IET Electric Power Applications

Review Article

Induction motor broken rotor bar fault ISSN 1751-8660

Received on 21st January 2018

detection techniques based on fault signature

Accepted on 17th March 2018
E-First on 14th May 2018
doi: 10.1049/iet-epa.2018.0054
analysis – a review www.ietdl.org

Ola E. Hassan1, Motaz Amer2, Ahmed K. Abdelsalam3 , Barry W. Williams4

1Zewail City of Science and Technology, University of Science and Technology, Giza, Egypt
2Basic and Applied Science Department, College of Engineering, Arab Academy for Science and Technology (AAST), Alexandria, Egypt
3Electrical Engineering Department, College of Engineering, Arab Academy for Science and Technology (AAST), Alexandria, Egypt
4Electrical Engineering Department, Faculty of Engineering, Strathclyde University, Glasgow, UK

E-mail: ahmed.kadry@aast.edu

Abstract: The induction motor is the most popular motor in energy conversion and industrial drive systems. This popularity is
due to its robustness, low cost, and easy maintenance. Electrical, mechanical, thermal, magnetic and environmental stresses
cause faults in the induction motor during the operation process. One of the challenging topics for many researchers is the
development of a reliable efficient induction motor fault diagnostic techniques. The broken rotor bar fault is one of the critical
faults that need to be early detected due to its sudden severe damages. The objective of this study is to present a survey of
existing broken rotor bar fault detection techniques with new classification based on fault signature. Various monitoring
conditions and signal processing techniques are considered for the detection process. A comprehensive list of references is
reported for each fault signature and classified based on (i) loading level, (ii) the number of broken bars, (iii) validation and (vi)
signal processing.

1 Introduction • Dynamic stresses as a result of pulsating mechanical loads,

Induction machines can be controlled like DC machines or even
better due to the evolution of vector control based converters.
Currently, induction motor (IM) is the main element in almost all
kinds of industrial systems due to their robustness, low cost, and
power efficiency. Generally, the most popular IM used is the
squirrel-cage IMs that consumes around (85%) of the power in
industrial plants [1]. Although IMs are robust and reliable, faults
can occur due to corrosive and harsh environments [2].
There are two main categories of IMs’ faults: mechanical and
electrical faults as shown in Fig. 1. Stator electrical faults are ∼30–
40%, while rotor faults are around 5–10%. Mechanical faults, like
eccentricity and bearing faults, present a percentage of 40–50%.
These faults percentages were stated in several failure detection
surveys [4–6]. Other possible external faults can occur due to
incorrect connection of stator winding or utility supply unbalance.
Rotor failures are caused by a combination of different stresses
that act on the rotor due to electromagnetic, thermal, dynamic,
environmental and mechanical aspects. Broken rotor bars (BRBs)
causes are [7–10]:
• Thermal stresses during direct on-line starting or overload that
cause overheating of the rotor cage.
• Magnetic stresses due to electromagnetic forces, unbalanced
magnetic pulls, electromagnetic noise, and vibrations.
voltage fluctuation, shaft torque oscillation and centrifugal
forces.
• Mechanical stresses because of loose lamination, fatigued parts
and bearing failure.
• Residual stresses due to imperfections in the manufacturing
process of the rotor cage.
• Environmental stresses from contamination and abrasion of the
rotor material due to chemicals or moisture exposure.
This paper focuses on one of the electrical faults which is BRBs
fault [11–13]. BRBs can be a serious problem when the IM has to
perform hard duty cycles, in this case, some severe secondary
effects are produced such as [14, 15]
• Broken bars can cause sparking, a serious concern in hazardous
areas.
• If one or more rotor bars are broken, the healthy bars are forced
to carry additional current leading to rotor core damage from
persistently elevated temperatures in the vicinity of the broken
bars and the current passing through the core from broken to
healthy bars.
• Broken bars cause torque and speed oscillations in the rotor,
provoking premature wear of bearings and other driven
components.

It is clear that these effects shorten the lifetime of the squirrel

Fig. 1 Induction motor fault classification [3]
IET Electr. Power Appl., 2018, Vol. 12 Iss. 7, pp. 895-907
© The Institution of Engineering and Technology 2018
cage IM, thus the early detection of the broken bar is necessary for
scheduled maintenance operations in order to minimise its impact
on the production process time [16]. The BRBs can also lead to
shaft vibration, and thus bearing failures and air-gap eccentricity
and so on. Therefore, early detection is essential not only for the
rotor protection but also to prevent other types of motor failures
[17, 18].
There are many condition monitoring methods that can be
classified into either invasive or non-invasive-based techniques to
detect IM BRBs. The invasive techniques such as vibration and
magnetic flux require special sensors to be attached internally to
the motor. On the contrary, non-invasive techniques like the motor
current, speed, torque, acoustical signal and instantaneous power
895

Fig. 2 Proposed classification criteria
Fig. 3 Motor current spectrum
(a) Effect of increasing fault level and, (b) Effect of increasing load level [20]
do not affect the internal construction of the motor. Some of the
non-invasive techniques need a sensor that directly attached to the
motor body like acoustic and torque. All the fault signatures are
monitored online except the induced voltage which is measured
when the supply is disconnected and the machine is shutting down.
Various articles have been presented in the literature attempt to
give a survey of different techniques for detecting IM faults and
their associated extraction methodologies [6, 9, 10, 13, 17, 19].
A review has been given in [9] that addresses major IM faults
as bearing, stator/armature, BRB, and eccentricity faults. The paper
briefly describes how motor current signature analysis (MCSA)-
based techniques can effectively detect various IM faults.
Moreover, a short introduction has been offered regarding
vibrational-based signature analysis techniques and the role of the
recently evolved artificial intelligence (AI)-based analysis
techniques in improving the fault diagnosis process. Zhang et al.
[6] present a survey covering five areas of IM fault diagnostic
mainly: thermal protection, the stator winding insulation
monitoring, bearing, BRB, in addition to air-gap eccentricity fault
detection. For each investigated area, a brief for the fault cause is
presented with a less-detailed enumeration of detection related
techniques. No deep discussion was given specially from the fault
signature analysis aspect. Bindu and Thomas [10] concern mainly
about the application of MCSA in the stator, rotor and mechanical
fault detection, performing as a reduced version of [9].
In [13], a report has been introduced comparing the
performance of various extraction techniques that address IM rotor
breakage only, mainly the famous MCSA in addition to other
techniques as line current space vector modulus, instantaneous
power and instantaneous torque. Those techniques have been
proofed to loose information and do not allow accurate
quantification of the breakage.
On the contrary, a wider scope review has been published late
2008 [17] that briefs stator, rotor, and mechanical IM related faults
with an overview on recent signal processing techniques used in
faults’ estimation as spectral estimation, time-domain analysis,
time–frequency analysis, in addition to AI-based techniques.
The recent article that investigates the signal processing
techniques after 2010 was discussed in [19]. The state-of-art
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discusses all the aspects related to the diagnosis of many faults in
terms of computational complexity, a number of sensors used fault
signature and so on.
In this paper, a new classification is proposed for the IM BRB
fault detection based on fault signature and signal processing
methods. For each fault signature, the proposed classification is
presented to discuss and analyse the fault diagnosis techniques
based on the validation method, loading level and the number of
broken bars.
The remaining part of the paper is organised as follows. Section
2 includes the proposed classification criteria. After that, the fault
detection techniques categorised by fault signature are discussed in
Section 3. Finally, conclusion and discussion of the proposed
classification is presented in Section 4.
2 Classification criteria
In this paper, a review of the condition monitoring of the IM BRB
fault detection techniques based on fault signature is presented.
Researches considering this fault detection techniques use different
signal processing algorithms where the diagnosis process realised
under various loading levels. The proposed classification criteria
rely on four aspects: (i) loading level, (ii) number of BRBs, (iii)
validation methodology and (iv) signal processing technique. Each
fault signature under investigation is discussed in terms of these
criteria. Fig. 2 illustrates the proposed classification criteria.
2.1 Loading level
BRB detection techniques investigate IM operating at determined
loading levels. There are three levels of loading which are no load
(NL), variable load (VL) and full load (FL). The NL term is
considered also as a light load case. VL represents the range
between NL and FL commonly takes values of 25, 50 and 75% of
the FL. In other cases, the VL represents the range between the NL
and FL but with a fixed step like 10%.
The side band frequency components around the fundamental
component indicate any disorder in the motor. All the faults of the
motor whether electrical or mechanical have a significant
frequency component. For BRB, the lower side band is the
frequency component which specifically indicates the fault
existence while the upper side band appears due to load variations.
Therefore, the amplitudes and the presence of the side bands are
affected by the physical position of the broken rotor bars, speed
and load level. The increase in the motor speed and load shift the
locations of the side bands outwards. Fig. 3 demonstrates the effect
of the fault and loading levels on the side bands components.
It was shown that the amplitude of the fault characteristic
frequency component is affected by the loading level and fault
extent. Also, the load fluctuation may sometimes have the same
effect as a broken rotor failure in the stator current. To mitigate the
loading effect and misleading in the detection process it is better to
apply the diagnosis of no-load/ light load condition. In industrial
applications, the analysis of faults at low slip is important and
would provide the following benefits:
• Prevent confusion of faults with load-induced current
oscillation.
• Reduce the cost of fault analysis.
• Ensure that the motor would not need to be stopped and
restarted during production.
However, it is difficult to distinguish between healthy and
faulty rotors in case of the light load because the slip is too small
and the fault frequency at the BRB case is very close to the
fundamental component and their amplitudes are small in
comparison. Moreover, classical signal processing techniques are
not applicable for varying loading and no-load conditions. As a
result, there is an advantage to detect the fault at no-load in case of
start-up as it is less sensitive to the loading level in comparison to
steady-state current. Moreover, the advanced signal processing
technique is needed to be used for the light load diagnosis
condition.
IET Electr. Power Appl., 2018, Vol. 12 Iss. 7, pp. 895-907
© The Institution of Engineering and Technology 2018

