Neural Computing and Applications

https://doi.org/10.1007/s00521-021-06205-1 (0123456789().,-volV)(0123456789().
,- volV)

ORIGINAL ARTICLE

Transfer learning-based deep CNN model for multiple faults detection

in SCIM
Prashant Kumar1 • Ananda Shankar Hati1

Received: 15 October 2020 / Accepted: 8 June 2021

Ó The Author(s), under exclusive licence to Springer-Verlag London Ltd., part of Springer Nature 2021

Abstract
Deep learning-based fault detection approach for squirrel cage induction motors (SCIMs) fault detection can provide a
reliable solution to the industries. This paper encapsulates the idea of transfer learning-based knowledge transfer approach
and deep convolutional neural network (dCNN) to develop a novel fault detection framework for multiple and simulta-
neous fault detection in SCIM. In comparison with the existing techniques, transfer learning-based deep CNN (TL-dCNN)
method facilitates faster training and higher accuracy. The current signals acquired with the help of hall sensors and
converted to an image for input to the TL-dCNN model. This approach provides autonomous learning of features and
decision-making with minimum human intervention. The developed method is also compared to the existing state-of-the-
art techniques, and it outperforms them and has an accuracy of 99.40%. The dataset for the TL-dCNN model is generated
from the experimental setup and programming is done in python with the help of Keras and TensorFlow packages.

Keywords Deep learning  Transfer learning  Convolutional neural network  Bearing faults  Broken rotor bars

1 Introduction production. Achieving higher standards in production

Industry revolution 4.0 is driving the modern industries
towards automation, Industrial Internet of Things (IIoT),
cloud computing, and on-demand manufacturing. Squirrel
cage induction motor (SCIM) has found immense appli-
cation in industries like mining, textile, railways, cement,
and many more. Mine winders use SCIM, and fault
detection in such a scenario is of utmost importance
because production depends entirely on it. Similarly, in
many other industries, squirrel cage induction motor is the
driving force for production, and condition monitoring is
vital in these scenarios. SCIM is robust machines, yet faults
are inevitable. Maintenance of SCIM is essential for
avoiding sudden breakdown and production losses. Con-
dition-based monitoring of SCIM is vital for optimum
& Ananda Shankar Hati
anandashati@iitism.ac.in
Prashant Kumar
prashant88344@gmail.com
1
Department of Mining Machinery Engineering, Indian
Institute of Technology (Indian School of Mines), Dhanbad,
India
requires new maintenance strategies for SCIM, which
includes artificial intelligence (AI) technique-based fault
detection (FD). The faults in the SCIM can be categorized
as mechanical and electrical faults [3, 9, 38]. The
mechanical fault includes broken rotor bars, bearing fault,
air-gap eccentricity, etc., [7, 13, 37] and electrical fault
includes inter-turn short circuit, crawling, single phasing,
reverse phase current, dielectric failure, etc [23, 27, 38, 39].
Traditionally, signal-based methods are applied for FD in
SCIM. The signal processing techniques like time-domain
analysis [19, 51], frequency-domain analysis [17, 29],
enhanced frequency analysis [26, 41], and time-frequency
analysis [6, 46] techniques are deployed for fault detection.
The traditional methods of conditional monitoring are
clumsy and need human expertise [47].
The lacunas of traditional methods can be eliminated by
the application of artificial intelligence and automation in
condition monitoring. The availability of highly efficient
computational machines has also led to the inclusion of AI
techniques in the condition-based maintenance of SCIM.
The amalgamation of AI-based techniques has ensured an
automatic fault diagnosis of SCIM. It requires the appli-
cation of machine learning (ML) techniques like artificial

