Beruflich Dokumente
Kultur Dokumente
DOI 10.1007/s00500-005-0481-0
O R I G I N A L PA P E R
like mass unbalance, rotor rub, shaft misalignment, gear failures and bearing defects is possible. These signals can also
be used to detect the incipient failures of the machine components, through the on-line monitoring system, reducing the
possibility of catastrophic damage and the down time. Some
of the recent works in the area are listed in [18]. Although
often the visual inspection of the frequency domain features
of the measured signals is adequate to identify the faults,
there is a need for a reliable, fast and automated procedure
of diagnostics.
Artificial neural networks (ANNs) have potential
applications in automated detection and diagnosis of machine
conditions [3,4,710]. Multi layer perceptrons (MLPs) and
radial basis function (RBF) networks are most commonly
used ANNs [1115], though interest on probabilistic neural networks (PNNs) is also increasing recently [16, 17]. The
main difference among these methods lies in the ways of partitioning the data into different classes. The applications of
ANNs are mainly in the areas of machine learning, computer
vision and pattern recognition because of their high accuracy and good generalization capability [1118]. Though in
the area of machine condition monitoring, MLPs are being
used for quite some time, the applications of RBFs and PNNs
are relatively recent [3,1921]. In [21], a procedure was presented for condition monitoring of rolling element bearings
comparing the performance of these ANNs, with all calculated signal features and fixed parameters for the classifiers.
In this, vibration signals were acquired under different operating speeds and bearing conditions. The statistical features
of the signals, both original and with some preprocessing like
differentiation and integration, low and high-pass filtering
and spectral data of the signals were used for classification
of bearing conditions.
However, there is a need to make the classification process faster and accurate using the minimum number of features which primarily characterize the system conditions with
optimized structure or parameters of ANNs [3,22]. Genetic
algorithms (GAs) were used for automatic feature selection in
machine condition monitoring [3,2123]. In [22], a GA based
approach was introduced for selection of input features and
Artificial neural networks and genetic algorithm for bearing fault detection
265
consisting of 49152 samples (qi, ) were obtained using accelerometers in vertical and horizontal directions to monitor
the machine condition. The magnitude of the vibration
was
constructed from the two component signals, z = (x 2 +
y 2 ). In the present work, these samples were divided into
48 segments (bins) of 1024 (n) samples each. Each of these
bins was further processed to extract the following features
(19): mean () RMS, variance ( 2 ), skewness (normalized
third central moment, 3 ), kurtosis (normalized fourth central moment, 4 ), normalized fifth to ninth central moments
(5 9 ) as follows:
n =
3 Feature extraction
3.1 Signal statistical characteristics
One set of experimental data each with normal and defective
bearings was presented. For each set, two vibration signals
E{[qi ]n }
n
n = 3 9,
(1)
where E{} represents the expected value of the function. Figure 3 shows plots of some of theses features extracted from
the vibration signals (qi )x, y and z, with each row representing the features for one signal. Only a few of the features are
shown as representatives of the full feature set.
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Artificial neural networks and genetic algorithm for bearing fault detection
3.4 Normalization
The feature set was normalized dividing each row by its absolute maximum value, keeping the features within 1, for
better speed and success of the network training. The total
set of normalized features consists of 451442 array where
each row represents a feature and the columns represent the
total number of bins (48) per signal times the total number
of signals (3) multiplied by two machine conditions (2).
267
of 106 , a minimum gradient of 1010 and maximum iteration number (epoch) of 500 were used. The training process
would stop if any of these conditions were met. The initial
weights and biases of the network were generated automatically by the program.
4.2 Radial basis function networks
The RBF network is similar in structure to that of an MLP
with only one hidden layer whereas MLPs may have more
than one. The activation function of the hidden layer is Gaussian spheroid function as follows:
y(x) = e(xc
/2 2 )
(4)
NA
1
2
2
e(xci /2 )
(2)2 p NA i=1
(5)
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B. Samanta et al.
(6)
crossover and selection routines have been proposed for optimization [25]. In this work, a GA based optimization routine
[28] was used.