2.2 Number of broken rotor bars
The detection of IM BRB considered the various number of BRBs.
Some of the researches were preferred on detecting one broken bar,
two broken bars or more up to six broken bars. In the proposed
classification criteria, for each fault signature, almost all the
researches that detect one or two broken bars are gathered in one
group and the others which detect multiple BRBs are categorised in
another group.
2.3 Validation methodology
The researches validation for the BRB faults diagnosis is proposed
to be categorised into three groups. Some researches adopt the
simulation of the system only, while others use the only
experimental system. The most efficient methodology is to
simulate the system and verify the technique experimentally. The
diagnosis process of the BRB based on simulation of the system is
commonly attested by MATLAB® software package. The practical
verification using a test rig can be analysed using MATLAB® but
it is difficult in the case of online monitoring. The LabView
software is better for data acquisitions for direct interfering with
the system [21, 22]. Yet, recent Real-time workshop added
MATLAB® plug-in, gains more interest recently [23, 24].
2.4 Signal processing technique
There are several signal processing techniques which are a useful
tool to detect BRB faults such as fast Fourier transform (FFT),
short-time Fourier transform (STFT), Wigner–Ville distribution
(WVD), periodogram analysis, wavelet transform (WT) and
Hilbert–Huang transform (HHT). Listed below a brief explanation
of the common used signal processing techniques [25]
2.4.1 Fast Fourier transform: The Fourier transform of a
function produces a representation of the signal in the frequency
domain. The frequency spectrum contains all of the information
about the original signal but in a different form. The original signal
can be reconstructed by an inverse Fourier transform. The discrete
Fourier transform (DFT) is developed for determining the
frequency content of a time-domain sequence but it needs a large
number of points. Therefore, FFT was developed as a modification
of DFT [26, 27], which is simply a computationally efficient way
to calculate the DFT. The calculation burden required can be
reduced by making use of periodicity in the signs that are
multiplied to do the transform. The DFT is done as follows:
N−1
X(k) = ∑ x(n) e − j2πk (n / N )
k = 0, 1, 2, …, N1
n=0
The FFT algorithm is based on the DFT, after obtaining the FFT of
the signal, the following equation can be used to compute the
amplitude and phase versus frequency from the FFT:
[XFFT]2 + [Y FFT]2
Amplitude spectrum =
N [31, 32].
[Y FFT]2
Phase spectrum = arctan
[XFFT]2
where
XFFT = Re[FFT(x(n))]
Y FFT = IM[FFT(x(n))]
the arctan function returns values of phase between −π and π and
N is the number of samples.
2.4.2 Short-time Fourier transform: Fourier analysis is useful for
stationary signals but it is not powerful to analyse non-stationary
signals [28]. To overcome this problem, it has been recommended
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to analyse segments of the signal at various times. This technique
is known as short-time Fourier transform (STFT). This technique is
a Fourier-related transform used to determine the frequency and
phase content of the time varying nature signal. This technique is a
time–frequency analysis method since it represents the changing
spectra as a function of time [29, 30].
For each segment of the signal, the sampled data is transformed
by STFT as follows:
STFT[x(n)] ≡ X(m, ω)
∞
(4)
= ∑ x(n)w(n − m) e− jωn
n= −∞
The magnitude squared of the STFT yields the spectrogram of the
function
spectrogram(x(n)) ≡ | X(m, ω)|2 (5)
2.4.3 Wigner-Ville distribution: The Wigner distribution function
is used for time–frequency signal processing analysis. It is
appropriate to non-stationary linear signals. In compared to STFT,
it gives the best spectral resolution in time–frequency analysis as it
does not suffer from leakage effects as the STFT does. However, if
the signals have several frequency components, the WVD suffers
from the so called cross terms [23].
The non-stationary auto-correlation function for a time series
x[t] is given by
Cx(t1, t2) = (x[t1] − μ[t1])(x[t2] − μ[t2])∗ (6)
where denotes the average over all possible realisations of the
process and μ(t) is the mean, which may or may not be a function
of time. The Wigner function W x(t, f ) is then given by first
expressing the auto-correlation function in terms of the average
time t = (t1 + t2)/2 and time lag τ = t1 − t2, and then Fourier
transforming the lag
∞
W x(t, f ) = ∫−∞
τ τ
Cx t + , t − e2πiτ f dτ
2 2
(7)
The Wigner function reduces the spectral density function at all
times t for stationary processes, yet it is fully equivalent to the non-
stationary auto-correlation function. Therefore, the Wigner
function roughly gives the changes of spectral density in time.
(1) 2.4.4 Periodogram analysis: In order to investigate periodic
signals, there are several mathematical tools, periodogram is one of
them. It is used to identify the dominant periods (or frequencies) of
a time series. This can be a helpful tool for identifying the
dominant cyclic behaviour in a series. It calculates the significance
of different frequencies in time-series data to identify any intrinsic
periodic signals. Also, it is a graphical data analysis technique for
examining frequency-domain models of an equi-spaced time series
(2)
It is similar to the Fourier transform but optimised for unevenly
time-sampled data, and for different periodic signals shapes. The
(3) periodogram is the Fourier transform of the auto co-variance
function. An equi-spaced time series is one in which the distance
between adjacent points is constant. The periodogram (or
spectrum) for a time series x(t) is
2 2
n−1 n−1
Δ
S( f ) =
n ∑ xtcos(2π f Δt) + ∑ xtsin(2π f Δt) (8)
t = −n t = −n
where f is the frequency, n is the number of observations in the
time series, Δ is (n + 1)/2 for n odd and (n + 2)/2 for n even.
The periodogram then consists of
• Vertical axis = the spectrum estimate at the given frequency.
897

