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Mechanical Systems and Signal Processing


Mechanical Systems and Signal Processing 19 (2005) 939954
www.elsevier.com/locate/jnlabr/ymssp

A method for the correlation dimension estimation for on-line condition monitoring of large rotating machinery
Alberto Rolo-Naranjo, Mar a-Elena Montesino-Otero
Higher Institute of Nuclear Sciences and Technology, Ave Salvador Allende y Luaces, Quinta de los Molinos, n, Ciudad Habana, CP 10600, AP 6163, Cuba Plaza de la Revolucio Received 19 August 2003; received in revised form 23 July 2004; accepted 4 August 2004 Available online 18 September 2004

Abstract In this paper, we introduce a robust method for the correlation dimension estimation in an automatic way for its implementation in on-line condition monitoring of large rotating machinery. The method is called Automatic-Attractor Dimension-Quantitative Estimation (A-AD-QE). It is based on a systemic analysis of the second derivative of the correlation integral obtained by the Grassberger and Procaccia algorithm. The A-AD-QE method concentrates its attention on the scaling region denition and it also has the possibility to analyse the geometrical structure of the obtained multidimensional second derivative of the correlation integral and its relation with the pseudo-phase portrait. The effectiveness of the introduced method was veried by means of the calculation of well-known analytic models as Lorenz attractor, van der Pol oscillator and Henon Map. Furthermore, the A-AD-QE method was applied to process real vibration signals of large rotating machines. As a typical example we analysed four measurements, recorded at different points. The obtained results demonstrate the applicability of the method in real vibration signal processing for this kind of machines. r 2004 Published by Elsevier Ltd.

1. Introduction The development of nonlinear dynamics theory has brought new methodologies to identify and forecast complex nonlinear vibration behaviours. Nowadays, the application of nonlinear
Corresponding author.

E-mail address: rolo@fctn.isctn.edu.cu (A. Rolo-Naranjo). 0888-3270/$ - see front matter r 2004 Published by Elsevier Ltd. doi:10.1016/j.ymssp.2004.08.001

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Nomenclature C r; m correlation integral Y Heaviside function t lag time m embedding dimension D2 (m) correlation exponent estimated from m-dimensional embedding space correlation dimension D2 N data volume of time series time series xi embedding space Xi A-AD-QE automatic-attractor dimension-quantitative estimation LPZ length of the plateau zone BPFW resizable xy-band-pass lters windows x height of the BPFW L length of the BPFW

procedures in condition monitoring is a very active research eld. One of the main objectives of the introduction of these techniques is to extract the maximum of the all-signicant diagnostic information from the original signals. Many authors have treated the evaluations of the chaotic patterns that can appear in some mechanical systems [15]. For large rotating machines the chaotic behaviour is related to the interactions in the rotor/bearing/stator system. The system nonlinearity can be found in the discontinuous stiffness, damping, surface friction and impact. Muszynska and Goldman [2] reported an important theoretical and practical review of these phenomena. The system nonlinearity evaluation by means of traditional descriptors, i.e. FFT-based methods, can give inappropriate results. These behaviours are described and characterised by means of nonlinear tools such as correlation dimension, the pseudo-space portraits and others. Nowadays, the correlation dimension has been widely used as a powerful tool for interpreting irregular signals in electrical, mechanical and other engineering domains. The correlation dimension as a diagnostics indicator gives information about the dimensionality and complexity of dynamical system. Very recent studies applied this descriptor as a representative approach to the fault characterisation [612]. Logan and Mathew [6,7] related the correlation dimension with faults in rolling bearings condition monitoring. They shown that the correlation dimension can classify three major rolling element-bearing faults: outer race fault, inner race fault and roller fault. Also, the methodology for the practical computation of the correlation dimension, based on the embedding procedure is described there. Based on this methodology, all the parameters for the embedding procedure are introduced manually by the user. Finally, the user ts the straight line of the correlation integral plot interactively (on screen). Furthermore, the user has to x the qualitative and quantitative results of the calculation. Thus, the correlation dimension estimation is strongly inuenced by the user. Better results can be expected if the embedding parameters were dened in correspondence with the studied dynamic system.

