Research on fault diagnosis method of electromechanical

transmission system based on one-dimensional

convolutional neural network with variable learning
rate
Liwu Liu1, Guoyan Chen2, Feifei Yu3, Canyi Du4, Yongkang Gong5, Huijin Yuan6,
Zhenni Dai7
1, 4, 5, 6, 7School
of Automotive and Transportation Engineering, Guangdong Polytechnic Normal University,
Guangzhou, Guangdong, 510665, China
2, 3School of Mechatronic Engineering, Guangdong Polytechnic Normal University, Guangzhou,

Guangdong, 510665, China

3Corresponding author

E-mail: [email protected], [email protected], [email protected], [email protected],

[email protected], [email protected], [email protected]

Received 1 October 2022; accepted 17 February 2023; published online 5 May 2023
DOI https://doi.org/10.21595/jve.2023.22973
Copyright © 2023 Liwu Liu, et al. This is an open access article distributed under the Creative Commons Attribution License, which
permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

Abstract. As an important part of many mechanical equipment, the mechanical transmission

system is very important to carry out efficient and accurate fault monitoring and diagnosis.
Compared with traditional fault diagnosis techniques, such as spectrum analysis, deep learning
has been widely used in the field of mechanical system fault diagnosis due to its powerful data
expression ability, and has achieved certain research results. One-dimensional convolutional
neural network is a widely used model for deep learning, so in this paper, the one-dimensional
convolutional neural network (1D-CNN) in the deep learning theory and the vibration signal
analysis method are integrated and applied to the fault identification of mechanical transmission
system to achieve accurate diagnosis and classification of faults. The experiment is mainly to
collect the vibration signal data of different fault states such as broken teeth, cracking, shaft
unbalance, bearing wear, and excessive friction of the driven wheel of the mechanical transmission
system, it was divided into training set and testing set according to an appropriate proportion, and
1D-CNN was built using Python. The deep learning model deeply analyzed the influence of
different data sample sizes and different model parameters on the recognition accuracy, and
obtained an ideal diagnostic model based on variable learning rate through parameter adjustment
and comparative analysis. This experimental results show that the recognition method based on
one-dimensional convolutional neural network can be effectively applied to the fault diagnosis of
related mechanical transmission, and has a high diagnosis accuracy.
Keywords: deep learning, fault diagnosis, vibration signal, convolutional neural network,
variable learning rate.

1. Foreword

In today’s production activities and daily life, the mechanical transmission system is the most
important motive force and driving device, and has been widely used in various fields of people’s
production and life. The failure or stoppage of the mechanical transmission system will not only
cause damage to the mechanical transmission system itself, but also may cause various problems
such as economic losses, casualties, and pollution of the environment and other problems.
Therefore, the research on fault diagnosis technology of mechanical transmission system is of
great significance. The fault diagnosis technology of mechanical transmission system can find the
fault of the mechanical transmission system in the early stage of failure, so that the targeted
maintenance can be carried out in time, which saves a lot of time and funds for fault maintenance,
and improves the economy benefits while avoiding production stoppage. Traditional fault
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NEURAL NETWORK WITH VARIABLE LEARNING RATE. LIWU LIU, GUOYAN CHEN, FEIFEI YU, CANYI DU, YONGKANG GONG, ET AL.

