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Adaptive Observer Based Fault Detection and

Isolation for Wind Turbines


Changling Li1 , Jing Teng1 , Taoran Yang1 , Yizhan Feng1
1
School of Control and Computer Engineering, North China Electric Power University, Beijing, China
Emil: lichangling@ncepu.edu.cn

Abstract—Fault diagnosis strategies are in high demand to model is widely applied, which was proposed in [5], dealing
2020 Chinese Automation Congress (CAC) | 978-1-7281-7687-1/20/$31.00 ©2020 IEEE | DOI: 10.1109/CAC51589.2020.9327557

reduce the down-times and improve the reliability of wind with wind turbines at the system level. The benchmark model
turbines. An adaptive observer method is proposed for fault of wind turbine consists of four components: the blade & pitch
detection and isolation (FDI) of the wind turbine benchmark
model. Firstly, the state spaces of wind turbine subsystems are system, drive train, generator & converter, and controller. The
remodeled according to the output values of sensors. Correspond- sensor faults, actuator faults, and system faults may occur
ing adaptive observers are then designed to estimate subsystem on these components, and they can be divided into eight
states and detect faults simultaneously. To speed up the fault types according to the faulty position. Scholars have obtained
diagnosis process and to improve the precision, the fast adaptive considerable achievements of FDI depend on the benchmark
fault estimation (FAFE) algorithm is adopted in the adaptive
observers. Besides, a reduced-order model is introduced for the model. For instance, an unknown input observer was designed
drive train subsystem to eliminate the disturbance of unknown for sensor faults of drive train and converter in [6], where
aerodynamics. Simulation results illustrate that all the eight fault uncertainties in the aerodynamic model were treated as un-
types defined in the benchmark model of wind turbines can be known inputs. Despite the successful detection of sensor faults,
successfully detected. the scheme failed to diagnosis the converter faults within the
Index Terms—Fault detection and isolation, adaptive observer
required time. Joaquim Blesa designed an interval observer to
address the FDI problem of wind turbines in [7]. The observer
output values were bounded to intervals by model parameters.
I. I NTRODUCTION
According to the residuals of the outputs, the fault detection
Fault detection methods can be classified into two types, is realized. Zhang [8] and Wu [9] independently proposed
namely the data-based ones and the model-based ones. Data- sliding mode observers (SMO), where [8] denoted new states
based methods rely on the analysis of measured process data to reconstruct the subsystems as augmented systems, and [9]
to detect faults [1]–[3]. Wang et al. integrated the ensemble only considered the multiplicative failures of the pitch system.
empirical mode decomposition (EEMD) with the independent Besides estimating the system state as other observers, the
component analysis (ICA) to address the gearbox failure [1]. adaptive observers can simultaneously track the changes of
Intrinsic mode functions are obtained by EEMD and fed into faults. The estimated information can then be inputted to the
ICA to separate fault signal. The proposed method addressed fault-tolerant controller. Researchers have proposed solutions
the problem of low signal-to-noise ratio in fault detection, regarding different fault scripts of wind turbines by applying
whose robustness requires further investigation. The reference adaptive observers. For example, the FDI scheme for the
[2] used a Gibbs sampling algorithm based point indicator to doubly-fed induction generator based wind turbine system can
detect changes in time series of sensor measurements. These be referred to as [10]. The author considered the winding short
changes provided fault information, which was then classified circuit fault, where the observer design process combined with
into specific fault types by the Fuzzy/Bayesian network. In the wind turbines model was not introduced in detail. As for
the aspect of small sample classification problems, principal the benchmark model, a multiplicative fault estimate scheme
component analysis (PCA) and support vector machine (SVM) was proposed to address the pitch actuator component fault
was utilized for fault diagnosis in [3]. Fault features were in [11]. The reference [12] presented an FDI method, and the
extracted by the PCA and then used to train the SVM sensor faults were transformed as actuator faults, such that
classifiers. However, process data sometimes are difficult to the failures occur on the blade & pitch system and converter
obtain, which are always affected by noises. The reliability of can be diagnosed. Using adaptive observers for FDI has made
data-based fault diagnosis methods reduced accordingly. numerous research achievements, while the attempts to adopt
Unlike the data-based approaches, model-based methods them for wind turbine models are limited. In addition, the
build dynamic system models with the initial states and the aforementioned literature only considered a few types of faults
control signals. Once the models are correctly constructed, in wind turbines. Therefore, we propose an adaptive observer
these methods can achieve fault diagnosis in real-time. There- method based on the benchmark model in this paper. It can de-
fore, model-based fault diagnosis approaches have received tect all the eight faults that may occur in different components
more attention from the subsystem level to the whole system of wind turbines. Besides, the fast adaptive fault estimation
level [4]. In the research field of wind turbines, the benchmark (FAFE) algorithm proposed in [13] and [14] is adopted to

