Industrial Lubrication and Tribology

Gear fault diagnosis based on a new wavelet adaptive threshold de-noising method
Jianhua Cai,
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Jianhua Cai, (2018) "Gear fault diagnosis based on a new wavelet adaptive threshold de-noising method", Industrial Lubrication
and Tribology, https://doi.org/10.1108/ILT-03-2018-0101
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 Gear fault diagnosis based on a new wavelet
adaptive threshold de-noising method
Jianhua Cai
Department of Physics and Electronics, Changde, China

Abstract
Purpose – This paper aims to explore a new wavelet adaptive threshold de-noising method to resolve the shortcomings of wavelet hard-threshold
method and wavelet soft-threshold method, which are usually used in gear fault diagnosis.
Design/methodology/approach – A new threshold function and a new determined method of threshold for each layer are proposed. The principle
and the implementation of the algorithm are given. The simulated signal and the measured gear fault signal are analyzed, and the obtained results
are compared with those from wavelet soft-threshold method, wavelet hard-threshold method and wavelet modulus maximum method.
Findings – The presented wavelet adaptive threshold method overcomes the defects of the traditional wavelet threshold method, and it can
effectively eliminate the noise hidden in the gear fault signal at different decomposition scales. It provides more accurate information for the further
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fault diagnosis.
Originality/value – A new threshold function is adopted and the multi-resolution unbiased risk estimation is used to determine the adaptive
threshold, which overcomes the defect of the traditional wavelet method.
Keywords Mechanical engineering, Machining, Adaptive, Mechanics
Paper type Research paper

Introduction Wavelet transform and threshold de-noising

Gear is an important part of the mechanical transmission
system. Gear fault diagnosis plays an important role in
maintaining its normal operation of gear transmission system
(Liu et al., 2010; Cai, 2015). Wavelet threshold de-noising
method is often used in the detection of fault signal (Serhat and
Emine, 2003). While the threshold function of wavelet hard-
threshold method is not continuous, and the reconstructed
signal will often produce the pseudo Gibbs effect (Lin and Qu,
2003). There is a constant deviation between the wavelet
coefficients and the estimated wavelet coefficients obtained
from the soft-threshold method, which directly affects the
approximation quality between the reconstructed signal and the
true signal (Hao and Chu, 2009; Chen et al., 2016). In recent
years, many scholars have done a great deal of work on the
construction of threshold functions, the determination of
optimal threshold and self-adaption (Mehdin and Hossein,
2009; Sanam and Shahnaz, 2013; Li et al., 2015). In this paper,
a new threshold function is selected and the function
parameters are obtained by using the point search algorithm,
which can overcome the shortcomings of the common wavelet
threshold method. The Stein unbiased risk estimation
algorithm based on wavelet transform, which is adaptive to
determine the threshold value of each layer, is also proposed.
They are applied in the diagnosis of gear fault and their
application results are discussed.
The current issue and full text archive of this journal is available on
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algorithm
The wavelet transform of a signal is to decompose the signal
in wavelet space. Wavelet basis space is composed of the
preselected wavelet mother function and its expansion and
translation (Donoho, 1995). By defining C(t) [L2 (R) (L2 [R]
is defined as the limited energy space), it meets:
ð ^
j c ðv Þj2
Cc ¼ dv < 1 (1)
jv j
R
Then, C(t) is defined as a basic wavelet function or a mother
wavelet function. A set of wavelets can be obtained from the
translation and the scaling of C(t).
For the continuous case, wavelet function is written as:
 
c a;b ðtÞ ¼ jaj1=2 c ðt  bÞ=a a; b 2 R; a 6¼ 0 (2)
Here, a is a scaling factor, and b is a translation factor. For
signal f(t) [L2 (R), the continuous wavelet transform and the
reconstruction formula (the inverse transform of wavelet) are
given as:
This work was supported by the National Natural Science Foundation of
China (Project no. 41304098), the Key Scientific Research Fund of Hunan
Provincial Education Department, China (Project no. 16A146), Natural
Science Foundation of Hunan Province, PRC(Project no.2017JJ2192), and
the Hunan Province Key Laboratory of Photoelectric Information
Integration and Optical Manufacturing Technology.