5.1.1 MLP training
For MLPs, the genome (X) contains the row numbers of the
selected features from the total set and the number of hidden
neurons. For a training run needing N different inputs to be
selected from a set of Q possible inputs, the genome string
would consist of N + 1 real numbers. The first N numbers
(xi , i = 1, N) in the genome are constrained to be in the
range 1 xi Q whereas the last number xN+1 has to
be within the range Smin xN+1 Smax . The parameters
Smin and Smax represent respectively the lower and the upper
bounds on the number of neurons in the hidden layer of the
MLP.
X = {x1 x2 , . . . , xN xN+1 }T
(7)
5 Genetic algorithms
Genetic algorithms (GAs) have been considered with increasing interest in a wide variety of applications [2527]. These
algorithms are used to search the solution space through simulated evolution of survival of the fittest. These are used to
solve linear and nonlinear problems by exploring all regions
of state space and exploiting potential areas through mutation, crossover and selection operations applied to individuals in the population [26]. The use of genetic algorithm needs
consideration of six basic issues: chromosome (genome) representation, selection function, genetic operators like mutation and crossover for reproduction function, creation of initial population, termination criteria, and the evaluation function. Though the traditional genome representation has been
in binary form, the interest in real-coded or floating-point genomes for multi-dimensional parameter optimization problems is on the rise because of the closeness of the second
type of representation to the problem space, better average
performance and more efficient numerical implementation
[26]. The type of genome representation depends on the particular problem under consideration. In this paper, real-coded
genomes and the corresponding genetic operators were used
for the selection of features and the classifier parameters.
In GAs, a population size of ten individuals was used starting with randomly generated genomes. This size of population was chosen to ensure relatively high interchange among
different genomes within the population and to reduce the
likelihood of convergence within the population.
Artificial neural networks and genetic algorithm for bearing fault detection
269
x
otherwise
i
s
6 Simulation results
G
(10)
f (G) = r2 1
Gmax
The dataset (45 144 2) consisting of forty-five (45) norwhere r1 and r2 denote uniformly distributed random nummalized features for each of the three signals (3) split in form
ber in the range of [0,1]; G is the current generation number
of 48 segments of 1024 samples each with two (2) bearand Gmax denotes the maximum number of generations. The
ing conditions were divided into two subsets. The first 24
function f (G) returns a value in the range of [0,1] such that
bins of each signal was used for training the ANNs giving a
the probability of f (G)being close to 0 increases with genertraining set of 45 72 2 and the rest (45 72 2) was
ation number. This property enables the operator to initially
used for testing. For each of the MLPs and RBFs, the tarsearch uniformly and very locally at later stages (higher G).
get value of the first output node was set 1 and 0 for normal
The superscript s is a parameter determining the degree of
and failed bearings respectively and the values were internon-uniformity, ai and bi represent respectively the lower
changed (0 and 1) for the second output node. For PNNs, the
and the upper bound for the variable xi .
target values were specified as 1 and 2 respectively representing normal and faulty conditions. Results are presented
5.3.2 Crossover
to see the effects of sensor location and signal preprocessing
on diagnosis of machine condition using ANNs without and
Among different crossover operators, heuristic crossover [26]
with feature selection based on GA. The training success for
was used in this work because of its main characteristics of
each case was 100%. The training of RBFs was not successutilizing the fitness function to determine the search direcful with the partial feature set corresponding to individual
tion for better performance. This operator produces a linear
signals (xz). However, the results of RBFs for the whole
extrapolation of two individuals using the fitness informafeature set (145) consisting of all the signals are presented.
tion. A new individual, X , is created as per equation (11)
with r being a random number following uniform distribu
tion U(0,1) and X is better than Y in terms of fitness. If X is 6.1 Performance comparison of ANNs without feature
infeasible, given as =0 in equation (13), then a new random selection
number r is generated and a new solution is created using
In this section, classification results are presented for straight
equation (11).