diagnosis methods need to manually extract a large amount of feature data, such as time domain
features, frequency domain features and time-frequency domain features [1], which increases the
uncertainty and complexity of fault diagnosis. However, with the complex and efficient
development of the mechanical transmission system, the data reflecting the operation status of the
mechanical transmission system presents the characteristics of massive, diverse, fast flow and low
value density of “big data” [1], which makes the traditional fault diagnosis methods unable to meet
the needs of fault diagnosis under the background of big data. At the same time, the development
of artificial intelligence technology promotes the development of fault diagnosis technology from
traditional technology to intelligent technology.
Deep learning, as an important branch of artificial intelligence, is a theory widely used in
computer vision, natural language processing, pattern recognition and classification, and is a new
direction in the field of machine learning. Deep learning can solve complex pattern recognition
problems with the help of machines and anthropomorphic thinking, which is greatly different from
shallow learning. When applying this theory and technology, it emphasizes the depth of model
structure. Deep learning can efficiently complete feature learning and analysis based on layer-by-
layer feature transformation and big data, so as to make predictions and judgments more
scientifically. In order to improve the recognition rate of traditional recognition tasks, deep
learning algorithms have been continuously improved. Deep learning models have been widely
used in mechanical transmission system fault diagnosis, face recognition, speech analysis and
other aspects, providing new ideas and methods for the development of related work [2].
Meanwhile, in recent years, deep learning has also achieved fruitful results in computer vision,
natural language processing, speech recognition, pattern recognition and other fields. It has
achieved great success in image and signal processing, computer-aided detection and diagnosis,
decision support, information mining and retrieval, etc., showing great application prospects [3].
The application of deep learning in the treatment of diseases such as heart disease, pneumonia and
asthma has improved the accuracy of diagnosis [4-6]; In the era of big data, user information is
threatened, and the deep learning network model can monitor and protect the network in real time,
so as to effectively realize the anomaly detection technology [7]. Deep reinforcement learning can
effectively realize the robot’s obstacle avoidance and plan the optimal path from the starting point
to the end point [8]; Applying deep learning to virtualization technology is beneficial to build
fault-tolerant and low-latency networks [9]. The deep learning network model is the intelligent
learning method and cognitive process closest to the human brain, which is also the theoretical
basis for its practical application [10]. At the same time, in the current research, many researchers
have studied algorithms with profound influence on deep learning and applied them to practice,
such as applying an EMMSIQDE algorithm to test the quantum rotary gate to improve the search
accuracy, enhance the diversity of the population, accelerate the convergence and achieve the
optimal solution [11]; A new amplitude spectrum imaging feature extraction method based on
CWT and image conversion technology is proposed, and a CDBN with Gaussian distribution is
constructed to learn the representative features of bearing fault classification [12]; A MPSACO
algorithm is proposed to solve the problem of airport runway planning, avoid taxiway conflicts,
and improve the utilization of taxiway resources [13]. It has solved many important problems and
provided valuable experience for all aspects of society.
According to the literature, one-dimensional convolutional neural network (1D-CNN) is a
model widely used in deep learning for fault diagnosis. It can process complex and large-scale
data samples, simplify operations and other aspects, so as to improve the efficiency of fault
diagnosis. For example, if used in automatic classification of aerial reconnaissance and forensics
targets, it has high throughput and accuracy, and its timeliness can meet the actual needs of the
battlefield [14]. It can also effectively diagnose the fault of hydraulic pump and accumulator to
improve the recognition accuracy [15]. It also plays an important role in bearing fault diagnosis
[2]. At the same time, it was found that some researchers used variable learning rate to study the
bearing fault diagnosis method of multi-layer perceptron [16], the fault prediction research of wind
turbine [17] and the autonomous navigation research of deep-sea autonomous robot (AUV) [18].
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NEURAL NETWORK WITH VARIABLE LEARNING RATE. LIWU LIU, GUOYAN CHEN, FEIFEI YU, CANYI DU, YONGKANG GONG, ET AL.

In addition, the literature review found that there is currently research on the fault diagnosis
method of electromechanical transmission system to be carried out. Therefore, in this study, for
the mechanical transmission system, a one-dimensional convolutional neural network method
based on deep learning is proposed for fault identification, which can accurately diagnose the fault
state.

2. Concept of convolution neural network

2.1. Principle of one-dimensional convolutional neural network

Convolutional neural network (CNN) usually consists of five modules: input layer,
convolutional layer, pooling layer, fully connected layer and output layer [15]. CNN has been
widely used in the field of pattern recognition. Compared with traditional neural networks, it
greatly reduces network structural parameters, accelerates model training efficiency and reduces
the risk of “overfitting” to a certain extent [19].
The difference between one-dimensional convolutional neural network and convolutional
neural network is that the dimension of feature vectors is one-dimensional [20]. In the first step,
the one-dimensional vibration input signal is prepared. By constructing multiple convolutional
layers, pooling layers and using nonlinear activation function, the network can learn the complex
features of the data. Next, build a series of fully connected fully connected layers; After the
activation function in the last fully connected layer, a multi-dimensional vector consisting of each
category probability is output, which is then classified by Softmax to achieve the target output
category. Fig. 1. shows the structure of one-dimensional convolutional neural network (1DCNN).

Fig. 1. Structure diagram of 1D-CNN

Input layer: The function is to preprocess the original vibration signal in segments, and divide
the input signal according to the set time step. The feature extraction layer includes a convolution
layer and a pooling layer, which receives vibration data from the input layer, and uses multiple
convolution kernels in the convolution layer to extract features from the original vibration signal
to obtain multiple feature vectors. The maximum pooling operator reduces the dimension of the
feature vector and improves the robustness of nonlinear features. Multiple alternating
convolutional pooling layers achieve hierarchical extraction of nonlinear features of input signals.
The classification layer consists of two fully-connected layers, of which the first fully-connected
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NEURAL NETWORK WITH VARIABLE LEARNING RATE. LIWU LIU, GUOYAN CHEN, FEIFEI YU, CANYI DU, YONGKANG GONG, ET AL.

layer implements the “flattening” operation on the features, that is, all feature vectors are
connected end to end to form a one-dimensional vector. The number of neurons in the second fully
connected layer is consistent with the number of fault categories, and the Softmax regression
classifier is used to achieve the target output category [15].
One-dimensional convolutional layer: It is composed of several one-dimensional convolution
units (convolution kernels), and the parameters of each convolution kernel are obtained by the
back propagation algorithm to obtain their optimal values. The purpose of the convolution
operation in the convolutional layer is to extract the features of the input samples. The more
complex the convolutional network, the more complex the features can be extracted through
continuous iterations. Convolution formula:

𝑥 = 𝑤, ×𝑥 +𝑏 , (1)

where: 𝑤 , is the input characteristic diagram; 𝑐 is the serial number of the network layer; 𝑥
is the weight parameter; 𝑏 is network offset and 𝑥 is output.
One-dimensional pooling layer: Commonly used are maximum pooling and average pooling.
As shown in Fig. 2.
The connection layer: Map the learned “distributed feature representation” to the sample label
space.
Classifier: With the “Softmax” classifier, the Softmax classifier is a common linear classifier,
which is a generalization of Logistic Regression classifier. The Softmax classifier completes the
multi-classification problem. The formula is as follows:

𝑒
𝑆𝑜𝑓𝑡𝑚𝑎𝑥 𝑧 𝑗 = , (2)
∑ 𝑒

where, 𝑧 𝑗 represents the output value of the 𝐽th neuron in the output layer, 𝑧 (𝑘) indicates the
output value of the 𝐾th neuron in the output layer and 𝑀 represents the total number of
categories [22].

