Application of The Wavelet Transform

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Mechanical Systems
and
Signal Processing
Mechanical Systems and Signal Processing 18 (2004) 199–221
www.elsevier.com/locate/jnlabr/ymssp
Review
Application of the wavelet transform in machine condition

monitoring and fault diagnostics: a review with bibliography
Z.K. Peng, F.L. Chu*
Department of Precision Instruments, Tsinghua University, Beijing 100084, People’s Republic of China
Received 26 November 2002; received in revised form 22 April 2003; accepted 25 April 2003
Abstract
The application of the wavelet transform for machine fault diagnostics has been developed for last 10
years at a very rapid rate. A review on all of the literature is certainly not possible. The purpose of this
review is to present a summary about the application of the wavelet in machine fault diagnostics, including
the following main aspects: the time–frequency analysis of signals, the fault feature extraction, the
singularity detection for signals, the denoising and extraction of the weak signals, the compression of
vibration signals and the system identification. Some other applications are introduced briefly as well, such
as the wavelet networks, the wavelet-based frequency response function, etc. In addition, some problems in
using the wavelet for machine fault diagnostics are analysed. The prospects of the wavelet analysis in
solving non-linear problems are discussed.
r 2003 Elsevier Ltd. All rights reserved.
Contents
1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 200
2. Wavelet transform . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 201
3. An application overview of wavelet in fault diagnosis . . . . . . . . . . . . . . . . . . . . . 202
3.1. Time–frequency analysis of signals . . . . . . . . . . . . . . . . . . . . . . . . . . . . 202
3.2. Fault feature extraction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 206
3.3. Singularity detection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 208
3.4. Denoising and extraction of the weak signals . . . . . . . . . . . . . . . . . . . . . . 209
3.5. Vibration signal compression . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 211
3.6. System and parameter identification . . . . . . . . . . . . . . . . . . . . . . . . . . . 212
3.7. Other applications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 214
*Corresponding author.
E-mail address: chufl@pim.tsinghua.edu.cn (F.L. Chu).
0888-3270/04/$ - see front matter r 2003 Elsevier Ltd. All rights reserved.
doi:10.1016/S0888-3270(03)00075-X
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200 Z.K. Peng, F.L. Chu / Mechanical Systems and Signal Processing 18 (2004) 199–221
4. Prospects of wavelet in fault diagnostics . . . . . . . . . . . . . . . . . . . . . . . . . . . . 214

