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Abstract
In account of its abilities to follow the damage progression, also at early stages, the acoustic emission (AE) analysis has
become an attractive technique for machine condition monitoring. An AE analysis involves the detection of transients
within the signals, which are called AE bursts. Traditional methods for AE burst detection are based on the definition of
threshold values. When the machine under analysis works under variable operating conditions, threshold-based methods
could lead to poor results due to the influence of these conditions on the AE generation. The present work compares
the ability of three AE burst detection methods in a planetary gearbox working under different rotational speeds and
loads. The results showed that performance could be significantly improved by using factors of the root mean square
value as threshold values instead of fixed values. Among the evaluated methods, the method that includes demodulation
and differentiation as a signal processing technique had the best performance overall.
Keywords
Acoustic emission, planetary gearbox, variable load and rotational speed, hit detection
signals. The standard DIN EN 1330-9:2009 (2009) condition, and then used for bursts detection under
defines a burst as an AE signal having an identifiable other operating conditions. The evaluation also includes
beginning and end. The same standard defines a con- the comparison between fixed thresholds and variable
tinuous signal as an AE signal having no identifiable thresholds based on the RMS value of the signal.
beginning and end, and noise as signals without rele-
vance for the analysis. In order to make an optimal
utilization of the AE analysis, the bursts have to be
2. Description of methods
properly detected in the acquired signals. There are dif- The methods for AE burst detection can be modeled as
ferent methods to detect AE bursts within time signals. a two-step process. The objectives of the first step are to
Most of them are based on the definition of a threshold reduce the noise level and to enhance the bursts. In this
value, that is, when a characteristic of the signal over- case the noise comes from nonmaterial related sources,
passes a pre-defined value, the event is classified as a such as electric noise from the measurement chain.
burst. This type of approach has been widely used for The noise reduction can be achieved by using signal
AE burst detection (Stern, 1972; Choudhury and processing techniques. In this paper, techniques such
Tandon, 2000; Thayoob et al., 2010; Nienhaus et al., as filtering, demodulation and statistical analysis are
2012; Keshtgar and Modarres, 2013; Vicuña and used. The objective of the second step is to determine
Höweler, 2013; Lopes et al., 2017; ). whether an event within the signal can be classified as a
One important aspect of the AE generation in gear- burst or not. Most of the methods in the literature
boxes is its dependency on the operating conditions. follow this two-step process, although the first step is
It has been indicated that the rotational speed, load, optional, and the detection could be carried out directly
and temperature have influence on the AE root mean in the second step.
square (RMS) values and amplitude of AE bursts
(Tan and Mba, 2005a, 2005b; Vicuña, 2014; Novoa
and Vicuña, 2016). For this reason, the use of thresh-
2.1. Amplitude threshold level (THR)
old-based AE burst detection methods could produce The most traditional and intuitive method to detect AE
unsatisfactory results when machines with variable bursts in one step (i.e., without a noise reduction step)
speed or load are under analysis. In an ideal case, consists of the definition of an amplitude threshold level
when there is large amount of AE data recorded Ta (Hellier, 2003). When the amplitude of a data point
under different operating conditions, the threshold is higher than Ta, this point is considered a potential
values could be set for every one of them. Apart from burst. Since the same burst can have several points
this being a tedious and time-consuming work, this above Ta, a burst definition time tdef must be defined
ideal case is not common. Since the AE analysis is a in order to avoid considering points of the same burst
relatively new technique, in industrial applications it is as different bursts. Once the first point of a burst above
common not to have historical recorded AE data. the threshold is detected, the first point of the next burst
Thus, this work explores the generalization ability of can be located only after tdef as it is shown in
three methods to detect AE bursts in a planetary gearbox Figure 1. Normally the parameters Ta and tdef are
under different operating conditions. For that, the thresh- empirically or statistically determined after visualiza-
old values of each method were set for one operating tion or analysis of the signals.
In order to establish the amplitude threshold level Ta, of an amplitude threshold level Tade (the same as in
different approaches can be considered. For instance, a the THR method, but applied to the differential enve-
fixed value (FIX-V) capable of detecting most of the lope instead) (Boos, 2015). There are several demodu-
bursts and minimizing false detections can be set. lation techniques to obtain the amplitude envelope of a
Usually this value is set above the continuous amplitude signal, but in this study, we will focus on the rectifica-
noise level of the signals. While establishing a threshold tion method. First, a high-pass filter or band-pass filter
close to the noise level would raise the number of is used to isolate the frequency range with higher energy
detected bursts, even the ones with lower amplitudes, it of AE. Then, the signal is rectified, the medium value
could lead also to undesirable wrong detections. On subtracted, and a low-pass filter is applied to obtain the
the other hand, when a higher threshold is established envelope. The resulting signal is an amplitude envelope
the number of wrong detections would decrease at the which reveals amplitude variations above the signal’s
expense of a lower number of detected bursts. Another continuous level. Since the focus is to detect changes
approach is to consider an amplitude threshold level rela- in amplitude above the continuous level, the differential
tive to a characteristic value of the signal. For instance, a signal of the envelope is used instead of the envelope
fixed factor of the signal RMS value xrms could be used. itself. For discrete signals, the differential signal is
In the case of gearboxes, it is important that the length of obtained by subtracting a delayed version of the
the signal used to calculate the RMS value includes at signal from the signal itself. The entire signal processing
least one entire rotation of the slow shaft. When this technique is explained in Figure 3.
