Diagnosis of bearing faults in induction machines by vibration or current signals: a critical comparison

Alberto Bellini, Fabio Immovilli, Riccardo Rubini

DISMI University of Modena and Reggio Emilia Via Amendola, 2 - Pad. Morselli 42100 Reggio Emilia, ITALY Email: alberto.bellini@unimore.it

Carla Tassoni
DII University of Parma Via Usberti, 181/A 43100 Parma, ITALY Email: carla.tassoni@unimore.it

AbstractEarly diagnosis of faults in induction machines is an extensively investigated eld, for cost and maintenance savings. Mechanical imbalances and bearing faults account for a large majority of faults in a machine, especially for small-medium size machines. Therefore their diagnosis is an intensively investigated eld or research. Recently many research activities were focused on the diagnosis of bearing faults by current signal. Stator current components are generated at predictable frequencies related to the electrical supply and mechanical frequencies of bearing faults. However their detection is not always reliable, since the amplitude of fault signatures in the current signal is very low. This paper compares the bearing fault detection capability obtained with vibration and current signals. To this aim a testbed is realized that allows to test vibration and current signal on a machine with healthy or faulty bearings. Signal processing techniques for both cases are reviewed and compared in order to show which procedure is best suited to the different type of bearing faults. The paper contribution is the use of a simple and effective signal processing technique for both current and vibration signals, and a theoretical analysis of the physical link between faults and current components including torque ripple effects. As expected because of the different nature of vibration and current, bearing fault diagnosis is effective only for those fault whose mechanical frequency rate is quite low. Experiments are reported that conrm the proposed approach.

I. I NTRODUCTION Early diagnosis of faults in induction machines is an extensively investigated eld for cost and maintance savings. In fact induction motors are still the most important rotating electric machines in industry mainly because their low price, ruggedness, efciency and reliability. The distribution of failures within the machine subassemblies is reported in many reliability survey papers [1], [2], [3]. A gross classication identies four classes: bearings faults, stator related faults, rotor related faults, other faults (cooling, connection, terminal boxes). Depending on the type and size of the machine, bearing faults distribution vary from about 40% to about 90% from large to small machines. Vibration signals are used to detect the presence of mechanical bearing faults. In most situations diagnostics methods based on the analysis of the mechanical signals have proved their effectiveness [4], [5], [6]. However in many cases mechanical signals cannot be acquired, e.g. in harsh environment.

In such conditions electric signal measurements would be preferable. In any case the use of current and/or voltage constitutes ideally non-invasive methods to bring information necessary to the diagnosis system and thus to ensure an effective monitoring. However the physical link between rolling elements faults and current signatures is not clearly identied and the current components related to the faults are buried in noise, and thus very difcult to extract without a dedicated signal processing. This paper compares the use of vibration and current signal for bearing fault detection, in order to check advantages and drawbacks of the two approaches in the different situations. To this aim a testbed is realized that allows to test vibration and current signals on a machine with healthy or faulty bearings. Signal processing techniques for both cases are reviewed and compared in order to show which procedure is best suited to the different type of bearing faults. In order to compare diagnostic techniques based on current and vibrational signals realistic bearing faults are considered and analyzed, i.e. localized simulated brinelling and chemically etched single defect of bearing external ring. The paper contribution is the use of a simple and effective signal processing technique for both current and vibration signals, and a theoretical analysis of the physical link between faults and current components. II. V IBRATION SIGNALS FOR BEARING FAULT DETECTION When a bearing is running periodically high pressures and unavoidable frictions cause high failure rate and often it fails before its expected lifetime. Bearings in general consist of two concentric rings, outer and inner, with balls or rollers between them, g. 1. Rolling elements are bound by a cage, a metal structure that maintains a constant angular pitch between adjacent rolling elements and prevents any contact. Bearing defects under normal operational conditions often occur because of material fatigue. At rst cracks will appear on the tracks and on the rolling elements. Then, pitting and tearing off of material can quickly accelerate the wear of a bearing and intense vibrations are generated as a result of the repetitive impacts of the moving components on the defect.

