Control Engineering Practice 21 (2013) 797–806

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Control Engineering Practice

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Online fault diagnosis using recursive subspace identification:

Application to a dam-gallery open channel system
A. Akhenak a,b, E. Duviella a,b,n, L. Bako a,b, S. Lecoeuche a,b
a
Univ Lille Nord de France, F-59000 Lille, France
b
EMDouai, IA, F-59500 Douai, France

a r t i c l e i n f o abstract

Article history: The paper presents an online strategy for sensor and/or actuator fault detection and isolation applied to
Received 14 June 2012 a dam-gallery. A recursive subspace identification algorithm is used to estimate the dam-gallery model
Accepted 21 February 2013 parameters. The main contribution consists in developing a specific identification scheme, insensitive
Available online 22 March 2013
to a certain type of faults. That is, the identified parameters are invariant to the faults. A fault
Keywords: estimation procedure is proposed to detect potential faults. The proposed approach appears to be
System identification suitable for open channel systems for which the characteristics are not easily measurable.
Recursive subspace algorithm & 2013 Elsevier Ltd. All rights reserved.
Fault detection and isolation
Finite memory observer
Open-channel system

1. Introduction the whole operating range of the open-channel system (Duviella

Water resource management has become an important issue
due to the preciosity and scarcity of water in many countries in
the world. Being a complex problem requiring an indisciplinary
cooperation, many researches have been done in the area of
automatic control of open channel systems. Advanced manage-
ment methods were proposed to improve the water resource
valorization by the determination of new setpoints on flow
discharge, level or volume (Duviella, Chiron, & Charbonnaud,
2011; Faye, Sawadogo, Niang, & Mora-Camino, 1998). In order
to reduce the water losses in irrigation channels, various control
algorithms were proposed in the literature (for example see
Litrico & Fromion, 2009), and have been classified in Malaterre
and Baume (1998) and Zhuan and Xia (2007). Traditionally, the
control methods are designed from physical models based on the
Saint-Venant partial differential equations (Chow, Maidment, &
Mays, 1988). The resolution of the Saint-Venant equations
involves rather complex numerical approaches based on discre-
tization schemes. Therefore, the Saint-Venant equations can be
simplified and linearized around an operating point (Litrico &
Georges, 1999), but the accuracy of these models is only accep-
table on a restricted interval around the operating points. Other
control algorithms based on multimodelling or Linear Parameter
Varying (LPV) models were recently proposed in order to consider
n
Corresponding author at: EMDouai, IA, F-59500 Douai, France.
Tel.: þ 33 327 712 102..
E-mail address: eric.duviella@mines-douai.fr (E. Duviella).
et al., 2010). In multimodelling approaches, the number of models
and their operating range are known a priori in Di Palma and
Magni (2004) and Özkan and Kothare (2005), or determined
according to a physical parameter in Duviella, Chiron, and
Charbonnaud (2006). These approaches require fine knowledge
of the open channel system, i.e. geometrical characteristics,
boundary conditions, etc., and the calibration of the friction
coefficients, i.e. Manning–Strickler coefficient. They are not easily
usable for systems whose geometry or characteristics are not
precisely known. In addition, the parameters of the LPV model are
estimated by considering a model structure (Bolea, Puig, & Blesa,
2007; Puig, Quevedo, Escobet, Charbonnaud, & Duviella, 2005), as
a first order differential equation with time delay. In Weyer
(2001) and Euren and Weyer (2007), the authors proposed linear
identification techniques based on a grey-box model to compute
simple models that can be used for control design as proposed in
Cantoni et al. (2007). The identification algorithms, which take
into account prior physical information on the open channel,
arecarried out off-line and require a large number of experiments
on the real systems. Their main drawback is that the identified
model parameters cannot be adjusted online in order to deal with
physical parameter variations, such as, for example, the friction
slope modification due to sedimentation phenomena. In Rivas
Perez, Feliu Batlle, and Sanchez Rodriguez (2007) and Rivas Perez,
Feliu Batlle, Castillo Garcia, and Linarez Saez (2008), an online
robust system identification method was applied to a one canal
pool. This robustness has been defined as the capability of
compensating the model uncertainties under the presence of
parameter variations. However, only few modelling approaches

0967-0661/$ - see front matter & 2013 Elsevier Ltd. All rights reserved.
http://dx.doi.org/10.1016/j.conengprac.2013.02.013
798 A. Akhenak et al. / Control Engineering Practice 21 (2013) 797–806

