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Review Article
VIBRATION ANALYSIS TECHNIQUES FOR GEARBOX
DIAGNOSTIC: A REVIEW
1
Amit Aherwar, 2Md. Saifullah Khalid
(v) the dynamic interaction between the item and likely that there is a manufacturing error. Design
other items in contact with it. The main causes of errors may be due to causes like improper gear
mechanical vibration are unbalance, misalignment, geometry, use of wrong materials, quality, lubrication
looseness and distortion, defective bearings, gearing and other specifications. Application errors can be
and coupling in accuracies, critical speeds, various due to problems like vibration, mounting and
form of resonance, bad drive belts, reciprocating installation, cooling and maintenance while
forces, aerodynamic or hydrodynamic forces, oil manufacturing errors can be in the form of mistakes
whirl, friction whirl, rotor/stator misalignments, bent in machining or problems in heat treating. Summary
rotor shafts, defective rotor bars, and so on. Some of of safety critical failure modes (Table 2), several
researchers worked on the subject of gearbox defect
the most common faults that can be detected using
detection and diagnosis through vibration analysis.
vibration analysis are summarized in Table 1
Time domain, frequency domain, time frequency
Table 1: Some typical faults and defects that can domain based on short time Fourier transform
be detected with vibration analysis (STFT) and wavelet transform and advanced signal
processing techniques have been implemented and
tested.
Table 2 Safety critical failure modes
characteristics of the machine. In the FFT plot narrow band filters or, more commonly in recent
various peaks with large and small are presented times, using the discrete Fourier Transform (DFT) of
corresponding to characteristic frequencies shows the digitized data. The vibration level at each ‘frequency’
origin of defects. Or we can say FFT shows the represents the vibration over a narrow frequency
frequencies in terms of shaft harmonics. For gear band centered at the designated ‘frequency’, with a
problems, special attention must be given to gear’s bandwidth determined by the conversion process
FFT spectrum’s bearing defect frequencies. The employed. For machines operating at a known
spectra of FFT may produce peaks at identified fault constant speed, the frequencies of the vibrations
frequencies. These peaks may or may not represent produced by the various machine components can be
the indicated fault. One must look for harmonics to estimated therefore, a change in vibration level
determine if the identified frequencies were within a particular frequency band can usually be
generated from the indicated fault. associated with a particular machine component.
If peaks appear at the fundamental fault frequency Analysis of the relative vibration levels at different
and also at frequency two times of fundamental frequency bands can often give an indication of the
frequency, it shows strong indication of reality of nature of a fault, providing some diagnostic
fault. capabilities. The frequency domain spectrum of the
If no peak appears at the fundamental fault vibration signal reveals frequency characteristics of
frequency but peaks are present at two, three, and vibrations if the frequencies of the impulse
maybe four times of fundamental fault frequency, occurrence are close to one of the gear characteristic
then this also represents a strong indication that frequencies, such as gear frequency, pinion
the indicated fault is valid. frequency, gear mesh frequency, as shown in
FFT for determination of the severity of the fault: equations (3.7 to 3.9). Then it may indicate a defect
One way to determine the fault’s severity is to related fault in the gearbox.
compare its amplitude with the past readings The Gear frequency (Frg) is given by
taken under consistent conditions. Frg = Rg / 60 (Hz) ------------------------------- (3.7)
Another way is to compare the amplitude to the The Pinion frequency (Frp) is given by
other readings obtained by similar machines Frp = Rp / 60 (Hz) ------------------------------- (3.8)
running under same conditions. A higher than The Tooth Mesh Frequency (Frm) is given by
normal reading indicates a problem. Frm = Frp x Np (Hz) or Frg x Ng (Hz) --------- (3.9)
3.2.2 Frequency band analysis Where: Rg is the speed of gear in rpm, Rp is the speed
Often, the fault detection capability using overall of pinion in rpm, Np is the number of teeth on the
vibration level and/or wave shape metrics can be pinion and Ng is the number of teeth on gear
significantly improve by dividing the vibration signal 3.2.4 Conversion to the frequency domain
into a number of frequency bands prior to analysis. The frequency domain representation of a signal can
This can be done with a simple analogue band-pass be described by the Fourier Transform [9] of its time
filter between the vibration sensor and the domain representation
measurement device. The rationale behind the use of ∞
band-pass filtering is that, even though a fault may X ( f ) = ∫ x(t )e − j 2πft dt. ------------- (3.10)
not cause a significant change in overall vibration
signal (due to masking by higher energy, non-fault −∞
Where x(t) is the original function in time domain,
related vibrations), it may produce a significant
X(f) is the Fourier transform of the function x(t).
