See discussions, stats, and author profiles for this publication at: https://www.researchgate.

net/publication/331230973

Vibration Analysis of Rotary Machines Using Machine Learning Techniques

Article · February 2019

DOI: 10.24018/ejers.2019.4.2.1128

CITATIONS READS

0 3,285

2 authors:

Cesar Da Costa Iago M. Brandao

Federal Institute of Education, Science and Technology of São Paulo Federal Institute of Education, Science and Technology of São Paulo
56 PUBLICATIONS   96 CITATIONS    5 PUBLICATIONS   1 CITATION   

SEE PROFILE SEE PROFILE

Some of the authors of this publication are also working on these related projects:

electric motors View project

Industry 4.0 View project

All content following this page was uploaded by Cesar Da Costa on 20 February 2019.

The user has requested enhancement of the downloaded file.


Vibration Analysis of Rotary Machines Using Machine
Learning Techniques
Allan Alves Pinheiro, Iago Modesto Brandao and Cesar da Costa
 The fault diagnosis and monitoring of rotary machine
Abstract—This study presents a method of diagnosing
failures in rotary machines using Machine Learning
techniques. In this study, a support vector machine- SVM
algorithm is proposed for fault diagnosis of the rotational
unbalance in the rotor. Recently, support vector machines
(SVMs) have become one of the most popular classification
methods in technique for Vibration Analysis. Axis unbalance
fault is classified using support vector machines. The
experimental data are taken from a rotary machine model of a
rigid-shaft rotor and flexible bearings, experimental setup for
the study of vibration analysis. Several situation of unbalance
faults were detected successfully.
Index Terms—Machine Learning; Fault Diagnosis;
Vibration Analysis, Fault Classification.
I. INTRODUCTION
The integration of mechanical, digital and computer
systems is constantly growing in modern industry. In turbo
machines, the rotors suffer abrasions and fatigue, due to
their continuous use, hampering their operation over time.
Although it has a robust structure, any imperfections,
minimum that they are, compromise its performance.
However, rotors of this type of machinery move at high
speeds, requiring the use of electronic sensors to extract
accurate information.
Over time, the mechanical components that make up the
rotating machines suffer wear and become more inefficient,
gradually reducing the quality of the processes of which
they integrate. According to Bently [1], excessive
mechanical stress is associated with the rotational movement
of the axes and that high torsional loads and radial loads
culminate in severe conditions that lead to eventual rotor
cracking.
Techniques with the purpose of predicting situations for
the purpose of determining the useful life of an equipment
or part are increasingly present in the corporate-industrial
environment, as this means obtaining the longest time the
machine will work efficiently, guaranteeing quality,
generating programmed breaks of component exchange and
maintenance, and consequently greater financial control of
the process. Predictive maintenance is a useful way of
minimizing machine downtime and associated costs [2].
Published on February 17, 2019.
Brandao, I. M. is with the Automation and Control Department, Federal
Institute of Sao Paulo, SP 01109-010 Brazil (email:
i_modesto_br@yahoo.com.br).
Pinheiro, A. A. is with the Automation and Control Department, Federal
Institute of Sao Paulo, SP 01109-010 Brazil (email:
allanalvesp@gmail.com).
Da Costa, C. is with the Automation and Control Department, Federal
Institute of Sao Paulo, SP 01109-010 Brazil (email: ccosta@ifsp.edu.br).
DOI: http://dx.doi.org/10.24018/ejers.2019.4.2.1128
EJERS, European Journal of Engineering Research and Science
Vol. 4, No. 2, February 2019
have been done using traditional techniques in last 20 years.
Often, by using these techniques, motor faults can´t be
detected without an expert. Recently, artificial intelligence
techniques by another way can be used without an expert,
reducing maintenance costs.
Ayhan et al. [3] have proposed Multiple discriminant
analysis (MDA) and artificial neural networks (ANNs)
method for broken rotor bar faults. Aydin et al. [4] have
used support vector machines (SVM) classification methods
to detect broken rotor bar faults. Phase currents and Park’s
vector component has been used to extract the features for
inputs of SVM algorithm in their study. Razavi-Far et al [5],
[6] have proposed a study focused on the development of a
diagnostic system based on an adaptive incremental
ensemble of extreme learning machines. The diagnostic
system contains two major units for data processing and
decision making. Martin-Diaz et al [7] have performed an
experimental comparative evaluation of Machine learning
techniques used for the diagnosis of rotor faults in inverter-
fed Induction motor. The fault features are computed (in the
frequency and time domains) from the stator electric current.
The motor is fed with four different power supplies and
loaded at two levels. Souza et al [8] have proposed to
identify incipient short-circuit in electrical generators, and it
was possible to separate 99.4% of the Normal conditions
from faults when using High Order Statistics (HOS) as a
feature extraction method and the Bayesian classifier.
Samanta [9] has proposed a study to compare the
performance of gear fault detection using artificial neural
networks (ANNs) and support vector machines (SMVs).
The time-domain vibration signals of a rotating machine
with normal and defective gears are processed for feature
extraction.
The contribution of this work is the development of an
automatic predictive maintenance model for the diagnosis of
incipient failures in rotary machines, by means of a machine
learning model, based in support vector machines (SVMs)
classification methods, which classifies the existence of one
or more unbalance conditions of a rotary machine.
II. BACKGROUND
A. Vibration Analysis
The fundamentals of vibration analysis can be understood
by studying the simple mass-spring damper model. In fact,
even a complex structure, like an automobile body, can be
modeled as a sum of simple mass and spring damper
models. The model is an example of a simple harmonic
oscillator. Although several sophisticated techniques can be
used, two methods used to display vibration signals are the
12