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neural network (ANN), support vector machine (SVM),
k-nearest neighbor (k-NN), decision trees and random
forest, fuzzy logic and expert systems
[11, 21, 25, 34, 44, 49]. However, even these ML-based
techniques require human expertise and are dependent on
human decision-making. This framework requires signal
preprocessing, feature extraction, and feature selection
steps. The available techniques achieve good accuracy in
FD. Still, performance is overwhelmingly dependent on the
manual feature extraction and feature selection step, pre-
processing step, and parameter selection of fault classifier.
The human expertise-based features are extracted for
specific tasks, and they can perform accurately under those
circumstances. However, it might not perform as well
under different scenarios [31]. In [14], the authors devel-
oped a bearing FD approach using optimized feature
selection by genetic algorithm (GA) and SVM as a clas-
sifier. In [1], the authors have developed a fault detection
technique by utilizing data from multiple sensors and their
fusion and fault classification using the SVM and short-
time Fourier transform (STFT). A FD approach based on
SVM is proposed using the continuous wavelet transform
(CWT) and vibration of the motor in [18]. In [15], the
authors have developed a FD technique for bearing faults
using ANN and SVM-based classifier by utilizing the
features extracted from the vibration signal. In [52],
authors have proposed a bearing faults detection approach
by utilizing the features based on hierarchical entropy as an
input to the SVM in combination with the particle swarm
optimization. In [33], bearings faults were diagnosed by the
combination of Hilbert Huang transform, SVM, and sup-
port vector regression. In [36], the authors have performed
the feature learning using sparse autoencoder and neural
network for FD in SCIM. Authors [50] have proposed a
bearing FD approach by utilizing SVM classifier and fea-
ture learning from the ensemble empirical mode decom-
position of the signal. The authors proposed a bearing fault
detection technique by extracting the time-domain features
from the signal and using ANN as a classifier [48]. In [22],
a bearing fault detection approach is developed using the
SVM and improvised ant-colony optimization. The devel-
oped method was compared with different SVM classifiers
based on GA, cross-validation, and standard ant-colony
optimization method.
In recent times, deep learning (DL) architectures have
gained popularity in solving complex problems and hence,
attracted researchers of different fields. DL is relatively
new in FD in SCIM, and only a few research work are
available compared to the conventional ML-based FD
scheme in SCIM. Most of the ML-based technique requires
the assistance of manual feature extraction, and selection
[16]. Deep learning algorithms like convolutional neural
network (CNN) [5, 42], deep neural network (DNN),
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Neural Computing and Applications
autoencoders [2] and deep belief network (DBN)
[2, 30, 45] are used for FD in SCIM. The DL algorithm
provides an automatic feature extraction and selection due
to its deep architectures and an end-to-end learning solu-
tion. It is cumbersome to do feature extraction and selec-
tion for FD in SCIM as different faults have different
characteristic frequency, which depends on supply fre-
quency, loading, and other parameters. The available
methods have been developed for a particular fault and
vulnerable to the working conditions and not suitable for
general applications.
Deep learning has the ability to work directly on the raw
signals, and it can overcome the lacunas of the ML-based
methods. It has shown excellent learning properties in
learning representative features from raw signals due to its
deep architecture. Deep learning has been used in many
fields but not limited to the domain of computer vision
[20], speech recognition [8], biomedical [4], and natural
language processing [28]. Due to DL’s excellent feature
learning properties, it has attracted researchers globally in
the field of condition-based maintenance of SCIM. In [12],
authors have proposed a real-time condition monitoring
and FD in motor with the help of 1-D CNN. Initially, CNN
was developed for 2-D images, and input for the CNN was
necessary to be in 2-D format. Several authors have con-
verted 1-D vibration data into 2-D images for CNN
[24, 31, 43]. In [31], the author’s proposed machine fault
diagnosis using knowledge transfer and DNN. In [35],
authors have developed a stacked sparse autoencoders-
based DNN along with an unsupervised learning procedure
for bearing fault detection using a supervised fine-tuning
process. In [10], authors propounded a bearing FD using
CNN without feature extraction. In [40], batch normalized
DNN has been proposed for faster training and automatic
bearing and a gearbox FD. Most of the developed DL
models have a limited number of hidden layers, and deeper
DL models have not been investigated for FD in SCIM.
However, developing deeper architectures in CNN has its
challenges like high computational time, a higher number
of hyper-parameters, higher labeled data, and computa-
tional power.
To overcome these barriers of the deep architecture of
DL, transfer learning (TL) promises a lot. TL utilizes the
information acquired while tackling one issue and applying
it to an alternate related issue. Instead of training a com-
plete neural network, a network is used which is already
trained on a large labeled data with some fine-tuning and
improvement. For implementing TL, pretrained models are
used, which are trained on large datasets from scratch.
However, the present manuscript proposes the use of TL
with the help of an already established VGG16 [32] model
trained on ImageNet with fine-tuning and modification in
dense layers. The pre-trained VGG16 CNN model will
Neural Computing and Applications

