Mechanical Systems and Signal Processing 118 (2019) 477–502

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Mechanical Systems and Signal Processing

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

Research on bearing fault feature extraction based on singular

value decomposition and optimized frequency band entropy
Hua Li, Tao Liu ⇑, Xing Wu, Qing Chen
Key Lab. of Vib. & Noise Under Ministry of Education of Yunnan Province, Kunming University of Science and Technology, Kunming 650500, China

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

Article history: Singular value decomposition (SVD) is widely used in condition monitoring of modern
Received 21 December 2017 machine for its unique advantages. A novel relative change rate of singular value kurtosis
Received in revised form 26 April 2018 (SVK) is proposed in order to determine the reconstructed order of singular values effec-
Accepted 26 August 2018
tively. Since the bandwidth parameter of the band-pass filter designed by FBE need to be
determined based on experience, obviously, there are significant deficiencies. Then, a opti-
mized frequency band entropy (OFBE) method based on the principle of maximum kurtosis
Keywords:
is proposed to optimize the bandwidth parameters. In addition, because the fault signal of
Singular value decomposition
Model order
the rolling bearing at the initial stage is very weak and submerged by ambient noise, SVD
Singular value kurtosis cannot extract fault features clearly, a new method for fault feature extraction of rolling
Optimized frequency band entropy bearing based on SVD and OFBE, named SVD-SVK-OFBE, is proposed. Firstly, the Hankel
Rolling bearing matrix is reconstructed from the original vibration signal in the phase space and the noise
Fault diagnosis reduction is performed using SVD. Here, the relative change rate of singular value kurtosis
is performed on the Hankel matrix to determine the reconstructed order. Secondly, the
OFBE analysis is performed on the reconstructed signal to determine the center frequency
and the bandwidth of the band-pass filter adaptively. The bandwidth of the designed band-
pass filter is optimized by the kurtosis maximum principle. Thirdly, the reconstructed sig-
nal of SVD is filtered by the optimized filter, and the envelope demodulation analysis is
performed on the filtered signal. Finally, the fault feature frequency is extracted and com-
pared with the theoretical fault feature frequency to identify the fault type of the rolling
bearing. The effectiveness and advantages of the method described in this paper are veri-
fied by the simulation analysis and experimental data analysis of the rolling bearing.
Ó 2018 Published by Elsevier Ltd.

1. Introduction

Rolling bearing is an important component in rotating machinery, its failure is one of the main reasons which cause the
failure and invalid of rotating machinery [1]. Therefore, the condition monitoring and fault diagnosis of rolling bearings have
always been a hot and difficult point of mechanical equipment fault diagnosis [2,3].
In practical engineering applications, especially for early failures of rolling bearings, the weak modulation source and the
noise of the surrounding equipment and environment makes the early fault signals particularly weak. Therefore, it is difficult
to extract and identify the fault characteristic frequency [4,5]. When the rolling bearing with faults is operating, the vibration
signal tends to show non-stationary characteristics obviously. And the signal changes significantly over time in frequency

⇑ Corresponding author.
E-mail address: kmliutao@aliyun.com (T. Liu).

https://doi.org/10.1016/j.ymssp.2018.08.056
0888-3270/Ó 2018 Published by Elsevier Ltd.
478 H. Li et al. / Mechanical Systems and Signal Processing 118 (2019) 477–502

structure and amplitudes. How to extract the fault characteristic information from the non-stationary vibration signal has
been the key issue and hotspot of rolling bearing fault diagnosis [6,7]. The singular value decomposition (SVD) technology
has been widely used in the field of fault diagnosis of rotating machinery. The following reviews are conducted from the
application of SVD reconstruction order determination methods and noise reduction methods. Laub [8] proposed the SVD
theory and introduced some applications of SVD, as well as its algorithm implementation. Vautard et al. [9] found that
the singular spectrum has good effect on short-time sequences under Gaussian random noisy. Kanjilal et al. [10] presented
a selection method of effective singular values named singular value ratio (SVR). In reference [11], the entropy theory was
applied in SVD and the Singular Entropy (SE) was utilized into signal analysis of rotating machine. Zhao [12] used difference
spectrum of singular value in automatic selection of effective singular values. On this basis, Wang et al. [13] provided a
method for determining the order of the model based on the relative rate of change of the singular value, and can select
the effective singular value automatically. Hassani et al. [14] evaluated the empirical distribution of the eigenvalues of
the matrix XX T divided by its trace, where X is a random Hankel matrix. Its properties provide a reference for evaluating
the k largest eigenvalues and the determination of the reconstruction order. Qiao et al. [15] proposed an adaptive and effi-
cient singular value selection method based on the correlation coefficient for fault feature detection, and it achieved good
effects to detect weak fault signals for rolling bearings. As mentioned above, many scholars have proposed effective singular
value selection methods. And it has achieved good results to some extent.
According to the analysis principle of SVD, the contribution of random noise to each order is almost equal, that is, random
noise is almost evenly distributed in each order. Therefore, the noise reduction effect of using SVD alone is often not ideal. So
many researchers have been trying to combine it with other methods to achieve the extraction of features. In reference [16],
Zhao et al. pointed out that signal processing effect of SVD is very similar to that of wavelet transform when Hankel matrix is
used. An improved SVD method for gear fault identification based on Hilbert-Huang transform was proposed by Su et al. [17],
and the problem of reconstructing a feature matrix of SVD is overcome. Wang et al. [18] used EMD and SVD to extract fea-
tures, then feature vector matrices obtained are regarded as the input of the improved hyper-sphere-structured multi-class
support vector machine (HSSMC-SVM) for classification. Muruganatham et al. [19] proposed a simple time series method for
rolling bearing fault feature extraction using singular spectrum analysis (SSA) of the vibration signal. Wang et al. [20] pre-
sented a feature extraction method of rolling bearing based on SVD and kurtosis criterion, and its effectiveness is proven by
simulated signal and actual data. Based on the traditional SVD theory, short-time matrix series (STMS) and singular value
ratio (SVR) are introduced to the vibration signal processing by Cong et al. [21], and it has a good local identification capa-
bility in the rolling bearing fault diagnosis. Liu et al. [22] used an novel method which combining Hilbert-Huang transform
(HHT), SVD, and Elman neural network. It has achieved good results in practical application. Jiang et al. [23] introduced the
singular values (SVs) and ratios of neighboring singular values (NSVRs) to the feature extraction of vibration signals, and
combined with selected SV-NSVR features, continuous hidden Markov model (CHMM) is used to realize the automatic clas-
sification. Based on local mean decomposition (LMD)-SVD and extreme learning machine (ELM), Tian et al. [24] proposed an
intelligent fault diagnosis method, which can accurately diagnose and identify different fault types of rolling bearings under
variable conditions. Liu et al. [25] developed a new fault diagnosis method that wavelet transformation, SVD, and LLE are
assembled to extract the feature of a dataset for submersible plunger pump fault recognition. Han et al. [26] proposed a
method for rolling bearing based on empirical mode decomposition (EMD) and the difference spectrum of singular value,
and achieved satisfactory results. Combining sparse representation and shift-invariant K-SVD, Yang et al. [27] presented a
new data-driven fault diagnosis method based on sparse representation and shift-invariant dictionary learning method.
As can be seen from the above description, many scholars have conducted researches on different aspects of the noise reduc-
tion function of SVD, mainly focusing on the combination with other methods. Of course, in addition to the above-mentioned
documents, there are many research literatures, which will not be repeated here.
The main works of this article are as follows: First, a novel relative change rate of singular value kurtosis (SVK) is proposed
to determine the reconstructed order of SVD effectively. Therefore, we can obtain the method SVD-SVK. Second, since the
bandwidth parameter of the band-pass filter designed by the FBE need to be determined based on man-made, a simple
and effective optimization method based on the kurtosis maximum principle is proposed, i.e., the optimized FBE (OFBE)
can be obtained. Finally, because of the almost equal contribution of noise to each order in SVD, which result that the ideal
noise reduction effect cannot be obtained by only using SVD to de-noise the original signal under the condition of strong
background noise. A new fault feature extraction method based on SVD-SVK and OFBE is proposed to solve this problem.
The combination adaptive band-pass filter design capability of OFBE and pass-band noise reduction capability of SVD are
used to extract the weak fault characteristic frequency of rolling bearing. In summary, we named the method proposed in
this paper: SVD-SVK-OFBE. The specific ideas of this article are as follows: Firstly, SVD is applied to the original fault signal
of rolling bearings. The order of reconstruction was determined by the SVK, and compared it with the relative change rate of
the singular values (the relative change rate of the singular value is equivalent to that of the singular difference spectrum.
The advantage of the former is that it was quantified). Secondly, the OFBE was used to the reconstructed signal to design
band-pass filter and optimize the bandwidth. The reconstructed signal is filtered by the optimized band-pass filter to further
improve its signal-to-noise ratio (SNR). Thirdly, the filtered signal is subjected to envelope demodulation analysis, the fault
characteristic frequency of the rolling bearing is extracted. Finally, compared it with the theoretical feature frequency to
determine the type of the rolling bearing’s fault. The results of the analysis of the simulated signal and the experimental data
illustrates the effectiveness and advantages of the method described herein.
 H. Li et al. / Mechanical Systems and Signal Processing 118 (2019) 477–502 479

