Journal of Nondestructive Evaluation (2019) 38:5

https://doi.org/10.1007/s10921-018-0543-8

Role of Signal Processing, Modeling and Decision Making

in the Diagnosis of Rolling Element Bearing Defect: A Review
Anil Kumar1 · Rajesh Kumar2

Received: 22 June 2018 / Accepted: 8 November 2018 / Published online: 19 November 2018
© Springer Science+Business Media, LLC, part of Springer Nature 2018

Abstract
A significant development in condition monitoring techniques has been observed over the years. The scope of condition
monitoring has been shifted from defect identification to its measurement, which was later on extended to automatic prediction
of defect. This development is possible because of advancement in the area of signal processing. A number of signal processing
and decision making techniques are available each having their own merits and demerits. A specific technique can be most
appropriate for a given task, however, it may not be suitable or efficient for a different task. This paper reviewed recent and
traditional research, and development in area of defect diagnosis, defect modelling, defect measurement and prognostics.
Also it highlights the merit and demerit of various signal processing techniques. This paper is written with the objective to
serve as guide map for those who work in the field of condition monitoring.

Keywords Vibration · Signal processing · Modeling · Artificial intelligence · Prognosis

1 Introduction most common reasons are, surprising heavy loads, insuffi-

Bearing is a significant constituent of any machinery. It
assists machinery to rotate/move at high speed smoothly and
consistently with reduced friction and can carry significant
loads with ease. The rolling element bearing comes mostly
in two types: ball bearing and roller bearing. The failure on
the part of bearing not only causes mechanical breakdowns
in engineering applications but also result in fatal accidents.
One of such accidents was reported in which the engine of
aircraft gets failed because broken cage material gets stuck
between the ball and the race causing mismatch of bear-
ing axis with respect to the compressor shaft. Due to this
misalignment, balls get off centred resulting into uneven dis-
tribution of stresses as a result rotation of the bearing and
main compressor shaft ceased [1]. The rolling element bear-
ing failure occurs because of several reasons, however the
B Rajesh Kumar
rajesh_krs@sliet.ac.in
Anil Kumar
anil_taneja86@yahoo.com
1 Amity University, Noida 201 303, India
2 Precision Metrology Laboratory, Department of Mechanical
Engineering, Sant Longowal Institute of Engineering and
Technology, Longowal 148 106, India
cient lubrication and inappropriate sealing [2]. The highly
varying speed and loading condition create cyclic fatigue
stress in the bearing components as a result crack gets devel-
oped in the component of bearing [3] and makes the life of
the rolling element bearing highly unpredictable [4]. Timely
and accurate monitoring of bearing condition is important.
A typical failure mode of the bearing is revealed in Fig. 1.
In the beginning, the wear is high and this state of bearing is
called running-in, after a significant hour of working a steady
state wear condition is reached. Due to varying cyclic fatigue
stress, a crack is initiated. The damage makes the first move
in the form of indentation, micro-cracking, and inclusions.
Thereafter, micro-cracking propagates to cracks and finally
grows to spall and ultimately leads to failure.
The condition monitoring can help in prediction and diag-
nosing incipient failures much in advance. These days con-
dition monitoring can be carried out by acquiring vibration
and acoustic data through sensors connected to a machine.
The condition monitoring can be employed by applying suit-
able signal processing on the vibration signal. There exist
a number of signal processing techniques each having their
own merits and demerits.
This paper reviewed recent research and development in
area of defect diagnosis, defect size measurement, modelling
and prognostics. Also it highlights the merit and demerit of

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out about the life of the bearing. Over a period of time, local-
ized defect grow in size and gets distributed.
a. Indentation Raceways and rolling elements gets dented
Fig. 1 Lifespan of a rolling element bearing [5]
b. Cracks There are two types of cracks; subsurface and
Fig. 2 Geometry of rolling element bearing
various signal processing techniques. Objective of the paper
is to serve as guide map for those who work in defect diag-
nosis. General concept of bearing defect frequencies has also
been given. In the later part of the paper, tabulated summary
of the defect diagnosis method has been presented.
2 Rolling Element Bearing
The smooth performance of bearing is assured by a combina-
tion of four basic working parts: cage, outer race, ball/roller,
and inner race. The geometry of rolling element bearing indi-
cating races, ball and contact angle is shown in Fig. 2.
In this figure, d is the diameter of the ball/roller, D is the
pitch circle diameter, Di is the inner race diameter, Do is
the outer race diameter and ϕ is the contact angle made by
ball/roller at the race.
2.1 Defects in the Bearings
The defects in the bearing components are mainly put into
two categories i.e. localized and distributed defect [3, 6–8].
2.1.1 Localized Defects
Localized bearing defect indicates an emerging problem in
the bearing as it is located at a specific place. It doesn’t point
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Journal of Nondestructive Evaluation (2019) 38:5
when bearing is subjected to anomalous loading while
it is not running. External particles which get trapped
inside with the lubrication can also cause indentation.
Ball bearings are susceptible to indentation if the pres-
sure is applied in such a way that it passes through the
balls during the mounting or dismounting operations.
Figure 3a shows the indented race of roller bearing. Vari-
ous models [10–13] have been established by researchers
for the study of indentation.
surface cracks. Subsurface cracks occur mainly from
inclusions [14–16]. Over the time they grew to surface
due to local cyclic plastic strain and preferentially by
shear quite parallel to the surface [17–19]. The stain seen
in the outer and inner races is the indication of subsurface
fatigue. The formation of surface cracks is due to cumu-
lative cyclic plastic strain in the layer close to the contact
surface, enhanced by friction and presence of asperities or
microstructural inhomogeneities, indigenous stress rais-
ers present on the surface of the material in the form
of scratches, and near surface inclusions, or defects
introduced during operation. These days failure due to
subsurface cracks has been significantly reduced due
to manufacturing development, ensuing steels with very
lower inclusion content. However, occurrence of surface-
initiated failures has grown as mechanical efficiency
improvements are being achieved through lessening in
lubricant viscosity. It is being achieved by maintaining
low specific film thickness thus increasing the probabil-
ity of surface initiated failures [20].
Many researchers have done work for the detection
of crack in the bearing. Price et al. [21] and Schwach
and Guo [22] applied acoustic emission to detect a sub-
surface crack caused by rolling contact fatigue. Elforjani
and Mba [23] applied time and frequency domain analy-
sis method to detect a subsurface crack commencement
and its propagation. Eftekharnejad et al. [24] compared
the acoustic emission and vibration methods in moni-
toring a naturally degraded roller bearing. In their study
acoustic emission was more sensitive in comparison to
vibration based method in term of detection of crack in
the bearing. Zhang et al. [25] studied the crack propa-
gation using acoustics emission and vibration waveform.
Their outcome suggest that the analysis of acoustic emis-
sion can be a very effective method for investigation of
rolling element bearing fatigue. Liu et al. [26] developed
a method based on the curvature and power spectral den-
sity (PSD) of displacements for detection of subsurface
crack in the cylindrical roller bearing.
Journal of Nondestructive Evaluation (2019) 38:5
Fig. 3 Race having defects a
indentation [9], b spall, c flaking
and rusting, d smearing [9]
c. Spall Bearings are subjected to fatigue load. As a result of
this fatigue, fracture of the running surface occur which
cause removal of the material leading to formation of
spall. At the initial stage spall is localized. However, after
some time it gets distributed to whole periphery which is
called as flaking or spalling [27]. A typical photograph
of inner race of the taper roller bearing (NBC: 30205)
having spall is shown in Fig. 3b.
2.1.2 Distributed Defects
The defect initially generated gets distributed and propa-
gated. The distributed defects can be categorized as:
a. Wear It occur as a result of the admission of foreign parti-
cles into the bearing or unsatisfactory lubrication. It also
occurs as a result of inadequate lubricant, or if the lubri-
cant lost its lubricating properties. As a result metal to
metal contact occurs between rolling elements and race-
ways and the peaks of the microscopic asperities, gets
torn off and this gives the troubled surfaces a varying
grade of mirror-like appearance.
b. Flaking (Spalling) It occurs as a result of normal fatigue.
However, this is not the common cause of bearing fail-
ure. A typical photograph of inner race of bearing having
flaking is shown in Fig. 3c. The flaking in bearings is
attributed to other factors:
i. if the flaking is revealed at an early stage, then it is
possible to determine the cause of the damage and
requisite action can be planned to prevent a recur-
rence of the damage.
Page 3 of 29 5
ii. when flaking advanced to a certain stage, then its
presence can only be determined from the increased
vibrations, which serves as a warning to replace the
bearing.
c. Smearing It occurs when two inadequately lubricated sur-
faces slide against each other under high load and material
transfer takes place from one surface to the other and as
a result surfaces gets scored, with a torn appearance. A
typical photograph of raceway of roller bearing having
smearing is shown in Fig. 3d.
d. Rusting Corrosion occurs if water or corrosive agents
reach inside in the bearing in such amounts that it
becomes difficult for lubricant to protect the bearing. The
thin protective oxide film formed on clean steel surface
is exposed to air. The film formed is not dense and hence,
water or corrosive elements start contacting the bearing
surfaces and as results patches of etching gets developed.
Rusting can be seen in the taper roller bearing presented
in Fig. 3c.
2.2 Vibration Signature of a Bearing
Massive information is encoded in vibration signal. The fre-
quency band of the signal of the defective bearing is dispersed
into many zones as shown in Fig. 4.
(a) High-frequency zone
High frequency zone is due to presence of surface anomalies
on the rolling element and race [5]. Contact disturbance with
higher stress and wear is produced as the rolling elements
pass over the surface anomalies.
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Fig. 5 Various vibration monitoring techniques

Fig. 4 A typical FFT of a defective bearing signal [5]

