Intelligent Condition Monitoring

Using Vibration Signals

Esko Juuso*, Mika Kivistö and Sulo Lahdelma

Mechatronics and Machine Diagnostics Laboratory, Department of Mechanical Engineering
P.O.Box 4200, FIN-90014 University of Oulu, Finland
email: {mika.kivisto, sulo.lahdelma}@me.oulu.fi
*Control Engineering Laboratory, Department of Process and Environmental Engineering
P.O.Box 4300, FIN-90014 University of Oulu, Finland
email: esko.juuso@oulu.fi

ABSTRACT: Machine condition monitoring enables reliable and economical way of action for maintenance operations
in modern industrial plants. Increasing number of measurement points and more demanding problems require automatic
fault detection. Advanced signal processing methods exposed failures earlier and then it’s possible to plan more
operating time and less shutdowns. Intelligent methods have been increasingly used in model based fault diagnosis and
intelligent analysers. Intelligent methods provide various techniques for combining a large number of features. A test
rig was used to simulate different fault types and changes in operating conditions. Linguistic equation (LE) models were
developed for the normal operation and nine fault cases including rotor unbalance, bent shaft, misalignment and bearing
faults. Classification is based on the degrees of membership developed for each case from the fuzziness of the LE
models. The classification results of the experimental cases are very good and logical. As even very small faults are
detected by a slight increase of membership, the results are very promising for early detection of faults. Together with
the compact implementation and the operability of the normal model, this makes the extension to real world problems
feasible.

KEYWORDS: condition monitoring, vibration measurement, higher derivatives, linguistic equations, fuzzy logic

INTRODUCTION

Reliability of operation, high quality, safety and environmental issues are important parts of competitiveness. Machine
condition monitoring enables reliable and economical way of action. Overhaul before breakdown is in many cases more
effective than run to failure method. Recognizing the most important machines for production and theirs appropriate
health monitoring bring in considerable benefits. Increasing number of measurement points and more demanding
problems require automatic fault detection. Condition monitoring professionals have more time to identify root causes
when a system takes care of some routine tasks [1].

There are many variables for machine failure detection. Measurable changes can happen e.g. in machines vibration,
temperature, power consumption and number of particles in lubricant. Generally, vibration measurements are the most
widely used methods. It’s possible to determine most of the mechanical problems and many electrical failures by
examining vibration signal. Advanced signal processing methods exposed failures earlier and then it’s possible to plan
more operating time and fewer shutdowns.

Condition monitoring of typical machines is quite well known area. There is no direct method to measure machines
condition. However, connection between vibration and machines health is evident. Some variations in signal are
explained by changes in machines operation but variations are also part of vibration signals nature. Typical changes in
machine operation are load and rotating speed. It’s important to be able to diagnose the failure type and its criticality
because there is in some cases long time between breakdown and first signs of fault. Failure types that typically occur
during the machines life cycle are predictable because of structures are so similar in many machine types. Faults

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 commonly recognized according to the simple rules. Diagnosing the fault type is easier compared to forecasting how
long the machine still run before breakdown. It’s possible to identify simultaneously more than one fault. Those faults
can be independent or consequences of extra stress caused by another fault.

There are internationally accepted standards in the area of condition monitoring. Limits are set for displacement and
velocity even though it’s well known that e.g. bearing failures can not been recognize in early stage when using these
parameters. Often it’s easier to determine faults criticality and machines remaining life from vibrations trend than its
absolute values. Variations in trend and rate of change are basic features when estimating severity of the faults.

Intelligent methods have been increasingly used in model based fault diagnosis and intelligent analysers. Intelligent
methods provide various techniques for combining a large number of features [2]. Case based modelling with linguistic
equation (LE) was first developed for the analysis of web breaks in paper machines. Linguistic equations are designed
for integrating knowledge and data in development of non-linear multivariable systems for intelligent process analysis,
process control, fault diagnosis and forecasting. Insight to the process operation is maintained since all the modules can
be assessed by expert knowledge and membership definitions relate measurements to appropriate linguistic terms on
different operating areas.