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In [8], the correlation dimension is applied for gearbox fault diagnosis and its great potentiality as a diagnostic indicator is shown. Craig et al. [10] used the correlation dimension in condition monitoring of systems with clearance. One of the main results in this paper is related with the potentiality of chaos techniques, as an alternative approach, in health monitoring of plant or machinery. Wang et al. [10,11] introduced a very important contribution for the diagnostic process of large rotating machinery and gearboxes by means of the use of nonlinear methods. A high sensitivity of the pseudo-phase portrait, the singular-spectrum analysis as well as the correlation dimension was shown. More studies related with the application of pseudo-phase portrait, as indicator can be found in [13,14]. In [14], a qualitative approach to the sensitive evaluation of the pseudo-phase portraits is given. Instead of the correlation dimension value, Koizumi et al. [12] introduced the correlation exponent as a fault descriptor, estimated with the modied version of the well-known Grassberger and Procaccia algorithm. The modied version was based on a re-embedding procedure reported by Fraedrich and Wang [15]. These authors applied the correlation exponent to investigate the chattering vibration during the cutting process. Good results can be obtained with the correlation exponent of some previous dened embedding dimension and xed scaling region. Nevertheless, its value only gives a partial portrait of the real complexity of the studied dynamical system. One of the problems derived for the correlation dimension determination in multidimensional analysis, is the scaling region denition of the correlation integral as a function of the embedding dimension. Quite frequently the derivative of the loglog plot of C(r,m) vs. ln r is used for its calculation [612]. Here, the correlation dimension is expressed as a function of the embedding dimension: D2 r; m dlnC r; m dln r DlnC r; m ; Dln r (1)

which is approximated by D2 r; m (2)

where operator D is dened by Df r f r 1 f r [16]. Relating the plateau appearance to the attractor dimension value, this method provides good visual results. The plateau zone (sometimes tted by eyes) denes the correlation dimension value. Regardless of their advantages, the correlation dimension calculated with this method introduces some errors associated to the observers subjectivity and it also limits the velocity of the decision in accordance with its introduction as an indicator in a real system condition monitoring. A statistical approach to the correlation dimension estimation is given in [17]. The authors introduce a method based on the maximum-likelihood principle, by means of which, the explicit expressions for the maximum-likelihood estimate of correlation dimension and its asymptotic variance are derived. They show how the w2 test is used to nd the upper cutoff of the scaling region. We can realise the correlation dimension has a high applicability to the fault diagnostic of mechanical system but its calculation in an automatic way is lacking. In this paper, we introduce a robust method for the correlation dimension estimation in an automatic way for its implementation in on-line condition monitoring of large rotating machinery. The method is

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called Automatic-Attractor Dimension-Quantitative Estimation (A-AD-QE). It is based on the systemic analysis of the second derivative of the correlation integral dened by Grassberger and Procaccia algorithm. The A-AD-QE method concentrates its attention on the scaling region denition and it also has the possibility to analyse the geometrical structure of the obtained multidimensional second derivative of the correlation integral and its relation with the pseudophase portrait. Some applications of this method to the monitoring and surveillance of Nuclear Power Plant can be found in [18,19]. One of the most important properties of the correlation dimension is its high sensitivity to the dynamical changes of the analysed system. Its application to the real system condition monitoring improves the real signal characterisation. More than 180 measurements of different points of a large rotating machine were analysed in order to evaluate the applicability of the introduced AAD-QE method. Four of them are presented in this paper. The structure of this paper is as follows: In Section 2 a theoretical background of the A-AD-QE method is given, starting with a brief review of the embedding procedure and some details about the correlation dimension. In the same section, the introduced method is tested by means of wellknown analytic models, such as Lorenz attractor, van der Pol oscillator and Henon Map. In Section 3, we show some applications of the A-AD-QE method to the correlation dimension estimation of real measurements of a large rotating machine. Finally, the main conclusions are given in Section 4.

