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Fig. 4. Input motor currents during open-circuit fault at H-bridge 1. (a) Switch B. Feature Extraction System
SA+ . (b) Switch SB+ .
Simulated and experimental output voltages of an MLID
output voltage: The output voltage for a particular switch is are illustrated in Figs. 57. As can be seen, the signals
zero if the switch has a short-circuit fault, whereas the output are difficult to rate as an important characteristic for classi-
voltage is about Vdc of SDCS if the switch has an open-circuit fying a fault hypothesis, and they have high correlation with
fault. For this reason, the output phase voltage can convey each other; hence, a signal transformation technique is needed.
valuable information to diagnose the faults and their locations. The comparison of signal transformation suitable to training
The simulation results of output voltages are shown for an an NN for fault diagnosis tools is elucidated in [18]. The
MLID with open-circuit faults and short-circuit faults in Fig. 5. fault diagnosis system for an MLID using FFT and NN are
One can see that all fault features in both open-circuit and proposed in [19]. The proposed technique has a good clas-
short-circuit cases could be visually distinguished. In addition, sification performance to classify normal and abnormal fea-
experimental results of output voltage signals of open-circuit tures. However, many neurons are used to train the network
faults in each location of a two-SDCS MLID, as shown in (i.e., one neuron for each harmonic); therefore, the principal
KHOMFOI AND TOLBERT: FAULT DIAGNOSIS AND RECONFIGURATION FOR MLID USING AI-BASED TECHNIQUES 2957
Fig. 5. Simulation of output voltage signals showing fault features at SA+ , SA , SB+ , and SB of H-bridge 2 with modulation index = 0.8 out of 1.0.
(a) Open-circuit faults. (b) Short-circuit faults.
component analysis (PCA) can be used to reduce the number where T is the m k score matrix (transformed data): m =
of input neurons as illustrated in Fig. 9. PCA is a method number of observations, k = dimensionality of the PC space;
used to reduce the dimensionality of an input space without X is the m n data matrix: m = number of observations, n =
losing a significant amount of information (variability) [20]. dimensionality of original space; and P is the n k loadings
The method also makes the transformed vectors orthogonal and matrix (PC coordinates): n = dimensionality of original space,
uncorrelated. A lower dimensional input space will also usually k = number of the PCs kept in the model. The original data
reduce the time necessary to train an NN, and the reduced matrix X of n variables (harmonic orders) and m observations
noise [by keeping only valuable principal components (PCs)] (different modulation indexes of output voltage of MLID)
may improve the mapping performance. The comparison in is transformed to a new set of orthogonal PCs, i.e., T, of
classification performance between the network proposed in equivalent dimension m k, as represented in the following
[18] and the PC-NN is discussed in [21]. The results show that expression:
the PC-NN has a better overall classification performance by
5% points; consequently, the PC-NN is utilized to perform the t11 t12 t1k x11 x12 x1n
t21 t22 t2k x21 x22 x2n
fault classification in this paper. . .. .. .. = . .. .. ..
1) PCA: Basically, PCA is a statistical technique used to .. . . . .. . . .
transform a set of correlated variables to a new lower dimen- tm1 tm2 tmk xm1 xm2 xmn
sional set of variables, which are uncorrelated or orthogonal
p11 p12 p1k
with each other. A distinguished introduction and application p21 p22 p2k
of PCA has been provided in [22]. The discussion of PCA pre-
... .. .. ..
sented in this section will be brief, providing only indispensable . . .
equations to elucidate the fundamental PCA approach applied pn1 pn2 pnk
to a fault diagnosis system in MLID. The fundamental PCA (m k) = (m n) (n k). (2)
used in a linear transformation is illustrated as follows:
The transformation is performed such that the direction of the
T=XP (1) first PC is identified to capture the maximum variation of the
2958 IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 54, NO. 6, DECEMBER 2007
Fig. 6. Experiment of open-circuit fault of H-bridge 1 with modulation index = 0.8 out of 1.0. (a) Normal. (b) SA+ fault. (c) SA fault. (d) SB+ fault.
(e) SB fault.
