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The Sequential Minimal Optimization (SMO) algorithm gives an
efcient way of solving the dual problem arising from the deriva-
tion of the SVM. SMO decomposes the overall quadratic program-
ming problem into quadratic programming sub-problems.
2.3. Learning vector quantization
Learning vector quantization [21] is a supervised machine
learning technique in which the structure of the input space is
P.K. Kankar et al. / Neurocomputing 74 (2011) 16381645 1639
exploited so that the size of the input data can be reduced which
results in less computational time. LVQ is based on vector
quantization in which an input space is divided into number of
distinct regions and for each region a reconstruction vector is
dened. When a new vector is presented to the quantizer, the
region in which the vector lies is rst determined, and is then
represented by the reproduction vector for that region. The
collection of possible reproduction vectors is called the code book
of quantizer, and its members are called code words.
The SOM algorithm provides an approximate method for
computing the Voronoi vectors in unsupervised manner, with
the approximation being specied by the synaptic weight vectors
of the neurons in the feature map. Therefore we can say that
rstly SOM can be employed for the computation of the feature
map and secondly LVQ is applied which provides a mechanism for
the nal tuning of a feature map. Hence LVQ is said to be
supervised version of SOM.
3. Experimental setup
The problem of predicting the degradation of working condi-
tions of bearings before they reach the alarm or failure threshold
is extremely important in industries to fully utilize the machine
production capacity and to reduce the plant downtime. In the
present study, an experimental test rig is used and vibration
response for healthy bearing and bearing with faults are obtained.
The rig is connected to a data acquisition system through proper
instrumentation. Data acquisition and analysis system consists of
VibraQuest software and data acquisition hardware. VibraQuest
software is designed in Lab VIEW for quick data acquisition,
review, and storage. Hardware consists of 16 analog input
channels, for simultaneous sampling. PCI bus ensures high-speed
data acquisition (102.4k samples/s). A remote optical sensor with
a visible red LED light source is used to measure rotor speed.
Piezo-electric accelerometers (IMI 603C01) are used for picking
up the vibration signals from various stations on the rig. These
accelerometers are having measurement range as 7490 m/s
2
.
Table 1 shows dimensions of the ball bearings taken for the study.
Piezo-electric accelerometers are used for picking up the vibra-
tion signals from various stations on the rig.
As a rst step, the machine was run with healthy bearing to
establish the base-line data. Then data are collected for different fault
conditions. Various faults considered in bearing components are as
shown in Fig. 1. A variety of faults on bearings are simulated on the
rig at different rotor speed i.e. 250, 500, 1000, 1500 and 2000 rpm.
Following ve bearing conditions are considered for the study:
1. Healthy bearings (HB).
2. Bearing with spall on inner race (SIR).
3. Bearing with spall on outer race (SOR).
4. Bearing with spall on ball (BFB).
5. Combined bearing component defects (CBD).
4. Minimum Shannon Entropy Criterion (MEC)
Total of seven different wavelets have been considered for the
present study. An appropriate wavelet is the base wavelet which
minimizes the Shannon Entropy of the corresponding wavelet
coefcients. The Shannon Entropy of wavelet coefcients is given as
S
entropy
n
X
m
i 1
p
i
log
2
p
i
5
where p
i
is the energy probability distribution of the wavelet
coefcients, dened as
p
i
9C
n,i
9
2
En
6
with
P
m
i 1
p
i
1, and in the case of p
i
0 for some i, the value of
p
i
log
2
p
i
is taken as zero.
The following steps explain the methodology developed for
selecting a base wavelet based on the Minimum Shannon
Entropy Criterion for the vibration signals under study:
(1) Total 150 vibration signals are obtained by considering
healthy and faulty bearing conditions.
(2) To convert the complex vibration signals into simplied
signals with more resolution in time and frequency domain,
these raw signals are divided into 2
7
sub-signals i.e. 128
scales in seventh level of decomposition.
(3) For healthy and faulty bearings, continuous wavelet coef-
cients (CWC) of vibration signals are calculated using seven
different mother wavelets in which three from real valued as
Daubechies 44, Meyer, Coiet, Symlet wavelets and other
three are complex valued as complex Gaussian, Complex
Morlet and Shannon wavelets.
