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10, October 2007

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Diagnosis of Gear Systems by Spectral Analysis of Vibration Signals

Noureddine Haloui1, Djamel Chikouche2, Messaoud Benidir1
Laboratory of the Signals and Systems, College of Electricity, University of Paris-South, 3, Street Joliot-Curie, Postal Code 91192, Gif-Sur-Yvette, Cedex, France
2 1

LIS Laboratory, Electronics Department, Engineering Faculty University of Setif, 19000, Setif, Algeria.

Summary
The diagnosis of gearbox faults based on the Fourier analysis of the vibration signal produced from a gear reductor system has proved its limitations in terms of spectral resolution. In this paper, we propose a method for the fault diagnosis of a gear reductor made of two toothed wheels operating at constant conditions. This technique is based on Prony method. The good performances of the proposed method relatively to the synchronous cepstral technique are demonstrated on the basis of experimental data of the vibration signal delivered from the gear reductor system under study. We show that the fault diagnosis of the considered system can be performed by observing the evolution of the power spectrum of the vibration signal during the observation days of the reductor.

Key words:
Diagnosis, Power Spectrum, Prony, Gears, Vibration Signal.

efficient to describe the non stationarities introduced by faults in the vibration signal. The second limitation and the most important one is the frequency resolution, which is the ability to distinguish the spectral responses to two or many harmonics. Another limitation is due to the windowing of data which appears during the FFT processing [9]. In order to overcome these performance limitations inherent to the FFT approach, many modern spectral estimation techniques have been proposed during the last two decades [10 - 23]. In this paper, we propose and analyse a spectral approach, based on the Prony method, to the diagnosis of faults in gear reductors. A comparison between the proposed method and the synchonous cepstrum technique will be performed by using the vibration signal delivered by gear reductors.

1. Introduction
The gear reductors are present in all mechanical machines. We find them in most industrial sectors such as the speedbox in automobile industries. Researchers are still very interested in the study of gear reductors because of their relative weakness [1 - 7]. The analysis of vibration signals was often based on the fast Fourier transform [3, 8, 9]. This approach suffers from some limitations. Among these limitations, the FFT is not

2. Description of the Gear Reductor System Under Study

The vibration signals of the gear reductor under study have been provided from CETIM(1). They are delivered from a reductor operating 24 hours over 24 hours. The dimensions of gear wheels together with the operating conditions (speed, couple) are adjusted so that we obtain a spalling on all the width of a tooth [2, 3, 7]. During experimentation, the system has been stopped every day to observe the state of the wheel teeth. An expertise report has thus been written (Table 1).

CETIM: Centre dEtudes Techniques des Industries Mcaniques, 52 av. Felix Louat, 60300 Senlis.

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Motor

Looping reductor Ratio 40/42

Reductor under test ratio 20/21 Fig. 2 Tooth 2 in the 10th day.

Height of the tooth Fig. 3 Tooth 16 in the 11th day. a : Meshing beginning. c: End of the contact. d: End of the meshing.

Measuring point

Gear

Fig. 1 Measuring system

The system characteristics are: *The number of teeth is respectively 20 teeth on the first wheel and 21 teeth on the second wheel. *The rotation speed of the input tree of the reductor is Rpm= 1000 turns/min, thus a rotation frequency of fr=16.67 Hz and 15.87 Hz on the output tree. *The meshing frequency is fe=333.33 Hz. A measure has been recorded every day during a period of 12 days. The machine has turned permanently during the 12 days. Each measure is composed of approximately 60000 samples, thats about 50 rotation periods. The sampling frequency is 20 kHz. During experimentation, the testing gear goes from the well operating state to the deteriorated gear state.

3. The Meshing Signal

The meshing signal is principally caused by shocks between teeth of wheels that compose the reductor (fig. 4). The importance of the shock depends on the teeth shape during the well operation and the fault nature during degraded operation [2, 3, 24]. The meshing signal Se(t) is amplitude and frequency modulated by the signals Sr1(t) and Sr2(t) emitted from the pinion and the wheel whose frequencies are respectively fr1 and fr2. These modulations, being multiplicative and convolved with meshing harmonics, are defined by [3, 25]:

Table 1. Expertise Report [3, 24, 25]

Days 1 2 3 4 5 6 7 8 9 10 11 12 Observations First day of acquisition, no irregularity No irregularity // // // // // //
b: Beginning of the contact. unique

Tooth spalling No evolution Tooth 1/2 no evolution, tooth 15/16 spalling beginning Spalling evolution of tooth 15/16 // // // //

Spalling on all the width of tooth 15/16

Fig. 4 Evolution of the teeth meshing.