for Fault Detection and Isolation (FDI) of sensors and actuators
have been implemented on hydraulic systems. These approaches
are suitable for increasing availability of the system and water
resources valorization (Bedjaoui & Weyer, 2011; Choy & Weyer,
2005). In Bedjaoui and Weyer (2011), three model-based FDI
algorithms are proposed and compared in order to detect leak on
an operational irrigation channel. Even if analytical redundancy
methods have been recognized as powerful and effective techni-
ques for detecting faults, the generation of robust residuals is a
critical issue because of the presence of unavoidable modelling
uncertainties, process noise, parameter variations and non-
linearities. It is also essential to characterize the operating modes
of the system to be supervised. Recently, in Le Pocher, Duviella,
and Chuquet (2011), a data-driven approach, based on a classifi-
cation tool, is proposed for the FDI of sensors of a real inland
navigation channel. This channel has the particularities to have
large scale dimension, without slope, with several inputs and
outputs, and thus difficult to model according to classical model-
ling methods.
The main contribution is twofold: (i) the proposition of an
online model identification scheme in the presence of sensor and
actuator faults, and (ii) the design of a FDI technique to isolate the
faults. The open-channel system is possibly subjected to additive
constant sensor or actuator faults. Since the data available for
identification could be generated by the faulty system, the first
step of our method consists in projecting the system equation
onto a subspace that is orthogonal to the direction of the faults.
By doing so, the influence of the faults in the data is eliminated.
Therefore, subspace identification techniques can be used to
compute the correct parameters of the model. Given the identi-
fied parameters, two finite memory observers (Alessandri,
Baglietto, & Battistelli, 2005; Nuninger, Kratz, & Ragot, 1998) are
proposed for estimating the faults (sensor and actuator) that may
be affecting the system.
The whole proposed FDI strategy is implemented recursively.
Indeed, the recursive subspace identification can be regarded as a
tool for handling the problem of fault detection (Lovera, Parisini, &
Verghaegen, 2001; Oku, Nijsse, Verhaegen, & Verdult, 2001), espe-
cially when the system is slowly time-varying or multi-modal. With
this rather realistic problem in mind, a special recursive subspace
identification algorithm is worked out. It is insensitive to the
presence of actuator or sensor faults. The algorithm uses a recursive
orthogonal projection technique to compute the so-called observa-
tion vector (Gustafsson, 1997; Merce re, Lecoeuche, & Lovera, 2004)
from the input–output data. Given the observation vector, the
Projection Approximation Subspace Tracking (PAST) algorithm of
Yang (1995) is called upon for updating the column space of the
extended observability matrix from which the system matrices are
computed. On the one hand, the resulting model is completely
decoupled from the effects of the faults and on the other hand,
it reflects possible evolutions in the actual system parameters. It can
hence be used for estimating more reliably the deviations caused by
the faults by discriminating between natural evolutions of the
system parameters and changes due to faults. In Section 2, the
problem statement of the dam-gallery supervision is presented.
The recursive subspace model identification procedure is detailed
in Section 3. In Section 4, the methods dedicated to the sensor
and actuator fault detection and isolation are presented. Finally,
Section 5 presents the application of the proposed tools to the
supervision of a dam-gallery.
are computed according to physical laws if the geometry and
characteristics of the systems are known, or determined accord-
ing to identification techniques if not. Whatever modelling
approaches are, it is necessary to validate and calibrate the
obtained model with the real data. However, most of the existing
identification algorithms or model calibration techniques do not
take into account potential sensor or actuator faults. In this paper,
an online modelling algorithm is proposed to identify switching
system dynamics subject to sensor and actuator faults. A specific
application is focussed on the modelling and the supervision of a
dam-gallery which supplies two rivers with water contained in
the catchment area (see Fig. 1). It is composed of three parts
which correspond to three reaches characterized by circular
profiles (see Fig. 2). The upstream part is a one kilometer long
reach, the two downstream parts are hundred meters long
reaches. The operating range of the dam-gallery corresponds to
a minimal discharge Q min ¼ 1 m3 =s and a maximal discharge
Q max ¼ 5 m3 =s. The system is also equipped with two measure-
ment points located at each output of the gallery. The sensors
allow the measurement of the two output discharges.
The dam-gallery is an open channel system whose dynamics
are characterized by nonlinearities and time-varying delays.
According to the literature (Litrico & Georges, 1999; Weyer,
2001), dynamics of open channel systems can be modelled,
around an operating point, by a second order plus transfer delay
function, or by a state-space model (Li, Cantoni, & Weyer, 2004;
Zaccarian, Li, Weyer, Cantoni, & Teel, 2007).
However, these approaches require an accurate knowledge of
the system characteristics, like geometric parameters, boundaries
conditions or friction coefficient, which are not easily measurable
in practice. An alternative consists in an online identification of
the dynamics of hydraulic systems without major prior knowl-
edge about the system characteristics. The proposed identification
technique is based on the segmentation of the large operating
Dam
Gallery
Fig. 1. Dam-gallery open channel system.

2. Problem statement

The control algorithms used to improve the water asset

management are generally based on models whose parameters Fig. 2. Circular profile of the gallery, where R is the radius, z the water level.
 A. Akhenak et al. / Control Engineering Practice 21 (2013) 797–806 799

range of the dam-gallery, i.e. ½Q min ,Q max , into several local operating
ranges, i.e. ½Q s,min ; Q s,max , with s A S where S ¼ f1, . . . ,Pg, with P
being the number of local models. Then, dynamics of each local
operating range are modelled by a local linear model whose state Fig. 3. Time scale showing the activation of the local model and the occurrence of
space representation with input delay is in the form (Palmor, 1996): sensor or actuator fault.
(
xt þ 1 ¼ As xt þ Bs utts þ vt
ð1Þ
yt ¼ C s xt þ wt According to Eq. (2), for each t A ½t n ; t n þ F1:

where matrices As, Bs and Cs are the parameters of the local model s, ya,t ¼ Ga xt þ Ha ðua,t þ ðja  DuÞÞþ ðja  DyÞ þ Za,t , ð5Þ
utts A Rnu is the input variable at time tts , xt A Rnx and yt A Rny where
represent the state and the output vector of the system at time t,
respectively. ts A N is the time delay supposed to be known and Ga ¼ ½ðCÞ> ðCAÞ>    ðCAa1 Þ> > A Rany nx , ð6Þ
constant for the local model s. The process noise vt A Rnx and the 2 3
measurement noise wt A Rny are assumed to be white and uncorre- 0 0  0
lated with the input utts . 6 CB 0  07
6 7 an an
Ha ¼ 6 7AR y u, ð7Þ
The selection of the local model s is done according to the 4 ^ ^ & ^5
value of the input utts , i.e. the upstream discharge. Due to the CAa2 B CAa3 B  0
dynamics of open-channel systems, it is assumed that each local
model s is stable and active during a minimal time T. The system 2 3
0 0  0
order nx is also considered to be known and equal to 2. The 6 C 0  07
6 7 an an
numbers of inputs and outputs are respectively nu ¼1 and ny ¼2 in Ga ¼ 6 7AR y x: ð8Þ
4 ^ ^ & ^5
the case of the studied dam-gallery characterized as a SIMO
system. CAa2 CAa3  0
When sensor and actuator faults are considered, the state here  refers to the Kronecker product (Brewer, 1978),
space representation (1) becomes Za,t ¼ Ga va,t þwa,t and
(
xt þ 1 ¼ As xt þ Bs ðutts þ Dutts Þ þvt ja ¼ ½1    1> A Ra : ð9Þ
ð2Þ
yt ¼ C s xt þ Dyt þwt
From Eq. (5), the subspace identification consists first, in
computing the column space of the extended observability matrix
where Dutts and Dyt are possible actuator and sensor faults and
Ga and then in deducing the system matrices. To this purpose,
are assumed to be unknown constant additive numbers.
Eq. (5) is stacked to form the data equation:
Based on an identification technique, a fault estimation pro-
cedure is proposed to detect and estimate online the sensor and Y a,t ¼ Ga X t þ Ha U a,t þ Na,t þ ðHa ðja  DuÞ þ ðja  DyÞÞj>
F, ð10Þ
actuator faults acting on the dam-gallery system. ny aF
where t ¼ t þ F1, Y a,t ¼ ½ya,t    ya,t  A R , X t ¼ ½xt    xt  A RF ,
nu aF ny aF
U a,t A R and N a,t A R are defined in a similar manner as
Y a,t , and jF is defined similarly as in (9). In order to identify the
3. Recursive subspace identification algorithm system matrices, it is necessary to eliminate explicitly the unknown
terms (the ones that contain Du and Dy). In this objective, let us
3.1. Subspace identification robust to faults define the projection matrix

Given input–output measurements from the switched model P? > 1 >

jF ¼ IF jF ðjF jF Þ jF
such as (2), the objective is to work out a Recursive Subspace 1
¼ I F  jF j>
F: ð11Þ
Model Identification (RSMI) scheme that would be insensitive to a F
certain class of faults (sensor or actuator faults). The identification
Then, by multiplying Eq. (10) on the right by P? jF , the term that
scheme consists in the estimation of the parameters of each linear
contains the faults vanishes, so that Eq. (10) is reduced to
submodel. Firstly, the strategy that will be used to estimate the
system matrices is presented off-line for the local model s. Due to Y a,t P? ? ? ?
jF ¼ Ga X t PjF þHa U a,t PjF þ N a,t PjF : ð12Þ
the genericity of this approach, and for the sake of clarity, the
For the sake of clarity, it is set
index s will not be mentioned in the notation.
8
The stacked output vector ya,t and the stacked input vector ua,t >
> Y ¼ Y a,t P? jF ,
> a,t
<
are introduced
U a,t ¼ U a,t P?
jF , ð13Þ
ny a >
>
ya,t ¼ ½y>
t    y> >
t þ a1  A R , ð3Þ >
: X ¼ X P? :
t t jF

nu a As a consequence, Eq. (12) can be written more simply as

ua,t ¼ ½u> > >
tt    utt þ a1  A R , ð4Þ

where the symbol > refers to the matrix transposition, and a 4 nx . Y a,t ¼ Ga X t þ Ha U a,t þ Na,t P?
jF : ð14Þ
The order of the system nx is supposed to be available a priori.
The projection of (14) onto the orthogonal complement of the
Vectors va,t A Rnx a and wa,t A Rny a are defined similar to ya,t .
subspace spanned by the rows of U a,t is accomplished by post-
The local model is active and stable during a time interval T
multiplying Eq. (14) by the matrix P?
U
defined as
which begins at time tb and finishes at time tf. During T, actuator a,t
> >
or/and sensor faults Dutt and Dyt can occur at each time tn, with P?
U
¼ IF U a,t ðU a,t U a,t Þ1 U a,t : ð15Þ
a,t
t n A T. These faults are assumed to be constant on, at least, the
time window ½t n ; t n þ F þ a2 with F b a  nu . This constraint Then
implies also that t n þ F þ a2 rt f , and Dutt ¼ Du and Dyt ¼ Dy
Y a,t P?
U
¼ Ga X t P?
U a,t
þ Na,t P? ?
jF PU : ð16Þ
on ½t n ; t n þF þ a2 (see Figure 3). a,t a,t
800 A. Akhenak et al. / Control Engineering Practice 21 (2013) 797–806

Hence, the identification problem boils down to the problem of input and output vectors ua,t and ya,t respectively
extracting the range space RðGa Þ of Ga from the noisy observation  
matrix Z a,t :¼ Y a,t P? ¼ ½z a,t    z a,t  in this latter space. The whole 1 1 F t 1 1=2
U a,t u t ¼ pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi u~ a,t , y t ¼ pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi y~ a,t , rt ¼ :
identification algorithm can be summarized in two steps: F t ðF t 1Þ F t ðF t 1Þ Ft

Initial values can be chosen as Ruu ð0Þ  I (i.e. proportional to the

 Estimation of the observation matrix Z a,t . identity matrix), Ryu ð0Þ ¼ 0, su ð0Þ ¼ sy ð0Þ ¼ 0 and r0 A ½01, rather
 Extraction of the column space of Ga . closer to 1 than to 0.