TREATMENT OF THE MEASUREMENT PARAMETERS

The measurement parameters traditionally used in condition monitoring are displacement, velocity and acceleration, i.e.
x ≡ x(0) , x& ≡ x(1) and &x& ≡ x(2). The first time derivative of acceleration, i.e. the jerk &x&& ≡ x(3), is commonly used to
examine the comfort of travelling in vehicles. The parameters x(3) and x(4) are very suitable for the condition monitoring
of slowly rotating bearings [3],[4]. This is due to the fact that although the acceleration pulses are weak and occur at
long intervals, the changes in acceleration are rapid and become emphasised upon differentiation of the signal x(2). Use
of derivative x(α) allows stepless differentiation [3],[1], which means that it will be possible to move from the
acceleration signal x(2), for example, to signal x(4) via a number of intermediate stages [5],[6].

Functions of the form

x (t ) = Xe i (ω t +ϕ ) (1)

(α )
occupy a prominent position in vibration mechanics. Let us define the derivative x of function (1) as
π (2)
i ( ω t +α +ϕ )
x (α ) = ω α Xe 2

where α ∈ R is the order of differentiation, ω is angular frequency, X is amplitude, e is Napierian number, i = −1 ,

t is a real variable and φ is phase angle.

Displacement,
x = x (t ) = X sin(ωt + ϕ ) , (3)

is the imaginary part of the function x , i.e. x = Im x . The derivative x(α) will referred to as the derivative of real
number order, as it is a more logical name than the fractional derivative. The derivative x(α) contains as special cases
derivatives where the order is an integer or a rational number. It can be seen from definition (2) that differentiation
involves the multiplication of X by ωα and change of the phase angle by ½απ in a linear manner as a function of α.

In this analysis, sensitivity of detecting bearing faults means ratio between features of damaged and undamaged
bearing. Sensitivity increases first with increasing order of the differentiation. After feature specific threshold sensitivity
starts to decrease [5],[6]. High sensitivity is beneficial for early detection of faults. In an example shown in Figure 1, the
best results were obtained when the order α was 4.75 with steps of 0.25. In this case, measurements were performed in
the frequency range 3 – 2000 Hz, with a shaft rotation speed of 120 rpm.

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 (α )
Figure 1. Sensitivity of detecting inner race fault by using peak value x p [6].

TESTS
Test rig was a modified equipment originally build by PIM Bt. It’s convertible small size apparatus with 0.18 kW AC
motor. The drive ratio is 1.18. Five different rotation speeds between 900–1140 rpm were used and measurements were
taken with seven separate accelerometers simultaneously. Two sensors measured axial vibration and five
accelerometers radial vibration in vertical direction. Measurements were taken in LabVIEW environment by using 24
bit A/D converter. Sample rate was 22050 Hz and number of samples was 16384. Test rig and measurements points are
in Figure 2.

Figure 2. Test rig.

At this time simulated following faults: rotor unbalance, coupling misalignment, bent shaft and three different bearing
faults. There was a small scratch in the bearings either on the inner race, on the outer race or on the rolling element.
Rotor unbalance (6.1 or 11 g) was on the drive shaft. Three different coupling misalignments were between motor and
input shaft. Driven shaft was bent in one test run. Damaged bearing installed same bearing housing every time.

Measurements were taken with five different rotating speeds, 100 measurements per each speed. The same
measurements were repeated for normal fault free operation, so there are 1000 measurements from normal state and 500
measurements from each fault type. Other operating conditions except rotation speed remain similar in all cases.

FEATURE EXTRACTION
The present fault types can been recognize from characteristic features. Unbalance can be identified from radial
vibration on rotating frequency. Bent shaft causes high vibration levels on radial and axial direction on rotating
frequency and its harmonics. Coupling misalignment causes similar symptoms than bent shaft. This jaw coupling allows
small misalignment before the signals peak level starts to increase. Bearing faults cause high frequency impulses and
different bearing faults can bee identified from the period of the impulses. Signals from normal state and two different
fault types are presented in Figure 3.

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 Unbalance doesn’t cause noticeable changes in acceleration signal but root-mean-square velocity (vrms) increases
significantly. Detection of the bearing fault is quite easy from accelerations time domain signal and the difference
between damaged and undamaged bearing become even clearer after differentiation of the acceleration signal. The first
time derivative of acceleration signal (jerk) and especially its peak value is good feature for purposes of condition
monitoring. E.g. bearing faults causes impulses, which can be seen peakiness of the signal. Kurtosis and crest factor are
parameters that indicates such changes. Kurtosis is the fourth central moment, normalized with respect to the square of
the variance.