reduce the computational time as the network architectures, or a feature map. Filters denote a group of connections that
hyper-parameters, and model parameters are already get replicated across the entirety of the input. The output
adjusted and can be transferred for FD in SCIM. In this layer is the feature map generated by this filter. A neuron in
way, TL initializes the parameters efficiently, and the fault a feature map is activated if the filter backing to its action
classification model gets a reasonable initialization. detected an appropriate position at the previous layer. It
The present paper propounds an intelligent and novel can be expressed by:
fault detection technique formulated on a transfer learning- !
ðiÞ
X M
ðiÞ
based deep CNN (TL-dCNN) model for broken rotor bar ði1Þ i
Xm 0 ¼ C Wmm0  Xm þ Bm0 ð1Þ
and bearing fault detection. The proposed method is for- m¼1
mulated on the analysis of the current signals acquired
where i denotes the layer number, m0 denotes the index of
from the multiple sensors. The performance of the TL-
the output feature map, m denotes the index of the input
dCNN classifier is evaluated for bearing and broken rotor
feature map. W denotes the weight matrix, and  denotes a
bar faults detection. The paper comprises six sections.
2-D discrete convolution operator. C stands for the non-
Section 2 portrays a convolutional neural network and
linear activation function. The developed model in this
method of transfer learning. Section 3 proposes a transfer
paper has used ReLU (Rectified Linear Unit) activation
learning and deep CNN-based fault detection. Section 4
function. It enjoys the benefit that it does not actuate all the
presents the test setup and FD approach exhaustively.
neurons simultaneously and tackle the issue of dead
Section 5 elaborates the performance analysis of the pro-
neurons.
posed method along with the comparison with the estab-
lished methods. Finally, Sect. 6 concludes the proposed
2.2 Pooling layer
work.
The input feature maps are downsized to resolve the
problem of local translation invariance in the pooling layer
2 Convolutional neural network (PL). It helps in summarizing the availability of features in
and method of transfer learning batches on the input feature map. The size of the filters in
the PL is smaller than the size of the feature map. The
Convolutional neural network (CNN) is used in image
pooling operation helps in making the feature map repre-
recognition problems, image classification, biomedical
sentation invariant to the minor changes in the information.
sectors, and many other fields. The application of CNN has
In the VGG16 model, the size of the filters is 2 9 2 in the
seen a boom due to its efficient feature learning capabili-
pooling layer. It also helps in avoiding the over-fitting
ties. CNN inherently combines feature extraction and
problem. The pooling can be max-pooling and average
classification, which provides an edge over the traditional
pooling. Max-pooling operation estimates the maximum
machine learning techniques. The convolutional neural
value for each portion of the feature map, and average
network structure comprises numerous layers that are
pooling estimates the average value for each segment of the
trainable and execute several linear and nonlinear opera-
feature map.
tions. The CNN architecture is comprised of convolution
layers, pooling layers, and the fully connected layer. The
2.3 Fully connected layer
convolution blocks perform the convolution and pooling
operation. The deep CNN network consists of convolution
In the CNN architecture, the fully connected layer (FCL) is
blocks of varying kernel sizes. The main idea behind CNN
a vital component. CNN architecture might consist of
is the convolution operation. It embraces the idea of a
multiple FCL. FCL’s are quite useful in image recognition
limited responsive field. Every little portion of the input is
problems and image segregation. The FCL performs its
associated with each node in the following layer. This
backpropagation process to identify the most viable
association diminishes the quantum of parameters which
weights. The neurons in the FCL receive the appropriate
permits faster training.
weights to prioritize the most suitable weights. The neurons
in the FCL finally vote on each label, and the winner of the
2.1 Convolution layer voting is the final classification decision. The softmax
activation function is generally used for multi-class clas-
A filter or kernel is applied to the input image in the
sification problems. Softmax activation function limits its
convolution layer (CL), and it convolves all over the input
output in the range of 0 and 1 for the given information.
image. The yield is the dimensionally diminished feature
map that is provided to the sub-sampling layer. The layers
of neurons in a feed-forward NN denote the original image

