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DOE OSTI2023

Long–short-term memory encoder–decoder with regularized hidden dynamics for fault detection in industrial processes

The ability of recurrent neural networks (RNN) to model nonlinear dynamics of high dimensional process data has enabled data-driven RNN-based fault detection algorithms. Previous studies have focused on detecting faults by identifying the discrepancies in data distribution between the faulty and normal data, as reflected in prediction errors generated by RNN models. However, in industrial processes, variations in data distribution can also result from changes in normal control setpoints and compensatory control adjustments in response to disturbances, making it hard to differentiate between normal and faulty conditions. This paper proposes a fault detection method utilizing a long short-term memory (LSTM) encoder–decoder structure with regularized hidden dynamics and reversible instance normalization (RevIN) to compactly represent high-dimensional measurements for effective monitoring. During training, the hidden states of the model are regularized to form a low-dimensional latent space representation of the original multivariate time series data. As a result, the prediction errors of the latent states can be used to monitor the abnormal dynamic variations, while the reconstruction errors of the measured variables are used to monitor the abnormal static variations. Furthermore, the proposed indices can reflect operating conditions, even when the distribution of test data changes, which helps distinguish faults from normal adjustments and disturbances that controllers can settle. Here, data from numerical simulation and the Tennessee Eastman process are used to illustrate the effectiveness of the proposed fault detection method.

42 ENGINEERING↗

DOE OSTI2023

Automated fault detection and diagnosis of airflow and refrigerant charge faults in residential HVAC systems using IoT-enabled measurements

While automated fault detection and diagnosis (AFDD) in residential heating, ventilation, and air-conditioning (HVAC) using smart thermostat data is gaining increasing attention in recent times, it still requires in-depth investigation for market adoption, especially with real-life data. Furthermore, this paper proposes an Internet of Things (IoT) - based approach that adds a smart sensor to the smart thermostat data to carry out AFDD. The approach uses a model which predicts enthalpy change across the evaporator and compares the prediction to the measured enthalpy change. Deviations which exceed analytically determined thresholds then signal faults in the HVAC system. The faults detected are either installation related or degradation related. Experimental tests were carried out in four homes located in Norman, Oklahoma. From the tests, installation issues like indoor/outdoor mismatch were detected in two homes, while a 30% low charge and low indoor airflow rate were detected in one home. The results show that the proposed AFDD algorithm was able to successfully detect two prevalent faults, namely low indoor airflow and low refrigerant charge. Unlike most of the smart thermostat-based approaches, the proposed IoT-based approach can detect and diagnose both faults but only require one additional sensor which is provided by smart thermostat manufacturers.

32 ENERGY CONSERVATION, CONSUMPTION, AND UTILIZATI↗

DOE OSTI2020

Curation of Ground-Truth Validated Benchmarking Datasets for Fault Detection & Diagnostics Tools

Fault detection and diagnostics (FDD) analytical tools for heating, ventilation and air conditioning (HVAC) systems represent one of the most active areas of smart building technology development. A diversity of techniques is used for FDD analytics, spanning physical models, black box, and rule-based approaches, and researchers continuously strive to develop improved algorithms. With FDD algorithm numbers now in the hundreds, there is a need for performance evaluation of these algorithms in order to assess improvements, improve costeffectiveness, and to prioritize investment in the further development of these technologies. A persistent challenge of FDD advance has been the lack of common datasets to benchmark the performance accuracy of FDD algorithms. This paper summarizes the successful curation of HVAC operational data, paired with validated ground-truth information regarding the presence and absence of faults. The current dataset, consisting of both simulation and experimental data, will evolve to include a larger set of HVAC systems with the objective of creating the largest publicly available dataset to be used by FDD developers, users, and researchers to compare and contrast performance accuracy across FDD algorithms, helping to drive improvements that will spur greater market adoption of FDD tools. Furthermore, in order to avoid previously observed issues with contributed datasets and ensure high quality and consistency of future submissions, the development of data validation and ground-truth assessment protocol is detailed in this study.