Fig. 2. Schematic diagram of average pooling and maximum pooling

2.2. Principle of learning rate

In machine learning, learning rate is the tuning parameter in the optimization algorithm.
Learning rate is an important super parameter in supervised learning and deep learning, and the
symbol is 𝜂, it determines whether and when the objective function can converge to the local
minimum. The appropriate learning rate can make the objective function converge to the local
minimum in the appropriate time.
However, the selection of learning rate is very difficult, which is determined by the trainers.
High learning rate means that the weight update action is larger, so it may take less time to
converge to the optimal weight. However, too high a learning rate will lead to too large a beat,

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NEURAL NETWORK WITH VARIABLE LEARNING RATE. LIWU LIU, GUOYAN CHEN, FEIFEI YU, CANYI DU, YONGKANG GONG, ET AL.

which is not accurate enough to reach the best advantage. Since a small learning rate is conducive
to the stability of the system, most trainers tend to choose a small learning rate value, which ranges
from 0.001 to 0.1 [23].
The value of learning rate is particularly critical to overcome the problem of gradient descent
method. An excellent learning rate algorithm can set the appropriate learning rate at different
stages of training, so that the model can converge to the optimal solution faster [24]. Too small
learning rate will cause slow convergence of the model, and too large learning rate will cause large
jitter of the loss function. Therefore, an appropriate learning rate algorithm is very important in
the process of depth model training. Table 1 introduces several common learning rate
algorithms [25].

Table 1. Types of learning rate

Change learning rate Optimization algorithm
Fixed attenuation Piecewise constant attenuation, inverse time attenuation,
(natural) exponential attenuation, cosine attenuation
Periodic change Cyclic learning rate, SGDR
self-adaption Adagrad, RMSporp, AdaDeltea

3. Experiment and analysis of motor mechanical transmission system

3.1. Experimental test system and data acquisition

This experimental test system is composed of the experimental platform of DC servo motor
system (including the motor bench and Easy Motion Studio software), and ECON acceleration
signal acquisition equipment (including ECON vibration analyzer and PC platform), as shown in
Fig. 3. Fig. 3 was taken by the author while doing the experiment in the laboratory of Guangdong
Polytechnic Normal University. The measured object was a motor bench, and the experimental
content included fault setting and vibration acceleration signal acquisition. Three PCB vibration
acceleration sensors were pasted on the motor test bench, respectively at the corresponding
positions of the rotating shaft and the bearing base.
The experimental protocol is shown in Table 2. Five fault types were set, including one broken
tooth of the transmission belt, two broken teeth (the position of the break point is basically
symmetric), shaft imbalance, large friction of the passive wheel and bearing damage, etc. Together
with the normal state, a total of six state data were analyzed. The detailed working method is as
follows: after setting a state, set the speed parameters through Easy Motion Studio software, drived
the motor to rotate normally, and use ECON vibration signal acquisition instrument to collect
vibration signals. According to the experimental scheme of the motor, each speed was tested three
times, about 25 s for each time. The collected signals were named and saved. Then the collected
vibration signals are analyzed, including spectrum analysis and one-dimensional convolution
neural network analysis.

a) ECON vibration analyzer b) Motor bench

Fig. 3. Test system
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NEURAL NETWORK WITH VARIABLE LEARNING RATE. LIWU LIU, GUOYAN CHEN, FEIFEI YU, CANYI DU, YONGKANG GONG, ET AL.

Table 2. Experimental scheme of fault setting and data acquisition

No. Status Motor Sampling duration
speed
1 Normal
1 broken tooth of the belt, (broken tooth 1 fault state)
500 rpm
2 2 broken teeth of the belt, and the position of the breaking
1000 rpm
point is basically symmetrical (broken teeth 2 fault state) Each 3 times, each
1500 rpm
3 Shaft unbalance (eccentric mass 977 g) time about 25 s
2000 rpm
4 Belt break
2500 rpm
5 The passive wheel has large friction
6 Bearing damage

