Processes 11 01507 v2
Processes 11 01507 v2
Article
Improved Fault Classification for Predictive Maintenance in
Industrial IoT Based on AutoML: A Case Study of
Ball-Bearing Faults
Russul H. Hadi 1 , Haider N. Hady 2 , Ahmed M. Hasan 1 , Ammar Al-Jodah 3, * and Amjad J. Humaidi 1
1 Control and Systems Engineering Department, University of Technology, Baghdad 10001, Iraq;
russul.h.hadi@uotechnology.edu.iq (R.H.H.); 60163@uotechnology.edu.iq (A.M.H.);
amjad.j.humaidi@uotechnology.edu.iq (A.J.H.)
2 Production Engineering and Metallurgy, University of Technology, Baghdad 10001, Iraq;
haider.n.hady@uotechnology.edu.iq
3 School of Physics, Maths, and Computing, The University of Western Australia, Perth, WA 6907, Australia
* Correspondence: ammar.al-jodah@uwa.edu.au
Abstract: The growing complexity of data derived from Industrial Internet of Things (IIoT) systems
presents substantial challenges for traditional machine-learning techniques, which struggle to ef-
fectively manage the needs of predictive maintenance applications. Automated machine-learning
(AutoML) techniques present a promising solution by streamlining the machine-learning process,
reducing the necessity for manual hyperparameter tuning and computational resources, thereby
positioning themselves as a potentially transformative innovation in the Industry 4.0 era. This re-
search introduces two distinct models: AutoML, employing PyCaret, and Auto Deep Neural Network
(AutoDNN), utilizing AutoKeras, both aimed at accurately identifying various types of faults in
ball bearings. The proposed models were evaluated using the Case Western Reserve University
(CWRU) bearing faults dataset, and the results showed a notable performance in terms of achieving
high accuracy, recall, precision, and F1 score on the testing and validation sets. Compared to recent
studies, the proposed AutoML models demonstrated superior performance, surpassing alternative
approaches even when they utilized a larger number of features, thus highlighting the effectiveness
Citation: Hadi, R.H.; Hady, H.N.; of the proposed methodology. This research offers valuable insights for those interested in harnessing
Hasan, A.M.; Al-Jodah, A.; Humaidi, the potential of AutoML techniques in IIoT applications, with implications for industries such as
A.J. Improved Fault Classification for
manufacturing and energy. By automating the machine-learning process, AutoML models can help
Predictive Maintenance in Industrial
decrease the time and cost related to predictive maintenance, which is crucial for industries where
IoT Based on AutoML: A Case Study
unplanned downtime can lead to substantial financial losses.
of Ball-Bearing Faults. Processes 2023,
11, 1507. https://doi.org/10.3390/
Keywords: AutoML; predictive maintenance; artificial intelligence; IIoT; fault classification; CWRU
pr11051507
bearing dataset; AutoKeras; PyCaret
Academic Editor: Xiong Luo
to decrease maintenance expenses and prolong the service life of equipment [10,11]. AI
tools such as machine learning (ML) have the potential to further improve industrial sys-
tems by enhancing decision-making capabilities in real-time scenarios [12]. ML is a field
of study that empowers computers to learn without explicit programming. It leverages
computational techniques to extract information directly from data, bypassing the need
for predefined equations or models. Therefore, the integration of AI and IoT technologies,
such as ML and PdM, can play a significant role in improving industrial systems’ overall
efficiency and sustainability in Industry 4.0 [3,7].
Rolling-element bearings (REBs) are a prime example of components that require
diligent PdM, as they are susceptible to various damages caused by the harsh operating
conditions they endure, such as high speed, heavy load, extreme temperatures, and con-
tamination. An unexpected bearing fault can lead to substantial financial losses and catas-
trophic failures, resulting in a breakdown of an entire mechanical system. Consequently,
conducting an REB fault diagnosis is essential for preventing accidents and ensuring safe
operation [13].
This paper aims to enhance the maintenance process of REBs by automating the
detection and classification of possible faults that may occur during operation. AutoML
models were proposed to provide a user-friendly methodology for non-expert users in
the manufacturing industry. Such models streamline the selection of machine-learning
algorithms or deep neural network architecture that is most suitable for a given dataset
and task. Thus, they greatly reduce the need for human intervention and expertise.
The rest paper is ordered as follows: Section 2 provides a literature review of the
related works. Section 3 introduces the categories of maintenance management and focuses
on PdM. Section 4 describes the proposed methodology. Section 5 presents an overview
of the used dataset. Section 6 discusses the experimental results. Finally, Section 7 lists
the conclusions.