Table 1 Mathematical formula of defect frequency of a bearing

3 Vibration Signal Processing Techniques
S. No. Defect frequency Mathematical formula The vibration signal analysis can be carried out in three ways
   [37] as shown in Fig. 5.
Fs db
1 Cage frequency (FTF) 2 1 − Pi cosϕ
  2 
The above techniques are described in detail in the fol-
2 Rolling element spin Fs × 2d
D
1 − dPbi cos(ϕ) lowing subsections.
frequency (F SPIN )
 
n b ×Fs db 3.1 Time Domain Techniques
3 Outer race defect frequency 2 1− Pi cosϕ
(F BPFO )
 
n b ×Fs db The higher domain features shown in Table 2 can be extracted
4 Inner race defect frequency 2 1+ Pi cosϕ
(F BPFI ) from the vibration signal, which are indicative to level of
5 Rolling element defect 2 × F SPIN the presence of the defects in the bearing [38–46]. Artificial
frequency (F ROLLER ) intelligence technique based on the features extracted from
the time domain vibration signal can be used for automated
defect identification in the rotary machines [47–53].
(b) Natural frequency and defect frequency zones Yang and Court [54] have also described ideal time for
conducting bearing repair using statistical parameters. Fig-
Whenever the rolling ball encounters the defect, natural fre- ure 6 shows the value of different statistical parameters such
quency of bearing gets excited. The signal from defective as Normalized Information Entropy (NIE), J-Divergence,
bearing consists of two parts. First part is low-frequency Kurtosis (K), and Composite criterion (C) with respect to
event which originates due to entry of the ball/roller in defect size. They proposed that the maintenance should be
the vicinity of defect [28–30]. This event gives peak in the carried out when these statistic parameters reaches the max-
bearing fault frequency zone. Second part is high-frequency imum.
event, which is the result of impact of rolling element with
the trailing edge of the defect. The defect frequency is depen- 3.2 Frequency Domain Techniques
dent on the defective component. The mathematical formula
for calculating defect frequency is presented in Table 1 The frequency-domain analysis has benefit over time-domain
[31–36]. analysis that it helps in distinguishing and isolating frequency
In the above table, Fs is speed at which shaft rotates, of interest [55, 56]. There are ample of frequency domain
nb is the balls/rollers in bearing, d b is the diameter of the techniques categorized as shown in Fig. 7 which have been
ball/roller, Pi is the pitch circle diameter and ϕ is the contact utilized by researchers in the detection of defect.
angle made by ball/roller at the race. The above mentioned
equations for the defect frequencies are derived when the (a) Fast Fourier Transform (FFT)
outer race is assumed to be fixed and the roller undergoes Fourier analysis segregates a signal into exponential func-
only pure rolling motion. tions at different frequencies.
(c) Rotating frequency zone The mathematical form of Fourier transform Y (ω) of sig-
nal y(t) is shown in Eq. 1 [57]:
The defect such as rotor imbalance, misalignment (which is
due to mismatch between motor and shaft axis), and pedestal +∞
looseness have signature which is related to the speed of the Y (ω)  y(t)e−iωt dt (1)
shaft and its orders. These faults introduce some change in the −∞
contact characteristics and load distribution which influences
the wear. where ω  2π f r , and f r is the frequency in Hertz.

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Table 2 Mathematical
expression of higher order S. No. Feature Mathematical expression Properties
statistics
 
N
n1 (yn )
2
1 Root mean square yR M S  N Measure of power contained in the
vibration signal
Primary indicator of health of the machine
2 Peak level y p  max. (yn ) Indicator of occurrence of impacts
Used as an alternative to RMS
yp
3 Crest factor CF  yR M S Healthy bearing has more CF compared to
the defective bearing
 
1 N
i1 (yn −y)
3
N
4 Skewness Skew  σ3
It is a measure of lack of symmetry about
its mean
N
n1 (yn −y)
N 2
5 Kurtosis K   2 Higher is the kurtosis, spiky is the
N
n1 (yn −y)
2
distribution of data
Low is the kurtosis, flat is the distribution
A bearing in good condition has a
Kurtosis value less than or equal to 3
Kurtosis of defective bearing is greater
than 3
In the above expressions, yn is the amplitude of individual (nth) sample, N indicates number of samples, y is
the mean of the data and σ is the standard deviation

Fig. 6 Statistical parameter with respect to defect size [54]. a NIE, b J-Divergence, c K, d C

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Fig. 7 Frequency domain techniques
In the above equation y(t) stands for signal in time domain,
t indicates time, and Y indicates signal in frequency domain.
Limitation The main constraint of FFT is that its computation
is done over entire time [57], as a result of which differen-
tiation between stationary and transient part of the signal
becomes impossible i.e. using the FFT technique one cannot
determine at what time a particular frequency component ‘ω’
appears. Due to this drawback, it has limited applicability to
stationary signal [58].
(b) Power Spectrum
The power spectrum of a signal is square of the mag-
nitude of the Fourier Transform (FT). Mathematically, it is
expressed as [59]:
 ∞ 2
 
 
P(ω)    y(t)e −iωt 
dt   Y (ω)Y ∗ (ω) (2)
 
−∞
∞
where, Y (ω)  −∞ y(t)e− jωt dt is the FFT of a signal,
Y∗ (ω) is the complex conjugate of Y(ω), ω  2π f and f is
the frequency.
Limitation Power spectrum has drawback that peaks in it are
very sensitive to fluctuations of the shaft speed.
(c) Cepstrum
Power spectrums are very sensitive to speed patterns. To over-
come this problem, pattern of the power spectrum peaks, as
opposed to isolated frequency, are generated using cepstrum
analysis [60, 61].
There exist several forms of cepstrum, out of which the
normally used version is power cepstrum, which is mathe-
matically expressed as [62, 63]:
P.C(ω)  |F −1 {log(|F{y(t)}|2 )}|2 (3)
where F and F −1 are notations of Fourier transform and
inverse Fourier transform respectively.
(d) Envelope Spectrum
This envelope signal can be calculated by making a com-
plex signal (com(t)) which is mathematically expressed as
[64–72]:
com(t)  y(t) + i H [y(t)]  env(t)eφ(t) (4)
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Journal of Nondestructive Evaluation (2019) 38:5
where H[y(t)] is the Hilbert transform of signal y(t), which
is defined as [32]:
+∞
1 y(τ )
H [y(t)]  dτ (5)
π t −τ
−∞
where t and τ denote time and translation respectively.

And env(t)  y 2 (t) + H 2 [y(t)] is the envelope of the signal
(6)
(H [y(t)])
and φ(t)  ar ctan . (7)
(y(t))
The FFT of signal env(t) is denoted by E N V (ω) and is called
envelope spectrum and its properties are given as [70]:
 
