This article has been accepted for publication in a future issue of this journal, but has not been

fully edited. Content may change prior to final publication. Citation information: DOI 10.1109/TII.2018.2874463, IEEE
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TII-18-2211

Rational-Dilation Wavelet Transform based

Torque Estimation from Acoustic signals for
Fault Diagnosis in a Three Phase Induction
Motor
B. Parvathi Sangeetha and S. Hemamalini, Member, IEEE

they are subjected to electrical, mechanical, environmental, and

thermal stresses which lead to several faults in different parts of
Abstract— Condition Monitoring (CM) of electric drives the induction machine. In the recent past, CM and fault
play a significant role for a safe working environment. diagnosis is done using different techniques. The conventional
Induction motors are widely used in industries and any fault motor current signature analysis [1] with high resolution for
in it leads to interruption in the process or complete fault diagnosis is proposed. Other fault diagnostic techniques
shutdown of the equipment. In this paper, acoustic based are based on the analysis of back electromotive force voltage
fault detection in a three-phase induction motor is done by [2] as it changes during fault conditions. Due to this, there is a
estimating the torque from the acoustic signals released by change in air gap flux, thereby a change in phase inductance
the machine. The fault detection is possible as acoustic resulting in additional harmonics in the waveform. Over the last
emission is different for faults such as single phasing, few decades, methods based on the analysis of external
bearing cage damage and broken rotor bars. The acoustic magnetic fields have been developed for bearing [3], stator
signals are processed using Rational-dilation Wavelet winding [4], rotor broken bars and eccentricity fault [5] in
Transform (RADWT) technique to extract the fault induction machines. The drawback of this method is the
features and thereby diagnose the fault type. The torque difficulty in modeling the magnetic field, which strongly
estimation is done using multiple regression method by depends on the electromagnetic behavior of the stator yoke.
extracting the energy possessed in the processed acoustic Industries extended their diagnosis methods to non-destructive
signal and the faults are diagnosed precisely. An methods like vibration, oil, thermal, acoustics, wear and debris
experimental setup comprising of a three-phase induction
analysis. However, vibrations and acoustic noise are most
motor with brake drum loading is used to validate this
commonly used for this purpose. The disadvantages of
approach. The RADWT has adjustable frequency
vibration analysis [6] are the error in measurement due to
resolution in comparison with other wavelet methods.
When high Q-factor filters are employed in the RADWT, improper mounting of sensors, overheating of crystals and
better representation of different faults are obtained in the costly proximity probes. Other methods like thermal, wear and
decomposed sub-bands. In addition, characteristic debris are not useful for continuous assessment. Hence,
frequencies of different faults are calculated analytically acoustic analysis has gained interest in CM and fault diagnosis
and validated by observing the frequencies in the FFT in the recent past [7]. Acoustic Monitoring Technique (AMT)
spectrum of acoustic fault signals. is used for wind turbine bearing fault diagnosis [8], CM of
induction machines [9], diagnosis of power equipment’s [10]
Index Terms— Acoustic Signal Processing, Condition and CM of low speed rolling element bearing [11].
Monitoring, Fault Diagnosis, Induction Motor, Rational-Dilation AMT includes data acquisition, signal processing and
Wavelet Transform. decision making. The acquired acoustic signals are oscillatory
in nature and are distinct for different faults in rotating
I. INTRODUCTION machines. The fault components in the processed acoustic

I NDUCTION machines play a key role in the production

processes, operations and related services in various
industries and power plants. However, during their operation,
signal changes with both amplitude and time in an
unpredictable way. In the time domain, the oscillations in the
acoustic signals and frequency components in the processed
signal cannot be retrieved for any fault that ultimately fails to
support the fault diagnosis. When the oscillations in signals are
The authors are with the School of Electrical Engineering, VIT University, small, frequency domain method like Fourier analysis can be
Chennai 600 127, India (e-mail: [email protected]; applied, compromising the accuracy in diagnosis. However, for
[email protected]). accurate analysis and to identify the fault related frequency

