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I. INTRODUCTION
T
Manuscript received May 19, 2013; revised July 15, 2013; accepted July 15,
2013. Date of publication October 23, 2013; date of current version November
HE maintenance of complex engineering systems in air-
25, 2013. This research has been co-financed by the European Union (European crafts, helicopters, ground vehicles, ships, as well as in
Social FundESF) and Greek national funds through the Operational Program civil structures has gained a lot of attention in the last 50 years
Education and Lifelong Learning of the National Strategic Reference Frame- in the framework of ageing machinery and structures, and the
work (NSRF)Research Funding Program: Heracleitus II. Investing in knowl-
edge society through the European Social Fund. need to prolong their service life beyond the intent of the ini-
Corresponding author: T. H. Loutas (e-mail:loutas@mech.upatras.gr). tial design. Successful fault diagnostics and health monitoring
T. H. Loutas and D. Roulias are with the Applied Mechanics Laboratory, of structures and machines was for many years (and still is) the
Mechanical Engineering & Aeronautics Department, University of Patras,
GR-26500 Rio Patras, Achaia, Greece. main target towards a safe operation of machines and struc-
G. Georgoulas is with the Department of Informatics and Telecommunica- tures. Safety is the top priority, especially where human lives
tions Technology, Technological Educational Institute of Epirus, GR-47100, are involved. Over the last few years though, cost effectiveness
Greece.
Color versions of one or more of the figures in this paper are available online
and asset availability are becoming increasingly important in a
at http://ieeexplore.ieee.org. highly competitive international economical and business en-
Digital Object Identifier 10.1109/TR.2013.2285318 vironment. For example, the European Union envisions an in-
crease in aircraft availability by 30% with a reduction of main- [15] gives a thorough review of such methods. The scarcity of
tenance costs by 40% by the year 2050 [1]. This goal clearly run-until-failure data is probably the biggest problem for data
pushes the currently prevalent philosophy of periodic mainte- driven prognostics of mechanical systems in general. To over-
nance to predictive or condition-based maintenance (CBM), a come this shortfall, many groups have been experimenting with
concept existing since the 1950s. Modern CBM has two essen- extracting trend information, on-line, based on a single life his-
tial pylons: fault diagnostics, and failure prognostics. Prognos- tory. Such approaches adapt and update a data driven prediction
tics have increasingly drawn the attention of the engineering model continuously during the components operation. Chen et
community over the last decade, and the literature is expanding al.. [5], [16] utilized Bayesian updating theory in a stochastic
in a field that was considered terra incognita a few years ago. particle-filtering perspective to calculate the RUL probability
Prognosis in engineering systems is usually expressed with density function (PDF) in a ready-to-use .NET architecture
the estimation of the mean time to failure (MTTF), or the re- with better prediction capability compared to an adaptive
maining useful life (RUL); the latter has actually prevailed in the neuro-fuzzy inference system. They applied their algorithm in
relevant literature as a term. RUL, though, should be different vibration data from a cracked planetary gear carrier plate in an
(and actually less) than MTTF in the sense that the operational epicyclic gearbox as well as in rolling bearings. The model pa-
end-of-life of an asset is not the actual failure but a rather ear- rameters were updated on-line to follow the degradation trend.
lier stage as failure usually implies a more costly maintenance. Boskoski et al.. [17] used Gaussian non-parametric process
The RUL of a system is considered as a random variable (of un- models to find the relationships between limited training condi-
known distribution) depending on the operational environment, tion monitoring data. The mean RUL and confidence intervals
as well as its age and history. were determined in bearing fault prognostics assuming that
Rolling element bearings are a very critical component in var- RUL follows a normal distribution. Di Maio and Zio [18]
ious machines, and account for 4555% of asynchronous motor have also utilised an on-line evolving prediction model. The
failures according to a report from the Electric Power Research model was based on a fuzzy point-wise similarity concept.
