Operational Modal Monitoring of High Power Hydro-electrical

Generators
Viet-Hung Vu, Ph.D.
cole de Technologie Suprieure, Montral, QC, Canada

Marc Thomas, Ing., Ph.D.

cole de Technologie Suprieure, Montral, QC, Canada
Corresponding author: marc.thomas@etsmtl.ca

Franois Lafleur, Ing., Ph.D.

Hydro Qubec`s Research Institute, Varennes, QC, Canada

ABSTRACT: This paper presents a research on the online spectral and modal surveillance on a
high-power hydro electric generator during its operation. A vector autoregressive model is
employed in a short time manner in order to identify and survey the monitoring of excitation
frequencies and modal parameters. A mode classification technique is developed for the
discrimination of the most excited electromagnetic harmonics from natural frequencies and
spurious modes. This discrimination allows for the monitoring of closed modes, the frequency
response functions, spectrums and of the operating deflection shapes due to electromagnetic
excitations.

1 INTRODUCTION
This research is part of a project on the power increasing effect of hydro-electrical generators (> 60
MW) [1]. Evaluating the response of the stator to the electromagnetic loading is an arduous task since
the power generator is a complex multi-physic system which requires interactions and exchanges
within mechanics, electromagnetisms, thermo and fluid dynamics. Since its vibration signal requires
the modal identification and the comparison with the anticipated frequencies of mechanical and
electromagnetic forces, operational modal analysis has been conducted. This paper presents the modal
analysis and modal monitoring of the generator stator. This structure behaviour is seen most complex
and most influenced by the increasing power of generator. The modal tests have been conducted both
on stationary and non stationary conditions.
2 MODAL ANALYSIS AND MONITORING METHOD
The vibration data were recorded in working conditions. Spectral analysis and operating deflection
shapes (ODS) methods were first conducted. Operational Modal Analysis (OMA) was used in time
domain to validate all the results. In this paper, we present the application of the multivariate
autoregressive model.
2.1 Multivariate autoregressive model
The autoregressive model represents a relationship between the output dynamic responses to the
unknown excitation via the handling of model parameters and the model residue. In the vector or
multivariate form, the parametric model can be written as follows [2]:

y (t ) = z (t ) + e(t )
where:

= A1 A 2 ... A p size d dp is the parameter matrix

d is the number of channels

(1)

p is the computational order, dp = d p

A i size d d is the matrix of parameters relating the output y (t i ) to y (t )

z (t ) size dp 1 is the regressor for the output vector y (t )
with z (t ) T = y (t 1) T y (t 1) T ... y (t 1) T ,
y (t i ) size d 1 ( i = 1: p ) is the output vector with delays time i Ts

Ts is the sampling time

e (t ) size d 1 is the residual vector of all output channels considered as the model error.
In this paper, the model parameters are estimated by the least squares via the computation of the QR
factorization of the data matrix. The solution is updated with respect to model order to avoid repeating
the computation for a wide range of model orders [3].
2.2 Modal identification
Identification of modal properties from parametric methods is not an easy task since the operating
data may usually be contaminated by ambient noise that produces a large number of computational
modes. Once the model is estimated, the dynamical properties are extracted from the eigendecomposition of the state matrix. Since the number of eigenvalues is high accordingly to the size of
the state matrix, the harmonics and natural frequencies have to be discriminated from the spurious
modes. It this particular application on stator vibration, the structure is subjected to multiple
electromagnetic excitations which also need to be estimated. To do this, a Damped Modal Signal to
Noise ratio (DMSN) [4, 5] has been used for the classification of physical modes in order to identify
and discriminate the harmonics and structural frequencies from the computational modes.
The DMSN is given by following formula:

DMSNi =

MPi
i MVi

(2)

where MPi is the continuous modal power of the mode i participating to deterministic signal:
with MPi =

li H li si

i2

(3)

s = L1z( p + 1)

(4)

s is the scale factor derived from the initial regressor:

L and li are extracted from the eigenvalue decomposition of the state matrix:

A1
I

...
0

A 2 ... A p 1
0
...
0
I
...
0

...
...
...

0
...
I

A p
1 0 0 0
0
0 0 0
2
L1
0 = L
0 0

...

0 0 ... dp

1p 1l1 2p 1l 2 ... dpp 1l dp

L=
,
1l1
2 l 2 ... dp l dp

l1
l 2 ...
l dp

S11
S
21
S = L1 =

S dp1

S12
S 22

S dp 2

S1 p
... S 2 p

... S dpp

(4)

...

