994 IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 47, NO.
5, OCTOBER 2000
Recent Developments of Induction Motor Drives
Fault Diagnosis Using AI Techniques
Fiorenzo Filippetti, Member, IEEE, Giovanni Franceschini, Carla Tassoni, Senior Member, IEEE, and
Peter Vas, Member, IEEE
Abstract—This paper presents a review of the most recent
developments in the field of diagnosis of electrical machines and
drives based on artificial intelligence (AI). It covers the application
of expert systems, artificial neural networks (ANNs), and fuzzy
logic systems that can be integrated into each other and also with
more traditional techniques. The application of genetic algorithms
is considered as well. In general, a diagnostic procedure starts
from a fault tree developed on the basis of the physical behavior
of the electrical system under consideration. In this phase, the
knowledge of well-tested models able to simulate the electrical
machine in different fault conditions is fundamental to obtain
the patterns characterizing the faults. The fault tree navigation
performed by an expert system inference engine leads to the choice
of suitable diagnostic indexes, referred to a particular fault, and
relevant to build an input data set for specific AI (NNs, fuzzy logic,
or neuro-fuzzy) systems. The discussed methodologies, that play
a general role in the diagnostic field, are applied to an induction
machine, utilizing as input signals the instantaneous voltages and
currents. In addition, the supply converter is also considered to
incorporate in the diagnostic procedure the most typical failures
of power electronic components. A brief description of the various
AI techniques is also given; this highlights the advantages and the
limitations of using AI techniques. Some applications examples
are also discussed and areas for future research are also indicated.
Index Terms—Artificial intelligence, drives diagnostics, elec-
trical machines.
I. INTRODUCTION
T HE monitoring and fault detection of electrical machines
have moved in recent years from traditional techniques to
artificial intelligence (AI) techniques. Such techniques require
a “minimum configuration intelligence” since no detailed anal-
ysis of the fault mechanism is necessary, nor is any modeling
of the system required. When an AI technique is used, fault
detection and evaluation can be accomplished without an ex-
pert. In the AI-based systems, several quantities are utilized as
input signals: stator currents and voltages, magnetic fields and
frame vibrations, etc. In general, stator currents and voltages
are preferred because they allow for the realization of nonin-
vasive diagnostic systems and the sensors required are usually
Manuscript received January 15, 1999; revised July 6, 2000. Abstract pub-
lished on the Internet July 1, 2000. An earlier version of this paper was presented
at IEEE IECON’98, Aachen Germany, August 31–September 4, 1998.
F. Filippetti is with the Department of Electric Engineering, University of
Bologna, 40136 Bologna, Italy (e-mail: fiorenzo.filippetti@mail.ing.unibo.it).
G. Franceschini and C. Tassoni are with the University of Parma, 43100
Parma, Italy (e-mail: g-franceschini@cassiopeia.eng.unipr.it; tassoni@cas-
siopeia.eng.unipr.it).
P. Vas is with the Department of Engineering, Aberdeen University, Aberdeen
AB9 2UE, U.K. (e-mail: p.vas@eng.abdn.ac.uk).
Publisher Item Identifier S 0278-0046(00)08830-4.
0278–0046/00$10.00 © 2000 IEEE
present in the drive considered. Induction motors play an impor-
tant role in manufacturing environments, therefore, this type of
machine is mainly considered and many diagnostic procedures
are proposed both from industry and from academia [1]–[4].
Some work has also been done on converter-fed induction motor
drives in order to realize a fault-tolerant drive avoiding shut-
down if the load conditions permit this [5]–[7].
The main steps of a diagnostic procedure can be classified as
follows:
1) signature extraction;
2) fault identification;
3) fault severity evaluation.
This paper describes the various steps and highlights the func-
tions that can be accomplished by using AI techniques, un-
derlying the advantages and limitations. Different faults of an
induction machine are first considered. Then, the paper con-
siders some typical faults of the more usual converters which
can supply an induction machine.
II. AI-BASED TECHNIQUES
It should be noted that there are many types of AI-based tech-
niques [8]–[12]. Some of these use expert systems [8], artificial
neural networks (ANNs) [9], fuzzy logic [10], fuzzy-NNs [11],
genetic algorithms (GAs) [12], etc. The various techniques have
been summarized recently in [13].
The essence of an expert system is the ability to manage
knowledge-based production rules that model the physical
system, while it is a main feature of NNs that they are general
nonlinear function approximators. This function approximation
is achieved by using an appropriate network built up from
artificial neurons, which are connected by appropriate weights.
However, the exact architecture of a NN is not known in
advance; it is usually obtained after a trial-and-error procedure.
Fuzzy logic systems are expert, rule-based systems, but they
can also be considered to be general nonlinear function ap-
proximators. In contrast to NNs, they give a very clear physical
description of how the function approximation is performed
(since the rules show clearly the function approximation
mechanism). On the other hand, fuzzy-NNs are basically NNs
with fuzzy features, and it is one main advantage over “pure”
NNs that their architecture is well defined.
