Tribology International 36 (2003) 667678 www.elsevier.

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Simulation and analysis of vibration signals generated by rolling element bearing with defects
Zeki Kiral, Hira Karagu lle
Department of Mechanical Engineering, Dokuz Eylul University, Engineering Faculty, 35100 Izmir, Turkey Received 17 June 2002; received in revised form 30 December 2002; accepted 13 January 2003

Abstract Dynamic loading of a rolling element bearing structure is modeled by a computer program developed in Visual Basic programming language. The vibration response of the structure to the dynamic loading is obtained using a standard nite element package IDEAS. A force model is proposed to model the localized rolling element bearing defects. Time and frequency domain analyses are performed for diagnostics of rolling element bearing structures. Statistical properties of the vibration signals for healthy and defected structures are compared. The envelope (HFRT) method is employed in the frequency domain analysis. The effect of the rotational speed on the diagnostics of rolling element bearing defects is investigated. An optimum sensor location on the structure is sought. Effect of the structure geometry on the monitoring techniques is studied. An optimum monitoring method can be employed by analyzing the rolling element bearing structure following the procedure proposed in this study. The present commercial computer aided engineering packages can be used in special engineering applications such as condition monitoring of rolling element bearings. 2003 Elsevier Science Ltd. All rights reserved.
Keywords: Rolling element bearing; Condition monitoring; Finite element vibration analysis

1. Introduction Rolling element bearings are a common component in machinery. Therefore they have received great attention in the eld of condition monitoring. Rolling element bearings are manufactured by assembling different components: The rolling elements, the outer ring and the inner ring, which are in contact under heavy dynamic loads and relatively high speeds. The Hertzian contact stresses between the rolling elements and the rings are one of the basic mechanisms that initiates a localized defect. When a rolling element strikes a localized defect an impulse occurs and this excites the resonances of the structure. The vibration signature of a damaged bearing consists of exponentially decaying ringing. These impulses will occur with a period determined by the location of the defect, the geometry of the bearing and the type of the bearing load.
Corresponding author. Tel.: +90-232-343-6600; fax: +90-232388-7864. E-mail addresses: zeki.kiral@deu.edu.tr (Z. Kiral); hira.karagulle@deu.edu.tr (H. Karagu lle).

White [1] describes a method for simulating the machinery fault signals which are impulsive in nature and analyzed them. The basic understandings of the rolling element bearing vibrations for a defected case and a well-established model that considers the load distribution around the circumference of the rolling element bearing and the impulse response of the bearing structure are proposed in Ref. [2]. The vibration model given in Ref. [2] is extended to include multi point defects at arbitrary locations in Ref. [3]. Another theoretical model which includes the natural modes of the rings is proposed in Refs. [4,5]. The mode summation method is employed to nd the vibratory response of the bearing subjected to radial or axial load for the cases of different defect locations. The bearing vibration signals are modeled as a combination of different sources such as fault, modulation due to non-uniform loading, exural bearing modes, machinery induced vibrations and noise in Ref. [6]. There are several techniques for condition monitoring of rolling element bearings. Among them vibration and acoustic measurements are most widely used. The reader can nd a detailed review for these methods in Ref. [7].

0301-679X/03/$ - see front matter 2003 Elsevier Science Ltd. All rights reserved. doi:10.1016/S0301-679X(03)00010-0

