ORIGINAL ARTICLE

Rolling element bearing faults diagnosis based

on autocorrelation of optimized: wavelet de-noising
technique
Khalid F. Al-Raheem & Asok Roy &
K. P. Ramachandran & D. K. Harrison & Steven Grainger
Received: 18 February 2007 / Accepted: 20 November 2007 / Published online: 17 January 2008
# Springer-Verlag London Limited 2007
Abstract Machinery failure diagnosis is an important
component of the condition based maintenance (CBM)
activities for most engineering systems. Rolling element
bearings are the most common cause of rotating machinery
failure. The existence of the amplitude modulation and
noises in the faulty bearing vibration signal present
challenges to effective fault detection method. The wavelet
transform has been widely used in signal de-noising, due to
its extraordinary time-frequency representation capability.
In this paper, a new technique for rolling element bearing
fault diagnosis based on the autocorrelation of wavelet de-
noised vibration signal is applied. The wavelet base
function has been derived from the bearing impulse
response. To enhance the fault detection process the
wavelet shape parameters (damping factor and center
frequency) are optimized based on kurtosis maximization
criteria. The results show the effectiveness of the proposed
technique in revealing the bearing fault impulses and its
periodicity for both simulated and real rolling bearing
vibration signals.
Keywords Bearing fault detection
.
Wavelet de-noising
.
Impulse-response wavelet
.
Kurtosis maximization
.
Autocorrelation
1 Introduction
Every time the rolling element hits a defect in the raceway,
an impulse of short duration is generated, which in turn
excites the bearing system resonance frequencies. There-
fore, the overall vibration signal measured on the bearing
housing shows a pattern consisting of succession of
oscillating bursts dominated by the major bearing system
resonance frequency. The duration of the impulse is
extremely short compared with the interval between
impulses, and so its energy is distributed at a very low
level over a wide range of frequency and, hence, can be
easily masked by noise and low frequency effects. Theses
impulses will occur with a frequency determined by the
velocity of the rolling element, the location of the defect
and the bearing geometry and denoted as bearing charac-
teristic frequencies (BCF); see the appendix.
The rolling elements experience some slippage as the
rolling elements enter and leave the bearing load zone. As a
consequence, the occurrence of the impacts never repro-
duce exactly at the same position from one cycle to another.
Moreover when the position of the defect is moving with
respect to the load distribution of the bearing, the series of
impulses is modulated in amplitude. However, the period-
icity and the amplitude of the impulses experience a certain
Int J Adv Manuf Technol (2009) 40:393402
DOI 10.1007/s00170-007-1330-3
K. F. Al-Raheem (*)
:
K. P. Ramachandran
Department of Mechanical and Industrial Eng.,
Caledonian College of Eng.,
Muscat, Oman
e-mail: khalid@caledonian.edu.om
K. P. Ramachandran
e-mail: ramkp@caledonian.edu.om
A. Roy
:
D. K. Harrison
:
S. Grainger
School of Engineering Science and Design,
Glasgow Caledonian University,
Glasgow, Scotland, UK
A. Roy
e-mail: A.Roy@gcal.ac.uk
D. K. Harrison
e-mail: dha2@gcal.ac.uk
S. Grainger
e-mail: S.grainger@gcal.ac.uk
degree of randomness [14]. In such case, the signal is not
strictly periodic, but can be considered as cyclo-stationary
(periodically time-varying statistics), then the cyclic sec-
ond-order statistics (such as cyclic-autocorrelation and
cyclic spectral density) are suited to demodulate the signal
and extract the fault feature [57]. All these make the
bearing defects very difficult to detect by conventional fast
Fourier transform (FFT) spectrum analysis, which assumes
that the analyzed signal to be strictly periodic.
The wavelet transform provides powerful multi-resolution
analysis in both time and frequency domain, thereby
becoming a favored tool to extract the transitory features of
non-stationary vibration signal produced by the faulty bearing
[814]. The wavelet analysis results in a series of wavelet
coefficients, which indicate how close the signal is to the
particular wavelet. In order to extract the fault features of the
signal more effectively appropriate wavelet base function
should be selected [1521].
The wavelet de-noising technique included of decom-
poses the signal using wavelet transform, threshold the
resulting coefficients to eliminate the redundant information
and further enhance the interested spectral features of the
signal, then reconstruct the signal from the threshold
wavelet coefficients using inverse wavelet transform.
Wavelet de-noising using a Morlet wavelet as a base
function has been used to extract the impulses for bearing
and gear faults detection by J. Lin et al. in [22]. Y. Shao and
K. Nezu [23] combined the wavelet de-noising with
adaptive noise canceling filter to improve the signal-to-
noise ratio when the signal is contaminated by noise for
incipient bearing fault detection. H. Qiu et al. [24]
optimized the Morlet wavelet shape factor using the
minimal Shannon entropy criteria when applied as a base
function in wavelet de-noising for bearing fault diagnosis.
S. Abbasion et al. [25] proposed discrete Meyer wavelet as
base function for signal de-noising and bearing fault
a
0 0.02 0.04 0.06 0.08 0.1 0.12 0.14 0.16
-5
-4
-3
-2
-1
0
1
2
3
4
Time (s)
A
c
c
e
l
e
r
a
t
i
o
n

