Diagnosis of Bearing Faults in Induction Motors By

Vibration Signals Comparison of Multiple Signal

Processing Approaches
Mrio J. M. Gonalves1 Renato C. Creppe2 Emanuel G. Marques1 Srgio M. A. Cruz1
1 2
Department of Electrical and Computer Engineering Department of Electrical Engineering
University of Coimbra / Instituto de Telecomunicaes Univ. Estadual Paulista UNESP, School of
Coimbra, Portugal Engineering
mariojmgoncalves@gmail.com, egmarques@co.it.pt, Bauru, Brazil
smacruz@deec.uc.pt creppe@feb.unesp.br

AbstractEarly detection of faults in the bearings of electric environmental conditions can cause minor problems that
motors is vital to reduce maintenance costs of industrial motors. progress and can damage the inner race, outer race and rolling
Vibration signal analysis is a well-known and widely used elements (balls or rollers and cage) as showed in Fig. 1.
diagnostic approach for bearing fault identification, and usually Thereby, bearing failures are not sudden events. Generally,
leads to good results in terms of effectiveness and detection
capability. However, small defects, at an early stage of
they are progressive with time and cause an increase of the
development, can be hard to find and require advanced signal motor vibration and may lead to an unscheduled stop or motor
processing techniques to facilitate the extraction of the fault breakdown. That is why bearing condition monitoring is an
characteristic frequencies from the noisy vibration signals. This important method to improve the machine reliability [6].
work compares three different techniques applied to vibration
signals to facilitate the extraction of the fault frequency
components, namely the Teager-Kaiser operator, discrete wavelet
transform and the Hilbert transform.
A test bench was built and several types of defects were
introduced in the motor bearings to compare vibration signals
obtained with a healthy and a faulty motor. Comparative graphs
of the results obtained with the three techniques are presented
and the results are discussed.
KeywordsBearing faults, diagnostics, discrete wavelets,
Hilbert transform, Teager-Kaiser Operator, induction motor.

Fig. 1. Bearing components and main dimensions [4].

I. INTRODUCTION
Large induction motors require continuous monitoring to
avoid unplanned interruptions due to its high cost and
complexity of maintenance or replacement. On the other hand,
there are many small induction motors driving critical loads
that cannot stop and also require continuous monitoring.
The main types of electric motor faults are commonly
categorized as mechanical faults and electrical faults. The
category of mechanical faults includes bearing faults, air-gap
eccentricity, bent shafts and gearbox failures, among others
[1-3],[4].
Bearing faults are the most common failure mode in
electric motors. As demonstrated in IEEE and EPRI reports,
about 40-45% of failures in large industrial induction motors
are caused by defective bearings [5].
Most industrial electric motors operate under efforts and
stress conditions and are subject to fatigue, local vibration,
overloading, contamination, misalignment, current distortion,
corrosive environment and poor lubrication. These
The Unesp researcher participation was possible through the financial support
of CNPq / Brazil under project 249693/2013-5.
To monitor the condition of bearings, various types of
signals and methods can be used, such as vibration, stator
current, temperature, chemical analysis, laser monitoring,
acoustic emission, and sound pressure. Each monitoring
method has advantages and disadvantages that must be
considered in the choice of an appropriate condition
monitoring system [7]. Among the various methods available,
vibration is one of the most traditional, viable and economic,
as it allows the detection of failures at early stages [8].
This paper discusses the use of three different signal
processing techniques, namely the Teager-Kaiser (TK) energy
operator, the discrete wavelet transform (DWT) and the
Hilbert transform (HT) for the condition monitoring of motor
bearings.
II. BEARING FAULTS FREQUENCIES
Bearing faults can be categorized into distributed and
localized defects [9]. Distributed defects affect a whole region
and are difficult to characterize by distinct frequencies. On

