Materials Today: Proceedings xxx (xxxx) xxx

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Materials Today: Proceedings

journal homepage: www.elsevier.com/locate/matpr

Vibration response-based condition monitoring and fault diagnosis of

rotary machinery
Chirag Mongia a, Deepam Goyal b, Shankar Sehgal a,⇑
a
Mechanical Engineering, University Institute of Engineering and Technology, Panjab University, Chandigarh, India
b
Chitkara University Institute of Enginering and Technology, Chitkara University, Punjab, India

a r t i c l e i n f o a b s t r a c t

Article history: Bearings are considered as indispensable and critical components of mechanical equipment, which sup-
Received 13 February 2021 ports the basic forces and dynamic loads. Bearing faults can results in catastrophic failure of equipment,
Received in revised form 31 March 2021 specially aircraft, automobile, turbine and other rotary components. An efficient and fault free perfor-
Accepted 23 April 2021
mance of bearings is required because of continuous nature of operation. Any incipient failure if not
Available online xxxx
detected well in time can be a costly affair which may cause significant financial losses. Vibration, tem-
perature and acoustic signals have been used for machinery health monitoring, vibration signature being
Keywords:
the most widely used parameter. This article overviews the vibration signals based studies conducted for
Vibration
Condition monitoring
monitoring the health of the rotating machinery and will be useful for practising engineers and research-
Accelerometer ers working in the field of rotary machinery.
Bearing Ó 2021 Elsevier Ltd. All rights reserved.
Fault diagnosis Selection and peer-review under responsibility of the scientific committee of the 2nd International Con-
ference on Functional Material, Manufacturing and Performances.

1. Introduction The acquisition of the vibration of the working machine and

Condition based maintenance and condition monitoring are
associated with maintenance of equipments based on the real-
time condition of subsystem(s) of the machine. Every year, indus-
tries around the world spend billions of dollars on plant mainte-
nance processes, it has been documented that maintenance
expenses can account for up to a third of production expenses
[1–3]. Vibration caused by rotary or reciprocating components is
one of the major reasons for failure of rotating equipment. The
moving components due to wear and tear create vibrations before
complete failure which is an indication of condition of the compo-
nent. For example, a ball bearing before complete failure may
result in eccentric running of the shaft which will start generating
noise and produce vibrations in the machine or in some compo-
nents of the machine. In general, it is difficult to detect localized
defects in ball bearings because they generate very small ampli-
tudes in the vibration signals compared to defects such as rotor
misalignment or imbalance produced by other components of the
rotating machinery [4,5].
their analysis can provide the status of the health of different com-
ponents, including bearings. Amongst the various analysis meth-
ods, vibration analysis is considered as the most prevalent and
extensively used method of condition monitoring. In few cases, it
may be possible to identify the vibration producing components
and take corrective actions but in majority of the cases, the vibra-
tion producing components may not be visible as it may be hidden
inside the structure of the machine [6]. In such cases, sensors
called accelerometer are mounted on the machine at suitable
places. The accelerometers pick up the vibration signal which is
further used for monitoring the health of the equipment.
From the literature review, it has been observed that the exist-
ing processes use contact type sensors, which have to be mounted
on the machines for vibration measurement, which is not possible
in most of the cases. Hence, this article overviews the vibration sig-
nals based studies conducted for monitoring the health of the
rotating machinery. The various condition monitoring techniques
employed to detect commonly occurring machine faults are listed
in Table 1

⇑ Corresponding author.
E-mail address: sehgals@pu.ac.in (S. Sehgal).

https://doi.org/10.1016/j.matpr.2021.04.395
2214-7853/Ó 2021 Elsevier Ltd. All rights reserved.
Selection and peer-review under responsibility of the scientific committee of the 2nd International Conference on Functional Material, Manufacturing and Performances.

