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Compressed sensing of roller bearing fault based on multiple down-sampling strategy

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 Measurement Science and Technology

Meas. Sci. Technol. 27 (2016) 025009 (9pp) doi:10.1088/0957-0233/27/2/025009

Compressed sensing of roller bearing fault

based on multiple down-sampling strategy
Huaqing Wang, Yanliang Ke, Ganggang Luo and Gang Tang1
School of Mechanical and Electrical Engineering, Beijing University of Chemical Technology,
Beijing 100029, People’s Republic of China

E-mail: tanggang@mail.buct.edu.cn

Received 4 October 2015, revised 21 November 2015

Accepted for publication 8 December 2015
Published 31 December 2015

Abstract
Roller bearings are essential components of rotating machinery and are often exposed
to complex operating conditions, which can easily lead to their failures. Thus, to ensure
normal production and the safety of machine operators, it is essential to detect the failures as
soon as possible. However, it is a major challenge to maintain a balance between detection
efficiency and big data acquisition given the limitations of sampling theory. To overcome these
limitations, we try to preserve the information pertaining to roller bearing failures using a
sampling rate far below the Nyquist sampling rate, which can ease the pressure generated by
the large-scale data. The big data of a faulty roller bearing’s vibration signals is firstly reduced
by a down-sample strategy while preserving the fault features by selecting peaks to represent
the data segments in time domain. However, a problem arises in that the fault features may
be weaker than before, since the noise may be mistaken for the peaks when the noise is
stronger than the vibration signals, which makes the fault features unable to be extracted by
commonly-used envelope analysis. Here we employ compressive sensing theory to overcome
this problem, which can make a signal enhancement and reduce the sample sizes further.
Moreover, it is capable of detecting fault features from a small number of samples based on
orthogonal matching pursuit approach, which can overcome the shortcomings of the multiple
down-sample algorithm. Experimental results validate the effectiveness of the proposed
technique in detecting roller bearing faults.

Keywords: roller bearing, fault diagnosis, multiple down-sample algorithm, compressive

sensing

(Some figures may appear in colour only in the online journal)

1. Introduction Generally speaking, vibration signals provide useful infor-

Roller bearings, which play an important role in ensuring the
stability of mechanical equipment, are critical components in
rotating machinery. A significant number of rotating machinery
accidents is attributed to the breakdown of roller bearings,
proving that it is essential to monitor the operating conditions
of roller bearings. However, due to the poor operating condi-
tions, the probability of roller bearing failures is often high,
thereby disrupting normal production and threatening the
safety of machine operators [1]. Thus, the fields related to the
fault diagnosis of roller bearings are increasingly developing.
1
 Author to whom all correspondence should be addressed.
mation for fault diagnosis, in that they reflect the current state
of roller bearings. Therefore, vibration-based diagnostic tech-
nique has become the most widely used method for roller
bearing fault diagnosis [2]. To evaluate the state of a roller
bearing, some statistical parameters used in time domain
analysis, e.g. mean value and kurtosis, are adopted as descrip-
tors for evaluating the performance of a roller bearing [3, 4].
Compared with time domain analysis, frequency domain anal-
ysis is preferable for directly extracting the fault character-
istic frequency generated by a faulty roller bearing. Moreover,
methods in frequency domain can indicate the location of
a fault. Envelope analysis is one of the most widely used
methods in the frequency domain, because it can identify the

