Hindawi Publishing Corporation

International Journal of Rotating Machinery

Volume 2013, Article ID 856865, 12 pages
http://dx.doi.org/10.1155/2013/856865
Review Article
Rotordynamic Faults: Recent Advances in
Diagnosis and Prognosis
Ryan Walker, Sureshkumar Perinpanayagam, and Ian K. Jennions
Integrated Vehicle Health Management Centre, University of Cranfeld, Bedfordshire MK43 0AL, UK
Correspondence should be addressed to Ryan Walker; [email protected]
Received 8 October 2012; Revised 15 January 2013; Accepted 21 January 2013
Academic Editor: Arthur Lees
Copyright 2013 Ryan Walker et al. Tis 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.
Diagnosis and condition monitoring in rotating machinery has been a subject of intense research for the last century. Recent
developments indicate the drive towards integration of diagnosis and prognosis algorithms in future integrated vehicle health
management (IVHM) systems. With this in mind, this paper concentrates on highlighting some of the latest research on common
faults inrotating machines. Eight key faults have beendescribed; the selectedfaults include unbalance, misalignment, rub/looseness,
fuid-induced instability, bearing failure, shaf cracks, blade cracks, and shaf bow. Each of these faults has been detailed with regard
to sensors, fault identifcation techniques, localization, prognosis, and modeling. Te intent of the paper is to highlight the latest
technologies pioneering the drive towards next-generation IVHM systems for rotating machinery.
1. Introduction
Te topic of diagnosing and prognosing faults in rotating
machinery is an ongoing subject of research, with many
developments published in a range of conferences and jour-
nals annually. Tis research has the potential to become even
more relevant in the coming years due to the rise of IVHM,
in which the drive towards condition-based maintenance and
whole vehicle monitoring plays a vital role. Tis paper intends
to survey some of the recent developments in the feld,
with the aim of summarizing some of the more promising
studies and trends with relevance to future IVHMsystems for
rotating machinery.
Modern day rotating machines operate with a high level
of reliability, and yet the drive for ever increased operation
and decreased unscheduled maintenance is providing addi-
tional challenges for industry. Te airline industry provides a
current example of this desire, withairlines pushing manufac-
turers to enable shorter turnaround times and to keep aircraf
in the air longer, increasing cost beneft. Despite the high level
of reliability, the rotordynamic faults detailed in this paper
remain aspects which require consideration in this drive for
increased reliability and improved maintenance procedures
[1].
In order to fully understand and summarize the trends
and developments in this area, several hundred recent
conference and journal papers have been studied. Overall
trends have been highlighted and discussed alongside specifc
papers of relevance. It is intended that the work should pro-
vide a broad reference and summary for working engineers
on some of the latest developments in rotordynamic fault
diagnosis and prognosis, with specifc application to papers
of industrial relevance for the drive towards future IVHM
systems.
In order to fully study the diagnosis and prognosis of
rotordynamic faults, it has been deemed necessary to break
down the topic of rotordynamic faults into sections defned
as follows:
Sensors: sensors commonly used for diagnosis of spe-
cifc faults.
Fault Identifcation: diagnosis and root cause detec-
tion.
Localisation: locating a specifc fault within a complex
system.
Prognosis: prognosis of components and remaining
useful life.
Modelling: simulation of rotordynamic faults.
2 International Journal of Rotating Machinery
Trough the study of the topics listed, it is useful to place
the research conducted in this paper into context with regard
to real-world applications. Further to this, it is intended to
identify potential areas where more research is required in
order to push some of the recent technologies highlighted for
this study into industry.
Anderson [2] provides a summary of maintenance time
breakdown for a collection of military aircraf. Tis indicates
that as much as 44% of on-aircraf maintenance time (which
in turn accounts for 90% of total maintenance operations) is
consumed with inspection alone. Te techniques addressed
in this paper enable the maintenance to be more informed
and targeted, with inventory ready when needed, providing
a signifcant contribution to reducing maintenance time and
cost.
As the topic of rotordynamic faults is very large area
of research, the scope of this paper has to be limited. Te
choice of faults has been made afer considering the works
by Muszynska [3] and Bently [4], both of whom consider the
fundamentals of common faults in much detail. Out of the
wide range of possible rotordynamic faults, eight have there-
fore been selected. Due to the general reliability of the current
generation of gas turbines, faults falling outside of the eight
listed have been classed as uncommon for the purposes of
this study. Tis decision was made by assessing the severity
of each fault, dependences on other faults, and the level of
research dedicated to diagnosis of each fault.
Te scope of this paper is therefore confned to the fol-
lowing faults:
(i) unbalance,
(ii) misalignment,
(iii) rub and looseness,
(iv) fuid-induced instability,
(v) bearing faults,
(vi) shaf cracks,
(vii) blade cracks,
(viii) rotor bow.
Each of these faults is varied, and some are more common
than others. Te consensus from the works reviewed within
this paper is that unbalance is the most commonly occur-
ring, in part due to the fne tolerances applied to modern
machinery and also due to the links between unbalance and
other faults. Misalignment can also be identifed as another
common fault. Te particular importance of these two faults
is highlighted by Domes [5] who discusses common faults
fromthe perspective of Rolls Royce. Bearing failure is perhaps
the most diverse fault here and has the highest concentration
of research in various areas. Te decision has also been made
to separate faults occurring on the shafs of a system to those
occurring on rotors, as these can be classifed as distinct
faultsparticularly with regards to localization and mainte-
nance. Despite these conclusions, quantifying the faults with
regards to the rate of occurrence was not possible due to the
lack of commercially available data, and each of the eight
faults has therefore beeninvestigatedto anequal level of detail
in this paper.
It should be noted that although the faults have been
separated into eight categories they are by no means mutually
exclusive. Dependencies exist between many of the faults. A
common example of this is the interaction between unbal-
ance and misalignment (outlined by Bently [4]). Fault chains
can become even more complex, misalignments leading to an
unbalance which causes a rub for an example. Some works
contained herein detail single fault analysis, and a few refer
to two or more faults. Such fault dependencies are one of the
limiting factors when moving technologies from the lab into
industry. An example of this would be a system capable of
diagnosing unbalance faults, without consideration for mis-
alignment as a root cause may render such a system inefec-
tive when applied to a real-world scenario.