The remainder of this paper is organized as follows. Section 2 describes the basic concept of SVD and the FBE, as well as
the kurtosis. In Section 3, the novel selection method relative change rate of singular value kurtosis (SVK) is introduced in
Section 3.1, the OFBE is presented in Section 3.2, and the new method based on SVD-SVK-OFBE is introduced in Section 3.3.
In Section 4, the simulated data is used to validate the proposed method, and there is a comparison of the selection methods.
In Sections 5 and 6, the real data of rolling bearing is used to validate the proposed method. And the proposed method is
compared with other noise reduction methods in Section 6.3. The discussion is given in Section 6.4. Our conclusions are sum-
marized in Section 7.

2. Theoretical basis

2.1. SVD method

We assume that there are collected original bearing discrete signals Y ¼ ½ yð1Þ; yð2Þ;    ; yðN Þ, Based on the phase space
reconstruction theory, the Hankel matrix can be constructed by [28,29]:
2 3
yð1Þ yð2Þ  yðnÞ
6 yð2Þ yð3Þ    yðn þ 1Þ 7
6 7
X¼6 7 ð1Þ
4     5
yðN  n þ 1Þ yðN  N þ 2Þ    yðNÞ
mn
where, 1 < n < N, let m ¼ N  n þ 1, then X 2 R . This matrix is a reconstruction of the attractor orbit matrix.
The matrix X reveals the dynamic properties of the attractor in the reconstruction space by reconstructing the character-
istics of the attractor. So X can be expressed as X ¼ D þ W, where D represents the ðN  n þ 1Þ  n matrix of the smooth sig-
nal in the reconstruction space and W represents the ðN  n þ 1Þ  n matrix of the noise interference signal.
The SVD is applied to the above matrix X, the following relational equation can be obtain:

X ¼ USV T ð2Þ
T
In Eq. (2), U and V are ðN  n þ 1Þ  ðN  n þ 1Þ and n  n matrices respectively, S is a diagonal matrix of ðN  n þ 1Þ  n,
the main diagonal elements are ki ði ¼ 1; 2;   ; kÞ; and k ¼ minððN  n þ 1Þ; nÞ; namely:
S ¼ diag ðk1 ; k2 ;   ; kk Þ ð3Þ
T
In Eq. (3), k1 ; k2 ;    ; kk are the singular values of matrix X, and k1 P k2 P    P kk P 0 is satisfied, U and V denote the left
and right singular matrix.

2.2. FBE theory

Liu et al. [30] proposed a method of frequency band entropy (FBE) based on time-frequency analysis and information
entropy, and it was applied to extract fault features of rolling bearing successfully [31]. The theory is described as follows:

2.2.1. FBE
The FBE analysis method is based on the amplitude spectrum entropy, which is calculated as follows:
First, the STFT is performed on the signal. The STFT analysis is applied to the original signal xðiÞ; i ¼ 1; 2;   ; N, the time
frequency distribution is as follows:
2 3
r1;1  r 1;C
6  7
TER ¼ 6
4
7
5 ð4Þ
rM;1    rM;C

where, M is the number of frequency points, C ¼ N=L; L is the step of the window function along the time axis.
 
Second, the change of the amplitude of the i-th frequency component over time is defined as X f i ¼ ri;1 ; r i;2 ;   ; r i;C ; then
the frequency band entropy of a single frequency component can be estimated as:
 C  9
P   >
Hsi ¼  pm;i ln pm;i =lnðC Þ > >
>
>
>
m¼1 =
P C
ð5Þ
pm;i ¼ X f i ðF m Þ= X f i ðF n Þ >
>
>
>
PC
m¼1 >
>
;
m¼1 pm;i ¼ 1

In Eq. (5), F is the spectral distribution of the frequency component X f i along the time axis, and its variation reveals the
variation of the frequency component along the time axis.
480 H. Li et al. / Mechanical Systems and Signal Processing 118 (2019) 477–502

Finally, the FBE of each frequency component is calculated, and the FBE distribution of each frequency component of the
whole frequency band is obtained:
Hsf ¼ ðHs1 ; Hs2 ;    ; HsM Þ ð6Þ
If the frequency component X f i changes gently or regularly over time, the value of FBE of the frequency component is
small; if there is a complex fluctuation in a certain period of time, the value of FBE is large. It can be used to find the reso-
 
nance frequency of the rolling bearing fault diagnosis [32], that is, the frequency component (H ¼ Hsf ) at the minimum FBE,
which can be used as reference for the parameters design of adaptive band-pass filter.

2.2.2. Envelope analysis based on FBE

The FBE is used to design an adaptive band-pass filter, and performs envelope demodulation analysis on the filtered signal
to obtain the fault feature frequency of the rolling bearing.

1) First, the FBE values with different window length are calculated, the window length is calculated as:
N w ¼ 2k ; k ¼ 1; 2;   ; M.
2) Then, the band-pass filter is designed. The frequency component corresponding to the minimum FBE value is selected
as the center frequency f 0 of the filter. The window length N w of the STFT is used to estimate the filter’s bandwidth
Df  a  f s =N w , where f s is the signal sampling frequency [33], a is the bandwidth parameter.
3) Finally, the above filtered signal is subjected to envelope demodulation analysis to extract the fault feature frequency
of rolling bearing.

In the original FBE method, the window length N w is optimized by information entropy, a is taken as 1.5.

2.3. Kurtosis theory

Kurtosis is a numerical measure that reflects the distribution of vibration signals and a dimensionless parameter that
describes the spike of a waveform [34]. It can be expressed as:
EðxðtÞ  lÞ4
K¼ ð7Þ
r4
where, xðt Þ is the vibration signal that is analyzed, l is the mean of the signal xðt Þ, and r is the standard deviation of the
signal xðt Þ.
Kurtosis is a dimensionless parameter that is sensitive to impact signals, so it is suitable for early fault diagnosis of rolling
bearing. Therefore, kurtosis is widely used in the field of rolling bearing’s fault diagnosis [35,36]. When the rolling bearing
without fault, its amplitude distribution of the vibration signal is close to the normal distribution, the kurtosis value is about
equal to 3. When a local fault occurs in the rolling bearing, the amplitude distribution of the signal will deviate from the
normal distribution and the kurtosis value will increase. Based on this, the kurtosis maximum principle is used to optimize
the bandwidth parameter of FBE-based band-pass filter to obtain OFBE.

3. The proposed methods

3.1. Determination of model order of SVD

References [12] and [13] proposed the concepts of singular difference spectrum and the relative change rate of singular
values for the reconstructed orders of SVD. This methods are now commonly used and selected the reconstructed order
effectively. However, this methods lacks a theoretical foundation as a support, and in some cases its effect is not ideal. As
described in Section 2.3, kurtosis is sensitive to impact characteristics, whereas signals of local failure of rolling bearings
always show significant impact characteristics. Therefore, kurtosis can be used as the basis to select the reconstructed order.
Based on this, a new SVK is proposed to determine the reconstructed order. The concept of SVK proposed in this paper can be
calculated as follows:
dkðiÞdkðiþ1Þ
SVK i ¼ dkðiþ1Þ
ði ¼ 1; 2;   ; k  1Þ ð8Þ

In the Eq. (8), dkðiÞ is the kurtosis value of the first i-order reconstructed signal, and k is the definition in Section 2.1, that
is, the number of singular values. The SVK i value of each order is calculated, and the order whose absolute value is the max-
imum can be obtained. When the obtained maximum absolute value is obtained by the positive value of SVK i (or the
obtained maximum absolute value is obtained by the negative value of SVK i ), it indicates that the reconstructed signal con-
tains the main fault information basically. The latter values is tend to be gentle, which can be considered to be caused by
noise. It can be defined that when the model order index SVK i obtains the maximum absolute value, the corresponding order
is the optimal reconstructed order of the model.
 H. Li et al. / Mechanical Systems and Signal Processing 118 (2019) 477–502 481

In order to determine the reconstruction order, here are two situations to discuss: ① When the maximum absolute value
of the relative change rate of singular value kurtosis SVK i is obtained by the positive value of SVK i , it indicates that the i-th
order has the maximum kurtosis value and the first i-th order components are selected for reconstruction. ② When the max-
imum absolute value of the relative change rate of singular value kurtosis SVK i is obtained by the negative value of SVK i , that
is to say the kurtosis value of the i þ 1-th order is obviously greater than the i-th order, so choose the first i þ 1-th as the
reconstructed order.
In this way, the quantized kurtosis index is used to determine the optimal reconstructed order, which is more theoretical
than judging the reconstructed order directly from the singular values in [12] and [13]. And, it has a more excellent effect.
This is because the relative change rate of the singular values tends to be flat when the noise level is high. The proposed
method based on SVK can avoid this situation effectively.

