Vibration analysis of rotating machinery using timefrequency

analysis and wavelet techniques

F. Al-Badour
a
, M. Sunar
a,n
, L. Cheded
b
a
Mechanical Department, King Fahd University of Petroleum & Minerals, Dhahran 31261, Saudi Arabia
b
Systems Engineering Department, King Fahd University of Petroleum & Minerals, Dhahran 31261, Saudi Arabia
a r t i c l e i n f o
Article history:
Received 24 August 2008
Received in revised form
19 January 2011
Accepted 27 January 2011
Available online 4 February 2011
Keywords:
Short-time Fourier transform
Wavelet transform
Wavelet packet
Windowing
Vibration signal
Rotating machinery
a b s t r a c t
Timefrequency analysis, including the wavelet transform, is one of the new and
powerful tools in the important eld of structural health monitoring, using vibration
analysis. Commonly-used signal analysis techniques, based on spectral approaches such
as the fast Fourier transform, are powerful in diagnosing a variety of vibration-related
problems in rotating machinery. Although these techniques provide powerful diagnos-
tic tools in stationary conditions, they fail to do so in several practical cases involving
non-stationary data, which could result either from fast operational conditions, such as
the fast start-up of an electrical motor, or from the presence of a fault causing a
discontinuity in the vibration signal being monitored. Although the short-time Fourier
transform compensates well for the loss of time information incurred by the fast Fourier
transform, it fails to successfully resolve fast-changing signals (such as transient
signals) resulting from non-stationary environments. To mitigate this situation, wavelet
transform tools are considered in this paper as they are superior to both the fast and
short-time Fourier transforms in effectively analyzing non-stationary signals. These
wavelet tools are applied here, with a suitable choice of a mother wavelet function, to a
vibration monitoring system to accurately detect and localize faults occurring in this
system. Two cases producing non-stationary signals are considered: stator-to-blade
rubbing, and fast start-up and coast-down of a rotor. Two powerful wavelet techniques,
namely the continuous wavelet and wavelet packet transforms, are used for the
analysis of the monitored vibration signals. In addition, a novel algorithm is proposed
and implemented here, which combines these two techniques and the idea of window-
ing a signal into a number of shaft revolutions to localize faults.
& 2011 Elsevier Ltd. All rights reserved.
1. Introduction
Rotating machines cover a wide range of critical facilities and provide the backbone of numerous industries, from gas
turbines used in the production of electricity to turbo-machinery utilized to generate power in the aerospace industry. It is
vital that these machines run safely over time and under different operational conditions, to ensure continuous
productivity and prevent any catastrophic failure, which would lead to extremely expensive repairs and may also
endanger lives of the operating personnel.
Contents lists available at ScienceDirect
journal homepage: www.elsevier.com/locate/jnlabr/ymssp
Mechanical Systems and Signal Processing
0888-3270/$ - see front matter & 2011 Elsevier Ltd. All rights reserved.
doi:10.1016/j.ymssp.2011.01.017
n
Corresponding author.
E-mail address: mehmets@kfupm.edu.sa (M. Sunar).
Mechanical Systems and Signal Processing 25 (2011) 20832101
Generally, a simple condition monitoring system is approached from a pattern classication perspective. It can be
decomposed into three general tasks: (1) data acquisition, (2) feature extraction and (3) condition classication [1]. Several
parameters may be used for condition monitoring, including temperature, pressure, oil analysis, noise and vibration. The
most common method is based on nondestructive vibration measurements using transducers such as accelerometers,
velocity pickups and displacement probes. Vibration measurement provides a very efcient way of monitoring the
dynamic conditions of a machine such as unbalance, misalignment, mechanical looseness, structural resonance, soft
foundation and shaft bow.
1.1. Traditional Fourier-Based approaches to vibration analysis
Traditional vibration signal analysis has generally relied upon the spectrum analysis via the Fourier Transform (FT).
Fourier analysis transforms a signal f(t) from a time-based domain to a frequency-based one, thus generating the spectrum
Fo that includes all of the signals constituent frequencies (fundamental and its harmonics) and which is dened as [2]
Fo
Z
1
1
f te
iot
dt 1
Fuelled by its huge success in processing stationary signals in a wealth of application areas, an FT technique has enjoyed
other interesting extensions. One such extension is in the particular area of vibrations and machine-health monitoring,
called the fast Fourier transform (FFT)-based order analysis (OA) technique, including its order-tracking capability [3]. The
OA technique transforms the revolution domain into an order spectrum and any signal that is periodic in the revolution
domain will appear as a peak in the order spectrum. By doing so, the OA technique tries to overcome the effect of
frequency change on the FFT and hence allows for a better tracking of speed-driven harmonics in rotating machinery.
However, the assumption in this technique is that the frequency change within a single time interval is small, so that the
necessity of a stationary signal for frequency transformation is not largely violated. If the frequency changes signicantly
within this time interval, then the FFT will yield an error in the actual value of the signal [4].
An important deciency of the FFT is its inability to provide any information about the time dependence of the
spectrum of the signal analyzed, as results are averaged over the entire duration of the signal. This feature becomes a
problem when analyzing non-stationary signals. In such cases, it is often benecial to acquire a correlation between the
time and frequency contents of the signal. Non-stationary signals could be classied into two groups:
Evolutionary harmonic or frequency-modulated signals: these signals are generated by some underlying periodic time-
varying phenomenon like a change in rotational speed during start-up or coast-down.
Transient signals: these signals have short durations and an unpredictable time behavior, and are therefore viewed as
being random in nature. Examples of such signals are impact loading and rubbing.
This important limitation of the FFT has led to the introduction of timefrequency signal processing tools, such as the
Short-Time Fourier Transform (STFT), the Wigner-Ville Distribution (WVD) and others. The STFT maps a signal into a two-
dimensional (2D) function of time and frequency. The difculty in using the STFT is that the accuracy of extracting
frequency information is limited by the length of the window relative to the duration of the signal. Once the window