2Y (ω) ω ≥ 0
ENV(ω)  (8)
0 ω<0
where, ω is the angular frequency of ENV(ω) and Y is the
FFT of original signal, y(t).
Before carrying out envelope demodulation, the signal is
usually bandpass filtered. After bandpass filtering, Hilbert
transform is carried out, so as to demodulate the amplitude
modulated signal.
The band-pass filtering has two characteristics, one is cen-
tral frequency and another is bandwidth of the bandpass
filter, which can be determined using: Spectral kurtosis [65],
Kurtogram [73, 74] and Protugram [75]. The Kurtogram
[73] can be calculated using kurtosis of the filtered time
domain signal. On another hand, Protrugram is calculated
using kurtosis of amplitudes in envelope spectrum [75]. The
spectral kurtosis (SK) is a very efficient tool for determining
demodulation band. Barszcz and Jabonski [75] mentioned
that presence of heavy non-Gaussian noise creates difficulty
in determining demodulation band, on another hand, Protru-
gram in similar situation responded well. Borghesani et al.
[76] in their studies pointed out that selection of demodu-
lation band on kurtosis is not sufficient as it may lead to
error because of different band generated by the different
machine. Therefore, they proposed a ratio of cyclic content
(RCC) which is a percentage of kurtosis of square enveloped
cyclic filtered signal to the kurtosis of square enveloped sig-
nal filtered in the discrete frequency band to determine the
optimal band for filtering. Using their proposed RCC index
a significant improvement in term of identification of defect
was observed.
Envelope spectrum consists of important information
about the defect. Dolenc et al. [27] discriminated distributed
and localize defect by observing peak in the envelope spec-
trum. They showed that presence of localized defect gives the
highest amplitude at bearing defect frequency in the envelope
Journal of Nondestructive Evaluation (2019) 38:5
spectrum. On another hand, distributed defect creates mod-
ulation at fundamental train frequency (FTF) along with the
peak at defect frequency.
Summary Defect identification process relies on the enve-
lope process. The envelope analysis can demodulate the
defect-related information. Generally filtering are applied
to vibration signal so as extract the hidden defect infor-
mation and suppress the noise. Kurtogram is most popular
techniques for narrowband selection. However, the major
problem with the Kurtogram is that it is sensitive to random
noise and aperiodic impulses which usually occur in real
applications. This motivated researchers to develop another
tool such as Protugram and ratio of cyclic content (RCC) for
the selection of narrowband.
3.3 Cyclostationary Analysis
Girondin et al. [77] proposed a Cyclostationary readjustment
method to estimate frequency in a spectrally noisy context.
They also provided a confidence index for the readjusted fault
frequency which was used for fault detection. After detection
of fault, its evolution was monitored by estimating signal-to-
noise ratio.
Bonnardot et al. [78] extracting second-order cyclosta-
tionary (CS2) part of a signal. Their method exploited the
spectral redundancy induced by the pure CS2 part and tries to
reconstruct it by combining several filtered frequency-shifted
versions of the signal. The benefit of their method was that
it does not information about the sources, and arrangement
of a forgetting factor. Also it operates well in the noisy situ-
ation. Simulated and experimental studies performed on the
bearing data showed the effectiveness.
Blind source separation (BSS) is techniques for estimating
individual source components from their mixtures which rely
only on the information of the number of independent sources
present in the mixture. Boustany and Antoni [79] proposed
a blind extraction method using a subspace decomposition
of the observations via their cyclic statistics which does not
suffer from the permutation problem as occur in the case of
classical BSS. Experiment study carried out on the bearing
data verified the usefulness of the method.
Kilundu et al. [80] presented an experimental study that
characterizes the cyclostationary aspect of Acoustic. The
comparison of cyclic spectral correlation, was carried with
the traditional envelope spectrum. Cyclic spectral correla-
tion was found competent for small defect identification on
outer race defects. However, it could not have shown its ben-
efits in the case of inner race defects. Moreover, sensitivity
of cyclic spectral correlation while monitoring the degrada-
tion of defects was better compared to traditional temporal
statistical indicators (RMS, Kurtosis, and Crest Factor).
Page 7 of 29 5
Frequency
Time
Fig. 8 Time–Frequency resolution of STFT
3.4 Time–Frequency Domain Technique
Time domain methods can be used to analyze transient
signals but the problem with time domain analysis is that
frequency information gets lost. On another hand, fre-
quency domain methods give frequency information but
cause averaging of transient events. The time–frequency
analysis however, characterizes energy of signals in both time
and frequency domain to reveal fault patterns for more accu-
rate diagnostics.
(a) Short time Fourier transform (STFT)
The STFT is calculated by segregating a signal into parts
with short-time window and it applies FFT to each part [37].
Mathematically, it is described as [81–83]:
+∞
S (w)
(τ , f)  ST F T (y(t))  [y(t).w ∗ (t − τ )]e−iωt dt
−∞
(9)
where w(t) is a window which is moved along the signal.
STFT of a signal generates 2D spectrogram having ampli-
tude squared |S(τ , f )|2 value along time–frequency axis.
Limitation The major limitation of STFT is that once the win-
dow size is fixed it gives constant time resolution as shown
in Fig. 8.
(b)Wigner–Ville distribution (WVD)
The Wigner distribution was originated by [84] and was mod-
ified by Ville [85]. WVD gives better resolution than the
STFT. It has been applied by researchers [86–89] to analyze
the non-stationary signal. In spite of significant improvement
in Wigner-Ville representation, it is still difficult to properly
detect failure in mechanical systems.
3.4.1 Wavelet Transform (WT) and Their Derivative
Grossman and Morlet [90] formulated CWT to overcome
the poor time localization limitations of the FFT and fixed
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Frequency
Time
Fig. 9 Time–Frequency resolution of wavelet transform
time–frequency resolution of the STFT. The wavelet trans-
form (WT) is most widely used time–frequency method in
which time–frequency resolution is varied.
A typical time–frequency resolution of wavelets trans-
form (WT) is presented in Fig. 9. There are various wavelet
transform techniques such as CWT, DWT, and WPT and are
described in the following subsections.
(A) Continuous Wavelet Transform (CWT)
The CWT of vibration signals y(t) can be computed by
integrating signal with a family of wavelet [91, 92]. Trans-
forming a signal with the help of wavelet produces 2D map
of CWT coefficients. The mathematical expression of CWT
can be described as [92–104]:
+∞  
1 t−j
C W T (h, j)  √ y(t)ψ ∗ dt (10)
h h
−∞
where ψ * is the complex conjugate of the mother wavelet,ψ,
h is the scale and j is the shift parameter.
CWT in the area of fault diagnosis Rubini and Meneghetti
[93] showed that spectral analysis in certain situation fails to
detect bearing defect impulse because of machine resonances
and noise. On another hand, their proposed average wavelet
transform method didn’t get influenced by resonance and was
effective enough to extract defect information.
Zheng et al. [94] proposed spectrum comparison method
and feature energy method based time-averaged wavelet
spectrum (TAWS) for diagnosis of gear defect. Their exper-
imental study revealed the capability of TAWS in extracting
gear fault information.
Tse et al. [95] extracted a wavelet for carrying out CWT
analysis. The wavelet was produced through optimization
process that not only matches with signal but also satisfies
the admissibility conditions of wavelets. The simulated and
practical study carried out on the signal of bearing showed
that extracted wavelet analysis is effective in minimizing the
undesirable effect of overlapping.
Qiu et al. [97] optimized the shape of morlet wavelet using
minimal Shannon entropy criterion. The CWT analysis was
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Journal of Nondestructive Evaluation (2019) 38:5
carried out by optimized mother wavelet. The best filtering
band was determined using singular value decomposition
(SVD). This method suits well for detecting defect features
from the weak signature of a bearing signal.
Junshengu et al. [98] in their research work proposed a
scheme based on impulse response wavelet, scale-wavelet
power spectrum and time-wavelet power spectrum auto-
correlation function to extract the faulty feature in vibration
signals. Their method consists of applying CWT using
impulse response wavelet to the raw signal. Further, scale-
wavelet power spectrum was obtained to determine the scale
in which resonance frequency lies. Finally, time-wavelet
power spectrum was formed by integrating CWT scalogram
at selected scale over time axis for the diagnosis of the fault.
Their proposed method outperformed the conventional enve-
lope method for detection of defect in the rolling bearing.
Hong and Liang [99] proposed Lempel–Ziv complexity
and CWT computation at best scale for the assessment of
bearing fault severity. Su et al. [100] carried out filtering of
vibration signal of bearing using the Morlet wavelet trans-
form. The optimal parameters of Morlet wavelet were found
using genetic algorithm (GA). Finally, autocorrelation enve-
lope power spectrum of wavelet coefficients was obtained to
identify bearing faults.
Kumar and Kumar [103] combined acoustic and vibration
monitoring technique for the identification and measurement
of inner race defect. In case of inner race defect, the uni-
axial accelerometer misses few bursts which gets produced
when defect is not aligned with the sensitive direction of
accelerometer. Therefore, to make defect identification pos-
sible, acoustic signal was used which is omni-directional.
Acoustic signal was processed using EEMD. Thereafter,
aggregation of IMF having similar shape factor is carried
out. Then, envelope demodulation of aggregated IMF hav-
ing maximum kurtosis is carried out for the measurement of
defect frequency. Subsequent measurement of defect width
was carried out from accelerometer signal by applying adap-
tive wavelet transform.
For detection of bearing defect, He et al. [105] optimized
the bandwidth and central frequency of Morlet wavelet fil-
ter using the fuzzy rule for detection of bearing defect in
cooling fans. The filter was introduced so as to maximize
the amplitudes of bearing characteristic frequencies (BCFs).
Wang et al. [106] applied manifold learning to wavelet enve-
lope of various scales for removing of inband noise. The
effectiveness of the method was established using the bear-
ing defect data collected in the laboratory environment.
Kumar and Kumar [107] also carried out time–frequency
analysis using Morlet wavelet for detection of the impeller
and bearing defect in the centrifugal pump. The idea behind
the method was that the presence of any type of defect in
the centrifugal pump causes amplitude/frequency modula-
tion of the carrier signal (vibration generated due to impact
Journal of Nondestructive Evaluation (2019) 38:5
Fig. 10 CWT scalogram of
pump under following condition
a broken impeller blade and b
pump having inner race defect
on a bearing [107]
between fluid and impeller vanes) which is depicted in terms
of increased energy at different scales. The time–frequency
tracks such multi-scale changes and reflects the condition of
the pump. The Fig. 10a shows CWT scalogram of impeller
without any bearing defect and Fig. 10b is of pump hav-
ing outer race defect on bearing. The CWT scalogram has
simultaneously both time and frequency information. In the
CWT scalogram (Fig. 10b) of defective bearing one can see
high energy appears around scale 1–20 which is due to the
resonance frequency of bearing.
Advantage of CWT It uses several daughter wavelet at each
scale which are smoothly shifted over entire signal length.
As a result CWT is shift insensitive.
Limitation of CWT The limitation of CWT is that for com-
putation of CWT coefficient, the wavelet is shifted smoothly
at each scale, as a result, the CWT become computationally
expensive.
Page 9 of 29 5
(B) Discrete Wavelet Transform (DWT)
DWT is the discretization of the scale and translation vari-
ables in the CWT. Mathematically, DWT can be described
as [108–121]:
  
1 t − c2r
dwt(r , c)  √ y(t)ψ ∗ dt (11)
2r 2r
where 2r is scale parameter, and c2r is the shift parameter
Discrete wavelet transform in the area of fault diagnosis
Discrete wavelet transform (DWT) has been used for diag-
nosis of race defect in the bearing. One of such studies is
available in the work of Prabhakar et al. [112]. Lou et al.
[116] presented bearing fault diagnosis based on wavelet
transform and adaptive neural-fuzzy inference for identifica-
tion of bearing defect. Euclidean vector distance and vector
correlation coefficient method were extracted. The adaptive
neuro-fuzzy interface system (ANFIS) was trained and tested
using vector distance and vector correlation coefficient. The
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result demonstrates that Euclidean vector distance can better
separate the different defects.
Purushotham et al. [117] carried out defect diagnosis using
DWT and hidden Markov model (HMM). Training of HMM
was carried out using extracted features from signal pro-
cessed by DWT. Further, the test features were applied to
HMM. A good recognition rate of 99% was achieved using
their method.
Abbasion et al. [118] carried out rolling element bearings
fault classification by DWT based denoising method and sup-
port vector machine. The study was carried out on the motor
bearing located on the fan side and drive end bearing. The
bearing was deep groove roller element. The vibration signal
was denoised by DWT based soft threshold method. Features
were extracted from the denoised signal. They reported that
the method identified bearing fault with 100% accuracy.
Hao and Chu [119] presented morphological wavelet
(MW) for extracting impulse features and smoothing of noise
in the vibration signal. Simulation and experimental study
presented in proves the competence of the method in identi-
fication of defect in the bearing.
Li et al. [120] proposed multiscale slope feature extrac-
tion for defect fault diagnosis using wavelet analysis. Their
proposed method works in following steps. First, DWT of
vibration signals was carried out. Second, variances of high-
frequency part were calculated. Finally, multiscale slope
features were assessed using slope of variances. The method
was applied for separating different defective condition of
gear and bearing.
Advantage of DWT DWT has fast computation speed. Its fre-
quency resolution increase with each level of decomposition.
Limitation of DWT DWT ignores high-frequency part at
each decomposition level and concentrates only one low-
frequency part to further decompose the signal. Although,
DWT have fast computing speed. However, they lack shift
sensitivity.
(C) Wavelet Packet Transform (WPT)
WPT is a substitute for CWT. Discrete wavelet trans-
form (DWT) decompose the signal of low-frequency region
(approximate part). But, WPT can decompose the signal in
the high-frequency region (detail part) [122–125].
Wavelet packet transform in the area of fault diagnosis
Yadav et al. [126] in their work developed an artificial intel-
ligence system formed using feature extracted from signal
processed by WPT for the diagnosis of bearing defect.
Bin et al. [127] combined WPD and empirical mode
decomposition (EMD) for diagnosis of rotary machine fault.
The scheme consists of denoising the raw vibration signal
using WPD, which was further decomposed by applying
EMD to produce intrinsic mode functions (IMFs). There-
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Journal of Nondestructive Evaluation (2019) 38:5
Fig. 11 Separation of impulse and oscillatory signal using TQWT. a
Noisy signal having impulse and oscillatory signal, b oscillatory part,
c impulse part and d residual/remaining part
after, energy moment of IMFs was calculated which is used
as a feature to express the failure and is used to train the back-
propagation artificial neural network (ANN). The defect
identification was carried out by applying energy moment
of test data set to ANN.
Rajeswari et al. [128] proposed WPT features for the diag-
nosis of deep groove ball bearing defect. Feature reduction
was carried out by applying hybrid PSO. Extracted features
were used for training–testing of SVM.
Wang et al. [129] applied manifold learning so as to
remove in-band noise of WPT. Neighborhood size of mani-
fold learning algorithm was selected using minimum permu-
tation entropy. They used this method to extract weak bursts
of bearing defect. Chacon et al. [130] presented wavelet
packet transform (WPT)-auto correlation function (ACF)
spectrum for diagnosis of bearing defect. The WPT band and
wavelet which correspond to the highest SNR was selected
to denoise the signal and extraction of the hidden bursts.
The experimental result indicates that signal de-noised using
their method has high SNR over traditional envelope detec-
tion method.
Advantage of WPT WPT has fast computation speed. Also,
it overcomes the limitation of DWT and it uses both high and
frequency component to decompose the signal.
Limitation of WPT Although WPT overcome the limitation
of DWT and it used both high and frequency component to
decompose the signal still it is shift sensitivity.
(D) Tunable Q-Factor Wavelet Transform (TQWT)
TQWT can separate the signal according to its oscillatory
behavior. Figure 11a shows a noisy waveform having mix
of oscillatory and impulse signals. After applying TQWT,
oscillatory part and impulse part gets separated as shown in
Fig. 11b, c.
Journal of Nondestructive Evaluation (2019) 38:5 Page 11 of 29 5

