Model-Based Fault Detection and Isolation in a

MPPT BOOST Converter for Photovoltaic Systems

D. R. Espinoza-Trejo,
E. Diez and E. Barcenas
Coord. Acad. Region Altiplano
Univ. Autonoma de San Luis POtOSI
Matehuala, SLP, Mexico
Email: drespinozat@ieee.org,
enriquediez9J @gmai1.com,
ernesto.barcenas@uaslp.mx
C.Verde G. Bossio
and G. Espinosa-Perez Facultad de Ingenierfa
Instituto and Facultad de Ingenieria Univ. Nacional de Rio Cuarto
Univ. Nacional Autonoma de Mexico Rio Cuarto, Cordoba, Argentina
Coyoacan, Mexico, D.F. Email: grbossio@gmail.com
Email: verde@unam.mx.
gerardoe@unam.mx

Abstract-In this paper an observer-based fault diagnosis
system is proposed for a Maximum Power Point Tracker (MPPT)
BOOST converter in photovoltaic (PV) systems. Open- and Short­
circuit switch faults can be diagnosed by the Fault Detection and
Isolation (FDI) algorithm suggested in this study. A decoupled
subsystem from the load and PV currents is obtained for residual
generation, which is guaranteed at the price of 2 measurements,
namely, PV current and load voltage. Hence, the FDI system
is insensitive to load changes and sudden irradiance drops.
According to observability properties of this subsystem, the
fault detection time can be assigned arbitrarily. In addition,
operation of the FDI system in open- and closed-loop has
been evaluated through a prototype of 350 W. Only the most
common measurements employed into the Maximum Power Point
searching techniques are required in the proposed FDI system.
Finally, as an important result, the proposed FDI system can
be applied over the most common PV applications due to the
residual generation system is decoupled from load conditions.
I. INTRODUCT I ON
As photovoltaic (PV) systems are being more and more
integrated in the grid, higher safety requirements will be
demanded by the power grid companies. In distributed PV
generation systems, power electronics (PE) play an important
role in providing a high efficiency power conversion. In this
sense, Maximum Power Point Trackers (MPPT) systems are
responsible for the optimal solar energy harvesting. Typically,
the MPPT systems are based on a dc/dc power converter,
which provides a variable input impedance to adjust the
Maximum Power Point (MPP). Nowadays, MPPT systems are
being integrated into the Photovoltaic Module (PVM) junction
box [1], where harsh environmental conditions can occur by
affecting the reliability of the power semi-conductor devices.
Thus, even though improved reliability of the MOSFET's
and IGBT's is gradually being reached in the last years
[3], failures can still occur due to aging or fatigue caused
by thermal stress. In fact, short and open circuit faults are
the most common failures in power semi-conductor devices.
According to [4], power semi-conductor devices are the most
fragile components in PE, in 31% of the failures. Besides in
[2], reliability of a two stage PV grid connected system was
evaluated, where 41% of the failures are associated to the
boost dc/dc converter. Hence, a fault detection and isolation
(FDI) scheme will be useful to provide a better efficiency
and reliability of these systems.
With this practical scenario, a few proposals have been
presented in the literature. In [5], an open-circuit fault
diagnosis and fault-tolerant strategy for a three-level boost
converter was proposed for a PV power system using batteries
as storage devices. In this case, the unbalance between the
output dc-link capacitor voltages is used for fault isolation.
In [6], a FDI system for interleaved dc/dc converters was
suggested with application to PV systems. For this, the dc-link
current derivative sign is employed as an useful symptom
for FDI purposes. Recently, a fast Field Programmable Gate
Array (FPGA) -based FDI system for open- and short-circuit
faults was presented in [7]. Here, the inductor current and
the switching pattern are used to fault diagnosis. Now, in
this paper, an observer-based FDI system is proposed for
open- and short-circuit faults in a MPPT boost converter. For
this, a residual signal r is generated by an observer, namely
residual generator, which is insensitive to load changes and
sudden irradiance drops. In the absence of fault, exponential
stability is proved for the residual signal r ( t). Even though
the dc/dc boost converter is described by nonlinear differential
equations, the residual generator is synthesized by using a
linear system such that an explicit solution for the residual
signal is guaranteed. Moreover this result can be extrapolated,
straightforward way, to the distributed MPPT architectures
[8], where physical redundancy is available for remedial
actions.
The paper is organized in the following way. In Sec. II, the
open- and short-circuit faults modeling is presented. Next, in
Section III the nominal controller equations are described, as
well as a criterion for tuning the controller gains. After, the
open and short circuit FDI scheme proposed in this paper is
detailed in Sec. IV. Experimental results are illustrated in Sec.
V, and finally final remarks and future work are given in Sec.
VI.

