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Advanced Signal Processing in Mechanical Fault Diagnosis

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Advanced signal processing methods combined with automatic fault detection enable reliable condition monitoring for long periods of continuous operation. Root-mean-square and peak values obtained from vibration signals are useful features for detecting various faults. Unbalance, misalignment, bent shaft, mechanical looseness and some electrical faults, for example, can be detected using features of displacement and velocity. Higher order derivatives provide additional possibilities for detecting faults that introduce highfrequency vibrations or impacts. Real order derivatives increase the number of signal alternatives. New generalised moments and norms related to lp space with short sample times and relatively small requirements for the upper cut-off frequency are feasible approaches for on-line cavitation analysis and power control. In a lime kiln, features were generated from the distribution of the signals x(3) and x(4). Standard deviations of the signal x(4) in three frequency ranges were used in a very fast rotating centrifuge. The nonlinear scaling used in the linguistic equation (LE) approach extends the idea of dimensionless indices to nonlinear systems. In some cases, a single feature provides a good solution, and several features can be combined by means of linear equations. Other measurements, e.g. temperature and pressure, are scaled with similar nonlinear functions as the vibration features. Case-based reasoning (CBR) is used when there are many fault alternatives. Health indices can be formed from condition indices by means of the weighted average. The health index and its inverse, called the measurement index, are good indicators for the need of maintenance.
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ADVANCED SIGNAL PROCESSING IN MECHANICAL FAULT
DIAGNOSIS
Sulo Lahdelma
Mechatronics and Machine Diagnostics Laboratory, Department of Mechanical
Engineering, P.O.Box 4200, FI-90014 University of Oulu, Finland
Phone: +358-8-5532083
E-mail: sulo.lahdelma@oulu.fi
Esko Juuso
Control Engineering Laboratory, Department of Process and Environmental Engineering,
P.O.Box 4300, FI-90014 University of Oulu, Finland
E-mail: esko.juuso@oulu.fi
ABSTRACT
Advanced signal processing methods combined with automatic fault detection enable
reliable condition monitoring for long periods of continuous operation. Root-mean-square
and peak values obtained from vibration signals are useful features for detecting various
faults. Unbalance, misalignment, bent shaft, mechanical looseness and some electrical
faults, for example, can be detected using features of displacement and velocity. Higher
order derivatives provide additional possibilities for detecting faults that introduce high-
frequency vibrations or impacts. Real order derivatives increase the number of signal
alternatives. New generalised moments and norms related to lp space with short sample
times and relatively small requirements for the upper cut-off frequency are feasible
approaches for on-line cavitation analysis and power control. In a lime kiln, features were
generated from the distribution of the signals )3(
x and )4(
x. Standard deviations of the
signal )4(
x in three frequency ranges were used in a very fast rotating centrifuge. The
nonlinear scaling used in the linguistic equation (LE) approach extends the idea of
dimensionless indices to nonlinear systems. In some cases, a single feature provides a good
solution, and several features can be combined by means of linear equations. Other
measurements, e.g. temperature and pressure, are scaled with similar nonlinear functions as
the vibration features. Case-based reasoning (CBR) is used when there are many fault
alternatives. Health indices can be formed from condition indices by means of the
weighted average. The health index and its inverse, called the measurement index, are
good indicators for the need of maintenance.
1. INTRODUCTION
Machine condition monitoring can be based on various techniques (Figure 1) which
contain numerous approaches, e.g. vibration condition monitoring can be classified into
time and frequency domain techniques (Figure 2). Various measurement technologies are
discussed in (1). Attempts to detect different types of machine faults reliably at an early
stage require the development of improved signal processing methods. Vibration
measurements provide a good basis for condition monitoring. The displacement x and
velocity x(1) react successfully to unbalance and misalignment, but they do not usually
allow the detection of impact-like faults, e.g. defective bearings and gears, at a sufficiently
early stage. The signals x and x(1) can be obtained from the acceleration x(2) through
analogue or numerical integration. Smith used the jerk, i.e. x(3) signal, when examining
slowly rotating bearings (2). The jerk had been used earlier for assessing the comfort of
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travelling. Higher, real and complex order derivatives bring additional methods to signal
processing (3,4,5). Different approaches have been reviewed in (6).
Figure 1. Some machine condition monitoring techniques.
Figure 2. Examples of vibration monitoring techniques.
Vibration indices based on several higher derivatives in different frequency ranges were
introduced by Lahdelma in 1992 (3). Fractional integrals and derivatives are discussed in (7).
Operating conditions can be detected with a Case-Based Reasoning (CBR) type application
with linguistic equation (LE) models and Fuzzy Logic. The basic idea of the LE
methodology, which was introduced by Juuso in 1991, is the nonlinear scaling that was
developed to extract the meanings of variables from measurement signals (8). Various fuzzy
models can be presented by means of LE models, and neural networks and evolutionary
computing can be used in tuning. The first LE application in condition monitoring was
presented in (9). The condition monitoring applications are similar to the applications
intended for detecting operating conditions in the process industry (10).
The combined approach has been summarised in (6). Features extracted from higher
derivatives x(3) and x(4) have been used in cavitation indicators. The index obtained from
x(4) is the best alternative but also the index obtained from x(3) provides good results
throughout the power range. The cavitation indicator also provides warnings of possible
risk during short periods of cavitation. (11) Cavitation can be detected with indicators based
on features of acceleration and higher derivatives in a fairly low frequency range (12,13). A
generalised central moment introduced in (14) operates well even with short sample times.
This paper deals with higher and real order derivatives in processing vibration
measurements, feature extraction and model-based fault detection, where condition indices
and fault models have special emphasis on nonlinear scaling and linguistic equations.
Examples are taken from experimental systems and real machines and process equipment.
2. SIGNAL PROCESSING
Some faults, such as unbalance, misalignment, bent shaft and mechanical looseness, can be
detected by means of displacement and velocity, i.e. signals )0(
xx = and )1(
xx =
& (Table 1).