Institute (ERPI) [2]. In induction motors, the most common They were able to predict RUL along with its variance. Their
failure is also related to bearings, followed by stator winding procedure has been applied to the crack propagation dynamics
failures, and rotor bar failures [3]. Nowadays, diagnostics for of a component subject to fatigue. Comparison with particle
bearings have reached a level of maturity. Prognostics is still at filtering proved advantageous, and showed that the method
its infancy with a rapidly growing interest the last 10 years. was capable of successfully handling nonlinear dynamics and
A classification of the various prognostic approaches sug- non-Gaussian noise. Benkedjouh et al.. [19] utilized Support
gested in the literature is not globally agreed. Sikorska et al.. Vector Data Description (SVDD) and Principal Component
[4], in a recent review of machinery prognostics, considered Analysis (PCA) for the condition monitoring and forecasting
four main categories: knowledge-based models, life expectancy of bearings useful life. The SVDD is used to fit the trained data
models, artificial neural networks, and physical models. An- to a hypersphere in feature space such that its radius can be
other classification followed by many authors [5][8] is model used as a health indicator. The RUL was calculated by applying
(or physics)-based and data-driven approaches. Model-based the best power fit of the radius on the degradation signal. Saha
prognostics attempt to create a detailed mathematical model of et al.. [20] relied on Relevance Vectors Regression (RVR)
the behaviour of an engineering system and its deterioration for their prognostic framework. RVR is actually a Bayesian
throughout its service life. In this context, Yu and Harris [9] treatment of the classical SVR, and the PDF of RUL is thus
developed a stress fatigue life model for ball bearings. Classic provided. They used their approach to predict the discharging
bearing failure modes are also predicted by theoretical models of Li-Ion batteries. Di Maio et al.. [21] also used the RVMs
such as L10 life calculations. Bolander et al.. [10] have recently framework to sparsely represent degradation data, and in line
provided a physics-based remaining useful life (RUL) predic- with exponential regression predict the RUL in thrust bearings.
tion model for aircraft engine bearings. They validated their Their approach does not need lifetime data to perform any
model by a full-scale lifelong bearing test. In [11], the Paris-Er- training, but needs an a priori knowledge of a failure threshold.
dogan model is used to predict the crack propagation in bear- Widodo and Yang [22] developed an intelligent system using
ings and forecast the crack size. Li and Choi [12], and Li and survival analysis and support vector machines (SVMs) to
Lee [13] also proposed the Paris-Erdogan law, coupled with a predict the survival probability of bearings. Gebraeel et al..
finite element model, to represent the time evolution of a tooths [23], and Tian [24] used Artificial Neural Networks (ANNs)
crack in a gear. The Paris-Erdogan law has also been used in [14] for bearing remaining useful life estimation.
to model a crack propagation in a helicopters gearbox pinion, Tobon-Mejia et al.. [5], and Medjaher et al.. [25] adapted a
and to estimate the corresponding RUL of the component. In Mixture of Gaussians Hidden Markov Models (MoG-HMMs)
general, physics based models have only limited application be- for RUL prediction along with the respective confidence in-
cause in real life operating assets numerous unexpected or non tervals. Dong and He [26], and Peng and Dong [27] adopted
linear mechanisms of degradation can occur. a Hidden Semi Markov framework for RUL estimation in
Data-driven methodologies use indirect data (such as con- engineering assets. Sutrisno et al.. [28] developed and assessed
dition monitoring (CM) data) and artificial intelligence or various prognostic methods. These included linear and ex-
machine learning statistical tools to train a system, usually ponential model adaptation, PCA-Least Square SVR models
through lifetime data, and use it to estimate the RUL. Being (without giving results or an indication on PCA utilization
simpler, though requiring historical or reliability data, statistical necessity though), and an empirical survival time ratio model
data-driven approaches have dominated the literature. Si et al.. based on vibration signatures. The results indicated that the
LOUTAS et al.: REMAINING USEFUL LIFE ESTIMATION IN ROLLING BEARINGS UTILIZING DATA-DRIVEN 823
latter method performed optimally for RUL estimation in to this problem is given in the support vector context, stated as
bearings. follows.
Gebraeel et al..[29] also proposed methodologies for the Given a parameterization
Bayesian updating of the stochastic parameters of exponential
degradation models developed for bearings degradation his- (1)
tories that exhibit either iid or Brownian error characteristics.
