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Article history:
Received 13 March 2013
Received in revised form 25 May 2013
Accepted 27 May 2013
Available online 2 July 2013
Keywords:
Stator winding short circuit
Articial Neural Network
Particle Swarm Optimization
Extended Kalman Filter Method
a b s t r a c t
This paper proposes a new methodology to solve the problem of fault diagnosis in electrical machines.
The fault diagnosis method presented in this paper is, rst, able to provide information about the location
of a short-circuit fault in a stator winding. Secondly, the method enables the estimation of fault severity
by specifying the number of short-circuited turns during a fault. A cluster of Focused Time-Lagged neural
networks are combined with the Particle Swarm Optimization algorithm for proposed fault diagnosis
method. This method is applied to the stator windings of a Permanent Magnet Synchronous Machine. Each
neural network, in the cluster, is trained to correlate the zero-current component to the number of shortcircuited turns in the stator windings. The zero-current component, different from the zero-sequence
current, are obtained by summing the instantaneous values of current on all phases of the stator winding
during the diagnosis procedure. The neural networks are trained ofine with the Extended Kalman Filter
method using fault data from both computer simulations and an actual Permanent Magnet Synchronous
Machine. The use of the Extended Kalman Filter method, for training, ensures that the neural network
cluster used can be re-trained online to make the fault diagnosis system adapt to changing operational
conditions. Results from both computer simulation and actual machine data are presented to show the
performance of the neural network cluster and the Particle Swarm Optimization algorithm.
Published by Elsevier B.V.
1. Introduction
Permanent Magnet Synchronous Machines (PMSM) are receiving increasing attention in robotic, automotive, electric traction
and propulsion in Shipboard Power Systems (SPS) due to their high
efciency, high energy density and their suitability for high performance applications made possible by advancements in permanent
magnet materials [13]. With the increased use of PMSM, efcient
online condition monitoring and accurate machine fault diagnosis,
for these machines, is very important. The persistence of the electromotive force, due to the permanent magnets, also puts a lot of
stress on winding insulation and increases the possibility for degradation leading to winding faults. It has been established that SPS
has conditions that promote the degradation of winding insulation
[4]. This makes fault detection in these systems very important for
the survivability, availability and efcient use of energy of rotating
machines. In the published literature on fault diagnosis of electric
machines, induction motors have been the primary focus [57].
However, research effort on PMSM fault diagnosis has been on the
rise as more PMSMs enter the market for diverse application areas
as enumerated above [813].
Even though Articial Intelligence (AI) was introduced a long
time ago, it was in the early 90s that AI has achieved its greatest success, prompting their application to new elds of study. In
this paper, a method is presented to detect the presence of stator
winding short circuits. An Articial Neural Network (ANN) and a
modied version of the Particle Swarm Optimization (PSO) algorithm is used in the proposed method which can also provide
information about the severity of the short circuit fault occurring in
a PMSM. An ANN is a processing system consisting of a large number
of simple, highly interconnected processing elements in an architecture inspired by the structure of the cerebral cortex of the brain
[14]. The advantages of ANNs are their capability of arbitrary mapping from any real input space to an output space without regard for
the underlying system dynamics; which can be difcult to model
in some situations. Once designed, most ANN architectures can be
implemented online with little computational burden. The most
important issue with ANN is the selection of the type of ANN,
the architecture and the training method. The types of ANN techniques used in fault diagnosis for rotating machines include, but are
not limited to, multi-layer perceptrons, support vector machines,
self-organizing maps and radial basis functions. In most cases
the selection of the type of ANN xes the training methodology
and the architecture. In the literature, fault diagnosis applications
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Y.D. Nyanteh et al. / Electric Power Systems Research 103 (2013) 201213
Current(A)
x 10
-13
2
0
-2
-4
3.5
3.55
3.6
3.65
3.7
3.75
3.8
3.85
3.9
3.95
3.85
3.9
3.95
3.85
3.9
3.95
Short-circuit
windingfault
faulton
onphase-A
phase-A
10%90%
short-circuit
winding
Current(A)
5
2.5
0
-2.5
-5
3.5
3.55
3.6
3.65
3.7
3.75
3.8
Current(A)
100
50
0
-50
-100
3.5
3.55
3.6
3.65
3.7
3.75
3.8
Time(s)
Fig. 1. Zero-component of three phase stator current of PMSM from computer simulation.