Finally, GAs are not general function approximators, but they
are stochastic optimization techniques. However, they can be
used together with neural or fuzzy-NNs, e.g., to obtain optimal
FILIPPETTI et al.: INDUCTION MOTOR DRIVES FAULT DIAGNOSIS USING AI TECHNIQUES 995

weights in a “pure” NN, or to obtain the membership func-

tions in fuzzy logic systems, etc. Further details of the various
AI-based techniques will be described in Sections VI and VII.

III. FAULT SIGNATURES OF AN INDUCTION MACHINE

It is well known that the electrical and mechanical faults of a
three- phase induction machine supplied by sinusoidal voltages
are linked with the harmonic content of the stator currents, i.e.,
each fault is associated with the presence of specific harmonic
components. Some of these fault frequencies are now shown
below. If there is rotor asymmetry (e.g., broken bars) in a cage
induction machine, or if there is dynamic eccentricity, then the
following spectrum lines are introduced:
Fig. 1. Input current variation for a 5.5-kW machine with a load torque of 30
(1) N starting at 0.5 s.

where is the slip, and is the supply frequency [4]. In order
to have a detailed analysis of these types of faults, a dynamic
model of the induction machine must be used [14], [15]. This
is because a dynamic model allows the computation of both the
sideband currents at frequencies characterizing a
rotor fault.
The main effect produced by a stator asymmetry, e.g., short
circuit or a static eccentricity, is a negative-sequence component
in the input currents [3]
(2)
In [16], a model suitable for the detailed analysis of stator
winding short circuits is presented; this model is based on the
space-vector theory [17]. This includes the effects of space
harmonics, which must be included in the model, since there is
stator winding asymmetry. The amplitude of the negative-se-
quence component computed through this model can be related
to the percentage of the short-circuited turns and to a restricted
number of machine parameters, while it is quite independent of
the machine operating conditions. Therefore, it constitutes the
reference variable to inter-turn failure diagnosis.
Various models referred to dynamic or static eccentricity can
be found in the literature [18], [19], leading to anomalous cur-
rent spectrum lines as well. However, these models allow one
to consider a higher order effect of the asymmetry than the first
one. Therefore, the experimental procedures based on the vari-
ation of the slot lines are preferred for the eccentricity detection
[20], [21].
The mechanical damages referred to bearing failures intro-
duce harmonic components in the current spectrum at the fre-
quencies
(3)
where is a mechanical frequency depending on the type of
fault and on the bearing characteristics [4], [22]. [23]. Other
components at different frequencies can be introduced by load
anomalies and it should be noted that they can cause misunder-
standings, because these lines can be confused with the ones due
to machine failures [24], [25].
The problem of individualizing and separating the various
fault effects relies on the interpretation of the frequency compo-
nents contained in the current spectrum together with the con-
sideration of all the machine operating conditions. The task is
very difficult to solve since, in addition to the specific fault con-
ditions, the current spectrum is influenced by other factors, such
as electric supply, noise, and motor geometry; moreover, the ma-
chine can also be under nonstationary operating conditions.
It is natural to consider an expert system based on objects and
production rules as a manager of all the diagnostic procedures.
Obviously, the crucial point is the development of a knowledge
base that generally requires both deterministic and heuristic rea-
soning [26]–[29]. The production rules model the logical infer-
ential concepts and allow the system to draw conclusions from
the data and to take direct action. The objects model the data
structures suitably designed to retrieve and incorporate into the
knowledge base the basic data of the machine under test (i.e.,
type, power, pole number, rotor bar number, etc.) and all the
other data necessary for the diagnostic aims.
IV. DATA RETRIEVING STRATEGIES
The first decision is to state the stationary condition of the
machine. To this aim, a computer program that performs a
suitable data acquisition and a short-time Fourier transform can
be activated. This transform works by dividing the signal into
consecutive or overlapping portions and returns the sequence
of the corresponding fast Fourier transform (FFT). Note that
this condition allows one to include speed oscillations as well.
By elaborating this sequence or by visual inspection as well,
it is possible to state a time after the machine is in the steady
state [25], [30]. As an example, Figs. 1 and 2 show, for a
5.5-kW healthy machine, the stator current variation and the
corresponding short-time Fourier transform. It can be seen that
the FFT is steady after approximately 1 s, as the input current
profile confirms this.
Some components of current spectrum depend on the ma-
chine speed or slip, therefore, to avoid the need to measure the
machine speed using conventional transducers (observing, con-
sequently, the noninvasive criteria), the machine diagnostic ex-
pert system has to follow the task architecture shown in Fig. 3.
996 IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 47, NO. 5, OCTOBER 2000
Fig. 2. Two-dimensional view of the corresponding short-time Fourier
transform.
