IEEE TRANSACTIONS ON VEHICULAR TECHNOLOGY, VOL. 67, NO.

6, JUNE 2018 4819

Deep PCA Based Real-Time Incipient Fault

Detection and Diagnosis Methodology for
Electrical Drive in High-Speed Trains
Hongtian Chen , Bin Jiang , Senior Member, IEEE, Ningyun Lu , Member, IEEE, and Zehui Mao

Abstract—Incipient fault detection and diagnosis (FDD) is a key

technology for enhancing safety and reliability of high-speed trains.
This paper develops a real-time incipient FDD method named deep
principal component analysis (DPCA) for electrical drive in high-
speed trains. This method can effectively detect incipient faults
in electrical drive before they develop into faults or failures. This
scheme adopting multivariate statistics is composed of multiple
data processing layers to extract more accurate signal features of
electrical drive, which exhibits several salient advantages: 1) It can
establish precise data models containing both systematic and noise
information of electrical drive, which are helpful for incipient fault
detection; 2) the incipient faults are described by multicharacter-
istics which can improve the fault diagnosis ability; 3) it can be
easily implemented even if the system models and parameters of
electrical drive are unknown. The effectiveness and feasibility of
the proposed FDD scheme are authenticated via a mathematical
analysis and validated via two experiments. Results of two exper-
iments show that the missing alarm rate and detection delay by
Fig. 1. Schematic diagram of electrical drive system of high-speed trains.
using the proposed DPCA-based FDD method are less than 10%
and 0.68 s, respectively. In comparison with the standard PCA-
based FDD method, the proposed DPCA-based FDD method can system and works under vector control [2]. It, generating power
show its superiorities by the detailed performance comparisons.
of the whole system, is regarded as the heart of high-speed trains.
Index Terms—Deep principal component analysis (DPCA), As the operating time increases, electrical drive systems will be
electrical drive systems, fault detection and diagnosis (FDD), exposed to harsh environment and overloading condition, which
incipient fault.
may increase the probability of faults and failures. This will lead
I. INTRODUCTION to unexpected emergency shutdown and increase the risk of loss
of life and property. Therefore, the largely growing demand for
OWADAYS, the ac electrical drive systems are widely
N used in transportation field, such as high-speed trains
[1]–[4], metros [5], electric vehicles [6], etc. With the increasing
safety has promoted the development of FDD for high-speed
trains [1].
In general, there are three main types of faults in ac electrical
requirements on safety and reliability, fault detection and diag- drive systems of high-speed trains [2]: mechanical, electrical,
nosis (FDD) for ac electrical drive systems has became one of and sensor faults. As shown in Fig. 1, the electrical drive system
the active issues in research and practice in the past two decades is equipped with six sensors: two voltage sensors, three current
[1], [7]–[12]. A typical electrical drive system in high-speed sensors, and one speed sensor. While current sensors and speed
trains is shown in Fig. 1, which is a three-level electrical drive sensor are mainly used for closed-loop control, and voltage
sensor is regarded as an indicator to monitor running condition.
Manuscript received June 3, 2017; revised December 5, 2017 and February If there exists a sensor fault in electrical drive systems, the
10, 2018; accepted March 19, 2018. Date of publication March 22, 2018; date of measurements will deviate from their real or expected values;
current version June 18, 2018. This work was supported in part by the National this situation will lead to a degradation of traction efficiency,
Natural Science Foundation of China under Grants 61490703 and 61573180,
and the Funding of Jiangsu Innovation Program for Graduate Education under even deterioration of the whole operation [8]. Therefore, sensor
Grant KYLX16-0378. The review of this paper was coordinated by C. Liu. FDD is necessary and important to assure the safety of high-
(Corresponding author: Bin Jiang.) speed trains.
The authors are with the College of Automation Engineering, Nan-
jing University of Aeronautics and Astronautics, Nanjing 210016, China As pointed in [10], the primitive solutions for sensor faults in
(e-mail:,chtbaylor@163.com; binjiang@nuaa.edu.cn; luningyun@nuaa.edu.cn; electrical drive system depended on hardware redundancy that
zehuimao@nuaa.edu.cn). needed create system redundancy, in which the key components
Color versions of one or more of the figures in this paper are available online
at http://ieeexplore.ieee.org. of original electrical drive system should be reconstructed by us-
Digital Object Identifier 10.1109/TVT.2018.2818538 ing identical or equivalent hardware. Because it is cumbersome
0018-9545 © 2018 IEEE. Personal use is permitted, but republication/redistribution requires IEEE permission.
See http://www.ieee.org/publications standards/publications/rights/index.html for more information.

