This article has been accepted for publication in a future issue of this journal, but has not been
fully edited. Content may change prior to final publication. Citation information: DOI 10.1109/TIE.2018.2833045, IEEE
Transactions on Industrial Electronics
IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS
Real-Time Fault Detection and Identification for
MMC using 1D Convolutional Neural Networks
Serkan Kiranyaz, Senior, IEEE, Adel Gastli, Senior, IEEE, Lazhar Ben-Brahim, Senior, IEEE
Nasser Al-Emadi, Member, IEEE, and Moncef Gabbouj, Fellow, IEEE
 performance of the method should be independent from any
Abstract— Automated early detection and identification
of switch faults are essential in high-voltage applications.
Modular multilevel converter (MMC) is a new and promising
topology for such applications. MMC is composed of many
identical controlled voltage sources called modules or
cells. Each cell may have one or more switches and a
switch failure may occur in anyone of these cells. The
steady-state normal and fault behavior of a cell voltage will
also significantly vary according to the changes in the load
current and the fault timing. This makes it a challenging
problem to detect and identify such faults as soon as they
occur. In this study, we propose a real-time and highly
accurate MMC circuit monitoring system for early fault
detection and identification using adaptive 1D
Convolutional Neural Networks (CNNs). The proposed
approach is directly applicable to the raw voltage and
current data and thus eliminates the need for any feature
extraction algorithm, resulting in a highly efficient and
reliable system. Simulation results obtained using a 4-cell,
8-switch MMC topology demonstrate that the proposed
system has a high reliability to avoid any false alarm and
achieves a detection probability of 0.989, and average
identification probability of 0.997 in less than 100 ms.
Index Terms— Convolution Neural Network, Modular
Multilevel Converter, Fault detection, Fault Identification.
I. INTRODUCTION
N OWADAYS, the modular multilevel converter (MMC)
has drawn considerable attention as it can provide high
power ratings and enable the use of renewable energy
sources. A conventional MMC provides a high power-voltage
capability with a flexible control of the voltage level. However,
reliability and safety became the most crucial challenges for
MMCs, which may encapsulate many power switching devices,
each of which may be considered as a potential failure site. For
instance, an open-circuit fault in a cell will distort the output
voltage and current, which will cause an uncontrolled variation
of the floating capacitors voltages and leads to the disruption of
its operation and even a possible destruction of the MMC.
Therefore, it is of paramount importance to detect and identify
any fault in a robust, reliable and automated way as soon as it
occurs without relying on a grid of external sensors any of
which may also fail in time. Robustness requires that the
Manuscript received October 23, 2017; revised February 11, 2018;
accepted April 17, 2018. This work was supported in part by the National
Priorities Research Program (NPRP) award [NPRP10-1203-160008]
from the Qatar National Research Fund (QNRF); a member of the Qatar
Foundation. Its contents are solely the responsibility of the authors and
do not necessarily represent the official views of QNRF. S.Kiranyaz, A.
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1
parameters used, the time of fault occurrence and load current
variations of the MMC circuit. Reliability of the method
demands a very low false-alarm rate, high probability of
accurate detection and identification. Obviously, the method
should be fully-automatic and work in real-time providing a
minimal computational complexity so that it can be
implemented in a low-cost and low-power mobile device.
Finally, it is highly desirable to have the fault detection and
identification together and immediately after a minimal time
rather than separate individual actions which might require
further time and delay the necessary actions to be taken.
Generally speaking, the research of the fault detection and
localization in power electronics applications can be broadly
categorized into three basic approaches: 1) model-based; 2)
sensor-based and 3) approaches based on machine learning
(ML) [1]. Model-based methods, as the name implies, model
the MMC functionality and attempt to detect a fault when the
real measurements deviate from the model by a certain
threshold. Usually they employ many manual thresholds and
unfortunately, this degrades the method’s robustness. Sensor-
based methods use additional sensors to detect and identify
faults with a good accuracy. However, they do not only employ
extra costs, but also make the overall system more complex and
unreliable because those sensors may also fail in time. ML-
based methods have been proposed most recently and promise
several advantages. For instance, they do not require any
mathematical models; therefore, the engineering and
development time could be significantly reduced while manual
thresholds or settings can be avoided. Since they use the system
or expert knowledge, if properly trained, they can “mimic” an
expert and thus has the potential to monitor any circuitry like a
human expert does. Particularly, Artificial Neural Networks
(ANNs) have widely been used in various works [1]-[5]. ANNs
are known as “Universal Approximators” which have a high
degree of freedom for solving nonlinear problems. However,
their weak point is the strict performance dependability on the
feature extraction method and possible other post-processing
techniques applied. Which features should be extracted and
which post-processing methods should be used are open
questions that usually require tedious manual trial-and-error
repetitions.
Although there are numerous studies related to each
approach, many of them do not meet the aforementioned
Gastli, L. Ben-Brahim, N. Al-Emadi are with the EE Department, College
of Engineering, Qatar University, Doha, Qatar. (e-mails:
mkiranyaz@qu.edu.qa, adel.gastli@qu.edu.qa, brahim@qu.edu.qa,
and alemadin@qu.edu.qa)
M. Gabbouj is with Signal Processing Laboratory, Tampere University
of Technology, Tampere, Finland. (e-mail: moncef.gabbouj@tut.fi ).
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requirements or the desired properties; hence, they present
certain drawbacks and limitations which may hinder them in
any practical use. For instance, the work in [6] proposed to
insert extra sensors to each cell, or use a gate drive module
capable of detecting faults and providing feedback. Besides the
additional sensors used, the method further requires manual
feedback which is a serious drawback especially for a large
number of cells or switches. A data driven technique, based on
PCA, for open circuit fault detection of MMC is introduced in
[7]. PCA showed good potentials in open circuit fault detection
in MMC, however fault localization cannot be performed using
the linear version because of the complexity and nonlinearity of
the system. High complexity is also a problem in [8] which
analyzes the spectral components of the output phase voltage.
Moreover, the method does not identify the faults (only detects
them), and its reliability may suffer from the low angular
variations caused by the high switching frequencies. Shao et al.
in [9] proposed a method based on the Sliding Mode Observer,
which uses a high-gain feedback in the observer vector to force
the observed output to converge to the actual output. This
method uses several empirical thresholds that were manually
set according to the MMC topology used in the study, and the
accuracy of the measurement may limit the application of this
method - it is not able to locate the fault when the systematic
measurement error is higher than 7%. Deng et al. in [10]
proposed a fault detection and localization method for MMCs
based on Kalman filtering. As a typical model-based method,
several manual thresholds were used and only a few fault cases
on a MMC with manually fixed parameters have been
