MULTIPLE-MODEL PREDICTIVE CONTROL FRAMEWORK

FOR MULTI-INPUT MULTI-OUTPUT CONTINUOUS PROCESSES

by

ZHENHUA TIAN, B.S., M.S.

A DISSERTATION

IN

CHEMICAL ENGINEERING

Submitted to the Graduate Faculty

of Texas Tech University in
Partial Fulfillment of
the Requirements for
the Degree of

DOCTOR OF PHILOSOPHY

Approved

Chairperson of the Committee

Accepted

Dean of the Graduate School

December, 2003
 ACKNOWLEDGEMENTS
I would like to express my sincere thanks to my research advisor Professor Karlene
A. Hoo for her guidance and financial support. Professor Hoo interacted closely and
continuously with me on all aspects of my research, and was a constant source of
learning to me about the nature and practice of process control. I will always be
grateful for her efforts to instill in me the importance of independent thinking and
hard work.
Professor Uzi Mann has been on my committee from the beginning, and I am grate-
ful to him for the many technical discussions. Professors Wijesuriya P Dayawansa
and Mark W. Vaughn cheerfully agreed to serve on my committee, and they have
provided many useful suggestions for improving the dissertation. I thank all three of
them for their help and interest.
I would also like to thank Professors Michael J. Piovoso (Penn State University)
and Alex Wang (Mathematics and Statistics Department of Texas Tech University)
for their technical discussion.
To all fellow graduate students in Chemical Engineering Department, my gratitude
for making my stay pleasant in the department.
My parents have been a constant source of support throughout my hfe, and my
parent-in-laws' encouragement kept me going during difficult periods.
Ultimately, I am indebted to my wife Yuqing Gao, for her love, understanding and
support.

for
YUQING
her
style and taste
judgment
love and support
 CONTENTS
ACKNOWLEDGEMENTS ii
ABSTRACT vii
LIST OF TABLES ix
LIST OF FIGURES xvi
1 INTRODUCTION . 1
1.1 Background . 2
1.2 Transition Control Framework 8
1.3 Linear Control Method . . 11
1.3.1 PID controller 11
1.3.2 LQG controller ... 12
1.3.3 Hoo control . . . . 13
1.3.4 Linear MPC . . . 14
1.4 Nonhnear Control Method 14
1.4.1 Global Feedback Linearization 15
1.4.2 Nonlinear MPC 16
1.5 Motivation of This Work . 17
1.6 Dissertation Organization ... . 18
1.7 Nomenclature 19
2 PRELIMINARIES 20
2.1 System-Theoretic Analysis . . .... . 21
2.2 Properties of the Transfer Function 22
2.3 Nomenclature ... . . 25
3 STATE-SHARED MODEL STRUCTURE 26
3.1 SISO State-Shared Model 27
3.1.1 Example 29
3.2 A Non-Minimal Identifier 30
3.3 MIMO State-Shared Model 31
3.3.1 MIMO parameterized model 31

iii
 3.4 State-Shared Model Structure for MIMO System 33
3.5 Model Reduction Technologies 36
3.5.1 Balanced Truncation 37
3.6 Two Examples 40
3.6.1 Chemical reactor system 40
3.6.1.1 Modeling 43
3.6.1.2 Full-order model 43
3.6.1.3 Reduced-order model . . . 4 4
3.6.1.4 MIMO Reduced-Order State-Shared Model . 56
3.6.2 Calcium control in cardiac myocytes . 61
3.6.2.1 Modeling 64
3.6.3 Model Validation 67
3.7 Summary 72
3.8 Nomenclature . . . 73
4 MODEL ADAPTATION AND SWITCHING 74
4.1 Multiple Model Approach 74
4.2 Parameter Adaptation . . ... . . . . . 75
4.3 Parameter Convergence Analysis . . . . . . . 76
4.4 Model Switching . . . 79
4.5 Nomenclature ... . . . . . . 80
5 CONTROL METHODS 81
5.1 Model Reference Adaptive Control 81
5.1.1 Description ... 82
5.1.2 Example 85
5.1.3 MRAC results 87
5.2 Hoo Optimal Control 92
5.2.1 Stability analysis 96
5.2.2 Hoo results: chemical reactor 101
5.2.3 Hoo control results: biological reactor ... Ill

iv
 5.2.4 State-shared modeling . 117
5.3 Summary 122
5.4 Nomenclature 123
6 MODEL PREDICTIVE CONTROL 124
6.1 Background 124
6.1.1 MPC based on a state space model .... 126
6.1.2 MPC control of a two-phase chemical reactor system 133
6.1.3 MPC control of a biological system ... .... 137
6.2 Summary ... 14Q
6.3 Nomenclature . . 144
7 TENNESSEE EASTMAN CHALLENGE PROBLEM .... 145
7.1 Background ... .... ... 145
7.2 Process Description . . . ... 146
7.2.1 Manipulated variables and measurements . . . . ... 149
7.2.2 Constraints and disturbances . . 151
7.2.3 Operating cost function . ... 152
7.3 Model Description 152
7.3.1 Assumptions 152
7.3.2 State-space formulation . . . 154
7.3.3 Reactor system 154
7.3.4 Separation system . 161
7.3.5 Stripper 162
7.3.6 Mixing zone . .... 164
7.4 System Analysis and Control Strategy . 167
7.4.1 Cascade MPC control framework . . 169
7.4.2 MPC controller parameters 170
7.5 Disturbance Rejection with Multiple Fixed Models and MPC 171
7.6 Transition Control with Multiple Fixed Models and MPC 177
7.6.1 Transition from mode 0 to mode 2 . . . . 177
 7.6.2 Transition from mode 0 to mode 2 to mode 3 180
7.6.3 Transition from mode 0 to mode 2 to mode 3 with noise . 181
7.7 Transition Control with MPC in State-shared Model Framework 187
7.8 Summary 192
7.9 Nomenclature 194
8 CONTRIBUTIONS AND FUTURE RESEARCH 195
8.1 Summary 195
8.2 Contributions 198
8.3 Future Research 199
BIBLIOGRAPHY . 202
APPENDICES
A. PROOF OF EQUATION (6.2) 211
B. MATLAB CODE FOR TWO-PHASE SYSTEM 212
C. MATLAB CODE FOR BIO-REACTOR SYSTEM . . . 232
D. MATLAB CODE FOR CALCIUM DYNAMIC SYSTEM . . . . 238
E. MATLAB CODE FOR TE PROCESS . . 241
E l . MPC based on multiple fixed models 241
E2. MPC based on state-shared model 241

VI
 ABSTRACT
This work proposes and develops an approach to transition control of chemical
plants based on the development of a state-shared model in a model-predictive con-
trol (MPC) framework. Transition control over a large operating space presents a
challenging problem, especially for nonlinear multiple-input multiple-output (MIMO)
constrained systems. Attractive features of a transition control structure should in-
clude rapid and stable closed-loop response. A large number of recent approaches
address this issue using multiple fixed and adaptive models, and single or multiple
controllers. Regardless, the controller must not only successfully regulate the plant at
the initial and final operating points, but also track the reference set point during the
transition. In fact, the problem can be considered in two parts - the identification of
a model that estimates the plant outputs during the transition and the synthesis of
a suitable controller that produces smooth and realistic control action. Satisfactory
closed-loop and stable performance of the controller and nonlinear plant is inferred,
if the performance of the model in closed-loop with the controller can be guaranteed.
By a state-shared model, we mean a linear time-invariant model structure that is a
realization of the system and driven by the measured signals - the plant outputs and
the manipulated variables. The coefficient matrices in the state-shared model are se-
lected to be a controllable pair by the designer; however, the equation that represents
the measured outputs of each model is unique. The description of the measurements
is embedded in the coefficient matrix. Any such model necessarily fulfills the require-
ment that the output of the state-shared model must be an asymptotically-correct
estimate of the plant's output, if the process models were selected appropriately.
The parameters of the adaptive state-shared models are modified using a stable
and convergent adaptive law. By means of adapting the parameters of the equation
that represents the measured outputs and switching among fixed and adaptive models,
accurate estimates of the plant can be obtained. The use of the state-shared model
necessarily relaxes the assumption that the fixed models cover the large operating
space.

Vll
 The theoretical underpinnings that permit the development of the state-shared
model are stated and proven. Using the state-shared model, the MPC optimal con-
troller or an Hoo robust controller can be designed. Conditions for both controllers
to produce stable closed-loop responses for certain classes of systems can be used to
establish closed-loop stability in the case of transition control. Critical to the tracking
problem is the identification of the transition reference trajectories. Generally, the
reference trajectory is determined by experience.
Transition control using a state-shared model in either an HQO or MPC framework
is demonstrated on several single-input single-output and multiple-input multiple-
output continuous, nonlinear processes. Finally, the state-shared model based con-
troller design approach is demonstrated on a plant-wide scale using the widely known
Tennessee Eastman (TE) plant.

vni
 LIST OF TABLES

3.1 Chemical reactor parameters ... 42

3.2 Chemical reactor nominal values 42
3.3 Average Relative Errors (%) of the chemical reaction system 52
3.4 CICR model parameters 63
3.5 CICR model nominal values 64
3.6 Average Relative Errors (%) of the biological system .... 68

5.1 Exothermic CSTR parameter definition and values. 85

5.2 Operating steady states for the exothermic CSTR . . .... 86
5.3 Parameter values for the transfer function models of the CSTR . . 87
5.4 CSTR models parameters for the MRAC strategy (OPI to OPII) 89
5.5 CSTR reference trajectories: multiple models . . . . . . 101
5.6 CSTR model parameters (OPI to OPII) 105
5.7 ISE values for the CSTR 108
5.8 CSTR model parameters (three states) . . Ill
5.9 Biological reactor variable and parameter definitions. . . .... 112
5.10 Multiple steady states and linear models for the biological reactor. . . 112

6.1 Tracking errors of the two-phase reactor .... . . 134

6.2 CICR model nominal values. .... 137

7.1 Seven modes of process operation . . 149

7.2 Process manipulated variables . . . 149
7.3 Process measured output variables (from [1]) 150
7.4 Process operating constraints 151
7.5 Process disturbances . ... 151
7.6 Coefficients in the Antoine equation for condensible components . 153
7.7 Parameters in the reaction rate equations ... 155
7.8 Nominal values of stripper splits for the exiting vapor stream. 163
7.9 Nomenclature in TE process . . 165
7.10 Tuning parameters for SISO level loops and reactor temperature . . 168
7.11 Operating costs for each simulation 193

IX
 LIST OF FIGURES

1.1 Multiple Model Control structure I. This block diagram can be used
to represent the methods of Morse [2], McLain et al. [3], Chiu et al.
[4], and Aufderheide et al. [5] . 9

1.2 Multiple Model Control structure II. This block diagram can be used
to represent the approaches of Narendra & coworkers [6], Banerjee et
al.[7], Van Brempt et al. [8], and the current work . 10

2.1 Controllable canonical form [9]. The time domain block diagram of a
linear time-invariant system in a controller canonical form or realiza-
tion. The symbol J means integration of the dynamic state equation. 22

3.1 Parameterization of a linear time-invariant system. The parameteriza-

tion of the plant as a function of the known input/output description. 27

3.2 An adaptive identifier [6]. The parameter vectors di and 02 are adapted
so that the output of the model is that of the plant 30

3.3 Two-phase chemical reactor system. The simplified schematic shows

the major input and output streams and the control points. 41

3.4 Pressure response of the chemical reactor system. Nonlinear system

(solid line-j-o) and the reduced-order linear model (dashed Une-fD) in
the neighborhood of OPI. The curves are nearly indistinguishable. 46

3.5 Pressure response of the chemical reactor system. Full-order linear

model (soHd hne-l-A) and the reduced-order linear model (dashed Une-t-D)
in the neighborhood of OPI. The curves are nearly indistinguishable. 47

3.6 Component A in the purge stream of the chemical reactor system.

Nonlinear system (sohd line-l-o) and the reduced-order Unear model
(dashed line-t-D) in the neighborhood of OPI. .... 48

3.7 Component A in the purge stream of the chemical reactor system. Full-
order linear model (solid hne-|-A) and the reduced-order linear model
(dashed line-l-D) in the neighborhood of OPI. . 49

3.8 Production rate of the chemical reactor system. Nonlinear chemical re-
actor system (solid lineH-o) and the reduced-order linear model (dashed
line-l-D) in the neighborhood of OPI. . . . 50

3.9 Production rate of the chemical reactor system. Full-order linear model
(solid line-l-A) and the reduced-order linear model (dashed hne-t-D) in
the neighborhood of OPI. . . • • • 51
3.10 Pressure response of the chemical reactor system. Nonhnear system
(solid hne-fo), full-order linear model (dotted Hue -h D), and the
reduced-order linear model (dashed line-^A) in the neighborhood of
OPII. The curves are nearly indistinguishable. ... . . . 53

3.11 Component A in the purge stream of the chemical reactor system. Non-
hnear system (sohd hne+o), full-order hnear model (dotted fine -h D),
and reduced-order linear model (dashed hne-hA) in the neighborhood
ofOPH 54

3.12 Production rate of the chemical reactor system. Nonlinear system

(sohd line-Fo), full-order Hnear model (dotted line + D), and reduced-
order hnear model (dashed hne-|-A) in the neighborhood of OPII. . . 55

3.13 Pressure responses of the chemical system. Nonlinear system (sohd

line-fo) and state-shared model (dashed Hne-FD) in the neighborhood
of the OPI .... . . 58

3.14 Component A in the purge stream of the chemical reactor system. Non-
linear system (sohd line-|-o) and state-shared model (dashed hne-t-D)
in the neighborhood of OPI ... 59

3.15 Production rate of the chemical reactor system. Nonlinear system

(solid line-fo) and state-shared model (dashed line-t-D) in the neigh-
borhood of OPI .... ... 60

3.16 Ryanodine receptor kinetics. This mechanism was proposed by [10]. 61

3.17 Simplified schematic of the calcium fluxes in a cardiac myocyte [10].

Ca: calcium, RyR: ryanodine receptors, SL: sarcolemma, SR: sacroplas-
mic reticulum, CY: cytoplasm, J: calcium trigger, Jpj is a calcium
pump and Jij is calcium leakage. . . . 62

3.18 Positive site fraction. Responses of the nonlinear system (solid line-t-o)
and state-shared model (dashed line-|-D) based on a 3rd-order models
in the neighborhood of OPI. . . . 69

3.19 Calcium concentration in the cytosol. Responses of the nonhnear sys-

tem (sohd line-t-o) and state-shared (dashed line-l-D) models based on
3rd-order models in the neighborhood of OPI 70

3.20 Calcium concentration in the sacroplasmic reticulum. Responses of

the nonhnear system (solid hne+o) and state-shared (dashed line-t-D)
models based on 3rd-order models in the neighborhood of OPI 71

XI
4.1 Illustration of the role of the state-shared model in the operating space.
The state-shared model replaces N (large) models. The state-shared
model uses the measured inputs and adaptation to represent the system
anywhere in the large operating space. ... . . 75

5.1 Block diagram of a model reference adaptive control strategy. This

MRAC design is based on a non-minimal observer system 83

5.2 Steady-state profile for the exothermic CSTR. The profile shows that a
single input value can give rise to more than one output value (output
multiplicities) 86

5.3 Transition control of the CSTR using MRAC strategy. Top panel: The
temperature response of the CSTR tracks a bounded reference signal
to achieve the set point change from 1.3 to 5.0. Bottom left panel:
Control action. Bottom right panel: Model switching. . . 90

5.4 Convergence of the CSTR free-running adaptive model's parameter

values. Clockwise from the top, k, OQ, 9i, 62 . 91

5.5 Classical feedback block diagram with H: controUer and P: plant. . . 92

5.6 Block diagram of the Hoo controller design. Left panel: Block P(s) rep-
resents the plant, A(s) represents model uncertainty, and Ao(s) repre-
sents robust performance. Right panel: Re-arrangment into structured
uncertainty block. . . . 93

5.7 Closed-loop Hoo block diagram. Left panel: Structured uncertainty

with controller. Right panel: Closed-loop system. 94

5.8 Block diagram of the feedback loop. K is the feedback controller, M

is the model, Wi and W2 are weighting functions, and A2 is the model
uncertainty. 96

5.9 Simplified block diagram of the feedback loop. K is the controller and
P is the nominal model P and weighting functions, Wi and W2- • • 97

5.10 Closed-loop system with model uncertainty. Left panel: compressed.

Right panel: expanded to show the subsystems of C L ( J P , K ) . . . . 100

5.11 Internal stability of the uncertain system 100

5.12 Transition control of the CSTR using an Hoo controller with model
switching. Top panel: Temperature response of the CSTR for a set
point change from 1.3 to 5.0. Bottom panel: Model switching. . . . 103

xu
5.13 Transition control of the CSTR using an Hoo controller with model
switching. Top panel: Temperature response of the CSTR for a set
point change from 5.0 to 1.3. Bottom panel: Model switching. ... 104

5.14 Convergence of the CSTR free-running adaptive model parameter val-

ues. Clockwise from the top, A;i,fc2,^3,^:4. ... 107

5.15 Transition control of the CSTR under non-ideal conditions. Temper-

ature response for a set point change from 1.3 to 5.0. Top left panel:
Unmeasured disturbance (10% increase) in the feed concentration. Top
right panel: Model error in the kinetics. Temperature response for a
set point change from 5.0 to 1.3. Bottom left panel: Parameter uncer-
tainty (10% decrease) in the heat of reaction term. 109

5.16 Multiple transitions of the CSTR using state-shared model and Hoc
controller. Top panel: Temperature response for set point change from
1.3 to 2 to 5 to 1.3. Bottom panel: Model switching. .... 110

5.17 Phase portrait of the biological reactor. The phase portrait was gener-
ated using different initial conditions of Xi and X2 and when X2/=0.4g/l
and D = 1.8hr~^. Note the presence of a saddle point and two stable
nodes. 113

5.18 Transition control of the biological reactor using HQO controller with
model switching. Top panel: Substrate concentration response for a
set point change from 0 to 0.389. Bottom left panel: Model switching.
Bottom right panel: Control action. 115

5.19 Transition control of the biological reactor using Hoo controller with
model switching. Top panel: Substrate concentration response for a
set point change from 0.389 to 0. Bottom left panel: Model switching.
Bottom right panel: Control action. 116

5.20 Transition control of the biological reactor under non-ideal conditions.

Modeling error in the specific substrate consumption rate. Left panel:
Substrate concentration response for a set point change from 0 to 0.389,
model switching (middle), and control action (bottom). Right panel:
Substrate concentration response for a set point change from 0.389 to
0, model switching (middle), and control action (bottom) 118

5.21 Transition control of the CSTR: comparison of two different modeling

approaches with an Hoo controller. Reference: solid line, state-shared
model: dashed line, and single model: dotted line. Top panel: Tem-
perature response for a set point change from 1.3 to 5.0. Bottom panel:
Temperature response for a set point change from 5.0 to 1.3. 119

xiii
5.22 Transition control of the biological reactor: comparison of two differ-
ent modeling approaches with an Hoo controller. Reference: sohd hne,
state-shared model: dashed line, and single model: dotted line. Ob-
serve that the single model control approach becomes unstable. . . . 121

6.1 Transition control of the two-phase reactor using an MPC controller.

Production rate change from 100 kmol/h to 130 kmol/h. Dashed hne:
set point, dotted line: reference trajectory. Top left panel: Production
rate. Top right panel: Reactor pressure. Bottom left panel: Composi-
tion of A in the purge. Bottom right panel: Model switching. . 135

6.2 Transition control of the two-phase reactor using an MPC controller

at non-ideal conditions. Production rate change from 100 kmol/h to
130 kmol/h in the presence of measurement noise (SNR 10:1). Dashed
hne: set point, dotted line: reference trajectory. Top right panel:
Production rate. Top left panel: Reactor pressure. Bottom left panel:
Composition of A in the purge. . . .... ... 136

6.3 Transition control of the two-phase reactor using an MPC controller at

non-ideal conditions. Production rate change from 100 kmol/h to 130
kmol/h with yAs inferred. Dashed line: set point, dotted hne: reference
trajectory. Top left panel: Production rate. Top right panel: Reactor
pressure. Bottom left panel: Composition of A in the purge. . . 138

6.4 Transition control of the biological system using an MPC controller.

Dotted line: reference trajectory. Top left panel: Ca concentration in
the cytosol for a set point change from 0.1670 //M to 0.1370 fiM. Top
right panel: Ca concentration in the sarcoplasmic reticulum for a set
point change from 39.262 //M to 38.6162 iJ,M. Bottom left panel: Ca
trigger influx J. Bottom right panel: Maximal rate of Ca in the cytosol
91- 142

6.5 Transition control of the biological system using an MPC controller.

Dotted line: reference trajectory. Top left panel: Ca concentration in
the cytosol for a set point change from 0.1370 /xM to 0.1670 /xM with
an output weight of 50. Top right panel: Ca concentration in the sar-
coplasmic reticulum for a set point change from 38.6162 ptM to 39.262
//M with output weight of 1. Bottom right panel: Ca concentration in
the cytosol for a set point change from 0.1464 /.iM to 0.1244 /xM but
with an output weight of 1 143

7.1 The TE process design flowsheet [11]. There are five major unit oper-
ations: chemical reactor, condenser, separator, stripper, and compres-
sor; 41 measurements and 12 control degrees of freedom. 148

xiv
7.2 Cascade MPC control framework. VI: three liquid level set points, Y*:
the measurement set points, u^. manipulated variables from PI level
control loops, UQ: manipulated variables from MPC, T*: the reactor
temperature set point given by MPC . . ... 170

7.3 Multiple fixed models and MPC control for disturbance IDV(6)- A feed
loss. Top panel: Reactor pressure and reactor level. Middle panel:
stripper level and separator temperature. Bottom panel: separator
pressure and separator level. Dashed line represents the steady state
value at mode 3. . . . . 173

7.4 Multiple fixed models and MPC control for disturbance IDV(6)- A feed
loss. Top panel: Stripper pressure and stripper temperature. Middle
panel: E feed valve and mole percent of A in the purge. Bottom
panel: D feed valve and mole percent of G in the product. Dashed hne
represents the steady state value at mode 3 . . 174

7.5 Multiple fixed models and MPC control for disturbance IDV(6)- A
feed loss. Top panel: A feed valve and A+C feed valve. Middle panel:
stripper liquid product valve and compressor recycle valve. Bottom
panel: separator liquid valve and purge valve. . .175

7.6 Multiple fixed models and MPC control for disturbance IDV(6)- A feed
loss. Top panel: stripper steam valve and reactor cooling water valve.
Middle panel: product flow rate and condenser cooling water valve.
Bottom panel: operating costs and model switching strategy. Dashed
line represents the steady state value at mode 3 176

7.7 Transition control from mode 0 to mode 2. Top panel: reactor pres-
sure and separator temperature. Middle panel: mole percent of G in
the product and the separator pressure. Bottom panel: stripper tem-
perature and stripper pressure. Dashed line represents the reference
trajectory. . . .... 178

7.8 Transition control from mode 0 to mode 2. Top panel: D feed flow
valve and E feed flow valve. Middle panel: stripper liquid product flow
valve and A feed flow valve. Bottom panel: separator product valve
position and A-l-C feed flow valve. . . . ... . 179

7.9 Transition control from mode 0 to mode 2 to mode 3. Top panel: reac-
tor pressure and separator temperature. Middle panel: mole percent of
G in the product and separator pressure. Bottom panel: stripper tem-
perature and stripper pressure. Dashed hne represents the reference
trajectory. . . . • • • • 182

XV
7.10 Transition control from mode 0 to mode 2 to mode 3. Top panel: D
feed flow valve and E feed flow valve. Middle panel: purge valve and
A feed flow valve. Bottom panel: compressor recycle valve and A+C
feed flow valve 183

7.11 Transition control from mode 0 to mode 2 to mode 3. Top panel:

separator bottoms liquid flow valve and stripper liquid product flow
valve. Middle panel: operating cost and stripper steam valve. Bottom
panel: condenser cooling water valve and reactor temperature set point. 184

7.12 Transition control from mode 0 to mode 2 to mode 3 with measurement

noise. Top panel: reactor pressure and separator temperature. Middle
panel: mole percent of G in the product and separator pressure. Bot-
tom panel: stripper temperature and stripper pressure. Dashed hne
represents the reference trajectory. ... . . ... . . 185

7.13 Transition control from mode 0 to mode 2 to mode 3 with SNR=100

input noise. Top panel: reactor pressure and separator temperature.
Middle panel: mole percent of G in the product and separator pressure.
Bottom panel: stripper temperature and stripper pressure. Dashed line
represents the reference trajectory. . . 186

7.14 Transition control from mode 0 to mode 2 with state-shared-MPC.

Top panel: reactor pressure and separator temperature. Middle panel:
separator pressure and stripper pressure. Bottom panel: stripper tem-
perature and E feed valve position. Dashed line represents the reference
trajectory. . . . .... 189

7.15 Transition control from mode 0 to mode 2 with state-shared-MPC. Top

panel: A feed valve and A + C feed valve. Middle panel: purge valve
and condenser cooling water valve. Bottom panel: mole percent of G
in product and model switching. Dashed line represents the reference
trajectory ... 190

7.16 PI control loops in transition control from mode 0 to mode 2 with state-
shared-MPC. Top panel: Reactor level and D feed valve. Middle panel:
separator level and separator liquid valve. Bottom panel: stripper level
and stripper liquid product valve. Dashed hne represents the reference
trajectory. . ... 191

XVI
 CHAPTER 1
INTRODUCTION
Automatic process control is practised in many industries either to maintain a
given operating variable at a constant value (regulation), or to behave in a desired
time-varying fashion (servo control). Useful measures to evaluate any control strat-
egy include: speed of response, accurate estimation of the controlled variables, and
stability of the closed-loop system (plant and plant-wide control strategy) [12]. In
fact, many of the control methods reviewed in this chapter are motivated by these re-
quirements. However, to design a control system with the above properties primarily
depends on the knowledge that is available about the system to be controlled.
Linear systems theory has supplied many effective control methods for linear-time-
invariant system.^ Excellent design methods are available when a system is known
precisely [13, 14, 15]. When there are disturbances and/or modeling uncertainties,
that is, the system is not known precisely, some robust control methods may be
applicable [6, 14]. It is weU known that most real systems are nonlinear. However,
such systems can be approximated by a linear model in the neighborhood of the
operation point, provided the neighborhood is small enough or there are only small
system uncertainties. If the operating space is large, or there are large parametric
uncertainties in the dynamic models of the system, or the degree of nonlinearity is
severe, then it is intuitive to expect that one hnear model may not be accurate to
approximate the nonlinear system satisfactorily.
In the chemical industry, it is quite common for plants to produce more than
one type of product, the choice of product being dictated by market forces. This is
particularly true in the polymer industries, where product and grade transitions occur
frequently within continuous processes. As a result, transitions between different
operating points occur, which necessitate the use of a controller or control structure
that can successfully regulate the plant not only at the particular initial and flnal
operating points, but also in the entire transition regions. In this work, the interest is
^A system is said to be time-invariant if its properties do not change with time.
in designing a robust control structure that permits the process to transition stably
and quickly as a result of a set point change (tracking). There are other reasons for
a process to transition to some other part of the operating space. The latter can be
classified as unplanned transitions. These include unexpected disturbances and/or
parameter changes. In these cases the control strategy is to regulate in the face of the
disturbance or parameter changes rather than to track a known reference trajectory.
Two other transitions are worthwhile mentioning startup and shutdown. These
transitions are not addressed in this work.
Nonlinear behavior of the system is not an uncommon characteristic. This feature
serves to not only heighten the control problem but also to necessitate a nonhn-
ear dynamic model of the process for control studies. However, methods to address
nonlinearities without the use of a nonlinear model are always considered, because
(i) there is a shortage of available high quality nonlinear models to characterize the
process adequately, (u) nonlinear control methods are not as readily apphed when
compared to linear control methods, and (iii) nonlinear closed-loop stabihty argu-
ments are difficult to establish in general.

1.1 Background
Not surprisingly, a popular modeling method is to use multiple hnear models
that together represent the nonlinear system [16]. Thus, the vast body of hnear
control theory can be applied. In addition, if there are numerous fixed parameter
model/controller pairs, then it is assumed that there is at least one model in the set
of models whose estimation error (the difference between the plant output and model
estimate) is the smallest so that its companion controller is the feedback controller
to cause the plant output to track the desired reference input [17, 18]. For large
operating spaces,^ there is a very large number of these model/controller pairs to cover
the possible operations. If the large number of models and controllers is a burden for

^Space that consists of all possible operating conditions that is a function of the parameters of
the system.
online, real-time applications, then either an alternative means of representing the
system over the large operating space must be found or the existing model quality
must be improved.

A general model reference adaptive control (MRAC) methodology that employs

multiple fixed (non-adaptive) and intelligent (non-conventional) adaptive models,
switching, and tuning was proposed (see Narendra and coworkers [12, 19, 20], and
Balakrishnan [13]). The rationale for using adaptive and fixed models is to ensure
that there is at least one model with parameters sufficiently close to those that pro-
duce the outputs of the plant. The intelhgent adaptive models and tuning provide
accuracy because an accuracy estimate is needed by the controller to cause the plant
to track the desired trajectory. The fixed models, together with switching provide
speed. This means that although the fixed model is not accurate, it can be used
at this instance to provide the best estimate of the plant until a better model is
found. The theoretical foundation that guarantees stability in the context of MRAC
for unknown linear time-invariant systems is provided in Chapter 5. This approach
was successfully demonstrated by Gundala et al. [21] on a two-phase multiple-input
multiple-output nonlinear chemical reactor that exhibited transitions due to set point
and unplanned parameter changes.
A hybrid ^ supervisory control method was proposed by Morse [17, 2, 22]. This
supervisor is capable of switching into feedback with single-input single-output linear
(SISO) processes, a sequence of set point controllers from a set of candidate con-
trollers. The supervisor decides which controller to place in the feedback loop with
the process by continuously comparing, in real time, well-defined norms of the output
estimation errors. The supervisor is said to be hybrid because while it samples the
estimation errors in continuous time, it makes decisions about controller switching
in discrete time. In the absence of unknown process dynamics, the proposed strat-
egy can successfully achieve a zero steady-state tracking error, provided the process
^The outputs of the system are sampled continuously, while the applied controller action is
discrete.
disturbances are bounded and constant. It is also shown that fast switching among
controllers can permit the output to track the reference signal, provided that the
dwell time ^ is a positive number, no smaller than the time it takes the supervisor to
compute the values of the performance signals.
In Banerjee et al. [7], a nonlinear plant was represented by A'^ linear models cor-
responding to A'^ known and distinct operating points. Each model's prediction of
the output is weighted by probabihties that are calculated using Bayes theorem ^
[23]. It is assumed that each model has a controller that has been designed to per-
form satisfactorily within its associated operation region but not necessarily during
a transition. The problem of smooth transfer, i.e. stabihty and good performance,
between different controllers is solved by introducing a self-scheduling controller strat-
egy that also uses the probabilities as scheduling variables. The effectiveness of this
strategy depends on knowing how many models are needed and the likelihood that
a weighted combination of the existing models can provide accurate estimates of the
plant outputs. A robust control design (see Chapter 5) is used to achieve satisfactory
closed-loop performance.
Kordon et al. [18] divided the nonhnear plant into several overlapping operating
regimes. A parallel control system, consisting of a bank of concurrently running
virtual control loops and a concurrency coordinator, are proposed. The performance
analysis in the parallel control system is based on feedback control errors, rather than
model output estimation errors. The control action is selected to take place only in
the operating region that is determined based on comparing two £^ norms.^ The
•^The amount of time that a specific controller remains in the feedback loop before it is replaced.
^By comparing the plant and the model outputs at every sample time, the probability that each
of the local models is a valid representation of the plant is obtained. The conditional probabihty
found from an application of Bayes theorem is called by some researchers a weighting function or a
validity function. The underlying probability density function assumed in the application of Bayes
formulation is a normal distribution.
^In norm space £ ^ ( £ P ) , any two vectors Xi 6 R'^,X2 € fl", the norms are defined by,
1/2(P)

\\X1 - X2\\2{p) = f J2^Xi,i - X2,if''P^ j

first is between the predicted position of each virtual control loop and the centers of
each operating region, and the second is between the predicted position of the virtual
control loop and the reference operating region. The latter can serve to constrain the
control system. Simulation results are used to demonstrate that the resulting closed-
loop system is stable during the transition, however, no general theory on stability is
provided.

