Neurocomputing 99 (2013) 399–410

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Neurocomputing
journal homepage: www.elsevier.com/locate/neucom

Multi-fault classification based on wavelet SVM with PSO algorithm

to analyze vibration signals from rolling element bearings
Zhiwen Liu, Hongrui Cao n, Xuefeng Chen, Zhengjia He, Zhongjie Shen
State Key Laboratory for Manufacturing Systems Engineering, Xi’an Jiaotong University, Xi’an 710049, People’s Republic of China

a r t i c l e i n f o abstract

Article history: Condition monitoring and fault diagnosis of rolling element bearings timely and accurately is very
Received 4 November 2011 important to ensure the reliable operation of rotating machinery. In this paper, a multi-fault
Received in revised form classification model based on the kernel method of support vector machines (SVM) and wavelet frame,
11 March 2012
wavelet basis were introduced to construct the kernel function of SVM, and wavelet support vector
Accepted 29 July 2012
machine (WSVM) is presented. To seek the optimal parameters of WSVM, particle swarm optimization
Communicated by A.M. Alimi
Available online 15 August 2012 (PSO) is applied to optimize unknown parameters of WSVM. In this work, the vibration signals
measured from rolling element bearings are preprocessed using empirical model decomposition (EMD).
Keywords: Moreover, a distance evaluation technique is performed to remove the redundant and irrelevant
Fault diagnosis
information and select the salient features for the classification process. Hence, a relatively new hybrid
Rolling element bearings
intelligent fault detection and classification method based on EMD, distance evaluation technique and
Wavelet support vector machine
Particle swarm optimization WSVM with PSO is proposed. This method is validated on a rolling element bearing test bench and then
Empirical model decomposition applied to the bearing fault diagnosis for electric locomotives. Compared with the commonly used SVM,
Distance evaluation technique the WSVM can achieve a greater accuracy. The results indicated that the proposed method can reliably
identify different fault patterns of rolling element bearings based on the vibration signals.
& 2012 Elsevier B.V. All rights reserved.

1. Introduction developed by Vapnik (1999) [12], is a new machine learning method

As a critical component, rolling element bearing is widely used
in rotating machinery. Bearings are required to run with high
reliability, and the occurrences of faults may lead to fatal break-
downs of machines. Therefore, it is significant to accurately detect
and diagnose the existence and severity of the faults occurring in
the bearings [1,2].
With the development of manufacture industry, there is a great
demand for automated intelligent diagnostics techniques that can
give accurate recognition and prediction results in the condition
monitoring and diagnosis of machinery. At present, artificial intel-
ligent methods have been widely used in the area of machinery fault
diagnosis, such as expert systems [3–5], artificial neural networks
(ANN) [6,7] and fuzzy logic [8,9]. These methods are based on an
empirical risk minimization principle and have some disadvantages
such as local optimal solution, low convergence rate, obvious ‘‘over-
fitting’’ and especially poor generalization when the number of fault
samples is limited [10,11]. In most fault diagnosis cases based on the
artificial intelligent methods, the lack of fault samples is the main
bottleneck problem. The methods with poor generalization may
lead to wrong diagnostic results. Support vector machine (SVM),
n
Corresponding author. Tel./fax: þ 86 29 82663689.
E-mail address: chr@mail.xjtu.edu.cn (H. Cao).
based on the statistical learning theory, which solves the problem of
‘over-fitting’, local optimal solution and low convergence rate. Due
to its high accuracy and good generalization even when the samples
are few, some researchers have employed the SVM as a tool for the
classification of mechanical faults including bearing [2,13], gear [11],
turbo-pump [14] and induction motor [15].
Kernel function plays a very important role in the performance
of the SVM method. The basic idea of SVM is that the kernel
function (such as linear, polynomial or Gaussian functions) is
used to map the input data into a higher dimensional feature
space so that the (classification) problem becomes linearly separ-
able [16]. In recent years, the combination of wavelet theories
and SVM, namely, wavelet support vector machine (WSVM)
has drawn considerable attention due to the powerful nonlinear
mapping ability of SVM and the ability of wavelet kernel
functions to locally analyze and extract characteristic features
from time series. Successful implementations of WSVM have
been reported in the medical field [17], stock market [18],
induction machine fault diagnosis [19], etc. However, the applica-
tion of WSVM in the fault diagnosis of rolling bearings is still
uncommon.
However, in the practical application of SVM, an existed
problem is that how to select SVM parameters so that the
performance of SVM can be brought into the best. The parameters
that should be optimized include the penalty parameter C and the

0925-2312/$ - see front matter & 2012 Elsevier B.V. All rights reserved.
http://dx.doi.org/10.1016/j.neucom.2012.07.019
400 Z. Liu et al. / Neurocomputing 99 (2013) 399–410

Fig. 1. (a) Architecture of SVM and (b) ‘‘RBF’’ kernel.

