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Dynamic Features of a Planetary Gear System With Tooth Crack Under

Different Sizes and Inclination Angles

Article  in  Journal of Vibration and Acoustics · June 2013

DOI: 10.1115/1.4023300

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Zaigang Chen
Yimin Shao1
e-mail: ymshao@cqu.edu.cn
State Key Laboratory
of Mechanical Transmission,
Chongqing University,
Chongqing, 400030, P.R. China
Dynamic Features of a
Planetary Gear System With
Tooth Crack Under Different
Sizes and Inclination Angles
Planetary gears are widely used in the industry due to their advantages of compactness,
high power-to-weight ratios, high efficiency, and so on. However, planetary gears such
as that in wind turbine transmissions always operate under dynamic conditions with in-
ternal and external load fluctuations, which accelerate the occurrence of gear failures,
such as tooth crack, pitting, spalling, wear, scoring, scuffing, etc. As one of these failure
modes, gear tooth crack at the tooth root due to tooth bending fatigue or excessive load
is investigated; how it influences the dynamic features of planetary gear system is studied.
The applied tooth root crack model can simulate the propagation process of the crack
along tooth width and crack depth. With this approach, the mesh stiffness of gear pairs in
mesh is obtained and incorporated into a planetary gear dynamic model to investigate
the effects of the tooth root crack on the planetary gear dynamic responses. Tooth root
cracks on the sun gear and on the planet gear are considered, respectively, with different
crack sizes and inclination angles. Finally, analysis regarding the influence of tooth root
crack on the dynamic responses of the planetary gear system is performed in time and
frequency domains, respectively. Moreover, the differences in the dynamic features of the
planetary gear between the cases that tooth root crack on the sun gear and on the planet
gear are found. [DOI: 10.1115/1.4023300]

Keywords: gear tooth crack, dynamic feature, mesh stiffness, planetary gear

1 Introduction because of the changes in the dynamic behavior of the gear sys-
tem, it is possible to detect and extract the feature signals corre-
Planetary gears are widely used in the transmissions of helicop-
sponding to the tooth faults. This is why the investigation on gear
ters, automobiles, aircraft engines, wind turbine transmission,
tooth fault has attracted so much attention. As one of the fre-
heavy machinery, and marine vehicles because of their advantages
quently encountered gear failure modes, crack at the gear tooth
over parallel shaft drives, like compactness, large torque-to-
root is also of concern and a series of research literatures on its
weight ratio, large transmission ratios, reduced noise, and vibra-
propagation have been published by NASA [27–34]. Some other
tions and high efficiency due to relatively smaller and stiffer com-
research work about gear tooth crack has been reviewed and dis-
ponents. That is the reason why studies on planetary gear
cussed in our previous paper [35]. In addition, up to now, only a
transmission systems attracted much attention, particularly in the
few published papers attempted to examine the impact of gear
two most recent decades. Investigations on the vibration- and
tooth faults on the dynamics of a planetary gear system due to its
noise-related dynamic responses caused by the inherited internal
structural complexity.
(mesh stiffness, transmission errors, etc.) and/or external (fluctua-
Kahraman [36] employed a computational model of a planetary
tions of load or speed, etc.) time-varying factors were and will be
gear set to study the influence of surface wear on the dynamic
going on. Previous studies on dynamic analysis of planetary gear
behavior of a typical planetary gear set by combining a wear
systems mainly focused on prediction of natural modes [1–4],
model that defines geometric description of contacting gear tooth
load sharing among planet gears [5–9], effect of time-varying
surfaces having wear and a deformable-body dynamic model of a
mesh stiffness [10–13] and transmission error [7,14,15], spacing
planetary gear set. Sparis [37] investigated the cracks on the
[4,16], mesh phasing [17–19] and backlash related nonlinear dy-
planet carrier plate using experimental data from ground and air-
namics [20–24], etc. Its dynamic performances, especially the
craft tests, and Sunyoung [38] analyzed the cracked failure of the
nonlinear characteristics, were highly concentrated. While in the
planetary carrier in terms of metallurgical and finite element anal-
area of investigations on planetary gear system with tooth fault,
ysis. The dynamic responses of a differential planetary system due
fewer published literature is available.
to the combination of backlash and tooth defects were studied by
Due to the possible influencing factors like inadequate lubrica-
Wu [24], where the interactions between the “chipped” sun gear
tion, inappropriate operating conditions, poor specifications, mate-
tooth and backlash were concerned by combining CAD models
rial defects, and manufacturing or installation problems, gear
with ADAMS to overcome geometric simplifications. Chaari [26]
tooth damage may be in presence with undesirable dynamic
simulated the dynamic responses of a planetary gear failure
behavior changes resulting in noise, acoustic emissions, and unac-
caused by tooth pitting and cracking by changing the phase and
ceptable performance characteristics, including serious reductions
amplitude of the square waveform mesh stiffness. Dhanasekaran
in the durability of the planetary system [25,26]. However, just
[39] analyzed crack failure on the sun gear of a planetary gear in
detail, including micro hardness (HRC), chemical properties, opti-
1
Corresponding author. cal microscopy (Core), and scanning electron microscopy (SEM),
Contributed by the Design Engineering Division of ASME for publication in the
JOURNAL OF VIBRATION AND ACOUSTICS. Manuscript received February 5, 2012; final
and drew a conclusion that crack occurred due to fatigue. Based
manuscript received October 2, 2012; published online March 28, 2013. Assoc. on the discussions above, there are few studies on the effect of the
Editor: Philippe Velex. gear tooth crack, as one of the gear tooth failure modes, on the

