Gini Indices and Two New Sparsity Measures and Their Applications To Machine Condition Monitoring

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Gini Indices Ⅱ and Ⅲ: Two New Sparsity Measures and Their Applications to
Machine Condition Monitoring
Article in IEEE/ASME Transactions on Mechatronics · July 2021

DOI: 10.1109/TMECH.2021.3100532
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IEEE/ASME Transactions on Mechatronics
IEEE/ASME Transactions on Mechatronics 1
Gini Indices Ⅱ and Ⅲ: Two New Sparsity Measures and

Their Applications to Machine Condition Monitoring
Bingchang Hou, Dong Wang, Member, IEEE, Tongtong Yan, Yi Wang, Zhike Peng, Kwok-Leung Tsui
 kurtosis was regarded as a powerful tool to extract

Abstract—Machine condition monitoring (MCM) uses signal nonstationary fault signatures for machine fault diagnosis [14].
processing and machine learning methods to analyze monitoring Later, Barszcz and Jabłoński [12] used kurtosis to quantify fault
data and perform timely condition-based maintenance. Since signatures in the frequency domain for machine fault diagnosis.
monitoring data usually have a sparsity property, sparsity A drawback of kurtosis in signal processing-based methods for
measures (SMs) are naturally considered to quantify the sparsity MCM is that kurtosis is prone to be affected by impulsive noise.
of signals and they serve as the objective functions of many signal To improve kurtosis-based MCM methods, other SMs were
processing and machine learning methods. Although Gini index,
kurtosis, smoothness index, negative entropy, and Lp/Lq norm,
studied. Antoni utilized negative entropy to design the infogram
have been considerably investigated for MCM, the design of new [8] to simultaneously characterize the impulsiveness of square
SMs for enhancing MCM is rarely reported. In this paper, based envelope and square envelope spectrum and tried to make a
on the ratio of different quasi-arithmetic means (RQAM), two new balance between the impulsiveness and cyclo-stationarity by
SMs coined as Gini index Ⅱ (GI2) and Gini index Ⅲ (GI3) are considering the weights of the time and frequency domains.
designed. New proofs show that the GI2 and GI3 satisfy all six Miao et al. [7] replaced the kurtosis used in the fast kurtogram
sparsity attributes. Subsequently, the GI2 and GI3 of the square with Gini index to develop a more robust method to resist
envelope of Gaussian white noise are theoretically investigated and impulsive noise. Wang [11] explained the reason why SMs are
their theoretical values are respectively equal to 2/3 and 1/3, which prone to be affected by impulsive noise and subsequently [15]
can be used as baselines for machine abnormality detection. Once
GI2 and GI3 exceed the baselines, abnormal health conditions can demonstrated the relationship between kurtosis and Lp Lq
be detected without needing historical data and prior fault norm. Bozchalooi and Liang [10] introduced a smoothness
knowledge. Lastly, simulated and experimental case studies index to characterize wavelet coefficients and guide the
showed that the proposed GI2 and GI3 have competitive selection of wavelet parameters for bearing fault diagnosis. Li
performance with Gini index and that they are better than kurtosis, et al. [16] utilized kurtosis to determine incipient fault time.
negative entropy, and smoothness index, in characterizing the
Recently, Peeters et al. [17] proposed three SM-based blind
sparsity of signals. This research demonstrates that the RQAM is
a potential framework to design new SMs. filters for bearing and gear condition monitoring. SMs,
Index Terms— Quasi-arithmetic mean, Sparsity measures, Gini including L2/L1 norm, Hoyer measure [18], and spectral
index, Signal processing, Machine condition monitoring negative entropy, were considered in the design of blind filters.
Miao et al. [19] suggested three properties that SMs should
I. INTRODUCTION follow for MCM. Hou et al. [20] proposed an adaptive weighted
signal preprocessing technique for SMs for MCM, which can
M ACHINE [1] condition monitoring (MCM) is an inter-
discipline that aims to realize two tasks: incipient
machine fault detection and degradation assessment [2]. In
simultaneously realize incipient fault detection and monotonic
degradation assessment. SM-based signal processing methods
for MCM are becoming an emerging research topic, and the
many cases, monitoring data have a sparsity property [3], [4].
exploration of new SMs for MCM is still ongoing.
Therefore, sparsity measures (SMs) [5] have been proposed to
In machine learning-based MCM methods, SMs normally
characterize the sparsity of monitoring data, and they are widely
serve as statistical fault features and the objective functions of
used as the objective functions of signal processing and
machine learning methods. Hao et al. [6] established a sparsity
machine learning methods [6]. SMs, including Gini index [7],
guided optimization algorithm for compound fault diagnosis.
negative entropy [8], kurtosis [9], smoothness index [10], and
Sparse filtering [21] is an unsupervised feature learning
Lp/Lq norm [11] for MCM have been introduced.
algorithm based on an optimization model whose objective
In signal processing-based MCM methods, SMs are used to
function is an SM (i.e., the L1/L2 norm [11]). Lei et al. [22]
quantify the impulsiveness and cyclo-stationarity of repetitive
introduced sparse filtering to design a big data-based intelligent
transients caused by incipient machine faults [12]. In a
fault diagnosis method. Then, applications of SM-based sparse
pioneering work, Antoni et al. [9] used kurtosis to characterize
filtering to MCM become popular. Zhao and Feng [23]
the sparsity of band-pass-filtered signals in the time domain and
extracted three sparsity features from multi-domain sparse
subsequently proposed the concept of spectral kurtosis [9] and
features of vibration signals by using an L1/L2 norm-based
its fast algorithm coined as the fast kurtogram [13]. The spectral
sparse filtering algorithm. Zhang et al. [24] proposed an Lp/Lq
This research was fully supported by the National Natural Science Yi Wang is with the State Key Laboratory of Mechanical Transmission,
Foundation of China (Project No. 51975355 and Grant No. 11632011), by the Chongqing University, Chongqing 400044, P.R. China (e-mail:
Fundamental Research Funds for the Central Universities (Project wycqdx@cqu.edu.cn).
No.2020CDJQY-A034) and the "Zhiyuan Honor Program for Ph.D. student" at Kowk-Leung Tsui is with the Grado Department of Industrial and Systems
Shanghai Jiao Tong University. (Corresponding author: Dong Wang). Engineering, Virginia Polytechnic Institute and State University (e-mail:
Bingchang Hou, Dong Wang, Tongtong Yan, and Zhike Peng, are with the kltsui@vt.edu).
State Key Laboratory of Mechanical System and Vibration, Shanghai Jiao Tong
University, Shanghai 200240, P.R. China (e-mails: bingchanghou@sjtu.edu.cn;
dongwang4-c@sjtu.edu.cn; yantongtong@sjtu.edu.cn).
1083-4435 (c) 2021 IEEE. Personal use is permitted, but republication/redistribution requires IEEE permission. See http://www.ieee.org/publications_standards/publications/rights/index.html for more information.
Authorized licensed use limited to: Shanghai Jiaotong University. Downloaded on July 29,2021 at 11:44:54 UTC from IEEE Xplore. Restrictions apply.
norm-based unsupervised learning sparse filtering method for

