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The use of SESK as a trend parameter for localized bearing fault diagnosis in
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DOI: 10.1016/j.isatra.2016.02.019

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The use of SESK as a trend parameter for localized bearing fault

diagnosis in induction machines
Lotfi Saidi a,n, Jaouher Ben Ali a, Mohamed Benbouzid b,c, Eric Bechhoefer d
a
University of Tunis, ENSIT- Laboratory of Signal Image and Energy Mastery (SIME), LR 13ES03, 1008, Tunisia
b
University of Brest, FRE CNRS 3744 IRDL, Brest, 29238 Brest, France
c
Shanghai Maritime University, Shanghai, China
d
Green Power Monitoring Systems, LLC, Vermont 05753, USA

art ic l e i nf o a b s t r a c t

Article history: A critical work of bearing fault diagnosis is locating the optimum frequency band that contains faulty
Received 23 August 2015 bearing signal, which is usually buried in the noise background. Now, envelope analysis is commonly
Received in revised form used to obtain the bearing defect harmonics from the envelope signal spectrum analysis and has shown
14 January 2016
fine results in identifying incipient failures occurring in the different parts of a bearing. However, the
Accepted 26 February 2016
main step in implementing envelope analysis is to determine a frequency band that contains faulty
bearing signal component with the highest signal noise level. Conventionally, the choice of the band is
Keywords: made by manual spectrum comparison via identifying the resonance frequency where the largest change
Bearing failures occurred. In this paper, we present a squared envelope based spectral kurtosis method to determine
Squared envelope analysis
optimum envelope analysis parameters including the filtering band and center frequency through a short
Spectral kurtosis
time Fourier transform. We have verified the potential of the spectral kurtosis diagnostic strategy in
Kurtogram
Vibration performance improvements for single-defect diagnosis using real laboratory-collected vibration
data sets.
& 2016 ISA. Published by Elsevier Ltd. All rights reserved.

1. Introduction race and consequently, excite resonances of the structure between

Rolling element bearing (REB) is a major source of failure in
electromechanical systems. Failure surveys by the Electric Power
Research Institute (EPRI) indicate that induction machines
bearing-related faults are about 40% among the most frequent
faults [1–3]. Thus, diagnosis of bearing failures is an important
topic among industrial and academic researches.
Vibration signals are commonly used for bearing condition
monitoring because they are information-rich and the sensors are
inexpensive and easy to implement [1–5].
REB with outer race fault during operation generates a series of
periodic shock-pulses whose repetition rate depends on its
dimensions and the rotational speed of the shaft with which the
bearing is assembled [6,7]. Shock-pulses are generated each time
rolling elements strike the defected surface of the bearing outer
n
Correspondence to: Engineering National Higher School of Tunis (ENSIT),
Laboratory of Signal Image and Energy Mastery (SIME), LR 13ES03, 5 avenue Taha
Hussein, P.O. Box 56, 1008 Tunis, Tunisia. Tel.: þ 216 22169567; fax: þ216 71391166.
E-mail addresses: lotfi.saidi@esstt.rnu.tn (L. Saidi),
benalijaouher@yahoo.fr (J. Ben Ali),
Mohamed.Benbouzid@univ-brest.fr (M. Benbouzid),
eric@gpms-vt.com (E. Bechhoefer).
the fault location and the vibration sensor [8]. The frequency of
shock occurrence is usually called the ball pass frequency of the
outer race (BPFO).
This pulse has an extremely short duration compared to the
interval between the pulses [8,9]. The energy from the defect pulse
will be distributed at very low level over a wide range of fre-
quencies. It is this wide distribution of energy that makes bearing
defects so difficult to detect by conventional spectrum analysis
when they are in the presence of vibration bearing and other
machine components as well as the high noise level [6–9]. How-
ever, because the measured vibration signals are often disturbed
by uncertain impulses and random noises, it is essential to use
some signal processing techniques in the fault diagnosis algo-
rithms to filter out the effects of disturbances and ensure that
more accurate bearing fault features can be extracted.
In open literature, various bearing fault diagnosis methods are
given and most of them are based on the analysis of vibration
signals [2–4]. The vibration analysis methods for bearing fault
detection can be classified into time-domain, frequency-domain,
and time-frequency approaches.
Some scholars have studied in-depth the vibration signals
behavior generated by REBs according to the peak, root mean
square (RMS), kurtosis, and duration of the acoustic emission

http://dx.doi.org/10.1016/j.isatra.2016.02.019
0019-0578/& 2016 ISA. Published by Elsevier Ltd. All rights reserved.

Please cite this article as: Saidi L, et al. The use of SESK as a trend parameter for localized bearing fault diagnosis in induction machines.
ISA Transactions (2016), http://dx.doi.org/10.1016/j.isatra.2016.02.019i
2 L. Saidi et al. / ISA Transactions ∎ (∎∎∎∎) ∎∎∎–∎∎∎

