Kalyan M. Bhavaraju et al.

/ International Journal of Engineering Science and Technology

Vol. 2(5), 2010, 1001-1008

A Comparative Study on Bearings Faults

Classification by Artificial Neural Networks
and Self-Organizing Maps using Wavelets

KALYAN M. BHAVARAJU*, P. K. KANKAR, SATISH C. SHARMA, AND S. P. HARSHA

Vibration and Noise Control Laboratory
Mechanical and Industrial Engineering Department
Indian Institute of Technology Roorkee-247667
Abstract
This paper presents a comparative study between soft computing techniques Artificial Neural networks (ANN)
and Self-Organizing Maps (SOM) using continuous wavelet transform (CWT) for fault diagnosis of rolling
element bearings. Six different base wavelets three real valued and three complex valued are considered. Out of
these six wavelets, the base wavelet minimizing the Shannon Entropy is selected to extract statistical features
from wavelet coefficients of raw vibration signals. Finally, bearing faults are classified using these statistical
features as input to two soft computing techniques i.e. ANN and SOM. Complex Morlet wavelet is selected
based on Shannon Entropy Criterion using proposed methodology. The test results show that the ANN identify
the fault categories of rolling element bearing more accurately and has a better diagnosis performance compared
to the SOM.
Keywords: Continuous Wavelet Transforms, Shannon Entropy, Artificial Neural Networks, Self-Organizing
Maps

NOMENCLATURE
Symbol

Quantity

yk
xpi
wjk

Output vector
ith input of the pth input vector
Synaptic weight between hidden and
output layer
Scale number
Energy probability distribution
Shannon Entropy of nth scale
ith wavelet coefficient of nth scale
Energy of nth scale

n
pi
Sentropy(n)

Cn,i

E(n)
1. INTRODUCTION

Rolling element bearings are used in a wide variety of rotating machinery from small hand-held devices to
heavy duty industrial systems and are primary cause of breakdowns in machines. Condition monitoring of
rolling element bearings using vibration signature analysis is most commonly used to prevent breakdowns in
machinery. To analyze vibration signals different techniques such as time, frequency and time-frequency
domain are extensively used. The complex and non-stationary vibration signals with a large amount of noise
make the bearing faults very difficult to detect by conventional time domain and frequency domain analysis
which assumes that the analyzed signal to be strictly periodic. Therefore, development of method of
conditioning the signal is necessary for features extraction.
Samantha and Balushi [1] have presented a procedure for fault diagnosis of rolling element bearings through
artificial neural network (ANN). The characteristic features of time-domain vibration signals of the rotating
machinery with normal and defective bearings have been used as inputs to the ANN. Lei et al. [2] have proposed
a method for intelligent fault diagnosis of rotating machinery based on wavelet packet transform (WPT),
empirical mode decomposition (EMD), dimensionless parameters, a distance evaluation technique and radial
basis function (RBF) network. The effectiveness of wavelet-based features for fault diagnosis of gears using

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Vol. 2(5), 2010, 1001-1008

support vector machines (SVM) and proximal support vector machines (PSVM) has been revealed by Saravanan
et al. [3]. Yang et al. [4] have proposed a method of fault feature extraction for roller bearings based on intrinsic
mode function (IMF) envelope spectrum. Li et al. [5] have shown that the feature vectors obtained by the FFT,
wavelet transform, bi-spectrum, etc., can be used as fault features and the HMMs as the classifiers to recognize
the faults of the speed-up and speed-down process in rotating machinery. Fault diagnosis of turbo-pump rotor
based on support vector machines with parameter optimization by artificial immunization algorithm has been
done by Yuan and Chu [6]. Various artificial intelligence techniques are used with wavelet transforms for fault
detection in rotating machines [7-9].
In present work, a methodology is proposed for selection of most appropriate wavelet and to determine scale
corresponding to characteristic defect frequency based on Minimum Shannon Entropy Criterion. To convert the
complex vibration signals into simplified signals with more resolution in time and frequency domain, these raw
signals are divided into 27 sub-signals. Six different wavelets are considered each with 27 sub-signals i.e. 128
scales. In order to select the best base wavelet for rolling element bearings fault diagnosis, Shannon Entropy for
each wavelet is calculated. Statistical features are calculated from wavelet coefficients and fed as input to
machine learning techniques i.e. Artificial Neural Network (ANN) and Self-Organizing Maps (SOM). The
results show that the proposed methodology can extract useful features from the original data and dimension of
original data can be reduced by removing irrelevant features.
2.