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 dynamic performances of planetary gears, which is the principle
scope of this paper.
As stated in Ref. [24], it is difficult to accurately simulate the
gear train’s practical dynamic behavior by simply assuming time-
varying gear mesh stiffness as square waveforms, which were
used in most of previous research work even when the applied
model involves sophisticated mathematics. This is especially true
for the planetary gear system. The complicated dynamic forces
existing among sun, planet, and ring gears are difficult to analyze
for the main sources of vibration. Simulating the practical
dynamic force between a single-mating-gear pair still remains an
important topic [40]. It is even more difficult to simulate the prac-
tical dynamic behavior in the presence of some gear faults.
The published papers on the gear tooth root crack are always
under the assumption that the crack is through the whole tooth
width while keeping the depth constant. In reality, the crack is not
always through the whole tooth width but from an initial position
where a stress concentration appears. The crack model developed
in Ref. [35] is able to make up the above-mentioned shortage
because of its capability of propagation along both tooth width
and crack depth for spur gears. This model makes it possible to
check the effectiveness of algorithms in fault diagnosis and condi-
tion monitoring, especially for the crack at an early stage. Fig. 1 One-stage planetary gear dynamic model
The main objective of this paper is to investigate the effect of
gear tooth crack with different sizes and inclination angles seeded
in different elements on planetary gear dynamic responses by on the lines of action of sun–planet and ring–planet mesh can be
combining the developed crack model and the planetary gear calculated as [2,5,15,26]:
dynamic model. In order to simulate the dynamic behavior more
practically, the gear mesh stiffness of the health and faulty gear dspn ¼ ws þ wn  vn cos as  un sin as  xs sinðun  as Þ
used in this paper are of angular-position-dependent, which means þ ys cosðun  as Þ þ espn (1)
its value depends on the rotational angular position, but not time.
Angular-position-dependent mesh stiffness is more reasonable drpn ¼ wr  wn  vn cos ar þ un sin ar  xr sinðun þ ar Þ
than time-dependent, especially when the gear rotational speed is
time-variant which is more popular in practical applications. The þ yr cosðun þ ar Þ þ erpn (2)
seeded cracks on sun and planet gears are in consideration respec-
tively. Finally, their influence on dynamic response of the plane- Here, the fixed angles un are measured relatively to the rotating
tary gear train is investigated thoroughly. frame with u1 ¼ 0 to specify the circumferential planet positions.
This paper is organized as follows: The first segment aims at as and ar stand for the pressure angles of sun and ring gears,
establishment of the dynamic model of a planetary gear system respectively.
coupled with the developed gear tooth crack model, which can By applying the Lagrange formulation, the global equation of
simulate the crack propagation along both tooth width and crack the motion of the planetary gear train can be assembled in matrix
depth. The dimensions of gear tooth root cracks applied in this pa- forms as [2,15,26],
per are defined in Sec. 3. The effect of the gear tooth crack with
different sizes and inclination angles on the dynamic responses of x þ Xc Gx_ þ ½Kbe þ Ke ðtÞ  X2c KX x ¼ T þ FðtÞ
M€ (3)
the planetary gear system are investigated in Sec. 4 which is fol-
lowed by conclusions in Sec. 5. where x is the degrees of freedom vector, M is the mass matrix, G
is the gyroscopic matrix, and KX is the centripetal stiffness matrix.
Xc is the angular speed of the carrier. Kbe is the matrix of the sup-
porting bearing stiffness. Ke(t) is the gear mesh stiffness matrix. T
2 Dynamic Model of Planetary Gear System With denotes external torque applied to the planetary gear system. F(t)
Tooth Crack is the exciting force induced by the unloaded transmission errors
2.1 Dynamic Model of Planetary Gear System. The which has been discussed in Ref. [15], where FðtÞ ¼ Ke ðtÞ  EðtÞ,
dynamic model stressed in this paper is a one-stage planetary gear E(t) is the unloaded error function fluctuating at mesh frequency
train, which consists of one sun (s), carrier (c), ring (r), and N and its harmonics.
planets (p) with the rotational motion of the ring gear constrained, When the carrier rotates at a low speed, the gyroscopic effect
as displayed in Fig. 1. Each element has three degrees of freedom can be neglected. In this case, the eigenvalue problem is derived
with one rotation and two translations. Thus, the total number of from Eq. (3) with the averaged mesh stiffness Km with respect to
degrees of freedom is 3(N þ 3). The rotation wn ¼ hn rn (n ¼ r, c, s, the health case. It can be obtained as,
1,…N) where hn is the angular displacement and rn is the base ra-
dius. The positive direction for rotation is defined as along anti- ðx2i M þ Km þ Kbe Þ/i ¼ 0 (4)
clockwise. The translational motions of these so called central
where xi is the eigenfrequency and /i is the corresponding
elements (namely the sun, carrier, and ring gear) xn, yn (n ¼ r, c, s)
eigenvector.
and that of the planets un (radial), vn (tangential), (n ¼ 1,…N) are
The dynamic responses of a planetary gear are also dominated
defined in a rotating carrier reference frame which is fixed to the
by the cyclic variation of mesh stiffness due to the change of the
carrier with origin O. The xn (n ¼ c, r, s) are directed towards the
number of gear pairs in mesh. In addition, the mesh frequency for
equilibrium position of planet No. 1. The supporting bearings and
a fixed-ring planetary gear train can be gained by [26,41,42],
gear mesh along line of action are modeled by linear springs. In
this study, the unloaded transmission errors are involved as espn
and erpn (n ¼ 1,…N) representing the sun–planet and ring–planet Zs Zr
fm ¼ fs (5)
gear mesh errors on the lines of action. The relative displacements Zs þ Zr

