Reliability Performance and Maintenance

Reliability performance and maintenance - A survey of failures in wind power systems
Master Thesis by Johan Ribrant
Master Thesis written at KTH School of Electrical Engineering, 2005/2006 Supervisor: Lina Bertling, KTH School of Electrical Engineering Assistant supervisor: Thomas Ackermann, KTH School of Electrical Engineering Examiner: Lina Bertling, KTH School of Electrical Engineering
XR-EE-EEK 2006:009
Reliability performance and maintenance a survey of failures in wind power systems
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Abstract
The wind power industry has expanded during the past few years and the growth has mainly focused on a growing market and the development of larger wind turbines. Different designs have emerged and the technical knowledge makes it possible to put wind turbines off shore. The fast expansion of the wind power market has also come with some problems. The new designs are not always fully tested, and the designed lifetime of 20 years is typically never achieved until the next generation of turbines is erected. The extreme conditions and the high loads that a wind turbine is exposed to makes the coordination of maintenance an interesting issue. How much maintenance is needed? Are there any ways of minimizing the maintenance and yet have a good availability for the wind turbine? The technical availability of wind turbines is high, around 98%, but this is due to fast and frequent service and not just because of good reliability or maintenance management. The problem area for this thesis work, performed within the RCAM group at KTH School of Electrical Engineering, is focused on the reliability for the components of the wind power system. If the most critical components for the system can be identified, it will show in what areas to focus when planning the maintenance for the system. If the condition of these critical components can be supervised, the maintenance can be planned even further. Investigations of failure statistics from four different sources reveal the reliability performance of the different components within the wind turbine. The gearbox is found to be the most critical as the downtime per failure is high in comparison to the other components in the wind power turbine. The statistical data presented also show trends of higher and even increasing failure frequency for bigger turbines compared to small turbines which have a decreasing failure rate over the operational years. Causes for failures to the gearbox are discussed and one of the major contributors to the failure is alignment. If the alignment is incorrect the wear on the gear and the bearings will be excessive and the lifetime of the gearbox will be reduced. To reduce the risk of a failure, the monitoring of the gearbox is required. One way of monitoring the performance of the gearbox is by using a condition monitoring system. A Condition Monitoring System, CMS, is a tool for telling in what condition the components in a system are. CMS are used today in many other applications but in the wind power industry the CMS is relatively new. With CMS a prediction of impending failure is given for each component, and therefore maintenance and repairs can then be better scheduled. The CMS for the gearbox primarily measures vibrations but a supervision of the oil is also necessary. The CMS used today are capable of detecting failures well in time prior to a failure and they are even able to predict which component inside the gearbox is defective. As a conclusion of this thesis work, it has been found that the gearbox is one of the most critical components when it comes to which component that influences the downtime the most. It is also shown that condition monitoring systems of today are able to supervise the gearbox adequately. The theoretical implications of using condition based maintenance together with condition monitoring systems shows great benefits and the overall conclusion is that the use of CMS is beneficial when it comes to reducing the amount of failures of the gearbox and also when it comes to scheduling the preventive maintenance.
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Sammanfattning
De senaste ren har vindkraftsindustrin expanderat och tillvxten har frmst varit inriktad mot en vxande marknad samt mot utvecklingen av strre vindturbiner. Olika typer av design har utvecklats och det tekniska kunnandet gr det nu mjligt att placera vindkraftverken till havs, offshore. Den snabba utvecklingen av vindkraften har ven bidragit med en del problem. The nya turbinerna r inte alltid fullt testade och den frvntade livslngden p 20 r r aldrig uppfylld innan nsta generation vindkraftverk r installerade. De extrema frhllandena och de hga laster som ett vindkraftverk r utsatt fr gr samordningen av underhllet till en intressant frga. Hur mycket underhll behvs? Finns det mjligheter att minimera underhllet och nd ha en god tillgnglighet fr vindkraftverket? Den tekniska tillgngligheten fr vindkraftverk r hg, omkring 98%, men detta r frmst beroende p snabbt och frekvent underhll och inte p grund av bra tillfrlitlighet eller bra underhllsplanering. Problemomrdet fr detta examensarbete, som r utfrt inom RCAM-gruppen vid KTH skolan fr Elektroteknik, fokuserar p tillfrlitligheten hos komponenter inom vindkraftsystem. Om de mest knsliga kritiska komponenterna fr systemet kan identifieras, visar detta inom vilket omrde som underhllet behver fokuseras. Om tillstndet fr dessa kritiska komponenter kan vervakas, kan det frebyggande underhllet planeras ytterligare. En underskning av felstatistik frn fyra olika kllor avsljar tillfrlitligheten hos de olika komponenterna i vindkraftverket. Vxelldan visar sig vara den mest kritiska komponenten d hindertiden vid varje fel r hg i jmfrelse med the andra komponenterna i vindkraftsystemet. De statistiska data som presenteras visar ocks p trender av hgre och kande felfrekvens fr strre turbiner jmfrt med mindre turbiner som istllet har minskande felfrekvens ver driftren. Orsaker till fel p vxelldan diskuteras och ett av de stora bidragen till fel r upprikting, dvs. att alla komponenter r injusterade mot varandra. Om uppriktningen r felaktig kommer slitaget p vxellda och lager bli mer n frvntat och livslngden p vxelldan blir frkortad. Fr att frhindra risken fr fel behvs vervakning av vxelldan. Ett stt att vervaka vxelldan r att anvnda ett tillstndsbaserat vervakningssystem, CMS (Condition Monitoring System). Ett tillstndsbaserat vervakningssystem, CMS, r ett verktyg fr att avgra i vilket tillstnd komponenterna i systemet befinner sig i. CMS anvnds idag inom flera omrden men r relativt ny inom vindkraft. CMS gr det mjligt att frutsga nr och vilken komponent som r p vg att fela och drmed kan underhllet planeras bttre. CMS fr vxelldan mter huvudsakligen vibrationer men vervakning av vxelldeoljan r minst lika viktig. De CMS som anvnds i dag r kapabla att detektera fel i god tid och de kan ven frutsga vilken komponent i vxelldan som r defekt. Sammanfattningsvis har detta examensarbete funnit att vxelldan r en av de mest kritiska komponenterna nr det gller vilken komponent som pverkar hindertiden mest. Det har ocks visats att dagens tillstndsvervakningssystem kan vervaka en vxellda. De teoretiska resonemangen av att anvnda tillstndsbaserat underhll tillsammans med dagens vervakningssystem visar p stora frdelar och den sammanfattande slutsatsen r att anvndandet av CMS r frdelaktigt nr det gller att reducera antalet hindertimmar fr vxelldor samt nr det gller att planera det frebyggande underhllet. v
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Acknowledgments
I would especially thank the following people for giving me valuable input and information: Nils-Eric Carlstedt at Swedpower AB, for letting me use the information found in their statistical database. Anders Andersson at Vattenfall AB, for giving valuable information and for the guided tour at Nsudden. Per Erik Larsson at SKF Lule, for useful information. Hannele Holtinen at VTT in Finland, for valuable information and for the translation of the incident report. The personnel at Smla, for providing information about their windfarm. And finally the colleagues at RCAM, KTH school of Electrical Engineering.
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Table of contents
Introduction .............................................................................................................................. 1 1
1.1 1.2 1.3 1.4 1.5
Background and problem discussion.......................................................................... 1

Thesis background ................................................................................................................. 1 Problem background .............................................................................................................. 2 Problem discussion ................................................................................................................ 3 Approach................................................................................................................................ 3 Thesis Overview .................................................................................................................... 4
Theory ....................................................................................................................................... 5 2
2.1 2.2 2.3
The basics of a wind power plant................................................................................ 5

Modeling of the system.......................................................................................................... 5 Choice of components............................................................................................................ 5 The components of the wind power system........................................................................... 6
3
3.1 3.2 3.3 3.4
Reliability theory ........................................................................................................ 11

Definitions ........................................................................................................................... 11 Probability distributions and their applications ................................................................... 11 The Alternating Renewal Process ........................................................................................ 13 Measurements ...................................................................................................................... 14
4
4.1 4.2 4.3 4.4
Maintenance methods ................................................................................................ 17

Corrective maintenance ....................................................................................................... 18 Preventive maintenance ....................................................................................................... 19 Comparison of maintenance methods .................................................................................. 21 Maintenance strategy ........................................................................................................... 22
Analysis ................................................................................................................................... 23 5
5.1 5.2 5.3 5.4 5.5 5.6 5.7
Survey of failures for wind power turbines ............................................................. 23

Access to statistical data ...................................................................................................... 23 Failure statistics ................................................................................................................... 25 Statistics from Sweden......................................................................................................... 26 Statistics from Finland ......................................................................................................... 37 Statistics from Germany ...................................................................................................... 43 Discussion about the reliability of the statistic data............................................................. 48 Conclusions on the findings in the statistical survey ........................................................... 49
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6.1 6.2 6.3 6.4 6.5 6.6
Overview of the Gearbox........................................................................................... 51

Gearbox design .................................................................................................................... 51 Gearbox operating conditions .............................................................................................. 53 Gearbox development .......................................................................................................... 53 Gearbox wear and failures ................................................................................................... 54 Causes for gearbox failures.................................................................................................. 55 Conclusion on gearbox failures............................................................................................ 56
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7.1 7.2 7.3 7.4 7.5
Condition Monitoring Systems ................................................................................. 57

Benefits of a Condition Monitoring System ........................................................................ 57 Insurance and CMS.............................................................................................................. 58 Condition monitoring in general .......................................................................................... 58 Condition monitoring for gearboxes .................................................................................... 59 Conclusions about condition monitoring for gearboxes ...................................................... 63
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Reliability performance and maintenance a survey of failures in wind power systems Closure..................................................................................................................................... 65 8
8.1 8.2
Conclusions and future work .................................................................................... 65

Conclusions.......................................................................................................................... 65 Future work.......................................................................................................................... 66
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9.1 9.2
References ................................................................................................................... 67
Literature.............................................................................................................................. 67 Interviews............................................................................................................................. 69
Appendix 1 Incident report from Sweden......................................................................... 70 Appendix 2 - CMS suppliers ................................................................................................. 71
Introduction 1 Background and problem discussion

In the last 20 years turbines have increased in power by a factor of 100, the cost of energy has reduced, and the industry has moved from an idealistic fringe activity to the edge of conventional power generation. - European Wind Energy Association, Wind Energy - The Facts, 2005 [4] The wind power industry has expanded during the past few years and the growth has mainly focused on a growing market and the development of larger wind turbines. Different designs have emerged and the technical knowledge makes it now possible to put wind turbines off shore. The fast expansion of the wind power market has also come with some problems. The new designs are not always fully tested, and the designed lifetime of 20 years is typically never achieved until the next generation of turbines is erected. Some manufacturing failures have been so extensive that turbine manufacturers nearly went bankrupt. Consider that a modern wind turbine operates for about 13 years in a design life of 20 and is almost always unattended. A motor vehicle, by comparison, is manned, frequently maintained and its design life of about 150,000 kilometres is equivalent to just four months of continuous operation. - European Wind Energy Association, Wind Energy - The Facts, 2005 [4] The wind turbine is in several ways a unique power generating system as the power train components are subject to highly irregular loading from turbulent wind conditions, and the number of fatigue cycles experienced by the major structural components can be far greater than for other rotating machines [4].
1.1 Thesis background

This thesis work is a part of the pre-study on reliability-centered maintenance for wind power systems with focus on condition monitoring systems [1] performed within the RCAM group at KTH, School of Electrical Engineering on behalf of Elforsk. Elforsk is an organization owned by the Swedish power industry that encourages the industry to perform joint research and development within electrical generation and distribution. The long-term goal for that research project is to identify problem areas and possible solutions for optimal maintenance management. The focus of the research project is condition monitoring systems that could support the maintenance. This thesis work will examine one of the underlying problems with the availability of the turbine and suggest a possible solution for this kind of problem.
1.2 Problem background

The extreme conditions and the high loads that a wind turbine is exposed to makes the coordination of maintenance an interesting issue. How much maintenance is needed? Are there any ways of minimizing the maintenance and yet having a good availability for the wind turbine? These are issues that are discussed today within research and development as well as within operations and maintenance for wind power plants. The reasons for the underlying problems within the wind industry were somewhat cloudy when the work with this thesis began. The technical availability of wind turbines is high, around 98%, but this is due to fast and frequent service and not just because of good reliability or maintenance management [1], [31]. It has also been known that the manufacturers seldom reveal data about their products and even more rarely do they share information about their failures, which is quite understandable. A report from Elforsk shows that in recent years the amount of damage claims has increased according to a report from a German insurance company. It is suggested that the reasons for this development are the following [2]: 1. Technical reasons o Insufficient prototype testing o Excessively fast development o Insufficient dimensioning and wrong selection of components 2. Operation and Maintenance reasons o Bad documentation o Lack of appropriate maintenance o Lack of quality control o Insufficient stocking of spare parts The suggestion that some components are not fully developed and that the maintenance is not appropriate is interesting, and motivated this work. New methods of how to predict the maintenance that is needed have evolved with the introduction of condition monitoring systems. A Condition Monitoring System, CMS, is a tool for telling in what condition the components in a system are. With this tool it is possible to predict when a component is likely to fail and therefore it is also possible to schedule its replacement in advance. Condition monitoring systems are used today in many other applications, e.g. the pulp and paper industry [30]. In the wind power industry the CMS is relatively new. In 2001 a project for examining the possibility of using a condition monitoring system was undertaken by Elforsk in cooperation with Gteborgs Energi and SKF Nova. At that time no monitoring system was available for a wind turbine and SKF Nova developed a system that was tested on a Vestas V44 turbine. [3] Today there are different condition monitoring system options available such as integrated systems sold by the manufacturer or separate systems sold by companies such as for example manufacturers of bearings. A typical owner of wind power turbines can have different turbines from different manufacturers and needs a CMS that will be functional for all of them.
Reliability performance and maintenance a survey of failures in wind power systems The effect of these different systems is not yet thoroughly researched and this paper is an effort to clarify some of the issues of condition monitoring within wind power systems.
1.3 Problem discussion

The problem area for this thesis work is focused on the reliability of the components of the wind power system. If the most critical components for the system can be identified, it will show in what areas to focus when planning the maintenance for the system. By doing an in depth study of the failures one can find out which components fail, how often they fail and if it is possible to measure the wear of the component and from this measurement decide when to perform the maintenance. The wind power systems usually have a high rate of availability but this is because of frequent maintenance [31]. Frequent maintenance however, is obviously not a good and optimal solution. Preventive maintenance at the right moment will save money for the owner of the wind power plant. Especially since some wind power plants are situated at remote sites, for example offshore. The problem discussion can be narrowed down into two major questions that will be clarified and given an answer in this thesis work. These questions are: 1. What component or components are most critical in the wind turbine when it comes to number of failures and the resulting downtime caused by these failures? 2. Is it possible to use a CMS to supervise these critical components and is CMS a suitable tool for decreasing the amount of maintenance for the wind power system?
1.4 Approach
This thesis uses a quantitative approach as well as a qualitative approach. In a pre study phase, the state-of-the-art and basic fundamentals are investigated through books and course material used in wind power courses at the School of Electrical Engineering, KTH. The main findings about the lifetime and failures of the components are based upon statistical data which is analyzed with measurements used in reliability theory. The findings are then supported by information found in articles, books and interviews related to the area of failures within wind power systems. Quantitative analysis - based on statistical data from Sweden, Finland and Germany. Qualitative analysis - based on articles, internet resources, field trips, interviews and email correspondence.
1.5 Thesis Overview