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4820
and costly, the analytical redundancy or software redundancy
is more efficient and usually used in practical electrical drive
systems. The basic idea of analytical redundancy is to recon-
struct the system behavior online by replacing expensive hard-
ware components of electrical drive systems. The analytical
redundancy based FDD methods has been used to address with
the sensor faults in electrical drive systems, such as observer
methods [11] and parity space approaches [12]. However, the
mentioned schemes can only be implemented when the model
of electrical drive systems is well established. As pointed in
[4], a traditional train was modeled by 84 differential equa-
tions together. When coming to high-speed trains, the problem
is more complicated such that the well-done system model is
intractable. In other words, their FDD performances depending
on precise system model may be usually unavailable for the
time-varyingly nonlinear electrical drive systems. Some under-
lying assumptions are usually found in establishing model of
electrical drive system, i.e., disregarding power loss in insulated
gate bipolar transistors (IGBTs) [7], neglecting core loss and as-
suming linearity of the magnetic circuit [9], ignoring high-order
space harmonic [13].
The data-driven metods, which are more popular in chemi-
cal engineering, were taken into account to detect stator faults
online in [14]. Based on the research in [14], Kullback-Leibler
divergence was adopted under the PCA framework to achieve
improved fault detectability [15]. Recently, an effective fault
indicator was established via PCA and Kullback-Leibler diver-
gence, which can realize the accurate estimation of incipient
faults in traction systems of high-speed trains [16]. For high-
speed trains equipped with pulse-width modulation inverters,
whose traction systems have multiple switched modes; a multi-
mode kernel PCA was therefore proposed to detect the short
circuit fault of IGBTs [17]. Because of the non-Gaussian char-
acteristic of the traction system, a generalized canonical corre-
lation analysis based fault detection method was designed and
applied to high-speed trains [18]. In addition, the PCA based
methods were also adopted in the transportation field for other
purposes. For example, PCA, as the core technique tool, was
used to monitor moving vehicles [19] and detect road traffic
incidents [20].
Besides that, the incipient sensor FDD in electrical drive
system is rarely found in existing researches. If incipient sensor
faults in electrical drive system can be detected and diagnosed
as soon as possible, the unexpected faults or failures may be
avoided effectively by replacing faulty sensors. And the main
challenges for incipient sensor FDD in electrical drive systems
can be classified as follows.
1) The electrical drive systems work by closed control, which
may weaken the effects caused by incipient faults.
2) The slight influences caused by incipient faults may be
easily masked by disturbances or noises.
3) The precise mathematical model of complex nonlinear
electrical drive system is impossible to acquire.
In this paper, an incipient FDD method is developed for elec-
trical drive systems in high-speed trains to enhance its reliability
and safety. Different from model-based methods, a novel data-
driven methodology named deep principal component analysis
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IEEE TRANSACTIONS ON VEHICULAR TECHNOLOGY, VOL. 67, NO. 6, JUNE 2018
(DPCA) is proposed to use for incipient sensor FDD in elec-
trical drive systems. Compared with the existing methods, the
main novelties and contributions of this proposed method can
be summarized as follows.
1) It can extract weaker fault features than standard PCA by
multi data processing layers, which is helpful to incipient
fault detection.
2) It presents the sufficient condition and necessary condition
for incipient fault detectability from both theoretical and
application aspects.
3) It can easily diagnose incipient faults by using Bayesian
inference via the designed probability matrix (PM).
4) It has a low computational complexity which can meet
the real-time requirement for high-frequency electrical
systems.
This paper is organized as follows. In Section II, an introduc-
tion of electrical drive system and the description of incipient
faults are given. Then, the incipient FDD scheme based on the
proposed DPCA is developed in Section III. In Section IV, the
sufficient condition and necessary condition of incipient incip-
ient fault detectability for electrical drive systems are given,
followed by whole process of incipient FDD strategy. Section V
examines the performance of proposed method by two experi-
ments. Finally, Section VI gives the conclusion drawn from the
experimental results.
II. PRELIMINARIES
A. Electrical Drive System of High-Speed Trains
For a kind of the ac electrical drive systems in high-speed
trains [2], the schematic diagram is shown in Fig. 1. Typically,
it consists of a traction control unit (TCU) for implementing
the control scheme, a three-level source inverter (VSI), and an
induction motor. During the operation of high-speed trains, the
vehicle dynamics include six conditions [3]: starting, speeding,
traction, coasting, breaking, and stopping. Under the traction
condition, the three phase ac output currents idi are generated
from Vdc by controlling IGBTs, alternately. The input dc voltage
Vdc : 2600 ∼ 3000 V, and the three phase output ac voltages
vdi : 0 ∼ 2300 V, 0 ∼ 50 Hz. Note that the subscript i in idi and
vdi is a, b, c.
To avoid complex and impracticable modeling based on first
principles, data-driven FDD method is preferred without im-
proper assumptions and precise mathematical models of high-
speed trains. In the following sub-part, the description of incip-
ient faults is presented in a signal-based way.
B. Incipient Sensor Fault Description of Electrical
Drive Systems
In schematic diagram Fig. 1, two bridge arm voltages V2d c ,
ia , ib , ic and speed s are measured by six sensors. Rewriting
the top and bottom bridge voltages as v1 and v2 , the measured
variable x ∈ Rm can be denoted as
x = [v1 v2 ia ib ic s]T (1)
CHEN et al.: DEEP PCA BASED REAL-TIME INCIPIENT FAULT DETECTION AND DIAGNOSIS METHODOLOGY 4821

where m is the number of measured variables. Here, m is 6.

Assuming that N samples are recorded for six sensors under
normal condition, the off-line data matrix with each column
representing a sample can be denoted as X ∈ Rm ×N . In order
to eliminate the influence of different scales, X is firstly scaled
to normal form with zero mean and unit variance.
For an online measured sample xo ∈ Rm of electrical drive
system, it can be written as [16] Fig. 2. Structure of DPCA.