Fig. 7. Experiment of open-circuit fault of H-bridge 2 with modulation index = 0.8 out of 1.0. (a) SA+ fault. (b) SA fault. (c) SB+ fault. (d) SB fault.
KHOMFOI AND TOLBERT: FAULT DIAGNOSIS AND RECONFIGURATION FOR MLID USING AI-BASED TECHNIQUES 2959
(1 k) = (1 n) (n k). (3)
where y is the output target binary codes, yi is the output
The objective of PC selection is not only to reduce the di- of the training data, and n is the number of training data.
mension structure but also to keep the valuable components. The minimum SSE should provide the best combination of
Normally, high variance components could contain related input PCs. More details in the GA parameter setup by using
information, whereas small variance components that are not MATLAB have been explained in [24].
retained are expected to contain unrelated information; for The fitness function is divided into two parts as follows:
instance, measurement noise. It should be noted that the high 1) SSE of the simulation set and 2) SSE of the experimental
variance components may not contain the useful information test set. In this paper, we weigh the experimental test set higher
for a classification problem. than the simulation test set because we only use the normal
and fault data from the simulation to train the NNs. In addition,
2) PC Selection: The selection of PCs is significant because the classification performance as presented in [19][21] shows
input selected PCs can cause the following uncertainty results: that the NNs have higher classification performance in the
2960 IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 54, NO. 6, DECEMBER 2007
TABLE I
CONFUSION TABLE FOR NEURAL NETWORK CLASSIFICATION PERFORMANCE
simulation test set than the experimental test set. The networks same data set. The first NN architecture [19] has one hidden
in [19] and [21] have a misclassification of one out of five fault layer with 40 input nodes, four hidden nodes, and three output
classes in the simulation test set; therefore, in this particular nodes. The second NN architecture (PC-NN) [21] has one
case, weighted factors of 0.2 and 0.8 are used for the simulation hidden layer with five input nodes, three hidden nodes, and
test set and the experimental test set, respectively: three output nodes. The third NN architecture (PC-GA-NN)
[24] is based on the GA selection, as previously discussed,
f = 0.2 SSESim,set + 0.8 SSEExp,set . (5) because the input neurons depend on how many PCs were
selected by GA. However, the hidden layer with three hidden
nodes and three output nodes is used since the comparison
C. NN Classication
among proposed NNs will be performed so that the NNs should
The multilayer feedforward networks are used in this paper. have the same complexity and degree of freedom. The first
The NN architecture designs have been proposed in [19] and network requires more neurons because the network has more
will not be repeated here. As a comparison among transfor- input neurons. The sigmoid activation function is used: tansig
mation methods, FFT [19], PCA [21], and GA-PCA [24] will for hidden nodes and logsig for an output node. A logsig
be performed, and three different NN architectures are used. activation function is used for an output node because the
The original data from the feature extraction system (FFT) target output is between 0 and 1. It should be noted that the
that are used to train and test the networks are exactly the number of nodes for the input and output layers depends on
KHOMFOI AND TOLBERT: FAULT DIAGNOSIS AND RECONFIGURATION FOR MLID USING AI-BASED TECHNIQUES 2961
TABLE II
GATE DRIVE SIGNALS OF CORRECTIVE ACTION TAKEN
the specific application. The selection of number and dimen- indexes of 0.65, 0.75, 0.85, and 0.95. Second, the test set is
sion in the hidden layer is based on NN accuracy in prelimi- measured from experiment at different modulation indexes of
nary tests. 0.7, 0.8, 0.9, and 1.
The training data set should also cover the operating region, The performance of the proposed networks is tested in two
thus the training set is generated from simulation with various categories. First, the networks are tested with the simulation
operation points (different modulation indexes such as 0.6, 0.7, test sets as previously mentioned. Second, the networks are
0.8, 0.9, and 1). The testing sets have two different sources: evaluated with the experimental test set. The tested results along
first, the test set is generated from simulation with modulation with the testing data sets are illustrated in Table I.
2962 IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 54, NO. 6, DECEMBER 2007
Fig. 12. Reconfiguration diagram for MLID with five SDCS. (a) Reconfiguration diagram. (b) H-bridge 2 switch S1 open-circuit fault at the second level of the
single-phase multilevel inverter with five SDCS.