On the other hand, bearing faults or faults in gears, as well as cavitation can be detected
more efficiently with the acceleration signal. Higher order derivatives provide more
sensitive solutions. The severity of faults can be assessed by comparing the features on a
different order of derivation. For example, a certain type of bearing fault may cause a
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seven times higher peak value for the signal )4(
x than in the non-faulty case. For the signal
)2(
x, the change is about a half of this. Therefore, we can assume that the fault has become
much more dangerous if the peak value of the signal )2(
xdoubles.
Additional flexibility can be achieved with the real order of derivation (4,15,16). For
sinusoidal signals tXtxx
ω
sin)( == we obtain
),sin()
2
sin(
)(
αα
αα
α
α
ϕω
π
αωω
+=+== tXtXx
d
t
xd .................................. (1)
where α is a real number, the amplitude ,XX
α
α
ω
= and the change of the phase angle
.
2
π
αϕ
α
=The velocity and acceleration are special cases of (1). Real order derivatives
may improve the sensitivity of the features (Figure 3). For an inner race fault in a roller
bearing, the maximum sensitivity 5.91 for kurtosis was achieved with 5.4=
α
as
compared with 1.99 obtained for the acceleration (16,17). On the other hand, the oil whirl is
not always detected in displacement or velocity signals as the increase of the whirl may be
hidden under the vibrations caused by the unbalance. The negative order of derivation, i.e.
integration, amplifies the amplitudes at a low frequency. The oil whirl can be detected
better in rms measurements if 0<
α
(4,6).
Requirements for the frequency range of the measurements depend on the faults under
consideration. Unbalance, misalignment, bent shaft, mechanical looseness and some
electrical faults, for example, cause vibrations on a relatively low frequency. On the other
hand, faults in roller bearings introduce high-frequency vibrations. Other similar cases are
fast rotating gears, cavitation, and loose stator coils in electrical motors. The high
sensitivity of the analysis methods may allow the use of lower frequency ranges. In a
Kaplan water turbine, for example, cavitation-free conditions were reliably detected with
features obtained in the frequency range 10-1000 Hz. The features of the higher derivatives
)3(
xand )4(
x have a good overall performance, especially in wider frequency ranges, 10-
3000 Hz and 10-4000 Hz (6).
3. FEATURE EXTRACTION
Feature extraction in vibration analysis is based on velocity )1(
x, acceleration )2(
x and
higher derivatives, )3(
x and )4(
x. The resulting features can be combined with other
measurements.
Table 1. Examples of signals and features in fault detection.
Nature of fault Signal Features
1. Unbalance x, )1(
x rms, peak
2. Misalignment x, )1(
x rms, peak
3. Bent shaft x, )1(
x rms, peak
4. Damaged rolling element
bearings
)2(
x, )3(
x,)4(
x peak, rms, crest factor,
kurtosis, lp norm
5. Mechanical looseness x, )1(
x rms, peak
6. Damaged or worn gears )2(
x, )3(
x,)4(
x peak, rms, lp norm
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7. Oil whirl )(
α
x, 0
α
, x, )1(
x rms, peak
8. Resonance x, )1(
x rms, peak
9. Poor lubrication )2(
x, )3(
x,)4(
x peak, rms, lp norm
10. Cavitation )2(
x, )3(
x,)4(
x peak, rms, lp norm
11. Electrical problems x, )1(
x rms, peak
12. Loose stator coils )2(
x, )3(
x,)4(
x rms, peak
Figure 3. The signals )2(
x and )5.4(
x from a faulty spherical double-row roller bearing of type
SKF 24124 CC/W33. The measurements were performed in the frequency range 3-2000 Hz. The
fault was on the bearing’s inner race and the rotation frequency was 2 Hz (16).
3.1 Statistical features
Root-mean-square (rms) and peak values are useful features for detecting various faults
(Table 1). For an electric motor, the feature )1(
rms
xprovides information on unbalance,
misalignment, mechanical looseness and some electrical faults. The feature )4(
p
xreacts to
bearing faults, lubrication problems, stator coil faults, and also for detecting cavitation.
Signals )(
α
x can be analysed for example with standard deviation,
()
,)
1
(2/1
1
2
)()(
=
= N
i
ixx
N
αα
α
σ
........................................................ (2)
and kurtosis,
()
,
)(
1
1
4
)()(
4
2
=
= N
i
ixx
N
αα
α
α
σ
β
..................................................... (3)
where )(
α
x is the arithmetic mean of the signal values Nixi,...,1,
)( =
α
, and α is a real
number. Root-mean-square of )(
α
x, i.e. rms
x)(
α
is
α
σ
when .0
)( =
α
x
These features have been used for fault diagnosis in a test rig which consists of an
electric motor and a transmission between two axes with roller bearings (9). Independent
fault modes were rotor unbalance at two levels, three misalignment cases between the
motor and input shaft, bent shaft, and three bearings faults. The features were rms and
kurtosis of the acceleration )2(
x, the average of the highest three values of the jerk )3(
x,
and rms velocities rms
x)1( in two frequency ranges.
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The cavitation analysis for a Kaplan water turbine in (11) was based on two features: the
mean peak )(
α
mp
x and the fraction )(
α
h
F of the peaks exceeding the normal range
[]
αα
σ
σ
3,3 obtained from the signal )(
α
x, α = 1, 3 and 4. The fractions )(
α
h
F have low
values in the low power range where the spikes are less frequent. Signals )(
α
x, α = 2, 3 and
4, have been analysed in four frequency ranges by means of rms values, kurtosis and peak
values (12,13). The frequency ranges were 10-1000 Hz, 10-2000 Hz, 10-3000 Hz and 10-
4000 Hz. The kurtosis is a useful feature in the low power range but for the cavitation-free
area and the high power range, the kurtosis is close to value 3, which corresponds to a
Gaussian signal, i.e. the kurtosis does not give an indication of cavitation in the high power
range in the case. An alternative feature for kurtosis is peak value, which has fairly similar
changes in the low power range and small changes in the high power range.