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enhance the fault estimation performance. Furthermore, fault β̇ −2ζωn −ωn2
where xip = i is the state vector, Ap = ,
diagnosis of the drive train system is challenging due to the   βi 1 0
noise and disturbance in wind speed. As a result, the rotor 1  
Bp = , Cp = 0 ωn2 , βi is the pitch angle, β̇i is the
torque τr is unknown and hard to estimate. Therefore we 0
introduce a reduced-order system to simplify the estimation. angular speed, ζ is the damping factor and ωn denotes the
The subsequent parts of this paper are organized as follows. natural frequency.
The wind turbine benchmark model is briefly described in B. Drive Train Model
Section II. Section III introduces the FAFE algorithm, and the
The purpose of the drive train is to transfer torque from the
adaptive observer is presented in Section IV to achieve FDI.
rotor to the generator. The model can be represented by:
Section V shows the simulation results of all the eight fault ⎡ Bdt −Br
⎡ ⎤ −Kdt ⎤ ⎡ ⎤
scenarios. Conclusions are drawn in Section VI. − Jr N
Bdt
J Jr
ω̇r ⎢
g
η Bdt
r
⎥ ωr
− dt −B
II. B ENCHMARK M ODEL OVERVIEW ⎣ ω̇g ⎦ = ⎢ ηdt Bdt Ng2 g
ηdt Kdt ⎥ ⎣ ωg ⎦
⎣ N g Jg Jg N g Jg ⎦
The benchmark model of a wind turbine is depicted in Fig. θ̇Δ −1 θΔ
1 Ng 0
1. The wind turbine is constructed by four key components, ⎡1 ⎤
namely the blade & pitch system, drive train, generator & Jr 0  
τr (3)
converter, and controller. The arrows illustrate the relationships + ⎣ 0 − 1 ⎦ ,
Jg τg
among them. The vw denotes the wind speed acting on the 0 0
⎡ ⎤
turbine blades, which goes into the blade & pitch system.   ωr
The drive train converts the rotor torque τr and the generator 1 0 0 ⎣ ⎦
ydt = ωg ,
torque τg to the rotation speed of the rotor ωr and the rotation 0 1 0
θΔ
speed of generator ωg . The generator & converter uses the
where Jr is the moment of inertia of the low-speed shaft, Kdt
generator reference torque τg,r to get τg which is measured as
is the torsion stiffness of the drive train, Bdt is the viscous
τg,m . The power produced by the generator Pg can be obtained
friction of the high-speed shaft, Ng is the gear ratio, Jg is the
by combining τg and ωg . Controller is used to let Pg follow
moment of inertia of the high-speed shaft, ηdt is the efficiency
the reference power Pr . βr and τg,r are the pitch position
of drive train, and θΔ is the torsion angle of the drive train.
and generator torque reference. βm , ωr,m and ωg,m are the
measured pitch position, rotor speed and generator speed. C. Generator & Converter Model
Meanwhile, each component is measured with two sensors The generator & converter can be modeled as:
for physical redundancy requirements.
τ̇g = −αgc τg + αgc τg,r ,
(4)
y g = τg ,
where αgc denotes the generator and converter model param-
eter. The power produced by the generator is described as:
Pg = η g ω g τ g , (5)
where ηg denotes a constant representing the efficiency of the
generator.
D. Faults in the Benchmark Model
Fig. 1. The benchmark model overview.
The eight faults considered in the benchmark model are
listed in Table I. The sensor faults on the pitch position
A. Blade & Pitch System Model
measurements and the rotor speed measurement, both the
The blade & pitch system is a combination of the aerody- converter and pitch systems may occur actuator fault, and
namic and pitch model. The aerodynamic torque equation of system faults can be found on the drive train.
the wind turbine is modeled as follows:
ρπR3 Cq (λ(t), βi (t))vm (t)2 III. FAFE A LGORITHM
τr (t) = , (1) A. State Space Model
6
1≤i≤3
A linear system with actuator fault can be modeled by
where ρ is the air density, R is the radius of the blades, Cq is
the torque coefficient table, λ is the tip speed ratio, and βi is ẋ(t) = Ax(t) + Bu(t) + Ef (t),
(6)
the corresponding pitch angels (i = 1, 2, 3). y(t) = Cx(t),
The hydraulic pitch system is modeled by a second-order
where x(t) ∈ Rn is the state vector, u(t) ∈ Rm is the input
close-loop dynamics:
vector, y(t) ∈ Rp is the output vector and f (t) ∈ Rr is the
x˙ip = Ap xi + Bp βri , actuator fault. A, B, C and E are constant real matrices of
(2)
ypi = Cp xip , appropriate dimensions.