Fig. 15. Fault diagnostic system interfaced with PSIM performing power circuit of an MLID.
may be misclassified (an actual short-circuit fault at SA+ is suppose cell 2 has an open-circuit fault at S1 , while the MLID
misclassified as an open-circuit fault at SA or vice versa), the operates at ma = 0.8/1.0 [MLID is operated with four cells
corrective action taken would still solve the problem. (cells 14)]. We can see from Fig. 12(b) that S3 and S4 need to
be turned on, then the gate signal of cell 2 will be shifted up to
control cell 3, then the gate signal of cell 3 will shift to cell 4,
B. Reconguration Method
and the gate signal of cell 4 will shift to cell 5, respectively.
The reconfiguration diagram for an 11-level MLID with five This reconfiguration also applies to other phases of MLID
SDCS is illustrated in Fig. 12. The turn-on intervals of each in order to maintain a balanced output voltage. By using this
cell are not equal with the multilevel carrier-based sinusoidal method, the operation of MLID in a modulation index range
PWM: cell 1 has the longest turn-on interval, then the turn-on of 0.0 to 0.8 (out of 1) can be fully compensated such that the
interval decreases from cell 2 to cell 5 as a staircase PWM inverter will continue to function as in a normal operation; how-
waveform. The desired output voltage of an MLID can be ever, if MLID operates at ma > 0.8 and has a fault, lower order
achieved by controlling the modulation index ma . For instance, harmonics will occur in the output voltage since the MLID will
2964 IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 54, NO. 6, DECEMBER 2007
Fig. 18. Results of the open-circuit fault at cell 2 S1 of the MLID that is operated at ma = 0.8/1.0. (a) Simulation of current waveforms. (b) Experiment
showing the line current Ia in the faulty phase.
Fig. 20. Simulation results of the short-circuit fault at cell 3 S1 of the MLID that is operated at ma = 0.8/1.0.
Fig. 21. Results of the short-circuit fault at cell 3 S1 under loss of SDCS condition at the faulty cell of the MLID that is operated at ma = 0.8/1.0.
(a) Simulation. (b) Experiment showing the line current Ia in the faulty phase.
KHOMFOI AND TOLBERT: FAULT DIAGNOSIS AND RECONFIGURATION FOR MLID USING AI-BASED TECHNIQUES 2967
voltage will be zero. This behavior of output phase voltage [4] D. Kastha and B. K. Bose, On-line search based pulsating torque
signals should also be taken into account for training the NN. compensation of a fault mode single-phase variable frequency induc-
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The proposed diagnostic system can also detect a short fault Jul./Aug. 1995.
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Fig. 21. The clearing time for this particular case is about nine source inverter fault diagnosis in variable speed AC drives by Parks vector
approach, in Proc. IEE 7th Int. Conf. Power Electron. Variable Speed
cycles. In addition, the NN can detect which cell has a fault Drives, 1998, pp. 538543.
and whether the switch was connected to the positive bus (S1 [6] K. Rothenhagen and F. W. Fuchs, Performance of diagnosis methods
or S2 ) or the negative bus (S3 or S4 ). However, the NN could for IGBT open circuit faults in three phase voltage source inverters for
AC variable speed drives, in Proc. Eur. Conf. Power Electron. Appl.,
not determine which specific switch (S1 or S2 ) or (S3 or S4 ) Dresden, Germany, 2005, pp. P.1P.10.
had failed. Nevertheless, the proposed corrective action taken [7] D. Diallo, M. H. Benbouzid, D. Hamad, and X. Pierre, Fault detec-
would still solve this problem. tion and diagnosis in an induction machine drive: A pattern recognition
approach based on concordia stator mean current vector, IEEE Trans.
The clearing time of the short-circuit fault under loss of Energy Convers., vol. 20, no. 3, pp. 512519, Sep. 2005.