involving ANNs for electric drives have mainly involved the induction machine [1519]. The usual approach to applying ANNs is to
obtain fault indicators and extract features which are learned by the
ANN technique by mapping machine conditions to the extracted
features. A recurrent, multi-layer ANN model for simulating the
dynamics of an induction motor and performing online fault diagnosis is proposed in [20] even though the load uctuation is not
discussed. The case of load uctuation is addressed in [21] using
negative sequence currents as the fault predictor. This paper uses
a different approach using the zero current component of the DQ0
transformation of the stator three-phase currents as the fault indicator. The characteristics of the zero-current component of the
stator current is selected as the feature the ANN uses to correlate machine condition to fault type and fault severity. In [22], the
authors present a well-developed approach based on an analysis
of the frequency component of the zero-sequence component of
the voltage of PMSMs. The method presented uses the zero component of the stator current even though the zero component of
the voltage can be used in the case of current controlled inverted
system. The method presented in this paper is a time-domain
knowledge-based approach to expand the use of ANNs to the
PMSMs.
During a three phase fault, a number of physical parameters
of the windings change: number of turns, reluctance and resistance. For our consideration the effective number of stator winding
turns is mapped to the zero-current component of the three phase
currents during training for various combinations of speed, loading and winding turns. Each combination is represented by an ANN
which is trained by the Extended Kalman Filter (EKF) method. The
EKF method also enables online reconguration of the ANN weight
matrix to adapt the diagnosis systems to changing operating conditions of the drive. During actual online fault diagnosis, an online
version of Particle Swarm Optimization (PSO) is implemented to
determine the number of shorted turns. PSO is an optimization
technique which uses the concept of ocking birds or swarming
locusts to stochastically approach the local optimum of a function.
Y.D. Nyanteh et al. / Electric Power Systems Research 103 (2013) 201213
x 10
-13
203
Current(A)
1
0
-1
-2
3.7
3.705
3.71
3.715
3.72
3.725
3.73
3.735
3.74
3.745
3.75
3.735
3.74
3.745
3.75
3.735
3.74
3.745
3.75
Current(A)
2.5
0
-2.5
-5
3.7
3.705
3.71
3.715
3.72
3.725
3.73
Current(A)
50
25
0
-25
-50
3.7
3.705
3.71
3.715
3.72
3.725
3.73
Time(s)
Fig. 2. Close up of the zero-component of three phase stator current of PMSM from computer simulation.
2
3
2
3
Ia
2
2
2
Idq0 =
Ib
sin +
3 sin() sin
3
3
cos()
cos
cos +
(1)
Ic
0.5
I0 =
1
(Ia + Ib + Ic )
3
0.5
0.5
(2)
For the case of no faults and for balanced three-phase conditions, the zero-current component is zero. During fault conditions
there is an imbalance in the measured current in all phases and
the zero-current component are no longer zero. When the number of shorted turns increases, it is noticed that the zero-current
component increases in magnitude. If a short circuit occurs in only
the A-phase, it is noticed that as the number of short-circuited
turns increase, the magnitude of the zero-current component also
increases. This is shown in Fig. 1 based on a simulation of a PMSM
operating under three different conditions of the stator as follows:
no winding fault, 10% windings short circuit in the A-phase and 50%
winding short circuit in the A-phase. A close up of the gure from
times 3.73.75 s is shown in Fig. 2. The loading and commanded
speed, in all cases, was the same. It would be noticed that in the
rst case of no fault the zero-current component is zero. The case
with 90% healthy stator windings has a peak of about 5 A and the
case with 50% healthy windings has a peak of about 50 A with spikes
reaching 100 A. For winding conditions with short-circuited turns
more than 50% of the total effective turns, speed control of the
machine was impossible.
