Journal of Vibration Engineering & Technologies (2021) 9:643–674

https://doi.org/10.1007/s42417-020-00253-y

REVIEW

Condition Monitoring and Fault Diagnosis of Induction Motor

Swapnil K. Gundewar1   · Prasad V. Kane1

Received: 4 July 2020 / Revised: 23 September 2020 / Accepted: 29 September 2020 / Published online: 16 October 2020
© Krishtel eMaging Solutions Private Limited 2020

Abstract
Background  An induction motor is at the heart of every rotating machine and hence it is a very vital component. Almost in
every industry, around 90% of the machines apply an induction motor as a prime mover. It is a very important driving unit
of the machine. Hence, it is necessary to monitor its condition to avoid any catastrophic failure and stoppage of production.
The breakdown of the induction motor would not be affordable due to remarkable financial loss, unpredicted shutdown, and
the associated repair cost.
Purpose  Vibration is a manifestation of induction motor due to the issues in alignment, balancing, and clearances. Bearing,
the most vulnerable to failure due to continuous working under fatigue loading leads to defects. These defects cause changes
in the vibration signature over time. The vibration monitoring techniques helps to effectively diagnose mechanical faults
such as bearing defect and stator rotor rub. The purpose of this review paper is to summarize the major faults in induction
motor, recent diagnostics methods augmented with advanced signal processing techniques, and real-life applications in
electric vehicles. It also discusses possible research gaps and opportunities to contribute based on the review findings in the
field of condition monitoring.
Methods  This article presents a detailed review of recent trends in the research of condition monitoring and fault diagnosis
of the induction motor. The emphasis is given on the major faults in the induction motor covering time-domain, frequency-
domain, and time–frequency domain methods along with an application of artificial intelligence techniques for fault detection.
Review Factor  This article presents a comprehensive review of literature which highlights the development and new propo-
sitions by researchers in the field of diagnostic techniques for the different faults of induction motor in the last decade.
Researchers documented applications of the different conventional methods, advanced signal processing techniques, and
soft computing techniques for fault identification of induction motor. This review is carried out for fault identification of
induction motor used in machines in general and in particular for identifying the faults in an induction motor of an electric
vehicle. A dedicated discussion on the review findings, research gaps, future trends in the field of condition monitoring of
induction motor is presented. Condition monitoring of the induction motor in an electric vehicle is also discussed in this paper.
Conclusions  It is observed that the vibration-based techniques are reported to be effective for the identification of mechani-
cal faults while motor current signature analysis is effective for electrical fault in an induction motor. The review presented
to analyze the suitability of various condition monitoring techniques for the induction motor fault identification in general
and particularly its application in an electric vehicle. It is observed that the diagnosis of faults at the incipient level without
using the signal processing technique is challenging. Fault diagnosis of induction motor has witnessed the changes from
traditional diagnosis techniques to advanced techniques with a hybrid application of signal processing and artificial intel-
ligence techniques. Still, there is a potential of improvement in reliability, efficiency, robustness, computational time, and
real-time diagnostics of faults in IM.

Keywords  Induction motor · Faults · Diagnostic techniques · Artificial intelligence techniques · Electric vehicles ·
Vibration monitoring

* Swapnil K. Gundewar
swapnilkgundewar32@gmail.com
Extended author information available on the last page of the article

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644 Journal of Vibration Engineering & Technologies (2021) 9:643–674

Introduction as shown in Fig. 1. The probable causes for these faults

Induction Motors (IM) are getting increasing popularity
in various machines and automobiles due to their abil-
ity to work with the best quality of energy i.e. electrical
energy. The availability of these machines is dependent on
the health of this prime mover. Hence, its diagnostics and
prognostics have gained importance in this era of Industry
4.0. This review is carried out to understand the develop-
ment in the diagnostics of IM in general and in particular
its application in an electric vehicle (EV). The twenty-first
century would be widely populated by EV’s and at the
heart of it would be an IM. It is expected that the global
share of EV will be around 22% by 2030 [1]. Failure of
the motor components would not be affordable in the All-
Electric Type of vehicles which applies a dedicated IM
for propulsion. The same is the case with other machines
applying an IM in the industry. With such a huge demand
for IMs, the dependency on an IM is increased. The IMs
are single-phase and poly-phase depending on the machine
requirement.
The IM consists of mechanical and electrical compo-
nents such as stator, rotor, bearing, winding, and end rings,
etc. IM operates in extreme industrial and environmental
conditions and witnesses different types of stresses. These
stresses lead to various faults in IM which can be classified
may be summarized such as (1) harsh environmental con-
ditions, (2) Improper rated power or voltage, (3) overload
or unbalanced load (4) improper installation and (5) con-
tamination and corrosion [2].
The physics of the phenomenon is different for every fault
which gets manifested in different parameters such as vibra-
tion, current, and acoustics. These parameters need to be
monitored and it would be suitable for the diagnosis of these
faults. Table 1 highlights the different condition monitoring
techniques and the physical parameters for the monitoring
of major components in the IM.
In this endeavor, many researchers have documented
their work for effective fault diagnosis of IM. Liu and
Bazzi, Zhang et al., Riera-Guasp et al., Gangsar and Tiwari,
Chaoudhary et al., and Siddiqui et al. [23–28] have sum-
marised the development reported in the field of IM fault
diagnosis techniques in their review papers. Liu and Bazzi
[23] in their review paper elaborated on the fault diagnosis
method based on the application of time-domain analysis,
frequency-domain analysis, time–frequency domain analy-
sis, and AI techniques for squirrel cage IMs. In this work,
they reported the need for an integrated methodology to
identify all the four major faults in the IM. Zhang et al. [24]
have presented a survey on condition monitoring of medium
voltage IM. Authors reported that the medium voltage IM
are rotor dependent and rotor related faults need special