condition is not satisfied, that is, a too short length of In order to properly carry out the demodulation pro-
the signal is used for the calculation, the contribution cess, the filter frequencies have to be correctly selected.
from an angular portion of one gear would not be In the case of burst detection, the high-pass filter or
included. When this portion is the one containing for band-pass filter should preserve the frequency band in
example a fault, the RMS value could be underestimated which the bursts are being generated, while the low-
since faults produce higher RMS levels. pass filter should preserve the frequencies at which
the bursts take place (Vicuña, 2009).
2.2. Window power variation (WIN)
3. Procedure
As a first step, this method divides the signal into sev-
eral windows of the same length and in every window The AE signals were measured in a planetary gearbox
the RMS value is calculated. Since windows containing test rig. The ring gear outside diameter was 144 mm.
a burst have a higher RMS value than windows without The speed reduction ratio was 1:5. The input shaft
a burst, this step seeks to enhance the bursts. No other was connected to a 22 kW electric motor and the
noise reduction technique is necessarily required. As a output shaft to a generator. Both machines were con-
second step, the RMS value in each window is com- nected to variable-frequency drives in order to control
pared to the RMS value in the previous window. If the rotational speed (motor) and load levels (gener-
the difference is higher than a determined threshold ator). An AE sensor was fixed on the gearbox case. A
Trms, the current window is classified as a burst fault in one tooth of the ring gear was produced in
(Boos, 2015). The window length should be set up as order to have visible bursts in the acquired signals.
tdef and together with the threshold Trms, both par- The fault corresponded to a notch with length 15 mm
ameters are determined empirically or statistically after and width 0.5 mm. The height of the tooth was 3 mm
examination of the signals. As an empirical procedure, and the width 15 mm, so that the notch covered the
the authors recommend calculating the RMS value in a entire width of the tooth. The test rig and fault are
window containing the burst with the maximal ampli- both shown in Figure 4. The measurements were car-
tude and in a window without a burst. The difference of ried out under two levels of input rotational speeds
both can be considered as an upper limit for Trms, (1000 and 1500 revolutions per minute (RPM)) and
while the lower limit is zero. An optimal value can be two levels of load (40% and 80% of the motor nominal
obtained by iteratively testing different values within torque). For all measurements a sampling frequency of
the range and analyzing the results. An explanation 1 MHz for the AE acquisition system was used.
of the method is shown in Figure 2. The measurements were carried out under four dif-
ferent operating conditions. The condition with max-
imal rotational speed and load was selected as the
2.3. Edge detection (EDG) method
reference condition, and it was used to determine
The first step of this method is to obtain the differential values of parameters such as thresholds or filter fre-
signal from the amplitude envelope, followed by a quencies. Then, the same parameters were used to
second step of burst detection through the definition detect bursts with the three methods for the other
4 Journal of Vibration and Control 0(0)
operating conditions. In this way, the sensitivity of the recall, false positive rate (FPR), and the Matthews cor-
methods to their parameters could be evaluated when relation coefficient (MCC). The three performance
the gearbox runs at a lower rotational speed or load. scores are defined in equations (1)–(3). In these equa-
From the reference condition, two signals were used for tions, TP corresponds to ‘‘True Positive,’’ in this case a
the analysis, one for parameters setting (training) and burst correctly detected by the method, while FN cor-
the other for test. For the other operating conditions, responds to ‘‘False Negative,’’ a burst not detected by
only the test signals were considered. Then, each signal the method. FP corresponds to ‘‘False Positive,’’ an
was divided into windows and manually classified as event detected as a burst by the method, which was
‘‘burst’’ or ‘‘continuous noise.’’ The length of the win- not a real burst. Finally, TN corresponds to ‘‘True
dows corresponds to the parameter tdef defined in Negative,’’ a window without a burst, in which the
Sub-section 2.1, which was selected empirically accord- method did not detect a burst. The parameters’ selec-
ing to the maximal duration of the bursts. The classifi- tion was done according to a maximum MCC criterion.
cation process consisted of visual examination
according to the definition presented in the introduc- TP
tion. It was considered that a burst is an amplitude-rise Recall ¼ ð1Þ
TP þ FN
event with a clear beginning and end.
The methods were evaluated based on binary classi-
fication performance scores. Due to the asymmetry FP
FPR ¼ ð2Þ
in the number of windows with and without a burst, ðFP þ TNÞ
the performance scores used for the evaluation were
Leaman et al. 5
Figure 4. Test rig and fault in one tooth from ring gear.
Table 1. Operating conditions, number of bursts and root mean square (RMS) value of the signals.