Schott et al. [24] proposed a multiple-model adaptive control (MMAC) method

that uses single-loop proportional-integral-derivative (PID) controllers. Bayes theo-
rem is used to determine the combination (weighting functions) of the existing model
to generate a more accurate model. The MMAC approach is best used when the
plant is accurately modeled in several key operating regions so that a weighted set of
models can provide a reasonable representation at any other point in the operating
space.
Related to the MRAC approach of Narendra and coworkers [6], is the nonhnear
MRAC strategy proposed by McLain et al. [3]. This strategy proposes to embed one
or more hnear models within a radial-basis function ^ based controller design. Similar
to the work of Schott et al. [24], Bayes theorem is used to determine the combination
of the existing models to generate a new one. This adaptive model is then used to
refine the nonlinear controller. Parameter update laws are derived using Lyapunov
stability analysis that ensure that the plant output asymptotically tracks the output
of a linear reference model.
Chiu et al. [4] proposed an internal model control (IMC) design. In this approach,
the dynamic model of the system is constructed using validity functions ^ that combine
a set of local transfer-function models that represent the dynamic system around each
known operating point. The IMC controller uses this model to determine the control
move for the current sampling time.
''One example of such a function is a Gaussian distribution function exp {—r'^/P), /? > 0 where /3
is variance and r is the distance from the center. Such functions are used in functional interpolation
of data.
*This is similar to the conditional probabilities found using Bayes Theorem where a normal
distribution is assumed for the density function.
 Aufderheide et al. [5] employed multiple models with a first-order plus delay
(FOPDT) structure in a constrained model predictive control framework (MMPC).
The prediction and control horizons for the MMPC scheme are based on the process
time constant and delay of the identified FOPDT.
Sun and Hoo [25, 26] presented a robust dynamic transition control structure for
time-delayed systems using a set of fixed models and controllers. They converted the
trade-off between nominal performance and robust stability when the model has large
uncertainties with the development of several models with small uncertainty. Several
theorems were provided to show the robustness of this transition control structure.
The most recent contributions in the area of transition control appeared at an
invited session at the 2003 American Automatic Control Conference. These works are
significant because they come from the industrial sector and from leading international
engineering firms.
Turner et al. [27] describe a state-space bounded derivative network for transition
control. The bounded nature of the derivative of these models is said to enable robust
and intelligent extrapolation while satisfying global gain constraints. This method
is promising as it may provide for a full nonlinear control with optimization for
process transitions. The success of this strategy was demonstrated on a commercial
polyethylene process.
In Van Brempt et al. [8], a novel model predictive control architecture called
INC A®, which has been implemented on a dynamic linear time-varying model of a
Dow Chemical Co. polystyrene production facility at Tessenderlo, Belgium, was in-
troduced. The controller allows for a grade transition that pushes the process towards
more profitable operating regions during normal production. During the transition,
the model predictive controller is shown to switch smoothly between the different
models of a set of models at different operating points. Results show satisfactory
tracking of the desired trajectory, together with a large disturbance rejection capabil-
ity during the grade transition. Dynamic economic optimization of the change-over
trajectory forms an alternative for the use of a best practice trajectory, which results
in an optimal transition policy for the current market condition.
Duchesne et al. [28] proposed multivariable statistical process control (SPC) meth-
ods for start-ups and grade transitions with the aim of reducing off-spec product and
transition time. Specifically, the multivariable projection methods of Principal Com-
ponent Analysis (PCA) and Projection to Latent Structures (PLS) are used. The
multivariable SPC charts are employed to achieve successful completion of a transi-
tion and as analysis tools for diagnosing the reasons for past transition problems and
for monitoring new transitions to ensure repeatable high quality transitions.
Srinivasan and Visvanathan [29, 30] used an expert system's approach to manage
transitions. Their tool called EventExpert identifies the process state, manages the
multiple mode plant, and categorizes the state of the plant. They use two simulated
applications, pilot scale distillation, and startup and shutdown of a refinery catalytic
cracking unit. They show the capabihties of this expert system approach to man-
age the transitions. Absolutely no fundamental theory (accuracy and stabihty) was
provided to support this approach.
Flores-Tlacuahuac and Fernandez-Anaya [31] apphed control actions that are in-
terpolated from existing controllers to the transition control of a continuous-stirred
tank reactor system. The interpolating coefficients are computed from a set of ex-
ponential interpolating functions. No systematic procedure and no criterion were
provided to select the interpolating functions. Because the controller is based on
the interpolation of several fixed local PI controllers, if the system's gain changes
sign during transition, the interpolated controller may not work because all the fixed
models' gains have the same sign.
The previous controller design methods all involve multiple models of the plant.
These multiple models may be input-output models that result from using system
identification theory or state space models that are derived from fundamental princi-
ples of physics and chemistry. Most of the exphcit control strategies use a quantitative
measure (performance bound or hkelihood) of model estimate to determine the feed-
back controller. The exception is the approach by Kordon et al. [18], which is based
on a virtual feedback control error.

Regardless of the performance criterion used, stabihty and satisfactory closed-

loop performance (smooth response, reasonable settling time, minimum overshoot,
etc.) should not be ignored. The approaches of Narendra and coworkers [6] and
Balakrishnan [13] have mathematical proofs to demonstrate that arbitrary switch-
ing schemes can guarantee global stability for minimum phase, linear time-invariant,
open-loop systems. In the supervisory control approach, Morse's strategy [2] tracks
the reference signal without offset, provided that the time in which the current con-
troller is in feedback with the plant is a positive number no smaller than the time it
takes the supervisor to compute the values of the performance signals. In the work
by Charboneau et al. [32], this strategy is investigated for an open unstable reactor
system. There, while the output tracks the reference without offset, the input signal
is seen to chatter. Sun and Hoo [25, 26] addressed systems with time delays, such
systems pose significant determinant to the design of an effective transition control
strategy.

Banerjee et al. [7], Kordon et al. [18], Schott et al. [24], and Aufderheide et al.
[5] do not provide any theoretical foundation for the proposed multiple models and
control structures that assures satisfactory performance and closed-loop stabihty.

1.2 Transition Control Framework

Transition control presents a chaUenging problem. In fact, the problem can be

considered in two parts: the identification of a dynamic model that represents the
plant behavior during transition and the synthesis of a controller based on the accu-
racy of the model such that satisfactory closed-loop and stable performance of the
controller and nonlinear plant are guaranteed. From the survey in section 1.1 of the
most recent methodologies, it is found that those approaches can be illustrated by
the following two block diagrams shown in Figures 1.1 and 1.2.
The concept of the multiple models is to provide an accurate representation of the
dynamic behavior of the plant from which to design and tune the controller. This

8
 —
\r _i_ 1
V + '
^r^^c ^ Controller u ^
Plant
Bank
i1
Process >
— Model
Bank
Weighting
Function

Figure 1.1: Multiple Model Control structure I. This block diagram can be used to
represent the methods of Morse [2], McLain et al. [3], Chiu et al. [4], and Aufderheide
et al. [5]

approach is one form of indirect control [6]. The methodology of Morse [2], McLain
et al. [3], Chiu et al. [4], and Aufderheide et al. [5] can be represented by Figure
1.1; while those of Narendra and coworkers [6], Banerjee et al. [7], Van Brempt et al.
[8], Turner et al. [27], and the current work by Figure 1.2. The models in the process
model bank may be models that are identified either directly from data collected from
the real process or from a first-principles model. The process model bank shown in
Figure 1.1 includes only fixed models while that of Figure 1.2 includes both fixed and
adaptive models.
A weighted linear combination of the existing fixed models to generate a new model
representation can also be regarded as an adaptive model. Conditional probabihties
determined from Bayes theorem is one method to determine the weights. Other
alternative methods to calculate the weights can be based upon some measure of
distance (L^ or L°°) or well-defined performance signals [12, 22].
The process model-based controller bank may consist of different controller types.
The controllers can be hnear or nonlinear, for instance, PID, Hoc, LQR (Linear
Quadratic Regulator), MPC (Model Predictive Control), etc. Although some modern

9
 -t-w
Controller
°K> Bank Plant

Process y. ^' e.
Model
Bank

Figure 1.2: Multiple Model Control structure II. This block diagram can be used to
represent the approaches of Narendra k coworkers [6], Banerjee et al.[7]. Van Brempt
et al. [8], and the current work

linear control methods, such as H^c, have many attractive feedback properties such as
stability and robustness, they may produce high order controllers, thereby rendering
them non-implementable. In Chapter 5, a case study that uses multiple-models and
an Hoo controller approach will be demonstrated.
Combinations of different process model types, weighting functions, and con-
trollers will yield different closed-loop structures. The choice of which combination
to use in the case of transition control is for the most part determined by the control
objective, depth of process knowledge about the operating space, and the size of the
operating space. Measures of accuracy, stabihty, speed of response, robustness, and
computing burden should also be factors in the selection of a controller type [12].
A brief review of control theory is appropriate as some of these control methods
will be used in the multiple-model transition control framework. It is recognized that
most real systems are nonlinear. However, the standard control approach is to analyze
the behavior of the process in a region about the nominal operating state (design
conditions). A linear representation is appropriate if the boundary of operation is
confined to a single operating state [33]. The review begins with a discussion of
relevant linear control theory. A brief review of nonlinear control is also provided
for completeness. With this background, the motivation for the research in this
dissertation is completed, and the general methodologies used in this dissertation is

10
outlined.

1.3 Linear Control Method

The review is taken from several sources, [9, 6, 14, 15, 34, 35, 36, 37]. Most of the
existing control theory is based on linear system theory. The most classical control
method is Proportional-Integral-Derivative (PID) or three-mode controller. Many ar-
ticles have appeared concerning the tuning of the three parameters for a given system
type. Almost aU the controllers whose outputs are found by using optimization the-
ory can be explained by the Linear Quadratic Gaussian (LQG) controller. Frequency
analysis is also used to determine the controller. The most used method in this class
is pole placement where the closed-loop behavior determines the controller. In the
class of robust controller, the Hoo control design is used.

1.3.1 PID controller

In order to compute the control input, the simplest control strategy is to choose
the input to be negatively proportional (P) to the error between the set point and
the measurement. With P control, the error can be reduced, but may not converge to
zero; in other words there may be offset. A term proportional to the integral of the
error is added to the proportional part to cancel the offset error and track constant
set points. However, the transient response may be degraded (can be oscillatory or
sluggish). To regain improved response a third term is added that is proportional
to the derivative of the error, resulting in the P-I-D feedback controller. The PID
controller is predominantly used in many industrial control systems [13].

The PID controller is simple when compared to other advanced controllers. The
chemical, petroleum, and petrochemical industries have shown that this controller
gives very good performance when regulating nonlinear systems that are confined to
operate about a single nominal operating state. For a system with strong nonlineari-
ties or one that transitions among many different operating state, the PID controller
must be retuned for the various states to provide satisfactory response (excessive con-

11
trol action is avoided). An alternative is to employ multiple PID controllers in some
supervisory manner. The method of gain scheduling employs this approach [15].

1.3.2 LQG controller

While PID control provides good physical intuition, closed-loop stability and
constraints are difficult to include in the selection of the parameter values of the
three modes. The linear quadratic Gaussian (LQG) optimal controller was first
used in aerospace applications in the 1960s [14]. A subset of the LQG is the linear
quadratic regulator (LQR). The LQG formulation provides a systematic controller
design methodology for high-order and multiple-input multiple-output (MIMO) sys-
tems.

The optimization approach of LQG is characterized by the specification of a cost

function that represents the desired performance specifications. This cost function is
a real, scalar-valued function of the system (functional) that can be minimized with
respect to equality and inequalities to yield an optimal solution (controller output).
The LQG controller uses the principle of state feedback to determine the optimal
solution. As such, a state space model of the plant as opposed to the input/output
transfer function type models is used. A fundamental result of the state space ap-
proach is that any controllable linear-time-invariant (LTI) system can be stabilized
by state feedback. One disadvantage of the LQG is the need to feed back measure-
ments of the state variables. In most chemical system, not all the states (composition,
temperature, etc.) can be measured in a timely fashion. To overcome this limitation
on this class of systems a state estimator such as the Kalman Filter [37] or the Lu-
enberger observer [9] is used to infer the unmeasured states in the calculation of the
optimal control moves.
Another disadvantage of the LQG design is that much of the intuitive insight about
the effects of controller parameter modification is lost (c/. PID controller tuning).
The cost function used in the LQG design does not include robustness specifications,
although a procedure known as loop transfer recovery can be applied to improve the

12
robustness of the resulting design. The LQG cost functions include only very hmited
disturbance rejection specifications, and applying the LQG design to tracking systems
requires the use of classical control concepts such as integral control. An additional
disadvantage is that the resulting controller has at least as high an order as the plant,
which often makes implementation difficult. Implementation can be simplified by
approximating the resulting controller with a lower order controller.

1.3.3 Hoo control

If a system has modeling errors or model parameter uncertainties, the Hoc con-
troller may be a good choice. The H^o controller was developed in the 1980s, and
continues to be refined in response to requirements for more robust control designs
[14]. The Hoo method has been used successfully in diverse and difficult applications,
including a tokemak plasma system for use in nuclear fusion power generation; a flight
system for the space shuttle; an ultrahigh performance missile system [38]; a high-
purity distillation system; and an unstable continuous stirred tank chemical reactor
system [16].
The Hoo control objective is to find a stable feedback controller that minimizes the
closed-loop system infinity norm, using the plant state and the known disturbance
[14]. If the infinity norm of the uncertainty in the system is bounded, the Hoc method
can provide a controller such that the infinity norm of the closed-loop is less then 1.
Stabihty can be estabhshed using the small gain theorem. Because the Hoo controller
is robust to bounded signals, this methodology is said to yield a robust control system.
The Hoo design also allows for robust stability. Chapter 4 demonstrates the inclusion
of robust stabihty and robust performance in the H^c control design. Some of the
disadvantages of the Hoo controller design include: (i) selection of the appropriate
weighting functions, (ii) defining bounds on the uncertainties and disturbances, and
(iii) limited use due to the high order of the controller design.

13
1.3.4 Linear MPC

Model predictive control (MPC) is based on optimization, at every samphng in-

stance, of a constrained quadratic objective function that represents the error between
the desired set point and the plant's outputs and the model's prediction in the future
[39]. While this technique may be computationally intensive, it can be implemented
easily with today's computing hardware. MPC and variants of it have proven to be
useful in the chemical industries especially when the system to be controlled is con-
strained. The concept behind the conventional MPC formulation is to use a model to
predict the future behavior of the process over a horizon P if a set of future control
moves, computed over a control horizon i\/, were known. Since, the disturbances
are estimated during the prediction stage of the calculation, at every sampling time,
the sequence of optimal control moves must be re-calculated in order to optimize the
future plant behavior [40].
The conventional MPC formulation was based on using a linear input/output
model of the process. If the process has strong nonlinearities, multiple linear mod-
els can be used to approximate the nonlinear system, and the design of the hnear
controller is justified. Tian and Hoo [41] proposed a state-shared model based on
multiple linear models and a linear MPC controller to control a nonlinear chemical
reactor. Zhao [42] used a variant of MPC called dynamic matrix control (DMC) and
multiple linear models to control a nonlinear system.

1.4 Nonhnear Control Method

Although there are a number of methods to design nonlinear controllers, the anal-
ysis of the stability of the closed-loop system is often difficult to establish. To date
closed-loop stability has been proven rigorously for only a limited class of systems
[40, 43]; otherwise numerical simulation is used to establish closed-loop stability.
If the nonlinear system can be completely transformed to a linear system, the
vast body of linear system theory can be apphed to the nonhnear system. This is a
natural approach to deal with nonlinear systems. Another is the use of differential

14
geometric theory [44].

1.4.1 Global Feedback Linearization

The following overview is taken from an internal report by Tian [45]. The global
linearization method is developed for a class of affine.^
There are many reasons to motivate a user to apply a global feedback linearization
method. Here, two reasons, relevant to this work, are provided.

• If the nonlinear system can be made equivalent to a hnear system under state
feedback, a hnear controller can be designed using the wealth of hnear control
theory that is available. Thus, the problem of designing a nonhnear controller
is reduced to the problem of designing a hnear controller.

• The merit of a controller is based on achieving attractive closed-loop dynamics.

Linear systems' dynamics are well understood. Once the closed-loop system
(nonlinear system and controller) is made equivalent to a linear system, linear
system theory can be used to analyze the stability of the nonlinear system.
Therefore, global state feedback linearization extends linear controller synthesis
theory to the design and analysis of the nonlinear control problem.

Global linearization schemes include two key steps: (i) state variable transforma-
tion and (ii) state feedback information. The necessary and sufficient conditions for a
nonlinear system to be equivalent to a controllable linear system were investigated by
[46, 47, 48, 49]. The global linearization problem was proposed and first solved, for
single-input systems, by Brockett [46]. The independent work of Su [49] and Hunt et
al. [48, 50] led to a similar formulation, together with a procedure for the construction
of the linearizing transformation. The existence of globally defined transformations
was also investigated by Dayawansa et al. [47]. In chemical engineering, the first
^Nonlinear in the states, x but linear in the inputs u A general form is given by,

x = f(x) + g(x)u.

15
application to a nonlinear chemical reactor was demonstrated by Hoo and Kantor
[51]. In [45, 52], a global linearizing controller is developed and demonstrated on
a nonlinear model that describes the mechanism of calcium-induced calcium-release
and the calcium balance in human cardiac myocytes. This system will be re-visited
in Chapters 4 and 6.

Disadvantages of the global hnearization method include: (i) the controller for-
mulation does not address input/output constraints, (ii) the theory provides for the
existence of a transformation but not how to generate a unique transformation, and
(iii) high-order nonlinear systems are not readily amenable to this analysis.

1.4.2 Nonhnear MPC

The following overview is taken from [40, 43, 53, 54, 55, 56, 57]. Nonhnear MPC
technology includes at least two broad categories of applications:

• Regulatory control problems where the process is highly nonlinear and subject
to large frequent disturbances (pH control, biological systems, etc.).

• Set point (servo) control problems where the operating regimes change fre-
quently and span a sufficiently wide range of nonlinear process dynamics.

There exists at least two obstacles to nonlinear MPC applications:

1. Modeling approach: There is no systematic approach for building nonlinear

dynamic models for nonlinear MPC [58].

2. Dynamic optimization: There is a large computational burden associated with

dynamic optimization. The assurance of a reliable solution in real-time is a
major limiting factor.

Nonhnear MPC has been apphed in applications such as an ammonia plant, a polypropy-
lene process, a pulverized coal fired boiler [59], and a high-purity distillation column
for the separation of Methanol and n-Propanol [60].

16
 1.5 Motivation of This Work

Transition control research has been the recent subject of many academic and
industry researchers [27, 8]. In particular, the approach of using multiple linear
models and multiple centralized/decentralzed controllers continues to produced new
results. Presently, the closed-loop performance of the system with hard constraints
and disturbances remains an open question during the transition.
In the studies presented in this work, the first effort involved the use of multiple
linear fixed and adaptive models, and an Hoo controller to reahze the transition of
an open-loop unstable SISO nonlinear chemical reactor system between different con-
version states [16, 61]. The adaptive models and stable switching among the models
demonstrate that an "accurate" model to approximate the nonlinear system can be
found. The HQO controller design used the best model to determine the controller
output. The approach of multiple models and switching was suggested by Narendra
and coworkers [12, 13, 19, 20]. The simulation results showed that stable and satis-
factory closed-loop responses can be obtained in the face of parameter uncertainty,
unmeasured disturbances, and plant/model mismatch.
Although this effort was successful, there remained many unresolved issues. For
instance, when switching between multiple fixed and/or adaptive models, the initial
states of each state space model can be different, which will affect the selection of
the best model. To address this, a state-space form such that all the models shared
the same states is proposed. This motivates the development of a state-shared model
form that represents both multiple fixed and adaptive input/output models of the
process in the large space of possible operations [62].
The advantage of model predictive control is that it can deal with hard and soft
linear and nonlinear constraints. The disadvantage is the calculation at each samphng
interval of the optimal control actions. Regardless, it is reasonable to use the state-
shared model approach in the model predictive control framework to address the issue
of transition control.

17
 1.6 Dissertation Organization
The dissertation is organized as follows. Chapter 2 gives the preliminary back-
ground on linear system theory, which is necessary to the development of the state-
shared model. Chapter 3 develops the state-shared model and chapter 4 presents
the concepts of adaption and switching, which are necessary for parameter conver-
gence and stable switching. Chapter 5 introduces the non-optimization based control
methods relevant to this work and demonstrates these methods using the state-shared
model. Chapter 6 is dedicated to the development of the class of model-predictive
(optimal) controllers. Since all the examples in the previous chapters are on a single
unit operation it is reasonable to address the use of these methods on a plant-wide
basis. Thus, Chapter 7 presents a case study of the Tennessee Eastman Challenge
Problem [11] that is based on a plant that should produce at least three different grade
combinations on demand. The final chapter. Chapter 8 summarizes and documents
the contributions of this work, and details future research directions.

18
 1.7 Nomenclature
FOPDT First-order plus dead time
IMC Internal model control
LQR Linear quadratic regulator
LQG Linear quadratic Gaussian controller
MIMO Multiple-input multiple-output
MMAC Multiple model adaptive control
MMPC Multiple model predictive control
MPC Model predictive control
MRAC Model reference adaptive control
NMPC Nonhnear model predictive control
PID Proportional-integral-derivative
QDMC Quadratic dynamic matrix control
SISO Single-input single-output
STR Self-tuning regulator

19
 CHAPTER 2
PRELIMINARIES
When one or more aspects of the system change with time, it is generally referred
to as a dynamic system. Influences that originate outside the system and act on it
so they are not directly affected by what happens in the system are called inputs[6\.
The quantities of interest that are affected by the action of these external influences
are called outputs of the system. As a mathematical concept, a dynamic system can
be represented by algebraic and ordinary differential equation(s) of the form

Xp{t) = f{Xp{t),Up{t),t)
Vpif) = g{xp{t),Up{t),t)

where i is a non-negative scalar, Xp{t) G X are the states with X C i?" a compact ^ set,
yp{t) G Y are the measured outputs with Y C i?^; and Up{t) G U are the manipulated
variables with U C R^ is a compact and convex ^ set. The vector functions / and g
are defined by / : i?" x i?"^ x ii!+ ^ /?" and g : R'' x R"^ x R+ ^ PP.
The states x{t) at time t are determined by the initial states x{to) at any time
to < t and the input u is defined over the half-closed interval [to,t)- The output y{t)
is a function of time and the states.
When the functions / and g are linear, the system is said to be linear [6] and can
be represented in the form,

x{t) = A{t)x{t) + B{t)u{t)

y{t) = C{t)x{t) + D{t)u{t)

where A{t) G /?"^", B{t) G i?"''™, C{t) G i?^^", and D{t) G PP^'" are matrices of
bounded, piecewise-continuous, dynamic functions. For systems whose characteristics
^Heine-Borel Theorem. A subset K of R" is compact if and only if K is closed and bounded
[63].
^A convex set is a set of elements from a vector space such that all the points on the straight line
between any two points of the set are also contained in the set [64].

20
do not vary with time, the system in Equation (2.2) becomes time-invariant (LTI).
That is,
x{t) = Ax{t) + Bu{t)
(2.3)
y{t) = Cx{t) + Du{t)

In this chapter, the relevant concepts and theory about LTI systems (Equation
(2.3)) used in the development of the state-shared model are reviewed.

2.1 System-Theoretic Analysis

Definition 2.1.1. [9] For the LTI system given by Equation (2.3) The system is said
to be stable if and only if

Re{\i{A)} <0 (2.4)

where {Xi{A)} are the eigenvalue of A.

The pair (A, B) is said to be controllable [34j if

rank[B\AB\ •••\A"-^B] =n (2.5)

The pair (C, A) is said to be observable [34] if

C
CA
rank = n (2.6)

CA n - l

If a LTI system is both controllable and observable, then it is a minimal realiza-

tion^ form [34]. For the same LTI system, there may be many different realizations
with different realization dimensions [9]. This work is particularly concerned with a
realization in a particular controllable canonical form illustrated in Figure 2.1. The
corresponding coefficient matrices in state-space form for single-input single-output
•^The dimension of the realization is the same as the rank of the controllable and observable
matrices.

21
 'n-l

J^y^
u
-^t-^
-a„
iaJj

-a.

Figure 2.1: Controllable canonical form [9]. The time domain block diagram of a
linear time-invariant system in a controller canonical form or realization. The symbol
J means integration of the dynamic state equation.

(SISO) systems is given by [9].

: In-l
A = b=
0 (2.7)

-ai .. —On

C^ = [Cn C„_i • • • Ci]

here /„_i means (n— 1) x (n— 1) identity matrix and ^ means the transpose operator.

2.2 Properties of the Transfer Function

The Laplace transform is used often to represent the response of the LTI state-
space system (Equation (2.3)). Applying Laplace transform to Equation (2.3) where

22
s is the Laplace variable (complex number) and re-arranging gives,

Y{s)
= H{s) = C{sI -A)-^B +D (2.8)
U{s)

where Y{s) and U{s) are the output and the input in the Laplace domain. Since s
is a complex variable, the Laplace domain can also be thought of as the frequency
domain. "* The relation, H{s), between Y(s) and U(s) is called the transfer function
because H{s) transfers the effect of U(s) to Y(s) [34].
An m-input p-output LTI system has a transfer function H{s) G RP''"'{S), which
is a set of (p x m) matrices with polynomial elements [9, 37].

Definition 2.2.1. [9j A rational transfer function matrix H{s) is said to be proper

tf
hm H{s) < oo
s—•oo

and strictly proper if

lim H{s) = 0.
s—•oo

T h e o r e m 2.2.1. H(s) is realizable as the transfer function matrix of a linear time-

invariant system given by
X — Ax + Bu

y = Cx + Du

if and only if H(s) is a proper rational matrix. If D is the null matrix, then H(s) is
a strictly proper rational matrix.

The proof can be found in Antsaklis and Michel (page 391) [37].
H{s) can be expressed in a matrix fraction description (MFD) given by

d{s)
4 s. =
- juj, where UJ is the frequency.

23
where d{s) is the least common multiple of the denominators of the entries of H{s),
with degree (deg d{s)) n, and is given by

d{s) = s" + dis"-^ + --- + 4 .

Thus,
His) = D-\s)N{s)
(2.9)
D{s) = d{s)Ip.

Define the degree of the denominator matrix as

deg D{s) = degdet(£)(s)) = np.

The pair {N{s), D{s)} is called a left matrix fraction description [9].

Proposition 2.2.1. Given any left MFD of H{s) = D''^{s)N{s), a state-space real-
ization of order
degdet(D(s)) = deg left MFD

can always be found.

In [9], a procedure to obtain controllable realizations from a left MFD is given.

Lemma 2.2.1. [9] Row degree of Proper Transfer Functions

If H(s) is a strictly proper (proper) transfer function and the left MFD is given by

H{s) = D'\s)N{s),

then every row of N(s) has degree strictly less than (less than or equal to) that of the
corresponding row of D(s).

The proof is similar to that found in Kailath (page 383) [9].

24
 2.3 Nomenclature
deg Degree
LTI Linear time-invariant
MFD Matrix fraction description
SISO Single-input single-output

25
 CHAPTER 3
STATE-SHARED MODEL STRUCTURE
There are at least three important issues to be considered in system identifica-
tion. The first is the form of the identifier, the second is uniqueness of the identified
parameterization, and the third is parameter convergence. The form of the identifier
is a modeling structure, including the parameters to be identified, such that each
system, in the class of systems to be identified, corresponds to a set of parameters.
Uniqueness means that for every system, the identified set of parameters is unique.
Parameter convergence if not guaranteed, may not only result in a plant model that
is not unique but also in identification failure.
Mathelin and Bodson [65] proposed an identifier form with the number of identifi-
able parameters, Ne, for an m-input p-output multiple-input multiple-output (MIMO)
system, equal to {p-\-m)n, where n is the order (McMillan degree^ [9]) of the minimal
state space realization of the system. Convergence and uniqueness were shown and
a procedure to transform an input/output model to the specific parameter identifier
was provided.
This work is concerned with the development of a multivariable adaptive identifier
[62]. Such an identifier (state-shared model), may be used for example, in a multivari-
able indirect adaptive control scheme. This identifier is driven (excited) by the plant
outputs and the manipulated variables, but shared by multiple input/output mod-
els of the system to be identified. For each input/output model, there is a different
measurement equation.
The coefficient matrices in the state-shared model are selected to be controllable
by the designer. The existence and uniqueness criteria for this type of parameter-
ized model are based on a uniquely identifiable parameterization known as a matrix
fraction decomposition (MFD) [9]. The convergence of the parameter adaptation is
also proven. For an m-input m-output hnear MIMO system, the total number of
identified parameters is derived to be Ne = n{m^ + 1), where n is the upper bound

^The order of the least common denominator of the transfer function.

26
of McMillan degree of all nominal hnear models.

3.1 SISO State-Shared Model

The work begins with the construction of state-shared model for SISO systems.
In the sequel, it will be extended to MIMO systems.

T h e o r e m 3.1.1. [6] Any controllable and observable n*^ order single-input single-
output linear-time-invariant (LTI) system described by

ypis) = ^Ms) (3.1)

Rp{s)

is input-output equivalent to the LTI system described by the differential equations ^

cJi = FLOI -\- gu LJi e i?"

UJ2 = Fuj2 + gyp UJ2 G / ? " (3.2)

yp = 9'^u

where the parameter vector 6 is suitably chosen. The pair {F, g) is controllable, F is
an n X n asymptotically stable matrix and g G R"'^^.

CO,
U. >(e/
F,g
+ A

€>- CO.
F,g

Figure 3.1: Parameterization of a linear time-invariant system. The parameterization

of the plant as a function of the known input/output description.

Proof
•^Generally, this form is called non-minimal realization, because the order of the states is 2n,
while the order of the transfer function is n.