978-1-4673-7554-2/15/$31.00 2015 IEEE 488

other hand, single-point defects are localized and can produce
specific mechanical vibration frequencies related to each of
their parts [10]. These frequencies are a function of motor
speed (fr) and bearing dimensions as ball diameter (BD), pitch
diameter (PD) and contact angle of balls with rings (). The
frequencies for defects in the outer (fo) and inner races (fi) are
given by [11]:
N BD
fo f r 1 cos (1)
2 PD
N BD
fi f r 1 cos , (2)
2 PD
where N is the number of balls or rollers.
In the previous expressions, it is clear that the vibration
frequencies are a function of motor speed and for real bearings
the rolling elements slide in addition to their rotation. Some
papers take into account the slide of the rolling elements by
using a sliding factor which is typically between 0.8-1.0 [12].
Also the contact angle is very small and can usually be
approximated to zero [13].
Equations (1) and (2) have the disadvantage of requiring
bearing information that may not be available, so for bearings
with a number of rolling elements between 6 and 12, with
periodic faults, the frequency values for outer and inner ring
faults can be approximated by [14]:
f o 0.4 Nf r (3)
f i 0.6 Nf r . (4)
Equations (3) and (4) allow the definition of frequency
bands in which it is most likely to detect the fault frequencies
without the knowledge of the exact characteristics of bearings
[15]. There are also other frequencies (fsb) that show inner race
faults [4]. These frequencies are given by
f sb fi mf r , m 0, 1, 2,... (5)
III. SIGNAL PROCESSING AND DENOISING
The vibration signals produced by transducers used in
industrial motors (e.g. accelerometers) are dominated by high
amount of noise and additional vibration signals associated
with friction and other local sources [16]. Many methods have
been proposed in the literature [17-20] for bearing fault
diagnostics, in which the analysis is performed in time,
frequency, or timefrequency domains. In the time-domain
analysis, it is very difficult to create indicators for bearing
faults in their early stages because they may vary with load
profile or application. Frequency-domain methods are the
most common techniques used for bearing fault diagnostics
[6], and the bearing condition is assessed by examining the
fault-related characteristic frequency components in a
spectrum. FFT analysis is a common signal analysis tool for
bearing fault detection. However FFT is a method for periodic
or stationary signals while the bearing vibration signals are
non-stationary and represent nonlinear processes, and their
frequency components change with time. Therefore, Fourier
transform can sometimes lead to incorrect results in the
diagnosis of bearing faults [21].
Having these limitations in mind, more advanced signal
processing techniques can be used for the analysis of vibration
signals.
A. Discrete Wavelet Transform
The DWT is not a simple discrete version of the
continuous wavelet transform (CWT). DWT uses discrete
filter blocks to compute the coefficients of a wavelet [22].
DWT uses a function known as mother wavelet to window the
signal. The signal decomposition is possible by both filtering
and downsampling. Discrete wavelet transformation is given
by [23]:
DWT( m, n ) a0 m / 2 f (t )Y (a0 m t nb0 )dt , (6)
where Y is the mother wavelet.
Fig. 2 shows a wavelet transform for denoising a signal X
with two-channel reconstruction. First, the signal is filtered
(lowpass filter G0 and highpass filter G1), and then
downsampled by a factor of 2. After the processing module,
the signals are upsampled and filtered again (lowpass filter H0
and highpass filter H1) to compose the new signal [24].
G1(z) 2 2 H1(z)
New
Signal Processing + Signal
G0(z) 2 2 H0(z)
Fig. 2. Discrete wavelet transform for denoising [24].
In this paper, the DWT will be used for denoising [25] the
vibration signals using a Daubechies family wavelet [26].
Daubechies 4 wavelet was chosen, with 4 coefficients and
order 3, in the implementation.
B. Hilbert Transform
The HT is a well-known signal analysis method, used in
fault identification of induction motors. Hilbert transform is an
envelope analysis method, which can be used to extract
modulating components. Hence envelope analysis can be
applied for the early detection of a machine fault [27]. The
Hilbert transform of a function x(t) is defined as:
1 x( )
h(t ) H x(t ) d . (7)
t
Using Fourier identities, it is possible to show that the
Fourier transform of the Hilbert transform of x(t) is:
h(t ) H f j sgn( f ) X ( f ) , (8)
where x(t ) X ( f ) is a Fourier transform pair.
C. Teager-Kaiser Operator
The Teager-Kaiser operator is a method used for analysis
of speech signals and recently also used to diagnose bearing
489
faults. The TK operator has great advantages over previous
methods since its computational needs are very low and it is
very easy to implement [28, 29].
The TK operator applied to a x(t ) function is defined as
[30]:
x (t ) x 2 (t ) x (t )
x (t ) , (9)
2
where x dx dt and x d 2 x dt . The above equation is used
to measure the amount of energy that is needed to create an
oscillating wave. The discrete form of the TK operator is
defined by:
x ( n) x 2 ( n) x ( n 1) x( n 1) . (10)

