. This demands
better fault-detection and remediation strategies. The first step
in dealing with a fault in the drive is being able to detect it
quickly and determine its location and severity accurately. This
is particularly critical in stator short-circuit faults which can
cause catastrophic damage to the machine in a very short time,
making any fault compensation impossible thereafter. It has
been shown in [1] that it takes less than 2 s for a single turn
fault to develop into a critical fault in a typical 15-kW induction
motor.
Stator short-circuit faults are a problem particularly for
permanent-magnet (PM) machines, since this type of fault can
produce magnetic field intensity higher than the coercivity of
the magnets, thereby demagnetizing the magnets permanently
and, in the process, damaging the machine. However, in a fault-
tolerant methodology, even if the turn-to-turn fault is detected
at an early stage, it is difficult to demagnetize the magnets by
GANDHI et al.: RECENT ADVANCES IN MODELING AND ONLINE DETECTION OF STATOR INTERTURN FAULTS
Fig. 1. General overview of fault-diagnosis systems.
external means. This induces currents in the shorted turns that
can damage the winding. For this reason, it is paramount that
interturn faults are detected at the earliest.
Short-circuit faults form 21% of the faults occurring in
electrical machines [2]. It has been reported that most short-
circuit faults begin as interturn faults [3], which occur due to
insulation failures but develop into more serious faults very
quickly. Insulation failures are attributed to different reasons,
with the primary reason being excessive thermal stresses. Other
reasons for insulation failure include voltage stresses, aging,
vibrations, or mechanical handling during assembly.
Any fault is an imbalance that is reflected in the physical
quantities like the torque, air-gap flux, stator currents, and others.
By analyzing these signals, interturn faults can be detected.
Fig. 1 shows the general steps involved in a fault-detection-
and-diagnosis (FDD) process in electrical motors. The signal-
measurement block measures physical quantities that reflect the
fault. It can either be direct measurement or estimation based on
observers/estimators. After the signal is obtained, fault features
present in this signal are isolated in the feature extraction
block. The extracted information is then fed to a fault-decision
algorithm that compares it with prerecorded information on the
signal to arrive at a fault decision.
An exhaustive survey of detection and diagnosis methods
of various faults such as stator faults and bearing damage in
induction machines has been presented in [4] and [5]. Interturn
faults are particularly challenging to detect at an early stage.
Several approaches have been proposed for the detection and
diagnosis of interturn faults. A review of both online and offline
methods available for interturn-fault detection in low-voltage
induction machines has been presented by Grubic et al. in [6].
This paper presents a review and summary of various online
interturn-fault-diagnosis strategies for electrical machines with
a focus on PM machines and discusses their strengths and
weaknesses briefly. In this paper, the terms “fault,” “short-
circuit fault,” and “turn–turn fault” refer to an interturn short-
circuit fault unless stated otherwise.
This paper is organized as follows. Section II reviews various
motor current signature analysis (MCSA) techniques for both
induction and PM machines. Methods that use other signals for
fault diagnosis are reviewed in Section III. Models developed
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1565
to simulate interturn faults in electrical motors are presented
in Section IV. Section V reviews artificial-intelligence (AI)
methods for machine modeling and fault decision making.
Section VI concludes this paper.
II. MCSA
A detailed survey of different signal-processing methods that
have been used to extract fault features in electric machines
has been presented in [7]. MCSA has proven to be an efficient
technique for fault detection and is the most sought after.
In most drive systems, current sensors are already present to
provide good controllability. Hence, by using stator currents
for fault detection, the number of additional sensors required
for fault-tolerant operation of the drive can be minimized. Also,
MCSA is a completely noninvasive method for fault diagnosis.
In an induction machine, the frequencies produced by inter-
turn shorts [9] in the stator current around the base frequency
are given by
 
m
fst1 = fs (1 − s) ± k (1)
p
where fs is the base frequency, m = 0, 1, 2, k = 0, 1, 3, 5, p is
the number of pole pairs, and s is the per-unit slip. The fre-
quencies can be analyzed using any frequency-domain signal-
processing technique in order to extract the fault information.
The standard method is to perform frequency analysis using
Fourier transforms. In [10], the authors show the use of fast
Fourier transform (FFT) for fault diagnosis in a mains or
inverter-fed induction motor. Due to the presence of voltage
unbalances and other asymmetries, only frequencies corre-
sponding to specific combinations of k and m in (1) can be
used for short-circuit-fault diagnosis. In [8], stator line cur-
rents of a three-phase star-connected induction machine were
decomposed into positive- and negative-sequence components.
Third-harmonic components of these sequence currents are
then used for fault diagnosis. Using prerecorded information on
these sequence components, effects due to voltage unbalance
and inherent asymmetries were removed to isolate the fault
signature. In [11], Fourier series has been used to monitor the
second-order harmonic component of the q-axis current (same
as the third-harmonic component of phase current) in a PM
synchronous machine (PMSM) under fault.
