B.V. Babu
Birla Institute of Technology and Science, Pilani, Rajasthan
OXFORD
UNIVERSITY PRESS
OXFORD
UNIVERSITY PRESS
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0 Oxford University Press 2004
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ISBN 0195668057
Qpeset in Times by Le Studio Graphique, Gurgaon 122001 Printed in India by Rani Book Binding House, New Delhi 110020 and published by Manzar Khan. Oxford University Press YMCA Library Building, Jai Singh Road, New Delhi 110001
It was the discovery of crude oil in 1859 by Drake that led to the thought that there was the need to have a separate discipline of chemical engineering. Until then, chemists and mechanical engineers also served as chemical engineers. In the early stages of the evolution of chemical engineering as a separate discipline, it was thought to be a combination of unit operations and unit processes. Since then, chemical engineering has been dynamic and has undergone many changes. The beauty of this discipline lies in its versatility and ability to adapt itself to various new and interdisciplinaryfields of engineering and science. Environmental engineering,biochemical engineering, energy engineering, optimization, l and process control and instrumentationcan al come under the single umbrella of chemical engineering. Taking these dynamic changes and the versatility of this discipline into account, it has been redefined as comprising the concepts of process synthesis, analysis, and optimization. Process synthesis deals with the selection of the best process alternative out of the millions of alternate process flowsheets available for manufacturingany product. A systematic methodology has been developed based on the conceptual design principles for this process synthesis activity. It includes making process design decisions at various levels of hierarchy, such as batch versus continuous, inputoutput structure, recycle structure, general structure, and energy integration. The complexity of the decisions increases as the level goes up from batch versus continuous to energy integration. Process analysis deals with the detailed simulation of process plants for the best process alternative selected from the process synthesis activity. Optimization, as the name suggests, deals with finding the optimum design parameters for maximizing the profit or minimizing the total investment on a process plant (tradeoff between capital and operating costs). Process plant simulation, as a subject, deals with concepts on process analysis and optimization. It includes the concepts of modelling, optimization, decomposition of networks, modular and equationsolving approaches, data regression, convergence promotion, specificpurpose simulation and dynamic simulation, etc. I have been teaching the modelling part of this course for the last 17 years of my teaching career. Earlier, modelling was part of a course I was teaching at Gujarat University during 19851996 as chemical systems modelling, and now at BITS, Pilani, it is part of process plant simulation, which I have been teaching for the last five years.
vi
Preface
to introduce a generalized approach to modelling various engineering systems, so that these principles can be used to model any new situation or system in various engineering, science and other applied disciplines I to introduce nontraditional optimization techniques, which can serve as a research monograph and guide to the methodology for various evolutionary optimization techniques (populationbased search algorithms) I to familiarize students with professional software packages such as HYSYS and FLUENT
I
Key Features
Offers exhaustive coverage of all topics related to plant simulation I Covers traditional as well as nontraditional optimization techniques I Discusses case studies on specificpurpose and dynamic simulation
I
Preface
vii
Includes an overview of professional softwarepackages used in plant simulation, such as HYSIS and FLUENT rn Includes a CDROM containing program codes and related useful information Comes with a Solutions Manual which provides the solutions to selected problems
Acknowledgements
Many people have contributed directly or indirectly in bringing this book to its present form since its conception in the year 2000. To begin with, I would like to accord my deep sense of gratitude and thanks to Prof. S. Venkateswaran, Vice Chancellor, BITS, Pilani, for encouraging this course development work. I must acknowledge the active guidance and encouragement I received from Prof. L.K. Maheshwari, Director, BITS Campus, Pilani; Prof. K.E. Raman, Deputy Director (Administration),BITS, Pilani, who constantly inspired me in time management and encouraged me to complete this work; and Prof. V.S. Rao, Deputy Director (Offcampus Programmes), BITS, Pilani, for being a fatherly figure for me. I must thank Prof. R.K. Patnaik, Prof. G.P. Srivastava,Prof. A.K. Sarkar, Dean (InstructionDivision), BITS, Pilani, and Prof. R.N. Saha, Dean (Educational Development Division), BITS, Pilani, who made the necessary arrangements for the manuscript to be ready in time. I am deeply grateful to my colleagues Mr Rakesh Angira, Mr Ashish Chaurasia, Mr V. Ramakrishna, Mr Nitin Maheshwari, Mr Sheth Pratik, and Mr Suresh Gupta, who are doing their PhD under my guidance, for helping me in reviewing portions of the manuscript and providing valuable comments apart from making the figures and proofreading. I am indebted to all my students at BITS, Pilani (especially Mubeen, Pallavi, Ravindra, Gautam, Shobhana, Vishnu, Simli, Mandar, Angarasu, Amol, and Subha Jyothi), for their tireless effort and help in bringing out the preliminary draft of the book. I cannot find words to describe the debt I owe to Dr Rainer Storn of ICSI, Berkeley, Prof. David E. Goldberg of the University of Illinois at UrbanaChampaign, and Prof. Kalyanmoy Deb of IIT, Kanpur, whose inputs have helped me to understand nontraditional optimization techniques better. Last but not the least, this work would not have been completed without the understanding and support I got from my wife Shailaja and my children Shruti and Abhinav.
I heartily welcome any constructivesuggestions,criticism, and appraisal by the readers, which would help me in improving the quality of this book in subsequent editions. B.V. BABU
Contents
Preface
V
1. Introduction
1.1 1.2 1.3 1.4 1.5 Process Synthesis 3 Process Analysis 5 Optimization 8 Process Plant Simulation 10 Organization of the Text 10 Exercises 12
PART MODELLING I
2. Modelling Aspects 2.1 Deterministic Versus Stochastic Processes 15
2.1.1 Deterministic Process 15 2.1.2 Stochastic Process 16
15
2.2 Physical Modelling 16 2.3 Mathematical Modelling 17 2.4 Chemical Systems Modelling 20
2.4.1 Model Formulation Principles 21 2.4.2 Fundamental Laws used in Modelling 22
Exercises 38
39
45
Contents
ix
3.7 Artificial Neural Networks 47 3.7.1 Network Training 48 3.7.2 Modes of Training 49 3.7.3 Network Architecture 49 3.7.4 Backpropagation Algorithm 3.7.5 ANN Applications 51 3.7.6 Example Problems 51 Exercises 57
50
61
5. Models in Heattransfer Operations 5.1 Steadystate Heat Conduction Through a Hollow Cylindrical Pipe (Static Distributed Parameter Rigid Analytical Model) 108 5.2 Unsteadystate Steam Heating of aLiquid (Dynamic Lumped Parameter Rigid Analytical Model) 115 5.3 Unsteadystate Heat Loss Through a Maturing Tank (Dynamic Lumped Parameter Rigid Analytical Model) 117 5.4 Countercurrent Cooling of Tanks 124 5.5 Heat Transfer Through Extended Surfaces (Spine Fin) 129 5.6 Temperature Distribution in a Transverse Cooling Fin of Triangular Cross Section 135 5.7 Unsteadystate Heat Transfer in a Tubular Gas Preheater 138 5.8 Heat Loss Through Pipe Flanges 139 5.9 Heat Transfer in aThermometer System 141 5.10 Unsteadystate Heat Transfer by Conduction 145 Exercises 148
107
152
Contents
Flow of a Film on the Outside of a Circular Tube 160 Choice of Coordinate Systems for the Falling Film Problem 162 Annular Flow with Inner Cylinder Moving Axially 164 Flow Between Coaxial Cylinders and Concentric Spheres 166 Creeping Flow Between Two Concentric Spheres 169 Paralleldisc Viscometer 172 Momentum Fluxes for Creeping Flow into a Slot 174 Exercises 178
181
203
Exercises 216
PART OPTIMIZATION IV
9. TraditionaI 0pt imizat ion Techniques 9.1 Limitations of Optimization 221 9.2 Applications of Optimization 222 9.3 Types of Optimization 224
9.3.1 Static Optimization 224 9.3.2 Dynamic Optimization 224
221
Contents
9.4.3 Gradient Methods of Optimization 9.4.4 Rosenbrock Method 252 9.4.5 Other Methods 252 231
xi
Exercises 255
257
265
288
Exercises 290
PART SIMULATION V
11. Modular Approaches and Equationsolving Approach 11.1 Modular Approaches to Process Simulation 295
1 1.1.1 Analysis Versus Design Mode
295
295 301
Exercises 3 11
xii
Contents
31 3
Exercises 332
337
346
Exercises 353
355
375
Contents
14.4 Pyrolysis of Biomass 396 14.4.1 Stepwise Procedure 396 14.4.2 Problem Formulation 413 14.4.3 Method of Solution and Simulation 14.4.4 Results and Discussion 416 14.4.5 Conclusions 429 Exercises 430
xiii
415
432
435
484
References
Index
520 532
CHAPTER 1
INTRODUCTION
The transformation of raw materials into desired products usually cannot be achieved in a single step in any chemical process. The overall transformation is broken down into a number of steps that provide intermediate transformations. These are carried out through reaction, separation, mixing, heating, cooling, pressure change, particle size reduction and enlargement, etc. So, the synthesis of a chemical process involves two broad activities. The first is the selection of individual transformation steps, and the second is finding the interconnections between these individual transformations to form a complete structure that achieves the required overall transformation, leading to a flowsheet, which is a diagrammatic representation of the process steps with their interconnections. The simulation of the process can be carried out after the flowsheet structure is defined. Simulation is a mathematical model of a process, which attempts to predict how the process would behave if it was constructed. After creating a model of the process, the flow rates, compositions, temperatures, and pressures of the feeds are assumed. The simulation model can then be used to predict the flow rates, compositions, temperatures, and pressures of the products. Simulation also allows the sizing of the individual items of equipment in the process and prediction of the amount of raw material, energy, etc. required. The performance of the design can then be evaluated. Once the basic performance of the design has been evaluated, changes can be made to improve the performance, i.e., optimization. These changes might involve the synthesis of alternate structures, i.e., structural optimization (Smith 2000). As energy consumption expands and resources of material and energy become more expensive and less certain, substantial changes will be required in many of
the conventional chemical processing plants (Husain 1986). These have to incorporate a high degree of energy integration and achieve greater efficiencies through process modifications, thus conserving material and energy resources. At the same time, safety standards are tightening, therefore lower temperatures and pressures are desired. It is obvious that higher reaction rates, fewer stages, and smaller plants will reduce the burden of the material in a process, leading to safer plants. In order to meet these challenges, greater effort on the part of the process engineers towards evaluation of the process flowsheets is necessary. Today, the emphasis is on tackling a process design problem from a broader perspective. This is facilitated by the use of computers and computeraided design (CAD) software. The computeraided design and simulation of a variety of systems is catching up very fast and being applied extensively in all fields of science, arts, engineering, and medicine. In addition, chemical process engineers need to carry out process plant simulation for visualizing plant processes, performing heat and material balances of process flowsheets, designing new plants, suggesting modifications and expansions of existing plants (retrofitting), helping engineers to develop a better understanding of how their plants really operate, reducing costs and increasing profits, predicting operating efficiencies and anticipating problems, troubleshooting process and control problems, assisting operators in planning for production changes and disruptions, training operators, etc. The design, development, and control of chemical plants and equipment are an essential part of chemical engineering. From an industrial standpoint, the economic feasibility and profitability of any process should be favourable for its implementation. It is therefore important for a chemical engineer to combine plant design and economics while formulating a prospective design plan. Process plant simulation constitutes the process analysis and optimization aspects of process design. Chemical engineering discipline has been evolving continuously over the years without any limits, both in depth as well as in breadth. The beauty of this discipline lies in its ability to be versatile and its adaptability to various interdisciplinary areas (environmental engineering, biochemical engineering, energy engineering, optimization, to name a few). In order to appreciate the aspects involved in process plant simulation and to understand the importance of this subject, we have to go back to the history of evolution of chemical engineering as a discipline. Until Drake discovered crude oil in 1859, the chemists and mechanical engineers used to do the work of chemical engineers. It was the discovery of crude oil which led to the feeling among the scientists and academicians that there was a need to have a separate discipline in order to cater to the needs of processing and purifying various useful products from crude oil. The sequence of events that led to the birth
Introduction
of chemical engineering as a discipline is as follows: The first course in chemical engineering was offered by Prof. Lewis M. Norton in 1888 at MIT, USA for chemical major students. A fullfledged course was offered for the first time by the University of Pennsylvania in 1908; but a methodology on which chemical engineering could develop as a distinct discipline was still lacking. Two other developments, which had a bearing on the growth of chemical engineering as a discipline, took place in the late nineteenth century and the early twentieth century. In 1915, Arthur D. Little introduced the unit operations (mechanical operations, fluidflow operations, heattransfer operations, masstransfer operations, etc.) concept. Subsequently, in 1922, the unit processes (oxidation, hydrogenation, nitration, sulphonation, etc.) concept was introduced by Groggins. Therefore, chemical engineering is defined as a combination of unit operations and unit processes. The roots of chemical engineering are physics, chemistry, and mathematics. A broadbased definition for chemical engineering given by AIChE is Application of the principles of physical sciences, together with the principles of economics and human relations, to fields that pertain directly to processes and process equipment in which matter is treated to effect a change in state, energy, content, or composition. A working definition of a chemical engineer could be one who can develop, design, construct, control, and manage any process involving physical and/or chemical changes (chemical changes include biochemical changes). Keeping the history and versatility of chemical engineering in the background, considering the AIChE and working definitions of improved and matured chemical engineering, and bearing the challenges ahead of a chemical engineer in mind, the complete process design can be viewed as being carried out in the following three stages: 1. Process synthesis 2. Process analysis 3. Optimization
approach has been to develop a generalized and systematic approach to process synthesis. The major feature that distinguishes design problems from other types of engineering problems is that they are underdefined (i.e., only a very small fraction of the information needed to define a design problem is available from the problem statement) and openended (to supply the missing information, assumptions are to be made and there are numerous ways of achieving the same goal). Process synthesis deals with the conceptual design of chemical processes, following a systematic procedure (Douglas 1988). The objectives of conceptual design are to find the best process flowsheet (Lee,to select process units and their interconnections), and optimum design conditions. This is very difficult, as experience shows that there are to the tune of 104105 possible alternatives to be considered in process synthesis activity. In addition, the success rate of new ideas and subsequent designs ever becoming commercialized is very less (in fact it is less than 1%). That means there are many possibilities to consider, with a small chance of success. In many cases the processing costs associated with the various process alternatives differ by an order of magnitude or more, so that shortcut calculations have to be used to screen the alternatives. At the same time, one should be certain that the solution is in the neighbourhood of the optimum design conditions for each alternative, in order to prevent discarding an alternative because of poor choice of design variables. So, cost studies must be used as an initial screening to eliminate ideas for designs that are unprofitable. If a process appears to be profitable, other factors such as safety, environmental constraints, controllability, etc. should be considered. Because of the underdefined and openended nature of design problems, and because of the low success rate, it is useful to develop a strategy for solving design problems. This process synthesis activity has to be carried out by establishing a hierarchy of design decisions. A systematic procedure has been laid down for screening the alternatives by following five levels of design decision hierarchy. With this approach, a very large and complex problem can be decomposed into a number of smaller problems that are much simpler to handle. By focusing on the decisions that must be made at each level in the hierarchy, one can identify the existing technologies that could be used to solve the problem without precluding the possibility that some new technology might provide a better solution. Moreover, by listing the alternate solutions that are proposed for each decision, a list of process alternatives can be systematically generated. In some cases, it is possible to use design guidelines (rules of thumb or heuristics) to make decisions about the structure of the flowsheet and/or to set the values of some of the design variables. Orderofmagnitude arguments are used to derive many of these heuristics, and a simple analysis of this type is used to identify the limitations of the heuristics. In cases where no heuristics
Introduction
are available, shortcut design methods are used as a basis for making decisions. The five levels of decision hierarchy in conceptual design are 1. Batch versus continuous production 2. Inputoutput structure of the flowsheet 3. Recycle structure of the flowsheet 4. General structure of the separation system (a) Vapour recovery system (b) Liquid recovery system 5. Heatexchanger network synthesis (energy integration)
A beginner can substitute the evaluation of a number of extra calculations for experience during the development of a conceptual design by following this hierarchical decision procedure. However, the penalty paid in the form of time required to screen more alternatives is not very high, as shortcut calculations are used. As a designer gains experience, it is possible to recognize alternatives that should not be considered for a particular type of process, and thereby improve efficiency. This entire process synthesis activity is carried out prior to the process analysis stage to find the best process alternative by systematically screening millions of possible process alternatives following the abovementioned hierarchy of design decisions. But this process synthesis is beyond the scope of the present course on process plant simulation. Process synthesis itself is vast and is offered as a separate compulsory course named Process Design Decisions.
Convergence promotion Physical and thermodynamic properties Specificpurpose simulation and Dynamic simulation
Simulation can be carried out either in the design mode or in the analysis mode. In the design mode the outputs are specified and the corresponding inputs are simulated using the system model equations for various units. On the contrary, in the analysis or performance mode, the inputs are specified and the corresponding outputs are simulated. Ideally, with an aim of using process simulation as a design tool, the system inputs andor design parameters should be calculated from the specified outputs (i,e,, the design mode should be used). But such a simulation in a design mode is numerically less stable than that in the analysis or performance mode. The latter is characterized by the fact that all system inputs and design parameters for the units are specified and the outputs are calculated using the given information. Thus, the information flow in the analysis mode is in the same direction as the energy and material flow in a chemical plant. Being numerically more stable, the analysis mode is more often used to perform design calculations iteratively for making case studies. Hence, a majority of application packages are written in this mode of simulation. Calculating heat and mass balances is the most tedious and repetitive problem of process design. As mentioned in the previous section on process synthesis, during the initial stages of a flowsheet study, of a new process or an existing one, simple material balances alone may suffice. At this level, specifications may be set from the plant data if an existing plant is being considered, or from engineering experience or pilot plant data if a new process flowsheet is under development. In the later stages of design, however, heat and mass balances must be calculated along with the equilibrium and rate equations, PVT relationships, and relations governing countercurrent operations. All these equations are generally strongly nonlinear. Moreover, in the simplest case, if a process is of sequential configuration, it is easy to proceed from the feed streams until the products are obtained, calculating sequentially for one process unit after the other. Unfortunately, most chemical plants are of complex configurations involving recycling of streams, mass and/or energy; they represent interlinked networks of units. To make the calculation procedure sequential in such situations, it is essential to decompose the network. This, in turn, requires convergence promotion. The necessity of incorporating constraints or specifications other than the natural parameters while modelling a flowsheet has, of course, been recognized for quite some time in computeraided process design. The importance of simulating in the design mode compared to the analysis mode has been outlined above. This differentiates rating calculations from design calculations. In the former case, each
Introduction
unit is specified and its performance is calculated. In the latter case, performance is specified and each unit is designed to give the required performance. In the sequential modular approach, constraints can be accommodated using additional iteration loops around the module, provided these constraints involve stream quantities associated with that module. However, if the constraints involve streams not incident to the underspecified module, then iterations in the outer loops involving the entire flowsheet are needed; this procedure is quite cumbersome and tedious. For this reason, the modular approach has not gained popularity for simulation in the design mode. In the equationsolving approach, the mathematical model of a steadystate process is organized and handled as one large global set of equations representing the entire process. This is in contrast to subsets of equations, called modules, used in the modular approach according to the process units that appear in a given process. Hence, in the global approach of equationsolving, any number of constraints can be added in the form of equations to the set defining the problem. Because the global approach analyses all the equations representing an entire chemical process, it takes full advantage of the specific features of these equations, which are ignored in the modular approach. It also generates a tailored computer program for each new problem, while the same modularoriented simulator is used for all the problems. The tailored computer program executes faster and uses less memory compared to the modularoriented simulator. However, the major disadvantage of the global approach is the necessity of manually preparing a new input description for all the equations of each new problem. This preparation can become tedious and highly errorprone, since chemical processes can be modelled using hundreds and thousands of nonlinear equations. Several design organizations started building libraries of computer programs for various unit operations in the early 1960s. It then became evident that many of these could be put into a system enabling one to direct calculations for an entire flowsheet, thus saving considerable engineering time. This resulted in the development of specificpurpose programs to simulate a particular plant or part of a plant; these were naturally more detailed in nature but at the same time rigid in structure. Upon examining these programs, it became clear that a major portion could be common to all types of plants, i.e., calculations involved in various unit operations, methods used to compute different physical and thermodynamic properties, decomposition and convergence algorithms, cost information, as well as a library of numerical routines. Furthermore, a common approach to diagnostics might also be beneficial. Ultimately, this gave rise to several generalpurpose simulation packages. Over the last few years, steadystate simulation has become a significant input to process analysis. It represents the system under consideration by a mathematical model and obtains information about the system response by applying different sets of inputs to the model. The model is often applied in the form of a computer
program for a steadystate deterministic system simulation. Dynamic simulation (unsteadystate simulation) is necessary during the startup and shutdown of a process plant.
1.3 Optimization
This is the final step in the development of a process flowsheet. Many constrained and unconstrained optimization techniques are employed for this purpose. Of late, nontraditional optimization techniques such as genetic algorithms and differential evolution are being used. All these interrelated activities should obviously lead to an optimal design and safe operation of a chemical plant. The chemical industry has undergone significant changes during the past 15 years due to the increased cost of energy and increasingly stringent environmental regulations. Modifications of both plant design procedures and plant operating conditions have been made in order to reduce costs and meet the constraints. Most industry observers believe that the emphasis in the near future will be on improving the efficiency and profitability of existing plants rather than on plant expansion (Edgar & Himmelblau 1989). One of the most important engineering tools that can be employed in such activities is optimization. As a result of computers having become more powerful, the size and complexity of problems, which can be simulated and solved by optimization techniques, have correspondingly expanded. The goal of optimization is to find the values of the variables in a process which yield the best value of the performance criterion. This usually involves a tradeoff between capital and operating costs. Typical problems in chemical engineering design or plant operation have many, and possibly infinite number of, solutions. Optimization is concerned with selecting the best among the entire set by efficient quantitative methods. Unfortunately, no single method or algorithm of optimization can be applied efficiently to all problems. The method chosen for any particular case will depend primarily on (i) the character of the objective function and whether it is known explicitly, (ii) the nature of the constraints, and (iii) the number of independent and dependent variables. The general objective in optimization is to choose, keeping in view the various constraints, a set of values of the variables that will produce the desired optimum response for the chosen objective function. There are two distinct types of optimization algorithms in use today. First, there are algorithms that are deterministic, with specific rules for moving from one solution to the other. These algorithms (also known as traditional methods) have been successfully applied to some of the engineering design problems. Second, there are algorithms that are stochastic in nature, with probabilistic transition rules. These are comparatively new and are gaining popularity due to certain properties which deterministic algorithms do not have. As stated earlier, most of the traditional optimization algorithms based on gradient methods are susceptible to getting trapped
Introduction
at local optima depending upon the degree of nonlinearity and the initial guess. Unfortunately, none of the traditional algorithms are guaranteed to find the global optimal solution, but genetic and simulated annealing algorithms are found to have a better global perspective than traditional methods (Deb 1996). Moreover, when an optimal design problem contains multiple global solutions, designers are interested in finding not just one global optimum solution, but as many as possible for various reasons. First, a design suitable in one situation may not be so in another situation. Second, designers may not be interested in finding the absolute global solution. They might instead be interested in a solution that corresponds to a marginally inferior objective function value but is more amenable to fabrication. Thus, it is always prudent to know about other equally good solutions for later use. However, if the traditional methods are used to find multiple optimal solutions, they need to be applied a number of times, each time starting from a different initial guess and hoping to achieve a different optimal solution. During the past two decades there has been a growing interest in algorithms, that are based on the principle of evolution (survival of the fittest). A common term, coined recently, refers to such algorithms as evolutionary algorithms (EAs) or evolutionary computation (EC) methods. The bestknown algorithms in this class include genetic algorithms, evolutionary programming, evolution strategies, and genetic programming. There are many hybrid systems which incorporate various features of the above paradigms and consequently are hard to classify, and can be referred to as just EC methods (Dasgupta & Michalewicz 1997). Simulated annealing (SA) is a probabilistic nontraditional optimization technique, which mimics the cooling phenomenon of molten metals to constitute a search procedure. Rutenbar (1989) gave a detailed discussion of the working principle of SA and its applications. Since its introduction, SA has diffused widely into many diverse applications. Genetic algorithms (GAS)are computerized search and optimization algorithms based on the mechanics of natural genetics and natural selection. They mimic the survival of the fittest principle of nature to make a search process. The key control parameters in GA are N , the population size; pc,the crossover probability; and pm, the mutation probability (Goldberg 1989). Price and Storn (1997) have given the working principle of differential evolution (DE), which is an improved version of GA, along with its application to polynomial fitting problems. They have also suggested some simple rules for choosing the key parameters such as the population size NP, crossover constant CR, and the weight F applied to the random differential (scaling factor) of DE for any given application. The three interrelated steps mentioned above (process synthesis, process analysis, and optimization) thus help to generate an optimal process plant design for any chemical process starting from the initial stage of conception. The flowsheet shown in Fig. 1.1 describes the strategy for process engineering.
10
P m e s s Plant Simulation
Define process objective
I
Collect and store information
I_______

I I
L,,,,
I_______

>
I
Control analysis
+ +
I
1
Detailed plant design Construction and installation
Safety analysis
+
startup
Operation
Product
Introduction
11
the known inputs or from simulated outputs of the previous unit. This can be done using models of the individual units. Similarly, optimization is also a very important aspect in process design. With reference to some of the other process analysis aspectssuch as modular approaches to process simulation, the equation solving approach, decomposition of networks, convergencepromotion, physical and thermodynamic propertiesspecificpurpose simulationand dynamic simulation are discussed in brief in this text for completeness of the subject under consideration.There has been no consolidatedliterature available on modelling and optimization aspects which covers the entire gamut of these primarily important process design aspects. Hence, the present text focuses on these two aspects of process plant simulation, and also covers the associated aspects on treatment of experimental results. Keeping these objectives in mind, the text is organized as follows. Part I deals with various aspects of modelling: Chapter 1 gives a brief introduction of the subject. Chapter 2 gives a brief introduction to modelling, deterministic versus stochastic processes, physical and mathematical modelling, model formulation principles, cybernetics, controlled systems, and principles of similarity. Chapter 3 discusses the classification of mathematicalmodelling, the black box principle, artificial neural networks, dependent and independent variables, parameters, and boundary conditions. P r I1 deals with chemical systems modelling, focusing on different areas of at chemical engineering. The required mathematical techniques for solutions are emphasized as and when required. Chapters 4,5 , and 6 focus on models in the areas of masstransfer, heattransfer, and fluidflow (momentumtransfer) operations. Chapter 7 deals with models on reaction engineering. Part I11 deals with the treatment of experimental results. Chapter 8 includes various types of errors and their propagation, and data regression techniques such as the method of averages and the method of linear least squares. Part IV focuses on various optimization techniques. Chapter 9 covers the traditional optimization techniques including analytical methods, constrained optimization (Lagrangian multiplier), gradient methods such as the method of steepest descent (ascent)and the sequential simplex method, random search methods such as the box complex and Rosenbrock methods, etc. Chapter 10 discusses the nontraditional optimization techniques such as simulated annealing, genetic algorithms, differential evolution, evolutionary strategies, etc. PartV deals with the remaining aspects of process analysis. Chapter 11 focuses on modular approaches to process simulation and the equation solving approach. Chapter 12 deals with the decomposition of networks and the corresponding tearing algorithms such as the Barkley and Motard algorithm, basic tearing algorithm, and list processing algorithms such as the Kehat and Shacham algorithm and various forms of the Murthy and Husain algorithm. Chapter 13 discusses the convergence
12
promotion, and physical and thermodynamic properties. Chapter 14 covers the specificpurpose simulation and dynamic simulation, discussing industrial problems as case studies. Chapter 15 discusses two professional simulation software packages (HYSYS and FLUENT),and the stepwise methodology for using these packages is demonstrated by solving four engineering problems.