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se (t) = ( xc (t nT 1+ sr1(t vT se (t iTr2 ))) (1) e ))( r1) +

n= v= i=

4.2 The cepstre technique

The meshing signal being frequency and amplitude modulated by signals s r1 (t ) and s r 2 (t ) emitted from the pinion and the wheel, the cepstre constitutes one of the means to detect the periodicities in these signals [2, 3, 25]. The cepstre of a signal x(t) is defined as: 2 (4) X e (t ) = TF 1 [ln X e ( f ) ] Where TF stands for the inverse Fourier transform and X e ( f ) the Fourier transform of xe(t).
1

with:

xc (t ) the signal produced by the shock between two

gear teeth. Te = 1 / fe With: T the meshing period and f the e e meshing frequency.
Tr 1 = 1 / f r 1 = N 1 .Te With:

Tr1 the rotation period of

wheel 1 (pinion of 20 teeth), f r1 : the rotation frequency of wheel 1 and N 1 : the number of teeth of wheel 1.

Tr 2 = 1 / f 2 = N 2 .Te With: Tr 2 : the rotation period of wheel 2, f r 2 : the rotation frequency of wheel 2 and N 2 : the teeth number of wheel 2. The Fourier transform (TF) of the signal se (t ) is:
Se( f ) = Xc ( f ).( f nfe) + Xc ( f ) ( f nfe) *Sr1( f ).
n= m + +

4.3 Prony method

The model proposed in the Prony method is a sum of exponentials whose amplitude, phase, frequency and damping factor are arbitrary [9, 26- 29]. The Prony model to approximate a sequence x0, x1, x2, x3,..,xn-1, is given by:

( f f
=

r1

) + Xc ( f ) ( f nfe ) * Sr 2 ( f ). ( f ifr 2 )
n i =

(2)

Where: is the Dirac impulse. S e ( f ) = TF [ s e ( t )]

x en =

i =1

b i Z in for n=0,1,.,N-1

(5)

X c ( f ) = TF[xc (t)] S r 1 ( f ) = TF [ s r 1 ( t )]
S r 2 ( f ) = TF[s r 2 (t )]

The coefficients bi and Zi are generally complex: (6) bi = Ai exp( ji )

Zi = [exp(i + j 2fi)t ]

(7)

with Ai the amplitude, i the phase in radiants, damping factor,

i the

fi the oscillation frequency in Hertz,

4. Presentation Techniques

of

Vibratory

Analysis

4.1 First order cyclostationarity: synchronous mean

The mean of a random function of time x(t) is defined as the expected value of this function [5, 8, 13]:

and t the sampling period in seconds. To estimate the polynomial coefficients and the model order, we use one of the estimation algorithms for the AR model parameters. In our work, we have used the RLS (recursive least square) algorithm. To determine the frequencies and the damping coefficients, we use the following equations:

x e (t ) = E[ xe (t )]
Generally, this mean is a function of time. It is constant for a stationary signal; it is periodic for a cyclostationary signal [8]. The first order cyclostationarity is one means for the diagnosis of gear reductor faults. For the kind of reductor under study including a pinion of period T1 and a wheel of period T2 [2, 8], it is shown that the signal is cyclostationary at the periods T1 and T2 [3, 24]. It is possible to estimate, in our application, the synchronous mean relatively to one of these periods as follows:
p ( ) = 1 / N

F (Z ) = (Z Z k ) =
k =1

i=0

aiZ

P i

,a0=1

(8) (9)

(10) fi =tg 1[Im( Z i ) / Re( Z i )]/ 2 t The determination of amplitudes and phases is based on equations (9) et (10). The approximation function becomes then:
X e (n) = Ai exp( i it ) exp[ j (2f i it + i )] (11)
i =1 P

i = ln Z i / t

N 1 k =0

s ( + k . motif )

(3)

Finally, we obtain the power spectral density of Prony as follows:

The signal is divided into N blocks of

motif

samples.

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Amplitude relative

S e Pr ony ( f ) = X e ( f ) X e ( f )=

0 .3

Day (08)

Ai exp( j i ) 2 + [2 ( mf f
i =1 i

(12)
i

0 .2

) ]2

0 .1

The temporal and spectral processing of data, using the investigated techniques, will be presented in the following section.

- 0 .1

- 0 .2

- 0 .3

- 0 .4 0 0 .0 5 0 .1 0 .1 5 0 .2 0 .2 5

5. Temporal Processing Interpretation

of

Data

and
1

Time (s) Day (12)

The synchronous cepstre method and the Prony based technique proposed in this work have been applied to the vibration signal emitted by the gear system under study. The order of Prony model is estimated with the optimal criterion of Akaike (AIC) [9, 27]. The spectral analysis methods proposed in this paper have been simulated using an amplitude modulated signal composed of a white gaussian noise and three sinusoids of respective normalised frequencies 0.1, 0.2 and 0.21 and amplitudes 0.1, 1, and 1 (already available mechanical model [9]). The technique based on Prony algorithm and synchronous cepstre method are then applied to the recorded vibration signal emitted by the gear system under study.
Day (06)
0 .4

Amplitude relative

0 .8 0 .6 0 .4 0 .2 0 - 0 .2 - 0 .4 - 0 .6 - 0 .8 -1 0 0 .0 5 0 .1 0 .1 5 0 .2 0 .2 5

Time (s) Fig. 5 Vibrations recorded during days 6, 7,8 and 12. Displaying over 4 periods of rotation relative to the pinion.