Chapter 1 - Background and problem discussion This chapter gives an overview and a presentation of this thesis work and stipulates two questions that are subject to investigation. Chapter 2 The basics of a wind power plant The fundamentals of the components used in a wind power plant are presented. Different ideas on how to solve the problem with power regulation is explained briefly. Chapter 3 Reliability theory In this chapter main concepts and measurements within reliability theory are explained. Ways of modelling the lifetime of a component are introduced along with ways of modelling the wear and repair process of a system. The findings from reliability theory are later used as a tool to extract failure rates and important key figures from the statistical data. Chapter 4 Maintenance methods This chapter deals with different strategies for repair and maintenance. Different ways of how to perform maintenance were encountered during the work within this thesis and these are explained in this chapter. The basics from reliability theory are applied and aid in explaining the differences between the strategies. The concept of condition monitoring is briefly introduced to complement these strategies. Chapter 5 Survey of failures for wind power turbines The theoretical measurements found within reliability theory are applied to statistical data from three different countries. The findings from the statistical survey are analysed and presented along with conclusions about the frequency of failure and the downtime. With the conclusions found in this chapter, the first questions for this thesis work will be answered: which component fails the most and which has the longest downtime? Chapter 6 Overview of the Gearbox The statistical survey confirms that the gearbox is one of the most critical components for the wind power turbine. This chapter explains more about the gearbox and about some design terminology related to gearboxes. Chapter 7 Condition Monitoring Systems In this chapter an explanation on how the monitoring system works is given along with a description of techniques on how to monitor the gearbox. The chapter explains what these systems are capable of and what type of measurements they perform. No advice will be given as to which of the available systems is the best one, as a more thorough investigation would be needed. Chapter 8 Conclusions and future work A summary of all the findings together with topics and ideas for future work is described.
Theory 2 The basics of a wind power plant

The function of a wind power system is to transform the kinetic energy in the wind into electric energy. This is accomplished by letting the wind energy force an aerodynamic rotor to turn. The wind energy is thus transformed into mechanical energy. The mechanical energy in the form of a slow turning rotor shaft is geared up to a high-speed shaft which is connected to a generator. Inside the generator the rotational mechanical energy is transformed into electrical energy. The electric power output is then connected to the grid. The basic function of the wind power system may sound easy but the system is still very complex. The development within wind power has been extensive in recent years and different concepts and construction designs have evolved. There has been a constant drive for higher performance and a higher power output. In addition to the complexity of the business, each manufacturer has basically chosen their own way of designing a wind turbine system. The evolution process within the wind power business has changed the features of some of the components, but the basic idea of turning wind energy into electrical energy via a generator is still the same. Many developments and improvements have taken place since the commercialization of wind technology in the early 1980s, but the basic architecture of the mainstream design is little changed. Most of the wind turbines have upwind rotors and are actively yawed to preserve alignment with wind direction. European Wind Energy Association, Wind energy, the facts, 2005 [4] The three-bladed rotor proliferates and, typically, has a separate front bearing with a low speed shaft connected to a gearbox which provides an output speed suitable for a four-pole generator [4].
2.1 Modeling of the system

The wind power system is a complex system and to do a better analysis a certain level of modeling has to be made. When modeling a complicated system, a good approach is to divide the system into smaller parts such as subsystems or components. In this case the whole plant including structure and all electrical parts up to the grid connection will be viewed as the system. The system consists of several complex parts that ought to be modeled as subsystems, but as a first approach all the subsystems are modeled as components of the main system.
2.2 Choice of components

The selection of components for the description of the main system is not just an arbitrary choice but a choice of what is useful in practice and where available data can be found. The choice of which component should be used for modeling the whole system is based on function and available information.
2.2.1
A choice based on function
When describing a wind power system, a common way is to explain the main function by dividing the system into a set of different components with different features, for example brakes, tower, rotor blades etc. The different components are manufactured differently and are easy to replace as modules in the system, hence it is convenient to view them as separate components in the system.
2.2.2
A choice based on information
The second choice for which components to be used in the modeling of the system is based on what information that is available. When statistics of failures are reported, it is inconvenient to have reports sheets with every component down to the smallest bolt, instead they are grouped according to a set of components based on their function. Failure reports from Germany, Sweden and Finland are divided into the same set of components and they are basically based on their function within the system.
2.3 The components of the wind power system

The names of the components are general and apply to almost all designs of wind turbines. The terminology used for the components comply with the same terminology used within the wind power industry. The system components described here are for a common system with the basic features. Rotor blades Wind Hub Nacelle
Wind
Tower
Foundation
Figure 1: Overview of different parts of a Wind Power Plant
2.3.1
Rotor blades and Pitch system
The wind makes the rotor blades turn, thus making the shaft inside the wind turbine turn. There are different designs of the blades but lightweight and sturdy are the basic features. The blades are generally made from glass fiber reinforced plastic. The reinforcement can also be carbon fiber or laminated wood. Some blades have advanced techniques for lightning protection built into the blade. Another feature of some blades, is heating inside the blades to be used in arctic climates. 6
The most common design is a three-bladed rotor. The two-bladed rotors are used commercially but most manufactures prefer to produce three bladed rotors. A two bladed rotor spins faster than a rotor with three blades and might appear less appealing to the eye [4]. Closely interconnected to the rotor blades is the pitch system. The objective of the pitch system is to regulate output power at high operational wind speeds. This involves turning the blades about their long axis (pitching the blades) to regulate the power extracted from the rotor. Pitch regulation changes the rotor geometry and this involves active control of the system to sense blade position, measure output power and to instruct changes of the blade pitch [4]. The pitching angle is controlled by the control system and is usually regulated by a hydraulic system but electrical motors for pitching the blades are also available. Not all wind turbines use the pitching technique; some rely on other techniques to regulate the power output. Pitch regulation also makes it possible to smoother start up the wind power turbine as wind increases. Since pitching offers a better output, these are favored among larger turbines. The thrust of the rotor on the tower and foundation is lower for pitch-regulated turbines and this allows for reduction of material and weight.
2.3.2
Hub
The hub is seldom separately defined in failure statistics but is categorized as a part of the structure. For the complete understanding of the structure of the wind power plant the hub is shown separately in Figure 1. The hub is the centered construction, which connects the blades to the main shaft. The hub is usually made out of cast iron [5]. Inside the hub is electrical and mechanical equipment for controlling the blades.
2.3.3
Structure Tower, Foundation and Nacelle
The structure consists of the tower, and the nacelle and the rotor that it carries. Generally, its better to have a high tower, as wind speeds increase further away from the ground. When examining failure statistics one finds that the component structure usually includes the foundation beneath the tower and the nacelle. The nacelle is the housing for the gears and the electric generator at the top of the tower, see Figure 1 and also Figure 2.
Drive train Gearbox Generator
Electrical system
Figure 2: View inside the nacelle
2.3.4
Drive train
The drive train basically consists of the shaft and the bearings and occasionally a clutch between the gearbox and the generator. In Figure 2 the drive train is represented by a single box, but in reality it is the interconnecting shafts between the hub, the gearbox and the generator. The shaft goes into the nacelle from the hub, where the blades are connected, and connects to the gearbox. The shaft rotates with low speed and needs to be geared up, which is done in the gearbox. On the other side of the gearbox the high-speed shaft exits into the generator. When examining the different components within the wind power system one finds many sets of bearings at different locations where there are rotating machinery. The bearing that is mentioned as a part of the drive train is present if the turbine is constructed with a main bearing. Another way of designing the turbine is by implementing the main bearing directly into the gearbox.
2.3.5
Gearbox
The gearbox transforms low-speed revolutions from the rotor to high-speed revolutions. To transform the low rotational speed of about 30 rpm to 1500 rpm, usually three stages are needed. The design of the gearbox is subject to constant changes. At the moment a common solution is to use a planetary stage gear which has a feature of being very compact. Via a high-speed shaft the gearbox is then connected to an electric generator. A high speed revolution of about 1500 rpm is a requirement for transforming rotational energy to electrical power of good frequency. Less rotational speed is needed if the generator has more pole pairs.
2.3.6
Generator
The type of generator used in the wind turbine varies, but usually it is an induction generator or a double fed induction generator, DFIG. The generator transforms the rotational energy into electrical energy. The generator is connected to the electrical system and supplies the transformed energy to the electrical system.
2.3.7
Electrical system
This is basically all equipment required to deliver and control the electrical energy that follows from the generator to the grid. The electrical energy usually has to be controlled in different ways depending on amount of active and reactive power, voltage and phase. Modern designs let the power output from the generator pass through a set of power electronic components to control the power and the frequency before supplying it to the grid. The boundary for the wind power system in this thesis work is between the electrical system and the grid.
2.3.8
Control system
The control system is made out of a main computer inside the nacelle or in the tower structure. The control unit surveys the power output, wind and wind direction and controls the settings so that the pitch and the yaw can be optimized. The control system is connected to several sensors within the wind power structure. This control system is not to be confused with condition monitoring systems. The function of the control system is only to supervise the system so that performance at the moment is optimized, the safety of the system is maintained and alarms are reported in case some sensor signal is above a set parameter limit value. In larger wind farms the control systems from different turbines are monitored by a centre of operations.
2.3.9
Sensors
In a typical turbine there are about 30 to 50 monitoring sensors; more modern turbines have more sensors, about 2000. These sensors include wind measurement equipment as well as sensors for temperature, wind direction, vibrations, revolutions, cable twist etc. The sensors are connected to the control system. If a CMS is installed in a turbine, some sensors can be shared and some need to be independent. For the most basic condition monitoring, i.e. vibration monitoring of the gearbox, only about eight measuring points are needed but modern CMS integrate measuring values from other parts of the system just like the control system, e.g. temperature, wind direction etc, hence more measuring points are needed.
2.3.10 Mechanical brakes

Mechanical brakes are essential for safety reasons. During high winds and repair it is crucial that these brakes are functional. The wind power system can utilize both aerodynamic brakes and mechanical brakes. Aerodynamic brakes are when the blades are pitched into a position where as less wind force as possible is absorbed. The mechanical brake system consists of a disc break in conjunction with the gearbox.
2.3.11 Hydraulic system

Hydraulic components are used in the turbine. Pitching, braking and yawing are features within the turbine that commonly rely on hydraulic systems.
2.3.12 Yaw system

The yaw system is the system for controlling how the tower turns, because as the wind turns the nacelle needs to adjust itself so it faces the wind properly. This system contains bearings, gearwheels, brakes and a yaw motor.
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3 Reliability theory
The main objective of a reliability study should always be to provide information as a basis for decision. - Rausand and Hoyland, 2004 [6] The results provided by a reliability study will not tell us exactly what to do, but in what direction to look. For example, a reliability study can be useful in areas of risk analysis, optimization of operations and maintenance. The risk analysis is a way of identifying causes and consequences of failure events, and the optimization is a way of telling how failures can be prevented and how to improve the availability of a system. One can see reliability theory as a tool for analysing and improving the availability of the system.
3.1 Definitions
A definition of reliability is: the ability of an item to perform its required function under given conditions for a given time interval [10]. This ability can be described in terms of probability and the probability distribution may be used to model the lifetime of a component. Examples of probability distributions is shown in chapter 3.2 and examples of measurements of reliability and availability is shown in chapter 3.4
3.2 Probability distributions and their applications

To model the lifetime of components probability distributions may be used. There are several different types of distributions suitable for different kind of applications. In this thesis only the Weibull and the exponential distribution will be considered.
3.2.1
The Weibull distribution and the exponential distribution
The Weibull distribution is a widely used life distribution in reliability analysis. The distribution is very flexible and can through an appropriate choice of parameters model many types of failure rate behaviours. [6] The Bathtub-curve can be modelled easily with three different sets of parameters respectively for the three different phases. The distribution for the useful life period is a special case of the Weibull distribution. This special case of Weibull distribution is equal to an exponential distribution. Hence for the useful life period, the exponential distribution is used.
Equation 1: The Weibull distribution
f (t ) = t 1e ( t )
for t > 0
Equation 2: The exponential distribution
f (t ) = e t
for t > 0
The use of exponential distribution for lifetimes comes with a number of important side effects.
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Reliability performance and maintenance a survey of failures in wind power systems The failure rate is constant which means that it is independent of time. [6] The exponential distribution has no memory, so an item is always viewed as good as new as long as it is functioning. [6] When estimating the reliability function, the mean time to failure and so on, it is sufficient to collect data on the number of hours of observed time operation and the number of failures. The age of the component is of no interest in this context. [6]
3.2.2
Bathtub curve and other shapes of curves
Normal mechanical failure modes degrade at a speed directly proportional to their severity. Thus, if the problem is detected early, major repairs can be prevented in most instances. - Davies, 1998 [7] According to Davies [7] one needs to find the right time for the failure to prevent major repairs, but before trying to find the time for a failure one needs to examine and learn more about the lifetime of the component. The failure rate of a component is often high in the initial phase of its lifetime. This can be explained by the fact that there may be undiscovered defects in the components [6]. When the component has survived the initial period, the failure rate stabilizes at a level where it remains for a certain time until it starts to increase again as the component begin to wear out. The shape of the curve depicting the failure rate of the component, is similar to that of a bathtub, hence the expression bathtub-curve. Figure 3 shows the bathtub curve with the three typical phases. The initial phase is called burn in period, the stable phase is called useful life period and the end phase is called wear out period. Other examples of names for these three periods are break in, operations and breakdown. This terminology varies in literature but the main concept of three different stages in the life of the component or system are still the same.
Number of failures
Burn-in period
Useful life period
Wear out period
time
Figure 3: The Bathtub curve
Figure 3 gives one example of a possible shape for the failure function. There are other failure functions with other shapes, but the bathtub curve appears as a good choice for mechanical components such as gearboxes, which later on will be studied further (see chapter 6). For the
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Reliability performance and maintenance a survey of failures in wind power systems majority of mechanical items the failure rate function will usually show a slightly increasing tendency during the useful life period, because of the wear on the mechanical components [6].
3.3 The Alternating Renewal Process