0957-0233/16/025009+9$33.00 1 © 2016 IOP Publishing Ltd  Printed in the UK

Meas. Sci. Technol. 27 (2016) 025009
status of a roller bearing by highlighting the fault character-
istic frequency in the frequency spectra [5]. However, when
the vibration signals measured by sensors are polluted by
noise, the fault characteristic frequency will be drawn out,
especially for weak fault signals at the early stage. To over-
come this shortcoming of frequency domain analysis, some
methods of time-frequency domain analysis have been devel-
oped, such as short time Fourier transform [6], wavelet anal-
ysis [7], empirical mode decomposition [8, 9].Nevertheless,
most of the approaches mentioned above involve satisfying
the requirement of Nyquist sampling theory, which means
that a large number of vibration signals must be acquired for
fault diagnosis. Thus, collection and analysis at the Nyquist
sampling rate undoubtedly impose immense pressure on fault
diagnosis. Therefore, balancing the detection efficiency and
the big data acquisition has been a challenge for the fault diag-
nosis of roller bearings.
To ease the pressure on fault diagnosis caused by the
large-scale data, Lin et al [10] proposed a simple and effec-
tive down-sample method called Peak-Hold-Down-Sample
(PHDS) algorithm, which can be used to shrink vibration
signals generated from a faulty roller bearing. It selects the
peaks to represent entire data segments and remaining the
information pertaining to roller bearing faults. However, a
problem arises in that noise might be mistakenly considered
as peaks if the noise is stronger than the faulty vibration
signal. Consequently, the fault characteristic frequency ulti-
mately becomes weaker than before and cannot be extracted
by commonly-used envelope analysis. Owing to a developed
compressive sensing (CS) theory, the problem caused by
the PHDS algorithm may be solved. CS makes it possible
to reconstruct signals from a small number of samples far
below the Nyquist sampling rate [11–13]. Therefore, it has
been applied to image processing [14, 15], medical fields
[16], etc. However, its applications in the field of fault diag-
nosis are relatively few. Zhu et al [17] summarized several
applications of CS in the mechanical field, but no practical
applications were reported. Wang et al [18] proposed a time-
frequency method for sparse representation via CS, which
has been successfully applied to fault diagnosis. However,
this method requires complete reconstruction of original sig-
nals. Chen et al [19] proposed a method for fault diagnosis
via impulse components extraction based on a learned dic-
tionary through CS, but the samples required for fault diag-
nosis are still large.
In order to reduce the dimensions of monitoring vibration
signals while preserving the fault features and make them pos-
sibly detected, in the present paper, we develop a compressed
detection strategy of roller bearing fault based on multiple
down-sampling method. The dimensions of monitoring
vibration signals are firstly reduced by a down-sampling pro-
cessing, then we use a compressive sensing strategy to solve
the detection problem caused by inadequate samples without
complete reconstruction. Finally the bearing fault features can
be identified from under-sampled noisy signals by orthogonal
matching pursuit strategy. This novel method is proposed for
the fault feature detection of roller bearings, which can extract
the fault characteristic frequency from a small number of
2
H Wang et al
samples under the Nyquist sampling rate. Moreover, a fault
can be diagnosed during the recovery procedure without com-
plete reconstruction.
The rest of this paper is organized as follows. Section  2
introduces the basic concept of the multiple down-sample
method. The fault feature detection strategy for a roller bearing
is presented in section 3. Section 4 introduces the applications
of the multiple down-sample method for the fault detection of
roller bearings. Conclusions are drawn in section 5.
2.  Basic concept of the multiple down-sample
strategy
As a central principle of signal processing, the Nyquist sam-
pling theory, which states that the number of samples required
to the signal capture depends on its bandwidth, underlies
most sensing and signal processing methods. Under the con-
straints of the Shannon/Nyquist sampling theory, the number
of vibration signals increases, imposing immense pressure
on the fault diagnosis process. Therefore, it is necessary to
reduce the number of samples required for fault diagnosis, but
reducing the samples while preserving the fault features is a
great challenge.
Among the various fault features of a roller bearing, the
peak feature is of great importance because the vibration
signal generated by a roller bearing failure contains many
impulses. Thus, a simple and effective down-sample algorithm
called PHDS algorithm applied in time domain has been pro-
posed to preliminarily reduce the number of samples by using
peaks to represent data segments, while preserving the impor-
tant information closely related to fault features. As roller
bearing fault monitoring often contains large-scale vibration
signals with impulses, this kind of algorithm is suitable for
their dimensions reduction in time-domain processing. A brief
introduction of the PHDS algorithm is given below. For more
information, please refer to a previous study [10].