time waveform (amplitude versus time) and the frequency
spectrum (amplitude versus frequency). Based on the
characteristics of a system, it is possible to model its
vibration spectrum. For a given rotating machine, this would
include an expected peak in the fundamental rotational
frequency of the shaft, synchronous (harmonic) peaks based
on additional components such as fan blades and gears [10].
Fig. 1 shows the Fourier frequency spectrum of the vibration
analysis of a rotary machine.
Fig. 1. Fourier frequency spectrum.
B. Feature Extraction
Once there is a consolidated data set representing the
vibration signals in the time domain, it is necessary to
extract features from these signals into the frequency
domain in order to reduce the complexity of the developed
classification model. According to Shah and Patel [11],
feature extraction can be defined as a process of extracting a
new dataset from an initial data set.
The Fourier transform is, in general, a mathematical
algorithm that performs the transformations between the
variables in the time domain for variables in the frequency
domain. The fast Fourier transform is an efficient algorithm
for the calculation of the discrete Fourier transform (DFT)
and its inverse. FFTs are extremely important, since it is
possible to develop applications of digital signal processing,
to algorithms for multiplication of large integers [12].
C. Feature Selection
After feature extraction, it is necessary to select these
features to verify that all features are relevant and include or
exclude them from the model of machine learning to be
developed. According to Kursa and Rudnicki [13], data with
many variables are increasingly common today in machine
learning problems. To extract useful information from these
high volumes of data, you need to use techniques to reduce
noise or redundant data. This is where feature selection
plays an important role. Not only does it help train your
model faster, but it also reduces its complexity, facilitates
interpretation, and improves accuracy [2]. There are three
types of feature selection methods in general: (i) Filter
methods: They are generally used as a preprocessing step.
Feature selection is independent of any machine learning
algorithm. Instead, features are selected based on their
scores in various statistical tests for their correlation with the
outcome variable; (ii) Wrapper methods: uses a subset of
features and trains a template using them. Based on the
DOI: http://dx.doi.org/10.24018/ejers.2019.4.2.1128
EJERS, European Journal of Engineering Research and Science
Vol. 4, No. 2, February 2019
inferences drawn from the previous model, it is decided to
add or remove features from the subset; (iii) Embedded
methods: are algorithms that have their own internal feature
selection methods.
D. Support Vector Machine - SVM
The SVM is a machine learning algorithm supervised or
not with associated learning algorithms that analyze the data
and recognize patterns, used for classification and regression
analysis. The SVM takes the optimal solution in the
condition of a small number of samples. Algorithm for the
SVM transforms the Sample Space (SS) into the High
Dimensional Feature Space (HDFS) by the nonlinear
transformation [14]. In addition to performing linear
classification, SVMs can efficiently perform a non-linear
classification using what is called the kernel trick, implicitly
mapping their inputs into high-dimensional feature spaces.
Fig. 2 shows a linear classification between two classes 1
and 2. The line H1 does not separate the classes. H2 does,
but only with a small margin. H3 separates them with the
maximal margin. The SVM seeks to maximize the distance
between the closest points in relation to each of the classes
[4].
Fig. 2. Linear classification between two classes 1 and 2.
For n-dimensional space, input data belongs to class 1 or
class 2 and the associated labels be -1 for class 1 and +1 for
class 2. If the input data can be separated linearly, the
separation hyper plane can be shown by (1). This equation
finds a maximum margin to separate positive class from
negative class [15].
f ( X )  wT x  b (1)
Where:
w is n-dimensional weight vector;
b is scalar multiplier or bias value.
The decision function is shown in (2).
f ( x)  sgn( wT x  b) (2)
If two classes can be separated linearly, the hyper plane
that satisfies maximum margin between two classes is found
by solving (3). An example for linearly separable data is
13
 EJERS, European Journal of Engineering Research and Science
Vol. 4, No. 2, February 2019