Fig. 3. Expert system fragment scheme.
Starting from the time after the machine can be considered to
be operating in the steady state, two acquisitions of the instan-
taneous signals over different time intervals and with different
sampling rates are activated. The first one is related to a small
observation interval and to a high sampling frequency. Using the
procedure described in [31] and [32], the slot harmonic lines can
be searched and the slip value can be computed utilizing the first
slot harmonic line at frequency as
(4)
where
pole pair number;
supply frequency;
rotor slot number.
The second acquisition is related to a large observation interval
and to a low sampling frequency. The choice of these param-
eters is strictly linked with the slip values, i.e., with the har-
monic components to be searched. The criteria to make a suit-
able choice and to obtain a good frequency resolution are dis-
cussed in detail in [33], where an alternative method for the
speed determination starting from current spectrum is proposed.
V. SPECTRUM LINE SEARCH AND FAULT CLASSIFICATION
At this point, the role of the expert system inference engine
is to filter the harmonic components and to perform a reduc-
tion of the large amount of spectral information to a suitable
Fig. 4. Trend of the input current sideband sum of a 900-kW 6-kV eight-pole
induction machine.
level. Its primary task is to eliminate those components that pro-
vide no useful failure information and perform a component
classification. There are various methods to perform this task
[34]–[36]. The best way is to use a data base which contains the
machine history in terms of trends of well-stated failure com-
ponents, i.e., those related to air-gap eccentricities, stator short
circuits, broken rotor bars, and bearing failures. Moreover, the
expert system has to consider those components which are of
potential interest because of their power and repetition.
The knowledge of a component trend is a crucial point be-
cause it makes the expert system a robust threshold handler
which decides to consider or ignore a particular failure com-
ponent. Fig. 4 shows a typical example related to a 900-kW in-
duction machine extensively tested. For simplicity, the figure
is referred to the last group of more than 1000 tests performed.
The trend of the sum of the two fault components (in percentage
with respect to the component at the supply frequency) at fre-
quencies is shown [15]. A rotor bar gets effectively
broken during the test reported as the 50th case. It can be seen
that, performing a trend analysis it is easy to determine an at-
tention threshold and to evaluate, consequently, the weight of
a component (in the case of Fig. 4 the determined threshold is
0.5%).
Obviously, it is difficult for an expert system to manage a
large amount of data. To reduce the computational requirements,
the expert system could become a simple threshold handler, by
managing only the thresholds related to the various failure com-
ponents. These thresholds can be directly computed by using
simplified models or formulas or can be previously evaluated
by performing separately the trend analysis [31], [32]
By combining the information derived from the trends of
the various harmonic components, from the attention thresholds
and considering the machine operating conditions as well, the
system can determine directly a possible fault situation, by per-
forming steps 1) and 2) of Section I. For illustration purposes,
Fig. 5 shows the knowledge base fragment referred to the stator
fault identification presented in [16].
However, an expert system structure can also be considered
more simple than the one already described. For example, this
is the case when the trends or the attention thresholds are not
known or there is reduced computing power. For this purpose,
FILIPPETTI et al.: INDUCTION MOTOR DRIVES FAULT DIAGNOSIS USING AI TECHNIQUES
Fig. 5. Expert system knowledge base fragment.
the role of the expert system can be restricted to the search
of the harmonic components and the fault classification task is
omitted. The goal of the inference engine is, then, just the re-
trieving of a suitable set of harmonic components that can cor-
rectly label the so-called failure set (FS). Once the FS is known,
at the end of the expert system inference, another AI method-
ology can be used for the fault classification task. In fact, an
unsupervised NN, (which has been previously trained) can be
introduced to finally classify the single type of fault.
Different FSs containing current spectrum lines related to var-
ious machine conditions are presented. An unsupervised NN
clusters the available FS into characteristic regions of an output
node lattice. The more the input vectors are different, the more
effective the clustering becomes, and the various regions are
well separated, realizing a fault topographic map that can also
be utilized immediately by visual inspection. Considering for
simplicity only the rotor broken bars (fault condition 1), stator
short circuits (fault condition 2), and the bearing damages (fault
condition 3), there are three indicators as inputs. Restricting the
attention to a single fault, it is obvious that the input FS, for
bearing damages, should contain a consistent value in the third
position, while the other values should be negligible. On the
contrary, the FS related to the rotor bar breakage and stator short
circuits should contain consistent values, respectively, in the
first and second positions. Finally, the FS related to the healthy
conditions contains all negligible values. Therefore, the various
categories of input FS have well-defined similarity relations.
Thus, the unsupervised NN gets a diagnostic preprocessor for
classification purposes [23], [34], [35], [37], [38].
As an example, Fig. 6 shows the fault map trained by rotor
asymmetries (1), stator asymmetries (2), and bearing damages
(3) together with healthy machine cases ( ) [23].
