Zhe Li - PHD

Doctoral theses at NTNU, 2018:132
Doctoral thesis
Zhe Li
Zhe Li
Deep Learning Driven
Approaches for Predictive
Maintenance
A Framework of Intelligent Fault Diagnosis

and Prognosis in the Industry 4.0 Era
ISBN 978-82-326-3054-7 (printed ver.)

ISBN 978-82-326-3055-4 (electronic ver.)
ISSN 1503-8181
NTNU
Norwegian University of Science and Technology
Thesis for the Degree of
Philosophiae Doctor
Faculty of Engineering
Department of Mechanical and Industrial
Engineering
Zhe Li
Deep Learning Driven Approaches

for Predictive Maintenance
A Framework of Intelligent Fault Diagnosis and

Prognosis in the Industry 4.0 Era
Thesis for the Degree of Philosophiae Doctor
Trondheim, April 2018

Department of Mechanical and Industrial Engineering
NTNU
Thesis for the Degree of Philosophiae Doctor
Department of Mechanical and Industrial Engineering
© Zhe Li
ISBN 978-82-326-3054-7 (printed ver.)

ISBN 978-82-326-3055-4 (electronic ver.)
ISSN 1503-8181
Printed by NTNU Grafisk senter

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A detailed revision of the state-of-the-art, the most relevant developments made in
the field of predictive maintenance. Effort was put into producing a comprehensive
survey and review as a starting point for new researchers into the field, and
providing current researchers or practitioner a broader overview of all the
approaches applied to achieve predictive maintenance with Industry 4.0 concept.
A systematic research of deep learning based fault identification and prediction.
Several deep learning architectures have been investigated from practical
applications to interpret their superiorities in fault identification and prediction in
4

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certain domains or with prerequisites, which could provide effective guidance to
select suitable deep learning methods to implement predictive maintenance. Some
novel applications of deep learning-driven fault diagnosis and prognosis
approaches such as DNN-based degradation assessment, DBN-based error
prediction, SAE-based feature reconstruction, and LSTM-based anomaly detection
are also presented along with detailed case studies in the thesis, which demonstrate
the superiorities of deep learning in self-learning, big data analysis, fault
identification, and degradation assessment.
The framework for predictive maintenance concerning the Industry 4.0 is proposed
in the thesis to achieve accurate failure prediction, efficient maintenance
scheduling, extension of data sources and tracking degradation of equipment. As a
result, the efficiency of maintenance implementation could be enhanced. The
framework also provides an overall understanding and helpful guidance for
researchers and practitioners to implement predictive maintenance in the Industry
4.0 era.
An Industrial 4.0 scenario about the implementation of predictive maintenance for
machining centers together with a case study of DBN-based backlash error
prediction are demonstrated in the thesis. In the case study, a novel HDPS-BPSO
maintenance implementation strategy is proposed to achieve predictive
maintenance in practical applications. The numerical result in that case not only
proves the superiority of deep learning methods in knowledge discovery with
strong self-learning ability but also demonstrates the benefit of implementing
predictive maintenance compared with preventive maintenance.
An experiment of fault classification and degradation assessment for rotary
machinery is also presented in the thesis to provide a comprehensive comparison
of different types of data driven models, in which DNN-based degradation
assessment outperforms the other models and proves the advantages of deep
learning. In this case, a novel SAE-LSTM approach is also proposed for anomaly
detection to train data-driven models in an unsupervised learning environment
when the empirical knowledge is missing and all data is collected without labels.
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Zhe Li, Yi Wang, and Kesheng Wang. (2017) Applying Data-driven Method Based
on Deep Belief Networks to Predict Backlash Error in a Machining center. Journal
of Intelligent Manufacturing. DOI: 10.1007/s10845-017-1380-9.
Zhe Li, Yi Wang, and Kesheng Wang. (2017) Intelligent Predictive Maintenance
for Fault Diagnosis and Prognosis in Machine Centers - Industry 4.0 scenario.
Advances in Manufacturing. https://doi.org/10.1007/s40436-017-0203-8.
Zhe Li, Yi Wang, and Kesheng Wang. (2017) A Deep Learning Driven Method for
Fault Classification and Degradation Assessment in Mechanical Equipment.
(Submitted to Computers in Industry)
Zhe Li, Yi Wang, Kesheng Wang, and Jin Yuan. (2018) A Deep Learning
Approach for Anomaly Detection based on SAE and LSTM in Mechanical
Equipment. (Submitted to Expert System with Application)
Kesheng Wang, Zhe Li, Jørgen Braaten, and Quan Yu. (2015) Interpretation and
Compensation of Backlash Error Data in Machine Centers for Intelligent
Predictive Maintenance Using ANNs. Advances in Manufacturing, 3(2), 97-104.
Zhe Li and Kesheng Wang. (2015) Comparing Different Methods of Fault
Classification in Centrifugal Pumps. WHITE Transactions on Engineering
Sciences113 (2016): 217-224.

