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Maintenance of Mechanical Drivers and Fault Diagnosis of Machine Elements

Article · July 2006

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 2nd International Conference “From Scientific Computing to Computational Enguineering”
2nd IC-SCCE
Athens, 5-8 July, 2006
 IC- SCCE

MAINTENANCE OF MECHANICAL DRIVES AND

FAULT DIAGNOSIS OF MACHINE ELEMENTS

Dimitris C. Tsantiotis1, Theodore N. Costopoulos1, and Ioannis S. Zotos1

1
Machine Elements Laboratory
School of Mechanical Engineering
National Technical University of Athens
Iroon Polytexneiou 9, 15780 Zografou, Athens,Greece
e-mail: cost@central.ntua.gr, web page: http://www.mech.ntua.gr

Keywords: Maintenance, Test Rig, Shock Pulse Method, Vibration Analysis Method,
Diagnostic Techniques, Rotating Machines.

Abstract. Although many relevant theoretical studies have concentrated on the value of fault diagnosis
and identification, there is little empirical work concerning the development of a system allowing for
testable measurements and industrial applications. In the Laboratory of Machine Elements of the
NTUA was built a Test Rig composed of different rotating machine elements on which several damages
can be applied in order to take measurements with the use of not interventionist methods. Our primary
goal was to provide an experimental device which enables for measurements to be taken and further
interpretation of the results. This paper focuses on the presentation of the assembling process of the
Test Rig and the description in detail of its functionality. We provide empirical evidence executed in a
computer with the use of instrument T-30 of Swedish Company SPM Instruments. Our results are
consistent with the main methods used for fault diagnosis, the shock pulse method (SPM) and the
vibration spectrum analysis (VSA).

1. INTRODUCTION
Motor monitoring, incipient fault detection and diagnosis are very important and difficult topics in
engineering with a wide range of industrial applications. The early diagnosis of a developing problem
allows maintenance personnel to schedule repairs prior to an actual failure. This enables better
utilization of equipment and components, leading to considerable reduction of downtime and
maintenance costs. With proper machine monitoring and fault detection schemes, improved safety and
reliability can be achieved for different engineering system operations[12].

Due to the complexity and random nature of uncertainties and disturbances in engineering
environments, an effective method for detecting, identifying and localizing faults and abnormalities is
highly desirable. The aforementioned factors have led modeling and diagnosis of machine failures to
emerge as a new research area rapidly grown during the last few years.

The objective of this paper is to extend the empirical work concerning the development of fault
diagnosis processes. For this purpose a diagnostic system - Test RIG - was set up in the Laboratory of
Machine Elements of the National Technical University of Athens (NTUA), allowing for testable real-
time measurements and therefore realistic stimulation and isolation of mechanical faults. Isolation
means distinguishing between different faults and locates the fault component which is much more
challenging when multiple faults are considered.
This Test Rig is used to apply two predictive maintenance techniques widely used in industry, namely
the Vibration Spectrum Analysis (VSA) and the Shock Pulse Method (SPM). Some typical faults are
introduced in the components of the rig, which usually lead to malfunctions or failures in real industrial
installations[7]. These faults are subsequently monitored, using a commercial measuring and analysis
system that is used for predictive maintenance in practice. This system utilizes the abovementioned
techniques and hence it can be used to examine their practical application. In this way we manage to
simulate a realistic industrial maintenance scenario under the controlled environment of the laboratory.
Therefore, beyond intellectual value, the experimental device proposed as well as the accompanied
software are expected to find a lot of industrial application.
 Dimitris C. Tsantiotis, Theodore N. Costopoulos and Ioannis S. Zotos

We begin with the theoretical underpinnings of the monitoring methods and the measuring techniques.
We follow by a description of the fault diagnosis ‘Test RIG’ -an illustrative picture is also included-
and the used instrument Tester T-30. We conclude with a case study referring to the maintenance of a
bearing and the lessons learned.