When a component fails, immediate repair is undertaken and when the repair is done, the component is put back into the system and is considered as good as new, hence the expression renewal.
status of system Failure occurs 1
as good as new
0 Wear time Repair time
time
Figure 4: Alternating Renewal process
3.3.1
Wear model
To be able to understand and to apply theoretical tools to a physical component models are used. One way of modelling the system is by setting it to one of two states: up or down, failure or no failure, see also Figure 4. We can picture the state of the system as a binary process. The statistical data used in this thesis is only based on the stages; up or down, hence only a model with two states will be used
3.3.2
Improved wear model
It is also possible to look at models with intermediate states between completely new and completely failed. In this type of model, failure is a damage accumulation process [8], see Figure 5. A good example is mechanical deterioration, where there are several states between brand new and failed. Wear is defined as the progressive loss of substance resulting from mechanical interaction between two contacting surfaces. - Davies, 1998 [7] A model with several states appears suitable for systems with monitoring equipment. The wear model with different stages of deterioration is applicable when analysing specific components where the different stages of wear have been well defined.
13
status of system Damage accumulating process 1
as good as new
0 wear time repair time
time
Figure 5: Damage accumulating process
Note: For this thesis work, no information of intermediate stages of wear is available thus the process used in the thesis is an alternating renewal process, described in Chapter 3.3.
3.3.3
Repair time
The repair time can be modelled similarly to the lifetime of operations. There is a suitable distribution for repair time, the lognormal distribution, which for example takes into account that some repairs can be made quickly while other repairs rely on spare parts that are not available at the moment. It is also common to use the exponential distribution for repair time. The repair time is of course important when detailed models of the maintenance are considered but as we will later find out it is difficult to find data concerning repair of wind power turbines and yet more difficult to find out the exact amount of time spent on repair. The information that may be available is the amount of time that the system was unavailable, but this time may consist of scheduled maintenance and stoppages caused by other events not connected to any failure. In this thesis a model of exponential distribution for repair time will be considered.
3.4 Measurements
To be able to acquire useful information about the performance of a system or component, some measurements of the reliability and availability have to be used. Later in the analysis of data form the wind power plants these measurements will be used in order to compare different components and different systems
3.4.1
Measurements of reliability performance
The reliability can be measured in many ways depending on the particular situation, for example as: Mean time to failure or number of failures per time unit or failure rate. [6] The mean time to failure, MTTF, is defined as the mean time between initial operation and the first occurrence of a failure or malfunction, as the number of measurements of such time on many pieces of identical equipment approaches infinity. When a failure has occurred the item is repaired and put back into operation and the item is then considered as fully functioning. The mean down time, MDT, is defined as the average time that the system is not functioning when a component is being repaired, and is basically the time it takes to repair a failure. The 14
Reliability performance and maintenance a survey of failures in wind power systems mean time between failures, MTBF, takes into account the mean time to failure and the mean down time. The down time is usually much shorter than the time of operations and then the two measurements can be viewed as: MTTF MTBF, see Figure 6.
Operating status Up
Down MTTF MTBF Figure 6: Measurements of reliability MDT time
3.4.2
Measurements of availability performance
The availability performance is defined as: the ability of an item to be in a state to perform a required function under given conditions at a given instant of time or during a given time interval, assuming that the required external resources are provided Maintenance terminology, SIS 2001 [10] By using the measurements of reliability performance, i.e. MTBF and MTTF, the availability for the system can be described as the portion of operational time, MTTF, over a nominal period of time, in this case MTBF, given that the time t approaches infinity. In Equation 3 the equation for such a measurement of availability is shown.
Equation 3: Availability [6]
Availability =
MTTF MTTF = MTTF + MDT MTBF
when t
The measurement of availability differs within wind power. A commonly used measurement of availability is the amount of operational time divided by the nominal time, see Equation 4. The nominal time is usually a period of one year and then the availability is presented as percentage of operational time per year. This type of definition is used in Sweden and within the WMEP research in Germany.
Equation 4: Availability [9]
Availablity =
Nom.time Downtime Nom.time
Another way of expressing the availability is to eliminate downtimes not caused by the wind power plant, such as external failures of the grid, see Equation 5. This type of definition is used in Finland.
15
Equation 5: Availability with regard to grid disturbances [16]
Availablity =
Nom.time ( Downtime Downtime caused by gridfailures) Nom.time
Note: These two different definitions of the availability have been used in the sources for the statistical data. The effect these differences have on the result is not investigated, but assumptions say that the two different definitions will not influence the result. A third option to use for availability is to not use the nominal time of one year but the actual available operational time. E.g. The available operational time is only when the wind is blowing and not when the plant has stopped due to low winds or to high winds. Unavailability is the period which the plant is not functioning. This can be scheduled downtime (maintenance) or unscheduled downtime (malfunction or failure).
16
4 Maintenance methods
Maintenance is required for almost all types of machinery and applies also to the wind power system. The type of maintenance that is performed can be defined as either preventive or corrective maintenance. Preventive maintenance is carried out at predetermined intervals or according to prescribed criteria and is intended to reduce the probability of a failure. Corrective maintenance is carried out after a failure and is intended to repair the system. [10] In other words, preventive maintenance is performed before a failure and the corrective is preformed after the failure occurs. An ideal maintenance strategy meets the requirements of machine availability and operational safety, at minimum cost. - Rao, 1996 [11] Consequently the challenge in planning the maintenance is to decide on when to perform preventive maintenance. In this chapter an explanation of three different methods for maintenance is presented; corrective maintenance and two types of preventive maintenance; scheduled maintenance and condition based maintenance, see Figure 7.
Maintenance
Preventive Maintenance
Corrective Maintenance
Condition based Maintenance
Scheduled Maintenance
Figure 7: Classification of maintenance types [6]
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4.1 Corrective maintenance

Corrective maintenance is defined as [10]: Corrective maintenance - Maintenance carried out after fault recognition and intended to put an item into a state in which it can perform a required function. This type of maintenance is often called repair and is carried out after the failure of a component. The purpose of the corrective maintenance is to bring the component back in to a functioning state as soon as possible, either by repairing or replacing the failed component. [8] To only use corrective maintenance is seldom a good solution. This means that you will run you system until a breakdown occurs and in some literature this is referred to as a breakdown strategy. [23] With a breakdown strategy the preventive maintenance is reduced to a minimum and the system will be operated until a major failure of a component occurs which will result in a shutdown of the wind turbine. This strategy is risky, since failures of relative small and dispensable components can lead to severe consequential damages. Another aspect of such a strategy is that most component failures are likely to be related to the actual load condition of the wind turbine and is also likely to happen during high load conditions. This means that the shutdown of the turbine is related to high wind periods. Downtime in such periods will lead to higher production loss. If the wind turbine is situated offshore, the accessibility is likely to be bad during high wind periods. [23] Another drawback of this strategy is that when repair is needed the downtime can be extensive since logistics gets more complicated and delivery periods for spare parts can be long. A breakdown strategy minimizes the cost for repair and maintenance during operation. With no knowledge of the consequence of a failure until it occurs makes it impossible to calculate the costs of replacements. The lifetime of the component is unpredictable and only once the component has failed can an assessment of the cost and lifetime be made. [11]
Scheduled maintenance Condition [%]
Corrective maintenance Breakdown Time
Figure 8: Corrective Maintenance compared to Scheduled Preventive Maintenance
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4.2 Preventive maintenance

Preventive maintenance is defined as [10]: Preventive maintenance Maintenance is carried out at predetermined intervals or according to prescribed criteria and intended to reduce the probability of failure or the degradation of functioning of an item. The preventive maintenance is performed regularly to postpone failures or to prevent failures from occurring. There are two different types of preventive maintenance; the scheduled maintenance and the condition based maintenance. What differs between these two are the way of deciding when to perform the preventive maintenance.
4.2.1
Scheduled maintenance
Scheduled maintenance is defined as [10]: Scheduled maintenance - Preventive maintenance carried out in accordance with an established time schedule or established number of units of use. Scheduled maintenance means that preventive maintenance is carried out in accordance with an established time schedule [10]. The time-schedule for the preventive maintenance can be either clock-based or age-based maintenance. Clock-based maintenance means that the preventive maintenance is carried out at specified calendar times and age-based maintenance means that the maintenance is carried out when a component reach a certain age. The age does not need to be calendar time, but measured in for example revolutions or operational time etc. [6] Preventive maintenance performed at scheduled intervals should be designed to reduce the probability of failures. Maintenance cycle times will be matched to the requirements of the system. The system will be inspected and maintained periodically, see Figure 8. The components that first show sign of wear and fatigue will be maintained and replaced. This type of maintenance strategy means that components exposed to wear will be replaced regularly even if they are not at the end of their lifetime. Scheduled maintenance requires regular access to the system and a big share of the costs for the maintenance will stem from the supply for cranes and maintenance personnel. Transport of personnel and spare parts to the wind farm can also be cost intensive with this preventive maintenance strategy. The advantage of preventive maintenance is that it can be scheduled ahead of time and the coordination of logistics can be made easy. [23]
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4.2.2
Condition based maintenance
Condition based maintenance is defined as [10]: Condition based maintenance Preventive maintenance based on performance and/or parameter monitoring and the subsequent actions. Performance and parameter monitoring may be scheduled on request or continuous. Condition based maintenance is a type of preventive maintenance that is based on the performance and monitoring of parameters from the system. With this type of preventive maintenance, monitoring equipment collects machine data. The condition monitoring may be scheduled, on request or continuous. The collected machine data can indicate required maintenance prior to predicted failure. Maintenance is initiated when a condition variable approaches or passes a threshold value. The system components will be operated to a defined condition of wear and fatigue. When this condition is reached, the component needs be maintained or replaced. [23] Examples of condition variables that the system monitors are vibration, temperature, number of particles in the lube oil etc. The ability to monitor the condition of components facilitates planning of maintenance prior to failure and will minimize downtime and repair costs. The components will be used closer to their lifetimes and the coordination of spare parts will be easy. Another benefit of implementing a condition based system is that trends and statistical data such as mean time to failure can be provided.[11] The statistical data from monitoring system is important for getting reliable data for remaining lifetime of components in the system. With site specific data the prediction of remaining time for the components can be more precise. Figure 9 shows an example of condition based maintenance along with corrective and scheduled maintenance.
Scheduled maintenance Condition [%]
Condition based maintenance
Corrective maintenance Breakdown Time
Figure 9: Condition based maintenance compared to scheduled and corrective maintenance
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4.3 Comparison of maintenance methods

Figure 9 shows a graphical example of possible scenarios for maintenance. The comparison shows that scheduled maintenance is performed more often than condition based maintenance. The example also shows that the lifetime of the component is not fully used in the scheduled maintenance compared to the use of corrective- or condition based maintenance. Table 1 shows some advantages and disadvantages found for the different maintenance methods when applied to wind power.
Table 1: Comparison of maintenance methods.
Method Corrective Maintenance
Advantage Low maintenance costs during operation. Components will be used for a maximum lifetime.
Preventive Maintenance Scheduled
Expected downtime is low Maintenance can be scheduled. Spare logistics is easy
Disadvantage High risk in consequential damages resulting in extensive downtimes. No maintenance scheduling is possible. Spare parts logistics is complicated. Long delivery periods for parts are likely. Components will not be used for maximum lifetime. Maintenance costs are higher compared to corrective maintenance. Reliable information about the remaining lifetime of the components is required. High effort for condition monitoring hardware and software is required. Cost of another layer in the system. Not a mature market for monitoring systems within wind power. Identification of appropriate condition threshold-values is difficult.
Preventive Maintenance Condition based
Components will be used up to almost their full lifetimes. Expected downtime is low. Maintenance activities can be scheduled. Spare part logistics is easy given that a failure can be detected early in time.
Sources: [7], [3], [23]
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4.4 Maintenance strategy

With the three methods presented a maintenance strategy can be implemented. The strategy will be a combination of preventive and corrective maintenance. The use of condition monitoring equipment makes the condition based maintenance a good option as to reduce cost related to maintenance. Logistics can be planned ahead and the lifetime of the components can be almost completely utilized. A condition monitoring programme can minimize unscheduled breakdowns of all mechanical equipment in the plant, and ensure that repaired equipment is in an acceptable mechanical condition. The programme can also identify machine train problems before they become serious. - Davies, 1998 [7] The use of condition based maintenance is relatively new within wind power and more issues of concern on condition monitoring systems will be presented in chapter 7.
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Analysis 5 Survey of failures for wind power turbines

The study of statistical data from wind power turbines is important since it gives knowledge about the reliability performance. Operational data will verify if the predicted lifetime of the system is correct and experience gained from the analysis of statistical data may result in a redesign of a component or even a change in the maintenance planning.
5.1 Access to statistical data

In the pre-study of this thesis it became evident that statistical data of failures was difficult to find. This was for several reasons, such as: no data was collected; the manufacturers of wind turbines refused to reveal data; the data are often not comparable due to different designs; some data are so expensive to access that it is simply not worth the effort, etc. These constrictions led to the following decision concerning data for the thesis: Data needs to be comparable Data needs to be within the same or similar time span Data needs to be reliable The statistical data used for this thesis work comes from four different sources, which obey these restrictions and also stems from the same region, northern Europe.
5.1.1
Sources for statistical data
In this thesis work four sources for data are used. Sources 1 and 2 stem from Sweden and partly overlap each other. A comparison of the sources can be found in Table 2: 1. Driftuppfljning av vindkraftverk, rsrapport (Wind power operations, yearly report), Sweden A early published report from Elforsk, which concerns statistical data of performance, failures and downtimes for almost all wind power plants situated in Sweden. 2. Felanalys (Failure analysis), Sweden A database of all reported failures in Sweden since 1989 maintained by Swedpower AB. The database was created in 1997 but also contains failures that occurred prior to the starting date as far back as 1989. This database is also a part of the source for Driftuppfljning av vindkraft, rsrapport but it contains more information about the failures compared to what is published in the yearly report. 3. Tuulivoiman Tuotantotilastot Vuosiraportti (Wind power production statistics yearly report), Finland A yearly published report from VTT, which concerns statistical data of performance, failures and downtimes for wind power plants situated in Finland. 4. Windenergie Report Deutschland (Wind energy report Germany), Germany A yearly published report from Institut fr Solare Energieversorgungstechnik (ISET), which concerns statistical data of performance, failures and downtimes for wind power plants situated in Germany.
23

Table 2: Statistical sources used in this thesis
Name of survey Driftuppfljning av vindkraftverk, rsrapport [9]
Felanalys [12]
Sweden Sweden Country 1997-2004 1989- oct 2005 Time span of data in survey 723* 786* 92 650 Number of turbines in survey (2005) >95% >95% ~100% 4% - 7% The data coverage of all turbines in country 1658 1658 491 4807 Accumulated number of reported failures * Note: The difference between the two sources is because during this time span 36 turbines have been dismantled or transferred to the Finnish statistics and 27 turbines were erected during 2005.
Tuulivoiman Tuotantotilastot Vuosiraportti [16] Finland 2000-2004
Windenergie Report Deutschland [26] Germany 2003-2004
5.1.2
Comparable data
It is difficult to judge if the data from the four sources are comparable since the background source material is not available. The assumption that these reports are similar is based on the observations that the report sheets used for failures are almost identical and the terminology used within these four sources is comparable. Appendix 1 presents a report sheet used for reporting failures of Swedish wind power turbines. Thirdly, another reason for assuming that these data are comparable is that the basic construction of the wind power plant is similar regardless of brand. Fourthly, the region of northern Europe where the sources for the statistical data is taken from is similar and site conditions such as weather does not affect the data from one country in any way more than the others. Finally the fifth reason for treating the data as comparable; is that all major manufacturers of wind power turbines are represented in all of the sources.
5.1.3
Time span of data
Similar time spans have been used to make a comparison between the three different countries. For the four different sources, only these time spans have been available for statistical data: Sweden, published reports for the years 1997-2004 Sweden, failure database with reports for the years 1989-2004 Finland, published reports for the years 2000-2004 Germany, published reports for the years 2003-2004
24
Reliability performance and maintenance a survey of failures in wind power systems For most of the following analysis trends for these years have been used. In cases where additional data have been found or in figures where data is presented, the time span will be noted.
5.1.4
Reliability of data
The data from the three countries are gathered mostly on a voluntary basis. In earlier years some wind power plants got funding from the government or through research projects and one of the requirements for the funding was that statistical data had to be collected. In recent years some of this funding has stopped but the measuring of statistical data continues. The failure reports that are handed in to the statistical gathering authorities whenever a failure occurs vary in quality. In some cases a professional report is filed. In other cases a layman may fill in the report and then there is a chance of misinterpretation of what actually failed. It is not possible to draw any detailed conclusion solely out of these data, but trends and major conclusions can (and will later on) be shown. The findings are analyzed further and confirmed with the aid of interviews with individuals holding expertise in the area of wind power.
5.2 Failure statistics

