Proceedings of the 14th International Middle East Power Systems Conference (MEPCON’10), Cairo University, Egypt, December 19-21,
2010, Paper ID 228.
Alternative configurations for induction-generator based geared wind turbine
systems for reliability and availability improvement
M. EL-Shimy
Electric Power and Machines Department, Faculty of Engineering, Ain Shams University, 11517, Cairo, Egypt
shimymb@gmail.com; mohamed_bekhet@eng.asu.edu.eg; Mobile phone: 002 0105639589
Abstract - The main objectives of this paper are to study and
improve the reliability and the structural availability of WTG
systems. Due to limitations on the availability and accuracy of
failure and repair data, the scope of the study is limited to the
main items comprising the electrical subsystems of the induction
generator based WTG systems. However, induction generator
based WTG systems are the most widely used systems in wind
power generation and the mechanical subsystems of such
generating systems are almost identical. Previous studies show
that the electronic subassemblies in WTG systems are among the
main causes of the reduction of the overall system availability.
Hence, the proposed alternative configurations are based on
either redundancy in the converter subassemblies (active and
standby redundancy) or converter bypass during converter
failure and repair times. Operational limitations of the proposed
configurations as well as some previously proposed
configurations are discussed. Suitability of the proposed
configurations for offshore applications is considered. It is found
that the squirrel-cage induction generator (SCIG) with full-scale
converter (FSC) and active-redundant converter configuration is
the optimal WTG system for offshore applications. However,
attempts should be made to improve the maintainability of such a
configuration.
Index Terms -Wind power; Reliability; DFIG; SCIG; BDFIG
I. INTRODUCTION
Referring to the rotational speed, wind turbine (WT)
concepts can be classified into fixed speed, limited variable
speed and variable speed. For variable speed wind turbines,
based on the rating of the power converter related to the
generator capacity, they can be further classified into wind
generator systems with a partial-scale and a full-scale power
electronic converter. In addition, considering the drive train
components, the wind turbine concepts can be classified into
geared-drive and direct-drive wind turbines. In geared-drive
wind turbines, one conventional configuration is a multiple-
stage gear with a high-speed generator; the other one is the
multibrid concept that has a single-stage gear and a low-speed
generator. Extended details about wind turbine concepts and
their comparison can be found in [1-5].
The multiple-stage geared drive DFIG concept is still
dominant in the current market. Additionally, the market
shows interest in the direct-drive or geared-drive concepts
with a full-scale power electronic converter. Current
developments of wind turbine concepts are mostly related to
offshore wind energy; variable speed concepts with power
electronics will continue to dominate and be very promising
technologies for large wind farms [1]. Geared wind turbine
systems with induction generators have been shown to be the
most common configurations (more than 55%) used for large
538
wind turbines [2] where DFIG based system is the more
common configuration among them [3].
Compared with the DFIG system, the Brush-less Doubly-
Fed Induction Generator (BDFIG) does not require slip rings;
however, it requires double stator windings, with a different
number of poles in both stator layers. The second stator layer
generally has lower copper mass, because only a part of the
generator nominal current flows in the second winding. This
second stator winding is connected through a power electronic
converter, which is rated at only a fraction of the wind turbine
rating [1]. One of the main reasons for lower reliability of the
system with the DFIG, in comparison to SCIG based fixed
speed systems, is the presence of brushes in the configuration.
With the advent of BDFIG technology, this drawback could be
overcome in future years [2]. Test results from prototype of
BDFIG indicate that it is a valid alternative to the DFIG for
future wind turbines; however, the machine operation
principle and its assembly are relatively complex [1, 2].