• Horizontal axis = Fourier frequencies (1/n, 2/n, 3/n, …, (n/2)/n)
where n is the number of observations in the time series.
The frequency is measured in cycles per unit time where unit
time is defined to be the distance between adjacent points. A
frequency of 0 corresponds to an infinite cycle while a frequency
of 0.5 corresponds to a cycle of two data points. Equi-spaced time
series are inherently limited to detecting frequencies between 0 and
0.5.
The periodogram tool is supposed to be a consistent estimate of
the power spectrum but unfortunately, the estimate of the
autocorrelation is biased with a triangular window (Bartlett). Thus,
the expected value of the periodogram is biased by the effect of the
window indirectly as the convolution of the power spectrum with
the Fourier transform of this window. In addition to biasing
problem, the periodogram suffers from another limitation which is
the ability to resolve closely-spaced narrow-band components.
2.4.5 Wavelet transform: This technique analyses the signal
based on using variable-size region windows. In the case where the
investigation needs more precise low frequency information,
longer time intervals were used. It is localised in both time and
frequency domains because wavelets have limited time duration
and frequency bandwidth. It represents a signal with a few
coefficients. Hence, it can be considered as a powerful tool for
condition monitoring and fault diagnosis technique [33–36].
The signal is decomposed by the WT into a set of basis
functions, which are called wavelets. At the first level of
decomposition, wavelet coefficients are obtained from the signal
under analysis by applying a mother wavelet. If the mother wavelet
is scaled and translated, the process can be repeated. Wavelets are
obtained from the mother wavelet by scaling and shifting. There
are various wavelets which can be used for decomposition of the
signals such as Haar, Morlet and Daubechies. The WT is
categorised into continuous and discrete types. In [37], detailed
explanation of continuous WT (CWT), discrete WT (DWT) and
scalogram was presented as a review.
CWT: The CWT was developed to overcome the resolution
problem of STFT. The analysis of the technique is very similar to
STFT as it is based on multiplying by a wavelet function like the
window function in STFT. The WT is computed separately for
different segments of the time-domain signal at different
frequencies
∞ adding more confidence limit [43–45]. HT is then applied to each
C(a, b) = ∫−∞
x(t)ψ a∗, b(t) dt (9)
where x(t) is the continuous signal to be decomposed; ψ(t) is the
mother wavelet function
1 t−b
ψ a, b(t) = ψ
a (10)
a
a is the translation parameter (time); b is the compression/
dilatation parameter (scale).
Scalogram representation: It is used to provide a time-scale
representation of the original signal from the resulting wavelet
coefficients. It is equivalent of a spectrogram for wavelets. The
measure of the energy density of the signal at a certain location b
and for a specific scale a can be given by the scalogram. The
scalogram of a signal is defined by
2
η
S(ξ, b) = C(a, b) 2 = C ,b (11)
ξ 3 Fault signatures
where η is the frequency centre of the base wavelet; ξ = (η/a) is
the frequency centre of the dilated wavelet.
The normalised scalogram is defined by
ξ this paper, these signatures are investigated for the fault detection
SN = S(ξ, b) (12)
η process as shown in Fig. 4. Other fault signatures, like flux, motor
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The analysis window of CWT can be sized and placed at any
position which makes the CWT suitable to scalogram. Also, this
flexibility leads to generate a smooth image in the time and scale
directions.
DWT: The DWT resembles CWT but the performance is much
faster and easier. Digital filters are used to represent the digital
signal in a time scale. Different analysing scales are obtained using
filters with different cutoff frequencies
j−1
x(n) = ∑ aj 0, k
ϕ j0, k(n) + ∑ ∑ d j kψ j k(n)
, , (13)
k j = j0 k
where x(n) is the discrete signal to be decomposed; ψ(t) is the
mother wavelet function: scaling function at scale 2 j and shifted by
k
ψ j, k(n) = 2 j /2ψ(2 jn − k) (14)
ϕ(t) is the scaling function: scaling function at scale 2 j0 and shifted
by k
ϕ j0, k(n) = 2 j0 /2ϕ(2 j0n − k) (15)
a j0, k are coefficients of approximation at scale 2 j0; d j, k are
coefficients of detail at scale 2 j; N = 2 j, is the number of samples
of x(n).
2.4.6 Hilbert transform (HT): The HT has attracted increasing
attention in scientific and engineering communities ever since its
first introduction [38]. This technique is used for non-stationary
signals whose frequency content changes with time and also for
non-linear signals. Instantaneous frequency (IF) is used to
determine when the frequency component exists, how it changes
with time and characterises important physical parameters of the
signals [39, 40].
The HHT is mainly based on the Empirical Mode
Decomposition (EMD) which decompose the signal into a group of
intrinsic mode functions (IMFs) [41, 42]. Due to the sensitivities of
the EMD outputs to the selections of different parameters (such as
a stoppage criterion) or processes (such as end-point approach) in
the original, the EMD algorithm extended work was performed by
IMF to get its instantaneous amplitude (IA) and IF.
The HT can be defined as the convolution of the signal with the
function 1/t as shown below:
HT(x(t)) = y(t)
1
= ∗ x(t)
πt (16)
∞
1
=
π ∫ −∞
x(τ)
(t − τ)
dτ
The analytic signal is
Z(t) = x(t) + iy(t) = a(t) eiθ(t) (17)
where the IA is a(t) = x2(t) = y2(t); the instantaneous phase is
θ(t) = arctan(y(t)/ x(t)); the IF is ω = (dθ(t)/dt).
Various fault signatures can be adopted in order to detect the BRB
fault. The most common fault signature is the motor current as it is
a non-invasive method. Also, the voltage whether the IM neutral or
the induced voltage. Recently, acoustical and vibrations signal
were considered in the diagnosis of the induction motor fault. In
IET Electr. Power Appl., 2018, Vol. 12 Iss. 7, pp. 895-907
© The Institution of Engineering and Technology 2018