(
m
.
s
-
2
)
A
c
c
e
l
e
r
a
t
i
o
n

(
m
.
s
-
2
)
A
c
c
e
l
e
r
a
t
i
o
n

(
m
.
s
-
2
)
A
c
c
e
l
e
r
a
t
i
o
n

(
m
.
s
-
2
)

c
0 0.02 0.04 0.06 0.08 0.1 0.12 0.14 0.16
-0.4
-0.3
-0.2
-0.1
0
0.1
0.2
0.3
0.4
X: 0.04908
Y: 0.2558
X: 0.05883
Y: 0.208
X: 0.03958
Y: -0.09365
Time (s)

d
0 0.02 0.04 0.06 0.08 0.1 0.12 0.14 0.16
-0.4
-0.3
-0.2
-0.1
0
0.1
0.2
0.3
X: 0.09392
Y: -0.1905 X: 0.1
Y: -0.2162
X: 0.1306
Y: 0.1915
Time (s)
-0.05 -0.04 -0.03 -0.02 -0.01 0 0.01 0.02 0.03 0.04 0.05
-0.4
-0.2
0
0.2
0.4
0.6
0.8
1
X: -0.00975
Y: 0.5478
X: 0.00975
Y: 0.5478
Delay (s)
C
o
r
r
e
l
a
t
i
o
n

c
o
e
f
f
i
c
i
e
n
t
e
b
0 0.02 0.04 0.06 0.08 0.1 0.12 0.14 0.16
-6
-4
-2
0
2
4
6
Time (s)
f
-0.05 -0.04 -0.03 -0.02 -0.01 0 0.01 0.02 0.03 0.04 0.05
-0.5
0
0.5
1
X: -0.006167
Y: 0.1692
X: 0.006167
Y: 0.1692
X: -0.03083
Y: 0.4573
Delay (s)
C
o
r
r
e
l
a
t
i
o
n

c
o
e
f
f
i
c
i
e
n
t

Fig. 1 The simulated vibration
signal, the corresponding wave-
let de-noised signal and, the
auto-correlation function R
x
()
for bearing with outer-race fault
(a, b, and c) , inner-race fault (d,
e and f)
394 Int J Adv Manuf Technol (2009) 40:393402
classification using a support vector machine (SVM). D.
Giaouris and J.W. Finch [26] applied the wavelet de-
noising of the electrical motor current signal for fault
detection. Z. K. Peng and F. L. Chu gave a comprehensive
overview to the wavelet de-noising for mechanical fault
diagnosis. A number of threshold methods to eliminate the
effects of the signal noise from the resulting wavelet
coefficients are applied in [28, 29].
a
-5 -4 -3 -2 -1 0 1 2 3 4 5
-0.8
-0.6
-0.4
-0.2
0
0.2
0.4
0.6
0.8
Time (s)
A
m
p
l
i
t
u
d
e
b
0 5 10 15 20 25 30 35 40 45 50
0
0.2
0.4
0.6
0.8
1
1.2
x 10
-3
Frequency (Hz)
P
o
w
e
r