considered. How to choose those parameters for another MMC
topology or even for the same topology but with varying system
parameters remain unanswered. Similar problems are also
evident in the work proposed by Liu et al. in [11]. A ML-based
fault diagnosis method was presented by Khomfoi and Tolbert
in [1] that achieved a limited classification and identification
performance. This may be due to the aforementioned drawback
that the features failed to characterize the raw signals accurately
or the post-processing method, Principal Component Analysis
(PCA) to reduce the dimensionality of the features, may have
degraded their efficiency even though the most important PCs
are selected using Genetic Algorithm (GA). Finally, the feature
extraction and all the following post-operations, especially GA
further increase the computational burden of this method. This
is indeed a common drawback of most ML based methods. The
same authors also proposed a similar machine-learning based
method in [3] which achieves again a limited accuracy on a
different test dataset whilst showing a similar level of
computational complexity. A major problem in many of these
methods is that the false-alarm rate has not been reported as
most of them are tested over a MMC with one or few sets of
parameters or variations. Besides the false alarm rate, when the
parameters of the MMC or the fault time (or both) vary, few
reported significant system performance degradations, but in
most cases, it is unknown how the system performance would
be affected.
This study aims to address these drawbacks with a novel
technique that has the following objectives:
1. Perfect accuracy on fault detection and identification
(e.g. practically 100%),
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2
2. Utmost reliability and robustness against variations of
MMC parameters and fault time,
3. Low computational complexity that allows real-time
monitoring,
4. Low time delay for fault detection and identification
(e.g., <0.1s), and
5. No false alarms.
To accomplish objectives 1 and 2, we propose a ML based
technique in accordance with the earlier discussion.
Specifically, an adaptive 1D Convolutional neural network has
been implemented to achieve 3rd and 4th objectives.
Conventional (deep) Convolutional Neural Networks (CNNs)
are feed-forward artificial neural networks which were initially
developed as crude models of mammalian visual cortex. Deep
CNNs have recently become the de-facto standard for many
visual recognition applications (e.g., object recognition,
segmentation, tracking, etc.) as they achieved the state-of-the-
art performance [12], [13] with a significant performance gap.
Recently, 1D CNNs have been proposed for pattern recognition
for 1D signals such as patient-specific ECG classification [14],
[15], structural health monitoring [16] and motor-fault
detection [17]. There are numerous advantages of using an
adaptive and compact 1D CNN instead of a 2D deep
counterpart. First of all, such 1D CNNs can be efficiently
trained with a limited amount of data while the deep CNNs
require datasets with massive sizes, e.g., in the “Big Data”
scale. In fact, this requirement alone makes deep 2D CNNs
inapplicable to many practical problems that have limited
datasets including the problem addressed in this study. The
crucial advantage of CNNs is that both feature extraction and
classification operations are fused into a single machine
learning body to be jointly optimized to maximize the
classification performance. This eliminates the need for hand-
crafted features and any possible post processing. This is also
the key property to achieve the 3rd objective. Furthermore, due
to the simple structure of the 1D CNNs that requires only 1D
convolutions (scalar multiplications and additions), a real-time
and low-cost hardware implementation of the proposed
approach is quite feasible (4th objective). The final classification
output will be determined using the proper majority rule over
the buffered class vectors of the 1D CNN’s output. This makes
the occurrence of false alarms almost impossible (5th objective).
We have tested the proposed system over various cell faults
simulated in a single-phase 4‐cell and 8-cell Modular
Multilevel Converter (MMC) topologies where the former is
shown in Fig. 1. For each fault, the load current and fault
occurrence time are varied, and the system is evaluated over the
test fault data with unknown load currents, with several
different fault times.
The rest of the paper is organized as follows: A brief
introduction to the MMC topology and the data acquisition
employed are provided in Section II. Section III presents the
proposed systematic approach for real-time fault detection and
identification in MMCs. The adaptive 1D CNNs along with the
formulations of the back-propagation training are presented in
Section 0. In Section 0, the experimental setup and the detailed
performance evaluations are presented. Finally, Section VI
concludes the paper and suggests topics for future research.
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II. MMC TOPOLOGY AND MATHEMATICAL MODEL The control vector consists of the transistors switching states
For simplicity, a single-phase MMC topology with a total of (switching patterns). The used MMC control method is the
4 cells is considered as shown in Fig. 1 [18]. Each cell is made same as the one introduced in [18], which is based on the
of one capacitor connected in parallel with two switches. The weighted Model Predictive Control (WMPC) approach. This
output voltage of each cell equals either zero or the capacitor WMPC controls the load current, minimizes the circulating
voltage depending on the state of the switches. current and balances the capacitor voltages, simultaneously. At
The 4 cells form two (upper and lower) arms with 2 cells each control sampling time, the WMPC predicts the next
each. Since the cells are connected in series, the output voltage switching pattern that assures best tracking of the reference
of the converter exhibits a controllable multilevel waveform. In variables for E1~ E4, Iload, and Idiff by minimizing a selected cost
order to generate an ac signal, the MMC is supplied by two dc function.
sources. Consequently, each arm is composed of a Vdc/2 dc The model as well as the controller were validated through
source, two cells, and an inductor L. An RL load (RL, LL) is both simulations and experiments. The parameters of the
used for loading and testing the MMC. implemented and tested MMC prototype system are given in
This topology inherently generates a circulating current Table 1 and the experimental setup is shown in Fig. 2. The state
between the upper and lower arms and the sources. Therefore, space model can be derived as in Eq. (1) [18], where:
the load current does not necessarily equal the sum of the upper Vdc is the dc source voltage
and lower arm currents. Besides, during transistor switching, E1~E4 are the capacitors voltages
the capacitor may charge or discharge leading to fluctuating U1~U4 are switching states (0:off, 1:on)
capacitor voltages. Consequently, while controlling the load Iup is the upper arm current
current through proper selection of transistors switching Idown is the lower arm current
patterns, it is essential to control also the capacitor voltages and ILoad is the load current
circulating current in order to maintain the stability of the Idiff is the circulating current
system. Even though this topology allows 16 (24) possible L,R are the inductance and resistance of the arm inductor
combinations of switching patterns, only 6 ( C24 ) of them are LL,RL are the load inductance and resistance
C is the cell capacitor
valid [18]. These patterns are selected to control the load
current, the capacitor voltages and the circulating current. TABLE 1 SYSTEM IMPLEMENTATION PARAMETERS
Further details of this converter can be found in [18]. Parameters Values
Inductor load 50mH
Resistor load 19Ω
Inductor arm L 1mH
Resistor arm R 0Ω
Capacitor C 1000
Fundamental frequency f 50
Sampling frequency Fs 10
Input Voltage Vdc 150
Reference Current ILoadref (peak) 3A
Number of cells per arm 2

