Fault Diagnosis of High Speed

Rolling Element Bearings Due to

P. K. Kankar
e-mail: pavankankar@gmail.com
Satish C. Sharma
e-mail: sshmefme@iitr.ernet.in
S. P. Harsha
e-mail: surajfme@iitr.ernet.in
Department of Mechanical and Industrial
Engineering,
Indian Institute of Technology Roorkee,
Roorkee 247 667, India
Localized Defects Using
Response Surface Method
In this paper, fault diagnosis of high speed rolling element bearings due to localized
defects using response surface method has been done. The localized defects as spalls on
outer race, on inner race, and on rolling elements are considered for this study. The
mathematical formulation accounted for tangential motions of rolling elements and inner
and outer races with the sources of nonlinearity such as Hertzian contact force and
internal radial clearance. The nonlinear stiffness is obtained by the application of Hert-
zian elastic contact deformation theory. The mathematical formulation predicts discrete
spectrum having peaks at the characteristic defect frequencies and their harmonics.
Experimentation has also been performed to validate the results obtained from the math-
ematical model and it shows that the model can be successfully used to predict amplitude
ratios among various spectral lines with localized surface defects. Combined parametric
effects have been analyzed and their influence has been considered with design of experi-
ments and surface response methodology is used to predict the dynamic response of a
rotor bearing system. 关DOI: 10.1115/1.4003371兴

Keywords: fault diagnosis, rolling element bearings, radial internal clearance, nonlinear
stiffness, design of experiments, response surface method

1 Introduction tion in the field of dynamic analysis of mechanical structures. The

Rotary machines are recognized as crucial equipment in various
industries, such as power stations, chemical plants, and automo-
tive industry, that require precise and efficient performance. Roll-
ing element bearings are used in a wide variety of rotating ma-
chinery from small hand-held devices to heavy duty industrial
systems and are the primary cause of breakdowns in machines.
Such breakdowns can lead to expensive shutdowns, drifts in pro-
duction, and even human casualties. Vibration measurements are
widely used for detection of defects in bearings. Rolling bearing
defects may be categorized as point or local defects and distrib-
uted defects. The vibrations are generated by geometrical imper-
fections on the individual bearing components and these imper-
fections are caused by irregularities during the manufacturing
process as well as wear and tear. The vibration signals contain
information of defective parts and a variety of vibration based
techniques have been developed to monitor the condition of bear-
ing. Vibration signals are analyzed using time domain analysis,
frequency domain analysis, and time-frequency domain analysis
共wavelet兲. Faults are classified using various artificial intelligence
techniques to predict the meaningful results from the observa-
tions. Artificial neural networks 共ANNs兲 关1–6兴, support vector ma-
chine 共SVM兲 关7–11兴, fuzzy logic classifiers 关12,13兴, and other soft
computing techniques are widely used tools to classify the faults
for further processing. In these works, after a vibration signal is
measured, different signal processing techniques are employed to
extract the fault sensitive features to serve as the monitoring indi-
ces. Then, these techniques are used to diagnose various bearing
faults from the vibration signature obtained.
Gallina et al. 关14兴 presented an application of coupling between
response surface methodology 共RSM兲 and Monte Carlo simula-
Contributed by the Dynamic Systems Division of ASME for publication in the
JOURNAL OF DYNAMIC SYSTEMS, MEASUREMENT, AND CONTROL. Manuscript received
September 30, 2009; final manuscript received October 21, 2010; published online
March 24, 2011. Assoc. Editor: Luis Alvarez.
error has been introduced by using an approximated metamodel
instead of the real model for the Monte Carlo simulation has been
analyzed and a solution has been proposed to overcome the prob-
lem. Recently, Liang et al. 关15兴 utilized RSM to analyze the effect
of design parameters on the sound radiation from a vibrating
panel. They showed that the information of RSM can give the
direction of design modification such as the weight of material
and the thickness of thin panel. Kankar et al. 关16兴 applied RSM to
investigate the effects of various defects on the nonlinear vibra-
tions of the rotor bearing system. Ghafari et al. 关17兴 investigated
the effect of localized faults on the chaotic vibration of rolling
element bearings.
The vibration based condition monitoring is mainly emphasized
on signal processing techniques and diagnosis of defects based on
vibration signature. The present study aims to identify the effect
of various bearing component faults on the stability and dynamic
behavior of the rotor bearing system. Defects are considered as
spall on outer race, inner race, and ball. In this paper, quadratic
polynomials to create the response surface have been used. Ex-
periments are carried out for healthy bearings and bearings with
faults. Design of experiments 共DOEs兲 and RSM are used to pre-
dict the dynamic response of a rotor bearing system.
2 The Problem Formulation
A schematic diagram of rolling element bearing is shown in
Fig. 1. The vertical radial load 共W兲 is applied due to spindle
weight and as the rotor rotates, an unbalance force 共Fu兲 comes
into being. In the mathematical model, the rolling element bear-
ings are considered as a mass-spring system and the balls act as a
nonlinear contact spring. The detailed description about math-
ematical formulation of the problem is taken from Harsha and
Kankar’s previous paper 关18兴. Hence, according to that, the same
assumptions are also taken from this paper.
The local Hertzian contact force and deflection relationship for
bearing may be written as