978-1-5090-3474-1/16/$31.00 ©2016 IEEE 2189

 II. FAULT MODELING where the fault is triggered at the time t t f. Note that, as the
=

The power converter used in this study is presented in Fig. nominal duty cycle is always operated in a limited range, i.e.,
l. This system is formed by a boost converter and a capacitive Uo E [0,1], then the fault is always defined by the following
filter Cpv' The average model of the system is represented by fault profile:
the following set of equations: (4)

l On the other hand, for a short-circuit fault the switches Soc

-C;;}X2+ C;;v dl
and Sse are closed. Now, the dynamical response of the system
L-IX - L-IX3+ L-IX3U (I)
I could be described by a control signal u equal to one. In this
C-IX2 - C-Id2- C-IX2U. way, the following relationship is satisfied for the actuator
The state vector is defined by x (Xl, X2, X3)T fault:
(vpv, iL, vo ) T, where vpv represents the input voltage in the ,6.f(t) = 1 - u o(t); =? u (t) = 1 \j t � tf. (5)
terminals of the capacitor Cpv , iL the current of inductor L,
and Vo the voltage in the terminals of the output capacitor C. Again, as the nominal duty cycle is given by Uo E [0,1], then
Also, dl denotes the (measurable) PV current ipv, which is the fault is now defined by the following fault profile:
defined as ipv (t) X(X , G, T, t), where G denotes the irradi­
I (6)
=

ance and T the PVM's temperature. Meanwhile, d2 represents

the load current io, which is considered as an unknown and As a preliminary result, departing from (4) and (6) the fault
arbitrary signal. Finally, the signal u is the control variable that profile direction could be used for fault isolation purposes,
represents the duty cycle for the switch Q , and consequently, which will be detailed in the following sections. In this way,
I
it has a limited operating range, u E [0,1]. open- and short-circuit faults can be represented as follows:
l
-C;;VIX2+ C;;v dl
BOOST Converter
io L-IX - L-IX3+ L-IX3 (u o+,6.f) (7)
I
/'�--------------------------------------------�"

I \-----..

C-IX2 - C-IX2 (uo+,6.f)- C-Id2.

+
Note that, this model is affected by the load and PV currents,
d2 and dl respectively, which are arbitrary signals and con­
va
L sidered as disturbances in this study. Therefore, a decoupled
C - o
A subsystem from these disturbances will be required to avoid
o
false alarms in the fault detection and isolation system.

III. NOMI NAL MPPT CONTROLLER

"
... _-------------------------------------------_ ... ./

The closed-loop MPPT control algorithm is presented in

Fig. 1. Boost power converter as MPPT.
In the Fig. 1, a short-circuit switch fault is represented by
the switch Ssc, which is a normally open switch. Meanwhile,
the open-circuit switch fault is represented by the switch Soc,
which is a normally closed switch. In this work, an additive
actuator fault representation is considered for open and short
circuit faults. Hence, the control signal is represented as:
(2)
where:
Uo: Nominal duty cycle for the switch Q .
I The input-output linearization (IOL) control technique is
,6.r Actuator switch fault of the switch Q .
I employed in this study. This control technique have currently
For an open-circuit fault, the switches Soc and Sse are open.
In this case, the dynamical response of the system could
be described by a control signal u equal to zero. As a
consequence, the following relationship is satisfied under this
fault condition:
this section. As explained in [9], great advantages are obtained
when the MPPT system is involved in a feedback control
structure. However, there are some MPPT proposals which
operate under an open-loop control [10]. Hence, the FDI
system suggested in this work is evaluated under open- and
closed-loop control structures. For the closed-loop operation,
different control techniques are recently being reported in the
literature [9]-[18]. However, the FDI system proposed in this
work is independent of the employed MPPT control structure,
as it will be illustrated in Sec. V.
been employed in applications to smart power grids and
induction motors [19], [20], respectively. Moreover, the
implementation of an IOL controller for MPPT applications
was recently proposed in [9] by using a buck dc/dc converter.
In fact, the following result is an extension of this previous
work.