change in a band of frequencies in which the non-
The inverse process (Inverse Fourier Transform [9])
fault related vibrations are sufficiently small. For a
can be used to convert from a frequency domain
simple gearbox, with judicious selection of frequency
representation to the time domain
bands, one frequency band may be dominated by
shaft vibrations, another by gear tooth-meshing ∞
x(t ) = − j 2πft df . ----------------- (3.11)
vibrations, and another by excited structural ∫ X ( f )e
resonances; providing relatively good coverage of all −∞
gearbox components. Where j is the square root of -1 and e denotes the
3.2.3 Spectral Analysis natural exponent. In the above equation, t stands for
Spectral (or frequency) analysis is a term used to time, f stands for frequency, and x denotes the signal
describe the analysis of the frequency domain in frequency domain.
representation of a signal. Spectral analysis is the There are a number of limitations inherent in the
most commonly used vibration analysis technique for process of converting vibration data from the time
condition monitoring in geared transmission systems domain to the frequency domain.
and has proved a valuable tool for detection and basic 3.2.5 FFT Analyzers
diagnosis of faults in simple rotating machinery [26]. Most modern spectrum analyzers use the Fast Fourier
Whereas the overall vibration level is a measure of Transform (FFT) [10], which is an efficient algorithm
the vibration produced over a broad band of for performing a Discrete Fourier Transform (DFT)
frequencies, the spectrum is a measure of the of discrete sampled data.
vibrations over a large number of discrete contiguous The Discrete Fourier Transform is defined as [27]
narrow frequency bands. The fundamental process
1 N −1
mn
common to all spectral analysis techniques is the − j 2π
X (m) = ∑ x ( n) e N
----------------- (3.12)
conversion of a time domain representation of the N
vibration signal into a frequency domain n=0
representation. This can be achieved by the use of and the Inverse Discrete Fourier Transform [36] is
nth frame of the spectrum is calculated from An. fourth moment of the residual signal by the square of
When the average number N is reached, the averaged its run time averaged variance. The run time averaged
time block signal is variance is the average of the residual signal over
AN = (AN-1 *(N-1) + TN )/N = (A1 + A2 + A3 + … each time signal in the run ensemble up to the point
AN-1 + AN )/N at which NA4 is currently being calculated. NA4 is
The averaged spectrum is calculated from AN. given as
For time synchronous exponential average: spectrum N∑
N
(r − rM ) 4 ----- (3.16)
keeps updating and never stops. NA4( M ) = i =1 iM
α = 1/N = inverse of the average number N 2
1
∑ j =1 ∑ i =1(rij − r j ) 2
M N
Tcur = current frame of the time block signal
M
Acur = current average of the time block signal Where r is the mean of the residual signal, N is the
Apre = previous average of the time block signal total number of data points in the time signal, M is
The averaged time block signal is the number of the current time signal, and j is the
Acur = (1- α)*Apre + α * Tcur index of the time signal in the run ensemble. Like
The averaged spectrum is calculated from Acur. FM4, NA4 is nondimensional and designed to have a
Stewart developed a number of non-dimensional nominal value of 3 if r is purely Gaussian.
parameters based on the synchronous signal average, 3.4.4 M6A
which he termed ‘Figures of Merit’ [38]. These were The parameter M6A was proposed by Martin in 1989
originally defined as a hierarchical group, with which as an indicator of surface damage on machinery
Stewart described a procedure for the detection and components [13]. The underlying theory is the same
partial diagnosis of faults. as that of FM4. However, it is expected that M6A
3.4.1 FM0 will be more sensitive to peaks in the difference
The parameter FM0 was developed by Stewart in signal due to the use of the sixth moment. M6A is
1977 as a robust indicator of major faults in a gear given as
mesh [11]. Major changes in the meshing pattern are
N
detected by comparing the maximum peak-to-peak N 2 ∑ (di − d )6 --------------------- (3.17)
M 6A = i =1
amplitude of the signal to the sum of the amplitudes 3
N (d − d ) 2
∑i =1 i
of the mesh frequencies and their harmonics. FM0 is
given as
PPx Note that in this case, the moment is normalized by
FM 0 = ----------------------- (3.14)
the cube of the variance.