FFT averages the signal in time and performs analysis in
frequency domain. As the original current signal is in time
domain, transforming it into frequency domain can mean loss
of certain important events. These events can be speed or load
variations of the machine. When such events are present, FFT
is not a reliable technique for short-circuit-fault detection [9].
In [12], an envelope of the stator current has been extracted
and used for fault diagnosis in an induction machine. The
envelope was obtained by constructing a smooth signal using
sampled positive peaks of the stator current. Fault signature
from the envelope was extracted using a statistical clustering
technique called Gaussian Mixture Model (GMM). The signa-
ture was then fed to a maximum-likelihood Bayesian classifier
for diagnosis. The proposed method was found to be 99%
1566
Fig. 2. Multiple-reference-frame-theory-based fault diagnosis [14].
accurate in detecting a single turn short (out of 240 turns) under
50% rated load.
Barendse et al. [13] have presented an adaptive algorithm
for fault detection in PM machines under dynamic conditions.
It has been shown that the adaptive algorithm extracts fault-
related sinusoids from the motor currents. Root-mean-square
(rms) values of these sinusoids reflect the presence of faults.
Cruz et al. [14] suggest the use of multiple reference frame
theory for fault diagnosis. This technique is shown to be im-
mune to voltage unbalances or nonstationary conditions. In this
method, the positive sequence of the stator currents of a faulty
induction machine has been assumed to be the superposition
of the healthy machine currents (denoted by superscript h) and
the fault currents (denoted by superscript f ). In order to obtain
fault-current components ifds and ifqs from the phase currents,
negative-sequence currents were first removed (Fig. 2). Healthy
current components were estimated using motor parameters
and then were removed from the signal to give only the dq
components of the fault current.
To isolate significant fault features from the current sig-
nals when the drive is operating under dynamic conditions,
it is advantageous to perform analysis in time and fre-
quency spaces simultaneously. An extension of FFT called the
short-time Fourier transform (STFT) can be used to perform
time–frequency analysis. The STFT of a signal [15] is given by
 In [15], an improved version of the DWT algorithm called
ST F T (t, f ) = h(t − τ )s(τ )e−2πf τ dτ
where s(τ ) is the signal to be analyzed and h(t − τ ) is the win-
dow function used. In [16], two types of stator electrical faults
are diagnosed using STFT—turn-to-phase short and change
in resistance between controller and motor. A classification
algorithm such as the linear discriminant analysis has been used
to identify the type of fault that had occurred. However, STFT
requires high processing power [9] and is not very flexible as the
window function has to be chosen prior to analysis and cannot
be changed once selected. By fixing the window function, only
a limited amount of speed and load variations can be handled.
In order to overcome these problems, wavelet transform has
been used in [9], [15], and [17]–[20] as an alternate tool for
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IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 58, NO. 5, MAY 2011
fault feature extraction. One-dimensional continuous wavelet
transform (CWT) is given by
  
1 ∗ τ −t
W (t, a) = √ s(τ )ψ dτ (3)
a a
where a is the scaling factor and ψ ∗ (τ − t/a) is the wavelet
function. An advantage of wavelet transformation over STFT
is that the wavelet function (ψ ∗ (τ − t/a)) is scalable. This
allows wavelet transformation to adapt to a wide range of
frequency and temporal resolutions. Also, discrete-wavelet-
transform (DWT) algorithms have been developed, which re-
quire less computation than STFT. In DWT, the signal is first
passed through both high- and low-pass filters. After down-
sampling (by two), the outputs from the high- and low-pass
filters are referred to as approximation and detail coefficients,
respectively. To achieve higher detail levels, the same step is
repeated with the approximation coefficients in place of the
signal. DWT has been performed on the dq components of
the stator currents of an induction machine [17] and a PM
machine [19] to extract fault-related detail coefficients. In [19],
for a wide speed range of operation, it has been found that
rms values of the lower detail levels (levels 1–3) reflected the
fault unambiguously. A CWT block has been suggested to be
used in parallel with the DWT block as CWT provides good
fault-detection capability. Significant coefficient (scale = 32)
after CWT showed 40% increase in the case of a 12-turn short
in a 380-V 6-pole 6000-r/min PMSM running at 1500 r/min.
In [20], the authors have shown the use of CWT for fault
diagnosis in a voltage-source-inverter (VSI)-fed brushless dc
motor. Khan and Rahman [18] have presented a complete fault-
diagnosis procedure for an interior PM (IPM) machine using
wavelet packet transform (WPT) as the tool for feature extrac-
tion and neural networks (NNs) for fault decision making. WPT
is similar to DWT, but in WPT, the high- and low-pass filters are
applied to both the detail and approximation coefficients at each
level. Hence, at the nth level, WPT gives 2n coefficients while
DWT gives only two.
