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IEEE TRANSACTIONS ON POWER DELIVERY, VOL. 22, NO. 2, APRIL 2007

Artificial Immune Network Classification Algorithm


for Fault Diagnosis of Power Transformer
Xiong Hao and Sun Cai-xin

AbstractDissolved gas analysis is an effective method for


the early detection of incipient fault in power transformers. To
improve the capability of interpreting the result of dissolved gas
analysis, an artificial immune network classification algorithm
(AINC), inspired by the natural immune system that is able to
respond to an almost unlimited multitude of foreign pathogens,
is proposed in this paper. The immune network system describes
the complex interaction of antibodies and antigens in virtue of
some immune mechanisms, such as immune learning, immune
memory, etc. AINC mimics these adaptive learning and defense
mechanisms to respond to fault samples of power transformers.
Consequently, AINC can find a limited number of antibodies
representing all fault samples distributing structures and features,
which helps to realize dynamic classification. This proposed AINC
algorithm has been tested by many real fault samples, and its
results are compared with those of IEC ratio codes and artificial
neural networks, which indicates that the proposed approach
has remarkable diagnosis accuracy, and with it multiple incipient
faults can be classified effectively.
Index TermsArtificial immune network, dissolved gas analysis,
immune learning and memory, incipient fault, -nearest neighbor
method, power transformer.

I. INTRODUCTION

S one of the key pieces of equipment in a transmission


and distribution system, the power transformer condition
has a direct influence on the safety and reliability of a power
system. Therefore, the online monitoring and offline test are
vital for assessing power transformer conditions. Up to now,
some technologies, such as dissolved gas analysis (DGA), partial discharge (PD), and moisture analysis in transformer oil
[1][3] are widely used. Among these methods, DGA is a fast
and economical method for detecting an incipient fault by utility
engineers. It is well known that transformer faults, mainly in the
form of overheating, arcing, or partial discharge, develop certain gaseous hydrocarbons, which are retained in the insulation
oil as dissolved gases. The gas concentrations, generation rates,
specific gas ratios, and the total combustible gas are important
parameters for interpreting the result of DGA. Presently, a conventional ratio method [4][6] and artificial-intelligence (AI)
method [7][22] are the two major interpreting approaches.

Manuscript received December 22, 2005; revised August 14, 2006. Paper no.
TPWRD-00724-2005.
The authors are with the Key Laboratory of High Voltage and Electrical
New Technology of Ministry of Education, Chongqing University, Chongqing
400044, China.
Color versions of one or more of the figures in this paper are available online
at http://ieeexplore.ieee.org.
Digital Object Identifier 10.1109/TPWRD.2007.893182

The conventional ratio method mainly includes Rogers Ratios


[4], Duval Triangle [5], and IEC Ratios [6], etc. Through calculating several ratios of key gas concentrations, the fault type is
determined by interpretation schemes defined in advance. However, conventional ratios boundaries are sharp, and it is unable
to provide interpretation for every possible combination of ratio
values. Thus, fuzzy-logic technology is introduced into a conventional ratio method to make ratios boundaries vague. The
fuzzy ratio analysis method is used to diagnose multiple incipient faults in power transformers [7]. The deficiency is that its
membership function is determined by practical experience or
trial-and-error tests.
There are many AI technologies, including expert system
[9][11], fuzzy theory [7], neural network [12][20], evidential
reasoning theory [8], and Bayesian classifier [22], etc., which
are applied to the fault diagnosis of a power transformer. In an
expert system, diagnosis rules are determined by expert experience and fuzzy-logic technology [11]. Therefore, diagnosis
accuracy depends upon whether expert rules are complete or not,
and it is difficult to make use of fault data in the field. Neural
networks, including the backpropagation (BP) neural network
[10], self-organizing map network [15], fuzzy learning vector
quantization network [16], wavelet networks [18], [19], etc., are
widely used in fault diagnosis. The neural network has the merits
of strong nonlinear and robust ability, resulting in the ability
to better depict the relationship between gas concentration and
fault, but its demerits are that convergence speed is slow and
the network is easy to trap in local optimum. So the genetic
algorithm (GA) and evolving theory [17][19] are introduced
to improve the deficiency of the neural network, which can tune
neural-network parameters and connecting weight, to yield the
global optimum neural-network model. Since the relationship
between fault conditions and the gas data of neural networks
is embedded in the networks structure, called the black box,
a new rule table is obtained through mapping the knowledge
implicitly captured by the neural network during the learning
stage into a rule-based fuzzy inference system. It is easy for the
utility engineer to interpret the result of DGA [20]. Evidential
reasoning theory is used to synthesize different diagnosis results
from several conventional ratio methods, which results in a
better effect than any single ratio method [8]. In the light of the
capability of processing uncertain information of the Bayesian
network, a new fault diagnosis algorithm that integrates the
Bayesian network classifier with rough set is proposed to handle
the existing problem of incomplete and biased fault samples.
Bayesian networks can combine prior knowledge with fault samples, which is very important when samples are scarce or very
expensive. Moreover, Bayesian networks can discover causal

