Vibration-Based Techniques for Damage Detection and Health

Monitoring of Mechanical Systems

by

Adrian I. Cuc

Bachelor of Science
Politehnica University of Timisoara, 1996

____________________________________________________

Submitted in Partial Fulfillment of the

Requirements for the Degree of Master of Science in the

Department of Mechanical Engineering

College of Engineering & Information Technology

University of South Carolina

2002

________________________________ ________________________________
Department of Mechanical Engineering Department of Mechanical Engineering
Director of Thesis Second Reader

_______________________
Dean of the Graduate School
 ACKNOWLEDGMENTS

Building a strong education is a hard, long and beautiful journey. University of

South Carolina added an important and substantial chapter to my professional education.

I would like to thank my academic advisor, Dr. Victor Giurgiutiu for his understanding,

support and guidance throughout the years I have spent at USC.

I would also like to thank to all the professors who have shared with me their

knowledge throughout my education. Special thanks go to Dr. Leonid Gelman for his

help and support.

In addition, I would like to sincerely thank my colleagues and friends Jing Jing

(Jack) Bao, Max Fitzgerald, Paulette Goodman, Florin Jichi, Greg Nall, Mattias Ohlsson,

Radu Pomirleanu, Andrew Rekers, and Andrei Zagrai for their support and for having

such a great time.

My thanks go also to the South Carolina Army National Guard, Mr. Lem Grant

and Tim Cook for knowledge they shared with me. The financial support of the South

Carolina Army National Guard is gratefully acknowledged.

Last but not least, I would like to express my deeply gratitude to my parents,

without whom none of this would have been possible.

ii
 ABSTRACT

The state of the art in vibration-based damage detection and health and usage

monitoring is reviewed. The damage detection concepts and the signal analysis

techniques are examined, explained, and compared. Latest advances in signal processing

methodologies that are of relevance to vibration based damage detection (e.g., Wavelet

Transform and Wigner-Ville distribution) are highlighted. These vibration signal-

processing methods play an important role in early identification of incipient damage that

can later develop in a potential threat to the system functionality. A brief mathematical

description of the techniques for vibration-based damage detection/health monitoring in

rotating mechanical systems is given.

Technologies for vibration reduction of rotating machinery as well as current

Health and Usage Monitoring Systems (HUMS) programs installed on the civil and

military helicopters are reviewed. The current procedures for Rotor Track and Balance

(RT&B) of the helicopters are explained and vibration data from the sensors mounted in

the cockpit showing the reduction in vertical vibrations are presented. HUMS

instrumentation and technologies are briefly examined.

To illustrate these issues on a tractable example, the damage detection of a

cracked specimen was investigated. The non-linear equations of motions were set up and

damage was simulated as a change in the stiffness of the specimen. The relative crack

size considered in this study was r = 0 (pristine case) r = 0.1 (small crack), r = 0.4

(medium crack), and r = 0.6 (large crack). Using MATLAB-SIMULINK software, the

iii
time-domain nonlinear vibration signal was generated. Two signal analysis methods were

used to process the time-domain signal: Short Time Fourier Transform (STFT) and

Wigner-Ville Distribution (WVD). To compare the effectiveness of the two methods

investigated, the Fisher criterion was calculated for pairs of classes representing the

frequency of the main harmonic for the pristine case and the frequency of the main

harmonic for various damage cases. The results showed that both WVD and STFT

methods predict the presence of the damage. The STFT method gives a better indication

of the higher harmonics of the main frequency due to the crack growth. On the other

hand, WVD method gives stronger sensitivity to the crack presence based on the changes

in the main frequency.

The presented work shows that structural damage can be detected from vibration

analysis. This methodology forms the foundation of vibration-based Structural Health

Monitoring.

iv
 TABLE OF CONTENTS

ACKNOWLEDGMENTS ............................................................................................................II

ABSTRACT................................................................................................................................. III

LIST OF TABLES .......................................................................................................................IX

LIST OF FIGURES ...................................................................................................................... X

1 INTRODUCTION................................................................................................................. 1

1.1 PROBLEM DEFINITION .......................................................................................... 1

1.2 THESIS OVERVIEW ............................................................................................... 2

2 STATE OF THE ART IN MACHINERY HEALTH MONITORING AND DAMAGE

DETECTION ................................................................................................................................. 5

3 MATHEMATICAL TECHNIQUES FOR VIBRATION-BASED DAMAGE

DETECTION/HEALTH MONITORING IN ROTATING MECHANICAL SYSTEMS ...... 8

3.1 FOURIER TRANSFORM (FFT) ............................................................................... 8

3.2 SIGNAL FEATURES EXTRACTION .......................................................................... 9

3.2.1 Signal Preprocessing ................................................................................ 10

3.2.2 Signal Features ......................................................................................... 12

3.2.2.1 RMS ...................................................................................................... 12

3.2.2.2 Kurtosis ................................................................................................. 13

3.2.2.3 Crest Factor........................................................................................... 13

3.2.2.4 Enveloping ............................................................................................ 14

3.2.2.5 FM0....................................................................................................... 14

v
 3.2.2.6 NA4....................................................................................................... 14

3.2.2.7 FM4....................................................................................................... 15

3.2.2.8 NB4 ....................................................................................................... 15

3.3 JOINT TIME-FREQUENCY ANALYSIS TECHNIQUES ............................................... 16

3.4 SHORT TIME FOURIER TRANSFORM (STFT) ...................................................... 17

3.4.1 General properties of Short Time Fourier Transform.............................. 20

3.5 WIGNER-VILLE DISTRIBUTION (WVD) .............................................................. 21

3.5.1 Description of the Wigner-Ville distribution ............................................ 22

3.5.2 Properties of the Wigner-Ville Distribution ............................................. 24

3.5.3 The Wigner-Ville distribution of the sum of two signals .......................... 25

3.6 WAVELET TRANSFORM ...................................................................................... 26

3.7 FISHER CRITERION ............................................................................................. 30

3.7.1 Fisher criterion example for two classes c1 and c2 ................................... 34

3.8 VIBRATION ANALYSIS HEALTH MONITORING SOFTWARE ................................. 36

3.8.1 Mobius iLearn Interactive......................................................................... 37

3.8.2 Spectral Visualization and Development, SVD Inc................................... 38

3.8.3 Predict-DLI ............................................................................................... 40

4 HELICOPTER VIBRATION REDUCTION THROUGH ROTOR TRACK AND

BALANCE (RT&B)..................................................................................................................... 41

4.1 RT&B PROCEDURE ........................................................................................... 42

4.1.1 Test equipment installation/checkout........................................................ 45

4.1.2 Flat track main rotor on the ground ......................................................... 46

4.1.3 Balance main rotor on the ground............................................................ 47

vi
 4.1.4 Track main rotor in flight ......................................................................... 47

4.1.5 Tail rotor balance ..................................................................................... 49

4.2 RT&B VIBRATION DATA COLLECTION .............................................................. 49

4.3 RT&B VIBRATION DATA ANALYSIS ................................................................... 51

5 VIBRATION-BASED DAMAGE DETECTION/HEALTH MONITORING

METHODS FOR HELICOPTERS............................................................................................ 57

5.1 WAVELET TRANSFORM METHODS FOR HELICOPTER HEALTH MONITORING ..... 57

5.2 JOINT TIME-FREQUENCY WIGNER-VILLE DISTRIBUTION ANALYSIS TECHNIQUES

FOR HELICOPTER HEALTH MONITORING ........................................................................ 60

5.3 NEURAL NETWORK-BASED AND NEURO-FUZZY METHODS FOR HELICOPTER

HEALTH MONITORING ................................................................................................... 62

6 HELICOPTER HEALTH AND USAGE MONITORING SYSTEMS (HUMS) .......... 66

6.1 WHAT IS HUMS?............................................................................................... 66

6.1.1 Vibration HUMS Programs ...................................................................... 67

6.1.2 Current HUMS products........................................................................... 69

6.2 VMEP HUMS CONFIGURATION AND VIBRATION DATA COLLECTION ............ 76

6.2.1 VMEP HUMS Configuration ................................................................. 76

6.2.2 VMEP HUMS Vibration data collection................................................ 80

6.3 VMEP HUMS VIBRATION DATA ANALYSIS ................................................... 81

6.4 VMEP HUMS FEATURE EXTRACTION........................................................... 83

6.4.1 Case 1: same aircraft, same state, and same sensor ................................ 84

6.4.2 Case 2: different aircraft, same state, and same sensor ........................... 85

vii
7 DAMAGE DETECTION OF A SIMULATED CRACK USING SHORT TIME

FOURIER TRANSFORM AND WIGNER-VILLE DISTRIBUTION .................................. 87

7.1 DYNAMIC MODEL OF A CRACKED OBJECT .......................................................... 88

7.2 DAMAGE DETECTION STRATEGY ........................................................................ 92

7.3 NUMERICAL SIMULATION................................................................................... 93

7.3.1 MATLAB SIMULINK Simulation.............................................................. 93

7.3.1.1 Simulation Flowchart............................................................................ 93

7.3.1.2 MATLAB SIMULINK Simulated Time Domain Data ........................ 95

7.3.1.3 MATLAB SIMULINK Graphical User Interface................................. 97

7.4 RESULTS ............................................................................................................ 98

7.4.1 Case 1: Pristine Structure (r = 0)............................................................. 98

7.4.2 Case 2: Small Crack (r = 0.1) .................................................................. 99

7.4.3 Case 3: Medium Crack (r = 0.4) ............................................................ 100

7.4.4 Case 4: Large Crack (r = 0.6)................................................................ 101

7.5 DIAGNOSTIC EFFECTIVENESS ........................................................................... 102

7.6 DISCUSSION ..................................................................................................... 103

8 CONCLUSIONS ............................................................................................................... 107

BIBLIOGRAPHY ...................................................................................................................... 110

viii
 LIST OF TABLES

Table 4.1 Plan test for RT&B (AVA Technical Manual).............................................. 42

Table 5.1 List of the fault types created in the test gearbox (Essaway et al., 1998)...... 64

Table 5.2 Neural Network Classification results using APSD features at 100% load

(Essaway et al., 1998).................................................................................... 64

Table 5.3 Neural network classification results using wavelet features (Essaway et al.,

1998) .............................................................................................................. 65

Table 6.1 Shaft frequencies and mesh frequencies for the main components of the

mechanical drive shaft of AH-64A helicopter............................................... 82

Table 7.1 Input variables for SIMULINK simulation ................................................... 95

Table 7.2 Fisher criterion calculated for STFT and WVD methods and the feature

comparison. Each of the the damaged cases were compared with the pristine

case .............................................................................................................. 102

ix
 LIST OF FIGURES

Figure 3.1 Processing flow chart for feature extraction methods for vibration analysis

(Lebold et al. 2000)....................................................................................... 10

Figure 3.2 Short-Time Fourier Transform (Qian and Cheng, 1996)............................... 18

Figure 3.3 STFT(t,w) as a subset of the entire two-dimensional functions (Qian and

Cheng, 1996).................................................................................................. 19

Figure 3.4 WVD representing the energy distribution of linear chirp with Gaussian

envelope (Qian and Chen, 1996) ................................................................... 24

Figure 3.5 WVD cross-term at midway between the two auto-terms. It oscilates in both

time and frequency directions (Qian and Cheng, 1996) ................................ 26

Figure 3.6 Comparison of elementary functions for STFT (a) and WT (b). For STFT all

elementary functions have the same envelope, whereas the WT elementary

functions have different envelopes (Qian and Cheng, 1996). ....................... 28

Figure 3.7 Comparisons of STFT and WT (a) For STFT time and frequency resolutions

are uniform for the entire time-frequency domain; (b) For WT there is good

time resolution for high frequencies, and good frequency resolution for low

frequencies (Qiang and Cheng, 1996) .......................................................... 29

Figure 3.8 Elementary illustration of Fisher Criterion showing how the projected

distributions vary with the projection angle a: (a) unfavorable projection

angle a = 5o yields overlapping of Class 1 and Class 2 projected distribution;

(b) a more favorable angle a = 35o yields better separation, but the variance

x
 S1 and S2 are still large; (c) optimal projection angle a = 72o yields clearly

separated sharp distributions with small variances........................................ 32

Figure 3.9 A schematic illustration of the two classes C1 and C2 their mean values and

the projection of the means onto the two axes (Bishop, 1995)...................... 32

Figure 3.10 Two classes of randomly uniform distributed data points............................. 35

Figure 3.11 Mobius iLearn Interactive.............................................................................. 37

Figure 3.12 Vibration analysis software for analysis, training and preventive

maintenance: (a) ExpertALERT from Predict-DLI; (b) SpectraScope CAF

from Spectral Visualization and Development, SVD Inc.............................. 39

Figure 4.1 Schematic of a flight plan for helicopter RT&B ........................................... 44

Figure 4.2 RT&B Equipment setup configuration (AVA Technical Manual)................ 45

Figure 4.3 Main rotor pitch link adjustment (AVA Technical Manual) ......................... 46

Figure 4.4 Tab adjustment tool used to bed the tab of the helicopter blades for RT&B

(AVA Technical Manual) .............................................................................. 48

Figure 4.5 Trim tab pockets for a helicopter blade (AVA Technical Manual)............... 48

Figure 4.6 Data flow chart .............................................................................................. 50

Figure 4.7 VMU Data storage and directory configuration: on the VMEP server and on

the local computer.......................................................................................... 51

Figure 4.8 RT&B test flights identification .................................................................... 52

Figure 4.9 Historical vibration trends. ............................................................................ 53

Figure 4.10 Historical trends for vertical vibration for one aircraft and one particular test

state, showing an increased vibration over a couple of months .................... 53

xi
Figure 4.11 a) Polar plot for the vibration data between two RT&B flights b) Plot of the

amplitude values for the same flights for all test states. ................................ 54

Figure 4.12 Plot of vibration amplitudes showing an increased vibration level for the

three flights .................................................................................................... 55

Figure 4.13 RT&B flights showing how the vibration amplitudes reduces after making

recommended adjustments............................................................................. 56

Figure 5.1 A comparison of the DWT algorithm and the DWPT algorithm. Ai is

approximation at level i (low frequency) and Di is detail at level i (high

frequency). (Samuel et al., 1998)................................................................... 58

Figure 5.2 Mean square wavelet maps for day one and day nine. On day nine a

significant increase in the amplitude of neighboring frequency bands is

observed as the fault developed (Samuel et al., 1998) .................................. 59

Figure 5.3 Average normalized power index (Samuel et al., 1998) ............................... 59

Figure 5.4 a) Directional spectrogram: 10% crack with 5 % noise; b) Directional

harmonic wavelet map: 10% crack with 5% noise (Kim and Ewins, 1999) . 60

Figure 5.5 Accelerometer data for an undamaged gear. (Polyshchuck et al., 2000) ...... 61

Figure 5.6 Accelerometer data for damaged gear (Polyshchuck et al., 2000) ................ 61

Figure 5.7 Hybrid system, fault detection performance. 60-point discrete Fourier

transform (DFT) was performed for fault detection, 128-point and 256-point

DFT for fault identification. .......................................................................... 62

Figure 5.8 All analog system performance. For fault detection in the case of all analog

neural network. 60-point DFT was performed (Monsena et al., 1995) ......... 63

Figure 6.1 HUMS installation on Bell 412 helicopter .................................................... 70

xii
Figure 6.2 Sensors location on Bell 412 Helicopter ....................................................... 71

Figure 6.3 IMD HUMS hardware configuration; (a) Main CH-53E IMD HUMS display;

(b) Location of the IMD HUMS on the Army UH-60A (Hess et al. 2001) .. 73

Figure 6.4 VMEP functions ............................................................................................ 75

Figure 6.5 Vibration Management Unit .......................................................................... 77

Figure 6.6 VMEP configuration for AH-64A ................................................................. 78

Figure 6.7 Pictures of the accelerometer mounted on different components of the

helicopter ....................................................................................................... 78

Figure 6.8 PC-GBS Screens ............................................................................................ 79

Figure 6.9 Vibration data flow diagram showing downloading of data from the VMU to

the ground station and further to the USC teradata computer ....................... 80

Figure 6.10 AH-64A Mechanical Drive Schematic.......................................................... 81

Figure 6.11 Frequency spectrum for the tail gearbox sensor for the same aircraft, same

test state (FLIGHT), and the same sensor. .................................................... 84

Figure 6.12 Frequency spectrum for the intermediate gearbox sensor for the same aircraft,

same test state (FLIGHT), and the same sensor. ........................................... 85

Figure 6.13 Frequency spectrum for the #1 nose gearbox sensor for the same sensor, same

test state (FLIGHT) but different aircraft. ..................................................... 86

Figure 6.14 Frequency spectrum for the intermediate gearbox sensor for the same sensor,

same test state (FLIGHT) but different aircraft ............................................. 86

Figure 7.1 Stretching and compression of the cracked object. In stretching crack is

opening and in compression crack is closing ................................................ 89

Figure 7.2 Opening and closing crack under bending loading........................................ 89

xiii
Figure 7.3 Frequency change as the crack progresses .................................................... 91

Figure 7.4 Additional features present in the frequency spectrum ................................. 92

Figure 7.5 Flowchart diagram of the simulation strategy ............................................... 94

Figure 7.6 Block diagram of SIMULINK program ........................................................ 95

Figure 7.7 Time domain data: (a) pristine case (r=0) and (b) damaged case (r=0.6)...... 96

Figure 7.8 Graphical User Interface (GUI) for the MATLAB program (Gelman et al.

