Techniques to Estimate the Instantaneous Frequency

With an Aim of Diagnosis Induction Machines

Faults
Ali Ibrahim, Francois Guillet, Mohamed El Badaoui, and Fr ed eric Bonnardot
Laboratoire dAnalyse des Signaux et des Processus Industriels
LASPI EA3059
Roanne Academic Institute of Technology
Jean Monnet University
42334 Roanne Cedex, France
Email: Ali.Ibrahim@ieee.org
AbstractIn this work we present a new techniques to detect
a mechanical faults in asynchronous machines by exploiting
the instantaneous frequencies estimated starting from an ac-
celerometer sensor, optical encoder and stator current. Bearing
damages cause a torque oscillations as well as a disturbance
in the velocity signal which can be detected by a mechanical
measurements. These uctuations will be reected on the stator
currents and cause a phase modulation. Where, the idea to exploit
the instantaneous frequency in order to nd informations related
to the defect.
An experimental data were used to verify the validity of the dif-
ferent techniques. Data were collected through an accelerometer
sensor to measure the mechanical vibrations, an optical encoder
xed on rotor shaft and by electrical measurements. The results,
in presence of natural raceway bearing fault, illustrate the very
good performance of the proposed methods.
Index TermsFrequency estimation, Spectral analysis, Diag-
nosis, Gears, Induction machine.
I. INTRODUCTION
This work belongs to a vaster project relating to the diagno-
sis of mechanical defects on revolving machines starting from
electrical measurements. Existing methods can be grouped in
two categories, those based on the treatment of mechanical
signals and others based on the treatment of electrical signals.
The diagnosis of electric machines, strongly developed in
industrial domain, becomes essential for certain applications
because of the will to obtain a chain of increasingly sure
production. The production line must be equipped with reliable
protection systems because the unspecied failure, even most
alleviating, can lead to a material or body damage inevitable.
Therefore, there has been a substantial amount of research
into the creation of new condition monitoring techniques for
induction motor drives. Those have for prime objective to
warn the users of a possible risk being able to appear in a
particular point of the system. Asynchronous machine failures
are divided into electrical faults: broken rotor bars, shorted
stator turns; and mechanical faults: shaft misalignments, load
vibrations, torque oscillations, gearbox and bearing faults. A
classication of the most frequently encountered faults can
be found in [1], [2]. Detection and diagnosis techniques for
rotor electrical faults are investigated in [3], [4]. Stator short-
circuit monitoring is studied in [5]. Fault detection in a gearbox
has been studied in [6]. Approximately 45 % of the failures
are due to bearing faults [2], [7] and [8]. Sometimes bearing
faults might manifest themselves as rotor asymmetry faults [9],
which are usually covered under the category of eccentricity-
related faults [10]. Other studies consider that bearing faults
induce load torque oscillations and related signatures on
stator current are demonstrated in [11]. Other techniques for
condition monitoring using neural network can be found in
[12], [13].
In this paper, we will present different methods which ex-
ploits instantaneous frequency of rotor shaft and stator current
to identify bearing faults even if the fault is still in an incipient
stage. Changes in vibration levels measured on the surface
of a machine are the result of changes in internal forces.
These forces, and therefore vibration levels, increase when
the condition of the machine deteriorates, due to unbalance,
misalignment, bearing & gear tooth wear. High vibration
can also arise from resonances or structural modications
such as corrosion, structure and foundation cracks, coupling
resonances, etc. The application presented here by exploita-
tion of instantaneous frequencies opens ways of diagnostic
different from the traditional tools such as the vibratory or
acoustic analysis. The signal processing tools developed for
the diagnosis of bearings can make it possible to study any
other type of defects in cyclic statistical matter as well on the
machines as on the process or equipments production. Section
II points out the signature of each type of bearing faults.
Section III introduces instantaneous frequency and denes its
operational limits. The algorithm of the signal processing is
described and we introduce in section III-C the feasibility to
estimate instantaneous speed starting from the vibratory signal
and the limitation of this method. The estimation of the IF
of stator current is represented in section III-D. All details
concerning the test rig and bearing informations are given in
section IV, also the estimation of the IF through the optical
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encoder is presented here and the experimental results of the
different techniques are shown in this section.
II. BEARING FAULT SIGNATURE
Bearings in general consist of two concentric rings, outer
and inner, with balls between them. The balls are bound by
a cage which ensures a uniform distance between them and
prevents any contact. Bearing defects can occur as a result of
fatigue of their material under normal operational conditions.
First, cracks will appear on the tracks and on the balls. Then,
pitting and scufng of material can quickly accelerate the wear
of a bearing and intensive vibrations are generated as a result
of the repetitive impacts of the moving components on the
defect. For instance, when a rolling element contacts a defect
on the inner or outer raceway, it produces an impact which in
turn excites the structural modes of the bearing and its support.
In an operating bearing, a series of impacts occurs with a
repetition frequency which depends on whether the defect is
on the inner or the outer race, or on the rolling element.
Therefore, the overall vibration signal measured on the bearing
shows a pattern consisting of a succession of oscillating bursts
dominated by the major resonance frequencies of the structure.
Rolling element bearings experience some slip of the rolling
elements, thus yielding as a consequence that the occurrences
of the impacts never reproduce exactly at the same position
from one cycle to another. Furthermore, when the position of
the defect is moving with respect to the load distribution on the
bearing, the series of impacts is modulated in amplitude. From
these considerations, some randomness should be expected in
the measured vibration signal as well as some amplitude mod-
ulation. The defect will produce one of the four characteristic
fault frequencies in the machine vibration depending on which
bearing surface contains the fault; each bearing defect has its
own signature and is characterized by a fundamental frequency
(1)-(4) which can be calculated on the basis of the structure
and dimensions of the bearing and the shaft speed [14], [15].
F
C
=
1
2
F
R

