applied

sciences
Article
Fault Diagnosis of Induction Motor Using
Convolutional Neural Network
Jong-Hyun Lee, Jae-Hyung Pack and In-Soo Lee *
School of Electronics Engineering, Kyungpook National University, Daegu 41566, Korea
* Correspondence: insoolee@knu.ac.kr; Tel.: +82-53-950-7843




Received: 4 June 2019; Accepted: 22 July 2019; Published: 24 July 2019


Abstract: Induction motors are among the most important components of modern machinery and
industrial equipment. Therefore, it is necessary to develop a fault diagnosis system that detects the
operating conditions of and faults in induction motors early. This paper presents an induction motor
fault diagnosis system based on a CNN (convolutional neural network) model. In the proposed
method, vibration signal data are obtained from the induction motor experimental environment,
and these values are input into the CNN. Then, the CNN performs fault diagnosis. In this study,
fault diagnosis of an induction motor is performed in three states, namely, normal, rotor fault, and
bearing fault. In addition, a GUI (graphical user interface) for the proposed fault diagnosis system is
presented. The experimental results confirm that the proposed method is suitable for diagnosing
rotor and bearing faults of induction motors.

Keywords: bearing fault; convolution neural network; fault diagnosis system; induction motor;
rotor fault

1. Introduction
Induction motors are among the most important components for driving DC motors, rectifiers
and DC motor systems, and industrial equipment. However, plant shutdowns because of unexpected
induction motor faults cause significant economic losses. Therefore, it is necessary to develop a fault
diagnosis system that detects the operating conditions of and faults in induction motors early [1].
Fault diagnosis involves detecting faults in the system and classifying them. Fault
diagnosis methods are broadly classified into model-based methods and non-model-based methods.
In model-based methods, system faults are diagnosed using a mathematical model of the system, but it
is not easy to obtain an accurate mathematical model owing to system nonlinearity. Non-model-based
methods include fault diagnosis based on measurements, experience, or physical reviews of the target
system, as well as thresholding, expert system techniques, and neural networks [2].
Faults in an induction motor are diagnosed mainly by using characteristic motor signals, such
as vibration signals, motor currents [3–9], acoustic signals [10], and thermal images [11]. In the
method that employs vibration signals [3–5], the vibration signals generated by an induction motor
are measured, and fault diagnosis is performed by frequency analysis of the measured signals. In the
method that employs motor current [6–8], a fixed magnetic current is obtained, and fault diagnosis is
performed by frequency analysis of the measured signals. In the method that employs acoustic signals,
the acoustic signals generated by an induction motor are measured, and fault diagnosis is performed
by frequency analysis of the measured signals. In the method that employs thermal images, thermal
images of an induction motor are acquired, and fault diagnosis is performed using features extracted
from the images. Lee [1] proposed a fault diagnosis method for induction motors based on discrete
wavelet transform and ART2 NN (adaptive resonance theory 2 neural network) with uneven vigilance
parameters. This method is composed of a data preprocessing part by frequency analysis of vibration

Appl. Sci. 2019, 9, 2950; doi:10.3390/app9152950 www.mdpi.com/journal/applsci

 Appl. Sci. 2019, 9, 2950 2 of 10

signals and a fault classification part for fault isolation by using ART2 NN. However, this method
requires data conversion from the time domain into the frequency domain.
In recent years, NN (neural network) models have been studied extensively for application to
fault diagnosis [12–14]. The structure of these models is suitable for representing unknown nonlinear
functions in a general manner. Therefore, NN models can be used as a powerful tool for solving
nonlinear problems.
Appl. Sci. 2018, 8, x However, a neural network model with perfect connection layers cannot2 learn of 10
invariant properties. Consequently, it cannot be learnt by extracting effective features from periodic
44 frequency
vibration analysis
signals of vibration signals and a fault classification part for fault isolation by using ART2
[15].
45 NN.InHowever, this
this study, a CNN method requires data
(convolutional conversion
neural network) from the with
model time local
domain into the frequency
connectivity is used for
46 domain.
fault diagnosis. The vibration signals of three states, namely, normal, rotor fault, and bearing fault,
47 In recent
are obtained years,
from NN (neural
an induction network)
motor models
and used for have
fault been studied extensively
classification. In addition,for application
a GUI to
(graphical
48 fault diagnosis [12–14]. The structure of these models is suitable for representing
user interface) is implemented to enable users to diagnose induction motor faults efficiently and unknown nonlinear
49 functions in
intuitively. Thea performance
general manner.of theTherefore,
proposedNNfaultmodels
diagnosiscanmethod
be usedisas a powerful
verified throughtool
anfor solving
experiment
50 nonlinear
and problems. However, a neural network model with perfect connection layers cannot learn
a simulation.
51 invariant properties. Consequently, it cannot be learnt by extracting effective features from periodic
52 2.vibration signalsEnvironment
Experimental [15]. for Fault Diagnosis of Induction Motor
53 In this study, a CNN (convolutional neural network) model with local connectivity is used for
For fault diagnosis of induction motors, a simulator was constructed by using three three-phase
54 fault diagnosis. The vibration signals of three states, namely, normal, rotor fault, and bearing fault,
induction motor to produce three states, namely, normal, rotor fault, and bearing fault, as shown in
55 are obtained from an induction motor and used for fault classification. In addition, a GUI (graphical
56 Figure
user interface) O1 shows an induction motor in the normal state, Figure 1-O
1. Figureis1-implemented to enable users to diagnose induction motor faults
2 an induction motor
efficiently and
57 with rotor fault, and Figure 1- O3 an induction motor with bearing fault. We acquired vibration data
intuitively. The performance of the proposed fault diagnosis method is verified through an
58 from these induction
experiment motors by using a vibration sensor and NI-9234 (National Instruments, TX, USA).
and a simulation.
The specifications of the induction motors used herein are shown in Table 1, and all three induction
59 motors have the same
2. Experimental specifications.
Environment for Fault Diagnosis of Induction Motor