Zhe Li and Kesheng Wang. (2015) Research on Fault Diagnosis and Prognosis
for Machine Centers.Advanced Manufacturing and Automation V.
Zhe Li, Kesheng Wang, and Yafei He. (2016) Industry 4.0 - Potentials for
Predictive Maintenance. International Workshop of Advanced Manufacturing and
Automation 2016.
Zhe Li, Kesheng Wang, and Yavor Stefanov. (2016) Applying Radial Basis
Function Networks to Fault Diagnosis of Motorized Spindle. International
Workshop of Advanced Manufacturing and Automation 2016.
:

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Jinghui Yang, Yavor Stefanov, and Zhe Li. (2016) Applying Built-in Virtual
Personal Assistant for Educational Equipment. Atlantis Press. 2016. ISBN 978-
94-6252-243-5. Advances in Economics, Business and Management Research
(IWAMA-16).
Shewei Wang, Kesheng Wang, and Zhe Li. (2016) A Review on Data-driven
Predictive Maintenance Approach for Hydro Turbines/Generators. Atlantis Press.
2016. ISBN 978-94-6252-243-5. Advances in Economics, Business and
Management Research (IWAMA-16).
Zhe Li, Viggo Gabriel Borg Pedersen, Kesheng Wang, and Yafei He. (2017) Fault
Classification and Degradation Assessment Based on Wavelet Packet
Decomposition for Rotary Machinery. International Workshop of Advanced
Manufacturing and Automation 2017.
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Maintenance
Corrective Maintenance Preventive Maintenance Predictive Maintenance
Reliability- Statistical- Condition-

Deferred Immediate Time-based
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In deferred corrective maintenance, maintenance is performed in a planned

manner, which means correction of fault may not be conducted once the
failure occurs but according to the maintenance rules. And this rules may
reduce costs or implementation time.
Immediate corrective maintenance will starts immediately once the failure or
degradation is detected.
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Cost effective in many capital-intensive processes.

Flexibility allows for the adjustment of maintenance periodicity.
Increased component life cycle.
Energy savings.
Reduced equipment or process failure.
Estimated 12% to 18% cost savings over reactive maintenance program.

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Statistical-based predictive maintenance.

Condition-based predictive maintenance.
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Equipment that requires maintenance is only shut down before imminent

failure.
Reducing the total time spent maintaining equipment
Reducing maintenance costs by avoiding catastrophe damage.
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Generating minimal interference in equipment during the operation.
Increasing availability and reliability of machines.
Extending life of equipment and processes.
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Reference Main Data Type Target Method Type

[Zarei et al., Vibration signal Bearing fault Neural Network Time Domain
2014]
[J. Yang et Vibration signal Rolling elements Fractal Dimension Time Domain
al., 2007]
[Abdennadher Electrical signal Electrolytic Z Transformation Frequency
et al., 2010] capacitor Domain
[Liu et al., Energy signal Induction motors Fast Fourier Frequency
2010] Transform Domain
[Taj et al., Maintenance data Subsystem of a Laplace Frequency
2017] cable plant Transformation Domain
[Mehta et al., Vibration signal
Short Time Time-
2015] spindle Fourier Transform Frequency
Domain
[Z. Zhang et Vibration signal Blower Wavelet Time-
al., 2013] Transformation Frequency
Domain
[Wu et al., Vibration signal Gear faults Hilbert Huang Time-
2012] Transformation Frequency
Domain
[C. Wang et Vibration Diesel valve trains Wigner Ville Time-
al., 2008] acceleration Distribution Frequency
signal Domain
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Reference Target Method
[Kim et al., 2012] Prognosis of bearing faults SVM
[Konar and Bearing fault detectionin induction motor SVM

Chattopadhyay, 2011]
[Yoon et al., 1992] Fault diagnostics of crude units Rule-based ES
[Baig and Sayeed, Fault diagnosis of twin-spool turbofans Model-based ES

1998]
[Ziyan et al., 2003] Vehicle fault diagnostics Case-based ES
[B.-S. Yang, Di, et al., Diagnosis of induction motors Random forest

2008]
[Muralidharan and Diagnosis of mono-block centrifugal pump DT

Sugumaran, 2013]
[Sobanski, 2014] Diagnosis of voltage inverter FLS
[B.-S. Yang, Oh, et al., Predicting the operating conditions of machine T & Neuro-fuzzy
2008] System
46

