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Fault diagnosis of rolling element bearing with intrinsic mode function of

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 Expert Systems with Applications 40 (2013) 4137–4145

Contents lists available at SciVerse ScienceDirect

Expert Systems with Applications

journal homepage: www.elsevier.com/locate/eswa

Fault diagnosis of rolling element bearing with intrinsic mode function

of acoustic emission data using APF-KNN
D.H. Pandya, S.H. Upadhyay, S.P. Harsha ⇑
Vibration and Noise Control Lab, Mechanical and Industrial Engineering, Department Indian Institute of Technology Roorkee, Roorkee 247 667, India

a r t i c l e i n f o a b s t r a c t

Keywords: This paper presents a fault diagnosis technique based on acoustic emission (AE) analysis with the Hil-
Acoustic emission bert–Huang Transform (HHT) and data mining tool. HHT analyzes the AE signal using intrinsic mode
KNN functions (IMFs), which are extracted using the process of Empirical Mode Decomposition (EMD). Instead
Statistical feature of time domain approach with Hilbert transform, FFT of IMFs from HHT process are utilized to represent
Ball bearing
the time frequency domain approach for efficient signal response from rolling element bearing. Further,
Hilbert Hung transform
extracted statistical and acoustic features are used to select proper data mining based fault classifier with
or without filter. K-nearest neighbor algorithm is observed to be more efficient classifier with default set-
ting parameters in WEKA. APF-KNN approach, which is based on asymmetric proximity function with
optimize feature selection shows better classification accuracy is used. Experimental evaluation for time
frequency approach is presented for five bearing conditions such as healthy bearing, bearing with outer
race, inner race, ball and combined defect. The experimental results show that the proposed method can
increase reliability for the faults diagnosis of ball bearing.
Ó 2013 Elsevier Ltd. All rights reserved.

1. Introduction than vibration measurements. AE could detect a defect even before

Rolling Element Bearings have wide applications ranging from
heavy rotating machineries to small hand-held devices. Fault diag-
nosis is a type of classification problem, and artificial intelligence
techniques based classifiers can be effectively used to classify nor-
mal and faulty machine conditions. Fault diagnosis of rotating
machinery at low speed is a challenging task which would be han-
dled by acoustic emission technique and subsequent replacement
prevents the machinery breakdown and accidents. By comparing
the signals of a machine running in normal and faulty conditions,
the detection of faults is possible. There have been several
attempts to use supervised or unsupervised machine learning
approaches for fault diagnoses of bearing with statistical and
frequency based features.
In the case of rolling element bearings with low speed, AE tech-
nique has been extensively studied by researchers. Yoshioka and
Fujiwara (1984) reported that AE parameters can identified bear-
ing defects before they appeared in the vibration acceleration
range. Tandon and Chaudhary (1999) reviewed the AE techniques
such as sound pressure, sound intensity. They were concluded that
Acoustic emission measurements had also been used successfully
for detecting defects in rolling element bearings and AE was better
⇑ Corresponding author. Tel.: +91 01332286891.
E-mail addresses: veddhrumi@gmail.com (D.H. Pandya), shumefme@iitr.ernet.in
(S.H. Upadhyay), spharsha@gmail.com (S.P. Harsha).
it appears on the surface. Morhain and Mba (2003) undertook an
investigation to ascertain the most appropriate threshold lever
for AE count diagnosis in rolling element bearings. Comparative
study on use of AE and vibration analysis was conducted, which
was concluded that AE offers earlier fault detection and improved
identification capabilities than vibration analysis. Furthermore, the
AE technique also provided an indication of the defect size, allow-
ing the user to monitor the rate of degradation on the bearing;
unachievable with vibration analysis (Abdullah, Al-Ghamd, &
Mba, 2006). AE characteristics of bearing defects were investigated
and further validated the relationship between various AE param-
eters such as counts, amplitude, energy, and Kurtosis and the run-
ning condition of rolling element bearings, for example, radial load,
rotating speed, and defect size. The sensitivities of these AE param-
eters to the running condition of the bearing are also investigated,
which had a strong influence on the strain and deformation within
the bearing material. Traditionally the most commonly measured
AE parameters for diagnosis are amplitude, rms energy, kurtosis,
crest factor, counts and events (He, Zhang, & Friswell, 2009). Paper
was proposed a systematic procedure based on a pattern recogni-
tion technique for fault diagnosis of induction motors bearings
through the artificial neural networks (ANNs). In this method,
the use of time domain features as a proper alternative to fre-
quency features was proposed to improve diagnosis ability. It
was indicated that using time domain features can be effective in
accurate diagnosis of various motor bearing faults with high