60
61 Figure 1. Experimental
Figure Experimental setup.
setup.

1. Specifications of induction motor used herein.

62 For fault diagnosis ofTable
induction motors, a simulator was constructed by using three three-phase
63 induction motor to produce Model
three states,
Number namely, normal,HL105AL202T1
rotor fault, and bearing fault, as shown in
64 Figure 1. Figure 1-① shows an induction motor in the normal state, Figure 1-② an induction motor
Rated Power 2.2 Kw (3 HP)
65 with rotor fault, and Figure 1-③ an induction motor with bearing fault. We acquired vibration data
66 from these induction motorsRated Current
by using a vibration sensor and 8.6/5.0 A
NI-9234 (National Instruments, TX,
67 Rated
USA). The specifications of the Speed motors used herein
induction 1730are
rpmshown in Table 1, and all three
68 induction motors have the same specifications.
Frequency 60 Hz
Voltage 3 Phase 380 V
69 Table 1. Specifications of induction motor used herein.

Model
As shown in Figure 2, two types Number
of faults occurHL105AL202T1
in induction motors: rotor fault and bearing fault.
Rated Power 2.2 Kw (3 HP)
As shown in Figure 2a, the rotor bar of the induction motor is punctured with a drill, and the bearing is
Rated Current 8.6/5.0 A
worn by inserting powder into it, asRated
shown in Figure 2b.
Speed 1730 rpm
Frequency 60 Hz
Voltage 3 Phase 380 V
70 As shown in Figure 2, two types of faults occur in induction motors: rotor fault and bearing fault.
71 As shown in Figure 2a, the rotor bar of the induction motor is punctured with a drill, and the bearing
72 is worn by inserting powder into it, as shown in Figure 2b.
 Appl. Sci. 2018, 8, x 3 of 10
Appl. Sci.
Appl. Sci. 2019,
2018, 9,
8, 2950
x 33 of 10
10
Appl. Sci. 2018, 8, x 3 of 10