MACHINE LEARNING TECHNIQUES

Machine learning is an approach of using examples (data) to synthesize programs. In the particular case when
the examples are input/output pairs, it is called Supervised Learning. In a case, where there are no output values
and the learning task is to gain some understanding of the process that generated the data, this type of learning is
said to be unsupervised. Various machine learning techniques such as Artificial Neural Network (ANN),
Support vector machines and Self-Organizing Maps (SOM) etc. may be used for fault diagnosis [10, 11]. In the
present study, a supervised machine learning technique ANN and SOM as an unsupervised machine learning
technique are considered. Pattern recognition and classification using machine learning techniques are described
here.
2.1 Artificial Neural Network
Artificial Neural Network is an interconnected group of artificial neurons. These neurons use a mathematical or
computational model for information processing. ANN is an adaptive system that changes its structure based on
information that flows through the network [10].
A single neuron consists of synapses, adder and activation function. Bias is an external parameter of neural
network. Model of a neuron can be represented by following mathematical model.
p

yk ( wki xi wk 0 )
i 1

(1)

Input vector comprising of p inputs multiplied by their respective synaptic weights, and sum off all weighted
inputs. A threshold (bias) is used with constant input. Activation function converts output into a limited range
output. Intelligence of neural network lies in the weights between neurons. Back Propagation (BP) algorithm is
most widely used as learning algorithm for calculating synaptic weights.
2.2 Self-Organizing Maps
Self-organizing maps are special class of ANN and are based on competitive learning. In self-organizing maps,
the neurons are placed at the nodes of a lattice that is usually one or two dimensional. The neurons become
selectively tuned to various input patterns or classes of input patterns in the course of a competitive learning
process. The location of neuron so tuned (winning neurons) becomes ordered with respect to each other in such
a way that a meaningful co-ordinate system for different input features is created over the lattice.
A SOM is therefore characterized by the formation of a topographic map of the input patterns in which the
spatial locations of the neurons in the lattice are indicative of intrinsic statistical features contained in the input
patterns, hence self-organizing map. The type of SOM used in the present study is Kohonen model as shown in
Fig. 1.

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Vol. 2(5), 2010, 1001-1008

Two dimensional
array of postsynaptic
neurons
Winning
neuron
Bundle of
synaptic
connections

Input

Fig. 1 Kohonen Model of SOM.

3. EXPERIMENTAL SETUP
The problem of predicting the degradation of working conditions 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 (Fig. 2) 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 LabVIEW 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/sec). A remote optical sensor with a visible red LED light source is used to
measure rotor speed. Piezoelectric accelerometers (IMI 603C01) are used for picking up the vibration signals
from various stations on the rig. These accelerometers are having measurement range as 490m/s2. Table-1
shows dimensions of the Ball Bearings taken for the study. Piezo-electric accelerometers are used for picking up
the vibration signals from various stations on the rig.

Fig. 2

Experimental setup: (1) Digital encoder; (2) Variable speed control; (3) Motor; (4) Enclosure; (5) Flexible coupling; (6)
Accelerometer; (7) Bearing housing; (8) Tested bearing; (9) Rotor; (10) Load disc; (11) Base; (12) Alignment adjustor; (13)
Magnetic load system; (14) Gearbox

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TABLE 1
PARAMETERS OF BEARING

Parameter
Outer race diameter
Inner race diameter
Ball diameter
Ball number
Contact angle
Radial Clearance

Value
28.262 mm
18.738 mm
4.762 mm
8
0
10 m

As a first 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. 3. A variety
of faults on bearings are simulated on the rig at different rotor speed 250, 500, 1000, 1500 and 2000 rpm.
Following five bearing conditions are considered for the study:
1. Healthy bearings (HB)
2. Bearing with spall on inner race (BSIR)
3. Bearing with spall on outer race (BSOR)
4. Bearing with spall on ball (BSB)
5. Combined bearing component defects (CBD)
Spall

Spall

(a) Outer Race with spall

4.

