Control Eng. Practice. Vol. 5, No. 5, pp.

709-719, 1997

Pergamon PII:S0967-0661 (97)00053-1

Copyright @ 1997 Elsevier Science Ltd Printed in Great Britain. All fights reserved 0967-0661/97 $17.00 + 0.00

TRENDS IN THE APPLICATION OF MODEL-BASED FAULT DETECTION AND DIAGNOSIS OF TECHNICAL PROCESSES
R. Isermann and P. Ball6
Institute of Automatic Control, laboratory of Control Engineering and Process Automation, Darmstadt University of Technology, Landgraf-Georg.Str.4, D-64283 Darmstadt, Germany

(Received November 1996; in final form March 1997)

After a short overview of the historical development of model-based fault detection, some proposals for the terminology in the field of supervision, fault detection and diagnosis are stated, based on the work within the IFAC SAFEPROCESS Technical Committee. Some basic fault-detection and diagnosis methods are briefly considered. Then, an evaluation of publications during the last 5 years shows some trends in the application of model-based fault-detection and diagnosis methods.
Abstract:

Copyright 1997 Elsevier Science Lid

Keywords: Fault detection; fault diagnosis; supervision; actuator faults; sensor faults; process faults; state observer; parity space; parameter estimation; classification; diagnostic reasoning.

1. I N T R O D U C T I O N There is an increasing interest in the development of model-based fault detection and fault diagnosis methods, as can be seen in the many papers submitted to the 1996 IFAC Congress. The development began at various places in the early 1970"s. Beard (1971) and Jones (1973) reported on observer-based fault detection in linear systems. A summary of this development is given by Willsky (1976). Then Rault, et al. (1971) have considered the application of identification methods to the fault detection of jet engines. Correlation methods were applied to leak detection (Siebert and Isermann, 1976). A fast book appeared on model-based methods for fault detection and diagnosis in chemical processes (Himmelblau, 1978). Instrument failure detection based on the inherent analytical redundancy of multiple observers was shown by Clark (1978). The use of parameter-estimation methods for the fault detection of technical systems was demonstrated by Hohmann (1977), Bakiotis, et al. (1979), Geiger (1982) and Filbert and Metzger (1982). The development of process fault-detection methods based on modeling, parameter and state estimation was then summarized by Isermann (1984). Parity-equation-based methods were treated early (Chow and Willsky, 1984), and then 709

further developed by Patton and Chen (1991), Gertler (1991) and H0fling and Pfeufer (1994). The development of fault-detection methods up to the respective times is summarized in the books Pan (1981), Patton, et al. (1989) and Isermann (1994a) and in survey papers by Gertler (1988), Frank (1990) and Isermann (1994b). Within IFAC, the increasing interest in the field was taken into account by creating first in 1991 a SAFEPROCESS (Fault detection, supervision and safety for technical processes) Steering Committee which then became a Technical Committee in 1993. A fast IFAC SAFEPROCESS Symposium was organized in Baden-Baden, Germany (1991), and a second one in Espoo, Finland (1994). The next symposia are scheduled for Hull (1997) and Budapest (2000). Another series of IFAC Workshops exists for "Fault detection and supervision in the chemical process industries". Meetings have been held in Newark, Delaware (1992) and Newcastle, UK (1995). This paper now tries to gather together and to comment on some developments in the field of fault detection and fault diagnosis, based on application-oriented papers presented at selected conferences during 1991-1995.

710

R. lsermann and P. Ball6 Determination of the size and time-variant behaviour of a fault. Follows fault isolation. Fault diagnosis: Determination of the kind, size, location and time of detection of a fault. Follows fault detection. Includes fault isolation and identification. Monitoring: A continuous real-time task of determining the conditions of a physical system, by recording information, recognising and indicating anomalies in the behaviour. Supervision: Monitoring a physical system and taking appropriate actions to maintain the operation in the case of faults. Protection: Means by which a potentially dangerous behaviour of the system is suppressed if possible, or means by which the consequences of a dangerous behaviour are avoided.

2. T E R M I N O L O G Y IN T H E F I E L D OF S U P E R V I S I O N , F A U L T D E T E C T I O N AND DIAGNOSIS By going through the literature, one recognizes immediately that the terminology in this field is not consistent. This makes it difficult to understand the goals of the contributions and to compare the different approaches. For example, what are the differences between faults, failures, malfunctions and errors? Or the differences between fault or failure detection, isolation, identification and diagnosis? Or supervision and monitoring? Or supervisory functions and supervisory control? The SAFEPROCESS Technical Committee therefore discussed this matter, and tried to find commonly accepted definitions. Some basic definitions can be found, for example in the RAM (Reliability, Availability and Maintainability) dictionary (1988), in contributions to IFIP (1983), and in German standards such as the DIN standards and VDI/VDE -Richtlinien (see References). Below, some definitions are suggested, based on the discussions within the Committee.

(3) Models
Quantitative model: Use of static and dynamic relations among system variables and parameters in order to describe a system's behaviour in quantitative mathematical terms. Qualitative model: Use of static and dynamic relations among system variables and parameters in order to describe a system's behaviour in qualitative terms such as causalities or if-then rules. Diagnositic model: A set of static or dynamic relations which link specific input variables - the symptoms - to specific output variables - the faults. Analytical redundancy: Use of two or more (but not necessarily identical) ways to determine a variable, where one way uses a mathematical process model in analytical form.

