Remaining Useful Life Prediction of Ball-Bearings Based On High-Frequency Vibration Features

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Remaining useful life prediction of ball-bearings based on high-frequency


vibration features

Article  in  ARCHIVE Proceedings of the Institution of Mechanical Engineers Part C Journal of Mechanical Engineering Science 1989-1996 (vols 203-210) · November 2017
DOI: 10.1177/0954406217734885

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Original Article

Proc IMechE Part C:


J Mechanical Engineering Science
Remaining useful life prediction of 2018, Vol. 232(18) 3224–3234
! IMechE 2017

ball-bearings based on high-frequency Article reuse guidelines:


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vibration features DOI: 10.1177/0954406217734885


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Mehdi Behzad1, Hesam Addin Arghand1 and


Abbas Rohani Bastami2

Abstract
Selecting appropriate features from the vibration condition monitoring data of ball-bearings is one of the main challenges
in the application of data-driven methods for remaining useful life prediction purpose. In this article, a new feature based
on the high-frequency vibration of ball-bearings is proposed. The feed forward neural network will be used for training
and prediction. The experimental data of the bearing accelerated life in the PROGNOSTIA test (published in PHM 2012
IEEE conference) are used to verify the method. The results obtained by applying new features are compared with those
of two popular features in the time domain (RMS and kurtosis) for prognostic purpose. Applying the proposed feature
shows more accurate estimation of the bearings’ remaining useful life.

Keywords
Prognostics, data-driven methods, feature, high-frequency vibrations, ball-bearing

Date received: 21 January 2017; accepted: 5 September 2017

developed a robust method to predict the RUL of


Introduction the ball-bearings. They used wavelet filter to extract
Accurate failure time estimation of mechanical the features and the self-organized map to model the
components plays a significant role in enhancing the degradation of ball-bearings. Gebraeel and Lawley8
reliability and maintenance schedule of the machines. used the neural network (NN) model for prognostics.
Ball-bearing failures are the most probable failure They used the vibration value in the defective
mode of the industrial rotating machinery.1,2 frequency and its six harmonics as input features of
Therefore, many researchers have studied the the NN. Mahammad et al.9 used feed forward neural
prognostic methods of the ball-bearings. The most network (FFNN) to estimate the RUL of the ball-
proposed methods are based on the analysis of the bearings. In that study, the Weibull hazard function
vibration condition monitoring (VCM) data, since was applied for fitting to the features. However, the
that is the most effective condition monitoring (CM) proposed method by this group was tested on the
method of the rotating machinery.3 same data, which they had employed for training.
One of the main categories of the prognostic Tian10 introduced a generalized function of Weibull
approaches is known as data-driven methods. These hazard rate function, which shows better results of
methods have been developed extensively in the last fitting into the degradation data. He used actual
two decades.4 Generally, data-driven methods are bearing CM measurement data for investigating his
categorized into the statistical methods and the artifi- proposed method. Zhu et al.11 combined neighbor-
cial intelligence (AI) methods.5 The base of all the AI hood rough set method and kernel method for
methods includes two stages. In the first stage, some
run-to-failure datasets are used for training and 1
School of Mechanical Engineering, Sharif University of Technology,
developing an AI model. Then, in the second stage Tehran, Iran
2
the trained model is employed for predicting the Department of Mechanical and Energy Engineering, Abbaspour School
remaining useful life (RUL) of the other similar com- of Engineering, Shahid Beheshti University, Tehran, Iran
ponents by using the CM data history.6 There are
Corresponding author:
many several proposed features and algorithms that Mehdi Behzad, School of Mechanical Engineering, Sharif University of
have been introduced by the researchers for predicting Technology, Azadi Avenue, Tehran 145888-969, Iran.
the RUL with the data-driven methods. Qiu et al.7 Email: m_behzad@sharif.edu
Behzad et al. 3225

