Electrical and Mechanical Fault

Diagnosis in Wind Energy Conversion

Systems Monia Ben Khader Bouzid
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Electrical and Mechanical Fault Diagnosis in
Wind Energy Conversion Systems
 Electrical and Mechanical
Fault Diagnosis in Wind
Energy Conversion Systems

Edited by

Monia Ben Khader Bouzid

Gérard Champenois
First published 2023 in Great Britain and the United States by ISTE Ltd and John Wiley & Sons, Inc.

Apart from any fair dealing for the purposes of research or private study, or criticism or review, as
permitted under the Copyright, Designs and Patents Act 1988, this publication may only be reproduced,
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 Contents

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ix
Monia BEN KHADER BOUZID and Gérard CHAMPENOIS

Chapter 1. Accurate Electrical Fault Detection in the

Permanent Magnet Synchronous Generator and
in the Diode Bridge Rectifier of a Wind Energy
Conversion System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
Monia BEN KHADER BOUZID and Gérard CHAMPENOIS
1.1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.2. Description of the system under study and the used fault
detection method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
1.3. Fundamental notions of the symmetrical components . . . . . . . . . . . 5
1.4. Development of the analytical expressions of the NSV
in the case of the different considered faults . . . . . . . . . . . . . . . . . . . 7
1.4.1. Analytical expression of V2 in the case of simultaneous faults . . . 7
1.4.2. Analytical expression of V2 in the case of ITSCF in the PMSG . . 12
1.4.3. Analytical expression of V2 in the case of OCDF in the rectifier . . 14
1.5. Analytical study of the indicators of the different faults . . . . . . . . . 15
1.5.1. Analytical study in the case of ITSCF . . . . . . . . . . . . . . . . . . 16
1.5.2. Analytical study in the case of OCDF in the rectifier . . . . . . . . . 19
1.5.3. Analytical study in the case of SF . . . . . . . . . . . . . . . . . . . . 24
1.6. Experimental validation of the proposed fault indicators . . . . . . . . . 25
1.6.1. Description of the tests process . . . . . . . . . . . . . . . . . . . . . . 25
1.6.2. Experimental results in the case of healthy operation . . . . . . . . . 26
1.6.3. Experimental results in the case of ITSCF in the PMSG . . . . . . . 27
1.6.4. Experimental results in the case of an OCDF fault in the rectifier . 29
1.6.5. Experimental results in the case of SF in the system considered . . 31
vi Electrical and Mechanical Fault Diagnosis in Wind Energy Conversion Systems

1.7. Description of the method proposed . . . . . . . . . . . . . . . . . . . . . 32

1.8. Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
1.9. References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37

Chapter 2. Control and Diagnosis of Faults in Multiphase

Permanent Magnet Synchronous Generators for
High-Power Wind Turbines . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
Sérgio CRUZ and Pedro GONÇALVES
2.1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
2.2. Wind energy conversion systems . . . . . . . . . . . . . . . . . . . . . . . 40
2.3. Multiphase electric drives on WECS . . . . . . . . . . . . . . . . . . . . . 41
2.4. Model of a six-phase PMSG drive . . . . . . . . . . . . . . . . . . . . . . 43
2.4.1. Natural reference frame . . . . . . . . . . . . . . . . . . . . . . . . . . 44
2.4.2. Synchronous reference frame . . . . . . . . . . . . . . . . . . . . . . . 48
2.5. Control strategies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51
2.5.1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51
2.5.2. Field-oriented control . . . . . . . . . . . . . . . . . . . . . . . . . . . 51
2.5.3. Direct torque control . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52
2.5.4. Finite control set model predictive control . . . . . . . . . . . . . . . 54
2.6. Fault diagnosis in multiphase drives . . . . . . . . . . . . . . . . . . . . . 71
2.6.1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71
2.6.2. Interturn short-circuit faults . . . . . . . . . . . . . . . . . . . . . . . . 73
2.6.3. High-resistance connections and open-phase faults . . . . . . . . . . 76
2.6.4. Permanent magnet faults . . . . . . . . . . . . . . . . . . . . . . . . . 78
2.6.5. Current sensor faults . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79
2.6.6. Speed sensor faults . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 80
2.7. Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81
2.8. References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 82

Chapter 3. Gearbox Fault Monitoring Using Induction

Machine Electrical Signals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89
Khmais BACHA and Walid TOUTI
3.1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89
3.2. Motor stator current signature approach . . . . . . . . . . . . . . . . . . . 90
3.2.1. Air gap magnetic flux density-based approach . . . . . . . . . . . . 90
3.2.2. Magnetizing current approach . . . . . . . . . . . . . . . . . . . . . . 97
3.3. Wound rotor current signature approach . . . . . . . . . . . . . . . . . . . 99
3.4. Experimental results. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101
3.4.1. MCSA for geared motor fault diagnosis . . . . . . . . . . . . . . . . 101
3.4.2. MCSA for WT gearbox . . . . . . . . . . . . . . . . . . . . . . . . . . 103
 Contents vii

3.4.3. WT generator current processing. . . . . . . . . . . . . . . . . . . . . 104

3.4.4. Current transformations for geared motor fault diagnosis . . . . . . 106
3.5. Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 116
3.6. Acknowledgments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 116
3.7. References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117

Chapter 4. Control of a Wind Distributed Generator

for Auxiliary Services Under Grid Faults . . . . . . . . . . . . . . . . . . . 119
Youssef KRAIEM and Dhaker ABBES
4.1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119
4.2. Description of the renewable distributed generator . . . . . . . . . . . . 123
4.3. Control of the distributed generator . . . . . . . . . . . . . . . . . . . . . 124
4.3.1. Control of the wind generator. . . . . . . . . . . . . . . . . . . . . . . 124
4.3.2. Control of the hybrid storage system . . . . . . . . . . . . . . . . . . 128
4.3.3. Control of the DC bus voltage . . . . . . . . . . . . . . . . . . . . . . 130
4.4. Power management algorithm . . . . . . . . . . . . . . . . . . . . . . . . . 132
4.4.1. Specifications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 132
4.4.2. Determination of inputs/outputs . . . . . . . . . . . . . . . . . . . . . 133
4.4.3. Determination of membership functions . . . . . . . . . . . . . . . . 133
4.4.4. Inference engine for energy management . . . . . . . . . . . . . . . . 136
4.5. Detection and control of the grid faults . . . . . . . . . . . . . . . . . . . 138
4.5.1. Fuzzy logic islanding detection . . . . . . . . . . . . . . . . . . . . . . 141
4.5.2. Fuzzy droop control technique for the adjustment of the
grid frequency and voltage . . . . . . . . . . . . . . . . . . . . . . . . . . . . 144
4.6. Simulation results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 146
4.6.1. Control and power management of the distributed generator . . . . 147
4.6.2. Detection and correction of the grid voltage and frequency
variations at the PCC . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 150
4.7. Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 154
4.8. References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 154

Chapter 5. Fault-Tolerant Control of Sensors and Actuators

Applied to Wind Energy Systems . . . . . . . . . . . . . . . . . . . . . . . . 159
Elkhatib KAMAL and Abdel AITOUCHE
5.1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 159
5.2. Objective . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 161
5.3. RFFTC of WES with DFIG . . . . . . . . . . . . . . . . . . . . . . . . . . 163
5.3.1. TS fuzzy model with parameter uncertainties and
fuzzy observer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 164
5.3.2. Proposed RFFTC based on FPIEO and FDOS . . . . . . . . . . . . . 167
viii Electrical and Mechanical Fault Diagnosis in Wind Energy Conversion Systems

5.3.3. Proposed RFFTC stability and robustness analysis . . . . . . . . . . 170

5.3.4. WES with DFIG application . . . . . . . . . . . . . . . . . . . . . . . 171
5.3.5. Simulations and results . . . . . . . . . . . . . . . . . . . . . . . . . . 174
5.4. RFSFTC of WES with DFIG subject to sensor and actuator faults . . . 178
5.4.1. TS fuzzy plant model with actuator faults, sensor faults
and parameter uncertainties . . . . . . . . . . . . . . . . . . . . . . . . . . . . 179
5.4.2. Proposed RFSFTC algorithm based on FPIEO and FDOS . . . . . 180
5.4.3. Derivation of the stability and robustness conditions . . . . . . . . . 181
5.4.4. WES with DFIG application and simulations and results . . . . . . 183
5.5. RDFFTC of hybrid wind-diesel storage system subject to
actuator and sensor faults . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 186
5.5.1. Fuzzy observer scheme for the uncertain system with
sensor and actuator faults . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 187
5.5.2. Proposed RDFFTC, reference model and stability analysis . . . . . 188
5.5.3. HWDSS application and simulations and results . . . . . . . . . . . 191
5.6. Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 197
5.7. References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 198

List of Authors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 203

Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 205
 Introduction

Wind energy plays a vital role in meeting the Paris Agreement’s goal of
1.5°C global warming and to accelerate the energy transition. In fact, wind
energy is a renewable and sustainable source of energy, which does not
contribute to greenhouse gas emissions, making it an important tool in
combating climate change. As the cost continues to decrease significantly
and technology improves, wind energy is becoming more competitive with
other sources of energy an increasingly important part of the global energy
mix.