The DWT of the shifted (downsampled) signal, in general, is
different from the shifted version of the DWT of the original
signal. This is because DWT is not a shift-invariant transform.
Such a drawback can cause problems in fault classification.
(2) undecimated DWT (UDWT) or stationary wavelet transform
has been proposed to add a shift-invariant property to DWT.
In UDWT, the downsampling process at each level is not
performed. Instead, the filters used at each level are upsampled
versions (by two) of the filter used at the previous level.
In [9], it has been found that it is beneficial to perform power-
spectral-density-based DWT. In this method, the energy of each
detail coefficient at a particular level is defined as the sum
of the squares of all detail coefficients up to that level added
to the square of the approximation coefficient of that level.
By monitoring the energies of the detail coefficients, which
include all the significant detail coefficients (from lower levels
as well), the power-spectral-density method performs better
than traditional DWT methods which only attempt to monitor a
single detail coefficient.
GANDHI et al.: RECENT ADVANCES IN MODELING AND ONLINE DETECTION OF STATOR INTERTURN FAULTS
A disadvantage of wavelet transforms is that, once the
wavelet family is fixed, the same is used over the entire data,
which makes it inadequate when fault current signatures are
weak [22]. For this reason, other joint time–frequency analysis
techniques such as Wigner–Ville distribution (WVD), Pseudo-
WVD, and Zao–Atlas–Marks (ZAM) distribution that belong
to the Cohen class have been discussed in [21] for brushless
dc motors. The general form of these Cohen-class quadratic
time–frequency transforms [9] is given by

D(t, f, ϕ) = ejξμ−τ ω−ξt) ϕ(ξ, τ )
 τ ∗ τ
×f μ + f μ− dμdτ dξ
2 2
where ϕ(ξ, τ ) is the kernel function and ξ and μ are the
running frequency and time variables of the integration, re-
spectively. The rest of the variables are as defined for STFT
and wavelet transforms. In these time–frequency analysis tech-
niques, a phase-locked-loop-based adaptive filter was used to
filter out the fundamental frequency from the signal. This
improved the efficiency of these techniques in case of wide
rotor-speed variations and weak current signatures. However,
using adaptive filters involves computational complexity and
additional hardware. This issue was addressed in an improved
technique called empirical-mode decomposition (EMD) [22],
where the current signal was decomposed into different oscilla-
tory signals called intrinsic mode functions before carrying out
joint time–frequency analysis. The reported technique used the
signal itself for the decomposition process, thereby making it
independent of rotor speed. In [22], it has been shown that EMD
has advantages when fault current signatures were weak. It was
found to be more tolerant to measurement/sensor noises and
other interferences. For a PMSM running at 600 r/min with 12
turns shorted, FFT performed on the decomposed current signal
showed a 19-dB increase (compared with the healthy case) in
the third harmonic [22]. Slot harmonics and rotor asymmetry
harmonics were also reported to have been identified during the
EMD/ZAM analysis of the stator currents.
Cohen-class-based time–frequency analysis is much more
time consuming than FFT or DWT due to the complexity
and computations involved. However, it is shown in [9] that,
with the advent of fast digital signal processors (DSPs), the
time taken is very small for all practical purposes. It has been
indicated that it takes 98 μs to detect a fault based on an
optimized ZAM analysis on a data slice of length 129. As
EMD is an iterative procedure, it takes more time than the other
techniques discussed previously. However, it has been claimed
in [22] that there is sufficient time (takes tens of milliseconds) to
carry out new online EMD algorithms in the latest 32-b DSPs as
interturn faults develop with thermal constants that are at least
a few hundred milliseconds.
MCSA depends on the current signal measurement device.
In [23], a Rogowski coil designed without an integrator is sug-
gested such that the fault harmonics have significantly higher
magnitudes and can serve better in fault diagnosis.
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1567
III. OTHER S IGNALS U SED FOR FAULT D IAGNOSIS
Different signals have been analyzed for fault-related
features in both induction and PM machines. Cheng et al.
[24] have shown that the coupled negative–positive-sequence
impedance Znp of an electric motor can be used to detect
short-circuit faults. For a Y-connected induction machine with
inherent asymmetries, the steady-state voltage equation can be
described as
V˜n = Znp I˜p + Znn I˜n . (5)
When an interturn fault occurs, it changes the asymmetric
behavior of the machine. This causes a change in the value of
Znp . In [24], the authors have shown that robust fault detection
(4) can be achieved in closed-loop induction motors by monitoring
this change in the value of Znp . The method has been shown
to detect interturn fault within five cycles of the fundamental
frequency. However, it does not account for nonlinearities
associated with the inverter.