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2.4 Adaptive gradient optimizer
The choice of the optimizer is crucial for quicker conver-
gence of the deep models. It helps in the proper classifi-
cation of different faults. The hyper-parameters are a
fundamental component for quicker convergence. After
every epoch, the adaptive gradient optimizer provides a
specific learning rate for weight updation. Hyper-parame-
ter, i.e., the learning rate, is required in weight updation
and calculation. The weight updation depends on the
choice of hyper-parameters. In the event that the learning
rate is too little, the updation of weight will be excessively
sluggish, and assuming it is enormous; the weight will
move over the capacity. It may never arrive at the desired
loss level. The sensitivity issue for each dimension is often
caused by the high dimensional non-arched nature of
neural architecture optimization. Also, the learning rate is
needed to be scaled for each dimension for quicker con-
vergence. Adaptive gradient optimizer adaptively alters the
learning rate for each measurement. Mathematically, the
operation of adaptive gradient optimizer can be represented
by:
or
Wt ¼ Wt1  k0t ð2Þ
oWt1
where W denotes weight that is changed during the itera-
tion, k0t denotes the initial learning rate that alters after each
iteration and r denotes the loss function.
2.5 Transfer learning and its tuning
Transfer learning (TL) is the process of knowledge transfer
where knowledge learned from solving one problem is
applied to the different related problems. TL is quite a
common technique used in image classification as it
reduces computational time. The basic layout of transfer
Fig. 1 Simple architecture of transfer learning
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Neural Computing and Applications
learning is given in Fig. 1. The knowledge of one model
which is already trained on a large dataset is transferred to
the required model for accelerated performance and less
computational time. Figure 1 shows dataset 1, which is a
large dataset, and model 1 is trained on it, and knowledge
of model 1 is transferred to model 2 for faster learning. It is
an example of simple transfer learning. With transfer
learning, information from the pretrained models can be
transferred to the new model. It helps in mitigating the
issues caused by the lesser availability of data required for
a new task.
Consider a domain D ¼ ðI; PðIÞÞ, which is expressed by
two components: a feature space I and a marginal proba-
bility distribution P(I) where I ¼ ½i1 ; i2 ; i3 ; . . .; in  2 I. If
two domains are different, then they either have different
feature spaces ðIt 6¼ IsÞ or different marginal distributions
ðPðIt Þ 6¼ PðIs ÞÞ. For a specific domain D, a task T ¼
ðY; f ð:ÞÞ consists of two parts: a label space Y and a pre-
dictive function f(.), which is not observed but can be
learned from training data (ðim ; ym Þ | m 2 1; 2; 3; . . .; N,
where im 2 I and ym 2 Y). From a probabilistic viewpoint
f ðim Þ, can also be written as pðym jim Þ, so we can rewrite
task T as T ¼ ðY; PðYjIÞÞ. In general, if two tasks are
different, then they may have different label spaces ðYt 6¼
Ys Þ or different conditional probability distributions
ðPðYt jIt Þ 6¼ PðYs jIs ÞÞ. For a given a source domain Ds and
corresponding learning task Ts , a target domain Dt and
learning task Tt , transfer learning aims to improve the
Fig. 2 Transfer learning layout for fault detection in SCIM
Neural Computing and Applications