978-1-4244-2279-1/08/$25.00 2008 IEEE

Impact or impulsive forces which appear in the vibration signal of the support in operating conditions when a surface defect appears on a bearing rolling elements are periodic in case of constant speed of the shaft. Hence a periodic interaction between rings and rolling elements occurs, so that a frequency analysis of the monoaxial radial (if the bearing load is radial) vibration signal brings the information of an amplitude modulation, where the carrier is any mechanical resonance, and the modulating signal is the mechanical characteristics frequency of the above described interaction phenomena (1). Fv =| fmod k fcar | (1)

problems detected by vibration spectra are imbalance, misalignment, looseness, bent shaft, and bearing problems. The phase between accelerations at three locations, i.e. drive end bearing, opposite drive end bearing, and axial reading may also be used in the diagnosis of the problems [8]. III. C URRENT SIGNALS FOR BEARING FAULT DETECTION There are a number of papers dealing with the detection and diagnosis of faults in rolling element bearings based on the analysis of the current of the induction motor driving the machine [7] [18]. It is however still unclear the physical mechanism that links vibrations to motor current spectral components. Let us analyze internal and external vibration separately. Internal vibrations are caused by intrinsic asymmetries, and construction details. Other troubles linked to the coupling of the machine with the load cause external vibrations and consequently new harmonic components in the motor current. Finite Element (FE) or winding function approaches can be used to compute machine currents and speed and torque relying on mechanical parameters, typically machine-load inertia and friction, [19], [20] [23]. Then the vibration spectrum can be estimated from the torque, since they share the same harmonic contents, however the correlation between the amplitudes is not straightforward [10], [24]. Vibration and current feature a different nature. Vibration is an acceleration, thus is bound to the square of the frequency, while the current is a displacement [9]. Hence the current is more sensitive to low frequency phenomena. Moreover the generation of vibration requires a structural model with mass, damping and stiffness parameters that can be solved only through FE computations, [25], [26]. The link between vibration and current components is presented in the literature according to two approaches. In the rst approach the vibration component at one of the mechanical characteristics frequency of the defect fcar acts on the electric machine as a torque ripple that produces a speed ripple, [9], [27], [17]. Hence the vibration is seen as a torque component that generates in the current a chain of components at frequencies Fbe : Fbe =| fs k fcar | (6)

where k is an integer, fmod is one of the mechanical resonance frequencies and fcar is one of the mechanical characteristics frequencies, (2)(5). A suitable demodulation of the vibration signal leads to the knowledge of the amplitude of the modulating signals.

Fig. 1.

Bearing structure and parameters.

Faults in the inner raceway, outer raceway or rolling elements will produce unique frequency components in the machine vibration and other measured signals. These bearing fault frequencies are a function of the bearing geometry and of the operating speed [7]. FC = FO = FI = FB = 1 FR 2 1 Db cos Dc Db cos Dc Db cos Dc Db cos Dc
2

(2) (3) (4)

NB FR 2 NB FR 2

1 1+

Dc FR 1 Db

(5)

where FR is the rotor mechanical frequency, FC is the cage fault frequency, FI is the inner raceway fault frequency, FO is the outer raceway fault frequency, FB is the ball fault frequency, Db stands for the ball diameter, Dc for the pitch diameter, NB for the number of rolling elements, for the ball contact angle, g. 1. The most common transducer for vibration induced by a defect is typically an accelerometer. Some of the mechanical

where fs is the supply frequency, fcar is one of the (2) (5) according to the actual defect. According to the second approach the effect of the vibration component on the current is modeled as a static eccentricity that is represented as the sum of a forward and backward rotating eccentricity [9]. In any case bearing faults generate stator currents at predictable frequencies Fbe (6) related to the mechanical characteristics frequency and electrical supply frequency. The correlation between the vibration level and the magnitude of the sideband currents is tested varying the vibration level and frequency. However the modulating components feature a very small amplitude that is buried in noise. The use of dedicated signal processing techniques is mandatory to extract efciently the fault signature from the current.

