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IEEE TRANSACTIONS ON CONTROL SYSTEMS TECHNOLOGY 1

Active Fault Diagnosis on a Hydraulic Pitch System


Based on Frequency-Domain Identification
Sandra Vásquez , Michel Kinnaert, Member, IEEE, and Rik Pintelon, Fellow, IEEE

Abstract— The blade pitch system is a critical subsystem of made as a result of this growth, reducing the cost of energy
variable-speed variable-pitch wind turbines that is characterized is still a critical issue in order to make wind power more
by a high failure rate. This paper addresses the fault detection competitive over conventional sources. In fact, one of the main
and isolation (FDI) of a blade pitch system with hydraulic actu-
ators. Focus is placed on incipient multiplicative faults, namely challenges of the wind industry is the reduction of operation
hydraulic oil contamination with water and air, bearing damage and maintenance (O&M) costs. Because most installation sites
resulting in increased friction, and drop of the supply pressure are located in harsh environments and remote places, O&M
of the hydraulic pump. An active model-based FDI approach is costs typically account for 20%–25% of the overall levelized
considered, where changes in the operating conditions (i.e., mean cost of energy of wind power [2].
wind speed and turbulence intensity) are accounted through
the identification of a linear parameter-varying model for the In this context, fault detection and isolation (FDI) for wind
pitch actuators. Frequency-domain estimators are used to identify turbines has gained increasing attention from industry and
continuous-time models in a user-defined frequency band, which academia. The capability for the early detection and local-
facilitates the design of the FDI algorithm. Besides, robustness ization of faults makes FDI systems essential for the estab-
with respect to noise in measurements and stochastic nonlinear lishment of condition-based maintenance and repair, which
distortions is ensured by estimating confidence bounds on the
parameters used for FDI. The approach is thoroughly validated allows for significant cost savings. In the past, the focus
on a wind turbine simulator based on the FAST software that of FDI systems was mainly on the wind turbine drive train
includes a detailed physical model of the hydraulic pitch system. (i.e., main bearing, shaft, gearbox, and generator) [3].
This paper presents the design methodology and validation However, reliability field studies have exposed the blade
results for the proposed FDI approach. We show that an appro- pitch system as the most critical subsystem for variable-speed
priate design of the excitation signal used for active fault detection
allows an early fault diagnosis (except for oil contamination variable-pitch wind turbines. According to [4], this subsystem
with water) while ensuring a short experiment duration and an accounts for 16% of the overall failure rate and for 20% of
acceptable impact on the wind turbine operation. the overall downtime. Besides, the function of the blade pitch
Index Terms— Frequency-domain identification, hydraulic system is fundamental: blade pitching enables wind turbines
pitch system, linear parameter-varying (LPV), model-based fault to enhance the energy capture, mitigate operational loads, and
diagnosis, pitch actuator, wind turbine. perform aerodynamic braking [5].
Blade pitch systems can use either electrical or hydraulic
I. I NTRODUCTION actuators (i.e., based on electric motors or valve-controlled
hydraulic cylinders), with both technologies commonly used
W IND power is one of the fastest growing renewable
energy sources in the world. The global wind power
installation per year has increased from 6.5 GW in 2001 to
among installed wind turbines [6]. This paper focuses on
hydraulic pitch systems, where oil-related issues (leakage and
contamination) and component malfunctions (sensors, pump,
54.6 GW in 2016, leading to an installed wind capacity
valve, and so on) still affect the proper operation of current
of 486.8 GW at the end of 2016 [1]. Despite the progress
systems [7], [8]. These facts motivate the development of
Manuscript received September 7, 2017; accepted October 19, 2017. FDI systems for hydraulic pitch systems. Besides, for cost
Manuscript received in final form November 7, 2017. This work was sup- efficiency, these FDI systems should ideally rely on commonly
ported by the Fonds de la Recherche Scientifique FNRS (research fellow available sensors.
grant), and was partially supported by the Flemish government (Methusalem
grant METH1) and the Belgian federal government (IAP network DYSCO). Various FDI solutions for the hydraulic pitch system have
Recommended by Associate Editor P. Chiacchio. (Corresponding author: been published recently, notably in response to the wind
Sandra Vásquez.) turbine benchmark model for fault-diagnosis and fault-tolerant
S. Vásquez is with the Department of Control Engineering and System
Analysis, Université Libre de Bruxelles, 1050 Brussels, Belgium, and also control presented in [9]. This benchmark model allows the
with the Department of Fundamental Electricity and Instrumentation, Vrije simulation of sensor and actuator faults in the generator and
Universiteit Brussel, 1050 Brussels, Belgium (e-mail: savasque@vub.ac.be). the hydraulic pitch system, where FDI should be based on
M. Kinnaert is with the Department of Control Engineering and System
Analysis, Université Libre de Bruxelles, 1050 Brussels, Belgium (e-mail: standard measurements on wind turbines (i.e., wind speed,
michel.kinnaert@ulb.ac.be). rotor speed, blade pitch angles and generator speed, and torque
R. Pintelon is with the Department of Fundamental Electricity and and power). In particular, the hydraulic actuators are approx-
Instrumentation, Vrije Universiteit Brussel, 1050 Brussels, Belgium (e-mail:
rik.pintelon@vub.ac.be). imated as second-order linear time-invariant (LTI) systems.
Digital Object Identifier 10.1109/TCST.2017.2772890 Then, faults, such as air contamination in the hydraulic oil
1063-6536 © 2017 IEEE. Personal use is permitted, but republication/redistribution requires IEEE permission.
See http://www.ieee.org/publications_standards/publications/rights/index.html for more information.
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2 IEEE TRANSACTIONS ON CONTROL SYSTEMS TECHNOLOGY

and drop in the supply pressure of the hydraulic pump, are


simulated as a change on the parameters of this LTI system.
Different techniques have been considered to address
the FDI on this benchmark model. For example, a data-
driven fault detection (FD) approach based on the princi-
pal component analysis is presented in [10]. Reference [11]
provides a data-driven FDI scheme based on Gibbs sam-
pling and Fuzzy/Bayesian networks. A state space-based set-
membership approach for FD is used in [12]. An FDI approach
based on model falsification using set-valued observers is
proposed in [13]. Other solutions for the benchmark model
are reported in [14].
However, the proposed approximation of a hydraulic pitch
actuator as an LTI model has important limitations for rep-
resenting its dynamics under healthy and faulty conditions.
Indeed, a detailed physical model for hydraulic pitch actuators Fig. 1. Hydraulic pitch actuator. (a) Blade base. (b) Pitch bearing.
(c) Cylinder/piston. (d) Distribution valve. (e) Pump. (f) Tank. β p : blade pitch
that accounts for friction in the blade bearings and contami- angle. M p and Mb : pitching and bearing friction moments. x p : piston position.
nation of the hydraulic oil is presented in [5]. By integrating u v : control voltage of the valve. Q A and Q B : flows delivered to the piston
this physical model in a wind turbine simulator based on the chambers. p A and p B : pressures in the piston chambers. p S and p R : supply
pressure and ambient pressure.
FAST software of the National Renewable Energy Labora-
tory (NREL) [15], two issues that should be considered for
FDI on hydraulic pitch actuators were pointed out: 1) the This paper presents the methodology for the design of
dynamics changes with the operating conditions [i.e., mean the FDI system and the validation results. It is organized
wind speed and turbulence intensity (TI)] and 2) active FD is as follows. Section II provides insight into the operation of
necessary, since the system input signal (i.e., the reference the hydraulic pitch system, the faults under study and the
blade pitch angle) does not excite well the system in the wind turbine simulator. Next, the general scheme for the
frequency band where the faults are the most perceptible. proposed model-based FDI system is discussed in Section III.
Therefore, we designed a model-based FDI system for Furthermore, Section IV explains the system identification
a hydraulic pitch system that considers these issues by: methodology. The analysis of the faults effects and the design
1) introducing an additional excitation on the pitch system of the FDI algorithm is presented in Section V. Section VI
and 2) accounting for operating point changes through the reports the results for the FDI system validation, together
identification of a linear parameter-varying (LPV) model based with the assessment of the impact that active FD has on the
on input/output measurements (i.e., reference and measured operation of the wind turbine. Finally, Section VII presents
blade pitch angles). the main conclusions.
The main idea of the FDI approach is to compare the LPV
model obtained for a healthy condition with a local LTI model II. S YSTEM D ESCRIPTION
identified during the monitoring experiment. The method
This work considers a horizontal-axis wind turbine with a
relies on frequency-domain estimators for the identification
three-bladed rotor and a variable-speed variable-pitch system.
of continuous-time models in a user-defined frequency band.
This section presents the working principle of the hydraulic
This frequency selection can notably simplify the complexity
pitch system, the description of the faults under study, and
of the modeling problem. Besides, continuous-time models
the wind turbine simulator used for testing the proposed FDI
can more easily be linked to the physics of the process,
system.
which may ease the design of the FDI algorithms. Moreover,
the estimation of confidence bounds on the parameters used
for FDI is included in order to ensure robustness with respect A. Hydraulic Pitch System
to noise in measurements and stochastic nonlinear distortions. The blade pitch system consists of three identical hydraulic
Three types of incipient multiplicative faults are studied: pitch actuators, each of them with an internal controller.
contamination of the hydraulic oil (high content of air As shown in Fig. 1, the blade pitch angle (β p ) is adjusted by
or water), damages or poor lubrication on the pitch bear- means of a valve–piston mechanism. The piston is attached to
ings (causing increased friction), and drop in the supply pres- the blade base through a connecting rod, whereas the blade
sure of the hydraulic pump (due to wear). The proposed FDI base is connected to the blade root via the pitch bearing.
system is thoroughly validated on a wind turbine simulator As the piston cylinder is fixed to the blade root through a
based on the FAST software that includes the detailed physical pivot, β p can be set by adapting the piston position (x p ). Then,
model of the hydraulic pitch actuators developed in [5]. x p is controlled by means of a hydraulic circuit consisting of
Through this validation, we show how an appropriate design of a distribution valve, a pump, and a tank.
the excitation signal and the identification experiments ensures In order to control x p , appropriate flows (Q A and Q B )
a short experiment duration and an acceptable impact on the are delivered to the cylinder chambers ( A and B). The
wind turbine operation. control voltage of the valve (u v ) governs these flows, which
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VÁSQUEZ et al.: ACTIVE FAULT DIAGNOSIS ON A HYDRAULIC PITCH SYSTEM BASED ON FREQUENCY-DOMAIN IDENTIFICATION 3