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TII-18-2211
components the acoustic signals should be analyzed in time – f r = f s n. nR (1 − s ) n p  (1 − s ) n p  (3)
frequency domain. Techniques like Hilbert-Huang transform
[8], envelop analysis [11], least mean square model-based f r = f s n. nR (1 − s ) n p + 2 + (1 − s ) n p  (4)
wavelet analysis [12], empirical mode decomposition [13], (iii) mixed product of the stator winding and rotor saturation
spectral analysis [14], pseudo spectrum [15], statistical harmonics given in equations (1) and (5).
parameter analysis [16] and dyadic wavelet transform [17] are f r = f s n. nR (1 − s ) n p + 4 (5)
recently used. The above signal processing methods have been These harmonics produces radial forces in the machine
successfully utilized as feature extractors and/or de-noising resulting in electromagnetic noise. If one of the radial force
operators in the analysis of non-stationary signals. The above- frequency coincides with the natural frequency of the machine,
mentioned wavelet methods, are satisfactory for piecewise- resonance occurs leading to acoustic noise.
smooth [26] signals where constant low Q-factor is used. But
for more oscillatory signals an advanced discrete wavelet with B. Mechanical noise
better frequency resolution is needed. Hence, RADWT is Mechanical noise occurs due to damaged bearings, brush-
applied for fault analysis in machines with oscillatory signals. commutators misalignment, rotor eccentricity, broken rotor bar,
This is due to its advantage of possessing adjustable Q factor fluctuation in loads, high temperature or lubrication conditions
and synthesis the filters to match specific signal features. and improper mounting of the machine [22]. The most common
RADWT method is frequently applied in the bio-medical faults occurring in a rotating machine are bearing and rotor
engineering field [18] - [20] for processing the echo, cerebrum related faults leading to mechanical noise. As per IEEE and
and embolic signals. Whereas, this paper deals with the EPRI statistics, the occurrence of bearing fault is almost 41%
application of RADWT for the fault diagnosis of induction of the total faults. The causes of bearing fault in a machine is
machines. due to lubrication failure, contamination, improper mounting,
In this paper, RADWT a good feature extractor is applied to misalignment, brinelling, corrosion, electrical damage (fluting),
process the acoustic signals released in a three-phase induction fatigue (spalling), overheating, excessive loads, tightfit,
machine to retrieve the fault components in the signal. RADWT improper storage and handling. Bearing faults commonly occur
in the outer ring, inner ring and cage defect.
decomposes the acquired signal in to sub-bands. The energy
possessed in each wavelet sub-band is obtained and the torque When a bearing fault occurs, repeated impulsive vibration
is estimated to identify the presence of faults. The difference in signal is initiated in the fault location. The vibration signal of
estimated torque between healthy and faulty condition is the faulty bearing is a modulated signal [23] that comprises of
calculated in percentage to diagnose the presence and type of carrier and modulating frequencies. The carrier frequency is the
resonant frequency of the mechanical structures adjacent to the
faults. The estimated torque is compared with the experimental
fault point, and the modulating frequency is the reciprocal of
torque to calculate the percentage error, and thereby validate the
the period between the impulses. But the signal from the healthy
proposed work. A test bed is developed to validate the proposed
bearing does not have this modulation frequency. Hence, by
fault diagnosis method. analyzing the modulating frequency of the impulsive vibration
signal, bearing fault can be detected. The modulation or fault
II. ACOUSTIC EMISSION IN INDUCTION MACHINES frequency depends on the fault size, rotational speed, and
DURING FAULTS damage location. This will lead to the development of
The acoustic emission from a three-phase induction machine mechanical vibrations resulting in the emission of acoustics.
during faults is categorized as follows. The characteristic fault frequencies of the cage defect (fb_cage),
ball spin (fb_ballspin), inner race (fb_IR), and outer race (fb_OR) are
A. Electromagnetic Acoustic Noise
given in equations (6-9) respectively.
A single phasing fault is due to an open circuit in one phase fb _ cage = (1 2) f rotor 1 − ( Bd Pd ) cos   (6)
of the power supply to the motor. This is caused by blown fuse,
fb _ ballspin = ( Pd Bd ) f rotor 1 − ( Bd Pd ) cos   (7)
2
an open conductor, a broken power line or bad connections.
 
This fault injects radial harmonics in the airgap during its
operation. Due to sudden loss of a phase, there is an inrush in f b _ IR = (nb 2) f rotor 1 + (Bd Pd ) cos   (8)
current in the other two phases, which changes the flux pattern f b _ OR = (nb 2) f rotor 1 − (Bd Pd ) cos  (9)
and thereby generates radial force harmonics [21]. This
harmonic consists of where nb is the number of balls, Bd is the ball diameter in mm,
(i) mixed product of the stator and rotor winding space Pd is the bearing pitch diameter in mm and α is the ball contact
harmonics as given in equations (1) and (2). angle in degree.
In addition, the other most common rotor faults in an
f r = f s n. nR (1 − s ) n p + 2 (1)
induction machine are broken bars, rotor eccentricity and
f r = f s n.nR (1 − s ) n p  (2) winding faults. Rotor fault occurs around 9% of the total faults
in rotating machines as per IEEE and EPRI statistics. Broken
where fr is the radial force harmonics in Hz, fs is the supply
rotor bar fault occurs if one or more of the bars in rotor is partly
frequency in Hz, nR is the number of rotor slots, s is the slip, np
cracked or completely broken. This is due to the manufacturing
is the number of pair of poles and n = 0, ±1, ±2..
defects, thermal stresses, mechanical stress caused by bearing
(ii) mixed product of the stator winding and rotor eccentricity
faults, frequent starts of the motor at rated voltage and due to
space harmonics given by equations (1-4).

