Measurement 86 (2016) 56–66

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Measurement
journal homepage: www. elsevier. com/locate/measurement

Thermal analysis MLP neural network based fault diagnosis

on worm gears
Tayyab Waqar, Mustafa Demetgul ⇑
Department of Mechatronics Engineering, Faculty of Technology, Marmara University, Goztepe, Istanbul, Turkey

articleinfo abstract

Article history: The importance of fault diagnoses, in any kind of machinery, can’t be over stated. Any
Received 13 August 2015 undetected small fault in machinery will most probably rise with time and will cause
Received in revised form 13 January 2016 machinery to shut down thus resulting in both mechanical and more importantly econom -
Accepted 19 February 2016 ical loss for the industry. In recent years, researches have been done for the faults diagnosis
Available online 3 March 2016
through the analysis of their vibration and sound signatures. The extraction of those char-
acteristic signatures is a complicated process because complexities in modern day
Keywords:
machineries can results in many vibration and sound generating sources. This paper pre-
Back-propagation MLP Artificial Neural
sents a condition based fault diagnoses technique to detect the condition of gear. An exper-
Network
imental setup, consisting of a worm gear driven by an electric motor, was setup to conduct
Fault diagnosis
Frequency domain analysis tests under different working conditions. The vibration and sound signature signals of
Thermal images worm gear were examined for normal and faulty conditions under different speeds and
Worm gears oil levels. The collected data was then used for feature extraction, by using Fast Fourier
Transform to filter background noise signals and to collect only the signature of the gear-
box vibration and sound signals. An MLP (Multilayer Perceptron) Artificial Neural Network
Model has been developed to classify the signature signals. A thermal camera is also used
to observe the heating patterns for all those working conditions. With the help of MLP
Artificial Neural Network it is possible to predict the speed and oil level of the gearbox
and hence a possible fault diagnoses is also feasible.
© 2016 Elsevier Ltd. All rights reserved.

1. Introduction results in loss of production, upon which the whole indus-

Rotating machinery, is one of the most basic and impor-
tant equipment, that plays a very important role in any
kind of industry [1,2]. The majority of these machines are
operated by means of gears, bearings and other parts,
which can become faulty during their use and can affect
the performance of the machine and can even result in
the breakdown of the machine [3]. Machine downtimes
⇑ Corresponding author.
E-mail addresses: tayyabwaqar@gmail.com (T. Waqar), mdemetgul@-
marmara.edu.tr (M. Demetgul).
try relies on.
In almost every kind of industry, there are, several
machinery consisting of a most basic yet one of the most
important rotating element, gear. Gearboxes are consid-
ered to be one of the earliest machine parts. It has been
in use for thousands of years. It is a fundamental part on
most types of machinery in order to change the shaft
speed, the torque and the power. In current era, the exis-
tence of gearbox is believed to have control over the eco-
nomics of the industries and in fact nations. As all the
industry’s economy is based on those important machiner-
ies, the role that those tiny little mechanical elements
become extremely important as any kind of failure in them