2001) .............................................................................................................. 97

Figure 7.9 WVD and STFT comparison for the pristine case, r = 0 ............................... 98

Figure 7.10 WVD and STFT comparison for small damage case, r = 0.1........................ 99

Figure 7.11 WVD and STFT comparison, damaged case r = 0.4. .................................. 100

Figure 7.12 WVD and STFT comparison for the damaged case, r = 0.6........................ 101

Figure 7.13 Damage detection effectiveness of the two methods, STFT and WVD, based

on the Fisher criterion .................................................................................. 103

xiv
1 INTRODUCTION

1.1 PROBLEM DEFINITION

In the most general terms, damage can be defined as changes appearing in a

system that may affect its current or future performance. From this definition of damage

once can see that damage is not meaningful without a comparison between two different

states of the system, one of which is assumed to represent the initial (pristine) state, and

the other the damaged state. The definition of damage can also be limited to changes to

the material and/or geometric properties of the system, including changes to the boundary

conditions and system connectivity, which adversely affect the current or future

performance of that system.

The interest in the ability to monitor a structure and detect damage at the earliest

possible stage is persistent throughout the civil, mechanical and aerospace engineering

communities. Current damage-detection methods are either visual or localized

experimental methods such as acoustic or ultrasonic methods (Giurgiutiu, et al. 2000),

magnetic fields methods, eddy-current methods, and thermal methods (Doherty, 1987).

All these experimental methods have the disadvantage that the location of the damage

must be known a priori, and the portion of the structure that is being inspected must be

accessible.

1
 The basic premise in vibration-based damage detection is that damage will

significantly change the stiffness, mass, or energy dissipation properties of a system,

which in turn, modifies the measured dynamic response of the system. One of the most

challenging aspects of vibration-based damage detection is that damage is typically a

local phenomenon and may not significantly influence the lower-frequency response of

the structure that is normally measured during vibration tests.

1.2 THESIS OVERVIEW

Chapter 2 presnts, the state of the art in machinery health monitoring and damage

detection. Studies conducted by various researchers to assess the damage and the health

of mechanical systems are discussed. Various signal processing techniques were used

such as short time Fourier transform (Kim and Ewins, 1999), wavelet transform

(Newland, 1994, Mallat, 1989), and Wigner-Ville distribution (Polyshchuk, 1998)

Chapter 3 give a description of the signal processing techniques currently used in

damage detection. Mathematical understanding and description of the principles behind

these techniques is given. Statistical analysis method to compare and classify the

outcome of the vibration-based methods for damage detection in rotating machinery is

presented.

Chapter 4 describes the helicopter vibration reduction through rotor track and

balance. The procedure for equipment installation, vibration data collection, and data

analysis is presented.

The vibration-based methods for damage detection and health monitoring for

helicopters are presented in Chapter 5. Applications of wavelet transform (WT), the

2
Wigner-Ville distribution (WVD), neural network-based and neuro-fuzzy validation and

classification algorithms are described.

Chapter 6 presents an overview of health and usage monitoring systems (HUMS).

The meaning and description of HUMS systems is given, along with a review of the

current vibration HUMS systems installed on military and civilian helicopters. The main

part of the chapter emphasizes the Vibration Monitoring Enhancement Program (VMEP)

installed on the South Carolina Army National Guard helicopters. The main contractor of

this program is Intelligent Automation Corporation (IAC). University of South Carolina

is responsible for the cost benefit analysis of the VMEP program. The VMEP-HUMS

configuration, data collection, data analysis, and feature extraction are presented.

Analytical work on the damage detection of simulated a crack is presented in

Chapter 7. The vibration of a cracked component was simulated using MATLAB-

SIMULINK. The signal-analysis and damage detection capabilities of two methods, the

short time Fourier transform (STFT) and the Wigner-Ville distribution (WVD), were

investigated. The cracked component was approximated with a single degree of freedom

nonlinear equation. Solving the equations of motion in the time domain generated the

structural response. The simulation was carried out for four relative crack sizes: r = 0

(pristine case), r = 0.1 (small crack), r = 0.4 (medium crack), and r = 0.6 (large crack).

The simulated time-domain responses for the pristine and damage cases were

analyzed in the frequency domain using STFT and WVD methods. The features

investigated were the change in the amplitude of the main frequency of the component

and the apparition of additional effects, i.e. higher order harmonics of the main

3
frequency. The comparison of the outcome of the two methods is based on a statistical

method, the Fisher criterion.

Chapter 8 presents the conclusion of the study and the future work that is needs to

be done to fully understand the mechanism of damage detection and health monitoring of

mechanical systems, using vibration signal and joint time-frequency signal processing

methods.

4
2 STATE OF THE ART IN MACHINERY HEALTH MONITORING

AND DAMAGE DETECTION

Machinery Failure Prevention is an important component of the maintenance

activity for most engineering systems. Helicopters are continuously subjected to periodic

loads and vibrational environments that initiate and propagate fatigue damage in many

components. Current helicopter maintenance practice requires a large number of parts to

be monitored and replaced at fixed intervals. This constitutes an expensive procedure that

adds considerably to the helicopter Operational and Support (O&S) costs.

Health and Usage Monitoring Systems (HUMS) have been developed in recent

years to detect incipient damage in helicopter components, predict remaining life, and

create the premises for moving over from scheduled based maintenance to condition

based maintenance. Of prime importance in such a HUMS system is the capability to

evaluate the damage or undamaged state of a critical component using only the vibration

data signals recorded during flight and ground operation. With such capability, the need

for frequent disassembly and bench checking of certain critical components can be

reduced and ultimately eliminated, with important ancillary savings in the O&S costs.

However, to achieve such capability, advance vibration signal processing algorithms are

necessary that can distinguish the damage related features from the background and

system noise perturbations. Enhancements such as signal averaging, cepstrum and

5
kurtosis analysis, time-frequency domain analysis, Wavelet transform, neural network

systems have shown promising results (Randall, 1980; McFadden, 1985; Kemerait, 1987;

Monsena, 1994). However, the challenge remains to translate this knowledge into fault

prediction.

The earliest work toward detecting defects in helicopter gearboxes used a high-

resonance technique and was a off-line monitoring tool focused on finding the exact

location of the defect. Based on this technique, the frequency spectrum of the vibration

signal is search to find a change in the spectral line at one particular frequency associated

with any particular faults. This method has proved good results for simple bearing

configurations but is not satisfactory for complex configuration or for a large damage

(McFadden, 1984)

In 1980s several signal processing technique were introduced. One method

involves computing the time average of the vibration signal. This method removes all

signals not synchronous with the gear shaft frequency and reveals the individual tooth

deflection characteristics (Roe and Astridge, 1986).

Fraser and King in 1990 using kurtosis observed that when a gearbox component

is severely damaged multiple impulses will appear in the frequency domain, resulting in a

cumulative response that tend to reduce the kurtosis value. Another approach is to apply

cepstrum based techniques, in an attempt to condense the frequency domain information

into an easier to interpret form, thus providing a practical system for routine prognostic

monitoring (Kemerait, 1987).

6
 Forester in 1990 demonstrates that time-frequency techniques, such as Wigner-

Ville distribution can describe how the spectral content of the signal is changing with

time and provided a framework for developing robust detection and classification

schemes for helicopter gearbox faults.

7
3 MATHEMATICAL TECHNIQUES FOR VIBRATION-BASED

DAMAGE DETECTION/HEALTH MONITORING IN

ROTATING MECHANICAL SYSTEMS

The signal processing methods for machine-health monitoring can be classified

into the time-domain analysis, the frequency-domain analysis, and joint time-frequency

domain analysis. Some of the parameters (signal features) used in these methods are

FM0, FM4, NA4, NA4*, NB4 and NB48*.

Generally, the transient-state of a rotating structure during run-up or run-down

periods can be classified as non-stationary process with time-varying frequency content.

Customarily, for non-stationary processes the spectral analysis methods used for

analyzing the frequency content of the signal are namely: the short time Fourier

transform (STFT), the Wigner-Ville distribution (WVD), and wavelet analysis.

These methods will be briefly described next.

3.1 FOURIER TRANSFORM (FFT)

In conventional Fourier transform, the signal is compared to elementary complex

sinusoidal functions.
+

X (w ) e
jtw
x(t ) = dw (3.1)
-

8
 +
1
x(t ) e
- jw t
X (w ) = dt (3.2)
2p -

Of particular usefulness is the Fast Fourier Transform (FFT) which is a highly

efficient algorithm for obtaining the Fourier transform of discretized time signals.

Various implementations of the FFT algorithm have become the workhorse of signal

analysis packages, while FFT chips are incorporated in portable signal analyzers.

The classical Fourier analysis applied to these signals do not provide an explicitly

dependency between the time change and the frequency content change.

Although the phase characteristic of X(w) contains the time information, it is

difficult to establish a relation between x(t) and X(w) based upon the conventional Fourier

analysis.

3.2 SIGNAL FEATURES EXTRACTION

Defects or damage that occurs in different parts of machinery will increase the

machinery vibration levels. These vibration levels are captured and converted into

electric signals for data measurements by accelerometers. The information concerning the

health of the monitored machine is contained in this vibration signature. Hence, the new

vibration signature could be compared with previous vibration signatures to determine

whether the component that is being monitored is behaving normally or signs of failure

are present in the signature.

In practice, although desired, the direct comparison of the signature is very difficult.

Instead, a technique that involves first the extraction of features from the vibration signal

and then comparison of the features could be used. The advantages in using features lies

9
in the fact that that ideally these features are more stable and well behaved then the raw

signature data and also provide a reduced data set for pattern recognition.

Before any feature can be calculated on the raw vibration data, the data must be

conditioned or preprocessed. Signal conditioning may involve the signal correction,

based on the data acquisition unit, mean value removal, time synchronous averaging, and

filtering.

Signal DC Offset
Raw signal
Conditioning Removal Rms
Kurtosis
Crest Factor
Time Synchronous Enveloping
Tachometer
Averaging

FM0

Remove Band-pass around

fundamental fundamental mesh
shaft and mesh frequency
frequencies and including
harmonics sidebands

NA4 NB4

Remove 1st
order sidebands
FM4
M6A
M8A
Difference Band-pass Mesh
Signal Signal

Figure 3.1 Processing flow chart for feature extraction methods for vibration analysis (Lebold et al.
2000)

3.2.1 SIGNAL PREPROCESSING

Lebold et al. (2000) grouped the processing features for gearbox diagnostics and

prognostics into five processing groups. The five processing groups are:

10
 1. Raw signal (RAW)

2. Time synchronous averaged signal (TSA)

3. Residual signal (RA)

4. Difference signal (DIF)

5. Band-pass mesh signal (BPM)

These five groups are shown in Figure 3.1

The Raw Signal Preprocessing (RAW): denotes features that are calculated from the

raw or conditioned data. The signal conditioning is achieved by multiplying the raw data

points with by a calibration constant.

Time Synchronous Average (TSA): signal processing technique used to extract the

repetitive signals from the additive noise. The raw data is divided into segments of equal

length related to the synchronous signal (tachometer) and then averaged together. In this

way after sufficient averages the random noise is canceled and only the desired signal is

left. The parameters involved with this technique that can affect the results are: the

interpolation factor, the number of revolutions concatenated, and the number of averages.

Increasing the interpolation factor will lead to large computational time. It is

recommended to use one revolution for data alignment, which will provide the most

accurate alignment with the shaft rate. Increasing the number of averages will enhance

the synchronous component of the signal but it will be more computational intensive.

Residual Signal (RES): this preprocessing technique calculates the residual signal

consisting of the time synchronous averaged signal including the mesh and shaft

components along with their harmonics removed. In practice this can be achieved by

11
using a high pass filter with the cut-off frequency lie somewhere between DC and the

fundamental mesh frequency.

Difference Signal (DIF): the difference signal is calculated by removing the regular

meshing components from the time synchronous averaged signal. The regular meshing

components consist of the shaft frequency and its harmonics, the meshing frequency and

its harmonics. Because the difference signal processing section comes after the residual

signal section in which the mesh and shaft components along with their components have

been removed, only the sidebands of the meshing frequency and its harmonics need to be

removed.

Band-Pass Mesh Signal (BPM): in this section the time synchronous averaged signal

is band pass filtered around the primary gear mesh frequency. Hilbert transform is then

applied to obtain the real and imaginary part of the signal, which represents the band-pass

signal and the Hilbert transform of the signal respectively. The envelope of the signal will

represent the amplitude modulation present in the signal due to the sidebands.

3.2.2 SIGNAL FEATURES

3.2.2.1 RMS

The root mean square (RMS) value of a vibration signal is a measure of the power

content in the vibration signature. This feature gives good results in tracking the overall

noise level in the signal but will not give any information about the component that is

going to fail.

To calculate the RMS value the following formula is used:

12
 N

x 2
k
RMS = k =1
(3.3)
N

3.2.2.2 Kurtosis

Is also known as the fourth moment of a distribution and measures the relative

peakedness or flatness of a distribution as compared to a normal distribution. It also

provides a measure of the size of the tail of a distribution and can be used as an indicator

of major peaks in the data set.

The equation to calculate the kurtosis is given by:

[ x( n) - m ]
4

k= n =1
(3.4)
N (s 2 )2

where x(n) is the time series, m is the mean value of the data, s2 is the variance of the data

and N is the total number of data points.

3.2.2.3 Crest Factor

To observe the changes in the early stages of gear and bearing damage crest factor is

a useful feature. It is defined as the ratio of the peak level of the input signal to the RMS

value of the signal. If any peaks appears in the time domain signal will result in an

increase of the crest factor. Usual values of crest factor are between 2 and 6. Any values

above 6 are associated with possible machinery problems. The best results using this

feature are obtained in the case of impulsive vibration sources such as tooth breakage on

gears or bearing defects.

The equation for the crest factor is given below:

Peak Level
Crest Factor = (3.5)
RMS
13
where Peak Level is the peak level of the raw time signal, and RMS is the root mean

square of the raw data.

3.2.2.4 Enveloping

Enveloping is used to monitor the high-frequency response of the mechanical

systems to periodic impacts such as gear or bearing faults. The envelope or high

frequency technique focuses on the structure resonance to determine the health of a gear

or a bearing. The technique consists of processing structure resonance energy with an

envelope detector (Lebold et al. 2000).

3.2.2.5 FM0

FM0 is defined as the peak-to-peak level of the time synchronous averaged signal

divided by the sum of the amplitude at the gear-mesh frequency and its corresponding

harmonics. It is a simple method used to detect major changes in the meshing pattern.

App
FM 0 = n
(3.6)
A( f )
i =1
i

where App is the peak-to-peak amplitude and A(fi) is the amplitude of the gear-mesh

fundamental and its harmonics.

3.2.2.6 NA4

NA4 is calculating by dividing the fourth statistical moment of the residual signal

by the time-averaged variance of the residual signal, raised to the second power. It is used

to detect the initiation of damage and to react to the growth of the damage. The equation

is

14
 N
N ( ri - r )
4

NA4 = i =1
2
(3.7)
1 m N 2
( rij - rj )
m j =1 i =1
where r is the residual signal, r is the mean value of the residual signal, N is the total

number of data points, and m is the current time record.

3.2.2.7 FM4

FM4 was developed to detect changes in the vibration pattern resulting from

damage on a limited number of gear teeth (Zakrajsek et al. 1993). The equation to

calculate FM4 is

N
1
N
(d i - d )4
FM 4 = i =1
2
(3.8)
N
2
(di - d )
i =1
where d is the difference signal, d is the mean value of difference signal, and N is the

total number of data points.

3.2.2.8 NB4

NB4 is similar to FM4 except that instead of using the residual signal, NB4 uses

the envelope of a band-pass segment of the time synchronous averaged signal. It is

calculated by dividing the fourth statistical moment of the envelope signal to the current

run time averaged variance of the envelope signal raised to the second power, as shown

in Equation (3.9)

15
 N
N ( Ei - E )
4

NB 4 = i =1
2
(3.9)
1 m N 2
( Eij - E j )
m j =1 i =1
where E is the envelope of the band-passed signal, E is the mean value of the envelope

signal, N is the total number of data points, and m is the current time record.

