Available online at www.sciencedirect.

com
Available online at www.sciencedirect.com
Available online at www.sciencedirect.com

ScienceDirect
Procedia Computer Science 00 (2019) 000–000
Procedia
Procedia Computer
Computer Science
Science 00(2020)
175 (2019)88–95
000–000 www.elsevier.com/locate/procedia
www.elsevier.com/locate/procedia

The 17th International Conference on Mobile Systems and Pervasive Computing (MobiSPC)
The 17th International Conference
August on Mobile
9-12, 2020,Systems
Leuven,and Pervasive Computing (MobiSPC)
Belgium
August 9-12, 2020, Leuven, Belgium
An
An Weighted
Weighted CNN
CNN Ensemble
Ensemble Model
Model with
with Small
Small Amount
Amount of
of Data
Data for
for
Bearing Fault Diagnosis
Bearing Fault Diagnosis
Seungmin Hanaa , Jongpil Jeonga,∗
a Dept.
Seungmin Han , Jongpil Jeonga,∗
of Smart Factory Convergence Sungkyunkwan University, Suwon, Gyeonggi-do, 16419, Republic of Korea
a Dept. of Smart Factory Convergence Sungkyunkwan University, Suwon, Gyeonggi-do, 16419, Republic of Korea

Abstract
Abstract
Rolling bearings are undoubtedly one of the key components in rotating machines. Bearing failure can adversely affect not only
Rolling bearingsfailures,
on mechanical are undoubtedly
but also onone of the key
operation components
schedules, in rotating processes.
and production machines. Bearing
Therefore,failure can adversely
the fault diagnosis affect
of thenot only
bearing
on mechanical failures, but also on operation schedules, and production processes. Therefore, the fault diagnosis
is a very important field. Recently, many machine learning and deep learning researches have been conducted and deep learning of the bearing
is a very important
approaches field. shown
usually have Recently, many
better machine
results. learning
Although, deepandlearning
deep learning researches
approaches have been
have shown goodconducted andofdeep
results, most openlearning
source
approaches usually have shown better results. Although, deep learning approaches have shown good results,
bearing data was created in a slightly different environment from the actual factory environment by using clear data generated most of open sourceby
bearing data was
the simulator created
so that in a slightly
it usually shows different environment
great results. from
Also, deep the actual
learning factory environment
approaches by using
need huge amount cleartodata
of data generated
train by
the model.
the simulator
Therefore, so that
in this it usually
paper, shows agreat
we provided methodresults. Also, deep
to address theselearning approaches
issues. Firstly, needGaussian
we added huge amount
noiseoftodata
CWRUto train
(Case theWestern
model.
Therefore, in this paper,
Reserve University) we to
dataset provided a method
set it closer to the to address
actual these
factory issues. Firstly,
condition. we added
Secondly, Gaussian
we adopted noisethat
a model to obtains
CWRU higher
(Case Western
stability
Reserve University) dataset to set it closer to the actual factory condition. Secondly, we adopted a model
and accuracy than a normal CNN (Convolutional Neural Network) by constructing the weighted arithmetic mean CNN ensemble that obtains higher stability
and accuracy
model. than of
As a result a normal CNN (Convolutional
the accuracy Neural Network)
and F-1 score analysis, the proposedby constructing
model showed thebetter
weighted
resultarithmetic mean CNN
than the simple CNN and ensemble
CNN
model.
ensembleAsaveraging
a result ofmodel.
the accuracy and F-1 score analysis, the proposed model showed better result than the simple CNN and CNN
ensemble averaging model.
c 2020

© 2020 The
The Authors.
Authors. Published
Published by
by Elsevier
Elsevier B.V.
B.V.
c 2020

This The
is an Authors.
open accessPublished by Elsevier
article under B.V.
the CC BY-NC-ND
BY-NC-ND license
license (http://creativecommons.org/licenses/by-nc-nd/4.0/)
(http://creativecommons.org/licenses/by-nc-nd/4.0/)
This is an open
Peer-review access
under article under
responsibility
responsibility of theConference
ofthe
the CC BY-NC-ND
Conference license
Program
Program (http://creativecommons.org/licenses/by-nc-nd/4.0/)
Chair.
Chairs.
Peer-review under responsibility of the Conference Program Chairs.
Keywords: Deep Learning; Convolutional Neural Network, Ensemble; Data Augmentation; Bearing Fault Diagnosis;
Keywords: Deep Learning; Convolutional Neural Network, Ensemble; Data Augmentation; Bearing Fault Diagnosis;