 dI diff    R 
U1

U2

U3

U4
0

Fig. 1. Configuration of the 4-cell MMC circuit  dt   L 2L 2L 2L 2L 
   
 dE1   U1 0 0 0 0
U1  Vdc 
 dt   C 2C   I diff   2 L 
  U  E   
U2
 dE2   2 0 0 0 0  1   0 
 dt   C 2C   E2   0 
 dE    U 31 U  E   (1)
 3
  0 0 0 0  3  3   0 
 dt   C 2C   E4   
 dE4   U 4 U   0
   0 0 0 0  4   I load   0 
 
 dt   C 2C 
 dI load   0 U1 U2 U3 U4 R  2 RL 
 dt     
 L  2 LL L  2 LL L  2 LL L  2 LL L  2 LL 

These simulation results will be used to detect and localize

Fig. 2. Experimental setup of the MMC system.
A mathematical model for this topology can be derived using
Kirchhoff laws. The model state variables are the following:
four capacitor voltages, load current, and circulating current.
only the switch open-circuit fault in the system as described in
next section. Note that the switch short-circuit fault is usually
detected by proper protection devices.
A. Data Acquisition
In our simulations, we recorded 7 channels of data for normal
(no-fault) and 8 different switch failure (fault) cases. The
recording time is 0.5 seconds after the circuit reaches the
steady-state conditions (i.e., after 5 seconds of operation). The