1
D
b
cos
D
c

(1)
F
O
=
N
B
2
F
R

1
D
b
cos
D
c

(2)
F
I
=
N
B
2
F
R

1 +
D
b
cos
D
c

(3)
F
B
=
D
c
D
b
F
R

D
b
cos
D
c

(4)
Where:
F
R
rotor frequency;
F
C
cage fault frequency;
F
I
inner raceway fault frequency;
F
O
outer raceway fault frequency;
F
B
ball fault frequency;
D
b
ball diameter;
D
c
pitch diameter;
N
B
number of rolling elements;
ball contact angle.
III. USE THE INSTANTANEOUS FREQUENCY AS
INDICATOR FOR ANALYSIS
A. Denition
Instantaneous frequency (IF) is an important signal charac-
teristic arising in many elds. It is a concept intimately linked
to time-frequency analysis, where it can be obtained from
a time-frequency distribution (TFD) as the rst conditional
moment in frequency, suggesting that the IF is the average fre-
quency at each time. Conceptually the IF can be interpreted as
the frequency of a sinusoid which locally adjusts the analyzed
signal. Nevertheless, in the case of non-stationary signals with
frequential properties varying in time, the introduction of the
concept of instantaneous frequency can prove to be useful for
the analysis.
Physically, it is signicant to note that the analyzed signal
must certainly be a signal with only one component, where
there is only one frequency or a narrow band frequency
varying according to the time; in the case of signals with
multi-components, the concept of IF is no longer valid [16],
An example is given by the case of the stator current signal
of an asynchronous machine because this signal contains
the harmonics of the fundamental frequencies, including the
harmonics of the slot passage frequency and other components.
Two basic denitions are proposed in the literature to calculate
instantaneous frequency; one is established starting from the
derivative of the phase of the analytic signal associated with
the studied signal, and the other is given on the basis of the
time-frequency representation of the studied signal.
The instantaneous frequency f
i
(t) of a mono component
analytic signal z(t) = a(t) e
j(t)
is dened as being the
derivative of its phase:
f
i
(t) =
1
2
d(t)
dt
(5)
The analytical signal z(t) is a complex signal containing
same information as the real signal x(t). In contrast to the real
signal, the complex signal contains only positive frequencies.
It is built starting from the real signal by using the Hilbert
transform symbolized by the operator H:
z(t) = x(t) + jH[x(t)] (6)
where:
H(t) =

x(t )

