Fault Detection and Diagnosis

in Engineering Systems
Basic concepts with simple examples

Janos Gertler
George Mason University
Fairfax, Virginia
 Outline

What is a fault
What is diagnosis
Diagnostic approaches
Model - free methods
Principal component approach
Model - based methods
Systems identification
Application example: car engine diagnosis
 What is a fault

Fault: malfunction of a system component

- sensor fault - bias
- actuator fault - parameter change
- plant fault - leak, etc.

Symptom: an observable effect of a fault

Noise and disturbance: nuissances that may

affect the symptoms
 What is a fault

actuator command

actuator leak sensor faults

fault

sensor readings

Sensor fault: reading is different from true value

Actuator fault: valve position is different from command
Plant fault: leak
 What is fault diagnosis

Fault detection: indicating if there is a fault

Fault isolation: determining where the fault is

Detection + Isolation = Diagnosis

Fault identification:
Determining the size of the fault
Determining the time of onset of the fault
 Model-free methods

Fault-tree analysis
- cause-effect trees analysed backwards

Spectrum analysis
- fault-specific frequencies in sound, vibration, etc

Limit checking
- checking measurements against preset limits
 Limit checking

flow

l1 l2 l3
s1 s2 s3
y1 y2 y3

y1 y2 y3

S1 fault off normal normal

Leak3 normal normal off
Leak2 normal off off
Leak1 off off off
High/low flow off off off
 Limit checking

Easy to implement

Requires no design

BUT

To accommodate normal variations, must have

limited fault sensitivity

Has limited fault specificity (symptom explosion)

 Principal Component Approach

Modeling phase: based on normal data

- determine the subspace where normal data exists
(representation space, RepS)
- determine the spread (variances) of data in the RepS
Monotoring phase: compare observations to
representation space
- if outside RepS, there are faults
- if inside RepS but outside thresholds, abnormal
operating conditions
 Principal Component Approach

u flow y1 = u

y2 = u

y1 y2

y2

Representation space
Fault
Normal spread
y1

u
 Principal component modeling

Centered normalised measurements x(t) = [x1(t) xn(t)]

Data matrix: X = [ x(1) x(2) x(N)]

Covariance matrix: R = XX/N

Compute eigenvalues 1 n and eigenvectors q1 qn

q1 qk , kn, belonging to nonzero 1 k ,, span RepS
1 k are the variances in the respective directions
 Principal Components Residual Space

Residual Space (ResS):

complement of Representation Space, spanned by the
e-vectors qk+1 qn , belonging to (near) - zero e-values

Residual = (Observation) (Its projection on RepS)

Residuals exist in ResS

ResS provides isolation information

- directional property (fault-specific response directions)
- structural property (fault-specific Boolean structures)
 Residual Space Directional Property

u flow

u
y1 y2
y1 y2
y2
residual on u
observation
Repres. Space q3
q1 q2
y1
on y1 on y2
u
Residual Space
 Residual Space Structural Property

u u u
r2 r3
r1

y1 y2 y1 y2 y1 y2

r1, r2, r3 : residuals obtained by projection

u y1 y2 Structure matrix
r1 0 1 1
r2 1 1 0 Fault codes
r3 1 0 1
 Model-Based Methods
faults f(t)

disturbances d(t) noise n(t)

outputs y(t)
inputs u(t) parameters

Complete model: y(t) = f[u(), f(), d(), n(), ]

Nominal model: y^(t) = f[u(), ]
Models are: static/dynamic
linear/nonlinear
 Obtaining Models

First principle models

Empirical models

- classical systems identification

- principal component approach

- neuronets
 Analytical Redundancy
d(t) f(t) n(t)

u(t) y(t)
PLANT
+
e(t) RESIDUAL r(t)
PROCESSING
-
MODEL y^(t)

Primary residuals: e(t) = y(t) y^(t)

Processed residuals: r(t)

 Analytical redundancy
f(t)
d(t) n(t)

u(t) y(t)
PLANT

RESIDUAL
GENERATOR

r(t)
 Residual Properties

Detection properties
- sensitive to faults
- insensitive to disturbances (disturbance decoupling)
- insensitive to model errors (model-error robustness)
perfect decoupling under limited circumstances
optimal decoupling
- insensitive to noise
noise filtering
statistical testing
 Residual Properties