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The vibration measurement methods can be classied as in time and in frequency domains. A brief review on the monitoring techniques in time and in frequency domain can be found in Ref. [8]. Honarvar and Martin [9,10] use the third and fourth moment of the vibration signals known as skewness and kurtosis, respectively, for bearing failure detection. McFadden and Smith [11] present the basic understanding of the high-frequency resonance technique. Lou et al. [12] propose a method based on extracting the dynamic model of the bearing system from the experimental vibration signals to design a proper fault detection lter. Recently timefrequency domain analysis has become popular. The wavelet method is used by the researchers [1317] in condition monitoring of rolling element bearings due to its superiority in time and frequency resolution while processing the vibration signals. HolmHansen and Gao [18,19] propose the sensor integrated vibration analysis technique and developed an analytical and nite element model to predict the changes in the bearing dynamic loading. The main sources of acoustic emission are plastic deformation or growth of cracks in metals. The acoustic emission technique is based on sensing the acoustic waves having a frequency greater than 100 kHz and has been used in condition monitoring of rolling element bearings [20]. Developments in the articial intelligence technology have brought up a new monitoring technique by using neural networks. In this method, the statistical properties of the vibration signals extracted from either time or frequency domain are entered into neural networks for training purposes and then the trained networks distinguish the defective bearing from the normal bearing [21,22]. In this study, dynamic loading models for healthy and defected rolling element bearing structures are developed and the vibration response of the bearing structure is performed using the nite element method. A new force model is proposed to simulate the force variation and impact formation when the rolling elements roll over a local defect. The success of the different statistical properties such as kurtosis, crest factor and RMS values of the simulated vibration signals is investigated for condition monitoring purpose. The envelope technique is employed to identify the bearing characteristic defect frequencies. The effect of the bearing structure geometry on the selection of the signal processing technique is investigated.

bearing structure. The studies on condition monitoring are focused on nding the best signal processing technique to detect an incipient failure. The simulated or experimental vibration signals are used in these studies. The experimental signals carry the information about the bearing structure which is the transmission path of the vibration, but the articial signals suffer from containing structural information. The proposed method overcomes this deciency and makes it possible to use bearing vibration signals containing structural information. The bearing structure for which the dynamic analysis is performed is shown in Fig. 1. The structure houses a 6205 model single row deep groove ball bearing. The outer ring of the ball bearing is modeled within the housing structure. The dimensions of the ball bearing are given in Fig. 2. The solid model of the housing structure is discretized into 23,964 nite elements and the resulting node number is 37,894. The element type used in the discretization is a 10-node parabolic tetrahedron having 3 degrees of freedom at each node. The bearing load is assumed to be an unbalanced force. Therefore, the radial load moves around the circumference of the outer ring as the shaft rotates. The single radial load transforms to a distributed load because the inner ring is in contact with more than one ball during the rotation. The load distribution is shown in Fig. 3. The form of the radially distributed load is given in Ref. [2] as, q(f) 1 q0 1 (1cosf) 2e 0 (1)

for fz f fz elsewhere

2. Model for dynamic loading Rolling element bearings are subjected to moving distributed radial loads. A proper loading model including the bearing kinematics and load distribution should be employed for analyzing the dynamic response of the

Fig. 1.

Rolling element bearing structure.

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Fig. 2.

Dimensions of the ball bearing.

Fig. 3. Load distribution in a rolling element bearing.

where e is the load distribution factor and given in Ref. [5] as e = 0.5(1 - Cd / 2dmax), Cd is the diametral clearance, dmax is the maximum deection in the direction of the radial load. In ball bearings e has the value between 0 and 0.5. q0 is the maximum load intensity at f = 0, and can be approximated by q0 = 5Fr / Z cos a, where Fr is the radial load. The rolling elements transfer the radial load to the outer ring during their rotation with cage frequency expressed as fc = fs / 2(1db / dm cos a) where fs is the shaft frequency. In general, the bearing loads can be classied as point and circumferential. In the point loading case, the direction of the radial load does not change and the nodes in the load zone are loaded with a constant amplitude load with the frequency Zfc. The nodes outside the load zone do not carry load. The loading mechanism for the circumferential loading is more complicated than the point loading case. In this case the radial load rotates also with shaft and therefore every node is subjected to load whenever a ball carrying the load moves over on that node. The load amplitude is not constant and the loading frequency of a node has two components composed of Zfc, and the combination of fs and fc. The form and the parameters of bearing loading due to an unbalance are shown in Fig. 4. The number of the node in the load zone N z = 2N 1. The number N is determined by the nodes that satisfy the condition |qniq|fz. In Fig. 4, q represents the shaft

Fig. 4.

The form and parameters of radial loading.

rotation, qni (i = 1N z) stands for the angular position of the nodes in the load zone and qbj (j = 1Z) stands for the angular position of the balls. Loading functions are dened versus time, taking all the variables into account by using a computer code developed in Visual Basic [23] programming language. A sample loading function is seen in Fig. 5 for the node at 90. The dynamic load model is formed using 80 nodes lying on the circumferential path. The number of exci-

Fig. 5. x components of the radial load acting on the node at 225,1000 rpm.