IV. EXPERIMENTAL SETUP

In order to compare the results obtained with the different
signal processing techniques presented above, several
experimental tests were carried out using a test facility with
two identical standard 3 kW, 3-phase, 4-pole, 400 V, 50Hz
induction motors. These motors were supplied by a sinusoidal
voltage supply system. A 4 kW dc machine operating as a
generator was used to impose different load levels to the
motor under test: no load, half load and full load.
One of induction motors was brand new and was tested
with its original bearings, being the results obtained used as a
reference for a motor without defects (healthy). The second
induction motor had its bearings replaced by others with holes
produced in its internal and external rings for the emulation of
bearing faults. The produced holes have diameters of 2 and 4
mm for simulating different degrees of damage to the
bearings. Fig. 3 shows two examples of bearings with holes
introduced to simulate defects in both the inner and the outer
ring. The bearings used in the tested motors were type 6205
(non-drive end) and 6206 (drive end).
Fig. 4. Experimental setup.
faults lies in the comparison between the vibration spectrums
produced by different degrees of damage in the bearings. The
vibration signals were measured with a sampling rate of 20
kHz, with an acquisition period of 3.27 s.
The measured vibration signals of the motor without
defects (healthy) were considered as reference values
(baseline). Near the experimental setup, there were no other
sources of vibration that could significantly interfere with the
measured values.
The vibration sensors were installed either on the front (F)
or close to the rear (R) of the motor, near the bearings in either
case, which are the two most favorable positions for the
measurements. As the vibration sensors used are triaxial, the
vibration signals were measured along the x, y and z axes. Fig.
5 shows the location of the vibration sensors along with the
axes of vibration for the measurements.

(a) (b)
Fig. 3. Bearings with holes: (a) single 2 mm inner race defect and (b)
single 4 mm outer race defect.
The motor vibration signals were measured using
Vibrasens triaxial vibration sensors, model 131, with a
sensitivity of 1000 mV/g. The vibration sensors were installed
near the drive and non-drive ends. The instrumentation is
complemented with a NI CompactRIO 9074 data acquisition
system and the signals processing using Labview software.
Fig. 4 shows a detailed view of the experimental setup.
V. ANALYSIS OF VIBRATION SIGNALS
The method employed in this work to identify bearing
Fig. 5. Vibration sensors location (R or F) and measurement axes.
In all tests, the most intense signals were obtained along
the z-axis. The x-axis signals showed also interesting
magnitudes, somewhat lower than those seen along the z-axis.
Finally, the y-axis signals were the lower of all. Given these
results, in this paper we only present the results of the
vibration signals observed along the z-axis.
For the tested motors, it is relatively easy to calculate the
frequencies associated to the bearing faults. For the outer ring,
the failure characteristic frequency according to (1) and (3) is
around 90 Hz for the no-load condition and the inner ring
frequency is around 135 Hz according to (2) and (4). When
the motor operates under load, the frequencies tend to

490
decrrease with the increase of thhe load level. On
O the other hhand, tech
hniques, indep pendently of the motor lo oad condition.. WT
additional failure frequencies can be identified, multiple oof the and HT transforrms also leaad to high magnitudes m off the
charracteristic freqquencies. charracteristic freqquency. The amplitude off the characteeristic
freq
quency compo onent is higheer, comparing with the neigghbor
A. Outer
O Race Faaults
commponents. How wever, for thee DWT and HT, H there are some
Three
T tests weere performedd to identify faults in the oouter commponents on that frequenncy range that t have similar
race, each fault bbeing charactterized by a different sevverity maggnitudes, especially with thhe 2 mm holee case, whichh may
levell (healthy, 2 mm hole annd 4 mm holle). The defeective lead
d to difficulties in perform ming a reliable diagnosis. This
bearring and the vvibration senssor are placed
d at the F possition behaavior is verifiied in the thrree load cond ditions. Compparing
accoording to Fig. 5. Faults on fan
f bearing (R R position) shoowed the results
r obtaineed for the diffferent load lev
vels, it was verrified
similar results. that it is easier to detect bearinng faults when n the motor ruuns at
F 6, Fig. 7 and Fig. 8 show the speectra, in the most
Fig. no-lload.
relev
vant frequencyy region, obtaained with thee use of the D
DWT, Fig.
F 9 shows the frequencyy range wherre multiples of o the
HT and
a TK operaator, for three different
d or load conditiions.
moto charracteristic fauult frequency are found, for the case of a
The
T obtained rresults allow to observe thaat the TK opeerator sing
gle 2 mm holee bearing faullt. These resu ults show the same
showws fault frequencies somew what more cleaarly than the oother

Fig. 6.
6 Vibration specttra around the fauult characteristic frequency,
f with th
the motor running
g under no-load, for
f different faultt levels applying: (a) Wavelet transform,
(b)
( Hilbert transfoorm and (c) Teager-Kaiser operato
or.