3.2. OFBE

In Ref. [30], the band-pass filter’s design ideas of FBE is that after the center frequency is obtained, then the band-pass
filter designed by using the bandwidth of experience (a = 1.5). Here, its bandwidth parameter is optimized by maximum kur-
tosis principle.
According to the bandwidth formula in Ref. [30], the bandwidth parameter equation can be derived as follows:

Df  a  f s =Nw ð9Þ
In which, a is defined as the bandwidth parameter to control the size of the bandwidth. When a get the optimal value, the
bandwidth parameter is recorded as a . N w is the window length of STFT, f s is the sampling frequency. When the optimal
bandwidth parameter is obtained, the formula (9) is expressed as:

Df  a  f s =Nw ð10Þ

where, N w is the optimal window length when the entropy value is taken as the minimum value (In FBE). Here, according to
the sensitivity of kurtosis to the fault impacts of rolling bearing, the kurtosis index is taken as the optimization target to opti-
mize the bandwidth parameter a.
Its search range is set as follows: the lower limit is set as 0.1, the upper limit can be set according to the following two
Df
situations: ① When f n 6 f4s , it needs to satisfy the condition 2
6 f n . ② When f n > f4s , it needs to satisfy the condition
Df fs
2
6  f n (f n is the center frequency, f s is the sampling frequency, Df is the bandwidth). The search step is set as 0.1. In
2
the search domain, the kurtosis value is calculated for each filtered signal of a, and all kurtosis values are compared to obtain
the a which corresponding to the maximum value of kurtosis. It is selected as the optimal bandwidth parameter a .
The specific steps of OFBE are as follows:

(1) The FBE is aplied to the reconstructed signal to obtain the resonant frequency, i.e., center frequency f n , and the optimal
window length N w of STFT;
(2) Using Eq. (9), calculate and optimize the bandwidth. In the search domain, the bandwidth parameter a is optimized
based on the kurtosis maximum principle: When the kurtosis value is the maximum value, it has the optimal band-

width parameter a , that is, the optimal bandwidth Df (according to the formula (10)) can be obtained.
(3) The OFBE is aplied to the reconstructed signal to further improve its SNR.

3.3. The fault diagnosis method based on SVD-SVK-OFBE

The contribution of random noise to each order is almost equal, that is, the random noise is almost evenly distributed in
all orders. Therefore, if the SVD is used alone, although some broadband noise can be removed, the effect is often not satisfy.
Based on the above analysis, a novel fault feature extraction method based on SVD-SVK-OFBE is presented. The purpose is to
combine the OFBE’s adaptive band-pass filter design and optimization capabilities with the pass-band noise reduction capa-
bilities of SVD-SVK to extract the weak fault frequency of rolling bearing effectively. The diagnostic flow chart is shown in
Fig. 1.
The concrete steps are as follows:

(1) Firstly, the acquired original vibration signal of rolling bearing is reconstructed based on phase space, and then the
Hankel matrix is obtained.
(2) SVD is performed on the signal to reduct noise, and the SVK is used to determine the model order. Further, the recon-
structed signal can be obtained.
(3) OFBE is applied to the reconstructed signal to design and optimize the adaptive band-pass filter;
(4) Envelope demodulation analysis is performed on the above filtered signal to extract the fault feature frequency of the
rolling bearing and compare it with the theoretical value to determine the fault location of the rolling bearing.
482 H. Li et al. / Mechanical Systems and Signal Processing 118 (2019) 477–502

Input the original

vibration signal

The relative change rate of

The relative change rate of
singular value kurtosis
determines the model order
SVD singular value kurtosis
determines the model order
Optimize bandwidth
SVD OFBE parameter based on kurtosis
maximum principle

Band-pass filtering

Envelope Theoretical fault

demodulation analysis characteristics frequency

Discrimination of the
type of fault

Fig. 1. The fault diagnosis method based on SVD-SVK-OFBE.

4. The simulation analysis

4.1. Discussion on relative change rate of singular value kurtosis (SVK)

Taking the simulated signal of rolling bearing with inner-race fault as an example, the SVK is discussed and compared
with the methods of references [12] and [13]. The simulated signal comes from reference [30]. the formula (11), i.e.:
9
P
M
>
xð t Þ ¼ Ai sðt  iT  si Þ þ nðt Þ >
>
=
i¼1
ð11Þ
Ai ¼ A0 cosð2pQt þ uA Þ þ C A > >
>
;
sðt Þ ¼ expðBt Þcosð2pf n t þ uw Þ
where, Ai is the magnitude of the i-th impact, B is the damping ratio of the system, and nðt Þ is the added random noise. Here,
the system sampling frequency is represented by f s ; the value is 12000 Hz, the resonant frequency can be expressed as f n ; its
value is 3000 Hz, the inner-race fault frequency is expressed as f i = 120 Hz, the rotational frequency is expressed as
f r = 28 Hz, and the damping ratio B is set as 500. We need to add a certain amount of random noise in order to verify the
validity of the algorithm.
First, we discuss the relationship between the singular difference spectrum and the relative change rate of singular value.
To illustrate the effect of these two methods on the selection of the reconstructed order, random noise with SNR of 4 dB,
8 dB, 16 dB, and 32 dB, respectively, is added to the simulated signal. The analysis results are shown in Fig. 2, respectively.
The relationships between the respective analysis and model order are given. As shown in Fig. 2, under different SNR con-
ditions, the two methods have the same reconstructed order, and they have the same trend under each SNR condition. More-
over, the conclusion obtained from other different noise conditions are consistent with the above conclusion.
Theoretically, we can see that where the maximum value of the singular value difference spectrum appears, the relative
change rate of the singular value will be the maximum one. Therefore, the singular difference spectrum and the relative
change rate of singular value change synchronously. Therefore, these two methods have the same selection effect for the
reconstructed order of SVD. Compared to the singular difference spectrum, the relative change rate of singular value provides
a quantified model order index. So we can use one of the two methods to indicate the effect of these two methods on the
reconstructed order of SVD. In this paper, the method of relative change rate of singular value is chosen to compare with
the proposed method of SVK.
When the white noise with SNR of 4 dB, 16 dB, and 24 dB are added, respectively, the relative change rate of singular
value, the SVK are respectively given in the Fig. 3. As can be seen from Fig. 3, when SNR = 4 dB, the first 1 order is selected as
the reconstructed order of the proposed method, but the reconstructed order of the relative change rate of singular value is
the first 2 orders. When SNR = 16 dB, the reconstructed orders of the proposed method and the relative change rate of sin-
gular value are both the first 2 orders. When SNR = 24 dB, the reconstructed order of the proposed method is the first 2
orders, while the relative change rate of the singular values is the first 12 orders. Thus, the reconstructed order chosen by
the method proposed in this paper differs greatly from the reconstructed order chosen by the relative change rate of singular
value.
The kurtosis value is used as the indicator to illustrate the effectiveness of these two methods in order to compare the
proposed method with the relative change rate of singular values. A comparison of the model orders and kurtosis values
 H. Li et al. / Mechanical Systems and Signal Processing 118 (2019) 477–502 483

Singular difference spectrum

Difference spectrum
1000

X:2
500

0
0 5 10 15 20 25 30 35 40 45 50
Relative change rate of singular value
Relative change rate
of singular values

X:2
0.5

0
0 5 10 15 20 25 30 35 40 45 50
Model order
(a) -4dB
Singular difference spectrum
Difference spectrum

1000

X:2
500

0
0 5 10 15 20 25 30 35 40 45 50
Relative change rate of singular value
Relative change rate
of singular values

X:2
0.5

0
0 5 10 15 20 25 30 35 40 45 50
Model order
(b) -8dB
Singular difference spectrum
Difference spectrum

1000
X:2

500

0
0 5 10 15 20 25 30 35 40 45 50
Relative change rate of singular value
Relative change rate
of singular values

X:2
0.5

0
0 5 10 15 20 25 30 35 40 45 50
Model order
(c) -16dB
Singular difference spectrum
Difference spectrum

600

400 X:12

200

0
0 5 10 15 20 25 30 35 40 45 50
Relative change rate of singular value
Relative change rate

0.1
of singular values

0.05 X:12

0
0 5 10 15 20 25 30 35 40 45 50
Model order
(d) -32dB

Fig. 2. The relationships under different SNR conditions.