kernel function parameters such as the width parameter (s) for
the radial basis function (RBF) kernel. Particle swarm optimiza-
tion (PSO), proposed by Kennedy and Eberhart [20,21] and
inspired by social behavior of bird flocking or fish schooling is a
global optimization technique. Recently, numerous researches on
PSO theories or applications have been successfully applied to
solve multi-dimensional optimization problem [22], artificial
network training [23–25], fuzzy system control [26,27], and so
on. Therefore, this study combines of the PSO with the WSVM
classifier to effectively improve the solving efficiency and quality.
On the other hand, for the fault diagnosis of machinery, feature
extraction and condition evaluation are two crucial steps. As we
know, while a rolling element bearing with faults is operating, the
generated vibration signals are very complicated with the fea-
tures of non-linear and non-stationary processes. In this study, to
extract fault features from bearing vibration signals, vibration
signals are preprocessed with empirical mode decomposition
(EMD), which is proposed by Huang et al. [28]. IMFs containing
valid information are selected. In addition, to acquire more fault
features from the vibration signals and to enhance the effective-
ness of the diagnosis systems, both time-domain and frequency-
2. Wavelet support vector machine
SVM uses the support vector kernel to map data in input space
to a high-dimensional feature space in which we can process a
problem in linear form. Any function that satisfies Mercer’s
theorem can be used as a kernel function to compute inner
product in feature space. In this study, an admissible wavelet
kernel is constructed, and then the architecture of WSVM is
proposed by combining the wavelet technique with SVM.
2.1. SVM classifier
Consider a training sample set, S ¼ fðxi ,yi Þ9xi A RN ,yi A f
1,1g,i ¼ 1,. . .,lg, where xi is an input vector and yi is a label of xi.
Kernel mapping can map the training examples in the input space
into a feature space in which the mapped training examples are
linearly separable. For classification problems, SVM becomes the
following dual optimization problem:
X
n
1 X n

domain statistical characteristics are extracted from each decom- Maximize WðaÞ ¼ ai  a a y y Kðxi ,xj Þ
i¼1
2 i,j ¼ 1 i j i j
posed IMF signal to form a combined feature set. The combined
feature set contains irrelevant or redundant features as well as 8Xn
salient features. However, the redundant or irrelevant features >
< ai yi ¼ 0
can spoil the classification performance of the SVM classifier and subject to i¼1 ð1Þ
>
:
increase the computation burden. To further improve the classi- ai A ½0,C , i ¼ 1,. . .,n
fication accuracy and reduce the dimension of features, a distance
evaluation technique [29,30] is applied to calculate evaluation note that K(x,xi) is a kernel function which represents the inner
factors of combined features. Finally, according to the evaluation product /jT(x)Uj(xi)S. The kernel function that satisfies the
factors, the corresponding salient features are selected and input condition stated by Mercer’s theorem and corresponds to some
into the WSVM classifiers to automatically identify health condi- types of inner product in the transformed (higher) dimensional
tions of mechanical equipment. feature space is introduced:
In this paper, we introduce a wavelet support vector machines
(SVM) method based on the theory of wavelet analysis and the Kðx,xi Þ ¼ /jT ðxÞUjðxi ÞS: ð2Þ
kernel method of support vector machines (SVM). Wavelet basis
functions are introduced to construct the kernel function of the so the final result is a discrimination function f(x) conveniently
SVM. Thus, a tensor product wavelet kernel is constructed. expressed as a function of the data in the original (lower)
Combining EMD, the distance evaluation technique, and WSVM dimensional feature space:
with PSO algorithm, a novel hybrid intelligent fault detection and !
classification method for fault diagnosis of rolling element bear- X
n
f ðxÞ ¼ sign ai yi /jT ðxÞUjðxi ÞS þb
ings is presented with experimental validation and engineering i¼1
application. !
The rest of this paper is organized as follows: Section 2 X
n
¼ sign ai yi Kðx,xi Þ þb ð3Þ
presents how to construct a wavelet SVM model. Section 3 i¼1
describes parameters selection of WSVM with particle swarm
optimization algorithm (PSO). Section 4 gives fault diagnosis This decision function is the so-called as SVM. The architecture
methodology. Experiments validation and engineering application of SVM is shown in Fig. 1(a). In the practical application of SVM,
are given in Section 5 followed by conclusions in Section 6. the most widely adopted kernel function is the radial basis
 Z. Liu et al. / Neurocomputing 99 (2013) 399–410 401

function (RBF, see Fig. 1(b)) which is defined as where

Z 2
2
Kðx,xi Þ ¼ expð99xxi 99 =2s2 Þ ð4Þ
1
9cðoÞ9
Wc ¼ do o1 ð10Þ
0 9ðoÞ9
Z
cðoÞ ¼ cðxÞexpðjoxÞdx ð11Þ
2.2. Conditions for support vector kernel function
for the above Eq. (7),Wc is a constant with respect to c(x). The
The formation of a support vector (SV) kernel function can be theory of wavelet decomposition is to approach the function f(x)
described not only as a inner-product type in some feature space, by the linear combination of wavelet function group.
such as K(x,x0 )¼K(/xUx0 S), but also as a translation invariant Assuming that c(x) is the wavelet function of one dimension,
kernel function, such as K(x,x0 )¼K(x x0 ). In fact, if a function the multidimensional wavelet function can be defined using
satisfies the Mercer condition, it is an admissive support vector tensor theory as:
kernel function. Y
d
cd ¼ cðxi Þ ð12Þ
Lemma 1. The symmetry function K(x,x0 ) is the kernel function of an i¼1