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wear and tear of the metal used in the rotor bar. Under healthy
condition, the rotating magnetic flux in the airgap of the
induction motor induces current in the rotor bars with a (a) (b)
frequency proportional to the rotor slip, s. Subsequently, the
rotor bars generate a clockwise rotating flux. Under rotor bar
fault condition, additionally an anticlockwise flux is produced (c) (d)
due to the unbalance in rotor bar currents. Hence the resultant Fig. 2. Broken bar rotor fault - RADWT wavelet output for the sixth level on
flux rotating at different velocity is developed in the stator the basis of a) B121, b) B232, c) B231, and d) B783.
referential [24]. The fault frequencies (fb_bars) and the side band
harmonics (fs_band) related to the broken bar is given in equations to the number of decomposition coefficients as given by
(10) and (11) respectively. These fault frequencies give rise to equation (13). For accurate decomposition and to retrieve
acoustic noise in the machine. energy of the sub-bands from the oscillatory signal during fault
fb _ bars = 3 f s − 2sf s (10)
conditions, a tunable quality factor is required. Quality factor is
f s _ band = (1  2ks ) f s (11) defined as the ratio of the resonant frequency to the bandwidth
[26] as given in equation (14). Hence choosing suitable
where k is a positive integer. The aforementioned harmonics
parameters p, q and s can achieve high Q-factor.
and fault frequency are noted distinctly in the acoustic spectrum
Redundancy = 1 s 1 1 − ( p q ) (13)
which is discussed in section IV D.
Q − factor = pq 1 1 − ( p q ) (14)
III RATIONAL-DILATION WAVELET TRANSFORM FOR ACOUSTIC
OSCILLATORY SIGNALS where the parameter s influences the Q-factor, redundancy,
and ringing. p, q and s should all be non-negative integers. Also,
The decomposition and synthesis technique of acoustic
oscillatory signals for fault diagnosis based on the RADWT is p, q and s should be chosen such that the redundancy is greater
similar to that of the dyadic wavelet transform [25]. However, than 1. The Q-factor formula is applicable only when the
the rational-dilation wavelet transform [26] samples the time- condition (1 − 1⁄𝑠) > (𝑝⁄𝑞)2 is satisfied. This condition is
frequency plane more densely in both time and frequency. It is satisfied when the frequency response of the iterated filter bank
noted that the analysis or filtering of oscillatory signals over is constant for a range of frequency in the pass band as shown
short-time intervals like fault signals, needs better frequency in Fig. 1 (b). If the condition is violated, the frequency response
resolution than that provided by the dyadic wavelet transform.
is not constant and is similar to the gaussian function. In this
RADWT is implemented for the discrete time data and shift
invariant property using iterated two channel filter banks with case, the Q-factor formula is invalid and should be calculated
the dilation factor. The dilation factor of RADWT is a rational numerically which is a complex one. For precise fault diagnosis
number given by equation (12). the output of RADWT must have a flat top frequency response
Dilation factor = q p (12) and wavelet output as shown in Fig. 2 with more oscillation and
where q and p are co-prime numbers and should satisfy the no ringing [26] is essential. The frequency response and
condition, q > p. wavelet for various parameter is analyzed for the selection of
optimal basis and is tabulated in Table I. Let the term Bpqs
A. Frequency Response of Wavelet Subbands for Fault represents the “Basis of RADWT”. From the analysis it is
Feature Extraction proved that, to get more oscillation and relatively less ringing,
redundancy should be greater than two, but the frequency
In addition, the other key element in implementation of response will never have a flat top. On the other hand,
wavelet transform is the redundancy and quality factor (Q) [26]. TABLE I
Redundancy is the ratio of the number of samples of the signal RADWT FREQUENCY RESPONSE AND WAVELET ANALYSIS
4 p = 2, q = 3, s = 2, Selected Redun Dilation Output Graphical
4 p = 1, q = 2, s = 1,
Dilation = 1.5, Redundancy=1.5 Parameter dancy Factor Frequency Wavelet Represen
Dilation = 2,Redundancy=2 Bpqs Response output at tation
2 (Fig. 1) sixth level
2
(Fig. 2)
0 0 B121 3 2 Gaussian Less Fig. 1a
0 800 1600 2400 0
3200 800
4000 1600 2400 3200 4000
Frequency(Hz) Frequency(Hz) oscillation, &
(a) (b) no ringing Fig. 2a
B232 1.5 1.5 Flat top More Fig. 1b
p = 7, q = 8, s = 3 oscillation, &
2 Dilation = 1.14, Redundancy=2.67 less Fig. 2b
p = 2, q = 3, s = 1, 2
Dilation = 1.5, Redundancy=3 ringing
1 1
B231 3 1.5 Gaussian More Fig. 1c
oscillation, &
0 0 no ringing Fig. 2c
0 800 1600
Frequency(Hz)
2400 3200 0
4000 800 1600 2400
Frequency(Hz)
3200 4000 B783 2.67 1.14 Gaussian More Fig. 1d
oscillation, &
(c) (d) no ringing Fig. 2d
Fig. 1. Broken bar rotor fault - RADWT iterated frequency response for six
levels on the basis of a) B121, b) B232, c) B231, and d) B783.