Casillas, Armando↗

DOE OSTI2023

Early Fault Detection in Particle Accelerator Power Electronics Using Ensemble Learning

Early fault detection and fault prognosis are crucial to ensure efficient and safe operations of complex engineering systems such as the Spallation Neutron Source (SNS) and its power electronics (high voltage converter modulators). Following an advanced experimental facility setup that mimics SNS operating conditions, the authors successfully conducted 21 early fault detection experiments, where fault precursors are introduced in the system to a degree enough to cause degradation in the waveform signals, but not enough to reach a real fault. Nine different machine learning techniques based on ensemble trees, convolutional neural networks, support vector machines, and hierarchical voting ensembles are proposed to detect the fault precursors. Although all 9 models have shown a perfect and identical performance during the training and testing phase, the performance of most models has decreased in the next test phase once they got exposed to realworld data from the 21 experiments. The hierarchical voting ensemble, which features multiple layers of diverse models, maintains a distinguished performance in early detection of the fault precursors with 95% success rate (20/21 tests), followed by adaboost and extremely randomized trees with 52% and 48% success rates, respectively. The support vector machine models were the worst with only 24% success rate (5/21 tests). The study concluded that a successful implementation of machine learning in the SNS or particle accelerator power systems would require a major upgrade in the controller and the data acquisition system to facilitate streaming and handling big data for the machine learning models. In addition, this study shows that the best performing models were diverse and based on the ensemble concept to reduce the bias and hyperparameter sensitivity of individual models.

43 PARTICLE ACCELERATORS↗

DOE OSTI2023

Toward Statistical Real-Time Power Fault Detection

We propose statistical fault detection methodology based on high-frequency data streams that are becoming available in modern power grids. Our approach can be treated as an online (sequential) change point monitoring methodology. However, due to the mostly unexplored and very nonstandard structure of high-frequency power grid streaming data, substantial new statistical development is required to make this methodology practically applicable. The paper includes development of scalar detectors based on multichannel data streams, determination of data-driven alarm thresholds and investigation of the performance and robustness of the new tools. Due to a reasonably large database of faults, we can calculate frequencies of false and correct fault signals, and recommend implementations that optimize these empirical success rates.

bolted faults↗

DOE OSTI2023

High Impedance Fault Detection Through Quasi-Static State Estimation: A Parameter Error Modeling Approach

This paper presents a model for detecting high impedance faults using parameter error modeling and a two step per-phase weighted-least squares state estimation process. The proposed scheme leverages the use of Phasor Measurement Units and synthetic measurements to identify per-phase power flow and injection measurements which indicate a parameter error through ?2 Hypothesis Testing applied to the composed measurement error. Although current and voltage waveforms are commonly analyzed for high-impedance fault detection, wide area power flow and injection measurements, which are already inherent to the state estimation process, also show promise for real-world high-impedance fault detection applications. The error distributions after detection share the measurement function error spread observed in proven parameter error diagnostics and can be applied to high-impedance fault identification. Further, this error spread across measurement functions related to the fault will be clearly discerned from measurement error. Case studies are performed on the IEEE 33-Bus Distribution System along with the proposed model in Simulink.

Cooper, Austin↗

DOE OSTI2022

Node Monitoring as a Fault Detection Countermeasure against Information Leakage within a RISC-V Microprocessor

Advanced, superscalar microprocessors (μP) are highly susceptible to wear-out failures because of their highly complex, densely packed circuit structure and extreme operational frequencies. Although many types of fault detection and mitigation strategies have been proposed, none have addressed the specific problem of detecting faults that lead to information leakage events on I/O channels of the μP. Information leakage can be defined very generally as any type of output that the executing program did not intend to produce. In this work, we restrict this definition to output that represents a security concern, and in particular, to the leakage of plaintext or encryption keys, and propose a counter-based countermeasure to detect faults that cause this type of leakage event. Fault injection (FI) experiments are carried out on two RISC-V microprocessors emulated as soft cores on a Xilinx multi-processor System-on-chip (MPSoC) FPGA. The μP designs are instrumented with a set of counters that records the number of transitions that occur on internal nodes. The transition counts are collected from all internal nodes under both fault-free and faulty conditions, and are analyzed to determine which counters provide the highest fault coverage and lowest latency for detecting leakage faults. We show that complete coverage of all leakage faults is possible using only a single counter strategically placed within the branch compare logic of the μPs.