Operational statistics from wind power plants are regularly collected by the control unit inside the turbine. Today, most turbines are fitted with equipment that makes it possible to collect the data remotely, via modem or internet. The data from the sources that was accessible for this thesis are assembled by governmental authorities or research groups. Participants in special research programmes or companies that get subsidies are obligated to report not only performance but also the downtime and the failures of the turbines to the authorities or research groups in their respective country.
5.2.1
General procedure to restore a failure
When a failure occurs, a typical procedure for handling the failure may look like this [28], [29]; 1. A failure occurs inside the wind turbine, e.g. the gearbox fails. 2. The control unit inside the turbine registers either the failure directly or the consequence of the failure and acts according to what type of failure has occurred. In case of safety hazard or major damage, the turbine is shut down. 3. If the unit is remotely monitored an alarm is sent to the operators of the wind power plant. 4. Many alarms are not crucial and often the wind turbine can be restarted again. If the failure of the turbine is of a severe kind, a visual inspection of the turbine has to be made. This inspection can be performed by the operators or by locally authorized personnel. 5. If a major failure has occurred, maintenance and repair personnel have to be contacted to repair the damage or replace the damaged parts. When a major failure has occurred a report is filed describing which parts that was involved and possible causes and the downtime related to the failure. 6. The report is maintained and transformed into databases by the persons responsible for gathering the statistical data.
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5.2.2
The failure report sheet
The failure reports are designed with check boxes and uses similar terminology in the three investigated countries, Sweden, Finland and Germany. Appendix 1 shows an example of the Swedish report sheet.
5.3 Statistics from Sweden

The statistical data from the wind power systems in Sweden is collected by Swedpower AB which in turn performs this task on behalf of Elforsk. Every year Elforsk publishes a report on the performance of the turbines in Sweden including values of downtimes for different component failures [9]. Almost all Swedish wind turbines are connected to a system with automatic readings of turbine performance. Failure reports are not automated but are handed in as reports and are then compiled in a database. This database is handled by Swedpower AB. The database contains information about the production, downtimes as well as failure reports that dates back to 1989. The following figures present an overview of failures and downtimes for the period 20002004. The amount of installed turbines during this period has changed over the years as more turbines are installed, see Table 3.
Table 3: Total amount of installed turbines used in survey in Sweden. Year 2000 2001 2002 2003 Number of turbines in survey 527 570 620 682
2004 723
Average during 2000-2004 624,5
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5.3.1
Failure frequency
Figure 10 shows the percentage breakdown of the number of failures that occurred during the years 2000-2004. Most failures were linked to the electrical system followed by sensors and blades/pitch components. A full overview of the values for frequency of failures is shown in Table 4.
Distribution of Number of failures [%] Entire unit 2,7 Structure 1,5 Yaw System 6,7 Generator 5,5
Hub 0,3 Blades/Pitch 13,4
Hydraulics 13,3
Mechanical Brakes 1,2 Electric System 17,5 Gears 9,8
Sensors 14,1 Drive train 1,1
Control System 12,9
Figure 10: Distribution of number of failures for Swedish wind power plants between 2000-2004 Source: Felanalys, Database Swedpower AB 2005 [12]
27
5.3.2
Downtime
Figure 11 shows the distribution of downtime per component in Sweden between the years 2000 and 2004. Data for this figure is taken from the yearly published report from Elforsk. The most troublesome component is the gearboxes closely followed by the control system as well as the electric system. This means that the gearbox has the longest downtime compared to the other components. A full overview of the values for frequency of failures is shown in Table 4.
Distribution of Downtime [%] Entire unit 1,7 Hub 0,0 Structure 1,2 Yaw System 13,3 Blades/Pitch 9,4 Generator 8,9
Hydraulics 4,4 Mechanical Brakes 1,2
Electric System 14,3
Gears 19,4
Sensors 5,4 Drive train 2,4
Control System 18,3
Figure 11: Percentage of downtime per component in Sweden between 2000-2004 Source: Driftuppfljning av Vindkraftverk rsrapport 2000-2004 [9]
Table 4 also shows annual frequencies of failure and downtimes for a turbine. These calculations have taken into account that some turbines neither use hydraulics nor gearboxes. A good measurement of the severity of a failure is to consider how often a component fails and for how long the problem lasts, which is the average downtime per failure. If for example a component fails often but has a very short downtime then this does not disturb the production noticeably compared to a failure that seldom occurs but has long downtimes. The most important findings from the values in this table are that a typical turbine in Sweden has a failure 0,402 times a year and the mean downtime for each failure is 130 hours a year. The most critical components are the drive train, the gearbox and the yaw system which take 250 to 290 hours to repair
28

Table 4: Downtimes and failure frequencies for Swedish wind power plants 2000-2004 Distribution average Average Average Average Component Total Total number of downtime per downtime downtime of failures per number of number of downtime, year per failures per per year failures per component, 2000 -2004 turbine year per [h/yr] component, 2000-2004 [n] per year [%] [h/yr/turbine] turbine [n/yr] 2000-2004 [h] [n/yr/turbine] (Figure 11) Hub 50 10 0,0 0,0 4 0,8 0,001 Blades/Pitch 14743 2949 4,7 9,4 161 32,2 0,052 Generator 13906 2781 4,5 8,9 66 13,2 0,021 Electric system 22395 4479 7,2 14,3 210 42,0 0,067 Control system 28620 5724 9,2 18,3 155 31,0 0,050 Drive train 3788 758 1,2 2,4 13 2,6 0,004 Sensors 8357 1671 2,7 5,4 169 33,8 0,054 Gears 30286 6057 11,6 19,4 118 23,6 0,045 Mechanical brakes 1881 376 0,6 1,2 15 3,0 0,005 Hydraulics 6918 1384 2,6 4,4 160 32,0 0,061 Yaw system 20754 4151 6,6 13,3 80 16,0 0,026 Structure 1874 375 0,6 1,2 18 3,6 0,006 Entire unit 2631 526 0,8 1,7 33 6,6 0,011 Total 156202 31240 52,4 100,0 1202 240,4 0,402 Source: Driftuppfljning av Vindkraftverk rsrapport, 2000-2004 [9] and Felanalys - Database Swedpower AB 2005[12]
Distribution of failures, 2000 -2004 [%] (Figure 10) 0,3 13,4 5,5 17,5 12,9 1,1 14,1 9,8 1,2 13,3 6,7 1,5 2,7 100,0
Average downtime per failure, 20002004 [h/failure]
12,5 91,6 210,7 106,6 184,6 291,4 49,4 256,7 125,4 43,2 259,4 104,1 79,7 130,0
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5.3.3
Failures versus operational year
The previous survey used only covered failures for the most recent five year period. Another way of examining the data is by investigate the relationship between the amount of failures and the age of the turbine, i.e. operational year. In Figure 12 the total number of failures per operational year is shown together with the number of turbines that have survived respective operational year. Failures for turbines with up to 19 years of operation have been recorded.
Number of failures
350 300 250 200 150 100 50 0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 Operational year Number of failures Number of turbines 800 700 600 500 400 300 200 100 0 Number of turbines
Number of failures
Figure 12: Number of failures vs. operational age. Source: [12]
Since so many turbines have been installed recently, that is within the last 8 years, a recalculation of failure frequency is needed. In Figure 13, the annual failure rate per turbine versus operational year is plotted. This figure gives a better view of the development of the failures since it takes into account the population, i.e. the number of turbines within every operational year.
30
Failure rate 0,8 0,7 0,6 Annual failure rate 0,5 0,4 0,3 0,2 0,1 0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 Operational year
Figure 13: Annual failure rate per turbine vs. operational year Source: [12]
The number of failures in the first operational year is much lower than the second year. A reason for this could be that not all failures are reported during the run in period of a new turbine. The following years the failure rate is constant until about five years of operation where the failure rate seems to drop. In year 12 there is a peak and in the following years towards year 19 there seems to be an upward trend, but for these last two findings one must also consider the small amount of data and the diminishing population of turbines. The failures for year 18 and 19 constitutes of the failures from only a few surviving turbines. A breakdown of the failures and the failure rate into groups of rated power of <500kW, 500kW-1000kW and >1000kW gives a more detailed overview of how the failures distributes among the power groups, see Figure 14 and Figure 15.
31
Amount of failures per operational year

180 160 140 Number of failures 120 100 80 60 40 20 0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 operational year Rated power <500 Rated power 500<1000 Rated power >1000
Figure 14: Number of failures in respective rated power group versus operational year Source: [12]
Frequency of "failure rate" with increasing operational age

2,5
2 Annual failure rate
1,5
0,5
0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 operational year Rated power <500 Rated power 500<1000 Rated power >1000
Figure 15: Failure rate in respective rated power group versus operational year Source: [12]
In Figure 15 the trends of different power groups is shown and turbines rated below 500kW and between 500kW and 1000kW follows the same pattern of a slight increase in failures during the first three years of operation and then after five years the annual failure rate decreases. The most remarkable finding is that the turbines rated above 1000kW have a higher annual failure rate compared to smaller turbines. The second important finding is that the trend of decreasing or constant failure rate is not found for the turbines rated above 1000kW. Instead it appears as the failure rate is increasing.
32
5.3.4
Gearboxes a deeper study
Previous findings have shown that the gearbox is a troublesome component within the wind power turbine. For a typical turbine, 20 percent of the downtime is due to gearbox failures and an average gearbox failure takes about 256 hours to repair. Since the gearbox is so critical for the availability of the turbine, some more statistics concerning gearboxes in Swedish power plants is presented. In Table 5 failures for gearboxes between 1997 and 2004 is shown. This table includes all gearbox failures that have occurred since the start of the database. In some cases the failure statistics is reported and put into the database much later than the report is printed hence there might be some small deviance between the officially published report from Elforsk and the figures found in the database at Swedpower AB. These small differences can be found in the amount of hours in reported downtime but this does not affect the overall conclusion that gearboxes constitute a great part of the total downtime.
Table 5: Overview of data for gearbox failures in Sweden between 1997 and 2004 Year 1997 1998 1999 2000 2001 2002 2003 2004 19972004 232 41895 181
Number of failures [n] 21 41 52 26 30 42 13 7 Total downtime [hours] 4031 2518 5061 6172 5228 12589 3987 2309 Average downtime per 192 61 97 237 174 300 307 330 failure [hours/failure] Percentage of total 9,4 5,3 7,3 15,5 13,6 33,5 14,8 17,4 14,6 downtime [%] Source: Driftuppfljning av Vindkraftverk rsrapport 1997-2004 and Felanalys, Database Swedpower AB 2005
The most important finding from the overview shown in Table 5 is that the amount of gearbox failures for the most recent years tends to decrease while the average downtime per failure increases. The distribution of the failures according to brand is a way of finding out if some type of turbine fails more than others. In Table 6, the distribution of gearbox failures for wind turbines greater than 490kW is shown. The limit of 490kW is chosen since this includes a large group of Wind World turbines. Smaller turbines are available but since the development of turbines continue so does the power output and the smaller ones are decreasing as new ones are installed. It does not look like any type of turbine is worse than the other considering that the total amount of available data is small. Two types of turbines do stand out more than the others and it is known that one of them, Neg-Micon, has had various problems especially with the gearbox [13]. The average number of gearbox failures per turbine for turbines above 490kW is 0,18
33
Table 6: Distribution of gearbox failures for turbines with a power of more than 490kW Total number Average Total Brand Power Number of installed downtime [kW] of failures downtime turbines [h] [h] [n] (2005) [n] Bonus 600 6 654 Enercon* 500 1 31 GE Wind Energy/ EnronWind 1425 16 4519 Neg-Micon 600 5 1247 Neg-Micon 750 9 1329 Nordic 1000 1 224 Vestas 500 5 570 Vestas 600 19 7887 Vestas 660 19 7151 Vestas 850 3 370 Vestas 1500 6 5138 WindWorld 490 11 3517 WindWorld 500 6 1174 WindWorld 600 2 940 All turbines 109 34751 Source: Felanalys, Database Swedpower AB 2005 * Enercon E40 is a gearless turbine. 109 31 283 250 148 224 114 415 376 124 857 320 196 470 319 22 31 7 3 20 4 23 56 79 93 16 16 27 43 593
Average number of gearbox failures per turbine [n] 0,17 0,03 2,29 1,67 0,45 0,25 0,22 0,34 0,24 0,03 0,37 0,69 0,22 0,05 0,18
In Table 6 an Enercon E40 turbine is represented. This type of turbine is a gearless turbine and the design is different from the other turbines. Instead of the gearbox stage it utilises a direct driven synchronous ring generator. Direct drive does not have a cost or weight advantage over conventional geared systems but especially in the PMG (Permanent Magnet Generator) type of design, it constitutes a simpler power train than the gearbox/high-speed generator combination and may be more reliable.[14] The reason why this problem is reported as a gearbox problem is unknown. In the end the gearboxes are not all that different from each other. In design there might be differences, but when it comes to the basics they are similar. A gear is a toothed wheel that works with other toothed wheels to alter the relationship between the speed of the rotor and the speed of the driven parts, such as the generator. A gearbox is a set of interlocking gears in some kind of casing, usually cast iron. [15] They all have a containing case, lubricant system and wheels held in place by bearings. Table 7 shows the failed subcomponent within the gearbox for turbines with a rated power of 490kW or more. Each type of failure has a specific code assigned to it on the report form. The letter I stands for gearbox and the subsequent number is the code for what part of the gearbox that failed, e.g. I-1 is a general failure to the gearbox.
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Table 7: Type of gearbox failure Type of Component Number of Average reported failures [n] downtime [h] failure code (min-max) I-1 Bearings 41 562 (15-2067) I-2 Gearwheels 3 272 (57-383) I-3 Shaft 0 0 I-4 Sealing 8 52 (2-218) I-5 Oil system 13 26 (1-63) I-other Not 44 230 (9-1248) specified Source: Felanalys, Database Swedpower AB 2005
Number of failures, Cause: B1 [n] 36 2 0 4 5 19
Average downtime, Cause: B1 [h] 601 379 0 30 36 299
In Table 7, the last row is made up of unspecified failures. This means that they have been filed under gearbox failure but no sub component has been specified. It is possible to examine additional text added in the report and a quick glance at these reveal that about half of the unspecified gear failures correspond to serious failures that resulted in a replacement of the whole gearbox. When it comes to I-1 one failure, failures to the bearing, most of them demanded a total change of the gearbox or the bearings in the gearbox. In Table 7, the last two columns show category B1-failures. When reporting the failed component in the incident report it is also possible to put in what caused the failure. A B1 failure is a failure caused by wear. The majority of the failures to the gearbox are caused by wear and therefore they are shown here explicitly. Note: The layout of the report form has changed over the years and presently failure code I-5 appears to have been merged with failure code I-4, see Appendix 1.
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5.3.5
Summary of the statistics for Sweden
In Table 8 the most important findings from the investigations of the failure statistics in Sweden is presented.
Table 8: Summary of statistical findings for Sweden
Findings Average number of failures Average downtime Most number of failures Most amount of downtime Longest downtime per failure Important findings from the failures statistics Important findings concerning gears
Sweden 0,402 times a year
52 hours per year; 170 hours per failure 1. Electrical system 2. Sensors 3. Blades/Pitch 1. Gears 2. Control system 3. Electrical system 1. Drive train 2. Yaw system 3. Gears 1. Turbines below 1MW show similar failure rate trends, with a small increase for the first three years of operations and after five years it decreases. 2. Turbines above 1MW show an increasing failure rate over the operational years. 1. The amount of failures has decreased for the most recent years 2. The downtime for gearbox failures has increased in recent years. 3. The majority of the gearbox failures are caused by wear. 4. No link between brand of turbine and amount of gearbox failures can be proved since the amount of available data is small, but two types of turbines stand out compared to the others.
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5.4 Statistics from Finland

