Andreas Steinboeck1 Model-Based Condition

Postdoctoral Research Assistant

e-mail: andreas.steinboeck@tuwien.ac.at
Wolfgang Kemmetm€
uller
Assistant Professor
e-mail: kemmetmueller@acin.tuwien.ac.at
Christoph Lassl
Andreas Kugi
Professor
e-mail: kugi@acin.tuwien.ac.at
Automation and Control Institute,
Vienna University of Technology,
Gußhausstraße 27-29/376,
Vienna 1040, Austria
Monitoring of an
Electro-Hydraulic Valve
In many hydraulic systems, it is difficult for human operators to detect faults or to moni-
tor the condition of valves. Based on dynamical models of an electro-hydraulic servo
valve and a hydraulic positioning unit, we develop a parametric fault detection and con-
dition monitoring system for the valve. Our approach exploits the nexus between the
spool position, the geometric orifice area, the flow conditions at wearing control edges,
and the velocity of the controlled cylinder. The effective orifice area of each control edge
is estimated based on measurement data and described by aggregate wear parameters.
Their development is monitored during the service life of the valve, which allows consist-
ent tracking of the condition of the valve. The method is suitable for permanent in situ
condition monitoring. Flow measurements are not required. Computer simulations and
measurement results from an industrial plant demonstrate the feasibility of the method.
[DOI: 10.1115/1.4024800]

1 Introduction term condition monitoring also for fault detection, wear sensing,
and other diagnostic procedures.
Industrial manufacturing facilities are typically complex dy-
In this paper, we propose an automatic model-based condition
namical systems comprising a great number of single components.
monitoring system that assists operators in fault and wear detec-
The complexity of these systems is therefore not only rooted in
tion of electro-hydraulic valves. Typical fields of application are
the relevant physical phenomena and the applied process technol-
paper mills, continuous casting machines, and rolling mills, where
ogy but also in the large quantity of machine parts. For human
often several hundred valves are assembled side by side. Espe-
operators it is difficult to manually monitor the performance and
cially in these large integrated manufacturing lines, the malfunc-
the condition of such systems as a whole or of their various sub-
tion or breakdown of a single component may impair the product
systems ranging down to the component level. The most pertinent
quality or even entail costly downtime. However, the proposed
human limitations are information overload, lack of accuracy,
condition monitoring system can also be used in mobile hydraulic
lack of processing speed, variation of concentration, and differen-
applications, where defects or wear can have harmful and costly
ces in skills and experience. Electronic or algorithmic monitoring
effects as well.
and fault detection devices can readily compensate for these limi-
Many existing fault detection and condition monitoring systems
tations so that operators can focus their attention on high-level de-
for electro-hydraulic valves cannot operate online (cf., for
cision tasks and the management of nonroutine fault events.
instance, [2,6–9]). The reason may be that a special test cycle is
Another reason why operators may lack cognizance of faulty or
required which excites the system in a way that is incompatible
worn parts are control loops. As closed-loop controllers attempt to
with normal operation. Another reason can be a lack of in situ
rectify abnormal plant behavior, they obscure the real condition of
measurement devices requiring the disassembly of components
a system. An operator looking just at controlled variables may
for regular inspection on dedicated measurement rigs. Other fault
overlook that the system state is deteriorating until the problem
detection systems are not suitable for tracking the wear state of
becomes serious enough to impair the control performance. Faulty
the valve (cf., Refs. [10,11]) or are more focused on fault and
parts may be detected too late. Generally, it is not a good idea that
leakage monitoring for hydraulic actuators (cf., Refs. [12–14]).
human operators assess the condition of a system based on control
Hence, there is a need for improved condition monitoring solu-
errors only. This is even more true if a problem entails just a
tions which reliably detect faults and wear of electro-hydraulic
dynamic (transient) control error.
valves. This need is the essential impetus for our work. Section
A systematic solution to these challenges is condition monitor-
3.1 gives a brief literature overview of existing solutions, which
ing, which we consider as the process of estimating a set of pa-
further delineates the contribution and difference of the current
rameters describing the condition of the system and its parts. The
paper compared to the state of the art.
term diagnostics (of machines) is often used together with or in
Our objectives in developing a model-based condition monitor-
lieu of condition monitoring. Based on the estimated set of param-
ing system for hydraulic valves are:
eters, the state of wear may be monitored and faults of machine
parts can be detected—or even better—anticipated and avoided. • The system should be suitable for permanent online (in situ)
More systematic and comprehensive approaches may also include condition monitoring.
failure modes and effects analyses, risk and criticality analyses, • Additional expensive measurement equipment should be
data mining methods, and prognosis techniques. Publications and avoided, especially flow measurements, which are usually
standards are legion in this subject area, cf., Refs. [1–5]. For sim- costly and prone to damage and inaccuracies.
plicity, we refrain from elaborating on terminology and use the • Both the work load and the required level of attention of
operators should be minimized.
• The system should accurately identify valves that are faulty
1
Corresponding author.
or excessively worn. False positives and false negatives
Contributed by the Dynamic Systems Division of ASME for publication in the should be minimized.
