Measurement 138 (2019) 526–535

Contents lists available at ScienceDirect

Measurement
journal homepage: www.elsevier.com/locate/measurement

Rotor fault diagnosis using a convolutional neural network with

symmetrized dot pattern images
Xiaoxun Zhu, Dongnan Hou, Pei Zhou, Zhonghe Han ⇑, Yiming Yuan, Weiwei Zhou, Qianqian Yin
School of Energy Power and Mechanical Engineering, North China Electric Power University, Baoding 071003, Hebei, People’s Republic of China

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

Article history: Vibration failure is a common problem in most rotating machinery, and vibration fault diagnosis is an
Received 6 January 2018 important means of ensuring stable equipment operation. The present work proposes a rotor vibration
Received in revised form 26 January 2019 fault diagnosis approach that transforms multiple vibration signals into symmetrized dot pattern (SDP)
Accepted 10 February 2019
images, and then identifies the SDP graphical feature characteristic of different vibration states using a
Available online 13 February 2019
convolutional neural network (CNN). SDP images reveal different vibration states in a simple and intu-
itive manner. In addition, a CNN can reliably and accurately identify vibration faults by extracting the fea-
Keywords:
ture information of SDP images adaptively through deep learning. The proposed approach is tested
Deep learning
Convolutional neural networks
experimentally using a rotor vibration test bed, and the results obtained are compared to those obtained
Symmetrized dot pattern with an equivalent CNN-based image recognition approach using orbit plot images. The rotor fault diag-
Fault diagnosis nosis precision is improved from 92% to 96.5%.
Rotor Ó 2019 Elsevier Ltd. All rights reserved.

1. Introduction machine learning approaches, such as neural network and support

Vibration failure is a common problem for all heavy machinery,
particularly for rotating machinery. Vibration faults are directly
related to increased operation and maintenance costs and can even
affect the level of safety and result in system-wide failures, which
can have substantial repercussions, particularly for critical infras-
tructure like electric power plants employing heavy rotating
machinery. The avoidance of system failures requires the assess-
ment of equipment condition via vibration fault diagnosis through
monitoring vibration signals collected by sensors located at various
locations [1].
Vibration fault diagnosis is a process of fault feature extraction
and pattern recognition [2,3] essentially. First, vibration signals
obtained from, e.g., rotating machinery, must be transformed into
useful information via signal processing. Time-domain analysis
and frequency-domain analysis [4] have been widely employed
in vibration fault diagnosis owing to the simplicity and intuitive-
ness of these approaches. However, the analysis of only time and
frequency domain information is not sufficient for nonlinear and
non-stationary vibration signals, which require a combined time-
frequency analysis approach [5–7]. Primary signal features can
then be extracted on the basis of signal analyses, and those feature
characteristic of specific vibration states can be identified by
⇑ Corresponding author.
E-mail address: hanzhonghe@ncepu.edu.cn (Z. Han).
vector machine (SVM) algorithms [8,9]. However, the accuracy of
conventional machine learning approaches depends heavily on
the specific characteristics of the extracted signal features and
lacks the process of adaptive feature learning. Moreover, the accu-
racy of the diagnosis model is limited due to insufficient learning
depth.
In recent years, the emergence of deep learning has made sig-
nificant contributions toward solving the problem of feature adap-
tive learning [10]. Among the available deep learning approaches,
the application of convolutional neural networks (CNNs) to vibra-
tion fault diagnosis has recently become a focus of research. For
example, a vibration fault identification model based on one-
dimensional (1D) CNN has been proposed [11,12]. Here, the vibra-
tion signal time series was directly used as the model input, and
the vibration state was obtained by the direct learning of the signal
characteristics representative of vibration fault states. Due to the
complexity and non-linearity of the vibration signal, it is difficult
to directly input the CNN network to extract the effective features,
which affects the diagnostic accuracy. In addition, vibration fault
diagnosis techniques based on CNN and image recognition have
also been investigated. Zeng and Li [13] proposed a time-
frequency spectrogram image recognition method based on a
CNN, and accordingly established a vibration fault diagnosis model
of an automobile gearbox. However, the time-frequency image is
overly dependent on the time-frequency analysis method. The
time resolution and frequency resolution of time-frequency images

