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Abstract
A study is presented to compare the performance of bearing fault detection using two different classiers, namely, articial neural
networks (ANNs) and support vector machines (SMVs). The time-domain vibration signals of a rotating machine with normal and
defective bearings are processed for feature extraction. The extracted features from original and preprocessed signals are used as
inputs to the classiers for two-class (normal or fault) recognition. The classier parameters, e.g., the number of nodes in the hidden
layer in case of ANNs and the radial basis function kernel parameter (width) in case of SVMs along with the selection of input
features are optimized using genetic algorithms. The classiers are trained with a subset of the experimental data for known machine
conditions and are tested using the remaining set of data. The procedure is illustrated using the experimental vibration data of a
rotating machine. The roles of different vibration signals and signal preprocessing techniques are investigated. The results show the
effectiveness of the features and the classiers in detection of machine condition.
r 2003 Elsevier Ltd. All rights reserved.
Keywords: Condition monitoring; Feature selection; Genetic algorithm; Bearing faults; Neural network; Rotating machines; Signal processing;
Support vector machines
1. Introduction
Condition monitoring of machines is gaining importance in industry because of the need to increase
reliability and to decrease possible loss of production
due to machine breakdown. The use of vibration and
acoustic emission (AE) signals is quite common in the
eld of condition monitoring of rotating machinery. By
comparing the signals of a machine running in normal
and faulty conditions, detection of faults like mass
unbalance, rotor rub, shaft misalignment, gear failures
and bearing defects is possible. These signals can also be
used to detect the incipient failures of the machine
components, through the on-line monitoring system,
reducing the possibility of catastrophic damage and the
machine down time. Some of the recent works in the
area are listed in Shiroishi et al. (1997), McFadden
(2000), Nandi (2000), Randall (2001), Al-Balushi and
Samanta (2002), Antoni and Randall (2002), McCormick and Nandi (1997) and Dellomo (1999). Although
*Corresponding author. Tel.: +968-515-355; fax: +968-513-315.
E-mail address: samantab@squ.edu.om (B. Samanta).
0952-1976/$ - see front matter r 2003 Elsevier Ltd. All rights reserved.
doi:10.1016/j.engappai.2003.09.006
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658
Feature Extraction
GA based selection of
features and parameters
Is ANN/ SVM
Training
Complete ?
No
No
Yes
Is GA based
selection over?
Yes
Trained ANN/ SVM with selected features
2. Vibration data
Fig. 2 shows the schematic diagram of the experimental test rig. The rotor is supported on two ball
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659
3. Feature extraction
3.1. Signal statistical characteristics
One set of experimental data each with normal and
defective bearings was considered. For each set, 2
vibration signals consisting of 49,152 samples (qi ) were
obtained using accelerometers in vertical and horizontal
iqk qk qk 1:
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1
1
Normal
Defective
Signal x
0.5
0.5
0.5
0.5
0.5
-0.5
0
20
40
20
40
-1
20
40
20
40
0.5
0.5
20
40
20
40
Signal y
0.5
0.5
0.5
0
-0.5
20
40
20
40
-1
20
40
20
40
0.5
0.5
Signal z
0.5
0.5
0.5
0
-0.5
20
40
Feature 2
20
40
Feature 3
-1
20
40
Feature 4
20
40
Feature 6
20
40
Feature 8
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wARN ;
bAR;
{ x | (w.x) +b = +1}
and
w x b 1:
i 1; y; l;
10
12
where xARN and sARQ : Fig. 5 shows the transformation from input space to feature space where the
nonlinear boundary has been transformed into a linear
boundary in feature space. Substituting the transformation in (11) gives
!
l
X
f x sign
ni fx fxi b :
13
i1
x1
{ x | (w.x) +b = -1}
661
yi=+1
Input space
yi= - 1
Feature space
x2
(x)
{ x | (w.x) +b = 0}
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15
i1
16
17
7. Simulation results
6. Genetic algorithms
Genetic algorithms (GAs) have been considered with
increasing interest in a wide variety of applications
(Goldberg, 1989; Michalewicz, 1999; Tang et al., 1996).
These algorithms are used to search the solution space
through simulated evolution of survival of the ttest.
These are used to solve linear and nonlinear problems
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the rst output node of was set 1 and 0 for normal and
failed bearings, respectively, and the values were interchanged (0 and 1) for the second output node. For
SVMs, the target values were specied as 1 and 1,
respectively, representing normal and faulty conditions.