According to the Global Wind Energy Council (GWEC), the cumulative

capacity of wind power installed worldwide reached 841 GW at the end of
2022. The growth of wind power capacity installation is expected to
continue in the coming years as more countries implement policies and
invest in renewable energy to reduce their carbon footprint and combat
climate change.

A wind energy conversion system is an important technology for

generating clean renewable energy and reducing our dependence on fossil
fuels. The operating mode of this system consists on capturing the power of
the wind and converts it into usable electrical energy. The system typically
consists of several key components, including wind turbines composed of
blades that capture the kinetic energy of the wind and convert it into
rotational motion, the generator that converts the rotational motion of the
rotor blades into electrical energy, the power electronic system including
inverters, rectifiers and other components that convert the AC power

Introduction written by Monia BEN KHADER BOUZID and Gérard CHAMPENOIS.

x Electrical and Mechanical Fault Diagnosis in Wind Energy Conversion Systems

produced by the generator into a form that can be used by the grid or stored
in batteries and the control system responsible for regulating the speed and
direction of the rotor blades to optimize the efficiency of the wind turbine.

However, wind energy conversion systems are subject to various types of

faults which can impact their reliability and efficiency. These faults can be
electrical or mechanical faults. Electrical faults can occur in generators,
transformers, power converters and cables. These faults can result in reduced
power output, increased maintenance requirements and potentially
dangerous situations such as electrical arcing. Mechanical faults can occur in
blades, bearings and gears. These faults can result in increased vibration,
noise and wear and can ultimately lead to component failure if not
addressed.

Therefore, fault detection in wind energy conversion systems is of great

important to ensure their reliability, safety and efficiency. Regular
maintenance and monitoring can also help to detect them before they lead to
downtime or major repairs. Additionally, advanced control and monitoring
systems can help to optimize the performance of wind energy conversion
systems and reduce the risk of faults occurring.

Thus, this book is an opportunity for readers to deepen their

understanding of the theories and concepts related to the topic of electrical
and mechanical fault detection and diagnosis in the different components of
a wind energy conversion system, as well as to gain insight into the practical
applications and the results achieved in the field. To this end, many
researchers from the scientific community have contributed to this book in
order to share their research results. This book is organized into an
Introduction and five chapters.

Chapter 1, Accurate Electrical Fault Detection in the Permanent Magnet

Synchronous Generator and in the Diode Bridge Rectifier of a Wind Energy
Conversion System, written by Monia Ben Khader Bouzid and Gérard
Champenois, proposes an efficient symmetrical component-based method,
able to detect, locate and discriminate between an inter-turns short-circuit
fault in the permanent magnet synchronous generator and an open-circuit
diode fault in the diode rectifier of a small-scale wind conversion energy
system. The first part of this chapter will be dedicated to an original
analytical study of the negative sequence voltage under the different
considered faults, where novel expressions of the negative sequence voltage
 Introduction xi

are developed. Afterward, as a second part, an analytical study of the

different proposed indicators of faults will be presented to investigate the
behavior of the proposed indicators under the different faulty modes. Then,
the third part of this chapter will be focused on the experimental validation
of the behavior of the proposed indicators of fault and the novel developed
expressions of the negative sequence voltage. Finally, a detailed description
of the proposed method will be introduced in the fourth part of this chapter.

Chapter 2, Control and Diagnosis of Faults in Multiphase Permanent

Magnet Synchronous Generators for High-Power Wind Turbines, written by
Sérgio Cruz and Pedro Gonçalves, presents a general overview of the
existing control systems and diagnostic methods available for diagnosing
faults in multiphase PMSM drives applied in wind energy conversion
systems. After a general overview of the modelling of multiphase PMSM
machines, the most common control algorithms of multiphase PMSM drives
are presented, including field oriented control, direct torque control and
model predictive control (MPC). Special emphasis is given to MPC
algorithms due to their increasing popularity and adequacy in the control of
this category of drives. Following this, recent diagnostic methods are
presented to detect different types of machine and converter faults, including
inter-turn short-circuits, high-resistance connections, open-phase faults in the
machine and in the power switches, permanent magnet faults, mechanical
faults and sensor faults.

Chapter 3, Gearbox Faults Monitoring Using Induction Machine

Electrical Signals, written by Khmais Bacha and Walid Touti, first
presents the theoretical basis of the AM-FM effect of gear faults on the
driven machine stator current using the machine current signal analysis
technique (MCSA). Then, the MCSA is compared to various recent methods
such as the extended Park vector approach (EPVA) and the discrete
cosine/discrete sine transform used for the gear fault diagnosis purpose.
Based on the experimental results, these methods are investigated in terms of
fault sensitivity to frequency levels.

Chapter 4, Control of a Wind Distributed Generator for Auxiliary

Services Under Grid Faults, written by Youssef Kraiem and Dhaker Abbes,
presents an intelligent control strategy based on fuzzy logic technology for a
renewable distributed generator (RDG) integrated into power electrical
system in order to keep the frequency and the voltage of the power grid in an
allowable range, while ensuring the continuity of the power supply in the
xii Electrical and Mechanical Fault Diagnosis in Wind Energy Conversion Systems

event of a grid fault. The RDG comprises a wind system, as a principal

source and a hybrid storage system consisting of battery (BT) and
supercapacitors (SC). RDG is associated with loads and a fluctuating power
grid. The structure of the proposed control strategy is mainly composed of a
fuzzy logic supervisor, a fuzzy detector of the standalone operation mode
and an adaptive fuzzy droop control. The fuzzy supervisor is developed to
manage the power flows between different sources by choosing the optimal
operating mode, while ensuring the stability of the power grid and the
continuous supply of loads by maintaining the state of charge of the BT and
SC in acceptable levels to improve their lifespans. The fuzzy islanding
detector is used to detect the standalone mode in the event of power grid
failure. The adaptive fuzzy droop control allows for controlling active and
reactive powers exchanged with the power grid, ensuring its stability by
maintaining frequency and voltage within optimal margins.

Chapter 5, Fault-Tolerant Control of Sensors and Actuators Applied to

Wind Energy Systems, written by Elkhatib Kamal and Abdel Aitouche,
proposes an observer-based actuator or sensor detection scheme for TS
(Takagi-Sugeno) type fuzzy systems subject to sensor faults, parametric
uncertainties and actuator faults. The detection system provides residuals for
detecting and isolating sensor faults that may affect a TS model. The fuzzy
TS model is adopted for fuzzy modeling of the uncertain nonlinear system
and establishing fuzzy state observers. Sufficient conditions are established
for robust stabilization in the sense of Lyapunov stability for the fuzzy
system. The sufficient conditions are formulated in the form of linear matrix
inequality (LMI). The effectiveness of the proposed controller design
method is finally demonstrated on a DFIG-based wind turbine to illustrate
the effectiveness of the proposed method.
 1

Accurate Electrical Fault Detection in

the Permanent Magnet Synchronous
Generator and in the Diode Bridge
Rectifier of a Wind Energy
Conversion System

1.1. Introduction

Nowadays, it is a necessity to combat climate change by reducing the

emission of greenhouse gases, notably carbon dioxide and methane. Reducing
emissions requires essentially generating electricity from renewable energy
sources non-emitting carbon. Wind energy is one of the most worldwide
used renewable energy, and it is the fastest-growing energy source among
the new power generation sources. Wind energy is already rapidly developing
into a mainstream power source in many countries of the world, with over
841 GW of installed capacity worldwide (GWEC 2022). This has driven the
rapid development and the high-capacity installation of wind energy
conversion systems everywhere in the world, onshore and offshore. However,
as any system, a wind energy conversion system may be subjected to various
types of faults that may negatively affect the continuity of the electrical
production and the reliability of such systems. Thus, the implementation of a

Chapter written by Monia BEN KHADER BOUZID and Gérard CHAMPENOIS.

For a color version of all figures in this chapter, see www.iste.co.uk/benkhaderbouzid/fault.zip.
2 Electrical and Mechanical Fault Diagnosis in Wind Energy Conversion Systems

monitoring and diagnosis system based on efficient fault detection and

diagnosis methods is of great importance to ensure the safety and reliability
of a wind energy conversion system.

As the generator and its associated converters are the main electrical
components in the energy conversion process of a wind turbine system
(Bahloul et al. 2023), this chapter is focused on the detection of the inter-turn
short-circuit fault (ITSCF) in the stator windings of the permanent magnet
synchronous generator (PMSG) and the open-circuit diode fault (OCDF) in
the three-phase diode rectifier connected to the PMSG. Each type of fault
can occur separately or two may occur simultaneously. In the case of a
simultaneous fault, it is very difficult to discriminate between the two faults.
To this end, this chapter proposes an efficient method based essentially on
the symmetrical components to detect, locate and discriminate between an
ITSCF and an OCDF in a small-scale, variable-speed wind energy
conversion system.