SE[n]  x[n]  j  H  x[n] , and SES[n] is acquired via the
2
machine fault diagnosis. Moreover, SMs can be used as

statistical fault features [2]. Kurtosis, skewness, and entropy are fast Fourier transform fft  on SE, i.e., SES[n]  fft( SE[n]) .
three most frequently used fault statistical features to provide
trends for remaining useful life predictions [25], [26]. Hou et al. [30] reformulated six existing SMs into the RQAM,
Exploring new SMs is beneficial to improving the objective which is promising for the design of new SMs. Here, the quasi-
functions of machine learning algorithms and enriching fault arithmetic mean (QAM) [31] of the sequence c is defined as
feature databases [27], [28]. follows:
In view of the aforementioned literature review, it can be
concluded that SMs play an indispensable role in many signal
M f ( x )|p  f 1  N
n 1
pn f  cn  
N
n 1
pn ,  (1)
processing and machine learning-based MCM methods [6], but where f  is a strictly continuous and monotonic function,
the design of new SMs for enhancing MCM is rarely reported.
f 1   is its inverse function, and p  [ p1 , p2 ,...pn ...,pN ] is a
Considering that the Gini index has the best performance
among many SMs [19], [29], this paper aims to explore new positive-value weighted sequence. When all elements of p are
SMs along with the Gini index on the basis of a general equal, M f ( x ) is reduced as follows:
framework [30] (i.e., the ratio of different quasi-arithmetic
means (RQAM)). M f ( x)  f 1  N
n 1 
f  cn  N . (2)
The main contributions of this paper are summarized as
For instance, if f  x   x , where a is the power of a
a
follows. (1) On the basis of the RQAM, two new SMs named
Gini index Ⅱ (GI2) and Gini index Ⅲ (GI3) are designed. The variable x, M f ( c ) becomes the power mean, i.e.,
RQAM is confirmed to be a doable framework for constructing
M xa  a n 1 cna N .
N
new SMs. (2) Theoretical proofs of the GI2 and GI3 show that (3)
they satisfy all six sparsity attributes. (3) On the basis of the Subsequently, RQAM [30] is defined as follows:
square envelope of Gaussian white noise, the theoretical values Index  1  M g ( x ) M f ( x ) . (4)
of the two new SMs are respectively calculated as 2/3 and 1/3,
which provide baselines for MCM. (4) Simulation studies are RQAM is highly flexible because many QAMs can be used
performed to demonstrate that (a) the two new SMs are in it. If M g ( x )  M f ( x ) always holds true, a designed index has a
convergent with an increase of a signal length; (b) the sparsity range [0,1) , which is highly similar to the numeric range of
quantification gradients of the two new SMs are better than Gini index. In accordance with the ratio form of (4), the six
those of kurtosis, negative entropy, and smoothness index; (c) well-known SMs, namely, Gini index, kurtosis, smoothness
the two new SMs can distinguish impulsive noise and repetitive index, negative entropy, Lp/Lq norm, and pq-mean [5], are
transients caused by rotating machine faults and they are better reformulated as follows:
than kurtosis and negative entropy. (5) Two run-to-failure
 
2
Kurtosis K = M x 2 M x1 (5a)
experimental datasets are analyzed to validate that the proposed ,
two new SMs are effective in the practical MCM tasks of Lp Lq norm  M x p M xq , p  q  0 ,
incipient fault detection and fault diagnosis. The two new SMs Lp/Lq norm (5b)
Lp Lq norm  M x p M ln x , p  q  0 ,
can also be used in other SM-based MCM methods.
The remainder of this paper is organized as follows. Section pq-mean pq-mean   M x p M xq , 0  p  q , (5c)
2 reviews the basic idea of the RQAM. Section 3 introduces six Smoothness SI  M ln x M x1 , (5d)
sparsity attributes that an excellent SM should own. In Section index
4, two new SMs are designed. Theoretical proofs are made to
show that the two new SMs satisfy all the six sparsity attributes.
  
NE  MW1 M x1 ln M ln x M x1 , where 
Negative cn
In Section 5, the theoretical values of the two new SMs are first entropy M W 1   n 1
N
N
ln cn M x1   ln  M ln x M x1  (5e)
calculated as baselines for MCM. Then, three properties of the
two new SMs, namely, robustness to signal length, sparsity ,
quantification capability, and discernibility to single transient GI  1  M G1 M x1 , where
and repetitive transients, are further studied. Experimental M G1  M x|p(1) = n 1 pn(1)cn , ,
N
validations by using two run-to-failure datasets are provided in Gini index (5f)