These two steps will be performed recursively. The next subsec-

tion deals with the computation of the observation vector z a,t 3.3. Recursive update of the observability matrix
whenever a new couple ðut ,yt Þ of input–output data becomes
available. Section 3.3 considers the problem of recursively updat- This section concerns the update of the observability matrix
ing a basis of RðGa Þ, given a new observation. from the observation vector z a,t . In effect, as shown in the
appendix, the vector z a,t lies in the column space of Ga . This
means that the following equation is satisfied:
3.2. Recursive estimation of the observation vector
z a,t ¼ Ga x t þ e a,t , ð19Þ
The first stage of the recursive identification algorithm is to
where z a,t , x t and e a,t are respective columns of the matrices that
compute a new observation vector z a,t whenever a new couple
appear in Eq. (16). For this purpose, the well-known Projection
ðua,t ,ya,t Þ is acquired. This can be done as follows. Stack column-
Approximation Subspace Tracking (PAST) algorithm is used
wise the new vectors ua,t and ya,t in U a,t 1 and Y a,t 1 to form new
(Lovera, Gustafsson, & Verhaegen, 2000; Yang, 1995). The basic
Hankel matrices U a,t ¼ ½U a,t 1 ua,t  and Y a,t ¼ ½Y a,t 1 ya,t . It can
idea of this algorithm can be summarized as follows. Notice from
then be shown (see the Appendix) that the matrices Y a,t and U a,t
Eq. (19) that by neglecting the effect of the noise,1 it holds that
defined in (13) can be modified as follows:
pffiffiffi  Rz Ga Rx G>
1 1 a, ð20Þ
Y a,t ¼ lY a,t 1 þ y~ a,t j>
F t 1  y~ a,t , ð17Þ
F t ðF t 1Þ Ft where Rz ¼ Eðz a,t z > andanx anx
Rx ¼ Eðx t x >
and E is nx nx
,
a,t Þ A R t ÞAR
pffiffiffi  the expectation operator. Denote by Oa a matrix formed by the nx
1 1
U a,t ¼ lU a,t 1 þ u~ a,t j>
F t 1  u~ a,t , ð18Þ eigenvectors of Rz that correspond to its most dominant eigenva-
F t ðF t 1Þ Ft
lues. Then the matrix Oa has the same column space as Ga and
where l is a forgetting factor can be computed by minimizing the criterion
pffiffiffiwhich is introduced to weight the
ffiffiffi information, and y a,t ¼ lY a,t 1 jF t 1 ðF t 1Þya,t and u a,t ¼
past ~ ~
p X
t
lU a,t 1 jF 1 ðF t 1Þua,t . Here, F t denotes the number of col- VðOa,t Þ ¼ lt k Jz a,k Oa,t O> 2
t a,t z a,k J2 : ð21Þ
umns in the matrix Y a,t . Note that F t þ 1 ¼ F t þ 1. k¼1
Before going into the details of the algorithm, it is assumed
> By using Eq. (21) the approximation hk :¼ O> >
a,t z a,k C Oa,k1 z a,k ,
that the inverse of the matrix ðU a,t U a,t Þ A Rnu anu a exists for
one gets the following weighted least squares criterion:
t b anu , i.e. the condition of persistency of excitation has to be
respected (Merce re et al., 2004). X
t
Under this condition, it is possible to derive, through ortho- VðOÞ ¼ lt k Jz a,k Oa,t hk J22 ,
gonal projection, formulas for computing z a,t . The details on the k¼1

derivation of these formulas can be found in the Appendix. From whose minimization leads to the PAST algorithm (Yang, 1995) for
the group of Eqs. (A.9), a simple change of notations leads to the recursively updating Oa,t :
following recursive algorithm. This latter is simpler to implement
and does not depend explicitly on F t . ht ¼ O>
a,t 1 z a,t ,
Lt 1 ht
Algorithm 1. Recursive update of the observation vector. qt ¼ ,
l þ h>
t Lt 1 ht
1
rt ¼ qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi Oa,t ¼ Oa,t 1 þðz a,t Ga ht Þq> ,
2r2t 1 t

pffiffiffi 1 >
u t ¼ rt ð lsu ðt1Þua,t Þ Lt ¼ ðLt 1 qt ht Lt 1 Þ, ð22Þ
l
pffiffiffi
y t ¼ rt ð lsy ðt1Þya,t Þ where Lt A Rnx nx and Oa,t A RFny nx are generally initialized at
pffiffiffi random. In principle, since Ga and Oa,t have the same column
l
z a,t ¼ qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi ðy t Ryu ðt1ÞRuu ðt1Þu t Þ space, it is just set G^ a to be equal to O .
> a,t
l þ u t Ruu ðt 1Þu t Once G ^ a is available, the matrices A^ and C^ can be immediately
> extracted by exploiting the A-invariance property of Ga :
Ryu ðtÞ ¼ lRyu ðt1Þ þy t u t
! ^ m y G
^k
1
>
u t Ruu ðt1Þ A^ ¼ ½G a a and C^ ¼ G
^ a ð1 : ny , :Þ: ð23Þ
Ruu ðtÞ ¼ Ruu ðt1ÞRuu ðt1Þu t
^m¼G ^k¼G
l >
l þu t Ruu ðt1Þu t where G ^ a ð1 : ny ða1Þ, :Þ and G ^ a ðny þ1 : ny a, :Þ, (Matlab-
a y a
^
like notations), and G a is the pseudo-inverse of G ^ a: G^y ¼
su ðtÞ ¼ r2t su ðt1Þ þ ð1r2t Þua,t > > a
^ G^ 1 ^ ^ ^ ^
ðG a a Þ G a . Given A and C , the matrix B can be estimated by a
sy ðtÞ ¼ r2t sy ðt1Þ þ ð1r2t Þya,t linear regression (see e.g. Lovera et al., 2000 for more details).