In [25], rotor field voltage has been analyzed to detect
stator faults in a synchronous machine. Owing to structural
asymmetries of the field coils, it has been found that specific
field-voltage harmonics increase to clearly indicate the presence
of any fault. The order of the fault harmonics depends on the
number of pole pairs in the machine. Fault is reflected in the
odd harmonics, while voltage unbalance and time harmonics
are reflected in the even harmonics. In order to increase the
sensitivity of the method, search coils mounted on the rotor
are suggested. In this method, only one signal needs to be
monitored; therefore, it is easy to implement.
Henao et al. [26] have used stray flux sensors to detect
short-circuit faults. It has been reported that this method works
well for both line-fed machines as well as VSI-fed machines.
External flux sensors are noninvasive and can be used with
existing machines.
Bianchini et al. [28] have transformed phase voltages into
the αβ reference frame (Clarke Transform) before analysis,
and they have claimed that −f and −3f components of the
voltage space vectors, where f is the fundamental frequency,
provide the fault information. In [32], magnetic pendulous
oscillation phenomenon in electrical machines with faults has
been used for fault diagnosis. Here, the swing angle has been
calculated using measurements of voltage and current. The
angular phase difference between the space vectors of stator
voltage and current has been plotted on a polar plane. The
maximum deviation of this angle in the polar plane is defined as
the swing angle. For a fault current exceeding the phase current,
the swing angle has been shown to be a reliable fault indica-
tor. In the case of a 2-hp 2-pole induction motor running at
3510 r/min, the swing angle, averaged over 5 s, increased by
60% for 1.39% of shorted turns.
In [29], a novel way of detecting short-circuit faults has
been proposed in which the statistical distribution of current-
controlled VSI (using space-vector PWM) switching states
were used to identify the fault. Another innovative technique
has been proposed by Britz et al. [30] for the interturn-fault
detection. In this method, a high-frequency (HF) current com-
ponent was injected, and the negative sequence of this HF
1568 IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 58, NO. 5, MAY 2011

Fig. 3. Fault diagnosis by HF injection technique [31].

current was investigated to detect the fault. Any imbalance in Fig. 4. Arrangement of search coils in the stator teeth to detect short-circuit
stator phase windings due to a turn–turn fault has been reported faults [27].
to have given rise to different direct and quadrature axis leakage
IV. M ACHINE M ODELS FOR I NTERTURN -FAULT
inductances in the stationary reference frame. This imbalance
A NALYSIS AND D IAGNOSIS
gave rise to a stationary saliency. Thus, by investigating the dc
component of HF negative-sequence current, the authors have Computer simulation using machine models facilitates the
shown that they were able to detect the fault and also the phase study of short-circuit faults in electrical machines. It provides
in which the fault had occurred. A similar HF injection tech- an inexpensive and convenient method for the initial develop-
nique, where saliency measurement was used for fault diagnosis ment and testing of a fault-diagnosis algorithm. Machine
in PMSMs, has been reported in [31]. HF sequence components models offer the additional flexibility of simulating different
of the currents of the healthy machine were stored in a reference machines by changing the parameters of the model.
table. Measured HF sequence-component currents were then Mathematical modeling has been the most commonly used
compared with the table values to generate residues that were modeling technique for studying short-circuit faults in electrical
used as diagnostic indices. Fig. 3 shows the blocks of the fault- motors. A transient lumped-parameter model of a PMSM is
diagnosis method used in [31]. presented in [40] and [41]. The equivalent circuit of such a
In [33], short-circuit-fault detection based on reference volt- model is shown in Fig. 5. Phase “a” has the interturn fault. as1
ages generated by current controllers of an IPMSM has been represents the faulty part of phase “a,” and as2 represents the
discussed. Reference voltages were generated using direct- and healthy part. Transient and steady-state values of the currents
quadrature-axis currents, and they contain the fault information. under interturn faults have been obtained from the following:
These voltages, when viewed in rotor reference frame, take into
dIs dif
account the speed change of the load (dynamic conditions). It V s = R s Is + L + Es − R0 if − L0 (6)
has been shown that the magnitude of the positive-sequence dt dt
component of the reference voltage is reduced in case of a fault. where
This technique has been proven to be simple and computation-
ally less intensive. It has also taken into account nonlinearities Vs = [ va vb vc ]T Is = [ ia ib ic ]T
associated with the inverter. Again, a lookup table has been used
Es = [ ea eb ec ]T R0 = [ Ra1 0 0 ]T
to generate residues used for fault diagnosis.
⎡ ⎤
Awadallah et al. [34] have monitored electromagnetic torque Ls Mab Mac
waveforms and the summation of phase voltages in order to L = ⎣ Mba Ls Mbc ⎦
detect faults. The DFT of these signals has been reported to give Mca Mcb Ls
the number of shorted turns (severity of the fault), and STFT has
been reported to provide the location of the fault. An Adaptive L0 = [La1 + Ma1a2 Ma1b Ma1c ]T .
