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A survey on degradation modeling, prognosis, and prognostics-driven maintenance in wind energy systems
Wind energy generation proliferated over the past decades, introducing unique challenges and opportunities for failure prediction, operation and maintenance. Decision-makers are continuously looking into new methods to infer failure mechanisms and behaviors of wind turbine components to detect and intervene in the failures before they happen. Evidently, degradation modeling and prognosis become engaging topics for researchers and practitioners to prevent catastrophic failures. Prognostics-driven approaches predict the time of failure for the components (e.g., predicting remaining useful life), which provides significant insights for scheduling of operations and maintenance activities. Integrating these prognostics-driven insights into wind farm operations and maintenance presents a substantial challenge, demanding careful consideration of numerous factors such as accessibility, crew routing, and spare part logistics. This study provides state-of-the-art review for degradation modeling, prognosis, and prognostics-driven maintenance techniques for wind energy systems. The discussed techniques align with the United Nations' sustainable development goals, in particular Goal 7 (Affordable and Clean Energy), by enhancing effectiveness and sustainability of wind energy operations. This work also showcases open research questions related to degradation modeling, prognosis, and prognostics-driven maintenance.
Integration of Condition-Based, Diagnostic, Prognostic, And Anomaly Detection Data into Reliability Models to Support a Predictive Maintenance Context
Reliability data employed in plant reliability models are an approximated integral representation of the past industrywide operational experience, and they neglect the present asset health status (available, for example, from online monitoring data and diagnostic assessments) and forecasted health projection (when available from prognostic models). Ideally, in a predictive maintenance context, system reliability models should support decision making by propagating actual health information from the asset to the system level in order to provide a quantitative snapshot of system health and identify the most critical assets. Asset health should be informed solely by that specific asset’s current and historical performance data and should not be an approximated integral representation of the past industrywide operational experience (as currently performed by system reliability models through Bayesian updating processes). This paper proposes a reliability modeling approach that relies on asset diagnostic and prognostic assessments, along with monitoring data to measure asset health. We show how state-of-the art condition-based, diagnostic, prognostic, and anomaly detection models can be linked to system reliability models not in probability terms, but in terms of margin where margin is defined as the “distance” between the present status and an undesired event (e.g., failure or unacceptable performance). Then, we show how the propagation of margin data from the asset to the system level is performed through classical reliability models such as fault trees or reliability block diagrams. The described method is in fact able to propagate heterogenous health data from the asset to the system level in order to analytically assess system health.
Diagnostics, Prognostics, and Optimization for Lithium-Ion Battery Systems
Health management of lithium-ion battery systems presents a host of challenges due to their complex physics, large numbers of components, and a wide variety of degradation behaviors across different battery types. Dr. Paul Gasper will present on research from the Electrochemical Energy Storage Group on Lithium-ion battery diagnostics, prognostics, and optimization. Diagnostics research, including state-estimation via machine-learning from electrochemical impedance spectroscopy and DC pulses as well as continuous state-estimation via Kalman filters, will highlight the ongoing challenges for accurately measuring the state of batteries without performing time-consuming characterization tests. NLR's industry-recognized battery prognostics work, which predicts real-world battery degradation by identifying degradation rate models from accelerated aging data using statistical modeling and machine-learning, will be used to demonstrate the critical impact of battery controls, thermal management, and operating strategy on durability and lifetime. Finally, the use of prognostic models for financial or lifetime optimization will be discussed.
A Practical Comparison of Data-Driven Prognostics Methods for Energy Systems
This study explores data-driven prognostics for nuclear power plant (NPP) condensers, focusing on tube fouling. We utilized the Asherah nuclear power plant simulator (ANS) to compare four methods: Random Forest (RF), Support Vector Regressor (SVR), Fully Connected Neural Network (FCNN), and Long Short-Term Memory Neural Network (LSTM). By simulating various fouling scenarios in the ANS, we generated data with different degradation rates under transient operations. The models were trained and tested on these data, with performance evaluated visually and numerically including uncertainty assessment. The LSTM model excelled, exhibiting minimal prediction noise and the most accurate remaining useful life estimates across all degradation levels. Its ability to capture long-term dependencies and produce cleaner outputs makes it a strong candidate, although accurate training data across the entire component lifespan are crucial. The RF model emerged as a robust alternative, providing reliable predictions with high confidence. The FCNN and SVR models, while less effective overall, showed potential under specific conditions. FCNN offers a less complex alternative to LSTM and might benefit from larger datasets. SVR excels in precision when the quality of the training data is high. Furthermore, this study highlights the operational benefits of advanced prognostics in the energy sector and emphasizes the need for further research in NPP condenser health management through real-life experiments.
