MODEL-BASED OPTIMIZATION AND CONTROL OF CHROMATOGRAPHIC PROCESSES Karsten-Ulrich Klatt ;1 Felix Hanisch Guido Dünnebier Sebastian Engell Process Control Laboratory, Department of Chemical Engineering, University of Dortmund, 44221 Dortmund, e-mail: [email protected] Abstract: This contribution presents an integrated approach to the optimal operation and automatic control of chromatographic separation processes in batch elution mode as well as in continuous SMB operation. The new approach is based on computationally efficient simulation models and combines techniques from mathematical optimization, parameter estimation and control theory. The resulting algorithms were implemented in an industrial standard control system and the capability of the proposed control approach is demonstrated on the separation of fructose and glucose, both in batch and SMB operation mode. Keywords: Chromatographic separation, simulated moving bed, process control, dynamic optimization, parameter estimation. 1. INTRODUCTION Chromatographic separation processes are an emerging technology for the separation of Life Science products, such as pharmaceuticals, food, and fine chemicals. To improve the economic viability, a countercurrent operation is often desirable, but the real countercurrent of the solid leads to serious operating problems. Therefore, the Simulated Moving Bed (SMB) process is an interesting alternative option to batch chromatography since it provides the advantages of a continuous countercurrent unit operation while avoiding the technical problems of a true moving bed. Both conventional batch and SMB chromatographic processes exhibit complex nonlinear dynamics, and a high sensitivity in the vicinity of the economic optimum. Furthermore, concentration measurements are expensive and can only be installed at the outlet of the separation columns. Thus the optimal operation and automatic control of chromatographic separation processes is a challenging task. Currently, most processes are controlled manually. To avoid off-spec production and to ensure sufficient robustness margins they are operated far from the optimum. This contribution presents the conceptual design and technical realization of a model-based optimization and control scheme for batch and continuous chromatographic separation processes which makes it possible to exploit their full economic potential. 2. PROCESS DESCRIPTION Chromatographic separations are usually operated in batch mode, the elution mode considered in this work being the most commonly used operation. Here, one pulse of the mixture which has to be separated is injected together with a suitable solvent (desorbent) into the column containing the solid adsorbent. Due to the different adsorption affinities, the components have different 1 We thank G. Zimmer and M. Turnu for their valuable contribution to the parameter estimation and reduced model identification issue, respectively, and our colleagues from the Chair of Plant Design, especially A. Jupke and A. Epping, for the fruitful cooperation within our joint chromatography project. The financial support of the Bundesministerium für Bildung und Forschung under the grant number 03D0062B0 is very gratefully acknowledged. Section I Desorbent D Section IV .... .... Direction of Port Switching A+D Extract .... Section II -A -B Raffinate B+D .... A+B Feed Section III Figure 1. Scheme of a simulated moving bed process migration velocities and the mixture is thus gradually separated while moving through the column. The eluting solvent is analyzed with a suitable detector at the outlet of the column, and a fractionating valve separates the mixture into its components. The major drawbacks of the batch operation mode are the high demand of eluent and the non-continuous product streams. It would be preferable to have a countercurrent flow of the fluid and the adsorbent. However, a real countercurrent flow of the solid is difficult to realize. The invention of the Simulated Moving Bed process overcame these difficulties (Broughton and Gerhold, 1961). Here the countercurrent movement of the phases is approximated by sequentially switching the valves of interconnected columns in the direction of the liquid flow. According to the relative position of the columns to the inlet and outlet nodes the SMB process can be divided into four different sections (see fig. 1). The separation is performed in the two central sections where component B is desorbed and component A is adsorbed. The desorbent is used to desorb component A in the first section to regenerate the adsorbent, and component B is adsorbed in the fourth section to regenerate the desorbent. The net flow rates of the components have different signs in the central sections II and III, thus components B and A are transported from the feed inlet upstream