Neuro-Fuzzy Inference System (ANFIS) has been used to make
The voltage equation for the fault loop is given as
the fault decision. In [27], a search coil was placed in the stator
teeth (Fig. 4) to analyze the change in flux when a short circuit dia dib dic
occurs in a PM brushless machine. The output voltage of this Ra1 ia + (La1 + Ma1a2 ) + Ma1b + Ma1c + ea1
dt dt dt
coil was then used to identify a short-circuit fault. dif
Table I lists the least severity (percentage of shorted turns) = (Ra1 + rf )if + La1 . (7)
dt
that was detected experimentally using the various detec-
tion techniques reviewed in this paper (as reported in the In [41], an inverter-fed PM machine under short-circuit faults
references). has been modeled. Pole voltage is defined as the voltage at the
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GANDHI et al.: RECENT ADVANCES IN MODELING AND ONLINE DETECTION OF STATOR INTERTURN FAULTS 1569

TABLE I
M INIMUM FAULT S EVERITY D ETECTED BY VARIOUS T ECHNIQUES

motor terminal with respect to the ground of the dc link. Under using the switching states of the inverter. In [40], the model (6)
unbalanced conditions, phase voltages cannot be obtained from has been transformed from abc to the dq reference frame. In this
pole voltages easily. Hence, (6) was derived in terms of line paper, spatial harmonics present in the back-EMFs due to PM
voltages. The line voltages were obtained from pole voltages flux distribution have also been taken into account. This has
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1570 IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 58, NO. 5, MAY 2011

Fig. 6. Slot leakage-flux estimation [42].

Fig. 5. Equivalent circuit of a three-phase PMSM with interturn fault in phase

“a” [40].

been shown to improve the accuracy of turn-fault simulation

appreciably.
Fault-tolerant PM machines typically have a modular struc-
ture with concentrated windings in order to have electrical,
mechanical, and magnetic isolation between phases. In such
cases, it becomes enough to analyze the single phase in which
the fault has occurred [42]. The governing equations for the
faulted phase (phase a) can then be written as
dia2 dia1
va − ea2 = Ra2 ia2 + La2 +M (8)
dt dt
dia1 dia2
va1 − ea1 = Ra1 ia1 + La1 +M . (9)
dt dt
Fig. 7. Basic DMRM of a single stator slot [39].
To accurately determine the transient and steady-state behav-
ior of a PM machine under interturn fault, it is necessary to Gerada et al. [39] have used the dynamic mesh reluctance
correctly estimate the self-inductances and mutual inductances model (DMRM) approach to model a surface-mounted PMSM
of the machine. Interturn faults increase the slot leakage flux under interturn faults. In this method, the machine has been
and reduce the main air-gap flux. Therefore, under fault, the modeled by geometrically dividing it into a number of elements
inductances are no longer only functions of the number of turns represented by reluctances. The flux through each of these re-
and slot geometry but are also dependent on the location of luctances was calculated as a function of the magnetic potential
faulted turns in the slot [42]. In [42], the total leakage flux difference across them. Faulted turns have been modeled as
linking the shorted turns has been computed by integrating additional phase winding that is magnetically coupled with all
the magnetic flux density. Flux density in the slot has been the windings but with no external source. Fig. 7 shows the basic
estimated using the following: stator-slot mesh model used in [39] for a three-phase double-
μ0 N I layer surface-mounted PMSM. A thermal model for Ra1 is used
B= (x − ha ) (10) to account for effects due to heating.
K hs
Computer simulations can be performed either using math-
where K is a factor that depends on slot geometry (Fig. 6) and ematical models or finite-element (FE) models. Analytical ap-
the location of fault. It is to be noted that the resistance of the proaches, although widely used, are unable to accurately model
faulty part of the phase winding (Ra1 ) in (7) is not constant. a machine when nonlinearities are present. With the advent of
It increases with thermal time constant because of the heating fast processors, FE-analysis (FEA) software has become effi-
caused by the high fault current [39]. This factor is not included cient and faster at providing solutions. Recent FEA packages
in the model discussed in [42]. use coupled field-circuit algorithms that allow the analysis of
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GANDHI et al.: RECENT ADVANCES IN MODELING AND ONLINE DETECTION OF STATOR INTERTURN FAULTS
electrical quantities in the windings of a machine [43], [44].
This eases the study of interturn faults in electrical machines
and the acquisition of short-circuit data under varying operating
conditions. As the mathematical model depends on the accuracy
of the measurement of machine parameters, FEA was used
in [44] to generate the machine parameters. These parameters
were then used in a lumped-parameter transient model of a PM
machine under fault. This takes into account the presence of
slot leakage flux, which was neglected in [41].