During short circuit faults, the windings undergo physical degradation that reduces the effective number of turns, in addition to a
number of other physical modications to the windings. The effective number of turns is a simplication that represents the number
Laa
(1 )Lab
Lac
Laf
Lac
(1 )Lbc
Lcc
Lcf
Laf
(1 )Lbf
Lcf
(3)
2 Lff
The model shown in (3) has been used to develop an ABC model
of the PMSM. This model was used to study the behavior of the
PMSM during faults and was also used to obtain data to train an
ANN cluster for a number of machine conditions. Different fault
conditions have been simulated to understand the effect of short
circuits on the speed, torque, voltage and currents of the machine.
The approach used in [32] developed an optimization technique
based on PSO to determine the location of a short circuit fault and
the term in (3). The approach in this paper uses an ANN to relate
the effective number of turns given in (3) to the zero-current component of the three-phase currents. PSO is then used to determine
in (3) during online fault diagnosis.
2.1. ANN model training
Training time for a neural network depends on several factors
that include the type of application, ANN architecture and training
method [33]. The types of architecture include feed-forward, recurrent, multi-layer and ANN clusters. For this work an ANN cluster is
204
Y.D. Nyanteh et al. / Electric Power Systems Research 103 (2013) 201213
abccurrents
PMSM
Drive
used for fault diagnosis with each member ANN designed for preselected machine winding turn conditions: no turn-to-turn short
circuit, 10% short circuit, 20% short circuit, 30% short circuit, 40%
short circuit and 50% short circuit. To extend the capabilities of
ANN cluster, ANNs are designed also for machine operating condition. By this approach a set of ANNs, for a particular winding
condition, would be designed with different machine data representing different machine operating modes. These operating modes
could be speed of operation or loading conditions. Different ANN
architectures were considered during design and a feed-forward
Focused Time-Lagged Neural Network (FTLN) was selected as the
ANN architecture since it produced the best results. The architecture was composed of 3 neurons in the input layer, 20 neurons in
the hidden layer and 3 neurons in the output layer after a number
of training iterations. Sigmoidal activation functions are used in the
hidden layer and linear activation functions are used in the output
layer. Fig. 3 shows a diagram of each member ANN developed for
fault diagnosis whilst Fig. 4 shows the ANN cluster. The diagram
in Fig. 3 shows the ANN, input, output and the PSO algorithm to
compute the number for each phase.
To train the ANN cluster, various fault conditions are simulated to obtain the zero-components of the stator current for each
combination of winding fault and operating condition selected
for training. The number of ANNs in the cluster should correspond, approximately, to the number of stator winding conditions
modeled and the number of machine operating conditions captured
during simulation runs. The input to each ANN, during training
for any combination of machine fault, is obtained by multiplying
each phase current by the corresponding turns-ratio of the phase.
The training method used is online training based on the Extended
ANN1
ANN2
ANN3
ANN4
ANN5
ANN6
ANN7
ANN8
ANN9
ANN Cluster
PSO
Cluster output
Y.D. Nyanteh et al. / Electric Power Systems Research 103 (2013) 201213
PI
ir* q
205
vr* q
PI
PWM
r
ir*
vr*
PMSM
PI
Encoder
i rd
abc
i abc
i rq
dq0
r
ANN
Cluster
Fault diagnosis
Fig. 5. Schematic of drive system incorporating the ANN fault diagnostic system.
