Application of High-Resolution Spectral Analysis For Identifying Faults in Induction Motors by Means of Sound
Application of High-Resolution Spectral Analysis For Identifying Faults in Induction Motors by Means of Sound
Application of High-Resolution Spectral Analysis For Identifying Faults in Induction Motors by Means of Sound
Abstract
Induction motors are critical components for most industries. Induction motor failures may yield an unexpected inter-
ruption at the industry plant. Several conventional vibration and current analysis techniques exist by which certain faults
in rotating machinery can be identified. Ever since the first motor was built, plant personnel have listened to the noises
emanating from machines; with enough experience, a listener may make a fairly accurate estimate of the condition of a
machine. Although there are several works that deal with vibration and current analysis for monitoring and detection of
faults in induction motors, the analysis of sound signals has not been sufficiently explored as an alternative non-invasive
monitoring technique. The contribution of this investigation is the development of a condition monitoring strategy than
can make a reliable assessment of the presence of specific fault condition in an induction motor with a single fault present
through the analysis of a sound signal. The proposed methodology is based on the multiple-signal classification algorithm
for high-resolution spectral analysis. Results show that the proposed methodology of sound analysis could improve
standard techniques for induction motor fault detection, enhancing detectability.
Keywords
Fault detection, induction motor, sound, spectral analysis, vibration
Received: 15 October 2010; accepted: 27 July 2011
Electrical problems include broken rotor bars and Sadeghian et al. (2009) present an algorithm for
winding insulation breakdown. Typically, accelerome- online detection of rotor bar breakage through the
ters are used to measure mechanical vibrations for the use of wavelets and neural networks. Chen and
detection of mechanical faults, and current probes are Zivanovic (2010) make the estimation of frequency
used to monitor electrically related problems before components in a stator current for the detection of
catastrophic failures in a component occur. Almost broken rotor bars in induction machines. Zarei and
40% to 50% of all failures are bearing related, Poshtan (2009) present a bearing fault detection using
around 5% to 10% are rotor faults, and unbalance a wavelet packet transform of the induction motor
faults are within the 12% of other faults. Vibration stator current. Teotrakool at al. (2009) present the
and current analysis have long been used for the detec- application of motor current signature analysis using
tion and identification of machine fault conditions. The wavelet packet decomposition to detect bearing faults.
specific characteristics of the vibration and current Eren and Devaney (2004) present a method for detect-
spectra that are associated with common fault condi- ing a motor bearing fault using wavelets. Kau and
tions are well known. For instance, the ball pass outer Ngan (2010) present the detection of a motor bearing
raceway frequency (fBPOF) is the spectral component of outer raceway defect using wavelets. Pineda-Sanchez
the ball pass outer raceway, reflecting bearing defects; et al. (2010) presents a diagnosis of broken rotor bars
the peak at the rotational frequency in the vibration using the fractional Fourier domain. However, other
spectrum, indicating the degree of unbalance; and the techniques are focused in current and vibration analy-
slip frequency sidebands around the fundamental fre- sis; for example, Rangel-Magdaleno et al. (2009) pre-
quency, indicating broken rotor bars.The presence of sent a methodology for on-line half broken rotor bars,
these deteriorating fault conditions determines when a which combines current and vibrations analysis by cor-
machine should be taken out of operation. relating the signal spectra. Kar and Mohanty (2008)
Many different techniques have been proposed for present an experimental investigation of fault diagnosis
the surveillance and diagnosis of the rotating machin- in a multistage gearbox under transient loads using
ery in the literature, some of them are focused in vibra- vibration and current signals. Bellini et al. (2006) pre-
tion analysis; for example, Contreras-Medina et al. sent a multi-variable monitoring system for on-line
(2010) present an FPGA-based multiple channel vibra- monitoring of induction motors using vibrations, cur-
tion analyzer for detection of broken rotor bars, unbal- rent and stray flux signals. Hao and Chu (2009) present
ance and looseness. Garcia-Perez et al. (2011) make the a scheme with morphological undecimated wavelet
detection of broken rotor bars, unbalance and bearing decomposition, where the noise produced from a roll-
faults using high frequency resolution using the multi- ing element bearing defect is analyzed for fault diagnos-
ple-signal classification (MUSIC) algorithm. Rangel- tics. Wang and Chang (2005) present an application of
Magdaleno et al. (2010) present a vibration analyzer the MUSIC algorithm applied to the identification of
for continuous CNC machinery monitoring with the number and localization of acoustic sources.