Detecting bearing faults and unbalance in fast rotating bearings (18) was based on
standard deviations calculated for the signal )4(
xon three frequency ranges: 10-1000 Hz,
10-10000 Hz and 10-50000 Hz. Unbalance was clearly detected on the basis of the
standard deviations obtained from the lowest frequency range. Several signals had to be
combined for detecting the other faults. In this case the rotation frequency was in the range
65-525 Hz.
3.2 Signal distribution
The distributions of the signals )1(
x, )3(
x and )4(
x have been used in monitoring the
condition of the supporting rolls of a lime kiln (19,20). Fault situations were detected as a
large number of strong impacts. The bins )(
α
k
F of the histograms are based on the standard
deviation
α
σ
of the corresponding signal )(
α
x. The velocity signal only shows very small
differences between a serious surface problem and an excellent condition. For signals )3(
x
and )4(
x, large values for the features
α
σ
and the fractions )(
α
k
F, k=4 and 5 are related to
faulty situations, and large values for the fractions )(
α
k
F, k=1…3 are obtained in normal
conditions. Similar results can be obtained with bins defined by the absolute average of the
signals, and the resulting easier calculation is useful for developing intelligent sensors (21).
3.3 Moments and norms
New features are calculated by means of a generalised moment about the origin (17):
,
1
1
)(
=
=N
i
p
i
px
N
M
α
α
τ
............................................. (4)
where the real number α is the order of derivation, the real number p is the order of the
moment, τ is the sample time, i.e. the moment is obtained from the absolute values of
signals )(
α
x. The number of signal values s
NN
τ
=
where Ns is the number of samples per
second. Alternatively, the signals values )(
α
i
x can be compared to the mean )(
α
x:
,
1)(
1
)( p
N
i
i
pxx
N
M
αα
α
τ
=
=
................................. (5)
The generalised central moment can be normalised by means of the standard deviation
α
σ
of the signal )(
α
x:
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()
.
1)(
1
)( p
N
i
i
p
pxx
N
M
αα
α
α
τ
σ
σ
=
=
...................... (6)
which was presented in (14). The order of derivation ranges from 1 corresponding to
velocity to 4, which corresponds to the signal x(4). The moment 1
2=
α
τ
σ
M, and the moment
4
α
τ
σ
M corresponds to the kurtosis of the signal. The standard deviation
α
σ
can be obtained
from (5) by taking the square root when 2
=
p.
There are many alternative ways of normalisation, Lahdelma and Juuso (17) introduce a
new norm
,)
1
()( /1
1
)(/1 p
N
i
p
i
pp
p
px
N
MM
=
==
α
α
τ
α
τ
...... (7)
which is the lp norm
.
)(
pp
pxM
α
α
τ
.................................................. (8)
This norm has same dimensions as the corresponding signals )(
α
x. The lp norms are
defined in such away that .1 <p In (17) the order p is allowed to be less than one. The
absolute mean and the rms value are special cases of (8). Faults can also be detected with
other types of norm, e.g. maximum norm, or with a sum of the norms obtained for different
orders of derivatives. In a special case, integer orders can be used: .,...,1,0 10 n
n==
=
α
α
α
The rms values of displacement and velocity, which are special cases of (7), can be used
for detecting unbalance, misalignment, bent shaft and mechanical looseness (Table 1).
For bearing faults, displacement and velocity should be replaced by acceleration or
higher derivatives. The rms values can then be used to detect bearing faults, especially if
2
α
and the rotation frequency is not very low. The peaks of the signal have a strong
effect on the moments (4), (5) and (6). The moment (6) can be used in the same way as
kurtosis in the previous studies (13). The norm (7) combines two trends: a strong increase
caused by the power p and a decrease with the power 1/p. For the order p = 1, there is no
amplification. The significance of the highest peaks will decrease if p < 1. The moments
calculated for higher order derivatives )3(
xand )4(
xare more sensitive to impacts than the
ones calculated for velocity, and the sensitivity improves when the order p of the moment
increases.
The norm (7) gives the rms value when p = 2 and has good performance in the high
power range even with high p values, compared to kurtosis. In (11,12,13,14) these two features
were combined since kurtosis provides an indication of the strong cavitation in the low
power range and the rms values are needed in the high power ranges. The relative
)max( 75.2
4
3Mprovides a good indication for cavitation as explained in (21). The power
ranges classified into cases of short periods of cavitation are slightly wider than in (13) but
differences between the results of these approaches are rather small. The relative maximum
was obtained by by using 15 MW as a reference power. The cavitation-free area and the
strong cavitation cases are clearly detected with the signal )3(
x but a slightly higher order
of moment than for )4(
xis needed. A much higher order of moment is needed for the signal
)1(
x: on the strongest cavitation is detected with the relative )max( 8
1
3M. However, all
the other cavitation cases would be classified as cases of short periods of cavitation. The
signal can be divided into short samples and features calculated for these samples. The
sample time τ is an essential parameter in the calculation of moments and norms. The time
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s3=
τ
provided the most sensitive results, but sufficiently long signals are required to
produce reliable maximum moments and material for analysing short-term cavitation (14,21).
3.4 Other measurements
Temperature can increase considerably in faulty situations: the temperature of bearings
goes fast up if the lubrication fails, the excess load of an electric motor causes a
temperature increase, and a strong unbalance may also lead to a temperature rise when the
vibration energy is converted to heat. All of these are already severe situations which can
be avoided through early fault detection.
Pressure fluctuations also mean serious problems. Vibrations change the sound pressure
when the vibrating surfaces cause the motion of air molecules. For example, surface
unevenness of the rolls in soft-calenders causes a whining sound. At this stage, the roller
should be changed in order to avoid quality problems in the paper. Pressure fluctuations in
head box cause variations in the paper thickness. Strong pressure impacts in pipes can
cause dangerous situations.