27
 Consider Figure 3.1. The transfer function from u{s) to Vi and from yp to V2 are
given by
elisl - F)-^g Ox e i?"
el{sI-F)-'g 62 eR^.

The transfer function from the input u to the output yp can be expressed as

G,M = (Or(^/-^)-.),_,.(j_,)-.^^||^^ (3.3)

The parameter vectors 61 and 62 can be determined uniquely according to the coeffi-
cients of the known numerator {Zp{s)) and denominator polynomials {Rp{s)). Define
6 = [9j, ^ ^ ] ^ , it then follows that any Unear time-invariant plant can be parameterized
as shown in Equation (3.2). QED

Corollary 3.1.1. Given Zp{s) and Rp{s), the parameter vector 9 exists and is uniquely
determined.

Proof
From Theorem 3.1.1, Equation (3.3) can be restated as,

9l{sI-F)-'g _Zpis)Ms)

one sufficient condition of the existence of above equation is,

QTJ. _ ^p(^)
9jh = UJi(s) (3.4)
1-r T,2 9i Ms)
= —TT
LOi{s)

where LJI{S) is the characteristic polynomial of F, and (/)/ = {si - F)~ g.

A comparison of the polynomial coefficients on both sides of Equation (3.4) shows
that there are 2n hnear independent equations in 2n unknowns {9 G Z?^"''^). There-
fore, the parameter vector 9 exists and is uniquely determined. If Zp{s) has order less
than n - l , then some elements in 9i wiU be zero. QED

28
 In Narendra and Annaswamy [6], the same parameterization for LTI systems is
given. Here, the uniqueness of such parameterization is shown and an algorithm is
developed to relate the coefficients of the given transfer function and the parameter
vector 6. It is convenient to select the pair {F, g) to be in controllable canonical form
[6] to find the parameter vector 9.

3.1.1 Example
Given a transfer function model

kiS + /C2
Vj{s) = (3.5)
S^ + k2,S + /C4

Choose the pair (F, g) to be in controllable canonical form,

0 1
F = 9 = (3.6)
—ai —02

It follows that the characteristic polynomial of Ai,uJi, is given by.

LUi{s) = s^ + a2S + ai

and

By Equation (3.4),

ijOi{s) s^ + k^s + k4
1-9J
s UJi{s)

.w/(s).
(3.7)

kiS + /C2
01 s

29
Solving for 9j (the vector of parameters for model j) gives

9j = [k2,h,ai - ki,a2 - k^f. (3.8)

3.2 A Non-Minimal Identifier

Plant
U

i:i}^^^®r-p^-'Hi:z "i

A
->y
Figure 3.2: An adaptive identifier [6]. The parameter vectors 9i and ^2 are adapted
so that the output of the model is that of the plant.

It is assumed that the space of operating conditions is large such that there are
many possible operating states. If the plant is nonlinear, at each operating state, a
linear model can be obtained either by linearization of the nonhnear model at the
operating state or by a suitable identification technique using input/output data.
Therefore, at some operating state, the nonhnear plant can be represented by a hnear
model with a transfer function given by Equation (3.1) and a non-minimal reahzation
given by Equation (3.2).
The identifier has the same structure as the non-minimal realization given by
Equation (3.2) and repeated here for convenience,

cJi = FuJi -\- gu iui e i?"

L02 = F0J2 + gvp ^2 e i?"

yp = o'^uj

is shown in Figure 3.2. Define 9{t) = [9i ,§2 Y- It can be shown, by parameter

adaptation, that as hm 9{t) = 9 [6].

t—»oo

30
 It is understood that a parameterized representation of the plant and an adaptive
identifier can be developed. Any model, either non-adaptive or adaptive, can be
cast into a non-minimal state-space realization. This form is called a state-shared
model, because all the models share the same states, but each model has a different
measurement equation. From the procedure described in the previous section, it can
be concluded that the parameters of the state-shared model are uniquely determined
by the transfer functions of the input/output models. Note that any such realization
necessarily fulfills the requirement that yj be an asymptotically correct estimate of
yp, if the process model transfer function were Gj{s), i.e. y^ —> yp.

3.3 MIMO State-Shared Model

Since most practical systems are multivariable in character, extending the con-
cept of a state-shared model for MIMO systems is justifiable. The aim is to achieve
a non-minimal realization, such that all the models share the same state space rep-
resentation, and every model's parameters appear as the elements of a single matrix,
6 , in the measurement equation.

3.3.1 MIMO parameterized model

From Theorem 2.2.1 and Lemma 2.2.1, if the realizable MIMO transfer function
is given by Equation (2.9), it can be concluded that the degree of any entry in the
numerator N{s) is less than or equal to the degree of d{s). In particular, if there is no
forcing term in the measurement equation of the realization, the order of any entry
in the numerator will be strictly less than the order of d{s).

T h e o r e m 3.3.1. Any controllable and observable m-input m-output LTI system given

by
Yp{s) = His)U{s) = D-'{s)Nis)U{s) (3.9)

with D{s) = d{s)Im, where d{s), a polynomial of degree n, is input-output equivalent

31
to the LTI system described by the differential equations

ni = Fni + Gu QiG/?"'"^^
^2 = Fn2 + GYp ^2 e i?"'"^! (3.10)
Yp = Q'^n

by suitable choice of the parameter vector 0 G /?2nmxm j^f^^ p^j^.^.. (/r G) should be
controllable with F G i?"'"^"'" an asymptotically stable matrix and G G Rnmxm^

Remark 1: Theorem 3.3.1 means that there exists a parameter vector 0 such that
the transfer function of the state-space model, given in Equation (3.10), is equivalent
to H{s), given in Equation (3.9).
Remark 2: The value of 0 depends on the pair (F, G) and the coefficients of
H{s). Since [F, G) are under the influence of the designer, 0 is uniquely determined
based on the known H{s).
The proof of Theorem 3.3.1 is similar to that of Theorem 3.1.1. In the proof,
0 = [0f, 0 ^ ] ^ is defined with 0 i , 0 2 G /2""'X'". It should be noted that since
D{s) is diagonal with the same elements along the diagonal. In the parameter vector
02 G i?"'"*^™, there are only n elements to be identified; the others are zeros. There
are nrn^ elements in 0 i , the total number of parameters to be identified is n{m^ + 1).
This result can be verified by the SISO system. That is, when m = 1, the number of
parameters is 2n.
Following the same procedure of constructing an identifier for SISO systems, it
is not difficult to construct an adaptive identifier and analyze its stability and con-
vergence properties for a MIMO system. Thus, a MIMO state-shared model can be
developed for every non-adaptive or adaptive input/output model {Hj{S)),

Qi = FQi + GU n,e i?""^^

^2 = FQi + GYp f^2 G ^""^^ (3-11)
Y, = ejn j = i,--- ,N.

32
 3.4 State-Shared Model Structure for MIMO System
The selection of a suitable pair {F, G) is important to permit the state-shared
model to have desirable properties and to make it easy to relate the parameters of
the state-shared model with the transfer function of every linear model.
In the development, a selection of the pair (F, G) is proposed. Assume the hnear
MIMO input/output model has m inputs and m outputs with the transfer function
form as shown in Equation (2.9). Let F be in controllable canonical form.

0 1 0 •• 0
0 0 1 •• 0
-ai -a2 - a s •• • -dn
0 1 0 •• • 0 (3.12)
0 0 1 •• 0
-ai -02 -as •• • -a„
nmxnm

where the ai,i = 1, •• • , n are selected such that the roots of s" + a„s"~^-| \-a2S-\-a1
are all in the left half plane of the complex plane.
Let G be in the form.

0
0

0
0
(3.13)

J nmxm

so that $ / = {si - py^G will be given by

33
 1
s

,n-l
1
s
1 (3.14)
s» + a„s"-i -I 1- a2S + ai

^n-lj

To solve the parameter vector, let

N{s)
0'f $/ = ^i{s)
D{s) (3.15)
7-©[$/ =
i2/(s)
^ / ( s ) = det(s/ - F ) = s" + a„5"-i + • + a2S + ai

34
It then follows that N{s) and D{s) are given by.

2n
-1)+1)
Y^kus'-' Y. fci.^'"*"^'' Y /ti.is'-^"*™-^
1=1 i=n+l i=n(m—1)+1
n 2n nm
Yk2,S^-' ^ / C 2^2,iS
.^'-("+^) Y /t2,,s'-W"^-''+'^
N{s) =
1=1 i=n(m—1)+1

2n
j_(„(ru-l)+l)
/ ^ ^m,i^ / J ^m^i^ 2^ A;„
i=\ =n+l t=n(m—1)+1

i=l
n

0
D{s)
(=1

s" + 5^diS^-i
i=l

respectively. If 0 i and 02 have following forms, respectively

^1,1 ^1,2 "^l,nm

fll
^2,1 ^2,2 "2,nm
ef =
/il
^m,l ^rr
m,2

01
0 ^?
©i^^

0? ••• 01
-I Tnxnm

35
then from Equation (3.15), the parameter values are given by,

Olj = Kj ^ = 1, • • • , m; j = 1, • • • , nm
'•' "" ' ' '^ "' ' (3.16)
9f = Oi — di i = 1 • , n.

3.5 Model Reduction Technologies

In general, a high-order system results in a high-order controller, and high-order

controllers increase the hardware quantity and complexity for hardwired controUers.
This translates directly to increased cost. For digital control, high-order controUers
increase the computational burden and hence the speed of the required processor.
Therefore, it is desirable to use low-order controllers whenever possible. One means
of reducing the order of the controller is to generate a reduced-order approximation
of the plant before designing the controller [39, 66].
Reduced-order approximation of the plant dynamics is not an uncommon engi-
neering practice. In general, mathematical models are reduced-order approximations
of the true system generated by ignoring minor effects during modeling. Clearly, the
number of parameters to be adapted affects the computational burden.
From the previous section, it is shown that the order of the state-shared model for
a MIMO system is n{m'^ + 1). The input/output number, m, cannot be changed. To
reduce the order of the state-shared model, the order of d{s) (n) must be reduced. The
state-shared model is then constructed based on the reduced-order models. There are
several methods that lead to a reduction in the model order [14, 39, 66, 67, 68, 69,
70, 71].
As early as 1987, Beebe and Kowalski [72] discussed to use multivariate methods,
such as multiple linear regression (MLR), principal component analysis (PCA) and
partial least squares (PLS) to extract the fuU complement of useful information from
all of the data. Piovoso, Kosanovich and Yuk used PCA and PLS to compare large
volumes of industrial fiber processing data [70]. Piovoso and Kosanovich showed
how to develop a controUer using multivariable statistics techniques [73]. Another

36
approach is to use proper orthogonal decomposition and singular value decomposition
[39]. Related papers includes Kaspar and Ray [74], Dong and McAvoy [75], and
Kosanovich et al. [76].

3.5.1 Balanced Truncation

Balanced truncation is based on the use of a special state-space reahzation the

balanced realization. A balanced reahzation exists whenever the system is stable and
minimal [14, 68, 67]. Burl [14] provides a procedure to find the similarity transfor-
mation such that a balanced reahzation can be obtained. This procedure is reviewed
below.

Definition 3.5.1. (Balanced realizationj/.Z.<^y The n^^ full-order LTI system given
by
X = Ax + Bu
(3.17)
y = Cx

is internally balanced if the controllability (Wc) and observability (Wo) gramians are
the same and diagonal, i.e.,

/•oo
Wc = / e^'BB^e^^'dt
Jo
Wo= J e^^'CC^e^^'dt
Jo
Wc = Wo = ^

and
ai 0

0 (T2
E = (3.18)

0 0

The diagonal elements are real, positive, and ordered from largest to smallest (as a
matter of convention). The notation a is used for these elements, since Oi {i =

37
1, • • • , n) are the singular values of both gramians.

It can be shown that although the balanced reahzation is not strictly unique, the
subspace of the state space associated with each singular value in Equation (3.18)
is invariant for all balanced realizations [68]. Therefore, the reduced-order model,
generated by truncating the states of a balanced realization associated with a given
set of singular values.

Balanced truncation eliminates those states in the balanced realization with the
smallest elements in the gramians. Let the balanced realization be partitioned as
follows.
AR A12 BR
XR{t) Xl
+ u{t)
X2{t) X2
A21 A22 B2 (3.19)
•- -•
-' -
Xl
y{t) CR C2
X2

where XR E R'^, X2 E .R""*^, and k is the order of the reduced-order model. Balanced
truncation always yields a stable reduced-order model provided the full-order model
is stable and minimal. Burl [14] provides the following bound on the infinity-norm of
the approximation error that results from the balanced truncation.

llA(s)|]oo = \\GR{S) - G{s)\\oo < 2(cTfc+i + ak+2 + • • • + a „ ) (3.20)

where GR{S) and G{s) are the transfer functions of the reduced-order system and the
full-order system, respectively.

Definition 3.5.2. [68] The l}^ reduced-order system {AR, BR, CR) is an internally
dominant subsystem of the n*'^ full-order system {A, B, C) if and only if in some
coordinate system, the full-order model can be partitioned as in Equation (3.19), such
that
]|Efcl|f »l|E„_fc||f (3.21)

38
 The Frobenius norm [68] is denoted by ]] • \\F and E^ and S„_fc are defined as,

0-1 0 0 CTfc+l 0

0 as 0 0 Crfc+2
S, = En-fc =

0 0 0 0 a„

Define the Relative Error (Re) by

E-.^
\ i=k+l
Re = (3.22)

\E-.=
\ t=i

Then, by Definition 3.5.2, it can be shown that for all e > 0, there exists a fc < n,
such that
Re < e.

It can be said that the reduced-order system captures (1 — e)100% of the full-order
system when the reduced-order system has order of k. This imphes that if the order
of the reduced-order system is at least k the reduced-order model is acceptable. There
are other definitions of the relative error ([68]).
At known operating states, assume that multiple full-order (n'''-order) linear mod-
els are identified. By means of a state similarity transformation, a balanced realization
can be obtained at each operating point. For a given e > 0, a positive integer k < n
can be found such that for every reduced-order model at every known operating point
with order k, the relative error will bounded by e.

39
 3.6 Two Examples
3.6.1 Chemical reactor system

The following examples are taken from [62]. The chemical reaction (CR) system,
given by [77] (see Figure 3.3), consists of a continuous-stirred tank reactor in which
a single, isothermal, irreversible reaction occurs in the vapor phase,

A{g) + C{g)^D{l).

Components A and C are non-condensibles gases and component D, the product, is

a non-volatile hquid. Feed 1 (Fi) contains components A and C and trace amounts
of component, B, which is an inert. Feed 2 (F2) contains pure component A and is
used to compensate for disturbances in the A/C ratio in Feed 1. The solubilities of
components A,B, and C are negligible. Thus, the reactor vapor consists of compo-
nents A, B, and C, and the reactor liquid is pure component D. The reaction rate
depends on the partial pressures of components A and C only.
All the flow rates can be manipulated. The product rate, F4, is adjusted by a
proportional feedback controller in response to variations in the liquid inventory (Vj,).
Measured outputs include the flow rates of the four streams, the reactor pressure (P),
the liquid volume, and the mol% of A (y^a), B {yss), and C (yes) in the purge stream
(F3). The composition are determined by chromatography, which operates on a six
minute cycle. Between samples, the compositions are assumed constant.
There are safety and production constraints. The reactor pressure must be main-
tained below the shutdown limit of 3000 kPa, the valve ranges are 0-100%, and flow
rates Fi and F2 cannot be larger than their maximum values of 330.46 kmol/h and
22.46 kmol/h, respectively.
The ideal gas law is assumed to be valid and the liquid density {pi) is constant
(there is only one liquid component). All components are well-mixed in the gas phase,
this means the component mole fraction in the purge stream is the same as that in
the vapor phase of the reactor.

40
 -S-^i 1^^ £ •

Figure 3.3: Two-phase chemical reactor system. The simplified schematic shows the
major input and output streams and the control points.

The component balances are given by.

dN^
= yAiFi + F2 F3 -ro
dt N,
dNe N^
N3 F.
= ysi-f'i
dt
dNc Nc
= yci^i F-i-ro
dt ""^" ' N3
dVL ^

and
c
N, = E'[=AN,
ik i = A,B,C k = \,.
(3.23)
TD = hp'^Pc

Pi = n •" i, j = A,B,C

NRT

Fi = {Xi + U4)Cy4VP - Pr
u^ = K,{vi - ^p^im%)
ViL,max

41
where r ^ is the production rate (kmol/h), iV, is the number of moles of component
i (kmol), yij is the mole fraction of component i in stream j , Fi is the molar rate of
stream i (kmol h^^), p, is the partial pressure (kPa) of i, Vy is the vapor volume (m^),
and U4 {%) is the control signal from a liquid inventory controller. Other definitions
and nominal values at two operating states (OPI and OPII) can be found in Tables
3.1 and 3.2.

Table 3.1: Chemical reactor parameters.

Variable Definition Value
PL Liquid density 8.3 kmol/m^
/CQ Frequency factor 0.00117 kmol/h • kPa-i-6
Vl, V2; Kinetic rate parameters 1.2, 0,4
Fi,max Feed 1 max 330.46 kmol/h
F2,max Feed 2 max 22.46 kmol/h
Cv3 Valve 3 constant 3.52 X lO-^kmol/h- kPa-°-^
Cvi Valve 4 constant 4.17X lO-^kmol/h- kPa-°-^
V Max reactor volume 122 m^
Vh^max Max hquid level 30 m^
Kc Level controller gain -1.4
Pr Reference pressure 100 kPa

Table 3.2: Chemical reactor nominal values.

Variable Definition OPI OPII
Xl Valve 1 60.95% 78.46%
X2 Valve 2 25.02% 47.68%
X3 Valve 3 39.25% 56.17%
X4 Valve 4 44.17% 59.41%
Fi Feed 1 rate 201.43 kmol/h 259.28 kmol/h
F2 Feed 2 rate 5.62 kmol/h 10.72 kmol/h
F3 Purge rate 7.05 kmol/h 10.37 kmol/h
FA Production rate lOOkmol/h 130 kmol/h
P Reaction pressure 2700 kPa 2850 kPa
VI Setpoint of liquid level 44.18% of max 44.18% of max
VL Liquid level 13.254 m^ 15.907 m^
yA3 Mole fraction of A in purge 47.00 mol % 63.40 mol %
yB3 Mole fraction of B in purge 14.29 mol % 12.02 mol %

For economic and safety considerations, three variables must be controlled: pro-
duction rate (F4), the mol% of A in the purge stream (y.43), and pressure (F). Gun-

42
dala and Hoo [21] and Ricker [77] have studied the control of this system.

3.6.1.1 Modeling

The reaction system is a 3-input 3-output nonlinear MIMO system in the compact
form,

Xp J\Xpi ^p) ap)

yp = g{xp, Up)

where Xp G /?" are the states, yp G R^ are the measured outputs, Up G R^ are the
manipulated variables, and dp G R^ are the disturbances.

3.6.1.2 Full-order model

Linearization at the known operating states (see Table 3.1), yields a linear model
in the form,
X — Ax + Bu
y = Cx (3.24)

x = Xp- x y = y p - Vp u = Up- u
where x, yp and u are the steady state values of Xp, yp and Up, respectively; A is the
Jacobian (V^p/) with respect to the states; B is the Jacobian {S/upf) with respect to
the manipulated variables; and C is found from the linearization of the measurement
equation with respect to the states. The full-order linear model evaluated at OPI is
given by

-2.7361 0.0350 -1.0565 -1.4713 0.4850 1.0000 -0.4700

0.0106 -0.0638 0.0106 0 0.0050 0 -0.1429
A = B =
-2.6679 0.0288 -1.1371 -1.4713 0.5100 0 -0.3871
0.2588 -0.0661 0.0654 -1.0758 0 0 0
28.5171 28.5171 28.5171 24.8288
C = 0.5598 -0.4964 -0.4964 0
0.5484 0.5484 0.5484 10.4002

43
At the conditions of OPII, the linearized model evaluates to.

-2.5795 0.0697 -2.0710 -1.9605 0.4850 1.0000 -0.6298

0.0134 -0.0973 0.0134 0 0.0050 0 -0.1212
A= B =
-2.5110 0.0276 -2.2238 -1.9605 0.5100 0 -0.2490
0.2227 -0.0832 0.1748 -1.0702 0 0 0
29.2302 29.2302 29.2302 26.8816
C = 0.3794 -0.6455 -0.6455 0
0.6902 0.6902 0.6902 10.8433

The eigenvalues of A at OPI and OPII are (-3.6077, -1.2647, -0.0745, -0.0659), and
(-4.4591, -1.3009, -0.1107, -0.1001), respectively. Observe that aU the eigenvalues are
real and negative, which means that A is asymptotically stable. It is not difficult to
show that the linear systems at either OPI or OPII are state controllable and observ-
able (the rank of the controllability and observability matrices is 4), implying that
the nonlinear system at these operating states is at least locally stable at both OPI
and OPII [37]. It also can be shown that the linear systems are output controllable
[9] at both OPI and OPII.

3.6.1.3 Reduced-order model

A 2-state, 3-input 3-output reduced-order model corresponding to the 4-state,
3-input 3-output full-order hnear model (Equation (3.24)) in the form,

^ = A^ + Bu
(3.25)
y = c^

can be obtained at OPI (see section 3.5) where

-0.0564 0.2618 0.4062 -3.0471 -1.1310

A = B^
-0.1330 -3.6939 -3.7278 -5.2885 3.4003

44
 3.2755 -7.3066

c= -0.1357 -0.0391
-0.0114 -0.2008

The relative error, defined by Equation (3.22), for this reduced-order model, is 7.7 x
10~^ Similarly, the reduced-order model at OPII is

-0.1390 0.7818 0.8353 -0.5345 -2.0316

A = B =
0.2162 -4.4344 -3.9209 -4.4072 3.5664

2.2572 -6.8873
C = -0.1252 -0.1170
0.0187 -0.2578

To compare the full-order model, the reduced-order model, and the nonlinear
system in a neighborhood of the nominal point, random input disturbance signals are
introduced to each representation. The disturbances are zero mean with standard
deviations that are 3% of their corresponding nominal values.
Figure 3.4 compares the pressure (F) responses obtained from the nonlinear chem-
ical reactor system (solid line + o) and the reduced-order linear model (dashed hne +
D) in the neighborhood of OPI. The response curves are nearly identical. Similarly,
in Figure 3.5, the pressure responses obtained from the full-order Unear model (soUd
line+A) and the reduced-order Unear model (dashed hne+D). The same conclusion
can be reached.
Figures 3.6-3.7 compares the amount of A in the purge stream determined by the
nonlinear system, the reduced-order linear model, and the full-order linear model.
From the results, it is observed that the response of the reduced-order system shows

45
 2650.
2 4 6 8 10
Time [h]

Figure 3.4: Pressure response of the chemical reactor system. Nonlinear system (solid
line+o) and the reduced-order Unear model (dashed line+D) in the neighborhood of
OPI. The curves are nearly indistinguishable.

46
 4 6
Time [h]

Figure 3.5: Pressure response of the chemical reactor system. Full-order Unear model
(soUd line+A) and the reduced-order linear model (dashed line+D) in the neighbor-
hood of OPI. The curves are nearly indistinguishable.

47
 47.25

47.2

47.15

° 47 1
o
0 47.05
i_

Q.
C
<

46.95

46.9

46.85.
10
Time [h]

Figure 3.6: Component A in the purge stream of the chemical reactor system. Non-
hnear system (solid line+o) and the reduced-order Unear model (dashed line+D) in
the neighborhood of OPI.

48
 1
47.25
i
47.2 i f''\
;'• ?

47.15 '•. .'• :

; J
.—. .- ;
^ 47 1 • 'i '
j; /
E^ :;: i
<B 47.05 /±

Q.
ly
Jr ^ wln^
•E 47 'i • /^ i
< 1 ".
,: i '\ '\ '•:
'ti
'i ^i \
46.95

46.9
1 1 1
— f e
46.85_
4 6 10
Time [h]

Figure 3.7: Component A in the purge stream of the chemical reactor system. Full-
order linear model (solid line+A) and the reduced-order linear model (dashed line+D)
in the neighborhood of OPI.

49
 101.5

-,100.5

E
0)
.*—'
TO

••= 99.5

98.5

4 6 10
Time [h]

Figure 3.8: Production rate of the chemical reactor system. Nonlinear chemical
reactor system (solid line+o) and the reduced-order linear model (dashed line+D) in
the neighborhood of OPI.

50
 101.5

101
j J

„100.5
;s / i f ' i
/u
"5 ii 1
f
E
100
1
R f l f ; im a ; }.

1 99.5
^Ii ^ir W Uft;:
1 '
s

3 c
o vl ^
•^ 99 \'l
98.5

98.
4 6 10
Time [h]

Figure 3.9: Production rate of the chemical reactor system. Full-order linear model
(solid Une+A) and the reduced-order hnear model (dashed Une+D) in the neighbor-
hood of OPI.

51
some error. However, the increments on the y-axis are smaU, thus, the errors are
small. Figures 3 . 8 - 3 . 9 compare the production rate as calculated by the nonlinear
system, the reduced-order hnear model, and full-order linear model. These results
show that the responses of the reduced-order model appear to be in good agreement
when compared with the responses of nonlinear model and full-order linear model.
To quantify the error between among these responses, the concept of average
relative errors (ARe) is introduced. The ARe of the j ^ ' ' measurement is given by,

y^>yp{hj)-yp{j)-y{i,j),

ARe(,) = ^ ' - ^ (3.26)

Here, k represents the number of sample points, yp{i, j) is the j " " output of the
nonlinear system at sample point i, yp{j) is the /'* nominal value of the nonhnear
model, and y{i, j) is tUe j ^ ^ estimate of the reduced-order system at sample point i.
The ARes are listed in Table 3.3 for 1200 sample points.

Table 3.3: Average Relative Errors (%) of the chemical reaction system.
OPI OPII
P yA3 ^4 P yA3 Fi
NL-FL 0.001 0.001 0.002 0.002 0.004 0.025
FL-RE 0.003 0.086 0.270 0.000 0.016 0.010
NL-RE 0.004 0.086 0.270 0.002 0.017 0.022

NL: nonhnear system, FL: full-order linear model, RE: reduced-order Unear model

It can be concluded that the reduced-order model is a satisfactory approximation

of the full linear model and the nonlinear system with very smaU ARes. From these

52
 2850

2800

2750
to
Q.

2700

2650

2600

2550
4 6 10
Time[h]

Figure 3.10: Pressure response of the chemical reactor system. Nonlinear system
(solid line+o), full-order linear model (dotted line + D), and the reduced-order linear
model (dashed Une+A) in the neighborhood of OPII. The curves are nearly indistin-
guishable.

53
 47.6

47.4

47.2

^_
3
Q. 46.8

46.6

46.4

46.2
Time [h]

Figure 3.11: Component A in the purge stream of the chemical reactor system. Non-
hnear system (sohd hne+o), fuU-order Unear model (dotted Une + D), and reduced-
order linear model (dashed hne+A) in the neighborhood of OPII.

54
 Time [h]

Figure 3.12: Production rate of the chemical reactor system. Nonlinear system (solid
line+o), full-order linear model (dotted line + D), and reduced-order Unear model
(dashed line+A) in the neighborhood of OPII.

55
figures, it can also be observed that the response of full-order linear model is almost
the same as those of the nonlinear model, which means that the full-order Unear model
fits the nonlinear system very well. Similar results for P, y^s, and F4 are shown in
Figures 3.10 to 3.12 for OPII.

3.6.1.4 MIMO Reduced-Order State-Shared Model

Assume that at any point in the operating space, the nonlinear system can be
approximated by a reduced-order linear model of order two, but each model may be
different at each operating state. The aim of the state-shared model structure is to
represent all the linear models by one state-shared framework. Their measurement
equations represent their differences.
Following section 3.4, for a 3-input 3-output system with upper bound of McMil-
lian degree 2 , the state-shared model will have order nm = 6, with n{m'^ + 1) = 20
adaptable parameters. Let

0 1 0
F, Gj = j = 1,2,3
-ai -0.2 1

with ai = 02 = 1 such that the pair (F, G) are controllable. It then follows that.

Fi 0 0 Gi 0 0
F = 0 F2 0 G 0 G2 0
0 0 F3 0 0 G3
6x6 J 6x3

Given N{s) and D{s), the measurement equation parameters can be calculated

56
based on Equation (3.16). For this system, this calculation gives.

3.6485 28.5550 -42.1661 28.6499 -13.2494 -28.5527

T _
Qi -0.0609 0.0907 1.7114 0.6208 0.4322 0.0203
0.0471 0.7440 0.1222 1.0969 -0.0314 -0.6705

0.7569 -2.7482 0 0 0 0
Ql = 0 0 0.7569 -2.7482 0 0
0 0 0 0 0.7569 -2.7482

Figures 3.13 3.15 show that the state-shared model provides satisfactory approxi-
mation of the nonlinear system. In this simulation, the state-shared model is driven
by the noise-free nonlinear system's outputs and noise-free perturbations in the in-
puts. The ARes between the nonlinear system and the reduced-order state-shared
model for P, y^s and F4 are 0.079%, 0.097%, 0.290%, respectively. When compared
to the results (Figures 3.4 - 3.9) between the nonhnear system and the reduced-order
system, it can be concluded that the state-shared model satisfactorily represents the
full-order hnear, the reduced-order models and the nonhnear system..

57
 2650
4 6 10
Time [h]

Figure 3.13: Pressure responses of the chemical system. Nonlinear system (solid
line+o) and state-shared model (dashed line+D) in the neighborhood of the OPI.

58
 4 6
Time [h]

Figure 3.14: Component A in the purge stream of the chemical reactor system. Non-
linear system (sohd Une+o) and state-shared model (dashed hne+D) in the neigh-
borhood of OPI.

59
 101.5

4 6 10
Time [h]

Figure 3.15: Production rate of the chemical reactor system. Nonhnear system (soUd
Une+o) and state-shared model (dashed line+D) in the neighborhood of OPI.

60
3.6.2 Calcium control in cardiac myocytes

The following is taken from [62]. In studies on the physiology of the heart, it is
known that muscle cells use calcium (Ca) as a specific second messenger for muscle
contraction. The aim of the physiological control system is to drive calcium in the
cytoplasm to the physiological range {O.lpM ~ 0.2ij,M [78]) or to excite calcium in
the cytoplasm to a certain value to initiate muscle contraction. Different models of
calcium-induced calcium-release (CICR) mechanisms that regulate muscle contraction
have been proposed [79, 80]. In this work, the CICR model developed by Tang and
Othmer [10] is used.

Figure 3.16 shows the state transition diagram for independent Ca binding to
two regulatory sites on the ryanodine receptor (RyR). Here, R represents the bare

R :,=>- RC+

h 1-2 h I -2

l-^

Figure 3.16: Ryanodine receptor kinetics. This mechanism was proposed by [10].

Ryanodine receptor site, C denotes cytosolic Ca, and C~^{C~) denotes the Ca bound
to the positive (negative) regulatory site. It is assumed that the binding is indepen-
dent thus, Ca binds to the positive or negative site with the same kinetic constants,
irrespective of the state of the receptor. The notation RC'^ represents the (positive)
open state, RC~^C~ the closed state, and RC~ is another (negative) open state that
serves as a conservation condition for the receptors.

