REPORT ON

“Process Identification”

DEPARTMENT OF CHEMICAL ENGINEERING

INDIAN INSTITUTE OF TECHNOLOGY (INDIAN SCHOOL OF MINES) DHANBAD

M.Tech Programme
Advance Process Control

Submitted to: Submitted by:

Dr. Arun Kumar Samanta Gunjan Bisht (19MT0148)
Kewat Karan (19MT0177)
Piyush Mehta (19MT0272)
Pooja Gupta (19MT0275)
 Content
Page
S.No. Topic
No.
1 Introduction 1

2 Steps of Identification 2

3 Example of Process Identification 4

4 Process Identification Methods 6

4.1 Step Testing 6

4.2 Frequency Testing 8

4.3 Pulse testing 8

5 Simple Process Identification Methods 9

5.1 Continuous Cycling Method 9

5.2 Process Reaction Curve 12

5.3 Frequency Test 13

6 Advanced Process Identification 14

6.1 for Frequency Response Model 14

6.2 For Continuous Time Differential Model 15

7 Summary 17

8 References 18
 1. Introduction

Identification is the experimental approach to process modelling. The emphasis is on methods

based on the use of measurements from the process. In general, these types of methods do not
require detailed knowledge of the underlying process; the chemical and physical phenomena
need not be fully understood. Instead, good measurements of the plant behavior need to be
available. In this report, the role of identification in process engineering is discussed, and the
steps of identification are briefly outlined. Various methods, techniques and algorithms are
considered.

Where are models needed?

The need of process model arise from various requirements:-

a) Process design
b) Process control
c) Plant optimization
d) Fault detection

What kinds of models are there?

Standard modeling approaches include two main streams:

a) The first-principle (white-box) approach,

b) The identification of a parameterized black-box model.
The first-principle approach (white-box models) denotes models basedon the physical
laws and relationships (mass and energy balances, etc.) thatare supposed to govern the
system’s behaviour.
Example (Conservation principle)

The physical models are as different from the world a graphic map is from the surface of the
earth.

The reason may be that the

1) Knowledge of the system’s mechanisms is incomplete, or the

2) Properties exhibited by the system may change in an unpredictable manner.

3) Modeling may be time-consuming and

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4) May lead to models that are unnecessarily complex

Provided that adequate theoretical knowledge is available, it may seem obvious that the first-
principle modeling approach should be preferred. Solving of the model equations might also
pose problems with highly detailed first-principle models requires only estimates of the future
behavior of the controlled variable.

Due to the above reason, a semi- or full-parameterized approach seems much more
meaningful.

2. Steps of Identification

Identification is the experimental approach to process modeling following these steps,

a) experimental planning (data acquisition),

b) selection of the model structure,
c) parameter estimation, and
d) model validation.

The basis for the identification procedure is experimental planning, where process
experiments are designed and conducted so that suitable data for the following three steps is
obtained. The purpose is to maximize the information content in the data, within the limits
imposed by the process.

 Selection of the model structure is referred to as structure estimation,

where the model input-output signals and the internal components of the
model are determined. In general, the model structure is derived using
prior knowledge.
 Conditioning of data is necessary: scaling and normalization of data (to
scale the variables to approximately the same scale), and filtering (to
remove noise from the measurements).
 In parameter estimation, the values of the unknown parameters of a
parameterized model structure are estimated. The choice of the parameter
estimation method depends on the structure of the model, as well as the
properties of the data.

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Three steps that constitute the basis for the experimental identification of a process (figure 1).