speed and torque, do not attract much attraction in research due to
its complexity and cost.
3.1 Motor current signature analysis
The presence of BRB fault prevents the current flow through the
broken rotor bar and results in an unbalanced rotor flux. The
unbalanced rotor flux can also be considered as a combination of
positive- and negative-sequence components, rotating in the
opposite directions at the slip frequency. Various theoretical studies
established a frequency signature component for each fault type [6,
9, 46]. The broken rotor bar fault in an induction motor is
distinguishing characteristic frequencies that are given by [47, 48]
f b = (1 ± 2ks) f s, k = 1, 2, 3, … (18)
The per unit slip can be calculated by
f slip 2 f s /(p − f r)
s= = (19)
f sync 2 f s/ p
where f s is the supply frequency, f r is the frequency of rotor
currents and p is the number of poles.
The current harmonics can be observed at the side band
harmonics around the supply frequency, or its harmonics in the
phase current power spectrum. The first-order side-bands as shown
in (18) at (k = 1) are of particular significance for detecting broken
rotor bars as shown in Fig. 5. The lower side-band f s(1 − 2ks) is
specifically due to broken rotor bars while the upper side-band
f s(1 + 2ks) is due to consequent speed oscillation. The physical
position of BRBs, speed and load affect on the amplitudes and
presence of the side-bands. The increase in the motor speed and
load will shift the locations of the side-bands outwards.
The side bands might also be observed while the motor is
healthy, yet suffers rotor ellipticity and shaft misalignment where
both could induce rotor asymmetry. However, the side-band
amplitudes, appear due to this case, are much smaller in
comparison to those produced due to BRB fault.
Over the past decades, MCSA has been one of the most widely
used fault signatures to detect side bands around the supply
frequency. Due to that, it is a non-invasive monitoring method and
inexpensive method as it does not require additional installation of
measurement sensors only current sensors are acquired. The
classical approach of signal processing in detecting BRB fault for
IM studies the sideband harmonics of the IM current around the
fundamental supply frequency. The rotor structure modification in
BRB condition causes induced harmonics which are related to the
phenomenon of the amplitude modulation (AM) of the stator
current.
Accurate time or frequency analysis is needed to detect the
presence of the stator-current AM. One of the simplest methods to
perform the MCSA is by using FFT. The stator current is sampled
during a certain time interval, then the FFT transforms the time-
domain discrete data into the frequency domain to analyse the BRB
fault effect on the stator current. Accurate slip estimation is
mandatory to extract the fault frequencies in the stator-current
spectrum using FFT. This signal processing method has some
drawbacks during IM start-up and at low slip and no-load cases as
well. This leads to the necessity of more advanced signal
processing tools to overcome these problems like STFT, WT and
HHT. In some researches, a combination of more than one signal
processing technique is used and also the assist of AI techniques is
implemented for more efficient and accurate detection process.
The three-phase stator current representation for the faulty
motor is given by [49, 50]
ia = 2I f cos(ω f t − ϕ f )
+ 2Ilcos((1 − 2s)ω f t − ϕl) (20)
+ 2Ircos((1 + 2s)ω f t − ϕr)
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2π
ib = 2I f cos ω f t − − ϕf
3
2π
+ 2Ilcos (1 − 2s)ω f t − − ϕl (21)
3
2π
+ 2Ircos (1 + 2s)ω f t − − ϕr
3
2π
ic = 2I f cos ω f t + − ϕf
3
2π
+ 2Ilcos (1 − 2s)ω f t + − ϕl (22)
3
2π
+ 2Ircos (1 + 2s)ω f t + − ϕr
3
where I f is the r.m.s value of the positive fundamental-current
component, Il and Ir are the lower and upper positive side-band
components, respectively. The phase angles are defined as ϕ f for
the fundamental frequency, ϕl and ϕr for the lower and upper side-
band components, respectively. The analysed stator-current signal
can be from one of the supply phases or from the three phases
presented in the Park's vector transform [51–53].
In the following subsections, review of the detection process
using the stator current fault signature is presented in two cases.
First the diagnosis in the steady-state case followed by the
diagnosis in the transient start-up case. The review of each case
considers the investigation of the signal processing techniques in
terms of loading level, the number of detected broken bars and
validation technique. A summarising table is listed at the end of
each subsection, including the references of the classified
categories. The validation of the diagnosis process is summarised
for both investigated cases in Table 1.
3.1.1 Steady-state analysis: BRB detection based on traditional
analysis methods as FFT suffers several limitations like spectral
leakage due to the finite time window. Also, it is not applicable for
varying loading conditions and not suitable for the no-load
conditions. It is difficult to distinguish between healthy and faulty
rotors in the case of the light load because the characteristic BRB
fault frequencies in the stator current are very close to the
fundamental-frequency component and their amplitudes are small
in comparison.
In addition to the drawbacks of FFT, another problem exists; the
frequency-domain indices, which ignore the time-dependent
characterisation of the fault. BRBs also cause time-domain
oscillations. Therefore, STFT and WT techniques were used in
fault detection to overcome these issues, as both techniques allow
time localisation of different frequency components of the signal.
STFT uses a fixed width windowing function so both frequency
and time resolution of the resulting transform are fixed. On the
other hand, Wavelet functions adjust their time widths to their
frequency in such a way that higher frequency wavelets are very
narrow and lower frequency ones are broader. The problem of the
wavelet transform is in selecting the mother wavelet [114].
In case of a healthy rotor, the energy of the phase current does
not vary with time. On the contrary, oscillation in the energy is
produced due to BRBs. The variation in the energy of the phase
current is reflected by the signal envelope, which is the modules of
the analytic signal generated by using the original signal as the real
part and its HT as the imaginary part. The use of the HT reveals
modulation in signals caused by faulty components. It also
removes carrier signals that lead to the reduction in the influence of
irrelevant information for the fault detection process.
Simulation validation: For the last three decades, several
research articles [55, 56], adopt the spectral analysis technique of
motor current using FFT for the detection process which gives
efficient result and considered for a long time.
In [24], HHT is used to detect the faults of the induction motor
in the case of time-varying loads. The load fluctuation may
sometimes have the same effect as a broken rotor failure in the
stator current. This scheme is based on calculating the analytic
signal using HHT by sampling the phase current. Following to that,
899