0957-4174/$ - see front matter Ó 2013 Elsevier Ltd. All rights reserved.
http://dx.doi.org/10.1016/j.eswa.2013.01.033
4138 D.H. Pandya et al. / Expert Systems with Applications 40 (2013) 4137–4145
precision and low computational burden as compare to frequency
domain feature (Zarei, 2012) Significant of multi class relevance
vector machine method for fault diagnosis of slow speed rotating
machine using acoustic emission technique were investigated
(Yang, Han, & Hwang, 2005).
A new scheme of acoustic based diagnosis (ABD) for rolling ele-
ment bearing fault diagnosis based on near-field acoustic hologra-
phy (NAH) and gray level co-occurrence matrix (GLCM) was
presented. Proposed modified ABD method with multi class SVM
shown better effectiveness as compare to traditional ABD method
(Jiang, Lu, Wu, & Hou, 2012).
Samantha and Al-Balushi have presented a procedure for fault
diagnosis of rolling element bearings through artificial neural net-
work (ANN). The characteristic features of time-domain vibration
signals of the rotating machinery with normal and defective bear-
ings have been used as inputs to the ANN (Samanta & Al-Balushi,
2003; Widodo et al., 2009). A fault diagnosis scheme based on mul-
ti-class SVMs for rotating machinery were investigated and a com-
parison between two kinds of algorithms, the SVMs and other
traditional Neural Networks, such as the self-organizing feature
map (SOFM), the Learning Vector Quantization (LVQ), the Radial Ba-
sic Function (RBF) and the Adaptive Resonance Theory (ART) net-
works. The experiments have demonstrated that this approach
can successfully diagnose any condition and the average fault diag-
nosis accuracy is over 90% (Yang et al., 2005). A new method that
jointly optimizes the feature selection and the SVM parameters
with a modified discrete particle swarm optimization was pre-
sented. This new method can select the best fault features in a
shorter time, improves the performance of the SVM classifier, and
presents fewer errors and a better real-time capacity than the
method based on Principal Component Analysis (PCA) and SVM,
or the method based on Genetic Algorithm (GA) and SVM, as shown
in the application of fault diagnosis of the turbo pump rotor (Yuan &
Chu, 2007a; Yuan & Chu, 2007b). The application of particle swarm
optimization (PSO) combined with other Computational Intelli-
gence (CI) techniques for bearing fault detection in machines was
studied and results were compared with other techniques such as
Genetic Algorithm (GA) and Principal Component Analysis (PCA).
The PSO based approach gave a test classification success rate of
98.6–100%, which were comparable with GA and much better than
with PCA. The results show the effectiveness of the selected fea-
tures and the classifiers in the detection of the machine condition
(Samanta & Nataraj, 2009). The classification efficiency of features,
histogram features seem to be better compared to statistical fea-
tures. Comparing the results of SVM and PSVM where concluded
that PSVM performs consistently better with Histogram feature. It
has been observed that the researchers are continuously attempt-
ing various machine learning methods and combining with differ-
ent feature selection criteria (Sugumaran & Ramachandran, 2011).
Jiang et al. (2012) had performed experiment to evaluate and
compare the fuzzy lattice classifier (FLC) with the fuzzy lattice rea-
soning (FLR) model as well as some other widely used classification
methods for fault diagnosis of bearing. Experimental results indi-
cate that the FLC yields a satisfactory classification performance
with higher computation efficiency than other classifiers.
The nearest neighbor is one of the most popular algorithms that
have long been used in pattern recognition, exploratory data anal-
ysis and data mining problems. Some advantages of the kNN algo-
rithm are its inherent simplicity, its robustness to noisy training
data, especially if the inverse square of weighted distance is used
as the ‘‘distance’’ measure and its effectiveness if the training data
is large. Many researchers have found that the kNN algorithm
achieves good performance in their experiments on different data
sets. Asymmetric proximity functions (distance and similarity
function) in recent years have gained popularity over their tradi-
tional counterpart. Noted, that affinity based distance function
and similarity function were both asymmetric. In fact, they were
directed from a test point to a training point and capture more
information as they realize local level learning about the concerned
training point. A properly chosen value of k can potentially im-
prove the classification results. Thus, in future, we would try to fur-
ther improve our results by choosing a suitable value of k. We
would also explore Metric learning and Parzen window based
learning to possibly enhance the performance of the kNN algo-