Rotation speed fluctuations , which can be detected with a stroboscope, can reveal faults
in thyristor control. Operation is in these cases unstable. These faults can also be detected
with very accurate rotation speed measurements, also denoted as “modern stroboscope”. In
blowers, full rotation speed is not achieved when unbalance is strong. In unbalance cases,
the electric motors of the blower accelerate slowly in start-up and also the current intake is
higher than normal. Current probes can be used for detecting faults in rotor bars when the
probe is mounted on any phase lead.
The wearing of machines can be examined by means of an oil analysis, e.g. in worm
gears, increased metal contents are a sign of fault: increased copper content means a fault
in the wheel, and increased iron content a fault in the worm or bearings (22).
3.5 Nonlinear scaling
The analysis can be further improved by taking into account nonlinear effects (9,11,18,19). The
scaling function scales the real values of variables to the range of [-2, +2] with two
monotonously increasing functions: one for the values between -2 and 0, and one for the
values between 0 and 2. The membership definition f consists of two second-order
polynomials, and the scaled values, which are called linguistic levels j
X, are obtained by
means of the inverse function 1
f. Nonlinear scaling has been used in previous studies for
statistical features (9,11), and features based on the signal distribution (19,20).
Both expertise and data can be used in developing the mapping functions (membership
definitions) (23). Usually, the functions are obtained with a data-driven approach from the
features. For each feature, the level 0 can be obtained as a median of the values in the
training set, and the levels -1 and 1 as medians of the lower and higher halves of the
values, respectively. For example, a cavitation index can be obtained by scaling the norm
(7) with the function 1
α
f:
).max((
1p
CMrelativefI
α
τ
α
α
=......................................................... (9)
The index 4
C
I has the best classification result when the relative )max( 75.2
4
3M is the
original feature (21). The other measurements listed in section 3.4 can scaled with similar
nonlinear functions.
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4. MODEL-BASED FAULT DIAGNOSIS
Operating conditions can be detected by combining several features in case-specific
models. Model-based cavitation indices are needed for a detailed analysis (12,13) . Fault
models can be constructed with linguistic equations. The LE models are linear equations
0
1
=+
=
ij
m
j
ji BXA ............................................................................... (10)
where j
X is a linguistic level for the variable j, j=1...m. Each equation i has its own set of
interaction coefficients ....1, mjA ji = The bias term i
B was introduced for fault diagnosis
systems. Reasoning is based on the error i
ε
, also called fuzziness, is calculated for each
LE model by means of
.
1
ij
m
j
jii BXA +=
=
ε
............................................................................. (11)
The sequence of the LE models is case-specific, and each equation has a weight factor
ki
w. The degree of membership of each equation, denoted as i
μ
, is based on the
distribution of error represented as a trapezoidal membership function developed on the
basis of the train case. The condition index k
C of each case k can be represented by means
of ,24 = kk
C
μ
where the degree k
μ
is obtained as a weighted average of the degrees i
μ
.
The machine condition monitoring application presented in (9) was based on models
developed for normal operation and nine fault cases. In each case the model consists of
seven LE models developed for a sensor-specific variable group including the rotation
speed and five features obtained from the measurements of the sensor. For fast-rotating
bearings, the condition index Ind is a sum of the scaled standard deviations of the signal
)4(
x calculated for three frequency ranges (18): unbalance is detected in the lowest
frequency range )(41
1
41
σ
f and inner race fault with the features )(42
1
42
σ
f and )(43
1
43
σ
fbut
the complete index Ind is needed for detecting the outer race fault.
A case-based reasoning (CBR) approach was used for the test rig (9): the degree of
membership was calculated for all cases, and the case with the highest degree of
membership was chosen. The classification results were very good. There are some faulty
classified measurements but the mistakes are very logical, e.g. small unbalance and normal
state. A small misalignment and the normal state are also close to each other. In all the
cases, mistakes only occur between very similar classes. The system placed practically all
the bearing faults into the right classes. The fault models and the CBR system are
necessary since the five features obtained from the signals and the rotation speed need to
be combined.
5. CONDITION INDICES
The purpose with condition indices is to extract indirect measurements from the signal
samples. Possibility to use short samples is beneficial for automatic fault detection.
5.1 Cavitation index
The intelligent cavitation indicator developed in (11) for a Kaplan water turbine is based on
the nonlinear scaling of two features: peak height and the fraction of the peaks exceeding
the normal limit. The classification results obtained from the experimental cases involving
the water turbine were very good and logical. Features of velocity )1(
x, acceleration )2(
x
and higher derivatives, )3(
x and )4(
x were compared in (12,13). The indices obtained from
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)4(
x are the best alternatives. Generalised moments and norms can also be used in the
model-based cavitation indices. The generalised moment (4) indicates possible cavitation
but in detailed analysis (14) the moments should be combined with other features, e.g. rms
values used in (12). The norm (7) introduced in (17) can be used alone, see (9), if the order p
is chosen correctly. Combined indices, where several orders α are used, require tuning of
the scaling functions. The cavitation indicator also provides warnings of a possible risk on
short periods of cavitation.
5.2 Condition index
In the lime kiln application, the features were combined with a linguistic equation, i.e.
1=iin (10). The condition index IC of the supporting rolls is a number between -2 and 2,
and the interaction coefficients ,6...1,
=
jA ji are based on expertise (19,20):
A = [-2 1 1 1 -1 -1 -1]
includes the coefficients of the features and the cavitation index. The same coefficients are
used for both signals )3(
x and )4(
x. Compared to (10), the index IC corresponds to i
B.