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 ␦ = 2.787 ⫻ 10−8Q2/3 共 兺 ␳兲 1/3 ⴱ
␦ 共m兲 共6兲
Hence, the contact force 共Q兲 is

兵
Q = 3.587 ⫻ 107 共 兺 ␳兲 −1/2
其
共␦ⴱ兲−3/2 ␦3/2 共N兲 共7兲
The elastic modulus for the contact of a ball with the inner race
is

Ki = 3.587 ⫻ 107 共兺 ␳ 兲i
−1/2
共␦iⴱ兲−3/2 冉 冊
N
mm3/2
共8兲

The contact of a ball with the outer race is

Fig. 1 Schematic diagram of a rolling element bearing

Ko = 3.587 ⫻ 107 共兺 ␳ 兲o
−1/2
共␦ⴱo兲−3/2 冉 冊
N
mm3/2
共9兲

Then, the effective elastic modulus K for the bearing system is

written as
F␪ j = k共r␪i兲3/2 共1兲
1
Considering the internal radial clearance, the radial displace- K= 共10兲
ment 共兲 at the ith ball is given as 共1/Ki1/n + 1/K1/n
o 兲
n

r␪ j = 共x cos ␪i + y sin ␪i兲 − 共␥兲 共2兲 The effective elastic modulus 共K兲 for bearing system using geo-
metrical and physical parameters is written as