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tation functions is 160. The vibration analysis of the bearing structure is performed using a standard nite element package I-DEAS under the action of these excitation functions simultaneously. The I-DEAS package uses the mode summation technique and 10 modes are used to calculate the dynamic response of the bearing structure. The time increment is chosen as t = 1 / 20f 10 in order to get the contribution of all the modes in the considered region. A sample view for the dynamic response at point P3 at 1000 rpm is seen in Fig. 6. The dynamic response of the structure includes low and high frequency components as shown in Fig. 6. Low frequency components are directly related to the shaft rotation and high frequency components can be attributed to the contribution of the natural modes.

locating the given number of defects at the given positions and creates the dynamic excitation forces in ASCII le format suitable for execution in I-DEAS. Duration of the impacts is determined by the rotational speed of the shaft. Impact duration reduces as the shaft speed increases. Forced vibration analysis is performed under the predened nodal excitation functions including the impact modeling due to the defect(s). The dynamic response of the bearing structure at point P3 with defect is given in Fig. 9. It is observed from Fig. 9 that the dynamic response of the bearing structure is impulsive in nature because of the way in which it is generated. The experimental results presented in Refs. [10,13,17] conrm that the defected vibration signals have spiky characteristics and the proposed method can be used to produce vibration data for condition monitoring applications. 4. Time domain analysis In this section, the vibration data are analyzed and different parameters such as root mean square (RMS), crest factor (Cf) and kurtosis are assessed with regard to their effectiveness in the detection of bearing condition. The defect is located on the outer ring between the nodes at 225 and 229.5. The vibration data are calculated for points P1, P2 and P3 for a broad range of rotational speed ranging from 1000 to 15,000 rpm. The time domain properties for a discrete vibration signal x having Ns samples can be expressed as follows RMS

3. Defect modeling The mechanism of defect formation can be different in a rolling element bearing. Sudden changes in the radial load or Hertzian contact stresses may result in a local defect during operation. An impulse like force is produced whenever a rolling element in the load zone moves over a defect and the bearing structure is subjected to consecutive impulses. The magnitude and the duration of the impulse force are related with the radial load carried by the rolling element, defect dimensions, the velocity of the rolling elements and material properties. Dynamic stress analysis nds that the maximum stress occurs at about 225 in the bearing structure under the prescribed loading. A local defect is modeled by amplifying the magnitudes of the radial forces dened for the nodes which are in the defected area. As stated above, the value of the multiplier is determined by various parameters and this is beyond the scope of this paper. The amplication constant is chosen simply as 6 in this study. The width of the local defect is chosen as the width between two neighboring nodes. Therefore force amplication is applied for two nodes which form the leading and the trailing edges of the local defect shown in Fig. 7. The loading model for healthy and defected case are shown in Figs. 8a and b, respectively. The increase in the radial load amplitude due to impact can be seen in Fig. 8b. The developed computer code is capable of

kurtosis

i1

Ns

N 1 s 2, Cf max(x)min(x), x RMS Nsi 1 i

(ximean(x))4 NsRMS4

(2)

Fig. 6.

x-displacement response at point P3 at 1000 rpm.

The displacement response of the bearing structure is shown in Fig. 10. It can be seen from Fig. 10a that the RMS value of the displacement for point P2 is an effective parameter in a broad range of shaft speed except 9000, 13,000 and 14,000 rpm. The displacement RMS values may be used to identify the defect for points P1 and P3 in the speed region from 9000 to 11,000 rpm. The comparison of the crest factor value shows that this parameter can be used only for point P2 as a defect indicator. The crest factor parameter is not suitable during defect detection for other two receiving points. The parameter kurtosis can be used for point P2 in the low speed region. But it can be concluded that the ratio between the time domain parameters of the defected and healthy bearings is very small for all speeds and it is difcult to detect a defect by using the displacement results. The ratios between the statistical parameters of the velocity

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Fig. 7.