3.2. Vibration signal analysis

Perform spectrum analysis on the collected vibration acceleration signals to understand and
observe the dynamic changes and frequency characteristics of different faults, including the main
frequency components of the vibration signal, the range of frequency distribution, and the
amplitude of each frequency component, so as to obtain information about main frequency values
and their corresponding amplitudes that affects the state of the equipment, in order to understand
the characteristic information of each fault state of the equipment to a certain extent [26]. The
current spectrum analysis is mainly divided into numerical algorithms based on time-domain
solution and numerical algorithms based on frequency-domain solution [27]. Among the
numerical algorithms based on time-domain solution, the linear acceleration algorithm [28] and
Duhamel integral method [29] are the most widely used. The time domain algorithm can be used
to determine the dynamic response of the structure under any time-varying external load and initial
conditions. Although the time domain algorithm can effectively solve a large number of problems
about structural vibration, in some cases, the frequency domain algorithm has more advantages
than the time domain algorithm [30-32]. Moreover, due to the introduction of fast Fourier
transform (FFT) and other algorithms [33], the operational efficiency of frequency domain
algorithms has also been greatly improved. Therefore, frequency domain algorithms have been
more and more widely used [34-35]. Therefore, frequency domain analysis is adopted for vibration
signal analysis in this experiment.
In this experiment, the normal state of the transmission system, 1 broken tooth of the belt,
2 broken teeth of the belt (the position of the breakpoint is basically symmetrical), shaft unbalance,
large friction of the driven wheel, belt break and damage of the bearing were set up. The sampling
rate was set to 16384 Hz to collect vibration acceleration signals with sufficient high frequency.
Fig. 4 shows the spectrum analysis diagram of vibration acceleration signals in each state at the
bearing base position at a speed of 2500 rpm.
It can be seen from Fig. 4 that the overall fluctuation law of the vibration spectrum is similar
in the normal state and various fault states. The frequency component corresponding to the
maximum amplitude value is about 200 Hz, which corresponds to the meshing frequency between
the belt and the output shaft belt wheel. In addition to the main frequency peak, there are also
multiple modulation edge bands on both sides of the peak with similar characteristic distributions.
It can be seen that the overall law of the spectrum between the normal state and the fault state is
similar, and it is difficult to identify specific fault characteristics. Therefore, intelligent diagnosis
and recognition can be carried out through the deep learning convolutional neural network
method.

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NEURAL NETWORK WITH VARIABLE LEARNING RATE. LIWU LIU, GUOYAN CHEN, FEIFEI YU, CANYI DU, YONGKANG GONG, ET AL.

a) Normal b) Belt broken tooth 1

c) Belt broken teeth 2 d) Dynamic unbalance

e) Large friction f) Belt breakage

g) Bearing damage
Fig. 4. Spectrum diagram of vibration acceleration signal

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NEURAL NETWORK WITH VARIABLE LEARNING RATE. LIWU LIU, GUOYAN CHEN, FEIFEI YU, CANYI DU, YONGKANG GONG, ET AL.

4. Fault classification based on one-dimensional convolutional neural network

In order to effectively reduce the workload of feature extraction and analysis of different state
signals, an intelligent diagnosis method based on deep learning is adopted. In this paper, through
the 1D-CNN method, in-depth analysis and comparison are carried out for different feature
parameters and different network structure parameters, including the size of the convolution
kernel, stride, number of convolution layers, activation functions, etc., and obtain a network model
with high recognition accuracy.

4.1. Identification analysis for all fault conditions

The 1D-CNN network model is constructed for the data samples under all fault states, and its
parameters are shown in Table 3. The input of its one-dimensional convolution neural network is
the vibration signal data samples in each state. Through this model, the segmented preprocessing
data samples are trained, learned and identified.

Table 3. 1D-CNN model parameters for the full sample size (all fault states)
SN Step Layer(type) Output shape character
1 Input Input (None, 400, 9)
2 Conv1D
3 LeakyReLU
(None, 400, 64) kernel_size=3, padding = ‘same’
4 Conv1D
5 LeakyReLU
Convolutional
pool_size=3, strides=2, padding=
6 Layer and MaxPooling1D (None, 200, 64)
'same'
Pooling Layer
7 Conv1D (None, 200,
kernel_size=3, padding = ‘same’
8 LeakyReLU 128)
(None, 100, pool_size=3, strides=2, padding=
9 MaxPooling1D
128) ‘same’
10 Flatten (None, 12800)
11 Dense
12 LeakyReLU (None, 128)
13 Dropout
Full connected
14 Dense
layer
15 LeakyReLU (None, 32)
16 Dropout
17 Dense
18 LeakyReLU (None, 7)
19 Output Softmax
Total params: 1,681,669
Trainable params: 1,681,669

As shown in Fig. 5, it can be seen that after about 5000 iterations, the loss value of the training
set and validation set are roughly between 1.35 and 1.4, and the accuracy of the training set and
validation set are roughly between 0.8 and 0.9, indicating that the training effect is not ideal.
According to the confusion matrix, the recognition degree of each fault type can be known. The
recognition degree of the normal state is 0.93, the state of broken tooth 1 is 0.54, the state of
broken teeth 2 is 0.91, and the recognition degree of the rest of the fault states is 1, as shown in
Fig. 6. The fault states of broken tooth 1 and broken teeth 2 are easy to be confused and difficult
to distinguish.