Please cite this article as: C. Mongia, D. Goyal and S. Sehgal, Vibration response-based condition monitoring and fault diagnosis of rotary machinery, Mate-
rials Today: Proceedings, https://doi.org/10.1016/j.matpr.2021.04.395
C. Mongia, D. Goyal and S. Sehgal
Table 1
Common variables used as indices of machine health.
Machine defect Vibration
Damaged or worn gears ✔ ✔
Damaged rolling element bearing ✔ ✔
Damaged journal bearing ✔ ✔
Misalignment/ bent shaft ✔ ✔
Out of balance ✔
Mechanical looseness ✔ ✔
2. Vibration-based condition monitoring
Condition monitoring is an emerging technology that allows for
the reduction in frequency of scheduled inspections, saving opera-
tor’s money, time and effort, and minimized downtime. Numerous
researchers investigated various types of condition monitoring
techniques and confirmed that the alteration in the data during
working conditions is a research priority [7]. Vibration monitoring
is reported as the most widely used analyzing method for monitor-
ing the health of the machine. Today numerous journal papers and
books are available in the arena of condition monitoring and much
industrial interest has been explicit both in research and provision
of services.
A piezoelectric accelerometer is considered as a standard device
for measuring the vibration of machine because this device detects
the frequency vibration (>1 kHz) better. The main advantages of
this vibration measuring sensor are light in weight with high fre-
quency range, compactness, robustness and high sensitiveness;
their disadvantages are that these have high output impedance
generating small voltages (order of 1 mV), susceptible to ambient
interferences, and a poor response signal requiring amplification
and detection by means of amplifier and detector circuits
respectively.
Cutting vibration monitoring can furnish a significant useful
about the tool wear condition, cutting process and other things.
Zhou et al. [8] designed and developed an integrated wireless
vibration sensing tool holder system for sensing triaxial vibration
signals simultaneously using accelerometer. A pulse test and
modal analysis were used to estimate dynamic efficiency, and
milling experiments were used to assess signal acquisition capac-
ity. Then, to correlate with the various tool wear conditions, singu-
larity analysis was used to measure slight variations in signal
waveforms. Finally, using the Support Vector Machine (SVM) algo-
rithm, a tool condition monitoring (TCM) method was developed.
Experiments show that the proposed TCM method, when com-
bined with the developed tool holder system, can accurately dis-
cern tool wear status with an accuracy of 86.1% and is capable of
identifying current tool wear statuses.
The capability of vibration measurement for identifying and
diagnosing a wide range of defects in rotating machine compo-
nents is a good reason why it is frequently selected as the prof-
itable and preferable approach for condition monitoring. Bhende
et al. [9] surveyed the pragmatic applications of vibration signature
analysis used to detect bearing faults. It was concluded that time–
frequency analysis is more used to study transient characteristics
viz. impact exciting resonances. It was suggested that the localized
fatigue damage of the inner and outer races and rolling elements
could be the easiest way to detect the failure mode, since the char-
acteristic defect frequencies of bearing are well known.
Tandon [10] compared some of the vibration parameters for the
detection of defects in rolling element bearings. Ball bearings of
type SKF 6002 deep groove with a diameter of 15 mm were used
for experimentation. Experiments were also performed with six
defectless bearings to establish the level of vibration of healthy
bearings. It was found that except for crest factor and shock pulse
Materials Today: Proceedings xxx (xxxx) xxx
Acoustics (air born) Temperature Oil analysis
✔
✔
✔
measurements (SPM), all other parameters are able to detect the
bearing defects. Finally, it was noticed that the overall power has
the best ability to detect the bearing defects followed by peak
and RMS measurements.
Antoni and Randall [11] proposed the vibration signal based
stochastic modeling for bearing fault detection and its application
for diagnostic purposes. Their main aim was to furnish a better
understanding of the recognized \textquoteleft envelope analysis
technique as it is conventionally used in the diagnosis of bearings,
and secondarily to perform theoretical tests on the specific charac-
teristics of the spectrum of the envelope signal obtained from raw
vibration data. It has been shown that these points are distributed
and equidistant peaks with a rapid drop that can be measured
according to the percentage of stochastic fluctuations. They
showed that the power spectral density (PSD) and the Fourier
transform (FT) of the squared signal are the most pertinent indica-
tors to support the analysis of the squared envelope.
Further, Antoni and Randall [12] analyzed the vibration signals
to distinguish the bearing faults from the gear ones. They dealt
with vibration signal based rolling bearing fault diagnosis in the
presence of robust intrusive gear signals, such as in helicopter
transmissions. The main idea was to recognize the gear signals as