S
p
e
c
t
r
u
m
Fig. 2 (a) the impulse wavelet
time waveform, (b) its FFT-
spectrum
a
b
c
Fig. 3 (a) The simulated noise
signal (kurtosis=3.0843),
(b) The overall vibration signal
(noise and impulses) (kurtosis=
7.7644), and (c) The pure fault
impulses (kurtosis=8.5312),
with the corresponding intensity
distribution curve for bearing
with outer-race fault
Int J Adv Manuf Technol (2009) 40:393402 395
In this paper, a new technique based on the wavelet
de-noising method for rolling bearing fault detection has
been developed and tested on both simulated and real
bearing vibration signals. To enhance the generated
wavelet coefficients related to the bearing fault impulses,
the wavelet base function has been constructed based on
the impulse response of the bearing system. Moreover, the
wavelet shape parameters are optimized using maximum
kurtosis criteria.
The remaining sections of the paper are as follows: In
the next section the vibration model for rolling bearing with
outer and inner-races fault is derived. In Sect. 3 the
procedures of the proposed approach is set up. The
implementations of the proposed approach for detection of
localized ball bearing defects for both simulated and actual
bearing vibration signals are presented in Sect. 4. Finally,
the conclusions are given in Sect. 5.
2 Vibration model for rolling element bearing localized
defects
Every time the rolling element strikes a defect in the
raceway or every time a defect in the rolling element hits
the raceway, a force impulse of short duration is produced,
which in turn excites the natural frequencies of the bearing
parts and housing structure. The structure resonance in the
system acts as an amplifier of low energy impacts.
Therefore, the overall vibration signal measured on the
bearing shows a pattern consisting of a succession of
a b
c
Fig. 4 The optimization of the wavelet parameters based on maximization of the kurtosis value for (a) simulated vibration signal, (b) the
experimentally collected signal, and (c) the CWRU signal, for outer-race fault bearing
396 Int J Adv Manuf Technol (2009) 40:393402
oscillating bursts dominated by the major resonance
frequency of the structure.
The response of the bearing structure as an under-
damped second-order mass-spring-damper system to a
single impulse force is given by the following [30]:
S t Ce

1x
2
p w
d
t
sin w
d
t 1
where is the damping ratio,
d
is the damped natural
frequency of the bearing structure, and C is an amplitude
scaling factor.
As the shaft rotates, this process occurs periodically
every time a defect hits another part of the bearing, and its
rate of occurrence is equal to one of the BCF. In reality,
there is a slight random fluctuation in the spacing between
impulses because the load angle on each rolling element
changes as the rolling element passes through the load
zone. Furthermore, the amplitude of the impulse response
will be modulated as a result of the passage of the fault
through the load zone:
x t

i
A
i
S t T n t 2
where S(t-T
i
) is the waveform generated by the i
th
impact at
the time T
i
, and T
i
=iT+
i
, where T is the average time
between two impacts, and
i
describe the random slips of
the rolling elements. A
i
is the time varying amplitude-
demodulation, and n(t) is an additive background noise
which takes into account the effects of the other vibrations
in the bearing structure.
Figure 1a and b show the acceleration signals (d
2
x(t)/
dt
2
) generated by the model in Eq. 2 with random slip
() of 10% of the period T and signal-to-noise ratio of
0.6 dB for outer-race and inner-race bearing faults,
respectively.
3 Wavelet de-noising technique
The wavelet transform (WT) is the inner product of a time
domain signal with the translated and dialed wavelet-base
function. The wavelet transform resulting coefficients
reflect the correlation between the signal and the selected
wavelet-base function. Therefore, to increase the amplitude
of the generated wavelet coefficients related to the fault
impulses, and to enhance the fault detection process, the
selected wavelet-base function should be similar in charac-
teristics to the bearing impulse response generated by
presence of bearing incipient fault, Eq. 1. Based on that,
the proposed wavelet-base function is denoted as impulse-
response wavelet and given by
y t A e

1b
2
p w
c
t
sin w
c
t 3
a
b
c
Delay (s)
Delay (s)
Delay (s)
impulsenon
morcor1
Fig. 5 The autocorrelation function of the wavelet de-noised outer-
race fault signal using (a) optimized impulse-wavelet, (b) non-
optimized impulse-wavelet, and (c) Morlet-wavelet
Int J Adv Manuf Technol (2009) 40:393402 397
where is the damping factor that control the decay rate of
the exponential envelop in the time, hence regulating the
resolution of the wavelet, simultaneously corresponds to the
frequency bandwidth of the wavelet in the frequency
domain,
c
determining the number of significant oscil-
lations of the wavelet in the time domain and correspond to
the wavelet centre frequency in frequency domain, and A is
an arbitrary scaling factor. Figure 2 shows the proposed
wavelet and its power spectrum.
The proposed wavelet satisfy the admissibility condition,
C
g