IM Faults Classification

Mechanical Faults Electrical Faults Environmental Faults

Bearing Inter-turn short circuit Fault High Temperature

Broken Rotor Bar Reverse Phase sequencing

High Humidity

Unbalance Earth fault

Vibration

Eccentricity Crawling fault

Stator Damage Stator Damage

Over/under voltage fault

Fig. 1  Classification of induction motor faults

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Journal of Vibration Engineering & Technologies (2021) 9:643–674 645
Table 1  Condition monitoring Condition monitoring technique
techniques with physical
parameter and motor Vibration monitoring
components
Acoustic monitoring
Motor current signature analysis
Stray flux analysis
Shock pulse monitoring
Instantaneous output power varia-
tion analysis
Thermography
attention. Recently, Gangsar and Tiwari [26] presented a
review on the signal based condition monitoring and fault
diagnosis of IM by classifying the faults in IM as mechanical
faults and electrical faults. In this work, they reported that
the AI-based condition monitoring and fault diagnosis of
IM still needs more attention and encouragement. Several
published review articles focus on an individual fault such as
stator fault [12, 29], rotor fault [30], bearing fault [31–35],
and air gap eccentricity [36]. It is observed that the review
paper with a comprehensive discussion on the recent devel-
opment reported in fault identification of all these major
faults along with signal processing and AI techniques are
rare.
As depicted in Fig. 1, in fault classification, there are
many faults such as winding fault, torque fluctuations, air
gap eccentricity, unbalance, and stator damage, etc. How-
ever, only major faults that are reported in the literature
are studied and summarized in this paper. The next section
hightlights the major faults of IM and it also discusses sig-
nal processing techniques and diagnostics techniques for
its identification as reported in the literature. “Condition
Monitoring Using AI Techniques” outlines the application
of AI techniques for condition monitoring of IM. “Condition
Monitoring of IM in Electric Vehicle” gives an overview
of the developments in condition monitoring of the IM in
an electric vehicle. “Review Findings and Discussions” dis-
cusses review findings, research gaps, and ideas for future
research. “Research Gaps and Ideas for Future Research”
concludes the findings of this paper.
Major Faults in Induction Motor
The important components of IM are bearings, stator, and
rotor which decide its functional effectiveness. The results
demonstrated by various researchers for fault identification
in these components of IM are summarised in the following
sections. The sectional view indicating the various compo-
nents of the IM is shown in Fig. 2
Physical parameter Motor components
Vibration levels and frequencies Bearings [3–5]
Acoustic output Bearings [6–8]
Current signal Stator winding [9–12], broken
rotor bar [13, 14], bearings
[15]
Stray flux Rotor eccentricity [16]
Vibration and shock pulse Bearings [17]
Instantaneous power Stator winding [18, 19]
Temperature Bearings [20–22]
Fig. 2  Components of the induction motor [37]
Bearing Faults
In an IM, ball bearings and roller bearings are commonly
used to support the rotor in the motor housing. Bearing
faults are responsible for 40–45% of failures in the IM
[2]. Bearings in the IM are subjected to continuous load-
ing, shock loadings due to unbalance and misalignment,
and other stresses leading to its wear and tear. The faults
generated in the bearings are localized faults and distrib-
uted faults. The defect present on the entire surface of
the bearing is known as a distributed fault. The defect
present at a specific location on the bearing is known as
a localized fault. Based on the location of a fault, bearing
defects are characterized as inner race defect (IRD), outer
race defect (ORD), ball defect (BD), and cage defect (CD).
Each defect produces an impulse in the vibration spec-
trum. The impulses produced in the bearing at a particular
frequency are known as bearing characteristic frequency.
This characteristic frequency depends on the speed of rota-
tion and bearing specifications [33].
The formulas for the evaluation of characteristic defect
frequencies [38] in the vibration spectrum are shown in
Table 2.
During the motor current signature analysis, the defect
frequencies of the bearing also get reflected in the current
spectrum which is given by
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646
Table 2  Characteristic vibration defect frequency
Characteristic frequency Formula (Hz)
Ball pass frequency outer
( )
n N
2 60
1−
Ball pass frequency inner
( )
n N
2 60
1+
Ball spin frequency
D
[1 − ( Dd Cos 𝛼) 2]
2d (
Fault train frequency
1 N d
2 60
1 − D
Cos𝛼
N is the speed of shaft in revolutions per minute(RPM), n is the num-
ber of balls in bearing, 𝛼 is the contact angle of the bearing due to
load from the radial plane, d is the diameter of the ball and, D is the
mean diameter of bearing
( )
fcurrent = fs + mfv ,
where m is the integer 1,2,3…, fs is current supply frequency
and fv is any one of the vibration characteristic frequency.
Plentiful of literature have been reported on bearing fault
diagnosis in IM using various techniques such as vibration-
based, acoustic-based, motor current signature-based tech-
niques. Fabio Immovilli et al. [39] proposed a new method
to model bearing fault which is based on a torque distur-
bance. They also reported the application of traditional
signal processing techniques, and advanced signal process-
ing techniques such as discrete Fourier transform (DFT),
Hilbert transform (HT), and envelope analysis (EA), etc.
on the acquired vibration and current signal. In this study,
it is reported that EA overcomes the HT in terms of sen-
sitivity at a reduced computation cost. Zhang et al. [40]
reported that the major challenge in bearing fault diagnosis
is the nonlinearity in vibration and to tackle this issue, they
applied multi-scale entropy (MSE) and adaptive neuro-fuzzy
inference system (ANFIS). In this work, they proposed that
multi-scale entropy can extract more diagnostic information
compared to traditional single scale based entropy.
In the literature reviewed, it is found that most of the tech-
niques applied in fault diagnosis of IM are focusing on the
identification of a single fault. The research papers reporting
the fault diagnosis techniques for the identification of mul-
tiple faults are to be rare. Saidi et al. [41] presented a stator
current bispectrum pattern to identify multiple combined
faults in the IM. In this work, they reported that the Bispec-
trum reduces the computational time than the higher-order
spectrum analysis without affecting the accuracy. Emin Ger-
man et al. [6] demonstrated the application of the self organ-
izing map (SOM) on the acoustic data acquired from mul-
tiple microphones to identify faults in an IM. The authors
proposed that SOM provides a powerful method based on
the Hebbian type neural network for classification.
In the literature, research papers highlighting the fault
diagnosis of low-speed bearing were found to be rare. Low
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Journal of Vibration Engineering & Technologies (2021) 9:643–674
speed rolling element bearing fault diagnosis is demon-
strated using features extracted from acoustic emission sig-
nal and classified using support vector machine genetic algo-
rithm (SVMGA) [42]. Omoregbee et al. [42] found SVMGA
d
D
Cos𝛼
with the Gaussian kernel function to be superior compared
to the exponential kernel function in the classification of the
d
D
Cos 𝛼
fault. Agrawal and Jayaswal [43] presented a comparative
study of artificial neural network (ANN) and support vec-
)
tor machine (SVM) using Morlet wavelet based on energy
and entropy for bearing fault detection and diagnosis. It is
reported that SVM performed better with the accuracy of
100% due to its better generalization capability while ANN
achieved 96% accuracy.
Researchers adopted different condition monitoring
parameters, signal processing techniques, and classification
(1) tools for the bearing fault diagnosis, the summary of which
is presented in Table 3.
It is observed that authors have not reported many details
such as fault size, fault types induced in motor components
in most of the literature published. The other details such as
data acquisition error, sensors sensitivity, and position of
sensors, etc., are also not found to be reported in the litera-
ture. Bearing is the most vital element of IM which is contin-
uously subjected to wear and hence, it is at the focus of fault
diagnosis for many researchers. Few researchers reported the
comparison of diagnostic ability of vibration-based, MCSA-
based, and acoustic monitoring-based techniques, etc. [39,
61, 62]. Vibration monitoring based techniques are found
to be more effective for bearing fault diagnosis compared
to current monitoring techniques [39]. Trajin B et al. [61]
concluded that though vibration-based techniques are expen-
sive, they found wide applicability in comparison to MCSA.
In the conventional condition monitoring, the prognostic of
bearing based on increasing trends of the vibration amplitude
level was a challenging task. Hence, to address this challenge
many models have been reported in the literature. Sawalhi and
Randall, Cao and Xiao, Tadina and Boltezar and Petersen et al.
have proposed models for the localized defect to quantify the
presence of raceway spall [63–67]. However, in these models,
the finite size of the rolling element is neglected which affects
the prediction of accurate bearing response. However, Ahmadi
et al. [68] presented a nonlinear multi-body dynamic model
considering the finite size of the rolling element. This model
is used to predict the contact forces and time-domain vibration
response using multi-body dynamics. Bearing defect size esti-
mation at an early stage is important to take corrective action
before the defect becomes severe. In the defective raceways
of bearing with the passage of rolling element over spall, low
frequency, and high-frequency components are excited [69,
70]. Based on the time difference between low frequency and
high-frequency components few defect size estimation meth-
ods are proposed [71, 72]. Though few of the models have con-
sidered the mass of the rolling element, they did not consider
 Table 3  Summary of bearing fault diagnosis in IM
Reference and year
Immovilli et al. [44], (2010)
Zhang et al. [45], (2010)
Ece and Basran [46], (2011)
Mehala and Dahiya [47],
(2011)
Da Costa et al. [48], (2011)
Konar and Chattopadhyay
[49]
Saidi et al. [41], (2012)
Germen et al. [6], (2014)
Unal et al. [5], (2014)
13
Condition monitoring param-
eter
Vibration and stator current
Vibration signal
Current signal
Current signal
Vibration and current signal
Vibration signal
Current signal
Acoustic signal
Vibration signal
Signal processing technique
DFT, HT, and EA
Multi-scale entropy
Wavelet Packet Transform
(WPT)
– Current pattern
FFT, frequency Impulse
response filter
Continuous wavelet transform SVM
Modulation signal bispectrum –
Correlation and wavelet-based Self -organizing maps (SOM), Bearing fault diagnosis using Using the LVQ algorithm 100%
analysis
Envelope and FFT
AI technique Aim Accuracy/achievements and
limitations
– Bearing fault detection usingDeveloped a theoretical relation
vibration and current sensor between torque disturbance
and amplitude of the current
spectrum
ANFIS Bearing fault detection using The proposed technique allows
multi-scale entropy and the classification of fault and
adaptive neuro-fuzzy inter- identification of fault severity
face system with 97.5% accuracy
Linear Discriminant Classifier Condition monitoring of The proposed technique used
(LDA), quadratic discrimi- speed-controlled IM using coefficients obtained from
nant Classifier (QDC) wavelet packets and discri- different wavelets and fault
minant classifier classification accuracy is
compared for LDA, QDC,
and Fishers linear discrimi-
nant classifier where QDC
performed better as compared
Journal of Vibration Engineering & Technologies (2021) 9:643–674
to the other two classifiers
Bearing fault diagnosis using Using the shape of the current
the Parks vector technique pattern, healthy and faulty
bearing identified
– Real-time fault diagnosis of Modelling, simulation, and
IM using vibration measure- real-time vibration analysis,
ment based on a field-programma-
ble gate array is presented
Bearing fault diagnosis using The hybrid CWT-SVM was
wavelets and SVM used in bearing fault diag-
nosis which achieved the
accuracy of 100% for wavelet
scale 1–8
Bearing fault diagnosis with Modulation signal bispectrum
the help of signal bispec- showed reliable performance
trum analysis of the motor for extracting small changes
current signal from the faulty bearing in the
fault diagnosis
learning vector quantization a sound-based Kohonen classification accuracy
(LVQ) self-organizing maps obtained
ANN Bearing fault diagnosis using ANN model with genetic
genetic algorithm (GA) algorithm optimization gave a
optimized neural network 98% success rate
647

Table 3  (continued)
Reference and year
13
Yang et al. [50], (2014)
Kang et al. [7], (2015)
Wu et al. [51], (2015)
Vishwakarma et al. [52],
(2015)
Ghods et al. [53], (2016)
Zhang et al. [54], (2016)
Guo et al. [3], (2016)
Patel and Giri [55], (2016)
Condition monitoring param-
eter
Vibration signal
Acoustic signal
Vibration signal
Vibration signal
Current signal
Vibration signal
Vibration signal
Vibration signal
Signal processing technique AI technique Aim
FFT – Bearing fault diagnosis using
shock pulse method (SPM)
WPT Multiclass support vector Low speed bearing fault
machine (MSVM) diagnosis using binary
bat algorithm-based fault
feature analysis
WPT ANN Bearing fault diagnosis using
various signal processing
techniques and ANN
Wavelet packet decomposition SVM Bearing fault diagnosis using
wavelet packet decomposi-
tion and SVM
Low pass filter and frequency – Bearing fault detection using
domain discrete wavelet probabilistic frequency
transform (FD-DWT) domain discrete wavelet
transform
Kurtosis based wavelet sparse – Bearing fault diagnosis using
decomposition kurtosis based weighted
sparse model with a convex
optimization technique
– Adaptive deep convolution Bearing fault diagnosis using
neural network (ADCNN) hierarchical adaptive deep
convolution neural network
– ANN and random forest (RF) Bearing fault diagnosis in an
IM using RF and ANN
648
Accuracy/achievements and
limitations
Analyzing the frequency spec-
trum obtained from the SPM
instrument, the faulty bearing
is located accurately
The average classification
accuracy obtained is 94.9,
95.8, and 98.4% in 20, 80,
and 140 RPM on a low-speed
machinery fault simulator
The proposed method achieved
90% accuracy with the
Daubechies wavelet
The proposed technique used
3rd level wavelet packet
decomposition for feature
extraction and SVM is used
as a classifier which achieved
100% classification accuracy
Proposed FD-DWT made the
detection process valid for
more variety of faults condi-
tions and results in earlier
detection of faults
Kurtosis wavelet sparse
decomposition maximally
extracts the feature informa-
tion and removes the impulse
frequency band splitting
phenomenon
Proposed ADCNN given the
100% classification accuracy
for inner and outer race fault
while 99.3% for ball fault in
the bearing
The proposed method extracted
the statistical features from
the acquired vibration signal
and performed the classifica-
tion with ANN and RF where
RF outperformed ANN
Journal of Vibration Engineering & Technologies (2021) 9:643–674
 Table 3  (continued)
Reference and year
He et al. [56], (2017)
Janessens et al. [20], (2017)
Deng et al. [57], (2018)
Li et al. [4], (2018)
Gangsar and Tiwari [58],
(2019)
Eren et al. [59], (2019)
Zhang et al. [60], (2020)
13
Condition monitoring param-
eter
Vibration signal
Temperature
Vibration signal
Vibration signal
Vibration and current signal
Vibration signal
Vibration signal
Signal processing technique
Convex sparsity-based regu-
larization decomposition
Windowing
Empirical wavelet transform,
fuzzy entropy
Hierarchical symbol dynamic
entropy
WPT
– 1D-CNN
2D grayscale image from the
acquired vibration signal
AI technique Aim
The repetitive transients Bearing fault diagnosis using
extraction algorithm repetitive transients extrac-
(RTEA) tion algorithm
Random decision forest classi- Bearing fault diagnosis using
fier (RDF) thermal imaging
Support vector machine Bearing fault diagnosis based
on integrating empirical
wavelet transform, fuzzy
entropy and support vector
machine (EWTFSFD)
Binary tree support vector Rolling bearing fault diag-
machine nosis using hierarchical
symbol dynamic entropy
and binary tree support vec-
tor machine
SVM Multi-fault diagnosis of an IM Wavelet decompositions are
using WPT and SVM
Bearing fault diagnosis The proposed methodology
using compact adaptive 1D
convolution neural network
(CNN) classifier
CNN with 2 dropout layer and Bearing fault diagnosis using The proposed DFCNN directly
2 fully connected layer modified CNN
(DFCNN)
Accuracy/achievements and
limitations
The proposed RTEA technique
can successfully uproot the
repetitive transients produced
by faulty bearings
The proposed methodology
diagnosed a bearing fault with
an accuracy of 88.25%
The proposed EWTFSFD
method shown better clas-
sification accuracy than
EMDFSFD and the methods
based on empirical wave-
let transform and Hilbert
transform
The proposed method showed
the100% accuracy for rolling
Journal of Vibration Engineering & Technologies (2021) 9:643–674
bearing fault diagnosis
applied to the acquired vibra-
tion and current signal data.
All the wavelet with specific
feature perform well for fault
diagnosis
achieved a 97% fault diagno-
sis accuracy
extract the features from the
time domain raw signal and
overcomes SVM, MLP and
deep belief network (DBN)
in terms of classification
accuracy
649