SVM if and only if: for all functions g a0 that satisfy the preprocessed where x ¼ ðx1 ,x2 ,. . .,xd Þ A Rd .
R
condition of Rd g 2 ðxÞdx o 1 , we need to satisfy the condition [12] as We can build the horizontal floating kernel function as
follows: follows:
ZZ
0 0 0
Kðx,x Þf ðxÞf ðx Þdxdx Z0 ð5Þ Y
d  
L2 L2 xi xi0
Kðx,x0 Þ ¼ Kðxx0 Þ ¼ c ð13Þ
i¼1
a
It is difficult to decompose a translation invariant kernel
function into the product of two functions and then to prove that Without loss of generality, we adopt Morlet wavelet functions
they are SV kernels. Now, we can state the condition of the as the translation invariant wavelet kernel functions, defined as:
translation invariant kernel function.
cðxÞ ¼ cosðo0 xÞexpðx2 =2Þ ð14Þ
0 0
Lemma 2. The translation invariant kernel K(x,x ) ¼K(x x ) is an
admissive SV kernel function [31] if, and only if, the Fourier transform
Theorem 1. Morlet wavelet kernel function is defined as:
of K(x) satisfies the condition as follows: !
Z Yd   Yd    2
x x 0 ðx x 0 Þ 99xi xi0 99
c i i ¼ cos o0  i i
0
F½kðoÞ ¼ ð2pÞðd=2Þ expðjðoUxÞÞkðxÞdxZ 0 ð6Þ Kðx,x Þ ¼ exp 
Rd i¼1
a i¼1
a 2a2

from above, we know that the lemmas can be used for both ð15Þ
checking whether a kernel is an admissible SV kernel and which is an admissible SV kernel function.
constructing new kernel functions.
Proof. According to Lemma 2, we only need to prove
Z
F½kðoÞ ¼ ð2pÞd=2 expðjðoUxÞÞkðxÞdx Z 0 ð16Þ
2.3. Wavelet kernels function and WSVM Rd

Q
d xi Q
d  2
cos oa0 xi eð99xi 99 =2a Þ : first, we
2
If the wavelet function c(x) satisfies the conditions: c(x)A for all x, where kðxÞ ¼ c ¼
a
L (R)\L1(R) and cðxÞ ¼ 0, cðxÞ is the Fourier transform of function
2 i¼1 i¼1

c(x). The wavelet function group can be defined as: calculate the integral term
Z !!
xc Y
d  x 99xi 99
2

ca,c ðxÞ ¼ 9a9

1=2
c ð7Þ expðjoxÞkðxÞdx ¼ Rd expðjoxÞ cos o0 i exp  2
dx
Rd a 2a
a i¼1
!
Yd Z   2
1
expðjo0 xi =aÞþ expðjo0 xi =aÞ :xi :
where x, a, cAR, a is the so-called scaling parameter, and c is the ¼ expðjoxÞ  exp  2
dxi
i ¼ 1 1
2 2a
horizontal floating coefficient, and c(x) is called the ‘‘mother Z   !
Yd 2
wavelet’’. Therefore, the wavelet transform of a function f(x)AL2 1 1 99xi 99 o0 j
¼ exp  þ jo0 a xi
2 2 a
(R) can be written as: i¼1 1

2   !
Z þ1   99xi 99 o0 j
n xc
þ exp   þ jo0 a xi
Wða,cÞ ¼ ðaÞ1=2 f ðxÞc dx ð8Þ 2 a
1 a pffiffiffiffiffiffi ! !!
Yd
9a9 2p ðo0 oi aÞ2 ðo0 þ oi aÞ2
¼ exp  þ exp  ð17Þ
where cn(x) stands for the complex conjugation of c(x). i¼1
2 2 2
The wavelet transform W(a,c) can be considered as functions
substituting formula (17) into Eq. (16), we can obtain the Fourier
of translation c with each scale a. Eq. (6) indicates the wavelet
transform
analysis is a time–frequency analysis, or a time-scaled analysis. ! !!
Yd  
Different from the Short Time Fourier Transform (SFFT), the   9a9 ðo0 oi aÞ2 ðo0 þ oi aÞ2
F k ðoÞ ¼ exp  þexp 
wavelet transform can be used for multi-scale analysis of a signal 2 2 2
i¼1
through dilation and translation so it can extract time–frequency
ð18Þ
features of a signal effectively.
Wavelet transform is also reversible, which provides the where a a0. Then, we have
possibility to reconstruct the original signal. A classical inversion F½kðoÞ Z 0 ð19Þ
formula for f(x) is:
Z 1Z 1 Similarly to Morlet wavelet kernel function, Mexican hat wavelet
1 da kernel is also an admissible SV kernel function [32]. The Mexican hat
f ðxÞ ¼ W a,c ðf Þca,c ðxÞ 2 dc ð9Þ
W c 1 0 a mother wavelet is cðxÞ ¼ ð1x2 Þexpðx2 =2Þ, and the corresponding
402 Z. Liu et al. / Neurocomputing 99 (2013) 399–410

Fig. 2. Wavelet kernel function: (a) ‘‘Mexican hat’’ kernel and (b) ‘‘Morlet’’ kernel.

wavelet kernel function is Given a population of particles with

  " # 2
! random positions and velocities
Yd
xi xi0 Yd
ðxi xi0 Þ2 99xi xi0 99
0
Kðx,x Þ ¼ c ¼ 1 exp 
i¼1
a i¼1
a2 2a2
ð20Þ
A particle in the population
In the study, the Morlet and the Mexican hat wavelet kernel
functions, as shown in Fig. 2, are selected to construct WSVM
classifier. After confirming the wavelet kernel functions, the
decision function of WSVM is defined as:
!
Xn Yd xx 
i
f ðxÞ ¼ sign ai yi c þb ð21Þ Train WSVM model
i¼1 i¼1
a