Industrial Lubrication and Tribology Received 11 March 2018

© Emerald Publishing Limited [ISSN 0036-8792] Revised 9 April 2018
[DOI 10.1108/ILT-03-2018-0101] Accepted 10 April 2018
 Gear fault diagnosis based on new wavelet adaptive Industrial Lubrication and Tribology
Jianhua Cai

ð  
tb The new threshold function is presented as (Mehdin and
Wf ða; bÞ ¼ < f ; c a;b > ¼ jaj1=2 f ðtÞ c dt (3) Hossein, 2009; Lin et al., 2011):
a
R 8 ! !
>
< að1  aÞ
ð ð   signðv j;k Þ jv j;k j  a  l jv j;k j  l
1 1 tb v
^ j;k ¼ expðv j;k Þ
f ðt Þ ¼ Wf ða; bÞ c dadb (4) >
:
Cc a2 a 0 jv j;k j < l
R1 R
(12)
For the discrete case, wavelet function is presented as:
In the expansion, a [ [0, 1]. When a is taken as 0 or 1, equation
(12) becomes the hard-threshold method or the soft-threshold
c j;k ðtÞ ¼ jajj=2 c ð2j t  kÞ (5)
method. For a [ (0, 1), the estimated coefficient is between the
soft-threshold and the hard-threshold. The v ^ j;k estimated from
The discrete wavelet transform coefficients and its reconstruction the soft-threshold method is smaller than the v j, k. So, this bias
formula of signal f(t) are described as: should be reduced. But if the deviation is reduced to 0,
ð1 equation (12) will become a hard-threshold method.
Cj;k ¼ f ðtÞ c j;k ðtÞdt (6) Therefore, the value of |v j, k| is selected as between |v j, k| 
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1 l and |v j, k| 1 l , which will make the estimated wavelet

coefficients closer to the ideal value. Based on this, the factor
X
1 X
1 a in equation (12) can be regarded as an independent
f ðtÞ ¼ Cj;k c j;k ðtÞ (7) variable. And the de-noising effect is taken as a function of a.
1 1
The optimization algorithm is adopted to find the optimal
value a, so as to obtain the maximum value of SNR.
According to the Mallat algorithm of wavelet transform, the signal
In this paper, the midpoint method is used as the
is decomposed and the wavelet coefficients at different scales are
optimization algorithm. By using the midpoint method, the
obtained. In the wavelet threshold de-noising algorithm, the
process of searching for the optimal value of a can be described
threshold is determined first. After that, the filtering is carried out
as follows:
according to the threshold and the de-noised signal is
reconstructed. The threshold function includes the soft-threshold  The initial values of parameters in the equation (12) are
function and the hard-threshold function as follows (Donoho, given as: a1 = 0, a2 = 0. Order i = 1, and N is the number
1995; Donoho and Johnstone, 1995): of iterations required in the algorithm.
Hard-threshold function:  a is taken as the value of a1 and a2, and SNR1 and SNR2
 are calculated after de-noising.
^ j;k ¼ Cj;k jCj;k j  l  The median is determined as: amid = (a1 1 a2)/2, which is
C (8)
0 jCj;k j < l substituted into the threshold function. Then, the de-
noising is done based on this threshold function, and the
Soft-threshold function: SNRmid is calculated.
    Also, calculate the different value of SNR function at the
^ j;k ¼ signðCj;k Þ jCj;k j  l
C
jCj;k j  l
(9) point of a, defined as SNR’. If SNR 0  0, then a1 = amid,
0 jCj;k j < l SNR1 = SNRmidd; otherwise, a2 = amid, SNR2 = SNRmid.
 Judge i > N. If not, order i < i 1 1, and the process returns
Here, C^ j;k is the wavelet coefficient after processing, and l is
to step (b). Otherwise, the process ends.
the threshold value:  At this time, amid is determined as the optimal threshold
qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi parameter, and the corresponding SNRmid will be the
l ¼ s 2lgðN Þ (10) maximum value.

Among them, N is the signal length, and s is the variance of the

noise:
s ¼ MADj =0:6745
MADj is the median value of the jth layer coefficient after
wavelet decomposition (Donoho, 1995; Trad and Travassos,
2000; Lin et al., 2011).
Threshold function selection
Here, a new threshold function is selected, and the function
parameters are obtained by applying the optimization algorithm
to overcome the shortcomings of the conventional wavelet
method.
Adaptive threshold algorithm
Suppose that the signal is S(t) = f(t) 1 n(t). f(t) represents the
(11) useful signal. n(t) is the noise. And the length of signal is N. The
noised signal S(t) is decomposed into the high frequency
wavelet coefficients HB[m] and the low frequency wavelet
coefficients LB[m] under the standard orthogonal basis B. Here,
B = {gm}, 0  m < N, gm is the filter coefficient. m is the number
of wavelet coefficients. They are clubbed together as follows:
SB ðmÞ ¼ HB ðmÞ 1 LB ðmÞ (13)
SB(m) is the wavelet coefficient of S(t). Decision operator D is
the projection of the orthogonal base B. The estimated function
is as follows:
 Gear fault diagnosis based on new wavelet adaptive Industrial Lubrication and Tribology
Jianhua Cai