By using the procedure previously discussed, steps 1) and
2) are obtained utilizing an inference engine or the combina-
997
Fig. 6. Fault map (example to distinguish stator, rotor, and bearing damage).
tion between an inference engine, an unsupervised NN and a
conventional technique. While the attention thresholds are com-
puted via simplified models, two AI technologies and one deter-
ministic technology are utilized. In the second case, the expert
system performs some evaluation functions providing the input
FS for the NN that completes the task providing the final fault
identification.
It should be noted that, with regard to the training phase of the
network, an unsupervised learning does not require a teacher.
Therefore, all the FSs obtained from online monitoring sys-
tems, (from the expert system inference or, finally, if available,
from model-based approaches), can constitute components of
the learning data set [31]. The result justifies the effort to col-
lect these data. In fact, for this purpose, once the learning data
set is built and the learning phase is performed, the NN will con-
tain and generalize the prior knowledge of the expert system. It
also provides a very fast response in terms of fault classification
and requires a minimum configuration intelligence to perform
its features [23]. Moreover, if a suitable normalization is per-
formed on the input FS, then the trained NN can be applied to a
family of similar induction machines.
Recalling the structure of the expert system production rules
(see Section III), it should be noticed that a particular assump-
tion cannot always be declared true in exact terms. Therefore,
it is necessary to consider not only “true” or “false” but a range
between them. This is because the reasoning of the experts is
often expressed not by numbers (crisp values) but by linguistic
terms as “small,” “large,” “low,” etc., taken from the natural lan-
guage. Another AI methodology, fuzzy logic, gives a complete
solution to these problems [13], [39]–[41].
The essential parts of a fuzzy logic system are a set of lin-
guistic rules of the form IF A THEN B, where A and B are lin-
guistic variables characterized by appropriate membership func-
tions, and an algorithm which can convert a linguistic strategy
based on expert knowledge into a fuzzy inference. Generally, an
expert system may contain fuzzy and crisp rules or, more specif-
ically, some fuzzy knowledge islands and some crisp knowl-
edge islands. Finally, when the investigated problem is too com-
plex to be analyzed by quantitative techniques and the available
sources of information are only interpreted qualitatively, the ex-
pert system can be completely fuzzy, and becomes a fuzzy in-
ference system.
998 IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 47, NO. 5, OCTOBER 2000
It is possible to improve the expert system described above
by performing steps 1) and 2) through the insertion of the fuzzy
logic concepts. However, with regard to step 3), i.e., the fault
severity evaluation, this will be discussed in detail in the next
section.
VI. FAULT SEVERITY EVALUATION
A. General
From a theoretical point of view, the conventional general
method to make the fault severity evaluation is the objective
knowledge based on well-tested mathematical models that have
the capability of considering the various machine faults. Unfor-
tunately, a heavy and time-consuming computational task must
be performed due to the models’ complexity and, as discussed
above, a large number of machine design parameters is required
by the models [14], [16].
Different algorithms can also be utilized, e.g., parameter
variation or state variables variation consequent to the faults
[42], but, parameters and state variables determined by con-
ventional models depend on model accuracy and sensitivity.
Consequently, fault-parameter variation or fault-state variable
variation correlation is often difficult to evaluate [43].
By remaining in the field of the objective knowledge, an in-
teresting possibility is the development of simplified faulty ma-
chine models. These models have a low level of requirements in
terms of design parameters and computational features; more-
over, being oriented to only one fault effect, they can be devel-
oped to obtain for the specific fault a sufficient accuracy. By
adopting suitable assumptions, it is also possible to derive basic
models which are characterized by a very simple link between
the main indicators and the fault severity (often the link can be
reduced to only a formula) [44], [45].
Obviously, the simplified models have to be validated exper-
imentally to state the validity limits, but when confined into the
limits, they can be used (as mentioned in the previous sections)
for a first specific fault quantization or a threshold overcoming
evaluation. As an example, the simplified approximated formula
which links the main diagnostic index related to rotor asymme-
tries and labeled as with the broken bar number , being
the total bar number, is given by [46]
(5)
At this point, a perplexity arises. Why are we scanning the
conventional methods based on mathematical models, while our
aim is to illustrate innovative AI methods? The reason is that a
model-based approach is sometimes required to obtain effective
AI methods, as will be discussed below.
B. NN-Based Diagnosis Examples
A very new and attractive solution for the fault severity eval-
uation can be found applying again one of the AI techniques,
i.e., the supervised neural approach [13], [46]–[49]. A super-
vised ANN is a general function approximator which can syn-
thesize the relationships between the different variables consti-
tuting the input vectors and the output diagnostic indexes that
indicate the fault severity, starting from examples utilized in the
Fig. 7. ANN architecture for stator short-circuit diagnosis.
learning procedure. However, the ANN sensitivity to synthesize
the system depends on the chosen input variables which must be
optimal fault indicators. In order to fulfill this condition and to
obtain an effective method, a preventive-model-based study can
be performed and this justifies the previously mentioned impor-
tance of the model approaches. Thus, the input–output data set
can be obtained, as well as from experimental data, and also
from model-based approaches [46], [50].