Explaining System-Level Prognostics with Established Machine Learning Methods
System-level prognostics is crucial for ensuring reliability and enabling predictive maintenance in complex systems with interconnected components. This study presents a framework that integrates data-driven methods to predict the remaining useful life (RUL) of a subsystem under multiple and concurrent faults within a nuclear power plant system with explainable artificial intelligence (XAI). A nuclear power plant (NPP) operation was simulated to model the degradation behavior of NPP components, and four machine learning models—Gradient Boosting Regressor (GBR), Support Vector Regressor (SVR), Fully Connected Neural Network (FCNN), and Long Short-Term Memory (LSTM)—were evaluated for prognostics with a novel system RUL parameter. The LSTM model demonstrated potential superior repeatability, while SHAP (SHapley Additive exPlanations) for explainability provided consistent and trustworthy global explanations. In contrast, LIME (Local Interpretable Model-agnostic Explanations) offered localized interpretability but showed reduced stability for sequential data. Key findings include the interplay between component-level degradation and system-wide performance, with LSTM effectively capturing these dynamics through sequence-level predictions. The XAI techniques enhanced transparency by identifying critical features influencing model predictions and aligning with domain knowledge. Furthermore, this framework has significant implications for improving trust and understanding in predictive maintenance, particularly in safety-critical industries like nuclear energy.
Gearbox bearing crack growth prognostics and uncertainty quantification with physics-informed machine learning
This paper introduces the extreme theory of functional connections (X-TFC), a physics-informed machine learning algorithm, and tailors it to estimate the remaining useful life (RUL) of wind turbine gearbox bearings experiencing fatigue crack growth. Unlike purely data-driven methods, X-TFC embeds a physics model, based on Head's theory in this work, into its training objective. The core of X-TFC is a random-projection single-layer neural network trained via an extreme learning machine, which requires only limited damage progression data and solves for output weights with a least-squares optimization algorithm. A composite loss function balances the network's fit to observed degradation data against the residuals of the governing crack growth differential equation, ensuring the learned damage trajectory remains physically plausible. When applied to a vibration-based health-index (HI) dataset measured during the growth of a crack on the inner ring of a high-speed bearing in a wind turbine gearbox (Bechhoefer and Dubé, 2020), X-TFC achieves near-zero prediction bias. Even when trained on only the first 10 %–20 % of the damage progression data, with sufficient physics weighting its predictions remain monotonic and smooth, delivering high prognosability and trendability. To quantify the epistemic uncertainty, we employ a Monte Carlo ensemble of independently initialized X-TFC models trained on noise-perturbed data, which yields confidence intervals around each RUL estimate and captures both model-parameter and epistemic uncertainty. In addition to a vibration-based HI, we demonstrate that the proposed framework can be directly applied to a supervisory control and data acquisition (SCADA) data-based HI (Eftekhari Milani et al., 2026) measured during similar wind turbine gearbox bearing crack faults, preserving its accuracy and interpretability. This extension shows the versatility of our approach, which is applicable to bearings of multiple gearbox manufacturers, models, and ratings using only SCADA data. By integrating domain knowledge with machine learning, X-TFC offers a rapid, reliable tool for crack prognostics. Its adaptability to other bearing failure modes, such as pitch bearing ring cracks, positions X-TFC as a powerful enabler of data-driven, physics-informed asset management in the wind energy sector and beyond.