1. Introduction
1. Introduction
Rolling bearings have been widely applied in various rotating machines. Damaged bearings can degrade machine
Rolling bearings
performance, havealso
reliability, beenlead
widely applied
to huge in various
economic rotating
losses machines. Damaged
and unnecessary downtime.bearings
For thiscan degrade
reason, machine
bearing fault
performance,
diagnosis has become an important field of research in the industry. In addition, with the rapid development offault
reliability, also lead to huge economic losses and unnecessary downtime. For this reason, bearing the
diagnosis hasfault
IoT industry, become an important
diagnosis fieldthe
has entered of big
research in the
data area andindustry. In addition,
data analysis with through
is possible the rapidmachine
development
learningof and
the
IoT industry, fault diagnosis has entered the big data area and data analysis is possible through machine
deep learning. There are two main approaches to diagnosing bearing faults: traditional machine learning [1] and deep learning and
deep learning.
learning Thereare
[2]. There arelots
twoofmain approaches
researches to diagnosing
on machine learningbearing
in faultfaults: traditional
detection machine
in this field, learning
however, [1] shortages
some and deep
learning [2]. There are lots of researches on machine learning in fault detection in this field, however, some shortages

∗ Corresponding author. Tel.: +82-010-9700-6284 ; fax: +82-031-290-5569.

∗ Corresponding
E-mail address:author. Tel.: +82-010-9700-6284 ; fax: +82-031-290-5569.
jpjeong@skku.edu
E-mail address: jpjeong@skku.edu
1877-0509  c 2020 The Authors. Published by Elsevier B.V.
1877-0509
This c 2020

is an open Thearticle
access Authors. Published
under by Elsevier B.V.
the CC BY-NC-ND license (http://creativecommons.org/licenses/by-nc-nd/4.0/)
1877-0509
This © 2020
is an open Thearticle
access Authors. Published
under by Elsevier B.V.
the Conference
CC BY-NC-ND license (http://creativecommons.org/licenses/by-nc-nd/4.0/)
Peer-review under responsibility of the Program Chairs.
This is an open access article under the CC BY-NC-ND license (http://creativecommons.org/licenses/by-nc-nd/4.0/)
Peer-review under responsibility of the Conference Program Chairs.
Peer-review under responsibility of the Conference Program Chairs.
10.1016/j.procs.2020.07.015
 Seungmin Han et al. / Procedia Computer Science 175 (2020) 88–95 89
2 Author name / Procedia Computer Science 00 (2019) 000–000

exist. The traditional machine learning approaches usually need the manual feature extractions [3] depending on the
experts who have professional skills and techniques. In addition, when the physical characteristics or the various
conditions of the bearings load are changed, the feature extractor must be redesigned to reconstruct the existing
algorithm.
Recently, deep learning has been used more than machine learning since a lot of researches have shown that deep
learning is more effective than machine learning in bearing fault diagnosis. Among deep learning models, In particular,
CNN (Convolutional Neural Network) [4]is one of the most used algorithms in deep learning and has reached great
results. There’s also a famous bearing dataset that are created by CWRU (Case Western Reserve University) [5].
CWRU dataset is what stored signals by sensors on the bearings in the normal state and damaged states through the
simulator. Here we have two issues on this dataset. First, CWRU’s dataset is not an actual factory-generated data so
that it achieves high accuracy, but it doesn’t guarantee high accuracy in an actual factory condition because various
factors such as noises affect extracting data. Second, creating a deep learning model requires a large amount of data to
train the data. Deep learning models cannot achieve high accuracy with small amount of data. Usually, many factories
are suffering from deep learning applications due to the lack of absolute amount of data.
In order to solve these two problems, we present this solution in this paper. First, we experimented after adding
Gaussian noise to CWRU’s data to make the bearing data closer to an actual factory environment. Second, we proposed
the weighted arithmetic mean ensemble CNN model. The weighted arithmetic mean CNN ensemble model is a method
of arranging 10 common CNN models and giving weighted values according to the number of train data. Through the
model, we validated that with the Gaussian noise added, the weighted arithmetic mean ensemble CNN method was
more stable and more accurate than the normal CNN and CNN ensemble averaging model.
The following order of this paper is as follows: Section 2 discusses related work in this paper, Section 3 discusses
the CNN-based ensemble model, experiments in Section 4, and conclusions in Section 5.

