Proceedings of

ASME TURBO 2001

June 4- 7, 2001, New Orleans, Louisiana

2001-GT-0028

ROLLING ELEMENT BEARING DEFECT DETECTION AND DIAGNOSTICS USING

DISPLACEMENT TRANSDUCERS

John J. Yu
Donald E. Bently
Paul Goldman
Kenwood P. Dayton
Brandon G. Van Slyke

Bently Rotor Dynamics Research Corporation

1631 Bently Parkway South
Minden, Nevada 89423

ABSTRACT parameter Kurtosis value to measure bearing conditions. McFadden

This paper introduces the methodology of rolling element bearing
defect detection using high-gain displacement transducers. The nature
of defect influence on the outer race deflection in the vicinity of the
transducer tip in time base has been established. Inner race, outer
race, and rolling element (ball/roller) defects, which often occur
sequentially, can be clearly identified according to spike signals on the
time-varying outer race deflection curve along with known bearing
frequencies. The developed techniques are fully corroborated by
experimental data. Spike-to-deflection amplitude ratio, which is almost
independent of changes in speed and load for a given defect, is used to
judge the defect severity. Spectral characteristics due to these defects
have also been found. It is shown that this direct measurement by
using displacement transducers without casing influence, which would
be inevitable by using accelerometers mounted on the casing, is a
reliable approach to detect bearing defects as well as their severity
and locations.
1 Introduction
Rolling element bearings are widely used in many machinery
applications. Condition monitoring of rolling element bearings offers
the advantages of reducing downtime and improving maintenance
efficiency for critical rolling element bearing machinery. Therefore, it
is very important for machinery maintenance engineers to understand
the effective techniques and instrumentation used to monitor and
diagnose problems associated with rolling element bearing machinery.
Most diagnostic techniques for rolling element bearings involve
signature analysis of the data from acceleration or velocity probes
mounted on the bearing housing or machine casing. Monk [1]
diagnosed bearing damage by observing changes in the RMS (root
mean square) level. Boto [2] used shock pulse measurement to detect
bearing damage. Dyer and Stewart [3] introduced a statistical
and Smith [4] discussed the high frequency resonance technique
(HFRT). Spectral analysis has been widely employed for the diagnosis
of bearing conditions [5,6].
The above-mentioned techniques are related to the casing vibration
instrumentation systems. As a result, vibration signatures from
bearings can be obscured by other stronger components from the
associated machinery and the foundation. For that reason, an eddy
current transducer called REBAM (Rolling Element Bearing Activity
Monitor), which directly measures outer race displacement of the
bearing, was used by Bently [7], and Harker and Sandy [8]. Kim [9]
also conducted experimental work using this type of transducer.
Recently, Holm-Hansen and Gao [10] tried to obtain vibrational
response of slotted outer race using a structurally integrated force
sensor without casing influence. The nature of the outer race deflection
in time base associated with bearing frequencies, however, has not
been indicated for a bearing with inner race, outer race, or rolling
element defects. It has often been misconstrued that this type of
transducer, which measures only outer race displacement, may not
detect an inner race defect.
This paper introduces new methodologies to detect inner race, outer
race, and rolling element defects with this type of displacement
transducer. The nature of defect influence on the outer race deflection
near the probe tip in time base has been established. Deflection of the
outer race in a rolling element bearing is measured with these high
gain displacement transducers. Inner race, outer race, or rolling
element defects can be clearly identified according to spike signals on
the time-varying outer race deflection curve along with the known
bearing frequencies. The methodology to detect an inner race defect,
which moves relative to the probe tip as it contacts balls/rollers, will
be explicated more. Experimental data are presented to show detection
techniques and their effectiveness.