2. Theoretical background 2.1. Embedding procedure The embedding procedure is the rst step of the phase space reconstruction of a dynamical system from the observation of a single variable. The most common phase space reconstruction technique is the method of delays (MOD) proposed by Takens [20]. By means of MOD it is possible to build an attractor by replacing the derivatives with delayed repetitions of only one measured variable of the system. The time series x1 ; x2 ; x3 ; . . . ; xN is represented as a sequence of vectors X i fxi ; xit ; . . . ; xim1t g; (3) where i 1; 2; . . . ; N m 1t; where N(m1) is the length of the reconstructed vector Xi, m is the embedding dimension of the reconstructed phase space and t is the lag time in units of sampling interval. In recent investigations, the calculation of the embedding parameters t and m is a question of special interest. The optimal choice of these embedding parameters depends of the respective application [21]. A good denition of t is of importance for the MOD to give sensible results. Two major problems are described in [22]: redundancy and irrelevance. The rst one is related to the choice of t as small as possible. In this case the consecutive measurements of the reconstructed vectors will give nearly the same results. Hence, the topological vectors constructed via the MOD, will be stretched along the diagonal in the m-dimensional embedding space and thus the analysis of the picture of the attractor will be very difcult [23].

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The second problem (irrelevance) appears with the choice of the t too large. In this case the reconstructed vectors become totally uncorrelated and the extraction of any information from this phase space picture becomes impossible. In this paper, the rst zero of the autocorrelation function Rt 0 was used in order to avoid both mentioned problems related with the t denition (see Eq. (4)). For all reconstructed dynamics dened with this value, the pseudo-phase portraits showed a regular behaviour and reected clearly the main trajectories of the dynamical system P  xit x  xi x ; (4) Rt i P xi 2
i

 is the arithmetic mean. where, x The denition of the embedding dimension in this paper was taken according to the Takens theorem, where the number of m-reconstructed vectors should be mX(2D2+1). For the application of the A-AD-QE method to the unknown dynamical systems, we suggest to carry out a preliminary study where m should be calculated until 21. This value was enough to characterise the low-dimensional systems studied in this paper. Therefore, an optimum value of m should be dened in order to decrease the processing time in on-line measurements. 2.2. Correlation dimension The correlation dimension is derived from the correlation integral, which is a cumulative correlation function that measures the fraction of points in the m-dimensional reconstructed space and is dened as C r; m 2 N m N m 1
Nm X

Y r xi; m xj ; m ;

(5)

i; j 1 j 4i

where Y is the Heaviside function, such that Yx 0 if xp0 and Yx 1 for x40; JyJ indicates the Euclidean norm of the vector, N m N m 1t is the length of the reconstructed vectors and r is the correlation length [24]. C(r) is related with the correlation dimension by means of the power law: C r; m  rD2 m ; (6)

where D2(m) is the correlation exponent and varies with the increase of m. The particular correlation exponent can be found as the slope over the lineal region (scaling region) from the loglog plot of C r; m vs. ln(r). The standard deviation of the t is taken as the error of the obtained dimension value. A minimal value for the standard deviation directly leads to a good approach for the correlation exponent estimation. For low-dimensional dynamic systems, the plot of D2(m) vs. m may converge for sufciently large m. The obtained value for the plateau zone, denes the correlation dimension D2.