Root mean
Fixed value square-factor
Signal (FIX-V) (RMS-F) FIX-V RMS-F FIX-V RMS-F
Figure 5. Detection of acoustic emission bursts in segments of the test signals with the threshold-based method using
Ta ¼ 3.577 xrms.
high-pass filter with cut-off frequency of 80 kHz, and tuning process using the training signal. The results are
then a band-pass filter with cut-off frequencies 80 and shown in Table 6.
200 kHz. The low-pass filter cut-off frequencies, According to the tuning results, the highest MCC
together with the threshold value Tade were set in the score was obtained using a high-pass filter with a
8 Journal of Vibration and Control 0(0)
cut-off frequency of 80 kHz, a low-pass filter with cut- slightly lower. Both methods had almost the same
off frequency of 2 kHz, and an amplitude threshold standard deviation. The WIN method had the lowest
value for the differential envelope of Tade ¼ 0.02 mV. FPR, but also the lowest recall score.
This value is equivalent to a factor 1.209 of the RMS In order to test the sensitivity of the methods to
value from the differential envelope. Using these par- changes in the threshold values, the detection of AE
ameters, the method was applied to the test signals, bursts was carried out again using the selected thresh-
considering the FIX-V and RMS-F approaches. The olds multiplied by factors of 0.8, 0.9, 1.0, 1.1, and 1.2.
results are shown in Table 7. Once again it was con- Figure 8 shows the results of this sensitivity analysis.
firmed that the RMS-F approach produces recall and Figure 8 indicates that a change of 20% in the
MCC scores with higher mean values and less variabil- selected threshold value produces changes in the
ity than the FIX-V approach. MCC mean score of approximately 40% for the THR
The detection of bursts in segments of the test signals method, 1% for the WIN method, and 20% for the
using the RMS-F approach is shown in Figure 7. EDG method. The standard deviations remain rela-
It is observed that most bursts were correctly detected. tively stable with changes lower than 10%.
Bursts with lower beginning slope, for instance at 0.104 Even though the optimal thresholds were selected to
seconds in Figure 7 (upper left) could not be detected. maximize the MCC scores using the training signal, it
should be noted that in this analysis with the test signals
higher scores were obtained using higher thresholds for
4.4. Comparison of methods the THR and EDG methods.
A comparison of the performance of the methods can
be achieved by observing Tables 3, 5, and 7.
5. Discussion
Accounting for the RMS-F approach, it is observed
that the EDG method achieved the highest MCC The threshold-based methods evaluated in this study all
score, while the THR method achieved an MCC score have the disadvantage that a fixed threshold could be
well estimated for one operating condition, but it will
not necessarily perform well for use under other oper-
Table 4. Window power variation method tuning using the ating conditions. For example, the THR and EDG
training signal. methods could detect nearly 80% of the bursts for the
test signal taken under the same operating conditions as
Matthews the training signal. The WIN method could detect
False positive correlation
nearly 40% instead. However, for the signal taken
Ta (mV) Recall rate coefficient
under different rotational speed and load this detection
4.5 0.468 0.051 0.501 level decreased near to 0% for the three methods.
5.0 0.465 0.041 0.518 Some studies have concluded that the AE RMS
5.5 0.455 0.035 0.524 value increases along with the rotational speed and
6.0 0.443 0.029 0.526 load in gearboxes (Vicuña, 2014; Novoa and Vicuña,
6.5 0.428 0.025 0.522 2016), while others indicated that the AE RMS value
increases mainly due to the rotational speed (Tan and
7.0 0.409 0.021 0.516
Mba, 2005a). Thus, for the AE bursts detection under
Table 5. Results of window power variation method for the test signals.
Root mean
Fixed square-factor
Signal value (FIX-V) (RMS-F) FIX-V RMS-F FIX-V RMS-F
Figure 6. Detection of acoustic emission bursts in segments of the test signals with the window power variation method using
Trms ¼ 0.268 xrms.
Root mean
Fixed square-factor
Signal value (FIX-V) (RMS-F) FIX-V RMS-F FIX-V RMS-F
Figure 7. Detection of acoustic emission bursts in segments of the test signals with the edge detection method using Tade ¼ 1.209 xrms.
variable operating conditions, it is reasonable to pro- Among the evaluated methods, the WIN method had
pose the use of threshold values as factors of the RMS the lowest MCC mean score, with a recall mean score of
value instead of fixed values. The results of this study only 37.3%. On the other hand, this method had also the
confirm this, showing that the detection rates are highly lowest FPR mean score. This means that this method is
improved. adequate, especially for detecting bursts of high energy.
Leaman et al. 11
Figure 8. Sensitivity of the methods to the threshold value: Matthews correlation coefficient (MCC) mean value (left); and MCC
standard deviation (right).
The EDG method had the highest MCC mean score Funding
overall. Although the THR method had only a slightly The author(s) received no financial support for the research,
lower MCC mean score than the EDG method, the authorship, and/or publication of this article.
results also showed that the THR method has a
higher sensitivity to the threshold selection. This ORCID iD
means that the demodulation and differentiation as a
F. Leaman http://orcid.org/0000-0003-1009-5368
signal processing technique is adequate to enhance the
AE bursts, and should be used when the analysis is
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