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 Keyphasor Support bearing Disks
Motor Casing Hydraulic loading
Accelerometers
Test Bearing
High-gain displacement transducer
REBAM probes
Fig. 1 Bearing test rig
2 Test Rig
The test rig used for detecting and diagnosing bearing defects is
shown in Fig. 1. The test rig consists of a rotor with one support
bearing and one test bearing.
The rotor includes a 746 W (1 hp) electric motor, which is connected
to the main shaft through a laterally flexible coupling. The step main
shaft is 419 mm (16.5 in) long with diameters varying from 30 mm
(1.1811 in) to 41 mm (1.6 in). Attached to the shaft are two mass
disks with 177.8 mm (7 in) diameter and 25.4 mm (1 in) thickness.
The rotor is balanced by putting mass in one to several holes on the
disks to compensate for unbalance.
A hydraulic pump with 25.4 mm (1 in) diameter cylinder was used
to apply the load to the shaft through a roller bearing with the number
of elements much higher than the test bearing. In this way, the
frequencies of the loading bearing would not interfere with the test
bearing frequencies. The load on the bearing can be applied either in
an upward direction or downward direction, and can be varied between
–2224 N (–500 lbs.) and +2224 N (+500 lbs.). Note that the test
bearing is loaded to some extent, even without hydraulic loading, due
to the weight of the mass disks on this overhung rotor. The motor is
connected to a variable frequency drive, which allows for ramped data
collection at a controlled acceleration. The bearing housings are fixed
to the casing, which is fixed to a large concrete foundation.
The displacement transducers, which had a gain of 78.7 mV/µm (2
mV/µ in) compared to 7.87 mV/µm (0.2 mV/µ in) for a generic eddy
current proximity transducer, were used to measure the outer race
deflection of the bearing. Accelerometers were also mounted on the
casing to compare with these transducers.
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Table 1 Approximate ratios of tested bearing frequencies to
shaft speed
Approximate ratio of tested bearing Ball Roller
frequencies to shaft speed bearing bearing
iIRBP (= ratio of inner race ball pass 4.9 7.2
frequency to shaft speed)
iORBP (= ratio of outer race ball pass 3.1 4.8
frequency to shaft speed)
iR (= ratio of rolling element spin 2.0 2.3
frequency to shaft speed)
iC (= ratio of cage frequency to shaft 0.38 0.39
speed)
Ball and roller bearings were used for the study of transducer
response to raceway and rolling element defects, respectively.
Approximate ratios of tested bearing frequencies to shaft speed, based
on experimental data from good bearings, are shown in Table 1. Note
that these values may change due to defect effects and vary with
operating conditions. If a defect occurs on inner or outer race,
balls/rollers will contact the defect at frequency iIRBP × (i.e., iIRBP
times shaft speed) or iORBP × . The sum of these two ratios is equal to
the number of balls/rollers regardless of changes in speed and slip. If
there is a defect on a ball/roller, inner or outer race will contact the
defect at frequency iR × . Notice that since a displacement transducer
detects outer race deflection facing its tip, parameter iC , the frequency
ratio of the moving cage that holds balls/rollers is related to the
detection of ball/roller defects.
3 Vibration Signature for Good Bearings
Both high-gain displacement transducers and accelerometers were
installed to observe the corresponding vibration signature for a non-
defective test bearing. The purpose was to find an effective sensor that
clearly reflects the bearing operation, and an avenue that can expose
bearing defects.
The high-gain eddy current transducer mounted in the hole of the
housing can detect very small elastic deflection of the outer race
penetrated by the transducer as each rolling element under load passes
over the hole. For precaution, the strength of the outer race should be
considered in order to prevent race failure through cyclic strain when
determining the hole size in terms of the bearing size and loading. The
360o
deflection has a cycle of shaft rotation. A good bearing
iORBP
possesses a smooth deflection curve in time base. Figure 2 shows
vibration signature from the transducer mounted at the left side
45o from the bottom. Besides the weight of the whole rotor system, a
hydraulic load of 1379 kPa (200 psi) downward is applied at the right
end of the shaft as shown in Fig. 1. The test bearing has no defects on
its inner race, outer race, or balls. No lubrication is supplied between
the balls and raceways.
The localized deflection curve of the outer race, facing the probe, is
clearly shown in time base where the shaft speed is 680 rpm (see Fig.
2(a)). The deflection has a peak-to-peak amplitude of about 1.65 µm
 Good bearing cycles due to the deflection is equal to iORBP ( = 3.06 in this case) .
Number of deflection cycles
Ω
within one shaft revolution: When a ball is just being moved near the hole (left side 45o from the
iORBP (=3.06 in this case)
Outer race deflection bottom) where the probe is mounted, the outer race around the hole,
closer to 30 0.75
due to the ball pressing on the outer race, deforms away from the
REBAM
bearing center (toward the probe). This case corresponds to all the
Amplitude (µ in)

probe

Amplitude (µm)
20 0.50
high peak points in the time base shown in Fig. 2(a) and is the
10 0.25
maximum deflection towards the probe. When two adjacent balls are
0 0 just equally away from the probe hole, the deflection of the outer race
10 0.25 around the hole is released so that the outer race is deflected away
20 0.50
from the probe. This case corresponds to the low peak points in time
base shown in Fig. 2(a). Due to surface roughness with lack of
0.05 0.1 0.15
One shaft revolution
0.2 0.25 0.3 lubrication, ball tolerances, and ball undulations, there exists slight
Time (sec) 680 rpm
fluctuation on the deflection curve.
(a) Figure 2(b) shows the deflection signal in frequency domain. Outer
race ball pass frequency, i.e., iORBP × ( = 3.06 × in this case)
component is dominant, accompanied by its harmonics, 2 (iORBP ×) ,
Amplitude (µ in, pp)

Amplitude (µm, pp)