JOURNAL OF DYNAMIC SYSTEMS, MEASUREMENT, AND CONTROL. Manuscript received
March 7, 2012; final manuscript received April 19, 2013; published online August The main advantages of a tractable and reliable condition moni-
23, 2013. Assoc. Editor: Warren E. Dixon. toring system are as follows:

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C 2013 by ASME
Copyright V

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 • Condition-based just-in-time replacement of spare parts and
wearing parts, which avoids costly time-based preventive
replacement of parts that are still in good condition (first
cost-cutting effect)
• More accurate prediction of remaining lifetime of compo-
nents allowing lean inventory of spare parts (second cost-
cutting effect)
• Scheduled replacement of parts during regular maintenance
campaigns rather than upon breakdown
• Prevention of unforeseen, costly, and dangerous production
halts due to part failures (third cost-cutting effect)
• Knowledge of system conditions facilitates more accurate
and reliable process control
This paper is restricted to the analysis of a single part, i. e., an
electro-hydraulic servo valve shown in Fig. 1. Other parts may be
monitored in an analogous manner. Especially, if several equal
components (valves) are installed in the same system, a condition
monitoring algorithm can be (concurrently or sequentially) exe-
cuted for all these components. Additional information can usu-
ally be extracted if the condition monitoring results of several
components are compared given that the components are exactly
equal, that they have the same history, and that they are used in
the same operating situation. In our case, however, quantitative
comparisons between valves are not really expedient because
even unused valves differ significantly as a consequence of manu-
facturing inaccuracies. In the current paper, we thus consider only
a single valve.
The considered four-way servo valve has underlap, which is
nominally symmetric (cf., Fig. 1). In absolute terms, the underlap
of the four relevant annular orifices is defined by the dimensions
x1r, xs1, xs2, and x2r. They are indicated in Fig. 1 for the central
position of the spool characterized by x ¼ 0. In case of symmetry,
x1r ¼ xs1 ¼ xs2 ¼ x2r . In reality, manufacturing inaccuracies may
render this equality untenable. The hydraulic valve itself is asym-
metric because the taper angles u1 and u2 of the spool defining
the annular orifices of the control ports 1 and 2 are different. In
the considered application, the asymmetric valve is matched with
the effective areas of an asymmetric cylinder. The supply port
(connected to the pump) and the return port (connected to the oil
reservoir) are indicated by the indices s and r, respectively.
The paper is organized as follows: A dynamical model of the
considered servo valve and the electro-hydraulic positioning unit
is developed in Sec. 2. In Sec. 3, we briefly review existing condi-
tion monitoring methods and propose a new algorithm. Our meth-
odology is based on a robust numerical differentiation technique
and measurement signals that are normally available. Computer
simulations (Sec. 4) and first measurement results from an indus-
trial application (Sec. 5) highlight the performance of the method.
Fig. 1 Third stage of a four-way servo valve with underlap (not
to scale)
061010-2 / Vol. 135, NOVEMBER 2013
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2 Mathematical Model
This section describes a mathematical model of the electro-
hydraulic servo valve and the hydraulic positioning unit accom-
modating this valve.
2.1 Electro-Hydraulic Servo Valve. The considered valve
features a two-stage pilot valve for positioning the spring-centered
spool of the third stage shown in Fig. 1. An inductive displacement
transducer measures the closed-loop controlled spool position
x 2 ½xmax ; xmax . The pilot valve (not shown in Fig. 1) is a simple
two-stage flapper-nozzle valve. Instead of deriving a sophisticated
nonlinear dynamic model of the spool motion, we adopt a semi-
empirical approach from Refs. [2,15–17] and use a second-order
approximation with velocity saturation jvj  vmax , i.e.,
x_ ¼ v (1a)
8
>
< 0 if a  0 ^ v  vmax
v_ ¼ 0 if a  0 ^ v  vmax (1b)
>
:
a else
with
2n x  xref
a¼ v (1c)
T T2
Here, xref 2 ½xmax ; xmax  represents the reference signal of the
spool displacement. Usually, xref is transmitted to the valve in the
form of an electric current signal. T > 0 and n  1 are constants. If
0 < n < 1, the model would require additional measures against
overshooting of the type jxj > xmax.
For modeling the flow rates in the valve, both laminar and tur-
bulent flows should be considered. Leakage flows usually exhibit
small flow velocities and are therefore laminar. The nominal flows
through the annular orifices, however, are mainly turbulent
because their velocities are high. The challenge is to model the
gradual transition between the turbulent and the laminar flow case
as the area of the flow duct is changed by displacing the spool.
For the turbulent case, we use the classic orifice equation
sffiffiffiffiffiffiffiffiffiffiffiffi
2
q ¼ aAðxÞsignðDpÞ jDpj (2)
q
(cf., Ref. [15]), where q is the volume flow, a is the contraction
coefficient, A(x) is the area of the orifice depending on the spool
position x, Dp is the pressure difference, and q is the mass density
of the fluid. Notwithstanding that we consider a compressible fluid
when deriving the pressure dynamics, it is justifiable to use a con-
stant value q in Eq. (2). In the laminar case, q and Dp are linearly
proportional (cf., Ref. [15]). The proportionality coefficient
depends only on the geometry and the dynamic viscosity but, in
contrast to Eq. (2), not on the mass density q.