650
both mass and the finite size of the rolling element [66, 73,
74]. Ahmadi et al. [69] accurately estimated the defect size
using the time difference between entry and exit in the spall
of the defective raceway of a bearing. This time difference is
calculated based on the bearing maximum load and stiffness.
Though the proposed model predicts the defect size accurately,
it is found quite challenging to predict it with the variation
in load and stiffness. Chen and Kurfes [75] presented a new
defect size estimation model which is free from bearing load
and stiffness. In the proposed methodology Hertezian contact
theorem, vibration signal and bearing geometry were used to
detect for the estimation of defect size.
Accurate prediction of the remaining useful life (RUL) of
a bearing is important to improve reliability and avoid break-
down. Ali et al. [76], Tian [77], Mahamad et al. [78] elaborated
different models for estimation of the remaining useful life of
bearing using ANN. Ali et al. [76] predicted RUL of bearing
using a combination of simplified adaptive resonance theory
map neural network and Weibull distribution. Recently, Pan
et al. [79] applied relative root mean square value (RRMSV)
as an indicator for the prediction of RUL of bearing. In this
study, the authors proposed that RRMSV effectively predicted
the RUL which they validated using the cumulative relative
accuracy score and converge rate. Malla and Panigrahi [35]
reported that the vibration monitoring technique gives better
results for fault diagnosis of rolling element bearing. Fault
diagnosis accuracy depends upon several parameters such as
a selected condition monitoring parameter, sensor position,
sensor sensitivity, the sampling frequency for data acquisition,
and data processing technique.
Rotor Faults
The rotor bar is the main driving shaft in IM through which the
torque and speed are transferred. It is reported in the literature
that rotor bar faults are responsible for 8–10% of failure in an
IM [2]. The rotor is supported on two bearings, one at the drive
end and another at the fan end. Rotor faults can be classified
as rotor bow, broken rotor cage bars, ends ring damage, and
rotor eccentricity. Causes for different rotor faults are tabulated
in Table 4.
Broken rotor bars (BRB) can increase the current consump-
tion by 50% of the rated current and reduces the efficiency of
the motor [80]. The rotor fault will also overheat the adjacent
rotor bar and it is responsible for increasing the severity of the
fault. In the current spectrum, BRB fault is indicated by the
sideband components which is given by
frotor = (1 ± 2s)f . (2)
Two types of sidebands are found in the spectrum, upper
sidebands, and lower sidebands. Upper sidebands are found
due to speed oscillations while lower sidebands are found
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Journal of Vibration Engineering & Technologies (2021) 9:643–674
Table 4  Rotor bar faults and causes
Rotor faults Causes
Rotor eccentricity An asymmetric air gap between stator and rotor
Broken rotor bar Due to stresses/improper rotor design
End ring damage Defective casting/poor end-ring joints
Rotor bow Asymmetric heating/cooling of the symmetrical
rotor
due to BRB. The sequence of sidebands indicates the pres-
ence of BRB:
frotor = (1 ± 2ks)f . (3)
Loading on the motor also influences these sidebands’
amplitude. These spectral components in the stator line cur-
rent are specified by,
(( ) )
k
frotor = (1 − s) ± s f , (4)
p
where f is supply frequency, p is the number of poles, s is
the slip of motor, k is the integer 1,2,3…
Though the MCSA technique is generally followed for
BRB, many researchers have reported experimental inves-
tigations on the rotor fault identification by applying other
techniques also. Armaki and Roshanfekr [81] extracted fea-
tures such as harmonic curve area, harmonic crest angle,
and harmonic amplitude from the power spectral density of
stator current, and these features are used in the SVM clas-
sifier for identifying BRB. Ebrahimi et al. [82] proposed two
novel indices based on the amplitude of stator current signal
in a fixed frequency band and the wavelet coefficient for the
BRB fault diagnosis. They reported that these indices can
diagnose the fault and number of BRB at different loading
conditions. Liang et al. [83] compared the effectiveness of
the power spectrum, cepstrum, and higher-order spectra of
the vibration, phase current, and transient speed analysis
for the rotor fault diagnosis. The authors concluded that the
combination of spectrum, cepstrum, and higher-order spec-
tra along with the ANN is an efficient tool for fault diagnosis
of IM. Gu et al. [84] presented the modulation signal bispec-
trum based sideband estimator (MSB–SE) for the rotor fault
diagnosis. In this work, they proposed that MSB–SE have
better ability of noise suppression for the accurate prediction
of the number of BRB in comparison to conventional power
spectrum analysis technique.
Houssin et al. [85] proposed that in a current spectrum
analysis using FFT, the frequency resolution is limited and
additional post-processing is needed to extract relevant fault
detection criteria. Hence, to overcome these limitations,
a new parametric spectral estimator based on the maxi-
mum likelihood estimator (MLE) having high-resolution
Journal of Vibration Engineering & Technologies (2021) 9:643–674 651
capabilities is presented. Literature reported a wide appli-
cation of MCSA for condition monitoring of the electric
motors. However, its limited accuracy for the incipient BRB
motivated the researchers for the improvement.
In industry, most of the IM’s are connected to inverter fed
drive due to better dynamic response and improved speed
regulation. But, in inverter fed IM, undesired harmonics
from the inverter create problems in rotor fault diagnosis.
Romero-Troncoso et al. [86] proposed a detection methodol-
ogy based on the combination of two technologies i.e., com-
plete ensemble empirical mode decomposition (CEEMD)
and multiple signal classification (MUSIC) which is pro-
posed to be sensitive enough to detect the faults for an
inverter fed IM. The CEEMD can identify the intrinsic mode
function (IMF) in the signal which affects the fault-related
harmonics and MUSIC removes the Eigenvalues which
are considered as noise from the combined IMF. Hence,
CEEMD–MUSIC is proposed to be a powerful technique
even in a noisy environment.
Iglesias-Martínez et al. [87] proposed the indicators based
on the sum of the mean value of the Bispectrum and square
value of the median of the auto-covariance function to differ-
entiate between the healthy and faulty rotor condition. Rotor
stator rub is one of the most common problems faced by
rotating machines. In the diagnosis of stator rotor partial rub,
Braut et al. [88] applied instantaneous angular speed (IAS)
measurement with variation mode decomposition (VMD)
and concluded that VMD spectrograms of IAS signal can
detect partial rotor–stator rubbing with the presence of 1/2X,
3/2X, and 5/2X fractional harmonics.
Table 5 summarises the contribution of researchers dem-
onstrating different techniques for BRB fault detection
From the review of the literature, it is observed that the
rotor bar fault does not occur frequently. It is difficult to
diagnose the rotor fault in the IM since the sidebands are
very near to the supply frequency. Rotor bar fault can cause
a secondary failure which can lead to other serious mal-
functions. Research papers on the rotor bar fault diagnosis
highlights the use of physical parameters such as acoustic
[97], airgap torque [103], induced voltage [104], instan-
taneous angular speed [84], instantaneous power [105],
vibration [83, 101] and stator current [35, 41, 42], etc. The
real-life application of the various proposed advanced condi-
tion monitoring and signal processing techniques imposes
challenges for the commercial practitioners for its judicious
selection.
Air Gap Eccentricity
The air gap between the stator and rotor is a very impor-
tant functional requirement of the IM. An uneven air gap
between the stator and rotor leads to an eccentricity fault.
An eccentricity fault results in an unbalanced radial force
which causes the rubbing action of the rotor with the stator.
The rubbing of a rotor with stator can develop stator and
rotor fault. Air gap eccentricity is of two types viz. static
eccentricity and dynamic eccentricity. In the event of static
eccentricity, the location of the minimum air gap length
is fixed in space. It is due to the improper installation of
the rotor or it is due to the ovality of the stator core. In
dynamic eccentricity, the centre of the rotor is not at the
centre of rotation, and the position for the minimum air gap
between rotor and stator changes with the rotation of the
rotor. Dynamic air gap eccentricity can be caused by reso-
nance at critical speed, bow in rotor shaft, bearing wear, or
misalignment. It is reported that in general, 10% of air gap
eccentricity is permitted [2].
In the IM, both static and dynamic eccentricity coexists.
This static and dynamic eccentricity can be identified using
MCSA in which it is specified by the frequency component
( )
) (1 − s)
(5)
(
fecentricity = f kR ± nd ±𝜐 ,
p
where nd = 0 (for static eccentricity)
 = 1,2,3,4…. (for dynamic eccentricity)
f is fundamental supply frequency, s is the slip, p is the
number of pole pairs, k is an integer, 𝜐 is the order of stator
time harmonics present in power supply which drive the
motor
In case if both static and dynamic eccentricity coexists
together, then the low-frequency component found closer
to the fundamental frequency component which is given by
(6)
( )
f1 = f ± kfr ,
where fr is the mechanical rotational frequency which is
given by
f
fr = (1 − s) s . (7)
p
Vibration signals can also be used for monitoring eccen-
tricity fault where the vibration component is given by
(8)
( )
fecentricity = 2f ± fr .
Many researchers have attempted to address the issue of
air gap eccentricity diagnosis. The magnetic flux density
of the IM is found to be used as a diagnostic tool as it is
highly sensitive to eccentricity [16]. Samaga and Vittal [106]
simulated the model of IM using multiple coupled circuit
and 2D winding function theory. In this work, in the search
of eccentricity characteristic defect frequency, the various
analyses such as MCSA, instantaneous power signature
analysis, and instantaneous power factor signature analysis
are carried out and Eigen value-based indicator is proposed
for health monitoring of IM. Samaga et al. [107] proposed
13