signals [10,11]. Frequency-domain techniques, such as the Fourier
transform (FT), higher order spectral analysis (HOSA), multiple
signal classification (MUSIC), etc.; have the ability to identify and
localize certain characteristic frequencies [12–16]. Time-frequency
analysis techniques such as wavelet transform [17,18], Wigner-
Ville distribution [19], Hilbert-Huang transform (HHT) [20],
empirical mode decomposition [13–21], have also been used for
bearing fault diagnosis. In general, time-frequency techniques are
appropriate for non-stationary signals under transient conditions.
Furthermore, the artificial intelligence techniques, such as artificial
neural networks [21], and support vector machine (SVM) [14,22],
have also been introduced for identifying different types of bear-
ing faults.
The above techniques have an important role in detecting
defects, but a credible signal-to-noise ratio (SNR) to allow mean-
ingful detection of bearing defects was not established. More
reliable and automatic detection methods are needed in order to
extract characteristic frequencies of roller bearings. A signal in the
time domain can be transformed into frequency domain repre-
sentation. The mainly appropriate methods of the frequency
domain approach in the industry are high-frequency resonance
(HFR) techniques. Correct selection of the frequency band that
contains bearing fault induced resonance is crucial to the perfor-
mance of envelope analysis [9,20]. Traditionally, this is done
manually by a vibration analyst each time a signal is to be ana-
lyzed. It means a huge amount of repetitive work, making bearing
fault diagnosis time consuming. The key problem is how to
accurately find the optimal resonance frequency band (RFB).
Antoni in [23,24] investigated and introduced spectral kurtosis
(SK) to solve this issue. It is shown that SK can indicate not only
transient components in signals but also their locations in the
frequency domain, therefore providing the optimal bandwidth for
demodulation. In another word, SK was proposed to select the
detection method consisting of the steps of SK-based signal filter-
ing, and fault diagnosis. Section 4 examines the performance of the
proposed method using simulated and experimental data respec-
tively. The conclusions and future works are drawn in Section 5.
2. SK and its application for bearing fault diagnosis
2.1. Definition and physical interpretation
Dwyer [28] originally proposed SK only for stationary signals as
the normalized fourth-order moment of the real part of the FT.
While bearing vibration signals are non-stationary. Recently,
Antoni et al. [23,24,26] proposed the formalization for both sta-
tionary and non-stationary signals and introduced the SK techni-
que into mechanical fault diagnosis.
SK provides a robust way of detecting incipient faults that
produce impulse-like signals, even in the presence of a strong
noise. SK also offers a way of designing optimal filters for filtering
the fault signature using the kurtogram or the fast kurtogram
(ways to compute the SK) [23,24].
SK has been proven suitable in detecting premature faults from
the strong noise and is widely used in fault diagnosis of REBs. A
bearing signal is a train of impulses and an impulse has much
higher kurtosis value than Gaussian type signals. Kurtosis is a
statistical parameter, defined as [23]:
P
N
1
N ðx i  x Þ4
i¼1
Kurtosis ¼ !2 ð1Þ
P
N
2
1
N ðxi  x Þ
i¼1

frequency band for the envelope analysis automatically.

where x is the sampled time signal, i is the sample index; N is the
Recent works have shown that SK is an attractive signal pro-
cessing tool to diagnose mechanical faults. This statistical tool has number of samples and x is the sample mean. This normalized
been first presented in [23,24] as a complement of power spec- fourth moment is designed to reflect the “peakedness” of the
trum density (PSD). The aim of SK is to detect non-stationary signal. The SK, of a signal, is defined as the kurtosis of its spectral
components of a signal. Thus, SK is representative of the behavior components. The SK of a signal x(t) can be defined as the nor-
of the signal spectral components whereas PSD is representative of malized fourth-order spectral moment [23], i.e.;
their energies distribution. This property makes SK a powerful tool D E
 4 
for several types of faults. Indeed, bearing vibrations are char- X ðt; f Þ
SK x ðf Þ ¼ D E2  2 ð2Þ
acterized by repetitive shock pulses. These impulses may be con-
X 2 ðt; f Þ
sidered as non-stationary and short events and can be detected
using SK as presented in [23] where SK is used to detect localized
mechanical faults such as bearing faults and gearbox failures. where o  4 represents the time-frequency averaging operator,
Moreover, SK can also be used to detect generalized-roughness X4(t, f) and X2(t, f) are the fourth-order and the second-order
bearing fault, as presented in [25]. cumulants respectively of a band-pass filtered signal of x(t) around
Based on this framework, this work has adopted an approach f. The constant 2 (is used since X(t, f) is the complex envelope of
based on the analysis of the vibration signals, exploring the con- x(t) at frequency f.
cepts of squared envelope spectrum (SES) and SK called SESK. The The most important properties of this definition are as follows;
employed methodology has been successfully used for vibration
signal analysis and SK based algorithms to enhance the envelope 1) The SK of a stationary process is a constant function of
analysis performance [26,27]. frequency.
This research work was initially motivated by a number of 2) The SK of a stationary Gaussian process is identical.
preliminary ideas such as the relationship between the kurtosis
and the SES [32]. One of the objectives was to attempt to combine The SK overcomes some limits of the global kurtosis in distin-
them in a unified framework. In particular, unexpected connec- guishing a high-frequency train of shocks from noise. It can be
tions have been expected between the concepts of non- shown that the SK of a non-stationary process x(n) affected by
stationarity and nonlinearity. The ability of the SES to detect and stationary noise b(t) is
filter out non-stationary components is surely worth further
investigation, especially because it is much faster to compute than SK x ðf Þ ρðf Þ SK b 2
SK ðx þ bÞ ðf Þ ¼  2 þ  2 ð3Þ
tools such as the spectral correlation [23–26]. 1 þ ρðf Þ 1 þ ρðf Þ
The rest of the paper is structured as follows: Section 2 intro-
duces the SK computation method and its application for bearing where f a0; ρ(f) is the SNR as a function of frequency. If b (t) is an
faults diagnosis. Section 3 presents the proposed bearing fault additive stationary Gaussian noise independent of x (t), then SK

Please cite this article as: Saidi L, et al. The use of SESK as a trend parameter for localized bearing fault diagnosis in induction machines.
ISA Transactions (2016), http://dx.doi.org/10.1016/j.isatra.2016.02.019i
 L. Saidi et al. / ISA Transactions ∎ (∎∎∎∎) ∎∎∎–∎∎∎ 3

SK

Kurtogram f

STFT
H(t,f)
Optimum Bw

frequency line in a STFT diagram

Fig. 1. Calculation of SK from the STFT; SK is an algorithm that gives an indication of how kurtosis varies with frequency.

becomes; Kmax =0.6 @ level 6, Bw= 93.75Hz, fc=5015.625Hz

0 0.6
SK x ðf Þ
SK ðx þ bÞ ðf Þ ¼  2 ð4Þ 1
1 þ ρðf Þ
1.6
The aforementioned properties clarify how the SK is capable of 0.5
2
detecting, characterizing, and locating in frequency the presence
of hidden non-stationarities. Indeed, from Eq. (2), we can see the 2.6
0.4
value of SK(x þ b) (f) is similar to SKx (f) at frequencies with high 3
SNR. If the SNR is very low, it is close to zero. Therefore, SK value
level k