Evaluate fitness of every particle

3. Parameters selection of WSVM with PSO

Update particle best and global best
In the study, the selection of the parameters has a great
influence on the performance of SVM. Similar to genetic algo-
rithms (GA), PSO is a population-based search algorithm. How- Update particle velocity and position
ever, unlike GA, PSO has no crossover and variation. In PSO,
particles in the solution space following the optimal particle
search. The advantage of PSO is simple and easy to achieve Is stopping criteria No
without many parameters need to be adjusted. Therefore, PSO satisfied?
algorithm was used to realize the parameters’ selection of WSVM.
Yes
3.1. PSO algorithm obtain optimized WSVM parameters

PSO performs searches using a population (called swarm) of

individuals (called particles) that are updated from iteration to
iteration. The swarm consists of m particles. Each particle, which
is characterized by its velocity ui,d(t), the best position pbestd(t), its
current position xi,d(t) ði ¼ 1,2,. . .,m; d ¼ 1,2,. . .,nÞ, moves through
an n-dimensional search space. According to the global variant of
the PSO algorithm, each particle moves towards its best previous
position and towards the best particle g in the swarm. Let t denote
the current generation and gbestd(t) denote the global best position
so far. To search for the optimal solution, each particle updates its
velocity and position according to the following equations:
ui,d ðt þ 1Þ ¼ w  vi,d ðtÞ þ c1  rand1ð Þ  ðpbestd ðtÞxi,d ðtÞÞ
þ c2  rand2ð Þ  ðgbest d ðtÞxi,d ðtÞÞ ð22Þ
Fig. 3. The process of optimizing the WSVM parameters with PSO.
numbers in the range of [0,1], positive constant c1and c2 are personal
and social learning factors, and w is the inertia weight. The inertia
weight is used to balance the capabilities of global exploration and
local exploration, which can be determined by
wmax wmin
wk ¼ wmax  t ð24Þ
t max
where wmin is the minimal inertia weight, wmax is the maximal
inertia weight, t is iterative number of controlling procedure
process.

xi,d ðt þ 1Þ ¼ xi,d ðtÞ þvi,d ðt þ1Þ ð23Þ

3.2. Parameters optimization of WSVM with PSO
In the above formula, d is the nth dimension of a particle (1rdrn),
the velocity is restricted to the ½umax ,umax  range in which umax WSVM classification model constructed by Morlet and
is a predefined boundary value, rand1() and rand2() are random Mexican hat wavelet kernel function only has two user-determined
 Z. Liu et al. / Neurocomputing 99 (2013) 399–410 403

parameters, which are penalty parameter C and the kernel function Table 1
parameters a. Time-domain feature parameters.
Here, the particle is composed of the parameters C and a. Fig. 3 sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi 0P 12
P
N PN N pffiffiffiffiffiffiffiffiffi PN PN
presents the process of optimizing the WSVM parameters with xðnÞ 2
ðxðnÞÞ
B
jxðnÞj
C
jxðnÞj ðxðnÞÞ3
pt 1 ¼ n ¼ 1
, pt 2 ¼ n ¼ 1
, pt3 ¼ @n ¼ 1 N A , pt4 ¼ n ¼ 1N , pt5 ¼ n ¼ 1 N ,
PSO, which is described below: N N

PN
ðxðnÞÞ4
Step 1: data preparation: training, testing sets are represented
pt 6 ¼ n ¼ 1
N
as Tr and Te, respectively. P
N
ðxðnÞpt 1 Þ2
Step 2: initialization. Randomly generate the initial position pt 7 ¼ maxðxðnÞÞminðxðnÞÞ, pt8 ¼ , pt9 ¼ pt 2 maxðxðnÞÞ
pt 4 , pt10 ¼ ,
n ¼ 1
N1 pt2
and velocity of each particle (C and a—parameters for WSVM). maxðxðnÞÞ
pt 11 ¼ pt4
Set the number of particles (n), maximum iteration number maxðxðnÞÞ pt 5 pt6
pt 12 ¼ , pt 13 ¼ , pt14 ¼
ðt max Þ, inertia weight (o). Set iterative variable:t ¼0 and per- pt3 ðpt 2 Þ3 ðpt 2 Þ4

form the training process from steps 3 to 7. Where x(n) is a signal series for n¼ 1,2,y,N, N is the number of data points.
Step 3: set iteration variable: t ¼tþ 1.
Step 4: fitness evaluation. The fitness function is used to
evaluate the quality of every particle which must be designed Table 2
before searching for the optimal values of the SVM parameters. Frequency-domain feature parameters.
The fitness function is based on the classification accuracy of a
P
K P
K P
K P
K
SVM classifier, which is as follows: f ðkÞ ðf ðkÞpf 1 Þ2 ðsf ðkÞpf 1 Þ3 ðf ðkÞpf 1 Þ4
pf 1 ¼ k ¼ 1
, pf 2 ¼ k ¼ 1
, pf 3 ¼ k ¼ 1
pffiffiffiffiffiffi 3 , pf 4 ¼ k ¼ 1
,
yt K K1 Kð pf 2 Þ Kðpf 2 Þ2
fitness function ¼ 1 ð25Þ P
K
yt þ yf f k f ðkÞ
pf 5 ¼ k ¼P
K
1