purely periodic, while the bearing signals undergo a certain ran-
domness and are about cyclostationary that is to say a periodic
autocorrelation function at two variables. An integral model was
realized for the process of generating bearing fault vibrations
according to the type of cyclostationarity they induce. Dissimilari-
ties were established between cyclic and pseudo-cyclic processes,
between distributed and localized defects, and between multi-
plicative and additive interactions with gear signals. For localized
faults, there is an additional distinction between stationary and
non-stationary time jitter in the impact process. This latter case
was demonstrated to produce a pseudo-cyclostationary vibration
signal, which can nevertheless be treated as a first-order cyclosta-
tionary. However in case of distributed faults, they offer a particu-
lar diagnostic method based on advanced spectral analysis but
simple to use. At last, they proposed an original diagnostic proce-
dure and its performances were exemplified by means of experi-
mental, simulated, and real cases.
In the sense of automatic and preventive condition monitoring
of rotating machinery, Laval et al. [13] applied the well-known Hil-
bert demodulation method necessary for detecting and localizing
cracks in bearings and gears to evaluate the efficiency of this tech-
nique by providing a quantified assessment in terms of signal pro-
cessing. The database is based on natural wear studies performed
on an industrial scale on a test bench with no fault initiation. In
the proposed simulated model, the amplitude modulation is built
in a physical approach in order to be able to set up the number
of defective teeth and their position. The findings reveal that fail-
ure detection and localization are still possible except in cases
where phase modulation is excessive or the modal response relax-
ation time is shorter than the meshing duration.
Yan et al. [14] presented a systematic experimental study on
assessing the performance of a unified algorithm in extracting
the features of bearing defects at different loading and speed con-
2
C. Mongia, D. Goyal and S. Sehgal
ditions. The algorithm decomposed the vibration signals acquired
from the type 6220 bearings by means of a discrete wavelet trans-
formation (DWT) and then the wavelet coefficients were processed
through Fourier transformation. The performance of the proposed
algorithm was validated with the experimental cases, which veri-
fied its advantage over WT or FT techniques used separately.
Among the four basic wavelet functions (viz. db2, db4, Coif1 and
bior2.2) used to process the bearing vibration signals, the db 2
proved to be the most efficient for extracting the characteristics
of the defects contained in the signal. They stated that the pro-
posed unified algorithm was intrinsically beneficial over existing
fault diagnosis and on-line monitoring the health of the machine
being processed. It has also been found that the presented unified
time-scale-frequency analysis algorithm for detecting, extracting
and identifying weak submerged defect characteristics in the
vibration signals of the machine applied to other types of manufac-
turing equipment.
Chiementin et al. [15] proposed the application of model analy-
sis based adapted wavelet to mechanical structure with n DOF for
detecting the incipient faults in rolling element bearings. They sim-
ulated the mechanical shock response for comparing the Morlet
wavelet demodulation and adapted wavelet demodulation. It has
been stated that the time scale of the conventional signal decom-
position becomes a simple time decomposition, which consider-
ably diminishes the acquisition time. The proposed methodology
was contrasted with conventional time-scale approaches and was
successfully executed to detect different size defects in the outer
and inner raceways of bearings.
Jia et al. [16] introduced a novel intelligent fault diagnosis tech-
nique for extracting the features from the vibration signals col-
lected from machines. The suggested technique first learns the
characteristics of the K-based vibration signals and then maps
the learned characteristics into a space of exceptional small-scale
features utilizing t-distributed stochastic neighbor embedding.
They verified that the presented approach allows the features of
original vibration signals to be effectively apprehended through
the results of extracting the features of a bearing dataset, and is
preferable to the eight wavelet and ten time-domain features. It
has been indicated that this could be a promising way of eliminat-
ing the necessity for human intervention in the intelligent diagno-
sis of failures, which is certainly advantageous for dealing with the
massive signals acquired.
Wind turbines run almost continuously, and they are often
exposed to harsh conditions as well as complex and dynamic loads.
Fourier analysis, a common diagnostic technique, has some disad-
vantages when applied to non-periodic, non-stationary, noisy data,
which is exactly what wind turbine data is. Unseen faults could
progress and cause serious, even catastrophic, failure in wind tur-
bines as a result of these limitations. To determine the health of
wind turbine components, information theory quantifiers such as
statistical complexity measure, divergence, and entropy have been