This chapter will be organized as follows. The description of the system

under study and the principle of the used method is given in section 1.2. The
fundamental notions of the symmetrical components are presented in section
1.3 to facilitate the understanding of the presented work. In section 1.4, an
original analytical study of the negative sequence voltage (NSV) under the
different considered faults is elaborated where new expressions of the NSV
under the different considered faults are developed. In section 1.5, the
behaviors of the proposed fault indicators are studied analytically. These
proposed fault indicators are experimentally validated in section 1.6. The
description of the principle of the proposed method using the different fault
indicators to detect, discriminate and locate the different considered faults is
presented in section 1.7. Finally, a conclusion is drawn in section 1.8.

1.2. Description of the system under study and the used fault
detection method

A wind energy conversion system is a cost-effective way to generate

clean electricity and protect the environment. This system typically consists
of large blades that capture the kinetic energy of the wind and convert it into
mechanical power. This mechanical power spins then the generator shaft,
which produces electricity. Wind energy conversion systems can be
 Accurate Electrical Fault Detection 3

conceived on a small or large scale, onshore or offshore, with fixed or

variable speeds and connected or not to the main grid.

In any wind energy conversion system, the key component responsible

for the conversion of wind energy to electrical energy is the generator. The
typically-used wind turbine generators are a doubly-fed induction generator
(DFIG), wound rotor synchronous generator (WRSG), squirrel-cage
induction generator (SCIG) and permanent-magnet synchronous generator
(PMSG) (Liang et al. 2022). In the last decade, due to its several advantages,
the PMSG has gained significant popularity and is becoming widely used in
wind energy conversion systems (Yuan et al. 2021). As it has been reported
in Gliga et al. (2008), the PMSG faults represent 14.7% of all faults in a
WTS, and they account for 24.42% of the downtime.

On the other hand, the wind turbine generator is interfaced with the utility
grid via power electronic converters used to transfer and control the wind
power into the electric grid. Typically, wind turbine converters include diode
rectifier-based converter topology, two-level back-to-back converter
topology, three-level neutral-point-clamped back-to-back converter topology
and modular multilevel converter topology (Yang et al. 2016). It has been
reported in Liang et al. (2022) that the fault of power semiconductor devices
is one of the main causes responsible for converter faults. Typical faults of
power semiconductor devices can be divided into short-circuit (SC) faults
and open-circuit (OC) faults. The OC faults are the most common.

Based on these considerations, this work is interested in the PMSG-based

wind turbine structure. However, according to this structure, there are two
configurations: PMSG with back-to-back voltage source converters and
PMSG with diode rectifiers and boost converters. This chapter is focused on
the configuration of the PMSG connected to a diode rectifier-based
converter, since this configuration is widely used to interface direct-drive
wind conversion energy systems, due to its simplicity and its low cost (Yang
et al. 2016). Figure 1.1 shows the block diagram of a small-scale wind
conversion system based on a PMSG connected to a diode rectifier. This
system is composed of a wind turbine (three blades), a PMSG, a three-phase
diode bridge rectifier, a boost chopper and a DC bus. However, the system
under study is limited only to the PMSG and the three-phase diode rectifier
highlighted in yellow in Figure 1.1.
4 Electrical and Mechanical Fault Diagnosis in Wind Energy Conversion Systems

Figure 1.1. Small-scale, PMSG variable speed wind energy conversion system

To ensure the reliability and increase the safety of the system under
study, this work is aimed at finding an efficient method capable of detecting,
locating and discriminating between two electrical faults, which are an inter-
turn short-circuit fault (ITSCF) in the stator of the PMSG and an OCDF in
the three-phase diode bridge rectifier. This interest is justified by the fact that
the ITSCF is the most frequent fault in the machine (Qiao and Lu 2015), and
it is a critical and harmful one when detected in the PMSG. It shapes more
than one-third of the total faults in the PMSG (Sayed et al. 2021). However,
the OCDF in a diode rectifier, although it may not seriously stop the
operation of the wind turbine system, can result in overstressing the other
healthy diodes and cause the failure of other diodes (Huang et al. 2021).

The proposed fault detection and diagnosis method are based on the
monitoring of different relevant indicators of faults extracted basically from
the symmetrical components of voltages and currents. It consists first of
monitoring the magnitude of the PMSG NSV V2 to detect any fault in the
considered system. Afterward, the mean values of the line currents are used
to discriminate between an ITSCF and OCDF since a fault can occur in the
PMSG or the rectifier. Furthermore, in the case of an ITSCF or/and an
OCDF, the location of the PMSG faulty phase or/and the rectifier’s faulty
arm is ensured by the monitoring of the phase angle φV2 of the NSV and the
phase angle φI2 of the negative sequence current (NSC), respectively. The
potential features of these indicators to detect, discriminate and locate
the considered faults will be demonstrated in the next sections through an
 Accurate Electrical Fault Detection 5

original deep and thorough analytical study of the NSV under the different
faults where novel NSV expressions will be developed and presented taking
into account the encroachment effect of the current and the placement of the
different turns in the slots of the PMSG stator. The behavior of the NSV and
the NSC as well as the exactness of the proposed novel expressions will be
validated for each fault. However, before investigating the analytical
behavior of the NSV under ITSCF and OCDF, let us give first, a brief
description of the symmetrical component principle.

1.3. Fundamental notions of the symmetrical components

In a balanced three-phase electrical system composed of a balanced

three-phase voltage source connected to a balanced three-phase load, a
balanced set of three-phase currents is drawn. In this case, the three-phase
voltages are with equal amplitude and 120° spacing. Similarly, the three
currents also have equal amplitudes and 120° spacing, but with a phase shift
with respect to the voltage due to the lagging or leading loads as illustrated
in Figure 1.2.

However, in an unbalanced system, the above principle is no longer true.

To simplify the investigation of an unbalanced three-phase system, in 1918
(Furfari et al. 2002), Charles Fortescue suggested that any three-unbalanced
phasors can be expressed as the sum of three sets of balanced phasors. Thus,
as Fortescue states, an unbalanced three-phase voltage or current system can
be decomposed into three symmetrical sets of balanced voltages or currents.

Figure 1.2. A balanced system of three voltages and currents

Figure 1.3 illustrates graphically the decomposition of an unbalanced

three-phase voltage (Figure 1.3(a)) into three balanced voltages sequences
6 Electrical and Mechanical Fault Diagnosis in Wind Energy Conversion Systems

(Figure 1.3(b)), which V1 is called the positive sequence component. It is

called positive since it has the same order of phases as in the original set,
that is, a → b → c clockwise. V2 , on the other hand, is referred to as the
negative sequence component since it has a flipped order of phases, that is,
a → c → b. The last component V0 is called the zero sequence component
and it consists of three phasors of the same phase shift, that is, a non-rotating
set. Similarly, an unbalanced three-phase current system can be decomposed
into a positive sequence component I1 , a negative sequence component I2
and a zero sequence component I0 .

Mathematically, the expressions of the three symmetrical components can

be obtained using Fortescue’s matrix F:

1 a a2 
 
F = 1 a 2 a [1.1]
1 1 1 


Thus, by applying Fortescue’s matrix to an unbalance of three-phase

voltages (V1 ,V2 ,V3 ) and currents ( I1 , I2 , I3 ) , the expressions of the positive,
negative, and zero sequences of voltage and current are given by [1.2] and
[1.3], respectively.

 V1  1 a a 2   Va 
  1 2   
 V2  = 3 1 a a  .  Vb  [1.2]
 V0  1 1 1   Vc 
  

 I1  1 a a 2   Ia 
  1 2   
 I2  = 3 1 a a  .  Ib  [1.3]
 I0  1 1 1   Ic 
  
2π 4π
j j
where a = e 3
and a 2 = e 3
.
 Accurate Electrical Fault Detection 7

a)

Va/3 a.Vb/3 a2.Vc/3 a2.Vb/3

a.Vc/3 Va/3
Va/3 Vc/3 Vb/3
V1c

V2c
V1a
V2b V0c V0b V0a

V1b V2a

Positive sequence voltage Negative sequence voltage Zero sequence voltage

b)

Figure 1.3. Three-phase unbalanced system: (a) unbalanced

voltages; (b) their graphical decomposition into three symmetrical
components: positive, negative and zero sequences

1.4. Development of the analytical expressions of the NSV in the

case of the different considered faults

The objective of this novel original analytical study is to develop

analytical expressions of the NSV in the three cases of fault, the ITSCF in
the machine named machine fault (MF), the OCDF in one arm of the diode
full-bridge rectifier named rectifier fault (RF) and the two faults
simultaneously named simultaneous faults (SF).

