DoctorKnow® Application Paper

Title: Considerations in Establishing a Vibration Based Predictive Maintenance Program for

Machine Tools
Source/Author: John Vigants
Product: General
Technology: Vibration
Classification:

Considerations in Establishing a Vibration Based

Predictive Maintenance Program For Machine Tools
John Vigants, P.Eng. Computational Systems, Inc. Knoxville, TN

ABSTRACT

The considerations involved in establishing a vibration based Predictive Maintenance Program (PDM program)
vary depending on the specific machinery applications involved. Most introductory level courses suffer from
attempting to address too broad a range of industry, the specifics of any one being glossed over in the process.
The goal of this paper is to share the experiences of the author in establishing and maintaining programs for
machine tool applications. Program management, measurement, analysis, and reporting techniques, as well as
safety issues will be among the areas considered.

PROGRAM MANAGEMENT

In the most general sense, program management is just that; managing your vibration program. Specifically
though, what is being referred to are the tasks involved with determining the scope, methods, book-keeping, et
cetera. Technical considerations aside, there is much to be decided in establishing a program.

Goals
The first task should always involve setting goals. What is one hoping to achieve?

The answer to this question will of course vary depending on the nature of one's facility, criticality of equipment,
existing maintenance culture, level of management support for the program that may be expected, et cetera.

In the broad sense the response will always be 'to save money'. This may be rephrased in many ways (increased
plant availability, improved product quality, increased throughput, reduced downtime, or reduction in the amount of
unscheduled maintenance are examples), but ultimately reduces to an issue of saving money for the company.

A specific targeted return on investment is usually the preferred method of justifying the capital outlay for
equipment and training or purchased services. As it is often difficult to accurately estimate the savings which may
be realized, this will be a rough calculation in most circumstances. In the author's experience, the return on
investment for even a moderately successful program is excellent if an honest admission of the cost of 'run to
failure' maintenance is allowed for comparison purposes.

This is not to say that one should only set goals in the financial sense. It is important to decide to what extent the
technology is to be used for controlling product quality as opposed to predicting machine failures. These goals will
determine to a large extent exactly how one proceeds.

The use of vibration analysis for assessing product quality on a routine basis is not yet widespread. Rather, once
deficiencies in a product are detected, vibration analysis is often employed in determining the root cause of the
problem. As PDM programs become more prevalent and the technologies more mature, the routine introduction of
vibration analysis as a quality indicator is likely.
The single largest cost in most industrial sectors (the machining industry being no exception) is the cost of
downtime. Although costs are reduced by repairing equipment before catastrophic failure occurs (replacing
bearings versus a complete rebuild with new shafts, motor windings, et cetera), the cost of lost productivity is
generally many times greater. In fact, for companies operating in a strong market, it may not be possible to
recapture the market share represented by the lost throughput. It is common, in a medium to large facility, to
measure the cost of downtime in tens of thousands of dollars per hour. One may conclude then, that the first and
most obvious application of any PDM program must be to prevent unscheduled downtime.

How is unscheduled downtime avoided by using vibration analysis? A three part answer, while not exhaustive,
highlights the most significant advantages.

1. By verifying that new equipment meets a predetermined vibration specification, it is possible to reduce infant
mortality greatly, while increasing the probable useful life of machinery. Many companies, as well as national and
international associations, have, and constantly refine, acceptance criteria for a broad range of specific types of
equipment. Not only are manufacturers' defects detectable, but improper installation is also avoided.

2. By verifying that rebuilt equipment also meets a predetermined vibration specification (often as stringent as that
for new equipment), it is possible to avoid infant mortality further yet.

3. Perhaps most importantly, by giving regular periodic insights into machinery condition, vibration analysis gives
advanced warning of developing problems. This allows advanced scheduling of both parts and human resources.

Scope
Assuming that it has been decided to use vibration analysis in order to reduce unscheduled downtime, the
question becomes: Which equipment will be monitored?

Typically the determination of the scope of equipment to be monitored is derived from two competing factors:
criticality of machinery and available resources. If there were no limitation on resources, then there would definitely
be a bias towards monitoring everything, and monitoring it often. The reality of limited resources forces one to be
more realistic in assessing the criticality of each process.

Whereas in certain industries and in certain situations there is redundancy built into the production process (i.e.,
one main and one backup for every process), this is seldom the case for machine tool transfer lines. The transfer
line method of automation involves moving the work piece from station to station on some sort of a conveyor
system, while at each station a specific machining operation (drilling, tapping, boring, milling, et cetera) is
performed. A physical grouping of stations within the transfer line is usually termed an operation. The significance
is that not only does a given station usually have no spare associated with it, but that failure of a single station
causes its entire operation, and eventually the whole transfer line, to shut down.

Given that the failure of a single station in a transfer line can, and usually does, shut down the entire line, it would
appear that every station in the line is critical. This is true. In fact, the greater the level of automation, the more
likely that a single failure will have far reaching consequences.

Where then does one find economies? If everything is critical, and there are insufficient resources to monitor it all,
where do we draw the line? This is an uncomfortable question that has no easy answer. In most instances it is the
equipment with the greatest political visibility (the plant showpiece) which is monitored first and most often.
Unfortunately, this may also be the line which receives the greatest amount of preventive (as opposed to
predictive) maintenance.

Older, more worn equipment is often overlooked at the onset of a program. This is unfortunate since these are
also the machines that most often can benefit immediately from the application of vibration analysis. The ideal
solution is to review the failure statistics and let the facts indicate the direction. If an elaborate maintenance task
tracking system is not in place, one usually finds that the company's trades' people have an excellent insight into
which machines consistently require maintenance.