TQWT in the area of fault diagnosis Cai et al. [131] uti-

lized TQWT for feature extraction of the gearbox signal.
The study consists of extraction of weak feature of localized
defect on the gearbox. The vibration signal was collected
using the velocity transducer mounted on the outer casing of
Fig. 12 Simulated signal mix of low and high-frequency components
the gearbox. The vibration signal was decomposed into low
and high Q-factor signal using TQWT based decomposition.
They showed that transient bursts can be easily found in the
low Q-factor signal which was otherwise difficult to find in
raw signal.
Difficulty in extracting weak defect related features (espe-
cially defect at the very early stage) was overcome by Wang
et al. [132] who proposed a decomposition using ensemble
empirical mode decomposition (EEMD) prior to applying
TQWT on the signal for identification of defect in the rolling
bearing.
He et al. [133] optimized the parameters of TQWT for
detection of bearing defect in the electric motor. Optimal
parameters for TQWT were determined automatically. The
number of level for decomposition was determined by cal-
culating the energy of the last sub-band to the sum of energy
of all sub-bands. Thus, level of TQWT decomposition was
selected on the basis of criteria that if no significant change
in LER was observed then iteration will stop and level for
TQWT selected. After choosing the level for TQWT, Q-
factor for TQWT was determined. The method was applied
Fig. 13 Mode mixing in IMFs 1–9 generated by EMD of the signal in
in the cases of the wind turbine and steel temper mill. Shi Fig. 12
and Liag [134] proposed iteratively TQWT for removing in-
band interference and noise that cannot be removed by the
low and high-frequency components. The IMFs (IMF1-9) so
ordinary TQWT or single iteration TQWT.
obtained by processing the signal in Fig. 12 through EMD
Advantage of TQWT Tunable Q-factor wavelet transform are presented in Fig. 13. One can find the trace of a specific
(TQWT) has recently evolved as a signal processing tool frequency in more than one IMFs signals.
which can isolate the signal according to oscillatory behav-
(B) EEMD
ior. This means that if signal has overlap in the frequency
domain, TQWT can still separate the signals. Ensemble EMD (EEMD) is another noise assisted decompo-
sition procedure which lessens the mode mixing. The EEMD
Limitation of TQWT TQWT is computed using SALSA algo-
decomposition algorithm of original signal s(t) works in fol-
rithm which is computationally expensive.
lowing steps [51, 138–141, 146]:

3.4.2 Empirical Mode Decomposition (EMD) and its
Derivatives
(A) EMD
EMD decomposes a signal into a number of intrinsic mode
functions (IMFs) without any convolution of the signal with
wavelet. The whole decomposition using EMD is data-
driven. But EMD has mode mixing problem. In mode mixing
problem either a signal of one scale gets split into several
IMFs or signals of several scales exist in one IMF [135–137].
The Fig. 12 shows a typical signal consisting of a mix of
(a) Generate a numerically produced white noise, v(t) and
add it to original time signal, s(t) to generate a new
signal:
z i (t)  s(t) + vi (t) (12)
(b) decompose new signal using EMD technique into many
IMF signals.
(c) steps (a) and (b) are repeated for ‘NE’ times with
different random white noise generated each time to
obtain—IMFs at each iteration.