3.3 JOINT TIME-FREQUENCY ANALYSIS TECHNIQUES

The majority of signal in the real life are non-stationary. Machinery operating in

non-stationary mode generates a signature, which at each instant of time has a distinct

frequency (Shin et al. 1993). It is desired in such cases to use a joint time-frequency

analysis technique that will give an inside of how frequency changes with time.

The frequency contents of the majority of signals in our daily life change over

time. Some of these signals are speech signals, vibration signals, and biomedical signals.

Because the sinusoidal basis functions vary over the entire time domain and are not

concentrated in time, it is hard to indicate how a signals frequency contents changes with

time by using the conventional Fourier transform. It comes naturally to try to characterize

a signal simultaneously in the time and frequency domains by comparing them with

elementary functions that are concentrated in both time and frequency domains, such as

the frequency modulated Gaussian functions (Qian and Cheng, 1996). Thus, in order to

overcome the deficiency of the classical Fourier analysis, the simplest way would be to

compare the signal with elementary functions that are localized in both time domain and

frequency domain simultaneously. Three signal processing techniques are described in

the following sections: Short-Time Fourier Transform (STFT); Wigner-Ville Distribution

(WVD), and Wavelet Transform (WT).

16
3.4 SHORT TIME FOURIER TRANSFORM (STFT)

The short time Fourier transform is the most widely used method for studying

non-stationary signals. The basic idea of the short time Fourier transform is to break up

the initial signal into small time segments and apply the Fourier transform to each time

segment to ascertain the frequencies that existed in that segment. The totality of such

spectra indicates how the spectrum is varying in time.

The limitation of the short time Fourier transform lies in the impossibility to

achieve finer and finer time localization by using a smaller window functions. As the

time becomes smaller, the information content of the resulting spectrum decreases. In the

end, by decreasing the time interval, the answer that we get for that particular spectrum

becomes meaningless. The representation of the Short Time Fourier Transform (STFT)

using localized elementary functions is:

+

x(t )g
*
STFT (t , w ) = (t - t )e- jw t dt (3.10)
-

where: x(t) is the initial signal, and g * (t - t )e - jw t is the elementary function.

Generally the function g(t) has a short time duration thereby it is also called the

window function. Equation (3.10) is called short time Fourier transform or windowed

Fourier transform (Qian and Cheng, 1996). To understand the procedure for computing

STFT we will use the following steps presented in Figure 3.2:

1. Multiply the signal s(t) with the window function g(t)

2. Compute the Fourier transform of the resulting signal

Because the window function g(t) has short time duration, the Fourier transform

of the product x(t )g * (t - t ) will reflect the signals local frequency content. In this case

17
by moving the window function g(t) and repeating the steps mentioned above, it is

possible to obtain information about how the signals frequency content evolves over

time. This can be clearly seen in Figure 3.2.

x(t)

g(t)
time

FT
FT

FT
frequency

STFT
time

Figure 3.2 Short-Time Fourier Transform (Qian and Cheng, 1996)

To get from the frequency domain to the time domain, the inverse Fourier transform can

be applied with respect to Equation (3.10). This will yield (Qian and Cheng, 1996):

+
1 1
STFT (t ,w )e x(t )g (t - t )e = x(t )g (t - t )d ( m - t )dt =
j mw j ( m -t )w
dw =
2p -
2p (3.11)
= x( m )g ( m - t )
where

1 for m = t
d (m - t ) = (3.12)
0 otherwise
is the Dirac function

Let m = t, we have

+
1
x(t ) =
2pg (0) -
STFT (t , w )e jtw dw (3.13)

18
Equation (3.13) implies that if STFT (t,w) is given for all t and w, the signal x(t) can be

completely recover.

Another way to look at the short time Fourier transform (STFT) is to view STFT

as a mapping from time domain to time-frequency domain as shown in Figure 3.3.

Figure 3.3 STFT(t,w) as a subset of the entire two-dimensional functions (Qian and Cheng, 1996)

For any time domain function x(t) and window function g(t), such mapping

always exists. It is true in this direction but the inverse may not be true. Given a window

function g(t) and an arbitrary two-dimensional function B(t,w), there may be no signal

x(t) whose STFT is equal to B(t,w). In this case, B(t,w) is not a valid short time Fourier

transform for the signal x(t) (Qian and Cheng , 1996).

For digital signal processing applications, the STFT is discrete in both time and

frequency. A general formula for its implementation is:

L -1
STFT [k , n] = x[i ]g [i - k ]WL- ni (3.14)
i =0

where

2p
j
STFT [k , n] STFT (t , w ) t = k Dt ,w = 2p n /( LDt ) , WL = e L
(3.15)

19
where Dt denotes the sampling interval in the time domain, and g[k] = g(kDt) is the L-

point window function.

3.4.1 GENERAL PROPERTIES OF SHORT TIME FOURIER TRANSFORM

a) Total energy

The total energy of a signal is obtained by integrating over all time and frequency.

Considering an initial signal x(t) if the properties of the signal at time t are of interest then

the original signal is multiplied by a window function, g (t), centered at the time t. The

modified signal is then

xt (t ) = x(t )g (t - t ) (3.16)
where t is the time of interest and t is the running time.

The Fourier transform of the signal will reflect the distribution of frequency around that

time

1 1
e e
- jwt - jwt
X t (w ) = xt (t )dt = x(t )g (t - t )dt (3.17)
2p 2p
The energy density spectrum at time t is

2
2 1
e
- jwt
PSP (t , w ) = X t (w ) = x(t )g (t - t )dt (3.18)
2p
The total energy in the signal becomes

2 2
E = PSP (t , w )dtdw = x(t ) dt g (t ) dt (3.19)

Equation (3.19) shows that if the energy of the window is one, then the energy of the

spectrogram is equal to the energy of the signal.

b) Time-frequency marginal conditions

20
The time marginal condition is obtained by integrating over the frequency domain. After

computations we get (Cohen, 1995)

2 2 2
X (w )
t dw = x(t ) g (t - t ) dt (3.20)

Similarly, the frequency marginal condition is obtained by integrating over the time

domain:

2 2 2
x (t )
t dw = X (w1 ) g (w1 - w ) dw1 (3.21)

3.5 WIGNER-VILLE DISTRIBUTION (WVD)

The Wigner-Ville distribution (WVD) is a joint time-frequency signal analysis

method. The WVD is one of the most general time-frequency analysis techniques, as it

provides excellent resolution for accurate examination in both time and frequencies

domains. Some of the problems encounters in using WVD are related to the aliasing

arising in the computation of WVD and to its nonlinear behavior. To avoid the aliasing

problem, the original real signal is transformed into a complex analytical signal.

The Wigner distribution was developed by Eugene Wigner in 1932 to study the

problem of statistical equilibrium in quantum mechanics and was first introduced in

signal analysis by the French scientist, Ville 15 year later. It is commonly known in the

signal processing community as the Wigner-Ville distribution (WVD).

The behavior of the frequency of a signal can be of two types: linear representation such

as the Fourier transform (Short time Fourier transform) and quadratic representation such

as Wigner-Ville distribution.

21
 Some success has been achieved by researchers who used the WVD of vibration

signals to detect gear-tooth faults. The joint time-frequency distribution of the faulty gear

shows the vibration energy dispersion at time when damaged gear teeth are in mesh. Such

energy change can also be detected by classical Fourier transform but only at an

advanced stage of gear-tooth damage (Polyshchuk et al., 1999)

Besides the advantages of the Wigner-Ville distribution, such as simplicity and

effectiveness, excellent accuracy, and invariant to the window effects, the Wigner-Ville

distribution also has drawbacks such as the so called cross-term or interference terms.

This issue will be addressed later in this chapter.

3.5.1 DESCRIPTION OF THE WIGNER-VILLE DISTRIBUTION

The power spectrum of a signal, which is the square of the Fourier transform

characterizes the signals distribution in the frequency domain. According to the Wiener-

Khinchin theorem, the power spectrum can be considered as the Fourier transform of the

auto-correlation function R(t):

+
2
R(t )e
- jw t
PS (t , w ) = X (w ) = dt (3.22)
-

where:
+

x(t ) x (t - t )dt
*
R(t ) = (3.23)
-

The Fourier transform of the time-dependent auto-correlation function R(t,t) with respect

to the variable t is a function of time and frequency:

R(t ,t )e
- jwt
PS R (t , w ) = dt (3.24)
-

22
where the time-dependent auto-correlation function R(t,t) is given by:

+
1
A ( v, t ) A ( v, t ) e
jvt
R(t ,t ) = x g dv (3.25)
2p -

where Ax(v,t) represents the ambiguity function of signal x(t) and Ag(v,t) represents the

ambiguity function in the window function g(t) (Qian and Chen, 1996).

In the WVD, the time-dependent auto-correlation function is given by

t t
R (t , t ) = x t + x* t - (3.26)
2 2

where x(t) is the analytic signal and x*(t) is the complex conjugate of the analytic signal

x(t).

Substituting the above auto-correlation function into Equation. (3.22) yields

+
t t - jw t
x t + 2 x
*
WVDxx (t , w ) = t - e dt (3.27)
- 2

where WVDxx(t,w) is the Wigner-Ville distribution of a complex continuous-time analytic

signal x(t).

Based on the Equation (3.27) the WVD of a signal can be calculated at any time

point t simply by shifting the time signal origin to that point (Polyshchuk et al., 1999).
+
t t - jw t
x 2 x
*
WVDxx (0, w ) = - e dt (3.28)
- 2

Considering, as an example, a chirp signal with Gaussian envelope of the form

1
-a 2
a 4 t + jbt2
x(t ) = e 4
(3.29)
p

the WVD of the signal is

1
- a t 2 + (w - 2 b t ) 2
a
WVDx (t , w ) = 2e
(3.30)

23
and the plot of the WVD is presented in Figure 3.4

Figure 3.4 WVD representing the energy distribution of linear chirp with Gaussian envelope (Qian
and Chen, 1996)

3.5.2 PROPERTIES OF THE WIGNER-VILLE DISTRIBUTION

Some of the most important properties of the Wigner-Ville distribution as they

result from the literature survey are as follow:

a) Time and frequency shift invariant

If the time is shifted by t0 then the WVD is shifted accordingly. For a signal x(t)

the WVD of the time frequency shifted signal is

WVDx0 (t , w ) WVDx (t - t0 , w - w 0 ) (3.31)

b) Frequency modulation invariant

Lets consider the WVD of the signal x(t) as being WVDx(t,w). For the frequency-

modulated signal x0(t)=x(t)exp{jw t} the WVD is a frequency-shifted WVD of x(t) i.e.,

WVDx0 (t , w ) = WVDx (t , w - w 0 ) (3.32)

c) Time-frequency marginal condition

The Wigner-Ville distribution satisfies both time and frequency marginal

conditions, that is

24
 +
1 2

2p WVD (t , w )dw = x(t )

-
x (3.33)

+
2
WVD (t ,w )dt =
-
x X (w ) (3.34)

As a consequence, using Parsevals relation, it can be shown that the energy contained in

the Wigner-Ville distribution, WVD(t,w), is equal to the energy possessed by the original

signal s(t).

3.5.3 THE WIGNER-VILLE DISTRIBUTION OF THE SUM OF TWO SIGNALS

Considering a signal x(t) as a sum of two signals x1(t) and x2(t)

x(t) = x1(t) + x2(t) (3.35)

Using Equation (3.27) to derive the WVD for the sum of the two signals yields

t t
WVD(t , w ) = x* t - x t - e - jtw dt =
2 2 (3.36)
= WVD1 (t , w ) + WVD2 (t , w ) + WVD12 (t , w ) + WVD21 (t , w )
where

t t
WVD12 (t , w ) = x1* t - x2 t + e - jtw dt (3.37)
2 2
is called the cross-term Wigner-Ville distribution. Even though the cross-term is

complex, because the WVD is always real, the sum WVD12(t, w) + WVD21(t, w) is real

and therefore the WVD of the sum of two signals becomes

WVD(t , w ) = WVD1 (t , w ) + WVD2 (t , w ) + 2 Re {WVD12 (t , w )} (3.38)

The WVD of the sum of the two signals is not simply the sum of the WVD of each signal

(auto-term) but has the additional term 2Re{WVD12(t,w)}, term called the interference

term or the cross-term. Because the cross-term usually oscillates and its magnitude is

25
twice as large as that of the auto-terms, it often reduces the useful patterns of the time-

dependent spectrum.

Some time, the cross-terms are referred to as undesirable effects of the Wigner-

Ville distribution. The cross-term in fact reflects the correlation of the corresponding pair

of auto-terms. Its location and rate of oscillation are determined by time and frequency

centers of the auto-terms. If the position of the auto-terms is known, then the position of

the corresponding cross-terms is precisely identified.

Figure 3.5 WVD cross-term at midway between the two auto-terms. It oscilates in both time and
frequency directions (Qian and Cheng, 1996)

3.6 WAVELET TRANSFORM

The wavelet transform is a joint time-frequency analysis method similar to

Wigner-Ville distribution. It is independent of time and thus can describe the local

behavior of the signal. Unlike the short time Fourier transform where complex sine and

cosine functions are used to map the time signal into the frequency domain, wavelet

26
transform uses a set of elementary functions that can be independently dilated and shifted

as a function of time, called wavelets.

By scaling the time variable t of a given elementary function y(t), a representation

of the signal in the frequency domain is achieved. If the center frequency or the mean

frequency of the elementary function y(t) at time zero is w0, and if the time is dilated by

b and the frequency shifted by a, then the center of the dilated and shifted elementary

t -b
function y will be at time b and frequency w0/a. When the dilated and shifted
a

t -b
elementary function y is used, the resulting presentation is called the continuous-
a

time wavelet transform and is defined as

+
1 t -b
x(t )y
*
W ( a, b) = dt , a0 (3.39)
a - a

where y(t) is also called the mother function. The parameter a represents the scale index

and parameters b represents the time shifting. The quantity W(a,b) reflects the signals

behavior in the vicinity of (b, w0/a).

Figure 3.6 shows a comparison of the elementary functions for short time Fourier

transform and wavelet transform. Once an elementary function for the short time Fourier

transform is chosen, both the time and frequency resolution are fixed. For the wavelet

transform, the time resolution and the frequency resolution of the elementary function are

functions of the scaling factor.

27
 (a) (b)

Figure 3.6 Comparison of elementary functions for STFT (a) and WT (b). For STFT all elementary
functions have the same envelope, whereas the WT elementary functions have different
envelopes (Qian and Cheng, 1996).
In order to understand better the difference between the short time Fourier

transform and the wavelet transform, an example is considered. Suppose that we have a

signal that contains two pulses in the time domain, d(t-t1) and d(t-t2), and two pulses in

the frequency domain, e jw1t and e jw 2t , i.e.,

x(t ) = d (t - t1 ) + d (t - t2 ) + e jw1t + e jw 2t (3.40)

The transformation of x(t) to the frequency domain yields

X (w ) = e jw t1 + e jw t2 + 2pd (w - w1 ) + 2pd (w - w 2 ) (3.41)

Figure 3.7 shows the comparison between short time Fourier transform (STFT) and the

wavelet transform (WT) for the signal described by Equation (3.40). A major difference

between the two methods can be observed. Time and frequency resolutions are constant

in both time and frequency domains in the case of STFT, while they vary in the case of

WT.

28
w w

w2 w2

w1 w1

t1 t2 t t1 t2 t
(a) (b)

Figure 3.7 Comparisons of STFT and WT (a) For STFT time and frequency resolutions are uniform
for the entire time-frequency domain; (b) For WT there is good time resolution for high
frequencies, and good frequency resolution for low frequencies (Qiang and Cheng,
1996)
At high frequencies, the time resolution of the WT is better than the frequency resolution;

at low frequencies the frequency resolution is better than the time resolution. For STFT,

the time and frequency resolutions are the same for the entire time-frequency domain.

The time-frequency representation of the WT is called scalogram and is the

squared modulus of the wavelet transform.

From the wavelet transform, the original signal can be recovered by using

1 1 t -b
x(t ) =
Cy a 2
W (a, b)y
a
(3.42)

where the constant Cy is defined by

2
1 Y (w )
Cy =
2p w
dw (3.43)

29
3.7 FISHER CRITERION

One widely used method for damage identification is the Fisher criterion. Fisher

criterion is a statistical analysis method used for discriminating between two statistical

distributions in the multidimensional space. For damage identification, Fisher criterion is

used in analyzing the statistical distribution of the signal features and deciding if damage

is present or not. This is achieved by comparing the statistical distribution of the signal

features measured on the current machinery with the statistical distribution of the same

signal features measured on a as new (pristine) machinery. If the Fisher criterion has a

low value, the current machinery is as new, i.e., no damage is present. However, if the

Fisher criterion exceeds a certain limit, the machinery can be classified as damaged or

faulty.