1.4.1. Analytical expression of V2 in the case of simultaneous faults

To develop the expressions of the NSV in presence of SF, we consider

the equivalent electrical circuit illustrated in Figure 1.4. In this circuit, the
8 Electrical and Mechanical Fault Diagnosis in Wind Energy Conversion Systems

faulty PMSG presents an ITSCF of Nsa shorted turns in phase “a” as an

example of ITSCF. This faulty machine is connected to a three-phase diode
rectifier with an OCDF modeled by an unbalanced load composed of three
unbalanced impedances (Bouzid and Champenois 2017).

The three unbalanced currents flowing in the circuit are denoted

( Ia , Ib , Ic ) . The ITSCF is quantified by the factor “xa” which is a relative
number equal to the ratio between Nsa and the total number Nt of turns in the
healthy phase, as expressed by [1.4].

xa = Nsa/Nt [1.4]

Figure 1.4. The equivalent electrical circuit of the faulty PMSG

with an ITSCF in phase “a”“ connected to an unbalanced load

In general case, for any ITSCF in the phase “i” (i = a, b or c),

xi = Nsi/Nt [1.5]

According to Figure 1.4, the expressions of the three electromotive forces

(EMF) (Ea ,Eb ,Ec ) and the impedance Zm of the healthy PMSG are given by
[1.6] and [1.7], respectively.

E a = 2.E.sin(ω.t)

E b = 2.E.sin(ω.t − 2.π / 3) [1.6]

E c = 2.E.sin(ω.t + 2.π / 3)
 Accurate Electrical Fault Detection 9

Zm = R m + j.w.Lc [1.7]

with:
– Rm: phase resistance of the PMSG;
– Lm: self-inductance of the PMSG phase;
– Lc = Lm·(3/2-ft/2): cyclic inductance of the PMSG phase; [1.8]
– ꞷ = 2.π.f: pulsation of the system;
– f: frequency of the PMSG;
– ft: leakage flux ratio between phases.

By applying Kirchhoff’s voltage law to the equivalent circuit of

Figure 1.4, the voltage equations VaN VbN VcN , between the neutral point N
and the terminals “a”, “b” and “c” of the machine, can be written as follows:

VaN = (1 − xa ).Ea +xa .Ea − (1 − xa ).Rm .I a − j.ω.[(1 − xa )2 .Lm .I a +M ba1 .I b

+ M ca1 .I c +M a2a1 .( I da +I a )] − xa .Rm .( I da +I a ) − j.ω. [ xa2 .Lm .( I da +I a ) [1.9]
+ M ba2 .I b + M ca2 .I c + M a1a2 .I a ]

VbN = Eb − R m .Ib − j.ω.[Lm Ib + Ma 2b .( Ida + Ia ) + Ma1b .Ia + Mcb .Ic ] [1.10]

VcN = Ec − R m .Ic − j.ω.[Lm Ic + Ma 2c .( Ida + Ia ) + Ma1c .Ia + Mbc .Ib ] [1.11]

With

M a1a2 = M a2 a1 = ((1 − xa ) 2 .Lm . xa2 .Lm )= xa .(1 − xa ).Lm [1.12]

M a1b =M a1c = M ba1 =M ca1 = − (1 − ft ) /2. ( (1 − xa )2 .L2m )

[1.13]
= − (1 − ft ) /2.(1 − xa ).Lm

M a2b =M a2c = M ba2 =M ca2 = − (1 − ft ) /2. ( xa2 .L2m ) = − (1 − ft ) /2.xa .Lm [1.14]
10 Electrical and Mechanical Fault Diagnosis in Wind Energy Conversion Systems

M a1b + M a2b = M ba1 + M ba2 = M a1c + M a2c = M ca1 +M ca2

= − (1 − ft ) /2.Lm .[(1 − xa )+xa ] [1.15]
= − (1 − ft ) / 2.Lm

M bc = M cb = − (1 − ft ) / 2.Lm [1.16]

The expressions of VaN , VbN , VcN can be reformulated according to [1.17]

and [1.18].

VaN = Ea − xa .Rm .I da − j.ω.I da .x.Lm − Rm .I a

[1.17]
− j.ω.Lm .[ I a − (1 − f t ) /2.( I b +I c )]

VbN = Eb +j.ω.I da .xa .Lm (1 − f t ) / 2 − Rm .I b

[1.18]
− j.ω.Lm .[ I b − (1 − f t )/ 2.( I c +I a )]

VcN = Ec +j.ω.I da .xa .Lm .(1 − f t ) /2 − Rm .I c

[1.19]
− j.ω.Lm .[ I c − (1 − f t ) /2.( I a +I b )]

Since Ib + Ic = − Ia , Ic + Ia = − Ib and Ia + Ib = − Ic

VaN = Ea − xa .Rm .I da − j.ω.I da .xa .Lm − Rm .I a

[1.20]
− j.ω.Lm .I a .(3 / 2 − f t / 2)

VbN = Eb +j.ω.I da .xa .Lm .(1 − f t ) / 2 − Rm .I b

[1.21]
− j.ω.Lm .I b (3 / 2 − f t / 2)

VcN = Ec +j.ω.I da .xa .Lm .(1 − f t ) / 2 − Rm .I c

[1.22]
− j.ω.Lm .I c .(3 / 2 − f t / 2)

Applying the complex Fortescue’s transformer of [1.1] to the voltages

VaN , VbN , VcN , the expressions of the symmetrical components of these
voltages are obtained according to [1.2]. Thus, the expression of the NSV
 Accurate Electrical Fault Detection 11

V2a generated by an ITSCF in phase “a” and an OCDF in the diode rectifier
simultaneously is given by [1.23]:

V2a = (VaN + a 2 .VbN + a.VcN ) / 3 [1.23]

The substituting of [1.20]–[1.22] in [1.23] yields:

3.V2a = ( Ea + a 2 .Eb + a.Ec ) − xa .Rm .I da − j.ω.I da .xa .Lm

+ j.ω.I da .xa .Lm .(1 − f t ) / 2.(a 2 +a) − Rm .( I a + a 2 .I b + a.I c ) [1.24]
2
− j.ω.Lm .(3 / 2 − f t / 2).( I a + a .I b + a.I c )

with

Ea + a2 .Eb + a.Ec = 0 [1.25]

I a + a2 .Ib + a.I c = 3.I 2a [1.26]

I 2a = I 2a-ITSCF +I 2-OCDF [1.27]

I2a is the total NSC which is the superposition of the NSC I 2a-ITSCF
generated by the ITSCF and the NSC I 2-OCDF generated by the OCDF.

Using [1.25] and [1.26], [1.24] becomes:

3.V2a = − xa .Rm .I da + j.ω.I da .xa .Lm .(1 − f t ) / 2.(a 2 +a+1 − 1)

[1.28]
− j.ω.xa .Lm .I da − 3.Rm .I 2a − 3.j.ω.Lm .(3/2 − ft /2).I 2a

Since a+ a 2 +1 = 0 :

3.V2a = − xa .Rm .I da − j.ω.xa .Lm .I da − j.ω.I da .xa .Lm .(1 − f t ) / 2

[1.29]
−3.Rm .I 2a − 3.j.ω.Lm .(3 / 2 − f t / 2).I 2a

3.V2a = − xa .( Rm + j.ω.Lm .(3/2 − ft /2)).I da − 3.( Rm +j.ω.Lm .(3/2 − ft /2)).I 2a [1.30]

V2a = − (1 3) .( xa . Zm .I da ) − (Zm .I 2a ) [1.31]

12 Electrical and Mechanical Fault Diagnosis in Wind Energy Conversion Systems

1.4.2. Analytical expression of V2 in the case of ITSCF in the PMSG

In this case, the considered equivalent electrical circuit is the circuit of

Figure 1.4, where the unbalanced load is replaced by three balanced loads
( Z L ) modeling the healthy diode full-bridge rectifier. Thus, with no OCDF,
the NSC I 2-OCDF is null, and according to [1.27], the total NSC
I 2a = I 2a-ITSCF . The NSC in the case of ITSCF is caused only by the NSV
V2a-ITSCF generated by the unbalance of the three voltages ( VaN , VbN , VcN ) due
to the ITSCF. The expression of I 2a is then:

I 2a = I 2a-ITSCF =V2a-ITSCF Z L [1.32]

Substitution [1.32] in [1.31] yields:

V2a-ITSCF = − (1 3) .( xa . Zm .I da ) − (V2a-ITSCF .Zm / .Z L ) [1.33]

As ZL is higher than the machine impedance Zm, [1.33] can be

approximated by:

V2a-ITSCF ≈ -(1 3) .xa . Zm .I da [1.34]

The expressions of the magnitude V2a-ITSCF and the phase angle ϕV2a − ITSCF
of the NSV V2a-ITSCF are set by [1.35] and [1.36], respectively.