to the raffinate outlet with the fluid stream and downstream to the extract outlet with the ”solid stream”, respectively. The stationary regime of this process is a cyclic steady state, in which in each section an identical transient during the periods between two valve switches takes place. The cyclic steady state is practically reached after a certain number of valve switches, but the states of the system are still varying over time because of the periodic movement of the inlet and outlet ports along the columns. egy for the numerical solution of the equations above, based on Galerkin finite elements for the liquid phase equations, orthogonal collocation for the solid phase, and a suitable set of initial and boundary conditions, was proposed by Gu (Gu, 1995). In this manner, simulation times far below realtime can be achieved while reproducing experimental results very accurately (Dünnebier and Klatt, 1999). 3. MATHEMATICAL MODELING AND SIMULATION For the modeling of the SMB process, we follow a modular approach i.e. we build a rigorous model of the process by connecting dynamic models of the single chromatographic columns and considering the cyclic port switching. The models consist of two parts: the node balances to describe the interconnection and the switching, and the dynamic models of the single chromatographic columns. The node balances are used to calculate the inlet flows and concentrations for the four zones of the process (Ruthven and Ching, 1989) and comprise the mass balances at the respective nodes. The switching operation can, from a mathematical point of view, be represented by a shifting of the initial or boundary conditions for the single columns. Using this node model, the dynamic models of the single columns are interconnected. Any type of dynamic model for the single columns can be incorporated into the SMB model. In a recent publication (Dünnebier et al., 1998), it was shown that for processes with linear adsorption equilibrium, the Dispersive Model for Linear Isotherms (DLIModel) provides a very accurate and computationally efficient column model. Assuming that the effects of axial dispersion and mass transfer resistance can be lumped into the single parameter Dap; i leads to a quasi-linear parabolic partial differential equation for each component: ∂ci ∂ci ∂2 ci + uL = Dap; i : (1) γi ∂t ∂x ∂x2 The adsorption equilibrium is described by qi = Ki ci and the parameter γ is defined as γ = 1 + 1 ε ε Ki , where ε represents the column void fraction. The interstitial velocity uL is assumed to be constant between two switching periods. The above PDE was solved by Lapidus and Amundsen (Lapidus and Amundsen, 1952) for arbitrary initial and boundary conditions using a double Laplace transform and the application of this closed form solution to SMB processes is desribed in (Dünnebier et al., 1998). For complex nonlinear and coupled adsorption behavior, a more detailed model is needed. We here use a model of the most comprehensive General Rate Model (GRModel) type. Assuming no radial distribution of uL and ci , the differential material balances for each component result in the following set of equations 4. OPTIMAL OPERATION OF BATCH CHROMATOGRAPHY The determination of the optimal operating regime for batch elution chromatography can be stated as follows: a certain amount of raw material has to be separated into the desired components while strictly satisfying the constraints on purity and recovery. In this optimization problem there are the following degrees of freedom: ε) 3 kl ; i (ci c p; i (r = R p )) εR p ∂2 ci ∂ci Dax 2 + uL =0 (2) ∂x ∂x ∂c p; i ∂c p; i ∂qi 1 ∂ ε p) + εp ε p D p; i 2 r2 = 0: ∂t ∂t r ∂r ∂r ∂ci ∂t (1 + (1 In this model, any type of adsorption equilibrium can be included. A very efficient spatial discretization strat- a) The overall throughput, represented by the interstitial velocity uL . b) The injection period tin j as a measure for the size of the feed charge. c) The cycle period tcyc , i.e. the duration from the beginning of one feed injection to the beginning of the next one. d) The switching times of the fractionating valve τswitch; i . The product requirements can usually be formulated in terms of minimum purities, minimum recoveries or maximum losses. In case of a binary separation, all these constraints can be transformed into each other. In the sequel, we use the product recovery Reci as a measure of the product quality. The objective function for the ṁ optimization is the productivity Pri = mProduct i . This forAdsorbent mulation results in the following dynamic optimization problem: (3) max Pr(uL ; tcyc ; tin j ; τswitch; i ) ; s: t : Reci Recmin; i 0 uL umax L tin j ; tcyc 0 : For the solution of (3) we exploit the fact that the recovery constraints are always active at the optimal solution and can be