2. Related Works
In recent years, several studies have utilized ML models to reduce downtime which
ultimately results in improving the efficiency of production processes. These studies can be
grouped into three main categories, which are summarized in this section. The first category
focuses on using ML for PdM, where algorithms are used to predict equipment failures
before they actually occur. The second category investigates the utilization of AutoML
techniques. AutoML automates model selection, hyperparameter tuning, and feature
engineering. This allows non-experts to build high-performance models with slight effort.
AutoML facilitates early detection of equipment failures. This early detection reduces
downtime, and improves productivity in PdM. Incorporating AutoML with IoT systems
allows predictive decision-making and real-time monitoring, which make it a crucial tool
for Industry 4.0. [14–16]. Finally, the third category investigates the application of ML in
the CWRU bearing faults dataset, which is widely used for benchmarking PdM algorithms.
Focusing on the first category, a PdM approach aimed at diagnosing critical failures
in medical equipment was proposed in [17]. The approach relied on understanding the
physics of failure, real-time IoT data collection, and ML for fault prediction. The approach
was applied to a case study of a Vitros-Immunoassay analyzer and proved to provide
significant cost savings and a short investment payback period. However, it is limited to
certain failure modes and parameters and requires sufficient data for accurate predictions.
Lee et al. [9] discussed the use of AI-based algorithms for monitoring the cutting tool
wear and spindle motor bearing failures where the support vector machine (SVM) and
artificial neural network (ANN) methods were used. Another study in [18] presented a
machine-learning approach based on random forest for the maintenance of electric motors.
The system was tested on a real industry example, and preliminary results showed high
accuracy in predicting different machine states. Nasser and Al-Khazraji [19] proposed a
hybrid convolution neural network and long short-term memory networks (CNN-LSTM)
approach for fault prediction and diagnosis. In [20], a deep learning model called causal
Processes 2023, 11, 1507 3 of 18
SVM, which was reduced performance on high-dimensional data and sensitivity to the
choice of hyperparameters. In this paper, it is assumed that the features extracted by
Lin [40] are available and that the feature-engineering process was already performed.
Despite recent studies primarily focusing on advancing PdM processes and integrating
smart sensors into critical instruments and machinery used in manufacturing plants, there
is still room for improvement in the journey toward the Industry 4.0 revolution in line
with the IoT concept. ML algorithms have played a crucial role in developing accurate
models for PdM. However, some challenges persist, such as high computational costs and
redundant model information, while minimizing human intervention. In response to these
issues, adopting AutoML algorithms, which embody a pipeline model that automatically
fine-tunes hyperparameters, presents a promising solution. The primary contributions of
this study are as follows:
i. Development of AutoML-based prediction algorithms (PyCaret and AutoKeras) for
application on REB fault datasets;
ii. Design of a preprocessing algorithm to enhance the prediction process’s performance;
iii. Conducting of a comparison study between the proposed prediction algorithms;
iv. Comparative analysis of the models proposed in this research against prior works to
showcase their effectiveness in addressing the same case study.
3. Predictive Maintenance
Among the different categories of maintenance management policies, PdM is recog-
nized as the most recent and holds substantial value in comparison to traditional poli-
cies [41]. According to the literature, these policies can be classified into three primary
categories based on the strategies used [42]:
• Corrective maintenance, also known as run-to-failure (R2F), is a straightforward
strategy that involves addressing equipment issues only when they cease to function,
often necessitating the replacement or repair of specific components.
• Preventive maintenance (PvM) is a scheduled maintenance strategy carried out pe-
riodically at predetermined intervals. While this approach is effective in preventing
equipment failure, it may also result in unnecessary costs for corrective maintenance.
• PdM is a strategy that involves continuous system monitoring to anticipate potential
failures using a combination of machine-learning techniques, integrity factors, engi-
neering approaches, and statistical inference methods. Zonta et al. [43] define PdM
as models that rely on historical data and domain knowledge, enabling advanced
failure anticipation using statistical or machine-learning algorithms. This approach
ultimately improves decision making related to maintenance activities and helps pre-
vent downtime. The evolution of IoT, sensing technology, and AI has facilitated a shift
in maintenance strategies from R2F to PvM, and, finally, to PdM [44].
4. Proposed Methodology
This study involves developing a PdM model with the goal of improving maintenance
strategies and minimizing the impact of equipment malfunctions in an Industry 4.0 context.