The first step of the PHDS algorithm involves division
of the original time-domain signal into several segments
according to a pre-defined down-sample ratio. Assuming that
s(t) is the original signal. Then, the first step can be described
as follows.
(t ) = [s(t0 ), s(t1), s(t2 ), , s(ti ), ] , 0 ⩽ i ⩽ N − 1
s(1)
(T ) = [S (T0 ), S (T1), S (T2 ), , S (Tj ), ], 0 ⩽ j ⩽ M − 1
S(2)
Where M  =  int(N/r) is the number of data segments and r
represents the pre-defined down-sample ratio.
The data segments can be written as
X (Tj ) = [s(ti ), s(ti + 1), s(ti + 2 ), , s(ti + r )]
(3)
Where ti ⩾ Tj and ti + r < Tj + 1.
The second step of the PHDS algorithm involves finding
peaks with a maximum absolute value in each segment to rep-
resent the data segment. The selection of the peaks depends
on the sign of the preceding and the sign change between the
maximum and minimum values within each signal segment.
To simplify the description, a denotes the maximum value and
b represents the minimum value in a data segment. If a and b
Meas. Sci. Technol. 27 (2016) 025009
Original vibration signal s(t)
Divide s(t) into m segments
Finding the maximum value ai and the
minimum value bi in ith segment
It is the first
segment?
NO
When ai is positive, the YES The sign of ai is
peak is ai, otherwise the
same to bi ?
peak is bi
Figure 1.  Flow chart of peak selection in ith segment.
have opposite signs, whether a or b is the peak depends on
the preceding element in the down-sample data segment. For
example, if the sigh of the preceding selected peak is nega-
tive, the selected peak should be positive and the maximum
of a and b will be the selected peak. However, if the sigh
of the preceding selected peak is positive, the selected peak
is the opposite of the maximum between a and b . In other
words, the sign of the selected peak must be opposite to that
of the preceding element, which is more suitable to represent
the vibration signals. However, if a and b have the same sign,
the selection of peaks relies on the sign of a. When a is nega-
tive, the peak is b, otherwise the peak is a. Therefore, it can be
ensured that the selected peaks have the maximum absolute
value. However, the selection of the peak in the first data seg-
ment is an exception, because it has no preceding element to
compare with. Therefore, the peak in the first signal segment
depends on the absolute value of a and b. If a > b , the peak
is a, otherwise the peak is b. The flow chart for peak selected
in the ith segment is shown in figure 1.
The number of vibration signals is first reduced by the
application of the PHDS algorithm, which ensures that the
fault features of the roller bearing are preserved. However,
because of the influence of noise, the selected peaks are not all
fault features. Consequently, the fault features become weaker
than before and may be drowned out in the envelope spec-
trum. However, with the help of the CS theory, the number of
vibration signals can be further reduced. Furthermore, a fault
can be detected during the reconstruction procedure without
complete reconstruction.
It is not an overstatement to say that the Nyquist sam-
pling theory underlies most signal acquisition and processing
methods in use. However, the CS theory breaks the limitations
of the Nyquist sampling theory and provides great responses.
Therefore, it has a promising future. Furthermore, it provides a
new technique for data acquisition and signal processing, thus
giving new insight into the fault diagnosis of roller bearings.
The core idea of the CS theory is to reconstruct a signal from
a small number of samples. The CS theory can be expressed in
terms of a mathematical model as follows [11–21].
x = ψα
(4)
YES The one selected as
peak has the maximum
absolute value
The one selected as
NO peak has opposite sign
to the preceding peak in
(i-1)th segment
3
H Wang et al
y = φx
(5)
y = φψα
(6)
Where x is a N×1 column vector, which can be viewed
as the signal measured by sensors. It can be expressed
by a group of N×1 basis vectors, which are denoted as
ϕ = {ϕ1, ϕ2, , ϕN − 1, ϕN } ∈ R N × N . The representation vector
α   can be said to be K-sparse, if it contains only K non-zeros
coefficients (K  N). And Φ is a M × N measurement matrix.
Due to equation (5), it can get M linear observations, which
contain the enough information for reconstruction.
Let
A = φψ
(7)
So
y = Aα
(8)
Thus, the model can be viewed as a set of linear equa-
tions  that need to be solved. However, according to equa-
tion (8), a solution seems impossible, because it is an ill-posed
equation. The solution can be expressed as
min α 0
(9) s.t . y = Aα = φψα
Owing to the sparsity of α, the solution becomes possible
because the unknowns reduce. Therefore, it is possible to
reconstruct the signal from a small number of samples if the
following requirements can be met.
(1) The signal should be sparse or can be compressible,
which means it should meet the requirement of sparsity
[22];
(2) The basic matrix and measurement matrix should be
irrelevant. That is it should satisfy the restricted isometry
property (RIP) [23].
The CS theory enables signal sampling to be converted into
information sampling. Thus, signal expression and reconstruc-
tion become the key elements [24].In this way, the sampling
frequency no longer relies on the maximum frequency of the
signal but on the structure and contents of the signal. In addi-