42 ENGINEERING↗

DOE OSTI2023

1-D Convolutional Graph Convolutional Networks for Fault Detection in Distributed Energy Systems

This paper presents a 1-D convolutional and graph convolutional networks for fault detection in microgrids. The combination of 1-D convolutional neural networks (1D-CNN) and graph convolutional networks (GCN) helps extract both spatial-temporal correlations from the voltage measurements in microgrids. The fault detection scheme includes fault event detection, fault type and phase classification, and fault location. There are five neural network model training to handle these tasks. Transfer learning and fine-tuning are applied to reduce training efforts. The combined 1-D convolutional and graph convolutional networks (1D-CGCN) is compared with the traditional ANN structure on the Potsdam 13-bus microgrid dataset. The accuracy of 99.5%, 98.4%, 99.2%, and 95.5% are achieved in fault event detection, fault type classification, fault phase identification, and fault location respectively. The detailed confusion matrices of fault type and fault phase classification are provided for validation.

deep neural network↗

DOE OSTI2021

Fault Detection on Seismic Structural Images Using a Nested Residual U-Net

Automatic identification of faults on seismic structural images is a challenging yet crucial task in quantitative seismic interpretation. Human picking or attribute-based fault detection methods may misidentify faults on noisy, complex seismic images. In this work, we develop a new automatic fault detection method using a nested residual U-shaped convolutional neural network. Each of the encoders and decoders in this neural network is a residual U-Net, leading to a nested architecture. The final fault map results from the fusion of three fault maps with low, medium, and high fault resolutions. We demonstrate the excellent fault-detection capability of our nested neural network using a series of synthetic and field seismic images. We find that our approach produces clearer and more interpretable fault maps than the current state-of-the-art U-Net fault detection method, particularly on noisy seismic images. Our new automatic fault detection method can facilitate reliable quantitative seismic interpretation on field seismic images.

58 GEOSCIENCES↗

DOE OSTI2024

Image-based novel fault detection with deep learning classifiers using hierarchical labels

One important characteristic of modern fault classification systems is the ability to flag the system when faced with previously unseen fault types. This work considers the unknown fault detection capabilities of deep neural network-based fault classifiers. Specifically, we propose a methodology on how, when available, labels regarding the fault taxonomy can be used to increase unknown fault detection performance without sacrificing model performance. To achieve this, we propose to utilize soft label techniques to improve the state-of-the-art deep novel fault detection techniques during the training process and novel hierarchically consistent detection statistics for online novel fault detection. Lastly, we demonstrated increased detection performance on novel fault detection in inspection images from the hot steel rolling process, with results well replicated across multiple scenarios and baseline detection methods.

42 ENGINEERING↗

DOE OSTI2025

Seismicity-constrained fault detection and characterization with a multitask machine learning model

Geological fault detection and characterization are crucial for understanding subsurface dynamics across scales. While methods for fault delineation based on either seismicity location analysis or seismic image reflector discontinuity are well-established, a systematic approach that integrates both data types remains absent. We develop a novel machine learning model that unifies seismic reflector images and seismicity location information to automatically identify geological faults and characterize their geometrical properties. The model encodes a seismic image and a seismicity location image separately, and fuses the encoded features with a spatial-channel attention fusion module to improve the learning of important features in both inputs. We design an automated strategy to generate high-quality synthetic training data and labels. To improve the realism of the seismicity location image, we include random seismicity noise and missing seismicity location associated with some of the faults. We validate the model’s efficacy and accuracy using synthetic data examples and two field data examples. Moreover, we show that fine-tuning the trained model with a small, domain-specific dataset enhances its fidelity for field data applications. The results demonstrate that integrating seismicity location and seismic images into a unified framework allows the end-to-end neural network to achieve higher fidelity and accuracy in delineating subsurface faults and their geometrical properties compared with image-only fault detection methods. Our approach offers an adaptive data-driven tool for geological fault characterization and seismic hazard mitigation, bridging the gap between seismicity location and image-based fault detection methods.