EXERCISES
1.1 Discuss various stages of the development of chemical engineering as a discipline. 1.2 What are the various unit operations and unit processes? What are the analogies among these? 13 Describe various levels of decision hierarchy in process synthesis? . 1.4 What are the aspects covered in process analysis? 1.5 What is the role of optimization in process design? 1.6 Discuss the strategy of process engineering with the help of a neat flow chart. 1.7 What is process plant simulation?
PART I
MODELLING
THE NEXT two chapters we will understand the importance of modelling in general and the model formulation principles for applying to chemical engineering systems in particular.We will see the types of modelling (physical and mathematical), understand the relationship among cybernetics, computers, and mathematical modelling, and classify various processes and mathematical modelling. Then we will discuss the black box principle and artificial neural networks. We will also focus on the related aspects of modelling such as the controlled system, principles of similarity, dependent and independent variables,. parameters, and boundary conditions.
IN
CHAPTER 2
MODELLING ASPECTS
Most of the engineeringprocesses that demand accurate product quality, and proceed at high rates, high temperatures, and high pressures, are distinct for their utmost complexity. A simple change in one of the variables may bring about complex and nonlinear changes in other variables. The external potential of information about any engineering process is extremely high. This complex situation can be handled diligently with very narrow channels of perception by gaining an insight into a particular process using models. A model is a simplified representation of those aspects of an actual process that are being investigated (Kafarov & Kuznetsov 1976). The flow of information is broken down into two stages. In the first stage, the model is compared with the real process and considered adequate if the discrepancy is negligible. In the second stage, the expectations are compared with the indications of the model. This procedure is called modelling. Modelling is subdivided into two groups: rn Physical modelling Mathematical modelling We will also focus on specific applicationsof mathematical modelling in chemical engineering, which is generally referred to as chemical systems modelling. Before actually going into the details of and differences among physical, mathematical, and chemical systems modelling, we need to have a good grasp of different types of processes, such as deterministic and stochastic processes, and their differences.
16
is uniquely determined by the input variable. These processes can be adequately described by classical analysis and numerical methods. An example is the process that takes place in a simple continuous stirred tank reactor (CSTR).
Modelling Aspects
17
complex systems that one has to deal with in chemical engineering. For relatively simple systems (such as singlephase fluidflow or heattransfer systems) the similarity principle and physical modelling are justified because the number of criteria involved is limited. However, with complex systems and processes described by a complex system of equations, one has to deal with a large set of similarity criteria that are not simultaneously compatible and, as a consequence, cannot be realized. Let us consider the example of designing an industrial heat exchanger. For computing the heattransfer coefficients that are required for designing a heat exchanger, the empirical correlations (of the form Nu = c Re"Pu", where Nu is the Nusselt number, Re is the Reynolds number, and Pr is the Prandtl number; c, m, and n are constant and the exponents are determined experimentally) developed at laboratory scale could be scaled up to industrial scale using geometric and dynamic similarities. Section 2.7 contains a detailed discussion on similarity principles. The similarity principle has proved its worth in the analysis of deterministic processes that obey the laws of classical mechanics and proceed in bounded singlephase systems (within solid walls as a rule). It is, however, difficult to apply physi.cal similarity to an analysis of probabilistic processes involving multivalued stochastic relationships between the events, an analysis of twophase unbounded systems, and to processes complicated by chemical reactions.
18
of the prototype process and should adequately fit the real process. For a check on this requirement, the observations made on the process should be compared with the predictions derived from the model under identical conditions. Thus, a mathematical model of a real chemical process is a mathematical description combining experimental facts and establishing relationships between the process variables. For this purpose, it uses both theory and experimentation (Babu & Ramakrishna 2002a). When one is lacking information about a process or a system, one begins with the simplest model, taking care not to distort the basic (qualitative) aspects of the prototype process. Mathematical modelling involves three steps: w formalizationthe mathematical description of the process under investigation (mathematicalformulation) w development of an algorithm for the process w testing of the model and the solution derived from it In this method of analysis, the model itself is restrained through simulation on a computer, rather than with the real process or plant, as is the case with physical modelling. For this purpose, the variables that affect the course of a process are changed from the computer control console to a predetermined program (algorithm) and the computer represents the resultant outputs. With a conservative capital outlay, mathematical modelling coupled with presentday computers makes it possible to investigate various plant configurations in order to trace process behaviour under different conditions, and to find ways and means for improvement. Furthermore, this approach always guarantees an optimum solution within the framework of the model being used. However, it should be stressed that mathematical modelling is in no way set to oppose physical modelling. Rather, the former supplements the latter with its wealth of mathematical formulation and numerical analysis. The importance of lateral mixing from experimental evidence in thermal resistance models (Babu 1993; Shah et al. 1995) is a very good example of this combination. Mathematical modelling involves the simulation of a process on a computer by changing in the interlinkedvariables. Using this technique, all promising alternatives can be simulated in order to arrive at an optimum model and, as a consequence, to optimize the process itself within a relatively short time. Mathematical modelling is economic and less time consuming than physical modelling. Mathematical modelling also uses the principles of analogies, or correspondence between different physical phenomena, dekribed by analogous mathematical equations.An example is the analogy among energy, heat, mass and electricity transport as is demonstrated below.
Modelling Aspects
19
z=
.(%)
can be rearranged to
where v p is the momentum per unit volume. In addition, in terms of driving force hp itbecomes
g, D M 2fpv2 = 
(2.3)
=  k ( z ) Q A can be rearranged to
(2.4)
where pCpT is the heat per unit volume. Similarly, heat flux QLA in terms of driving force AT is
=hAT Q A
Mass transport (mass flux) Ficks first law of diffusion
qm = J =  D ( z )
can be rearranged to
where c is the mass per unit volume. Similarly, mass flux NA in terms of driving force Ac is
N , =k,Ac
(2.9)
20
(2.10)
Modelling Aspects
21
Mathematics, which is the language of quantitative analysis, plays a vital role in all facets of such a project. Therefore, training in mathematical methods is of utmost importance to chemical engineers. The most important result of developing a mathematical model of a chemical engineering system is the understanding that is gained of what really makes the process work. This insight enables one to strip away from the problem many extraneous confusing factors and get to the core of the system. It is basically trying to find causeandeffect relationships between the variables. Mathematical models can be useful in all phases of chemical engineering, from research and development to plant operations, and even in business and economic studies (Luyben 1990). In research and development: determining chemical kinetic mechanisms and parameters from laboratory or pilotplant reaction data; exploring the effects of different operating conditions for optimization and control studies; aiding in scaleup calculations. In design: exploring the sizing and arrangement of processing equipment for dynamic performance; studying the interactions of various parts of the process, particularly when material recycling or heat integration is used; evaluating alternative process and control structures and strategies; simulating startup, shutdown, and emergency situations and procedures. In plant operations: troubleshooting control and processing problems; aiding in startup and operator training; studying the effects of and requirements for expansion (bottleneckremoval) projects; optimizing plant operation. It is usually much cheaper, safer, and faster to conduct the kinds of studies listed above on mathematical model simulations than experimentally on an operating unit. This is not to say that plant tests are not needed. As we will discuss later, they are vital for confirming the validity of a model and for verifying important ideas and recommendations that evolve from model studies.
22
optimum usually corresponds to a model, which is as complex as the available computing facilities will permit. The development of a model that incorporates the basic phenomena occurring in a process requires a lot of skill, ingenuity, and practice. It is an area where the creativity and innovativeness of the engineer is a key element for the success of the process. The assumptions that are made should be carefully considered and listed. They impose limitations on the model that should always be kept in mind when evaluating its predicted results.
Mathematical consistency of model Once all the equations of the mathematical model have been written, it is usually a good idea, particularly with big, complex systems of equations, to make sure that the number of variables equals the number of equations: The socalled degrees of freedom of the system must be zero in order to obtain a solution. If this is not true, the system is underspecified or overspecified and something is wrong with the formulation of the problem. This kind of consistency check may seem trivial, but experience shows that it can save many hours of frustration, confusion, and wasted computer time. This is required for a simulation exercise. For an optimization exercise, there should be some degrees of freedom available for optimizing, that is, an optimization problem is an underspecified problem. Checking to see that the units of all terms in all equations are consistent is perhaps another trivial and obvious step, but one that is often forgotten. It is essential to be particularly careful of the time units of parameters in dynamic models. Any unit can be used (seconds, minutes, hours, etc.), but these cannot be mixed. Dynamic simulation results are frequently in error because the engineer has forgotten a factor of 60 somewhere in the equations. Solution of the model equations The available solution techniques and tools must be kept in mind as a mathematical model is developed. An equation without any way to solve it is not worth much. Verification An important but often neglected part of developing a mathematical model is proving that the model describes the realworld situation. At the design stage, this sometimes cannot be done because the plant has not yet been built. However, even in this situation there are usually either similar existing plants or a pilot plant from which some experimental dynamic data can be obtained. The design of experiments to test the validity of a dynamic model can sometimes be a real challenge and should be carefully thought out.
2.4.2 Fundamental Laws used in Modelling
Some fundamental laws of physics and chemistry are required for modelling a chemical engineering system. These laws are reviewed in their general timedependent form in this section.
Modelling Aspects
23
The units of Eq. (2.11) are mass per time. Only one total continuity equation can be written for one system. According to the normal steadystate design equation we use, we say that what goes in, comes out. The dynamic version of this says the same thing with the addition of the word eventually. For any property in a system, if we assume that the property does not vary with respect to spatial location, we obtain an ordinary differential equation (ODE). Otherwise we obtain a partial differential equation (PDE). If we assume that the property does not change with time (steadystate assumption), we get an algebraic equation. The righthand side of the above equation will be either a partial derivative or an ordinary derivative of the mass inside the system with respect to the independent variable t.
24
There are some exceptions to the above rule. Consider a nonreacting system first. If we consider a flow balance involving S streams connected to a process unit (either in terms of moles or mass), NC component balances and S normalization relations (one for each stream), which describe how the total mass of a stream is related to the composition of the stream, then together these constitute NC + S + 1 equations, out of which one equation is redundant. Generally, it is not possible to work with NC  1 components (and implicitly use the normalization equation for computing it) because the specified compositions may be distributed arbitrarily. The same holds for a reacting system, but we should note that the equations involve r parameters corresponding to the extents of reaction (with known stoichiometry) assumed to occur in the reactor. A further complication is that element balances are not equivalent to component balances unless some conditions are satisfied (Reklaitis 1983; Felder & Rousseau 1999).
2.4.2.2 Energy equation The first law of thermodynamics puts forward the principle of conservation of energy. Written for a general open system (where flow of material in and out of the system can occur) it is
[Flow of internal, kinetic, and potential energy into system by convection or diffusion]  [flow of internal, kinetic, and potential energy out of system by convection or diffusion] + [heat added to system by conduction, radiation, and reaction]  [work done by system on surroundings (shaft work and PVwork)] = [time rate of change of internal, kinetic, and potential energy inside system] (2.13)
2.4.2.3 Equation of motion According to Newtons second law of motion, force F is equal to mass M times acceleration a for a system with constant mass M , i.e.,
F =  Ma
gc
(2.14)
where g, is the conversion constant needed when FPS or MKS units are used
= 32.2 (lb,ft)/lb,s2 in FPS (English engineering) units = 9.81 kg,m/kg,s2 in MKS units
Modelling Aspects
25
where vi is the velocity in the i direction and Fii thejth force acting in the i is direction. From Eq. (2.15), we can say that the time rate of change of momentum in the i direction (mass times velocity in the i direction) is equal to the net sum of the forces pushing in the i direction. It can be thought of as a dynamic force balance, or more eloquently it is called the conservation of momentum. In the real world there are three directions: x, y, z. Thus, three force balances can be written for any system. Therefore, each system has three equations of motion (plus one total mass balance, one energy equation, and NC  1 component balances). Instead of writing three equations of motion, it is often more convenient (and always more elegant) to write the three equations as one vector equation. The field of fluid mechanics makes extensive use of the conservation of momentum.
2.4.2.4 Transport equations
The equations discussed so far are the laws governing the transfer of momentum, energy, and mass. These transport laws all have the form of a flux (rate of transfer per unit area) being proportional to a driving force (a gradient in velocity, temperature, or concentration). The proportionality constant is a physical property of the system (such as viscosity, thermal conductivity, or diffusivity). However, for transport on a molecular level, the laws bear the familiar names of Newton, Fourier, and Fick [Eqs (2.1), (2.4), and (2.7),respectively]. Transfer relationships of a more macroscopic overall form are also used; for example, film coefficients and overall coefficients in heat transfer. Here the difference in the bulk properties between two locations is the driving force [Eqs (2.3), (2.6), and (2.9),respectively]. The proportionality constant is an overall transfer coefficient.
2.4.2.5 Equations of state
In mathematical modelling we need equations for physical properties, primarily density and enthalpy, as a function of temperature, pressure, and composition. Liquid density,
(2.16) (2.17) (2.18) (2.19)
Occasionally, these relationships have to be fairly complex to describe the system accurately. But in many cases simplification can be made without sacrificing much
26
overall accuracy. Some of the simple enthalpy equations that can be used in energy balances are
h = C,T
(2.20)
(2.21) The next level of complexity would be to make the Cpsfunctions of temperature: (2.22) A polynomial in T is often used for Cp:
C , ( T ) = A1 + 4 T Then Eq. (2.22) becomes
= A,(T  To)+ ! L ( T ~ T~)  0
L
H = C,T
+ 2,
(2.23)
(2.24)
Of course, with mixtures of components, total enthalpy is needed. If heatofmixing effects are negligible, the purecomponent enthalpies can be averaged:
c
NC
xjhjMj
(2.25)
where xj is the mole fraction of the jth component, Mj is the molecular weight of the jth component, and hj is the purecomponent enthalpy of the jth component (energy per unit mass). The denominator of Eq. (2.25) is the average, molecular weight of the mixture. Liquid densities can be assumed constant in many systems unless large changes in composition and temperature occur. Vapour densities usually cannot be considered invariant and some sort of PVTrelationship is almost always required. The simplest and most often used is the perfectgas law: PV = nRT (2.26) where P is the absolute pressure (Wa), V is the volume (m3), n is the number of moles (kmol), R is a constant = 8.314 kPam3/kmolK, and T is the absolute temperature (K). Rearranging to get an equation for the density p, (kg/m3) of a perfect gas with molecular weight M, we get
nM M P pv=y=i@
(2.27)
Modelling Aspects
27
The basis for the equations that give the conditions of a system when equilibrium conditions prevail is the second law of thermodynamics.
c v j p j=0
j=1
(2.28)
where vj is the stoichiometric coefficient of thejth component with reactants having a negative sign and products a positive sign, and p is the chemical potential of the jth component. The usual way to work with this equation is in terms of the equilibrium constant for a reaction. For example, consider a reversible gasphase reaction of A to form B at a specific rate k , and B reaching back to A at a specific reaction rate k2. The stoichiometry of the reaction is such that va moles ofA react to form vb moles of B. (rate constant for reverse reaction is k2) From Eq. (2.28), equilibrium will occur when vbpb  vapa = The chemical potential for a perfectgas mixture can be written as
N. , &V A V,B
(2.29)
(2.30)
(2.31)
pj = p y
+ RT lnPj
where is the standard chemical potential (or Gibbs free energy per mole) of the jth component, which is a function of temperature only, Pj is the partial pressure of the jth component, R is the perfectgas law constant, and T is the absolute temperature. Substituting into Eq. (2.30) and simplifying, we get in(
=
0
 'bpB
RT
(2.32)
The righthand side of this equation is a function of temperature only. The term in parentheses on the lefthand side is defined as the equilibrium constant Kp, which gives us the equilibrium ratios of products and reactants. (2.33)
Phase equilibrium Equilibrium between two phases occurs when the chemical potential of each component is the same in the two phases:
(2.34)
28
where pj is the chemical potential of thejth component in phase I and py is the chemical potential of the jth component in phase 11. Since a vast majority of chemical engineering systems involve liquid and vapour phases, many vapourliquid equilibrium relationships are used. They range from very simple to the very complex. Some of the most commonly used relationships are listed below. More detailed treatments are presented in many thermodynamics texts. Basically, we need a relationship that permits us to calculate the vapor composition if we know the liquid composition, or vice versa. The most common problem is a bubble point calculation: calculate the temperature T and vapour composition yp given the pressure P and the liquid composition xi. This usually involves a trialanderror, iterative solution because the equations can be solved explicitly only in the simplest cases. Sometimes we have bubble point calculations that start from known values of xj and T and we want to find P and yi. This is frequently easier than when pressure is known, because the bubble point calculation is usually noniterative.Dew point calculations must be made when we know the composition of the vapour y j and P (or 7J and want to find the liquid composition xj and T (or P). Flush calculations must be made when we know neither xj nor y j and must combine phase equilibrium relationships, component balance equations, and an energy balance to solve for all the unknowns. Let us assume ideal vapourphase behaviour in our examples, i.e., the partial pressure of the jth component in the vapour is equal to the total pressure P times the mole fraction of thejth component in the vapour y j (Daltons law):
q=Py j
Ruoults law Mixtures that obey Raoults law are called ideal mixtures.
NC
(2.35)
Corrections may be required at high pressures. As far as the liquid phase is concerned, several approaches are being used, which are shown below.
P = Cx,P;
j= 1
(2.36)
xjp; y . =(2.37) P where P, is the vapour pressure of pure component j . Vapour pressures are functions of temperature only. This dependence is often described by
A. lnPjS = > + Bj T (2.38)
Modelling Aspects
29
Relative volatilities are fairly constant in a number of systems. They are convenient and hence are frequently used. In a binary system the relative volatility a of the more volatile component compared with the less volatile component is
(2.40)
Rearranging,
m
= 1+ (a 1)x
(2.41)
K vahes Equilibrium vapourization ratios of K values are widely used, particularly in the petroleum industry.
(2.42)
The Ks are functions of temperature and composition and, to a lesser extent, pressure.
Activity coencients For nonideal liquids, Raoults law must be modified to account for the nonideality in the liquid phase. The fudge factors used are called activity coeficients.
NC
P =cxjp;r,
j=l
(2.43)
where r j is the activity coefficient for the jth component. The activity coefficient is equal to 1 if the component is ideal. The ys are functions of composition and temperature.
2.4.2.7 Chemical kinetics
In modelling of chemical reactors, we must be familiar with the basic relationships and terminology used in describing the kinetics (rate of reaction) of chemical reactions.
Arrhenius temperature dependence The effect of temperature on the specific reaction rate k is usually found to be exponential:
k = CreE/RT
(2.44)
30
where k is the specific reaction rate, a is the preexponential factor, E is the activation energy [shows the temperature dependence of the reaction rate, i.e., the bigger E is, the faster the increase in k with increasing temperature (caVgmol) is], T is the absolute temperature, and R is the perfectgas constant = 1.99 caVgmol K. This experimental temperature dependence represents one of the most severe nonlinearities in a chemical engineering system. It may be noted that the apparent temperature dependence of a reaction may not be exponential if the reaction is masstransfer limited and not chemicalrate limited. If both zones are encountered in the operation of the reactor, the mathematical model must obviously include both reactionrate and masstransfer effects.
Law of mass action Let us define an overall reaction rate 93,with the conventional notation, as the rate of change of moles of any component per volume due to the chemical reaction divided by that component's stoichiometric coefficient:
(2.45)
The stoichiometric coefficients vj are positive for products of the reaction and negative for reactants. It may be noted that CH is an intensive property and can be applied to systems of any size. For example, assume we are dealing with an irreversible reaction in which components A and B react to form components C and D .
(2.46)
(2.47)
From the law of mass action, the overall reaction rate CH will vary with temperature (since k is temperaturedependent) and with the concentrations of reactants raised to some powers:
CH = k ( T ) ( c A > a
(CB>b
(2.48)
where C is the concentration of component A and cB is the concentration of , component B. The constants a and b are not, in general, equal to the stoichiometric coefficients v, and vba The reaction is said to be firstorder in A if a = 1. It is secondorder in A if a = 2. The constants a and b can be fractional numbers.
Modelling Aspects
31
As indicated earlier, the units of the specific reaction rate k depend on the order of the reaction. This is because the overall reaction rate 3 always has the same units (moles per unit time per unit volume). For a firstorder reaction of A reacting written for component A , would have units to form B, the overall reaction rate 3, of moles of Nmin ft3.
% = kCA (2.49) If cAhas units of moles of A/ft3, k must have units of min'. If the overall reaction rate for the above system is secondorder in A ,
3 = kci
(2.50)
3 still has units of molA/min ft3 (molA denotes moles of A). Therefore k must have units of ft3/minmolA. Considering the reaction A + B + C, if the overall reaction rate is firstorder in both A and B ,
3 = kCAC, (2.51) % still has units of molA/min ft3. Therefore k must have units of ft3/min moll?.
2.5 Cybernetics
Cybernetics is a science dealing with any system capable of perceiving, storing, and processing information for the purposes of optimum control. Thus, cybernetics encompasses the concepts of a system, information, data storage and processing, system control, and system optimization. Mathematical modelling, computers, and cybernetics are interrelated. Computers are tools of cybernetics and mathematical modelling is the basic method of cybernetics.
32
Inputs
Outputs
Manipulated variables
where
Modelling Aspects
33
For velocity,
(2.54)
For acceleration,
(2.55)
(2.56)
Similarly, the velocity gradients in each system will bear a similar relationship to each other. As a consequence, streamline patterns are the same.
(2.57)
This occurs when the controlling dimensionless group on the righthand side of the defining equation is the same for the model and the prototype.
Illustration 2.1 When a hydraulic structure is built it undergoes some analysis in the design stage. Often the structures are too complex for simple mathematical analysis and a hydraulic model is built. Usually the model is smaller than the full size, but it can be larger. The real structure is known as the prototype. The model is usually built to an exact geometric scale of the prototype, but in some casesnotably the river modelthis is not possible. Measurements can be taken from the model and a suitable scaling law applied to predict the values in the prototype. To illustrate how these scaling laws can be obtained, we will use the relationship for the resistance of a body moving through a fluid. The resistance R depends on the following physical properties:
r (ML3), u (LT'), I (L), m (ML'T')
34
n, = pa1UbflC1R
n2 = p%b21c2p
For the p 1 group,
MOLOTO
(2.58) (2.59)
leading to p 1 as
n1 = pu212
(2.60)
(2.61)
(2.62)
Notice how Up2is the Reynolds number. We can call this pas. So the defining equation for resistance to motion is f(Plt P2a) = 0 (2.63) We can write R
(2.64)
This equation applies irrespective of the size of the body, i.e., it is applicable to the prototype and the geometrically similar model. Thus, for the model,
(2.65)
and for the prototype,
(2.66)
Modelling Aspects
35
(2.67)
At this point we can go no further unless we make some assumptions. One common assumption is to assume that the Reynolds number is the same for both the model and the prototype, i.e.,
Pmumlrn  PPuPl, pup Pm This assumption then allows the following equation to be written:
(2.68)
AR = ; & A
(2.70)
That the Reynolds numbers were the same was an essential assumption for this analysis. The consequence of this should be explained.
Rem = Re,
(2.71)
(2.72) Substituting this into the scaling law for resistance gives (2.73)
36
So the force on the prototype can be predicted from the measurement of the force on the model, but only if the fluid in the model is moving with the same Reynolds number as it would in the prototype. That is to say, Rp can be predicted by
(2.74) provided that
up = u m
PmPplm
P p~
m1p
(2.75)
In this case the model and prototype are dynamically similar. Formally, this occurs when the controlling dimensionless group on the righthand side of the defining equation is the same for the model and the prototype. In this case, the controlling dimensionless group is the Reynolds number.
Example 21 An underwater missile, diameter 2 m and length 10 m is tested in . a water tunnel to determine the forces acting on the real prototype. A 1120th scale model is to be used. If the maximum allowable speed of the prototype missile is 10 d s , what should be the speed of the water in the tunnel to achieve dynamic similarity?
Solution For dynamic similarity, the Reynolds number of the model and the prototype must be equal:
Rem = Re,
(F)m =(y)
P
As both the model and the prototype are in water, m, = m, and rm = rp, so
Note that this is a very high velocity. This is one reason why model tests are not always done at exactly equal Reynolds numbers. Some relaxation of the equivalence requirement is often acceptable when the Reynolds number is high. Using a wind tunnel could have been possible in this example. If this were the case, then the appropriate values of the r and m ratios need to be used in the above equation.
Modelling Aspects
37
Example 2.2 A model aeroplane is built at Moth scale and is to be tested in a wind tunnel operating at a pressure of 20 times atmospheric pressure. The aeroplane will fly at 500 km/h. At what speed should the wind tunnel operate to give dynamic similarity between the model and the prototype? If the drag measure on the model is 337.5 N, what will be the drag on the plane? Solution Earlier, we derived the equation for resistance on a body moving through air:
urn =
Ppdp P
up p p
dm ~p The value of m does not change much with pressure, so m, = mp.The equation of state for an ideal gas is p = rRT. As the temperature is same, the density of the air in the model can be obtained from as follows:
~ m PmRT  P, Pp
PpRT
P p
2OPP   p, P P
P P
1 urn = u = 1 20 v 0 1
0.5~~
38
EXERCISES
21 Classify modelling emphasizing on details of mathematical modelling. .
2.2 Discuss the principles of similarity. 23 Describe deterministic and stochastic processes. . 2.4 Discuss the various aspects involved in physical modelling. 2.5 What are the various model formulation principles? 2.6 Give a detailed account of the fundamental laws used in modelling. 2.7 Define cybernetics and discuss the controlled system by means of a neat schematic diagram. 2.8 What are the various similarity criteria? 29 Discuss physical modelling versus mathematical modelling. .
The choice of a particular type of mathematical model is determined by the specific conditions under which a given process can proceed in the processing unit of interest. Mathematical modelling is classified under three different bases: 1. Variation of various independent variables 2. State of the process 3. Type of the process A schematic diagram representing the classificationof mathematical modelling under different bases as discussed in detail below is shown in Fig. 3.1. It may be noted that a given model could be a possible combination of any of the three types of classification, namely, a static distributed parameter analytical rigid model or a dynamic lumped parameter numerical stochastic model or any other combination. Before going into the details of the classification of mathematical modelling, we need to understand the difference among independent variables, dependent variables, and parameters.
Independent variables These are quantities describing a system that can be varied by choice during a particular experiment, independent of one another. Examples include time and coordinate variables.