The methodology flowchart, depicted in Figure 1, illustrates the general workflow of the
study. The process begins with loading the data, followed by a data-preprocessing phase
that prepares the dataset for model application. Next, two different AutoML models,
PyCaret and AutoKeras, are employed. PyCaret is utilized to develop an efficient ML
model based on the training dataset, while AutoKeras is used to construct a deep neural
network model. During the prediction phase, the data are divided into two sets: one for
testing and the other for validation with unseen data. Finally, a comparison is made using
specific evaluation metrics to identify the best-performing model, ultimately leading to
the selection of the PdM model that excelled in the classification problem of the adopted
case study. It is important to highlight that in this work, the data-preprocessing step—
which includes data sampling, balancing, and encoding categorical data—is carried out
before training the models. The capability to perform preprocessing is possessed by both
Processes 2023, 11, 1507 5 of 18
models. However, the decision was made to have preprocessing executed separately to
ensure compatibility, maintain consistency, and, ultimately, enhance performance. Figure 2
presents a detailed overview of the modeling phase, depicting the several steps involved in
training both PyCaret and AutoKeras models.
in ML algorithms. Algorithm 1 outlines the process of preparing the dataset for modeling
by performing data preprocessing. This results in a preprocessed dataset that is ready to be
used as input for either the PyCaret or AutoKeras models.
5. Case Study
Due to rapid advancements in science and technology, electric machines are widely
used in manufacturing applications. Consequently, these machines often operate under
unfavorable conditions, such as excessive loads and humidity, necessitating maintenance
to prevent motor breakdowns. Key components to consider in the maintenance process
include stators, shafts, rotors, and bearings of rotating machines [51].
Bearings are crucial rolling elements in machines, and any changes in their health con-
ditions, such as operating under varying loads, directly impact the efficiency, performance,
lifespan, and stability of the machines [52]. Figure 3 depicts the components of an REB,
which include the inner race (IR), outer race (OR), ball, and cage [53,54].
housing. In some experiments, an additional accelerometer was also attached to the motor
base plate for support. A 16-channel digital audio tape (DAT) recorder was used for data
collection [55].
Vibration signals contain valuable information about the health of the equipment. By
extracting features such as the maximum value (max: measure of the highest magnitude
of the signals), minimum value (min: measure of the lowest magnitude of the signals),
mean (measure of the central tendency of the signals), standard deviation (sd: measure
of the spread of the signals), root mean square (rms: measure of the average magnitude
of the signals), skewness (measure of the symmetry of the signals), kurtosis (measure of
the peakedness of the signals), crest factor (measure of the peak-to-peak magnitude of
the signals), and form factor (measure of the shape of the signals) from these signals, it is
possible to identify patterns that may indicate potential equipment failures. These features
provide information about the level, variability, symmetry, peakedness, and shape of the
signals, and can be used to train ML models for PdM tasks. In addition to these features,
other characteristics of the signals such as frequency, time, and waveform can also be
analyzed to improve the accuracy. The specific features that will be most effective for a
given task will depend on the characteristics of the equipment and the data available [56].
The dataset comprises a large collection of vibration signals from bearings subjected
to various fault conditions. In total, it contains 10,000 fault conditions, with each fault
condition represented by 230 vibration signals. The fault conditions are categorized by fault
type and severity. The fault types are inner-race faults, outer-race faults, and ball faults.
The fault severity levels are small, medium, and large. In addition to the fault conditions,
the dataset also contains normal conditions. The normal conditions represent bearings
without any faults. Table 1 provides a summary of the fault and normal conditions. The
table includes the types of faults, levels of severity, and the corresponding abbreviations
used [36].
The objective of this work is to develop a classification model that recognizes the
provided nine types of faults as classes. A tenth class called "Normal" is included to
represent a healthy bearing with no faults. This class serves as a reference for comparison
with the other fault classes and it has no specific fault size. The data for the Normal class
was collected from the same locations as the data for the other fault classes, which are the
drive end, the fan end, and the base [57].
Description Value
Session id 8337
Target fault
Target type Multiclass
Original data shape (2185, 10)
Transformed data shape (2185, 10)
Transformed train set shape (1748, 10)
Transformed test set shape (437, 10)
Numeric features 9
Number of folds 10
The compare function was used to train and evaluate multiple machine-learning
algorithms using predefined metrics, including accuracy, recall, precision, and F1 score.
These metrics can be defined and calculated as follows [58,59]:
Accuracy is defined as the number of correct predictions made by the model over the
total number of predictions. It can be represented as:
where TP (true positive) represents the number of positive cases correctly classified as
positive, while FP (false positive) refers to the number of negative cases wrongly classified
as positive. Similarly, FN (false negative) corresponds to the number of positive cases
mistakenly classified as negative, and TN (true negative) indicates the number of negative
cases correctly identified as negative.
The Recall metric measures the model’s ability to accurately identify all positive cases.