http://dx.doi.org/10.1016/j.measurement.2016.02.024
0263-2241/© 2016 Elsevier Ltd. All rights reserved.
 T. Waqar, M. Demetgul / Measurement 86 (2016) 56–66
may lead to the machine failure affecting the production of
the industry and hence the economy. Also, in some types of
machinery as helicopter or aircraft, the role of gearbox is
extremely important as its failure may lead to the loss of
human life besides the loss of assets [4].
Nowadays, the modern rotating machinery is getting
more complex which requires the system to operate in a
much more reliable, safe, low cost production and mainte-
nance [5], for which an accurate fault diagnosis of machine
failure is a necessity. Therefore this topic of condition mon-
itoring has attracted the attention of the researchers and
many different techniques have been put forward to
address such situation beforehand.
Several researches have been dealing with vibration
[6,7] and sound [8] signatures of gears, and changes in
their relative oil temperatures with time for diagnostics
of different faults. But a few of those researches are focused
on worm gears.
Vibration signals of a good and faulty helical gearbox
component were examined by using naïve Bayes and Bayes
net algorithms [9]. In another research [10], the most effi-
cient oil to use in a worm gearbox was determined by
means of the vibration signals and processed by an Artifi-
cial Neural Network for classification purposes. A predic-
tive maintenance technique, combining both the oil
analysis and the vibration analysis, was proposed for a
worm gearbox [11].
The nonlinearity between a gear pair leading to a faulty
condition, has been studied [12]. Their findings show that
an increase in fault factor will generate more clear side-
bands on the meshing frequency levels. They also claim
that sub-harmonics from the vibration of gearbox aren’t
solely related to the fault only.
A combination of Hilbert and wavelet packet transforms
based model for the gearbox fault detection has been pro-
posed for effective detection of different levels of fault in a
gearbox [13]. For worm gear acoustic emission [14], vibra-
tion based signal processing techniques [15], oil analysis
[16] were researched. In this studies, neural networks were
not used to make decisions. For this systems, educated per-
sons are needed for interpreting the signal processing
results. Neural networks made work automatic.
Yesilyurt presented the applications of four time-
dependent parameters (e.g. the instantaneous energy,
mean and median frequencies, and bandwidth) based upon
the use of spectrogram and scalogram, and compared their
abilities in detection and diagnosis of localized wear
related gear failures [17].
In wind power industry, vibration monitoring is used
routinely to detect faults in bearings and gears. Sensors
are mounted on the bearing housing to detect the unique
characteristic of vibration signatures for each gear mesh
or bearing, which depends on the geometry, load, and
speed of the components [18].
A fault can be recognized by the vibration signal
obtained from a gearbox [19] and later analysis with differ-
ent signal processing techniques [20].
An approach combining both the vibration and wear
debris analysis was proposed for condition monitoring
[20]. Polyshchuk et al. presented a novel approach for
detection of gear damage based on time–frequency analy-
57
sis and the energy change of the vibration signal [21]. The
use of vibration analysis for the condition monitoring of a
gearbox was shown in a study conducted by Choy et al.
[22].
A research based on the thermal analysis of contact
properties of cylindrical gears has concluded that the high
speed and heavy loading on the gear teeth results in a rise
in temperature gradient [23].
A novel approach for gear and bearing fault diagnosis by
means of wavelet signal processing, using vibration sig-
nals, was presented [24]. A vibration analysis system
(VES) for fault diagnosis, has been developed to analyze
oil, debris and vibration for the condition monitoring of
fixed plant [25]. Adaptive neuro-fuzzy inference system
(ANFIS), applied to the information extracted from the
vibration signals to diagnose abnormalities in bearings
has been developed [26]. Continuous wavelet transform
was used for fault diagnoses of a gear-set by acquiring both
vibration and sound signals and Artificial Neural Networks
based classification algorithm was developed yielding 98%
accuracy [27].
The aim of this paper is to introduce a technique to be
used for accurate and effective identification of working
condition of a worm gear using its vibration and sound sig-
nals and thermal patterns. Sound signals, vibration signals
and also infrared thermography are used to increase the
reliability of this research, which has been done in early
studies. Overall there is very little research available for
worm gears making this research unique. A Data Acquisi-
tion Module was used to collect raw vibration and sound
signals. This data was then pre-processed for signal pro-
cessing, by taking the mean of the raw data and then sub-
tracting it from the original raw signal, resulting in a much
more refined signal. After conversion to frequency domain
using Fast Fourier Transform, the data was used for feature
extraction. Artificial Neural Networks (ANN) have been
chosen as a candidate MLP technique because of their gen-
erality and ability to learn complex relations. Furthermore,
this algorithm is fast and simple structure. In order to clas-
sify the faults, a back propagation MLP Artificial Neural
Network, was designed after choosing the optimal param-
eters. A total of 16 different oil levels and rpm related con-
ditions were observed for worm gear in normal and faulty
conditions. Each experiment was repeated 10 times, result-
ing in a total of 160 experiments, to assess the performance
of the developed system.
2. Theoretical background
2.1. Gears
Gears permit the transfer of energy between two shafts.
The process is important in that components of a system
can be designed for maximum efficiency, with the gears
acting as the interface between the components. Specific
uses for gears are to change speeds, change direction of
rotation, and transmission of power [17] in a system.
Worm gears can be used to drive spur or helical gears
and allow two nonintersecting and perpendicular shafts
to mesh. An important aspect of worm gear meshes is their
58 T. Waqar, M. Demetgul / Measurement 86 (2016) 56–66