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 To establish an easier understanding in the motion relationship
among different components in the planetary gear set, an equiva-
lent motion model of the original planetary gear set is used by
applying an inverse rotational speed of the carrier to every compo-
nent. So that the carrier is fixed and each gear pair in mesh
becomes a parallel fixed-shaft gear pair in the equivalent coordi-
nate system with that, the rotational frequencies of the elements
are fs-fc, 0, -fc and fp-fc for sun, carrier, ring, and planet gears suc-
cessively. When a defect happened to one of the sun gear teeth,
the defect passing frequency, namely the frequency of the cracked
tooth contacting with planet gears, is calculated as,

fds ¼ ðfs  fc Þ  N (6)

Equation (6) means that there are N impulses generated in each

revolution of the sun gear in the equivalent coordinate system.
Fig. 2 Gear tooth crack model at tooth root [35]
While a defect happened to one tooth of the planet gear, the defect
frequency can be obtained by,
tooth, respectively. W is the tooth width. E, G, v are the elastic
fdp ¼ fp  fc (7) modulus, shear modulus, and poison ratio, respectively. When a
tooth crack appears, the area moment of inertia Ix and area of the
where fm is the mesh frequency; fds, fdp are the defect frequencies section Ax will be reduced. For the symbols in Eq. (12), for the
corresponding to the two cases of a crack happened to the sun and calculation of the fillet-foundation deflection, df , their meanings
the planet gear teeth, respectively, and fs, fc, and fp are, respec- have been discussed thoroughly in Refs. [35,41–48]. which are
tively, the rotational frequencies of the sun gear, carrier, and not repeated here. Then, the total equivalent mesh stiffness of one
planet gear in the original planetary gear system. tooth pair in mesh can be obtained by [35],
 
1 1 1 1 1 1 1 1 1
2.2 Calculation of Gear Mesh Stiffness With Tooth Ke ¼ 1 þ þ þ þ þ þ þ þ
Kb1 Ks1 Ka1 Kf 1 Kb2 Ks2 Ka2 Kf 2 Kh
Crack. The mesh stiffness of sun–planet and ring–planet gear
pair will be calculated based on the analytical method in Ref. (13)
[35]. One of the sun–planet gear pairs of the planetary gear system
is picked out to be an axis-fixed external gear pair in mesh so as to Here, the subscript 1 means pinion and 2 is the gear.
obtain the mesh stiffness. The same approach is also applied to 2.2.2 Tooth Crack With Variant Crack Depth Along Tooth
the ring-planet gear mesh. Width. The gear mesh stiffness calculation model with considera-
tion of tooth crack propagating along tooth width was proposed in
2.2.1 Tooth Crack With Constant Depth Through Tooth Ref. [35], which can eliminate the assumption that the tooth crack
Width. Deflections of a spur gear tooth can be always determined is through the tooth width with a constant depth like the models
by considering it as a nonuniform cantilever beam. The total applied in Refs. [43–45]. Dividing a gear tooth into some inde-
deflections of the gear pair in mesh consists of five parts resulting pendent thin pieces like the shaded area shown in Fig. 2, so that
from tooth bending, shear, axial compress, and Hertzian contact the crack length along tooth width for each piece can be regarded
as well as fillet-foundation deflection, respectively, which are as a constant which is reasonable when the thickness of the
derived as [35,43–50], piece dx is very small. Stiffness of each piece, namely Kp (x),
ðd can be calculated with taking tooth bending, shear, and axial com-
1 ðx cos a1  h sin a1 Þ2 press into account based on Eqs. (8)–(10). Kp (x) can be obtained
¼ dx (8)
Kb 0 EIx by [35],
ðd  
1 1:2 cos2 a1 1 1 1
¼ dx (9) Kp ðxÞ ¼ 1 þ þ (14)
Ks 0 GAx Kb ðxÞ Ks ðxÞ Ka ðxÞ
ðd 2
1 sin a1
¼ dx (10) Kb ðxÞ, Ks ðxÞ, Ka ðxÞ are the stiffness under consideration of the
Ka 0 EAx
effect of tooth bending, shear, and axial compress for one piece of
1 4ð1  v2 Þ tooth. The symbol x is the distance between the piece of tooth and
¼ (11)
Kh pEW one end of the tooth which is shown in Figs. 2 and 3.
(     ) Then, the stiffness of the whole tooth can be obtained by inte-
F cos2 a1 uf 2 uf   gration of Kp(x) along tooth width [35],
df ¼ L þ M þ P 1 þ Q tan2 a1
WE Sf Sf
(12a)
1 df
¼ (12b)
Kf F