The index developed for the supporting rolls of a lime kiln provides an efficient indication
of faulty situations. Surface damage is clearly detected and friction increase is indicated at
an early stage. The features are generated directly from the higher order derivates of the
acceleration signals. All the supporting rolls can be analysed using the same system. The
index )4(
C
I is very good and logical for all the measurement points, which makes it already
suitable for practical applications. Condition indices for other measurements listed in
Section 3.4 can be formed by means of nonlinear scaling functions, see (9).
5.3 Health index
Both the cavitation and condition indices can be considered linearly related to the health
index SOL (21). The health index SOL can be calculated from the cavitation index by means
of
),1(
4
2
1
*
δ
+
= C
I
SOL .................................................................... (12)
where
δ
is the value of SOL index when the cavitation index .2
*=
C
I For the lime kiln
application, the health index SOL and the measurement index MIT can be calculated from
the condition index, the only difference to the cavitation case is that the condition index is
a measure of good condition, i.e. value 2 corresponds to excellent condition.
The generalised health index (Figure 4) can combine several measurements:
SOL = SOL (vibration, pressure, temperature, electric current, rotation speed, …).
A feasible alternative is to calculate individual condition indices, transform them to SOL
indices, and finally calculate an overall health index by means of the weighted average.
Figure 4. Combined indices.
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5.4 Measurement index
Vibration signals can be utilised in process or machine operation by combining features
obtained from derivatives. The measurement indices presented in (17) are the weighted
sums of dimensionless vibration indices (6). The dimensionless features are obtained by
comparing to the feature values in good condition. The individual norms can be based on
rms values, peak values or kurtosis, corresponding to indices MIT1, MIT2 and MIT3,
respectively. The measurement index MITΣ can also combine several indices, e.g. an
index calculated from the rms and peak values provides good results (17). The frequency
ranges can be specific to each feature.
The health index SOL combines several measurement indices (21). The machine is in
good condition if 1.MITSOL == The measurement index MIT (17) is an inverse of the
index SOL. If the parameter 2.0=
δ
, the highest values of the index MIT were 5 in a
Kaplan turbine. Examples are explained in (21). The MIT index provides a good indication
of the need of maintenance.
6. CONCLUSIONS
Advanced signal processing and feature extraction methods of vibration measurements are
chosen in a specific way in order to detect different faults. Generalised moments and
norms obtained from higher or real order derivatives provide informative features for
diagnosing cavitation, and faults in bearings and gears. Short sample times and relatively
small requirements for frequency ranges make this approach feasible for on-line cavitation
analysis and power control. Useful features can be extracted from the signal distributions.
Several features from vibration signals and other measurements are combined in condition
and health indices. The scaling approach extends the condition indices to nonlinear
systems. All the necessary calculations can be performed in the intelligent sensors.
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... x and ) 4 ( x . Statistical features are selected by taking into account the faults under consideration (8) . Frequency range of the measurements is important and several features are combined with dimensionless indices and the analysis can be further improved by taking into account nonlinear effects (9) . ...
... The same data and the same test rig have already been used in earlier studies (10) . Root-mean-square (rms) and peak values are most commonly used for these faults: low order derivatives can be compensated by using higher order moments (8) . ...
... More information is obtained by 4 SOL and 8 SOL . The strength of unbalance can be estimated by 8 SOL . (13) There are small changes in the SOL values when the rotation speed increases (Figure 2). ...
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Automatic fault detection with condition indices enables reliable condition monitoring to be combined with process control. Useful information on different faults can be obtained by selecting suitable features from generalised norms, which are defined by the order of derivation, the order of the norm and sample time. The nonlinear scaling based on generalised norms and skewness extends the idea of dimensionless indices to nonlinear systems and provides good results for the automatic generation of condition indices. Condition indices, which are used in the same way as the process measurements in process control, detect differences between normal and faulty conditions and provide an indication of the severity of the faults. Feature specific health indices, which are calculated as ratios of feature values in the reference condition and the faulty case, are used in selecting efficient features. In the multisensor vibration analysis, the number of sensors and features were drastically reduced. The number of features is further reduced by optimal orders for the derivatives and norms. The complexity of the models is simultaneously reduced. For the supporting rolls of a lime kiln, an efficient indication of faulty situations is achieved with two features. All the rolls can be analysed with the same approach throughout the data set. The results of both the applications are consistent with the vibration severity criteria: good, usable, still acceptable, and not acceptable. Three standard deviations obtained for the signal x(4) on three frequency ranges were needed to detect unbalance and bearing faults. The norms based on the signal x(4) provide the best results in all the frequency ranges.
... Vibration indices based on several higher derivatives in different frequency ranges were already introduced in 1992 [2]. Fractional integrals and derivatives are discussed in [7]. Higher and real order derivatives in processing vibration measurements and feature extraction by generalised moments and l p norms have been discussed in [8,9,10,11]. ...
... For bearing faults, displacement and velocity should be replaced by acceleration or higher derivatives. For a very low rotation speed, the rms values are not sensitive for bearing faults, because the effect of few weak impacts is small in the sum (10) where N is a large number. For high rotation speeds, frequent strong impacts affect rms values significantly. ...
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Advanced signal processing methods combined with automatic fault detection enable reliable condition monitoring for long periods of continuous operation. Root-mean-square and peak values obtained from vibration signals are useful features for detecting various faults. Unbalance, misalignment, bent shaft, mechanical looseness and some electrical faults, for example, can be detected using features of displacement and velocity. Higher order derivatives provide additional possibilities for detecting faults that introduce high-frequency vibrations or impacts. Real order derivatives increase the number of signal alternatives. New generalised moments and norms related to lp space have been used for diagnosing faults in a roller contact on a rough surface. Kurtosis provides a strong indication if the order of derivation, α, is at least 4. For peak values, the change is smaller but already starts at α = 3. The generalised moment and norm can be defined by the order of derivation, the order of the moment, p, and sample time, τ. Reliable results can be obtained by relative norms if α and p are in the range between 4 and 6. For the impact of a small scratch, sensitivity is further improved with short sample times, but several sequential samples are required to guarantee the detection of impacts. Then the order p can also be reduced.
