Experimental Studies Using Response Surface Methodology for Condition Monitoring of Ball Bearings

M. S. Patil1
Department of Mechanical Engineering, Gogte Institute of Technology, Belgaum 590008, Karnataka, India e-mail: mspatil_git@rediffmail.com

Introduction

Jose Mathew
Professor e-mail: josmat@nitc.ac.in

P. K. Rajendrakumar
Professor e-mail: pkrkumar@nitc.ac.in Department of Mechanical Engineering, National Institute of Technology, Calicut 673601, Kerala, India

Sumit Karade
Department of Mechanical Engineering, Gogte Institute of Technology, Belgaum 590008, Karnataka, India e-mail: sumitkarade@gmail.com

The presence of defect in the bearing (outer race, inner race, or ball) results in increased vibrations. Time domain indices such as rms, crest factor, and kurtosis are some of the important parameters used to monitor the condition of the bearing. Radial load and operating speed also have an important role in bearing vibrations. The interaction between the defect size, load, and speed helps to study their effect on vibrations more effectively. Response surface methodology (RSM) is a combination of statistical and mathematical techniques to represent the relationship between the inputs and the outputs of a physical system. But so far, the literature related to its application in bearing damage identication is scarce. The proposed study uses RSM to study the inuence of defect size, load, and speed on the bearing vibrations. Kurtosis is used as response factor. Experiments are planned using Box Behnken design procedure. Experiments are performed using 6305 ball bearings and the results have been presented. MINITAB statistical software is used for analysis. It is seen from the analysis of the experimental results that the defect size, interaction effect of defect size and load, and interaction effect of defect size and speed are signicant. Response surface method using Box Behnken design and analysis of variance has proved to be a successful technique to assess the signicant factors related to bearing vibrations. DOI: 10.1115/1.4002520 Keywords: condition monitoring, kurtosis, response surface methodology
1 Corresponding author. Contributed by the Tribology Division of ASME for publication in the JOURNAL OF TRIBOLOGY. Manuscript received September 17, 2009; nal manuscript received July 19, 2010; published online October 7, 2010. Assoc. Editor: Shuangbiao Jordan Liu.

Rolling element bearings are one of the most essential parts of rotating machinery. A machine could be seriously jeopardized if defects occur in the bearings during service. Early detection of the defects, therefore, is crucial for the prevention of damage and a total failure of the associated large system. Different methods are used for detection and diagnosis of bearing defects; they may be broadly classied as vibration and acoustic analysis, temperature measurements, and wear debris analysis. Among these, vibration analysis is the most widely used technique. Vibration signature based diagnostics are mainly concerned with the extraction of those features from a diagnostic signal, which can be related to a good or a defective state of the component. Vibration produced due to defects is sensed using the velocity transducer or accelerometers. The signals collected from the rolling contact element are analyzed. Various signal processing techniques involving time, frequency, and statistical methods have been used to detect and check the progress of the incipient fault. The extraction of meaningful information from this data is challenging and, therefore, it calls for different approaches to analyze the data. Time wave form analysis includes the visual inspection of the time history of the vibration signals, time wave form indices, probability density function, and probability density moments. A time wave form index is a single number calculated based on the raw vibration signal and used for trending and comparisons. The indices include peak value, mean value, rms root mean square value, and peak-to-peak amplitude. The probability of nding the instantaneous amplitude value from a vibration signal within a certain amplitude range can be represented by probability density function. The shape of probability density function will be similar to a Gaussian or normal probability distribution for a bearing in good condition. Alfredson and Mathew 1 reported obtaining a new Gaussian distribution for some damaged bearing. Dyer and Stewart 2 discovered that the probability density of acceleration of a bearing in the perfect condition has a Gaussian distribution where as a damaged bearing results in non-Gaussian distribution with dominant tails. Even moments second and fourth, standard deviation, and Kurtosis are proportional to the spread of the distribution. The most useful is the kurtosis, which is sensitive to the impulsiveness in the vibration signal and, therefore, sensitive to the type of the vibration signal generated in the early stage of a rolling element bearing fault. Dyer and Stewart proposed the use of kurtosis for bearing fault detection. Martin and Honarvar 3 used kurtosis and skew is used to compare the signal obtained from the damaged and undamaged bearing. Tandon and Nakra 4 extracted other features such as rms level and crest factor for diagnosing the damaged bearing. Many researchers 511 have shown the effectiveness of kurtosis in defect detection. Heng and Nor 12 discussed the use statistical parameters derived from the Beta distribution function. The results are compared using rms, crest factor, and kurtosis. A paper by Kar and Mohanty 13 discusses the possibility of application of the KolmogorovSmirnov KS test in diagnosing rolling element bearing defect identication. Theoretical predictions based on experimental observations mark the essence of useful research. Proper use of statistical methods greatly improves the efciency of the experiments and helps to draw meaningful conclusions from the experimental data. There are two basic aspects of concern in scientic experimentation: the design of the experiment and the statistical analysis of the data. Successful experimentation requires knowledge of the important factors that inuence the output. Design of experiments DOE 14 helps to determine the factors, which are important for explaining a process variation. Interactions are the driving forces in many processes and proper understanding of the process may be difcult or impossible if important interactions remain undetected. DOE also helps to understand how the inuence facOCTOBER 2010, Vol. 132 / 044505-1