where, Kb , Ks , Ka , Kh , and Kf are the bending stiffness, shear stiff-

ness, axial compressive stiffness, Hertzian contact stiffness and
fillet-foundation stiffness, respectively. The symbol a1 is the pres-
sure angle. The symbol x denotes the distances between the point
where the force F is applied and the cross section area Ax. d and h
represent the distances from the point where the applied force acts
to the position where the tooth is fixed and to the center line of the Fig. 3 Crack depth along tooth width [35]

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 ðW
Kt ¼ Kp ðxÞ
0 Zs
With the effect of fillet-foundation deflection in Eq. (12) and
Hertzian contact in Eq. (11), the equivalent mesh stiffness can be
calculated by [35],
  2p
1 1 1 1 1
Ke ¼ 1 þ þ þ þ (16)
Kt1 Kf 1 Kt2 Kf 2 Kh
The crack depth can be described as a function of its position
along tooth width in Fig. 2. That means [35],
qðxÞ ¼ f ðxÞ
The tooth crack profile in Ref. [35] where the crack depth was
assumed to distribute along tooth width as a parabolic function is
also utilized in this paper and shown in Fig. 3. Moreover, the
assumed crack function with regard to the position x along the
tooth width can be written as [35],
For the solid curve where Wc < W and q2 ¼ 0,
8 rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
< x þ Wc  W
qðxÞ ¼ q0 ; x 2 ½W  Wc W  (18)
: Wc
qðxÞ ¼ 0; x 2 ½0 W  W c 
For the dashed curve where Wc ¼ W,
rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
q20  q22
qðxÞ ¼ x þ q22
W with the developed model in Sec. 2.2. The other parameters of the
In this paper, the severity of the gear tooth crack is defined as
Crack(q0, Wc/W, q2,ac ) which will be used in the definition of the
gear tooth crack in Table 1.
2.3 Coupling of Tooth Crack Model With Planetary Gear
System. Having obtained the mesh stiffness of gear pairs with or
without tooth crack by using the model introduced in Sec. 2.2,
which has been validated in Ref. [35] by comparison with the
FEA results in Ref. [45], it can be coupled with the dynamic
model of the planetary gear system to expose its effect on the gear
dynamic features. There are multiple tooth meshes in planetary
and epicyclic gears. These tooth meshes have varying numbers of
teeth in contact which fluctuate at the fundamental mesh fre-
quency. However, these mesh variations are, in general, not in
phase with each other. Mesh phasing between different meshes is
related to the number of the sun gear teeth and the ring gear teeth,
the number of the planets as well as their positions around the sun
gear [17–19,26]. It plays an important role in influencing the
dynamic responses of the planetary gear train and will be involved
in this study. Here, the ring gear is restricted by a tangential linear
spring krw and is allowed to vibrate in a small magnitude. In order
to simulate the dynamic forces between the gear teeth in mesh as
practically as possible, the mesh stiffness obtained by the
approach introduced in Sec. 2.2 are incorporated together with the
phasing effect into the planetary gear dynamic model with respect
to the angular position of the sun gear. Namely, the mesh stiffness
is a function of angular displacement of gears, which can be writ-
ten as,
kspn ¼ Ksp ðh þ cspn Þ (20a)
(15)
h ¼ ðhs  hc Þ  (20b)
2p
krpn ¼ Krp ðh þ crpn Þ (21a)
Zp
h ¼ ðhn þ hc Þ  (21b)
where, Ksp, Krp are the angular-position-dependent mesh stiffness of
sun-planet and ring-planet gear pairs, respectively, without the mesh
phasing effect (as shown in Figs. 4–6). cspn , crpn represent, respec-
tively, the mesh phase lags of the nth sun–planet and the nth ring–-
planet gear pairs in mesh relative to the first sun–planet mesh, where
(17) crpn ¼ cspn þ csr and csr is the phase lag between the nth sun–planet
and nth ring–planet gear meshes. More detailed information about
the mesh phasing of gear pairs in mesh of a planetary gear set can
be found in Refs. [17–19]. Zs, Zp denote the number of sun and
planet gear teeth. hs , hc , and hn are the angular displacements of the
sun, the carrier, and the nth planet gear defined in Fig. 1. The sub-
script n is the planet number ranging from 1 to N where N is the
number of planets. Then the incorporation of the crack model into
the dynamic model of the planetary gear set can be implemented by
substitution of the sun–planet and ring–planet gear mesh stiffness in
Eqs. (20)–(21) into the mesh stiffness matrix Ke(t) in Eq. (3).
3 Definition of Gear Tooth Crack Dimensions
In order for the investigation on the effect of tooth root crack
on the planetary gear system, a crack is seeded intentionally in
one tooth of the sun and the planet gear, respectively. Then the
(19) sun–planet mesh stiffness with different crack sizes are obtained
planetary gear system are given out in Table 2. Three groups of
tooth crack cases, namely Crack1, Crack2, and Crack3, are
defined in Table 1. Five crack cases with different sizes are given
out while keeping the inclination angle constant in the groups of
Crack1 and Crack2, respectively. The crack cases in Crack1 are
defined to model the incipient fault with small dimensions while
that in Crack2 are for a little bigger fault situations. Furthermore,
another five crack cases with different inclination angles while
keeping crack depth a constant are included in the group of
Crack3. The corresponding mesh stiffness curves are presented in
Figs. 4–6 for Crack1, Crack2, and Crack3, sequentially. For all
the three groups of crack cases in Table 1, the crack cases As, Bs,
Cs, Ds, and Hs represent that a crack happens at one tooth of the
sun gear while all the planet gear teeth keep healthy (see Figs.
4(a), 5(a), and 6(a)), while the cases Ap, Bp, Cp, Dp, and Hp stand
for a tooth crack seeded in one tooth of the planet gear when the
sun gear is in a healthy condition (see Figs. 4(b), 5(b), and 6(b)).
It can be seen that as the growth of crack size and inclination
angle, more serious deduction happens to the gear mesh stiffness.
The deductions in the mesh stiffness of the gear pair with incipient
tooth root cracks are very small. Moreover, the ring–planet mesh
stiffness shown in Fig. 7 can also be calculated by this approach
by neglecting the deformation of the ring gear rim.
4 Dynamic Features of Planetary Gear System
4.1 Dynamic Simulation. With the coupled dynamic model,
the dynamic features of the planetary gear train can be obtained
by numerical simulation programmed in MATLAB with ODE45