Rotating speed and five parameters from each accelerometer were chosen to features. Detection of failures is possible to
perform with fewer features but these five features represent the vibration trend accurately [7]. The acceleration
measurements range was 3-10700 Hz. Two features, root-mean-square (arms) and kurtosis were obtained from
acceleration signals. Average of the three highest value of jerk signal in the measurement range is marked jerkpeak. Root-
mean-square velocities were calculated in two frequency ranges, 10-1000 Hz and 20-85 Hz, and the resulting features
were marked by v1 and v2, respectively.

Figure 3. Acceleration signals from different fault types. Point 1 is next to the motor and point 4 is next to the fan.

MODEL BASED DIAGNOSTICS

Even though fault cases are predictable and detectable, the normal situation is fault free operation. As it’s most likely
that one machine not going to be damaged in near future, the system should recognize normal situation and changes that
could be signs of fault. Different operating conditions can be detected by several features generated from measurement
signals. Feature extraction is essential for practical fault diagnosis.

Fault diagnosis and intelligent analysers are combined in model-based diagnostical process analysis (MDPA) [8]: the
resulting systems can be used in various ways suitable for software sensors, risk analysis and detection of sensor
failures. Fault diagnosis based on process parameters and theoretical modelling can be considered in more detail in the
heuristic problem solution component [2].

The basic idea of the linguistic equation (LE) methodology is the non-linear scaling of the model variables. The scaling
function is presented in the form of two monotonically increasing second order polynomials. Scaling functions are
formed from the training data. The shapes of polynomials are related to the distribution of the data. The scaling
procedure can be seen as a linearisation of the system [9]. The linguistic equation (LE) approach increases the
performance by combining various specialised models in a case-based approach: models can be generated automatically
from data.

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 Models are linear equations
m

∑A ij X j + Bi = 0 , (4)
j =1

where Xj is a linguistic level for the variable j, j=1...m. Each equation i has its own set of interaction coefficients Aij,
j=1...m. The bias term Bi was introduced for fault diagnosis systems. Various fuzzy models can be represented by LE
models, and neural networks and evolutionary computing can be used in tuning. Individual LE modules can be
transformed to fuzzy rule-based systems.

The web break sensitivity indicator has been implemented as a Case-Based Reasoning (CBR) -type application with
Linguistic Equations approach and Fuzzy Logic [10]. The indicator contains 25 models, five from each category of
breaks. On-line data is compared to these models in database and the indicator estimates how well the present
measurements fit to the equations.

For each process case k, all the equations i, i=1,…,nk, are considered. If equation i is true according to Equation (4), the
data point is on the model surface i of the process case k, and the degree of membership for that model is one. All
deviations reduce this degree. In the present system, symmetrical triangular membership functions are used for
evaluating the degree of membership. The degree of membership for the process case k is evaluated by taking a
weighted average from the degrees of membership of the individual equations. The degree of membership of each web
break category is generated from degrees of membership calculated for all the process cases included in the category.
Again the weighted average method is used.

Linguistic equations have been used in electronics manufacturing for detecting defects on Printed Circuit Boards [11].
With an ever-increasing complexity of the products, defects are very likely to occur, no matter how much attention is
put into their prevention. The functional testing system comes into use only during the final testing of the product and is
purely oriented towards the detection and localization of defects. The system is able to analyse and successfully detect
and trace a defect into a small area of the Printed Circuit Board. If sufficient amount of data is provided, self-tuning and
self-learning methods can be used. Diagnosis effectiveness can therefore be improved from detection of a functional
area towards component level analysis.

Detecting deviations from the normal operation was essential in a model based monitoring application developed for
automated screw insertions [12]. The LE model was developed with systematically collected experimental data and
fundamental process knowledge to verify the quality of assemblies. Fuzzy reasoning and basic statistical methods were
combined to interpret the model residuals and faults. The results indicate that the proposed method could successfully
cope with changes in manufacturing parameters.

A data based approach was used in the development of the web break indicator and the screw insertion monitoring with
an essential difference: models were based on process data for the paper machine and on systematically designed
experiments for the screw insertion. In the functional testing, application models were constructed from expert
knowledge. Fuzziness of linguistic equations was the basis for the evaluation in both the web break indicator and the
functional tester. For the screw insertion monitoring, the model of the normal case was based on the LE model, and the
model residuals and process specific quantities were utilised in fuzzy quality monitoring.