Impact mechanism.

Fig. 8. Loading model for (a) healthy, (b) defected bearings.

Fig. 9. Dynamic responses of the bearing structure at point P3: (a) displacement; (b) velocity; (c) acceleration.

responses calculated for healthy and defected bearings are shown in Fig. 11. The RMS ratios are greater than those given for the displacements. The point P2 seems to be a better receiving point until 6000 rpm and points P1 and P3 give better results at 9000 and 11,000 rpm. The crest factors ratios are given in Fig. 11b and it can be concluded that point P2 may be used as a fault indicator until 3000 rpm. The crest factor ratios obtained from the vibration responses fail while detecting a localized defect at higher speeds. The same observation is valid for kurtosis ratios between velocities. The kurtosis calculated from the readings for point P2 can be a good fault indicator at low speeds. Different signal processing techniques should be applied to extract useful information at high speeds. The acceleration response of the structure is frequently used in the monitoring applications. The ratios of the statistical properties for the acceleration responses are shown in Fig. 12. The RMS value of the accelerations give better result at point P2 and at relatively low speeds. The same observation is valid for the crest factor and kurtosis ratios. It can be concluded from Figs. 11 and 13 that point P2 seems to be a better receiving point for defect detection at low speeds. The vibration signal loses its spiky characteristic due to the decreasing duration of the impacts and therefore invalidity of the time domain parameters at high speeds is meaningful. The difculty in detecting the fault at high speeds can be overcome by ltering the vibration signal at some frequency bands. The statistical para-

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Fig. 11. Statistical parameters for the velocity response: (a) RMS; (b) crest factor; (c) kurtosis. Fig. 10. Statistical parameters for the displacement response: (a) RMS; (b) crest factor; (c) kurtosis.

5. Frequency domain analysis Another conventional approach is processing the vibration signals in the frequency domain. The basic indicator is the characteristic defect frequencies in the frequency domain analysis. The characteristic defect frequencies depend on the rotational speed and the location of the defect in a bearing. The existence of one of the defect frequencies in the direct or processed frequency spectrum is the powerful sign of the fault. The signature of the defected bearing is spread across a wide frequency band and can be easily masked with low frequency machinery vibrations and noise. The consecutive impacts between the defect and rolling elements excites the resonances of the structure and the resonant frequencies dominate the frequency spectrum. Therefore, the characteristic defect frequencies cannot be easily noticed because of their low amplitudes with respect to resonant amplitudes.

meters calculated for point P2 are shown in Fig. 13 after band pass ltering. The velocity signals are band pass ltered by using a fourth order Butterworth lter in the MATLAB [24] program. The ratio for RMS and kurtosis values increases ltering the velocity signal in the 2500 5000 Hz frequency band and the ratio for crest factor increases by using 02500 Hz frequency band. The increase in the ratios shown in Fig. 14 reects the benet of the ltering. The maximum increase occurs in the kurtosis values and the kurtosis parameter becomes a useful defect indicator for high speeds by selecting the appropriate lter band. Band-pass ltering also increases the RMS ratio and brings it to a useful value to distinguish the defected and healthy bearings.

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Fig. 14. rpm.

Increase in the statistical parameters after ltering, at 12,000

culty in industrial applications is that the resonances of the whole bearing structure cannot be easily predicted and consequently selection of the band-pass lter limits becomes difcult. Fig. 15 summarizes the enveloping procedure. The velocity signal shown in Fig. 15 is obtained for point P2 at 2000 rpm. As can be seen from the gure, the resonant ringings due to the impacts dominate the velocity signal. The Fast Fourier Transform of the original signal explains this situation clearly. The outer ring defect frequency does not appear in the frequency spectrum. Filtering the velocity signal around the resonant frequency makes the signal fully composed of resonant ringings. The envelope of the ltered signal is obtained taking the Hilbert transform in MATLAB. The FFT of the enveloped signal includes the outer ring defect frequency which is dened as,
Fig. 12. Statistical parameters for the acceleration response: (a) RMS; (b) crest factor; (c) kurtosis.

for

Z fs db 1 cosa 2db dm

(3)

Fig. 13. Statistical parameters of ltered velocity signals for point P2, at 12,000 rpm.