learning of the conditional probability distribution PðYt jIt Þ blocks of the VGG16 model are used in fault detection
in Dt with the information gained from Ds and Ts , where model for extracting the features from the given current
Dt 6¼ Ds or Tt 6¼ Ts . images. The extracted bottleneck features were fed to the
In SCIM fault diagnosis, TL helps in deciding the classifier which includes two fully connected layers with
parameters of the fault detection model with the knowledge 4096 nodes and output layer with softmax activation
transfer from a pre-trained model. The transfer learning- function and 5 nodes The classifier is trained using the
based weight initialization reduces the computational cost adaptive gradient optimizer with initial learning rate of
and fastens the training process of the proposed FD model 0.001 with categorical cross-entropy loss function. The
formulated on deep CNN architecture. Training a deep standard categorical cross-entropy loss function is given
CNN model from scratch is time consuming and cumber- by:
some task. In the case of training from scratch, weights are
1X K X M
initialized randomly, and it gets updated based on the loss Jcce ¼  yk  logðhh ðim ; kÞÞ ð3Þ
function and related data. M k¼1 m¼1 m
Transfer learning-based deep CNN (TL-dCNN) fault where M denotes number of training examples, K denotes
detection model provides a time-efficient approach for
the number of classes, ykm denotes the target label for
multiple and simultaneous fault detection in SCIM. Fine-
training example m for class k, i denotes the input for
tuning is the process of updating weights of higher hidden
training example m, and hh denotes the model with neural
layers. The knowledge transfer by transfer learning mini-
network weights h.
mizes the number of parameters during training. The layout
of the TL-based FD model is given in Fig. 2. Tables 1 and 2
summarize the hyper-parameters of convolution layer and
2.6 1-D current signal to image conversion
max-pooling layer. The FD model involves numerous
method
blocks of stacked convolution layer and max-pooling layer.
The proposed fault detection model (TL-dCNN) uses
The traditional method involves substantial pre-processing
classifier comprising of two fully connected layers with
before investigation as data-driven approaches are inca-
4096 nodes and output layer with softmax activation
pable of handling the raw data signals. The feature
function and 5 nodes (based on the number of classes) on
extraction from the raw signals and the selection of opti-
the top of the output of last convolution parts of VGG16
mum features are vital in the data processing. The feature
architecture. The five convolutional blocks enclosed within
extraction and selection are dependent on past experiences,
a lock symbol represent same weights as in VGG16, and
resources, and human expertise. The FD technique is
remaining blocks (classifier) are enclosed with an unlock
substantially dependent on the feature selection. The
symbol and are fine-tuned as per the requirement. The
incorrect feature selection would lead to the poor perfor-
blocks (classifier) are enclosed with an unlock symbol for
mance of the FD model. So, the features are the driving
simplicity and understanding. The five convolutional
force and vital for the efficient performance of the FD

Table 1 Hyper-parameter of
Layer Number of filters Kernel size Stride Padding Activation
convolution layer
CL 1 64 33 1 Same Relu
CL 2 64 33 1 Same Relu
CL 3 128 33 1 Same Relu
CL 4 128 33 1 Same Relu
CL 5 256 33 1 Same Relu
CL 6 256 33 1 Same Relu
CL 7 256 33 1 Same Relu
CL 8 256 33 1 Same Relu
CL 9 512 33 1 Same Relu
CL 10 512 33 1 Same Relu
CL 11 512 33 1 Same Relu
CL 12 512 33 1 Same Relu
CL 13 512 33 1 Same Relu

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Table 2 Hyper-parameter of max-pooling layer training. The output layer uses a softmax function for
Layer Filter size Stride
decision-making. The fault detection model is saved after
numerous training, and parameters of the model are saved
Max-pooling layer 1 22 2 accordingly. The layout of the proposed framework is
Max-pooling layer 2 22 2 given in Fig. 3.
Max-pooling layer 3 22 2
Max-pooling layer 4 22 2
Max-pooling layer 5 22 2 4 Experimental setup and fault detection
methodologies