INTELLIGENT CONDITION MONITORING

Modelling was based on the linguistic equation based CBR type approach which has been earlier used in the web break
sensitivity indiacator [10]. Membership definitions were generated from data for all the features. Same membership
definitions were used for the normal case and all the faults. Examples of membership definitions are presented in Figure
4. Linguistic equations were generated for each case by using same variable groupings, e.g. variables shown in Figure 4
form one group. The resulting set of equations for the normal case consists of seven equations (Figure 5). The sequence
of equations corresponds to the sequence of fitting to the case, i.e normal case for the normal model. The fitting result is
used for defining the limits of the cases as membership funtions (Figure 6): the degree of membership (µ) is one in the
core area, and degrees between 0 and 1 are obtained in the other parts of the support area. The first four equations have
quite similar limits, but especially the sixth equation have considerable deviations. The level of fuzziness affects to the
weigth of the equation.

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 Figure 4. Membership definitions for five features.

Figure 5. Linguistic equation model of the normal case.

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 Figure 6. Fuzziness limits for the linguistic equations of the normal case.

Detecting deviations from the normal model is the first part of the fault diagnosis since the faults are not taking place so
frequently. The fuzziness is in a narrow range in the normal case (points 1-1000) for all the equations of the normal case
(Figure 7). There is only one exception: fuzziness of the equation 6 gets a large negative value for point in the normal
case. This deviation is caused by a exceptionally high value of the signal jerkpeak from the measurement point 3.

Higher fuzziness is detected in the fault cases, and each equation has its own sensitivity profile:
• The first four equations detect very clearly the differences caused by the bearing faults (points 4001-5500).
• Equation 5 detects the stronger rotor unbalance (points 1501-2000).
• The bent shaft (points 2001-2500) is detected with equations 3 and 4.
• The coupling misalignment (points 2501-4000) is seen in the fuzziness of the equations 6 and 7.

The light unbalance (points 1001-1500) and the light misalignment (points 2501-3000) are so close to the normal case
that the fuzziness is not changing in a noticeable way.

Even slight case differences can be seen in the overall degree of membership calculated from the degrees of
memberships of individual equations (Figure 8). This is visible in the moving average of the degree of membership
shown in Figure 8 b. The exceptional value of the fuzziness obtained for the equation 6 does not affect to the overall
degree of membership of the normal case.

The fault identification could be based on the fuzziness values of the normal case as in [12]. However, this condition
monitoring case is closer to the applications described in [10] and [11] as extensive sets of measurements are available
for all the fault cases as well. Therefore, similar model based analysis was done separately for all the faults. The fault
classification was based on the degrees of membership calculated to each fault class. The case with the highest degree
of membership was chosen.

The classification result (Table I) is very clear to all those faults which had considerable differences already in the
degree of membership of the normal case (Figure 8). The numerical values shown in Table I are represented as
percentages in Figure 9.

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 Figure 7. Fuzziness of the linguistic equations of the normal case in the whole test data.

Figure 8. Degree of membership for the normal case in the whole test data:
(a) calculated for each data point, and (b) moving average of 10 data points.
Table I. Classification results.

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 Normal

Unbalance 6.1 g

Unbalance 11 g

Bent shaft

Misalignment 1

Misalignment 2

Misalignment 3

Rolling element
Bearing fault

Outer race
Bearing fault

race
Bearing fault Inner
Normal 942 345 0 1 91 1 3 0 0 0
Unbalance 6.1 g 47 155 0 0 0 0 0 0 0 0
Unbalance 11 g 0 0 500 0 0 0 0 0 0 0
Bent shaft 0 0 0 499 0 0 0 0 0 0
Misalignment 1 2 0 0 0 332 79 14 0 0 0
Misalignment 2 9 0 0 0 77 419 9 0 0 0
Misalignment 3 0 0 0 0 0 1 474 0 0 0
Rolling element 0 0 0 0 0 0 0 499 0 8
Outer race 0 0 0 0 0 0 0 0 499 0
Inner race 0 0 0 0 0 0 0 1 1 492

Figure 9. Confusion matrix in percentages for the fault classes: 1 Normal state, 2-3 Unbalance (6.1 and 11g), 4 Bent
shaft, 5-7 Misalignment, 8-10 Bearing failures (outer race, rolling element and inner race).