(l) States and Signals

An unpermitted deviation of at least one characteristic property or parameter of the system from the acceptable / usual / standard condition. Failure: A permanent interruption of a system's ability to perform a required function under specified operating conditions. Malfunction: An intermittant irregularity in the fulfilment of a system's desired function. Error: A deviation between a measured or computed value (of an output variable) and the true, specified or theoretically correct value. Disturbance: An unknown (and uncontrolled) input acting on a system. Perturbation: An input acting on a system, which results in a temporary departure from the current state. Residual: A fault indicator, based on a deviation between measurements and model-equationbased computations. Symptom: A change of an observable quantity from normal behaviour. Fault:

(4) System Properties

Reliability: Ability of a system to perform a required function under stated conditions, within a given scope, during a given period of time. Measure: MTBF = Mean Time Between Failures. MTBF -- l\~,; )~ is rate of failure (e.g. failures per year). Safety: Ability of a system not to cause danger to persons or equipment or the environment. Availability: Probability that a system or equipment will operate satisfactorily and effectively at any point of time. Measure:
A MTBF MTBF + MTTR

(2) Functions
Fault detection: Determination of the faults present in a system and the time of detection. Fault isolation: Determination of the kind, location and time of detection of a fault. Follows fault detection. Fault identification:

MTFR: Mean Time To Repair MTI~R = l/p; p: rate of repair.

Trends in the Application of Model-Based Fault Detection Dependability: A form of availability that has the property of always being available when required. It is the degree to which a system is operable and capable of performing its required function at any randomly chosen time during its specified operating time, provided that the item is available at the start of that period
FAULTS

711

D=

Time available Time available + Time required

[RAM Dictionary]

The authors would appreciate receiving comments and proposals for further improving these definitions.

Bm,,wota---~ Ivlrr~enoN I ~ a x m l , ~ s,mqp*mJ

Fig. 1. Scheme for model-based fault detection

3. FAULT-DETECTION AND DIAGNOSIS

METHODS

3.1 Model-based fault-detection methods

The task consists of the detection of faults of the technical process including actuators and sensors by measuring the available input and output variables U(t) and Y(0, Fig. 2. Basic process-model-based methods
are:

(7) (8) (9)

Mean and variance estimation Likelihood-ratio-test, Bayes decision Run-sum test, two-probe t-test.

3.2 Fault-diagnosis methods

If several symptoms change differently for certain faults a first way of determining a fault is to use classification methods which indicate changes of symptom vectors. Some classification methods are: (10) (11) (12) Geometrical distance and probabilistic methods Artificial neural networks Fuzzy clustering.

(1) (2) (3)

State and output observers (or estimators) Parity equations Identification and parameter estimation.

They generate residuals for state variables or output variables with fixed parametric models for (1), fixed parametric or nonparametric models for (2) and adaptive nonparametric or parametric models for (3). An important aspect of these methods is the kind of fault to be detected. One can distinguish between additive faults which influence the variables of the process by a summation, or multiplicativefaults which are products with the process variables. The basic methods show different results, depending on these types of faults. If only output signals Y(t) can be measured, signalmodel-based methods can be applied. In particular, vibrations can be detected, which are related to rotating machinery or electrical circuits. Examples of typical signal-model-based methods of fault detection are: (4) (5) (6) Bandpass filters Spectral analysis (FFT) Maximum-entropy estimation.

If more information about the relations between symptoms and faults is available in form of diagnostic models, methods of reasoning can be applied. Diagnostic models then exist in the form of symptomfault causalities, e.g. in the form of symptom-fault trees. The causalities can then be expressed as IF-THEN rules. Then analytical as well as heuristic symptoms (from operators) can be processed. By considering them as vague facts, probabilistic or fuzzy-set descriptions lead to a unified symptom representation, see Fig. 1. By forward and backward reasoning, probabilities or possibilities of faults are obtained as a result of diagnosis. Typical approximate reasoning methods are: (13) (14) (15) Probabilistic reasoning Possibilistic reasoning with fuzzy logic Reasoning with artificial neural networks.

The characteristic quantities or features from faultdetection methods show stochastic behaviour with mean values and variances. Deviations from the normal behaviour have then to be detected by methods of change detection, like

This very short consideration shows that many different methods have been developed during the last 20 years. It is obvious that many combinations of them are possible.

712

R. lsermann and P. Ball6 The reasoning strategies for fault diagnosis are rb: rule based sdg: sign directed graph fst: fault symptom tree fl: fuzzy logic

4. SUMMARY OF PUBLISHED APPLICATIONS 1991-1995

Because of the many publications and increasing number of applications, it is of interest to show some trends. Therefore one of the authors, Peter Ball6, has performed a literature study of Conference Preprints. The following Conferences were taken into account: (BAD 91) : 1st IFAC Symposium on Fault Detection, Supervision and Safety for Technical Processes Safeprocess '91-, Sep 1991, Baden Baden, Germany (DEL 92) : IFAC Symposium on Artificial Intelligence and Real Time Control, June 1992, Delft, Netherlands (SYD 93) : 12th IFAC World Congress, July 1993, Sydney, Australia (TOU 93) : International Conference on Fault Diagnosis -Touldiag 93 -, April 1993, Toulouse, France (HEL 94) : 2nd IFAC Symposium on Fault Detection, Supervision and Safety for Technical Processes Safeprocess '94-, June 1994, Espoo, Finland (COP 94) : 10th IFAC Symposium on System Identification, June 1994, Copenhagen, Denmark (NEC 95) : On-Line Fault Detection and Supervision in the Chemical Process Industries, June 1995, Newcastle, England (SFO 96) : 13th IFAC World Congress, June 1996, San Francisco, USA Only those contributions were considered which into account applications with 1. Simulation of real processes 2. Pilot processes (large-scale) 3. Laboratory processes (small-scale) 4. Industrial processes (full-scale) take (55) (44) (18) (48)