(a) Rotor fault (b) Bearing fault

(a) Rotor fault (b) Bearing fault
73 Figure 2. Fault types of induction motor.
(a) Rotor fault (b) Bearing fault
73 Figure 2. Fault types of induction motor.
73
74 3. Proposed Fault Diagnosis Method Figure 2.forFault types
types of induction
Induction
Fault Motors motor.
74 3. Proposed Fault Diagnosis Method for Induction Motors
74 3. Proposed Fault Diagnosis Method for Induction Motors
75 3.
3.1.Proposed
CNN-BasedFault Diagnosis
Fault Diagnosis Method
Systemfor Induction Motors
75 3.1. CNN-Based Fault Diagnosis System
76
75
3.1. CNN-Based
3.1. The
Faultfault
proposed
CNN-Based
Diagnosis System
diagnosis
Fault Diagnosis system consists of a vibration sensor for measuring the vibration
System
76
77 signalsThe proposed fault diagnosis system consists of a vibration sensor for measuring the vibration
Thegenerated
proposedby an induction
fault diagnosis motor,
systemas shownof
consists inaFigure 3; data
vibration collection
sensor part for digitizing
for measuring and
the vibration
77
76
78 signals
storing generated
Thetheproposed
vibrationby an
fault induction
diagnosis
signals obtainedmotor,
system
from as shown
consists
the in Figure
of a vibration
vibration 3;
sensor; data collection
sensor
and a part
for measuring
CNN-based for
faultdigitizing
the and
vibration
classification
signals generated by an induction motor, as shown in Figure 3; data collection part for digitizing and
78
77
79 storing
signals
unit the vibration
generated
that by an signals obtained
induction from
motor, asthe vibration
shown ininthe sensor;
Figure andcollection
3; data a CNN-based
Thepart fault classification
formodel
digitizing and
storing theclassifies
vibrationthe types
signals of faults
obtained generated
from the vibration induction
sensor; andmotor.
a CNN-based CNNfault receives
classification
79
78
80 unit
storingthat
vibrationthe classifies
vibration the
data obtained types
signals of faults
obtained
from generated
from the in the
vibration induction
sensor; and motor.
a The
CNN-based CNN model
fault receives
classification
unit that classifies the types of the
faultsinduction
generated motor
in theand classifiesmotor.
induction them The
into CNN
three model
states, receives
namely,
80
79
81 vibration
unit
normal, datafault,
that rotor obtained
classifies the
and from
types of the
bearing induction
faults
fault. generated
In motor
addition, and
in athe
GUI classifies
induction
was them The
motor.
developed into
using three
CNN states,to
model
LabVIEW namely,
receives
enable
vibration data obtained from the induction motor and classifies them into three states, namely, normal,
81
80
82 normal,
vibration
usersfault, rotor
data
to diagnosefault, and
obtained bearing
from
faults fault. the
of induction fault. In
induction
motors addition,
motor a
efficiently GUI
and was developed
classifies
and intuitively.them using
into LabVIEW
three states, to enable
namely,
rotor and bearing In addition, a GUI was developed using LabVIEW to enable users to
82
81 users to rotor
normal, diagnose
fault,faults
and of induction
bearing fault.motors efficiently
In addition, a GUI and intuitively.
was developed using LabVIEW to enable
diagnose faults of induction motors efficiently and intuitively.
82 users to diagnose faults of induction motors efficiently and intuitively.

83
83
84 Figure 3. Block diagram of proposed fault diagnosis method.
83
84 Figure 3. Block
Figure3. Block diagram
diagram of
of proposed
proposed fault
fault diagnosis
diagnosis method.
method.
84
85 3.2.Convolutional
3.2. Convolutional Figure
Neural
Neural 3. Block diagram of proposed fault diagnosis method.
Network
Network
85 3.2. Convolutional Neural Network
86
85 3.2. AA CNN model
CNN modelNeural
Convolutional integrates
integrates
Network feature extraction
feature extraction and and classification,
classification, which
which isis different
different from
from existing
existing
86
87 A CNN model methods.
pattern-recognition
pattern-recognition integrates A
methods. feature
CNNextraction
A CNN is
is composed
composed and classification,
of a plurality which is different from
convolutional
of convolutional layersexisting
and aa
and
87
86
88 pattern-recognition
A CNN model
subsampling layer
subsampling methods.
integrates
layer [16,17]. A CNN
feature
[16,17]. The CNN used in is composed
extraction
in the and of a plurality
classification,
the proposed
proposed induction of
whichconvolutional
induction motoris different
motor fault layers
from
fault detection and a
existing
detection system
system
88
87
89 subsampling
consists of
consists of one layer
pattern-recognition
one input [16,17].
methods.
input layer, The
layer, two A CNN
CNN used
is
two convolutional in
convolutionallayers,the
composed proposed
layers,two of a
two max induction
plurality
max pooling of motor fault
convolutional
pooling layers
layers and
and one detection
layers
one fully system
and
fully connected
connecteda
89
88
90 consists
layer,
layer, ofthree
subsampling
and
and one
three input
layeroutput
output layer,
[16,17]. twoas
The
layers,
layers, convolutional
asCNN used
shown
shown in in layers,
inFigure 4. two max
the 4.
Figure proposed pooling layers
induction motorand one
fault fully connected
detection system
90
89 layer, and
consists three
of one output
input layers,
layer, two as shown in Figure
convolutional layers,4. two max pooling layers and one fully connected
90 layer, and three output layers, as shown in Figure 4.

91
91
92 Figure 4. Structure
Figure 4. Structure of
of proposed
proposed CNN
CNN (convolutional
(convolutional neural
neural network)
network) model.
model.
91
92 Figure 4. Structure of proposed CNN (convolutional neural network) model.
92 Figure 4. Structure of proposed CNN (convolutional neural network) model.
Appl. Sci. 2019, 9, 2950 4 of 10