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NEURAL NETWORK WITH VARIABLE LEARNING RATE. LIWU LIU, GUOYAN CHEN, FEIFEI YU, CANYI DU, YONGKANG GONG, ET AL.

a)

b)
Fig. 5. Loss function and accuracy of training and verification

Fig. 6. Confusion matrix

4.2. Recognition and analysis under the fault state of removing broken tooth 1

According to the above analysis, the effect of broken tooth fault state is not ideal. The reason
is that the broken tooth 1 fault was realized by artificially cutting off one tooth on the inner side

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NEURAL NETWORK WITH VARIABLE LEARNING RATE. LIWU LIU, GUOYAN CHEN, FEIFEI YU, CANYI DU, YONGKANG GONG, ET AL.

of the belt, which is actually a slight fault state, and the vibration response signal of this state is
very close to the normal state. Therefore, after removing the fault state of broken tooth 1, the
identification analysis is carried out to further grasp the factors affecting the identification
accuracy.
The network structure parameters still use the data in Table 3, and the learning results are
shown in Fig. 7. After about 5,000 training iterations, the loss values of the training set and the
validation set dropped to between 1.1 and 1.15, the accuracy of the training set and the validation
set rose to between 0.9 and 1.0, the accuracy was improved, and the training effect was gradually
ideal. It is verified that the fault of broken tooth 1 is similar to the normal state data, and it is
indeed difficult to identify, which is consistent with the actual situation. The confusion matrix
diagram is shown in Fig. 8. The recognition degree of normal state is 0.97, the recognition degree
of broken teeth 2 fault is 0.98, and the recognition degree of other faults is between 1.00, and the
recognition degree is greatly improved.

a)

b)
Fig. 7. Loss function and accuracy of training and verification

Since the fault degree of broken teeth 2 is also in a slight range, it is also very close to the
normal situation. In order to further verify the conclusion, after removing the fault state data of
broken teeth 2, the remaining states are trained and learned. After about 3000 training iterations,
the loss value of training set and validation set is between 0.9 and 0.95, and the accuracy of training
set and validation set is above 0.99. According to the confusion matrix, the recognition degree of
each fault is 1.00, and the recognition accuracy is 100 %.

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NEURAL NETWORK WITH VARIABLE LEARNING RATE. LIWU LIU, GUOYAN CHEN, FEIFEI YU, CANYI DU, YONGKANG GONG, ET AL.

Fig. 8. Confusion matrix

4.3. Comparison of identification results under different number of fault states

Based on the above analysis, all the fault state data are trained and tested, and the effect is not
ideal. The fault of broken tooth 1 was easily confused with the normal state, and the recognition
degree was as low as 0.54. After removing the fault of broken tooth 1 and retraining and testing,
the recognition degree has been improved, but the recognition degree is only 0.97 in the normal
state, and there is also a recognition error between the fault state of broken teeth 2 and the normal
state. After removing all broken tooth fault states, retraining and testing was carried out. It was
found that the fault identification degree is improved to 1.00 when the number of training iterations
is reduced. The results are shown in Table 4. In general, except for the fault states of broken tooth
1 and broken teeth 2, which are very close to the state data, which are easily confused with the
normal state, the network model has high diagnostic and recognition accuracy for the rest of the
fault states, and the method is feasible.

Table 4. Comparison of recognition accuracy of different fault state types

States
Recognition All fault Eliminate broken Eliminate the fault state of
states teeth 1 fault state broken teeth 1 and broken tooth 2
Normal 0.93 0.97 1.00
1 broken tooth of the belt 0.54 / /
2 broken teeth of the belt (the 0.91 0.98 /
position of the breaking point is
basically symmetrical)
Loaded shaft unbalance (977 g) 1.00 1.00 1.00
Belt break 1.00 1.00 1.00
The passive wheel has large 1.00 1.00 1.00
friction
Bearing damage 1.00 1.00 1.00

5. Analysis of the influence of different model parameters on the recognition results

After the above analysis, to achieve high-precision identification of 7 fault states, the network
parameters shown in Table 3 are not ideal, so we try to adjust the model parameters to find the
optimal network structure.

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RESEARCH ON FAULT DIAGNOSIS METHOD OF ELECTROMECHANICAL TRANSMISSION SYSTEM BASED ON ONE-DIMENSIONAL CONVOLUTIONAL
NEURAL NETWORK WITH VARIABLE LEARNING RATE. LIWU LIU, GUOYAN CHEN, FEIFEI YU, CANYI DU, YONGKANG GONG, ET AL.

5.1. Different convolution kernel sizes

a) Try to change the size of the convolution kernel from 3 to 5, and verify whether modifying
the size parameter of the convolution kernel can improve the recognition degree. After testing, as
shown in Fig. 9, it can be seen that after about 5000 iterations, the loss value of the training set
and the validation machine is roughly between 1.25 and 1.3, and the accuracy of the training set
and the validation set is roughly between 0.85 and 0.9, the confusion matrix in Fig. 10. shows that
the recognition degree is 0.54 under the fault state of broken tooth 1 and 0.94 under the fault of
broken teeth 2, and the training effect was still not ideal.

a)

b)
Fig. 9. Loss function and accuracy of training and verification

b) Continue to try to change the size of the convolution kernel to 7. After training and testing,
the following results are obtained: After about 5000 iterations, the loss values of the training set
and the validation set are roughly between 1.3 and 1.4, and the loss values of the training set and
the validation set are roughly between 1.3 and 1.4. The accuracy of training set and validation set
is roughly between 0.85 and 0.9. The training effect is mediocre. It can be seen from the confusion
matrix in Fig. 11. that the recognition rate in the fault state of broken tooth 1 is only 0.31, and it
was more identified as the fault state of broken teeth 2, which was seriously confused.
Therefore, the size of the convolution kernel is not as large as possible. When the size of the
convolution kernel is selected to be 5, the overall recognition degree is relatively high.