function is dened, the area (time-bandwidth product) of the window function in the timefrequency plane remains xed,
which means that the time and frequency resolutions cannot be increased simultaneously. Consequently, for an STFT,
there is a trade-off between time and frequency resolutions [5]. The WVD has a good energy concentration in the time
frequency plane; but suffers from interference terms which appear in the same plane and tend to mislead the signal
analysis [6].
1.2. Wavelet-Based Approaches to vibration analysis
The wavelet transform (WT) is a relatively new and powerful tool in the eld of signal processing, which overcomes
problems that other techniques face, especially in the processing of non-stationary signals. It allows the use of
long time intervals, where more precise low-frequency information is desired and also permits the use of shorter
time intervals where accurate high-frequency information is desired. It is also employed for the accurate extraction of
narrow-band frequency signals. The main advantage gained by using wavelets is the ability to perform a local analysis
of a signal, or to zoom on any interval of time without losing the spectral information contained therein. The wavelet
analysis is thus capable of revealing some hidden aspects of the data that other signal analysis techniques fail to
detect. This property is particularly important for damage (crack) or fault detection applications. One possible drawback of
the WT is that the frequency resolution may be quite poor in the higher frequency region. Hence, the WT still
faces difculties when trying to discriminate signals containing high frequency components, such as impact faults
(like rubbing).
F. Al-Badour et al. / Mechanical Systems and Signal Processing 25 (2011) 20832101 2084
A wavelet c(t) is a waveform of effectively limited duration that has an average value of zero over time, as described by
the following Eq. (2):
Z
1
1
ctdt 0 2
To achieve wide ranges of analyses and applications, and a higher signal-resolving power, the wavelet schemes use
basis functions other than sines and cosines, which constitute bases of the Fourier analysis. The wavelet functions are
composed of a family of basis functions that are capable of describing a signal in a localized time (or space) and frequency
(or scale) domains. Choosing the type of the basis function depends on the application as well as the computation efforts
required. The appropriate selection of mother wavelets is very important, as results are heavily dependent on the chosen
wavelet shape. Wavelets of various shapes exist, including the rst-ever wavelet (Haar wavelet) [7] and other types such
as Mexican hat-shaped and Gaussian-shaped [6]. However, for singularity analysis and detection, wavelets should have an
impulse-like shape to capture the sudden change in the signal. Morlet and Gaussian wavelets are found to have an
excellent representation of a singularity (discontinuity) as the vibration signal has a harmonic oscillation plus a singularity
representing the fault. It is desirable to have a linear phase scaling function in order to maintain a constant group delay
and the envelope of the original vibration signal, which will avoid problems during the signal reconstruction process.
Having a wavelet shape resembling that of the targeted fault greatly helps in the wavelet selection decision.
The wavelet transform and its other three types are further discussed in Section 4, where the details of the proposed
hybrid wavelet-based approach are clearly expounded.
The paper is organized as follows: Section 1 reviews the two general approaches to vibration analysis, namely the
traditional FFT-based and the modern wavelet-based ones. Section 2 describes the experimental setup used and the data
collection procedure, whereas Section 3 reports on, and discusses, the experimental results obtained using the FFT
approach. In the key Section 4, the 3 main types of wavelets, Continuous Wavelet Transform (CWT), discrete wavelet
transformation (DWT) and wavelet packet transform (WPT) used in vibration analysis are rst reviewed and then both the
CWT-based maxima modulus technique and WPT are applied to the data from the blade-to-stator rubbing test, and their
performances are compared. This section also introduces the proposed novel hybrid approach based on a judicious use of
these 2 tested techniques, i.e. the CWT-based maximal modulus technique and WPT. Finally, some conclusions are given
in Section 5.
2. Experimental setup and data collection
The test rig was built for research purposes to study blade and shaft vibrations of turbo-machinery (Fig. 1). It is
primarily designed to study blade vibrations using a remote sensing system via a set of strain gages bonded to one of the
blades. It is also possible to measure shaft vibrations directly by proximity probes or indirectly by accelerometers through
their placement near shaft supports. The test rig consists mainly of the following elements:
1) A 3-phase induction motor of 220 Volt and 60 Hz with three Horse Power (HP) connected to a variable speed controller.
2) Two shafts, one of which holds three unbalanced disks coupled with another shaft carrying a disk with 12 blades.
3) A 2 kW generator and a bank of resistance elements used as a braking mechanism. The test rig mechanical components
(motor, shafts and generator) are coupled with three exible couplings. An adjustable rubbing device is attached to the
base plate at the circumference of the blades to induce blade rubbing during the experiment.
Mainly, a proximity probe is used to read the lateral shaft vibration and the strain-gage system is used to collect the
blade vibration data. An accelerometer is also used, but its results are kept for comparison only and are not reported here
Fig. 1. Schematic drawing of the rotor kit.
F. Al-Badour et al. / Mechanical Systems and Signal Processing 25 (2011) 20832101 2085
due to the lack of space. The 5-mm probe is of model 10001 from METRIX Instruments and has a sensitivity of 200 mV/mil.
The strain gages made by MM micro measurements are of standard 120 Ohm type and are put together into a set of four
connected in a full-bridge arrangement to produce an accurate and information-rich signal. The strain gage set is powered
by a 9 V DC battery from Binsfeld transmitter and its output is taken by a receiver unit. The strain gages attached on blades
are arranged to capture only the blade bending deection and not the blade torsional vibration, which is found to occur at
high frequencies from a prior nite element analysis of the system. The transducer outputs are then sent to the data
acquisition interface unit (DAIU) 208 of the Bently-Nevada Inc. (BNC), which is equipped with eight channels for input
and 2 references (key phasors) for speed. The DAIU is connected to a computer, where the Automated Diagnostics for
Rotating Equipment (ADRE) software of the BNC is installed for processing the vibration data and producing various plots.