Table 1 Parameters of gear tooth crack

Crack As/Ap Bs/Bp Cs/Cp Ds/Dp Hs/Hp

Crack1 (q0, Wc/W, q2, ac) (0,0,0,0 deg) (0.1,0.5,0,60 deg) (0.2,1,0,60 deg) (0.3,1,0.15,60 deg) (0.3,1,0.3,60 deg)
Crack2 (q0, Wc/W, q2, ac) (0,0,0,0 deg) (0.5,0.5,0,60 deg) (1,1,0,60 deg) (1.5,1,1,60 deg) (1.5,1,1.5,60 deg)
Crack3 (q0, Wc/W, q2, ac) (0,0,0,0 deg) (1,1,0, 0 deg) (1,1,0,20 deg) (1,1,0,40 deg) (1,1,0,60 deg)

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 Fig. 4 Sun-planet mesh stiffness with Crack1 (Ksp)

Fig. 5 Sun-planet mesh stiffness with Crack2 (Ksp)

Fig. 6 Sun-planet mesh stiffness with Crack3 (Ksp)

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 Table 2 Parameters of the planetary gear train assess the severity of the gear tooth crack in this paper which are
denoted as,
Sun Ring Planet Carrier sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
1X n
Teeth number 30 70 20 — RMS ¼ ðxðiÞ  xÞ2 (22a)
Module (mm) 1.7 1.7 1.7 n i¼1
Teeth width (mm) 25 25 25
Mass (kg) 0.46 0.588 0.177 3 1X n
x ¼ xðiÞ (22b)
I/r2 (kg) 0.272 0.759 0.1 1.5 n i¼1
Base radius (m) 0.024 0.056 0.016 —
Helical angle (deg) 0 0 0 X
n
Bearing stiffness (N/m) Kp ¼ ks u,v ¼ k c u,v ¼ kr u,v ¼ 108 1=n ðxðiÞ  xÞ4
Torsional stiffness (N/m) Krw ¼ 109; ksw ¼ kcw ¼ 0 Kur ¼ " i¼1
(23)
#2
Pressure angle (deg) as ¼ ar ¼ 21.34 X
n
2
1=n ðxðiÞ  xÞ
i¼1

Peak
Crf ¼ (24)
RMS
where, RMS, Kur, and Crf are the indicators of root mean square,
kurtosis factor and crest factor, respectively; x is the sampling
data with a length of n data points and x is the average of x. Peak
is the peak level of the raw time series.
With the statistic indicators, the relative severity of the gear
fault can be assessed by,

Xi  X0
RXi ¼  100% (25)
X0
where RXi is the indicator to present the severity of gear fault rela-
tive to the healthy gear case. X stands for the statistic indicators
defined in Eqs. (22)–(24). Subscript i refers to the gear tooth crack
Fig. 7 Ring-planet mesh stiffness (Krp) cases listed in Table 3, namely, i ¼ As, Bs, Cs, Ds, Hs or i ¼ Ap,
Bp, Cp, Dp, Hp, and subscript 0 means that X is the indicator corre-
Table 3 Natural frequency of the planetary gear train (unit: Hz) sponding to the healthy gear case.