5. Concluding remarks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 215
Acknowledgements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 215
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 216
1. Introduction
Condition monitoring and fault diagnostics is useful for ensuring the safe running of machines.
Signal analysis is one of the most important methods used for condition monitoring and fault
diagnostics, whose aim is to find a simple and effective transform to the original signals.
Therefore, the important information contained in the signals can be shown; and then, the
dominant features of signals can be extracted for fault diagnostics. Hitherto, many signal analysis
methods have been used for fault diagnostics, among which the FFT is one of the most widely
used and well-established methods. Unfortunately, the FFT-based methods are not suitable for
non-stationary signal analysis and are not able to reveal the inherent information of non-
stationary signals. However, various kinds of factors, such as the change of the environment and
the faults from the machine itself, often make the output signals of the running machine contain
non-stationary components. Usually, these non-stationary components contain abundant
information about machine faults; therefore, it is important to analyse the non-stationary signals
[1]. Because of the disadvantages of the FFT analysis, it is necessary to find supplementary
methods for non-stationary signal analysis. Time–frequency analysis is the most popular method
for the analysis of non-stationary signals, such as the Wigner–Ville distribution (WVD) [2] and the
short time Fourier transform [3] (STFT). These methods perform a mapping of one-dimensional
signal xðtÞ to a two-dimensional function of time and frequency TFRðx : t; oÞ; and therefore are
able to provide true time–frequency representations for the signal xðtÞ: But each of the time–
frequency analysis methods has suffered some problems. It is no doubt that the WVD has good
concentration in the time–frequency plane. However, even support areas of the signal do not
overlap each other, interference terms will appear on the time–frequency plane. This will mislead
the signal analysis. In order to overcome these disadvantages, many improved methods have been
proposed, such as Choi–Willams distribution (CWD) and cone-shaped distribution (CSD), etc.
Without exception, however, elimination of one shortcoming will always lead to the loss of other
merits. For example, the reduction of interference terms will bring the loss of time–frequency
concentration [4]. The problem with STFT is that it provides constant resolution for all
frequencies since it uses the same window for the analysis of the entire signal. This means that if
we want to obtain a good frequency resolution using wide windows, which is desired for the
analysis of low-frequency components, we would not be able to obtain good time resolution
(narrow window), which is desired for the analysis of high-frequency components. Therefore, the
STFT is suitable for the quasistationary signal analysis (stationary at the scale of the window but
not the real stationary signals). Moreover, there exist no orthogonal bases for STFT, therefore it
is difficult to find a fast and effective algorithm to calculate STFT.
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2. Wavelet transform
Over the past 10 years, wavelet theory has become one of the emerging and fast-evolving
mathematical and signal processing tools for its many distinct merits. The novel concept of
wavelet was first put forward definitely by Morlet in 1984. However, at that time, Morlet faced
much criticism from his colleagues. Later, under the help of Grossman, Morlet formalised the
continuous wavelet transform (CWT), shown as Eq. (1), and devised the inverse transform
Z
1=2 tb
Wx ða; b; cÞ ¼ a xðtÞc dt; ð1Þ
a
where a is the scale parameter, b is the time parameter, cðtÞ is an analysing wavelet, and the c ðdÞ
is the complex conjugate of cðdÞ:
In 1985, Meyer constructed a beautiful orthogonal wavelet base with very good time and
frequency localisation properties. In the next year, Meyer and Mallat, a graduate student at
Upenn, developed the idea of multi-resolution analysis (MRA) that made it very easy to construct
other orthogonal wavelet bases. A more important event was that the MRA led to the famous fast
wavelet transform—a simple and recursive filtering algorithm to compute the wavelet
decomposition of the signal from its finest scale approximation. Before long, Daubechies
constructed orthogonal wavelet bases compactly supported in a simple but ingenious way. In
addition, Daubechies has done many research on wavelet frames that allow more liberty in the
choice of the basis wavelet functions at a little expense of some redundancy, and the ‘‘Ten
Lectures on Wavelets’’ by Daubechies has also been playing an important role for the
popularisation of the wavelet. Daubechies, along with Mallat, is therefore credited with the
development of the wavelet from continuous to discrete signal analysis. In the discrete wavelet
formalism (DWT), the scale a and the time b are discretised as following:
a ¼ am
0; b ¼ nam
0 b0 ; ð2Þ
where m and n are integers. So the continuous wavelet function ca;b ðtÞ in Eq. (1) become the
discrete wavelets given by
m=2
cm;n ðtÞ ¼ a0 cðam
0 t nb0 Þ: ð3Þ
The discretisation of the scale parameter and time parameter leads to the discrete wavelet
transform, defined as
Z
xðtÞc ðam
m=2
Wx ðm; n; cÞ ¼ a0 0 t nb0 Þ dt: ð4Þ
In 1992, Coifman, Meyer and Wickerhauser developed the wavelet packet, which is a natural
extension of the MRA.
Different from the STFT, the wavelet transform can be used for multi-scale analysis of a signal
through dilation and translation, so it can extract time–frequency features of a signal effectively.
Therefore, the wavelet transform is more suitable for the analysis of non-stationary signals [4].
Now, the wavelets have obtained great success in machine fault diagnostics for its many distinct
advantages, not only for its ability in the analysis of non-stationary signals.
Table 1 gives a comparison of performances of CWT, STFT, WVD, CWD, and CSD.
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Table 1
Comparison of the performances of the different methods
Methods Resolution Interference term Speed
CWT Good frequency resolution and low No Fast
time resolution for low-frequency
components; low frequency
resolution and good time resolution
for high-frequency components
STFT Dependent on window function, No Slower than CWT
good time or frequency resolution
WVD Good time and frequency Severe interference terms Slower than STFT
resolution
CWD Good time and frequency Less interference terms than Very slow
resolution WVD
CSD Good time and frequency Less interference terms than Very slow
resolution CWD
3. An application overview of wavelet in fault diagnosis
3.1. Time–frequency analysis of signals
The wavelet transform is a linear transform, whose physical pattern is to use a series of
oscillating functions with different frequencies as window functions ca;b ðtÞ to scan and translate
the signal of xðtÞ; where a is the dilation parameter for changing the oscillating frequency.
Although the wavelet transform is similar to the STFT in a certain sense, differences between
them exist. Compared with the STFT, whose time–frequency resolution is constant, the time–
frequency resolution of the wavelet transform depends on the frequency of the signal. At high
frequencies, the wavelet reaches at a high time resolution but a low frequency resolution, whereas,
at low frequencies, high-frequency resolution and low time resolution can be obtained. Such
adaptive ability of time–frequency analysis reinforces the important status of the wavelet
transform in the fault diagnostics field. In the physical interpretation, the modulus of the wavelet
transform shows how the energy of the signal varies with time and frequency. In engineering
applications, the square of the modulus of the CWT is often called as scalogram, defined as
Eq. (5), which has been widely used for fault diagnostics
SGx ða; b; cÞ ¼ jWx ða; b; cÞj2 : ð5Þ
As early as 1990, Leducq [5] had used the wavelet to analyse the hydraulic noise of the centrifugal
pump. It was maybe the first paper about the use of the wavelet in diagnostics. In 1993, Wang and
McFadden [6] applied wavelet to analyse the gear vibration signals, and found that the wavelet is
able to detect the incipient mechanical failure and to detect different types of faults
simultaneously. Further research was also performed by them [7,8]. In about 1994, Newland
published several papers successively [9–12], in which the wavelet transform was introduced
systematically, and the basic theory, the methods, application examples about the use of the
wavelet in vibration signal analysis were given. Moreover, he proposed a new wavelet—harmonic
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wavelet and discussed its properties and applications. In 1999, he used the harmonic wavelet to
identify the ridge and phase of the transient signals successfully [13]. Newland’s work made the
wavelet popular in engineering applications, especially for vibration analysis; and later on, the
wavelets prevailed in the machine fault diagnostics. Gears, as one kind of the most important
components in machines, were probably the most exploited objects by wavelets, which were
pioneered by Wang and McFadden [6]. Boulahbal et al. [14] used the scalogram on the residual
vibration signal of gears. Some distinctive features of the cracked tooth were obtained and the
precise location of a crack was detected. Wang et al. [15] experimentally investigated the
sensitivity and robustness of the currently well-accepted techniques for gear damage monitoring,
including the wavelet transform, and the results show that the wavelet transform is a reliable
technique for gear health condition monitoring, which is more robust than other methods.
Dalpiaz [16] has studied a gear pair affected by a fatigue crack. Yesilyurt and Ball [17] used the
wavelet to detect the weakened gear teeth caused by bending fatigue cracks and to assess its
severity. Many other applications included tooth defects in gear systems [18–20], planetary gear
train [21,22] and spur gear [23], etc. The cracks in rotor systems or in structures were another
important objects for the application of the wavelets. Adewusi and Al-Bedoor [24] analysed the
start-up and steady-state vibration signals of the rotor with a propagating transverse crack by
scalograms and space-scale energy distribution graphs. The start-up results showed that the crack
reduced the critical speed of the rotor system. The steady-state results showed that the
propagating crack caused changes in vibration amplitudes with the frequencies corresponding to
1X, 2X and 4X harmonics. The vibration amplitude with the frequency 1X may increase or
decrease depending on the location of the crack and the side load. However, the amplitude with
the frequency corresponding to 2X increases continuously as the crack propagates. Wavelets were
also used for crack detection. Examples include the edge cracks in cantilever beams [25], cracks in
the rotors [26], cracks in beam structures [27] and in smart structures [28], damages in
structures [29,30], cracks in metallic structures [31], cracks in composite plates [32,33], etc.
Staszewski [34] made a review on structural and mechanical damage detection using wavelets.
Besides gears and cracks, many other objects have been the clients of wavelets. Dalpiaz and
Rivola [35] assessed and compared the effectiveness and reliability of different vibration analysis
techniques for fault detection and diagnostics in cam mechanisms, including wavelets. Tse and
Peng [36] compared the effectiveness of the wavelet and the envelope detection (ED) method
using for rolling element bearing fault diagnosis, and the results showed that both the wavelet and
ED methods are effective in finding the bearing fault, but the wavelet method is less time
expensive. Peng et al. [37] analysed three kinds of typical faults: rub-impact, oil whirl and
coupling misalignment, which often occur in rotating machines, by scalograms. Further research
on the rub-impact in the rotor system was carried out with scalograms and wavelet phase
spectrums [38].
Fig. 1 shows an example of the wavelet scalogram derived from the vibration response in an
industrial machine. Here, a two-dimensional contour plot of the scalogram is used, together with
the classical time and frequency domain representations. It can be seen that the scalogram can
better exhibit the non-stationary of the analysed signal whose frequency components change with
the time.
When the complex wavelet is used, the wavelet transform can provide the amplitude and phase
information of the signals simultaneously. The phase spectrum can be calculated easily from the
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Fig. 1. A non-stationary vibration signal (a), its frequency representation (b) and wavelet scalogram (c).
Fig. 2. A simulation signal (a) and its wavelet phase map (b) (at the time of 1 s, the signal’s frequency changed and
started to increase with time).
wavelet transform, shown as following:

1 Im½Wx ða; b; cÞ
WPx ða; b; cÞ ¼ tg : ð6Þ
Re½Wx ða; b; cÞ
Compared with the scalograms, the phase spectrum of the wavelet transform is much more
difficult to be interpreted. However, it can also provide useful information in particular about
signal discontinuities and impulses. It has a very distinct property: for every discontinuity in the
signal, there will be a taper direct to it accurately, which is formed by the bands with constant
phases. It is an inherent property for the wavelet phase spectrum no matter what the chosen
wavelet function is. Fig. 2 shows the phase spectrum of the wavelet transform that can be used to
detect the signal discontinuities.
Staszewski and Tomlinson [39] used the wavelet phase to detect the damaged tooth in a spur
gear. Boulahbal et al. [14] used both the scalograms and the phase maps in conjunction to assess
the condition of an instrumented gear test rig, and the phase map was found to be able to display
distinctive features in the presence of a cracked tooth. Wong and Chen [40] investigated the non-
linear and chaotic behaviour of structural systems by scalograms and phase spectrums.
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Good ability in time–frequency analysis makes the wavelet qualify for the transient process
analysis. Chancey and Flowers [41] used the harmonic wavelets to identify transient vibration
characteristics and found a relationship between the transient vibration patterns and the absolute
value of the wavelet coefficients. Kang and Birtwhistle [42] developed a wavelet-based technique
to characterise the vibration burst signals of the power transformer on-load tap-changer (OLTC).
This technique can identify the delays between bursts, the number of bursts and the strengths of
bursts well, all of which are important for the condition assessment of OLTC. Yacamini et al. [43]
proposed a method to detect shaft torsional vibrations in AC motors and generators from their
stator currents, and the wavelet was used to deal the transient conditions, under which the
measured stator current was non-stationary. Wang [44] applied the time–frequency-scale wavelet
map to detect the transients from different mechanical systems. Al-Khalid et al. [45] used the
wavelet transform to detect the fatigue damage in structures, which was modelled as a random
impulse in the input signal. Gaberson [46] used the wavelet transform to identify the location and
magnitude of the transient events in machinery vibration signals.
Without doubt, for the adaptive time–frequency analysis ability, the wavelet is generally able to
perform better than other methods, such as the FFT and STFT, etc. Therefore, the wavelet has
been widely used for fault diagnostics, which can be seen through the abundant applications as
mentioned above. However, the wavelet also has its shortcomings, but rarely taken into account
in the applications. For example, it will always suffer the effects of the border distortion and
energy leakage, and the phase spectrum of the wavelet is not robust to noise, and therefore once a
signal is contaminated by noise, its phase spectrum will change greatly. Moreover, since the
definition of wavelet transform is essentially based on the convolution, the occurrence of the
overlapping is inevitable. The overlapping will cause undesirable frequency aliasing and bring the
interference terms to the scalograms under certain conditions. It can be seen that the scalogram
shown by Fig. 1(c) has many interference terms. The overlapping and interference terms will
mislead our analysis of signals. To overcome these problems of the wavelets, Tse and Yang have
made lot of efforts. They had proposed a simple but not very accurate algorithm, which would
employ the singularity detection method, to deal with the overlapping problem occurring in the
CWT [47]; and also presented a new family of DWTs, which mainly consisted of a series of
Butterworth filter banks, to lighten the overlapping problem in the DWT case [48]. The reassigned
method [37] can reduce the interference terms and improve the readability of the scalograms.
However, the computing of the reassigned scalogram is time expensive. The reassigned scalogram
of the case in Fig. 1(c) is shown as Fig. 3. It can be seen that there are few interference items in the
reassigned scalogram.
Fig. 3. A reassigned scalogram.