2. THEORETICAL BACKGROUND

2.1 Breakdown, Preventive[3], Predictive[3] and Design Maintenance[3],[6].

Reliability, availability and safety of technical processes are important qualities that can be
achieved for different operating environments with proper machine monitoring and fault detection
techniques. With the suggested Test Rig meaningful interpretation of the machine condition can be
derived using innovative software based on easy accessible measurements, without the need for
expensive equipment or accurate mathematical models that are needed for conventional fault detection
techniques.
Maintaining equipment and its components in satisfactory operating condition (by providing for
systematic inspection, detection, and correction of incipient failures either before they occur or before
they develop into major defects) is proved to:
• Reduce Capital Investment
• Reduce Machinery Depreciation
• Reduce Machinery Breakdowns
• Increase Machinery Life
• Increase Maintenance Staff Productivity
• Reduce Dissatisfied/Lost Customers
• Reduce Penalties
• Reduce Unnecessary Machinery Repairs
• Reduce Rework
• Reduce Scrap
• Reduce Warranty Claims
• Increase Credibility and Reliability
• Reduce Overtime
• Increase Safety and Reduce Penalties
• Reduce Injuries
• Reduce Power Consumption
• Reduce Spare Parts Inventory
• Reduce Defects on New Machinery
• Reduce "Wrong" Repairs
• Reduce Insurance Costs
There are three classifications of machinery maintenance methods: Breakdown, Preventative,
Predictive and Design Maintenance. Each method has its own associated costs and benefits.
Breakdown Maintenance, by its own nature, is the most expensive method of plant maintenance
because it allows the equipment to run until a breakdown occurs. This method has no scheduled
maintenance. The machine breakdown often brings the production process to an immediate halt.
Breakdown Maintenance has high costs in manpower, replacement parts, and lost production. This
method today is played out.
Preventative Maintenance (PM) relies on a periodic inspection of the machine. During the inspection,
machine damage is found and corrected. Tests, measurements, adjustments and parts replacement,
performed specifically to prevent faults from occurring are scheduled according to statistical
experience often suggested by the constructor.
Therefore although Preventative Maintenance has a low associated cost because manpower can be
planned in advance, can sometimes be misleading resulting to unneeded replacement of components
with no functional failure identified.
Additionally, this method requires a large inventory of replacement parts prior to the machine’s
inspection.
Predictive Maintenance (PdM) involves monitoring the machine’s vibration characteristics or
symptoms to diagnose its condition. This method relies on the machine’s condition to accurately
schedule the repair interval. The machine’s condition also determines the required replacement parts.
 Dimitris C. Tsantiotis, Theodore N. Costopoulos and Ioannis S. Zotos

While Preventive Maintenance tasks are completed when the machines are shut down, Predictive
Maintenance activities are carried out while the machines are running in their normal production modes
and therefore PdM has lower, compared to the PM method, cost with higher possible savings.
Broadly Predictive Maintenance techniques include:
• The Vibration Spectrum Analysis (VSA)
• The Shock Pulse Method (SPM), Infra-red Thermography
• Optical monitoring , Oil analysis and tribology
• Various non-invasive detection techniques
Design Maintenance
Following this method, the engineer’s interest, besides fault prediction and indication of exact fault
location, is the identification of the possible cause of the fault, leading to corrective actions through
redesign. In this sense the described Test Rig allows with good confidence the study of the generative
cause behind the stimulated faults.
This of course requests for checking on a regularly scheduled basis and well-experienced personnel
capable of the identification of problems justifying a change in design but ensures the highest potential
reliability related to the engineering system. At least a permanent solution is found.
Cause diagnosis requires a certain monitoring process including:
• Investigation of historical data (recorded in the relevant book) concerning failures in the
operation of machine as well as maintenance background
• Periodical detection of machinery components
• Data acquisition concerning replacement costs
• Implementation of co-ordination trials
Redesign may be achieved either at the manufacturing stage, by selecting different materials and
components, or after installation, by choosing an alternative equipment manufacturer[5].
Its main drawback is that design change may take a long time to implement[5].