Table 5  Summary on rotor bar fault diagnosis in IM
Reference and year
13
Armaki and Roshanfekr et al.
[81], (2010)
Kurek et al. [89], (2010)
Garcia-Perez et al. [90],
(2011)
Ebrahimi et al. [82], (2012)
Liang et al. [83], (2013)
Keskes et al. [91], (2013)
Saidi et al. [92], (2013)
Condition monitoring param-
eter
Motor current, voltage, and
shaft field of one phase
Instantaneous form of phase
current, voltage, and shaft
magnetic field
Vibration and current signal
Motor current signal
Vibration signal, phase cur-
rent, transient speed
Motor current signal
Motor current signal
Signal processing technique
FFT
FFT
High-resolution spectral
analysis
FFT, multi-resolution tech-
nique using wavelets
Power spectrum, cepstrum
Stationary wavelet packet
transform
Power spectrum
Slices of bispectrum
AI technique Aim
SVM Broken Rotor bar fault diag-
nosis of IM using SVM
SVM To diagnose the BRB fault
in a squirrel cage IM using
SVM
MUSIC algorithm Multi-fault diagnosis in an
IM using high-resolution
spectral analysis
– Broken rotor bar fault diagno- The proposed indices based on
sis using wavelet transform
– IM fault diagnosis using
power spectrum, cepstrum,
higher-order spectrum
analysis
Multiclass SVM Broken rotor fault diagnosis
using stationary wavelet
packet transform and multi-
class wavelet SVM
– Broken rotor fault diagnosis
using higher-order spectra
652
Accuracy/achievements and
limitations
The proposed technique is
capable to detect the number
and location of faulty rotor
bars
The proposed method extracted
the features from the acquired
signal and concluded phase
current contains the most
valuable information to judge
the BRB and the severity of
the BRB
The proposed method combines
the finite impulse response
filter bank with high-
resolution spectral analysis
for the accurate diagnosis
of frequency-related fault in
the IM
wavelet coefficient and mean
current, capable to diagnose
the number and location of
broken rotor bar in different
load condition
A clear and different bispec-
trum pattern exists between
the healthy and faulty condi-
tions of the IM
The proposed technique used
Daubechies wavelet function
combined with one against
one (SVM methodology)
given the best classification
accuracy of 99%
Winger bispectrum and the
wavelet bispectrum can be
used for condition monitoring
in non-stationary conditions
Journal of Vibration Engineering & Technologies (2021) 9:643–674
 Table 5  (continued)
Reference and year
Gu et al. [84], (2015)
Palacios et al. [93], (2015)
Romero-Troncoso et al. [86],
(2016)
Sun et al. [94], (2016)
Camarena- Martinez et al.
[95], (2016)
Bessam et al. [96], (2016)
Delgado-Arredondo et al.
[97], (2017)
13
Condition monitoring param-
eter
Motor current signal
Motor current signal
Motor current signal
Vibration signal
Motor current signal
Current and harmonic fre-
quencies and corresponding
amplitudes
Vibration signal, acoustic
sound signal
Signal processing technique
Modulation signal bispectrum –
– F-naïve bayes, KNN, SVM
Complete ensemble empirical –
mode decomposition and
MUSIC
Sparse auto-encoder (SAE)
Synchro-squeezing transform
HT
Complete ensemble empirical –
mode decomposition
(CEEMD)
AI technique
and ANN
Deep neural network (DNN)
Pearson product-moment cor-
relation coefficient
ANN
Aim
Broken rotor bar fault diagno- The proposed estimator pro-
sis using modulation signal
Bispectrum of motor current the number of broken rotor
signals
A comprehensive evaluation
of intelligent classifier for
multiple faults in IM
Rotor bar fault diagnosis in
inverter fed IM using high-
resolution spectral analysis
at start-up and steady-state
condition
IM faults classification
using a sparse autoencoder
based deep neural network
approach
Broken rotor bar fault diagno- The proposed method found
sis using synchro-squeezing
transform
BRB fault diagnosis in an
IM at low load using neural
network
IM fault diagnosis using
sound and vibration signals
Accuracy/achievements and
limitations
duce more accurate results for
bar at different load condition
compared to power spectral
analysis
The proposed method achieved
the accuracy of 99.7% for the
BRB with ANN, MLP, and
KNN classifier
The proposed technique
is capable to detect fault
progression in the time–fre-
quency plane of single and
combined faults under startup
and steady-state inverter fed
Journal of Vibration Engineering & Technologies (2021) 9:643–674
IM
Sparse auto-encoder based
DNN shown an average clas-
sification accuracy of 97.61%
100% accurate for healthy,
1, and 2 broken rotor bars
condition while 50% for half-
broken rotor bar
The proposed method used the
current envelope via HT to
extract features. The extracted
feature is used to train the NN
which accurately diagnose
the BRB
The proposed methodology
provides superior noise
tolerance than FFT and the
derived spectrum is found
smooth. It is immensely
convenient in the condition
where acoustic sound and
vibration signals are the only
signals
653


Table 5  (continued)
654

Reference and year Condition monitoring param- Signal processing technique AI technique Aim Accuracy/achievements and
eter limitations

13
Malek et al. [98], (2017)
Singh and Naikam [99],
(2018)
Zgarni et al. [100], (2018)
Iglesias-Martinez et al. [87],
(2019)
Patel [101], (2019)
Hamid Khelfi and Samir
Hamdani [102], (2020)
Current signal HT
Current signal Spectrum analysis
Current signal Stationary wavelet packet
transform (SWPT)
Flux signal Bispectrum
Vibration signal Discrete wavelet transform
Three phase current intersec- Stator current amplitude
tion signal (TPCIS) modulation
– IM with broken rotor bar fault The proposed technique assist
location detection using to identify the specific loca-
envelope analysis of start- tion of a faulty rotor bar based
up current using Hilbert on the standard deviation of
transform the motor in the healthy and
faulty case of the IM
Motor square current multiple Half BRB fault diagnosis in The proposed square current
signal classification (MSC- VFD driven IM using MSC- signal generates more BRB
MUSIC) MUSIC analysis fault frequency component
which helps to easily diag-
nose the fault
Support vector data descrip- BRB fault diagnosis using The proposed SVDD consists
tion with multiclass SVM nested SVDD-MSVM of finding the hyper-sphere
able to include all the learn-
ing data. The SVDD-direct
acyclic graph (DAG) SVM
classifier achieved the clas-
sification with an accuracy
of 100%
– Rotor bar fault diagnosis Using stray flux indicator vari-
based on time–frequency ables discrimination between
analysis using bispectrum healthy and faulty motor can
and autocovariance of stray be done
flux signals
K-nearest neighbor classifier Partially damaged rotor bar The proposed technique has
fault diagnosis using dis- shown a classification accu-
crete wavelet transform racy of 96.55% for unload-
ing condition,80.5% for half
load, and 87.6% for full load
condition
TPCIS spectrum analysis Induction motor rotor fault The proposed TPCIS spectrum
diagnosis using three-phase analysis indicates the healthy
current intersection signal and broken rotor for low and
high load motor operation
Journal of Vibration Engineering & Technologies (2021) 9:643–674
Journal of Vibration Engineering & Technologies (2021) 9:643–674 655
the power factor fault severity factor (PFSF) which increases
with the increase in air gap eccentricity as a fault indicator
When IM operates with speed and load fluctuations, the
amplitude and frequency of current continuously changes
which results in the change of defect-related harmonics.
Akar [108] proposed the angular domain order tracking
(AD-OT) method to overcome frequency smearing issues.
In this work, the fault-related sidebands can be seen from
the first and third order components which help to diag-
nose the fault. Yahia et al. [109] proposed a discrete wave-
let transform (DWT) of the power signal to overcome the
FFT’s limitations due to the non-stationary nature of the
signal. It is proposed that DWT can effectively diagnose
the eccentricity fault without considering the changing val-
ues of a motor slip in dynamic conditions. To overcome the
limitations of traditional signal processing techniques such
as Fourier transform, Hilbert transform, short time Fourier
transform, Siddiqui et al. [110] proposed a wavelet transform
low-frequency approximation technique to differentiate the
healthy and faulty motor condition.
Table 6 presents a summary of recently reported literature
addressing the diagnosis techniques of air gap eccentricity.
Recently published research papers reports the applica-
tion of Vibration-based technique [106], flux monitoring
[16, 118], MCSA [107, 121], thermal monitoring [122],
etc. The flux monitoring technique reported to be the most
effective for diagnosing air gap eccentricity related faults.
Air gap changes reflect, few of the harmonics in the current
and voltage spectrum. The failure of IM due to eccentricity
related fault can exert an adverse effect on the motor such as
wear and tear, increment in the winding temperature, average
torque increment, etc. Hence it is essential to detect fault at
an incipient level to avoid its consequences.
Stator Faults
The stator is the most important component which develops
the rotating magnetic flux causing induced electromotive
force in the rotor. Stator faults are responsible for 30–40%
failures of IM [2]. Stator faults are classified into two types
as lamination and winding fault. Causes of stator faults can
be summarised as (1) loose bearing for end rings, (2) high
stator core and winding temperature, (3) slack core lamina-
tion, slot wedges, and joints, (4) contamination due to oil,
dirt, and moisture, (5) leakage in the cooling system
The coating is provided on winding to tackle against
the electric stress. During working conditions, along with
electrical stress, mechanical stress, environmental stress,
and thermal stress are also developed. Winding insulation
becomes weaker due to continuous operation with load
variation and due to the constant load at high tempera-
tures. Long exposure to a high temperature can melt the
insulation coating provided on winding wires. Thermal
stress is primarily a responsible source of winding insula-
tion decay and ultimate breakdown. The partial electric
discharge also causes a severe effect on winding insulation
coating. Partial discharge is a tiny electric spark that arises
within air bubbles in the winding insulation owing to non-
uniform electric field distribution. As partial discharge
starts, it continuously deteriorates the insulating material
of windings which results in electrical breakdown.
The stator fault of IM may affect the performance of
the system coupled with the motor leading to failure of the
entire system. MCSA is the most widely used technique for
the stator fault diagnosis in an IM. Few researchers have
reported the monitoring of axial flux to detect the stator
fault. The frequency component [2] of the axial flux in IM
is given by the following equation
( )
n(1 − s)
fstator = k + f, (9)
p
where k is an integer, s is the slip of motor, p is the number
of poles, and f is the supply frequency.
For the inter-turn fault diagnosis, Ghate and Dudul
[123] extracted the statistical features from the current
signal and applied these as input to multilayer perceptron
neural network (MLPNN) and SOM to identify faults.
They obtained the optimal results with the momentum
learning rule and Tanh transfer function for the classi-
fication of faults. To enhance the resilience against the
false alarms, D’Angelo et  al. [124] proposed two-step
formulation methodologies based on the fuzzy-Bayesian
change point detection approach for inceptive stator fault
identification. In this work, the authors concluded that the
proposed methodology does not need previous knowledge
of signal statistical distributions which has enhanced resil-
ience against the false alarms. Ukil et al. [125] presented
zero crossing instant (ZCI) signals for the stator short
circuit fault detection in a three-phase IM. In this work,
authors proposed the ZCI technique can efficiently work
for any frequency band of stator current and the need for
data points requirement is less compared to the traditional
MCSA technique.
An unbalance supply voltage can affect the stator cur-
rent three-phase shift of the IM. However, to recognize the
unbalance of currents caused due to inter-turn short circuit
(ITSC), Lasksri et al. [126] presented a back propagation
feed forward neural network based approach on the nega-
tive sequence voltage and three-phase shift. The negative
sequence voltage can identify the ITSC fault even at an
incipient stage. Godoy et al. [127] compared the perfor-
mance of three machine learning techniques i.e., fuzzy
adaptive resonance theory-supervised predictive map-
ping (ARTMAP), MLP-NN, and SVM for the diagnosis
of a stator winding fault severity in inverter fed IM. It is
13

