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A Review to Diagnose Faults Related to Three-Phase Industrial Induction

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Article in Journal of Failure Analysis and Prevention · July 2022

DOI: 10.1007/s11668-022-01445-2

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J Fail. Anal. and Preven.
https://doi.org/10.1007/s11668-022-01445-2

TECHNICAL ARTICLE—PEER-REVIEWED

A Review to Diagnose Faults Related to Three-Phase Industrial

Induction Motors
Muhammad Aman Sheikh . Sheikh Tahir Bakhsh . Muhammad Irfan .
Nursyarizal bin Mohd Nor . Grzegorz Nowakowski

Submitted: 29 May 2022 / in revised form: 27 June 2022 / Accepted: 30 June 2022
 ASM International 2022

Abstract The induction motor is one of the essential explained. Further, this paper covers fault diagnoses that
components of the industry. In industrial applications, the are capable of finding the symptoms of motor failure
controllability, protection, and reliability of induction through the state of the art of parameter estimation. In
motors are of major concern to reserve energy. Thus, addition, the medium for the root cause of an induction
condition monitoring of an induction motor is critical for motor failure is described. Finally, the paper is concluded
improving the unit’s reliability and, as a result, reducing with what has been done already, the knowledge gap, and
downtime, labor, reducing energy wastage. Induction the potential of future research.
motor stator winding and bearing failures account for 37%
and 41% of failures, respectively. As the sophisticated Keywords Induction motor  Squirrel cage type 
controls rely on parameters of the motor, while the pro- Wound type  Three phases  Faults  Electrical faults 
tection and reliability depend on continuous and accurate Mechanical faults
monitoring of the health of the motor. This paper covers
the state of the art of parameter estimation and condition
monitoring of induction motors in order to help out the Introduction
industry to minimize energy wastage. In order to assist the
exact operation of an induction motor, initially, the fun- Electrical machines are the core component of engineering
damentals, structure, and model of an induction motor are system and are extensively used in the industries [1–6].
These machines have been used as a backbone in indus-
tries. Among all the machines, an induction motor is a most
M. A. Sheikh (&) commonly used machine in the industries. It is an asyn-
School of Engineering & Technology, Sunway University,
Petaling Jaya, Malaysia
chronous machine that consists of magnetic circuits linked
e-mail: [email protected] with electrical circuits, which are rotating with reference to
each other and transmit power from one circuit to another
S. T. Bakhsh through electromagnetic induction known as electrome-
Computer Science Department, Cardiff School of Technologies,
Cardiff Metropolitan University, Cardiff, UK
chanical energy conversion. This conversion depends on
interrelating magnetic and electric fields on one side while
M. Irfan motioning and mechanical force on the other side. An
Electrical Engineering Department, College of Engineering, induction motor is integrated as an electrical and a
Najran University, Najran, Saudi Arabia
mechanical structure as shown in Fig. 1: a stator, rotor,
N. bi. M. Nor bearing, windings, and a frame [7–10]. The stator of an
Department of Electrical & Electronic Engineering, Universiti induction motor is created by electrical steel lamination
Teknologi PETRONAS, Bandar Seri Iskandar, Malaysia [10–12]. The laminated configuration of the stator while
G. Nowakowski
carrying magnetic flux must have low vibration and the
Faculty of Electrical and Computer Engineering, Cracow cohesion necessary to transmit the load torque. The stator
University of Technology, Cracow, Poland

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 J Fail. Anal. and Preven.