d (7)
B. Algorithm of the Signal Processing
The kinematic study of the machine enables us to determine
all rotational frequencies of the wheels and pinions as well as
the meshing frequencies of each gear pair.
The method proceeds in ve stages:
1) band pass ltering of signals (accelerometer, optical
encoder, current) around an interesting frequency band
2) calculation of the analytic signal starting from the l-
tered signal
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3) calculation of the phase of the analytical signal
4) calculation of the instantaneous frequency
5) The instantaneous frequency is not directly exploitable,
because we are not interested in its value, but in its
frequential contents. We thus calculate its power spectral
density (PSD)
C. Estimation of the IF starting from gearbox acceleration
signal
If the mechanical diagnosis of defect starting from speed
seems interesting, it can be constraining by the need of speed
sensor. In the mechanical systems turning at quasi-constant
speed and presenting a reducer, the estimated speed can be
carried out starting from gear by using an accelerometer sensor
which makes it possible to extract meshing frequency and to
calculate the speed uctuations by frequency demodulation.
Thus we join the preceding case relating to the analysis of a
speed signal.
1) Gearbox model: The originality of the method is the use
of the gearbox acceleration signal to detect the bearing fault by
exploiting the instantaneous frequency. The meshing frequency
is processed in order to determine the position and the speed
of the input shaft. We are based on the model for gearing
vibration presented by McFadden in [17] and more recently by
Wang in [18] to discuss the effect of a small amount of speed
variation. The estimation of instantaneous frequency through
gearbox acceleration signal was presented by Bonnardot & al
in [19].
x(n) =
M

m=0
X
m
[1 + a
m
(n)] cos [2mTf
1
n +
m
+ b
m
(n)]
(8)
Where f
1
is the frequency of the wheel, T is the number of
wheel teeth, Tf
1
is the meshing frequency, m is the number
associated with harmonic of the meshing frequency (m = 1 for
fundamental), X
m
is the amplitude of the m
th
harmonic,
m
is the original phase, a
m
(n) and b
m
(n) are the amplitude and
phase modulation functions due to bearing fault. So, a
m
(n) is
composed of two periodic signals, each one with the period
of the respective wheel 1/f
1
and 1/f
2
: Further details about
the vibration signal can be found in [20], [21]. Without speed
uctuation, the spectrum (Fig. 1) is composed of :
a peak at the meshing frequency f
mesh
= Tf
1
and its
harmonics m f
mesh
;
sidebands: peaks spaced at qf
1
(q = 1, 2, 3, ...) and pf
2
(p = 1, 2, 3, ...) around the meshing frequency (and its
harmonics). These sidebands are due to the amplitude
modulation of the meshing signal by the wheels on
a
m
(n).
x(n) is then convolved with the response of the structure.
According to the model, the frequency of the shaft f
1
is
contained in the time version of the signal x(t). We explain
in this article a method to extract f
1
in order to estimate the
instantaneous frequency and to detect bearing fault.
420 440 460 480 500 520 540 560 580
0
10
20
30
40
50
60
70
Frequency
P
o
w
e
r

S
p
e
c
t
r
u
m

M
a
g
n
i
t
u
d
e

(
d
B
)
fmesh
f1
Fo
f1
Fo
fmesh2f2
fmeshf2 fmesh+f2
fmesh+2f2
f1 f1
Fig. 1. Spectrum of gearbox acceleration signal
2) Speed Estimation: To take into account the speed uc-
tuations, it is necessary to replace f
1
by f
1
(n) in (8). Each
frequency noted without (n) should be now considered as
an average frequency. Since b
m
(n) varies with time, it is
interpreted as a speed uctuation and will be included in f
1
(n).
The model is now:
x(n) =
M

m=0
X
m
[1 + a
m
(n)] cos

t
0
2mTf
1
(t)dt +
m

|
t=nT
e
(9)
The idea is to isolate the meshing frequency (or one of its
harmonics) by using a band pass lter centred on the meshing
frequency (or one of its harmonics)
The lter will extract:
y(n) = X
m
cos

t
0
2mTf
1
(t)dt +
m

|
t=nT
e
(10)
The analytic signal associated with y(n) is used to extract
the speed information:
S
a
(n) = X
m
exp

t
0
2jmTf
1
(t)dt +
m

|
t=nT
e
, j
2
= 1
(11)
Next, the phase of the signal is taken in order to extract:
(n) =

t
0
2mTf
1
(t)dt +
m

|
t=nT
e
(12)
It is very important to use the unwrapped version of the
phase, since the phase is proportional to the angular position of
the shaft. To estimate the instantaneous phase of the input shaft
(that is to say its angular position in radian) it is necessary to
divide the signal by mT:

s
(n) =
(n)
mT
=

t
0
2f
1
(t)dt +

m
mT

|
t=nT
e
(13)
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Finally Instantaneous Frequency is obtained by
f
inst
(n) =
1
2
d
s
(n)
dn
(14)
The instantaneous phase corresponds to the angular position
of the input shaft, and, the instantaneous frequency to the input
shaft speed (normalized frequency). The results of this method
are presented and discussed in paragraph IV-B
D. Estimation of the IF of stator current
Bearing damages cause a torque oscillations as well as
a disturbance in the velocity signal which can be easily
detected by a mechanical measurements. These uctuations are
reected on motor currents [22]. Considering the mechanical
equation of the machine, the oscillating load torque leads to
periodic oscillations at f
osc
of the mechanical rotor speed,
where f
osc
is one of the four characteristic bearing fault
frequencies. The consequence is an oscillation at the same
frequency on the mechanical rotor position. If the fundamental
rotor MMF is expressed in the stator reference frame by
using the transformation between the two reference frames, the
oscillating mechanical rotor position produces an oscillating
rotor MMF F
r
(, t) that can be written as follows
F
r
(, t) = F
r
cos (p
s
t pA
c
cos (
osc
t)) (15)
where :
A
c
= p
T
osc
J
2
osc
and
osc
= 2f
osc
p is the number of pole pairs
J the total inertia
T
osc
is the amplitude of the load torque oscillation.
The fault effect on the rotor MMF can be seen as a sinusoidal
phase modulation (PM) at the characteristic fault frequency.
The stator MMF F
s
(, t) is not affected if secondary armature
reactions are neglected. Thus, it takes the same expression as
in the healthy case:
F
s
(, t) = F
s
cos (p
s
t
s
) (16)
where
s
denotes the initial phase angle between rotor and
stator MMF.
The total magnetic ux density is obtained by the multipli-
cation of the total MMF with the airgap permeance, which is
supposed constant. The induced voltage in a machine winding
is related to the magnetic airgap eld, so that the phase
modulation is preserved. Consequently, a mechanical load fault
leads to the following stator current expression [23]:
i(t) = i
s
(t) + i
r
(t) (17)
= I
s
sin[
s
t +
s
] + I
r
sin[
s
t + cos(
osc
t)]
i
s
(t) and i
r
(t) denote the stator current components result-
ing from the stator and rotor MMF. The amplitudes I
s
and
I
r
are supposed quasi-constant for a given load level. is
the phase modulation index and it is proportional
T
osc

2
osc
. The
Fig. 2. Test Rig
healthy case is obtained considering when = 0. The time
harmonics of rotor MMF and the non-uniform airgap perme-
ance have not been considered. However, the harmonics of
supply frequency f
s
and the rotor slot harmonics theoretically
show the same phase modulation as the fundamental stator
current component. The analytic form of i
r
can be expressed
as:
i
r,a
(t) = I
r
e

s
t+ cos(
osc
t)
(18)
Using the denition of IF (5), the following instantaneous
frequency is obtained:
f
i
r
(t) = f
s
sin(
osc
) (19)
The fault has therefore a direct effect on the IF of the stator
current component i
r
(t). In the healthy case ( = 0), its IF
is constant; in the faulty case, a time varying component with
frequency f
osc
appears.
IV. EXPERIMENTAL SETUP AND RESULTS
A. Instrumentation aspect
The experimental setup used in this research is represented
in Fig. 2. With this setup, a 1.1 kW, 230-volt, 3-phase, 4-pole
induction motor is used. The motor is fed directly from the
mains (230 volts, 50 Hz). To make a load, the rotor shaft is
coupled to a double reduction speed reducer. This one is cou-
pled, through a synchronous belt, with a DC machine which
outputs in a rheostat. The accelerometer is mounted on the
stator to measure the vibration (mV/G). The optical encoder
xed at the free end of the shaft gives the angular position of
the rotor shaft, it delivers a square signal whose frequency is
a multiple of the rotational frequency. This enables study of
the speed uctuations. We also make electrical measurements
(voltages and currents) for the development of new methods
of diagnosis based on the analysis of the electric signals [22],
[24].
TABLE I
BEARING PARAMETERS
Outside Inside
Type diameter diameter N
B
D
c
D
b
cos()
SKF 6303-2Z 47mm 17mm 7 32mm 8.735 1
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Fig. 3. Kinematic of the machine
Table I shows the parameters of bearing taken from the
data sheet, and cos deduced from various measurements.
The motor, with two pole pairs, operates at the average shaft
speed of 1483 r/min (F
R
= 24.71Hz). A real defect of
outer raceway is located at 62.9 Hz in the vibration spectrum;
using the parameters of bearing taken from the data sheet, the
presence of the defect at this frequency is conrmed by (2).
The spectrum is very rich because there are certain frequencies
related to the kinematics (Fig. 3) of the machine and the gear
system.
B. Detection of Fault Through Instantaneous Frequency
The defect results from a natural degradation of the external
cage of the bearing which supports the rotor beside the
reducer. This fault appears with each passage of the balls
on the degraded surface of the outer raceway. It produces a
shocks which have a direct impact on the shaft speed of the
machine. Where, the idea to exploit the speed in order to nd
information related to the defect.
The sampling frequency of the encoder signal is 102400 Hz
and the bandwidth of pass band lter is 16000 - 34000 Hz. Fig.
4(a) represents the power spectrum density of instantaneous
speed estimated using the optical encoder. Greatest dynamics
in this spectrum is related to the rotational frequency 24.71
Hz and its harmonics. The bearing fault frequency at 62.89
Hz is also detected with its harmonics but with lower levels.
This is not the case of Fig. 4(b) which shows the spectrum of
instantaneous frequency estimated starting from an accelerom-
eter sensor by a frequency demodulation around the meshing
frequency 494 Hz. This spectrum highlights a comb of peak
at 62.9 Hz corresponding to the signature of outer raceway
fault and it increases with the extent of the defect. Fig. 4(b)
represent better the information related to the defect and we
can easily distinguish the frequencies. It should be noted that
the speed signal carries also much of other informations. We
can conclude that the instantaneous speed estimated starting
from the vibratory signal promotes the information related to
the defect in the spectrum and at the same time we have the
information of speed, while the instantaneous speed estimated
0 50 100 150 200 250
35
30
25
20
15
10
5
0
5
10
15
20
Frequency
P
o
w
e
r