Table 6  Summary on air gap eccentricity fault diagnosis in IM
Reference and year
13
Vitek et al. [16], (2010)
Hegde and Maruthi [111], (2012)
Salem et al. [112], (2012)
Tran et al. [113], (2013)
Mehmet Akar [108], (2013)
Yahia et al. [109], (2013)
Esfahani et al. [114], (2013)
Pons-Llinares et al. [115], (2014)
Condition monitoring parameter
Stray flux
Current and vibration signal
Current signal
Transient current
Transient current
Motor phase current and rotor speed
Apparent power signal
Current, vibration and acoustic
signal
Stator current signal
Signal processing technique
FFT
FFT
Advanced Hilbert Park transform
(AHPT)
Fourier Bessel expansion
Fourier Bessel expansion
Angular domain order tracking
analysis (AD-OT)
DWT
Power spectral density and HHT
Wavelet transforms
656
Aim Accuracy/achievements and limita-
tions
Eccentricity fault detection using The proposed technique provides a
stray flux analysis relationship between the amplitude
of the spectral component and the
eccentricity level
Air gap eccentricity detection using The proposed technique indicates
vibration and current sensor eccentricity frequencies around the
fundamental can be used as a clear
indicator of the eccentricity faults
Mechanical fault diagnosis of IM The proposed method analyzes two
using SVM based on AHPT signatures: Hilbert modulus cur-
rent space vector (HMCSV) and
Hilbert phase current space vector
(HPCSV), where fault-related
frequencies are found more excited
in HPCSV than HMCSV. The SVM
using the Gaussian kernel function
achieved an accuracy of 97.5%
Transient current signal based IM The simplified fuzzy ARTMAP
fault diagnosis of Fourier Bessel achieved 100% classification accu-
expansion and fuzzy ARTMAP racy in training and testing
Static eccentricity fault detection in The proposed AD-OT technique has
IM with the help of angular domain an advantage that it can control the
order tracking frequency change as a function of
time
Air gap eccentricity detection in IM The proposed technique can diagnose
using a discrete wavelet transform the air-gap eccentricity fault even
of the apparent power signal in under non-stationary operating
non-stationary operating condition conditions where FFT faces some
problems
Multi-sensor wireless system for The proposed system uses HHT of
eccentricity and bearing fault in IM vibration signal and power spectral
density of current and acoustic
signals as a feature in the SVM clas-
sifier. The technique can differentiate
the healthy and fault motor with
99.9% accuracy
To diagnose mixed eccentricity fault Presented the evolution of eccentricity
using an adaptive slope transform coupled harmonics in an inverter fed
of transient stator current IM which has been tracked, plotted,
and quantified under different oper-
ating conditions
Journal of Vibration Engineering & Technologies (2021) 9:643–674
 Table 6  (continued)
Reference and year
Zhou et al. [116], (2014)
Siddiqui et al. [110], (2016)
Oumaamar et al. [117], (2017)
Mirzaeva et al. [118], (2018)
I. Bouchareb et al. [119], (2019)
Ahmad Bagheri et al. [120], (2020) Stator current signal
13
Condition monitoring parameter
Stator current signal
Stator current signal
Line neutral voltage
Internal flux
Stator current signal
Signal processing technique
Spectrum analysis
Wavelet transform approximation
signal
FFT
Time–frequency analysis
Time–frequency representation of a
signal
Kalman filter algorithm
Aim Accuracy/achievements and limita-
tions
Fault diagnosis of induction motor The proposed method achieved better
with invariant character vectors results as compared to SVM and BP
in a noisy environment
Air gap eccentricity fault detection in The proposed technique utilized
inverter fed IM by transformative wavelet transforms low-frequency
technology approximation signal for differentiat-
ing between healthy and faulty air
gap conditions
To diagnose the static air gap The proposed technique has shown
eccentricity with the help of rotor that the line neutral voltage spec-
slot harmonics in the line neutral trum is more responsive to air gap
voltage static eccentricity fault as compared
to stator current
To diagnose the air gap eccentricity The proposed method detects, local-
using internal flux measurement ized, and quantifies early diagnosis
of stator turn fault and static eccen-
Journal of Vibration Engineering & Technologies (2021) 9:643–674
tricity fault also differentiates them
To diagnose the dynamic eccentric- The proposed method used the combi-
ity fault in an IM under different nation of ANN and Hidden Markov
load level model (HMM) and effectively
diagnosed the dynamic eccentric-
ity at different degrees of dynamic
eccentricity from 0 to 80%
To diagnose the static, dynamic, and The proposed method can precisely
mixed eccentricity fault in an IM diagnose the static, dynamic, and
mixed eccentricity of an IM without
getting affected by the condition of
the power grid and motor loading
657

658
reported that MLP-NN outperformed fuzzy ARTMAP and
SVM using stator current signal features.
The applications of acoustic-based techniques are also
reported by few researchers for stator fault diagnosis [8,
128]. Glowacz et al. [8] implemented the method of selec-
tion of amplitudes of frequency-multiexpanded (MSAF20-
MULTIEXPANDED) for feature selection on the acquired
acoustic signal from the IM. The features selected using
MSAF20 were used as input to three different classifiers
i.e., nearest mean classifier, nearest neighbor classifier, and
Gaussian mixture model. It is reported that the nearest mean
classifier achieved an accuracy of 95.3%, nearest neighbor
classifier achieved 91.6% accuracy and Gaussian mixture
models achieved 88.8% accuracy. The steady-state analy-
sis is not adequate in certain conditions such as unloaded
IMs, power supplied with voltage fluctuations, and loads
with oscillating torque [129]. Hence, Zaparoli et al. [129]
proposed the empirical envelope analysis (EEA) technique
combined with principal component analysis of the transient
current signal. The proposed EEA technique can effectively
quantify the faulty level and differentiate the healthy and
faulty IM.
The contribution of researchers demonstrating different
techniques for stator fault detection is stated in Table 7.
Stator fault is also one of the major reasons for IM fail-
ure. Condition monitoring techniques based on the various
parameters such as magnetic flux [143, 144], acoustic [8,
128], MCSA [145–148], instantaneous angular speed [149,
150], temperature [21, 151], power [18] and air gap torque
[152] are reported in recently published literature. Literature
has shown that MCSA is the most widely used condition
monitoring technique for the stator fault diagnosis. Accurate
diagnosis of stator winding failure depends on the principal
areas such as failure pattern, failure mode, and maintenance
history. Still, there is a need to put effort into the accurate
prediction of stator inter-turn faults based on the frequency
contents under variable speed and load conditions.
Condition Monitoring Using AI Techniques
The conventional methods of modeling were based on the
basic principle of physics on which IM works. The effects of
faults on various parameters were analytically modeled and
the responses of the equation were considered to study the
behavior of the system. The limitation of this modeling tech-
nique was the assumptions made. It is difficult to model exact
real-life systems in analytical models. Hence the data-driven
models were adopted where the data collected from sensors
and data acquisition system gives an accurate description
of the system. The AI technique which models the behavior
of system i.e., relationship between input and output can be
accurately modeled and found popularity among researchers
13
Journal of Vibration Engineering & Technologies (2021) 9:643–674
in the last decade. With the evolution of computing devices
and development in data-driven techniques, the AI technique
found a place for modeling the noisy and imprecise data. In the
twenty-first century, developments in digital signal processing
and enhanced computing ability and AI techniques have a par-
adigm shift in the field of condition monitoring and fault diag-
nosis. These data-driven techniques found popularity among
researchers which are presented in the literature published in
the last decade. The AI techniques which are widely applied in
the fault diagnosis of IM are, artificial neural network (ANN),
support vector machine (SVM), genetic algorithm (GA), fuzzy
logic, adaptive neuron-fuzzy inference system (ANFIS) and
hybrid of these techniques.
The following section gives an overview of the applica-
tion of these data-driven techniques documented by various
researchers.
Artificial Neural Network
ANN is an information processing model influenced by the
biological nervous system as the brain process the informa-
tion. It is a powerful data processing system which learns the
input–output relationship from the provided training data. It
also consists of processing elements called neurons which
are closely interconnected in architecture. These neurons
are interconnected to each other by the links which share the
information. The neuron consists of two parts. The first part
is responsible for the weighted addition of inputs presented
to it and the second part carries the activation function. The
activation function in the ANN can be linear or non-linear.
Usually, a nonlinear activation function is used in the ANN
to model the nonlinear problems. Various models exist in
the literature for the ANN such as multilayer perceptron
back propagation algorithm (MLP-BPA), radial basis func-
tion network (RBFN), recurrent neural network (RNN), self
organizing map (SOM), learning vector quantization (LVQ),
and convolution neural network (CNN), etc.
MLP is the basic ANN model in which the perceptrons
are organized in an orderly manner. The first layer is the
input layer and the number of neurons in the input layer is
equal to the number of input attributes of the system. The
last layer in the network is the output layer and the neurons
in the last layer represent the output of the network. All the
layers in between the input layer and the output layer are
known as hidden layers. Each of the neuron in the hidden
layer accomplishes the processing task. The processing of
the single neuron is presented by the following equation.
(N )
∑
y = f (o) = f wi xi + b , (10)
i=1
where xi is the input, wi is the weight, f (x) is the activation
function, y is the output from the neuron, and b is the bias
 Table 7  Summary of stator fault diagnosis in IM
Reference and year
Ghate and Dudul [123],
(2010)
D’Angelo et al. [124], (2011)
Bossio et al. [130], (2011)
Ukil et al. [125], (2011)
Martins et al. [131], (2011)
Ergin et al. [132], (2012)
Seera and Lim [133], (2013)
Wolkiewi and Kowalski [134], Phase shift value between
(2013)
13
Condition monitoring param- Signal processing technique AI technique Aim Accuracy/achievements and
eter limitations
Stator current Statistical feature Multilayer perceptron neural IM fault diagnosis using opti- The proposed technique
network (MLP), self-organ- mal MLP neural network showed the classification
izing map (SOM) classifier accuracy of 98.25% for test-
ing and 96.22% for validation
Stator current RMS calculation Fuzzy/Bayesian approach Stator winding fault diagnosis The proposed technique can
using fuzzy Bayesian diagnose the fault without any
change point detection mathematical model of motor
approach and initial knowledge of the
signal statistical distribution
Voltage – – Stator winding fault diagnosis The proposed technique allows
in IM using signal injection the detection of a very small
number of shorted turns so
that the spreading of the fault
can be prevented
Stator current Zero crossing technique – Stator short circuit fault diag- The proposed technique pro-
spectrum nosis using motor current vides a beneficial and cheaper
Journal of Vibration Engineering & Technologies (2021) 9:643–674
zero-crossing instants computational burden for
stator fault diagnosis if no or
partial current measurement
is available
Stator current Feature extraction – IM fault diagnosis using The proposed system provides
current state space pattern severity index, fault type
recognition identification, and expert free
detection system using 3D
state-space patterns
Stator current 1D-DWT Common vector approach Bearing, stator, and rotor fault The proposed common vector
diagnosis in an IM approach with wavelet energy
components diagnose the
fault with an accuracy of
99.8%
Stator current Spectrum analysis Fuzzy min–max (FMM) Online fault diagnosis in an The proposed FMM-CART
neural network and the IM using FMM-CART model perform better as
classification and regression model compared to other individual
tree (CART) FMM, CART and MLP clas-
sifier even in noisy condition
Progression indicator calcula- – Stator fault diagnosis of the The proposed technique pro-
phase line current and phase tion converter fed IM drive using vides the progressive indica-
voltage online neural network tor value for the stator fault
diagnosis which is calculated
from phase line current and
phase voltage current
659