https://doi.org/10.1016/j.measurement.2019.02.022
0263-2241/Ó 2019 Elsevier Ltd. All rights reserved.
 X. Zhu et al. / Measurement 138 (2019) 526–535
cannot be guaranteed, and the diagnostic accuracy is affected.
From the perspective of pattern recognition algorithms, the axis
orbit, which reveals characteristic information regarding vibration
faults in the form of plot images, and it is an important method for
visualizing the vibration signals of rotating machinery, has been
employed in conjunction with a deep learning algorithm to
develop a rotating machinery fault diagnosis algorithm [14]. How-
ever, the recognition rate of axis orbit plot images is substantially
reduced for low signal-to-noise ratio (SNR) signals. Moreover, the
center offset and rotation of the orbit plot images introduce diffi-
culties for CNN identification. In an approach related to orbit plot
image recognition, the application of symmetrized dot pattern
(SDP) images for the identification of vibration states [15] is a rel-
atively new approach that combines signal processing and image
analysis. SDPs are particularly useful because they represent differ-
ent vibration states in a simple and intuitive manner. However,
existing studies have adopted the conventional fault matching
method for fault identification, which provides insufficient learn-
ing depth with a correspondingly reduced diagnostic accuracy.
The present work combines the advantages of SDP images and
CNNs in image recognition and feature learning to develop a rotary
machine vibration fault diagnosis approach. Here, a vibration sig-
nal is transformed into a SDP image, and the graphical features
of SDP images characteristic of different vibration states are
learned and identified through a CNN to realize vibration fault
diagnosis. The proposed approach is tested experimentally using
a rotor vibration test bed, and the results obtained are compared
to those obtained with an equivalent CNN-based image recognition
approach using orbit plot images. The results demonstrate the
validity and significant contribution of the approach.
2. SDP images of time-series signals
2.1. Overview of SDP
Changes in the amplitude and frequency of time-series signals
can be depicted by means of an easy-to-understand visual repre-
sentation by mapping a normalized time waveform into SDPs on
a polar graph to produce SDP images. For a time series signal X =
{x1, x2, . . ., xi, . . ., xn}, any point i in X can be mapped onto a point
S[r(i), h(i), u(i)] in polar coordinates, where r(i) is the polar radius,
and h(i) and u(i) are the two angles of the conventional polar space,
as shown in Fig. 1. This mapping is conducted according to Eqs.
(1)–(3).
Fig. 1. Principle of SDP method.
527
Fig. 1 illustration of r(i) as the polar radius, and h(i) and u(i) as
the two angles of the conventional polar space by which any point i
in a time-series signal X = {x1, x2, . . ., xi, . . ., xn} is mapped onto a
point S[r(i), h(i), u(i)] in polar coordinates in conjunction with a
plotting gain n (n
h).
xi  xmin
rðiÞ ¼ ð1Þ
xmax  xmin
xiþq  xmin
hðiÞ ¼ hs þ n ð2Þ
xmax  xmin
xiþq  xmin
uðiÞ ¼ hs  n ð3Þ
xmax  xmin
In which, xmax and xmin are the greatest and the smallest values
in X ,hs is the sth rotation angle of a specified mirror symmetry
plane, which is given as hs = 360 S/N, where s = 1, 2, . . ., n and n is
the number of mirror symmetry planes, q is the time lag coeffi-
cient, and n is the gain of the plotting (n
h). This signal represen-
tation technique was first conceived for the visual characterization
of speech waveforms, and is particularly effective for low SNR
signals.
From the above analysis, we note that a SDP image derived from
a signal is n-mirrored in polar coordinates according to angle hs.
This indicates that each mirrored image can represent the charac-
teristics of the signal. In addition, a SDP diagram of N signals col-
lected from different positions can also be displayed in the same
polar coordinates to realize the fusion of information. Considering
a periodic sinusoidal signal as an example ðyðtÞ ¼ sinð2  p  50ÞÞ,
where the sampling frequency is 1 kHz, resulting in 1000 sampling
points, the SDP provides 6 mirrors in polar coordinates at 60° inter-
vals, as illustrated in Fig. 2.
2.2. SDP images of simulated signals
The distinct advantages of SDP signal representations are illus-
trated here using four simulated signals representative of different
vibration states, including a simple periodic signal (Signal A),
superimposed periodic signals (Signals B and C), and a complex
superimposed periodic signal including a periodic impulse compo-
nent (Signal D). The simulation signals are given as
Fig. 2. SDP image.
528 X. Zhu et al. / Measurement 138 (2019) 526–535
xðtÞ ¼ hðt Þ þ sðt Þ þ nðt Þ:
In which, h(t) represents aperiodic signal consisting of K = 4
possible periodic components with amplitudes of Ai and frequen-
cies of fi, and is given as
X
K generated by rotor to establish a more robust and automatic vibra-
hðtÞ ¼ Ai sinð2  p  f i  tÞ;
i¼1
In addition, s(t) represents the following periodic impact com-
ponent [16], consisting of M single component periodic impact sig-
nals of equivalent amplitude B:
X
M structure that is similar to that of the biological cognitive processes
sðt Þ ¼ Bexp½bðt  mT p Þ  cos½2pf r  ðt  mT p Þuðt  mT p Þ;
m¼1
where b is the attenuation coefficient, Tp is the impact interval, fr is