Let us assume that it is not possible, at least initially, to collect data on every machine in the facility. If the limiting
factor is manpower, the amount of equipment that can be monitored may be estimated using the following rules of
thumb:
• Most support equipment (hydraulic pumps, fans, coolant pumps) are relatively simple machines that can be
effectively monitored using ten measurement points each (more on setting up equipment later). As these units
tend to be accessible and often run continuously, it should be possible for one person to collect data on at least
fifty machines (500 points+) in a normal eight hour shift. This estimate may need to be revised downward if
numerous guards must be removed and then reinstalled.
• Collecting data on transfer line stations tends to be much more time intensive. As data is generally taken with
the tool(s) running at idle (not cutting) there are definite issues of access. The assistance of a machine operator or
job setter is usually required. The safety gates surrounding all stations pose additional strategic challenges. If the
transfer line runs all three shifts, seven days per week (not uncommon) it can be almost impossible to collect data
without interfering with production. Issues of access aside, the average machine tool station requires upwards of
twenty measurement points to adequately define it. With reasonable operator cooperation, it is usually possible for
one person to collect data on as many as twenty machines (400 points+) in a normal eight hour shift. This estimate
is quite coarse; machine configuration and complexity can vary a great deal.
• Experience indicates that a reasonable interval for data collection is monthly. Extremely critical machinery may
justify a shorter interval (and for some equipment a longer one). However, until sufficient data has been obtained
to establish a trend on a given machine, it is not recommended that longer than one month be allowed to pass
between collection periods.

Considering the above, a realistic goal for machine tool applications is four to five hundred measurement points in
an eight hour shift. Add to this an equal time for analysis, reporting, and database administration (plus a one time
allotment for initial database setup also equal to the time required for data collection) and one arrives at a method
to roughly estimate the number of points that can be monitored with a given resource base.

Example 1
One trained person, devoted 50% of the time to the PDM program (i.e., 10 days per month; 5for data collection
and 5for analysis, reporting, et cetera) should be able to maintain 2000 to 2500 data points, days
Example 2
A typical transfer line may include 50 machining stations (1250 points) as well as 35 pumps, fans, et cetera (350
points), for a total of 1600 measurement points. This should take a trained person 7 or 8 shifts per month to
maintain.

Finally, take heart: The application of a successful PDM program will eventually generate the resources necessary
to expand the program to include all machinery, simply by reducing the amount of hysterical maintenance that is
required.

In-House vs. Contracting

A discussion of PDM program management would not be complete without touching on the issue of contracting
the work out as opposed to performing it with in-house staff. While a complete discussion of these options
represents a thesis unto itself, there are important issues to consider:

Possibly the strongest argument in favor of performing the task in house is the eventual benefit of having a skilled
vibration analyst on hand full time. Depending on the loading of in-house staff with other responsibilities, it may be
possible to establish a program with minimal addition of resources. As the hardware, software, and analyst are
available at all times, it may be easier to successfully schedule both routine data collection as well as additional
special testing. Finally, there is a tangible benefit to the analyst having had experience with the specific machinery
being monitored.

However, the capital investment in training personnel to become skilled analysts is not insignificant. Personnel that
are members of a collective bargaining unit are subject to the rules of that organization in areas of seniority,
retirement, "bumping" rights, et cetera. Constantly involving new people in the program while losing experienced
personnel can cause in-house programs to exceed the cost of contracting out the work, because of the expense of
training many employees over a period of time. One must not overlook the capital costs for equipment and
software either.

With an outside contractor, however, staff changes do not involve any additional costs, and with a reputable firm
one can expect a skilled analyst to be assigned to the job at all times. Ideally, one also benefits from the analysts'
prior experience with similar machinery. It is not unreasonable to expect immediate benefits to result and, of
course, there are no capital outlays for equipment.

If it is decided to perform the program in-house, at the very least one should seek experienced help to get started.
There is nothing worse than to see a program do poorly or fail just because it did not get started-off on the right
foot! Too often energetic and hard working people become greatly demoralized when, after months of hard work,
they discover that they have overlooked or misinterpreted a critical component of their PDM program.

Book-keeping
Whether a program is performed in-house or contracted out, it is essential that adequate documentation is
prepared and maintained It is recommended that a notebook is prepared which includes, but is not necessarily
limited to, sections concerning:
• Floor plans and maps. It is critical that personnel are able to find and identify the equipment which is to be
monitored. These are also invaluable in establishing the routes that will be followed in gathering the data. Although
it may seem obvious at the time to those setting up the program, it will be of great value in the future (i.e., when
new personnel join the program).
• Machine diagrams. A picture is worth a thousand words...
• Machine information data sheets. When analyzing the data it is very helpful to have as much specific information
about the machine at hand as is possible.
• A schedule for obtaining route data. As mentioned earlier, the setting of goals is a prime component in the
success of any endeavor, and will aid in making the task more manageable.
• Contact information for resources that have provided or can provide pertinent information. Equipment
manufacturers, parts suppliers, operator and supervisor names and extensions, et cetera. Again, while this
information may be at the fingertips of one person, obtaining it from scratch could represent a major endeavor for
another.
• Outlines of procedures. This includes everything from how to collect data (transducer type, mounting technique)
to the parameters being used in the spectrum analyzer, to methods and guidelines used to analyze and report on
the data. As these items may change from time to time and from machine to machine, they must be documented.
• Summary of case histories. When a problem is identified the report should be cataloged in such a manner that it
may be benefited from again at a later date. It is foolish to reinvent the wheel for a systemic problem. In fact, it is
often by observing patterns in previous findings that one identifies the true root cause of failures in certain
machinery.
• Cost analysis information. Admittedly, this can be difficult to deal with. Estimating the
cost of what would have happened had the problem not been identified early using vibration
analysis can be fraught with political considerations. Also, it is legitimately a very hard thing
to determine. This may also be the most important documentation that can be maintained,
because without it the program cannot be justified. For management to continue their
support of both resources and capital, there must be a visible return on investment.

MEASUREMENT

At this point we have decided why we are embarking on a PDM program: to save money. We have decided how
we will do this: by monitoring machinery with the goal of preventing catastrophic failures and increasing up-time.
The machinery to be monitored has been chosen: that which we calculate has the potential for maximum return on
investment, and which can be done with the actual resources available. The process of documentation has begun:
there are maps, resource lists, even drawings and prints have been compiled. Next we must establish the
technical aspects of the program.

Database structure

In order to facilitate later analysis and trending of the vibration data, it should be stored in a logical database
format. The preferred methodology for doing so is the hierarchical database or common tree structure (see figure
#1).