(b) Inner Race with spall

Fig. 3 Bearing Components with faults induced in them

(c) Ball with spall

MINIMUM SHANNON ENTROPY CRITERION

Total six 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 coefficients.
Energy content of signal at nth scale is given by

,
(2)
where m is the number of wavelet coefficients and Cn,i is the ith wavelet coefficient of nth scale.
The Shannon Entropy of wavelet coefficients is given as
.

(3)
Where pi is the energy probability distribution of the wavelet coefficients, defined as

(4)

1, and in the case of pi = 0 for some i, the value of .

is taken as zero.
With
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 simplified signals with more resolution in time and frequency
domain, these raw signals are divided into 27 sub-signals i.e. 128 scales in seventh level of decomposition.
3) For healthy and faulty bearings, continuous wavelet coefficients (CWC) of vibration signals are calculated
using six different mother wavelets in which three from real valued as Meyer, Coiflet5, Symlet2 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 five bearing conditions i.e. BSB, BSIR,
CBD, HB and BSOR.
5) Sum of the mentioned average of the five bearing conditions is determined for each scale (27).
6) The total Shannon Entropy for each wavelet is calculated by adding Sum of the mentioned average of all
the scales.
7) The wavelet having Minimum Shannon Entropy is considered for fault diagnosis of rolling element bearing.

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Vol. 2(5), 2010, 1001-1008

The flowchart for above mentioned methodology is shown in Fig. 4. 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. 5 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. 5(a), Fig. 5(b) and Fig. 5(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 affect on machine vibrations. While for combined bearing component defects, Fig. 5(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. 5(d). Fig. 5 clearly indicates that Minimum Shannon
Entropy criterion applied in this study can be effectively used for fault diagnosis of rotor bearing system.
30 sample signals
for BSB
3 Real Valued
Wavelets

30 sample signals
for BSIR

30 sample signals
for CBD

3 Complex Valued
Wavelets

Signal Decomposition using

Wavelet Transform

Raw Vibration
Signals

30 sample signals for

HB

Shannon
Entropy (n)

30 sample signals
for BSOR

Average n
of BSB

Average n
of BSIR

Average n
of CBD

Average n
of HB

Average n
of BSOR

S = Sum of the calculated Average in bearing conditions in each scale

T = total of S corresponding to all scales

Select wavelet which minimizes T

Fig. 4 Flowchart for wavelet selection criteria

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Vol. 2(5), 2010, 1001-1008

Fig. 5 Rotor running at speed of 2000 rpm with no loader (a) BSB (b) BSIR (c) CBD (d) HB (e) BSOR

5.

FEATURE EXTRACTION AND FAULTS CLASSIFICATION

Complex Morlet wavelet is selected as best base wavelet among the other wavelets considered from the
proposed methodology. The CWC of all the 150 signals with Complex Morlet as a base wavelet are calculated
at seventh level of decomposition (27 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 27 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.
The statistical features that are considered in the present study are
1) Kurtosis: A statistical measure used to describe the distribution of observed data around the mean. Kurtosis
is defined as the degree to which a statistical frequency curve is peaked.(5)
x x
3 n 1
n n 1

Kurtosis
n 1 n 2 n 3
n 2 n 3
s
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.
x x
n
Skewness
s
n 1 n 2
3) Standard Deviation: Standard deviation is measure of energy content in the vibration signal.
StandardDeviation

(6)

(7)

These statistical features are fed as input to the machine learning algorithms ANN and SOM for faults
classification. 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
component 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 Coefficients (CWC) of the vibration signals are calculated at the seventh level of
decomposition (27 scales for each sample). These coefficients are calculated for all six mother wavelets,

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Vol. 2(5), 2010, 1001-1008

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 six mother wavelets based on
minimum Shannon Entropy Criterion.
5) Statistical Features like Kurtosis, Skewness and Standard Deviation are calculated from the wavelet
coefficients corresponding to scales having the minimum Shannon Entropy.
6) These three statistical features are calculated for each horizontal and vertical response. So, total six
statistical features along with loader condition and rotor speed are fed as input to the machine learning
algorithms ANN, SOM for faults classification.
6.