(4)
(5)
(6)
206
Y.D. Nyanteh et al. / Electric Power Systems Research 103 (2013) 201213
start
Inialize parcles
and pbest
Inialize
gbest
Update parcles
with PSO
Calculate Fitness
for each parcle
Update
pbest
Do not update
gbest
Beer
than pbest
Do not
update pbest
Beer
than gbest
Update
pbest
Fig. 6. Flow chart of real time PSO method.
data required is easily obtained with sensors that come with most
standard drive systems.
PSO starts by randomly selecting feasible solutions in the solution space called particles. Each particle is then adjusted by (7) and
(8). In (7), Vi (k) is described as the velocity of particle i at time k, W(k)
is the inertia weight of the system at time k, gbest is the global best
particle location, pbesti is the personal best location of the particle
under consideration and rand(0.1) are randomly generated numbers that come from a normal distribution or uniform distribution.
Xi (k) is the particle i location at time k in (8). Extra implementation
issues with developing real time PSO is discussed in [35].
Vi (k + 1) = W (k)Vi (k) + rand(0, 1)(gbesti (k)) + rand(0, 1)(pbesti (k))
(7)
Xi (k + 1) = Xi (k) + Vi (k + 1)
(8)
The modied PSO algorithm to determine is shown schematically in Fig. 6. Each PSO particle is updated after each time step of the
diagnostic procedure. The actual PSO particle update is based on the
previous tness value compared to the present tness value. The
tness value that determines each particle, global best and personal
best updates is the sum of the squared deviations between the ANN
Y.D. Nyanteh et al. / Electric Power Systems Research 103 (2013) 201213
207
Y.D. Nyanteh et al. / Electric Power Systems Research 103 (2013) 201213
phaseA
Current(A)
phaseB
Current(A)
phaseC
Current(A)
208
20
0
-20
0
0.05
0.1
0.15
0.2
0.25
0.3
0.35
0.4
0.45
0.5
0.05
0.1
0.15
0.2
0.25
0.3
0.35
0.4
0.45
0.5
0.05
0.1
0.15
0.2
0.25
Time(s)
0.3
0.35
0.4
0.45
0.5
20
0
-20
20
0
-20
Fig. 9. Computer simulated three-phase current data with effective turns-ratio of 0.9.
Table 1
PMSM simulation parameters.
1.6
1.4
square deviation
1.2
1
0.8
PMSM parameters
Pole pairs
Stator per resistance (Rs )
Self inductance (L)
Friction coefcient
Moment of inertia
4
3.4
1.1 mH
0.001 Nm/(rad s)
0.006 kg m2
0.6
Table 2
Machine simulated conditions.
0.4
0.2
0
10
20
30
40
50
60
70
80
90
Training step
Fig. 10. Training evolution for computer simulated data for one ANN.
100
Speed (Hz)
100
80
60
40
20
Turns-ratio Phase A
Y.D. Nyanteh et al. / Electric Power Systems Research 103 (2013) 201213
1
PSO Performance
Error
0.8
0.6
0.4
0.2
Turns-ratio Phase B
10
20
30
40
50
60
70
80
90
100
1
PSO Performance
Error
0.8
0.6
0.4
0.2
0
Turns-ratio Phase C
209
10
20
30
40
50
60
70
80
90
100
1
PSO Performance
Error
0.8
0.6
0.4
0.2
0
10
20
30
40
50
60
70
80
90
100
Iteration Number
Fig. 11. Fault diagnosis for computer simulated data (no fault case).
Turns-ratio Phase C
Turns-ratio Phase B
Turns-ratio Phase A
number of turns for the no-fault case is 1 for each phase. Another
result of fault diagnosis using the proposed method is shown in
Fig. 12. Correct fault diagnosis showed that there was 10% short circuiting on the phase-A with no fault on the other two phases and
speed set at 100 Hz. PSO particles for all phases were initialized
using numbers generated from the random number distribution
between 0.5 and 1. Particles for the Phase B and Phase C assume
correct values of 1 (indicating no error) within the 5th iteration
of the PSO algorithm. By the 30th iteration of the real time PSO
1
0.8
PSO Performance
Error
0.6
0.4
0.2
0
10
20
30
40
50
60
70
80
90
100
1
PSO Performance
Error
0.8
0.6
0.4
0.2
0
10
20
30
40
50
60
70
80
90
100
1
PSO Performance
Error
0.8
0.6
0.4
0.2
0
10
20
30
40
50
60
Iteration Number
70
80
Fig. 12. Fault diagnosis for computer simulated data (10% shorted turns on phase A).