The Fisher criterion works as follows. Consider two distributions of a

multidimensional feature vector, one distribution corresponding to the pristine case, the

other to the damaged case (Figure 3.8). All points of the two distributions are projected

onto a line in the direction l, and this direction is varied, by modifying the slope of the

line (angle a) until the two samples are maximally separated, i.e. the distance between

the means of the two classes is maximized, while the variance in each class is minimized.

Figure 3.10 presents the case in 2-D, i.e., when the feature space consists of just

two classes C1 and C2. The features are projected onto the line y and form two samples of

projected data with the mean m1 and m2. The two means are separated by the distance d.

Figure 3.10 shows three cases, in which the parameter a varies and the dependency

between the angle a, the distance d that separates the two means, and the variance in the

two projected classes is illustrated.

30
 2
Class 1
8
Class 2 1.8 Class 1 Class 2
line class1
1.6
line class 2
center 1.4
6 mean class 1
mean class 2 1.2

1
y 0.8
4
0.6

0.4

0.2
y
2 0
-4 -2 0 2 4 6 8

o
0 a = 5 F = 1.46, m1 = 0.76 , m2 = 2.49
-2 0 2 4 6 8
S1 = 0.98, S2 = 1.03

-2
(a)
2
Class 1
1.8 Class 1 Class 2
8 Class 2
line class1
1.6
line class 2
y center 1.4
mean class 1
mean class 2 1.2
6
1

0.8

0.6
4
0.4

0.2

0
y
2
-4 -2 0 2 4 6 8

o
0
a = 35 F = 8.92, m1 = 0.04 , m2 = 3.29
-2 0 2 4 6 8
S1 = 0.80, S2 = 0.81

-2
(b)
8
y Class 1
2
Class 1 Class 2
Class 2 1.8
line class1 1.6
line class 2
center 1.4
6 mean class 1
1.2
mean class 2
1
0.8
4
0.6
0.4
0.2
2 y
0
-4 -2 0 2 4 6 8

o
0
a = 77 F = 18.10, m1 = 0.97 , m2 = 2.28
-2 0 2 4 6 8
S1 = 0.23, S2 = 0.23
(c)
-2

31
Figure 3.8 Elementary illustration of Fisher Criterion showing how the projected distributions vary
o
with the projection angle a: (a) unfavorable projection angle a = 5 yields overlapping of
o
Class 1 and Class 2 projected distribution; (b) a more favorable angle a = 35 yields
better separation, but the variance S1 and S2 are still large; (c) optimal projection angle a
o
= 72 yields clearly separated sharp distributions with small variances

We can see from the above figure that as the angle a changes (increases) the means

of the two classes separates, the distribution of the data in the two sets becomes more

sharply which means that the standard deviation of the two means and thus the variance

is smaller.

The mathematical expression for the Fisher criterion for two classes C1 with N1

points and C2 with N2 is derived. A linear projection of the data onto a one-dimensional

space is considered so that an input vector x is projected onto a scalar value y as given by

y = w Tx (3.44)
where w is the projection vector of unit length with adjustable weight parameters as

shown in Figure 3.8.

x2
C1
m1
C2
m2 y

w m2
m1

x1

Figure 3.9 A schematic illustration of the two classes C1 and C2 their mean values and the
projection of the means onto the two axes (Bishop, 1995)
The two means m1 and m2 can be calculated as follows

1 1
m1 =
N1 nC1
x( n ) , m 2 =
N2
x
nC2
( n)
(3.45)

32
where m1 is the mean vector for class C1 and m2 is the mean vector for class C2. The

projected means for the two classes are given by

m1 = wTm1 , m2 = wTm2 (3.46)

Figure 3.8 shows that the two classes C1 and C2 are well separated in the original

two-dimensional space (x1, x2). The projection onto the x1-axis of the two classes gives a

much larger separation for the two projected means m1 and m2 than does projection onto

x2-axis. On the other hand the separation of data projected onto x2-axis is much better

than onto x1-axis due to the different within-class spread of the two classes along the two

axis. The solution proposed by Fisher is to maximize a function, which represents the

differences between the projected class means, normalized by a measure of the within-

class scatter along the direction w (Bishop, 1995).

The within-class covariance of the two classes is given by

(y ) (y )
2 2
s12 = ( n)
- m1 , s 22 = ( n)
- m2 (3.47)
nC1 nC2

where m1, m2, s1, s2, depend on w.

The total within-class covariance for the whole data set is s12 + s22 . By definition the

Fisher criterion can be written as

( m - m1 )
2

F (w ) = 2 (3.48)
s12 + s22
Using Equations (3.45), (3.46), and (3.47) Fisher criterion can be rewritten in the form

w TSB w
F (w ) = (3.49)
w TS W w

33
This expression follows from Equation (3.48) since,

T
(m2 - m1 ) 2 = w T (m 2 - m1 ) w T (m 2 - m1 ) = w TS B w (3.50)

where SB is the between-class covariance matrix, given by

S B = ( m 2 - m1 )( m 2 - m1 )
T
(3.51)
The total within-class covariance is

s12 + s22 = w TS W w (3.52)

where SW is the total within-class covariance matrix and is given by

(x )( ) + (x )( )
T T
(n)
SW = - m1 x(n) - m1 (n)
- m 2 x(n) - m 2 (3.53)
nC1 nC2

The maximum value for F(w) is calculated by differentiating Equation (3.49) with

respect to w, which leads to the following equation

(w S w)S
T
B W ( )
w = w TS W w S B w (3.54)

From Equation (3.54) the optimum vector w that will give the maximum value for

the Fisher criterion is given by

w opt = S -1W ( m 2 - m1 ) (3.55)

In signal theory, this criterion is also known as the signal-to-interference ratio.

Maximizing this criterion will maximize the distance between the means of the two

classes while minimizing the variance within each class.

3.7.1 FISHER CRITERION EXAMPLE FOR TWO CLASSES C1 AND C2

A set of randomly uniform distributed data for two classes C1 and C2 was

generated. The number of points in each class is N = 200. The two sets of data are

presented in Figure 3.9.

34
 Class 1
8 Class 2
mean class 1
mean class 2

0
-2 0 2 4 6 8

-2

Figure 3.10 Two classes of randomly uniform distributed data points

Using Equation (3.45) the mean vectors for the two classes were calculated

0.984 2.269
m1 = , m2 = (3.56)
1.55 6.812
The within-covariance for the two classes were calculated using Equation (3.55)

and the values are

192.964 2.28 213.344 -9.897

S W1 = and S W2 = (3.57)
2.28 179.283 -9.897 179.851
The total within-covariance is
406.309 -7.617
S W = S W1 +S W2 = (3.58)
-7.617 359.135

35
 Using Equations (3.55), (3.56), and (3.58) the optimum projection vector w is

found to be

0.003438
w opt = (3.59)
0.015

The direction of the vector wopt is given by the angle a, which can be calculated, and the

value is

a = 76.858 @ 77 deg (3.60)

3.8 VIBRATION ANALYSIS HEALTH MONITORING SOFTWARE

Successful predictive maintenance programs will enable an organization to reduce

maintenance cost, reduce unscheduled down time, reduce catastrophic failures, improve

safety and decrease maintenance man-hours. The keys to a successful condition-

monitoring program are accurate prediction of machine faults, accurate repair

recommendations, automation (to reduce human error), a refined reporting system and

ease of operation and use. Commercial vendors, realizing the importance of creating

sound maintenance programs, have introduced software programs and products to combat

the high cost and complexities involved with equipment maintenance. In recent years due

to the changes in technology, software now exists that is capable of exploiting vibration

analysis algorithms and data analysis functions, presenting data with a user-friendly

graphical user interface. Broadband and narrowband statistical analysis, complete

spectrum normalization, trending, automatic peak identification, user selectable

warning/alarm level functions are only some of the features offered in vibration analysis

software today. This section will comparatively examine three different packages that

allow vibration analysis, as well as a computer based training (CBT) programs.

36
3.8.1 MOBIUS ILEARN INTERACTIVE

In order to be more effective when monitoring a maintenance program, the end user

should understand the actual signals being collected to properly interpret the results. A

thorough understanding of the relationship between the machine and the characteristics

observed will enable the end user to make educated interpretations. Mobius iLearn

Interactive is a practical and theoretical training tool, useful to anyone interested in

condition monitoring and vibration analysis, regardless of his or her experience in the

field. The CBT is self-paced, incorporating simulations, animations, and samples of real

data and diagnostic requirements creating a realistic, interactive, and valuable learning

tool. The complete curriculum is split into five, non-progressive, separate modules,

which are available, together or purchased separately:

Figure 3.11 Mobius iLearn Interactive

iLearn Vibration condition monitoring and vibration analysis learning is narrated

while the end user interacts with diagrams and simulations.

37
 iLearn Hands-On is a set of vibration measurements taken from a fault test rig.

Over two hundred tests covering dozens of fault conditions are analyzed. Analysis

can be done on the screen or downloaded into the end users data collector.

iLearn Case Histories is a library of spectra and waveforms taken from real

machines. Digital recordings enhance the vibration analysis experience. Analysis

can be done on the screen or downloaded into the end users data collector.

iLearn Signals is a virtual signal generator and spectrum analyzer. This software

program will generate simple signals to teach waveforms and spectra. Advanced

capabilities delve into signal processing.

iLearn Machine Faults allows the end user to model a machine to understand

frequencies. The ease of drag and drop technology enable the end user to create a

virtual machine and view simulated frequencies, waveforms and spectrum.

3.8.2 SPECTRAL VISUALIZATION AND DEVELOPMENT, SVD INC.

SVD Inc. provides free online courses on their web site. The Canadian based

company manufactures vibration analysis software and devices. The courses range from

introductory maintenance philosophies to diagnostic methods. The only requirement for

the end users is a web browser and Macromedias Shockwave plug-ins (available as a

free Internet download). The curriculum currently consists of twelve courses and four are

described below:

38
(a) (b)

Figure 3.12 Vibration analysis software for analysis, training and preventive maintenance: (a)
ExpertALERT from Predict-DLI; (b) SpectraScope CAF from Spectral Visualization and
Development, SVD Inc.

Introduction to Mechanical Vibrations the basic concepts of mechanical vibrations

are presented using a mass-spring-damper example of a vehicle suspension. End

users gain an understanding of mechanical vibration, linear systems and system

resonance while analyzing mechanical vibrations.

Introduction to Machinery Signals the end user is taught the basics of data

acquisition, such as when and how to take measurements, aliasing and the alias

foldover effect, and identifying time and stationary signals. Deterministic stationary

signals and the processes that generate them are covered as well.

Introduction to DSP (Data Signal Processing): Time and Frequency Domain are

two separate courses that are offered by SVD Inc. Data acquisition issues such as

single channel and multi-channel analysis are taught along with unit of measurement.

The concepts of mean, average and correlation, and how they relate to stationary

signals are presented. The basic types of spectral plots and spectral analysis and their

units of measurement are covered in frequency domain along with spectral estimators,

parametric and non-parametric.

39
3.8.3 PREDICT-DLI

Predict DLI provides onsite training at their Cleveland or Seattle training center or

customized training classes for companies interested in setting up their own onsite

training classes. Predict DLI offers training in vibration analysis, lubricant analysis,

thermography with digital imagery and visual inspections with digital imagery. The

vibration curriculum currently consists of three courses described below:

Vibration Analysis I and Machine Balancing is a beginners course for end users

who have little or no experience in vibration data analysis. The course emphasizes

vibration sources and measurement techniques as well as fundamental machine fault

recognition. This course is designed for a practical focus on vibration analysis to

detect major problems.

Vibration Analysis II and Laser Alignment this course is a follow-up to the basic

course described up above. Here emphasis is placed on single channel analysis of

vibration spectra. Problems found in gearboxes and belt driven machines are used for

examples. Alignment tools and techniques are covered to include laser pre-alignment

checks.

Expert ALERT for Voyager is designed for individuals who have purchased

vibration analysis equipment from Predict DLI. Software commands and functions

are discussed as well as analyzing, fine tuning data and manipulation of various

plotting and display functions. Emphasis is placed on setting up the database and

data collection communications and software interface.

40
4 HELICOPTER VIBRATION REDUCTION THROUGH ROTOR

TRACK AND BALANCE (RT&B)

In the military and civil helicopter community, one of the standard procedures

before an aircraft can be airborne and perform its mission is Rotor Track and Balance

(RT&B). The main reason for doing RT&B is to smooth the helicopter hover and in flight

vibrations. A low level of vibration is desired mainly because of the following reasons:

Increase components life: less vibrations induced from the rotor through the main

frame to the main components of the helicopter, will reduce the chances of

incipient damage to occur and hence will extend the life of components.

Increase maneuverability: a low level of vibration due to a good RT&B will make

the helicopter more maneuverable and will give pilots quicker time to react to the

environment in which they are flying.

Increase comfort of the pilots: a less shaking environment for the pilots will

make them more accurate in making decision and will have a reduced impact on

their health.

All the above advantages of a smooth aircraft, will also translate in long-time cost

savings for helicopters operators, increase readiness of the helicopters, and decreased

probability of catastrophic event.

41
4.1 RT&B PROCEDURE

In the military helicopter community, the procedures for RT&B are standardized.

In the Army the equipment used for generating the necessary adjustments is called

Aviation Vibration Analyzer (AVA).

According to the AVA technical manual, there is a sequence that must be

followed when doing RT&B. This sequence is presented in the Table 4.1. Each step in

this sequence is performed separately, as described next.

Table 4.1 Plan test for RT&B (AVA Technical Manual)

Flight Plan Test States Test Condition
GNDTRK FPG 100 100 % NR, Flat Pitch
INITIAL FPG 100 100 % NR, Flat Pitch
Hover Hover
FLIGHT FPG 100 100 % NR, Flat Pitch
Hover Hover
60 Kts 60 Kts Level Flight
80 Kts 80 Kts Level Flight
100 Kts 100 Kts Level Flight
120 Kts 120 Kts Level Flight
140 Kts 140 Kts Level Flight
TAIL FPGTL Tail Balance Flat Pitch, 100 % NR

GNDTRK (Ground Track)

GNDTRK is a ground plan designed to get the rotor in a flyable track prior to

hovering. It consists of one measurement, and it adjusts the pitch links only. It should be

the first test that is performed after any component change or major work on the rotor.

INITIAL

INITIAL is a flight plan performed after the GNDTRK, and will balance the rotor

prior to flight. It will adjust weights to perform this goal.

42
FLIGHT

FLIGHT is a flight plan primarily designed to reduce the in-flight vertical

vibration using tabs only. It is to be used after the GNDTRK and INITIAL flight plans,

when smoothing an aircraft after a component change or for tuning up an aircraft.TAIL

TAIL is a flight plan designed to balance the tail rotor. It uses the optical RPM

sensor and one accelerometer. It should be performed after any rework/replacement of

tail rotor. A RT&B scenario consists of the following operations. First the helicopter

performs on the ground with the blades having a flat pitch at 100 % nominal rotation

(NR) of the main rotor. When the rotor has reached 100 % NR, data is collected from the

two accelerometers placed in the cockpit for measuring the vertical and lateral vibration.

If the vibration level is within the limits, then the next task will be performed. If not, a set

of adjustments will be generated to reduce vibration at FPG 100. After making the

recommended adjustments the rest is repeated.

The next task is hover, when the helicopter takes off from the ground and hovers

above the ground. Data is collected and, if needed adjustments, are made and then the test

is repeated.

After hover, the next task is flight. During this task the aircraft is performing a

forward flight at different air speeds varying from 60 Kts (Knots) to 140 Kts. Data is

collected during the flight and, if the vibration levels are above the allowable values, the

AVA software is used to generate a set of adjustments that will bring the vibration level

into the acceptable vibration domain.

A schematic of the RT&B test plan is presented in the following Figure 4.1:

43
 Flight
Vibration Hover Vibration FPG 100 Vibration
FPG 100 amplitudes amplitudes
amplitudes Hover
60-140Kts

Adjustments Adjustments
Adjustments

Figure 4.1 Schematic of a flight plan for helicopter RT&B

To perform RT&B, the following adjustments can be made:

Pitch link adjustments: brings the blade in track by moving the entire blade up or

down by a specified amount. Pitch link adjustments will affect all the test states.

Trim tab adjustments: consists of bending thin aluminum tabs (pockets) located

on the trailing edge of the blade. The tabs are adjusted up or down with a

specified angle. This will make the blade to go up or down at certain air speeds.

Certain trim tab adjustments are targeting particular air speeds.

Hub weight adjustments: addresses changes in weights locate at the root of the

blade by adding or subtracting a specified amount. It will change the balance of

the blades. It is desired that the blades that are in pairs be balanced in the same

way.

The tasks performed when doing RT&B are as follows:

3. Test equipment installation/checkout

4. Flat track main rotor on the ground

5. Balance main rotor on the ground

6. Track main rotor in flight

7. Balance tail rotor

44
4.1.1 TEST EQUIPMENT INSTALLATION/CHECKOUT

Test equipment installation/checkout refers to all the steps necessary for RT&B

prior to flight and data acquisition. Detailed installation procedure is given for those parts

that are of importance for the safety of the flight.