rithm (Bhattacharya, Ghosh, & Chowdhury, 2012).
In this paper, supervised machine learning methods are per-
formed for solving data mining problems for fault classification
of ball bearing using WEKA. The WEKA default setting of parame-
ters were used for every algorithm to avoid bias and over fitting.
Performance of various supervised classifiers such as Bayesian,
Naïve Bayes, Multi Layer Perceptron, KNN, weighted KNN, J48
and Random forest are compared to select most suitable classifier.
KNN is selected as best suited classifier. This paper is focused on
modified k nearest neighbor classifier for fault diagnosis of ball
bearing with low speed using acoustic emission technique and
intrinsic mode function. Proposed KNN algorithm is based on in-
verse square distance in same class, hence error due to improper
selection of K can be compensated. Experimental results show po-
tential improvement in classification with modified KNN and opti-
mized feature selection.
2. Empirical Mode Decomposition
This concept is exploited as utilizing EMD (Empirical Mode
Decomposition) process as a detection filter through IMF (intrinsic
mode function). EMD computation possesses a band pass filtering
nature which is well suited to recover the filtered non linear and
non stationary signals with good detect ability. EMD also optimize
the signal distortion, which is a limitation of conventional band
pass detection filter.
EMD the first step of HHT, is to decompose the complicated
nonlinear and non-stationary signals into finite number of IMFs.
Intrinsic mode functions (IMFs), which is a kind of complete, adap-
tive and almost orthogonal representation for the analyzed signal.
The IMF component is obtained by a sifting process, and it should
satisfy two requirements: (1) The number of extrema and the
number of zero-crossings must be either equal or differ at most
by one in the whole data set; (2) At any point, the mean value of
the envelope defined by the local maxima and the envelope de-
fined by the local minima is zeros. Obviously, each IMF only has
one frequency value at any moment. Therefore, it is feasible to
compute the meaningful instantaneous frequency once the mul-
ti-component signal is reduced to a collection of mono-component
functions through the EMD process. IMF is defined as Eq. (1).
X
m
xðtÞ ¼ ck ðtÞ þ rm ðtÞ ð1Þ
k¼1
Where, Ck(t) is the kth IMF of the signal x(t) and rm(t) is the final res-
idue which can be a constant or the signal mean trend. Based on the
discussion in (Huang et al., 1998). The numerical procedure to ob-
tain those IMFs can be concluded with the following steps:
(1) Identify the extrema of the data x(t), and form the envelopes
defined by the local maxima and minima, respectively, by
the cubic spline method.
(2) Form the mean values m1(t) by averaging the upper enve-
lope and lower envelope, and make the differences between
the data and the mean values to get the first component
h1(t) = x(t)  m1(t).
(3) If the first component is not an IMF, let h1(t) be the new data
set. Continue the steps (1–2) until the first component is an
IMF.
 D.H. Pandya et al. / Expert Systems with Applications 40 (2013) 4137–4145
(4) The first IMF component is called as c1(t). Let
r1(t) = x(t)  c1(t). Continue the steps (1–3) until rn(t) is
smaller than a predetermined value or becomes a monotonic
function that no more IMF can be extracted.
The procedure of the proposed method can be summarized as
follows.
(1) Capturing acoustic emission signals x(t).
(2) Performing band pass filtering with Empirical Mode
Decomposition.
(3) Optimize intrinsic mode functions and collect set of IMFs of
definite frequency band.
(4) Time-frequency domain features extracted through IMF1.
Further, Hilbert transform of first IMF is producing HHT spec-
trum as shown in Fig. 1 this envelop spectrum of healthy and faulty
bearing clearing shows the defective bearing condition but with
acoustic signal researchers are not able to identify bearing condi-
tion such as vibration signals. In this scenario, significant of ma-
chine learning method for incipient fault diagnosis is increases
with acoustic emission signals.
3. K nearest neighbor
Instance based learning or lazy learning which trains the classi-
fier function locally by majority vote of its neighboring data points.
Linear NN with Euclidean distance function is used for search algo-
rithm (Lei & Zuo, 2009; Mehmet, Cigdem, & Mutlu, 2010). KNN col-
lect all available data points (examples) and classifies new data
points based on similarity measure. The idea in the KNN method
is to assign new unclassified examples to the class to which the
majority of its K nearest neighbors belongs. KNN algorithm proves
to be very effective, in terms of reducing the misclassification error,
when the number of samples in training dataset is large. But it is
dependent on K value, where K represents the number of neigh-
bors. The classification accuracy largely depends on the value of