1
V2a-ITSCF = (1 3) xa . Z m . I da = xa .I da .( Rm2 + ( Lc .ω) 2 ) [1.35]
3

ϕV2a −ITSCF = ϕZm − 180° + ϕIda = artg(Lc ω R m ) − 180° + ϕIda [1.36]

We can note here that V2a-ITSCF and ϕV2a − ITSCF are insensitive to the load
conditions and this is for any ITSCF in any phase “i” ( i = a, b or c).
However, V2a-ITSCF depends on the importance of the fault, the magnitude of
the faulty current and the frequency, while ϕV2a − ITSCF depends only on the
ratio Lc.ω/Rm which depends on the frequency and the phase angle of the
faulty current.
 Accurate Electrical Fault Detection 13

With the same approach, the analytical expressions V2b-ITSCF in the case of
ITSCF in phase “b” and V2c-ITSCF in the case of ITSCF in phase “c” are
defined by [1.37] and [1.40], respectively.

V2b-ITSCF = − (1 3) .a2 .xb .I db .Zm [1.37]

with

V2b-ITSCF = (1 3).xb .I db .( Rm2 + ( Lc .ω) 2 ) [1.38]

ϕV2b − ITSCF = artg(Lc ω R m ) − 180° + ϕIdb [1.39]

V2c-ITSCF = -(1 3) .a.xc .I dc Zm [1.40]

with

V2c-ITSCF = (1 3).xc .I dc .( Rm2 + ( Lc .ω) 2 ) [1.41]

ϕV2c−ITSCF = artg(Lc ω R m ) − 180° + ϕIdc [1.42]

In the general case, for an ITSCF in phase “i”, the expressions of V2i-ITSCF
and φV2i-ITSCF are given by [1.43] and [1.44], respectively.

V2i-ITSCF = (1 3) xi .I di .( Rm2 + ( Lc .ω) 2 ) (i= a, b or c) [1.43]

ϕv2i −ITSCF = ϕZm − 180° + ϕIdi [1.44]

The faulty current Idi ( i = a, b, or c) is in phase with the corresponding

faulty phase voltage Vi ( Vi = Vi ∠ϕi ) since it flows in a pure resistance. As a
result, ϕIdi = ϕi and the expression Idi will be as follows:

Idi = 2.Id −rms .e j.ϕi [1.45]

14 Electrical and Mechanical Fault Diagnosis in Wind Energy Conversion Systems

Accordingly, [1.44] can be reformulated as follows:

ϕV 2i − ITSCF = ϕZm − 180° + ϕi [1.46]

Thus, for an ITSCF in phase “i”, the phase angle ϕV 2i − ITSCF of the NSV is
as follows:

ϕV2a − ITSCF = ϕZm − 180° + 0° = ϕZm − 180° for ITSCF in “a” [1.47]

ϕV2b − ITSCF = ϕZm − 180° + 120° = ϕZm − 60° for ITSCF in “b” [1.48]

ϕV2c − ITSCF = ϕZm − 180° − 120° = ϕZm + 60° for ITSCF in “c” [1.49]

1.4.3. Analytical expression of V2 in the case of OCDF in the

rectifier

In this case of fault, the considered equivalent electrical circuit is the one
of Figure 1.4, where the faulty machine is replaced by the healthy PMSG.
Thus, with the absence of an ITSCF the faulty current I da = 0 and according
to [1.27], I 2a will be equal to I 2a-OCDF ( I 2a = I 2a-OCDF ). Therefore, according to
[1.31], we obtain:

V2a = V2a −OCDF = −Zm .I2a −OCDF [1.50]

with

I2a −OCDF = 1 3( Ia + a 2 .Ib + a.Ic ) [1.51]

The magnitude V2a-OCDF and the phase angle ϕV2a −OCDF of the NSV are
then:

V2a-OCDF = Z m .I 2a-OCDF = Rm2 + (L c .ω) 2 .I 2a-OCDF [1.52]

ϕV2a −OCDF = ϕZm − 180° + ϕI2a-OCDF = artg(Lc .ω R m ) − 180°+ ϕI2a-OCDF [1.53]

 Accurate Electrical Fault Detection 15

In the general case, for an OCDF in the arm “i”, i = a, b or c, the

expressions of V2i-OCDF and ϕV2i −OCDF are as follows:

V2i-OCDF = Rm2 + (L c .ω) 2 .I 2i-OCDF [1.54]

ϕV2i -OCDF = artg(Lc ω R m ) − 180° + ϕI2i -OCDF [1.55]

1.5. Analytical study of the indicators of the different faults

After developing the expression of the NSV in the previous section, we

study here the behavior of the different indicators of faults that are the
amplitude V2 and the phase angle φV2 of the NSV, the phase angle φI2 of
the NSC and the average currents  Ia  ,  I b  ,  Ic  under different operating
conditions to point out their potential features useful to detect, discriminate
and locate the different faults.

Therefore, to elaborate an analytical study, it is necessary first to

calculate the values of these different indicators under different operating
conditions. The different variables are calculated using the parameters of the
real machine used in the experiment. These parameters are represented in
Table 1.1. The leakage flux ft is considered here as 30% of the total flux of
the machine ft = 30%.

Parameter Value Parameter Value

Rated power (kW) 3 Flux leakage (%) 30

Rated current (A) RMS 13.7 Number of pole pairs 4

Rated torque (Nm) 19.1 Number of slots 36

Rated speed (rpm) 2,250 Turns number/phase 60

Rated voltage (V) 113 Winding number/pole pair 3

Stator resistance (Ω) 0.4 Turns number/slot/phase 5

Self-inductance (mH) 0.63 Number of phases/slot 2

Table 1.1. Parameters of the used

experimental machine
Another random document with
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British property should be paid, and threatening, if further piracies
were committed, to send a force into the Rif to chastise his rebellious
subjects.
No attention was paid to this edict, for though the Rifians
acknowledge the Sultan of Morocco as ‘Kaliph[24] Allah,’ H.M. being
a direct descendant from the Prophet, and though they allow a
governor of Rif extraction to be appointed by him to reside amongst
them, they do not admit of his interference in the administration of
government or in any kind of legislation, unless it happens he is
voluntarily appealed to in cases of dispute.
The Rifians, however, pay annually a small tribute, which is
generally composed of mules and honey, the latter article being
much cultivated on the extensive tracts of heather in the Rif
mountains. This tribute is collected by the Governor and transmitted
to the Sultan.
After a lengthened correspondence with the Moorish Court,
negotiations were closed by the Sultan declaring he had no power of
control over the mountainous districts in the Rif, and therefore
declining to be held responsible for the depredations committed on
vessels approaching that coast. The British Government then
dispatched a squadron to Gibraltar under Admiral Sir Charles Napier,
with orders to embark a regiment at that garrison, and to proceed to
the Rif coast to chastise the lawless inhabitants.
On his arrival at the Spanish fort of Melilla, which is about fifty
miles to the westward of the Algerian frontier, Sir Charles called on
the Spanish Governor and requested him to invite the chiefs of the
neighbouring villages to come to Melilla to meet him.
 On their arrival, the Admiral demanded compensation for the
losses sustained by the owner of the British vessels which had been
captured. The Rifians cunningly evaded discussion by replying that
they could not accede to demands which did not emanate from the
Sultan, whose orders they declared they would be prepared to obey.