 Step 1: Postulate a model for the process: The unknown process is not
completely a black box. Some information about its dynamic behaviour is
known from basic principles and/or plant experience. Therefore some
estimate of its model’s order and some initial values for the unknown
parameters will be available .The more we know about the process the
more effective the postulated model will be. Consequently we should use
for its development all available information. Remember though, that
complex models of high order will not necessarily produce better
controller designs and will burden the computational effort without
tangible results.
 Step2: Introduce a known input change to the process and record its
output: We could use normal operating data for the values of input and
output variables. It should be emphasized, though, that an excitation of the
process with an abruptly changing “test” input signal (e.g. .step, pulse, and
sine) will yield more pronounced variations in the output variable. This
will uncover more information about the process dynamics. On the other
hand, abrupt input changes may disrupt seriously the operation of the
process and thus may not be recommended for on-line process
identification.
 The parameter values computed by the least-squares problem depend on
the type of “test” input that was used. Thus we may have different results
for step and impulse input changes. This could be a serious drawback of
the method for the identification of sensitive systems.
 Step3: Estimate the “best” values for the unknown process
parameters: The least-squares methodology is also known as regression
analysis if the postulated model is linear we have linear regression analysis
otherwise, it is called nonlinear regression analysis.

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 Figure: 1. Experimental Identification of process dynamics.

3. Example: Identifying the Order and the Parameters of a Process Model

Consider a process whose dynamics are very poorly known so that we do not have a good
estimate for the order of a postulated model. Assuming that the process is initially at steady
state, we introduce an input signal whose sampled values are shown in Table. The recorded
response of process output at the various sampling instants is also shown in Table. Notice that
the input and output variables have been expressed in deviation form, having zeroes values
for negative times.

Initially, let us postulate a first-order model:

The linear regression analysis will find the values of the parameters a1 and b1 which minimize
the mean-square error:

--A

as follows: The optimum values of a1 and b1 must satisfy the necessary conditions for a
minimum point:

--B (a)

--B (b)

Solve eqs. B (a) and B (b) for a1 and b1, using the measured values of Table for yn, yn-1, mn-1
(n=1, 2... 15) and find

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 a1 = 0.86 and b1 = 0.57

These values of a1 and b1 minimize the mean of the squared errors given by rq. (A) and yield

minimum P = 0.00161

This is fairly close to zero so that we can conclude that a first-order model adequately
describes the unknown process.

We proceed by postulating a second-order model of the form,

Then the least-squares objective function becomes,

P=

Table: Data for Process Identification-

Sampling instant Input variable Output variable

n mn yn
n<0 0.0 0.0
0 1.0 0.0
1 0.60 0.50
2 0.30 0.90
3 0.10 0.91
4 0.0 0.866
5 0.0 0.732
6 0.0 0.612
7 0.0 0.513
8 0.0 0.430
9 0.0 0.361
10 0.0 0.302
11 0.0 0.253
12 0.0 0.212
13 0.0 0.178
14 0.0 0.149
15 0.0 0.125

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Following the same procedure as before, we solve the necessary conditions,

and find,

a1 = 0.6, a2 = 0.2, b1 = 0.5, b2 = 0.3

These values yield

minimum P = 0

Therefore, the postulated second-order model describes exactly the process dynamics and the
model that can be used for controller design is

4. Process Identification methods based on Type of Forcing Function:

Process identification provides several forms that are useful in process control; some of these
forms are

A) Process reaction curve (obtained by step input)

B) Frequency response diagram (obtained by sinusoidal input)
C) Pulse response (obtained by pulse input)

4.1 Step Testing

For systems that produce an S-shaped process reaction curve, a general model that can be
fitted to the transient is the following second-order with transport lag model:

This model is an extension of the one used in the C-C tuning method, in which there was only
one first-order term

Graphical Procedure:-

The transfer function given by Eq. can be obtained from a process reaction curve by a
graphical method in which the logarithm of the incomplete response is plotted against time.

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The method applies for .

1. Determine (if transport lag is present) the time at which the process reaction curve of
Fig 1. below first departs from the time axis; this time is taken as the transport lag .
2. From the process reaction curve of Fig 1. plot I versus on semi-log paper as shown
in Fig 2. where Z is the fractional incomplete response and is the shifted time
starting at (i.e., = t - Td). I is defined by

I = ……………….(1)

where is the ultimate value of Y.

