2008 International Conference on Condition Monitoring and Diagnosis, Beijing, China, April 21-24, 2008

The Application of Zoom FFT Technique to the

Extraction of Fault Character of Induction
Motor
Hongzhong Ma*, Qun Xu, Jingang Song, Jingdong Han
Hohai University, Nanjing, 210098, China

*E-mail : hhumhz@163.com

 rid of, or some new character components reflected the

Abstract-- Because the fault character signal frequency is
very close to fundamental wave frequency during the analysis
of induction motor rotor winding fault based on the frequency
of stator current, though in practical application, there is only
signal spectrum in very small frequency range need to be taken
into account, high resolution is demanded in the range,
therefore the traditional base-band FFT is difficult to analyze
the fault character component of induction motor rotor
winding effectively. In this paper, the application of zoom FFT
to identify the fault character signal of motor is discussed, the
faults directly are to be produced.
Today induction motor is the most flexible unit applied
to driving all kinds of mechanical and industrial apparatus.
The problem how to avoid disastrous accidents by
identifying the motor fault in operation, has been focused on
continuously [1-2].
Rotor winding fault is the most common fault of
induction motor. It is known that the rotor winding fault of
induction machine will result in an extra character current
fundamental principle of zoom FFT based on multiple component with the frequency of 1 r 2s  f1 [3-4], i.e.
modulations and its application method is analyzed. Simulation
calculation and practical engineering test have indicated that
zoom FFT technique based on multiple modulations can
identify the nice frequency structure of a certain band and
extract the character signal in stator current under induction
motor rotor winding fault effectively.
Index Terms-- Zoom FFT analysis, induction motor,
character frequency signal, fault diagnosis.
I. INTRODUCTION
A LL sorts of fault in apparatus always exhibit by some
signs, these fault signs are extracted from the relevant
parameters of apparatus which are collected by transducers
and processed by computers. Usually, these signals
especially the signals who reflect early faults are weak,
while the noise is strong,, and sometimes the noise may
even annihilate the early sign signals. Some signals from
transducers are considerable ulterior, so they need to be
handled and then the new parameters can be got to reflect
the faults of the apparatus. The extraction of fault character
component is the process that during which the signals
collected by the transducers are handled and the noise is got
This research project is supported by Teaching and Research Award
Program for Outstanding Young Teachers in Higher Education Institutions
of MOE, P.R.C.; National Natural Science Foundation of Hohai University.
978-1-4244-1622-6/08/$25.00 2007 IEEE
f 2 s 1 r 2 s  f1 (1)
Where
f1 Fundamental frequency;
s Slip ratio;
f 2s Frequency of character component in stator current
under rotor winding fault.
At present, the fault diagnosis method based on the
frequency f 2s is the most convenient method applied to the
diagnosis of induction motor rotor winding fault. But not
only the amplitude of fault character component in stator
current is little but also its frequency is very close to the
fundamental current frequency which amplitude is relatively
very large, for large-scale induction machine, the
phenomenon is especially obvious. Under normal load
condition, the slip ratio is very small (only few percents,
even less than one percent), therefore in stator current, the
frequency of stator fundamental current are very close to the
frequency of rotor fault current component, while under
light-load or no-load condition the difference between two
frequency is especially small. Furthermore, the so-called
fault diagnosis is mainly aimed at the motor under the
condition between normal state and light fault. The
amplitude of the fault character component in stator current
will be smaller under light fault. To large-scale motor
(having more rotor bars), the amplitude of fault character
component under one broken bar fault, is only about one
percent, furthermore the amplitude is affected by load
magnitude too, along with the reduction of load, the
amplitude of character current component will decrease too.