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TABLE I C. FAFE Algorithm Description
FAULT IN THE BENCHMARK MODEL
The FAFE algorithm is introduced in this study to enhance
Fault No. Fault Faulty component Type the performance of fault estimation.
1 Sensor fault β1,m1 Fixed value For scalars σ > 0, μ > 0, if there exist a symmetric positive
2 Sensor fault β2,m2 Gain factor
3 Sensor fault β3,m1 Fixed value definite matrix P ∈ Rn×n , G ∈ Rr×r , such that the following
4 Sensor fault ωr,m1 Fixed value condition hold
5 System fault ωr,m2 , ωg,m1 Change dynamics E T P = F C, (14)
6 Actuator fault β2,m1 , β2,m2 Change dynamics  
7 Actuator fault β3,m1 , β3,m2 Change dynamics Φ − σ (A P E − C Y E)
1 T T T
< 0, (15)
8 Actuator fault τg Offset ∗ −2 σ1 E T P E + σμ
1
G
where Φ = P A+AT P −Y C−C T Y T , F ∈ Rr×p , Y ∈ Rn×p ,
The adaptive observer based on Eq. (6) is given by: Y = P L and ∗ denotes the symmetric elements in a symmetric
matrix, then the FAFE algorithm
˙
x̂(t) = Ax̂(t) + Bu(t) + E fˆ(t) − L(ŷ(t) − y(t)), ˙
(7) fˆ(t) = −ΓF (ey (t) + σ ėy (t)), (16)
ŷ(t) = C x̂(t),
can realize ex (t) and ey (t) uniformly ultimately bounded, the
where x̂(t) ∈ Rn is the observer state vector, fˆ(t) ∈ Rp is the
proof can be referred to [14].
estimation value of f (t), ŷ(t) ∈ Rp is the estimated output
The Eq. (16) can be expressed as following:
vector, L ∈ Rn×p is the gain matrix.  t
Denote fˆ(t) = −ΓF (ey (t) + σ ey (τ )dτ ). (17)
ex (t) = x̂(t) − x(t), tf