40 iORBP× 1.00

30 0.75
3 (iORBP × ) , etc. The synchronous 1 × component is almost negligible.
Obviously, inner race ball pass frequency, i.e.,
20
Harmonics of iORBP×
0.50
iIRBP × ( = 4.94 × in this case) component is not apparent in frequency
10 0.25 domain.
Data from accelerometers give the casing vibration signals that
0 0
0 10 20 30 40 50 60 70 80 90 include transducer response to rotor unbalance, foundation, and other
Frequency (kcpm) 680 rpm frequency components in addition to the rolling element bearing
(b) operation. Figure 3 shows the signals in both vertical and horizontal
directions for the same operating condition as shown in Fig. 2.
Fig. 2 Outer race deflection measured by displacement Information from rolling element bearing operation is obscured or
transducer. (a)time base, and (b) frequency spectrum. masked with the vibration signature from other sources in the
rotor/bearing/foundation system. In the time domain as shown in Fig.
(65 µ in). For each shaft rotation, the number of periodic waveform 3, spikes or impulses occur although no defects exist in the bearing. In
the frequency domain as shown in Fig. 3, vibration signals include

Good bearing

0.5 5

Horizontal Amplitude (m/s2)

Vertical Amplitude (m/s2)

Horizontal Amplitude (g)

0.2 2
0.4 4
Vertical Amplitude (g)

0.1 1 0.3 3

0 0.2 2
0
0.1 1
0.1 1
0 0
0.2 2
0.1 1
0.3 3
0.2 2

0.05 0.1 0.15 0.2 0.25 0.3 0.05 0.1 0.15 0.2 0.25 0.3
Time (sec) 680 rpm Time (sec) 680 rpm

iORBP×
Horizontal Amplitude (m/s2, pk)

0.0025
18iIRBP×
Vertical Amplitude (m/s2, pk)

Horizontal Amplitude (g, pk)

0.025
iORBP× 9iIRBP×
Vertical Amplitude (g, pk)

0.0020 0.020
0.0020 0.020

0.0015
iIRBP×
0.015
0.0015 0.015

0.0010 0.0010 0.010

0.010

0.0005 0.005 0.0005 0.005

0 0
0 10 20 30 40 50 60 70 80 90 0 0
0 10 20 30 40 50 60 70 80 90
Frequency (kcpm) 680 rpm Frequency (cpm) 680 rpm

(a) (b)
Fig. 3 Casing response in time base and frequency spectrum from accelerometers mounted in (a) vertical,
and (b) horizontal directions.

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 components of iORBP × , iIRBP × , and their harmonics for this non-
defective bearing. As is known, these components often appear for a
defective bearing, and for that reason are usually used to identify
defects in the bearing. Applying this rule would misdiagnose the
bearing. Therefore, it would be difficult to distinguish between
defective and non-defective bearings by simply observing the advent
of these fault frequency components with accelerometers. Besides, the
response is to a great extent dependent on the casing. Harmonics of
these bearing frequencies may or may not generate detectable casing
vibrations. Although the number and magnitude of these components
may be higher, as observed during experiments, it would be hard to
establish a quantitative criterion for determining whether a bearing is
damaged or not.
From these tests, it is clear that the high-gain displacement
transducer detects only the deflection of the outer race of the rolling
element bearing. If a defect in the rolling element bearing is related to
the deflection, a detection technique using the transducer will be
successful. Note that even for a good bearing without outer race
defects, the spectral data of the deflection detected by the probe still
gives the iORBP × component and its harmonics. No iIRBP ×
component is present in the spectrum. However, as will be discussed,
defects occurring in the inner race, the outer race, or a rolling element
can be successfully detected by the high-gain displacement transducer.
4 Detection of Bearing Defects
As discussed previously, the outer race is deflected towards the
displacement transducer each time an element under load passes over
the transducer location. This produces a positive change in the
displacement, relative to the low peak of the deflection curve where
the least loading acts on the outer ring facing the probe. In spalling
defects, material is actually removed from the raceway or ball/roller
surface. The spalling defect produces a location of increased clearance,
and ball/race contact over the defect spot is actually unloaded
temporarily over a very short time period. The unloading makes the
outer race spring back away from the transducer. The result is a short
duration spike in the time base waveform.
4.1 Inner Race Defect
Detection of an inner race defect is often considered a difficult task
in rolling element bearing monitoring. It is sometimes mistakenly
believed that displacement transducers cannot detect inner race
defects. Even though some spikes might have been observed, the
nature of these signals had not been explored when applying high-gain
displacement transducers. Thus, it was difficult to diagnose the
occurrence of inner race defects and to distinguish it from other
defects.
The new detection methodology with the displacement transducer
makes it possible to diagnose the inner race defect correctly. The
nature and characteristics of observed signals can be fully understood.
The accompanying real data validates the detection methodology.
4.1.1 Detection Methodology
If a defect occurs in the inner race, the defect spot will contact
rolling elements iIRBP times on average during each shaft rotation.
The displacement transducer detects negative spikes when the moving
defect spot is located within an effective zone near the probe. Figure 4
shows a diagram of the defect detection methodology. Assume that
one defect occurs on the inner raceway.
Suppose that at one time (in the first shaft revolution) the defect spot
in contact with a ball is entering the effective zone α effective in which
the probe can detect the negative spikes. Therefore, a negative spike
occurs in the effective zone, marked with “♦a”, which is also denoted