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tors interact with the system. Methods such as factorial design, response surface method RSM, and Taguchi techniques can be used for planning the experiments. The present work explores the application of RSM method using the time domain values of the bearing vibration signal for analyzing the effect of defect size, load, and speed on the bearing performance. Time domain indices such as rms, crest factor, and kurtosis are generally used for statistical analysis. For the present study kurtosis of the signal has been used as the response parameter. Kurtosis is considered to be a good parameter to measure defectiveness in the bearings but irregularity in variation of kurtosis makes it difcult for judging. Hence, experiments were planned and analyzed using DOE approach to study the inuence of the operating conditions on kurtosis. SKF 6305 ball bearing having articially induced defect of different sizes have been used for the experiments. The experiments are performed on bearings having defect on outer race, inner race, and ball. The results explained are in context with the experiments performed for this study.

Fig. 1 BoxBehnken design

Introduction to Response Surface Method

Eu measures the experimental error of the uth observation. 2.3.1 Description of the Method of the Response Surface. The designs of the RSM are those in which problems are modeled and analyzed; in these problems, the response of interest is inuenced by different variables. The RSM is widely used as an optimization, development, and improvement technique for processes based on the use of factorial designsthat is, those in which the response variable is measured for all the possible combinations of the levels chosen of the factors. The main effect of a factor is dened as the variation in response caused by a change in the level of the factor considered, when the other ones are kept constant. There is an interaction dependence between the variables when the effect of one factor depends on the behavior of another. The application of the RSM becomes indispensable when, after the signicant factors affecting the response have been identied, it is considered necessary to explore the relationship between the factor and dependent variable within the experimental region and not only at the borders. Response surfaces are recommended for these types of factorial designs for their effectiveness and quick execution. This is consists of correlating the k variables put into action through a second-degree polynomial expression of the following form:
1 k Y = b0 + ik=1bixi + ik=1biixi2 + ik=1 j=i+1bijxix j

2.1 Basic Denitions. Factors. Factors are the variables of interest that inuence the response output of a system. Level. Specic values for the factors at which the experiment is performed. Levels are called as low and high and dened on a coded scale from 1 and +1 the low and high levels of the factors. Factorial design. Factorial designs allow for the simultaneous study of the effects that several factors may have on a response. It involves performing an experiment, varying the levels of the factors simultaneously rather than one at a time, and also allows for the study of interactions between the factors. Effect. Effect of a factor is dened as change in the response produced by a change in the level of the factor. 2.2 Analysis of Variance (ANOVA). ANOVA 14 gives a summary of the main effects and interactions, the regression coefcients, and the p-value. The p-value 14 in the ANOVA analysis helps to determine which effects factors and interactions are statistically signicant. p-values are often used in hypothesis tests where you either accept or reject a null hypothesis. The p-value represents the probability of making a type-I error or rejecting the null hypothesis when it is true. The smaller the p-value, the smaller is the probability that you would be making a mistake by rejecting the null hypothesis. The cutoff value often used is 0.05, i.e., reject the null hypothesis when the p-value is less than 0.05. It is common to declare a result signicant if the p-value is less than 0.05. 2.3 Response Surface Methodology. Response surface methodology 1416 is a collection of mathematical and statistical techniques that are useful for modeling and analysis of problems in which a response of interest is inuenced by several variables. The response surface methodology emerged in the 1950s 17 within the context of chemical engineering in an attempt to construct empirical models that are able to nd useful statistical relationships between all the variables making up an industrial system. Here, the inputs or the variables that inuence the behavior of the system are called factors or variables and the outputs represent the response that generates the system under the causal action of the factors. If all the input parameters represent quantitative variables, then the responses can be represented as a function of levels and variables. Y = f X1u, X2u, . . . , Xku + Eu 1 where u = 1 , 2 , . . . , N represents N observations in the factorial experiment and Xiu represents the level of ith factor in uth observation. The function f is called the response function. The residual 044505-2 / Vol. 132, OCTOBER 2010