N
Sections 6 and 7. Conclusions are drawn in Section 8. p n(1)   2( N  n )  1 N 2 , pn(1)  1 ,
n 1
II. RATIO OF DIFFERENT QUASI-ARITHMETIC MEANS where p and q are two constants, and cn , is the nth element
Assume that a non-negative sequence is denoted as of c ordered from the smallest to the largest. The ordered
c  [c1 , c2 ,...cn ...,cN ] , where N is the length of the sequence. sequence is denoted as c . To achieve the same quantification
One major interest is to quantify the sparsity of the sequence. tendency as other SMs, the smoothness index is multiplied by
c can be chosen as square envelope SE[n] or square envelope  1 , and it is renamed negative smoothness index for the rest
of this paper.
spectrum SES[n] for the tasks of MCM. Here, SE[n] is
obtained using the Hilbert transform H   of a signal x[n] , i.e.,
III. SIX ESSENTIAL SPARSITY ATTRIBUTES OF A GOOD SM reformulated as the ratio of M G1 and Mx1 . In the definition of
Assume that S () is a metric used for the quantification of M G1 , the weighted sequence p (1) is used as follows:
the sparsity of a sequence c . To evaluate the sparsity p (1)  [ p1(1），p2(1）,..., pn(1）,.., pN(1）] , (6)
quantification capability of the metric S () , six attributes that a
where p   2( N  n )  1 N 2 , which is a linearly decreasing
(1)
n
good SM should own were intuitively introduced by Hurley et
al. [5]. function of n . Suppose that an equal-weighted sequence is
D1 (Robin Hood decreasing attribute): The quantified sparsity denoted as p
(equal)
 1 N ,1 N ,...,1 N  , whose length is still N .
value of a sequence will decrease after the Robin Hood Then, a twin form of p (1) can be designed as follows:
operation. The Robin Hood operation is that a relatively large
element ci of the sequence c gives its portion  to a p(2)  2p(equal)  p(1) , i.e., p (2)  [ p1(2），p2(2）,..., pn( 2）,.., pN( 2）] ,
relatively small element c j . After giving, a relatively large
N (7)
where pn(2)   2n  1 N 2 ,  pn( 2）  1 .
element is still larger than a relatively small element. The n 1
mathematical form of this property is as follows:  ci , c j in c , p (1) is a monotonically decreasing weighted sequence,
and    , subject to ci  c j and   ( ci  c j ) 2 , whereas p ( 2 ) is a monotonically increasing weighted sequence.
S (c )  S ([ c1 , c2 ,..., ci   ,..., c j   ,..., cn ]) holds true. Given that the Gini index aims to quantify the inequality of a
distribution, a monotonically increasing weighted sequence that
D2 (Scaling-invariant attribute): The quantified sparsity value can give substantial weights to relatively large elements should
of a sequence will be invariant after the sequence is scaled using be explored. Without loss of generality, a new family of
a constant factor. The mathematical form of this property is as weighted QAM and a specific power function-based weighted
follows:     , S (c)  S ( c) holds true. QAM can be respectively designed as follows:
D3 (Rising-tide decreasing attribute): For a sequence in which  N 2n  1 
all the elements are not the same, the quantified sparsity value
M f ( x )|p( 2 )  f 1   n 1
 N2
f cn ,   ,

  (8)
of the sequence will decrease if the sequence is added by a 2n  1 a

N
positive constant. The mathematical form of this property is as M x a |p ( 2 )  a c . (9)
n 1
N 2 n ,
follows:     , S (c)  S (α  c) holds true, where If the parameter a  1 in (9), (9) is reduced as follows:
α  c  [c1   , c2   ,...,cn   ] and c1  c2 =...=cn is false. 2n  1
M G 2  M x | p ( 2 )   n 1
N
c . (10)
D4 (Cloning-invariant attribute): The quantified sparsity value N 2 n ,
of a sequence will be invariant if the sequence is joined with Mx|p(2) is renamed M G 2 because it is similar to M G1 , which is
itself. The mathematical form of this property is as follows:
S (c)  S (c || c)  S (c || c || c)  S (c || c... || c) holds true, where the core of the Gini index. An apparent reason for the design of
M G 2 is that M G 2 can be regarded as a twin form of M G1 ((5f)
c || c  [c1 , c2 ,...,cn , c1 , c2 ,...,cn ] .
and (7)). The next section presents the construction of two new
P1 (Bill Gates increasing attribute): The quantified sparsity
value of a sequence will become as large as possible if one SMs based on the ideas of M G 2 , M G1 , and M x1 .
element of the sequence becomes infinitely large.
P2 (Babies increasing attribute): The quantified sparsity value B. Design of GI2 and proofs of its sparsity attributes
of a sequence will increase if the sequence has a new element On the basis of the RQAM in (4) and the newly constructed
of zero. QAM in the previous section, a new SM named GI2 is designed
The six attributes and their codes are provided in Table I. To as follows:
shorten the length of this paper, other details of the attributes of 2 N  2n  1 2n  1
GI 2  1  M G1 M G 2  1   n1 
N N
cn, c (11)
SMs can be found in [5]. Theorem 3.1 proposed by Hurley et al. N2 n1
N 2 n, .
[5] is introduced as follows. p ( 2 ) gives substantial weights to relatively large components,
Theorem 3.1: If a SM satisfies attributes D1, D2, and D4, it
whereas p (1) gives substantial weights to relatively small
will satisfy sparsity attributes P1 and P2.
TABLE I components, therefore, M G 2  M G1 . Hence, GI 2  [0,1) . For
ATTRIBUTES OF A GOOD SM the rest of this subsection, theoretical investigations on six
Order 1 2 3 4 5 6 sparsity quantification attributes of GI2 are performed.
Attributes D1 D2 D3 D4 P1 P2 Theorem 4.3.1: GI2 satisfies D1.
Proof: In accordance with Lemmas A.1 and A.2 given in the
appendices of this paper, M G 2 and M G1 will respectively
IV. DESIGN OF GI2 AND GI3
decrease and increase after the Robin Hood operation. Hence,
A. Construction of a new weighted sequence M G1 M G 2 will increase after the Robin Hood operation.
Gini index has the best performance among all the Subsequently, GI2 will decrease after the Robin Hood operation.
aforementioned SMs. Thus, two new SMs along with the Gini Theorem 4.3.2: GI2 satisfies D2.
index are designed in this section. In (5f), the Gini index is Proof: If c is scaled using a positive constant  , the following
equation holds on:
M G1   M G1 and M G 2   M G 2 . (12) Therefore, the designed GI3 satisfies all the six sparsity
Given that GI2 is the ratio of M G 2 and M G1 , attributes, and it can be regarded as an excellent SM.
GI 2(c)  GI 2( c) . V. PROPERTIES OF THE DESIGNED TWO NEW SMS FOR
Theorem 4.3.3: GI2 satisfies D3. MCM
Proof: Suppose that a constant sequence α is added to c , i.e.,
This section investigates the properties of the proposed two

N
  c  [c1   , c2   ,...,cn   ] . Given that p (1）  1 and
n 1 n
new SMs for MCM.

