Applied Acowtics, Vol. 53, No. 1-3, pp.

21 l-226, 1998
0 1997 Elsevier Science Ltd. All rights reserved
Printed in &eat Britain
PII: SOOO3-682X(97)00018-2 OCO3-682X/98 $19.00 + 0.00
ELSEVIER

Statistical Analysis of Sound and Vibration Signals for

Monitoring Rolling Element Bearing Condition

R. B. W. Heng and M. J. M. Nor

School of Engineering, Sheffield Hallam University, Pond Street, Sheffield Sl IWB, UK

(Received 14 November 1995; revised version received 7 February 1997;

accepted 6 March 1997)

ABSTRACT

This paper presents a study on the application of sound pressure and

vibration signals to detect the presence of defects in a rolling element
bearing using a statistical analysis method. The well established statistical
parameters such as the crest factor and the distribution of moments
including kurtosis and skew are utilised in the study. In addition, other
statistical parameters derived from the beta distribution function are also
used. A comparison study on the performance of the dtyerent types of
parameter used is also performed. The statistical analysis is used because of
its simplicity and quick computation. A computer program has been
developed using the C+ + language to perform the calculations of all the
statistical parameters required in this study. A statistical analysis method is
most suitable with random signals where other signal analysis methods
based on the assumptions of deterministic signals are not applicable. The
eflect of shaft speed on the performance of the statistical method is also
studied. Results from the study show that the statistical parameters are
affected by the shaft speed due to the sensitivity of the bearing housing
components to a longitudinal vibration that excites the fixing ring which
holds the test bearing in its position. Under ideal conditions, the statistical
method can be used to identify the dtflerent types of defect present in the
bearing. In addition, the results also reveal that there is no significant
advantages in using the beta function parameters when compared to using
kurtosis and the crest factor for detecting and identifying defects in rolling
element bearings from both sound and vibration signals. 0 1997 Elsevier
Science Ltd.

Keywords: Acoustic vibration, condition monitoring, rolling element,

bearings.
211
212 R. B. W. Heng, M. J. hf. Nor

INTRODUCTION

This report present the results obtained from an experiment carried out to
detect the different types of defects in a rolling element bearing using audio-
acoustic (sound) signals and a statistical analysis method. The parameters
being studied in the statistical analysis include rms, crest factor and kurtosis.
In addition, statistical analysis using the beta distribution function is also
carried out. The application of statistical analysis using acoustic emission
signals (high frequency sound) for monitoring manufacturing processes and
machine condition is well established.iP3 However, little literature is available
on the application of audio frequency acoustic signals for such purposes. For
comparison, the statistical analysis of vibration signals from the same
experiment is also performed.
The equipment used for the experiment consisted of the test rig, vibration
and sound pressure transducers, oscilloscope, signal analyser and a micro-
computer. The investigation was carried out with a view to studying the
applicability of audioacoustic signals for detecting defects in the different
elements of rolling element bearings using statistical-based analysis methods.
The results from the sound signals are compared with those of vibration
measurements.

THEORY AND METHODOLOGY

Theory

The application of distribution moments such as kurtosis and skew has been
well established in the analysis of vibration signals in monitoring machine
components.4,5 If the probability density of the distribution of data sample
exist such that

Prob[xF x(t) 5 x + dx] = p(x)dx (1)

then the expectation (mean) of a random function of time, x(t), is

E[x] = ; i x(t)dt = 7 xp(x)dx (2)

-co --oo
Next the rth-order moment about the mean x is given by

E[{x - E(x)}~]
= 1 (x - x)p(x)dx (3)
--cc
 Analysis for rolling element bearing 213

From eqn (3) the mean X or E(x), of the random variable is the first-order
moment, the rms value is the square root of the second-order moment, and
the variance a2 is the second-order central moment. The mean gives the
average value of the variable, the rms value gives the intensity, and the vari-
ance gives the deviation from the mean. If the data available are in discrete
form, eqn (3) can be written as

M, = $(Xx- X)
k=l

where N is the number of data points and r is the order of the moment. The
following equations present the calculation for the other variables in con-
tinuous and discrete form:

rms=ji,,,,. = /s (5)

Standard deviation,

(6)

Skew = 3a3
(7)

Kurtosis = 5 (8)
a4

and
[max. peak]
Crest factor = (9)
JIllS

The other statistical parameters used in the study were based on the beta
function distribution. In the beta function distribution method, the statistical
distribution is normalised based on the gamma function?