The main plots are: (1) time waveform, (2) frequency spectrum and (3) cascade (a three-dimensional plot of the frequency
spectrum versus the speed). A Labview-based general-purpose interface package developed and supplied by Teclution, is
also used to acquire and process the vibration input. This software is useful to extract the time wave signal and save it in
one vector rather than splitting it into patches of vectors as the ADRE does. This is needed to analyze the transient
vibration signals during the start-up and coast-down stages of the rotor kit.
The location of a transducer is very important, because the location plays a big role in the ability of the transducer to
sense a certain signal energy level generated by the vibrating body. Fig. 1 shows the location of transducers marked with
numbers.
3. Experimental results using an FFT
Three experiments are carried out: 1) free vibration of blades, 2) blade-to-stator rubbing at different speeds and
3) fast start-up and coast-down. The 1st experiment is run to locate the natural frequencies of blades. The 2nd and 3rd
experiments are conducted to simulate the occurrence of non-stationary and transient faults for the comparison of the FFT,
timefrequency and WT techniques. The expected faults from these experiments are unbalance and misalignment. The
unbalance in rotating machinery is one of the main causes of vibration [8]. A perfectly balanced rotor is hard to achieve; so
even under normal operating conditions, the frequency spectrum using the traditional FFT technique may show a spike at
the operating speed. The shaft misalignment is the deviation of the relative shaft position from a collinear axis of rotation
measured at points of power transmission when the equipment is running at normal conditions [9]. The shaft
misalignment is considered to be another major vibration problem that occurs in rotating machines. Traditionally, a
vibration engineer diagnoses the shaft misalignment in the frequency spectrum from the harmonics of multiples of
rotational speed, so-called at 2X, 3X, y, etc.
3.1. Free vibration of blades
The test is carried out by applying a tip deection to the blade holding the strain gages as an initial condition and then
letting the blade vibrate freely. As a result, the blade oscillates at its natural frequencies and so the signal from the strain
gages is expected to yield the blades natural frequencies in the FFT-based frequency spectrum of the signal from the blade.
Results show that the rst blade bending mode occurs at 42 Hz. This was predicted to be 49 Hz for the stationary rotor
from the nite element analysis (FEA) results, using the ANSYS package. The section on the nite element modeling and
analysis is omitted here solely for lack of space. The difference between the experimental and nite element results is to be
expected and may possibly be due to the assumed boundary conditions and neglected details in the nite element model.
The second bending mode of the blades is found from the test to be 264 Hz and by an FEA as 256 Hz.
3.2. Blade-to-Stator Rubbing
It is well-known that the blade failure due to rubbing is one of the main causes of turbine failures. The blade-to-stator
rubbing usually occurs during the start-up as a result of vibration displacement, due to an unbalance becoming equal to, or
larger than, the clearance between the blades and the stator. The rubbing may suddenly break the blades or may develop
slowly, eventually leading to failure. The test is conducted such that when the rotating system rotates at a constant speed,
a blade rubbing excitation device suddenly touches one blade and is released thereafter, thus simulating the occurrence of
a blade-to-stator rubbing. The test is carried out at the speeds of 300, 600 and 1000 rpm (5, 10 and 16.7 Hz, respectively).
Higher rotor speeds are not tested due to potential danger to the operator and damage to the test equipment. The blade-to-
stator rubbing is monitored by the strain gage system via the remote sensing capability. When the blade rubs the stator,
the blade is excited with an impulse force, which causes the blade to vibrate at its natural frequencies. These natural
frequencies, arising from the rst and second bending modes of the blade, are clearly shown in Fig. 2(ac) as having values
of 41, 44, 46, 262 and 266 Hz. The running frequencies of the rotor at 5 10 and at about 16.7 Hz also appear in the spectra
due to the unbalance. The magnitude increase due to rubbing is very clearly indicated in these gures both in time and
frequency domains.
The shaft displacement was used as an indirect measure of blade vibrations, for which the power spectral density (FFT)
result is shown in Fig. 3. One of the expected frequencies is the rst blade bending frequency around 46 Hz, as previously
indicated via the direct strain gage measurement. The spectrum shows the dominant frequency component at the running
F. Al-Badour et al. / Mechanical Systems and Signal Processing 25 (2011) 20832101 2086
speed of 16.7 Hz and its harmonics due to presence of the unbalance and/or shaft misalignment. It also seems to indicate
the rst blade bending frequency with low amplitude. No signicant change is observed in signal frequency content during
rubbing. This may possibly be due to combination of an insufcient strength of the impact force causing the rubbing and
the lack of resolving power of the FFT in analyzing the non-stationary signal emanating from the transient rubbing process.
Principally, because of the non-stationary character of the rubbing signal under analysis, such a situation is expected to be
greatly improved by the application of the wavelet approach advocated in this paper. The proximity probe results at the
rotor speeds of 5 and 10 Hz show almost the same trend and hence are not reported here.
3.3. Start-up and Coast-down Test
Fig. 4 shows the signal acquired from the vertical proximity probe 1 depicted in Fig. 1. Note in this gure the burst-like
nature of the vibration signal as the rotor approaches the target speed. The maximum level of vibration reached is about
7 mils, which is enough to classify this vibration roughly. The Fourier spectrum of this signal, obtained with the traditional
FFT and shown in Fig. 5 is full of spikes with not much useful information to be extracted from it for the purpose of fault
detection. This clearly shows the lack of power of the FFT in revealing fault-related information from the spectrum of the
transient vibration signal.
Prior to the advent of timefrequency techniques, the above problem of the FFT technique was overcome by so-called
waterfall or cascade plots. Also called speed spectral maps in the order analysis [3] terms, a cascade plot is a three-
dimensional plot, where the signal is divided into patches and each patch is FFT-analyzed over a certain duration of time.
As such, the time-varying nature of the spectrum is mitigated, but at a cost of irretrievably loosing part of the signal during
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8
-6
-4
-2
0
2
4
6
Time [sec]
A
m
p
l