Multiple fault detection is a perplexing task, and it involves

enormous data for attaining good fault classification
model. The TL-dCNN model, i.e., the FD model, needs the accuracy. The dataset was created with the help of the test
input as images. The image of size 224  224  3 is nee- setup. The details of the experimental setup and in-depth
ded for input to the proposed FD model. A simple tech- analysis are given below:
nique is illustrated for transforming the 1-D current signals
to the images. For developing the required images of size 4.1 Experimental setup
224  224  3 using the current data, it is normalized in
the range (0–1). Then, the normalized data are separated A complete in-depth analysis of the proposed fault detec-
into different fragments with 256 data points. These frag- tion model is carried out on the data acquired from the
ments are transformed into a 2-D array. The PIL package experimental setup. The experimental setup includes a
available in python is utilized for transforming the 2-D 5 kW squirrel cage induction motor, data acquisition sys-
arrays into the images. The current images require 256 data tem, current sensors and workstation. The experimental
points. setup is given in Fig. 4. The experimental setup has used
National Instruments DAQ system for current data col-
lection with the help of NI LabVIEW software. The dif-
3 SCIM Fault detection using deep CNN ferent bearing faults like inner race fault (BIRF), outer race
and TL fault (BORF) and ball defect (BBDF) were imitated in the
laboratory by damaging the bearing. The different condi-
This paper propounds a fault detection technique using the tions of the bearing are given in Figs. 5, 6, 7 and 8. Sim-
concept of transfer and high depth CNN model for bearing ilarly, the broken rotors were imitated by damaging the
and rotor broken bar FD in SCIM. It can automatically rotor bar externally and then mounting it in the motor. The
learn fault features and recognize SCIM health. The FD in different conditions of the rotor are shown in Figs. 9, 10
SCIM requires image conversion from raw signals, data
preparation, pretrained Oxford Visual Geometry Group
(VGG16) model with fine-tuning and adjustment. VGG16
is a state-of-the-art model for image classification on
ImageNet dataset. It has been used in the proposed
framework; the VGG16 model has been used to decide the
weights of the convolution blocks of the FD model. The
fully connected layers are adjusted and fine-tuned as per
the fault classification requirement. The acquired current
signals are transformed to images with the simple proce-
dure mentioned in Sect. 2.6. The current data are converted
to an image as the TL-dCNN model takes 2-D as input
only. The developed deep CNN architecture is inspired by
the VGG16 model. The weights of the convolution blocks
are same as the weights of the VGG16 model, and FCL’s
are fined tuned. The output layer has multiple neurons, and
it is dependent on the number of states (working states) of
SCIM to be classified. The fully connected layers are ini-
tialized randomly, and weights are adjusted during the
Fig. 3 Layout of the proposed framework for fault detection in SCIM

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Neural Computing and Applications

Fig. 8 Bearing with ball defect

Fig. 4 Experimental setup for current data acquisition under different

operating conditions

Fig. 9 Healthy rotor

and 11. The workstation has dedicated NVIDIA Quadro

P4000 graphics processing unit (GPU) for faster compu-
tation along with the Intel Xeon E3 central processing unit
Fig. 5 Healthy bearing
and 64 GB RAM. The fault detection model is developed
in the Spyder notebook with Python programming. The
Keras and TensorFlow packages were used for model
development. Table 3 enlists the technical aspects of the
experimental setup.

4.2 Fault detection methodology

The proposed fault detection methodology is based on the

current signals, deep CNN architecture, and application of
Fig. 6 Bearing with inner race fault
transfer learning. The sampling rate of 10 kHz is used for
the acquisition of stator currents. The current signals are
extracted for five different working conditions of the SCIM
for 200 s under various loading situations like no-load,
25%, 50%, 75%, and 100% load. The five different
working conditions are healthy (H), bearing inner race fault
(BIRF), bearing outer race fault (BORF), ball bearing
defect (BBDF), and broken rotor bar (BRB). The current is
converted to the image of size 224  224  3 with the help
of the method elaborated in Sect. 2.6. The size of the image
has been kept at 224  224  3 as the developed model is
using a pre-trained VGG16 model. The VGG16 model is
Fig. 7 Bearing with outer race fault trained on images of this size. So, to fully capitalize the