484 H. Li et al. / Mechanical Systems and Signal Processing 118 (2019) 477–502

Relative change rate of singular value

Relative change rate
of singular values
1

X:2
0.5

0
0 10 20 30 40 50 60 70 80 90 100
Relative change rate of singular kurtosis
Relative change rate
of singular values

0.4
X:1
0.2

0 10 20 30 40 50 60 70 80 90 100
Model order
(a) -4dB
Relative change rate of singular value
Relative change rate
of singular values

X:2
0.5

0
0 10 20 30 40 50 60 70 80 90 100
Relative change rate of singular kurtosis
Relative change rate
of singular values

0.06
0.04
X:2
0.02
0
-0.02
0 10 20 30 40 50 60 70 80 90 100
Model order
(b) -16dB
Relative change rate of singular value
Relative change rate
of singular values

0.1
X:12
0.05

0
0 10 20 30 40 50 60 70 80 90 100
Relative change rate of singular kurtosis
Relative change rate

0.06
of singular values

0.04
X:2
0.02
0
-0.02
0 10 20 30 40 50 60 70 80 90 100
Model order
(c) -24dB

Fig. 3. Analysis of the selection of reconstructed orders under different SNR conditions.

of reconstructed signal for the SNR from -1 dB to -30 dB are given in Fig. 4. We can get the following informations from Fig. 4:
① When 10 dB < SNR, the kurtosis of the signal reconstructed by the proposed method is significantly larger than that of
the signal reconstructed by the relative change rate of the singular value. ② When 21 dB 6 SNR 6 10 dB, the kurtosis val-
ues of signal reconstructed by the two methods are equal, which indicating that the two methods have the same reconstruc-
tion order. ③ When SNR < 21 dB, the kurtosis of the signal reconstructed by the proposed method is obviously larger than
that of the signal reconstructed by the relative change rate of the singular value. In addition, when SNR < 10 dB, the kurtosis
values of the two methods shrink to a relatively small range, and tend to be gentle.
Fig. 5 shows the reconstructed orders chosen by the two methods under different SNR conditions in order to get a clearer
understanding of the reconstructed orders chosen by the two approaches. The reconstructed order shown in Fig. 5 is
consistent with the result shown in Fig. 4: when SNR > 10 dB, the reconstructed order selected by the proposed method
is 1, and the reconstructed order selected by the relative change rate of singular value is 2. When 21 dB 6 SNR 6 10 dB,
 H. Li et al. / Mechanical Systems and Signal Processing 118 (2019) 477–502 485

Comparison of the kurtosis values of reconstructed signals

8 8

relative change rate of singular value

The proposed method

6 6
Kurtosis

4 4

2 2
-30 -25 -20 -15 -10 -5 0
SNR

Fig. 4. A comparison of the kurtosis values of reconstructed signals of the two methods.

the reconstructed orders under different SNRs

14

relative change rate of singular value

12
The proposed method

10

8
Model order

0
-30 -25 -20 -15 -10 -5 0
SNR

Fig. 5. The reconstructed orders chosen by the two methods under different SNR conditions.

the reconstructed orders of the two methods are both 2. When SNR6 22 dB, the reconstructed order of the proposed
method is 2, while that of the relative change rate of singular value are 14 (SNR = 22 dB) and 12, respectively.
Therefore, in summary, we can get the following conclusions:

(1) When it compared with the method of relative change rate of singular value (singular difference spectrum) the pro-
posed method has obvious advantages; the reconstructed signal of the selected model order has a larger kurtosis index
under normal circumstances.
486 H. Li et al. / Mechanical Systems and Signal Processing 118 (2019) 477–502

(2) The proposed method effectively overcomes the shortcomings of the references [12] and [13]: ①From the analysis of
the singular difference spectrum of Ref. [12], we know that when the first order is the maximum, the second largest
order is selected as the reconstruction order. This is due to the effect of the DC component in the signal. The SVK-based
reconstruction order selection method proposed in this paper overcomes this drawback effectively. ②The relative
change rate of the singular values and singular difference spectrum tend to be flat when the noise level is high.
The proposed method based on SVK can avoid this situation effectively.
(3) The proposed method chooses the reconstructed order of SVD by kurtosis. It takes full advantage of the sensitivity of
kurtosis index to fault impact characteristics, which has a solid theoretical foundation. Therefore, compared it with the
methods proposed in Ref. [12] and Ref. [13], the proposed method can be better applied to the actual situations.
(4) The reconstructed order selected by the proposed method is insensitive to noise (immune noise). Compared with ref-
erences [12] and [13], it has obvious stationarity. Therefore, the proposed method is more robust and suitable for
promotion.

4.2. Verification of fault diagnosis method

A simulated signal of rolling bearing with inner-race fault is applied to demonstrate the proposed method in order to ver-
ify the method of fault feature extraction of rolling bearing described in this paper. The reliability and effectiveness of this
method in rolling bearing fault diagnosis is illustrated. The simulated signal of the rolling bearing can be obtained by the
formula (11) Ref. [30].
The random noise with a SNR of 8 dB is added in order to verify the effectiveness of the algorithm. Fig. 6 shows the time-
domain waveform and envelope spectrum of the simulated signal. It can be found from Fig. 6(a) that the strong background
noise almost submerges the impulse of the simulated signal completely, and the impulse characteristics cannot be extracted.
From the envelope spectrum of Fig. 6(b), it can be seen that although the fault feature frequency can be extracted, it is sur-
rounded by noise. Therefore, it is necessary to denoise the original signal to improve the SNR. The method of SVD-SVK-OFBE
is applied here to achieve the purpose of noise reduction.

4.2.1. Analysis of SVD and determination of reconstructed order

SVD analysis is performed on the original vibration signal. Firstly, the Hankel matrix is reconstructed in phase space, and
the original signal is denoised by SVD. The method of SVK is used to determine the model oeder. In order to show the SVK
clearly, only the first 100 points of the values are given here, as shown in Fig. 7. As can be seen from Fig. 7, the largest dip
occur at the first singular value kurtosis (where the absolute maximum is taken from a positive value). Therefore, the first
component is reconstructed to obtain a denoised signal.

15

10

5
Amplitude/V

-5

-10

-15
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8
Time/s
(a) The time domain waveform of the simulated signal
0.2
2fi
0.15 fr fi
Amplitude/V

0.1

0.05

0
0 100 200 300 400 500 600 700 800 900 1000
Frequency/Hz

(b) The envelope spectrum of the simulated signal

Fig. 6. The simulated signal with inner race defect.

 H. Li et al. / Mechanical Systems and Signal Processing 118 (2019) 477–502 487

0.15
singular Kurtosis values
relative change rate of

0.1 X:1

0.05

0 10 20 30 40 50 60 70 80 90 100
Model order

Fig. 7. The relative change rate of singular value kurtosis.

0.2

fr fi
0.15
2fi
Amplitude/V

0.1

0.05

0
0 100 200 300 400 500 600 700 800 900 1000
Frequency/Hz

Fig. 8. Envelope spectrum of reconstructed signal.