Table 7  (continued)
Reference and year
13
Drif and Cardoso [18], (2014) Instantaneous active and reac- Signature analysis
Lashkari et al. [126], (2015)
Godoy et al. [127], (2015)
Konar and Chattopadhyay
[135], (2015)
Lashkari and Poshtan (2015)
[214]
Glowacz and Glowacz [136],
(2016)
Condition monitoring param-
eter
tive power
Negative sequence voltage
and three-phase shift
Stator current
Vibration signal
Three-phase shift between
line current and phase
voltage
Thermal images
Signal processing technique
FFT
Amplitude normalization
Hilbert and continuous
transform
– ANN
Method of area selection of
states (MoASoS)
660
AI technique Aim Accuracy/achievements and
limitations
– Stator fault diagnosis using The proposed methodology is
instantaneous active and capable to diagnose the fault
reactive power even at a small number of
stator shorted turns
Feed-forward multilayer Fault diagnosis of stator For the proposed system of the
perceptron back propagation winding turn an unbalanced fault diagnosis, the IM model
neural network supply voltage in IM using is not required. No additional
ANN sensors are needed to identify
the supply unbalance and
stator faults
Fuzzy ARTMAP, MLP-ANN, Stator winding fault severity The proposed method has
SVM evaluation in inverter fed IM shown the MLP classifier has
an accuracy rate above 70%
independent of the inverter
type or frequency range. For
a 10% stator short circuit
its classification accuracy is
100%
MLP, RBF, SVM Multi-class fault diagnosis of The proposed method used a
IM using HT and CWT​ genetic algorithm to optimize
the features from the HT and
CWT and classification is
performed with 3 classifiers,
MLP, RBF, and SVM. SVM
with CWT achieved a classifi-
cation accuracy of 99.71%
Stator winding turn fault diag- The proposed technique used
nosis in IM using ANN MLP-ANN based on monitor-
ing the magnitude of negative
sequence voltage and the
three-phase shift between line
current and phase voltage.
The performance of NN accu-
rately diagnosed the fault
Nearest neighbour classifier, Single-phase IM stator fault The proposed technique used
Gaussian mixture model diagnosis using thermal the nearest neighbor classifier
images and the Gaussian mixture
model and shown a total
efficiency of 100%
Journal of Vibration Engineering & Technologies (2021) 9:643–674
 Table 7  (continued)
Reference and year
Glowacz and Glowacz [128],
(2017)
Bazan et al. [137], (2017)
Glowacz et al. [8], (2018)
Maraaba et al. [138], (2018)
Rajeswaran et al. [139],
(2018)
Vinayak et al. [140], (2019)
Gangsar and Tiwari [141],
(2019)
13
Condition monitoring param-
eter
Acoustic signal
Mutual information between
phase current signal
Acoustic signal
Electromechanical torque
Voltage, speed, and current
signal
Stator current
Vibration and current signal
Signal processing technique
MSAF-ratio 30-multiex-
panded (method of a
selection of amplitude of
frequency-ratio 30% of max
amplitude multi-expanded)
– ANN
MSAF-20-multiexpanded
Time and frequency domain
statistical features
Discrete wavelet transform
CWT​
AI technique
K-nearest neighbor, K-means Stator fault diagnosis of
clustering, linear perceptron single-phase IM using
acoustic signal
Nearest neighbor classifier,
nearest mean classifier,
Gaussian mixture model
Neural network
Hybrid artificial intelligence
(AI) technique of neuro-
genetic algorithm
SVM
SVM
Aim Accuracy/achievements and
limitations
The proposed technique is
non-invasive, inexpensive,
and shown the total efficiency
of 88% of all the selected
classifier
Stator fault analysis using The mutual information-based
information measures and ANN shown the classification
ANN accuracy of over 93% even in
the condition of supply volt-
age unbalance
Stator and bearing fault diag- The proposed technique has
nosis using acoustic signal shown the total efficiency of
89.7–95.3% using the nearest
mean classifier, 84.1–91.6%
using the nearest neighbor
classifier, and 65.7–88.8%
Journal of Vibration Engineering & Technologies (2021) 9:643–674
using a Gaussian mixture
model
IM Stator fault diagnosis The proposed method showed a
using electromechanical testing accuracy in the range
torque of 89–99%
Hybrid AI-based fault diagno- The proposed hybrid AI-neuro
sis of IM genetic algorithm performs
faster as compared to other
BPNN and fuzzy
Real-time stator fault diagno- The proposed method can
sis of inverter fed IM diagnose the fault even with
an infinitesimal fault current
of 350 mA
IM fault diagnosis using The proposed technique con-
wavelet-based features from verts the time domain signal
current and vibration signal to CWT and the effective
through SVM wavelet for the fault diagnosis
is selected based on the
Shanon Entropy. The features
from CWT are used as input
to SVM which shows more
than 90% accuracy for differ-
ent conditions
661

662 Journal of Vibration Engineering & Technologies (2021) 9:643–674

which is the extra input added to the system with a weight

single stator phase and also to

The developed CNN structure
can analyze the damage to a
Accuracy/achievements and of unity.

all the three phases in IM

Many researchers reported the application of ANN for
fault identification in an IM. Ghate and Dudul [123] pro-
posed an optimal MLPNN for the fault diagnosis in an IM.
In this paper, the authors evaluated different transfer func-
tion performance for training, testing, and cross-validation.
limitations

The authors also evaluated the performance of MLP along

with SOM and dimensionality reduction self-organizing map
(DRSOM). The authors found that tanh transfer function
convolution neural network

gives the optimal performance when compared with dif-

Stator fault diagnosis using

ferent transfer functions. Cabal-Yepez et al. [153] applied

the rarely used information entropy with ANN for multiple
combined fault diagnosis in IM using log-sigmoid activa-
tion function in the hidden and output layer. The proposed
FPGA-based entropy neural processor can diagnose the
BRB, unbalance, bearing fault effectively using informa-
Aim

tion entropy with ANN [153].

For fault identification of roller bearings of IM, Kumar
Convolution neural network

et al. [154] analyzed de-noised vibration signals with vari-

ous mother wavelets (db4, db8, db44, Sym10) and applied
its features as an input to ANN. After the analysis of these
wavelets, they found that the db4 wavelet feature input for
AI technique

ANN achieved the highest level of performance. Jawadekar

et al. [155] elaborated on the multiple fault diagnosis in IM
(CNN)

using wavelet transform and ANN-based techniques. In this

multiple fault diagnosis, the CWT based, three-layer feed-
forward ANN with TanhAxon transfer function and momen-
Signal processing technique

tum learning rule, achieved 100% classification accuracy

[155]. Kateris et al. [156] applied multilayer perceptron
automatic relevance determination (MLPARD) along with
sensor fusion technique for the bearing fault diagnosis. In this
work, authors found that MLPARD improved fault diagnosis
accuracy when compared to other classifiers such as KNN,
Naïve byes classifier, and binary decision tree classifier.
–

Bhowmik et al. [157], Onel et al. [158], and Zhang et al.

[159] opted for the radial basis function network (RBFN)
Condition monitoring param-

for the fault diagnosis of IM. Liu et al. [160] proposed a

recurrent neural network (RNN) based bearing fault diag-
nosis in the form of the autoencoder. In this technique, the
gated recurrent unit (GRU) autoencoder is applied to pre-
Stator current

dict the forthcoming vibration values from the succeeding

vibration values of the bearing. In this work, Case Western
Reserve University (CWRU) Bearing dataset is utilized for
eter

GRU based RNN method application which achieved the

average classification accuracy of 99.5%. Learning vector
Skowron et al. [142], (2020)

quantization (LVQ) is also used by a few researchers in the

fault diagnosis [161, 162]. Kumar [162] proposed LVQ for
Table 7  (continued)
Reference and year

the bearing fault diagnosis using RMS voltage and RMS

current as an input variable and concluded that LVQ is bet-
ter and faster compared to MLP. In LVQ, once the input
is applied to the system, only one output neuron is active
that gives the output [163]. It is also reported that condition

13
Journal of Vibration Engineering & Technologies (2021) 9:643–674 663
monitoring and fault diagnosis are performed by employing
a SOM [164, 165], and RNN [166, 167].
Recently researchers found an affinity for convolutional
neural network (CNN) [168–170] which is inspired by visual
system structures. A typical CNN consists of two types of
layers i.e., the convolution layer and the sub-sampling layer.
At every point of each layer, there are some distinct neurons.
Each neuron has a set of input weights which are linked
with neurons in a rectangular patch in the preceding layer.
In a convolution layer, the preceding layers feature maps are
pervert with the learnable kernels and execute an activation
function to produce the output feature map. Eren [171] pro-
posed an adaptive implementation of a 1D-CNN for bearing
fault diagnosis and reported that the 1D-CNN outperformed
MLP, RBFN, and SVM.
It is challenging to diagnose the bearing fault at a variable
speed. Considering this limitation, Tra et al. [172] compared
the performance of the stochastic diagonal Levenberg–Mar-
quardt (SD-LM) algorithm, stochastic gradient descent
(S-GD) algorithm, and mini-batch diagonal Levenberg–Mar-
quardt (M-DLM) algorithm in terms of processing time and
classification accuracy. In this work, the authors reported
that the SD-LM algorithm outperformed S-GD and M-DLM.
Shukla et al. [173] reported that CNN based approach with
multiple sensor fusion can improve diagnostic accuracy
and reliability. Recently, Zhang [60] performed the bearing
fault diagnosis with a freely available CWRU bearing data-
set using a two dropout layer and two fully connected layer
CNN and achieved 100% classification accuracy.
The choice of the neural network is based on the level of
complexity and the condition of the problem under study.
MLP is suitable for classification and prediction problems
in which the inputs are assigned a class. CNN is suitable
to analyze image data to an output variable while RNN is
depicted to work with the sequence prediction problem.
Though ANN is widely applied for the fault diagnosis of
IM, the few limitations associated with it can be taken care
of by the hybridization of a network when it is applied in the
complex scenario. Keen attention while setting the param-
eter during the design of ANN is important to obtained
satisfactory results. Along with the fault diagnosis, ANN
can be used for a wider range of applications such as image
processing, language processing, route detection, and speech
recognition.
Support Vector Machine
SVM was introduced by Vapnik in 1960 [174]. In the basic
SVM, two-class problems can be solved using hyperplane
defined by support vectors. SVM is based on the concept
of the decision plane that split the set of classes having dis-
tinct class membership. It is a supervised machine learning
algorithm used for classification and regression challenges;
however, it is most commonly used for classification. SVM
is reported to be more accurate and efficient than ANN due
to its ability of structural risk minimisation [175]. The com-
parative study of ANN and SVM is also reported by Konar
and Chattopadhyay [49] for the fault diagnosis.
SVM is based on the structural risk minimization hav-
ing origin in statistical learning theory. It has the potential
of handling large feature vectors when compared to con-
ventional classifiers. In SVM training, structural misclas-
sification risk is minimized while traditional classifiers are
trained based on empirical risk minimization. Mathemati-
cal functions used in the SVM algorithm are known as the
kernel, which can transform the input into the required form
of output. In the SVM, the kernel plays an important role
in the classification accuracy [176]. The kernels applied in
the SVM are reported to be linear, polynomial, non-linear,
and sigmoid. However, RBF is the most commonly used
kernel [177].
Initially, SVM launched for the binary classification only
which handles two-class problems. However, later, SVM was
modified for the multiclass problems which can handle the
multi-fault conditions. In the SVM, three multiclass tech-
niques were developed, i.e., one against one (OAO), one
against all (OAA), and direct acyclic graph-SVM. All these
techniques were applied by the researchers in the fault diag-
nosis of IM.
In recent research papers, wavelet transforms found to be
adopted for feature extraction which is the input to the vari-
ous classifiers such as ANN, SVM, and FUZZY logic, etc.
Konar and Chattopadhyay [178] reported that continuous
wavelet transform (CWT) shown excellent classification per-
formance with scale variation when compared to the discrete
wavelet transform (DWT). They applied CWT on the vibra-
tion signal and used it as an input to SVM where the accu-
racy of 100% is achieved in no-load and full load condition.
Sugumaran and Ramachandran [179] studied the bearing
fault classification using SVM and proximal SVM classifi-
ers for statistical and histogram features of the time-domain
vibration signal and concluded that histogram features with
PSVM give better results compared to statistical features
with SVM. Salem et al. [112] proposed the magnitude of
spectral components of two fault signatures, Hilbert modulus
current space vector and Hilbert phase current space vector
as an input to SVM. In this work, the authors reported that
SVM with Gaussian kernel function outperformed polyno-
mial kernel function. Banerjee and Das [180] proposed a
hybrid control methodology for the fault classification based
on sensor data fusion using SVM and a short time Fourier
transform (STFT). In this work, they found that hybrid SVM
based fusion can diagnose different severity levels of the
faults and it can provide better generalization capability
compared to a conventional SVM.
13