2. Related Work

2.1. Convolutional Neural Network (CNN)

CNN is one of the most frequently used neural network in deep learning [6] [7]. It is specialized for pattern
recognition, and image classifications [8]. CNN is a feed forward network in which information is not periodic and
flows in one direction. The CNN is a multistage neural network consisting of several filter stages and a classification.
The functions of each layer of CNN will be described as follows. Generally, CNN consists of three kinds of layers:
Convolutional, Pooling, and fully-connected layers. Each layer is explained as below.

2.1.1. Convolutional Layer

The convolutional layer contains a set of filters that need to learn the parameters. Each filter is combined with the
input volume to extract the local function of the input local area through weight sharing and calculate the activation
map made of neurons. After that, the output is obtained by stacking the activation maps of all filters according to the
depth. The CL then generates an output function map through a series of kernel weights and activation functions. A
rectifying linear unit (ReLU) which is widely used in the neural network field was used as an activation function. The
output of CL can be expressed as a mathematical equation as follows:


xlj = f ( i∈M j xil−1 ∗ kil j + bij ) (1)

f denotes an activation function, k is the kernel, M j is the corresponding to an input; l denotes the order of layer in
the network.

2.1.2. Pooling Layer

The pooling layer is typically located behind of the convolutional layer. It operates as a sub-sampling that integrates
similar functions and decrease the number of parameters. The max-pooling layer calculates the maximum value for
90 Seungmin Han et al. / Procedia Computer Science 175 (2020) 88–95
Author name / Procedia Computer Science 00 (2019) 000–000 3

each patch of the feature map. The result of using a pooling layer is a summary version of the features detected in
the input. This is useful because changing the position of the feature in the input detected by the convolutional layer
creates a pooled feature map with features in the same location. The max-pooling [9] is described as below:

 
Pl+1
i ( j) = max Qli (t)
( j−1)W+1<t x ≤ jW (2)
( j−1)H+1<ty ≤ jH

Pl+1 l
i ( j) is the the corresponding to the neuron in layer l +1. Qi (t) is corresponding to the tth neuron in the ith frame
of layer l, and W, H denotes width and height respectively.

2.1.3. Fully-Connected Layer

The fully-connected layers convert the output of 2-dimensional feature map into 1-dimensional vectors. All neurons
are fully connected to the neurons in subsequent layers and adjacent layers. The output of the softmax function has
the value between 0 and 1.

2.2. Weighted Arithmetic Mean

Deep neural networks are nonlinear models that are useful for learning complex relationships between variables.
However, because it is very sophisticated, even small changes in data can cause large changes in predictions. Also,
not all data in deep neural networks have the same importance. Even data that does not have the same importance
can have an adverse effect on predictions because the same weights are transmitted in a normal deep neural network.
To address this problem, we applied the weighted arithmetic mean to the CNN model introduced in Section 3. The
weighted arithmetic mean is a measurement of the central tendency of a series of quantitative observations when all
observations are not of equal importance.

n

xi×wi
x̄ = i=1
n
 (3)
wi
i=1

x corresponds to a quantitative variable, and w corresponds to a weight. Thus, x1, x2, x3 ... xn are n sets of quantitative
variables x that assign weights w1, w2, w3, ...wn.

3. CNN-Based Ensemble Model

3.1. CNN Model Architecture

The detailed parameters of the proposed CNN are written in Table 1. We applied 5 × 5 filter size for convolutional
layers and 2 × 2 stride size for the Pooling layers. We applied 1600 neurons for the fully-connected layer. In addition,
the structure of the CNN is described in Figure 1 to make it easier to understand. The CNN used is composed of a
relatively simple model. We tried to construct a complex structured CNN, but the accuracy was rather low. Presumably,
the deeper the structure of the CNN, the more information it loses during the pooling process because we experimented
with dataset which has small amount of data.
 Seungmin Han et al. / Procedia Computer Science 175 (2020) 88–95 91
4 Author name / Procedia Computer Science 00 (2019) 000–000

Table 1. Detailed Architecture of The Proposed CNN

No. Layer Output size Filter size Stride size

1 Input 20×20 × 1
2 Convolutional 1 20×20 × 32 5×5
3 ReLU 20×20 × 32
4 Maxpooling 1 10×10 × 32 2×2
5 Convolutional 2 10×10 × 64 5×5
6 ReLU 10×10 × 64 5×5
7 Maxpooling 2 5×5 × 64 2×2
8 Flatten 1×1 × 1600 5×5
9 Fully-connected 1×1 × 1600
10 Softmax 1×1 × 10