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(d) ensemble means of the corresponding IMFs of the
decomposed signals are calculated by taking the mean
of IMF formed in a number of trails.
1 
NE
I M Fr (t)  I M Fri (13)
NE
i1
where IMF ir indicates rth IMF generated at trial number
i.
The same signal (Fig. 12) was decomposed using EEMD.
The various IMFs generated using EEMD are shown in
Fig. 14. By the use of EEMD, mode mixing is reduced to a
great extent as compared to EMD. Result of EEMD is influ-
enced by the amplitude of added noise and iteration number
(ensemble number). Also, with an increase in ensemble num-
ber, computational time becomes high.
(C) Application of EMD and EEMD in the area of fault
diagnosis
Rai et al. [142] proposed FFT of IMFs for detecting rolling
element bearing defects. IMF selection in EMD is gener-
ally carried out manually. However manual selection of IMF
should be avoided because it can give an erroneous result.
Ricci and Pennacchi [143] developed a mathematical/merit
index which allows automatic selection of the intrinsic mode
functions (IMF) over manual selection method. The benefit of
this improvement was established using the experiment per-
formed on spiral bevel gearbox. A criterion based on mutual
information for selecting of sensitive IMF was developed by
Zhao et al. [144]. This mutual information based criterion
enable selection of sensitive IMF having joint information
between signals measured in the two orthogonal directions.
Jiang et al. [139] proposed a method for the selection of
noise constant of EEMD. They suggested that selection of
noise constant should be carried on the basis of frequency
of the noise and the information required from the signal.
They suggested that if required signal/information is of high
frequency then noise constant should be between 0 and 0.2
and if required signal/information is of low-frequency value
then it should be 0.2–0.6.
Pan and Tsao [145] carried out envelope analysis of IMF
for identification of multiple faults in the ball bearing. They
developed criteria to find IMFs having almost same fre-
quency content. The similar IMFs were put together. The IMF
having concentrated energy in both the spectrum of IMF and
the spectrogram was designated for envelope demodulation.
Dybala and Zimroz [2] combined IMFs into combined
mode function (CMFs) using correlation coefficient for iden-
tification of defect in the bearing of a gearbox using vibration
data. Hong et al. [147] combined wavelet packet and Empir-
ical mode decomposition for determining the performance
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Journal of Nondestructive Evaluation (2019) 38:5
degradation of the bearing. Their study showed that the
degradation of the bearing can be better expressed in term
of wavelet packet energy entropy in comparison to the
traditional statistical factors. Saidi et al. [148] proposed Bi-
spectrum analysis of IMF for diagnosis of bearing defect.
In the HHT method, multi-frequency intrinsic mode func-
tions (IMFs) and pseudo-IMFs gets generated which make
the frequency resolution of HHT poor. In order to solve this
problem, Zhang et al. [149] formed a method to generate
IMFs without having multiple frequency components and
pseudo components.
Advantage of EMD Unlike wavelet transform whose result
depends on the choice of the wavelet, Empirical mode
decomposition (EMD), adaptively decomposes a signal into
a collection of intrinsic mode functions (IMFs) based on the
local characteristic time-scale of the signal. EMD is self-
adaptive because the IMFs are determined by the signal itself
rather than the predetermined one.
Limitation of EMD Its overestimates the number of modes
and then separate some information which is originally part
of the same component. As a result mode mixing occurs in
the EMD.
Advantage of EEMD It lessens the Mode mixing problem
that occurs in the EMD.
Limitation of EEMD It is computationally expensive and also
it requires selection of noise parameter for the optimum per-
formance.
3.4.3 Empirical Wavelet Transform (EWT)
EWT decomposes a signal using wavelet adaptively formed
from the supports of few modes [150]. Kedadouche et al.
[136] carried out comparison between EWT, EEMD and
EMD. From the experimental studies, they found mode esti-
mation was better with EWT in comparison to EEMD and
EMD. The other benefit of EWT was that it requires much less
computation effort. EWT has been applied by researchers for
diagnosis of the defect. Kedadouche et al. [151] combined
EWT and operational modal analysis (OMA) for decompo-
sition of signal into multiple components called as modes.
Kurtosis was used to select the mode for envelope analysis
in finding the bearing defect information.
Pan et al. [152] proposed a method based on modified non-
local means algorithm and modified empirical wavelet trans-
form (MEWT) for extracting empirical mono-component
modes. The extracted modes were used for mechanical fault
identification. Cuo et al. [153] carried out diagnosis of loco-
motive bearing defect using empirical wavelet transform.
Journal of Nondestructive Evaluation (2019) 38:5
Benefit of EWT EWT can identify the existence of modes
in the spectrum and delivers different constituents which are
close to the original signal.
3.4.4 Matching Pursuit
Analysis of vibration signature using matching pursuits with
time–frequency atoms for extracting the defect information
was reported by Liu et al. [154]. Their proposed method
easily identify inner race defect which was otherwise difficult
to found using continuous wavelet transform and envelope
detection.
Yang et al. [155] presented a basis pursuit method for
signals of bearings having defective inner and outer race.
It gives fine resolution and sparsity in the time–frequency
domain, which makes the defect identification task easier.
Cui et al. [156] applied matching pursuit algorithm for
the measurement of defect in the outer race. In doing so, they
developed a step-impulse dictionary. GA was used to select
optimal dictionary of the atom. The signal decomposed using
optimized dictionary was found to clearly reflect entrance and
exit corner of spall in the signal.
Limitation The major practical difficulty in applying match-
ing pursuit method is that the success of this method is
influenced by the density of the dictionary. The greater is the
density, higher is the accuracy but problem is that increment
in the density of dictionary impart computational cost.
3.4.5 Morphological Filter
Li et al. [157] presented Morphological filter feature selec-
tion based multi-scale morphological filter (MMF), for train
axle bearing fault detection. The calculated more than 30 fea-
ture from vibration signals of bearing under different defect
conditions. The appropriate features were selected using
the max-relevance and min-redundancy principle. Then, a
filtering scale selection approach for multi-scale morpho-
logical filter (MMF) based on feature selection and grey
relational analysis was proposed. The proposed feature selec-
tion method was compared with kurtosis criterion based
MMF and the spectral kurtosis criterion based MMF. The
proposed method outperformed the already existing method.
Kurtogram is widely used method for the narrowband
selection for envelope analysis. However, it has sensitivity
to random noise and aperiodic impulses which are usually
found in real application. Therefore, it in the noisy indus-
trial scenario it gives poor results. Tian et al. [158] in their
paper proposed a novel modulation signal bispectrum (MSB)
based method for the detection of bearing defect. Their MSB
method allowed suppression of both stationary random noise
and discrete aperiodic noise. The simulated and experimen-
tal data analysis showed that the proposed method is better
Page 13 of 29 5
than the Kurtogram based approaches for selecting filtering
band under different operating conditions.
Lv et al. [159] presented a new morphological filter
called average combination difference morphological filter
(ACDIF) for detection of impulse from the noise and pres-
ence of harmonics. They developed a new indicator called
Teager energy kurtosis (TEK) to define the length of struc-
ture element (SE) which affects the performance of ACDIF.
Their method can extract positive and negative impacts which
occur in the vibration signals which strengthened the bearing
fault diagnosis process.
3.5 Signal Processing for Defect Detection
at Varying Speed
Wang et al. [104] presented a hybrid technique for analy-
sis of the health of rotating machines under varying speed
conditions. The proposed method consists of integrating
complex wavelet transform based envelope extraction of
speed-varying vibration signals with computed order track-
ing for eliminating speed dependency. Further spectrogram
of multiple wavelet envelope signals was obtained by extract-
ing the defects related features.
Yang et al. [160] combined envelope analysis, order track-
ing, and the constrained independent component analysis
(cICA) for detection of bearing defect at varying speed. In
their first step, envelope of signal is computed. Then, domain
of envelopes was changed to angular by using computed
order tracking. Thereafter, cICA method was employed to
extract relevant envelope independent components (ICs). The
relevant envelope independent components (ICs), was cre-
ated according to the prior-known feature frequency of the
bearing. As a result, the faults related features appear clearly
in the order spectra of the enveloped ICs.
Cheng et al. [161] applied resampling on the signal decom-
posed by local mean decomposition method for identification
of defect which was located on the gear.
Hu et al. [162] proposed an adaptive and tacholess order
analysis method which overcome the sensitivity of exist-
ing ridge extraction methods to the noise and trapped of
ridge extraction method in a local optimum. They adopted
a novel ridge extraction algorithm based on dynamic path
optimization so as to estimate the instantaneous frequency.
This algorithm overcomes the inadequacies of the existing
ridge extraction algorithms.
Wang et al. [163] carried out rolling element bearing diag-
nosis at varying speed in the presence of gearbox vibration.
To achieve this they proposed a method which works in fol-
lowing steps: (i) First adaptive gear interference was removal
using enhanced adaptive noise cancellation (ANC) algorithm
which does not require an additional accelerometer to pro-
vide reference input. In its place, the reference signal was
adaptively constructed from signal maxima and instanta-
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neous dominant meshing multiple (IDMM) trend (b) then
fault characteristic order (FCO) spectrum was computed for
fault detection and (c) A rotational-order-sideband (ROS)
based stagey was employed to identify bearing shaft order.
This ROS strategy enables bearing defect identification even
in the case when bearing and gear shaft speed are not syn-
chronized.
Zhong et al. [164] projected vision and fringe pattern-
based rotational speed measurement system so as to accu-
rately determine instantaneous speed. The rotational angle
was obtained from the left and right fringe period densities
(FPDs) of the image order recorded by a high-speed camera.
The instantaneous angular speed (IAS) between two neigh-
boring frames was estimated from rotational angle curves.
The method was employed to measure instantaneous fre-
quency measurements of wide range.
Resampling using order tracking can be used to obtain
stationary signal from the non-stationary signal. However,
the order tracking method is not reliable. Haung et al.
[165] developed resampling-free methods for the bearing
fault diagnosis under time-varying speed without using any
tachometers. They proposed a reliable algorithm for mul-
tiple T–F curve extraction from the TFR based on a fast
path optimization which is more reliable for T–F curve
extraction. Also, new procedure for bearing fault diagnosis
under unknown time-varying speed conditions was devel-
oped based on the proposed algorithm and a new fault
diagnosis strategy. The average curve-to-curve ratios were
utilized to describe the relationship of the extracted curves
and fault diagnosis was achieved by comparing the ratios to
the fault characteristic coefficients. The study carried out on
the simulated and experimental signals proves the effective-
ness of the proposed method.
Summary The most widely used method for identifica-
tion of defect is order tracking. Order tracking order-tracking
eliminates the smear effect of the spectrum due to continu-
ous speed fluctuation and transform the smeared spectrum to
a sharper version in order spectrum. Earlier order tracking
was used to carry out with the tachometer. These days trend
has been to develop resampling free method, without using
tachometer to identify defect at varying speed.
4 Defect Width Assessment
Defect width measurement using vibration signal requires
extra attention so that defect commencement and exit could
be spotted from the noisy vibration data, without much loss
of information.
Al-Ghamd and Mba et al. [53] carried out experiment
on defects of varying sizes on the outer race of a test
bearing. They compared AE and vibration analysis over a
range of speed and load conditions. They concluded that AE
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Journal of Nondestructive Evaluation (2019) 38:5
offers earlier fault detection capabilities along with fault size
assessment than vibration analysis. They found that with the
increase in the defect size, the burst duration increase. The
relationship between the defect size and acoustic emission
of burst size was a significant finding but had not dealt with
vibration signal in detail.
Sawalhi and Randall [28] measured the defect width in
the rolling element bearing. They emphasized the theory that
as the rolling element reaches at the mid of a spall impact
is produced which is reflected in the signal. Thus time was
calculated from the entrance of rolling element into spall
and impact which is later converted into half of spall width.
However, their assumption holds good when roller has only
translational movement and defect has small width.
Liu et al. [166] developed accurate relationship between
the impulse response and the size and shape of the local
defect is necessary. The vibration analysis of ball bearing
having localized defect with the help of piecewise function.
Their results showed that localized defects with varying sizes
are best represented using the proposed piecewise response
function for the outer race defect case. The pulse generated
by localized defects is greatly influenced by ratio of length
to width of localized defects as compared to the effect of size
of length, size of width and shaft speed
Kumar and Singh [29] measured outer race defect width
in taper roller bearing using discrete wavelet transform of
the vibration signal. In another study Singh et al. [121] mea-
sured inner race groove width using wavelet decomposition
carried out by Symlet 5th mother wavelet. Their study con-
sists of a detailed analysis of different defect width from the
vibration signal. The defect width can be estimated by mea-
suring the time difference between entrance and exit of roller
over defect as shown in Fig. 15. The point on the signal cor-
responding to the leading corner of the defect is denoted by
G1 and the same for trailing/exit groove corner is denoted
by G2. The roller de-stress up to DS in the signal. The GB
in the Fig. 15 shows the impact of the roller with the groove
base. The roller will remain in the contact with the groove
base until it reaches the trailing edge of defect giving highest
magnitude in the signal (point G2).
Khanam et al. [167] also applied DWT based decomposi-
tion to measure the faults of different sizes on the outer race
for a ball bearing. They found that their measured results
were similar to the actual fault sizes.
Zhao et al. [146] measured the defect width in the outer
race of a bearing using a combination of IMFs produced by
the empirical mode decomposition. The approximate entropy
of the IMFs was used to aggregate the IMF so as to spot the
impact of the ball with the edges of the defect in the signal.
Jena et al. [168] measured defect width using ridge
detection method. The vibration signal was denoised using
un-decimated wavelet transform (UWT). Then ridge spec-
Journal of Nondestructive Evaluation (2019) 38:5
Fig. 14 IMFs 1–9 generated by EEMD of the signal in Fig. 12
trum was generated from the denoised signal to spot the two
corners of defect.
Wang et al. [169] proposed a scheme of estimating bearing
spall size using tacholess synchronous averaging (SSA) for
the measurement of natural spall. They also set a limit equal
to angular spacing between the two consecutive rolling ele-
ments for the measurement of defect size.
Hemmati al. [170] applied wavelet packet transform
(WPT) so as to filter the acoustic signal and then envelope
was extracted so as to measure the defect present on the inner
race, outer race and rolling element of taper roller bearing
under varying speed condition.
Fig. 15 Spotting of trailing and
leading edge of the groove on
inner race of a bearing
Page 15 of 29 5
Kumar and Kumar [30] estimated width of defect present
on the roller of taper roller bearing. UWT, adaptive wavelet,
and TMI of adaptive wavelet coefficients were used for the
purpose. The UWT was used to denoise the signal. A wavelet
was extracted from the signal itself which was used to carry
out adaptive wavelet analysis. The adaptive wavelet enhances
the weak defect comment featured. Then, TMI of the CWT
coefficient was carried out to find the time difference between
defect commencement (G1) and defect exit (G2) for the mea-
surement of defect width as carried out in Fig. 16.
Summary Defect width measurement has been carried out
mostly on single seeded bearing defect. Defect width mea-
surement using vibration signal requires extra attention so
that defect commencement and exit could be spotted from
the noisy vibration data, without much loss of information.
Natural defect width measurement is only reported in Ref.
[169]. There is still scope exist to measure the naturally orig-
inating spall.
5 Defect Modelling
Liu and Shao [171] proposed a dynamic model to determine
effects of defect edge topographies on the contact stiffnesses
between the ball and the defect edges, and the vibration
response of the ball bearing. The outcome of their study sug-
gest that contact stiffness between the ball and the races of
the ball bearing varies with the contact positions between
the ball and the defect edges when the ball passes over the
defect. It occurs due to changes in the numbers of the contact
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Fig. 16 Defect commencement and exit in the burst produced due to
defect on the roller [30]
surfaces between the ball and the defect edges. They also
found that the total contact stiffness also increases with the
increase in the elevation angle of defect.
Ahmadi et al. [172] improved nonlinear dynamic model of
the contact forces and vibration generated in defective rolling
element bearings. Their model considered the finite size of
the rolling elements. Due to this, they were able to predict
the impact event occurring in the defective bearing.
A model considering time-varying displacement impulse
and time-varying contact stiffness was developed [173] to
investigate the effect of rolling element defect depth and
edges. This model gives impulse which is sensitive to the
changes in the contact between the rolling element and fault
edges as well as defect depth.
Khanam et al. [174] developed theoretical model to pre-
dict the impact of the rolling element at the fault zone with
a localized fault on the races of the rolling element bear-
ing. A multi-event excitation force excitation model based
on contact mechanics was presented to formulate the fault,
which was a function of the speed, load, and fault edge cur-
vature. Their response can be analyzed in time and frequency
domains to get an idea about the bearing fault and its size.
Ahmadi et al. [175] studied the effect of the centrifugal
and inertia force of on the vibrations of a rolling element
bearing with a localized fault on the races. A new algorithm
was also proposed to estimate the defect size.
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Journal of Nondestructive Evaluation (2019) 38:5
Mishra et al. [176] developed three simulation mod-
els for deep groove ball bearings. These three models are;
MATLAB-Simulink environment, a bond graph model and
an ADAMS software based model. Their ADAMS model
simulated complex fault scenarios easily. The bond graph and
ADAMS models simulated the effect of loose balls (clear-
ance effect). The simulation of the 5-DOF Simulink and
bond graph models revealed that faults in rolling elements
cause clear periodic impacts at ball spin frequency (BSF).
The simulation of ADAMS model revealed loss of contact
in unloaded zones resulting in a significant change of ball
spin velocity and thus, justifies why BSF and ball defect fre-
quency are absent in the frequency spectra of experimental
signals.
Liu and Shao [177] developed a model for calculating
the deformations at the sharp edges. Their proposed model
can analyse the influences of the housing support stiffness
and sizes on the vibration characteristics. Their model can
also describe the time varying displacement excitation and
time-varying contact stiffness coefficient between the roller
and defect edges when the roller passes through the defect
zone. In another work, Lu and Shao [178] improved analyti-
cal roller race contact model for a lubricated rolling element
to determine the defect edge propagation.
Singh et al. [179] modeled vibration response of a rolling
element bearing with a localized outer raceway line spall.
The finite element (FE) model was solved using an explicit
dynamics FE software package, LS-DYNA. The time and fre-
quency domain analyses of the results show that the FE model
generates accurate bearing kinematics and defect frequen-
cies. The time–frequency analysis highlights the simulation
of distinct low- and high-frequency characteristic vibration
signals associated with the unloading and reloading of the
rolling elements as they move in and out of the defect, respec-
tively.
Liu et al. [180] developed analytical model to analyze
vibration response of a cylindrical roller bearing with a local-
ized surface defect. Using their model they studied effects of
radial load, defect sizes and types on the contact deformation,
contact force between the roller and race, and the vibrations
responses. The outcome of their work suggests that the con-
tact deformation gets intensified with the increase in radial
load and defect length. Also effect of defect location on the
contact deformation is greater when the radial load is more.
Liu et al. [181] developed a model to study the effect of
natural defect on the rolling element bearing by introduc-
ing geometric features of natural defect. The roller–raceway
contact was analyzed under different load and defect size by
introducing contact stiffness into the quasi-static model of
roller bearing. The contact load distribution and stiffness of
roller bearing were simulated under different defect sizes and
Journal of Nondestructive Evaluation (2019) 38:5
operating conditions. Simulation results showed that roller
bearing was insensitive to natural defects and the prevailing
fatigue criteria is not applicable to roller bearing.
Hammad et al. [182] combined 3D FEA with surro-
gate modeling and Monte Carlo simulations for predicting
fatigue failure probability of surface c-shaped cracks in sili-
con nitride ball bearing elements under rolling contact fatigue
(RCF). The result suggests that on reducing the maximum
crack size by 50% then the failure probability of the ball gets
lessen by 95%. Similarly, on increasing the fracture threshold
of ball material by 75%, the failure probability gets reduced
by 86%.
Summary Defect modeling can be carried out using
MATLAB-Simulink, bond graph, and FEA software. Mod-
eling can be useful to predict the vibration response and can
highlight the impact mechanism without carrying out costly
experiments. Different bearing defect models suggest that
bearing vibration is significantly affected by the various fac-
tors such as: defect length and width [166, 174], defect depth
[173], defect position [180], defect edge deformations [177],
and defect profiles [171].
6 Artificial Intelligence for Defect
Identification
Timely monitoring and the accurate diagnostic decision is an
important aspect of having best performance from machin-
ery. These days artificial intelligence has emerged as an
effective tool and is used in every field to automate the deci-
sion task. Through supervised learning, knowledge about
faulty defect condition can be supplied to model. After train-
ing, the model can be used to identify the defect in the
bearing. This makes the problem as simple defect classifi-
cation problem [183]. The recent developments to facilitate
ease in diagnostic decision through artificial intelligence are
discussed in this section.
Li et al. [184] predicted deterioration of rolling element
bearing using adaptive prognostics based on mechanistic
modeling and parameter tuning for complex cepstral coef-
ficients wavelet transform time windows at Mel-frequency
scales. Yang et al. [185] proposed fault diagnosis method for
roller bearing using envelope of IMF and SVM. The SVM
tries to maximize the distance between two classes. A typical
structure explaining principal of SVM is shown in Fig. 17.
Sreejith et al. [186] used ANN for automatic diagnosis of
defect in rolling element bearings. The features used for mod-
eling were normal negative log-likelihood value and kurtosis
of time-domain vibration signals.
Widodo et al. [187] carried out defect diagnosis using
multi-class relevance vector machine (RVM) and support
vector machine (SVM) at low but varying speed. Twenty fea-
Page 17 of 29 5
Fig. 17 Support vector machine for classification
tures, each for time and frequency domain signals of vibration
and acoustic were obtained. They found that RVM with fea-
tures extracted from acoustic signal gives better classification
accuracy than SVM.
Khalid et al. [188] in their work compared the performance
of three different types of ANNs. Laplace wavelet analysis
technique was used for extraction of feature from the signal of
defect free and defective bearings. The results show that the
RBF accuracy was relatively less compared to BP and PNN
network. The training time of PNN of BP and RBN networks
was found to be very less with high classification success rate.
The rolling element defect identification accuracy was more
as compared with the race defect because of low magnitude
of the extracted feature.
Lei et al. [189] proposed, EEMD and wavelet neural
network (WNN) for analysis of the multiple defect on the
bearing of a locomotive. Fernández-Francos et al. [190]
carried out a run to bearing failure experiment. The pro-
posed method consisted of training of one class SVM. The
SVM indicates abnormality when degradation of the bearing
occurs. After determining an abnormal state of bearing, a sen-
sitivity analysis was carried out to determine band in which
defect frequency appears prominently. Thereafter, envelope
spectrum of the selected band was obtained for anticipated
fault information.
Kankar et al. [191] presented cyclic autocorrelation of
vibration signals for rolling element bearings fault diagnosis.
The statistical features extracted from CWT coefficients and
degree of cyclo-stationary was used as input features. Two
supervised learning techniques such as SVM and ANN, and
self-organizing map (based on unsupervised learning tech-
nique) were used for faults classification. The best defect
identification accuracy was achieved using SVM.
Pandya et al. [192] modified KNN (K-nearest neighbor
classifier) by introducing asymmetric proximity function
(APF). Their proposed APF-KNN algorithm has classifica-
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tion accuracy of 96.6667% which outperformed the KNN