ww(b) a-l(l _ X)b-l

B(4 b) = r(a + b) x (10)
214 R. B. W. Heng, M. J. M. Nor

where
(0 5 x 5 1) and a > 0; b > 0

The mean of the beta function distribution can be written as

Mean = ?- (11)
a+b

and the equation for the standard deviation is

(12)

Thus the parameters a and b can be derived from eqns (11) and (12):

(13)

and
b=(l--&x-x
-3 _ -2
-a2) (14)

Again the limiting conditions must be emphasised, where

(0 5 x 5 1) and a > 0; b > 0

Because the beta function algorithm requires the data to be ranged between
0 and 1, it is necessary to remove any DC shift, to rectify, and finally to
normalise the raw data before eqns (13) and (14) can be used.
The application of the beta function parameters a and b was performed by
Whitehouse to classify the surface texture of engineering materials using
different manufacturing processes. Whitehouse presented another form of
equations for calculating the beta function parameters a and b using vari-
ables borrowed from the analysis and measurement of materials surface
texture and roughness. The beta function was written in the form

(15)

(16)
 Analysis for rolling element bearing 215

where R, is the magnitude of the highest peak, R, is the magnitude of the

lowest valley, R, is the standard deviation, and Rt, is the maximum peak-to-
valley height of the data profile. The parameters a and b are less dependent
on the extreme maxima and minima compared to the central moment vari-
ables, namely skew and kurtosis. Therefore, the beta function parameters are
theoretically more stable than the central moment variables. The moment of
beta function distribution* can be written as

(a+& l)(a+b-2)...(a+ 1)a

(17)
Mr = (a + b + r - l)(u + b + r - 2) .. . (a + b + l)(u + b)

Odd moments, i.e. r = 1, 3, 5, . . ... etc., relate information about the position
of the peak density relative to the median value. Even moments, i.e.
r = 2, 4, 6, .. ... etc., indicate the spread in distribution.9
Statistical analysis is mostly applied to random signals where other signal
analysis methods based on the assumptions on deterministic signals are not
applicable. A random process is said to be stationary if the probability
distributions obtained for an ensemble do not depend on absolute time. The
term stationary refers to the probability distribution, not the samples
themselves. Furthermore, a stationary process is called an ergodic process
if, in addition to all the ensemble averages being stationary with respect to
change of time scale, the averages taken along any single sample are the same
as the ensemble averages.iO

Methodology

The overall layout of the test rig used in the experiment is shown in Fig. 1. It
consists of a test rig, the measuring transducers, a signal analyser (B&K
2032), an oscilloscope (Gould 1604) and a microcomputer (IBM PC 486).
The initial analysis of the data was carried out using the Dadisp@ Software.
The noise of the motor and support bearings was shielded by the acoustic

/
Dualchannel
signal analyser

Fig. 1. Overall diagram of the test rig.

216 R. B. W. Heng, M. J. M. Nor

enclosure. This enclosure also functions as a safety guard for the operator
against moving components in the rig. The sound intensity transducers and
measuring system are calibrated before, during, and after the experiment
exercise. The shaft speed of the rig is varied from 500 to 3500 rpm.
The type of bearing used for the experiment is the cylindrical roller bearing
NSK NF209K with r = 5mm, R = 32Smm and n = 14. The test bearings
are cleaned using l,l,l,-trichloroethane and the lubrication for each experi-
ment is maintained at 10ml using universal oil. The minimum load required
in a rolling element bearing is 2% of the dynamic load rating to ensure ideal
behaviour of the roller. This is mentioned in the SKF general catalogue.
Thus, during the study the radial load was maintained at 1.5 kN. The defects
were created by making a line across each holder of ball races and a roller
using an etching pen. The width of the defects ranges from 1.40 to 2.40 mm
and the depth ranges from 0.44 to 1.50mm.
A computer program was developed using the C + language to perform
the calculations of all the statistical parameters required in this study. A kigger
mechanism is installed at the end of the rotating shaft and the signal obtained
from this mechanism every time the shaft rotates is fed into the measuring
systems. These signals function as an external trigger to the measuring equip-
ment to ensure that it will always start the measurement at the same point
throughout the experiment. In order to make sure that the data sampled is a
true representation of the actual values of the variables the following condi-
tions must be obeyed:
BT>>I

where B is the frequency bandwidth and T is the time of the record length.