3.6
directly indicates the SNR of the defective signal at each frequency, 0.3
4
and can find the RFB of vibration signal automatically while
designing a band-pass filter. It has been shown in [24] that SK is a 4.6

complement of the classical PSD to detect non-stationary com- 5 0.2

ponents of a signal and that it can be applied as well on the real 5.6
part, the imaginary part or on the modulus of the signal’s spec-
6
trum. However, a minimum number of spectra is required to 0.1
6.6
correctly estimate the SK of a signal. In practice, this number is fc = 5015.625 Hz@ level 6
reached using the Short Time Fourier transform (STFT). The prin- 7
0
ciple of STFT is to split a signal into k segments and compute the 0 1000 2000 3000 4000 5000 6000
FFT on each segment. This technique is designed to find the fre- frequency [Hz]

quency band by high kurtosis value. STFT coefficients of each time Fig. 2. The fast kurtogram of SK of an outer race vibration signal. Optimal filtering
window of the vibration signal are calculated for kurtosis indivi- band is highlighted by white circle.
dually, all of which are averaged to result in the SK, as shown in
Fig. 1. This method is similar to the Welch method for power
spectral estimation. The pivot of this method is that the time
window must encompass only one impulse; otherwise, the bridge
between impulses will smooth kurtosis out. However, it is very
difficult to determine the time window length.
Technically speaking, many signal time-frequency decomposi-
tion methods have ever been adopted to perform the different
multirate filter- bank structures used in the SK technique.
The first task is to design a filter bank that decomposes the
signal through a series of subbands. Various architectures are
possible as demonstrated in the open literature [7–10] such as
multirate filters, wavelets transform (WT), wavelet packets, dual
tree wavelets, etc. In this paper, an implementation based on the
STFT is used due its simplicity and high flexibility.
The kurtogram was proposed in [27] as a tool for blind identifi- Fig. 3. Combinations of center frequency and bandwidth for the 1/2-binary tree
cation of detection filters for diagnostics. As a result, a 2-D map kurtogram estimator.
(called the kurtogram) is obtained (Fig. 2), which presents values of
SK calculated for various parameters of frequency and bandwidth, in hard to determine the decomposition mode [27]. In practice, many
short, a high value of the kurtogram indicates high impulsiveness in combinations of different central frequency and bandwidth have
the corresponding frequency band. The original kurtogram was to be tried in order to find the suitable frequency band for
based on STFT calculation. A faster version of the kurtogram is the envelope analysis, which needs considerable computation.
fast kurtogram, based on the filter bank approach [24]. The principle of the kurtogram algorithm is based on an
Nevertheless, the kurtosis value depends on both central fre- arborescent multirate filter-bank structure. A1/2-binary tree kur-
quency “fc” and bandwidth “Bw” of each frequency band, so it is togram estimator is shown in Fig. 3, where center frequency and

Please cite this article as: Saidi L, et al. The use of SESK as a trend parameter for localized bearing fault diagnosis in induction machines.
ISA Transactions (2016), http://dx.doi.org/10.1016/j.isatra.2016.02.019i
4 L. Saidi et al. / ISA Transactions ∎ (∎∎∎∎) ∎∎∎–∎∎∎

Zone I Zone II Zone III Zone IV

Magnitude

BPFO
f [Hz]

2 x RPM

3 x RPM
1 x RPM

BPFI
BFF
Bearing natural High frequencies
resonances
Bearing fault frequencies

Fig. 5. Frequency content of a vibration signal of a damaged REB.

frequently used. Their mathematical equations are as follows [3]:

 
f D cos β
BPFO ¼ r N b 1  b ð5Þ
2 Dc
 
fr D cos β
BPFI ¼ Nb 1 þ b ð6Þ
2 Dc
"  2 #
f r Dc Db cos β
BFF ¼ 1 ð7Þ
2 Db Dc
Fig. 4. Bearing rolling elements create impacts when the pass over damage on the
bearing races, creating a periodic series of impacts through time.
where,