(5)

MV is the modal variance that characterizes the modal participation of the mode i into the stochastic
part:
2

ui (1 ui
H

l i l i L ES i1 N
2
k + N 1
1 ui

t
MVi = MVi =
2
t =k
1 ui
H

2N

i1

(6)

ui is the discrete eigenvalue which can be transformed to continuous one by:

ui = e ( i + ji )Ts

(7)

i is the corresponding damping rate of the underlying eigenvalue.

It is seen that with the decreasing DMSN classification, electromagnetic harmonics which are
characterized by zero-closed damping ratios will be more significant at first positions with very high
DMSN indexes. The structural modes corresponding to reasonable damping ratios and stable
frequencies follow in the DMSN classification with respect to model order. Mode shapes are then
identified accordingly and the modal picture of the structure is hence revealed.
2.3 Construction of noise-free spectrum and structural frequency response function
The construction of a noise-free spectrum is of great interest for modal analysis. If we assume that 2n
modes, in conjugate pairs (eigenvalues and eigenvectors), are selected from the deterministic part, the
spectral matrix function can be computed directly from the eigen-decomposition as follows:

2n

T 2n
ci
ci
P( ) = s
E
jTs
jTs
2 i =1 (1 i e
) i =1 (1 i e
)

Ts
2

Ts
2

H
2n
2n

jTs 1
jTs 1
(1

e
)
c
E
c
(1

e
)

i
i k
i

k =1

i =1

jTs
2n
2 n

jT 1
jT 1
H (1 i e )
(1 i e s ) (1 i e s ) ci Ec

k
(1 k e jTs )H
k =1
i =1

H
2n

Ts 2n
ci Ec
jT
jT
jT 1
jT 1
k
(1 i e s )(1 + i e s )(1 i e s ) (1 i e s )
jTs
jTs H
2 i =1
)(1 k e
)
k =1 (1 + i e

Ts
2

2n
2n

H
ci Ec

jTs
jTs
jTs 1
jTs 1
2
k

(1
+

)(1

e
)
(1

e
)

i
i
i
i
i
jTs
) 1 (k e jTs )H
k =1 (1 + i e
i =1

Ts 2n

di (1 + i e jTs i e jTs i2 )(1 i e jTs )1 (1 i e jTs )1

2 i =1

(8)

where

ci =

l i S i1

(9)

H
ci Ec
k
jTs
) 1 (k e jTs )H
k =1 (1 + i e
2n

di =

(10)

It is clear that the spectrum is composed of the sum of frequencies, which only exhibits the noise-free
peaks corresponding to the natural frequencies and harmonic excitations, if presents. This
decomposition yields to a Hermitian spectral matrix, and is the generalization of Pandit [5], where
further calculations on the multi-spectral matrix, such as the channel coherence function and phase,
can be found to be of interest. However, a difficulty appears when a low-amplitude peak is located
close to a higher one, and is thus difficult to identify. To exhibit all the frequency peaks in the
spectrum representation, a scale factor has been introduced for each frequency by dividing its
participating amplitude by the real norm of the complex matrix d i (Eq. (10)). It is seen from this
formulation that all the selected frequencies are revealed at equivalent amplitudes on the frequency
plot.

P( ) =

Ts
2

2n

1
di (1 + i e jTs i e jTs i2 )(1 i e jTs ) 1 (1 i e jTs ) 1

Trace( di ) i =1

(11)

It is seen also that the structural modes can be separated from the electromagnetic harmonics
excitations. One can therefore construct the structural frequency response function matrix from the
selected 2m structural modes in conjugated pairs:
2m

H( ) =
i =1

ci
(1 i e jTs )

(12)

2.4 Online modal monitoring mcheme

New developments on parametric models [3, 6, 7] allow for the analysis of non stationary data. The
model allows for monitoring the variations of modal properties in time domain, by using a sliding
short time window. This new method is called Short Time AutoRegressive method (STAR) [7]. After
the estimation of model parameters inside each window, the modal properties are identified. By
adjusting the window length and the variation of optimal model order, window by window, the
changing features are accurately monitored on the display of frequencies and damping ratios. The
method processing diagram is given in Fig. 1.

Initial window

Processing data

Model updating

NOF, poptimal

Model updating

Modal parameters

Modal parameters

Frequency
Damping ratios

Frequency
Damping ratios

Figure 1: STAR method.