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increasing the redundancy by decreasing the parameter s has the 17 cm and 30 cm the variation in the output voltage between 0⁰
effect on reducing the quality factor. In this paper, optimal basis and 45⁰ is approximately 0.002 mV. It is observed that when the
B232 is chosen with redundancy and dilation equal to 1.5, to get distance increases, the sensor output voltage values are
approximately close to each other between 0⁰ and 45⁰. It shows
high oscillations with relatively less ringing.
that, the sensor is rapidly picking up the changes in acoustic
emission when the distance between the sensor and the machine
For a fault that has occurred in an induction motor, the
is less as the difference in voltages is high. Hence in this work
acquired acoustic signals have both oscillatory and non- the sensor is placed at 1 cm distance at an angle of zero degree.
oscillatory components. Hence wavelet transform with high Q-
factors are necessary for processing the oscillatory fault signals B. Sensitivity test
due to its higher frequency resolution. High Q-factor results in To validate the sensitivity of the sensor, a noisy environment is
created. Two fans are placed near the test machine at a distance
more band pass filters covering the same frequency range. This
of about 3 feet. The noise level of each fan is 82 dB. In addition,
property allows better results in extracting impulsive acoustic an induction machine of 1 hp rating is placed at a distance of
signal due to faults. Therefore, in this paper RADWT is used six feet from the test machine. The acoustic signal from the test
for processing the acoustic signal due to bearing ball cage machine is acquired using the acoustic sensor ADMP401 for
damage, broken rotor bars and single phasing fault for induction the cases with and without environmental noise. The acoustic
machines, with optimal basis to achieve less redundancy and signals sensed for the two cases are compared using a software
more dilation with high Q factor. “Audacity”. It is observed that the mismatch in power level is
0.02dB between the two cases, which can be neglected.
IV. TORQUE ESTIMATION FROM ACOUSTIC SIGNALS FOR C. Data Acquisition
FAULT DIAGNOSIS An experimental setup as shown in Fig. 3 (c) is developed to
The acquired acoustics is used to estimate the torque and validate the torque measurement from the acoustic signals for
thereby diagnose the fault that has occurred in an induction fault diagnosis. The setup consists of a 1 hp, 3 phase, 415 V, 50
machine. The steps in Fig. 3 (a) are followed to estimate the Hz, 1.8 A, 1500 rpm, 24/30 slots induction motor. Under
torque from the acoustic signal. The effect of fault diagnosis is healthy condition, acoustic signals are acquired using the
not affected by environmental noise as the sensor is validated ADMP401 acoustic sensor at a sample rate of 22.1 kHz for 10
by directivity and sensitivity test. seconds for different load conditions and also for certain faults
like single phasing fault, bearing ball damage and broken rotor
A. Directivity test of Acoustic sensor bars. The real time captured signal is exported to sigview
The acoustic sensor ADMP401 used in this work is placed at software and saved as .wav file. For healthy condition, the
different distances and directions (0⁰, 45⁰, 90⁰, 180⁰ and 270⁰) machine is loaded till 92% of rated current in steps and the
to locate the feasible position for the sensor to acquire the
respective phase voltage, current, loads and speed of the
acoustic signals emanated from the machine. It can be inferred
from the Fig. 3 (b) that when the sensor is placed at 1 cm the machine is measured for each condition. Similarly, for each
variation in the output voltage amplitude between 0⁰ and 45⁰ is fault conditions the machine is loaded for 83% of rated current
approximately 0.008 mV. For other distances like 3 cm, 10 cm, (1.5 A) and their respective readings of phase voltage, current
and speed are noted. The acoustic signal acquired during
healthy condition of the motor is shown in Fig. 5 (a). It is
observed that, the waveform is evenly spread over a time period
following a particular pattern. The sound pressure level
obtained with Pmusic applied to the healthy condition signal is 74
dB.
(a)
1) Single phasing fault
When a three-phase supply is given to the test induction
machine, it runs with a smooth rhythmic sound. The machine is
operated at 83% of the rated current. Suddenly if one of the

(b) (c)
Fig. 3. a) Step by step procedure of RADWT based Torque Estimation from
Acoustic signals for Fault Diagnosis b) Comparison of sensor sensitivity with (a) (b)
respect to distance and angle and c) Experimental setup of the proposed work. Fig. 4. a) Damaged bearing ball cage and b) Broken rotor bars