Order of Moving defect spot

Οd ∗+ ∆ ♦
d d d d shaft revolutions ( a→ b→ c→ d→ e for each revolution)

♦ Ω
1st ♦
∆e e Οc
+e ∗+
c 2 nd
∆
o ∗
Ο
e αeffective
c
∆c
360 e
` 360o ♦c 3 rd
+
iIRBP αdelay
∗
iIRBP Time 4 th

♦a
∆a
+a Οb
+ ∗b
5th Ο
∗Ο a a
♦b ∆ b
b Moving inner
race defect spot . .
REBAM in contact with . .
probe balls/rollers
Outer race . .
deflection 360° (One shaft revolution)
(closer to probe)

No spike in
between
……... Ωt

β1♦
a β2 ∆ a β3 +a β4 ∗ a Οa
360°+ αdelay 360°+ αdelay 360°+ αdelay Contact spot beyond αeffective
Period T

Fig. 4 Diagram of inner race defect detection methodology using high-gain displacement transducer

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 20
360o
in the time base with the same symbol. After degrees shaft 19

iIRBP 18

rotation from “♦a”, where the defect spot contacts the next ball at 17
 
iIRBP
“♦b”, the probe cannot detect a negative spike because the contact Round  
 Round (i IRBP ) − i IRBP
16

 

T (shaft revolution)
occurs beyond the effective zone. For the following contact at “♦c”, 15 T=
iIRBP
as shown in Fig.4 when the defect contacts the following ball, the 14

same situation occurs where the contact event is not within the 13

effective zone of the probe. This situation exists until the defect spot 12

contacts the jth (j is a round number for iIRBP ) ball within the effective 11

zone again, as is indicated with “∆∆a” in the effective zone. Note that 10

two conditions must be met for the probe to detect these negative 9

spikes. One is that the inner race defect spot has to contact balls. The 8

other is that the defect spot in contact with balls has to be within the 7

effective zone. 6
4.85 4.86 4.87 4.88 4.89 4.90 4.91 4.92 4.93 4.94 4.95
A delay angle between the two contact spots within the effective
iIRBP
zone “♦a” and “∆ ∆a” can be given by
360o Fig. 5 Relation between iIRBP and detected spike group period T
α delay =  Round (iIRBP ) − iIRBP  × (1)
i
IRBP

where Round (iIRBP ) represents a round number for iIRBP (for Thus the period T is given by
example, Round (4.9 ) = 5, Round (4.1) = 4 ). In Fig.4, the defect  iIRBP 
Round  
contact spot moves “forward” (from “♦a” to “∆ ∆a”, the same direction  Round (iIRBP ) − iIRBP 
T=
n
=  
as Ω ) within the effective zone as α delay is assumed to be greater than shaft revolutions (6)
iIRBP iIRBP
zero in this case. It would move “backward” in the case of α delay < 0 . Note that a slight change in iIRBP causes a much bigger change in
In time base the two adjacent negative spikes have in terms of shaft detected spike group cycle T, as shown in Fig. 5. Therefore, a change
rotations (degree) an interval in iIRBP , which is related to slip, can be more accurately estimated
360o
α IR = 360o + α delay = Round (iIRBP ) (2) from T .
iIRBP During a cycle T in time base, the number of consecutive spikes
The interval α IR will be longer than 360o shaft rotation for α delay > 0 nspike is approximately equal to

and shorter for α delay < 0 . α effective

nspike ≈ (7)
rd th
For the 3 and 4 shaft revolutions, the scenario will be similar to α delay
that for the 1st and 2nd revolutions, as marked with “+ +” and “ ∗” Assume that the effective zone is symmetric about the probe location,
symbols. For the 5th shaft rotation, since the defect contact spot, and that the Keyphasor  a shaft fixed timing reference signal is
marked with “Ο Οa”, is beyond the effective zone, no spikes will be aligned with the probe. Thus, from Fig.4, the location of the inner race
shown in time base. defect spot (in terms of shaft orientation) can be estimated by
This no-spike situation in time base will last until the defect contact 1
nspike
spot in the left side marked with subscript “e”, as shown in Fig.4, β defect ≈ ∑ βi (8)
moves into the effective zone, thus making another similar cycle as is nspike i =1
discussed above. From Fig.4, such a spike group cycle T can be where β defect is a shaft rotational angle delayed relative to the probe.
expressed in terms of shaft revolutions as
If two probes are configured at an angle which allows two defect
360o contact events to occur within their effective zones, spikes will appear
− α delay
T≈
iIRBP
+1=
1
(3) 360o
in their corresponding time base response with an interval of
α delay Round (iIRBP ) − iIRBP iIRBP
360o rotation within a single shaft revolution. That can be used additionally
Since the defect spot contacts a ball with a cycle of shaft to confirm an inner race defect in the study. In the field, however,
iIRBP having one probe is enough to identify the defect.
rotation, the following expression holds
360o 4.1.2 Real Data Analysis
360o T = n (4) For the test ball bearing, an artificial spall was made on the inner
iIRBP
race and oriented on the shaft so that the defect would be at the bottom
where n is an integer. It follows that of the bearing (180° from 0°) when the reference signal was triggered.
 iIRBP  The ratio of inner race ball pass frequency to shaft speed iIRBP was
n = Round   (5)
 Round (iIRBP ) − iIRBP  found to be 4.9 (which could be determined from iORBP in spectrum
 