statistic feature extraction in bearing fault detection failure mechanisms for these elements are discussed
problem. Chen et al.12 utilized their proposed relative and classified in ISO 15243.22 The rolling contact fati-
features for small sample rolling bearing prognostic gue (RCF) is known as the main failure mechanism
problem. Ben Ali et al.13 proposed a new technique that is highly probable to occur for the bearings,
based on NN classification. Zhang et al.14 proposed a which are working in the normal operating condition
new approach for feature selection in the faulty with proper load, lubrication, installation, and free
bearing vibration signal. Van and Kang15 proposed from contamination. In this failure mechanism, the
a two-stage selecting method for using more accurate subsurface microcracks initiate to propagate due to
and rich degradation features. repeating stress and fatigue in contacting surfaces.
In the PHM 2012 IEEE conference, a new dataset When the cracks grow enough, some particles flake
of the bearing accelerated life test, named from the surface and spalling happens in the surface
PROGNOSTIA16 was published as a prognostic chal- of the elements. Then, the spalling area is propa-
lenge for researchers. Then, many researchers applied gated in the surface and the bearing degrades grad-
these datasets to their new studies in the recent years. ually. When the spalling area reaches to a critical
All the researches that will be reviewed by the end of value, this is the end of useful life for a bearing.
this paragraph have used the PROGNOSTIA dataset At this point, the level of the bearing vibration
in their work. Chouri et al.17 extracted eight features during the operation is very high and the machine
in the time domain and two features in the frequency needs to be stopped because of damage risk.
domain. They utilized the supporting vector method Sadeghi et al.23 had a good review on RCF failure
(SVM) for RUL prediction with the extracted fea- mechanism in bearings. They have discussed details
tures. In another research, Benkedjouh et al.18 devel- of this failure mechanism. In addition, they have
oped a model by combining the supporting vector reviewed the different models that predict the bear-
regression (SVR) and isometric feature mapping ing life for RCF. Here, the degradation of the bear-
reduction technique. They employed the energy of ing due to spall propagation is going to be studied
the signal in eight different levels as the features. In in this research.
another research, the entropy of the vibration signal Four main failure modes of the ball bearings are
was studied by Hong et al.19 They introduced a new corresponding to the inner race failure, the outer race
health indicator. Then, they could estimate the bear- failure, the balls failure and the failure of the cage.
ing health condition and RUL based on the value of The degradation in the three first mentioned failure
the new proposed indicator. Liu et al.20 proposed a modes starts with metal contacting surface defects.
data-driven framework based on the health state Here, a physical mechanism of degradation is
assessment and then they used statistical features in explained for these three failure modes. When the
the time domain and the frequency domain for pre- metal contacting surfaces of the bearing components
dicting the ball-bearing RUL. Zhao et al.21 proposed begin to be defected, the roughness of these surfaces
another method based on time-frequency domain fea- increases locally. This causes an increase in the vibra-
tures. Then, they used the linear regression model to tion level of the bearing. Behzad et al.24 studied how
predict the RUL based on their new proposed feature the surface defects increase the bearing vibration level.
extraction technique. They showed that the tiny peaks in the defected sur-
In this study, considering the physical reason and face cause more severe contacts between moving
failure mechanism, a new feature has been introduced parts. Consequently, the level of vibration in the
for ball-bearing prognostic purpose. The FFNN high-frequency bandwidth is enhanced gradually.
method has been employed for prediction. Finally, Therefore, the level of bearing vibration in the high-
the results of the applying new and the popular fea- frequency bandwidth is expected to be a good indica-
tures have been compared. tor of its degradation in the earlier stages for failure
growth in the inner race, the outer race, and the balls.
In this regard, although there is no specific standard
Feature selection
reference, which discusses about using the high-fre-
Feature selection is one of the most important steps in quency vibrations in bearing fault detection, it is
all data-driven methods. An appropriate feature is used for bearing diagnostic purpose in many
one that varies during the whole life of the bearing, researches and practical applications.
as well as it can describe the degradation of the bear- Based on the above discussion, the high-frequency
ing. Therefore, it is better to choose a feature with the bandwidth root mean square (HFRMS) is chosen as a
monotonic behavior, since it is preferred for the RUL frequency domain feature for ball-bearing RUL esti-
estimation based on feature variation. So, it was the mation. Then the performance of this feature combin-
aim of some researches to introduce the new features ing with that of other popular time domain features
and evaluating their performance in the prognostic will be investigated in this article. The results will be
problem. compared with the performance of the popular fea-
Various failure mechanisms may occur for rolling tures in the literature including root mean square
element bearings in the service. All the probable (RMS) and kurtosis. In addition, selecting the
3226 Proc IMechE Part C: J Mechanical Engineering Science 232(18)