ey (t) = ŷ(t) − y(t), (8) Comparing the FAFE algorithm with the conventional one,
ˆ
ef (t) = f (t) − f (t), the FAFE algorithm combines the integral with the propor-
tional one. The introduction of the proportional term plays
then the error dynamics is described by a significant role in improving the performance of fault esti-
ėx (t) = (A − LC)ex (t) + Eef (t), mation. Furthermore, the algorithm can improve accuracy for
(9) both time-varying fault and constant fault estimation. We can
ey (t) = Cex (t).
take the conventional AFE algorithm as a particular case of
The purpose of the adaptive fault estimation (AFE) algo- the FAFE algorithm.
rithm is to obtain the fˆ(t) in Eq. (7).
IV. FDI S CHEME
B. Conventional AFE Algorithm
The FAFE algorithm is adopted in the design process of
The conventional AFE algorithm can be used to estimate the adaptive observer. The objective of FDI is realized by
the constant fault. If there exist a symmetric positive definite calculating the residuals, which are obtained by subtracting
matrix P ∈ Rn×n , such that the following conditions of hold the actual measurement from the observer estimate value. If
P (A − LC) + (A − LC)T P < 0, (10) the residual is around zero, it means that the system is healthy.
However, if the signal significantly deviates from zero, some
E T P = F C, (11) kinds of faults may occur in the wind turbines. Besides, we
where the matrix L ∈ R and F ∈ R
n×p r×p
. Then the added a transfer function block to make the faulty part and
conventional AFE algorithm algorithm fault-free part have a more noticeable difference.
˙ A. FDI Scheme for Blade & Pitch System
fˆ(t) = −ΓF ey (t), (12)
According to Eq. (2), the error resulting from the faults can
can realize limt→∞ ex (t) = 0 and limt→∞ ef (t) = 0, where
be described by:
the symmetric positive definite matrix Γ ∈ Rr×r is the
learning rate. Δβi,m = 0.5(βi,m1 + βi,m2 ) − βi , (18)
The fault estimate using the above method can be also
where Δβi,m represents the average faults over two sensor
expressed as:
 t measurements. Therefore, the blade & pitch system can be
model as the faulty form as following:
fˆ(t) = −ΓF ey (τ )dτ, (13)
tf ẋip = Ap xip + Bpi (βri + Δβi,m ),
(19)
where tf is the fault occurring time. ypi = Cp xip .
The accuracy of fault estimation influences the effect of the
adaptive observer. Although the conventional AFE algorithm Based on Eq. (19), the adaptive observer can be designed
guarantees that the fault estimation is unbiased, the estimation as:
result is not satisfactory, and it fails to deal with the time- x̂˙ ip = Ap x̂ip + Bpi βri + Bpi fˆp − L(ŷpi − ypi ),
(20)
varying fault. ŷpi = Cp xip ,

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ˆd
ẋ Ad 02×1 x̂d Bd1 Bd2
where L is the gain matrix which can be calculated by solving = + τg + ωr,m2
Eq. (14) and Eq. (15) using the LMI toolbox, and fˆp denotes żˆ2 Cd 0 ẑ2 0 0
⎡ ⎤
the estimated fault obtained by the FAFE algorithm. 0
The residual signals of two position sensores on pitch i are + ⎣0⎦ fˆd2 − L(ŷd2 − yd ), (24)
defined as ri,1 = |ŷpi −βi,m1 − fˆp |, and ri,2 = |ŷpi −βi,m2 − fˆp |. 1
 
According to the residual signals, whether the fault occurs and   x̂d
the faulty location can thus be determined. The FDI logic is ŷd2 = 0 0 1 ,
ẑ2
shown in Table II.
where ŷd1 and ŷd2 are the estimates of generator speed, L is the
TABLE II gain matrix obtained by Eq. (14) and Eq. (15), fˆd1 and fˆd2
B LADE & PITCH SYSTEM FDI LOGIC are the estimated fault.
Item Residual value Fault No. According to Eq. (5), the estimate of generator speed ωg
case 1 r1,1  0, r1,1 ≈ 0 fault 1 can be obtained as:
case 2 r2,2  0, r2,1 ≈ 0 fault 2 Pg
case 3 r3,1  0, r3,2 ≈ 0 fault 3
ω̂g = , (25)
ηg τ̂g
case 4 r2,1  0, r2,2  0 fault 6
case 5 r3,1  0, r3,2  0 fault 7 where τ̂g is the estimated generator torque which can be
obtained by the adaptive observer designed in the following
section. ω̂g is not affected by any fault, thus by comparing
B. FDI Scheme for Drive Train System the Eq. (25) and two observers designed by ωr,m1 and ωr,m2
Owing to he wind speed measurement is interfered by the separately, the failure of ωr can be reflected and the fault
wind shear and tower shadow, the rotor torque τr is hard to isolation can be achieved. Therefore, denote
estimate. However, according to the state-space model defined dŷd1
in Eq. (3), τr only directly affects ωr , and not related to ωg r4,1 = |ω̂g − − fˆd1 |, (26)