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 40 iIRBP = 4.9, one defect spot at the 1.0
bottom of the bearing when the
20
Keyphasor is triggered) 0.5

Amplitude (µm)
Amplitude (µ in)

135°
0 Ω 0

20 Left probe 0.5

60.1 msec
40
(367.96°°, compared with 360°°+αdelay= 367.35°°) 1.0
α delay
0 0.1 58.8 msec 0.2 0.3 0.4
360o (360°°)
=  Round ( 4.9 ) − 4.9 × Time (sec) 1020 rpm
4.9
= 7.35o 11.9 msec Estimated defect orientation:
360o
40 (72.86o , compared with = 73.47o ) 1 4 1.0
iIRBP β defect ≈ ∑ β i = 45o
4 i =1
20
(same as the real location)
0.5

Amplitude (µm)
Amplitude (µ in)

135°
0 Ω 0

20 Right probe 0.5

5.04 msec 6.43 msec 8.28 msec 9.65 msec

40 1.0
(β1= 30.86°°) (β2= 39.37°°) (β3= 50.69°°) (β4= 59.08°°)

0 0.1 0.2 0.3 0.4

Time (sec) 1020 rpm

Fig. 6 Measured data in time base from displacement transducer

and more accurately from T ). Therefore, according to Eqs. (1) and 360o
(2), a delay angle within the detectable zone should be agreement with the expected value of = 73.47o . Note that only
iIRBP
360o
α delay =  Round ( 4.9 ) − 4.9  × = +7.35o (Moving forward), 128 samples of data were taken for 360o shaft rotation in this case.
4.9
and in time base the two adjacent negative spikes should have an Using Eq. (8) along with the given β i ’s in the time base for the right
interval of probe, as shown in Fig. 6, the location of the defect spot can be
α IR = 360o + α delay = 367.35o > 360o estimated in the following:

in terms of shaft rotation Ω t . Such a phenomenon should be

1 4 1
(
β defect ≈ ∑ βi = 30.86o + 39.37o + 50.69o + 59.08o = 45o
4 i =1 4
)
repeated, according to Eq. (6), with a cycle of
  The above value indicates that the defect spot had a 45o phase delay
4.9
Round   relative to the right probe, which was exactly the real defect location.
 Round (4.9 ) − 4.9 
T=   10 shaft revolutions
=
4.9 4.1.3 Severity Analysis
Figure 6 shows experimental data from the displacement transducer Since a bearing may run in various speed and load conditions, spike
for this case. A hydraulic force of 943 N (212 1bs) was applied to the signals as well as deflection response can vary. As speed increases, the
non-drive end of the shaft. The rotor was running at about 1020 rpm. enhanced centrifugal forces of the balls along with the expansion of
In time base, a time period of 58.8 msec within the two adjacent the inner race result in tight contact between balls and raceways. As
Keyphasor dots corresponds to one complete shaft revolution (rotation loading increases, high pressing is maintained between the raceway
and the balls. As a result, the outer race deflection and spike amplitude
of 360o ). Based on this ratio, two negative spikes apart by 60.1 msec
are increased, and smoothness of the deflection curve is greatly
have an interval of 367.96o . This is very close to the expected value increased. Therefore, higher speed and load conditions make spike
of 360o + α delay = 367.35o . The right probe once detects a spike signals more noticeable. However, the spike signals reflecting defect
o
occurrence are still present in time base at low speed and under light
72.86 (11.9 msec) later than the left probe, which is also in good load, though not as obviously pronounced. Removing iORBP × and

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 20 0.500 40 1.00
15 0.375

Amplitude (µm)

Amplitude (µm)
Amplitude (µ in)
30 0.75

Amplitude (µ in)
10 0.250
20 0.50

Adeflection

Adeflection
5 0.125
10 0.25
0 0
0 0
5 0.125
10 0.25
10 0.250
20 0.50
15 0.375
0 0.5 1 1.5 2 2.5 0 0.5 1 1.5 2 2.5 3 3.5 4 4.5 5
Defect Time (sec) Time (sec)

Removing iORBP× and 2iORBP× components Removing iORBP× and 2iORBP× components
(a) 5 0.125
20 0.50

10 0.25

Amplitude (µm)
Amplitude (µm)
0 0

Amplitude (µ in)

Amplitude (µ in)
50 1.25
0 0
Adeflection=57 µ in (1.45 µm)

5 0.125
40 1.00
10 0.250 10 0.25

Aspike
Amplitude (µ in)