is firmly clamped in a cast that is protected to be, cylin- adverse circumstances. However, it suffers by the anomaly
drical. Initially the core of the stator is assembled, of having low initial starting torque, because the rotor bars
compressed, and the plates are clamped. As for the smaller are short-circuited and external resistance cannot be
size induction motor to secure the clamping plate, welding mounted to have a large starting torque.
is used [13]. While in a larger motor the plates are clamped
through bolts. The windings in the stator consist of high- Wound Type
strength copper material which is connected in delta or star
topology. The winding of a stator is wounded for a definite The wound rotor differs a lot in construction as compared
number of poles as per the speed constraint of the motor. to the squirrel cage rotor [20]. Its construction is similar to
There is an inverse relationship between the poles and the that of the stator, it carries three-phase winding with the
speed of a motor. laminated cylindrical core as shown in Fig. 3 [21]. The
The rotor of an induction motor is laminated, and all the rotor consists of slots and the rotor winding is consistently
laminations are shrunk and clamped together onto the steel distributed among these slots, while the open terminal of
shaft. And the rotor windings are assembled of hard-drawn the rotor winding is connected to the slip rings brushes
copper which is by resin impregnated. The rotor of a motor mounted on the shaft. In order to have larger initial or
is sustained by bearings, which are either mounted on starting torque, the brushes are connected to the rheostat.
isolated pedestals or assimilated into the enclosure. There Once, the motor runs up, these resistances are gradually
are two types of rotors as follows [14–17]: reduced, brushes are short-circuited and the motor operates
like a squirrel cage rotor.
(1) Squirrel cage type
(2) Wound type
Operational Principle
Squirrel Cage Type
One of the essential operating principles of an induction
This type of rotor comprises a laminated cylindrical core motor is the formation of the magnetic field in the air gap.
that has slots on their outer periphery [18]. Each slot is When the stator of the motor is energized by a three-phase
filled with a copper or aluminum bar. Both ends of these power supply, it creates a rotating magnetic field.
bars are joined by metal rings as shown in Fig. 2 [19]. By Neglecting the non-ideal winding distribution that affects
joining the ends of the bars, an indestructible permanent slots and space harmonics, it can be revealed that balanced
short-circuit winding is formed. The entire construction of three-phase voltage will generate a synchronously mag-
the rotor with bars that are short through end rings netic field that rotates at synchronous speed. The amplitude
resembles a squirrel cage. The rotor of an induction motor of three-phase stator windings currents in a sinusoidal form
is not directly connected to an electric supply. Thus, the is expressed as [22]:
current that is induced in the rotor is due to transformation
action from the stator. The induction motors are named
squirrel cage motors due to the name employed by the
squirrel cage rotor. Most of the induction motors rely on
the squirrel cage rotor because of its remarkable simple and
robust structure that enables them to operate even in

Fig. 1 Parts of three-phase induction motor Fig. 2 Structure of squirrel-cage rotor

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J Fail. Anal. and Preven.

2p
Fb ðhÞ ¼ Nib cosðh  Þ ðEq 5Þ
3
2p
Fc ðhÞ ¼ Nic cosðh þ Þ ðEq 6Þ
3
where.
h ¼ Torque angle.
For an induction motor, the torque angle is between 0
and 90 degrees. Consider the rotor to be a low-pass filter
with an L/R time constant and the frequency of interest to
be the slip frequency. The torque angle is the time it takes
for the rotor to respond to the stator excitation.
N ¼Number of turns.
Fig. 3 Structure of wound rotor Therefore, resultant MMF will be the sum of all the
three phases MMF given as:
ia ¼ Im cos xe t ðEq 1Þ FðhÞ ¼ Fa ðhÞ þ Fb ðhÞ þ Fc ðhÞ ðEq 7Þ
2p 2p 2p
ib ¼ Im cosðxe t  Þ ðEq 2Þ FðhÞ ¼ Nia cos h þ Nib ðcos h  Þ þ Nic ðcos h þ Þ
3 3 3
2p ðEq 8Þ
ic ¼ Im cosðxe t þ Þ ðEq 3Þ
3
By substituting Eqs. 1, 2, and 3 in 8 the MMF resultant
where. can be expressed as:
I m ¼ Magnetizing current. 3
xe ¼ Line frequency. Fðh; tÞ ¼ NIm cosðxe t  hÞ ðEq 9Þ
2
The rotating magnetic field generated by the stator
passes through the air gap and cuts the rotor conductors, Equation 9 indicates peak value 32 NI m of sinusoidally
which is initially stationary. Electromotive force (emf) is time varying MMF that rotates in the air- gap at frequency
induced within the rotor due to the rotating flux and the xe .
stationary rotor. Since both ends of the rotor are short- Initially, the induction motor is stationary, when rotor
circuited, currents start flowing in the rotor due to induced conductors are subjected to a magnetic field, a current is
emf. induced in the rotor’s short circuit. The interaction between
Due to the induced emf, the currents flow within the MMF and air gap flux gives rise to torque. In the motor
rotor. In the presence of a magnetic field and the current- there is no induction at synchronous speed, hence, torque
carrying rotor will independently generate its own mag- cannot be created. There is a difference in the synchronous
netic motive force (MMF) within the respective axes. At a and rotor speed which is called slip speed and the torque is
phase shift spatial angle, the instantaneous MMF expres- developed at slip speed [24].
sions are given as [13, 23]: Ne  Nr xe  xr xsl
Three-phase currents passing via three-phase stator S¼ ¼ ¼ ðEq 10Þ
Ne xe xe
windings produce the rotating MMF. We consider an MMF
produced by a current flowing via a phase winding. For the where.
sake of simplicity, we simply consider the cantered coil on N e ¼ Synchronous speed.
the magnetic axis of the phases dispersed winding. The N r ¼ Rotor speed.
phase winding produces a sinusoidally dispersed MMF xr ¼ Rotor frequency.
centered on its axis when current flows through it. The xsl ¼ Slip frequency.
MMF’s amplitude fluctuates with the current’s instanta- The voltage in the rotor is induced at slip frequency, this
neous value. The vector sum of the three MMF of these similarly generate current in the rotor at slip frequency.
windings becomes a single spinning MMF vector F in the The expression of a torque is:
air gap because the windings of all three phases are 120 3 Rr
T ¼ PIr2 ðEq 11Þ
electrical degrees apart in space and are supplied by sym- 2 Sxe
metric three-phase AC sine currents.
where.
Fa ðhÞ ¼ Nia cos h ðEq 4Þ I r is the current in the rotor.
Rr is the resistance of the rotor.