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VGG16 model and for implementing the transfer learning,

the current signals are converted to this size. The five
distinct operating conditions are required to be taken
standalone. Each operating condition comprises 2000
images for training and 500 images for testing. The training
dataset comprises 10,000 images in total for five operating
conditions. Similarly, the test dataset comprises 2500
images in total for five operating conditions. The output
layer of the proposed model has to classify five different
conditions based on the given input data. So, it is a five-
Fig. 10 Rotor with one broken bar instance classification task. The output layer of the pro-
posed has five neurons corresponding to different instan-
ces. Apart from the five convolution blocks, the remaining
fully connected layers are initialized randomly. The
weights of the five convolution blocks are the same as the
VGG16 model (i.e., weights are locked), and the remaining
blocks are fine-tuned. During training, the learning rate was
set to 0.001 and is updated by the adaptive gradient
optimizer.

5 Results and discussion

Fig. 11 Rotor with two broken bars 5.1 Results and comparison with other models

An ample set of experiments were conducted on the test

Table 3 Technical aspects of the experimental setup setup for acquiring current data for TL with a deep CNN
(TL-dCNN)-based FD model. The proposed study shows
Equipments Details
that the TL-dCNN requires less computational time as
SCIM Number of stator slots: 36 compared to a model trained from scratch. It is due to
Number of rotor slots: 28 higher parameters and hyper-parameters adjustment during
Bearing Manufacturer: FAG training. TL-dCNN achieves high accuracy in 50 epochs,
Model: 6208 while deep CNN model trained from scratch (dCNN-TFS)
Pitch diameter: 60 mm require around 80 epochs to achieve good accuracy. Fig-
Ball diameter: 12 mm ure 12 shows the classification accuracy of TL-dCNN
Number of balls: 9 model and dCNN-TFS model for the same number of
epochs. The dCNN-TFS model takes more epochs than TL-
dCNN model for achieving the accuracy of more than 95%.
Due to transfer learning, TL-dCNN model converges faster
and achieves high classification accuracy. The parameter
and hyper-parameter of the deep CNN model without
transfer learning are altered through the trial and error
process. It takes a lot of time to perform this task. How-
ever, the proposed method has optimal hyper-parameters,
and fine-tuning allows it to implement it on the fault
classification task.
The comparison with state-of-the-art methods shows
that the proposed method has better accuracy than the
existing methods. The proposed method is compared with
three conventional machine learning methods, support
Fig. 12 Performance comparison between TL-based deep CNN vector machine (SVM), random forest (RF), and k-nearest
model and without TL neighbor (kNN). SVM, kNN, and RF require handcrafted
features for training rather than original signals. In order to