The envelope analysis is performed on the above reconstructed signal, the envelope spectrum is shown in Fig. 8. It can be
seen from Fig. 8 that the fault feature frequency f i can be extracted from the envelope spectrum of the reconstructed signal,
and compared it with the envelope spectrum of the original signal Fig. 6(b), the pass-band noise is significantly reduced
(becoming more sparse). The magnitude of the fault feature frequency increases but is still surrounded by noise. Therefore,
the reconstructed signal needs to be de-noised again.
Here the model order determined by the method of relative change of singular value is given in order to prove the advan-
tage of the proposed method SVK. As shown in Fig. 9(a), the reconstructed order selected according to the relative change
rate of the singular value is 2, and the envelope spectrum of the reconstructed signal is shown in Fig. 9(b). Comparing Figs. 8
and 9(b), although both of them can extract the fault feature frequency f i ; it is clear that the effect of Fig. 8 is superior to that
of Fig. 9(b) because the pass-band noise is slightly sparse. And the amplitude of the side frequency of Fig. 9(b) is greater than

0.8
Relative change rate
of singular values

0.6
X:2

0.4

0.2

0
0 5 10 15 20 25 30 35 40 45 50
Model order
(a) The relative change rate of in singular values
0.25
fi
fr
0.2
2fi
Amplitude/V

0.15

0.1

0.05

0
0 100 200 300 400 500 600 700 800 900 1000
Frequency/Hz
(b) Envelope spectrum of reconstructed signal

Fig. 9. Analysis of relative change rate of singular values.

488 H. Li et al. / Mechanical Systems and Signal Processing 118 (2019) 477–502

the amplitude of the fault frequency, the second harmonic of the fault characteristic frequency of Fig. 8 is more clearer. In
addition, the kurtosis of the reconstructed signal based on the proposed method is 3.4710, while the kurtosis of the recon-
structed signal by the relative change rate of the singular value is 3.1756. This also shows that the superiority of this method
not only reflected in the theoretical basis, but also reflected in the effect. In summary, the method proposed here has obvious
advantage in determining the model order of SVD.

4.2.2. OFBE analysis of the reconstructed signal

The original signal is further de-noised by the adaptive band-pass filter based on OFBE after the SVD-SVK de-noised in
order to extract the fault characteristic frequency more clearly and improve the SNR. As shown in Fig. 10, from which we
can get the following information: The resonant frequency f n = 3000 Hz, i.e., the center frequency of the band-pass filter
is f c = 3000 Hz. The optimal window length (STFT) is N w ¼ 128.
After the center frequency of the band-pass filter was determined, the bandwidth coefficient a is optimized by using kur-
tosis maximum principle. The relationship between kurtosis and a is shown in Fig. 11 (It shows only the graph of [0.1,10]).
When a is 5.6, the kurtosis value is maximized (6.133), so the optimal bandwidth parameter a ¼ 5:6. Therefore, according to

the Eq. (10), we can get the optimal bandwidth Df ¼ 525 Hz. Finally, the optimal parameters pair [3000,525] of the opti-
mized band-pass filter is obtained.
The above reconstructed signal is filtered and de-noised by the designed filter, and then envelope demodulation analysis
is performed on the filtered signal. As shown in Fig. 12, the envelope spectrum of the filtered signal can clearly extract the
fault feature frequency f i of rolling bearing, its frequency multiplication components 2f i and 3f i ; as well as the rotational
frequency f r can be extracted visibly. Compared it with Fig. 8, the noise of the filtered signal is significantly removed.
The time-domain waveforms of the reconstructed signal of SVD and the filtered signal are obtained here and the corre-
sponding kurtosis values are also obtained to illustrate the effect of noise reduction. As shown in Fig. 13, from Fig. 13(a) (the
time-domain waveform of the reconstructed signal), the impact features cannot be clearly extracted, while from Fig. 13(b)
(the time-domain waveform of the filtered signal), the impact features are particularly obvious, we can see that the filtering
de-noised has a good effect. Analyzing from the kurtosis index, the kurtosis of the reconstructed signal is 3.4710, while the
kurtosis of the band-pass filtered signal is 6.133, which has a significantly increase. Therefore, the validity of OFBE whose
bandwidth parameter is optimized based on maximum kurtosis principle is proved.

1500

X:3000
Power spectrum

1000

500

0
0 1000 2000 3000 4000 5000 6000
Frequency/Hz
(a) Power spectrum of simulated fault
0.99
16
0.98 32
64
128
0.97
256
Frequency Band Entropy

0.96

0.95

0.94

0.93

X:3000
0.92 Y:0.9334

0.91
0 1000 2000 3000 4000 5000 6000
Frequency/Hz
(b) Frequency band entropies at different window lengths

Fig. 10. Analysis of FBE of the simulated signal of the simulated fault.
 H. Li et al. / Mechanical Systems and Signal Processing 118 (2019) 477–502 489

8
7 X:5.6
Y:6.133
6
Kurtosis

5
4
3
2
1
0 1 2 3 4 5 6 7 8 9 10
a

Fig. 11. The relationship between bandwidth coefficient and kurtosis.

0.4

0.3
Amplitude/V

fr fi
2fi
0.2
3fi
0.1

0
0 100 200 300 400 500 600 700 800 900 1000
Frequency/Hz

Fig. 12. Envelope spectrum of filtered signal.

Reconstructed signal, Kurtosis=3.4710

10

5
Amplitude/V

-5

-10
0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4
Time/s
(a) Time domain waveform of the reconstructed signal
Filtered signal, Kurtosis=6.133
5
Amplitude/V

-5
0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4
Time/s
(b) Time-domain waveform of the filtered signal

Fig. 13. Comparative analysis.

5. The actual signal analysis

The actual rolling bearing data are analyzed in order to verify the feasibility and effectiveness of the proposed method in
engineering practice. Taking the data of rolling bearing with outer-race fault as an example, which is made known to public
from the electrical engineering laboratory of Case Western Reserve University [37]. Specific parameters are following:
490 H. Li et al. / Mechanical Systems and Signal Processing 118 (2019) 477–502

4
Amplitude/V

-2

-4
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8
Time/s
(a) The time domain waveform of rolling bearing with inner fault
0.04
fr
fi
0.03
Amplitude/V

0.02

0.01

0
0 100 200 300 400 500 600 700 800 900 1000
Frequency/Hz
(b) The envelope spectrum of roller bearing with inner-race fault

Fig. 14. The fault signal of rolling bearing with inner-race fault.

bearing model: SKF6205, inner fault size: 0.02100 , bearing speed: 1730 r/min, sampling frequency: 12000 Hz. The bearing fre-
quency 28.83 Hz can be obtained by the theoretical calculation formula, which expressed as f r ; Similarly, the characteristic
frequency of roller bearing with inner-face fault is 155.7 Hz, which expressed as f i . Due to the low noise content of the orig-
inal vibration signal, a little random noise is added to the original signal in order to further reflect the effect of this method
without loss of generality.
As shown in Fig. 14(a) and (b), the time-domain waveform and envelope spectrum of the rolling bearing with inner-race fault
are illustrated respectively. From the time-domain waveform Fig. 14(a), the impact characteristics cannot be extracted due to
the serious influence of noise. From the envelope spectrum Fig. 14(b), although the fault feature frequency f i can be extracted.
Therefore, the original signal needs to be processed to improve the SNR. Here, the proposed method is used to process it.

5.1. Analysis of SVD and determination of reconstructed order

The rolling element bearing fault signal is analyzed by the method described in this paper. The method of SVK is used to
determine the model oeder. Only the first 100 points of the relative change rate of the singular value kurtosis are given here,
as shown in Fig. 15. As can be seen from Fig. 15(a), the largest dip occur at the 2 singular value kurtosis (where the absolute
maximum is taken from a positive value). Therefore, the first 2 components are reconstructed to obtain a denoised signal. The
envelope demodulation analysis is performed on the above reconstructed signal, the envelope spectrum is shown in Fig. 15(b).
It can be seen from Fig. 15(b) that the envelope spectrum of the reconstructed signal can extract the fault feature frequency f i ;
and compared it with the envelope spectrum of the original signal Fig. 14(b), the pass-band noise is significantly reduced
(becoming more sparse). It shows that SVD has an inhibitory effect on pass-band noise. The magnitude of the fault character-
istic frequency increases but is still surrounded by noise. Therefore, the reconstructed signal needs to be further de-noised.
Here, the analysis results based on the relative rate of change of the singular values are given similarly, as shown in
Fig. 16. From the Fig. 16, we can see the reconstructed order selected by the relative change rate of the singular value is
6, and the envelope spectrum of the reconstructed signal is shown in Fig. 16(b). It is impossible to extract the fault feature
frequency and rotational frequency of rolling bearing from the envelope spectrum. Only 2 times the fault feature frequency
can be extracted, and it was seriously disturbed by the noise. Moreover, the kurtosis of the reconstructed signal based on the
proposed method is 3.1969, but the kurtosis of the reconstructed signal based on the change rate of the singular value is
2.8940. In summary, we can draw the conclusion that the proposed method has obvious advantage.