Different methods are used to amplify the amplitudes at the characteristic defect frequencies. The envelope method is one of them and frequently used in fault detection applications. The envelope method can be summarized as digitizing the time signal and band-pass ltering it in a region, typically around the resonances of the structure due to their high signal-to-noise ratio. The dif-

The existence of the characteristic defect frequencies in the frequency spectrum of the enveloped signal indicates a defect. The procedure explained in Fig. 15 can be automatized for eld applications. The resonance frequencies of the bearing structure can be calculated using the nite element approach and the vibration signal is ltered around the desired resonance. In this analysis, the velocity and acceleration signals for point P2 are ltered around 7340 Hz for which the modal displacements are purely in the y direction. The bandwidth of the bandpass lter is selected as 4for. Envelope energy is calculated from the FFT of the enveloped signal for the frequency interval (f0.1for) f (f + 0.1for). The band energy ratios for velocity and acceleration signals at different shaft speeds are shown in Fig. 16. It can be seen from Fig. 16 that the band energy of the envelope spectrum can be used as a powerful tool at low speeds. This is valid for high speeds except some rotational speeds. The weakness of the method at some high rotational speeds may be overcome by employing different bandwidths or even starting the enveloping sequence around different resonant frequencies.

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Fig. 15.

Enveloping sequence.

Fig. 16. Band energy ratio.

6. Effect of the structure The source of the vibration in a bearing structure is the interaction between the elements and the transmission mechanism of the radial load. Even a perfect bearing produces vibration because the rolling elements in the load zone change as the shaft rotates. The contribution of a local defect can be observed both in time domain and in frequency domain as stated in the previous section. Vibration measurements are done generally by mounting an accelerometer on the suitable location of

the housing structure or in some cases by hand probes. In both cases, the geometry of the housing structure determines the vibration transmission path and the transmission path changes as the geometry of the housing structure changes. In the previous studies, the housing structure is assumed to be either rigid or modeled by using a springmass model. But the dynamic characteristics of the housing structure which form the vibration transmission path between the source and the receiver (sensor) affect the vibration signal and consequently the performance of the signal processing method employed in the defect detection. The effect of the structure on the success of the signal processing method is investigated by using different bearing structure, as shown in Fig. 17. The nite element model of the new structure consist of 32,426 elements and 52,227 nodes and the material properties are used as in the rst model. The second structure is designated to give the rst natural frequency ratio as fn1(first) / fn1(second)2. The statistical properties are calculated for velocity signal and they indicate that the RMS ratios for points P1 and P3 can be used in defect detection at low speeds in contrast with the results obtained for rst structure as seen in Fig. 18a. The RMS ratios are high for point P2 at high speeds and can be preferable in this region. The crest factor ratios for point P2 can be used only at specic speeds, but at high speeds, the crest factor fails to detect a defect for every receiving point as shown in Fig.

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Fig. 17.

The new bearing structure and its nite element model.

18b. Kurtosis ratios are smaller than those given for rst structure and may be used for point P2 at 5000 rpm as seen from Fig. 18c. The kurtosis ratio is not a suitable indicator for defect detection for the second structure. It can be concluded that time domain analyses generally fail while detecting a defect. The envelope method is employed for velocity and acceleration signals calculated for point P2. It can be observed from Fig. 19 that the ratio of the envelope spectrum energy is an important indicator for defect detection even at high speeds, in contrast with the results for the rst structure. The selection of the velocity or acceleration signal for processing is unimportant. The presented results indicate that the geometry of the bearing structure has considerable effect on the selection of the signal processing parameters or techniques in condition monitoring applications. The proposed method can be employed to determine the optimum receiving point and the optimum signal processing method for a bearing structure in industrial applications.