the resonance frequency, and u() is a unit step function. Finally, n
(t) represents a noisy signal to simulate random interference and pro-
vide an SNR of 30 for all signals. The sampling frequency is 1 kHz,
resulting in 1000 sampling points over a 1 s period. The variables of
s(t) are set using the parameters M = 14, B = 1.5, b = 420, fr = 420 Hz,
and Tp = 1/30 s. The remaining parameters of the four simulation sig-
nals are listed in Table 1. The four simulation signals were trans-
formed into SDP images using the parameters q = 10, n = 6, and
n = 30°, and the SDP images are shown in Fig. 3. We note from the fig-
ure that the SDP images clearly exhibit characteristics representative
of the different vibration states of the simulated signals.
We note from Fig. 3 that, for a mirror surface, the characteristics
of a single periodic signal SDP image is a crescent shape, the char-
acteristics of superimposed periodic signals are a smaller crescent-
shaped figure within a larger figure, and superimposed periodic
signals with a periodic impact component are characterized by
an irregular pattern.
2.3. SDP images of low SNR signals
Compared with the orbit plot method, the SDP method is a par-
ticularly effective technique for visualizing low SNR signals. To
illustrate this advantage of SDP images, both SDP and orbit plot
images for a single periodic signal (h(i) = 60°) with different SNR
values are plotted in Fig. 4.
The results clearly indicate that the orbit plot image representa-
tion expresses no identifying signal characteristics for an SNR of
30, whereas the corresponding SDP image expresses the essential
characteristics of the signal. Accordingly, the following conclusions
can be drawn. The proposed method is more suitable for low SNR
signals than methods based on conventional orbit plot images.
3. Recognition of vibration states in SDP images based on a CNN
Although SDPs contain significant information regarding the
condition of rotating machinery, these images are presently not
well utilized in typical plant applications because of their compli-
cated shape patterns arising from various causes. Moreover, the
numerical definition of features represented by specific SDP pat-
terns is not readily accomplished when considering subtle differ-
Table 1
Parameters of simulated time-series signals for illustrating SDP images.
A1 f1 (Hz) A2 f2 (Hz)
A – – 0.6 50
B 0.2 25 0.6 50
C – – 0.8 50
D – – 0.8 50
ð4Þ ences in size or shape, although human experts can easily
discriminate between the shapes presented by SDP patterns
robustly. As a result, SPD images remain manually monitored by
human operators in many industrial settings. Therefore, a machine
learning method to autonomously identify different SDP patterns
ð5Þ tion fault monitoring system are proposed.
3.1. Deep learning and CNNs
Deep learning neural networks employ a hierarchical model
of animals. The features of the input data are extracted step by step
through a series of levels to form an abstract high-level feature
ð6Þ representation. A CNN is a truly multi-layer structured deep learn-
ing model architecture developed for two-dimensional image
(matrix) analysis [17] that employs relative spatial relationships
among image pixels to reduce the required number of parameters.
The essence of a CNN is to autonomously learn several feature fil-
ters (or kernels) that can extract and process the features hidden in
the input image data layer by layer. The hierarchical structure of
the CNN employed in the present study is illustrated in Fig. 5,
and its functionality can be summarized as follows.
(1) Input layer. The image to be identified is input to the CNN,
and then the features of the image are extracted and learned
in a training process to determine the kernels to be subse-
quently employed for feature identification.
(2) Convolutional layer (C layer). The C layer employs a number
of kernels that are individually convolved with the previous
layer to form a corresponding number of feature maps. Each
convolutional kernel is applied to the previous layer accord-
ing to the local receptive fields of the individual neurons,
which all employ the same kernel, and a feature map is gen-
erated in conjunction with a nonlinear activation function
f(). Although the receptive fields of individual neurons are
limited, these overlap with the receptive fields of neighbor-
ing neurons, which lends a high degree of size and shift
invariance to the subsequent identification results. Specifi-
cally, the input uli and the output xli for the jth neuron at layer
l for each kernel of the C layer can be expressed as follows:
!
  X l l
xlj ¼ f uj ¼ f
l
xi  kij þ bj ;
l1
ð7Þ
i2Ri
where xl1 is the output of the ith neuron at layer l  1, klij is
i
the kernel weight from the ith neuron at layer l  1 to the
jth neuron at layer l, and blj is the scalar bias of the jth neuron
at layer l. The output of the C layer can be considered as a sin-
gle layer with a depth dimension corresponding to the num-
ber of feature maps.
(3) Subsampling layer (S layer). The S layer is employed to
reduce the dimension of a feature map representation, cre-
ate invariance to small shifts and distortions, and avoid
over-fitting. The output can be given as
A3 f3 (Hz) A4 f4 (Hz) s(t)
– – – – N
– – – – N
0.6 100 – – N
0.2 100 0.2 150 Y
 X. Zhu et al. / Measurement 138 (2019) 526–535 529