algorithm.
Zhang et al. [51] proposed KPCA and SVM optimized by
PSO for carrying out bearing defect identification. The study
was carried out on the ball bearing data of Case Western
Reserve University. Their research was limited to the defect
classification. Shen et al. [193] modeled SVR using feature
extracted from signal processed by WPT for defect diagnosis
in the bearing and gearbox.
Du et al. [194] proposed the use of wavelet leaders mul-
tifractal features for classifying fault locations and fault of
different severity using SVM. They proposed three new fea-
tures for the improvement of diagnosis result achieved using
conventional features. For the improvement of accuracy, they
employed feature selection using DET method. Chen et al.
[195] put forward multi-kernel support vector machine opti-
mized by chaotic PSO and dimension reduction of the feature
using local tangent space alignments (LTSA) method for
bearing fault analysis.
Shao et al. [196] proposed fault feature extraction using
wavelet packet transform and kernel principal component
analysis (KPCA). Unal et al. [197] carried out roller bearing
defect analysis using ANN whose structure was optimized
using genetic algorithm. The modeling of ANN was carried Fig. 18 A typical three layer feed-forward neural network
out using feature extracted from envelope spectrum. Zhu et al.
[198] proposed hierarchical entropy (HE) as a new feature
for bearing defect identification. tion clusters by applying fuzzy C-means in order to label the
Safizadeh and Latifi [199] proposed a method for bear- data attained from a run to failure experiment.
ing fault diagnosis by acquiring data from two sensors i.e. Kumar and Kumar [107] developed SVM based model
accelerometer and load cell. The scheme consists of combin- for detection of impeller and bearing defect in the centrifu-
ing the data obtained from load cell and accelerometer. From gal pump. It was achieved by processing the signal using
the combined data, time and frequency domain feature were wavelet transform and extracting prominent features of the
extracted. Further, dimension of feature was reduced by PCA. defect from the raw signal and scale marginal integration
Then reduced dimension features were applied to KNN for (SMI) graph, which shows the energy distribution at multi-
the leaning of defective condition of bearing. Their method scale. The obtained features were inputted to the SVM for
successfully separated healthy and different defective condi- the learning of the model. After training, test features were
tions of bearing. In the case when data from two sensors were applied to model for the defect diagnosis.
used separately, the accuracy of classifier was totally differ- In another work, Kumar and Kumar [202] automated the
ent i.e. load cell data was found to differentiate only normal process of defect width prediction. In their work, two fea-
and defective bearing data i.e. it fails to differentiate among tures, time duration of burst produced due to defect and burst
defective conditions of bearing. The acceleration data, how- amplitude difference were proposed for defect size predic-
ever, failed to differentiate among non-defective bearing and tion. The defect corners were spotted using a-well designed
bearing with outer race defect but was able to differentiate algorithm. Levenberg–Marquardt back-propagation ANN
other different defective conditions of the bearing. network was used for the purposed. A typical structure of
Tang et al. [200] proposed manifold learning (ML) and the network is shown in Fig. 18.
Shannon wavelet support vector machine for defect identifi- Recent development [203] in the area of artificial intelli-
cation transmission system of the wind turbine. Liu et al. gence is deep neural networks (DNNs). In place of shallow
[201] used SVMs to classify several degradation stages. one’s structure, DNN used deep structure to extract the useful
Vibration signal was processed by moving average method, information data and to form complex non-linear functions
before feature extraction. Pearson correlation and PCA were for the learning of network. Based on DNNs, a novel intelli-
applied for feature selection and reduction, respectively. gent method using frequency domain signal was proposed to
Input features data were related to different fault degrada- improve the defect diagnosis result when performed on the
massive data. The proposed method was applied to diagnose