Sir Charles accepted these vague assurances[25]; and with this

unsatisfactory result returned with the squadron to Gibraltar, and
addressed to me a communication, making known the language held
to him by the Rifians, and requesting that I would dispatch an
express courier to the Moorish Court to call upon the Sultan to give
the requisite orders to the Rifians who, he declared, were prepared
to obey, though he admitted he was ignorant of the names of the
chieftains with whom he had the parley.
In my reply to the Admiral I expressed my belief that the Rifians
had cunningly given these vague assurances to induce him to depart
with his ships from their coast, and that I apprehended the Sultan
would express his surprise that we should have been led to suppose
that the piratical and rebellious inhabitants of the Rif coast would pay
compensation or give other satisfaction, in pursuance of any orders
which H.S.M. might issue.
In this sense, as I had expected, the Sultan replied to my note;
holding out, however, a hope, which had been expressed in past
years, that he would seek at a more favourable moment to make the
Rif population, who had been from time immemorial in a semi-
independent state, more subservient to his control.
Some months after the squadron had returned to England, a
British vessel, becalmed off the village of Benibugaffer, was taken by
a Rifian piratical craft, and the English crew were made captives.
 Tidings having reached Gibraltar of the capture of the British ship,
a gunboat was sent to Melilla to endeavour to obtain, through the
intervention of the Spanish authorities and an offer of a ransom, the
release of the British sailors, but this step was not attended with
success. Having heard that the Englishmen who had been captured
had been presented by the pirates to a Rif Marábet (or holy man)
named Alhádari, who resided on the coast, and as I had in past
years been in friendly communication with this person regarding
some Rifians who had proceeded in a British vessel to the East on a
pilgrimage to Mecca, and had been provided by me with letters of
recommendation to British Consular officers, I wrote him a friendly
letter, expressing the indignation I felt at the outrages which had
been committed by his piratical brethren on British vessels; that I had
been informed the authorities at Gibraltar had endeavoured, when
they heard British sailors were in the hands of the pirates, to pay a
ransom for their freedom, but had failed, as exorbitant demands had
been put forward; and that since I had learnt my countrymen were in
his hands, I felt satisfied they would be well treated, and that he
would facilitate at once their release and return to Gibraltar; that I
entertained too high an opinion of him to suppose he would not
consent to their release except on the payment of a ransom, and
therefore I would make no offer to purchase the liberty of my
countrymen, but renewed those assurances of friendship and
goodwill, of which I said I had already given proof in the past
treatment of his brethren.
Alhádari replied that the sailors were under his care, had been
well treated, and would be embarked in the first vessel which might
be sent to receive them.
This engagement was faithfully executed, and at my suggestion
the authorities at Gibraltar sent a suitable present to the worthy
Marábet. I wrote also to thank Alhádari, and to beg that he would use
his influence to put a stop to the disgraceful outrages committed in
past years by his brethren on the lives and property of British
subjects, and to say that I should probably take an opportunity of
seeking to have a parley with the chiefs, in the hope of coming to an
understanding with them to bring about a cessation of these
outrages; adding, that if my friendly intervention did not put a stop to
the piracy of his brethren, the British Government would be
compelled, in concert with the Sultan, to resort to hostile measures
on a large scale, and send forces by sea and land to chastise these
rebellious subjects of His Sherifian Majesty.
In the spring of 1856 H.M. frigate Miranda, Captain Hall, arrived at
Tangier with directions to convey me to the coast of Rif, and I
embarked on April 21, taking with me a Rifian friend, Hadj Abdallah
Lamarti, who was Sheikh of a village near Tangier called Suanni,
whose inhabitants are Rifians, or of Rif extraction.
Hadj Abdallah had left the Rif in consequence of a blood feud. He
was the chief of the boar-hunters at Tangier, and was looked up to
with respect, not only by the rural population in the neighbourhood of
that town, who are chiefly of Rif extraction, but also by the local
authorities, who frequently employed him in the settlement of
disputes with the refractory tribes in the mountainous districts of the
Tangier province.
We steamed along the rocky coast of Rif and touched at the
Spanish garrisons of Peñon and Alhucema. The former is a curious
little rock, separated from the mainland by a very narrow channel. A
colonel and a few soldiers garrisoned the fortress, which is
apparently of no possible use, though the authorities at that time
might have aided in checking piracy by stopping the passage of the
Rif galleys. The rock is so small that there was not a walk fifty yards
long on any part of it.
On the island of Alhucema, so called from the wild lavender that
grows there, we also landed. The Spanish authorities were civil, but
held out no hopes of being able to take steps to put a stop to piracy.
This island is also an insignificant possession, about half a mile
distant from the mainland. The inhabitants had occasional
communication with the Rifians, hoisting a flag of truce whenever a
boat was dispatched to the shore; but Spaniards were not at that
time allowed to make excursions on the mainland, nor were they
permitted to obtain provisions except a few fowls, eggs, and honey.