Various models for capturing the transition between the turbulent
and the laminar case have been reported. The formulations pro-
posed in Refs. [6,8,18,19] do not consider leakages. Flow models
that do include leakage flow are developed in Refs. [17,20–23].
The advantage of the models given in Refs. [17,19,21,23] is that
they have the same model structure for all spool positions. For a
proper implementation of a (nominally) closed control edge, these
models use a locally corrected orifice area A(x) [17,21] or a cor-
rected contraction coefficient a [19] or both [23]. Some of the pub-
lished flow models have a sophisticated nonlinear structure which
can render their parameterization a challenging task. It may require,
for instance, measurements of leakage flows or data that are kept
undisclosed by manufacturers.
In this paper, we use the flow model (2) with constant a and an
effective orifice opening area A(x) inspired by [21], where
Transactions of the ASME
 AðxÞ ¼ k1 =ðk2 þ jxjÞ with appropriate parameters k1 and k2 was
used for nominally closed control edges. This allows an approxima-
tion of the (laminar) leakage flow by the turbulent flow equation
(2). We apply this idea to a valve with tapered orifice geometry and
extend it insofar as we ensure continuous differentiability of q with
respect to x. For the control edge s1 (cf., Fig. 1), we thus have
8
< Ao if x  xs1 þ ðR  rÞ tanðu1 Þ
>
As1 ðxÞ ¼ At if  xs1 þ ðR  rÞ tanðu1 Þ > x  xl (3)
>
:
Al if  xl > x

with
Fig. 2 Hydraulic positioning unit
Ao ¼ pððR  rÞ cosðu1 Þ þ ðx þ xs1 Þ sinðu1 ÞÞ
ð2R  ððR  rÞ cosðu1 Þ þ ðx þ xs1 Þ sinðu1 ÞÞ cosðu1 ÞÞ long-term changes of ps and pr are taken into account. The system
2 2 1=2 does not feature sensors for fluid flows.
At ¼ pðR þ rÞððR  rÞ þ ðx þ xs1 Þ Þ The double acting cylinder moves a load m in vertical direction
against gravity mg and some other loads. We assume that m also
pðR þ rÞððR  rÞ2 þ ðxl þ xs1 Þ2 Þ3=2
Al ¼ includes the mass of the piston and of the piston rod. External fric-
ðR  rÞ2 þ ðxl þ xs1 Þ2 þ ðxl  xÞðxl þ xs1 Þ tion forces in the apparatus driven by the cylinder and internal
friction due to the seals of the cylinder are summarized in Ff. Fl is
Ao and At are exact geometric orifice areas for the open and for an unknown, time-dependent, external load. We distinguish
the transition range, respectively. For the closed spool position, between Ff and Fl because then the switching effect of static fric-
we use the effective area A1 as suggested in Ref. [21]. In our for- tion becomes apparent in simulations.
mulation, the threshold value xl 2 ½xs1  ðR  rÞ tanðu1 Þ; xs1 , i.e., _ we use
If vX 6¼ 0 holds for the piston velocity vX ¼ X,
the onset of the laminar leakage flow, is the only user-defined pa-
2 2
rameter. It controls the shape of A1. Analogous formulations are Ff ¼ dv vX þ ðdc þ ðds  dc ÞevX =v0 ÞsignðvX Þ
used for the opening areas A1r ðxÞ; As2 ðxÞ, and A2r ðxÞ of the other
control edges. which is a common formulation of the Stribeck friction curve (cf.,
Our flow model does not cover the case of laminar flows at Ref. [24] and references given therein). Here, dv is the viscous
open control edges with large spool displacements. However, this friction coefficient, dc is the minimum kinetic friction force (Cou-
is acceptable because this operating situation (large spool dis- lomb friction force), ds is the static friction force, and v0 is known
placement x and low pressure difference Dp) is not used by the as Stribeck velocity. These parameter values may depend on the
developed condition monitoring concept anyway (cf., Sec. 3.2). In condition of the system, e.g., on the fluid temperature [7]. The pa-
this situation, the flow q is too small as to reliably monitor the rameter values used in this analysis are given in Table 1. For
condition of the valve. vX ¼ 0; Ff is unknown but bounded by jFf j  ds .