where yt and yf denote the number of true and false classifica- k ¼ 1

f ðkÞ
sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi vffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
tions, respectively. The particle with low classification error PK
2
uP
u
K
4
P K
2
ðf k pf 5 Þ f ðkÞ u f k f ðkÞ f k f ðkÞ
produces a high fitness value. pf 6 ¼ k ¼ 1 pf 6 u
, pf 7 ¼ pf , pf 8 ¼ t P
k ¼ 1
, pf 9 ¼ r ffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
k ¼ 1
,
K 5
K
PK PK
Step 5: stop condition checking. If the stopping criteria(maximum 2
f f ðkÞ k
4
f ðkÞ f k f ðkÞ
k ¼ 1 k ¼ 1 k ¼ 1
iterations predefined or the error accuracy of the fitness function) vffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
uP K
u 2
is satisfied, go to step 7. Otherwise, go to the next step. u f k f ðkÞ
pf 10 ¼ uk ¼ 1
t P K
Step 6: update. Update the velocity and position value of each f ðkÞ
k ¼ 1
particle according to Eqs. (22) and (23), and then form new P
K P
K P
K
ðf k pf 5 Þ3 f ðkÞ ðf k pf 5 Þ4 f ðkÞ ðf k pf 5 Þ1=2 f ðkÞ
particle swarms, go to step 3.
pf 11 ¼ k ¼ 1
, pf 12 ¼ k ¼ 1
, pf 13 ¼ k ¼ 1
pffiffiffiffiffiffi
Kðpf 6 Þ3 Kðpf 6 Þ4
Step 7: end the training procedure, output the values of K pf 6

optimal particle C and a.

4. Fault diagnosis methodology
Generally speaking, fault diagnosis of rotating machinery
consists of three key steps: (1) feature extraction; (2) feature
evaluation; (3) fault identification.
4.1. Feature extraction
4.1.1. Statistical characteristics in time- and frequency-domains
When faults occur in rotating machinery, the vibration signals
would change. The amplitude and distribution of the time-
domain signals may be different from those of normal bearings.
Additionally, the frequency spectrum and its distribution may
have some variations. Some new frequency components and new
convergence of the frequency spectrum might appear.
In this study each of these signals is processed to extract
fourteen time-domain statistical characteristics (pt1–pt14) and
thirteen frequency-domain statistical characteristics (pf1–pf13),
for a total of twenty-seven feature parameters, as shown in
Tables 1 and 2, respectively. Parameter pt1–pt7 may reflect the
vibration amplitude and energy in the time domain. Parameter
pt8–pt14 may represent the time series distribution of the signal in
the time domain. Parameter pf1 may indicate the vibration energy
in frequency domain. Parameters pf2–pf4, pf6–pf7, pf11–pf13 may
describe the convergence of the spectrum power. Parameters pf5,
pf8–pf10 may show the position change of the main frequencies.
ði,jÞ ði,kÞ
p p
4.1.2. Statistical characteristics of IMFs
To extract more information, each of these vibration signals is
decomposed via the EMD method [28,33]. The most important
information of the vibration signal is included in high-frequency
bands. Thus, the first three intrinsic mode functions (IMFs)
Where f(k) is a spectrum for k¼1,2,y,K, K is the number of spectrum lines; fk is
the frequency value of the kth spectrum line.
containing almost all valid fault information were extracted.
Then, each IMF is processed to extract fourteen time-domain
statistical features and thirteen frequency-domain statistical
features to form combined features set.
Now, a feature set containing 3  27¼81 features is achieved,
which simultaneously contain the information in the time-
domain and frequency-domain.
4.2. Feature evaluation
In the fault diagnosis based on support vector machines (SVM),
irrelevant variables in the fault samples spoil the performance of
the SVM classifier and reduce the recognition accuracy. A distance
evaluation technique is presented to select the most superior
features that can well represent the fault features from features
set, for more details, please refer to references [29,30].
Suppose that combined feature set of c condition-patterns
w1 ,w2 ,. . .,wi is {p(i,k), i ¼1,2,y,c; k¼1,2,y,Ni} where p(i,k) is the
kth feature of wi, and Ni is the number of the features in wi.
Feature selection includes three main steps as follows:
Step 1: calculate the average distance of all the features in wi
can be defined as follows:
Ni Ni
1 X 1 X
Si ¼
ð26Þ
2Ni j ¼ 1 Ni 1 k ¼ 1
then get the average distance of Si ð1,2,. . .,cÞ as
1XC
Sw ¼ S ð27Þ
ci¼1 i
404 Z. Liu et al. / Neurocomputing 99 (2013) 399–410

Step 2: calculate the average distance of c different condition- technique and WSVM with PSO. We use EMD and the distance
patterns evaluation technique to extract and to select the input features,
c PSO algorithm is adopted to obtain the optimal parameters. On
1X ðiÞ
Sb ¼ u u ð28Þ the basis of the WSVM model, a bearing fault diagnosis diagram is
ci¼1
formed, as shown in Fig. 4, the process is described below:
Ni
P
1
where uðiÞ ¼ N pði,kÞ is the mean of all the features in wi; Step 1: the data acquisition is carried out through test rig.
k¼1
Step 2: preprocessing is employed using EMD.
1
P
c
u¼ c uðiÞ is the mean of all the features in all c condition- Step 3: calculating features using the first three IMF to extract
i¼1
statistical characteristics parameter in time and frequency
patterns.
domains.
Step 3: define the distance evaluation criteria as
Step 4: reducing the feature dimension by the distance
Sb evaluation technique and selecting the useful sensitive fea-
JA ¼ ð29Þ
Sw tures for the classification process.
From the above definition, when the average distance Sw inside Step 5: building data set and partition into a training set and
certain condition-pattern is smaller and the average distance testing set.
Sb between different condition-patterns is bigger, the averages Step 6: choosing a kernel function.
represent the optimal features well. So the optimal features Step 7: go to PSO algorithm, and obtain the optimal parameters.
can be selected from the original feature sets according to the Step 8: choosing the optimal parameters to create a model as
bigger distance evaluation criteria JA. the classifier based on ‘one to others’ multi-class classification
strategy [34,35]. The process of the multi-class WSVM is
described in Fig. 5.