(10) (3) (2) (6)

In the appendix the references considered are shown in Table 1 for fault detection and isolation, and in Table 2 for fault detection and diagnosis. Some results of the literature study are presented in the following figures. The evaluation has been limited to laboratory, pilot, and industrial processes (110 contributions), i.e., simulations are not taken into account.
4.1 Kinds o f processes

Fig. 2 shows the distribution of the different detection methods, dependending on the kind of process. Mechanical and electrical processes, especially the DC motor, are mostly investigated. Parameter-estimation (pe) and Observer- based (ob) methods are used in the majority of applications on these kinds of processes, followed by parity space (ps) and combined methods. Neural nets (nn) are less used. Thermal and chemical processes are investigated less frequently.

~0

The numbers in brackets indicate the number of contributions. Altogether 165 were taken into account. The type of faults considered are distinguished as s: sensor faults (69) a: actuator faults (51 ) p: process faults (83) c: control loop or controller faults (8) The fault detection methods were classified as ob: observer ps: parity space pe: parameter estimation fs: frequency spectral analysis nn: neural networks

Mech. Proc.

Eisc. Proc.

Misc. Proc.

L:.] ob ,,

nn

c.O

Fig. 2:

Distribution of different detection methods depending on the kind of processes

4.2 Fault-detection methods

(53) (14) (51 ) (7) (9)

The change-detection and fault-classification methods are indicated by nn: neural nets (19) fl: fuzzy logic (5) bc: Bayes classification (4) ht: hypothesis testing (8)

Fig. 3 shows the distribution of the different detection methods, depending on the type of fault. Ob and pe based methods are mostly applied. They are used in nearly 70% of all the applications considered. Neural networks, parity space and combined methods are significantly less often applied. More than 50% of sensor faults are detected using observer-based methods, while pe, ps and combined methods play a less important role. For the detection of actuator faults, ob methods are mostly used, followed by pe and nn methods. Parity space and combined methods are rarely applied. In general, there are fewer applications for actuator faults than for sensor or process faults. The detection of process faults is mostly carried out with pe methods. Nearly 50% of all the publications considered use pe-based methods for detection of process faults.

Trends in the Application of Model-Based Fault Detection

713

aft faults

sens. f.

act. f.

proc. f.

[]

mm

oo

91
[]

92

93

94

95

96

Fig. 3. Fault-detection methods against fault types

Ob-, ps- and nn-based methods are used less often for this class of faults. (Some methods can be used for the detection of more than one fault class. Therefore, the sum of sensor, actuator and process faults exceeds the number of general faults.)

all publications nonlin, proc. w. nonlin, model nonlin, proc. w. linearized model lin. proc.

Fig. 5. Process classes investigated during recent years A view of the applications of fault-detection methods for nonline.ar processes only, Fig 6, shows, that ob and pe were mostly used, more than ps. The use of nn and combinations seems to be increasing. (It must be mentioned that for 1996 only the papers for the IFAC World Congress have been evaluated. Taking further publications into account, the number of applications to nonlinear and linear processes should increase.)
4.3 Fault-diagnosis methods

The relation between the method applied and the process class is given in Fig. 4. First of all, it must be stated that for the desoa."ption of the statics and dynamics of the processes linear process models have been used much more than nonlinear ones. On processes with nonlinear models, ob methods are applied most, but pe and nn do also play an important role. Parity space and combined methods are only used to a minor extent. On processes with a linear or linearized model, pe and ob methods are mostly used. Parity space and combined methods are also used in several applications, but not to the same extent as ob and pe methods. To show some trends, Figs. 5 and 6 present the number of applications over recent years. Fig. 5 shows the number of all the publications considered in each year, which is, of course, dependent on the number of conferences organized. For example, in 1992 only one conference was taken into account. The number of nonlinear process applications using nonlinear models clearly increases over the years, while nonlinear process applications with linearized models are decreasing. For linear processes, no significant change can be stated.

The evaluation of diagnostic methods is more difficult, because of a lack of data. In recent years, the field of classification approaches, especially with nn and fuzzy logic, has steadily been growing. Also, rule-based reasoning methods are increasingly being used in fault diagnosis, A growing application of fuzzy rule-based reasoning can be observed. In Fig. 7, the increasing application of nn for classification (and also for residual generation) can be seen. Both trends are analogous to the increasing number of nonlinear process investigations. Nevertheless, the classification of generated residuals seems to remain the most important application area for nn.

ob

pe

nn

ps

comb.

