hceedings of The

I%$E International Conference

onhdustrial Technology, 19%
Computational Intelligence Based Machine Fault Diagnosis
D. D. WANG, Debing YANG, Jinwu XU & Ke XU
Faculty of Mechanical Engineering
University of Science and Technology Beijing
Tel: (8610) 6233 2329
Email: idmyang@public3 .bhnet.Cn
Beijing 100083, CHINA
ABSTRACT B Machine fault diagnosis is a well
established area where specific techniques are to
determine fault patterns or locations. In recent years, there
are many studies about this issue by means of model based
approach, probabilistic method, knowledge based approach
and Neural Networks based approach et al. With the
progress of the study of biology, evolutionary thought has
extended into engineering problems solving. More interests
have been shown in this field. The investigation will
describe two unsupervised clustering paradigms, they are
Kohonens Self-organizing Scheme and Genetic
Algorithm (GA) based heuristic searching for machine
fault classification. In case study, 8 multiple faults
classification problem has been attacked. Solutions
generated from the GA bad systemare compared with
that from Self-organization Neural Networks, and the
result is given. And the case study has shown that the
proposed approaches are flexible enough to be used in
practical fault diagnosis.
I INTRODUCTION
The investigation and implementation of intelligent
systems has been a perpetual goal of researchers and
engineers. Much contribution has been made under the
umbrella term of computational intelligence, which covers
the fields of neural networks, fuzzy systems and
evolutionary computation. Recently, evolving artificial
intelligence has been focused on by many research
scientists. Technical papers and products related to this
field have been steadily increasing in past years. Industry
has greatly benefited from adopting these technologies to
address a variety of engineering problems.
The purpose of our research was to apply SOM and GA
techniques to the field of machine fault diagnosis B fault
pattern recognition for rolling element bearings. The SOM
serves the kernel of the diagnosis system. The main
hcti on is to self-organize a feature map of complex
vibration signals corresponding to different ault patterns.
Each fault pattern is a high dimensional vector composed
of some key features extracted fromthe vibration signals.
By unsupervised learning, the SOM is formed. Then it can
\?e viewed as a nearest neighbor classifier to measure all
distances between input pattern and all neuions in the
entire map and determine the best matching node B
representing one of the fault patterns. We also studied
Genetic Algorithms for clustering based on its adaptive and
robust search over a wide range of search space topologies.
mjority rate is firstly suggested as the fitness function
during the clustering process. Darwinian principles of
natural selection guide the algorithms to implement four
basic genetic operators: reproduction, selection, crossover
and mutation. The results generated from these two
methods were compared. and reported.
H. SELF-ORGANIZING SCHEME
Kohonens SOM is well known as a nonlinear projection
of the probability density fimction of the high-dimensional
input vector onto a two-dimensional display. The basic
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principle of the self-organization is winner-take-all, that is,
the learning process is based on competition. During tk
learning process, the neuron with the nearest distance to
the input vector is declared to be the winner. The weights
of the neuron and its neighbors within the radius of defined
neighborhood are adjusted according to the formula (1):
mi ( t -I- 1 1) =m, ( t ) +h, , ( t ) [ x( t ) - mi(t)] (1)
where, x(t ) is the input data vector; mi is the winner
during learning according to the weighted Euclidean
distance equation (2); m , ( t ) and m ( t +1 ) are weight
vectors at the iteration t and f +1 , respe&vely; and
hci (t) is the neighborhood kernel. It is defined as
foilows:
(3)
where a( t ) is the learning rate. Normally it is the
inverse-time type function defined as:
a ( t ) =a ( 0 ) N / ( N +l o o t ) (4)
In equation (4), N is the total number of iterations in
training. After the feature map has been created by the
unsupervised learning, the map units can be labeled
according to the majority of labels hitting a particular map
unit, using a number of typical and known input data
samples by searching for the best matches on the map
according to the equation (2). The labeled map is then
employed to assign unknown testing data vectors to the
same classes as the corresponding best matched map units.
ILI. GENETIC MODEL FOR THE CLUSTER
PROBLEM
The approach of Genetic Algorithms was proposed by
Holland (1969, 1975) to bean efficient search mechanism
in intelligent systems. Though it has been growing since
the early 1970s, only recently it has yielded rad-world
practical applications that demonstrate commercial
potential. The main operations in the GA include parent
selection, r&roduction, crossover, and mutation. The sal
of these operators is to generate meaningful offspring.
Figure 1 shows a general sketch of the procedure of a GA.
A major issue in the GA formulation is the choice of fitness
function. In many engineering problems, the objective
function to be optimized is difficult to bedefined, while the
function can only be described as a statistical result. You
only know what kind of objective values are better than
orhers; however, you cannot be confident that where the
global minimum or maximum point is, and how the
objective function looks like. To attack this problem, we
suggest a so-called conceptual fitness function. It is a kind
of description defined over the statistical or estimated
results of how the offspring falls into an ideal objective area.
In the following case study on fault classification of a
rolling clement bearing, wepropose a concepaJdl fitness
function named majority rate. Consider the classification
of an input vector, which has to be classified in 1 of N
classes. For an individual of population, its fitness is
computed as follows:
where i is the pattern index, i E [ l , N] ; K is the number
specified for the majority vote of the individuals nearest
neighbors in the input Vectors; n, is the number of the
neighbors belonging to the class i in all K nearest
neighbors; 5 is defined as the majority rate of that the
individual falls into the pattern i . The fitness of the
individual is assigned to the maximum value of all
majority rates corresponding to all patterns. individuals
with larger fitness values will be high ranked. After the
evolving process, the finally left high ranked individuals
tend to form boundpies among the classes. Thus, an
unknown testing data vector can be assigned to a class by
K
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KNN majority vote of the final population.