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phase is open or the fuse is blown, the noise level of the machine D. Spectrum analysis of Acoustic signal for healthy and faulty
is increased with drastic bang which last for few seconds and condition
then reverted back to its original rhythm. In Fig. 5 (b) the The acoustic emission from the test induction motor for
acquired acoustic signal for single phasing fault is shown. It is different fault conditions are captured using an acoustic sensor
observed that for the first 3 seconds the acoustic pattern is under load conditions. Table II shows the calculated frequency
similar to that of the healthy condition as shown in Fig. 5 (a). and the observed frequency in the acoustic spectrum with the
When a fault is initiated at time t = 4 s, there is a deviation in respective amplitude. The single phasing fault is transient,
the noise pattern which lasted for about 2 seconds. The sound which results in radial ha rmonics in the airgap due to sudden
pressure level obtained with Pmusic applied to the single phasing disturbances. Fig. 6 (a) shows these injected radial harmonics fr
fault is 60 dB. The change in the noise pattern is due to the with dominant peak in the acoustic spectrum which is
momentary increase in the current in the healthy phases and calculated from equations (1-5) for n=1.
thereby increase in torque momentarily, which leads to On the other hand, the rotor and bearing fault are oscillatory.
vibration and thereby generate abnormal noise in the machine. Fig. 6 (b) shows the acoustic spectrum of the acquired acoustic
The machine continues to rotate in the same direction due to its bearing fault signal. The fault frequency is calculated using
inertia. The current in the healthy phases is 10% more than its geometric specification of the bearing given by 𝑃𝑑 =
normal load current and a sudden 8% drop of voltage from its 34𝑚𝑚, 𝐵𝑑 = 4𝑚𝑚, 𝑎𝑛𝑑 𝛼 = 20°. The appearance of the
normal value is noted. Operating in this mode for longer distinct peaks at fb_cage frequency with highest amplitude in the
duration results in heating of winding which will lead to bearing fault spectrum when compared with the other
burning of coils. spectrums clearly indicates the existence of fault in the bearing
2) Bearing cage damage fault cage. The dominant frequency components in the spectrum are
The ball cage of the healthy bearing is punctured as shown in 10.8 Hz and 21.2 Hz, which are close to the calculated cage
Fig. 4 (a). For the bearing damages, the bearing friction fault frequency 10.67 Hz and its second harmonic 21.34 Hz
increases the temperature of the bearings and increase the respectively which is given by equation (6). In addition, ball
vibration. These effects cause changes in acoustic waves spin frequency fb_ballspin of 201.2 Hz appears in the spectrum
released from the machine which is indicative of bearing faults. which is calculated as 201.34 Hz given by equation (7). In
The sound pressure level obtained with P music applied to the addition, the frequency of fb_IR, fb_OR are also calculated as
bearing fault signal is 49.5 dB. During the bearing fault test, 106.62 Hz and 85.38 Hz from equations (8) and (9)
the current increases from 1.5 A to 2 A and a drop of 45 V in respectively. The absence of these frequency in the acoustic
phase voltage from normal condition is noted, which results in spectrum of bearing fault proves that there are no inner and
an increased torque. Fig. 5 (c) shows the acoustic signal outer race fault features.
acquired during the bearing fault. In Fig. 6 (c), the presence of fb_bars and fs_band with the
maximum amplitude is indicative of the broken rotor bar
3) Broken rotor bar fault damage. The observed value is compared with the calculated
The damaged rotor bar is shown in Fig. 4 (b). The damaged fault frequencies and the side band harmonics by substituting k
rotor bar is loaded to 83% of the rated current. This results in = 1 and 2 in the equations (10) and (11) respectively. The
an unbalance and increase in the current of nearby rotor bars observed and calculated frequencies are approximately close to
resulting in uneven distribution of centrifugal force causing each other. The acoustic spectrum analysis is done to validate
stresses in the rotor with excessive vibration leading to acoustic
noise. The sound pressure level obtained with P music applied to
the rotor fault signal is 40 dB. The fault increases the current
from 1.5 A to 3 A and a drop of 85 V in phase voltage from its
normal value. The speed reduces abruptly from 1440 rpm to 500
rpm, where in about 63% of speed reduction occurs leading to
change in acoustic emission. Fig. 5 (d) shows the acoustic (a)
signal acquired during rotor bar fault. It is observed from the
Fig. 5 that the acquired pattern of acoustic signal is different for
different fault conditions.

TEST SIGNAL TEST SIGNAL

TEST SIGNAL
AMPLITUDE

1 1 1
1 0 0 0
0 -1 -1 -1
-1
0 0.02 0.04 0.06 0.08 0.1
TIME (SECONDS)
0.12 0.14 0.16
1.1 1.15 1.2 1.25 1.3 1.35 1.4 1.45
TIME (SECONDS)
5 6 7
TIME (SECONDS)
8 9 13.7 13.8 13.9
TIME (SECONDS)
14 14.1
(b)
AMPLITUDE
AMPLITUDE

1 1
0 0
-1 -1
0 5 10 15 0 5 10 15
TIME (SECONDS) TIME (SECONDS)

(a) (b)
(b)
AMPLITUDE

AMPLITUDE

1 1
0 0
-1 -1
0 5 10 15 0 5 10 15
TIME (SECONDS) TIME (SECONDS)

(c) (d)
AMPLITUDE

4
(c)
4

2 2

Fig. 5. Acquired acoustic signals for a) Healthy motor, b) Single phasing fault,
0
0 800 1600 2400 3200 4000
0
0 800 1600 2400 3200 4000 Fig. 6. Acoustic Spectrum of a) Single phasing fault, b) Bearing ball cage
c) Bearing cage damage and d) Broken rotor bar. FREQUENCY (HERZ) FREQUENCY (HERZ)

fault and c) Broken rotor bar fault.

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TABLE II
OBSERVED SPECTRUM ANALYSIS OF ACOUSTIC FAULT SIGNALS
Frequency Calculated Frequency in Hz Slip Amplitude (V) of corresponding frequency level
corresponding frequency in from the acoustic
to different Hz spectrum (Single phasing (Broken rotor (Bearing
faults (Hz) fault)) *10-3 bar fault)) ball cage
*10-3 fault)) *10-3
fr 735,759.49,835,859.5, 737,760,835,860,955 0.02 220,135,85,116,110 8,7.9,1,3.1,5.7 3,5.5,4.1,1,6
955
fb_cage 10.67 10.8 0.04 10 1 71
fb_ball spin 201.34 201.2 0.04 2 3.5 28
fb_bars 83.34 83.6 0.666 5.9 68 9
fs_band 16.66,83.3,116.6,183.32 16.57,83.3,116.46,183.2 0.666 10,5.9,15,6 72,43,38,30 8,9,8,5