are also dependent on the pressures in the piston chambers TABLE I


( p A and p B ), the supply pressure ( p S ), and the ambient D EFINITION OF H EALTHY /FAULTY S CENARIOS
pressure ( p R ). The dynamics of this system is also influenced
by the pitching (M p ) and bearing friction (Mb ) moments,
where Mb is correlated with the pitch angle rate (β˙p ). A pro-
portional controller is tuned in order to achieve the required
dynamic behavior of the pitch actuator from reference pitch
angle (β p ref ) to measured pitch angle (β p ) [5]. The signal
β p ref , the pump, and the tank are shared by the three pitch
actuators.
The physical model for the hydraulic pitch actuators
(see Appendix A) was used to simulate data, representing the
healthy and faulty operation of the pitch system.

B. Fault Description
This paper considers the following incipient faults affecting
the dynamics of the hydraulic pitch actuators.
1) Contamination of Hydraulic Oil: Both high air con-
tent (Fa ) and high water content (Fw ) are detrimental to Fig. 2. Wind turbine simulator based on FAST. β p PC : pitch control signal.
the hydraulic oil health, resulting in increased wear and β p MS : excitation signal for active FD. β pi and β p ref : blade pitch angles and
their reference. M pi and Mbi : pitching and bearing friction moments. ωg and
corrosion in machinery. These faults also impact the oil ωg ref : generator rotation speed and its reference. Pg : generator power.
compressibility, affecting the dynamics of the pressures
in the piston chambers ( p A and p B ). Under normal
conditions, the volume ratio of air in oil (R) is about
6%–9% [16] and the ratio of water in oil (W ) is 0% [17].
Fa occurs when R ≥ 18% (i.e., entrained air) [5],
whereas Fw arises when W ≥ 0.5% (i.e., emulsi-
fied water) [17]. Fa and Fw are simulated by changing Fig. 3. Hydraulic pitch actuator as a black-box. β p and β p ref : blade pitch
the effective bulk modulus (Beq ) in the piston cham- angle and its reference. M p and Mb : pitching and bearing friction moments.
bers (R and W are adjusted in (8) of Appendix A).
2) Damages or Poor Lubrication on the Pitch Bearing:
Corrosion, deformations, and inadequate lubrication on simulations (i.e., stochastic, full-field turbulent wind) are gen-
the pitch bearing result in a high bearing friction (F f ), erated with the software TurbSim of NREL [20].
which causes a poor performance of the pitch system. The hydraulic pitch system is active when the wind
This fault is simulated by increasing the bearing friction speed (v w ) is between its nominal (v w N ) and its cut-out (v w co )
coefficient (μ), which increments the bearing friction value (i.e., the so-called power limitation zone). The pitch
moment (Mb ) (μ is adjusted in (9) of Appendix A). control module moderates the aerodynamic input power so
Under normal conditions μ = 0.003 (for a bearing type that, in combination with the generator control, it ensures that
ball bearing with cage) [18], whereas F f occurs when the generator power and speed (Pg and ωg ) are maintained
μ ≥ 0.012 [5]. at their rated values when v w surpasses v w N . To this end,
3) Drop in the Supply Pressure: Wear causes a hydraulic a proportional–integral controller adjusts the pitch control
pump to gradually lose its ability for developing full signal (β p PC ) in a range from 0° to 25° based on the
pressure (Fp ), resulting in a reduced piston speed. This filtered measurement of the generator speed (ωg ) and its
fault is simulated by decreasing the supply pressure ( p S ) reference (ωg ref ). This control law is adapted based on the
to less than 75% of its rated value ( p SN ) [19]. filtered measurement of the blade pitch angles (β pi ). Its design
Table I summarizes the definition for the healthy and faulty follows the methodology described in [21].
scenarios to be considered later. Since the pump and the The FDI system module requires the measured blade pitch
hydraulic oil are shared, Fa , Fw , and Fp affect all three pitch angles (β pi ) and their reference (β p ref ). Besides, a designed
actuators equally. excitation signal (β p MS ) is added on top of the pitch control
signal (β p PC ) in order to enhance the detection of faults. This
C. Wind Turbine Simulator topic will be further developed in the following.
The proposed FDI system was tested on a simulator based
on the characteristics of a 1.25-MW real wind turbine. This III. M ODEL -BASED FDI S YSTEM
simulator is developed in the MATLAB/Simulink environ- The proposed FDI system considers each hydraulic pitch
ment (Fig. 2). Thanks to a DLL, the FAST software of actuator as a black-box (Fig. 3): only the reference (β p ref )
NREL [15] is integrated for the simulation of the coupled and measured blade pitch angle β p are available. The pitch-
dynamic response of the wind turbine. Besides, realistic wind ing (M p ) and bearing friction (Mb ) moments are considered
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4 IEEE TRANSACTIONS ON CONTROL SYSTEMS TECHNOLOGY

Fig. 5. Hydraulic pitch actuator signals in the frequency domain.