N
pn(2）  1 , A. Theoretical values of the designed two new SMs
n 1
Square envelope SE[n] is frequently quantified using SMs
M G1 (  c)    M G1 , and M G 2 (  c)    M G 2 . (13)
to indicate incipient machine faults. Thus, the theoretical values
Given M G 2  M G1  0 ,  0 . Evidently,
of SMs in a healthy state are useful as baselines for abnormality
 MG1     MG2    MG1 MG2 and detection. Here, an assumption for our theoretical investigation
is that Gaussian white noise represents a healthy condition [20].
1  MG1     MG2     1 MG1 MG2 hold true. In other Our recent work [20] showed that the square envelope SE[n]
words, GI 2(c)  GI 2(  c) . 2
divided by the variance of Gaussian noises v , i.e., the variable
Theorem 4.3.4: GI2 satisfies D4. P  SE v 2 , follows an exponential distribution with a
Proof: In accordance with Lemma B.1 in the appendices of this
paper, M G1 (c ( Q ) )  M G 1 (c ) , and M G 2 (c ( Q ) )  M G 2 (c ) , where parameter of 0.5, namely, f ( P ) e  P 2 2 . Therefore, the
c ( Q ) means c repeats itself Q times, i.e., c( Q )  [c || c... || c] . theoretical value of Mx1 (SE[n]) is as follows:

Hence, GI 2(c ( Q ) )  GI 2(c ) . M x1 ( SE[ n ])  v 2 M x1 ( P )=v 2  f ( P ) PdP  2v 2 . (15)
0
Theorem 4.3.5: GI2 satisfies P1 and P2. Given that the theoretical value of the Gini index has been
Proof: In accordance with Theorem 3.1, given that GI2 satisfies proven to be 0.5 [11],
D1, D2, and D4, it will satisfy P1 and P2. Hence, the designed GI  1  M G1 M x1  0.5 . (16)
GI2 satisfies all the six sparsity quantification attributes, which
Hence,
indicates that it is an excellent SM.
M G1 (SE[n])  v2 . (17)
C. Construction of GI3 and proofs of its sparsity In accordance with the derivation process of p in (7), the (2)
quantification attributes
theoretical value of M G 2 ( SE[n]) is derived as follows:
Similar to the design and proofs made in the previous
M G 2 ( SE [ n ])  2 M x1 ( SE [ n ])  M G 1 ( SE[ n ])  3v 2 . (18)
subsection, a new SM named GI3 is designed as follows:
N 1 N 2n  1 On the basis of (15), (17), and (18), the theoretical values of
GI 3  1  M x1 M G 2  1   n 1 cn  n 1 2 cn, . (14) GI2 and GI3 in a healthy state are respectively calculated as
N N
GI 2theoretical (SE[n])  1 1 3  2 3 and GI 3theoretical (SE[n])  1  2 3  1 3 .
Given that p ( 2 ) gives substantial weights to relatively large
components and the calculation of Mx1 gives equal weights to B. Investigations on the convergence of the two designed SMs
to signal lengths
every element, MG2  M x1 . Hence, GI 3  [0,1) . For the rest
Gaussian white noise with the number of sample points
of this subsection, six sparsity quantification attributes of GI3 changing from 100 to 10000 is simulated to investigate the
will be proven. robustness of GI2 and GI3 to signal lengths. Then, their
Theorem 4.4.1: GI3 satisfies D1. corresponding square envelope signals are quantified using GI2
Proof: In accordance with Lemmas A.1 and A.3 given in the and GI3, as shown in Fig. 1. With an increase in the number of
appendices of this paper, M G 2 and Mx1 will respectively sample points, the values of GI2 and GI3 become stable around
their theoretical values. This simulated outcome validates the
decrease and keep invariant after the Robin Hood operation. convergence of the two designed SMs.
Hence, M x1 M G 2 will increase after the Robin Hood GI2 Theoretical value: 2/3
operation. GI3 will then decrease after the Robin Hood

operation. (a)
Number of Sample points
Theorem 4.4.2: GI3 satisfies D2. GI3 Theoretical value: 1/3
Proof: The proof is similar to that of Theorem 4.3.2.
Theorem 4.4.3: GI3 satisfies D3.
Proof: The proof is similar to that of Theorem 4.3.3. (b)
Number of Sample points
Theorem 4.4.4: GI3 satisfies D4. Fig. 1 Values of GI2 and GI3 with different numbers of sample
Proof: The proof is similar to that of Theorem 4.3.4. points: (a) GI2; (b) GI3.
Theorem 4.4.5: GI3 satisfies P1 and P2.
Proof: In accordance with Theorem 3.1, given that GI3 satisfies C. Investigations on sparsity quantification gradient
D1, D2, and D4, it will satisfy P1 and P2. The sparsity quantification gradients of SMs are important
for the use of SMs to stably indicate the sparsity change of
signals. This subsection introduces a simulated experiment [5] and it will be varied in the range of [0,30] with an increment of
to explore the sparsity quantification gradients of the two 1. The sampling frequency and the number of sample points in
designed SMs. First, 5000-fold Bernoulli testing coefficients each mixed signal are respectively set to 10000 Hz and 10000.
with a success probability of s and a failure probability of 1  s Lastly, the existing SMs and the two newly designed SMs (i.e.,
are simulated. s is varied from 0 to 1 with an increment of GI2, GI3, Gini index, kurtosis, negative smoothness index, and
0.005. The smaller s is, the sparser the distribution of the negative entropy) are used to quantify the mixed signals with
generated Bernoulli coefficients is. Given that negative different amplitudes and transients. The quantified curves,
smoothness index and negative entropy cannot be used to whose coordinates are amplitude and quantified values, are
quantify coefficients containing zero elements, a very small respectively drawn in Figs. 4 (a) to (f). The red dash lines and
constant of 0.0001 is added to all simulated coefficients to make the dark solid lines are drawn by quantifying the Gaussian noise
all Bernoulli coefficients nonzero. Then, the SMs are used to respectively mixed with the repetitive transients (marked as “R”
quantify the sparsity of the Bernoulli coefficients under in the legend) and the single transient (marked as “S” in the
different values of s . All quantified values are linearly rescaled legend) with different amplitudes.
to a range [0,1] for fair comparisons in Fig. 2. By observing Because the larger the amplitude is, the more intensive the
Fig.2, it is discovered that the rescaled values and gradients of repetitive fault transients and impulsive noise are. Some
GI2 and GI3 are the same. A relatively stable sparsity conclusions drawn from Fig. 4 are summarized as follows. With
quantification gradient is good for a SM. From Fig. 2, the Gini an increase in amplitudes, the red and dark lines in all
index has the best gradient property and GI2 and GI3 are better subfigures have a cross point (marked as a blue triangle in Fig.
than other SMs, including negative smoothness index, negative 4). After the cross point, the impulsive noise-related dark lines
entropy, and kurtosis. are above the repetitive transient-related red lines, which
Sparser (More inequal) More equal verifies that the SMs are affected by impulsive noise when
Negative
quantifying repetitive fault transients. However, the horizontal
smoothness
index
coordinate value of each cross point is significantly different.
GI2 and GI3
The horizontal coordinate is amplitude, and it is related to the
Negative entropy intensity of impulsive noise and repetitive faulty transients.
Gini index Accordingly, the larger the horizontal amplitude of the cross
Kurtosis
point is, the stronger the discernibility of repetitive fault
transients is. The discernibility is ranked as follows: negative
Fig. 2 Sparsity quantification curves of Gini index, GI2, GI3, smoothness index >= GI2 = GI3 = Gini index > negative
kurtosis, negative entropy, and negative smoothness index. entropy > kurtosis. In other words, the two designed SMs have
better fault repetitive transient discernibility than kurtosis and
negative entropy.
(a) Time (s)
Cross point Cross point Cross point
(b) Time (s) (a)