xo = x + Ξi f (2)
where X1,1 and X1,2 is the matrix X lying in first order principal
where Ξi represents signals’ directions corrupted by the fault, component subspace (PCS) and residual subspace (RS). Then
and f  is the deviational magnitude. For example, the sensor they can be calculated by
fault on v1 only plays an impact on the top voltage, one can
have Ξ = diag(1 0 0 0 0 0). While, the ia sensor is in the X1,1 = P1,1 P1,1
T
X
closed-loop, this type of fault will affect ia , ib , ic and s. Then, X1,2 = (I − P1,1 P1,1
T
)X (7)
Ξ = diag(0 0 1 1 1 1).
Up to now, there is no uniform definition on the incipient In order to get more information in second-order PCS and
faults. From existing researches [21]–[23], the incipient faults RS, the SVD can be performed on X1,1 and X1,2 again. Then
should be characterized with three features [16]: (i) From the X1,1 = X2,1 + X2,2
qualitative aspect, the deteriorated degree is not enough to trig-
ger any preset fault alarms; (ii) From the quantitative aspect, X1,2 = X2,3 + X2,4 (8)
the deviation percent ranks from 1% to 10% and these slight Assuming that P2,1 and P2,2 are the principal and residual di-
abnormalities are easily masked by system noises; (iii) From rections of X1,1 , P2,3 and P2,4 are the principal and residual
the necessity aspect, it will develop into a fault or failure as time loading directions of X1,2 , the original X in (6) can be further
goes on. Combining with (2), the expression of variable with written as
incipient faults can be then described as
X = X2,1 + X2,2 + X2,3 + X2,4 (9)
xo = x + Ξf
where
s.t. f./x ≤ 10% (3)
X2,1 = P2,1 P2,1
T
X1,1
III. METHODOLOGY
X2,2 = (I − P2,1 P2,1
T
)X1,1
A. Deep PCA
X2,3 = P2,3 P2,3
T
X1,2
PCA is a reliable and simple multivariate statistical tool which
can capture correlation among variables. It decomposes the orig- X2,4 = (I − P2,3 P2,3
T
)X1,2 (10)
inal data space into two subspaces, where the principal subspace
Similarly, X can be decomposed into 2j sub data sets, where
can retain most of the variance information with much less la-
j is the number of order. And the whole DPCA structure is
tent variables [24]. Along with the idea of linear projecting of
presented in Fig. 2. Assuming that P(j +1),(2k −1) are the princi-
PCA, the DPCA is proposed to mine more accurate information
pal loading directions associating with Xj,k , then Xj,k can be
in order to achieve incipient FDD.
described as
For the normalized data X from electrical drive systems, the  T
covariance matrix S can be obtained as [24] Pj,k Pj,k Xj −1,(k +1)/2 , k is odd
Xj,k = (11)
1 (I − Pj,k Pj,k )Xj −1,k /2 , k is even
T
S= XX T (4)
N −1 Based on the decomposing rules in (11) and combined
then doing an singular value decomposition (SVD) on S with the structure in Fig. 2, Xj,k can be obtained by 2j lin-
[25] has ear mappings from X. For example, X3,3 = XP1,1 P1,1 T
(I −
P2,1 P2,1 )P3,3 P3,3 . Let Xj,k be the k-th sub data set in j-th order,
T T
S = P1 Λ0,1 P1T (5) j
Then X = 2k =1 Xj,k .
m ×m
where Λ0,1 ∈ R = diag(λ0,1 , . . . , λ0,m ), and λ0,i ranks in Remark 1: Orthogonality for both subspaces and sub data
descending order, where i = 1, . . . , m. The P1 = [P1,1 P1,2 ] are sets:
the eigenvectors of S, where P1,1 ∈ Rm ×l and P1,2 ∈ Rm ×(m −l) ∀Pj,k , there is Pj,kT
Pj, k̄ = 0.
are principal and residual loading directions of X, respectively. ∀Xj,k , there is Xj,k T
Xj, k̄ = 0.
The l is the number of retained principal components. Then, the
where k̄ is non-k.
original X can be decomposed into two portions [24] as
Therefore, the whole X is expanded into 2j vertical sub data
X = X1,1 + X1,2 (6) sets without overlapping. ∇

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4822 IEEE TRANSACTIONS ON VEHICULAR TECHNOLOGY, VOL. 67, NO. 6, JUNE 2018

Remark 2: Different from standard PCA, DPCA attempts to estimated by kernel density estimation [26] as
capture not only the significant operating variations but also
 
1 
N
noise information. DPCA separate operating variations and 1 2
noise information into multi subspaces, which are helpful for f (Tj,k
2
)= K (Tj,k − Tj,k
b
)
N h
b=1
incipient FDD. ∇
 
1 
Remark 3: If the order is 1, Deep PCA will converge to N
1
traditional PCA method. With the increasing order of DPCA, f (SPEj,k ) = K (SPEj,k − SPEbj,k ) (15)
N h
the weak fault features, no matter how slight, will be extracted b=1