40
(steadystate)
(unsteadystate)
Analytical
I I Numerical I
Analytical
Numerical
Dependent variables These are the properties of a system which change when the independent variables are altered in value. There is no direct control over a dependent variable during an experiment. The relationship between independent and dependent variables is one of cause and efect; independentvariables measure the cause and dependent variables measure the eflect. Examples for dependent variables include temperature, concentration and efficiency. Parameters This is by far the largest group, consisting mainly of the characteristic properties of the apparatus and physical properties of the materials. The term parameters is used because the properties remain constant during an individual experiment, but take different constant values during different experiments. Examples include overall dimensions of the apparatus, flow rates, heattransfer coefficients, thermal conductivity,heat capacity, density, initial or boundary values of dependent variables. Illustration 3.1 Unsteadystate singlestage extraction To demonstrate the differences among independent variables, dependent variables and parameters, the following example of unsteadystate singlestage solvent
41
extraction (Fig. 3.2) is considered (this model will be discussed in detail in Chapter 4).
A[  R + m S e)] 1  exp(
R+mS
V,
+ mV2
(3.2)
*[
R + mS
(3.3)
Parametersare all fixed in value during the experiment,but can be varied between experiments for comparison purposes. 0 is the only variable whose value can be altered during an experiment. x and y vary during an experiment and between experiments;their values depend upon the choice of values for both the parameters and the independent variable. This classificationis mainly used in the interpretationof differentiationprocesses. We usuaily differentiate a dependent variable with respect to an independent variable and occasionally with respect to a parameter. By differentiating either Eq. (3.2) or Eq. (3.3)with respect to 8 , an expression giving the rate of change of concentration with time can be obtained. But differentiatingEq. (3.1) with respect to the dependent variable x gives dy/dx = m, an almost useless piece of information which does not throw any light on the behaviour of the apparatus.
42
2. Manipulated variables: Variables that directly affect the course of the process and that can be measured and changed purposefully (xi). 3. Disturbances: Variables that directly affect the course of the process but that cannot be changed purposefully (q).
43
4. Intermediate variables: Variables related to the course of the process only indirectly (xni).
XI
PROCESS
.
x2
. . . ... . . . . ..
r
,,,............. w
Yl Y? Y3 Y"
x7
*
.............,,., 9
b
.
:
.
X"
Step 3 Identification and establishing of the relationships, constraints, and boundary conditions of the process. The static model of a unit process should allow for all possible modes of operation of the typical reactor.
44
The schematic diagram representing various stages in the development of a complete mathematical model for a process is shown in Fig. 3.4.
i;
I I
Boundary conditions
L
, ,                ! AS ,
I I 1
6
Variable relationships
: i
t
As complete differential equations
Static optimization
!
I
transfer functions
Fig. 3.4 Stages in the development of a complete mathematical model for a process
45
46
basic behaviour of the prototype system and suggest further approaches in which statistical models of any complexity can be used. Residence time distribution (RTD) models are good examples of this approach.
 = A (constant)
dx 3. Boundary cools to the surroundings through a film resistance described by a heattransfer coefficient: dr k  = h(T  T o ) dx Here, k is the thermal conductivity, h is the heattransfer coefficient, and To is the temperature of the surroundings.
=
dt
47
The concept of the black box is a pivotal one in cybernetics, as it provides a useful mathematical approach to the behaviour of complex systems, i.e., to their responses to various external stimuli, without making any attempt to understand their internal structure. Many systems, especially large ones, are so complex that even with perfect information about the state of their components, it cannot practically be related to the behaviour of the system as a whole. In such cases, the matter can be greatly simplified by representing a complex system as a black box model which functions in the same manner as the system. Analysing the behaviour of the model and comparing it with that of the system, one can derive a number of conclusions as regards the properties of the system, and if the model adequately fits the prototype system, one can select a working hypothesis about the internal structure of the system. The black box principle proves extremely useful when one system has to be replaced with another functioning in a similar way. For example, in the automatic control of hazardous chemical manufacture the human operator needs to be replaced with an automatic device capable of performing the same functions. In recent times, artificial neural networks (ANNs), which also come under the category of models using the black box principle in general and the grey box principle in particular, emerged victorious with a wide range of applications in all fields of research (be it engineering, science, arts, or commerce). The following section deals with ANNs.
40
organizational principles of the central nervous system. Its ability to learn, which makes it rich in knowledge, is the most important feature of an artificial network. Neural networks have the capability of simulating nonlinear patterns. Their advantage relies on the fact that they demand less time for development than traditional mathematical models. Neural computation is an interdisciplinary field and has a significant role to play in many emerging areas of scientific researchpattern recognition, image processing, modelling, controlling, speech recognition and production, to name a few. Figure 3.5 depicts a simple structure of feedforward network architecture. The circles represent neurons arranged in three layers: input, hidden, and output. Each hidden input is connected to each input and output unit. Each hidden and output unit is also connected to a bias. The bias provides a threshold for the activation of the neuron and is essential in order to classify network input patterns into various subspaces. Each connection has a weight associated with it. For the input layer, the input value is forwarded straight to the next hidden layer. The hidden and output layers carry out two calculations: first a weighted sum of the inputs is calculated and then the output is calculated using a nondecreasing and differential transfer function. Usually a sigmoidal function is used.
LHiddenlayerl
Fig. 3.5 Structure of a simple artificial neural network
Supervised learning An input stimulus is applied to the network, which results in an output response. This is compared with the desired target response and an error signal is generated. The learning in backpropagation networks is supervised.
49
Unsupervised learning During training, the network receives different input excitations and arbitrarily organizes the patterns into categories. When a stimulus is later applied, the network indicates the class to which it belongs and an entirely new class of stimuli is generated. The learning in radial basis function networks is unsupervised. Reinforced learning In this case, the network indicates whether the output is matching with the target or nota pass or fail indication. In other words, the generated signal is binary. This kind of learning is used in applications such as fault diagnosis.
Pattern mode Weight adjustment is made after the presentation of each training example. Consider a training set having Npatterns. The first pattern is presented to the network, and the whole sequence of forward and backward computations is performed, resulting in weight adjustment. Then the second pattern is presented and weights updated and so on until the Nth pattern. Batch mode Here, weight updating is done after the presentation of one full epoch. One complete presentation of the entire training set is called an epoch. The pattern mode of training is online, requires less storage, and is less likely to be trapped in a local minimum. The batch mode, on the other hand, is more accurate. The relative effectiveness, however, is finally problemdependent. 3.7.3 Network Architecture
Multilayered feedforward networks typically consist of an input layer, one or more hidden layers, and an output layer. The input signal propagates through the network layer by layer. The principal unit of a neural network is the neuron. Consider a twolayered network. The output, hidden, and input layers are, respectively, denoted by i, j , and k. A neuron performs two functions: one is computing the weighed sum of the variables that feed it. This sum is called the activity value A . Depending on the activity value, the neuron gives a signal to the neurons of the following layer (in the simplest case, feedforward). This signal depends on the transfer function. The transformation of the activity value through the transfer function is the second function performed by the neuron. Transfer functions have to meet the condition of being differentiable functions. Tansigmoid, logsigmoid, and linear are the most common transfer functions. The number of neurons in the inner layers, called the hidden layers, and also the number of hidden layers are fixed by the designer of the network.
50
ANNs come in a variety of architectures, the most popular being the feedforward network trained by backpropagation (Rumelhart & McClelland 1986). Backpropagation is an example of a mapping network that learns an approximation to a function, y equal tof(x), from sample x , y pairs. The fact that the function to be learned is nonlinear presents no problem to a backpropagation network (BPN). Representative applications of backpropagation include speech synthesis and recognition, visual pattern recognition, analysis of sonar signals, defence applications, medical diagnosis, and learning in control systems.
+ 1) = W j ( t )+ @,x;
(3.4)
51
where Wiiis the weight from node i to nodej at time t, 77 is the gain term, and 6 is the error term for node j. If node j is an output node, then
(3.5) where dj is the desired output of nodej and yj is the actual output. If node j is an internal hidden node, then
6j = Yj(1 yj>(dj  Y j )
6 j = Xj(l  Xj)Z(6pVjk) (3.6) where k is the number of overall nodes in the layers above nodej. If a momentum term a is added, the network sometimes becomes faster and
the weight changes are smoothed by
(3.7)
Stop.
52
The second example (Illustration 3.3) discusses the modelling of pollution removal efficiency using an ANN (Babu & Ramakrishna 2001; Babu et al. 2002). The mathematical description of microorganism cultures is a complex task that involves huge costs in development and computing. In most cases, the mathematical expressions describing these processes, as functions of certain reduced variables, are not known. Even if these variables are available, these often involve a great number of parameters that have to be fitted using nonlinear optimization techniques. The use of neural networks for simulation of one such process has been dealt with in the third example (Illustration 3.4). Aqueous twophase systems (ATPSs) are generally applied in separation and purification of macromolecules, particles, and biological materials, which are fragile and prone to get denatured. A neural network has been created to simulate this liquidliquid equilibrium process and give the raffinateextract concentrations for different feed values as its final output in the fourth example (Illustration 3.5).
Illustration 3.2 Fault diagnosis Babu and Shailesh (2000) used neural networks to do incipient fault diagnosis for unsteadystate processes in which faults occur (Fig. 3.6).
Tho, 0C
CSTR:A
B (Exothermic reaction)
system
53
Illustration 3.4 Zymomonas mobilis CP4 batch fermentations Zymomonas mobilis is a gramnegative bacterium used for the fermentation of
lignocellulosic hydrolyzates. These include substrates such as glucose, sucrose, and fructose. Fermentation of glucosefructose mixtures leads to the formation of ethanol and biomasses such as sorbitol. The operational conditions include aeration, feed rate, and substrate conditions among others. These need to be monitored closely in order to enhance the system productivity. Using Zymomonas mobilis CP4, continuous fermentation of sucrose leads to the formation of biomass and ethanol when the culture reaches steady state. In the fermentation problem considered, high productivity of ethanol is preferred and Zymomonas mobilis is used for the same. Zymomonas mobilis has several attributes that make it advantageous for fermentation of lignocellulosic hydrolyzates: 1. High glucose uptake 2. High productivity 3. Low biomass yield 4. High product (ethanol) yield 5. High ethanol tolerance 6 . No addition of 0, required 7. Amenable to genetic manipulations The major disadvantage of Zymomonas mobilis is that it can work with a very limited substrate range (only sucrose, glucose, and fructose). The fermentation problem involves a high degree of complexity. Instead of trying to understand the physics of the system in order to predict the concentrations at the next stage of fermentation, we use ANNs to simulate the main state variables in fermentation processes (biomass, substrate, and product concentrations) as functions of the progress of the process.
54
Several input variables are considered. These are biomass concentration (xi), substrate concentration (Si), ethanol concentration (Ei) (these are given at the present time), the present time (ti), initial substrate concentrations (So), temperature (T), and the time interval (At = ti+l ti) at the end of which the state of the system is desired to be predicted. The output variables (next stage) are: biomass concentration (xi 1), substrate concentration (Si 1), and ethanol concentration (El 1) at the end of the given time interval.
+ +
p Y l
Y //
I I
(Seven variables)
y
I
Fig. 3 7 Schematic diagram of the black box neural network used to predict the next . state of Zymomonas mobilis CP4 batch fermentations, given the present state and the operational conditions of the process
The schematic diagram of the ANN used is shown in Fig. 3.7. The configuration of the neural network considered has one hidden layer with neurons having the tansigmoid transfer function and an outer layer of three neurons having the logsigmoid transfer function. A neuron with a tansigmoid transfer function outputs values in the interval (1, l), as its input goes from a to + a .In our case, the values of the net outputs have to be positive, as these are concentrations, and this is why neurons with logsigmoid transfer functions are used in the outer layer.
55
Illustration 3.5 Modelling of phase equilibria Liquid extraction, sometimes called solvent extraction, is the separation of the constituents of a liquid solution by contact with another insoluble liquid. If the substances constituting the original solution distribute themselves differently between two liquid phases, a certain degree of separation will result and this can be enhanced by the use of multiple contacts. The solution that is to be extracted is called thefeed and the liquid with which the feed is contacted is called the solvent. The component to be extracted is called the solute and the other component in the feed is known as the diluent. The solventrich product of the operation is called the extract and the residual liquid from which the solute has been removed is the raftinate. The present case involves the extraction of polyethylene glycol (PEG) from a liquid solution of PEG and potassium phosphate using water as a solvent, PEG is the solute while potassium phosphate is the diluent.
3.7.6.1 Thermodynamic models Because of the inherent complexity and cross interaction features of ATPSs, it is difficult to derive an equilibrium function just involving simple independent variables with precise definition. Many models have been developed to describe the mechanism of phase separation, but that based on statistical thermodynamics is the most effective mathematical model. However, the thermodynamic model has certain disadvantages as well:
A set of parameters measured from a system is valid exclusively for it. The adapted parameters measured from other systems lead to a poor agreement with experimental data. There must be a huge database for numerous systems of interest. The parameters need to be measured using special equipment, which is not always available. Keeping in mind the complexity of this system, a neural network was thus chosen to establish a designoriented model suitable for a variety of applications for arbitrary systems with minimum number of input parameters.
3.7.6.2 Neural network model
A number of basic structures were first considered. These are Four outputs all in one networkall class one network (ACON) Four outputs divided into two subnetworkspartial ACON Four outputs divided into four subnetworksone class one network (OCON) Previously carried out experiments indicate that through specifically divided subnetworks, the system errors encountered in the learning process diminished.
56
The fewer outputs the network had, the smaller the total deviation the subnetworks created. The major disadvantage of OCON is that the network took a longer time in the learning process than with ACON. However, since there appeared to be no significant difference between the outputs, and because of reduced error, OCON is selected as the fundamental structure.
3.7.6.3 Input and output parameters Three input parameters were chosen: rn Total weight proportion of PEG (polymer) in the phase system rn Total weight proportion of potassium phosphate (salt) in the phase system rn Normalized PEG molecular weight
Because the molecular weight (MW) of PEG commonly applied for an ATPS is below 50,000, the normalized parameter is expressed by the following equation:
PMW
= 10g(MW/lOO)/l0g(500) (MW<50,000)
Alternatively, if the highest (Id)and lowest ( L )molecular weights of PEG applicable for an ATPS are known, the normalized molecular weight parameter corresponding to the desired molecular weight (W) can be calculated as PMW (W  L)/(H  L ) = Four output parameters which completely predict the equilibrium phase diagram for the PEG/potassium phosphate/water system were selected: rn Mass fraction of PEG in the top phase rn Mass fraction of potassium phosphate in the top phase rn Mass fraction of PEG in the bottom phase rn Mass fraction of potassium phosphate in the bottom phase
3.7.6.4 Design and training of the ANN
A feedforward neural network based on the backpropagation algorithm was designed. Consulting earlier work (Lee et al. 1966), it was observed that when the OCON model with two hidden layers was employed, the network converged very rapidly and the system error dipped lower than that in the model with one hidden layer. When the smallest error was reached during the learning process, the number of neurons in the hidden layers were referred to as the most suitable structure. The required data points for training and testing the network were obtained from experimental results (Lei et al. 1990). Phase diagrams at 4 "C and pH 7 for the PEG/potassium phosphate/water system, using PEG of molecular weight 400, 600, 1000, 1500, and 20,000 were obtained. All the graphs were enlarged so that the data points could be read clearly. Tie lines were drawn for each graph at different feed concentrations, and the points corresponding to the ends of the tie line were read as the raffinate, extract salt, and polymer concentrations, respectively.
57
A total of 60 data points were used for training the network and 12 were used for testing. The error percentage values indicate that the maximum error (44.13%) occurs while predicting the polymer concentration values in the bottom phase (raffinate). The PEG concentration in the bottom phase revealing a greater deviation from simulated equilibrium data might be attributed to the intrinsic error of the original experimental data. Since the PEG concentrations in the bottom phase were very low, down to about 3%0.5% w/w, a slight error occurring in the weighing procedure, while conducting the experiment, could have a significant effect on the measured values.
Conclusion The network designed acts as a statistical and designoriented model for an ATPS, giving promising predictability with minimum number of measured parameters. Training the network further with more data points can make the framework of the network an excellent designoriented model, capable of predicting phase diagrams for a vast range of polymer molecular weights.
EXERCISES
3.1 Classify mathematical modelling in the form of a tree structure, and elaborate the various terms involved. 3.2 Describe various stages in the development of a complete mathematical model for a process using a neat flow diagram. 3.3 What is the black box principle? 3.4 Develop a computer code in C or C++ for artificial neural networks using the backpropagation algorithm. 3.5 Schematically represent the structure of a simple artificial neural network and explain the terms involved. 3.6 Explain how an ANN can be applied for process fault diagnosis. 3.7 What are the various promising areas of application of ANNs, especially in chemical engineering? 3.8 Distinguish among independent variables, dependent variables, and parameters with suitable examples. 3.9 Distinguish between boundary conditions and initial conditions with suitable examples. 3.10 Discuss the backpropagation network (BPN) versus radial basis function network (RBFN) ANNs. in
PART II
IN
THIS PART we
CHAPTERS 4. Models in Masstransfer Operations 5 . Models in Heattransfer Operations 6. Models in Fluidflow Operations 7 . Models in Reaction Engineering
CHAPTER 4
MODELS IN MASSTRANSFER OPERATIONS
In this chapter, various models for systems in masstransfer operations (steadystate singlestage solvent extraction, steadystate twostage countercurrent solvent extraction, steadystate twostage crosscurrent solvent extraction, unsteadystate singlestage solvent extraction, unsteadystate mass transfer in a stirred tank, unsteadystate mass transfer in a mixing tank, unsteadystate mass transfer, steadystate multistage countercurrent solvent extraction, multistage gas absorption, multistage distillation) are discussed. A generalized approach is developed for formulating the models. The models are chosen in such a way that various mathematical techniques for solutions of the proposed models are covered. Some models are simple algebraic equations, a few of them are ordinary differential equations, some are finite difference equations, and in some models Laplace transformations are applied for solution.
62
Toluene
Water Mixer
aToluene + BA (organic layer) Settler (B) Idealized singlestage solvent extraction system (Raffhate) R m3/s of toluene x kg/m of BA
Step 2 The second step is to see if there is a possibility of simplifying the schematic representation of the system under consideration. The above system can be idealized and simplified as follows by combining two stages into a single stage (Fig. 4.2), as we know that Input  output + generation  depletion = accumulation
c kg/m BA
s m/s water
y kg/m3 BA
s m3/swater
0 kg/m3of BA
(extract)
Fig. 4.2 idealized system
The various streams have been labelled and two material balances have already been used: (a) Conservation of toluene and (b) conservation of water. These flow rates have been expressed on a solutefree basis to simplify the analysis. The concentration of BA in each stream has also been stated and this completes the mathematical model.
Step 3 The third step is to make reasonable assumptions, and also justifying the assumptions made with reference to retaining accuracy. So far, it has been assumed that (1) all flow rates are steady and (2) toluene and water are immiscible (basic criterion for choosing a solvent). Further, it is assumed that (3) the feed concentration c remains constant. Now, have a look at the number of unknowns and the number of equations we can formulate with the known information so far. In fact, we have two unknowns
63
( x and y ) and one equation to be formulated based on the mass balance on benzoic acid [Eq. (4.2)]. That means we still need another equation to get the solution. Obviously, in the present problem, we are looking for another equation relating the two unknowns x and y . This being a model based on mass transfer, an equilibrium relation may do the job for us.
Step 4 Look for additional assumptions to be made in order to balance the number of unknowns and the number of equations required. For the present problem, we need to make another assumption that (4) the mixer is so efficient that the two streams leaving a stage are always in equilibrium with one another. This last fact can be expressed mathematically by the following expression: y=mX (4.1) where, m is distribution coefficient. The model equation is now derived by writing a mass balance for BA (component balance):
Input of BA = Rc (kg/s) Output of BA = Rx + Sy (kg/s) As the system is in steady state, i.e., BA must leave at the same rate as it enters,
Rc=Rx+Sy (4.2) Equations (4.1) and (4.2) contain four known quantities (R, S, c, m ) and two unknown quantities (x, y ) and can be solved for the unknowns as follows: Rc = Rx + mSx (4.3)
+ Rc = ( R + mS)x
Rc : x = R+mS .
~
(4.4) (4.5)
y =  mRc R + mS
Step 5 Always express all the quantities (both known and unknown, or a combination of both) in terms of dimensionless groups which explain the physics of the system. Therefore, the fraction of BA extracted is
j=
S Y
($)+1
(4.7)
64
At this stage it can be seen that even in this simple problem, two dimensionless groups which are characteristic of the problem have arisen quite naturally as a result of the investigation: the ratio of the feed to the solvent flow rate at equilibrium,
E= 1 a+l and multiplying both numerator and denominator by (a l), we get E= a  1
a21
Step 6 The final result should be expressed in a generalized form as far as possible, so that the method of induction principles can be applied for a cascade of stages. This means the fraction extracted is governed solely by the value of the dimensionless group a (the ratio of rates of feed to the solvent at equilibrium).
Example 4.1 Compute the fraction of solute that could be extracted in a singlestage solvent extraction using the numerical values of S = 12R, m = 118, and c = 0.1 kg/m3. Solution IfS =12R, m = 1/8, and c = 0.1,
x=
Rc
0.1R R( 1 +
mS
1 8
f)
= 0.04
.*.
y = m~ =  x 0.04 = 0.005
and
E =  Sy = Rc
or
65
Stage
Stage
t
Solution In accordance with chemical engineering practices, the suffix denotes the stage from which the stream is leaving. The following assumptions are made again: (i) The feed concentration c remains constant. (ii) The mixer is so efficient that the two streams leaving a stage are always in equilibrium with each other. The equation y = w: is still valid for each stage separately, giving
Y 1 = w:,
Y2 = m 2
(4.8)
(4.9)
where m is the distribution coefficient. It is constant for the given system. A BA mass balance is now taken for each stage:
66
Stage 2
RXl
k,+ SY,
Since the operation is carried out in steady state, the BA must enter and leave a stage at the same rate, i.e., Stage 1: Re + Sy, = Rx,
+ Sy,
(4.10)
(4.11) Stage 2: Rx, = Rx, + Sy, To get an expression for y , in terms of known quantities, substitute x1 and y , from Eqs (4.8) and (4.9) in Eqs (4.10) and (4.11). Equation (4.10) becomes
(4.12) (4.13)
 ( R + mS) Y1
(4.14)
(4.15) R Since x2 is unknown, it is to be expressed in terms of known quantities. Substituting y1 from Eq. (4.15) in Eq. (4.13), we get
Rc + mSx, =
+ mRS + m 2 S 2 )
(4.16)
R2c ,+ m R S + m 2 S 2 R
1 
(4.17)
SYl  
Re
(4.18)
67
Multiplying and dividing the righthand side (rhs) of Eq. (4.18) by m2S2, we get
SYl 
Rc
(4.19)
a + l a2+a+1
(4.20)
Multiplying and dividing the rhs of the above equation by (a 1) , we get
E=
a2 1 a3 1
aN1
(4.2 1)
Example 4.2 Compute the fraction of solute that can be extracted in a twostage countercurrent solvent extraction using the same numerical values of S = 12R, m = 1/8, and c = 0.1 kg/m3, which were used for singlestage extraction, and compare the results. Solution
x2= R2c 2 R +mRS+m2S2
R2 (0.1) R2 + 'R(12R) 8
+ '(144R2) 64
'(
= 0.02105
and
mRc(R + mS) y1 = R2 + mRS + m2S2
68
R a=
=
0.66667
(i)12R
' E = a
Therefore, E = fraction extracted = 0.789= 78.9%. A greater degree of extraction has thus been obtained with two stages (78.9%) than with one stage (60%), everything else being the same.
Example 4 3 160 cm3/s of a solvent S is used to treat 400 cm3/s of a 10% by . weight solution ofA in B, where A is being extracted from B in a twostage countercurrent liquidliquid extractioncolumn. What is the compositionof the final &mate and the fraction extracted if m (distribution coefficient) = 3 and the densities of A , B, and S are 1200,1000,and 800 kg/m3, respectively? Solution S = 160 cm3/s = 1 6 x lo4 m3/s . Mass flow of S = 1.6 x 1 " x 800 = 0.128kg/s 0 Considering the solution, 400 cm3/s = 4 x 104 m 3/s. Considering a m3/s of A and (4x lo4  U) m3/s of B, Mass flow of A = 1200a kg/s 0 Mass flow of B = (4x 1 "  a ) x 1000 kg/s = (0.4 1000a)kg/s Total mass flow = (0.4 + 200a) kg/s
Concentration of the solution = 01 = .
1200a 0 4 + 200a .
a = 3.39 x 10~ m3/s Mass flow of A = 0.041 kg/s Mass flow of B = 0.366 kg/s
.: .:
Now,
R (volumetric flow rate of B) = 4 x 10"  3.39 x 10~ = 3.661 x 1 4 m3/s 0 c (kg of A/m3 of B ) = (kg/s of A)/(m3/sof B )
c = 0.04V3.661 x
lo4
= 112.02kg/m3
69
+ m2S2)
:.
and
x2 = 27.795 kg/m3
.*.E
= 0.7538
Stage 1
Stage 2
s, 0
s, 0
Solution The following assumptions are made: 1. Toluene and water are immiscible. 2. We are considering a pure solvent. 3. The mixer is so efficient that the leaving streams are always in equilibrium. 4. The concentration of BA in the feed is constant. 5. The solvent flow rate is the same in both stages. 6. All the quantities are expressed on a solutefree basis. 7. The composition of a stream leaving a stage is the same as that in the stage.
70
RX,+O SY, + 4
+ Rx,
+ Rx,
(4.22) (4.23)
Since there are four unknowns ( x l ,yl, x2, y2) and only two equations, therefore two more equations are required and these are the equilibrium relations given by Y 1 = m, (4.24) (4.25) The objective in this problem is to find the total fraction of BA that can be extracted by the crosscurrent mode of extraction operation under steadystate conditions. The fraction of BA extracted,
Y2
=m
Hence, we have to obtain the expressions for y1and y, in terms of known quantities by eliminating x1 and x2. So, from Eq. (4.24), we have
(4.26)
(4.27)
Therefore,
x1 = 
Re R+mS
(4.28)
(4.29)
71
Substituting x1 and x2 from Eqs (4.26) and (4.29) in Eq. (4.23), we get
R + s y , = [)Y2 + m S
mR2c y2 = ( R + mSI2
*E=
Rc
On multiplying and dividing both the terms in the parentheses by mS, we get
We know that
=a
R mS
*E =
*E=
[
1 1+ a+l a+l
+1 (a+ I)*
2a
Example 4.4 Compute the fraction of solute that can be extracted in a twostage crosscurrent solvent extraction using the same numerical values of S = 6R, m = 1/8, and c = 0.1 kg/m3, which were used for singlestage extraction, and compare the results. Solution If S = 6R (since 2s here = S in countercurrent), m = 1/8, c = 0.1 kg/m3,
R R
=  = 1.3333
8 6
mRc
mR2c ( R + m+!7)2] Re
( =)(
mRc
=)
72
*E=
E =  = 0.789 = 78.9%
Note As expected and as can be seen from the above comparison, with the same
conditions the fraction of solute extracted in the countercurrent operation is higher than that in the crosscurrent operation. This is attributed to the fact that the driving force available at any stage is higher in the case of the countercurrent mode of operation, as no extract is taken out from any intermediate stage. However, in the crosscurrent operation, the extract is taken out from each of the stages and so the driving force is comparatively less in any given stage.