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Table 4 Handcrafted features for comparison classifier trained from scratch is good. However, the
Signals Features
training time is high, and transfer learning facilitates faster
training and smoother operation. The confusion matrices
Current Mean Kurtosis Variance show that ML-based techniques perform well in identifying
Envelope RMS Skewness health conditions and bearing outer race faults. However, it
Impulse IMF Shape struggles to identify broken rotor conditions, bearing inner
Factor Energy Factor race fault, and bearing ball defects. The TL-dCNN classi-
Standard Crest Factor Wavelet fiers achieve higher accuracy in identifying all state of
Deviation Energy SCIM. It shows the effectiveness of the method under
different bearing faults and broken rotor bars.
The distributed and sparse representations learned by
analyze the proposed method with the existing state-of-the-
deep architectures (TL-dCNN model) are relatively more
art methods, handcrafted features are required. The hand-
powerful than those learned by general shallow conven-
crafted feature, which is used for SVM, kNN, and RF
tional machine learning models. It is beneficial to employ
classifiers, is tabulated in Table 4. Table 5 encapsulates the
deep architectures as compared to shallow models for
performance of existing methods with the proposed
learning effective representations of data. The profundity
method. The accuracy of SVM, kNN, and RF-based fault
of the networks allows better feature learning. The deep
detection techniques based on handcrafted features is 90%,
structure provides good domain adaptability. The proposed
78:60%, and 89:40%, respectively. The accuracy of the
model is computationally costly compared to machine
dCNN-TFS model is 96:80%. Figures 13, 14 and 15 pre-
learning (kNN or SVM)-based fault detection models. The
sent the confusion matrices for the fault detection tech-
deep learning models have a higher depth which causes the
nique based on ML-based technique. Figures 16 and 17
comparatively higher training time. However, advantages
embody the confusion matrices for dCNN-TFS and TL-
like automatic feature extraction, better feature learning,
dCNN models. The performance of the conventional
good domain adaptability, and end-to-end feature learning
machine learning models relies heavily on the selected
justify using the proposed model over the conventional
features, which restricts its performance. In addition, a
Gaussian SVM, kNN, and random forest-based fault
deep CNN model trained from scratch required 80 epochs
detection models.
to achieve an accuracy of 96:80%, while the proposed
model required 50 epochs to achieve an accuracy of
5.2 Discussion
99:40%. The Gaussian SVM-based fault detection model
required 50 epochs for the training and to achieve an
The proposed method outperforms the available techniques
accuracy of 90%. The accuracy of kNN-based fault
and makes an accurate prediction with minimum human
detection model is poor and not at par with the other
intervention. The proposed method shows that fine-tuning,
models. Also, kNN is a nonparametric algorithm. So,
along with transfer learning of the model, achieves higher
preparing a kNN classifier does not need going through the
accuracy in fewer epochs compared to a model trained
traditional methodology of iterating over the training data
from scratch. The CNN model with higher depth requires
for multiple epochs in order to optimize a set of parame-
high computational time if trained from scratch. Transfer
ters. The random forest consists of many trees that make
learning allows to overcome this deficiency of deep CNN,
the algorithm sluggish and slow, and ineffective for real-
and it is effectively used in the present manuscript. The
time analysis. It is clear from the confusion matrix that the
proposed method also minimizes the computational burden
proposed method outperforms the other available FD
despite being a deep network.
model. Unlike SVM, kNN, and RF classifiers, the proposed
method performs efficiently with no dependence on human
expertise and knowledge. The performance of deep CNN

Table 5 Comparison of
Classifier Accuracy (%) Training time (s) Predicting time (s) Averaging error
proposed method with SVM and
kNN-based fault detection kNN 78.60 5.2 2.1 –
technique
Gaussian SVM 90 10.5 1.7 –
Random Forest 89.40 28.52 4.8 –
Deep CNN 96.80 452.52 24.51 0.3385
TL-dCNN 99.40 353.4 22.4 0.0652

123

Fig. 13 Confusion matrix for model based on kNN
Fig. 14 Confusion matrix for model based on Gaussian SVM
Fig. 15 Confusion matrix for model based on random forest
123
Neural Computing and Applications
Fig. 16 Confusion matrix for dCNN-TFS model
Fig. 17 Confusion matrix for TL-dCNN model
6 Conclusion
In the present work, a novel and intelligent fault detection
technique is proposed using CNN architecture with higher
depth for multiple fault detection in squirrel cage induction
motors. The comparative study shows that the proposed
method outperforms the existing state-of-the-art methods.
The proposed technique does not rely on handcrafted fea-
tures and performs faster with transfer learning-based
knowledge transfer. It can simultaneously detect the dif-
ferent bearing faults and broken rotor bar conditions. It
eradicates the mistake triggered due to manual feature
extraction and selection. The proposed method was com-
pared to other state-of-the-art methods, and results
demonstrated that it outperforms the other methods with
higher reliability and accuracy. The proposed method has
end-to-end learning capabilities that allow its use in various
fault applications in SCIM. In the future, the proposed
Neural Computing and Applications
technique can also be utilized for detecting other
mechanical and electrical faults.
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