Thus it can be seen that without effective method of signal
process, the fault character component in stator current will
be difficult to identify, consequently the difficulty is
brought to the diagnosis of motor rotor winding fault. In
addition, there is always some noise current of different
frequency exists in stator current, and its amplitude maybe
equivalent to rotor winding fault character component, this
will make the method that applied stator steady current to
the diagnosis of rotor fault become more difficult. Much
research work on how to extract the effective signals from
the collected signals has been done by many special people,
but they mainly concentrated on the extraction of
fundamental fault character component in stator current, and
the problem has not been resolved effectively yet. Hence
this paper put forward that taking use of zoom FFT
technique to analyze in detail the character component in
motor stator current and consequently to diagnose the fault
of motor rotor winding.
II. FREQUENCY RESOLUTION AND ZOOM FFT
A. The Problem of Frequency Resolution
Spectrum analysis is the research on the character of
signals in frequency domain, such as the change rule of
amplitude, phase, energy and power along with the variation
of frequency [3]. General spectrum analysis method is
realized by DFT, so it is called base-band spectrum analysis.
Spectrum analysis method via computer is realized by FFT,
so it is called base-band FFT.
An important index about spectrum analysis is
frequency resolution 'f , i.e. the minimum identifiable
space between two frequencies in spectrum. As we know
that the relationship between frequency resolution 'f ,
sampling frequency f s , sampling period TS and the amount
of sampling point N as following :
fs 1 (2)
'f
N N Ts
In the analysis of stator current spectrum of this paper,
because of the small difference between f 2s and f1 , so the
frequency resolution as high as possible is expected, i.e.
'f should as small as possible. As shown in (2), there are
kinds of intelligent system whose calculation function is
limited to carry out FFT calculation, the problem is quite
prominent. The increase of calculation points not only
affects operation speed but also demand larger internal
storage capacity, sometimes the demand even cannot be met.
Therefore the effect of the means is extremely limited.
Meanwhile, when the point of FFT does not change, the
location of frequency point of base-band analysis does not
change too, the flexibility of spectrum analysis is bad.
As the base-band FFT has difficulty to increase
frequency resolution, so the concept about zoom FFT is
presented. Its fundamental idea is to magnify the certain
band of signal spectrum locally, i.e. to increase spectral
density locally round a certain frequency that is the analysis
of choosing band.
B. ZFFT Algorithm
ZFFT is the zoom FFT analysis method of multiple
modulations, it is one of the most widely used zoom FFT
method. It can analyze the spectrum structure in any
narrowband on frequency axis by the appointed enough
high frequency. ZFFT is very suitable for those demanding
wide band, high resolution and few transform point case.
ZEFT algorithm takes use of the nature of frequency
shift, to shift the frequency in high band to origin of
frequency axis, then to reduce the sampling frequency and
resample, so the higher frequency resolution can be
achieved. ZFFT algorithm is concise and realized
conveniently, but there still exists some problems: (1) after
shift and modulation to the time-domain signal, in order to
avoid frequency superposition, the digital filtering is needed
usually. FIR (limited impulse response) is often used. As the
truncation effect of finite order filter, the spectrum around
barrier frequency produces local distortion; (2) the higher
refining multiple is, the higher choice sampling ratio of re-
sampling and the more narrow bandwidth needs to be
refined will be. If the bandwidth needs to be refined is big,
multiple refining is must be done. This will certainly add the
amount of calculation; (3) the higher refining is, the more
time-domain sampling point is needed, and this is
unpractical in some circumstances.
During the motor fault diagnosis based on the character
frequency in stator current, since the slip ratio of large-scale
and middle-scale motor is usually less than 5%, when
s 0.05 , then according to (1) the character signal
two approaches in improving the frequency resolution of
base-band analysis: (1) to reduce the sampling frequency; (2)
to increase the sampling point N (i.e. the intercepted length
of sequence). The former reduces the analysis range of
frequency and cannot raise up frequency resolution of high
frequency band (of cause, if the signals in high frequency
band do not need, the filter may be taken into account to
filter the high frequency component, and then the proper
low sampling frequency is taken); the latter must increase
the length of data window, now along with the application
of computer, this is no longer a chief problem. But while
on-line monitoring and diagnosis system taking use of all
frequency: f 2 s 1 r 2 u 0.05  u 50 45Hz and 55Hz.