A typical RT&B setup configuration, illustrated in Figure 4.2, consists of the

following: Data Acquisition Unit (DAU); Universal Tracking Device; Magnetic rpm

sensor; Vertical and lateral accelerometer: Crew Chief Laptop

Universal Tracking Magnetic RPM

Device (UTD) Sensor
Accelerometers

Figure 4.2 RT&B Equipment setup configuration (AVA Technical Manual)

45
4.1.2 FLAT TRACK MAIN ROTOR ON THE GROUND

Track and balance of the main rotor should be performed when any of the

following occurs: one or more blades have been changed; one or more tip caps have been

changed; one or more pitch control rods or rod end bearings have been changed; the main

rotor blades have been removed and the hub has been disassembled. The procedure

consists of:

Preparation: this phase includes equipment installation, applying aircraft power

via the Auxiliary Power Unit (APU), and operate the aircraft at 100% Nr, flat

pitch

Perform GNDTRK measurements: consists of track and vibration data acquisition

and data processing. If measured values exceed specifications recommended

corrections will be performed.To flat track the main rotor on the ground, the main

correction that is performed is the main rotor pitch link adjustment. The main rotor pitch

link assembly is presented in Figure 4.3.

Figure 4.3 Main rotor pitch link adjustment (AVA Technical Manual)

46
 The standard procedure for pitch link adjustment is as follows: first the barrel and

upper rod end needs to be marked with a single vertical line. Next, the upper and lower

jam is loosed. Turn the barrel the amount specified in the smoothing solution provided by

the RT&B algorithm. Last, tighten and secure the jam nuts.

4.1.3 BALANCE MAIN ROTOR ON THE GROUND

The procedure to balance the main rotor on the ground is as follows:

Preparation: first, flat track the main rotor on the ground as described in the

previous section

Perform INITIAL measurement: this consists of track and vibration data

acquisition and data processing. If the measured values exceed specifications

perform the recommended corrections

4.1.4 TRACK MAIN ROTOR IN FLIGHT

Main rotor in-flight vertical tracking should be performed when any of the

following occurs: 1/REV in-flight vibration is unacceptable; changes have been made to

the track of one or more main rotor blades as a result of performing ground tracking

adjustments. The procedure to track main rotor in flight is:

Equipment installation

Perform FLIGHT measurements: when aircraft is at the required test state

(FPG100, Hover, 60 Kts, 80 Kts, 100 Kts, 120 Kts, or 140 Kts) track and

vibration data are acquired. If the measured values exceed specifications perform

recommended corrections To track the main rotor in flight, the adjustments

47
that are mare are the trim tab adjustments. To perform these adjustments a special tool,

presented in Figure 4.4, is used:

Figure 4.4 Tab adjustment tool used to bed the tab of the helicopter blades for RT&B (AVA
Technical Manual)
An example to illustrate the trim tab maneuver is presented next. Suppose that the

recommended adjustments are 1 degree up at pocket 4/10. The tab adjustment tool should

be positioned as indicated in Figure 4.5 along the tab of the blade. The bend should start

at pocket 4 and continue bending up 1 degree through pocket 10.

Figure 4.5 Trim tab pockets for a helicopter blade (AVA Technical Manual).

48
4.1.5 TAIL ROTOR BALANCE

Tail rotor balance should be performed after any rework/replacement of tail rotor

system components or anytime a medium to high frequency vibration is felt in the

aircraft. The procedure is as follow:

Equipment installation: install the vibration measuring equipment and the optical

rpm sensor.

Perform tail measurements: operate aircraft at 100% NR flat pitch; acquire tail

rotor vibration data and process the data. If the results are less than the values

specified for the amplitudes of vibration, no corrections are required. If not

perform the suggested corrections.

4.2 RT&B VIBRATION DATA COLLECTION

The data acquired from the accelerometers mounted on the helicopter structure is

preprocessed in the Data Acquisition Unit (DAU). The resulting data is divided into two

domains: synchronous order domain data (SOD) and asynchronous frequency domain

data (AFD).

For RT&B, the data used is the synchronous order domain. Raw data is acquired

from two accelerometer mounted in the cockpit, one for vertical vibrations and one for

lateral vibrations. The raw data is first preprocessed in the DAU where it is divided into

segments of equal length related to the synchronous signal (tachometer) and averaged

together. The synchronous signal is then transferred from the DAU to the crew chiefs

laptop and then to the ground base station (GBS). On the GBS the synchronous signal is

processed using a neural network. The solution of the neural network is a set of

49
recommended adjustments that will best reduce the vibration level (if high), using a

reduced number of RT&B flights. This process is presented in Figure 4.6:

Recommended
Adjustments

Raw data
Ground Station
SOD data

Crew chiefs
laptop

Data
Raw data desensitizing
SOD data

USC-VMEP
Crew chiefs server
laptop

Figure 4.6 Data flow chart

The synchronous order domain data from the crew chef laptop is transferred to the

VMEP server located at the University of South Carolina, Department of Mechanical

Engineering. During the transfer process data is being desensitize by removing all the

sensitive information. From the VMEP server, each user can download the data of

particular interest, and perform specific analysis on local computers. In this way the

integrity of the data is kept intact and the possibility to alter the data is minimized. For

security reasons the users have been divided into categories and each one of the

categories have specific privileges on the data. The VMEP directory structure for the

VMU data, and the locally stored structure are presented in Figure 4.7.

50
 VMEP Server
VMU Data Directory

Locally stored
VMU data

Figure 4.7 VMU Data storage and directory configuration: on the VMEP server and on the local
computer

4.3 RT&B VIBRATION DATA ANALYSIS

The first task to perform when studying the RT&B vibration data is to identify

which flight is a RT&B flight. In the first phase, this task is done manually by looking at

the different types of files that are stored in a particular flight folder. For example if we

look at Figure 4.8b for the flight ID 1002035095 there are three files: FLIGHT,

FPG100_SOD, and FPG100_TRK. The three files contains the following information:

FLIGHT: general information about the flight that was performed: aircraft type,

flight date and time, mode name

FPG100_SOD: vibration data collected from the three accelerometers located in

the cockpit, nose, lateral and vertical. Amplitude and phase of vibration are

recorded from 1/rev up to 12/rev. The state of the test is flat pitch ground 100

51
 (FPG100) as explained in Table 4.1. Notice that the state of the test is also the

name of the file

FPG100_TRK: track data for the four blades. Also includes general identification

data about the flight

a)

b) c)

Figure 4.8 RT&B test flights identification

A complete RT&B flight is assumed to contain data for all the flight tests, starting

with FPG100 and continue up to 140 Kts air speed, as shown in Figure 4.8c. Based on

this assumption, the RT&B flights were identified and stored separately for further

analysis.

The historical trend for vibration over a period of time is expected to behave as

presented in Figure 4.9. For a smooth helicopter the vibration level is low. As the flight

hours for that particular helicopter increases, the vibration level gradually increases above

the desired level low-vibration. When the vibration level reaches the level of allowable

maximum vibration, it is time for a new RT&B. After the new RT&B is performed, the

vibration level dramatically decreases below the desired level. This process is shown in

Figure 4.9.

52
 Allowable max vibration level

Desired level for low vibration

RT&B RT&B

Figure 4.9 Historical vibration trends.

In our analysis of the vibration data, we tried to see the trend described above. We

looked at the vibration data acquired for one particular aircraft, and for one particular test

state (FPG100) over several months. The results presented in Figure 4.10 represent the

vibration amplitudes versus time. The time is represented by the date in (yy/mm/dd)

format.

RT&B, Vert, 1/rev, FPG 100, AH64_E1

0.45

0.4

0.35

0.3
Amplitude [ips]

0.25

0.2

0.15

0.1

0.05

0
010502 010502 010601 010816 010816 011009
Date

Figure 4.10 Historical trends for vertical vibration for one aircraft and one particular test state,
showing an increased vibration over a couple of months

53
 Figure 4.10 shows that the experimental data collected over a period of time is in

concordance with the theoretical behavior of the vibration level between RT&B flights.

The vibration level is low in the first month, May 02, 2001 (015002) and gradually

increases as time increases eventually crosses the desired level for vibration, which is 0.3

ips (inch per second). We conclude that it might be it time for a new RT&B of the

helicopter to bring down the vibration level below the desired level.

Of interest in the analysis of the vibration data is the polar plot. A polar plot is a

graphical representation of the amplitudes of vibration with respect to a certain phase

angle. Knowing the exact position of the magnetic sensor mounted on the main rotor with

respect to the blades, the location and the blade where the high vibration occurred can be

determined.

Polar plot, Vert, 1/rev, Tail, AH64_D1

0.6 RT&B, Vert, 1/rev, AH64_D1
011005_155459 011004_141920 011005_155459
011004_141920
0.4 0.7

0.6
0.2
120K 0.5
140K Hover
100K
Amplitude [ips]

0 0.4

-0.6 -0.4 -0.2 0 0.2 0.4 0.6

0.3

-0.2
0.2
100K 140K
0.1
-0.4
120K
0
Hover FPG 100 Hover 60K 80K 100K 120K 140K
-0.6 Test state

(a) (b)

Figure 4.11 a) Polar plot for the vibration data between two RT&B flights b) Plot of the amplitude
values for the same flights for all test states.
When looking at a polar plot, there are two things of interest: how spread out the

points are, and how far away from the origin. If we look at the Figure 4.11a we can see

that for the first flight (triangles) the points are scattered and out of the circle that delimit

54
the 0.3 ips vertical vibration level. The VMEP neural network algorithm generates

adjustments that will try to bring the vibration amplitudes towards the origin. After the

recommended adjustments were made, in the next flight (diamonds) we can see how the

points had moved towards the center indicating a low vibration level. The same

information is given in Figure 4.11b where, for the first flight the vibration levels at

hover, 100 kts, 120 kts, and 140 kts are all above the desired level of 0.3 ips. After

making two adjustments, the vibration level decrease dramatically and the result is a

smooth helicopter.

In the analysis performed, we were also interested to see how the RT&B

adjustments will affect the vibration level at different test states. The goal of the RT&B

VMEP algorithm is to bring down the vibration level to a desired limit by using fewer

adjustments and thus less RT&B flights. A reduced number of RT&B flights will

translate into an increase mission capabilities of the helicopter and in cost savings.

RT&B, Vert, 1/rev, AH64_D1

011002_152713 011004_113937 011004_141920

1.6

1.4

1.2

1
Amplitude [ips]

0.8

0.6

0.4

0.2

0
FPG 100 Hover 60K 80K 100K 120K 140K
Test state

Figure 4.12 Plot of vibration amplitudes showing an increased vibration level for the three flights

55
 In Figure 4.12 we can see that the two flights performed on October 2, 2001 and

on October 4, 2001 have a significant increase in the vibration level, especially at high

speeds (80 Kts to 140 Kts). These are strong indicators that a new rotor track and balance

is needed.

RT&B, Vert, 1/rev, AH64_D1

011005_110733 011005_115451 011005_140905

011005_145818 011005_155459
1

0.9

0.8

0.7
Amplitude [ips]

0.6

0.5

0.4

0.3

0.2

0.1

0
FPG 100 Hover 60K 80K 100K 120K 140K
Test state

Figure 4.13 RT&B flights showing how the vibration amplitudes reduces after making recommended
adjustments
After the first set of adjustments the vibration level for 60 Kts, and 80 Kts is below the

desired level for vertical vibration of 0.3 ips. However is still above the desired level for

hover, 100 Kts, and 140 Kts (triangles) as it can be seen in Figure 4.13. The next set of

adjustments brought most test states below the desired level, with the exception of (120

Kts and 140 Kts) (doted line). The final adjustments that were made brought the vibration

amplitudes for all test states to a very low level (blue circle line).

In conclusion, with the VMEP neural network algorithm, it took only three RT&B

flights to bring the vibration level down to a desired low level for vibration.

56
5 VIBRATION-BASED DAMAGE DETECTION/HEALTH

MONITORING METHODS FOR HELICOPTERS

5.1 WAVELET TRANSFORM METHODS FOR HELICOPTER HEALTH

MONITORING

The wavelet transform is a signal-processing tool, which allows both the time

domain and frequency domain properties of a signal to be viewed simultaneously.

Performing a wavelet transform consist of convolving the signal with time shifted and

dilated. The result of wavelet transform will be a set of coefficients, which are function of

time and frequency, also called scale. These coefficients can be used to form a unique

mean square wavelet map, a time-frequency representation of the signal.

Mallat (1988) discovered a recursive algorithm to compute the DWT consisting in

basic wavelet function to form sets of filters, each one consisting of lowpass and highpass

filter. The signal is pass through the first set of filters and the result will be two signal

each with half of number of coefficients as the original signal. The signal formed using

the lowpass filter and thus containing the low frequency information is known an the

approximation, and the second signal formed using the high pass filter and thus

containing the high frequency information is known as the detail. For the second

recursion the approximation is passed through the next set of filters and so on until an

approximation and detail each consisting of one coefficient are formed.

57
 Newland (1993) presented the harmonic wavelet basic function, which is a

smooth wavelet providing high numerically accuracy in signal reconstruction and it is

completely band limited in the frequency domain. A consequence of the above is that

DHWT need not be restricted to octave frequency bands. This form of DWT is known as

the discrete harmonic wavelet packet transformation (DHWPT). The algorithm to

compute DHWPT is the Mallat recursive algorithm and a comparison between the two

algorithms is presented in Figure 5.1

Wavelet Decomposition Wavelet Packet Decomposition

Signal Signal

A1 D1 A1 D1

A2 A2 AA2 DA2 AD2 DD2

A2 D2 AAA3 DAA3 ADA3 DDA3 AAD3 DAD3 ADD3 DDD3

Figure 5.1 A comparison of the DWT algorithm and the DWPT algorithm. Ai is approximation at
level i (low frequency) and Di is detail at level i (high frequency). (Samuel et al., 1998)
Samuel et al. (1998) collected and analyzed data from an OH-58A main rotor

transmission. The test was run at 6060 rpm (100% of the maximum speed), which

resulted in a mesh frequency of 573 Hz, for nine days, eight hours per day at a 117%

design torque as part of an accelerated fatigue test. The results were represented in mean

square DHWPT maps Figure 5.2

58
Figure 5.2 Mean square wavelet maps for day one and day nine. On day nine a significant
increase in the amplitude of neighboring frequency bands is observed as the fault
developed (Samuel et al., 1998)
The mean square wavelet maps clearly shown the presence of the fault in day nine. Using

the normalized power computed for the mash frequency and its accompanying frequency

bands the evolution of the fault from day one to day nine is presented in Figure 5.3.

Figure 5.3 Average normalized power index (Samuel et al., 1998)

Kim and Ewins (1999) applied the directional harmonic wavelet transform

(DHWT) to investigate the transient vibration response using a numerical simulation of a

rotor system during the run-up period with a speed ramp rate of 100[rpm/sec] for the case

59
of a rotor with 10% crack (transverse) depth relative to its diameter. To validate the

advantages of DHWT, short-time Fourier transform (STFT) has been applied to the same

set of data (noise contaminated signal) and the results are presented as follows:

Figure 5.4 a) Directional spectrogram: 10% crack with 5 % noise; b) Directional harmonic wavelet
map: 10% crack with 5% noise (Kim and Ewins, 1999)
The results presented in Figure 5-4 reveal the advantage of DHWT over the STFT,

because the results from DHWT are insensitive to the random noise while the STFT

provides noise-contaminated results (Kim and Ewins, 1998).

5.2 JOINT TIME-FREQUENCY WIGNER-VILLE DISTRIBUTION ANALYSIS

TECHNIQUES FOR HELICOPTER HEALTH MONITORING

Polyshuchuk and Choy, (1998) used the WVD techniques, introducing a new

parameter NP4, to experimental data obtained from a helicopter tail gear transmission.

The damage introduced is a single-tooth damage in the tail gear. Figure 5.5 shows the

WVD and the instantaneous power plot for an undamaged gear. The two large

components are the first and second harmonics of the gear-mesh frequency. The WVD

and the instantaneous power plot for a damaged gear are shown in Figure 5.6

60
Figure 5.5 Accelerometer data for an undamaged gear. (Polyshchuck et al., 2000)

Figure 5.6 Accelerometer data for damaged gear (Polyshchuck et al., 2000)
Those results proved that the use of WVD could be a good tool in fault detection and

failure prevention.