0885-8977/$25.00 2007 IEEE

HAO AND CAI-XIN: ARTIFICIAL IMMUNE NETWORK CLASSIFICATION ALGORITHM

relationship among samples and handle incomplete samples,


which other methods cannot do [22].
In recent years, the natural immune system has provided
much inspiration for solving some innovative problems. This
is because the immune system exhibits the following strengths:
immune recognition, reinforcement learning, feature extraction,
immune memory, diversity and robustness, etc. The immune
system combines these strengths to construct pattern classifier
efficiently. Based on these underlying mechanisms, the artificial
immune network classification algorithm (AINC) mimicking
the bodys adaptive learning and defense mechanism in the face
of invading pathogens is used as a fault diagnosis method for
power transformers. Having been applied in a great deal of real
DGA samples, the experimental results demonstrate that AINC
has remarkable diagnosis accuracy and it provides effective
classification for multiple incipient faults.

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Fig. 1. Antigen recognized by different B cells.

II. ARTIFICIAL IMMUNE NETWORK


A. Brief Description of Natural Immune System
The natural immune system is a prime defense system of limiting damage to the host organism by pathogens, which is composed of immune cells, molecules, and organs. Pathogens that
elicit an immune response are called antigens (Ag). The lymphocyte is the main type of immune cells which detect and eliminate pathogens through immune response. There are two major
classes of lymphocytes in the immune system: B cells, which
grow to maturity in bone marrow, and T cells, which mature
in the thymus. The main function of B cells is to produce antibodies (Ab), which attach to foreign antigens to make them for
destruction by other immune cells. T cells play two major roles
in immune defense: alerting B cells to start making antibodies
and activating other T cells and immune system scavenger cells
called macrophages. The match strength of interaction between
Ab and Ag is measured by the affinity.
The natural immune system basically works in this way: When
an antigen invades the organisms, T cells, which have receptors
that enable each of them to recognize a different epitope on
the surface of antigen, are activated and emit chemical signals
to other immune cells. B cells, which also have receptors of a
single specificity on their surface, then respond to those signals.
However, these B cells can recognize parts of antigens. When
activated, the B cells divide and differentiate into plasma cells
that secrete antibody proteins. By binding to the antigens they
find, antibodies can neutralize them or precipitate their destruction by complementing enzymes or by scavenging cells. Fig. 1
depicts an antigen recognized by different B cells. Some T cells
and B cells become memory antibodies that are longer-lived.
These memory antibodies in nature enable the immune system
to respond rapidly to the second invasion by a previously
encountered threat, called secondary response.
Learning and memory are the main characteristics of immune
system. They refer to the adaptability that the immune system
can learn the structures of antigens and remember those structures so that future response to the same or similar antigens will
be quick and effective by producing a large initial high affinity
clone. This is an intrinsic scheme of a reinforcement learning
strategy in natural immune system.

Fig. 2. Process of clonal selection.

B. Artificial Immune Network


Inspired by the immunological principles including the clonal
selection, affinity maturation, and immune network theory, the
artificial immune network model (aiNet) is presented by Leandro Nunes de Castro [23].
The clonal selection and affinity maturation principle describe
the basic features of an adaptive immune response to an antigenic
stimulus. It establishes the idea that only those high affinity
cells are selected to proliferate (clone) and mutate, while low
affinity ones do not. The selected cells are subject to an affinity
maturation process, which grow in concentration and affinity,
while those that are not selected will undergo a process of clonal
deletion, clonal anergy, or receptor editing. When repeatedly
exposed to a given antigen, the immune system continues to learn
the structures of this antigen for enhancing its recognition ability
[24]. The process of clonal selection is illustrated in Fig. 2.
Immune network theory is originally proposed by Jerne
(1974) [25]. Unlike the clonal selection principle, the immune
network theory hypothesizes that the immune system maintains
a regulated network of cells and molecules which maintain
interactions between not only an antibody and an antigen,
but also antibodies themselves. If an antigen is recognized by
antibody Ab , then Ab may be recognized by Ab and, in turn,
Ab may be recognized by Ab , which forms a network of antibodies interaction. Recognition among antibodies would elicit
a negative response and result in the tolerance and suppression
of antibodies. In this way, excessively similar antibodies of

