VIBRATION SIGNAL PROCESSING DOI: 10.1784/insi.2014.56.8.

439

Advanced fault diagnosis by means of complex order

derivatives
J Laurila and S Lahdelma

Paper presented at CM 2014 / MFPT 2014, The Eleventh International Conference on Condition Monitoring and
Machinery Failure Prevention Technologies, Manchester, UK, 10-12 June 2014

There is a wide range of signal processing methods in the
field of machine condition monitoring, which are used
in feature extraction and fault diagnosis. Derivation and
integration are very common and important operations in
vibration signal processing. Often, a signal that has been
measured using an accelerometer is integrated to obtain
a velocity or displacement signal. These commonly-used
three signals and an infinite number of other signals can be
obtained by means of fractional order derivation. Especially
in challenging fault and process cases, signals whose order
of derivation is a real or complex number could be clearly
more sensitive to fault detection than the commonly-used
signals. This paper discusses the application of complex
order derivation to acceleration signals in order to detect
various faults at an early stage.
Keywords: condition monitoring, vibration analysis, weighted lp
norms, fractional derivatives, real and complex order
derivatives.
similarly used for both vibration and other signals[4]. Complex
order derivation in condition monitoring has been introduced by
Lahdelma[5] and applied to bearing fault detection in the study[6].
In this paper, the application of complex order derivatives is
discussed. With their help, it is possible to find good, sensitive new
methods and indicators for different fault detection situations.
2. Test-rig
A test-rig (Figure 1), which consists of an electric motor and a belt
transmission between two shafts, has been used here in order to
obtain information on different faults. The test-rig was originally
built by PIM Bt and was later modified in the Mechatronics and
Machine Diagnostics Laboratory in Oulu. It is a convertible small
device with a 0.18 kW AC motor. The motor and the driven shaft
are coupled by means of a claw clutch with a four-tooth elastic
element (spider). More information on the test-rig can be found
in[7,8], where the same test-rig has been used.

1. Introduction
There are several methods in use in machine diagnostics for
detecting faults and malfunctions. Some of the methods are more
suitable for detecting and locating faults at the state when they are
already causing disturbances in the running of the machine, reducing
production capacity or impairing the quality of the product. By
using the other methods, it is possible to monitor the development
of the fault over a long time period, as very minor faults can also
be detected. Based on measurements of this kind, it is possible to
optimise the shutdown time from the point of view of production.
There is a need for different kinds of measuring, analysing and
signal processing methods in the field of condition monitoring. On
the other hand, the objective must be that the condition monitoring
and machine diagnostics of an industrial plant can be carried out
with as few different tools as possible, so that the staff are able to
Figure 1. Test-rig
use them effectively.
In general, vibration measurements are widely used in condition
The measurements were carried out using eight accelerometers,
monitoring and provide a good and reliable basis for detecting
a tachometer and a sound level meter, simultaneously. The
different machine faults. In many cases, displacement and
accelerometer types are Wilcoxon Research 726 and IMI 621B51.
velocity measurements are good ways of detecting unbalance or
The first of them has a frequency range (±3 dB) up to 15 kHz and
misalignment, for example, and for evaluating their severity[1,2,3].
the second one up to 20 kHz. The integrated sound level meter
Bearing faults can be detected more efficiently with acceleration
is Brüel&Kjær Type 2239A. The accelerometers were screwed
signals, for instance. The use of higher, real or complex order
directly into the bearing housing in the radial direction, while a
derivatives is usually a more sensitive solution in the case of many
glued mounting pad was used in the axial direction. Each of the
faults[3,4]. These advanced signal processing techniques could be
four bearing housings was measured using a horizontal sensor, and
vertical and axial sensors were used on bearings 1 and 3 (Figure
1). The sound level meter was placed on the right-hand side of the
Jouni Laurila is with the Mechatronics and Machine Diagnostics Research machine, close to the belt transmission.
Group, Faculty of Technology, PO Box 4200, FI-90014 University of Oulu, The measurements were performed in the LabVIEW environment
Finland. Email: jouni.laurila@oulu.fi by means of three analogue input modules (NI 9233) and a four-
Sulo Lahdelma is with the Engineering Office Mitsol Oy, Tirriäisentie 11, slot USB chassis (NI cDAQ-9174), which ensure simultaneous
FI-90540 Oulu, Finland. Email: sulo.lahdelma@mitsol.inet.fi measurements from all the channels. Each combination of a sensor,