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3.2. Fault feature extraction
Apart from the original intention of the wavelet transform for the analysis of non-stationary
signals, another very important and successful application of the wavelet in machine fault
diagnostics is fault feature extraction. Due to the compact support of the basis functions used in
the wavelet transforms, wavelets have good energy concentration properties. Most coefficients cmn
are usually very small, and can be discarded without causing a significant error for signal’s
presentation. Therefore, the wavelet transform can present the signal with a limited number of
coefficients. These coefficients usually can be directly used as the fault features. The key problem
is which coefficients should be selected as the fault features and can best describe the fault. There
were already many solutions to this problem, among which the thresholding method is a typical
one, in which the wavelet coefficients are set to zero according to the threshold function
(
cmn ; cmn > y;
Aðcmn Þ ¼ ð7Þ
0; cmn py;
where y is a threshold.
Chen et al. [49,50] decomposed dynamic transient signals by the discrete wavelet transform and
selected the wavelet coefficients by the hard-thresholding method; that is, keeping those
coefficients that are bigger than the constant thresholding and discarding other smaller
coefficients. Then, those coefficients, as being fault features, were inputted into an ART net for
fault classification. This method has been applied to a refinery fluid catalytic cracking process
successfully. Lin and Qu [51] used the wavelet entropy as a rule to optimise parameters of the
wavelet function. Then, the vibration signals from the rolling bearing and the gearbox were
decomposed with the wavelet function. Finally, an improved soft-thresholding method was used
to extract the impulse component as fault features from vibration signals. Yen and Lin [52]
decomposed the vibration signals with the wavelet packet transform, and selected the coefficients
as fault features with the aid of a statistics-based criterion. Goumas et al. [53] used discrete
wavelet transform to analyse the transient signals of the vibration velocity in washing machines
and fault features were extracted from the wavelet coefficient. Then minimum distance Bayes
classifiers were used for classification purposes and such a method was used for product quality
control. Similar investigation on washing machines was carried by Stavrakaki et al. [54] but they
used Karhunen Loeve transform to select features from wavelet coefficients and several classifiers’
performance was compared. Lu and Hsu [55] presented a wavelet-based method to detect the
existence and location of structural damage. They found that the changes in the wavelet
coefficients of the vibration signals were very sensitive to minor localised damage and the
maximum change of the wavelet coefficients was often corresponding to the location of the
damage. Liu et al. [56] proposed a wavelet packet-based method for fault diagnostics. Wavelet
packet coefficients were used as features. Ball bearings were studied, and the results showed that
the coefficients had a high sensitivity to faults. Momoh and Dias [57] used both the FFT and the
wavelet transform as feature extractors to diagnose the type and location of faults in the power
distribution system. They concluded that features extracted from wavelet transforms gave better
results. Ye and Wu [58] calculated the features with wavelet packet decomposition coefficients of
the stator current to detect the induction motor rotor bar breakage. Momoh et al. [59] compared
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the performances of feature extractors for DC power system faults, including the FFT, the
Hartley transform and the wavelet transform; and the conclusions showed that the wavelet
exhibited a superior performance. Altmann and Mathew [60] presented a novel method, which
was based on an adaptive network-based fuzzy inference system, to select the wavelet packets of
interest as fault features automatically. It was proved that the method could enhance the detection
and diagnostics of low-speed rolling-element bearing faults. Akbaryan and Bishnoi [61] used PCA
technique to reduce the size of the feature space extracted from wavelet coefficients. Mufti and
Vachtsevano [62] fuzzed the fault features extracted by the wavelet transform; and then, a fuzzy
inference was applied. Aminian [63] developed an analog circuit fault diagnostic system based on
Bayesian neural networks using wavelet transform, normalisation and principal component
analysis as preprocessors. Essawy et al. [64] presented an automated integrated predictive
diagnostics method for the monitoring of the health of complex helicopter gearboxes. In this
method, the neuro-fuzzy algorithm and the sensor fusion were used, and the wavelets were used to
analyse the vibration data and to prepare them for neural network inputs. The applications of
wavelet coefficients can be found in many other works [65,66].
Besides the wavelet coefficients, many other wavelets-based fault features were presented, such
as Xu et al. [67] calculated the singularity exponents of the envelops of vibration signals with the
wavelet transform-based method and used those singularity exponents as features to diagnose the
breakers’ fault. Hambaba and Huff [68] decomposed the vibration signals from gears in a
helicopter with discrete wavelet transform, and then approximated the wavelet-transformed
signals at each level. Finally, the probability density functions (PDFs) of the residual errors were
expanded into Hermite polynomial and the coefficients of this expansion were used as fault
features for the detection of the early fatigue cracks in gears. Zheng, Li and Chen used the feature
energy of the time-averaged wavelet spectrum as fault information to detect the gear fault in a
gear-box [69]. Yen and Lin [70] used the wavelet packet node energy selected by Fisher criterion
function as fault feature and the network as classifier. Seven types of faults of gearboxes in a
helicopter were investigated by this method. A comparison was made with the Fourier-based
features, and the results showed that the wavelet packet-based method was more robust to the
white noise. Liu and Ling extended the Mallat and Zhang’s matching pursuit [71] to machine
diagnostics. The wavelets were treated as features directly for the detection of diesel engine
malfunctions. The results showed that both the sensitivity and the reliability of this method were
very good [72,73]. Osypiw et al. [74] developed a fast Gaussian wavelet algorithm with very
narrow band-pass filtering technique to extract some main features from the vibration signals,
such as the significant frequencies, etc. Ren et al. [75] took the wavelet modulus maximum as the
fault features to detect and diagnose the faults in a control system. Chen and Wang used the
instantaneous scale distribution of the wavelet transform for quantifying pattern features, then a
multi-layer perceptron pattern classifier was used to identify gearbox faults [76]. Peng et al. [77]