Isolation properties

- selectively sensitive to faults

structured residuals perfect

directional residuals decoupling
optimal residuals
 Residual Generation

u flow Model:

u y1 = u + u + y1
y1 y2
y1 y2 y2 = u + u + y2

Primary residuals:
e1 = y1 u = u + y1 u y1 y2
e2 = y2 u = u + y2 r1 1 1 0
Processed residuals: r2 1 0 1
r1 = e1 = u + y1 r3 0 1 1
r2 = e2 = u + y2
r3 = e2 e1 = y2 y1 Structured residuals
 Residual Generation

u flow Model:

u y1 = u + u + y1
y1 y2
y1 y2 y2 = u + u + y2

Primary residuals: r3
e1 = y1 u = u + y1 on y1
e2 = y2 u = u + y2
r2
Processed residuals: on u
r1 = e1 = u + y1 r1
r2 = e2 = u + y2 on y2
r3 = e1 e2 = y1 y2 Directional residuals
 Linear Residual Generation Methods

Perfect decoupling
- direct consistency relations
- parity relations from state-space model
- Luenberger observer
- unknown input observer

Approximate decoupling
- the above with singular value decomposition
- constrained least-squares
- H-infinity optimization
 Linear Residual Generation Methods

Under identical conditions

(same plant, same response specification)

the various methods lead to

identical residual generators

 Dynamic Consistency Relations

System description:
y(t) = M(q)u(t) + Sf(q)f(t) + Sd(q)d(t)
q : shift operator
Primary residuals:
e(t) = y(t) M(q)u(t) = Sf(q)f(t) + Sd(q)d(t)
Residual transformation:
r(t) = W(q)e(t) = W(q)[Sf(q)f(t) + Sd(q)d(t)]
 Dynamic Consistency Relations

Response specification:
r(t) = f(q)f(t) + d(q)d(t)
f(q) : specified fault response (structured or directional)
d(q) : specified disturbance response (decoupling)

W(q)[Sf(q) Sd(q)] = [f(q) d(q)]

Solution for square system:

W(q) = [f(q) d(q)] [Sf(q) Sd(q)] -1
 Dynamic Consistency Realtions

Realization:
The residual generator W(q) must be causal and stable;
[Sf(q) Sd(q)] -1 is usually not so

Modified specification:
W(q) = [f(q) d(q)] (q) [Sf(q) Sd(q)] -1
(q) : response modifier, to provide causality and
stability without interfering with specification

Implementation:
inverse is computed via the fault system matrix
 Diagnosis via Systems Identification

Approach:
- create reference model by identification
- re-identify system on-line
discrepancy indicates parametric fault

Difficulty: discrete-time model parameters are nonlinear

functions of plant parameters
for small faults, fault-effect linearization
continuous-time model identification (noise
sensitive or requires initialization)
 Applications

Very large systems

- Principal Components are widely used in
chemical plants
- reliable numerical package is available
An intermediate-size system: rain-gauge
network in Barcelona, Spain (structured parity
relations)
Aerospace: traditionally Kalman filtering
 Applications

Mass-produced small systems:

on-board car-engine diagnosis
car-to-car variation (model variation robustness)
- GM: parity relations
- Ford: neuronets
- Daimler: parity relations + identification
Many published papers with application to
are just simulation studies
 GM GMU On-Board Diagnosis Project

OBD-II: any component fault causing emissions

(CH, CO, NOX) go 50% over limit must be
detected on-line
Pilot project: intake manifold subsystem (THR,
MAP, MAF, EGR)
Structured parity relations based on direct
identification
After more in-house development, this is being
gradually introduced on GM cars
Filtered and integrated residual with fault
On-board report MAP fault
 GM fleet experiment

Fleet of identical vehicles (Chevy Blazer) available at GM

Collect data from 25 vehicles
Identify models from combined data from 5 vehicles
Test on data from 25 vehicles
Residual means and variances vary
increase thresholds (sacrifice sensitivity)
Only a 50% increase is necessary
Fault sensitivities GM fleet experiment

Critical fault sizes for detection and diagnosis

(fleet experiment)

Thr Iac Egr Map Maf

detection 2% 10% 12% 5% 2%

diagnosis 6% 20% 17% 7% 8%