tion, the theory brings new insight into fault diagnosis, which
is used to extract the fault characteristic frequency. According
to the theory, the vibration signals of faulty roller bearings can
be reconstructed from a small number of samples with a good
desired measurement matrix and a sparse representation.
3.  Compressed detection strategy of roller bearing
fault
Once there is a local defect in a roller bearing, a force impulse,
which is a broadband signal in frequency domain covering the
natural frequency of the bearing system, is generated when
the surface with the fault strikes to another surface [25]. As a
result, resonance occurs. Hence, the vibration signal energies
at the resonance frequency are enhanced. Whether or not a
fault exists is judged depending on the resonance frequency.
In addition, each time the ball go through the fault, a periodic
impulse is produced, which is called the fault characteristic
Meas. Sci. Technol. 27 (2016) 025009
Original vibration signals
Reducing samples by PHDS
Envelope demodulation
Reducing samples again by CS
Detecting through CS
YES
Judging the type of fault Fault characteristic
frequency?
Figure 2.  Flowchart of the proposed method.
frequency. Thus, this frequency can be viewed as an indicator
of the existence of a fault, and extraction of the fault charac-
teristic frequency becomes critical in the fault diagnosis of
roller bearings.
Although the PHDS algorithm is very capable of reducing
the number of samples while preserving the information per-
taining to roller bearing faults, the fault features are weakened
simultaneously. As a result, the fault characteristic frequency
cannot be extracted by envelope analysis. However, this
problem can be solved by using the CS theory, which has the
ability to manage even when the number of samples is smaller
than Nyquist sampling rate by employing the OMP approach
for extracting the fault characteristic frequency in the fre-
quency spectrum. In addition, the number of vibration signals
can be further reduced. Therefore, a detection strategy based
on a multiple down-sample method is proposed to extract the
fault features of roller bearings. The flowchart of the strategy
proposed in this paper is presented in figure 2.
A large number of vibration signals are collected by sen-
sors, and hence, the requirement of the Shannon/Nyquist sam-
pling theory is met. However, it is difficult to extract the fault
features because of the large-scale data. Thus, the PHDS algo-
rithm is used to select useful sections from original signals in
time domain, which means that the dimension of the vibration
signals will be reduced. Next, the real signal is obtained by
envelope demodulation. Finally, the detection method based
on the CS theory, which does not require a complete recon-
struction of the original signal, is used to extracting the fault
characteristic frequency in frequency domain. Compared
with matching pursuit and orthogonal matching pursuit, com-
pressed sensing orthogonal matching pursuit (CoSaMP) takes
noise or interference into consideration, which is more suit-
able for the actual vibration signals [26, 27]. In additional,
when the sparsity of the signal is set to 1 or 2, the component
with the maximum energy will be extracted on the frequency
spectrum. However, the sparsity of the vibration signals
H Wang et al
Figure 3.  Fault test rig of roller bearing.
Table 1.  Fault characteristic frequency.
NO Fault type 500 rpm 900 rpm 1300 rpm
Fault characteristic frequency 56 Hz 100 Hz 145 Hz
generated by roller bearing faults is usually unknown, which
is an obstacle for the use of CoSaMP in roller bearing faults
diagnosis. However, because of the presence of a harmonic
wave related to the fault features, CoSaMP is able to extract
the fault features successfully. That is, the sparsity of a har-
monic wave is 2 in the Fourier or frequency domain, and the
fault characteristic frequency can be spilt into several har-
monic waves through Fourier transform. Then, CoSaMP can
detect the maximum energy component, which is the fault
characteristic frequency. Thus, the existence of a fault can be
determined.
4.  Applications of the proposed method to fault
detection of roller bearings
4.1.  Fault test rig of roller bearings
To verify the effectiveness of the proposed method, the
vibration signals of roller bearing faults measured by an
acceleration sensor were used. The test rig presented in
figure 3 consists of a motor, rotor, and shaft with two roller
bearings. To ensure that the vibration signals are valid, the
sensors should be installed at the nearest possible locations
to the roller bearing faults. Thus, the acceleration sensor
is fixed on the bearing housing, where the vibration signal
can be easily measured. During the experiments, the vibra-
tion signals are measured from the faults in the inner race
with a width of 7 mm and depth of 25 mm. In all the experi-
ments, the sampling frequency is 100 KHz. The speed of
the shaft is set to 1300 rpm, 900 rpm, and 500 rpm. The
fault characteristic frequencies are calculated according to
equations (10)–(12), and the computed results are listed in
table 1 [28, 29].
The fault characteristic frequency of outer race is
Z⎛ ⎞
d
fo = ⎜1 − cos α⎟ fr
2⎝ ⎠
(10)
D
The fault characteristic frequency of inner race is
4
Meas. Sci. Technol. 27 (2016) 025009 H Wang et al