K and the type of distance metrics used for computing nearest
distance.
The process of KNN algorithm is as follows: given a test data x,
find the K nearest neighbors of x among all the training data, and
score the category candidates based the category of K neighbors.
The similarity of x and each neighbor data is the score of the cate-
gory of the neighbor data. If several of the K nearest neighbor data
belong to the same category, then the sum of the score of that cat-
egory is the similarity score of the category in regard to the test
data x. By sorting the scores of the candidate categories, system as-
signs the candidate category with the highest score to the test data
x. The decision rule of KNN can be written as:
X
f ðx; C j Þ ¼ simðx; t i ÞZðti ; C j Þ
t i 2kNN
Where, the test data x; Score(x, Cj) is the score of the candidate cat-
egory Cj with respect to x; sim(x, ti) is the similarity between x and
the training data ti; Z(ti, Cj) 2 {0, 1, 2, 3, 4, 5} is the category value of
the training data ti with respect to Cj.
KNN depends on the number of the nearest neighbor K. There is
no solution to find the optimal K, it changes from problem to prob-
lem and its optimal value can be found by trial and error. But it
should be nearer to square root of n (Mitra, Murthy, & Pal, 2002),
where n is number of training data (in one class). In simple KNN,
search is based on the number of class data classified nearer to
new data. As shown in Fig. 2, if one can consider K = 3 then new
data will be classified in class A but when K = 5 the same data will
be classified in class B. It means that the simple KNN is dependent
4139
on value of K. that was highlighted by earlier researchers but, as
the new data is closer to class A data this may misguide the classi-
fication. In general the following steps are performed for this sim-
ple KNN algorithm (Jiang et al., 2012).
 Chosen of k value: k value is completely up to user. Generally
after some trials a k value which gives the best result is chosen.
Generally, k = 1.
 Distance calculation: any distance measurement can be used for
this step. Generally most known distance measurements like
Euclidean and Manhattan distances are used.
 Distance sort in ascending order: chosen k value is also impor-
tant at that point. Found distances are sorted in ascending order
and minimum k distance is taken.
 Finding k class values: existing classes of k nearest data is
identified.
 Finding dominant class: in last step identified k classes are
formed a ratio and the class which has maximum ratio is taken.
This taken class gives us the class of desired data.
To eliminate this deficiency, here author would like to present
modified KNN.
3.1. Modified KNN
pffiffiffi
In modified KNN, The widely used convention of k ¼ n is em-
ployed, where n is the number of data used for training purpose for
each class or bearing condition. For selection of class first we nor-
malize the data between 0 and 1. So, distance between test point
and training points is normalized. For test point, according to K va-
lue we find nearest point. If all point belongs same class than put
this new point in that class. Otherwise we find distance between
test point and K nearest point and take sum of inverse square for
different class j, which call Mj, put this point in that class with max-
imum Mj. Mathematical formulation is as follow.
nj  2
X 1
Mj ¼ ð3Þ
i¼1
hji
where, hji is distance of ith point with j class
Mj ¼ maxðMj Þ ð4Þ
4. Experimental set up
The experimental setup used for the study shown in the given
Fig. 3 has been set up on a base plate of aluminum placed on a con-
crete foundation installed with bolts. The base plate has been iso-
lated with a help of aluminum packing and a rubber damper
installed on bolts to minimize the vibration responses from the
ð2Þ ground. Experimental setup consists of a shaft supported on rolling
element bearings and driven by a DC motor with external servo
controller. To compensate any misalignment a spring type flexible
coupling has been used to connect rotor shaft and motor. The test
bearing, a single row deep groove ball bearing, SKF 6205 has been
taken for the study. The experiment is performed on the five test
bearings one of which is healthy and others are having localized
defects: spall on inner race (IR), outer race (OR), rolling element
and combined on IR, OR and ball. The localized defects are seeded
thru laser machining with defect size of 300  300  20 lm as
shown in Fig. 4. To acquire more realistic data from laboratory test
rig 5 sets of rotor bearing systems are utilized and specification are
as shown in Table 1.
Data acquisition has been carried out by using acoustic emis-
sion sensor and OROS 3 SERIES acoustic analyzer and it is analyzed
by NVGATE software. Acoustic sensor is mounted on housing of
4140 D.H. Pandya et al. / Expert Systems with Applications 40 (2013) 4137–4145