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sampling frequency of the data is 10 kHz; therefore, we have
5000 samples for 0.5 seconds of recording of each channel. As
a result, we have a 5000x7 data matrix where each column holds
the data for each channel. The acquired data channels are:
1. time,
2. cell1 capacitor voltage,
3. cell2 capacitor voltage,
4. cell3 capacitor voltage,
5. cell4 capacitor voltage,
6. differential or circulating current,
7. load current
Since this is a 4-cell MMC topology with 8 switches, each
cell can mimic 2 switch failures and, hence, a total of 2x4=8
different fault cases can be simulated. Overall, this turns out to
be a 9-class classification problem where the classifier can
detect and identify any fault as soon as it classifies the raw data
as one of the fault cases. As the input voltage frequency is 50Hz,
this induces a natural period of 20ms. Each fault case may
significantly vary depending on its occurrence time within one
cycle period of the input voltage. Therefore, the data acquisition
is further repeated for 5 different time biases (every 5ms from
0 to 20ms) for the normal and 8 fault cases: ∆1=0ms, ∆2=5ms,
…, ∆5=20ms. So, normal and each fault type are repeated 5
times starting at (5s + ∆i) where i = [1:5]. Finally, normal and
fault cases vary depending on the load current, Iload , and the
main challenge is to detect and identify any fault occurrence
independent from the load current and the time bias. For this
purpose, we have repeated the data acquisition setup for 10
different load currents: Iload = [1:10]A.
Fig. 3: The cell1 capacitor voltage (channel 2) plots of the 8 fault classes (class [1:8]) for Iload=1A.
III. THE PROPOSED SYSTEM
The proposed system is designed for real-time monitoring of
any MMC circuit for the detection and identification of switch
failures. The MMC topology detailed earlier is used for
performance evaluation. First, a proper data processing is
performed in order to segment and normalize the MMC data.
This is necessary for both training and classification (fault
detection + identification) phases. The training of the 1D CNN
is an offline and one-time process. The classification of the
MMC data should have a fast response, very low probability of
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Fig. 3 shows the voltage plots for Iload = 1A acquired from
channel 2 (cell1 capacitor voltage). Each sub-plot corresponds
to one of the 8 fault classes and contains the plots for all 5 time
biases. As expected the time bias significantly alters the fault
plot. In fact, in the normal case, the capacitor voltage fluctuates
around the set value 150V (Fig. 3, case 0), while for the fault
cases, capacitor voltages deviate gradually up or down far from
the set value (Fig. 3, cases 1-8). However, this is a long-term
observation; whereas the short-term observation, e.g., one or
few cycles, several fault cases also contain abrupt changes
different from the long-term pattern. This clearly indicates that
the analysis window (frame size) for classification should be
sufficiently long (i.e., a minimum of 20 cycles or more).
Overall, channel 2 data present a significant discrimination
among some of the 8 fault classes (e.g., classes 1 and 8).
Obviously, this is not the case for channel 1 data (the time
stamp) which is identical among all classes and hence can be
discarded. The same observation can be made for channel 7 (the
load current). Therefore, we shall be using the data from 5
channels, channels 2 to 6 for fault detection and identification.
However, it is obvious that channel 2 data alone will not
discriminate among some fault classes, e.g., the plots for classes
5-8 have a quite similar pattern. This will be addressed with the
use of the data from other channels that contain discriminative
data.
Finally, variations in the load current significantly alters both
normal and fault cases. Due to the space limitations we had to
omit the corresponding voltage plots of the normal and fault
classes with different load currents.
false alarms, and high accuracy for the real-time detection and
identification of MMC switch failures. Fig. 4 presents an
illustration of the system setup for the training of the adaptive
1D CNN that performs real-time classification. The first step of
the data processing is data segmentation, which creates
overlapped data segments (with ∆N samples apart) each with N
samples long. Therefore, there will be a (N-∆N)/N percent
overlap between consecutive segments. As discussed earlier,
data segments should be created sufficiently long so that the
confusion due to short-term inter-similarities among the classes
can be minimized. Our expectation is that the longer the data
segments are, the better characterization of each class can be
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captured and hence a better discrimination among the classes
can be achieved. Another crucial objective is to achieve a fast
response time; therefore, we set the maximum classification
(fault detection and identification) time as 100ms. This means
that any fault should be detected and identified within 100ms in
a practical use-case scenario. Since the proposed system will
process consecutive segments each with ∆N samples apart, this
Class 0 (Normal)
Ch. 2
MMC
Data Acquisition
Ch. 6
Fig. 4: The main blocks of the proposed system and the offline training of the adaptive 1D CNN.
As the second step of data processing, the objective is to
analyze the characteristics of the long-term waveform patterns
of each class rather than the local amplitude variations which
can be deceiving. For this purpose, each data segment is
individually normalized into [-1,1] range. This will remove the
aforementioned amplitude variations. With N = 1000 samples
and ∆N=200 samples, we have 21 data segments for each time
bias, a total of 5x21=105 segments for each 0.5s long record.
The plots on the left side contain the graphs of the 5 records,
one per time bias, the plots in the middle are the normalized 105
graphs of the segments and finally, the plots on the right show
the selected 3 graphs among the 105 in the middle for a better
illustration. There are several important observations worth
mentioning here. First, the duration of each segment (N=1000
samples) can capture 5 periods of the cell voltage and the long-
term paternal characteristics of each class are quite distinctive
in the segments. As the processing time resolution (inter-
segment distance), ∆N=200 samples, corresponds to one period
(20ms), the segments are naturally time-aligned for analysis and
recognition. Moreover, the normalization of each segment
individually into the range of [-1,1] removes the local amplitude
variations whilst capturing only the main features. For instance,
the classifier can learn the regular sinusoidal pattern of the
normal class (class 0) along with the distorted uphill and
square-like waveform of the fault classes 1 and 3, respectively.
Fig. 5 illustrates the proposed system that performs a sample
real-time fault detection and identification after the (offline)
training of the 1D CNN as illustrated in Fig. 4. In the sample
data acquisition presented in the plots in the illustration, it is
evident that a fault occurred at sample 5000 where normal (N =
class 0) signal of the MMC circuit altered to a switch failure at
the cell1 (F1 = class 1). At a particular time, t, the data
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will set the time resolution for the system operations. In this
study, we are aiming a high time resolution, i.e., 20ms, which
corresponds to, ∆N=200 samples. As each MMC data record is
0.5 seconds long (after the steady state is achieved) with 5000
samples for the sample MMC topology, the total number of data
segments will therefore be, 1+(5000 – N) / ∆N, per time bias
of each record.
Training
(Offline)
Ch. 2
Data Processing Adaptive 1D CNN
Back-Propagation
Ch. 2 Segment
Raw Norm. Segments
Segment Class Vector
1
Segmentation Norm.
(N, ΔN) [-1,1]
5
Ch. 6
Ch. 6
processing block conducts the segment at time t to the 1D CNN,
which immediately classifies the segment. The SoftMax block
determines the CNN classification output (e.g., F1 in the sample
acquisition at time t) from the output class vector of the CNN.
The final class decision at time t, is conducted by buffering the
next S consecutive CNN classification outputs and applying a
certain majority rule to determine the class type of the first
segment. This significantly reduces the classification noise and
hence improves the fault detection and identification accuracy.
To further minimize the false alarms (the classification errors
on normal segments that are misclassified as a fault case), the
majority rule for deciding a fault segment requires that each
CNN output of all buffered segments should be a fault class, or
equivalently, the final class decision of the next segment is a
fault class only if the outputs of all the segments in the buffer
should be among the fault classes.
For the fault identification, the majority class (the fault class
that has the highest number of segments) among the S
segments’ outputs will be the actual fault class of the segment
(and obviously all the segments following). In the example
presented in the figure, for S=5 segments; the occasional false
alarms among normal (N) segments (shown in green color
among the normal CNN outputs) will, therefore, not alter the
final class output since 5 consecutive fault classes do not
appear. For fault identification, the majority fault class type
among the outputs of the 5 becomes the final class decision for
that segment, which is F1 type for the segments indicated in the
figure. Note that in this way both false alarms and fault
identification errors (shown in green color among the F1 CNN
outputs) can be minimized.
The trade-off is the extra buffering delay for obtaining the
final classification. There will be (S-1)x∆N samples delay, or
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Class 0 (N)Class 1 (F1)

Real-time Fault Detection and
Identification
Ch. 2
Adaptive 1D CNN
MMC Ch. 2
Forward Propagation