H
∑ n = 0 Pn 3.4.5 M8A
where PPx is the maximum peak-to-peak amplitude The parameter M8A, also proposed by Martin in
of the signal x; Pn is the amplitude of the nth 1989, is designed to be yet more sensitive than M6A
harmonic, and H is the total number of harmonics in to peaks in the difference signal [13]. M8A uses the
the frequency range. Notice that in cases where PPx eighth moment normalized by the variance to the
increases while Pn remains relatively constant, FM0 fourth power and is given as
N
increases. Also, if Pn decreases while PPx remains N 3∑ ( d − d )8
constant, FM0 also increases. M 8A = i =1 i ------------------- (3.18)
3.4.2 FM4 4
N (d − d ) 2
Developed by Stewart in 1977, the parameter FM4 ∑ i =1 i
was designed to complement FM0 by detecting faults
3.4.6 NB4
isolated to only a limited number of teeth [11]. This
The parameter NB4 was developed by Zakrajsek,
is accomplished by first constructing the difference
Handschuh and Decker in 1994 as an indicator of
signal, d; given in Eq. (5). The normalized kurtosis of
localized gear tooth damage [14]. The theory behind
d is then computed. FM4 is given as
NB4 is that damage on just a few teeth will cause
N
N ∑ (d i − d ) 4 transient load fluctuations different from those load
FM 4 = i =1 ------------------- (3.15)
fluctuations caused by healthy teeth, and that this can
2
N (d − d ) 2
∑i =1 i
be seen in the envelope of the signal. As with NA4,
NB4 uses the quasi-normalized kurtosis. However,
instead of the difference signal, NB4 uses the
Where d is the mean of the difference signal, and N
envelope of the signal band-pass filtered about the
is the total number of data points in the time signal.
mesh frequency. The envelope, s is computed using
FM4 is nondimensional and designed to have a
the Hilbert transform and is given by
nominal value of 3 if d is purely Gaussian. When
higher-order sidebands appear in the vibration signal, s(t ) = [b(t ) + i[H (b(t ))]] --------------------- (3.19)
FM4 will deviate from this value. Where b(t) is the signal band-pass filtered about the
3.4.3 NA4 mesh frequency, H(b(t)) is the Hilbert transform of
The parameter NA4 was developed in 1993 by b(t); and i is the sample index.
Zakrajsek, Townsend, and Decker at the NASA 3.4.7 NA4*
Lewis Research Center as a general fault indicator The parameter NA4* was developed in 1994 by
which reacts not only to the onset of damage as FM4 Decker, Handschuh and Zakrajsek as an enhancement
does, but also to the continuing growth of the fault to NA4 [15]. In this case, the denominator of NA4 is
[12]. The residual signal r; given in Eq. (6), is first statistically modified, i.e. when the variance of the
constructed. The quasi-normalized kurtosis of the residual signal exceeds a certain statistically
residual signal is then computed by dividing the
IJAET/Vol.III/ Issue II/April-June, 2012/04-12
International Journal of Advanced Engineering Technology E-ISSN 0976-3945
determined value, the averaging stops and the With the development of soft computing techniques
denominator is locked. This modification was made such as artificial neural network (ANN) and fuzzy
based on the observation that as damage progresses logic, there is a growing interest in applying these
from localized to distributed, the variance of the approaches to the different areas of engineering.
signal increases significantly, causing the kurtosis to Artificial Neural Networks (ANN) have become the
settle back to nominal values after the initial outstanding method in the recent decades exploiting
indication of the onset of damage. By normalizing the their non-linear pattern classification properties,
fourth moment by the variance of a baseline signal offering advantages for automatic detection and
from the transmission operating under nominal identification of gearbox failure conditions, whereas
conditions, NA4* is provided with enhanced trending they do not require an in-depth knowledge of the
capabilities. Since it was observed that the variance behavior of the system. Recent systems have relied
of a damaged transmission signal is greater than that on artificial intelligence techniques to strengthen the
of a healthy transmission signal, the decision to lock robustness of diagnostics systems. Four artificial
the denominator is made based on an upper limit, L; techniques have been widely applied as expert
given by system, neural networks, fuzzy logic, and model-
Z based systems [16]. Different kinds of artificial
L=v+ σ ----------------------- (3.20) intelligence method have become common in fault
N diagnosis and condition monitoring. For example,
Where v is the mean value of previous variances, Z is fuzzy logic and neural networks have been used in
the probability coefficient usually chosen for a modeling and decision making in diagnostics
normal distribution, s is the standard deviation of the schemes. Neural networks-based classifications are
previous variances, and N is the number of samples. used in diagnosis of gearbox. Rafiee. J et al, proposed
Z for a normal distribution can be found in any fault detection and identification of gearboxes using a
introductory statistics text. However, the actual new feature vector extracted from standard deviation
choice of Z should be made based on of wavelet packet coefficients of vibration signals of
experimentation as too small a value could lead to an various faultless and faulty conditions of a gearbox
over abundance of false alarms. using ANN. Over and above the structure of ANN, an
3.4.8 Demodulation appropriate feature vector plays a vital role in
The original observation made by Stewart [11] that training a high performance ANN. Ultimately a MLP
gear tooth damage causes an increase in the (Multi-Layer Perceptron) network with a 16:20:5
amplitude of the sidebands about the regular meshing structure has been used that not only is small in size
components led to further investigations into the but also with a 100% perfect accuracy and
nature of the amplitude and phase modulation performance to identify gear failures and detect
functions. It was proposed that the vibration signal bearing defects [19].