fused fast Fourier transform-discrete wavelet transform Sarradj (2010) presents an application of the MUSIC
(FFT-DWT). Patel and Darpe (2009) present a vibra- algorithm applied to phased microphone array for cor-
tion signature analysis of rotor with rotor-stator rub, rect quantitative estimation of acoustic source spectra.
transverse fatigue crack and unbalance. Babu and Nagata et al. (2009) present an application of MUSIC
Sekhar (2008) make the detection of two cracks in a applied to the problem of direction-of-arrival estima-
rotor-bearing system using amplitude deviation curve tion both azimuthal and elevation form binaural sound.
technique. Jun and Gadala (2008) present the analysis Ever since the first motor was built, plant personnel
of dynamic behavior of a cracked rotor. Yan and Gao have listened to the noises emanating from machines;
(2009) present a filter construction technique for with enough experience, a listener may make a fairly
enhanced defect identification in rotary machine sys- accurate estimate of the condition of a machine. At
tems. Jalan and Mohanty (2009) present a model best, this is merely a qualitative analysis; at worst it
based technique for fault diagnosis of rotor-bearing may give an entirely wrong assessment. Meanwhile,
systems for misalignment and unbalance. Liu et al. very few works deal with sound signals for the diagno-
(2010) present a diagnostic scheme for bearing fault sis and identification of faults on induction motor sys-
diagnostics using neurofuzzy classifier. Yan and Gao tems. Wu and Liao (2010) present a neural network
(2010) present an energy based approach to detect bear- system for automotive air-conditioner blower fault
ing defects in rotary machines. Other techniques are diagnosis using noise emission signal. Tinta et al.
focused in current analysis; for example, Ordaz- (2005) present a technique that provide reliable esti-
Moreno et al. (2008) present the detection of broken mate of fault diagnosis of vacuum cleaner motors.
rotor bars on induction motors based on the DWT Wang et al. (2005) present a numerical simulation for
application during the start-up current transient. predicting the sound power from an inverter-driven
induction motor. The analysis of machine noise begins barely visible. If a motor is out of balance or misa-
with an understanding of the possible causes of the ligned, the signature of unbalance is a vibration
noise. In an induction motor, these include: slot har- signal, which normally has the form of an increased
monics, supply harmonics, rotor unbalance, winding amplitude along the rotating frequency and its har-
asymmetry and the bearings. Some of these are inherent monics (Bloch, 1999). Vibration analysis can provide
in the design of the machine and hence should remain a quick and relatively easy way to extract information
constant over its lifetime (slot harmonics, winding that may relate the unbalance fault in an induction
asymmetry). Some develop over time, and may lead motor.
ultimately to machine failure (bearing, unbalance,
broken rotor bars). Others are due to external circum-
stances (supply harmonics). All of these add to the
2.2. Bearings
sound emitted by a machine, resulting in a very com- McFadden and Smith (1985) give a review of the causes
plex audio signal. This work investigates a method that and expected frequencies of vibration due to rolling
may be used to measure and analyze the sound of an element bearings. From the geometry of the bearing,
induction machine, where the feasibility of distinguish- various theoretical frequencies can be calculated such
ing between broken rotor bars, bearing and unbalance as the inner and outer race element pass frequencies,
defects are the objectives of this investigation. cage rotational frequency and rolling element spin fre-
The contribution of this investigation is the study quency. A defect on the outer race will cause an impulse
for developing a condition monitoring strategy than each time a rolling element contacts the defect. The
can make a reliable assessment of the presence of a rotor speed (fr) is the frequency at which the inner race-
specific fault condition in an induction motor with a way rotates, that must be the frequency of the shaft.
single fault present through the analysis of a sound The theoretical vibration frequency of the ball pass
signal. Combined with vibration analysis, it is outer raceway frequency (fBPOF) is easily determined as:
believed that a more accurate diagnostic system
can be designed. Yet, the sound signal analysis by NB Db
fBPOF ¼ fr 1 cos ð1Þ
itself has shown excellent results in the identification 2 Dc
of bearing, unbalance and broken rotor bar faults in
an induction motor. where is the contact angle between the bearing sur-
The proposed method uses a high-resolution spectral face, Dc is the cage diameter of the bearing and is mea-
analysis based on the MUSIC algorithm, which is sured from a ball center to the opposite ball center, Db
applied to the sound signal produced by an induction is the ball diameter and NB is the number of balls in the
motor for identification of the frequency related fault. bearing.