Newly data

5
3 TEST DESCRIPTION
A newly refurbished high power generator from a Hydro Quebec hydro-electric central is selected for
the test. General specifications of the generator are given in Tab. 1. Fig. 2 shows a picture of the
generator stator after a tune-up work. The instrumentation is realized at this stage when the rotor is
separated from the stator in order to facilitate the sensor installation. Because of the large dimension
of stator which has a circular form, sixteen accelerometers have been distributed on a section of stator
core in order to capture mode shapes on both radial and axial directions (Fig. 3). Due to the limits of
data acquisition system, three series of measurements have been conducted by using each time a
common sensor at a reference location and measurements have been realized at 46 locations (3
15+1). The global mode shapes were therefore extrapolated from the symmetry of the stator.
Table 1: Generator characteristics
Characteristics
Total power (winter/summer)
Power factor
Rated power (winter/summer)
Rotation speed
Poles number on rotor
Notches number on stator
Outer diameter of rotor
Inner diameter of stator
Air gap
Rotor height

Figure 2: Stator after refection.

Parameters
150,6/112,6 MVA
0.9
135,5/110,3 MW
120 rpm, 2,0 Hz
60
504
10.59 m
10.62 m
15.9 mm
1.7 m

Figure 3: Accelerometers on stator.

In order to evaluate the dynamics parameters of the machine, measurements were conducted when the
generator was operated in three working conditions. Tests were performed at three powers of the
generator: 71% of the summer rated power (110MW), 100% and 123% in steady regimes.
The electromagnetic excitation and structural modes were identified. A load rejection was also
executed from a steady running (120MW) to generate non stationary vibration responses in the
transient regime.

6
4 RESULTS AND DISCUSSIONS

4.1 Stationary test

The generator was first operated at the nominate power (100% capacity at 110MW). Fig. 4 displays a
stationary vibration data sample of all accelerometers within one second.

Figure 4: Stationary data at 110 MW.

By applying the model updating up to order 30 on this one second signal, one can observe the
evolution on the frequency stability diagram (Fig. 5) where all frequencies start to be stable from
order 7, computed from a Noise-rate Order Factor (NOF) [3].

Figure 5: Frequency stability of stator at 110MW.

Fig. 6 represents the classification of modes by the DMSN and corresponding damping rates. It is
seen that there are about 25 frequencies hidden inside the data included electromagnetic harmonics
and natural frequencies.

Figure 6: Determination of number of frequencies.

Tab. 2 presents the identified frequencies and damping ratios classified in the descending DMSN
index. The harmonic frequencies are corresponding to zero-closed damping rates. According to the
electromagnetic analysis, the sources of those harmonics, which are closed to the multiple of 60 Hz,
are related to the electromagnetic excitations. In order to evaluate the effect of power of the
generators, the machine has also been run at 78MW (71% of the nominate power) and at 134MW

7
(123% of the nominate power), and the modal identification has been performed on all these operation
conditions. The dominant harmonic frequencies, with the highest power amplitudes and which are
multiple of 60Hz are found at 960Hz, 1080Hz, 840Hz, 1920Hz and 120Hz. By monitoring of the
mode shapes (Fig. 7), Tab. 2 reveals the natural frequencies that are closed to the two first excitation
frequencies (960 Hz and 1080 Hz). This explains why these two excitation frequencies were more
critical than the others.
Tab. 2 Identification of frequencies at 110MW operation condition
DMSN index Frequency (Hz) Damping rate (%)
1
960 (16 x 60)
0.0
2
1080 (18 x 60)
0.0
3
840 (14 x 60)
0.0
4
1920 (32 x 60)
0.0
5
120 (2 x 60)
0.0
6
60
0.2
7
720 (12 x 60)
0.0
8
600 (10 x 60)
0.0
9
360 (6 x 60)
0.0
10
1800 (30 x 60)
0.0
11
1200 (20 x 60)
0.0
12
480 (8 x 60)
0.0
13
942.5
2.1
14
1320 (22 x 60)
0.0
15
1042.2
0.8
16
240 (4 x 60)
0.0
17
970
0.5
18
1440 (24 x 60)
0.0
19
2040 (34 x 60)
0.0
20
956.4
3.1
21
955.7
1.2
22
968.1
2.1
23
1560 (26 x 60)
0.0
24
933.5
0.2
25
149
11.2

Identified source
Electromagnetic excitation
Electromagnetic excitation
Electromagnetic excitation
Electromagnetic excitation
Electromagnetic excitation
Electromagnetic excitation
Electromagnetic excitation
Electromagnetic excitation
Electromagnetic excitation
Electromagnetic excitation
Electromagnetic excitation
Electromagnetic excitation
Spurious frequency
Electromagnetic excitation
Natural frequency
Electromagnetic excitation
Natural frequency
Electromagnetic excitation
Electromagnetic excitation
Spurious frequency
Spurious frequency
Spurious frequency
Electromagnetic excitation
Natural frequency
Spurious frequency