Amplitude (b) Amplitude
(c)
Amplitude
Fig. 3 Simulated Gaussian white noise mixed with: (a) single Cross point
transient; (b) repetitive transients.
Enlarged part
D. Investigations on the discernibility between impulsive noise Cross point
and repetitive transients Cross point
As studied by many scholars in the field of MCM [11], [32],

(d) (e) (f)
impulsive noise has a significant impact on extraction of Amplitude Amplitude Amplitude
repetitive transients caused by rotating faults. Traditional SMs

Fig. 4 Quantification curves given by (a) GI2; (b) GI3; (c) Gini index
cannot distinguish impulsive noise and repetitive transients to (marked as “GI”); (d) kurtosis (marked as “K”); (e) negative
some extent. Therefore, this subsection aims to conduct a smoothness index (marked as “NSI”); and (f) negative entropy
simulated experiment [20] to explore the discernibility of (marked as “NE”).
existing SMs and the newly designed SMs to impulsive noise
and repetitive transients. The experiment is illustrated as VI. CONDITION MONITORING BASED ON A BEARING RUN-
follows. First, impulsive noise and fault transients are simulated TO-FAILURE DATASET RELEASED BY NASA IMS
as single transient and repetitive transients. The model of a
As stated before, fault signatures have a sparsity property.
single transient is A e 300 t sin(2  2000 t ) , and repetitive
Hence, SMs, which can quantify the sparsity of signals, can be
transients are generated by repeating the single transient with a used to detect an incipient fault time and determine an optimal
repetitive frequency of 120 Hz. Next, Gaussian noise with a frequency band for fault diagnosis. The detection of an incipient
variance of 1 is simulated to be mixed with the simulated single fault time can be used as a start predicting time for remaining
and repetitive transients, as respectively shown in Figs. 3 (a) useful life prediction. This section verifies the effectiveness of
and (b). The amplitude parameter A in Figs. 3 (a) and (b) is 10, the proposed GI2 and GI3 for the aforementioned two purposes.
In the next section, GI2 and GI3 will be used to replace the square envelope signals. Therefore, the effectiveness and
kurtosis used in the fast kurtogram [13] to guide the selection superiority of the proposed GI2 and GI3 are initially verified.
of an optimal frequency band for machine fault diagnosis.
As for datasets for validation, although many datasets are GI2
available (i.e., [33]–[37]), machine run-to-failure datasets are

more preferable for incipient fault detection and degradation
File number
assessment. Bearings are one of the most important and (a)
GI3
commonly used mechanical components in many machines.

Accordingly, bearing run-to-failure datasets released by the
NASA IMS are first used to verify the proposed indices. The (b)
Gini index
File number
experimental platform is shown in Fig. 5. The shaft rotated with

a speed of 2000 rpm. The analyzed dataset contained 984 files.
Each file, including 20480 sample points, was sampled every (c) File number
10 min with a sampling frequency of 20 kHz. After the bearing Kurtosis
run-to-failure test, an outer race failure was ascertained. The

corresponding fault characteristic frequency was 236.4 Hz. A
(d) File number
previous study has confirmed that an incipient fault happened Negative smoothness index
around file number 534 [20].

Accelerometers Radial Load Thermocouples
(e) File number

Negative entropy
Bearing 1 Bearing 2 Bearing 3 Bearing 4

Motor
(f) File number

Fig. 5 Experimental platform of the NASA IMS bearing run-to- Fig. 7 IMS bearing dataset condition monitoring curves by using
failure dataset. [34], [35] square envelope spectra based on (a) GI2; (b) GI3; (c) Gini index; (d)
GI2
kurtosis; (e) negative smoothness index; (f) negative entropy.
(a) File number

VII. FURTHER VALIDATION AND COMPARISON BASED ON
GI3 ANOTHER BEARING RUN-TO-FAILURE DATASET
A. Further verification of the proposed GI2 and GI3

(b)
Gini index
File number Another bearing run-to-failure dataset [36], [37] numbered
as 2–3 released by Lei et al. at XJTU is analyzed to verify the
effectiveness of GI2 and GI3 for MCM. The experimental
(c)
File number
platform is shown in Fig. 8. The speed of the rotating shaft was
Kurtosis
2250 rpm. The sampling frequency and the sampling length of
vibration signals were respectively 25.6 kHz and 1.28 s. Each
sample was collected every 1 min. During the entire run-to-
(d)
Negative smoothness index
File number
failure process, a total of 533 samples were collected. A failure
was ascertained at the bearing cage, and its characteristic
frequency was calculated as 14.4519 Hz. Nevertheless, its
(e) File number incipient fault detection time was not reported.
Negative entropy
The newly designed GI2 and GI3 are used to analyze the
dataset, and their corresponding results are respectively drawn
(f)
File number
in Figs. 9 (a) and (b). An incipient fault around file number 128
Fig. 6 IMS bearing dataset condition monitoring curves by using can be detected by observing Figs. 9 (a) and (b).
square envelope signals based on (a) GI2; (b) GI3; (c) Gini index; (d)
kurtosis; (e) negative smoothness index; (f) negative entropy.
SMs are used for condition monitoring and incipient fault
detection. The two designed SMs and existing classic SMs,
including kurtosis, Gini index, negative entropy, and negative
smoothness index, are used to quantify the square envelope
signals and square envelope spectra of the run-to-failure signals.
The acquired curves are respectively drawn in Figs. 6 and 7. As
marked by the red dotted circles and blue arrows, GI2 and GI3
can detect an incipient bearing fault around file number 534. Fig. 8 Experimental platform of the XJTU bearing run-to-failure
The initial detection points given by kurtosis and negative dataset.
entropy are minimally prominent. In other words, GI2 and GI3 To confirm this detection, the well-known fast kurtogram
outperform kurtosis and negative entropy when quantifying analysis [13] is implemented on the signal stored in file number
129, but the used SM (i.e., kurtosis) is replaced with GI2 and
GI3. The signal in file number 129 and its frequency part are by the kurtosis and negative entropy coincide with the outcomes
drawn in Fig. 10. The obtained outcomes of GI2- and GI3-based given by the GI2 and GI3.
4
kurtograms are respectively depicted in Figs. 11 (a) and (b), Kurtosis 0.8
0.7
Negative entropy
which indicate the same optimal resonant frequency band (i.e., 3 Incipient fault
0.6
Incipient fault
the center frequency is 12666.67 Hz, and the bandwidth is 2