X
N 1
DðSðtÞÞ ¼ dm ðSB ½mÞgm
m¼0
dm is the threshold function. In this paper, the proposed
threshold function is used as the equation (12). To improve the
SNR, the threshold of the adaptive wavelet decomposition
coefficient can be calculated by minimizing the risk estimation.
R = (f, l ) is defined as the estimation risk function of the
threshold l . l can be obtained by the means of minimization of
R = (f, l ). Donoho believes that |SB(m)|2  s 2 can be used to
estimate |HB[m]|2. The estimated function is written as
follows (Donoho, 1995; Cai and Zhu, 2006):
First, the de-noising effect of this method is verified by
(14) processing the “bumps” signal with different SNR. In this
paper, the “db5” is used as the wavelet basis and the wavelet
decomposition level is set at seven layers. In MATLAB 7.0.1,
the hard-threshold method and wavelet soft-threshold method,
wavelet modulus maxima method and the proposed algorithm
are compared. To verify the feasibility of the method, three
kinds of “bumps” signals with different noise intensity are
processed. Table I lists the comparison of SNR and root mean
square error (RMSE) from four methods (Nguyen et al., 2015;
Kumar et al., 2014).
Signal to noise ratio is calculated as follows:
X
n

 X
N 1  f ðti Þ2
Rð f ; l Þ ¼ w jSB ½mj2 (15) i¼1
SNR ¼ 10  log X
n  2 (18)
m¼0
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 i¼1
t  s2 t  l 2
w ðt Þ ¼
s2 1 l 2 t > l 2
s is the variance of the noise. Donoho has proven that the
median of the wavelet coefficients can be used to estimate the
variance of the noise.
 n
At this point, R ð f ; l Þ is the unbiased risk estimate function
in the Stein theory. The wavelet coefficients are arrayed in
descending order to find the lth wavelet coefficient which
makes SB[l]  l  SB[l11]. Equation (15) can be rewritten as
follows:
 X
N
jSB ½mj2  ðN  l Þ s 2 1 l ðs 2 1 l 2 Þ
2 Figure 1 shows the de-noised results from four methods when
Rð f ; l Þ ¼
k¼l
The multiple iterative estimation can be used to minimize the

R ð f ; l Þ and determine the l. The threshold function is
determined as l = SB[l]. The threshold selection is adaptive to
scale 2j. The threshold value on each decomposition scale can
be found, and then, the adaptive threshold algorithm can be
formed.
Simulation analysis
According to the determined threshold function and adaptive
threshold algorithm, each scale is considered to be independent
between each other. A most matched threshold is calculated for
noise reduction, and the wavelet coefficient in each scale is used
to reconstruct signal.
^f ðti Þ  f ðti Þ
(16)
Root mean square error is defined as follows:
vffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
uX n
u
u ð^f ðti Þ  f ðti ðtÞÞ2
t
RMSE ¼ i¼1 (19)
Here, f(ti) and ^f ðti Þ are the signal before and after de-noising,
respectively. SNR reflects the de-noising ability of algorithm,
and its value is proportional to the de-noising effect. RMSE
reflects the amplitude difference before and after de-noising,
and its value is inverse proportional to the de-noising effect.
(17)
the SNR of input “bumps” signal is 5 dB. From the evaluation
parameters listed in Table I and the time domain diagram
shown in Figure 1, it can be drawn that the four methods can be
used to complete the de-noising. In the time domain, there is
obvious difference in the signal section with a straight line at the
bottom. For the wavelet hard-threshold method, the de-noised
curve is smooth. But the local characteristic of signal is lost. The
de-noised curve from wavelet soft-threshold method has a
certain burr. The result from Wavelet modular maximum
method is good, but the peak value is not prominent. The
algorithm proposed in this paper can filter out the noise and
restore the characteristic information of the signal. After
de-noising, the break point and the peak value of the signal are
more prominent. In the presented method, the SNR is larger,
and the RMSE is smaller. The proposed method is better than
the other three methods. Compared with the wavelet hard-