[: I
Exercise 4.1 How do you compare the cocurrent operation with countercurrent and crosscurrent operations? Example 4.5 160 cm3/s of a solvent S is used to treat 400 cm3/s of a 10%by weight solution of A in B, where A is being extracted from B in a twostage countercurrent liquidliquid extraction column. The distribution coefficient m = 3 and the densities ofA, B, and S are 1200,1000,and 800 kg/m3,respectively.All the quantities are expressed on a solutefree basis. (a) What is the composition of the raffinate leaving from stage 1 and stage 2? (b) What is the final fraction extracted? Solution S = 160 cm3/s = 1.6 x 104 m3/s Mass flow of S = 1.6 x 1W x 800 = 0.128 kg/s Considering the solution, 400 cm3/s= 4 x lo4 m3/s.Considering a m3/s of A and (4 x lo4  a) m3/sof B, Mass flow of A = 1200a kg/s Mass flow of B = (4 x lo4  a ) x lo00 kg/s = (0.4  1 O a kg/s O O) Total mass flow = (0.4 + 200a) kg/s
Concentration of the solution = 0.1 =
: . : .
73
Now,
RC
(R+ mS)
R2C
( R + mSl2
= 20.9,692 kg/m3
and
E= 2 a + l
(a+ 1)2
where a = WmS = 0.762 .*.E = 0.806 Therefore the fractional recovery is 80.6%.
Note Compare Examples 4.4 and 4.5 on twostage steadystate countercurrent and crosscurrent extraction. For the same numerical data, the fractional recovery obtained in countercurrent and crosscurrent operations is 78.9% and 80.6% respectively. We expect the fractional recovery to be more in the countercurrent operation than in the crosscurrent operation. Can you find out what is the reason of this contradictory result? The clue is, have a close look at the data given for S.
74
Illustration 4.4 The singlestage steadystate example is reconsidered as follows: 1. Assume that the singlestage contains Vl m3 of toluene, V, m3 of water, and no benzoic acid (solutefree basis). 2. Assume, as before, that the mixer is so efficient that the compositions of the two liquid streams are in equilibrium at all times. 3. Assume that a stream leaving the stage is of the same composition at that phase in the stage. 4. c is constant in feed. This is illustrated in Fig. 4.5, which shows the state of the system at a general time 8 , where x and y are now functions of time.
R m3/s
c kg/m
Sm3/s
Y kg/m3
I
v,, x
vz,x
1
R m3/s xkg/m3
s m3/s 0 kg/m3
Since the flow rates of water and toluene are constant (solutefree basis), V , and V , will remain constant (solutefree basis). The system being in unsteady state, the conditions are always changing, and so the material balance must be applied during a small time increment 68. Using Taylors theorem, a function of 8 can be expanded, and this allows the state of the system at a time 0 + 68 to be expressed in terms of its state at time 0 . In this case it is helpful to draw up a table (see Table 4.1). Mass balance for BA during a time interval 68: Input of BA = Rc&? kg, output of BA = average of Rr + Sy at 8 and 6 + 68. (The difference is not taken because the amount is varying with time. So the average has to be taken.) Therefore,
and
dx Accumulation = V, 88 dB
Since,
dY + V, 68 d6
75
(y 2+
 Rx
v d0 9 0 2
y+60
+RcR~+60
[ :de ]  S[
d0 d0
dx =V,+V2 dY d0 d0
dx dY  Sy = V,  + V2
(4.30)
Table 4.1 The system condition before and after a time increment
Property of the system 1. 2. 3. Flow rate of toluene phase Flow rate of water phase Volume of toluene phase in stage Volume of water phase in stage Concentration of BA in entrance toluene Concentration of BA in exit toluene Concentration of BA in water (extract) Amount of BA in the toluene layer
X
e+&
4.
5.
6.
7.
x + dxe de
8.
V,X
v,x
dx + v,  6e de
9.
v*y
V2Y
+ v 2
dY  66
de
In stating the output, the arithmetic mean of the concentrations was taken, but the later calculations show that this is not necessary; the same Eq. (4.30) would have been obtained by using the concentrations at time 0 instead. Only the first two terms of Taylors series were taken for x and y , and these are all that are necessary since further terms which contain a factor (60)*will disappear when the limit 68 + 0 is taken, i.e., d0 2 do2 Equation (4.30)must now be solved in conjunction with the equilibrium relationship y=mX (4.31) x dx 1 d2x +  60 + (60)2
*.
76
Eliminating y from Eq. (4.30) using Eq. (4.31), we get dx dx Rc  R x  S~.X= VI + m v 2 d8 d8 Rearranging,
(4.32)
dx
Rc  (R + mS)x On integrating,
V,
do
+ mV2
(4.33)
+ mV,
+A
(4.34)
The constant of integrationA can be evaluated by using the given initial state of the system that the stage contains no BA initially, i.e., (4.35) Initial condition (IC): when 8 = 0, x = 0 . From Eqs (4.34) and (4.33, ln(Rc) =A R + mS Therefore, ln(Rc)  ln[Rc  (R + mS)x] = (R + mS)8 (V, + my,)
(4.36)
(4.37)
or in exponential form,
*1
+ mS x = exp[RC
( R + mS)8 V, mV2
77
R R
+ mS
+ mS
(4.38)
1. This equation satisfies the boundary condition (BC), i.e., x = 0 at 8 = 0 (since e" = l/eo = 1). 2. It satisfies the differential equation [model Eq. (4.30)] for any positive value of 8 , (find &/do ). 3. And when 8 j ,
Rc (4.39) R+mS When 8 + 00, the system reaches steady state, and hence this should be converted back to the steadystate model equation, which has already been obtained, as shown by Eq. (4.39). Therefore, for steady state,
*X=
x=
Rc R +mS R + mS V, +mV,
+ mS
(4.40)
*E=
a+ll
Here, 8 is the independent variable, x and y are the dependent variables (static variables), and m, R , S, c, V,, and V, are parameters.
Example 4.6 160 cm3/s of a solvent S is used to treat 400 cm3/s of a 10% by weight solution of A in B, where A is being extracted from B under unsteadystate conditions in a single stage using the countercurrent mode of operation in a liquidliquid extraction column. The volume of B(V,) is 100 dm3 and the volume of solvent (V,) is 75 dm3. The distribution coefficient m = 3 and the densities of A, B, and S are 1200, 1000, and 800 kg/m3, respectively. All the quantities are expressed on a
78
solutefree basis. (a) What is the composition of the final raffinate and fraction extracted after 1 min? (b) If 50% of A is to be extracted then what is the time required if V , and V, are same. Solution S = 160 cm3/s = 1.6 x 10 4m3 /s Mass flow of S = 1.6 x lo4 x 800 = 0.128 kg/s Considering the solution, 400 cm3/s= 4 x lo4 m3/s. Considering a m3/s of A and (4 x lo4  a) m3/sof B, Mass flow of A = 1200a kg/s Mass flow of B = (4 x lo4  a) x 1000 kg/s = (0.4  1000a) kg/s Total mass flow = (0.4 + 200a) kg/s Concentration of the solution is = 0.1 = a = 3.39 x 10 m3/s Mass flow of A = 0.041 kg/s Mass flow of B = 0.366 kg/s Now,
R (volumetric flow rate of B ) = 4 x lo4  3.39 x lo = 3.661 x 1W m3/s c (kg of A/m3 of B ) = (kg/s of A)/(m3/sof B ) c = 0.041/3.661 x lo4 = 112.02 kg/m3
.: : .
: .
and
x = 40.904 kg/m3
)j
a = = 0.76271
(b) If 50% of A is to be extracted, E = 0.5. Substitutingthe values of E, a , V,, V,, m, and S in Eq. (l),we get 8 = time required for 50% extraction = 819 s = 13.65 min
79
I1
II
5.55 x lo4 m3/s
The system properties at time 8 and at incremental time B + 88 are tabulated and shown in Table 4.2.
Table 4.2 The system condition before and after a time increment
Property 1. 2.
3.
At
At
e + se
Rate of brine input (m3/s) Rate of brine output (m3/s) Input salt concentration (kg/m3) Volume of brine in tank (m3) Salt concentration in output stream (kg/m3)
4. 5.
V
X
dV v + dm e
x
dx + 6e de
x
6.
vx
(v +$ss)(
+ $Je)
In a small interval 68, accumulation of brine in the tank = dV/d8 88 Volume balance: Input  output = accumulation
80
(4.41)
= 2.78 X lo4 (4.42) de On integrating, we get V = 2.78 x lo4 + C,, where C, is a constant. By applying we the boundary condition that at 8 = 0, V = 20 m3, get C, = 20. Therefore, (4.43) v = 2.78 x lo4 e + 20 Mass balance for salt in time interval of 68 : Input  output = accumulation (i.e., the difference of amount at 8 + 68 and 0 )
= ( v + %6e)( x
+ $m)  v x
 5.55 x 104x
= V
+ dV X de de
dx
(4.44)
Substituting V and dV/de from Eqs (4.42) and (4.43), respectively, in Eq. (4.44), we get 16.66 x lo4  5.55 x 104x
d0 The variables are separable, hence dx
= (2.78 x lo4
(4.45)
16.66 x lo4
io4e + 20
(4.46)
(4.47) Boundary condition 1: At 8 = 0, x = 0 (pure water) We have to find out the value of x when the volume of brine in the tank = 30 m3, i.e., 8 = ? when V = 30 m3. From Eq. (4.43), v = 2.78 x 104 e + 20
j
+e=
81
Boundary condition 2: At 8 = 35,972s, x = x kg/m3 (4.48) Integrating Eq. (4.46) using the suitable limits from Eqs (4.47) and (4.48), we get
[
8.33 x lo4
ln(16.66 x lo4
 8.33 x lo4
x)
= 2.78 x lo4
* 8.33 x1 lo4

2.78 x lo4
1 *   ln(1  0 . 5 ~= In ) 3
(1  O . ~ X )  ~= 1.5
* 1 0 . 5 ~ =
3x
(A)
3
= 0.2963
= 1.4074 kg/m3
Therefore the concentration of salt when the tank contains 30 m3 of water (after 35,972 s) = 1.4074 kg/m3.For 40 m3 of brine,
e=
20
2.78 x lo4
= 7 1,944s
40 * (1  O . ~ X )  ~ = 2 20
* X =
Therefore,
x = 1.75 kg/m3
82
Q m/s Y (t) k d d
Since the holdup volume is fixed, and the solution density is constant, the inflow rate must be equal to the outflow rate (i.e., Qin= Q,,,). Mass Balance: Inflow rate of salt  outflow rate of salt = rate of accumulation of salt in tank
(4.49)
Qx,  QY, = 0 Subtracting Eq.(4.50) from Eq. (4.49), get we
(4.50)
(4.5 1)
Introducing the deviation variables X = x  x s , Y = y  y s , and dyldt = dY/dt, we have
dY QX  QY = V dt XY=(E)$
(4.52) (4.53)
83
Putting
z = V/Q
(4.54) It is clear from the above transfer function that the mixing process is also a firstorder process. For sinusoidal input change [i.e., X ( r ) = x  x, = Asinwt],
A@ X(s)= s2
+ w2
(4.55)
whereA is the amplitude of variation, w is the radian frequency in rads. Eliminating X ( s ) from Eq. (4.54) using Eq. (4.55), we get
Y (s) =
(4.56)
This equation can be solved for Y(t)by means of partial fraction expansion, which gives
A Awz e  t / r sinwt (4.57) coswt + (z2w2+ 1) (z2w2+ 1) (z202 1) + Equation (4.57) can be written in another form by using the trigonometric identity, (4.58) pcosA + qsinA = rsin(A + 6)
Y (r) =
where r = d p 2 + q2 and tan8 = p/q. Applying the identity to Eq. (4.57), we get (4.59) As where @ = tan' (ox). t + 00, the first term on the rhs of Eq. (4.59) vanishes and leaves only the ultimate periodic solution, which is sometimes called the steadystate solution. (4.60) We know that the input X ( t ) = A sin wr (4.61) Comparing Eq. (4.61) for the input forcing function with Eq. (4.60) for the ultimate periodic response, we see that
1. The output is a sine wave with frequency 0 equal to that of the input
signal.
84
This is always smaller than 1. We often state this by saying that the signal is attenuated. 3. The output lags behind the input by an angle @ . It is clear that lag occurs, for the sign of 4 , the phase angle, is always negative.
I I
If the input peak occurs before the output peak, then @ < 0, i.e., phase lag. If the output peak occurs before the input peak, then @ > 0, i.e., phase lead.
Example 4.8 Consider an unsteadystate mass transfer in a mixing tank. The inlet stream is subjected to a sinusoidal input with an amplitude of 0.015 m3/min about a mean flow rate of 0.3 m3/min. The time constant for the flow process is taken to be 0.2 min. The frequency of the input sine wave is 4 cycles/min. Describe the output response, giving its frequency, amplitude, and by how many minutes it lags or leads the input response? Solution Input:f = cycle frequency of the input = 4 cycles/min, w = radian frequency = 2nf = 25.1 radmin, and x( t ) = A sin(wt) = 0.015 sin(25.lt). Here w = 25.1 radmin, z = 0.2 min, and A = 0.015. output:
Y ( t )=
A [sin(wt + cp)] (1 + w2z2)0,5
1. The frequency of the output signal is same as that of the input signal. 2. Output amplitude = A/(1 + w222)0.5 0.003 and input amplitude = 0.015. =
Therefore the ratio of the output amplitude to the input amplitude is 0.2. This ratio is less than 1. Hence the signal is attenuated. 3. The output lags the input by a phase of 78.7'. Input frequency = 4 cycle/ min. Therefore the period per cycle = period of 360' = 1/4 min. Hence time for 78.7' = 0.055 min. Hence the output has an amplitude of 0.003, a frequency of 25.1 radmin, and lags behind the input by 0.055 min.
Exercise 4.2 Consider an unsteadystate mass transfer in a mixing tank. The inlet stream is subjected to a sinusoidal input with an amplitude of 0.015 m3/min about a mean flow rate of 0.3 m3/min. The time constant for the flow process is taken to be 0.5 min. Find the frequency of the input sine in cycles/min. The output lags behind the input by 80'. Determine the number of minutes by which it lags or leads the input response.
85
(4.63) N + N, = N A The movement of A is made up of two parts, namely, (1) that resulting from the bulk motion N and the fraction xAof N, which is A, and (2) that resulting from diffusion JA: (4.64) N = NxA + J A A since, by definition,
i.e., the flux of A relative to the average molar velocity of all constituents. Here, W, = moles of A , W, + WE= total number of moles of A and B. Consider the volume element of a fluid shown in Fig. 4.8,where a fluid is flowing through the element. We shall need a material balance for a component of the fluid applicable to a differential fluid volume of this type.
86
Y
Fig. 4.8 Fluid volume element
The massflow rate of componentA into the three faces with a common comer at E is (4.65) M ( ( N A , x )x A Y h + ( N A , y ) y Ax& + ( N A , z )z hxAY) A where N,, signifies xdirected flux and (N,, ,>, signifies its value at location x. Similarly, the massflow rate out of the three faces with a common comer at G is M A ( ( N ~ , x ) x + b + ( N A , ~ ) ~ + A + ( N A , ~ ) ~ + ~ (4.66) AYAz AX& ~ Ax&') The total component A in the element = (Ax Ay Az) p A and its rate of accumulation = (k &) ,+,/a. If, in addition, A is generated by a chemical reaction at the AY z rate RA mol/(volume)(time), its production rate is MARAAx Ay A massltime. Since, in general, Rate in  rate out = rate of accumulation  rate of generation 3 Rate out  rate in + rate of accumulation = rate of generation Then,
M A { [ ( N A , ~ ) x N A , ~ ) ~ I A Y A Z [ ( N A , ~ ) ~ +N A ~y ) y l b k (+& ( A,
dP*
(4.67)
Dividing by Ax Ay Az , and taking the limit as the three distances become zero gives
87
From Eq. (4.64), the counterpart of Eq. (4.64) in terms of masses and in the xdirection is MANA,x = M A N X A+ M A J A , ~
* M A N A ,= Yx P A + M A ~
PUX
(4.69)
* ux
PB
(4.70)
d2CA
dX2
++I+d2cA
dy2
d2CA
dz2
'PA =MARA dt
(4.72)
which is the equation of continuity for substance A. For a solution of constant density, u d u x Y d uZ = dO + + ax ay dz Dividing Eq. (4.72) by MA and substituting p A / M A = cA, we get (4.73)
(4.74) In the special case where the velocity equals zero and there is no chemical reaction, Eq. (4.74) reduces to Fick's second law of difision: i.e., u x = uY = u Z = O and R,=O
00
Illustration 4.6 The diffusion equation derived in the previous section can be extended for cylindrical coordinates. The diffusion equation for cylindrical coordinates can be obtained by doing an energy balance over a differential element, a procedure similar to that derived in the previous section.
x=rcos$
y = r sin$
z=z
$ = tan(y/x)
Using the chain rule we can carry out the partial differentiation of c with respect to rand $ as
or
d c ~ cos $ = cos2+% dr dX
+ sin4 cos4d C A
dY
(3)
Similarly,
89
d2 C A cos$dX
dr
cos$
dcA
sin$dcA  sin$dcA
sin $ d cA or
dcA dr
dX2
dr
sin2 ++ 0 d c A r
dr
sin2 $ d 2 cA r2
+[
C O S sin$ ~
r2
1
dcA d$
(9)
Similarly,
C O S ~ sin4
r2
r2
dcA d$
or
We know that for Cartesian coordinates, Ficks second law of diffusion is given by
If there is no chemical reaction and diffusivity is constant, then by substituting Eq. (12) in Eq. (13)
90
(14)
This is the final expression for Fick's second law of diffusion in cy coordinates.
rical
+ Syp
91
Yp+I
A A"
YN 1
N1
(4.76) (4.77)
The equilibrium equation 0,= mx) is still valid for any value of p .
*Yp
=mxp
Rx,,+ mSx,,,
( R + mS)x,
(4.78)
92
xp1 mS
+ Xp+l
(2
+ + ax,,,
+ l)x,
(4.79)
* ax,, +
XP+,
XP+,
= (a 1)x, =0
(4.80)
Writing Eq. (4.80) in standard form, (4.81) This is a secondorder linear finite difference equation. Putting Eq. (4.81) in the operational form and factorizing gives
[ E 2  (1 + a ) E + a ] x , = ( E + 1)(E  a ) x , = 0
 (a+ l ) x ,
+K2aP
+ K 2 a 0 = K , + K2
(4.82)
where K , and K , are arbitrary constants. Now, where xo is the concentration of BA at the zeroth stage, which is the concentration of BA before entering the first stage = c
+c=K,+K, + K ~ = c  K ~ Similarly,
(4.83)
(4.84)
Here, xN is the concentration of the solute (BA) in the raffinate at the ( N + 1)th stage = 0 (because N + 1 is very large).
+ 0 = K , + K2 aN+l
Substituting K , from Eq. (4.83) into Eq. (4.85), get we
(4.85)
K1
CaN+l aN+l
1
93
xp =
rnc(aN+' aP) (aN+l 1) Therefore, the proportion of BA extracted is (put p = 1 in the above equation)
Y p
For N = 2,
E = a '  1 a3  1
which was derived earlier.
Example 4.9 Compute the fraction of solute that can be extracted in countercurrent solvent extraction with N stages (for values of N from 1 to 30) using the same numerical values of S = 12R, rn = 1/8, and c = 0.1 kg/m3, which were used for singlestage extraction, and compare the results. Solution If S = 12R and m = 1/8,
By putting various values of N in the above equation, the proportion extracted in N stages is given in Table 4.3. This table shows that more than 10 stages are wasteful, whereas one stage gives a poor degree of extraction. The most economical number of stages can be determined by optimization (tradeoff between operating and capital costs).
94
1 2 3 5 10 20 30
Illustration 4.8
G N + kg moVs of a wet gas containing YN+ kg mol of solutekg mol of wet gas is fed into the base of a plate absorption column where the solute is to be stripped from the gas by absorption in Lokg moVs of lean oil, which is fed at the top of the column. The solute in the entering oil is Xo kg mol/kg mol of lean oil and the solute in the exit gas is Y , kg mol/kg mol of wet gas. The equilibrium constant K, is given as K, = y,/x,, where y , and x, are the mole fractions of the solute in the gas and liquid phases, respectively. Show that the performance of the absorber can be I expressed in terms of the absorption factorA = (L,/KGN+) and the number of ideal stages (N) by the KremserBrown equation (which relates the fractional solute recovery to the absorption factor):
95
m1
m+l
y=
(1 + y > (1  Y> Considering Fig. 4.10 and taking material balance over plate m gives
(4.86) Lo ( X m  X m  1 ) = GN+1( Y m t l  Y m ) (The gas and liquid ratios on a solutefree basis are same on every plate, though the actual L and G may be different on each plate.) We have to eliminate X,,, and X, from Eq. (4.86). But
*Y=
(4.87)
96
= Kmxm
(4.88) Similarly, (4.89) Substituting the values of Xm andXm,and from Eqs (4.88) and (4.89),respectively, in Eq. (4.86) gives
(4.90)
Lm
KmGm Lm1
K m  1 m 1 G
(4.91) (4.92) (4.93) Taking the mean value of the absorption factor between the top and the bottom of the column as A, and rearranging Eq. (4.93) in the form of a finite difference equation, Ym+l (1 + A)Ym + AYm, = 0 (4.94)
97
m = 0, Yo = C,+ C ,
and
m = 1, Y, = C,+ C,A Similarly,
m =N
+ 1, YN+l= C, + C2AN+'
 Yo = C2 (AN+'  1)
: Y,+' .
and
(4.101)
(4.102)
Equation (4.102) is the wellknown KremserBrown equation. The physical significanceof this equation is: The normalized fractional recovery of the solute in a multicomponentabsorber operated in a countercurrentmode of operation depends on the absorption factor.
Example 4.10 Some experiments are done on the absorption of air mixture in 2.5N caustic soda. In one experiment at atmospheric pressure, the results obtained are as follows (Fig. 4.1 1): Gas rate at the bottom of the tower = 0.34 kg/m2s Liquid rate at the top of the tower = 3.94 kg/m2s The CO, in the inlet gas is 315 ppm (parts per million) and in the exit gas it is 31
ppm. Find the mole fraction of CO, absorbed by NaOH. Solution At the bottom of the tower:
y N + = 315 x lo4
G,,
= 0.34 kg/m2s
98
Lo = 3.94 kg/m2 s
x,= ?
G,
, = 0.34 kg/m s
xo = 0
Lo = 3.94 kg/m2s
Now, 2.5N NaOH contains 2.5 x 40 ( g L ) = 100 kg/m3 NaOH Mean molecular weight of the liquid

=  =0.195
kmol/m's
99
Solution
Let x be the mole fraction of the more volatile component in liquid leaving plate n, , xD be the mole fraction of the more volatile component in product D withdrawn from the condenser, y,* be the mole fraction of the more volatile component in the vapour in equilibrium with the liquid of composition xn, y, be the mole fraction of the more volatile component in the vapour leaving plate n (y, = y,* if the plate efficiency is loo%), 0 be the constant molar flow rate of liquid down the column, V be the (constant molar flow rate of vapour up the column, and D be the molar flow rate of the product from the condenser.
...........................................
I
I I
I I
n+l
F, xF
C (condenser) R (reboiler)
4
3
I
Fig. 4.12 Multistage distillation
Considering Fig. 4.12 and writing the material balance for the more volatile component around the section which includes the nth plate and the condenser,
VY,1  OX,  Dx, = 0 
(4.103)
100
This is known as the operating line for the enriching section. The definition of relative volatility is (4.104) This is the equation of the equilibrium line. Combining Eqs (4.103) and (4.104), we get
x,x,l Let
a=X + 2+ a1
Dx, (a 1)  aV O ( a  1)
Xn1 
DxD = 0 O(a  1)
(4.105)
+ c =0
+ 6:
(4.106)
(4.107)
jX,X,~
6
we have
X,X,~
a+6 *1++Xfl1
=O
x,
Put
101
1
(b + 6)
+ (a + 6)
(4.116)
Let the intersection of the equilibrium and operating lines occur at the point ( x i ,yJ:
Vyi  Oxi  Dx, = 0
(4.120) (4.121)
+ (a + b)x; + c = 0
(4.122)
6 = xi (4.123) Therefore, the translation of axis required to linearize the Riccati equation corresponds to the new origin of coordinates at the intersection of the equilibrium and operating lines.
Example 4.11 A benzenetoluene feed containing 60 mol% of benzene is fed continuously to a distillation column. If there are nine plates between the reboiler and the feed plate, and the top product contains 98 mol% benzene whilst the liquid leaving the base of the column contains 2 mol % benzene, estimate the overall plate
102
efficiency of the column. The feed enters the column at its boiling point and the relative volatility of benzene to toluene can be considered to be constant at 2.3. The reflux ratio is 3. Solution Basis Consider 100 lbmol feed (F), moles of the distillate, and W moles of the D residue. Therefore the material balances are 1 0 0 = D +W and
(1)
(2) Solving Eqs (1) and (2), D = 60.4 lbmol and W = 39.6 lbmol. A mass balance between the bottom of the column and some plate n in the stripping section is
(3) where L is the molar reflux down the column and G is the molar vapour rate up the column. The equation for the relative volatility is
Yn
(4)
+ wx,
or
x, Now L = F
x,
+ ax,
bx,
c
=0
(7)
a= 1
= aG
(a  1)
1 = 0.769 1.3
+ (a  l)Wxw
L ( a  1)
103
a2  (a  b)6  c = 0
62  0.5746 = 0.0022
The roots of this equation are 6 = 0.757 or 0.003 Selecting the root 6 =  0.003 and inserting the boundary condition that when n = 0, x = 0.02 gives K = 42.2. The value of n corresponding to x = 0.6 is given , , by 1.66 = 42.2
[y:i;i]n+

1.32
As n = 7.0 ideal stages, subtracting the reboiler from this number gives the overall plate efficiency as 6.0/9 I 67%.
EXERCISES
4.1 A solute is continuously extracted from a diluent using a twostage cocurrent mode of operation using a solvent. Each stage consists of (1) a mixer where vigorous stirring of the contents takes place and (2) a settler where the mixture pumped from the mixer is allowed to settle into two layers. The upper raffinate layer and the lower extract layer are removed separately. (a) Develop a mathematical model to find the total fraction of solute extracted under unsteadystate conditions by clearly mentioning the assumptions involved in the analysis. (b) Identify the dimensionless groups in the final expression and explain their physical significance. (c) Compare the performance of the cocurrent and countercurrent modes of operation if m = 1/8, c = 0.1 kg/m3, S = 12 R, and 8 = 1 h. 4.2 Acetic acid is continuously extracted from benzene using a multistage cocurrent mode of operation using water as a solvent. Each stage consists of (1) a mixer where vigorous stirring of the contents takes place and (2) a settler where the mixture pumped from the mixer is allowed to settle into two layers. The upper raffinate layer and the lower extract layer are removed separately and sent to the subsequent stage.