[
V
o
l
t
]
50 100 150 200 250
0.5
1
1.5
2
Frequency [Hz]
A
m
p
l

[
V
o
l
t
]
Normal
Rubbing
5 Hz
41 Hz
31Hz
56 Hz
262 Hz
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8
-4
-2
0
2
4
6
Time [sec]
A
m
p
l

[
V
o
l
t
]
50 100 150 200 250 300
0.2
0.4
0.6
0.8
1
1.2
1.4
Frequency [Hz]
A
m
p
l

[
V
o
l
t
]
10 Hz
44 Hz
46 Hz
262 Hz
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8
-5
0
5
Time [sec]
A
m
p
l

[
V
o
l
t
]
50 100 150 200 250 300
0
0.5
1
1.5
Frequency [Hz]
A
m
p
l

[
V
o
l
t
]
46 Hz
16.25 Hz
266 Hz
Normal
Rubbing
Normal
Rubbing
Fig. 2. Strain gage results with and without blade rubbing at running speeds of (a) 5 Hz, (b) 10 Hz, and (c) 16.7 Hz.
F. Al-Badour et al. / Mechanical Systems and Signal Processing 25 (2011) 20832101 2087
Fig. 3. Shaft FFT results with and without blade rubbing at 16.7 Hz.
Fig. 4. Vertical proximity probe 1 time-wave signal during start-up and coast-down.
Fig. 5. Vertical proximity probe 1 Fourier spectrum during start-up and coast-down.
F. Al-Badour et al. / Mechanical Systems and Signal Processing 25 (2011) 20832101 2088
the patching process. Fig. 6 shows the cascade plot of the vertical proximity probe 1 indicating the distribution of vibra-
tion frequency in Hz (on the horizontal axis) as a function of the rotor speed in RPM (on the vertical axis). The third
direction out of the paper in the plot depicts the vibration amplitude. In Fig. 6, the motor acceleration was lowered to
increase the start-up time, allowing suffusion time for the data acquisition system to capture a large number of spectrums
during the start-up. The result shows frequencies of the unbalance (1x), and those of the misalignment (1x and 2x).
Despite a large number of spectral lines, some transition speeds could not be captured as a result of the non-continuous
data recording.
4. Proposed Hybrid Wavelet-Based Approach and experimental results using Time-Frequency and wavelet techniques
4.1. Review of Three Wavelet Transforms: CWT, DWT and WPT
In this section, the three major wavelet transforms are briey reviewed: namely the CWT, DWT and WPT, with an
emphasis on the CWT and WPT.
The WT is classied into three types: the CWT, DWT and WPT. J. Morlet along with an A. Grossmann formulated the
CWT and dened it as the sum over all time of the signal multiplied by scaled and shifted versions of the mother wavelet
function [6]. Hence, the modulus of the CWT for the signal f(t) is given as
C
f
a,b
Z
1
1
xtca,b,tdt 3
where t is the time, a is the scale and b is the location or space. The square of the modulus of the CWT is often called the
scalogram (SG) and is dened as
SG
f
a,b 9C
f
a,b9
2
4
The CWT is one of the best transforms for singularity detection. Impact faults could be detected by nding the
singularity in the signal. The singularity is detected using the local maxima lines by nding the abscissa, where the wavelet
modulus maxima converge at ne scales. The term modulus maxima describes all points on the scale-space distribution
W
f
(a,b
o
) such that 9W
f
a,b
o
9 is locally maximum at a=a
o
, which implies that
@9W
f
a,b
o
9
@a

a ao
0 5
Daubechies and Mallat are credited with the development of the wavelet from continuous to discrete signal analysis by
discretizing the modulus of the CWT as [6]
C
f
a,k
X
n
xnca,k,n 6
with t nDT and b kDT, where DT is the sampling interval, n and k are integers, i.e. n, k=1, 2, y, N, where N is the
number of samples.
Coifman, Meyer and Wickerhauser developed the wavelet packets, which are the bases formed by taking linear
combinations of the usual wavelet functions [6]. The WPT continuously decomposes both the approximate and detail
components of the signal, so as to, respectively, utilize low- and high-frequency components of the signal at various scales.
This feature allows the extraction of signal features that combine both non-stationary and stationary characteristics [5].
The WPT is the latest technique in the family of wavelet transforms and is found to be one of the best analyzing tools of
vibration signals and fault detection. It is a generalization of the DWT and, as such, gives the user a much richer
characterization of the signal being analyzed. The WPT is faster than the CWT as it uses orthogonal and bi-orthogonal
Fig. 6. Vertical proximity probe 1 cascade plot during start-up and coast-down.
F. Al-Badour et al. / Mechanical Systems and Signal Processing 25 (2011) 20832101 2089
bases with a better resolution in the high-frequency region. The detection method used is similar to that in spectral
analysis, where each fault has a characteristic frequency to be detected. So, faults could be monitored by monitoring
packets that have central frequencies equal or close to the fault frequency of interest. The power of WPT lies in its
frequency resolution of signals with a short or small number of samples as compared to the FFT approach.
The selection of the mother wavelet function plays a big role in the efciency of the WPT. From a simulation point of
view, it is found that Daubechies and discrete Meyer are the best wavelets to be used in vibration signal analysis. This
judgment was reached as a result of conducting some simulation-based experiments to select the best wavelets for
vibration signals, which are impulsive in nature. It is usually preferable to rearrange the wavelet packets based on their
frequency order, rather than on their natural one, as the packet index (j,p) labeled as (j,k) in equations below. A wavelet
packet function W is a function with three integer indices of (j,k,n) dened as
W
n
j,k
t 2
j=2
W
n
2
j
tk 7
where integers j and k indicate the index scale and translation operations, respectively, and the index n is called the
modulation or oscillation parameter. The rst two-wavelet packet functions are the usual scaling and mother wavelet
functions of f(t) and c(t), respectively, given by
W
0
0,0
t ft and W
1
0,0
t ct 8
The wavelet packet coefcients o
j,n,k
of the signal f(t) can be computed via the following equation [5]:
o
j,n,k