(4) The Shannon Entropy of CWC is calculated for each of 30
segmented signals at different rotor speed 250, 500, 1000,
1500 and 2000 rpm and loading conditions using healthy and
faulty bearings. The average of the Shannon Entropy in the 30
segmented signals is calculated for ve bearing conditions i.e.
BFB, SIR, CBD, HB and SOR.
(5) Sum of the mentioned average of the ve bearing conditions
is determined for each scale (2
7
).
(6) The total Shannon Entropy for each wavelet is calculated by
adding sum of the mentioned average of all the scales as
shown in Table 2.
Table 1
Parameters of bearing.
Parameter Value
Outer race diameter 28.262 mm
Inner race diameter 18.738 mm
Ball diameter 4.762 mm
Ball number 8
Radial clearance 10 mm
Spall
Spall
Fig. 1. Bearing components with faults induced in them. (a) Spall on outer race, (b) spall on inner race and (c) ball with spall.
P.K. Kankar et al. / Neurocomputing 74 (2011) 16381645 1640
(7) The wavelet having minimum Shannon Entropy is considered
for fault diagnosis of rolling element bearing.
The owchart for above mentioned methodology is shown in
Fig. 2. Shannon Entropy calculated for Complex Morlet wavelet is
found minimum. Hence, Complex Morlet wavelet is considered to
extract features for fault diagnosis.
For healthy and faulty bearings, Fig. 3 shows the plots between
Shannon Entropy and scale number at rotor speed 2000 rpm with no
loader using Complex Morlet wavelet. Entropy plots for faults in ball,
inner race and outer race are as shown in Fig. 3(a), (b) and (e),
respectively. From this, it is concluded that fault in inner race gives
minimum entropy as compare to fault in ball or outer race, which
indicates that inner race defect has more effect on machine vibra-
tions. While for combined bearing component defects, Fig. 3(c) shows
that Shannon Entropy value is less. For healthy bearing, it is observed
that Shannon Entropy value is more as compare to bearing containing
some faults as shown in Fig. 3(d). Fig. 3 clearly indicates that
Minimum Shannon Entropy Criterion applied in this study can be
effectively used for fault diagnosis of rotor bearing system.
5. Feature extraction
Complex Morlet wavelet is selected as the best base wavelet
among the other wavelets considered from the proposed methodol-
ogy. The CWC of all the 150 signals with Complex Morlet as a base
wavelet are calculated at seventh level of decomposition (2
7
scales).
When applying wavelet transform to a signal, if the Shannon
Entropy measure of a particular scale is minimum then we can say
that a major defect frequency component exists in the scale. In the
present study out of 2
7
scales considered, the scale having the
minimum Shannon Entropy is selected, and the statistical features
of the CWC corresponding to the selected scale are calculated.
Root mean square (RMS) value, crest factor, kurtosis, skewness,
standard deviation, etc. are the most commonly used statistical
measures used for fault diagnosis of rolling element bearings.
Statistical moments like kurtosis, skewness and standard deviation
are descriptors of the shape of the amplitude distribution of vibration
data collected from a bearing, and have some advantages over
traditional time and frequency analysis, such as its lower sensitivity
to the variations of load and speed, the analysis of the condition
monitoring results is easy and convenient, and no precious history of
the bearing life is required for assessing the bearing condition [23].
When selecting certain normalized statistical moments to monitor
the bearing condition, we usually need to consider two most
essential characteristics, i.e. sensitivity and robustness. By rectifying
the signal, Honarvar and Martin [23] compared the third moment,
skewness, of the rectied data to kurtosis, and found that this third
moment has better characteristics than kurtosis. In present paper,
Table 2
Comparison of parameters for wavelet selection.
Wavelet type Shannon Entropy
Daubechies 44 21.43
Meyer 21.59
Coiet 39.49
Symlet 28.88
Complex Gaussian 40.03
Shannon 21.26
Complex Morlet 19.79
Signal Decomposition using
Wavelet Transform
30 sample
signals for BFB
30 sample
signals for SIR
30 sample
signals for CBD
30 sample
signals for HB
30 sample
signals for SOR
Raw Vibration
Signals
4 Real Valued
Wavelets
3 Complex Valued
Wavelets
Shannon
Entropy (n)
S = Sum of the calculated Average in bearing conditions in each scale
Select wavelet which minimizes T
T = total of S corresponding to all scales
Average n of
BFB
Average n of
SIR
Average n of
CBD
Average n of
HB
Average n of
SOR
Fig. 2. Flowchart for wavelet selection criteria.