The convolutional layer uses the kernel to convolve the input data and then passes the activation
function to generate an output feature map. Considering the convolutional layer is the l-th layer,
its output feature map is as follows:
X
xlj =f( xl−1 ∗ kijl + blj ), (1)
i i

where xlj is the j-th feature map generated by the l-th layer, and xl−1
j
is the i-th input feature map.
The input feature map is a specific input data pattern, kljj is the j-th kernel connected to the i-th input
feature map, f( ) is the activation function, blj is the bias corresponding to the j-th kernel, and * is the
two-dimensional convolution operation [18].
The subsampling layer reduces the dimension of the extracted feature map. Various techniques
are available for pooling. In the present study, the max pooling method, which extracts the maximum
value from a feature map, is used. The max pooling technique reduces the size of the entire data, which
reduces the computational cost and helps extract only the necessary data [19].
In CNN, when the convolutional layer and the max pooling layer are repeated, only the main
features are extracted, and the extracted features are transmitted to the fully connected layer. As the
convolutional layer and the max pooling layer contain two-dimensional data, they are transformed
into one-dimensional layers for transmission to the fully connected layer and subsequent transfer to
the output layer.
The softmax function is used as the cost function to transform the class classification problem, that
is, the output of the previous layer, into the probability of each state when solving the state classification
problem. The softmax function is as follows [20]:

eal
yl = Pn ai
, (2)
i=1 e

where n is number of output neurons, and yl is the l-th output. The numerator is an exponential
function of the input data eal , and the denominator is the sum of all input data. Take the exponent on
each output and divide by the normalization constant so that the sum is 1.
The optimization function of the proposed CNN model uses RMSprop. The RMSprop algorithm
does not uniformly add all past gradients but reflects the information of only the new gradient so that
the learning rate does not decrease to 0 [21]. The algorithm is given as follows:

Gt =γG + (1 − γ)(∇θ ft (θt ))2 , (3)

η
r
θt = θt−1 − ·∇θ ft (θt−1 ), (4)
Gt − 
where γ is the forgetting factor, typically 0.9. θ is a network parameter, and f (θ) is the cost function.
In this study, the softmax function is used. ∇θ f (θ) is the network gradient. t is the time step, and if the
network parameter is k, Gt is a k-dimensional vector that stores the sum of the squares of the gradient
to which each variable moves until time step t. η is the learning rate. In this study, the learning rate
was set to 0.001.  is a small value ranging from 10−4 to 10−8 to prevent division by 0. Figure 5 shows a
block diagram of the learning process for CNN.
 Appl. Sci. 2019, 9, 2950 5 of 10
Appl. Sci.Sci.
Appl. 2018, 8, x8, x
2018, 5 of 10 10
5 of

124
124
125
125 Figure
Figure 5. 5.
Figure
5. Block diagram
Block
Block of
diagram
diagram learning
ofof process.
learning
learning process.
process.

126
126 3.3.
3.3. GUI of
GUI
3.3.
of Fault
GUI of
Fault Diagnosis
Diagnosis System
System
Fault Diagnosis System
127
127 The
The
The
PC
PCPC GUI
GUI
GUI
of the
ofof
the induction
induction
the
motor
motor
induction
fault
fault
motor
diagnosis
diagnosis
fault
system
system
diagnosis
described
described
system
in this
in
described this
in
paper
paper
this
is shown
is is
paper shown in
inin
shown
128
128 Figure
Figure 6.
6. The GUI
The GUI program
program uses
uses LabVIEW.
LabVIEW.
Figure 6. The GUI program uses LabVIEW.

129
129
130
130 Figure
Figure 6. GUI
GUI
6. 6.
Figure (graphical
(graphical
GUI user
user
(graphical interface)
interface)
user screen
screen
interface) in LabVIEW.
inin
screen LabVIEW.
LabVIEW.