with respect to noise in measurements and stochastic


nonlinear distortions. When a fault is detected, the most
Fig. 4. General scheme of the model-based FDI system for the hydraulic
pitch system. likely fault is chosen from a set of characterized faults.
Furthermore, a warning or an alarm message is gener-
ated depending on the estimated fault severity.
as disturbances. The aim is to identify a linear model for each The design methodology for this FDI system is discussed
pitch actuator and perform the fault diagnosis based on the in more detail in Sections IV and V.
parameters of this model.
IV. F REQUENCY-D OMAIN I DENTIFICATION
The general scheme of the proposed model-based FDI
system is presented in Fig. 4. Two operating phases are This section presents the proposed methodology for
distinguished: configuration and monitoring. the frequency-domain identification of the hydraulic pitch
The configuration phase has to be completed before the actuators. First, the main signals of a pitch actuator are
monitoring can be done. This includes the following tasks. analyzed. Then, the strategy for the identification of local LTI
1) Design of Excitation Signal: Signal class, amplitude, models and the design of the excitation signal are presented.
and excited frequency band are chosen for β p MS . This Next, the selection of scheduling parameters and the construc-
signal is applied only when the system identification tion of the LPV model are discussed. Finally, the identification
experiments are performed (both for the LPV model procedures are illustrated on one pitch actuator in healthy
identification and for the monitoring). condition.
2) LPV Model for Healthy Condition: An LPV model
G H ( j ωk , q) is identified for each pitch actuator. This A. Signals Analysis
model accounts for the dependence of the dynamics on To establish a system identification strategy, the main sig-
the operating conditions (i.e., mean wind speed and TI) nals of a hydraulic pitch actuator (Fig. 3) in healthy condi-
expressed as scheduling parameters q. The subscript H tion were analyzed. The wind turbine was simulated for a
denotes a healthy scenario (as shown in Table I). mean wind speed (v̄ w ) of 14.7 m/s and a T I of 10%. The
The monitoring phase takes place regularly, with a frequency excitation signal β p MS was not applied (i.e., β p ref = β p PC )
established by the user. The following tasks are performed. (see Fig. 2). Fig. 5 presents these main signals in the frequency
1) Local LTI Model for Monitoring: A continuous-time domain after applying a Hamming window (length 200 s and
LTI model G m (s) is identified for each pitch actuator, a sampling frequency of 800 Hz).
and the scheduling parameters qm are measured during Here are some remarks on these signals.
the monitoring experiment. The subscript m stands for 1) Blade Pitch Angle (β p ): β p fairly follows its
monitoring. reference (β p ref ) for frequencies below 0.6 Hz
2) Interpolated LTI Model for Healthy Condition: For each approximately.
pitch actuator, a continuous-time LTI model G H int (s) 2) Pitch Control Signal (β p PC ): This signal is the result
corresponding to healthy condition is derived from of the feedback action that regulates the generator
G H ( j ωk , q) and qm . The subscript i nt denotes an speed (ωg ). The energy of β p PC is mainly concentrated
interpolation. in the frequency band from 0 to about 0.4 Hz. However,
3) Fault Diagnosis: The models G H int (s) and G m (s) are to detect faults, it is necessary to excite the system
compared. A change in the model parameters denotes from 0.1 to 30 Hz (see Section IV-E). Furthermore,
the presence of a fault. Confidence regions for the the nonperiodic nature of β p PC induces leakage on the
parameters are considered in order to provide robustness frequency response measurements.
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VÁSQUEZ et al.: ACTIVE FAULT DIAGNOSIS ON A HYDRAULIC PITCH SYSTEM BASED ON FREQUENCY-DOMAIN IDENTIFICATION 5

considers the map from β p ref to β p . Due to the feedback done


for the pitch control, there is a dependence of the input (β p ref )
with the process noise (i.e., the stochastic nonlinear
distortions), which can induce a bias on the LPM esti-
mates [22]. However, this dependence can be neglected,
because the feedback signal has a low-frequency content
(below 0.4 Hz). Moreover, with this approach, the energy
provided by the pitch control signal (β p PC ) is exploited to
Fig. 6. System identification on hydraulic pitch actuators. help in the identification.
4) Sample Maximum Likelihood Estimator: Starting from
3) Pitching Moment (M p ): This disturbance has its energy the nonparametric F R F and σFRF 2 estimates, the parameters
concentrated at 0 and 0.35 Hz. The effect of M p is an of a continuous-time LTI model G(s, θ̂SML ) (rational function
increased variability of the frequency response measure- of s) are obtained with the SML estimator (see Appendix B-C).
ments at frequencies around 0.35 Hz. The SML is a consistent and asymptotically efficient
4) Bearing Friction Moment (Mb ): This signal is correlated estimator [22].
with the pitch angle rate (β̇ p ), and it brings an important 5) Covariance Matrix of the Estimated Model Parameters:
nonlinear behavior to the pitch actuators. The effect of For asymptotically efficient estimators, such as the SML,
Mb is an increased variability on the frequency response the Cramér–Rao lower bound can be used for quantifying
measurements due to nonlinear distortions. the covariance matrix Cov(θ̂SML ) of the estimated model
In brief, the identification methodology needs to take into parameters θ̂SML [22]. Then, the covariance matrix for other
account the effects of transients, feedback, and the nonlinear system characteristics like the poles location is calculated
nature of the pitch actuators. Also, the system needs to be departing from Cov(θ̂SML ), as discussed in [23]. The covari-
better excited in order to detect faults. ance matrices for the poles serve to construct their confidence
regions (see Appendix B-D), which are used during the FD.
B. Local LTI Modeling
The identification strategy for the local LTI models of the C. Scheduling Parameters
pitch actuators is outlined in the following (Fig. 6). More Once the methodology for the identification of the local
details on the frequency-domain identification tools can be LTI models is established, the scheduling parameters (q) for
found in [22].1 the LPV modeling are determined. The following scheduling
1) Full Random Phase Multisine: The excitation signal parameters related to the wind conditions are proposed.
β p MS is of this class, which allows to select and uniformly 1) Mean Commanded Pitch Angle (q p ): The pitch angle
excite a frequency band whereas it shares the properties of around which the system should operate is modified by
Gaussian noise (see Appendix B-A). The characteristics of the mean wind speed (v w ) (i.e., β p ref increases when
β p MS are: frequency band from 0.1 to 30 Hz, frequency v w rises). From the same data used for the identification,
resolution of 0.05 Hz (one signal period is 20 s), and root- q p is retrieved as shown in the following, where N is
mean square amplitude of 2°. Clearly, the amplitude of β p MS the number of samples in one period of the signal β p MS
should be a tradeoff between a low impact on the wind turbine
1 
N−1
and a good signal-to-noise ratio for the measured blade pitch qp = β p ref ( j ). (1)
angle (β p ). N
j =0
2) Local Polynomial Method for Arbitrary Excitations:
From the input/output DFT spectra of one identification exper- 2) Mean Commanded Pitch Angle Rate (qv ): The
iment (i.e., one signal period of β p MS ), this method estimates demanded rate for the pitch angle is modified by the T I
nonparametrically the frequency response function (F R F) and (i.e., a higher T I requires a higher β̇ p ref ). qv is calcu-
2 ) (see Appendix B-B). Furthermore, the LPM
its variance (σFRF lated as shown in the following, where f s is the sampling
removes the errors produced by transients (i.e., the system frequency
and the noise leakage errors). For Gaussian excitation signals,
0.5 f s 
N−2
LPM estimates the best linear approximation of the nonlinear qv = β p ref ( j + 1) − β p ref ( j − 1). (2)
system [22]. N −2
j =1
3) Generalized Output Error Framework: It is considered
that the input (β p ref ) is known and the measured output (β p ) is D. LPV Modeling and Interpolated LTI Model
disturbed by noise. In the case of the wind turbine simulation,
no measurement noise is added and the noise on β p is A local approach is proposed to identify the LPV model
solely due to the stochastic nonlinear distortions. For real life of each pitch actuator G H ( j ωk , q) (Fig. 7). The F R F and
2 ) are estimated at various operating condi-
its variance (σFRF
systems, β p will also be affected by other random phenom-
ena (e.g., measurement noise) but the stochastic nonlinear dis- tions (i.e., different values of the scheduling parameters q)
tortions will remain the dominant error source. The modeling so that the operating range of interest is well covered.
Each identification experiment is performed with a differ-
1 Freely available software support at http://booksupport.wiley.com ent random realization of the excitation signal β p MS . Then,
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6 IEEE TRANSACTIONS ON CONTROL SYSTEMS TECHNOLOGY

Fig. 7. Local LPV identification. F R F: frequency response function.