Substituting it into Eq. 共1兲, we get
F␪ j = k关共x cos ␪i + y sin ␪i兲 − 共␥兲兴+3/2
If the expression inside the bracket is greater than zero, then the
ball at the angular location ␪i is loaded, giving rise to a restoring
force F␪i. Thus, the total restoring force components in the x and
y directions are
Nb
Fx = 兺 k关共x cos ␪ + y sin ␪ 兲 − 共␥兲兴
i=1
i i
3/2
+ cos
Nb
Fy = 兺 k关共x cos ␪ + y sin ␪ 兲 − 共␥兲兴
i=1
i i
3/2
+ sin
2.1 Equations of Motion. The system governing equations
accounting for inertia, restoring and damping forces, and constant
vertical force acting on the inner race are
Nb
mẍ + cẋ + 兺 k关共x cos ␪ + y sin ␪ 兲 − 共y兲兴
i i
3/2
+ cos
i=1
= W + Fu cos共␻t兲
Nb
mÿ + cẋ + 兺 k关共x cos ␪ + y sin ␪ 兲 − 共y兲兴
i=1
i i
3/2
+ sin ␪i = Fu sin共␻t兲
The equation of motion, Eq. 共5兲, consists of two nonlinear or-
dinary second order differential equations with a parametric exci-
tation effect, the 1.5 nonlinearity and the summation term. The +
sign as subscript in these equations signifies that if the expression
inside the bracket is greater than zero, then the rolling element at
angular location ␪i is loaded, giving rise to a restoring force and if
the expression inside the bracket is negative or zero, then the
rolling element is not in the load zone, and the restoring force is
set to zero.
2.2 Contact Stiffness. The application of the classical theory
of elasticity to the problem forms the basis of stress calculation
for machine elements as ball and roller bearings. Hertz considered
the stress and deformation in such perfectly smooth, ellipsoidal,
contacting elastic solids. As per the sign convention followed,
negative radius denotes a concave surface. For the contacting bod-
ies made of steel, the relative approach between two contacting
and deforming surfaces is given by
冉 冊
K = 7.481 ⫻ 105冑␦
N
共3兲 共11兲
mm3/2
2.3 Surface Defects. Spalls, pits, and dents are the major
forms of bearing damage. Fatigue cracking of the surface occurs
when the repeatedly cycled stress on a surface in rolling contact
with another exceeds the endurance strength of the material. This
defect propagates and results in a large pit or spall on the surface
␪i 共4a兲 of bearing components. Corrosion and oxidation pits, true/false
brinnelling, and hard particle contamination dents act as locations
for incipient fatigue. This can cause bearing endurance to be
shorter than that designed and may also lead to rapid failure of the
␪i 共4b兲 bearing 关19兴.
2.3.1 Outer Race Defect. In this paper, a defect has been con-
sidered on the outer race, which is located at an angle ␣ from the
x-axis. Whenever, a ball passes over the defect location, it has an
additional deflection ⌬s. The outer race is assumed to be station-
ary. The contact deformation of the ith ball when it coincides with
defect angle ␣ becomes
␪i
r␪i = x cos ␪i + y sin ␪i − 共␥ + ⌬s兲 共12兲
共5a兲 Substituting r␪i into Eq. 共1兲, we obtain
F␪ j = k关共x cos ␪i + y sin ␪i兲 − 共␥ + ⌬s兲兴+3/2 共13兲
Thus, the total restoring force components in the x and y direc-
tions given by Eq. 共4兲 and the system’s governing Eq. 共5兲 can be
共5b兲 modified accordingly.
2.3.2 Inner Race Defect. The inner race is rotating at the shaft
speed and the ball center is rotating at the speed of cage, so the
contact angle ␪i is
2␲
␪i = 共i − 1兲 + ␻cage ⫻ t 共14兲
Nb
Defect is on the surface of the inner race, so it rotates at speed
␻in. Additional deflection ⌬s in contact deformation is obtained
when defect angle ␣ coincides with the contact angle ␪i of ith
rolling element.
2.3.3 Rolling Element Defect. Ball with spall rotates about an
axis normal to the plane containing the centers of the inner race
and outer race contacts. It is assumed that ball spins about its axis,
so it comes in contact with inner race and outer race at regular
intervals. Additional deflection ⌬s in contact deformation can be
obtained when sin共␻ballt兲 = 0 关20兴.

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 Fig. 2 Experimental setup with defective and nondefective
bearings

3 Experimental Setup and Data Acquisition Fig. 4 Inner race with spall

The problem of predicting the degradation of working condi-

tions of bearings and trending of fault propagation before they
reach the alarm or failure threshold is extremely important in in-
dustries to fully utilize the machine production capacity and to
reduce the plant downtime. In the present study, an experimental
test rig, as shown in Fig. 2, is used to analyze the effect of various
bearing component defects on the stability of the rotor bearing
system. Table 1 shows dimensions of the ball bearings taken for
this study. The rig is connected to a data acquisition system
through proper instrumentation. Accelerometers and proximity
pick-ups are used for picking up the vibration signals from various
stations on the rig. As a first step, the machine was run with
healthy bearing to establish the base-line data. Then, data are col-
lected for different fault conditions. A variety of faults are simu-
lated on the rig at 1000 rpm and 5000 rpm. The following faults
are introduced in the bearing:
共a兲 outer race with spall 共Fig. 3兲
共b兲
共c兲
inner race with spall 共Fig. 4兲
ball with spall 共Fig. 5兲
Vibration responses for all cases are presented as fast Fourier
transform 共FFT兲. RSM is used to find the effect of various local-
ized bearing component faults on vibration responses and interac-
tions between faults. In order to perform response surface analysis
to determine the combination of defects that gives the chaotic
vibration 共maximum noise兲 conditions, DOE is used with a total
of eight trial runs. Table 2 shows parameters used for DOE with
their minimum and maximum levels.
When the rolling element sets and the cage rotates with a con-
stant angular velocity, a parametrically excited vibration is gener-
ated and transmitted through the outer race. The characteristic
frequency of this vibration is called the varying compliance fre-
quency 共VC兲 and is given as
VC = Nb ⫻ ␻cage 共15兲
The rotational speeds of the inner and outer races, the cage, and
the rolling elements are different. As a result, defect in the outer
race, inner race, and rolling element generate vibrations of distinct
frequencies. If ␻cage is the theoretical cage or fundamental train
frequency for rolling element bearings, the frequency of rotation
of the rolling elements with respect to inner races is given by
␻wp = ␻in − ␻cage =
冉
Nb␻in 1 +
db
D
cos共␣兲 冊 共16兲
2
where ␻wp is known as the inner race defect frequency or wave
passage frequency.