Table I Comparison of de-noising effect from four methods

Method
SNR of the input Contrast parameters Wavelet hard- Wavelet soft- Wavelet modulus
signal (dB) after de-noising threshold method threshold method maximum method The proposed method
3 SNR(dB) 4.83 4.96 5.10 7.08
RMSE 0.672 0.670 0.618 0.493
5 SNR(dB) 15.08 15.03 15.15 18.32
RMSE 0.317 0.354 0.321 0.276
10 SNR(dB) 24.54 25.08 25.99 27.03
RMSE 0.273 0.268 0.253 0.192
 Gear fault diagnosis based on new wavelet adaptive Industrial Lubrication and Tribology
Jianhua Cai

Figure 1 Processing of simulated signal

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threshold de-noising results, the SNR is improved from 15.08 to Figure 2 Fault test simulation test bench
18.32 when the SNR of input signal is 5 dB, and RMSE is
decreased from 0.317 to 0.276.

Measured data processing

To further verify the effectiveness of the proposed method in
gear fault diagnosis, the fault gear with root crack is analyzed.
A comprehensive fault simulation test bench is used to do
gear fault diagnosis test. The experimental bench is shown in
Figure 2. The number of teeth of driving wheel is z1 = 10.
Motor speed is fr1 = 720 r/min. The number of teeth of the
driven wheel gear is z2 = 15. The module is m = 2 mm. The
rotating frequency of gear axis is fr2 = 480 r/min. The meshing
frequency is fz = 120 Hz, and the sampling frequency is 1
kHz. A gear with defects has been considered and a small
crack in one gear is added artificially. In the gear, a small
groove with 0.1 mm width and 3 mm depth is processed to
simulate the tooth crack. In the analysis of fault signal, if there
is a fatigue crack fault in the gear tooth root, the vibration value is 37.21 m.s2. The minimum value is -36.03 m.s2.
signal of the fault gear is usually expressed as the modulation The mean is -3.19 m.s2. The variance is 108.63, and the
of rotating frequency on meshing frequency. Therefore, the energy is 1.085  105.
fault diagnosis of gear essentially is the identification of the The proposed threshold function and the adaptive threshold
side band. method are used to deal with the measured data. And the
Figure 3 shows the time domain waveform of the results are compared with that from Wavelet hard-threshold
measured fault signal. Because of the presence of noise, not method, Wavelet soft-threshold method and Wavelet modulus
all the fault feature information can be seen in Figure 3. To maxima method. The de-noised signal is shown in Figure 4.
compare the de-noising effect, the statistical parameters of From Figure 4, it can be drawn that the four methods have a
the fault signal before de-noising are given. The maximum great effect on noise suppression. After de-noising, the
 Gear fault diagnosis based on new wavelet adaptive Industrial Lubrication and Tribology
Jianhua Cai

Figure 3 The measured gear fault signal modulated details are highlighted. To make comparison, the
statistical parameters of signal from the four methods are given
in Table II. From the statistical data, it can be drawn that the
energy of noise is great, which will bring a lot of trouble to the
fault diagnosis. After de-noising, the variance of signal is
reduced, and the energy is reduced to about half of the original
energy. After correcting, the details of signal are highlighted
and the frequency modulation characteristic of signal is
presented. Furthermore, from the time domain and the
statistical parameters, it can be drawn that the de-noising effect
of the proposed algorithm is better than those of the other three
methods.
The power spectrum of the signal before and after de-
noising is calculated, and the feature of the fault signal is
extracted. Figure 5 shows the power spectrum of the original
fault signal. From Figure 5, it can be seen that the noise
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energy is strong, which seriously interferes with the

extraction of fault feature frequency. And the meshing
frequency and its side band cannot be correctly identified.