that each fault condition has distinct fault frequencies and it This results in 𝑥(𝜔) = 𝑥̂(𝜔) for the standard filter bank.
appears in the acoustic spectrum like in the other voltage, However, due to the resampling process the length of the
current, flux and vibration spectrums. wavelet coefficient series is clipped off as decomposition
proceeds. Hence single branch reconstruction is required to
E. Analysis with Rational-dilation Wavelet transform
rebuild the wavelet coefficient series into its corresponding
The acquired acoustic signal for fault condition is of oscillatory wavelet subband signals, which successively recovers the
in nature. The existing transforms such as dyadic wavelet and original length. As a result, after performing j-level RADWT
FFT shows less precision in the output due to poor frequency decomposition and single branch reconstruction, the input
resolution of the acoustic signal. The poor frequency resolution signal is transformed into (j+1) th level reconstructed subband.
has low Q factor and affects the torque estimation from the The reconstructed wavelet subbands of bearing fault
acoustic signals for fault conditions. The dyadic wavelet oscillatory signals derived from RADWT basis B232 and dyadic
transform [16] is effective in processing the acoustic signals wavelet basis B121 are plotted in Fig. 7 (a) and Fig. 7 (b)
acquired only for healthy conditions and thereby predict torque respectively. From Fig. 7 (a), a cluster of impulses are observed
with a percentage error of 5 to10%. To increase the accuracy of in level 4 subband, but the impulse is covered with strong
torque prediction from the acoustic signal using wavelet disturbances. In addition, level 6 subbands shows apparent
transform methods, high Q factor should be used to process the amplitude modulation effect. It is also noted that abrupt
oscillatory signals. This is achieved through rational-dilation frequency disturbances occur with the impulses in level 4
factor. By using rational-dilation factors and adjustable subband whereas, in level 6, in-between the abrupt frequency,
frequency resolutions, the information regarding healthy and the instantaneous frequency occurs with almost constant
faulty conditions of the machine can be extracted from the amplitude. The abrupt frequency disturbance is caused by the
acoustic signals for predicting the torque. periodic impulses, that occurs at the fault frequency (10.8 Hz)
1) Reconstruction of a signal from individual subbands of the machine as shown in Fig. 7 (c). Hence the critical fault
To examine the fault features of bearing cage defect, broken signature is revealed in the sixth level of the reconstructed
rotor bar, and single phasing faults from the acquired acoustic signal. In addition, it is also noted that the decomposition at the
signal, the optimal variables Bpqs and decomposition level are seventh level dilutes the reconstructed signal resulting in lack
also selected based on the maximization of energy content in of desired information. However, in Fig. 7 (b), the subbands of
the wavelet subbands. This is achieved by reconstruction of the reconstructed signal derived from the dyadic wavelet shows
signals from the individual subbands. The perfect no trace of required fault feature information. As a result, the
reconstruction condition [27] is given in equation (15). reconstruction of the wavelet using RADWT gives better output
H 0 ( p ) pq + G0 ( ) s = 1
2 2
(15) when compared to dyadic WT. Also, it aids in the choice of the
RECONSTRUCTION OF A SIGNAL FROM INDIVIDUAL SUBBANDS RECONSTRUCTION OF A SIGNAL FROM INDIVIDUAL SUBBANDS
basis parameter and the level for fault diagnosis. Fig. 8 (a)
shows the reconstruction of a signal from the individual sub-
1 1 bands using RADWT decomposition at the sixth level for the
2 2 rotor and in Fig. 8 (c) the zoom-in plot is shown where the fault
feature frequency (83.3 Hz) is observed. Fig. 8 (b) shows single
SUBBAND

SUBBAND

3 3

4 4

5 5

6 6

7 7

0 0.02 0.04 0.06 0.08

TIME (SECONDS)
0.1 0.12 0 0.02 0.04 0.06 0.08
TIME (SECONDS)
0.1 0.12 (a) (b)
(a) (b)

(c)
Fig. 8. Reconstruction of fault signal from individual sub-band for a) Rotor
fault b) Zoom-in plot of rotor fault signal c) Single phasing - derived from
RADWT on basis of B232.
(c)
Fig. 7. Reconstructed bearing fault signal from sub-bands using a) RADWT b)
Dyadic WT and c) Zoom-in plot of sixth level RADWT subband.