30 0.75

Aspike
Amplitude (µm)
15 0.375 20 0.50
20 0.50
20 0.500 30 0.75
10 0.25 25
T
0.625
T T
40 1.00
0 0
0 0.5 1 1.5 2 2.5 0 0.5 1 1.5 2 2.5 3 3.5 4 4.5 5
10 0.25 Time (sec) Time (sec)

20 0.50 (a) (b)

30 0.75
40 1.00
Fig. 8 Spike and deflection amplitude for the same defect
0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
shown in Fig.7(a). (a) 1360 rpm without hydraulic load, and
Time (sec)
(b) 680 rpm with 689 kPa (100 psi) hydraulic load
(b)

20 0.50 including the one near the probe tip. Notice that small negative spikes
10 0.25 occur due to a sudden loose contact when the defect is on the right
side.
Aspike =63 µ in (1.6 µm)

0 0
Amplitude (µm)

For the same defect as shown in Fig. 7(a), increases in speed yield
Amplitude (µ in)

10 0.25

20 0.50
slight increases in deflection amplitude Adeflection and spike amplitude
30 0.75 Aspike . As is expected, hydraulic loading is linearly proportional to the
defect spot near the probe tip
40 1.00
deflection amplitude Adeflection . Figures 8(a) and 8(b) show time base
defect spot near the bottom 360o
50 Round (iIRBP ) 1.25
response in different speed and load conditions from those in Fig. 7.
defect spot on the other side iIRBP
60 1.50
0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
Notice that spike signals appear in a period T that is given by Eq. (3).
Time (sec) In Fig. 8(a) a spike group cycle is T = 12.6 shaft revolutions which
(c) correspond to iIRBP = 4.921 , while in Fig. 8(b) it becomes
Fig. 7 More severe defect case ( Aspike Adeflection = 1.1 ) at speed T = 11.6 shaft revolutions which correspond to iIRBP = 4.914 ,
680 rpm with hydraulic load 1379 kPa (200 psi). (a) real defect, compared with T = 10.6 shaft revolutions ( iIRBP = 4.905 ) in Fig. 7.
(b) time base signal, and (c) time base signal after removing These variations are due to slippage between raceway and balls, which
iORBP × and 2iORBP × components. could be estimated. Regardless of changes in speed and load, ratio
Aspike Adeflection remains almost the same (≈1.1).
2iORBP × components due to normal loading deflection makes spikes For a less severe defect case as shown in Fig. 9, ratio
pronounced without influence of their magnitude. For a given defect, Aspike Adeflection is decreased to around 0.4. This ratio, therefore, can
the ratio of spike-to-deflection amplitude seems to have little change.
be used to measure defect severity.
Figure 7 shows a more severe inner race defect case. The defect as
shown in Fig. 7(a) is located at the horizontal position ( 90o from 0o )
when the shaft reference signal is triggered. The left probe detects the
corresponding response in time base as shown in Fig. 7(b). The spikes
due to the defect become much pronounced after removing
iORBP × and 2iORBP × components due to normal loading deflection, as
shown in Fig. 7(c). For this severe defect, more negative spikes are
present as the defect contact spot passes near the probe tip. The spike-
to-deflection amplitude ratio is
Aspike Adeflection = 63 57 = 1.1
Defect
In this case, positive spikes also appear. This is because the severe
defect spot contacts a ball near the bottom where the maximum Fig.9 Less severe defect case ( Aspike Adeflection = 0.4 )
loading is located, thus impacting balls at other contact locations

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 24 0.60
time base, the corresponding multiple harmonic components of
iIRBP
× can be seen in spectrum. Figure 10 shows these

Amplitude (µm, pp)

Amplitude (µ in, pp)

Round (iIRBP )
20 0.50

16 0.40
harmonics corresponding to spike signals due to the inner race defect
0.30
12 as shown in Fig. 9. At speed 680 rpm, a frequency range of 10~20
8 0.20 kcpm is divided by about 15 intervals with harmonics of
iIRBP
4 0.10 × ( = 0.98 × ) for iIRBP = 4.9 . Observing whether these
Round (iIRBP )
0 0
0 10 20 30 40 50 60 70 80 90
fault frequency components occur is an additional tool to diagnose
Frequency (kcpm)
inner race defects in a rolling element bearing.
0.20 0.005
iIRBP
Harmonics of × 4.2 Outer Race Defect
Round (iIRBP ) An outer race defect spot in contact with balls/rollers does not move

Amplitude (µm, pp)