61
 Jl,m
CY T
p,m
RyRY
SR
Ca-
Jch ==3
Jp,SR I
Jl,SR
:SE:
Figure 3.17: Simplified schematic of the calcium fluxes in a cardiac myocyte [10]. Ca:
calcium, RyR: ryanodine receptors, SL: sarcolemma, SR: sacroplasmic reticulum, CY:
cytoplasm, J: calcium trigger, Jpj is a calcium pump and J(j is calcium leakage.

The dimensionless RyR kinetic model is given as.

dx p\
— l-iXp2 + l-2Xp4 — {li + l2)XpiX.p5
dt
dx p2
= -l-lXp2 + l-2Xp3 + {hXpi - l2Xp2)Xp5 (3.27)
dt
dXp3
= -{1-2 + l-l)Xp3 + (/2a;p2 + llXp4)Xp5
dt

where
Xpl — M _[FC+]
Xp2 =
[R]T [R]T

_ [RC+C-] ^ [RC-] _ , ^
Cp3
i=l

The total concentration of ryanodine receptors is denoted by [R]T and the Ca in the
cytoplasm (CY) by Xp^..
The equations describing the calcium balance among the SR, CY, and the external

62
environment (extracellular) of a cardiac myocyte (see Figure 3.17) are given by,

O'Xp^
~ ^ — VrJl^SR + Jl,m + VrJch - Jp,m - VrJp^SR + J

dx^_
^^ — 'Jp,SR - Jl,SR - Jch-

where Xp^ denote C a concentration in t h e sarcoplasmic reticulum (SR). T h e calcium

fluxes are given as,

CY to SR Jp^sR ^ ^
a^p5 + Pi
9ia^p5
C Y t o extracellular Jp
'p,m 2 1 9
x% + ql
Channel-mediated C a release J^h 1Xp2{xpe - Xp^)

Leakage from SR JI^SR gi{xp& - Xp^)

Leakage from extracellular Ji^ g2{Co — Xps).

The definition of the symbols can be found in Table 3.4.

Table 3.4: CICR model parameters.

Parameter Definition Value

k Binding rate 15s~V-'^^~^

/-I Dissociation rate 7.6s~^
h Binding rate 0.8s~V^~^
1-2 Dissociation rate 0.845"^
Co Extracellular Ca concentration 1450|UM
Pi Maximal rate of Ca in CY to SR pump 1.038 xlO^/xA/s"^
P2 Threshold concentration of C a in C Y t o S R p u m p 0.12/u7l/
q2 Threshold concentration of C a in C Y t o extracellular 0.06fiM
Vr Volume ratio of tUe S R volume to cytoplasmic volume 0.185
gi Leakage coefficient from S R 0.4s"^
g2 leakage coefficient from extracellular 1.063 x l O ^ ^ s " ^

T h e m a x i m a l r a t e of t h e p u m p on t h e sarcolemma m e m b r a n e (^i), t h e influx

trigger ( J ) , a n d t h e conductance of C a in t h e receptors (7) can b e adjusted by phar-

63
 Table 3.5: CICR model nominal values.
Variable Definition OPI[10] OPII

7 Conductance of Ca in receptors 80.Os"^

80.0S-1 70.0S-1
Ql Maximal rate of Ca in CY to 19 ixMs-^ 18.000 fiMs-'^
extracellular pump
Xpl Bare site fraction 0.7179 0.6809
a;p2 Positive site fraction 0.1762 0.1968
Xp3 Negative site fraction 0.0209 0.0274
:rp5 Ca concentration in CY 0.1244/xM 0.1464//M
Xpe Ca concentration in SR 37.2030MM 38.6162^71/

macologic means. TUus, tUey are selected as the manipulated variables.

Assuming that Xp2, Xp^, and Xpe can be measured, it foUows that the measurement

equation is given by,

0 10 0 0
y{t) = Cxp{t), C = 0 0 0 10
(3.29)
0 0 0 0 1
Xp(t) = [Xpl Xp2 Xp3 Xp5 XpQl .

Table 3.5 lists the states of the nonhnear system at two physiological operating con-

ditions (OPI, OPII).

3.6.2.1 Modeling
Similar to section 3.6.1.1, linearization at two known operating states yields two
linear models that can be shown to be stable. By checking the control gramians, it is
found that these two hnearized models are uncontrollable. One pole and one zero are
almost the same in the transfer functions at these two states. Further analysis shows
that the common zero/pole pair appears in the first three linear differential equations
and that this pair is in the left half plane of the complex plane. Minimal reahzation of
the linearized system (Equation (3.27) and (3.28)) leads to a fourth-order LTI model.
The minimal realizations of the system at OPI and OPII are given here. The minimal

64
reaUzations are stable based on eigenvalue analysis.
OPI

-850.34 -39.835 -17.428 -11.084 -0.6954 0.8573 1.0362

95.997 -0.6095 0.5498 0.0083 0.2331 -0.2874 -0.1304
A B =
-2600.4 -166.95 -107.13 -73.176 0.2787 -0.3436 3.3455
4418.7 270.12 165.95 112.57 0.2059 -0.2538 -5.6447

-0.5118 -0.5119 -0.5482 -0.4070

C = 0.8573 -0.2874 -0.3436 -0.2538
-0.0000 -0.0332 -0.5756 0.8170

The eigenvalues of A are (-841.32, -1.6876 ±2.4192j , -0.8245). The linear system at
OPI is stable.
OPII

-734.72 -98.685 -34.777 -0.9335 -0.7234 0.8449 1.3473

300.36 38.268 16.74 0.3894 0.3980 -0.4648 -0.5797
A = 5=
65.348 4.8839 -0.9049 -0.106 0.2262 -0.2642 -0.0996
4532.5 701.93 270.53 9.0539 0.0159 -0.0186 -8.6421

-0.5313 -0.7470 -0.3827 -0.0283

C 0.8449 -0.4648 -0.2642 -0.0186
-0.0000 -0.0187 -0.0373 0.9991

The eigenvalues of A are (-685.37, -1.0749 ±2.5178j, -0.7834 ). The linear system is
also stable at OPII.
Using the balanced truncation method, as described in section 3.5, the linear
models at OPI and OPII can be reduced to order two models with relative errors of
15.66% and 24.20%, respectively. Since the Re for OPII is 55% greater than that at

65
OPI, a model order of greater than two must be chosen. Order three models give
relative errors of 0.39%, and 0.44% at OPI and OPII, respectively. These reduced-
order models at OPI and OPII are given here.
OPI

-2.7313 2.4617 -0.3095 1.6619 -2.0488 0.3460

A = -2.3035 -1.3997 1.4117 B = 0.4878 -0.6014 0.5179
-0.1153 -1.3642 -0.0610 0.0391 -0.0481 0.1481

-0.0178 0.0429 -0.0133

C = -0.0233 0.0306 -0.0089
-2.6605 0.9301 -0.1598

The Re is 0.39% and the ARes associated with Xp2,Xp^, and Xp^ are 0.25%, 8.25%,
and 0.29%, respectively.
OPII

-2.2815 -2.7920 -0.5764 -1.6878 1.9712 -0.3652

A = 2.5684 -0.4254 -0.8941 B = 0.3540 -0.4134 0.6186
-0.4848 0.8839 -0.1979 -0.2238 0.2614 -0.2230

0.0154 0.0514 0.0170

C = 0.0262 0.0479 0.0166
2.6205 0.8209 0.4094

The Re is 0.44% and the ARes associated with Xp2,Xp^, and Xp^ are 0.95%, 10.38%,and
0.54%, respectively.
A state-shared model is constructed for the both third-order models. The upper
bound of the McMiUan degree of all the nominal models is 3. For a 3-input 3-output
system, the state-shared model will have order 2nm = 18 and 30 (n(m^+l)) adaptable

66
parameters. Let

0 1 0
Fj = 0 0 1 Gj- j = 1,2,3
-Ol -02 -aa

with ai = 1,02 = 2, and 03 = 3 such that the pair {F,G) are controUable. Then,

Fi 0 0 Ci 0 0
0 F2 0 G 0 G2 0
0 0 Fs 0 0 Gs
9x9 9x3

3.6.3 Model Validation

In a neighborhood of the nominal point (OPI), a random input disturbance signal

is introduced to the nonlinear system (Equations (3.27) and (3.28)) and the third-
order linear models. TUe disturbances are zero mean witU a standard deviation of
10% of their corresponding nominal values. Table 3.6 lists the ARes to vahdate the
various approximations to the original nonlinear system.
The ARe values between the fifth-order and forth-order models, after cancellation
of the pole/zero pair, is very small. The ARe values between the state-shared and
the third-order models (balanced truncation) that generated the state-shared model
indicate no significant difference. The ARe values between the 4th-order and the 3rd-
order models show the largest error in the calcium concentration in the cytoplasm.
The ARe values between the state-shared and nonlinear models and tUe 3rd-order and
nonlinear models indicate no significant differences. Hence, the state-shared model
provides an accurate, compact representation of the CICR system.
The responses of state-shared model and the nonhnear systems at OPI are shown
in Figures 3.18 to 3.20. From these figures, it is observed that the state-shared model
fits the nonlinear system satisfactorily for the positive site fraction (xp2) and the Ca
concentration in the SR {Xpe). However, there are large differences in the fit of the

67
 Table 3.6: Average Relative Errors (%) of the biological system
OPI OPII
Xp2 •3^p5 **^p6 Xp2 Xp5 •^p6

5L-4L 1.68 X 10-^ 1.87 X 10-^ 3.18 X 10-9 2.076x10-9 1.874x10-^ 3.225x10-9
SS-RE 2.52 X 10-2 3.46 X 10-2 1.51 X 10-2 3.311x10-2 4.641x10-2 0.015
4L-RE 0.26 7.95 0.12 0.26 9.63 0.16
4L-NL 0.31 0.63 0.28 1.15 1.93 0.53
SS-NL 0.25 8.25 0.29 0.95 1.04 0.54
RE-NL 0.26 8.25 0.29 0.98 1.04 0.54

5L: 5th-order linear model, 4L: 4th-order minimal realization model, NL: nonlinear
system, RE: 3rd-order model, SS: state-shared model

Ca concentration in the cytosol {Xp^) between the nonhnear system and the state-
shared model. The response of the state-shared model appears to be an average of
the nonlinear system's response.

68
 0.195

Solid line: nonlinear system

Dashed line: state-shared model

c 0.185

0.165
0.5 1 1.5
Time [s]

Figure 3.18: Positive site fraction. Responses of the nonlinear system (sohd hne+o)
and state-shared model (dashed line+D) based on a 3rd-order models in the neigh-
borhood of OPI.

69
 Solid line: nonlinear system
(B Dashed line: state-shared model

Time [s]

Figure 3.19: Calcium concentration in the cytosol. Responses of the nonhnear system
(soUd Une+o) and state-shared (dashed hne+D) models based on 3rd-order models
in the neighborhood of OPI.

70
 39
Solid line: nonlinear system
Dashed line: state-shared model

Time [s]

Figure 3.20: Calcium concentration in the sacroplasmic reticulum. Responses of the

nonlinear system (solid Une+o) and state-shared (dashed line+D) models based on
3rd-order models in the neighborhood of OPI.

71
 3.7 Summary

In this work, methods to construct state-shared models for single-input single-

output and multiple-input multiple-output systems are developed and their properties
are proven and analyzed. This approach can represent the plant in such a fashion that
all the unknown parameters of the plant appear as the elements of a single matrix
in the measurement equation of the state-shared model. A solution of the parameter
vector is obtained when the transfer function (input/output) is known. Existence and
uniqueness of the parameterization and convergence of the parameter adaptation are
proven. Two multiple-input multiple-output systems were used to demonstrate the
concept of the state-shared model.
The compact representation is useful for systems that can operate at multiple
stable operating points. Such systems are prevalent in the chemical industries where
multiple grades of a product are made in the same equipment. The state-shared model
can be used in a model-based/predictive framework that finds the optimal control
actions as the systems transitions from one operating point to the next [16, 61, 62].

72
 3.8 Nomenclature
ARe Average relative error
BR Biological reactor
CR Chemical reactor
deg Degree
FL Full-order linear model
LTI Linear time-invariant
MFD Matrix fraction description
MIMO Multiple-input multiple-output
MLR Multiple linear regression
NL Nonlinear system
PCA Principal component analysis
PLS Partial least squares
Re Relative error
RE Reduced-order linear model
SISO Single-input single-output
SS State space
5L FiftU-order linear model
4L Forth-order linear model

73
 CHAPTER 4
MODEL ADAPTATION AND SWITCHING
In Chapter 3, the concept of a state-shared model was proposed. All fixed (non-
minimal realization) and adaptive models (non-minimal identifer) shared one state-
space representation but each model at a known operating region has its own unique
input/output or measurement equation. In this chapter, the method to adapt the
parameter vector will be presented. In particular, convergence of the method is
addressed. A performance function is also introduced. Its value determines which
measurement equation best represents the current operating condition at each sample
time. For any arbitrary switching sequence, provided that the intervals between
successive switching have a nonzero lower bound which can be chosen arbitrarily
small, the overall system will be globally stable [12].

4.1 Multiple Model Approach

The rationale for using multiple models is to ensure that there is at least one
model with outputs sufficiently close to those of the unknown plant when both the
model and the plant have the same inputs, and this model can be used to design a
controller to control the plant. The parameters of the models thus chosen may be
either fixed or adjusted. From a computational point of view, adaptive models are
inefficient because of the need to update their parameter vectors at every instant.
However, since fixed models can represent exactly only a finite number of operating
states, adaptive models are needed to improve the accuracy of the models.
Following [19], three types of adaptive models can be defined: a conventional
model that starts adapting from its initial parameter values; & free-running model that
starts from its current parameter values; and a re-initializable model that assumes
the parameter values of the fixed model that gives the smallest estimation error.
Whatever combination is selected, the adaptive models when combined with a stable
switching and parameter tuning strategy, should provide satisfactory estimation of
the plant outputs.

74
 Figure 4.1 shows the multiple models approach in the large operating space. The
advantage is that there is no assumption that fixed models cover all the operating
space. Thus, the number of the fixed models is reduced.

Operating space

Parameters adaptable

Dilferenl measurement Eqs

input U
output Yp

Reduce the number of

models to a manageable size

Figure 4.1: Illustration of the role of the state-shared model in the operating space.
The state-shared model replaces N (large) models. The state-shared model uses
the measured inputs and adaptation to represent the system anywhere in the large
operating space.

4.2 Parameter Adaptation

The tuning of the parameters must be done in a stable fashion. There are several
methods that can be used to adapt the model parameter vector, Qj. One method
is normalized least-squares approacU, anotUer is tUe normalized gradient approacU
[81]. In this work, a normaUzed least-squares for an m-input m-output system is
proposed. In Goodwin and Mayne [82], tUe normaUzed least-squares method was
given for single-input single-output (SISO) systems and claimed to have superior
convergence rate when compared to other comparable methods.
The normaUzed least-squares uses two parameters, the adaptive gain {g) and the
adaptive rate (7), to force convergence. The procedure is as follows:

75
Step 1: Initialize the covariance matrix, and parameters K,j,g > 0.

P(0) = KI K very large

Step 2: Obtain the states, uj, of the state-shared model.
Step 3: Calculate the error between the plant output and the output of each mea-
surement equation:

eJ - y p - y .

Step 4: Integrate the following:

1 + 70;-' P[t)u)

1 + 7W-' P{t)u
(4.1)
/J- u-^ P{t)ujem
Om{t) = -9-7- rp... ^,7 > 0
1 + 70;-' P(i)a;

until the parameter errors are smaller than some user-specified e.

^ei,,{k) ^ Oi^j{k) - 9i^j{k - I) < e, i = l,...,2nm, j = l,. ,m
From Equation (4.1), P{t) < 0, implies that P{t) may become arbitrarily small, thus,
adaptation of the parameters will be very slow. To prevent this, P{t) is reset to
KI whenever the minimum eigenvalue of P{t) {Xmin{P)) decreases below a specified
threshold.
In the multiple-input multiple-output (MIMO) case, let the model-plant mismatch
for model j be given by Yj =Yj-Yp {Yj = [ei, 62, • • • , CmZixi)- R can be shown that
if limt^oo Yj{t) = 0 tUen limj^oo @j{t) = © where 0^ = [9i,92,--- , 9m]2nmxm-

4.3 Parameter Convergence Analysis

For both SISO and MIMO systems, parameter convergence of the proposed non-
minimal identifier can be guaranteed. For convenience, the analysis is shown for SISO

76
systems. However, the statements hold for MIMO systems.

L e m m a 4.3.1. (Barbdlat's Lemma) If f : R+ ^ R is uniformly continuous, and if

the limit of the integral given by

t
lim / l/(r)M
\f{T)\dT < oo
'Jo

exists and is finite, then

lim f{t) = 0
t—•oo

The proof can be found in loannou and Sun [83] (page 76), and Narendra and
Annaswamy [6] (page 85 ).

Proposition 4.3.1. If g e C°° and g e C°°, then g^ is uniformly continuous.

Proof
Choose f{t) = g'^{t). Since g e C°°, for aU ti, ^2 S -R"*", there exists an Mi > 0, such
that
lim MfilLllM < M,
tl-*t2 \tl — ^2]

Hence, [5(^1) — 5(^2)! < Mi\ti — ^2!- Since g G £°°, for each t G P"*", there exists an
M2 > 0, such that g{t) < M2. Choose M = 2M1M2. Therefore, for aU ti, ^2 e -R"*",

1/(^1) - f{t2)\ = \g'{ti) - g'{t2)\ = \g'{ti) - g{ti)g{t2) + 5(^1)5(^2) - ^'(^2)1

< ly(ii)l|^(ii) - 5(^2)1 + 15(^2)115(^1) - 5(^2)1

\f{ti)-f{t2)\ < 2M2\g{ti) - g{t2)\ < 2MiM2\ti - t2\ = M\U - t2\

If e is given, let 6 = e/M. Then for any e > 0, there exists a 6 (depends only on e),
such that
1/(^1) - 7(^2)1 < e whenever \ti - ^2] < ^

Thus, f{t) and hence g'^{t) are uniformly continuous. QED

77
Corollary 4.3.1. If g e C^ n C^, and g G £°°, then lim g{t) = 0
t—*oo

Proof

Choose f{t) = g\t). By Proposition 4.3.1, f{t) is uniformly continuous. On the

other hand, lim / f{T)dT < oo because g G C^. By Lemma 4.3.1, lim f{t) = 0, and
therefore

lim g{t) = 0
t—>oo

QED
Following [6], define (f> = 9 - 9 and e = yp - yp. Then,

e = ^"^w - 9^uj = (jf^uj (4.2)

Following [6], select the adaptive law to be,

0 = -e^uj = -uJ^(t)u) (4.3)

Consider the following positive definite function defined by,

V = ]^ciFct> > 0

and whose time derivative is given by,

V =-{(P'^Lo)^ (4.4)

If u G C°°, then yp is bounded. This in turn implies a; and 9 are bounded (c/Equation
(3.2)). Similarly, yp and 9 are bounded Uence, (f) and e are bounded, and

V = -(0^c:;)2 = -e^t) <0 (4.5)

TUe function V is monotonic and non-increasing and bounded above by V{0). Hence,
\\(f){t)\\ is monotonic and non-increasing and bounded by ]]0(O)||. It follows from

78
Equation (4.3) that ^{t) is bounded.

Integrating Equation (4.5) shows that / e'^{T)dT is bounded by 1^(0) implying

Jo
that e G £ . It is not difficult to show that (p and u are bounded, hence e is bounded.
By Corollary 4.3.1,

lim e(^) = 0
t—>oo

Further, if the input is persistently exciting [6, 83], then hm 9{t) = 9. Thus, the
i—»oo

parameter vector converges.

4.4 Model Switching

The switching scheme consists of monitoring a performance index, Jj{t), based
on the estimation error Yj for each of the models. The performance index may have
many admissible forms [12, 2]. Let

Jj{t) = n\\Yjf + u [ \\Yj\\^{T)dT, /i, ^ > 0 (4.6)

0

where /J, and v are design parameters. The criterion in this equation incorporates
both instantaneous and long-term measures of accuracy. The parameters p, and v
can be chosen to yield the desired tradeoff between these two extremes.
The adaptive laws given in Equation (4.1) indicate how the parameters are to
be adjusted, but they do not determine the sequence of feedback controllers. With
regards to stability, the overall system wiU be globally stable for any arbitrary switch-
ing sequence, provided that the intervals between successive switching have a nonzero
lower bound, which can be chosen arbitrarily small. Detailed proof of tUis claim can
be found in [12].
Fixed models togetUer witU stable switcUing provide the desired speed, while adap-
tive models and parameter tuning provide the desired accuracy. The state-shared
model structure prevents abrupt switching among models because the last state of
the previous model is the initial state of the next model.

79
 4.5 Nomenclature
MIMO Multiple-input multiple-output
SISO Single-input single-output

80
 CHAPTER 5
CONTROL METHODS
Many different control methods can be used to design effective controller for single-
input single-output (SISO) or multiple-input multiple-output (MIMO) continuous
systems. Two control synthesis methods relevant to a multiple model or state-shared
model will be addressed in this chapter. These are model reference adaptive con-
trol (MRAC) and the Hoo optimal control. A third, model-predictive control whose
solution is based on optimization methods, wiU be covered in Chapter 6.

5.1 Model Reference Adaptive Control

The following overview is taken from [6, 83, 84]. Adaptive control has its origins in
the 1950s in connection with the design of autopilots for high-performance aircrafts.
It is motivated by problems where the characteristics of the plant or the disturbance
varies with time over a wide range, and a fixed controller cannot ensure satisfactory
performance over the entire range. Intuitively, an adaptive controller is tUus a con-
troller that can modify its behavior in response to changes in the dynamics of the
process and the character of the disturbances.
Inspired by the biological implications of "adaptation," Drenick and Shahbender
[85] introduced the the concept of an "adaptive system" in 1957 to denote control
systems that could adapt to process variations by continuously adjusting their pa-
rameters in the direction of improved performance. This was followed in 1958 by the
"MIT Rule" of Whittaker and coworkers [86] and the self-optimizing control system
of Kalman [87]. In the early 1980s, proofs for stability of adaptive systems appeared
[88, 89, 90], although under very restrictive assumptions.
Two philosophically different approaches exist for the solution of the adaptive
control problem. In indirect control, the plant parameters are estimated on-line and
the control parameters are adjusted based on these estimates. In direct control, no
effect is made to identify the plant parameters but the control parameters are directly
adjusted to improve a performance index. There are four types of adaptive systems:

81
gain scheduling, model-reference adaptive control, self-tuning regulators, and dual
control. Here, model-reference adaptive control (MRAC) is discussed.

5.1.1 Description

The development of MRAC is presented for SISO system. The description of

MRAC is adopted from [6].

Let r{t) be a piecewise continuous and uniformly bounded input to a linear model
and ym{t) its output. The general form of the transfer function in the Laplace domain
is given by,

i f = " "<^) = ^-"1^ *">» (")

where s is the Laplace variable, Wm{s) is assumed to be rational, strictly proper ratio
of polynomials with gain k^, and Zm{s) a Hurwitz polynomial and Rm{s) and Zm{s)
are monic2 and coprime.^
The plant is assumed to be hnear and time-invariant and can be described by the
state space form given by

Xp = ApXp + bpU X G E " , uG

(5.2)
yp = h^Xp y G R'"

The elements of the dynamic matrix Ap and vectors bp and hp are not known. As
before, the transfer function of the plant can be found to be

Wp{s) = kp^^=h^{sl-Ap)bp kp^O (5.3)

where Wp{s) is strictly proper, kp is the gain which is non-zero, and Rp{s) and Zp{s)
are monic, coprime polynomials of degree n and m, respectively. The gain as well as
the (n + m) coefficients of the polynomials Zp{s) and Rp{s) are unknown.

^The roots of the polynomial lie in left half plane of the complex plane.
^The coefficient of the highest order term is 1.
•^There are no common terms between the polynomials.

82
 The standard MRAC problem is to determine a differentiator-free^ control input
u{-) such that all signals in the overall system are bounded and the feedback control
error defined by

^limec(0 ^yp{t)-ym{t)

converges to zero asymptotically [12].

The MRAC design can be represented by the block transfer function diagram
illustrated in Figure 5.1.

Figure 5.1: Block diagram of a model reference adaptive control strategy. This MRAC
design is based on a non-minimal observer system.

^This terms refers to a controller that does not take derivatives of measured signals. Derivatives
of noise measured signals gives rise to amplification in noise content of the signal.

83
 The controller can be represented by.

cJi = AuJi + iu uJi{t) G M " - I w G

Vl — 91^1 9i G M"-i t^i e
u)2 = Auj2 + iyp L02 G M"-^ yp e (5.4)

^2 = Ooyp + 9ju)2 92 G R " - i ^oS

U = Vi -\- V2

where A and £ are preferable in controUable canonical form.

0 ~
A = In-2 (5.5)
6
-Al -^n-l. (n-l)x(n-l) L-^J („_l)

The characteristic polynomial is found from det(s/ — A) = A(s) = s"--' + A„_is"'-2 +

. . . + Al. The pair (A,^) are chosen such that the system is asymptotically stable.
The parameter vector

Oi{t)
9{t)^ (5.6)
Oo{t)
02{t)

is adaptable. In the ideal case, the output of the reference model is the same as that
of the plant, and lim 9{t) = 9*{t).
t—»oo
Define

k
k* = ^ , Pl = l/k*, pl = -9l/k\ al = -9l/k\ a\ = -9*Jk*
tip
UJ = {u, uj{, yp, u)^ )

f ^ {dl, (if, al, aff

UJ = Wm{s) u.
0 /„
2nx2n

84
Then,

yp{t)=p*^uj{t). (5.7)

Equations (5.4) and (5.7) represent the main parts of MRAC. Convergent parameter
adaption and stable model switching methods have been discussed in Chapter 4.

5.1.2 Example

The following is taken from [91]. TUe continuous stirred-tank reactor (CSTR) is
an idealized reactor process in which mixing is assumed to be perfect. In this example,
a single exothermic chemical reaction occurs A ^ B [24, 92]. This system can be
described by the following set of mathematical equations,

— = -(l)Xi}C{x2) + q{xif - Xl)

-r- = (34>XilC{x2) - {q + S)x2 + 6u + qx2f

(5.8)
IC{X2) = exp ('x2/(l + ^))

y = x2

where the states Xi and X2 are the dimensionless concentration and reactor temper-
ature, respectively and u is the dimensionless jacket temperature. Only the reactor
temperature (y) is measured. The parameter definitions and some selected values are
given in Table 5.1.

Table 5.1: Exothermic CSTR parameter definition and values.

Parameter Value Definition
0 0.72 Damkohler number
7 20.0 Activation energy
P 8.0 Heat of reaction
6 0.3 Heat transfer coefficient
Q 1.0 Feed rate/reactor volume ratio
Xlf 1.0 Feed concentration
X2f 2.0 Initial reactor temperature

85
Figure 5.2: Steady-state profile for the exothermic CSTR. The profile shows that a
single input value can give rise to more than one output value (output multiplicities).

Figure 5.2 shows the steady-state input-output behavior of the CSTR system for
different values of the input u. Observe that for some values of the input u there
are three steady-state values of y. An eigenvalue analysis of the linearized system^
can be used to confirm tUat when there are three steady-states only two are (open-
loop) stable nodes. The third is a saddle point. Operating (steady) states at three
different operating conditions are listed in Table 5.2. The type of operating state is
characterized by an eigenvalue analysis of the linearized system.

Table 5.2: Operating steady states for the exothermic CSTR

Xl X2 u Type
OPI 0.8038 1.3000 0.4022 Stable
OPII 0.2028 5.0000 0.4079 Stable
OPIII 0.6927 2.0000 0.4728 Unstable

^The Taylor series expansion is applied. Only first-order terms are kept.

86
5.1.3 MRAC results

From the previous development of the MRAC method, an input/output model of

the plant must be developed. The linear time-invariant state space model found from
an application of the Taylor series expansion up to order one can be used to obtain an
input/output description in the form of a transfer function model (Laplace domain
representation). For the SISO CSTR example, the structure of the identified transfer
function is given by
ki{s + k2)
(5.9)
§2 + kss + ki
For each of the three operating states listed in Table 5.2 the parameter values asso-
ciated with Equation (5.9) are listed in the Table 5.3.

Table 5.3: Parameter values for the transfer function models of the CSTR
Parameters OPI OPII OPIII
ki 0.3000 0.3000 0.3000
k2 1.2440 4.9310 1.4437
k3 1.1605 2.1493 0.7121
ki 0.2337 2.3286 -0.1548

According to the MRAC method, a linear time invariant(LTI) system can be

defined with states {ujis{t), uj2s{t)] e K"~^ and driven by differentiator-free external
signals u{k) and yp(A;) (Equation (5.4)),

l^'ls A 0 ^^15 e 0 u
= +
^23 0 A UJ2s 0 i yp

87
Thus, (see Equation (5.6))

r{k) - r{k — 1)
T
^Is
UJ.,
yp{k) - yp{k -- 1 )
T

and

u{k) = u{k-l)+9^ujs.

The transfer function of a suitable reference model^ for the SISO CSTR is selected
to be
S+l
Wm{s) = (5.10)
s2 + 2s + 1 •

The input signal, r{t), is given by

1.3 + 0 . 0 1 sin(0.05i) 0 < t < 6

r{t) = { 1.3 + 0.167(^-6) 6 < t < 28.2 (5.11)

5 + 0.01sin(0.050 28.2 < i < 35

Note this signal is a piecewise continuous and uniformly bounded function. This
reference input allows the reference output y^ to transition from OPI (y = 1.3) to
OPII (y =5) on the dimensionless temperature scale as shown in Figure 5.3 (sohd
hne).
The multiple models are developed by hnearization of Equation (5.8) at the two
stable operating states (OPI and OPII), Mi and M2. Additionally, one free-running
adaptive model, M3, and one re-initializable model are also included in tUe set of
models, il/4. The parameters of the performance index function (see Equation (4.6))
are chosen to he /J, = 1 and z/ = 0.1. For parameter tuning, K = 10, 0 < y < 100 and
the threshold is set such that the smallest eigenvalue of P is greater than 1.
Figure 5.3 illustrates the closed-loop performance of the MRAC strategy as the
^The order of the reference model must be greater than or equal to the order of the plant.

88
 Table 5.4: CSTR models parameters for the MRAC strategy (OPI to OPII)
~" Model Type fci k2 k^ k^
Fixed Ml 0.3000 0.0732 0.8395 -0.0732
Fixed M2 0.3000 1.1793 -0.1493 -1.1793
FYee-running M3 0.2903 0.05388 1.3086 0.3740
Re-initialized M4 0.3000 1.1793 -0.1493 -1.1793

CSTR transitions from OPI to OPII. TUe reference trajectory is selected to be a

bounded ramp. TUe top panel shows that the dimensionless reactor temperature
response tracks the reference trajectory. The major offset seems to occur near the
unstable operating regime. The response appears to settle to the desired operating
set point after approximately 25 time units have elapsed from the start (i=6) of
the transition. The left panel shows fairly smooth control action. The right panel
shows that between 6 < i < 28 the switching strategy mainly selects between the two
adaptive models before settling on the re-initialized model.