Table 1 Parameters of bearing

Parameter Value

Outer race diameter 28.262 mm

Inner race diameter 18.738 mm
Ball diameter 4.762 mm
Ball No. 8
Contact angle 0 deg
Radial clearance 10 ␮m
Spall on outer race and ball 2 mm
Spall on inner race 1 mm
Fig. 5 Ball with spall

Table 2 Parameters for DOE

Parameter
designation Minimum Maximum
symbols Parameters level 共−兲 level 共+兲

A Outer race with spall 0 1

B Inner race with spall 0 1
C Ball with spall 0 1
D Speed of rotor 1000 5000
Fig. 3 Outer race with spall

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 Table 3 Characteristic frequencies

Rotor speed 共Hz兲

Characteristic frequency Formula 1000 rpm 5000 rpm

Cage frequency 共␻cage兲

␻cage =
冉
␻in 1 −
db
D
cos共␣兲 冊 6.65 33.22

Varying compliance frequency 共VC兲 Nb ⫻ ␻cage 53.16 265.79

Inner race defect frequency or wave

passage frequency 共␻wp兲
␻wp =
冉
Nb␻in 1 +
db
D
cos共␣兲 冊 80.18 400.88

Outer race defect frequency or ball

passage frequency 共␻bp兲
␻bp =
冉
Nb␻in 1 −
db
D
cos共␣兲 冊 53.16 265.79

Ball spin frequency 共␻bsf 兲

␻bsf =
␻i D
2 db
1−冉 冉
db
D
cos共␣兲 冊冊 2 41.14 205.70

Similarly, with Nb rolling element, the frequency of rotation of The method of least-squares is used to estimate the polynomial
the rolling elements with respect to outer races considering outer coefficients in the approximating polynomials such that it mini-
race stationary is given by mizes the sum of squares of the model errors. Then, matrix B of

冉 冊
polynomial coefficients can be obtained from the formula
db
Nb␻in 1 + cos共␣兲
D B = 共XTX兲−1XTY 共21兲
␻bp = ␻cage − ␻out = 共17兲
2 The response surface analysis is done in terms of the fitted
where ␻bp is known as the outer race defect frequency or ball surface. Once a response surface model is obtained, statistical
passage frequency. analysis techniques, such as analysis of variance 共ANOVA兲, can
Assuming no slip, the frequency of rotation of rolling elements be used to check the fitness of the model. The process of the
about their own axes of rotation is given by whole RSM is shown in Fig. 6.

␻bsf =
␻i D
2 db
1−冉 冉
db
D
cos共␣兲 冊冊 2
共18兲
4.1 Response Surface Model Establishment. This procedure
begins with the identification of various bearing component de-
fects that affect the stability of the rotor bearing system. Each
For the bearing geometry and at rotor speeds 1000 rpm and parameter affects the nature of the response in mutual interactions
5000 rpm, the significant frequency components are shown in with other parameters as well as with separate factors.
Table 3. Here, ␻in is the rotational frequency of inner race, db is The following bearing component faults are considered as fac-
the ball diameter, D is the pitch diameter, Nb is the number of tors that are influencing responses that are taken as peaks of vi-
rolling elements, and ␣ is the contact angle. bration response in horizontal and vertical directions.