Elwany et al.. [30], as well as Kaiser et al.. [31] proposed find which minimizes the following functional
models for RUL estimation and update. At the same time, they
evaluated the probability distribution of RUL at every time (2)
step, which is essential for reliable RUL estimation models.
In this paper, a data-driven prognostic methodology is pro-
posed based on probabilistic SVR for the step by step predic- The second term of the functional is an -insensitive cost func-
tion of the RUL of ball bearings. The RUL prognosis scheme is tion, and that is where the -SVR name comes from. To add
developed and tested on the PRONOSTIA dataset provided by generality and flexibility to the method, slack variables and
FEMTO-ST in France [32]. The model is trained and calibrated are incorporated. The optimization problem is modified as
off-line, utilizing information from the past lifelong histories,
and then tested in unseen data, which are those data that do not
(3)
participate in the training phase.
The paper is organised as follows. Section II provides a short
presentation of -SVR theory and formulation. Because in prog- with the constraints
nostics the estimation of the variance of the RUL prediction is
essential [33] for reliability purposes, a method to obtain the
variance of the prediction at each testing point is also given.
Section III deals with the signal processing of the sensors (ac-
celerometers) recordings. A procedure for feature extraction, as (4)
well as feature pre-processing, is analytically described. More-
over, a new feature (i.e., Wiener entropy or spectral flatness) is which is a quadratic optimization problem with linear con-
proposed for CBM purposes for the first time. Section IV pro- straints. The term at (3) corresponds to an
vides a short description of the experimental bearing database. upper bound to the number of points not belonging to function
In Section V, the results from the proposed prognostic method- f, where N is the number of points that reside outside the
ology are presented, and a discussion on the prognostic perfor- margin. Constant regulates the trade-off between a smoother
mance follows in Section VI. A classical linear ridge regression or a more accurate interpolation function, and it is a parameter
technique is also applied to highlight the improved performance provided by the user. A large reduces the training error, but
of the SVR approach. Finally, the most important conclusions increases the model complexity, i.e., the number of support
are summarized in Section VII. vectors, and therefore the training time and possibly general-
Being aware of the literature up to the point of submission ization ability. A smaller results in a less complex model
of the current work, probabilistic SVRs have not been utilized with higher mean square error, but possibly resulting in better
for RUL predictions; and, together with the incorporation of the generalization. The final, dual optimization problem can be
Wiener entropy (WE) as a potent CBM feature, consist of the formulated as follows.
main novelties of the proposed methodology. At the time of Find and , , such that the quadratic form
the submission, a paper in press appeared by the developers of is maximized,
the PRONOSTIA test-bench that utilized SVR (in a non-prob-
abilistic fashion) for step-ahead prediction and RUL estimation
based on a priori knowledge of a failure threshold [34].
(5)
II. -SUPPORT VECTOR REGRESSION
Support vector machines are a concept introduced by Vapnik
[35] which became very popular over the last few years for both subject to
classification and regression problems. In principle, SVR is ad-
vantageous over conventional regression techniques as it maps
in a non-linear fashion the original input data to a higher dimen-
sion in Hilbert space via kernel functions [36]. Lets suppose (6)
a set of n observations is provided. In the most general case,
each observation lies in an M-dimensional space, , where and , are the Lagrange multipliers. The objective
. At the same time, a desirable mapping is pro- function at (5) is convex. This result means that a unique
vided for each observation vector. Lets also assume a set of deterministic solution to the optimization problem can always
target values that comprises the vector of mappings. be found. Fig. 1(a) shows a two-dimensional space with a pro-
Regression is the problem of finding a transformation such posed linear interpolation function used for regression, whereas
that in the best possible way. A good answer in Fig. 1(b) the linear -insensitive loss function can be seen.