As an example, Fig. 7 shows the ANN architecture to quan-
tify a stator short-circuit condition [51]. Here, and de-
note the negative- and positive-sequence stator currents, respec-
tively, and and are the slip and rated slip, respectively. The
negative-sequence component is quite independent of the
operating conditions and it constitutes a reference variable to
inter-turn failure diagnosis, while the positive component is
dependent both on the short-circuit percentage and slip value,
but the utilization of , , and does not lead to the NN con-
vergence. However, a suitable process of leads to another ef-
fective variable, and the diagnostic index is the modulus differ-
ence between the phasors and (positive-sequence com-
ponent of the healthy machine in the same operating condition)
divided by that is ( ). This variable is inde-
pendent of the operating conditions and its utilization improves
the network convergence. Therefore, Fig. 7 (where is the slip,
is the rated slip, is the rated current, and is the output
fault percentage). Furthermore, if a suitable normalization of the
diagnostic indexes is provided and simplifying assumptions are
introduced, an ANN can be obtained which can diagnose a class
of similar machines.
C. Fuzzy-Logic-Based Diagnosis Examples
The application of an ANN leads to a problem similar to the
one discussed for the expert system production rules in Sec-
tion V. In fact, the concrete reasoning is often expressed not
by numbers (crisp values) but by linguistic terms as “small,”
“large,” “low,” etc., taken from the natural language. The crisp
values of the fault indicators obtained by fault models, may be
seen as a drawback of the diagnostic system, due to the general
requirement to obtain heuristic or qualitative information on the
system. To approach the performance of a diagnostic system to
FILIPPETTI et al.: INDUCTION MOTOR DRIVES FAULT DIAGNOSIS USING AI TECHNIQUES
Fig. 8. Input variables fuzzy sets for I .
the real world and to obtain a more direct intelligence, again,
an AI technique, i.e., fuzzy logic can provide the solution [9],
[40], [41]. A system based on fuzzy logic allows the transforma-
tion of heuristic and linguistic terms into numerical values via
fuzzy rules and membership functions and is able to approxi-
mate the complex relationships related to a diagnostic task. To
develop a specific example, the detection of broken rotor bars
fault severity is considered by utilizing Mamdani-type fuzzy in-
ference and using as input variables the fault components and
at frequencies provided into the FS by the expert
system [41].
A model-based analysis, previously performed on the
500-W test motor, gives the guidelines for the choice of the
linguistic variables to evaluate the fault components severity.
For simplicity, we consider only the labels “small,” “medium,”
and “large” are considered. The simulated data suggest to
consider “small” to an amplitude up to 50 dB, both “small”
and “medium” up to 40 dB, etc., until 30 dB that can
be considered “large.” Obviously, the amplitude of the fault
components increases with the number of broken bars. By
selecting generalized bell-shaped membership functions with
suitable parameters, it is possible to obtain the membership
functions for the two fault components and . The shape of
the fuzzy sets is then shown in Fig. 8.
At this stage, the output fuzzy set related to the broken bars
must be defined. Following again the simulation results and
recalling that a diagnostic system must be able to detect the
threshold between healthy and faulty conditions, it is sufficient
to consider, in terms of linguistic variables, the following
five conditions: “no broken bars” no; “an incipient fault”
if; “one broken bar” one; “one_or_two broken bars”
one_or_two; and, finally, “two broken bars” two. For the
output fuzzy sets, five Gaussian functions centered, respec-
tively, in suitable points have been chosen. By considering the
two-dimensional matrix of the input variables, each subspace
is associated with a fuzzy output situation. Consequently, the
fuzzy rules are obtained as follows.
1) If ( is small) and ( is small) then (no).
2) If ( is small) and ( is medium) then (if).
3) If ( is small) and ( is large) then (one).
4) If ( is medium) and ( is small) then (if).
5) If ( is medium) and ( is medium) then (one).
999
Fig. 9. 3-D map of the input–output relationships between the sideband
components I and I .
6) If ( is medium) and ( is large) then (one_or_two).
7) If ( is large) and ( is small) then (one).
8) If ( is large) and ( is medium) then (one_or_two).
9) If ( is large) and ( is large) then (two).
Fig. 9 provides a three-dimensional (3-D) map of the input
and output variables. The details of the fuzzy diagnostic im-
provement for rotor fault detection are given in [13] and [41].
By comparing the NN-based approach with the fuzzy ap-
proach, it is possible to draw the following conclusions. A fuzzy
approach models a complex problem employing an IF–THEN
type of expert rules and linguistic variables to capture directly
the qualitative aspects of the human reasoning process involved.