Z
f tW
n
j,k
tdt 9
The WT, briey described above, was introduced to overcome the drawbacks of the STFT, WVD and other related time
frequency transforms. Ping et al. [1] used the rst-order wavelet gray moment to indicate quantitatively faults in rotating
machines and compared results with those obtained with the FFT. In order to detect the low frequency signals, Li et al. [7]
used Haar wavelets, which under different and particularly large scales, have good low-pass lter characteristics in the
frequency domain, so as to allow the use of Haar continuous wavelet transform for this purpose. This transform was
applied to the diagnosis of various types of machine faults. Miao and Makis [10] used the modulus of maxima lines and
proposed an on-line fault classication system with an adaptive model re-estimation algorithm. The machine condition
was then identied by selecting the Hidden Markov Model (HMM), which maximized the probability of a given
observation sequence. The authors validated their HMM model on three sets of real gearbox vibration data to classify
the normal and failure conditions. For a ball-bearing fault detection by the HMM classier, Purushotham et al. [11] used
the vibration signals from ball-bearings having single and multiple point defects on inner race, outer race, ball fault and
combination of these faults. Bearing race faults were detected via the DWT. Then, the HMM model was employed as a
classier, and the vibration signals were decomposed up to four levels, using the Daubechies 2 wavelet.
Adewusi and Al-Bedoor [12] analyzed the start-up and steady-state vibration signals of a rotor with a propagating
transverse crack by scalograms and space-scale energy distribution graphs. The start-up results showed that the crack
reduced the critical speed of the rotor system. The steady-state results indicated that the propagating crack caused
changes in vibration amplitudes with the frequencies corresponding to 1X (rotor speed), 2X and 4X harmonics. Zou
et al. [13] analyzed the torsional vibration signal of a cracked rotor by using the CWT using Daubechies 10 mother wavelet
and Hilbert transform. Their analysis led to the detection of a deep crack by two peaks in a three-dimensional wavelet
spectrum and that of a shallow crack by six peaks. Junsheng et al. [14] utilized the CWT in fault diagnosis for roller
bearings, where an impulse response wavelet was used to target characteristics of faulty roller bearings vibration signals.
They concluded that the impulse response wavelet was superior to the Morlet wavelet in the scale-wavelet power
spectrum comparison method.
Zanardelli et al. [15] developed three wavelet-based methods to predict the failure of electric motors. A total of 15
mother wavelets were tried with the expectation that one or two of them would be nally used. Antonino-Daviu et al. [16]
diagnosed the rotor bar failures in induction machines based on the analysis of the stator current during the start-up, using
the DWT. The method yielded a better diagnosis when compared with the Fourier analysis. Figarella and Jansen [17]
addressed the singularity detection of an electrical motor current signal using the CWT as related to the brush condition.
The literature survey revealed that applying the WT as a ltering operation was found to be very efcient in the
vibration signal analysis, especially for non-stationary signals. Many fault classication or detection algorithms proposed
by researchers were based on pattern recognition and soft computing (learning) techniques (e.g. Fuzzy, Neural Network,
Neuro-Fuzzy, etc.). But these techniques are not well-suited for real-time applications and analysis of non-stationary
vibration signals, because they are used to model situations and/or processes under certain stationary conditions with the
processing done ofine in some cases (as with neural nets and fuzzy sets, etc.). Having recognized the strong resolving
power of the WT and its successes reported by researchers in various areas, we carried out some simulation work in the
area of fault detection in rotating machinery and the results were found to be encouraging [1820]. In this paper and as
explained below in sub-Section 4.2, our rst main contribution is to show that despite the fact that the WPT surpasses the
CWT in terms of speed and spectral characterization of the vibration signal, the latter (CWT), when supplemented with the
maxima modulus technique, can outperform the former (WPT) in detecting impulsive faults. Our second main
contribution, as explained in sub-Section 4.3, is to propose a novel and powerful wavelet-based signal processing tool
F. Al-Badour et al. / Mechanical Systems and Signal Processing 25 (2011) 20832101 2090
that judiciously combines the strengths of both transforms, i.e. the rich spectral characterization and speed of the WPT and
the ability of detecting impulsive faults, of the CWT used in conjunction with the maxima modulus technique. This new
scheme was tested on real experimental data obtained from a custom-designed rotating machine (test rig).
4.2. Blade-to-Stator Rubbing Analysis using CWT-Based Maxima Modulus Technique and WPT
In the blade-to-stator rubbing test, two different signals are collected: the rst one is from the strain gage system
attached to one blade and the second one is via the proximity probe 2. The test is carried out at the speeds of 5, 10 and
16.7 Hz.
The CWT was applied to the strain gage signals and the results are shown in Figs. 7 and 8 where the intensity scale is linear.
As seen in this gure, the CWT results clearly distinguish between normal and rubbing conditions by detecting the sudden
change in blade vibration amplitude as a discontinuity in the scale vs. space domain, which is shown in the gure as a line
crossing all scales (frequencies) at the instant of rubbing. The CWT is implemented using Gaussian wavelet and the localization