P.K. Kankar et al. / Neurocomputing 74 (2011) 16381645 1641
authors use statistical moments like kurtosis, skewness and standard
deviation as features to effectively indicate early faults occurring in
rolling element bearing. The statistical features that are considered in
the present study are:
(1) Kurtosis: a statistical measure used to describe the distribu-
tion of observed data around the mean. Kurtosis is dened as
the degree to which a statistical frequency curve is peaked.
Kurtosis
nn1
n1n2n3
X
x
j
x
s
4
( )
3n1
2
n2n3
7
(2) Skewness: skewness characterizes the degree of asymmetry of
a distribution around its mean. Skewness can come in the
form of negative or positive skewness.
Skewness
n
n1n2
X
x
j
x
s
3
8
(3) Standard deviation: standard deviation is measure of energy
content in the vibration signal.
Standard deviation
n
P
x
2
P
x
2
nn1
s
9
These statistical features are fed as input to the articial
intelligence techniques for faults classication. The following
steps give an overview of the methodology presented in this
study for bearing faults diagnosis:
(1) In this study, healthy bearings, bearing with spall in outer
race, inner race, ball and bearing with combined compo-
nent defects are considered. Vibration signals in time
domain are obtained both in horizontal and vertical directions
for each bearing condition at different rotor speed 250,
500, 1000, 1500 and 2000 rpm under loader and no loader
condition.
(2) Continuous wavelet coefcients of the vibration signals are
calculated at the seventh level of decomposition (2
7
scales for
each sample). These coefcients are calculated for all seven
mother wavelets, considered in this study.
(3) Shannon Entropy of CWC can be calculated thereafter.
(4) Complex Morlet wavelet is considered for the fault diagnosis
among the seven mother wavelets based on minimum Shan-
non Entropy Criterion.
(5) Statistical features like kurtosis, skewness and standard
deviation are calculated from the wavelet coefcients
corresponding to scales having the minimum Shannon
Entropy.
These statistical features are fed as input to the machine
learning algorithms SVM, LVQ and SOM for faults classi-
cation.
Fig. 3. Plots between Shannon Entropy and scale number at rotor speed 2000 rpm with no loader using Complex Morlet wavelet. (a) Bearing with spall on ball, (b) bearing
with spall on inner race, (c) combined bearing component defects, (d) healthy bearings and (e) bearing with spall on outer race.
P.K. Kankar et al. / Neurocomputing 74 (2011) 16381645 1642
6. Results and discussions
In the present study, classication of bearing faults is carried
out using SVM, LVQ and SOM. The number of code book vectors
xed before the training of the LVQ algorithm is 20. Out of this 20
code book vectors the class distribution among the ve different
fault classes is given in Table 3. Four different code book vectors
are selected by the LVQ algorithm to represent each of BFB and
SIR cases and this corresponds to 20% each. Whereas 2(10%),
7(35%), 3(15%) for CBD, HB, SOR, respectively. The class distribu-
tion among the ve different bearing cases for SOM is given in
Table 4.
The results on a test set in a multi-class prediction are
displayed as a two dimensional confusion matrix with a row
and column for each class [24]. Each matrix element shows the
number of test examples for which the actual class is the row and
the predicted class is the column. A sample training/testing vector
is shown in Table 5. Total 75 instances and 8 features are used for
the study including statistical features for each of the horizontal
and vertical response, number of loader and rotor speed used.
Tables 68 show the test results as confusion matrices for each of
the two techniques i.e. SVM, LVQ and SOM. Total 75 numbers of
instances are obtained in which 15 cases are considered with each
of BFB, SIR, CBD, HB and SOR, respectively. SVM has correctly
predicted all instances for BFB, SIR, CBD, HB and SOR, respectively,
as shown in Table 6. From Table 7, it is inferred that LVQ has
correctly predicted 12, 12, 15, 14 and 14 instances, while Table 8
Table 3
Class distribution for LVQ.
S. no. Type of bearing No. of code book vectors
1 BFB 4(20%)
2 SIR 4(20%)
3 CBD 2(10%)
4 HB 7(35%)
5 SOR 3(15%)
Table 4
Class distribution for SOM.