considered as dynamic equalities: Rec = Φ(uL ; tin j ; tcyc ; τswitch; i ) : (4) If for a specified recovery the solution of (4) would explicitly be given in terms of tin j , tcyc and τswitch; i , one would obtain an equivalent optimization problem with only one degree of freedom: (5) max Pr(uL ) s: t : 0 uL umax L : Unfortunately, a closed form solution of eq. (4) is not available, but the structure of the optimization problem allows for an online solution by an efficient decomposition strategy. The resulting problem then consists of two stages: the iterative solution of the dynamic equality constraints (4) in an inner loop, and the solution of (5) in an outer loop. The iterative solution of (4) starts with a dynamic simulation of the process model for the respective value of uL with initial guesses for tin j and tcyc . By integration of the resulting elution profiles, a set of switching times τswitch; i is determined which exactly gives the desired product recovery. In general, these switching times are either not feasible because the collecting intervals for the two fractions overlap, or not optimal, because a fraction of pure solvent is obtained between the two collecting intervals. A simple gradient based search converges to the optimal and feasible solution for tin j and tcyc in a few steps yielding the solution of the equality constraints for a given interstitial velocity uL . The optimal interstitial velocity is then determined in the outer loop using a simple Newton type method. Because the objective function is unimodal, (5) can be treated as an unconstrained optimization problem with one degree of freedom without explicitly considering the constraint. In order to compensate for plant/model mismatch, we combine the online optimization of the operating parameters with an online parameter estimation strategy. The large number of parameters and their strong interactions do generally not allow for the estimation of all parameters from the measured elution profile. Proceeding from reasonable initial values of the model parameters from off-line experiments, we thus identify a reduced set of parameters. The model parameters can in principle be classified as: I Kinetic parameters describing the effects of mass transfer, diffusion and axial dispersion, II Adsorption parameters describing the thermodynamic equilibrium of adsorption. Though this classification is only a rough approximation in case of a complex adsorption behavior, it is a useful means for choosing the dominant parameters. The effects of the kinetic parameters are additive in a first approximation, therefore an experimentally determined elution profile can be approximated by fitting only one kinetic parameter and the adsorption parameters (Golshan-Shirazi and Guiochon, 1992). Simulation studies for several physical systems led to the conclusion that for those systems the mass transfer parameters kl ; i and the isotherm coefficients Ki are the dominant ones and should be chosen for parameter estimation. In the reduced online parameter estimation problem e.g. for a binary separation, 4 parameters have to be estimated. As soon as the set of peaks resulting from one injected pulse is eluted, this data is used for adjusting the model prediction to the measurement signals by a least-squares type algorithm. 5. OPTIMIZATION AND CONTROL OF SMB CHROMATOGRAPHY The online optimization of the complex SMB process under real-time requirements is currently not possible. Therefore, we propose a two-layer control architecture where the optimal operating trajectory is calculated offline by dynamic optimization based on a rigorous process model, the parameters of which are adapted to the current measurements. The remaining control task is then to keep the process along the calculated optimal trajectory despite disturbances and plant/model mismatch. This task is performed in the bottom layer where identification models based on simulation data of the rigorous process model along the optimal trajectory are combined with a suitable local controller. The control architecture is schematically shown in fig. 2 and the concrete realization of the elements is explained below. Process SMB-Process Model-Based Control On-Line Control Identification of Local Black-Box Models Model-Based Parameter Estimation Model-Based Optimization of Operating Parameters Off-Line Optimization Figure 2. Control concept for SMB processes Trajectory optimization and model parameter estimation: The operating regime of a SMB process is a periodic orbit or cyclic steady state (CSS). The calculation of the optimal operating parameters thus constitutes a dynamic optimization problem. In case of a given plant and a pre-specified feed inflow, the cost function can be reduced to the required desorbent inflow QD . By defining cax; k as the axial