That is to say the frequency range to be mainly concerned
about is between 45Hz and 50Hz and 55Hz. Thus the zoom
FFT technique is very suitable for analysis.
III. ZOOM FFT TECHNIQUE BASED ON MULTIPLE
MODULATIONS
A. Basic principle
While carrying out spectrum analysis of stator current in
this system, it is not the whole spectrum but the small range
of basic frequency that to be concerned about, that is to say resolution is enhanced D times while reducing sampling
higher frequency resolution in the small range around basic frequency and keeping original sampling point, namely the
frequency is expected. The zoom FFT technique is a kind of
fast Fourier transform technique of frequency band
expansion , and it is called ZFFT too, or local spectrum
enlargement. It is able to make some local interesting
frequency get higher frequency resolution just like zoom
lens zooming local image of the whole picture, this function
just meets the systems requirements. There are lots of
methods of zoom FFT, this paper mainly discusses on the
detailed method based on multiple modulations [7, 8].
The method based on multiple modulations mainly
contains digital frequency shift, digital low-pass filtering,
re-sampling, FFT transforming and weighted correction and
so on, just as shown in Fig. 1. Firstly, the frequency
multiple of refining is D. So a new discrete signal xr  n  will
be got via re-sampling, then to apply complex FFT
computation to the signal, the spectral line after refining will
be received, its central frequency is f 0 and bandwidth is B.
Calculation example: supposing the bandwidth of
original signal is 1kHz,, the highest effective frequency
among the signal is 1kHz, sampling frequency is at least
2kHz, supposing the sampling point is N=1024, then
frequency resolution is :
fs 2000
'f | 2Hz (Sampling period is Ts 1 f s 0.5ms )
N 1024
Now shifting the origin of frequency coordinates to
components over f s of the continuous signal x  t  are 40Hz, that is to say in new coordinates, the point of 40Hz is
2 0Hz, in original coordinates, the signal in the range from
eliminated via anti-superposing low-pass filter, then via 40Hz to 60Hz need to be analyzed, and in new coordinates,
A/D converter, to sample with the frequency f s , then to get the range is from 0 to 20Hz, to reduce the sampling
frequency to 1/D of the original. For example, supposing D
the discrete data signal x0  n  including N points. Supposing
is 10, f s' f s D 2000 / 10 200Hz , the point of sampling
the central frequency of the local band demanded to enlarge remains 1024, then after FFT, 1024/2=512 spectral lines
is f 0 and frequency bandwidth is B, the second step is to will be got. Then the resolution is:
carry multiple modulations on signal x0  n  , which is f s' 200
'f | 0.2 Hz
multiplying digital signal x0  n  with e
2Sf 0 / f S n
: N 1024
While reducing the sampling frequency to 1/D of the
x n x0  n  e  j 2S f 0 f s n
original, then resolution is enhanced to D times of the
(3)
x0  n  cos  2S f 0 f s n   jx0  n  sin  2S f 0 f s n  original, and the D is refining multiple. In order to avoid the
frequency superposition, before re-sampling, low-pass
filtering should be taken, its bandwidth is:
f s 2 2000
B 100Hz
D 2 u 10
B. Simulation Calculation
Supposing the measured signal is:
Fig.2. The principle figure of zoom FFT based on multiple modulations
According to frequency shift nature of discrete Fourier
y A1 sin 2S f 1 t   A2 sin 2S f 2 t 
Given A1=1, f1=50Hz, A2=0.01, f2=48Hz, the original
sampling frequency is f s 1000 Hz , the calculation point is
1024. The zoom FFT method which based on multiple
modulations is adopted, the figures of spectrum before
transform, the discrete spectrum of x  n  is: refining (i.e. do not have refining processing), after fourfold
refining, after eightfold refining (local magnification figure)
X k  X 0 k  L0  (4)
are shown in turn in Fig .2(a), the ordinates in the figure is a
Where, L0 f 0 'f represents the order number of normalization coordinates. In order to increase the
spectral line when the frequency is f0, X  k  is the spectrum resolution of small amplitude signal, it is processed by
window (with P301 window). As shown from the
after frequency shift, X 0  k  is the spectrum before
frequency shift.
