9

CHAPTER 2

LITERATURE REVIEW

2.1 INTRODUCTION

Early detection and diagnosis of possible faults of systems in a

complex plant will improve the availability of these systems. The diagnosis
and follow up actions will in turn improve the productivity. Mathematical
modeling and performance prediction have been usually helpful for diagnosis
of systems. In this direction, a comprehensive literature survey of
mathematical modeling, performance prediction, fault diagnosis of thermal
power plant systems is presented.

2.2 PERFORMANCE PREDICTION AND FAULT DIAGNOSIS

A comparison of performance prediction using the validated

mathematical model and actual performance will serve as a basis for
diagnosis. In this direction, a few researchers have done considerable work
related to mathematical modeling of thermal power plant systems.

Anscombe (1973) explained the sensitivity of different process

variables affecting the process behavior and proposed the statistical analysis
for predicting the performance of the process. In situations where the
performance of the MIMO system is to be assessed, Gunst and Mason (1979)
used principal component and ridge regression estimators for performance
prediction. Bell and Astrom (1987) outlines a number of nonlinear models
that have been developed for the simulation of fossil- fueled boiler-turbine-
 10

alternator units. Svoboda and Bodmer (1987) discussed the steam turbine
problems such as stress corrosion cracking of rotors and discs, corrosion
fatigue of blades, pitting and flow accelerated corrosion and problem
solutions for the purpose of prediction, inspection and turbine monitoring.
Gertler (1988), presented a survey of techniques which includes residual
generation using the model, signature generation via statistical testing, and
signature analysis to detect and isolate features in complex technological
systems, such as sensor biases, actuator malfunctions, leaks and equipment
deterioration.

Vapnik (1995) discussed the statistical theory of learning and

generalization for the function estimation based on empirical data. Irwin et al
(1995) trained a feed forward neural network for noisy data from a validated
computer simulation of 200 MW oil fired, drum-type turbo generator unit at
Ballylumford power station in Northern Ireland. A global nonlinear neural
network boiler model is developed and shown to produce significantly
improved predictions of the plant outputs across the complete operating
range. Patton et al (1995) provides a review of model-based fault diagnosis
for the components such as actuators, sensors by measuring the available
input and output variables. Wang and Yang (1996) laid down the theoretical
basis for the development of a real-time parallel distributed fault diagnosing
system for continuously monitoring the vibration of the turbine generator of a
300 MW fossil power plant. Aretakis and Mathioudakis (1998) presented an
application of pattern-recognition techniques for the classification of induced
faults in a radial compressor. It is demonstrated that minor faults, do not
affect performance and can be identified using the proposed techniques.

Flynn and Malley (1999) described a drum boiler model developed

from the first principles and validated using data from the tests carried out on
an actual plant. The model can be used in particular to assess the deviations of
 11

internal parameters such as steam pressure, drum level and steam temperature
during abnormal situations. Embrechts et al (2000) showed the efficacy of
neural network algorithm with radial basis functions (RBF) to overcome the
strong non-linearity and time-varying properties associated with systems.

Astrom and Bell (2000) presented a nonlinear dynamic model for

natural circulation system (drum-down comers-water walls) of the boiler to
predict the transient behavior of the circulation system and validated the
model with field test results. Yadaiah et al (2000) demonstrated the
identification of dynamical systems using Neural Networks with fast
converging techniques. Otakar et al (2001) discussed diagnostic devices
available for deposit, corrosion and erosion monitoring to provide new
information on the transport and behavior of various steam impurities used to
trouble shoot steam systems. Further, Yadaiah et al (2002) proposed special
conditions to train the neural networks to describe certain special types of
nonlinear systems (hysterisis type). WU et al (2002) applied the SOM neural
network for fault diagnosis of the system, which is implemented by the neural
network toolbox in MATLAB.

Hung et al (2003) constructed the CMAC (cerebellar model

articulation controller) neural network diagnosis system, depending on the
fault patterns of turbine-generator. Liu et al (2003) modeled the combustion
system of a 300 MW steam-boiler using neuro-fuzzy methodology and tested
the performance capability of the proposed control system in a virtual
environment. Based on the results, the control strategy had been incorporated
in the plant distributed control system. With simulated numerical data,
(Golam Kibria 2003) it is proved that the ridge regression estimators perform
well compared to least squares estimators towards obtaining mathematical
models for systems with known inputs and outputs.
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Arriagada (2003) modeled the biomass-fired boiler of the plant

using ANN which is able to catch the non-linear behavior of the system at
different operating conditions with a satisfying accuracy. Fujiyama et al
(2004) developed the risk-based maintenance (RBM) system for the steam
turbine plants coupled with the quick inspection systems. The failure modes
are determined for each component of steam turbines and the failure scenarios
are described as event trees. Gentil et al (2004) presented a model-based
diagnostic method using both artificial intelligence and control theory. Valero
et al (2006) used data reconciliation methods to make maintenance decisions
based on the impact of malfunctions of subsystems.