0.16 0.004
Amplitude (µ in, pp)

against probes for a rolling element bearing with its outer ring fixed to
0.12 0.003 the casing. Figure 11 shows an outer race defect case at speed 680 rpm
with 1379 kPa (200 psi) hydraulic loading. Since the defect spot faces
0.08 0.002
the left probe, a sudden release of pressure between races and the
0.04 0.001
passing ball leads to a negative spike on the outer race deflection
curve. The number of spikes is the same as that of deflection cycles in
0 0 time base. Thus, a spike interval for an outer race defect is given by
10 11 12 13 14 15 16 17 18 19 20
Frequency (kcpm) 360o
α OR = (9)
iORBP
Fig. 10 Fault frequency components due to inner race defect
using displacement transducer Therefore, the fundamental frequency of spikes due to an outer race
defect is equal to that of the outer race deflection, i.e., iORBP × . Due to
4.1.4 Fault Frequency Components
the defect, many of its harmonics are remarkable in a frequency range
360o
For spikes with an interval of Round (iIRBP ) shaft rotation in higher than 3iORBP × . Since ball sizes vary, harmonics of the cage
iIRBP

Ω
Defect
Amplitude (µ in, pp)

15 0.375

Amplitude (µm, pp)

10 0.25
Amplitude (µ in)

Amplitude (µm)

10 0.250 8 0.20

5 0.125 6 0.15

0 0 4 0.10

5 0.125 2 0.05

0 0
0.1 0.15 0.2 0.25 0.3 0 10 20 30 40 50 60 70 80 90
Time (sec) Frequency (kcpm)

Removing iORBP× and 2iORBP× components

5 0.125 1.0 0.025
Harmonics of iORBP ×
Amplitude (µ in, pp)

Amplitude (µm, pp)

0.8 0.020
Amplitude (µ in)

Amplitude (µm)

0 0

0.6 0.015

5 360 o 0.125
iO R B P 0.4 0.010

10 0.250
0.2 0.005

Spike due to outer race defect

15 0.375 0 0
0.1 0.15 0.2 0.25 0.3 1 11 12 13 14 15 16 17 18 19 20
Time (sec) Frequency (cpm)
(a) (b)
Fig. 11 Outer race defect signal measured by displacement transducer at speed 680 rpm without hydraulic
loading. (a) time base, and (b) frequency spectrum

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 It is found that spike magnitude and direction (positive or negative)
due to an outer race defect vary with the defect orientation, as shown
in Fig. 12. Numbers on the bearing indicate outer race defect
Ω orientations and correspond to the numbered spikes on the deflection
curves on which spike magnitudes and directions are marked. The
response for defect spots on the right side can be easily figured out
based on Fig.12. The discussed spots cover most of the loading zone
where outer race defects usually occur. For a severe defect facing the
1 probe, the fundamental frequency component iORBP × can decrease if
Left Probe 2 3 Right Probe
4 5 the defect spot just faces the probe as in position “1”, and can increase
if the defect is at the bottom where maximum load is located as in
position “5”. However, many of its harmonics in the order higher
5 5
than 3iORBP will become more pronounced than those without the
defect. Having two probes is helpful to determine the defect
5 5 orientation and severity.
1 1
4.3 Rolling Element Defect
4 4 If a rolling element (ball/roller) defect occurs, it will contact both the
2 inner race and the outer race at its spin frequency 2iR × . The probe
2 3 detects a negative spike when the defect spot on the damaged
1 1
3 ball/roller, which is held by the cage rotating at frequency iC × ,
Fig. 12 Spike signal varying with defect orientation contacts either the inner race or the outer race within the effective zone
near the probe. Assume the probe detects spikes after k events of
defect/raceway contacts. Thus, the following expression holds
1
(holding all the balls) frequency iC × (= iORBP × ) are also present as 360o 360o
8 ≈k (10)
side bands. iC 2iR

Defect
5 0.125
7 0.175

6 0.150

Amplitude (µm, pp)

Amplitude (µ in, pp)
Amplitude (µ in)

Amplitude (µm)

0 0 5 0.125

4 0.100

4(4') 3 0.075
5
1(1') 0.125
 2i  360o
Round  R − 0.5  2 0.050
 2i  360o  iC  2 iR
Round  R + 0.5  3(3')
 iC  2 iR 1 0.025
2(2')
Spike due to rolling element defect
10 0.250 0
0
0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 0 10 20 30 40 50 60 70 80 90 100
Time (sec) Frequency (kcpm)

αeffective Ω
Defect/raceway contact spots
0.12 0.0030
near the probe:
1→2→3→4 0.10 Harmonics of approximately iC × 0.0025
Amplitude (µm, pp)
Amplitude (µ in, pp)

4 or 0.08 0.0020

1' 1' → 2' → 3' → 4'

4' 0.06 0.0015
2'
1
3'  2i  360o
α F = Round  R + 0.5  iC − 360o
αF 2 0.04 0.0010
 iC  2iR
3
 2i  360o 0.02 0.0005
α B = 360o − Round  R − 0.5  iC
αF αB  C
i  2iR 0
10 11 12 13 14 15 16 17 18 19
0
20
Frequency (kcpm)

(a) (b)
Fig. 13 Rolling element defect signal detected by the probe at 700 rpm with 1379 kPa (200 psi). (a) time base after removing
iORBP × and 2iORBP × components with corresponding defect contact locations near the probe, and (b) frequency spectrum