Fig. 1. (a) time response (b) first 4 IMFs (c) FFT of first 4 IMFs and (d) HHT spectrum for healthy and faulty bearing.

test bearing. Its cable is connected to input channel of OROS 3 SER-
IES analyzer. OROS 3 SERIES is further connected to system. It is
analyzed by NVGATE software. Acoustic Sensor is the contacting
type sensor. Four channel OROS analyzer can be used for both
acoustic and vibrational analysis. Sampling frequency of 5000 Hz
is selected for analysis. Five seconds data is taken for all readings.
Sensitivity of the contact sensor is 100 m V/g for relative
measurement and default (1 V/g) for absolute measurement. De-
fault microphone is selected for type of sensor in analyzer.
5. Feature extraction and data preparation
Data acquisition of acoustic emission signals are carried out at
low speed range of 250–1500 rpm at interval of 250 rpm. Total 5
 D.H. Pandya et al. / Expert Systems with Applications 40 (2013) 4137–4145 4141

P
ak
meanðlÞ ¼ ð7Þ
N

Ringdown count is a most commonly used parameter in acoustic

signature. It is integer value which represents number of times
amplitude exceeds threshold level.
The energy value is calculated by numerical integration method
(by Trapezoidal numerical integration). If V(t), is an AE signal and
then VMS reflects the energy distribution of the AE signal. The total
energy within the time period [t1t2] of an AE signal is then
Z t2 Z t2
E/ V 2rms dt ¼ V MS dt
t1 t1
Z tþDT
ð8Þ
1
where;V MS ðtÞ ¼ V 2 ðsÞds
DT T
Fig. 2. Conceptual presentation of KNN search method.
The crest factor or peak-to-average ratio (PAR) is a measurement of
a waveform, calculated from the peak amplitude of the waveform
divided by the RMS value of the waveform.
classes of bearings are considered in this work. To make data more
realistic 5 sets of data are acquired for each class of bearing. Here 5 apeak
sets of data are not acquire at one seating per class but for each CrestFactor ¼ ð9Þ
arms
new set of data reassembly of rotor bearing system is worked
out to make these data more realistic and general for low speed Kurtosis is statistical moment of probability density function. It also
rolling element bearing. The process of computing some measures represents as square of variance.
which will represent the signal is called feature extraction. Fea- PN
tures extracted in this work are peak, mean, root mean square, 1
N k¼1 ðak
Þ4
a
kurtosis ¼ ð10Þ
crest factor, kurtosis, shape factor, impulse factor, ringdown count a4rms
and energy. The definition and process of extracting statistical fea-
tures from first intrinsic mode function are described as follows. Skewness value may be positive or negative or zero represents the
The root mean square (rms) value represents the mean energy measure of the degree of asymmetry of distribution.
of the acoustic emission signal. PN
1
k¼1 ðak  aÞ3
vffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi skewness ¼ N ð11Þ
u N a3rms
u1 X
rms ¼ t ðak  a  Þ2 ð5Þ
N k¼1 The Shape factors are functions of the redressed signal average.
Shape Factor does not depend on amplitude of signal.
Peak is the greatest measured amplitude in a signal. Due to capabil-
arms
ity to determination of detect ability of the signal, peak is one of the SF ¼ 1 PN ð12Þ
important parameter in acoustic emission analysis. It represents by N k¼1 jak j