The notations in Algorithm 1 are defined as follows: Ruu ðtÞ ¼
> >
ðU a,t U a,t Þ1 , Ryu ðtÞ ¼ Y a,t U a,t ; su ðtÞ and sy ðtÞ are the average of the
1
In the original PAST algorithm, the noise symbolized by e a,t is assumed to be
white. But this is not the case here so that a solution may be to use an
instrumental variable (Ljung & Soderstrom, 1983).
 A. Akhenak et al. / Control Engineering Practice 21 (2013) 797–806 801

4. Fault detection and isolation are considered faultless (Dy ¼ 0). Then the system (2) becomes
(
xt þ 1 ¼ Axt þBðut þ DuÞ þvt
The objective of this part is to detect the occurrence of sensor ð28Þ
yt ¼ Cxt þwt
and actuator faults, and to isolate them. The FDI technique which
is proposed consists in the generation of residuals that reflect the
The finite memory observer can be used for the estimation of the
faults acting on the system which is modelled by Eq. (2). An ideal
actuator faults by considering them as components of an aug-
residual signal should remain zero in the fault-free case and non-
mented state of the system. One considers that the actuator fault
zero when fault occurs.
is constant on the time window F þ a2 as defined in Section 3.1.
Based on the hypothesis that a fault is constant on the time
The augmented system can be written as follows:
window F þ a2 (see Section 3.1), the FDI technique is presented ( 0
for a single local model s. For the sake of clarity, in the following, xt þ 1 ¼ Ax0t þ But þ v0t ,
the index s will not be mentioned in the notation. ð29Þ
yt ¼ C x0t þ wt ,

where
4.1. Sensor fault detection and recognition
> > >
x0t ¼ ½x>t Du  and v0t ¼ ½v>
t 0 ,
" # " #
In order to detect and estimate the sensor fault, the actuators A^ B^ B^
are considered faultless, i.e. Du ¼ 0. Then, the system (2) becomes A¼ , B¼ , C ¼ ½C^ 0,
0 I 0
(
xt þ 1 ¼ Axt þBut þvt ,
ð24Þ From this augmented system, which is assumed to be observable,
yt ¼ Cxt þ Dy þwt :
a finite memory observer of the form (26) can be designed for
cu is extracted as the last n compo-
estimating x0t from which D u
Given the identified matrices according to the method presented
nents of x0t .
in the previous section, the output of the system can be recon-
structed. The sensor fault indicator is designed as the difference
between the measured output yt and the output estimated y^ t
5. Online fault diagnosis of the dam-gallery
from the identified matrices. To compute y^ t , a finite memory
observer is used (Alessandri et al., 2005; Hocine et al., 2005). The
The proposed RSMI algorithm and FDI method are applied in
procedure is as follows. Note that the following approximation
the framework of the dam-gallery open channel system (see
holds:
Fig. 1) described in Section 2. The first stage consists in identifying
^ a x^ ta þ H
y^ a,ta ¼ G ^ a ua,ta : ð25Þ online the model of the system. To show the efficiency of the
RSMI algorithm, the dam-gallery is firstly modelled by the Saint-
Solving Eq. (25) for the state Venant partial differential equations, using the software SIC.2 This
^ y ðy ^ software leads to an accurate model of channels according to the
x^ ta ¼ G a a,ta H a ua,ta Þ: resolution of the Saint-Venant equations via a discretization
Then, the state at time t is approximated by the following scheme. SIC is extensively used by hydrographical network
equation, which is referred to as a finite memory observer managers as well as hydraulic and control engineers (Duviella,
Chiron, Charbonnaud, & Hurand, 2007; Duviella et al., 2011;
a
x^ t ¼ A^ x^ ta þ T^ a ua,ta Litrico et al., 2007; Lozano et al., 2012; Malaterre & Chateau,
a y
^a ^ y ^ 2007).
¼ A^ G
^ y ^
a a,ta þðT a A G a H a Þua,ta , ð26Þ
In what follows, the model built using the software SIC is used
a1 as a reference model. Then, based on the parameters identified by
where T^ a ¼ ½A^ B^    A^ B^ B.
^ Finally, the output is reconstructed
as the RSMI algorithm, the output-sensor and input-actuator faults
are estimated using the proposed FDI approach.
y^ t ¼ C^ x^ t :

And the residual vector is given by the following equation: 5.1. Dam-gallery dynamics identification

r t ¼ yt y^ t : ð27Þ The dam-gallery is shown schematically in Fig. 4. Its geome-

The analysis of each component r ðiÞ trical characteristics are considered to be known and are given in
t ,
i ¼ f1, . . . ,ny g, of the residual
vector (27) indicates the faulty sensors. For this purpose, appro- Table 1, where R is the radius, J the reach slope, K the Strickler
priate user-defined thresholds Zi are set up for each r ðiÞ coefficient and X the profile length.
t to decide
whether or not the i-th sensor component is faulty. The sensor The software SIC allows the resolution of the Saint-Venant
faults can thus be diagnosed using a simple thresholding logic: equations according to the Preissman discretization scheme.
Among the resolution algorithms proposed by SIC, the Newton
9r ðiÞ
t 9 r Zi ) Fault-free condition of the sensor algorithm, which offers the best performance in spite of a longer
simulation time, is chosen. To avoid instability periods during
9r ðiÞ
t 9 4 Zi ) Faulty-condition on the sensor simulation, the Courant number has to be close to one
dt
Nc ¼ ðV þ C e Þ, ð30Þ
The value of the fault detection thresholds can be tuned according dx
to the expert knowledge. where Ce is the celerity coefficient and V is the mean velocity of
the flow expressed by V ¼ Q =S, with the discharge Q and
4.2. Actuator fault detection and recognition the wetted area S. To guarantee a Courant number Nc close to

In this section, an unknown input finite memory observer is 2

SIC user’s guide and theoretical concepts. CEMAGREF, Montpellier, 1992.
proposed as a method to identify the actuator fault. The sensors http://canari.montpellier.cemagref.fr/
802 A. Akhenak et al. / Control Engineering Practice 21 (2013) 797–806

4
Reach 3.5
3
Reach

u
2.5

Dam Reach 2

Fig. 4. Scheme of the dam-gallery system. 2

1.75
1.5

y1
Table 1
Geometrical characteristics of the three reaches: radius R (m), slope J, Strickler 1.25
coefficient K and profile length X (m). 1