4 Response Surface Methodology a. outer race with spall

b. inner race with spall
RSM is a collection of mathematical and statistical techniques c. ball with spall
that are useful for modeling and analysis in applications where a d. speed of rotor
response interest is influenced by several variables and the objec-
tive is to optimize this response. RSM has found extensive appli- These four factors are selected with two levels. The upper and
cation in a wide variety of industrial settings such as chemical lower levels of each factor are defined in Table 2. The reference
processes, semiconductor and electronics manufacturing, machin- value for healthy and defective bearings are taken as 0 and 1,
ing, metal cutting, and joining processes 关21兴. RSM constructs respectively, where value 0 indicates absence of defect and value
polynomial approximations to functional relationships between 1 indicates that defect is present in bearing components. DOE
design variables and performances. The input variables are some- considers factors with two levels and eight trial runs, as listed in
times called independent variables or factors, and the performance Table 4.
measures or quality characteristics are called responses. For the
most responsive surface, the relationship between the response
variable of interest 共y兲 and the factors 共x1 , x2 , . . . , xk兲 may be de-
scribed in the following second order equation: 5 Results and Discussions
n n n The equations of motion, Eq. 共5兲, has been solved by modified
y = f共x兲 = ␤o + 兺
i=1
␤ ix i + 兺
i=1
␤iixi2 + 兺
i=1,j⬎1
␤ijxix j + ␧ 共19兲 Newmark-␤ method to obtain the radial displacement and velocity
of the rolling elements. Poincaré map is a classical technique for
analyzing dynamical systems 关22兴. It replaces the flow of an nth
where ␧ represents the noise or error observed in the response y, ␤
order continuous time system with a 共n − 1兲th order discrete time
is the polynomial coefficient, and n is the number of factors.
system called the Poincaré map. The usefulness of Poincaré maps
Equation 共19兲 can also be expressed in matrix form as
lies in the reduction of order and the fact that it bridges the gap
Y = XB + ␧ 共20兲 between continuous and discrete time systems. A periodic nth or-

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Fig. 6 Flow chart for RSM
der nonautonomous system with minimum period T can be trans-
formed into an 共n + 1兲th order autonomous system in the cylindri-
cal state space.
The Poincaré maps of chaotic solutions have fractal structures
that repeat as the map is magnified. Periodic response of period-n
will appear as n discrete points on the Poincaré map and this
shows a single curve as it is magnified and a two-period quasi-
periodic motion will show up as a close smooth curve. Hence,
when the map is magnified, it will show a complete circle while
phase plots are plotted for the entire range without magnifying
them.
For the trials 1–8 共as shown in Table 4兲, the response plots have
been shown in the form of frequency spectra obtained from math-
ematical model and experimental analysis, Poincaré map, and or-
bit plot, as shown in Figs. 7–14, respectively. Figure 7 shows the
response plots for the minimum level of localized defects of bear-
ing components and rotor speed is 1000 rpm. For this trial, peak
amplitude of vibration excitation appears at VC and its multiples
in frequency spectra. The multiloop character of Poincaré map
and orbit plot confirms the multiple peaks of excitation of FFT
and shows the periodicity of the system. In presence of spall on
outer race with 1000 rpm of rotor speed, the peak amplitude of
vibration appears in the spectrum at ball passage frequency 共␻bp兲
and its multiples, as shown in Fig. 8. The broad band frequency
spectrum that appears around the peak of excitation shows that
system losses its periodicity, which can also be confirmed by
Poincaré map. Figure 9 shows the response with spall on inner
race with 1000 rpm of rotor speed. For this trial peak, the peak
amplitude of vibration appears in the response at wave passage
frequencies 共␻wp兲 and 共2␻wp兲. Poincaré map and orbit plot show
that a periodic nature of system refers to onset of chaos condition.
Next, trial is considered with spall on ball with 1000 rpm of rotor
speed and periodic excitation appears at ball spin frequency 共␻bsf 兲
in frequency spectra, as shown in Fig. 10. The nature of solution
under these conditions signifies the periodicity of system.
For trials 5–8, the rotor speed has increased by 5000 rpm, i.e.,
at maximum level, which is considered for the experimentation.
When the system is operating with healthy bearings at rotor speed
5000 rpm, the second order subharmonic nature is observed with
peak amplitude of vibration and appears at VC and its harmonics
in the frequency spectrum, as shown in Fig. 11. The multiloop
characteristic of Poincaré map and orbit plot confirms the period-
icity of the system solution. For trial 6, with spall on outer race,
the system shows chaotic nature with dense broad band frequency
around peak excitation at ball passage frequency, as shown in Fig.
12. A dominant peak appears in the vibration spectrum at 共␻bp兲.
The peak amplitude of vibration appears in the spectrum at 共␻wp兲,
共␻wp − ␻in兲, and 共␻in兲 when a spall appears on inner race, as shown
in Fig. 13. Poincaré map and orbit plot clearly show the chaotic
nature of response. When a spall appears on rolling element, the
system shows the quasi-periodic response, as shown in Fig. 14, by
“net” structure in Poincaré map and orbit plot. The frequency
spectrum shows the fourth order of subharmonic response mainly
due to the amplitude modulation of two excitation frequencies as
ball spin frequency and carrier frequency. Dominant peaks in the
spectrum appear at ball spin frequency 共␻bsf 兲.
There appears to be some obvious discrepancies between the
numerical and experimental results that are presented in the form
of frequency spectra plots. In Fig. 9, for example, the numerical
frequency spectrum suggests that the response of the rotor is pe-
riodic. The experimental results, on the other hand, shows a broad
band frequency content indicating chaos in the response of the
rotor. This observation is also true for the results shown in Figs. 7