5.2. OFBE analysis of the reconstructed signal

Due to the reconstructed signal is still disrupted by serious noise. The existence of noise makes it impossible to clearly
extract the fault characteristic frequency of the rolling bearing. Therefore, the reconstructed signal must be denoised again
 H. Li et al. / Mechanical Systems and Signal Processing 118 (2019) 477–502 491

0.08
the singular kurtosis value
0.06
relative change rate of

X:2
0.04

0.02

-0.02

-0.04
0 10 20 30 40 50 60 70 80 90 100

(a) The relative change rate of in singular kurtosis values

0.08
fi 2fi
fr
0.06
Amplitude/V

0.04

0.02

0
0 100 200 300 400 500 600 700 800 900 1000
Frequency/Hz
(b) Envelope spectrum of reconstructed signal

Fig. 15. Analysis of relative change rate of singular value kurtosis for bearing with inner-face fault.

0.4
Relative change rate

X:6
of singular values

0.3

0.2

0.1

0
0 5 10 15 20 25 30 35 40 45 50
Model order
(a) The relative change rate of in singular values
0.2

0.15
2fi
Amplitude/V

0.1

0.05

0
0 100 200 300 400 500 600 700 800 900 1000
Frequency/Hz
(b) Envelope spectrum of reconstructed signal

Fig. 16. Analysis of relative change rate of singular values for bearing with inner-face fault.

to achieve the purpose of clearly extracting the fault characteristic frequency of the rolling bearing so that the fault type of
rolling bearing can be identified. OFBE analysis is performed on the reconstructed signal. The following parameters can be
obtained through analysis (Due to space limitations, only the analysis results are given here.): the resonant frequency is
f n = 2830 Hz, that is the center frequency of the band-pass filter is f c = 2830 Hz, as well as the optimal window length (STFT)
is N w ¼ 64. It can be seen in Fig. 17 (It shows only the graph of [0.1,10]), when a is 3.9, the filtered signal has the kurtosis
492 H. Li et al. / Mechanical Systems and Signal Processing 118 (2019) 477–502

5
Kurtosis

4
X:3.9
Y:5.494
3

2
0 1 2 3 4 5 6 7 8 9 10
a

Fig. 17. The relationship between bandwidth coefficient and Kurtosis.

0.2

0.15 fi
Amplitude/V

fr
2fr 3fr 2fi
0.1

0.05

0
0 100 200 300 400 500 600 700 800 900 1000
Frequency/Hz

Fig. 18. Envelope spectrum of filtered signal of bearing with inner-face fault.

maximum value (5.494). So the optimal bandwidth parameter a = 3.9. Then, according to the Eq. (10), we can get the opti-

mal bandwidth Df = 731.25 Hz. Therefore, the optimal parameters pair of the band-pass filter is [2830,3.9], which can be
obtained. As shown in Fig. 18, the fault characteristic frequency of rolling bearing f i ; its frequency multiplication components
2f i ; as well as the rotational frequency f r ; can be clearly extracted from the envelope spectrum of the filtered signal.
Similarly, time-domain waveforms and kurtosis indices of reconstructed and filtered signals are given respectively in order
to demonstrate the effectiveness of the proposed method. As shown in Fig. 19, from Fig. 19(a) (the time-domain waveform of
the reconstructed signal), the impact features cannot be extracted clearly, while from Fig. 19(b) (the time-domain waveform
of the filtered signal), the impact features are particularly obvious. So we can conclude that the filtering de-noised has a good
effect. Analyzing from kurtosis indicators, the kurtosis of the reconstructed signal is 3.1969, while the kurtosis of the band-
pass filtered signal is 5.494, which has a significant increase. Therefore, the validity of OFBE proposed in this paper is proved.
The original FBE analysis is used In order to illustrate the advantages of OFBE. The bandwidth parameter is taken as a = 1.5,

that is a ¼ 1:5. So the optimal bandwidth is Df ¼ 281:25 Hz. The envelope spectrum and time-domain waveform of filtered
signal are shown in Fig. 20. Although the fault feature frequency f i of rolling bearing can be extracted, the effect is obviously
not good as shown in Fig. 18. The time-domain waveform is slightly distorted compared to Fig. 19(b), which affects the extrac-
tion of fault features. In addition, the kurtosis values are also different. The kurtosis of the filtered signal based on OFBE is
larger than the kurtosis of the filtered signal based on FBE. In summary, the advantages of OFBE have been proven.

6. Experimental analysis

The test rig is shown in Fig. 21, the model of the sensors used in this experiment is NI9234. Acceleration sensors are
installed in three directions respectively to measure the acceleration signals of the rolling bearing with outer-race fault.
The type of the rolling bearing used is 6205, the size of outer-race pitting fault is 2 mm. The sampling frequency is
f s = 25.6 KHz. The shaft’s rotating speed is 600 rpm (i.e. the rotational frequency is f r = 10 Hz). According to the parameters
of rolling bearing, the fault feature frequency of the rolling bearing with outer-race fault can be calculated as f o = 35.73 Hz.
The time-domain waveform and envelope spectrum of the original signal are given in Fig. 22, we can see that although
the impact characteristics can be extracted from the time-domain waveform, but subject to noise interference; while the
envelope spectrum, although the fault feature frequency can be extracted, the obvious noise glitch can be seen. Therefore,
this method is used to improve its SNR.

6.1. Analysis of SVD and determination of reconstructed order

First, the SVD analysis is performed on original signal, the method of SVK is used to determine the reconstructed oeder. As
shown in Fig. 23, only the first 100 points of the SVK are given here. As can be seen from Fig. 23(a), the reconstructed order is
 H. Li et al. / Mechanical Systems and Signal Processing 118 (2019) 477–502 493

Recontructed signal, Kurtosis=3.1969

5
Amplitude/V

-5

0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4

Time/s
(a) Time domain waveform of the reconstructed signal

Filtered signal, Kurtosis=5.494

4

2
Amplitude/V

-2

-4
0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4
Time/s
(b) Time-domain waveform of the filtered signal

Fig. 19. Comparative analysis of time domain waveforms of bearing with inner-face fault.

0.08
fi
2fr
0.06 fr
Amplitude/V

0.04

0.02

0
0 100 200 300 400 500 600 700 800 900 1000
Frequency/Hz
(a) Envelope spectrum
1.5

1
Amplitude/V

0.5

-0.5

-1

-1.5
0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4
Time/s
(b) Time-domain waveform

Fig. 20. Analysis of FBE.

chosen as 1. The envelope spectrum of the reconstructed signal is shown in Fig. 23(b), and as compared it with Fig. 22(b), it is
obvious that the passband noise is sparse, the magnitude of the fault feature frequency increases. But is still surrounded by
some noise. Therefore, the reconstructed signal needs to be de-noised again.
In order to prove the superiority of the selected method, the selected result of the relative change rate of singular value
(singular difference spectrum) is given, as shown in Fig. 24. The reconstructed order selected by the relative change rate of
494 H. Li et al. / Mechanical Systems and Signal Processing 118 (2019) 477–502

Fig. 21. The test rig.

0.5
Amplitude/V

-0.5

-1
0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4
Time/s
(a) Time-domain waveform of original signal
0.02

0.015 fo
Amplitude/V

0.01

0.005

0
0 1000 2000 3000 4000 5000 6000 7000 8000
Frequency/Hz
(b) Envelope spectrum

Fig. 22. The fault signal of rolling bearing.

singular value (singular difference spectrum) is 2. Comparing Fig. 23 (b) with Fig. 24(b), the pass-band noise of Fig. 23(b) is
slightly sparse (Especially the peaks around 1000 Hz). Analyzing from the kurtosis index, the kurtosis of the signal recon-
structed by the proposed method is 9.1632, while the kurtosis of the signal reconstructed by the relative change rate of sin-
gular values (singular difference spectrum) is 5.5440. Obviously, the kurtosis value of the proposed method is much larger.
Therefore, the method SVK has obvious advantages in the selection of reconstructed order of SVD.