4.3. Fault identification 5. Experimental validation and engineering application

The essence of fault detection and identification is pattern
recognition, and the operating conditions (normal, fault) of
bearings are treated as classification labels. The fault detection
and identification procedure based on SVM is, data collecting and
preprocessing, selection and evaluation of input features, selec-
tion of a kernel, training, optimal SVM classifier, i.e., SVM with
optimal kernel and corresponding parameters, tests, and fault
classification for new samples.
In this study, a novel hybrid intelligent fault diagnosis strategy
is proposed, which is based on EMD, the distance evaluation
To illustrate the proposed intelligent diagnosing method, the
fault diagnosis of rolling element bearings is studied by using real
data obtained from experiment and engineering application,
respectively.
5.1. Experimental validation
The experiment was conducted on a rolling element bearing
test bench as a benchmark. Different bearings with outer race

Feature extraction
Data acquisition Fault identification
& Evaluation

Training data Testing data

Data processing with
EMD
WSVM training
Extracting statistical PSO
model
characteristics

Feature evaluation with No Yes

Is stop condition WSVM testing
DET
satisfied? model
Selecting the optimal
features
Fault classification

Fig. 4. Structure diagram of the bearing fault diagnosis.

Input x No No No
WSVM 1 WSVM 2 ... WSVM k
f(x)=1? f(x)=1? f(x)=1?

Yes Yes Yes

Fault type 1 Fault type 2 Fault type k Fault type k+1

Fig. 5. ‘One to others’ multi-class fault classification system of WSVM.

 Z. Liu et al. / Neurocomputing 99 (2013) 399–410 405

fault, inner race fault and roller fault were tested, to validate the evaluation technique in Section 4.2. Finally, these salient features
performance of the proposed method. are selected and input into the WSVM classifiers to automatically
identify health conditions of mechanical equipment, and para-
meters selection of WSVM using PSO algorithm in Section 3.2.
5.1.1. Experimental system description
The test bench of rolling element bearings is shown in Fig. 6. 5.1.2. Experimental result
A tested bearing is installed on a motor driven shaft. The EDM In this study, in order to demonstrate the superiority of
method is used to generate defects on the outer race, inner race WSVM, SVM with Gaussian radial basis function (RBF) kernel,
and rolling elements. The defect sizes of the three defects are the which is commonly preferred to other kernel function types
same: the depth is 0.3 mm and the width is 1.2 mm. Pictures of [11,36], is chosen as a reference.
these three fault states are shown in Fig. 7. An accelerometer is The analyzed results are displayed in Fig. 9. In Fig. 9(a), it can
mounted on the shaft box to acquire vibration signals generated be seen that the twenty salient features in the red squares are
by the bearings. The data acquisition and analysis system of Sony selected, the two classifiers based on RBF–SVM and WSVM are
EX was used to collect data. Experimental parameters are listed in respectively trained and tested to identify the fault categories.
Table 3. Fig. 9(b–d) shows different classification results of the four
In this experiment, a bearing data set consisting of the four bearing states labeled by 1, 2, 3 and 4. For the RBF–SVM case in
conditions, i.e., normal condition, outer race fault, inner race fault
and roller fault (with labels 1–4, respectively) was obtained. The Table 3
proposed method was applied to evaluate the performance of the Parameters in the experiments.
proposed method in recognizing different fault categories. Fig. 8
Bearing parameter Value
displays collected vibration signal from four different operating
conditions. Experiment Locomotive
The data set contains the four conditions (described in Table 4)
of the experimental roller bearings, for each condition, 50 samples Bearing specs N205 552732QT
Outer race diameter (mm) 52 160
were used, and therefore the whole data set corresponding to the
Inner race diameter (mm) 25 290
four signals conditions includes altogether 200 samples, each Roller diameter (mm) 7.5 34
sample is a section of vibration signal containing 2048 sampling Roller number 13 17
points. The whole data set is split into two sets: 120 samples for Contact angle (1) 0 0
training and 80 samples for testing. The eighty-one features Rotating speed (rpm) 2000 653
Sampling frequency (kHz) 20 12.8
extracted by means mentioned in Section 4.1, and salient features Sampling points 102,400 204,800
are selected out from eighty-one features using the distance

Fig. 6. Structure sketch of the test bench for the experimental bearing.

Outer race defect

Inner race defect Roller defect

Fig. 7. Three fault states of the experimental bearing.

406 Z. Liu et al. / Neurocomputing 99 (2013) 399–410

0.2 1
Amplitude (V)

Amplitude (V)
0.1 0.5

0 0

-0.1 -0.5

-0.2 -1
0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0 0.05 0.1 0.15 0.2 0.25 0.3 0.35
time (s) time (s)

1 2
Amplitude (V)

Amplitude (V)
0.5 1

0 0

-0.5 -1

-1 -2
0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0 0.05 0.1 0.15 0.2 0.25 0.3 0.35
time (s) time (s)

Fig. 8. Original vibration signals of four different operation conditions. (a) Normal condition, (b) outer race fault, (c) inner race fault and (d) roller rub fault.