7. Effect of the loading There are basically three different ways of loading in machinery: constant amplitudeconstant direction (gearing forces), constant amplitudevarying direction (unbalanced forces) and varying amplitudevarying direction (joint forces). The second form is considered in the previous sections. The third type of loading, varying amplitudevarying direction, is also frequently encountered in applications and hence is analyzed with regard to its effect on the defect detection methods in this section. The main bearing of a two-stroke engine shown in Fig. 20a is considered and vibration analysis is performed with or without defect. The rst structure is used as the bearing structure. The dimensions and material properties of the mechanism are given in Table 1. The gas force acting on the piston is calculated from a typical indicator diagram of a two-stroke engine and

Fig. 18. The ratio of the statistical properties for velocity signal at point P2: (a) RMS; (b) crest factor; (c) kurtosis.

Fig. 19. Band energy ratio for the new model.

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Fig. 20. (a) Two-stroke engine; (b) gas force; (c) bearing forces subjected to housing. Table 1 Material properties and dimensions of the mechanism Component no 2 3 4 Material Steel r = 7860 kg / m3 Steel r = 7860 kg / m3 Aluminum r = 2300 kg /m3 Mass (kg) 1.0143 0.5717 0.2353 Length (m) 0.065 0.2 Inertia (Igzz) (kg m2) 0.001618 0.002447

can be seen in Fig. 20b. The analysis is performed from 1000 to 5000 rpm and this speed range is suitable for two-stroke engines. The bearing forces are shown in Fig. 20c for different crank speeds. The gas force is assumed to be constant for all crank speeds. The radial bearing force acts on only the lower part of the bearing structure at 1000 rpm and moves around the circumference of the bearing at other speeds. The amplitude of the bearing force varies during one cycle of crank rotation and dynamic modeling has a more complex form. The location of the defect at 1000 rpm is predicted to be 270 according to the results of the dynamic stress analysis. Vibration analysis is carried out for healthy and defected cases and defect detection is performed both in time and frequency analysis. Time domain parameters for velocity signal are shown in Fig. 21. It is observed from Fig. 21 that the point P2 is the most sensitive receiving point to a defect at 270. The RMS ratios calculated for point P2 can be used to detect the defect for all speeds because the ratio is greater than 2. The crest factor ratios can be

used until 3000 rpm for point P2 and the kurtosis ratios can be used until 3000 rpm for all the receiving points. A comparison between the statistical parameters of the velocity signal calculated at point P2 for unbalanced force and engine bearing force loading cases shows the effect of the loading on the defect detection. It is observed from Fig. 22 that the change in the loading type affects mostly the RMS ratios and the RMS ratios became a good fault indicator. The crest factor and kurtosis ratios are less inuenced by the changes in the loading. But for both loading types, the point P2 seems to be the best receiving point. This analysis is extended by the frequency domain analysis. Fig. 23 is drawn for the HFRT results. The high frequency resonance technique is employed for the velocity signals at point P2. It is observed from Fig. 23 that the band energy ratios are generally greater than the unbalanced force case except at 3000 rpm. The band energy ratio has a lower value at this speed.

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Fig. 23.

Band energy ratio for the two-stroke engine bearing.

8. Conclusions A technique is proposed to simulate the vibration of bearing structures which houses a ball bearing with or without a defect. A computer program is developed to model the dynamic loading of the bearing structure, considering the bearing kinematics and load distribution. A force model is proposed to simulate the impulse force which arises at balldefect impact. The nodal excitations in time domain are dened as an input to a commercial nite element package. Time and frequency domain analyses are the most popular methods in condition monitoring applications. The differences in the vibration signals of healthy and defected bearings are investigated by employing these two methods. Time domain parameters RMS, crest factor and kurtosis are analyzed with regard to their effectiveness in defect detection. The high frequency resonance technique (HFRT) is employed in the frequency domain analysis and its success is investigated. The effect of the rotational speed, geometry of the bearing structure and type of loading on the selection of the signal processing technique is illustrated by the vibration analyses for two different bearing structures and two different loading conditions at different rotational speeds. It is observed that both the time and frequency domain techniques are sensitive to changes in rotational speeds, structure geometry and loading type. The proposed method can be used to determine the ideal sensor position and signal processing technique, considering the rotational speeds, structural effects and loading conditions at the beginning of an industrial condition monitoring application.

Fig. 21. Statistical properties of velocity signals for two-stroke engine main bearing: (a) RMS; (b) crest factor; (c) kurtosis.

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