Te selected papers have been further refned based upon
relevance to aeroengine gas turbines and publication date
(with works from the last three years preferred).
As research into the diagnosis and prognosis of faults in
rotating machines is a developing topic, the application of
such technologies in industry has not yet reached a stage
where there are common solutions, or even a set of estab-
lished procedures to follow. Tis holds particularly true with
regards to the broader felds of IVHM. Taking the state-of-
the-art Joint Strike Fighter (JSF) program as one example of
the current level of technology in circulation, although the
autonomic logistics proposed by Hess et al. [6] for the vehicle
is undeniably impressive, it is still a long way from imple-
menting some of the recent technologies claimed to be
successful in a lab-based environment.
Although, as mentioned, an established and commonly
applied set of procedures and standards for IVHM has not
yet emerged, with regards to rotating machinery a number
of standards and procedures can be referred to with regards
to detailing and quantifying the faults. Tese include such
aspects as covered by ISO 2953:1999, which details correct
balancing procedures and levels of mechanical vibration.
Another example would be in the UK Ministry of Defence
Military Aviation Authority (2010), JAP 100A-01Military
aviation engineering policy and regulation, where a mention
is made of procedures for debris and vibration monitoring.
Tis indicates a gradual move towards common ground for
procedures and standards for IVHM systems. Despite this
research remains varied, and separating the research with
potential for moving beyond the lab-based environment into
industry can be difcult to identify at frst glance.
Te discussion contained herein therefore takes into
account the above detailed considerations and constraints,
with the aims of the paper as follows.
(i) Highlight key examples of the latest research in eight
common rotordynamic faults.
(ii) Summarise current trends identifed from the study.
(iii) Detail the current state of the art and the future
work required for next generation IVHM systems for
rotating machinery.
2. Rotordynamic Faults
Te following section details the aforementioned common
rotordynamic faults with regard to recent physics-based
International Journal of Rotating Machinery 3
simulation work and traditional data-driven methods.
Research in this area of rotordynamics is particularly wide-
spread, and so this paper outlines only a few recent areas
of research. Although not being of mainstream interest, a
list of commonly used sensors has been included. Table 1
represents a summary of the information collected and
detailed as a part of this paper.
As discussed, a wide selection of papers have been
reviewed for consideration in this paper, of which it is not
possible to describe them all in detail. In an attempt to
highlight some of the common themes across many of works
reviewed, Table 1 has been created. Table 1 by no means
details all relevant methods and approaches currently being
investigated; however, it details themes which were found
to be common across many areas of current research. It is
intended for the detailed table to compliment the important
works described in more detail in the following section of the
paper, separated by fault type.
2.1. Unbalance. Tis is one of the most common rotordy-
namic faults [4]; every rotating machine has an inherent
degree of unbalance. Unbalance as a fault can, therefore,
be defned as unbalance outside of a given tolerance level.
A recent piece of research which demonstrates the ongoing
development of data-driven techniques is that by Ganeriwala
et al. [7], who tested a technique for measuring operating
defection shapes (ODS) in order to detect unbalance cases.
Tese studies were conducted on a machine fault simulator (a
physical simulator of common faults in rotating machines)
such simulators have the advantage of recreating faulty con-
ditions quickly and easily, enabling a new dimension to data-
driven diagnostic techniques. It is, however, worth mention-
ing that data for these experiments were collected using 14
accelerometers, which are easy to apply to such a simulator,
but it may be much more difcult to confgure these many
sensors on a complex system. Despite this, the paper achieved
its aiminproving the hypothesis whenanoperating machine
becomes unbalanced, its ODS will change.
Regarding physics-based simulation of unbalance as a
fault, the work by Sudhakar and Sekhar [8] described a
model-based method for fault identifcation using a minimal
sensor suite. Tis is achieved through the analysis of trans-
verse vibrations at a single location. Troughout the paper,
three diferent approaches are studiedleast squares mini-
mization, equivalent loads minimization, and vibrationmini-
mization. Areduced error is found to occur using a proposed
modifcation to the typical equivalent loads minimization
approach. Te work is of note due to the authors requirement
to both identify and locate (localize) unbalance.
Localization and prognosis of unbalance pose a unique
set of challenges andas a result, researchis still somewhat lim-
ited in these areas. One recent work which claims to localise
unbalance accurately is by Yang and Hsu [9]; the authors
use trending data and reasoning systems to locate unbalance
and shaf bow across a system. Quick diagnosis is achieved
by avoiding the study of all fault combinations, and the
authors claim the ability to localise shaf bow and unbalance
in large rotating machines. Te techniques rely extensively on
previous searches and are limited to large, stable machines
operating at a specifc RPM. Remaining useful life of unbal-
ance is difcult to predict due to complicating factors. As
discussed, the fault dependencies are such that in many cases
the unbalance itself will not be the failing factor, instead an
unbalance may cause a rub which then leads to damage which
canbe prognoses. Suchcombinations of faults andunderlying
causes for unbalance lead to the need for remaining useful
life predictions to be made based upon the exact nature of a
specifc fault.
2.2. Misalignment. Tis is another common fault which can
potentially infict considerable damage in rotating machines.
As with unbalance, misalignment in a whole system can be
complicated by secondary faults (e.g., a misalignment which
causes a rub). El-Shafei et al. [10] are an example of the
ongoing research in this area; in this case, a unique combina-
tion of angular misalignment and oil whip/whirl is detailed.
Te authors describe how small degrees of misalignment can
be utilized in order to prevent the onset of fuid-induced
instabilities, tested through the use of a lab-based test rig.
Such research presents a new dimension in looking at
common rotordynamic faults, with aspects that could be
applied to future design for IVHM systems.