irreversibility. When a worm gear turns, the meshing spur rendered. Fourier analysis is important in data acquisition
also turns, but the mechanism is not reversible resulting in as it allows us to isolate certain frequency ranges [34].
a ‘self-locking’ mechanism useful for ratcheting [26]. In signal processing, it is more common to deal with
Worm gears can tolerate large loads and can be used to digital signals that by definition are discrete. Consider a
convert rotational motion to translational motion. In addi- sequence x(n), periodic in N, in time-domain and the dis-
tion, worm gears can have a very large pitch diameter [28]. crete time Fourier series (DFTS) are described as:
Gears tend to operate with the teeth of one engaging
the teeth of another to transmit power without slippage. X
1 N—1
i2p
— kn
XðkÞ ¼
N xðnÞe
When the teeth are meshed, driving one gear (e.g. with N n¼0
an electric motor) will force the other to turn, transmitting
Xð1Þ N—1
i2p
power but allowing the rotational speed and direction of kn
xðnÞ ¼
N

rotation to be changed. It is very important to be familiar n¼0

with the common gear faults in order to perform gear’s
fault diagnosis successfully. Normally, Gear failures tend
to occur when a gear is working under high stress condi-
tions [29,28,30–33]. Normal gear faults are root cracking,
scoring, pitting, scuffing and distributed faults such as
adhesive wear, abrasive wear, surface inaccuracy and
misalignment.
2.2. Fault diagnoses
XðkÞeð2Þ
where X(k) is a periodic sequence in frequency-domain,
and x(n) is a periodic in N.
2.3.2. Mean
Mean can be defined as the average value of a signal. In
signal processing, it is generally used to make the process
of feature extraction more accurate. It can be defined
mathematically as:

Basically, Machine fault diagnoses can be stated as the 1 N—1

kind of fault, if any, a machine is experiencing. The whole
process of fault diagnoses can be simplified as in Fig. 1.
First of all, basic information relative to working com-
ponent is collected with sensors. It can be done through
mechanical measurements (vibration, acoustic emission
and/or temperature), electrical readings (current and volt-
age), and tribology. This acquired raw data must then be
pre-processed in order to reduce the dimension, making
the signal processing stage more accurate. During the sig-
nal processing stage, features are extracted and then
selected from the pre-processed data in order to diagnose
the kind of fault present in a particular component of the
system.
2.3. Signal processing techniques
2.3.1. Fast Fourier Transform
Fourier series provides an alternate way of representing
data; instead of signal amplitude as a function of time, the
signal information contained at different frequencies is
X
x̄ ¼ x 3
N i¼0
ð Þi
where x̄ is the mean of the signal, xi is the signal and N is
the total number of samples.
2.3.3. Gear mesh frequency
Gear mesh frequency is the frequency at which teeth on
the pinion come into contact with teeth on the bull gear. It
is simply defined as the number of teeth on the gear mul-
tiplied by the rotational frequency of the gear. The vibra-
tion monitored on a faulty gear generally exhibits a
significant level of vibration at the tooth.
The number of teeth on the gear used for this study was
42 and the worm gear reduction ratio was 21.
Mesh Frequency ¼ rotational frequency × No: of gear teeth
Gear Meshing Frequency and its harmonics of which
the distance is equal to the rotational speed of each wheel
are shown in Fig. 2.

Fig. 1. Fault diagnoses process.