It was expected that the final model selection should have been fixed model 2.
Table 5.4 shows that the parameters of the re-initiaUzed model appear to be tUe same
as tUat of fixed model 2. Thus, the choice of the re-initialized model over fixed model
2 by the performance function is attributed to the small differences in the numerical
values. Figure 5.4 shows that the parameters of the free-running model also converges.

89
 10 15 20 25 30 35 40 45
Dimensionless time

3.5

S 3

= 2.5

5 2 1: fixed modeil
2. fixed mode 2
1.5 3: free-running model
4; re-initialized model

0.5

15 20 25 30 15 20 25 30 35 40 45
Dimensionless lime Dimensionless time

Figure 5.3: Transition control of the CSTR using MRAC strategy. Top panel: The
temperature response of the CSTR tracks a bounded reference signal to achieve the
set point change from 1.3 to 5.0. Bottom left panel: Control action. Bottom right
panel: Model switching.

90
 10 15 20 25 30 35 40 10 15 20 25 30
Dimensionless lime Dimensionless lime

5 10 15 20 25 30 35 40 45 10 15 20 25 30 35 40 45
Dimensionless lime Dimensionless lime

Figure 5.4: Convergence of the CSTR free-running adaptive model's parameter values.
Clockwise from the top, k, 9Q, 9i, ^2-

91
 5.2 Hoo Optimal Control
The overview is taken from [14] and the results are taken from [16]. The H^o
control problem is to find a feedback controller that minimizes the closed-loop system
infinity norm, using the plant state and the disturbance [14]. Curiously, the ' / P in
the name of the controller comes from tUe classical feedback block diagram of tUe
controller block combined with the measurement block (see Figure 5.5). Let P{s)

u P y
4
' ^

Figure 5.5: Classical feedback block diagram with H: controller and P: plant.

be a matrix of stable transfer functions of the plant in the frequency domain. The
infinity norm of P{s) is defined as the maximum gain of P{s) over aU frequencies'^

|]P(s)lloo-supa(P(ju;))

where a{-) means the maximum singular value,^ JUJ {UJ G R) represents aU frequencies,
and sup means supremum.^ Consider tUe system described by the block diagram in
Figure 5.6. The block A(s), is used to establish robust stability while Ao(s) is used to
assure robust performance in the H^o method. These two types of uncertainties can
be put together in a single structured uncertainty block shown in the left panel of this
figure. The Hoo control method is to find a controller K{s), sucU tUat both robust
stability and robust performance are satisfied. This concept can be represented by
the left panel of Figure 5.7. If W2{s) and r{s), and u{s) and e{s) are combined and
into one vector, w{s), and d{s), respectively, then the block diagram shown the right
panel of Figure 5.7 results. The analysis of Hoo controller wiU start from this (right
^Since the Laplace variable, s, is a complex variable it can be represented in the frequency domain
by substitution s = JUJ, where uj is the frequency.
^Singular values of a matrix A are the positive square roots of the eigenvalues of A.
^Least upper bound.

92
 ^
A(S)
A(s) 0 A
w2(s^ 0 A„(s)
_u4s) A

rfs^ ^ P(S) ec(s)

w2(s)
' ^ urs)
~
r(s) P(s)
Ao(s) k e.(s)
w

Figure 5.6: Block diagram of the Hoo controller design. Left panel: Block P{s)
represents tUe plant, A(s) represents model uncertainty, and Ao(s) represents robust
performance. Right panel: Re-arrangment into structured uncertainty block.

panel) closed-loop representation.

Both P{s) and K{s) are complex, rational, and proper matrices of transfer func-
tions, and K{s) is constrained to provide internal stability. Denote the transfer func-
tion from w{s) to d{s) by T^i{P, K). In general, for a hnear fractional transformation
feedback connection [14],

r w ( P , K) = Pii + Pi2i^(/ - P22)-'P2l. (5.12)

For convenience, the variable s is omitted here and in what follows. TUe proof of this
is as follows.
Proof
Consider a complex matrix P partitioned as

•Pll ^12
P =
P2I P22

and suppose there is a defined block structure K which is compatible in size with P22,
such that P22.^ is square.

93
 ec(s)

Figure 5.7: Closed-loop Hoo block diagram. Left panel: Structured uncertainty with
controller. Right panel: Closed-loop system.

From the right panel of Figure 5.7, it is not difficult to write the following loop
equations,
d = Piiw + P12U

Cc = P2iW->r P22U

u = Kcc-

Solving for Cc as a function of w gives,

ec = {I- P22K)-'P2lW

where it is assumed that the inverse of / - P22K exists. Substitution of this result
gives the transfer function between w and d,

d ^ „ . „ .... ^ ..,-1
= T^d = Pii + PuK{I - P22K)-'P21
w

which proves Equation (5.12). QED

Robust performance can be analyzed using the structured singular value (SSV) for
systems containing both structured and unstructured uncertainty as shown in Figure

94
5.7. The SSV or yu^ is defined as follows [14]:

• 1
det{I + Ted{juj)A) = 0
min[a-(A)]
lJ'A{Twd{jUj)) = < AeA

^ 0 det{I + T^d{juj)A) ^ 0.

A system with normalized performance criteria and uncertainties, performs robustly

if and only i/ [14]

sup{iJ,^[T^d{juj)]} < 1.

Minimization of the cost function

J = sup{iJ.^[T^d{juj)]} (5.13)

provides a means of obtaining robust performance. The direct computation of the

SSV is intractable in all but the simplest cases. Therefore, bounds on the SSV are
typically used in place of actual SSV. In particular,

ti-A[Twd{juj)] < min a{DT^d{juj)D~'^).

di,d2,.--."n"i€(0,oo)

Using this upper bound, the optimization of cost function in Equation (5.13) can be
formulated as
minmin||Drw(P,i^)^"'L. (5.14)
^ D{s)

Obtaining a solution to this optimization problem is quite challenging. In general,

an approach is used that iterates over the choice of D and K until Equation (5.14)
is minimized. A method known as the D-K iteration is a popular choice to solve
this optimization problem [93]. However, there is no guarantee of convergence to the
global minimum from this approach or any other approach [14].
The identified models of the plant are not exact. There always exists some uncer-
tainty, which in the Hoo design must be known and bounded. The feedback controller
is then designed to be robust to these bounded uncertainties.

95
 H
w, - • W2 • A^ - w
•
u
+r \ v
' ' JV • M • ( ^J /

Figure 5.8: Block diagram of the feedback loop. K is the feedback controUer, M is
tUe model, H'l and U2 are weighting functions, and A2 is the model uncertainty.

Figure 5.8 represents the closed-loop system within the Hoc framework, where M
is a model of the unknown plant, K is the controller, A2 is the model uncertainty,
Wi is a function selected to weight the feedback control error (cc) to give a desired
robust performance, and W2 is a function that weights the uncertainty to provide
robust stability .

5.2.1 Stability analysis

TUe feedback system shown in Figure 5.8 can be transformed to the system shown
in Figure 5.9. The controller K is designed using the Hoc method, and P is the
nominal linear model and the weighting functions. There are three inputs, {r, w, u}
to P and three outputs {u, Cc, e d from P. The input/output pair {r, e d is for robust
performance. Together P and K represent the internally stable nominal closed-loop
system. TUe proof of the equivalence between the representations of Figures 5.8 and
5.9 is as follows.
Proof

From Figure 5.8 and using block transfer function algebra, it is not difficult to confirm
that
MK{r -yp) + w = yp = > yp = (1 + MK)'\MKr + w).

The weighted feedback error Cc can be expressed as a function of input r and model

96
 et

Figure 5.9: Simplified block diagram of the feedback loop. K is the controller and P
is the nominal model P and weighting functions, Wi and 1^2-

uncertainty w.

e, = \Viec = Wi{r-yp) = Wi{r-{l-\-MK)-\MKr-\-w))

e, = Wi{l-\-MK)-'^{r-MKr-\-MKr-\-w) = Wi{l + MK)-\r-\-w)

Cr = -WiS WiS (5.15)

where 5 = (1 + MK) ^ is the sensitivity operator mapping r to e^. The weighted

controller output can be expressed as a function of input r and model uncertainty w.

u = W2U = W2Kec = W2K{r-y) = W2K{r-{l + MK)-\MKr + w))

u = W2K{l + MK)-\r-MKr + MKr + w) = W2K{l-^MK)-\r + w)

-W2KS W2KS (5.16)

u=

97
From Figure 5.9, P is given by.

0 0 VK2
P = -Wi Wi -WiM
-1 1 -M

Therefore, the following equations represent Figure 5.9

0 0 1^2
-Wi Wi -WiM (5.17)

-1 1 -M

Solving the above for u gives

u = Kcc = K{-w + r - Mu) =^ u = (1 + MK)~^{-Kw + Kr).

Substituting this expression into Equation (5.17) yields the foUowing closed-loop sys-
tem relations

u = W2U = W2{l + MK)-\-Kw + Kr) = -W2KS W2KS

ec = -WiW-{- Wir - WiMu

e, = -WiW + Wir-WiM{{\ + MK)-\-Kw + Kr))

w
Cr = -WiS WiS

Therefore, the two figures are equivalent. QED

Suppose the infinity norm of the model uncertainty is bounded, that is

\\A2\L<I3 (3>0

98
The Hoo controller design method will yield a controller, K, such that the infinity
norm of the closed-loop between P and K, defined as CL{P, K), is upper bounded,

||CL(P,i^)|L, < 1 / / ? .

It then follows that

|A2l|^llCL(P,/^)L<l. (5.18)

Stability will be estabhshed using the small gain theorem [14, 84].
From the previous proof of the equivalence between Figures 5.8 and 5.9,

-W2KS W2KS
(5.19)
-WiS WiS

The closed-loop between P and K can be shown to be

.VoKS W2KS CL{P,K)ii CL{P,K)i2

CL{P,K) = (5.20)
•WiS WiS CL{P,K)2i GL{P,K)22

Figure 5.9 can be redrawn to emphasize the closed-loop system. This is shown in
compressed and expanded block diagrams in Figure 5.10. The nominal closed-loop
system is assumed to be stable. The uncertainty is also stable since it has a bounded
gain. The only possible source of instability is the feedback loop. Internal stabihty
of the feedback loop is evaluated by considering the system shown in Figure 5.11.
This feedback loop connects CL{P, K)ii and A2. A similar analysis can be applied
to tUe otUer three transfer function in Figure 5.10, right panel. The following tUeorem
gives a sufficient condition for internal stability of the feedback loop.

T h e o r e m 5.2.1. [84] Let 71 and 72 be the gains of system A2 and CL{P,K), re-
spectively. The closed-loop is bounded-input bounded-output (BIBO) stable if

7i72 < 1

99
 A2-'-
w
CL(P, K), o- u

"»-CL(P,K) 12

^2 "
-^CL(P,K)'21
w u n
r
'
•
•
CL(P, K) -. *'CL(P,K)22 f>l^ r

Figure 5.10: Closed-loop system with model uncertainty. Left panel: compressed.
Right panel: expanded to show the subsystems of CL{P, K).

-U^O^ CL(P,K) 11

Figure 5.11: Internal stability of the uncertain system.

and the gain of the closed-loop system with uncertainty is less than

7i
7 =
1 - 7i72

The proof of the above theorem can be found in [84] (page 219). Thus, the closed-
loop linear Hoo control system with bounded uncertainty (see Figure 5.9 or Figure
5.8) will be stable.
During model switching, Narendra [19] has proven closed-loop stabihty with stable
controllers, provided that the intervals between successive switching have a nonzero
lower bound. Such a bound can be chosen to be a small number, but too small a value

100
win result in chattering of the response. This work proposes an adaptive multiple
model state-shared approach that simultaneously adapts the model parameters and
the parameters of the Hoo controUer design. Since the adaptive controller is based
on an adaptive model, the model can be adapted so that its output is as close as
possible to the output of the nonlinear system. This in turn, permits the bound
of the uncertainty to be as small as possible. The Hoo controller assures that the
closed-loop system stable and Narendra's theorem [19] guarantees that the closed-
loop system remains stable during switching. Thus, the proposed strategy makes the
closed-loop system globally stable.

5.2.2 Hoo results: chemical reactor

The following results are taken from [16]. The continuous stirred-tank reactor,
introduced in Section 5.1.2, is used to demonstrate the effectiveness of the Hoo control
framework. Bounded ramps are selected as reference trajectories, ym{t) (see Table
5.5). In general, any bounded reference input trajectory can be specified to satisfy a

Table 5.5: CSTR reference trajectories: multiple models

Time period OPI to OPII OPII to OPI
0<t<6 5 1.3+0.01 sin(0.05i)
6 < i < 28.2 5- 0.167(t-6) 1.3+ 0.167(t-6)
28.2 <t<35 1.3 5 +0.01 sin(0.05t)

desired closed-loop performance.

A total of four models wiU constitute the set of multiple models. As before there
are four models, two fixed linear models at OPI and OPII, indexed as Mi and M2,
respectively; one free-running adaptive model indexed as M3; and one re-initializable
adaptive model indexed as M4. The coefficient matrices {F,g) in the state-shared
model are selected to be

0 1
F = and g =
-1 -1

101
The parameters of the performance index function. Equation (4.6), are selected to be
^ = 1 and ^ = 0.1. For parameter tuning (Equation (4.1)), K = 10,0 < y < 100,7 =
1, and the smallest eigenvalue of P is greater than 1. These parameters were not
optimized. The weighting functions are chosen to be,

Wi =
2(s + 0.02)
f(^ + 25)
s + 6000

The selection of the weighting functions is based on simulation studies that give
appropriate closed-loop performance.
Figures 5.12-5.13 show the closed-loop dimensionless temperature response, and
the model selection strategy when the system transitions between OPI and OPII. In
all instances, tUe responses track their reference trajectories in a stable fashion. The
switching scheme shows that the re-initialized adaptive model is selected as the final
model for the transition from OPI to OPII while the free-running adaptive model is
the final choice for a transition from OPII to OPI.

102
 ' response
' reference

0) 4
Q.
E

£ 3
0)
E
2.5

15 20
Dimensionless Time
5r 1 r "T 1 1

4.5--

4- •

3.5

E
= 2.5
o

i 2
1.5 1: fixed model 1
2: fixed model 2
1 3: free-runnning model
4: re-initialized model
0.5 -
0
10 15 20 25 30 35
Dimensionless time

Figure 5.12: Transition control of the CSTR using an Hoo controUer with model
switching. Top panel: Temperature response of the CSTR for a set point change
from 1.3 to 5.0. Bottom panel: Model switching.

103
 ' ' 1 - - response
1 ^— reference
5.5

45 ^^
^
to
A

1-
0) \ A

fS3,b
0) \ S
c
>
c 3 •
0)
E
2.5

L5 >^
1 J 1 1 1 1
0 15 20
Dimensionless Time
5

4.5 -

3.5

05 Q
.Q •^
E
3 ^
= 2.5
2

1.5 1: fixed mc)del1

2: fixed mc>del2
1- 3: free-rur nning model
4: re-lnitia ized model
0.5
1 1
0
10 15 20 25 30 35
Dimensionless time

Figure 5.13: Transition control of the CSTR using an Hoo controUer witU model
switching. Top panel: Temperature response of the CSTR for a set point change
from 5.0 to 1.3. Bottom panel: Model switching.

104
 Table 5.6: CSTR model parameters (OPI to OPII)
Model Type ki k2 k^ k^
Fixed Ml 0.3000 1.2440 1.1605 0.2337
Fixed M2 0.3000 4.9310 2.1493 2.3286
Free-running A/3 0.0945 1.7172 1.1610 0.0727
Re-initialized M4 0.3009 4.9078 2.1496 2.3214

Table 5.6 gives the parameter values of the adaptive models at the end of transi-
tion. Also listed are the parameter values of the fixed model for comparison. From
Table 5.6 it can be found that the values of the parameters of the re-initiahzed model
are very close to that of fixed model 2. However, the parameters of free-running
model converge to neither those of fixed model 1 nor to fixed model 2. Figure 5.14
shows the adaptation of the four parameters of the free-running model as the CSTR
system transitions from OPI to OPII.

The fixed models at OPI and OPII should have been the final models selected for
each transition. One reason this was not the case is that the adaption may have made
the output of the adaptive models numerically closer to the value of the nonlinear
output causing tUe performance index (Equation (4.6)) to select the adaptive models
over time. Comparison of the parameter values of the adaptive models to that of
OPI and OPII for both transitions confirms that the converged values of the adaptive
model are nearly the same as the fixed models. Hence, for the transition between OPI
to OPII the free-running and re-initializable models parameters converge to those of
OPII. Similar statements can be made about the transition from OPII to OPI.

In practice, there are always model errors and parameter uncertainty as weU as
uncertainty associated with the bounds on the disturbances. To demonstrate the

105
robustness of the proposed transition framework (multiple models and Hoc controller),
disturbances, and parameter uncertainty are introduced as the system transitions.
The performance of the closed-loop system is completely dependent on parameter
tuning and switching to provide an accurate and stable response.
Figure 5.15 shows the closed-loop performance in the presence of an unmeasured
disturbance in the form of a 10% increase in Xij (top left panel) and parameter uncer-
tainty, a 10% decrease in P value (bottom left panel). In either case, the closed-loop
performance shows that the temperature satisfactorily tracks the bounded reference
signals.

106
 10 15 20 25 10 15 20 25 35
Dimensionless lime Dimensionless time

10 15 20 25 10 15 20 25 35
Dimensionless time Dimensionless time

Figure 5.14: Convergence of the CSTR free-running adaptive model parameter values.
Clockwise from the top, ki, k2, ks, k^.

107
 Figure 5.15 (top right panel) shows the closed-loop performance when the IC{x2)
term in Equation (5.8) is replaced with /C(x2) ~ exp(x2). The models are identified
using this approximate nonhnear system. The closed-loop performance is shown to
be stable and satisfactory. It is reasonable to conclude that parameter tuning and
stable switching can provide an accurate estimate of the plant so that stable closed-
loop performance can be achieved in the face of plant/model mismatch, parameter
uncertainty, and unmeasured disturbances.
To quantify the sensitivity of the plant output to the disturbance and uncertainty,
the Integral Square Errors (ISE) are calculated for various values of the disturbance
and parameter uncertainty. The results are listed in Table 5.7. It is found that

Table 5.7: ISE values for the CSTR.

0% ±2% +5% ±10%

Xlf 0.0461 0.0805 0.1720 0.4350
(3 0.0461 0.0625 0.0898 0.1775

introducing a 2% disturbance in the feed concentration increases the ISE to be twice

that of the ideal case (no disturbance system), 5% to be 3.7 times, and 10% to be
8.4 times. Introducing 2% parameter uncertainty increases the ISE to be 1.35 times
of that of ideal case, 5% to be 1.95 times, and 10% to be 3.85 times. The closed-loop
system appears to be more sensitive to unmeasured disturbances.
To check the effectiveness of the proposed state-shared model and Hoo control de-
sign, the CSTR undergoes a transition from OPI to the open-loop unstable operating
condition, OPIII, and then to OPII.
Figure 5.16 shows the closed-loop temperature response and the model switching

108
 0 5 10 15 20 25 30
Dimensionless Time

- - response
— relerence

10 15 20
Dimensionless Time

Figure 5.15: Transition control of the CSTR under non-ideal conditions. Tempera-
ture response for a set point change from 1.3 to 5.0. Top left panel: Unmeasured
disturbance (10% increase) in the feed concentration. Top right panel: Model error
in the kinetics. Temperature response for a set point change from 5.0 to 1.3. Bottom
left panel: Parameter uncertainty (10% decrease) in the heat of reaction term.

109
 10 30 40 50 80
Dimensionless time

10 20 30 40 50 60 70 80
Dimensionless time

Figure 5.16: Multiple transitions of the CSTR using state-shared model and Hoo
controller. Top panel: Temperature response for set point change from 1.3 to 2 to 5
to 1.3. Bottom panel: Model switching.

110
strategy. The final model selected is the re-initiahzed model and the final parameter
values of the adaptive models are shown in Table 5.8. The parameter values of the
fixed models are also listed for comparison. From Table 5.8, it can be found that

Table 5.8: CSTR model parameters (three states)

Model Type ki ^2 k^ kj
Fixed Ml 0.3000 1.2440 1.1605 0.2337
Fixed M2 0.3000 4.9310 2.1493 2.3286
Free-running A/3 0.2964 1.2588 1.1605 0.2327
Re-initialized A/4 0.2964 1.2588 1.1605 0.2327

the parameters of free-running model and re-initialized model are the same and very
close to the values of fixed model 1.

5.2.3 Hoo control results: biological reactor

The following results are taken from [16]. Hoo and Kantor [94] studied a biological
reactor used to grow a methanol utihzing microorganism, Methylomonas, under con-
ditions where methanol is the rate-limiting substrate. The two-state model is given

by
— i = fJ.{x2)xi - DXi
at

—1 = -a{x2)xi + D{x2f - X2)

dt
^ 0.504X2(1.0-0.204X2) ^ ^ g^ (5.21)
'^^^' 0.000849 + X2 + 0.406x2
X2(1.32 +3.86x2-0.661x1) ^^
^^' 0.000849 + X2 + 0.406x2

y = X2-

Only the substrate concentration (X2) is realistically measured. The definition of the

variables and parameters are listed in Table 5.9.

In the work by Hoo and Kantor they found that at certain operating conditions
(x2/ = l-8g/l and D = 0.4hr-^) this system exhibited multiple steady states. Table

111
 Table 5.9: Biological reactor variable and parameter definitions.
Variable Definition Units
Xl Cell density fi/1
X2 Substrate concentration s/i
X2f Feed substrate concentration g/1
D Dilution rate hr-i
KX2) Specific growth rate hr-i
(^{X2) Specific substrate consumption rate hr-i

5.10 shows the steady states found at this condition. Several remarks are in order.
First, OPIII is not a valid operating point because the cell concentration is zero.
Second, OPII is unstable, in fact it can be shown to be a saddle point. Third, OPI
and OPIII are stable nodes. Linear time-invariant models can be developed at these
operating points. The functional form and parameter values are also listed in Table
5.10.

Table 5.10: Multiple steady states and linear models for tUe biological reactor.
Xl X2 D Type Model
OPI 0.6790 0.0003 0.4000 Stable i.vy6Ys + U.Y18Y
s2 + 46.93315 + 17.7229
1.4110s+ 0.5654
OPII 0.2410 0.3890 0.4000 Unstable
s2 + 0 . 9 0 0 0 s - 0 . 1 2 8 1
OPIII 0.0000 1.8000 0.4000 Stable

TUe Hoo controller design requires stable reference trajectories to realize tUe tran-
sition. Here, first-order transfer functions are selected:

0.003293 + 0.3857(1 - e-*/*) i > 0 OPI-^OPH

ym{t) = {
0.389000 - 0.3857(1 - e-*/^) t > 0 OPII-^OPI.

Four models constitute tUe model set, two fixed models indexed as Af and Af2)
respectively; one free-running adaptive model indexed as A/3; and one re-initiaUzable
adaptive model indexed as A/4. The same performance function parameters {K,U,^)

used in the chemical reactor example, are used to transition between OPI (open-loop

112
 0.1 0.2 0.3 0.4 0.5 0.6 0.7
cell concentration [g/l]

Figure 5.17: Phase portrait of the biological reactor. The phase portrait was gen-
erated using different initial conditions of Xi and X2 and when X2/=0.4g/l and D =
1.8hr"^ Note the presence of a saddle point and two stable nodes.

stable) to OPII (open-loop unstable). The weighting functions are chosen to be,

s + 3.5
^^' " 2(s + 3.2)
f(s + 25)
^ s + 6000

A threshold of 10"^ is selected to prevent chattering due to overzealous model switch-

ing.
Figures 5.18 and 5.19 show the closed-loop performance when the system transi-
tions between OPI to OPII. In both cases the output, the substrate concentration.

113
tracks the reference trajectories satisfactorily. The switching scheme shows that the
fixed model identified at OPII is selected as the final model for the transition from
OPI to OPII, while the free-running adaptive model, A/3, is the final choice for a
transition from OPII to OPI. The controller output (bottom rigUt panel), the dilu-
tion rate, changes smoothly and converges when the system approaches the desired
operating state.

114
 0.35
- - Response
0.3 ^— Reference .
s
Substate Concentration

0.25

0.2 •

0.15

0.1 -

0.05
1/
f# 1 1
1 1 1

10 15 20 25 30
Time [hr]

1' fixed model 1

2: fixed model 2
3. free-running model
4: re-initialized model

15 20 25 30
Time [hr]

Figure 5.18: Transition control of the biological reactor using Hoo controUer with
model switching. Top panel: Substrate concentration response for a set point change
from 0 to 0.389. Bottom left panel: Model switching. Bottom right panel: Control
action.

115
 0.4 i

\ - - response
11 ^— reference
0.35 A 1

^ 0.3

•S. 0.25
1

c
a>
o 0.2
1

c
o
o
Q)

2 0.15
L

05
.Q
3
CO
0.1 --

0.05

10 15 20 25 30
Time [hr]

53
E

1 fixed model 1
2: (ixed model 2
3: free-running model
4; re-initialized model

15 20 25 30
Time (hr]

Figure 5.19: Transition control of the biological reactor using Hoo controller with
model switching. Top panel: Substrate concentration response for a set point change
from 0.389 to 0. Bottom left panel: Model switching. Bottom right panel: Control
action.

116
 Modeling errors pose serious problems for accurate closed-loop control. Let the
specific substrate consumption rate in Equation (5.21) be approximated by [94]

X2(1.32 +3.86x2)
cr{x2)
0.000849 + X2 + 0.406x2

Figure 5.20 shows the closed-loop performance, between OPI and OPII, when the
models are developed using the above approximation. The closed-loop performance
in both cases are stable and satisfactory.

5.2.4 State-shared modeling

A state-shared model can be developed for the chemical and biological reactor
systems. In the case of the CSTR, the selection of the asymptotically stable pair is

0 1
F = and g =
-1 -1

which places the closed-loop poles at (—1 ± jy/S)/2). The number of parameters to
be adapted in this case is 4. All other performance parameters {K, U, fi, g) remain the
same. Figure 5.21 compares the closed-loop response of a state-shared model and
the Hoo controller design to a single fixed model and the //oo controller design. TUe
reference trajectories (solid lines) are ascending or descending staircases (steps). TUe
figure shows that state-shared model (dashed line) approach gives better closed-loop
performance than the one model (dotted line) approach.

117
 '
0.35
/""^ • - response
— 0.3 — reference
/
^

1
c f
•|0.25

§ 0.2
S
0)

-
50.15

#1
" 01
0.05
j
1
0
10 15
Time [fir]

5
5
4.6
4.5
4 1 lixed model 1
2 liKed model 2 4 1-1
3 tree-running model
3.5 4 re-initialized model
3.5
I 3
E
|2.5
0)
TJ
i 2
1.5

1
^
I 3
E
f 2.5
o
I 2
1.5
ll 1 fixed model 1
2: lixed model 2
3: Iree-running model
4' re-initiaiized model

1
0.5-
05
0
15 0 10 15
Time [hr] Time[hr]

10 15 20
Time [fir]

Figure 5.20: Transition control of the biological reactor under non-ideal conditions.
Modeling error in the specific substrate consumption rate. Left panel: Substrate con-
centration response for a set point change from 0 to 0.389, model switching (middle),
and control action (bottom). Right panel: Substrate concentration response for a set
point change from 0.389 to 0, model switching (middle), and control action (bottom).

118
 5.5
State-shared model
Single model
Reference
§4.5

CL 4
E

c
•2 3
O) >5

c
05

I2.5

1.5

1
10 15 20 25 30 35
Time

5.5 1 1

Single model
— Reference
- - State-shared model
i
S4.5 I

Q. 4
E
CD
H
0)3.5 - •

05
c
g
05 3- '-,••
c i
i
S2.5 - •

1
i
1
I
1.5 - i^
1
1
10 15 20 25 30 35
Time

Figure 5.21: Transition control of the CSTR: comparison of two different modeling
approaches with an Hoo controller. Reference: solid line, state-sUared model: dasUed
line, and single model: dotted line. Top panel: Temperature response for a set point
change from 1.3 to 5.0. Bottom panel: Temperature response for a set point change
from 5.0 to 1.3. 219
 In the case of the biological reactor, the selection of the asymptotically stable
pair and the closed-loop poles are the same as in the chemical reactor example. The
number of parameters to be adapted in this case is also 4. AU other performance
parameters {K, U, //, g) remain the same. Square pulses (sohd line) are selected as the
reference trajectories. Figure 5.22 shows the closed-loop performances for state-shared
model (dashed line) and a single model (dotted line), botU using an Hoo controUer.
At some transition regions, the controller based on one model is unstable.

120
 1.5 1 ' ' 1
- - state-shared model
Reference
Singular model

c \
o 'A
' • X - t \. 1 \
0.5- 1- \ 1 .» > \ 1 -\
1 • , I '- I
c 1-' \ ' : X ' : X
1- \
0)
\
1 : X
- 1 : 1 : •
o r
f 1 ; ' \: 1 \ 1
l: i I 1 1 i: # :
o r i 1
o
05
\_
"ui
CO
-0.5 -

1 ' 1 1

10 15 20 25 30
Time [hr]

Figure 5.22: Transition control of the biological reactor: comparison of two different
modehng approaches with an Hoo controller. Reference: sohd line, state-shared model:
dashed line, and single model: dotted line. Observe that the single model control
approach becomes unstable.

121
 5.3 Summary

In this chapter, two control methods based on multiple models and a compact
state-shared model are presented. The rationale of MRAC is taken from [6, 12]. In
this work, the MRAC theory is extended to the control of nonhnear systems. A
single-input single-output CSTR system is used to demonstrate this method. Keys
to tlie success of MRAC include (i) the choice of a stable and realizable reference
model with no transmission zeros, (ii) parameter convergent method, and (iii) stable
switching.
The state-shared model approach consists of multiple fixed and adaptive models in
a compact representation. The controller is an Hoo robust control wUose parameters
are tuned based on tUe adaptation of the measurement parameters. Conditions for
robust stability and robust performance were provided.
Two nonlinear single-input single-output reactors, one chemical the other bio-
logical, were used to demonstrate this transition control structure. It was shown
that satisfactory performance in the presence of modeling errors, input disturbances,
and parameter uncertainties was achieved. In the chemical reactor system, the Hoo
controller based on two stable fixed models and two adaptive models can reahze tran-
sitions among stable and unstable operating points. In the study of the the biological
reactor, the state-shared model and the Hoo controUer stabihzed this system at an
open-loop unstable operating state. A comparison between multiple models and a sin-
gle fixed model of the biological system demonstrated the superiority of the multiple
models approach to transition control.