bandwidth can be automatically determined. Those colors are
shown in different squares in Fig. 3 clearly indicate the values of
SK. Therefore, the maximum value can be easily found by some
simple searching technique.
As shown in Fig. 3; 1, 2, 3, 4, 5, 6, and 7 levels of filter bank
decomposition are tried and level 6 is turned out to be the best in
this case (kmax ¼ 0.6 (maximum kurtosis value) at level 6, a
bandpass filter of center frequency at fc ¼50153.625 Hz and a
bandwidth of Bw ¼93.75 Hz was used to filter the vibration signal).
The color scale in Fig. 3 denotes kurtosis value. For a compre-
hensive derivation of SK together with and its entire properties
one should refer to the following Refs. [23,24].
2.2. The characteristics of rolling bearing vibration signals
This paper focuses on REBs supporting radial loads. Fig. 4
shows the structure of a REB. A bearing consists of four essential
parts which are inner race, outer race, rolling element and cage
(separator). REBs are used to support a rotating shaft against radial
and axial load, and also, reduce friction to achieve higher speeds
[17,18].
Bearing faults may occur at the surface of the outer raceway,
inner raceway, cage or rollers. In general, failures of a REB oper-
ating under normal condition results from material fatigue and
wear on running surfaces. Premature bearing failure can be caused
by a large number of factors. Among them, such factors prevail as
fatigue, wear, plastic deformation, corrosion, brinelling, poor
lubrication, faulty installation and incorrect design [3].
Commonly, if the vibration spectrum of a healthy bearing
contains any information at all, then it is information related to the
shaft rotation speed and its harmonics, which is shown as Zone I in
Fig. 5. Any other frequencies might indicate noise or frequencies
related to other rotating parts operating at the same time with the
bearing under test [3]. During its early stages, the damage on the
surface is mostly only localized, e.g. pits or spalls. As shown in
Fig. 4, vibration signal, in this case, includes repetitive impacts of
the moving components on the defect. These impacts could create
“repetition” frequencies that depend on whether the defect is on
the inner or the outer race or on the rolling element [3,7–10].
The repetition rates are denoted bearing frequencies, for
example, BPFO (Ball Passing Frequency Outer Race), BPFI (Ball
Passing Frequency Inner Race), and BFF (Ball Fault Frequency) are
fr: rotor shaft frequency (rpm)
Nb: number of rolling elements
Db: ball diameter
Dc: pitch diameter
β: ball contact angle.
Apart from Zone I, in this case, Zones II, III, and/or IV might
appear in the frequency spectrum of the vibration (Fig. 4).
Most of the times, only the vibration spectra of bearings with
early faults contain information of damage since with time these
faults can eventually be smoothed and not given as sharp impul-
ses. So for early faults, the repetition impulses might create initi-
ally an increase of frequencies in the high-frequency range, Zone
IV, and maybe excite the resonant frequencies of the bearing parts,
later on, Zone III, as well as the repetition frequencies of Zone II
(BFF, BPFO, BPFI) [3]. It has been observed in previous studies
though that, many times the vibration of a damaged bearing might
not carry the desired information, and that in this case SK analysis
might be of more use for damage detection [24].
In this paper, the use of SESK method is investigated in order to
perform accurate fault detection in the case of localized bearing
faults, as it seems better suited to analyze the non-stationarity of
the random impact process caused by these faults. In short, the
detection of a bearing fault in the outer race is proposed through
the application of SK-based algorithms to improve the SES analysis
of the vibration signals.
3. Squared envelope based SK (SESK) proposed method
3.1. Methodology
Fig. 6 summarizes the proposed methodology used in this
study for bearing fault detection based on SESK method of the raw
vibration signal. The SESK application process is shown in Fig. 6.
Once the vibration signal is acquired, three main processing steps
are conducted as follows:
1) SK based algorithm (fast kurtogram) indicates in a colormap,
the kurtosis values for several combinations of the center fre-
quency (fc) and bandwidth (Bw) in a predetermined way (Fig. 3).
Then, the optimum filter, defined by fc and Bw, (with highest

Please cite this article as: Saidi L, et al. The use of SESK as a trend parameter for localized bearing fault diagnosis in induction machines.
ISA Transactions (2016), http://dx.doi.org/10.1016/j.isatra.2016.02.019i
 L. Saidi et al. / ISA Transactions ∎ (∎∎∎∎) ∎∎∎–∎∎∎
Data acquisition: raw vibration
Sensors
SK algorithms
Fast Kurtogram/ filter bank
Signal processig tool
Optimum « fc; Bw » selection
Band-filter frequency
Load
Squaring filtred signal
Envelope signal
Vibration signal analysis by
SESK method
SESK spectrum
NO
Healthy Bearing Characteristic
frequency exists
YES
Faulty Bearing
Fig. 6. Flowchart of the proposed SESK bearing diagnosis method.
kurtosis value), is selected to be used in the envelope
computation.
2) SES can be viewed as a development and improvement for
envelope analysis. Usually, it consists of four steps: (1) determi-
nation of the analysis frequency band; (2) design of a band-pass
filter; (3) calculation of the squared band-passed signal; (4) deriva-
tion of the Fourier spectrum for the envelope signal.
3) Finally, SESK spectrum is performed, if it does not contain the
fault characteristic frequency, it means that the bearing under
test is healthy. Otherwise, the bearing is faulty; such that, in a
case of an outer race fault, its fault characteristic frequency and
harmonics can be identified by a peak around values predicted
by Eq. (5).
In this way, some advantages can be outlined from the analysis
of envelope using Hilbert transform (as an approach to the
amplitude demodulation); in this case, an optimum filter is used to
extract a frequency band to be demodulated, removing adjacent
components that may interfere with the analysis. In this case,
according to [11], the signal envelope can be described as the
analytical signal module, which is obtained by the inverse trans-
form of the extracted one-sided band frequency.
On the other hand, the envelope signal analysis is limited by
SNR. Besides, the envelope of a signal is the squared root of the
squared envelope. This square root operation inserts high-
frequency components, and some of them might be aliased if
their frequencies are higher than the Nyquist limit [8].
This process might mask the fault information. Thus, an SES
analysis is performed rather than the envelope analysis.
Please cite this article as: Saidi L, et al. The use of SESK as a trend parameter for localized bearing fault diagnosis in induction machines.
ISA Transactions (2016), http://dx.doi.org/10.1016/j.isatra.2016.02.019i
5
Considering an analytic filtered signal x[n], its SES is calculated
using discrete Fourier transform (DFT) as given by
  2
 
SESx ¼ DFT x½n2  ð8Þ
SES has been widely used in industry application, mainly due to its
low complexity and efficiency. Thus, the aim of this paper is to use
SESK to analyze vibrations in order to detect localized faults in rolling
bearings. However, the greatest difficulty in using envelope analysis is
to define the frequency bandwidth to be used for amplitude demo-
dulation. This difficulty has been mitigated through the advancement
of SK and SK-based algorithms
3.2. REB signals model
Assuming constant rotational speed and load of the bearing,
the vibration signals generated by a REB with defected outer race
were modeled by Randall et al. as [3]:
X  1