M: number of experiments. G H ( jωk , q): LPV model for healthy condition.
q = {q p , qv }: scheduling parameters.

the model G H ( j ωk , q) consists of the interpolation of these


F R Fs at each frequency component (k), namely at each
ωk = 2πk f s /N.
Fig. 8. Scheduling parameters space {q p , qv } is covered by 45 identification
G H ( j ωk , q) is expressed at each k as a polynomial fk (q) experiments.
that depends on the scheduling parameters (q = {q p , qv })
np

nv 
The LPV model G H ( j ωk , q) and its variance
fk (q) = ak i, j q ip qvj
j =0 i=0
[see (3) and (6)] allow the estimation of the F R F and σFRF 2

corresponding to a given value of the scheduling parameters


with ak i, j the complex polynomial coefficients, and {n p , n v } {q p , qv } (i.e., F R Fint and σFRF
2
int ). Then, the interpolated
the polynomial degree with regard to each scheduling para- LTI model G H int (s) is derived from F R Fint and σFRF 2
int as
meter {q p , qv }. This can also be expressed in vector form as mentioned in Section IV-B. Clearly, to avoid extrapolation,
f k (q, θ f k ) = ϕk (q)θ f k (3) the values for {q p , qv } should be inside the modeled operating
 n n  range.
ϕk (q) = 1, . . . , q p p , . . . , qvnv , . . . , q p p qvnv (4)
The proposed interpolation method works well when the
θ f k = [ak 0,0 , . . . , ak n p ,0 , . . . , ak 0,nv , . . . , ak n p ,nv ] T
effect of changing operating conditions is a smooth variation
(5) of the F R F, as it is the case for the hydraulic pitch actuators.
Besides, more scheduling parameters can be handled by adapt-
with ϕk ∈ R1×(n p +1)(nv +1)
the vector of the polynomial terms, ing (4) and (5). Furthermore, this method has the advantage
and θ f k ∈ C(n p +1)(nv +1)×1 the vector of unknown coefficients. that a model structure is not imposed before the interpolation.
The aim is to estimate θ f k from M experiments, where
the output observations are disturbed by noise (due to the
E. Healthy Condition Modeling
stochastic nonlinear distortions): f km = f k + n f k . To this end,
we define This section presents the modeling of a hydraulic pitch actu-
ator in healthy condition (scenario H in Table I). First, local
Fkm = [ f km 1 , fkm 2 , . . . , f km M ]T LTI models (i.e., F R F) are identified at different operating
 T
k (q) = ϕkT1 ϕkT2 · · · ϕkT M conditions. Next, the LPV model G H ( j ωk , q) is built and used
E k = Fkm − k (q)θ f k to obtain interpolated LTI models G H int (s). Then, the poles of
1 G H int (s) and their confidence regions are analyzed. Finally,
VLS (θ f k ) = E kH E k the model G H int (s) is validated by comparing its output with
2
the blade pitch angle (β p ) obtained through simulation of the
with Fkm ∈ C M×1 the measurement vector (where f km l = wind turbine.
F R Fl (k)), k ∈ R M×(n p +1)(nv +1) the regression matrix, The blade pitch system is active when the wind speed (v w )
E k ∈ C M×1 the error vector, and VLS the linear least squares is between 12.5 and 17 m/s. Thus, 45 identification experi-
cost function. Then, the linear least squares estimate θ̂ f k is ments were done for wind conditions covering this operating
the one that minimizes VLS . The explicit solution for θ̂ f k and range (v̄ w : {14, 14.7, 15.3} and m/s, T I = 10%). Only
its covariance matrix Cov(θ̂ f k ) is given by one case of T I is considered, because the variation on qv is
 −1 T significant for the different realizations of the wind. Besides,
θ̂ f k = kT k k Fk m
 T −1 T  −1 the performance of the LPV model for other T I is studied in
Cov(θ̂ f k ) = k k k Cov(n f k )k kT k . Section VI-A. Fig. 8 presents the scheduling parameters space
covered by the identification experiments [q p : [4.5, 10.9]° and
The use of different random realizations of β p MS ensures
qv : [−0.43, 0.44] °/s, with q p and qv derived from (1) and (2)].
that each experiment is independent, so that Cov(n f k ) is
This space is not uniformly covered due to the stochastic
reduced to the diagonal matrix
 2  nature of the wind.
Cov(n f k ) = diag σFRF 1 (k)
, σFRF
2
2 (k)
, . . . , σFRF
2
M (k)
. Fig. 9 presents the estimated F R F and σFRF for one
identification experiment. This result validates the design
The variance of G H ( j ωk , q) at each k can be obtained as
for β p MS (frequency band and frequency resolution), since
var ( f k (q, θ̂ f k )) = ϕk (q) Cov(θ̂ f k ) (ϕk (q))T . (6) the main features of the F R F are well measured: a break
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VÁSQUEZ et al.: ACTIVE FAULT DIAGNOSIS ON A HYDRAULIC PITCH SYSTEM BASED ON FREQUENCY-DOMAIN IDENTIFICATION 7

TABLE III
VALIDATION T EST FOR G H int (s)

Fig. 9. FRF and its standard deviation σFRF . Case: q p = 6.2° and
qv = 0.17 °/s.

TABLE II
G H int (s) FOR D IFFERENT VALUES OF THE S CHEDULING PARAMETERS

Fig. 10. Validation of G H int (s) for a model order 0/3. Case: q p = 7.75°
frequency (∼0.5 Hz) and a resonance frequency (∼9 Hz). Note and qv = 0 °/s.
that σFRF gives an indication of the stochastic nonlinear distor-
tions, since no noise was added in the simulation. Considering
that σFRF is below the F R F by 20 dB at low frequencies and is present when selecting a model order 0/3. Note that the
15 dB at the resonance frequency, we can conclude that the results of the model validation test for G H int (s) vary for
pitch actuator is fairly well approximated by a linear model. different values of q p and qv , because F R Fint and its variance
The LPV model G H ( j ωk , q) was constructed for a polyno- var (F R Fint ) depend on the modeling set of the LPV model.
mial degree {n p = 3, n v = 1}, which is sufficient for describ- Namely, how the scheduling parameter space is covered by
ing the dynamics dependence on {q p , qv } (see discussion the local LTI models (see Fig. 8).
in Section VI-A). Then, interpolated LTI models G H int (s) Fig. 10 illustrates the model validation test for the case with
were obtained for different values of {q p , qv }. Table II presents the highest bias (i.e., q p = 7.75° and qv = 0 °/s). We can
G H int (s) for a model order 0/3. Before analyzing these results, see that G H int (s) describes fairly well both the magnitude
a model validation test is carried out. and phase of F R Fint (k). Indeed, the residuals r (k) are well
The model validation test compares G H int (s) and distributed with regard to their 50% and 95% confidence
F R Fint (k) by analyzing the residuals r (k) = F R Fint (k) − bounds for the whole frequency band of interest (0.1–30Hz).
G H int ( j ωk ). The 50% and 95% confidence bounds for |r (k)| Thus, the bias is moderate when selecting a model order 0/3.
are constructed, and the fraction of residuals falling above Increasing the model complexity would reduce the bias at
these bounds are computed (see Appendix B-E). Table III the cost of an increased variance [22, Ch. 11, p. 437]. Hence,
presents the results of this test for the models shown the model complexity must be chosen such that an optimal
in Table II. Note that the observed fractions have an uncer- tradeoff between bias and variance is made. Besides, a simple
tainty, because they are computed from a limited number of model facilitates the FD, because it allows to concentrate the
frequencies (i.e., 599). A Monte Carlo simulation revealed fault information in less parameters. In this sense, a model
that the fractions corresponding to the 50% and 95% con- order 0/3 for G H int (s) is a good compromise between low
fidence bounds have a standard deviation of 2% and 0.9%, complexity and a good capability of the model for describing
respectively. the measurements.
Considering these uncertainties, we can see from Table III Once the model G H int (s) is validated, we can interpret the
that the fraction of residuals above the 50% and 95% con- results of Table II. The variation on the parameters of G H int (s)
fidence bounds is fairly close to the expected 50% and 5%. reflects the dynamics dependence on {q p , qv }: there is a
Only the case {q p = 7.75°, qv = 0 °/s} presents fractions slight shift of the real pole p1 and a significant displacement
moderately higher. This means that a systematic model error of the complex-conjugate pole pair p2,3 . This means that
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8 IEEE TRANSACTIONS ON CONTROL SYSTEMS TECHNOLOGY