used the number of wavelet modulus maxima lines and the singularity exponents as features to
identify the shaft centre orbits of the rotating machines. In Ref. [78], Shibata, Takahash and Shira
used the wavelet transform to analyse the sound signals generated by bearings in the time–
frequency domain, and the signal component indicative of a fault was identified. In addition, a
symmetrised dot pattern method was also described, which can visualise the sound signals in a
diagrammatic representation, and so, it was possible to distinguish differences between normal
and faulty bearings.
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In conclusion, based on the wavelet transform, many kinds of fault features can be obtained, all
of which can be classified as the wavelet coefficients based, wavelet energy based, singularity based
and wavelet function based, etc. roughly. Since the wavelet coefficients will highlight the changes
in signals, which often predicate the occurrence of the fault, the wavelet coefficients-based features
are relatively suitable for early fault detection. However, because the slight changes in signals
often have small energy these changes will be easily masked in the wavelet energy-based features.
Therefore, the wavelet energy-based features are often not able to detect the early faults. The
singularity-based features will easily suffer from the influence of noise, even the slight noise will
cause the remarkable change in the singularities, and therefore how to lighten the influence of
noise is worth great research efforts when using the singularity based features.
3.3. Singularity detection
Most information of a signal is often carried by the singularity points, such as the peaks, the
discontinuities, etc. Moreover, at the moment when faults occur, the output signals usually
contain jump points that often are singularity points. Therefore, singularity detection has played
an important role in fault diagnostics. The polynomial trends in the signals could mask the local
weak singularities in signals and this caused some methods failing to detect those singularities. On
the other hand, the wavelet function can be chosen as the orthogonal to polynomial behaviour of
arbitrarily high order, and therefore can remove the polynomial trends and highlight the
singularity points in signals, thus the singularity points can be detected easily by the wavelet-based
methods. The wavelet modulus maxima method has been almost a standard method for the
detection of singularity points [79], in which the wavelet modulus maxima lines play an important
role. The modulus maxima line consists of the points that are local maxima in the time–scale
.
plane, and whenever the analysed signal xðtÞ has a local Holder exponent hðt0 ÞoN (the vanishing
moment of the wavelet function c), there is at least one modulus maxima line pointing towards t0 ;
along which the wavelet coefficients have the scaling behaviours as follows:
jWx ða; t0 ; cÞjBahðt0 Þ ; ð8Þ
.
where the hðdÞ are the Holder exponents, which are also often used as fault features. Fig. 4 shows
a vibration signal sampled from a rotor with serious rub-impact malfunction and its wavelet
modulus maxima.
Fig. 4. A vibration signal (a) and its wavelet modulus maxima (b).
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Now, the wavelet transforms are often used for the detection of the singularity points in output
signals sampled from the machines, furthermore, for fault diagnostics. Sun and Tang applied
wavelet transform modulus maxima to detect abrupt changes in the vibration signals obtained
from operating bearings being monitored [80]. Ruiz, Nougues and Calderon et al used the
wavelets to determine the singularities of the transients and to reduce the dimensionality of the
data. Then the processed signals were input into an ANN for the fault classification. This method
was applied to a batch chemical plant [81]. Tang and Shi [82] combined the dyadic wavelet
transform method and the singularity analysis method to separate the weak reflected signals from
the defects from the noise, and, furthermore, to detect the weak bonding defects occurring in
solid-phase welded joints. Dong et al. [83] introduced five kinds of applications of the wavelets in
power system fault signal analysis, including fault location identification through the singularity
detection technique. Jia et al. [84] employed the singularity detection with wavelets to obtain the
polarities and magnitudes of the abrupt change of voltage and current caused by the fault, and
determined the faulty circuit through the comparison of the polarities and magnitudes. This
method was applied for single-phase-to-ground fault analysis. Chen and Lu [85,86] introduced a
method that used the wavelet transform to detect the singular signal and its singularity and
extended this method to fault diagnostics for the electro-hydraulic-servo system. Lin et al. [87]
used the similar method to analyse the vibration signals of the reciprocating compressor valve.
Zhang et al. [88] applied the wavelet-based singularity detection method to detect the position of
the rub fault occurring in the rotating machines.
Undoubtedly, the wavelet transforms are very successful in singularity detection, but when
using the wavelet transforms to detect singularity, regularity could be an important criterion in
the selection of a wavelet function. Usually, the selected wavelet must be sufficiently regular,
which implies a long filter impulse response; otherwise some singularities would be overlooked.
Additionally, the noise will influence the performance of the wavelet greatly, therefore before the
singularity is detected, the signal preprocessing must be carried out.
3.4. Denoising and extraction of the weak signals
Signal preprocessing is an important step to enhance the data’s reliability and, thereby, to
improve the accuracy of the signal analysis. The core of signal preprocessing is to increase the
signal-to-noise ratio (SNR), that is, to remove the noise and to highlight the signals interested.
However, the noise is generally unavoidable, which is usually introduced into signals by various
disturbances, such as the disturbance from the exotic environment, and from testing instrument
self, etc. Denoising and extraction of the weak signals are very important for fault diagnostics,
especially for early fault detection, in which cases features are often very weak and masked by the
noise. The noises are often stochastic signals with broadband, whose frequency band will overlap
with the interested signals’. Therefore, it is difficult to eliminate the noise from the signals
effectively with general filtering methods. In addition, traditional methods require some
information and assumptions about the signals that one wants to extract from the noise, such
as which class the signal belongs to. With wavelets, it is enough to know that a signal belongs to a
much family, which often includes many more classes, but to know anything more. Just as
Donoho [89] said, ‘‘you do as well as someone who makes correct assumptions, and much better