Fig. 4 Fault signatures classification
Fig. 5 IM current fundamental and side-band frequency components
spectrum
the analytic signal angular fluctuation spectrum is used to
discernment the BRB failure from load torque oscillation.
Detection of the broken rotor bars using DWT gives an accurate
result but the main problem is selecting the optimal wavelet. The
wavelet coefficients are dependent on the basis function is chosen
which leads to the importance of selecting the wavelet to achieve
best results. Comparison of different wavelet function was
presented in [58] for NL and VL conditions.
In variable speed turbine generator as in [23], time–frequency
techniques were used to detect BRB such as STFT, CWT, Wigner–
Ville representation and HHT stating the advantages and
disadvantages of each representation. All these techniques have the
ability to fault detection and the choice of a particular one is
depending on user's constrains and priories.
Various researches apply AI techniques integrated with
advanced signal processing one to improve the detection of faults.
In [54], detection algorithm is presented based on obtaining the
envelope of one phase stator current using HHT. Fuzzy clustering
generates training data which is taken as self-patterns. The main
advantage of this detection method is that only irregularity is
detected by negative selection which is generated by the genetic
algorithm. A model of three phase cage induction motor was
implemented with the help of finite element method (FEM) in [57].
This method provides data that makes it possible to diagnose the
presence of any type of faults.
One of the advanced methods for analysing stator current
signals for detecting the IM faults is phase space reconstruction.
The accuracy of this method relies on the preprocessing steps. This
technique is applied to either one phase or three phases. In [59, 60],
the presented analysing method starts by converting the
reconstructed phase on single phase current into the image. Then, a
boundary detection algorithm is used to specify the boundary of
each image. Finally, the detection of the fault is indicated using a
designed fuzzy decision tree. This approach delivers an improved
result in detection.
Experimental validation: Detection of the BRBs using the
classical spectrum analysis method FFT was considered in [47, 74,
Table 1 Validation methodology of MCSA for steady state
and start-up case studies
Investigation Simulation Experimental Simulation and
mode only only experimental
validation
methodology
steady state [23, 24, 54– [16, 28, 31, 47, 49, [87–98]
60] 61–86]
start-up [55, 99, 100] [16, 21, 67, 85, [14, 92, 113]
101–112]
900
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85, 115] and the detection based on the advanced signal processing
technique HHT was considered in [28, 65, 78, 80, 84]. Extended
DFT based on frequency domain and time–frequency domain
analysis was adopted in [77] to enhance the fault detection process.
A great attention is paid for the analysis of the phase spectrum
which is calculated using FFT and HHT is presented in [75]. While
a comparison between detection using classical FFT, HHT and the
chirp Z transform was presented in [71]. In the case of low-
frequency load torque oscillation, it may have the same effect as
broken rotor bar fault as shown in [72]. Therefore, it is needed to
use additional processing to separate these two effects from each
other. In [72], analytical signal angular fluctuation spectrum is used
to discern these two effects. It was found that in this case, the fault
can be detected in inverter-fed IM by using 4 f s sidebands
harmonics.
A comparison between three well-known spectrum analysis
methods based on spectrum analysis: FFT, periodogram and
Welch's periodogram is detailed in [31]. Based on experimental
motor data, statistical results indicate that Welch's periodogram
method has better fault discrimination capability and is more robust
compared to the other two methods. The estimation of signal
parameters via rotational invariance technique (ESPRIT) is used in
[79] to replace FFT, and an improved Hilbert method is thus
presented by conjugating the HHT and ESPRIT together during
low slip operation. Another comparison is discussed in [49], but
between real and complex FFT, where the stator current is
investigated and complex current of the induction motor using the
extended Park's vector spectral analysis are studied. For updated
spectrum, it was suggested to use a sliding DFT which does not
require a huge computational system.
Broken bar detection process for high-power high-voltage IM at
low load conditions is explained in [68]. One phase current feature
extraction is performed using HT and WT. Skewness and kurtosis
of current envelope are used to discuss rotor condition in time
domain. The detection using HHT and WT is also presented in
[76]. In [73] a new technique has been applied to the stator-current
space-vector magnitude calculated using Park's transform and the
instantaneous magnitude of the stator-current signal calculated
from HHT for different BRB fault severities and load levels. Based
on the Mallat algorithm, the multi-resolution decomposition DWT
is used and it is easy to be implemented.
A new approach was proposed in [62] based on support vector
machine (SVM) classifier. From the power spectral density of
stator current calculated using FFT, new features such as harmonic
curve area, harmonic crest angle and harmonic amplitude have
been extracted. The combination harmonic curve area and
harmonic crest angle produce better results compared with the
harmonic amplitude feature in fault detection of motor. A
comparison between envelope analysis using HHT, Park transform
and FFT was presented in [69]. It was found that demodulation
techniques using HHT and space transforms produce the same
result in diagnosing dynamic rotor faults with better accuracy. The
introduced methods are easy to be implemented with automated
diagnostic symptoms computing and evaluating.
The classification of the state of the IM using pattern
recognition tool based on SVM approach was represented in [64].
Where a fault signature is presented based on an improved
combination of Hilbert and Park transforms. The two fault
signatures are Hilbert modulus current space vector and Hilbert
phase current space vector. FFT is used to get the spectrum of these
signatures and the effects of these spectrums are described and the
related frequencies are determined. The magnitudes of spectral
components relative to the fault are extracted to be the input vector
of the classifier.
A new method has been developed in [63] for no-load
conditions. The developed detection method was based on using a
sliding window constructed by HHT of one of the phases of the
thee-phase currents and the size of a fault was diagnosed by the
stored Hilbert transforms of several periods of one-phase current.
A fault index was represented from the information entropy of a
symbol tree generated by each sliding window with a high degree
of accuracy in fault identification. Analysing the amplitude of the
current using HHT and different pattern classification methods
IET Electr. Power Appl., 2018, Vol. 12 Iss. 7, pp. 895-907
© The Institution of Engineering and Technology 2018