0 .3 0 .2 0 .1 0 - 0 .1 - 0 .2 - 0 .3 - 0 .4 - 0 .5 0 0 .0 5 0 .1 0 .1 5 0 .2 0 .2 5

We notice, in figure 5, that the temporal representation of signals observed each day presents oscillations caused by teeth meshing and a modulation of long duration corresponding to the period of the two wheels (pinion of 20 teeth and wheel of 21 teeth). The vibration signal keeps this shape until the 12th day during which the fault is supposed to appear. We observe a very high increase of signal amplitude around modulations relative to oscillations between these last ones. These observations allow the diagnosis of a fault in the 12th and 13th days.

Amplitude relative

Time (s) Day (07)

0 .4

6. Synchonous Mean and Spectrum

the meshing signal is modulated by the signal of the pinion and the wheel. In order to separate the different components of the recorded signal, we compute the synchronous mean which is one of the means of separation and elimination of noise components that affect the vibration signal.

Amplitude relative

0 .3 0 .2 0 .1 0 - 0 .1 - 0 .2 - 0 .3 - 0 .4 0 0 .0 5 0 .1 0 .1 5 0 .2 0 .2 5

Time (s)

7. Synchronous Cepstre Technique

This technique is applied to the signal recorded each day of the experimentation on 8 blocks of 6 periods relative to the pinion (figure 6). Figure 7 presents the evolution of peaks corresponding to the pinion (with 20 teeth) and

IJCSNS International Journal of Computer Science and Network Security, VOL.7 No.10, October 2007 the wheel (with 21 teeth) during the 12 days of experimentation. We observe, according to figure 5, from the 2nd to the 7th day the presence of a relatively weak change in amplitude of peaks of the wheel with 21 teeth and of the pinion with 20 teeth. This change is due to many phenomena such as the level and quality of the lubricant. At the 8th day, we observe the appearance of a fault on the pinion in an obvious manner by an increase of the peak characterising it. These observations can be valuable for the diagnosis of the fault and its localisation through the synchronous cepstre.
Day 06

289

Day 12

Amplitude relative

Time (s)
Fig. 6 The cepstre of the signal recorded during days

Amplitude relative

6,7,8 and 12. A: peak of wheel with 21 teeth. B: peak of wheel with 20 teeth.

0.35

Wheel 20 teeth Wheel 21 teeth

Peak amplitudes

Time (s)

0.3

0.25

Detection of pinion fault

Day 07 Amplitude relative

0.2

0.15

0 .2

0.1

0.15

0.05 2 3 4 5 6 7 8 9 10 11 12 13

0 .1

Days

0.05

Fig. 7 Peak evolution during 12 days (Synchronous cepstre method)

0 0.05 0.1

-0.0 5

Time (s)

0.15

0.2

0 .25

8. Power Spectrum and Interpretation

Day 08 Amplitude relative

0 .2

0.15

0 .1

0.05

-0.0 5 0 0.05 0.1 0.15 0.2 0 .25

Time (s)

The power spectral density is estimated each day of the experimentation by the proposed Prony based technique. The vibration signal recorded each day is filtered between the third and the fifth meshing harmonics, where there is a higher energy with a bandwidth equals to two times the meshing frequency. The filtered passeband signal is modulated, and then it is lowpass filtered to eliminate the meshing peak in the purpose of observing the information contained in the lateral bands. Figure 8 shows the spectrum of the vibration signal recorded at the 4th day over 20 rotation periods of the pinion before and after the demodulation and the lowpass filtering.

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In the next part, we will present the experimental results, in the frequency domain, that are obtained from the Prony based method after the synchronous mean, the demodulation and the lowpass filtering.

(Day 07)

170

160

Spectrum after demodulation and filtering

4

D S P (dB)

150

140

Amplitude

130

120

110 20 40 60 80 100 120 140 160 1 80 200

Frequency (Hz)
2

Spectrum before demodulation

(Day 08)
170

1 00 0

2000

3 00 0

4000

5 00 0

6000

7 00 0

8000

9 00 0

Frequency (Hz) Fig. 8. Spectrum before and after demodulation D S P (dB)

160

and lowpass filtering

150

9. Prony Based Technique

The experimental results of the power spectral density for the vibration signal, estimated by Prony based technique, are represented on figure 9. The examination of these power spectra reveals that the spectrum keeps almost the same shape until the 6th day during which the fault manifests itself through the appearance of an amplitude increase of the peaks corresponding to multiples of the meshing frequency for the 20 teeth pinion (figure 10). We notice the non complete disappearance of peaks that characterise the 21 teeth wheel.