In Finland the data is collected by the research centre, VTT. The data is published in a yearly report that shows the development of wind power and the performance of the existing plants within Finland. In Finland there are currently 92 wind power plants, all reporting their performance to VTT.
Table 9: Amount of turbines used in survey in Finland 2000-2004 Year 2000 2001 2002 Number of turbines in survey 63 63 64 2003 74 2004 92 Average during 2000-2004 71,2
An overview given in the reports show statistics collected between 1996 and 2004 and it shows the distribution of downtime for failures in different components in the wind power plant, see Figure 16, [16]. This distribution data is taken directly from the report published in Finnish and some of the translations were made with the aid of the failure report sheet which had been translated by personnel at VTT [30].
Distribution of downtime for failures in Finland between 1996-2004 Control System 4% Break 4% Slipring 1% Rotorblades 11% Drivetrain and Hub 6% Heating 4% Nacelle 3% Yaw system 6% Hydraulics 11% Electrical System 10% Generator 4% Other 2%
Unknown 2%
Gearbox 32%
Figure 16: Distribution of downtime for failures in Finland 1996-2004 [16]
It clearly shows that the gearbox stands for about one third of the total downtime for all the Finnish wind turbines. The gearbox is known as difficult to repair and replace hence the great portion of downtime.
5.4.1
Finnish failure statistics for the years 2000-2004
In Figure 16 the data was based on values from a given pie-chart in the Finnish yearly report of wind power statistics but by using the given data of failures of specific components found in the same reports between the years 2000 until 2005 more information about the distribution of failures can be revealed. For example can frequency of failures for different components can be found as well as damages to specific subcomponents. With this information mean downtime for every component, unavailability and other key figures can be calculated.
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Figure 17 shows the distribution of downtime per component for the years 2000-2004 and the result is similar to that of the previously described results in Figure 16 for 1997-2004. The gears are responsible for a third of all the downtime for the wind power plants. During the period 2000-2004 the failures related to blades/pitch is high and one of the reasons for this is a storm which damaged the airbrake-tips of three plants and resulted in over 6000 hours of extra downtime for the year 2004.
Dis tribution of downtim e, 2000-2004 [%] Unknown 2,1 Other 2,1 Entire unit 0,0 Structure 6,5 Yaw Sys tem 6,5 Hub 0,1 Blades /Pitch 21,2
Generator 4,4 Hydraulics 11,4 Electric Sys tem 6,4 Control Sys tem 1,7 Mechanical Brakes 2,8 Gears 32,8 Drive train 0,0 Sens ors 2,0
Figure 17: Distribution of downtime for failures in Finland 2000-2004 Source: Tuulivoiman Tuotantotilastot Vuosiraportti 2000-2004
In Figure 18 the distribution of the amount of reported failures is shown. A total of 491 failures had been reported during the period 2000-2004 and most of these failures were related to the hydraulics. Blades, pitch and gears are also frequently failing according to the statistics. Any exceptional reasons for these failures have not been found, except for the earlier mentioned storm in 2004.
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Dis tribution of Num ber of failures , 2000-2004 [%]
Other 4,5 Entire unit 0,0 Structure 6,3 Yaw Sys tem 7,3
Unknown 2,4 Hub 0,6 Blades /Pitch 14,3
Generator 6,1
Electric Sys tem 7,7
Hydraulics 22,8
Control Sys tem 6,9 Drive train 0,0 Sens ors 8,4
Mechanical Brakes 3,3
Gears 9,4
Figure 18: Distribution of failure frequency in Finland, 2000-2004 Source: Tuulivoiman Tuotantotilastot Vuosiraportti 2000-2004
A table with all values and averages has been compiled see Table 10. This table shows the downtime and amount of failure for each component and at the bottom of the table the averages and totals for the wind power system is shown. For the calculation of averages per turbine a calculated value for the amount of existing erected turbines with regard to turbines without gearbox or hydraulics, i.e. Enercon turbines. A closer look at the table shows that the average wind turbine in Finland has 1,38 failures every year and the average downtime per failure is 172 hours. The downtime for maintaining the gearbox is extremely high where an average gearbox failure corresponds to about 600 hours of downtime which is more than twice as much as for the blades/pitch where an average failure takes about 256 hours to repair. The long downtime for the gearbox makes it a critical component for the Finnish wind power turbines.
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Table 10: Downtimes and failure frequency for Finnish wind power systems, 2000-2004. Total number Distribution Average Average Component Total of downtime, of failures per downtime per downtime per downtime year per turbine 2000-2004 [%] component, per year component, 2000-2004 [n] [h/yr/turbine] 2000-2004 [h] [h/yr] Hub Blades/Pitch Generator Electric system Control system Drive train Sensors Gears Mechanical brakes Hydraulics Yaw system Structure 60 17916 3686 5427 1431 0 1727 27706 12 3583 737 1085 286 0 345 5541 0,2 50,3 10,4 15,2 4,0 0,0 4,9 88,0 0,1 21,2 4,4 6,4 1,7 0,0 2,0 32,8 2,8 11,4 6,5 6,5 0,0 2,1 2,1 100,0 3 70 30 38 34 0 41 46 16 112 36 31 0 22 12 491
Average number of failures per year [n/yr] 0,6 14,0 6,0 7,6 6,8 0,0 8,2 9,2 3,2 22,4 7,2 6,2 0,0 4,4 2,4 98,2
Average number of failures per year per turbine [n/yr/turbine] 0,01 0,20 0,08 0,11 0,10 0,00 0,12 0,15 0,04 0,36 0,10 0,09 0,00 0,06 0,03 1,38
Distribution of failures, 2000-2004 [%] 0,6 14,3 6,1 7,7 6,9 0,0 8,4 9,4 3,3 22,8 7,3 6,3 0,0 4,5 2,4 100,0
Average downtime per failure, 2000-2004 [h/failure] 20 256 123 143 42 0 42 602 146 86 153 178 0 79 145 172
2330 466 6,5 9652 1930 30,6 5495 1099 15,4 5524 1105 15,5 Entire unit 0 0 0,0 Other 1739 348 4,9 Unknown 1735 347 4,9 Total 84428 16886 237,2 Source: Tuulivoiman Tuotantotilastot Vuosiraportti 2000-2004
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5.4.2
Gearboxes in Finland - more failure statistics
Since the gearbox is such an important component for the wind turbine, not just for its function but also for its availability, some more statistics concerning the gearbox will be examined. Table 11 shows the trend for the amount of downtime for gearbox failures between the years 2000 and 2004, and last in the table is also the overall percentage of downtime for gearboxes during the period 1996-2004.
Table 11: Percentage of downtime for gearbox failures in Finland Year 2000 2001 2002 Percentage of total downtime 42% 62% 28% Source: Tuulivoiman Tuotantotilastot Vuosiraportti 2000-2004 2003 0% 2004 0% 1996-2004 32%
The table of gearbox failures shows a downward trend for the percentage of failures. There are significant differences between the years 2000-2002 compared to 2003-2004. In an interview with personnel from VTT, they say that the high downtime for the years 2000 to 2002 was due to a smaller wind turbine around 300kW that took a long time to repair. They also claim that the years 2003-2004 are more normal [32]. During this period there has also been a fire in a turbine. The conclusion of this is that with the small amount of active turbines and with the exceptional failures that has occurred, one has to use caution when drawing any conclusion out of these data. The gearbox is used as a general term for a component that constitutes of different parts. An examination of the subcomponents of the gearbox and the correlated failure statistics is presented in Table 12. In the table one can see how the distribution of failures looks for the different subcomponents for the last five years. In the bottom line of Table 12 the data for all components in the wind power plant is shown for comparison.
Table 12: Overview of gearbox failures in Finland, 2000-2005 Total Component Subcomponent Total number of downtime failures per per component, component, 2000-2004 2000-2004 [n] [hours] Gearbox Gearbox 23935 35 general Wheel 2232 4 Shaft 1423 2 Sealing 116 5 Bearings 0 0 Lubrication system 0 0 Gearbox total Total: 27706 Total 46 All components Total: 84428 Total: 491 Source: Tuulivoiman Tuotantotilastot Vuosiraportti 2000-2004 Percentage of total number of failures, 2000-2004 [%] 7,1 0,8 0,4 1,0 0,0 0,0 Total: 9,4 Total: 100 Percentage of total downtime, 2000-2004 [%] 28,3 2,6 1,7 0,1 0,0 0,0 Total: 32,8 Total: 100 Average downtime per component, 2000-2004 [hours/failure] 684 558 712 23 0 0 Average:602 Average:172
Table 12 shows three interesting findings. The first one is that 35 out of 46 four gearbox failures are reported as a general gearbox failure and the affected subcomponents are seldom
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Reliability performance and maintenance a survey of failures in wind power systems reported. This could mean that the whole gearbox needed to be refitted or that all parts in the gearbox where effected. When a gearbox breaks down usually all the parts are affected and in need of some sort of maintenance. The second finding is that no bearing failure is reported. The reason for this is not investigated here but just commented as odd since in all other statistics and research the bearings seems to be the number one problem with gearbox failures [13]. The third finding is that the amount of time that it takes to repair a broken gearbox is substantial, on average it takes 602 hours to repair.
5.4.3
Summary of the statistics for Finland
In Table 13 the most important findings from the investigations of the failure statistics in Finland is presented.
Table 13: Summary of statistical findings for Finland
Finland 1,38 times a year
237 hours per year; 172 hours per failure 1. Hydraulics 2. Blades/Pitch 3. Gears 1. Gears 2. Blades/Pitch 3. Hydraulics 1. Gears 2. Blades/Pitch 3. Structure 1. The gearbox demands long downtime at failures. 2. The statistical data are not satisfactory due to many anomalies in the failures and a small population of turbines. 1. The amount of downtime for gearbox failures has decreased for the most recent years 2. Most gearbox failures are reported as general failures 3. No failures to the bearings in the gearbox have been reported
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5.5 Statistics from Germany

The statistics that has been analysed from Germany comes from the WMEP (Wissenschaftliches Mess- und EvaluierungsProgramm) which is a part of the 250MW Windproject. WMEP is a research programme where some wind turbines are followed for a period of more than ten years and some even for more than fifteen years. This research is important since there are no real good long term statistics that show what happens with the wind power plant after a long period of time. The manufacturers of wind turbines claim that there is a lifetime of a wind turbine for about twenty years but no wind power plant has yet reached that age. The drawback of this research is that during the time this measurement programme is in place, new turbines are being developed and new designs are being predominant. Good statistics for later design is therefore not available at the moment.
5.5.1
Number of failures
Figure 19 shows the distribution of failures for wind turbines within the German WMEP research program. In older models, some of the most frequent problems concern the electrical part of the wind turbine. Connecting a turbine to the grid is not as easy as it sounds because when you connect to the grid there are certain quality aspects that have to be considered. If a failure occurs the turbine is not allowed to severely disturb the grid and vice versa. This area has been researched and is still undergoing important research, but will not be analysed within this paper. The problem with the electrical components and the grid connection is now more controlled. In Figure 19 one can also notice that electrical failures, i.e. Electrical system, Sensors and Control System, represent half of the failures and the other half are due to mechanical failures [17]
Dis tribution of num ber of failures
Yaw Sys tem 8% Hydraulics 10%
Structure 4%
Hub 5% Blades /Pitch 7% Generator 4%
Mechanical Brakes 5% Gears 4% Sens ors 10% Drive train 2% Electric Sys tem 24%
Control Sys tem 17%
Figure 19: Distribution of Number of failures [27]
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5.5.2
Downtime
In Figure 20 the distribution of downtime per component failure is presented. In this figure the gearbox, the generator and the drive train stands out as components with the longest downtimes of about 6-8 days. More frequent failures such as problems with the electrical system are easily corrected and the downtime for such a problem is less than 2 days.
Distribution of dow ntime
Structure 8% Y aw System 6% Hydraulics 3%
Hub 8%
Blades/Pitch 10%
Mechanical Brakes 6% Generator 17%
Gears 15% Electric System 4%
Sensors 4% Drive train 14%
Control System 5%
Figure 20: Distribution of downtime within WMEP [27]
For Figure 19 and Figure 20 the accumulated number of failures and downtime for all the turbines during the whole research period is shown. Some turbines have been active in the WMEP programme for more than 15 years. In Table 15 data from the WMEP study have been examined and calculations of distribution of failures have been done only for the years between 2004 and 2005 and in some cases values for 2003 have been available. The amount of turbines that contributes to the data varies and Table 14 presents the number of turbines that are active for the years 2004-2005 which have been studied more deeply. The number of participating turbines in the database is more than the amount of turbines that are funded by the research program; this is because some turbine owners voluntarily submit data.
Table 14: Number of turbines in survey
Year Number of turbines funded by WMEP Number of turbines in database
2004 564
2005 403
Average 2004-2005 483,5
1080
650
865
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Table 15: Number of failures for German Wind Power plants within WMEP Component Total number of failures Average number of between 2004-2005 [n] failures per year [n/yr]
Average number of failures per year per turbine [n/yr/plant]
Distribution of failures in WMEP, 2003-2005 [%] (*)
Hub Blades/Pitch Generator Electric System Control System Drive train Sensors Gears Mechanical Brakes Hydraulics Yaw System Structure SYSTEM
10 374 89 856 450 80 273 190 169 336 220 128 3 175
5 187 44,5 428 225 40 136,5 95 84,5 168 110 64 1587,5
0,01 0,22 0,05 0,49 0,26 0,05 0,16 0,12 0,10 0,21 0,13 0,07 1,86
2,21 9,81 2,59 27,14 14,63 2,33 8,80 5,72 5,22 10,57 6,87 4,10 100,00
(*) Indicates that additional values from 2003 was available and used. Source: Windenergie report Deutschland 2004-2005
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WMEP has presented a summary of annual failure frequency and downtime and this is presented in Table 16 but these values have not considered the fact that not all turbines are fitted with gearboxes.
Table 16: Number of failures and downtimes, accumulated values for the whole research period for WMEP [27] Component Number of failures per Downtime per failure [hours] Downtime per year [n] year Hub Blades/Pitch Generator Electric System Control System Drive train Sensors Gears Mechanical Brakes Hydraulics Yaw System Structure Total/Average 0,11 0,17 0,10 0,55 0,41 0,05 0,24 0,10 0,13 0,23 0,18 0,09 Total: 2,38 85,8 99,4 179,2 36,4 45,8 137,3 35,8 153,3 64,8 28,4 64,6 79,7 Average: 62,6 9,5 17,1 17,5 20,1 18,9 7,4 8,7 15,6 8,5 6,5 11,6 7,5 Total: 149,0
The main conclusions from the German statistics are that the gears, drive train and generators are critical components for German wind power turbines. The data examined for 2004-2005 also show a lower frequency of failures indicating that the failure frequency is decreasing. A typical German turbine have 2,38 failures a year (1,86 according to calculations for 20042005) and a failure demands an average of 62,6 hours of downtime.
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5.5.3
Summary of the statistics for Germany
In Table 17 the most important findings from the investigations of the failure statistics in Germany is presented.
Table 17: Summary of statistical findings for Germany
Germany 2,38 times a year (1,86 times a year for 2004-2005)
149 hours per year; 62,6 hours per failure 1. Electrical system 2. Control system 3. Hydraulics, Sensors 1. Generators 2. Gears 3. Drive train 1. Generators 2. Gears 3. Drive train 1. The failure rate seems to decrease in recent years. 2. Half of the failures are electrical, the other half are mechanical. 1. The gearbox demands a long downtime per failure.
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5.6 Discussion about the reliability of the statistic data