Data Processing Class Decision

Raw Norm. Segments

Data Acquisition Ch. 2 1 Output

Segment Class Vectors

Segment
Buffer
Segmentation Norm.
(N, ΔN) [-1,1] (S=5)

SoftMax
t
Ch. 6 Ch. 6 CNN t-1
Final
Output (t) Output (t-4)

Majority
5

Rule
t-2
= F1 =N
t-3
Segment (t) t-4

Ch. 6
(t-4) t time
(3000) (4000) (5000) (6000) (7000) (samples)
CNN
N N N N F3 N N F8
F2 N N N N N N N N F1 F1 F1 N F1 F1 F1 F1 F4 F1 F4 F1 F1 F1 F1
N F2
Output

Final
F3
N N N F8
N N N N N N N N N F1
N F1
N F1
N F1
N F1 F1 F1 F1 F1 F1 F1 F1 F1 F1 F1
Output

Fig. 5: The proposed system architecture for real-time fault detection and identification after the (offline) training of the 1D CNN as illustrated
in Fig. 4. In the sample data acquisition above, the switch 1 in cell1 of the MMC circuitry failed at the sample number 5000.
equivalently, for the setting of ∆N=200 samples, there will be operations are fused into one body that can be optimized to
(S-1)x20ms time delay, i.e., for S=5, the classification time maximize the classification performance. This is the main
delay is 80ms, which is below the target delay level, 100 ms. advantage of CNNs that can also provide a low computational
complexity.
IV. 1D CONVOLUTIONAL NEURAL NETWORKS
B. Forward and Back Propagation
A. Adaptive 1D CNN Overview As illustrated in Fig. 6, the forward propagation (FP) from
The three consecutive CNN layers of the 1D CNNs are the previous CNN layer, l-1, to create the input of the kth hidden
shown in Fig. 6. The 1D filter kernels have size 3 and the sub- neuron on the next layer, l, can be expressed as,
sampling factor is 2. Below, we shall briefly explain the layer N l 1

types in the 1D CNNs and the basic operations performed in the xkl  bkl   conv1D ( wikl 1 , sil 1 ) (2)
i 1
hidden neurons.
There are two types of layers in the adaptive 1D CNNs: 1) where, xkl is the input, bkl is the bias of the kth neuron at layer
CNN-layers where both 1D convolutions and sub-sampling l, and sil 1 is the output of the ith neuron at layer l-1. wikl 1 is the
occur, and 2) Fully-connected multi-layer perceptron (MLP)
layers that are identical to the hidden and output layers of a 1D kernel from the ith neuron at layer l-1 to the kth neuron at
standard MLP. The CNN-layers are basically the “fused” layer l. The main objective of the adaptive CNN topology is to
version of the convolutional and sub-sampling layers of the achieve the flexibility to set the number of hidden CNN layers
conventional 2D CNNs. to any reasonable number. For this the sub-sampling factor of
the output CNN layer (the hidden CNN layer just before the first
Layer (l‐1) Layer l Layer (l+1) MLP layer) is assigned adaptively to the dimensions of its input
l 1
map. For example, in Fig. 6 assume that the layer l+1 is the
s 1 f '(x ) l
k kth neuron b1l 1 output CNN layer. So the sub-sampling factors for that layer is
x1l 1
w1l k1 automatically set to ss = 8 since the input map dimension is 8
b l
w kl 1 +
k
f’ 1x8 in this sample illustration. Besides the sub-sampling, note that
x kl
+ the dimension of the input maps will gradually decrease due to
wikl 1 the convolution without zero padding, i.e., in Fig. 6 the
l 1 b lj1
s y kl f s kl x lj1
i
SS(2)
w kl j dimension of the neuron output is 22 at the layer l-1 that is
+ 1x8 reduced to 20 at the layer l. As a result of this, the dimension
1x20 1x10
wNl l11k
b l 1 of the input maps of the current layer is reduced by K-1 where
 l
l
N l 1
s Nl l11
k
US(2)
sk l
wkN l 1 x Nl l11 K is the size of the kernel.
1x20 1x10 + In a brief way the back-propagation (BP) training will now
1x8
1x22
be formulated while skipping the derivation steps. For more
Fig. 6: The CNN layers of the adaptive 1D CNN. information and BP derivation details, the Reader can refer to
[14]-[17]. Let l=1 and l=L be the input and output layers,
This is also apparent in the figure where the kth neuron first respectively. The mean-square-error (MSE) in the output layer
performs a sequence of convolutions, the sum of which is can be expressed as,
NL

 y 
passed through the activation function, f, following with the 2
sub-sampling operation at the end. Overall, the CNN layers
E  E ( y1L ,...., y NL L )  i
L
 ti (3)
i 1
mainly process the raw data and “learn to extract” such features
For an input vector p, and its corresponding output vector,
that can be used by the classification performed by the MLP-
layers. Therefore, both feature extraction and classification [ y1L ,...., y NL L ] , we are interested to find out the derivative of this