664
Keskes et al. [181] evaluated the performance of one
against all and one against one classification strategy in
SVM. In this work, the authors reported that the processing
time of one against all is five times faster than one against
one. Lim et al. [182] applied features of thermal images
from the test setup as an input to SVM for the bearing fault
diagnosis and then compared the SVM performance for one
against one and one against all methods. In this work, they
reported that the proposed technique achieved the classifi-
cation accuracy of 95%. Gangsar and Tiwari [183] reported
in their study that multi-SVM could be able to predict all
mechanical faults in the IM using the vibration signal’s fea-
tures alone. Ziani et al. [184] presented the binary particle
swarm optimization and regularized Fisher’s criteria for the
bearing fault identification using multi-SVM. In this work,
the authors accomplished the selection of sensitive features
using regularized Fisher’s criteria. Singh and Shaik [185]
selected features by applying stockwell transform to the cur-
rent signal and these features are applied to SVM for the
classification. They reported the accuracy of 95% with the
one against one approach.
Published papers on SVM indicate that SVM is more
suitable for binary classification when compared to multi-
class prediction. SVM is not affected by the dimensional-
ity of feature vectors [186]. Recently SVM performance is
improved by supplementing with the other feature selection
techniques such as PCA, GA, and decision tree [134–137].
The judicious selection of kernel decides the performance
of SVM. Researchers are applying innovative techniques to
improve their performance in terms of processing time and
classification accuracy.
Fuzzy Logic
Fuzzy logic found popularity among researchers due to its
inherent ability to classify the imprecise data. Fuzzy logic
is a reasoning method that resembles human reasoning.
Its approach is similar to human decision making which
involves all the intermediate possibilities between yes and
no. In a classic fuzzy system, an input is analyzed through
a membership function to calculate its degree of associ-
ation to a particular fuzzy event set. A problem can be
solved in fuzzy logic using a fuzzy inference system (FIS).
A FIS uses fuzzy set theory to map input with output. FIS
includes fuzzy rules, membership function, fuzzification,
and defuzzification. Fuzzy rules are the combination of
the linguistic statement which decides the classification
of inputs. The linguistic statements are the statements in
the “if–then” condition form. Fuzzification is the mapping
of the input from the sensor to values from 0 to 1. The
membership function specifies the degree to which the
given input is related to a particular set. Membership func-
tion can be triangular, Gaussian, trapezoidal, or piecewise
13
Journal of Vibration Engineering & Technologies (2021) 9:643–674
linear. In the defuzzification, the fuzzy output is converted
into crisp output. The fuzzy system depends on the set of
rules. Induction motor bearing fault diagnosis using fuzzy
logic is presented by many researchers in this decade [113,
187–191].
Rene and Romero-Troncoso  [190] applied informa-
tion entropy analysis along with a fuzzy logic interface to
diagnose the faults in IM such as bearing defects, unbal-
ance broken rotor bar, and multiple fusion of faults using
features of a steady-state current signal. This technique
was found to be more efficient for analyzing one phase of
a steady-state current signal from the rotating machine.
In the fault diagnosis of IM startup, transient signals are
widely used as they reveal the defects in the early develop-
ment phase rather than the steady-state operation. How-
ever, the transient signal contains multi-components which
are non-linear that needs a special technique to process
and acquire valuable information from it. Tran et al. [113]
decomposed the transient signal into a series of single
components and classified the fault using the fuzzy adap-
tive resonance theory map (ARTMAP) technique. In this
work, the authors reported that the ARTMAP technique
requires less processing time when compared to a neural
network and reported that it can achieve the classification
accuracy of 100%.
Aydin et al. [187] applied a fuzzy decision tree and
boundary analysis based on the image of a single-phase
stator current to diagnose BRB and broken connector fault.
They found that fuzzy decision tree performed better than
other techniques such as binary decision tree, genetic
algorithm based negative algorithm, ANN, and artificial
immune classifier with swarm learning. Berredjem and
Benidir [188] proposed three Gaussian membership func-
tions individually for each of the bearing fault conditions
such as outer race fault, inner race fault, and ball fault in
the IM. In this work, they applied a fuzzy expert system
for localized and distributed faults identification of the
bearing which achieved the average classification accuracy
of 96.08%. Mayadevi et al. [189] prefered the sum of RMS
and total harmonic distortion amplitude of the stator cur-
rent using the fuzzy rule base for fault diagnosis of IM.
It is reported that this technique effectively reduces the
burden of manual fault diagnosis along with a reduction
in the processing time.
Literature suggests that the fuzzy logic classifier can be
applied to detect the faults in the IM with a judicious selec-
tion of membership function [192]. The performance of the
FIS is greatly affected by the shape of the membership func-
tion. Fuzzy logic offers great flexibility where the rules can
be easily added or can be removed according to the require-
ment of the system for the fault diagnosis. Fuzzy logic can
be used alone or in combination with other technologies for
the fault diagnosis of IM.
Journal of Vibration Engineering & Technologies (2021) 9:643–674 665
ANFIS
Adaptive neuro-fuzzy inference system (ANFIS) is a fusion
of a neural network and a fuzzy inference system. It contains
nodes and directional links connecting the nodes. ANFIS
consists of fixed and adaptive nodes. In the adaptive node,
the parameters are modified during adaption or training.
ANFIS has the learning ability of Neural Network and the
inference power of fuzzy logic [193].
ANFIS structure consists of 5 layers. Layer 1 carries
the adaptive nodes. In this layer, each neuron is related to
linguistic input, and the output equal to the membership
function of this linguistic label. Layer 2 consists of fixed
nodes that are non-adaptive. Layer 2 nodes evaluate the fir-
ing strength of the rule obtained by the multiplication of the
incoming signal. Layer 3 nodes are stable and perform the
balancing of firing strength from the previous layer. Layer
4 nodes are adaptive and used to calculate the consequent
parameter. Layer 5 carries only one node which assesses
the overall output as an aggregate of all the entering signals
from layer 4. ANFIS can produce the same output even after
altering some layers.
Ertunc et al. [194] compared bearing fault diagnosis per-
formance using ANFIS and ANN incorporated with a multi-
stage decision algorithm. In this work, the authors found
that ANN and ANFIS achieved comparable performance in
detection and localization of fault, whereas in fault severity
detection, ANFIS performed better compared to ANN. Zang
et al. [45] applied ANFIS based on Multi-scale Entropy to
identify the nonlinearity in the bearing vibrations. Authors
reported that Multi-scale Entropy can effectively provide
valuable information from rotating machinery than a sin-
gle scale based entropy. Salahshoor et al. [195] performed
the fusion of SVM and ANFIS. In this work, they found
improved fault detection and diagnosis performance with
the fusion of ANFIS and SVM rather than when SVM and
ANFIS were applied individually. Ballal et al. [196] com-
pared the performance for the bearing fault and inter-turn
insulation failure with the different number of input param-
eters to ANFIS. In this work, they found that using five
physical parameters with ANFIS, the average classification
accuracy of 96% is obtained. The fault diagnosis accuracy
of ANFIS is improved with the increase in the number of
inputs.
Lee et al. applied ANFIS on bearing vibration data, where
system parameters optimization is performed using neural
network and GA to improve the reliability of the diagnostic
system [197]. Gnanaprakasam and Chitra [198] applied a
hybrid approach of using a combination of the S-transfor-
mation algorithm and ANFIS for the bearing fault diagnosis
in IM. The proposed S-transform ANFIS is compared with
the other two classifiers i.e., S-transform radial basis func-
tion neural network (RBFNN) and S-transform feed-forward
neural network (FFNN) in terms of accuracy, sensitivity, and
specificity. It is observed that S-transform ANFIS is superior
to the other two in all aspects. Apart from the fault diagno-
sis of IM, Jirdehi and Rezaei [199] applied ANFIS for the
parameter estimation of squirrel cage IM. They compared
the models based on ANN and ANFIS for the parameter esti-
mation in a single cage and double cage IM where ANFIS
performed better compared to ANN.
It is reported in the literature that decisions about the
number of fuzzy subsets, distribution of the independent
variables into a fuzzy subset, choice of membership func-
tion, and parameters of each fuzzy subset are important for
the accuracy of ANFIS to diagnose faults [45, 194, 195,
197–200]. ANFIS learns from the features dataset and
improvises system parameters according to given error cri-
teria. ANFIS does not need a large sample size to perform
better such as ANN. ANFIS is applied in the fault diagnosis
due to its ability to acquire knowledge, to modify the rules,
to achieve highly nonlinear mapping and it allows parallel
computation.
Genetic Algorithm
A genetic algorithm (GA) is a search technique used in com-
puting to find the true or approximate solution. It is widely
used by the researchers in the fault diagnosis of IM [75, 161,
201, 202]. The application of GA includes the consideration
of five basic issues: initial population, fitness function, selec-
tion, crossover, and mutation [203]. In GA, the population
is a set of chromosomes which are the strings of 1 and 0
representing a particular characteristic of the problem [204].
The length of the chromosome is equal to the number of
features selected in the fault diagnosis. The primary objec-
tive of the selection operator is the selection of best and
discards the rest, keeping the population size constant. The
selection of the best is performed using a fitness function.
A fitness function value quantifies the most favorable solu-
tion. Different techniques applied for the selection in GA are
tournament selection, roulette wheel selection, proportionate
selection, rank selection, and steady-state selection [205]. In
the crossover phase, the crossover operator is applied to cre-
ate a new solution from the existing solution by exchanging
the gene information. Heuristic crossover is widely used for
the bearing fault diagnosis [201]. In GA, reproduction runs
until the best solution is obtained [202]. In mutation, new
features are introduced into the solution string of the popu-
lation pool to preserve the diversity in the population. The
algorithm stops when the population converges at a more
appropriate solution or the highest number of generations
performed [202].
Lu et  al. [203] applied GA with a dynamic search-
ing strategy for bearing fault diagnosis. In the proposed
methodology, they used GA to select the most dominant
13

