B.

Tech Project report on

Conditional health monitoring of Gear Box

using Convolutional Neural Network
Session 2019-20

By
Amit Ranjan(16135011)
Kaustav De(16135040)
Khwaja Sami(16135041)
Dhiraj Srivastava(16135103)
Ankit Kumar Pandey(16135105)

Supervisor
Prof A.K.Agrawal

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 Contents

1. ACKNOWLEDGEMENT
2. ABSTRACT
3. Introduction
4. Diagnosis methods
Deep convolutional neural network
RNN
5. Experimental setup
6. Implementation and results

Network setup and training

7. Results and discussions

Conclusion

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 ACKNOWLEDGEMENT

I would like to express my special thanks of gratitude to my mentor Prof. S.K.Sharma and
Prof. A. K. Agrawal who provided us the golden opportunity to do this wonderful project on
the topic “Health Monitoring of Gearbox Using Convolutional Neural Networks.” The
project provided a wonderful opportunity for applying curriculum knowledge in the real
world.

Secondly, I would also like to thank the PHD students of Industrial Management, who
helped me time to time whenever I needed them.

And at last but not least, I like to thank my parents whom continuous support and
motivation led me through the toughest time very easily.

I am deeply indebted to all of them because of which I had made significant progress to my
knowledge and research.

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 ABSTRACT

Efficient gearbox health monitoring and effective representation of diagnostic

results of dynamical systems have remained challenging. In this project, a new
approach to using deep learning for translating diagnostic results of one-
dimensional time series analysis into graphical images for fault type and
severity illustration is presented. Next, a Convolutional Neural Network (CNN)
learns the underlying features in the time frequency domain from these images
and performs fault classification. Experiments on gearbox data demonstrates
effectiveness and efficiency of the developed approach with a classification
accuracy better than 86%.

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 Chapter I
INTRODUCTION:
The widespread application of gearboxes in manufacturing and transportation
has continually motivated research that aims at effective and efficient gearbox
health monitoring and fault diagnosis techniques. A majority of the techniques
reported in the literature utilize vibration signals acquired by sensors for fault
analysis. The most important components in gearbox vibration spectra are the
tooth meshing frequency and its harmonics, together with sidebands caused by
modulation phenomena. Increments in the number and amplitude of such
sidebands may indicate a fault occurrence and deterioration. Traditional
methods to obtain vibration spectra are Fast Fourier Transforms (FFT) and
Short-Time Fourier Transforms (STFT). It has been shown that FFT is unable to
reveal the dynamic features of non-stationary signals, while STFT cannot
achieve satisfactory resolution in both the time and frequency domains at the
same time. In recent years, it has been demonstrated that time-frequency
distribution of the wavelet transform is more effective in identifying frequency
transitions along time than the traditional approaches, owing to its multi-
resolution feature localization capabilities. There has been ongoing research
towards using neural networks in combination with wavelet transforms to
achieve good classification accuracy. Use of neural networks for fault
classification has been demonstrated previously in the case of helicopter
gearbox .However, multi-sensor installation was required to achieve class
separability in fault classification and the accuracy was dependent on feature
selection. In this paper, an automatic approach for feature identification based
on deep learning is established. Deep neural architecture has been used in
numerous classification applications such as image recognition, object
classification and handwritten digit data classification . Deep neural networks
have also been used in health diagnosis such as in the case of electric power
transformers and aircraft engines and electro motors. Moreover, it has been
demonstrated that such networks are robust, and can be trained on large scale
data and to be not affected by image distortion .In this project Deep
Convolutional neural network (DCNN) is used for gearbox fault severity
classification. With converted 2Dimages from vibrational data DCNN, can dig
and extract the deep features in the images related to fault severity, and finally
classify the vibration data.

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 Chapter II
Diagnosis methods

A deep learning analysis is proposed for health condition monitoring of gearbox

faults. In this section, fundamental theory of DCNN is first introduced, followed
by the illustration of automated fault severity classification based on time-
frequency images through integrated wavelet and DCNN.

Deep convolutional neural network

Deep neural network (DNN) is a type of artificial neural network with multiple
hidden layers of units embedded between the input and output layers, and it
has been gaining popularity in the recent years, particularly in the field of
image processing and classification. Images contain features that reflect the
underlying architecture that makes each image a unique representation. These
features might not appear to be visually distinct between images. However,
deep neural networks can be trained to learn such features at different levels
of abstraction. Deep Convolutional neural network (DCNN) is one of the DNN
structures. It consists of hierarchically arranged trainable stages that “learn”
the efficient internal representation for all data .The neurons in a DCNN are
arranged in the form of feature maps. In the case of image processing, the
input to the network is a 2D array representing the image. A typical
convolutional network consists of two to four stages of convolutional layers
and pooling layers. The input to a convolutional layer is an image x of size m ×
n. The convolutional layer contains k kernels (filters) of size p × q, smaller in
dimension than the input image. The output of the convolutional layer is a set
of k feature maps of size (m − p + 1) × (n − q + 1) by striding over one pixel.