 T. Waqar, M. Demetgul / Measurement 86 (2016) 56–66
Reflection
Fig. 2. Mesh frequency.
2.4. MLP Artificial Neural Network
An Artificial Neural Network is a computational model
based on the structure and operation of a biological neural
network. Similar to a biological network, a neural network
learning is based on inputs and outputs.
Most applications of Artificial Neural Networks use
multi-layer perceptron network training with back-
propagation algorithm. A typical multi-layer perceptron
network, Fig. 3, is constructed with layers of neurons. Each
neuron in a layer computes the sum of its inputs (x) that
are passed through an activation function (f) yielding the
output (O) written mathematically as:
. . Σ Σ
O ¼ f 2 W 1 f 1 W 1 x þ b1 þ b2
where W is the weight and b is the bias vector.
The MLP neural network used in this study includes 16
inputs parameters, 30 hidden layer neurons and one out-
put parameter; used to indicate the nature of fault. The
16 input parameters were the mesh and harmonic fre-
quencies of the microphone and the accelerometer data
relative to rpm and oil level for both normal and faulty
gearboxes. The complete results of the entire test can be
seen in the coming sections.
Fig. 3. MLP neural network model.
59
Gear Meshing
Frequency
Reflection
2.5. Infrared thermography
Thermography can be used to identify and analyze ther-
mal anomalies for condition monitoring of machines. Infra-
red thermography (IRT) is based on measuring the
distribution of radiant thermal energy (heat) emitted from
the target surface and converting to a surface thermogram,
describing thermal energy present during the operation of
all machines. It can be in the form of: friction losses and
energy losses within machines, as a characteristic of the
process media, or any combination thereof. As a result,
temperature can be a key parameter for monitoring the
performance, the condition and hence the diagnostics of
machine problems [35,36].
ð4Þ
3. Experimental setup
The experiments were performed on a experimental
setup, Fig. 4, built specifically for the diagnosis of rotating
machinery, especially gears. The signals are measured by
two sensors which were connected directly to a Pulse Type
7533 data acquisition and analyzer module for data log-
ging and analyzing purposes. Experimental setup used for
this study has an effective speed range of 100–5000 rpm
provided by a 3 phase AC motor. A worm drive was used
as a test subject for this study. Accelerometer and micro-
phone sensors were used for the measurement of signals.
The accelerometer (Endevco 7253B-10), used for the detec-
tion of vibrations, was placed directly on the housing of
gears. It has a frequency band of 10 Hz to 25.6 kHz and a
sensitivity of 10 mV/ms 2. A 1/2-in. microphone (Bruel &
Kjaer model No. 4189L001) was used for the detection of
sound signals which has a frequency range of 6–20 kHz.
The signals from the both sensors were recorded by
Breul & Kjaer Pulse Type 7533 data acquisition and analyz-
ing module. Raw data were collected by Pulse 10.2 soft-
ware and MATLAB was used for the signal processing
purposes. A thermal camera, Optris PI, was used to capture
thermal images of the test gearbox. Those images were
60 T. Waqar, M. Demetgul / Measurement 86 (2016) 56–66
Fig. 4. Experimental setup.
later on examined to study the heating pattern for the dif-
ferent working conditions of gearbox. The Optris PI ther-
mal camera has a temperature range of—20 °C to 900 °C
with an optical resolution of 640 ×
480 pixels.
A normal and a faulty gear can be seen in Figs. 5a and
5b respectively.
A fault in gearbox has been created artificially by
removing a part of a tooth from the gear as in Fig. 5b.
Fig. 6 describes the whole methodology. Raw data, for
both the normal and a faulty gear, was collected for 6 dif-
ferent operating conditions. Those conditions were based
on different revolution speeds and different oil levels.