0.5
(a) 0 (b) 0
266.67 Hz). A band-pass filter is used to retain the indicated 100 200 300 400 500 100 200 300 400 500
Fig. 13 Condition monitoring curves by using square envelope signals

frequency band to show the square envelope of the filtered
based on (a) kurtosis; (b) negative entropy in the case of the XJTU
signal in Fig. 12. The characteristic frequency of the bearing bearing dataset.
cage fault and its four harmonics are prominent in Fig. 12.
Hence, an incipient fault of bearing cage is confirmed. The
practical effectiveness of the two newly designed SMs for
MCM is verified.
GI2 GI3
Optimal Optimal
Level
Level
Incipient fault Incipient fault frequency band frequency band
(a) (b)
based on (a) GI2 and (b) GI3 in the case of the XJTU bearing dataset. (a) (b)
Frequency (Hz) Frequency (Hz)
Fig. 14 Fast kurtograms generated using (a) negative entropy; (b)
Amplidute
kurtosis.
Enlarging An additive
impulsive noise
(a)
Amplitude
Time (s)
(a) Time (s)
Amplidute
Frequency (b) (c)

(b) (Hz) Frequency (Hz)
Time (s)
Fig. 10 Signals in (a) time domain; (b) frequency domain in file Fig. 15 Signals in file number 129 added by an impulsive noise: (a) in
number 129 of the XJTU dataset. the time domain; (b) in the frequency domain; (c) enlarged part around
sample points of additive impulsive noise. (Amplitude parameter of
the impulsive noise: A  7 )
Amplitude parameter of impulsive noise: A =3
Optimal Optimal
Level
Level
frequency band frequency band

Level
Level
(a) (b)
Fig. 11 Fast kurtograms generated by (a) GI2; (b) GI3.

(a) (b)
f cage 2 f cage 3 f cage
5 f cage
Amplitude
4 f cage
Level
Level
Frequency (Hz)
Fig. 12 Square envelope spectrum of the filtered signal in the indicated

optimal frequency band in Fig. 11.
(c) (d)
B. Further comparison of the proposed GI2 and GI3 for Fig. 16 Fast kurtograms generated by using (a) negative entropy; (b)
informative frequency band selection kurtosis; (c) GI2; (d) GI3. (Amplitude parameter of the impulsive noise:
From Subsection 5.4, the proposed GI2 and GI3 own better A3)
abilities to distinguish repetitive fault transients and impulsive For a further comparison, an impulsive noise, whose model
noise than the classic kurtosis and negative entropy. Hence, the is Ae 1000t sin ( 2  2000t ) , is added to the signal in file 129 as
kurtosis and negative entropy are first employed for a
shown in Fig. 15 (A is the amplitude parameter of the impulsive
comparison. Comparisons with the negative smoothness index
and Gini index are then shown. noise model). Mixed signals can be obtained with different
parameter values. Then, the fast kurtogram analysis based on
The condition monitoring curves by using square envelope-
negative entropy, kurtosis, GI2, and GI3 is respectively
based kurtosis and negative entropy are respectively shown in
performed on the mixed signals with the amplitude parameters
Figs. 13 (a) and (b), which present that an incipient fault
of 3, 5, 6, and 7. The acquired outcomes are given in Figs. 16
happens around file number 128. As shown in Fig. 14, the fast
to 19.
kurtogram analysis based on the kurtosis and negative entropy
is implemented on the signal in file 129. The outcomes given
Some observations from Figs. 16 to 19 are summarized as with different amplitude parameter values of the impulsive
follows. When the amplitude parameter is relatively smaller noise model, as shown in Fig. 21. (During the implementation
(i.e., A is smaller than 3), the kurtosis, negative entropy, GI2, of the fast kurtogram analyses, the values calculated using the
and GI3 can indicate an informative fault frequency band. negative smoothness index are added by 1 to become positive
However, when the amplitude parameter is relatively larger (i.e., for color gram display). Some observations and conclusions are
A is larger than 5), the kurtosis and negative entropy cannot as follows. From Figs. 21 (a) and (b), the Gini index
guide an informative frequency band, but the GI2 and GI3 can successfully indicates an informative frequency band of the
still indicate the informative frequency band. Hence, the mixed signal with the amplitude parameter A  6 , but it fails
proposed GI2 and GI3 are robust to impulsive noise, and they in the mixed signal with the amplitude parameter A  7 . In
are more effective than the negative entropy and kurtosis for the Figs. 21 (c) and (d), the negative smoothness index could not
selection of the informative frequency band. Herein, indicate the informative frequency band even without the
comparisons between the proposed SMs and the smoothness impulsive noise (Fig. 21 (c)). The result might be that the
index and the original Gini index are given as follows. The definition of the negative smoothness index has the core of
condition monitoring curves given by the original Gini index geometrical mean, and it is easily affected by near-zero
and the smoothness index are shown in Fig. 20. The two curves coefficients.
still indicate that an incipient fault occurs around file number
128.
Fig. 19 Fast kurtograms generated by using (a) negative entropy; (b)

kurtosis; (c) GI2; (d) GI3. (Amplitude parameter of the impulsive noise:
Fig. 17 Fast kurtograms generated by using (a) negative entropy; (b) A7)
kurtosis; (c) GI2; (d) GI3. (Amplitude parameter of the impulsive noise: 0.65 Gini index
-0.4
Negative smoothness index
A5) 0.6
Incipient fault -0.45 Incipient fault
0.55 -0.5
0.5 -0.55
(a) 0 100 200 300 400 500 (b) 0 100 200 300 400 500
based on (a) Gini index; (b) negative smoothness index.
Fig. 18 Fast kurtograms generated by using (a) negative entropy; (b)

kurtosis; (c) GI2; (d) GI3. (Amplitude parameter of the impulsive noise:
A6)
Then, the Gini index- and negative smoothness index-based
fast kurtogram analyses are implemented on the mixed signals
Fig. 21 Fast kurtograms generated by using (a) Gini index rk ,  ck ,   , k  i  n ,