_
1
1
= f j j
2
f
df < 1 4
where C
g
is the admissibility constant and, y
^
(f) is the
Fourier transform of y (t). This implies that the wavelet has
no zero frequency component, y
^
(0)=0 or, the wavelet y(t)
must have a zero mean [31].
The proposed wavelet de-noising technique consists of
the following steps:
1 Optimize the wavelet shape parameters ( and
c
)
based on maximization kurtosis of the signal-wavelet
inner product.
It is possible to find optimal values of and
c
for a
given vibration signal by adjusting the time-frequency
resolution of the Impulse wavelet to the decay rate and
frequency of impulses to be extracted. Kurtosis is an
indicator that reflects the peakiness of a signal, which is
a property of the impulses and also it measures the
divergence from a fundamental Gaussian distribution. A
high kurtosis value indicates high impulsive content of the
signal with more sharpness in the signal intensity distribu-
tion. Figure 3 shows the kurtosis value and the intensity
distribution for a white noise signal, pure impulsive signal,
and impulsive signal mixed with noise.
The objective of the impulse wavelet shape optimization
process is to find out the wavelet shape parameters ( and

c
), which maximize the kurtosis of the wavelet transform
output:
Optimal b; w
c
max

N
n1
WT
4
x t ; y
b;w
c
t
_ _

N
n1
WT
2
x t ; y
b;w
c
t
_ _
_ _
2
_

_
_

_
5
a b c
Fig. 6 (a) The collected vibration signal, (b) The corresponding wavelet de-noised signal, and (c) The auto-correlation function, for bearing with
outer-race fault at shaft rotational speed of 983.887 rpm
a b c
Fig. 7 (a) The collected vibration signal, (b) Corresponding wavelet de-noised signal, and (c) Auto-correlation function, for bearing with outer-
race fault at shaft rotational speed of 2080.28 rpm
398 Int J Adv Manuf Technol (2009) 40:393402
2 Apply the wavelet de-noising technique:
a- Perform a wavelet transform for the bearing
vibration signal x(t) using the optimized wavelet,
WT x t ; a; b f g =
a;b
x t
_

a
p
_
x t
*
a;b
t dt
6
where <.,.> indicates the inner product, the super-
script asterisk * stands for the complex conjugate.
The y
a, b
is a family of daughter wavelets derived
from the mother wavelet y(t) by continuously
varying the scale factor a and the translation
parameter b. The factor
1

a
p
is used to ensure energy
preservation.
b- Shrink the wavelet coefficients expressed in Eq.5
by soft thresholding:
WT
soft

0
sign WT WT thr
WT j j < thr
WT j j > thr
_
7
using soft-threshold function (thr) proposed by [29]
yields
thr e
Max WT a;b j j
x