In [18] a unifying approach is presented in order to dene a model of stator current induced by defect in rolling bearings elements. Here the two above mentioned physical effect are considered separately. The effect of radial rotor displacement is modeled as an airgap length variation, i.e. as an airgap permeance variation, that results in a variation of the ux density in the airgap and consequently of the stator current. This cause-effect chain is analytically detailed for three main faults: outer raceway defect, inner raceway defect, ball defect. The corresponding bearing related components in the stator current are reported in table I. However the model based on static eccentricity only does not account for number of poles. The ux components related to eccentricity feature a pole number equal to P 1. These waves cannot induce e.m.f.s or currents in stator windings with P pole pairs, [28], unless the combined effect of static and dynamic eccentricity is considered. Hence the fault signatures at frequencies reported in the second column of tab. I are typically not visible. In [27] the effect of torque imbalances on machine quantities are modeled, this approach is here used to investigate the relationship between torque ripple created by bearing defects and the corresponding current ripples. The fault effect is modeled as a mechanical imbalance with amplitude c , oscillating at one of the mechanical characteristic frequencies (2)(5) and superimposed to the constant load torque TL . Hence the instantaneous torque applied to the motor can be expressed as in (7). Tload (t) = TL + Tload (t) = TL + c cos(car t) (7)

For small signals it becomes: d r (t) = Tem (t) c cos(car t) (10) dt Assuming a linear shape for the electromagnetic torque in steady-state conditions: J Tem (t) = KT r (t) (11)

The gain KT between torque and speed variations can be approximately computed from the usual steady state equivalent circuit of the machine, neglecting the no-load current, the stator resistance and the leakage reactance. From (12) we can estimate KT as in (13). Te 3P V 2 s R r 1P r s (12)

where Rr is the rotor resistance. KT = 3P2 V 2 2 R s r (13)

Replacing KT into (11) and (10) a rst order differential equation is obtained that links the speed ripple r and the oscillating load torque: d r (t) + KT r (t) = c cos(car t) dt The speed ripple is obtained solving (14): J r (t) = where e = atan Replacing (15) into (11): Tem (t) = Hence in (8) e = KT c
2 KT

(14)

c
2 + 2 J 2 KT car

cos (car t e )

(15)

The constant part of electromagnetic torque Te is equal to the load torque if mechanical losses are neglected. The effect of the torque ripple can be analyzed neglecting electrical transient and accounting only for mechanical dynamics. If only the rst harmonic of torque ripple is considered and its amplitude is small with respect to the constant torque the problem can be treated in analytical way by small signals approach [27]. In [18] the electromagnetic torque is assumed as a constant value and, as a consequence, the mechanical torque ripple appears straightforward in mechanical speed and mechanical angle. However the modulation of mechanical angle affects the ux and consequently the electromagnetic torque. Hence a more accurate modeling can be obtained including the electromagnetic torque ripple. Let us assume that Tem (t) = Te + Tem (t) = Te + e cos(car t e ) (8)

car J K cos (car t e ) (16)

KT c
2 KT 2 J2 + car

2 car

J2

, e = atan

car J K

The amplitude of the ripple of electromagnetic torque depends on several factors, and a simple relationship with the load torque is obtained from the above relationships, neglecting mechanical losses: e = Te KT
2 KT

Specically the relationship between the electromagnetic torque Tem (t) the total load torque Tload (t), the mechanical speed variation and the machine-load combined inertia J is: d r (t) J dt = Tem (t) Tload (t) = Te TL (9)

2 car

J2

c TL

(17)