Fig. 3. SDP images for different simulated signals based on Eqs. (4)–(6) and the parameters in Table 1.

l
xlj ¼ gðulj Þ ¼ gðblj  downðxl1
i Þ þ bj Þ; ð8Þ (5) Output layer. In classification tasks, the feature vector
extracted from the CNN is classified and identified, and a
value representative of an identification probability is out-
where g() is the activation function in the S layer, blj is the
put for each class. The Softmax classifier was implemented
weight coefficient for the jth neuron at layer l, and down()
in this layer [20].
is the subsampling (or pooling) operation. Accordingly, new
features are obtained by pooling processes using commonly
The CNN uses the back propagation (BP) algorithm to imple-
employed pooling methods such as mean-pooling, max-
ment the training of network parameters [21]. The main parame-
pooling, and stochastic-pooling [18,19].
ters for the optimization of the CNN include the convolutional
kernel weight parameters k of the C layer, the weight coefficient
(4) Fully connected layer (FC layer). All neurons in the FC layer l
b of the S layer, the weight coefficient w of the FC layer, and the
are fully connected to the neurons of both layers l  1 and l
bias values b corresponding to each layer. Optimization of the net-
+ 1. The output of this layer can be given as
work parameters of each layer is conducted according to an objec-
tive function denoted as the sensitivity parameter, which is given
   
xlj ¼ r ulj ¼ r wlj xl1
l
þ bj ; ð9Þ as
j

1 X 2
where r() and wlj are the activation function and weight EP ¼ ypj  opj ; ð10Þ
2 j
coefficient of the FC layer, respectively.
530 X. Zhu et al. / Measurement 138 (2019) 526–535