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IEEE TRANSACTIONS ON POWER DELIVERY, VOL. 22, NO. 2, APRIL 2007

the same types will be suppressed. In the end, the immune


system will achieve the state of stabilization. It assures that
memory antibodies can uniformly distribute in antigen space.
In this way, although there are relatively smaller numbers of
antibodies in the immune system, they cover the whole antigens
space and recognize all antigens.
To be brief, we only represent B cells in the immune network and make no difference between B cell and its surface
receptor molecules. Therefore, we refer B cells to antibodies,
which means that the immune network is composed of a number
of antibodies.
III. AINC ALGORITHM FOR FAULT DIAGNOSIS
OF POWER TRANSFORMER
Known from the introduction of aiNet, fault samples of the
power transformer can be regarded as antigens, and the memory
antibodies representing the characteristic of fault samples is
generated through immune reinforcement learning, memory,
and immune network suppression. So fault diagnosis of the
power transformer corresponds to the secondary response
of the immune system. Nevertheless, aiNet belongs to the
nonsupervised clustering algorithm and its clustering centers
cannot be exactly obtained [23]. In addition, because aiNet
lacks fault-type information in the representation scheme of
antigens and memory antibodies, the ability to learn samples
of the same fault type is not strong. All of these might lead to
inaccurate classification. Thus, AINC is proposed.
The AINC algorithm consists of three steps. First, fault samples of the power transformer are classified as training antigens
set and test antigens set. And both antigens and antibodies are
initialized. Second, we make use of the AINC to train the antigens set in order to obtain memory antibodies. Third, the Euclidean distance among the test antigens set and memory antibodies are calculated, and fault samples are classified by the
improved K-Nearest Neighbor (KNN) approach.
A. Initialization
In the initialization stage, fault samples of the power transformer are mapped into the set of antigens
in shape space.
antibodies and choose some antiThen randomly generate
. Finally, purify the antigens
gens as memory antibodies
and antibodies.
The representation scheme of antigens and antibodies in the
shape space determines a distance measure to be used to calculate the affinity between these molecules. In the original aiNet,
the generalized shape of an antigen can be represented by a set
of coordinates, which can be regarded as a point in a high-dimensional real-valued shape space. For fault samples of the
power transformer in this paper, the representation scheme of
the antigen is
, representing normalized concentrations of five oil-dissolved gases H , CH , C H , C H , and C H , respectively.
Normalization is calculated by (1)
(1)

Affinity between the antibody and antigen is shown as follows:


(2)
To enhance the learning capability of antibodies, fault-type
information was added in the antigen and memory antiis
body. Thus, the improved representation scheme of
. In it, represents
the fault type, which is the same as the representation scheme
of the memory antibody. The function of the memory antibodys fault-type information lies in: first, the interaction of the
antibody and antigen depends not only on its affinity but also
on its type. Antigen is specifically recognized by antibodies of
the same fault type. Second, both recognition and suppression
of the memory antibody should take its fault-type information
into consideration. Third, the stopping criterion relies on both
the affinity and fault type of the memory antibody so as to
retain the high-quality antibody.
The purification of the antigens is actually to eliminate those
antigens whose Euclidean distance between the antigens is inferior to , which is used to measure the degree of similarity and
is generally 0.01. The purification of antibodies is similar to that
of antigens. The only difference is that antigens are purified by
directly eliminating those similar antigens in order to speed up
the convergence of the algorithm, while the purification of antibodies is required to supplement another antibody, which ensures that the antibodies have better distributing features.
B. Learning Algorithm
After initialization, the learning algorithm of AINC aims at
building a memory set that recognizes and represents the data
structural organization. Only antibodies recognizing the antigen
with high affinity are activated to proliferate and mutate, accordingly, their affinities will increase. These antibodies can become
memory antibodies after immune suppression. The learning algorithm of AINC can be described as follows.
1) Affinity calculation: Calculate affinity
between
and antibodies
and memory antibodies of the same
fault type, respectively.
2) Clonal operator: select antibodies of the highest affinity
to clone, and generate a clone set . The number of clone
is proportional to their antigenic affinity : the higher the
affinity, the larger the clonal scale for each of the selected
antibodies [see (3)]
round

(3)

In (3), round is the operator that rounds the value in


parentheses toward its closest integer and
is the
clonal scale.
in
will undergo an
3) Hypermutation: Each antibody
affinity maturation process, generating a mutated set . It
is important to note that mutation does not occur in faulttype information of the antibody but in attributes of the antibody. The mutated rate is inversely proportional to the
of its parent antibody: the higher the
antigenic affinity