Reach R (m) J (%) K X (m)

2
1 1 0.26 70 950
2 0.75 0.09 70 150
1.5

y2
3 0.75 0.1 70 300

1
0 6 12 18 24
Table 2 Time [h]
Dam-gallery downstream limiting conditions.
Fig. 5. (a) Upstream discharge u, (b) y1 and (c) y2 with SIC (continuous line) and
Q (m3/s) 0.507 1.02 1.496 2.02 2.53 3.03 RSMI (dashed line) downstream discharges.
y1 (m) 0.4 0.58 0.6 0.81 0.9 0.98
y2 (m) 0.54 0.72 0.84 0.95 1.04 1.12

0.2
0.15
Table 3 0.1
Definition of local models on operating range ½Q s min ; Q s max ½ depending on the
0.05
e1

pure delay ts .
0
Local model s ½Q min ; Q max  ts ð:T e Þ −0.05

s¼1 [1;2.3] 3 −0.1

s¼2 [2.3;4.6] 2
s¼3 [4.6;5] 1
0.2
0.15
one, the spatial and temporal discretization steps are tuned as
0.1
dx ¼ 50 m and dt ¼ 12 s respectively.
0.05
e2

The resolution of the Saint Venant equations by the Preiss-

mann scheme requires downstream limiting conditions, i.e. the 0

relative water level z (m) according to the discharge Q (m3/s). Due
to the geometrical characteristics of the system, the downstream
limiting conditions are denoted y1 for the first output at the end of
the reach 2 and y2 for the second output at the end of the reach 3
(see Fig. 4). The limiting conditions are given in Table 2.
Due to its large operating range, i.e. [1, 5] m3/s, the dam-
gallery is considered as a switching system in the form (2) where
only one local model is active at any moment. Each local model is
available on a local operating range (see Table 3). The number of
the local models is determined according to the discharges.
The transfer delays are supposed to be known, or estimated
according to the method presented in Duviella et al. (2006). The
pure delays, which are expressed according to the sample time Te,
are displayed in Table 3.
The RSMI algorithm parameters have been chosen as a ¼ 8 for
the sliding window and l ¼ 0:8 for the forgetting factor.
In order to evaluate the proposed online identification algo-
rithm, the first scenario consists in a 24 h simulation with an
important setpoint modification (from 2 m3/s to 3.8 m3/s) and a
random noise of variance equal to 0.01. Fig. 5 shows the upstream
discharge u and the downstream discharges y1 and y2 from SIC in
continuous line, and from the RSMI approach in dashed line. The
RSMI outputs are obtained by using the identified parameters and
the finite memory observer (26). Slight shifts between the SIC and
RSMI outputs could be seen in Fig. 5b and c. They are due to the
−0.05
−0.1
0 6 12 18 24
Time [h]
Fig. 6. Downstream discharge errors (a) e1 on y1 and (b) e2 on y2.
state estimation based on the observer (26). These shifts are
increased during the switchings since mixed data resulting from
various operating points are present in the sliding window a used
to identify the model parameters. The system dynamics are well
identified, since the estimated outputs are very close to those
from SIC.
The errors between the SIC and RSMI downstream discharges
are computed as the difference between the two SIC and RSMI
outputs, and depicted in Fig. 6. Around the operating points,
i.e.2 m3/s and 3.8 m3/s, the errors on y1 and y2 are less than
0.05 m3/s, i.e.2.5% (considering the discharge 2 m3/s). The max-
imal errors are reached around the 10th hour during the switch-
ing between the two operating points. They are such as
max e1 ¼ 0:14 m3 =s and max e2 ¼ 0:19 m3 =s, i.e.7% and 9% respec-
tively. The maximal errors are attributed to the presence of mixed
data coming from the two operating points in the sliding window,
and to the different time delays considered for each operating
point. The magnitudes of the system poles using the RSMI
 A. Akhenak et al. / Control Engineering Practice 21 (2013) 797–806 803

algorithm are depicted in Fig. 7. The magnitude of the system pole
eig1 (see Fig. 7a) is approximately equal to 0.5 for the first
operating point around 2 m3/s, and to 0.1 for the second operating
point around 3.8 m3/s. The second magnitude of the system pole
eig2 (see Fig. 7b) is close to 0.5 for the two operating points. At the
10th hour, when occurs the setpoint modification, the errors on
the magnitude of the system poles are large on a small time
interval inferior to 10 min. Then, the magnitudes of the system
poles converge to their values corresponding to the second
operating point according to the evolution of the discharge (see
Fig. 5). Again, errors on magnitudes of the system pole at the 10th
hour are due to data coming from two different local models in
the sliding window, and the different time delays.
Finally, the poles of the system are depicted in Fig. 8. Poles that
correspond to the operating point around 2 m3/s are complex
conjugate and close to 0:4 70:2j (x-mark). Those that correspond
to the operating point around 3.8 m3/s are real (point-mark).
During the switching between the two operating points, poles
(plus-mark) move from the zone corresponding to 0:4 70:2j
0.6
0.4
eig1
(x-mark) to the zone corresponding to the real ones (point-mark).
Poles (plus-mark) characterize the switching between the two
operating modes.
5.2. Sensor fault detection and isolation
Based on the RSMI results, the FDI method is used to detect
and estimate the faults acting on the dam-gallery system. The
type of fault, its duration and its amplitude are estimated
according to the analysis of the residuals generated by the finite
memory observer (25) and (26). The faults are assumed to be
constant. Moreover, an output-sensor fault does not exist at the
same time as an input-actuator fault. The proposed scenario
consists in a 96 hours simulation with important setpoint mod-
ifications (from 2 m3/s to 3.8 m3/s and from 3.8 m3/s to 1.4 m3/s)
(see Fig. 9a), and two output-sensor faults. The output-sensor
fault Dy1 on y1 appears at the 24th hour with an amplitude of
0.5 m3/s and disappears at the 80th hour. The output-sensor fault
Dy2 on y2 appears at the 50th hour with an amplitude of  0.3 m3/s
and disappears also at the 80th hour. The RSMI algorithm para-
meters used are a ¼ 8 and l ¼ 0:8.
The downstream discharges y1 and y2 from SIC are depicted in
Fig. 9b and c in continuous line. These measured discharges are