Fig. 4. SDP (above) and orbit plot (below) images for a single periodic signal with different signal-to-noise ratio (SNR) values.

where opj is the actual output and ypj is the ideal output of the j-th
layer. Here, the objective is to obtain an actual CNN output value
that approaches the ideal output.
3.2. Vibration state recognition method
The method illustrated in Fig. 6 is proposed for identifying
vibration states inherent in SDP images through the extraction
and learning of SDP image features using the CNN. In the proposed
recognition method, we fuse the vibration data collected by m sen-
sors at different positions as SDPs. All n signals are arranged in the
same polar coordinates according to a designated rotation angle.
The SDP images with an image matrix of 128 * 128 was composed
by N signal fusion. Randomly selected part of the SDP image data
set as the training set of CNN. CNN can find more complicated
structures from complicated image and extract high-dimensional
and more abstract representations and further, help computer to
establish complicated concept. Thus, the trained CNN model can
perform the classification of SDP image. To improve the recogni-
tion accuracy of CNN in SDP image recognition, the remaining
SDP image data set is taken as the test set which is classified by
using CNN model. By comparing the classification results, the effi-
ciency of the CNN model in the features extraction of SDP images
can be checked.
 X. Zhu et al. / Measurement 138 (2019) 526–535
Fig. 5. Hierarchical structure of the CNN employed in the present work.
Fig. 6. Proposed vibration state recognition method based on SDP images and the CNN.
4. Experimental
4.1. Experimental setup
To better demonstrate the improved accuracy offered by the
superior information fusion ability of SDP images, vibration signals
were obtained using 4 eddy current sensors installed at different
positions of a Bently RK4 rotor vibration test table, as shown in
Fig. 7, to obtain vibration fault data for four rotor vibration fault
states (unbalanced, oil whirl, static and dynamic rubbing, and
misalignment). In the experiments, sensor #1 was perpendicular
to sensor #2 and sensor #3 was perpendicular to sensor #4 with
respect to the longitudinal rotor axis, and the signal data was nor-
malized. The sampling frequency was 1 kHz. The mass imbalance
of the rotor is caused by the counterweight screws of different
mass. The mass counterweight screws of 0.1 g, 0.2 g, 0.4 g, 0.8 g,
1.0 g, 1.2 g, 1.6 g, 2.0 g and their combinations are installed in the
different phases of the rotary mass block to simulate the quality
unbalance faults; there is a friction bolt (copper and plastic) on
the friction device. Firstly, the distance between the bolt and the
rotor is fixed to make it close. Turn on the motor and then, the rub-
bing experiment under different conditions is simulated by differ-
ent bolts; When the motor is turned on, the Oil whirl fault can be
Fig. 7. Bently RK4 rotor vibration test table employed in the experimental testing.
531
simulated by adjusting the bearing oil pressure of the equipment.
In the experiment, the rotating speeds were about 1000 rpm,
1500 rpm, 1800 rpm and 3000 rpm respectively. We obtained
400 samples (sample length is 1024) for each rotor vibration fault
state, where 300 were employed as training samples and 100 were
employed as test samples. The CNN employed in this study (Fig. 5)
consisted of two C layers (C1 and C3), two S layers (S2 and S4), and
a FC layer and output layer. C1 and C3 employed 6 and 12 kernels,
respectively, each with a uniform kernel size of 5, and the subsam-
pling factor employed in the down() operations of S2 and S4 was
set to 2. The rectified linear unit (ReLU) was selected as the activa-
tion function in fully connected layers.
4.2. Experimental results and performance evaluation
Representative waveforms obtained from the four sensors for
the four separate vibration fault states are shown in Fig. 8, with
the parameters time lag l = 10, angle h = 90°, angular gain n = 30°,
and the corresponding SDP images are shown in Fig. 9. As an image
recognition tool, CNN has been greatly developed in recent years
and many models are proposed based on it, such as lenet-5, Alex-
Net, VGG, ResNet, GoogLeNet, etc., which are used to deal with
more complicated problems and greatly improve the accuracy of
image recognition. In order to solve the problem of vibration fault
recognition, this paper firstly proposed the SDP diagram of multi-