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error with respect to an individual weight (connected to that
neuron, k) wikl 1 , and bias of the neuron k, bkl , so that we can
perform gradient descent method to minimize the error
accordingly. Once all the delta errors in each MLP layer are
determined by the BP, then weights and bias of each neuron can
be updated by the gradient descent method.
V. PERFORMANCE EVALUATIONS
In accordance with the data acquisition and the experimental
environment detailed in Section 2, in this section the proposed
system is extensively tested and evaluated over the dataset
created by using the sample MMC topology. As discussed
earlier, for the system to be useful in practice, it should detect
and identify (localize) any switch fault regardless of the load
current level and its time of occurrence. Therefore, the
classification performance is validated when both the load
current and the time bias of the induced circuit fault vary. For
this purpose, the 5-channel data records in the dataset are
separated into train and test partitions where the latter partition
will be unavailable (with unknown load currents and time
biases) to the classifier trained over the former partition. Next
the scalability of the system will be evaluated over a larger
MMC circuit. Finally, the computational complexity of the
system for both training (offline) and classification (online) will
be discussed in detail.
A. Experimental Setup
As there are 10 records in the dataset, we performed 10-fold
cross validation and for each fold, one record is kept for testing
while the other nine are used for training. This allows us to test
the proposed system over all the records and hence all the
simulated load currents and the time biases. Since the training
algorithm, Back-Propagation (BP), is a gradient descent
algorithm which has a stochastic nature and thus can present
varying performance levels, for each record in the dataset (for
each fold), we performed 10 BP runs and computed their 9x9
confusion matrices that are then accumulated to compute the
overall confusion matrix (CM). Each CM per fold is then
accumulated to obtain the final CM that can be used to calculate
the probabilities of classification errors (used for fault
identification). Moreover, for the fault detection which is a
binary classification problem, a 2x2 confusion matrix is
deducted from the 9x9 final CM and the overall detection
performance can be evaluated using the most common metrics,
i.e., classification accuracy (Acc), sensitivity (Sen), specificity
(Spe), and positive predictivity (Ppr). The definitions of these
standard performance metrics using the hit/miss counters, e.g.,
true positive (TP), true negative (TN), false positive (FP), and
false negative (FN), are as follows: Accuracy is the ratio of the
number of correctly classified patterns to the total number of
patterns classified, Acc = (TP+TN)/(TP+TN+FP+FN);
Sensitivity (Recall) is the rate of correctly classified fault
segments among all fault segments, Sen = TP/(TP+FN);
Specificity is the rate of correctly classified normal (class 0)
segments among all normal segments, Spe = TN/(TN+FP); and
Positive Predictivity (Precision) is the rate of correctly
classified fault segments in all detected segments, Ppr =
TP/(TP+FP). Furthermore, False Alarm Rate (FAR) can be
defined as, FAR = 1-Spe = FP/(TN+FP). FAR is the probability
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7
of misclassification of a normal segment as a fault segment. In
a similar fashion, MFS = (1-Sen) = FN/(TP+FN), is the
probability of missing a fault segment. Both FAR and MFS are
computed for the classification of a single segment at the output
of the SoftMax block illustrated in Fig. 5. Using these
probabilities, we will then calculate the final FAR and MFS of
the final class decision of the system by considering the buffer
size, S, which is set as, S=5. Note that higher S values (e.g., 7
or even higher) can further reduce the classification noise and
hence final FAR and MFS values; however, it will cause higher
delays which might be critical for certain MMC applications.
The 1D CNN-based motor fault detection system used in all
experiments has a compact configuration with only three
hidden convolution layers and two MLP layers. In this way, we
aim to accomplish an elegant computational efficiency for
training but mainly for real-time fault detection and
identification. The 1D CNN configuration used in all
experiments has [32 16 16] hidden neurons on the three hidden
CNN layers and 32 neurons on the hidden MLP layer. The
output (MLP) layer size is 9 which is the number of classes and
there are 5 input neurons each of which takes raw data of length
N from an individual data channel. We used N=1000. As
discussed earlier, the setting, ∆N=200 samples, which
corresponds to one natural period of 50Hz voltage source (20ms
period), provides the highest time resolution with the minimal
delay. The two parameters of the 1D CNN, the kernel size, K,
and the sub-sampling factor, ss, are set to 21 and 6, respectively.
In this case, the sub-sampling factor for the last CNN layer is
adaptively set to 3.
For all experiments, we assigned a two-fold stopping criteria
for BP training: the minimum train classification error (CE) is
1% or the maximum number of BP iterations is iterNo =100.
Occasionally, the training could not converge and those runs are
repeated with a random parameter initialization. The learning
factor, ε, is initially set as 0.001 and the global adaptation is
performed during each BP iteration: for the next iteration if the
train MSE decreases in the current iteration ε is increased by
5%; otherwise, it is reduced by 30%.
B. Fault Detection and Identification Performance
Evaluation
With the setting N=1000, Fig. 7 presents the normalized
confusion matrix (NCM), which shows the percentages (%) of
segment classification results obtained over the test data from
the 10-fold cross validation where each fold is repeated by 10
BP runs.
Table II presents the 2x2 deducted CM that combines all fault
segments into one category, F while the normal segment count
is represented as N. Since this CM is the output of a binary
classification, the basic hit/miss counters, TP, TN, FP and FN
for fault detection can be directly defined. Then the standard
performance metrics for the fault detection can be calculated as
follows: Acc = 0.9977, Sen = 0.9977, Ppr = 0.9934, and Spe =
0.9473. Over these metrics, the probability of missing a fault
segment, MFS and the probability of misclassification of a
normal segment (false alarm rate), FAR can be computed as,
MFS = 0.0023 and FAR = 0.0526, respectively. Recall that these
probabilities are based on single segment classification by the
CNN output.
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5 5
5 4 4 2 4 2
1 2 (11)
8.4 10

So, the proposed system has, 1-PM(5) = 99.16% or higher

probability of identifying the fault type accurately. On the other
hand, one can calculate that the average probability of accurate
fault identification is higher than 99.7%.
C. Scalability
Robustness of the proposed approach against the variations
in fault time delay and the load current was already
demonstrated by the data acquisition setup for 10 different load
currents: Iload = [1:10]A and 5 different fault time biases,
  ∆1=0ms, ∆2=5ms, …, ∆5=20ms. In order to demonstrate the
Fig. 7: Normalized Confusion Matrix presents the percentages (%) of
robustness against the increasing MMC circuit size, or
segment classification results obtained from the 10-fold cross
validation where each fold is repeated by 10 BP runs. “scalability” capability in short, we tested the proposed system
over a larger MMC circuit with 8-cels and 16-switches. This
TABLE II: PARAMETRIZED 2X2 CONFUSION MATRIX DEDUCTED does not only double the size of the circuit, the number of
FROM THE FINAL 9X9 CONFUSION MATRIX IN FIG 9. acquired data channels is also increased from 7 to 11 as there
Truth are 4 more cell capacitor voltage. As for the 4-cell circuit, we
drop the 1st and the last channel and used 9 channels in the input
N F
layer of the 1D CNN. Moreover, the number of fault classes is
Real