ANNs without feature selection. For each case of straight
X = X + r(X Y )
(11) MLP, number of neurons in the hidden layer was kept at
Y =X
(12) 24 and for straight PNNs, widths ( ) were kept constant at
0.10. These values were found on the basis of several trials
1 if xi ai , xi bi i
(13) of training the ANNs.
=
0 otherwise
6.1.1 Effect of sensor location
new solution whereas crossover produces two new individuals (off-springs) from two existing individuals (parents). Let
X andY denote two individuals (parents) from the population
and the X and Y denote the new individuals (off-springs).
Table 1 shows the classification results for each of the signals, x, y and the resultant z using all input features (145).
For both classifiers, test success was unsatisfactory in most
cases. The test success was in the range of 81.2593.75% for
MLPs, and 75.0095.83% for PNNs.
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B. Samanta et al.
Input features
145
145
145
PNN ( = 0.10)
93.75
81.25
85.42
87.50
75.00
95.83
Input features
Signals xz
Derivative/ integral
High-/low- pass filtering
19
1027
2845
84.03
98.61
96.88
77.08
85.42
95.83
Table 2 shows the effects of signal processing on the classification results for straight ANNs with all three signals. In each
case the corresponding features from the signals without and
with signal preprocessing were used. The test success was in
the range of 84.0398.61% for MLPs and 77.0896.83% for
PNNs.
Table 4 shows the effects of signal processing on the classification results for the signals (x, y and z) with GA. In all
cases, only three features from the signals without and with
signal pre-processing were used from each of these ranges.
The test success was 82.6499.31% for MLPs, whereas it
was in the range of 78.4797.92% for PNNs.
Table 3 Performance comparison of classifiers with feature selection for different sensor locations
Dataset
Signal x
Signal y
Signal z
GA with MLP
Input features
No of hidden Neurons
13, 19, 42
27, 33, 41
21, 40, 41
10
26
18
97.92
93.75
100
11, 40, 41
1, 11, 33
18, 23, 42
97.92
83.33
100
0.40
0.10
0.50
Table 4 Performance comparison of classifiers with feature selection for different signal preprocessing
Dataset
Signals 14
Derivative/ integral
High-/low- pass filtering
GA with MLP
Input features
No of hidden Neurons
Width
4, 5, 6
14, 15, 22
39, 41, 42
27
25
10
82.64
98.61
99.31
0.30
0.10
0.30
78.47
95.14
97.92
1, 3, 4
11, 14, 25
33, 37, 39
Number of features
Features
Classifier parameter (N / )
Straight MLP
GA with MLP
GA with MLP
Straight RBF
GA with RBF
GA with RBF
GA with RBF
Straight PNN
GA with PNN
GA with PNN
45
3
6
45
3
6
8
45
3
6
145
4, 14, 18
5, 13, 23, 30, 32, 39
145
12, 23, 38
2, 4, 14, 18, 21, 30
2, 3, 11, 17, 29, 31, 37, 38
145
1, 14, 21
1, 10, 13, 23, 37, 38
24
21
25
1.00
0.10
0.10
0.90
0.10
0.10
0.30
85.06
99.31
100
83.33
87.50
95.14
99.31
95.83
96.53
100
Artificial neural networks and genetic algorithm for bearing fault detection
7 Conclusions
A procedure is presented for diagnosis of bearing condition using three classifiers, namely, MLPs, RBFs and PNNs
with GA based feature selection from time domain vibration
signals. The selection of input features and the appropriate
classifier parameters have been optimized using a GA based
approach. The roles of different vibration signals have been
investigated. The use of GAs with only three features gave
almost 100% classification with MLPs and PNNs for most of
the test cases. The use of six selected features with MLPs and
PNNs gave 100% test success whereas with RBF, test success
was 99.31% for eight features. The training time with feature
selection is quite reasonable for PNNs compared to the other
two schemes. The results show the potential application of
GAs for selection of input features and classifier parameters
in ANN based condition monitoring systems.
Acknowledgements The financial support from Sultan Qaboos University grant IG/ENG/MIED/01/01 to carry out the research is gratefully
acknowledged.
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Houston, pp 129143
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