sensor information fusion, which enhanced the difference between
different fault types, and then, based on this, the CNN structure
was designed. In the design process, this paper investigated several
CNN models and found that the more complex CNN model (such as
VGG) can absolutely realize the fault signal of SDP image recogni-
tion. However, the training time is longer with an increased diffi-
culty in model parameter adjustment. Therefore, in this paper,
the model was designed on the basis of lenet-5 to obtain the model
structure, and the structure of the CNN model is shown in Table 2.
Compared with lenet-5, it is simpler and it short one fully con-
532 X. Zhu et al. / Measurement 138 (2019) 526–535
(a) Unbalanced
(c) Rubbing
Fig. 8. Representative waveforms obtained from the four sensors for the four different vibration states.
nected layer. In our experiments, considering the four kinds of fault
classification with a less type classification than lenet5, The CNN
network with one fully connected layer can achieve the same clas-
sification accuracy, and also can effectively improve the computing
speed. On the other hand, in order to select the network, a compar-
ison between the lenet-5 and similar VGG network model are con-
ducted and results show that, the accuracy rate of VGG model and
lenet5 model is basically in the same level (the accuracy of not
optimized VGG model is even lower than the classification results
of lenent5 model) and the optimal parameters were selected by
trial and error method to identify SDP images.
Some degree of noise of the signals derived from the experi-
mental station is observed. The recognition results for the pro-
posed method on the 400 test samples of all four vibration fault
states are listed in Table 3. The experimental results yield an over-
all recognition accuracy of 96.5%, which represents high reliability.
For comparison, orbit plot images were also constructed using
the data obtained from two of the perpendicularly placed sensors
(i.e., sensors #1 and #2) for the four vibration fault states, and
the results are shown in Fig. 10. From this comparison, it was
observed that each orbit plot image presents the vibration charac-
teristics obtained from only a single position. Meanwhile, a single
SDP image can display the vibration characteristics of different
positions, which clearly demonstrates the advantages of SDP
images in terms of information fusion. Then, the CNN was similarly
applied for vibration fault recognition based on the obtained orbit
plot images. Orbit plot images require some preprocessing, such as
centralization and reorientation, prior to conducting vibration fault
state recognition [14]. Otherwise, the recognition accuracy will be
(b) Oil whirl
adversely affected. The recognition results for the orbit plot images
are listed in Table 4. The experimental results for this method yield
an overall recognition accuracy of 93.8%, indicating that the pro-
posed recognition approach based on SDP images yields a higher
recognition accuracy than that based on orbit plot images.
In order to compare the identification accuracy of CNN and
methods in Ref. [15] in SDP image, the test set used in this paper
was diagnosed using the failure matching based on the clustering
templates. First, all SDP images of the test set were converted into
image gray matrix, and 30 SDP images under each fault state were
selected as the fault template. The characteristic value of the clus-
tering center is calculated by summing the image matrixes of all
the templates of each running state of rotor and then calculate
the average value. The threshold value was assigned as 0.75 with
is the same with that in Ref. [15]. The diagnosis of the remaining
280 SDP images was shown In Table 5 with an accuracy rate of
91.4%.
Keep 0.75 as constant, increasing the number of fault templates
as that in Ref. [15], taking 50 SDP images of each fault (50% of the
test set) as the fault template for clustering analysis. The diagnosis
of the remaining 200 SDP images was shown in the Table 6 with an
accuracy rate of 92%.
SDP diagram shows some unique features, the method in Ref.
[15] can easily complete the fault recognition. However, if these
fault templates do not appear, the method in Ref. [15] is difficult
to identify. Compared with method in Ref. [15], the features of
weight sharing enable CNN to extract high-dimensional and more
abstract representation and further improve the recognition
accuracy.
 X. Zhu et al. / Measurement 138 (2019) 526–535 533