proposed.
Leite et al. [17] did so by using Bandt and Pompe, power spec-
trum, and wavelet packet decomposition to decompose the signal
in the time, frequency, and time–frequency domains. The proposed
methods were used to classify two separate actual data sets
acquired from operating wind turbines. The experimental findings
show that the proposed approach is capable of distinguishing
between fault states, but it also has some drawbacks, mostly due
to the complexity of the signal from operational wind turbines.
Based on these findings, new approaches, in addition to Fourier
analysis, were demonstrated for use in wind turbine data, with
the goal of improving the ability to detect faults in such a complex
environment.
3
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3. Non-contact vibration measurement
Vibration testing is extensively used in many industrial arenas,
particularly in the aviation industry, to estimate the mechanical
performance of components for satellites and aircrafts. Typically,
these tests are performed with agitators, while inertia accelerom-
eters are utilized to estimate the acceleration of the shaker table
from which the amplitude of vibration is calculated. Some applica-
tions entail the quantification of accelerations and displacements
directly on the surface of the device. But, there are some instances,
such as when testing solar panels and PCB, the inertia measuring
instruments cannot be mounted to the surface due to space short-
age or mass disrupting the tests. These shortcomings can be over-
whelm by using non-contact sensors capable of measuring non-
contact displacement and acceleration.
Montalvao et al. [18] particularly focused on composite materi-
als to study the vibration-based machine condition monitoring. It
was stated that a new type of non-contact sensors LDV was
recently designed to overcome the drawbacks of traditional sen-
sors types like piezoelectric accelerometers that are to be mounted
on the specimen. On the other hand, to install several hundred sen-
sors on the structures would be too time consuming (nearly con-
sumes 75\% of the total testing time) with the requirement of
complex wiring arrangement and data acquisition systems. It
was noticed that the application of statistical characteristics also
earned substantial consideration, given the investigational inaccu-
racies and the incomplete state, along with the running and envi-
ronmental conditions, which can mask the modifications of the
resulting damage.
Li and Lee [19] reported a novel realistic approach for estimat-
ing the size of the crack in a rotating beam with reasonable accu-
racy from vibro-acoustic signals using non-contact
measurements. The study consisted of choosing and confirming a
quantification parameter and a sensor, developing a signal process-
ing technique to estimate the size of the crack and execute exper-
imental validations. A diagnostic NN was proposed to map the
frequencies in relation to the size of the crack. They performed
the four fatigue tests to start and then to proliferate a crack. The
outputs of microphone and sizes of crack were recorded at regular
intervals in the course of all tests. They used the one of the tests
data for calibrating the neural net and the data obtained from other
three sets were utilized for testing purposes. The outcomes
achieved with experimental data showed that the suggested
method can furnish moderately better measurements of crack size
by means of indirectly excited acoustic signature.
Chen et al. [20] presented a blade tip timing based contactless
measurement method by using multiple optical sensors, and the
movements of all the vibration blades were obtained. Three probes
have been integrated into a fixed housing around the blade disc,
which estimates the times of passage for every blade in front of
the measuring instruments. The angle between these three trans-
ducers was maintained at 120°, and a reference sensor, fourth
probe (D), was positioned in front of the rotating shaft. The vibra-
tion signals of the blade acquired using blade tip timing method
were usual sub-sampled signals, and hence they proposed a Shan-
non’s sampling theorem based signal reconstruction approach in
order to obtain vibration characteristics nearby the natural fre-
quency. The nine different candidate vibration features were com-
puted to construct the crack feature space, and the principal
components were extracted from the space utilizing PCA. Then,
the cracks were detected by defining the Euclidean angles of the
principal components. At last, they prepared an experimental
setup and a small defect was artificially induced on a blade. The
acquired data were examined to demonstrate the suggested
C. Mongia, D. Goyal and S. Sehgal
approach and the outcomes obtained from the experimental data
demonstrated its effectiveness.
Tatar et al. [21] exhibited the use of non-contact LDV for mea-
suring milling dummy tool vibrations to come through the matter
of crosstalk between the velocity components. The transverse
vibrations applied by the active magnetic bearing have been elim-
inated from the LDV measurements mechanically involve the elim-
ination of the contributions of torsional vibrations. It was depicted
that how an issue of LDV interference can be avoided if the mea-