Hui and Trevor (2005) discussed efficient computation algorithm

for Elastic Net are derived based on LARs (Least Angle Regression).
Empirical results and simulations have demonstrated its superiority over
LASSO (least absolute shrinkage and selection operator). Fast (2005) trained
artificial neural networks (ANNs) with power plant operational data
pertaining to Lunds Energi’s gas turbine GT10B with heat recovery unit
(HRU) and showed that the results have been promising with high
performance predictability. Evsukoff and Gentil (2005) presented an
application of recurrent neuro-fuzzy systems to recognize the dynamic
evolution of process variables towards diagnosis of the simulated faults in a
pressurized water reactor (PWR). Li et al (2005) proposed Fuzzy C-means
clustering, and Rough set theory to formulate the diagnostic rules in a PWR.
Mesbahi et al (2005) proposed an auto-associative ANN to study an
intelligent sensor validation and fault prediction/diagnosis technique for a
typical steam power plant. Ganyun et al (2005) implemented the support
vector machine (SVM) classifier with four kernel functions and the results of
them are compared. They are used an ANN as the second classifying method
to have a comparison between the performance of the two methods. The
results obtained from two methods confirmed the superiority of SVM with
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some specific kernel functions. Paulina and Szezepaniak (2006) modeled the
complex dependencies of two cooperative turbines using neural networks
with a few percent of estimated error. Kocaarslan et al (2006) presented fuzzy
logic based control technique to regulate the enthalpy outputs in a boiler of a
765 MW coal fired thermal power plant. Conventional proportional, integral
and derivative (PID), fuzzy logic (FL) and fuzzy gain scheduled proportional
and integral (FGPI) controllers have been applied to the power plant model.
Tian et al (2006) proved the applicability of adaptive genetic and neural
algorithm to steam turbine-generators, fault diagnosis using a reference value
for faults recognition. Rajeev Verma et al (2006) developed a fuzzy system to
perform gas turbine fault isolation from noisy measurements using a priori
information about measurement uncertainties using a soft computing
approach for gas turbine diagnostics.

Henryk and Wojciech (2007) utilized the results of measurements

(operational performance) recorded in the computer system and its
calculations to propose a neural model for a steam boiler. De et al (2007)
developed an ANN model with the back propagation algorithm for the
biomass and coal fired combined heat and power (CHP) plant of
Västhamnsverket in Helsingborg, Sweden use the measured data from this
plant. The developed model is found to predict the performance of the plant
with good accuracy. Rocco and Zio (2007) applied an SVM approach to the
classification of transients in nuclear power plants in respect to the
classification of anomalies and malfunctions occurring in the feedwater
system of a boiling water reactor. The data used in the example is provided by
the HAMBO simulator for the Halden Reactor Project. Zaleta et al (2007)
presented the concepts of exergo economic audits and evaluation of steam
turbines. The analysis is based on the first and the second laws of
thermodynamics applied to a power plant. Anas et al (2007) proved the
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applicability of fuzzy min–max (FMM) tool for fault detection and

classification in real environments.

Chandok et al (2008) applied two types of feed forward neural

modeling networks, radial basis function and back-propagation network to
estimate furnace exit gas temperature (FEGT) and trained by calculating
FEGT using heat balances through various heat exchangers. Prediction
accuracy and fast response are the major advantages in using neural network
for estimating FEGT for operational information. Karlsson et al (2008)
presented the maintenance of steam turbines using artificial neural network to
determine the status of steam turbine in relation to the recommended
maintenance interval. Quteishat and Peng (2008) presented the fault detection
and classification of sensors using modified FMM (fuzzy min-max) in a
power generation plant. Bhalja et al (2008) proved the applicability of SVM
with an RBF kernel over polynomial kernel for fault classification in a two-
terminal overhead transmission line.