El-Shafei et al. [11] demonstrate interesting research into
misalignment from the perspective of physics-based simula-
tion. Te authors construct mathematical models of a simple
rotor systemwitha misalignedcoupling andcollect harmonic
response data from this to assess the severity of diferent
misalignment cases. Such models are useful throughout the
life of rotating machinesfrom design to implementation,
although again successful validation with experimentally
obtained data is key. Te authors highlight the fact that
although misalignment is a prevalent and serious fault, no
comprehensive research has been performed for treating this
problem. Te methodology applied includes deriving the
energy expressions applying the Ritz series method, con-
structing the equations of motion and then using the har-
monic balance method to look for multiharmonic responses.
Te paper demonstrates the ongoing research to understand
and model the fundamentals of such faults, in order that
improved diagnosis and prognosis methods canbe built upon
such knowledge.
As with unbalance, localization and prognosis of mis-
alignment is a complex topic to research. Studies such as El-
Shafei et al. [11] can make accurate predictions for misalign-
ment in a simple system with one coupling. However, real
systems (e.g., aircraf gas turbines) have many potential loca-
tions of misalignment. Tis is an area where few researchers
have made an impact. Remaining useful life predictions for
misalignment is complicated for the same reasons as with
unbalance. Villa et al. [12] discuss statistical diagnosis of
misalignment faults, with reference to prognosis. Te authors
use the example of a wind turbine for their studies, but
stress the applicability to other systems. Diferentiation with
unbalance faults is also covered (as these two faults are closely
linked). Unlike the work by El-Shafei et al. [11], emphasis is
given to the machine in question operating over a wide range
of operating speeds and conditions. Tis is achieved through
the use of anangular resampling method. Prognosis is tackled
4 International Journal of Rotating Machinery
Table 1: Rotordynamic fault table.
Faults Sensors
Fault identifcation
techniques
Localisation of fault Prognosis
Work of note in fault
modelling
Unbalance
Accelerometer
Velocity transducer
Proximity transducer
Operating defection
shapes
Time-frequency
analysis and many
others
Neural-network
modelling and
time-frequency
analysis
FCM-Markov model
Unbalance in full-engine
FEA model,
Early detection in
aeroengines
High radial
loads and
misalignment
Accelerometer
Termocouple
Displacement
transducer
Angular sensor
Bearing temperature
observation advanced
Sofware-driven
fltering methods
Various vibration
analysis techniques
Prognostic
modelling using
simulated vibration
data
Modelling the
relationship between
misalignment and other
faults
Harmonic balance
method
Rub and
looseness
Accelerometer
Velocity transducer
Optical sensor
Single value
decomposition
Time-frequency
analysis
Least-squares ftting
approach
Adaptive wavelet
denoising for
prognostics
Rob and looseness using
FEA models Whole
engine modelling
techniques
Fluid-induced
instability
Proximity probes
Keyphase transducer
Full spectrum plots
Large amplitude
subsynchronous
vibration
Detection
Blade tip clearance
and loading
distribution
Cross-coupled
stifness and
direct-damping
studies
Nonlinear modelling
accuracy of model based
Diagnostics numerical
modelling
Bearing failure
Accelerometer
Velocity transducer
Displacement
transducer
Proximity probes
Postfailure analysis for
future failure diagnosis
Dynamic
time-frequency analysis
Statistical change in
the bispectral
domain
Numerical
modelling of
aeroengine bearings
Model-based
prediction of
remaining useful life
On-board
prognostics
High and low fdelity
dynamic system
modelling
Comparisons of
algorithms to
understand bearing
vibration phenomena
Shaf cracks
Keyphase transducer
Proximity probes
Higher order spectra
Neural networks
Grid support vectors
Forced response
measurements
Nonintrusive
torsion vibration
monitoring
Statistical analysis FEA
modelling
Blade cracks
Keyphase transducer
Proximity probes
Hilbert-Huang
transformation
Model-based
diagnostics
Morlet
wavelet/quantum
techniques
Novel bearing
structures
Active magnetic
actuator
Global and local
asymmetry modelling
Finite element modelling
Rotor Bow
Keyphase transducer
Proximity probes
Seismic transducer
Examination of slow
roll data
Model-based
diagnostics
Partial mathematical
modelling
Statistical symptoms
analysis
Advantages of fault
modelling for
identifcation
Nonlinear modelling
techniques
through the use of a statistical diagnosis algorithm based on
the signifcance level of the faults in question.
2.3. Rub and Looseness. Rub is always a secondary fault (i.e.,
a product of another fault such as looseness) and can lead
to fatigue and wear. Rub and looseness can create com-
plex vibration signals which are difcult to diagnose using
traditional methods. Modeling and simulation of rub and
looseness faults have been considered in several recent works.
Tis includes Ngolah et al. [13], which detail the moni-
toring and diagnosis of common faults (including rub and
looseness) based upon a three-layer Artifcial Neural Net-
work (ANN). A series of 10 key performance indicators were
identifed and used as training. Te authors test the system
in a lab environment, but stress the applicability to industrial
applications. Te research indicates one of the latest methods
of research which enables the implementation of diagnosis
techniques. It is a useful tool for rub and looseness studies,
as it incorporates a variety of faults which could underlie
such a fault. Despite this, the research relies on clear features
for each fault, which can be much easier to identify in a lab
environment as opposed to noisy industrial applications.
International Journal of Rotating Machinery 5
Lu et al. [14] have performed several studies into rub and
looseness, including this example inwhicha fexibly mounted
shaf has an induced rub due to a range of contact rings.
Te study focusses on the potentially dangerous efects of rub
in causing excessive nonsynchronous and chaotic vibrations.
Te links with unbalance and misalignment are discussed
and detailed. Te considerations for real-world cases in the
described research are considerable, as part of the drive
towards full understanding of the nonlinear efects of rub and
looseness.