following calculations,
peak ¼ maxðak Þ
The mean, indicated by l (a lower case Greek mu), is the statisti-
cian’s jargon for the average value of a signal. Add all of the samples
together, and divide by N. It looks like this in mathematical form:
It is generally observed that different features used for classification
ð6Þ fall in a very wide numerical range. In order to make machine learn-
ing networks perform well, the data must be well processed and
properly scaled before inputting to the supervised learning method.
The Column data are normalized in the range 0.1–0.9 to minimize
the effect of spreadness of attributes.

Fig. 3. Experimental set up.

4142
Fig. 4. Spall seeded on bearing elements.
Table 1
Details of rotor-bearing experimental set up.
Bearing specification
Mass of the rotor (mr)
Diameter of inner race with point of
contact with the rolling element (d)
Diameter of outer race with point of
contact with the rolling element (D)
Radius of each rolling element (qr)
Radial load (W)
Outside diameter
Number of rolling elements (Nb)
Angular separation between elements (b)
Spall a seeded defect (l)
D.H. Pandya et al. / Expert Systems with Applications 40 (2013) 4137–4145
5.1. Selection of optimize number of feature with KNN
Some features are sensitive and closely related to the fault, but
others are not. Thus, before the whole feature set is fed into a clas-
sifier, sensitive features providing bearing fault-related informa-
tion must be selected and highlighted and irrelevant features
discarded or weakened to improve the classification performance
and avoid the curse of dimensionality. Each of acoustic emission
signal is proposed to extract nine features. Therefore, a feature
set {Yn,c,j, where ? n = 1, 2, . . . , N, c = 1, 2, . . . , C, j = 1, 2, . . . , J} can be ac-
quired, which is an N-by-C-by-J matrix. Where, N is number of
samples under Cth bearing conditions, C is bearing condition and
J is number of feature. Hence, {Yn,c,j} is expressed as jth feature val-
ued of nth sample under cth bearing condition or class.
In the experiment, 180 data samples were obtained for the five
bearing conditions (HB, ORD, IRD, BD, CD). For each sample, the 9
features are extracted to represent the characteristic information
contained in the sample. Thus, a feature set {Yn,c,j} with
36  5  9 feature values is obtained. Proposed optimization con-
cept is presented in Fig. 5. Features are to arrange in descending or-
der as per their classification efficiency with swapping of feature
SKF 6205
2.5 kg order if require. Then repeat above outline procedure with differ-
31.12 mm ent number of features (j) and concluded the optimize number of
features with maximum classification efficiency. Optimized num-
47 mm
bers of attributes are observed as six out of nine features, which
3.965 mm is shown in Fig. 6 with classification accuracy of 96.667%. Classifi-
25 N cation accuracy of each feature is tabulated in Table 2.
52 mm Overall procedure for fault diagnosis is presented in Fig. 7, that
9 is described in detail as per following steps.
40°
300  300  10
 Acquire acoustic emission signal from rotor bearing system.
Fig. 5. Algorithm for optimize selection of attributes.
 D.H. Pandya et al. / Expert Systems with Applications 40 (2013) 4137–4145 4143

 Trained the model with modified KNN classifier and feature.