Similar models have been developed for interturn-fault
analysis in induction machines [35], [37], [38]. A transient
model of an induction machine under interturn faults has been
presented in [37]. The machine inductances were calculated
using winding functions as shown in the following:
2π
Lij (θ) = μ0 rl g −1 (ϕ, θ)Ni (ϕ, θ)Nj (ϕ, θ)dϕ.
0
Saturation effect was accounted for by including a sinu-
soidally varying second-harmonic permeance component in
the air-gap function. The winding-function approach developed
for interturn-fault simulation in induction machines has been
adapted to brushless dc PM machines in [36]. In [38], a similar
circuit-based model of a doubly fed induction machine under
interturn faults has been presented.
Mahyob et al. [35] have developed a permeance network
magnetic model of an induction machine which is coupled with
the electrical model of the machine to perform analysis. The
permeance network model is obtained by dividing the machine
into many small flux tubes. This method is similar to the
DMRM [39] that was discussed previously for a PM machine.
While it is clear that machine models provide an easy way
to acquire short-circuit data for fault analysis and development
of fault-diagnosis algorithms, they have also been used for real-
time fault-diagnosis purposes. This approach to fault detection
is generally referred to as model-based fault diagnosis. In this
method, input to the machine is also fed to the model. Signals
from both the real machine and the model are acquired simulta-
neously and compared against each other (residual generation)
to arrive at a fault decision. This type of fault-diagnosis tech-
nique uses both the input signal and the output signal from the
machine and can be completely noninvasive. During operation,
the model-based fault-detection mechanism still requires the
analysis of machine signals but the mathematical and computa-
tional tasks are reduced by having detailed prior knowledge of
the behavior of the machine. In some cases, instead of directly
using the input and output measurements for fault diagnosis,
these measurements are used for state estimation. The estimated
states then serve as fault diagnostic indices.
State observer models have been used in [46] and [47] to
detect turn-turn short-circuit fault in induction motors. Fig. 8
shows the observer model used in [46]. Input voltage (vdqs ) and
output current measurements (idqs ) are used by the observer to
estimate stator currents (îdqs ). The estimated current is com-
pared with the measured current to generate a current estima-
tion error. The current estimation error is then decomposed into
two terms—one (μqd if ) that is used to generate the vectorial
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1571
Fig. 8. Adaptive-observer-based fault diagnosis [46].
residual and the other (e∗qds ) that is used to correct the observer
parameters according to the operating conditions. This type of
model is robust to parametric variations. In [47], an analytical
(11) model of a delta-connected induction machine is developed and
linearized. An adaptive observer is then built to estimate the
motor state and the fault severity. Due to the adaptive nature of
the observer, it has been reported to work even in the case of
supply-voltage unbalances and speed changes.
In [49], an online parameter estimation technique is used to
detect faults in a PMSM with a closed-loop drive system. In
this paper, the machine parameters have been estimated using
a recursive least squares (RLS) algorithm. The RLS algorithm
maintains the residual of the parameters at a minimum in
healthy conditions. When there is a fault, the unbalance is
reflected in the estimated parameters, and the residual moves
away from the minimum to indicate the fault.
In spite of the fact that FEA has become faster, it is still
computationally intensive and thus considered slow for appli-
cation in fault detection. Mohammed et al. [45] have used the
FE-based phase-variable model for fault detection. It combines
the FE field model proposed in [43] and the modified winding-
function model [37] to achieve considerable reduction in the
computation complexity and, consequently, the time taken for
fault detection.
In [48], the model is generated using field reconstruction
method (FRM). FRM is used to estimate the flux linking each
stator slot, which is then compared with real measured values
to arrive at a fault decision (Fig. 9). This method is computa-
tionally less intensive because FEA of only one stator slot is
performed and fields in the other stator slots are reconstructed
using this information.
The biggest disadvantage of these model-based approaches
is that any factor that was not modeled properly might lead
to an erroneous detection of fault. Moreover, in the case of
PM motors, which possess inherent nonlinearities, these model-
based approaches are to be carried out with utmost care.
V. AI A PPROACHES TO FDD
Lookup tables offer a simple approach to store threshold
values of the fault indices for comparison and fault decision.
Data stored can either be from a healthy machine or a faulty
machine or both. In cases where less data are available, inter-
polation methods are used. However, this requires a higher
margin of detection threshold, which slows the response to
1572
Fig. 9. FRM [48].
fault. Also, in case of nonlinearities, lookup-table-based fault-
decision systems are not very efficient.
Knowledge-based systems provide an effective alternative to
lookup-table-based methods. Fault decision using NNs allows
for better diagnosis of current signatures without giving false
alarms. An example of an implementation of a fault detection
using an unsupervised NN model has been explained in [51].