( A  6 ); (b) Gini index ( A  7 ); (c) Negative smoothness rk ,  ck 1, , i  n  1  k  i ,
index ( A  0 ); (d) Negative smoothness index ( A  7 ).
rk ,  ck , , i  1  k  N .
Therefore, some conclusions of this section are summarized
as follows. The GI2 and GI3 are effective in detecting the Lemma A.1: M G 2 decreases after the Robin Hood operation.
incipient fault. When the SMs are used to determine an Mathematically, M G 2 (c)  M G 2 (r ) .
informative frequency band for bearing fault diagnosis, the
proposed GI2 and GI3 have competitive performance with the Proof:
Gini index and they are better than the kurtosis, negative M G 2 (c)  M G 2 (r )  M G 2 (c )  M G 2 (r )
entropy, and smoothness index for the selection of the optimal N  2k  1  N  2k  1 
  k 1  ck ,  2 
  k 1  rk ,   
informative frequency band.  N   N2 
1 m
VIII. CONCLUSIONS  2  c j  k ,  2( j  k )  1   2( j  k  1)  1 
N k 1
Sparsity is a natural property existing in many monitoring 1 n
data. SMs, which can quantify the sparsity of signals, play a key + 2  ci  k ,  2(i  k )  1   2((i  k )  1)  1  .
N k 1
role in MCM. From the literature review, the designs of SMs 1 1
for enhancing MCM are rarely reported. In this research, under  2 c j ,   (2 j  1)  (2( j  m)  1)   2 ci , (2i  1)  (2(i  n)  1)
N N
the guidance of RQAM, two new SMs named GI2 and GI3 were

constructed. Theoretical analysis showed that the two new  (2(i  n)  1)  (2( j  m)  1)
N2
indices satisfied all six sparsity quantification attributes. Thus,
2  m 
 
n
they had an excellent sparsity quantification capability. The
N  k 1
 
 2   c j  k ,   c j ,   ci ,   ci  k ,     (i  n)  ( j  m) 

theoretical values of the two indices in the presence of the k 1

square envelope of Gaussian noise were respectively calculated Given that c is an ordered sequence, the first two terms are
as 2/3 and 1/3. Subsequently, their convergence property,
larger than 0. In accordance with (A.1), (i  n)  ( j  m)  0
sparsity quantification gradients, and discernibility to impulsive
noise and repetitive fault transients were studied. The GI2 and holds true. Therefore, M G 2 (c )  M G 2 (r )  0 holds true, i.e.,
GI3 satisfied the above three aspects. Lastly, some experiments M G 2 (c)  M G 2 (r ) .
with two public bearing run-to-failure datasets were performed
to show the superiority of the new designed SMs for MCM. Lemma A.2: MG1 increases after the Robin Hood operation.
Comparisons with state-of-the-art SMs showed that the Mathematically, M G1 (r)  M G1 (c) .
proposed new GI2 and GI3 exhibit competitive performance Proof:
with the Gini index and they are better than other existing SMs M G1 (r )  M G1 (c)
for MCM.  M G1 (r )  M G1 (c )
N  2( N  k )  1  N  2( N  k )  1 
IX. APPENDICES   k 1  rk ,      k 1  ck ,   
 N2   N2 
A. Lemmas related to the Robin Hood operation
1 m
Assume that c is the ordered c from smallest to largest, and  2  c j  k ,   2( N  ( j  k  1))  1   2( N  ( j  k ))  1 
N k 1
its jth element is denoted as c j ,  . Two elements of c in the 1 n
+ 2  ci  k ,   2( N  (i  k  1))  1   2( N  (i  k ))  1  .
N k 1
Robin Hood operation are ci , and c j , , where ci ,  c j , . 1
 2 c j ,  (2( N  ( j  m))  1)  (2( N  j )  1)
After the Robin Hood operation, the values and ranks of ci , N
1
respectively decrease by  and n . The values and ranks of  2 ci , (2( N  (i  n))  1)  (2( N  i )  1) 
N
c j , respectively increase by  and m . A potential 
 (2( N  ( j  m))  1)  (2( N  (i  n))  1)
requirement in the Robin Hood operation is   (ci  c j ) 2 , N2
2  m 
 
n
which makes the following inequality true:
. N  k 1
 
 2   c j  k ,   c j ,   ci ,   ci  k ,    (i  n)  ( j  m) 