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2.3. The A-AD-QE method The A-AD-QE method is called to be a robust tool for the D2 estimation in an automatic way for its implementation in on-line condition monitoring of large rotating machinery. Its principal idea is to provide a D2 denition taking as reference the second derivative application to the correlation integral (d2 lnC r; m=dln r2 vs. lnri =r0 ). The implementation of the A-AD-QE method is based on the use of resizable xy-band-pass lter windows (BPFW) with dimensions: height x and length L, over all points of the normalised second derivative of the correlation integral. This BPFW is moving in a zero-vicinity of x-axis of the second derivative function. Once the second derivative to the correlation integral is computed, the following step in the A-AD-QE method is an iterative change of the size denition of the BPFW. Initial parameter x should be taken as minimum as possible and L increases accordingly with the number of analysed points, which should satisfy that their ordinate is smaller than the height of the specic window, according to the iterative process. The necessary and sufcient conditions to stop this process are the existence of the appropriate number of continuous points that are within the specic BPFW dimensions. In our experience the number of point should be higher or equal to six, in order to obtain a good approach to the proper scaling region denition of the correlation integral. As an important result, the difference among the initial and nal points of the BPFW (length of the plateau zoneLPZ=ln(rINITIAL/r0)ln(rEND/r0)) denes the length of the best plateau zone LPZ, which is located in a zero vicinity. The LPZ denition is in correspondence with the scaling region of the correlation integral, which allows the D2 determination in an automatic way. This is a principal advantage of the introduced method in on-line monitoring system. Fig. 1 shows a simplied owchart of the A-AD-QE method. The appearance in the correlation integral plot of more than one scaling region is a real problem for some mechanical systems [7]. In this case, the A-AD-QE method denes the rst LPZ as a criterion for the scaling region denition. The introduced method was tested by means of well-known analytic models, such as van der Pol oscillator [25], Henon Map [26] and Lorenz attractor [27]. The obtained results for the D2 estimation are comparable with other reported models (see Table 1). Fig. 2 shows a schematic representation of practical application of the A-AD-QE method. In this gure, the correlation integral as well as its rst and second derivatives of the 12th embedding dimension of the Lorenz attractor are shown. The LPZ coincides with the plateau zone in the rst derivative plot and with the scaling region of the correlation integral. The least square regression of the selected scaling region yields that the slope of the scaling region is 2.057(o0.01). The D2 for this model is 2.07.

3. Case study In order to test the applicability of the A-AD-QE method in on-line monitoring, vibration measurements of large rotating machines have been analysed. The main characteristics of these

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Fig. 1. Simplied owchart of the A-AD-QE method. (*) An iterative procedure, where the size of BPFW x and length L changes (see details in Section 2.3). Table 1 Comparison between reported D2 value and obtained by A-AD-QE method for different well-known models Modela Lorenz attractor van der Pol oscillator Henon map D2 reported 2.07 1.00 1.26 D2A-AD-QE 2.05 1.08 1.25 Absolute error 0.02 0.08 0.01 Data length 2050 2050 2050

Lorentz attractor: dx=dt sy x; dy=dt xz rx y; dz=dt xy bz; s 10; r 28 and b 8=3: van der Pol oscillator: q2 x=qt a1 x2 qx=qt kx f cos Ot; a 5; k 1; f 1 and O 2:446: Henon map: X n1 1 aX 2 n Y n ; Y n1 bX n ; a 1:4 and b 0:3: a Characteristic equations of the analysed models.

analysed signals and parameters for the embedding procedure are shown in Table 2. The choice of the sampling rate was preceded by a study of the spectrum for frequencies up to 5.4 kHz (90 1X).

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Fig. 2. Schematic representation of the A-AD-QE method. The LPZ in the second derivative of the correlation integral coincides with the plateau zone in the rst derivative of the correlation integral and with its scaling region.