0.5

Amplitude/V
0

-0.5

-1
0 1 2 3 4 5 6 7 8 9 10
Data No. 4
x 10

Figure 4.  Time domain waveform.

0.01
Amplitude/V

0.005

0
0 50 100 150 200 250 300 350 400 450 500
Frequency/Hz

Figure 5.  Frequency spectrum of the original vibration signal.

0.5
Amplitude/V

-0.5

-1
0 200 400 600 800 1000 1200 1400 1600 1800 2000
Data No.

Figure 6.  Time domain waveform through PHDS.

0.03
Amplitude/V

0.02

0.01

0
0 50 100 150 200 250 300 350 400 450 500
Frequency/Hz

Figure 7.  Frequency spectrum of vibration signal through PHDS.

Z⎛ d ⎞ bearing with a single fault in the inner race at a shaft speed of

fi = ⎜1 + cos α⎟ fr
2⎝ ⎠
(11) 500 rpm. The time domain waveform is presented in figure 4,
D
which shows a fault arising from the impulses. However, it
The fault characteristic frequency of ball element is is difficult to extract the fault characteristic frequency from
D ⎡ ⎛d ⎞2 ⎤ such a large number of samples. Moreover, the existence of
⎢1 − ⎜ cos α⎟ ⎥ fr
⎝D ⎠⎦
fb =
(12)
2d ⎣
noise makes it more difficult to extract the fault features as
shown in figure  5.Therefore, the PHDS algorithm acts as a
down-sample tool, which can ease the pressure on vibration
signal processing. The predefined down-sample rate is set to
4.2.  Experimental results
50, which means that the number of samples processed by
4.2.1.  Detection of bearing fault in the inner race at a shaft the PHDS algorithm will be 2000, as shown in figure 6. The
speed of 500 rpm.  The proposed approach is first applied to fault features will be weaker than before and hence cannot
the detection of the fault characteristic frequency of a roller be detected by envelope analysis, as shown in figure 7. Next,

5
Meas. Sci. Technol. 27 (2016) 025009 H Wang et al

10

Amplitude/V
0

-5

-10
0 100 200 300 400 500 600
Data No.

Figure 8.  Random sampling through compressed sensing.

0.04 0.02

0.02 0.015 X: 55.66

Amplitude/V

Amplitude/V
Y: 0.01702
0 0.01

-0.02 0.005

-0.04 0
0 500 1000 1500 2000 0 100 200 300 400 500
Data No. Frequency/Hz

Figure 9.  Fault characteristic frequency.

0.02 0.02

0.01 0.015
Amplitude/V

Amplitude/V

X: 112.3
Y: 0.01554
0 0.01

-0.01 0.005

-0.02 0
0 500 1000 1500 2000 0 100 200 300 400 500
Data No. Frequency/Hz

Figure 10. 2*Fault characteristic frequency.