where Y is the dependent variable and xi is the factor or variable with which we wish to correlate it. The expression contains a rst-degree term that represents a linear relationship considered as the principal, another term in which the variables cross each other to represent the inuence of some over others, and nally, a second-degree term that renes the previous one and gives maximums and minimumsi.e., optimal values of the dependent variable. The symbols b0, bi, and bij are constants. The experimental values are adjusted to the above equation by a polynomial regression and the usual statistics can be used to determine the goodness of the t. The RSM designs are classied into central composite design and Box Behnken design. The present work uses the Box Behnken design. Box and Behnken 18 introduced designs for three level factors that are widely used in response surface methods to t second-order models to the response. These designs are referred to as BoxBehnken designs. The designs were developed by the combination of two level factorial designs with incomplete block designs. Figure 1 shows the BoxBehnken design for three factors in coded form. The design is obtained by the combination of 22 design with a balanced incomplete block design having three treatments and three blocks. The advantages of these designs include the fact that they are all spherical designs and require facTransactions of the ASME

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Table 2 Design matrix uncoded factors Defect size D mm 0.5 1.5 0.5 1.5 0.5 1.5 0.5 1.5 1 1 1 1 1 1 1 Shaft speed S rpm 800 800 1200 1200 1000 1000 1000 1000 800 1200 800 1200 1000 1000 1000 Load L kN 1 1 1 1 0 0 2 2 0 0 2 2 1 1 1 Kurtosis K Outer 3.0823 3.9443 3.3054 4.3227 3.034 3.7175 3.5119 4.9125 3.0116 3.104 3.7116 3.904 3.4116 3.354 3.312 Inner 2.5472 3.0823 2.9572 3.9495 2.6011 3.3304 2.9481 3.7055 2.5472 3.3304 2.9998 3.4062 3.0546 3.0349 3.0656 Ball 2.414 3.4171 2.5259 3.9232 2.2741 3.6428 2.7804 3.786 2.4978 2.631 2.695 2.9395 2.6957 2.660 2.638

Fig. 2 a Experimental setup and b hydraulic loading arrangement

tors to be run at only three levels. Yet another advantage of these designs is that there are no runs where all factors are at either the +1 highest value or 1 lowest value levels.

Experimental Details

3.1 Experimental Setup. The experimental setup used for this study is shown in Fig. 2a. It is consists of a shaft supported on two bearings and driven by a variable speed motor. The test bearing, a single-row deep groove ball bearing SKF 6305, is placed on the nondrive end of the shaft and a double-row selfaligning ball bearing is placed on the drive end side. The loading arrangement is placed between these two bearings. A hydraulic loading arrangement is shown in Fig. 2b. A piezo-electric accelerometer with a sensitivity of 50 mV/g is used to measure the vibrations. It is mounted on the housing of the test bearing. The accelerometer is connected to the charge amplier, the output of which is connected to a computer. The relevant hardware and the software required to acquire the data, store it, and display the time domain signal are installed in the computer used for this work. The vibration signals are sampled at 9 kHz with a sampling size of 4096 212 samples. Signals were ltered using Butterworth lter, available in MATLAB, before analysis. The experiments have been performed on separate test bearings having defects of sizes 0.5 mm, 1 mm, and 1.5 mm articially induced on outer race, inner race, and ball, separately. Electric discharge machine EDM was used to create the defect. It is assumed that all the bearings have