Insight Vol 56 No 8 August 2014 439

cable and measurement channel was calibrated. The sample rate
was 50 kHz and the time period for continuous data collection was
80 s in each case.
The tests were carried out with a wide range of different
rotational frequencies between 4-23.5 Hz, and various faults and
their combinations were executed. In this paper, only one rotational
frequency (8 Hz) and some of the fault states were investigated.
The studied states were:
q initial state
q rotor unbalance mass of 5.5 g, 11 g and 16.5 g
q coupling misalignment of 0.20 mm, 0.35 mm and 0.50 mm
q rotor unbalance mass of 11 g and coupling misalignment of
0.35 mm
q no lubrication in bearing and no cage
q rotor unbalance mass of 11 g, coupling misalignment of
0.35 mm and no lubrication in bearing and no cage.
In the initial state, the condition of the machine was quite good
and the other states could be compared with the measurements
of this state. Rotor unbalance was generated by a mass of 5.5 g,
11 g or 16.5 g in the disk close to the coupling. In these cases,
the unbalances (ui = mir) were 276 gmm, 552 gmm and 828 gmm,
respectively. Coupling misalignment was induced by moving the
motor in the horizontal direction, and both the vertical and angular
alignment were kept constant. The measurements were performed
by means of two dial gauges. The cases where rotor unbalance and
coupling misalignment occur simultaneously were also performed
before the grease in bearing 3 was washed away. After that, three
fault states were measured and, finally, all the faults occurred
simultaneously. More information on the testing arrangement can
be found in earlier studies by Lahdelma et al[7].
3. Signal processing
This paper mainly discusses the signal processing of acceleration
signals by means of derivation, so that the order of derivative can
be a complex number. The order of derivative of the vibration
signal is very important in fault detection. Faults that mainly induce
low-frequency vibrations, such as unbalance or a bent shaft, can be
detected successfully using signals whose order of derivative is low.
Displacement or velocity signals are usually used in these cases.
Acceleration measurements are needed for the early detection of
faults, such as bearing faults, which induce vibration in the high-
frequency band. Sensitivity can often be improved considerably by
means of higher order derivatives, especially in fault cases where
impacts or friction occur. For all fault types, it is probable that the
best sensitivity cannot be reached only with a signal whose order
of derivative is an integer. The use of real order derivatives enables
more sensitive indicators to be found for different cases of fault
detection[2,3]. When the order of derivative is complex number z,
new possibilities for fault detection could open.
A definition for the complex derivative x(z) of the function:
x ( t ) = Xeiω t ......................................(1)
where 0 < ω ∈ R and X ∈ R are constants, t is a real variable and
i = −1 , is introduced by Lahdelma[5] in the form:
x ( ) = x ( ) = ( iω )
α +β i
Xeiω t ...........................(2)
z α +β i
where z = α + βi and α, β ∈ R.
Equation (2) includes the real order derivative x(α) as a special
case, when β = 0:
! #$
i# " t+! &
x ( ) = ( i! ) Xei" t = " ! Xe " = X ! e ( ! ) ............(3)
! ! 2% i " t+#
π the order of complex derivatives was chosen to be z1 = 0.4 + i and
where Xα = ωαX and ϕα = α .
2 z2 = 3.4 + i. With these two orders, it would have been possible to
440
If α = 0, then from Equation (2) we obtain the imaginary order
derivative:
π
i(ω t+ϕ β )
x ( ) = ( iω ) Xeiω t = e 2 bβ i Xe (
βi −β i ω t+ β lnω )
βi
= Xβe ........(4)