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NEURAL NETWORK WITH VARIABLE LEARNING RATE. LIWU LIU, GUOYAN CHEN, FEIFEI YU, CANYI DU, YONGKANG GONG, ET AL.

Fig. 10. Confusion matrix

Fig. 11. Confusion matrix

5.2. The case of different sync size

Try to adjust the step size to verify that fault recognition is improved. The original step size is
adjusted from 1 to 2. After about 5000 iterations, the loss value of training set and validation set
is between 1.3 and 1.4, and the accuracy of training set and validation set is roughly between 0.8
and 0.9. According to the confusion matrix Fig. 12, the recognition rate of broken tooth 1 fault
state is 0.34, and 51 % of them are still identified as broken teeth 2 fault, which is not ideal.
Moreover, the overall recognition tended to decrease, so the attempt to change the step size did
not have the desired effect.
After the above two parameter modifications, the analysis did not get the ideal effect, so we
tried to modify the convolution kernel size and step size at the same time for analysis. After about
5000 iterations, the loss values on the training and validation sets are roughly between 1.3 and 1.4,
and the accuracy on the training and validation sets are roughly between 0.8 and 0.9. The
confusion matrix shows that the recognition degree was 0.88 in the normal state and 0.48 in the
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RESEARCH ON FAULT DIAGNOSIS METHOD OF ELECTROMECHANICAL TRANSMISSION SYSTEM BASED ON ONE-DIMENSIONAL CONVOLUTIONAL
NEURAL NETWORK WITH VARIABLE LEARNING RATE. LIWU LIU, GUOYAN CHEN, FEIFEI YU, CANYI DU, YONGKANG GONG, ET AL.

fault state of broken tooth 1. The recognition accuracy between the faults of broken tooth 1 and
broken teeth 2 was not ideal, especially the fault of broken tooth 1 was identified as the fault of
broken teeth 2, as shown in Fig. 13.

Fig. 12. Confusion matrix

Fig. 13. Confusion matrix

5.3. Different number of convolution layers

Since neither convolution kernel nor step size can be changed to improve fault identification,
now we try to increase the number of convolution layers based on convolution kernel of 5 and
step size of 2, and increase the original three-layer convolution layer to four-layer convolution
layer to verify whether the fault identification can be improved. The confusion matrix is shown in
Fig. 14. The recognition accuracy of broken tooth 1 fault is still not significantly improved, and
there is no significant difference in the overall state recognition degree. Therefore, the method of
increasing the number of convolution layers fails to make the result better.

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RESEARCH ON FAULT DIAGNOSIS METHOD OF ELECTROMECHANICAL TRANSMISSION SYSTEM BASED ON ONE-DIMENSIONAL CONVOLUTIONAL
NEURAL NETWORK WITH VARIABLE LEARNING RATE. LIWU LIU, GUOYAN CHEN, FEIFEI YU, CANYI DU, YONGKANG GONG, ET AL.

Fig. 14. Confusion matrix

5.4. Use different activation functions

We tried to adjust the activation function to Relu and Tanh functions respectively on the basis
of the network structure with convolution kernel size of 5, but the recognition results were not
improved for the normal state, broken tooth 1 fault state and broken teeth 2 fault state.
By comparing the recognition accuracy of the above adjusted parameters, it was found that the
fault identification degree of the network structure with convolution kernel of 5 was better than
that of the network structure with other parameters, as shown in Table 5.

Table 5. Comparison of recognition degrees under different parameter

The The
Step Convolution Activation Activation
convolution convolution Convolution
States methods size kernel 5 + function function
kernel size is kernel size is layers are 4
is 2 stride 2 relu tanh
5 7
Normal 0.84 0.94 0.90 0.88 0.88 0 0.98
1 broken tooth of
0.54 0.31 0.34 0.48 0.48 0.62 0.99
the belt
2 broken teeth of
the belt (the
position of the
0.94 0.96 0.87 0.92 0.93 0.90 0.13
breaking point is
basically
symmetrical)
Loaded shaft
1.00 1.00 1.00 1.00 1.00 1.00 1.00
unbalance (977 g)
Belt break 1.00 1.00 1.00 1.00 1.00 1.00 1.00
The passive wheel
0.99 1.00 0.99 1.00 1.00 1.00 1.00
has large friction
Bearing damage 1.00 1.00 0.99 1.00 1.00 1.00 1.00

5.5. Try VGG11 model

After the above optimization parameters, the desired effect is still not achieved, so we want to
optimize the network. The above adjustment is based on one-dimensional convolution neural
network. This time, we try to use the classical VGG model. VGG model belongs to the deep
convolution neural network model, including VGG11, VGG13, VGG16 and VGG19 models.

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RESEARCH ON FAULT DIAGNOSIS METHOD OF ELECTROMECHANICAL TRANSMISSION SYSTEM BASED ON ONE-DIMENSIONAL CONVOLUTIONAL
NEURAL NETWORK WITH VARIABLE LEARNING RATE. LIWU LIU, GUOYAN CHEN, FEIFEI YU, CANYI DU, YONGKANG GONG, ET AL.