Fig. 1. CNN Model Architecture

3.2. Proposed Model

The proposed model is shown in Figure 2. As mentioned in section 3, we constructed an ensemble model using 10
CNNs with the same model architecture. In 10 CNNs, 3 CNNs were assigned 400 training data, and the remaining
7 CNNs were assigned 800 training data. In order to compare the results according to weight, we experimented to
find the optimal weight by increasing the weight to 2, 4, 6, 8, and 10 times. We also experimented with the ensemble
averaging technique which is a similar model but without giving weights to compare the performance of the proposed
model. Within this ensemble model, we were able to reduce the variance of the model and achieve higher accuracy
than a single model.
92 Seungmin Han et al. / Procedia Computer Science 175 (2020) 88–95
Author name / Procedia Computer Science 00 (2019) 000–000 5

Fig. 2. Weighted Arithmetic Mean Ensemble CNN Model Architecture

4. Experiments

4.1. Dataset Description

We used data from CWRU bearing fault dataset to evaluate the performance of the proposed model. Four types
of faults can be seen in Figure 3, normal, inner race fault, outer race fault, ball race fault, which are converted from
1-Dimensional vibration signal into 2-Dimensional image data [9]. After we converted the one-dimensional vibration
signal to two-dimensional image data, we added Gaussian noise into the data to set it closer to an actual factory
condition as mentioned in the Introduction. In Figure 4, the image with Gaussian noise added into the data [10] in
Figure 3 can be seen.

Fig. 3. 2-D images of bearing faults

Fig. 4. 2-D images of bearing faults (Gaussian noise added)

4.2. Experimental Configuration

Keras deep learning library was used with a Tensorflow backend which is effective for deep learning. We created
an CNN ensemble model from 10 single CNN models [11]. We trained our proposed network using Adam optimizer,
64 batch size, and trained for 30 epochs. The system specification for the experiment is shown as below:
 Seungmin Han et al. / Procedia Computer Science 175 (2020) 88–95 93
6 Author name / Procedia Computer Science 00 (2019) 000–000

Table 2. System Specification for Experiment

Hardware Software
CPU : Intel
R Core i9-10900 CPU @ 2.80GHz Windows 10 Pro
Memory : 16GB Jupyter notebook with Python 3.7
GPU : NVIDIA G210

4.3. Results of Experiment

4.3.1. Accuracy Test

To evaluate the performance of the proposed model, we evaluated the model’s excellence through accuracy and F-1
score. In addition, in order to verify the stability of the model, 10 CNNs’ minimum and maximum values, ensemble
averaging, and the proposed model were tested 10 times each to derive the final result. The proposed model also
derived experimental results based on weights of 2, 4, 6, 8, and 10 times to derive experimental results based on
weight. The experimental results are as follows:

Fig. 5. Results of accuracy test

Table 3. The Result of Accuracy Test

Accuracy 1 2 3 4 5 6 7 8 9 10 Average

CNN (Min) 91.90 90.90 91.10 89.90 89.00 88.50 88.50 87.50 91.10 88.10 89.03
CNN (Max) 96.50 96.20 96.20 95.90 95.20 95.60 96.10 96.30 95.30 95.90 95.78
Ensemble Avr 96.10 96.10 95.90 95.30 94.90 95.80 94.30 95.50 93.30 96.10 95.07
x2 Weighted 96.70 96.90 96.20 96.10 96.90 96.20 96.30 96.10 96.20 96.30 96.31
x4 Weighted 96.70 96.90 96.70 96.77 96.47 97.00 96.91 96.10 96.18 96.22 96.53
x6 Weighted 96.70 96.90 97.10 97.10 96.90 96.80 96.90 96.90 96.90 96.30 96.83
x8 Weighted 96.12 96.91 96.41 96.49 96.49 96.91 96.41 96.40 96.73 96.08 96.50
x10 Weighted 97.22 96.72 96.44 96.49 96.44 96.43 96.48 96.4 96.4 96.25 96.42

Figure 5 shows the graph of the accuracy test results. According to the experimental results, the proposed model
reached higher accuracy than the other two models. Table 3 shows the results and average values of 10 experiments for
94 Seungmin Han et al. / Procedia Computer Science 175 (2020) 88–95
Author name / Procedia Computer Science 00 (2019) 000–000 7

each model. As expected, in the situation of lack of absolute data, it was validated that the deviation of the result was
quite large for a typical CNN. The Ensemble Averaging technique is stable, but sometimes has lower accuracy than the
proposed model. The proposed model achieved higher accuracy than CNN and CNN ensemble averaging techniques,
regardless of the weight size. Among them, the model weighted 6 times showed the best results with a slight gap.
Rather than unconditionally increasing the weight, it is more important to find the proper relationship between data
and weight.