Fig. 9. SDP images corresponding to the waveforms given in Fig. 6 for the different vibration states.

Table 2 5. Conclusion
The structure of the CNN in this paper.

Layer Convolution kernels (High  width)/stride Feature maps

This paper proposed an approach for autonomously detecting
the fault vibration states of rotor based on a CNN using SDP images
Input 128  128
generated from the time-series data obtained from multiple sen-
C1 5  5/1 124  124  6
S2 2  2/2 62  62  6 sors. The proposed approach was tested experimentally on a rotor
C3 5  5/1 58  58  16 vibration test bed, and the results obtained were compared to
S4 2  2/2 29  29  16 those obtained with an image recognition approach based on an
FC 84
equivalent CNN using orbit plot images. Results demonstrate that
Output 4
the developed CNN can extract image features automatically

Table 3
Confusion matrix obtained using the proposed method.

Classification result
Unbalanced Oil whirl Rubbing Misalignment
Ground truth Unbalanced 99 1 0 0
Oil whirl 1 98 1 0
Rubbing 1 0 94 5
Misalignment 0 1 4 95
534 X. Zhu et al. / Measurement 138 (2019) 526–535

Fig. 10. Orbit plot images corresponding to the waveforms of only sensors #1 and #2 given in Fig. 6 for the different vibration states.

Table 4
Confusion matrix obtained using orbit plot images for CNN based recognition.

Classification result
Unbalanced Oil whirl Rubbing Misalignment
Ground truth Unbalanced 96 2 1 1
Oil whirl 4 94 0 2
Rubbing 2 0 92 6
Misalignment 1 1 5 93

Table 5
Confusion matrix obtained using the Ref. [15] method (280 SDP images).

Classification result
Unbalanced Oil whirl Rubbing Misalignment
Ground truth Unbalanced 65 0 1 4
Oil whirl 1 62 6 1
Rubbing 1 1 66 2
Misalignment 3 2 2 63

Table 6
Confusion matrix obtained using the Ref. [15] method (200 SDP images).