4.2 Monitoring mode shapes and operating deflection shapes

The STAR method is applied on the whole stationary signal with the sliding window length equal to
2s (1000 samples). This window length is long enough to identify all available physical frequencies.
Since the signal is stationary, mode shapes and ODS have to be constant with respect to time. The
operating deflection shapes at the two most excited harmonics960 Hz and 1080 Hz and the mode
shapes of the structural modes are shown in Fig. 7. It is seen that the entire mode shapes of structural
modes and frequency operating deflection shapes (ODS) dues to harmonic excitations are constantly
identified, showing that the signal is stationary. Furthermore, since the stator is an asymmetric
structure, the mode shapes and ODS can be expanded to the whole circle. One can extrapolate that
three modes 933Hz, 970Hz and 1042Hz have respectively 32, 16 and 22 waveforms on the periphery.

Time

t+2s

t+4s

t+10s

960Hz
ODS

1080Hz
ODS

933 Hz
mode
shape

970 Hz
mode
shape

1042Hz
mode
shape

Figure 7: Monitoring of mode shapes and operating deflection shapes

4.3 Monitoring spectrum and frequency response function

If one takes only the main frequencies selected from DMSN indexes to construct the average power
spectral density (PSD), the STAR presents on Fig. 8 the monitoring of PSD over the time domain.

Figure 8: Monitoring of noise-free spectrum

It can be noticed 3 main structural modes identified at 933Hz, 970Hz and 1042Hz. If one takes into
account only these 3 modes to construct the transfer function matrix, the first element of the
accelerance function matrix is presented on Fig. 9. It is seen that contrarily to the PSD where the
structural modes are dimmed by the dominance of the electromagnetic harmonic excitations, they are
clearly revealed on the FRF presentation even when the frequencies are closed.

a) time t

b) time t+2s

c) time t+4s

d) time t+6s

10

e) time t+8s

f) time t+10s

Figure 9: Monitoring of frequency response function

4.4 Non-Stationary Tests

Tests on the generator have also been conducted in a load rejection from a stationary power of
120MW. It is done by tripping the generator breaker. Vibration data of the accelerometers are
acquired at 5000 Hz as shown on Fig. 10. We can distinguish a stationary vibration followed by a non
stationary vibration produced by the suddenly particular situation.

Figure 10: Non stationary data.

Time data have been processed by the STAR method. The evolution of the frequencies follows in Fig.
11. It is seen that there is a significant increase of all the harmonics at the beginning of the load
rejection. Higher the harmonic is, higher the increasing is observed.
The variation of the harmonics within the load rejection can be explained as follows: when the
breaker opens, the electrical torque goes to zero and the turbine accelerates the generator before the
turbine governor controls the turbine output. The STAR software allows for reflecting accurately this
particular phenomenon on the monitoring of frequencies. These frequencies increase quickly and
gradually decrease with respect to time. It is seen that the frequencies closed to the three main natural
frequencies are still monitored but they suffer a higher fluctuation.

11

Figure 11: Monitoring of frequencies with respect to time

The non-stationary effect can also observed on the monitoring of operating deflection shapes (ODS)
due to the harmonic excitations, as seen on Fig. 12 for the three excitations at 600Hz, 840Hz and
1080Hz. It is seen that on non stationary signal, the ODS change with respect to the time.
Time

t
f= 600Hz

t+8s
f= 803Hz

t+24s
f= 649Hz

f= 840Hz

f= 1124Hz

f= 909Hz

f= 1080Hz

f= 1445Hz

f= 1169Hz

600Hz
ODS

840Hz
ODS

1080Hz
ODS

Figure 12: Monitoring of non stationary ODS

12
5 CONCLUSION
An operational modal analysis (OMA) technique is developed from the autoregressive model for
monitoring of modal parameters and harmonic excitations from only the availability of output
responses. A modal classification at an appropriate efficient model order provides the discrimination
of structural modes and the harmonic excitations from the spurious modes. This method can be
updated in the time domain to allow for an online monitoring of interested modes or excitations.
Applications of this method to an hydro-electrical generator exhibits the performance for the
monitoring of both structural modal parameters and excitations included natural frequencies, damping
ratios and mode shapes or operating deflection shapes. Frequency response functions and spectrum
are also revealed for advance uses. The method can handle on both stationary and non stationary
vibrations.
6 ACKNOWLEDGEMENT
The authors would like to thank Hydro Quebec Research Institute and MITACS Canada for
substantial supports and collaboration.
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