With the above results, we obtain The equation of motion of the cylinder reads as
pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
q1 ¼ ðas1 As1 ðxÞsignðps  p1 Þ jps  p1 j X_ ¼ vX (5a)
sffiffiffi 8
pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi 2 < FR  Ff
þ a1r A1r ðxÞsignðpr  p1 Þ jpr  p1 jÞ (4a) if vX 6¼ 0 _ jFR j > ds
q v_X ¼ m (5b)
:
pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi 0 if vX ¼ 0 ^ jFR j  ds
q2 ¼ ðas2 As2 ðxÞsignðp2  ps Þ jp2  ps j
sffiffiffi
pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi 2 with the abbreviations
þ a2r A2r ðxÞsignðp2  pr Þ jp2  pr jÞ (4b)
q
Table 1 Parameter values
The contraction coefficients as1 , a1r ; as2 , and a2r differ from each
other, e. g., due to manufacturing inaccuracies or nonuniform Description Parameter Value/range
wear. We may consider Eq. (4) as output equation of the dynami-
cal system (1) of the valve with the inputs xref ; ps ; p1 ; p2 , and pr. Characteristic time T 1 ms
Damping coefficient n 1
Max. spool displacement xmax 3.5 mm
Radius of spool r 9.99 mm
Radius of bore R 10.00 mm
2.2 Hydraulic Positioning Unit. Typically, several valves Taper angle of port 1 u1 10.48 deg
like that characterized in Sec. 2.1 are used for controlling hydrau- Taper angle of port 2 u2 5.24 deg
lic actuators in industrial manufacturing facilities. From this field Supply pressure ps (190 bars, 210 bars)
of potential applications, we abstract a general hydraulic position- Bulk modulus of fluid b (1.4 GPa, 1.6 GPa)
ing unit so that we can focus on the development of the condition Mass density of fluid q 870 kg/m3
monitoring algorithm itself. The considered system is outlined in Position of cylinder X (0 mm, 610 mm)
Fig. 2. The valve is the same as in Fig. 1. Diameter of piston rod d 100 mm
Diameter of piston D 140 mm
The spool displacement x, the cylinder position X, and all pres-
Mass of load m 6000 kg
sures, i. e., ps ; pr ; p1 , and p2, are measured. Pressure differences Viscous friction coefficient dv 100 kNs/m
due to pipe friction losses or height differences are neglected, e.g., Coulomb friction force dc 2 kN
p1 is the same at the valve port 1 and in the head-side chamber of Static friction force ds (4 kN, 10 kN)
the cylinder. We assume that time derivatives of the supply pres- Stribeck velocity v0 0.015 m/s
sure ps and the reservoir pressure pr are insignificant. However,

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 FR ¼ mg þ A1 p1  A2 p2  Fl
pD 2
pd 2 shut-off valves between the servo valve and the cylinder or by
A1 ¼ ; A2 ¼ A1 
4 4
Let
V1 ¼ V0;1 þ A1 X; V2 ¼ V0;2  A2 X
be the current fluid volumes in the two cylinder chambers and the
respective connecting pipes. V0,1 and V0,2 are referred to as initial
volumes. We consider a compressible fluid that obeys
b ¼ q@p=@q (cf., Ref. [15]) with the constant bulk modulus b.
The leakage flow between the two cylinder chambers and between
chamber 2 and the environment are considered as negligible. The
equation of continuity thus yields for the two cylinder chambers
V1 V2
q1 ¼ V_1 þ p_ 1 ; q2 ¼ V_ 2 þ p_ 2
b b
We reformulate these results to obtain
b x2r in Fig. 1) and the contraction coefficient a. These parameters
p_ 1 ¼ ðA1 vX þ q1 Þ (6a)
V0;1 þ A1 X
b
p_ 2 ¼ ðA2 vX  q2 Þ (6b)
V0;2  A2 X
By now we have derived the state-space model (1), (4), (5), and
(6) with the states x, v, X, vX ; p1 ; p2 and the inputs xref and Fl. Our
system has the order 6 and can be used as a stand-alone simulation
tool given that the load Fl is known or defined by some dynamical
model of the apparatus driven by the cylinder. The reference posi-
tion xref of the spool is usually defined by some control law. The
condition monitoring algorithm to be developed in Sec. 3 requires
only Eqs. (4) and (6).
Some pertinent model parameters that will also be used in Secs.
4 and 5 are summarized in Table 1. The friction parameters dv, dc,
ds, and v0 have been found by nonlinear parameter identification
based on measurement data from several installations of the con-
sidered electro-hydraulic positioning unit. All other parameters
given in Table 1 are taken from data sheets of the respective com-
ponent or from design specifications of the considered electro-
hydraulic positioning units. The model has been validated by
comparison with measurement data from the real system. To
reproduce the measured trajectory X also in the simulation, the
deviation between the real and the simulated spool displacement x
is less than 0.5% of xmax.
3 Condition Monitoring Algorithm
In this section, we develop a model-based condition monitoring
algorithm for the servo valve modeled in Sec. 2.1. We start with a
cursory overview of existing methods.
3.1 Existing Methods. A first intuitive approach is the mea-
surement of q1, q2, or volume flows through the orifices (cf., Ref.
[9]) and the estimation of contraction coefficients a1r ; as1 ; as2 , and
a2r based on Eq. (4). The approach may require assumptions about
leakage flows through nominally closed control edges. Generally,
the method is incompatible with our original objective of devising
an in situ condition monitoring system that does not require extra
measurement equipment.
A method for estimating the underlap of a valve, which may be
considered as being representative for the degree of wear, is pro-
posed in Refs. [6,7,9]. It does not need flow measurements but it
requires q1 ¼ q2 ¼ 0. Under these conditions, steady-state values
of p1 and p2 are measured at the valve ports for various spool dis-
placements x. These curves and their linear combinations (cf.,
Ref. [6]) characterize the wear state of the control edges. The con-
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dition q1 ¼ q2 ¼ 0 can be established by means of additional
mechanically blocking the cylinder. Both options are, however, in
conflict with our objective of a permanent in situ condition moni-
toring system.