On our arrival at Melilla, the Governor, Colonel Buceta[26],

received us courteously. I made known to him that the British
Government had directed me to proceed to the coast of Rif, to
endeavour to come to an understanding with the chiefs with the view
of putting a stop to piracy on that coast, the Sultan of Morocco
having declared he had no power of control over his lawless
subjects, who had shown an utter disregard of the peremptory orders
which had been issued to restore British property captured by their
piratical galleys; that in order to carry out this object I was anxious to
have an interview with some of the chiefs, not only of the villages on
the coast where the owners of the piratical galleys dwelt, but more
especially with the chiefs of the neighbouring inland villages, as the
latter derived no immediate benefit from the plunder of shipping.
Colonel Buceta endeavoured to dissuade me from this purpose,
reminding me that Sir Charles Napier had failed in obtaining any
beneficial result from his parley with the Rifians who had an interview
with him in Melilla.
 Perceiving from the Governor’s language that he entertained
those feelings of jealousy which prevail with Spaniards regarding the
intervention of any foreign Government in the affairs of Morocco, I let
him understand that, should no beneficial result be obtained by my
visit in putting a stop to the outrages committed on merchant vessels
approaching the Rif coast, it would become a serious matter for the
consideration of our Government whether steps should not be taken
to inflict a chastisement on the Rifians by landing a force, and in
conjunction with the Sultan’s troops which might be dispatched, at
our instigation, for that purpose, to destroy the hamlets and boats on
the coast. The question might also arise, perhaps, of erecting a
fortress in some sheltered spot where a gunboat could be placed to
guard the coast against pirates, which I observed the authorities at
Spanish fortresses had hitherto been unable to effect.
This language sufficed to decide Colonel Buceta to accede to my
wishes; but he informed me that, in consequence of late acts of
aggression on the part of the natives, all communication with the
garrison had been cut off, and that no Rifians were allowed to enter;
it was therefore out of the question that he could admit any chieftains
into Spanish territory. Neither did he think the latter would be
disposed to venture into the gates of the fortress.
I then proposed to be allowed to dispatch my Rifian friend Hadj
Abdallah Lamarti with an invitation to some of the neighbouring
chiefs, both on the seaboard and inland, to meet me on the neutral
ground.
Colonel Buceta assented, but he repeated that he could not admit
any Rifians into the garrison, nor send an escort to accompany me,
should I pass the gates to go into the Rif country, adding that he
thought I should be incurring a serious risk of being carried off a
prisoner by the Rifians, if in the parley I should happen to express
myself in language such as I had used to him regarding the outrages
committed by these lawless people.
His predecessor, he informed me, in consequence of the frequent
hostilities which had taken place between the natives and the
garrison, had proposed to have a meeting with some chieftains
within the garrison. This they declined, fearing, as they alleged,
some act of treachery; but it was finally agreed that they should meet
the Governor on the neutral ground; that he could bring an escort of
twenty-five armed men, and that the chiefs would also be
accompanied by an equal number of followers; that the Governor
and one chief, both unarmed, were to advance to a central spot that
was selected about 150 yards distant from where their followers
assembled, and that the Spanish Governor could also bring with him
an interpreter.
This arrangement was carried out, and a Rifian chief, a man of
gigantic stature and herculean frame, advanced to meet the Spanish
Governor.
The parley commenced in a friendly manner; propositions were
made by each party regarding the conditions upon which peaceful
relations were to be re-established; but without bringing about any
result.
The Spanish Governor, finding the demands put forward by the
chieftain to be of an unacceptable character, expressed himself
strongly on the subject. A warm dispute ensued, and on the
Governor using some offensive expression, the Rifian seized in his
brawny arms the Governor, who was a little man, and chucking him
over his shoulders like a sack of grain, called out to the Spanish
detachment of soldiers to blaze away, and at the same time to his
own men to fire if the Spanish soldiers fired or attempted to advance,
whilst the chieftain ran off with the Governor, who was like a shield
on his back, to his followers.
The officer in command of the Spanish detachment, fearing that
the Governor might be killed, did not venture to let his men fire or
advance, and the Governor was carried off prisoner to a village
about three miles off on the hills, and notice was then sent to the
fortress that he would not be released until a ransom of 3000 dollars
was sent.
The Rifians kept the Governor prisoner until a reference was
made to Madrid, and orders were sent for the ransom to be paid.
‘Now,’ said Colonel Buceta, ‘your fate if you trust yourself to these
treacherous people will probably be the same, and I shall be quite
unable to obtain your release.’
I thanked the Governor for the advice, but declared that I must
fulfil my mission and was prepared to run all risks, having been
accustomed for many years to deal with Rifians at Tangier.
Buceta then consented that I should be allowed to pass the gates
of the garrison and invite the chiefs of the neighbouring Rif villages
to a parley on the neutral ground.
Colonel Buceta, a distinguished officer well known for his great
courage and decision, was I believe, on the whole, pleased that I
held to my purpose, though he warned me again and again that I
was incurring a great risk, and that in no manner could he intervene,
if I and the English officer who might accompany me were taken
prisoners.
My messenger returned and informed me that the neighbouring
chiefs, both of the inland and of the piratical villages of Benibugaffer,
would meet me on the neutral ground as had been proposed to
them.
Accompanied by Capt. Hall, who commanded H.M.’s frigate
Miranda, my friend Hadj Abdallah, and a ‘kavass,’ we proceeded to
the rendezvous.
Five or six chiefs awaited our advent, attended by some hundred
followers, stalwart fellows, many of them more than six feet high.
The chiefs wore brown hooded dresses, not unlike the costume of
a Franciscan friar; but part of the shirt-sleeves and front were
embroidered with coloured silks. Handsome leather-belts girded their
loins. A few of the elders wore white woollen ‘haiks,’ like unto the
Roman toga or mantle without seam, such as our Saviour is said to
have worn.
Some of the wild fellows had doffed their outer garments, carrying
them on their shoulders as they are wont to do when going to battle.
Their inner costume was a white cotton tunic, coming down to the
knees, with long wide sleeves fastened behind the back by a cord.
Around their loins each wore a leathern girdle embroidered in
coloured silk, from which on the one side hung a dagger and a small
pouch for bullets; while on the other was suspended a larger
leathern pouch or bag prettily embroidered and having a deep fringe
of leather, in which powder is carried; containing also a pocket to
carry the palmetto fibre, curiously enough called ‘lif,’ used instead of
wads over powder and ball. Their heads were closely shaved, except
that on the right side hung a long lock of braided hair, carefully
combed and oiled. Several of them were fair men with brown or red
beards, descendants perhaps of those Goths who crossed over into
Africa.
 The wild fellows reclined in groups on a bank, immediately behind
where the chiefs were standing to receive us. After mutual greetings
I addressed them in Arabic, which though not the common language,
for Berber is spoken in the Rif, yet is understood by the better
classes, who learn to read the Koran and to write in the ‘jama’ or
mosque school. The Berber is not a written language.
‘Oh, men! I come amongst you as a friend; an old friend of the
Mussulmans. I have been warned that Rifians are not to be trusted,
and that I and those who accompany me are in danger of treachery;
but I take no heed of such warnings, for Rifians are renowned for
bravery, and brave men never act in a dastardly manner. My best
friends at Tangier are Rifians, or those whose sires came from the
Rif, such as my friend here, Hadj Abdallah Lamarti. They are my
hunters, and I pass days and nights with them out hunting, and am
treated by them and look upon them as my brethren; so here I have
come to meet you, with the Captain of the frigate, unarmed, as you
see, and without even an escort of my countrymen from the ship-of-
war lying there, or from the Spanish garrison, for I felt sure I should
never require protection in the Rif against any man.’
‘You are welcome,’ exclaimed the chiefs. ‘The English have
always been our friends,’ and a murmur of approval ran through the
groups of armed men seated on the bank.
‘Yes!’ I continued, ‘the English have always been the friends of the
Sultan, the ‘Kaliph Allah,’ and of his people.
‘You are all Mussulmans, and as followers of the Prophet every
year a number of your brethren, who have the means, go to the
shrine of the Prophet at Mecca, as required by your religion. How do
they go? In English vessels from Tangier, as you know, and they are
therefore, when on board, under the English flag and protection.
They are well treated and their lives and property are safe. They
return to Tangier in the same manner, and many of them have come
to me to express their gratitude for the recommendations I have
given them to English officers in the East, and the kindness they
have received at their hands.
‘These facts, I think, are known to you; but let us now consider
what is the conduct of certain Rifians,—not all, I am happy to add,
but those who dwell on the coast and possess ‘karebs,’ for the
alleged purpose of trade with Tangier and Tetuan, and for fishing.
‘The inhabitants of these coast villages, especially of the
neighbouring village of Benibugaffer, when they espy a peaceful
merchant vessel becalmed off their coast, launch a ‘kareb’ with forty
or fifty armed men, and set out in pursuit. The crews of these
merchant vessels are unarmed, and generally consist of not more
than eight or nine men. When they observe a ‘kareb’ approaching
with a hostile appearance, they escape in their little boats to the
open sea, trusting to Providence to be picked up by some passing
vessel before bad weather sets in, which might cause their small
craft to founder. The merchant vessel is then towed to the beach,
where she is stranded, pillaged of cargo and rigging, and burnt.
‘I now appeal to all true Mussulmans whether such iniquitous acts
are not against the laws of God and of the Prophet. These pirates
are not waging war against enemies or infidels, they are mere sea
robbers, who set aside the laws of the Prophet to pillage the
peaceful ships of their friends the English, to whom they are
indebted for conveying their brethren in safety to worship at the Holy
‘Kaaba’ of their Prophet.
‘To these English whom they rob, and also murder if they attempt
to resist, they are indebted for much of the clothing they wear, for the
iron and steel of which their arms are made, and for other
commodities. I now appeal to those Rifians who dwell in inland
villages, and who take no part in and have no profit from these
lawless acts, and I ask whether they will continue to tolerate such
infractions of Allah’s laws? Can these men of Benibugaffer who have
been guilty of frequent acts of piracy, can they be Mussulmans? No,
they must be “kaffers” (rebels against God).’ As I said this, I heard
from the mound behind me, where the Benibugaffer people were
seated, the sound of the cocking of guns, and a murmur, ‘He calls us
kaffers.’ Looking round, I perceived guns levelled at my back.
One of the elder Chiefs rose and cried out, ‘Let the English Chief
speak! What he says is true! Those who rob and murder on the seas
innocent people are not Mussulmans, for they do not obey the law of
God.’
I continued: ‘Hear what your wise Chief says. I fancied I heard a
sound like the click of a gun being cocked. Some foolish boys must
be sitting amongst the assembly, for no brave Rifians, Benibugaffers
included, would ever commit a cowardly murder on an unarmed man
who has come amongst you trusting to the honour and friendship
between the Rifians and English from ancient times.
‘You have, I think, heard that the English Government has
frequently complained to the Sultan Mulai Abderahman, the Kaliph
Allah and Emir El Mumenin (Prince of Believers), of the commission
of these outrages, and has put forward a demand for reparation and
compensation for damages.
‘The Sultan, who is the friend of the powerful Queen of England,
my Sovereign, under whose sway there are fifty million of
Mussulmans whom she governs with justice and kindness, issued
his Sherifian commands to you Rifians to cease from these outrages;
but you paid no attention to the orders of the Kaliph of the Prophet.
‘The Queen then sent a squadron to chastise the pirates and
obtain redress; but the Admiral took pity on the villages, where
innocent women and children dwelt, and did not fire a gun or burn a
‘kareb,’ as he might have done. He had a parley with the
Benibugaffer people and other inhabitants of villages where boats
are kept.
‘They made false promises and pretended they would cease to
commit outrages, but, as was to be expected, they have broken faith,
and since that parley have been guilty of further acts of piracy. So
now I have come to see you and hear whether the Rifians in the
inland villages will continue to suffer these outrages to be committed
by those who dwell on the coast, which may expose all the honest
and innocent inhabitants of the Rif to the horrors of war.
‘I have begged that no steps should be taken by my countrymen,
lest the innocent should suffer, until I make this final attempt to come
to an understanding with you; but I have to warn you, as a true
friend, if another outrage be committed, my great and powerful
Sovereign, in conjunction with the Sultan, will send large forces by
sea and by land to carry fire and sword into your villages, and bring
the whole population under subjection. H.S.M. may then think fit to
compel the Rif tribes dwelling on the coast to migrate to the interior
of his realms, or, at any rate, they will no longer be allowed to
possess a single boat for trade, or even for fishing.
‘I now ask—Will you inland inhabitants tolerate the continuance of
piracy on the part of your brethren on the coast?—Will you brave
inhabitants of the coast continue to set Allah’s laws at defiance, and
thus expose your lives and property, and those of your inland
brethren, to destruction?’
The old Chief again spoke, and others stood up and joined him,
saying: ‘He is right. We shall not allow these robberies to be
committed on our friends the English; such outrages must cease,
and if continued, we shall be prepared to chastise the guilty.’
The Benibugaffer Chiefs said, ‘We approve.’
‘I know,’ I continued, ‘you Rifians do not sign treaties or like
documents; but the words of brave men are more worthy of trust
than treaties, which are too often broken. Give me your hands.’ I
held out mine. As the pledge of good faith I shook the hands of the
chiefs, including the Benibugaffer.
‘Remember,’ I said, ‘it is not English vessels, but all vessels
without exception must be respected on approaching your shores.’
‘We agree,’ they cried.
Upon which I exclaimed, ‘I have faith in your words. May God’s
mercy and blessing be on you all and grant you prosperity and
happiness! The Rifians and English shall remain true friends for ever.
I bid you farewell.’
‘Stay,’ said the chief of a neighbouring village, ‘come with us and
be our guest. We shall kill an ox to feast you and our brethren here,
and bid you welcome. You are a hunter; we shall show you sport,
and become better acquainted with each other. Upon our heads shall
be your life and those of your friends.’
Pointing to the frigate, I said: ‘That vessel has to return
immediately, and I have to report what has been done, in order to
stop all preparations for seeking through other means to obtain the
satisfaction you have so readily offered. I should have been
delighted to have gone with you and should have felt as safe as if
amongst my own countrymen. You are a brave race, incapable of
doing a wrong to a true friend. I shall never forget the manner in
which you have received me.
‘I bid you all farewell. I believe in your promises, even those made
by the Benibugaffer. Send messengers at once to the villages on the
coast and let them know the promises you have made, which they
also must be required to carry out strictly.’
The Chiefs and their followers tried all they could to persuade me
to accompany them but finally consented that I should depart, on
promising that I would some day revisit them.
Colonel Buceta was surprised to learn the result of my visit, but
said the Rifians would never keep faith, and that we should soon
hear of fresh acts of piracy. ‘In such case,’ I replied, ‘we shall have to
land a force and burn every hamlet and boat on the coast; but I have
every hope the Rifians will keep faith.’
They have kept faith, and since that parley near Melilla no
vessels, either British or of other nationality, have been captured or
molested by the Rifians[27]

It was amongst these wild and lawless Rifians that Mr. Hay found
the most thorough sportsmen, and also men capable of great
attachment and devotion. Always much interested in the history of
this race, in their customs and mode of life, he wrote an interesting
account of the tribes which inhabit the north of Morocco and of his
personal intercourse with them.