Figure 4 The de-noised gear fault signal from four different methods
 Gear fault diagnosis based on new wavelet adaptive
Jianhua Cai
Table II Comparison of statistical parameters of the measured data from four methods
Compared parameters
Processing method Max value (m.s2)
Wavelet hard-threshold method 6.72
Wavelet soft-threshold method 6.53
Wavelet modulus maximum method 6.47
The proposed method 6.42
Figure 6 shows the power spectrum of the de-noised fault
signal from four different methods. In Figure 6, it can be
seen that the edge frequency band cluster is near 120 Hz,
and that the spacing is 8 Hz. The corresponding frequency is
112, 128 Hz and so on. Compared with Figure 4 where the
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power spectrum line between the various components is
unclear, the side frequency structure shown in Figure 5 is
clearer. In Figure 6(f), which comes from the proposed
method, the edge band information is richer and clearer with
an interval 8 Hz. The edge band structure fully reflects the
frequency domain characteristics of gear fault signal, so it
can be concluded that there is crack in the gear.
The original noiseless measured signal cannot be obtained,
so the calculation of SNR and RMSE is inappropriate. To
compare the application effects of the four methods, the
smoothing coefficient (SC) is used to evaluate the stability of
the power spectrum before and after de-noising. The similarity
degree of the power spectrum is evaluated by the curve
similarity parameter (NCC). SC and NCC are defined as
following (Lin and Qu, 2003; Zhang et al., 2015):
SC:
X
n power spectrum curve is reduced from 2.45  103 to 1.83  103.
absðxði 1 1Þ  xði ÞÞ
i¼1
SC ¼
X
n
absðmði 1 1Þ  mði ÞÞ
i¼1
NCC:
Figure 5 The calculated power spectrum from the original gear fault
signal
Industrial Lubrication and Tribology
Min value (m.s2) Mean value (m.s2) Variance Energy
6.28 1.38 5.581 5.54  103
5.98 1.12 5.054 5.47  103
5.95 1.03 5.325 5.14  103
5.68 0.57 4.328 5.02  103
X
n
mði Þ xði Þ
NCC ¼ vffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
i¼1
! n !ffi (21)
u X X
u n 2
t m ði Þ x ði Þ
2
i¼1 i¼1
In equations (20) and (21), m(i) is the mean of power spectral
curve obtained from the four de-noising methods. x(i) is the
power spectrum from a variety of methods. Much smaller is the
coefficient of SC; the smoother is the curve. The value of NCC
is in -11, where -1 represents that the two waveforms are
inverse; 0 means orthogonal; and 1 means the same.
Table III lists the SC, NCC and variance from four methods.
From the comparison presented in Figures 5 and 6 and Table III,
it can be drawn that the calculated curve similarity parameters are
more than 0.8, which means that the overall trend of power
spectrum curve is consistent. In total, four kinds of methods can
effectively remove the noise and get the fault characteristic
frequency. Compared with the traditional wavelet hard-threshold
method, the proposed method is better. The variance of the
The smooth coefficient of the curve is reduced from 38.19 to
(20) 34.17. Similarity parameter is increased from 0.873 to 0.907.
The characteristic frequency points and its side band are
revealed, and the data quality is improved, which provides a
better way for gear fault diagnosis.
Conclusions
In view of the shortcomings of wavelet hard-threshold method
and wavelet soft-threshold method, which are usually used in
gear fault diagnosis, a new wavelet adaptive threshold de-noising
method is proposed. A new threshold function is adopted and the
multi-resolution unbiased risk estimation is used to determine the
adaptive threshold. The simulated signal and the measured gear
fault signal are analyzed and the obtained results are compared.
In gear fault diagnosis, the variance of the power spectrum curve
is reduced from 2.45  103 to 1.83  103. The smooth
coefficient of the curve is reduced from 38.19 to 34.17. Similarity
parameter is increased from 0.873 to 0.907. The characteristic
frequency points and its side band are revealed, and the data
quality is improved. The adaptive threshold de-noising method
can effectively eliminate the noise hidden in the gear fault signal
at different decomposition scales. The wavelet adaptive threshold
de-noising method proposed in this paper has a better effect than
the traditional wavelet method. The new method provides the
more accurate data for the further fault diagnosis.
 Gear fault diagnosis based on new wavelet adaptive Industrial Lubrication and Tribology
Jianhua Cai

Figure 6 The power spectrum of de-noised gear fault signal from four different methods
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Table III Comparison of curve evaluation parameters from four methods

Method
Wavelet hard- Wavelet soft- Wavelet modulus
Contrast curve Contrast parameters threshold method threshold method maximum method The proposed method
Power spectrum curve NCC 0.873 0.879 0.881 0.907
SC 38.19 37.85 36.37 34.17
VAR 2.45  103 2.17  103 2.01  103 1.83  103

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Corresponding author
Jianhua Cai can be contacted at: cjh1021cjh@163.com