104
(a) Develop a mathematical model to find the total fraction of solute extracted under unsteadystate conditions by clearly mentioning the assumptions involved in the analysis. (b) Identify the dimensionless groups in the final expression and explain their physical significance. (c) Compare the performance of the cocurrent and countercurrent modes of operation for ten stages if m = 1/8, c = 0.1 kg/m3, S = 12R, and 8 = 1 h. 4.3 A falling film on a wetted wall column is brought into contact with a gas A for absorption of solute in the gas. The gas is consumed in the liquid phase by a firstorder reaction in terms of the gas concentration c. Develop a mathematical model for the concentration of A in the liquid phase in the form of a differential equation. 4.4 Benzoic acid is continuously extracted from toluene using water as the solvent in a countercurrent mode using two stages. Each stage consists of (1) a mixer where vigorous stirring of the contents takes place and (2) a settler where the mixture pumped from the mixer is allowed to settle into two layers. The upper toluene layer from the second stage and the lower water layer from the first stage, which vary with time, are removed separately. Develop a mathematical model to find the final fraction of benzoic acid extracted by clearly mentioning the assumptions involved in the analysis. 4.5 A tank contains 20 m3 of water. A stream of brine containing 2 kg/m3 of salt is fed into the tank at a rate of 8.33 x 10 4m3 /s. Liquid flows from the tank at a rate of 5.55 x 104 m3/s. If the tank is well agitated, what is the concentration of salt in the tank when the tank contains 30 m3 of brine? 4.6 A continuous extraction of benzoic acid from toluene is carried out in a twostage crosscurrent mode of operation under steadystate conditions using water as the solvent. Each stage consists of (1) a mixer where vigorous stirring of the contents takes place and (2) a settler where the mixture pumped from the mixer is allowed to settle into two layers. The upper toluene layer and the lower water layer are removed separately. (a) Develop a mathematical model to find the total fraction of benzoic acid extracted by clearly mentioning the assumptions involved in the analysis. (b) Identify the dimensionless groups in the final expression and explain their physical significance. (c) Compare the performance of the crosscurrent and countercurrent modes of operation if m = 1/8 and c = 0.1 kg/m3, and S = 12R for countercurrent operation. 4.7 Acetic acid is continuously extracted from benzene using water as the solvent in a countercurrent mode using four stages. Each stage consists of (1) a mixer where vigorous stirring of the contents takes place and (2) a settler where the mixture pumped from the mixer is allowed to settle into two layers. The upper Benzene layer and the lower water layer from each stage are removed separately
105
under steadystateconditions.Develop a mathematical model to find the final fraction of acetic acid extracted by clearly mentioning the assumptions made in the analysis. 4.8 A wetted wall column is to be used for the absorption of a gas A. The gas is consumed in the liquid phase by a firstorder reaction in terms of the gas concentration c. Develop a mathematical model for the concentration of A in the liquid phase in the form of a differential equation. 4.9 Benzoic acid is continuously extracted from toluene using a twostage cocurrent mode of operation under steadystate conditions using water as the solvent. Each stage consists of (1) a mixer where vigorous stirring of the contents takes place and (2) a settler where the mixture pumped from the mixer is allowed to settle into two layers. The upper toluene layer and the lower water layer are removed separately. (a) Develop a mathematicalmodel to find the total fraction of benzoic acid extracted by clearly mentioning the assumptions involved in the analysis. (b) Identify the dimensionless groups in the final expression and explain their physical significance. (c) Compare the performance of the crosscurrent and countercurrent modes of operation, if m = 1/8, and c = 0.1 kg/m3, and for countercurrent operation S = 12R. 4.10 GN+ kmol/s of a wet gas containing Y N + kmol of s o l u t e h o l of wet gas are fed into the base of a plate absorption column where the solute is to be stripped from the gas by absorption in Lo kmoVs of lean oil which is fed at the top of the column. The solute in the entering oil is X, kmoVkmol of lean oil and the solute in the exit gas is Yl kmoVkm01 of wet gas. The equilibrium constant K,,, is given as where ym and x,,, are the mole fractions of the solute in the gas and equal to y mh,,,, liquid phases, respectively. Show that the performance of the absorber can be expressed in terms of the absorption factor A = Lo /KG,+ and the number of ideal stages N by the KremserBrown equation as follows:
'N+1
'I
YN+1  yo 4.11 A wellagitated tank contains 10 m3 of salt solution of concentration 5 kg/m3. Fresh water enters the tank at the rate of 2 m3/h and the salt solution is withdrawn at the rate of 3 m3/h. What is the concentration of the salt in the tank when it contains 2 m3 of the solution? 4.12 Benzoic acid is continuously extracted from toluene using water as the solvent in a cascade of stages in series. Each stage consists of (1) a mixer where vigorous stirring of the contents takes place and (2) a settler where the mixture pumped from the mixer is allowed to settle into two layers. The upper toluene layer from the second stage and the lower water layer from the first stage are removed separately.
AN+^  A AN+^  1
106
Develop a mathematical model to find the final fraction of benzoic acid extracted by clearly mentioning the assumptions involved in the analysis for the following cases: (a) Steadystate singlestage countercurrent operation (b) Steadystate singlestage cocurrent operation (c) Steadystate singlestage crosscurrent operation (d) Unsteadystate singlestage countercurrent operation (e) Unsteadystate singlestage cocurrent operation (f) Unsteadystate singlestage crosscurrent operation 4.13 Solve Problem 4.12 for the following cases: (a) Steadystate twostage countercurrent operation (b) Steadystate twostage cocurrent operation (c) Steadystate twostage crosscurrent operation (d) Unsteadystate twostage countercurrent operation (e) Unsteadystate twostage cocurrent operation (f) Unsteadystate twostage crosscurrent operation 4.14 Solve Problem 4.12 for the following cases (i) by the method of induction and (ii) by the finite difference equation approach and compare the results: (a) Steadystate Nstage countercurrent operation (b) Steadystate Nstage cocurrent operation (c) Steadystate Nstage crosscurrent operation (d) Unsteadystate Nstage countercurrent operation (e) Unsteadystate Nstage cocurrent operation (f) Unsteadystate Nstage crosscurrent operation 4.15 A benzenetoluene feed containing 60 mol% of benzene is fed continuously to a distillation column. If there are nine plates between the reboiler and the feed plate, and the top product contains 98 mol % benzene whilst the liquid leaving the base of the column contains 2 mol% benzene, estimate the overall plate efficiency of the column. The feed enters the column at its boiling point and the relative volatility of benzene to toluene can be considered to be constant at 2.3. The reflux ratio is 3.0. 4.16 A system consists of Nstirred tanks each of volume v m3 arranged in a cascade. If each tank initially contains pure water, and a salt stream of concentration xo kg/m3is fed to the first tank at a rate R m3/s,calculate what the output concentration from the last tank should be as a function of time if the stirring is 100%efficient. Use the result to compare the transient behaviour of all systems of total volume Nv = V = constant.
In the previous chapter, models in masstransfer operations were discussed. This chapter deals with models in heattransfer operations. Experience has shown that a mental visualization of the physical meaning of analytical expressions and statements (ie., equations) on the part of the analyst and programmer is absolutely invaluable (Franks 1972). We have seen this aspect in the models discussed so far. Most physical situations, when described as a set of equations, are nonlinear and simultaneous; that is, the variables are defined implicitly, and the only practical method of obtaining a solution is using numerical methods that, although unsophisticated, are quite successful. This chapter covers these aspects. Let us recapitulate some important aspects of modelling. Based on the methodology we followed in the models discussed in Chapter 4,the generalized approach for mathematical modelling can be summarized as follows: 1. Recall the basic physical laws that govern the situation, and decide which quantities must be regarded as unknown variables. If every quantity can be expressed in terms of a single independent variable, an ordinary differential equation may be expected. 2. Formulate a differential equation according to the controlling physical laws. 3. Eliminate all but two variables from the equation formulated in step 2. A thorough understanding of the physical situation should ensure no difficulty in the first three steps. 4. Obtain the general solution by suitable integration of the differential equation in two variables resulting from step 3. This is primarily a mathematical problem.
108
5. Substitute the boundary conditions in the general solution, and determine the values of the constants for a particular solution applicable to the case at hand.
In this chapter, the following models are discussed: steadystate heat conduction through a hollow cylindrical pipe, unsteadystate steam heating of a liquid, unsteadystate heat loss through a maturing tank, heat transfer through extended surfaces (spine fin), countercurrent heat transfer in two tanks in series, temperature distribution in a fin of triangular cross section, unsteadystate heat transfer in a tubular gas preheater, heat loss through pipe flanges, heat transfer in a thermometer system, and unsteadystate heat transfer by conduction. Apart from having a thorough understanding of the physical phenomena occurring in the system, there are many other important aspects to be taken into account in modelling: mental visualization, schematic representation, making suitable assumptions and justifying them, using appropriate terminology,identifying the right mathematical technique for solving the formulated model, thorough knowledge of numerical methods, ability to generalize the model for a wide range of applications, following the method of induction principles, etc. In addition, if we reach a situation where proceeding further becomes difficult after starting with some assumptions, we should know how to come out of the problem by making a suitable simplified assumption. All these important aspects of modelling are well demonstrated in the models discussed in this chapter.
5.1 Steadystate Heat Conduction Through a Hollow Cylindrical Pipe (Static Distributed Parameter Rigid Analytical Model)
There are many problems in which the properties of the system are functions of position instead of time. The following example illustrates the application of the method to this type of problem.
Illustration 5.1 Two concentric cylindrical metallic shells are separated by a solid material. If the two metal surfaces are maintained at different temperatures, what is the steadystate temperature distribution within the separating material? Solution This is a steadystate problem, but some of the system properties depend upon the position at which they are measured. In this case, the temperature T and the heatflow rate per unit area Q are both functions of the radius r. The heat balance must be related to a space interval between Y and r + 6r as shown in Fig. 5.1. Following the same procedure as in the case of unsteadystate problems of Chapter 4,but considering variations of Y instead of 8 ,Table 5.1 can be compiled.
109
Table 5.1 The condition of the system on either side of a space increment Sr
Property of the system
1.
At r
At r
+ Sr
Temperature Heattransfer aredunit length Radial heat flux density (W/m2) Total radial heat flow per unit length
T
2nr
dT Ti& a ?
2.
3.
4.
Q
2mQ
Considering the element of thickness Sr, the heat balance is Heat input to inner surface = 27rrQ Heat output from outer surface = 27r (r + Sr) Accumulation of heat = 0 (due to the steady state)
110
+ (::)6r
=0
 Q6r 
a(&) =0 dr
(5.3)
dr
But Q (fludarea) is related to T by Fouriers law of heat conduction
dT (5.4) dr Since this is negative, T decreases with r. Differentiating Eq. (5.4), get we
Q =k
(5.5)
where k is the thermal conductivity. Substituting Eqs (5.4) (5.5) in Eq. (5.3), and we get
or
d2T r    = OdT (5.7) dr2 dr Referring to Table 5.1, the change in the heatflow rate across the element gives rise to two terms in this example: (1) one due to a change in the temperature gradient and ( 2 ) the second due to a change in the area of conduction. These are reflected in Eq. (5.7) as the second and first terms, respectively. The overall heat transfer by conduction in this problem is the combined effect of change in temperature and change in area. This problem can be solved in two ways: (1) by treating Eq. (5.7) as a homogeneous secondorder differential equation and ( 2 )by solving Eqs (5.3) and (5.5) in succession. Following the second method, from Eq. (5.3), the variables are separable,
111
Integrating, we get 1nQ = 1nr + c (5.9) Here, c is the integrating constant.In order to make an antilogarithmic transformation in the above equation, c could be taken as lnA, where A is a constant (i.e., we can find A in such a way that 1nA gives the required value of c). Putting c = lnA, Eq. (5.9) becomes (5.10) 1nQ = 1nr + 1nA
A r Putting this value of Q in Eq. (5.4), we get
Q=
(5.11)
(5.12) On rearranging this term and integrating, we get (5.13) lnr =  ( k T / A ) + B Equation (5.12) involves two constants of integration, A and B , and these can be evaluated from the fixed boundary temperatures. Boundary condition: r = a, At T = To At r = b, T = TI From Eqs (5.13)(5.15), we get lna =  (kTo/A) + B lnb = (kT,/A) + B Equations (5.16) and (5.17) give lna  lnb = k(T,  To)/A
A = k(T,  To) (lna  lnb)
TI Inn  To h a B=
TI lna  To lnb
T To I
112
Putting the values ofA and B from Eqs (5.19) and (5.22) in Eq. (5.13), we get lnr = (T, kT(lnalnb) k(T1  To)
4
T,lnaTolnb Tl  T o
 To)lnr = (lnb  1na)T + T, lna  To lnb + To lna  To lna (T,  To)lnr = (T  To) (lnb  lna) + (T,  To)lna (TI  To)(lnr  lna) = (T  To)(lnb  lna) T  To  lnr  lna Tl  To lnb  lna
Example 5.1 A hollow cylinder with an outer diameter of 10 cm and an inner diameter of 5 cm has an inner surface temperature of 200 "C and an outer surface temperature of 100C. Determine the temperature of the point halfway between the inner and outer surfaces. If the thermal conductivity of the cylinder material is 70 W/mK, determine the heat flow through the cylinder per linear metre. Solution
Q=
r= Since
(5 + 2.5)
~
= 3.75 cm
... T  To =
=
3.75
[3(loo)]
= 57.72"C
113
+ Qg = e r + d r
where
Qq = q(2m)drL
Q, =  k(2zr)L 
dT dr
:r[
k
Z] 7
+0,
q5r5ro
4r2 T = ~ + C,lnr + C , 4k Applying boundary conditions to Eq. (8), qr! T. A C, lnr, = ' 4k
+ C2
114
:. c, =
(To T i )
+ X(r:  q2) 4k
In (ro/q)
c2= + 2 5 2 4k
(To  q ) + &(r:
In (ro/q)
 q2)
In q
q )
(14)
Therefore, it is clear that if there is no heat generation, Eq. (15) gets reduced to
T  q  ln(r/q) To  q ln(ro/q) which is the same as Eq. (5.27) corresponding to the temperature profile without
heat generation.
115
5.2 Unsteadystate Steam Heating of a Liquid (Dynamic Lumped Parameter Rigid Analytical Model)
The illustrations considered so far have only used material or heat balances. In this illustration, the equation is derived from a rate equation.
Illustration 5.2 A closed kettle Fig. 5.2 of total surface area A m2 is heated through this surface by condensing steam at temperature T, K. The kettle is charged with M kg of liquid of , heat capacity C J k g at a temperature of To K. If the process is controlled by a heattransfer coefficient h W/m2K, how does the temperature of the liquid vary with time?
u
dT
Solution In general C in J k g is referred to as specific heat. In fact, the specific heat of a , fluid (liquid or gas) is defined as the ratio of the heat capacity of that fluid (C ) to Pf the heat capacity of the reference fluid (C,,, i.e., water for liquids and air for gases). Hence, specific heat is a dimensionless quantity, and heat capacity (C,) has the units of Jkg. We follow this convention throughout this book. Consider a time interval 68: Heat input (J) = hA(T,  T)6B Heat output (J) = 0
Heat accumulation (J) = MC 68 de Input  output = accumulation
(5.28)
116
T,  T
(5.29)
 T) = (h4/MCP)8+ B
(5.30)
B can be evaluated by using the boundary conditions, i.e., when 8 = 0, T = To. Therefore, (5.31) In(T,  To) = B Substituting B from Eq. (5.31) into Eq. (5.30), we get
ln(T,
 T) = (hA/MC,)8  ln(T,
 To)
(5.32)
(5.33)
or
(5.34)
Example 5.3 A closed vessel of total surface area 40 m2 is heated through this surface by condensing steam at a temperature of 100C. The vessel is charged with 600 kg of liquid having a heat capacity of 25 12 J k g K at a temperature of 25C. If the process is controlled by a heattransfer coefficient of 142 W/m2K, model the system in dimensionless form and find out the temperature of the liquid after 1 h. Solution This is the case of unsteadystate steam heating of a liquid. Hence the modelling of the system is just the same as discussed above. It is given that Ts = 1OO"C, To = 25"C, Cp = 2512 J/kgK= 2512 Jkg"C,A =40 m2,M = 600 kg, 8 = 1 h = 3600 s, h = 142 W/m2 K = 142 W/m2"C
100  T 100  25
40x142 ~ 3 6 0 0 ) 600 x 2512
(5.35) (5.36)
117
T = 100  (9.5 x
T = 100C
5.3 Unsteadystate Heat Loss Through a Maturing Tank (Dynamic Lumped Parameter Rigid Analytical Model)
Illustration 5.3 An elevated horizontal cylindrical tank of 1.524 m diameter and 3.66 m length (Fig. 5.3) is insulated with asbestos lagging of thickness 1= 0.05 1 m and is employed as a maturing vessel for a batch chemical process. Liquid at 93.3 "C (366.3 K) is charged into the tank and allowed to mature over 5 days (120 h = 432,000 s). If the data given below applies, calculate the final temperature of the liquid in the tank and give a plot of the liquid temperature as a function of time. Solution Liquid film coefficient of heat transfer (hi) = 25.0 Btu/h ft2"F = 141.98 W/m2K Thermal conductivity of asbestos ( k ) = 0.1 Btu/hft"F = 0.1731 W/mK Surface coeficient of heat transfer by convection and radiation (h2) = 1.8 Btu/hft"F = 10.222 W/m2K Density of liquid ( p ) = 62.4 lb/ft3 = 1000 kg/m3 Heat capacity of the liquid ( Cp) = 0.6 Btu/lb"F = 2512 JkgK Atmospheric temperature t can be assumed to vary according to the relation t = 55 + 1 5 c o s ( n e m )
= 12.78
+ 8.33cos(3OOn8)
where 8 is in seconds. Atmospheric temperature at the time of charging = 70 "F = 294.1 K. Heat loss through supports is negligible. T is the bulk liquid temperature, T,,, is the inside wall temperature of the tank, and T, is the outside temperature of the lagging. Area of the tank ( A ) = nDL
2nD2 +4
118
= (n x 1.524 X 3.66)
= 21.171m
+ 2 x [0.25 x n x (1.524)]
Note that the thickness of lagging is not considered in the above calculation.
m3
Rate of heat loss by the liquid = h,A(T  T,) Rate of heat loss through the lagging = k (A/Z)(T,  T,) Rate of heat loss from the exposed surface of the lagging = h,A(T, Considering the thermal equilibrium of the liquid: Input rate of heat = 0 (since it is a batch process) Output rate of heat = h,A(T,  t )
dT dT Accumulation rate of heat = mCp= V p C , de de Input  output = accumulation dT  h A ( T ,  t ) = VpC de Substituting the values of 4, A, V , p , and C, in Eq. (5.41), we get
(5.41)
 t)
 = (T, d e Vpc,
dT  de
dT
hA
t)
(5.42)
(5.43)
dT = 1.29 x 10~  t ) (T, (5.44) de The above equation consists of T, and t, which are to be expressed in terms of a known quantity, i.e., 8. We already know the relation of t as a function of 8, but now we have to express T, as a function of 8, which can be done as follows. At any given time 8,

Rate of heat rate of heat transfer rate of heat loss (loss from liquid) = through lagging = (from surface
(5.45) (5.46)
119
On rearranging the first two terms of Eq. (5.46) and simplifying, we get (5.47)
T
3.66 m
1
(5.48)
(5.49)
(5.50)
(5.52)
(5.53)
120
T =t+ ,
hl&l
+ h,k + h,k
hlk
](T  t)
(5.54)
(5.55)
T = 0.245T + 0.75% , Substituting T, from Eq. (5.56) and simplifying, we get dT  + (3.161 x 106)T = (3.161 x 106)t do Substituting t = 12.78 + 8.33 cos (3001te),

(5.56)
(5.57)
dT do
+ (3.161 x ~ o  ~ =T x ) (4.04
+ (2.633 x ~ O  ~ ) C O S ( ~ O O Z ~ )
(5.58) The above equation is a firstorder linear differential equation, which can be solved 3.161x lo% . The solution is by means of the integrating factor (IF) e
T e 3 .i6 i ~i o4e
 4.04x
+ 2.633 x
(5.60)
The second term on the rhs is
(5.61)
This can be integrated by parts. The definition of eie is cose + isin8, that is, cose is the real part of eie. Similarly, E can be written as E = 2,633 105
e3.161X10"6e~e(ei942.58de)
(5.62)
= Re[
(5.63)
121
On simplification, we get
E = 2.96 x 1011e3.161x10de x 10" cos(942.5e) r3.m
+ 942.5sin(942.58)]
Substituting this in Eq. (5.59), we get ~ ~ 3 . 1 6 1 X l O ~ 12.78e3.161X10de 296 1011e3.161X1068 e
+
(5.64)
T =12.78 + 9.357 x
cos(942.58)
+ 2.79 x
sin(942.58) + Cle3.161x10"e
(5.66)
At 8 = 0, T = 93.3"C; hence, 93.3 = 12.78 + 9.357 x C,= 93.3  12.78 = 80.52 T = 12.78 + 9.357 x
+ C,
cos(942.58) (5.67)
(5.68)
+ 2.79 x
sin(942.58) + 80.52e3.'61x'0de
The contribution of the second and third terms may be neglected, and we get
T = 12.78 + 80.52e3.'61x'0de
80.52e3.161X106X432000
(5.69)
= 33.34OC (5.70) Using Eq. (5.68), the temperature profile is generated as a function of time and plotted as shown in Fig. 5.4 below.
Temperature profile
2 Time (s)
122
Exercise 5.1 Refer to Eq. (5.45). Explain how this relation is valid for this model of the unsteadystate process. Example 5.4 In Illustration 5.3,the thickness of the lagging was not taken into account. Evaluate the error involved in the area calculation in neglecting the lagging using the data given in the illustration and compare the results. Solution
Area of the tank (A)= nDL + = (nx 1.626 x 3.66)+ 2 x [0.25 x IC x (1.626)2]
= 22.85m2
2nD2 4
zD21 n x 1.6262 x 3.66 = 7.6m3 4 4 Substituting the values of h,, h,, I , k in Eq. (5.50), get we
Volume of the tank (V) = T, = t +
141.98 x 0.1731 ](T  t ) (141.98 x 10.222 x 0.051) + (141.98 x 0.1731) + (10.22 x 0.1731)
Input rate of heat = 0 (since it is a batch process) Substituting the values of h2, A, V, p, and C, in Eq. (5.54),we get
dT  + (2.996 x 1O")T de
123
This equation is a firstorder linear differential equation, which can be solved by means of the IF e3.161x10de.The solution is Te2.9%x10'6  3.7828 x 105 
e2.9%Xio6@
d8
+ 2.4956 x
The first term on the rhs is 3.7828 x
Ie
2.996xiode de
le2.996x10de ( 3 o o ~ e ) d e c, cos +
= 3.7828 x 2.996 x
e 2.996x1o4e
E = 2.4956 x
= Re[
x [2.996 x 10" cos(942.58) + 942.5sin(942.58)] Substituting this in Eq. (5.59), we get Te2.996~ io"e  12,626e2.996~ 1o"e +2.809 io"@ 1011e2.996~
x [2.996 x
T = 12626 + 8.4157 x
+ 2.6 x lo'
+ C,
+ 2.6 x lo'
124
The contribution of the second and third terms may be neglected, and we get
T = 12.626 + 80.674e2.996x10"B
Result As can be seen from this result, the temperature is 33.34 "C by neglecting the thickness of the lagging in the heattransfer area calculation, as against 34.738 "C by considering the lagging thickness. This means a difference of 1.398 "C,which corresponds to 4.02% error C(34.738  33.34) x 100/34.738 = 402], which is insignificant and negligible for all practical purposes, as 510% error is allowed in all professional design calculations. Hence, the assumption that was made earlier (that the thickness of the lagging is negligible) is justified.
10,000 lb/h
174"
88"
45 O
125
Steady state: Considering a heat balance around tank 2, Rate of heat input by cooling water = rate of heat output by sulphuric acid Heat capacity of water = 1 cal/gm"C = 4187 J k g K
3
(5.71) (5.72)
T, =
2o
T, = 40C (5.73) When the cooling water supply is stopped: The rate of cooling water flow = 0. Thereafter, unsteadystate conditions prevail, as the acid is still flowing at the same rate as before. For the purpose of analysis, let the flow rate of acid be M = 1.26 kgh, heat capacity of acid be CpA= 1508 J k g K, feed acid temperature be To = 174 "C, capacity of each tank be W = 4536 kg, outlet acid temperature for tank 1 be T , "C, outlet acid temperature for tank 2 be T2"C, and time be 8 s. The heat balances are as follows for both tanks:
(5.75)
dT1 M(T0  T I )= W de
(5.76) (5.77)
ln(T,
M T,) = 8
+ constant
(5.78)
When 8 = 0, T, = 88C. : Constant = ln(T, 88) . Substituting Eq. (5.79) in Eq. (5.78) and simplifying, we get
(5.79)
(3
(5.80) (5.81)
126
M ( T ,  T 2 ) = W  dT2 d8
(5.82)
dT, M M + T2 = [174  86exp(2.78 x lo4@] (5.83) d0 W W This is a firstorder linear differential equation that can be solved using an IF
e2.78~io4e.
+ constant
(5.84)
Boundary conditions: When 8 = 0, T2= 45 "C and MIW = 2.78 x lo4. Therefore, (5.85) 45 = 174 + constant (5.86) Constant = 129 From Eqs (5.84) and (5.86), we get
T2  174  e  2 . 7 8 ~ 1 ~  4[;868 e
+ 1291
(5.87) (5.88)
When 8 = 3600 s, MIW = 2.78 x lo4, So, T2 = 174  79.05 = 94.95 "C
Example 5.5 In Illustration 5.4, if the water supply is restored at a flow rate of 1.26kgls, calculate the acid discharge temperature T2after 1 h. The overall coefficient of heat transfer in the hot tank (tank 1) is 1135 Wlm2K and in the colder tank is 738 Wlm2K. The heattransfer areas of the coils in tank 1 and tank 2 are 6.44 m2 (Al) and 8.9 m2 (A2), respectively. Solution Water flow rate m = 1.26 kgls. Let water supply temperature be to"C, outlet water temperature of tank 1 be t, "C, and outlet water temperature of tank 2 be t2 "C. The heat balances are as follows: Input output Accumulation
Tank 1: (mCpwt2 mC,To)  (mCq,t, +
+ mCpAT,) WC, =
*Tl
(5.89) Tank 2: (mCpw + mCpA )  (mC, t2 + mCpA = WC, dT2 to T, T2) (5.90)
127
The heattransfer rate equations for the two tanks are (5.91)
(5.95)
(5.96) T2 (1  P> = t ,  Pto Equations (5.89), (5.90), (5.93, and (5.96) are the four equations which have to be solved simultaneously for T I ,T2,tl, and t2 This can be done by the systematic elimination method. This method is proposed for the elimination process that reduces the algebra involved to a minimum. Essentially, the method consists of setting up a table indicating the number of times and the form in which each variable appears in the simultaneous equations. Then the variable that appears in the simplest manner is first eliminated by making appropriate substitution. Following this, the second least frequent variable is removed from the remaining equations by appropriate substitution and this process is continued till only one equation remains. Generally, terms which appear as derivatives are left to the final steps of the substitution process. For the present problem, Table 5.2 gives the frequency of the appearance of the four variables.