The Rif province extends along the Mediterranean coast to the

eastward from a site called Borj Ustrak, in the province of Tetuan, for
about a hundred and fifty miles to the stream marked in maps as
‘Fum Ajrud’ (mouth of Ajrud), the northern boundary between
Morocco and Algiers.
The Rif country to the southward, inland from the Mediterranean
coast, extends about thirty-five miles and on the westward is
bordered by the Tetuan province and the mountains of Khamás and
Ghamára.
The population of Rif amounts, as far as can be calculated, to
about 150,000 souls. The Rifians are a Berber race, and have never
been conquered by the various nations—Phœnicians, Romans,
Goths, and Arabs—who have invaded Mauritania: they have always
maintained their independence; but on the conquest of Morocco by
the Arabs, the Rifians accepted the Mohammedan faith, and
acknowledged the Sovereigns of Morocco as the Kaliphs of the
Prophet.
The country is mountainous, the soil in most parts poor, and
though the Rif is rich in iron, copper, and other minerals, there are no
roads or means of conveyance to the seaboard. There are large
forests of ‘el aris[28],’ which the Rifians convey in their ‘karebs’
(sailing boats) to Tetuan and Tangier. They have no saws, so when a
tree is felled it is cut away with a hatchet until a beam or plank is
shaped, generally about ten feet long by a foot wide. This timber has
a strong aromatic odour, and when not exposed to damp is more
durable than oak. It was used for the woodwork of the Alhambra at
Granada and other Moorish palaces in Spain, and though many of
the Arabesque ornaments in plaster or stucco have fallen into decay
and walls have crumbled, this woodwork remains sound.
The Rifians are an industrious race; but their barren hills do not
produce sufficient grain to provide food for the population. Large
numbers migrate every year to different parts of Morocco, especially
to the northern provinces, and are employed to cultivate orchards
and gardens round Tangier and Tetuan. The majority of the
inhabitants of the town and neighbouring districts of Tangier are of
Rif extraction.
In the Rif the natives do not submit to any authority except upon
religious or legal questions, such as marriage, inheritance, and title
deeds. The ‘f’ki,’ or chief priest in a village mosque, draws up, with
the aid of ‘tolba’ or public notaries, all legal documents regarding
marriage or property. In other matters the Rifian does not submit to
legislation; his gun, pistol, and dagger are his judge and jury—yet
crimes such as robbery, theft, or outrages on women are rarely
known, but murder from feud is rife throughout the country to a
frightful extent. No man’s life is secure, even though he be a distant
relative, such as the great-grandson, of some one who may have
taken a life thirty years before in a blood feud. The widow of a
murdered man will teach her son, as soon as he can carry a gun or
pistol, how to use those arms, and daily remind him that his father
must be avenged lest the son be looked upon as despicable.
The men always go armed even in their own villages. Cursing,
swearing, or abusive language, so common amongst the Moors, are
rarely heard in Rif; for the man who ventures to use an opprobrious
epithet knows that he incurs the risk of being stabbed or shot. A
Rifian never forgives or forgets an insult.
They are distinguished for their courage. During the war between
Spain and Morocco in 1859, they did not obey the appeal of the
Sultan for assistance; but the inhabitants of the district of Zarhon
near Fas, who are of Rif extraction, sent a contingent of 1,500 men
to Tetuan. They arrived a few days before the battle of ‘Agraz’—the
last which took place between the Moors and Spaniards before the
peace of 1860—and fought so determinedly that two-thirds of their
number fell during that battle.
Polygamy is extremely rare in Rif. Few men venture to take a
second wife lest offence be given thereby to the father or brother of
either of the women they have married. Even in Tangier, where there
is a population of over 9,000 Mohammedans, chiefly Rifians by
descent, I never heard of more than four or five Moors who had two
wives. When an exception occurs, it has generally been at the
request of the wife, who, having had no child, begs her husband to
marry some cousin or friend, selected perhaps by herself.
Immoral conduct on the part of married women or maidens is
unknown; for, should they be suspected of leading an irregular life by
father, husband, or other male relative, such disgrace is wiped out by
death.
Rifian women do not cover their faces. If a man sees a young
woman fetching water from a well or walking alone, he will avoid
meeting her, and even turn back rather than run the risk of being
seen by some relative of the female and be suspected of having
communicated with her by word or gesture. He will shun the woman
who may be alone, as a modest girl in Europe might try to avoid a
man whom she should happen to meet when walking in some lonely
spot.
Some years ago an old Rifian, one of my boar-hunters, who dwelt
at a village near Tangier, presented himself before me looking very
miserable and haggard. ‘I take refuge under the hem of your
garment,’ he exclaimed, ‘and deliver into your hands these title-
deeds of my hut and garden, also a document regarding a mare;
these are all my possessions. I am about to deliver myself up to the
Basha of Tangier, Kaid Abbas Emkashéd, and to ask that I be sent to
prison.’
On inquiring of the old hunter why he thought of taking such an
extraordinary step, and also what he expected me to do with his
papers and property, he replied, whilst trembling from head to foot,
with tears running down his rugged cheeks and his teeth chattering
as he spoke, ‘My youngest daughter, whom I loved so dearly’—here
he gasped for breath—‘is no more. I have buried her. She was put to
death with my consent.’ Poor Hadj Kassim then covered his face and
sobbed violently, paused to recover himself, and continued, ‘The
authorities have heard that my daughter, who was very beautiful, has
disappeared, and have given orders that some innocent persons
who are suspected should be arrested, as it is supposed she has
been carried off or murdered. I cannot remain a passive spectator
whilst innocent men suffer, feeling that the whole blame of the
disappearance of my child rests on me alone. My daughter was of a
joyous character, and, like a silly girl, thought only of amusement.
Both her mother and I had repeatedly punished her for going to
weddings or other festivities without our permission. She had been
warned that misconduct on her part, as a Rifian maiden, would never
be forgiven; but she took no heed. Some neighbours reported that
she had been seen going to Tangier to dance in the “mesriahs.” Her
shameless conduct became a source of great scandal in the village,
and as it was supposed that I countenanced her misconduct, I was
shunned by my friends. They no longer returned my salams, and
when I joined the elders, who are wont to assemble of an afternoon
on our village green, they turned their backs on me.
‘Life had become a burden, and my son, who was also taunted by
young men for having a sister of bad repute, came to me yesterday,
when he heard that she had again gone off to the town, and declared
that as Rifians we could not allow a daughter and sister who did not
obey her parents, and brought disgrace on her family, to live.
‘Though I loved dearly my foolish child,’ continued the old hunter,
‘I gave way to the passionate language of my son, and consented
that, should we discover she danced at the “mesriah,” she should
die.
‘We went to Tangier and concealed ourselves near the entrance
of a “mesriah” we were told she frequented. We saw her enter,
followed by some young Moors. A little before sunset she came out,
enveloped in her “haik,” and walked hurriedly towards our village.
She did not see us, and we followed her until we reached a path in
the brushwood not far from our village, and then we stopped her. My
son accused her of leading a disgraceful life, and then struck her
heavily with a bill-hook on the head. She fell, never to speak again.
We buried her in a secluded spot. My son killed her, but I am really
her murderer—I alone am responsible for her death; but my
wretched child could not have lived to be a curse and a disgrace.’
Then the poor Hadj trembled in his acute misery, and shook as if he
had the palsy.
‘I shall,’ he continued, ‘present myself to the Basha. I shall not say
I am the murderer, as the Basha is a Rifian, and will understand all
when I declare I wish no man to be arrested on account of the
disappearance of my child, and that I alone am responsible for
whatever may have happened to her.
‘Now,’ he added, ‘you know, according to Moorish law, no man
can be punished for murder unless he acknowledges his crime, and
that after twelve months’ imprisonment, should no witnesses appear,
the accused can claim to be liberated from prison. If I live, therefore,
I shall be released; but I care no longer for life, except it be to work