In the process of deciding on and mapping out the machinery to monitored, certain logical divisions of equipment
will probably have suggested themselves. In the machine tool industry, these major divisions are most often made
at the transfer line level; consider defining a separate database for each transfer line. Then, within a given transfer
line (database), the first level might be called the operation level. At this level, group together portions of the
transfer line that either share physical proximity or perform logically related tasks. Often, the grouping of
equipment into operations will already have been accomplished during the establishment of the transfer line
control system. The machines within an operation are each called a station; an example of a station might be a
single milling head or box spindle, or a complex, multi-spindle pod. Regardless of the complexity at the station
level, the final level will be the individual measurement point level. These are the actual points at which data will be
collected, the data which will allow determination of faults present in the equipment.
Points to monitor
Common rules of thumb are that for every bearing, two radial measurements are taken, spaced by 90°; and that
for every shaft in the system one axial measurement is taken. The (simplified) reasoning for this is as follows: Axial
measurements are necessary in the detection of misalignment, which is probably the most common fault that will
be found. Although a single radial measurement may be adequate to detect imbalance or bearing faults, two radial
measurements will allow for an assessment to be made of whether a resonance is being excited.

Although this works very well for much of the support equipment found in a machine tool facility, there are
additional considerations in choosing measurement point locations. While hydraulic pumps, fans, et cetera,
typically have fairly reasonable access and are well defined by such measurement points, multi-stage and
complex driven units must be accommodated by adding points D3H, D3V, D3A, D4H, D4V... (see figure #2).

It is worth pointing out that it is typical to name each measurement point with a three character alphanumeric label,
and that it is usually wise to choose a systematic and easily understood method of nomenclature at the onset of a
program. In the example in figure #2, for instance, all motor points are indicated by the first character in the point
name being an M. The second character indicates winch bearing in the given unit is being addressed (on this
motor the bearing outboard relative to the coupling is called bearing #1 and the inboard bearing is called #2) and
generally should be organized such that for any given character in the first position, the bearing numbers in the
second position ascend along the drive line. If, for instance, one is dealing with a two stage hydraulic pump, the
bearings in the first stage will be #1 and #2 while the bearings in the second stage will be #3 and //4. Finally, the
third character in the point name indicates the orientation; either horizontal, vertical, or axial (refer to figure #3).

The important point is not that it is necessary to follow the methodology outlined above, out rather that a well
thought out method is adopted and rigorously followed. Although this may facilitate program database
management, the more important reason for this is that a systematic approach will make the task of introducing
new personnel to the program less difficult.

Machine tool programs do differ from other industry segments in that machining stations can be significantly more
complex than simple pumps and fans. A single station may have dozens of tools clustered together in what is
referred to as a pod. A pod is typically integral with a (complex) gearbox, the whole of which is driven by an
electric motor. While the method outlined above definitely may be applied to complex machines, practical
considerations will sometimes demand a somewhat less thorough grouping of measurement points.

It may not be possible to locate a probe at every desired measurement point location; either there will not be
adequate physical clearance, poor surface finish, et cetera, or safety concerns may prohibit taking the
measurement. Complex gearbox/spindle units may have such a dense grouping of bearings and shafts that a
modified (reduced) set of points may be more practical.

In general, it is usually possible to collect all five points on the motor, a series of points on the gearbox, and a
radial measurement on each spindle. Taking axial measurements on the spindles may be unsafe, and additional
radial spindle measurement points may not afford sufficient additional information relative to existing points
(particularly if the spindle bearings are imbedded in the gearbox).

The solution is to establish a group of measurement points for each station that balances the need for adequate
information to analyze machinery condition, a reasonable quantity of data to collect on a routine basis, and, above
all, points which do not represent a safety hazard.

Having decided where to take data, the focus must shift to determining how that data is to be collected. It is
assumed that a single channel spectrum analyzer will be used; discussion of multi-channel techniques is beyond
the scope of this paper, and simple overall vibration level measurements are inadequate for the machinery
condition monitoring techniques being considered.

Spectral wave form and trend data

The preceding discussions have ignored the fundamental issue involved in a vibration based PDM program:
vibration.

Vibration involves the mechanical response to any form of excitation. In machine tool applications, the
predominant excitation usually is caused by the turning of a shaft in the electric motor driving the tool(s).

In an ideal system, the rotation of a shaft would not generate a forcing function. However, all real machines have
imperfections, however slight, that cause energy to be transmitted through the machine. These faults may include,
but are not limited to: imbalance, misalignment, rolling element beating faults, electrical faults, et cetera. In
addition, other equipment being operated in the vicinity may also transmit energy to the machine.

The resulting vibration is measured using a transducer. This is a device which represents the energy of
mechanical vibration as an electrical signal. The signal which is measured represents motion as a function of time,
and is referred to as a time wave form (figure #4). This representation of the data, while perhaps not the most
useful for machinery diagnostics, is the most easily understood. It is nothing more than a record of how that
particular measurement point physically moved during a specific period of time.

Another way to show the same data is the frequency spectrum. To explain what a spectrum represents, it is best
to describe how it is derived from the time wave form data. A rigorous explanation of this would require delving into
the mathematics (which we wish to avoid!), but can be simplified to the following:

Consider a simple, periodic signal, a sine wave. A sine wave may be thought of as a description of how something
moves with time. As such it has two characteristics of interest; its amplitude (how much it moves) and its
frequency (how fast it moves). These two characteristics describe the particular sine wave. If we construct a new
set of axes, amplitude versus frequency, we can show these two pieces of information on that new plot (see figure
#5). It is important to understand that this is not new information, just a different way of showing what was already
known.

A real signal will be composed of a great number of sine waves, each of which will have a unique frequency and a
measurable amplitude. Each can be represented on the amplitude versus frequency plot as a peak. The more
significant that component, the larger the peak. The higher the frequency, the further to the right, and so on.
The importance of this new method of viewing our data cannot be over-emphasized. Although the information is all
present in the time wave form, a real signal will have too much information

to make much sense of. How many distinct sine waves, for example, make up the complex time wave form in
figure #17 By comparison, a spectrum is relatively straightforward to derive information from. The turning speed
peak in figure #6 is, in fact, quite distinct.

It will be largely the analysis of such spectra from which machinery health will be determined. By recognizing the
frequencies at which energy occurs, it will be possible to deduce what faults are present in a machine.

The third method of viewing data involves trending. This is achieved by calculating the energy that is present in
part of (or all of) the spectrum and plotting it against time (see figure #7).

This will often give the clearest indication of whether a machine is operating in a stable condition, or if it is heading
for failure.

Which data to save?