The method proposed in Refs. [25,26] does not need flow meas-
urements either. There, Eqs. (4) and (6) are used for fitting poly-
nomial approximations of aA(x) for each control edge based on
laboratory measurements. Hence, a geometric representation of
the opening area A(x) (cf., Eq. (3)) is not required. Since Eqs. (4)
and (6) are linear in the polynomial coefficients, linear least
squares parameter estimation can be applied [26]. The same
method is used in Ref. [27], except that piecewise linear approxi-
mations of aA(x) replace the polynomial representation. Finding
the nodal values of the piecewise linear curves is again a linear
least squares parameter estimation problem. The estimated poly-
nomial coefficients or nodal values serve as indicators of the con-
dition of the valve. The methods described in Refs. [25–27]
require values of the time derivatives p_ 1 ; p_ 2 , and vX , which may be
hard to measure or estimate.
An extended Kalman filter based on Eqs. (4) and (6) is used in
Ref. [8] for estimating, inter alia, the underlap (x1r ; xs1 ; xs2 , and
characterize the wear condition of the valve, which is plausible
insofar as wear of the control edges changes both the geometric
opening area A(x) and the flow conditions indicated by a (cf., Eq.
(2)). As may be inferred from Eq. (6), the method also requires vX
as an input value.
A different strand of research uses artificial intelligence
approaches like neural networks [28,29] or neuro-fuzzy systems
[30]. The difficulty with these approaches is that they typically
require extensive training [28,29] and that they are only suitable
for detection of single faults or multiple faults [28,30]. Usually,
they cannot provide quantitative information about the current
wear state of a valve.
3.2 Proposed Method. In the current paper, we develop a
model-based method that merges ideas from Refs. [8,27] with a
reliable technique of estimating time derivatives. The method uses
the subsystem (4) and (6) and estimates the term aA(x) for each
control edge. We refer to aA(x) as opening area characteristic.
The proposed algorithm centers around the notation of comparing
an initially identified opening area characteristic aA(x) with cur-
rent measurements. For that purpose, the original shape aA(x) is
recurrently scaled and horizontally shifted so that it is fitted to the
new measurements. The magnitudes of scaling and shifting shed
some light upon the condition of the valve. Moreover, the method
provides a gauge for shape changes of aA(x).
The algorithm is outlined in Fig. 3. The steps 4a and 5a are exe-
cuted only once when the valve is commissioned. All other steps
are executed either permanently or on a regular basis, e. g., once
every hour. The latter is recommended if a single condition
Fig. 3 Condition monitoring algorithm
Transactions of the ASME
 monitoring unit should (alternately) serve many valves. The dis-
advantage of this design is that strictly permanent fault detection
is sacrificed.
In step 1, we measure the signals ps ; pr ; p1 ; p2 , x, and X using
the standard sensors available in the plant. The time derivatives
p_ 1 ; p_ 2 , and vX are estimated in step 2 by fitting polynomials to the
original measurement signals p1, p2, and X, respectively, and
using the analytical slopes of the polynomials. This robust numer-
ical differentiation method is often referred to as Savitzky-Golay
filtering [31,32].
In step 3, we discard time intervals where condition monitoring
is infeasible due to lack of data or unusual operating situations.
The conditions for removing a time interval are:
• The cylinder does not move. In this case, the values jq1j and
jq2j from Eq. (6) depend mainly on p_ 1 and p_ 2 , respectively.
Measuring these time derivatives is a rather delicate task.
Besides, jq1j and jq2j are small in this case so that estimations
of aA(x) based on Eq. (4) will be unreliable. Moreover, inac-
curacies associated with b may impair the estimation of the
opening area characteristic under this condition.
• The pressure signals p1 and p2 exhibit peaks, which can be
caused, for instance, by rapid changes of the load Fl. In these
situations, the values p_ 1 and p_ 2 in Eq. (6) may adopt such
extreme values that they dominate the terms with vX . The
potentially adverse consequences are the same as in the previ-
ous condition.
• The spool displacement jxj is small over longer periods. All four
orifices are open in this situation because we use a valve with
underlap. Estimating the opening area characteristic according to
Eq. (4) may be difficult under this condition. We thus accept
only time intervals where jxj  maxfx1r ; xs1 ; xs2 ; x2r g.
In the selected time intervals, there are always two open and
two (nominally) closed orifices. In favor of the robustness of the
method, we assume that the volume flow through nominally
closed orifices is negligible. Data points satisfying
x  maxfx1r ; xs2 g are thus used for monitoring the control edges
s1 and 2r. Vice versa, data points satisfying x   maxfxs1 ; x2r g
are used for monitoring the control edges 1r and s2.
In steps 4a and 5a, we analyze the initial condition of the valve.