123
 J Fail. Anal. and Preven.

Faults in Induction Motor of the art of parameter estimation. In addition, each class of
faults are analyzed based on performance and evaluation.
Induction motors are a workhorse in a variety of industries,
and they’re typically found in commercial and industrial Electrical Faults in Induction Motor
machinery. However, installation difficulties, environ-
mental conditions, and duty cycle may cause a motor’s Following are the induction motor faults that are classified
failure rate to increase much faster than planned. Induction under electrical faults.
motors are prone to a variety of problems as a result of
• Stator Winding Faults.
these causes [25, 26]. Stator faults, bearing issues, rotor
• Rotor faults.
defects, broken bar faults, end ring problems, and rotor
winding burdens are the most common types of motor
defects [27–30]. Stator Winding Faults
Broadly, the induction motor faults can be classified into
two classes: electrical and mechanical [5], as obvious in Insulation is potentially the weakest component in the
Fig. 4. stator winding [36]. Insulation in the motor winding is a
The fundamental causes of failure modes that demon- laminated organism that consists of various layers of mica
strate a slow failure sequence must be the focus of paper on a fiberglass supporting substance saturated and
condition monitoring in an induction motor. Bearing fail-
ures account for two-fifths of all problems, according to
published surveys. One-third of all motor defects are
caused by inter-turn short circuit faults in the stator
windings. End rings and damaged rotor bars account for
10% of all defects. The defects in an induction motor are
summarized in Fig. 5. The graphic depicts the results of an
EPRI survey on induction motor faults. [31–33]. Unbal-
anced stator voltages, current, torque, efficiency reduction,
oscillations, excessive vibration, overheating, and torque
reduction are all repercussions of such problems in
induction motors [12, 34–37].
Figure 6 explains the flow of this research work, ini-
tially, the fundamentals, structure, and model of an
induction motor are explained. Further, this paper covers
electrical and mechanical fault diagnoses that are capable Fig. 5 Failure rate of induction motor components
of finding the symptoms of motor failure through the state