122
 5.4 Nomenclature
CSTR Continuous stirred tank reactor
ISE Integral Square Errors
ITSE Integral Time Square Error
MIMO Multiple-input multiple-output
MRAC Model reference adaptive control
MPC Model predictive control
SISO Single-input single-output
SSV Structured singular value

123
 CHAPTER 6
MODEL PREDICTIVE CONTROL
6.1 Background

While Chapter 5 described control methods that produce a control action in re-
sponse to the current state of the plant, the method described in this chapter not
only determines an optimal control action for the current sampling time but also
into the future. This class of controllers, caUed model predictive control (MPC) uses
constrained and unconstrained optimization theory and hnear and nonlinear models.
MPC, also referred to as moving Uorizon control or receding horizon control, has
become an attractive feedback strategy, especially for linear (or nearly linear) pro-
cesses [95]. MPC refers to a class of algoritUms tUat compute a sequence of control
actions in order to optimize the future behavior of a plant. Linear MPC refers to a
family of MPC schemes in which hnear models are used to predict the system dy-
namics, even though the dynamics of the closed-loop system is nonlinear due to the
presence of constraints. Linear MPC approaches have been very successful especially
in the process industries. A good overview on industrial linear MPC can be found in
[58].
The first description of an MPC application, called Model Predictive Heuristic
Control (MPHC), was presented by Richalet and coworkers [96, 97]. The distinguish-
ing features of this approach are: (i) the plant is represented by an impulse response
model, (ii) a quadratic performance objective, defined over a finite prediction horizon,
determined the merit of the control actions, (iii) tUe future plant output behavior is
specified by a filtered reference trajectory, (iv) the input and output constraints are
included in the formulation, and (v) the optimal control actions are computed using a
heuristic iterative algorithm [98]. Richalet and coworkers [96, 97] went on to describe
successful apphcations of the MPHC algorithm to the main fractionator column of
a fluid catalytic cracking unit, a power generator of a steam plant, and a poly-vmyl
chloride plant. All of tUese examples are constrained, nonlinear muUivariable pro-
cesses.

124
 Cutler and Ramaker [99] introduced an unconstrained multivariable control al-
gorithm, called dynamic matrix control (DMC). Key features of the DMC control
algorithm are: (i) the plant is represented by a step response model, (ii) a quadratic
performance objective over a finite prediction horizon is used to determine the merit
of the control actions, (iii) the future plant output behavior is specified by a constant
set point trajectory, and (iv) the optimal control actions are computed as the solution
to a least-squares problem. Cutler and Ramaker [99] showed impressive results for
temperature control of a furnace.

The original MPHC and DMC methods provided excellent examples of the poten-
tial of predictive control to regulate unconstrained multivariable processes. However,
explicit constraint handling is left to ad-hoc procedures such as limit checking, intelli-
gent sensors and actuators, and safety interlocks. To extend the approach to address
constraint handling, a quadratic dynamic matrix (QDMC) control formulation was
introduced [100, 101, 102]. Key features of the QDMC algorithm are: (i) the plant is
represented by a step response model, (ii) a quadratic performance objective over a
finite prediction horizon is used to determine the merit of the control actions, (in) the
plant behavior in the future is specified by foUowing the constant set point subject
to move suppression, and (iv) the optimal control actions are computed as the solu-
tion to a constrained (equalities and inequaUties) and weighted quadratic objective
function. The main advantage of QDMC over MHPC and DMC is the abiUty to
incorporate multiple objectives and to address input and output constraints.

TUe optimal controllers, MHPC, DMC, and QDMC can be classified as linear
MPC controllers. Since its first successful implementation in the late 1970s, there
have been many pubUcations, both theoretical and apphed, on this subject. For
constrained control problems, the computational costs can be high, and rigorous
tuning methods for the general problem are still in a state of development [103, 104].
For mild nonUnear systems or for nonlinear systems tUat are operated about a single
nominal state, linear MPC algorithms can be apphed with an appropriate hnear
model of the plant. However, for systems with significant nonlinearities, a nonlinear

125
or pseudo-nonlinear MPC formulation can be constructed. In the strict nonlinear
formulation, the model is a nonhnear model; in the pseudo-nonhnear formulation an
available nonlinear model is linearized at each sample time about the measured values
to yield a linear model from which the current and future predicted control actions
are determined [105]. The pseudo-nonlinear model represents a linear time-varying
model. In either case, the controller is a nonlinear controller [58, 106, 107, 108].

Using a nonlinear model instead of a linear one cUanges the control problem from
one of a convex quadratic problem to a non-convex nonhnear problem, the solution
of which is much more difficult. In any nonlinear optimization problem, there are no
guarantees that the global optimum can be found. Moreover, stabihty and robustness
are very difficult to establish in the general case. Bequette [109] describes several
approaches to solving the general nonlinear MPC problems when the system is a
chemical process. A rigorous mathematical treatment of the robust stability of NMPC
is provided in [40, 54].

6.1.1 MPC based on a state space model

A state space model can be used in the model predictive control framework [110].
There are some advantages of using a state space model. A major one is that it
is valid for unstable processes. Some input/output descriptions, for example, finite
step or impulse response models are not defined for open loop unstable processes,
because such input/output models are unavailable for unstable processes. For stable
processes, a finite step response representation can be realized as a state space model
where the order is equal to its truncation order (finiteness). Another advantage of
using a state space model is that if a nonlinear mathematical description is available,
a Taylor series expansion applied to this description will result in a state space model
[110].

126
 Given a continuous linear time-invariant representation,

Ht) = Ax{t) + Bu{t)

y{t) = Gx{t) + z{t)

where A, B, and C are constant coefficient matrices; and z{t) is the measurement
noise. In computer control implementation, the output is sampled at some sampling
interval. A, and the input applied to the system is constant over this interval. This
necessarily results in piecewise constant control actions with period A such that

u{t) = u[k], kA<t<{k-\-l)A A; = 0 , 1 , . . .

Thus, the behavior of the above system at every discrete interval k can be represented
by (see Appendix 8.3),
x{k-\- 1) = $x(/c) + *«(/;;)
(6.2)
y{k) = Cx{k) + z{k)

where $ represents the sampled dynamics and is given by

$ = exp {AAt)

and
/•At
•^ = B j exp(A(Ai - T))dT.
Jo

127
 Define
Au{k) = u{k) - u{k - 1)
Ax{k) = x(A;) - x{k - 1)
Ax{k)
Xa{k) =
m
$ 0
$ =
C$ /

Ca = 0 /

Using the above definitions. Equation (6.2) can be placed in the augmented form,

Xa{k + 1) = ^ax{k) + 'ifaAu{k)

(6.3)
y{k) = Gax{k) + z{k)

The variable y{k) — Cx{k) represents the true plant output. At sample time k, MPC
predicts the future behavior ioi: k,k -\- I,... ,k -\- P steps in the future. The current
and future inputs are calculated ior k,k-\-\,... ,k -\- M — I steps in the future using
the predicted values of the outputs. The prediction horizon P and control horizon M
are tuning parameters in the MPC formulation.
Expanding and re-arranging Equation (6.3) gives [111],

Ax(fc + 1 0
$2 0
Ax(A; + 2

Ax(A; + P) •Ax(A;y
(6.4)
yik + l C$ .y{k)
+
y{k + 2

y{k+P) c^p + c^^-^ + • • • + c$

128
 0 0
$* 0

$ P-M-1 *
X
0 0
C^xif + c * 0

^^P-M-l^ + • • . + C^.
_c$^-i* + --- + c* c$^-2* + • • • + c*
0
0
Au(A;)
Au{k + 1) 0
+ z(k + l
.Au(fc + M - 1 ) . z{k-h2

z{k + P),
Following [111], let
y(/c + l
y(/c + l) =
y{k + 2

ly{k + P).
c$
C$2 + c $
Ox —

c$^ + c$^-i + --- + c$ /

0 0
c** + c* 0
<-'u —
C $ P - i ^ + ... + C * C;$^-2^ + ... + C ^ ... c $ ^ - M - i ^ + ... + c i ' ,

129
 Au{k)
Au{k-\-l)
AU{k) =
.Au{k-^ M - 1),

•z(k + l
z{k + 2
Z{k + 1) =
.z{k + P).

Ax{k)'
Y{k + 1)= S,
.m
Substitution of the above into Equation (6.4) yields

Y{k + 1) = Y{k + 1) + SuAU{k) + Z{k + 1). (6.5)

The above equation will be used to predict tUe current and future control actions.
Define the quadratic objective function to be optimized over a horizon P by,

min J= min {Y{k-\-l) -Ys{k + l))'^E^E{Y{k + l)-Y,{k + l))-\- AU{k)'^N^AAU{k)

AU{k) AU(k)

(6.6)
subject to the equality in Equation (6.5), wUere Yg is the desired set point trajectory,
and H, A are weighting matrices.

• ^ 1 • 01 [Al 0 • • 0
0 ^ 2 • •
• 0 0 A2 • • 0
A=
0 0 •• • Sp. .0 0 • • A,

The first term in Equation (6.6) is composed of the error between the predicted
value, Y and the set point Y^ weighted by E and the second term reflects a penalty
for excessive changes in Au weighted by A. Define the prediction error term at
sample time A; + 1 as follows

E{k + l) = Y,{k + 1) - Y{k + 1) - Z{k + 1).

130
Equation (6.6) can be re-stated as,

S^W ^ ^ ^Tk)-^-^^^^^ - ^(^- + l))^2^2(5uA[/(/c) - E{k + 1)) +

AU{k)'^K^KAU{k)

and represents a quadratic problem (QP). Expanding this equation gives,

J = AU^{k)Sl=7'ES^AU{k) - 2AU^{k)Sl~.^EE{k + 1) +
E{k + \)'^=7'EE{k + 1) + AU^{k)K^KAU{k).

Since A[/(A;) must be found such that in i ^ oo, E{k + 1) ^ 0, the term E{k +
l)'^'E7''~.E{k + l) in the above equation can be neglected. The above equation becomes

min J = min AU^{k)HAU{k) - h{k + l)^AU{k) (6.8)

where H = 5 j S ^ S 5 „ + A^A is the Hessian of the QP and h{k-\-l) = 2SlE'^EE{k-\-l)

is the gradient vector of the QP in the direction of AU{k).
Generally, tUere are three kinds of constraints: manipulated variable constraints,
manipulated variable rate constraints, and output variable constraints.
The manipulated variable constraints at sample time k are generally represented

by
UioUk) < U{k) < Uh^gh{k).

The manipulated variable value at a future interval of time k + i — I is constrained

to be:

e
UioUk+e-l) < J2 ^U{k+j-l)+U{k-l) < Uh^gh{k+i-l)•, i=h2,. ., M (6.9)

where U{k — 1) is the vector of current values of the manipulated variables. The
hmits Uiow and Uhigh are functions of future time intervals.
The manipulated variable rate constraints at sample time k are generally repre-

131
sented by

AUiou,{k) < AU{k) < AUHrgh{k).

The general form of output variable constraints at sample time k is given by

Yior,{k) < Y{k) < Yh,gh{k).

The model predictive equation (Equation (6.4)) gives the estimation of the output
variables over the future, which can be used to anticipate future violations.
The input, rate of change of the input, and output constraints can be concisely
represented by

u{k - 1) - Uhigh{k)

u{k - 1) - Uhigh{k + M - 1)

uiow{k) - u{k - 1)

Uiou,{k + A/ - 1) - u{k - 1)

AuHgh{k)

-Auhigh{k + M - 1)
~g{k + l) =
Auiow{k)

Auio^{k + A/ - 1)

z{k-^l)+yk + \ - yhigh{k + 1)

z{k + P)+yk + P- yhigh{k + P)

'yiou.{k + l)'-'z{k + \)-y{k + l)

iyio^{k-^P)-z{k + P)-y{k-hP).

Using the above succinct representation of the constraints, the QP problem in Equa-

132
tion (6.8) can now be stated in the standard form

(6.10)
s.t. GAU{k)>~g{k-\-l)

where
[-h
h
-I
=
I

- '-'u -

/ 0 ••• 0
/ / ••• 0
Ir.=
J I ••• /J

In the MPC framework. Equation (6.10) is solved at each controller execution time
after a new measurement is obtained. Note that the only time varying elements in
this problem are the vectors E(k+1) (or equivalently h(k+l)) and g{k + 1). That is,
the Hessian of Equation (6.10) remains constant for aU executions. In tUe multiple
models framework, because tUere is model switching, the Hessian is nonconstant.
If the constraints are active, then the computations will be more intensive. Also, it
is important to pose tUe constraint equations correctly in order to avoid infeasibilities.

6.1.2 MPC control of a two-pUase chemical reactor system

The results are taken from [41]. This system was introduced in Section 3.6.1. The
system undergoes a production rate change from 100 kmol/h to 130 kmol/h, while
satisfying all constraints. First-order reference trajectories (dotted lines in the figures)
are selected for the three controlled outputs production rate {FA), reactor pressure
(P), and composition of A in purge stream (y^a). A model predictive controUer
is used with the state-shared model that contains only fixed models at the known
operating regions (100 kmol.h and 130 kmol/hr) and their measurement equations.
A controUer horizon M oiA and a prediction horizon P of 10 are selected. To represent

133
a preference among the controlled variables, different weights (S) of 3, 1, and 10 are
selected for P, yAs, and F4, respectively. Equal weighting (A) of the rate of change
in the inputs: feed, purge, and reactor effluent valve positions are used. The system
has constraints on the outputs and inputs (see Chapter 3). No special attempts were
used to determine optimal values for these parameters.
Figure 6.1 shows the closed-loop responses of F4 and P The production rate
achieves its set point in about 10 hours and there is no violation of the pressure
constraint. The production rate can be made to reach its the set point sooner with
more aggressive controller action. Figure 6.2 sUows the the closed-loop responses of
F4 and P when measurement noise (signal to noise ratio 10:1) is present. A first-order
filter^ is used in the MPC formulation to filter the noise. Both responses achieve their
set points after 8 and 10 hours, respectively.
In practice, the composition measurement cannot always be measured in a timely
fashion. Assume that y^s can be inferred from the other measured signals. Closed-
loop performance of P4 using estimates of y^s are shown in Figure 6.3. It is observed
that the transition is achieved within 8 hours without constraint violation. Table 6.1
shows the sum squared errors between the reference and the measured value when
composition of A in the purge is either assumed to be measured or inferred from the
other measured signals.

Table 6.1: Tracking errors of the two-phase reactor.

State of yA3 P (kPa) FA (kmol/h) y^g (mol%)
Measured 1146.58 1336.13 476.4
Inferred 1688.02 1480.01 489.90

iyp(fc)=0.2j/-(fc)-f0.8yp(fc-l).

134
 10
Time [h]

Figure 6.1: Transition control of the two-phase reactor using an MPC controUer.
Production rate change from 100 kmol/h to 130 kmol/h. Dashed line: set point,
dotted line: reference trajectory. Top left panel: Production rate. Top rigUt panel:
Reactor pressure. Bottom left panel: Composition of A in the purge. Bottom right
panel: Model switching.

135
Figure 6.2: Transition control of the two-phase reactor using an MPC controller at
non-ideal conditions. Production rate change from 100 kmol/h to 130 kmol/h in
the presence of measurement noise (SNR 10:1). Dashed line: set point, dotted line:
reference trajectory. Top right panel: Production rate. Top left panel: Reactor
pressure. Bottom left panel: Composition of A in the purge.

136
6.1.3 MPC control of a biological system

The results are taken from [52]. The multiple-input multiple-output nonlinear
model tUat describes calcium-induced calcium-release mecUanism of tUe Ryanodine
receptors and the calcium balance in a human cardiac myocyte, introduced in Section
3.6.2, is used to further demonstrate the MPC control strategy. The operating states
are Usted in Table 6.2 [10]. It is noticed that values of the concentration of calcium

Table 6.2: CICR model nominal values.

Variable Definition OPI[10] OPII
Xpl Bare site fraction 0.6962 0.6488
Xp2 Positive site fraction 0.1883 0.2139
Xp3 Negative site fraction 0.0245 0.0340
Xp5 Caconc. i n C Y 0.1370 ^M 0.1670 ^M
Xp6 C a cone, in S R 38.126 fiU 39.262 //M

in CY and SR are very small numbers. These values are simulated results obtained
from the model and do not reflect experimental data obtained from the real system.
The influx trigger, J, and the maximal rate of Ca in CY to extraceUuIar pump,
Ql, can be adjusted by pharmacologic means. Thus, they can be selected as the
manipulated variables to regulate the system.
Assuming that Xps and Xp6 can be measured, the measurement equation is given

by
0 0 0 10
y{t) = Gxp{t), C = 0 0 0 0 1
(6.11)
Xp{t) = [Xpl Xp2 Xp3 Xp5 Xps]^ .

For the 2-input 2-output physiological system, linearization at the two known
operating states yields two linear models that can be shown to be stable. By checking
the controllability gramians, it is found tUat tUese two Unearized models are also state
uncontroUable. One pole and one zero (-10.605) are almost the same in the transfer
functions at these two states. Minimal realization of the linearized system leads to a
4tU-order LTI model. Using the balanced truncation method described in Chapter 3,
the hnear model at OPI and OPII can be reduced to 3rd-order models,

137
 10 10
Time [h] Time [h]

Figure 6.3: Transition control of the two-phase reactor using an MPC controller at
non-ideal conditions. Production rate change from 100 kmol/h to 130 kmol/h with
yA3 inferred. Dashed line: set point, dotted line: reference trajectory. Top left panel:
Production rate. Top right panel: Reactor pressure. Bottom left panel: Composition
of A in the purge.

138
OPI
-2.7566 2.8145 -0.4583'
A = -2.8152 -0.6653 1.0459
-0.4589 -1.0459 -0.1260

1.6977 -2.0232'
B = 0.5244 -0.6249
0.1736 -0.2069

C = -0.0289 0.0372
-2.6409 0.8149
-0.0137
-0.2697
OPII
-1.0898 -2.9738 0.6683
A = 2.9905 -0.0010 0.0192
0.6684 -0.0292 -0.7040

1.5888 -1.7938'
B = -0.0480 0.0542
-0.5919 0.6683

-0.0219 -0.0631 0.0246-

C = -2.3961 -0.0356 0.8924
A state-shared model is constructed for these two 3rd-order models. The upper
bound of the McMillan degree of all tUe nominal models is (n=) 3. For a 2-input 2-
output system, tUe state-sUared model wiU have order {2nm =)12 and 15 (n(m2 + l))
adaptable parameters. From the approach described in Chapter 3, choose {F, G) to
be
0 1 0
Fj = 0 0 1 Gj = J = 1,2
-Ol -02 -as
with ai = 1, a2 = 2, and as = 3 such that the pair {F, G) are controUable. TUen,

Pi 0 Gi 0
F = G =
0 P2 0 G2
J 6x6 6x2

First-order reference trajectories for the transitions between OPI and OPII are
selected for the two outputs, Ca concentration (xps) in the cytosol (CY) and Ca
concentration (Xpe) in the sarcoplasmic reticulum (SR). The MPC strategy uses a
control horizon of 4 and a prediction horizon of 10. Equal weighting of the rate of

139
change in the inputs is used. To represent a preference among the controlled variables,
output weights of 50 and 1 are chosen for Xp5 and Xpg, respectively, to imply that Xps
is more important than Xpg. As before, no special attempts are made to determine
optimal values for these parameters. This system has constraints on the outputs and
inputs.

Figure 6.4, top panel, shows the closed-loop response when the system transitions
from OPII to OPI. The controlled outputs track tUeir references satisfactorily. The
set points are reached in approximately 6 seconds. The bottom panels show the
control action for the calcium influx trigger J and the maximal rate of calcium in
the cytosol, qi. The calcium trigger influx (J), is bounded below ( J > 0). After
the system reaches OPII, J goes to zero (its nominal value) and remains there. The
closed-loop response may be improved if J was unconstrained.

Figure 6.5 shows the response when the system transitions from OPI to OPII. For
comparison, the response of Xps is shown when there is no preference between Xpe and
Xp5. In other words the output weights are unity. It is observed that the unequal
output weighting produces better closed-loop performance.

6.2 Summary

In this chapter, the model-based control method called model predictive control
(MPC) method was reviewed. Notable points are that the MPC formulation can be
based on input/output and state-space models and constraints can be included ex-
plicitly. The control action is the result of an optimization problem. In the case of a
quadratic objective function and constraints, a method such as sequential quadratic
programming (SQP) can be used to arrive at a solution. When the model is linear
and the system is unconstrained, a unique solution is guaranteed. However, when the
model is either linear or nonlinear and constrained, neither uniqueness nor conver-
gence are guaranteed.
The state-shared model, developed in Chapter 3, is used as the model in the
MPC framework. Two examples previously introduced are used to demonstrate the

140
MPC controller. The first is a nonlinear multiple-input multiple-output chemical
reactor system that transitions from one production rate to another. The outputs and
inputs are all constrained. Satisfactory closed-loop performance was achieved even
in the face of unmeasured output disturbances and when composition was estimated.
The second is a physiological system which describes calcium-induced calcium-release
mechanism in cardiac myocytes. A transition controller is designed to realize calcium
concentration transitions in both the cytosol and sarcoplasmic reticulum. It was
shown that proper choice of the MPC parameters wiU lead to fast response, Uowever
accuracy remains a function of the model fidelity.

141
 4 6
Time (sec)

0.03r

0.025 •

I 0.02-
1

T 0.015-

S 0.01 •
>
V

I 0.005
a
'c
a
J f 'ttk*- .
5 0

-0.005
4 6
Time (sec)
-0.01

Figure 6.4: Transition control of the biological system using an MPC controller.
Dotted line: reference trajectory. Top left panel: Ca concentration in the cytosol for
a set point change from 0.1670 ^M to 0.1370 ^M. Top right panel: Ca concentration
in the sarcoplasmic reticulum for a set point change from 39.262 //M to 38.6162 /xM.
Bottom left panel: Ca trigger influx J. Bottom right panel: Maximal rate of Ca in
the cytosol gi.

142
 0.135-
4 6
Time (sec)

Figure 6.5: Transition control of the biological system using an MPC controller.
Dotted Une: reference trajectory. Top left panel: Ca concentration in tUe cytosol for
a set point change from 0.1370 fiU to 0.1670 ^M with an output weight of 50. Top
right panel: Ca concentration in the sarcoplasmic reticulum for a set point change
from 38.6162 /xM to 39.262 //M with output weight of 1. Bottom right panel: Ca
concentration in the cytosol for a set point change from 0.1464 /iM to 0.1244 //M but
with an output weight of 1.

143
 6.3 Nomenclature
Ca Calcium
CSTR Continuous stirred tank reactor
CY Cytosol or cytoplasm
DMC Dynamic matrix control
ISE Integral Square Errors
ITSE Integral Time Square Error
MIMO Multiple-input multiple-output
MPHC Model predictive heuristic control
MRAC Model reference adaptive control
MPC Model predictive control
QDMC Quadratic dynamic matrix control
SISO Single-input single-output
SNR Signal to noise ratio
SR Sarcoplasmic reticulum
SSV Structured singular value

144
 CHAPTER 7
TENNESSEE EASTMAN CHALLENGE PROBLEM
7.1 Background

The Tennessee Eastman (TE) challenge problem provides a plant flowsheet and
a list of expected disturbances of a chemical plant [11]. A computer program that
contained implicit dynamic models of the unit operations was also provided. A sig-
niflcance of this challenge problem is that the plant can be operated on demand at
three different product distributions (operating states). Thus, the challenge problem
provides a very rich opportunity to study control related topics such as, multivariable
de-centralized control design, centrahzed model-based and model-predictive control
designs, inferential control, nonlinear control, and adaptive control for regulation and
transitions. Since the pubUcation of tUe TE process in 1993 [11], more than 60 papers
have been publisUed in which besides control studies, statistical process monitoring,
sensor fault detection, and optimal scheduling policies have also been investigated
[1, 56, 112, 113, 114, 115].
McAvoy and Ye [112] developed a decentralized plantwide control system de-
sign based on utilizing multiple single-input-single-output (SISO) control loops. The
methodology involved screening various pairs of control and manipulated variables
using steady-state techniques, such as Relative Gain Array (RGA). Ricker and Lee
[56] tested this strategy and found that the compressor power loop is often saturated
during transients. This control scheme did not demonstrate transition control among
the different product grades.
Luyben and coworkers [113] proposed a SISO control structure based on heuristic
(process engineering) knowledge and energy and mass balances. They applied their
systematic nine-step plantwide control methodology to design a plantwide control
structure for an on-demand production and and on-supply of reactants. The control
system developed is simple but effective for regulatory control of the plant. The
extreme disturbances are addressed in the usual industrial mode of applying overrides
and high and low selectors. This control scheme also did not address transition

145
control. Other papers report simUar SISO structures [116, 117].
The most extensive studies of the TE process have been reported by Ricker and
coworkers. Ricker and Lee [114] derived nonhnear, mechanistic models of the ma-
jor unit operations that reproduced the essential dynamic process characteristics. A
key simplification is the omission of the energy balance. An extended Kalman Fil-
ter (EKF) provided continuous adjustments of the dynamic model parameters (and
states) during transients. Based on this simplified model, Ricker and Lee [56] designed
a nonUnear model predictive controller. TUis control strategy wUen compared witU
typical SISO multiloop strategy sUows better closed-loop performance especially for
transition control (set point changes) and constraint handling. Although the models
are nonlinear, the MPC controUer is based on multiple linear models obtained from
the linearization of tUe nonlinear models at every sample point.

In [115], Ricker developed a decentraUzed control structure and demonstrated

that it was superior to the multiple linear models utilized by the MPC scheme just
described [56]. Ricker suggests that the most important criterion for a successful
control strategy hes with the selection of the set of controUed variables. Similar
statements in this regard can be found in the publications of Skogestad and coworkers
[118, 119, 117] and SUinnar and coworkers [120, 121, 122].
Beside the base mode, there are six optimal steady-state modes of process oper-
ation for the three different production mass ratios [1]. This chapter addresses the
transition control among these modes.

7.2 Process Description

The process description is provided by Downs and Vogel [11]. The Tennessee East-
man process has five major unit operations: a chemical reactor, a product condenser,
a vapor-hquid separator, a recycle compressor, and a product stripper. Figure 7.1
shows the flowsheet of the process.
The process produces two products from four exothermic, irreversible reactions.
There are a total of eight components disguised with the notation: A, B, C, D, E, F, G,

146
and H. Note that component B is an inert. The chemical reactions are given as

Mg) + C{g) + D{g) -^ G{liq) Product 1

Ma) + C{g) + E{g) -> H{liq) Product 2
A{g) + E{g) -^ F{liq) Byproduct
3D{g) -^ 2F{liq) Byproduct.

The reactor is modeled as an ideal continuous-stirred tank reactor. The reaction

rates are a function of temperature through an Arrhenius expression. Reaction 1
(producing G) has a higher activation energy (40000 cal/mole) resulting in greater
sensitivity to temperature changes than Reaction 2 (producing H). The reactions are
approximately first-order with respect to each reactant concentration.
A non-volatile catalyst is dissolved in the hquid phase. The reactor has an internal
cooling bundle to remove the heat of reaction. The products have moderate volatility
and exit the reactor with the unreacted gases. The catalyst remains in the reactor.
The reactor product stream, a vapor, passes through a condenser to a vapor-liquid
separator. The non-condensible species are recycled through a centrifugal compressor
back to the reactor. The condensed components are sent to a stripping column to
remove the remaining reactants. Products G and H exit at the stripper base. The
inert and byproducts primarily exit the system as a vapor from the vapor-hquid
separator.
There are seven modes of process operation at three different G/H mass ratios
(stream 11 in Figure 7.1), listed in Table 7.1. Mode 0 is the base case. Modes 1-3
are operating states with minimum operating costs at G/H mass ratios of 50/50,
10/90, and 90/10, respectively, while modes 4-6 are operating states with maximum
production rate at three different G/H ratios. The product mix is dictated by product
demand. The plant production rate is set by market demand or capacity limitation.

147
Figure 7.1: The TE process design flowsheet [11]. There are five major unit opera-
tions: chemical reactor, condenser, separator, stripper, and compressor; 41 measure-
ments and 12 control degrees of freedom.

148
 Table 7.1: Seven modes of process operation
Mode G/H mass i•atio Production rate (stream 11), kg h-i
0,1 50/50 7038G/7038H
2 10/90 1048G/12669H
3 90/10 lOOOOG/llllH
4 50/50 maximum production rate
5 10/90 maximum production rate
6 90/10 maximum production ra te

Table 7.2 : Process manipulated variable s

Variable Variable Base case Low High
name number value (%) limit limit Units
D feed fiow (stream 2) XMV(l) 63.053 0 5811 kgh-i
E feed flow (stream 3) XMV(2) 53.980 0 8354 kgh-i
A feed flow (stream 1) XMV(3) 24.644 0 1.017 kscmh
A and C feed flow (steam 4) XMV(4) 61.302 0 15.25 kscmh
Comp recycle valve XMV(5) 22.210 0 100 %
Purge valve (stream 9) XMV(6) 40.046 0 100 %
Sep liquid flow (stream 10) XMV(7) 38.100 0 65.71 m^h-i
Strip liquid flow (stream 11) XMV(8) 46.534 0 49.10 m^h-i
Strip steam valve XMV(9) 47.446 0 100 %
Reac cooling water flow XMV(IO) 41.106 0 227.1 m^h-i
Cond cooling water flow XMV(ll) 18.114 0 272.6 m^h-i
Agitator speed XMV(12) 50.000 150 250 rpm

7.2.1 Manipulated variables and measurements

The TE process has twelve manipulated variables: eleven control valves and the
agitator speed on the reactor. These are listed in Table 7.2.
There are 41 measurements; 22 are continuous measurements and 19 are sampled
measurements. Downs and Vogel [11] provided the nominal process values for the
base case. For this multiple-input multiple-output (MIMO) system, the values of the
manipulated variables and measurements that give the required G/H mass ratios are
not unique. Ricker [1] provided the optimal steady-state operating conditions for the
six operating modes. The values are listed in Table 7.3. The base case and optimal
steady state values are also hsted in this table.