... These indices provide useful information on different faults, and even more sensitive solutions can be obtained by selecting suitable features. (1) Generalised moments and norms include many well-known statistical features as special cases and provide compact new features capable of detecting faulty situations (2) . Intelligent models extend the idea of dimensionless indices to nonlinear systems. ...
... . lim Generalised norms introduced in (2) have been used for feature extraction the absolute values of signals velocity ...
Conference Paper
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Automatic fault detection with condition indices enables reliable condition monitoring to be combined with process control. Useful information on different faults can be obtained by selecting suitable features. Generalised norms can be defined by the order of derivation, the order of the moment and sample time. These norms have the same dimensions as the corresponding signals. The nonlinear scaling used in the linguistic equation approach extends the idea of dimensionless indices to nonlinear systems. Condition indices are obtained from short samples by means of the scaled values and linear equations. Indices, which are used in the same way as the process measurements in process control, detect differences between normal and faulty conditions and provide an indication of the severity of the faults. The generalised norms represent the norms from the minimum to the maximum in a smoothly increasing way. The new nonlinear scaling methodology based on generalised norms and skewness provides good results for the automatic generation of condition indices. Additional sensitivity is achieved for the values which differ only slightly from the centre values. For cavitation, the new approach provides four levels from cavitation-free to clear cavitation. For the supporting rolls of a lime kiln, it provides an efficient indication of faulty situations. Sensitivity is also improved for small fluctuations. All the supporting rolls can be analysed using the same approach throughout the data set. The results of both the applications are consistent with the vibration severity criteria: good, usable, still acceptable, and not acceptable. Warning and alarm limits can be defined and fault types can also be identified with fuzzy set systems and specialised condition indices.
... On the other hand it is well known that the early detection of bearing faults, as well as cavitation can be detected more efficiently with the acceleration signal. Often higher order derivatives provide more sensitive solutions, i.e. the ratios of calculated features between the faulty and nonfaulty cases become higher [7,9,11]. ...
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Advanced signal processing methods combined with automatic fault detection enable reliable condition monitoring for long periods of continuous operation. Any attempt to detect different types of machine faults reliably at an early stage requires the development of improved signal processing methods. Vibration measurements provide a good basis for condition monitoring. In some cases the simple calculation of root-mean-square and peak values obtained from vibration signals are useful features for detecting various faults. Unbalance, misalignment, bent shaft, mechanical looseness and some electrical faults, for example, can be detected using features of displacement and velocity. Higher order derivatives provide additional possibilities for detecting faults that introduce high-frequency vibrations or impacts. New generalised moments and norms related to lp space have been used for diagnosing faults in a roller contact on a rough surface. This paper extends the field of possible applications from roller bearing fault detection to more complex faults situations where different kinds of fault occur simultaneously. In consequence, feature calculation and signal processing have to be adopted and optimized for each fault type on the basis of one measured signal. The features of x(4) indicate well the intact case and the outer race fault. Velocity x(1) is needed for detecting unbalance. This approach also works for the combined case, outer race fault and unbalance. Derivation reduced the effect of noise by amplifying higher frequency components from bearing faults more than the added noise components.
... In the present day, however, mainly accelerometers are used to form a velocity signal by applying either analogue or numeric integration to its output. On the other hand, a velocity spectrum can be easily calculated directly from an acceleration spectrum [22][23][24] . Vibration velocity is usually measured in the frequency range from 10 Hz to 1000 Hz. ...
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The time derivatives of acceleration offer a great advantage in detecting impact-causing faults at an early stage in condition monitoring applications. Defective rolling bearings and gears are common faults that cause impacts. This article is based on extensive real-world measurements, through which large-scale machines have been studied. Numerous laboratory experiments provide additional insight into the matter. A practical solution for detecting faults with as few features as possible is to measure the root mean square (RMS) velocity according to the standards in the frequency range from 10 Hz to 1000 Hz and the peak value of the second time derivative of acceleration, ie snap. Measuring snap produces good results even when the upper cut-off frequency is as low as 2 kHz or slightly higher. This is valuable information when planning the mounting of accelerometers.
... Generalised moments were calculated for a specific sample time in [4]. The root mean square (rms) values and peak values are most widely used features, see [5] for more application experiences. Generalised norms, which were introduced in [6], have been used in scaled form in condition indices [7]. ...
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Early detection of fluctuations in operating conditions and fault detection can be done with similar methods. Signal processing is needed for the condition monitoring measurements, and interpolation is some process measurements and especially laboratory analysis. Effective time delays are very important in process data. Feature extraction uses statistical analysis, and the methods can be based on generalised norms and moments. Intelligent condition and stress indices are calculated from these features by nonlinear scaling. The new scaling approach, which also uses the norms and moments, improves sensitivity to small fluctuations. In the condition monitoring cases, the condition indices are consistent with the vibration severity criteria, which originate from VDI 2056. Only one norm was needed in the cavitation analysis, and the resulting index can be used in power control. The same methodology provides good results in detecting fluctuations of flavour ingredients in brewing, in predicting web break sensitivity in paper machines and in intelligent analysers of the process conditions in wastewater treatment. Linguistic equation (LE) models of the normal case suit for detecting fluctuations, and case-based reasoning (CBR) is used if specific case models can be developed. The overall procedure includes following steps: (1) select informative features, (2) scale the features, (3) calculate intelligent indices, and (4) combine indices in models.
... In condition monitoring statistical methods have been widely used for investigation, where measured data are time series. Extensive literature is available on diagnostic techniques using RMS, Kurtosis, Crest Factor and histograms and other statistical moments (10,11,12,13) . ...