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 where k is an integer. It follows that
 2i  at a rate of outer race ball pass frequency iORBP× . The spike amplitude
k = Round  R ± 0.5  (11)
 C
i 
Spike intervals due to a rolling element defect, detected by the probe
in time base, are then given by
360o  2i  360o
α RE = k = Round  R ± 0.5  shaft rotations (12)
2iR  iC  2iR
Within the effective zone near the probe, real locations of defect
contacts, detected by the probe, have intervals of
360o
α FB = k iC − 360o (13)
2iR
The locations will move “forward” in the case of α FB > 0 , and
“backward” in the case of α FB < 0 . An even number of k indicates
that two contacts are on the same race, while an odd number means
two contacts are on the different races. For spikes with intervals given
by Eq. (12), many of harmonics of approximately iC × are present in
its corresponding spectrum. Figure 13 show a roller defect case, in
which the defect is successfully detected in time base as well as in
spectrum.
5 Summary and Conclusions
Inner race, outer race, and rolling element (ball/roller) defects, which
often occur sequentially, can be successfully detected by directly
measuring outer race deflection with high-gain displacement
transducers. The defect signal is clearly present with spikes in the time
base deflection facing the probe tip without casing influence, which
would be inevitable by using casing-mounted accelerometers.
Deflection amplitude is linearly proportional to radial load. An
increase in speed makes a slight increment in deflection amplitude.
Spike amplitude due to defects usually varies with load and speed in
the same way as deflection amplitude. Removing iORBP× and 2iORBP×
components due to outer race deflection makes spikes more evident.
From the current study verified by experimental data, the following
conclusions can be drawn:
(1) For an inner race defect, negative spikes are seen in several
consecutive shaft revolutions with an interval and then disappear
intermittently or become positive, with a spike group cycle T. These
parameters are uniquely determined by the inner race ball pass
frequency ratio iIRBP . A slight change in iIRBP , which is related to slip,
can be more accurately estimated from the corresponding big change
in T . For a severe inner race defect, positive spikes appear along with
more negative ones.
10
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(2) For an outer race defect, a spike occurs in each deflection cycle
and direction (positive or negative) vary with the defect location
relative to the probe. Having two probes is helpful to determine the
defect location and severity.
(3) For a rolling element (ball/roller) defect, spike intervals are
related to not only rolling element spin frequency ratio iR but also cage
frequency ratio iC. Spikes occur at an average rate of cage frequency
iC× in time base.
(4) Defect severity can be determined by spike-to-deflection
amplitude ratio, which remains almost the same regardless of load and
speed changes.
(5) Defect location in the raceway can be determined from spike
locations in time base along with known probe orientation.
(6) Defect signals detected by displacement transducers can also be
seen in spectrum. Inner race, outer race, and rolling element defects
are characterized with harmonics of [iIRBP ⁄Round(iIRBP)] × , iORBP×, and
iC×, respectively.
References
[1] Monk, R., 1972, “Vibration Measurement Gives Early Warning of
Mechanical Faults,” Processing Engineering, pp.135-137.
[2] Boto, P.A., 1971, “Detection of Bearing Damage by Shock Pulse
Measurement,” Ball Bearing Journal, S.K.F.
[3] Dyer, D., and Stewart, R.M., 1978, “Detection of Rolling Element Bearing
Damage by Statistical Analysis,” ASME Journal of Mechanical Design,
100, pp. 229-235.
[4] McFadden, P.D., and Smith, J.D., 1984, “The Condition Monitoring of
Rolling Element Bearings by the High-Frequency Resonance Technique –
A Review,” Tribology International, 17, pp.3-10
[5] Eshleman, R., 1980, “The Role of Sum And Difference Frequencies in
Rotating Machinery Fault Diagnosis,” I. Mech Eng, C272/80, 1980.
[6] Mathew, J. and Alfredson, R.J., 1984, “The Condition Monitoring of
Rolling Element Bearings using Vibration Analysis,” ASME Journal of
Vibration, Acoustics, Stress and Reliability in Design, 106, pp.447-453.
[7] Bently, D.E., 1982, “Monitoring Rolling Element Bearings,” Orbit, Bently
Nevada Corporation, 3, No.3, pp.2-15.
[8] Harker, R.G., and Sandy, J.L., 1989, “Rolling Element Bearing Monitoring
and Diagnostics Techniques,” ASME Journal of Engineering for Gas
Turbines and Power, 111, pp. 251- 256.
[9] Kim, P.Y., 1984, “A Review of Rolling Element Bearing Monitoring (III):
Preliminary Test Results on Eddy Current Transducer Technique, ”
Proceedings of Third International Conference on Vibrations in Rotating
Machinery, The Institution of Mechanical Engineers, York, England,
pp.119-125.
[10] Holm-Hansen, B.T., and Gao, R.X., 2000, “Vibration Analysis of a
Sensor-Integrated Ball Bearing,” ASME Journal of Vibration and
Acoustics, 122, pp.384-392.
Copyright © 2001 by ASME