61
5.3 NEURAL NETWORK-BASED AND NEURO-FUZZY METHODS FOR

HELICOPTER HEALTH MONITORING

Monsena and Dzwonczyc (1995) proposed a hybrid (digital/analog) neural system

as an accurate off-line monitoring tool used to reduce helicopter maintenance costs, and

an all analog neural network as a real time helicopter gearbox fault monitoring. The

hardware platform used is an analog neural network platform, Integrated Neural

Computing Architecture (INCA/1). The vibration data were generated using an

intermediate gearbox known as the Hollins TH-1L 42-deg tail rotor. Vibration data was

recorded from two Endeveco 2220C accelerometers. A low pass filter with a cutoff

frequency of 10 kHz was applied when data was generated. The main objectives of the

hybrid and analog neural network are: fault detection, fault classification and fault

identification. A comparison between the capability of the hybrid neural network to

detect faults and the analog neural network is presented in Figure 5.7 and Figure 5.8.

Figure 5.7 Hybrid system, fault detection performance. 60-point discrete Fourier transform (DFT)
was performed for fault detection, 128-point and 256-point DFT for fault identification.

62
Figure 5.8 All analog system performance. For fault detection in the case of all analog neural
network. 60-point DFT was performed (Monsena et al., 1995)
The results indicate that a system employing 60-point DFT was capable of solving the

fault detection problem. For the fault classification and identification problem, a 256-

point DFT was required for perfect system performances. The performance results by

using the all analog neural network suggest that it is possible to achieve 100% fault

detection with 0% false alarm rate.

Essaway et al. (1998) presented an automated predictive diagnosis (IPD)

technique for monitoring the health of helicopter gearboxes. This technique is based on

neuro-fuzzy algorithms for pattern clustering, pattern classification, and sensor fusion

(Cho, 1997). The vibration data used was obtained from an aft main power transmission

of a CH-46E helicopter. Frequency domain and wavelet analysis techniques were used to

analyze the data and prepare them for the neural network inputs. To train the neural

network, a non-supervised learning algorithm known as Self Organizing Maps (SOM)

was used. A feedforward backpropagation neural network was used to classify the

different faults. In the preprocess part of the vibration data, both auto power spectral

63
density (APSD) and wavelet coefficients were used [12]. A list of the fault types is

presented in Table 1.

Table 5.1 List of the fault types created in the test gearbox (Essaway et al., 1998)
Fault # Fault type Fault # Fault type
Fault 2 Planetary bearing corrosion Fault 6 Helical idler gear crack
propagation
Fault 3 Input pinion bearing corrosion Fault 7 Collector gear crack
propagation
Fault 4 Spiral bevel input pinion Fault 8 Quill shaft crack propagation
spalling
Fault 5 Helical input pinion chipping Fault 9 No defect

The results obtained using the first feature extraction method (129 points APSD) and

second extraction method (wavelet transform) are promising and they are presented in

Table5.2 and Table 5.3.

Table 5.2 Neural Network Classification results using APSD features at 100% load (Essaway et
al., 1998)
Fault Load Acc1 Acc2 Acc3 Acc4 Acc5 Acc6 Acc7 Acc8
Fault 2 100% Train 100% 100% 100% 100% 100% 100% 100% 100%
Test 100% 100% 100% 100% 100% 100% 100% 100%
Fault 3 100% Train 100% 100% 100% 100% 93.3% 90% 100% 100%
Test 100% 100% 100% 100% 90.9% 100% 100% 100%
Fault 4 100% Train 100% 100% 100% 100% 86.7% 100% 100% 100%
Test 100% 100% 100% 100% 81.8% 100% 100% 90.9%
Fault 5 100% Train 100% 100% 100% 100% 70% 93.3% 100% 96.7%
Test 100% 100% 100% 100% 72.7% 100% 100% 100%
Fault 6 100% Train 100% 100% 100% 100% 80% 76.6% 100% 100%
Test 100% 100% 100% 100% 27.3% 90.9% 100% 100%
Fault 7 100% Train 100% 100% 100% 100% 100% 93.3% 100% 100%
Test 100% 100% 100% 100% 100% 90.9% 100% 90.9%
Fault 8 100% Train 100% 100% 100% 100% 96.7% 83.3% 100% 100%
Test 100% 100% 100% 100% 81.8% 63.6% 100% 100%
Fault 9 100% Train 100% 100% 100% 100% 90% 93.3% 100% 100%
Test 100% 100% 100% 100% 63.6% 100% 100% 81.8%

64
Table 5.3 Neural network classification results using wavelet features (Essaway et al., 1998)
Accelerometer# Fault2 Fault3 Fault4 Fault5 Fault6 Fault7 Fault8 Fault9
Acc 1 100% 100% 66.67% 100% 100% 100% 100% 88.89%
Acc 7 (14x14 SOM) 100% 88.89% 88.89% 100% 100% 100% 100% 100%
Acc 7 (9x9 SOM) 100% 88.89% 44.44% 100% 100% 100% 100% 100%

From the above results it can be seen that the neuro-fuzzy technique using both APSD

and wavelet transform, even though classification results was not perfect for all sensors,

produced 100% classification for all cases.

65
6 HELICOPTER HEALTH AND USAGE MONITORING

SYSTEMS (HUMS)

6.1 WHAT IS HUMS?

In the past 10 years, the movement for Health and Usage Monitoring Systems

(HUMS) has become a hot topic in the helicopter community. This movement started in

the United Kingdom with systems being fitted to helicopters operating in hostile

environment of the North Sea. The driving force for behind the introduction of such

systems has been the need for improved helicopter safety and reliability. The HUMS are

providing valuable information about the health of the helicopters engines, drive train

and rotor systems. According to the UK Civil Aviation Authority (CAA), 63

airworthiness related arisings were detected on the North Sea helicopters, where an

arising is defined as an event, which has led to significant maintenance actions. The

installed HUMS detected 70% of these arisings (Larder, 1999).

Some of the HUMS characteristics and benefits as described in literature, are

listed below (Larder et al., 2000):

Health: focus on giving early indications of potential problems for maintenance-

planning purposes

Usage: manage the usage of the aircraft and controls life-expired component

replacement

66
 Monitoring: main focus is directed toward providing diagnostic and prognostic

data for future maintenance actions

Information: HUM systems will convert monitoring data into information to

facilitate the management and maintenance of the helicopters

Integrated: HUMS will be an integral part of the aircraft maintenance and logistic

system, and the HUMS outputs will be fully integrated into the aircraft

maintenance policy

Due to some time and resources related restriction, civil operators have not been able

to gather cost related data to prove the benefits of HUMS. However there is no doubt that

HUMS is providing worthwhile maintenance benefits. A few of these benefits as

described by Larder (2000) are:

- Simplified rotor track and balance procedures and reduced RT&B flights;

- Reduced airframe vibration levels, resulting in fewer avionics faults and other

faults, and hence less maintenance and downtime;

- More pro-active maintenance as a result of being able to track the developing

trends of HUMS indicators and take appropriate actions in a timely manner;

- Better targeted maintenance as a result of more accurate exceedance

information and improved troubleshooting; reduced disruption to operating

schedule due to unscheduled maintenance and aborted flights

6.1.1 VIBRATION HUMS PROGRAMS

JAHUMS ACTD (Joint Advanced Health and Usage Monitoring System

Advanced Concept Technology Demonstration) is a joint Army/Navy program

that is intended to generate a dynamic change in the maintenance philosophy. The

67
 program is sponsored by Army/Navy, and the main contractor is Goodrich

Aerospace. The objective is to demonstrate the utility of advance HUMS

technology in an operational environment and to demonstrate and validate on

open systems approach for technology insertion (Haas et al., 2000)

VMEP (Vibration Management Enhancement Program). The US Army and

South Carolina Army National Guard have developed an automated vibration

monitoring and fault diagnostic tool used to find faults in the helicopter rotors,

engines, and drive train. The main contractor is Intelligent Automation

Corporation (IAC). The goal of the system is to reduce unscheduled maintenance

and the total number of maintenance test flights required to complete maintenance

activities (Grabill et al., 2001)

HOMP (Helicopter Operations Monitoring Program) is a version of a

commercial-airline Operational Flight Data Monitoring (OFDM) program that

enables proactive safety intervention based on analysis of exceedances and trends

in flight data obtained on a routine basis from line operations. The main

contractor is Stewart Hughes Ltd. The program improves safety by continuously

monitoring operations, detecting adverse trends in operational behavior, and

detecting weaknesses in crews and aircraft (Larder and Norman, 2000)

IMD HUMS (Integrated Mechanical Diagnostics Health and Usage Monitoring

System). This project is a Stage I prototype demonstration under the Office of the

Secretary of Defenses (OSD), Joint Dual use Program Office Commercial

Operations and Support Savings Initiative (COSSI). The main contractor is

Goodrich Aerospace. The goal of the IMD HUMS project is to integrate and test a

68
 commercial/military dual use mechanical diagnostic system on the H-53 and H-

60 helicopters (Hess et al 2001).

TAIMS (Teledynes Aircraft Integrated Monitoring System). TAIMS is a

program designed specifically for monitoring small to medium size helicopters.

The main contractor is Teledyne Controls. TAIMS provides operational usage

monitoring and recording, flight analysis, incident investigation and crew

performance tracking-with the principal goal of reducing operational cost and

increasing flight safety.GenHUMS Generic HUMS,. A multi-aircraft generic

health and usage monitoring system using field proven, off-the-shelf, airborne and

ground-base technology, offered by Smiths Industries Aerospace under

sponsorship of the UK Ministry of Defense. The GenHUMS is intended to

improve airworthiness, improve reliability, and reduce aircraft cost of ownership

by detecting and diagnosing potential and actual failures, monitoring usage, and

providing alerts for potential maintenance actions (Trammel et al., 1997).

6.1.2 CURRENT HUMS PRODUCTS

Bell Helicopter HUMS Teledyne Controls

Bell, Teledyne Controls, and Stewart Hughes have developed the 412 Bell

HUMS. The 412 Bell provides the essential tools for reducing direct operating costs,

enhancing safety and improving availability.

The key features of the 412 Bell HUMS are: flight data recorder crash survivable

memory; stand-alone or network configuration; health monitoring/early fault detection on

dynamic components; vibration monitoring of the drive train and engines; fully

integration of the Rotor Analysis and Diagnostic System-Advanced Technology (RADS-

69
AT) rotor track and balance system, including rotor fault diagnostic; monitoring and

capturing of aircraft limit exceedances; electronic log book data, including power

assurance; power assurance check.

The potential benefits of the 412 Bell Hums can be listed as follows: reduced non-

revenue maintenance flights; insurance savings; log book accuracy; reduced false

removals; reduced helicopter maintenance; reduced mission aborts.

The configuration of the 412 Bell helicopter HUM system is presented in Figure

6.1. The system architecture can be divided into to parts: on-board equipment and

ground-based equipment.

Figure 6.1 HUMS installation on Bell 412 helicopter

The vibration data acquired from the accelerometers, and data from the Air Data

Computer are stored in the HUMS Processor Unit. Pilots have the possibility at any time

70
to monitor the functionality of the helicopter using the HUMS Display Panel. Optional

the data can be stored on a solid state Cockpit Voice and Flight Data Recorder.

After landing the helicopter, data can be transferred from the HUMS Display

Panel through a PC card to the HUMS Ground Station, or from the Processor Unit to the

HUMS Ground Station through the HUMS Data Retrieval Unit. From here, the data is

then processed and analyzed.

The number of sensors and data sources on the Bell 412 helicopter HUMS are:

accelerometers up to 30 per aircraft; tachometers up to 5 per aircraft; chip detectors; air

data recorder; engine, gearboxes and rotors vibration.

A typical installation diagram for Bell 412 HUMS showing the location of the

sensors, and the data collecting and display hardware is presented in Figure 6.2.

Figure 6.2 Sensors location on Bell 412 Helicopter

71
 Other HUMS products developed by Teledyne Controls and Stewart Hughes

currently in service in North America, Europe, Australia and Southeast Asia, are: North

Sea HUMS, EuroHUMS and AHUMS.

IMD HUMS Goodrich Aerospace

The IMD HUMS system developed by Goodrich Aerospace provides an extensive

set of functions for rotorcraft health and diagnostics. These functions support RT&B

operations, gearbox and drivetrain mechanical diagnostics, operational and structural

usage, exceedance detection and processing and engine power assurance checks (Hess et

al., 2001).

The typical IMD HUMS functions are: engine performance assessment (EPA);

rotor track and balance; absorber tuning using the vibration information collected from

the accelerometers mounted in the cabin; mechanical diagnostics of the vibration data

acquired from the drivetrain; exceedance monitoring; usage monitoring.

The hardware consist of the Data Transfer Unit and Cockpit Display Unit (DTU

& CDU), the Main Processor Unit (MPU), and the Remote Data Concentrator (RDC) as

shown in Figure 6.3.

72
 (a) (b)

Figure 6.3 IMD HUMS hardware configuration; (a) Main CH-53E IMD HUMS display; (b) Location
of the IMD HUMS on the Army UH-60A (Hess et al. 2001)
The IMD HUMS is composed of two major elements: the on-board acquisition

and process system (OBS) and the ground station (GS).

The On-Board System is responsible for collecting, processing, analyzing, and

storing data obtained from sensors located throughout the aircraft. The principal element

of the OBS is the Main Processing Unit (MPU), which analyzes the input data for

exceedances and events, calculates various flight regimes, performs various diagnostic

algorithms, and stores the data to an onboard data cartridge. The Remote Data Collector

(RDC) is another element of the OBS system. It is used for the aircraft that do not support

modern avionics bus communication to collect the data from the sensors.

The Ground Station (GS) is the primary user interface with the HUMS system. It

is responsible for logging and maintaining all flight and maintenance data, generating

maintenance-due lists based on flight data, performing aircraft configuration and pars

tracking, generating engineering and managements reports, and archiving data (Hess et

al., 2001).

73
 The IMD HUMS program is currently in progress on the Navy CH-53E, and the

Navy SH-60B. The CH-53E IMD HUMS was transitioned from development test into

operational test phase. It completed a 97 hours development test program in 2000 with

emphasize on functional evaluation and demonstration of IMD HUMS. The SH-60B

IMD HUMS transition from the development test phase to the operational test phase was

scheduled to occur in the 3rd and 4th quarter of 2001.

Other IMD HUMS programs will target the Army UH-60A and HH-60L, the

Marines AH-1Z and the UH-1Y.

VMEP South Carolina-Army National Guard

The VMEP system was intended primarily as an aid to the Army aviation

maintainer. The goal is to reduce unscheduled maintenance and the total number of

maintenance test flights required to complete maintenance activities. The intent of the

system is to capture, during operational flights activities, the vibration environment of the

major components of the helicopter. The vibration data is analyzed by the embedded

system to produce a set of specific machinery health indicators. These indicators are

stored for post flight use by the aircraft maintainers. Maintenance action are correlated to

these health indicators and communicated so that actions can be scheduled (Grabill et al.,

2001)

The VMEP functions are:

Rotor smoothing also known as Rotor Track and Balance (RT&B), which, is a

function that minimizes the fundamental harmonic of main rotor and tail rotor

vibration. Adjustments for weight, trim tab and/or pitch link length are provided.

74
 Drive Train Diagnostics accelerometers measurements for all drive train

components are provided. The components that can be monitored include:

transmission, auxiliary drives, tail-rotor drive shaft hangar bearings, intermediate

gearbox, and tail rotor gearbox. Classical machinery monitoring algorithms are

applied to the acquired accelerometer data.

Vibration Survey is a function available for diagnosis of abnormal vibration

measurements made with the installed transducers.

These functions are shown in Figure 6.4

Smart Rotor Vibration

Smoothing Management Unit
Algorithms (VMU)

Gear and Drive Engine Vibration

Train Monitoring Health Monitoring

Figure 6.4 VMEP functions

The goals and objectives of the VMEP program are as follows: to reduce rotor

track and balance maintenance test flights; mitigate Apache Readiness Improvement

Program (ARIP) problems; reduce aircraft operation costs; increase aircraft availability;

increase aircraft safety.

To achieve the above stated goals and objectives, the methods and approach used

in the VMEP program are: to measure and record in-flight vibrations, process vibration

75
data, apply signal analysis methods and identify hot-spots, fine-tune track and balance

to reduce vibrations, and identify incipient failures and anticipate maintenance actions

The design and impact of the VMEP system on the aircraft must be minimal. The

requirements are to provide a system with open architecture, using Commercial off-The-

Shelf (COTS) hardware components and COTS software components. The key features

of the VMEP program are:

PC based software for at-Aircraft Diagnostics

Data Downloaded via serial link from VMU to PC-GBS

Software can run on SPORT or any laptop / desktop computer

Data at-Aircraft used for Rotor Smoothing and vibration diagnostics

Neural Network algorithms calculate optimum adjustments to reduce rotor

vibrations

Data can be transferred from Laptop/SPORT to Facility Computer for status

monitoring

Data can be transferred to WEB-GBS for long term trends and aircraft

comparison

6.2 VMEP HUMS CONFIGURATION AND VIBRATION DATA COLLECTION

6.2.1 VMEP HUMS CONFIGURATION

The VMEP HUMS consist of two systems, the On-board System and the PC

Ground Base Station (PC-GBS).