S
p
e
c
t
r
u
m

M
a
g
n
i
t
u
d
e

(
d
B
)
2*f1
Fo=
62.89Hz
3*f1
4*f1 5*f1 10*f1 9*f1 8*f1 7*f1 6*f1
2*Fo
f1=24.71Hz
3*Fo
4*Fo
(a) estimated starting from optical encoder
0 50 100 150 200 250
65
70
75
80
85
90
95
Frequency (Hz)
P
o
w
e
r

S
p
e
c
t
r
u
m

M
a
g
n
i
t
u
d
e

(
d
B
)
24.71 62.89
125.8 188.7 251.6
(b) estimated starting from vibratory signal
Fig. 4. Power Spectrum density of instantaneous frequency
0 10 20 30 40 50 60 70 80 90
49.2
49.4
49.6
49.8
50
50.2
50.4
50.6
50.8
51
Instantaneous Frequency
Time(s)
S
p
e
e
d
(H
z
)
Fig. 5. Temporal representation of
the IF of stator current
0 10 20 30 40 50 60 70 80 90
30
20
10
0
10
20
30
40
50
Frequency (Hz)
P
o
w
e
r S
p
e
c
tru
m
M
a
g
n
itu
d
e
(d
B
)
Bearing signature
62.89 Hz
Shaft speed
24.7 Hz
Frequencies related to the kinematics
Fig. 6. PSD of the IF of stator
current
starting from optical encoder carries more information on the
rotation of the machine.
Fig. 5 represents the temporal evolution of the instantaneous
frequency of stator current. It uctuates around a mean value
equal to 49.9756 Hz. The spectral representation on g. 6
detects outer raceway bearing fault located at 62.89 Hz, also
we can detect the shaft speed at 24.7 Hz. The frequential
contents of this spectrum and for the vibratory signal are
395 978-1-4244-1766-7/08/$25.00 2008
very similar and there are many other frequency related to the
kinematics of the machine. This result proves the theoretical
studies (19) and argues that the mechanical faults and more
especially the bearing faults induce a phase modulation on
stator current which can be detected through the instantaneous
frequency.
V. CONCLUSION
The vibratory diagnosis by envelope analysis in high fre-
quency is relatively known and powerful, the exploitation of
the information contained in speed can on the other hand
prove to be interesting if the machine is already equipped with
such speed sensor (for example for its regulation) or optical
encoder. In the case of a machine comprising a reducer, if
the signal cannot be acquired at a sufciently high frequency
to make an envelope analysis, it is possible to carry out
a frequency demodulation around meshing frequency, this
allows the restitution of the information related to speed
and thus the study of the bearing. The detection of faults
by analysis of electrical signals is very interesting. We have
presented a technique to detect an outer raceway bearing fault
by analysis of the instantaneous frequency of the stator current.
The results are promising and we are working to evaluate this
method in presence of other type of faults.
ACKNOWLEDGMENT
The authors gratefully acknowledge the contributions of the
Rh one-Alpes region in France for the nancial support.
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