2.2 Monitoring Techniques:

The most commonly used techniques for failure prevention are the Vibration Spectrum
Analysis[1],[2] (VSA) and the Shock Pulse Method[1],[2] (SPM).

2.2.1 Vibration Spectrum Analysis:

Vibration monitoring is the most reliable method of assessing the overall health of a rotor system.
The Vibration Analysis[5] provides quantifiable evidence of the element condition and allows the
engineer to know the condition of his/her machinery. This method is applied by using transducers to
measure acceleration, velocity or displacement. Spectrum Analysis receives the incoming signal and
breaks it into its individual frequencies[13], by using either analogue filters or software Fast Fourier
Analysis (FFT). When a mechanical part of the motor either wears or breaks up, a frequency
component in the spectrum will change. In fact, each fault in a rotating machine produces vibrations
with distinctive characteristics that can be measured and compared with reference ones in order to
perform the fault detection and diagnosis.
Using the FFT algorithm, the vibration signal is resolved into a number of discrete frequencies and
displayed as two dimensional spectral plot of amplitude frequency. The energy in each of these
frequencies gives an indication of the severity of the corresponding fault. In case that a failure is strong,
there are harmonics of main frequency on spectrum. This method can be used for the analysis of typical
faults of bearing, gears, unbalanced rotors, misalignment, looseness and problems with belts, fans and
pumps.
An easy theoretical guide of the standard symptoms that occur on mechanical elements is described in
following table. Having in mind that the fundamental frequency is shaft revolution in revolutions per
minutes ( fs ), we form the table[8],[9],[10]:

* for Bearings : n = number of balls of bearing

fs = shaft frequency &
D1, D2, BD, β as below figure.

Figure 1: Bearing’s dimensions

 Dimitris C. Tsantiotis, Theodore N. Costopoulos and Ioannis S. Zotos

SYMPTOM FREQUENCY SIDEBANDS COMMENTS

Unbalance 1X of fs 0 Mass Imbalance

Couplings, belt
Misalignment 2X, 3X of fs 0
drive
Looseness ( 3 – Structural
3X – 10X of fs 0
10 H ) looseness
Looseness ( 0.5 – Excessive bearing
0.5X, 1.5X, 2.5X, 3.5X of fs 0
3.5 H ) play

n  BD  Ball Pass
BPFO = f outer = f s 1 − cos φ  0 Frequency Outer
2  PD  Race
n  BD  Ball Pass
BPFI = f inner = f s 1 + cos φ  0 Frequency Inner
2  PD  Race
Bearings*
PD    
2
BD
BSF = f ball = fs 1 − 1 + cos φ   Ball Spin
BD   PD   0
Frequency

1  BD 
FTF = f cage = f s 1 − cos φ  0 Fundamental Train
2  PD  Frequency - Cage

1X – 4X of GF = N ⋅ S
Gears Damage where N = number of teeth ± 3 fs Gearmesh
Frequency
S = speed
Not be use together
with symptom gear
Gears Alignment 2X – 3X of GF ± 1 fs damage for the
same measuring
point
Gs ⋅ U
1X, 2X of HT =
L
One faulty tooth on
Hunting Tooth Where Gs = Speed of gear 0 Z1 meets a faulty
U = Uncommon factor of gear tooth on Z2

L = Least common multiple

Belt Frequency
(belt or pulley
Worn or Loose 1X – 4X of BPF = π ⋅ pitch diameter misalignment cause
0 peaks at 1X of the
Belts (of pulley running at RPM1) / belt length
driving or driven
pulley (symptom
unbalance))

Table 1: Standard Symptoms on Mechanical Elements

2.2.2 Shock Pulse Method[2]

The SPM is widely used for over 30 years and is proved reliable in providing accurate fault
detection in rotating elements such as bearings.
 Dimitris C. Tsantiotis, Theodore N. Costopoulos and Ioannis S. Zotos