where the angular frequency ω = ω b , ω ∈R , b = rad/s,
π
Xβ = e
−β
2
bβ i X and ϕ β = β lnω .
It follows from Equation (2) that:
x ( ) = X z e ( z ) ....................................(5)
z i ω t+ϕ
−β
π
where the amplitude X z = ω α e 2 bβ i X and the phase angle
π
ϕ z = ϕα + ϕ β = α + β lnω .
2
The amplitude Xα is dependent on ω while the amplitude Xβ is
independent of ω. On the other hand, the phase angle φα does not
depend on ω but the phase angle φβ increases with increasing ω[5,6].
The most efficient way of derivating or differentiating the signal
x(t) is a procedure where three main steps are performed. First, a
fast Fourier transform (FFT) is used for the signal x(t) in order to
obtain the complex components {Xk}, k = 0, 1, 2, …, (N − 1). The
corresponding components of the derivative x(z)(t) are calculated
with the formula:
X (α +β i)k = ( iω k )
α +β i
X k ..............................(6)
The signal x(z)(t), where the order of derivation is z ∈ C, can
be obtained using the inverse Fourier transform (FFT–1) for the
sequence {X(α+βi)k}, k = 0, 1, 2, …, (N − 1)[2,3].
4. Analysis of vibration signals
Measurements were carried out widely on the test-rig (Figure 1),
but signals from only one horizontal accelerometer of bearing 1
and only one rotational frequency (8 Hz) were investigated. Some
of these signals have been studied earlier by the authors et al[4,7].
Signal processing, such as derivation and filtering, was performed
in the frequency domain and an ideal filter was used for bandpass
filtering the signals to a frequency range from 5 Hz to 10 kHz. The
time signals with a sample length of 1.67 s were multiplied with
a tapered cosine window function before Fourier transform. After
frequency domain calculations, the inverse Fourier transform was
performed and 20% of the samples were removed from both ends
of the signal. The length of the final x(z) signal was 1 s in all the
cases analysed.
In a fault situation, where more than one fault occurs
simultaneously in the machine, various features are usually needed.
In an earlier study by the authors[4], a large number of different
features were calculated in order to find the best sensitivity for the
detection of each fault type, such as unbalance, misalignment or
bearing problems in different cases. Real order derivatives were
utilised in the earlier study. Based on the results of these earlier
investigations, we have chosen the real part of z for the derivative
x(z) used in this study.
The conclusion of the study[4] was that all the faults studied could
be detected at an early stage on the basis of vibration measurements
and, compared with the commonly used velocity and acceleration
measurements, much higher sensitivity could be obtained using
real order derivatives. The best sensitivity for detecting unbalance
was obtained when α is low, ie α = 0…0.8, and for detecting
misalignment of the claw clutch, the best sensitivity was reached
with α = 3.2…3.8. In the cases where there were bearing problems,
such as inadequate lubrication and the absence of the cage, the
best sensitivity was achieved when α is comparatively large, ie
α = 4…7. In this study, based on the conclusions of the study[4],
Insight Vol 56 No 8 August 2014
efficiently detect all the faults studied in this paper.
Figure 2 shows the signals x(0.4+i) and x(3.4+i) from bearing 1
(ACC1) in the initial state, when the condition of the machine was
quite good. The order of derivative is z1 = 0.4 + i in Figure 2(a)
and z2 = 3.4 + i in Figure 2(b). When the order of derivative is a
π
complex number, the phase angles are ϕ zk = α + β lnω k . From this,
2
it follows that the signal x(z) has three-dimensional form if
β ≠ 0, because all changes of the phase angles are not equal. The