than someone who makes wrong assumptions.’’ An orthogonal wavelet transform can compress
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the ‘‘energy’’ of the signal in a relatively small number of big coefficients, while the energy of the
white noise will be dispersed throughout the transform with relatively small coefficients. It gives us
more options to select some sample methods to eliminate the noise. Now, a lot of wavelet-based
methods for the denoising have been available, for example, the soft-thresholding method [90] by
Donoho, and the wavelet shrinkage denoising by Zheng and Li [91].
The super merits of the wavelet in the denoising make it to be used widely for signal
preprocessing in the fault diagnostics field. Altmann and Mathew [92] used the discrete wavelet
packet analysis-based multiple band-pass filtering to deal with the vibration signals from a low-
speed rolling-element bearing and good results were obtained with a significantly improved SNR
compared to its high-pass counterpart. Littler and Morrow [93] applied the discrete wavelet
transform for the denoising for power system disturbance signals, and the transient fault signals
were thus enhanced. Yang and Liao [94] proposed a wavelet-based denoising approach, in which
the threshold of eliminating the noises will be adjusted adaptively according to the background
noises. This method was used in a power quality monitoring system to achieve the purpose of the
easy and correct detection and localisation of the disturbances in the power systems. Menon et al.
[95] used the wavelet-based method to eliminate the background operational noises, which were
troublesome in using the acoustic emission technology to detect small fatigue cracks in rotor head
components. Shao et al. [96] used the wavelet to preprocess the fault signals, the noises and the
spikes were removed, and then the wavelet coefficients obtained were used as the inputs of the
non-linear PCA algorithm for the process performance monitoring. Pineyro et al. [97] compared
the performances of three methods in the detection of the localised defects in rolling element
bearings, including the second-order power spectral density, the bispectral technique and the
wavelet. The wavelet was proved to be useful in the short transient detection for the reason that it
could eliminate the background noise. Lin [98] applied the wavelet-based method to remove the
noise from the machine sound, and, furthermore, to extract the fault features for diagnostics.
Watson and Addison [99] employed the wavelet transform modulus maxima filtering to the non-
destructive testing signals of the piled foundations. It was proved that the technique allowed for
the effective partitioning of sonic echo signal and noise. Bukkapatnam et al. [100] coupled the
neighbourhood method and the wavelet method for signal separation of the chaotic signals. Its
capability was proved by numerical studies and the vibration signal analysis sampled from a wear
tool in machining. Krishnan and Rangayyan [101] presented a novel wavelet-based denoising
method to improve the SNR of the knee joint vibration signals. Hu and Zhou [102] applied the
wavelet transform modulus maxima method to eliminate the noise from the residual signal and,
therefore, to improve the robustness of the fault detection. This method was applied to the
structure fault detection in the fighter. Liu et al. [103] used the wavelet to preprocess the diesel
cylinder vibration signals, mainly focused on the denoising. Duan and Zhang [104] used the
wavelet to filter the noise to purify the centre orbit of a rotor.
The principle of the wavelet for denoising is different from that of the traditional filter-based
method. In brief, in the filter-based methods, the frequency components outside a certain range
are often set to zero, which may cause some useful fault information to be lost since some burst
faults often appear as impulses in signals and these impulses always cover a wide frequency range,
therefore the filter-based denoising methods will smooth some impulses. On the contrary, the
wavelet-based methods are often to set some small wavelet transform coefficients to zero, which
can retain the impulses in signals well because those impulses are often represented as some big
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wavelet coefficients in the wavelet transform. Especially, the wavelet transform modulus maxima
method can do very well in retaining the useful fault information meanwhile denoising. Therefore,
in conclusion, the wavelet-based methods are more suitable for the preprocessing of fault signals
than the filter-based methods.
3.5. Vibration signal compression
For rotating machines, in order to acquire enough information to assure the diagnostics
accuracy, a fault diagnostics system must sample signals through many channels simultaneously
with high sampling speed, and therefore, the data is often massive. Thus, for fault diagnostics
systems, especially for those online systems, it is difficult but necessary to save the real-time data
on hard disks for long time. Additionally, with the development of the internet-based remote fault
diagnostics technique, high-performance data compression algorithms are needed, which will be
useful to solve the bottleneck of the massive data transmission, to reduce the cost of the data
transmission, and further to improve the performance of the remote fault diagnostics system.
Data compression maybe the most successful application of the wavelet transform, including one-
dimensional signal compression and two-dimensional image compression. Also due to the
compact support of the basis functions used in the wavelet transform, wavelets have good energy
concentration properties. Most wavelet coefficients are therefore very small, and they can be
discarded without causing a significant error in the reconstruction stage, then data compression is
achieved. The data compression and decompression algorithms essentially consist of five major
steps: transform, thresholding, quantisation/encoding, decoder and reconstruction, shown as the
following block diagram (Fig. 5).
The performance of the compression algorithm can be evaluated by two parameters [105]. The
first one is the compression ratio defined as the ratio of the number of bits of the original data xðtÞ
#
to the number of bits of the compressed data xðtÞ: The second parameter is the normalised mean-
square error given as
100 X N
MSEðxÞ ¼ ðxi x# i Þ2 ; ð9Þ
Ns2x i¼1
where sx is the standard deviation of the xðtÞ and N is the number of the sample points in the
analysed data.
The wavelet transform has been used for vibration signal compression successfully. Staszewski
has studied the performances of the wavelet-based compression methods for different types of
signals. The results indicated that the wavelet-based methods are more suitable for non-stationary
vibration signal compression. Usually, the more non-stationary the vibration signal is, the better
the compression performance will be. The criterions for the selection of the wavelet function used
x(t) DWT Thresholding Encoder