Classification result
Unbalanced Oil whirl Rubbing Misalignment
Ground truth Unbalanced 46 1 0 3
Oil whirl 1 44 3 2
Rubbing 0 2 47 1
Misalignment 2 1 0 47
 X. Zhu et al. / Measurement 138 (2019) 526–535
through deep feature learning, and can recognize image features
associated with a variety of fault vibration states accurately. How-
ever, compared to the fault vibration state recognition accuracy of
the CNN using orbit plot images, the accuracy was significantly
improved by employing SDP images owing to the ability of this
representation to fuse information obtained from multiple mea-
suring points, and the more obvious representation of the features
of different vibration states provided by SDP images, even for low
SNR signals. This is also proved by comparing the diagnostic accu-
racy of CNN with the fault matching based on clustering template.
The experimental results therefore verify that the fault vibration
state recognition approach proposed in this paper is more effective
and reliable than a similar approach employing orbit plot images
and the fault matching based on clustering template.
Acknowledgments
The Fundamental Research Funds for the Central Universities
(2018MS111).
References
[1] F. Jia, Y. Lei, J. Lin, et al., Deep neural networks: a promising tool for fault
characteristic mining and intelligent diagnosis of rotating machinery with
massive data, Mech. Syst. Sig. Process. 72 (2016) 303–315.
[2] Z. Yin, Q. Chen, Y. Zhang, Deep learning and its new progress in object and
behavior recognition, J. Image Graphics 19 (2) (2014) 175–184.
[3] G.Q. Zhao, Q.Q. Ge, X.Y. Liu, et al., Fault feature extraction and diagnosis
method based on deep belief network, Chin. J. Sci. Instrum. 39 (7) (2016)
1946–1953.
[4] L. Ou, D.J. Yu, C.T. Wang, Correlation spectrum of Laplacian eigenvectors and its
applications to rolling bearing fault diagnosis, J. Vibr. Eng. 27 (5) (2014) 748–
754.
535
[5] L.I. Shun, J. Wen, A model-based fault detection and diagnostic methodology
based on PCA method and wavelet transform, Energy Build. 68 (2014) 63–71.
[6] Z.H. Han, X.X. Zhu, W.H. Li, A false component identification method of emd
based on kullback-leibler divergence, Proc. CSEE 32 (11) (2012) 112–117.
[7] C.Y. Yang, T.Y. Wu, Diagnostics of gear deterioration using EEMD approach and
PCA process, Measurement 61 (2015) 75–87.
[8] S.J.S. Hakim, H.A. Razak, S.A. Ravanfar, Fault diagnosis on beam-like structures
from modal parameters using artificial neural networks, Measurement 76
(2015) 45–61.
[9] W.D. Jiao, S.S. Lin, Overall-improved fault diagnosis approach based on support
vector machine, Chin. J. Sci. Instrum. 8 (2015) 1861–1870.
[10] J. Schmidhuber, Deep learning in neural networks: an overview, Neural
Networks 61 (2015) 85–117.
[11] T. Ince, S. Kiranyaz, L. Eren, et al., Real-time motor fault detection by 1-D
convolutional neural networks, IEEE Trans. Industrial Electron. 63 (11) (2016)
7067–7075.
[12] O. Abdeljaber, O. Avci, S. Kiranyaz, et al., Real-time vibration-based structural
damage detection using one-dimensional convolutional neural networks, J.
Sound Vib. 388 (2017) 154–170.
[13] X.Q. Zeng, J. Li, Time-frequency image recognition based on convolutional
neural network, Mach. Electron. 5 (2016) 006.
[14] H. Jeong, S. Park, S. Woo, et al., Rotating machinery diagnostics using deep
learning on orbit plot images, Procedia Manuf. 5 (2016) 1107–1118.
[15] X. Xu, H. Liu, H. Zhu, et al., Fan fault diagnosis based on symmetrized dot
pattern analysis and image matching, J. Sound Vib. 374 (2016) 297–311.
[16] X.M. Chen, D.J. Yu, X. Li, et al., Early rub-impact diagnosis of rotors using
morphological component analysis, J. Vib. Eng. 27 (3) (2014) 466–472.
[17] C. Liang, X.M. Deng, M.Q. Zhou, et al., Convolutional neural networks in image
understanding, Acta Autom. Sin. 42 (9) (2016) 1300–1312.
[18] M.D. Zeiler, R. Fergus. ‘‘Stochastic pooling for regularization of deep
convolutional neural networks.” arXiv preprint arXiv:1301.3557 (2013).
[19] Y.L. Boureau, F. Bach, Y. Lecun, et al. ‘‘Learning mid-level features for
recognition.” 2010 IEEE Computer Society Conference on Computer Vision
and Pattern Recognition, CVPR 2010. 2010.
[20] S. Mei, J. Ji, J. Hou, et al., Learning sensor-specific spatial-spectral features of
hyperspectral images via convolutional neural networks, IEEE Trans. Geosci.
Remote Sens. 55 (8) (2017) 4520–4533.
[21] P. Dayan, L.F. Abbott, Theoretical Neuroscience, 806, MIT Press, Cambridge,
MA, 2001.