During the examination of failures in Finland, Sweden and Germany questions about how the data was gathered was raised. Is the data really reliable? In interviews with the people daily working in these areas they agreed that there are some issues when it comes to reporting the failures correctly and also in the willingness to report failures. [29], [28] When failure statistics are being analyzed one has to consider several important issues: 1. When a major incident happens, for example when a fire starts in the nacelle, the consequence is severe and the repair and downtime will be significant. Therefore one cannot just look into failure incident for one year only, but one has to examine the trends within the failures for several years. 2. Secondly, there is a rapid development of new techniques and different designs within the wind power industry, thus when looking at statistics one has to know if it is relevant for the new designs. Some of the infant problems may have been eliminated or improved. So when examining the statistics one has to know that some of the data are old and that one has to evaluate the data concerning to the type of design. 3. Most countries collect the data from the wind power production in some way. Primarily it is the production and generated power that is measured and in second place comes measurements of failures and maintenance of the wind turbine. These ways of collecting the data are somewhat similar in theory but vary in practice. Different parts of the system are put in the statistical database and when later on compiled into statistics tables one usually group up problems concerning different components. The way of grouping data differs between countries. 4. Who is collecting the data? Since the type of ownership of the turbines varies throughout Europe so does also the type of expertise in collecting correct data. Some owners perform their own service and may not report in the same way as some other serviceman hired by a wind power generating company. 5. When collecting and examining data, the persons in charge usually eliminate data from research facilities and correct other data that is not showing up correctly in the statistics. It is assumed that this is done with the data that is collected and it is usually stated, but not always.
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5.7 Conclusions on the findings in the statistical survey

A comparison of the three countries is possible to some extent. One can see trends and similarities between the three different countries. A compilation of the findings in this chapter is presented in Table 18.
Table 18: Summary of statistical findings
Findings Average number of failures per turbine Average downtime per year Average downtime per failure Most number of failures
Sweden 0,402 times a year
Finland 1,38 times a year
52 hours per year 170 hours per failure 1. Electrical system 2. Sensors 3. Blades/Pitch Gears Control system Electrical system Drive train Yaw system Gears
237 hours per year 172 hours per failure 1. Hydraulics 2. Blades/Pitch 3. Gears 1. 2. 3. 1. 2. 3. Gears Blades/Pitch Hydraulics Gears Blades/Pitch Structure
Germany 2,38 times a year (1,86 times a year for 2004-2005) 149 hours per year
62,6 hours per failure 1. Electrical system 2. Control system 3. Hydraulics, Sensors 1. Generators 2. Gears 3. Drive train 1. Generators 2. Gears 3. Drive train
1. 2. 3. Longest downtime 1. per failure 2. 3.

Most amount of downtime
It is possible to say that the downtime of the failures is similar. The average downtime is less in Germany compared to Sweden and Finland and that could be explained by a better and nearer service organisation, but overall the average downtime for a failure is as high as 62172 hours, i.e. 2-7 days. According to the findings each turbine needs to be attended for repair at least once a year, i.e. 0,4-2,38 times a year. One must also consider that in this survey only the major incidents are reported and the downtime for scheduled maintenance is omitted. If the wind power is to be competitive the downtime needs to be shortened and visits to the turbine should be kept to a minimum. The gears and the drive train are the components that demand the longest downtime per failure. The reason for this is that they are big and cumbersome to replace, and replacement involves equipment such as cranes, etc. Since drive train and gearboxes seldom fails, one reason for the long downtime could be that spare parts need to be ordered which could prolong the time for repair. It is evident that the gearbox is critical to the availability of the wind turbine. A lot of failures appear and most of them are caused by wear on the mechanical parts. The statistical data found about the gearbox failures combined with the interviews and all the articles read do all support this conclusion. The fact that there are problems within gearboxes is also agreed upon by representatives from insurance companies such as Allianz in Germany, which have made
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Reliability performance and maintenance a survey of failures in wind power systems thorough studies of wind turbines [2]. Damages to the gearbox are not just a problem that can be fixed by resetting a button. Most gearbox failures will lead to the exchange of parts and even a refit of the whole gearbox. The underlying reason for this extensive wear needs to be examined further and some suggestions on what caused the wear are given later in Chapter 6.5. The wear is somewhat constant but still it is hard find out when it is time to change the gearbox since so many failures occur. If there was a way of measuring the wear, the replacement of the gearbox prior to the failure would reduce the downtime for repair. What is needed is a way of measuring the status of the gearbox.
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6 Overview of the Gearbox

The basic gearbox used in any application consists of a containing case, a lubrication system, and the gears that are held in mesh by axial and radial supporting bearings. What differs between gearboxes is among many things, the sizes, type and number of gears and bearings and also the designed load range. [11] Wind turbines are one of the most demanding applications for gearboxes, due to variable loads that are extremely difficult to predict. Current wind turbine gear boxes are much better than those made just a few years ago - C. D. Schultz (Chief Engineer at Brad Foote Gear Works), 2005 [15] The previous conclusion that the gearbox is troubled with failures is confirmed by the wind power industry and it is in the area of the gearbox that significant developments in basic design architecture are now appearing. Different configurations are appearing and it is far from clear which of the configurations that is optimum. [4] Within gearbox design there are several different ways to go and the business of gearboxes is in turn also quite complex as it involves many gear and bearing manufacturers as well. One manufacturer might even rely on several gearbox suppliers.
6.1 Gearbox design

The function of the gearbox is to change the speed of rotation of one shaft into another rotational speed for another rotating shaft. The wind turbine gearbox characteristics are typically; high torque and low speeds. In Chapter 2.3.5, the gearbox was described like this: The gearbox transforms low-speed revolutions from the rotor to high-speed revolutions. To transform the low rotational speed of about 30 rpm to 1500 rpm, usually three stages are needed. The design of the gearbox is subject to constant changes. At the moment a common solution is to use a planetary stage gear which has a feature of being very compact. Via a high-speed shaft the gearbox is then connected to an electric generator. The gears can be designed differently, for example the teeth can be straight spur gears or helical gears. Helical gears have a slightly slanted toothing. The slanted design brings more teeth into contact, giving a greater contact ratio and the sharing of the load is greater than that of spur gears. Another way of designing the gearbox is by using planetary gears. A planetary gear is a special setup where a centred sun wheel is connecting to three planetary wheels inside of a ring wheel. In this design three gearwheels are always engaged and supporting each other at the same time and the benefits is a smaller and more compact design of the gearbox. [5] These were just two examples of design choices which come with both pros and cons. Thus a complex set of design parameters and limitations make the gearbox selection process a trial. Just as gear-type selection is complicated for wind turbine gearing, so too is the choice of materials. [15] The design of gearboxes constantly changes, but to understand the terminology used for gearboxes some of the design basics will be explained.
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6.1.1
Gearbox stages
A transformation of rotation from for example 30 rpm to 1500rpm is not done in a single stage. Instead a gearbox uses several stages to stepwise alter the speed. In this case three stages would be used. The sizes of the stages differ but the ratio is usually about 1:4-1:5, so when using three stages the total ratio becomes three times the ratio for one stage. The first stage, where the rotor is connected to the gearbox, is usually referred to as the low-speed stage, the next one is the intermediate stage and the last stage is called the high speed stage. The high-speed stage is then connected to the generator.
6.1.2
Parallel stage and planetary stage
The stages used in the gearbox can be of many different configurations but what is commonly used is a combination of a planetary gear stage and a parallel gear stage. The parallel gear is simply two gearwheels situated next to each other where the rotational energy is transformed to the other gear, see Figure 21
Figure 21: Parallel gear
The planetary gear is somewhat more complex but has some advantages. The planetary gear consists of a Sun gear in the middle and three planet gear evenly placed around the Sun gear, see Figure 22. Around the planets is a Planet ring (or Planet carrier) which holds the gears in place. The Planet ring is also toothed on the inside where it carries the planet gear.
Planet Ring
Sun Gear
Planet Gear
Figure 22: Planetary gear
One of the great advantages of the planetary gear is that the construction of the gearbox can be made very compact and weight can be reduced. This is due to the fact that there are three gears in contact with the sun wheel all the time and they share the stresses and the forces. There will be a proper torque without extra linear forces which would appear in a parallel gear stage. One disadvantage with the planetary gear stage is that a more complex design makes the gearbox more vulnerable.
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6.1.3
Teeth and spurs
The gearwheels themselves have different appearances as the spurs or teeth on the gears can be designed differently. Two different types will be shown here, the straight spur and the helical spur. The straight spur is a traditional gearwheel with spurs in a straight angle from the rotational direction. The helical gear uses slanted spurs that has a longer contact area compared to a straight spur. With a greater surface area the sharing of forces will be greater and this will also reduce noise coming from the operation of the gearbox.
Figure 23: Different types of teeth. Left: straight spurs. Right: helical spurs
6.2 Gearbox operating conditions

In traditional power plants gears operate at constant speed, but gears in the state-of-the-art in wind turbines have to cope with partial load and variable speed. In addition, the gearbox torque is dynamic due to wind speed turbulence. Yet another extraordinary load comes from idling, which is characterised by heavy torque variations at low speeds and extreme loads such as generator short circuit or emergency stops in which the gearbox can be loaded with several times the rated torque. The above described characteristics of the gearbox for the wind turbine put extensive demands on lubrication of gears and bearings and the damage process is modelled with a break in period followed by the operations period and then ended with the breakdown period as depicted in the bathtub curve in Figure 3 (see Chapter 3.2.2). The operating conditions of ordinary power generating generators are characterized by high input speeds at relatively low torques. In contrast to this wind turbines are operating at very low speeds between 7 to 30 rpm and relatively high input torque. These torque levels cause highly loaded gears and bearings and produce severe stresses inside of the tribological system. Tribology is the science of surfaces in contact during motion and friction. The friction between the surfaces result in small particles falling off, also known as micro pitting. The damage process of micro pitting is like a typical wear out process, which takes place in the chronological order of break in, operation, and breakdown.
6.3 Gearbox development

Mass-produced wind turbines have been improved over the past 10 to 15 years. For the gearbox some of the improvements have been [18]: Gearboxes have been developed in relation to their ability to resist impact caused by changing speeds The gear wheels in the gearboxes now have inclined toothing to increase power transmission and reduce noise.
53
Reliability performance and maintenance a survey of failures in wind power systems The gears now have oil coolers to extend the intervals between oil changes and increase the useful lives of the gears.
6.3.1
The future for gearboxes
In the future it is likely that for larger machines, with a power of more than 3MW, an additional gearbox stage will be required. Therefore, the complexity of the gearbox may be increased beyond those currently being used or designs based on a lower generator speed (rpm) may be used to compensate for this effect. [14] Throughout the development of the modern wind turbine there have been periods when the frequency of failure of gearbox components has been above normal, acceptable levels. The gearbox is one of the more costly components and there is always a large incentive to reduce costs. [14] The cost for replacement of a gearbox is in the order of about 3 MSEK [27]. Gearboxes for use in offshore environments may be more complex and the increased complexity may lead to increased probability of failure. There are only a small number of failure modes that can be rectified on site. Therefore, to repair a failed gearbox will entail the removal of the unit from the turbine with significant cost and time implications. The above issues suggest that there is a reasonable possibility that direct drive technologies may prove more attractive than they currently appear to be in the onshore market. (Note: These assumptions are based on Germanischer Lloyds engineers' experience in due diligence and are not attributable to any specific published source. Germanischer Lloyd is a German insurance company that tests and certifies wind turbines.) [14]
6.4 Gearbox wear and failures

Gearbox wear and failure usually result form wear and failure of the primary load carrying elements such as shafts, gears and bearings. - Rao 1996, [11] As earlier mentioned the basic gearbox consists of a containing case, a lubrication system, and gears that are held in mesh by axial and radial supporting bearings. What differs between gearboxes is among many things, the sizes, type and number of gears and bearings and also the designed load range. [11] Because there are so many configurations of gearboxes, determination of health and detection of wear and failures is limited to a few basic fault symptoms common to nearly all configurations. This in turn tells us that the estimation of the condition and remaining lifetime of a gearbox is an inexact science. There is quite a distance between measuring the symptoms to coming up with a definition of a fault type and its seriousness. [11] This step is highly interconnected with the gearbox type and its operating parameters.
6.4.1
Wear process
The wear out is extensive initially during the break in period but during the operations period the wear process of the gearwheels is constant. This particular wear out process is based on research on micro pitting. The micro pitting is significantly higher in the low-stage gear and in fact hardly noticeable in the intermediate and high-speed stage. The profile shape deviation in the sun gear is between 25-42 micrometers, in the planet gear this is 14-25 micrometers and 54
Reliability performance and maintenance a survey of failures in wind power systems in the intermediate and high-speed stage the deviation is less than 1 micrometer. The deviation is a way to measure the wear of the gears according to classification in grades. The higher grade, the greater is the deviation of the profile. Gear tooth accuracy is graded according to DIN 3962. After 10 years of service time, gear tooth accuracy decreases from grade 5 (new condition) to grade 8 for the planet gear and grade 9 for the sun gear. These quality grades could cause unacceptable gearbox noise. Experience from gearboxes in hydropower states that as a rule of thumb one can observe damage to a gear at least three months prior to failure, given that the machinery is in constant operation and is undergoing normal aging. Gearboxes of wind turbines are normally designed for a lifetime of 20 years. The service strength calculation of the toothing on the gearwheels is made by internationally accepted standards, ISO 6336. In the gearbox low speed and intermediate stage appear relative slow peripheral speeds, which are at the limits of the validity range of ISO 6336. These gear toothings are often damaged by micro pitting as a result of insufficient lubrication. [19]
6.5 Causes for gearbox failures