Figure 1. RMS and kurtosis trend for seven datasets in operating condition 1 of the PROGNOSTIA test.

frequency bandwidth will be based on considering the in two different time steps ti and ti-d. The differ-
ball-bearing resonance regions. ence between two time steps, d, must be selected
In order to improve the performance of the data-- based on the expected life of the bearing. Moreover,
driven model and make it more sensitive to the vari- the time in each step, ti, and the time in d steps before
ation of the features, rather than the absolute values that, ti-d, are considered as inputs for data-driven
of them, it is preferred to use the values of the features model.
Behzad et al. 3227

On the other hand, the life ratio, Tratio, is con- Since the maximum value for the ti at the end of the
sidered as the target of the data-driven model. It is test is UL, Tratioi is expected to be a real number
defined as the passed time from the start point of the between 0 and 1.
bearing until the current point i divided by whole
useful life, UL
Experimental data
ti In this research, the experimental data of the
Tratioi ¼ ð1Þ
UL PROGNOSTIA test16 are employed to investigate
the capability of the new proposed features. The
data of this test was published in PHM 2012
IEEE conference as a prognostic data challenge
and many researchers have used them for their
research during the recent years. The
PROGNOSTIA test includes the complete datasets
of 17 ball-bearing accelerated life run-to-failure
experiments in three different operating conditions.
In these experiments, the vibration of the bearing
has been monitored in the horizontal and the verti-
cal directions and the accelerometers have recorded
the vibration signals with 25.6 kHz sampling fre-
quency in each 10 s. The length of each recorded
signal is 0.1 s. For more details about the mentioned
experiments, please refer to Nectoux et al.16
In order to investigate the proposed method in this
article, operating condition 1 is selected. There were
two reasons for this choice: First, operating condi-
tions 1 and 2 include seven datasets. However, oper-
ating condition 3 includes just three datasets. Second,
Figure 2. The structure of the proposed FFNN model.
the applied load in operating condition 1 is equal to

Figure 3. Flowchart of the proposed data-driven method.


3228 Proc IMechE Part C: J Mechanical Engineering Science 232(18)

efficient in modeling the nonlinear engineering


problems.
Here, various combinations of the popular time
domain features RMS and kurtosis, the new proposed
frequency domain feature HFRMS, and time are con-
sidered as the inputs of the NN. In order to decrease
the noise in the trend of features, the smoothing algo-
rithm is applied to all the three mentioned features. A
sliding window of length 5 is used to smoothen the
initial features. Therefore, each given feature in the ith
step, Vi, is replaced with the new smoothened value of
the feature, Vsi , that is the average value of the feature
in last five steps
Figure 4. A sample spectrum regarding to the bearing 5
(relative growth is observed in frequency bandwidths: [1,2] 1X 4
Vsi ¼ Vij ð2Þ
kHz, [3,4] kHz, and [4.5,6.5] kHz). 5 j¼0