Fig. 4 Induction motor fault

classification

123
J Fail. Anal. and Preven.

Fig. 6 Flow of the work

amalgamated by a synthetic resin [38]. Figure 7 shows the

stator of an induction motor.
The major class of winding faults is short-circuiting of a
few turns (inter-turn). The resultant short circuit among the
wires creates a huge circulating current to propagate
through the coil and leads to deterioration in the winding.
The inter-turns short circuit failures tend to be very
destructive. Figure 8 shows the symptoms of the faults that
are produced in the stator winding [39]. If an inter-turn
fault is not diagnosed at early stages, it can lead to the
larger section of the winding failure, such as coil-to-coil or
phase-to-phase short circuit and finally phase-to-ground
faults [40, 41]. Insulation failure leads to the burning of
insulation and localized melting of the copper winding and
core. Most often, inter-turn insulation failures result due to
the breakdown of the insulation from the site of the dam- Fig. 7 Induction motor stator frame and winding
aged portion, typically the core area and fail in the first or
second coil. affects the production process and result in an unscheduled
If stator winding failure is not diagnosed at an initial shutdown. Which are costly in terms of maintenance costs,
stage, it can lead to catastrophic failure. Thus, all the lost production time, and waste of raw materials.
hidden faults in the motor may result in its failure, which

123
 J Fail. Anal. and Preven.

Rotor Winding Faults Bearing Failure

The rotor of an induction motor consists of insulated bars The bearing failures are progressive in an induction motor
determined into the slots of the rotor. Winding on the rotor and is the most common cause of catastrophic failure [52].
is insulated with epoxy-glass laminate materials. Thermal Dust and corrosion are the most common causes of bearing
and mechanical stresses are of principal concern on the failures. Induction motors are frequently used in harsh
rotor. Although squirrel-cage winding is exceptionally environments. As a result, foreign materials, water, acid,
rugged, still faults occur, when they are exposed to arduous and humidity are the leading causes of bearing failure.
thermal, which gives rise to temperatures in the rotor and Figure 9 depicts the construction and function of bearings.
damages the rotor. Pulsation in the current, speed and stray Bearing failure is frequently caused by poor bearing
leakage flux are the indications for rotor faults [38, 42]. installation force on the shaft or in the housing [5, 53, 54].
The rotor winding faults are not easy to diagnose because This causes physical damage to the raceways, such as
there is no essential electrical link to the winding. More- brinelling, and can lead to premature failure. Defective
over, it is a tedious job to detect the current with the low- bearing installation might also cause misalignment. Fur-
frequency which is induced at the rotor end. thermore, the broken bearing causes mechanical
The focus of the research is to diagnose the asymmetry displacement, causing the motor air-gap to change and the
caused in induction motor due to stator winding, unbal- rotational eccentricities to become unstable [55].
anced voltage, bearing localized, and bearing distributed Induction motors use a bearing with rolling elements
defects [43–48]. All the stator winding faults are initiated (balls), cages, and raceways as a director for rotation,
by insulation failure of the windings while bearing faults however extreme load, lubrication issues, and infection
are raised due to contamination and lubrication problems cause push bearings to fail. [56, 57]. A rise in degree at
[49]. The root cause for the stator winding and bearing raceways, in the bearing housing, and in the lubrication
failure is stressed on the induction motor structure that substance is also associated with bearing failure. Because
leads to the windings insulation and lubrication failure. The the bearings direct motion to the rotor, a bearing failure
stresses that cause induction motor failure can broadly be will cause radial motion between the stator and the rotor
divided into thermal, electrical, mechanical, and environ- [58]. The main effect of bearing degeneration is that the
mental [50, 51]. rotor becomes eccentric, resulting in static and dynamic
eccentricity, which disrupts the magnetic forces between
Mechanical Faults in Induction Motor adjacent poles, causing more load to be moved onto the
bearing. Due to bearing rigorousness and the changing air-
There are three type of mechanical faults as follows: gap influence on shaft dynamics, vibration is increased.
Bearing failure can also have an impact on shaft currents
• Bearing failure
[59, 60].
• Eccentricity
The following are the signs and symptoms of bearing
• Broken rotor bar
failure:

Fig. 8 Schematic of stator winding failure Fig. 9 Parts of bearing

123
J Fail. Anal. and Preven.

• Mechanical vibration the incipient stage, these may progress into more severe
• Rising temperature faults and break down the motor.
• Decreasing average torque
• Shift in torque and speed Broken Rotor Bar
• Rise losses and curtail efficiency
• Asymmetry in line current, air gap flux, and voltages Rotor failures of almost account for 5–10% of the entire
catastrophes [63–65]. Mostly, a squirrel-cage rotor is used,
it is composed of aluminum or solid copper bars and are
Eccentricity
short by the end rings [38]. There are two types of cage
rotors: cast and fabricated. Initially, the cast rotors were in-
In an induction motor, the eccentricity of a rotor and stator
stalled only in small motors. However, with the advance-
is also considered one of the major faults because it con-
ment in the casting technology. But the big disadvantage of
tributes a considerable percentage to the motor failure. The
cast rotors is that their broken bars cannot be replaced or
eccentricity results in unbalanced radial forces which can
repaired. While fabricated rotors are found in large size
even lead to the stator and rotor rubs that can damage both
motors. The structure of the cast rotor is shown in Fig. 11.
of them. Source of eccentricity include an elliptical inner
A broken rotor bar causes asymmetry and produces a
cross section of a stator, at commissioning stage
backward rotating field. An enhanced field is generated
misalignment of stator and rotor, misalignment between
around the broken bar due to a lack of demagnetizing in the
load and shaft, unbalanced load, and mechanical resonance.
defective bar. Thus, the flux density is progressively higher
Figure 10 shows different cases of eccentricities [61, 62].
near the faulty region. The result stated that the degradation
As show in Fig. 9, for an ideal case, the symmetrical
in the order of torque is 2–4% with one broken bar, while it
motor without any fault their symmetry of stator Os , rotor
is between 10 and 15%, for three to five broken bars [66].
Or , and rotor rotation axis Ow have coincided. While the
The root cause for the motor failure is stress on the
occurrence of eccentricity means asymmetry or misalign-
induction motor structure that causes the failure modes
ment among one or all of these axes. The type of
which exhibit a slow failure sequence. As indicated in
eccentricity depends on the asymmetry of the axes. The
Fig. 12, induction motor defects are induced by a mixture
separation of Os axis is known as static eccentricity. Here
of numerous stresses that can be classified as thermal,
air gap is static versus stator. The separation of Or is
electrical, mechanical, and environmental.[41]. In the fol-
known as a dynamic eccentricity because the airgap versus
lowing subsections each stress class is explained in detail.
the stator rotates with the rotor.
While in a real scenario, static and dynamic eccentric-
Thermal Stresses Thermal stresses are triggered by the
ities co-exist. In which all the three axes are apart from
rise in temperature [67, 68]. The rise in temperature dam-
each other and known as mixed eccentricity.
age the insulation in winding and lubrication in the bearing
Eccentricity fault produces unstable centrifugal mag-
race which eventually reduces the longevity. Standard tests
netic pull between the stator and rotor that leads to stator
performed by the researchers have identified, that for every
and rotor rubs and gradually degrade winding and rotor
100 C rise in temperature from its extreme permissible
cage. This gradually damages the whole motor. Moreover,
limit half of the insulation life is reduced [69]. Factors that
the eccentricity generates extreme mechanical pressure and
increase thermal stresses include:
exhaustion on the bearing. If these faults do not diagnose at

Fig. 10 Cross section for three types of eccentricities

123
 J Fail. Anal. and Preven.

Fig. 11 Cast rotor type

Fig. 12 Type of stresses on

induction motor

Over voltage: With an increase in the voltage amplitude, proportional to the square of its load that shortens the
there is a significance variation in the flux amplitude as lifespan of the motor.
well. Thus, the increase in flux leads to a higher tempera- Environment temperature: The standard induction motor
ture, core losses, which finally contributes a thermal stress. is usually designed to operate at a maximum environmental
Frequent start and stop: The line start current of the temperature of 400C. Thus, the temperature beyond the
induction motor is 5–8 times greater than the full-load standard value results in thermal stresses.
current. Thus, copper losses in the regular start and the stop
induction motor are substantial. If the induction motor is Electrical Stresses The electrical stress results in the
subjected to a small span of time start and stop environ- local destruction of the bearing and the insulation of stator
ment, the rise in temperature can lead to thermal stresses. winding that decreases the lifespan of an induction motor.
Imbalance of three-phase voltages: Imbalanced (unbal- Electrical stresses have a direct relationship between the
anced) voltage supply cannot be neglected, due to an failure and the lifespan of the motor [34]. Electrical
imbalance in supply voltages significant increase in line stresses involve:
currents of the stator is observed that results in copper Insulation destruction: Insulation destruction comes
losses, which is a major source of rising in temperature. about in motors that have a voltage above 600 V. If the
Overload: There is a direct relation between load and motor insulation is not properly protected against the
temperature. The rise in temperature of the windings is environment then the leakage currents will create cavities