In the frames of this method we are not interested in the vibration caused by a specific shock but in the
shock per se. Thus, the SPM greatly simplifies and accelerates the diagnostic task by reducing the time
required for the collection and interpretation of the vibration data.
It suffices for the calculation of two indexes to determine bearing’s condition. The instrument T-30
counts the number of shocks generated and appears two values:
dbm : which corresponds to the maximum value for a small
number of strong shock pulses.
dbc : which corresponds to the carpet value for the large number
of weaker shock pulses.
The values for dbm and dbc range in a normalized scale
extended from 0 to 60 decibels, the scale dbN. We set the value
dbi to determine the initial noise and the starting point of scale
dbN to the absolute scale dbsv.

Figure 2: SPM scale

The instrument automatically measures the dbi value entirely based on the rotating velocity and the
internal bearing diameter.
Lubrication condition is indicated by the difference between dbm and dbc. High readings and small
difference between dbm and dbc indicate poor lubrication or dry reading. This is sufficient for
maintenance purposes.
Finally, there is an arrow on tester’s monitor that evaluates the bearing’s condition to the scale below:

Green for dbm up to 20 dbN which represents a well-running bearing

( good condition )

Yellow for dbm from 21 to 34 dbN which warns for an ambiguous condition of the bearing
( cause )

Red for dbm equal or greater than 35 dbN demonstrates fault in bearing’s operation
( bad condition )

3. EXPERIMENTAL DEVICES – MAINTENANCE INSTRUMENTS

3.1 Test Rig

One of the most important factors which helps the engineer to detect a malfunction is a good
knowledge of the system under examination, in order to make a model of it. In this way, the results will
be accurate. For educational aims, a suitable experimental device was needed where faults could be
exerted and then analyzed. The design of this Test Rig is based on the belief that it should consist of
many different machine elements used in practice and at the same time be flexible for potential future
additions concerning its components[7]. The Test Rig consists of the following components[4] :
• A single-phase 0.75kW electric motor.
• Frequency inverter 0.75kW to control motor speed.
• A single-stage gearbox, where the driving gear has 40 teeth and the driven one 20, giving an
increase in speed by a factor of two.
• One belt and two pulleys, the driving with a diameter of 67mm and the driven with 118mm,
that transfer the rotating motion to a second rotor at reduced speed, having a reduction factor
of about 0.568.
• Two rolling element bearings on the second axle. The first one is a deep groove ball bearing
Y-type with SKF code YET 210 and the second is a self-aligning ball bearing with SKF code
1211.
 Dimitris C. Tsantiotis, Theodore N. Costopoulos and Ioannis S. Zotos

Figure 3: Test Rig

The total transmission ratio from the motor to the second axle is 1.136 ( 2 ⋅ 0.568 ).

3.2 Tester T-30

The measuring instrument that we use in the laboratory is the tester T-30 from the Swedish
Company SPM Instruments. The T-30[11] is a hand-held instrument for periodic machine condition
monitoring. The main advantage of the tester T-30 is its mobility and simplicity. Some functions of the
instrument are the followings:

VIB : Vibration Measurements, connecting a vibration transducer.

SPM : Shock Pulse Measurement ( dbm/dbc technique ), connecting a shock pulse transducer.
RPM : Speed Measurement (tachometer probe).
TEMP : Temperature Measurement (temperature probe).
ALT : Alternative Measurements such as flow or pressure.