Consideration of spectral, time wave form and trend data will, of course, constitute a large part of a vibration
monitoring program. At the onset it will be necessary to make decisions that will later have great impact on the
success of the program: which data to save?

Opinions on this vary from everything to as little as possible. The reason for the second of these attitudes stems
from an antiquated idea about the cost of saving data. When computer hard disk space was expensive, it made
sense to always save the trend data (to see how things progressed from month to month) but to save the spectral
and wave form data only when an alarm was triggered.

As disk space dropped in price, it became feasible to save both the trend and spectral data always, and the wave
form only in cases of alarm.

Currently, as hard disk space costs less than $1 per megabyte, it seems almost criminal not to save all of the data
all of the time.

The reason for this is that when a problem does occur, it is very helpful to be able to go back to the data from
pervious months. It is true that there may be some data which is never used in analysis, but since it is no longer
expensive to keep everything, it is preferable to at least have the option of reviewing previous wave form and
spectral data in addition to the trend information.

Units

A lengthy discussion of the preferred units to use is not necessary. The current standards of using peak velocity
(inches per second or ips, peak) for spectral data, and RMS (root mean square) acceleration (g's, RMS) are well
founded.

Presentation of spectral data in displacement will tend to exaggerate the low frequencies and attenuate high
frequency energy. Spectral data in acceleration will display the high frequencies well while suppressing the lower
frequencies. Velocity will, however, show a well balanced view of the entire spectrum. Figure #8 shows this
relationship schematically.

Do not misinterpret this to mean that changing units actually changes the data!

While low frequency events may involve relatively large displacements, there is comparatively little acceleration
because things are not changing direction frequently or rapidly. This is why it is not desirable to look at the low end
of the spectrum in acceleration.

At high frequencies there may be a great deal of energy, and the structure may be moving quickly with rapid
acceleration, but the actual amount of physical displacement is small. Which is why we avoid looking at the high
frequency end of the spectrum in displacement.

The compromise is velocity, which (luckily) works well for machine tools.

The choice of acceleration for viewing wave form data is based on similar reasoning. Normally the spectrum is
used in order to recognize the patterns that indicate specific faults. The wave form is generally used to assist in
determining the severity of those faults; particularly those which involve impacting. Impacting is most often thought
of in terms of the forces or accelerations involved, so it makes sense to carry out this step in acceleration.

Deciding to use peak-peak for displacement, peak for velocity, and RMS for acceleration is based upon a
consideration of what these units of measure intuitively indicate (see figure #9).
When considering how much something has moved (i.e., displaced), it is natural to be interested in the total
amount that it moved rather that the distance moved in one direction only. Thus, the use of peak to peak for
displacement.

For velocity, however, it is important to know how fast the object moves. A peak to peak measurement would
indicate the sum of the maximum speed in the positive sense and the maximum speed in the negative sense.
Obviously, it is more instructive to consider the maximum speed, period.

Finally, acceleration gives us a measure of the energy that is in the system. In considering how to measure this,
imagine that two identical bearings each have faults. The first bearing has a single sharp crack in a race, and the
other has a shallow spall that runs around a quarter of the circumference. The crack is likely to cause a large
impact of short duration, while the spall will cause less impacting but for a longer duration. If a peak measurement
were taken, the crack would appear far more significant than the spall, while an RMS measurement would
consider the duration of the spall and show it to be the more significant fault. Since it will generally be true that the
spall is more serious, RMS provides the preferable method with which to measure acceleration.

Aside from the arguments presented above for adopting these measurements, it is the fact that they are the
accepted standards for vibration measurement that truly compels their use. The ability to interact with other
analysts, sharing data and ideas, is critical to developing the knowledge and skill required for success.

Transducer selection

Although in many introductory discussions of vibration analysis significant consideration is given to transducer
selection, this is not truly necessary when it is machine tools that are being considered. In the vast majority of
circumstances, an accelerometer is the transducer of choice.

While it is true that some machine tool applications run at sufficiently slow turning speeds for displacement probes
to present an attractive alternative from the point of view of low frequency resolution, their use is rare. Several
factors cause the use of displacement transducers to be unattractive:
• Cost. When compared to accelerometers, these units tend to be expensive. Particularly so since they must be
permanently mounted.
• Intrusiveness. It is not desirable to penetrate the machine tool housing to insert a probe, as must be done with
these units.
• Frequency range. There are very few machine tool applications for which the displacement probe will have a
satisfactory response at high frequencies.

Velocity probes share with displacement probes not only an undesirably high cost factor, but do not present an
adequate improvement (when compared to accelerometers) in low frequency response to outweigh their
susceptibility to temperature sensitivity, large size, and general lack of robustness.

The contemporary accelerometer can have outstanding frequency range, accuracy, stability and are extremely
durable. In addition, as their popularity has increased, their cost has diminished.

Transducer mounting
The transducer mounting technique of choice is less clear. Three broad categories will encompass the most
common methods employed for machine tool applications.
• Hand-held probe with stinger. Although this option will produce the least accurate data, it is not expensive, the
data is trendable, and there is no need to rely on the work-piece being magnetic. This method is not
recommended for high speed machinery, as the contact resonance will cause data to be of questionable integrity
from below 1000 Hz and up.
• Magnetic mount. This is possibly the most common method; attaching the transducer using a magnet. The
contact resonance occurs at high enough frequencies that data integrity is intact until approximately several
thousand Hz. Unfortunately, for housings that are not composed of magnetic materials, this technique reduces to
that of a poor stinger setup. Still, this technique is inexpensive and quick.
• StudMount. When accuracy at very high frequencies is required, it is necessary to attach the transducer via a
threaded stud. In a route collection scenario, where a single transducer roves from point to point, this becomes
very time consuming practice. Mounting products are available, however, which allow the transducer to be
attached using an extremely coarse thread, which speeds the process while providing excellent data. More often it
is a safety concern or access limitation that prompts the use of permanently stud mounted transducers.
Permanent mounting at each measurement point represents a significant cost, but is usually well justified,
especially when it is safety that is at issue.

Maximum Frequency (Fmax)

Contemporary spectrum analyzers allow the collection of data from zero through very high frequencies (MHz). The
nature of the faults which will be investigated on most rotating industrial equipment dictates that the frequency
band of interest lies roughly within the audio frequency range. The reasons for this are best explained by
describing several of the specific faults that may be anticipated.