concentration profiles at the end of a switching period (see fig. 3), and by expressing both the process dynamics between two switching operations and the switching operation itself by the operator Φ, we can write the following condition for the CSS: (6) cax; k+1 = Φ (cax; k ) kΦ(cax; k ) cax; k k epssteady : (7) The purity requirements for the products in the extract and in the raffinate stream are formulated as inequality constraints. Besides that, the efficiency and functionality of most adsorbents is only guaranteed up to a maximum interstitial velocity, which results in an additional constraint for the flow rate in the first section of the process. The optimization problem can then be stated as follows: min QD (Qi ; τswitch ) s.t. kΦ(cax k ) ; τZ switch 0 τZ switch 0 cax; k k epssteady cA; Ex (t ) dt cA; Ex (t ) + cB; Ex (t ) PurEx min cB; Ra f (t ) dt cA; Ra f (t ) + cB; Ra f (t ) ; PurRa f ; (8) min Q1 Qmax : The natural choice of the degrees of freedom are the desorbent flow rate QD , the extract flow rate QE , the switching time τswitch and the recycle flow rate QIV . However, this results in an ill-conditioned optimization problem. Thus, we replace the ”natural degrees of freedom” QE , QD , QIV and τswitch by the variables βi : QF (1 ε)A L = QS = ∂g ∂gB A τswitch =β3 β2 ∂cA ∂cB ∂gA ∂gB QE = QS ( β1 β2 ) ∂cA ∂cB ∂gA ∂gB QD = QS ( β1 =β4 ) ∂cA ∂cB ∂gB εb =β4 + ) QIV = QS ( ∂cB 1 εb gi = ε p ci + (1 ε p)qi (cA ; cB ); (9) t1 with respect to γi ; Dap; i (i = A; B) then gives the column specific parameters. Here, ci (x = L; t; γi ; Dap; i ) is the solution of the PDE (1) with boundary and initial conditions ci (x = 0; t; γi ; Dap; i ) = ce; i (t ) (10) ci (x; t = 0; γi ; Dap; i ) = c0; i (x) : (11) Unfortunately, the boundary and initial concentrations are largely not available from the measurements. Therefore, a special approximation strategy was developed using the measured concentrations of A and B in the extract and raffinate outflow in two consecutive switching periods (see (Zimmer et al., 1999) for a detailed description of this strategy). Reduced model identification and trajectory control: Because of the favorable properties of the nonlinear transformation given by eq. (9), we choose the variables βi as inputs for the trajectory control loop. With an appropriate choice of outputs, this nonlinear transformation results in a nearly decoupled system dynamics. One characteristic indicator for the separation performance of a SMB unit is the axial position of the adsorption and desorption fronts of the two components at a certain moment, e.g. at the end of a switching period (see figure 3). Indicators of these front positions are chosen as the outputs of a reduced model for control. Assuming an on-line concentration measurement at the end of each of the columns, an approximation of the axial concentration profile can be obtained by connecting all measurements of the elution profiles obtained during one switching period. This representation is here denoted as the Assembled Elution Profile (AEP). Several different methods for the determination of the front positions from the AEP have been evaluated, trading off the computational requirements for the calculation, the robustness against noise, and the physical meaning of the calculated positions. From this, we chose a function approximation method using a modified Gaussian error function. The two parameters of the function are calculated for each front by a least-squares fit to the available measurements, and the respective inflection points which serve as the output variables are calculated analytically afterwards. The input and output variables of the identification model represent deviations from the nominal trajectory: four input variables ∆βi and the deviations of the four nominal front positions ∆yi as outputs. As a reduced system model for the dynamics in the vicinity of the nominal trajectory we use a linear time invariant model of the MIMO ARX type (Ljung, 1987): A(q)y(t ) = B(q)u(t ) + e(t ) ; (12) F (z)GC (z) F (z)GC (z)GM (z) (13) where A and B are 4 4-Matrices containing polynomial functions of the discrete time shift operator q in each element. PRMS signals (Isermann, 1992) were used to excite the rigorous simulation model in the vicinity of the optimal operating trajectory. The order of the system was estimated by evaluation of the step responses and the performance of the identified model. The necessary computations were performed using the MATLAB System Identification Toolbox (Ljung, 1995). After identification of the MIMO ARX model (12), in principle, any standard linear control design approach as well as linear model predictive control could be used to realize a MIMO trajectory controller. However, we here exploit the fact that due to the particular choice of the input and output