To understand WT reliability, we need to break down the
WT system into subsystems and in turn, subsystems are
divided into subassemblies [2-6]. A subsystem of WT system
could for example be the drive train, consisting of rotor hub,
shaft, bearing, gearbox, couplings, and generator. Components
that constitute a subsystem are subassemblies such as the
gearbox. Fig. 1 illustrates a typical configuration and main
components of horizontal axis geared wind turbine system. It
is depicted from Fig. 1 that a wind turbine system consists of
several components. A component can be considered as a
subsystem if it is divided into its constituting items. For
example, the converter of the DFIG system can be considered
as a subsystem consisting of four subassemblies namely, the
rotor side converter (RSC), the grid side converter (GSC), the
DC link, and the control unit (CU) [2].
Reliability is the probability of a subassembly to perform
its purpose adequately, under the operating conditions
encountered, for the intended period. Analytical methods are
available for evaluating reliability, depending on the data
available, the depth of study, and the expected accuracy of the
model [8, 9]. A reliability model can only provide correct
conclusions if accurate data are used [2]. Operational data will
verify correctness of the predicted system lifetime. Statistical
data analysis may result in a component redesign or a changed
maintenance schedule [5].
The control unit inside the turbine regularly collects
operational statistics from wind power plants. Today, most
turbines are fitted with equipment that makes it possible to
collect the data remotely via modems or internet [5]. The basis
for developing and establishing a database for collecting
reliability and reliability-related data, for assessing the
reliability of wind turbine components and subsystems and
wind turbines as a whole, as well as for assessing wind turbine
availability while ranking the contributions at both the
component and system levels is presented in [4, 9, 10].
Fig. 1: A typical configuration and main components of horizontal axis
geared wind turbine system [4]
Collecting accurate wind-turbine reliability data is
considered a challenging task [2, 5]. This was for several
reasons, e.g.,: no statistical data were collected, wind turbine
manufacturers refused to reveal data, data from different
designs could not be compared, or data retrieval was too
expensive to access [5]. Even if it is available, the field failure
data are usually tainted, incomplete, lack sufficient detail, or
do not satisfy the assumptions of a model selected for analysis
[7]. In order to consider such an incompletion and obtain a
more accurate reliability growth of wind turbines, a general
three-parameter Weibull failure rate function is presented in
reference [7] to depict the reliability growth. The parameters
of this function are estimated by two techniques, maximum
likelihood and least squares. Similar results have been
achieved by the two techniques.
Despite the deficiencies of this data, reliability-growth
analysis methods allow the extraction of reliability trends over
an observed period [11]. The analysis can also differentiate
between subassemblies in a system subject to human-driven
reliability improvement and mature technology, and
subassemblies that are deteriorating, and characterized by
increasing failure intensity.
The main literature findings from the investigations of the
failure statistics of WT systems indicate the following [2-6]:
 The gearbox is critical to the availability of the wind
turbine. Most of the gearbox failures are caused by
wear on the mechanical parts.
 Direct drive WT systems are not necessarily more
reliable than geared WT systems. Aggregate failure
539
intensities of generators and converters in direct drive
WT systems are greater than the aggregate failure
rate of gearboxes, generators, and converters in
geared WT systems.
 The gears and the drive train are the components that
demand the longest downtime per failure. Since drive
train and gearboxes seldom fail, one reason for the
long downtime could be that spare parts need to be
ordered, which could prolong the time for repair.
 Power electronic converters of direct and geared
drive WT system exhibit higher failure intensities
throughout their operation than converters in other
industries.
 Although the fixed-speed wind turbine is less
aerodynamically efficient, its availability is higher,
when its reliability is taken into account, at least in its
electrical subassemblies.
If the wind power is to be competitive, the downtime
needs to be shortened and visits to the turbine should be kept
to a minimum [5]. This can be achieved through improvement
in WT system design, fault detection and monitoring, and
maintenance procedures. Better reliability of small wind
turbines could be achieved with grid-connected configurations
that require minimal power electronics [12-13].
The main objectives of this paper are to study and
improve the reliability and the structural availability of WTG
systems. Due to limitations on the availability and accuracy of
failure and repair data, the scope of the study is limited to the
main items comprising the electrical subsystems of the
induction generator based WTG systems. However, induction
generator based WTG systems are the most widely used
systems in wind power generation and the mechanical
subsystems of such generating systems are almost identical.