58 GEOSCIENCES↗

DOE OSTI2023

Sensitivity analysis of an automated fault detection algorithm for residential air-conditioning systems

The state of the art of fault detection and diagnosis (FDD) for residential air-conditioning systems is expensive and not yet amenable to widespread implementation. FDD for homes can significantly reduce utility costs, and increase the lifespan of the equipment. The cost barriers currently, however, make FDD for homes economically unviable for large scale implementation. In prior work, we offered a solution to reduce FDD costs by proposing an automated fault detection algorithm to serve as a screening step before more expensive FDD tests can be conducted. The algorithm uses only the home thermostat and local weather information to identify thermodynamic parameters and detect high-impact air-conditioning faults, including those that occur during equipment installation. We had tested the algorithm on a single EnergyPlus™ model of a home in Orlando, Florida. The thermodynamic parameter identification process is highly nonconvex involving several local optimal solutions. In this paper we propose a novel method to select the best model for fault detection from among the list of local optimal solutions to make the algorithm more robust to homes of different construction, without which the fault detection process would be infeasible. Another unique contribution of the paper is implementing the solution on real-world data. We also bring the algorithm closer to market by testing it on real-world data. We implement the algorithm on data obtained from experiments conducted by the Florida Solar Energy Center (FSEC) on a laboratory home equipped with a heat pump where faults were intentionally added for a period of seven months. The algorithm successfully detected an undercharge fault with 70.6% accuracy, concurrent duct leakage and undercharge faults with 85.2% accuracy, and duct leakage faults with 69.1% accuracy. A sensitivity analysis is also performed on EnergyPlus models of nine types of homes that vary in construction to demonstrate the robustness of the algorithm. Finally, the algorithm achieves an average accuracy of 71% for no-fault condition, 77% for 40% undercharge fault, and 76% for duct-leak fault.

32 ENERGY CONSERVATION, CONSUMPTION, AND UTILIZATI↗

DOE OSTI2020

Development and Implementation of Fault-Correction Algorithms in Fault Detection and Diagnostics Tools

A fault detection and diagnostics (FDD) tool is a type of energy management and information system that continuously identifies the presence of faults and efficiency improvement opportunities through a one-way interface to the building automation system and the application of automated analytics. Building operators on the leading edge of technology adoption use FDD tools to enable median whole-building portfolio savings of 8%. Although FDD tools can inform operators of operational faults, currently an action is always required to correct the faults to generate energy savings. A subset of faults, however, such as biased sensors, can be addressed automatically, eliminating the need for staff intervention. Automating this fault “correction” can significantly increase the savings generated by FDD tools and reduce the reliance on human intervention. Doing so is expected to advance the usability and technical and economic performance of FDD technologies. This paper presents the development of nine innovative fault auto-correction algorithms for Heating, Ventilation, and Air Conditioning pi(HVAC) systems. When the auto-correction routine is triggered, it overwrites control setpoints or other variables to implement the intended changes. It also discusses the implementation of the auto-correction algorithms in commercial FDD software products, the integration of these strategies with building automation systems and their preliminary testing.

field testing↗

DOE OSTI2024

An Engineered Minimal-Set Stimulus for Periodic Information Leakage Fault Detection on a RISC-V Microprocessor