The B&K 2032 dual channel signal analyser fixed the value of BT = 800
for the measurement analysis that it does. Therefore, the accuracy of the
measurement is always assured. Based on the above requirements the set-up
for the different speeds of the shaft were established and are shown in Table 1.
TABLE 1
Equipment Set-Up for the Experiment

Shaft speed Frequency range No. of shaft rotations/record length

(rpm) (Hz) (No. of Rev./T)

500 1600 4.16

1000 3200 4.16
1500 6400 3.12
2000 6400 4.16
2500 6400 5.2
3000 12800 3.12
3500 12800 4.16
 Analysis for rolling element bearing 211

This set-up ensures that the data sampled are truly representative of the
actual data.

RESULTS

During the study several experiments were carried out in order to identify the
effect of the different parameters
involved, including:

(1) the effect of shaft speed on the statistical variables that are calculated;
(2) the identification of different kinds of defects based on the statistical
variables;
(3) comparison of the performance of using kurtosis and crest factor and
the beta function parameters a and b;
(4) comparison of the results obtained from utilising different types of
signals.
The signals measured were the vibration and sound pressure from the test
bearing. The vibration signals were measured using an accelerometer, and
the sound pressure signals were measured using a condenser microphone.

Results from deterministic signals

First, the statistical analysis of deterministic signals was carried out because
the results obtained from deterministic signals can be checked easily with
theoretical values. The types of signals used were sinusoidal wave, triangular
wave, square wave, random signals with normal distribution, random signals
with flat distribution, sine wave plus normal distribution random signals,
and sine wave plus flat distribution signals. A summary of the results
obtained is presented in Table 2, and a sample of the signals is shown in
Fig. 2. From the results obtained all the statistical parameters (kurtosis, crest
factor, a, and b) for the deterministic signals are less than 2, the kurtosis
value for the normal distribution random signals is very close to 3, and the
beta function parameters (a and b) are both very close to 6.
TABLE 2
Summary of the Statistical Analysis of Deterministic and Random Signals

Type of signals Kurtosis Crest factor a b

Sine wave 1.5 1.4 0.5 0.5

Triangle wave 1.8 1.7 1.0 1.0
Square wave 1.0 1.0 0 0
Normal distribution 3.1 1.8 6.3 5.9
Flat distribution 1.8 1.7 1.0 1.0
Sine + normal 1.8 1.8 1.9 1.9
Sine + flat 1.8 2.0 1.4 1.4
218 R. B. W. Heng, M. J. M. Nor

(a) Time Trace of a Sine Wave

Time (s)

(b) Probability Density Function of a Sine Wave

Kurtosis = I .5
Crest Factor = I .4
a = 0.5; b = 0.5

Amplitude

(c) Time Trace of a Sine Wave Plus Random Signals

Time (s)

(d) Probability Density Function of Figure 2(c)

A
IX -.
I6 --
I4 -.
v1 12 ~-
6 Kurtosis = 1.8
a I;- Crest Factor = 1.8
:.. a=b= 1.9
2 ..
c

Amplitude

Fig. 2. Plots of the time traces and probability density functions of deterministic and random
signals.
 Analysis for rolling element bearing 219

Results from rolling element bearings

In general, the typical values of kurtosis, a and b calculated are high when
there is a defect present in the test bearing. The statistical variables are
higher at low speed, that is when the shaft speed is below 1500 rpm. How-
ever, these values tend to decrease when the shaft speed increases to between
1500rpm and 2500 rpm and increase again when the speed is above 2500 rpm.
This trend is consistent and repeatable with three different sets of experi-
ments. Although the values of the statistical variables are different for each
set of experiments the trend is the same. There is no significant change in the
values of crest factor when the shaft speed varies. This is true for all the dif-
ferent signals measured throughout the experiment. The values of a and b are
much higher than the values of kurtosis and crest factor in every case in the
experiment. The detail analysis and discussion on the results is presented in
the next section.