Previous studies show that the electronic subassemblies in
WTG systems are among the main causes of the reduction of
the overall system availability. Hence, the proposed alternative
configurations are based on either redundancy in the converter
subassemblies (active and standby redundancy) or converter
bypass during converter failure and repair times. Operational
limitations of the proposed configurations as well as some
previously proposed configurations are discussed. Suitability
of the proposed configurations for offshore applications is
considered.
II. WTG SUBASSEMBLIES AND RELIABILITY MODELLING
Three configurations are considered in this study, all of
them follow the variable speed WTG concept as shown in Fig.
2. The first configuration, shown in Fig. 2(a), is based on
DFIG with a partial-scale converter. The second configuration,
shown in Fig. 2(b), is based on BDFIG with a partial-scale
converter. The third configuration, shown in Fig. 2(c), is based
on SCIG with a full-scale power converter. The considered
electrical subassemblies for each configuration, which are the
generator’s subassemblies, and the converter’s subassemblies
(the rotor or machine – side converter (RSC or MSC), the
grid-side converter (GSC), the DC link, and the control unit
(CU)) are shown in Fig. 2. Failure and repair data for each of
the considered subassemblies in each configuration are based
on a recent survey in the Manjil wind farm in Iran and are
obtained from [2].
Fig. 2: Configurations and subassemblies of the considered WTGs
For its simplicity and suitability to the considered
problem, reliability block diagram (RBD) modeling technique
is used to model the considered configurations. From
reliability point of view, the considered subassemblies of each
of the base configurations shown in Fig. 2 are connected in
series. Fig. 3 shows the RBD for the generator and converter
subsystems.
Fig. 3: RBD for various subsystems
Based on the reliability theory [8, 14] the following
formulae apply under steady state analysis regardless of the
distributions of failure and repair except for the case of
standby redundancy where each block must have
exponentially distributed active failure and repair times and
passive and switching failure rates assumed to be zero. Fig. 4
shows the basic RBD connections.
The failure () and repair () rates for basic RBD
configurations are calculated as follows. For series connected
items, shown in Fig. 4(a),
(1)
(2)
For active redundant items, shown in Fig. 4(b),
(3)
540
(4)
For standby redundant equal items system, shown in Fig. 4(c),
(5)
(6)
Fig. 4: Basic RBD connections. (a) Series, (b) Active redundancy, (c) Standby
redundancy
The failure and repair rates are the reciprocal of the mean-
time between failures (MTBF or m) and the mean-time to
repair (MTTR or r). The reliability and maintainability are
usually demonstrated by the values of failure and repair rates
respectively. The availability is calculated by
(7)
III. ANALYSIS OF WTG RELIABILITY DATA
Based on the failure and repair data [2], that are plotted in
Fig. 5, for configuration (a) of Fig. 2, it is depicted that the
subassemblies characterized by high failure rates (low
reliability) as in comparison to the rest of the considered
subassemblies, in descending order, are the RSC, the GSC,
and the brush gear. From availability point of view, it is
depicted from Fig. 5(c) that both the RSC and the GSC are
characterized by lower availability in comparison with the rest
of the subassemblies. The high maintainability characteristic
of the brush gear excluded it from being characterized by low
availability.
Configurations (b) and (c) of Fig. 2 do not include brush
gears and the characteristics of the subassemblies of
configuration (a) of Fig. 2 are applied to the subassemblies of
these configurations. Higher failure rate of the stator of the
BDFIG with respect to stators in other configurations is
assumed because of its double stator winding design. The
stator of the BDFIG is assumed, from reliability point of view,
to have failure and repair rates of two series connected stators
of the DFIG type.