could be demodulated to obtain separate ANN-based research to carry out the task can be
approximations of the amplitude and phase categorized into two distinct groups: fault
modulation functions and that these approximations identification systems with low efficiency which was
could subsequently be inspected to find early presented by Kazlas et al [20] to recognize gears and
indications of gear damage [16, 17]. This work was bearings failures of a helicopter gearbox and fault
further refined by Blunt and Forrester [18] to produce detection systems with high efficiency which is
a useful damage indicator referred to as a bulls-eye illustrated by Samanta et al. [52] to detect roller-
plot which indicates both amplitude and phase bearing elements defects. Precisely speaking, fault
demodulations simultaneously. identification proves effective in the case of
4. ADVANCED SIGNAL PROCESSING particular fault classification systems, whereas this
TECHNIQUES IN VIBRATION ANALYSIS may be in conflict with a situation that there is a
An overall schema for intellectual diagnostics is requirement to a comprehensive fault detection
presented in Figure 5. Intelligent diagnosis begins system to provide accordingly precision and
with the act of data collection which is followed by promptness. The objective of this research was to
feature extraction usually employing the frequency develop an ANN-based system with high efficiency
spectra. Feature extraction techniques are widespread and the lowest erroneous outcome to identify faulty
and can range from statistical to model based gears and detect faulty bearing of a gearbox which
techniques and comprises a variety of signal has a lot of applications for preventing from fatal
processing algorithms which includes wavelet breakdowns in rotary machineries. Zhenya et al.
transforms. Fault detection and identification is a proposed a multilayer feed forward network-based
subsequent step and is further classified in this machine state identification method. They represent
review into the four categories shown in the figure - certain fuzzy relationship between the fault
these will now be treated separately. symptoms and causes, with highly nonlinearity
between the input and the output of the network [21].
Fuzzy logic-based fault diagnosis methods have the
advantages of embedded linguistic knowledge and
approximate reasoning capability. The Fuzzy logic
proposed by Zadeh [22] performs well at qualitative
description of knowledge. However, the design of
such a system depends heavily on the intuitive
experience acquired from practicing operators thus
Figure 5: Intelligent fault diagnosis
resulting in subjectivity of diagnosed faults. The
IJAET/Vol.III/ Issue II/April-June, 2012/04-12
International Journal of Advanced Engineering Technology E-ISSN 0976-3945
fuzzy membership function and fuzzy rules cannot be contact surfaces is only useful to find the
guaranteed to be optimal in any case. Furthermore, healthy or faulty condition but not capable to
fuzzy logic systems lack the ability of self learning, identify the categories of fault.
which is compulsory in some highly demanding real- These conclusions motivate further research to
time fault diagnosis cases [25]. Rough set based incorporate other parameters and symptoms with
intelligence diagnostic systems have been constructed vibration features to develop more robust expert
and used in diagnosing valves in three-cylinder systems for diagnose the problem of gear faults
reciprocating pumps [24] and turbo generators [25]. signature analysis.
Intelligent systems cover a wide range of techniques It has been shown that using these ways of vibration
related to hard science such as modeling and control signal analysis there are possibilities to detect signal
theory, and soft science such as the artificial faults and distributed faults in gearboxes. A signal
intelligence. Intellectual systems, including neural fault is caused by a tooth crack/fracture and breakage,
networks, fuzzy logic, and hybrid techniques, utilize a spall in a gearing or in an inner or outer race of a
the concepts of biological systems and human bearing, a spall on a rolling element of a bearing;
cognitive capabilities. These three systems have been distributed faults are caused by uneven wear (pitting,
recognized as a robust and alternative to some of the scuffing, abrasion, erosion).
classical modeling and control methods [24]. ACKNOWLEDGEMENT
5. CONCLUSION The authors are pleased to acknowledge the support
In this paper, authors have been presented a brief of Madhav Institute of Technology and Science
review of some current vibration based techniques (MITS), Gwalior, India for providing the facility of
used for condition monitoring in geared transmission literature review. A special thanks to Prof. Pratesh
systems. After the review of literature on gear fault Jayaswal, Reader, Mechanical Engineering
analysis, the following points are concluded. Department, MITS Gwalior, India, for the motivation
(i) Gearbox vibration signals are usually periodic & guidance throughout the study.
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IJAET/Vol.III/ Issue II/April-June, 2012/04-12
International Journal of Advanced Engineering Technology E-ISSN 0976-3945