RESULTS AND DISCUSSIONS

In the present study, training and testing of the classifiers ANN and SOM has been carried out. 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 [12]. 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 2. 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.
TABLE 2

Amplitude of Features

SAMPLE INPUT VECTOR FOR ANN/SOM

Horizontal Response
Kurtosis
Skewness
Standard
Deviation
10.83371
2.219912
0.00022
11.07509
2.328135
0.002189
6.465513 1.50172
0.000543
5.105068
1.251012
9.59E-05
6.461471
1.54027
0.000284
11.52051
2.097072
0.000249
11.93591
2.410487
0.000198
4.630504
1.210162
0.000193
5.553487
1.400872
0.000348
7.704414
1.519889
0.000105
6.118728
1.480516
0.000204
4.282953
1.093893
0.000264
14.40096
2.558341
0.0002
6.202332
1.447155
0.000246
5.107758
1.28273 0.000466

Kurtosis
44.70497
22.66564
16.52251
54.83589
5.805013
7.707975
7.281817
13.42329
10.68352
6.478991
4.864674
5.511267
31.59812
25.01716
8.521063

Features
Vertical Response
Skewness
Standard
Deviation
4.753333
0.000702
3.398547
0.001975
2.751154
0.00444
4.1949
0.000118
1.464965
0.000217
1.741795
0.000371
1.735277
0.000209
2.375881
0.000467
2.191045
0.001183
1.578542
0.000399
1.254669
0.000205
1.36593
0.000297
4.54973
0.001268
3.508182
0.00568
2.24933
0.030608

Loader

Speed

Class

0
0
0
1
1
1
1
1
1
2
2
2
2
2
2

1000
1500
2000
1000
1500
2000
1000
1500
2000
1000
1500
2000
1000
1500
2000

BSB
BSB
BSB
BSIR
BSIR
BSIR
CBD
CBD
CBD
HB
HB
HB
BSOR
BSOR
BSOR

Table 3 and 4 show the test results as confusion matrices for each of the two techniques i.e. ANN and SOM.
Total 75 numbers of instances are obtained in which 15 cases are considered with each of BSB, BSIR, CBD, HB
and BSOR respectively. From the Table 3, it is inferred that ANN has correctly predicted 13, 14, 15, 15 and 14
instances, while Table 4 shows that SOM has classified 13, 10, 12, 8 and 13 instances.
TABLE 3
CONFUSION MATRIX FOR ANN

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BSB

BSIR

CBD

HB

BSOR

13
0
0
0
0

0
14
0
0
1

1
0
15
0
0

0
1
0
15
0

1
0
0
0
14

Classified
as
BSB
BSIR
CBD
HB
BSOR

1007

Kalyan M. Bhavaraju et al. / International Journal of Engineering Science and Technology

Vol. 2(5), 2010, 1001-1008

TABLE 4
CONFUSION MATRIX FOR SOM

BSB

BSIR

CBD

HB

BSOR

13
3
1
3
0

0
10
0
1
1

0
0
12
0
1

0
1
0
8
0

2
1
2
3
13

Classified
as
BSB
BSIR
CBD
HB
BSOR

Table 5 shows accuracy associated with each technique for faults classification. For this study, classification
accuracy and Kappa statistic shows that ANN is a better classifier than SOM. The correctly classified instances
for ANN and SOM are 94.6667% and 74.6667% respectively.
TABLE 5
EVALUATION OF THE SUCCESS OF NUMERIC PREDICTION

Parameters

7.

ANN

SOM

Correctly Classified Instances

71(94.6667%)

56(74.6667%)

Incorrectly Classified Instances

4(5.3333%)

19(25.3333%)

Kappa statistic

0.9333

0.68

Total Number of Instances

75

75

CONCLUSION

This study presents a methodology for detection of bearing faults by classifying them using two soft computing
techniques, namely, ANN and SOM. Methodology incorporates most appropriate wavelet selection based on
Minimum Shannon Entropy criterion. Complex Morlet wavelet is considered for the fault diagnosis among the
six mother wavelets considered. The responses observed for different fault condition of bearing shows that
minimum Shannon entropy is obtained for bearings with inner race fault. The classification accuracy obtained
for ANN is 94.6667% which is better than SOM (74.6667%). The results show the potential application of these
soft computing techniques for developing effective maintenance strategies to prevent catastrophic failure and
reduce operating cost.
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