Fig. 5: Subassemblies characteristics of the DFIG with a partial-scale
converter configuration. (a) Failure rate (b) Repair rate (c) Availability
IV. ALTERNATIVE CONFIGURATION AND RESULTS
Configurations shown in Fig. 2 are referred to as the base
configurations. Alternative configurations are modified
versions of the base configurations. The considered
modifications are based on either redundancy in the converter
subassemblies (active and standby redundancy) or converter
bypass during converter failure and repair times.
The converter bypass alternative configuration presented
in [2] allows the WTG system in the case of converter failure
to continue running and deliver power to the grid in a
temporarily fixed-speed operation mode instead of the default
variable-speed operation. However, the instantaneous bypass
of the converter may be practically impossible. From transient
response point of view, the converter bypass should not be
done simultaneously with the converter failure because of the
unpredictable response of the DFIG following blocking of the
RSC; this phenomena along with the factor affecting
successful restarting of the converter is fully covered in [15].
A bypass logic-control mechanism that considers the
operating point (the generator speed and powers) of the WTG
system at the instant of failure of the converter is required to
reduce the impact of the bypass on both the WTG and the
541
power system. Therefore, improved alternative configurations
that are not requiring transition to fixed-speed operation are
favorable. Despite these difficulties, the converter bypass
option is considered herein assuming that a negligible possible
trip and actuation-transition times, in comparison with the
converter downtime, are required to allow successful
transition to fixed-speed operation of the variable-speed WTG
system. Moreover, it is assumed that the bypass system is
100% reliable as in [2].
A. DFIG based WTG system
Five alternative configurations are considered for the
DFIG based WTG systems shown in Fig. 2(a), these
alternative configurations are listed in Table 1. It is depicted
from Table 1 that all alternatives exhibits higher availability
than the base-case configuration.
The alternative configuration (6-b), with a converter
bypass system and delta connected rotor winding, is
characterized by the lowest failure rate (highest reliability) and
the highest availability making it the optimal configuration for
offshore installations where minimum site visits are required.
However, such a configuration is not favorable because of the
switching and transition risks that are previously mentioned.
Therefore, attempts should be made to reduce or eliminate
such risks, for example, through an appropriate trip time to
allow successful transition from viable-speed to fixed speed
operation.
Among variable-speed alternative configurations, the
active-redundant configuration is characterized by the lowest
failure rate and highest availability. This may be the best
choice for offshore applications. However, either the active- or
standby- redundant RSC configurations may be economically
suitable for land-based installations. Although, the standby-
redundant RSC configuration exhibits higher repair rate
(maintainability), the reliability and availability of the active-
redundant RSC configuration are much better.
The highest repair rate (maintainability) is obtained with
the standby-redundant converter configuration. Both standby-
redundant converter and RSC configurations have the same
reliability. However, the standby-redundant converter
configuration exhibits higher availability and maintainability.
B. BDFIG based WTG system
Compared with the DFIG system, the BDFIG system does
not require slip rings; however, it requires double stator
windings, with a different number of poles in both stator
layers [1]. Therefore, it assumed from reliability point of view
that the stator of the BDFIG is consisted of two series
connected stators each having the same failure and repair rates
as the stator winding of the DFIG.
Five alternative configurations are considered for the
BDFIG based WTG systems shown in Fig. 2(b), these
alternative configurations are listed in Table 1. Apart from the
converter-bypass alternative which has lowest failure rate and
availability among all alternatives, the failure rates of all
configurations of the BDFIG-based WTG are lower (higher
reliability) than that for the DFIG-based WTG. This is because
of the absence of the brush gear subassembly in the BDFIG configurations with full-scale converter. In addition, the
machine. However, inspecting Table 1 shows that the failure rate of the RSC in DFIG based configuration is twice
availability of both systems is comparable. The comments that for the GSC. However, both the MSC and the GSC in
about the characteristics and the applications of the proposed SCIG with a full-scale converter configuration are of equal
configurations of the BDFIG-based WTG system are similar failure rates [2]. Therefore, Configurations with redundant
to those for the DFIG-based WTG configurations. MSC are not considered.