N TN=9947 FN=197 also doubled from 8 to 16; hence the output layer of the 1D
CNN has now a class vector for the 1 (N) + 16 (F) = 17 classes.
F FP=553 TP=83803
The configuration of the 1D CNN, the BP training (ε and
iterNo) and the segmentation parameters (N and ∆N) are kept
The final class decision using the majority rule over the S the same as before.
buffered segment classes can further reduce both FAR and
MFS, i.e., with S=5, the probabilities can be computed as
follows:
5 4.02x10
(10)
5 5 1 1.14x10

As intended, the final FAR has an extremely low probability

of occurrence, which makes the fault detection reliability of the
proposed system practically 100%. Moreover, the MFS(5)
computed in (10) indicates that the probability of fault detection
with a 80ms delay is highly probable, i.e., with the probability
of 1-MFS(5) = 98.85%. Even if the fault detection fails (with
probability 1.14%) the repetition of the failure for the 2nd time
(the probability of failure with two consecutive class decisions)
has a probability of 1.31x10 , which is negligible. As a result,
the proposed system can detect any switch fault of the MMC
circuit and most likely, within the target delay.  
Fig. 8: For the 8-cell MMC, Normalized Confusion Matrix presents
According to the normalized confusion matrix (NCM) shown the percentages (%) of segment classification results obtained from the
in Fig. 7, the classification result of the SoftMax block (the 10-fold cross validation where each fold is repeated by 10 BP runs.
CNN output) yields probabilities higher than 0.9 (90%) for an
accurate fault identification except for faults F2 and F6. As the
truth (columns) probabilities indicate, fault classes 2 and 6 have TABLE III: PARAMETRIZED 2X2 CONFUSION MATRIX DEDUCTED FROM
THE FINAL 9X9 CONFUSION MATRIX IN FIG. 10.
significant confusion probabilities (10.39% and 8.95%) to fault
classes 4 and 8, respectively. The opposite is also true although Truth
it has lower confusion probabilities. We can, therefore, N F
Real

calculate the probability of misidentification, PM, in the worst- N TN=9884 FN=115

case scenario where the fault type is F2 (PF2 = 83.96%) and
confusion is F4 (PF4 = 10.39%). For buffer size, S=5, this
indicates that the probability of 3 or more F4 misclassification
among the 5 class outputs in the buffer is, therefore, the worst-
case probability of fault misidentification that can be computed
as,
F FP=616 TP=167885
Fig. 10 presents the normalized confusion matrix (NCM),
which is computed by the identical way that the NCM in Fig. 7
is computed. Table III presents the 2x2 deducted CM from
which the standard performance metrics for the fault detection