f1 f2 f3 f4 f5 f6 f7 4.2 Results and Discussion. The planet gears contact with

1115(T) 2003(T) 2878(T) 3112(R) 3642(P) 3714(R) 3951(T)
f8 f9 f 10 f 11 f 12 f 13
5255(R) 11485(P) 13273(T) 16278(R) 18115(P) 19701(T) 21005(R)
Note: (T) presents the translational mode having natural frequency with
multiplicity of 2; (R) refers to the rotational mode and (P) denotes the
planet mode.
subroutine. The design parameters of the planetary gear train are
shown in Table 2 and the natural frequencies of this planetary gear
case studied in this paper are listed in Table 3. Here, three kinds of
vibration modes, namely rotational mode, translational mode, and
planet mode, are also found and the more detailed discussions about
these modes can be referenced to the work done in Ref. [2–4].
Here, the unloaded transmission errors are considered as
espn ¼ erpn ¼ esp ¼ erp (n ¼ 1,…N) fluctuating by a cosine function
at the mesh frequency with the phasing effect. Their amplitudes are
assumed to be 10 um. A constant driving torque of 300 Nm is
applied to the sun gear rotating at 1000 rpm indicating the mesh fre-
quency is 350 Hz. There are four planet gears in the planetary gear
case. In addition, the modal damping ratio of 0.05 is used here. The
friction on the teeth surface in mesh is ignored under the assump-
tion that the planetary gear train is operating at a well lubricated
condition. In the dynamic simulation, the gyroscopic and centripe-
tal effects are also taken into consideration—although they have a
negligible effect when the rotational speed of the carrier is low. In
this section, the effects of different crack sizes on the dynamic
responses of the planetary gear will be mainly investigated.
Statistical features which are commonly used to be the indica-
tors of the vibration level are widely used in mechanical fault
detection [35,51–54]. In addition, the statistical indicators—root
mean square (RMS), kurtosis and crest factor—are applied to
the sun, carrier, and ring gear simultaneously and their dynamic
responses are directly related to these elements of the planetary
f 14 gear train. So, the vibration changes due to the presence of the
faults on sun, planet, carrier, and ring gears can be transmitted to
the planet gear in a relative short path with less decaying. In the
following work, the radial vibrations of the planet gear No.1 are
extracted to examine the influence of gear tooth root crack on the
dynamic performance of the planetary gear train. Moreover, how
the trajectory of the sun gear center is affected by the gear tooth
root crack will be checked. It should be noticed that the x axis in
Figs. 8, 9, and 11 refers to the rotational angles of the sun (hs ) and
the first planet (h1 ) gears in the equivalent coordinate system
defined in the discussion on Eqs. (6)–(7).
In this study, gear tooth cracks with different sizes are seeded
in one tooth of the sun and planet gears, respectively, and the
dynamic responses with regard to the healthy and faulty gears are
shown in Figs. 8–12 for the crack group of Crack2. There is no
impulsive signal when the planet gear train is operating under a
healthy condition as displayed in Fig. 8. In this case, the cyclic
mesh stiffness and transmission errors are the main excitation
sources. For the crack group of Crack1, where the incipient cracks
with small size are defined, the impulsive signals can hardly be
observed in time domain. However, these incipient cracks can be
detected by the statistical indicators and/or the frequency spec-
trum analysis in the subsequent analysis, and it will be found in
the frequency domain that only the amplitudes of the sideband
components are sensitive to the tooth crack sizes. When a tooth
crack is in presence, impulsive vibration signals extracted from
the planet gear No.1 and the trajectory of the sun gear center will
appear as shown in Figs. 9–12 for the cases that a crack seeded in
the sun gear and in the planet gear respectively. In these two sets
of figures for both the radial vibrations of the planet gear and the
trajectory of the sun gear center, the amplitudes of the impulsive
vibration signals increase with the growth of gear tooth crack size.

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 Fig. 8 Radial vibration of planet gear No.1 under healthy condition

Fig. 9 Radial vibration of planet gear No.1 for TRCS: (Bs), (Cs), (Ds) and (Hs) are correspond-
ing to the TRC2 listed in Table 1

Fig. 10 Trajectory of the sun gear center for TRCS: (Bs), (Cs), (Ds) and (Hs) are
corresponding to the TRC2 listed in Table 1

The amplitude and frequency of the impulsive signal in the trajec-
tory of the sun gear center is directly determined by the size and
location (on the sun or the planet gear) of the tooth crack in
engagement. Difference between the trajectory curves of the sun
gear center for the cracks on the sun and the planet gears is a no-
ticeable observation. These numerical symbols in Fig. 10(Hs)
ranging from 1 to 14 and that in Fig. 12(Hp) from 1 to 7 are used
to indicate the contact number when the cracked tooth is in mesh
and they are determined by the ratio of the number of teeth of the
sun, ring, and planet gears. When the gear tooth crack lies at the
early stage, namely the crack size is very small, it is difficult to
observe the impulsive signals as displayed in Figs. 9(Bs) and
11(Bp). The defect passing frequencies can be calculated, accord-
ing to Eqs. (6)–(7), as 0.0214 s and 0.0571 s corresponding to the
conditions of tooth crack on the sun gear and on the planet gear,
respectively, which coincides exactly with the results in Figs. 9
and 11 obtained by numerical simulation.
However, an obvious discrepancy between the vibration wave-
forms is observed for the two cases. For the case of a crack seeded
in a tooth of the sun gear, the shape of the impulsive signal varies
with contacting of the cracked tooth with different planets. Just like
what is shown in Fig. 9(Hs), the radial vibration of the planet No.1

