Robust vibration-based faults diagnosis machine

learning model for rotating machines to enhance plant

reliability
Natalia F. Espinoza-Sepulveda1, Jyoti K. Sinha2
Dynamics Laboratory, Department of MACE, The University of Manchester, Manchester, United Kingdom
1Corresponding author

E-mail: [email protected], [email protected]

Received 5 June 2021; accepted 17 June 2021
DOI https://doi.org/10.21595/mrcm.2021.22110
Copyright © 2021 Natalia F. Espinoza-Sepulveda, et al. This is an open access article distributed under the Creative Commons
Attribution License, which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly
cited.

Abstract. Plant availability and reliability can be improved through a robust condition monitoring
and fault diagnosis model to predict the current status (healthy or faulty) of any machines and
critical assets. The model can then predict the exact fault for the faulty asset so that remedial
maintenance can be carried out in a planned plant outage. Nowadays, the artificial intelligence
(AI)-based machine learning (ML) model seems to be current trend to meet these requirements.
Hence, the paper is also proposing such vibration-based faults diagnosis ML model through an
experimental rotating rig. Here, the 2-Steps approach is used with the ML model to easy the
industrial operation and maintenance process. The Step-1 provides the information about the asset
health status such as healthy or faulty. The Step-2 then identifies the exact nature of fault to aid
the decision making for the fault rectification and maintenance activities to avoid the risk of failure
and enhance the reliability.
Keywords: fault diagnosis, rotating machines, machine learning, plant reliability, artificial
intelligence.

1. Introduction

The maintenance approaches implemented in industry have been changing over time. The
development of new techniques and technologies, along to the increased concerns on safety and
reliability during operation, have determined the new trends.
Predictive maintenance has gained an important recognition as it allows to detect the machines’
faults before a major breakdown or catastrophic event occurs, contributing to the improvement of
the processes. These techniques, such as vibration analysis, oil analysis, acoustic analysis, among
others, are based on information that indicates deterioration. This characteristic not only allows to
achieve its primary concern, which is the failure prevention, buy it also supports an efficient
operation. An efficient operation is translated into improved safety, the products quality, reliability
and availability, as well costs [1].
Traditional time-based or preventive maintenance approach is still widely used in industry [2].
Regardless the beneficial possibilities provided by predictive maintenance implementation, it is
typically reserved for most critical equipment, as these techniques tend to be related to a costly
implementation. However, new advances, such as the ones in wireless technology, allow to have
a continuous monitoring, without frequency-based inspections, at a lower cost [3].
While collecting data through condition monitoring tasks provides knowledge on the asset
condition, it does not modify the actual state of the equipment. It is required a well defined process
that provides clear indication if further action is required. The quality of the collected data has
vital impact on the decision making process. Baidya and Ghosh [4] highlight on their proposed
model for a predictive maintenance system. The importance of the correlation between the changes
in the physical condition of the asset and the appropriate maintenance actions defined to take,
which should aim to maximise the service life of the equipment, always having the risk of failure