variables, the system dynamics are only weakly coupled in the vicinity of the optimal operating trajectory. Therefore, a decentralized trajectory controller can be implemented. For the design of the discrete time SISO controller in each channel we applied internal model control as proposed in (Zafiriou and Morari, 1985). In the conventional feedback representation, the controller is of the form C(z) = 1 where GC is the internal model controller, designed by inverting the system model following the guidelines 0.04 Component A Component B 0.035 Concentration [g/cm3] where QS is the apparent solid flow rate and qi = f (cA ; cB ), describes the adsorption equilibrium isotherm. This nonlinear transformation, which is based on physical considerations, results in a better conditioned optimization problem. For the solution of the optimization problem (8), a sequential algorithm was proposed in (Dünnebier et al., 1999b). The degrees of freedom βi are chosen by the optimization algorithm in an outer loop and then transformed back into flow rates and switching times. In the inner loop, the CSS is calculated by direct dynamic simulation. The purity constraints are evaluated by integration of the elution profiles. The nonlinear program in the outer loop can then be solved by a standard SQP algorithm, while the required gradients are evaluated by perturbation methods (see (Dünnebier et al., 1999b) for details of the implementation). The results of the trajectory optimization illustrated above essentially depend on a reliable determination of the model parameters. Because these parameters may be time varying (e.g. due to aging of the chromatographic columns), an on-line estimation algorithm should be included. In (Zimmer et al., 1999) such an algorithm was proposed for systems with linear adsorption isotherms based on concentration measurement devices located in the product outlets. Assuming the validity of the DLI model (1), the system has, in the case of a binary separation, four parameters describing the physical behavior, which are γi and Dap; i (i = A; B). A linear adsorption isotherm implies that the components A and B do not interact. Thus, the two parameter sets (γA , Dap; A ) and (γB , Dap; B ) can be determined separately. The measured outlet concentrations ci; meas (x = L; t ) are compared to the outlet concentrations which are determined by the solution of the simulation model where the relevant parameters can be freely assigned. Optimizing a quadratic cost functional Z t2 2 ci; meas (t ) ci(x = L; t; γi ; Dap; i ) dt J (γi ; Dap; i ) = 0.03 Desorption front B 0.025 Adsorption front A Adsorption front B 0.02 Desorption front A 0.015 0.01 0.005 0 −214.4 −160.8 ↑ Desorbent −107.2 ↓ Extract −53.6 0 ↑ Feed 53.6 107.2 160.8 ↓ Raffinate Length [cm] 214.4 Figure 3. Axial concentration profile of a simulated moving bed unit 80 78 0 5 10 15 0 5 10 15 20 25 30 Optimal interstitial velocity 35 40 Time [h] 35 40 0.04 0.035 0.03 0.025 Time interval [s] Interstitial velocity [cm/s] 76 20 25 Switching times 30 Time [h] 2000 1500 Inject. Per. [s] Cycle Per. [2 s] 1000 0 5 10 15 20 25 30 35 40 Time [h] Figure 4. Product purities and operating parameters during an experimental run (setpoint change for required purity at approx. 28 hours from 80% to 85%) suggested in (Zafiriou and Morari, 1985). GM is the transfer function of the respective model, and F (z) is a first order filter z(1 α) (14) F (z) = z α where α has to be suitably chosen in the range 0 α < 1. 6. IMPLEMENTATION AND RESULTS In the Process Design Laboratory at the University of Dortmund there are two chromatographic setups, on which this theoretical framework can be implemented and verified. A single chromatographic column, NOVAPREP Preparative HPLC, is used for model validation and separation experiments in batch elution mode, while a complex SMB plant, a NOVASEP LICOSEP LAB 12-26, can perform continuous production-like separations. To work in a realistic process control environment and in order to minimize the implementation effort, both systems are operated by a commercial process control system. The control system consists of a decentralized control system (DCS) of the SIEMENS S7-400-series (CPU S7414-2DP with the corresponding I/O-groups on the same rack or with further I/O-slaves) and the Windows Control Center (WinCC) as human machine interface. Both processes, the batch and the SMB chromatography, are controlled by the DCS on a bottom level and are monitored by WinCC. Through its C-script interface, Global Script, WinCC allows for the integration of userdefined algorithms and programs. So far the control scheme for optimal batch operation was implemented and was verified experimentally. The manipulated variables, batch cycle time, injection time, and feed flow rate, are controlled by the DCS; the concentrations