Localization of rub and looseness across whole systems
is relatively lightly studied in the literature. Many works
(including those already cited) look at single or dual-rotor
systems where localization of such faults is not an issue. In
an industrial setting, complex systems may comprise many
rotors in several compressor and turbine stages, signifcantly
complicating diagnosis of such faults. Research into progno-
sis of rotor-stator rubs lies mostly within the domain of data-
driven techniques. Modeling and simulation research can be
used to support data-driven techniques for prognosis and
condition-based monitoring. Han et al. [15] is an example of
this; the authors use fnite element modeling to construct a
dual rotor model. Various types of rub-impact are then stud-
ied. Such studies can provide a wide range of information,
which can then be combined with data obtained from live
systems, potentially with seeded faults, in order to construct
accurate remaining useful life predictions. As pointed out by
the authors, one key advantage of simulation is the ability
to study more complex systems with a higher number of
rotors, which is used throughout this research. Tis presents
a diferent approach to identifying features for identifcation
of rub and looseness.
2.4. Fluid-Induced Instability. Fluid-induced instabilities
(ofen referred to as whip and whirl) are potentially very
serious faults which can result in wear, fatigue, and extensive
damage to machine components. Such instabilities can be
found in interstage seals, fuid lubricated bearings, and
blade-tip clearances. Research into simulating and modeling
fuid-induced instability has produced several works of
interest to fault diagnosis of rotating machines in the last
few years. De Castro et al. [16] are a good example, where
nonlinear mathematical models are prepared for a rotor-
bearing system. Te models are then used to predict
instability thresholds. Te authors consider a test case against
a power plant turbine and a test rig, therefore validating the
simulations. Te case of unbalance faults causing whip and
whirl phenomena is also considered. Te main conclusion
therefore drawn from the work is that the authors concluded
that nonlinear hydrodynamic journal bearing models enable
sufciently accurate simulations for predicting instability
thresholds. Fan et al. [17] represent an example of work from
the perspective of aeroengine turbines. In this case, startup
conditions are studied using a full Hilbert spectrum. Te aim
behind the paper is to accurately predict the point at which
whip and whirl occur, thus enabling this to be avoided at the
design stage. Such fndings could potentially also be used to
identify whip and whirl as the case of a fault afer a period of
wear in the operating machine.
Prognosing fuid-induced instability is a relatively lightly
researched topic. Fluid instabilities can be covered as part of
extensive research into remaining useful life of bearings. Te
potential exists for modeling and simulation techniques such
as those detailed above to become a part of prognosis for
fuid-induced instabilities due to the fact that it can be very
difcult to seed such faults into live systems for testing and
evaluation. As with other faults detailed in this paper, many
studies have been performed with the aimof describing fuid-
induced instabilities based onthe measurement or simulation
of single (or occasionally dual) rotor setups. Physics-based
simulation with the aim of localising fuid instability faults
across a whole system can be limited by the complexity of
both the fault and the system, hence, the simplifcation to
single rotor-stator bearing systems.
2.5. Bearing Failure. An area where data-driven techniques
are still providing the basis of much research in the feld of
rotordynamics is that of bearing failure. Te title bearing
failure can cover a wide range of potential issues which
continue to be studied in detail. Faults can occur in all kinds
of engine bearingsthe inner and outer case, the cage and the
rolling elements, fuid-induced instabilities (addressed in a
separate section), lubrication, and the complexities of active
magnetic bearings to name some examples. All types of
bearing relevant to rotating machinery are the subject of
ongoing research, and this subject has the potential to form
several separate papers. As a brief highlight, some recent
examples are discussed as follows.
Data-driven techniques have enabled accurate bearing
diagnostics and prognostics to be described for a range
of rotordynamic systems. Despite the prevalence of data-
driven research in this area, research from a physics-based
simulation perspective has also recently produced some
interesting papers of relevance to condition monitoring and
health management of rotating machinery.
Tis includes Kappaganthu and Nataraj [18], in which
rolling element bearings have been studied through the use
of nonlinear models. Te included nonlinearity in this case
is clearance, and the model is then used in order to study
chaotic motions, in particular the regions of chaotic response.
Te research forms a part of an ongoing drive to develop an
accurate model-based diagnostic technique for rolling ele-
ment bearings, taking into account clearance nonlinearities
and chaotic responses.
Gupta et al. [19] demonstrate another example of the latest
research into instability and chaos in rolling element bearings
through high-fdelity simulations. Tis detailed and complex
study involves the application of a novel scheme to analyze
the quasiperiodic response of the system combined with a
nonautonomous shooting method. Tis work highlights the
level of detail to which nonlinearities and complex nonlinear
motions in bearings are beginning to be understood and
accurately modeled. Again, such work presents the potential
for design of IVHM in future evolutions of the research.
As so much research has beenperformed (and is ongoing)
into bearing faults across a wide variety of mechanical
systems, both prognostics and localization of bearing faults
6 International Journal of Rotating Machinery
have been researched in somewhat more detail than some
of the other faults detailed here. Despite this, much work
still needs to be performed in order to translate some of
this core research into industrial applications. Research such
as that detailed above has made signifcant advances into
determining bearing failure as the root cause of malfunction.
Detecting which bearing is failing across a complex system
has received somewhat less research. Bearing prognostics is
another area with much ongoing research being performed
both in the simulation and data-driven domains. To give
an example, Hong et al. [20] combined grade life and
extensive mathematical modeling techniques in order to pro-
duce prognostic models for aeroengine bearings. Te results
are described by the authors as practical and verifable.
Although a number of similar recent studies exist, this work is
of note for the extent of the studies performed which include
bearing test stand run-to-failure validation. Te lab results
appear impressive; this research has yet to be applied and
tested in real life applicationsindicating that despite the
number of parameters considered, it is still not possible to
model naturally occurring phenomena sufciently.
A large body of work in this area also exists from
Borghesani et al. [21], where several examples of data driven
techniques can be seen applied to a wide variety of bearing
types. An example of recent developments involves the use of
cepstrum prewhitening in order to remove sufcient noise
for accurate bearing diagnosis and prognosis. Tis work is
particularly noteworthy due to the emphasis on real-world
applications, where the traditional lab-based techniques of
order tracking and synchronous averaging do not provide
sufcient noise removal for harsh industrial environments.