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 Fig. 11 Radial vibration of planet gear #1 for TRCP: (Bp), (Cp), (Dp) and (Hp) are corresponding
to the TRC2 listed in Table 1

Fig. 12 Trajectory of the sun gear center for TRCP: (Bp), (Cp), (Dp) and (Hp) are
corresponding to the TRC2 listed in Table 1

appears to be different when the faulty tooth contacts with different
planets. While for the case of a crack planted in the planet No.1
gear, the profile of the impulsive vibration signal keeps the same
when the cracked tooth is getting into mesh with the sun gear each
time. The reason for the discrepancy between the shapes of the im-
pulsive signals in the two cases can be attributed to that whether the
mesh position when the cracked tooth in mesh relative to the place
(say the center of the planet gear No.1) where the data are collected
varies each time or not. These findings can be the theoretical
approaches to distinguish the faults on sun gear or on planet gears.
For the case of Crack3, namely the effect of the inclination
angle of crack, it has a similar influence on the mesh stiffness
which is shown in Fig. 5, and the similar results can be obtained
as discussed above. As such, the results will not be plotted in time
domain and frequency domain in this study except for the statisti-
cal indicators discussed subsequently.
Statistical features are the commonly used indicators in mechani-
cal fault detection to measure the vibration severity [35,51–54]. In
addition, the statistical indicators (root mean square (Rms), kurto-
sis, and crest factor) defined in Eqs. (22)–(25) are applied to detect
the presence of the gear tooth crack and shown in Figs. 13–14.
Seen from the figures, amplitudes of all the three statistical indica-
tors ascend gradually with the growth of gear tooth crack and the
inclination angle. When the crack is at its initial stage, such as the
crack case Bs and Bp, it is hard to detect its presence due to the little
change of these statistical features. Another phenomenon can be
observed that the crest factor (Crf) is more sensitive to the propaga-
tion of gear tooth crack than the other two indicators while the indi-
cator; Rms has the lower sensitivity. This is because the crest factor
is very sensitive to the impulsive signals, while for the root mean
square, it represents the average level of the vibration energy which
is insensitive to impulsive signals. This is especially for the detec-
tion of the incipient tooth crack shown Fig. 13(a) which exhibits a
good performance of the crest factor in detecting the crack at early
stage. It coincides with the state in Ref. [54] that crest factor could
indicate the damage in an early stage. What is shown in Fig. 13(b)

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 Fig. 13 Effect of crack size on the statistic indicators
Fig. 14 Effect of crack inclination angle on the statistic (for crack cases in Crack3)
demonstrates that only a relatively large tooth crack could result in
an obvious increase in the amplitudes of the indicators of kurtosis
and Rms. Based on the foregoing discussion, the indicator of crest
factor is recommended for the gear tooth crack detection, especially
for the incipient ones.
Influence of the gear tooth crack on the frequency structure is
also investigated in this study. For visual convenience, only the
crack cases As, Bs in Crack1 and Ds in Crack2 for the tooth root
crack happened to the sun gear and Ap, Bp in Crack1 and Dp in
Crack2 for the tooth root crack seeded in the planet gear are ana-
lyzed in this paper, which stand for the healthy condition, incipi-
ent crack and moderate crack, respectively. The frequency
spectrums of the radial vibrations of the planet gear No.1 are
shown in Figs. 15–16. In Fig. 15 (16), the dotted solid curve
stands for the crack case As (Ap) indicating the healthy condition,
the thick solid curve for the crack case Bs (Bp) in crack 1 and the
slender solid curve for the crack case Ds (Dp) in crack 2.
When the planetary gear train is in a healthy status, the mesh
frequency and its harmonic components dominate the vibrations
which are shown by the dotted solid curves and there is no side-
band available. When a tooth crack appears, there are a group of
sidebands around the mesh frequency and its harmonic compo-
nents whose amplitudes are hardly affected by the tooth crack.
The same phenomenon, that is to say the amplitudes of the side-
band frequency components rather than the mesh harmonics, are
much more sensitive to the crack propagation, has also been found
in Ref. [35] for the dynamic features of a spur gear pair in the
presence of a tooth root crack. When a crack seeded in the tooth
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root of the planet gear, all the amplitudes of the sidebands
increase with the propagation of the crack and they are shown in
Fig. 16. The interval between the adjacent sidebands is equal to
17.3 Hz, which is the defect frequency calculated by Eq. (7).
While for the case of the crack on the sun gear, as displayed in
Fig. 15, the amplitudes of the low frequencies (<1800 Hz) have a
drastic increase in the presence of gear tooth crack. Furthermore,
the amplitudes of some local frequency components do not
increase with the growth of tooth crack, such as the frequency
range of 5300–5580 Hz in Fig. 15(a)). A noticeable observation
can be found that the mesh frequency and its harmonics are not
modulated by the fault passing frequency of 46.67 Hz obtained
from Eq. (6), but by the equivalent rotational frequency of the sun
gear fe ¼ fs–fc ¼ 11.67 Hz (see Fig. 15(b) and 15(c)). For the low
frequency range about lower than 1800 Hz, the sidebands corre-
sponding to the frequencies f ¼ fm 6 n  fe (n ¼ 2, 4, 6) are sup-
pressed (see Fig. 15(b)), where fm refers to the mesh frequency
and its harmonics. The appearance of such a phenomenon is due
to the varying path from the impulsive exciting source caused by
the tooth crack to the radial direction of the planet No.1 gear
where the vibration data are acquired. Another suggestion from
Figs. 15–16 is that the amplitude of those sidebands within the
low frequency range, say lower than the fourth mesh harmonic, is
prone to be affected by the crack, and those sidebands are more
suitable for the fault diagnosis analysis.
Some noticeable results have been observed in Fig. 15(b) that
some sidebands around the first several mesh harmonics are sup-
pressed. In order to verify if it also happens to other planetary
JUNE 2013, Vol. 135 / 031004-9
 Fig. 15 Frequency spectrum of radial vibration of planet No.1 when a crack seeded in the sun gear