 Fault diagnosis with acoustic emission signal is tested with
trained model for each data set.

6. Result and discussion

In the present study, comparison of various supervised machine

learning methods are compare through WEKA. The WEKA default
setting of parameters were used for every algorithm to avoid bias
and over fitting. Performance of various supervised classifiers such
as Bayesian, Naïve Bayes, MLP, KNN, weighted KNN, J48 and Ran-
dom forest are compared to select most suitable classifier. As
Fig. 6. Number of features V/S classification accuracy. shown in Table 3, weighted KNN would be most effective super-
vised classifier with classification accuracy of 92.7778% with
supervised attribute base filter, 96.1111% with instant based filter
and 92.7778% without filter.
Table 2 The computational complexity of the nearest neighbor algo-
Classification accuracy of individual feature using APF-KNN classifier.
rithm, in both space (storage of prototypes) and time (distance
Sr. No. Features %Accuracy Re ordering of features computation) has received a great deal of analysis. Optimize fea-
1 Peak 61 2 ture selection is based on the concept to reduce computational
2 Average 61.1111 1 burden without affecting classification accuracy of modified KNN.
3 RMS 56.6667 3 Modified KNN is an effective search method based on summation
4 Crest Factor 41.6667
of inverse square distance with optimizes numbers of feature attri-
5 Kurtosis 54.4444 6
6 Shape factor 55 5
butes. The results on a test set in a multi-class prediction are dis-
7 Impulse factor 46.1111 played as a two dimensional confusion matrix with a row and
8 Count 33.8889 column for each class. Each matrix element is shown the number
9 Energy 55 4 of test examples for which the actual class is the row and the pre-
dicted class is the column. Total 180 instances and 9 features are
used for the study. These nine features are used as an input to train
 Nine features are extracted from first IMF for known and and test machine learning techniques. These input features are
unknown bearing signals. peak, mean, root mean square, crest factor, kurtosis, shape factor,
 Data normalization is applied to improve the significance of impulse factor, ringdown count and energy content of the time fre-
data. quency domain acoustic emission signals and target would be class
 Selecting best suitable classifier based on classification accu- of bearing.
racy. Here author presented comparison between 8 different The results on a test set in a multi-class prediction are displayed
classifiers based on supervised learning method. as a two dimensional confusion matrix as mention using 5-fold
 Arrange features in descending order as per their classification cross validation. Out of 180 instances, Number of cases are 36 for
accuracy and Select the optimum number of features to perform each of HB, ORD, IRD, BD and CD bearing respectively. From the
best. Table 4, it is cleared that weighted KNN with instant based filter

Fig. 7. (a) Output with Test 1. (b) output with Test 2.

Table 3
Classification accuracy using various supervised classifiers with supervised filters and without filter.

Classifier % Correctly classified instant with

Supervised attribute based filters Instant based filters None filter
Add classification Attributes selection Class order Discritize Nominal to binary Re-sample Spread sample
Bayesian 83.3333 85.5556 83.3333 91.6667 83.3333 86.6667 80.5555 83.3333
Naïve Bayes 72.7778 75 72.7778 91.1111 72.7778 71.6667 72.2222 72.2222
MLP 87.2222 88.8889 87.2222 90 87.2222 96.1111 90 87.2222
KNN 87.7788 88.3333 87.7788 87.2222 87.7788 92.7777 86.6667 87.7778
Weighted KNN 92.7778 91.6667 92.7778 91.6667 92.7778 96.1111 93.8889 92.7778
J48 89.4444 89.4444 89.4444 90.5556 89.4444 90.5555 89.4444 89.4444
Random forest 90.5556 91.6667 90.5556 90.5556 90.5556 95.5555 90 90.5556
4144 D.H. Pandya et al. / Expert Systems with Applications 40 (2013) 4137–4145