Te addition of such techniques is a crucial step in developing
the current generation of diagnosis and prognosis algorithms
for use in future IVHM systems.
2.6. Shaf Cracks. Another potentially serious fault in rotat-
ing machinery is shaf cracks, and so early detection of any
such fault is highly important. Methods of crack formation
andpropagationcanbe diverse, andrange fromhighandlow-
cycle fatigue to stress corrosion. Simulation and modeling
of shaf cracks can have signifcant advantages over data-
driven methods. Perhaps the most obvious advantage is the
relative simplicity of inserting a fault into, for example, a fnite
element model as opposed to seeding a fault in a working
industrial machine. As such, research into shaf cracks has
been progressing steadily with the corresponding increases
in computing power.
A clear synergy between data-driven and physics-based
simulation research can be implied by a number of recent
works of research. An example of recent advances froma data
collection perspective is Li et al. [22], which details statistical
models based on historical data for condition monitoring
purposes. Tis unique work uses the human auditory system
as inspiration for enriching methods of mechanical faults and
features extraction. Te results indicated by the paper are
perhaps not as convincing as some other methods discussed
in this paper, it describes an interesting outside the box
method of tackling common problems.
From a modeling perspective, Bachschmid et al. [23]
cover a wide range of vibration phenomena in order to
develop a model-based identifcation and severity procedure.
Tis work is noted for its thoroughness in modeling pro-
cedure, including accurate modeling of the crack breathing
mechanism. A combination of high and low fdelity models
is validated through experimental study, and excellent
accuracy is claimed by the authors in detecting crack position
and depth through the use of the proposed model-based
diagnostics.
Te nature of shaf cracks has resulted in a wide variety of
researchbeing performedintobothlocalizationandprognos-
tics of these faults (indeed, the two topics can be considered
related). Recent examples of work in this area include Inoue
et al. [24], who detail crack localization using forced response
modeling. In this case, a test rig was constructed consisting
of a circular shaf supported by two bearings. Frequency-
domain data was used to create a localization algorithm,
designed in combination with an FE model. Although this
research provides good accuracy of localization in a lab
environment, it remains untested in a more complex system
(e.g., a full gas turbine).
Sonnichsen [25] describes fnite element modeling of
crack propagation, with validation against experimental
results provided to demonstrate the validity of such modeling
techniques. Te paper concentrates on natural frequencies
and resonance curves. Whilst the authors claim improve-
ments in the ability to understand such faults, again the
systemin question is quite simpleand such FEAmodels are
difcult to scale up to full size applications.
2.7. Blade Cracks. Blade cracks, if allowed to develop, can
result in serious consequences. Cracks can form due to high
centrifugal stresses across operational cycles (in the case of
an aircraf gas turbine, for example, start up, and take of
through landing and taxi). As excessive crack growth can
lead to catastrophic rotor/blade failure, early detection and
prognosis of such faults are essential. As with shaf cracks,
physics-driven simulation of blade cracks is an area of sig-
nifcant research. Tis varies fromhigh-fdelity fnite element
models to low-fdelity system and mathematical models. Te
recent work demonstrated by Green and Casey [26] is a good
example of recent mathematical modeling from a diagnosis
perspective. In this paper, the authors concentrate on early
detection using global and local asymmetry crack models. 2X
harmonic components are identifed as key areas for the early
detection of blade cracks, however again this paper sufers
from being applied and tested on a relatively simple system
which may not scale up to a full size turbine.
Sonnichsen [25] demonstrated high-fdelity modeling,
the authors used FEA to model crack growth, making com-
parisons and validating against an experimental rig. Tis
work is particularly interesting as it outlines the advantages
and drawbacks with the latest state-of-the-art modeling
techniques.
Localization and prognosis of blade cracks have also
beneftted fromrecent advances in simulation and modeling.
Sawicki et al. [27] contains details of work on a novel active
International Journal of Rotating Machinery 7
magnetic bearing system for use in the early detection, local-
ization and prognosis of blade cracks. Again the emphasis is
on early detection, with the bearings used to excite the system
in order to obtain optimum response vibrations for analysis.
Te authors admit the approachhas some merit indiagnosing
blade cracks; however, it is in the early stages of development
and work are ongoing. FEA has also been used extensively
to support blade crack prognostic tools; Xiang et al. [28] are
an extensive example of recent work. In this case, a number
of advanced FEA methods are applied to produce accurate
FEA solutionsthese include surface-ftting techniques and
the contour-plotting method. Te authors experimentally
validate their work and suggest that it can be applied to
prognosis and quantitative diagnosis of blade cracks. Despite
the claimed advances, again the scalability of such research to
full size turbines is an issueparticularly with regard to the
complexity of the FEA models.
2.8. Rotor Bow. Rotor bows can be a primary source of
unwanted vibration in gas turbines. Te main cause of a
rotor bow (rotor bows do not include bows due to gravity) is
thermal diferences in a system caused by operating con-
ditions. It is noted by Domes [5] that this nonsymmetrical
thermal distribution can cause excessive unbalance to the
extent where a gas turbine will not start correctly. Such rotor
bows are common on start up or shut down, and are ofen
accounted for in operational procedures. However, if thermal
hot spots exceed a given tolerance level, they can cause
permanent unbalances due to rotor defections. Such rotor
bows canleadto other faults, including rubbing andlooseness
which complicate isolation and localization.
Traditional data-driven techniques for detecting rotor
bows involve combinations of slow roll and vibration data
[29]. More recently, mathematical modeling techniques such
as that detailed by Meagher et al. [30] have been used in
order to diagnose residual rotor bows and diferentiate these
faults from other sources of unbalance. Te authors of this
paper build upon established methods for the models and are
unique in that they concentrate on response at the bearing
points. Tis is perhaps more useful for industrial applications,
as vibration information is more readily available at bearing
points rather thanintrusive proximity probes, whichare ofen
used in lab work.