the same surface properties. In order for a bearing to function properly, it is important that the correct mounting method be used. Precaution was taken during tting and removal of the bearing. The bearing was tted using hot oil bath technique and was removed using the bearing puller. The gap between the bearing housing cover and the body was maintained the same for all the experiments. Feeler gauge was used to measure the gap. 3.2 Factors and Their Level. For this study, the factors that are of interest are defect size, shaft speed, and load. Table 1 shows the factors and their levels in coded and actual values. Kurtosis is considered as the response parameter. It is calculated using the formula 6,7 KurtosisK = 1 N xi N i=1

where N is the number of data points, xi is the amplitude of vibration, is the mean deviation, and is the standard deviation. Table 2 depicts the design matrix and the kurtosis average of replicates for defect on the outer race, the inner race, and the ball.

Table 1 Factors and levels Levels/coded Factors unit Defect size mm Shaft speed rpm Load kN Notation D S L 1 0.5 800 0 0 1 1000 1 +1 1.5 1200 2

Results

The MINITAB statistical package was used to analyze the experimental data and response parameters. The signicant terms in the model were found by analysis of variance at 5% level of signicance 95 % condence level. The regression coefcients are obtained using the coded units. Table 3 shows the regression coefcients and p-value.

Table 3 Regression coefcients and p-value Outer race Term Constant D S L D2 S2 L2 DS DL SL

a

Inner race p-value 0.000 0.000a 0.008a 0.000a 0.000a 0.488 0.043a 0.335 0.004a 0.523 Coefcient 5.72991 0.43999 0.53945 4.38838 0.07885 0.00347 1.56958 0.11430 0.07025 0.94200 p-value 0.012 0.041a 0.020a 0.246 0.008a 0.859 0.436 0.001a 0.709 0.003a

Ball defect Coefcient 7.08300 0.22015 0.37490 8.37475 0.41775 0.01225 3.85042 0.09852 0.90775 0.27825 p-value 0.017 0.358 0.145 0.123 0.000a 0.646 0.185 0.009a 0.013a 0.300

Coefcient 3.35920 0.49543 0.11079 0.39661 0.33282 0.02835 0.10195 0.03882 0.17927 0.02500

Signicant.

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Table 4 ANOVA table for outer race defect Source DF SS MS 0.43345 1.10672 0.14794 0.04570 0.00530 0.00717 0.00250 F-value 81.73 208.68 27.90 8.62 2.87 p-value 0.000 0.000 0.002 0.020 0.269

Regression 9 3.90109 Linear 3 3.32017 Square 3 0.44383 Interaction 3 0.13709 Residual error 5 0.02652 Lack-of-t 3 0.02152 Pure error 2 0.00500 Total 14 3.92761 R2 = 99.32% R2-adj = 98.11%

4.1 Outer Race Defect. Regression analysis for the case of outer race defect Table 3 indicates that the individual effect of defect size is statistically signicant. It is also observed from the table that the shaft speed, load, and interaction effect between the defect size and load also have signicant contributions since the corresponding p-value is 0.05. Table 4 shows the result of ANOVA of the kurtosis for outer race defect. The R2 and R2-adj for the outer race are 0.9932 and 0.9811, respectively. This indicates that the variables predictors excellently explain the amount of variation in the observed value of the kurtosis. The p-values corresponding to linear and square term are closer to zero in the ANOVA analysis Table 4, which indicate that the inuence of linear and square effect related to the defect size are more signicant. The interaction plots are shown below. In Fig. 3a, it is clear that the kurtosis increases with an increase in the defect size for

Fig. 5 Interaction plots data means for kurtosis for inner race defect

all values of the loads. It is observed in Figs. 3a and 3b that kurtosis at higher defect size and a higher load is high. It is seen in Fig. 3c that there is a slight variation in the kurtosis for all defect sizes at lower speeds but the inuence of speed on kurtosis is less at higher speeds. The p-value greater than 0.05 for D S Table 3 indicates that the interaction effect between defect size and speed is not signicant. The interaction effect between the defect size and load is also shown using the contour plot Fig. 4a and surface plot Fig. 4b. The analysis shows that for a bearing having outer race defect, the increase in the defect size results in an increase in the kurtosis and hence the bearing vibrations. The curved contour lines and the twist in the response surface indicate that there exists a signicant interaction between the defect size and the load, which inuences the response. 4.2 Inner Race Defect. It is clear from Table 3 that the defect size and the interaction between the defect size and the speed is signicant p-value 0.05. Figures 5a5c show the variation in the kurtosis due to change in the defect size, load, and the speed. Figures 6a and 6b show the contour plot and the surface plot for the interaction between the defect size and the shaft speed for inner race defect, respectively. It is observed that with the increase in the defect size, the kurtosis increases. For the bearing with inner race defect, the interaction between the defect size and the speed also plays a signicant role on bearing vibrations. The p-value closer to zero for the interaction effect in ANOVA Table 5 indicates that interaction effect is most signicant.