131
131 Figure
Figure
Figure 6O
6- 1- ①
6 shows
- ①shows the GUI
shows the window
theGUIGUIwindow for real-time
window monitoring
forforreal-time
real-time of the vibration
monitoring
monitoring ofofthe data
thevibration obtained
vibration data from
dataobtained the
obtained
132
132 induction
from
from the themotor.
induction
inductionThemotor.
upper
motor. graph
TheThe shows
upper
upper the
graph vibration
graph shows
shows data
thetheobtained
vibration
vibration from
data
datathe induction
obtained
obtained frommotor
from thetheper second,
induction
induction
133
133 and
motor the lower
per graph
second, shows
and the the
lowerdata converted
graph shows to 1024
the (0.1
data s) so
converted
motor per second, and the lower graph shows the data converted to 1024 (0.1 s) so that they that they
to can
1024 be input
(0.1 s) so into
that the
theyCNN.can
canbebe
134
134 input Figure
input intointothe6- O
theCNN.
2 shows
CNN. the execution and stop buttons of the induction motor fault diagnosis system.
135
135 WhenFigureFigure 6 ②
the execution
6 - button
- ②shows showsthe isthe
pressed,
execution
execution 1024anddata
and stopsamples
stop buttons areofextracted
buttons ofthe from the
theinduction
induction measured
motor
motor fault vibration
faultdiagnosis
diagnosis
136
136 data.
system. The
system. extracted
When
When thethe data
execution are
execution input
buttoninto
button the
is is CNN
pressed,
pressed, model.
10241024 Then,
data
data the
samples
samples fault
are diagnosis
are extracted
extracted program
from
from the is
the executed.
measured
measured
137
137 The resultdata.
vibration
vibration isdata.
displayed
TheThe in Figure
extracted
extracted 6-O.
data
data are
3 input into the CNN model. Then, the fault diagnosis program
are input into the CNN model. Then, the fault diagnosis program
138
138 is is Figure
executed. 6- O
The 3 shows
result
executed. The result is displayedthe
is results
displayed of the
in Figure
in Figure 6 -6 ③.
induction - motor
③. fault diagnosis system and indicates whether
139
139 the motor Figure6 6- ③
Figure is in the normal
- ③showsshowsthestate, rotor
theresults fault
resultsofofthe state, or
theinduction bearing
induction motorfault
motor state.
fault
faultdiagnosis
diagnosissystem systemand andindicates
indicates
140
140 whetherFigure the 6-O 4 shows
motor is inthe
the button
normal to set
state, the induction
rotor fault motor
state,
whether the motor is in the normal state, rotor fault state, or bearing fault state. or fault
bearing diagnosis
fault system
state. mode. When the
141
141 button is
Figure pressed,
6 - ④ data
shows acquisition
the button modeto is
set executed,
the induction and induction
motor
Figure 6 - ④ shows the button to set the induction motor fault diagnosis system mode. When fault motor
diagnosisdata can
system be collected
mode. into
When
142
142 an
the Excel
thebutton
buttonfile. When
is is
pressed, thedata
pressed, button
data is clicked
acquisition
acquisition again,
mode
mode is isthe data collection
executed,
executed, andand mode motor
induction
induction ismotor
terminated,
data
data can and
canbebe the fault
collected
collected
143
143 diagnosis
into
intoanan mode
Excel
Excel file. is When
executed
file. When the again.
thebutton
button is is
clicked
clicked again,
again, the data
the data collection
collection mode
mode is is
terminated,
terminated, andandthe
the
144
144 fault diagnosis mode is executed
fault diagnosis mode is executed again. again.
Appl. Sci. 2019, 9, 2950 6 of 10

Appl. Sci. 2018, 8, x 6 of 10

4. Experiment and Results

4. Experiment and Results
The simulation and experiment environments were implemented using Python 3.5 and the Keras
The simulation and experiment environments were implemented using Python 3.5 and the
library in Windows 10 OS. To verify the performance of the proposed induction motor fault diagnosis
Keras library in Windows 10 OS. To verify the performance of the proposed induction motor fault
system, vibration signals obtained from the induction motors shown in Figure 1 were used as the test
diagnosis system, vibration signals obtained from the induction motors shown in Figure 1 were used
data. The composition of the proposed CNN model was as follows. Convolutional layer 1 consisted
as the test data. The composition of the proposed CNN model was as follows. Convolutional layer 1
ofconsisted
64 filters of
with
64 filters of 5 a× size
a sizewith 5, andof 5convolutional layer 2 consisted
× 5, and convolutional of 32 filters
layer 2 consisted of 32with
filtersa with
size of 3 × 3.
a size
The
of max
3 × 3.pooling
The max layer measured
pooling 2 × 2 in size.
layer measured 2 × The
2 infully
size. connected layer consisted
The fully connected of 256 nodes,
layer consisted and
of 256
the
nodes, and the output layer consisted of three nodes. The number of CNN inputs was 1024, and the of
output layer consisted of three nodes. The number of CNN inputs was 1024, and the number
CNN outputs
number wasoutputs
of CNN three. To was test the To
three. performance of the proposed
test the performance inductioninduction
of the proposed motor fault motordiagnosis
fault
system, vibration
diagnosis signal
system, data were
vibration signalacquired usingacquired
data were a vibration sensor
using by artificially
a vibration generating
sensor normal,
by artificially
rotor fault, and
generating bearing
normal, faultfault,
rotor statesandin the experimental
bearing apparatus,
fault states as shown inapparatus,
in the experimental Figure 7a–c, as respectively.
shown in
Table 2 shows
Figure the numbers Table
7a–c, respectively. of normal,
2 showsrotor
thefault, and bearing
numbers of normal,faultrotor
datafault,
usedand
for training and testing.
bearing fault data
A used
total for
of 200 datasets
training were used
and testing. A totalto train
of 200the CNN,were
datasets and used
100 datasets were
to train the usedand
CNN, to 100
test datasets
the CNN.
Each
weredataset
used tocontained 1024 data
test the CNN. Eachsamples. The parameter
dataset contained settings
1024 data for CNN
samples. The training
parameter were as follows:
settings for
η=CNN0.001, ε = 10 were
training −8 , iteration epochη for
as follows: = 0.001, ε = 10 , =iteration
CNN training −8
30. Theepoch for CNN
vibration training
data used = 30. Thethe
for training
vibration
CNN were data used for training
not subjected the CNN
to frequency weretransformation.
domain not subjected to frequency domain transformation.