However, because the VGG11 model has the least number of network layers, less network
parameters and low training time cost [36], the VGG11 model is preferred when optimizing the
algorithm.
The model is built and tested. It can be seen from Fig. 15 that after about 5000 iterations, the
loss value of training set and verification set is about 1.3 to 1.4, and the accuracy rate of training
set and verification set is about 0.8 to 0.9. The confusion matrix diagram shows that the
recognition degree under normal condition is 0.58, the recognition degree under broken tooth 1
fault condition is 0.45, and the recognition degree under broken tooth 2 fault condition is 0.76, as
shown in Fig. 16. None of them is ideal, and there is no obvious improvement compared with
one-dimensional convolution neural network, as shown in Table 6.

a)

b)
Fig. 15. Loss function and accuracy of training and verification

Table 6. Model comparison

States
Recognition One-dimensional convolution VGG11 model
neural network
Normal 0.93 0.58
1 broken tooth of the belt 0.54 0.45
2 broken teeth of the belt (the position of the
0.91 0.86
breaking point is basically symmetrical)
Loaded shaft unbalance (977 g) 1.00 1.00
Belt break 1.00 1.00
The passive wheel has large friction 1.00 0.99
Bearing damage 1.00 1.00

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RESEARCH ON FAULT DIAGNOSIS METHOD OF ELECTROMECHANICAL TRANSMISSION SYSTEM BASED ON ONE-DIMENSIONAL CONVOLUTIONAL
NEURAL NETWORK WITH VARIABLE LEARNING RATE. LIWU LIU, GUOYAN CHEN, FEIFEI YU, CANYI DU, YONGKANG GONG, ET AL.

Fig. 16. Confusion matrix

5.6. Summary of parameter selection

According to the characteristics of samples, the basic structure of the classical model VGG
was adapted to construct a one-dimensional convolutional neural network. Since the recognition
is still not ideal when the convolution kernel is 3, attempts are made to expand the convolution
kernel, increase the global attention of the convolution kernel, capture global features, and then
conduct training. Since it is verified that the means of expanding convolution kernel has no
obvious effect on the improvement of fault recognition degree, the small verification step size has
an impact on the recognition degree. Adjusting the convolution kernel size can reduce the number
of sample parameters after convolution, reduce the sample complexity and improve the training
rate. It has been verified above that changing the size of convolution kernel and changing the size
of step cannot improve the recognition, so try to change the number of convolution layers.
Generally speaking, changing the number of convolutional layers can change the depth of the
network, making the training more efficient and affecting the accuracy of recognition. Different
activation functions can change the linear fitting ability and learning efficiency of the model.
However, in the case of small and similar fault states, all the states cannot be well identified by
the above method of parameter adjustment. Try again to optimize the network model, try VGG11
model, but the ideal effect is not achieved.

6. Analysis of the results of the variable learning rate method

After adjusting the parameters for several times, the failure of this experiment could not be
solved successfully. After consulting relevant literature, it was found that adjusting the learning
rate could better train the network. Variable learning rate means that different learning rates are
adopted in different learning stages, so that the objective function reaches the local optimal
solution at different rates in different stages. It can improve the learning rate and change the result
under the condition of the same learning times (epoch). Meanwhile, in the process of analysis, it
is found that the recognition accuracy can be relatively improved by changing the learning rate on
the basis of the convolution kernel being 5, so the learning rate is analyzed at a deeper level. In
the network structure with convolution kernel of 5, through debugging and analysis, it was found
that the test result with learning rate of 0.9e-6 was relatively good, and with debugging learning
rate of 5e-6, the accuracy of the first 800 epochs can reach about 80 %, as shown in Fig. 17(a).
Therefore, in the learning process, the variable learning rate method was adopted to continue the
training and learning to obtain a better fault recognition rate.
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RESEARCH ON FAULT DIAGNOSIS METHOD OF ELECTROMECHANICAL TRANSMISSION SYSTEM BASED ON ONE-DIMENSIONAL CONVOLUTIONAL
NEURAL NETWORK WITH VARIABLE LEARNING RATE. LIWU LIU, GUOYAN CHEN, FEIFEI YU, CANYI DU, YONGKANG GONG, ET AL.

a)

b)
Fig. 17. Loss function and accuracy of training and verification with a learning rate of 5e-6

a)

b)
Fig. 18. Loss function and accuracy of training and verification under two learning rates

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RESEARCH ON FAULT DIAGNOSIS METHOD OF ELECTROMECHANICAL TRANSMISSION SYSTEM BASED ON ONE-DIMENSIONAL CONVOLUTIONAL
NEURAL NETWORK WITH VARIABLE LEARNING RATE. LIWU LIU, GUOYAN CHEN, FEIFEI YU, CANYI DU, YONGKANG GONG, ET AL.