precisely. ∇
B. Incipient Fault Detection
Along with the proposed DPCA, the original data set X
recorded from the electrical drive system can be projected into
2j subspaces by multiple linear projections. In this way, DPCA
can discover more intricate relations among different variables
of electrical drive systems. To our knowledge, the original data
set collected from normal operating cases must have upper and
lower bounds. It is to say that the sub data sets are also limited
into the corresponding determined regions. Consider the inter-
2
nal correlations in all PCSs, the Tj,k ∈ Rl j , k ×N of every sub
data set Xj,k can be obtained by
2
Tj,k = X T P(j +1),(2k −1) Λ−1 T contribution plot based method may be out of work for electri-
j,k P(j +1),(2k −1) X
where lj,k and Λj,k are the number of principal components
and eigenvalues in PCS of Xj,k . And for SPE of Xj,k can be
calculated by
SPEj,k = (I − P(j +1),(2k −1) P(jT +1),(2k −1) )X2
Because of the bounded limits of Xj,k , Tj,k 2
and SPEj,k in
(12) and (13) will fluctuate in specific local ranges. Therefore,
2
the control limits for Tj,k and SPEj,k can be determined by these
probability distributions. In this application, the hypothesis test
can be used to get proper control limits [22] in terms of
H0 : Tj,k
2
≤ JT 2 ,j,k and SPEj,k ≤ JSPE,j,k ;
H1 : otherwise.
2
where JT 2 ,j,k and JSPE,j,k are the control limits of Tj,k and
SPEj,k , respectively. Here, H0 is null hypothesis (acceptance
2
region) which respects that all Tj,k and SPEj,k are in-statistical-
control, H1 is alternative hypothesis (rejection region) which
indicates existing a fault.
In a given electrical drive system, the variation in X is caused
by systematic variations and noises obeying determined statis-
tical distributions, respectively. The information of these distri-
butions are usually assumed or given as a prior. If not, it can
be estimated by non-parameter statistical tools. The idea behind
this effort provides a way to achieve an acceptable trade-off
between sensitivity to slight abnormalities and robustness to
noises by estimating the statistical distributions of noises and
systematic variations.
For the control limits of JT 2 ,j,k and JSPE,j,k , they can be
determined by preset significance level α and the probability
2
density functions (PDF) of Tj,k and SPEj,k . Their PDFs can be
where b ∈ [1, n] is the sampling step; Tj,k
b
and SPEbj,k are the b-th
2
column of Tj,k and SPEj,k , respectively; and h is the smoothing
parameter.
Remark 4: The main reasons for using hypothesis test with
PDF can be summarized as: (i) the measuring signals in elec-
trical systems are non-Gaussian; (ii) the eigenvalues associated
with sub data sets may be very small and even close to zero,
which leads Λ−1 j,k to be ill-conditioned. (iii) the thresholds are
related to the different noise levels. ∇
C. Incipient Fault Diagnosis
After incipient faults being detected by DPCA, the next step
is to discover the root cause of incipient faults. The popular
(12)
cal systems because of the well-designed control strategy which
makes the whole system suffer from smearing. For the specific
fault, more meaningful features may be extracted if the cor-
responding data sets are available [28]. Fortunately, the fault
information in high-speed trains is submitted to central device
(13) information by vehicle bus and is recorded in order to fault
analysis [16].
For all statistics in (14), only part of them will be out of control
limits when a new measurement is corrupted by fault. The main
reason for this case is the orthogonality of subspaces. In general,
if one statistic in (14) is partially detectable or undetectable, it
will be ignored. But in this paper, all statistics will be considered
in order to acquire more useful information.
Suppose that there are  data sets containing all possible 
faults, then the actual fault belongs to {Fc }, where c = 1, . . . , .
(14) In j-th order DPCA, there are 2j −1 PCSs and RSs, respectively.
Based on these subspaces, 2j statistics are formed depending
on 2j subspaces. For a specific fault sampling xc ∈ Rm , a rate
j
vector rc ∈ R2 can be formed as follows:
 T
2
Tj,1 SPEj,1
2
Tj,2 j −1 SPEj,2j −1
r =
c
··· (16)
JT 2 ,j,1 JSPE,j,1 JT 2 ,j,2j −1 JSPE,j,2j −1
Let rkc be the k-th value of rc , a probability can be then calculated
by logistic function as
1
pk = (17)
1 + exp(−(rkc ))
which maps rkc to the interval [0.5 1). Similarly, p =
j
[p1 , . . . , p2j ]T ∈ R2 can be obtained according to (17). As-
sume that there are Nc measurements belonging to fault c, a PM
P c ∈ R2 ×N c will be formed by (16) and (17). Then, the mean
j
vector m̂c and covariance matrix Ŝ c of P c can be obtained by

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CHEN et al.: DEEP PCA BASED REAL-TIME INCIPIENT FAULT DETECTION AND DIAGNOSIS METHODOLOGY 4823

maximum likelihood estimation, as

1  c
Nf
m̂c = Pj,b
Nc
b=1

1 
Nf
Ŝ =
c
(xb − m̂c )(xb − m̂c )T (18)
Nc
b=1

therefore, there are  terms of mean vectors and covariance

matrices corresponding to  faults. Combining with Bayesian
inference, the posterior probability of an arbitrary classified
faulty sampling xu k can be obtained as follows [27]
P (xu k ∈ Fc ) = P (c|xu k )
Fig. 3. Geometric interpretation of DPCA.
P (c) · P (xu k |c)
= ∝ P (c) · P (xu k |c) (19)
P (xu k ) magnitude reduction is x1,2 , which is larger than the magnitude

= c=1 P (c) · P (x(u k ) |c) is a scaling factor, and
where p(xu k ) reduction x2,4 of the proposed method.
P (c) = Nc /( c=1 Nc ) is prior probability; both of them are Recall the objective that PCA seeks for the maximum variance
easily obtained from fault data sets. Assume that the probability of X, then
matrix P c obeys Gaussian distribution as P c ∼ N (m̂c , Ŝ c ), the
1 
N
likelihood probability P (xu k |c) can be then calculated as arg max P1T SP1 = arg min xb − P1 P1T xb 2
N
b=1
P (xu k |c)