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NATALIA F. ESPINOZA-SEPULVEDA, JYOTI K. SINHA

under control.
Traore et al. [5] proposed model for efficient predictive maintenance which integrates several
tools on its development such as failure mode effect and criticality analysis (FMECA) and fault
tree analysis (FTA), along with supervision and prognosis architecture. The authors remark the
importance of data driven approaches to assess dynamical systems, as their behaviour evolves
over time, being difficult to represent them by mathematical models.
Machine learning (ML) techniques for the pattern recognition are found among the data driven
approaches. These techniques have been widely developed over the last few years, showing
promising results on their industrial application in several areas. Many research studies are found
in the literature for the fault diagnosis in machines. Therefore, the smart fault diagnosis models
using the industrial internet of things (IIoT) seems to be a possible future avenue for fault diagnosis
in machines without the involvement of the engineering judgments and experience.
Civerchia et al. [6] have demonstrated that a real industrial application for advanced predictive
maintenance under IIoT concept is feasible. They implemented a IIoT based solution with smart
sensing devices in an electricity plant, developed. Among the benefits presented for the usage of
sensors to monitor equipment operation is the data collection to perform predictive maintenance,
the improvement on the maintainability and reduction of risks, as well the possibility to avoid
delays related to human interactions.
In the conceptual framework for the development of a predictive maintenance application
within the Industry 4.0 proposed by Chukwuekwe et al. [7], it is highlighted how predictive
maintenance heavily relies on the utilised algorithm and its ability to define the patterns from data
collected by sensors in real time. Consequently, the quality of the outcomes will depend firstly on
the quality of the collected data, and secondly on having a reliable model with the capability of
being consistent: equipment to equipment in a fleet of similar machines, as well time to time and
place to place.
In this paper, it is presented a fault detection model for rotating machinery, using a supervised
ML technique and experimental vibration data. The well- known vibration-based parameters [8],
[9] are used as the inputs in the development of the ML model. This model performs a pattern
recognition for the machine condition in 2-Steps. Step-1 identifies if the machines is healthy or
faulty, and then it performs the fault diagnosis over the samples detected as faulty in the Step-2
approach. The proposed 2-Steps approach is inline with the industrial requirements to quickly
know the machine status – healthy or faulty and then doing further diagnosis to know the exact
fault if the machine is faulty. This is likely to make the decision making process easy in the process
of the condition-based maintenance to optimise the availability and improve the reliability.
The paper presents the proposed methodology and its demonstration through the experimental
rotating rig with healthy and different fault conditions.

2. Proposed 2-steps approach

Artificial neural network (ANN) approach is used to develop the robust and reliable VFD-ML
model for the fault diagnosis in rotating machines. In this study, a multi-layer perceptron (MLP)
network structure is used to develop a 2-Steps diagnosis model. The proposed MLP ANN for this
2-steps approach is shown in Fig. 1. The Step-1 identifies whether the sets of data are belong to
heathy or faulty state of machine and then Step-2 further identifies the exact nature of the machine
fault. The ANN architectures used in Step-1 and Step-2 are identical.
The architecture implemented in this model is initially set by iterations. During the iteration
process, different parameters were adjusted, namely the type of mathematical functions as well
the number of layers and neurons at each layer. The resultant feedforward network is seen in
Fig. 1. It has 4 hidden layers, 1 to 4, which have 1000, 100, 100 and 10 neurons, respectively. In
addition to the hidden layers, the input layer and the output layer are shown. The output layer
shows the possible classes at each step of the proposed method.
The selected functions are functions typically used in pattern recognition neural networks. At

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hidden neurons, the transfer function is the hyperbolic tangent sigmoid [10]; at output neurons the
transfer function is sofmax [11]; scaled conjugate gradient backpropagation is set as the training
function; and the performance function is cross-entropy from Matlab.
In Step-1, the input layer moves forward along the hidden layers, finishing with the delivery
of the result from the decision layer, which has 2 possible classes – heathy and faulty conditions.
Similarly in Step-2, only data diagnosed as faulty in Step-1 are used, relating 4 faulty conditions
as possible outputs, namely misalignment, shaft bow, looseness and rub.

Fig. 1. Schematic of 2-steps approach using MLP within ANN method

3. Experimental rig

The schematic of the laboratory scaled rig is shown in Fig. 2. It consists of 2 shafts supported
through 4 ball bearings. Both, long shaft (Sh1) and short one (Sh2) of length of 1.0 m and 0.5 m
respectively, are joined by a rigid coupling C2. The long shaft Sh1 is connected to an electric
motor by a flexible coupling, C1. Two discs D1 and D2, are mounted on the long shaft Sh1 and
one disc, D3, on the short shaft Sh2. The 4 bearings, B1 to B4, are mounted on the flexible
pedestals P1 to P4, respectively [12].

Fig. 2. Schematic of the experimental rig

4. Experimental vibration data

The available measured vibration data [13] from the rig at the steady speed, 1800 RPM (30 Hz)