of the discontinuity or singularity in the time wave signal is achieved using the modulus maxima lines. The modulus maxima
Fig. 7. CWT (upper part) and modulus maxima lines using Gaussian wavelet (lower part) for strain gage signal with rotor operating at 5 Hz
(normal operation).
F. Al-Badour et al. / Mechanical Systems and Signal Processing 25 (2011) 20832101 2091
lines are expected to converge at the instant of rubbing. The results are shown in Figs. 711 for the rotor speeds of 5, 10 and
16.7 Hz. Fig. 7 shows the test results at 5 Hz with normal operation, that is the condition with no rubbing, and it is clear that no
sign of discontinuity or singularity can be seen. On the other hand, Fig. 8 shows a clear convergence at the time of rubbing, i.e.
at a space around 370. This is the location where the blade starts to vibrate rapidly due to the rubbing impact. Fig. 10 shows
three convergence points at 10 Hz: one just before, one during and one just after the rubbing, as indicated by arrows in this
gure. A possible explanation of the existence of the pre- and post-rubbing convergence points is that, in addition to sensing
the rubbing on the blade to which it is bonded, the strain gage is also picking up the vibrational impact of the rubbing on
adjacent blades. Similar plausible explanations can be made for the modulus maxima lines shown in Fig. 11 at 16.7 Hz rotor
speed, although, in this gure, only the rubbing instant is indicated by an arrow. These results together show that the method
of local maxima is able to indicate and localize the rubbing instant.
The singularity detection scheme through the CWT is outlined below:
1) The signal is chosen to have a length of 2
n
and a zero mean.
2) An appropriate mother wavelet is selected. In our case Gaussian wavelet was used.
Fig. 8. CWT (upper part) and modulus maxima lines using Gaussian wavelet (lower part) for strain gage signal with rotor operating at 5 Hz
(with rubbing).
F. Al-Badour et al. / Mechanical Systems and Signal Processing 25 (2011) 20832101 2092
Fig. 9. Strain-gage time-wave signal (upper part) and modulus maxima lines using Gaussian wavelet (lower part) with rotor operating at 10 Hz
(normal operation).
Fig. 10. Strain-gage time-wave signal (upper part) and modulus maxima lines using Gaussian wavelet (lower part) with rotor operating at 10 Hz
(with rubbing).
F. Al-Badour et al. / Mechanical Systems and Signal Processing 25 (2011) 20832101 2093
3) The CWT is then implemented with the selected mother wavelet and the transformation is carried out up to scale 64
(selection of the scale interval is heavily dependent upon the chosen sampling frequency and wavelet function).
4) The modulus maxima are evaluated from the CWT coefcients.
5) The local maxima lines are plotted.
6) The singularity, if any, is then presented as a convergence of maxima lines down to the nest scale used.
The WPT was applied to the same strain gage signal for the purpose of comparing its performance with that of the CWT
transform. In the implementation of the WPT, two mother wavelets were used: the rst one is an anti-symmetric wavelet
(Daubechies 8db8) and second is a symmetric one (Discrete Meyerdmey). The WPT results for the dmey wavelet are,
respectively, shown in Figs. 1214 for the rotor speeds of 5, 10 and 16.7 Hz, where the WPT is decomposed up to level 6. It
is clearly presented in these gures that, due to blade rubbing, the energy level of packet 6 is increased. Furthermore, by
using the (dmey) wavelet, the discontinuity is captured after nding the best tree based on Shannon entropy
(Figs. 12(a), 13(a) and 14(a)), but the results are not as clear as those obtained with the CWT. It can be seen that the
CWT, when supplemented with the modulus maxima technique, identies the blade rubbing more clearly than the WPT
alone. The modulus maxima technique uses in effect some derivative properties of the CWT, which seem to have a closer
similarity (in terms of signal sharpness and continuity, etc.) with the detected singularity than the properties of the
WPT alone.
4.3. Novel hybrid approach for Blade-to-Stator Rubbing
The novel approach proposed here consists of a judicious combination of two wavelet-based processing tools, i.e. WPT
and CWT supplemented with the modulus maxima technique. The shaft vibration signal is analyzed using this approach. It
was shown before that the FFT was not clearly detecting the blade-to-stator rubbing on the proximity probe signal (Fig. 3).
The proposed hybrid algorithm yields a powerful way to detect the impact fault from proximity probe signals. The WPT
decomposes the proximity probe signal into detailed and approximate coefcients, which are then reconstructed
separately. After that, the CWT is applied to evaluate the modulus maxima. The algorithm steps are listed in the following
chart (Fig. 15) [21].
Note that various types of faults commonly encountered in the vibration analysis are well-documented, together with
their frequency ranges. Hence, such a-priori knowledge can always be exploited to guide ones investigation. Lack of this
knowledge would not be a limitation, but would certainly entail an exhaustive search for the actual fault as various
packets would have to be tested. But once a particular packet (and hence a scale) is selected based on the systems natural
frequency band and a full scan of all other packets, then the corresponding frequency can be readily obtained based on the
Fig. 11. Strain gage time-wave signal (upper part) and modulus maxima lines using Gaussian wavelet (lower part) with rotor operating at 16.7 Hz
(with rubbing).
F. Al-Badour et al. / Mechanical Systems and Signal Processing 25 (2011) 20832101 2094
Space
I
n
d
e
x
100 200 300 400 500 600 700 800 900 1000
4
8
33
70
69
65
66
64
63
Normal condition
Space
I
n
d
e
x
100 200 300 400 500 600 700 800 900 1000
19
20
10
8
67
68
70
69
65
66
64
63
Blade 2nd Bending
frequency
Singularity
Blade to stator rubbing
0 2 4 6 8 10
0
20
40
60
80
100
Packet no.
E
n
e
r
g
y