In this research, three different faults in an induction
motor such as broken rotor bars, unbalance, and bear-
ings are investigated in an experimental way. Also, the
2.3. Broken rotor bars
MUSIC algorithm is applied to the vibrations signals
for validating results, obtained from the sound analysis. An induction motor operating with a broken rotor bar
Results show the potentiality of the methodology as a defect creates a negative sequence of rotor current due
deterministic detection technique that is suited for the to rotor asymmetry. It induces a principal component
detection of broken rotor bars, bearing and unbalance in the spectrum of stator current, which rises up to the
faults in induction motors. frequency (1–2s)fs and it is close to the fundamental
frequency. Due to reflection, the rotor asymmetry fre-
quencies are 2ksfs , where k ¼ 1,2,3,. . . is any positive
integer and the s is the slip. The slip frequency (fslip) is
2. Fault-related components
the difference between synchronous speed and rotor
Three different induction motor faults are considered in speed. Thus, in the case of broken rotor bars, there is
the paper: unbalance, bearing and broken rotor bars. a speed oscillation, which acts as a frequency modula-
tion on rotation frequency and two side band frequen-
cies appear around fr in vibration spectrum (Sadoughi
2.1. Unbalance et al., 2006) and is given by
The number of poles determines the speed of an induc-
tion motor and the speed of the motor can be identified fBRB ¼ fr 2ksfS ð2Þ
by a peak in the spectrum and then monitored at
changes in amplitude. A properly balanced and aligned where fBRB are the sideband frequencies associated with
motor has a frequency peak related to its speed that is the broken rotor bar.
X
P
iðtÞ ¼ Ik ej ð2fk tþk Þ þ in ðtÞ ð3Þ where j and gj are the eigenvalues and eigenvectors of
k¼1 the matrix RiS , respectively. The sum of the cross prod-
ucts of the eigenvectors forms the identity matrix, and it
is possible to rewrite the autocorrelation matrix of the
where Ik , fk , and k are the amplitude, the frequency noise Rin as stated in (9).
and the phase of the k-th sound or vibration space
vector, respectively, and in ðtÞ is white noise. An X
N
N-sample vector i ¼ ½iðmÞ, iðm þ 1Þ, . . . , iðm þ N 1Þ Rin ¼ n2 I ¼ n2 gk gH
k ð9Þ
k¼1
of the noisy signal, sampled at frequency fs, can be
written as:
From (8) and (9), it is possible to rewrite the auto-
correlation matrix of the noisy signal as:
i ¼ iS þ in ¼ Sa þ in ð4Þ
X
P X
N
2
where the signal vector iS ¼ Sa is defined as: Ri ¼ k gk gH
k þ n gk gH
k
k¼1 k¼1
2 3 ð10Þ
ej2F1 m e j2F2 m e j2FP m X
P X
N
4. Experimental setup Figure 1. (a) Test bench used during the experiment. (b) Block
diagram of the proposed multiple fault diagnosis system for
A sound signal is captured in order to identify the
induction motors.
dynamic characteristics of the induction motor; and,
simultaneously, vibration signals are also acquired in
order to verify the obtained results. Forty tests were the signal corresponding to the x axis (AX). The
made for sound and vibration on each condition in audio signal is amplified utilizing a power amp
order to validate the proposed methodology. Figure 1 Marshall model MG15CDR. A 12-bit 4-channel
shows the experiment setup where different three-phase serial-output analog to digital converter (ADC)
induction motors (model WEG 00136APE48T, 740 (ADS7841) is used for data acquisition of audio and
Watts) are used to test the performance of the proposed vibrations. The instrumentation system uses a sampling
methodology identifying the fault conditions treated in frequency of 4 kHz for obtaining 32768 samples of
this work. The tested motors have two poles, 28 bars audio whereas 4096 samples are obtained at a sampling
and receive a power supply of 220 VAC at 60 Hz, and rate of 1500 Hz from vibrations signals during the
the applied mechanical load is that of an ordinary alter- induction motor steady state. Figure 1(b) shows the
nator. The audio signal is acquired using a condenser proposed multiple fault diagnosis system for induction
microphone JST model CX-509, which has a cardioid motor monitoring utilizing audio signals.
polarization pattern. The microphone was placed in a Three different fault conditions are treated in this
convenient position where the motor vibration did not work:
have any influence in the microphone. However, for
different microphone positions; the obtained results
show some degree of variation. On the other hand,
4.1. Broken rotor fault
the vibration signal is acquired using a MEMS-based The broken bar condition is produced artificially by
triaxial accelerometer (model LIS3L02AS4) from drilling two holes with 7.938 mm of diameter without
STMicroelectronics placed as shown in Figure 1(a). harming the rotor shaft. Figure 2(a) shows the utilized
From the three acceleration axes (x, y and z) of the rotor with two broken rotor bars. The motor is running
vibration signal, the best results were obtained with at 3,465 RPM in a 60 Hz system; the tested induction
Figure 2. Artificially generated faults (a) Two broken bar, (b) Outer race damaged bearing, (c) Unbalanced pulley.