Figure 4: Vibration, Shock Pulse and Tachometer transducers

The tester T-30 uses all three leading condition monitoring methods:
• Shock pulse measurement on rolling bearings supplies data on bearing damage, lubrication
condition and the effects of alignment and load.
• Vibration severity measurement that detects the most common mechanical faults, such as
unbalanced, misalignment, structural weakness and loose parts.
• Vibration monitoring with spectrum analysis that allows engineer to target at the individual
fault symptom and get an accurate evaluation of machine’s condition.
The T-30 tester can be connected with a PC for data exchanging by the use of SPM’s software
Condmaster Pro. Before a measurement, the engineer must transfer data from PC to the T-30 regarding
the point and the element that should be checked. The measurement is accomplished without any use of
PC during the data receiving process and the duration of each measurement is about fifteen seconds per
point and position. This enables the engineer to take as more data as possible from different points and
engines and then – after having the data transferred to the PC – analyze the acquired data and bow to a
conclusion for the system’s condition.
 Dimitris C. Tsantiotis, Theodore N. Costopoulos and Ioannis S. Zotos

Figure 5: Tester T-30

4. A SHORT PRESENTATION OF BEARING MAINTENANCE WITH SPM TESTER T-30

AND SPM SOFTWARE CONDMASTER PRO

The Test Rig in the laboratory allows for faults to be generated and examined that would otherwise
require a long time to appear in a real application.
The measurements presented below are taken from faults caused on the shaft bearing SKF 1211.
Particularly, the faults to this bearing are:
• Removal of three of the bearing’s balls and fracture of the cage at this point
• A small cut out in the inner race of the bearing

The monitoring techniques applied are the SPM and VSA.

SPM method:
The results[4] according this method are presented in the following figure:

Bearing Internal Diameter RPM dBi dBm dBc EVALUA

(mm) TION

SKF 1211 55 1136 15 42 18 RED

Figure 6: SPM method results for Bearing SKF 1211

From this measurement it’s obvious that the bearing gives some high-impulse shocks at the first level
of the red zone and carpet shocks at the last part of the green zone. From this observation we can reach
to the conclusion that the bearing has got a surface damage. Probably the contact between the cutouts
of inner race and the balls gives a shock pulse at this level, and the knock of the balls at cracking cage
point give high level carpet shocks. Because of the great difference between dbm and dbc (24db) it
seems that there is proper lubrication of the bearing.
 Dimitris C. Tsantiotis, Theodore N. Costopoulos and Ioannis S. Zotos

Based only on this measurement we would suggest the scheduled replacement of the bearing. However,
another SPM measurement in short time will give us data for the evolution of the bearing’s fault and
lead to an explicitly better evaluation of bearing’s condition.
In addition to the SPM method, for better precision and clarity of bearing’s condition we use the VSA
method by the use of SPM`s software Condmaster Pro. The results of the measurement are listed in the
figure below:

Figure 7: Results from SPM Condmaster Pro software and

Vibration Spectrum Analysis for bearing SKF 1211

The software has the capacity to show directly the results in the pattern above, after the comparison of
the theoretical expected values with the measurements of the tester T-30. In this figure, the value
‘value’ means the maximum amplitude in mm/s of one of the six first harmonics that they assimilate to
the theoretical values of the corresponding fault and the value ‘match’ shows how many of the six
harmonics appear at the spectrum.
The critical value for velocity over which a failure is identified is at 0.71mm/s and the unacceptable
value implying operational shut-down is over 4.50mm/s.
From figures 7 and 8 we can predict that there is a failure to the cage of the bearing. The value of
velocity of 1.71mm/s (1X FTF) and the fact that four of the first six harmonics are in the spectrum
brings out that the broken cage gives a clear warning for maintenance, even thought the rig runs
unloaded . The spectrum analysis of the SKF 1211 bearing in vertical direction is as follows:

Figure 8: Spectrum Analysis of self-aligning ball bearing

(SKF 1211) in vertical direction

Notice: The blue lines are the ten harmonics of the FTF.

In the spectrum also appear the two first harmonics of inner raceway, but the maximum velocity value
(2X) of 0.20mm/s does not cause alarm for failure. Probably, there might be impacts between the least
cut outs of inner race and the balls.
Finally, the value at approximately 505Hz of 0.58mm/s, is electric noise from the inverter.
Based on the above short spectrum analysis, we can suggest the countercheck of the bearing in short
time. If the new measurement is considerably increased we suggest the replacement of the bearing.
Otherwise it is better to check periodically the machine until the failure fall out blistering.
 Dimitris C. Tsantiotis, Theodore N. Costopoulos and Ioannis S. Zotos

We observe that similar results can be attained by either the SPM or the VSA method. Therefore our
estimates for bearing’s life and replacement time are identical. Though, we should keep in mind that
the SPM method is faster and simpler compared with the VSA.