666
features in the fault diagnosis of rotating machines. Ettef-
agh [206] presented a hybrid of GA and K-mean clus-
tering methods for the bearing fault diagnosis. In this
work, GA helped to overcome the limitations of K-means
clustering where it gets stuck in the local minima. Zhu
and Xiong [207] applied a quantum genetic algorithm
(QGA) based on a concept of quantum computing and
evolutionary computing for the fault diagnosis of rotat-
ing machinery. In this work, the classification accuracy
of SVM, GA-SVM, and QGA-SVM was compared and it
is reported that QGA-SVM performed better than other
methods. Recently, Toma et al. [202] applied GA to select
the most influencing features from the acquired current
dataset for the bearing fault diagnosis. In this work,
authors used the selected features for the training and
testing in three different classifiers: KNN, random forest
(RF), and decision tree (DT) where RF outperformed than
KNN and DT.
Researchers reported that GA is an effective technique
for the improvement of accuracy and processing time by
selecting the most dominant features in the fault diag-
nosis model [208]. Crossover and mutation can ruin the
optimum solution in the population pool. Using ELITIST
(preservation of few best solutions) operations the best
solution obtained at any stage can be preserved [209]. For
the effective implementation of GA, the rate of crossover,
mutation, and selection should be carefully assigned. The
GA can deal with any type of optimization whether the
objective function is stationary or non-stationary, linear
or nonlinear, continuous or discontinuous, or with ran-
dom noise which makes it applicable for a wider range of
applications [210].
Different AI techniques with their application for the
fault diagnosis of IM have been discussed. The advan-
tages and limitations of AI techniques are stated in
Table 8.
Table 8  AI techniques with their advantages and limitations
AI technique Advantages
ANN High classification accuracy
Parallel processing capability
A good estimation of a complex nonlinear function
SVM More effective in high dimensional space
Relatively memory efficient
Fuzzy logic Provides the most effective solution for complex issues
Easy to modify for the improvement in performance
ANFIS Having both numeric and linguistic knowledge base
Compared to ANN, more transparent
Genetic algorithm It can find the fit solution in very less time
Good for noisy environment
Works well on discrete/continuous problems
13
Journal of Vibration Engineering & Technologies (2021) 9:643–674
Condition Monitoring of IM in Electric
Vehicle
Considering, the need for clean technology and controlling
environmental pollution, demand for electric vehicles (EV)
is increasing. In electric vehicles, the vehicle can be battery
electric vehicle (BEV) which is a dedicated electric vehicle
or it can be a plug-in hybrid electric vehicle where the bat-
tery can be recharged through both regenerative braking and
plugging into an external source of electric power or it can
be a hybrid electric vehicle (HEV) which is powered by both
IC engine and battery. In BEV, the vehicle is dependent only
on the electric motor for the propulsion. Hence, condition
monitoring and fault diagnosis of an electric motor in EV
are important to avoid catastrophic failure. Most of the EV
uses a three-phase IM. Few researchers reported their work
on the fault diagnosis of IM in EVs [211–213]. In the EV,
the vehicle’s vibration affects the inductance of the electric
motor which results in the noisy current spectrum. The noisy
current spectrum affects the fault diagnosis performance in
the EV. Akin [211] proposed the reference frame theory at
a standstill or idle condition for (HEV) for the stator fault
diagnosis in an IM. The analysis at idle conditions keeps the
current spectrum free from mechanical vibration. This pro-
posed method can be implemented without any extra sensor
or hardware. Kuthong et al. [212]. presented a wireless inter-
net of things (IoT) based system applied to traction motor
drive condition monitoring in EV. In the proposed technique,
current, vibration, and temperature data is acquired from
the traction motor and forwarded to open-source node-red
cloud-based software for the comparison between healthy
and faulty motor. Stator fault is one of the major faults in
an IM. Authors reported the importance to predict the RUL
in advance to avoid the stoppage of IM. Watkins et al. pre-
sented [213] a sensor made of a motor insulation epoxy resin
and carbon black conductive filler in the stator winding to
Limitations
No physical meaning
easy to over-fit
Determination of proper network structure
Not suitable for noisy data
No probabilistic explanation for classification
Setting exact rules and membership function is a difficult task
Don’t have machine learning capability
Computational cost is high
A trade-off between interpretability and accuracy is a crucial
problem
Can’t guarantee an optimal solution
Not suitable for analytical problem
Journal of Vibration Engineering & Technologies (2021) 9:643–674 667
predict the RUL of the stator winding. In running conditions,
the vehicle’s vibration affects the fault diagnosis accuracy
due to changing magnetic flux between the stator and rotor
of a motor during current monitoring. Diagnosis of fault
at the incipient level of IM in EV is challenging due to the
vehicle’s vibration, speed, and load variations.
Review Findings and Discussions
Induction motors are powerful machines which dominate
the world with a wide range of applications in different
sectors of industry. Hence, industries are taking proactive
steps for the condition monitoring and fault diagnosis of
IM to predict the faults at the incipient level and prevent
the industry from unscheduled maintenance and shutdowns.
The continuous operation causes various types of stresses to
develop in the motor which results in faults such as bearing
fault, stator fault, and rotor fault, etc. Efforts are made in this
paper which confers a summary of a detailed analysis of the
literature published on the diagnosis of major faults in an
IM. The reported literature in the last ten years is consid-
ered for a comprehensive review. Researchers have reported
their efforts for the diagnosis of individual faults in an IM.
Literature reported the application of various fault diagno-
sis techniques such as vibration-based monitoring, MCSA,
acoustic analysis, flux monitoring along with signal process-
ing and AI techniques. However, vibration based and MCSA
are been extensively applied for each of the fault in IM.
Bearing is considered one of the most important ele-
ments in an IM. Its performance directly affects the health
of IM, hence it is kept at the focus of condition monitor-
ing studies by the researchers. Researchers adopted vari-
ous advanced signals processing techniques along with
the conventional fault diagnosis techniques to efficiently
diagnose the fault at the incipient stage. This advanced sig-
nal processing includes techniques such as multiple signal
classification (MUSIC), estimation of a signal parameter by
rotational invariance technique (ESPRIT), shortened method
of frequency selection multi-expanded (SMOFS-MULTIEX-
PANDED), and complete ensemble empirical mode decom-
position (CEEMD), etc. Along with the bearing fault, other
faults such as stator fault, rotor fault, and eccentricity faults
are also responsible for IM failure. Although researchers
applied a variety of techniques for the fault diagnosis of
these faults, they found MCSA to be more efficient. Along
with the conventional methods, researchers supplemented
data-driven based AI techniques to automate decision mak-
ing and reduce the processing time. ANN and SVM are the
widely used AI techniques by the researchers in the last ten
years for the fault diagnosis of IM. The classification accu-
racy of the ANN and SVM is found to be dependent on the
selection of the effective feature input. Researchers applied
several feature selection techniques such as GA, PCA, and
Wrapper method to improve accuracy and to reduce overfit-
ting and processing time.
The fault diagnosis system is commonly built with inte-
gration of different modules such as data collection, feature
extraction, selection of most important features, AI module,
and finally its faults prediction. However, to avoid individual
component performance, deep learning techniques dispense
a way to fuse feature extraction and pattern recognition.
Condition monitoring of closed-loop inverter fed IM is find-
ing popularity due to its tremendous applicability.
Nowadays, deep learning (DL) techniques are an emerg-
ing option to conventional AI techniques. The DL techniques
automatically extract the features from the given input data-
set and effectively diagnose the fault at the incipient stage.
However, DL techniques need a large dataset to efficiently
diagnose the fault. Researchers are working on the DL tech-
niques to design the optimal network structure which can
diagnose the fault even with the limited input dataset.
Research Gaps and Ideas for Future Research
The continuous research on condition monitoring of IM has
been witnessed in the last few decades. Still, there is a poten-
tial research possibility, which can be considered for future
researches are as follows.
(a) The identification of faults at the incipient level at real-
time without applying a complex signal processing
technique is still a challenge.
(b) The application of the acoustic emission technique is
found the unattended one till now and the potential of
its application can be explored.
(c) Literature reported extensive study on localized faults
identification in IM bearing compared to distributed
fault identification in the bearing of IM. The fault iden-
tification of distributed faults such as deviation in wavi-
ness or pitting defect identification can be explored.
(d) Fewer research papers are found reporting multiple
fault diagnosis in the literature review. There is a poten-
tial to develop a system which can diagnose multiple
faults.
(e) Inverter fed IM imposes challenges in fault identifica-
tion of IM due to induced harmonics affecting the fault
diagnosis accuracy. This area can be explored to avoid
the false defect alarm.
(f) Future opportunities of research can be found in fault
diagnosis of a multi-motor system where numbers of
motors are connected. The prognostics of such a system
impose challenges to the researchers.
(g) In this era of Industry 4.0, the internet of things (IoT)
is increasing its applicability in the different fields of
13

668
engineering. Hence, the effective application of IoT in
the field of condition monitoring and fault diagnosis of
IM would be inevitable.
(h) At the heart of the electric vehicle is the induction
motor. It is challenging to diagnose IM faults in EVs
at running conditions. The disturbance on the road,
speed variation, load variation, running condition, and
inverter harmonics can affect diagnosis performance.
This specific application would be demanding greater
attention to exploring accurate fault identification and
condition monitoring techniques.
Conclusions
Efforts are made in this paper to summarise the major find-
ings of the researchers to identify the faults in the major
components of IM such as bearing, rotor, stator, etc. The
important findings are also summarised in the tabular form.
It is found that the researchers have focused on individual
faults and suggested the suitability of various condition
monitoring techniques coupled with different AI techniques.
The application of data-driven AI modeling techniques
was found to be fascinating researchers to apply it as a deci-
sion-making tool due to their effectiveness. This AI tech-
niques use the information acquired from the IM in different
forms such as vibration, current, thermal images, and acous-
tic emissions, etc. The application of AI-based fault diagno-
sis techniques in an IM are extensively discussed in section
three of this paper. It is found that the tools from the family
of a neural network, fuzzy logic, and SVM are the prominent
one which is coupled with the optimization technique such
as genetic algorithm and principal component analysis. Vari-
ous advantages and limitations of AI techniques have given
insight for their judicious selection.
The review of the literature was embarked on the identifi-
cation and evaluation of the most suitable technique for the
IM of an electric vehicle. The fourth section of this paper is
dedicated to the reports documented by the researchers for
the fault identification of IM in an electric vehicle. The need
for diagnostics for an upcoming era of an electric vehicle
is a challenging task to identify the faults at an early stage.
The various potential areas of improvement where research
can be focused in near future are also summarized in the
last section of this paper, which can be proactively dealt.
Thus the review of development in the diagnostics of IM in
general and the diagnostics of IM of an electric vehicle, in
particular, is presented for the value addition to the research
community.
Acknowledgements  The author would like to thank the Department of
Mechanical Engineering, Visvesvaraya National Institute of Technol-
ogy, Nagpur for extending the facilities for this review.
13
Journal of Vibration Engineering & Technologies (2021) 9:643–674
Funding  This research did not receive any specific Grant from funding
agencies in the public, commercial, or not-for-profit sectors.
Availability of Data and Material  Not applicable.
Code Availability  Not applicable.
Compliance with Ethical Standards 
Conflict of interest  The author declares that they have no known com-
peting financial interests or personal relationships that could have ap-
peared to influence the work reported in this paper.
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1
Department of Mechanical Engineering, Visvesvaraya
National Institute of Technology, Nagpur 440010,
Maharashtra, India