Fast et al (2009) developed an ANN model which demonstrates

different utilities for industrial use of a gas turbine. The results showed that
the operating and performance parameters of the gas turbine, including
identification of anti-icing mode, can be predicted with good accuracy for
varying local ambient conditions. Chen (2009) presented a model for total
productive maintenance to enhance the efficiency of power plant equipment
and to determine the optimal turbine maintenance cycle with the cost savings
using radio frequency identification (RFID) technology. Changfeng et al
(2009) developed a novel real-time fault diagnosis system by using strata
hierarchical fuzzy CMAC neural network. Oscar Montiel et al (2009)
analyzed the control surface plots of a speed controller for a DC motor and
implemented in FPGA using Verilog hardware description language (VHDL)
code.
 15

Smrekar et al (2010) developed two ANN models, one for the

boiler and one for turbine, which are eventually integrated into a single ANN
model representing the real power plant to predict power output from a coal-
fired plant by using the least number of controllable parameters as inputs.
Salahshoor et al (2010) utilized a fusion of an SVM (support vector machine)
classifier with an ANFIS (adaptive neuro-fuzzy inference system) classifier
for fault detection and diagnosis (FDD) of an industrial steam turbine.

Zare et al (2011) presented an artificial neural network (ANN)

model for predicting the acid dew points of the combustion gases in process
and power plants. Amir et al (2011) estimated the performance of the plant by
a component wise modeling. Han et al (2012) proposed an intelligent PID
control system whose controller parameters are continually adjusted based on
the outputs of a neural network in order to overcome the uncertainties, large
delay, large inertia and nonlinear property of the main steam temperature.
Jianping and Jin (2011) considered various monitoring techniques to improve
safety, reliability, and availability of nuclear power plants. Karim Salahshoor
et al (2011) presented adaptive neuro-fuzzy inference system (ANFIS)
classifiers for an industrial 440 MW power plant steam turbine with once-
through Benson type boiler to illustrate the successful diagnostic
performances against 12 major faults and data deformation corresponding to a
specific fault time history pattern. Azadeh et al (2011) proposed a non-
parametric efficiency frontier analysis methods based on adaptive network
based fuzzy inference system (ANFIS) and genetic algorithm clustering
ensemble (GACE) for performance assessment and improvement of
conventional power plants.

Roberto et al (2011) presented the design, modeling and simulation

of a fixed point defuzzification VHDL method realized in Simulink through
the Xilinx System Generator. Benazzouz et al (2011) built and analyzed
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proposed a novel real-time fault diagnosis system by using Levenberg-

Marquardt algorithm related to tuning parameters of ANN. Gimelli et al
(2012) presented an experimental and numerical analysis to validate the
thermodynamic models of a biomass plant with a maximum power of 2.3
MW.

Hamid et al (2012) derived a state-space representation of the

mathematical model and adopted in designing a robust adaptive controller of
the multiple input multiple output (MIMO) dynamical boiler unit. Yea et al
(2012) modeled using neuro-fuzzy technique using main steam pressure,
condenser back pressure, feedwater flow rate, and final feedwater temperature
to develop a turbine cycle model for the Maanshan Nuclear Power Plant in
Taiwan. Roberto et al (2012) implemented comparative experiments of
control surfaces, and time response in the control of a real plant using the
interval type-2 fuzzy inference systems (IT2 FIS) into a computer against the
IT2 FIS into an FPGA.

Raguraman et al (2013) developed an ANN and an MLR model to

predict the overall heat transfer coefficient (OHTC) of coal slurry in an
agitated vessel used in coal gasification. Arnaud et al (2013) performed the
validation of the reconfigurable digital controller for the Wind Energy
Conversion Systems (WECS) with Doubly Fed Induction Generator (DFIG)
topology using a Hardware-in-the-Loop (HIL) reconfigurable platform
including a Field Programmable Gate Array (FPGA) chip. Antonio et al
(2013) presented an efficient hardware implementation of configurable
circuits as add-in modules for existing fuzzy hardware in FPGA or
application-specific integrated circuit (ASIC) for the realization of diverse
fuzzy t-norm and t-conorm operations. Yazmín et al (2013) proposed
regulation of the speed of a DC motor using the average approximation of an
 17

interval of type-2 fuzzy controller (AT2-FLC) AT2-FLC and is coded in

VHDL for an FPGA Xilinx Spartan 3A.

From the above, it is observed that regression analysis, ridge

regression analysis and neural network representation have been widely used
for performance prediction.