824 IEEE TRANSACTIONS ON RELIABILITY, VOL. 62, NO. 4, DECEMBER 2013
Various loss functions exist, the interested reader can refer to is the likelihood of the model, and is assumed to be
Gao et al. [37]. an exponential function over the SVR loss function (as depicted
By solving the optimization problem in (5), we get the SVM in Fig. 1(b). is the prior probability density function,
regression function which is assumed to be a zero mean Gaussian process.
is called the evidence of the model. It is actually the likelihood
(7) of the model integrated over all training set model prediction
values. The exact calculation of every term of (11) is impos-
sible. Therefore, Gao et al.. [37] resorts to the Gaussian distri-
As in the case of SVMs for classification, an extension to non- bution. With this assumption, an estimation of the variance of
linear SVR can be achieved using the kernel trick leading to the the posterior probability is obtained as
solution
(13)
(8)
(11) (16)
LOUTAS et al.: REMAINING USEFUL LIFE ESTIMATION IN ROLLING BEARINGS UTILIZING DATA-DRIVEN 825
Fig. 2. Spectral flatness as a function of operational time for three different lifelong rolling element bearing tests.
III. FEATURE EXTRACTION be applied to divide the vibration spectrum into theoretically
equally spaced frequency bands for further reasoning.
The development of a robust CBM diagnostic and prognostic
scheme comprises several steps. The first step is to identify fea- B. Wiener Entropy or Spectral Flatness
tures that are most relevant to the phenomenon under consid-
Wiener entropy or spectral flatness is a feature associated to
eration, in our case the gradual degradation of a rolling ele-
the power spectrum of a time-series. It is a measure of the in-
ment bearing. These features are extracted from the recorded
formation content of the noisy time-series, and its expression is
acceleration waveforms. As the feature extraction task can lead
given by the ratio of the geometrical mean of the power spec-
to numerous features, there are a few criteria that may define
trum coefficients to its arithmetic mean:
a potentially interesting CBM descriptor. First, a good feature
must possess as low volatility as possible. The volatility can be
reduced with an outlier detection or filtering scheme. Second, (18)
with the assumption that the structural integrity of the mechan-
ical asset is constantly deteriorating throughout its operation, a
good CBM feature should exhibit monotonic behavior, either where is the power spectrum calculated at each frequency
increasing or decreasing. and kmax is the number of spectral lines. Spectral flatness
inherently takes values from in the range . Flatness equal
A. Time-Frequency Domain Features to one implies a totally uniform spectrum, which is white noise,
Various features from the time and frequency domain can be whereas zero flatness implies a single frequency i.e., a sinusoid.
extracted for CBM purposes [39]. Time-frequency analysis is The vibration signal obtained from an accelerometer
another interesting option via the powerful wavelet or wavelet mounted on a bearing case is expected to increase its flatness
packet transform. Wavelet-based feature extraction in CBM be- while degradation is progressing. In the beginning of the assets
came the state-of-the-art over the last 15 years [40] as infor- operation, the acceleration signal should contain a modulated
mation from the joint time-frequency domain becomes avail- band that stems from the normal operation of the motor. While
able in a computationally efficient manner, as opposed to the bearing degradation is progressing, the acceleration signal
time-frequency transformations of Cohens class (Wigner-Ville, becomes infested with higher harmonics and resonances.
Choi-Williams etc). Fig. 2 shows various spectral flatness evolutions versus test
Wavelet transform of a 1-D real signal is the atomic decom- times for three bearing degradation experiments, and verifies
position of the signal in scaled and shifted versions of a basis the increasing character due to degradation. Interestingly
function called the mother wavelet, enough, their evolution is monotonic with time as expected,
and additionally they possess relatively small volatility. To the
authors knowledge, this is the first time that spectral flatness is
(17) explored for condition monitoring purposes.