under varied power supply and mechanical loading conditions has
been studied in [61]. It was proven that correct classification of
several faults using current data of induction motors in the time
domain is applied with accuracy exceeds 90%.
EMD is employed in [16, 67] to obtain set of IMFs from the
MCSA. A classification criterion was proposed from the extracted
features of the arithmetical sum of the obtained IMFs. This
methodology does not have the capability to differentiate whether
the input current comes from transient or steady state so the user
must previously define its operation mode.
The power spectral density (PSD) produces the motor current
harmonics which are employed to be the input features to fuzzy
min–max neural network for diagnosis of BRBs as proposed in
[70]. The presented method has been shown to be effective in
making rapid and accurate predictions and it gives a comparable
result, even better than those from the multi-layer perception neural
network. The fault detection using artificial neural network (ANN)
with signal spectral as input is also discussed in [66]. Two fault
detection schemes were discussed in [82, 83], these schemes were
based on ANN and multiple discriminant analysis. Due to the
multi-input-processing capabilities of these schemes, they provide
more efficient performance than single input schemes. These
schemes were tested experimentally under varying load levels.
As the effect of the BRBs appears clearly on the envelope of the
stator current, a proposed detecting methodology based on the
stator three-phase space reconstructed phase [86] was presented.
Gaussian mixture models and a Bayesian maximum likelihood
classifier are used to detect the fault signature from the envelope.
Applying AI techniques on the three phase envelope deliver a very
accurate result of fault diagnosis. This approach presents efficient
detection specially sufficient for light load conditions.
Statistical analysis was adopted in [81], maximum co-variance
method for frequency tracking that helps to obtain high-frequency
resolution which is independent of sampling frequency. This
analysis method provides spectral lines attached directly to the
supply frequency or slip.
Experimental and simulation validation: At light-load, the slip
is too small and the fault frequency at the BRB case is close to the
fundamental component. Therefore, in [92]; adaptive filter
approach and continuous subdivision Fourier approach are used in
steady-state condition. The authors of [87] present new approach
for real-time tool to handle and identify the dynamic changes in the
magnitude of the signature components. This new approach is
based on sliding window DFT. The diagnosis of the BRB faults is
performed by monitoring the FFT of the fluctuation of the
fundamental magnitude and the fluctuation of fault component
magnitude of the stator current.
The estimation of signal parameters via rotational invariance
technique (ESPRIT) is used for detection of BRB as presented in
[89]. It was found that when compared ESPRIT to FFT, high-
frequency resolution can be achieved by ESPRIT even with a
short-time measurement data. Although this technique is capable of
correctly identifying the frequencies of the BRB characteristic
components; it has difficulties to accurately calculate the
amplitudes and initial phases of those components. The simulated
annealing algorithm (SAA) was used to determine the amplitudes
and initial phases of BRB characteristic components. The
combining ESPRIT and SAA shows the satisfactory results in
detecting BRB in induction motors.
An enhanced method that combines the power spectral density
and the WT was represented in [94] in the case of varying load
torque. The power distribution function, resulting from a wavelet
transformation is an optimal method to be applied to non-stationary
signals, to represent the variations of harmonics amplitude and
distribution. This method gives similar results like STFT but with a
low computational cost.
The WT is also used for detection process [90], as this detection
is based on the wavelet coefficients of stator current in a specific
frequency band under varying load level. It was shown that the
amplitude of the fault characteristic frequency component is
affected by the loading level and fault extent. Abbaszadeh et al.
[91] identify the decomposition of the stator currents performed via
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WT and motor condition by comparing the extracted wavelet
coefficients of healthy and faulty machines.
HT of the stator current is recently considered a promising
technique in the detection of BRB fault, as represented in [95, 97].
The analysis results show that the fault frequencies components
appear as clear jumps in the Hilbert phase, which are considered as
rotor diagnosis signatures. A novel method for BRB fault detection
based on the Hilbert modulus of filtered stator-current signal of
induction motors is presented in [93]. Self-adaptive filter extracts
the broken bar frequency component and consequently, the
fundamental frequency component is filtered out to enhance the
sensitivity and reliability of rotor bar breaking fault detection. To
improve the accuracy of spectrum analysis results, spectrum
correction technique must be adopted. The area in the complex
plane occupied by the Hilbert modulus of filtered stator-current
signal can reflect whether the rotor bar breaking fault is present or
not, and will increase or not with the development of this type of
fault in induction motors [93].
The exist of BRB fault acts as modulator to the stator current
signal. One of the effective methods to detect this type of faults can
be detected by estimating the modulation index after demodulating
the current signal. Concordia transform (CT) or the principle
component analysis (PCA) is used in [98] for AM and FM
demodulation process. The fault severity is then measured based on
a modulation index estimate using two statistical analysis. It was
shown that PCA provide more accurate performance that CT does.
The amplitude of Instantaneous energy (IE) oscillations is
produced by applying HHT to the stator current of healthy and
faulted motor in [88]. Variations of the amplitude of IE were
investigated at different fault levels, reference speeds and load
torques for fault diagnosis. It was shown that increasing the fault
level leads the amplitude to increase as well at any operating point
where it has a unique value.
An intelligent condition monitoring approach has been
explained in [96], using three algorithms operated synchronously
on low-cost field programmable gate array (FPGA) which allows
real-time operation with a processing time of 2 ms. Neural
network, fuzzy logic and negative selection algorithms are used for
many fault detection. The BRB faults are detected using a negative
selection algorithm.
Classification of diagnosis technique based on MCSA in a
steady state condition in terms of adopted signal processing
techniques, loading level, number of detected broken bars and
validation is summarised in Table 2.
3.1.2 Transient time analysis: The advantage of detection of the
BRB in case of transient time using the starting current is the less
sensitivity to the level of motor loading conditions in comparison
to steady-state current, in addition to its reliable conclusions from
the data analysis even with motors operating at no/low mechanical
load. Fault detection based on a common steady-state analysis
technique, such as FFT, is significantly dependent on the loading
conditions of IMs.
As mentioned before, classical signal processing is not
sufficient for light loads, as a result, detection of BRB faults and
classification of the fault severity under light load is relatively
difficult. To overcome this problem, the analysis of the envelope of
the transient starting-current waveform using the WT has been
investigated.
Simulation validation: For the analysis of the start-up motor
current, EMD method was used in [99] which acts as an adaptive
filter during the start up. Also the application of Symbolic
Aggregate approXimation (SAX) was employed for the
transformation of the extracted component into a symbolic
representation. An automated detection process can be developed
using this symbolic representation that differentiates between
faulty and healthy conditions using an intelligent icons approach.
At varying loading conditions; WT was used in [55] and gave
sufficient performance improvement in the detection process. This
method is also used for low frequency BRB fault detection purpose
efficiently. Useful information of the fault is inherited in this low
frequency. Detecting the exact location of the fault is a break
through established in [100] for one BRB at NL and FL. The
901

authors established a formula that helps in extracting the exact
location of the broken bar using HT and statistical analysis of the
stator current.
Experimental validation: As mentioned in the previous section,
the EMD is used in [16, 67] in case of steady state and transient but
this method was not able to differentiate between both cases in
detection. A joint time–frequency method called the smoothed
pseudo WVD (SPWVD) is employed in [101] to evaluate the
detection sensitivities under non-stationary conditions. The
detection is also considered by another signature, vibration and
acoustic signals. It was found that the SPWVD is a powerful
technique for exploring non-stationary characteristics of the
MCSA.
Newly developed quantification technique is presented in [21,
104] based on the CWT. This technique applies the CWT to the
envelope of the IM starting current and is able to extract useful
characteristics of a transient signal as it indicates the motor
condition by means of a numerical value called the wavelet
indicator which is also used to classify the different degrees of
BRB faults.
In [110], STFT, pseudo-WV and CWT were used for fault
detection using start-up current of six large motors used in real
applications of industry. The spectrogram, the scalogram and the
pseudo-WVD which are the graphical representation of these
techniques were used to compare their performance. From the
experimental results, the three techniques give a remarkable
detection performance except for the pseudo-WV as it is affected
by the noise existence to mitigate the noise effect which commonly
exists in industry preprocessing is needed in order of the pseudo-
WVD to be effective. The same problem of noise effect on pseudo-
WV was discussed in [111] and filtering process was proposed
which depend on advanced notch filters to remove constant
frequency components appears in IM current.
DWT was adopted to overcome the classical signal processing
technique for fault detection during start-up current and a
comparison between FFT and WT was presented in [85]. Multiple
broken bars were detected based on the WT decomposition of the
current signal. This technique is suitable for the non-stationary
signal analysis and it gives information at the different time–
frequency resolution.
HHT has a great advantage in the improvement of resolution of
MCSA, especially at very low slip. The main advantage is that it
allows an easy filtering of the transient current component
corresponding to the mains. As the transient current is a non-
stationary signal, another advantage presents as it can be used to
generate the Hilbert spectrum (HS) which is the replacement of the
Fourier spectrum for the analysis of non-stationary signals. The
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authors of [108, 109] used the feature extraction that the HHT can
provide like the IMFs and IFs to be used in the detection process.
Also, in [112], HHT with statistical analysis were used to early
detection of partially broken bars at varying load conditions.
A new algorithm for the automatic detection of BRB faults is
presented in [103] based on a feature extracted from HHT and
invariant feature selection from scale transform. The reliability of
the algorithm was proven from the results and its ability to
automatically diagnose the fault regardless the machine size and
load conditions. Another technique blends WT and HHT is
proposed in [105, 106]. As fault parameter; it uses power detail
density and power detail energy. This method works with higher
resolution and requires less computational time, less processing
power for which it suitable for online and off-line cases. The
comparison of the detection of the broken bars using HHT and WT
was presented in [102]. In addition to comparing the detection of
BRB; using WT and EMD with HHT illustrated in [107] during
speed transients condition.
Experimental and simulation validation: For the importance of
fault detection under NL or low slip; the analysis of transient stator
motor current is used. The detection using FFT is insufficient for
the non-stationary signals. Therefore, STFT technique is used for
analysing transient signals using a time–frequency representation
[92]. A high-sensitivity high-reliability detection scheme was
proposed in [113] which combine continuous subdivision Fourier
transform, self-adaptive filter, rotor slot harmonics based slip
estimation and detection threshold self-tuning technique. The
laboratory experimental tests validated the scheme effectiveness.
The complete ensemble EMD method was used in [14] for
detection of partially and full broken bars. It was found that the
IMFs for a healthy and faulty signal, are much related but in case
of fault exist, some frequency characteristics are modified in some
specific IMF. Thus, more investigation is necessary for this
methodology, because it is difficult to model.
Classification of diagnosis technique based on MCSA in
transient time condition in terms of adopted signal processing
technique, loading level, the number of detected broken bars and
validation is summarised in Table 3.
3.2 Voltage signature analysis
In the following sections, a review of the detection process using
the voltage signal as fault signature is presented in two cases. First,
the diagnosis using the measuring of the neutral voltage (NV)
followed by the diagnosis based on using measuring the induced
voltage. Classification of diagnosis technique of induced voltage
and NV in terms of adopted signal processing techniques, loading