It is defined as the number of true positive predictions made by the model over the total
number of actual positive and it can be calculated by:
Finally, the F1 score is a metric that balances the harmonic mean of recall and precision,
as follows:
F1 = 2 × (Precision × Recall)/(Precision + Recall) (4)
A confusion matrix is a table that summarizes the performance of a given machine-
learning classification model based on a set of test data. It indicates the TP, TN, FP, and FN
for each class label. The matrix is built by comparing the predicted class labels generated
by the model with the actual class labels in the test dataset. The rows represent the actual
class labels, whilst the columns represent the predicted class labels. A correctly classified
sample is a true positive or true negative, while a misclassified sample is a false positive or
false negative. The confusion matrix presents a comprehensive examination of the model’s
performance across all classes and can be applied to calculate other metrics such as accuracy,
precision, and recall.
Table 4 presents the results of the compare model function for the top five machine-
learning algorithms. Random forest (RF) achieved the best performance, followed by
gradient-boosting classifier (GBC), extra trees (ET), light gradient-boosting machine (Light-
GBM), and finally, extreme gradient boosting (XGBoost). In general, the evaluated models
achieved high accuracy, in the range of 95.94% to 96.34%. The recall scores were also high,
where all models achieved values greater than 95%. The RF model had the highest value
of 96.34%. Precision scores were from 96.12% to 96.52%, and the F1 score was the highest
for the RF model at 96.32%. For the computational time, the XGBoost model was the fastest,
with 0.0640 s training time (TT), on the other hand, the GBC model was the slowest, with
0.9490 s TT. The RF classifier was the best-performing model among those evaluated.
Table 4. Results of compare model function in PyCaret for the top five ML algorithms.
The next step was to fine-tune the best model (RF model) using PyCaret’s tune model
function. The auto-tuning process optimizes the hyperparameters of the model to further
improve its performance. The result of the auto-tuning process is shown in Table 5, which
displays the performance metrics of the model on each fold of the cross-validation.
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and skewness, have relatively lower importance. Interestingly, the skewness feature is the
least important among them. These results suggest that prioritizing the sd, rms, and mean
features may lead to better classification performance.
The confusion matrices in Figure 9 show that the PyCaret model performed better
before tuning. The best RF model predicted all failure types accurately, while the tuned RF
model had misclassifications for failure types 2, 4, 5, 6, 7, and 8. Despite this, the tuned RF
model still achieved a good F1 score of 96.37% on the testing set.
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(a) (b)
Figure 9. Confusion matrix of the best AutoML model: (a) random forest classifier before tuning; and
(b) random forest classifier after tuning.
The confusion matrices of the AutoKeras model in Figure 10 show exceptional per-
formance, accurately predicting the majority of the classes. The testing and validation
confusion matrices were identical, indicating that the model did not overfit the training
data. For both sets, all classes except class 4 had perfect precision and recall scores. How-
ever, for class 4, the precision was 89% for the validation set and 82% for the testing set,
and the recall was 94% for the testing set.
(a) (b)
Figure 10. Confusion matrices of the AutoDNN model: (a) testing sets; and (b) validation sets.
(a) (b)
Figure 11. Performance comparison between the two proposed models: (a) testing sets; and
(b) validation sets.
9
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7. Conclusions
This study focused on developing an automated approach for accurately classifying
different types of faults in industrial IoT ball bearings using the CWRU dataset. The
study aimed to investigate the potential of AutoML techniques for predictive maintenance
while minimizing the need for manual hyperparameter tuning. The experimental results
demonstrated that both the proposed AutoML and AutoDNN models effectively achieved
accurate fault classification. Remarkably, the top-performing AutoML model attained an
impressive 99.7% accuracy, recall, precision, and F1 score on the testing sets, with random
forest emerging as the best algorithm. However, the proposed AutoDNN model displays
better accuracy on the validation set, scoring 97% as opposed to AutoML’s 95.60%. The
study underscores the benefits of employing AutoML techniques, enabling non-experts
in the industry to handle predictive maintenance tasks more efficiently. Consequently,
AutoML offers advantages such as automation, improved accuracy, and reduced resource
requirements. Future work could explore integrating advanced feature-engineering tech-
niques and domain knowledge to further enhance the model’s performance.
Author Contributions: Conceptualization, R.H.H., H.N.H. and A.M.H.; data curation, R.H.H. and
H.N.H.; formal analysis, R.H.H. and H.N.H.; investigation, R.H.H. and H.N.H.; methodology, R.H.H.,
H.N.H. and A.M.H.; resources, R.H.H. and H.N.H.; software, R.H.H. and H.N.H.; supervision, A.J.H.
and A.A.-J.; validation, A.J.H. and A.A.-J.; visualization, R.H.H. and H.N.H.; writing—original draft,
R.H.H., H.N.H. and A.M.H.; writing—review & editing, A.J.H. and A.A.-J. All authors have read and
agreed to the published version of the manuscript.
Funding: This research received no external funding.
Institutional Review Board Statement: Not applicable.
Informed Consent Statement: Not applicable.
Data Availability Statement: Not applicable.
Conflicts of Interest: The authors declare no conflict of interest.
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