Table 2 Time series characteristics and embedding parameters Parameter Sampling time Data volume No. of records Embedding dimension Nomenclature Ts N Nrec m Value 1.0 ms 1024 10 21

3.1. Experimental procedure The monitoring system is shown in Fig. 3. All transducers were attached to the uid-lm bearings of a large rotating machine and used to generate scalar time series for the embedding procedure. The signals for all measurements (more than 180) were sampled at 1.0 ms. The data volume was taken as 10 records of 1024 points each. The comparison between all measurements has the objective of analysing the A-AD-QE method sensitivity under different dynamical states. The recorded signals were sampled for different bearings, at 15 with the same conguration of the data collection system (Fig. 3). In this paper, four measurements are evaluated (one measurement for each bearing at 14). The

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Fig. 3. Monitoring system for data collection.

nomenclature of the measurements is taken with the capital letter B and subsequently, the bearing number and its respective direction. The waveforms after normalisation by its maximum amplitudes are shown in Fig. 4. Note how the signal for the B1V is more irregular than others, with a high inuence of a low frequency (subrotational frequency). The oscillation behaviour for the B2V and B3V is more regular, taking as reference the pick value evolution of the main period of the signals. In addition, the B2V signal seems to be less contaminated by noise. In the case of the B4 V measurement, its waveform is displaced upwards and it is expected that this behaviour be manifested in the dynamics reconstruction. 3.2. Results The reconstructed pseudo-phase portraits, obtained from the raw signals, are displayed in Fig. 5. The trajectories of the reconstructed pseudo-phase portraits show clear topological distributions, giving the possibility to analyse the dynamical system complexity and their direct relation with the time series. 3.3. Discussion The preliminary study in the reconstruction of the phase space until m 21 of the analysed mechanical systems corroborated that the saturation value of D2(m) vs. m plot for m46 was reached. According to this result, the application of the A-AD-QE method was done for m 10: Fig. 6 shows the correlation integral (ln(C(r,m)) vs. ln(r/r0). We observe that the plots of B1V, B3V as well as B4V are similar and displayed a high slope for the low abscissas. This behaviour is due to the noise inuence and will be corroborated in this study. In fact, the measurement B2V is less corrupted by noise, its pseudo-phase portrait is more regular (in comparison with other

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1.0 0.5 Amplitude 0.0 -0.5 -1.0 0.0 Amplitude 0.2 0.4 0.6 0.8 1.0 0.5 0.0 -0.5 -1.0 0.0

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Fig. 4. Waveforms after normalisation of all measurements by its maximum amplitudes.

analysed signals) and its correlation integral shows a higher degree of smoothness. The higher abscissas of all curves are similar and we expect to obtain a clear plateau zone in the dlnC r; m=dln r vs. ln(r/r0) plot as indicator for the existence of an attractor, even though the analysed signals are contaminated by noise. As expected, plots of the rst derivative of the correlation integral (dlnC r; m=dln r vs. ln(r/r0)) display a plateau zone with values among 1 and 2 for all measurements (Fig. 7). This indicates that the analysed oscillating processes are dominated mainly by a low-dimensional dynamic system. More detailed discussion about the slope zones classication can be found in [27]. Throughout the second derivative plot of the correlation integral, in addition to the denition in automatic way of the D2, the A-AD-QE method provides the possibility of a very clear zone denition of the plot. Fig. 8 shows a typical example of the zones denition using the second derivative plot of the B4V measurement (m 3221). For a particular study, we suggest to analyse only one embedding dimension of the saturation region of D2(m) vs. m. Each zone in the second derivative plot has its practical value. In this paper we concentrated our attention to the second one, which is related directly to the scaling region denition. Nevertheless, it is important to give some remarks about the others. Zones I and III can be used for practical evaluation of the noise inuence on time series. Furthermore, the minimum value for the ln(r/r0) is related to the complexity of the analysed dynamics. The geometric conguration of zone III can be used to evaluate the quality of the reconstruction of the dynamics.