Table 4 has correctly predicted 35, 36, 34, 34 and 34 instances of HB, ORD,
Confusion matrix with weighted KNN classifier. IRD, BD and CD bearing respectively. While modified KNN with
HB ORD IRD BD CD optimized features has correctly predicted 35, 36, 34, 34 and 35 in-
35 1 0 0 0 HB stances of HB, ORD, IRD, BD and CD bearing respectively as shown
0 36 0 0 0 ORD in Table 5. Comparison of weighted KNN and proposed APF-KNN
0 0 34 2 0 IRD with optimized feature is tabulated in Table 6.
0 0 2 34 0 BD Optimal numbers of features (attributes) are selected and mod-
0 0 1 1 34 CD
ified KNN classifier is trained. Now, KNN classifiers are lazy learn-
ers, that is, models are not built explicitly like eager learners (e.g.,
decision trees, SVM, etc.) Thus, building the model is cheap, but
Table 5 classifying unknown objects is relatively expensive since it re-
Confusion matrix with APF-KNN. quires the computation of the k-nearest neighbors of the object
HB ORD IRD BD CD to be labeled. This, in general, requires computing the distance of
35 1 0 0 0 HB the test point to all the training point in data set, which can be
0 36 0 0 0 ORD expensive particularly for large training sets. A number of tech-
0 0 34 2 0 IRD niques have been developed for efficient computation. Here,
0 0 2 34 0 BD author shows the testing concept to reduce the computational time
0 0 1 0 35 CD
without effecting classification accuracy.
Let, test set is consider for each bearing response as healthy
Table 6 bearing and input vector is as x = [F2, F1, F3, F5, F6, F9, 1].
Comparison between weighted KNN and APF-KNN. Test 1: in this test set input vector from healthy bearing is con-
sider, hence corresponding confusion matrix as shown in Fig. 8(a).
Weighted KNN APF-KNN attribute
Which is clearly shows the classification accuracy of 100% with
Correctly classified instances 173 (96.1111%) 174 (96.6667%)
bearing condition HB.
Incorrectly classified instances 7 (3.8889%) 6 (3.3333%)
Total number of instances 180 180

Fig. 8. Procedure for fault diagnosis with proposed method.

 D.H. Pandya et al. / Expert Systems with Applications 40 (2013) 4137–4145
Test 2: in this set input vector from bearing with combined de-
fect is consider, hence corresponding confusion matrix clearly
shows unclassified data and as shown in Fig. 8(b) indicate that test
data classify at first column and fifth raw rather than at fifth col-
umn and fifth raw. Hence user can simply classified that the bear-
ing of 5th class inserted as 1st class.
7. Conclusion
In this paper, fault diagnosis of ball bearing is reported using
acoustic signal and intrinsic mode function. These intrinsic fea-
tures are inserted to seven supervised learning methods to com-
pare and selected KNN as the most efficient supervised learning
method with three different filters as well. Then to further improve
the classification accuracy, modified KNN algorithm is proposed
based on asymmetric proximity function (APF) in simple way, as
APF have gained recognition in recent years (McFee B., 2010). Here,
information is directed from test point to training data set and
hence more realistic information at local level acquire with APF.
Appropriate value of K plays a significant roll in performance of
KNN as concluded by earlier researchers (Mitra et al., 2002), in this
pffiffiffi
paper modified KNN consider k ¼ n, where n is the number of
data used for training purpose for each class or bearing condition
and value of k will be nearest odd number.
Experimental results clearly shows that proposed APF-KNN
algorithm with optimize feature has outperform the KNN algo-
rithm with 96.6667% without compromising classification time
and computational memory requirement. KNN is instant based
algorithm, which theoretically require more classification time
and computational memory but both the draw backs are almost
negligible in our scenario. State of art classification can be achieved
by storing 36 samples with 9 feature vectors in one class and that
no significant improvement can be expected with optimized 6 fea-
ture vectors.
The results of investigation revalidate that HHT based IMF com-
ponent of acoustic signal from different bearing conditions can be
effectively applied to diagnose the incipient fault conditions of
bearing.
Acknowledgment
This work is financially supported by the Ministry of Human Re-
source Development (MHRD), Government of India.
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