shown in Fig. 2. When the parameters of SVM are well

tuned, classification performance is increased [4].

 Minimize 1 2 

.
w 
2  (3)
 Subject to yi ( wi xi  b)  0


SVM training is performed by solving the optimization

problem in (4).
Fig. 3. Experimental setup.
 k
1 k 
 Maximize L ( )    1    i j yi y j k ( xi x j )
2 i , j 0 
 i 1

 k 
 Subject to  yi i  0  (4)
 i 1 
 i  0 for i=1...k 
 
 

Where:
k ( xi x j ) is kernel function;
 i are Lagrange multipliers.
When the data cannot be separated linearly, kernel
function mapping changes according to (5).
Fig.4. Disk Isometric Perspective.

1
k ( xi , x j )  k ( xi , x j )   ij (5) Eleven different types of tests were performed: (i) one not
C balanced – N/B (test mass not inserted); (ii) two different
balanced: BLC1 and BLC2 (test mass inserted in different
Where: positions) and (iii) eight different unbalanced: UBLC1 to
C is penalize parameter and appropriate value of this UBLC4 (test mass inserted in different positions). The tests
parameter increase the classification performance; performed are listed in Table I.
 ij is Kronecker symbol. TABLE I: TESTS PERFORMED
In this work, radial based kernel function is used, and this Types Description
function is given in (6). N/B NOT BALANCED
BLC1 BALANCED 1
2 BLC2 BALANCED 2
k ( xi , x j )  exp( xi  x j / (2 2 )) (6) UBLC1 UNBALANCED
UBLC1+ UNBALANCED
Where: UBLC2 UNBALANCED

 is kernel parameter and this parameter affects UBLC2+

UBLC3
UNBALANCED
UNBALANCED
distributing complexity of data in the feature space. UBLC3+ UNBALANCED
UBLC4 UNBALANCED
UBLC4+ UNBALANCED
III. EXPERIMENTAL PROCEDURE
In the experiments the data were collected from an The system architecture is based on the data flow, as
experimental test bench (Fig. 3), which represents in a shown in Fig. 5, comprising from the step of data
reduced scale a real turbo machine, based on the Jeffcott acquisition from the rotor in operation until the presentation
model [16]. Its axis being represented by a rotor and a disk of the results on the health condition of the rotor.
with several holes for simulation of unbalance. Fig. 4
illustrates the disk and the holes where the test mass
(weights) were inserted for unbalance faults simulations.

Fig. 5. Machine learning steps for the vibration analysis.