Three alternative configurations are considered for the
C. SCIG with a Full-Scale Converter (FSC) based WTG SCIG with a full-scale converter based WTG systems shown
system in Fig. 2(c), these alternative configurations are listed in Table
Unlike the partial-scale converter based configurations, 1. The following are comments about the results shown in
where the RSC play the major role that facilitate variable Table 1.
speed operation, the MSC and GSC are equally important in
Table 1: Alternative configurations for the DFIG and BDFIG based WTG systems
DFIG based system BDFIG based system SCIG and full-scale conv.
s.n Configuration      
A A A
yr yr yr yr yr yr
Variable-speed alternative configurations
1 Base Case 0.870 74.938 0.989 0.790 67.254 0.988 0.970 69.027 0.986
2 Active-Redundant Converter 0.231 78.777 0.997 0.151 49.573 0.997 0.140 54.482 0.997
3 Active-Redundant RSC 0.474 77.007 0.994 0.394 62.629 0.994 -
4 Standby-Redundant Converter 0.870 120.416 0.993 0.790 107.400 0.993 0.970 118.527 0.992
5 Standby-Redundant RSC 0.870 98.084 0.991 0.790 87.711 0.991 -
Fixed-speed alternative configurations
6-a1 0.220 77.458 0.997
6 Conv. bypass 0.120 49.399 0.998 0.120 49.398 0.998
6-b2 0.120 49.398 0.998
1. Y-connected rotor winding
2. -connected rotor winding

It is clarified that the converter-bypass technique results

Although the base-case configuration of the SCIG with
FSC system is characterized by highest failure rate and
lowest availability in comparison with the base case of all
other systems, it is characterized by lowest failure rate and
equal availability when there is an active redundancy in the
converter subsystem relative to similar converter
arrangement in the other configurations. This suggests that
the SCIG with FSC and active-redundant converter
configuration is the optimal WTG system for offshore
applications. However, attempts should be made to improve
its maintainability.
V. CONCLUSIONS
This paper presents study, analysis, and improvement of
the reliability and availability of the most widely used
systems in wind power generation, which are the induction
generator based WTG systems. The availability and
accuracy of failure and repair data of the subassemblies of
WTG systems limit the study to the electrical subsystems.
However, the main outcomes are independent on this
limitation because the mechanical subsystems of the
considered WTG configurations are almost identical. Due to
their major effect on the availability of WTG systems,
alternative configurations for the converter subassemblies
are proposed in order to improve the system’s reliability and
availability. The effect of the alteration on the systems'
configurations from the points of view of maintainability
and operational limitations are considered.
on highest reliability and availability among the considered
alternatives; however, the probable instability of the WTG
system due to sudden blocking of the converter subsystem
hinder the practical implementation of such technique,
unless an appropriate trip time is considered to allow
successful transition from viable-speed to fixed speed
operation. By implementing proper switching logic, the
converter bypass alternative may be the optimal choice of
offshore applications. However, other configurations based
on redundancy of the converter subassemblies show
comparable reliability and availability levels without
hindering the variable-speed operation.
Several alternative configurations are demonstrated
along with numerical demonstration of their reliability,
availability, and maintainability. It is found that the SCIG
with FSC and active-redundant converter configuration is
the optimal WTG system for offshore applications.
However, attempts should be made to improve the
maintainability of such a configuration.
REFERENCES
[1] H. Li, and Z. Chen, ―Overview of different wind generator systems
and their comparisons’, IET Renew. Power Gener., vol. 2, no. 2, pp.
123–138, 2008.
[2] H. Arabian-Hoseynabadi, H. Oraee, and P.J. Tavner, ―Wind turbine
productivity considering electrical subassembly reliability‖,
Renewable Energy, vol. 35, pp. 190–197, 2010.
[3] F. Spinato, P.J. Tavner, G.J.W Bussel, E. Koutoulakos, ―Reliability
of wind turbine subassemblies‖, IET Renew. Power Gener., vol. 3,
no. 4, pp. 387–401, 2009.