After applying the smoothing algorithm to the fea-


the basic dynamic load rating of the bearing. ture trend, it is still possible to see some fluctuations in
However, the bearing is overloaded in two other oper- some regions. The reason for these fluctuations is dis-
ating conditions (compared with basic dynamic load cussed in Ben Ali et al.13 However, degradation of the
of the bearing). Considering operating condition 1 for ball-bearing and damage propagation is a monotonic
investigating the proposed method, the initial analysis process, and the fluctuations of the features may dis-
was applied to these datasets in order to see the qual- turb the RUL estimation accuracy. To enhance the
ity of tests and measurements. To this aim, the trend accuracy of the NN method, it is preferred to fit a
of RMS and kurtosis of the seven datasets were inves- degradation function to the actual data and then use
tigated. Figure 1 shows the plot of the mentioned the fitted function in the training process. In this art-
trends. icle, the generalized Weibull failure rate function10 is
On comparison of the initial analysis results used for fitting into the features. This function is con-
represented in Figure 1, it is seen that the kurtosis sidered with three unknown parameters A, B, and C
in test 1-2 has unusual behavior. In addition, the as follows
RMS trend pattern in test 1-4 does not match with
the known three-stage pattern of degradation Vf ¼ A þ B tC ð3Þ
(including normal operation, slow degradation, and
fast degradation) that has been discussed in the Parameter A is the value of the fitted function at
literature.19,25 Since these two datasets have no t ¼ 0. Parameter B is introduced to scale the function
normal expected behavior of bearing degradation, and parameter C works as a shape parameter. So, this
they are preferred not to be used in this analysis and function has a good flexibility to fit the degradation
verification. Therefore, these two datasets are data. In each training process, using the nonlinear
excluded from the applying data and the other five fitting method, this function is fitted to the smoothed
datasets in operating condition 1 will be used for the features. Then, the fitted values will be used as the
purpose of this study. training data.
In the training process, 60% of the data points are
specified for training, 30% of the points are used for
Artificial intelligence modeling
validating, and remaining 10% of the points are used
In this research, the FFNN method is employed for for testing. Dividing the data points to these three
RUL prediction of the ball-bearings. The proposed groups is based on random selection.
algorithm is programmed in Matlab software. If the overfitting occurs in the NN during the train-
Figure 2 shows the employed FFNN configuration. ing process, despite observing a good performance in
This network includes two layers. In the first layer this step, the NN will not have acceptable perform-
(hidden layer), there are five neurons and a nonlinear ance in numerical tests with the new datasets. To pre-
sigmoid function is selected for the output of this vent the overfitting problem of the NN, the unfitted
layer. And, in the second layer the linear function is smoothened features are used for validating, beside
used to produce the final output of the network. The the fitted values of the features that are used for
number of the neurons in the hidden layer are selected training.
by trial and error. In addition, the Levenberg– In the next stage, the trained NN will be used for
Marquardt (LM) backpropagation algorithm is used prediction. In the prediction stage, the extracted fea-
for training of the network. This FFNN has been very tures from the initial vibration data must be
Behzad et al. 3229

Figure 5. Trend of new proposing features for all bearing tests.


3230 Proc IMechE Part C: J Mechanical Engineering Science 232(18)

Table 1. Comparison of the results of applying different features.

Numerical test code Applied features input Err2090 err2090

01 ti, ti-20, RMSi, RMSi-20, Ki, Ki-20 0.418 0.130


02 ti, ti-20, RMSi, RMSi-20 0.161 0.091
03 ti, ti-20, HFRMS(1,2)i, HFRMS(1,2)i-20 0.144 0.085
04 ti, ti-20, HFRMS(3,4)i, HFRMS(3,4)i-20 0.144 0.071
05 ti, ti-20, HFRMS(4.5,6.5)i, HFRMS(4.5,6.5)i-20 0.132 0.084
06 ti, ti-20, HFRMS(8,10)i, HFRMS(8,10)i-20 0.116 0.077
07 ti, ti-20, HFRMS(1,10)i, HFRMS(1,10)i-20 0.137 0.082
08 ti, ti-20, RMSi, RMSi-20, HFRMS(8,10)i, HFRMS(8,10)i-20 0.162 0.089
09 ti, ti-20, RMSi, RMSi-20, HFRMS(1,10)i, HFRMS(1,10)i-20 0.148 0.097
10 ti, ti-20, HFRMS(8,10)i, HFRMS(8,10)i-20, HFRMS(1,10)i, HFRMS(1,10)i-20 0.163 0.090

Table 2. Details of all numerical tests in calculating Err20-90.