Faults such as imbalance, misalignment, and looseness appear in the spectrum at low (integer) multiples of shaft
turning speed. If we consider that most equipment of interest will have a run speed of between 100 rpm and 5000
rpm, these low frequency faults will require a maximum measurement frequency of only several thousand hertz.

Bearing and gear faults, however, tend to occur at higher frequencies. Beating race faults may occur at ten times
shaft turning speed or higher, with harmonics that are of interest extending to forty of fifty times turning speed.
Gear faults will occur at gear (shaft) turning speed multiplied by the number of teeth on the gear, also with several
harmonics being of interest.

Thus, even for the higher frequency beating and gear faults, it will not be necessary to exceed a measurement
cutoff' frequency of two to three hundred times shaft turning speed; rarely higher than ten to twenty kilohertz.

Thus it is safe to describe the frequency range of interest as being essentially contained within the audio band.

There is not one single Fmax that will apply to every station, or indeed to all measurement points on a single
station. It is necessary to consider the specific faults that are anticipated at a given point.

In most machine tool applications the two situations that occur most frequently are:
• Points for which the highest fault frequency that one may find will be a bearing race fault. For these points the
recommended Fmax is 50 - 70 times shaft turning speed.
• Points for which the highest fault frequency will be a gear fault. For these points the recommended Fmax should
be determined so as to include several harmonics of the gearmesh frequency (GMF); generally 100 to 300 times
shaft turning speed.

Most support equipment (pumps, fans, et cetera) will fall into the first category. Whether these units are belt driven
or direct coupled, the highest fault frequencies that usually sought are beating race faults (and their harmonics).
As turning speeds are almost always between 800 and 3600 rpm on these units, an Fmax that is 70 times turning
speed still allows for resolution of the low frequency faults of misalignment, imbalance, et cetera.
Since precision spindles range in turning speed from relatively low speeds (several Hz) through very high speeds
(hundreds of Hz), application of an Fmax defined as multiples of turning speed will span a very large range of
frequencies. At the extremes of turning speed, problems arise:

1. For low speed spindles, an Fmax of even 100 x TS (turning speed) is still a relatively low frequency. Although
beating fault frequencies and their first few harmonics will still fall within the frequency range being observed, there
may be other faults (electrical, energy transmitted from other machines, et cetera) that will occur at frequencies
above Fmax.
2. For high speed spindles, the Fmax required for early detection of bearing faults will result in the low frequency
resolution being compromised (see the next section for further discussion of resolution).

The bias in deciding the Fmax differs for precision spindles as compared to most other equipment. While
misalignment and imbalance are often cited as being responsible for up to 90% of all vibration problems, this is not
necessarily true of precision spindles. Rather, it tends to be more profitable to track the health of the bearings,
which will generally demonstrate high frequency impacting early in the machine failure cycle.

The reasons for this have to do with the care and accuracy employed in manufacturing these units, as well as the
low vibration levels that are tolerable while operating. Precision balancing and assembly of all components are a
given for such machinery, and if there were to be a problem at installation then product finish would likely to be
found inadequate.

This does not mean that there may not be problems at installation; but rather that once satisfactory operation is
established, it is bearing faults that are of primary interest. As there may be other problems aside from bearing
faults at the time of installation, it may be prudent to have a separate measurement point setup for spindle run-off,
in addition to the set used for routine monitoring.

For a significant percentage of spindles, the above considerations do not apply; the turning speed will be such that
a single measurement will allow analysis of all faults of interest. Like support equipment, these are spindles that
operate (roughly) in the 1000 to 4000 rpm region.

For spindles which operate below 1000 rpm, satisfactory results are obtained by setting the Fmax higher than 50-
70 times turning speed. This will allow observation of important higher frequency information without overly
sacrificing the low frequency range necessary to determining faults such as imbalance, misalignment, and belt
problems. It is vital, however, to consider the low frequency consequences of setting too high an Fmax.

A dramatic example of the effect of the Fmax is depicted in figure #10. Here, two measurements have been taken
on the same point and at the same operating condition. One has an Fmax of 5000 Hz (although it is shown to only
a few thousand Hz), while the other was taken to 70 x TS (turning speed was approximately 500 rpm, so Fmax is
less than 600 Hz).

For each measurement, the sampling frequency used in the meter will be at least 2 x Fmax (derived from Nyquist's
theory that a sampling rate of less than 2 x Fmax will not produce a set of discrete values that is an adequate
basis for reconstruction of the signal). Thus, the higher frequency measurement will have the faster sampling rate
and provide a more accurate representation of the time wave form.

At the bottom left of figure #10, the time wave form measured with the lower sampling rate indicates that the
machine is experiencing impacting of less than 1 g (RMS). This would normally be associated with a piece of
equipment that was operating reasonably well.

However, the time wave form at the lower right clearly shows a swing of over 10 g's (RMS), which suggests
seriously damaging levels of impacting in the machine.
Figure #10: The Effect Of Fmax
Both measurements were taken at the same measurement point. Only Fmax has changed,
but the wave form data is very different!

It is disturbing that such different diagnoses result from the application of different Fmax settings. At first sight, it is
tempting to advocate setting Fmax as high as possible on all measurement points. Before doing so, consider the
difficulties which will result if there is inadequate resolution at low frequencies (see next section).

The solution is generally to measure spectral data with an Fmax that represents a compromise between low and
high frequencies. This can be augmented by taking an additional high resolution low frequency spectrum when
belt, balance, or misalignment faults (to name but a few possible low frequency faults) are suspected. In order to
ensure that high frequency impacting is not overlooked, consider either (or both) of the following options:
• If the spectrum analyzer being used allows for the collection of a "sPecie" time wave form, then take advantage
of this feature. The normal wave form which is collected using the sampling rate dictated by the spectral Fmax will
be discarded, and a time wave form will be collected that is based on its own Fmax. By selecting a higher Fmax
(say 5000 Hz), the resulting wave form data will show impacting more accurately.
• The machinery analyzer may have the ability to calculate and store values representing the amount of energy in
a number of specified frequency bands (sometimes called analysis parameter bands). These allow for the trending
of energy in narrow frequency bands (i.e., in the region surrounding turning speed).
• This, in turn, allows the analyst to trend a specific portion of the spectral energy and to use that trend in
determining machinery condition. It is suggested that one or more analysis parameter bands be set up to measure
the energy from a low frequency out to very high frequencies (i.e., 2 Hz - 5000 Hz). Trending of this parameter will
compensate to some degree for not having high frequency spectral data available.