E#ect of shaft speed on the statistical variables

In an ideal situation the statistical variables from a bearing should not change
very much with the change in the shaft speed. However, the results obtained
from the experiment reveal that the statistical variables from a bearing with
an induced defect show a decrease in the magnitude of the statistical vari-
ables when the shaft speed is between 1500 t-pm and 2500 rpm. An exception
is the case of a rolling element defect where the trend between the results
obtained from vibration signals is different from the results obtained from
sound pressure signals. Some of the results obtained are shown in Fig. 3.
Each data point in the figure is taken from an average value of ten data that
are measured.

Identljication of defect base on the statistical variables

A study has also been performed to find out whether the statistical analysis
method can be used to distinguish and to identify the different types of
defect being studied, namely, rolling element line defect, inner race line
defect, and outer race line defect. In this study, plots of kurtosis vs crest
factor and plots of the beta function parameters a vs b are produced and
analysed as shown in Figs 4 and 5. It is clear that the presence of a rolling
element line defect can be distinguished and identified using both sound and
vibration signals and also from both types of statistical variables. This is
also true for all the shaft speeds tested. Comparison between the results
obtained when the shaft speed is 1OOOrpm and the results obtained when
the shaft speed is 2000rpm shows that discrimination of the different types
of defect is not possible at 2000rpm, except for the case of a rolling element
line defect.
220 R. B. W. Heng, M. J. M. Nor

(a) Average of Beta Function Parameter a Values at Different Shaft Speed

Using Sound Pressure Signals
A
e Rollingclcmcnt ddcw

,,,, /= -1... _,
_<TjCT/

;j________/_
w---___
--~_
L
---xp i
-_ips 5
f I
iO0 loca I%0 2m 2500 3m 3ion

Shaft Speed (rpm)

(b) Average of Beta Function Parameter a Values at Different Shaft Speed

Using Vibration Signals
*

Shaft Speed (rpm)

(c) Average of Kurtosis Values at Different Shaft Speed Using Sound Pressure Signals
45 *
40 --
__I

-.
--\
x
*
I500 zoo0 2500 mm 3500

Shaft Speed (rpm)

(d) Average of Kurtosis Values at Different Shaft Speed Using Vibration Signals
51)
45 --

1000 I XK) 20(w) 2500

Shaft Speed (rpm)

Fig. 3. Plot of statistical variables vs shaft speed

 Analysis for rolling element bearing 221

(a) Kurtosis vs Crest Factor of Vibration Signals From Rolling Element Bearing at

0 - w
0 IO 20 30 40 SO 60 70

Kurtosis

(b) Kurtosis vs Crest Factor of Sound Pressure Signals From Rolling Element Bearing
A at 1000 rpm
I-I __
_ _
I2 _.
s
5 IO -- _ -

Gz 8-b _ -

s 6-- _G&s: -
.F -- -WI
3; f

0 - c
0 IO 20 30 JO so 60 70 80 90

Kurtosis

(c) Beta Function Parameters a vs b of Vibration Signals From Rolling Element

A Bearing at 1000 rpm
80 --
70 --
60 --
50 .-

b JO--30 -- 2, - -j*,
20 -- L
zu%
_-
IO -- - -

n-c- *
0 20 40 60 80 lo0 I 20
a

(d) Beta Function Parameters a vs b.of Sound Pressure Signals From Rolling

E 1 ;ingatlwrpm _ --
60
= her Race Line Defect
50 _
so
* 40 -_
30 _
20
IO _-SW - -Ge
0 r)--
t
0 IO 20 30 40 SO 60 70 80 90
a

Fig. 4. Plots of kurtosis vs. crest factor and beta function parameters a vs b from rolling
element bearing running at 1000 rpm.
222 R. B. W. Heng, M. J. M. Nor

(a) Kurtosis vs Crest Factor of Vibration Signals From Rolling Element Bearing at
A 2000 t-pm
I-I -.
5 12 .- -

&tj 10
8 --
~- - - r-G %-
5 6 ~. <, -_ %C=_
I _

d-b - Oukr Kacr I.inr Defect

6 ;
- lnncr Race Lmc DCfCCl
O L
0 IO 20 30 40 50 f!O 70

Kurtosis

(b) Kurtosis vs Crest Factor of Sound Pressure Signals From Rolling Element
4 Bearing at 2000 rpm
I2 --
-
8 10 --