projections of signals x(0.4+i) (Figure 2(a)) and x(3.4+i) (Figure 2(b))
in the real-time and z planes are shown in Figure 3. The z plane
presentation in particular seems to be very interesting for fault
detection.
Figure 2. The signals in the initial state, when the order of
derivative is z1 = 0.4 + i (a) and z2 = 3.4 + i (b). The dimensions of
the signals are μm/sz1 and Mm/sz2, respectively
Figure 3. Two projections of the signals in Figures 2(a) and 2(b)
Figure 4 shows z plane presentations of the signals x(0.4+i), when
the unbalance mass increases from 5.5 g to 16.5 g. It it easy to
see that the unbalance causes a clear circle, whose diameter grows
linearly when the unbalance mass increases. For example, when the
unbalance mass is doubled from 5.5 g to 11 g, the diameter of the
circle is also doubled from 200 μm/s0.4+i to 400 μm/s0.4+i.
Coupling misalignment of the claw clutch causes impacts and
invokes high-frequency vibrations, as shown in earlier studies[4,8].
Figure 5 shows projections of the signals x(3.4+i) in the z plane, when
different rates of coupling misalignment occur. The graphs show
that misalignment of this type could be very clearly detected using
the z plane presentation. Both the diameter and density of the circle
changes significantly when the rate of misalignment increases.
When the two abovementioned faults occur simultaneously,
the form of the signals x(0.4+i) and x(3.4+i) does not change much
compared with the cases where these faults occur independently.
This can be seen in Figure 6, where the projections of these signals
in the z plane are indicated from the case where unbalance and
misalignment occur simultaneously. Figure 6(a) could be compared
with Figure 4(b) and, respectively, Figure 6(b) could be compared
with Figure 5(b). The three-dimensional signals x(0.4+i) and x(3.4+i) in
the case of the simultaneous unbalance and misalignment case are
shown in Figure 7.
Insight Vol 56 No 8 August 2014
Figure 4. The projections of the signals in the z plane, when
the order of derivative is z1 = 0.4 + i and the unbalance mass is
5.5 g (a), 11 g (b) and 16.5 g (c)
Figure 5. The projections of the signals in the z plane, when the
order of derivative is z2 = 3.4 + i and the coupling misalignment
is 0.20 mm (a), 0.35 mm (b) and 0.50 mm (c)
Figure 6. The projections of the signals x(0.4+i) (a) and x(3.4+i) (b)
in the z plane, when rotor unbalance mass 11.0 g and coupling
misalignment 0.35 mm occur simultaneously
Figure 7. The signals x(0.4+i) (a) and x(3.4+i) (b), when rotor
unbalance mass 11.0 g and coupling misalignment 0.35 mm
occur simultaneously. The dimensions of the signals are
μm/s0.4+i and Mm/s3.4+i, respectively
The machine was also studied in a state where bearing 3 had two
faults: an absence of lubrication and an absence of the cage. Both
of these faults could also be detected very clearly from bearing 1,
whose measurements are now analysed. These bearing problems
caused vibrations on a wide frequency band and, as shown in
Figure 8, high-frequency vibration could be seen on both signals
x(0.4+i) and x(3.4+i). In the z plane presentation of signal x(3.4+i), we can
see a very dark circle, whose diameter is over ten times larger than
in the initial case (Figure 3(b)).
Most of the same abovementioned signal forms and shapes
could also be observed from the signals, which were measured
from the case where all the faults occur simultaneously. Figure 9
shows the signals x(0.4+i) (a) and x(3.4+i) (b), while Figure 10 shows two
projections of them from the fault state where all the faults occur
simultaneously. These Figures show that the effects of unbalance
are still clearly visible in the signal x(0.4+i), because low-frequency
441