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4,

[Ghate and Dudul, Fault classification for three-phase induction CCNN
2011] motor
[G. Xiong et al., 2013] Fault diagnosis of large-scale power systems RBFNN
[D. Peng et al., 2014] Diagnosis of turbine generator unit CPNN
[Deuszkiewicz and Condition assessment of power transmission CPNN

Radkowski, 2003] units
[Phillips et al., 2015] Diagnosis mining trucks CCNN
[Abed et al., 2014] Diagnosis of brushless DC motor Dynamic Neural

Network
[C.-C. Wang and James Rotating machine fault detection SOM & LVQ
Too, 2002]
[Rai and Upadhyay, Degradation assessment of bearing SOM & SVM

2017]
[Yam et al., 2001] Equipment deterioration detection in power RNN
plants
[Vachtsevanos and Prognosis of bearing failures DWNN
Wang, 2001]
[Zou et al., 2017] Diagnosis of a transformer PNN
[Unal et al., 2014] Defects identification for rolling bearings GA-ANN
[W. Wang, 2007] Prediction of spur gear condition value one NFN
step ahead
[D.-M. Yang et al., Diagnosis of motor bearing BPNN
2002]
[Khomfoi and Tolbert, Fault diagnosis for multilevel inverter drive BPNN
2007]
[J.-l. Zhao and Zhao] Fault diagnosis for missile electronic BPNN
command system
[Rohani et al., 2011] Predicting repair and maintenance cost BPNN
[Huijie et al., 2015] Fault diagnosis in digital circuits BPNN
[Saravanan and Gear box fault diagnosis BPNN

Ramachandran, 2010]
[Mehrjoo et al., 2008] Damage detection of truss bridge joints BPNN
44

.
4,

[Din and Marnerides, Power load mapping DNN
2017]
[L. Li and Dai Guilan, Fault classification for semiconductor DNN
2017] manufacturing process
[L. Wang et al., 2017] Identification for failures in wind turbine DNN
gearbox
[Jia et al., 2016] Processing massive fault data to evaluate the SAE
health condition rotating machinery
[Galloway et al., 2016] ator by SAE
mining information from spectrograms
[Sun et al., 2016] Fault diagnosis in induction motor SAE
[C. Lu et al., 2017] Fault diagnosis for components in rotary SAE

machinery
[Guo et al., 2016] Dimension reduction for intelligent bearing SAE
condition monitoring
[F. Zhou et al., 2017] Fault classification for machinery equipment in SAE
multimode
[Junbo et al., 2015] Roller bearing fault diagnosis SAE
[Huijie et al., 2015] Fault diagnosis of hydraulic pump SAE
[K. Li and Wang, 2015] Spacecraft fault diagnosis SAE
[Gan and Wang, 2016] Fault location and severity ranking in rolling- DBN
element bearing
[Tamilselvan and Wang, Evaluating the health state of aircraft engine DBN
2013] and electric power transformer
[H. Shao et al., 2015] Identification of rolling bearing faults DBN
[AlThobiani and Ball, Fault diagnosis of the valves in reciprocating DBN

2014] compressors
[Fink and Weidmann, Predicting railway operations failures DBN
2013]
[S. Shao et al., 2016] Fault diagnosis of induction motor DBN
[Y. Fu et al., 2015] Cutting states monitoring DBN
[M. Ma et al., 2016] Bearing degradation assessment DBN
[R. Zhao, Wang, et al., Prediction of tool wear in a high speed CNC LSTM
2016] machine
[de Bruin et al., 2017] Diagnosis time for railway track circuit LSTM
4=

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4,

[Liao and Ahn, 2016] Asset health assessment LSTM
[Yuan et al., 2016] Fault diagnosis and remaining useful life LSTM
estimation for aero engine
[Malhotra et al., 2016] Prognosis for a pulveriser mill from multi- LSTM
sensor time-series data
[Aydin and Engine condition monitoring LSTM
Guldamlasioglu, 2017]
[ElSaid et al., 2016] Predicting excess vibration events in aircraft LSTM
engines
[Janssens et al., 2016] Fault detection for rotating machinery CNN
[Z. Chen et al., 2015] Diagnosis for a two-stage transmission CNN

gearbox
[Babu et al., 2016] RUL estimation from multi-variate time series CNN
sensor signals
[L. Zhang et al., 2016] Road crack detection for transportation CNN
maintenance
[W. Zhang et al., 2018] Bearing fault diagnosis under noisy CNN
environment and different working load
[Ding and He, 2017] Spindle bearing fault diagnosis CNN
[Weimer et al., 2016] Visual defect detection CNN

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Deep learning has had a long and rich history, but has gone by many names

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Deep learning has become more useful as the amount of available training data
has increased.
Deep learning models have grown in size over time as computer hardware and
software infrastructure for deep learning has improved.
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Alleviating the problem through unsupervised pre-training for a hierarchy network.