and θΔ . Therefore, the state-space model on the drive train
can be rewritten as the following reduced-order model: dŷ 2
r4,2 = |ω̂g − d − fˆd2 |, (27)

ẋd = Ad xd + Bd1 τg + Bd2 ωr ,
(21) dŷ 1 dŷ 2
yd = C d x d , where dτd and dτd are the derivative of ŷd1 and ŷd2 . Choosing
⎡ ηdt Bdt ⎤ r4,1 and r4,2 as the residuals to detect faults that occure on
  − N 2 −Bg
ωg η K the rotor torque. Fault isolation of generator speed can use
, Ad = ⎣ Ng Jg ⎦, Bd1 =
g dt d
where xd = Jg
r5,1 = |ω̂g − ωg,m1 | and r5,2 = |ω̂g − ωg,m2 | directly. Based
θΔ −1
0
 1 / 0 Ng on these residual signals, fault 4 and fault 5 can be detected
− Jg ηdt Bdt   as Table III:
, Bd2 = Ng Jg and Cd = 1 0 .
0 1
t TABLE III
Define a new state z = 0 ωg,m (τ )dτ , where ωg,m is the B LADE & PITCH SYSTEM FDI LOGIC
average of two measured generator speed from sensors. And
ż = Cd xd + Δωg,m , Δωg,m denotes the average generator Item Residual value Fault No.
case 1 r4,1  0 fault 4
speed sensor faults. The new stat space model contains the
case 2 r4,2  0, r5,1  0 fault 5
considered fualts can be described as:
        
ẋd Ad 02×1 xd Bd1 Bd2
= + τg + ωr
ż2 Cd 0 z2 0 0
⎡ ⎤ C. FDI Scheme for Generator & Converter System
0
Similar to the treatment method of the blade & pitch
+ ⎣0⎦ Δωg,m , (22)
system, and only one sensor is used in this subsystem, the
1
  measurement value τg,m and the faulty part Δτg,m thus can
  xd be expressed as following:
yd = 0 0 1 .
z2
τg,m = τg + Δτg,m . (28)
Based on Eq. (22), two adaptive observers of FDI on drive
train are designed, which ωr,m1 and ωr,m2 are used separately: The system can be remodeled as:
        
ˆd
ẋ Ad 02×1 x̂d Bd1 Bd2 τ̇g = −αgc τg + αgc (τg,r + Δτg,m ),
= + τ g + ωr,m1 (29)
żˆ2 Cd 0 ẑ2 0 0 yg = τg .
⎡ ⎤
0
Therefore, observer for the generator & converter system
+ ⎣0⎦ fˆd1 − L(ŷd1 − yd ), (23)
can be designed as:
1
  τ̂˙g = −αgc τ̂g + αgc τg,r + αgc fˆg − L(ŷg − yg ),
1
  x̂d
ŷd = 0 0 1 , (30)
ẑ2 ŷg = τg ,

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where L is the observer gain matrix and fˆg is the estimated modeling error, the residuals are close to 0 but not exactly
value of generator torque fault obtained by FAFE algorithm. equal to 0. According to the result, it can be deduced that
The residual is defined as r6 = |ŷg − τg,m − fˆ|, if r6 fault 1 occurred from the period 1000 to 1100s, and β1,m1
significantly deviates from zero, it proves that fault 8 occurred. occurred fixed value failure.
V. S IMULATION R ESULT
The effectiveness of the proposed FDI method of the wind
turbine is illustrated by simulation results in this section.
According to the considered fault that may occur in the
benchmark model, the failure value and generation time were
set as:

• Fault 1: β1,m1 = 5 in the period from 1000 to 1100s.
• Fault 2: β2,m2 = 1.2β2,m2 in the period from 3400 to
3500s.

