Interpretable Mechanical Fault Diagnosis Method Based on Dual-Tree Complex Wavelet Transform

LIU Jiayan; PAN Yuanming; LI Gongzhun; PAN Shihao; SONG Yizhe; YU Jianping; ZHANG Long

doi:10.7652/xjtuxb202608005

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Interpretable Mechanical Fault Diagnosis Method Based on Dual-Tree Complex Wavelet Transform

Special Topic Advanced Non-Destructive Testing Technology | 更新时间：2026-07-28

- Interpretable Mechanical Fault Diagnosis Method Based on Dual-Tree Complex Wavelet Transform
- Journal of Xi'an Jiaotong University Vol. 60, Issue 8, Pages: 56-67(2026)
- 作者机构：
  
  华东交通大学机电与车辆工程学院，330013，南昌
- 作者简介：
- 基金信息：
- DOI：10.7652/xjtuxb202608005
  CLC： TH133.3
- Received：18 December 2025，
  
  Online First：04 March 2026，
  
  Published：10 August 2026
- 稿件说明：
移动端阅览
LIU Jiayan, PAN Yuanming, LI Gongzhun, et al. Interpretable Mechanical Fault Diagnosis Method Based on Dual-Tree Complex Wavelet Transform[J]. Journal of Xi'an Jiaotong University, 2026, 60(8): 56-67.
DOI：

LIU Jiayan, PAN Yuanming, LI Gongzhun, et al. Interpretable Mechanical Fault Diagnosis Method Based on Dual-Tree Complex Wavelet Transform[J]. Journal of Xi'an Jiaotong University, 2026, 60(8): 56-67. DOI： 10.7652/xjtuxb202608005.

摘要

针对卷积神经网络（convolutional neural network

CNN）在机械故障诊断中存在的决策过程不透明、缺乏物理可解释性的问题，提出一种基于双树复小波变换（dual-tree complex wavelet transform

DTCWT）的可解释智能诊断方法。将具有明确时频物理意义的Morlet复小波变换构建为可解释卷积层，替代传统CNN首层的随机初始化卷积核，形成DTCWT-CNN混合架构。DTCWT卷积层通过实部树与虚部树的并行结构同时提取信号的幅值与相位信息，并引入可学习的频带加权机制与软阈值去噪策略，实现对轴承故障冲击特征的自适应精准捕获。在凯斯西储大学轴承数据集以及帕德博恩大学轴承数据集上的实验表明，DTCWT-CNN在不同通道配置下的平均诊断准确率达到99%，显著优于其他对比方法。在南昌铁路局机车轴承数据集上的验证结果显示，所提出方法的平均准确率达到98%，同样表现出优异的诊断性能。通过对训练前后卷积核的累计频带分析，可视化揭示了模型自适应调整至故障特征频段的决策机制，验证了方法在增强诊断性能的同时实现了网络决策依据的物理可解释性。

Abstract

To address the opaque decision-making process and lack of physical interpretability of convolutional neural networks (CNNs) in mechanical fault diagnosis

an interpretable intelligent diagnosis method based on the dual-tree complex wavelet transform (DTCWT) was proposed. The Morlet complex wavelet transform

which carries clear time-frequency physical significance

was constructed as an interpretable convolutional layer

replacing the randomly initialized convolution kernels in the first layer of a traditional CNN

thus forming a DTCWT-CNN hybrid architecture. The DTCWT convolutional layer simultaneously extracted the amplitude and phase information of the signal through the parallel structure of real and imaginary trees

and incorporated a learnable frequency-band weighting mechanism and a soft-thresholding denoising strategy to achieve adaptive and precise capture of bearing fault impact features. Experiments were conducted on the Case Western Reserve University bearing dataset and the Universität Paderborn bearing dataset. The results show that the DTCWT-CNN achieves an average diagnostic accuracy of 99% under different channel configurations

which is significantly superior to other comparative methods. Validation was performed on the locomotive bearing dataset from the Nanchang Railway Bureau

and the results show that the average accuracy of the proposed method reaches 98% with excellent diagnostic performance. Through cumulative frequency-band analysis of convolution kernels before and after training

the model's decision-making mechanism of adaptively adjusting to fault-characteristic frequency bands is revealed visually

which verifies that the proposed method not only enhances diagnostic performance but also realizes physical interpretability for the network's decision basis.

关键词

Keywords

references

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