Figure 8. Two projections of the signals x(0.4+i) (a) and x(3.4+i) (b)
when bearing problems occur
Figure 9. The signals x(0.4+i) (a) and x(3.4+i) (b), when all the studied
faults occur simultaneously. The dimensions of the signals are
μm/s0.4+i and Mm/s3.4+i, respectively
Figure 10. Two projections of the signals x(0.4+i) (a) and x(3.4+i) (b),
when all the studied faults occur simultaneously
vibration is so dominant when small orders of derivatives are used.
However, bearing problems cause some specific small marks to
the x(0.4+i) signal. The detection of bearing faults is still easier with
derivatives whose order of the real part α is high. If we compare
the z plane presentations of signal x(3.4+i) in all the fault cases (Figure
10(b)) with a case where only unbalance and misalignment occur
simultaneously (Figure 6(b)), we notice that the differences are not
so easy to see. The diameter of the circle is quite equal, because
the highest peaks of the signal are caused by the misalignment of
a claw clutch. The bearing problems executed in this study do not
cause such high vibration levels, although the bearing faults cause
levels as much as ten times higher compared with the initial state.
However, there is a very significant difference in the distributions
of the signals between the two abovementioned fault states.
5. Conclusions
The application of complex order derivation to acceleration signals
was discussed in this paper. The aim was to investigate how
various faults in a multi-fault machine could be detected based on
442
signals that were obtained using derivatives of complex number
order. When this type of derivation was used, the original signal
in R2 space will change to a signal in R3 space, ie it has a three-
dimensional form. Especially analysing the projections of the
signals could be very efficient, offering new possibilities for fault
detection.
The signals analysed were measured using an accelerometer,
and different faults, such as unbalance, the coupling misalignment
of a claw clutch, a bearing cage fault, the absence of lubrication in
a ball bearing and their combinations, were generated on a test-rig.
Signal processing was performed in the frequency domain based on
earlier studies by Lahdelma et al[5,6]. Mainly the various fault states
were analysed using signals x(0.4+i) and x(3.4+i). Based on these two
signals we can efficiently detect all the faults studied.
The results showed that rotor unbalance can be detected reliably
with signal x(0.4+i). On the projection of the signal in complex plane
z, the diameter of the circle grows linearly when the unbalance
mass increases. The misalignment of the claw clutch could be
monitored reliably with signal x(3.4+i). When these two faults occur
simultaneously, both of the signals x(0.4+i) and x(3.4+i) are needed. The
studied bearing problems could also be detected very sensitively
with the x(3.4+i) signal.
The signal processing and analysing method discussed in this
paper could be applied to automatic fault detection, for example. In
addition, different kinds of features and signal distributions could be
calculated from the signals. The simplest way for this is to analyse
the diameters or surface area of the projection of signal x(z) in the z
plane. As indicated by the study, there is a very clear difference in
the z plane presentations between various fault types and rates. This
is why only visual examination of these presentations could help
operators and maintenance personnel in the fault diagnosis of a
machine. Based on this, various pattern-recognising systems could
also be utilised in fault detection and identification.
References
1. S Lahdelma and E Juuso, ‘Advanced signal processing and
fault diagnosis in condition monitoring’, Insight, Vol 49, No
12, pp 719-725, December 2007.
2. S Lahdelma and E Juuso, ‘Signal processing and feature
extraction by using real order derivatives and generalised
norms. Part 1: Methodology’, The International Journal of
Condition Monitoring, Vol 1, No 2, pp 46-53, 2011.
3. S Lahdelma and E Juuso, ‘Signal processing and feature
extraction by using real order derivatives and generalised
norms. Part 2: Applications’, The International Journal of
Condition Monitoring, Vol 1, No 2, pp 54-66, 2011.
4. J Laurila and S Lahdelma, ‘Condition monitoring by means
of vibration and sound measurements’, In: Proceedings of
The Tenth International Conference on Condition Monitoring
and Machinery Failure Prevention Technologies – CM2013/
MFPT2013, Kraków, Poland, June 2013.
5. S Lahdelma, ‘On the derivative of complex number order and
its application to condition monitoring and active control’,
Kunnossapito, Vol 13, No 1, pp 27-34, 1999.
6. S Lahdelma and V Kotila, ‘Complex derivative – a new signal
processing method’, Kunnossapito, Vol 19, No 4, pp 39-46,
2005.
7. S Lahdelma, J Laurila, J Strackeljan and R Hein, ‘Separating
different vibration sources in complex fault detection’, In:
Proceedings of The Eighth International Conference on
Condition Monitoring and Machinery Failure Prevention
Technologies – CM2011/MFPT2011, Cardiff, UK, June 2011.
8. S Lahdelma and J Laurila, ‘Detecting misalignment of a claw
clutch using vibration measurements’, In: Proceedings of The
Ninth International Conference on Condition Monitoring
and Machinery Failure Prevention Technologies – CM2012/
MFPT2012, London, UK, June 2012.
Insight Vol 56 No 8 August 2014