Table 5.2 Frequency of appearance of variables in the model equations
TI
1
4
T2
ti
t2
+
1
1 1
1 1
3 plus +
2 plus 42
1 1 1 1 
128
In Table 5.2, ' 1' indicates the appearance of a variable and '+' indicates its derivative. It is clear that tl should be eliminated first and then t2,because both T, and T2also appear in the differential form. After eliminating t, and t2, T,is to be eliminated (not T2, though its appearance is less than TI) because the relation required is T2 as a function of 8. Finally, a secondorder differential equation is obtained for T2, which has the solution (5.97) T2 = AeC4e+ BeCse+ c6 For evaluating A and B, the final temperatures from the previous operations are to be taken as the boundary conditions. Then, at 8 = 1 h (3600 s) T2 = 48.9OC (5.98)
Example 5.6 10,000 k g h of acid having a specific heat of 0.35 enters a wellagitated tank containing 10,000 kg of acid and leaves at the same rate in a steadystate process. The inlet and outlet temperatures of the acid are 443 K and 363 K, respectively. This is maintained by cooling water, flowing at 8000 k g h having a heat capacity of 4187 J k g K. The inlet temperature of water is 298 K. (a) Calculate the outlet temperature of water. (b) If cooling water suddenly fails, what is the temperature of the acid in the tank after 30 min? Solution (a) Heat balance: For the steady state, the equation is Input = output .*. 10,000 x (0.35 x 4187) x (443  363) = 8000 x 4187 x (T  298)
... T  298 = 35
= 333 K
(b) For the unsteady state, the equation is Input  output = accumulation
129
When 8 = 0 (that is, just before water fails), the system was at steady state and the temperature in the tank is the same as the temperature of the leaving stream = 363 K. Therefore, at 8 = 0 , T = 363 K. Solving Eq. (l), we get
(y )
= e0
443  T = 80e@
T = 443  80e0
Therefore, at 8 = 30 min = 0.5 h,
T = 443 80e4'.'
: .
T = 394.48 K
130
Cold
= kTA 
(3 (2)[: 3
+  k,A= A(T dU
(5.99)
SX + U ( d S x ) ( T  To) (5.100)
where U is the overall heattransfer coefficient from the electrode to the surroundings, d is the electrode diameter, and To is the surrounding temperature. Rate of accumulation of heat = 0 (steadystate)
"[
k,A%]&
 To)&
dx
(5.101)
Substituting k , and simplifying by dividing throughout by Sx and letting d U / A = p, Eq. (5.101) becomes
(ko  aT)
a(%)2  P(T
To) = 0
(5.102)
Equation (5.102) is a secondorder nonlinear differential equation, which does not contain the independent variable explicitly. Thus, let
p = dT dx
(5.103) (5.104)
131
Therefore,
(5.105)
(ko  aT)pdP  c ~2 p P(T  To) = 0 (5.106) dT A careful observation of Eq. (5.106) shows that the variables p and T cannot be separated, and one might be tempted to introduce simplifying assumptions at this stage, or attempt to solve Eq. (5.102) by some other method. However, the way in whichp occurs in Eq. (5.106)suggests the substitution p2 = z. In addition, putting y = (T  To) gives
dz [k,  aTo  ayl  2az  2pY = 0 (5.107) d Y Equation (5.107) is a firstorder differential equation that can be solved by the IF method. The integrating factor is
(5.108)
= (ko  aT0 CZY)~
The solution is
(5.109)
&)dT
(5.1 10)
Equation (5.110)cannot be integrated analytically because of the cubic polynomial under the square root sign, or graphically because the arbitrary constant C is completely unknown. Furthermore, there is no way of evaluating C other than perhaps by trial and error, which would not be very accurate. Hence, in order to obtain an estimate of the heat load on the cooler, it is assumed that the heat lost to the atmosphere (surroundings) from 1 m2 surface area of the electrode = Q = constant.
Note This is an important aspect in modelling. As and when one gets stuck without getting any result in the middle of an analysis in spite of getting started well, one needs to go back to the original step and see if there is a possibility of making an
132
assumption that enables the solution. In the present case, let us assume that the variable T can be replaced by an average value, only for the purpose of calculating Q, in Eq. (5.101).
Q = average value
= U(T  TO)
(5.111)
An average value of the temperature at the hot and cold ends of the extended surface would enable the heat load value to become a constant. In fact, it is this functional dependency of temperature on distance which resulted in the complex equation (5.110). Though the temperature is actually varying with distance, with reference to the heattransfer rate value, taking an average temperature would not affect the accuracy of the result, and at the same time the analysis will become quite simple.
Q = 1.701
1482.2 + 148.89 
(5.112) (5.113)
= 1351.52 W/m2
dx
(k,  aT)
or
z]
6c =
s& A
(5.114)
(k,  ~ Tdx q  a ( s ) ~ = B )
(5.115)
Therefore,
dp d2T p =dT dx2 Thus, Eq.(5.115) becomes
dP (k,,  a T ) p   w2= B dT
(5.1 16)
(5.1 17)
p+w2
dT
k 0  U
(5.118)
133
Put
P+w2= q , 2 a p d p = d q
dP =
dT
(5.119)
Substituting p = dT/dx and taking only the negative root, since the temperature falls as distance x increases,
dr = \/a(k, dx
E P  aT) a
(5.123)
Put (k,  aT) = r. Therefore, dr  = 2(k0  aT)(a)=  2aJ; dT dT  dT dr   dx dr dx dT  dr   1 dx d x  2 a J Equation (5.123) becomes (5.124) (5.125) (5.126)
(5.127) (5.128)
134
(5.129)
where B = &Q/A and E = DZa = constant. The boundary conditions (BC) at the ends of the electrode (furnace end at x = 0 and cooler at x = 0.3048 m) are
 a B ( x + c2)2 at x = 0
421.89 =b 
(5.130)
a B
 M ( x + cZ)'
at x = 0.3048
(5.131)
It is more convenient to determine how E and c2 occur in the required solution, rather than solve these equations directly. The duty of the water cooler = the rate at which heat arrives at x = 0.3048 m
=H
Therefore,
H = (ko  @ ) A
dT
dxx=0.3048
(5.132)
1 dT  = 
 ~ M ( x2) c+
(5.133)
2

dx
dT
aB(x +c2y
B(0.3048 + c 2 ) (5.134)
H = AB(0.3048 + c 2 )
Substituting the value of AB in Eq. (5.135),
(5.135) (5.136)
=  647.08(0.3048
+ c2)
As can be seen, H depends on only one of the constants c2, and hence there is no need to solve for the other constant E. It is enough to know the value c2. From Eq. (5.130),
[ko  a(1755.2)]2 =   &: c B
I5
(5.137)
135
H = 8557.76 W

136
dx
=  k4nx ( b  x) tana 
k4nx(b
 x)tana
dT1 +
dx
&
M,(T
 TA)
(5.143)
+&
On simplifying Eq. (5.144), we get d2T dT + (b  2X)  C,(b  X)(T  TA) = 0 dx2 dx Putting T  TA= y and simplifying, we get x ( b  X)(5.145)
x(b  x)d2Y + (b  2x)  c,(b  x)y = 0 d Y (5.146) dx2 dx The above equation is a secondorder differential equation, which can be solved using a solution by series (method of Frobenius), described below. Method of Frobenius: If a general secondorder differential equation can be expressed in the form d2Y dy x 2 + xF(x)dx2 dx where
+ G(x)Y= 0
137
and
G(x) = Go + Glx
Do
+ G2x2+
(3)
y = &Zflxn+c
0
(a, # 0)
* *.
 = &(n dY
d x o
Do
+ C)Xn+cl
&(n
0
+ c)(n+ c  l)Xfl+"
eo
(7)
where the extra powers of x in Eq. (1) have been absorbed in the series for y and its derivatives. The lowest power of x which appears in Eq. ( 7 ) is x' (when n = 0), and coefficients of x' can therefore be equated as follows:
U~C(C
 1) + F,%c
+ Go%
=0
(8) This quadratic equation for the index of the first term c is called the indicial equation. We haven + 1 coefficients (i.e., ao,a l , a2, ...)uJ7 and one constant (i.e., c) totalling to n + 2 unknowns, which means we need to have n + 2 equations to solve for these n + 2 unknowns. Following the same procedure to obtain the indicial equation [Eq. (S)], we can x' 2, x" 3, ..., get n + 1 indicial equations by equating the coefficients of x" x"". Including Eq. (7),we have all the required n + 2 equations which are to be simultaneously solved for the abovelisted n + 2 unknowns. By substituting these n + 2 unknowns in Eq. (4), get the required solution. This is called solution by we series or the method of Frobenius.
+ +
: c2 + (F,  1)c + Go = 0 .
138
7ooFp+~
4 in. diameter
The crosssectional area A = z D 2 / 4 = 0.00785m'. The heat balance around the incremental length 6 x is as follows:
Heat input
1.
2.
Heat output
kA
dT dx
dx
dx
3.
h(zD6x)(Tw T )
139
+z&) dT (5.147)
d2t
dx2
[   (;  ) i
UPC,) dt k A d x t=O
=0
(5.149)
Substituting the numerical values and h = 52.3x'", we'get d2t  (2.31 x 104 )dt (5.98 x lO4)x''t dx2 dx Putting x = z2 and simplifying, we get
1 dt d2t  1 d2t ___dx2 4z2 dz2 4z3 dz Now Eq. (5.150) becomes
(5.150)
(5.15 1 )
(
1 d2t 4z2 dz2
1 dt 4z3 dz
2.31 x lo4 dt 22
)z[
5.98 x l o 4
t=o
(5.152)
where
140
according to a heattransfer coefficient h = 11.4 W/m2K. Develop a mathematical model for temperature in the differential form under steadystate conditions. Solution
dT Heat input =  kA dx
Heat output =
(5.154)
(5.155)
Heat accumulation = 0 (at steady state) Equating Eqs (5.154) and (5.155) and simplifying, we get
d2T rdr2
dT +   cr(T  T I )= 0
dr
(5.156)
141
y=o
(5.158)
hA(xy)O=mC
dY dt
(5.159)
142
where A is the surface area of the bulb for heat transfer in m2, C is the heat , capacity of mercury in Jkg K, m is the mass of mercury in the bulb in m, t is the time in s, and h is the film coefficient of heat transfer. Equation (5.159) states that the rate of flow of heat through the film resistance surrounding the bulb causes the internal energy of mercury to increase at the same rate. The increase in internal energy is manifested through a change in temperature and a corresponding expansion of mercury, which causes the mercury column, or the reading of the thermometer, to rise. The coefficient h will depend on the flow rate and properties of the surrounding fluid and the dimensions of the bulb. In the present problem h is constant. Equation (5.159) is a firstorder differential equation. This equation can be solved by Laplace transformation. Deviationvariables are to be introduced before the transformation. (The characteristic of a Laplace transform is that the BC are introduced before the solution.) Prior to the change in x, the thermometer is at steady state and the derivative dy/ dt is zero. For the steadystate condition, Eq. (5.159) may be written as (5.160) hA(x,  y , ) = 0, t c 0 The subscripts is used to indicate that the variable is the steadystate value. Equation (5.160) simply states that y, = x,, or the thermometer reads the true bath temperature. Subtracting Eq. (5.160) from Eq. (5.159) gives (5.161) Notice that d (y  y,)/dt = dy/dt because ys is constant. If the deviation variables are defined to be the differences between the variables and their steadystate values, (5.162) x or X = x  x,
y or Y = y  y , Equation (5.161) becomes
(5.163)
dY dt
hA(X  Y ) = mC, Let mC,/hA = z, then Eq. (5.164) becomes dY dt Taking the Laplace transform of Eq. (5.165) gives X ( s )  Y ( s ) = z[sY(s) 01 xY=z
(5.164)
(5.165) (5.166)
143
Rearranging Eq. (5.166) gives (5.167) The parameter z is called the 'time constant' of the system and has the units of time. The expression on righthand side of Eq. (5.167) is called the transfer function of the system. Any physical system for which the relation between Laplace transforms of input and output deviation variables is of the form given by Eq. (5.167) is called a firstorder system. Synonyms for firstorder system are firstorder lag and singleexponential stage. The naming of all these terms is motivated by the fact that Eq. (5.167) results from a firstorder linear differential equation, Eq. (5.165).
Example 5.7 A thermometer, initially at 30 "C, is moved at time t = 0 into an air stream at 50C. If the thermometer reads 4254C at the end of 10 s, what is its time constant? When will the thermometer reading be 45 "C? Assume the steadystate gain to be unity. Solution Here, x,, = y,, = 30 "C, magnitude M = 50  30 = 20 "C. Since a thermometer is a firstorder system and is subjected to step input, therefore the equation is
Here, Y(t) = y  y,, = 42.64  30 = 12.64. Therefore, Eq. (1) becomes 12.64 = 20(1 elW' and z (time constant) = 10 s. When the thermometer reads 45 "C, then Y(t)= 45  30 = 15"C and the time required to read 45 "C is 15 = 20( 1  e'"'), therefore t = 13.86 s.
Note The input is subjected to a step change of magnitude M , i.e., X ( t ) = M and X ( s ) = M/s. The transfer function is
X(s) Therefore
yo =
(1 + 7s)
1 M Y ( s )= (1+ sz) s Separating by partial functions and solving, we get Y(t)IM = 1  e"'.
Exercise 5.2 A thermometer subjected to impulse change is initially at 30C and is moved at time t = 0 into an air stream at 50C. At what time with the thermometer read 42.64 "C, if the time constant is 10 s?
144
Hint T y this problem with the following output response function: Y(t)/M = Vze"'. r
Exercise 5.3 A thermometer subjected to ramp change is initially at 30 "C and is moved at time t = 0 into an air stream at 50 "C. If the thermometer reads 42.64 "C at the end of 10 s, what is its time constant? When will the thermometer reading be 45 "C? Assume the steadystate gain to be unity. Hint In this problem, the response function is Y(t)/M = (t  7). Example 5.8 A thermometer having a time constant of 0.2 min is at a steadyAt state temperature of 0 "C. time t = 0, the thermometer is placed in a temperature bath maintained at 100"C. Determine the time needed for the thermometer to read 40 "C. Solution
100 ... Y ( s )= =
s
Y ( s ) = 100
(: $4
: ~ ( t=)(1  e  5 f ) .
We know that Y(t) = 40  0 = 40 "C : 1 e5t = 0.4 . e5r = 0.6
= ln(0.6)
: .
t = 0.102 min
145
pLbJ
Fig. 5.10 Onedimensional heat transfer
Since the original temperature is uniform, and every part of each wall surface is subjected to the same conditions, no heat will travel parallel to the surface and the temperature will be constant in any plane parallel to the surface (Lea,heat is conducted in one dimension, only in the xdirection). Thus the temperature distribution can be specified in terms of a single coordinate, denoted by x in Fig. 5.10 and the discussion can be restricted to a section of unit area through the wall. Considering thermal equilibrium of a slice of the wall between a plane at a distance x from the heated surface and a parallel plane at x + tir from the surface gives the following balance (where T is the temperature in K and k is the thermal conductivity): Rate of heat input at a distance x and time t per unit area (5.168)
146
+ 6r
(5.169)
This second term is obtained considering that x is a constant (applying Taylors theorem). Similarly, two output rates can be determined from the corresponding input rates by applying Taylors theorem at constant t and variable x . Rate of heat output at a distance x + 6x and time t per unit area
(5.170)
Rate of heat output at a distance x
+ 6x
and time t
+ 6t
(5.172)
+g6t)a.x
(5.173)
dT dt
(5.174)
Taking the average input and output rates during the time interval 6t gives Heat input =  k 
dT dx
1d T +  (  k  ddx 6t 2&
6t
(5.175)
Heat output =
(5.176)
147
kg2
d2T
1 + kSt d3T
dx2dt
d pepT
at
(5.177)
Taking the limit of Eq. (5.176) as 6t + 0, the central term vanishes; introducing the thermal diffusivity, Eq. (5.177) becomes (5.178) which is the required model equation. The following remarks are in order: 1. In the above derivation, it will be seen that the same Eq. (5.178) results if the input and output rates at time t are used without the added complication of using average rates. 2. This simplification is consistent with the findings in the singlestage unsteadystate extraction model. But until we are confident about which simplifications are justified and which are not, it is advisable to allow for all possible correction terms as above. 3. Care must be taken in each term to write down the correct number of infinitesimals (SX, St) since these govern the terms that will be rejected in the step from Eq. (5.177) to Eq. (5.178).
Example 5.9 The temperature distribution across a large concrete 50cmthick slab heated from one side, as measured by thermocouples, approximates to the following relation: T = 60  50x + 12x2+ 20x3 15x4,where'T is in degree Celcius and x is in metres. Considering an area of 5 m2, compute the following: (a) the heat entering and leaving the slab in unit time, (b) the heat energy stored in unit time, (c) the rate of temperature change at both sides of the slab, and (d) the point at which the rate of heating or cooling is maximum. Take the following data for concrete: thermal conductivity k = 1.2 W/m"C and thermal diffusivity a = 1.77 x m2/s. Solution Here, T = 60  50x + 12x2+ 20x3  1 5 ~ ~ dT .. = 50 + 24x + 60x2  60x3 dX
*
d2T = 24 + 1 2 0  1 8 0 ~ ~ ~ dX2
(a) Q = kAdT
dX
= kA(50
148
u[g]
X=O
Q =a[$]x=OS ,
= (1.2 x 5)(50
+ 12 + 15  7.5) = 183W
(c) Now
at
[g]
x=o
= 1.77 x
+ 60  45) = 69.03 x
"(31
120  3 6 0 = 0 ~
.:
x = 0.33m
EXERCISES
5.1 Summarize the steps involved in mathematical modelling. 5.2 A closed vessel of total surface area 50 m2 is heated through this surface by condensing steam at a temperature of 100C. The vessel is charged with 1000 kg of liquid having a heat capacity of 25 12 J k g K at a temperature of 25 "C. If the
149
process is controlled by a heattransfer coefficient 142 W/m2K, model the system in dimensionless form and find the temperature of the liquid after 2 h. 5.3 20,000 kg/h of acid having specific heat of 0.5 enters a wellagitated tank containing 20,000 kg of acid and leaves at the same rate in a steadystate process. The inlet and outlet temperatures of the acid are 443 K and 363 K, respectively. This is maintained by cooling water, flowing at 16,000 k g h having a heat capacity of 4187 J k g K. The inlet temperature of water is 298 K. (a) Calculate the outlet temperature of water. (b) If cooling water suddenly fails, what is the temperature of the acid in the tank after 60 min? 5.4 Two concentric cylindrical metallic shells having radii u and b are separated by a solid material. If the two metal surfaces (inner and outer) are maintained at different constant temperatures To and T,, respectively, what is the steadystate temperature distribution within the separating material? Both the temperature and the heatflow rate per unit area are functions of the radius. (a) If the temperature in the solid material is T at any radial position r, arrange the model equation in the following form:
T  T o  ln(r/u) T,  To ln(b/a)
(b) Mention the significance of the dimensionless groups in the above model. 5.5 In a steadystate operation, 5000 k g h of sulphuric acid of specific heat 0.35 enters a wellagitated tank containing 5000 kg of H2S0, and leaves at the same rate. The inlet and outlet temperatures of acid are 170C and 90"C, respectively. This is maintained by circulating cooling water at a flow rate of 4000 k g h through an immersed cooling coil. The inlet temperature of water is 25 "C. (a) Calculate the outlet temperature of water. (b) If cooling water suddenly fails, what is the temperature of the acid in the tank after 30 min? 5.6 A transverse fin of triangular cross section is used for enhancing cooling of a fluid flowing through a pipe. The radius of the pipe is 50 mm, the radius of the rim of the fin is 150 mm, and the coordinate x is measured inwards from the rim of the fin. The temperature variations normal to the central plane of the fin can be neglected, assuming that the fin is thin. The thermal conductivity of the fin is 382 W/mK, and the surface heattransfer coefficient is 11.36 W/m2 K. Denoting temperature by T"C, with TA"C representing the air temperature, develop a mathematical model for transverse cooling of the fin from the pipe axis in the form of a differential equation. 5.7 A graphite electrode 0.2538 m in diameter passes through a furnace wall into a water cooler (which takes the form of a water sleeve). The length of the electrode between the outside of the furnace wall and its entry into the cooling jacket is 0.4048 m; and as a safety precaution the electrode is insulated thermally and electrically in this section, so that the outside surface temperature of the insulation
150
does not exceed 58.89"C. If the lagging is of uniform thickness and the mean overall coefficient of heat transfer from the electrode to the surrounding atmosphere is taken to be 1.701W/m2K of the surface of the electrode, and the temperature of the electrode just outside the furnace is 1582.2"C, estimate the duty of the water cooler if the temperature of the electrode at the entrance to the cooler is to be 158.89"C. The temperature of the electrode may be assumed uniform at any cross section. The surrounding temperature is 25.1 "C. The thermal conductivity of graphite can be estimated using the following relationship:
k , = k,  a T where k, = 178.46 W/mK and a = 0.0628; T is in K. 5.8 Two thinwalled metal pipes of 25 mm external diameter are joined by two flanges of 12.5 mm thick and 100 mm in diameter. The pipe is carrying steam at 120C. The conductivity of the flange metal is k = 380 W/mK and the exposed surfaces of the flanges lose heat to the surroundings at T , = 16"C according to a heattransfer coefficient, h = 11.4 W/m2K. Develop a mathematical model for temperature in the standard form of a differential equation under steadystate conditions. 5.9 Consider a section of a flat wall of thickness L m, whose height and length are both large compared to L. If the temperature distribution is uniform throughout the wall at t = 0 and heat is supplied at a fixed rate per unit area to one surface, develop a mathematical model for temperature distribution as a function of position and time in the differential form. 5.10 Obtain a preliminary estimate of the diameter of the tubes to be installed in a fixedbed catalytic reactor that is to be used for the synthesis of vinyl chloride from acetylene and hydrogen chloride. The tubes are to contain mercuric chloride catalyst deposited on 2.54mm particles of carbon and the heat of the reaction is to be employed to generate steam at 121 "C for the remainder of the process. To do this, the temperature of the inside surface of the tubes should be constant at 149"C. The effective thermal conductivity of the bed is k, = 6.92 W/mK, the heat of reaction at bed temperature is AHR = 1.075 x lo8 J h o l , and the bulk density of the bed is P = 288 kg/m3. The rate of reaction is a function of temperature, concentration, and the various adsorption coefficients, but for the preliminary estimate, assume that the rate of reaction can be expressed as r = 5.89 x lo' (1 + 0.02448T) kmol/(kgcatalyst s), where Tis the temperature in "C above a datum of 93.3 "C. The maximum allowable catalyst temperature to ensure a satisfactory life is 252C. 5.11 Flanges 12.5 mm thick and 200 mm in diameter are used to join two thinwalled metal pipes of 50 mm external diameter. The pipe is carrying steam at (kgcatalyst s) 120C. The conductivity of the flange metal is k = 380 W/mK and the exposed surfaces of the flanges lose heat to the surroundings at T I = 26 "C according
151
to a heattransfer coefficient, h = 11.4 W/m2K. Develop a mathematical model for temperature in the standard form of a differential equation under steadystate conditions. 5.12 The total surface area of A m2 of a closed kettle is heated through this surface by condensing steam at a temperature of T, K. The kettle is charged with M kg of liquid having a heat capacity of Cp J k g K at a temperature of To K. If the process is controlled by a heattransfer coefficient h W/m2K, how does the temperature of the liquid vary with time? 5.13 In the unsteadystate heat loss through a maturing tank model (Sec. 5.3), the lagging area is neglected. If the lagging area is also included, how do the model equation and the solution change, and why? 5.14 A thermometer having a time constant of 0.05 min is at a steadystate temperature of 20C. At time t = 0, the thermometer is placed in a temperature bath maintained at 90 "C. Determine the time needed for the thermometer to read 50 "C. 5.15 Heat is supplied at a fixed rate of Q W/m2 to one face of a large rectangular slab of density p kg/m3, specific heat Cp J/kg K, and conductivity k W/m K. Find the variation of surface temperature with time during the early stages of exposure. 5.16 Two concentric spherical metallic shells of radii a and b (where b > a) are separated by a solid thermal insulator. The inner shell is kept at a constant uniform temperature T , by a steadystate distributed source of heat. The temperature of the outer shell is found experimentally to vary with angular distribution from a fixed point on the surface. The distribution can be specified as T = T2 + T3 cosf3 + T4 cos28. How should T,, T2,T3,and T4 be plotted against heat input so that the thermal conductivity of the insulator can be found from a straightline plot of results for different rates of heat input? 5.17 A solid rectangular slab at a uniform temperature To has its four edges thermally insulated. The temperature of one exposed face is raised to and maintained at T,, whilst the temperature of the other exposed face is held constant at To. Determine how the temperature varies with time.
CHAPTER 6
MODELS IN FLUIDFLOW 0 PERATIONS
In this chapter, systems of fluidflow operations are modelled (starting from the simple continuity equation to the most complicated flow through a packed bed column). The focus is on model formulation for these systems. In addition, various models on momentum transfer such as laminar flow in a narrow slit, flow of a film on the outside of a circular tube, different coordinate systems for the classical falling film problem, annular flow with the inner cylinder moving axially, flow between concentric cylinders and concentric spheres, creeping flow between two concentric spheres, the working model equation for a paralleldisc viscometer, and momentum flux for creeping flow into a slot are discussed. The shell balance approach is used for formulating these models.
153
Strictly, the velocity component has only the value u at point A , and the velocity through the face will vary slightly from u. This is a small correction, which will disappear at the end of the derivation, and will be ignored.
C G
x
V
If one wants to check the above statement, all velocity components can be considered as values averaged over the relevant face, and when the limit is taken as the size of the element shrinks to zero, each average velocity tends to its point value at A . Thus, Input rate through ABCD = pu @ 2% (6.1) Input rate through ADHE = pv & & (6.2) Input rate through AEFB = pw 6x @ (6.3) Once again, the output rates are obtained from the corresponding input rates by applying Taylors theorem: Output rate through EFGH = Pu@& + Z ( P ~ @ & ) ~ X
(6.4)
(6.6)
(6.7)
The mass of fluid contained in the element at time t = p 6 ~ @ & The rate of increase of mass contained in the element =  ( p & dt Input  output = accumulation
@&I
(6.8)
154
(pu) + (pv) + (PI +  = 0 d d d dP (6.10) dX dY dZ dt Taking the limit of Eq. (6.10), as the size of the element tends to zero, leaves it unaltered, because all surplus terms have been ignored at an earlier stage in anticipation of this result. Each term of Eq. (6.10) can be differentiated as a product and rearranged to give
pdx
au + pav + p dw +
dy
dz
u
ax
ap + vap + w+  = 0 ap ap
dy
dz
dt
(6.1 1)
DP dP = u  dP + v dP + wdP + 
(6.12)
P + d U + d v ; d w  0 lD (6.13) p Dt d x d y d z which is the required continuity equation for a compressible fluid. For an incompressible (constantdensity solution) fluid,
DPo =
Dt
(6.14) d y dz The following methods are used for solving partial differential equations (Jenson & Jeffreys 1963; Mickley et al. 1979; Antia 1991): 1 Method of images (error functions) . 2. Method of separation of variables (orthogonal functions usage) 3. Laplace transformations 4. Finite Fourier transforms 5. Fourier transforms (discrete) 6. Hankel and Mellin transforms 7 Numerical methods . (i) Stepbystep method for initial value problems (ii) Iteration (organized method of trial and error)
ax
.. du + dvo dw + =
*
155
(iii) Liebmanns method or method of squares for boundary value problems (iv) Relaxation methods for boundary value problems (v) Orthogonal collocation (method of weighted residuals) Select a suitable method from the above and solve the model equation (6.14).