Fig. 11. Monte Carlo simulation for the poles of G H int (s). Top: p2 .
Bottom: p1 . (×): estimation of the pole. (+): mean value of the pole.
Fig. 12. Blade pitch angle (β p ) simulated through the physical model of
(−): 95% confidence region. Case: q p = 7.75° and qv = 0 °/s.
the hydraulic pitch actuator and the model G H int (s). Case: q p = 7.48° and
qv = −0.22 °/s.
the frequency response of the hydraulic pitch actuator varies
mainly at the resonance frequency: both damping ratio (ξ ) TABLE IV
and natural frequency ( f n ) change. The modeling of the poles G H int (s) AND G m (s) FOR THE D IFFERENT H EALTHY /
variation is a key, because the FDI algorithm relies on the FAULTY S CENARIOS OF TABLE I
poles location.
Next, the confidence regions for the poles of G H int (s)
were constructed (see Appendix B-D) and tested through a
Monte Carlo simulation. This test was done, because the
uncertainty on the model parameters might be underesti-
mated when nonlinear distortions are dominant [24]. Thus,
50 LPV models G H ( j ωk , q) were identified for the same
wind conditions and different random realizations of β p MS .
Then, the corresponding 50 models G H int (s) were obtained
for the case {q p = 7.75°, qv = 0 °/s}. Fig. 11 presents the TABLE V
estimation of the poles p1 and p2 and their 95% confidence VALIDATION T EST FOR G m (s)
regions centered at the mean value of the poles. For p2 , two of
the estimated poles are almost outside the confidence region,
whereas for p1, one pole is outside. These results indicate
that the confidence regions are indeed well estimated, since
it is expected that two poles (i.e., 5%) fall outside the 95%
confidence region.
Finally, Fig. 12 presents the comparison of the blade pitch
angle (β p ) obtained through the simulation of the wind turbine
for new wind realization (v̄ w : 14.7 m/s, T I = 10%) and
through the model G H int (s) (for q p = 7.48°, qv = −0.22 °/s).
A. Fault Effects
The time-domain analysis of β p shows that after a short
transient, the output of G H int (s) follows well the output of In order to characterize the studied faults, the wind turbine
the pitch actuator physical model. This is better illustrated was simulated for the different healthy/faulty scenarios defined
in the frequency domain after applying a Hamming window in Table I. The same wind conditions (v̄ w = 14.7 m/s and
on β p (length 20 s and a sampling frequency of 800 Hz): the T I = 10%) were used in all simulations to illustrate better
frequency content of β p for both cases are almost equal. Thus, the fault effects. The scheduling parameters resulting from
G H int (s) describes well the dynamics of the hydraulic pitch (1) and (2) were q p = 7.12° and qv = −0.29 °/s.
actuator. Table IV presents the estimated local LTI model G m (s)
for each simulated scenario and the interpolated LTI model
V. FAULT D IAGNOSIS G H int (s) for the measured q p and qv . Note that a model order
This section presents the design of the FDI module. First, 0/3 was chosen for G m (s). Table V presents the results of the
the studied faults are characterized by analyzing the fault model validation test, which compares G m (s) with F R Fm (k).
effects on the identified local LTI model of the hydraulic pitch The model validation test shows that a model order 0/3 is
actuators. Then, algorithms for the detection, isolation, and adequate for all the healthy/faulty scenarios. Indeed, in all the
severity estimation of faults are proposed. cases, the fraction of residuals [r (k) = F R Fm (k) − G m ( j ωk )]
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VÁSQUEZ et al.: ACTIVE FAULT DIAGNOSIS ON A HYDRAULIC PITCH SYSTEM BASED ON FREQUENCY-DOMAIN IDENTIFICATION 9

Fig. 13. Poles of G m (s) and their 95% confidence regions for the
healthy/faulty scenarios of Table I. Case: q p = 7.12° and qv = −0.29 °/s. Fig. 14. Fault detection: overlapping test for confidence regions depends
on whether θ̂ f d H and θ̂ f d m are (a) two real poles, (b) real and complex
−1/2
pole, or (c) two complex poles [X = C H (θ − θ̂ f d H ) and X 0 =
−1/2
above the 50% and 95% confidence bounds are fairly close C H (θ̂ f d m − θ̂ f d H )].
to 50% and 5%, considering the uncertainty on these frac-
tions (see Table V). This indicates a small systematic model
error. II-quadrant of the s-plane ( p2 )
The results shown in Table IV are illustrated in Fig. 13,  
( p2 )
which presents the poles of G m (s) with their 95% confidence θfd = .
( p2 )
regions. Here are some remarks on these results.
1) Healthy Condition (H ): G H int (s) predicts well the local We define θ̂ f d H the a priori estimate corresponding to
model G m (s) corresponding to healthy condition. a healthy scenario [obtained from G H int (s)] and θ̂ f d m the
2) High Air Content (Fa ): p1 does not change. The magni- estimate corresponding to the monitoring experiment [obtained
tude of the imaginary part of p2,3 decreases, producing from G m (s)]. The confidence regions for θ̂ f d H and θ̂ f d m are
an increase of the damping ratio (ξ ) and a reduction of defined by their covariance matrices C H and Cm .
the natural frequency ( f n ). An FD test that provides robustness with regard to modeling
3) High Water Content (Fw ): The change in the dynamics errors and measurement noise consists in assessing whether the
is not significant. This fault cannot be detected. confidence regions of θ̂ f d H and θ̂ f d m overlap [25]. If there
4) High Bearing Friction (F f ): There is a moder- is an overlap, the true parameter θ f d o could lie inside both
ate reduction of the magnitude of p1 . For p2,3, confidence regions; hence, it is reasonable to state that no fault
ξ increases whereas f n is moderately reduced. For has occurred (decide Hf0 ). Otherwise, with no overlap, θ f d o
an increasing bearing friction, the system eventually cannot be in both confidence regions and most probably a fault
becomes overdamped and p2,3 become real poles. is present (decide Hf1 ).
In Section V-B–V-D, it is considered that p2 goes toward The implementation of this test depends on whether θ̂ f d H
0, whereas p3 goes toward −∞. Observe that the and θ̂ f d m are real or complex poles, since a confidence region
increment on the confidence region of p2,3 reflects a can be an interval or an ellipse.
higher uncertainty due to the increase of the nonlinear 1) Two Real Poles: I H = [x H 1 , x H 2 ] and Im =
distortions. [x m1 , x m2 ] are the confidence intervals for θ̂ f d H and θ̂ f d m
5) Drop in Supply Pressure (Fp ): There is a moderate [see Fig. 14(a)]. These intervals do not overlap if either
reduction on the magnitude of p1. For p2,3 , the mag- x H 2 < x m1 or x m2 < x H 1 .
nitude of the real part increases whereas the imaginary 2) Real and Complex Poles: The real pole θ̂ f d R has a
part decreases. This produces an increase of ξ and a confidence interval I R = [x R1 , x R2 ]. The complex pole θ̂ f d C
reduction of f n . has a confidence region RC with boundary described by
In brief, the fault information is concentrated on the
complex-conjugate pole pair p2,3. Hence, for performing fault (θ − θ̂ f d C )T Q(θ − θ̂ f d C )
diagnosis, it is sufficient to use p2 and its confidence region.  T   
x − x̂ C q11 q12 x − x̂ C
= = αχ
y − ŷC q12 q22 y − ŷC
B. Fault Detection where Q = CC−1 , and CC is the covariance matrix of θ̂ f d C .
FD consists in deciding between two hypotheses: the system Clearly, I R and RC only overlap if RC intersects the real axis
remains in healthy condition (Hf0 ) or a fault is present (Hf1 ). [see Fig. 14(b)]. To find the points where the boundary of RC
The parameter for FD (θ f d ) is the complex pole located in the intercepts the real axis, the quadratic equation in the following
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10 IEEE TRANSACTIONS ON CONTROL SYSTEMS TECHNOLOGY