%
Normal condition
0 2 4 6 8 10
0
20
40
60
80
100
Packet no.
E
n
e
r
g
y

%
Blade to stator rubbing
Fig. 12 (a). WPT of strain gage signal at 5 Hz using dmey at level 6. (b). WPT energy for strain gage signal at 5 Hz using dmey at level 6.
Normal condition
Normal condition
Space
I
n
d
e
x
100 200 300 400 500 600 700 800 900 1000
19
85
86
41
10
8
67
68
70
69
65
66
64
63
Singularity
Blade 2nd bending
frequency
Space
I
n
d
e
x
100 200 300 400 500 600 700 800 900 1000
4
8
67
68
70
69
65
66
64
63
0 10 20 30
0
20
40
60
80
100
Packet no.
E
n
e
r
g
y

%
0 10 20 30
0
20
40
60
80
100
Packet no.
E
n
e
r
g
y

%
Blade to stator rubbing
Blade to stator rubbing
Fig. 13 (a). WPT of strain gage signal at 10 Hz using dmey at level 6. (b). WPT energy for strain gage signal at 10 Hz using dmey at level 6.
F. Al-Badour et al. / Mechanical Systems and Signal Processing 25 (2011) 20832101 2095
sampling frequency through the relation
F
a

F
c
aD
10
where F
a
is the frequency of the scale, F
c
is the central frequency of the used wavelet, a is the scale and D is the sampling
frequency.
The proximity probe results of the proposed method are shown in Fig. 16(a) and (b), for the tests carried out at 10 and
16.7 Hz, respectively. These gures show both the time waveforms reconstructed from the detail coefcients of the
proximity probe signal as well as the local maxima results using the db10 wavelet. It is very clear from these results that
the time waveform represents the shaft response as the blade impact occurs.
Another method for the detection and localization of impulsive defects proposed here involves a certain preprocessing
of the probe signal before feeding it through the same algorithm used to detect the blade rubbing through shaft vibration.
This alternative approach proposes to rst divide the time wave signal into shaft revolutions using a window function and
then analyzing each single shaft revolution separately. The key idea behind slicing up the signal prior to processing it is
due to the fact that when analyzing short-time signals the frequency resolution obtained with the wavelet transform is far
better than that with the FFT. This will lead to a better and more accurate localization of impulsive-type of faults such as
those resulting from a blade rubbing, and can be efcient even for low-frequency faults such as misalignment and
unbalance.
Traditional methods for locating blade rubbing utilize a source of color on the tip of blades, so when a blade touches the
stator casing it leaves a mark on the stator, hence the operator can detect and pinpoint the location of the rubbing during
maintenance operation. With the above algorithm, the blade rubbing is located from the vibration signal, where the time
space is converted to the angular space. Figs. 17 and 18 show results using the proposed algorithm, applied on the shaft
vibration for the blade rubbing at the speed of 16.7 Hz.
4.4. Start-up and Coast-Down STFT and WPT results
In the start-up and coast-down phases, the signal has two properties: it is Frequency-Modulated (FM) as well as
Amplitude-Modulated (AM). During the start-up, the time-wave signal was collected from the vertical proximity probe 1
as shown in Fig. 4, its frequency spectrum and cascade plots were given in Figs. 5 and 6 respectively. In order to run a
Normal condition
Normal condition Blade to stator rubbing
Singularity
Blade 2nd
Bending frequency
0 10 20 30
0
20
40
60
80
100
Packet no.
E
n
e
r
g
y

%
0 10 20 30
0
20
40
60
80
100
Packet no.
E
n
e
r
g
y

%
Blade to stator rubbing
Fig. 14 (a). WPT of strain gage signal at 16.7 Hz using dmey at level 6. (b). WPT energy for strain gage signal at 16.7 Hz using dmey at level 6.
F. Al-Badour et al. / Mechanical Systems and Signal Processing 25 (2011) 20832101 2096
timefrequency technique on the test-rig during the transient phases of start-up and coast-down, and compare the results
with those of the WPT, the STFT analysis was performed on the signal from this probe. The STFT distribution was based on
a 512 point-Hanning window and was computed on a log scale. Fig. 19 shows the shafts rst natural frequency (critical
speed) and blades second bending mode, and also reveals the presence of shaft misalignment (2X and 3X).
The WPT is carried out using the discrete Meyer (dmey) wavelet distributed in the frequency order. The WPT results
from the vertical probe are presented in Fig. 20, where the distribution shows the lines of 1X, 2X, 3X and the shafts rst
critical speed. As stated above, the WPT conserves all the coefcients, detailed and approximate ones, which provide the
analyst with a good tool for a thorough analysis. It is also possible to reconstruct each packet coefcient separately.
WPT up to
level 3
Reconstruct the
detailed component
of (3, 2)
CWT for the
reconstructed signal
Evaluate the
modulus maxima
lines
Modulus maxima
lines indicate the
rubbing
Fig. 15. Algorithm of novel hybrid approach for the blade-to-stator rubbing.
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8
-0.1
-0.05
0
0.05
0.1
A
m
p
l
.

[
m
i
l
]
Time wave signal
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7
0
0.01
0.02
0.03
0.04
Time [sec]
A
m
p
l
.

[
m
i
l
]
maxima at scale 0.07
@ 0.336 sec.
transient envelope
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8
-0.2
-0.1
0
0.1
0.2
A
m
p
l
.

[
m
i
l
]
Time wave signal
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7
0
0.02
0.04
0.06
Time [sec]
A
m
p
l
.