[4] C.C. Ciang, J.R Lee Jung-Ryul, and H.J Bang, ―Structural health

542
 monitoring for a wind turbine system: a review of damage detection
methods‖, doi:10.1088/0957-0233/19/12/122001, Meas. Sci.
Technol., vol .19, pp. 1-20, 2008.
[5] J. Ribrant, and L.M. Bertling, ―Survey of Failures in Wind Power
Systems With Focus on Swedish Wind Power Plants During 1997–
2005‖, IEEE Trans. on Energy Conversion, vol. 22, no. 1, pp. 167-
173, 2007.
[6] P.J Tavner, F. Spinato, G.J.W Bussel, and E. Koutoulakos,
―Reliability of different wind turbine concepts with relevance to
offshore application‖. European Wind Energy Conf., EWEC2008,
Brussels, Belgium, April 2008.
[7] H. Guo, S. Watson, P. Tavner, and J.Xiang, ―Reliability analysis for
wind turbines with incomplete failure data collected from after the
date of initial installation‖, Reliability Engineering and System
Safety, vol. 94, pp.1057–1063, 2009.
[8] R. Billinton, and R.N Allan, ―Reliability evaluation of engineering
systems: concepts and techniques, 2nd ed.‖, Plenum Press, ISBN
0306440636, 1996.
[9] I. Kozine, P. Christensen, and M. Winther-Jensen, ―Failure Database
and Tools for Wind Turbine Availability and Reliability Analyses‖,
Risø National Laboratory, Roskilde, ISBN 87-550-2732-6, January
2000.
[10] W. Yang, P.J Tavner, and M. Wilkinson, ―Wind Turbine Condition
Monitoring and Fault Diagnosis Using both Mechanical and
Electrical Signatures‖, Proceedings of the 2008 IEEE/ASME
International Conference on Advanced Intelligent Mechatronics,
Xi'an, China, July 2 - 5, 2008, pp. 1296-1301.
[11] F. Spinato, and P. Tavner, ―Reliability-Growth Analysis of Wind
Turbines from Fleet Field Data‖, ARTS Conf., Loughborough, April
2007.
543
[12] Md. Arifujjama, M.T Iqbal, and J.E Quaicoe, ―Reliability analysis of
grid connected small wind turbine power electronics‖, Applied
Energy, vol. 86, pp. 1617–1623, 2009.
[13] Md. Arifujjaman, M.T Iqbal, and J.E Quaicoe, ―A comparative study
of the reliability of the power electronics in grid connected small
wind turbine systems‖, 2009 IEEE Conf., pp. 394-397, 2009.
[14] Applied R&M Manual, for Defence Systems (GR-77 Issue 2009),
available at http://www.sars.org.uk/BOK/, accessed Sept. 2009.
[15] M. Kayikçi, and J.V. Milanovic´, ―Assessing Transient Response of
DFIG-Based Wind Plants—The Influence of Model Simplifications
and Parameters‖, IEEE Trans. On Power Systems, vol. 23, no. 2, pp.
545-554, 2008.
M. EL-Shimy was born in Cairo in the Arab
Republic of Egypt. He completed his Electrical
Engineering B.Sc, M.Sc, and PhD degrees from
Faculty of Engineering – Ain Shams University,
Egypt, in 1997, 2001, and 2004 respectively. He
is now an associate professor in Department of
Electrical Power and Machines -Faculty of
Engineering – Ain Shams University. He is a
consultant and trainer and a member of many
renewable energy associations. He teaches
several undergraduates, graduate, and training
courses in Egypt Universities and outside. His
fields of interest include power system stability, power system equivalents,
load aggregation, load signature, electric power distribution, optimal power
flow studies, flexible ac transmission systems (FACTS), power system
optimization, new energy resources, and power system reliability. For more
details, please visit: http://shimymb.tripod.com