On-board System includes the accelerometers, tachometers, cables, and various

sensors that are connected to the Vibration Management Unit (VMU). The VMU is fully

76
integrated and qualified with the Army airframe. The VMU is a stand-alone system that

does not depend on, or adversely interact with, any other system on the aircraft. On the

helicopter airframe there are 18 accelerometers mounted, three tachometers and a blade

tracker.

The VMU is a lightweight acquisition and processing unit, open architecture

hardware and software, which provides a low cost, easily upgradeable system for on-

board diagnostic such as rotor track and balance, drive train vibration monitoring, turbine

engine diagnostics, and gear box monitoring. The total weight of the VMU is 4 lbs and 5

oz. Figure 6.5 shows a picture of the VMU.

Figure 6.5 Vibration Management Unit

The VMEP on-Board configuration and location of the sensors and tachometers is

presented in Figure 6.6

77
Figure 6.6 VMEP configuration for AH-64A

Figure 6.7 Pictures of the accelerometer mounted on different components of the helicopter

78
 PC-Ground Based Station (PC-GBS) uses a Windows based software that

receives measured data from the on-board system, stores this data into a database and

performs analysis of the data producing easy to understand corrective actions for the

maintenance personnel. The PC-GBS is also designed to operate on any computer with a

Pentium 133 MHz or faster processor. The PC-GBS transfers the aircraft data from the

VMU for at-aircraft maintenance. The PC-GBS uses a neural network based rotor

smoothing algorithm to calculate the maintenance actions required to optimize the rotor

1/rev vibration levels.

Diagnostic algorithms are used to automatically analyze the acquired vibration

data to provide a comprehensive indication of the health of the aircraft machinery such as

engine, drive-shafts, gearboxes, bearings, pumps, and generators (Grabill et al., 2001).

Figure 6.8 PC-GBS Screens

Figure 6.8 shows a few screens from the PC-GBS. The user-friendly interface

requires the user a minimum training to operate the software and perform the basic

functions without any prior expertise in rotor track and balance and vibration analysis.

79
6.2.2 VMEP HUMS VIBRATION DATA COLLECTION

The data collection process starts in the cockpit when the pilot/copilot interacts

with the VMU by selecting a data collection MODE and aircraft STATE and

pressing the data collection DO button. An indication of the status of the data

acquisition process is provided to the operator via the cockpit display.

After completion of the flight the vibration data stored in the VMU is transferred

via the crew chief laptop to the PC-Ground Based Station (PC-GBS) as shown in Figure

6.9.

Raw data Raw data Raw data

Data Desensitizing

Ground station

USC Teradata Computer

Figure 6.9 Vibration data flow diagram showing downloading of data from the VMU to the ground
station and further to the USC teradata computer
From the PC-GBS the data will be transferred to USC for cost benefit analysis.

Before transfer, the data is being desensitized to eliminate sensitive operations-related

components. After the desensitizing process is complete, the vibration data is transferred

80
to the USC teradata computer. From the secured server the data can be utilized by various

end users to perform specific analysis. It is important to mention that the raw data from

the VMU stored on the USC teradata computer is protected against any kind of

accidentally pollution of the data, i.e. deleting data or adding data, by hierarchiezd access

levels of the users.

6.3 VMEP HUMS VIBRATION DATA ANALYSIS

The first step when dealing with the vibration analysis of complex machinery like

helicopters is to devide the whole assembly into components, and to identify the main

vibration features of each component. Using the mechanical drive schematic presented in

Figure 6.10, the major vibration sources can be identified: gear-clashing tones, bearing

frequencies, shaft frequencies and structural natural resonances.

Figure 6.10 AH-64A Mechanical Drive Schematic

81
 Based on the information furnished by the mechanical drive schematic, the shaft

frequencies and the mesh frequencies of the components can be calculated. A list of the

components and their frequencies for the AH-64A mechanical drive system is presented

in Table 6.1.

Table 6.1 Shaft frequencies and mesh frequencies for the main components of the mechanical
drive shaft of AH-64A helicopter
Gearbox Component rpm/ Mesh Frequency Shaft Freq
nr. of teeth Hz Hz
Tail Gearbox shaft1 3636 1333.2 60.6
gear1 22
Intermediate Gearbox tail rotor drive shaft 4815.25 2969.4 80.3
gear 37
#1 & #2 Nose Gearbox shaft 20952 10825.2 349.2
gear 31
shaft 9841 10661.1 164.0
gear 65
#1 & #2 Engine shaft 20952 349.2
Hydraulic Pump hydr. pump shaft 12635 6738.7 210.6
gear 32
AC Generator AC gen shaft 12251 6738.1 204.2
gear 33
Aft & Fwd Hanger Bearing tail rotor drive shaft 4815.25 0.0 80.3

APU APU shaft 8251 6738.3 137.5

gear 49
Main transmission shaft2 4757 6501.2 79.3
gear 82

Having this information, the spectral analysis of the vibration data recorded by

particular sensors is possible. In the frequency spectra, each component can be easily

identified using its characteristic frequency. Changes in the frequency spectra at certain

frequencies can be an indication of a wear process, or of the initiation of a failure process.

Monitoring changes in the frequency spectra can give indication about the life and health

of the components being monitored.

Diagnostics algorithms that are embedded into the VMEP software generate

Condition Indicators (CI) based on known information about rotational speed,

mechanical construction, as well as on information on the structural vibration or acoustic

82
resonance of the system. A condition indicator uses a set of measured data as input and

produces a single real number as output. This single number can be thresholded, trended,

or analyzed, to provide an indication a fault presence, the location and the type of the

fault.

6.4 VMEP HUMS FEATURE EXTRACTION

The data downloaded from the Vibration Monitoring Unit (VMU), is of two

types: synchronous order domain data (SOD) and asynchronous frequency domain data

(AFD). In the SOD data file are stored twelve vibration amplitudes acquired from three

sensors, nose, lateral and vertical located in the cockpit of the helicopter. The 12

vibration amplitudes correspond to the rotor frequency, 1/rev up to 12/rev. The AFD data

file contains 400 data points for a frequency range from 0 to 1000 Hz. The data is

collected from 18 sensors. The location of sensors is presented in Figure 6.6.

The feature investigated in the present work is the amplitude of the frequency of

particular components. As mentioned in section 6-3, the rotational speed for each rotating

component was identified and the corresponding frequencies were calculated. The mesh

frequencies of the major assemblies were also calculated.

By plotting the vibration information from each sensor in the frequency domain, a

frequency spectrum is generated where the components can be identified based on their

own frequency.

Because there is no baseline to compare with the data collected from the

accelerometers, first we tried to look on how the frequencies of the components modify

in time and so to establish a baseline. To do so we identify the variables that are part of

83
the feature extraction as being: aircraft ID, state status, and the sensor. Base on these

variables the following two cases were analyzed:

Case 1: same aircraft, same state, and same sensor

Case 2: different aircraft, same state, and same sensor

6.4.1 CASE 1: SAME AIRCRAFT, SAME STATE, AND SAME SENSOR

As Figure 6.11 and Figure 6.12 show, the main frequencies of the components

and their harmonics can be clearly identified in the frequency spectrum. The

abbreviations used in these plots are: tail rotor drive shaft (TRDS), engine drive shaft

(EDS), and drive shaft (DS).

Tail Gearbox

E1_988820742 FL_010502_122600 E1_988855674 Fl_010502_220812 E1_991416342 Fl_010601_132610

E1_997985420 Fl_010816_141038 E1_997986362 Fl_010816_143003

0.6
80.3 Hz
TRDS

0.5

0.4
Amplitude [g's]

0.3
164 Hz
408 Hz
Input DS 591 Hz
2 nd overtone of
7th overtone of
AC Generator
0.2 TRDS
490 Hz
3rd overtone of
Input DS
0.1

0
0 100 200 300 400 500 600 700 800 900 1000
Frequency [Hz]

Figure 6.11 Frequency spectrum for the tail gearbox sensor for the same aircraft, same test state
(FLIGHT), and the same sensor.
Both, Figure 6.11 and Figure 6.12 shows that the amplitude of vibration for the

components is changing over time. After sufficient data has been collected a baseline for

the allowable amplitudes of the vibrations can be establish and each frequency can be

84
compared to the baseline. If damage will occur in any of the components being

monitored, the frequency spectrum will change and looking at the frequency at which the

change is present, the component can be identified and appropriate maintenance action

can be taken.

Intermediate Gear Box

E1_988820742 E1_988855674 E1_991416342 E1_997985420 E1_997986362

80.3 Hz
2.5 TRDS

2
Amplitude [g's]

1.5

1
164 Hz 325 Hz 975 Hz
Input DS EDS 3 rd overtone of
408 Hz EDS
0.5 2 nd overtone of AC
Generator

0
0 100 200 300 400 500 600 700 800 900 1000
Frequency [Hz]

Figure 6.12 Frequency spectrum for the intermediate gearbox sensor for the same aircraft, same
test state (FLIGHT), and the same sensor.

6.4.2 CASE 2: DIFFERENT AIRCRAFT, SAME STATE, AND SAME SENSOR

The second case considered is to analyze the vibration data for the same test state,

the same sensor but different aircraft. By doing so we are interested to see if the

frequency spectrum for each sensor is changing from one aircraft to another aircraft and

if so how does it change.

Figure 6.13 and Figure 6.14 show that the frequency spectrum for the two sensors

considered is not changing (shifting of main frequencies), except for changes in the

amplitudes of the vibrations.

85
 #1Nose Gearbox

S1_989075061 B1_1001517808 H1_1003954857 L1_1004623237

3
700 Hz
2 nd overtone of
Engine Drive
Sh ft
2.5

2
Amplitude [g's]

656 Hz
4 th overtone of
1.5 Input Drive Shaft
350 Hz
EDS

1
534 Hz
164 Hz 3 rd overtone of
Input DS Fuel Boost Pump
0.5

0
0 50 100 150 200 250 300 350 400 450 500 550 600 650 700 750 800 850 900 950 1000
Frequency [Hz]

Figure 6.13 Frequency spectrum for the #1 nose gearbox sensor for the same sensor, same test
state (FLIGHT) but different aircraft.

Intermediate Gearbox

S1_989075061 D1_1002050757 F1_1005231900 J1_1003879568 P1_1003506805 S1_989075061

4
80.3 Hz
TRDS
3.5

2.5
Amplitude [g's]

803 Hz
1.5 10 th overtone of
TR Driveshaft

1 241 Hz 883 Hz
3 rd overtone of 11 th overtone of
TR Driveshaft 405 Hz
23.5 Hz 5 th overtone of TR Driveshaft
0.5 TR 1/rev TR Driveshaft

0
0 50 100 150 200 250 300 350 400 450 500 550 600 650 700 750 800 850 900 950 1000
Frequency [Hz]

Figure 6.14 Frequency spectrum for the intermediate gearbox sensor for the same sensor, same
test state (FLIGHT) but different aircraft

86
7 DAMAGE DETECTION OF A SIMULATED CRACK USING

SHORT TIME FOURIER TRANSFORM AND WIGNER-VILLE

DISTRIBUTION

Currently many digital signal-processing techniques are being developed and

applied to fault detection and machine-health diagnosis. The signal processing methods

for machine-health diagnosis can be classified into time-domain analysis, frequency

domain analysis, and joint time-frequency analysis.

Forced oscillation diagnostic method with non-stationary excitation and variable

frequency is presented. This method was investigated theoretically and experimentally

using only Short Time Fourier Transform (STFT). The spectral analysis developed for

stationary processes is not localized in time, thus it becomes inappropriate for a

physically meaningful description of signals from non-stationary processes. Based on

these arguments a new approach is considered for machine health diagnosis for non-

stationary signals, namely Wigner-Ville distribution (WVD). An extensive work was

done in the past years by various authors using WVD mainly for gearboxes diagnostics

and prognostics, with encouraging results. Only a few work has been done using WVD

for crack detection, therefore not too many results are available.

87
 The purpose of this work is to perform a comparison between diagnostic features

based on the new WVD approach and the traditional power spectral density (PSD) of the

short time Fourier, transform for fatigue crack diagnostic.

7.1 DYNAMIC MODEL OF A CRACKED OBJECT

The basis for using the forced oscillation method for the fatigue crack diagnostics

lies in the fact that in a cracked object the stiffness is nonlinear and the nonlinearity level

changes with the crack size (Gelman et al. 2000). Assuming that the object under analysis

can be approximated with a single degree of freedom nonlinear oscillator, the equations

of motion can be expressed as follows (Bouraou and Gelman, 1997):

X&& + 2z Sw S X& + w S X = A sin(w f t + j ), x 0,

(7.1)
X&& + 2z w X& + w X = A sin(w t + j ), x < 0,
C C C f

x
where X = , x is displacement, m and c are the object mass and damping coefficient
m

respectively, k S and k C are stiffness at stretching (crack opening) and compression

(crack closing), z S and z C are damping ratios

kS k c c
wS = , wC = C , z S = , zC = . (7.2)
m m 2 kS m 2 kC m
At compression, the crack is closed and the material behaves like a continuum;

hence, the compression stiffness is the same as that of the material without crack,

kC = k
At stretching, the crack is opened and the material is discontinuous, therefore the stiffness

decreases with the quantity:

88
 Dk = k - k S
as shown in Figure 7.1

Stretching

a h

Crack opening

Compression

Crack closing

Figure 7.1 Stretching and compression of the cracked object. In stretching crack is opening and in
compression crack is closing

a Beam with crack

h

Crack opening under

bending

Crack closing under

reversed loading

Figure 7.2 Opening and closing crack under bending loading

89
 For the axial loading case considered in the present work, the stiffness change due

to the crack is related to the width of the object (cross section area) hence the linear

approximation holds. For bending, the linear approximation is not true anymore, the

stiffness change being proportional to the width of the object raised to the power of three

(moment of inertia).

The variables w f and j are the constant excitation frequency and random initial

phase (Gelman et al. 2000). The random initial phase is uniformly distributed in the

interval [0; 2p ] . The frequency of the cracked object depends on the crack size a

w s2 a
2
= 1- = 1- r (7.3)
wc h
where r is the relative crack size,

a
r= (7.4)
h
The period of oscillation for the cracked object is given by:

2p T1 T2 1 2p 1 2p p p
T= = + = + = + (7.5)
w 2 2 2 ws 2 wc ws wc
Hence,
w S wC
w =2 , (7.6)
w S + wC
Using Equation (7.3) the frequency of the cracked object becomes:
2 1- r
w =w n (7.7)
1+ 1- r
k
where w n is the natural frequency of the un-cracked object, w n = , and r is the
m

relative crack size.

90
 The relation between the frequency and the relative crack size is shown in Figure

7.3. As the crack size increases the frequency of the structure decreases, as a consequence

of the change in stiffness.

Frequency of cracked object

25

20
Frequency [Hz]

15

10

0
0 0.2 0.4 0.6 0.8 1
Relative crack size [%]

Figure 7.3 Frequency change as the crack progresses

91
7.2 DAMAGE DETECTION STRATEGY

The damage detection strategy used in the present work is based on the forced

oscillation response and spectral analysis features. Crack presence in the structure

modifies (decreases) the effective stiffness and hence the main frequency as shown in

Figure 7.4. In addition, the nonlinear character of the equations leads to parametric

resonances, which appear as additional features in the frequency spectrum. Higher order

harmonics of the main frequency will be present in the frequency spectrum.

Main frequency
1st and 2nd harmonic
of main frequency

Figure 7.4 Additional features present in the frequency spectrum

The stiffness and the nonlinearities also change with the crack size. In our

investigation, we tracked the main frequency changes for increasing relative crack size (r

= 0, 0.1, 0.4, 0.6). For each relative crack size, the nonlinear time-response signal was

generated using numerical solution of Equation (7.1). The, the power spectral density

(PSD) of the signal was computed using two methods: (a) short time Fourier transform

(STFT); and (b) Wigner-Ville distribution.

92
 After computing the power spectral density (PSD), the peaks in the frequency

spectrum were observed. Changes in amplitude magnitude, shifting of the main

frequency, and apparition of higher harmonics in the frequency spectrum were

investigated.

7.3 NUMERICAL SIMULATION

The entire numerical simulation was carried out using MATLAB SIMULINK

software package. MATLAB is a powerful numerical simulation toll that integrates

mathematical computing, visualization, and a powerful programming language to provide

a flexible environment for technical computing. The MATLAB open architecture makes

it easy to use in conjunction with its companion products to explore data, generate

algorithms, and create custom tools. MATLAB includes tools for: data acquisition, data

analysis and exploration, visualization and image processing, algorithm prototyping and

development, modeling and simulation, programming and application development.

The toolboxes used in the present work were: the signal processing toolbox, the

digital signal processing (DSP) toolbox, and the statistics toolbox.