1551-3203 (c) 2018 IEEE. Personal use is permitted, but republication/redistribution requires IEEE permission. See http://www.ieee.org/publications_standards/publications/rights/index.html for more information.
This article has been accepted for publication in a future issue of this journal, but has not been fully edited. Content may change prior to final publication. Citation information: DOI 10.1109/TII.2018.2874463, IEEE
Transactions on Industrial Informatics
7
TII-18-2211
phasing fault for the basis of B232. This leads to adopt j=6 (level)
in RADWT for analysis in the proposed work.
(a) (b)
2) Computation of energy in each sub-band for the acquired Fig. 10. The sixth level wavelet sub-band for rotor fault signal for the basis of
acoustic signals (a) B233 (s = 3) and (b) B234 (s = 4).
According to Parseval property of RADWT the distribution of for single phasing and bearing fault, which reduces the chance
the energy in each sub-band reflects the frequency content of
of identification of faults. From the analysis it can be inferred
the signal. The energy value is computed from the multiple
that, to estimate the torque and identify the types of faults, the
wavelet subband signals. The energy in each sub-band is
computed and displayed in a bar graph as shown in Fig. 9. The acquired acoustic signals of bearing, broken rotor bar and single
reconstruction of signal is performed; hence the output bar phasing fault is processed by RADWT for the basis B232 at the
graph consists of j+1 level with j reconstructed wavelet subband sixth level. Based on this, quality factor is computed as 2.449.
and one reconstructed approximation subband signal. The F. Statistical Feature Extraction from Acoustic Signals for
wavelet subband with maximum energy is considered for Torque Estimation
calculating the predicted torque. Initially the analysis is done
The estimated torque from acoustic is compared with the
for low oscillation basis with parameter s=1. The energy
experimental torque measured by direct load test and the results
content in the processed broken rotor bar fault signal is plotted
in Fig. 9 (a), for various values of p, q and s and in Fig. 9 (b) for are validated.
different levels with the basis of B232. From Fig. 9 (a), it is 1) Torque Measurement – Direct Loading Method
observed that when s is 1, the average energy value in the For the torque measurement by direct loading method, the
subband is 118 and when s is 2, the average energy value is machine is loaded mechanically in steps till 92% of the rated
203. When s parameter is set to high oscillation basis such as 3 current. The voltage, current, load and speed are measured to
and 4 an energy level is obtained similar to that of s=1. The calculate the torque using (16).
sixth level wavelet subband for rotor fault signal is shown in
Fig. 10 (a) and Fig. 10 (b) for the basis of B233 (s=3) and B234 Torque = 60 P 2 Nr  (16)
(s=4) respectively. It can be observed from Fig. 8 (a), Fig. 10
(a) and Fig. 10 (b) that as the parameter s is increased the where Nr is the speed in rpm and P is the power in watts
waveform of wavelet subband becomes more and more fat, measured using two-wattmeter method.
causing the energy of the impulse more dispersed. Based on the
above inference the parameter s can be set as 2. With s fixed as 2) Estimation of Torque from the acoustic signal
2, the energy for different levels is computed and is shown in In this section, the torque is estimated by extracting the
Fig. 9 (b). It is noted that, the highest energy is obtained for the statistical features such as RMS, mean, standard deviation and
sixth level and thereby it can retrieve the fault features from the variance from the energy possessed by the sub-bands of the
acoustic signals. RADWT processed acoustic signal. The statistical features of
The signal energy distribution across sub-bands for broken the acoustic signals have distinct values for different faults,
rotor bar fault, bearing ball cage damage and single phasing for which gives information about the machine condition and
dilation factors of 1.5 (B232) and 1.333 (B342) are plotted in Fig.
11 (a) and Fig. 11 (b) respectively. The percentages of subband 30
Broken Rotor Bar fault
Energy Distribution for a rotor fault signal
60
energy with the respective levels are obtained and are plotted as
Subband Energy (% )

25
Subband Energy(%)

bar chart. For a dilation factor of 1.5, distinct pattern is observed 20 40

for different faults. The energy components are wide spread 15

20
10
with significant increase in energy in the middle subbands of 5

broken rotor fault bar chart. For the bearing and single phasing 0
1 2 3 4 5 6 7
0
1 2 3 4 5 6 7

fault signals, most of the energy is located in the lower band (4, Subband Subband

Bearing Ball Cage fault

5, 6 subbands) as shown in Fig. 11 (a). In Fig. 11 (b), it is 60
Energy Distribution for a bearing fault
100
Subband Energy (% )

observed that when the dilation factor is 1.33, the energy

50
Subband Energy (% )

40

components are decreased in comparison to a dilation factor of 30 50

1.5 for the broken rotor bar fault. No distinct pattern is observed
20

10
0
0 1 2 3 4 5 6 7
1 2 3 4 5 6 7
Subband Subband

Single Phasing
Energy Distribution for a single phase fault signal 100
80
Subband Energy (% )
Subband Energy (%)

60

50
40

20

0
0
1 2 3 4 5 6 7 1 2 3 4 5 6 7
(a) (b) Subband Subband

Fig. 9. Energy content in the processed acquired acoustic broken rotor bar (a) Dilation factor = 1.5 (b) Dilation factor = 1.33
fault signal a) For various values of p, q and s, b) For different levels and for
the basis of B232 Fig. 11. Signal Energy distribution across sub-bands.

1551-3203 (c) 2018 IEEE. Personal use is permitted, but republication/redistribution requires IEEE permission. See http://www.ieee.org/publications_standards/publications/rights/index.html for more information.
This article has been accepted for publication in a future issue of this journal, but has not been fully edited. Content may change prior to final publication. Citation information: DOI 10.1109/TII.2018.2874463, IEEE
Transactions on Industrial Informatics
8
TII-18-2211
TABLE III
ESTIMATED TORQUE FOR DIFFERENT FAULT CONDITIONS
Sl. No Voltage Current Speed RMS Mean Standard Variance Measured Estimated Error
(V) (A) (rpm) Deviation Torque Torque from %
Nm Acoustics
Nm
Healthy Condition for different load conditions
1. 375 1.50 1500 82.37 57.71 63.49 4031 3.581 3.580 0.0279
2. 362 1.57 1481 103.95 72.00 80.98 6559 3.665 3.664 0.0272
3. 351 1.60 1459 57.14 78.77 58.56 3430 3.676 3.675 0.0272
4. 347 1.65 1441 88.51 68.14 61.02 3723 3.795 3.793 0.0527
Fault Conditions
Bearing Ball 330 2 1400 331.32 207.85 278.65 77660 4.502 4.501 0.0222
Cage Fault
Broken Rotor 290 3 500 206.88 184.28 101.57 10316 16.615 16.621 0.0361
Bar Fault
Single Phasing 342 1.665 1470 265.29 153.28 228.28 52112 3.697 3.688 0.2406
Fault