S. no. Type of bearing % Class
1 BFB 10(21%)
2 SIR 9(19%)
3 CBD 8(17%)
4 HB 10(21%)
5 SOR 11(23%)
Table 5
Sample input vector for SVM, LVQ and SOM.
Features
Horizontal response Vertical response Loader Speed Class
Kurtosis Skewness Standard deviation Kurtosis Skewness Standard deviation
Amplitude of features 10.83371 2.219912 0.00022 44.70497 4.753333 0.000702 0 1000 BFB
11.07509 2.328135 0.002189 22.66564 3.398547 0.001975 0 1500 BFB
6.465513 1.50172 0.000543 16.52251 2.751154 0.00444 0 2000 BFB
5.105068 1.251012 9.59E05 54.83589 4.1949 0.000118 1 1000 SIR
6.461471 1.54027 0.000284 5.805013 1.464965 0.000217 1 1500 SIR
11.52051 2.097072 0.000249 7.707975 1.741795 0.000371 1 2000 SIR
11.93591 2.410487 0.000198 7.281817 1.735277 0.000209 1 1000 CBD
4.630504 1.210162 0.000193 13.42329 2.375881 0.000467 1 1500 CBD
5.553487 1.400872 0.000348 10.68352 2.191045 0.001183 1 2000 CBD
7.704414 1.519889 0.000105 6.478991 1.578542 0.000399 2 1000 HB
6.118728 1.480516 0.000204 4.864674 1.254669 0.000205 2 1500 HB
4.282953 1.093893 0.000264 5.511267 1.36593 0.000297 2 2000 HB
14.40096 2.558341 0.0002 31.59812 4.54973 0.001268 2 1000 SOR
6.202332 1.447155 0.000246 25.01716 3.508182 0.00568 2 1500 SOR
5.107758 1.28273 0.000466 8.521063 2.24933 0.030608 2 2000 SOR
Table 6
Confusion matrix for SVM.
BFB SIR CBD HB SOR Classied as
15 0 0 0 0 BFB
0 15 0 0 0 SIR
0 0 15 0 0 CBD
0 0 0 15 0 HB
0 0 0 0 15 SOR
Table 9
Evaluation of the success of numeric prediction.
Parameters SVM LVQ SOM
Correctly classied instances 75(100%) 67(89.3333%) 56(74.6667%)
Incorrectly classied instances Nil 8(10.6667%) 19(25.3333%)
Total number of instances 75 75 75
Table 8
Confusion matrix for SOM.
BFB SIR CBD HB SOR Classied as
13 0 0 0 2 BFB
3 10 0 1 1 SIR
1 0 12 0 2 CBD
3 1 0 8 3 HB
0 1 1 0 13 SOR
Table 7
Confusion matrix for LVQ.
BFB SIR CBD HB SOR Classied as
12 0 1 0 2 BFB
0 12 1 2 0 SIR
0 0 15 0 0 CBD
0 0 0 14 1 HB
0 1 0 0 14 SOR
P.K. Kankar et al. / Neurocomputing 74 (2011) 16381645 1643
shows that SOM has classied 13, 10, 12, 8 and 13 instances.
Table 9 shows accuracy associated with each technique for faults
classication. For this study, classication accuracy shows that
SVM is a better classier than LVQ and SOM. The prediction
performance of SVM is coming out to be superior mainly due to
its good generalization capability, which is also reported by
Meyer et al. [19]. The correctly classied instances for SVM, LVQ
and SOM are 100%, 89.3333% and 74.6667%, respectively. To show
the efciency of the selected features and the methodology, a
comparison between the current work and some published
literatures has been shown in Table 10. In this table, comparison
has been made on the basis of the objects used, defects consid-
ered for the study, techniques used for vibration signature
analysis, features considered, classier used and the classier
efciencies in each paper.
7. Conclusion
Aiming at the characteristics of the vibration signal of rolling
bearing with fault, the Complex Morlet wavelet is selected based on
Minimum Shannon Entropy Criterion to extract the fault feature in
this paper. Raee et al. [18] have also shown that among a wide
variety of mother wavelets, Complex Morlet wavelet have satisfactory
performances for both bearing and gear fault identication, which is
veried by obtained results. This study presents a methodology for
detection of bearing faults by classifying them using three articial
intelligence techniques. The responses observed for different fault
condition of bearing shows that minimum Shannon Entropy is
obtained for bearings with inner race fault. The results of faults
classication with SVM (100%) are superior to LVQ and SOM. LVQ
being the supervised version of SOM the classication accuracy
Table 10
A compressive study between the present work and some recent publications.