3. Extend a tangent line through the data points at large values of (see Fig2.). Refer

to this tangent line as I, and let the intersection of the tangent line with the vertical axis at
=0 be called P.

4. To find the time constant , read from the graph in Fig.2 the time at which I, =
0.368P. This time is
5. Plot A versus where A = I, I. If the data points (A, ) fall on a straight line, the
system can be modelled as a second-order transfer function with transport lag as given
by Eq. (19.7) with time constants . The value of is the time at which A =
0.368R where R is the intersection ofthe line A with the vertical axis at = 0.

(a)

(b)

Figure:2. Process reaction curve used in the semi-log plot method of modeling.

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 6. The process gain is = ……………….(2)

Figure 3: Graphical construction for use in modeling semi-log plot method.

4.2 Frequency Testing

Frequency response that a process having a transfer function G(s) can be represented by a
frequency response diagram (or Bode plot) by taking the magnitude and phase angle of
G(j ). This procedurecan be reversed to obtain G(s) from an experimentally determined
frequency response diagram. The procedure requires that a device be available to produce a
sinusoidal signal over a range of frequencies. We describe such a device as a sine wave
generator. a sinusoidal variation in pressure is applied to the top of the control valve so that
the manipulated variable can be varied sinusoidally over a range of frequencies. The sine
wave generator used to test electronic devices operates at frequencies that are too high for
many slow moving chemical processes. The great disadvantage of frequency testing is that it
takes a long time to collect frequency response data over a range of frequencies that can be
used to construct frequency response plots.

4.3 Pulse testing

Pulse testing is similar to step testing; the only difference in the experimental procedure is
that a pulse disturbance is used in place of a step disturbance. The pulse is introduced as a
variation in valve top pressure as was done for step testing. In applying the pulse, the open-
loop system is allowed to reach steady state, after which the valve top pressure is displaced
from its steady-state value for a short time and then returned to its original value. The
response is recorded at the output of the measuring element .The input-output data obtained

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in a pulse test are converted to a frequency response diagram, which can be used to tune a
controller. The transfer function of the valve, process, and measuring element (referred to as
the process transfer function, for convenience) is given by:

…………………………(3)

where Y(s) = Laplace transform of the function representing the recorded output response

X(s) = Laplace transform of the function representing the pulse input. Applying the definition
of the Laplace transform to the numerator and denominator of Eq. (3) gives input output as
shown in figure

Figure 4: Typical process response to a pulse input.

The pulse test is the least disruptive to plant operation among the process identification
methods.

The pulse disturbance does not cause the process output to depart far from its normal
operating point. Also, the length of time that the process is tied up for an open-loop test is
short compared to the frequency response method.

5. Simple Process Identification Methods:

These comprise of Continuous cycling method, Process reaction curves and frequency tests.
The purpose of these methods is that they are carried out to estimate the model of the process
because if we need to tune PID controllers then we require information about the model of
the process.

5.1 Continuous Cycling Method:

The continuous cycling method is a trial and error method which is used to estimate ultimate
frequency and the ultimate gain of the process.

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In this method, first the proportional controller is implemented with the process.

Figure:5. Control system with a proportional controller

Here G(s) block is the process, kc block is the proportional controller, u(s) is the controller
output transfer function and y(s) is the process output transfer function and ys is the set point.
Second, the control engineer increases the proportional gain and simultaneously changes the
set point. If the process output diverges then the control engineer reduces the proportional
gain and vice versa. If the proportional gain (kc) is smaller than the ultimate gain (ku), then
the process output converges. If the proportional gain (kc) is bigger than the ultimate gain
(ku), then the process output diverges.

Figure 6: Identification using the continuous cycling method.