Vibration and sound data as well as heat flow pattern in
a normal and a faulty worm gear was collected and exam-
Fig. 5a. Normal gear.
ined. Besides, vibration and sound data were collected at 2
different operating speeds (1440 rpm and 1920 rpm) and 4
different oil levels (0 ml, 20 ml, 50 ml and 100 ml)
(Table 1). Additionally, thermal images, of the normal
and faulty gear, were also captured to examine the differ-
ences in their heat flow pattern.
A MLP neural network model based on 16 input param-
eters was designed for classification purposes. The 16
parameters are the amplitude and frequency of sound
and vibration signals and 3 harmonics of the mesh fre-
quency, recorded during different operating conditions of
the gearbox. Depending on the parameters an output was
computed predicting the condition of gearbox.
4. Results
The raw data collected for the rpm and oil level can be
seen in Fig. 7. The collected raw data is then uploaded to
MATLAB for further processing. Initially, by taking the
mean value of the original signal and subtracting it from
the original signal, the data is refined for further
processing.
The difference between the raw data of a normal and a
faulty gearbox can be observed. It is obvious that the mag-
nitude of the peaks at the mesh frequency has increased in
a faulty gear. The waveforms for different oil levels can be
seen. The waveform collected for 50 ml oil level has no
abnormality in itself depicting a optimal oil level for the
use, while the others has abnormal peaks in themselves.
The waveforms for different rpms can be seen. It can be
noticed that with the increase in speed, the mesh fre-
 T. Waqar, M. Demetgul / Measurement 86 (2016) 56–66
Fig. 5b. Faulty gear.
Fig. 6. Flow diagram.
Table 1
Faults classification.
Gear Normal gear
Faulty gear (broken tooth)
Oil level Without oil
20 ml
50 ml
100 ml
Speed 1440 rpm
1920 rpm
quency shifts towards the right. Therefore the peaks for
1920 rpm occur at higher frequencies compared to that
of 1440 rpm speed. Afterwards, the sound and vibration
signatures of interest are extracted from that refined signal
by using Fast Fourier Transform. The resulting signals from
FFT of both vibration and sound data obtained for different
RPM and oil levels can be seen in Figs. 8–12. When rpm
levels for both the normal and the faulty gearbox were
increased, mesh frequencies relative to vibration and
sound signals exhibit an increase. The peak-magnitude of
the mesh frequencies for both sound and vibration signals
was observed to increase in the faulty gearbox when
compared to the normal gearbox. The calculated mesh
61
Degraded
Tooth
frequency was 48 Hz for 1440 rpm and 64 Hz for
1920 rpm. Consequently, feature extraction process was
based on mesh frequencies that are then used for classifi-
cation purposes.
The waveforms for different oil levels can be seen in
Fig. 10. The waveform collected for 50 ml oil level has no
abnormality in itself depicting a optimal oil level, while
the others show abnormal peaks in themselves. As it been
observed from the figures, gearbox working with low or
more than optimal level of oil demonstrate abnormal
peaks besides the mesh frequencies for both the vibration
and sound signals obtained.
From Figs. 11 and 12 it can be stated that there was an
increase in the mesh frequency, for both vibration and
sound signals, when the rotational speed was increased.
The difference between a normal and a faulty gearbox
can also be observed very easily from the thermal images.
The overall temperature of a normal gearbox after 8 h of
running at 1920 rpm with 50 ml oil was 46.7 °C while for
the faulty gearbox the temperature was observed to be at
51.4 °C. There were also differences in their respective
heating patterns as it can be seen in Figs. 13a and 13b.
A multi-layer perceptron Artificial Neural
Network, with 30 hidden layer neurons, has been used
62 T. Waqar, M. Demetgul / Measurement 86 (2016) 56–66