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NATALIA F. ESPINOZA-SEPULVEDA, JYOTI K. SINHA

are used in the study. Healthy and 4 different rotor faulty conditions are used. The measured
vibration data are made of the simultaneously measured acceleration responses at the 4 bearing
housings (one per bearing) at a sampling rate of 10 samples per second. The number of samples
per rotor condition are summarised in Table 1.
The healthy condition samples are subject to small residual unbalance and residual
misalignment as expected for any healthy machine. Hence, the measured vibration velocity spectra
at all bearings are also showing prominent peak at 1x (speed synchronous vibration due residual
unbalance) with a small peak at 2x due to the residual misalignment. This is common feature for
any industrial rotating machine. However, the typical experimental amplitude velocity spectra for
the faulty rotor conditions (with added faults) at the machine speed of 1800 RPM (30 Hz) are
shown in Fig. 3. The spectra show the presence of the peak at 1x and higher harmonics with
different amplitudes for the different fault conditions. The misalignment, Fig. 3(a), is showing 1x
and 2x peaks. The 1x and 2x peaks are increased significantly for the shaft bow condition,
Fig. 3(b). In case of the looseness, Fig. 3(c) the significant increase in 1x and 3x (odd harmonic)
peaks is observed, however higher harmonics are showing increasing trend in case of shaft rub,
Fig. 3(d).

Table 1. Experimental data samples at 1800 RPM

Rotor condition Samples (runs)
Healthy (residual unbalance and residual misalignment) 66
Misalignment 109
Shaft bow 202
Looseness in bearing pedestal 190
Rotor rub 112
Total samples 679

a) Misalignment b) Shaft bow

c) Looseness in pedestal d) Rotor rub

Fig. 3. Typical velocity vibration spectra at Bearing 3 (B3) for the experimental faulty conditions

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5. Data preparation

Earlier study [14] has optimised the vibration parameters to be used in the ML model for the
reliable and accurate machine health diagnosis. These parameters are the combinations of time
and frequency domain parameters of the measured vibration responses. They are acceleration root
mean square (RMS), acceleration kurtosis (𝐾), velocity (1x, 2x, 3x components) and the velocity
spectrum energy (𝑆𝐸) to include effects of subharmonics and any other frequency components
due to different faults. Spectrum energy 𝑆𝐸 includes the range from 0.2 times to 5 times
operational speed.
The input databank, 𝐷𝑎𝑡𝑎, is created as per Eq. (1). The elements of 𝐷𝑎𝑡𝑎𝐻 are shown in
Eq. (2). Similarly, the databanks for the faulty conditions; misalignment (𝐷𝑎𝑡𝑎𝑀), shaft bow
(𝐷𝑎𝑡𝑎𝐵), looseness (𝐷𝑎𝑡𝑎𝐿) and rotor rub (𝐷𝑎𝑡𝑎𝑅) are constructed. These elements or parameters
are calculated from the vibration data collected simultaneously at the 4 bearing locations. As a
result, a vector made by 24 elements (6 parameters per bearing x 4 bearings) represents one sample
as per Table 1. Thus, 𝑅𝑀𝑆 is the 𝑅𝑀𝑆 value calculated at the bearing B1, 𝑅𝑀𝑆 is the RMS
value at B2, and so on for the 𝑖-sample. Similarly, the subscripts, B3 and B4 represents the
bearings 3 and 4 respectively of the rig:

𝐷𝑎𝑡𝑎 = 𝐷𝑎𝑡𝑎𝐻 𝐷𝑎𝑡𝑎𝑀 𝐷𝑎𝑡𝑎𝐵 𝐷𝑎𝑡𝑎𝐿 𝐷𝑎𝑡𝑎𝑅 , (1)

𝐷𝑎𝑡𝑎𝐻 = 𝐻 𝐻 ⋯ 𝐻 , (2)

where:

𝐻 = 𝑅𝑀𝑆 𝐾 1𝑥 2𝑥 3𝑥 𝑆𝐸 𝑅𝑀𝑆 … 𝑆𝐸 𝑅𝑀𝑆 … 𝑆𝐸 𝑅𝑀𝑆 … 𝑆𝐸 .

6. Implementation of the 2-steps approach

The proposed 2-Steps approach discussed in Section 2 is implemented here. The samples
(runs) listed in Table 1 are grouped into 3 datasets for the ML model training, validation and then
testing. A set of 70 % of the samples (runs) from each machine condition at 1800 RPM are used
for training the network, modifying the weights according to the learning rule. 15 % of the samples
are further used for validation, which is conducted by verifying the trained network with these
samples until their classification error reaches a desired point of minimum error, giving the order
to stop the training process. At this point, the weights are the optimal for the network and, the last
group of unknown remaining data, 15 %, is then tested, providing the generalisation of the
network.
The data 70 %-15 %-15 % (training-validation-testing) are applied to both Step-1 and Step-2
models as per Fig. 1. The model performance is calculated as in Eq. (3). The error means that the
model diagnosis is not accurate at a few occasions:
.
%𝑃𝑒𝑟𝑓𝑜𝑟𝑚𝑎𝑛𝑐𝑒 𝑜𝑟 %𝐷𝑖𝑎𝑔𝑛𝑜𝑠𝑖𝑠 = ∗ 100 %. (3)