The basic idea is to train each layer in unsupervised fashion to predict its next input.
This greatly facilitates subsequent supervised credit assignment through BP. One
typical type of deep learning approaches is DBN, which is a stack of RBM.
Long short term memory (LSTM) like networks alleviate the problem through a
special architecture unaffected by it. In a LSTM network employed Constant Error
Carousels as activation and identity functions to discover the importance of events
that happened thousands of discrete time steps ago.

"omputers, especially GPU-based computers,
have a million times the computational power of the early 1990s. This allows for
propagating errors a few layers further down within reasonable time, which means
the standard BP training is feasible a few layers deeper than when the gradients
vanishing problem was recognized.
The space of neural network weight matrices can also be searched without relying
on error gradients, thus avoiding the problem of gradients vanishing altogether.
Actually, random weight guessing sometimes works better than more sophisticated
methods [Hochreiter and Schmidhuber, 1996].

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Architecture Superiority for predictive maintenance

DNN Degradation mapping, and failures identification, when enough
history data could be obtained, and the complexity of target issue is
relatively high.
SAE Fault characteristics mining, extracting features or hidden
information about failures from the raw input data and subsequently
dividing them into different levels, dimensionality reduction, and
discovering discriminative information about failures when the
input dimensionality is large.
DBN Energy-based models enable DBN to mine information hidden
behind highly coupled inputs, which makes DBN a feasible method
for fault diagnosis and prognosis when the target condition is
beyond the historical data. In addition, it also has the ability to
discover the discriminative information about failures when the
input dimensionality is large.
LSTM By stacking memory cells, information of previous inputs can be
kept in the output to some degree, carried by cell state, which makes
LSTM an outstanding tool to mimic time series.
CNN Strong capacity to discover knowledge behind large data especially
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for image-based data. And due to the ability to learn complex and
robust representation via its convolutional layer, filters in
convolutional layers may extract local patterns in raw data and
further build complex patterns for machine health monitoring
through stacking these convolutional layers.
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High demands on data access, data quality and data fusion from multiple sources
for data sharing and data publication. Since these sources of data often operate
in a heterogeneous environment, integration between the systems is problematic
[Aljumaili et al., 2015].
The capability to deal with industrial big data. To leverage big data, industrial
businesses need the ability to support different types of information, the
infrastructure to store massive data sets, and the flexibility to leverage the
information once collected and stored. In other words, enabling historical
analysis of critical trends to enable real-time predictive analysis [J. Liu et al.,
2007].
The prediction accuracy for predictive maintenance. The inaccurate predictive
information may result in either unnecessary maintenance, such as early
replacement of components, or production downtime because of unexpected
machine failures. Therefore, the accuracy of remaining useful life prediction,
particularly the long-term prediction, which gives sufficient time to prepare for
a maintenance operation, plays an essential role in the full realization of the
potentials of predictive maintenance [J. Liu et al., 2007].

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practitioners to implement predictive maintenance in the fourth industry
revolution.
It can collect and leverage all available data and information from types of data
resources such as mounted sensors, control systems, or cloud database to
evaluate the working condition.
Intelligent fault diagnosis and prognosis can be made to detect when, where,
which equipment and which component may have impending failures.
Faults and degradation could be accurately predicted and assessed through deep
learning models for maintenance scheduling optimization.
Zero failure performance and subsequent zero defect manufacturing can be
reached since all the potential faults could be predicted and fixed before they
occur.
It can make predictive maintenance decision to prevent occurrence and
development of failures effectively, ensure the safety of equipment, and reduce
the total cost of maintenance by minimizing the number of unnecessary
maintenance performance.
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displacement, velocity, torque, location, strain, and cutting forces (static and
dynamic).
Optical transduces such as photo detectors, and lasers.
Thermal transducers such as thermocouples, and thermography.
Audible sensors such as ultrasonic sensors, and acoustic emission sensors
Environment sensors systems such as the spectrometer, PH indicators, and
temperature sensors.

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Doctoral theses at NTNU, 2018:132

A Framework of Intelligent Fault Diagnosis

ISBN 978-82-326-3054-7 (printed ver.)

Doctoral theses at NTNU, 2018:132

Deep Learning Driven Approaches

A Framework of Intelligent Fault Diagnosis and

Thesis for the Degree of Philosophiae Doctor

Trondheim, April 2018

Norwegian University of Science and Technology

Thesis for the Degree of Philosophiae Doctor

ISBN 978-82-326-3054-7 (printed ver.)

Doctoral theses at NTNU, 2018:132

Printed by NTNU Grafisk senter

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