123
J Fail. Anal. and Preven.

on the copper wire. These small cavities will combine with lubrication of the motor. Some of the consequences are as
the environmental moisture and will reduce the impedance follows:
between the wire and ground. Finally, in the insulation
• Erosion and bearing failure
destruction process, tiny burned spots are generated in the
• Insulation failure among inter-turn that leads to a turn-
copper wire due to partial electrical discharging.
to-ground fault
Instant over voltage (unbalance voltage): One of the
defects that causes short-circuit is instant over voltage
supply from the power source. The following voltages are
supplied by the source [70]: Advantages of the Research Work
• The voltage fluctuates when current limiters, such as
This work is allowing the machine operator to have the
fuses, are activated while the energy stored in the
necessary spare components before the machine is disas-
magnetic field of the windings is released. Over
sembled, the health monitoring and fault diagnosis
voltages cause this instant, which might harm the
scheme shortens downtime periods. Therefore, this reliable
winding insulation.
study related to the faults and their severity will increase
• Over voltages in the induction motor may occur by
the machine’s productivity, safety, and dependability.
starting variable frequency drives and variables, that
Fault identification is extremely important in the cor-
have almost 2–5 times higher amplitude as compared to
porate world due to the following factors:
the nominal voltage.
• Reducing maintenance costs
• Predicting equipment failure
Mechanical stresses Mechanical force is the origin of
• Increasing component and equipment dependability
mechanical stresses. Displacement of the coils and rotor
• Enhancing equipment performance
striking with the stator is the issue that causes mechanical
• Increasing failure prediction precision
stresses.
Coils displacement: In the presence of magnetic flux, Finding the most effective induction machine monitor-
force is induced in the coil that is proportional to the cur- ing technique has become crucial as a result of the
rent square. During start-up time there is the maximum aforementioned benefits of induction machine problems.
force on the coil, and sometimes the coil is displaced
during start-up time. Thus, the displacement of the coil in
the slots damages the stator winding insulation. The Knowledge Gaps/Potential of the Future Research
Factors due to which rotor strikes the stator are as
follows: In addition to the several contributions in the field of the
diagnostic system, a few areas have been also explored that
• Bearing failure (Due to contamination and lubrication
need improvement. The major challenge is with the dis-
problem)
crimination of various faults. Since damper bar or inter-
• Displacement of the rotor toward the stator axis
turn faults lead to the generation of the same harmonics
There are different circumstances in which the rotor needs a method that has to be devised to isolate these
strikes the stator. The rotor may strike with the stator faults. The inter-turn fault can be discriminated by eccen-
during the start-up period due to the gradual winding tricity faults by monitoring half of the fundamental
insulation and the rotor clash with their conductors, this frequency component which is not affected by inter-turn
results in a phase-to-ground fault. Phase-to-ground is a while the damper fault bar can be detected through flux
catastrophic fault and the motor suffers severe damage, this analysis.
occurs due to collisions at the starting phase and takes
many years to appear as a phase-to-ground fault. Under
phase-to-ground fault, the rotor striking the touching points Conclusion
are extremely warmed up and can melt the rotor aluminum
and originate other significant failures. Motor systems are crucial components in industrial pro-
cesses and play an important role. They devour
Environmental Stresses These stresses are reflected by approximately 50–60% of total plant consumption. As a
environmental issues. If motors are not properly sealed and result, the motors’ efficiency should be maintained. Despite
isolated against environmental factors such as moisturizer, their great reliability, they are prone to a variety of defects
dust, and temperature can damage the insulation and as a result of aging, incorrect use, overuse, and mal-treat-
ment. Single phasing, crawling, broken rotor bars,

123
 J Fail. Anal. and Preven.

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Sunway University Malaysia. This research was financially supported diagnosis of induction motor. J. Vib.Eng.Technol. 9(4), 643–674
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Sheikh, upon reasonable request. Date(13/02/2018).
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21. http://electricalengineeringbasics.blogspot.my/2010/01/squirrel-
cage-motors-majoritory-of-3.html.Date(13/02/2018).
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