The classification result is very good. There is some faulty classified measurements but the mistakes are very logical.
As small unbalance didn’t cause much changes in vibration signal, there is a problem to separate normal state and small
unbalance. Misalignment increases when moving from the class 5 to the class 7. A small misalignment and the normal
state are so close to each other that they mixed up. In all the ten cases, mistakes happen between the classes that are
very similar.

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 System classified practically all the bearing faults to right classes. However, it’s impossible to identify bearings failure
type from selected measurements parameters. Correctly classified bearing fault cases are based on systems ability to
separate fault’s criticality. Since the difference between bearing faults was bigger than difference between misalignment
cases, there is more confusion in misalignment classes.

CONCLUSIONS
A test rig was used to simulate different fault types and changes in operating conditions. Linguistic equation (LE)
models were developed for the normal operation and nine fault cases including two levels rotor unbalance, bent shaft,
three levels misalignment and three bearing faults. Classification is based on the degrees of membership developed for
each case from the fuzziness of the LE models. The classification results of the experimental cases are very good and
logical. As even very small faults are detected by a slight increase of membership, the results are very promising for
early detection of faults. Together with the compact implementation and the operability of the normal model, this
gradual operation makes the extension to real world problems feasible.

REFERENCES
[1] Lahdelma, S.; Strackeljan, J.; Behr, D., 1999, “Combination of Higher Order Derivatives and a Fuzzy Classifier as a
New Approach for Monitoring Rotating Machinery”, COMADEM 1999, Sunderland, pp. 231-241.

[2] Juuso, E. K., 1999, “Fuzzy Control in Process Industry: The Linguistic Equation Approach”, In: Verbruggen, H. B.,
H.-J. Zimmermann and R. Babuska, editors, Fuzzy Algorithms for Control, International Series in Intelligent
Technologies, pp. 243-300, Kluwer, Boston.

[3] Lahdelma, S., 1995, “On the higher order derivatives in the laws of motion and theirs application to an active force
generator and to condition monitoring”, University of Oulu, Research report No. 101, Department of Mechanical
Engineering, 1995, (Academic Dissertation).

[4] Strackeljan, J.; Lahdelma, S.; Behr, D., 1998, “Ein neur Ansatz zur automatischen Diagnose langsam drehender
Wälzlager”, Akida 1998, Aachen, pp. 61-77.

[5] Lahdelma, S., 1997, “On the Derivative of Real Number Order and its Application to Condition Monitoring”,
Kunnossapito 11 (1997) 4, pp. 25-28.

[6] Lahdelma, S.; Kotila, V., 2003, “Real Order Derivatives – New Signal Processing Method”, Kunnossapito 17 (2003)
8, pp. 39-42. (In Finnish)

[7] Kivistö, M., 2003, “Detection of Mechanical Failures in Machines”, University of Oulu, Department of Mechanical
Engineering, 2003, (Master’s Thesis). (In Finnish)

[8] Juuso, E. K., 1997, “Intelligent Methods in Diagnostical Process Analysis”, XIV IMEKO World Congress, New
Measurements - Challenges and Visions, Tampere 1-6 June 1997,Volume VII, pp. 1-6.

[9] Juuso, E. K., 2004, “Integration of Intelligent Systems in Development of Smart Adaptive Systems”, International
Journal of Approximate Reasoning 35 (2004) 3, pp. 307-337.

[10] Ahola, T.; Kumpula, H.; Juuso, E., 2003, “Case Based Prediction of Paper Web Break Sensitivity”, European
Symposium on Intelligent Technologies, Hybrid Systems and their Implementation on Smart Adaptive Systems, July
10-11, 2003, Oulu, Finland, pp. 161-167.

[11] Gebus, S.; Juuso, E., 2003, “Industrial Utilization of Linguistic Equations for Defect Detection on Printed Circuit
Boards”, IECON’02 Conference of IEEE Industrial Electronics Society, Seville, Spain, November 5-8, 2002, pp. 1887-
1892.

[12] Ruusunen M.; Paavola M., 2003, “Monitoring of Automated Screw Insertion Processes – a Soft Computing
Approach”, 7th IFAC Workshop on Intelligent Manufacturing Systems Budapest, Hungary, April 6-8, 2003.

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