[
m
i
l
]
maxima at scale 0.07
@ 0.155 sec.
Transient envelop
due to blade rub
Fig. 16. Time wave and local maxima of reconstructed signal from detail coefcients using db10 of the proximity probe signal (a) at 10 Hz and
(b) at 16.7 Hz.
F. Al-Badour et al. / Mechanical Systems and Signal Processing 25 (2011) 20832101 2097
The reconstruction process using the WPT is presented in Fig. 21 for various packet indices. In Fig. 21(b), the vibration
levels indicate the presence of unbalance during the steady-state. From the reconstructed coefcient and before the rotor
reaches the steady-state speed, the misalignment 2X coincides with the shaft critical speed (time=2 sec. in Fig. 21(c)). In
comparing the performance of the WPT with that of the STFT, it is clear that the former goes further than the latter, in that
it allows a more accurate and detailed characterization of the faults at various scales (frequencies).
5. Conclusion
The main theme of this work was to study the application of wavelets, in particular the WPT transform, to fault
detection in rotating machinery, an area of paramount importance to various industries. All of the signals used in this
study were experimentally obtained from a custom-built rotor kit to simulate on a laboratory scale the main operating
conditions of rotating machinery in a wide range of industries involving equipments such as turbines, compressors and
fans. Although not reported here, a nite element analysis of the kit was carried out to identify certain dynamic
characteristics of the system using the ANSYS package, so as to compare them with their experimentally-derived
counterparts.
In this paper, the effective use of the traditional FFT approach in yielding good results in fault detection under
stationary operations was demonstrated and its major failing in detecting faults from non-stationary signals was clearly
exposed via the study of the case involving a blade-to-stator rubbing of the rotor kit, which produced a typical impulsive
0 pi/3 2pi/3 pi 4pi/3 5pi/3 2pi
0 pi/3 2pi/3 pi 4pi/3 5pi/3 2pi
-1
0
1
A
m
p
l
.

[
m
i
l
]
Time wave signal
-1
-0.5
0
0.5
1
A
m
p
l
.

[
m
i
l
]
maxima at scale 0.01 cycle no. 1
Fig. 17. Modulus of maxima lines at scale 0.01 for proximity probe signal for normal operation at 16.7 Hz.
0 pi/3 2pi/3 pi 4pi/3 5pi/3 2pi
-1
0
1
A
m
p
l
.

[
m
i
l
]
Time wave signal
0 pi/3 2pi/3 pi 4pi/3 5pi/3 2pi
0
0.5
1
Time [sec]
A
m
p
l
.

[
m
i
l
]
maxima at scale 0.01cycle no. 4
Fig. 18. Modulus of maxima lines at scale 0.01 for proximity probe signal with blade rubbing at 16.7 Hz.
F. Al-Badour et al. / Mechanical Systems and Signal Processing 25 (2011) 20832101 2098
and non-stationary test signal. In this test, it was shown that the FFT of the signals extracted from the proximity probes did
not reveal any change in amplitude due to rubbing.
In order to remedy this situation, a new combined approach was proposed that relies heavily on the well-acknowledged
strength of the wavelet transforms of WPT and CWT in successfully and effectively analyzing non-stationary signals. The
proposed approach exploited the fact that the WPT, largely undiscovered and untested in vibration analysis, provides a
Spectrogram
Time [ms]
F
r
e
q
u
e
n
c
y

[
k
H
z
]
2000 4000 6000 8000 10000 12000
0
0.05
0.1
0.15
0.2
0.25
0.3
0.35
shaft
natural frequency
1X, 2X & 3X
blade 2nd bending frequency
Fig. 19. Timefrequency distribution based on spectrogram for the vertical probe 1 during start-up to 42 Hz and coast-down to zero.
Frequency Order, for WP using dmey wavelet
space
I
n
d
e
x
0 2000 4000 6000 8000 10000 12000 14000 16000
178
176
175
143
144
146
145
149
150
148
147
155
156
158
157
153
154
152
151
135
136
138
137
141
142
140
139
131
132
134
133
129
130
128
127
1X,2X, &3X
shaft
1st critical speed
Fig. 20. Index-space distributions (frequency order) based on WPT dmey wavelet, for the vertical probe 1 during start-up to 42 Hz and coast-down
to zero.
F. Al-Badour et al. / Mechanical Systems and Signal Processing 25 (2011) 20832101 2099
much richer spectral characterization of a signal than the CWT by decomposing the detail signal along the approximate
one at every scale. The high-frequency content of impulsive signals (such as rubbing faults), and in particular the time
location of the singularity, was then shown to be effectively recovered from a signal reconstructed from the information
extracted from the detail components of the vibration signal at various scales. The proposed combined approach also owes
its power to the use of the modulus maxima technique, which in a way sharpens its resolving power by exploiting gradient
information of the CWT in the scale-space domain. In the following, a summary of the main wavelet-related ndings of
this paper is given to reiterate the main characteristics of the various techniques used successfully here with a view to
encouraging their uses in other similar applied areas.
1. The WPT is a powerful tool for detailed feature extraction.
2. For impulsive faults like rubbing, using a combination of the WPT and CWT gives an effective method for fault analysis
and detection.
3. The usage of modulus of local maxima lines is a powerful tool for the singularity or discontinuity detection.
4. The selection of a mother wavelet is very important, because it greatly affects fault detection results. Although there is
no optimal way of selecting the best mother wavelet for the application at hand, a sensible and practical way is to
compare the shape of the fault under consideration with the wavelet function to be used. Symmetric wavelets
(e.g. Gaussian wavelet) were found to be more effective in singularity analysis and a very narrow pulse-like anti-
symmetric wavelet, such as db10 or any higher-order of Daubechies family was also found to perform well.
5. The idea of windowing the signal into a number of shaft revolutions and analyzing each window separately to localize
the defect was found to be very helpful in tests and could effectively be used in the detection of cracked gear teeth or in
the analysis of blade vibration problems. The two main advantages of this signal-splitting approach could be
summarized as: 1) involving shorter signals and hence dealing with shorter computational time and smaller memory
requirements, with a possible further enhancement through the use of a parallel computational structure, and 2) better
localization of defects in rotating machinery through utilization of a better frequency resolution of the wavelet during
the processing of shorter signals.
Acknowledgements
The authors greatly acknowledge the support of King Fahd University of Petroleum & Minerals for this work.
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