Table 4 DOE set and results

Factor 1 Factor 2 Factor 3 Factor 4 Vibration response

Horizontal amplitude Vertical amplitude
Trial A B C D 共gRMS兲 共gRMS兲

1 共−兲 共−兲 共−兲 共−兲 0.013418 0.007406

2 共+兲 共−兲 共−兲 共−兲 0.024767 0.011958
3 共−兲 共+兲 共−兲 共−兲 0.015532 0.010312
4 共−兲 共−兲 共+兲 共−兲 0.015004 0.01187
5 共−兲 共−兲 共−兲 共+兲 0.103042 0.159953
6 共+兲 共−兲 共−兲 共+兲 0.157276 0.164743
7 共−兲 共+兲 共−兲 共+兲 0.017408 0.011608
8 共−兲 共−兲 共+兲 共+兲 0.101925 0.114851

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 Fig. 7 Response plot for rotor speed 1000 rpm supported on healthy bearings „trial 1…

Fig. 8 Response plot for rotor speed 1000 rpm supported on bearings with outer race defect „trial 2…

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 Fig. 9 Response plot for rotor speed 1000 rpm supported on bearings with inner race defect „trial 3…

Fig. 10 Response plot for rotor speed 1000 rpm supported on bearings with ball defect „trial 4…

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 Fig. 11 Response plot for rotor speed 5000 rpm supported on healthy bearings „trial 5…

Fig. 12 Response plot for rotor speed 5000 rpm supported on bearings with outer race defect „trial 6…

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 Fig. 13 Response plot for rotor speed 5000 rpm supported on bearings with inner race defect „trial 7…

Fig. 14 Response plot for rotor speed 5000 rpm supported on bearings with ball defect „trial 8…

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 Table 5 Comparison of peak excitation of frequency components

Excitation frequency at 共frequency

in Hz and amplitude in gRMS兲
Bearing condition
S. No. and rotor speed Theoretical Experimental

1 Healthy bearing at rotor speed VC VC

1000 rpm 共53.16, 0.015兲 共51.2, 0.014兲
2 Bearing with outer race defect at rotor ␻bp ␻bp
speed 1000 rpm 共53.16, 0.035兲 共51.8, 0.015兲
3 Bearing with inner race defect at rotor ␻wp ␻wp
speed 1000 rpm 共80.18, 0.021兲 共76.5, 0.014兲
4 Bearing with ball defect at rotor speed ␻bsf ␻bsf
1000 rpm 共41.14, 0.015兲 共44.2, 0.015兲
5 Healthy bearing at rotor speed VC VC
5000 rpm 共265.79, 0.102兲 共266.3, 0.11兲
6 Bearing with outer race defect at rotor ␻bp ␻bp
speed 5000 rpm 共265.79, 0.157兲 共254.2, 0.164兲
7 Bearing with inner race defect at rotor ␻wp ␻wp
speed 5000 rpm 共400.88, 0.24兲 共410.9, 0.09兲
8 Bearing with ball defect at rotor ␻bsf ␻bsf
speed 5000 rpm 共205.7, 0.19兲 共200.8, 0.12兲