91

~12

93

94

98

98

[]

nonlin, proc. w. nonlin, model nonlin, proc. w. linearlzed model Hn. proc.

om,.
Fig.6.
Fault

m,.
d~t~tion

m=
m~thods for nonlin~
on the years

Fig. 4. Fault detection methods for linear and nonlinearprocesses

processes, d q ~ n t

714

R. Isermann and P. Ball6 71- l, Man Vehicle Lab., Cambridge, Mass. Chow, E.Y. and A.S. Willsky (1984). Analytical redundancy and the design of robust detection systems. IEEE Trans. Automatic Control, AC29,7. Clark, R.N. (1978). Instrument Fault Detection. IEEE Trans. on Aerospace and Electronic Systems, Vol. 14. Filbert, D. and K. Metzger (1982). Quality test of systems by parameter estimation. 9th IMEKO Congress, Berlin. Frank, P.M. (1990). Fault diagnosis in dynamic systems using analytical and knowledge-based redundancy - A survey and some new results. Automatica, Vol. 26. Geiger, G. (1982). Monitoring of an electrical driven pump using continuous-time parameter estimation models. 6th IFAC Symposium on Identification and Parameter Estimation, Washington. Pergamon Press, Oxford. Gertler, J. (1988). Survey of model-based failure detection and isolation in complex plants. IEEE Control systems Magazine. Gertler, J. (1991). Analytical redundancy methods in fault detection and isolation. Proc. IFAC SAFEPROCESS Symposium, Baden-Baden. Himmeiblau, D.M. (1978). Fault Detection and Diagnosis in Chemical and Petrochemical Processes. Elsevier, Amsterdam. H6fling, T. and T. Pfeufer (1994). Detection of additive and multiplicative faults - Parity space vs. parameter estimation, Proc. IFAC SAFEPROCESS Symposium "94, Espoo, Finland. Hohmann, H. (1977). Automatic Monitoring and Failure Diagnosis for Machine Tools (in German). Dissertation, T.H. Darmstadt. Isermann, R. (1980). Methoden zur Fehlererkennung fur die Oberwachung technischer Prozesse. Regelungstechnische Praxis, Vol. 22 and Fault detection methods for the supervision of technical processes. Process Automation, (1981). lsermann, R. (1984). Process Fault detection Based on Modelling and Estimation Methods: A Survey. Automatica, Vol. 20. Isermann, R., (Ed.) (1994a). Oberwachung und Fehlerdiagnose (Supervision and Fault Diagnosis). VDIVerlag, D~sseldorf. Isermann, R. (1994b). Integration of fault detection and diagnosis methods. Prec. IFAC SAFEPROCESS Symposium "94, Espoo. Jones, H.L. (1973). Failure Detection in Linear Systems. Ph.D.Thesis. Dept. of Aeronautics, M.I.T., Cambridge, Mass. Patton, R., P. Frank and R. Clark (1989). Fault Diagnosis in Dynamic Systems. Theory and Application. Prentice Hall, Hertfordshire. Patton, R.J. and J. Chen (1991). A review of parity space approaches to fault diagnosis. Proc. IFAC SAFEPROCESS Symposium, Baden-Baden. Pau, L.F. (1981). Failure Diagnosis and Performance Monitoring. Marcel Dekker, New York. Rault, A., A. Richalet, A. Barbot and J.P. Sergenton

5 43 2

i
1 --

o 91 92 I~ BB 93 94 95 96

nn classification nn res. generation

Fig. 7. Application of neural nets for residual generation and symptom classification 5. CONCLUSIONS Based on more than 100 publications during the last 5 years, it can be stated that parameter estimation and observer-based methods are the most frequently applied methods for fault detection, especially for the detection of sensor and process faults. Nevertheless, the importance of neural-network-based and combined methods for fault detection is steadily growing. In most applications, fault detection is supported by simple threshold logic or hypothesis testing. Fault isolation is often carried out, using classification methods. For this task, neural nets are being more and more widely used. The number of applications using nonlinear models is growing, while the trend of using linearized models is diminishing. It seems that analytical redundancy-based methods have their best application areas in mechanical systems where the models of the processes are relatively precise. Most nonlinear processes under investigation belong to the group of thermal and fluid dynamic processes. The field of applications on chemical processes is only slightly developed, but the number of applications is growing. The favorite linear process under investigation is the DC motor. In general, the trend is changing from applications to safety-related processes with many measurements, as in nuclear reactors or aerospace, to applications in common technical processes with only a few sensors. For diagnosis, classification- and rule-based reasoning methods are most important, and the use of neural-net classification and fuzzy-logic-based reasoning is growing.

REFERENCES

Bakiotis, C., J. Raymond and A. Rault (1979). Parameter identification and discriminiant analysis for jet engine mechanical state diagnosis. IEEE Conference on Decision and Control, Fort Lauderdale. Beard, R.V. (1971). Failure accomodation in linear systems through self-reorganization. Rept. MVT-

Trends in the Application of Model-Based Fault Detection (1971). Identification and modeling of a jet engine. I F A C Symposium on Digital Simulation of Continuous Processes, Gejtr. Siebert, H. and R. Isermann (1976). Leckerkennung durch On-line Korrelationsanalyse mit ProzeBrechnern. Regelungstechnische Praxis, 25, No.3. Willsky, A.S. (1976). A survey of design methods for failure detection systems. Automatica, Vol. 12.