140

130

120

110

20

40

60

Frequency (Hz) (Day 12)

80

1 00

120

1 40

160

180

200

190

180

170

D S P (dB)

160

150

140

130

120

(Day 06)

110

A
1 70 1 60

100 0 20 40 60 80 100 120 1 40 160 1 80 200

Frequency (Hz) Fig. 9 Spectrum of the recorded signal estimated from Prony based technique at days 6, 7, 8 and 12. A: peak of 21 teeth wheel B: peak of 20 teeth wheel

D S P (dB)

1 50

1 40

1 30

1 20

1 10

1 00 20 40 60 80 1 00 12 0 1 40 1 60 1 80

Frequency (Hz)

This spectral analysis technique detects the fault, its localisation and its evolution. We can conclude that Prony based technique is an efficient means for the diagnosis of gear reductor faults.

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0.35

Wheel 20 teeth Wheel 21 teeth

0.3

Peak Amplitudes

Detection of a pinion fault

0.25

0.2

0.15

0.1

0.05 2 3 4 5 6 7 8 9 10 11 12 13

Days

Fig. 10 Peak evolution during 12 days (Prony based technique)

10. Comparative Study of the Proposed Method Relative to the Expertise Report [3]
Table 2 presents the day of fault detection using the investigated techniques according to the evolution of peaks corresponding to the rotation frequencies of the 21 teeth wheel and the 20 teeth pinion.

vibration signal emitted from the gear system under study have revealed that the cepstral method shows clearly the presence of two modulations, whereas in the temporal signal, it seems that there exists only one modulation. Moreover, this method permits to precisely measure the peaks corresponding to the 21 teeth wheel and the 20 teeth pinion. It detects well the fault at the 8th day according to the change in the vibrations nature, whereas the temporal signal does not present yet characteristic particularities on the appearance of a fault until the 12th day only. Furthermore, the Prony based technique detects the fault appearance at the 6th day in the gear reductor system through a simple visual interpretation and consequently a simple observation of the presence or the absence of gear faults. In summary, this study demonstrates, relatively to the expertise report, that the proposed Prony based method is more performant than the cepstre synchronous method. It can be interesting in the supervision of complex gear reductors. In this case, we must follow carefully the evolution of particular peaks, both in amplitude and frequency, in the purpose of detecting faults.

11. Conclusion
In this paper, a gear box diagnosis technique based on Prony model has been proposed. The performances of this technique in the gear system diagnosis have been compared to those of the synchronous cepstre method and the expertise report. The application of this technique to the vibration signal emitted by the gear reductor system permits to conclude that it can play an important role in the study of gear vibrations. In fact, the use state of a reductor is strongly related to modulation phenomena that present the vibrations relative to the meshing signal. We have shown that vibration analysis through the Prony based technique permits to detect the fault presence and determine the deteriorated wheel at the 6th day, whereas the synchronous cepstre detects the fault at the 8th day. Consequently, this technique is very efficient for the diagnosis of faults in gears reductors.

Table2. Day of fault detection.

Days 2 3 4 5 6 7 8 9 10 11 12 13 Synchronous Cepstre No fault // // // // //
Fault detection Fault evolution

Prony based technique No fault // // // Fault detection No evolution Fault evolution // // // // //

// // // //

References
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Biography
Name: Chikouche Djamel Address: Electronics Department, Engineering, Faculty, University of Setif, Postal Code 19000, Setif, Algeria. Education & Work experience: Professor at the Electronics Department, Engineering Faculty, University of Setif, Algeria. I got my MS degree in Electrical Engineering from Ohio State University, USA in 1984 and my PhD in Signal Processing from the University of Setif, Algeria in 2000. My research interests are: Signal processing, spectral analysis, fast algorithms, diagnosis of gearbox faults, and parallel processors.

Name: Benidir Massaoud Address: Laboratory of the Signals and Systems, College of Electricity, University of Paris- South, 3, Street JoliotCurie, Postal Code 91192, Gif- Sur-Yvette, Cedex, France. Education & Work experience: Professor of signal processing and Dean of the Doctoral education, University of Paris-South, France. Name: Haloui Noureddine Address: 2, Avenue of Savigny Postal Code 93600, Aulnay Sous Bois, France. Education & Work experience: I got my MS degree in Signal Processing from the University of Setif, Algeria in 2002. My research interests are: Signal processing, spectral analysis and diagnosis of gearbox faults.