Fig. 16 Frequency spectrum of radial vibration of planet No.1 when a crack seeded in the planet gear

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 Fig. 17 Frequency spectrum of radial vibration of planet #1 with crack case Ds in Crack2: (a) three planets; (b) four planets; (c)
five planets; (d) six planets
gear sets, the same simulation and analysis are also implemented
with the planetary gear system with different number of planets,
say, 3, 4, 5, and 6 planets. To meet the requirement for the assem-
bly of planetary gear with equally spaced 3 and 6 planets, the
number of teeth of the planet gear and the ring gear are changed
to be 21 and 72, respectively. Moreover, other parameters are
assumed to be the same as in Table 2. This little change in the
number of teeth has a negligible effect on the mesh frequency and
rotational frequency of the planetary gear set. The frequency spec-
trums around the fundamental mesh frequency with different
number of planets are shown in Fig. 17. It can be seen that there
are also some sidebands suppressed which vary with the number
of planets. An interesting conclusion about which sidebands will
be suppressed or not can be obtained that these sidebands with
f ¼ fm 6 n  fe will not be suppressed, where fm, fe are the mesh
frequency and equivalent rotational frequency of the sun gear and
the index n should meet the condition in Eq. (26),
ni þ niþ1 ¼ i  N; i ¼ 1; 2; :::; Zs  1; n1 ¼ 1 (26)
where, Zs is the number of the teeth of the sun gear.
This phenomenon also results from the modulation due to the
relative motion between mesh position of the cracked tooth and
the place where the vibration data are collected. This finding ena-
bles the selection of the proper sidebands for monitoring the se-
verity of the tooth crack on the sun gear, which can be extended
to other localized gear tooth faults in the planetary gear set.
Another valuable observation is concerned with the first order
sidebands around the fundamental mesh frequency which always
appear in the spectrum in spite of the number of the planets. This
is why the sideband level factor [54] was defined to detect the
gear tooth damage based on the first order sidebands.
5 Conclusions
A coupled planetary gear dynamic model with the tooth crack
model is developed to investigate the effect of gear tooth crack on
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its dynamic responses. Tooth cracks with different sizes and incli-
nation angles are seeded in one tooth of the sun gear and planet
gear, respectively. For more practical simulation, the angular-
position-dependent mesh stiffness is utilized in this study. The
simulated results show that in the presence of the gear tooth crack,
the severity of the vibration of the planetary gear train is increased
based on the statistical analysis and the sidebands around mesh
frequency and its harmonics appear in the frequency spectrum.
When a tooth crack is seeded in one tooth of the sun gear, the im-
pulsive vibrations of a planet gear caused by the cracked tooth in
mesh with the different planets appear to be different from each
other, which makes the mesh frequency and its harmonics modu-
lated not by the so-called defect passing frequency, but by the
equivalent rotational frequency of the sun gear. In the low fre-
quency range, some frequency components are suppressed, and
their relationship with the number of the planets is obtained; this
is useful for the selection of the monitored sidebands. Simultane-
ously, observing the first order sidebands beside the fundamental
mesh frequency is suggested for the detection of the localized
gear tooth faults in the planetary gear set due to its presence de-
spite of the number of planets. In contrast, the vibration in the
time domain and the frequency distribution appear to be much
more regular when a tooth crack happens on the planet gear
where the modulating frequency is exactly equal to the predefined
defect passing frequency. The above-mentioned discrepancies
between the two cases, namely a crack seeded in the sun gear and
in the planet gear, will be expected to be applied to fix where the
failure happens. Comparisons are made among three different sta-
tistical indicators and the results reflect that the crest factor is
more sensitive in detecting the gear tooth crack in the planetary
gear train.
Acknowledgment
The authors are grateful for the financial support provided by the
National Natural Science Key Foundation of China under Contract
No. 51035008 and the China Scholarship Council (CSC).
JUNE 2013, Vol. 135 / 031004-11
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