TABLE VI TABLE VII


FAULT I SOLATION BASED ON θ̂ f d m AND φθ D EFINITION OF T HRESHOLDS φθ i

is solved for y = 0
q11 (x − x̂ C )2 + 2 q12 (x − x̂ C )(y − ŷC )
+ q22(y − ŷC )2 = αχ .
If the roots of this equation (x 1 ,x 2 ) are imaginary, then
I R and RC do not overlap. If x 1 and x 2 are real, then
IC = [x 1 , x 2 ] is defined and the overlap test for two intervals
is performed.
3) Two Complex Poles: The confidence regions of θ̂ f d H
and θ̂ f d m are the ellipses R H and Rm given by
R H = {θ |(θ − θ̂ f d H )T C −1
H (θ − θ̂ f d H ) ≤ αχ }
Rm = {θ |(θ − θ̂ f d m )T Cm−1 (θ − θ̂ f d m ) ≤ αχ }.
The overlapping test for these confidence regions is fully
described in [25]. Briefly, the test first determines if θ̂ f d H
belongs to Rm . If it does, there is an overlap and the
test stops. Otherwise, a change of variables is performed
−1/2 −1/2
[X = C H (θ − θ̂ f d H ), X 0 = C H (θ̂ f d m − θ̂ f d H )] so that Fig. 15. Fault isolation: fault regions in the s-plane are defined by thresholds
φθ i . θ̂ f d H : p2 for healthy condition. θ̂ f d m : p2 for the fault simulations
R H and Rm are transformed into a circle ε H and an ellipse εm shown in Table IV.
ε H = {X|X T X ≤ αχ }
εm = {X|(X − X 0 )T (C H )T Cm−1 C H (X − X 0 ) ≤ αχ }.
1/2 1/2
Fig. 15 illustrates the isolation test for the fault simulations
Then, the point (X min ) that belongs to εm and that minimizes shown in Table IV (Fa , F f , and Fp ). Here, φθi define
the distance to the origin is found [see Fig. 14(c)]. Finally, different "fault zones" in the s-plane: the diagnostic is the fault
if X min belongs to ε H , then there is an overlap. associated with the zone where θ̂ f d m lies in. The choice for
In case the FD test yields hypothesis Hf1 , the test for fault φθi was done as follows. First, φθ1 corresponds to an early
isolation and the fault severity assessment are carried out. stage of F f where ξ increases and f n is almost constant. Next,
These tests are described in Sections V-C and V-D. φθ2 describes an advanced stage of F f where ξ = 1 and
f n is reduced. Then, φθ3 serves to distinguish Fp from Fa .
C. Fault Isolation Thus, φθ3 is a lower limit for the increment in magnitude
Consider the change θ on the FD parameter θ f d of the real component of θ̂ f d H , which is characteristic of Fp .
(i.e., pole p2 ) Finally, φθ4 delimits the fault zone for Fa by defining a limit
for the decrease on the real component of θ̂ f d H . Note that for
θ = θ̂ f d m − θ̂ f d H .
definitions of φθi provided in Table VII, the value of θ̂ f d m
The analysis performed in Section V-A shows that each corresponding to each fault scenario (i.e., θ̂ f d m F a , θ̂ f d m F f ,
fault induces a characteristic displacement of θ f d . Hence, fault and θ̂ f d m F p ) falls in its respective fault zone.
isolation can be achieved based on the orientation of the vector
associated with θ in the complex plane (φθ ), which is D. Fault Severity
obtained through the four-quadrant inverse tangent function
The fault severity estimation aims at providing a measure
φθ = atan2(θ ). of how much the system dynamics is affected by a fault.
Table VI summarizes the fault isolation test. If θ̂ f d m cor- Considering the FD parameter θ f d (i.e., pole p2 ), the change
responds to a real pole, the system is overdamped, which in its natural frequency (ωn =
θ f d
) and damping ratio
indicates a high bearing friction (for a fault magnitude higher (ξ = −θ f d (1)/
θ f d
) are proposed as metrics, namely
than the one described in Table I). Otherwise, the diagnosis ωn = ωn m − ωn H , ξ = ξm − ξ H .
is done by comparing φθ with some thresholds φθi , which
are tuned through the characterization of faults. The proposed As shown in Table I, the parameters R, μ, and PS /PSN
definitions for φθi are presented in Table VII. can change substantially before the hydraulic pitch system is
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VÁSQUEZ et al.: ACTIVE FAULT DIAGNOSIS ON A HYDRAULIC PITCH SYSTEM BASED ON FREQUENCY-DOMAIN IDENTIFICATION 11

TABLE VIII TABLE IX


D EFINITION OF A LARM T HRESHOLDS FOR ξ AND ωn VALIDATION OF S CHEDULING PARAMETERS q p AND qv , AND THE
P OLYNOMIAL D EGREE {n p , n v } FOR THE LPV M ODEL

TABLE X
VALIDATION OF FDI S YSTEM FOR H EALTHY C ONDITION

isolation capabilities are tested for the different studied faults.


Finally, the impact that active FD has on the normal operation
of the wind turbine is evaluated.

Fig. 16. Fault severity: alarm thresholds ωn min , ωn max , ξmin , A. Modeling of the Healthy Condition
and ξmax define acceptable variations on θ f d . θ̂ f d H : p2 for healthy
condition. θ̂ f d m : p2 for the fault simulations shown in Table IV. The aim is to assess the LPV model of the hydraulic pitch
actuators in healthy condition (scenario H in Table I). To this
end, the false positive rate (α) of the FD test is analyzed for
really considered as a faulty and an alarm has to be triggered. different wind conditions.
Thus, θ f d m can move significantly from its position associated First, the wind turbine was simulated for wind conditions
with the healthy state θ f d H before a fault occurs in the sense similar to those considered during the modeling (v̄ w : {14,
of Table I (see Fig. 13). However, given the quality of the 14.7, 15.3} m/s and T I = 10%). This allows us to evaluate
estimates θ̂ f d H and θ̂ f d m , the FD test is triggered with much the scheduling parameters q p and qv . Table IX presents
smaller parameter changes than those indicated in Table I. the achieved α for different polynomial degrees {n p , n v }
Hence, we can generate a warning providing an early (250 validation experiments). The FD test considers 95%
indication of fault progression. To this end, we define a region confidence regions.
around θ̂ f d H corresponding to a warning situation. This region Table IX shows that the FDI system performs poorly
is described in terms of ωn and ξ and their alarm thresholds (α ≈ 68%) when the dynamics dependence on q p and qv
is not modeled (i.e., n p = n v = 0). Then, the performance
ξmin ≤ ξ ≤ ξmax , ωn min ≤ ωn ≤ ωn max . (7)
improves notably (α ≈ 26%) by modeling the dependence on
When the FD test yields hypothesis Hf1 , a warning is q p (i.e., n p > 0, n v = 0). However, better results (α < 15%)
generated if ωn and ξ meet (7); otherwise an alarm is are only possible by also modeling the dependence on qv
triggered. The advantage of the metrics ωn and ξ is their (i.e., n p > 0 and n v > 0). Thus, the choice of q p and qv is
relation with the system frequency response. This is useful for appropriate. The optimal polynomial degree {n p = 3, n v = 1}
setting the alarm thresholds: {ωn min , ωn max } are related was found by increasing n p and n v until α no longer improved.
with the acceptable change in the resonance frequency, and Next, the wind turbine was simulated for wind conditions
{ξmin , ξmax } constrain the maximum peak expected at the with different turbulence intensities (v̄ w : {14, 14.7, 15.3} m/s,
resonance frequency while providing a bound to avoid over- T I : 5%, 10% or 15%). Table X presents the achieved α for
damping. The proposed definitions for these alarm thresholds each T I (250 validation experiments for each case).
are presented in Table VIII. Table X shows that the FDI system performs well
Fig. 16 illustrates the alarm test for the fault simulations (α < 7.6%) when T I ≤ 10%. Though, the performance
shown in Table IV (Fa , F f , and Fp ). The alarm thresholds decreases (α ≈ 14%) when T I is higher than the one
were chosen so that some fault progression is acceptable, considered for the LPV modeling (T I = 10%). This indicates
whereas the value of θ̂ f d m corresponding to each fault the presence of modeling errors due to the fact that the
scenario (i.e., θ̂ f d m F a , θ̂ f d m F f , and θ̂ f d m F p ) falls outside dynamics dependence on T I is more complex than the one
the warning region, triggering an alarm. modeled through qv .
However, these modeling errors are moderate, and they can
VI. R ESULTS be alleviated by increasing the confidence region of θ̂ f d H .
This section presents the validation of the proposed FDI Thus, the covariance matrix of θ̂ f d H is modified as follows:
system. First, the modeling of the healthy condition is assessed
2
by analyzing the false positive rate. Then, the detection and C H new = C H Fnmd
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12 IEEE TRANSACTIONS ON CONTROL SYSTEMS TECHNOLOGY

Fig. 17. False positive rate versus factor Fnmd for different turbulence
intensities.