xðt Þ ¼ ω t i  τi þ nðt Þ; ð9Þ
i
BPFO
where ω(t) is the waveform generated by a single impact (related
to resonance frequencies of the system), τi is an independent and
identically distributed random variable and n(t) is an additive
background random noise. It now has to be stated that τi intro-
duces the influence of the rolling elements slips into the model.
The simulated signal generated by Eq. (9), corresponds to the
typical response of a bearing with an outer race fault. The shaft
rotation speed fr is 29.16 Hz, [fr ¼rpm/60]. The characteristic
bearing defect frequency BPFO is equal to 3.58 times the shaft
rotation speed, leading to an estimation of the BPFO around 104 Hz
(Fig. 8c).
In order to extract the fault feature, a SK analysis method based
on fast kurtogram [24] is applied to the simulation signal. This
signal is decomposed into four frequency levels, with a 1/3-binary
tree structure [23,24]. The corresponding kurtogram is presented
in Fig. 7, from which a kurtosis dominant frequency-band with
center frequency fc of 8300 Hz and bandwidth of 3333.33 Hz is
clearly identified. With this information, an optimal band-pass
filter is further designed to extract the impulses from the raw
vibration signal. Fig. 8b illustrates the filtered signal.
In the next section, artificially produced defects are introduced
in the bearing outer race to simulate a localized fault, allowing the
evaluation of the SESK applied methodology.
Fig. 7. Fast kurtogram of simulated outer race fault vibration signal. Optimal fil-
tering band is highlighted by white circle; (fc ¼ 8300Hz, Bw ¼3300 Hz).
6 L. Saidi et al. / ISA Transactions ∎ (∎∎∎∎) ∎∎∎–∎∎∎

Original signal
1

-1
0 0.01 0.02 0.03 0.04 0.05 0.06 0.07 0.08 0.09 0.1
time [s]
Envelope of the filtred signal
0.2
Amplitude
0.1

0
0 0.01 0.02 0.03 0.04 0.05 0.06 0.07 0.08 0.09 0.1
time [s]
X: 104.4 -4
x 10 Fourier transform magnitude of the squared envelope
Y: 0.0004119
5

X: 208.7
Y: 0.0004089

0
0 500 1000 1500 2000 2500 3000
frequency [Hz]
BPFO and its harmonics

Fig. 8. (a) Simulated short segment of vibration response data showing outer race impacts and fast kurtogram results: (b) envelope of the filtered signal and (c) envelope
spectrum for healthy bearing; (fc ¼8300 Hz, Bw ¼3300 Hz).

3-phase 50 Hz PC running NI LabVIEW data

power source acquisition & control
rd
ca
i t i o n a ds )
is
qu Q P
Accelerometers Ac I D A
(N

Vibration signals
Healty bearing (HB) Ball fault (BF)
Exchangeable
drive end bearing

2 hp drive IM Torque transducer/Encoder Load

Outer race fault (ORF) Inner race fault (IRF)

Fig. 9. (a) Schematic of the experimental test rig composed of a 2 hp motor (left), a torque transducer/encoder (center), load (right), and control electronics. The test bearings
support the motor shaft. (b) A series of bearing components with faults induced in them indicated in bold line.

4. Experimental results
2hp drive IM Load motor
Torque encoder
4.1. Benchmark data

The bearing data center of Case Western Reserve University

(CWRU) published bearing signal data on-line for researchers to
validate new theories and techniques [29]. All data are annotated
with bearing geometric, operating condition and fault information.
Figs. 9 and 10, show the schematic diagram and the photo of test
stand from which the test data are collected, respectively.
According to the description given by the provider of the test Fan end bearing Drive end bearing
data, the test stand consists of a 2 hp motor (left), a torque location
transducer/encoder (center), and a dynamometer (right). The test
bearings, including drive end and fan end bearings, support the
motor rotor shaft. Single point faults were introduced to the test Fig. 10. Photo of the experimental test rig from CWRU, composed of a 2 hp motor
bearings using electro-discharge machining (outer race fault (left), a torque transducer/encoder (center), load (right). The test bearings support
(ORF), inner race fault (IRF) and ball fault (BF)). In this paper, we the motor shaft [29].
analyze vibration signals of drive end bearing only. Its vibration
data were collected using 3 accelerometers, which were attached zone. For better Signal-Noise-Ratio, we use signals from 6 o’clock
to the housing with magnetic bases at 3, 6 and 12 o’clock posi- for analyzes in this paper. Vibration signals were collected using a
tions. 6 o’clock position is located in the load zone, 3 o’clock is 16 channel DAT recorder at 12,000 samples per second. Speed and
orthogonal to load zone, and 12 o’clock is in the bearing clearance power data were collected using the torque transducer/encoder

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 L. Saidi et al. / ISA Transactions ∎ (∎∎∎∎) ∎∎∎–∎∎∎ 7

and were recorded by hand, the rotating speed of the shaft varied
from 1721 to 1729 revolutions per minute (rpm). Vibration signals
generated by this test stand are dominated by bearing signals
since there are no gears and shafts are healthy. Fig. 9 shows the
spectrum of the vibration signal taken from the drive end bearing
with a single pit on the outer raceway. The bearing is a deep
groove ball bearing and the model is 6205-2RS JEM SKF. The dia-
meter and depth of the pit are 0.18 mm and 0.28 mm respectively.
The geometry and defect frequencies of the two type bearings are
listed in Table 1.
4.2. Case study 1: Outer race fault (ORF)
In this case, the shaft frequency fr is 29.95 Hz (1797 rpm). The
motor load is 0 hp. The sampling rate is 12 kHz. The fault is located
on the outer race, so the fault frequency BPFO¼ 104 Hz. The dia-
meter and depth of the fault are 0.18 mm and 0.28 mm respec-
tively. The spectrum of this signal is shown in Fig. 11. The RFB with
the highest energy should be used for envelope analysis, and the
bandwidth of this frequency band should be about 30 times the
BPFO [3], fBPFO. In this case, the frequency fBPFO is equal to 104 Hz
[29]. Thus, we select the frequency band from 3 kHz to 4 kHz for
envelope analysis. Fig. 13c shows the SES of the bandpass filtered
signal.
As shown in Fig. 12, fast kurtogram was computed using
7 levels, classic kurtosis and filter bank options. Resulted kurto-
grams for the healthy and damaged bearing are shown in Fig. 12
and Fig. 14. The optimal dyad (frequency/frequency bandwidth) for
signals filtering is chosen based on the previous kurtogram. In
general, the optimal dyad is chosen by avoiding maxima that are
close to border conditions or too far from the real vibration mode
of the machine [24]. In the case of damaged bearing, it was used
fc ¼1500 Hz and Bw ¼3000 Hz. The resulting envelopes of the fil-
tered signal are illustrated in Figs. 13 and 15 respectively. Figs. 13b
and 15b give the envelope of the filtered signal and Figs. 13c and
15c show the envelope demodulation spectrum of the filtered
signal. It can be seen the displayed envelope spectrum using SK
clearly indicates the outer race fault frequency BPFO is approxi-
mately 104 Hz witch according to the experiment information
given in Table 1.
As mentioned in the introduction section the main benefit of
using SK is that the frequency band where the signal is band-pass
filtered to enhance the bearing defect signature is selected auto-
matically depending on the original signal characteristics. The
kurtogram is used in the first instance to locate the frequency
region where the kurtosis is maximum, indicating a higher level of
impulsiveness. For this investigation, the algorithm proposed by
Antoni [23,24] for the fast computation of the kurtogram was
Km a x =0 .6 @ le ve l 1 , B w= 3 0 0 0 H z, fc =1 5 0 0 H z
0 0.55
1 0.5
1.6 0.45