Table 2 Classification of diagnosis techniques based on MCSA in the steady-state condition in terms of adopted signal
processing techniques, loading level and validation methodology
Number of One and two BRBs Multiple BRBs
BRBs
Validation Simulation Experimental Exp. and Sim. Simulation Experimental Exp. and Sim.
Loading NL VL FL NL VL FL NL VL FL NL VL FL NL VL FL NL VL FL
FFT — — — [47, 66, [31, 47, 64, [31, 49, — [87, 94] — [56] [56] — — [62, 74, — — — —
75, 115] 70, 71, 75, 70, 71, 77, 85]
115] 115]
STFT [23] — — — — — — [94] — [55] [55] [55] — — — [92] — —
DWT [58] [58] [58] [68] [76] — — [94] — — — — — [73] [73] [90, 91] [90] [90]
CWT [23] — — — — — — — — — — — — — — — — —
HHT [23] [24] — [28, 63, [64, 71, 75, [69, 71, [96] [93] [93, 97] [54] — — — [61, 73] [65, 73] — [88, 95] —
68, 72, 75, 76, 78, 80] 75, 78, 80]
78–80, 84]
EMD — — — — [16, 67] — — — — — — — — — — — — —
Wigner–Ville [23] — — — — — — — — — — — — — — — — —
Periodogram — — — — [31] — — — — — — — — — — — — —
ESPRIT — — — [79] — — — [89] [89] — — — — — — — — —
AI — [57] — — [66, 70, 81– [70, 82, [96, 98] [98] — [54] — — [86] [86] — — — —
83] 83]
NL: no-load, VL: variable load, FL: full load.

902 IET Electr. Power Appl., 2018, Vol. 12 Iss. 7, pp. 895-907
© The Institution of Engineering and Technology 2018

level, the number of detected broken bars and validation technique
is listed in Table 4.
3.2.1 NV signal analysis: To reduce MCSA limitations, fault
diagnosis based on the analysis of the motor voltage taking place
between the stator neutral and an artificial supply neutral is
investigated [97]. The analysis presented was for three-phase IM
fed by different supply voltage sources. The harmonics related to
BRBs are drawn by the phase analysis of HHT applied on the
spectrum modulus of line NV. It was found that the diagnosis
process presented was more sensitive to the rotor defect and can be
observed significantly at higher-order harmonic.
A proposed detection technique, based on using the voltage
between neutrals, called neutral voltage, was presented in [75],
where, the focus is on the phase spectrum of the NV as it contains
more relevant information than the modulus. Two approaches were
presented, the first one was based on the calculation of Fourier
transform of the phase of NV and the other one was based on the
phases of the analytic signal obtained by HHT of the amplitude
spectrum of NV. The second approach improved the detection
process that helped to detect other defects that were not detected by
the first approach.
For the star connected wingdings IM, a proposed detection
method presented in [118] based on analysing stator neutral point
voltage. It has been found that the spectrum of the neutral point
voltage contains the rotor fault-related inter-harmonics with the
largest components in the frequency spectrum. This method
presents a satisfactory accuracy and robustness even when 8-bit
analogue-to-digital conversion of the measured signal was
accompanied with STFT technique.
3.2.2 Induced voltage analysis: The detection of BRBs using
the induced voltage was considered in many types of research
[117]. The detection was based on monitoring the induced voltage
in the stator due to rotor flux only after the supply disconnection.
The effect of the existence of broken bar is indicated in the induced
voltage spectrum developed using FFT. The results of the
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experimental tests were very close to that produced from the
simulations.
Later, the detection process of the space vector of induced
voltages in the stator wingdings after supply disconnection using
multiple signal classification (MUSIC) pseudo-spectrum and short-
time MUSIC (STMUSIC) time–frequency pseudo representation,
was investigated in [116]. The results obtained using these
techniques were compared experimentally with those obtained by
the FFT and STFT, respectively, to demonstrate the superiority of
the former approach.
In [32], non-parametric estimation of the modified periodogram
and averaged periodogram were utilised for detection. These
techniques improve the investigation of the fifth and seventh
voltage harmonics induced in stator wingdings voltages and
decrease the noise influence for the more accurate detection
process.
Two different BRB detection techniques were investigated in
[22] over a wide range of loading conditions. The first technique is
Fourier transform analysis of back-EMF harmonics. It was found
that there are changes in the harmonic components with fault
severity increased especially in higher-order harmonics.
The second technique is a CWT method for speed decay
measurement and it was used as the Fourier transform is not
suitable for the transient case and the induced voltage decays at a
rapid rate. This method gave reasonable results especially at higher
loads but it has some limitations as it faces the same problem of
load variation effects.
3.3 Vibration and acoustical analysis
All electrical machines generate considerable vibrations and the
analysis of the produced vibration can be used to investigate the
machine condition. The vibration is caused by magnetic,
mechanical and electrical forces. The analysis of surface vibration
is widely used as a technique for bearing and BRB faults detection.
In [47], detection process based on the power spectral analysis of
the vibrational signal is provided and compared to the detection
based on the current signature and the instantaneous angular speed.

Table 3 Classification of diagnosis techniques based on MCSA in the transient condition in terms of adopted signal processing
techniques, loading level and validation methodology
Number of BRBs One and two BRBs Multiple BRBs
Validation Simulation Experimental Exp. and Sim. Simulation Experimental Exp. and Sim.
Loading NL VL FL NL VL FL NL VL FL NL VL FL NL VL FL NL VL FL
FFT — —
— — — — — — [113] — — — — — — — — —
STFT — —
— — [110] — — — — — — — — — — [92] — —
DWT — —
— [102, 107] [102] — — — — [55] [55] [55] [105, 106] [85] — — — —
CWT — —
— [21] [104, 110] — — — — — — — — — — — — —
HHT [100] —
[100] [67, 102, 103, 107, [103, 112] [112] — — — — — — [105, 106, 109] — — — — —
108]
EMD [99] — — [107] [16, 67] — — — — — — — — — — — [14] —
Wigner–Ville — — — [10] [101, 110, 111] [101] — — — — — — — — — — — —
NL: no-load, VL: variable load, FL: full load.

Table 4 Classification of diagnosis technique of voltage fault signatures in terms of adopted signal processing techniques,
loading level and validation methodology
Number of BRBs One and two BRBs Multiple BRBs
Validation Experimental Exp. and Sim. Experimental Exp. and Sim.
Fault signature Loading NL VL FL NL VL FL NL VL FL NL VL FL
induced voltage FFT [116] [116] [22] [22] [22] [117]
STFT [116] [116]
MUSIC [116] [116]
CWT [22] [22] [22]
Periodogram [32]
NV FFT [75] [75] [75]
STFT [118] [118] [118]
HHT [75] [75] [75] [97]
NL: no-load, VL: variable load, FL: full load.