2.3 VIBRATION ANALYSIS

Condition monitoring in rotating machinery plays a vital role in

power plant management. It is an appropriate way of the maintenance
technique which is applicable in the fault diagnosis of rotating machinery
faults. Adaptive diagnostic systems are becoming available that interpret the
measured data, furnish diagnosis of problems, provide a prognosis for
machine health for planning purposes, and rank machines for scheduled
maintenance. Development of a third generation system is underway which
will provide additional system enhancements and combine the functions of
the existing tools. Proposed enhancements include the use of artificial
intelligence to automate, improve the quality of the analysis, provide timely
alerts, and the use of an Internet link for collaboration. One objective of these
enhancements is to have the intelligent system do more of the analysis and
decision making, while continuing to support the depth of analysis currently
available at experienced operations.

Massuyes and Milne (1997) established intelligent computerized

systems by integrating several AI technologies-including qualitative model-
based reasoning to monitor gas turbines. Gupta (1997) illustrated the
diagnosis of machine troubles/failures with the help of vibration signatures.
Ray Beebe (1998) outlines condition monitoring techniques by performance
analysis to detect and monitor problems in steam turbines such as deposits on
blades and erosion of internal clearances.
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DePold and Douglas (1998) applied statistical analysis and

artificial neural network filters in engine condition monitoring to diagnose,
provide alerts and to rank maintenance action recommendations. Ou et al
(2002) presented attribute set reduction method based on rough set theory for
the fault diagnosis and classification according to turbine-generator vibration
characteristic spectrum. Beebe (2003) outlined, with examples, some
condition monitoring techniques that have contributed to retaining some large
fossil machines in service for up to 17 years without opening high-pressure
sections.

Yang (2004) used a modeling method coupled with fault-tree

analysis and parameter trend actualized on an FPGA as ASIC to perform early
failure detection and isolation to improve condition-based preventive
maintenance of a thermal power plant. Zhou and Yin (2005) proposed a
method of fault diagnosis in rotary machinery based on the integration of the
variable precision rough set model (VPRSM) and neural networks. Lee et al
(2006) discussed the emerging field of e-maintenance and its critical
elements, performance assessment and prediction tools ultimately enable
proactive maintenance to prevent machine from breakdowns. Li et al (2006)
considered the diagnostic systems that rely on the inconsistency between the
actual process behavior and its expected behavior as described by an
analytical model.

Kang et al (2006) diagnosed multiple faults in rotary machinery

using fuzzy neural network (FNN) and compared with ANN, FNN with
single/versatile membership functions in two actual cases. Widodo and Yang
(2007) presented a survey of machine condition monitoring and fault
diagnosis using SVM. Zhang et al (2008) proposed a fault diagnosis system
based on the integrated neural network in steam turbine generator.

Patil et al (2008) overviewed bearing vibration signature analysis

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in both time domain and frequency domain as a medium for fault detection.
Fast et al (2008) created an online system for condition monitoring and
diagnosis using ANN of a combined heat and power plant in Sweden. Jonuz
(2009) proved the reliability and longevity of the Steam Turbo-Generator
(STG) by implementing diagnosis of STG vibration problems in the “Kosovo
B” Thermal Power Plant (TPP). Baccarini et al (2011) used both, machine‘s
vibrations and SVM together to diagnose mechanical faults, using vibration
signals measured at various positions (axial, horizontal or vertical).

Saberi et al (2011) considered the SVM method for classifying the

condition of centrifugal pump into two types of faults. Kumar et al (2012)
described about normal and abnormal vibration data detection procedure for a
large steam turbine (210 MW) using artificial neural networks (ANN) to
reduce operating and maintenance costs while optimizing the life of the
critical engine components like turbines, generators, pumps and fans., etc.

2.4 RESEARCH GAP

From the literature survey, it is observed that on-line diagnostics of

performance degradation of turbine due to the following;

 Solid Particle Erosion in HP turbine ( ),

 SPE in IP turbine ( ),

 Deposits and peening in HP turbine ( ),

 Deposits and peening in IP turbine ( ),

 Deposits in IP turbine ( ),

 Rubs in IP turbine ( ),

 Deposits and damages in IP turbine ( )

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It has not been attempted so far. The author has taken this area for
research. The work consists of two parts. The first part does the
necessary calculations and application of logical rules to detect the
different causes for the deterioration of the performance of the turbine.
These calculations are done by using VLSI platform coupled with a
neural network prediction. Secondly, these predictions will be
available in a special computer which receives on-line data from the
DCS of the plant. In order to make known the nature of faults detected
to management and other engineering personnel staying in-house or
far-off from the plant, a suitable communication protocol has been
proposed and tested. This forms the major contribution of the thesis.