Validating a microphysical prognostic stratospheric aerosol implementation in E3SMv2 using observations after the Mount Pinatubo eruption
Abstract. This paper describes the addition of a stratospheric prognostic aerosol (SPA) capability – developed with the goal of accurately simulating sulfate aerosol formation and evolution in the stratosphere – in the Department of Energy (DOE) Energy Exascale Earth System Model, version 2 (E3SMv2). The implementation includes changes to the four-mode Modal Aerosol Module microphysics in the stratosphere to allow for larger particle growth and more accurate stratospheric aerosol lifetime following the Pinatubo eruption. E3SMv2-SPA reasonably reproduces stratospheric aerosol lifetime, burden, aerosol optical depth, and top-of-atmosphere flux when compared to remote sensing observations. E3SMv2-SPA also has close agreement with the interactive chemistry–climate model CESM2-WACCM (Community Earth System Model version 2–Whole Atmosphere Community Climate Model) – which has a more complete chemical treatment – and the observationally constrained, prescribed volcanic aerosol treatment in E3SMv2. Global stratospheric aerosol size distributions identify the nucleation and growth of sulfate aerosol from volcanically injected SO2 from both major and minor volcanic eruptions from 1991 to 1993. The modeled aerosol effective radius is consistently lower than satellite and in situ measurements (max differences of ∼ 30 %). Comparisons with in situ size distribution samples indicate that this simulated underestimation in both E3SMv2-SPA and CESM2-WACCM is due to overly small accumulation and coarse-mode aerosols 6–18 months post-eruption, with E3SMv2-SPA simulating ∼ 50 % of the coarse-mode geometric mean diameters of observations 11 months post-eruption. Effective radii from the models and observations are used to calculate offline scattering and absorption efficiencies to explore the implications of smaller simulated aerosol size for the Pinatubo climate impacts. Scattering efficiencies at wavelengths of peak solar irradiance (∼ 0.5 µm) are 10 %–80 % higher for daily samples in models relative to observations through 1993, suggesting higher diffuse radiation at the surface and a larger cooling effect in the models due to the smaller simulated aerosol; absorption efficiencies at the peak wavelengths of outgoing terrestrial radiation (∼ 10 µm) are 15 %–40 % lower for daily samples in models relative to observations, suggesting an underestimation in stratospheric heating in the models due to the smaller simulated aerosol. These potential biases are based on aerosol size alone and do not take into account differences in the aerosol number. The overall agreement of E3SMv2-SPA with observations and its similar performance to the well-validated CESM2-WACCM makes E3SMv2-SPA a viable alternative to simulating climate impacts from stratospheric sulfate aerosols.
Prognostic simulations of mixed-phase clouds with model AC-1D v1.0: the impact of aerosol types and freezing parameterizations on ice crystal budgets
Mixed-phase clouds at high latitudes contribute to the uncertainty in predicting cloud feedbacks and climate sensitivity, mainly due to the complexity of microphysical processes that influence the partitioning between the supercooled liquid and ice phases, and hence, cloud radiative effects on regional scales. Particularly in Arctic mixed-phase clouds, the activation of ice-nucleating particles (INPs) from various aerosol populations remains a leading source of uncertainty. We developed an aerosol-cloud one-dimensional (AC-1D) model, which provides a novel framework to prognostically treat INP and ice crystal budgets while explicitly accounting for polydisperse and multicomponent aerosol that activate INPs following different freezing parameterizations. The AC-1D model is informed by large-eddy simulations to probe the impact of INP representation on predicted ice crystal number concentrations (N i ) and ice crystal budgets in mixed-phase Arctic stratus. We apply three immersion freezing (IMF) parameterizations, two time-independent (singular) and one time-dependent (classical nucleation theory), to predict the evolution of the INP reservoir and resulting ice crystal budget from polydisperse mineral dust, organic (humic-like substances), and sea spray aerosol particle size distributions. Our analysis focuses on how variations in aerosol number concentration and cloud system parameters such as cloud cooling rate, cloud-top entrainment rate, and ice crystal fall speed influence the INP reservoir and ice crystal budgets. Furthermore, this study investigates the competitive ice nucleation dynamics in mixed aerosol environments and provides a process-level quantification of the INP budget terms, which directly controls ice crystal budgets. For all studied case scenarios, the aerosol types and associated particle size distributions significantly impact INP and N i , and the choice between a time-dependent and a singular freezing description yields orders-of-magnitude differences in the predicted INP and N i over the 10 h simulation time, reflecting typical cloud lifetimes. Our results show that the influence of cloud cooling, INP entrainment, and sedimentation varies significantly depending on the chosen freezing parameterization. These findings underscore the critical need for robust IMF parameterizations and precise cloud system observations to enhance the accuracy of models in predicting mixed-phase cloud structure and evolution.
The prognostic effect of recurrent laryngeal nerve palsy after esophagectomy in locally advanced esophageal squamous cell carcinoma: A multi-center retrospective study
Not Available
Deep Learning-Based Failure Prognostic Model for PV Inverter Using Field Measurements
Here, this study presents a novel approach for the precise monitoring and prognosis of photovoltaic (PV) inverter status, which is crucial for the proactive maintenance of PV systems. It addresses the gaps in traditional model-based methods, which tend to neglect the overall reliability of inverters, and the limitations of data-driven approaches that largely depend on simulated data. This research presents a robust solution applicable to real-world scenarios. The proposed data-driven model for PV inverter failure prognosis employs actual inverter measurements, integrating various operational and weather-related factors based on domain knowledge. This approach effectively represents inverter stressors and operational status. Utilizing an Enhanced Siamese Convolutional Neural Network (ESCNN), the model merges operational data with domain knowledge features, redefining the prognosis challenge as a classification task. Furthermore, the paper discusses an ESCNN-based real-time inverter failure monitoring method developed on the well-trained model. The proposed models are rigorously trained and tested with real inverter data and a novel filtering method is included to address accidental failures in practical scenarios. The results validate the model's efficacy, and the directions for future research are also outlined.