+ i ,
r
+ Sr
zr
V
+ 2nrS.V
= 2mSrU  D2nrSz
a
&
156
+ ((2mUSr)Gz
a2
 0 dU 6 2 2m
dr
d * (2mU6r)6z dZ
(6.15)
(6.16)
(6.17)
(6.18)
. dU d2U ..  = D[ 2 37 ..
I,;
+
IdU
(6.19)
In these expressions P = p + pgh = p  pgz. (b) Ratio of the average velocity to the maximum velocity for the flow. (c) The slit analogue of the HagenPoiseuille equation. Solution The schematic diagram is shown in Fig. 6.3.
157
4xz x
4UlZd
(a) Momentum flux and velocity distributions: We postulate that v, = v,(x), v, = v y = 0, p = p(z). The rate of zmomentum in of tmomentum out across the surface across the surface at z = 0 is (WAX)@, a t z = ~ i(w~)@,I,=~, s oftmomentuminacrossthe surfaceatxis (wL)cD,I,, of zmomentum in across the surface at x + Ax is (WL) @ , h, and the gravity ,, force acting on the fluid in the zdirection is ( W b L)pg. For steady flow, the momentum balance over a thin shell of fluid will be
lz=o,
I
(6.20)
+i
= (wL)(@xzl,
+ ( W ~ ) ( @ , l z = @&J 0
+ (WAxL)pg = 0
158
When this equation is divided by (W Ax L ) , and the limit taken as Ax approaches zero, we get
(6.22)
But,
ax,= ZXZ+ p v ,
=p
(6.23)
+ 2 , + pv,v,
=p
 2p h
dz
+ pv,v,
(6.24)
m.(6.22) simplifies to
(6.25) (6.26)
 z  IP(0)  P d O ) }  I P W )  P d L ) } drx
dx
L
But, P = p
+ pgh = p  pgz
= modified pressure.
(6.27)
(6.28)
, Boundary condition: at x = 0, Z = 0
: c, = 0 .
Hence,
(6.29)
(6.30)
159
.=(
P(0)  P(L) x 2 Lp  + c2 2
(6.31)
(6.33)
(6.36)
 vz x=o ~
= P(0:EIp(L))B2
(6.37)
<v,>  2 3
(6.38)
II
W
B
pv,dxdy
(6.39) (6.40)
160
(6.41)
(b) Obtain an expression for the mass rate of flow in the film. Solution
r
Ar
4
z=L
Fig. 6.4 Film flow over a circular tube
(a) Velocity distribution in the falling film: We postulate that v, = vZ(r), = vg = 0, and p = p(r). The rate of zmomentum v, in across the surface at z = 0 is ( 2 m A r ) 0 z l z = 0 ,of zmomentum out across the surface at z = L is prnbr)azz = L , of zmomentumin across the cylindrical surface at r is ( 2 mL ) cDn , of zmomentum in across the cylindrical surface at r + Ar is , (2mL)cDnIA,, and the gravity force acting on the fluid in the zdirection is (2nr Ar L)pg.
161
For steady flow, the momentum balance over a thin shell of fluid will be Rate of momentum in by convective transport
I{
(~Z~LI(Q~I~
 Q n l r + A r ) + ( ~ ~ A ~ I ( Q ~ ~ I zZ z= O) ~z ) =L
(6.42) When this equation is divided by 2~ Ar L, and the limit taken as Ar approaches zero, we get
+ (2mAr L)pg = 0
(6.44)
But,
cp, = z ,
+ pvrvz= 
p L
d V
dr
+ pvrvz
d2
(6.45) (6.46)
0, = p
d + z, + pvzvz = p  2 p V + pvzvz 3
So, from the postulates and Eqs (6.45) and (6.46), Eq. (6.44) simplifies to
(6.47)
: .
7,
Pgr =2
c,
r
(6.48)
162
Hence,
=pgr
(6.50)
7, =
p avz
ar
(6.51)
v, = + 4P Boundary condition: at r = R, v, = 0
(6.52)
(6.53)
(6.54)
(b) Massflow rate in the film:
= Massflow rate (w)
(6.55)
(6.56)
(6.57)
pg6* x 1 v, =     / l 6 . 2 6
[ (^,I]
cosp
163
(b) Use this distribution to get average velocity. Solution The schematic diagram of the system is shown in Fig. 6.5.
AI '
z=o
zF, = (pgc0sp)X
zEz # 0. But, at X = 6, ,z ,
+ c,
= 0.
(6.58)
: c, =  (pg cosp>s .
(pgcosp)(X  6) By Newton's law of viscosity,
=
txz
(6.59) (6.60)
: ziz .
=  p L
a,
a
x2  6 i ] t c2
at X = 0, v, = 0
(6.61)
vz =
(6.62)
Boundary condition:
: c2= 0 .
:. v, =     ( i2 ] pg62 [i 1 )
p
2 6
164
rW r 8
(6.65)
l w l '0 T d y 0 d
(6.66)
(6.67)
z=o
z=L
(a) Velocity distribution in the narrow annular region: We postulate that v, = v,(z), vr = vo = 0, and P(0) = constant (the modified pressure is constant from z = 0 to z = L). The rate of zmomentum in across the surface at z = 0 is (2727 At)0 , of zmomentum out across the surface at z = L =o, is ( 2 m A r ) Q ) z I Z = Lof zmomentum in across the cylindrical surface at r , is (2727 L )@n r , and of zmomentum in across the cylindrical surface at r + Ar is
(2mL)
r=Ar*
165
For steady flow, the momentum balance over a thin shell of fluid will be Rate of momentum in by convective transport rate of momentum out by convective transport
I{
1
(6.68)
+I
(2nrL)(o,)r
 ' , I r + A r ) + (2nrAr)(o,/z=ooulz=r) =
When this equation is divided by 2 z A r L and the limit taken as Ar approaches zero, we get (6.69)
L But,
Qrz = 2,
I'
dr
(6.70)
dV + pvrvz=  p 2+ pv,vz
(6.71)
vz + pvzvz (6.72) dZ So, from the postulates and Eqs (6.71) and (6.72), Eq. (6.70) simplifies to
0, = p
d(r7jz) = O
+ 2, + pv,v, = p  2p
dx
(6.73) (6.74)
By Newton's law of viscosity, (6.75) From Eqs (6.74) and (6.75), we get (6.76)
166
.:
P O c, = 
In ( Ilk)
(6.77)
(6.78)
.:
(6.79)
(6.80) (6.81)
2nPvo
ln(Ilk)
kR
[rln(R)  rln(r)]dr
(6.82)
(6.83)
(c) Viscous force acting on the rod: The viscous force acting on the rod over the length L is
(6.84)
=2nRL
[1;;)) A]
~
.*.
F=
2nLp vo
~
In( Ilk)
(6.86)
167
R, respectively. The angular velocities of rotation of the inner and outer cylinders are R, and R, , (a) Determine the velocity distribution in the fluid and torques on the two cylinders needed to maintain the motion. (b) Repeat part (a) for two concentric spheres. Solution (a) Velocity distribution in coaxial cylinders: We postulate that ve = ve ( r ) , V , = V , = 0, and p = p ( r , z ) With these postulates, the equation of continuity is identically satisfied and the components of the equation of motion become
rcomponent :
7= dr
v2 e
dP
)]
(6.87)
dP zcomponent: 0 =  + pg dZ For this problem we need only the Bcomponent of the equation of motion,
By solving differential equation (6.87), we get C,r C2 ve=+(6.88) 2 r Boundary conditions: (a) at r = kR, ve = R, (kR) ; (b) at r = R, vo = R, ( R ) . Applying these boundary conditions and solving for C , and C,, we get
c, =
and
2(R,  R , k 2 ) (1  k 2 )
(6.89)
c, = R2(Ri  R , ) k 2
(1  k 2 )
(6.90)
kR
+ (R;  R,)
(6.91)
168
(b) Velocity in concentric spheres: We postulate that v B = v B ( r , 81, v, = V e = 0, and p = p ( r , 8) .With these postulates, equation of continuity is identically satisfied and the components of the equation of motion become J rcomponent: 0 = P
dr
(6.92) (6.93)
1JP 8 component: 0 =  r%
$component: 0 = For this problem we need only the @component of the equation of motion. Suppose
(6.95)
(6.96) From the differential equation (6.96), we get (6.97) Equation (6.97) is an equidimensional equation. Assume a trial solution
f ( r )= rn
Therefore Eq. (6.97) becomes
(6.98)
: f ( r ) = C,r + c . 2
r
(6.100) (6.101)
Boundary conditions: (a) at r = kR, v9 = Q i ( k R ) ; (b) at r = R , v B = Q , ( R ) . Applying these boundary conditions and solving Eq. (6.101) for C, and C,, we get
c, = (Q,
 Qik3)
(1  k 3 )
(6.102)
Models in FluidflowOperations
169
and
c 2
R 3 ( R i R , ) k 3 (1  k 3 )
(6.103)
= (R,  R i k 3 ) (1  k 3 ) kR
kR
+ (Ri  R,)
(6.104)
dP
de
= B, B = ,U
where B is the separation constant, and solve the two equations to get
B=
44
21n( cot
);
, u(r) =
(4p)ln[cot ( ~ / 2 ) ]
'
p2
[(li)+(l!)k]
where P , and P, are the values of the modified pressure at 8 = E and 8 = n  E , respectively. (d) Use these results to get the massflow rate
170
Solution
2E
Fig. 6.7 Creeping flow between two concentric spheres. (Inner sphere radius = kR, outer sphere radius = R. Both spheres are stationary.)
We postulate that vg = vg (r, O), v, = v4 = 0, and P = P(@. (a) Velocity distribution: Let
(6.105)
*
dt
+ 1 (2  p
r 2 dr
Using (6.107) and Eq. (6.106), we find that v, sin 8 = u(r) satisfies the continuity equation, where u(r) is a function of r to be determined. (b) Equation of motion: The @component of the equation of motion becomes
(6.109)
171
ae
dP (i) B = sine
= B (separation constant)
(6.111) (6.112)
ae
(6.113)
(6.114)
(6.1 15)
.*.B = p2  4
21n( cot:)
(6.1 16)
(ii) B = p
r [ : ] r [: z f)
(6.1 17)
Solving the differential equation (6.1 17), we get (6.118) Boundary conditions: (a) at r = kR, u ( r ) = 0; (b) at r = R, u(r) = 0 (since both spheres are stationary). Applying these boundary conditions and solving Eq. (6.1 18) for C , and C,, we get
c, = (BR2k)
(2p) and
(6.1 19)
c, =  BR( 1 + k )
(2p)
(6.120)
172
Therefore, From Eqs (6.1 18)(6. l20), we obtain (6.121) But, from Eq. (6.1 16),
B=
p2
2 In( cot
):
(6.122)
(6.123) (6.124)
jkR4 r ) r sin 6 dr
(6.126)
Illustration 6.8 A fluid, whose viscosity is to be measured, is placed in the gap of thickness B between two discs of radius R . One measures the torque T, required to turn the upper disc at an angular velocity R. Develop the formula for deducing the viscosity from these measurements. Assume creeping flow. (a) Postulate that for small values of R the velocity profiles have the form vr = 0, vz = 0, and V, = r f ( z ) : why does this form for the tangential velocity seem reasonable? Postulate further that P = P(r, z). Write down the resulting simplified equations of continuity and motion. (b) From the 6 component of the equation of motion, obtain a differential equation forflz). Solve the equation forflz) and evaluate the constants of integration. This leads ultimately to the result v, = Qr(r/B).
173
Solution Fluid with viscosity p and density p is held in place by surface tension
Disc at z = B rotates with angular velocity R
Disc at
= 0 is fixed
Fig. 6.8 Paralleldisc viscometer. (Both discs have radius R; R >> B.)
We postulate that v, = @(z), vr = v z = 0, and P = P(r, z). (a) Simplified equations of motion: With these postulates, equation of continuity is identically satisfied and the components of the equation of motion become rcomponent:
 = dr 7
v;
dP
@component: 0 = p dP zcomponent: 0 = 
d Z
(b) @component of equation of motion: The @component of the equation of motion is (6.127) Putting v, = rf(z) in Eq. (6.127), we get (6.128) On simplification, we finally get (6.129)
: f(z) = c,z + c . 2
Hence,
vg = @(z) =
(6.130)
(6.131) r(C,z + C2) Boundary conditions: (a) at z = 0, vo = 0 (b) at z = B , r = R, v8 = RR. From the BC and Eq. (6.131), we obtain
c =0 2
174
R c, = B
(6.132) (6.133)
v x = 4BWp
q(;I],
v y = vz = 0
at locations not too near the inlet. In the region outside the slot, the components of the velocity for creeping flow are 2w
x2y
These equations are only approximate in the region near the slot entry for both x 2 0 and x I 0. (a) Find the components of the convective momentum flux inside and outside the slot. (b) Evaluate xxcomponent of p v v at x =a,y = 0. (c) Evaluate xycomponent of p v v at x = a, y = +a. (d) Verify that the velocity distributions given in above equations satisfy the relation V . V= 0. (e) Find normal stress r X x at place y = 0 and on the solid surface x = 0. (0 Find shear stress T y x at x = 0. Solution
175
v, = W wp l 4B [
Outside the slot,
VX
($1)
+ y2)2
x3
1(*:
v y = v, = 0
(6.134)
="[ zwp ( x
1,
Vy
1)
V,
=o
(6.135)
(a) Components of the convective momentum flux: (i) Inside the slot,
P X V X
=P[
&[
($11
= 1
[;
3w
1
I}$(
136)
(6.137) (6.138) (6.139)
pv,vy = p,v, = 0
v y = v, = 0)
pvxv, = l[i.[. x3
p
7w c
(x
1
+ y2)2
I]
(6.140)
pv,vy = p v Y v X =  x5y
p
nw [ 2 w ( (x2 + y2)2
11'
(6.141)
]]
= P , V y = P , V Z = 0 (: v, = 0) .
176
(6.146)
9w2 16W2B2p
(6.147)
4w2 2 2 7rWap
2
(6.149)
=O
(6.150)
(6.151)
2 2 w a p7r2W2
(6.152)
v . v = (v,)
(i) Inside the slot,
a ax ax
+ (VJ
a aY
+ (vz)
az
(6.153)
4BWp
V,
a + (O) + (O)
ay
az
(6.154)
= 01
(6.155)
177
V..=?L[
ax
x3
nwp (x2 + y 2 ) 2
1)
(6.156)
+ 2 [  z [x 2 y
ay
1 1
(e) Normal stress
7 =4 ,
7 ,
+o=o
(6.157)
2 2 1
(6.158)
z ,
=  p 2:[4;p[l(;,l]}]=o 7,~y=o = 7= ~0 ,,
L.v,=f(Y>l
(6.159) (6.160)
=0
178
( f ) Shear stress 2 , at x = 0:
(6.164)
=  P [ $ [  [ nwp (x 2 x+yy 2 ) 2 2
1) $[$[
+
EXERCISES
6 1 Develop a model in the form of a differential equation for the conservation of .
mass of a flowing fluid considering the flow in three dimensions, and arrange it in the following form if the velocities in the x, y, and zdirection are u, v, and w, respectively:
 p + du _ +dv = od w lD + p Dt a x d y dz 6.2 A gas containing entrained mist of nonvolatile tar is located inside the cylinder of a reciprocating compressor. It is desired to determine the work required to compress the gas adiabatically and reversibly from its present pressure of 0.33 atm to a pressure of 1.0 atm. The following information is available: The gas: (a) Molecular weight: 24 k g h o l (b) Heat capacity at constant volume (constant): 25,960 J k o l K
179
(c) Initial temperature: 76.7 "C (d) Initial pressure: 3.34 x lo4 N/m2 (e) Final pressure: 1.01325 x lo5 N/m2 (f) Obeys the perfectgas equation of state. The tar: (a) The tar is always present as mist in the ratio 0.2 tar per lb of tarfree gas. (b) The volume of the tar may be neglected in comparison with the volume of the associated tarfree gas. (c) The temperature of tar is always the same as the temperature of associated tarfree gas. (d) Heat capacity of tar: 2093.5 J k g K The compression cylinder: (a) Initial cylinder volume: 0.01 13 m3 (b) Intial cylinder pressure: 3.34 x lo4 N/m2 (c) Final cylinder pressure: 1.01325 x lo5 N/m2 (d) The compression process is reversible and adiabatic in the sense that friction and heat transfer to or from the cylinder, piston, and associated machinery may be neglected. 6.3 A solid sphere of radius R is placed in an incompressible, inviscid fluid of infinite extent. The flow was initially uniform and parallel to the zaxis, flowing with a speed V, in the negative zdirection. Determine the velocity of the fluid after the sphere is placed in the flow and steady state has been achieved. 6.4 A fluid is flowing through a constantdiameter cylindrical pipe in turbulent regime. The density and velocity change in the axial direction of the pipe. Deduce the final working equation for this system by making suitable assumptions, starting from the total continuity equation. 6.5 An incompressible liquid is pumped into a gravityflow tank at a variable volumetric flow rate (F, m3/s). The height of the liquid in the vertical cylindrical tank is h m and the flow rate out of the tank is F m3/s. Develop a mathematical model for the rate of change of velocity with time. 6.6 Develop a mathematical model for the laminar flow of an incompressible, Newtonian liquid in a cylindrical pipe starting from the force balance on a microscopic system. 6.7 A fluid of constant density p kg/m3 is pumped into a coneshaped tank of total volume HnR2/3. The flow out of the bottom of the tank is proportional to the square root of the height h of the liquid in the tank. Develop the model equation describing the system. 6.8 A perfect gas with molecular weight M flows at a massflow rate W , into a cylinder through a restriction. The flow rate is proportional to the square root of the pressure drop over the restriction:
180
Wo = KO JP,  P where P is the pressure in the cylinder and Po is the constant upstream pressure. The system is isothermal. Inside the cylinder, a piston is forced to the right as the pressure P builds up. A spring resists the movement of the piston with a force that is proportional to the axial displacement x of the piston (F, = Kp).The piston is initially at x = 0 when the pressure in the cylinder is zero. The crosssectional area of the cylinder is A. Assume the piston has negligible mass and friction. (a) Develop the model equation describing the system. (b) What will the steadystate piston displacement be?
So far, we have discussed the models corresponding to transport phenomena (mass, momentum, and heat transfer). Though it is important to have a physical understanding of these three modes of transfer, ultimately it is the reaction that is the most important aspect in chemical engineering processes. In the earlier chapters on modelling, the reaction term is taken to be zero, focusing only on laws of conservation of mass, momentum, and heat. Depending upon the reaction kinetics (order of reaction and reactionrate constant) and the type of reactor, the reaction term in the conservation laws contributes significantly. Henceforth, various possible mechanisms and ways by which the reaction term contributes to the overall understanding of the physics of the system need to be fucused upon. Keeping these objectives in mind, this chapter focuses on modelling of reaction engineering systems, where along with the reaction, mass, heat, or momentum transfer also takes place simultaneously. The models discussed are the chemical reaction with diffusion in a tubular reactor, chemical reaction with heat transfer in a packed bed reactor, gas absorption accompanied by chemical reaction and two different problems on reactors in series.
182
D m2/s. Assume that there is no volume change during the reaction and steadystate conditions are established. Develop a mathematical model in the form of a differential equation for the concentration of A as a function of length along the reactor, and discuss the boundary conditions. Solution Take a coordinate x to specify the distance of any point from the inlet of the reactor section.
Entry section
A 1 
Reaction section
.
, , t
sx
Let c denote the variable concentration of A in the entry section (x c 0) and y denote the concentration of A in the reactor section (x > 0), as shown in Fig. 7.1. The concentration of A varies in the inlet section due to diffusion, in the reactor section due to diffusion and chemical reaction, but does not vary in the section following the reactor. A material balance can be taken over an element of length Sx at a distance x from the inlet in the reactor section At x At x + S x Bulk flow of A Diffusion of A
dY Ddx
dx
dx
As steadystate conditions are established, the accumulation in this case is zero. But the input must exceed the output to supply the reaction taking place within the element. Rate of removal of A by reaction = rate of depletion of A
= kysx
(since the reactor is of unit crosssectional area). Alternatively, this depletion term may be considered as either an output or an accumulation, and the general conservation equation applied directly:
183
Rate of input  rate of output = rate of depletion (7.1) Dividing by Sx and simplifying, and rearranging, gives
Similarly, since there is no chemical reaction, the material balance in the entry section leads to (7.3) dx2 dx Equation (7.3)can also be obtained from Eq. (7.2)by removing the reaction term and putting y = c. Equations (7.2)and (7.3)are both secondorder linear differential equations with righthand sides being zero, thus the complementary function is the complete solution in both cases. The auxiliary equation of Eq. (7.2)is Dm 2  u m  k = O
f ,/u2 + 4kD = ~ (fla)/2D 20 Similarly, for Eq. (7.3),
D d2c  Udc = 0
(7.4) (7.5)
:.
m =
Dn2  un = 0
(7.6)
a n(Dn
U)
=0
;[
+a)
+ Bexp
;[
(1
a)
(7.9)
where a= and
(7.11) which contains four arbitrary constants: A, B, a, P. The four boundary conditions are as follows:
c=a
1 + 4;:
(7.10)
+ Pexp(ux/D)
184
At x =  m O 3 C ,
= C ~
1. The first condition specifies the state of the feed stream. 2. The second ensures continuity of composition 3. The third, together with the second, is necessary to conserve the material at the boundary assuming that the diffusivities are equal in both sections. 4. The fourth forbids diffusion out of the reactor and is necessary as a conservation law for the section following reactor.
Example 7.1 A tubular chemical reactor of length 2 m and cross section 1 m2 is employed to cany out a firstorder chemical reaction in which a material A is converted to a product B. The chemical reaction can be represented as A + B. The m3/s. sl and the feed rate is 1 x specific reactionrate constant is 6.33 x The feed concentration of A (c,) is 0.1 kg/m3 and the diffusivity of A is assumed to be constant at 0.26 x lo4 m2/s. Assume that there is no volume change during the reaction and the steadystate conditions are established. Find the concentration of A at 1.4 m from the entrance with respect to the inlet concentration? Solution We know that the concentration along the length of the reactor is governed by the following equations:
y = Aexp  ( l +
[z 1+ [z 3
a) Bexp (1
a)
and
c=a
+ Pexp
; ;1 J
C = C ~
where a = d l + 4kD/u2 = 81.143. These equations contain four arbitrary constants: A, B, a, p. The four boundary conditions are as follows: At x =  w ,
(3) (4)
At x = O , c = y
dc dy At x = O ,  = dx dx
185
a = co
a+p=A+B
2p = A(l + a ) + B(l  a)
(10)
Eliminating a and
A=
2c0(a 1)
K
K
exp 
[ g]
(14)
Putting these values of A and B into Eq. (1) gives the final result as
(15) Therefore the concentration of A at a distance of x = 1.4m from the entrance of the reactor is
Y  = 1.037 x lo"
CO
kg/m3
186
synthesis of vinyl chloride from acetylene and hydrogen chloride. The tubes are to contain mercuric chloride catalyst deposited on 2.54mm particles of carbon and the heat of the reaction is to be employed to generate steam at 121 "C for the remainder of the process. To do this, the temperature of the inside surface of the tubes should be constant at 149 "C. The effective thermal conductivity of the bed, k, = 6.92 Wlm"C, the heat of reaction at bed temperature, AHR = 1.075 x lo8 J h o l , and the bulk density of the bed, P = 288 kglm3. The rate of reaction is a function of temperature, concentration, and the various adsorption coefficients, but for the preliminary estimate assume that the rate of reaction can be expressed as
r = r, (1 + A T ) where ro = 0.12, A = 0.024, and T is the temperature in degrees Fahrenheit above a datum of 200F (93.3"C). The maximum allowable catalyst temperature to ensure a satisfying life is 252 "C (Lea, T = 252  93.3 = 158.7 "C above the datum temperature). Solution The reaction rate based on unit mass of solid in the fluidsolid system is Y = 0.12 (1 + 0.0247'). Table 7.1 shows the data generation.
Table 7.1
T ("C)
0
0.589
100 2.031
121 2.33
141 2.614
149 2.73
252 4.214
93.3 1.933
r=
c,(1 + C J )
kmoUskgcatalyst
a C, = 0.02448 Therefore the present relation between r and T is ( 1 + 0.024487') kmoUskgcatalyst r = 5.89 x where A = 0.02448, r0 = 5.89 x and T is the temperature in "C above the datum of 93.3 "C. Consider Fig. 7.2 which illustrates the following additional symbols describing the process: G is the massflow rate of fluid in the reactor section in kgls m2, R is the tube radius in m,x is the radial coordinate, z is the axial coordinate from inlet, and Cp is the heat capacity of the gas in J k g "C.
187
Taking a heat balance for an element of thickness Sx at a radial distance of x from the tube axis, and a distance z from the entrance of the tube, we get Input =  k e ( 2 n x & ) 
dT
dx
+ G(2nx6x)CPT
(7.16) (7.17)
Rate of reaction heat = (2nx6xSz)p.4HRr The unit of each term is J/s = W. The output is given by
(7.18) Accumulation = 0 (because the process is at steady state) Input  output = accumulation  heat of reaction Dividing throughout by 2 r k c x S z 6 x gives (7.19) Equation (7.19) is a wellknown partial differential equation expressing the relationship between the temperature and the dimensions of the reactor (twodimensional pseudohomogeneous model for packed beds). If, for a preliminary estimate, it is assumed that the temperature of the bed reaches a maximum at all radii, at the same distance z from the reactor entrance
188
(i.e,, with axial dispersion neglected), then at this radial section of the bed, d T / d z will be zero even though the actual temperatures will vary with x. The temperature will be maximum at the tube axis and this must not exceed 252C (to ensure a satisfactory life of the catalyst). Hence at the tube axis, d T / d z will also be zero (symmetry condition at x = 0), but will have a finite value at all radii greater than zero. Hence the partial differential equation (7.19) becomes an ordinary differential equation at this particular value of z. That is, (7.20) Equation (7.20) can be easily converted to a Bessel equation of zeroth order, x 2 d2Y + x dY  ( x 2 + k 2 ) y = 0 d x h
and solved by the method of Frobenius (solution by series using indicial equations). But in the present problem, it will be solved using Laplace transformation. Equation (7.20) can be rewritten as (multiply with x ) (7.21) Taking Laplace transforms, we get (7.22)
I:[
L
 = sT(s)  T ( 0 )
(7.23)
(7.24)
(7.25)
(7.26)
T'(S)[s'
'TroA]
(7.27)
189
(7.28)
P
(s2
s2+Q
+ Q)s2
(7.29) (7.30)
Equation (7.31) is of the form dyldx + My = N , which can be solved by the integrating factor (IF) method.
IF = exp(1Md.x) = exp(,t.)
s
+Q
J G d s
+ Q)
+ C,
(7.3 1)
(7.32) Let
P
I =JS2JfidS
Put
s = &tanB=
ds = &sec2Bd6
=
P 1 ... I = 
Q sine
PJs2+e Q s
+Q
s
c 3
(7.33)
(7.34)
190
which is a Bessel function of zeroth order and first kind. Equation (7.35) becomes
1 T = C3J0(x&)  A where C3 is an arbitrary constant, which can be evaluated as follows: BC: at x = 0, T = 158.7 "C
j158.7 =
(7.36)
C,Jo(O) 
1 A
J,(O) = 1
j158.7 =
1 C3  A
But
A = 0.00248 1 0.002448
a 158.7 = C ,
Now,
Q=
0.02448
>
Jis = 80.32
(7.37) (7.38)
191
Using the table of Bessel functions of zeroth order, we get R = 1.W80.32 = 0.01929 m = 19.29 mm. For safety, the diameter of the tubes that would be installed in the reactor should be less than 38.58 mm, as for this diameter the cooling rate would be just sufficient to prevent the temperature of the catalyst at the centre of the tube from exceeding 252 "C. Hence tubes of 36.7 mm diameter are recommended (5% safety).