2190
 In summary, the MPPT controller suggested in this paper is subsystem is given by:
given as:

u (1 - XX 3l ) - �v
X3
(10)
Yl Xl·
V Kp(Y*- y)+ Ki J (Y*- y)dt - Kd (ipv - X2 ) ,
Now, the FDI system is derived by constructing an output
observer departing from the model (10). In the following
Kd LCpv (�J (2+p)fsw (8) proposition, the steps for the observer design are presented.
4 2
Kp LCpv (
�eNc
) .2
(1+ 2P �2e)fs w
3
Ki LCpv ( � ) p�cf:w Fault Diagnosis Technique

�c c
r---------

I
where fsw = l/Tsw represents the switching frequency, Tsw I
is then the switching period, Kd = �::"
p > 0, �c > 1 and
I
I
I
Nc � 10. Under these conditions, the control law (duty cycle
I
I f(
. I
I

u) is such that: Ipv : Converter

�-""' -I
lim(y*- y)=O
t-+=
DC
guaranteeing internal stability for several load scenarios. Bus

To obtain the reference voltage y*, different MPP-Searching

Techniques (MPP-ST) review papers can be found in the latest
literature [21]-[24]. However, the control algorithm described
in this section is independent from the employed MPP-ST. Maximum Power Point Tracking Technique
Hence, the simplest technique to calculate the voltage asso­ V

ciated to the MPP is known as Fractional Method [23]. This

technique is adopted here for its simplicity, which is based Fig. 2. FDI system for a dc/de boost power converter as MPPT system.
on the fact that the MPP voltage is a percentage of the open­
circuit voltage Voe, i.e.,
(9)
Proposition 1. The dynamical structure of the residual gen­
where the value of Koe, according to [23], varies between erator (observer) is conformed by a copy of the model (10)
(0.71,0.78). plus linear error correction terms given by:

-C;;vlX2+ C;;vlipv + Kl (Yl - yd (11)

IV. OBSERV ER-BASED FDI SYSTEM
l l l
L- Xl - L- Y3+ L- Y3Uo+ K2 (Yl - yd
Yl Xl
The main result of this paper is given in this section.
The basic idea of the FDI system suggested in this work is where the residual signal
illustrated in Fig. 2. The problem addressed in this study is to r = Yl - Yl
generate a diagnostic signal (residual) sensitive to the open­
and short-circuit switch faults. Also, the residual signal must is affected by the fault �f, is decoupled from the inputs (ipv,
be insensitive to variations of the load and PV currents. As can io), and exponentially converges to zero in the absence of the
be seen from Fig. 2, the residual signal r is generated through fault �f' Also, a desired performance is obtained by selecting
the residual generator (RG) system by using input/output the observer gains as:
information of the dc/dc power converter. In this study, the 8 j'
RG is achieved by designing an output observer. For this, sw
No
a subsystem decoupled from the disturbances (load and PV
P
currents) but affected by the fault �f is necessary. Hence,
L
1
- 16Cpv
(�o
� )2
the PV current and the output capacitor voltage (Y3 = X3)
are assumed available for measurement in order to obtain this where the settling time is defined as t so= NoTsw and �o is a
subsystem. As a consequence, this subsystem is achieved at desired damping factor.
the price of these two measurements, which are commonly
available from a MPPT control perspective. In this way, the •