and 8. It can be visualized from Table 5 that the theoretical and
experimental results are having same exciting frequencies and
their amplitudes are also in close approximation.
Table 4 shows that for the trials 1–8, peak amplitude of vibra-
tion appears in the spectrum for horizontal acceleration response
and for vertical acceleration response. Through the experiments,
the polynomials f共x兲 is approximated by the design parameters
共A , B , C , D兲. The final functions of the response surface model are
listed as the following. The second-degree polynomial for hori-
zontal acceleration response is
R1 = − 7.85712 ⫻ 10−3 − 5.03125 ⫻ 10−4 ⫻ A + 0.022920 ⫻ B
+ 2.20681 ⫻ 10−5 ⫻ D + 1.10591 ⫻ 10−5 ⫻ A ⫻ D − 2.15991
⫻ 10−5 ⫻ B ⫻ D 共22兲
The second-degree polynomial for vertical acceleration re-
sponse is
R2 = − 0.03082 + 4.671 ⫻ 10−3 ⫻ A + 0.040808 ⫻ B + 0.016945
⫻ C + 3.81665 ⫻ 10−5 ⫻ D − 3.78425 ⫻ 10−5 ⫻ B ⫻ D
− 1.24213 ⫻ 10−5 ⫻ C ⫻ D 共23兲
The performance prediction of vibration amplitude in horizon-
tal and vertical acceleration responses has been shown in Fig. 15.
The actual and predicted values of response in both directions are
very close and verify the fitness of polynomial for the response.
In order to verify whether the obtained polynomials are valu-
able or not, we perform variance analysis and F-ratio test on them.
Table 6 shows the analysis of variance table for horizontal dis-
placement. The model F-value of 4713.87 implies that the model
is significant. Values of prob⬎ F less than 0.0500 indicate that
model terms are significant. In this case, A, B, D, AD, and BD are
significant model terms. Values greater than 0.1000 indicate that
the model terms are not significant. Analysis of variance for ver-

Fig. 15 The performance prediction: „a… horizontal and „b… vertical acceleration response

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 Table 6 Analysis of variance table for horizontal acceleration „partial sum of squares: type III…

Source Sum of squares Df Mean square F-value p-prob ⬎F

−3
Model 0.022 5 4.43⫻ 10 4713.87 0.0002
A: outer race defect 1.42⫻ 10−3 1 1.42⫻ 10−3 1513.09 0.0007
B: inner race defect 2.33⫻ 10−3 1 2.33⫻ 10−3 2485.48 0.0004
D: speed of rotor 4.51⫻ 10−3 1 4.51⫻ 10−3 4799.08 0.0002
AD 6.52⫻ 10−4 1 6.52⫻ 10−4 693.36 0.0014
BD 2.48⫻ 10−3 1 2.48⫻ 10−3 2644.76 0.0004
Residual 1.82⫻ 10−6 2 9.4⫻ 10−7
Cor total 0.022 7