However, the problem is shifted to the membership function and
rule tuning. On the contrary, an NN-based technique allows an
accurate solution to a particular fault problem, without the need
of accurate knowledge of the faulty system. However, the main
drawback is related to the fact that, in general, the exact archi-
tecture of the NN to be used is not known in advance.
D. Fuzzy-NN-Based Diagnosis Examples
To overcome the already mentioned problem and also to ob-
tain further possibilities, it is necessary to join the features of
NNs and fuzzy techniques, and this can be performed by using
a neuro-fuzzy (fuzzy-neural) approach [52]. One possibility for
this is to use an (adaptive-network-based fuzzy inference system
(ANFIS). This NN is an adaptive network which implements,
as overall input–output function, a fuzzy inference [11]. In this
way, it is possible to develop a fuzzy system embedded in an
adaptive NN, without the extra effort to build and tune the mem-
bership functions and the rule parameters. The architecture of
the ANFIS is well defined.
An example of ANFIS application can be derived directly
from the previous example related to the induction motor rotor
faults [53]. For simplicity, a first order Sugeno-type-inference
system is used, which is more suitable for the ANFIS applica-
tion. Such reasoning requires rules with the IF part fuzzy and the
THEN part crisp. Assuming again the inputs to be and , the
first rule of the previous fuzzy system becomes the following:
If ( is small) and ( is small) then
where , , and are crisp parameters of the THEN part. The
other rules are similar (but contain different , , parame-
ters). The adaptive network structure consists of a multilayer
1000
Fig. 10. Adaptive ANFIS architecture for rotor fault diagnostics based on the
sideband components I and I .
feedforward network in which each node performs a specific
function (node function). To indicate the different adaptive ca-
pabilities, usually an adaptive node is indicated by a square (in
Fig. 10). The adaptive NN is trained by a supervised learning.
However, in this case, (different from the classical feedforward
NN architecture), the links only indicate the flow direction of
signals between nodes and no weights are associated with the
links. During the learning phase the updating quantities are the
parameters of the adaptive nodes.
To perform the features of the already defined Sugeno-type
fuzzy system, the adaptive NN can be organized as shown in
Fig. 10. In Fig. 10, there are several layers. For example, layer
1 is associated with the membership function of the linguistic
variable (small, medium, large) for and for . The cor-
responding output specifies the membership grade of the input.
The parameters of the membership function pertain to the pa-
rameter set. As the values of these parameters change, the shape
of the membership functions varies accordingly.
As discussed above, in the conventional fuzzy approach the
parameters must be chosen by examining directly the fault cases
or the model results. This means that the fuzzy-NN starts with a
first attempt of membership functions, then automatically con-
structs the required membership functions by using an example
set. The other layers are devoted to the remaining functions of
the fuzzy set. Finally, the last layer that computes the overall
output as the summation of all incoming signals.
Thus, an adaptive network has been constructed which is
functionally equivalent to a fuzzy inference system, but without
the effort to tune the rule parameters and the membership
function parameters. This task is accomplished by the NN
during the learning phase. Since the parameter set characterizes
the fuzzy system features, it can be concluded that, in this
case, the adaptive fuzzy-NN is able to construct autonomously
the embedded fuzzy system. The authors have already shown
in [51] the utilization of this interesting technique for stator
short-circuit detection as well. It has to be emphasized that this
technique is very interesting because starting from examples, it
requires a minimum a priori knowledge and, consequently, can
be utilized in order to design a diagnostic system respecting the
minimum configuration AI (MCAI) principle [13], [23].
IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 47, NO. 5, OCTOBER 2000
VII. FAULT DIAGNOSIS OF DRIVES
A. Open-Loop Drives
If the induction machine is supplied by a frequency converter,
the machine diagnostic system has to be combined with the fault
possibilities of the converter. For this purpose, an integrated di-
agnostic system associated with the monitoring of an open-loop
electric drive will be considered.
As far as power converters for commercial applications of
electric drives are concerned, a relatively small number of con-
figurations exists. Therefore, similar circuit topologies should
produce similar results for typical faults and, hence, it is pos-
sible to study a diagnostic system able to operate regardless
of different manufacturers and ratings. Voltage-source-inverter
(VSI)-type converters are now considered. To investigate pos-
sible fault operations of such a converter, much work has been
carried out in recent years. The literature concerns mostly the
classification and the analysis of true fault operations of single
components of electric systems [54]. The analytical approach to
reliability prediction, i.e., the preventive diagnostic, on the con-
trary, is developed only regarding subsystems [7], [55].