motor has a rotor frequency fr ¼ 57.75 Hz. Thus, the bearing defect and unbalance) is present in the induc-
slip s is 0.0356 and the sideband frequencies associated tion motor. In order to verify the validity of the sound
with the broken rotor bar are calculated by using equa- analysis, it is compared against the analysis of the
tion (2) (Sadoughi et al., 2006), resulting in 53.5 Hz vibration signals for the studied single faults. The anal-
and 62.1 Hz. ysis of sound and vibration signals is implemented in
the Matlab Digital Signal Processing Toolbox. The
MUSIC algorithm has an order of 14.
4.2. Bearing fault
To carry out the faulty bearing test, the bearing is arti-
5.1. Analysis of broken rotor bar fault
ficially damaged by drilling two holes with 1.191 mm of
diameter on its outer race using a tungsten drill bit. The broken rotor bar fault is first, identified in vibra-
Figure 2(b) shows the artificially damaged bearing tion signal with the presence of 53.5 Hz and
6203-2ZNR used in this work. The vibration character- 62.1 Hz frequency components in the spectrum as
istic defect frequency of the rolling element bearing described in section 4. Figure 3 shows the power-spec-
outer race is calculated by using equation (1) (Nagata tral-density obtained with the MUSIC algorithm,
et al., 2009). The tested induction motor has a rotor where the observed frequencies are very close to the
frequency fr ¼ 57.75 Hz and a test bearing having eight analytical frequencies for the case of two broken
balls of diameter 6.5 mm and the cage diameter of the rotor bars fault.
bearing of 28 mm with contact angle b ¼ 0, thus, the The broken rotor bar fault is also clearly identified in
ball pass outer raceway frequency defect (fBPOF) is the sound signal with the presence of twelfth-order har-
found to be 177.7 Hz. monics of the side band frequencies (fBRB), that are
located at 688 Hz and 694 Hz in the spectrum obtained
with MUSIC algorithm, as shown in Figure 4.
4.3. Unbalance fault
The unbalance condition is present when the induction
5.2. Analysis of bearing fault
motor mechanical load is not uniformly distributed,
taking the center of mass out of the motor shaft. The detection of a bearing defect is first identified in
Figure 2(c) shows a pulley with an added mass used vibrations signal where the ball pass outer raceway fre-
for generating unbalance on the induction motor. The quency defect is found (fBPOF ¼ 177.7 Hz) as described
signature of unbalance in a vibration signal normally in section 4. Figure 5 shows the power-spectral-density
has the form of an increased amplitude along the rotor obtained with the MUSIC algorithm, where the identi-
frequency, being located in this case at 57.75 Hz. fication of the bearing fault is clearly detected.
The bearing fault is also clearly identified in the
sound signal with the presence of the third-order har-
5. Experiment results
monic of the ball pass outer raceway frequency (fBPOF)
The proposed sound analysis has been applied to sev- at 533 Hz in the spectrum obtained with the MUSIC
eral cases in which a single fault (broken rotor bar, algorithm, as shown in Figure 6.
Figure 3. Analysis regions of vibration signal for (a) a healthy Figure 5. Analysis regions of vibration signal for (a) a healthy
motor and (b) a motor with two broken rotor bars. motor and (b) a motor with bearing defect.
6. Conclusion
This paper proposes the identification of induction
motor faults by the application of the MUSIC algo-
rithm to sound signals. It has been shown that the
power-spectral-density of sound signals for broken
rotor bars, bearing, and unbalance faults exhibit har-
monic frequencies, related to the different vibrations
faults in an induction motor. The validation of the pro-
posed technique is done through the comparison
against the analysis of vibration signal, an already
accepted methodology for induction motor fault mon-
itoring and detection. Thus, standard techniques for
induction motor fault detection can be improved with
the proposed methodology of sound analysis, enhanc-
ing detectability and also benefit from the non-invasive
nature of the sound monitoring. However, for greater
development, there is still the necessity of making fur-
ther investigations to find the best microphone position,
or to use several microphones placed in different posi-
Figure 8. Analysis regions of sound signal for (a) a healthy tions and with special algorithms for noise cancellation
motor and (b) a motor with unbalance fault. to consider as an option for future investigations.
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