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This paper presents some aspects concerning the problems of adaptive monitoring systems. Each automatic monitoring system has to be adapted if it is installed in a new environment. Characteristic of solving the monitoring task, the number of fault classes and free parameters in the internal classier are potential switchers to adjust the system. We discuss general problems in the field, such as fault simulation, provide the necessary definitions of different levels of adaptivity, describe the state of the art and give some hints about how the implementation of intelligent data pre-processing can improve the transfer of data from an existing system to a new one. As an application we use the detection of fault in a roller bearing using the derivative x(4) to obtain a higher sensitivity in the monitoring system.
... The history of fractional integrals and derivatives is discussed in (1) . Feature selection depends very much on the problem (2) . Widely used root mean square (rms) values are important in many applications, but the importance of the peak values increases in slowly rotating machines. ...
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Trend monitoring of vibration level is a more useful maintenance tool than a one-time survey of the absolute magnitudes of features only. A slight linear increase of feature values turns to exponential when the point of failure is approaching. The time of failure depends strongly on machines and the stress caused by operating conditions. Signal processing and feature extraction also have strong effects on sensitivity. The slope of the feature values or different order derivatives can be used in control in order to reduce the stress imposed on process equipment. Since the remaining useful life can be estimated, also the effects of the operating point on overall equipment effectiveness (OEE) can be calculated. Trends from two paper machines are analysed in this paper. In the first case, the resonance of the press section resulted in a fast increase of root mean square velocity, vrms. Machine speed was reduced 4 %, and a breakdown and an additional stoppage were avoided. The machine was operated with reduced speed for two weeks, and the same or lower vibration level was kept for one week. In the second case, the resin problems of a press roll in the felt washer were seen as a typical trend, and different order derivatives were used in severity assessment.
... And therefore a feature definition with free parameters can be used covering the various options of feature design in CM of rolling bearings. Such a potentially great feature set is provided e.g. by the definition of some generalised moments (4,5,6,7) . Some modifications ( ) / 1 ( (...) p ) were done making the features more general, for dealing with signalvalues 1 < , sometimes this couldn't be clearly checked. ...
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In most cases Condition Monitoring (CM) classification problems were discussed as two or more class problems. In general this approach is reasonable because a current measurement should be a assigned to one of the predefined classes. The main benefit of using one-class classifiers instead is the absence of a fault class or classes of faults. Samples of this domain are rare because of the limits for artificially damaging a machine or waiting till the damage occurs in order to get fault class samples. A one-class classifier defines a stable reference indicating a healthy state of a machine or process. If the operating conditions are varying, the problem of generalisation of training samples increases. In this paper some discussion will be made about possibilities and problems occurring with the use of single-class classifiers in this context. A set of classifiers will be trained on vibration data samples using some generalised norms and moments. An industrial application dataset will be analysed here and the performance of different classifiers will be discussed in detail.
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The papers published in these proceedings are presented in the Third International Seminar on Maintenance, Condition Monitoring and Diagnostics, to be arranged in Oulu, Finland, in 29th – 30th September, 2010. Arranged by the University of Oulu and POHTO – The Institute for Management and Technological Training, the present seminar is supported by a variety of Finnish industrial enterprises.
Conference Paper
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Machine condition monitoring enables reliable and economical way of action for maintenance operations in modern industrial plants. Increasing number of measurement points and more demanding problems require automatic fault detection. Advanced signal processing methods exposed failures earlier and then it's possible to plan more operating time and less shutdowns. Intelligent methods have been increasingly used in model based fault diagnosis and intelligent analysers. Intelligent methods provide various techniques for combining a large number of features. A test rig was used to simulate different fault types and changes in operating conditions. Linguistic equation (LE) models were developed for the normal operation and nine fault cases including rotor unbalance, bent shaft, misalignment and bearing faults. Classification is based on the degrees of membership developed for each case from the fuzziness of the LE models. The classification results of the experimental cases are very good and logical. As even very small faults are detected by a slight increase of membership, the results are very promising for early detection of faults. Together with the compact implementation and the operability of the normal model, this makes the extension to real world problems feasible.
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Advanced signal processing methods combined with automatic fault detection enable reliable condition monitoring even when long periods of continuous operation are required. Intelligent techniques for combining features have been studied in a lime kiln. Lime kilns are essential parts in the chemical recovery cycle of a pulp mill. These large machines with very slow rotation speeds must run at different production capacities and speeds. Alignment problems of the kiln are severe because of the high weight affecting on the supporting rolls. Problems may lead to serious damage or even fire. A large set of previously collected measurements has been analysed with intelligent models based on new features. The set of data covers surface problems, good conditions after grinding, misalignment after grinding, stronger misalignment, very good conditions after repair work, and good conditions one year later. The condition indices developed for the supporting rolls provide an efficient indication of failure situations also in new cases without any changes in the calculation system. Faulty cases are clearly detected and even an early indication of the friction increase is achieved. The features are directly generated from the higher order derivates of the acceleration signals, and the model is based on expertise. All the supporting rolls can be analysed using the same system. The detection of the faulty situation is the most important step. An indication of the fault types, surface damage and alignment problems, can be achieved with a more detailed analysis.
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Early detection of fluctuations in operating conditions are important in maintaining smooth production in process industry. Detecting can be done with similar method as fault detection although the classes do not necessarily correspond to any fault. Case-based reasoning (CBR) is used for same purpose for finding out the solution to a new problem by remembering a previous similar situation. Model-based approaches, especially intelligent methods, provide useful extensions for these approaches. Linguistic equations (LE) are suitable for modelling multivariable nonlinear systems. Indicators have been built for several applications by combining LE models wit fuzzy logic. The same methodology provides good results in detecting fluctuations of flavour ingredients in brewing, in predicting web break sensitivity in paper machines and in condition monitoring of machines.