Te little work that exists on attempting to localise rotor
bows across complex systems tends to be data-driven in
nature; see Gaka and Tabaszewski [31], where the authors
used statistical symptoms based on known data as a method
of diagnosing and prognosing a number of faults, including
rotor bows and unbalance. Tis paper attempts to address the
irregularities and fuctuations that occur over a long service
life. In order to achieve this, a modifed energy processor
model is created, using data drawn fromlarge steam turbines
over long periods of life.
Prognosing rotor bows is a complex subject. As rotor
bows are ofen caused by temperature defections, making
predictions for remaining useful life and potential future
problems lies not only in the realm of mechanical rotor-
dynamics but also to some extent in thermodynamics. Te
recent work detailed by Sinha [32] is of note for detailing
diagnosis and quantifcation of various rotordynamic faults
and describing the advantages of mathematical modeling
over traditional vibration-based approaches. Te topic of
scalability regarding FEA models is discussed, including an
argument for the use of partial (simplifed) mathematical
models for large, complex systems.
Another two works which are of interest with regard to
modeling of rotor bows include Shen et al. [33], where the
authors modeled a rotor-bearing system with a permanent
rotor bow, looking at the impact of secondary faults such as
rub. Te study of fault combinations in this paper is useful
for fault diferentiation studies; however, the authors study
a permanent, initial rotor bow. Tis therefore does not take
into account developing or worsening faults and the diferent
vibration phenomena that are observed as such faults are
developing.
Lees et al. [34] describe the importance of model-based
fault identifcation techniques and outline recent research in
the area, providing a good reference paper for more research
on this specifc fault.
3. Discussion
3.1. Sensor Suites. Te subject of sensor suites is of great
importance with regard to future industrial applications. On
one hand, advanced and complex sensor suites generally
enable improved fault localization and diagnosis; however,
the added complexity and cost has resulted in many of these
systems being omitted from the latest generations of rotating
machinery in industrial applications. From an industrial
perspective, the cost beneft of additional sensors needs to
be signifcant in order to justify this approach. In response, a
number of works listed, including [8] as a good example, take
the approach of achieving the same objectives using a greatly
reduced sensor suite. In many ways, the required sensor suite
for many of the currently researched fault diagnosis and
prognosis techniques provides an indication of the ability of
the techniques to be used practically in industrial situations.
A complex suite may return a very high success rate on a
lab-based rig; however, the impracticalities of mounting such
suites on a real-world application negate the advantages.
Further to this, the considerationfor sensor positionmust
be considered. Te use of proximity probes and keyphasor
transducers has very clear advantages in a number of situ-
ations; however, the intrusive nature of the sensor prevents
application in a number of complex systems. With this in
mind, a number of the more promising studies listed rely on
the simple suite of an accelerometer placed in positions which
are relatively remote fromthe sources of vibration, potentially
with a noisy transfer path.
3.2. Diagnosis. It can be seen from the research outlined in
the previous section that the diagnosis of faults in rotating
machinery is a subject of much ongoing research. Tis
involves the improvement and development of traditional
vibration monitoring techniques, development of new data-
driven technologies, and novel research into physics-based
8 International Journal of Rotating Machinery
simulation and modeling. In many cases, these topics of
research are dependent on one another for reasons of vali-
dation, verifcation, and speed of analysis. In several cases,
it can be seen that multiple faults have been modeled for
the purposes of identifcation and isolation. However, no
studies have yet been performed which deal with all of the
aforementioned faults. All of these faults are intrinsically
related to one another. Complex combinations of faults have
begun to be analyzed with the emphasis on developing new
diagnosis techniques. Physics-based modeling has proven to
provide signifcant advances with regard to specifc faults,
notably shaf and blade cracks, where techniques such as FEA
enable much easier, faster, and cheaper test data then seeding
faults into live systems.
It can be noted, however, that both high and low-fdelity
modeling techniques are being applied to cutting edge
research for all of the listed rotordynamic faults (and others
not detailed in this paper). In addition to the advantages in
the speed of obtaining test results, physics-based simulation
is providing another dimension to data-driven techniques.
System models are being used as part of logic and reasoning
suites in the identifcation and diferentiation of various
faults. High-fdelity models enable simulations of fault com-
binations, which are not possible practically or are pro-
hibitively expensive in live systems.
Nevertheless, results obtained frommodeling studies still
need to be validated against proven data-driven techniques
before implementation in industrial applications is possible.
It is also of note from the literature reviewed for this paper
that almost all modeling for the diagnosis of faults involves
extensive simplifcation, ofen reducing potentially complex
systems down to one or two disc/shaf/bearing models.
Adapting the claimed results from such research to systems
with many discs/bearings/shafs is important in improving
existing rotating machinery diagnostic techniques.
Te inclusion of nonlinear efects is notable amongst
many authorsas the understanding of the complex faults
and interactions continues to progress. Such research opens
the potential for promising new avenues into areas of design
for IVHM.
Finally, it is of note that despite the wide variety of
advanced research here, a consensus for the most efcient
techniques and algorithms has yet to emerge in order for the
fnal adaption to industrial application to be achieved. How-
ever, the consideration for industrial application taken by
many of the authors detailed in this paper provides promise
for next generation IVHM systems.
3.3. Localisation. Fault localization in rotating machinery is
an important topic of research for future condition-based
monitoring systems. Knowing not only what type of fault
has occurred, but also where in the system is an important
consideration which can infuence maintenance procedures
in complex machinery. It is worth noting from the literature
surveyed for this paper that many studies have focused
on diagnosis and prognosis of single rotor/bearing systems.
Ofen for legitimate reasonssimplifcation for computing
speed, for example. Few studies, however, have taken into
account the localizationof faults across whole systems. One of
the more extensive examples highlighted in this paper (Han
et al. [15]) provides extensive analytical studies relevant to
localization on a duel disk setup, utilizing Hilbert-Huang
Transforms; however, in this example comprehensive valida-
tion is lacking, thus limiting the potential applicability of the
research.
Tis problem is not limited to modeling and simulation-
based research. Many newly developed data-driven tech-
niques for diagnostics and prognostics claim good results by
heavily instrumenting specifc components of a test system.