The causes for gearbox failures are not fully examined. The reason for this is that the first generation of gearboxes was just industrial gearboxes used in other applications. These gearboxes were not practical for the dynamic loads that face a wind power turbine. After that specially designed gearboxes for wind power were developed. The development of the wind power business literally exploded and many new concepts and designs were born. In the wake of this expansion came the failures that have become evident for the last years. The cause for these failures can be many things but a few of the reasons are listed below.
6.5.1
Possible cause: Misalignment
Alignment is the key to many wind energy installations. It has an impact on virtually every component within the turbine assembly, from the tower itself all the way through to the shafts within the gearbox and the gearbox/generator coupling. Focus (SKF magazine) 2004, [20] The use of laser optical systems for the alignments of shafts has become state-of-the-art over the last few years in many businesses. The alignment of gear and generator in wind power plants present additional problems such as: [21] The mounting of the sensors is difficult due the limited space. The deformation of the nacelle plays a role in alignment. Any change in wind direction and speed will influence the alignment results. For some wind turbines the operating mode may vary and then the gear and the generator may be in different positions to one another during operations. The generator may sink over time due to aging of the vibration damper. The alignments must be done during operating states. It is possible do perform the alignment during a standstill but then there is a question if it is an optimum for a longer period or for different operating states.
55
6.5.2
Possible cause: Bearings not specified in documentation
In a report from Elforsk [2], a problem with incorrect documentation was one of the possible causes for a failure in a Vestas turbine. The type of bearings that should be used in the wind turbine was not specified and there existed no documentation of what kind of bearings that was installed in the gearbox and the generator. This is a requirement that the manufacturer should have had for its sub-supplier. [2]
6.5.3
Similar problem within hydropower
The causes of gearbox failures are not only present within wind power. The possible cause of failures has been found in other applications. A report on gearbox failures in hydro plants states similar causes of failure [22]. Most of the damages concerned the teeth of the gearwheel and the bearings. The reason for this was mainly due to misalignment during assembly, inappropriate selection of oil quality and underestimated oil filters. The same report surveyed twenty gearbox failures. 13 out of these 20 failures where related to tooth damage or bearing failure. 9 out of these 13 failures occurred during the first five years of operation. [22]
6.6 Conclusion on gearbox failures

A lot of the wear process is related to inappropriate selection and testing of part in the gearbox, the bearings used and the alignment of the components. Gears and bearings seldom break down spontaneously. Instead they are subjects to a wear process. Today there are many methods of monitoring the gearbox and the closely connected bearings. The problem that still appears to be unsolved is the exact wear process for gearboxes within wind turbines.
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7 Condition Monitoring Systems

This far in the thesis it is established that the gearbox is the component that causes long downtimes and cost a lot to repair. The previous chapter discussed more about gearboxes in general and also how the gearboxes wear down. Now it is finally time to focus on the second question that this thesis work stipulates; Is it possible to use a condition monitoring system and is it a good way of decreasing the amount of maintenance for this or these components? In other words, what is needed is more knowledge about how to monitor the gearbox and its bearings and more information to see if condition monitoring is applicable to these components.
7.1 Benefits of a Condition Monitoring System

In Chapter 4, the use of condition based maintenance was discussed. Procedures for measuring the condition of the components in the system are necessary for the use of condition based maintenance and by using a condition monitoring system which constantly oversees the system this is accomplished. The implementation of a monitoring system will lead to some new benefits because of its characteristics. These benefits are listed below in Table 19.
Table 19: Characteristics of condition monitoring systems [3]
Characteristics Early warning
Identification of problem
Continuous monitoring
Advantages Avoid breakdowns. Better planning of maintenance. Right service at the right time. Minimizing unnecessary replacements. Problems resolved before the time of guarantee expires. Constant information that the wind power system is working.
Benefits Avoid repair costs. Minimize downtime.
Prolonged lifetime. Lowered maintenance costs. Quality controlled operations during time of guarantee. Security. Less stress.
The primary characteristic of the CMS is that it can detect problems in the system at an early stage. An early warning will give the personnel in charge of the maintenance time to plan the repairs and if necessary order parts for replacement. The ability to identify the problem is useful for making the right service task at the right time and the ability to predict where the problems stem from will help in identifying which parts to replace and also possible causes for the failure.
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7.2 Insurance and CMS

Recent developments in the German wind power industry give another reason for installing a condition monitoring system. The German wind power industry has for some time been faced with a so-called revision clause by the insurance companies. This means that the insurance companies require that the complete drive train of the wind power plant has to be overhauled after 40.000 hours of operations or every fifth year at the latest. The exception to this clause is if a condition monitoring system recognized by the insurance company is installed. The leading insurance companies within wind power have created requirements for condition monitoring systems on wind power plants. The different monitoring systems are tested according to these requirements and then certified. [21] Experience show that if a bearing is replaced after a failure the cost for the repair will be greater than if it was replaced before a breakdown. [3] In connection with the expiry of the manufacturers warranty period it is important for the owner of the wind turbine to get an overview of its state of maintenance in time for him to keep the deadlines stated in the warranty conditions. The assessment of the state of maintenance of the wind turbine should be performed by an impartial expert. [18]
7.3 Condition monitoring in general

Modern type wind energy converters are based on rotational components. Therefore, measurement of vibration on component housing and structural oscillation will yield data for the calculation of the characteristics of the wind power turbine. [23] The sensors measure the acceleration at different places in the turbine. By measuring the acceleration and then integrating it once or twice one obtains the velocity and the displacement. Components that vibrate are a sign of malfunction and by simply looking at the displacement of the component the vibration can be measured. Another way of analyzing the data from the sensors is by looking at frequency spectrums. Vibration and oscillation data time series are analyzed and evaluated using spectral analysis algorithms. These algorithms are based on the Fast Fourier Transform (FFT) functions, which are common in digital data evaluation. [23] These spectrums will tell you which vibrations are caused by the ordinary rotating parts in the wind energy converter and also which vibrations are caused by potential wear or damage on the turbine, the bearings or the gears. When damage occurs to a bearing, small vibrations occur in the housing of the bearing. The frequency of the vibrations is depending on the revolution of the shaft but also on the type of bearing. If one has exact knowledge of what type bearing is used and the speed of revolution one can analyze the frequency spectrum and thereby tell what part of the bearing that has been damaged. [3] The spectrum analysis can also identify alignment problems which are claimed to be a major factor of shortening the lifetime of the turbine. The modern CMS equipment and software are now able to analyze the data and give a hint to what might cause the problem. (A potential problem is that all sites are not equal and that the system parameters have to be set accordingly. Another issue is that some analyses require an expert to establish a correct setup.)
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7.4 Condition monitoring for gearboxes

The area of Condition Monitoring Systems can be viewed as two separate fields of technology. On one hand as sensor technology and on the other hand as a diagnostic and condition monitoring technology. [11] In this thesis we will not focus on the technology of the sensors, but more on what these sensors are capable of measuring and what these measurements tell us.
7.4.1
What is possible to be measure?
When applying a condition monitoring system on the bearings and gearbox there are different parameters to examine. In Table 20, a selection of monitoring methods to use when selecting what parameters to survey is shown.
Table 20: Condition monitoring method selector [7], [11]
Component Vibration analysis Noise analysis On-line debris analysis Debris analysis On-line oil condition monitoring Oil condition analysis Water in oil detection Optical detection systems Optical alignment systems On line pressure monitoring On-line temperature monitoring Thermal imaging Stress/Strain analysis Erosion/Corrosion monitoring Performance monitoring
Bearings -
Gearbox
But just measuring the gearbox and the bearings is not sufficient. The problems with the gearbox will still be present unless some more actions are taken. Applying a condition monitoring system also includes applying new methods for maintenance planning. The output of a condition monitoring programme is data. Until action is taken to resolve the deviations or problems revealed by the programme, plants performance cannot be improved. Therefore, a management philosophy committed to plant improvement must exist before any meaningful benefit can be derived. - Davies, 1998, [7] Periodic monitoring is a prerequisite for certification and these inspections are carried out with checklists. The turbine is examined by visual inspection and for the drive train including the gearbox these are a few of the thing the inspectors look for; leakage, unusual noise, condition of the corrosive protection, greasing, pretensioning of bolts, condition of the gearing and possibly an oil sample.
59
7.4.2
Problems with similar measuring environment
Measuring data from the vibration sensors are dependent on wind speed, wind turbulence, wind directions, temperature, power output, etc. [3] In other words; the data is only useful in comparison with similar data. Hence a connection with other operational parameters needs to be done before any analyses can be done.
7.4.3
Measuring techniques
The key observables for wear and failure in gearboxes are [11]: Increasing noise and vibration. Generation of abnormal sizes and amounts of metallic debris. Increased temperature due to increased power losses within the gearbox. In other words, these are minimum amount of parameters we need to measure to have an acceptable monitoring system for the gearbox. No single surveillance technique or system is suitable to monitor all the aspects of a complex assembly; rather several techniques may have to be employed, each dedicated to a specific area, and integrated on the machine. In addition some components of the machine require monitoring online in real-time as the process proceeds while others can be satisfactorily controlled offline out of real-time and on a periodic basis. - Davies, 1998 [7] The performance monitoring is mainly aimed at using trend analysis to predict failure, but it can also be used to provide information about the location of actual or potential degradation failures. The backside of a complex data acquisition system is that it may rather cause than reduce the machinery reliability problems unless carefully designed. Since the complete understanding of component failure mechanism involved is absent as is the integration of suitable monitoring techniques. Some people claim that a single, comprehensive, condition monitoring package for use on commercial machining systems is not yet available. [7][7] The CMS will have a greater effect as soon as it monitors several sources, e.g. oil, vibration and temperature etc. [30] Current vibration diagnostics techniques do not tend to produce a one to one correlation between signal analysis and fault type, severity or even fault location. This fact leads to the need for human expert intervention in the vibration diagnostics process to assure correct fault identification and avoid false calls. Rao, 1996 [11] The corroboration of fault detection by integrating more than one detection technology serves to reduce dependence on human experts and reduce false calls and missed faults. [11] As a conclusion to what Davies [7] and Rao [11] argues it can be summarized as; too many measuring points is not good as the complexity reduces the reliability and we should not use too few either as the complexity of the analysis needs input from several sources.
60
7.4.4
Vibration monitoring
Vibration is ubiquitous. Vibration is defined as a periodic motion about an equilibrium position. Any systems which possess the inherent properties of inertia and stiffness oscillate about its equilibrium position, when perturbed by an outside force.When vibrations reach unacceptable levels, wear and tear processes are accelerated, which in turn may trigger various failure mechanisms. - Rao, 1996 [11] Vibration analysis is the dominant technique used for measuring the condition of mechanical equipment. The technique examines noise and vibrations from the machines. This technique started to develop during the 1960s and 1970s and by the early 1980s the instruments and the analytical skills required to analyse the vibration and noise were fully developed. These techniques have proven to be very reliable and accurate in detecting abnormal machine behaviour. [7]
7.4.5
Wear debris analysis
In the gearbox the gears produces small particles during the wear. The friction and the tear between the gears makes the particles come loose. These particles are called wear debris and as they come loose they mix up with the lubricating oil. By examining the wear debris one can find out about the current status of the gearbox. Wear debris analysis is undertaken in different ways but generally the particles are categorized in terms of their quantity or concentration, size, morphology and composition. The associated wear characteristics are the severity, rate, mode and source of the wear. The oil analysis can be utilized as a part of a proactive maintenance strategy, but wear debris analysis can only be used to monitor active primary wear. [7] In Figure 24, the components of a wear debris analysis shown. Samples are taken from the magnetic plug in the gearbox which collects particles and from the oil filter and also an oil sample is collected. The analysis will later show the features of the collected particles. The features are the ones described earlier, quantity, size, morphology and composition. The features in turn will form the characteristics of the wear and by examining the characteristics one might find out what part of the gearbox the wear debris stems from and possibly find out what caused the increased wear.
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Trend monitoring
On-line
measurement
Magnetic plug
Oil filter Off-line measurement and analysis Particle features
Oil sample
Quantity Severity
Size Rate
Morphology Mode
Composition Source
Wear characteristics
Figure 24: Components of wear debris analysis
Examples of typical wear debris produced by machines with rolling bearings and gear teeth, which undergo a nonconformal rollingsliding type of contact situation, are ferrous particles of varying shapes and sizes of between 10-1000m. To make any conclusion about the changes in the gearbox wear status one has to take samples from the gearbox oil. Suggestions say that samples of lubricants have to be taken from the gearbox monthly if the conditions are heavy and with high temperatures. Under normal operating conditions one can examine samples once every 2 or 3 month. [7] Oil cleanliness is essential for the health of the machine components and this is especially important for gearboxes and the bearings. If the oil is clean it reduces the wear and tear of the gears.
7.4.6
Online Oil Analysis
In applications where failure modes develop rapidly and where accessibility is limited, an online real-time oil debris monitoring may be desirable. The technology for on line detection can be broadly divided into three basic technological categories [11]: Electromagnetic sensing this technology is based upon sensing the field disturbance caused by the presence metallic particles. It should be noted that this technology is sensitive to environments associated with electromagnetic fields, such as generators. Flow or pressure drops sensing this technology uses a filter to capture debris. As the filter gets clogged, sensors can measure if the flow of the oil decreases or if the pressure drops.
62
Reliability performance and maintenance a survey of failures in wind power systems Optical debris sensing this technology have been used in offline mode for some time but with recent advances in laser optics and image processing an experimental online solution has been developed.
7.4.7
Setting the state of condition
Diagnostics equipments manufacturers prefer fault levels based upon past experience with similar gearboxes, but the decision on level of fault severity that represents failure will be uniquely defined by the particular gearbox application. The setting of limits requires diagnostic history, including tear down results, and is generally an iterative process that converges on a best economic fault threshold after several months of operation. - Rao 1996, [11] What needs to be considered as well is the total cost of the failure. For example: The problem of setting the correct levels is not just notify the operator when there is 10 hours until failure, but more a question of is it worth the cost of two man weeks of labor and the cost of replacing the bearings for this small deviation in vibration?. [11] Adequate information required to determine optimum task intervals and applicability of age limits can only be obtained from age exploration after the equipment enters service. [25] To adapt a monitoring system to be fit for wind power is a difficult application. This is due to the availability, low rpm, nothing is stable in the construction, all measuring equipment is effected by the circumstances at the time of measuring, wind, temperature, power output, direction of the wind. J. Hoflin 2006, [26] The wind turbines are subject to many irregular forces and the operating conditions vary as wind direction and weather conditions change. Hence it will be necessary to have an extensive run in period for each turbine until correct fault levels have been identified.
7.5 Conclusions about condition monitoring for gearboxes

In addition to what was mentioned in the previous conclusion about gearboxes, gears and bearings seldom break down spontaneously. Instead they are subjected to a wear process. Today there are many methods of monitoring the gearbox and the closely connected bearings. The problem that still appears to be unsolved is the exact wear process for gearboxes within wind turbines. The manufacturers of condition monitoring systems will not explicitly claim that their products can predict the lifetime of the components but they are using terms as risk of failure [30]. Therefore it is impossible to set any definitions of the different stages of the wear and consequently it is difficult to set up schedules for maintenance based on the actual condition of the gearbox. The available equipment on the market today can tell when a preset limit for the condition is reached and can warn the user of a possible failure, but what the system cannot do is to fully predict the remaining lifetime of the component. To be able to predict a lifetime close to the real one a lot of measures and comparisons with similar systems in similar environments is required. Finally looking back at the second stated question for the thesis; Is it possible to use a condition monitoring system to supervise the critical components and is CMS a suitable tool for decreasing the amount of maintenance for the wind power system? 63
The answer for the first part of this question is; yes, it is possible to use condition monitoring to measure the state of the gearbox although the definition of states is dependent on turbine and site specific conditions. For the second part of the question the answer is; yes, it is possible to use a condition based maintenance strategy with the use of condition monitoring of the gearbox. The monitoring system may not be able to predict the exact time of failure but the prediction is good enough to improve the efficiency of preventive maintenance. The predictions will aid in adjusting the maintenance closer to a condition based maintenance program compared to a preventive maintenance program, thus decreasing some of the maintenance costs.
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Closure 8 Conclusions and future work

8.1 Conclusions
In this work it has been shown that the gearbox is a critical component concerning both failure frequency and downtime for the wind power industry within three different countries. The frequency of failure is not as high compared to other components but the downtime is much longer than any of the other part of the wind turbine.
Findings Average number of failures per turbine Average downtime per year Average downtime per failure Number of gearbox failures per year Average downtime per gearbox failure Most number of failures Sweden 0,402 times a year Finland 1,38 times a year Germany 2,38 times a year (1,86 times a year for 2004-2005) 149 hours per year
52 hours per year 170 hours per failure 0,045 256,7 hours 1. Electrical system 2. Sensors 3. Blades/Pitch Gears Control system Electrical system Drive train Yaw system Gears
237 hours per year 172 hours per failure 0,15 602 hours 1. Hydraulics 2. Blades/Pitch 3. Gears 1. 2. 3. 1. 2. 3. Gears Blades/Pitch Hydraulics Gears Blades/Pitch Structure
62,6 hours per failure 0,1 153,3 hours 1. Electrical system 2. Control system 3. Hydraulics, Sensors 1. Generators 2. Gears 3. Drive train 1. Generators 2. Gears 3. Drive train
1. 2. 3. Longest downtime 1. per failure 2. 3.