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Table 5 Classification of diagnosis technique of vibration and acoustical fault signatures in terms of adopted signal processing
techniques, loading level and validation methodology
Number of BRBs One and two BRBs
Validation Experimental Exp. and Sim.
Fault signature Loading NL VL FL NL
vibration signal FFT [47] [47]
CWT [119] [119]
HHT [119] [119]
Wigner–Ville [101] [101]
acoustical signal Wigner–Ville [101] [101]
DWT
NL: no-load, VL: variable load, FL: full load.
The presence of broken bars leads to speed oscillations which
appear in the vibration spectrum as harmonics around the rotation
frequency.
Recently, more advanced signal processing techniques were
employed in [119] such as CWT and HHT for vibrational analysis.
The fault frequency components are close to other vibrational
frequencies that lead to the use of AI techniques to provide fault
classification. The results show that a great improvement in the
accuracy of the fault classification presented especially for CWT.
In [120], Axial Vibration signal was analysed for different
loading levels starting from no-load till reaching FL. The
scalogram representation helps in detecting the BRB fault.
A novel methodology proposed in [121] for half-broken-bar
detection based on a combination of current and vibration analysis.
The proposed methodology analysis was done by correlating the
signal PSD to improve the detection process. The detection
technique was developed under loaded and un-loaded conditions. A
low-cost FPGA is used for the methodology implementation. The
experimental results showed 5% accuracy in detection of BRB and
10% accuracy in case of half-broken-bar detection.
A comparison between detection techniques using motor
current, vibrations and acoustic signals were presented in [101].
The investigation developed under different speed and loading
conditions. The comparisons are made on time analysis basis under
constant speed and in time–frequency domains to evaluate the
detection sensitivities under non-stationary conditions of the
SPWVD. The analysis of both the radial and axial vibration
signatures provides the detection of fault components in the
spectra. It was found that the amplitudes of the side-band affected
by motor speed variation more than loading condition. The
detection process based on the acoustic signal also reveals the side-
bands of the fault around the fundamental frequency.
From the experimental analysis, it was found that the detection
of vibrations is more sensitive to the bearing fault more than the
broken bars. The acoustic method contains less noise and
interference which makes it more attractive to be used in the
analysis but with proper selection of analysis method as it is able to
be used under both stationary and non-stationary states.
Recent researches of acoustical based fault detection were
presented in [122] where the acoustic data recorded using several
microphones placed in a hemispherical shape around the motor.
Due to the nature of propagation of sound around the running
motor provides specific information about the faults type. The
analysis of the signal is preferred by using correlation and wavelet-
based techniques. AI methods are then applied to classify the
faults. The experimental test provides a highly motivating result of
fault detection and classification.
Classification of diagnosis technique based on vibration and
acoustic analysis in terms of adopted signal processing technique,
loading level, validation technique is summarised in Table 5.
4 Discussion and conclusion
Early detection of the induction motor faults gains a great attention
due to the important role of IM in the industry. The BRB fault
becomes more important than other faults because of its massive
damage and consequences. Various techniques were adopted to
achieve sufficient diagnosis process in terms of time and cost. The
904
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Multiple BRBs
Experimental Exp. and Sim.
VL FL NL VL FL NL VL FL
[47] [121] [121] [121]
[120] [120] [120]
[101]
[101]
[122]
commonly used detection method was based on motor current
spectral analysis using FFT but this method failed at NL and light
load cases also it suffers from the limitations of being affected by
load variation. In addition, it was found that the transient analysis
of start-up current gives an improvement in the detection process
due to high current amplitude and the mitigation of the load
variation effect. Thus, advanced signal processing techniques were
adopted for achieving improved detection performance.
To overcome these drawbacks, STFT was adopted as the FFT is
applied over a short-time interval instead of applying over the
whole interval length. As it is based on the fixed width sliding
window the frequency resolution is not high and it fails to resolve
fast-changing signals successfully (start-up signals). A more
sophisticated signal processing method for the transient time
detection, based on time–frequency representation, evolved WT. It
is one of the accurate time–frequency tool which is superior to both
the FFT and STFT in effectively analysing non-stationary signals.
Even it is a powerful tool, it suffers from several drawbacks such
as the need for optimum selection of the mother wavelet and the
overlap between adjacent frequency bands.
Nowadays, HHT, based on EMD and conventional HT, helps to
overcome all the previously mentioned problems and achieved a
sufficient diagnosis of faults enabling accurate discrimination
between other mechanical and electrical faults and mitigate the
load and the noise effect. HT can be used for BRB detection by
extracting the current envelope. For more sophisticated
performance it may be used as a hybrid detection process based on
HT and other advanced signal processing technique. The fault
signature frequency appears in LSH so the detection using the
stator current envelope is very sufficient. As a conclusion, the
optimal detection based on MCSA is by analysing the envelope of
the start-up stator current at no-load.
Other fault signatures were investigated by the researches to
enhance the diagnosis process and to overcome the limitations of
the detection based on MCSA. The load variations produce
frequency components in the current spectrum close to the broken
bar fault components that leads to adopt other fault signatures such
as NV; commonly based on the phase analysis of HT applied on the
spectrum modulus of the NV. The detection using NV is more
sensitive to the rotor defect and can be observed significantly at
higher-order harmonic.
The detection by monitoring induced voltage is very attractive
to many researchers as it is independent of the supply. Hence, it
avoids the problem of supply unbalance and harmonics. This
detection method can be performed in the case of no-load that
cancels the influence of load variation on the detection process.
FFT failed in the diagnoses during the transient state, hence this
arises the need for time–frequency signal processing technique.
The detection based on vibration analysis does not provide accurate
performance because the speed variations develop harmonics close
to the fault components of broken bars. The detection based on the
acoustical signal analysis provides a promising performance of
fault detection as it is independent of load variation and supply
unbalance. It is only affected by environmental noise. Advanced
techniques are adopted to improve the detection based on
acoustical signals to enhance the early detection process.
The core of this is concluded in a comparative illustration.
Table 6 summarises a brief comparison between different signal
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© The Institution of Engineering and Technology 2018
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Table 6 BRB signal processing techniques comparison
Signal Loading Operation Resolution Computational Fault Representation Pros Cons
processing level mode complexity signature
technique NL VL FL Steady Start-
state up
FFT * * * --- N log N • MCSA • IV • PSD • simplicity • valid • sensitive to
NV • vibration only for steady state load variation •
not suitable for
NL
STFT * * * * − N log N • MCSA • IV • spectrogram • capable for • fixed width
NV transient detection sliding window
Periodogram * * * − N log M • MCSA • IV spectrum • suitable for • it is biased by
M = L*N unevenly time- the effect of
sampled data the window
Wigner–Ville * * * * * + N 2 log N • MCSA • spectrogram • applying smoothing • sensitivity to
vibration • window to overcome noise
acoustic interference
CWT/DWT * * * * * + N 2 log N • MCSA • IV • Scalogram • variable windows • selecting
vibration • size leads to the optimal mother
acoustic high frequency wavelet • the
resolution • valid for overlap
all loading conditions between the
• valid for transient frequency
detection band
HT/HHT * * * * * ++ N log N • MCSA • NV HS • better • for HHT,
• vibration representation of EMD is
LSH • avoid dynamic sensitive to
frequency stopping
decomposition • criteria and
valid for all loading end-point
conditions • valid for approach
transient detection
MUSIC * * * * + N2 • IV histogram • less computation • very sensitive
than ESPRIT to sensor
position
ESPRIT * * * * + N3 •MCSA histogram • do not require • need more
much calibration • do sensors than
not require much MUSIC
data
++ very high; + high; − low; --- very low.

processing technique that illustrates their investigated merits and
demerits.
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