Err2090 in each numerical test


Training Predicting
datasets datasets 01 02 03 04 05 06 07 08 09 10

1, 3, 5 6 0.7258 0.0589 0.0466 0.2978 0.1666 0.0797 0.0394 0.0710 0.0696 0.1094
7 0.1522 0.1340 0.1198 0.1411 0.1873 0.1215 0.1088 0.1457 0.1312 0.1225
1, 3, 6 5 0.1296 0.0473 0.0499 –0.0659 0.1153 0.0552 0.0653 –0.0795 0.0643 –0.0248
7 0.1997 0.1114 0.1255 0.1171 0.1755 0.1107 0.1303 0.1078 0.1303 0.1184
1, 3, 7 5 0.1144 0.0319 –0.0324 –0.1386 0.0859 0.0987 –0.0170 0.0857 0.0440 –0.0428
6 –0.5460 0.0558 0.0941 0.1834 0.0869 0.1067 0.0279 0.0894 0.0390 0.0846
1, 5, 6 3 –0.2989 0.2729 0.1414 0.2218 0.0834 0.1541 0.2844 0.2654 0.3472 0.1840
7 0.1672 0.1572 0.1531 –0.1004 0.1079 0.1882 0.1218 0.1993 0.1828 0.1615
1, 5, 7 3 –0.6079 0.2674 0.1995 0.2188 0.1500 0.1060 0.2680 0.2197 0.1321 0.3985
6 –0.7417 0.2461 0.1015 –0.2200 0.1342 0.0520 0.1607 0.1035 0.1271 0.3704
1, 6, 7 3 0.2820 0.3605 0.2184 0.1653 0.0518 0.0703 0.1888 0.4416 0.2062 0.1122
5 –0.0624 0.0651 –0.1492 0.0841 0.0973 –0.0200 0.1069 –0.1294 –0.0929 –0.0820
3, 5, 6 1 –0.2047 –0.1802 –0.1705 –0.1336 –0.1845 –0.1733 –0.1658 –0.1640 –0.1759 –0.1627
7 0.0944 0.0782 0.0888 0.1100 0.1057 0.0820 0.0858 0.0844 0.0817 0.0866
3, 5, 7 1 –1.9568 –0.2207 –0.2102 –0.2522 –0.2065 –0.1981 –0.1977 –0.1942 –0.2061 –0.2255
6 –0.8258 –0.0505 –0.0938 –0.1271 –0.0787 –0.0425 –0.0846 –0.0846 –0.0654 –0.0588
3, 6, 7 1 –0.3333 –0.1977 –0.2102 –0.0846 –0.2137 –0.2039 –0.2410 –0.2088 –0.2011 –0.2730
5 –0.1622 –0.0534 –0.0716 0.0487 –0.0724 –0.0505 –0.0955 –0.0397 –0.0573 –0.0907
5, 6, 7 1 –0.4371 –0.3502 –0.2339 –0.0692 –0.2619 –0.3141 –0.2548 –0.3441 –0.3734 –0.3570
3 0.3224 –0.2824 0.3608 0.0953 –0.0831 –0.0981 –0.0880 –0.1776 –0.2418 –0.1985
Average –0.2720 0.0275 0.0263 -0.0051 0.0223 0.0062 0.02218 0.0196 0.0071 0.0116
Average of magnitudes 0.4182 0.1611 0.1436 0.1437 0.1324 0.1162 0.1366 0.1618 0.1485 0.1632

smoothened with the same algorithm that was intro- The discussed algorithm is summarized in a flow-
duced for the training data in equation (2). Then, chart, which is shown in Figure 3.
these data will be applied to the trained NN without
estimation with any fitting function. The output of the
Results
network in any ith time step, ti, is the predicted time
ratio in that time step, T ratioi . Therefore, the estimated The results of applying the introduced features and
remaining useful life RUL can be calculated as follows the proposed algorithm to the PROGNOSTIA test
datasets, and comparing them with applying popular
ti features is presented in this section. To achieve this
RUL ¼  ti ð4Þ

Tratioi purpose, several combination of the popular time
Behzad et al. 3231

Figure 6. Comparison of the four selected features (training datasets: 1–5–7, prediction dataset: 3).