Moreover it can be assumed that the corresponding modulation on the stator current I at pulsation car is about e I = I Te where I is the active current amplitude. Hence I = I KT
2 KT

(18)

+Tem (t) Tload (t)

2 car

J2

c TL

(19)

TABLE I B EARING RELATED COMPONENTS IN THE STATOR CURRENT SPECTRUM . outer raceway defect inner raceway defect ball defect Model based on eccentricity [18] fs k FO fs FR k FI fs FC k FB Model based on torque variations [18] and on rotating eccentricities [7] fs k FO fs k FI fs k FB

From (19) it turns out that the components in the stator current related to bearing defects appear at frequencies consistent with (6). However the amplitude of torque oscillation c is very small for real defects, and the amplitude of the signatures in the current is a fraction of c . In fact for medium small machines KT ranges from 1 to 10, while J car is difcult to estimate, as depends on many factors, including mechanical inertia and mechanical characteristics frequency of defects. It is possible to assume that J car is much larger that KT at least for the mechanical characteristics frequencies (2)(4). Therefore the coefcient between torque ripple and current modulation is a damping coefcient. In summary it is very difcult to retrieve bearing fault signatures in the current, while it is possible to retrieve the ripple components in the torque signal with a suitable sensitivity of the torque meter. The attenuation between torque ripple and current modulation is enhanced increasing the frequency, hence in the current only defects characterized by relatively low mechanical frequency rate can be detected. This is consistent with the analysis made in [9]. IV. D ETECTION OF ROLLING ELEMENTS FAULT BY
VIBRATION AND CURRENT SIGNALS

B. Envelope analysis Another approach to separate modulation signals from the carrier is here presented. This method can be used to obtain with high accuracy the modulating signals, related to mechanical fault characteristic frequencies increasing the signal to noise ratio of results [29]. With respect to the use of Hilbert transformation this method feature a few advantages: bandpass ltering is not required, the method is effective even without carrier, the computational cost is lower.

Fig. 2.

Example of envelope analysis. uppe dashed line, lowe solid line.

For both vibration and current signals a proper signal processing is required to retrieve the modulating signals, i.e. the mechanical characteristics frequencies. Here the use of traditional Discrete Fourier Transform (DFT), Hilbert transformation and envelope analysis are critically compared. With traditional DFT the spectrum of the machine input current is computed and the components (6), (1) are monitored to check variation with respect to the healthy case. A. Hilbert transformation The procedure to identify the components in the vibration signal spectrum related to the bearing faults relying on Hilbert transformation is as follows [6]. (1) Compute the Fourier Trasformation of the vibration signal in time domain. This allows to isolate the resonances of the system, and to identify fmod , i.e. the largest harmonic component. (2) The vibration signal in time domain is band-pass ltered in order to obtain a reduced spectrum around fmod . (3) Compute the Hilbert tranformation of the band-pass ltered signal. (4) Compute the Fourier Transformation of the analytic signal obtained through Hilbert transformation. Hence it is possible to retrieve the components at k fcar . The variations of their amplitudes, with respect to the healthy case, state the occurrence of the related bearing fault.

The procedure is detailed in the following. The signal is processed in order to compute the upper and lower envelope, uppe , lowe respectively, g. 2. In case of amplitude modulation with modulation index lower than one, the modulating signal is computed by ms (t) = uppe lowe and the carrier by cs (t) = uppe + lowe . This reduces common mode errors. Then the spectrum of ms (t) is computed that provides the amplitudes of the components at the mechanical frequencies of the faults. Their variations with respect to the healthy case, state the occurrence of the related bearing fault. V. E XPERIMENTAL RESULTS A small induction machine with three rotors was used to validate the proposed approach. Specically one rotor is healthy while in the others fault bearings were articially made. The nameplate of the machine is 1.5 kW three phase induction machine, with Vrms =380 V, Nb = 28 rotor bars, P = 2 pair poles was used. Rated slip and frequency are s =7 % and fs =50 Hz, (s fs =3.5 Hz). The axis of the rotor is carried by two bearings, one of which is defective. The bearing parameters are taken from the datasheet and the ball contact angle is estimated from various measurements. The bearing is a KBC 6205, with an outside diameter of 52 mm, an inside diameter of 25 mm and 9 balls, Dc = 40.02