(19)
Fig. 4. Typical RMS time series for two lifelong bearing experiments: (a), and (c) are RMS histories from case 1, and case 2 bearings respectively; and (b), and
(d) are a zoom in the change-point due to critical fault occurrence.
from the case 2 operating condition. Three histories are held from the time, frequency (via FFT), and time-frequency (via
for training a RUL expert system, and one for testing. An WPT) domains, we chose as input to the SVR the ones that
RMS threshold defines the end of the bearings life in each exhibit the most monotonic behavior during the test time.
experiment. Concerning case 1, the three training life histories Spearmans rank correlation coefficient was utilized towards
are 124, 110, and 19 minutes long, and the testing life history the direction of finding the most monotonic features among
is 117 minutes. Similarly, for case 2, the three training life many candidates from the time or frequency or joint time-fre-
histories are 333, 131, and 350 minutes long, and the testing quency domains. The WPT nodal energies and the spectral
life history is 174 minutes long. flatness were among the ones with the highest scores on an
ensemble averaging of all training tests. Regarding the WPT,
V. PROPOSED METHODOLOGY AND RESULTS the db10 mother wavelet (Daubechies mother wavelet with 10
Tests from the two first operational conditions of vanishing moments) basis was utilized for the decomposition.
PRONOSTIA were utilized (cases 1 and 2). The record- Three levels of decomposition were chosen resulting in 23 end
ings under consideration extend from the beginning of the branches. The percentage of energy corresponding at each WP
test up to the point that vibration RMS crosses a predefined node is calculated as the final feature. Also the spectral flat-
threshold associated with the critical fault. This threshold is set ness of each waveform was obtained because it exhibited low
at 1 mV RMS and was derived by visual inspection of all the volatility and highly monotonic behavior for all experiments.
PRONOSTIA bearing histories confirming that in every test For different training sets, the feature set may differentiate
case it came after the critical fault occurrence. After subtracting as the features do not exhibit a similar behavior globally in the
the mean from each waveform, the feature extraction task database. A feature with high Spearmans coefficient for one
commenced, and several statistical features were extracted and experiment may prove low for another. This issue is tackled
assessed. with the ensemble averaging, and is one of the drawbacks of
In Section III, we discussed the desirable characteristics of the PRONOSTIA dataset which could be an issue in real-life
the candidate CBM features. Feature extraction is a critical step applications.
for an effective buildup of a robust diagnostic or prognostic Both sensor recordings were incorporated into the prognostic
scheme. Among the various features (more than 60) extracted scheme. When reliable sensor data are used, combining mul-
828 IEEE TRANSACTIONS ON RELIABILITY, VOL. 62, NO. 4, DECEMBER 2013
TABLE III
FINAL HYPERPARAMETER VALUES AFTER THE TUNING PROCEDURE
Fig. 7. (a) Prognosis results on case 1 operational data, and (b) A zoom-in of the last few minutes.
Fig. 8. (a) Prognosis results on case 2 operational data, and (b) A zoom-in of the last few minutes.
VI. DISCUSSIONPROGNOSTIC PERFORMANCE For a more quantitative assessment, certain prognostic per-
Observing the resulting trends of the predicted RUL as op- formance criteria were utilized. SCC, MSE, Prognostic Horizon
posed to the actual RUL (Figs. 7 and 8), it is evident that the (PH), Cumulative Relative Accuracy (CRA), and Mean Abso-
proposed methodology follows satisfactorily the degradation lute Percentage ERror (MAPER) were used as the basic prog-
trend of the test-set bearings. Fig. 7(a) depicts the predicted nostic performance criteria introduced in [33]. These criteria
RUL plotted in the same graph with the actual time to critical were measured between the predicted normalized RUL and the
error for the case 1 mode. It shows that in case 1 the predic- actual normalized RUL.
tions initially overestimate the RUL; but as the end-of-life ap- PH is the first time at which the actual RUL lies within the
proaches, the predictions tend to reach the actual remaining life confidence interval.
and oscillate around it. A reason for this tendency is the value of Precision, MAPER, and CRA are respectively defined as
the mean time to failure, which was measured on a statistically
small training set of three tests, and was found to be almost 300
minutes. This value varied substantially for one of the testing set (20)
bearing . However, the model manages to cap-
ture the minute to minute degradation process eventually, and
this happens after an hour or so. Case 2 predictions in Fig. 8 are (21)
from an engineering point-of-view more successful as they un-
derestimate RUL. This is a result which is always on the safe
side for any mechanical asset. (22)
LOUTAS et al.: REMAINING USEFUL LIFE ESTIMATION IN ROLLING BEARINGS UTILIZING DATA-DRIVEN 831
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estimation of critical components with application to bearings, IEEE chines, ACM Trans. Intell. Syst. Technol., vol. 2, no. 3, pp. 27:127:27,
Trans. Rel., vol. 61, no. 2, pp. 292302, 2012. 2011.