In many industrial cases, this is not possible, practical or cost-
efective.
To give some examples, a keyphasor transducer can be
particularly useful in diagnosing faults such as rotor bow.
However, this equipment requires the ability to cut a key
way for measurements to be performed. Optical sensors have
recently been applied to detect rotor unbalance; yet such a
technology would be difcult to implement in a system with
several rows of rotors (as in a gas turbine).
Whilst new diagnosis and prognosis techniques for faults
in rotating machinery are being continuously researched,
the lack of corresponding studies into localization can be
considered one of the many challenges in promoting recent
core research into live industrial applications.
3.4. Fault Diferentiation. One promising development in
recent modeling and simulation of rotordynamic faults is
that of fault diferentiation. Several researchers have moved
on from studies on individual faults in order to concentrate
on combinations of faults. As stated, rotordynamic faults
such as those listed in this paper are linked to each other.
Such studies, therefore, concentrate on such topics as a
misalignment causing an unbalance or a looseness causing
a rub. Findings from reports such as these are important in
understanding complex anomalies. In industrial applications,
simply detecting and rectifying an unbalance does not pro-
vide a satisfactory solution, if the root cause of the fault is
a misalignment. Tis is a complex topic, as several faults can
exhibit similar vibration characteristics, making traditional
detection techniques inaccurate in some cases.
Making reference to some of the aforementioned stud-
ies, those such as Bachschmid et al. [23] and Sonnichsen
[25] indicate some initial studies including several faults.
Te results of such studies, indicate a high success rate in
diferentiating the faults in the given conditions; however
a number of limitations still exist. Studies such as these
consider unbalance inthe fault chains. Tis is typically static
or simple unbalance applied to a single shaf/rotorin reality
unbalance faults can be more complex than this. In addition,
the simple systems used to study and diferentiate faults
are very diferent from the complexities of a full turbine.
However, further work may enable such research to scale-
up to this stage with the aid of further validation and
verifcation.
3.5. Prognosis. It can be seen from the examples of recent
research described for common faults that prognostic tech-
niques are a topic where much work is being performed.
International Journal of Rotating Machinery 9
Some of this work would be very difcult or impossible
to implement in an industrial situation; others provide
promising results of use to future work in the area. Predicting
the remaining useful life of components is critical in the
development of condition-based monitoring strategies for
industrial implementation.
It can be noted that prognostic studies for certain rotor-
dynamic faults are considerably more advanced than for
others. Te most obvious examples of the faults detailed in
this paper are bearing faults, shaf, and blade cracks. Tese
are also areas where physics-driven simulations have had
an important impact. Te ability to design any fault type
(or combinations of faults) into such simulations (to be its
low-fdelity mathematical models or high-fdelity fnite ele-
ment analysis) has provided researchers with many diferent
avenues to explore. Studies into the prognostics of other
faults can be complicated by various factors. An unbalance,
for example, has had relatively little research performed into
prognosis. Te fact that unbalance is ofen the cause of
another underlying fault is one reason for the difculty in
researching prognosis in detail for this fault. Te results of
unbalance are also very dependent on the severity of the fault
and the system in which it occurs.
It is worth noting that even for the faults where prognosis
research is more advanced (e.g., shaf cracks); true develop-
ment of the fault is not always studied. Fan et al. [17], for
example, study sets of discrete cracks in order to prognose
crack growth. In fact, this study is more akin to detecting fault
severity with inferred efects on crack growth. In contrast, Li
et al. [22] consider the continual development of such cracks;
however, the authors do admit this work is in its infancy.
Such points limit the ability for true prognosis to be achieved
without extensive operational data.
It is also worth noting that combinations of faults have
been simulated extensively for the purpose of diagnostics;
however, fewstudies exist combining faults for the purpose of
prognostics. Such studies are, however, a logical progression
from some of those already performed. It may be that such
prognostic studies build upon some of the condition-based
maintenance (CBM) for diagnostics. High-level studies such
as Jaw and Merrill [35] indicate how prognosis and diagnosis
techniques can be combined into a CBM system. Tis study
is designed for a military aeroengine, indicating the desire for
such systems to be implementedalthough the architecture
described has the capability of including various algorithms
for fault prognosis, the amount of consideration for prognosis
of fault combinations is unclear.
3.6. Modelling. Te large number of works reviewed for this
paper which includes modeling techniques in order to aid
diagnosis and prognosis indicates the possibilities provided
by modern computer power and sofware development.
Broadly, the modeling studied in the aforementioned papers
breaks down into two categories: mathematical modeling and
fnite element analysis (FEA). Te mathematical models, such
as Borghesani et al. [21], ofenprovide a theoretical basis upon
which data driven or FEA studies can build and validate.
Mathematical models, despite being a traditional approach to
rotordynamic problems, therefore continue to be developed
to tackle more advanced problems.
FEA techniques ofer a constantly expanding area of
simulation to explore. Tey are used for research as diverse
as crack propagation to unbalance localization [36]. Modern
codes such as NASTRANand Ansys enable rotordynamics to
be studied beyond the traditional stress and modal analysis.
Te ability to study the efects of rotation (e.g., through
Campbell diagrams and transient analysis) continues to drive
research and innovation in this area. Te studies discussed
in this paper indicate the power of FEA, with some highly
accurate simulations having been performed. However, there
is still a limitation of computer powerapplying some of
the FEA techniques to whole engine models would prove
to be too computationally expensive to be viable. As a
result, alternate methods such as model order reduction
and system level modeling (and model-based reasoning for
implementation) are still required in order to make some of
the FEA studies viable in an industrial environment.
Nonlinearities continue to form an important part of
many recent studies, with the complexity and detail of the
specifed faults being continually expanded. Te depth of
modeling has enabled in many cases accurate validation
against experimental approaches. Despite this, complete
understanding of the vibrational phenomena of rotating
machinery is not currently possible, despite the drive towards
this end.
3.7. Rotordynamics and IVHM. Te bulk of current research
into rotordynamics from the point of view of prognostic
health management (PHM) can be roughly divided into
two types: initial single-fault diagnosis/prognosis techniques
and studies into the general requirements and limitations
of current systems along with current and future trends.