s.t. P1T P1 = I (21)
1 1
= exp − (xuk − m̂ )
c T c
Ŝ (xuk − m̂ c
) As
(2π)2j −1 |Ŝ c |1/2 2
1
Then, the fault sample xu k is classified into d-th class as S= XX T
N −1
P (xu k ∈ Fd ) = max(P (c) · P (xu k |c)), c, d = 1, . . . ,  (20) 1
= (X1,1 + X1,2 )T (X1,1 + X1,2 ) = · · ·
N −1
If the maximum of P (c) · P (xu k |c) is less than a small given ⎛ ⎞T ⎛ ⎞
value, it is possible that there is a new fault class which do
1 ⎝ 2j 
2j
not match the established probability models. In this case, the = Xj,k ⎠ ⎝ Xj,k ⎠
N −1
models corresponding to different types of faults are needed k k
to be updated. Following this method, a precise fault diagnosis
1  
2j 2j
result will be obtained.
= (Xj,k )T (Xj,k ) = Sj,k (22)
Remark 5: Transforming rate into probability via logistic N −1
k k
function in (17) is characterized with two advantages: i) re-  j −1
ducing the impacts caused by outliers from electrical drive; where Sj,k = N 1−1 Xj,kT
Xj,k . It is easily to know that 2k =1
ii) avoiding |Ŝ c | closing to zero which leads a high misjudg- Sj,k > S1,1 if j > 1. Therefore, the proposed method can retain
ment rate. ∇ more variance information than traditional PCA.
Remark 6: Probability matrix P c is with two important fea- Meanwhile, the proposed DPCA can reveal the weak infor-
tures of 2j statistics: i) its mean vector reflect the fault detection mation hidden in original data set. If there exists a sensor fault in
rate; ii) its covariance matrix reflect the correlation of faulty electrical drive systems, DPCA will perform better FDD perfor-
sample projecting into different subspaces. ∇ mance for incipient faults in (3) than PCA. The related analysis
is given in the following subpart.
IV. INCIPIENT FAULT DETECTABILITY AND ONLINE FDD Remark 7: The main difference among the proposed
STRATEGIES OF ELECTRICAL DRIVE methodology, total-PLS [29], fault-relevant PCA [28] and im-
proved PLS [30] are:
A. Sensitivity Analysis
i) Although re-decomposing PCS and DS are used in them,
For the proposed method, its improved performance of FDD total-PLS and improved PLS focuses on the analysis of the
will be illustrated via geometric description and theoretical relation between loading directions and produce quality, and
demonstration in this subsection. fault-relevant information improves the fault detect ability by
Based on the (6)–(10), data set X from electrical drive sys- making use of the relation between loading and fault directions;
tems under normal operation can be projected into second order the proposed scheme intends to establish precise data model
PCS and RS. Using the projecting vectors, the second order containing information of operation variation and noise in order
PCA is shown in Fig. 3. For the traditional PCA method, the to improve the fault detect ability.

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4824
ii) The subspaces of the proposed method are orthogonal, and
others are oblique. ∇ cipient fault in electrical drive systems of high-speed trains, the
B. Fault Detectability for Electrical Drive
As pointed in [25], the SPE is usually more effective than T 2
in detecting faults. When coming to the incipient faults, the ad-
vantage of SPE is more obvious. Next, the sufficient conditions
and necessary conditions using SPE statistic for the incipient
sensor faults in electrical drive are given.
For the single step measurement from electrical drive system
of high-speed trains as given in (3), it can be rewritten as
SPEj,k = xj,k + Pt,k Ξf 2
s.t. Pt,k Ξf./xj,k  ≤ 10%
in j-th order DPCA, where Pt,k is the total projections from xo
to xj,k which can be known from the rules in (11) and (13).
If a incipient fault appears but it cannot be detected by SPEj,k
in j-th order DPCA, two cases will be existed: i) Pt,k Ξ = 0;
ii) f ∈ (Pt,k Ξ)⊥ . The above conditions can be easily known
from (23). In j-th order DPCA, there are 2j −1 RSs in total.
Therefore, the necessary conditions for the incipient fault de-
tectability are:
 j −1
1) 2k =1 Pt,k Ξ
= 0; Step 7: Determinate the control limits, JT 2 ,j,k and JSPE,j,k ,
 j −1
2) f ∈ / 2k =1 (Pt,k Ξ)⊥ .
To our knowledge, the electrical drive system of high-speed
trains is a highly nonlinear closed-loop system. When an incipi-
ent fault f happens in ia , ib , ic and s, the faulty operation will be
adjusted timely. Therefore, the values (direction) of f will vari-
 j −1
ate, which make the probability of f falling in 2k =1 (Pt,k Ξ)⊥ be
close to zero. Similarly, the condition (1) is also easily satisfied
for such incipient faults appearing in current-loop or velocity-
loop. But for the incipient fault happening on v1 or v2 , it may
be not detected in a small probability. Along with the increasing
order of DPCA, this undetected probability will decrease, even
converge to zero.
Under necessary conditions of the incipient detectability, f 
should be large enough to make SPEj,k exceed the threshold
JSPE,j,k . Then SPEj,k can be re-expressed as
SPEj,k = xj,k + Pt,k Ξf 2 ≥ fj,k  −  xj,k 
where fj,k = Pt,k Ξf is the abnormality projecting into RS of
Xj,k . The normal region of  xj,k  obtained on the basis of
(15) can be defined as JSPE,j,k , then
SPEj,k ≥ fj,k  −  xj,k ≥ JSPE,j,k
=⇒ fj,k ≥ 2JSPE,j,k
Therefore, the sufficient conditions for the incipient fault de-
tectability are:
1) ∃ k make  fj,k ≥ 2JSPE,j,k ;
2) If ∃ k make 0 ≤ fj,k ≤ 2JSPE,j,k , the incipient fault
may be detectable.
It is indeed possible that the sufficient condition (2) estab-
lishes because of the amplitude limit in (23). Along with dis-
cussions of DPCA, condition (2) in lower-order DPCA will be
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equivalent to condition (1) in higher-order DPCA. For the in-
detection performance will be obviously improved as the order
of DPCA increases.
C. FDD Strategies for Electrical Drive
In terms of the above discussions, the FDD strategies for elec-
trical drive of high-speed trains can be implemented as follows.
Off line Part:
Step 1: Obtain the normal data set X from six sensors in
electrical drive system of high-speed trains.
Step 2: Normalize X, and redefine the normalized data set
(23) as X.
Step 3: Choose the number of order j, and calculate the
2j subspace data sets Xj,k by the rules in (11), where k =
1, . . . , 2j .
Step 4: Compute principal component loading vectors
Pj +1,2k −1 and eigenvalues Λj,k associated with Xj,k .
2
Step 5: Calculate two statistics, Tj,k and SPEj,k , via (12)
and (13).
Step 6: Estimate the PDFs of Tj,k2
and SPEj,k on the basis
of (15).
based the obtained PDFs and pre-specified α.
On line Part:
Step 8: Read the on line measurement xo of electrical drive
system.
Step 9: Apply data normalization for xo on the basis of the
means and variances of off line data set, and re-express as xo .
Step 10: Project xo into established PCS and RS of sub data
sets Xj,k by (11).
Step 11: Calculate T 2 and SPE in 2j −1 PCSs and RSs of Xj,k .
Step 12: Make a decision whether there is a fault or not
according to (14).
Step 13: Back to Step 8.
Remark 8: In practice, the fault diagnosis also contains off
line and on line parts, which is independent of incipient fault
detection. Therefore, the fault diagnosis is not embedded in
(24) above steps. If the incipient faults in electrical drive system of
high-speed trains need to be diagnosed, the statistics should be
recorded after fault alarms. The fault diagnosis process can be
implemented on line as presented in Section III-C. ∇
V. EXPERIMENTAL RESULTS AND ILLUSTRATIONS
(25) A. Experiment 1
The dSPACE ControlDesk of high-speed trains in Fig. 4 is de-
veloped by China Railway Rolling stock Corporation. Its main
parameters based on real China Railway High-speed 2 are pre-
sented in Table I. Under the preset traction speed 200 km/h,
the dynamical waveforms from six sensors are presented in
Fig. 5. After 20 s, the traction system works under steady state.
Therefore, the measurements after this time are collected as the
referenced data set.
CHEN et al.: DEEP PCA BASED REAL-TIME INCIPIENT FAULT DETECTION AND DIAGNOSIS METHODOLOGY 4825