149
 Table 7.3: Process measure d o u t p u t variables (from [1])
Meas. Mode 0 Mode 1 Mode 2 Mode 3 Mode 4 Mode 5 Mode 6
value Base case (50/50) (10/90) (90/10) (50/50) (10/90) (90/10)
1 A feed, kscmh 0.251 0.267 0.309 0.194 0.503 0.325 0.219
2 D feed, k g / h 3664 3657 734 5179 5811 761 5811
3 E feed, kg/h 4509 4440 8038 700 7244 8354 788
4 A + C Feed, kscmh 9.35 9.24 8.55 7.83 14.73 8.83 8.79
5 Recy flow, kscmh 26.90 32.18 31.69 19.67 29.22 31.27 20.08
6 Reac Feed, kscmh 42.34 47.36 46.08 32.09 53.76 46.24 34.02
7 Reac pressure, kPa 2705 2800 2800 2800 2800 2800 2800
8 Reac level, % 75 65 65 65 65 65 65
9 Reac temp, "C 120.4 122.9 124.2 121.9 128.2 124.6 123
10 Purge rate, kscmh 0.337 0.211 0.361 0.087 0.462 0.384 0.099
11 Sep temp, "C 80.1 91.7 90.3 83.4 74.1 88.9 80.9
12 Sep level, % 50 50 50 50 50 50 50
13 Sep pressure, kPa 2634 2706 2705 2765 2699 2705 2761
14 Sep underflow, m^/h 25.16 25.28 26.31 17.55 40.06 27.45 19.60
15 Strip level, % 50 50 50 50 50 50 50
16 Strip pres, kPa 3102 3326 3327 2996 3365 3330 3015
17 Strip underflow, m^/h 22.95 22.89 22.73 18.04 36.04 23.55 20.20
18 Strip temp, °C 65.73 66.5 65.4 62.3 51.5 63.9 60.5
19 Steam flow, kg/h 230 4.74 4.90 5.34 6.87 5.11 5.59
20 Comp work, kW 341 278.9 274.7 272.6 263.2 271.17 293.2
21 Reac cool temp, °C 94.6 102.4 108.6 101.9 96.6 108.5 100.6
22 Cond cool temp, °C 77.3 92.0 91.6 45.0 73.5 89.8 45.7
23 Feed %A, mol% 32.19 32.21 34.82 29.46 35.40 34.78 29.99
24 Feed %B, mol% 8.89 14.93 8.18 27.74 8.78 7.85 26.34
25 Feed %C, mol% 26.38 18.75 19.43 17.97 22.36 19.54 18.80
26 Feed %D, mol% 6.88 6.03 1.20 12.68 7.95 1.24 13.23
27 Feed %E, mol% 18.78 16.71 25.47 3.86 17.01 26.03 3.91
28 Feed %F, mol% 1.66 4.04 5.60 1.29 3.88 5.60 1.33
29 Purge %A, mol% 32.96 32.73 36.63 27.86 40.94 36.71 28.61
30 Purge %B, mol% 13.82 21.83 11.77 45.07 15.90 11.47 44.41
31 Purge %C, mol% 23.98 13.11 14.63 9.22 15.68 14.57 9.76
32 Purge %D, mol% 1.26 0.90 0.13 2.18 0.68 0.13 2.09
33 Purge %E, mol% 18.58 16.19 22.37 3.94 15.41 22.92 4.00
34 Purge %F, mol% 2.26 5.39 7.37 1.82 5.72 7.44 1.91
35 Purge %G, mol% 4.84 6.62 1.32 9.40 3.85 1.26 8.76
36 Purge %H, mol% 2.30 3.23 5.79 0.50 1.82 5.51 0.46
37 Product %D, mol% 0.02 0.01 0.00 0.03 0.02 0.00 0.03
38 Product %E, mol% 0.84 0.58 0.92 0.16 1.21 1.01 0.18
39 Product %F, mol% 0.01 0.19 0.29 0.07 0.04 0.32 0.08
40 Product %G, mol% 53.72 53.83 11.66 90.09 53.35 11.65 90.07
41 Product %H, mol% 43.83 43.91 85.64 8.17 43.52 85.53 8.16

150
7.2.2 Constraints and disturbances

The given process constraints are listed in Table 7.4. The high and low shutdown
limits are part of the plant's safety interlock system.

Table 7.4: Process operating constraints

Normal operating hmits Shut down hmits
Process variable Low High Low High
Reactor pressure none 2985 kPa none 3000 kPa
Reactor level 50% 100% 2.0m^ 24.0m3
ll.Sm^ 21.3m3
Reactor temperature none 150°C none 175°C
Separator level 30% 100% l.Om^ 12.0m=*
3.3m3 9.0m3
Stripper base level 30% 100% l.Om^ 8.0m^
3.5m3 6.6m^

There are 15 possible disturbances, listed in Table 7.5. EacU disturbance illustrates
a different aspect of operating tUe process.

Table 7.5: Process disturbances

Ref No. Description Signal type
IDV(l) A / C Feed Ratio, B Composition Constant (Stream 4) Step
IDV(2) B Composition, A/C Ratio Constant (Stream 4) Step
IDV(3) D Feed Temperature (Stream 2) Step
IDV(4) Reactor CooUng Water Inlet Temperature Step
IDV(5) Condenser CooUng Water Inlet Temperature Step
IDV(6) A Feed Loss (Stream 1) Step
IDV(7) C Header Pressure Loss Step
Reduced AvailabiUty (Stream 4)
IDV(8) A, B, C Feed Composition (Stream 4) Random
IDV(9) D Feed Temperature (Stream 2) Random
IDV(10 C Feed Temperature (Stream 4) Random
IDV(11 Reactor Cooling Water Inlet Temperature Random
IDV(12 Condenser Cooling Water Inlet Temperature Random
IDV(13 Reaction Kinetics Slow Drift
IDV(14 Reactor Cooling Water Valve Sticking
IDV(15 Condenser Cooling Water Valve Sticking

151
7.2.3 Operating cost function

In Downs and Vogel [11], the total operating costs are given by.

Costs = (Purge costs)(purge rate)+(product stream costs)(product rate)

+(compressor costs) (compressor work)+(steam costs) (steam rate)

$ fi
where purge cost is 7.5973- -, product stream cost is 0.1434 , compressor
kgmol kgmol
cost is 0.0536——-, and steam cost is 0.0318—.
kWh kg

7.3 Model Description

The steady-state energy balances of aU the units in the plants are provided in the
form of a Fortran program that accompanied the process flowsheet description. This
work assumes that the code is correct. Independently, this work has developed its
own Fortran code of the flowsheet based on explicit material and energy balances.
The output of this code was validated against the results of the original Downs and
Vogel Fortran program.

7.3.1 Assumptions
The assumptions provided are:

• The vapor phase species are assumed to behavior as ideal gases.

• The vapor-liquid equilibrium follows Raoult's Law,and tUe vapor pressure is

calculated by Antoine's equations [123].

The following is Raoult's law,

P = Py, = Prp.,x^ (7.2)

where P is the total pressure, Pyp^i is the saturated vapor pressure of component
i, and y, and xf are the mole fractions of component i in the vapor and liquid

152
 phases, respectively. The general form for Antoine's equation is given by

B
P.p = e x p ( ^ A + ^ , ^ J (7.3)

where P^p is pressure (mmHg), and T is temperature (°C). The coefficients of

the Antoine's equations for the components of this system are listed in Table
7.6.

Table 7.6: Coefficients in the Antoine equation for condensible components

Component A B C
D 15.92 -1440 259.0
E 16.35 -2114 265.5
F 16.35 -2114 265.5
G 16.43 -2748 232.9
H 17.21 -3318 249.6

• All phases are well mixed.

• The rate of reactions are proportional to the partial pressures of the reactant
in each reaction.

• All reactions occur in tUe vapor pUase, and tUe rate of reactions are proportional
to tUe vapor volume in the reactor. Components A, B and C are insoluble in
aU liquid phases (non-condensible).

• Where hquid and vapor phases co-exist, vapor-liquid equihbrium is assumed.

• All components are in the vapor phase in the mixing zone.^

• The reactor agitator only affects the heat transfer coefficient.

^The mixing zone consists of five streams, i^i, F2, F3, F5, Fg, that comprise the reactor feed stream,
FQ. Well-mixedness is assumed in the mixing zone.

153
7.3.2 State-space formulation

A nonUnear state-space model is developed that has the form of Equation (2.1).
There are 38 states arranged as follows:

< = [iV.4,„ A^B,., . . . , NH,r, Tr, NA,S, NB,S, • • • , NH,S, Z,

NA,C, NB,C, . . . , NH,C, TC, A^^,., NB,V, . . . , NH,V, Ty, T,^r, Tc^s]

where Ni^r is the molar holdup (in Ibmole) of component i in the reactor; and Ni^s,
Ni^c, and A^j_„ are the molar holdups in the separator, stripper, and feed mixing zone,
respectively. The temperatures (°C) in the reactor, separator, stripper, and mixing
zone are Tr, T^, T^ and T^, respectively. The reactor and condenser cooling water
outlet temperatures ("C) are Tcwr and Tews, respectively. The number of control
degrees of freedom (manipulated variables) is 12, that is, the size of the vector of
manipulated variables is twelve pertaining to twelve control valves (see Figure 7.1).

7.3.3 Reactor system

The reactor is a CSTR, containing liquid and vapor phases, which are assumed
to be equilibrium. Heat generated by the four exothermic reactions is removed by a
heat exchanger (coils) in the reactor. The feed and the product streams of the reactor
are vapor streams. Eight component balances and an energy balances can be written
for the reactor.

- ^ = yifiPe - yaPj + J2^^^•^^•' i = A,B,...,H (7.4)

where yi^k is the mole fraction of component i in stream k, F^ is the molar flow rate
of stream k, Vij is the stoichiometric coefficient of component i in reaction j , and Rj
is the reaction rate of reaction j in the reactor (in Ibmole/h). An additional energy
balance equation is written for the cooUng water.

154
 The four reaction rates are given as.

Pi = exp ( A ) Vv^rPZPS:rPD,r exp ' ^'

RT

E2_
R2 = exp {(^2) Vv,rPZP^rPE,r exp (-
RTj-
(7.5)
R3 = exp {(33) Vv,rPA,rPE,r CXp f -
RTy

RA = exp {(34) Vv,rPA,rPD,r CXp f - .A

RTr

where P^^^, i — A,B,...,H is the partial pressure of component i in reactor vapor

phase, Vi/^r is the vapor volume in the reactor, and exp (/?»), i = 1,2,3,4 are the
frequency factors koi- Note that Pi, i = 1,2,3,4 are not dimensionless and their
values are given in Table 7.7.

Table 7.7: Parameters in the reaction rate equations

Parameter Value
ai 1.1544
0.2 0.3735
/3i 31.5859536
/?2 3.00094014
/?3 53.4060443
/34 53.1414123
El 40000.0 cal/mole
E2 20000.0 cal/mole
Es 60000.0 cal/mole
EA 60000.0 cal/mole
R 1.987 cal/mole-K
Qrl -0.06899381054 Btu/lbmole
Qr2 -0.05 Btu/lbmole
Qr3 Not given, assumed to be 0
yalrA Not given, assumed to be 0

The energy balance for the reactor is given by,

dHr
hePe - hrPj + Rl{-Qr,) + R2{-Qr2) + Qur (7.6)
dt

155
where hk is the specific molar enthalpy of stream A; = 6, 7; Q ^ and Qr2 are the molar
heats of reaction for Reaction 1 and Reaction 2 (in Btu/lbmole), respectively; and
Qur is the heat transfer rate. The reactor enthalpy Hr can also be found from

H
Hr{Tr) = hr{Tr)Y,Nr,r (7.7)
i=D

where hr{Tr) is the specific molar enthalpy of the liquid mixture.

Since the material holdup in the vapor phase of the reactor is much smaller than
that in the liquid phase, the energy in the vapor phase is negligible. The reaction
rates of the product reactions are larger than those of the byproduct reactions. The
heat produced in the byproduct reactions is neghgible.
The log mean expression for heat transfer between the exchanger and the reactor
is given by [124]
(1 = U-^{Tout — Tin) ,- „x
'^"'- in[(T, - T„„,)/(r, - r,„)] ^'-^^
where Tout and Tj„ are the exit and entrance temperatures of the cooling water,
respectively. As a first approximation, quasi-steady state for the cooling water flow
rate is assumed since the time constant of the cooling water system is much faster
than that of the reactor. A steady-state energy balance on the cooling system is given

by

T —T
mcCpc{Tr - Tin) - rhcCpc{Tr - Tout) = UAy-j— ^ "1———j- (7.9)
ln[{lr — J-outJiyJ-T — J-inJl

where nic is the cooling water mass flow rate, and Cpc is the heat capacity of cooling
water. From Equation (7.9), it is not difficult to obtain

^'•-^'" expf^V (7.10)

Tr — Tout
out \ rUrG,
\''''c^~^pc

156
Substitution of the above into Equation (7.8) and using Equation (7.9) gives

UA
^jur ^TT'c'^pcy-'- out •'•in) — TTlfX^^
pc Tout -Tr-\r {Tr - Tout) e x p (7.11)

The last term can be approximated from a series solution of the exponential function.

UA UA
exp 1 +
nic^pc

Substitution of this approximation into Equation (7.11) gives

Qur ^ UA[lr — •lout)-

The heat transfer coefficient U is affected by the agitation rate and A is the contact
area.
The empirical relationship given for dimensionless agitator speed, Vag, is given by

Vag = XagCap + 1-5

where XagCap is the fraction of the maximum agitator capacity.

The empirical relationship provided for the product of the heat transfer coefficient,

U, and heat transfer area. A, is given by

1 Lr > QO%Lr,tot

UA= < 0 Lr < lO%Lr,tot

0.85549(0.025yL,r/7.8 - 0.25){-0.5vlg + 2.75vag - 2.5) o.w.

where Lr is the hquid level and Lr^tot is the maximum feasible liquid level of the

reactor.
The following empirical equations are provided to calculate tUe specific molar

157
enthalpy of the mixture,

H
hu,{T) = Y, x{i)MWi {^^{i)T + BH(i)TV2 + C\[{i)T^/2,)
i=A
(7.12)
H
huap{T) = Y^ y{i^MWi {kG{i)T + B G ( Z ) T V 2 + C G ( 0 T V 3 + AV(z))
i=A

where x{i) and y{i) are the mole fractions of component i in the liquid and vapor
phases, respectively and MWi is the molecular weight of component i. The coefficients
of the above polynomials in T are provided. Substitution of Equation (7.12) into
Equation (7.7) gives

H H

Hr^Y ^^'^ Yl ^r{i)MWi (AH(i)r, + BE{i)T^/2 + CK{i)T^/3)

i=D ! = /i

Taking the total derivative of the above equation in accordance with the left hand
side of Equation (7.6) gives

dHr ^ dN, "

= E ^ E ^r{i)MW^ (AH(z)T, + BH(z)r,V2 + CH(z)r,V3)
dt ^^ dt ^
i=D i=A
H H dTr
+ J2 ^^^r E Xr{^)M^^{^^{^ + BH(i)T, + CH(z)r2) (7.13)
\=D i=A
H H dxr{i)
Y Ni,r E ^ ^ ' {^^{^)Tr + BH(2)r2/2 + CH(z)r,V3)
+ dt
i=D i=A

Ni_
For the condensible species, Xr{i) = -^—'—, i = D,... ,H. Thus,
E Nj,r
j=D

H H
( \ dJ^\-N- -N ( T ^
dxr{i) d Ni. j=D j=D
(7.14)
dt ^ dt
. E Nj,r , (E^Vi.)^

158
 Define
H
Cpr = 'Y^r{i)M\\]{kE{i) + BH(z)r, + C}i{i)T^)
i=A

is the specific molar heat capacity of liquid mixture in the reactor. Substituting
Equations (7.13), and (7.14) into Equation (7.6) gives

TT rj

h,F, - h,Fr + Rl{-Qr,) + R2{-Qr,) + Q u r - t ^ K - V A^., ^ ^ ^

dTr _ i=D "f ^^jj ^^J-, ^rKl-) 0.1
~dt I ^
^pr 2—1 ^^i,r
i=D

(7.15)
where, /i^.t is the specific molar enthalpy of component i in liquid mixture in the
reactor. Note that for components D to H, the term Ni^r refers to the number of
moles in the liquid phase only. Accumulation of these components in the vapor phase
is assumed negligible.
The hquid volume, Vi,_r, of the reactor can be found from
H
ZN^,r
V - '=^
yL,r — Pliq^ry^'r )

where piiq,r{Tr) is the density of the liquid in the reactor. By difference, the vapor
volume, VV,r, can be determined from

Vv,r = Vr- VL,r.

The densities of the liquid in the reactor, the separator, and the stripper are deter-
mined from the empirical equation,

_ (^ x{t)MW. \"' ^g.

AD(i)+BD(z)r + CD(i)T2
.i=A

Equations (7.2) and (7.3) are used to calculate the vapor pressures and partial

159
pressures for components D to H. The ideal gas law is used to calculate the partial
pressures for the non-condensibles A, B, and C,

Pi.r = Z^^" i = A,B, C. (7.17)

Vv,r

The total pressure in the vapor phase is found from the summation of the partial
pressures,
H
Pr = J]P»,r- (7.18)
i=A

The mole fraction of component i in the vapor phase can be calculated from a ratio
of the partial pressure and total pressure,

y(0 = ^ i = A,...,H. (7.19)

The reactor input and output streams, FQ and F-j (see Figure 7.1) are proportional
to the square root of the pressure difference at the inlet and outlet of the reactor.

Pe = 1 9 3 7 . 6 ^ ^ ^ ^ Pr = 4574.21 ^ ^ ^ ^ ^
MWSf, MWS7

where P„ and P, are the pressures in the mixing zone and separator, respectively.
The term MWSi is the mixture molecular weight of stream i determined from

MWSi = Y<J^^)^^J i = l,.. ,11

3=A

where x{j, i) is the mole fraction of component j in stream i.

The energy balance on the cooling water system is given by

CpcPcVcool^ = CpcPc{T^n - Tout)Fu,r - Qur (7-20)

where pc is mole density of the coohng water; Vcooi is the cooUng water system volume;

160
and Fwr is the cooling water flow rate, which is a function of valve position.
Equations (7.4), (7.15), and (7.20) represent the nonlinear dynamic model of the
reactor system.

7.3.4 Separation system

The separation system includes the separator, condenser, and compressor. The
separator model is similar to the reactor model, but without any chemical reactions.
The component balances are:

dNis
—^ = yijF? - yz^Es - yi,9F9 - Xi^wFio, i = A,B,...,H. (7.21)

The energy balance is:

H H
h,F, - hsEs - h,F, - hioFio -Wc + Qus-E ^ h - T N,,s T - ^ ^
dTs _ i=D at ^ ~f)^s{}) at
~dt ~ '- ^
Cps E iv..
i=D
Qus ^ UAs\lout,s — •'•stj)

(7.22)
where Wc is the power of the compressor, Qus is the energy transferred between the
condenser cooling water system and stream 7, Tgtj is the temperature of stream 7,
and Tout,s is the exit temperature of the condenser coohng water The product of the
heat transfer coefficient and heat transfer area is given by
UA, = 0.404655(1.0 - 1.0/(1.0 + (P7/3528.73)^)).

161
 The exit streams flow rates are functions of the pressure differences,

P^ = ((1 - n ^ ) ( 1 0 - iy/) - 53.3A9x,VPr^ /MWSs

FQ = 0.151169x6^^, - Po/MWS^

Pio = 1500x7/100

where Po is the pressure of a standard atmosphere.

The empirical equation to calculate the work done by the compressor (compressor
characteristic curve fit) is given as

('-i^)('-°-(gm(n-p.)
MWSsP.

The energy balance in the condenser is given by

''-^ peps''cool TT '^pcPsy^' in,s •>• out,s}^ ws ^us V' '^j

where ps is mole density of the cooling water in condenser, Vcooi is the cooler volume,
and Fuis is the cooling water flow rate, which is a function of valve position.
The Antoine equation, ideal gas law, and Raoult's law are used to calculate the
components in the liquid and vapor pUases, partial pressures, and Uquid levels. Equa-
tions (7.21) to (7.23) represent the nonhnear dynamic model of the separator system.

7.3.5 Stripper
The information about the stripper model is perhaps the weakest point in the TE
description. The component balances for the splitter are given by

^ = yrAFA + x,,ioPio - y^,f>F^ - x.^nFu i = A,B,...,H (7.24)

at

162
and
H
P5 = 5]]$,(y,,4p4 + x,,ioPio)
i=A

where $ j , j = A , . . . , / / are the components splits for the exiting vapor stream (stream
5). Nominal values of the component splits are given in Table 7.8.

Table 7.8: Nominal values of stripper splits for the exiting vapor stream.
^A ^B ^c ^D ^E $F $G $H
0.995 0.991 0.990 0.916 0.936 0.938 0.058 0.030

Empirical equations are provided to determine the splits for components D to H

as a function of the stripper temperature and the flow rates of streams 4 and 10, if
the flow rate of stream 10 is bigger than 0.1 Ibmol/h.

8.5010(P4/Pio)/r,
1 + 8.5010(P4/PIO)/T.

11.402(P4/Pio)/r.
$£ = (7.25)
l + 11.402(P4/Pio)/r.
11.795(P4/Pio)/r,
$F =
1 + 11.795(P4/PIO)/T.

0.0480(P4/Pio)/r.
$G = 1 + 0.0480(P4/PIO)/T.

0.0242(P4/Pio)/r,
1 + 0.0242(P4/Pio)/r.
where the function fr^

Tr - 120.262 Te > 170°C

Tr < 5 . 2 9 2 ° C
fn = { 0.1
363.744
-2.22579488 o.w.
I 177 - Tc

163
 The energy balance is given by

hAFA + hioFio - hP, - hiiFii + Quc-T ^ h c - E A^.c E ^ ^

•^ dt ^-^ ^-^ Xc(i) dt
dt H
P^ / J ^^i,c
i=D

(7.26)
where Que is the energy supplied to the stripper by steam.

Que = UAc{lOO - Tc) Tc > 100°C.

If the temperature in the stripper is greater than 100°C, there will be no beat transfer.
Equations (7.24) and (7.26) represent the nonlinear dynamic model of the stripper.

7.3.6 Mixing zone

In the T E flow sheet, there is no mixer unit operation. By the mixing zone, it
is meant a fictitious point where five gas streams. Pi, P2,P3, p5,p8, are mixed prior
to becoming the feed to the reactor (stream Pg). The condition of well-mixedness is
assumed in the mixing zone.
The component and energy balances are given by

^ = y^,lFl+y^,2F2 + y^,3Fs + y^,,Fs (7.27)

at
+yi,sFs - yzfiFe, i = A,B,...,H (7.28)

^ = (cpuY^i^v) {hiFi + h2F2 + h3F3 + KF, (7.29)

I. 7- ^dN^vu V^/\r v ^ hy,i dyy{i)\

+/.8F8-/.eFa-E-^^^-E^-E^^r • ^^-^^^
i=A i=A i=A ^' /
Table 7.9 provides the definitions of the notation used in the models.

164
 Table 7.9: Nomenclature in TE process
AD(i), BD(i), CD(i) i = A , . . . ,H Coefficients in density formulation
AH(i), BH(i), CH(i) i = A , . . . ,H Coefficients in liquid entUalpy formulation
AG(i), BG(i), CG(i),AV(i) i=A,. . ,H Coefficients in vapor enthalpy formulation
'-'pc Btu/lbmole.K Cooling water heat capacity
r Btu/lbmole.K Spec, molar heat cap. of hq. mix. in reac.
'—'pr
'-'ps Btu/lbmole.K Spec, molar heat cap. of hq. mix. in sepa.
'-'pc Btu/lbmole.K Spec, molar heat cap. of liq. mix. in strip.
^pv Btu/lbmole.K Spec, molar heat cap. of gas mix. in mix.
E„ 1 = 1,...,4 cal/mole Activation energy of reaction i
F Ibmole/hr Flow rate of stream i
F Ibmole/hr Flow rate of cooling water
-^ wr
Hr Btu Enthalpy in reactor
M\V, g/lbmol Molecular weight of comp. i
MWS, g/lbmol Molecular weight of stream i
N^,c Ibmole Mole numbers of comp. i in strip.
N- Ibmole Mole numbers of component i in reactor
N^,s Ibmole Mole numbers of component i in separator
N- Ibmole Mole numbers of component i in mixing zone
P mmHg Pressure
Po mmHg Atmospheric pressure
Pr mmHg Pressure in reactor
Ps mmHg Pressure in separator
Pv mmHg Pressure in mixing zone
p. mmHg Partial pressure of component i in reac.
P . mmHg Vapor pressure
Q r l , Qr2 Btu/lbmole Molar heat of reaction for reaction 1 and 2
^/uc Btu/hr Energy added to the stripper by steam
v^ur Btu/hr Energy removed from the reac. by cool, water
'^us Btu/hr Energy removed from str. 7 by cool, water
T °C Temperature in stripper
->• c
T "C Outlet cooling water temperature in reac.
-*• cwr
T °C Outlet cooUng water temperature in sepa.

165
Table 7.9 Continued
Tin °C Inlet temperature of reactor cooling water
Tfc K 273.15
Tout "C Outlet temperature of reactor cooling water
Tr °C Temperature in reactor
Ts °C Temperature in separator
Tst.i °C Temperature of stream i, i = l , . . . ,11
Ty °C Temperature in mixing zone
UA Btu/K.Ur Product of Ueat transfer coefficient and area
VL^T ft^ Liquid volume in reactor
Vy^r ft'^ Vapor volume in reactor
Vcooi ft^ Cooler volume
Wc Btu/Ur Power of compressor
XMV(i) % Value position, i = l , . . . ,11
XMV(12) % Agitator speed
fj.^ Temperature factor of the split fraction
hj Btu/lbmole specific molar enthalpy in stream j
he Btu/lbmole specific molar enthalpy in stripper
hr Btu/lbmole specific molar enthalpy in reactor
hs Btu/lbmole specific molar enthalpy in separator
hy Btu/lbmole specific molar enthalpy in mixing zone
The kg/hr Cooling water mass flow rate
V Dimensionless agitator speed
x{i) Mole fraction of component i in the hquid
x^ Mole fraction in reactor
X States of the state space model
y(i\ Mole fraction in of component i in the vapor
y Vector of outputs of the TE plant
$, Spht fraction for component i,i = A,...,H
Q,^ Q;2 Coefficients in reaction rate
^ j ^ ^2, [33 Coeflncients in reaction rate
p^' ' Ibmole/ft^ Cooling water molar density in reactor cooUng system
p^ Ibmole/ft^ CooUng water molar density in condenser
piiq Ibmole/ft^ Liquid mixture density
y. Valve position, z = 1,2,..., 11
^ ^ Fraction of tUe maximum agitator capacity
JiagCap ^ ^

166
 7.4 System Analysis and Control Strategy
In this work, the model predictive control framework based on multiple linear
models is used to control the TE process. The linear models can be obtained by lin-
earization of the nonlinear model, given in the previous section, at the known steady-
state operating points. A numerical Jacobian derivative (MATLAB(g)/SIMULINK
routine LINMOD) was used to linearize the nonlinear model.
The linearized model obtained has the form

X = Ax -{- Bu
y = Cx + Du (7.31)
x = Xp-x y = yp-yp u = Up-u

where x, yp and u are the steady state values of Xp, yp and Up, respectively; A is the
Jacobian {S/xJ) with respect to the states; B is the Jacobian {VuJ) with respect
to the manipulated variables; and G and D are found from the hnearization of the
measurement equation with respect to the states and the manipulated variables.
If one hnearized the model provided by previous section at the base-case steady-
state conditions, an eigenvalue analysis of the dynamic matrix that results from the
linearized model at tUe base case steady-state conditions reveals a range of eigenvalues
from -1968 to 3.11. Further analysis find that the positive eigenvalues result from the
three level loops and the reactor temperature.
To stabiUze the system, three single-input single-output (SISO) proportional-
integral (PI) feedback controllers are tuned to control tUe level loops. The loop
pairs, conrtoUed to manipulated variables, are as follows:

• Reactor liquid level is controlled using the D feed (stream 2) valve.

• Separator liquid level is controlled using the separator effluent (stream 10) valve.

• Stripper bottoms liquid level is controlled using the stripper effluent (stream
11, same as the product stream) valve.

167
 It IS reasonable to use the cooling water valve to control the reactor temperature;
its location provides rapid response to thermal disturbances [113]. Within the MPC
control strategy, the set point of the reactor temperature becomes a controlled vari-
able, thus new set points are provided by the MPC controUer to the PI controller.
The role of the PI controller is to manipulate the valve position (ultimately the flow
rate) to compensate for errors between the measured process variable, the reactor
temperature, and the set point of the reactor temperature.
The tuning parameters for SISO level loops and reactor temperature loop are
listed in Table 7.10.

Table 7.10: Tuning parameters for SISO level loops and reactor temperature
Controlled variable Manipulated variable Controller gain Integral time, hr
Reactor temp (°C) Reactor coolant -0.5%/°C i
Reactor level (%) D feed flow 4%/% 1
Separator level (%) Separ. underflow -5%/% 1
Stripper level (%) Strip, underflow -1.5%/% 1

In order to obtain a linear model for tUe MPC strategy, the nonhnear model
(plant) was changed to include four closed-loops, the reactor temperature, and the
three level loops. Compared with the 38-state nonhnear model, the modified nonlinear
model eliminates two dynamic equations with respect to the reactor temperature and
reactor cooling water outlet temperature (36 states). An eigenvalue analysis of the
dynamic matrix of this 36-state linearized model at the base case steady-state shows
the presence of three near-zero eigenvalues.
There are two approaches to obtain a stable linear model. The first is to lin-
earize the model with the three level loops under closed-loop control. The second
is to hnearize the 38-state nonlinear model plus three additional states that repre-
sent the three controlled level loops. The latter approach is adopted in this work.
In [56], Ricker recommends the latter approach, because in the former approach the
characteristics of the embedded PI loops result in large steady-state offsets.
At the three operating points (mode 0 (base case): 50/50, mode 2: 10/90, and

168
mode 3: 90/10) in Table 7.3, the eigenvalues of the three resulting hnear dynamic
matrices are all negative. It is observed that the reactor pressure responds instantly to
changes in the reactor temperature because temperature affects the vapor pressures
of each component. Thus, there is one non-zero element in the D matrix in the
measurement equation. The D matrix may be interpreted as the pass-through matrix
or that matrix that transfers the effect of the inputs onto the outputs bypassing the
dynamic matrix. The MPC formulation requires that there is no any pass-through
inputs. Following tUe approach proposed in [56], an independent, linear first-order
filter with unity filter gain and a time constant of l/300h is introduced to filter the
pressure measurement. When the filter is combined with the above linear model, the
number of the states increases by one.

7.4.1 Cascade MPC control framework

In section 7.2.1, it was pointed out that the plant has twelve control degrees of
freedom. The variables XMV(l), XMV(7), and XMV(8) are used to control the three
levels. Because the agitator speed (XMV(12)) only affects the energy transfer of the
reactor system, it is intuitive that the agitator speed be set to its maximum value.
That is, the higher the speed the greater the heat transfer. This was also confirmed
by the study of [56]. In the study of Luyben and coworkers, a different strategy was
proposed for the agitator speed [113].
It is reasonable to manipulate the reactor cooling water flow rate (the valve po-
sition XMV(IO)) to regulate the reactor temperature (see discussion above). The
product ratio G/H from the reactions can be controlled with a ratio of the E feed
to D feed (XMV(2) and XMV(l)) rates (only one degree of freedom is assigned for
G/H ratio control). This requires that either the product G or H compositions be
measured. There are six remaining unassigned control degrees of freedom.
Table 7.3 lists 41 measurements, Uowever, in reaUty, analyzer measurements (nine-
teen of them) are neither timely nor dependable. Assume that the G product com-
position is available for product purity control (equivalent to control G/H ratio) and

169
A composition in purge is available for operating cost control (One degree of freedom
is removed by not assigned. There are five remaining.), and that the other seventeen
analyzer measurements are removed. Then, twenty-two measurements remain, but
only nine of these can be controlled because there are nine control degrees of free-
dom remain. Of the twenty-two, eight are assigned as manipulated variables, leaving
fourteen. From the fourteen, only five can be selected as controlled variables because
there are five available degrees of freedom. The five variables that are selected to be
controlled are: reactor pressure, separator temperature, separator pressure, stripper
pressure, and stripper temperature.