Lines of Resolution

In theory, one should be able to set an arbitrarily high Fmax (within the capabilities of the spectrum analyzer being
used) to catch the high frequency faults, while still observing the low frequency region of the spectrum. The
problem with this really amounts to one of limited resolution.

Figure #11 depicts the danger in having too high a maximum frequency with inadequate resolution. Notice that
events occurring at less than 1000 rpm would not be discernible using this setup.

This is extremely pertinent to machine tool spindle measurements, where the desire to have high frequency
spectral data may limit the ability to detect faults which occur at low frequencies.

Resolution is an issue which stems from the digital nature of modern spectrum analyzers. These units measure
vibration via a transducer which converts the energy of vibration to an electrical signal. This electrical signal is
processed in such a way that both a wave form and a spectrum may be stored as a sequence of discrete values
representing the amplitude versus time or frequency, respectively. The number of values stored, while user
selectable, is limited. The reason for this is basically twofold:
1. Due to hardware limitations, it is not feasible to store an infinite number of points.

2. The length of time required for each measurement is directly proportional to the number of points (and inversely
proportional to the Fmax). This means that if the number of lines of resolution for a measurement is doubled, the
time required to collect the data also doubles.

The resolution that should be used, therefore, will be determined by balancing the three factors: required
resolution, time, and space, as depicted in figurer #12.
Obviously, for purposes of facilitating analysis, the higher the resolution the better.

As mentioned earlier, the storage space requirement becomes less and less of an issue as computer technology
becomes more advanced and less expensive. With hard disk storage space currently costing less than $1 per
megabyte, the cost of storage has become minor compared with the overall investment in a PDM program.

The time required to collect the data, then, is likely to be the determining factor. Calculating the time requirement
will be discussed later.

Aside from the risk of losing low frequency resolution in the pursuit of high frequency spectral data, the largest
obstacle that is likely to be encountered relates to the ability to resolve high frequency events. The low frequency
resolution problem can, in any event, be resolved by collecting additional spectral data using a lower Fmax. High
frequency events do not always lend themselves to this solution.

A common example of the need for high resolution data involves the case wherein an electrical fault and a
mechanical fault occur at similar frequencies. An AC induction motor which runs at a nominal rpm of 3600 will
actually run somewhat slower (say 3590, or 59.83 Hz). Twice the turning speed occurs at 119.67 HZ which is very
near to any two times line frequency peaks which may exist (at 120 Hz). The spread between such peaks will be
only one third of a Hz. If the measurement were being taken with 800 lines of resolution to a frequency of 70 times
turning speed (70 x 59.83 Hz -- 4188 Hz), the spectral resolution will be 4188+800 --- 5 Hz per line of resolution.
The two distinct faults will not be observable as separate peaks!

How to deal with such difficulties depends, to a large extent, on the equipment available. First of all, keep in mind
that even though the resolution does not permit complete analysis of the problem, it is still useful data; it has
allowed one to determine that a problem (of some sort) exists. For routine data collection this is usually adequate.
Advanced techniques require more time and should only be applied when a problem has been identified.

Additional Measurements

When inadequate resolution becomes a problem, there are options available to the analyst in overcoming the
limitations of the basic measurement. Although each of these techniques is really a topic unto itself, it is important
to be aware that they are available.
• Include phase information. If it suspected that there is more than one fault occurring at a given frequency, and if
one of the faults does not occur at an integer multiple of shaft turning speed, then it may be possible to use
Synchronous averaging to great advantage. This method of averaging will cause non-synchronous energy to be
filtered from the spectrum. In the example given above, energy from the electrical fault would be eliminated in the
resulting spectrum. Since this measurement requires phase information (a tach signal of a form that the spectrum
analyzer can deal with), this is not an option for routine collection - it would simply take too long to set up at each
machine every month.
• Monitor the spectrum in real time and turn the machine off. Any energy that is electrically induced will
immediately drop out of the spectrum; mechanically induced energy will 'coast down' with the shaft turning speed.
Some machinery analyzers will have the capability to store a chronology of this sequence as a waterfall or
cascade plot. Of course, this assumes that one is able to freely stop and start the equipment.
• Zoom in on the frequency range of interest. If the spectrum analyzer being used allows the lower cutoff
frequency to be raised and all of the resolution concentrated on a narrow frequency band, closely spaced peaks
from different faults may be separated. If the analyzer being used does not include true zoom capabilities, a similar
result may be obtained using an optional demodulator.

Number of Averages

It was mentioned earlier that the factor which most often dictates the resolution of a measurement is the time
required to collect the data. The time required for a measurement may be roughly calculated using the equation:

where; time = the time (in seconds) to collect a single average.

L.O.R. = number of lines of resolution
Fmax = the high frequency cut-off (in Hz)

Example #3

In the spectrum displayed in figure #5, the Fmax is 300,000 rpm (5000 Hz) and the number of lines of resolution is
800. The time required for a single average will be approximately 800-5000 = O. 16 seconds

The time required to take multiple measurements (for purposes of averaging) will be less than the time for a single
average multiplied by the number of measurements. This results from the ability of many analyzers to overlap the
data samples being taken. Thus, the second average begins before the first has been completed, et cetera.

Example #4

If, for a shaft turning speed of 1200 rpm, Fmax is set at 50 x TS, and 800 lines of resolution are used, then the
time to collect 4 averages will be less than:

The time required for the measurement described in example//4 is not excessive. However, if the shaft were
turning less quickly (not uncommon for many spindles, mill heads especially), then the time requirement can
become significant (particularly if the number of lines of resolution is increased to 1600, and the number of
averages to 6):

Example #5

If for a shaft turning speed of 150 rpm, Fmax is set at 50 x TS, and 1600 lines of resolution are used, then the time
to collect 6 averages will be less than:

Here we see that the measurement time becomes excessive (although a 2/3 data overlap will reduce this, once
the time required for autoranging is considered this is probably a fairly realistic estimate).

These examples are intended to highlight the importance of considering the factors which affect the measurement
point setup. There is not a single setup that will apply to all measurement points. The important thing, once again,
is to establish a workable methodology and stick to it.