This method was used for interturn faults on an induction ma-
chine, but the method would work similarly for a PM machine.
The first stage in this method is the use of Clarke–Concordia
transformation to change the phase currents to the αβ reference
frame
2 1 1 conditions. Different fault conditions were simulated using
iα = ia − √ ib − √ ic
3 6 6 variations of up to 45% and was able to detect incipient faults
1 1
iβ = √ ib − √ ic .
2 2
The variables iα and iβ are then the inputs to the NN model,
sampled over time. The NN has a single layer of neurons
(no hidden layers) that performs a Hebbian-based principal
component analysis. The output of the NN is monitored for fault
indications. Under healthy conditions, the output is a circular
plot, similar to the shape of a Park Vector. When in fault, the
output vector is an ellipse with the principle axis indicating the
faulted phase.
In [12], the extracted current envelope is normalized and used
as the parameter for a GMM. GMM creates a mixture for many
healthy conditions as well as each type of fault considered.
The detection scheme then classifies envelope signatures while
running into one of these mixtures using a Bayesian maximum-
likelihood classifier. It classifies a new signal based on its
proximity to an existing mixture. This method requires less data
processing than many NN or fuzzy logic (FL) techniques, but
shares other issues. For example, this method requires that the
majority of the data come from fault conditions.
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IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 58, NO. 5, MAY 2011
The problem of how many variables are needed for a best
fit of an NN/FL model in the stator turn-to-turn fault detection
is addressed in [52]. FFT is used to extract the fault signature
from stator currents. The third harmonic of the current is
identified as the best indicator. This component is then fed to
an ANFIS. It should be noted that the data here on current are
less granular than those of other models which would use three-
phase currents as inputs.
The authors use a combination of the stronger elements of
NNs and FL and examine a model that uses only motor current
and ωm (mechanical frequency) against one that includes three
additional parameters—stator winding temperature, bearing
temperature, and the noise of the motor. The five-input model
also considered bearing failures, explaining the inclusion of
motor noise as an input. It has been explained that a turn-to-
turn fault causes an imbalance in the air-gap flux, which causes
a characteristic humming as the fault develops. This model
improved detection by 2% over a two-input system. This illus-
trates the strength of AI-based fault-detection systems. It will be
difficult to incorporate such noise data into mathematical-based
or table-based detection methods. NNs and other AI methods
are able to allow a larger range of inputs.
In [53], the authors take existing methods for turn-to-turn
fault detection using NNs for open-loop systems (where con-
ditions are relatively constant) and create a feedforward NN
for closed-loop systems. This allows the NN to predict turn-
to-turn faults over a wide range of frequencies and loads. Phase
shifts between phase voltages and line currents have been used
as the input to the NN model. This methodology is carried
out on a test bed providing a practical validation of NNs in
turn-to-turn fault detection. The authors carried out training
with a 28.8-kVA variable-frequency drive connected to an
11.25-kW, 640-V, 60-Hz, Y-connected, eight-pole PMSM over
a variety of load conditions both under healthy and faulty
(12) taps in the stator windings. The technique was tested for load
effectively (6.25% of a normal 25-A phase current).
(13)
NNs require training using different initial values of param-
eters to achieve a robust model. In [54], the authors describe
a fuzzy NN model trained using genetic algorithms (GAs)
that provides a very flexible and specific response to nonlinear
situations unique to a machine construction.
A method using particle swarm optimization (PSO) for de-
termining the location and severity of the fault is proposed in
[55]. PSO shares the ability of NN and fuzzy logic systems to
handle nonlinearities. It trains using both data measured from a
healthy motor as well as data obtained from simulation of faulty
conditions. The PSO starts with a random selection of particles
and then iterates until the error is minimized, according to
 
vik+1 = wi vik + c1 rand1 × pbesti − xki
 
+ c2 rand2 × gbesti − xki (14)
xk+1
i = vik+1 + xki (15)
where xi is the ith particle, c1 and c2 are positive “acceleration
constants,” and w is the “inertia constant” of the particles.
GANDHI et al.: RECENT ADVANCES IN MODELING AND ONLINE DETECTION OF STATOR INTERTURN FAULTS
pbesti and gbesti represent the local particle best fit and the
global swarm best fit data, respectively. rand1 and rand2 are
random functions in the range [0, 1]. PSO works similarly to
GA when searching for a solution space. However, in GA,
information is swapped between all cases, whereas in PSO, only
the best particle passes on its information to the next iteration.
The authors claim a fit of +/−0.5% within 25 generations
using a population of eight particles.
In all the methods discussed, after training, the models be-
come machine specific. Hence, for a new machine, a new set of
training data will be required. Also, these methods assume that
short-circuit-fault data are available to train the model. How-
ever, as elaborated in [50], it is possible for unforeseen fault
conditions to arise, which the model has not been trained for.