tical displacement is shown in Table 7. F-value of 4.2⫻ 105 im- 6 Conclusions

plies that the model is significant. In this case, A, B, C, D, BD,
and CD are significant model terms.
The ANOVA tests of both polynomials show that they are valu-
able for the corresponding problems. They can be used to analyze
the relation between factors and their corresponding responses.
After testing the polynomials using ANOVA, RSM of horizontal
and vertical acceleration responses are developed. The response
surface in Fig. 16共a兲 shows the interaction effect of outer race
defect and inner race defect on horizontal response. The presence
of spall at inner race and outer race increases amplitude of vibra-
tion.
The response surfaces in Figs. 16共b兲 and 16共c兲 show the inter-
action effect of ball defect with outer race defect and inner race
defect on horizontal response, respectively. Amplitude of vibra-
tion increases with outer race defect and decreases with inner race
defect in the presence of ball defect. Ball defects have very less
effect on horizontal amplitude of vibration. Figures 16共d兲 and
16共e兲 show the interaction of rotor speed with outer race defect
and inner race defect, respectively. Rotor speed has considerable
effect on the horizontal amplitude of vibration. In presence of
outer race defect in the bearing, horizontal amplitude of vibration
increases more at rotor speed 5000 rpm compared when the rotor
is running at speed 1000 rpm, as shown in Fig. 16共d兲. With inner
race defect on bearing and at rotor speed 5000 rpm, the cata-
strophic stage of bearing started and due to “self-peening” of the
bearing defects, amplitude of vibration decreased, as shown in
Fig. 16共e兲.
Figure 17 shows the interaction effect of various bearing com-
ponent defects on vertical response. Figure 17共a兲 shows that in the
presence of outer race defect and inner race defect, vertical am-
plitude is mainly affected by inner race defect. Figures 17共b兲 and
17共c兲 show the interaction of ball defect with outer race defect and
inner race defect, respectively. Ball defect has considerable effect
on vertical amplitude, although it is least affecting horizontal am-
plitude of vibration. The response surfaces in Figs. 17共d兲 and
17共e兲 show the interaction effect of rotor speed with inner race
defect and ball defect on vertical response, respectively. Vertical
amplitude of vibration increases significantly with rotor speed
changes from 1000 rpm to 5000 rpm, as shown in Figs. 17共d兲 and
17共e兲.
In the present investigation, an analytical model of a rotor bear-
ing system has been developed to obtain the nonlinear vibration
response due to localized defects. The results have been validated
under various bearing localized defects with experimentation per-
formed in the laboratory. The present work uses DOE and RSM
procedures to conduct several trials for investigating simultaneous
effects of localized defects with two levels of rotor speed and to
check the combined effect of the various localized parameters. All
trials are designed to be able to consider two-way interactions
between various factors as well as main effects of individual fac-
tors. From the obtained responses, the following conclusions are
drawn.
1. Nonlinear dynamic responses are found to be associated
with high rotor speed and due to localized defects on inner
and outer races 共Fig. 12 共trial 6兲 and Fig. 13 共trial 7兲兲.
2. The system shows periodic nature when ball defect is at its
maximum level with rotor speed 1000 rpm 共Fig. 10 共trial 4兲兲.
3. The system shows quasi-periodic nature with strange attrac-
tor when rotor speed 5000 rpm and ball defect are at their
maximum level 共Fig. 14 共trial 8兲兲.
4. When the outer race defect is present on the bearing com-
ponents, the peak amplitude of vibration appears at the ball
passage frequency 共Fig. 12 共trial 6兲兲.
5. When the inner race defect is present on the bearing com-
ponents, the peak amplitude of vibration appear at the wave
passage frequency and at its interaction with inner race fre-
quency 共Fig. 13 共trial 7兲兲.
6. When the ball defect is present on the bearing components,
the peak amplitude of vibration appear at the ball spin fre-
quency 共Fig. 14 共trial 8兲兲.
Acknowledgment
Authors are truly thankful to all the reviewers for their critical
comments, which improved the quality of this paper.
Nomenclature
F␪i ⫽ local Hertzian contact force, N
Fu ⫽ force due to unbalance rotor, N

Table 7 Analysis of variance table for vertical acceleration „partial sum of squares: type III…

Source Sum of squares Df Mean square F-value p-prob ⬎F

Model 0.036 6 6.02⫻ 10−3 4.2⫻ 105 0.0012

A: outer race defect 2.18⫻ 10−5 1 2.18⫻ 10−5 1540.73 0.0162
B: inner race defect 5.28⫻ 10−3 1 5.28⫻ 10−3 3.73⫻ 105 0.0010
C: ball defect 4.12⫻ 10−4 1 4.12⫻ 10−4 29,154.85 0.0037
D: speed of rotor 2.71⫻ 10−3 1 2.71⫻ 10−3 1.92⫻ 105 0.0015
BD 7.63⫻ 10−3 1 7.63⫻ 10−3 5.39⫻ 105 0.0009
CD 8.22⫻ 10−4 1 8.22⫻ 10−4 58,107.93 0.0026
Residual 1.41⫻ 10−8 1 1.41⫻ 10−8
Cor total 0.036 7

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 Fig. 16 Response surfaces showing interaction of „a… parameters A and B, „b… parameters A and C, „c… parameters B and
C, „d… parameters A and D, and „e… parameters B and D

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 Fig. 17 Response surfaces showing interaction of „a… parameters A and B, „b… parameters A and C, „c… parameters B and
C, „d… parameters B and D, and „e… parameters C and D

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