Fig. 6. Fault detection results for f1 with the 1-st order and the 2-nd
order DPCA.

Fig. 4. dSPACE ControlDesk of high-speed trains.

TABLE I
PARAMETERS OF THE SIMULATION PLAT OF HIGH-SPEED TRAINS

Symbol Quantity Values (Unit)

Ud intermediate voltage 2600 (V)

Lm mutual inductance of motor 0.0328 (H)
Lr inductance in rotor side 0.0341 (H)
Lrl leakage inductance in rotor side 0.0012 (H)
Ls inductance in stator side 0.0342 (H)
Lsl leakage inductance in stator side 0.0014 (H)
Rr resistance in rotor side 0.1460 (Ω)
Rs resistance in stator side 0.1440 (Ω)
np pole pairs 2
Ts switching time 1 × 10−4 (s)
Tt sampling time 1 × 10−4 (s)
φ flux linkage 1.858 (Wb)
Fig. 7. Fault detection results for f1 with the 3-rd order DPCA.

1) Incipient Fault Injections: To obtain the validation data

sets, three incipient sensor faults are injected into dSPACE Con-
trolDesk. (i) An incipient intermittence sensor fault f1 = 8 V on
v1 between 34 s and 34.5 s. (ii) An incipient ramp sensor fault
f2 = 2 + 5(t − 34) A on ia after 4 s. (iii) An incipient constant
sensor fault f3 = 0.1 km/h on s after 34 s.
2) Incipient Fault Detection: After injecting f1 , Figs. 6 and 7
show the incipient fault detection results of the proposed scheme
which contains 1-st DPCA, 2-nd DPCA and 3-rd DPCA, where
blue solid lines are the statistics, and the red dashed lines are
the corresponding confidence limits. Based on the analysis in
Section III, the 1-st DPCA is the standard PCA, and the corre-
2
sponding test statistics T0,1 and SPE0,1 can be obtained by (12)
and (13) for j = 0 and k = 1; for the 2-nd DPCA based FDD
2 2
method, its test statistics, as T1,1 , T1,2 , SPE1,1 and SPE1,2 are
also calculated by (12) and (13) for j = 1 and k = 1, 2; and in
Fig. 5. Dynamics from six sensors. the case where the 3-rd DPCA is used, j = 2 and k = 1, 2, 3.

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4826
Fig. 8. Fault detection results for f2 with the 1-st order and the 2-nd
order DPCA.
Fig. 9. Fault detection results for f2 with the 3-rd order DPCA.
2
From the fault detection results, T0,1 and SPE0,1 are slightly af-
2
fected by f1 . For T1,2 and SPE1,2 obtained by SPE0,1 , f1 is more
2
related to SPE1,2 , while it has no influences on T1,2 . Similarly,
2 2
f1 can be successfully detected by T2,4 , while it has no obvious
influence on others’ statistics in 3-rd DPCA, as presented in
2
Fig. 6. Between 34 s and 34.5 s, T2,4 is out of the confidence
limit without any missing alarms. Therefore, the 3-rd DPCA
shows its superior incipient fault detection performance.
For the incipient ramp fault f2 , the satisfied fault detection
results of both conventional PCA and 2-nd DPCA are presented
in Fig. 8. Likewise, the 3-rd DPCA also show its well-pleasing
fault detection performance, as shown in Fig. 9. Among eight
2
statistics, T2,1 2
, SPE2,3 and T2,4 are less sensitive to f2 , and the
others are related to f2 well.
After injecting incipient f3 , the detection results of both con-
ventional PCA and 2-nd DPCA are given in Fig. 10. Obviously,
PCA have partial fault detection ability with the unacceptable
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Fig. 10. Fault detection results for f3 with the 1-st order and the 2-nd
order DPCA.
Fig. 11. Fault detection results for f3 with the 3-rd order DPCA.
missing alarm rate (MAR) more than 50%. For the results by
2-nd and 3-rd DPCA, both of them show the favorable fault de-
tection ability. From Fig. 11, the incipient fault f3 do not affect
T2,1 and SPE2,3 .
3) Incipient Fault Diagnosis: After the incipient faults
being detected, fault diagnosis can be implemented with
statistics from fault detection results. For the above three
incipient faults, their mean vectors and covariances of PM,
{m̂1 , Ŝ 1 }, {m̂2 , Ŝ 2 }, {m̂3 , Ŝ 3 }, are obtained offline via (18),
which are presented in Figs. 12 and 13, respectively. It is obvi-
ous that {m̂1 , Ŝ 1 } make a big difference with others. However,
the reason for relative small differences between {m̂2 , Ŝ 2 } and
{m̂3 , Ŝ 3 } is that f2 and f3 are the closed-loop faults playing
similar effects for electrical drive. Therefore, it may lead to
some wrong classification results. According to the inference
rule given in (19), the results of diagnosis of three incipient sen-
sor faults are summarized in Table II, where p(fc |xu k ) means
CHEN et al.: DEEP PCA BASED REAL-TIME INCIPIENT FAULT DETECTION AND DIAGNOSIS METHODOLOGY 4827