Figure 7.2 shows the control strategy for the TE process.

Figure 7.2: Cascade MPC control framework. V^: three hquid level set points, Y*:
the measurement set points, Ui: manipulated variables from PI level control loops,
UQ: manipulated variables from MPC, T*: the reactor temperature set point given by
MPC.

7.4.2 MPC controller parameters

The selection of MPC parameters need not be optimal but they should follow tUe
general MPC design rules. In this simulation, the prediction horizon is chosen to be
P = 10, and the moving horizon to be M = 4. Equal weights among the inputs and
among the outputs are chosen, implying no preference among the outputs and no

170
excessive penalty on the inputs. The lower and upper bounds on the inputs are their
physical valve position bounds (1% ~ 100%). The reactor temperature set point (a
controlled variable) is confined to the range (110°C ~ 130°C). In this simulation,
50% change is allowable for valve position, and WC for temperature set point change
at each sample time.

7.5 Disturbance Rejection with Multiple Fixed Models and MPC

Most of the disturbances listed in Table 7.5 can be compensated by first closing
the three level loops and using reactor cooling water to control reactor temperature.
It is weU recognized that disturbance IDV(6), A feed loss is a disturbance that is
very difficult to compensate in almost all of tUe proposed control strategies in tUe
open literature. It will be shown that a loss of the A feed can be compensated
satisfactorily by using multiple models and the MPC control framework. The fixed
models are obtained by hnearization of the nonlinear TE model as described in section
7.4. The number of states of each linearized model at each mode is 40. MPC design
will be based on these fixed models.

An MPC framework based on one fixed model identified at mode 3 is proposed

to reject the A feed loss disturbance. The closed-loop simulation results (not shown)
show that this simple structure cannot regulate this system in the face of this distur-
bance. An alternative is to use three fixed models and allow model switcUing based
on a performance index function (see Equation (4.6)) wUere user-specified parameters
/i and v are selected to be 1 and 0, respectively.
For convenience, tUe performance index function is re-stated here,

Jj{t) = fx\\Yjf + U f \\Yjf{T)dT, p,u>0

0

where Yj is the plant/model mismatch for model j . Figures 7.3 to 7.6 show the
closed-loop responses and control actions when there is an A feed loss disturbance at

171
mode 3. It is found that the system approaches a steady state that is not the original
mode 3. To maintain the desired production rate, the A+C feed (stream 4) needs
to be increased, which is shown in the top right panel of Figure 7.6. An increase in
A + C feed rate causes an increase in the pressure. This in turn results in an increase
in the purge rate. The bottom right panel in Figure 7.5 shows that the purge valve
is wide open in an attempt to stabihze the pressure.
The product rate, middle left panel in Figure 7.6, shows a decrease. The rate of
decrease is ~ 4.25%, which is an improvement when compared to the solution given
in McAvoy and Ye [112]. There the production rate set point is decreased by 23.8%.
It is noticed when observing the graph of the operating costs, bottom left panel in
Figure 7.6, the operating costs have increased seven times. If the cost is included in
the objective function of the controller optimization, a better result may be found.
The graph in the bottom right panel of Figure 7.6 shows that the fixed model at mode
2 is selected to be the final model of choice when there is a loss of A feed.
It is not surprising that the MPC controller strategy based on fixed models, one
eacU for 50/50, 10/90 and 90/10 operating condition cannot reject the IDV(6) dis-
turbance. The process is highly nonhnear with multiple interactions and constraints
on the manipulated variables.

172
 20 30 20 30
Time [hr] Time [hr]

Figure 7.3: Multiple fixed models and MPC control for disturbance IDV(6)- A feed
loss. Top panel: Reactor pressure and reactor level. Middle panel: stripper level
and separator temperature. Bottom panel: separator pressure and separator level.
Dashed line represents tUe steady state value at mode 3.

173
 20 30
Time [hr]

Figure 7.4: Multiple fixed models and MPC control for disturbance IDV(6)- A feed
loss. Top panel: Stripper pressure and stripper temperature. Middle panel: E feed
valve and mole percent of A in tUe purge. Bottom panel: D feed valve and mole
percent of G in the product. Dashed line represents the steady state value at mode
3.

174
 20 30 20 30
Time [hr] Time [hr]

Figure 7.5: Multiple fixed models and MPC control for disturbance IDV(6)- A feed
loss. Top panel: A feed valve and A + C feed valve. Middle panel: stripper liquid
product valve and compressor recycle valve. Bottom panel: separator hquid valve
and purge valve.

175
 20 30
Time [hr]

Figure 7.6: Multiple fixed models and MPC control for disturbance IDV(6)- A feed
loss. Top panel: stripper steam valve and reactor cooling water valve. Middle panel:
product fiow rate and condenser cooling water valve. Bottom panel: operating costs
and model switching strategy. Dashed line represents the steady state value at mode
3.

176
 7.6 Transition Control with Multiple Fixed Models and MPC
7.6.1 Transition from mode 0 to mode 2

The T E process is required to operate at seven different modes of process operation

at three different G/H mass ratio product grades (see Table 7.1). In this work three
are investigated for transition control: base case (mode 0), 10/90 (mode 2), and 90/10
(mode 3). In this section, transition control will be demonstrated from mode 0 to
mode 2. The reference trajectories of the controlled variables are cUosen to be first
order responses. TUe selection of the reference trajectories is not based on minimizing
the operational costs, but rather to permit stable and fast transitions.
From Figure 7.7, it is observed that the responses of the reactor, separator and
stripper pressures are satisfactory. However, the convergence of separator tempera-
ture and stripper temperature is not as fast as those pressures, but the offset is small
( < 1°C), which is acceptable. The mole percent of G in product, left middle panel,
shows that the controller can achieve the desired product ratio smoothly and in finite
time (~ 8 hours).
Figure 7.8 shows the control actions during the transition. The graphs in the top
panel show the D and E valve positions. The D feed valve equihbrates at 14%, while
the E feed valve is ~ 99% percent open. The A feed valve, right middle panel, is
changed between 17% and 47% smoothly. After the transition, the A+C feed rate,
the separator liquid flow rate, and the stripper liquid product flow rate return to their
operating values at mode 0 (before transition). The transition control from mode 0
to mode 2 based on multiple-model based control is satisfactory.

177
 Time [hr] Time [hr]

Figure 7.7: Transition control from mode 0 to mode 2. Top panel: reactor pressure
and separator temperature. Middle panel: mole percent of G in the product and
the separator pressure. Bottom panel: stripper temperature and stripper pressure.
Dashed line represents the reference trajectory.

178
 Time [hr]

Figure 7.8: Transition control from mode 0 to mode 2. Top panel: D feed flow valve
and E feed flow valve. Middle panel: stripper liquid product flow valve and A feed
flow valve. Bottom panel: separator product valve position and A+C feed flow valve.

179
7.6.2 Transition from mode 0 to mode 2 to mode 3

Here, the objective is to reahze transition from mode 0 (base case) to mode 2, to
mode 3 (G/H ratio from 50/50 -^ 10/90 -^ 90/10). Most of the control solutions
that appear in the open literature indicate tUat repeated transitions are very difficult
to accomplish.

Performance results using multiple fixed models in a state-shared MPC structure

show satisfactory results. Figure 7.9 gives the closed-loop responses of the controlled
variables. As in the previous transition, satisfactory pressure control is not difficult
to achieve. In the top right panel, the stripper temperature graph shows some oscil-
lations but the trend of the response is to track the reference trajectory. The mole
percent of G in product, left middle panel shows a larger tracking error when the
system transitions from mode 2 to mode 3 when compared to the transition from
mode 0 to mode 2. The possible explanation is that the reference trajectory from
mode 2 to 3 is very steep. Future work will consider how to find an optimal reference
trajectory.
In Figure 7.10, the graphs in the top panel show that the D feed flow rate first
decreases and then increases, while the E feed flow rate goes through an opposite
change. Recall that the E feed and D feed are used in a ratio block to maintain
product purity. When in transition, the calculated E feed control action may be
greater than the allowable upper limit (100% physical valve position). As seen in the
top right panel, the E valve position is at the upper limit (clamped).
It is observed in bottom left panel, that when the system transitions to mode 2,
the compressor recycle valve is almost closed. The opposite response occurs during
the transition to mode 3 (there is vapor more to recycle). Additionally at mode 2,
the purge rate is greater than at mode 3. From the deflnition of the cost function
(Equation (7.1)), the purge rate has a dominant effect on operating costs. This is
why the purge valve position curve has a similar trend as the cost curve.
The right middle panel of Figure 7.11 shows that the final state of the stripper
steam valve steam valve is closed. This means that no additional heat transfer is

180
needed at mode 3. It is observed that the reactor temperature set point, bottom
right panel, is limited to a narrow range as the transitions are made. Further, in
the bottom left panel, the condenser cooling water valve position is increased, which
causes a decrease in the separator temperature ( Figure 7.9 bottom left panel). It
is interesting to analyze the accompanying operating cost curve. The operating cost
(left middle panel) at mode 0 is about 165 $/hr, at mode 2, the cost reaches its
height peak of 320 $/hr, then decreases to a value of 60 $/hr at time 36 hours before
increasing as the purge rate increases. Simulation results show that the purge rate
settles to a new value at a much slower rate than the other variables.

7.6.3 Transition from mode 0 to mode 2 to mode 3 with noise

It is inevitable that noise is a part of the measurement and/or input signals. The
results in this section show the closed-loop response under MPC control in the the
presence of measurement noise. White noise with zero mean and 5 kPa variation are
added to the three measured pressures and white noise with zeros mean and 2 °C
variation is added to the temperature measurements. The closed-loop responses are
shown in Figure 7.12.
Noise is also added to aU the inputs such that a signal-to-noise ratio (SNR) of 100 is
introduced. The responses are shown in Figure 7.13. The closed-loop responses show
that noise serves to make the temperatures and pressures osciUate but has neghgible
effect on product purity.

181
 rv
Time [hr]

60 75
20 30 40 50 60

£3100

30 40 30 40
Time [hr] Time [hr]

Figure 7.9: Transition control from mode 0 to mode 2 to mode 3. Top panel: reactor
pressure and separator temperature. Middle panel: mole percent of G in the product
and separator pressure. Bottom panel: stripper temperature and stripper pressure.
Dashed line represents the reference trajectory.

182
 20 30 40
Time [hr]

Figure 7.10: Transition control from mode 0 to mode 2 to mode 3. Top panel: D feed
flow valve and E feed flow valve. Middle panel: purge valve and A feed flow valve.
Bottom panel: compressor recycle valve and A+C feed flow valve.

183
Figure 7.11: Transition control from mode 0 to mode 2 to mode 3. Top panel:
separator bottoms liquid flow valve and stripper liquid product flow valve. Middle
panel: operating cost and stripper steam valve. Bottom panel: condenser coohng
water valve and reactor temperature set point.

184
Figure 7.12: Transition control from mode 0 to mode 2 to mode 3 with measure-
ment noise. Top panel: reactor pressure and separator temperature. Middle panel:
mole percent of G in the product and separator pressure. Bottom panel: stripper
temperature and stripper pressure. Dashed hne represents the reference trajectory.

185
Figure 7.13: Transition control from mode 0 to mode 2 to mode 3 with SNR=100
input noise. Top panel: reactor pressure and separator temperature. Middle panel:
mole percent of G in the product and separator pressure. Bottom panel: stripper
temperature and stripper pressure. Dashed line represents the reference trajectory.

186
 7.7 Transition Control with MPC in State-shared Model Framework
In this section, the MPC controller is designed using the state-shared model frame-
work. The state-shared model is developed using three fixed models, identified at the
three modes studied, and one re-initialized adaptive model. At any unknown operat-
ing point, an input/output description can be obtained by adapting the coefficients of
the measurement equation in the state-shared model. The state-shared model is itself
a continuous high order non-minimal realization of a set of input/output descriptions.
These descriptions can be transformed to a matrix fraction description (MFD) using
the methods provided by [9] (also see Chapter 2, equation (2.9)). The order of the de-
nominator of MFD form of the transfer function is 40 (n=40). Using reahzation, the
MFD can be transformed into a controllable canonical form, which is recommended
for the state-shared approach. The order of this realization is 200 for 5 input/output
pairs (m=5). The transfer function can also be realized in a state-sUared model form,
the order of the state-shared model is 400 {2mn = 2 x 40 x 5 = 400). The total
adaptable parameter number is 1040 {n{m'^ + 1) = 40 x (5^ + 1)=1040).

For implementation purposes, it is desirable to keep the order of the model used
in the MPC structure as low as possible. The first step is to reduce the number of
input/output pairs. Since the agitator speed, XMV(12), only affects the heat transfer
coefficient in the reactor, it is set to a constant value. Thus, one control degree of
freedom is eliminated. The manipulated variables XMV(l) (D feed valve), XMV(7)
(separator bottoms valve), and XMV(8) (stripper bottoms valve) are expended to
control the three levels (reactor, separator, and stripper). From mode 0 to mode 2,
the set points of separator and stripper levels are keep constant (50%), however, the
reactor level changes from 75% to 65%. A first-order reference trajectory is chosen
as the reactor level set points to transition from 75% to 65% smoothly. Since mode
2 is obtained at minimum costs, it is reasonable to set the compressor bypass valve
XMV(5) and the steam valve XMV(9) to be closed. In this work, two first-order
reference trajectories are chosen to permit XMV(5) and XMV(9) to close smoothly
when the system transitions from mode 0 to mode 2, respectively. This dispenses

187
with two more control degrees of freedom.

The ratio of XMV(l) and XMV(2) (E feed valve) is also used to control the
product ratio (or equivalently the mole percent of G in product). The remain five
control degrees of freedom: XMV(3), XMV(4), XMV(6), T ; , and XMV(ll) are used
to control 5 controlled variables: reactor pressure, separator temperature, separator
pressure, stripper pressure, and stripper temperature.
As before, the prediction horizon is chosen to be P = 10, and the moving horizon
to be M = 4. Equal weights among the inputs and among the outputs are aslo chosen,
but the weights among the outputs are reduced by one half as compared with those in
the multiple fixed models and MPC framework. The lower and upper bounds on the
inputs are their physical valve position bounds (0 to 100%). The reactor temperature
set point (a controlled variable) is confined to the range 110°C to 130°C. In this work,
a 50% change is allowed for the valve positions and 10°C for temperature set point
change at each sample time.
Figures 7.14-7.16 show the closed-loop responses and control actions when the
system transition form mode 0 to mode 2 with the state-shared model-predictive
controller (SSMPC). It is observed that the responses of the reactor, separator and
stripper pressures are satisfactory. The graph of the mole percent of G in the product,
the bottom panel of Figure 7.15, shows the product ratio change is smooth and at
7.5 hours after the initial request for a transition, it reaches its set point of mode
2. The control actions are smooth when compared with those in Figure 7.8. In the
latter, the control actions are more aggressive. In particular, it is observed that the E
feed valve changes aggressively and is clamped at its upper bound when conventional
MPC with multiple fixed models is used. However, with SSMPC, the E feed valve
changes smoothly and never reaches its upper bound.
The right bottom panel in Figure 7.16 shows the model switching strategy. The
model used by the SSMPC is almost always based on the adaptive model (re-initiahzed),
which means that the adaptation does provide the most accurate model when com-
pared to the fixed models.

188
 ^90
o
y' ^-^"'^
t!! / ^y
^85
V /f
1 1

"'80

Time [hr]

Time [hr] Time [hr]

Figure 7.14: Transition control from mode 0 to mode 2 with state-shared-MPC. Top
panel: reactor pressure and separator temperature. Middle panel: separator pressure
and stripper pressure. Bottom panel: stripper temperature and E feed valve position.
Dashed hne represents the reference trajectory.

189
 Time [hr] Time [hr]

1: fixed model 1
2: fixed model 2
3: fixed model 3
4: re-initialized adaptive model

Time [hr] Time [hr]

Figure 7.15: Transition control from mode 0 to mode 2 with state-shared-MPC. Top
panel: A feed valve and A+C feed valve. Middle panel: purge valve and condenser
cooling water valve. Bottom panel: mole percent of G in product and model switching.
Dashed line represents the reference trajectory.

190
 Time [hr] Time [hr]

Figure 7.16: PI control loops in transition control from mode 0 to mode 2 with state-
shared-MPC. Top panel: Reactor level and D feed valve. Middle panel: separator
level and separator liquid valve. Bottom panel: stripper level and stripper hquid
product valve. Dashed line represents the reference trajectory.

191
 7.8 Summary

In this chapter, the Tennessee Eastman challenge problem is introduced. Some of

the control methods applied to tUis problem are also reviewed. The Fortran code pro-
vided by Downs and Vogel [11] was not based on first-principles. To fully understand
tUe plant, a detailed mecUanistic model based on first-principles is developed and
validated with data taken from the original Downs and Vogel work. The assumptions
to make the model match the data are also provided.
Classical system-theoretic methods, such as Lyapunov's indirect method for stabil-
ity analysis (linearization using Taylor series expansion), eigenvalue analysis, control-
lability and observability tests are used to analyze the local and open-loop properties
of the TE plant. To understand how inputs affect outputs, the plant is subjected
to step-changes in the inputs (manipulated variables and disturbance variables). Be-
cause levels are integrating loops, to maintain stability of the plant to these bounded
inputs, the level loops are regulated by PI controllers. This expends three out of
twelve control degrees of freedom. It was also found from the eigenvalue analysis that
there was another source of instability tUe temperature of tUe reactor (right half
plane pole).
Two model-based plantwide control strategies were applied to tUe TE plant. The
first was to use multiple fixed models (identified at modes 0, 2, and 3) with MPC, and
the second was state-shared MPC where a state-shared model was constructed from
three fixed models (same modes as above) and one re-initializable adaptive model. In
both control strategies, the level loops and the reactor temperature were regulated
with PI controllers. However, tUe reactor temperature set point was provided by
the MPC strategy. The reactor level set point is chosen to be a first order trajectory
changing from 75% to 65% smoothly, and the level set points of separator and stripper
are kept constant.
The first MPC strategy was demonstrated for regulation and transition. The
regulation selected is considered the worst disturbance - the loss of the A feed. It was
shown that this strategy was able to provide satisfactory closed-loop performance.

192
The results (not shown) were unstable for the same disturbance when a single fixed
model and MPC are employed. The transition was demonstrated for two cases mode 0
to mode 2 and mode 0 to mode 2 to mode 3. Again satisfactory closed-loop responses
were obtained even in the face of measurement and input noise.
The second MPC strategy was demonstrated for transition. A better transition
control result is shown when compared with the first MPC strategy. In each simula-
tion, the final operating costs are listed in Table 7.11.

Table 7.11: Operating costs for each simulation

Case Costs ($/h)
Disturbance rejection with multi-model+MPC 360
Transition : 0 -^ 2 with multi-model+MPC 300
Transition : 0 2 ^ 3 with multi-model+MPC 140
Transition : 0 2 ^ 3 with multi-model+MPC, meas. noise 240
Transition : 0 2 ^ 3 with multi-model+MPC, input noise 140
Transition : 0 2 with state-shared model+MPC 125

193
 7.9 Nomenclature
CSTR Continuous stirred-tank reactor
MIMO Multiple-input multiple-output
MPC Model Predictive Control
SISO Single-input single-output
TE Tennessee Eastman

194
 CHAPTER 8
CONTRIBUTIONS AND FUTURE RESEARCH
8.1 Summary

System transitions, both planned and unplanned, occur frequently in many indus-
tries. Transition control research has been the recent subject of many academic and
industry researchers because of increased global competition to produce many grades
of the same product while minimizing energy costs, waste production, and downtime.
Since aU real industrial processes are nonUnear, multivariable, with interactions and
inter-dependencies it is unrealistic to expect a single controUer design to regulate
the process at the various operating conditions and also provide stable and accurate
control during the transition.

Attractive features of a transition control structure should include rapid and stable
closed-loop response. Although a large number of recent approaches address this issue
using multiple fixed and/or adaptive models, and single or multiple and linear model-
based controllers, tUis work presents the transition control problem as a study in two
parts. The first is the identification of a model that estimates the plant outputs and
the second is the synthesis of a suitable controller that produces smooth and realistic
control action. Satisfactory closed-loop and stable performance of the controller and
nonlinear plant is inferred, if tUe performance of the model in closed-loop with the
controller can be guaranteed.

This research program addresses the identification issue by developing a the con-
cept of state-shared model (see Chapter 3) based on linear system theory (Chapter
2). In this work, a state-shared model is defined as a linear time-invariant model
structure that is a reahzation of the system and driven by the measured signals: the
plant outputs and the manipulated variables. The coefficient matrices in the state-
shared model are selected to be controllable by the designer, however, each known
operating state has a unique measurement equation or input/output description. Any
such realization necessarily fulfills the requirement that the output of the state-shared
model must be an asymptotically correct estimate of the the output of the plant if

195
the process models are selected appropriately. In Chapter 3, methods to construct a
state-shared model for single-input single-output and multiple-input multiple-output
systems are developed and their properties are proven and analyzed. A solution of
the parameter vector is obtained when the transfer function (input/output) is known.
Existence and uniqueness of the parameterization and convergence of the parameter
adaptation are also proven. Two multiple-input multiple-output systems were used
to demonstrate the development and validation of the state-shared model.
Because each measurement equation in the state-shared model represents a dif-
ferent but known operating point, it provides a feasible and easy means to obtain an
adaptive model. That is, stable and convergent adaptation of the parameters in the
measurement equation are enough to obtain an accurate adaptive model, which is
critical in transition control especially if an indirect (model-based) controller design
is used. In Chapter 4, a method to provide stable adaptation of the parameter vector
was presented. In particular, convergence of the method was addressed.
To decide the best model among the set of models, a performance function was
introduced (see Chapter 4). The value of the performance function determines which
measurement equation best represents the current operating condition at each sam-
ple time. This is the underpinnings of stable model switching such that fixed models
together with stable switching can provide the desired speed of response, while adap-
tive models and parameter tuning provide the desired accuracy. The proof of this
was provided by the work of Narendra and coworkers [20, 13].
The state-shared model can be used in a model-based/predictive framework that
finds the control actions as the system transitions from one operating point to the
next [16, 61, 62]. In Chapter 5, the (non-optimal) control method of Model Reference
Adaptive Control and the robust control method of H oo control were introduced. Two
nonlinear single-input single-output reactors, one chemical the other biological, were
used to demonstrate state-shared transition control using these controller designs. It
was shown that satisfactory performance (transition along reference trajectories) in
the presence of modeling errors, input disturbances, and parameter uncertainties was

196
achieved. In the chemical reactor system, the H^o controller based on two stable fixed
models and two adaptive models can realize transitions among stable and unstable
operating points. In the study of the the biological reactor, the state-shared model
and the Hoo controller stabilized this system at an open-loop unstable operating state.
A performance comparison between multiple models and a single fixed model of the
biological system demonstrated the superiority of the multiple models approach to
reahze transitions.
Chapter 6 is dedicated to the development of the class of model-predictive (opti-
mal) controUers (MPC). Two multiple-input multiple-output (MIMO) nonlinear con-
strained systems are used to demonstrate the state-shared model and MPC transition
control framework. In the first example - a chemical two-phase reactor system, satis-
factory closed-loop performance was achieved even in the face of unmeasured output
disturbances and when composition was inferred. The second example is a physiologi-
cal system which describes the calcium-induced calcium-release mechanism in human
cardiac myocytes. A transition controller is designed to reaUze calcium concentration
transitions in both the cytosol and sarcoplasmic reticulum. It was shown that proper
choice of the MPC parameters will lead to fast response, Uowever accuracy remains
a function of tUe model fidelity.
Since aU the examples in the previous chapters are on a single unit operation
it is reasonable to address the use of these methods on a plant-wide basis. Thus,
Chapter 7 presents a case study of the Tennessee Eastman Challenge Problem that is
known to produce at least three different grade combinations on demand. Based on
the Fortran code provided by the original contributors. Downs and Vogel [11], and a
rigorous analysis of this plant, explicit fundamental models of eacU unit operation were
developed. These models differs from the original implicit models that were provided.
A series of assumptions are given to validate the proposed model with much of the
vaUdation coming from the data provided by Downs and Vogel. Transition control
was applied to the production of three product ratios.
To begin to develop the state-shared model, linearization of the nonlinear first-

197
principles model that describes the TE plant at the known operating states is per-
formed. The reactor, separator, and stripper levels are first closed by three steam
valves with PI control loops. The setpoints of the separator and stripper levels are
kept constant (50%), however, since the reactor level changes from 75% to 65%, a first
order trajectory is chosen as the reference trajectory for the reactor level setpoint.
Two MPC controller strategies were applied to the TE plant. The first used three
fixed models at modes 0 (50/50), 2 (10/90) and 3 (90/10). The second used the same
three models but added a re-initializable adaptive model in a compact state-shared
model representation (non-minimal reahzation).
In the first MPC strategy, the performance of the closed-loop system was satis-
factory for the most difficult disturbance - loss of the A feed stream. For transition
control the closed-loop performance was also satisfactory although the convergence of
some controlled variables was slow. In the second MPC strategy (SSMPC), not only
was transition control satisfactory but also the control actions were less aggressive
and less inclined to reach their upper or lower limits.

8.2 Contributions

A novel non-minimal identifier structure was proposed to the MIMO system in a

multiple models strategy for systems that transition in a large operating space. The
distinguishing feature is that all tUe model sUare the same states, but have different
measurement equations. Several fundamental theorems for the existence of the state-
shared model, the convergence of the parameter adaptation and stable switching
among fixed and adaptive models were introduced and proven. Several controUer
designs tUat depend on the model were used to demonstrate indirect control (state-
shared model + controller) of several nonlinear SISO and MIMO systems, and an
entire plant.
This work resulted in the following publications and presentations:
Referred Publications

1. Z. Tian and K. A. Hoo, "Transition Control Using State-Shared Model Ap-

198
 proach," Compt. k Chem. Engng., 27(11):1641-1656, 2003.

2. Z. Tian and K. A. Hoo, "State Shared Model for Multi-input Multi-output

Systems," re-submitted to IEEE Transactions on Control Systems Technology,
2003.

Refereed Proceedings

1. Z. Tian (speaker) and K. A. Hoo, "Transition Control Using Multiple Adaptive

Models and an H-infinty Controller Design," 2002 American Automatic Control
Conference, paper TMll-6, pp: 2621-2626, Anchorage, AK, May 2002.

2. Z. Tian and K. A. Hoo, "A State-shared Modehng Approach to Transition

Control," IFAC ADCHEM 2004, Hong Kong, PRC.

3. Z. Tian and K. A. Hoo, "A State-shared Model Predictive Control Approach

to Transition Control of a Multi-input Multi-output System," 2003 American
Automatic Control Conference, paper FP18-3, pp:5405-5410, Denver, CO, June
2003.

Contributed Abstracts

1. Z. Tian and K. A. Hoo, "Global Linearization and Control of a Calcium Dy-

namics in Cardiac Myocytes," AIChE National Conference, San Francisco, CA,
Nov., 2003.

2. Z. Tian (speaker) and K. A. Hoo, "A State-Shared Model Predictive Control

Approach To Transition Control," AIChE National Conference, Indinapolis, IN,
Nov., 2002.

8.3 Future Research

The study presented in this dissertation has given rise to several theoretical and
practical problems for future research. Some of the more important and interesting
ones among these are briefiy described below.

199
• Apphcations: The proposed transition control strategy is for a general system
that needs to realize transitions among different operating points. In this work,
although the case studies are within the chemical and biological disciphnes,
there are other areas where this approach can apply. These include, aeronautics
and astronautics and the automobile industries.

• Optimal reference trajectory selection: The selection of the reference trajecto-

ries is an important step in transition control. In this work, the selection of
reference trajectories in several applications are based on system analysis. This
is only a qualitative analysis. Based on different performance objectives, such as
rapid transitions, lowest operating costs, operabihty, and/or feasibility, devel-
opment of a systematic metUod based on strict optimization of these objective
may provide a better means of selecting the reference trajectories.

• Further research on the state-shared model structure: While the development

procedure of the state-shared model is based on strict mathematical derivation,
and in theory should be applicable to any size system, it is found tUat a non-
minimal representation adds extra poles and zeros to tUe system. For small and
simple system, tUe state-shared model works well (see examples in cUapter 3).
For large multi-input-multi-output with higher order and many input/output
pairs, the state-shared model may have a large unwanted affect on the system
response.

• Further research on the TE problem: The Tennessee Eastman problem is a

complex, high dimension, nonlinear, and interactive constrained MIMO system.
Further research on this problem will be beneficial to obtain experiences on
modeUng, control structure design, controller parameters tuning, interaction
analysis, etc. The following future work is suggested:

- Define new reference trajectory that includes both operating and economic

effects.

200
Decompose the entire system into several subsystems, and construct con-
trollers on separated subsystem using the paradigm of Vasbinder and
coworkers [125] such that when the subsystems and their control struc-
tures are integrated, instabihties are not created and the objectives of the
plantwide control structure are satisfied.

201
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210
 APPENDIX A
PROOF OF EQUATION(6.2)
The analytical solution to Equation (6.1) takes the form

x{t) = e^*Xo + / e^^'-''^Bu{a)da

Jo

where XQ is the initial state at i = 0. Solve for x{kAt) by repeated apphcation of

above equation for each value of k under piecewise constant of u to yield:

x{At) = e^^'xo + ( / e''^^'-''^da\ Bu{0)

x{2At) = e^'^'x{At) +(f e^(2^*-'')da') Bu{At)

( p(k+l)At \
x{{k + l)At) = e^^*x(A;AO + / e^^^'+'^^'-'^^da Bu{kAt)
\JkAt J

211
 APPENDIX B
MATLAB CODE FOR TWO-PHASE SYSTEM
• Two-phase dynamic model

• Two-phase measurement equation model

• Two-phase Jacobian linearization subroutine

• Two-phase MPC transition control main program

• Two-phase MPC gain subroutine

• Two-phase MPC subroutine

• Two-phase state-shared model

• Two-phase state-shared model vahdation main program

212
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 APPENDIX C
MATLAB CODE FOR BIO-REACTOR SYSTEM
• Bio-reactor dynamic model

• Bio-reactor state-shared model

• Bio-reactor parameter adaptive subroutine

• Bio-reactor state-shared measurement coefficient subroutine

• Bio-reactor HQO transition control main program

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 APPENDIX D
MATLAB CODE FOR CALCIUM DYNAMIC SYSTEM
• Physiological system dynamic model

• Physiological system MPC transition control main program

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 APPENDIX E
MATLAB CODE FOR TE PROCESS
EL MPC based on multiple fixed models
• TE process nonhnear model s-function at mode 0

• TE process density subroutine

• T E process linearization

• TE process MPC gain subroutine

• T E process MPC subroutine

• TE process euler integrating subroutine

• TE process MPC transition control based on multiple fixed models main pro-
gram

• TE process A loss disturbance rejection main program

E2. MPC based on state-shared model

• TE process transition control from mode 0 to mode 2 main program

• Transfer function model to state-shared measurement equation coefficients sub-

routine

• State-shared dynamic model

• Parameter adaptation subroutine

• Coefficients of state-shared measurement equation to transfer function subrou-

tine

241
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