TABLE II M ECHANICAL CHARACTERISTICS FREQUENCIES ( IN H ERTZ ) FOR BEARING DEFECTS . fs 30 50 FO 54.1 90.1 FI 80.9 134.9 FB 71.7 119.5 FC 6 10

mm, Db = 8.04 mm, cos = 0.99, = 0.14 rad. Hence the mechanical fault characteristic frequencies (2)(5) are reported in tab. II for fs = 30 and 50 Hz. Two types of damages were articially made on the bearings. The former produces a simulated brinelling defect, thus it is expected that mechanical frequencies FB and FO are generated. The simulated brinelling is generated applying a mechanical load of 4 tons (40 kN) to the bearing, g. 3-right. The latter produces a single defect on the outer raceway, thus it is expected that outer raceway mechanical frequency are generated. This single defect is generated with chemical etching of the bearing, g. 3-left. Therefore it is expected that it mechanical frequencies FO are generated corresponding to the outer raceway fault. The above defects are created in order to mimic real cases, trying to reproduce single defect. Measurements were taken shortly after the defect, assuming that the defect may degenerate into a generalized roughness, preventing from detecting single defect signatures.

Fig. 4.

Photo of the test-bed used for bearing fault detection.

A. Healthy machine Current and vibration signals were sampled with the above described testbed and they were processed with DFT, Hilbert transformation and with the proposed envelope analysis with the healthy rotor. No signicant difference exists between experiments at noload and at rated-load, thus in the following the analysis is restricted to no-load torsional conditions. B. Brinelling The same testbed was used to sample electric and mechanical signal with the rotor with simulated brinelling. The processing techniques show in section IV were used to extract signicant information from the signals spectrum. The spectrum of the vibration signal obtained after Hilbert transformation is reported in g. 5 where healthy and faulty case are compared. It turns out that a component FB (ball fault frequency) appears clearly in the spectrum of the machine with bearing with simulated brinelling, and that a component at FO (outer raceway fault frequency) is slightly increased. The spectrum of the modulating signal ms (t) obtained after envelope analysis of the vibration signal is reported in g. 6 where the healthy and faulty case are compared. It can be noticed that the sensitivity of the envelope analysis is higher than that of the Hilbert transformation.

Fig. 3. Photo of the test set-up for making bearing brinelling damages (left). Microscope photo of the single defect created by chemical etching (right).

The machine was operated at constant volts-per-hertz ratio at rated load. A power inverter, operated at a switching frequency of 13 kHz, generates the supply voltages. Machine currents, voltages, speed, torque and vibration signals are sampled at Fs = 20 kHz. The test-bed allows to control the torque applied to the machine under test, measuring voltage, current, torque, speed and vibrational signals, g. 4. A monoaxial vibration sensor is used to pick up radial vibration: an ICP piezoelectric accelerometer model 352C41 with a sensitivity equal to 10 mV/ms2 and a frequency range from 0.3 to 15000 Hz.

Fig. 5. Spectrum of the vibration signal of the machine after Hilbert transformation. Healthy machine (top), machine with simulated brinelling (bottom).

Fig. 6. Spectrum of the modulating signals of the machine after Envelope Analysis of the vibration signal. Healthy machine (top), machine with simulated brinelling (bottom).

Fig. 8. Spectrum of the modulating signals of the machine after Envelope Analysis of the vibration signal. Healthy machine (top), machine with a single defect (bottom).

Current signals were measured under the same conditions. The spectrum of the modulating signal ms (t) obtained after envelope analysis of the current signal is reported in g. 7 where healthy and faulty case are compared. A component close to the ball frequency FB (ball fault frequency) appears.