(a) Vibration data for normal state.

(b) Vibration data for rotor fault.

(c) Vibration data for bearing fault.

Figure 7.
Figure 7. Experimental
Experimentaldata.
data.

Table 2. The
Table2. The dataset for simulation.
dataset for simulation.

Induction Motor State NumberNumber

of Learning
of Datasets
Learning Number
Numberof Test Datasets
of Test
Induction Motor State
Normal Datasets
200 Datasets
100
Rotor fault
Normal 200 200 100
100
Bearing fault 200 100
Total 600 300
Figure 7.
(c) Vibration Experimental
datadata
for for data.
bearing fault.
(a) Vibration normal state.
 Rotor fault 200 100
Bearing fault 200 100
Total 600 300

Appl. Figure
Sci. 2019,89,shows
2950 the test results obtained in two cases of fault diagnosis when the inverter changes 7 of 10
from the normal state to the rotor fault state and when the inverter changes from the normal state to
the bearing fault state. In Figure 8, the x-axis represents the number of vibration data, and the y-axis
Figurethe
represents 8 shows the test
fault class. results
Classes 1, obtained in two cases
2, and 3 represent the of fault diagnosis
normal, when
rotor fault, and the inverter
bearing faultchanges
states.
from the normal state to the rotor fault state and when the inverter changes from
A total of 300 datasets were used in the test, including 100 datasets each for the normal, rotor fault, the normal state
to the
and bearing
bearing faultstates.
fault state. The
In Figure 8, theproceeded
simulation x-axis represents the number
as follows. of vibration
First, after inputtingdata, and the
100 pairs of
y-axis represents the fault class. Classes 1, 2, and 3 represent the normal, rotor
normal data, rotor fault data and bearing fault states were input. Figure 8a shows the simulation fault, and bearing fault
states. A total of 300 datasets were used in the test, including 100 datasets each for the normal, rotor
results obtained using the rotor fault data. Figure 8a-① shows misclassification of the simulation
fault, and bearing fault states. The simulation proceeded as follows. First, after inputting 100 pairs
data of the normal state as rotor fault state; two instances of this misclassification occurred in total.
of normal data, rotor fault data and bearing fault states were input. Figure 8a shows the simulation
Figure
results 8a-②
obtained shows
using misclassification
the rotor fault of the Figure
data. rotor fault
8a-O 1state
showssimulation data as normal
misclassification state; two
of the simulation
instances
data of the normal state as rotor fault state; two instances of this misclassification occurred bearing
of this misclassification occurred in total. Figure 8b shows the simulation results of in total.
fault
Figure 8a-O
data. All bearing
2 shows fault test data were
misclassification classified
of the correctly.
rotor fault state simulation data as normal state; two
Accordingly,
instances as shown in Table
of this misclassification 3, the accuracies
occurred of fault
in total. Figure 8bdiagnosis
shows theofsimulation
the normal, rotor of
results fault, and
bearing
bearing
fault data.fault
Allstates
bearingare fault
98%, test
98%,data
andwere
100%, respectively.
classified correctly.

(a) Result of rotor fault diagnosis in simulation (b) Result of bearing fault diagnosis in simulation
Figure
Figure 8.
8. Result
Result of
of induction
induction motor
motor fault
fault diagnosis
diagnosis in
in simulation.
simulation.