90
100
210
Y.D. Nyanteh et al. / Electric Power Systems Research 103 (2013) 201213
Turns ratio
Phase A
0.5
10
20
30
40
50
60
70
80
90
100
10
20
30
40
50
60
70
80
90
100
10
20
30
40
50
60
70
80
90
100
Turns ratio
Phase B
0.5
Turns ratio
Phase C
0.5
Iteration number
Fig. 13. Fault diagnosis for computer simulated data (25% shorted turns on phase A).
PhaseA
Current(A)
40
20
0
-20
-40
0
0.05
0.1
0.15
0.2
0.25
0.3
0.35
0.4
0.45
0.5
0.05
0.1
0.15
0.2
0.25
0.3
0.35
0.4
0.45
0.5
0.05
0.1
0.15
0.2
0.25
0.3
0.35
0.4
0.45
0.5
PhaseB
Current(A)
40
20
0
-20
-40
PhaseC
Current(A)
40
20
0
-20
-40
Time(s)
Fig. 14. Current data with effective turns-ratio of 0.95 from PMSM drive.
Y.D. Nyanteh et al. / Electric Power Systems Research 103 (2013) 201213
Table 3
Machine simulated conditions.
squared deviation
211
1.5
Speed (Hz)
10
20
30
40
50
0.5
10
20
30
40
50
60
70
80
90
100
Training step
Fig. 15. Training evolution for data obtained from actual PMSM drive with 50%
loading.
training result for the case of 50% loading on the PMSM experimental drive system described earlier. The actual input three-phase
current data used for the training is shown in Fig. 13. The training
data for the experimental fault diagnosis was made up of 10,000
data points and comprised the three phase current supply to the
PMSM and the corresponding effective turns-ratio. Fig. 13 shows
that when a short circuit is applied to the A-phase of the PMSM,
there is an instantaneous increase in the A-phase current magnitude from time 0.250.35 s. A rough estimation of the effective
turns-ratio of the PMSM during fault simulation gave a value of
0.95. The training based on experimental data was more difcult
and had a worse total squared-error deviation compared to data
from computer simulation. This was due to the fact that sensor
noise added to the current data increased the nonlinearities in
the mapping from the ANN input to the calculated zero-current
component.
During fault diagnosis based on the PMSM drive, the loading
conditions of the drive was changed for different speeds and the
Turns-ratio
PhaseA
0.95
0.55
10
20
30
40
50
60
70
80
90
100
10
20
30
40
50
60
70
80
90
100
10
20
30
40
50
60
70
80
90
100
Turns-ratio
PhaseB
0.5
Turns-ratio
PhaseC
0.5
Iteration number
Fig. 16. Fault diagnosis for 30% loading of the PMSM drive.
212
Y.D. Nyanteh et al. / Electric Power Systems Research 103 (2013) 201213
Turns-ratio
Phase A
0.5
10
20
30
40
50
60
70
80
90
100
10
20
30
40
50
60
70
80
90
100
10
20
30
40
50
60
70
80
90
100
Turns-ratio
Phase B
0.5
Turns-ratio
Phase C
0.5
Iteration number
Fig. 17. Fault diagnosis for 50% loading of the PMSM drive.
4. Concluding remarks
References
Acknowledgement
The authors acknowledge the support from the Ofce of Naval
Research, USA under Grant N00014-02-1-0623.
Y.D. Nyanteh et al. / Electric Power Systems Research 103 (2013) 201213
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