4.3.2. F-1 score test

Fig. 6. Results of F-1 score test

Table 4. The Result of F-1 Score Test

F-1 score 1 2 3 4 5 6 7 8 9 10 Average

CNN (Min) 83.80 85.51 86.44 84.28 88.22 84.98 84.42 84.61 87.17 88.28 85.77
CNN (Max) 96.50 96.20 96.20 95.90 95.20 95.60 96.10 96.30 95.30 95.90 95.92
Ensemble Avr 95.24 94.99 95.28 95.63 95.55 95.27 95.33 95.66 95.78 95.68 95.44
x2 Weighted 96.10 95.87 96.13 96.24 95.59 96.27 95.39 96.25 96.38 95.78 96.00
x4 Weighted 96.70 95.18 95.68 96.85 96.74 96.25 96.23 96.81 95.98 96.11 96.74
x6 Weighted 96.35 96.24 96.14 96.87 95.98 95.95 95.87 95.48 96.21 96.33 96.14
x8 Weighted 96.90 97.00 96.80 96.88 97.01 96.91 96.84 96.68 96.69 96.55 96.83
x10 Weighted 95.90 95.82 96.02 96.04 96.15 95.99 95.84 95.86 95.88 95.64 95.91

Figure 6 shows a graph of F-1 score test results. The F-1 score is an indicator for evaluating the learning perfor-
mance of prediction and classification models. It is a harmonic mean of precision and recall. Expressed as a value
from 0 to 1, the higher the result, the better the performance. According to the experimental results, the proposed
model showed higher scores than the other two models, like the accuracy test. Table 4 shows the results and averages
of 10 experiments for each model. Although the proposed model performed better than the other two models, unlike
the accuracy test, the performance of the x8 weighted model showed the best result with very slight gap.

5. Conclusion

This paper shows a weighted arithmetic mean CNN ensemble model for bearing fault diagnosis. We constructed
with proper number of CNN layers for the datasets. The issue of CWRU dataset is that the data is too easy to get
 Seungmin Han et al. / Procedia Computer Science 175 (2020) 88–95 95
8 Author name / Procedia Computer Science 00 (2019) 000–000

high accuracy, so that we added Gaussian noise to the dataset to give penalties making it closer to the actual factory
condition. In addition, we applied the weighted arithmetic mean CNN ensemble model to improve the stability of
CNN model on small datasets.
The proposed model showed better results than the simple CNN, and CNN ensemble averaging model. The per-
formance of the proposed model was great because the ensemble model increases the stability when the amount of
data is small, because the weight affects the ratio of the amount of data input to the model, making the model advan-
tageous. However, it was confirmed that the higher the weight, the higher the accuracy, but the best accuracy when
the appropriate weight value was given according to the data. The x6 weighted model showed the best performance
on the accuracy test. The proposed model achieved an average accuracy of 1.05% and 1.76%, respectively, on average
compared to the general CNN model and the ensemble averaging model. The x8 weighted model showed the best
performance on the F-1 score test. it showed an average score of 0.91% and 1.39% respectively, on average compared
to the simple CNN model and the ensemble averaging model. In conclusion, we propose x8 weighted model because
it showed slightly bigger difference on F-1 score test comparing to the accuracy test.
In the future, we will extend our proposed model to use under the actual factory conditions. Furthermore, we will
test our proposed method on other DNN algorithms. Also, there are the possibilities to find more effective ensemble
models for the bearing fault diagnosis.

Acknowledgements

This research was supported by the MSIT (Ministry of Science and ICT), Korea, under the ITRC (Information
Technology Research Center) support program (IITP-2020-2018-0-01417) supervised by the IITP (Institute for In-
formation & Communications Technology Planning & Evaluation). This work was supported by the Smart Factory
Technological R&D Program S2727115 funded by Ministry of SMEs and Startups (MSS, Korea).

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