suring surface is optically flat, the laser Doppler vibrometer tech-
nique can therefore be employed to estimate the dynamics of the
spindle. It was suggested that the scanning LDV also offers the
probability of measuring vibrations in various components of a
rotating machine, i.e. the spindle housing of the milling machine
and other important elements during operation, which will pro-
vide a general picture of the system.
Lewin et al. [22] presented a simple non-contact vibrometer for
measuring the rotational speed of the shaft to analyze the torsional
vibrations under working conditions. Two interferometers having
parallel measurement beams with a known partition gap were
employed. The motor was powered by a 20 Hz AC signal, and the
maximum angle of vibration was kept as 0.3°. The velocity compo-
nents in the beams were also acquired to recover the angular
velocity of shaft. The problems associated with this instrument
have been compensated for the performances that can be accom-
plished. It was found that the frequency range in the measurement
of the vibration angle is between 1 Hz and 10 kHz and that the
speed is between 7000 and 11000 rpm with an upper limit of
1000 rad/s. They also verified the ability of the tool to function
according to the direction and depicted that at zero rpm, the pro-
posed device made it possible to easily acquire very dynamic tran-
sient processes.
Perrone and Vallan [23] presented a new contactless technique
for measuring vibrations using a cost-effective optical method, but
capable of providing submicron resolution. The instrument utilized
an easy optical configuration based on an intensity recognition pat-
tern executed with optical fibers, while the non-demanding and
innovative spectral data processing makes it possible to compen-
sate the reflectivity of the vibrating surface and the measuring
chain gains. The collected signatures have been processed in this
way using an FFT method to extract the amplitudes of the spectral
components. They carried out a series of experiments to evaluate
the effectiveness of the proposed system utilizing vibrating sur-
faces with various reflectivity and frequency values ranging from
a few Hz to several tens of kHz.
Li et al. [24] presented a contactless vibration instrument based
on the optical fiber Bragg grating (FBG) sensor to measure the shaft
vibrations. Two vibration measurement arrangements established
on the non-contact sensor and eddy current displacement sensor
were constructed. The non-contact sensor was mounted at both
ends, which extended or contracted by means of a magnetic force,
whereas the LK-G80 laser sensor was chosen as a reference for con-
tactless FBG vibration device. The outcomes of the analysis showed
that the linearity and sensitivity of the sensor are 4.11\% and
1.5 pm/mm in a measurement range of 2 mm to 2.6 mm respec-
tively. When the proposed sensor was employed to measure the
shaft vibrations, the analysis signals of shaft vibration and the crit-
ical rotation speed obtained were observed to be the similar as
those achieved from the eddy current sensor. They verified that
the proposed non-contact sensor has a potential for measuring
the shaft vibration, as well as for identifying and diagnosing the
defects in rotating machine elements. It has been suggested that
FBG’ wavelength division multiplexing technology can be used to
realize a multi-feature recognition system with other FBG sensors.
Goyal et al. [25] fabricated a low cost non-contact type sensor
system for detecting vibration signals produced by faulty bearings.
4
Materials Today: Proceedings xxx (xxxx) xxx
DWT method was used for denoising, that was followed by the
application of Mahalanobis distance criteria for selecting the most
significant features. These features were then fed to the SVM for
identification and categorization of the faults. Experimental results
claimed that proposed non-contact sensor worked at par with con-
tact type accelerometer technique.
4. Conclusion
Competition in the global market is driving manufacturing
companies to redouble their attempts to diminish costs and
improve the quality of their products in order to sustain their com-
petitiveness. This article presents the state-of-art reviews on the
vibration based condition monitoring and fault diagnosis of rotary
machinery components. It has been found that the majority of the
existing processes use contact type instruments that have to be
mounted on the machine for vibration measurement. The existing
process requires connecting cables to connect the sensors to the
other components of the measurement system that adds to the
cost and complexity of the system. Non-contact condition monitor-
ing shows a great potential to be implemented in determining the
health of machine. The utilization of non-contact vibration mea-
suring instruments has enormous potential in anticipating the
maintenance.
CRediT authorship contribution statement
Chirag Mongia: Investigation. Deepam Goyal: Supervision,
Visualization, Conceptualization, Methodology. Shankar Sehgal:
Supervision, Visualization.
Declaration of Competing Interest
The authors declare that they have no known competing finan-
cial interests or personal relationships that could have appeared
to influence the work reported in this paper.
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