715

BIBLIOGRAPHY OF TERMINOLOGY DIN 25 424 : Fehlerbaumanalyse. Beuth Verlag, Berlin, 1990. D I N 40 041 : Zuverl~issigkeit in der Elektrotechnik. Beuth Verlag, Berlin, 1990. DIN 31 051 : Instandhaltung. Beuth Verlag, Berlin, 1985. DIN 40 042 : Zuverl~issigkeit elektrischer Ger~te, Anlagen und Systeme. Beuth Verlag, Berlin, 1970. DIN 31 051 : Instandhaltung. Beuth Verlag, Berlin, 1985. DIN 40 042 : ZuverBissigkeit elektrischer Ger~ite, Anlagen und Systeme. Beuth Verlag, Berlin, 1970.

D I N 55 350 : Begriffe der Qualitatssicherung und Statistik. Beuth Verlag, Berlin, 1989. I F I P working group 10.4 "Reliable computing and faulttolerance", meeting in Como, Italy 1983. Laprie, J.C. (1983).On computer system dependability and un-dependability: faults, errors, and failures. Como, Italy 1983. Lexikon Mess- und Automatisierungstechnik. (1992) VDI Verlag GmbH, Dtisseldorf. Patton, R.J. (1994). Model-based methods for fault diagnosis: some guidelines. Model-Based fault diagnosis, Zakopane Reliability, Availability, and Maintainability Dictionary. ASQC Quality press, Milwaukee, 1988. Robinson, A. (1982). A user oriented perspective of fault tolerant systems models and terminologies, proc. 12th int. Symp. On fault tolerant computing, Los Angeles. V D I / V D E - Richtlinie 3541: Steuerungseinrichtungen mit vereinbarter gesicherter Funktion. Beuth Verlag, Berlin, 1985. V D I / V D E - Richtlinie 3542: Sicherheitstechnische Begriffe fiir Automatisierungssysteme. Beuth Verlag, Berlin, 1988. VDI/VDE Richtlinie 3691: Erfassung yon Zuverl'~sig-keitswerten bei ProzeBrechnereins~tzen. Beuth Verlag, Berlin, 1985.

APPENDIX

Methods: Type: Process: classification: Reasoning:

ob: observer,pe: parameter estimation,ps: parity space, nn: neural nets, fs: frequencyspectra analysis,fl : fuzzy logic, ht:

hypothesistesting s: sensor fault, a: actuator fault, p: processfault, c: control loop fault, ad: additive fault, mp: multiplicativefault 1- simulation,2- pilot process,3-labor process,4-industrialprocess nn: neural nets, fl: fuzzy logic, bc: Bayes classifier,x: others rb: rule-based,fst: fault-symptomtrees

Process

Comments

Author

drilling machine (2) drilling process(4) grindingprocess (4) machine-tooldrive (4) cutting process (4) turning, grindingprocesses (4) rotating machines (1) turning machines (2) cnc machines(4) milling machine (4)

1 I 2

p p p p p p p p a,p p

fs, nn neuralnetwork patternsof vibrationalsignals pe pe reducedlinear model

Akhmetov (NEC 95) ReiB (BAD 91)

combinationof process-and signalmodelapproach Fuchs(BAD 91) analysisof motorcurrent Martin (BAD 91)

4 1 1 4 2 10 2

Schulz (BAD 91) backprop.,nearest neighb, nn. signals:force and Barschdorff(TOU 93) fs, nn vibration classificationof frequency spectrumfeatureswith Yah Tingnh (TOU 93) fs, nn MLP pe pe fs, fl classificationof multi-sensorsignals off line, models for faultyand fault-freecase vibration signal and fuzzy pattern recognition Ravindra (TOU 93) Verg6 (TOU 93) Zieba (HEL 94)

716

R. I s e r m a n n and P. Ball6 nearest neighbour, threshold and neural nets classification of estimated parameters probabilistic neural net MLP with sigmoidal activation function measured state vat., linearization around nom. op. point Kalmanfilter

milling machine (4) machines (4) heat exchanger (1) heat exchanger (4) steam generator (4) thermal plant feed water heating ( 1) thermal plant (2) liquid -liquid extractor (l) pressure vessel of a nuclear reactor (2)

3 2 8 >2 8 I >2 >7 1

p p s s s, mp, ad p p p,s,a,ad p s,p,a,ad s s p s, ad s,p,a,ad, mp s,a, ad a,s a,p, s, ad p s, ad, mp s,a,p,mp p s,a,p p,a a,p a s,p a,p s, mp, p

pe, nn fs, nn an ob ob, pe pe ps ob nn, f] fin ps ob,ps

Konrad (1995) Xu (NEC 95) Himmelblau (BAD 91) Cecchin (BAD 91) Wemz (BAD 91) Kumamaru (TOU 93)

linearized model in a nominal working point single and multiple faults fuzzy, KNN classification of accoustic sound patterns RBF as receptive field classifier and MLP as hyperplane classifier static bilinear model