Embedded Sensors for Diagnostics and Prognostics
This is a powerpoint report that accompanies a poster presentation at the DOE Vehicle Technologies Office Annual Merit Review (AMR)
Technical Assessment of the Application of Digital Twin and Prognostic Tools for Condition Monitoring
This report was prepared for the U.S. Nuclear Regulatory Commission (NRC) to present use cases of the application of advanced technologies toward meeting the current and future regulatory requirements for maintenance and condition monitoring of structures, systems, and components (SSCs). The advanced technologies considered in this work, collectively referred to as digital twin (DT) technologies, are advanced sensors and instrumentation, data analytics, machine learning and artificial intelligence (ML/AI), and physics-based models. The report presents two use cases of reactor coolant pumps (RCPs) and heat pipes in nuclear power plants (NPPs) with technical and regulatory considerations and opportunities in using advanced technologies for conditional monitoring. Key findings from the exploration of these considerations are as follows: - Uncertainties in sensor data and model predictions must be rigorously addressed through validation and verification processes - Regulatory compliance is paramount, necessitating data driven models to be developed in line with existing codes and standards, as well as considering potential future guidelines for advanced reactors - Explainability and transparency in ML/AI models are essential for developing operator trust and regulatory review, including methods that enhance the interpretability of complex data-driven predictions - Condition monitoring programs must be evaluated for their effectiveness in reducing maintenance-preventable function failures (MPFF) and aligning with plant performance criteria - The deployment of advanced technologies for condition monitoring could lead to a transition from periodic to continuous monitoring, thereby optimizing maintenance schedules - Collaborative efforts between industry stakeholders, regulatory bodies, and technology developers are crucial for the successful adoption of advanced technologies for condition monitoring systems in nuclear facilities In summary, the introduction of advanced technologies into condition monitoring programs represents a significant leap forward in the domain of NPP maintenance. By harnessing the capabilities of advanced sensors, data analytics, and ML/AI, NPP operators can transition from a time-based to a condition-based maintenance approach. This shift can potentially enhance the reliability and safety of critical plant components while optimizing maintenance efforts and minimizing unnecessary outages. The NRC is continuing to explore the regulatory aspects of advanced technologies as part of inservice inspection and inservice testing (ISI and IST) programs by pursuing additional research in this technical area.
Errant Beam Prognostics with Machine Leaning at SNS Accelerator
Particle Accelerators are complex machine with many pieces of equipment running in synchronization to deliver required beam. However, faults in particle accelerators reduce the availability of the beam for experiments affecting the overall science output. To avoid these faults, we apply anomaly detection techniques to predict any unusual behavior and perform preemptive actions to improve the total availability. Many researchers have adopted semi-supervised Machine Learning (ML) methods such as auto-encoders and variational auto-encoders for such tasks. However, supervised ML techniques designed for similarity learning such as Siamese Neural Network (SNN) can outperform semi-supervised or unsupervised methods for anomaly prediction. One of the challenges associated with application of ML models to particle accelerators is the variability in observed data over time due to system configuration changes. We employ conditional models such as Conditional Siamese Neural Networks (CSNN), and Conditional-VAE (CVAE) to learn the variability in the data by using beam configuration parameters as conditional input. We apply these models for errant beam prediction at Spallation Neutron Source accelerator under different system configurations and compare their performance. We demonstrate that CSNN outperforms CVAE in our application. This talk will present the data source, collection, analysis, data-preparation, model development, hyper-parameter studies and the results.
Power Module Precursors and Prognostics
The ongoing work involves 1) the identification and evaluation of various electric signals as indicators to module failure and precursors to aging, and 2) the development of corresponding detection techniques. In the current phase, 1) the increase of on-state resistance is selected as the precursor to the power cycle aging of silicon carbide power MOSFET modules based on review and rest data. 2) A detection method leveraging the gate voltage fluctuations magnitude during commutation transients to inform the on-state resistance increase is investigated which has the benefit of being able to be integrated into the gate driver. A dedicated detection circuit for implementation is designed and simulated and is currently in fabrication.