Table 4 loss of life and property will be caused. Thus, it is significant

Description of the faulty bearings. to diagnose the faults occurring in electric locomotive roller
bearings.
Operating condition Rotating speed (r/min) Label

Experimental bearings Locomotive bearings

Normal 460 About
Outer race fault 470 About
Inner race fault 471 About
Roller fault 473 About
Fig. 9(b), the classification accuracy of the normal state is high, at
100%. The classification accuracies of the outer race fault, inner
race fault and roller fault are 90%, 95% and 80%, respectively.
Overall average classification accuracy is 91.25%.
From the results in Fig. 9(c), for the WSVM using Mexican hat
wavelet kernel, it is clear that the classification accuracies of
normal state and the outer race fault case are 100%, and the inner
race fault and roller fault are 95% and 90%, respectively. The
overall average classification accuracy is 96.25%.
From Fig. 9(d), we can see that the WSVM using Morlet
wavelet kernel method gives the highest classification accuracy
(100%) for the normal condition, inner race fault and outer race
fault cases. The classification accuracy of roller race fault is 90%.
The overall average classification accuracy is 97.5%.
Furthermore, the accuracy comparison of three methods is
listed in Table 5. Compared with the RBF–SVM, the proposed
methods based on WSVM using the Mexican hat and the Morlet
wavelet kernel have improved the classification accuracy by 5%
and 6.25%, respectively. This comparison result implies that the
proposed WSVM method obviously outperforms the RBF–SVM
method in diagnosing different categories of bearing faults.
5.2.1. Testing system description
490 1 Here, Fig. 10 shows the test bench of a locomotive roller
480 2 bearing. The test bench consists of a hydraulic motor, two
500 3
supporting pillow blocks (mounting with normal bearing), a
530 4
tested bearing (52732QT) which was loaded on the outer race
by a hydraulic cylinder, a hydraulic radial load application
system, and a tachometer for shaft speed measurement. The
bearing was installed in a hydraulic motor driven mechanical
system. 608A11-Type ICP accelerometers were mounted on the
load module adjacent to the outer race of the test bearing for
measuring its vibration. The advanced data acquisition and
analysis system by Sony EX was used to collect the data. Some
parameters in the experiment are listed in Table 3.
A bearing data set containing four subsets was acquired from
the experimental system under the four different running condi-
tions i.e., normal condition, slight rub in the outer race, slight rub
in the inner race and roller sub fault (with labels 1–4, respec-
tively). The four conditions are described in Table 4. Three fault
cases of locomotive roller bearings are shown in Fig. 11. Fig. 12
gives raw data samples for the four bearing conditions. Each data
subset consists of 50 samples and therefore the whole data set
corresponding to the four bearing health conditions includes
altogether 200 samples. Each sample is a section of vibration
signal containing 4096 sampling points. Each sub-sample data set
is split into two sets: 30 sub-samples for training and 20 sub-
samples for testing.

5.2. Engineering application 5.2.2. Testing result

To further verify the classification performance of WSVM, in
this section, the proposed method is applied to bearing fault
diagnosis for electric locomotives made by an electric locomotive
Group Corporation. Diagnosis of electric locomotive roller bear-
ings is of great significance in industry. If an unexpected failure of
electric locomotive happens due to bearings faults, the great
The hybrid intelligent method is employed again and the
corresponding identification results are given in Fig. 13 and
Table 6. From Fig. 13(a), we can see that nineteen salient features
are extracted from the four sub-samples. Finally, these salient
features are input into WSVM and RBF–SVM multi-class classi-
fiers to automatically identify different conditions of the roller
bearings.
 Z. Liu et al. / Neurocomputing 99 (2013) 399–410 407

14 7
features normal state
threshold=1.7009 out race fault
12 sensitive features 6 inner race fault
roller element fault
wrongly classified data

Bearing status labels

10 5
Evaluation factor

8 4

6 3
J20
4 2

2 1

0 0
0 10 20 30 40 50 60 70 80 90 0 10 20 30 40 50 60 70 80
Features Characteristic vectors

7 7
normal state normal state
out race fault out race fault
6 inner race fault 6 inner race fault
roller element fault roller element fault
wrongly classified data
Bearing status labels

5
Bearing status labels
5 wrongly classified data

4 4

3 3

2 2

1 1

0 0
0 10 20 30 40 50 60 70 80 0 10 20 30 40 50 60 70 80
Characteristic vectors Characteristic vectors

Fig. 9. Results of the feature evaluation and the SVM classification for the experimental bearing. (a) Feature evaluation, (b) RBF–SVM, (c) ‘‘Mexican hat’’-SVM and
(d) ‘‘Morlet’’-SVM.