A rule of thumb which produces reasonable results involves maintaining a resolution of better than 2 Hz per line of
resolution while limiting the time per measurement point to a maximum of 5 - 10 seconds.

The author has found that using 4 averages will generally provide the best compromise between stable spectral
data and the time required to make the measurement.

In example 4, above, the time requirement is less than 5 seconds, and the resolution is 1.25 Hz per line of
resolution (Fmax ÷L.O.R.). This demonstrates a reasonable measurement setup.

Analysis Parameters

In discussing the issue of Fmax the idea of an analysis parameter band (AP band) was introduced. Since certain
faults (or fault classes) occur in specific frequency ranges, it is useful to trend each range separately. If, for
example, the bearing faults that are anticipated will fall in between 5 orders of shaft turning speed and 20 orders of
turning speed, it will generally be profitable to designate a band which includes this range. Other faults will dictate
additional bands.

The value in having these bands lies in the ability of the analyst to trend the energy contained in individual portions
of the spectrum, rather than the overall energy. In addition to the bands which comprise the stored spectrum, a
band which measures the energy content for frequencies above Fmax may be very useful in the early detection of
bearing and gear faults (refer back to discussion of Fmax)

A complete set of AP bands, along with the chosen Fmax, number of lines of resolution, number of averages, et
cetera, will form the basis for collecting data at a given measurement point. Rather than inputting this information
separately for each point, the construct of an Analysis Parameter set (AP set) allows the analyst to easily apply a
complete setup to any number of similar measure points. Thus, a single AP set may be used for all electric motor
points (assuming the range of motor sizes/powers is not too great). Another may be used for all gearbox points. A
third for all spindles points, et cetera.

Generic Analysis Parameter sets (which accompany some spectrum analyzers) may form a reasonable basis for
much of the equipment to be monitored, particularly support equipment. However, as the considerations discussed
earlier will all come to bear on the setup that is selected for each point, it is not reasonable to assume that these
generic sets will fully satisfy the requirements for any or all of the machine tools being monitored.

It is not reasonable to attempt to dictate a single Analysis Parameter set, or group of sets, that will satisfy all
considerations for all equipment. However, there are a few guidelines that may prove helpful:
• An attempt should be made to divide all of the measurement points into logical groupings; usually into sets that
consider component type and shaft turning speed. These groups may include: machine tool motor points, gearbox
points, low speed spindle points, medium speed spindle points, high speed spindle points, hydraulic pump motor
points, hydraulic pump pump points, et cetera.
• Electric motors tend to run at one of only a few different turning speeds (1200 rpm, 1800 rpm, et cetera). One or
two sets may be adequate for all of these units. An order based (multiples of turning speed) set with an Fmax of
70 x TS, 4 averages, 800 lines of resolution will work well.

Order based bands should be set for trending of sub-synchronous energy (everything that occurs at a frequency
below shaft turning speed), turning speed, 2 - 4 times turning speed, 5 - 20 times turning speed, 20 - 70 times
turning speed, and one or more bands that track high frequency energy (0 - 5000 Hz, 0 - 20,000 Hz).

This setup is actually quite generic, but it works. This same setup will generally suffice for any measurement on a
shaft that runs at between 1000 rpm and 4000 rpm.
• The setup detailed above may by applied to slower speed equipment with a modification. On slower speed
shafts, the Fmax used will be low (Fmax @ 120 rpm will be 70 x 2 Hz -- 140 Hz).

While this may be acceptable for analyzing bearing faults which are geometry based (cracked races, et cetera) the
resulting sampling rate is insufficient for the observation of any impacting which results from bearing component
resonant frequencies that are being excited. These component resonant frequencies are typically the first
indication of impending bearing failure, and for the relatively small component sizes in a machine tool bearing,
occur at high frequencies.
The solution to this dilemma involves collecting a special time wave form with a higher Fmax than that which is
used to gather the spectral data. Although it may be necessary to discard the wave form used to generate the
spectrum in order to collect and save the special time wave form, this is worthwhile in order to get the high
frequency information.

The low Fmax that will be used for these measurements will cause the time required for data collection to be
greater than for higher speed equipment. This may make it attractive to set a lower value for the number of lines of
resolution on these points. This is acceptable as long as the resulting spectral resolution remains reasonable.
• Another special case involves measurements on shafts which turn at very high speeds.

Again, it is possible to use a modified version of a generic setup. In this case the problem is that the Fmax used
will be so high that the wave form that is saved will have an extremely short duration. Important high frequency
information will be present, but there will only be a fraction of a second of time history available. Were there a
periodic low frequency event occurring, this would be missed. By collecting a special time wave form in this case
also, it is possible to observe such events.

In this case, because the time required to collect the spectral data will be low (remember that an increase in Fmax
reduces the time requirement), it is desirable to increase the number of lines of resolution being used so that the
spectral resolution remains reasonable.

It is important that these decisions precede the beginning of route data collection. Since the data that is collected
will form the basis by which the condition of the machinery is monitored, changes to the measurement point setups
are to be avoided. If the Fmax, number of lines of resolution, parameter band setups, or other factors are modified,
the trend data may be compromised. As it is usually not feasible to post-process all of the parameter information,
the trend will usually have to begin anew.

ANALYSIS

There is not a single 'right way' to analyze vibration data. Each analyst will develop his or her own preferred
techniques for reducing data. The variety of types and sizes of machine tool equipment is immense, and from one
facility to another the criteria that must be met before maintenance is performed will vary.
There are two broad categories of analysis techniques that should be considered; predictive and trouble-shooting.
Although this paper is focused on establishing a predictive program, a brief discussion of trouble-shooting is in
order.

Trouble-shooting

There will be occasions when a problem is detected for which the cause is not easily determined via routine
vibration analysis. It is quite common, in fact, for the problem to be discovered by means other than the periodic
vibration monitoring; usually when product quality becomes deficient.