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(HSMM)-based diagnostics and prognostics framework and method- Learning. Berlin, Germany: Springer-Verlag, 2009.
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[27] Y. Peng and M. Dong, A prognosis method using age-dependent
hidden semi-Markov model for equipment health prediction, Mech.
Syst. and Signal Processing, vol. 25, no. 1, pp. 237252, 2011.
[28] E. Sutrisno, H. Oh, A. Vasan, and M. Pecht, Estimation of remaining Theodoros H. Loutas is Lecturer of Non Destructive Testing and Structural
useful life of ball bearings using data driven methodologies, in PHM Health Monitoring in the Dept. of Mechanical Engineering and Aeronautics
20122012 IEEE Int. Conf. on Prognostics and Health Manage.: of the University of Patras, Greece. His research interests are in the fields of
Enhancing Safety, Efficiency, Availability, and Effectiveness of Syst. Structural Health and Condition Monitoring with techniques such vibrations,
Through PHM Technol. and Applicat., 2012. ultrasound with guided waves, acoustic emission, and acousto-ultrasonics. He
[29] N. Gebraeel, M. Lawley, R. Li, and J. Ryan, Residual-life distribu- is also interested in the diagnostics and prognostics of rotating machinery and
tions from component degradation signals: A Bayesian approach, IIE equipment, as well as the mechanics and the mechanical behavior of advanced
Trans., vol. 37, pp. 543557, 2005. materials (metals, composites, nano-composites). He has published work in the
[30] NG. Gebraeel, A. Elwany, and J. Pan, Residual life predictions in the form of 25 journal papers and 31 conference papers.
absence of prior degradation knowledge, IEEE Trans. on Rel., vol. 58,
no. 1, 2009.
[31] KA. Kaiser and NZ. Gebraggl, Predictive maintenance management
using sensor-based degradation models, IEEE Trans. Syst., Man, Cy-
bernetics part A: Syst. and Humans, vol. 39, no. 4, 2009. Dimitrios Roulias is an Electrical Engineer and Ph.D. candidate at the Mechan-
[32] P. Nectoux, R. Gouriveau, K. Medjaher, E. Ramasso, B. Morello, N. ical Engineering and Aeronautics Department, University of Patras, Greece. His
Zerhouni, and C. Varnier, PRONOSTIA: An experimental platform research interests lie in the field of pattern recognition and signal processing for
for bearings accelerated life test, in PHM 20122012 IEEE Int. Conf. non-destructive testing in composite structures, as well as rotating machinery.
on Prognostics Health Manage.: Enhancing Safety, Efficiency, Avail-
ability, and Effectiveness of Syst. Through PHM Technol. and Applicat.,
2012.
[33] A. Saxena, J. Celaya, B. Saha, S. Saha, and K. Goebel, Metrics for George Georgoulas received his Diploma, and Ph.D. degrees from the De-
offline evaluation of prognostic performance, Int. J. Prognostics and partment of Electrical and Computer Engineering of the University of Patras
Health Manage., 2010. in 1999, and 2006, respectively. From 2006 to 2008, he was a post-doctorate
[34] T. Benkedjouh, K. Medjaher, N. Zerhouni, and S. Rechak, Health as- fellow with the Intelligent Control Systems Laboratory (ICSL) at Georgia Tech
sessment and life prediction of cutting tools based on support vector working on diagnostic and prognostic systems. Currently, he is a research as-
regression, J. Intell. Manufacturing, Article in Press, pp. 111, 2013. sociate with the Knowledge and Intelligent Computing laboratory at the Tech-
[35] V. Vapnik, The Nature of Statistical Learning Theory. Statistics for En- nological Educational Institute of Epirus, Greece. Dr Georgoulas has published
gineering and Information Science, Second ed. : SpringerVerlag, over 60 journal and conference papers, and holds a Greek Patent in the detection
1995. of broken bar faults in induction machines.