For the same number of learning steps, two different learning rates are adopted for training.
The learning rate of the first 800 epochs is set as 5e-6, and the learning rate of the last 4200 epochs
is set as 0.9e-6. After testing, the results shown in Fig. 17(b) are obtained.
It can be seen from Fig. 18 that after about 5000 iterations, the loss values of the training set
and the validation set are roughly between 1.2 and 1.3, and the accuracy was between 0.9 and 1.0,
and the training effect is better. According to the confusion matrix in Fig. 19, the recognition
degree of each fault is above 0.9, the recognition degree of the normal state is 0.99, the recognition
degree of the broken tooth 1 fault state and the broken teeth 2 fault state are 0.91 and 0.97
respectively, compared with the method of adjustment in front of the other parameters, the
accuracy is improved, and the recognition degree of other fault states is 1.00, which is ideal.
In general, the one-dimensional convolutional neural network method with variable learning
rate has a high overall recognition degree of the relevant fault states in this study, and can identify
the subtle faults such as broken teeth 1 and broken tooth 2.

Fig. 19. Confusion matrix

7. Conclusions

In the motor mechanical transmission system, the vibration acceleration signal data of various
fault states of the motor were collected, and the one-dimensional convolutional neural network
model in the deep learning method was used for diagnosis analysis and research. By adjusting
different network structure parameters and making comparative analysis, it is found that the
method of changing the learning rate has higher recognition accuracy in all fault states (including
slightly similar states). The analysis results show that the fault diagnosis of electromechanical
transmission system using 1D-CNN analysis method is easier to identify the fault state
intelligently than the pure vibration signal spectrum analysis method, and this research enriches
the diagnosis experience of electromechanical transmission subtle faults, which is a novel
contribution. At the same time, it can also provide good guidance for the real-time monitoring
application of other types of transmission systems.

Acknowledgements

The authors have not disclosed any funding.

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 RESEARCH ON FAULT DIAGNOSIS METHOD OF ELECTROMECHANICAL TRANSMISSION SYSTEM BASED ON ONE-DIMENSIONAL CONVOLUTIONAL
NEURAL NETWORK WITH VARIABLE LEARNING RATE. LIWU LIU, GUOYAN CHEN, FEIFEI YU, CANYI DU, YONGKANG GONG, ET AL.

Data availability

The datasets generated during and/or analyzed during the current study are available from the
corresponding author on reasonable request.

Author contributions

Liwu Liu’s contributor role are methodology, data curation and software. Guoyan Chen’s
contributor role are methodology, writing – original draft preparation and writing–review and
editing. Feifei Yu’s contributor role are project administration and resources. Canyi Du’s
contributor role are supervision, conceptualization and writing-review and editing. Yongkang
Gong’s contributor role are supervision and resources. Huijin Yuan’s contributor role are
investigation and validation. Zhenni Dai’s contributor role are investigation and validation.

Conflict of interest

The authors declare that they have no conflict of interest.

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Liwu Liu an undergraduate student, majoring in vehicle engineering at Guangdong

Polytechnic Normal University. Learning and research directions: vibration signal
detection and processing technology of automobiles and mechanical equipment, fault
diagnosis technology based on deep learning, etc. Provincial project owner of College
Students' Innovative Entrepreneurial Training Plan Program.

Guoyan Chen is a full-time postgraduate student in her second year, majoring in

vocational and technical education (processing and manufacturing) in Guangdong
Polytechnic Normal University, Guangzhou, Guangdong, China. Her research direction is
deep learning and vocational and technical education.

Feifei Yu received the B.Eng. degree from Wuhan University, Wuhan, China, in 2003,
and the M.S. degree in Vehicle engineering from South China agricultural University,
Guangzhou, China, in 2006.She used to be a automotive engineer in GAC Toyoto Engine
CO., LTD and is currently an Senior Lab Master with the School of Mechatronic
Engineering, Guangdong Polytechnic Normal University, Guangzhou, China. Her research
interests focus on fault diagnosis based on machine learning and deep learning of
electromechanical systems.

Canyi Du Ph.D., Professor, master supervisor. Outstanding young teachers of colleges and
universities in Guangdong Province, school-level training object of “Thousand hundred
project” in Guangdong Province. Ph.D. degree in vehicle Engineering from South China
University of Technology. Research interests: vibration signal detection and processing
technology for automobile and mechanical equipment, fault diagnosis technology based
on deep learning, etc. And he had published more than 70 papers, including nearly 40
SCI/EI and Chinese core papers. More than 10 national patent authorization.

Yongkang Gong has a bachelor’s degree, and now he becomes a lab master, His research
field is Automatic driving direction. Moreover, his award is 2016 Advanced Laboratory
Worker, Excellent in the 2017 annual assessment.

Huijin Yuan is an undergraduate, majored in vehicle engineering at Guangdong Normal

University of Technology. Research direction: vibration signal detection and processing
technology of automobile and mechanical equipment, road recognition based on deep
learning, etc. Person in charge of the provincial project of the undergraduate innovation
and entrepreneurship project training plan.

Zhenni Dai is an undergraduate student, majoring in Vehicle Engineering at Guangdong

Polytechnic Normal University. Learning and research directions: vibration signal
detection and processing technology of automobiles and mechanical equipment, fault
diagnosis technology based on deep learning, etc. She has participated in two provincial-
level programs of College Students' Innovative Entrepreneurial Training Plan Program.

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