TABLE XI
VALIDATION OF FDI S YSTEM FOR FAULTY C ONDITION

Fig. 18. Progress of high bearing friction fault (F f ). ωn and ξ : fault
severity metrics for change in the natural frequency (ωn ) and damping ratio (ξ )
of p2 . (−−): alarm thresholds. Diagnosis: healthy condition (•) and high
bearing friction ().

overpass the alarm thresholds. For F f , this corresponds to


μ ≥ 0.008. In the case of Fa and Fp , the alarm is triggered
for R ≥ 8.7% and PS /PSN ≤ 0.78, respectively.
with Fnmd ≥ 1 the factor that compensates for the nonmodeled These results show that the FDI system is able to detect
dynamics dependence on the operating conditions. and isolate the studied faults (Fa , F f , and Fp ) from early
Fig. 17 presents the achieved α as a function of Fnmd for stages. Moreover, the proposed fault severity estimation allows
the validation experiments of Table X. This graph allows us gaining insight in the faults progression. These features are
to obtain an appropriate Fnmd for a required α. For instance, essential for a good maintenance planning.
Fnmd = 2.1 is enough to achieve α ≤ 5% for T I ≤ 15%.
These results show that the LPV model of the hydraulic
C. Impact on Wind Turbine Operation
pitch actuators fairly accounts for their dynamics dependence
on the operating conditions. Furthermore, this model could be The aim is to assess the impact that the excitation signal
used, to some extent, for T I higher than the one considered β p MS has on the wind turbine operation. To this end, the wind
during the modeling by setting Fnmd > 1. turbine was simulated with and without the addition of β p MS
for the same wind conditions (v̄ w = 14.7 m/s and T I = 10%).
Fig. 19 illustrates the wind turbine operation through some
B. Fault Diagnosis key signals. The variation of the wind speed (v w ) is counter-
The FDI system was tested for the faults of high air acted, notably by adjusting the blade pitch angle (β p ). In this
content (Fa ), high bearing friction (F f ), and drop in the supply way, the generator rotation speed (ωg ) is kept close to its
pressure (Fp ), which are defined in Table I. rated value (1116 r/min), and the generator power (Pg ) can
First, fully developed faults were considered. The wind con- be maintained at 1250 kW. The addition of β p MS makes
ditions were set to v̄ w = 14.7 m/s with T I = 10%. Table XI β p to have a “noisy” behavior. However, this only has a
presents the true positive rate (1 − β) of the FD test (with slight impact on ωg and Pg . Indeed, the relative change when
Fnmd = 1) and the diagnosis for each fault (50 validation applying or not β p MS is less than 1% for ωg and 3% for Pg .
experiments per fault). The results indicate that the FDI system Fig. 20 presents the fore-aft tower acceleration (a F −A ) in
properly detects these faults (1−β = 100%), and the diagnosis the frequency domain after applying a Hamming window
is correct for most of the cases (≥ 96%). (length 200 s and a sampling frequency of 800 Hz). The effect
Next, developing faults were considered. Fig. 18 presents of β p MS on a F −A is more visible between 3 and 30 Hz,
the diagnosis results for the progress of fault F f (from scenario where the magnitude of a F −A increases in 10 dB at most
H to F f in ten linearly spaced steps). These results show that [Fig. 20 (top)]. However, the magnitude in this frequency range
the FDI system is able to detect and correctly diagnose F f is always more than 40 dB below the peak present at 0.42 Hz.
from early stages (μ ≥ 0.004). Similar results were obtained Thus, the acceleration induced by β p MS is low in comparison
for Fa (R ≥ 7.3%) and Fp (PS /PSN ≤ 0.95). with the usual acceleration of the tower.
Observe that the fault severity metrics ξ and ωn give an Fig. 20 also presents a F −A corresponding to a simulation
easily interpretable insight on the development of F f from the without the addition of β p MS and T I = 15%. For almost all
point of view of control engineering (see Fig. 18): the damping frequencies, the magnitude of a F −A for this case is higher than
increases while the natural frequency shifts toward lower the case of T I = 10% and applied β p MS [Fig. 20 (bottom)].
frequencies. Then, the alarm is triggered when ξ or ωn Thus, the acceleration induced by β p MS is low, since the tower
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VÁSQUEZ et al.: ACTIVE FAULT DIAGNOSIS ON A HYDRAULIC PITCH SYSTEM BASED ON FREQUENCY-DOMAIN IDENTIFICATION 13

Fig. 21. Geometry of the hydraulic pitch actuator. (a) Cylinder/piston.


(b) Pitch bearing. (c) Rotation center.

or poor lubrication of the pitch bearing resulting in increased


friction (F f ), and drop in the supply pressure of the hydraulic
pump (Fp ).
The LPV modeling of the hydraulic pitch system accounted
well for the system dynamics dependence on operating condi-
tions. Also, robustness against noise and nonlinear distortions
Fig. 19. Effect of active FD on the wind turbine operation: simulations was achieved by considering the model uncertainty during the
with and without the application of β p MS . v w : wind speed (v̄ w = 14.7 m/s FD. These features not only allowed a good false positive
and T I = 10%). β p : pitch angle of blade 1. ωg : generator rotation speed. rate (α) but also made possible the early detection and diag-
Pg : generator power.
nosis of the studied faults. Besides, the proposed fault severity
estimation gave an easily interpretable insight on the faults
progression, which is essential for an effective maintenance
planning. Moreover, the impact of active FD on the wind
turbine operation was kept low by an appropriate design of
the excitation signal β p MS .
Therefore, the proposed FDI system is suitable for the
monitoring of the hydraulic pitch system on wind turbines,
while additional incipient multiplicative faults can be charac-
terized for achieving isolation. Furthermore, the presented FDI
methodology could be used for the monitoring of other similar
electromechanical systems.

A PPENDIX A
H YDRAULIC P ITCH ACTUATOR P HYSICAL M ODEL
The physical model of a hydraulic pitch actuator is summa-
Fig. 20. Frequency-domain analysis of the fore-aft tower accelera- rized in the following. More details can be found in [5].
tion (a F− A ). Top: a F− A when β p MS is applied or not (v̄ w = 14.7 m/s, 1) Angular to Linear Motion Conversion: According to the
T I = 10%). Bottom: a F− A when T I = 10% and β p MS is applied versus pitch actuator’s geometry (Fig. 21), the relation between the
a F− A when T I = 15% and β p MS is not applied.
blade pitch angle β p and the piston position x p is given by

x p (β p ) = l p − L 2 + r 2p − 2 L r p cos(α0 − β p )
can be exposed to higher accelerations due to more important
turbulence actions. with r p the actuator torque arm, l p the piston rod length, L
These results show that the impact on the operation of the pin-to-center length, and α0 the angle between the pin-to-
the wind turbine can be well restrained by selecting appro- center axis and the pitch arm when x p = 0.
priate characteristics for β p MS (amplitude and frequency 2) Distribution Valve: The volume flow rates through the A
bands). Besides, the experiment duration is also constrained and B sides of the piston (Q A and Q B in Fig. 1) are defined by
by design (frequency resolution). For instance, the design ⎧
of β p MS gives an experiment duration of 20 s, which is ⎪
⎨if u v ≤ 0  √ 
reasonably short. Q A = max −Q max , kv u v | p A − p R | sign( p A − p R )

⎩  √ 
Q B = min Q max ,−kv u v | p S − p B | sign( p S − p B )
VII. C ONCLUSION ⎧

⎨if u v > 0 
The proposed FDI system for the hydraulic pitch system √ 
Q A = min Q max , kv u v | p S − p A | sign( p S − p A )
proved to be effective for the detection and isolation of the ⎪
⎩  √ 
faults of hydraulic oil contamination with air (Fa ), damages Q B = max −Q max , −kv u v | p B − p R | sign( p B − p R )
This article has been accepted for inclusion in a future issue of this journal. Content is final as presented, with the exception of pagination.

14 IEEE TRANSACTIONS ON CONTROL SYSTEMS TECHNOLOGY

with u v the voltage of the proportional valve, kv the valve


coefficient, Q max the valve maximum flow rate, p A and p B
the pressures in the piston chambers A and B, p S the pump
supply pressure, and p R the ambient pressure.
The valve control law is given by

u v = k p (x p (β p ) − x p (β p ref ))
Fig. 22. Problem statement for the LPM [22].
where |u v | ≤ u v sat , since the valve voltage is limited,
β p and β p ref are the blade pitch angle and its reference, and
k p > 0 is the proportional gain. A PPENDIX B
3) Dynamics of Pressures: The dynamics of the pressures F REQUENCY-D OMAIN T OOLS
in the piston chambers is given by
A. Random Phase Multisine

ṗ A = (Q A + ẋ p S A )Beq A /V A A full random phase multisine is defined as [22]
ṗ B = (Q B − ẋ p S B )BeqB /V B

N/2−1
β p MS (t) = Bk e( j 2π f s kt /N)
with S A and S B the surfaces of the piston on the A-side and k=−N/2+1
the B-side. Beq A and BeqB are the effective bulk moduli in
chambers A and B, respectively. V A and V B are the chamber with fs the clock frequency of the waveform generator, N
volumes defined by the equations in the following, where the number of samples in one signal period, F = N/2 − 1
V A0 and V B0 are the unusable piston volumes, and l S is the the number of frequency components, and f res = f s /N the
piston stroke frequency resolution. Observe that Bk = B −k = |Bk |e j ϕk ,
where B0 is set to zero, |Bk | are user-defined and deterministic,