7. Results

The overall performance in all stages (training, validation and testing) for both Step-1 and
Step-2 models are observed to be 100 %. Therefore, the diagnosis by the proposed 2-Steps
approach are going to 100 %. The overall diagnoses by the proposed 2-Steps smart fault detection
model are summarised in Tables 2-3. Table 2 contains the overall results in Step-1 while Table 3
contains the overall results in Step-2. The results also confirm that the optimised parameters earlier
suggested [14] are useful for the 2-Steps approach. These parameters should be used for any
rotating machines. The results are definitely encouraging for industrial applications to know the
health status of the assets immediately, which is going to be useful for operation and maintenance
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for any industries.

Table 2. Step-1, diagnosis performance (%)

Actual
Diagnosis
Healthy Faulty
Healthy 100.0 0.0
Faulty 0.0 100.0

Table 3. Step-2, diagnosis performance (%) for faulty conditions

Actual
Diagnosis
Misalignment Bow Looseness Rub
Misalignment 100.0 0.0 0.0 0.0
Bow 0.0 100.0 0.0 0.0
Looseness 0.0 0.0 100.0 0.0
Rub 0.0 0.0 0.0 100.0

Fig. 4. Step-1 performance (%) of the smart fault detection model

in separating heathy and faulty conditions

Fig. 5. Step-2 performance (%) of smart fault detection model in fault diagnosis

8. Concluding remarks

The current study has utilised vibration parameters that are commonly used in industries for
the faults diagnosis in rotating machines. Therefore, the proposed model is not using any complex
signal processing. However, the smart diagnosis model is proposed such that it is useful for
industrial applications. The Step-1 confirms whether the measurement from the machine indicates
about the status of the machine, healthy or faulty. If it is heathy then there is no further action is
needed. However, if it is faulty, then the Step-2 provides the nature of the defects. This approach
is definitely going to add new dimension in the condition based maintenance practice to enhance
the machine availability and reliability. The proposed 2-Steps approach is demonstrated through

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in a laboratory scaled experimental rotating rig with healthy and faulty conditions.

Acknowledgements

Natalia Fernanda Espinoza Sepúlveda acknowledges the support by CONICYT (Comisión

Nacional de Investigación Científica y Tecnológica/Chilean National Commission for Scientific
and Technological Research) “Becas Chile” Doctorate’s Fellowship programme; Grant
No. 72190062 for her PhD study.

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ROBUST VIBRATION-BASED FAULTS DIAGNOSIS MACHINE LEARNING MODEL FOR ROTATING MACHINES TO ENHANCE PLANT RELIABILITY.
NATALIA F. ESPINOZA-SEPULVEDA, JYOTI K. SINHA

Natalia F. Espinoza-Sepulveda is a Ph.D. candidate in Mechanical Engineering at The

University of Manchester, UK. She received the M.Sc. degree in Reliability Engineering
and Asset Management from The University of Manchester, UK, in 2017 and BSc in
Mechanical Engineering from Universidad de Concepcion, Chile, in 2012. Her
professional career has been developed in the maintenance field of large-scale copper
mining in Chile. Ms Espinoza Sepulveda has awarded two fellowships from the Chilean
National Commission for Scientific and Technological Research, to continue postgraduate
studies. Her current research is in the area of smart fault detection approaches for rotating
machinery.

Prof. Jyoti K. Sinha is internationally well-known expert in Vibration-based Condition

Monitoring and Maintenance of Machines and Structures. He is involved in and solved a
number of industrial vibration problems of machines, piping and structures by in-situ
vibration measurements and analysis in many plants in last 31 years. He is the author of
more than 250 publications (journals, conferences, books, edited book/conference
proceedings and technical reports) and gave a number of keynote/invited lectures. He is
author of two well-received book “Vibration Analysis, Instruments and Signal Processing”
and “Industrial Approaches in Vibration-based Condition Monitoring”. He is also co-
author of two more books.

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