 Multiple linear regression, Ridge regression and neural network

analysis have been found to be widely used towards the performance
prediction of systems and equipments across the different disciplines
of engineering. However, for a chosen engineering system say turbine,
it is not clear from the literature, which method is used for the
performance prediction of the turbine. In order to investigate the
efficacy of these different methods such as MLR, RR and neural
network with particular reference to turbine performance prediction, a
comparative simulation study has been carried out to predict the
performance of turbine using the real plant data collected from a 40
MW thermal power plant. It has been shown that the neural network
prediction is best suited compared to MLR and RR methods. However,
the results obtained through RR are better than MLR.

 For all rotating machines, vibration-based symptoms are the most

important ones for technical condition assessment. In the previous
years, vibration-based condition monitoring of rotating machinery has
been mostly studied from a signal processing point of view (Yang
 21

2004). Furthermore, the literature survey pertaining to condition

monitoring of steam turbines shows that very few researchers have
proposed fault diagnosis of steam turbines and the experimental data
required was not generated by them and collected from other sources.
Hence, in this research work, the author has used the latest analyzer
(vb5) to measure the spectrum in the 40 MW plant. Thus, the spectral
frequencies and their associated amplitudes have been obtained for the
turbine associated with a 40 MW plant. The cause of the vibration has
been identified using ISO 10816 standard.

2.5 MOTIVATION FOR THE RESEARCH WORK

With the advancement in computer science, mobile technology

and communication engineering, drastic changes are taking place in the
operation and maintenance of complex plants and processes. These
developments have led to the development of on-line performance analysis,
optimal operation and on-line diagnostics of the plants. Further online alerts
on performance indices of equipment, messages related to operational
aspects and maintenance requirements are made available to plant operators,
maintenance engineers and to top level executives. The review has in turn
motivated the author to work towards the development of Steam Turbine
Fault Detection and Operation Maintenance System utilizes the following
knowledge components applicable for this research work:

 Domain knowledge related to turbine

 Soft computing algorithms

 VLSI based technology embedded system design

 Wireless communication
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This calls for working in an interdisciplinary environment and

this requirement has been the source of motivation for the author.
Accordingly, the investigation deals with the performance prediction,
diagnosis and vibration analysis of turbine using soft computing techniques.

The graphical representation of the work carried out in the present

thesis is given in Figure 2.1.
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Collection of On-line Data

Segregation of data load wise (SDL)
SW 1 VLSI Verilog Algorithm
Data Base-I Operation
Base
( 500±5 MW)
Maintenance
System (OMS)
Diagnostic
SW 2
Desired Data Base-II Trend Message Fault type Operating
Parameters (400±5 MW) Analysis pool Personal
to (DMP)
Diagnostic
Computer SW 3
Data Base-III ( Maintenance
300±5 MW) Requirements

Power Plant
DCS

Internet
Consultation from OEM
GENERATOR
TURBINE
BOILER

Experts

Plant Maintenance Engineers

Steam Turbine Fault Detection and Operation Maintenance System (STFDOMS)

Performance Prediction Turbo generator output

prediction

Selection of input and output parameters

Performance Module for Turbo Generator

Vb5 analyzer with Accent Vibration data measured ISO 10816 standard
Software
Compared

Vibration Analysis and Diagnostics Predictive action plan

Figure 2.1 Overall work scope of the thesis

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2.6 CONCLUSION

A comprehensive literature review of the existing research work on

performance prediction, fault detection, diagnosis and vibration analysis with
particular reference to turbine has been presented in this chapter. The review
process has motivated the author to investigate on certain aspects of turbine
hitherto not considered by other researchers. The investigation basically
covers the following:

 The author has predicted the electrical load generated (MW) of the
turbo- generator using on-line data of pressure, temperature and
mass flow rate of steam at the turbine inlet. Three methods such as
MLR, RR, and ANN have been employed and their efficacy in
determining the MW accurately is investigated. Among the
methods, ANN emerged as the best model.

 The author has designed and developed an online diagnostic tool /

system to identify the slowly occurring physical phenomena such
as solid particle deposition and solid particle erosion in turbine
blade stages. The system designed enables multi- user environment.

 Development of a software program for vibration analysis based on

frequency versus the velocity spectrum and pinpointing the real
cause for vibration based on ISO recommendations.