V A = V A0 + S A (l S − x p ) and the phases ϕk are independent and uniformly distributed in
[0, 2π). Furthermore, all frequency components in the given
V B = V B0 + Sb x p . frequency band are excited.
4) Effective Bulk Modulus: The effective bulk moduli in the
piston chambers is expressed by B. Local Polynomial Method for Arbitrary Signals
  Consider the system shown in Fig. 22, where its arbitrary
1 1 R W
= (1 − W ) + + (8) input u(t) is known and its output y(t) is disturbed by filtered
Beq Boh Ba ( p) Bw white noise v(t). The relation between input/output DFT
spectra U (k) and Y (k) is given by
with R the volume ratio of dissolved air in oil, W the ratio
of emulsified and dissolved water in oil, Bw the water bulk Y (k) = G( j ωk )U (k) + TG ( j ωk ) + H ( j ωk )E(k) + TH ( j ωk )
modulus, and Boh the oil-hoses bulk modulus. Ba = γ p is
the air adiabatic bulk modulus, with p the chamber pres-
sure ( p A or p B ) and γ = 1.4 the adiabatic coefficient of air. where G( j ω) and H ( j ω) are the system and noise rational
5) Dynamics of the Actuator: The dynamics of the blade transfer function models. TG ( j ω) and TH ( j ω) are the system
pitch angle is governed by and noise transient (leakage) terms [22].
The presence of the transient term T ( j ω) = TH ( j ω) +
β¨p I = T p + M p − Mb TG ( j ω) entails a difficulty for the estimation of the FRF
G( j ωk ) and the nonparametric noise covariance matrix
with M p the pitching moment at the root of the blade, I the Cov (V (k)) [with V (k) = H ( j ωk )E(k)]. The local poly-
moment of inertia of the blade, and Mb the bearing friction nomial method (LPM) exploits the fact that G( j ω), H ( j ω),
moment. T p = F · g(β p ) is the torque generated by the piston, and T ( j ω) are smooth functions of the frequency. Thus,
with g(β p ) = d x p /dβ p the force factor that translates the at each frequency k, G( j ω) and T ( j ω) are approximated
piston force into pitching torque, and F = − p A S A + p B S B the by low degree polynomials valid in the frequency window
force created by the pressure difference on the piston surfaces. [k − n, k + n]
6) Bearing Friction Moment: The model for the bearing 
R 
R
friction moment is f G (k + r ) = gs (k)r s f T (k + r ) = ts (k)r s
μ s=0 s=0
Mb = (4.4M Z + Db FZ B + 3.8Db FR ) sign(β̇ p ) (9)
2 with R the polynomials degree, gs (k) and ts (k) the polyno-
mials coefficients, and r = −n, . . . , n. Then, at each k, we
with M Z the blade root bending moment, FZ B and FR the obtain the expression
axial and radial loads, and Db the bearing diameter. μ is the
bearing friction coefficient, which depends on the bearing type. Y (k + r ) = f G (k + r )U (k + r ) + f T (k + r ) + V (k + r ).
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VÁSQUEZ et al.: ACTIVE FAULT DIAGNOSIS ON A HYDRAULIC PITCH SYSTEM BASED ON FREQUENCY-DOMAIN IDENTIFICATION 15

After estimating the coefficients gs (k) and ts (k) via a linear The approximation for σr2 (k) can be done, since in general
squares fit, G( j ωk ) = g0 (k) and T ( j ωk ) = t0 (k) are obtained. var (G( j ωk , θ̂SML ))  var (FRF(k)) [22]. The confidence
Then, Cov(V (k)) can be estimated from the residuals of the bound for |r (k)| is constructed for a given probability ρ
linear squares fit [22]. 
(100 × ρ)% bound (k) = − ln(1 − ρ)σr (k).
C. Sample Maximum Likelihood Estimator The validation test consists in counting the fraction of
From measured input-output DFT spectra Ŷ (k) and Û (k), residuals above the confidence bound. If this fraction is close
Ẑ (k) and N Z (k) (i.e., noise on measurements) are defined by to 100 × (1 − ρ)%, then no systematic errors are present.
Ẑ (k) = [Ŷ (k), Û (k)]T N Z (k) = [NY (k), NU (k)]T .
N Z (k) has zero mean value; N Z (k) is asymptotically R EFERENCES
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16 IEEE TRANSACTIONS ON CONTROL SYSTEMS TECHNOLOGY

[19] T. Esbensen and C. Sloth, “Fault diagnosis and fault-tolerant control of Michel Kinnaert (M’10) graduated in mechanical
wind turbines,” M.S. thesis, Faculty Eng., Sci. Med., Aalborg University, and electrical engineering from Université Libre de
Aalborg, Denmark, 2009. Bruxelles (ULB), Brussels, Belgium, in 1983. He
[20] B. J. Jonkman. (Sep. 2009). “TurbSim user’s guide: Version 1.50.” Nat. received the M.S. degree in electrical engineering
Renew. Energy Lab., Lakewood, CO, USA, Tech. Rep. NREL/TP-500- from Stanford University, Stanford, CA, USA, in
46198. [Online]. Available: http://www.nrel.gov/docs/fy09osti/46198.pdf 1984 and the Ph.D. degree from ULB, in 1987.
[21] J. Jonkman, S. Butterfield, W. Mursial, and G. Scott. (Feb. 2009). After being employed by the Belgian National
“Definition of a 5-MW reference wind turbine for offshore sys- Fund for Scientific Research, he was appointed
tem development.” Nat. Renew. Energy Lab., Lakewood, CO, USA, by ULB, where he is currently a Professor with
Tech. Rep. NREL/TP-500-38060. [Online]. Available: https://www. the Department of Control Engineering and System
nrel.gov/docs/fy09osti/38060.pdf Analysis. He held visiting professor positions with
[22] R. Pintelon and J. Schoukens, System Identification: A Frequency Université Claude Bernard Lyon I, Lyon, France. He co-authored, with M.
Domain Approach, 2nd ed. Piscataway, NJ, USA: IEEE Press, 2012. Blanke, J. Lunze, and M. Staroswiecki, the book Diagnosis and Fault Tolerant
[23] R. Pintelon, P. Guillaume, and J. Schoukens, “Uncertainty calculation Control (Springer, Third Edition, 2016). His current research interests include
in (operational) modal analysis,” Mech. Syst. Signal Process., vol. 21, system modeling, monitoring and control with applications in mechatronics
no. 6, pp. 2359–2373, Aug. 2007. and power systems.
[24] J. Schoukens and R. Pintelon, “Study of the variance of parametric Dr. Kinnaert has been the Chairman of the IFAC Technical Committee
estimates of the best linear approximation of nonlinear systems,” IEEE SAFEPROCESS. He is an Associate Editor of Control Engineering Practice.
Trans. Instrum. Meas., vol. 59, no. 12, pp. 3159–3167, Dec. 2010.
[25] A. Zolghadri, B. Bergeon, and M. Monsion, “A two-ellipsoid over-
lap test for on-line failure detection,” Automatica, vol. 29, no. 6,
pp. 1517–1522, Nov. 1993.

Rik Pintelon (F’98) was born in Ghent, Belgium, in


Sandra Vásquez was born in Bogotá, Colombia, in 1959. He received the Ph.D. degree in engineering
1985. She graduated in electronics engineering from from Vrije Universiteit Brussel (VUB), Brussels,
the Universidad Nacional de Colombia, Bogotá, Belgium, in 1988. In 2014, he received the D.Sc.
Colombia, in 2008. In 2015, she received the M.Sc. degree from The University of Warwick, Coven-
degree in electronics and information technology try, U.K., for publications with the collective title
engineering from Vrije Universiteit Brussel (VUB), Frequency Domain System Identification: A Mature
Brussels, Belgium, and Université Libre de Brux- Modeling Tool.
elles (ULB), Brussels. He is currently a full-time Professor in electrical
From 2009 to 2012, she was a Project Engineer engineering with the Department of Fundamental
with the heating, ventilation, and air conditioning Electricity and Instrumentation, VUB. He is the
sector and the oil industry. Since 2015, she has co-author of four books on system identification and the co-author of over
been a Ph.D. Researcher with the Department of Fundamental Electricity 200 articles in refereed international journals. His current research interests
and Instrumentation, VUB, and the Department of Control Engineering and include system identification, signal processing, and measurement techniques.
System Analysis, ULB. Her current research interests include the modeling Dr. Pintelon was a recipient of the 2012 IEEE Joseph F. Keithley Award in
of linear parameter-varying systems and the fault diagnosis in wind turbines. Instrumentation and Measurement (IEEE Technical Field Award).