Fig. 3 Interaction plots data means for kurtosis for outer race defect

4.3

Ball Defect. Table 3, which shows the estimated regres-

Fig. 4

a Contour plot and b surface plot for outer race defect

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Fig. 6

a Contour plot and b surface plot for inner race defect

Table 5 ANOVA table for inner race defect Source DF SS MS 0.244777 0.008658 0.007780 0.029317 0.001267 0.001952 0.000240 F- value 193.14 6.83 6.14 23.13 8.13 p-value 0.000 0.032 0.040 0.002 0.112

Regression 9 2.20299 Linear 3 2.09171 Square 3 0.02334 Interaction 3 0.08795 Residual error 5 0.00634 Lack-of-t 3 0.00586 Pure error 2 0.00048 Total 14 2.20933 2 2 R = 99.71% R -adj = 99.20%

Table 6 ANOVA table for ball defect Source DF SS MS 0.429698 0.005753 0.217344 0.024962 0.002318 0.003298 0.000848 F-value 185.39 2.48 93.77 10.77 3.89 p-value 0.000 0.176 0.000 0.013 0.211 Fig. 7 defect Interaction plots data means for kurtosis for ball

Regression 9 3.86728 Linear 3 3.14036 Square 3 0.65203 Interaction 3 0.07489 Residual error 5 0.01159 Lack-of-t 3 0.00989 Pure error 2 0.00170 Total 14 3.87887 2 2 R = 99.70% R -adj = 99.16%

sion coefcients and the p-value for the ball defect also, indicates that the square effect of defect size is the most signicant factor, which means that with the increase in the defect size, the kurtosis increases. It is also observed that the interaction of defect size with the load and speed is also signicant. The p-value for these terms is less than the signicance level 0.05. The ANOVA of kurtosis for the ball defect shown in Table 6 also predicts that the square term is the most signicant. It is unlikely that the defect on the ball makes contact with the raceway during every revolution of the ball. The chances of contact may be more if the defect size is more. It is seen in Fig. 7a that with the increase in the defect size the kurtosis increases. It may be noted that the rate of increase of the kurtosis is more for

larger defect sizes. Comparison of Figs. 7a7c shows that the effect of the defect size on the kurtosis is more as compared with the effect of the load and the speed. From the contour plot Fig. 8a and surface plot Fig. 8b, it is clear that with the increase in the defect size and load, the kurtosis increases. It can also be seen from Fig. 8a that as the defect size approaches 1.5 mm, kurtosis becomes less sensitive to the load. The value of the kurtosis with the increase in the load remains almost constant. Similarly observations can be made from Figs. 9a and 9b. It can be observed that the kurtosis does not change much with the increase in the speed when the defect size is large. Therefore, it is clear that ball defect kurtosis mainly depends on the defect size.

Conclusions
The following conclusions can be drawn from this study.

Fig. 8 Contour plot and surface plot for ball defect size and load

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Fig. 9 Contour plot and surface plot for ball defect size and shaft speed

a b

c d

Response surface method using BoxBehnken design and ANOVA has proved to be a successful technique to assess the signicant factors related to bearing vibrations. For the outer race defect, the increase in defect size and load results in an increase in kurtosis. Small variation in the kurtosis value is observed at lower speed but at higher speeds, there is not much variation in the kurtosis. For the inner race defect, the factors inuencing the kurtosis are the defect size and the speed. Inuence of defect size is more signicant. For the ball defect, defect size is more dominant. Kurtosis increases with the increase in the defect size. Kurtosis becomes less sensitive to load and speed for larger defect sizes.

7 8 9 10 11 12 13 14 15 16

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