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In Figure 6, in control output versus time plot we increased the value of kc at t=0 and
observed the behaviour till t=20, we see that the output converges hence the kc must be
smaller than ku. At t=20, value of kc is increased again and it is observed that the output
converges again. At t=40 when the value of kc is increased even further the control output
diverges. The value of kc is decreased now at t=60 and a continuous oscillating bounded
output is observed. The value of kc after t=60 is ku itself.

It is undesirable to push the control system to the marginally stable zone from the safety point
of view hence a control engineer can set the upper and lower limits on the control output. If
proportional gain is smaller than the ultimate gain the process output converges. If the
proportional gain is bigger than the ultimate gain, then at least one side of the oscillation of
the control output is saturated to the upper or lower limit, meanwhile, one side of the
oscillations contacts slightly with one of the limits (but not saturated) if the proportional gain
is the same as the ultimate gain.

Figure 7: Continuous cycling test with upper and lower limits on the control output.

A disadvantage of continuous cycling method is that it requires large identification time.

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5.2 Process Reaction Curve:

A plot of output response of a process to a step change is referred to as a process reaction

curve. Here the term process also includes the final control element and measuring element.

In this method the shape of the response curve is observed and based on that various transfer
function models are assumed to fit the data points such as First Order model, First Order Plus
Time Delay [FOPTD] model, Second Order Model, Second Order Plus Time Delay [SOPTD]
model, etc.

First Order Plus Time Delay [FOPTD] transfer function model looks like this,

A First Order Process is a very idealised process, departures from such ideal situation is
common. Addition of a time delay term in a First Order model accounts for higher order
dynamics hence agreement between the model and experimental data can increase.

The fitting of the FOPTD model to the actual step response of size M requires the following
steps,

Figure 8: Process Reaction Curve

1. The process gain K is found by calculating the ratio of the steady state change in y to
the size of the input step change, M.
2. A tangent is drawn at the point of inflection of the step response, The intersection of
the tangent line and the time axis (where y=0) is the time delay.

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 3. If the tangent is extended to intersect the steady state response line (where y = KM),
the point of intersection corresponds to time . Therefore, can be found by
subtracting from the point of intersection.

Major disadvantage of this time delay estimation method is that it is difficult to find the point
of inflection due to measurement noise. The method of Sundaresan and Krishnaswamy
(1978) avoids use of the point of inflection construction entirely to estimate the time delay.

Figure 9: Experimental data and FOPTD model.

They used a plot of fractional response versus time. In Figure 9, is the experimental
data (S-shaped curve) and is the FOPTD model. The shaded area is Integral of absolute
error (IAE), it is minimized by differentiating it with and and setting the differentials to zero.
Then we obtain two values of fractional responses as 0.353 and 0.853.

The FOPTD model is solved to get analytical expressions of and . The two values of fractional
responses obtained by IAE minimization are input in the analytical expression to obtain,

5.3 Frequency Test:

It is used to find ultimate gain (ratio) and ultimate frequency of the process.

Suppose we don’t have any information about the model of the process, we will pass a known
sinusoidal signal as Input. If the process output lags by – and has the
same frequency as the input then this frequency itself is the ultimate frequency u. The

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output signal will be given by and the ultimate gain
ratio cu , this is the reciprocal of the amplitude ratio, cu = 1/AR( u).

Figure:10. Response of a process output for a sine signal of ultimate frequency u

6. Advanced Process Identification

6.1 Process Identification for Frequency Response Model

Relay Feedback Method:

Figure: Activated process output by a conventional relay feedback method

The procedure for process activation by relay feedback is as follows,
(i) The upper (on) value of the relay output is applied to drag the process output out of
the initial value as shown in Figure.
(ii) The lower (off) value of the relay is applied when the process output deviates from
the initial state.
(iii)The upper value of the relay is applied when the process output is less than the
reference value, and vice versa. That is, if and if
.
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 (iv) The process input and output usually reach a cyclic steady state (which means that the
period and the peak value of the process output do not change) after three or four
cycles.
Frequency Response Analysis:
The objective of frequency response analysis is to estimate the frequency response (frequency
model) of the process from the activated process input and the process output. For example,
consider activated process data from a conventional relay feedback method, as shown in
Figure. To estimate the frequency model of the process from the activated process input and
output, the two signals of the relay output and the process output are approximated to two
sine signals. The square signal of the relay output in the cyclic steady state can be represented
by a Fourier series as follows:

Where is the fundamental frequency, denotes the period of the relay, and

denote the relay output and the magnitude of the relay on–off respectively. If only the
fundamental term is considered and the harmonics neglected, then the following approximation is
obtained:

Also, a sine signal can approximate the process output as follows:

Where and denote the process output and the peak value of the process output
respectively. Then, the process output can be said to be approximately

for the process input . Then, it is clear that the phase angle between

and is . So, the frequency is the ultimate frequency of the process. Also, the
amplitude ratio corresponding to the ultimate frequency is approximately and the

ultimate gain is the reciprocal of .

6.2 Process Identification for Continuous Time Differential Equation Models

Using Integral Transforms

The following steps of the identification method can be applied to the case where the process
is initially in the steady state,

(i) Consider the general differential equation is of the following form:

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 Here B represents the Bias term to incorporate the case that the deviation variable is not
specified correctly or a static disturbance enters.

(ii) The following integral transforms are to be applied:

(iii) The following algebraic equation is obtained after applying the transform:

(iv) Further we need to find the values of the constants and where
using experimental data. This can be done by applying least square
method.

The identification method using the integral transforms provide the following continuous-
time, time-invariant linear model.

Where is a proper transfer function ( ), and denote the Laplace

transform of process input and process output respectively.

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7. Summary

 Identification is the experimental approach to find a process model.

 Industrial Use of System Identification:
1. Process control - most developed ID approaches
– all plants and processes are different
–need to do identification, cannot spend too much time on each
2. Aerospace
– white-box identification, specially designed programs of tests
3. Embedded systems
– simplified models, short cycle time
 Steps for experimental Identification Process:

1. Postulate a model for the process

2. Introduce a known input change to the process and record its output

3. Estimate the “best” values for the unknown process parameters

 Process Identification methods based on Type of Forcing Function:

1. Process reaction curve (obtained by step input)
2. Frequency response diagram (obtained by sinusoidal input)
3. Pulse response (obtained by pulse input)
 Simple Process Identification Methods:
1. Continuous Cycling Method: The continuous cycling method is a trial and error
method which is used to estimate ultimate frequency and the ultimate gain of the
process.
2. Process Reaction Curve: A plot of output response of a process to a step change is
referred to as a process reaction curve.
3. Frequency Test: It is used to find ultimate gain (ratio) and ultimate frequency of the
process.
 Advanced Process Identification methods are very useful and very rigorous methods
to find the process model.

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 8. References

1. Sung S.W ,Lee Jietae, Lee In-Beum. Process Identification and PID Control,John Wiley &
Sons (Asia) Pte Ltd.

2. Coughanowr D.R, LeBlane S.E. Process systems analysis and control-3rd ed, Mcgraw-Hill
chemical engineering series.

3. Stephanopoulous George. Chemical Process Control: An Introduction to theory and

Practice, PHI Learning Private Limited.

4. Seborg D.E, Edgar T.F, Mellichamp D.A, Doyle III F.J. Process Dynamic Control-3rd ed,
John Wiley & Sons (Asia) Pte Ltd.

5. Enso Ikonen, Kaddour najim. Advance Process Identification and control, Marcel Dekker,
INC.

6. Sundaresan, K. R., and R. R. Krishnaswamy. Estimation of Time Delay, Time Constant

Parameters in Time, Frequency, and Laplace Domain, Can J. Chem. Eng., 56,257 (1978).

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