Sparse Matrix
Storage
xˆ ( t ) IDWT Decoder
Fig. 5. Block diagram of compressor/decompressor.

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for vibration signal compression were given. In general more compactly supported, and therefore
less smooth wavelet functions, are better suitable for non-stationary and irregular signals, such as
transient signals. Less compactly supported, and therefore more smooth wavelet functions, are
better suitable for stationary and regular signals, such as periodic data. Actually, this criterion is
suitable for feature extractions as well [105]. Staszewski [106] combined the wavelet with the
genetic algorithm to compress signals. The method was applied to the compression of the gearbox
vibration spectra showing a potential for storage, transmission and fault feature selection for
condition monitoring. Makoto et al. [107] tried to use several different Daubechies wavelet
functions to compress the vibration signals sampled from motor bearing rings. Moreover, they
constructed a requantiser to optimise bit allocation under the given permissible distortion. The
comparison with discrete cosine transform (DCT)-based methods showed that the wavelet-based
method was more effective. Shen and Gao [108] used the wavelet method to compress the
mechanical vibration signals and the compression ratios of 10–20 were obtained. In Ref. [109], Ma
and Lu introduced a vibration signal compression method in detail, which was based on the
wavelet and the embedded coding of zero tree. The performances of the method were
demonstrated through three kinds of typical vibration signal compression. Xu et al. [110]
reviewed the properties of vibration signals in rotating machines and the relation between the
wavelet coefficients and the singularities of the signals. On this basis, they proposed a new data
compression algorithm, in which wavelet coefficients were used to present the singularities of the
signals and the frequency components to present the normal characteristics of the signals.
Application results showed that this method could achieve high compression ratio with a
reservation of good local characteristics.
Actually, the data compression principles are similar to the denoising, that is, setting some
small coefficients to zero so that we can use a few bits to represent the signal during the encoding
stage. Therefore, the use of the wavelet-based method can often obtain high compression ratio
meanwhile retaining the singularities of signals, which often contain most of the fault information.
While it is difficult to achieve these purposes for the Fourier transform (FT)-based method, for
example, the DCT-based method, which suits to the regular signal compression but the irregular
signals [107]. In conclusion, compared with the FT-based method, the wavelet transforms have
prominent advantages in vibration signal compression because the wavelet transforms can retain
more fault information during the compression.
3.6. System and parameter identification
Machine faults can be reflected by the changes of the system parameters or modal parameters,
such as the natural frequency, damping, stiffness, etc. Therefore, people extended the system
parameter identification to the fault diagnostics field [111]. Different identification methods have
been developed. These methods can be classified based on the time and the frequency domains.
The thought of the time domain techniques is basically to fit the impulse response function of a
mechanical system. They will be affected by the noise greatly and be with large amount of
computation cost. The frequency domain methods are based on the frequency response functions
(FRF), which will often give significant errors resulting from the influences of the energy leakage
and the spectrum overlap. In order to overcome all these problems, filtering operations are
inevitable in system and parameter identifications. The wavelet transform has dominant
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advantages in signal filtering, which, plus other merits such as time–frequency presentation, the
compactly support base, etc., makes the wavelet transform perform well at the parameter
identifications.
Staszewski [112] presented a wavelet-based mode decoupling procedure, in which three different
damping estimation procedures for linear systems were presented. One based on the wavelet
transform cross-sections, which can be obtained directly from the frequency domain of wavelet
formula
pffiffiffi Z
Wx ða; b; cÞ ¼ a xðf Þc # ðaf Þej2pfb df ; ð10Þ
a;b
# ðdÞ is the complex conjugate of cðdÞ:

where c #
The second method recovered the impulse response function for a single mode i from the
wavelet transform by using Eq. (11)
Z tþaDtc
1 da
xðtÞ ¼ Wx ða; b; cÞ ; ð11Þ
Cci taDtc a
where Dtc and Dfc are the duration and bandwidth of the basic wavelet function, and
Z fi þDfc =a #
jcðf Þj2
Cci ¼ df : ð12Þ
fi Dfc =a jf j
The third method used the wavelet ridges and skeletons.

Staszewski [113] extended the wavelet ridges and skeletons methods for the identification of
non-linear systems and good results were obtained. Further experimental studies can be found in
Ref. [114]. Akhmetshin and Sendetski [115] introduced the wavelet packet algorithm into free-
oscillation testing method for the estimation of fault parameters of structures. Robertson et al.
[116,117] presented a wavelet transform-based method to extract the impulse response
characteristics from the measured disturbances and response histories of linear structural
dynamic systems. They [118,119] also used the discrete wavelet transforms for the identification of
structural dynamics models. With these methods, the structural modes, mode shapes and damping
parameters were extracted. Freudinger et al. [120] used the Laplace wavelet to decompose a signal
into impulse responses of single mode subsystems, and, thereby, to identify the model parameters
of a flutter. Similar efforts were made by He and Zi [121] for the identification of the natural
frequency of the hydro-generator axle. Yu et al. [122] discussed the application of the wavelet in
structural system identification. Detailed steps for the determination of the impulse response and
the estimation of the response function were given. Their researches also included the modulated
Gaussian wavelet for modal parameter identifications [123] and the wavelet for time-varying
modal parameter identification [124]. Ruzzene et al. [125] used the wavelet transform as a time–
frequency representation for system identification purposes, and the results showed that wavelet
analysis of the free response of a system allowed the estimation of the natural frequencies and
viscous damping ratios. Liu et al. [126] addressed a wavelet-based method for the identification of
dense modal parameters of a flexible space structure. Ma et al. [127] presented a wavelet-based
method on identifying the dynamic characteristics of bearings. Experiment results showed that
this method was well robust to the influence of the measurement error. Many other applications
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of the wavelet in identifications included hydro-generator axles’ viscous damping coefficients [128]
and FRF [129].
3.7. Other applications
Compared with the traditional networks, the wavelet neural networks, in which the basis
functions are drawn from a family of orthonormal wavelets, have better localisation
characteristics both in the time and frequency domains. These networks allow hierarchical and
multi-resolution learning of input–output maps and therefore have strong ability in the function
approximation and good resolution when using for pattern recognition. Wavelet neural networks
have been widely used for the fault diagnostics [130–134]. Moyo and Brownjohn applied the
wavelet power spectra and the cross-wavelet power spectra to characterise the structural response
[135]. Staszewski and Giacomin [136] extended the concept of the FRF to the time–scale domain,
and presented the concept of the wavelet-based FRF, which reflected the ratio of output to input
in the time–scale domain and thus fully characterising time-variant physical systems. The method
was used for the analysis of the vehicle road data. The wavelet has often been used to estimate the
PDF to the process monitoring [137–139]. The wavelet can do very well for trend analysis and
condition prediction as well [140,141].
4. Prospects of wavelet in fault diagnostics
With the development for about 10 years, the wavelet transform has been widely used in fault
diagnostics. But, compared with the FT, the applications of the wavelets have still not achieved a
standard status. Many reasons have caused the current status of wavelets in fault diagnostics. For
example, many functions can be used as the wavelet basis, but there is no a standard or a general
method to select the wavelet function for different tasks. It is an obstacle for the popularisation of
the wavelet transform. Some people have paid attention to this problem [105]. Additionally, an
ignored problem is how to determine the range scales used in the wavelet transform. The solution
to this problem is important. Wavelet transforms with scales out of this range would bring some
meaningless information, which will mislead the signal analysis. Some discussion about this
problem can be found in Ref. [142]. Unlike the FT, the results of the wavelet transform have no
straightforward physical implications, and therefore it is difficult to obtain useful information
directly from the results of the wavelet transform. Furthermore, different wavelet functions may
result in different analysis results, which will make not only many engineers but also some new
learners of wavelets become confused. Therefore, although the wavelet transform has many merits
in signal processing, almost all engineers are still favorite with the FT. It is, therefore, very
necessary to find an easily understood way to present the results of the wavelet transforms. The
wavelet scalograms, which are similar to the spectrums of the STFTs, can be understood with
relatively easy, so it may be able to remedy the regret of difficulty to understand the results of the
wavelet transforms in a certain extent. Solving all those problems mentioned above will promote
the popularisation of the wavelets.
Non-linear problem analysis, which is unavoidable in the fault diagnostics field, maybe is
another field in which the wavelet will achieve success. Wong and Chen [38] have investigated the
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non-linear and chaotic behaviours of the structural system by wavelet transforms. Jubran et al.
[143] used the modulated Gaussian wavelet to analyse the chaotic behaviour of the flow-induced
vibration of a single cylinder in cross-flow. Pernot and Lamarque [144,145] presented a wavelet-
Galerkin procedure to investigate time-periodic systems, including transient vibration and
stability analysis. Suh and Chan [146] developed an innovative wavelet-based diagnostic
methodology to perform real-time detection of mechanical chaos occurring in high-speed, high-
performance rotor-dynamic systems. Zheng et al. [147] have studied the bifurcation and chaos
phenomena with wavelets. It can be expected that the wavelet transform would enjoy greater
success in non-linear problem analysis.
Hitherto, almost all applications of the wavelet are limited to find some new phenomena or
some new fault features from the sampled signals, based on which some novel and useful fault
detection methods have been presented. But it is a pity that few further researches have been
carried out to discuss the reasons for those new phenomena found by the wavelet-based methods,
and, actually, such efforts will be very helpful for the investigation of the fault reasons.
Additionally, there is still a pity about the applications of the wavelet, that is, until now, the
wavelets are always used to analyse a single signal and rarely used to analyse two or more signals
simultaneously to find the relationships between them. It is well known that in order to achieve
accurate fault diagnostics, many different signals have to be sampled from machines. There exist
some relationships between these sampled signals. Undoubtedly, raveling those relationships will
give more useful information for fault diagnostics. The wavelet cross-scalogram can carry out the
correlation analysis between two signals on the time–frequency plane and therefore can give more
information than the traditional correlation analysis only in the time domain. It can be expected
to be a useful tool for fault diagnostics.
5. Concluding remarks
The applications of the wavelet analysis have covered almost every aspect of the fault
diagnostics. A review on all of them in a couple of pages is certainly not possible. In this review,
all applications were divided into several main aspects, including the time–frequency analysis of
signals, the fault feature extraction, the singularity detection for signals, the denoising and
extraction of the weak signals, the compression of vibration signals and the system identification.
Some other applications are introduced briefly as well, such as the wavelet networks, the wavelet-
based frequency response function, etc. In addition, some problems occurred in the use of the
wavelet to fault diagnostics are analysed. The prospect about using the wavelet to solve non-linear
problems is discussed.
Acknowledgements
This research is supported financially by National Key Basic Research Special Fund (No.
G1998020309) and Natural Science Foundation of China (Grant No. 50105007).
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Application of the wavelet transform in machine condition

4. Prospects of wavelet in fault diagnostics . . . . . . . . . . . . . . . . . . . . . . . . . . . . 214

3. An application overview of wavelet in fault diagnosis

3.1. Time–frequency analysis of signals

wavelet transform, shown as following:

Fig. 3. A reassigned scalogram.

3.2. Fault feature extraction

3.3. Singularity detection

3.4. Denoising and extraction of the weak signals

3.5. Vibration signal compression

x(t) DWT Thresholding Encoder

Fig. 5. Block diagram of compressor/decompressor.

3.6. System and parameter identification

# ðdÞ is the complex conjugate of cðdÞ:

The third method used the wavelet ridges and skeletons.

3.7. Other applications

4. Prospects of wavelet in fault diagnostics

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