-a-
iL 6--
Rollmg Fhmem I.me Detect

6ktj 84--
2-- 0% -?@ --= =I

O- c
0 5 IO IS 20 25 30 35

Kurtosis

(c) Beta Function Parameters a vs b of Vibration Signals From Rolling Element

Bearing at 2000 pm
80
70
60
SO
b ul
30
20
IO
-/ n
u0 IO 20 30 40 50 60 70 80 W
a

(d) Beta Function Parameters a vs b of Sound Pressure Signals From Rolling

* Element Bearing at 2000 rpm
so -- _ _
45 --
40 -.
35 -.
30 --
b 25 --
20.- -- Rolling tlcment Lme Defect
I5 -- ----[Cl
IO --
_ q-&p=
; . c
0 5 10 I5 20 25 30 3s 40 45 JO

Fig. 5. Plots of kurtosis vs. crest factor and beta function parameters a vs b from rolling
element bearing running at 2000 rpm.
 Analysis for rolling element bearing 223

Comparison between the performance of using crest factor and kurtosis versus
beta function parameters a and b
In general, the magnitudes of the beta function parameters a and b are
higher than the magnitudes of kurtosis and crest factor. However, the
overall performance of the beta function parameters to identify and to
classify the defect present in the test bearing is almost identical to the
performance of the other statistical variables such as crest factor and
kurtosis. Thus, in this study there is no significant advantage from using
the beta function parameters when compared to using kurtosis and crest
factor values. This conclusion can be derived from the results plotted in
Figs 4-6.

(a) Plot of the Statistical Parameters Obtained From Vibration Signals VS

Shaft Speed

70
4
60

s
z 50
--w- Kurtosis
L
$ 40
--+- Crest Factor
1 30
0 - Beta Function a
gl 20
-x- Beta Function b
E
IO

0
500 1000 1500 2000 2500 3000 3500

Shaft Speed (rpm)

(b) Plot ofthe Statistical Parameters Obtained From Sound Pressure Signals YS Shaft
Speed

70

60
T A

b
I500 2000 2500 3000 3500

Shaft Speed (rpm)

Fig. 6. Plots of statistical variables vs shaft speed using vibration and sound pressure
signals.
 R. B. W. Heng, M. J. M. Nor

DISCUSSION AND CONCLUSIONS

Experiments have been carried out to study the performance of a statistical

method using several different types of parameters and signals. The first
study reveals that the statistical parameters calculated from the results
are affected by the shaft speed. This is contrary to the findings of other
reseachers.9312 Detailed study indicates that the results obtained are less sen-
sitive and therefore leading to poor performance of the statistical method
when the shaft speed is between 1500rpm (25 Hz) and 2500rpm (41.6 Hz).
After a close observation and analysis study, it is obvious that these results
are partly due to the sensitivity of the of the test bearing housing components
to a longitudinal vibration that excites the fixing rings that hold the test
bearing in the housing. The frequency spectra in Fig. 7, obtained from

(a) Longitudmal Impact at the End of the Shaft

26 Hz
A
0.00006
204 Hz

0.00005 \
0.00004 //

(ID 0.00003

0.00002

(b) Logitudinal Impact at the End of the Rig Structure

A
0.0012 1
109 Hz

0 001 I ,

Fig. 7. Frequency spectrums recorded by the accelterometer from impact test of the rig.
 Analysisfor rolling element bearing 225

impact tests, reveal that the bearing housing is sensitive to the longitudinal
excitation at frequencies ranging from 26 Hz up to 49 Hz, which corresponds
to a shaft speed just above 1500 rpm and just below 3000 r-pm, respectively.
This could be the reason why the statistical analysis method did not perform
very well in the speed range mentioned above. When bearing components,
such as the fixing rings, are excited they will vibrate and produce vibration
and sound signals which will increase the overall and the rms values of the
signals. Most of the statistical parameters calculated are a function of the
maximum peak divided by a function of the rms of the signals; these para-
meters will obviously decrease due to the effect of the longitudinal excita-
tions.
Under the somewhat ideal conditions afforded by a laboratory environ-
ment, it has been possible to carry out detailed acoustic and vibration mea-
surements on rolling bearing elements with low background noise and
vibration. From the plotted data presented in this paper, it will be seen that
the statistical variables can be used to identify the different types of defect
present in the test bearing. The plot of kurtosis vs crest factor and the plot of
the beta function parameters a vs b can be used for this purpose. This study
also reveals that there are no significant advantages in using the beta func-
tion statistical parameters compared to using kurtosis and crest factor for
detecting and identifying defects in rolling element bearings.

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