In step 4a, we estimate the initial opening area characteristic indi-
vidually for each control edge. In this paper, we demonstrate the
procedure for the edge s1. The procedures for the other edges fol-
low the same lines. Based on Eqs. 4(a) and 6(a), and the assump-
tion of zero volume flow through orifice 1r, we obtain
rffiffiffi
p_ 1 ðV0;1 þ A1 XÞ þ bA1 vX q the control edge.
as1 As1 ðxÞ ¼ pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi (7)
bsignðps  p1 Þ jps  p1 j 2
An individual estimation of as1 and As1 ðxÞ is neither feasible
nor required. Without narrowing the applicability of the method,
we stipulate as1 ¼ 1 for the initial state and compute
As1;i ¼ As1 ðxi Þ by means of Eq. (7) for each data point i with the
corresponding spool displacement xi. Typical data points obtained
from simulations are shown in Fig. 4 (gray crosses). In the simula-
tion, sensor signals have been deteriorated by realistic additive
noise and quantization. By means of linear least squares
estimation
X a^s1 ; x^s1 , or es1 exceed certain bounds or deviate significantly from
min ðAs1;i  A^s1 ðxi ÞÞ2
i stored in step 6. The valve is identified as worn, i. e., due for being
a piecewise linear curve A^s1 ðxÞ is fitted (solid line with dots in
Fig. 4). The location of nodes is adaptively chosen depending on
the distribution of the measurement points xi. We refer to A^s1 ðxÞ
as initial opening area characteristic. In step 5a, we check whether
A^s1 ðxÞ has reasonable values and a reasonable shape compared to
the nominal characteristic (3) (dashed line in Fig. 4). If this check
fails, the valve or the initial measurements are classified as faulty.
Journal of Dynamic Systems, Measurement, and Control
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Fig. 4 Opening area characteristic (simulated data)
Otherwise, the algorithm proceeds. A^s1 ðxÞ is stored in step 6 and
passed on to step 4b, where it serves as a basis for ongoing condi-
tion monitoring.
After this initial identification phase, the steps 1, 2, 3, 4b, 5b,
and 6 are recurrently executed so that A^s1 ðxÞ is fitted to new meas-
urements by scaling and shifting. These steps are continuously
repeated until a fault is found or the wear condition of the valve
exceeds a critical state, i. e., the valve reaches the end of its serv-
ice life. Consider that fAs1;i g is a set of N opening areas computed
by means of Eq. (7) based on as1 ¼ 1 and recent measurement
data. The population size N should be large enough so that the
allowed range ½xmax ; xmax  of x is sufficiently covered. In step 4b,
the nonlinear least squares problem
vffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
u N
u1 X
es1 ¼ min t ðAs1;i  a^s1 A^s1 ðxi þ x^s1 ÞÞ2 (8)
a^s1 ;^
xs1 N i¼1
is solved for estimating a^s1 and x^s1 . The gradient of the cost func-
tion with respect to the optimization parameters a^s1 and x^s1 can be
analytically computed, which may expedite the iterative numeri-
cal solution of the minimization problem.
In Eq. (8), a^s1 is an estimate of the relative change of the con-
traction coefficient, which characterizes the flow conditions at the
control edge. Moreover, x^s1 modifies the underlap and thus cap-
tures changes of the geometric orifice opening area. Clearly, a^s1
and x^s1 cause an amplification and a horizontal shift of A^s1 ðxÞ.
They are the main parameters indicating wear or malfunction of
Moreover, the normalized error es1 is an indicator for the var-
iance of the data points As1;i , for the reliability of the estimated
values a^s1 and x^s1 , and for changes of the shape of the opening
area characteristic. Identifying such shape changes is particularly
useful for detecting faults. Note that an assessment based on es1 is
absolutely necessary because there could be special shape changes
of the opening area characteristic which leave both a^s1 and x^s1
unchanged—they would be revealed by es1 .
The values a^s1 ; x^s1 , and es1 are regularly computed (step 4b),
used in various analyses (step 5b), and stored for long-term evalu-
ation (step 6). The procedures for short-term and long-term assess-
ment are executed in step 5b. The valve is identified as faulty if
their previously observed long-term trends, which have been
replaced, if the long-term trends of a^s1 ; x^s1 , or es1 exceed certain
bounds. By extrapolating the observed long-term trend, the
remaining service life of the valve can be predicted. Clearly, the
quality of this prediction improves toward the end of the service
life.
The proposed condition monitoring algorithm does not require
all parameters given in Table 1. From Eq. (7), we can infer that
the algorithm only uses the parameters A1 ; A2 ; V0;1 ; V0;2 , b, and q.
NOVEMBER 2013, Vol. 135 / 061010-5
 They can be easily obtained from data sheets or design
specifications.

4 Example Problem
We demonstrate the feasibility of the method in a simulation
study based on the models (1), (4), (5), and (6). For clarity, the
discussion is again restricted to the control edge s1. We deterio-
rate all simulated sensor signals by noise and quantization to test
the robustness of the algorithm. Figure 4 shows the initial opening
area characteristic. It was estimated in step 4a based on data from
simulating a 10 s interval.
We consider a wear scenario where the underlap rises con-
stantly, whereas the growth rate of the contraction coefficient is
reduced over time. This is a realistic scenario because the control
edges become increasingly rounded. Initially, this will mainly
change the flow conditions. Later, the geometric effect of an
increased orifice area will dominate. Simulating the two effects
separately is possible but does not yield new insights.