DOI: http://dx.doi.org/10.24018/ejers.2019.4.2.1128 14

IV. METHODOLOGY AND DISCUSSION
The experiments consist of several modules software,
which include data acquisition, feature extraction, feature
selection, machine learning algorithm (SVM), training and
results presentation. The acquisition of the vibration data
from each of the eleven tests, as shown in Table I, produced
a set of data corresponding to each of the vibration signals.
The acquisition parameters for these tests were defined by a
sampling frequency of 1KHz and 2000 samples. The data
acquisition of the experimental setup was performed, so that
all possible faults were tested: (i) not balanced, balanced and
unbalanced.
We obtained 1000 features from the feature extraction
step and used these features as input data for the feature
selection step. We obtained 60 features confirmed as
important for training the model. After the feature vector is
achieved, support vectors of each condition have been
constructed. Fig. 6 shows the graphical result of the
combined feature. The learning samples and the test samples
for the SVM are obtained from the feature extraction and
feature selection experimental data in different fault
condition.
Fig. 6. Combined featured.
The standard method for evaluating of classification
accuracy has now been indices derived from the confusion
matrix. The confusion matrix provides the basis for
describing the accuracy of the classification and
characterizing the errors, helping to refine the classification.
From a confusion matrix can be derived several measures of
classification accuracy, with global accuracy being one of
the most known [17]. The confusion matrix is formed by a
square arrangement of numbers arranged in rows and
columns expressing the number of sample units of a relative
category inferred by a classifier (or decision rule) compared
to the current category found in the field. Normally below
the columns is represented the set of reference data that is
compared to the data of the classification product that are
represented along the lines. The main diagonal elements
indicate the level of accuracy, or agreement, between the
two. Once the SVM algorithm was trained, the confusion
matrix was obtained. Fig. 7 presents the confusion matrix.
DOI: http://dx.doi.org/10.24018/ejers.2019.4.2.1128
EJERS, European Journal of Engineering Research and Science
Vol. 4, No. 2, February 2019
Fig. 7. The confusion matrix.
Fig. 8 shows the HMI - Human Machine Interface
developed in the LabView software, which indicates which
event is most probability to occur. For example, the BLC 2
(Balanced) category has 90% prediction.
Fig. 8. The HMI.
V. CONCLUSION
In this paper we are applying a method of diagnosing
failures in rotary machines using Machine Learning
techniques. The rotor unbalance fault in an induction motor
have been detected using vibration analysis. The SVM
algorithm was proposed for fault diagnosis of the rotational
unbalance in the rotor. Several situation of unbalance faults
were detected successfully. The SVM algorithm has a
practical signification for the machine learning in the case of
a small number of samples. The vibrations analysis has been
taken an actual experimental setup and success results have
been obtained.
REFERENCES
[1] D. E. Bently; C. T. Hatch, and B. Grissom. “Fundamentals of
Rotating Machinery Diagnostics”. Minden, Nev.: Bently Pressurized
Bearing Press, 2002.
[2] B. Luo, H. Wang, H. Liu, B. Li, F. Peng. “Early Fault Detection of
Machine Tools Based on Deep Learning and Dynamic Identification.
IEEE Transactions on Industrial Electronics, V. 66, Issue 1, p.509-
518, 2018.
[3] B. Ayhan, M. Y. Chow and M. H. Song, “Multiple Discriminant
Analysis and Neural Network-Based Monolith and Partition Fault-
Detection Schemes for Broken Rotor Bar in Induction Motors”, IEEE
Transactions on Industrial Electronic, Vol. 53, No. 4, pp. 1298-1308,
August 2006.
[4] I. Aydin, M. Karakose and E. Akin. “Artificial immune based support
vector machine algorithm for fault diagnosis of induction motors”.
2007 International Aegean Conference on Electrical Machines and
Power Electronics, Sep. 2007.
[5] R. Razavi-Far, M. Kinnaert. ‘Incremental design of a decision system
for residual evaluation: a wind turbine application.” IFAC
Proceedings Volumes, V.45, Issue 20, pp. 342-348, Jan. 2012.
[6] R. Razavi-Far, M. Saif, V. Palade and E. Zio. “Adaptive incremental
ensemble of extreme learning machines for fault diagnosis in
15