References Objects Defects considered Techniques used
for vibration
signature
analysis
Features
considered
Classier used Classier
efciencies
Paya et al. [9] Bearings and
gears
Defects on inner race of bearing
and gear tooth irregularity.
Daubechies 4 10 wavelet
numbers
indicating both
time and
frequency and
their 10
corresponding
amplitudes
Articial neural
networks
96%
Nikolaou and
Antoniadis [10]
Rolling element
bearings
Inner race and outer race fault Daubechies 12 Mean and
standard deviation
of wavelet packet
coefcients
NA NA
Prabhakar
et al. [11]
Rolling element
bearings
One scratch mark each on inner
race (on the track) and outer
race (on the track), two scratch
marks on outer race (1801 apart
on the track), one scratch mark
on each of inner race and outer
race (on the track)
Daubechies 4 RMS, Kurtosis NA NA
Purushotham
et al. [12]
Rolling element
bearings
Single and multiple point
defects on inner race, outer
race, ball fault and combination
of these faults
Daubechies Mel Frequency
Complex
Cepstrum (MFCC)
coefcients
Hidden Markov
model classiers
Best efciency
obtained as 99%
Saravanan
et al. [13]
Gears Gear tooth breakage, gear with
crack at root and with face wear
Morlet wavelet Statistical features
namely, standard
error, sample
variance, kurtosis
and minimum
value
Support vector
machines (SVM)
and proximal
support vector
machines (PSVM)
Best efciency
obtained as
100%
Raee et al. [15] Gears and
bearings
Three different fault conditions
on gears (slight-worn, medium-
worn and broken tooth), faulty
bearings
Daubechies 4
(wavelet packet)
Standard
deviation of
wavelet packet
coefcients
Articial neural
networks
Best efciency
obtained as
100%
Raee et al. [18] Gears and
bearings
Ball, cage, inner race, outer race
defects on bearings and three
different fault conditions on
gears (slight-worn, medium-
worn and broken tooth)
324 mother
wavelets from
various wavelet
families like Haar,
Daubechies,
Coiet, Morlet, etc.
Variance, standard
deviation, kurtosis
and 4th central
moment of CWC-
SVS
Articial neural
networks
Recommended
that the best
efciency can be
achieved using
db 44 for gear
and bearing
fault diagnosis
Present work Rolling element
bearings
Spall in inner race, outer race,
rolling element and combined
component defects
Daubechies 44,
Meyer, Coiet5,
Symlet2, Gaussian,
Complex Morlet
and Shannon
wavelets
Statistical features
namely, kurtosis,
skewness and
standard deviation
from wavelet
coefcients
corresponding to
scale maximizing
energy to Shannon
Entropy ratio
Support vector
machines,
articial neural
networks, self-
organizing maps
The best
efciency
obtained using
complex Morlet
wavelet and
SVM classier as
100%
P.K. Kankar et al. / Neurocomputing 74 (2011) 16381645 1644
obtained 89.3333%, which is better than SOM (74.6667%). The results
show the potential application of these articial intelligence techni-
ques for developing effective maintenance strategies to prevent
catastrophic failure and reduce operating cost.
Acknowledgement
This work was nancially supported by the Department of Science
and Technology, Government of India [Grant number DST/457/MID].
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Mr. P.K. Kankar has done his B.E. (Mechanical Engi-
neering), M.E. (Manufacturing System Engineering)
and pursuing Ph.D. (Vibration). His research areas are
machine design, vibration, controls and non-linear
dynamics. He has published more than 10 papers in
various refereed journals.
Prof. Satish C. Sharma has done his B.E. (Mechanical
Engineering), M.E. (Machine Design) and Ph.D. (Tribol-
ogy). His research areas are machine design, tribology
and measurement. He has published more than 70
papers in various refereed journals.
Dr. S.P. Harsha has done his B.E. (Mechanical Engineer-
ing), M.E. (Machine Design) and Ph.D. (Vibration). His
research areas are machine design, vibration, controls
and non-linear dynamics. He has published more than
60 papers in various refereed journals.
P.K. Kankar et al. / Neurocomputing 74 (2011) 16381645 1645