Noura (TOU 93) Millar (TOU 93) Weiss (HEL 94) Guglielmi (HEL 94) Cassar (HEL 94) Simonart (HEL 94)

heater of feedwater high pressure line of a power plant >3

(1)
heat exchanger battery (4) heat exchanger (4) heat exchanger ( 1) >4 >I I

long- term wear models and generalised Fourier pole Neuenschwader (HEL estimation of a second- order transfer function 94) pe ps, pe nn ob nn pe ob ob linearized model, combined, linearized model around the setpoint perceptron with locally distributed dynamics state-space description obtained from bond models multilayer feedforward nn and stochastic approximation, nn and mathematical modelling for distinct subprocesses linearized model low-dimensional linear model, sliding modeobserver Luenberger observer frequency domain, pulsative model pe, ht nn ob,pe ob ob linearized model, knowledge-based evaluation, hypothesis testing MLP net Dorr (HEL 94) HOfling (NEC 95) Ayoubi (NO 95) Blanke (NEC 95) Alessandri (SFO 96) Kwon (SFO 96) Hermans (SFO 96) Deibert (DEL 92) Wang (TOU 93) Jaume (HEL 94) Juuma (HEL 94)

~2

steam gen. of a nuclear power >4 plant (4) thermal plant (4) thermal plant (4) temperature control loop (2) heaters of a feedwater high pressure line (4) boiler unit ( 1) thermodynamic system (2) tank system with level control 8 3 3 3 I >2 3 I >3 5 6 3 >3 2 >3

(1)
hydraulic pump ( 1) 3 tank mixing process (3) ~ pressure system (2)
o

"=~ = industrial pump system (1) .~ ~ valves in flow-control loops (2) 3-tank system (3) 3-tank system ~I ) 3-tank system (3) jet engine ( 1) ! propulsion system (2) propulsion system (4) gas turbines (4) jet engine (1) gas turbine engine (2) jet engine ( 1) rotary turbo machines (1) automotive engines (1) automotive engine exhaust emmission control system (4) variable thrust rocket engine

observer-, parameter estimation and combination of Dalton (NEC 95) observer and parameter estimation observer-based techniques in addition of signal analysis of control-loop signals linearized model, state and input estimation steady-state model, fault trees slow-acting faults, linearization around setpoint, Kofahl test for detection (no isolation possible) unknown input ob in combination with pe nonlin, parameter estimation with extended Kalmanfilter gas path analysis unknown input observer model of transer function fuel flow to outlet temp. output observer, estimation of residual bias due to modeling errors classification of vibration signals linear dynamic and nonlinear static hybrid model mix of linear dynamic and nonlinear static models Deibert (HEL 94) Bousghiri (NEC 95) Juricic (SFO 96) Zolghardi (SFO 96) Zhang (BAD 91) Duyar (BAD 91) Bruce (BAD 91) Lunderstaedt (BAD 91 Patton (BAD 91) Villanueva (BAD 91) Patton (DEL 92) Menard (TOU 93) Gertler (SYD 93) Rizzoni (TOU 93)

pe ob pe ob/pe ob ob lye ob

3 s > 3 s,a, mp,ad 1 >1 I >3 4 5 6 4

I

p s s p s a s,a s,a p
s

ps ps nn pe

(2)
gas turbine combustion chamber (1) L) combustion engines (4) combustion engine (4)

Hopfield NN for simulating normal and anomalous Feng (TOU 93) conditions asymptotic local approach for change detection, Basseville (TOU 93) linearized model Levenstein distance and nearest neighbour Ruckh~oerle (TOU 93 classification of angular acceleration of crankshaft fuzzy classification of patterns derived by analysis OfDeng (HEL 94) engine flywheel speed fluctuations

I 1

a p fl

Trends in the Application of Model-Based Fault Detection automobile combustion automotive power train (2) '~'~ hydraulic power steering (2) ,~ vehicle model (1) rear axle gearbox (2) car break system ~1) inverted pendulum (3) inverted pendulum (3)
,

717

4
f

a,s s a P p p s, ad, mp s s, ad s,a s s s

ps ob pe

nonlinear parity equation nonlinear state equations and a bank of Kalrnanfilters

Rizzoni (HEL 94) Paolella (BAD 91) Appel (BAD 91) RUckwald (BAD 9 1 )

3 4 2 4 1 3 1 3 4 3 3 3 4 3 3 3 2 2 1 1 2 1 1 3 4 4 7 3 5 5 2 2 7 6 6 3 5 2 5 2

oh, pe, ps combination of parameter estimation and observer fs,no pe pe ob ob, pe ob pe ob ps

domainMLP net,featuresClassification of statistical and frequency Barschdorff (TOU 93) parameter identification and bend-graph modelling Verg6 (HEL 94) Sproesser (TOU 93) Hassenforder (TOU 93) Nowakowski (TOU 93) linear model Bousghiri (TOU 93) linear model, evaluation of fault signatures Sproesser (TOU 93) bank of observers, linearized model around set point KOppen (TOU 93) Frank (TOU 93) KOppen Seliger (HEL 94) Sauter (HEL 94) Nowakowski (HEL 94Z Patton ~HEL 94) Ferretti (BAD 91) Frank (SYD 94) Gong (SFO 96) Albertos (SFO 96) Schneider (TOU 93) Sorsa (NA 92) H~igglund (HEL 94) Coimult (BAD 91) Filbert (BAD 91) cunrent signal analysis (covariance, autocorrelation...), ht for classification statistical decision tests reduced linear model reduced linear model fuzzy logic classification of estimated parameters Gtlhmann (BAD 91) Isermann (BAD 91) Wanke (BAD 91) Wanke (BAD 91) Marcu (BAD 91)