Table
Accordingly, as shown in Table 3, the 3. Accuracy
accuracies of of test.diagnosis of the normal, rotor fault, and
fault
bearing fault states are 98%, 98%, and 100%, respectively.
Classification Results
Test Data Type
Normal Rotor Fault Bearing Fault
Table 3. Accuracy of test.
Normal 98% 2% 0%
Rotor fault 2% Classification
98% Results
0%
Test Data Type
Bearing fault 0%
Normal 0%
Rotor Fault 100% Bearing Fault
Normal 98% 2% 0%
In addition, we demonstrated the use GUI to determine whether an induction motor has a rotor
Rotor fault 2% 98% 0%
fault or bearing fault, as in Figures 9a and 10a, respectively. Figure 8 shows the result of rotor fault
Bearing fault 0% 0% 100%
diagnosis of an induction motor in a real environment. Figure 9a shows the induction motor with a
rotor fault used in the test. The fault diagnosis result obtained with the proposed fault diagnosis
systemIn addition,
is shown we demonstrated
in Figure 9b. Figurethe10
use GUI to
shows thedetermine
diagnosiswhether
result ofan induction
bearing faultmotor
of anhas a rotor
induction
fault orinbearing
motor fault, as in Figures
a real environment. Figure9a and
10a 10a, the
shows respectively.
induction Figure
motor 8with
shows the result
a bearing faultofused
rotorinfault
the
diagnosis
test, of an induction
and Figure 10b showsmotor in a real
the bearing environment.
fault Figure 9a shows
in the LED, indicating the induction
the output motor
of the fault with
diagnosis
a rotor fault
system. The used in the test.
experimental The fault
results showdiagnosis
that the result obtained
proposed fault with the proposed
diagnosis system fault diagnosis
can accurately
system is faults
diagnose shown in Figure
even 9b.environment.
in a real Figure 10 shows the diagnosis result of bearing fault of an induction
motor in a real environment. Figure 10a shows the induction motor with a bearing fault used in the test,
and Figure 10b shows the bearing fault in the LED, indicating the output of the fault diagnosis system.
The experimental results show that the proposed fault diagnosis system can accurately diagnose faults
even in a real environment.
Appl. Sci. 2019, 9, 2950 8 of 10
Appl. Sci.
Appl. Sci. 2018,
2018, 8,
8, xx 88 of
of 10
10

(a) Experimental
(a) Experimental setup
setup for
for rotor
rotor fault
fault diagnosis.
diagnosis.

(b) Fault
(b) Fault diagnosis
diagnosis result.
result.
Figure9.9.
Figure
Figure 9.Diagnosis
Diagnosisresults
Diagnosis results for
for rotor
for rotor fault
rotor fault in
faultin real
inreal environment.
realenvironment.
environment.

(a) Experimental
(a) Experimental setup
setup for
for bearing
bearing fault
fault diagnosis.
diagnosis.

(b) Fault
(b) Fault diagnosis
diagnosis result.
result.
Figure10.
Figure
Figure 10.Diagnosis
10. Diagnosisresults
Diagnosis results for
for bearing
for bearing fault
bearing fault in
faultin real
inreal environment.
realenvironment.
environment.

5. Conclusion
5. Conclusion
Appl. Sci. 2019, 9, 2950 9 of 10

5. Conclusions
In this paper, an induction motor fault diagnosis system based on a CNN is proposed. In the
proposed method, fault diagnosis of an induction motor is performed by inputting the data obtained
from a simulator into the CNN. As a result, we could confirm that the motor state was diagnosed
accurately from the motor data obtained using the simulator and that fault diagnosis can be performed
without frequency domain transformation. In this study, fault diagnosis of an induction motor was
performed in three states, namely, normal, rotor fault, and bearing fault. The experimental results
confirm that the proposed method is suitable for diagnosing rotor and bearing faults of induction
motors. In addition, a GUI for fault diagnosis was developed and applied to a real environment. In the
real environment, the accuracy of the fault diagnosis system was 98%, 98%, and 100% for the normal,
rotor fault, and bearing fault states of induction motors.
The proposed induction motor fault diagnosis system is expected to contribute to the maintenance
of facilities and reduce costs by preliminarily estimating the existence of a fault in a real plant.
The performance of the system was verified through experiments on real data obtained using a
simulator. It is expected that the fault diagnosis technology developed in this study will be applicable
to similar systems and devices. In the future, studies will be conducted to apply the proposed method
to industrial equipment.

Author Contributions: Methodology, J.-H.L. and I.-S.L.; Investigation, J.-H.L., J.-H.P. and I.-S.L.; Experiments,
J.-H.L. and J.-H.P.; Data analysis, J.-H.L. and I.-S.L.; Writing-original draft, J.-H.L.; Writing-review & editing, I.-S.L.
Funding: This research was supported by Basic Science Research Program through the National Research
Foundation of Korea (NRF) funded by the Ministry of Education (No. 2019R1I1A3A01058319). Additionally, this
study was supported by the BK21 Plus project funded by the Ministry of Education, Korea (21A20131600011).
Conflicts of Interest: The authors declare no conflict of interest.