5.3. Discussion
Table 5
The classified result of experiment data. (1) In the above two application cases, we can see, the preprocessing
with EMD method can increases the decomposition accuracy of
Operating condition Faults classification accuracy based on SVM with kernel
vibration signals. For each sensitive IMF, extracted features from
(%)
both time and frequency domains can better represents the
RBF Mexican hat Morlet running conditions of the roller bearings. Moreover, Distance
c ¼ 42.1, s ¼1.24 c ¼28.6, a¼ 0.88 c ¼ 23.5, a ¼0.83 evaluation technique can remove the redundant and irrelevant
information and then select the most superior features. Mean-
Normal 100 100 100
while, PSO algorithm can select suitable parameters for WSVM
Out race fault 90 100 100
Inner race fault 85 95 100 and SVM classifier, which avoids over-fitting or under-fitting in
Roller fault 80 90 90 the WSVM and the SVM model occurred due to the improper
Average accuracy (%) 91.25 96.25 97.5 determination of these parameters.
(2) The diagnosis results proved that the proposed method based on
WSVM obtains obvious improvement in recognition accuracy and
provides a good diagnosis capability compared to the RBF–SVM.
The reasons are as follows: (1) the RBF is a kind of kernel function
Fig. 13(b–d) presents the testing results of RBF–SVM, Mexican which is generally used. It shows the good generalization ability.
hat-SVM and Morlet-SVM in this experiment, respectively. From However, With the RBF kernel functions, the SVM cannot
Table 6, it can be seen that the testing accuracies of the three approach any curve in L2(Rn) space (quadratic continuous integral
methods are 90%, 97.5% and 98.75%, respectively. Compared with space), because the kernel function which is used now is not the
the average accuracy of RBF–SVM, the proposed Mexican hat- complete orthonormal base. This characteristics result in that the
SVM and Morlet-SVM method increases the recognition accuracy regression SVM cannot approach every aim curve in the L2(Rn)
by 7.5% and 8.75%, respectively. Therefore, the locomotive testing space. Similarly, the classification SVM cannot approach every
results further verified that WSVM can reliably separate different classification interface in the L2(Rn) space. (2) The Morlet wavelet
fault conditions, and that WSVM has better classification perfor- and the Mexican hat kernel functions are the orthonormal base of
mance than the RBF–SVM. L2(Rn) space through its dilation and translation. These kernel
408 Z. Liu et al. / Neurocomputing 99 (2013) 399–410

Fig. 10. Test bench of a locomotive rolling element bearing.

Fig. 11. Faults in the locomotive roller bearings.

1 10
Amplitude (V)

Amplitude (V)

0.5 5
0 0
-0.5 -5

-1 -10
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0 0.1 0.2 0.3 0.4 0.5 0.6 0.7
time (s) time (s)

4 10
Amplitude (V)

Amplitude (V)

2 5

0 0

-2 -5

-4 -10
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0 0.1 0.2 0.3 0.4 0.5 0.6 0.7
time (s) time (s)

Fig. 12. Original vibration signals of four different operation conditions. (a) Normal condition, (b) outer race fault, (c) inner race fault and (d) roller rub fault.

function can approach almost any classification interface in
quadratic continuous integral space, thus they enhance the
generalization ability of the SVM.
6. Conclusions
A novel hybrid intelligent multi-fault classification method
based on empirical mode decomposition (EMD), the distance
evaluation technique, wavelet support vector machine (WSVM)
and particle swarm optimization (PSO) algorithm for fault diag-
nosis of rolling element bearings is presented in this study.
In the presented method, the EMD method is performed to
preprocess bearing vibration signals. Then, time- and frequency-
domain features are extracted from the sensitive IMF. The
distance evaluation technique is used to select salient features
which are input into WSVM to identify the bearing running
conditions. The experiment results demonstrated that WSVM is
effective in handling uncertain data and small samples. Moreover,
it is shown that PSO presented here is effective for the WSVM (or
 Z. Liu et al. / Neurocomputing 99 (2013) 399–410 409

14 7
features normal state
threshold=1.7626 outer race fault
12 6 inner race fault
sensitive features
roller rub fault

Bearing status lables

10 5 wrongly classified data
Evaluation factor

8 4

6 3
J19
4 2

2 1

0 0
0 10 20 30 40 50 60 70 80 90 0 10 20 30 40 50 60 70 80

Features Characteristic vectors

7 7
normal state normal state
outer race fault outer race fault
6 inner race fault 6 inner race fault
roller rub fault roller rub fault
Bearing status labels

Bearing status labels

5 wrongly classified data 5 wrongly classified data

4 4

3 3

2 2

1 1

0 0
0 10 20 30 40 50 60 70 80 0 10 20 30 40 50 60 70 80
Characteristic vectors Characteristic vectors

Fig. 13. Results of the feature evaluation and the SVM classification for the locomotive bearing. (a) Feature evaluation, (b) RBF–SVM, (c) ‘‘Mexican hat’’-SVM and
(d) ‘‘Morlet’’-SVM.

Table 6 wavelets are defined as translates and dilates of one fixed

The classified result of locomotive test data. function, the properties of the wavelet functions are isolated with
the processed signals. It may need more steps to approach curves
Operating condition Faults classification accuracy based on SVM with kernel
(%)
in quadratic continuous integral space. Therefore, in the future,
the advanced wavelet kernel functions which can adaptively
RBF Mexican hat Morlet match the any curve in quadratic continuous integral space will
c ¼ 53.2, s ¼2.6 c¼ 21.2, a¼0.93 c¼ 19.4, a¼ 0.71 be explored for improving the performance of WSVM.
Normal 100 100 100
Out race fault 95 100 100
Inner race fault 80 95 100 Acknowledgments
Roller fault 85 95 95

Average accuracy (%) 90
SVM) to seek optimized parameters. Compared with the conven-
tional RBF–SVM method, WSVM has better generalization ability.
Moreover, WSVM, which has strong robustness, can effectively
handle different categories of bearing faults. It should be noted
that, although the proposed method is only demonstrated by
using the rolling element bearings examples in this work, it can
be easily applied to other classification problems of machinery
fault diagnosis applications.
In this study, the Morlet and the Mexican wavelet kernel
functions are used to construct the WSVM algorithms. Since these
97.5 98.75 This work was supported by National Natural Science Founda-
tion of China (No. 51035007) and a Foundation for the Author of
National Excellent Doctoral Dissertation of China (No. 2007B33).
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