2191
A. Fault Detection defined in Table II, where Vm and 1m denote the voltage and
The residual evaluation can be performed by using a current at the MPP under standard test conditions (STC), Isc is
windowed-norm as the short-circuit current in STC, Voc is the open-circuit voltage
in STC and, 0: and (3 are the current and voltage temperature
t
IlrI12,t,T { r(t)2dt, (12)
coefficients, respectively. For the dc/dc power converter, a
Jt-T
=

where II ' II denotes the Euclidean norm. In fact, IlrI12,t,T # 0 TABLE I T

SET OF PARAMETERS OF THE PYM.
even for a fault free scenario due to measurement noise and
model uncertainty. Hence a threshold Jth is selected such that

Jth = max
6.(=0
IlrI12,t,T (13) Parameter I Value I Parameter I Value

and a fault is detected if IlrI12,t,T > Jth. Vm 35. 2 V 1m 4.95 A

B. Fault Isolation Voc 44. 2 V Isc 5.2 A

Considering the previous Proposition 1, the following trans­
fer function can be obtained: 0: 1. 2mA/Co (3 -0. 157V/Co
1
(14)
boost topology is employed in this work (see Fig. 1), which is
where �f = Y3 �f· In this way, it is possible to determine operating at a switching frequency of 10 KHz. The parameters
that the residual signal r will be positive when an open circuit of the power converter are Cpv 30 I1F, L
= 1. 19 mH and
=

fault is triggered because of the fault profile given in (4). On C 141 I1F. A batteries array (12 V 80 Ah each) has been
=

the contrary, the residual is less than zero when a short-circuit considered as load during the experiments. For the closed-loop
switch fault occurs, as defined by (6). As consequence, the sign operation, the control parameters are defined as �c 1 and
=

of the residual signal (positive or negative) is evaluated for Nc 20. Meanwhile, the observer parameters are considered
=

fault isolation purposes. Hence, fault isolation is determined as �o 1. 1 and No 4.

= =

by using the Table I.

B. Experiment E1
TABLE I
FAULT ISOLATION CONDITIONS.
An open-loop operation is considered in this experiment.
Thus, a constant duty cycle equal to u 0. 65 is defined during
=

the experiment, see top plot of Fig. 3(a). Initially, the 2 PVM
Fault Fault Profile Residual are acting on the dc/dc boost converter and at t 0.05 s one
=

of them is disconnected, thereby causing a sudden irradiance

Open-Circuit Switch Fault �f .-::: 0 r(t) :;0. 0 drop (approximately 50%), see middle 2 and middle 3 plots of
r(t) .-::: 0 Fig. 3(a). Delayed responses can be noted due to the effect of
Short-Circuit Switch Fault �f :;0. 0
mechanical relay switch used for PVM disconnection. Hence,
the PV current ipv drops from 10 A to 5 A and the PV
power Ppv drops from 220 W to 110 W. However, as can
V. EXPERI MENTAL RESULT S be seen from the top plot of Fig. 3(b), the residual signal
In this section, an evaluation of the proposed FDI system r remains in zero in spite of the sudden irradiance drop.
for MPPT in PV systems is carried out by taking into account Next, an open-circuit fault in the switch Q1 is triggered at
a sudden irradiance drop and the following scenarios: t = 0. 15 s. Under this fault condition the PVM operating
El: Open-circuit switch fault in open-loop. point is defined by the impedance of the load element. In
E2: Short-circuit switch fault in closed-loop. this way, as the output voltage Vo 60 V is greater than vpv
=

(boost converter), the inductor current decreases and the PVM

A. Test Bench
To validate the ideas presented in this work, the experimen­
tal results were carried out by using a laboratory prototype
with a nominal PV power of 350 W. A PV array composed
by 2 PVM (175 W each), in parallel connection, is considered
in order to validate the FDI system performance against a
sudden irradiance drop. Both, nominal controller and diagnosis
algorithms, were implemented in a DS1104 dSpace board at
a sampling frequency of 75 KHz. The PVM parameters are
voltage vpv increases up to the open-circuit voltage Voc, see Eq.
2 of (1). As consequence, the PV current ipv and the PV power
decrease to zero, as can be noticed from middle 2 and middle
3 plots of Fig. 3(a). At the same time, the residual signal r
increases, as previously defined in Table I. It is worth noting
that fault diagnosis (FD) is achieved in 5 switching periods,
which is enough to take a remedial action. Finally, note that
an open-circuit switch fault is not a destructive fault. However,
a poor efficiency is obtained under this fault condition.