The predictive technologies that are in place should allow the following:
• By comparing the most recent spectrum and time wave form to previous data, verification that vibration is at the
root of the problem should be feasible.
• By observing the trend for each parameter band, it may be possible to determine the frequency range in which
the problem is occurring. If narrowing the scope in this way doesn't reveal what is wrong, it will at least help in
deciding what isn't wrong. A new noise apparently coming from a gearbox will usually be blamed on a bad bearing,
when in fact its source may be a failing coupling.
• In a machine tool predictive maintenance program there can be a tendency to focus on tracking bearing
conditions. In such cases other possible sources of vibration such as belts or electrical problems can be
overlooked.
• Production machinery, like durable consumer goods, are subject to wear, corrosion and the like. More than most
analysts realize, it is possible for problems to develop even if there is not a single obvious faulty or incorrectly
assembled component. Such problems often occur when a resonant frequency of the system becomes excited.
This can happen if the stiffness is compromised as a result of excessive corrosion or fatigue, or if mass loading of
the machine has changed due to a revised production procedure.

Whatever the reason, a resonance problem is not likely to disappear on its own. The haphazard application of
stiffeners is just as prone to exacerbate the situation as cure it. In some cases, damage to the machine may even
result.
The single channel spectrum analyzer is not without value in verifying the presence and determining the nature of
a resonant condition. Impact and coast-down testing are two powerful, yet relatively simple, techniques that may
be used to help understand this phenomenon. While these methods will not be discussed further, be aware that
they are viable options.

A full understanding of how the machine behaves in its resonant condition will require the use of ODS (operating
deflection shape) or Modal Analysis techniques. Although the former of these can be performed using a single
channel spectrum analyzer (with optional hardware and software), these are generally considered to be multi-
channel techniques. The cost of hardware, software and training (or fees to a consultant) are not insignificant, but
are usually a bargain compared to the cost of downtime. The visual model provided by these technologies will
allow not only determination of the root cause of the problem, but will be an invaluable aid in determining a
permanent fix.
• Finally, never forget to ask the operator what has changed. Many analysts have chased their tails look for the
source of a problem, only to find out later that either the feed rate had changed, the bearings were (over)greased,
or that the machine was run into by a fork lift.

Analysis for predictive maintenance

Analysis of the data collected for purposes of predictive maintenance will be simplified if methodology is formally
set out, then followed.
Certain (very experienced) analysts are able to look at spectral data, in isolation, and correctly determine the
condition of that piece of machinery. The rest of us rely on comparing current data to previous measurements and
to other similar equipment.
The author finds that the following procedure works quite well. Remember though, that there is no single right way
to do this.

1. Run an exception report (assuming that the software being used has this feature). The computer is able to
compare the levels of energy in each analysis parameter band to levels preset by the analyst (often called alarm
limits). Unfortunately, some experience is necessary on the part of the analyst before these levels will be
meaningful for the body of equipment being monitored. An experienced consultant can shorten the learning curve
considerably. The exception report will indicate which machinery has exceeded the alarm levels in which bands.
There are other reports available which will prioritize these probable faults according to the degree to which the
alarms have been exceeded.

2. Armed with a list of problem machines, use the software to display (on a machine by machine basis) the
vibration levels for each point and in each parameter band. Doing so will allow the analyst to determine in which
component and frequency range the fault most likely exists, simply by looking for the highest levels. Sometimes
referred to as a profile of the analysis parameters, an example is shown in figure//13.

3. For those points identified in step 2, display a trend for each parameter band of interest to determine whether
the levels are increasing and by how much.

If many points/bands that are stable have triggered alarms, it is usually an indication that the alarm levels need to
be adjusted.

4. If the trend is increasing, the spectrum should definitely be observed and compared to previous data. Inspection
and comparison of the time wave form is also advised.

This is the stage at which the actual analysis takes place. Fault pattern recognition, which allows the determination
of what is wrong with the machine, must be learned through a combination of experience and study.
An excellent source is Arthur R. Crawford's: The Simplified Handbook Of Vibration Analysis, Volumes 1 & 2,
(Knoxville, TN: Computational Systems, Incorporated. 1992).

Whenever studying analysis techniques keep in mind that although the patterns for a given fault will be similar
regardless of the application being discussed, machine tools represent a classification unto themselves. Levels of
vibration that are acceptable for a fluid pump may be high enough on a machine tool to adversely affect product
quality.
The best method for determining what is or is not acceptable involves comparing data from a large body of similar
machinery over a long period of time. As this is obviously not possible at the onset of a program, the unfortunate
reality is that bad calls will be made. Machines with minor faults will be unnecessarily repaired, and others will fail
before the analyst realizes that there is a serious fault. Gaining and maintaining the support of management during
this period of learning is absolutely critical. Enlisting the support and expertise of the machinery supplier may
assist in determining acceptable vibration levels. Vibration seminars, workshops and users' groups allow the
sharing of experience between analysts from different plants, and often even from different companies.

REPORTING

Once it has been determined which machines present imminent problems, it is necessary to communicate this
information.

In small organizations (and some large ones, too) it is often the vibration analyst who is expected to correct the
problem. Even in such situations, it is important to document the findings. In addition to making the task easier in
the future, this step must occur if management support can be expected to continue.

Always keep in mind that the audience of these reports will not necessarily have any background in vibration. This
does not mean that spectral and wave form data should be omitted, but rather that printing out reams of such raw
data is not productive.

The cornerstone' of each report should be a concise listing of problem machinery, prioritized by probable fault
severity. Since no maintenance department has an infinite capacity to correct problems (at least not before the
next report is to be issued), there is little value in providing an exhaustive list of every possible deficiency. To some
extent, the analyst must judge how many problems can reasonably be addressed, and then keep the list to
approximately that length.

For each machine that is included in the summary list there ought to be some supporting data provided in the
report. In terms of communicating that something is going wrong, few presentations surpass the trend plot for
illustrating that machinery health is declining. When spectral or wave form data is included, an explanation of their
meaning is a must.

Analysts must be prepared both to defend the reasoning behind their findings, and also to educate their audience
in the technology that they are using. Remember that not only is the status of the machinery being communicated
in the report, but that this is also the best opportunity to advertise the success of the program.

SAFETY

The health of a machine is never important enough to justify someone getting hurt. When setting up a program,
each potential measurement point must be scrutinized from the viewpoint of safety.

More so than in most industry segments, machine tools are dangerous. This is hardly surprising since most of
these devices are designed to either cut or grind.
 If it is unsafe to collect data manually, install permanently mounted transducers. If the cost of doing so is
considered to be too high, then in all likelihood the machine being considered is not critical, and may have to be
excluded from the program. Lost time injuries and lawsuits for damages buy a lot of transducers!

Good luck and work safely.

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