Table 1 0.4
2
Drive end bearing information.
0.35
2.6
level k

Bearing SKF-6205 0.3

3
0.25
Geometry size [mm] Outside diameter 51.81
Inside diameter 24.9 3.6 0.2
N 9
4 0.15
Dc 201.9
Db 38.86 0.1
4.6
cos β 0.9
0.05
5

Defect frequencies multiple of running Inner ring 5.4152 0 1000 2000 3000 4000 5000 6000
speed [Hz] Outer ring 3.5848 frequency [Hz]
Cage train 0.3983
Rolling elements 4.7135 Fig. 12. Fast kurtogram of vibration signal from motor with healthy bearing.
Optimal filtering band is highlighted by white circle; (fc ¼ 1500 Hz, Bw ¼ 3000 Hz).

6
x 10
3

X: 104.6
2 Y: 1.627e+006

1
Magnitude

0
0 5 1000 2000 3000 4000 5000 6000
x 10
3

The resonance frequency band

0
0 1000 2000 3000 4000 5000 6000
Frequecy [Hz]
Fig. 11. Spectrum of the real vibration signal generated by: (a) healthy bearing, and (b) bearing with an ORF.

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8 L. Saidi et al. / ISA Transactions ∎ (∎∎∎∎) ∎∎∎–∎∎∎

Origina l s igna l

0.2

-0.2

0 5 10 15 20 25 30 35 40
time [s]

Enve lope of the filtre d s igna l

0.2
Amplitude

0.1

0
0 5 10 15 20 25 30 35 40
time [s]

x 10 Fourie r tra ns form m a gnitude of the s qua re d e nve lope

2

0
0 100 200 300 400 500 600
Frequency [Hz]

Fig. 13. Fas kurtogram results: (a) trend of raw vibration signal, (b) envelope of the filtered signal and (c) SESK for healthy bearing; (fc ¼1500 Hz, Bw ¼ 3000 Hz).

K
max
=2 .4 @ le ve l 1 , B = 3 0 0 0 H z, f =4 5 0 0 H z
w c The SESK in Fig. 17f still has harmonics of BPFI surrounded by
0 sidebands spaced at shaft speed, though it will be seen that the
1 spread of sidebands is greater than in Fig. 17e and d, indicating a
1.6 2 more impulsive modulation. It is suspected that this could be a
2 result of mechanical looseness, causing impulsive modulation of
2.6 random amplitude at intervals of one revolution, but not neces-
3 1.5 sarily phase-locked to the rotation. The smallest and largest faults
(17 mm and 53 mm) in this category were all diagnosable using
level k

3.6
4 SESK algorithm. The strongest ball-fault harmonics are at 2 and
4.6 1 4 times BPFI.
5
5.6 4.4. Case study 3: Ball fault (BF)
0.5
6
6.6 In Fig. 18, the ball fault (BF) cases are certainly the most difficult
7 to diagnose, with only a few giving the classic envelope spectrum
0
0 1000 2000 3000 4000 5000 6000 symptoms of harmonics of possibly with dominant even harmo-
frequency [Hz] nics surrounded by modulation sidebands at cage speed, and with
Fig. 14. Fast kurtogram of vibration signal from motor with a outer race damaged
corresponding low harmonics. The only data sets diagnosable from
bearing. Optimal filtering band is highlighted by white circle; (fc ¼3000 Hz, SESK of the raw signal (Fig. 18) are from the 17 mm and 53 mm
Bw ¼4500 Hz). fault cases.

used, and the kurtograms obtained for the two bearing cases are
performed and are shown in Figs. 12 and 14. 5. Statistical significance
The raw signal of faulty bearing and its SES are shown in Fig. 15.
With the fast kurtogram based method, the fault characteristic The results shown in the paper seem to be from a single run of
frequency fBPFO is located at 104.556 Hz ( ¼(1750/60)  3.5848), simulation/experiment. The results generated from the data do not
and its associated harmonics at 209.11 Hz, 313.67 Hz, 418.22 Hz, have statistical significance and may not be able to generalize. A
522.78 Hz, 627.34 Hz, and so on can be easily detected. The result series of experiments should be conducted to support the author's
is shown in Figs. 15c and 16. claims. In addition, in fault detection problems, the performance of
a detection algorithm usually depends on the trade-off between
robustness and sensitivity. The sensitivity and robustness of the
4.3. Case study 2: Inner race fault (IRF) SESK method need to be explored by running a series of experi-
ments. A receiver operating characteristic (ROC) curve will make
The time signal in Fig. 17a, b, and c shows a series of impulse the results more convincing.
responses at BPFI, amplitude modulated periodically at shaft The results presented in Fig. 19, show the performance of the
speed, the rate at which the fault passes through the load zone. proposed impact detection algorithm, which included SESK. Sen-
The envelope spectrum shows a series of harmonics of BPFI, with sitivity, specificity, and accuracy are the main parameters which
sidebands spaced at shaft speed around each harmonic, as well as reflect the performance of the proposed impact detection
a number of harmonics of the shaft speed. approach. Sensitivity, also known as the true positive rate, reflects