2192
C. Experiment E2
Now a closed-loop operation is considered in this exper­
iment. Once more, a step change in irradiance occurs at
t 0.05 s. Delayed responses are obtained in the experiment,
=
which has already explained. This effect can be observed in
the middle I plot and middle 2 plot of Fig. 4(a). It can
be revealed that, after the sudden irradiance drop, the PV
current approximately drops from 10 A to 5 A. Meanwhile,
the PV power drops from 220 W to 110 W (irradiance drop of
approximately 50%). However, as can be observed from top
plot of Fig. 4(b), the residual signal T results insensitive to
this hard environmental condition. Next, a short-circuit fault
in the switch Q1 is triggered at t 0. 15 s. Under this fault
=
condition, the inductor element of the boost converter supplies
energy, which is absorbed by the PVM, see top plot of Fig.
4(b). Due to the integral control action tries to compensate
the fault effect, the residual signal T rapidly decreases as
can be noticed from top plot of Fig. 4(b), which was also
expected departing from Table I. Finally, it is worth noting
that 5 switching periods are required in order to detect this
fault condition, see bottom plot of Fig. 4(b).
VI. FINAL REMARKS AND FUT URE WORK
In this paper a FDI system was presented for a boost dc/dc
converter as a MPPT system. Open- and short-circuit faults
can be diagnosed by this proposal, even operating under open­
and closed-loop operation. Departing from the observability
properties of the obtained subsystem for FDI purposes, the
fault detection time can be assigned arbitrarily. Moreover, fault
isolation was guaranteed by checking the sign of the residual
signal. As it was demonstrated in the experiments, a short­
circuit fault can seriously affect the PVM security. Meanwhile,
the efficiency is seriously degraded under both open- and
short-circuit fault conditions. In this way, this FDI system can
serve to take remedial actions as prompt as possible to avoid
fault propagation. In addition, an exhaustive experimental
evaluation was carried out in a laboratory prototype of 350 W,
which was consistent with the mathematical model described
in Sec. II. As a future work, these ideas will be extrapolated
to MPPT-distributed architectures.
ACKNOW LEDGMENT
This research is supported by a grant from CONACYT
(CB-255729-2016). Project title: Fault Tolerant Control for PV
Systems with a Distributed MPPT Architecture.
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0.01 0.03 0.05 0.07 0.09 0.11 0.13 0.15 0.17 0.190.2 o 0.01 0.03 0.05 0.07 0.09 0.11 0.13 0.15 0.17 0.190.2

60 �'---'----'---'---'-�

0.2
� 40

:;: 0.1
20
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=

O �L-__-L__�____�__-L____L-__�__��
o 0.01 0.03 0.05 0.07 0.09 0.11 0.13 0.15 o 0.01 0.03

�l • • • �: ,: " • -I j
I'"aul\.
Ikt.ediOTl

o 0.01 0.03 0.05 0.07 0.09 0.11 0.13 0.1505 0.17 0.190.2 o 0.01 0.03 0.05 0.07 0.09 0.11 0.13 0.1505 0.17 0.190.2
Time(s) Time(s)

(b) (b)

Fig. 3. Open-Circuit Switch fault in open-loop. (a) TOP: Duty cycle u, Fig. 4. Short-Circuit Switch fault in closed-loop. (a) TOP: Duty cycle u,
MIDDLE I: PV voltage Xl, MI DDLE 2: PV current ipv, MI DDLE 3: PV MIDDLE I: PV voltage Xl, MI DDLE 2: PV current ipv, MI DDLE 3: PV
power Ppv and BOTTOM: output voltage Va. (b) Detection and residual signal power Ppv and BOTTOM: output voltage Va. (b) Detection and residual signal
during experimental evaluation of a fault in Ql switch. during experimental evaluation of a fault in Ql switch.

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