The development of the opening area characteristic is shown in
Fig. 5 for six equally spaced points in time, which we refer to as Fig. 6 Estimated parameters indicating wear of the valve
t0 ; …; t5 . For convenience, the figure is distorted, i. e., aA(x) is (simulated data), (a) relative change of contraction coefficient,
constant along dotted lines. For the times t1 ; …; t5 , we carry out (b) normalized change of underlap, (c) normalized error
the steps 1, 2, 3, and 4b of the algorithm. Each analysis is based
on data generated by simulating a 10 s interval. Both the nominal
the valve. Hence, the thresholds can be empirically found during
and the estimated changes of the contraction coefficient and the
long-term practical applications. First measurement results and
underlap are shown in Fig. 6. The normalized error es1 shown in
comparisons between similar valves bolster our confidence that
Fig. 6(c) indicates that all estimations have a similar reliability.
these thresholds will be uniform within certain valve categories.
Generally, the proposed algorithm estimates the parameters a^s1
and x^s1 with sufficient accuracy. For simplicity, we refrain from
simulating shape changes that would mainly influence es1. 5 Measurement Results
At the current stage of our research, we have not found definite This section shows first measurement results from an applica-
thresholds for the parameters a^s1 ; x^s1 , and es1 requiring a replace- tion in a rolling mill. In this plant, the same valve type is used
ment of the valve. However, the simulations show that the proposed more than 50 times. Our measurements show that the proposed
method allows the user to effectively keep track of the condition of algorithm is effective at both fault detection and wear monitoring.

5.1 Fault Detection. The following measurements are taken

from two valves that operate the same apparatus. Unfortunately,
measurements from the time when the valves have been installed
are absent. We thus use the nominal geometric orifice area accord-
ing to Eq. (3) as initial opening area characteristic. The valves
control two cylinders (cf., Fig. 2), which should follow the same
position trajectory. For both units, Fig. 7 shows the cylinder posi-
tions X, the spool displacements x, and the pressure values p1 and
p2 at the control ports. The signals are shown for a representative
25 s interval.
We concluded from Fig. 7(a) that an operator who observes
only the cylinder positions or their operational performance will
not notice that one of the valves exhibits an alarmingly faulty
behavior. The poor condition of the valve is obscured at this level
because the proportional-integral position controller of the cylin-
der compensates for the malfunction of the valve. The spool dis-
placements of the two valves, though yielding virtually identical
cylinder positions, differ significantly (cf., Fig. 7(b)). We infer
from Figs. 7(b) and 7(c) that the black curve belongs to the faulty
valve, whereas the gray curve represents the normal behavior.
Here are two explanations for our inference:
• Consider those time intervals in Fig. 7 where the cylinder
does not move. Then, x is close to 0 and the assumption of a
linear opening area characteristic is tenable for all control
edges. Under this condition and the reasonable assumption of
symmetric underlap, it can be easily shown that
p1  pr ps  p2
¼ (9)
ps  p1 p2  pr

• For all practical purposes, pr ¼ 0 bar. Figure 7(c) thus shows

Fig. 5 Simulated change of opening area characteristic due to that the normal valve satisfies (9), whereas the faulty valve
wear (distorted, aA(x) constant along dotted lines) clearly does not.

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Fig. 7 Measurements from two comparable hydraulic position-
ing units, (a) cylinder positions, (b) normalized spool displace-
ments, and (c) pressure values at control ports
• It is known that F1 ¼ 0 holds throughout the period shown in
Fig. 7. The pressure p2 in the rod-side chamber of the cylin-
der significantly exceeds the pressure p1 in the head-side
chamber. This is no surprise given the ratio A1/A2 and the
direction of gravity (cf., Fig. 2). Due to the different pressure
levels, the magnitude of the required spool displacement x
should be smaller when extending the cylinder (mass m
moves downward) than the magnitude of x required for
retracting the cylinder (mass m moves upward). This is
exactly the behavior exhibited by the normal valve. The
faulty valve, in contrast, shows almost equal magnitudes of x
for both travel directions of the cylinder.
The dissimilar pressure signals shown in Fig. 7(c) suggest that
the effective opening area of at least one of the control edges of
the malfunctioning valve is unusually large. This conclusion is
corroborated by the identified opening area characteristic shown
in Fig. 8. The corresponding estimated parameters are given in
Table 2. They clearly signify the defective control edge 1r. How-
ever, control edge s1 of the faulty valve also exhibits an unusual
behavior insofar as the measured opening area characteristic is
below the nominal curve. The reason may be that the assumption
Fig. 8 Opening area characteristic of a normal and a faulty
valve (measured data)
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Table 2 Estimated parameter values indicating a fault
Value
Parameter Normal valve Faulty valve
a^1r 0.98 2.53
x^1r =xmax 0.23% 11.8%
e1r 0.10 mm2 1.13 mm2
of zero flow through the nominally closed faulty orifice 1r for
x > x1r is not exactly fulfilled.
Recall that, despite the remarkably different opening area char-
acteristic, the cylinder position perfectly follows its reference tra-
jectory, i. e., the positioning unit is properly working. This
demonstrates that the proposed condition monitoring method
assists operators in detecting faults soon enough to ensure in-time
replacement of the valve without unforeseen, costly production
halts. Providing such assistance is all the more important if a plant
is equipped with a large number of valves.