Please cite this article as: Saidi L, et al. The use of SESK as a trend parameter for localized bearing fault diagnosis in induction machines.
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 L. Saidi et al. / ISA Transactions ∎ (∎∎∎∎) ∎∎∎–∎∎∎ 9

Origina l s igna l

-5

0 1 2 3 4 5 6 7 8 9 10
time [s]

Enve lope of the filtre d s igna l

4
Amplitude

0
0 1 2 3 4 5 6 7 8 9 10
time [s]

Fourie r tra ns form m a gnitude of the s qua re d e nve lope

0.03
BPFO a nd its ha rm onics

0.02

0.01

0
0 100 200 300 400 500 600
Frequency [Hz]

Fig. 15. Fas kurtogram results: (a) trend of raw vibration signal, (b) envelope of the filtered signal and (c) SESK for faulty bearing; (fc ¼3000Hz, Bw ¼ 4500Hz). Outer race
characteristic frequency and its harmonics are pointed by arrows. Outer race fault is diagnosed at 104.12 Hz.

OFR17
5
0.15

0 0.1
0.05
-5 0
0 2 4 6 8 10 0 100 200 300 400 500 600

-4
ORF35 x 10
0.5 1
Amplitude

0 0.5

-0.5 0
0 2 4 6 8 10 0 100 200 300 400 500 600

ORF53
0.06
5
0.04
0
0.02
-5
0
0 2 4 6 8 10 0 100 200 300 400 500 600

Time [s] Frequency [Hz]

Fig. 16. (a), (b) and (c) Faulty vibration signal (outer race fault) under different fault diameters and their respective SESK in (d), (e) and (f). Outer race fault is diagnosed at
104.12 Hz.

the proportion of correctly identified positive detections in the false positives

faulty case. Specificity also called the True negative rate, measures
the proportion of correctly identified negative detections in the
fault-free case. Accuracy reflects the rate of overall correctly
identified fault-free and faulty samples and represents a measure
of the total probability of correct diagnosis. Performance para-
meters are based on four measures, which include:
true positives
tpr ¼
true positives þ false negatives
f pr ¼ ð11Þ
false positives þ true negatives
To examine SESK detection measure's performance, ROC curves
are used [30,31]. An ROC curves is a detection performance eva-
luation methodology and demonstrates how effectively a certain
detector can separate two groups in a quantitative manner. An
ROC curve shows the trade-off between the probability of detec-
tion or true positives rate (tpr), also called sensitivity and recall
ð10Þ
versus the probability of false alarm or false positives rate (fpr).

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Fig. 17. (a), (b) and (c) Faulty vibration signal (inner race fault) under different fault diameters and their respective SESK in (d), (e) and (f). inner race fault is diagnosed at
159.20 Hz.

-5
BF x 10
17
5
0.5

-0.5
0
0 2 4 6 8 10 0 50 100 150 200 250
BF x 10
35
1 2
Amplitude

0 1

-1 0
0 2 4 6 8 10 0 100 200 300 400 500
BF x 10
53
0.5 2

0 1

-0.5 0
0 2 4 6 8 10 0 100 200 300 400 500
Time [s] Frequency [Hz]
Fig. 18. (a), (b) and (c); faulty vibration signal (ball fault) under different fault diameters and their respective SESK in (d), (e) and (f). ball fault is diagnosed at 139 Hz.

ROC curve
ROC curves are well described by Fawcett [30]. The tpr and fpr are
1
mathematically expressed in Eqs. (10) and (11), respectively.
For each case (Healthy, ORF, IRF and BF) and for each load and 0.9
speed combinations ((0 hp, 1797 rpm), (1 hp, 1772 rpm), (2 hp, 0.8
1750 rpm), and (3 hp, 1730 rpm)), and under different bearing
defect severities (as shown in Table 2) a series of 70 independent 0.7
True positive rate

Monte-Carlo experiments are conducted. For each experiment, the 0.6

probability of false alarm and the probability of detection are
obtained by counting detection results out of 3360 independent 0.5

Monte-Carlo experiments by the squared envelope based-SK 0.4

method. The resultant ROC curve is shown in Fig. 19. Thus, when
applied to experimental data from real bearings, the SESK method 0.3
Baseline
successfully identified more than 96.9% of the bearing data avail- 0.2 Outer race fault
able with less than 1.1% error (Table 3). Inner race fault
0.1
Total area under ROC curve (AUC) is a single index for mea- Ball fault
suring the statistical diagnosis algorithm performance. Fig. 19 0
depicts three different ROC curves. Considering the AUC, diagnosis 0 0.2 0.4 0.6 0.8 1
False positive rate
test using ORF results is better than both with IRF and BF, and the
curve is closer to the perfect discrimination. Test using IRF has Fig. 19. ROC curves for SESK detection performance evaluation.