The results of the analysis are considered as the starting point
to study the monitoring and diagnostic system that will follow
the system operating conditions detecting online abnormal con-
ditions. Obviously, in a multistage system, the nodes chosen to
be monitored in parallel should be limited, trading off between
cost and expected results. Therefore, the monitoring strategy
must be suitably designed and, to this aim, correlation among
the practical fault set and the different variables should be found.
For a VSI, the drive scheme contains three cascaded subsystems:
an ac–dc converter, a dc–ac converter, and the induction motor.
The effects produced by typical faults on the input–output
variables of the subsystems must be analyzed in order to con-
struct the rules for the knowledge base of the diagnostic system
[5]–[7], [56], [57]. Typical faults of a converter cause changes
in the supply waveforms and, consequently, in the spectrum of
the input–output currents and voltages. Also, in this case, the
spectrum analysis is a fundamental tool for diagnostic purposes
and every noncharacteristic component becomes a possible di-
agnostic index. Therefore, the methodologies already discussed
for the various motor faults can be extended to the supply con-
verters.
Considering the usual drive protections and, consequently,
the available variables, the subset of monitoring nodes is con-
stituted by the input–output variables of the subsystems, i.e.,
• main supply currents;
• dc-link current and dc-link voltage;
• dc–ac converter output currents (input motor currents).
Some typical true fault events that allow reduced operating
conditions of the drive without involving the short circuits pro-
tections are:
• transistor base drive open fault;
• phase open at machine terminal;
• any motor asymmetry due to an internal fault.
As an example, Fig. 11 shows the experimental results re-
ferred to a machine open phase in comparison with healthy con-
ditions. Fig. 11(a) and (b) shows the spectrum and instantaneous
values of main current and motor current related to the no-fault
FILIPPETTI et al.: INDUCTION MOTOR DRIVES FAULT DIAGNOSIS USING AI TECHNIQUES
Fig. 11. Experimental spectra and instantaneous supply current and output converter current in (a), (b) healthy condition and (c), (d) fault condition.
condition. Fig. 11(c) and (d) shows the corresponding results in
the case of an open phase.
Significant changes for the two situations are clearly visible
in both the instantaneous shapes and the spectra. Following
the diagnostic philosophy already utilized for the machine
faults, the current spectrum anomalies introduced by the con-
verter faults can be assumed as robust indicators. Obviously,
an efficient diagnostic system should give information about
the component’s incipient failures, whose early detection can
avoid catastrophic events. To this aim, the parametric failures
of power switching components should be considered and the
goal of the diagnostic system becomes the detection of pa-
rameter variations effects. However, this task is difficult. In
fact, experimental and model-based investigations show that
if the more usual long-term failures are considered in the
switching components, i.e., the related parameter variations,
the input–output current, and voltages spectra are not effective
fault indicators. No significant changes can be distinguished
between the healthy condition and the parametric faulty con-
ditions in the spectrum line amplitude without considering its
time variations [7]. This problem could be solved by applying
trend analysis techniques.
B. Closed-Loop Drives
For closed-loop drives, only recently have some papers ap-
peared in the literature about the impact of control loops on
the machine fault effects [58]–[60]. Obviously, the control itself
modifies the behavior of machine supply variables and a more
sophisticated procedure must be adopted in order to assess ma-
1001
chine condition. The typical spectrum lines produced by faults
in the machine input currents are present in the voltage spec-
trum as well. The manipulated variables are available beyond
the usual motor terminal and can be sensed for diagnostic pur-
poses. Since the regulators in the presence of faults will still
force the controlled variables to the reference values, the con-
troller outputs change, reflecting fault entity and type. There-
fore, new diagnostic indexes can be retrieved for manipulated
variables, too.
An unlike philosophy has been followed in order to design
and to realize the control of fault-tolerant systems [61], [62].
Also, in this field, advanced AI techniques start to be applied
[13]. In the following, a genetic-based technique is described.
1) GA-Based Self-Repairing Drives: As discussed in
Section II, GAs are stochastic optimization techniques. More
precisely, they are simple, powerful, general purpose, deriva-
tive-free, stochastic global optimization methods (search
algorithms) inspired by the laws of natural selection and
genetics. Thus, they use the concept of Darwins’s theory of
evolution, which is based on the rule of the survival of the
fittest. These algorithms are derivative free, which means that
they do not need functional derivative information to search
for a set of parameters that minimize (or maximize) a given
objective function. Instead, they exclusively rely on repeated
evaluations of the objective function, and the subsequent search
direction after each evaluation follows certain heuristic guide-
lines. Since the search procedure does not use any derivative,
in general, this technique is slower than derivative-based opti-
mization methods. However, the freedom from the dependence
of functional derivatives means that there is no requirement for
1002
differentiable objective functions, so the objective function can
be as complex as required.