TABLE II
ACCURACY RATES OF FAULT DIAGNOSIS

Fault type p(f1 |xu k ) p(f2 |xu k ) p(f3 |xu k ) p(f4 |xu k ) p(f5 |xu k ) p(f6 |xu k )

f1 99.99% 0 0.01% - - -
f2 0.31% 96.9% 2.79% - - -
f3 0.12% 4.68% 94.2% - - -
f4 - - - 100% 0 0
f5 - - - 0.06% 99% 0.04%
f6 - - - 0.2% 0 99.8%

Fig. 14. Experimental setup with fault injections.

Fig. 12. Mean of PM with the 3-rd order DPCA.
TABLE III
PARAMETERS OF THE EXPERIMENTAL SETUP

Symbol Quantity Values (Unit)

UD intermediate voltage 380 (V)

LM mutual inductance of motor 0.1592 (H)
LR inductance in rotor side 0.1690 (H)
LS inductance in stator side 0.1666 (H)
RR resistance in rotor side 2.011 (Ω)
RS resistance in stator side 1.723 (Ω)
Np pole pairs 2
TS switching time 1 × 10−4 (s)
TT sampling time 1 × 10−4 (s)
F frictional coefficient 9.5 × 10−4 (N×m)
J load inertia 8.5 × 10−4 (N×m)

points, as input DC supply (v), three ac output voltages (vA , vB

Fig. 13. Covariance of PM with the 3-rd order DPCA.
the probability of fault being classified into c. From the whole
accuracy rates, it can be acceptable for electrical applications.
B. Experiment 2
In order to illustrate the effectiveness and generality of the
proposed scheme, an experimental setup of electrical drive sys-
tem is made, as shown in Fig. 14. There are seven data measuring
and vC ), two ac output currents (iA and iB ), and speed (sp).
The main parameters of this setup are given in Table III.
1) Incipient Fault Injections: After 60 s under the given speed
800 rad/min, three incipient bias faults are injected as follows.
(iv) f4 = 0.5 V on v; (v) f5 = 1 A on iA ; (vi) f6 = 1.5 rad/min
on sp.
2) Incipient Fault Detection: Incipient fault f4 is an open
fault affecting supply voltage of experimental setup in Fig. 14.
Fig. 15 presents the fault detection results of 3-rd DPCA, from
which it is obvious that f4 can be completely detected by SPE2,1 ,
2 2 2
SPE2,2 , T2,3 and SPE2,4 . In addition, T2,1 and T2,4 are thought to
2
be unrelated to f4 . And T2,2 is partially correlated to f4 , which
shows its partial fault detectability.

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4828
Fig. 15. Fault detection results for f4 with the 3-rd order DPCA.
Fig. 16. Fault detection results for f5 with the 3-rd order DPCA.
Incipient fault f5 is a closed-loop fault appearing on current
2
sensor. As shown in Fig. 16, only T2,1 shows low fault detec-
tionability after the occurrence of f5 . For all the other statistics,
they can detect f5 without a delay.
Similarly, the proposed method is capable of detecting the
incipient closed-loop fault f6 , as presented in Fig. 17. It is known
that the electrical drive systems always has the preset feedback
mechanism to guarantee the stability and rapidity, and current
loop usually plays a faster adjust than speed loop. Therefore,
2
there exists a detection delay about 1–4 s in SPE2,1 , SPE2,2 , T2,3
2 2 2
and SPE2,4 . On the other hand, T2,1 , T2,2 , SPE2,3 and T2,4 are
almost related to electrical noises or disturbances which are
affected by f6 .
3) Incipient Fault Diagnosis: Based on incipient fault detec-
tion results from Figs. 15 to 17, PM can be obtained by (16) and
(17), which reveals the diversities among three types of incipi-
ent faults. Comparing the results in Figs. 15 and 17, 8 statistics
show the greater similarity, which makes close relations be-
tween their means and covariances. Three terms of means and
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Fig. 17. Fault detection results for f6 with the 3-rd order DPCA.
Fig. 18. Mean of PM with the 3-rd order DPCA.
covariances of PM are presented in Figs. 18 and 19. Based on
them, Bayesian inference produces the probability of fault clas-
sification. For three above incipient faults, the accuracy rates of
fault diagnosis are given in Table II.
C. Results and Discussions
1) Online Computing Time: As given in Tables. I and III,
both of sampling times in two experiments are 1 × 10−4 s.
Therefore, the computational complexity of the proposed
scheme should be low enough for the purpose of online im-
plementation. In above two experiments, the time of online
fault detection is 6.79 × 10−5 s. If an incipient fault is needed
to be diagnosed, the extra time of online fault diagnosis is about
2.03 × 10−5 s. It is obvious that the online FDD time is less than
the sampling time no matter whether a fault appears in electri-
cal drive system or not. It can be concluded that the proposed
algorithm in this paper can handle with incipient FDD problem
for high-frequency electrical drive systems.
CHEN et al.: DEEP PCA BASED REAL-TIME INCIPIENT FAULT DETECTION AND DIAGNOSIS METHODOLOGY 4829

detection results of f1 , f3 and f6 . On the other hand, as shown

in Table IV, the designed method is able to detect incipient
faults earlier than the conventional one. It provides more time
for operators to take remedial actions if an incipient fault ap-
pears in the electrical traction system. As presented in Table IV,
all comparison results clearly indicate that the proposed method
can improve the fault detectability.