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for this MMC circuit can be calculated as follows: Acc =
0.9993, Sen = 0.9993, Ppr = 0.9963, and Spe = 0.9413. A direct
comparison with the earlier results for the 4-cell MCM reveals
the fact that the fault detection performance remains almost the
same level. However, we can observe a significant
improvement on the fault identification performance where the
worst-case scenario became the fault type 1 (PF1 = 97.60 from
Fig. 9) and the highest confusion is F2 (PF2 = 0.93%).
Therefore, the worst-case probability of fault misidentification
that can be computed as,
5 5
5 2 2 1 2 1
1 2 (12)
7.7 10
As this is a negligible probability in practice, any fault type
will accurately be identified without any confusion. As a result,
the proposed system can scale well with respect to the MCM
circuit size.
D. Computational Complexity Analysis
We implemented the proposed system using C++ over MS
Visual Studio 2015 in 64bit. This is a non-GPU
implementation; however, Intel ® OpenMP API is used to
obtain multiprocessing with a shared memory. The experiments
are performed on a computer with I7-4700MQ at 2.4GHz (8
CPUs) and 16Gb memory. In theory, this should yield 8x speed
improvement but in practice the observed speed improvement
was between 4.8x to 5x. As mentioned earlier, the crucial
advantage of the proposed system is its significantly low
computational cost that makes real-time classification feasible.
Specifically, using the aforementioned computer, the total time
for forward-propagation of a single segment to obtain the class
vector is about 1.35ms. Since the time resolution of the
proposed system (∆N=200) is 20ms, the proposed system can
function in such speeds that are higher than 13x and 5x real-
time speeds, respectively. The proposed system can also
function in real-time on a single-CPU computer where it takes
less than 8ms to classify a segment.
VI. CONCLUSIONS
Modular multilevel converter (MMC) is a recent and promising
topology for high voltage applications. This paper presented a
novel real-time MMC circuit monitoring system for early fault
detection and identification. The core of the system is
composed of an adaptive 1D Convolutional Neural Network
(CNN) that can fuse the two major blocks of a traditional fault
detection and identification system into a single learning body:
feature extraction and classification. In this way, the
computational burden and the problems that arise due to the
choice and design of hand-crafted features are avoided and
features can be optimized to maximize the classification
performance. This was essential especially for an accurate fault
detection and identification in a MMC circuit since the signal
characteristics significantly vary when the load current and the
time bias of fault occurrence change. An extensive set of
evaluations has been performed over two sample MMC
topologies, one with 4 cells and 8 switches and the other with 8
cells and 16 switches. The experimental results using an
analysis window of N=1000 samples and time resolution of
20ms demonstrate that the aforementioned five objectives are
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9
all achieved, and the following novel contributions are
accomplished:
1) On contrary to other prior ML-based methods, those
computationally demanding pre- or post-processing
operations such as feature extraction, feature selection
(PCA, GA), etc. can be avoided, as the proposed system
can be directly applied to raw voltage/current data, and it
can be used in real-time even on a low-power portable
device,
2) To our best knowledge this is the first study which
demonstrates that the false-alarms can entirely be
eliminated,
3) As opposed to many prior works (e.g., [7-8]) that used
several manually-set thresholds, the proposed approach is
fully automatic and adaptive which does not require such
threshold-setting or manual tuning,
4) Although there were some methods which reported 100%
accuracy on fault detection, to our best knowledge the
proposed approach is now the first method that can
achieve this performance on fault identification
(localization) within the target timing (e.g., less than 0.1
seconds).
Nowadays, a MMC may be composed of hundreds or even
thousands of cells. It is possible that several units of the
proposed system can be used in parallel to monitor such a
massive MMC in such a way that each unit can independently
monitor a group of (e.g., 4 or 8) cells. The implementation and
validation of such a parallelized solution over very large MMC
circuitry will be the topic of our future work.
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Serkan Kiranyaz was born in Turkey, 1972. He
received his BS and MS degrees in Electrical and
Electronics Department at Bilkent University,
Ankara, Turkey, in 1994 and 1996, respectively.
He received his PhD degree in 2005 from Tampere
University of Technology, Institute of Signal
Processing. He was working as a Professor in
Signal Processing Department in the same
university during 2009 to 2015 and he held the
Research Director position for the department and
also for the Center for Visual Decision Informatics (CVDI) in Finland. He
currently works as a Professor in Electrical Engineering Department at
Qatar University, Doha, Qatar.
Prof. Kiranyaz published 2 books, 5 book chapters, 50 journal papers
in 11 different IEEE Transactions and other high impact journals, and
more than 100 papers in international conferences. He made
contributions on bio-signal analysis, particularly EEG and ECG analysis
and processing, classification and segmentation, remote sensing,
computer vision with applications to recognition, classification,
multimedia retrieval, evolving systems and evolutionary machine
learning, swarm intelligence and stochastic optimization.
Adel Gastli (S’89–M’93–SM’00)) received the B.Sc.
Degree in Electrical Engineering from National School
of Engineers of Tunis, Tunisia in 1985. He worked for
two years with the National Institute for Standards and
Intellectual Property in the fields of standardization
and certification of electric products in Tunisia. He
received the M.Sc. and Ph.D. degrees from Nagoya
Institute of Technology, Japan in 1990 and 1993, respectively. He joined
the R&D Department at Inazawa Works of Mitsubishi Electric
Corporation in Japan from Apr. 1993 to Jul. 1995. He then joined the
Electrical and Computer Engineering Department at Sultan Qaboos
University, Muscat, Oman, in Aug. 1995. In February 2013, he joined the
Electrical Engineering Department at Qatar University. His current
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10
research interests include power electronics and drives, energy
efficiency, renewable energy, and smart grid.
Lazhar Ben-Brahim ((S’88–M’91–SM’02)
received the B.Sc. and M.Sc. degrees in Electrical
Engineering from the National School of Engineers
of Tunis, Tunis, Tunisia, in 1985 and 1987,
respectively, and the Ph.D. degree in electrical and
computer engineering from Yokohama National
University, Yokohama, Japan, in 1991. From 1991
to 1997, he was with Toshiba Corporation, Tokyo, Japan. Since
September 1997, he has been with Qatar University, where he is
currently a Full Professor at the Department of Electrical Engineering.
He was the Industrial Electronics Chair for RasGas Company, the Head
of the Industrial Technology Department and the Head of the
Department of Electrical Engineering. His research interests include
power electronics, electric drives, renewable energy, control, and
sensors/instrumentation.
Nasser Al-Emadi, is a founding member of
Qatar society of engineers, Member of IEEE and
advisory board of IEEE Qatar section. He is
head and associate professor at Electrical
Engineering Department at Qatar University,
Doha, Qatar. He received his B.Sc. in Electrical
Engineering and M.Sc. in Electrical Engineering
degrees in 1989 and 1994, respectively, from
Western Michigan University, Kalamazoo,
Michigan, USA and PhD in 2000 from Michigan
State University, East Lansing, Michigan, USA. Besides his academic
duties, Dr. Nasser has held various administrative and technical
positions. During 2002-2004, he was the Assistant Manager of Scientific
and Applied Research Center (SARC). From sept. 2006 until Sept. 2009,
he was appointed the College of Engineering Associate Dean for
Student Affairs. Dr. Al-Emadi, has a wide experience in electric power
systems, control, protection, and in sensor interfacing, Control of multi-
phase motor drives and Renewable Energy sources, as well as
integration of smart grid. He has published widely in International
conferences and journal papers in his field of expertise, as well as
patents. Dr. Al-Emadi has co-authored a book and two chapters in two
other books. He has supervised several large R&D projects.
Moncef Gabbouj received his BS degree in
electrical engineering in 1985 from
Oklahoma State University, and his MS and
PhD degrees in electrical engineering from
Purdue University, in 1986 and 1989,
respectively. Dr. Gabbouj is a Professor of
Signal Processing at the Department of
Signal Processing, Tampere University of
Technology, Tampere, Finland. He was
Academy of Finland Professor during 2011-
2015. His research interests include Big
Data analytics, multimedia content-based
analysis, indexing and retrieval, artificial intelligence, machine learning,
pattern recognition, nonlinear signal and image processing and analysis,
voice conversion, and video processing and coding. Dr. Gabbouj is a
Fellow of the IEEE and member of the Academia Europaea and the
Finnish Academy of Science and Letters. He is the past Chairman of the
IEEE CAS TC on DSP and committee member of the IEEE Fourier
Award for Signal Processing. He served as associate editor and guest
editor of many IEEE, and international journals and Distinguished
Lecturer for the IEEE CASS. He organized several tutorials and special
sessions for major IEEE conferences and EUSIPCO. Dr. Gabbouj
guided 45 PhD students and published 700 papers.