Most amount of downtime
It is therefore essential to be able to quickly replace or repair this component after failure. The use of a good maintenance plan together with the possibility to predict the failure is a way of decreasing the impact of a gearbox failure. The Condition Monitoring System provides a tool for predicting failure of the gearbox. This solutions is applicable to any kind of turbine and is a good tool for predicting the condition of 65
Reliability performance and maintenance a survey of failures in wind power systems the machinery, though it cannot be emphasized enough that the use of condition monitoring also require a well functioning maintenance program. Another important finding form the thesis work is that failures within bigger wind turbines, above 1 MW, have a higher frequency of failure than smaller and older turbines. The trends of small turbines is that the frequency of failure decreases or is kept constant with age and the characteristic incline in failures that the bathtub describes have not yet been identified for these turbines where some have been active for up to 19 years. The trend for the big turbines show on an increasing rate of failure, but the amount of statistical data is yet not satisfying to fully draw that conclusion. The questions for the thesis where; 1. What component or components are most critical in the wind turbine when it comes to number of failures and the resulting downtime caused by these failures? 2. Is it possible to use a CMS to supervise these critical components and is CMS a suitable tool for decreasing the amount of maintenance for the wind power system? The answers to these questions have been found and it is clear that the gearbox is one of the most critical components when it comes to which component that affects the downtime mostly. It was also clarified that condition monitoring systems of today are able to supervise the gearbox adequately. The theoretical implications of using a condition based maintenance together with the condition monitoring systems shows on great benefits and the overall conclusion is that the use of CMS is beneficial when it comes to reducing the amount of failures to the gearbox and also when it comes to scheduling the preventive maintenance.
8.2 Future work

The area of implementing condition monitoring sensors for wind power plants is new and unexplored. There are more areas to focus on but during this research it has been identified that the use of statistical data is useful and that a thorough research on the original data source or database can reveal more than published reports which usually cannot cover all aspects. For example, the investigation of development of failures versus operational year have yielded information of a higher frequency of failures for larger turbines compared to smaller ones An interesting study would be to follow specific groups of turbines of the same brand and see how much the differences are within the group. Another study of interest is the implementation and effects of condition monitoring systems on the failure frequency and the downtime.
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9 References
9.1 Literature
[1] L. Bertling, Pre-study on reliability-centered maintenance for wind power systems with focus on condition monitoring systems, KTH school of electrical engineering, project plan for Elforsk project 2356, 2005 Elforsk informerar, Vindkraft 2/05 Drift och underhll av vindkraftverk, Elforsk, 2005 Available at: www.vindenergi.org, 06-05-02 K. Jonasson, Tillstndsvervakning av vindkraftverk Utvrdering av system utfrt av SKF Nova, Elforsk rapport 01:30, 2001 Available at: www.elforsk.se Wind Energy The facts, H. Chandler (ed.), European Wind Energy Association 2003 Available at: www.ewea.org 06-05-02 H. Stiesdal, The wind turbine components and operation, Bonus Info, newsletter special issue, Bonus Energy A/S, Brande, Denmark 1999 System Reliability Theory, M. Rausand, A. Hoyland, Hoboken: John Wiley & Sons 2004, ISBN 0-471-47133-X Handbook of condition Monitoring, A. Davies, London: Chapman & Hall 1998, ISBN 0-412-61320-4 Reliability Theory with application preventive maintenance, I. Gertsbakh, Berlin: Springer-Verlag 2000, ISBN 3450-67275-3 Driftuppfljning av Vindkraftverk, rsrapport, 1997-2004, Elforsk N.E. Carlstedt, C. Szadkowski, C. Karlstrm Elforskrapporter: 98:4, 99:6, 00:11, 01:16, 02:20, 03:12, 04:19, 05:11. Available from: www.elforsk.se Underhll terminologi - Maintenance terminology, Svensk Standard SS-EN 13306, Stockholm: SIS Frlag AB 2001 Handbook of Condition Monitoring, B. K. N. Rao (ed.), Oxford: Elsevier Science Ltd 1996, ISBN 1-85617-234-1 Felanalys, Database of failures for Swedish wind power turbines 1997-2005, used with permission from Swedpower AB. D. Robb, L. Harrison, The role of bearings in gearbox failure, Windpower Monthly, Nov 2005 Knebel, Denmark, ISSN: 109-7318 Concerted Action on Offshore Wind Energy in Europe, Duwind 2001:006, Delft University Wind Energy Research Institute, 2001
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67

[15] D Robb, Gearbox design for wind turbines improving but still face challenges, Windstat Newsletter, Issue: Summer 2005. Vol. 18. No 3, Forlaget Vistoft, Denmark Tuulivoiman Tuotantotilastot Vuosiraportti, 2000-2005, VTT, Espoo, Finland H. Holttinen, T. Lakso, M. Marjaniemi Available from: www.vtt.fi B. Hahn, M. Durstewitz, K. Rohrig, Reliability of wind turbines experiences of 15 years with 1500 WTs, Institut fr Solare Energieversorgungstechnik ISET, Kassel Germany, 2006 C. Jakobsen, H.Reymann-Carlsen, J Boogaard, A Martin Martin, N. Kragelund, B. Balschmidt, IMIAInsurance of Wind Turbines, Danish Insurance Association, IMIA-WGP5(99)E, July, 1999 J.B. Franke, R. Grzymbowski, Lifetime prediction of gear teeth regarding to micropitting in consideration of WEC operation states, Germanisher Lloyd WindEnergie GmbH, Hamburg, Germany 2004 P. Burge (ed.) SKF reliability systems Focus, issue 70, 2004, SKF (U.K) Limited, Luton (Focus is a magazine published by SKF) Telediagnose.com, the condition monitoring magazine of Prftechnik AG and Flender Services GmbH, Aligning drive trains in wind power plants, issue no. 5, Ismaning/Herne, Germany 2003 Available at: www.telediagnose.com . Grahn, P. Forsell, S. Olsson, S.Lasu, Vxlar i vattenkraft, Elforsk rapport 94:06, 1994 Available at: www.elforsk.se J. Giebhardt, P. Caselitz, ISET; J. Rouvillain, MITA Teknik, DK; T. Lyrner, Nordic Windpower, Sweden; C. Bussler, Plambeck Neue Energien; S. Gutt, Brel & Kjaer Vibro; H. Hinrichs, Overspeed; K. Gram-Hansen, Gram&Juhl, DK; N. Wolter, Deutsche Montan Technologie; G. Giebel, Ris, DK, Predictive Condition Monitoring for Offshore Wind Energy Converters with respect to the IEC61400-25 standard, DEWEK 2004, Wilhelmshaven, Germany, Available at: www.iset.uni-kassel.de/osmr/ Product specification and information concerning Vestas V90, Available from: www.vestas.com, 2005-12-16 P.J. Quinlan, Reliability centered Maintenance applied to wind park operations, Proceeding of Sixth ASME Wind Energy Symposium, Dallas, USA 1987 Windenergie report Deutschland 2004-2005, M. Durstewitz (ed.), Institut fr Solare Energieversorgungstechnik (ISET), Kassel, Germany
[16]
[17]
[18]
[19]
[20]
[21]
[22]
[23]
[24]
[25]
[26]
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9.2 Interviews
[27] Berthold Hahn, Head wind energy use, Institut fr Solare Energieversorgungstechnik (ISET), Interview April 2006 Anders Andersson, Operation Manager, Vattenfall Gotland, Interview January 2006. Nils-Eric Carlstedt, Swedpower AB, Interview November 2005 P.E. Larsson, Manager Product Development and Technical support, SKF Interview February 2006 Torben K. Hansen, Project Team Manager, Elsam Engineering Denmark Interview January 2006 Hannele Holttinen, Senior Research Scientist VTT, Interview 2005/2006 J. Hoflin, Area Export Manager, SPM Instruments AB, Interview January 2006
[28]
[29]
[30]
[31]
[32]
[33]
69
Appendix 1 Incident report from Sweden

Rapportervrd incident
(Ifylles en per incident) Anlggning: Anlggningsnr: Datum nr felet r tgrdat: Total hindertid fr denna incident: B 1 2 3 4 5 C D
1
A 1 2 3
Orsak
Vder extrem vind is ska Utrustning och material komponentfel / slitage lsa delar kontrollsystemet kortslutning felkonstruktion Oknd Annan (beskrives nedan) A 1 B 1 2 3 C 1 2 3 4 D 1 2 3 E 1 2 3 4 5
Berrd del
H 1 2 3 4 5 6 7 I 1 2 3 4 J 1 2 K 1 2 3 4 L 1 2 3 4 M 1 2 3 N Givare vindgivare vibrationsgivare temperaturgivare oljetrycksgivare effektmtare varvtalsgivare kabeltwist Vxellda lager hjul axel ttning/smrjning Mekanisk broms bromsskiva bromskloss Hydraulik hydraulpump pumpmotor ventil ledning/slang Girsystem lager motor kugghjul/bana girbroms Strukturella delar fundament torn maskinhus Hela verket
timmar
Beskrivning av incidenten:
Rotornav navkapsel Rotorblad bult skrov luftbroms Pitch mekanisk elektrisk hydraulik lager Generator lindningar motor lager El. system skring kontaktor kabel / kontakt faskompensering frekvensomriktare rotorstrmsreglering jordning Kontrollsystem kontrolldator rel kabel / kontakt Drivlina rotorlager drivaxel koppling
3
A B C Rapporten ifylles, en per incident, nr problemet r tgrdat och vindkraftverket snurrar igen. Skickas till: Vindkraftstatistik, SwedPower AB, Box 527, 16216 Stockholm
tgrd
Byte av komponent Justering / rengring Annat (beskrives nedan) F
6 7 1 2 3 G 1 2 3
70
Appendix 2 - CMS suppliers

Supplier / Name of CMS SKF / SKF WindCon System Certification Germanischer Lloyd, Allianz Germanischer Lloyd, Allianz Germanischer Lloyd, Allianz Allianz, Gothaer Allgemeine Versicherungen AG Allianz Notes No installations in Sweden.
FAG / WiPro Flender / WinTControl
Gesellschaft fr Maschinendiagnose mbH /Peakanalyzer Eickhoff Maschienfabrik GmbH / E-GOMS Bently Nevada (GE Energy) / Allianz Trendmaster Pro -Sen Mikrosystemtechnik Allianz GmbH / -Guard Brel & Kjr / Vibro IC Germanischer Lloyd Nordex / Condition Monitoring System Gram & Juhl -
Certification is restricted to certain models of Neg-Micon. Supplies vibration measuring equipment. CMS have been installed on Smla, Middelgrunden.
Prftechnik Condition Monitoring GmbH / Vibroweb XP SPMinstruments Deutshce Montan Technologie GmbH (DMT)/ WindSafe
Germanischer Lloyd Allianz Allianz Uses shock pulse measuring. Have supplied CMS for Slitevind AB, Gotland
71

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Reliability performance and maintenance - A survey of failures in wind power systems

Master Thesis by Johan Ribrant

Reliability performance and maintenance a survey of failures in wind power systems

Reliability performance and maintenance a survey of failures in wind power systems

Reliability performance and maintenance a survey of failures in wind power systems

Reliability performance and maintenance a survey of failures in wind power systems

Reliability performance and maintenance a survey of failures in wind power systems

Reliability performance and maintenance a survey of failures in wind power systems

Reliability performance and maintenance a survey of failures in wind power systems

Reliability performance and maintenance a survey of failures in wind power systems

Background and problem discussion.......................................................................... 1

The basics of a wind power plant................................................................................ 5

Reliability theory ........................................................................................................ 11

Maintenance methods ................................................................................................ 17

Survey of failures for wind power turbines ............................................................. 23

Overview of the Gearbox........................................................................................... 51

Condition Monitoring Systems ................................................................................. 57

Conclusions and future work .................................................................................... 65

Appendix 1 Incident report from Sweden......................................................................... 70 Appendix 2 - CMS suppliers ................................................................................................. 71

Reliability performance and maintenance a survey of failures in wind power systems

Introduction 1 Background and problem discussion

1.1 Thesis background

Reliability performance and maintenance a survey of failures in wind power systems

1.2 Problem background

1.3 Problem discussion

Reliability performance and maintenance a survey of failures in wind power systems

1.5 Thesis Overview

Reliability performance and maintenance a survey of failures in wind power systems

Theory 2 The basics of a wind power plant

2.1 Modeling of the system

2.2 Choice of components

Reliability performance and maintenance a survey of failures in wind power systems

A choice based on function

A choice based on information

2.3 The components of the wind power system

Figure 1: Overview of different parts of a Wind Power Plant

Rotor blades and Pitch system

Reliability performance and maintenance a survey of failures in wind power systems

Structure Tower, Foundation and Nacelle

Reliability performance and maintenance a survey of failures in wind power systems

Drive train Gearbox Generator

Figure 2: View inside the nacelle

Reliability performance and maintenance a survey of failures in wind power systems

2.3.10 Mechanical brakes

2.3.11 Hydraulic system

Reliability performance and maintenance a survey of failures in wind power systems

2.3.12 Yaw system

Reliability performance and maintenance a survey of failures in wind power systems

3.2 Probability distributions and their applications

The Weibull distribution and the exponential distribution

Equation 2: The exponential distribution

Bathtub curve and other shapes of curves

Useful life period

Wear out period

Figure 3: The Bathtub curve

3.3 The Alternating Renewal Process

0 Wear time Repair time

Figure 4: Alternating Renewal process

Improved wear model

Reliability performance and maintenance a survey of failures in wind power systems

status of system Damage accumulating process 1

0 wear time repair time

Figure 5: Damage accumulating process