Power Module Precursors and Prognostics
This project focuses on finding and utilizing electrical properties (precursors) of power electronic devices and modules whose changes have strong correlations with different modes and levels of degradations in order to realize online and lightweight state of health evaluation and fault diagnosis. Results from this project will contribute to higher safety, reliability, and power density of power electronic components. The approaches mainly include reviewing academic literature and industry practices for state of the art precursor identification and extraction, accelerated life cycles (ALC) of various power modules to create different degradations in-house, and developing techniques for gate-driver-integratable precursor detection circuit. In FY24, the results includes two sets of definitively detected aging precursors (on-state resistance and gate threshold voltage) for two sets of power modules respectively, controlled accelerated lifetime cycling of multiple silicon carbide (SiC) metal-oxide-semiconductor field-effect transistor (MOSFET) modules, and the development and validation of a gate voltage detection system.
Impacts of Bulk Microphysics Scheme Structural Choices on Simulations of Rain Initiation Through Drop Coalescence
This study examines how different structural choices in bulk microphysics schemes impact the simulation of warm rain initiation. A single liquid category (SLC) approach prognosing up to four moments of a single drop size distribution (DSD) is compared to the traditional two-category, two-moment approach with separate DSDs for cloud and rain (four total prognostic variables). Different methods for calculating tendencies of the prognostic variables from drop collision-coalescence are also tested: a discretized numerical-integration approach, machine learning via neural networks, lookup tables, and traditional power law fits. Relative to simulations using a bin microphysics model, SLC gives smaller error overall than the two-category approach when numerical integration is used to calculate the collision-coalescence tendencies for both. Replacing the numerical integration with a pre-computed lookup table reduces computational cost with little loss of accuracy. However, using fitted power laws with SLC to represent the collision-coalescence tendencies substantially reduces accuracy and leads to an order of magnitude increase in error. It is also demonstrated that with SLC, reasonably accurate solutions are obtained using only three prognostic moments, while a two-moment SLC scheme leads to substantial error. Overall, both the choice of prognostic moments (e.g., SLC vs. two-category) and method to calculate the collision-coalescence tendencies are important to consider for minimizing errors in bulk schemes. SLC with a sufficiently detailed calculation of the collision-coalescence tendencies provides accurate solutions for a reasonable computational cost, providing a viable alternative to the traditional two-category, two-moment approach for bulk microphysics.
Implementation and Evaluation of Emission‐Driven Land‐Atmosphere Coupled Simulation in E3SMv2.1
Emissions-driven (prognostic CO 2 ) simulations are essential for representing two-way carbon-climate feedback in Earth System Models. We present an emissions-driven land–atmosphere coupled biogeochemistry (BGC) configuration (BGCLNDATM_progCO2) in version 2.1 of the Energy Exascale Earth System Model (E3SMv2.1). This is the first E3SM configuration that performs land-atmosphere emission-hindcasts. Here, we document its implementation, evaluate the model's performance against observations and other models, and propose a structured evaluation protocol for such emissions-driven simulations. We conducted transient historical simulations (1850–2014) with BGCLNDATM_progCO2 and compare them to reference simulations—a land-atmosphere coupled simulation without BGC and a standalone land simulation with BGC, both using prescribed CO 2 concentrations—and to observations. BGCLNDATM_progCO2 overestimates atmospheric CO 2 concentrations by 11–23 ppm yet stays within the 40-ppm spread CMIP6 emission-driven models and retains physical climate properties comparable to the reference runs. The CO 2 biases are partly attributed to underrepresented oceanic CO 2 uptake and inadequate representations of some terrestrial processes. In general, introducing prognostic CO 2 did not change physical climate metrics at the global scale but had larger regional effects, particularly over land where spatially heterogeneous CO 2 and prognostic leaf area index influenced surface energy balance. Finally, we propose a general evaluation protocol including spin-up assessment, atmospheric CO 2 benchmarking, physical climate evaluation, and land biogeochemical analysis to support scientific rigor and facilitate inter-model comparisons. The new configuration lays the groundwork for future enhancements, including improved terrestrial biogeochemical processes, integrated marine biogeochemistry, and additional human–Earth system interactions. These developments advance E3SM toward fully coupled emissions-driven simulations, enabling more accurate carbon–climate feedback projections and informing mitigation policy by providing physically consistent carbon-budget metrics for mitigation scenarios.