The data processed by a GA is a set (population) of binary bit
strings (chromosomes) which represent multiple points in the
search space. A bit string is a binary figure with a finite length,
(bit strings are combinations of 0s and 1s, which represent the
value of a number in binary form); each bit is called an allele
(gene) and is decoded by an evaluator to obtain the objective
function value of the individual point in the search space. This
function is minimized (or maximized) by the GA and is then
converted into a fitness value, a value proportional to its near-
ness to its solution.
The idea of GA-based self-repairing drives was first dis-
cussed in [13]. According to this, it is possible to implement
AI-based self-repairing and self-constructive controllers and
estimators, e.g., in variable-speed “sensorless” high-perfor-
mance drives. To obtain an extremely flexible self-repairing
and self-constructive (self-reproducing, self-configuring) con-
troller/estimator, a field-programmable gate array (FPGA) can
be used, which contains simple logic cells, each of which can
perform simple logical operations. The operation performed
by each cell and the way its inputs and outputs are connected
with the other logic cells of the FPGA are determined by an
appropriate binary bit string, which is stored in the master
memory of the FPGA. This bit string describes completely
the behavior of the FPGA and changing the bit string leads
to another circuit architecture. Some commercially available
FPGA chips are extremely flexible: different bit strings cor-
respond to different architectures and a new bit string can be
downloaded onto the chip from a host PC at any time. To obtain
the optimal solution (optimal chip architecture), a GA is used.
The completely automated self-repairing feature also allows
automated diagnosis. Such self-repairing and self-constructing
systems could revolutionize the design of controllers and
estimators used in all types of drive systems.
VIII. CONCLUSIONS
This paper has given a general review of the recent devel-
opments in the field of AI-based diagnostic systems in elec-
trical machines and drives. It has covered the application of ex-
pert systems, fuzzy logic, ANNs, and combined systems, e.g.
fuzzy-NNs. The advantages of using AI were shown and some
aspects related to the application of minimum a priori knowl-
edge were also discussed.
Although at present they are limited to only a number of prac-
tical implementations, it is believed that these techniques will
have a significant role in electrical drive diagnostic systems; in
particular, fuzzy-neural diagnostic systems will become exten-
sively used. In the future, GA-assisted neural- and fuzzy-neural
systems may also be used more extensively for machine condi-
tion monitoring, e.g., in self-repairing electrical drives.
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Fiorenzo Filippetti (M’00) was born in Fano,
Italy, in 1945. He received the Master’s degree
in electrical engineering from the University of
Bologna, Bologna, Italy, in 1970.
He joined the University of Bologna in 1976 as an
Assistant Professor and is currently an Associate Pro-
fessor of Electrotechnics in the Department of Elec-
tric Engineering. He is the author or coauthor of more
than 90 scientific papers. His main research interests
include the simulation and modeling of electric cir-
cuits and systems and the application of diagnostic
techniques to circuits and systems.
Prof. Filippetti is a member of the Italian Association of Electric and Elec-
tronics Engineers (AEI) and the European Consortium for Research on Condi-
tion Monitoring of Electric Systems and Drives (CRCM).
Giovanni Franceschini was born in Castelnovo ne’
Monti, Italy, in 1960. He received the Master’s de-
gree in electronic engineering from the University of
Bologna, Bologna, Italy.
He is currently an Associate Professor of Electric
Drives at the University of Parma, Parma, Italy. His
current research interests include high-performance
electric drives and diagnostic techniques for indus-
trial electric systems. He is the author or coauthor of
more than 70 technical papers in these fields.
1004 IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 47, NO. 5, OCTOBER 2000
Carla Tassoni (A’90–SM’92) was born in Bologna,
Italy, in 1942. She received the Master’s degree
in electrical engineering from the University of
Bologna, Bologna, Italy, in 1966.
She joined the University of Bologna as an As-
sistant Professor and then became an Associate Pro-
fessor of Electrical Machines in the Department of
Electric Engineering. She is currently a full Professor
of Electrotechnics at the University of Parma, Parma,
Italy. She is the author or coauthor of more than 100
scientific papers. Her main research interests include
the simulation and modeling of electric circuits and systems and the application
of diagnostic techniques.
Prof. Tassoni is a member of the European Consortium for Research on Con-
dition Monitoring of Electric Systems and Drives (CRCM).
Peter Vas (M’89) received the Ph. D. and D. Sc. de-
grees in electrical engineering from the University of
Newcastle-upon-Tyne, Newcastle-upon-Tyne, U.K.,
in 1979 and 1988, respectively.
He has worked at various European universities
and, in 1990, he joined Aberdeen University,
Aberdeen, U.K., as a Professor of Electrical Engi-
neering in the Department of Engineering, where
he is the Head of the Intellient Motion Control
Group. He is the author of more than 160 papers and
five textbooks. His current research areas include
sensorless and quasi-sensorless vector and direct torque-controlled drives,
artificial intelligence applications to motion control, condition monitoring, and
parameter estimation.
Prof. Vas was the Laureate of the 1990 George Montefiore International
Award.