Fig.
F 7. Vibration spectra around thhe fault characteristic frequency, w
with the motor runnning under half load, for differennt fault levels app
plying: (a) Waveleet
orm, (b) Hilbert trransform and (c) Teager-Kaiser op
transfo perator.

Fig.. 8. Vibration speectra around the fault ng at full load, for different fault le
fa characteristicc frequency, withh the motor runnin levels applying: (a) Wavelet transfform,
(b)
( Hilbert transfoorm and (c) Teager-Kaiser operato or.

491
 Fig. 9. V
Vibration spectra around
a 2x the fau
ult characteristic ffrequency under: (a) no-load; (b) half
h load and; (c)) full load motor operation.
o

effecctiveness of tthe TK operaator, in termss of characterristic

frequuency discriimination. Foor higher frequency
f vaalues,
inaccuracy and seensor limitatioons must be co onsidered. Deespite
DWT and HT leaad to higher amplitudes
a off the characterristic
frequuency compoonents, the vaariations in magnitude
m betw
ween
healtthy and faultyy bearing signnals in this mo
otor are similaar for
the three
t techniquues. For highher frequenciees and under load
condditions, the TKK operator turrned out to be better to diaggnose
bearring faults, as can be seen inn Fig. 10.

Fig.
F 10. Vibrationn spectra around multiples
m of the fault
f characteristiic
frequency undder: (a) no-load annd (b) half load motor
m operation.

B. Inner
I Race Faaults
A similar set of tests was performed to o identify faullts in
the bearings
b innerr race. Due too the lack of space,
s only reesults
obtaained for the caase of a 2 mm
m hole fault aree presented.
Like
L in the casse of outer racce faults, the results
r shown were
obtaained with thee vibration sennsor in positiion F for faullts in
the drive-end
d bearring.
In
I Fig. 11, thhe results obttained with the three diffferent
signal processingg techniques are compared. The frequuency
rang
ges are displayyed for three load
l conditionns. On each figgure,
two fault charaacteristic frequency com mponents cann be
visualized, being ggiven by (5).
Similarly
S to w
what was seenn with bearing g outer race faaults,
the TK operator has a margiinal better peerformance inn the
diagnosis of innerr race faults inn comparison with the otherr two
technniques under analysis. In this case, thee diagnosis uunder
moto or full loadd operation is harder although ssome
charracteristic freequencies cann be disting guished. The TK
enerrgy operator showed a better b mance under this
perform
operrating mode, as can be seeen in Fig. 11(c), with the fault
commponents easilly visualized and a large gap betweenn the Fig. 11. Vibration spe
ectra around the ffault characteristiic frequencies: (aa) 135,
healtthy and faultyy bearing frequuency compon nents. 1600 Hz, no-load; (b) 135, 160 Hz, haalf load; (c) 135, 160 Hz, full loadd; (d)
185, 210 HHz, no-load.

492
 Fault characteristic frequencies are clearly identified using
the TK energy operator. Once again, WT and HT transforms
showed similar amplitudes under all load conditions, hence it
can be said that they have a similar performance.
VI. CONCLUSION
Identification of bearing faults by raw vibration signal
analysis is a common procedure in motor condition
monitoring. Using well-known techniques such as FFT,
bearing faults cannot be easily recognized. Other techniques
can be applied to provide a more effective identification of the
characteristic components of this type of fault. Here, the
Teager-Kaiser energy operator, the discrete wavelet and the
Hilbert transforms were compared in terms of performance in
the analysis of the vibration signals for bearing fault diagnosis.
Comparing these techniques, the Teager-Kaiser operator
showed the best results in the identification of outer and inner
race bearing faults. Using this technique, it is easier to
separate the typical fault frequencies from neighbor
components. On the other hand, Wavelet and Hilbert
transforms showed some spectral components in the
neighborhood of the characteristic fault frequencies, which, in
the case of less severe faults, increases the difficulty in the
identification of the fault frequencies. In any case, it was also
concluded that bearing fault diagnosis is easier under lower
load conditions.
To conclude, the Teager-Kaiser operator demonstrated to
be very reliable and provided accurate diagnostic results. In
addition, the Teager-Kaiser operator has a very simple
implementation, it is very fast and requires minimal
computational resources, proving to be adequate for online
monitoring systems.
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