Results are presented to see the effects of sensor location
and signal processing for diagnosis of machine condition
using ANNs and SVMs without and with feature
selection based on GA. The training success for most
cases was 100%.
7.1. Performance comparison of ANNs and SVMs
without feature selection
In this section classication results are presented for
straight ANNs and SVMs without feature selection. For
each case of straight ANNs, number of neurons in the
hidden layer was kept at 24 and for straight SVMs, a
constant width (s) of 0.5 was used. These values were
chosen on the basis of training trials.
7.1.1. Effect of sensor location
Table 1 shows the classication results for each of the
signals using all the input features (145). The test
success of SVMs was slightly higher than with ANNs for
signals x and z: The test success was in the range of
81.2593.75% for ANNs and 75.0095.83% for SVMs.
7.1.2. Effect of signal pre-processing
Table 2 shows the effects of signal processing on the
classication results for straight ANNs and SVMs with
all three signals (x2z). In each case, all the features from
the signals without and with signal processing were
used. The test success of straight ANNs was in the range
of 84.0398.61% whereas it was 88.8997.92% for
SVMs. For both types of classiers, test success was
worst with the features from original signals (without
preprocessing), whereas performance was best with the
features from derivative and integral of the signals.
7.2. Performance comparison of ANNs and SVMs with
feature selection
In this section, classication results are presented for
ANNs and SVMs with feature selection based on GA. In
each case, only three features were selected from the
corresponding range of input features. In case of ANNs,
the number of neurons in the hidden layer was selected in
the range of 1030 whereas for SVMs, the RBF kernel
width (s) was selected in the range of 0.22.0 with a step
size of 0.2. The ranges and increments were chosen based
on trial runs keeping the computation at reasonable level.
7.2.1. Effect of sensor location
Table 3 shows the classication results along with the
selected parameters for each of the signals. In all cases,
663
Table 1
Performance comparison of classiers without feature selection for
different sensor locations
Dataset
Signal x
Signal y
Signal z
Input features
145
145
145
SVM (s 0:50)
93.75
81.25
85.42
95.83
75.00
95.83
Table 2
Performance comparison of classiers without feature selection for
different signal preprocessing
Dataset
Signals x2z
Derivative/integral
High-/low-pass ltering
Input features
19
1027
2845
SVM
(s 0:50)
84.03
98.61
96.88
88.89
97.92
95.14
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Table 3
Performance comparison of classiers with feature selection for different sensor locations
Dataset
Signal x
Signal y
Signal z
GA with ANN
Input features
Input features
Width (s)
13, 19, 42
27, 33, 41
21, 40, 41
10
26
18
97.92
93.75
100
20, 41, 42
3, 11, 39
11, 21, 44
0.20
0.20
0.20
97.92
81.25
100
Table 4
Performance comparison of classiers with feature selection for different signal preprocessing
Dataset
Signals 14
Derivative/integral
High-/low-pass ltering
GA with ANN
Input features
Input features
Width
4, 5, 6
14, 15, 22
39, 41, 42
27
25
10
82.64
98.61
99.31
1, 5, 6
14, 16, 20
30, 31, 39
1.40
0.60
0.20
87.50
97.22
97.22
Table 5
Performance comparison of classiers with different number of features
Classier
Number of features
Features
Straight ANN
GA with ANN
GA with ANN
45
3
6
145
4, 14, 18
5, 13, 23, 30, 32, 39
24
21
25
85.06
99.31
100
Straight SVM
GA with SVM
GA with SVM
45
3
6
145
19, 37, 38
5, 23, 24, 30, 33, 39
8. Conclusions
A procedure is presented for diagnosis of bearing
condition using two classiers, namely, ANNs and SVMs
with GA-based feature selection from time-domain
vibration signals. The selection of input features and
the appropriate classier parameters have been optimized
using a GA-based approach. The roles of different
vibration signals and signal preprocessing techniques
have been investigated. The performance of SVM have
been found to be substantially better than ANN with the
entire feature set. The use of GAs with only six features
0.50
0.80
0.20
98.61
98.61
100
Acknowledgements
The nancial support from Sultan Qaboos University
grant IG/ENG/MIED/01/01 to carry out the research is
gratefully acknowledged.
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