As a result, the fault may not be detected or may be erroneously
detected. The authors of [50] propose a way of reducing this
training burden through “Continual Online Training” (COT).
This essentially allows the weighting of the NN on a moving
basis, and the model “forgets” previous weights.
Global minimum training (GMT) is a type of training al-
gorithm in which the NN is taught to ignore nonideal char-
acteristics that are normal to a healthy machine. In GMT,
each training vector of the database is presented to the NN
several times, and the weights are updated until a sufficiently
low estimation error is obtained. However, in COT, an input
is presented only once. The rest of the training happens as
and when data are obtained. Hence, data need not be saved
to a database. The NN weights “forget” past operating con-
ditions and only learn the present operating condition. Under
COT, the monitoring regime over an interval T is divided into
training and monitoring periods, where the training periods
are used as the basis of the NN weights. The COT method
requires no training prior to commissioning since the acceptable
error is measured relative to the recently estimated states. A
possible issue with this method, however, is that the model
may not detect a slowly developing fault, since it will be
present in all of the retained data and will be considered
normal.
A method to combine the strengths of both the feedforward
NN and the COT regimes is proposed in [50] using a method
called Diagonal Recurrent NN. In this paper, the authors break
the turn-to-turn detection solution into two—one NN detects
the fault and the second one detects severity and location. This
NN model is of the multilayer perceptron type and trains using
backpropagation algorithm. After every iteration, predicted and
actual outputs are compared, and if the error is greater than
a specified threshold value, the model generates an additional
neuron. This method allows the model to achieve the desired
accuracy using a minimum number of hidden layer neurons.
This reduces computational burden.
VI. C ONCLUSION
This paper has reviewed different analytical, AI, and FE
modeling methods developed for fault analysis and detection
in induction and PM motors. Analytical modeling is by far
the fastest method to analyze interturn faults but compromises
accuracy. FE methods offer the most accurate simulation tech-
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1573
nique but are more time consuming. Artificial models, once
trained, provide a fast and accurate simulation of the machine.
However, these models are machine specific and require exten-
sive training to provide good results under all conditions.
A purely signal-based model may be successful at detecting
positives for fault behavior and will be cheap and fairly easy to
implement, but incorrectly triggers for other fault situations. For
this reason, a thresholding-based fault-decision process may not
provide sufficient robustness. It is seen that the fault-decision
process is further improved by combining feature extraction
with a knowledge-based decision-making process. Motor cur-
rent has been the most commonly monitored signal for faults
because it is easy to monitor and no additional sensors are
required. Wavelet analysis and other time–frequency analysis
techniques are found to be the most efficient in extracting fault-
related features even under nonstationary operating conditions
of the drive.
Time taken to detect a fault depends heavily on the feature-
extraction and fault-decision processes. Algorithms used in
these two steps have to be chosen and coordinated well in
order to develop a quick and reliable fault-diagnosis proce-
dure. Hence, for effective short-circuit-fault mitigation, fault-
diagnosis techniques must be quick in detecting not only the
inception of a fault but also its location and severity. Fault-
diagnosis techniques developed for PM machines are few in
number when compared with induction machines. There is
much scope for research in this area.
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GANDHI et al.: RECENT ADVANCES IN MODELING AND ONLINE DETECTION OF STATOR INTERTURN FAULTS
Arun Gandhi (S’09) received the B.E. degree
in electrical and electronics engineering from the
College of Engineering Guindy, Anna University,
Chennai, India, in 2007. He is currently working
toward the Ph.D. degree in electrical engineering at
Rensselaer Polytechnic Institute, Troy, NY.
His research interests are in condition monitoring,
fault-tolerant drives, and linear machine design.
Timothy Corrigan (S’09) received the B.Eng.
degree in electrical engineering from The City
College of New York, New York, in 2008. He is cur-
rently working toward the Ph.D. degree at Rensselaer
Polytechnic Institute, Troy, NY.
Has worked in the renewable-energy field and his
research interests are in the design, analysis, and
control of power electronic converters for renewable-
energy systems.
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Leila Parsa (S’00–M’05–SM’10) received the Ph.D.
degree in electrical engineering from Texas A&M
University, College Station.
In 2005, she joined the Department of Electrical,
Computer and Systems Engineering, Rensselaer
Polytechnic Institute, Troy, NY, as an Assistant
Professor. Her research interests are in the design,
analysis, and control of electromechanical energy
converters and power electronic converters for
various applications.
Dr. Parsa is the recipient of the 2010 RPI School
of Engineering Research Excellence Award, the 2009 Office of Naval Research
Young Investigator Award, the 2007 IEEE Industry Applications Society Out-
standing Young Member Award, and the 2006 IEEE Industry Applications
Society Transactions Paper Award.