HAO AND CAI-XIN: ARTIFICIAL IMMUNE NETWORK CLASSIFICATION ALGORITHM

933

affinity is, the smaller the mutation rate will be. Equation
(4) is shown as follows:
(4)
and
4) Affinity calculation: Determine the affinity among
. From
, reselect % of the antiall the elements of
bodies with the highest affinity as the set of partial anti. At the same time, eliminate all of the memory
bodies
whose affinities are smaller than the
antibodies from
natural death threshold .
5) Clonal suppression: Eliminate those memory clones of the
, whose affinity
is superior to
same fault type from
the suppression threshold and generate the set of partial
. The total memory antibody pool
memory antibodies
can be obtained as follows:
.
6) Antigen presentation: Select the next antigen and return
to (1). This process continues until all antigens have been
presented to the network.
, eliminate those memory
7) Network suppression: From
is suantibodies of the same fault type whose affinity
perior to until the discrepancy of the average affinity is
inferior to a prescribed threshold in four consecutive iterations. If the stopping criterion has not been met, then turn
to (8).
8) Randomly generating antibody: Randomly generate anand add them to
, so antibodies set
is
tibodies
equal to
, then turn to (1) to repeat the entire
process.
C. Improved KNN Classifier
The KNN is a simple but effective classification method.
It assigns an input pattern to the majority class according to
nearest
Euclidean distances between the pattern and its
neighbors in the training data space. After fulfilling the artificial immune network training, the evolved memory antibodies
are available for KNN classification. Through calculating the
Euclidean distance between test antigen and memory antibodies, the fault type of the test antigen is determined by
most stimulated
using a majority vote of the outputs of the
memory antibodies. But that is only applicable to single fault
diagnosis. Since multiple faults antigens have almost equal
distances among several fault types of memory antibodies, only
the nearest memory antibody votes would result in an incorrect
diagnosis. After many tests, we can draw the conclusion that
the fault type of the test antigen is determined by both memory
antibodies if the discrepancy of the Euclidean distance between
test antigen and two nearest memory antibodies is inferior to
10% of their average distance. If the test antigen obtains the
same votes, multiple incipient faults are considered to occur
simultaneously.
IV. PARAMETERS ANALYSIS
In this section, we intend to discuss and analyze how sensitive
the algorithm is to some user-defined parameters. In particular,
we will study the influence of the parameters and to the convergence speed, final network size, and recognition accuracy.

Fig. 3. Relationship of n and cycle times.

1) The best number of chosen antibodies : where is the


number of antibodies chosen from the set of antibodies,
which are used to proliferate. The larger the value of is,
the larger the set of clones
will be. Under such conditions, the searching space can be enlarged, but calculation
complexity will also be increased. On the other hand, the
smaller the value of is, the smaller the set of memory antibodies generated at each iteration will be. Consequently,
cycle times will be increased. Fig. 3 shows the paradigm
of and cycle times. The value of is 4 in this paper.
2) Suppression threshold : The suppression threshold
controls the specificity level of the antibodies, the final network size, and is responsible for the network plasticity.
Larger values of indicate more generalized antibodies,
while smaller values result in highly specific antibodies.
This parameter is critical, because the choice of a high
value for might yield a misleading classification. Therefore, if fault samples of the power transformer distribute
relatively densely, can be properly diminished. If fault
samples distribute sparsely, we can make the value of
larger. After many experiments, we find that 0.15 for
can preferably represent the features of the original samples, and the size of memory antibodies set is moderate.
Other parameters in AINC are defined as follows: The
20, purification threshold of
number of initial antibody
0.01, clonal scale of antibody
antigens and antibodies
5, ratio of reselection %
10%, natural death
1, the number of new generated antibody
threshold
10, and the number of vote
5.
V. EXPERIMENT RESULTS AND DISCUSSIONS
In many cases, there is mostly a single incipient fault in the
power transformer, occasionally along with multiple incipient
300
faults. Common single incipient faults are as follows:
thermal fault (T1), 300
700 thermal fault (T2),
700 thermal fault (T3), partial discharge (PD), low energy discharge (D1), and high energy discharge (D2), etc. Multiple incipient faults comprise high energy discharge and thermal fault
(MF1), low energy discharge and thermal fault (MF2), and hightemperature and medium-temperature thermal fault (MF3), etc.
We collected 720 fault samples from about 450 220-kV
500-kV power transformers in China, whose fault types are
confirmed by expert experience according to various DGA