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Journal of Nondestructive Evaluation (2019) 38:5
rolling element bearings and planetary gearboxes from the
enormous signals. The diagnosis accuracy of their DNN was
better than existing neural networks.
Guo et al. [204], improved existing deep deep convolu-
tion neural network (DCNN) by adding an adaptive learning
rate and a momentum component to the process of weight
updating, producing an adaptive deep convolution neural net-
work (ADCNN). The results of experiments with bearing
data demonstrate the superiority of the proposed ADCNN
model to other fault-diagnosis methods, such as traditional
DCNNs.
Shao et al. [205] developed convolutional deep belief net-
work (CDBN) with compressed sensing for feature learning
and diagnosis of rolling element bearing defect. The com-
pressed sensing (CS) was used to reduce the vibration data.
CDBN model with Gaussian visible units was designed to
improve feature learning ability from the compressed data.
Exponential moving average (EMA) technique was used to
increase the generalization performance. The results showed
that the developed method was more effective than the exist-
ing conventional neural networks.
Summary Artificial intelligence works without human inter-
vention and has emerged as an important tool in the field of
bearing defect diagnosis. The sensor output can be used as
an input for the defect diagnosis. It has largely been explored
in defect identification by extracting defect features from
vibration signals. Fusion of data for the profitable use of
artificial intelligence has also been reported. Artificial intel-
ligence systems perform satisfactorily. Their accuracy can
be improved by incorporating optimization algorithm such
as genetic algorithm (GA) and particle swarm optimization
(PSO). A lot of works has been done covering software aspect
of artificial intelligence. There is a need to develop hard-
ware based on artificial intelligence (AI) algorithm, so that
automatic defect identification and diagnosis of fault without
human intervention could become possible.
7 Artificial Intelligence for Defect Prognosis
Li et al. [166] used adaptive prognostics based on mechanistic
modeling and parameter tuning for predicting deteriora-
tion of rolling element bearing. In another study, Li et al.
[206] modified the methodology by introducing a lognor-
mal random variable in a deterministic defect-propagation
rate model to estimate the rate of bearing defect growth. The
simulation and experimental study carried out for testing of
bearing fatigue life show the capability of adaptive prognos-
tic methodology in remaining life prediction.
Williams et al. [46] performed run-to-failure testing of
bearing. The trend followed by statistical features such as
root mean square, peak value, kurtosis and crest factor
Page 19 of 29 5
of accelerometers and acoustic emission sensors data was
observed along with response of temperature and lubrication
monitoring technique.
Mahamad et al. [207] proposed ANN to estimate remain-
ing useful life (RUL) of a bearing. They used time and
Weibull hazard rates of RMS and kurtosis from various con-
ditions of the bearing as input for ANN and the output as the
remaining life percentage.
Li et al. [208] proposed energy ratio of residual signal (i.e.
signal obtained by subtracting original signal and signal fil-
tered with Auto Regressive filtering) and original signal for
determination of health degradation of bearing under normal
and abnormal operating conditions. Under abnormal oper-
ating condition where traditional parameters fail to respond
with degradation of bearing the proposed technique responds
effectively.
Maio et al. [209] proposed a prognostic procedure based
on RVM and model fitting for estimation of the RUL of the
thrust ball bearing. The furthermost relevant basis functions
were identified by the RVM and were then fitted to the degra-
dation model which was then generalized for estimating the
RUL of the thrust bearing. The experimental effectiveness
of the proposed scheme was established using four set of
bearings.
Benkedjouh et al. [210] used nonlinear feature reduction
(ISOMAP) and SVR for determining remaining useful life
(RUL). The proposed method works in offline and online
mode. The offline step consists of acquiring vibration signals,
extracting features, developing exponential SVM models
from the extracted feature which then represent the degra-
dation of bearing.
In the study carried out by Dong et al. [211] a bearing
degradation prediction based on the principal component
analysis (PCA) and optimized LS-SVM method was pro-
posed. The method consists of extracting features from the
signal in the three domains: time, frequency, and time–fre-
quency domain. Further, feature dimension was reduced by
carrying out PCA of the original feature. Then, using newer
lower dimension features, LS-SVM model was constructed
and trained for assessment of bearing degradation. The
LS-SVM parameters were optimized using particle swarm
optimization (PSO).
Shakya et al. [212] proposed Mahalanobis distance based
methodology for carrying out degradation of the bearing.
They extracted features from the signal in the time, frequency,
and time–frequency domain. The features extracted from sig-
nal of various domains were fused into a single parameter,
called as Mahalanobis distance. Their proposed Mahalanobis
distance method responds effectively to the degradation of
seeded as well naturally degraded bearing defects.
Ali et al. [213] proposed IMF energy entropy as a feature
for carrying out degradation analysis of the bearing. Singh
et al. [214] proposed online bearing degradation assessment,
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based on the sensitive IMFs attained by carrying EEMD of
the vibration signal. The relative change in the normalized
Pearson coefficient value was used to select the threshold
value for selecting the sensitive IMFs. The Jensen-Rnyi
Divergence probability distributions of the IMF energies,
regarding the healthy condition (base probability) and the
new condition data, were measured. The determined sensitive
IMFs cluster was used to estimate the probability distribution
to determine bearing degradation.
Rai and Upadhyay [215] in their study proposed bearing
performance degradation assessment (PDA) method using
empirical mode decomposition (EMD) and k-medoids clus-
tering. They extracted fault features from the bearing signals
processed by EMD. The extracted features were then sub-
jected to k-medoids based clustering for obtaining the normal
state and failure state cluster centers. They calculated a con-
fidence value (CV) curve based on dissimilarity of the test
data object to the normal state which was used as degradation
indicator for assessing the health of bearings.
Summary Defect prognosis can be carried out by artificial
intelligence models as well as probabilistic models. Progno-
sis model can trigger the alarm if the forecast value exceeds
the predefined threshold. They help get prepared for occur-
rence of potential fault or halt of the machine. Prognosis
requires huge computation effort, data and storage space.
The future belongs to prognosis. Large application of defect
prognosis using artificial intelligence, intended for profitable
running of industry is expected in near future.
8 Conclusion and Future Trend
An attempted has been made to summarize recent and tra-
ditional research and development in defect diagnosis and
prognostics. The traditional research is incorporated to set
up the link to show how research these days has been
advanced. The selected work report both traditional and novel
results regarding the underlying techniques: such as time
domain, Cyclostationary techniques, Frequency domain, and
time–frequency domain techniques such as EMD, EEMD
and derivatives of Wavelet Techniques (like CWT, DWT,
WPT, morphological filter, Empirical wavelet transform, and
Matching Pursuit). A summary of signal processing tech-
niques used by different researchers for certain objectives
are listed in Table 3 of the Appendix. It has been observed
that wavelet has emerged as an excellent tool for the diag-
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Journal of Nondestructive Evaluation (2019) 38:5
nosis of bearing defect. However, result of wavelet analysis
are dependent on the choice of wavelet. To solve the selec-
tion of wavelet required for fault analysis, researchers have
started the extraction of wavelet from the signal. Most of
the signal analysis methods are focused on the single-seeded
defects. Only a few researchers have reported detection of
multiple faults. Defect identification by processing of vibra-
tion signal has been attempted by many researchers. Defect
identification is relatively easy in comparison to defect width
measurement. The defect width measurement requires extra
attention to spot defect commencement and exit from the
noisy vibration signal, without much loss of information. A
scope and challenge still exists to measure the naturally orig-
inating spall.
Defect modeling has been reported by researchers using
MATLAB-Simulink, bond graph and FEA software pack-
ages. Modeling can be useful to predict the vibration response
and can highlight the impact mechanism without carrying out
costly experiments. Fusion of data from different sensors is
also being explored to facilitate accurate diagnosis of fault.
Signal processing methods for detection of defect at varying
speeds have also been reported. Earlier resampling method
was used to identify defect at varying speed which was
error prone. Researchers have developed resampling-free
methods for the bearing fault diagnosis under time-varying
speed without using any tachometers. Defect prognosis has
also received the attention. Defect prognosis can be carried
out by artificial intelligence model as well as probabilistic
model. Prognosis model can trigger the alarm if the diagnos-
tic parameter exceeds the predefined threshold. Nowadays
inclination is also towards developing new health indicator.
The novel contributions for proposing health indexes are also
presented in this paper.
Acknowledgements Authors are thankful to Editor for facilitating
reviewer’s feedback to the manuscript. The valuable suggestions of
anonymous reviewers in improving the manuscript are thankfully
acknowledged.
Appendix
A summary of signal processing techniques used by different
researchers for certain objectives are listed in Table 3. This
table covers literature with mention of methods applied for
diagnosis of different defects in rolling element bearings. It
also covers methods used for estimation of size of the defect.
Journal of Nondestructive Evaluation (2019) 38:5 Page 21 of 29 5