Conference Paper
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Several intelligent cavitation indicators obtained from vibration measurements have been compared in a Kaplan turbine. The indicators are based on the nonlinear scaling of features: one of the features is rms value and the other is either kurtosis or peak value. Indicators obtained from acceleration x(2) and higher derivatives x(3) and x(4) were tested by comparing the calculated indices with the sound of the recorded acceleration signals and analysing the signals with an oscilloscope in a wide power range. The results were compared in four frequency ranges with the knowledge-based cavitation index and previous studies. The indicators detect the normal operating conditions, which are free of cavitation, and also provide a clear indication of cavitation already at an early stage. The indices obtained from x(4) are the best alternative though also the index obtained from x(3) provides good results throughout the power range. Acceleration provided a good fit with the data but was less sensitive than higher derivatives. Automatic monitoring can be based on steps: detecting normal conditions, cavitation and the type of cavitation. The indicator also provides warnings of possible risk on short periods of cavitation. Uncertainties can be taken into account by extending the feature calculations and classification rules to fuzzy set systems.
Conference Paper
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Automatic fault detection enables reliable condition monitoring even when long periods of continuous operation are required. Dimensionless indices provide useful information on different faults, and even more sensitive solutions can be obtained by selecting suitable features. These indices combine two or more features, e.g. root-mean-square values and peak values. Additional features can be introduced by analysing signal distributions, for example. The features are generated directly from the higher order derivatives of the acceleration signals, and the models can be based on data or expertise. Generalised moments and norms introduce efficient new features which even alone can provide good solutions with automation systems, but combining several easily calculated features is an efficient approach for intelligent sensors. The nonlinear scaling used in the linguistic equation approach extends the idea of dimensionless indices to nonlinear systems. Indices are obtained from these scaled values by means of linear equations. Indices detect differences between normal and faulty conditions and provide an indication of the severity of the faults. They can even classify different faults in case-based reasoning (CBR) type applications. Additional model complexity, e.g. response surface methods or neural networks, does not provide any practical improvements in these examples. The indices are calculated with problem-specific sample times, and variation with time is handled as uncertainty by presenting the indices as time-varying fuzzy numbers. The classification limits can also be considered fuzzy. Condition indices can be obtained from the degrees of membership which are produced by the reasoning system. Practical long-term tests have been performed e.g. for diagnosing faults in bearings, in supporting rolls of lime kilns and for the cavitation of water turbines. The indices obtained from short samples are aimed for use in the same way as the process measurements in process control. The new indices are consistent with the measurement index MIT and the health index SOL developed for condition monitoring.
Article
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The investigation provides new criteria for use in the evaluation of the results obtained from vibration measurements performed as part of condition monitoring. The author sets out from practical long-term tests which involved paper machines and woodpulp manufacturing machines in a number of mills, pointing out reasons for which displacement time derivates of a higher order than acceleration x(2) should be employed for technical diagnostic purposes. Practical results are presented for the measurement parameters x(2), x(3) and x(4).
Conference Paper
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Cavitation causes excessive pressure pulsations, which damage the surfaces of the runner and channels of a turbine. As a result, the overall operating efficiency of the water turbine decreases and repair costs increase. Traditionally, there have been efforts to detect cavitation using vibration, pressure and acoustic emission measurements. For instance, extensively used vibration velocity measurements are not effective enough to detect all cavitation areas so more sensitive and accurate signal processing methods are still demanded. This study concentrates on vibration measurements in the real operating environment of a Kaplan turbine. Altogether 29 measurement periods were carried out at different power levels from 1.5 to 59.4 MW. The vibration analysis was based on the use of traditional velocity and acceleration signals and novel higher order derivatives: x(3) and x(4). The features used were rms, peak, kurtosis and crest factor. Normal accelerometers could be used and the upper cut-off frequency did not have to be high in order to detect all cavitation areas reliably. The sample length has to be over 30 seconds in order to detect all cavitation areas accurately. The rms value works sufficiently well at high powers, whereas kurtosis and crest factor are effective at low powers only. The feature working well throughout the whole power range is peak value.
Conference Paper
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Advanced signal processing methods combined with automatic fault detection enable reliable condition monitoring for long periods of continuous operation. The signals x(3) and x(4) are very suitable for the condition monitoring of slowly rotating bearings since rapid changes in acceleration become emphasised upon the differentiation of the signal x(2). Real order derivatives x(α) provide additional possibilities, e.g. in a bearing fault case the sensitivities of some features have been found to reach a maximum when α = 4.75. In earlier cavitation indicators, the rms values were combined with either kurtosis or peak values. Generalised moments τMαp can be defined by the order of derivation (α), the order of the moment (p) and sample time (τ). The moment normalised by standard deviation can be used as kurtosis in the model-based analysis. This paper introduces a new norm ‖τMαp‖p = (τMαp)1/p = [1/NΣi=1N|xi(α)|p]1/p, where the orders α and p are real numbers. The number of signal values s N =τ N where Ns is the number of samples per second. The new norm has the same dimensions as the corresponding signals x(α ) . The cavitation of a Kaplan water turbine was analysed in the power range 1.5…59.4 MW based on measurements collected with sampling frequency 12800 Hz. The order p was compared in the range from 0.25 to 8 with a step 0.25, and a total of 11 sample times were used: τ = 1, 2,…, 6, 8, 10, 20, 30, and 40 seconds. An optimum order p was detected for each sample time τ. The relative max(‖3^M_4^2.75‖) compared to a cavitation-free case is alone a good indicator for cavitation: strong cavitation and cavitation-free cases are clearly detected, and the power ranges for shortterm cavitation are only slightly wider than in the previously developed knowledge-based cavitation index. Short sample times and relatively small requirements for the frequency ranges make this approach feasible for on-line analysis and power control. The weighted sums of features on a different order of derivation form fault-specific measurement indices MIT, and several indices MIT define the health index SOL. The sensitivity increases with the order of derivation to some limit of α. For faults causing impacts, high MIT values for lower orders of derivation indicate an increase in the severity of the fault.
Article
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This paper examines a derivate x(α), the order of which is α, where α is an arbitrary real number. It is shown with practical examples that x(α) can be used in condition monitoring and that without it we can only obtain an erratic picture of condition in certain cases.