SDCS at faulty cell condition is longer than the open-circuit and [8] B. A. Welchko, T. A. Lipo, T. M. Jahns, and S. E. Schulz, Fault tolerant
short-circuit faults by about three cycles. This result suggests three-phase AC motor drive topologies: A comparison of features, cost,
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that using only output voltage signals in the loss of SDCS case Jul. 2004.
may not adequately provide a unique feature to detect the faults. [9] P. Vas, Articial-Intelligence-Based Electrical Machines and Drives.
Therefore, the current signals may be required to additionally New York: Oxford Univ. Press, 1999.
[10] F. Filippetti, G. Franceschini, C. Tassoni, and P. Vas, Recent develop-
train the NN because Fig. 4 shows that the current polarity of ments of induction motor drives fault diagnosis using AI techniques,
the faulty cell can be used to classify the faults as occurring IEEE Trans. Power Electron., vol. 19, no. 4, pp. 11081116, Jul. 2004.
either at the positive or the negative dc bus. [11] A. Bernieri, M. DApuzzo, L. Sansone, and M. Savastano, A neural net-
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than this if the proposed system is implemented as a single [12] S. Hayashi, T. Asakura, and S. Zhang, Study of machine fault diagnosis
chip using a field-programmable gate array or digital signal using neural networks, in Proc. IJCNN, 2002, vol. 1, pp. 956961.
[13] S. Zhang, T. Asakura, X. Xu, and B. Xu, Fault diagnosis system for rotary
processor. The Opal-RT system needs a few cycles to load the machines based on fuzzy neural networks, in Proc. IEEE/ASME AIM,
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report in the near future. However, if the cascaded MLID can [16] X. Kou, K. A. Corzine, and Y. L. Familiant, A unique fault-tolerant
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2968 IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 54, NO. 6, DECEMBER 2007
Surin Khomfoi (S03M07) received the B.Eng. Leon M. Tolbert (S89M91SM98) received the
and M.Eng. degrees in electrical engineering B.E.E., M.S., and Ph.D. degrees in electrical en-
from King Mongkuts Institute of Technology gineering from Georgia Institute of Technology,
Ladkrabang, Bangkok, Thailand, in 1996 and 2000, Atlanta, in 1989, 1991, and 1999, respectively.
respectively, and the Ph.D. degree in electrical He joined the Engineering Division, Lockheed
and computer engineering from the University of Martin Energy Systems in 1991 and worked on
Tennessee, Knoxville, in 2007. several electrical distribution projects at the three
From 1996 to 1997, he was with the Engineer- U.S. Department of Energy plants in Oak Ridge, TN.
ing Division, Telephone Organization of Thailand In 1997, he became a Research Engineer with the
(TOT). Since December 1997, he has been a Lec- Power Electronics and Electric Machinery Research
turer with the Department of Electrical Engineering, Center, Oak Ridge National Laboratory. In 1999, he
Faculty of Engineering, King Mongkuts Institute of Technology Ladkrabang. was appointed as an Assistant Professor with the Department of Electrical
His research interests include multilevel power converters, ac drives, diagnostic and Computer Engineering, University of Tennessee, Knoxville, where he is
system, fault diagnosis, and in particular artificial intelligence-based techniques currently an Associate Professor. He is an adjunct participant at the Oak Ridge
applied to power electronics and drive applications. National Laboratory and conducts joint research at the National Transportation
Dr. Khomfoi is a member of the Eta Kappa Nu Honor Society. He was a Research Center. His research interest is focused on the areas of electric power
recipient of academic scholarship awards, including the full academic schol- conversion for distributed energy sources, motor drives, multilevel converters,
arship for his B.Eng. degree from TOT and the full academic scholarships for hybrid electric vehicles, and application of SiC power electronics.
his M.Eng. and Ph.D. degrees from the Energy Policy and Planning Office, Dr. Tolbert is a Registered Professional Engineer in the State of Tennessee.
Thailand. He has been the Chairman of the Education Activities Committee of the IEEE
Power Electronics Society since 2003. He was an Associate Editor for the IEEE
POWER ELECTRONICS LETTERS from 2003 to 2006. He was the recipient of
a National Science Foundation CAREER Award and the 2001 IEEE Industry
Applications Society Outstanding Young Member Award.