Fig. 9. Spectrum of a line current signal of the machine with a single defect.

D. Effects of torque ripple A few experiments were made to validate the theoretical analysis of section III. In the above detailed testbed the brake machine was used that drags the machine under test. A torsiometer is axially connected to both of them in order to measure the torque ripple created by the bearing defects. The bearing with a chemically etched single-point defects was used and compared with a healthy bearing. In the torque signal a component at FO is clearly present, as reported in gs. 10, 11. Increasing the supply frequency the ripple increases. The torque ripple increases with supply frequency and thus with the speed of the machine This is probably due to the mechanical impact between the rolling element and the defect on the outer race. At higher speed the kinetic energy increases and it exerts higher contact pressure on the outer ring, At 30 Hz the amplitude of the torque ripple varies from about 2 mNm to 5.5 mNm, while at 50 Hz the amplitude of the torque ripple varies from about 1.5 mNm to 6 mNm. For this machine from (19) it is expected that the ripple in the current referred to the active current amplitude is of about 0.0002- 0.0005 at 50 Hz. Hence the current component at fr + FO is not visible, as it would require a current sensor with resolution and sensitivity that is usually not available in industrial drives. In fact in the current signal no signatures can be detected as reported in gs. 12, 13, 14. On the other hand for cage faults the ratio between the ripple

Fig. 7. Spectrum of the modulating signals of the machine current after Envelope Analysis of the line current signal. Healthy machine (top), machine with simulated brinelling (bottom).

C. Chemically etched single-point defects The same testbed was used to sample electric and mechanical signals with the rotor with a single defect on the outer raceway realized with chemical etching. The spectrum of the modulating signal ms (t) obtained after envelope analysis of the vibration signal is reported in g. 8, where healthy and faulty case are compared. It turns out that a component at FO (outer raceway fault frequency) appears clearly in the spectrum of the machine with bearing with a single defect. Current signals were measured under the same conditions. The spectrum of the current signal is reported in g. 9 in case of a machine with a single defect. Because of the relatively high frequency rate of defect it is hard to retrieve some fault information, even with processing. In this case the current signal is not a reliable indicator of outer raceway faults.

Fig. 10. Spectrum of the torque signal of the machine supplied at 30 Hz. Healthy machine (top), machine with single defect (bottom).

Fig. 13. Spectrum of the modulating signals of the machine current after Envelope Analysis of the line current signal. Healthy machine (top), machine with a single defect (bottom).

Fig. 11. Spectrum of the torque signal of the machine supplied at 50 Hz. Healthy machine (top), machine with single defect (bottom).

Fig. 14. Spectrum of the modulating signals of the machine current after Hilbert transformation of the line current signal. Healthy machine (top), machine with a single defect (bottom).

Fig. 12. Spectrum of the line current signal of the machine. Healthy machine (top), machine with a single defect (bottom).

of torque and currents is about the same, hence it could be possible to detect the current component at fs + FC , provided that a current sensor with suitable sensitivity (around mA) is available. VI. C ONCLUSIONS The paper presents a comparison between current and vibration signals for the diagnosis of bearing faults in induction machines. A simple signal processing is used that rivals Hilbert transformation in terms of sensitivity at a reduced computational cost.

A theoretical analysis is presented that investigated the effect of rolling element defects in the stator current including the analysis of load and electromagnetic torque effects. This helps to predict the frequencies of the components (signatures) in the stator current spectrum related to each rolling element defects. Also a quantitative analysis of the amplitudes of these components was made. As expected, because of the different nature of vibration and current, bearing fault diagnosis is effective only for those fault whose critical frequency rate is quite low. Hence it is possible to use current signal as a reliable media to detect bearing faults only in dedicated operating conditions. On the other hand vibration signal is a robust indicator for bearing defects provided that a suitable processing is made. R EFERENCES
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