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 L. Saidi et al. / ISA Transactions ∎ (∎∎∎∎) ∎∎∎–∎∎∎ 11

good validity and test using BF has moderate. In addition, the
majority of detections proved to be positive, which clearly indi-
cates the presence of impacts. However, a significant amount of
missed detections is evident and is apparently a consequence
weak impacts compared to the bearing damage. In Fig. 19, we can
say about the performances of the three bearing cases statistical
results, that the AUC values are: ORF (0.879), IRF (0.815), BF
(0.768). The relative ORF curve turns out to be superior.
6. Comparisons with recent techniques for bearing fault
diagnosis
Guoet al. present a hybrid method based on SK and ensemble
empirical model decomposition (EEMD) for faulty bearing signal
buried in a large noise [35]. In fact, in presence of large noise, it
may be difficult to recover impulses [24–26,33]. So, in their paper,
the authors first filter the raw vibration signal through an optimal
band-pass filter based on SK and, then, they apply EEMD method
to decompose the filtered signal into stationary sub-signals. Var-
ious bearing signals are used to validate the efficiency of their
proposed method and the results prove how this processing
method can effectively improve the impulses generated by bearing
faults from the raw signal also if large noise is present. However,
their proposed method does not extend the analysis of vibration in
the case of varying load and speed.
In [25], Immovilli et al. the authors want to find a detection
procedure of generalized roughness that could affect roller bear-
ings. Once the bandwidth where the effect of the fault is stronger
is identified using SK and kurtogram, the energy of the signal in
this bandwidth is used as a diagnostic index. Experiments confirm
Table 2
Description of bearing data set analyzed under rated conditions.
Bearing condition Fault specifications
Diameter [mm] Depth [mm]
HB HB 0 0
the effectiveness and reliability of the proposed approach applied
to vibration monitoring, with results consistent at various damage
levels and rotation speeds.
An innovative application related to the speed variation is that
presented in [37]. The authors start from the fact that the trans-
mission path given by the excitation to the measured vibration on
the surface of a mechanical system could introduce a distortion
both in amplitude and in phase. Moreover, in under variable speed
conditions, the transfer function of the mechanical system con-
tributes to their distortion with a variation in time. In this way, the
envelope order tracking (EOT) usually operated with a tachometer
has reduced efficiency and, therefore, a discrete-random separa-
tion achieved by a synchronous averaging is not reliable any more.
The innovation presented in this paper stands in the identification,
both in the time domain and in the order spectrum of the signal, of
an extent of the distortion. The important consequences related to
rotating machinery diagnostics are then highlight.
As described in Antoni [39], these approaches may still give
improper solutions when the measured vibration signal contains
irrelevant periodic impulses. The motivation is that irrelevant
impulses or their mixture with bearing fault signals could have a
high kurtosis value. Therefore, only maximizing the time domain
envelope kurtosis is not enough to distinguish bearing fault signals
from irrelevant periodic impulses.
To overcome the limitations of kurtogram, in this paper, the
SESK method was applied as a metric to select frequency bands,
the frequency bandwidth was determined in advance using SK,
and the center frequency was chosen by checking the variation of
the kurtosis of the envelope spectra against the center frequency.
This algorithm has the ability to detect transient signals with
relatively low SNR. Moreover, the envelope of a signal is the
squared root of the squared envelope. This square root operation
inserts high-frequency components, and some of them might be
aliased if their frequencies are higher than the Nyquist limit,
which maybe obscures the former, and thus, results in a false
diagnosis. This process might mask the fault information. Thus, an
SES analysis is performed rather than the envelope analysis. Such
work constitutes the contribution of this submission.

IRF IRF17 0.1778 0.279 7. Conclusion and future work

IRF35 0.3556 0.279
IRF53 0.5334 0.279 The automatically frequency band selection ability of SK, when
IRF71 0.7112 0.279
applied to vibration signals, has been tested in this work for an
artificially damaged bearing. The capacity of SESK to enhance the
BF BF17 0.1778 0.279 signature of a bearing fault is well known when applied to
BF35 0.3556 0.279
vibration signals, From the results obtained in this work, it is
BF53 0.5334 0.279
BF71 0.7112 0.279
possible to conclude that SESK can be a very useful tool to reduce
the background noise and improve the burst visibility in bearing
vibration signals obtained from defective bearings with different
ORF ORF17 0.1778 0.279
ORF35 0.7112 0.279
defect sizes. On the other hand, SESK analysis of the vibration
ORF53 0.5334 0.279 produced promising results, if a suitable demodulation frequency
band was chosen. In this sense, the fast kurtogram algorithm

Table 3
Main methods combined with a SK technique for bearing fault diagnosis.

Technique SK Technique References Comments

Autoregressive model (AR) STFT-based SK [3,8,11] Filtering of the residual signal

Extended Kalman filter (EKF) Optimized SK [35] Optimized SK for initializing series of EKF
Ensemble empirical model decomposition (EEMD) STFT-based SK [36] SK used as preprocessing optimal band-pass filter.
Genetic algorithm (GA) Kurtogram [37] SK for initial estimates and GA for final optimization
Support vector machine (SVM) STFT-based SK [34] Filtering of the raw signal
Minimum entropy deconvolution (MED) WT-based SK [8] SK for the selection of a resonance frequency band
Envelope order tracking (EOT) Kurtogram [38] Kurtogram was used as preprocessing to determine signatures
The proposed methodology: Squared envelope spectrum base SK (SESK) STFT-based SK SK for the selection of a frequency band

Please cite this article as: Saidi L, et al. The use of SESK as a trend parameter for localized bearing fault diagnosis in induction machines.
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12 L. Saidi et al. / ISA Transactions ∎ (∎∎∎∎) ∎∎∎–∎∎∎
proved to be more efficient to identify frequency bands where the
fault impulses are concentrated. Thus, from the experimental
results, it is possible to observe evidence that the effect of loca-
lized bearing damage in the vibration signals.
Future works should evaluate the method for other bearing
geometry sizes, gearbox failures and other fault locations, such as,
on the inner race, cage, and ball. To better assess the capabilities
for early fault detection and possible severity fault indexes.
On the other hand, the results of this work indicate that the
SESK method is still evolving and has been utilized with some
successes in fault diagnosis of the bearings in induction machines.
It is expected that further research and applications of existing
schemes will flourish in the near future, especially in the fields of
the prognostics, oriented both to the degradation analysis and
prediction of the remaining useful life (RUL).
Acknowledgments
The authors wound like to thank the Case Western University
Bearing Data Center for kindly providing the experimental data,
analyzed in this paper, as well as we would like to thank
Dr. Kenneth A. Loparo from the same University, for his experi-
mental data provided.
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