5.2 Wear Monitoring. We show measurement results from a
valve that has been in operation for 16,700 h. The wear condition
of the valve is analyzed at three points in time: The initial opening
area characteristic identified at t0 ¼ 0 h is shown as a solid line
with dots in Fig. 9. Two more snapshots of the wear history were
taken at the times t1 ¼ 700 h and t2 ¼ 16700 h (current state). The
corresponding estimated parameters are given in Table 3. The pre-
sented results belong to the representative control edge s2. How-
ever, the other three control edges exhibit a very similar wear
behavior.
Up to now, the operational performance of the valve is flawless.
Its condition will be continuously analyzed in the future and the
estimated parameters will be recorded. Hand in hand with ongoing
condition monitoring of all other valves installed in the plant, this
should yield the data required to determine appropriate wear
thresholds for the parameters a^s2 ; x^s2 ; es2 , and their counterparts
belonging to the other control edges. The thresholds will be cho-
sen as soon as the control performance of an electro-hydraulic
positioning unit is limited for the first time by the progressive
wear state of its valve. Then, the valve is considered to reach the
end of its service life.
The conducted analyses suggest the following inferences:
• The method is not limited by the fact that the underlying
model is inadequate for laminar flow conditions at nominally
open control edges (cf., Sec. 2.1).
Fig. 9 Long-term changes of opening area characteristic
(measured data, distorted, aA(x) constant along dotted lines)
NOVEMBER 2013, Vol. 135 / 061010-7
 Table 3 Estimated parameter values indicating wear ds ¼ static friction force
e¼ normalized estimation error
Value at the time Ff ¼ friction force of cylinder
Fl ¼ external load force of cylinder
Parameter t1 ¼ 700 h t2 ¼ 16,700 h
g¼ gravity acceleration
a^s2 1.04 1.17 i¼ index of data point
x^s2 =xmax 0.1% 3.7% k1 , k2 ¼ some constants
es2 0.32 mm2 0.18 mm2 m¼ mass of load, piston, and piston rod
N¼ population size
p¼ pressure
q¼ volume flow
• Discarding data points where jxj is small, i. e., where all four R¼ radius of valve bore
control edges are nominally open, is tolerable. r¼ radius of valve spool
• The robustness of estimating the parameters a^; x^, e naturally T¼ characteristic time of spool dynamics
improves if data points are spread over the whole allowed t¼ time
range ½xmax ; xmax  of the spool position x. However, the V¼ volume
measurement results indicate the reliability of the method V0 ¼ initial volume of cylinder chamber and connecting
even in the absence of large spool displacements. pipes
v¼ velocity of valve spool
6 Conclusions v0 ¼ Stribeck velocity
This paper reported a tailored mathematical model of an vmax ¼ maximum absolute velocity of valve spool
electro-hydraulic servo valve with underlap. The valve controls a vX ¼ velocity of cylinder
double acting cylinder with unknown load. Based on this model, X¼ position of cylinder
we developed a condition monitoring system that identifies short- x¼ spool displacement
term faults and long-term wear of the valve. The system accounts x^ ¼ estimated change of underlap
for manufacturing variations by identifying the initial opening xl ¼ spool displacement delimiting the nominally
area characteristic of the valve. Moreover, it permits extrapolation closed and the nominally open range
of long-term wear and thus facilitates just-in-time replacement of xmax ¼ maximum absolute spool displacement
worn valves. In essence, the method distils three easily interpreta- xref ¼ reference position of valve spool
ble parameters from ongoing measurements of process variables.
Our analysis demonstrated the benefit of integrating a model of Greek Symbols
both the valve and the connected system in a condition monitoring
algorithm. The algorithm requires only very few model parame- a ¼ contraction coefficient
ters and the measurement signals spool position, cylinder position, a^ ¼ estimated relative change of contraction
and pressure values at the valve ports. Costly flow measurements coefficient
that are susceptible to damage and inaccuracies are unnecessary. b ¼ bulk modulus of fluid
The method is robust against additive noise and quantization Dp ¼ pressure difference
errors. It is also suitable for valves with overlap, where for any n ¼ damping coefficient of spool dynamics
spool position there are always just two nominally open orifices. q ¼ mass density of fluid
The dependability of the monitoring system observed in simula- u ¼ taper angle of valve spool
tion studies has been corroborated during the first few months of
operation in a rolling mill, which is equipped with a great many of Subscripts
such valves. Here, continuous condition monitoring curbs costs in 1, 2 ¼ referring to control ports of valve or chambers of
several respects, minimizes undesirable downtime, and thus cylinder
improves the productivity of the plant. In essence, our method 1r, s1, s2, 2r ¼ referring to control edges
assists responsible operators, which is particularly beneficial if they l ¼ referring to nominally closed control edge of
are in charge of a great number of valves. This argument in favor valve
of our condition monitoring system gains momentum through o ¼ referring to open control edge of valve
ongoing trends of ever higher integration in the manufacturing r ¼ referring to oil reservoir
industry. For the future, we envisage empirical identification of rea- s ¼ referring to pressure supply
sonable thresholds indicating the need for valve replacement. t ¼ referring to transition range of spool position

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