(i  n )  ( j  m ) (A.1) k 1
After the Robin Hood operation, a new vector is obtained, and As stated before, all three terms of the above summation are
it is denoted as r . r is an ordered r from smallest to largest. larger than 0. Therefore, M G1 (r )  M G1 (c )  0 , i.e.,
An element relationship between c and r is as follows: M G1 (r)  M G1 (c) .
rk ,  ck ,  , 1 k  j 1, Lemma A.3: M x1 becomes invariant after the Robin Hood
rk ,  ck 1, , j  k  j  m 1,
(A.2) operation. Mathematically, Mx1 (r)  MG1 (c) .
rk ,  ck ,   , k  j m ,
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Inf. Theory, vol. 55, no. 10, pp. 4723–4741, 2009, doi: machinery based on the statistical parameters of wavelet packet paving and a
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[30] B. Hou, D. Wang, T. Xia, Y. Wang, Y. Zhao, and K. Tsui, Yi Wang received his B.Eng. degree from
“Investigations on quasi-arithmetic means for machine condition monitoring,” Southwest Jiaotong University, Chengdu, China,
Mech. Syst. Signal Process., vol. 151, no. April, p. 107451, 2021, doi: in 2011, Ph.D. degree from Xi'an Jiaotong
10.1016/j.ymssp.2020.107451. University, Xi'an, China, in 2017, respectively.
[31] P. S. Bullen, Handbook of Means and Their Inequalities. 2003. During 2016.8-2017.2, he was a visiting scholar
[32] Y. Wang, J. Xiang, R. Markert, and M. Liang, “Spectral kurtosis for in City University of Hong Kong, Hong Kong,
fault detection, diagnosis and prognostics of rotating machines: A review with China. He is currently an associate professor in
applications,” Mechanical Systems and Signal Processing, vol. 66–67. Chongqing University, China.
Academic Press, pp. 679–698, 2016, doi: 10.1016/j.ymssp.2015.04.039. His current research interests include
[33] “Case Western Reserve University Bearing Data Center Website.” mechanical signal processing, weak signal
http://csegroups.case.edu/bearingdatacenter/pages/download-data-file. detection, rotating machinery fault diagnosis
[34] J. Lee, H. Qiu, G. Yu, J. Lin, and Rexnord Technical Services, “IMS under non-stationary conditions, manifold learning and deep learning.
bearing run-to-failure dataset,” pp. 2–3, 2007, [Online]. Available:
https://ti.arc.nasa.gov/c/3/. Zhike Peng received the B.S. and Ph.D.
[35] H. Qiu, J. Lee, J. Lin, and G. Yu, “Wavelet filter-based weak signature degrees from Tsinghua University, Beijing,
detection method and its application on rolling element bearing prognostics,” China, in 1998 and 2002, respectively. He was
J. Sound Vib., vol. 289, no. 4–5, pp. 1066–1090, 2006, doi: a Research Associate with The City University
10.1016/j.jsv.2005.03.007. of Hong Kong, Hong Kong, from 2003 to 2004,
[36] B. Wang, Y. Lei, N. Li, and N. Li, “A Hybrid Prognostics Approach for and a Research Officer with Cranfield University,
Estimating Remaining Useful Life of Rolling Element Bearings,” IEEE Trans. Cranfield, U.K. He was with The University of
Reliab., vol. 69, no. 1, pp. 401–412, 2020, doi: 10.1109/TR.2018.2882682. Sheffield, Sheffield, U.K., for four years.
[37] Y. Lei, T. Han, B. Wang, N. Li, T. Yan, and J. Yang, “XJTU-SY He is currently a Changjiang Distinguished
Rolling Element Bearing Accelerated Life Test Datasets: A Tutorial,” J. Professor with the State Key Laboratory of
Mech. Eng., vol. 55, pp. 1–6, 2019, doi: 10.3901/JME.2019.16.001. Mechanical System and Vibration, Shanghai
Jiao Tong University, Shanghai, China. His current research interests
include nonlinear vibration, signal processing and condition monitoring,
Bingchang Hou received his B.Eng. degree and fault diagnosis for machines and structures.
from Chongqing University, Chongqing, China, in
2020. Now he is pursing his Ph.D. degree in Kwok-Leung Tsui is professor in the Grado
Shanghai Jiao Tong University, Shanghai, China. Department of Industrial and Systems
His research interests include health indicators Engineering at Virginia Polytechnic and State
construction, sparsity measures, fault diagnosis University. Prior to that, Dr. Tsui was chair
and prognostics, signal processing, and machine professor of School of Data Science and
learning. Department of Systems Engineering and
Engineering Management at City University of
Hong Kong in 2009-2020; professor/associate
professor in the School of Industrial and Systems
Engineering at Georgia Institute of Technology in
Dong Wang received the Ph.D. degree from the 1990-2011; and member of technical staff in the Quality Assurance
City University of Hong Kong, Hong Kong, in Center at AT&T Bell Labs in 1986-1990.
2015. He was a Senior Research Assistant, a He received his Ph.D. in Statistics from the University of Wisconsin
Postdoctoral Fellow, and a Research Fellow with at Madison. Professor Tsui was a recipient of the National Science
the City University of Hong Kong. Foundation Young Investigator Award. He is Fellow of the American
He is currently an Associate Professor with Statistical Association, American Society for Quality, International
the Department of Industrial Engineering and Society of Engineering Asset Management, and Hong Kong Institution
Management, Shanghai Jiao Tong University, of Engineers; elected council member of International Statistical Institute;
Shanghai, China, where he is also with the State and U.S. representative to the ISO Technical Committee on Statistical
Key Laboratory of Mechanical System and Methods. Professor Tsui was Chair of the INFORMS Section on Quality,
Vibration. His research interests include sparsity and complex measures, Statistics, and Reliability and the Founding Chair of the INFORMS
signal processing, fault diagnosis and prognostics, statistics, and Section on Data Mining. Professor Tsui’s current research interests
nondestructive testing. include data science and data analytics, surveillance in healthcare and
Dr. Wang is an Editorial Board Member of Mechanical Systems and public health, personalized health monitoring, prognostics and systems
Signal Processing. He is an Associate Editor of the IEEE Transactions health management, calibration and validation of computer models,
on Instrumentation and Measurement. process control and monitoring, and robust design and Taguchi methods.
Tongtong Yan received her B.E. degree at

Central South University, Changsha, China in
2019. Currently, she is working towards the M.E.
degree in the Department of Industrial
Engineering and Management and in the State
Key Laboratory of Mechanical System and
Vibration, Shanghai Jiao Tong University, China.
Her research interests are in data fusion for
system modeling, signal processing,
prognostics, health management, condition
monitoring and fault diagnosis.
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Article in IEEE/ASME Transactions on Mechatronics · July 2021

Bingchang Hou Tongtong Yan

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IEEE/ASME Transactions on Mechatronics 1

Gini Indices Ⅱ and Ⅲ: Two New Sparsity Measures and

 kurtosis was regarded as a powerful tool to extract

IEEE/ASME Transactions on Mechatronics 2

norm-based unsupervised learning sparse filtering method for

machine fault diagnosis. Moreover, SMs can be used as

IEEE/ASME Transactions on Mechatronics 3

IEEE/ASME Transactions on Mechatronics 4

operation. GI3 will then decrease after the Robin Hood

IEEE/ASME Transactions on Mechatronics 5

(a) Time (s)

Cross point Cross point Cross point

(b) Time (s) (a)

D. Investigations on the discernibility between impulsive noise Cross point

and repetitive transients Cross point

As studied by many scholars in the field of MCM [11], [32],

repetitive transients caused by rotating faults. Traditional SMs

IEEE/ASME Transactions on Mechatronics 6

available (i.e., [33]–[37]), machine run-to-failure datasets are

commonly used mechanical components in many machines.

experimental platform is shown in Fig. 5. The shaft rotated with

10 min with a sampling frequency of 20 kHz. After the bearing Kurtosis

run-to-failure test, an outer race failure was ascertained. The

around file number 534 [20].

(e) File number

Bearing 1 Bearing 2 Bearing 3 Bearing 4

(f) File number

(a) File number

A. Further verification of the proposed GI2 and GI3

IEEE/ASME Transactions on Mechatronics 7

the center frequency is 12666.67 Hz, and the bandwidth is 2

Fig. 13 Condition monitoring curves by using square envelope signals

Frequency (b) (c)

frequency band frequency band

Fig. 11 Fast kurtograms generated by (a) GI2; (b) GI3.

Fig. 12 Square envelope spectrum of the filtered signal in the indicated

IEEE/ASME Transactions on Mechatronics 8

Fig. 19 Fast kurtograms generated by using (a) negative entropy; (b)

Fig. 18 Fast kurtograms generated by using (a) negative entropy; (b)

IEEE/ASME Transactions on Mechatronics 9

Fig. 21 Fast kurtograms generated by using (a) Gini index rk ,  ck ,   , k  i  n ,

IEEE/ASME Transactions on Mechatronics 10

(QN )2 [18] P. O. Hoyer, “Non-negative matrix factorization with sparseness

IEEE/ASME Transactions on Mechatronics 11

Tongtong Yan received her B.E. degree at

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