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IEEE TRANSACTIONS ON POWER DELIVERY, VOL. 22, NO. 2, APRIL 2007

TABLE I
COLLECTED FAULT SAMPLES OF VARIOUS TYPES

TABLE II
SOME FAULT MODES OF HIGH ENERGY DISCHARGE. (AFFINITY

0.8)

TABLE III
PROCESSING OF SINGLE-FAULT SAMPLES BASED ON AINC AND ITS
DIAGNOSIS ACCURACY FOR THE POWER TRANSFORMER

Fig. 4. Shape space of high energy discharge and its memory antibodies.

analysis methods and an internal examination of the suspected


transformer. Among these samples, there are 652 single incipient fault samples and 68 multiple incipient faults samples. We
divided the 720 fault samples as the training antigens set and
test antigens set. The composition of the samples can be seen
in Table I.
1) Diagnosis of single incipient fault.
Using the learning algorithm above, the training process was
repeated 20 times. The immune networks can lead to convergence each time. The number of memory antibodies was 42 on
the average, and the data suppression ratio of training antigens
set was 86%. Fig. 4 shows the distribution of high energy discharge fault samples and its memory antibodies by the coordinate of C H /C H , CH /H , and C H /C H . We can see
from Fig. 4 that memory antibodies can cover the whole shape
space and represent different features of training antigens very
well. For a given affinity, some fault mode can be conduced form
the memory antibodies, as shown in Table II.
It has been obtained that the total diagnosis accuracy was
93.2% by computing the Euclidean distances between test antigens and memory antibodies, and selecting five nearest memory
antibodies. The fault type of the test antigen was determined by
a majority vote of the same type. One of the processing results
of single incipient fault samples based on AINC and the diagnosis accuracy were seen in Table III. To compare AINC, the
BPNN and IEC ratio method were also used in the same fault
samples. The structure of BPNN is 5-12-6. After approximately
9500 iteration times, BPNN converged and the total diagnosis

Fig. 5. Shape space of MF1 and its memory antibodies of T3 and D2.

accuracy rate of the test samples was 85.8%. The accuracy of


the IEC ratios method was 71%. The diagnosis results of the
BPNN and IEC ratios method were also shown in Table III. It is
obviously indicated that the diagnosis accuracy and rate of the
AINC algorithm presented in this paper is higher than that of
the IEC ratios method and BPNN.
2) Diagnosis of multiple incipient faults.
Memory antibodies of the single incipient fault can also be
effective classifiers of multiple faults. We can determine that
multiple faults occur simultaneously in a power transformer if
the votes are equal. Fig. 5 describes the distribution of MF1
samples and its memory antibodies of T3 and D2.
With the approach, the diagnosis accuracy rate of multiple
incipient faults was 88.2%. Table IV shows the diagnosis accu-

HAO AND CAI-XIN: ARTIFICIAL IMMUNE NETWORK CLASSIFICATION ALGORITHM

TABLE IV
MULTIPLE INCIPIENT FAULTS DIAGNOSIS
ACCURACY OF THE POWER TRANSFORMER

TABLE V
FAULT DIAGNOSIS OF EIGHT REPRESENTATIVE SAMPLES USING AINC

racy of BPNN and AINC methods for multiple incipient faults.


And the results of 8 representative fault samples using AINC
are listed in Table V.
VI. CONCLUSION
In this paper, we have presented the AINC algorithm for fault
diagnosis of the power transformer, based upon metaphors from
the artificial immune system paradigm. This algorithm makes
use of the learning, memory, and network suppression mechanism of the artificial immune network to train and optimize fault
samples. At the same time, with a view to adequately reveal the
interaction of antigens and memory antibodies, we add information of fault type to memory antibodies. Thus, memory antibodies can preferably learn and memorize the features of the
same type of antigens; hence, classification accuracy of the algorithm can be improved. Moreover, experimental results show
that the diagnosis accuracy of this algorithm is higher than that
of the IEC ratios method and BP neural network. It is proved
that our algorithm is very feasible and useful in the multiple
faults diagnosis of power transformers.
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Xiong Hao was born in Nanchang, China, on May 6, 1979. He received the M.S.
degree in power engineering from Chongqing University, Chongqing, China, in
2003, where he is currently pursuing the Ph.D. degree in the key lab of high
voltage and new electrical technology.
His research area is online monitoring and fault diagnosis for high-voltage
(HV) apparatus.

Sun Cai-xin is a Professor of electrical engineering at Chongqing University,


Chongqing, China. He is an Academician of the Chinese Academy of Engineering. His research includes online monitoring and fault diagnosis for highvoltage (HV) apparatus, discharge mechanism in a complicated environment,
and power geography information systems.

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