Recent evaluations of counter-based periodic testing strategies for fault detection in Microprocessor (μP) have shown that only a small set of counters is needed to provide complete coverage of severe faults. Severe faults are defined as faults that leak sensitive information, e.g., an encryption key on the output of a serial port. Alternatively, fault detection can be accomplished by executing instructions that periodically test the control and functional units of the μP. In this paper, we propose a fault detection method that utilizes an ’engineered’ executable program combined with a small set of strategically placed counters in pursuit of a hardware Periodic Built-In-Self-Test (PBIST). We analyze two distinct methods for generating such a binary; the first uses an Automatic Test Generation Pattern (ATPG)-based methodology, and the second uses a process whereby existing counter-based node-monitoring infrastructure is utilized. We show that complete fault coverage of all leakage faults is possible using relatively small binaries with low latency to fault detection and by utilizing only a few strategically placed counters in the μP.

42 ENGINEERING↗

DOE OSTI2020

Secured fault detection in a power substation

Systems and methods for fault detection and protection in electric power systems that evaluates electromagnetic transients caused by faults. A fault can be detected using sampled data from a first monitored point in the power system. Detection of fault transients and associated characteristics, including transient direction, can also be extracted through evaluation of sample data from other monitored points in the power system. A monitoring device can evaluate whether to trip a switching device in response to the detection of the fault and based on confirmation of an indication of detection of fault transients at the other monitored points of the power system. The determination of whether to trip or activate the switching device can also be based on other factors, including the timing of receipt of an indication of the detection of the fault transients and/or an evaluation of the characteristics of the detected transients.

24 POWER TRANSMISSION AND DISTRIBUTION↗

DOE OSTI2023

Secured fault detection in a power substation

Cui, Tao↗

DOE OSTI2022

Adaptive Fault Detection Based on Neural Networks and Multiple Sampling Points for Distribution Networks and Microgrids

Smart networks such as microgrid (MG) and active distribution networks (ADN) have been recently playing an important role in power system operation. The design and implementation of appropriate protection systems for such networks must be addressed, which imposes new technical challenges. This paper presents the implementation and validation aspects of an adaptive fault detection strategy based on neural networks (NNs) and multiple sampling points for ADN and MG. The solution is implemented on an edge device. Artificial NNs are used to derive a data-driven model that uses only local measurements to detect fault states of the network without the need for communication infrastructure. Multiple sampling points are used to derive a data-driven model, which allows the generalization considering the implementation in physical systems. The adaptive fault detector model is implemented on a Jetson Nano system, which is a single-board computer (SBC) with a small Graphic Processing Unit (GPU) intended to run machine learning loads at the edge. The proposed method is tested in a physical, real-life, low-voltage network located at Universidad del Norte, Colombia. This testing network is based on the IEEE-13 Node Test Feeder scaled down to 220 V. The validation in a simulation environment shows the accuracy and dependability above 99.6%, while the real-time tests show the accuracy and dependability of 95.5% and 100%, respectively. Without hard-to-derive parameters, the easy-to-implement embedded model highlights the potential for real-life applications.

42 ENGINEERING↗

DOE OSTI2021

Fault Detection Utilizing Convolution Neural Network on Timeseries Synchrophasor Data From Phasor Measurement Units

An end-to-end supervised learning method is proposed for fault detection in the electric grid using Big Data from multiple Phasor Measurement Units (PMUs). The approach consists of preprocessing steps aimed at reducing data noise and dimensionality, followed by utilization of six classification models considered for detecting faults. Three of the models were variants of Convolutional Neural Network (CNN) architectures that consider a single type of measurement (voltage, current or frequency) at all PMUs or all types together also at all PMUs. CNN based models were compared to traditional methods of Logistic Regression (LR), Multi-layer Perceptron (MLP) and Support Vector Machine (SVM). Evaluation was conducted on two-year data measured by PMUs at 37 locations in a large electric grid. Here, the response variable for classification were extracted from the grid-wide outage event log. Experiments show that CNN-based models outperformed traditional methods on one year out-of-sample outage detection over the entire grid.

42 ENGINEERING↗