induction motor.”. 2017 International Joint Conference on Neural
Networks (IJCNN), July 2017.
[7] I. Martin-Diaz, D. Morinigo-Sotelo, O. Duque-Perez and. T.J.
Romero-Troncoso. ‘‘An experimental comparative evaluation of
machine learning techniques for motor fault diagnosis under various
operating conditions.’’ IEEE Transactions on Industry Applications,
vol. 54, NO. 3, May-June 2018.
[8] P.H.F. Souza, N. Nascimento, P.P.R. Filho and. C.M.S. Medeiros.
‘‘Detection and classification of faults in induction generator applied
into wind turbines through a machine learning approach.” 2018
International Joint Conference on Neural Networks (IJCNN), July
2018.
[9] B. Samanta, “Gear fault detection using artificial neural networks and
support vector machines with genetic algorithms”, Mechanical
Systems and Signal Processing, vol. 18, issue 3, pp. 625-644, 2004.
[10] H. Henao, C. Bruzzese, E. Strangas, R. Pusca, J. Estima, M.
Rieraguasp, S. H. Kia, “Trends in Fault Diagnosis for Electrical
Machines: A Review of Diagnostic Techniques”, IEEE Ind. Electron.
Mag. Vol. 8, p.31-42, 2014.
[11] F. P. Shah, V. Patel, “A review on feature selection and feature
extraction for text classification”. 2016 International Conference on
Wireless Communications, Signal Processing and Networking
(wispnet), p.2264-2268, mar. 2016.
[12] R. E Blahut, “Fast Algorithms for Signal Processing”. New York:
Cambridge University Press, 2010.
[13] M. B. Kursa, W. R. Rudnick, “Feature Selection with the Boruta
Package”. Journal of Statistical Software, vol. 36, issue 11, pp. 1-13.
Set. 2010.
[14] D. Meyer, F. Leisch, K. Hornik, “The support vector machine under
test”. Neurocomputing, vol. 55, issue 1-2, pp.169-186, 2003.
[15] Y. Fuqing, U. Kumar, D. Galar, “A comparative study of artificial
neural networks and support vector machine for fault diagnosis”.
International Journal of Performability Engineering, vol. 9, no. 1, pp.
49-60, 2013.
[16] J. J. Carbajal-Hernandez, L. P. Sanchez-Fernandez, I. Hernandez-
Bautista, J. J. Medel-Juarez, L. a. Sanchez, “Classification of
unbalance and misalignment in induction motors using orbital
analysis and associative memories”. Neurocomputing, v. 175, p. 838-
850, 2016.
DOI: http://dx.doi.org/10.24018/ejers.2019.4.2.1128
View publication stats
EJERS, European Journal of Engineering Research and Science
Vol. 4, No. 2, February 2019
[17] D. Moldovan, T. Ciora, I. Anghel, I. Salomie, “Machine learning for
sensor-based manufacturing process”. 2017 13 th IEEE International
Conference on Intelligent Computer Communication and Processing
(ICCP), Sept. 2017.
Iago M. Brandão was born in São Paulo, SP,
Brazil. He received the B.Sc. degree in
Automation and Control Engineering from the
IFSP – Federal Institute of São Paulo, SP,
Brazil in 2018. His research interest includes
Artificial Neural Network, machine learning,
induction motors, sensors, diagnostic, electrical
machines and FPGA..
Allan A. Pinheiro was born in São Paulo, SP, Brazil. He is currently
student of Automation and Control Engineering from the IFSP –
Federal Institute of São Paulo, SP, Brazil. His research interest
includes machine learning, induction motors, sensors, diagnostic,
electrical machines.
Cesar da Costa was born in Rio de Janeiro, RJ,
Brazil. He received the B.Sc. degree in
electronic and electrical engineering from the
CEFET-RJ, Federal Center of Technological
Education Center Celso Suckow da Fonseca and
Nuno Lisboa University in 1975 and 1980
respectively. He received the M.Sc. degree in
mechanical engineering from Taubate
University, Taubate, SP, Brazil, and the Ph.D.
degree in mechanical engineering from UNESP- Universidad Estadual
Author’s
Paulista Julioformal
de Mesquita Filho, Guaratingueta, SP, Brazil in 2005 e
photo
2011, respectively. He did sandwich doctoral stage, PDEE-CAPES, in
the IST-Institute Superior Tecnico, Lisbon, Portugal in 2009. He is
currently post-doctoral and professor of automation and control
engineering in the IFSP – Federal Institute of Education, SP, Brazil. His
research interests include Fuzzy controller, Artificial Neural Network,
machine monitoring, diagnostic, electrical machines, FPGA and
Industry 4.0.
16