inverted pendulum (3) i inverted pendulum (3) inverted pendulum (3) inverted pendulum (3) inverted pendulum (3) inverted pendulum (3) ! inverted pendulum (3) inverted pendulum (3) inverted pendulum (3) coal milling process (4) overhead crane (3) bearings (2) cl'ane (1) industrial robot (2) paper machine (2) paper mill (4) DC motor (4) DC motor (4) DC motors (4) DC mot. feed drive of a math. tool (4) DC mot. main dr. of a mill. cent. (4) DC motor feed drives of a milling center (4) DC motor (1) DC motor (4) DC motor (4) permanently excited DC motor (4) PI controlled DC servo motor (l) PI controlled DC servo motor (1) DC motor PI controlled (2) DC motor (4) DC motor (4) DC motor pump pipe process (l) DC servomotor actuator (1)

s,a, ad, mp ob, pe bank of unknown input observers s s s, p,s s,p p P, mp p p a p p p p p p p p p p,s p,cmp p,c,mp p,c p p pe s,a ob, ht pe ps pe ob (i 5% -25%) size of faults dedicated and unknown input ob (20-30, 20-60%) size pe pe pe pe pe pe pe, fl ob ob ob pe ob fs, nn pe ob nn adaptive state observer, estimation of friction parameters exponential observers

nonlinear unknown input (Ioadmass) observers Kohonen networks for vibration spectra patterns missing data RI.~D algorithm nonlin, treated as known ob inputs, adaptive thresholds Kohonen feature maps detee, of oseill. (~ck slip motions) in the control loop mathematical model and wald sequential test for fault detection

classification of measurementes for voltage, current, Barschdorff (BAD 91) vibration, rotation speed Wald and Page Hinkley test for isolation Coirault (TOU 93) H6fling (SYD 93) Fang Jia (TOU 93) Fang, Jia (TOU 93) Berendsen (TOU 93) Filbert (HEL 94) Filbert (HEL 94)

ob ob ,ps, pe (not combined) Bayes classifier of symptoms classific, of frequency features and statistical moments

linear classifier of least-squares minimum distance Marcu (HEL 94) type bank of observers, multi hypothesis testing Nielsen (HEL 94)

718 I DC servomotor actuator (1) DC servomotor actuator (1) DC servomotor actuator (1) DC servomotor actuator ( 1) DC motor (4) DC motor (1) "~ 4 quadrant chopper (2) .~ electric power systems (2) turbo generator set (4) electrohydraulic drive (4) electrohydraulic rotary 2 2 2 2 4 1 2 2 1 ? ? 2 a mp p a,p s

R. Isermann and P. Ball6 s,a s,a s,a s,a s,p,ad mp a ob ob ob ob ps,pe ob pe ob ob pe ob an nn nn ob eigenstmcture assignment Jorgensen (HEL 94) extended nonlinear kalmanfilter and fixed thresholds Walker (HEL 94) output observer, fixed thresholds, Garcia (HEL 94) adaptive threshold HOfiing (HEL 94) adaptive threshold HOfiing (HEL 94) nonlinear unknown input observer Yang (SFO 96) two slidini[ time windows with different lengths Balestrina Cateilani (BAD 91 ) Kalman filter and fixed point linearization Kliokys (BAD 9 I) approximation of parameters of a discrete, linear Rachev (SYD 93) model
i

p
a

s}'stem (1)

bilinear modelling for nonlinear observer design Schwa~-z (SYD 93) MLP for the healthy system modelling, knowledge about effects of known faults is used for detection Daley (HEL 94) temperature, outlet concentration control loops, feedforeward ANN for steady state and dynamic cases Venkatasubrama nian (BAD 91)

exothermic reactio in jacketed reactor (1) stirred tank with heat exchanger (1)

6 9

level flowrate and temperature control loops MLP . . . . . . . . ' . . .' . ' ~orsatt~Aw~) counterpropagatmn, nearest nelghbour classlficaaon simpified mathematical model of subprocesses Schlosser (BAD 91)

nitric acid production process > 2

(4)
stirred tank with heat exchanger (1) stirred chemical ractor with heat exchanger (1) '~ ~ ~',
o

a,p

nn

level, flowmte and temperature control loops, direct classification of 14 measurements with MLP, RBF Sorsa (NEC 95) and Kohonen feature maps nonliner state observer filter (particle filter) Viel (TOU 93)

3 5

s, ad s,p,a,

ob pe

stirred tank reactor with second- order exothermic reaction (1) stirred tank reactor with second-order exothermic reaction (I) batch polymefisation process (1) low-density polyethylene tubular reactor (2) polymerization reactor (1) batch process 2 buffer and 2 reaction tanks (2) high cell-density fed-batch ferment. (2) polymerization reactor (2) polymerization reactor (2) stirred tank reactor (2) exothermic batch process (4) wastewater plant (1) catalytic cracking process (4) DOx sensor 42) off shore drilling (4) airplane (4) navigation system (4) track-guided bus (2) building heating (!) aircraft (1) navigation system (4) heating system of large buildings (4) underwater vehicle (1)

mp 4 2 s,a ad p

level and temperature control loops general discrete Gomm (HEL 94) time model level and temperature control loops, RBF network with automatically added nodes for new faults multivariate statistical analysis, likelihood based confidence region multivariate statistical analysis, likelihood based confidence region Gomm (NEC 95) Martin (NEC 95) Martin (NEC 95) Fujiwara (NEC 95) Medl (NEC 95) Gollmer (NEC 95) Zhang (SFO 96) Zhang (SFO 96)