Table 3 A summary of the

signal processing techniques
used for the fault diagnosis of
rolling element bearings
Method Reference Purpose
EMD + Pearson correlation coefficient 2 Diagnosis of seeded defect
WPT 4 Diagnosis of seeded defect
Modeling 10–13 Modelling of indentation
Envelope spectrum 27 Diagnosis of distributed defect
MED + cepstral 28 Measurement of seeded defect
Time and frequency domain 21 Diagnosis of Crack
Time domain statistical parameter 22 Diagnosis of Crack
Kurtogram 24 Diagnosis of Crack
FFT 25 Diagnosis of Crack
Power spectrum density 26 Diagnosis of Crack
DWT 29 Measurement of seeded defect
UWT + adaptive wavelet transform 30 Measurement of seeded defect in the
rolling element of the bearing
WPT 32 Diagnosis of seeded defect
EMD (selection of IMF) 33 Diagnosis of seeded defect
WPT 34 Diagnosis of seeded defect
Time domain zero crossing features + 44 Identification using artificial intelligence
ANN
Time domain statistical parameter 46 Prognosis
Time domain statistical parameter + ANN 47 Identification using artificial intelligence
Time domain +frequency domain 49 Identification using artificial intelligence
statistical parameter + ANN
ANN 50 Identification of defect using artificial
intelligence
EEMD + KPCA + SVM + PSO 51 Fault severity using artificial intelligence
Time domain analysis 53 Estimation of defect size
Time domain analysis 54 Degradation analysis of bearing
Spectral Kurtosis + Envelope 65 Diagnosis of seeded defect
Complex Morlet wavelet transform 66 Diagnosis of seeded defect
3-D spectrum 67 Diagnosis of seeded defect
Envelope 71 Diagnosis of seeded defect
Frequency domain feature + SVM 72 Identification using artificial intelligence
Kurtogram 73 Diagnosis of seeded defect
Kurtogram + GA 74 Diagnosis of seeded defect
Protugram 75 For finding optimum band for envelope
analysis. A comparison was also made
with kurtosis. Study was carried out on
the naturally originated spall
Ratio of cyclic content (RCC) 76 For finding optimum band for envelope
analysis. A comparison was made with
kurtosis method. For diagnosis and
degradation of natural occurring defect
Cyclostationary analysis 77 For diagnosis of bearing defect in the
helicopter
Cyclostationary analysis 78 For diagnosis of seeded defect
Blind extraction of Cyclostationary source 79 For diagnosis of distributed and seeded
defect
Correlation spectra (CS) and Integrated 80 CS is for identification of defect and ISC
spectral correlation (ISC) is an indicator of severity of defect. The
comparison of ISC was done with
statistical parameter

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Table 3 continued
Method Reference Purpose

Average wavelet transform 93 For diagnosis of seeded bearing defect

CWT + wavelet produced using 95 For diagnosis of seeded bearing defect
optimization process
CWT + wavelet produced using 97 For diagnosis of seeded bearing defect
optimization process + SVD for
determining optimum filtering band
CWT using impulse resonance wavelet 98 For diagnosis of seeded bearing defect
Lempel–Ziv complexity and CWT 99 For severity assessment of the seeded
defect
CWT using optimised morlet wavelet 100 For diagnosis of seeded bearing defect
CWT using Morlet wavelet. The morlet 105 For diagnosis of seeded bearing defect in
wavelet was optimized using Fuzzy rule cooling fans
CWT + LTSA 106 For diagnosis of seeded bearing defect
CWT + SVM 107 For diagnosis of different types of defect
in the centrifugal pumps
DWT + ANFIS 112 For diagnosis of seeded bearing defect
DWT + hidden markov model 117 Identification of defect using artificial
intelligence
DWT + SVM 118 Identification of defect using artificial
intelligence
Morphological wavelet 119 For diagnosis of seeded bearing defect
DWT + multi scale slope features 120 For diagnosis of seeded bearing defect
WPT + ANN 125 Identification of defect using artificial
intelligence
WPD +EMD + ANN 127 For diagnosis of rotor defect
WPD + hybrid PSO + SVM 128 Identification of defect using artificial
intelligence
WPT + manifold learning 129 For diagnosis of seeded bearing defect
TQWT 132-134 For diagnosis of seeded bearing defect
EMD 143 For diagnosis of seeded bearing defect
EMD 143 Proposed merit index for selection of IMF
for fault diagnosis
EMD + mutual information for selection 144 For diagnosis of seeded bearing defect
of IMF for fault diagnosis
EEMD 139 Proposed a criteria for the selection of
noise constant of EEMD
EMD + Envelope analysis 145 Multiple defect diagnosis by clubbing
IMD having similar frequency content
EEMD 146 For the measurement of seeded defect
WPT + EMD 147 Degradation of the bearing
EMD + Bi-spectrum 148 For diagnosis of seeded bearing defect
EWT 136, 151–153 For diagnosis of seeded defect
Matching pursuits 154–155 For diagnosis of seeded defect
Matching pursuits + GA 156 For the measurement of seeded bearing
defect
Morphological filter 157–159 For diagnosis of seeded defect
Complex morlet wavelet +order tracking 104 For diagnosing of seeded bearing defect at
varying speeds
Envelope + order tracking + constrained 160 Defect diagnosis at varying speed‘
Independent component analysis
Local mean decomposition + order 161 Defect diagnosis at varying speed.
tracking

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Journal of Nondestructive Evaluation (2019) 38:5 Page 23 of 29 5

Table 3 continued
Method Reference Purpose

Ridge detection 162 For extraction of instantaneous frequency

ANC + order tracking + rotational order 163 Identification of bearing at varying speed
side band strategy when bearing shaft is not synchronised
with gear shaft
Vision and fringe pattern 164 For extraction of instantaneous frequency
T–F curve extraction from TFR using fast 164 Resample free method for detection of
path optimization defect at varying speed.
MED + cepstrum 28 Measurement of spall width
EEMD + CWT using adaptive wavelet 103 Fusion of acoustic and vibration sensing
transform for the identification and measurement
of defect width.
Piecewise response 166 Indication of defect size
DWT using Symlet 5 wavelet 29, 121, 167 Measurement of race defect of taper roller
bearing
EEMD + Approximate entropy 146 Measurement of spall width
UWT + Ridge spectrum 168 Measurement of race defect of taper roller
bearing
Tacholess synchronous averaging (SSA) 169 Measurement of size of natural spall
WPT + envelope 170 Measurement of race and rolling defect of
taper roller bearing
UWT + adaptive wavelet transform 30 Measurement of rolling defect of taper
roller bearing
Defect modelling 171–182 Modelling of defect
Cepstral coefficient wavelet transform + 184 Degradation of rolling element bearing
mechanistic modelling
EMD + SVM 185 Identification of defect using artificial
intelligence
ANN trained form log-likehood value and 186 Identification of defect using artificial
kurtosis intelligence
RVM from time and frequency based 187 Identification of defect using artificial
features + comparison with SVM intelligence at slow speed.
Laplace wavelet with three different kind 188 Identification of defect using artificial
of ANNs intelligence
EEMD + wavelet neural network (WNN) 189 Multiple defect on the rolling element
bearing
One class SVM 190 For degradation analysis of bearing
Cyclic autocorrelation + CWT + (SVM or 191 Identification of defect using artificial
ANN or SOM) intelligence
APF-KNN 192 Identification of defect using artificial
intelligence
Wavelet leaders multifractal features + 194 For fault location and fault severity
SVM assessment using artificial intelligence
Multi-kernel SVM optimized by chaotic 195 Identification of defect using artificial
PSO + LTSA intelligence
WPT + KPCA 196 Identification of defect using artificial
intelligence
ANN + GA 197 Identification of defect using artificial
intelligence
Hierarchical entropy (HE) + SVM + PSO 198 Identification of defect using artificial
intelligence
PCA + KNN 199 Fusion of data for the diagnostic of
bearing defect
Manifold learning and Shannon wavelet 200 Identification of defect using artificial
support vector machine intelligence

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Table 3 continued
Method Reference Purpose

Moving average + Pearson correlation and 201 Identification of degradation stages

PCA + SVM
CWT + SVM + GA 107 Identification of impeller and bearing
defect in the impeller
Adaptive wavelet transform + ANN 202 Prediction of defect width
Frequency domain signal + deep neural 203 Identification of defect using artificial
networks intelligence
Deep deep convolution neural network 204 Identification of defect using artificial
(DCNN) modified by adding an adaptive intelligence
learning rate and a momentum
component
Convolutional deep belief network + 205 Identification of defect using artificial
Compressed sensing (for reduction of intelligence
vibration data)
Introduced lognormal random variable in 206 Prognosis of bearing defect
a deterministic defect-propagation rate
model
Time domain statistical parameter 46 Study of statistical parameter while
performing run to failure experiment
Time domain statistical parameter + 207 Remaining useful life (RUL) of bearing
Weibull hazard rates + ANN
Feature extracted from auto regressive 208 Degradation of bearing
filtered signal and time domain signal
RVM and model fitting 209 Remaining useful life (RUL) of bearing
ISOMAP + SVR 210 Remaining useful life (RUL) of bearing
PCA + PSO + LS-SVM 211 Degradation of bearing
Mahalanobis distance 212 Degradation of bearing
EMD 213 Remaining useful life (RUL) of bearing
EEMD + Pearson coefficient + 214 Degradation of bearing
Jensen-Rnyi divergence probability
distributions
k-Medoids clustering + EMD 215 Degradation of bearing

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