5. CONCLUSIONS
This paper proposes a diagnostic approach for detecting mechanical faults on machine elements
based on simulation results and measurements acquired from a patented software system suitable for
real-time implementation. A detailed description of the mechanic structure (developed to introduce the
faults) called “Test Rig” is provided together with an explicit presentation of the basic methods applied
for the analysis of the measurements and the interpretation of the results.
The suggested detection method enables the identification of the exact location of a fault as well as its
evolution in operation condition allowing predictive maintenance tasks. The results derived from real
application, compared with the expected stylized values, provide evidence that the diagnostic system
developed can be considered reliable for early and accurate detection of machine failures. Its ability to
identify the various forms of mechanical errors and other problems often provides up to six months
lead time before failure occurs. This long lead-time is usually adequate to obtain parts and schedule
repair and supports the “just in time” delivery system.
Therefore, our main goal is the development of an innovative approach based on easy accessible
measurements without the need of expensive equipment (which is the case in most conventional fault
detection techniques) that seeks wide industrial application. We are convinced that, given that modern
engineer’s prior interest is the isolation of the generative cause behind a failure, future research should
be orientated in the framework of design maintenance.

REFERENCES
[1] SPM Instrument AB (2000), “Working with Condmaster® Pro 2 and Data Loggers A30/T30”
Technical Manual, SPM Instrument AB, Sweden.
[2] SPM Instrument AB (2000). “Instruction Manual Analyser A30 / Tester T30” Technical Manual,
SPM Instrument AB, Sweden.
[3] Costopoulos, T. (2004), “Machine Maintenance”, Course notes, National Technical University of
Athens, School of Mechanical Engineering, Machine Elements Laboratory.
[4] Tsantiotis, D. (2004), “Fault Diagnosis of Rotating Machines”, Diploma Thesis, National Technical
University of Athens, School of Mechanical Engineering, Machine Elements Laboratory.
[5] John H. Williams, Alan Davies, Paul R. Drake (1994), “Condition-based Maintenance and Machine
Diagnostics”, Chapman & Hall, London.
[6] Dr Ron Barron (1996), “Engineering condition monitoring, Practice, methods and applications”,
Addison Wesley Logman Inc., USA.
[7] Ioannis S. Zotos, Theodore N. Costopoulos, Dimitrios C. Tsantiotis (2005), “Rig Measurements
And On-Line Fault Diagnosis of Machine Elements”, 1st IC-EpsMsO, Athens.
[8] SPM Instrument AB (1999), “Standard Symptoms In Condmaster Pro 1.10”, SPM Instrument AB,
Sweden.
[9] James I. Taylor (2000), “The Gear Analysis Handbook, Practical Guide for Solving Vibration
Problems in Gears”, USA
[10] Zotos, I. (2004), “Modelling, Identification and Analysis of Machine Faults”, Internal technical
report TR-SM0408, National Technical University of Athens, School of Mechanical Engineering,
Machine Elements Laboratory.
[11] SPM Instrument AB (2002), “Advanced Machine Condition Monitoring (Tester T-30 with
Condmaster Pro)”, SPM Instrument AB, Sweden.
[12] Yu Ding, Dariusz Ceglarek, Jianjun Shi (2002), “Fault Diagnosis of Multistage Manufacturing
Processes by Using State Space Approach”, ASME, May 2002, Vol 124 / 313-322
[13] Michael S. Johnson Jr. (2000), “Vibration Tests For Bearing Wear”, ASHRAE Journal, Practical
Guide, pp. 52-56, Oct. 2000

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