6.2. OFBE analysis of the reconstructed signal

Due to the reconstructed signal of SVD is still disrupted by some noise. OFBE analysis is performed on the reconstructed
signal in order to extract fault features of rolling bearing more better. Parameters of bandpass filter are as follows (Due to
space limitations, only the analysis results are given here.): The resonant frequency is f n = 8148 Hz, that is the center fre-
quency of the band-pass filter is f c = 8148 Hz, as well as the optimal window length (STFT) is N w ¼ 64. As shown in
Fig. 25 (Only [0.1,20]), when a is 14, the filtered signal has the kurtosis maximum value (29.7011). So the optimal bandwidth

parameter a ¼ 14. Then, according to the equation (10), we can get the optimal bandwidth Df ¼ 5600 Hz. Therefore, the
optimal parameters pair of the designed band-pass filter is [8148,14] can be obtained.
 H. Li et al. / Mechanical Systems and Signal Processing 118 (2019) 477–502 495

0.8
in singular kurtosis values
X:1
relative change rate of

0.6

0.4

0.2

-0.2
0 10 20 30 40 50 60 70 80 90 100
Model order
(a) The relative change rate of in singular kurtosis values
0.025
fo
0.02
6fo
Amplitude/V

0.015

0.01

0.005

0
0 1000 2000 3000 4000 5000 6000 7000 8000
Frequency/Hz
(b) Envelope spectrum of reconstructed signal

Fig. 23. Analysis of relative change rate of singular value kurtosis for bearing with outer-face fault.

0.4
Relative change rate
of singular values

0.3 X:2

0.2

0.1

0
0 5 10 15 20 25 30 35 40 45 50
Model order
(a) The relative change rate of in singular values

0.04

fo
0.03
Amplitude/V

0.02

0.01

0
0 1000 2000 3000 4000 5000 6000 7000 8000
Frequency/Hz
(b) Envelope spectrum of reconstructed signal

Fig. 24. Analysis of relative change rate of singular values for bearing with outer-face fault.

As shown in Fig. 26, the envelope spectrum of the filtered signal can clearly extract the fault feature frequency f o of rolling
bearing. And its frequency multiplication components i  f i ði ¼ 1; 2;      Þ, they are gradually attenuated in all overall trend.
As shown in Fig. 27, a comparison of time-domain waveforms is given to demonstrate the effectiveness of the proposed
method. Obviously, the reconstructed signal in Fig. 27(a) is significantly fluctuating over the entire time axis compared
to the filtered signal in Fig. 27(b), the time-domain waveform of the filtered signal has less noise than the time-domain
496 H. Li et al. / Mechanical Systems and Signal Processing 118 (2019) 477–502

30

25

20
Kurtosis

X:14
15
Y:29.7011
10

0
0 2 4 6 8 10 12 14 16 18 20
a

Fig. 25. The relationship between bandwidth coefficient and Kurtosis.

0.02
fo
2fo 4fo 6fo
0.015 8fo 10fo
3fo 5fo
Amplitude/V

7fo 9fo 11fo 15fo

0.01 12fo 14fo

13fo
0.005

0
0 200 400 600 800 1000 1200 1400 1600 1800 2000
Frequency/Hz

Fig. 26. Envelope spectrum of filtered signal of bearing with outer-face fault.

Reconstructed signal, Kurtosis=9.1632

1

0.5
Amplitude/V

-0.5

-1
0 0.02 0.04 0.06 0.08 0.1 0.12 0.14 0.16 0.18 0.2
Time/s
(a) Time domain waveform of the reconstructed signal

Filtered signal, Kurtosis=29.7011

1

0.5
Amplitude/V

-0.5

-1
0 0.02 0.04 0.06 0.08 0.1 0.12 0.14 0.16 0.18 0.2
Time/s
(b) Time-domain waveform of the filtered signal

Fig. 27. Comparative analysis of time domain waveforms of bearing with outer-face fault.

waveform of the reconstructed signal, and the impact is more pronounced. So we can get the conclusion that the OFBE has a
good effect. Analyzing from kurtosis indicator, the kurtosis of the reconstructed signal is 9.1632, while the kurtosis of the
band-pass filtered signal is 29.7011, which has a significant increase. Therefore, the validity of OFBE whose bandwidth
 H. Li et al. / Mechanical Systems and Signal Processing 118 (2019) 477–502 497

0.015

fo
3fo
0.01
Amplitude/V

0.005

0
0 100 200 300 400 500 600 700 800 900 1000
Frequency/Hz

(a) Envelope spectrum

Filtered signal, Kurtosis=14.9968

0.4

0.2
Amplitude/V

-0.2

-0.4
0 0.02 0.04 0.06 0.08 0.1 0.12 0.14 0.16 0.18 0.2
Time/s
(b) Time-domain waveform

Fig. 28. a ¼ 1.

parameter is optimized based on maximum kurtosis principle proposed is proved. And this method can be applied in prac-
tical engineering applications.
Here we give a comparison of the results of two commonly used bandwidth parameter chosen artificially to illustrate the
advantages of optimizing the bandwidth parameters based on the kurtosis maximum principle. The first is a ¼ 1 (i.e. a ¼ 1),

that is, the optimal bandwidth is Df ¼ 400 Hz. The envelope spectrum and the time domain waveform of the filtered signal
are plotted in Fig. 28. Although it is possible to extract the fault characteristic frequency and its multiplied components from
the envelope spectrum, it is obvious that the effect is not good as shown in Fig. 26. The impact characteristics can be clearly
extracted from the time-domain waveform in Fig. 28(b). However, when it compared with Fig. 27(b), the waveform of Fig. 28
(b) is undergone a certain deformation, which resulting in partial distortion of the signal. In addition, the kurtosis value is
14.9968, which is much smaller than the kurtosis value (29.7011) filtered by the proposed method.

When a = 1.5 (i.e.a* = 1.5), the optimal bandwidth Df ¼ 600 Hz can be obtained. The envelope spectrum and time-domain
waveform of the filtered signal are plotted in Fig. 29. Similarly, the effect of envelope spectrum is obvious not good as shown
in Fig. 26. There is a certain distortion in Time-domain waveform (Fig. 29(b)), which may lead to signal distortion, or result-
ing in the loss of useful information. And the kurtosis value is 18.6165, which is significantly smaller than the kurtosis of the
filtered signal based on the proposed method.
Therefore, we can conclude that the method of determining the reconstructed order of SVD and the method of optimizing
bandwidth parameter proposed in this paper all have obvious advantages. The method of fault feature extraction of rolling
bearing can be applied to the actual project effectively.

6.3. Comparison of noise reduction analysis

To illustrate the advantages of the proposed method in noise reduction, compared it with other methods. A comparison of
the proposed method and the other two methods is given as follows to illustrate the ability of the proposed method to
reduce noise.

(1) In Ref. [12], difference spectrum was used to select valid singular values and it was applied to fault diagnosis. Here, it
compared with the proposed method to illustrate the advantages of the proposed method for noise reduction. Accord-
ing to the analysis result from Section 4.1 of this paper, the difference spectrum and the relative change rate of sin-
gular value have the same result for selecting the effective singular value, so the selection process is not given here
(The selected reconstruction order is 2). Only the envelope spectrum and time-domain waveform are given for com-
parative analysis. As shown in Fig. 30, based on the method of Ref. [12], the envelope spectrum is given in Fig. 30(a).
The fault feature frequency f o can be extracted from it, but the frequency multiplication components cannot be
498 H. Li et al. / Mechanical Systems and Signal Processing 118 (2019) 477–502

0.015

fo
3fo
Amplitude/V

0.01

0.005

0
0 100 200 300 400 500 600 700 800 900 1000
Frequency/Hz

(a) Envelope spectrum

Filtered signal, Kurtosis=18.3165
0.4

0.2
Amplitude/V

-0.2

-0.4
0 0.02 0.04 0.06 0.08 0.1 0.12 0.14 0.16 0.18 0.2
Time/s
(b) Time-domain waveform

Fig. 29. a ¼ 1:5.

0.04

0.03
fo
Amplitude/V

0.02

0.01

0
0 100 200 300 400 500 600 700 800 900 1000
Frequency/Hz

(a) The envelope spectrum

1.5

1
Amplitude/V

0.5

-0.5

-1
0 0.02 0.04 0.06 0.08 0.1 0.12 0.14 0.16 0.18 0.2
Time/s
(b) The time-domain of reconstructed signal

Fig. 30. Analyze by Ref. [12].

extracted and it is affected by noise. Comparing it with Fig. 26, several frequency multiplication components of
the fault feature frequency can be more clearly extracted in Fig. 26. Comparing Fig. 30(b) with Fig. 27(b), it can be
clearly seen that there is more noise interference in Fig. 30(b), which causes signal fluctuations in the entire time axis.
 H. Li et al. / Mechanical Systems and Signal Processing 118 (2019) 477–502 499

10
X:4
8
Difference

0
0 10 20 30 40 50 60 70 80 90 100
Number of sample points

Fig. 31. The difference spectrum.