10

5
Amplitude/V

-5

-10
0 1 2 3 4 5 6 7 8 9 10
Data No. 4
x 10

Figure 11.  Time domain waveform.

the detection method based on CoSaMP is used to extract the
fault characteristic frequency; here, the sparsity K is set to 2.
Moreover, the number of samples can be further compressed
to 600 as presented in figure 8, which is the compressed result
of CS. The frequency of the first detected harmonic compo-
nent is 55.66 Hz shown in figure  9, which is almost equal
to the theoretical value. Figure  10 indicates that the value
twice of the fault characteristic frequency can be determined.
Therefore, it can be concluded that a fault exists on the inner
race. In addition, the left parts in figures  9 and 10 are the
results of the incomplete reconstruction in time domain,
which has same dimension as that of the original signal in
figure 6, the different is the waveform due to the incomplete
reconstruction. Thus all the dimensions in these mentioned
figures are 2000.
4.2.2. Detection of bearing fault in the inner race at a shaft
speed of 900 rpm.  The roller bearing fault in an inner race
fixed on a shaft rotating at a speed of 900 rpm is also detected
to validate the effectiveness of the proposed detection

6
Meas. Sci. Technol. 27 (2016) 025009 H Wang et al

0.06

Amplitude/V
0.04

0.02

0
0 50 100 150 200 250 300 350 400 450 500
Frequency/Hz

Figure 12.  Frequency spectrum of the original vibration signal.

10

5
Amplitude/V

-5

-10
0 200 400 600 800 1000 1200 1400 1600 1800 2000
Data No.

Figure 13.  Time domain waveform through PHDS.

0.4

0.3
Amplitude/V

0.2

0.1

0
0 50 100 150 200 250 300 350 400 450 500
Frequency/Hz

Figure 14.  Frequency spectrum of vibration signal through PHDS.

100

50
Amplitude/V

-50

-100
0 100 200 300 400 500 600
Data No.

Figure 15.  Random sampling through compressed sensing.

strategy. The time domain waveform shown in figure 11 con-
tains 100 000 samples, which will impose immense pressure
on fault diagnosis. The frequency spectrum of the signals in
figure 11 is shown in figure 12, from which the fault charac-
teristic frequency cannot easily found. However, through the
application of the PHDS algorithm, the number of samples is
reduced to 2000 samples shown in figure  13, which is 1/50
of the number of samples in the original signal. However,
the fault characteristic frequency is flooded in the envelope
spectrum as shown in figure  14. Assisted by CoSaMP, the
samples can be further reduced to 600 as shown in figure 15.
With sparsity K  =  2, the fault features concluding the fault
characteristic frequency and twice that value are extracted by
the proposed method as presented in figures 16 and 17, which
indicate that a fault exists on the inner race.
4.2.3. Detection of bearing fault in the inner race at a shaft
speed of 1300 rpm.  Finally, the proposed detection strategy
is implemented to extract the fault features of a roller bearing
with a fault on the inner race at a shaft speed of 1300 rpm. The
parameter settings are the same as those for the faults men-
tioned above. The results are all similar to the applications
mentioned above, which can detect the fault features success-
fully through the proposed method.

7
Meas. Sci. Technol. 27 (2016) 025009 H Wang et al

0.4 0.2
X: 100.6
0.2 0.15 Y: 0.192

Amplitude/V

Amplitude/V
0 0.1

-0.2 0.05

-0.4 0
0 500 1000 1500 2000 0 100 200 300 400 500
Data No. Frequency/Hz

Figure 16.  Fault characteristic frequency.

0.2 0.2

0.1 0.15
Amplitude/V

Amplitude/V
X: 202.1
Y: 0.1534
0 0.1

-0.1 0.05

-0.2 0
0 500 1000 1500 2000 0 100 200 300 400 500
Data No. Frequency/Hz

Figure 17. 2*Fault characteristic frequency.

5. Conclusion diagnosis of rolling element bearings Mech. Syst. Signal

This paper proposed a compressed detection strategy based
on compressive sensing with multiple down-sampling. By
the aid of compressive sensing, the performance of the mul-
tiple down-sampling algorithm in extracting roller bearing
fault features is improved. Experimental results show that the
proposed method can be used to extract the characteristic fre-
quency of a roller bearing from a small number of samples.
The results confirm that the method can reduce the number of
samples while preserving useful information pertaining to the
faults. Although the fault features are weaker than before, they
can still be detected successfully at different rotating speeds.
As the proposed method can reduce the pressure on signal
measurement and processing, the time required for fault diag-
nosis can be obviously reduced.
Acknowledgments
This work is partially supported by the National Natural Sci-
ence Foundation of China (Grant no.51405012, 51375037)
and China Fundamental Research Funds for the Central Uni-
versities. G.T would also like to thank the Public Hatching
Platform for Recruited Talents of Beijing University of Chem-
ical Technology.
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