Filtering all frequency components of the signal after
frequency shift except for a narrowband B around f0 via
low-pass filter, if the bandwidth is less than 1 D of
sampling frequency after frequency shift, then the sampling
frequency may be reduced to 1 D of the original, and the
superposition unlikely to be produced, then to take new
sampling frequency f x' f s D and resample. Frequency
comparison, zoom FFT increases the resolution of spectrum,
but for the special signal discussed in this paper, the
combined application of zoom FFT and window function
can achieve perfect results.
There is still a problem need to pay attention to in Fig 2,
while without window, as the leaking of basic frequency
before refining, the component with the frequency of f2 is
completely annihilated, and after eightfold refining, the f2
component can be seen, but its amplitude is blocked up
by the leaking energy of the basic frequency, so this
amplitude can not apply to quantitative analysis, its error is
great, in addition, the amplitude character of rectangular
window is the worst of all the common window. In fact, the
amplitude of f2 component is only 0.01.
(a)
(b)
Fig. 2. The comparison of spectrum before and after frequency refining
(simulation data). (a) without window, (b) with P301 window
IV. THE APPLICATION OF ZOOM FFT TECHNOLOGY
IN THE MOTOR FAULT DIAGNOSIS
From the above analysis, the amplitude of character
frequency component in stator current under motor rotor
winding fault is small, the frequency is very close to
fundamental frequency of stator current, for large-scale
motor, slip ratio is very small and the difference between
the two frequencies is smaller. For example, when slip ratio
s=0.01, f 2s 49Hz , when using traditional method to
analyze spectrum, the character signal which amplitude is
small is easily to be annihilated by the basic frequency
signal which amplitude is large.
Using zoom FFT method which based on multiple
modulations to analyze the spectrum of stator current actual
measured from the two broken bars motor in the lab. The
sampling frequency is 1000Hz, the spectrum before refining,
the spectrum after fourfold refining and eightfold refining
are shown in Fig .3. In order to increase the resolution of
small amplitude signal, as shown in Fig .3(b), it is processed
with P301window as same as the Fig. 2(b).
After analyzing Fig .3, it can be seen clearly that (1)
while without zoom FFT processing, the character signal is
completely annihilated by the basic frequency signal, fault
diagnosis can not be carried out by using this fault character
signal; (2) comparing the results of eightfold refining and
fourfold refining, it can be seen that not only the frequency
resolution, but also the amplitude accuracy is increased.
In addition, using appropriate window function can
effectively restrain basic frequency leaking, and increase the
frequency resolution.

(a)
(b)
Fig. 3. The comparison of spectrum before and after frequency refining
(measured data). (a) without window; (b)with P301 window
V. CONCLUSION
This paper has discussed how to apply the zoom FFT to
extract the character signal under induction motor rotor
winding fault. And it offers a kind of new idea and method
that can be used to extract weak signal in a strong disturbing
environment which maintains much similar frequency.
When the traditional FFT is used to analyze the
spectrum of continuous signal, because of the leak effect,
fence effect and other effects, the resolution is not as well as
we expect, and it is very difficult to take use of general
base-band FFT to improve the frequency resolution
effectively.
 For the fault character component of induction motor
rotor winding, since the range of frequency which need to
be considered is very narrow, (the range is 506Hz, large-
scale motor is less), but higher frequency resolution is
needed, so zoom FFT technique is especially suitable for
analysis. It can improve the frequency resolution in limited
sampling points, and then it can efficaciously extract the
fault character signal. Thereby it can be used to diagnose the
fault of induction rotor winding. Certainly if it can be
combined with other methods, such as adding window, self
adapting filtration and so on, it will achieve a more
efficacious result.
VI. ACKNOWLEDGMENT
This research project is supported by National Natural
Science Foundation of China (50477010) and China
Education Ministrys Foundation Program for Excellent
Young Teachers in Universities.
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