In addition, the kurtosis value of the method Ref. [12] is 5.440, and the kurtosis value of the proposed method is
29.7011. It can be easily concluded that the proposed method is significantly better than the method Ref. [12]. From
this, we can see that the proposed method has significantly improved noise reduction compared to using SVD alone.
Therefore, it is necessary to combine other methods with SVD to enhance its noise reduction function.
(2) In Ref. [26], Han et al. combined EMD with SVD to extract fault features of rolling bearing, and achieved good results.
Here, in order to prove that the proposed method has a good effect and has obvious advantages, we compare it with
the proposed method. Similarly, the experimental data of rolling bearing outer-race fault in this section are analyzed.

The analysis process and results of the proposed method have been given in detail in the above sections. The analytical
results of the method of Ref. [26] are given below. First, EMD is performed on the original signal, the IMF1 is directly selected
as the analysis object. Due to space limitations, we did not provide the decomposition process and results of EMD. Then, SVD
is performed on IMF1, and the reconstruction order is selected by using the difference spectrum method. As shown in Fig. 31,
we can see that the reconstruction order is chosen to be 4. The envelope spectrum and time-domain waveform of the recon-
structed signal are shown in Fig. 32. We can see that the fault feature frequency f o of the rolling bearing and its frequency
multiplication components can be clearly extracted from the envelope spectrum, and it works well. The problem is that there
is an obviously increase in energy near 200 Hz, which may be caused by low-frequency components of non-fault character-
istics. This result is already very good from the time-domain waveform. However, when it compared with Fig. 27, there is a

0.02
fo

0.015 2fo
Amplitude/V

0.01

0.005

0
0 200 400 600 800 1000 1200 1400 1600 1800 2000
Frequency/Hz
(a) The envelope spectrum

Reconstructed signal, Kurtosis=26.0383

1

0.5
Amplitude/V

-0.5

-1
0 0.02 0.04 0.06 0.08 0.1 0.12 0.14 0.16 0.18 0.2
Time/s
(b) Time-domain waveform

Fig. 32. The analysis results by Ref. [26].

500 H. Li et al. / Mechanical Systems and Signal Processing 118 (2019) 477–502

little weak noise, which causing slight fluctuations in the entire time axis. In addition, we can also analyze from the kurtosis
index. The kurtosis value of the analysis result of the proposed method is 29.7011, and the kurtosis value of Ref. [26] is
26.0383. The proposed method has a larger kurtosis value, which illustrates the superiority of the proposed method.
In addition, as a supplement, we analyze the principle of the two methods. The method of Ref. [26] combines EMD and
SVD. EMD is used to preprocess the original signal, but it is well-known that EMD has deficiencies such as end-effect and
mode aliasing. Regardless of the selection of the EMD’s component, the choice of the SVD’s reconstructed order, and the
EMD theory itself, there is no solid theoretical basis. The methods of this article all have a solid theoretical basis (SVD, OFBE,
as well as the choice of the SVD’s reconstructed order and bandwidth parameter’s optimization).
Based on the above analysis, we can conclude that the proposed method is better than the above methods both in terms
of effect and theory.
Of course, there are other methods, such as singular value ratio (SVR) spectrum [38], which are not compared here. The
comparison of the above methods is sufficient to illustrate the effectiveness and superiority of the proposed method.

6.4. Discussions

(1). A novel method for determining the reconstructed signal based on the relative change rate of singular value kurtosis
(SVK) is proposed in order to solve the problem of how to determine the reconstructed order of SVD. It makes full use
of the sensitivity of kurtosis value to the impact characteristics, and it just fits the impact characteristics of the vibra-
tion signal of the rolling bearing with local failure. This method is discussed in detail in Section 3.1. Compared it with
the commonly used method of relative change rate of singular value (singular difference spectrum), the proposed
method has the following advantages: ① It has a solid theoretical basis. ② Its effect is better. ③ It is noise insensitive.
④ It overcomes the deficiencies of the methods of Ref. [12] and [13]. It is used to analyze the inner-race fault simu-
lated signal of rolling bearing and the actual rolling bearing fault analysis. And it has achieved good results, which are
better than the selection method of relative change rate of singular value (singular difference spectrum). The theory of
SVK is simple, easy to understand and easy to use. Therefore, it can be applied to engineering practice.
(2). Accroding to the problem that the bandwidth of the band-pass filter determined by the FBE needs to be selected by
experience, the FBE method was improved based on the maximum kurtosis principle, which is named as OFBE. The
specific method steps are given in Section 3.2. When the kurtosis value is the maximum, the optimal bandwidth

parameter a is obtained. Further, the optimal bandwidth Df can be obtained. Its advantage is demonstrated by com-
paring it with the common bandwidth factor chosen by artificially (a ¼ 1, or a ¼ 1:5) in Section 6.
(3). According to the method of SVD often can not get the desired effect when it is used alone to reduce noise. In this paper,
the combination of SVD-SVK and OFBE is applied to the fault diagnosis of rolling bearing, so a new method of fault
feature extraction of rolling bearing, named SVD-SVK-OFBE, is proposed. Its specific method steps and procedures
can be consulted in Section 3.3. The novel method take full advantages the adaptive band-pass filter design capabil-
ities of OFBE and the pass-band noise reduction capabilities of SVD-SVK. When it compared with SVD analysis, both
simulated and experiment proved its effectiveness and superiority. In Section 6.4, comparisons with other methods
are given to fully explain the effectiveness and superiority of the proposed method.
(4). The method proposed in this paper applied to analysis the fault data of actual rolling bearing and analysis the exper-
imental data, all of them have achieved good results. This shows that the proposed method has the feasibility of engi-
neering, which can be applied to engineering practice effectively, in order to achieve the purpose of fault diagnosis of
rolling bearing.
(5). The search domain of bandwidth parameter of OFBE is discussed in Section 3.2. In the discussion, half of the sampling
frequency f s is set as the entire frequency axis, and then the relationship between the center frequency (resonance
frequency) f n and half of the sampling frequency is discussed to set the relevant search area. Obviously, this is a con-
cept of global search, which may do extra useless work, resulting in lower efficiency. Therefore, it is necessary to fur-
ther study the problem of search domain of bandwidth parameter, reduce its search for useless area and improve
efficiency.

7. Conclusions

This paper presents a new, simple and elegant method SVD-SVK-OFBE for rolling bearing fault feature extraction, which is
composed of two simple methods: SVD-SVK and OFBE. We propose a new reconstructed order determination index—the rel-
ative change rate of singular value kurtosis (SVK) in order to solve the problem of determining the reconstruction order of
SVD. This method makes full use of the sensitivity of kurtosis to impact characteristics, which has a solid theoretical basis,
and it is easy to understand and easy to use. The SVK was successfully applied to the analysis of simulated and actual rolling
bearings, and it achieved satisfactory results. However, because the denoising effect of the SVD method is not ideal, it is com-
bined with the OFBE to form a new method SVD-SVK-OFBE. The bandwidth parameter is not optimized in the original FBE.
The principle of kurtosis maximum is used to optimize the bandwidth parameter in order to obtain better analysis results in
this paper. Combining the two methods, which take full advantages the pass-band noise reduction capabilities of SVD-SVK
and the adaptive band-pass filter design capabilities of OFBE. As a result, SVD-SVK-OFBE can extract the early weak fault
 H. Li et al. / Mechanical Systems and Signal Processing 118 (2019) 477–502 501

features of rolling bearing effectively, and it can achieve accurate diagnosis of rolling bearing. To provide comprehensive evi-
dence to demonstrate the effectiveness and advantages of SVD-SVK-OFBE, compare it with the other two methods (SVD
alone, EMD-SVD). As a result, SVD-SVK-OFBE performs more excellentlly. This can verify the SVD-SVK-OFBE application
potential for failure prevention and system monitoring. We can predict that in the future, SVK-based reconstruction order
selection method and SVD-SVK-OFBE fault feature extraction method can be effectively used in a broader field.

Acknowledgment

This work is supported by the National Natural Science Foundation of China (Grant Nos. 51465022), Key scientific
research projects of Yunnan Province (Gant Nos. 201601PE00008, 2017FA028), and Yunnan Province Personal Training Pro-
jects (Grant Nos. KKSY201401096 and 14118992) are gratefully acknowledged.

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