• Fault 3: β3,m1 = 6 in the period from 2000 to 2100s.
Fig. 3. Case of fault 1 on pitch system 1.
• Fault 4: ωr,m1 = 3rad/s in the period from 1500 to
1600s.
Fig. 4 shows the residuals r2,1 and r2,2 on pitch 2 generated
• Fault 5: ωr,m2 = 2ωr,m2 and ωg,m1 = 0.9ωg,m1 in the
by simulation. According to that both two residuals divided
period from 1200 to 1300s.
from zero during 2700 to 2800s, it can be deduced that an
• Fault 6: parameters changed into ζ = 0.45 and ωn = 5.73
actuator fault occurs on pitch 2 within that time. The r2,2 also
in the period from 2700 to 2800s.
varying from other times during 3400 to 3500s, thus fault 2
• Fault 7: parameters changed into ζ = 0.9 and ωn = 3.42
occurred, and sensor 2 was faulty.
in the period from 3500 to 3600s.
• Fault 8: τg = τg + 1000N m in the period from 3800 to
3900s.
To compare the fault estimation effect between the con-
ventional AFE algorithm and the FAFE algorithm, we inject
three types of faults to β2,m1 , namely a fixed value fault from
2650 to 2660s, a gain factor fault from 2670 to 2780s, and
an actuator fault from 2690 to 2700s, respectively. The blue
lines represent the faulty output value in Fig. 2, the yellow
and red dashed lines illustrate the estimated values calculated
by the conventional AFE algorithm and the FAFE algorithm
respectively. The right part of Fig. 2 is the enlarged figure of Fig. 4. Case of fault 2 and fault 6 on pitch system 2.
the failure time. It can be seen that both of the two algorithms
can estimate the actual fault value successfully. However, the Two faults are considered on pitch 3. The residual signals
FAFE algorithm’s estimation speed and accuracy are higher r3,1 and r3,2 of pitch 3 are displayed in Fig. 5. r3,1 changes
than that of the conventional one, which effectively enhances abruptly from the period 2000 to 2100s, thus the fault 3
the performance of fault estimation. occurred and pitch position sensor 1 failure. Both r3,1 and r3,2
increase from 3500 to 3600s. Therefore, it can be inferred that
fault 7 occurred during that time.

Fig. 2. The fault output vaults of three conditions.

Fig. 3 illustrates the residual signals of FDI results on Fig. 5. Case of fault 3 and fault 7 on pitch system 3.
pitch 1. The residual r1,1 divided from zero during 1000 to
1100s obviously, while r1,2 remains around zero in the whole Fig. 6 shows the residuals r4,1 and r4,2 , and Fig. 7 shows
process. It should be noticed that, due to sensor noise and the residuals r5,1 and r5,2 on drive train system. It can be seen

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that r4,1 divided from zero from time period 1500 to 1600s. to effectively and accurately estimate the possible faults com-
During 1200 to 1300s, there is a significant difference both pared to that of the conventional AFE algorithm. Besides,
for r4,2 and r5,1 , while r5,2 is close to zero from beginning to the reduced-order model is utilized for the drive train, which
end. According to the simulation results on the drive train, it eliminates the challenging work to estimate the unknown
can be inferred that fault 4 occurred from 1500 to1600s, and wind speed and aerodynamic rotor torque. Simulation results
fault 5 occurred from 1200 to 1300s. illustrate that the proposed method can effectively detect
considered faults.
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Fig. 8. Case of fault 8 on generator & converter system.

VI. C ONCLUSIONS
An adaptive observer based FDI method for wind turbines
was proposed in this article. The eight types of faults that
occurred on the pitch system, drive train, generator & converter
system have been considered. The FAFE algorithm is adopted

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