VI. CONCLUSION
This paper presents a novel real-time incipient FDD method-
ology for electrical drive in high-speed trains. The developed
scheme can model more accurate operating variations and noise
information of electrical drive system, which overcome the
drawbacks of standard PCA and its linear modifications. The
superior performances of incipient FDD are evaluated by two
experiments. Based on the experimental results, the proposed
DPCA based FDD method can effectively detect all incipient
faults with less than 10% MAR, and can successfully alarm
within the duration of 0.68 s. It should be pointed that: 1) Al-
though the detailed parameters of two experiments are given,
Fig. 19. Covariance of PM with the 3-rd order DPCA.
all of them are not needed; 2) PCA framework is adopted in this
TABLE IV study because of its fundamentality in multivariate statistics,
PERFORMANCE COMPARISONS WITH STANDARD PCA BASED FD METHOD and the proposed deep decomposing idea can be extended to
other methods, such as PLS, or subspace identification method;
Fault type Standard PCA The proposed DPCA 3) This paper presents the preliminary studies on data-driven
incipient FDD in electrical systems. However, only incipient
MAR Detection MAR Detection
delay (Unit) delay (Unit) FDD have discussed in this study, while the incipient fault prop-
agation and prognosis for electrical drive in high-speed trains
f1 91.72% 0.679 s 0.56% 0.135 s will be the further work.
f2 8.5% 0.68 s 6.75% 0.143 s
f3 74.73% 0.679 s 0 0.238 s
f4 5.11% 0.68 s 3.05% 0.34 s
f5 0 0.679 s 0 0.34 s
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Hongtian Chen received the B.S. and M.S. degrees
from the School of Electrical and Automation Engi-
neering, Nanjing Normal University, Nanjing, China,
in 2012 and 2015, respectively. He is currently work-
ing toward the Ph.D. degree from the College of Au-
tomation Engineering, Nanjing University of Aero-
nautics and Astronautics, Nanjing, China. He is cur-
rently a visiting scholar with the Institute for Auto-
matic Control and Complex Systems, University of
Duisburg-Essen, Duisburg, Germany.
His research interests include incipient fault detec-
tion and diagnosis under multivariate statistical frame, machine learning based
incipient fault detection and diagnosis, and their applications to the electrical
traction system of high-speed trains.
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IEEE TRANSACTIONS ON VEHICULAR TECHNOLOGY, VOL. 67, NO. 6, JUNE 2018
Bin Jiang received the Ph.D. degree in automatic
control from Northeastern University, Shenyang,
China, in 1995.
He is currently a Chair Professor of the Cheung
Kong Scholar Program with the Ministry of Educa-
tion and the Dean of College of Automation Engineer-
ing, Nanjing University of Aeronautics and Astro-
nautics, Nanjing, China. He has been a Postdoctoral
Fellow, Research Fellow, and Visiting Professor in
Singapore, France, USA, and Canada, respectively.
He has been the Principle Investigator on several
projects of National Natural Science Foundation of China. He is the author
of 8 books and more than 200 referred international journal papers and con-
ference papers. His research interests include fault diagnosis and fault tolerant
control and their applications in aircrafts, satellites and high-speed trains. He
currently serves as an Associate Editor or Editorial Board Member for a number
of journals such as IEEE TRANSACTION ON CONTROL SYSTEMS TECHNOLOGY;
International Journal of Control, Automation and Systems; Nonlinear Analy-
sis: Hybrid Systems; Acta Automatica Sinica; Control and Decision, Systems
Engineering, and Electronics Technologies. He is Chair of the Control Systems
Chapter in the IEEE Nanjing Section and a member of the IFAC Technical
Committee on Fault Detection, Supervision, and Safety of Technical Processes.
He won First Class Prize of Natural Science Award of Ministry of Education of
China in 2015.
Ningyun Lu received the Ph.D. degree from
Northeastern University, Shenyang, China, in 2004.
She is a currently a Full Professor with the College
of Automation Engineering, Nanjing University of
Aeronautics and Astronautics, Nanjing, China. From
2002 to 2005, she was a Research Associate and
Postdoctoral Fellow with Hong Kong University of
Science and Technology, Hong Kong. Her research
interest includes data-driven fault prognosis, data-
driven diagnosis, health management techniques, and
their applications to various industrial processes.
Zehui Mao received the Ph.D. degree in control the-
ory and control engineering from the Nanjing Univer-
sity of Aeronautics and Astronautics, Nanjing, China,
in 2009.
She worked in the areas of fault diagnosis,
with particular interests in nonlinear control systems,
sampled-data systems and networked control sys-
tems. She is currently an Associate Professor with the
College of Automation Engineering, Nanjing Univer-
sity of Aeronautics and Astronautics, Nanjing, China.
She has been a visiting scholar with the University of
Virginia. Her current research interests include fault diagnosis and fault-tolerant
control of systems with disturbance and incipient faults, and high-speed train
and spacecraft flight control applications.