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 Fig 1: Convolution Operation

DCNN-Based Diagnosis
Excellent results have been demonstrated in optical defect detection using
DCNN. It has been shown that convolutional networks can achieve error rate of
7% at image analysis compared to manual visual inspection method in steel
defect classification. Hence, using the advantages of deep learning, we propose
a health condition monitoring system. Gearbox vibration signals can be
converted to images These images corresponding to different fault types may be
different, as the characteristic frequencies of faults are different. But it is hard to
differentiate these images through visual inspection if they belong to the same
fault type but different fault severity levels, as the differences of sidebands
amplitudes can be easily buried by surrounding frequency components (e.g.
meshing frequency components) with larger amplitude. DCNN is therefore
applied to dig the evolution of sidebands amplitudes, based on investigating the
brightness of specific pixels corresponding to sidebands. Its architecture is
attuned to learn the underlying features of images and classify them. By training
these images for different fault categories, the network parameters are fixed.
Oncoming vibrations signals can be classified by DCNN, forming an effective
health condition monitoring system.

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Recurrent Neural Network
Suppose there is a deeper network with one input layer, three hidden layers and
one output layer. Then like other neural networks, each hidden layer will have
its own set of weights and biases, let’s say, for hidden layer 1 the weights and
biases are (w1, b1), (w2, b2) for second hidden layer and (w3, b3) for third
hidden layer. This means that each of these layers are independent of each
other, i.e. they do not memorize the previous outputs.

RNN Architecture

LSTM CNN

Fig 2 :A general RNN

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Statistical Test
• Student t test is a statistical test which is widely used to compare the
mean of two groups of samples. It is therefore to evaluate whether the
means of the two sets of data are statistically significantly different from
each other.

• A large t-score indicates that the groups are different.

• A small t-score indicates that the groups are similar.

• In statistical hypothesis testing the p-value or probability value is the

probability of obtaining test results at least as extreme as the results
actually observed during the test, assuming that the null hypothesis is
correct.

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 Chapter III
Experimental setup

The provided datasets are related to radial vibration signals acquired in a

gearbox setup with three different gear conditions: healthy, one chipped tooth,
and three worn teeth in helical gears.

Image processing

For each severity level, two 30 s long vibration data series are collected at 8192
Hz sampling rate. Every 0.5 s data series, namely4096 data points, is converted
to one time-frequency spectra image. Distinguishing becomes more difficult
after converting these images to grey images, which are taken as inputs to
DCNN.

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 Chapter IV
Implementation and results

At first we tried to classify the datasets into two classes using logistic
regression. The classification classes include healthy and faulty gear.The
traditional logistic regression model gave an overall accuracy of 68%.

Then we used CNN for better accuracy .We converted the vibrational data into
images and then fed them into the CNN architecture. The model used the input
images and classifies the dataset into three classes that include no fault class,
chipped tooth class and worn teeth class. The accuracy from this model was
82%.

As such to further increase the accuracy we used a hybrid model combined of

LSTM-CNN architecture .Which produce the best result.

Network setup and training

2D images are used as inputs to the DCNN. The first layer following the input
layer is a convolutional layer with 6 feature maps of kernel size 11 × 11. This is
followed by a mean-pooling layer of size 2 × 2. The next layer is a convolutional
layer with 12feature maps of 6 × 6, followed by a 2 × 2 mean-pooling layer. The
output layer contains 4 neurons corresponding to the 4 different fault states.
All the layers are fully connected. Sigmoidal function is used as the activation
function. Stochastic gradient descent method was used to train the network
with a learning rate of 1. The batch size was taken as 5. The training was
carried out for 50 epochs. The time taken to train the network was 4.25 s and
for classifying the test data was around 0.001 s.

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 Chapter V
Results and discussions
The classification rate is calculated as the ratio of the number of correctly
classified test samples to the total number of test samples.The network
performed with an average classification accuracy of 86%.It was observed that
increasing the number of feature maps (>7) with kernel size 11 × 11 in the first
convolu-tional layer did not detect any additional features; however, thenet
work performance was at 25% meaning that all the samples were classified as
belonging to the same class. However, changing the kernel size to 7 × 7
increased the classification rate. Decreasing the number of feature maps
affected the classification rate. Again,performance drop was observed when
increasing the kernel size(>12). By increasing the number of neurons, the
network seems to lose its sensitivity to distinguish between fault
categories.However, when the number of features maps (8 maps, size11 × 11)
was increased while the number of feature maps in the2nd convolutional layer
was decreased (6 maps, size 6 × 6), the network performance showed a
marked improvement with a classification result of 86%. Performance drop can
be observed when the number of feature maps was greater than 7 or below 5.
This stresses the importance of choosing a balanced number of feature maps
with an adequate kernel size so as to avoid over-training or under-training the
network. The decrease in classification when lowering the number of feature
maps can be rectified by increasing the kernel size. This suggests that the
number of neurons available in each layer plays a significant role in feature
identification and these parameters must be given due importance during
training. It was observed that when the total number of neurons was in the
range of 800–1300, the network had good classification rate.

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Conclusion:
We used two different techniques for detecting the healthy and faulty gearbox
and the types of faults.

The accuracy using Logistic Regression is found to be 68%.

The accuracy using CNN is found to be 86%.

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