domain features and the new proposed frequency bearing and a flat region with no considerable peaks
domain features are considered for numerical tests. are indicated in this sample spectrum.
The new proposed features are introduced with To study the variation of the proposed features
HFRMS(a,b)i in this section, which means the RMS during the whole life of the bearing, the trend of all
of the spectrum signal in [a,b] kHz frequency band- these features for five selected run-to-failure bearing
width at the ith time step. For selecting a frequency tests are depicted and compared together in Figure 5.
bandwidth, the acceleration signal spectrum of all the Generally, the introduced features show different
available datasets was studied. Relative amplitude behaviors. The monotonic behavior is desired for a
growth was detected in three regions. Therefore, feature that is going to be used as health indicator.
these three regions including [1,2] kHz, [3,4] kHz, However, comparing the trends of the HFRMS fea-
and [4.5,6.5] kHz were considered to be corresponding tures in Figure 5 shows that in the actual cases, some
to the bearing natural frequencies. These frequency features may not obey the desired monotonic behav-
bandwidths are three candidates for new feature cal- ior. In addition, it is feasible that in some cases, the
culation. Additionally, the high-frequency bandwidth vibration level in high-frequency bandwidth may
[8,10] kHz and the wide bandwidth [1,10] kHz are two locally decrease for a period of time, after the initial
more candidates for this study. The [8,10] kHz increase. This local decrease is due to the smoothening
includes no considerable amplitude growth and the of the created sharp edges during the spalling of the
[1,10] kHz covers all the previous mentioned regions. surface. The continuous metal-to-metal contacts
As an example, a sample spectrum diagram for the cause this smoothening. However, usually the bearing
healthy condition of bearing 5 is presented in vibration trend may regrow after a local decrease,
Figure 4. The three mentioned frequency bandwidths which is because of the spall propagation and degrad-
corresponding to the natural frequencies of the ation of the components. Therefore, although it is
3232 Proc IMechE Part C: J Mechanical Engineering Science 232(18)

Figure 7. Comparison of the four selected features (training datasets: 3–5–7, prediction dataset: 1).

probable to observe local decrease in the vibration datasets, the best one is recorded as the results of
level, usually the general behavior of the vibration that numerical test.
trend is increasing. This general behavior is seen in The parameter Err20-90 is introduced to investigate
all the plotted trends in Figure 5. and compare the numerical tests results. This
The list of the numerical tests and corresponding parameter is defined as the maximum error of
applied features as the inputs, are shown in column 1 predicted time ratio T i , between the 0.2 and 0.9 of
and column 2 of Table 1 respectively. As previously the bearing whole life.
mentioned, the two values of each feature, including
 
the current value and the value at d-steps before that, Ti  T i
are applied as the inputs to the NN. In these numer- Err2090 ¼ max ; 0:2 4 Ti 40:9 ð5Þ
Ti
ical tests, d is considered to be 20 steps, which corres-
ponds to 200 s. In the same way, the average value of error
Each numerical test includes all possible cases of between 0.2 and 0.9 of the whole life, err20-90, is intro-
selecting three datasets out of five available datasets duced as follows
for training and then applying the trained NN to the
Xn2   
other two remaining datasets. Therefore, in 1 Ti  T i Tn1 ¼ 0:2
each numerical test, 10 various NNs are trained and err2090 ¼ ;
n2  n1 þ 1 i¼n1 Ti Tn2 ¼ 0:9
each one is applied to two datasets. It means that each
numerical test includes 20 set of results. For each ð6Þ
numerical test, the whole mentioned procedure is
repeated five times, and after evaluating the perform- Err2090 and err2090 , which are shown in the third
ance of the five trained networks on the testing and fourth columns of Table 1, are the average of 20
Behzad et al. 3233

magnitude values in each numerical test for param- literature shows more accurate prediction of the pre-
eters Err20-90 and err20-90, respectively. sented approach in this article.
Comparing the results of all the numerical tests
shows that generally it can be said that the high-fre- Declaration of Conflicting Interests
quency features have had better prediction and less The author(s) declared no potential conflicts of interest with
error in comparison to the RMS feature and the com- respect to the research, authorship, and/or publication of
bination of RMS and kurtosis (numerical tests 01 and this article.
02). In addition, since the analysis method includes
some randomness and uncertainty, it is not possible Funding
to compare the numerical tests whose results are The author(s) received no financial support for the research,
closer to each other. However, bearing this in mind, authorship, and/or publication of this article.
it is possible to roughly compare the numerical tests.
Moreover, the frequency bandwidth with no References
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