An example of the latter is Pusey [37] who provides a
good summary overview of current diagnosis and prognosis
techniques with regard to condition-based maintenance.
As a result of this split, a clear gap exists between the
core research being performed into rotordynamics from a
condition-based maintenance perspective and the identifed
needs of industry. Taking a fedgling piece of research and
applying it to a commercially-ready system(e.g., a gas turbine
engine for an aircraf) is a long and complex task. It is
nevertheless worth noting that technologies for automatically
detecting an unbalance or misalignment in a gas turbine were
developed over 10 years before the latest commercial aircraf
were conceptualized, and yet these planes are still limited in
this capacity. Tis highlights the need for work which links
the fundamental research into individual fault diagnosis to
live systems in use in industry.
Physics-based simulation and modeling of rotordynamic
parts is a well-researched feld. Such modeling has been used
as the basis of diagnosis and prognosis of faults by many
researchers; several recent examples have been outlined in
this paper. Occasional pieces of work have been performed
into modeling multiple faults, such as Jain and Kundra [38]
who use a systemmodel for online identifcationof unbalance
and cracks. Beyond this, however, very limited research
10 International Journal of Rotating Machinery
Business case/cost beneft
analysis
Live system
Rub Cracks
Bearing
failure
Rotor bow
Unbalance
Fault diferentiation
Localisation
Root cause analysis
Remaining useful life
Data driven analysis and physics-based simulation
Mis-
alignment
Experimental/
feld data
Figure 1: Physics-based simulationfrom research to industry.
exists. Te demands of PHM techniques in industry are such
that any systemmust not only be capable of detecting multiple
faults, but must also be capable of detecting these faults across
a range of diferent systems. Other considerations include
the aforementioned ability to diferentiate between multiple
faults. Processing also needs to be taken into account, as the
objective of these systems is to implement efcient condition
monitoring and condition-based maintenance procedures. If
processing data is a long, power-hungry process, then this
aim cannot be achieved.
Figure 1 details a potential framework required in order
to push core research, such as that detailed in this report,
towards industrial applications. Many studies now exist on
individual rotordynamic faults across a wide range of condi-
tions and applications. Some studies have taken this further,
with advanced prognostic models and diagnosis of dual faults
(primary cause and secondary efect). Future research in
the area of rotordynamics from a PHM perspective could
potentially provide the bridge between these studies and live
systems, by combining physics-based simulations with data-
driven techniques and validating against experimental data.
Although quantifying the success of the research studied
is difcult, it is possible to defne the key areas inwhicha tech-
nique must excel in order to be considered viable. Te work
by Wheeler et al. [39] discusses indetail metrics for diagnostic
and prognostic analysis, as does that by Vachtsevanos [40]
and Saxena et al. [41]. Te conclusions drawn from these
papers and applied in practice to research like that covered by
this paper indicate that the following metrics are important
when considering the potential of a given technique to diag-
nose faults: coverage, false positive rate, and false negative
rate. In the case of prognosis, probabilities, and lead time
to failure are other important considerations. Tis criteria
enables research to be assessed in terms of its suitability for
industrial applications. Unfortunately, information on these
metrics is not made readily available by the authors of most
papers.
Interms of evaluating the efectiveness of the researchdis-
cussed in this paper, there are difculties in recommending a
specifc technique over others for general application. Most
papers reviewed for this document (not just those referenced
and discussed in detail) take a technique (new or evolved),
validate for a given, specifc system, and report success of the
research. Despite this, some conclusions can be drawn from
assessing common techniques applied across diferent studies
and diferent faults. Although it is not possible to defne the
most common methods for diagnosing and prognosing faults
in terms of numbers (as it was not possible to cover all recent
International Journal of Rotating Machinery 11
rotordynamics research for this paper), as perceived by the
authors, the following techniques have featured prominently
in the reviewed research.
(i) Sensors: accelerometers.
(ii) Teoretical studies: mathematical modeling.
(iii) Physics-based simulation: FEA.
(iv) Data-driven: joint time/frequency domain analysis.
(v) Implementation: neural networking.
Tese techniques appear to be among the most promising
currently under development, as they tend to feature numer-
ous times amongst some of the work with wider scope, across
fault types and with the most comprehensive validation.
Tere are of course many subsections to these techniques;
however, it shows one general direction of research and the
clear possibilities posed in these areas.
Future developments in the feld of IVHM for rotat-
ing machinery may incorporate these techniques alongside
extensive use of nonlinear modeling and multiple fault
interactions. Te feld of design for IVHM has only recently
emerged; however, the potential exists for specifc nonlinear-
ities to be designed into a system in order to enable accurate
diagnosis and prognosis of faults. Te development of current
algorithms to include diagnosis, localization, and prognosis
of a range of faults will provide a signifcant advancement for
future generations of IVHM systems. Tis combined with
cost-efective sensor suites indicates the potential for evolu-
tions of some of the research detailed here to formpart of next
generation IVHM suites for rotating machinery.
4. Conclusion
Tis paper has reviewed some of the latest research around a
number of rotordynamic faults, namely unbalance, misalign-
ment, rub and looseness, fuid-induced instability, bearing
faults, shaf cracks, blade cracks, and rotor bow. Each fault
was reviewed from the perspective of sensors, diagnosis,
prognosis, localization, and modeling.
Key examples of recent work into the eight described
faults have been detailed through works by a number of
eminent authors. Additional work has been summarized and
formatted for easy reference. Some current trends amongst
the recent body of work include developments in the vast
area of modeling nonlinearities, combinations of high and
low fdelity modeling, and synergy between data driven and
physics-based simulation approaches.
Despite the large volume of promising research reviewed,
further development in a number of areas is required in order
to produce efective next generation IVHMsystems. As such,
future developments may include fusion of and/or devel-
opment of current algorithms to encompass all eight faults
detailed, consideration of prognosis, diagnosis, and localiza-
tion achieved using a reduced, cost-efective sensor suite.
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