'~

nn

2 3 2 2 2 3 I 1 2 7 1 1 3 2 2 9 3 2 5 >1

p s,a a s,c p p p,mp p p a,p nn nn nn, ob ob pe fl-nn rm

auto associative neural network nonlinear state observers, cohonen vector ob, nn quantisation classification dynamic time warping, pattern recognition nn as nonlinear model and inverse model of the process autoassociative neural network;
,,nn

nonlinear observers and reinforcement learning for Pany (SFO 96) ext. Kalmau filter, models for faulty and fault-free process detection of large changes fuzzy-neural network for fault models physical model of the diffusion process Perne (DE 92) Fuente (HEL 94) Yang (NEC 95) Clarke ~NEC 95) Bugge (BAD 91) Dunkel (BAD 91) Nikiforov (BAD 91) Schrick (TOU 93) Georgescu (TOU 93) Strichander (SYD 93) Nikiforov (TOU 93)

s s p,s,a, s s,ad

ob, pe nonlinear observers ob ob, pe Kalman filter ob ob, pe ob fl robust state observers combined ob and pe unknown input observer schemes change detection in stochastic processes

fuzzy model-based method with models for faulty Benouarets (NEC 95) and fault-free process oaritv enuations for nonlinear dynamic systems Shumskv (SFO 96)

os

Trends in the Application of Model-Based Fault Detection Table 2 Fault detection and diagnosis (1991- 1996)
Me- Methods for l thods diagnosis of T y p e for classifaults ~letec. fica- reaso. tion [9n ning

719

Num.

Process

Comments

Author

power plant feed water process ( 1)

r~

diagnostic algorithms based on models describing characteristics of monitored components ms function of time and operating points. a, mp s,a,p p a s,a a,p p,c ob ps rb rb x rb x rb rb fl p,s,a,c s a a s ob pe nn nn fl fl rb c,a a s a a,s p s,p p,ad, mp s,c, p p,s s,p pe ps,pe pe x p s,a p nll nn IX nn Ix rb t , rb pe fl-nn x tl fl fl pe nn Ix nn fl nn x fst rb using detailed model, statistical evaluation, fault symptom trees, process history rb predicate formulae description of the process knowledge based causal structure qualitative / heuristic model and causal masonin[~ Fuzzy decision making process heuristic and causal fault model and reasoning neural net for threshold gen. and residual classification. quasi-linear state-space representation fuzzy logic rule-based system knowledge-based method with fuzzy rules rule-based expert system qualitative reasoning with Bayesian net dynamic neural nets for nominal and fault model model-based fuzzy classification Kalman filter, heuristic knowledge base for diagnosis parity space and static characteristics, statistic residual evaluation and logic base reasoning directed graph modeling

Lautala (SYD 93) Korbicz (HEL 94) Millar (NEC 95) Shibata (BAD 91) Juuma (BAD 91) Lunze (DEL 92) Lunze (SYD 93) Lunze (TOU 93)

power plant boiler unit (1) air to water heat exchanger (2)
t:k

4 >4 2 2 5 8 4 I 30 >4 1 24 > l 4 2 1 > 1 3 4 7 5 12 3 12 7 3 1 2 >2 5

pipeline system (2) air compmssum system (3) 3 tank-system (3) 3 tank- system (3) tanksystem (1)

~ ~ w

5 .o
e~

nuc. reactor coolant pump (1) nuc. reactor coolant pump (1) nuc. press, water reactor (1) turbofan engine (2)

"1:2 " "F~

e~

Porcheron (TOU 93) Hwang (SYD 931 Merril (BAD 91) Heude (TOU 93) Lunderstead (SYD 93) Milne (TOU 93) Kirsch (TOU 93) Ayoubi (HEL 94 Hilleman (HEL 94) Ludwig (HEL 94 Danai (SFO 96) Freyermuth (BAD 91)

t~

ship diesel engine (2) jet engine (2) gas turbine (4) combustion engine (1)

.=
.~
o

o = ~" o

turbocharger wastegate (4) gas turbine (2) diesel engine (4) 4 cylinder comb. engine (4) industrial robot (4) industrial robot (4) electr, driven throttle valve (4) electric drive (2) DC motor (4) penn. excited DC motor (4) turbo generator (4) power line feeders (2) jacketed reactor (1)

nonlinear model, supervision in time, frequency and parameter domain, knowledge base for Siedler (HEL 94) diagnosis diagnosis of pe symptoms with neuro-fuzzy Pfeufer (SFO 96) network Berendsen (HEL model-based direct graph analysis 94) Ulieru (HEL 94) possibilistic fault model, fuzzy fault trees H6fling (SFO 96 Hotellings and Scheffees test for fault detection, Gomez (SFO 96) MISO-ARX modells classification of current and volta~:e patterns dynamic RBF netwoks as nonlinear predictor Sorsa (TOU 93) bank for faulty/nonfaulty case, Bayes classifier qualitative reasoning, knowledge-based diagnosis fuzzy-neural network, genetic algorithm, knowledge-based and qualitative simulationbased approaches bank of feedforeward nn and a multiple-model adaptive estimator Halme (HEL 94) Zhang (NEC 95) Zhang (SFO 96)

"~ "~o o Misc.

bioreactor stirred tank reactor tempera-ture and level control ( l ) aircraft model ( 1)