e
Max WT a;b j j
x

8
where > 0 is parameter governing the shape of
the threshold function.
c- Perform the inverse wavelet transform to recon-
struct the signal using the shrunken wavelet
coefficients.
x
*
t C
1
g
_
1
1
WT
soft
a; t
da
a
3=2
9
3 Evaluate the auto-correlation function R
x
() for the de-
noised signal x*(t) to estimate the periodicity of the
extracted impulses,
R
x
C E x
*
t x
*
t C
_ _
10
where is the time lag, and E [ ] denotes ensemble
average value of the quantity in square brackets.
4 Wavelet de-noising technique for rolling bearing fault
detection
To demonstrate the performance of the proposed approach,
this section presents several application examples for the
detection of localized bearing defects. In all the examples,
the impulse wavelet has been used as a wavelet base-
function. The wavelet parameters (damping factor and
centre frequency) are optimized based on maximizing the
kurtosis value for the wavelet coefficients as shown in
Fig. 4.
To evaluate the performance of the proposed method,
the autocorrelation functions of the optimized impulse
wavelet, impulse wavelet with non-optimized parameters,
and the widely used Morlet wavelet are carried out and
shown in Fig. 5. The comparison of Fig. 5a,b and c shows
a b c
Fig. 8 (a) The collected vibration signal, (b) Corresponding wavelet de-noised signal, and (c) Auto-correlation function, for rolling with outer-
race fault at shaft rotational speed of 3541.11 rpm
Table 1 The calculated and extracted BCFs at different shaft
rotational speed
Shaft speed
(rpm)
Calculated BCF
(Hz)
Period
extracted (s)
BCF extracted
(Hz)
983.887 50.32 0.020310 49.236
2080.28 106.4 0.009297 107.561
3541.11 181.12 0.005391 185.493
Int J Adv Manuf Technol (2009) 40:393402 399
the increased effectiveness of the optimized impulse
wavelet over non-optimized impulse and Morlet wavelet
for extraction of the bearing fault impulses and period-
icity. Consequently the performance of the bearing fault
diagnosis process has been increased using the proposed
technique.
4.1 Simulated vibration data
For a rolling element bearing with pitch diameter of
51.16 mm, ball diameter of 11.9 mm, with eight rolling
elements and 0 contact angle, the calculated BCFs (see the
appendix) for shaft rotational speed of 1,797 rpm are
a b
Fig. 9 The CWRU collected vibration signal, corresponding wavelet de-noised signal and auto-correlation function, respectively, for a bearing
with (a) outer-race fault, and (b) inner-race fault
400 Int J Adv Manuf Technol (2009) 40:393402
107.36 Hz and 162.18 Hz for outer and inner-race fault,
respectively. Figure 1a and b show the time domain
waveform of the simulated signals for rolling bearing with
outer and inner-race faults based on the model described in
Sect. 2. The results of the wavelet de-noising method
(wavelet transform, shrink the wavelet coefficients and the
inverse wavelet transform) for rolling bearing with outer
and inner race faults using the optimized impulse wavelet
are displayed in Fig. 1c and d, respectively. The results
show that the signal noise has been diminished and the
impulses generated by the faulty bearing are easy to
identify in the wavelet de-noised signal. The impulse
periodicity of 0.00975 s (f
o
=102.564 Hz) for outer-race
fault and 0.006167 s (f
i
=162.153 Hz) for inner-race fault
are effectively extracted through the auto-correlation of the
de-noised signal, Fig. 1e and f, which are exactly matching
the theoretical estimation of the BCF.
4.2 Experimental vibration data
A B&K 752A12 piezoelectric accelerometer was used to
collect the vibration signals for an outer race defective,
deep groove, ball bearing (with same simulated specifica-
tions) at different shaft rotational speeds. The vibration
signals were transferred to the PC through a B&K
controller module type 7536 with data sampling frequency
of 12.8 kHz. Based on the bearing parameters, the
calculated outer race fault characteristic frequency is
0.05115 times the shaft rotational speed (rpm).
Figures 6, 7, 8 show the application of the proposed
wavelet de-noising technique for rolling bearing with outer-
race fault at different shaft rotational speed. The bearing
fault impulses and their periodicity are easily defined in the
wavelet de-noised signal and the de-noised autocorrelation
function, respectively. The comparison of Figs. 6c, 7c and
8c shows the sensitivity of the proposed de-noising
technique to the variation of the BCF as a result of
variation in the of shaft rotational speed as listed in Table 1.
4.3 CWRU vibration data
We use data given by the Case Western Reserve University
(CWRU) website [32] for rolling bearings seeded with
outer and inner race faults using electro discharge machin-
ing (EDM). The calculated defect frequencies are 3.5848
and 5.4152 times the shaft rotational speed (Hz) for outer
and inner race fault, respectively. At shaft rotational speed
of 1797 rpm the calculated BCF are 107.36 Hz for outer-
race fault and, 162.185 Hz for inner-race fault. The time
course of the vibration signal for bearings with outer and
inner race faults, the corresponding wavelet de-noised
signal and the auto-correlation function are depicted in
Fig. 9a and b, respectively. The autocorrelation functions of
the de-noised signal reveal a periodicity of 0.009333 s (f
o
=
107.14 Hz) and 0.006167 s (f
i
=162.153 Hz) for outer and
inner race fault, respectively, which are very close to the
calculated BCF.
5 Conclusions
A new approach for rolling bearing fault diagnosis based on
wavelet de-noising technique with wavelet-base function
derived from the impulse response of the bearing system is
presented. Wavelet shape parameters have been optimized
using maximum kurtosis criteria. The results for both
simulated as well as actual bearing vibration signals show
the effectiveness of the proposed approach to extract the
rolling bearing fault impulses buried in the noisy vibration
signal, and evaluate its periodicity using auto-correlation
function of the wavelet de-noised vibration signal.
Appendix
Fault bearing characteristic frequencies (BCF)
Each bearing element has its own characteristic frequency
of defect. Those frequencies can be calculated from the
kinematics relation, i.e., the geometry of the bearing and its
rotating speed. For a bearing with a stationary outer race,
the above defect characteristic frequencies can be obtained
as follows:
Characteristic frequency of the outer-race:
f
o
in:Hz 0:5zf 1
d
D
cos
_ _
1
Characteristic frequency of the inner race:
f
i
in:Hz 0:5zf 1
d
D
cos
_ _
2
Characteristic frequency of the rollers:
f
r
in:Hz f
D
d
1
d
D
cos
_ _
2
_ _
3
Characteristic frequency of the cage:
f
C

f
2
1
d
D
cos
_ _
4
Int J Adv Manuf Technol (2009) 40:393402 401
where z is the number of rollers, d is the diameter of the
rollers, D is the pitch diameter, is the contact angle, and f
is the rotating speed of shaft.
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