subjected to output-sensor faults Dy1 and Dy2 . The downstream

0.2 discharges estimated by the finite memory observer (26) are
displayed in dashed line in Fig. 9b and c. The residuals r1 and r2
0
are computed from the difference between the measured outputs
and their estimates by the finite memory observer (see Eq. 27).
The residual r1 is equal to 0.5 m3/s between the 24th hour and the
0.8 80th hour (see Fig. 9d). The residual r 2 is equal to  0.3 m3/s as
0.7
from the 51th hour (see Fig. 9e). The residuals lead to a good
estimation of the faults, i.e. duration and amplitude, in spite of the
0.6 switching between the two operating points at time instants 34th
eig2

0.5 and 68th hours.

0.4

0.3 4
0 6 12 18 24 3
u

Time [h] 2
1
Fig. 7. Magnitudes of the system poles (a) eig1 and (b) eig2.

2
y1

1 1
0
0.8

0.6
2
y2

1
0.4
0
0.2

0 1
0.5
r1

−0.2 0
−0.5
−0.4

−0.6 1

0
r2

−0.8
−1
0 12 24 36 48 60 72 84 96
−1
−1 −0.8 −0.6 −0.4 −0.2 0 0.2 0.4 0.6 0.8 1 Time [H]

Fig. 8. Unit circle with the poles for the operating point corresponding to 2 m3/s Fig. 9. (a) Upstream discharge u, SIC (continuous line) and RSMI (dashed
(x-mark), for the operating point corresponding to 3.8 m3/s (point), and for the line) downstream discharges (b) y1 and (c) y2, (d) residual r1 on y1 and
commutation between the two operating points (plus-mark). (e) residual r2 on y2.
804 A. Akhenak et al. / Control Engineering Practice 21 (2013) 797–806

sensor and actuator faults in the regression equation, the estima-

4 tion parameters become insensitive to the presence of the faults
3
considered (sensor and actuator). As the identified parameters are
u

2
1
insensitive to the sensor or actuator faults, the second stage of
this approach, consists in the fault detection and isolation using
the parameters identified in the first stage. The strategy of fault
2
localization depends on the element to supervise. The sensor
residual is computed by the comparison between the actual
y1

1 output of the system and its estimate which is obtained using a

0 finite memory observer. The analysis of each component of the
residual vector indicates possible faulty sensors. The actuator
fault detection and isolation is carried out by the design of a finite
2 memory observer with unknown input. The role of this observer
consists in estimating the augmented part of the state vector
y2

1
which corresponds to the actuator fault, after having rewritten
0 the identified model of the system in its augmented form.
This approach is applied for the online parameters identifica-
tion and diagnosis of a dam-gallery open channel system subject
0.4 to sensor and actuator faults. The parameters of the dam-gallery
0.2
ru

0 dynamics are identified online according to the recursive sub-

−0.2 space identification algorithm by considering known time delays.
0 12 24 36 48 60 72 84 96 The system dynamics are well identified with maximal modelling
Time [H] errors during the commutation between two operating points.
Using the identified parameters, the finite memory observer leads
Fig. 10. (a) Setpoint (continuous line) and upstream discharge u (dotted line), SIC
to the detection and isolation of the sensor faults acting on the
(continuous line) and downstream discharges estimated by finite memory
observer (dashed line), (b) y1, (c) y2, and (d) actuator fault estimation ru. dam-gallery system. The type of fault, its duration and its
amplitude are well estimated according to the analysis of the
generated residuals. Finally, the finite memory observer with
During the commutations between two operating points, at unknown inputs is used for the detection and isolation of the
the 34th and 68th hours (see Fig. 9a), or when an output-sensor actuator faults acting on the dam-gallery system. The residual
fault appears or disappears, at the 24th, 51th and 80th hours (see analysis leads to a good estimation of the type of fault, its
Fig. 9b and c), there are abrupt changes in the residual values (see duration and its amplitude in spite of the commutation between
Fig. 9d and e). The detection of a fault or a commutation is carried operating points. The downstream discharges are well estimated
out after a time corresponding to the sliding window width a. It is in spite of the actuator fault.
possible to differentiate a fault detection from a switching by
considering the input signal.
Appendix A. Recursive update of z a,t
5.3. Actuator fault detection and isolation
The goal of this appendix is to compute the observation vector
z a,t whenever a new couple ðua,t ,ya,t Þ of input–output data becomes
The second scenario consists in an input-actuator fault (see
Fig. 10). The input-actuator fault on u appears at the 34th hour available (Merce re et al., 2004). For notational convenience, the time
with an amplitude of 0.4 m3/s and disappears at the 84th hour. In index t will be omitted in F t that is, F t will be denoted more simply
Fig. 10a, the setpoint is shown in continuous line, and the by F. Given Z a,t 1 ¼ Y a,t 1 P?
U
, it is necessary to obtain z a,t as the
a,t 1
upstream discharge u subjected to disturbances is shown in
last column of Z a,t ¼ Y a,t P?
U a,t
. This is done in a recursive manner by
dotted line. The downstream discharges y1 and y2 are depicted
in Fig. 10b and c in continuous line for the measured outputs and performing an update of the orthogonal projection onto the ortho-
in dashed line for the discharges estimated by the finite memory gonal complement of the rows space of U a,t .
observer (26). The residual r (r u ¼ D cu) is estimated by using By using the equation
u
" # " 1 #
> c> > cu corre- 1 F1 jF1 jF1 jF1
>
Eq. (26), and replacing x^ t by x^ 0t ¼ ½x^ t Du  , where D 1 P?
jF1 0
P?jF ¼ I F  j j >
¼  ,
sponds to the last nu components of the augmented state of the F F F 0 1 F j>F1 1
system (29). It is equal to 0.4 m3/s as from the 34th hour until the ðA:1Þ
84th hour (see Fig. 10d). The residual leads also to a good
estimation of the fault, i.e. duration and amplitude, in spite of it is possible to obtain:
pffiffiffi 
the commutation between two operating points at the 50th hour. 1 1
Y a,t ¼ lY a,t 1 þ y~ a,t j> ~
F1  y a,t ðA:2Þ
FðF1Þ F
pffiffiffi 
6. Conclusion 1 1
U a,t ¼ lU a,t 1 þ u~ j>  u~ a,t ðA:3Þ
FðF1Þ a,t F1 F
In this paper, an online procedure for sensor and actuator fault pffiffiffi
detection and isolation is proposed, with only a little prior y~ a,t ¼ lY a,t 1 jF1 ðF1Þya,t ðA:4Þ
knowledge on the system to be supervised. To implement this
pffiffiffi
new approach, two stages are necessary. Initially, a specific u~ a,t ¼ lU a,t 1 jF1 ðF1Þua,t ðA:5Þ
recursive subspace identification algorithm is developed to iden-
tify online the parameters characterizing the dynamics of the In order to estimate the observation vector z a,t , it is necessary to
system. By explicitly eliminating the influence of a certain type of compute the relation Y a,t P?
U
step by step. The first step consists
a,t
 A. Akhenak et al. / Control Engineering Practice 21 (2013) 797–806 805