7.3.1 MATLAB SIMULINK SIMULATION

7.3.1.1 Simulation Flowchart

Before starting writing the program codes in MATLAB language and perform the

simulation in SIMULINK, an understanding of the general purpose and steps that must be

followed was needed. First, a flow chart of the road map for the entire simulation was

developed. Next a list of variables was generated. The SIMULINK simulation started by

generating the time domain data for the pristine and damaged structures, followed by the

93
frequency domain analysis and finally the application of statistical methods to interpret

the results. These steps are presented in Figure 7.5

(jn) Monte Carlo

n = 1, .., 1000

Time Frequency
Domain Domain 2
Input Simulation Analysis Statistical (m,s )r Fisher
Variables Analysis Criterion

(m,s2)pristine

Damage Level
r = 0, ,1

Figure 7.5 Flowchart diagram of the simulation strategy

Figure 7.5 also shows that a Monte Carlo loop was applied to the simulated data.

For each crack size the simulation was run 1000 times, each time with a different

randomly selected initial phase, j. The phase selected in each of the iteration was

randomly selected in the interval [0:2p] by a random white nose generator. In this way a

large data set with built-in statistical variation was generated.

The frequency domain analysis consisted of two methods: the first method was

the short time Fourier transform (STFT), the second method was the Wigner-Ville

distribution (WVD).

Statistical analysis was used to compare the results by obtained by using the two

methods, STFT and WVD. The statistical method used for classification was Fishers

linear discriminant criterion.

94
7.3.1.2 MATLAB SIMULINK Simulated Time Domain Data

The input variables for the simulation are presented in Table 7.1.

Table 7.1 Input variables for SIMULINK simulation

MATLAB Description of variable Default
Variable Values
delta_C/C ratio Relative crack size 0
h_compress Damping coefficient at compression 1
h_stretch Damping coefficient at stretching 1
Self frequency Natural frequency of the undamaged structure 20
Initial frequency Initial frequency of the signal generator, by default set to be 20 Hz 20
Final frequency Final frequency of the signal generator, by default set to be 20 Hz 20
Sampling interval Time interval for sampling 0.002
Start time Starting time of simulation 0
Target time Targeted time for simulation 2
Number point Number of points for fast Fourier transform (FFT) 256
FFT

The simulation program was based on Equation (7.1). A screen capture of the

SIMULINK environment showing the block diagram of the simulation program is

presented in Figure 7.6

Figure 7.6 Block diagram of SIMULINK program

95
 Figure 7.6 shows that the simulation starts with the generation of time domain

signal. The signal generated is a constant amplitude sine wave. The frequency of the

signal changes as the crack progresses. The signal is then split in two; one branch goes to

the workspace and is saved as the time domain data for the undamaged case, and the

other branch enters the block diagram where the crack is present, hence the time domain

data for the damage case is generated.

The natural frequency of the object without crack is fn = 20 Hz (wn=40p rad/s) and

the damping coefficients for stretching and compression are zsws =zc wc = 10 rad/s. The

relative crack size values investigated here are r = 0; 0.1; 0.4; 0.6

The time domain data for two cases, pristine (r = 0), and damaged (r = 0.6) is

presented in Figure 7.7

(a) (b)

Figure 7.7 Time domain data: (a) pristine case (r=0) and (b) damaged case (r=0.6)
For the frequency domain analysis, the transitory part of the time domain signal

was not taken into consideration. After the transitory part, the data was stored, and further

applied to it frequency domain analysis technique.

96
7.3.1.3 MATLAB SIMULINK Graphical User Interface

A graphical user interface (GUI) was created to facilitate data entering and

interaction with the different MATLAB files created for time domain, frequency domain,

and statistical analysis.

The GUI was designed as a window where the user must enter the information

need by the program to run. It has also press buttons that allow the user to select the type

of analysis to be performed. Graphical display of the results is made possible by selecting

the type of plots of interest. The graphical user interface is shown in Figure 7.8

Figure 7.8 Graphical User Interface (GUI) for the MATLAB program (Gelman et al. 2001)

97
7.4 RESULTS

In the present work the simulation was carried out for relative crack size, r, starting

from zero (pristine case) and up to 0.6. In the next sections the results will be presented

for four cases: pristine case (r = 0), small crack (r = 0.1), medium crack (r = 0.4), and

large crack (r = 0.6).

7.4.1 CASE 1: PRISTINE STRUCTURE (r = 0)

The main frequency of the undamaged object is the same as the natural frequency

of the pristine object, fpristine = 20 Hz. The experimental results, Figure 7.9, show that

both, Wigner-Ville distribution (WVD) and short time Fourier transform (STFT) predict

the main frequency of the pristine object at 20 Hz.

No other effects (interference or harmonics) are present in the frequency

spectrum, which is in concordance with the predictions of linear analysis.

(a) (b)

Figure 7.9 WVD and STFT comparison for the pristine case, r = 0

98
7.4.2 CASE 2: SMALL CRACK (r = 0.1)

As the crack grows, the main frequency is changing. The calculated frequency for

the relative crack size of 0.1 is f0.1 = 19.5 Hz. The simulation results, Figure 7.10a and b,

show that in both spectrums (WVD and STFT) there is a small change in the peak of the

main frequency, indicating a shift of the frequency toward a smaller value.

Additional features start to appear in the frequency spectrum. For the Wigner-

Ville distribution spectrum, the half-tone interference is present (f1/2 @ 10 Hz). For short

time Fourier transform, the higher harmonic effects start to be noticeable. The first

harmonic of the main frequency appears in the spectrum (f2 @ 39 Hz).

(a) (b)

Figure 7.10 WVD and STFT comparison for small damage case, r = 0.1

99
7.4.3 CASE 3: MEDIUM CRACK (r = 0.4)

At higher relative crack size, r = 0.4, the calculated main frequency is f0.4 = 17.5

Hz. The experimental results, Figure 7.11, show the change in the main frequency for

both methods WVD and STFT.

What is relevant in the frequency spectrum is the well-defined additional feature.

In the WVD spectrum, Figure 7.11a, the 1st and 2nd half-tone interferences are present at

f1/2 @ 9 Hz, f3/2 @ 26 Hz. The amplitude of the features is also more prominent. In the

STFT spectrum, Figure 7.11b, the 1st and 2nd higher harmonics of the main frequency are

present (f2 @ 35 Hz, f3 @ 53 Hz).

The only difference between the two spectra is that, while in the STFT spectrum

the 2nd higher harmonic of the main frequency is well delimited, in the WVD spectrum

the 2nd higher harmonic of the main frequency, f2, does not appear. Instead we notice the

presence of the 2nd half-tone interference, f3. This issue will be addressed later in the

discussion section.

(a) (b)

Figure 7.11 WVD and STFT comparison, damaged case r = 0.4.

100
7.4.4 CASE 4: LARGE CRACK (r = 0.6)

For the last case, when the relative crack size reach 0.6, the calculated main

frequency is f0.6 = 15.5 Hz. The results show the decrease in the main frequency of the

damaged structure for both WVD and STFT methods.

Additional features are well represented in the frequency spectrum. Figure 7.12a

shows the additional features present in the WVD spectrum. The 1st and 2nd half-tone

interferences,(f1/2 @ 9 Hz, f3/2 @ 26 Hz) as well as the 1st higher harmonic of the main

frequency (f2 @ 35 Hz) appear in the power spectrum. Figure 7.12b shows additional

features present in the STFT spectrum. As anticipated, the 1st and 2nd higher harmonics of

the main frequency appear (f2 @ 35 Hz, f3 @ 53 Hz) in the power spectral density. It is also

noticeable that the amplitude of the harmonics as has grown considerable in comparison

with the previous cases that had a smaller relative crack size.

(a) (b)

Figure 7.12 WVD and STFT comparison for the damaged case, r = 0.6

101
7.5 DIAGNOSTIC EFFECTIVENESS

The Fisher criterion, described in section 3.7, was used to compare the

effectiveness of the two methods investigated in the present work. The Fisher criterion

was calculated for pairs of classes representing the frequency of the main harmonic for

the pristine case and the frequency of the main harmonic for various damage cases. The

change in the criterion as the damage progresses was examined. Table 7.2 presents the

values of the Fisher criterion for the two methods, short time Fourier transform (STFT)

and Wigner-Ville distribution (WVD).

Table 7.2 Fisher criterion calculated for STFT and WVD methods and the feature comparison.
Each of the the damaged cases were compared with the pristine case
Method Fisher criterion value
Pristine vs. Pristine vs. Pristine vs.
0.1 relative crack 0.4 relative crack 0.6 relative crack
STFT 0.001 1.476 4.119
WVD 0.666 3.297 43.367

The results of Table 7.2 are plotted in Figure 7.13. It can be noticed that the damage

detection capabilities of WVD algorithm are definitely better than those of STFT

102
 STFT WVD
50
45
40
35
Fisher criterion 30
25
20
15
10
5
0
0 - 0.1 0 - 0.4 0 -0.6
Relative crack size

Figure 7.13 Damage detection effectiveness of the two methods, STFT and WVD, based on the
Fisher criterion

7.6 DISCUSSION

Damage detection and failure prevention of mechanical systems is of critical

importance. In the present chapter damage detection of a cracked component was

investigated using two signal-processing techniques: short time Fourier transform (STFT)

and Wigner-Ville distribution (WVD).

The non-stationary time domain signal was simulated using MATLAB-

SIMULINK. The damage was simulated as a change in stiffness of the component of

interest. Solving the equations of motion for a one degree of freedom oscillator generated

the time domain signal. The solution was obtained for four crack sizes: r = 0 (pristine), r

= 0.1 (small damage), r = 0.4 (medium damage), and r = 0.6 (large damage).

After the time domain signal was obtained, frequency domain analysis techniques

were used to investigate the change in frequency as a result of the crack growth. The

feature of interest was the amplitude of the main frequency as well as shifting of the other

frequencies in the frequency domain.

103
 The results of this investigation showed that, as the crack progresses, the

frequency spectra changes. According to the non-linear analysis, when damage is present,

the frequency spectra will change and higher harmonics and subharmonics of the main

frequency will appear. Our results clearly indicate the changes due to the presence of the

crack. The appearance of higher harmonics as the crack grows is well indicated by the

STFT. The 1st and 2nd harmonic of the main frequency (f2 @ 35 Hz, f3 @ 53 Hz) could be

easily identified on the power spectra for r = 0.4 and r = 0.6 (Figure 7.12b).

While the STFT method can detect well the higher harmonics of the main

frequency, the WVD method is less sensitive to this feature. In WVD power spectrum,

the 1st higher harmonic of the main frequency appears only for large crack size (relative

crack size r = 0.6). It is interesting to notice that subharmonics generated by the

interference terms (cross-terms), are present in the frequency spectra of the WVD but do

not appear in the STFT. As the crack grows, the cross-terms are more visible and their

amplitudes are larger. This phenomenon led us to the idea of using the cross-terms as an

indicator of crack propagation. This idea is not investigate any further in the present

study, but can be the goal of future research area.

To classify the outcome of the two methods, a statistical tool was needed. The

Fisher linear discriminant method (Fisher criterion) was applied to classify the outcome

of the two damage detection techniques. The spectral features used in this classification

were chosen to be the change in amplitude of the main frequency for the pristine cases (r

= 0) and for the damaged case (r = 0.1), (r = 0.4), (r = 0.6). The main frequencies for the

damaged cases where compared one by one with the main frequency for the pristine case,

and the Fisher criterion was calculated for each case. This method was applied to the data

104
obtained using STFT and WVD. The results were plotted on the same graph and

presented in Figure 7.13.

Figure 7.13 shows that, for small cracks the detection of damage in the structure is

done poorly by both methods (STFT and WVD). As the crack size increases, the

detection of the damage becomes better, as indicated by the increase in the Fisher

criterion values. As expected, the best damage detection is achieved when the crack size

is large as shown for r = 0.6 in Figure 7.13. For small and medium crack sizes (r = 0.1

and r = 0.4) the two methods are comparable. For medium crack size (r = 0.4), the Fisher

criterion for STFT and WVD being FSTFT 0.4 = 1.5 and FWVD 0.4 = 3.3. For larger crack size

(r = 0.6), the WVD prediction is much better than the STFT, FSTFT 0.6 = 4.2 and FWVD 0.6 =

43.4. These results show that the overall the damage detection sensitivity using the WVD

method is much better than when using the STFT method.

In conclusion, both WVD and STFT methods predict the presence of the damage.

The STFT method gives a better indication of the higher harmonics of the main

frequency due to the crack growth On the other hand, WVD method gives stronger

sensitivity to the crack presence based on the changes in the main frequency. This latter

observation has also been substantiated by statistical analysis using Fisher criterion.

The method to be used for damage detection is entirely up to the person who is

performing the signal analysis. Its choice must be based on the application type, and on

the experience of the operator one method or the other can be used. The short time

Fourier transform method is a relative known method and is widely use in machinery

damage detection and health monitoring. Wigner-Ville distribution is a relative new

method and the full advantages it can offer are yet to be discovered. The present work is

105
only a small step taken on the long road, and further research needs to be conducted to

fully clarify these aspects.

106
8 CONCLUSIONS

This thesis has presented vibration-based methods used for damage detection and

health monitoring of mechanical systems. The review of the state of the art revealed that,

in the past years, damage detection and health and usage monitoring have been proactive

topics in the researchers community. Extensive work has been recently done to study

linear and non-linear vibration phenomena, using various signal processing techniques.

Although the traditional methods, i.e. fast Fourier transform and short time Fourier

transform are still used, the focus of recent research is shifting towards more advanced

methods and signal processing techniques such as wavelet transform and Wigner-Ville

distribution.

Studying the vibration response of rotating machinery with emphasis on the

vibration of helicopters was the focus of the present work. An understanding of the rotor

track and balance, the adjustments necessary to smooth the helicopter main and tail

rotors, and the procedures needed to be followed to achieve this goal have been

presented. Using VMEP neural network based algorithm for rotor smoothing, the

vibration levels of the helicopter are reduced by performing fewer adjustments and hence

less number of maintenance test flights. Maintaining a low vibration level increases the

operational time of helicopters, increases the life time of components, and reduces the

probability of an catastrophic event to take place.

107
 The health and usage monitoring aspect has also been presented in this thesis.

Numerous programs are under development or undergoing, to equip military and

commercial helicopters with health and monitoring systems (HUMS) capable to provide

information about the health and the remaining useful life of major components. A brief

description of the programs that are currently in progress was given, with emphasis on

the Vibration Monitoring Enhancement Program (VMEP), program developed by the US

Army and South Carolina National Guard. The main contractor is Intelligent Automation

Corporation (IAC), and University of South Carolina is responsible with the cost benefit

analysis of the VMEP project. A description of the purpose of the project as well as the

software and hardware configuration was given. The vibration data collection, the

transfer of the data from the helicopter to the ground based station and further to the USC

data repository, and the vibration data processing were described.

A simulation for a cracked component was designed and carried out using

MATLAB-SIMULINK. The forced oscillation method to generate the time response of

the structure for axial loading was used. The crack was simulated as a change in stiffness.

The signal processing techniques used for damage detection were short time Fourier

transform and Wigner-Ville distribution. The reason for using joint time-frequency

methods was the non-linearity of the structure response. The crack presence in the

structure modifies the effective stiffness and hence the main frequency. The relative

crack size considered in this study was r = 0 (pristine case), r = 0.1 (small crack), r = 0.4

(medium crack), and r = 0.6 (large crack). The natural frequency of the pristine object

was fn = 20 Hz. The results showed that both methods, short time Fourier transform and

Wigner-Ville distribution, predicted the presence and progress of damage. The feature

108
used to predict damage were, the change in the amplitude of the main frequency and

apparition of higher harmonics of the main frequency in the frequency spectrum. The

STFT method gives a better indication of the higher harmonics of the main frequency due

to the crack growth. On the other hand, WVD method gives stronger sensitivity to the

crack presence based on the changes in the main frequency.

To quantify the effectiveness of the outcome of the two methods, the Fisher

criterion was used. The results showed that the Fisher criterion values for the Wigner-

Ville distribution method were slightly higher than those for the short time Fourier for

small and medium crack size (FSTFT 0.4 = 1.5 and FWVD 0.4 = 3.3), and there was a

significant difference between the values for large crack size (FSTFT 0.6 = 4.2 and FWVD 0.6

= 43.4). This is an indication that the Wigner-Ville distribution method predictions are

more accurate than the predictions of the short time Fourier method. The Fisher criterion

was applied to the vibration data representing the changes in the amplitude of the main

frequency.

An interesting outcome of the Wigner-Ville distribution was observed, related to

the cross-terms apparition. For small crack size and medium crack size subharmonics

generated by the cross-terms are present in the frequency spectrum. Apparition of the

cross-terms in the frequency spectrum can be related to the apparition of damage in the

structure.

Further work needs to be done in order to better understand the outcome of the

Wigner-Ville distribution and to relate the apparition of cross-terms and the presence of

damage.

109
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