thereby aids fault diagnosis. After the feature extraction, the Based on the current and estimated torque value from the
correlation equation is determined using multiple regression acquired acoustic signals, the fault condition of the rotating
method. In this work, predicted torque (Y) is the dependent machine can be identified.
variable and RMS (X1), mean (X2), standard deviation (X3) and 1. A sudden increase in current from the rated value of 1.5
variance (X4) are the independent variables. The correlation A to 1.66 A in any one of the phases, and a drop-in
relating the predicted torque for bearing cage, broken rotor bar, voltage resulting in reduced speed and increase in torque
single phasing fault and the statistical features are given in value by 2% from its normal value may be observed. But
equations (17-19) respectively. if the current is less than 125 % of the rated current and
the estimated torque value is within the permissible limit
TP _ Bearing = 3.2119 + 0.0089X 1 + 0.0115X 2 − 0.0168X 3 + 7.81e −6 X 4 (17) of SOA it is identified as single phasing fault.
TP _ Rotor = 144.691+ 0.0176X 1 − 0.1036X 2 − 3.8890X 3 + 0.0274X 4 (18) 2. Increase in current from 1.5 A to 2 A along with a drop-
in voltage and reduced speed followed by an increase in
TP _ Singlephasin g = 3.1606 + 0.0089X 1 + 0.0116X 2 − 0.0153X 3 − 2.1e −6 X 4 (19)
the torque value may be observed. But the increase in
The percentage error between the torques obtained from the current is less than 125 % of the rated current. However,
direct load test and the estimated torque from the acoustic the torque is 1.084 times more than the rated torque
signals for different fault conditions are tabulated in Table III. value (4.187 Nm) which is significant of the bearing
fault.
G. Fault diagnosis based on the estimated torque from the
acoustic signals 3. Increase in current from 1.5 A to 3 A along with a drop-
in voltage and drastic speed reduction, with an increase
At no-load condition the current drawn by the Induction motor in the torque value may be observed. But the current
is 1.3 A (72% of the rated current). The machine is loaded in value is beyond 125% of the rated current and the torque
steps from 83% to 92% of the rated current. The acoustic signal is 4.6 times more than the upper limit of the SOA, which
is captured under healthy condition using the acoustic sensor. is indicative of the presence of broken rotor bar fault.
Then for a loading condition of about 92 % of the rated current From Table III, it is noted that the estimated torque value
(i.e. 1.5 A), the test machine is subjected to fault conditions like from the processed acoustic fault signal is 3.688 Nm, 4.501 Nm
bearing ball cage damage, broken rotor bar and single phasing.
and 16.621 Nm for the single phasing, bearing ball damage, and
For each fault condition, the acoustic signals are acquired. The
rotor broken bars fault respectively. The estimated torque from
electrical parameters and the statistical values obtained from the
the acoustic signal is compared with the experimental torque
processed acoustic signals are tabulated in Table III. From
Table III, it is observed that the statistical data estimated from determined by direct load test. It is observed that the overall
the energy of the processed acoustic signal for each fault is percentage error of torque for different fault conditions is
different due to the difference in the current values; and thereby negligible. This is indicative of the precision of the proposed
the torque is distinct for each fault. Therefore, torque estimation fault identification method. Hence, it is feasible to predict the
from the statistical features is useful in identifying the healthy health and fault condition from the torque value retrieved from
and fault conditions. The safe operating area (SOA) of the the acoustic signal for condition monitoring and predictive
machine under consideration is fixed in terms of the torque maintenance of rotating machines.
which ranges from 3.56 Nm to 3.8 Nm, and this value is set
from the healthy conditions. The deviation of the electrical V. CONCLUSION
parameters and torque from SOA indicates the presence of The work presented in this paper is to validate that, the torque
faults. can be estimated from acoustic signals, which is indicative of
During normal running condition, when the machine is loaded the health and fault condition of an induction machine. The
at 92 % of the rated current, the following instances may arise. acoustic signal acquired from an induction machine is

1551-3203 (c) 2018 IEEE. Personal use is permitted, but republication/redistribution requires IEEE permission. See http://www.ieee.org/publications_standards/publications/rights/index.html for more information.
This article has been accepted for publication in a future issue of this journal, but has not been fully edited. Content may change prior to final publication. Citation information: DOI 10.1109/TII.2018.2874463, IEEE
Transactions on Industrial Informatics
9
TII-18-2211
processed using rational dilation wavelet transform method to [14] Scanlon, Darren F. Kavanagh, and Francis M. Boland, “Residual Life
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that the percentage error between the measured and estimated [16] Arshad Jamal, and Nishchal K. Verma, “Automatic Fault Diagnosis system
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particular fault which is indicative of the type of fault like single [18] Sezer Ulukaya, Ipek Sen, and P. Kahya “A Lung Sound Classification
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It is inferred from the experimental results that, like any other [19] Di Liu, and Khong Scho, “Improvement of speech source localization in
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measure the torque using acoustics and for the condition Acoustic Noise and Vibration in an Induction Machine Considering Rotor
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[23] Tian, Morillo, H. Azarian, et. al “Motor Bearing Fault Detection Using
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[24] Ceban, Pusca, and Raphaël Romary, “Study of Rotor Faults in Induction
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IEEE Trans. Industrial Electronics, vol. 63, no. 10, pp. 6336-6346, Oct. 2016. She has teaching experience of about 12 years. Her current research interests
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