 rffiffiffiffiffiffiffiffiffiffiffiffiffi
>
in obtaining the product U a,t U a,t . By applying Eq. (A.2) and xa,t pffiffiffi
1
lFðF1Þz a,t ðga,t U a,t 1 þ ljF1 Þ FðF1Þ y a,t jF1
þ > > ~ >
?
observing that U a,t 1 PjF1 ¼ 0, the following expression can be
sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi 3
derived: xa,t ðF1Þ
1  z a,t 5
>
U a,t U a,t ¼ lU a,t 1 U a,t 1 þ
>
u~ u~ > : ðA:6Þ F
FðF1Þ a,t a,t
By applying the matrix inversion lemma to (A.6) with
! sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
> 1  >
1 g~ a,t g~ >a,t x
a,t >
ðU a,t U a,t Þ1 ¼ U a,t 1 U a,t 1  ðA:7Þ z a,t ¼ ðy~ Y a,t 1 U a,t 1 ga,t Þ: ðA:8Þ
l d~ FðF1Þ a,t
a,t þ lFðF1Þ
> Using Eqs. (A.5) and (A.8):
with g~ a,t ¼ ðU a,t 1 U a,t 1 Þ1 u~ a,t and d~ a,t ¼ u~ >
a,t g a,t .
~
>
By post-multiplying Eq. (A.7) by U a,t , and taking (A.2) into Z a,t Z a,t ¼ lðY a,t P?
U
ÞðY a,t P?
U
Þ>
a,t a,t
account:
>
¼ lZ a,t 1 Z a,t 1 þz a,t z >
a,t

>
Now, pre-multiplying the last equation by U a,t yields Note now that Z a,t 1 and Z a,t ¼ ½Z a,t 1 z a,t  can be written as
Z a,t 1 ¼ Ga X t 1 P?
U
and Z a,t ¼ Ga X t P?
U
respectively. From
a,t 1 a,t
this, it follows that z a,t belongs to the column space of Ga .

with Recapitulating the steps described above, one gets a complete

! algorithm for computing the observation vector as follows:
xa,t pffiffiffi > d~ a,t pffiffiffi
Ca,t ¼  lg~ >
a,t U a,t 1 þ j>F1 y~ a,t ¼ lY a,t 1 jF1 ðF1Þya,t
F FðF1Þ
pffiffiffi
u~ a,t ¼ lU a,t 1 jF1 ðF1Þua,t
and
>
g~ a,t ¼ ðU a,t 1 U a,t 1 Þ1 u~ a,t
d~ a,t
xa,t ¼ 1 ~ : d~ a,t ¼ u~ >
a,t g a,t
~
d a,t þ lFðF1Þ
b~ a,t ¼ d~ a,t þ lFðF1Þ
Now, the orthogonal projection P?
U
can be obtained such as
a,t xa,t ¼ 1d~ a,t =b~ a,t

Using Eq. (A.2) and pre-multiplying the last equation by Y a,t :

sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
 pffiffiffi   x
a,t >
1
lY a,t 1 þ FðF1Þ y~ a,t j> ?
0 z a,t ¼ ðy~ Y a,t 1 U a,t 1 g~ a,t Þ
Y a,t P?
U
¼ F1 PU FðF1Þ a,t
a,t a,t 1
806 A. Akhenak et al. / Control Engineering Practice 21 (2013) 797–806
> > 1 Li, Y., Cantoni, M., & Weyer, E. (2004). Design of a centralised controller for an
Y a,t U a,t ¼ lY a,t 1 U a,t 1 þ y~ u~ >
FðF1Þ a,t a,t
! ference on control, Bath, UK.
> 1 > g~ g~ >
ðU a,t U a,t Þ1 ¼ ðU a,t 1 U a,t 1 Þ1  a,t a,t ðA:9Þ
l b~
a,t
which in turn, can be rearranged in the form given in Algorithm 1.
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