References
1. Lee, I.S. Fault Diagnosis System Development of Induction Motors Using Discrete Wavelet Transform and
Neural Network. J. Korean Inst. Inf. Technol. 2018, 9, 53–61. [CrossRef]
2. Lee, I.S. Fault Diagnosis of Induction Motors Using Discrete Wavelet Transform and Artificial Neural
Network. In Proceedings of the International Conference on Human-Computer Interaction, Orlando, FL,
USA, 9–14 July 2011; pp. 9–14.
3. Vas, P. Parameter Estimation, Condition Monitoring, and Diagnosis of Electrical Machines; Oxford Science; Oxford
University Press: Oxford, UK, 1993.
4. Li, B.; Chow, M.Y.; Tipsuwan, Y.; Hung, J.C. Neural-network-based motor rolling bearing fault diagnosis.
IEEE Trans. Ind. Electron. 2000, 47, 1060–1069. [CrossRef]
5. Schoen, R.R.; Habetler, T.G.; Kamran, F.; Bartfield, R.G. Motor bearing damage detection using stator current
monitoring. IEEE Trans. Ind. Appl. 1995, 31, 1274–1279. [CrossRef]
6. Schoen, R.R.; Lin, B.K.; Habetler, T.G.; Schlag, J.H.; Farag, S. An unsupervised, on-line system for induction
motor fault detection using stator current monitoring. IEEE Trans. Ind. Appl. 1995, 31, 1280–1286. [CrossRef]
7. Ye, Z.; Wu, B.; Sadeghian, A. Current signature analysis of induction motor mechanical faults by wavelet
packet decomposition. IEEE Trans. Ind. Electron. 2003, 50, 1217–1228.
8. Calis, H.; Cakir, A. Experimental study for sensorless broken bar detection in induction motors.
Energy Convers. Manag. 2008, 49, 854–862. [CrossRef]
9. De Santiago-Perez, J.J.; Rivera-Guillen, J.R.; Amezquita-Sanchez, J.P.; Valtierra-Rodriguez, M.;
Romero-Troncoso, R.J.; Dominguez-Gonzalez, A. Fourier transform and image processing for automatic
detection of broken rotor bars in induction motors. Meas. Sci. Technol. 2018, 29, 095008. [CrossRef]
10. Glowacz, A. Acoustic based fault diagnosis of three-phase induction motor. Appl. Acoust. 2018, 137, 82–89.
[CrossRef]
11. Glowacz, A.; Glowacz, Z. Diagnosis of the three-phase induction motor using thermal imaging.
Infrared Phys. Technol. 2017, 81, 7–16. [CrossRef]
Appl. Sci. 2019, 9, 2950 10 of 10

12. Polycarpou, M.M.; Vemuri, A.T. Learning methodology for failure detection and accommodation.
IEEE Control. Syst. Mag. 1995, 15, 16–24.
13. Srinivasan, A.; Batur, C. Hopfield/ART-1 neural network-based fault detection and isolation. IEEE Trans.
Neural Netw. 1994, 5, 890–899. [CrossRef] [PubMed]
14. Lee, I.S.; Shin, P.J.; Jeon, G.J. Multiple faults diagnosis of a linear system using ART2 neural networks. J. Inst.
Control Robot. Syst. 1997, 3, 244–251.
15. Lee, I.S. Diagnostic system development for state monitoring of induction motor and oil level in press process
system. J. Korean Inst. Intell. Syst. 2009, 19, 706–712. [CrossRef]
16. Agarap, A.F. An architecture combining convolutional neural network (CNN) and support vector machine
(SVM) for image classification. arXiv 2017, arXiv:1712.03541.
17. Sun, W.; Zhao, R.; Yan, R.; Shao, S.; Chen, X. Convolutional discriminative feature learning for induction
motor fault diagnosis. IEEE Trans. Ind. Inform. 2017, 13, 1350–1359. [CrossRef]
18. Dasgupta, A.; Singh, S. A fully convolutional neural network based structured prediction approach towards
the retinal vessel segmentation. In Proceedings of the 2017 IEEE 14th International Symposium on Biomedical
Imaging, Melbourne, Australia, 18–21 April 2017; pp. 248–251.
19. Zhao, R.; Yan, R.; Chen, Z.; Mao, K.; Wang, P.; Gao, R.X. Deep learning and its applications to machine health
monitoring. Mech. Syst. Signal Process. 2019, 115, 213–237. [CrossRef]
20. Tao, S.; Zhang, T.; Yang, J.; Wang, X.; Lu, W. Bearing fault diagnosis method based on stacked autoencoder
and softmax regression. In Proceedings of the 2015 34th Chinese Control Conference, Hangzhou, China,
28–30 July 2015; pp. 6331–6335.
21. Tieleman, T.; Hinton, G. Lecture 6.5-rmsprop: Divide the gradient by a running average of its recent
magnitude. COURSERA Neural Netw. Mach. Learn. 2012, 4, 26–31.

© 2019 by the authors. Licensee MDPI, Basel, Switzerland. This article is an open access
article distributed under the terms and conditions of the Creative Commons Attribution
(CC BY) license (http://creativecommons.org/licenses/by/4.0/).