of each component in the eluent are measured using the concept proposed in (Altenhöner et al., 1997). The measuring devices have to be chosen according to the components in the mixture. In case of a glucose/fructose separation a density meter and a −3 5 x 10 step disturbance u1 step disturbance u2 0 CVs 82 −5 −10 0.1 MVs Component A Component B 84 0.05 0 −0.05 5 −3 x 10 10 15 20 Periods 25 30 60 70 80 90 Periods step disturbance u3 step disturbance u4 10 CVs Purity [%] 86 polarmeter are used. The concentration measurements are transmitted via industrial ethernet and stored and monitored in WinCC. By continuously calculating the gradients for each component, the algorithm detects the elution of a pair of peaks. The concentration data of one pair of peaks is collected and, after the second peak has left the column, transferred to the optimization algorithm together with the corresponding injection data. While the process is continuously controlled by the low level DCS, the optimizer updates the process model based on the measurements and returns new optimal values for the operating parameters, which are applied to the process for the next batch. Figure 4 shows the results of an experimental run where a mixture containing each 30mg/ml fructose (component A) and glucose (component B) was separated. The initial disturbance is rejected, and after about 28 hours the controlled process reaches a steady state. At this point, a set point change takes place in the product specifications: purities and recoveries are now required to be 85%. The control scheme reacts by immediately decreasing the interstitial velocity and increasing the injection and cycle intervals. This leads to a better separation of the two peaks and to the desired increase in purity. Whilst the implementation for the batch column is finished, this is currently performed for the more complex SMB control architecture. Therefore, we here show some simulation results for a fructose/glucose separation on the LICOSEP SMB in an 8-column setting in order to highlight the capabilities of the proposed control concept. Figure 5 shows the controlled response to a step disturbance on the plant inputs while operating along the optimized trajectory. In practice, this scenario corresponds to an irregularity in the pumps or in the piping system, 5 0 0.1 MVs Resulting purities 0.05 0 −0.05 120 130 140 Periods 150 180 190 200 210 Periods Figure 5. Step disturbances in the manipulated variables (∆βi ) and resulting deviations of the front positions from the optimal values (1: solid, 2: dashed, 3: dotted, 4: dash-dotted) well as the application of the approach to pharmaceutical products which show a more complex adsorption behavior than the sugar separation depicted here. Change of adsorptions parameters KHA +5%, KHB −5% −3 10 x 10 CVs 5 0 8. REFERENCES −5 0.1 MVs 0.05 0 −0.05 −0.1 0 5 10 15 20 Periods 25 30 35 40 Figure 6. Change of feed batch simulated by change of adsorption parameters at period 5 (1: solid, 2: dashed, 3: dotted, 4: dash-dotted) e.g. a faulty pump sealing or a column leakage. Each of the subplots in figure 5 shows a disturbance in one input and all resulting MV and CV moves. As can be clearly seen, the deviations are suppressed quickly and the closed loop reacts mostly decoupled. In many cases, a separation process follows prior production steps which might be continuous or discontinuous, a typical example in the Life Science context being a fermenter or a batch reactor. Thus a continuous SMB chromatography has to face changes in the composition of the feed batch. This scenario is simulated by changing the characteristic adsorption parameters after five periods by 5% for each of the components, Glucose and Fructose. The results are shown in figure 6 and it can be seen that the front positions are driven back to their nominal values. 7. CONCLUSIONS In this paper, a new approach for the optimal operation and advanced control of chromatographic processes both in batch elution and SMB operation mode was proposed, which explicitly aims at controlling the processes close to their economic optimum. In case of the batch operation, the control strategy combines online dynamic optimization and parameter estimation techniques. Because online optimization is currently not possible for the complex dynamics of the SMB process, we here suggest a two-layer control structure where in the top layer the optimal operating trajectory is calculated off-line by dynamic optimization. The respective model parameters are determined by an online estimation algorithm which, in addition to providing actual and reliable model parameters for the trajectory optimization, enables the online monitoring of the unmeasurable concentration profile within the separation columns. 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