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1.0 0.5 x(t+Tau) 0.0 -0.5 -1.0 -1.0 x(t+Tau) 1.0 0.5 0.0 -0.5 -1.0 -1.0

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Fig. 5. Reconstructed pseudo-phase portraits for each measurement. The values of t; based on the rst zero of the autocorrelation function (R(0)=t) for the analysed signals are: tB1V 8; tB2V 3; tB3V 3 and tB4V 3:

Fig. 9 shows the second derivative of the correlation integral (d2 lnC r; m=dln r2 vs. ln(r/ r0)) and the LPZ after application of the A-AD-QE method. It can be observed that an important qualitative approximation can be made between the local complexity of the pseudo-phase portraits and the minimum value ln(r/r0) of zone I. Here the minimum value is related to the smaller complexity of the analysed dynamic system. This statement is related directly to the pseudo-phase portrait behaviour (see Fig. 5). An important parameter derived for the A-AD-QE method is the LPZ value. Table 3 shows that the maximum value for LPZ is obtained for the B2V, which shows a more regular pseudophase portrait (see Fig. 5). The analysis of this parameter represents an important quantitative indicator to the dynamic characterisation. The obtained results for the evaluated raw signals corroborate their low complexity. For a real value of D2 estimation, a nonlinear lter should be applied. Nevertheless, for the analysed dynamics and in general, for normal condition monitoring of large rotating machinery, the lter application will facilitate the plateau zone denition and will improve the applicability of the AAD-QE method. Furthermore, for this kind of machinery, we would like to remark that noise is an additional diagnostic source.

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14 12 10
ln (C (r,m))

8 6 4 2 0 -4 -3 -2 ln (r/r0) -1 0

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Fig. 6. Correlation integral (lnC r; m vs. ln(r/r0)) for all analysed dynamics.

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Fig. 7. First derivative of the correlation integral (dlnC r; m=dln r vs. ln(r/r0)) for all analysed signals.

As it was stated before, the zone II is the most important one because it denes the LPZ and the corresponding scaling region as a function of m. The main results of the A-AD-QE method application are shown in Table 3. The obtained D2 values have direct relation with the dynamical

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Fig. 8. The zones in the second derivative of the correlation integral obtained by the application of the A-AD-QE method for the measurement B4V.

complexity. Note that the standard deviation for the least square regression analysis is less than 0.01 according to the dened scaling region. This result demonstrates the high accuracy of the method.

4. Conclusions In this paper, a robust method (A-AD-QE) for the correlation dimension estimation in an automatic way is introduced, for its implementation in on-line condition monitoring of large rotating machinery. The applicability of the introduced method for the scaling region denition is discussed. In addition, it is demonstrated that the A-AD-QE method provides the possibility to analyse the geometrical structure of the obtained second derivative of the correlation integral and its relation with the pseudo-phase portrait. An important parameter derived for the A-AD-QE method is the LPZ. This quantitative indicator is used to characterise the studied dynamics. The effectiveness of the introduced method is veried by means of the calculation of wellknown analytic models. Furthermore, the A-AD-QE method is applied to processing of real signals, recorded from different points of a large rotating machine. In both cases, the results show its high sensitivity, taking as reference the obtained values for the standard deviation of the least square regression. Further works in this thematic should be directed to the verication of the introduced method in more complex dynamics and in other mechanical systems.

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Fig. 9. Second derivative plot of the correlation integral for all analysed dynamics based on A-AD-QE method.

Table 3 Results of A-AD-QE methods and D2 for all analysed dynamics Measurement LPZ by A-AD-QE method |ln(r1/r0)| B1V B2V B3V B4V 1.37 2.13 1.11 0.99 |ln(r1/r0)| 1.07 1.08 0.59 0.65 LPZ 0.30 1.05 0.52 0.34 1.867(o0.01) 1.157(o0.01) 1.147(o0.01) 1.347(o0.01) Correlation dimension (D27s)

Acknowledgements One of the authors (A.R-N) is very grateful for the nancial support of the German Academic Exchange Service (DAAD) for a 3 months research grant in the Technomathematic Center of the

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University of Bremen. He would also like to express his gratefulness to Prof. Dr. Peter Maab and to Dr. Torsten Ko hler for the interesting discussions and their invaluable scientic advice.

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