Initialize population
for generation =1 to number-of_generations
Evaluate each individual in population
Rank order the population
for i =1 to (size-ofgopulation / 2)
Select two parent genomes by roulette-wheel selection
Cross and mutate to generate two child genomes
Evaluate the two child genames
Insert the child genomes in order into population
Delete two lowest-ranked genomes in the population
end
end
Figure 1. The general procedure of a GA
IV. THE CASE STUDY
Rolling element bearings are key parts for safely
transferring the working load from the rotating element to
the machine body with small motion resistance in rotating
machine. However, in practices they are easily damaged
during the operating process. It was reported that 30
percent of machine breakdown was resulted from the
rolling element bearings. Thus, to recognize the bearing
faults is a very important issue for maintenance engineers
to anal%@ and find out the fault roots. In this study, we
employ the above mentioned SOM and GA approaches to
recognize the operating states of a rolling element bearing
SKF 1205E. They are normal condition, outer race spalling,
inner race spalling, and rolling element spalling. The
experiment was done via a laboratory test rig. For the faults
in the rolling element bearings, a series of impacts are
produced. They repeat periodically at the following four
bearing characteristic frequencies:
1)
the ball-passing fresuency outer-race (BPFO) for a
fault on tde outer race,
2)
3)
4)
the ball-passing frequency inner-race (I4PFI) for a
fault on the inner race,
the ball-spin frequency (SSF) for a fault on the ball,
and
the fundamental train fiequency 0 for a fault on
the cage.
In the experiment, the shaft rotation frequency (RPM) is
23.2 Hz. To extract the features from the bearing vibration
signals, weemployed the virtual instnunentation technique
to automatically pick up all useful features. Most of the
features are extracted by envelope detection of the
frequency analysis zoomed at the structural resonance
frequency of the high frequency band. The features are
illustrated as follows:
1)
2)
3) The component at RPM,
4) The component at BPFO,
5 )
6) The component at BPFI,
Maximum peak in the spectrum,
The total RMS value in the spectrum,
The cdmponent at the second harmonic of BPFO,
The component at the second harmonic of BPFI,
Sumof the amplitudes of the sidebands at the RPM
spacing around BPFI,
Sum of the amplitudes of the sidebands at the RPM
spacing around 2 x BPFI,
The component at BSF,
The component satthe second harmonic of BSF,
Sumof the amplitudes of the sidebands at the FTF
Spacing around BSF,
Sum of the amplitudes of the sidebands at the FTF
Spacing around 2xBSF, and
Sum of the components at BSF / 2, 3 x BSF / 2, 5 x
BSF/2,and7xBSF/2.
A. Results Generated from SOM
In this experiment, the SOM is designed as follows: the
lattice type of the SOM is selected to be hexagonal, and the
neighborhood function type is step function. Several maps
with different sizes are tested. They are 12x8, 10x8, 10x6,
8x6, 8x4, 6x4. The percentage of correctly classified test
cases is reported in Table 1. The results are generated from
the different maps mentioned above. The learning rate is
defined as the inverse-time type function described as
fonnula (4). Training process includes two phases. One is
the ordering phase during which the reference vectors of
the map neurons are ordered. Another is fine-tuned phase.
In the first phase, the initial learning rate is assigned to
0.05; the neighborhood radius is specified as 6 and
decreases to one during the training; and the number of
learning iterations are assigned to 1000. During the second
phase, the initial learning rate is assigned to 0.02, the
number of learning iterations is 10000, and the
neighborhood radius is assigned to 3 and decreases to 1
during the training. There are total 120 samples for
training, and 118 samples for testing. The testing data is
independent of the training data. In the training set, there
are 30 samples for each of the four fault patterns. The
feature maps are shown in Figure 2 - 5 when the training
data was employed to label the neurons of the maps. The
labels N, O, Iy, B and U refer to normal condition,
outer race spalling, inner race spalling, rolling element
qahg, and inactive neurons, respectively. By plotting
each of the neuron labels at their respective positions in the
feature maps, dear topological structures are observed.
B. Results Generated from the GA
To get a satisfactory solution of the case study, wetested
several GA models with different parameters. Among these
models, the model with the best performance is reported
here. The total number of trials is specified as 5000;
population size is assigned to 50; the length of binary bit
string, that is, structure length is 206; crossover rate is
assigned to 0.70; mutation rate is specified as 0.05; and
.generation gap is assigned to 1.0. Based on the evolving
process described in the figure 1, the fault patterns were
classified, and the results are satisfactory. In all four
operating cunditions of the bearing, a classification rate of
93.22% was achieved. The percentage is calculated on the
basis of correctly classified test cases out of all 118 test
samples. Both learning and testing data are the same as that
used in the SOM.
V. CONCLUSIONS
This paper has investigated both unsupervised SOM
competitive algorithm and unsupervised GA for clustering.
The results show that they are effective for recognizing the
bearing faults. It should be pointed out that they are robust
for finding appropriate clustering. This is very important
for practical measurement environment in noisy factories.
The case study demonstrates that the proposed two
paradigms are applicable and attractive for both researchers
and maintenance engineers.
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N N N N U O O O O U
N N N U O U O O U O
B B N U U O O O O O
B U U U U U O O U U
B B B U U U U U U U
B B B U I I U I U I
B B B U I U I U U U
B B B U I I I I I I
Figure 2. 10 x 8 map
~~
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B B B U I I
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Figure4. 6x4map
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N N N U I I I I
N N U I I I U I
B U B B U U I I
4 B B B U O U U U
B U B U O O O O
B B B U O O O O
Figure3. 8x6map
O U I I I U N N
O U I I I U N N
O O O U B B B B
Figures. 8x4map
Table 1. Results generated from different maps
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