Fig. 7. Raw signal.

Fig. 8. FFT of vibration signal for normal and faulty gearbox.

Fig. 9. FFT of sound signal for normal and faulty gearbox.

T. Waqar, M. Demetgul / Measurement 86 (2016) 56–66 63

Fig. 10. FFT of vibration signal for different oil level.

Fig. 11. FFT of sound signal for different rpm.

Fig. 12. FFT of vibration signal for different rpm.

64 T. Waqar, M. Demetgul / Measurement 86 (2016) 56–66

Table 2
Performance of MLP neural network.

Hidden layer neurons All Training Validation Test

5 0.92505 0.93025 0.954 0.91528

10 0.93091 0.94581 0.91871 0.90412
15 0.94192 0.9601 0.94055 0.91674
20 0.97013 0.99275 0.93714 0.93361
25 0.92623 0.99808 0.94634 0.92623
30 0.97624 0.9988 0.96312 0.94246
35 0.96233 0.99395 0.93434 0.90289
40 0.95272 0.99464 0.89886 0.89528
45 0.76829 0.98407 0.64786 0.59117
50 0.3078 0.29794 0.4243 0.3124

for classification purposes of the faults in this study. The

Fig. 13a. Thermal image of a normal gearbox.
model consists of a total of 16 inputs and is able to classify
the difference between a normal and a faulty gearbox and
further can predict 2 different speed and 4 different oil
levels successfully. The multi-layer perceptron Artificial
Neural Network is created, trained and simulated with
MATLAB.
10 experiments for each oil level and rpm for both a
normal and a broken gear were performed totaling to a
160 number of experiments. Out of those 160 experiments,
60% and 10% were reserved for training and validation of
the neural network respectively. The remaining 30% were
used for the tests. The optimal values of learning rate,
momentum constant, learning algorithm, input and output
layer transfer functions were selected by trail and test
method and the neural network was then trained and
tested by using those optimal values.

MLP neural network structure and parameter selection

The training performance of the network was examined

Fig. 13b. Thermal image of a faulty gearbox.
for different values of learning rate. The best performance

Fig. 14. Training of MLP neural network.

 T. Waqar, M. Demetgul / Measurement 86 (2016) 56–66
Fig. 15. Correlation coefficient of MLP neural network’s performance.
of the network, was 99.78%, observed when the learning
rate value was set at 0.7. The network reached the highest
level of training, 99.307%, when the momentum constant
was 1. 16 different learning algorithms were applied to
the system and their respective resulting outputs were
studied. The system attained the maximum performance
of 99.307%, when Levenberg–Marquardt back propagation
learning algorithm was used. The network produced the
best training performance of 99.307%, when the input layer
transfer function was Tansing. The best training resulted in
99.307%, when the output layer transfer function of the
network was Tansing.
MLP neural network’s results
A multi-layer perceptron Artificial Neural Network
including 30 hidden layer neurons has been used for the
classification purposes in this study. The model consists
of a total of 16 inputs classifying the difference between
a normal and a faulty gearbox as well as predicting 2
different speed and 4 different oil levels successfully
yielding to 7 different fault diagnostics. The optimum val-
ues found for the designing of neural network are learning
rate (0.7), momentum constant (1), learning algorithm
65
(Levenberg–Marquardt), input and output layer transfer
function (Tansing). The performance of the neural network
can be seen in Fig. 14 and Table 2.
As can be seen in Table 2, the best performance was
achieved when the numbers of hidden layer neurons were
set to 30. All the results are presented in Fig. 15. In total 48
tests were performed and neural network was able to cor-
rectly predict 94% out of them. The overall accuracy of the
model is 97.623%.
5. Conclusion
An approach for the diagnosis of different type of faults
in gear by using mean, Fast Fourier Transform and MLP
neural network has been presented in this paper. The dif-
ferent vibration and sound signals produced during the
normal and error related operations of gears have been col-
lected through different sensors. This data is then studied
for feature detection and feature selection processes. Later
on, some random data was presented to the MLP neural
network model designed on the basis of the best derived
learning rate (0.7), momentum constant (1), learning algo-
rithm (Levenberg–Marquardt), input and output layer
transfer function (Tansing). The MLP neural network model
66 T. Waqar, M. Demetgul / Measurement 86 (2016) 56–66
attained a training with 99.88% success rate. Afterwards
inputs, based on 16 different parameters, were supplied
to the developed model, providing a detection and classifi-
cation rate of 94.24%. Besides, Thermal image analysis was
also conducted on the worm gears. The results show that
there was an increase in temperature of the faulty gear
when compared to a normal worm gear. This shows that
the research techniques used in this study were efficient
enough to extract useful information from raw data for
analysis and fault diagnosis of worm gears.
Acknowledgment
This work was supported by the Marmara University’s
Research and Project Department under the Grant FEN-E-
120314-0065.
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