Exercise 7.1 Solve Eq. (7.20) of the above model using the method of Frobenius and compare the end result.
Gas phase
We make the following assumptions: 1. The film is assumed to be of uniform thickness L. 2. Although it is a poor assumption which depends upon inlet conditions (end effects), the parabolic velocity distribution v(x) will be assumed to exist right at the inlet and remain unchanged throughout the length of the column (z) (fully developed flow).
192
3. The gas is assumed to be pure so that there will be no gas phase resistance . , and the surface concentration of A in the liquid will be constant at c 4. Variations of v and c in the ydirection are neglected.
For any element of the liquid (SxSz), as shown above, to be in equilibrium, the amount of A carried in the zdirection by the bulk flow plus the amount difising in the xdirection must be sufficient to supply the chemical reaction proceeding within the element. Expressing this fact symbolically (mass balance for unity), considering a differential region Sx S. in the liquid phase, Input rate of A = Output rate of A
Consumption rate of A (depletion) by a firstorder reaction in differential volume is given by kc8xS.z mol/s, where k is the firstorder reactionrate constant. At steady state, Input rate of A = output rate of A  consumption rate of A Substituting,
(7.39) Substituting v = V[1  ( x / L > ] , Vis the maximum velocity (at x = 0), (7.40)
193
vessels that will give the maximum yield of the product B. The specific reactions  l and k, = 8.33 x lo4 sl at the temperature of rate constants are k, = 1.67 x the reactors, and the fluid density is constant at 961 kg/m3. Solution The schematic diagram of the system of reactors in series is shown in Fig. 7.4.
Q= 1.311x
m3/s
Volumetric flow rate of fluid, Q = 1.26/961 = 1.31113 x m3/s. Let us assume that, in general, the concentration of A leaving the vessel n is cA,,. The material balance over stage n for component A:
QC.4,nl
 Q c A ,= VklCA,n ~
(7.41)
(7.42)  CA,n = klCA,ne where 8 = V/Q is the mean residence time or holding time in each reactor. Similarly, for component B, the material balance is
CA,nl
(7.43)  CB.n = k2CB,n8 klCA.ne The solution of Eq. (7.42) is obtained by the finite difference method. Thus, let a = k18 and p = k,B. Then Eq. (7.42) becomes
B,nl
(l + a)CA,n  CA,nl = Putting Eq. (7.44) into operational form, [E(1 + a )  l]CA,nl = O
(7.44)
194
= Ml/$
(7.45)
= Mlpy
(7.46)
cB,n(l
(7.48)
[JW+ PI  l l c B , n  l
cB,nl
= ffM1p;
(7.49)
(7.50)
where p2 = V(1 + P) and M , is constant. The particular solution of Eq. (7.49) is given by
(7.51)
The complete solution is a sum of the complementary solution and the particular solution.
CB,nl
= M2p2
n1
M,p;
Pff
(7.52)
(7.53)
Since the initial feed to the reactor is pure A at n = 0, cA= cA,o, and cB = 0 (for From Eq. (7.46), constant M , and M,).
A.0
= Mlp!
A,O
(7.54)
195
(7.55) (7.56)
= acA,O
Pa
[P;  p;1
(7.57)
We know that a = k16 and p = k26. Therefore, p1 = V(1+ k,B) and p 2 = V(l + k26). (7.58)
In the present problem, n = 2 (two reactors in series) and k , ~ , , ~ / ( k , kl ) f 0, and hence (7.60)
ae=
k,
4 i 2
3 2  1
 k2 3
K
2
sl
k , = 1.67 x e = 421.208 s
sl
I
= 0.5523m3 V = Q6 = 421.208 x 1.31113 x Therefore the volume of each vessel = 0.5523 m3 = 552.3 L.
Example 7.2 In a proposed chemical process, 1.26 kg/s of a pure liquid A is to be fed continuously to the first of the battery of n equalsized stirred tank reactors (CSTR) operating in series. If all the tanks are to be maintained at the same constant temperature so that the chemical reaction
A  b B k Z C
196
will take place, estimate the minimum number of tanks required for maximizing the yield of the product B. The volume of each tank is 750 L and the specific 4 1 sl and k2 = 8.33 x 10 s at the reactionrate constants are k, = 1.67 x temperature of the reactor, and the fluid density is assumed to be constant at 96 1 kg/m3, Solution V=QB
0.6 = 1.31113 x
9 = 457.62s
 k19)"  (1  k29)"1 k2  kl Differentiating Eq. (1) with respect to n (to determine the minimum number of stages required), we get
CB,n
= [(1 kl
 kle)" log(1
k19)
(2)
+ (1  k2@"
log(1 + k29) = 01
to get the minimum number of reactors required, dc,,,/dn = 0. Therefore, [(1  k19)"log(1  k19)+ (1  k29)" log(1 + k2B)] = 0 (1  k18)"log(1  k19)= (1  k,@" log(1 + k2.9) (3) (4)
Putting the value of k , , k2, and 9, we get the minimum number of reactors required, n = 1.87 e 2 .
197
A o B o C
k2
k4
k3
All the reactions are of firstorder and the feed to the reactor does not contain any product B or C, but is assumed to contain a catalyst that initiates the reaction as soon as the feed enters the first reactor. Solution The mass balance for A around tank n
For B
For C
dt
CB,n
+ klCA,n + k4CC,n
(i+k1)
kl
(i+
k3 + k 2 )
4 3
(7.67)
198
or more concisely,
dt e where c?~ and ? f l  , are column vectors and constant elements. For the first reactor, d?l ?o     G?, dt B d?  1 nt f l  l ]  G?,, [
A
(7.68)
(7.69)
.*,
eG1?l= j $  e G t d t + constant =
eGl
B G
+ constant
(?o/e)61.
(7.70)
where
Substituting the values of cI1 and solving with the initial condition that at t = 0, E, = 0,
t, = ?e[ Z  e
For the third reactor,
1 
GI
6
,dr
]&2
to
(7.72)
(7.73)
(7.74)
(i = 1)
199
Equation (7.75) is the solution for the system considered, which gives the variation of concentration as a function of time.
EXERCISES
7.1 A tubular chemical reactor of length L and cross section 1 m2 is employed to carry out a firstorder chemical reaction in which a material A is converted to a product B according to chemical reaction A + B and the specific reactionrate constant is k s'. The feed rate is u m3/s, the feed concentration of A is c,,, and the diffusivity of A is assumed to be constant at D m2/s. If there is a volume change during the reaction, develop a mathematical model in the form of a differential equation for the concentration of A as a function of length along the reactor. 7.2 In a continuous stirred tank reactor, a pure liquid A is fed continuously at 2 kg/ s. If the vessel is maintained at constant temperature so that the chemical reaction
A~'B&\c will take place, model and estimate the size of the vessel that will give the maximum yield of the product B. The specific reactionrate constants k , and k2 are equal to 0.2 sl and 0.09 sl, respectively, and the fluid density is constant at 1000 kg/m3. 73 Liquid benzene is to be chlorinated batchwise by sparging chlorine gas into a . reaction kettle containing benzene. If the reactor contains such an efficient agitator that all the chlorine that enters the reactor undergoes chemical reaction, and only the hydrogen chloride gas liberated escapes from the vessel, estimate how much chlorine must be added to give the maximum yield of monochlorobenzene. The reaction can be assumed to take place isothermally at 55 "C when the ratios of the specific reactionrate constants are k,/k2 = 8.0 and k2/k3= 30.0, where k , , k,, and & refer to reactions (l),(2), and (3), respectively, given below: C,jH,j + c12 C,&Cl+
+ C&@ + HC1
(1)
(2)
C6H4C12 Cl2 + C6H3C13+ HC1 + (3) 7.4 1.0168 kg/s of tallow mixed with 0.286 kg/s of highpressure hot water is fed into the base of a spray column operated at a temperature of 232.2 "C and a pressure of 41.37 x lo5 N/m2. 0.5091 kg/s of water at the same temperature and pressure is sprayed into the top of the column and descends in the form of droplets through the rising fat phase. Glycerin is generated in the fat phase by hydrolysis and is extracted by the descending water so that 0.7 kg/s of final extract containing 12.16%
200
glycerin is withdrawn continuously from the column base. Simultaneously, 1.1214 kg/s of fatty acid raffinate containing 0.24%glycerin leaves the top of the column. If the effective height of the column is 21.94 m and the diameter 0.6604 m, the glycerin equivalent tallow 8.53%and the distributibn ratio of glycerin between the water and the fat phase at the column temperature and pressure is 10.32, estimate the concentration of glycerin in each phase as a function of column height. Also find the fraction of the tower height required principally for the chemical reaction. The hydrolysis reaction is pseudofirstorder, and the specific reactionrateconstant is 0.17 s'. 7.5 0.126 kg/s of ethyl alcohol is to be esterified by reacting it with 0,1071 kg/s of acetic acid in a battery of continuous stirred tank reactors, each of 0.85 m3capacity and maintained at 100C. If the equilibrium relation is such that 75.2%of the acid will be esterified, estimate the number of reactors required for 60% conversion. At lOO"C, the specific reaction rate for esterification is 7.93 x 10 6m3 kmols, and that for the hydrolysis of the ester is 2.72 x 10 6m3 kmols. The density of the reaction mixture can be assumed constant at 865 kg/m3. 7.6 Acetic anhydride is to be hydrolysed in a laboratory stirred tank reactor battery m3 of anhydride solution consisting of three vessels of equal size. 1.8 x of concentration 0.21 kmol/m3 is charged into each vessel at 40 "C, and 1 x 105 m3/s of a solution containing 0.137 km0Ym3 is continuously fed to the first reactor. Estimate the time required for the reactor system to settle down to steadystate operation. The specific reactionrate constant for the hydrolysis at 40C is 6.33 x 103s'.
PART 111
is followed in modelling, for the prediction of good results matching the actual at plant data. As mentioned in P r I, the analytical models can be finetuned by incorporating empirical correlations based on experimentally obtained plant data into the models. There is a need to treat the experimental results, as there is a possibility of error propagation through various mathematical operations such as addition, subtraction, multiplication, and division. Similarly, one has to be conversant with the dataregression techniques used for proposing the empirical correlations based on the experimental data. This part deals with these two aspects, error propagation and data regression, in detail. Two of the most widely used dataregression techniques (method of averages and method of linear least squares) are described and explained using examples.
IN
CHAPTER 8
ERROR PROPAGATION AND DATA REGRESSION
Once the data are generated from the model equation using simulation, the developed model is to be validated with experimentally generated data. Before comparison, the experimentally generated data, which are subject to error, have to be treated to avoid the propagation of these errors.
204
sz = sx + s y
8.1.2 Propagation Through Subtraction
(8.3)
If a quantity z is calculated from z=xy (8.4) then s = sx + s y z (8.5) Thus, the absolute error in the result of any calculation involving only addition and subtraction is the sum of the absolute error in the constituent parts. absolute error ( 6 x ) result ( x ) The relative error is a dimensionless value and is expressed as a percentage. Relative error =
z = X
S X SY xr =  and yr = X Y
(8.7)
If
z,
where
=
SZ
Z
z
then
= xy
(8.9)
(8.10) Yr Thus the relative error in multiplication and division is the sum of the relative errors in the constituent parts.
Zr = X r +
205
All these errors can only be estimated, and rarely measured; consequently an error is usually given upto only one or two signijicantfigures. A brief account of these sources of errors is given below.
206
1. The pressure drop Ap across a length of pipe varies with the volumetric flow rate Q.But it is certain that AP = 0 at Q = 0. Hence, the origin is more important than any single experimental point. 2. Similarly, when time is the independent variable, the intercept at zero time is a boundary condition (i.e., initial condition). 3. In the same way, if a chemical reaction is being studied by plotting the concentration of one of the products as a function of time (c versus t), the , origin must be a point on the curve, that is, c = c at t = 0.
8.3.1.2 Starting gradient In most problems involving axial symmetry, the gradient of the curve tends to zero:
dc dv  dT   = O a t r = O d r dr dr Examples of this situation are 1. Velocity profiles in cylindrical pipe flow. 2. Temperature profiles within a cylindrical conductor. 3. Variations of a local masstransfer coefficient near the front pole of a dissolving sphere.
8.3.1.3 Efficiencies
A lot depends upon the context, but most of the curves (when plotting efficiency as a function of any dependent variable such as volumetric flow rate, etc.) either approach a limit asymptotically (increase up to some extent and become constant afterwards) or pass through a maximum value before decaying to zero (increase initially and decrease subsequently to zero). It is certain, however, that an efficiency curve cannot be a straight line over an appreciable range.
207
Assume that an equation of the form y = a + bx" is known to fit a set of results for x and y ; the values of a, b, and n are to be'estimated. The best way of finding these values graphically is to assume a value of a and plot y  a against x on a loglog graph paper.
 a = bx"
1n(Y  a )
In x
Fig. 8.1 Loglog plot Of y = a + bfl
If the value of a assumed is correct, the result will be a straight line of slope n and intercept In b, but this is unlikely. Too large a value for a will give a curve which is convex upwards, and too small a value for a will give a curve which is concave upwards as shown in Fig. 8.1. One should be careful and should take a wide range of data for fitting an equation.
Note Whether the curve is fitted by the graphical method or the analytical method
(method of averages or least squares), it is necessary to choose the appropriate type of curve by physical modelling (dimensional analysis).
Example 8.1
2)
P
200
Example 8.2
8 3 2 2 Analytical methods ... The following are the two most widely used analytical methods for data regression: 1. Method of averages 2. Method of linear least squares Method of averages Once the type of curve desired to fit to the experimental data is chosen, the problem reduces to determining the values of the constants (certain parameters) in the equation so that the bestfit is obtained. In graphical methods, the best fit is a matter of opinion, but in the present method a set of average points is defined and the bestfit curve is one that passes through the average points. Suppose that nine experimental values of a variable Z are available at nine different known values of x , and the bestfit curve of the type Z = A + Bx + Ce" (8.11)
is to be chosen to represent them. As the values of Z are experimental, it is unlikely that any set of values (xn,2,) will satisfy the bestfit curve exactly [Eq. (8.1l)]. Therefore, the experimentalresults are substituted into Eq. (8.1 l),and an extra term is included for the unknown error. Thus Z ,  A  Bx,  Ce"' = R, Z 2  A  B x 2  CeX2= R 2 Z ,  A  B x ,  Ce"' = R , Z ,  A  B x ,  CeX4= R , (8.12) Z 5  A  B x ,  Ce"' = R , Z 6  A  B x 6  Cex6= R 6 Z ,  A  B x ,  Ce"' = R , Z ,  A  B x ,  CeX8= R , Z ,  A  B x ,  Cex9= R , where R, are the error terms. In order to determineA , B, and C anz..,jtically, three equations are required, and these can be obtained from the set of nine equations [Eq. (8.12)] by assuming relationships between the error terms. Assuming that
R, + R, + R, = 0
(8.13)
209
c Z n  3A  B C x ,  C x e X n= 0
n=l
(8.14)
z, + z, + z,
)AB(x1':+x3)C[
ex' + e x 2 + ex' 3
(8.15) Equation (8.15) can be obtained directly from Eq. (8.11) by using an average point to represent the three actual points. It should be noted that the average point is determined in a special manner, which depends on the functions arising in the type of Eq. (8.1 1) chosen. Two further equations, similar to Eq. (8.15), can be obtained by arranging the remaining points in two groups. Thus,
(8.16)
z, + z, + z,
)A13(x7+;+xq)C[
ex7
+ ex* + ex9
3
(8.17) Since every symbol with a suffix is a known experimental result, only A , B, and C are unknown in the three equations [Eqs (8.15)(8.17)], and hence these can be determined (there are three unknowns and three equations). In applications of the method of averages, the following points must be observed: 1. Points must be arranged in ascending values of independent variable x. 2. The number of groups must equal the number of unknown parameters. 3. Groups should contain approximately equal number of points: 9 points + 3 groups x 3 points 8 points + 3 points + 2 points + 3 points 10 points $ 3 points + 4 points + 3 points 4. Each experimental point should be used only once. 5. The appropriate average must be taken.
Method of least squares Usually, this method is used to fit a set of data to linear or nonlinear equations depending on the data. Hence, the formulae will be derived by determining the values of m and c in case of a linear relationship (or by determining the values of the constant and the exponents in case of a nonlinear relationship), which give the best leastmeansquares fit of the equation.
210
Let us consider a linear relationship between the dependent and independent variables (i.e., y and x ) of N pairs of data represented by the following equation: y = m + c (8.18) Similar to the method of averages, each pair of results is substituted into Eq. (8.18) and an extra term is introduced to allow for the unknown error: y n  mn c = R, for the errors, Eq. (8.19) is squared to give y,' + m2x; + c2  2 m n y n  2cyn + 2 c m n = R,2 (8.20) Equations (8.20) for the individual experimental points are then summed to give (8.19)
n=l
n=l
n=l
n=l
(8.21)
n= 1
n=l
Equation (8.21) gives an expression for the sum of the squares of the error terms. The method ofleast squares defines the best straight line as the one for which the sum of the squares of the error terms is a minimum. The lefthand side of Eq. (8.21) will have a turning value (0) when its partial derivatives with respect to both m and c are zero. Thus,
(8.22)
and
N
N
2Nc
2
C y n+2mCxn=0
n=l
(8.23)
n=l
Solving Eqs (8.22) and (8.23) [i.e., multiplying Eq. (8.22) by Nand Eq. (8.23) by Ex,, and subtracting to eliminate c], we get (8.24)
211
Substituting this expression for m in Eq. (8.23) and solving for c, we get (8.25) where all sums must be taken over all experimental points. The best way to use formula (8.25) is to construct a table with four columns headedx,, y,, x,y, and complete it for the experimental results. The sums of the columns will then give all the values required by Eqs (8.24) and (8.25).
Comparison of analytical methods for curve fitting The methods of averages and least squares are based on different definitions of the bestfit curve, which fits the data. If a computing machine is available, the method of least squares should always be used, since it is more soundly based. Without the aid of a machine, however, the calculation is rather tedious and liable to arithmetical error; and the method of averages, which is shorter, should be used to give an adequate result.
8.3.3 Problems on Data Regression Example 8.3 Using method of least squares, fit the data given in Table 8.1 to the y = m +c type of equation, and compare the calculated values with the actual values of y .
Table 8.1 Data on x and y
X
1.1
10
2.0 13.2
3.2 16
4.0
20
6.1 25.2
7.0
27.9
Solution The data in Table 8.1 were generated with some deviations from y = 3x Table 8.2).
Table 8.2 Source data for Table 8.1
X
+ 7 (see
1 10
2 13
4 19
5 22
6 25
7 28
16
212
The terms required for computing m and c using the above equations, such as c x,, c y n , x: , and c x,y, , are determined by tabulating the variables as shown in Table 8.3.
CX,
= 23.4
Cy,
= 112.3
CX,' = 117.66
C X , ~= 517.62 ,
.:
m=
( 1 17.66)( 1 12.3) 
(5 17.62)(23.4) 158.4
Ycal
Example 8.4 The reactionrate constant for the decomposition of a substituted dibasic acid has been determined at various temperatures as given in Table 8.5. Use the method of least squares to determine the activation energy E in the equation. k = AeE'RT,where T is measured in degrees Kelvin.
213
T (C)
k x lo4 (h)
50 1.08
70.1 7.34
89.4 45.4
101 138
y=cmT
Taking the data given in the problem and making the mathematical transformations shown above, the data on the transformed dependent and independent variables 01 and x) are shown in Table 8.6.
Table 8.6 Linearly transformed data on dependent and independent variables
T 6) 1/T 323 3.096 x 9.1333 343.1 2.915 x lo 7.217 362.4 2.759 x 5.3 948 374 2.674 x lo 4.2831
In k
The terms required to estimate the slope (m)and intercept (c)of the linear equation, such as the summations of x,y , x2,xy, are determined by tabulating these variables along with their summations, as shown in Table 8.7.
Table 8.7 Computation of required summation terms
X
X2
XY
C X =11.444 x 10
=  11,926.087
214
=j
E = R x 11,962.087 R = gas constant = 8314 NmkmolK = 1.987 caVgmolK = 82.06 atm cm3/gmolK :. E = 8314 x 11,926.087 = 99.153 x lo6 Nmkmol = 1.987 x 11,926.087 = 23.697 x lo3 caVgmol = 82.06 x 11,926.087 = 97.865 x lo4 atmcm3/gmol
:.
Example 8.5 The thermal conductivity (W/mK) of methyl chloride (gas) at 1O"C, 37.8 "C, 65.6 OC, 93.3 "C, 121.1 "C, 148.9 "C, 176.7 "C, and 204.4 "C is 0.00986, 0.0119, 0.014, 0.0159, 0.018, 0.023, 0.022, and 0.0241, respectively Estimate the thermal conductivity of methyl chloride at 463 K and 353 K. Solution Let us solve this example using both the methods of data regression. Method of averages k=A+BT k A  BT = 0 (A and B are two unknowns)
k,
+ k, + k3 + k,
4
2  A  B (TI + T + T3 + T4) = O
(8.26) (8.27)
B = 0.0081/111.1 = 7.291 x
A = 0.0129  3.76944 x
= 0.009131
215
The value of k at 463 K (190 "C) is 0.02298 W/m K and at 353 K (80 "C) is 0.01496 W/m K
Method of least squares (8.29)
(8.30)
Table 8.8 shows the values of T,,, k,, T:, and T,,k, and their summations.
Table 8.8 Computation of required summation terms
.:
B=
= 7.29876 x
216
A=
(8.3 1)
Therefore, the value of k at 463 K (190 "C) is 0.023 W/m K and at 353 K (80 "C) is 0.01498 W/m K.
EXERCISES
8.1 Discuss the ways in which the propagation of errors occurs. 8.2 What are the various sources of errors? 8.3 Describe various dataregression techniques briefly. 8.4 Compare the graphical and analytical methods of dataregression techniques. 8.5 Compare the method of averages and the method of linear least squares. 8.6 Regress the data given in Table 8.9 to the form y = a( 1 + x * ) ~ using the method of averages and the method of linear least squares.
Table 8.9 Data on x and y
X
0.0
1.000
0.5
1.0
1.5
2.0
2.5 0.371
3.0 0.316
3.5 Oi274
4.0 0.242
0.894 0.707
0.555 0.447
8.7 Use the method of least squares and the method of averages to fit the best equation of the type Nu = aPrn to the data given in Table 8.10.
Table 8.10 Experimental data on Pr and Nu to be regressed
Pr 0.46 0.53 0.63 0.74 4.2 5.6 3 .O 5.0
Nu
Pr
10.0 17.7 18.6 25.3 41.0 37.0 58.5 95.0
Pr
32 31.6 70.3 93 185 340 590 55
217
8.8 The top product leaving a batch distillation column is being continuously reprocessed so that it is difficult to measure directly the amount produced. However, the flow rate can be continuously measured and samples taken at hourly intervals giving the results shown in Table 8.11. (a) What is the total amount produced during a period of 8 h? (b) What proportion of this amount is the more volatile component?
Table 8.1 1 Data on samples taken in hourly intervals Time (h) 0 90 More volatile component (%) Flow rate (lblmin) 60 1 92 62 2 91 63 3 91 62 4
89
5 87 60
6 84 59
7 80 57
8 75
62
57
8.9 The experimental data obtained on powerlaw fluids for shear stress as a function of rate of shear (velocity gradient) are given in Table 8.12. (a) Regress the data into the powerlaw form correlation using the method of least squares. (b) Also propose the correlation using the method of averages.
Table 8.12 Data on x and y to be regressed
~~ ~
0.2 3.2
0.5
1 .o
2.0 8.1
3 .O
4.0 22.6
3.7
4.1
13.7
8.10 From the data given in Table 8.13 calculate the value of the constants a and b in the equation y 2 + a2x2 2abx  sby  2u.q + b2 = 0.
Table 8.13 Data on x and y to be regressed
x
2.24 376
4 360
23 256
56.1 182
90 132
144 81
210 42.2
272 25
324
9
8.11 The data shown in Table 8.14 were reported for the vapourliquid equilibrium for binary mixtures of benzene and toluene, where x and y represent the mole fraction of benzene in the liquid and vapour, respectively. Indicate how these data should be plotted to give a straight line if the relative volatility is constant. Fit the best straight line to the points on such a graph by (a) visual inspection of the best straight line through the points and (b) the method of averages. Determine the average relative volatility of the mixture using the straight lines obtained.
218
0.167 0.320
0.333 0.550
0.500 0.710
0.667 0.830
0.833 0.930
8.12 Apply the dataregression technique to the data given in Table 8.15 (48data points) on adsorption studies in waste water treatment by Babu and Ramakrishna (2002b). What are your observations in terms of the limitations of the technique for such problems?
Table 8.15 Experimental data on adsorption studies (Babu & Ramakrishna 2002b)
1 PRE c, cd
f,
2 0.5 3 16 7.5
3 0.5 3 8 22.5
4 0.5 3 4 25
5
~
6
~
7
~~
9
~
10 0.2 6.5 2 60
11 0.85 10 32 300
12 0.85 10 16 960
0.5 3 32
5
0.5 0.7692 0.7692 0.6 6.5 6.5 3 6.5 8 16 2 32 120 120 240 30
13
14 0.5 10 16 30
15 0.5 10 8 90
16 0.5 20 32 15
17
18 0.5 20 8 80
19
20
21
22 0.845 10 5 5
23 0.9 10 5 15
24 0.936 10 5 30
PRE 0.5 ci 10 cd 32 t, 5
0.5 20 16
30
25
26
27
28
29
30
31
32
33
34
35
PRE 0.944 0.944 0.951 0.951 0.951 0.951 c, 10 10 10 10 10 10 cd 5 5 5 5 5 5 f, 45 60 100 120 150 180
0.544 0.597 0.634 0.634 0.649 10 10 10 10 10 2.5 2.5 2.5 2.5 2.5 5 15 30 45 60
37
38
39
40
41
42
43
44
45
46
47
48
PRE 0.68
ci
cd
t,
10 2.5 120
0.513 0.529 0.544 0.544 0.544 0.544 10 10 10 10 10 10 1 1 1 1 1 1 120 150 180 100 45 60
The required correlation should be of the form PRE = Kc,mc:t:, where PRE is the pollutant removal efficiency, ciis the initial concentration of the pollutant in mgL, cd is the adsorbent (carbon) dosage in g/L, and t, is the contact time in min.
PART IV
0 PTIMlZATl0N
PART DEALS with various traditional and nontraditional optimization techniques. Chapter 9 covers the traditional optimization techniques such as analytical methods, the constrained optimization (Lagrangian multiplier) method, gradient methods of optimization (steepest descent), the sequential simplex method, Rosenbrock method, and other methods (golden section search, Brents method, quasiNewton methods, direction set methods, linear programming, etc.). A comparison of the various methods is made and the advantages and limitations of each of these methods are described with suitable examples. The limitations of traditional optimization techniques are exposed; especially, the problem of getting trapped into local optima (incapability of ensuring global optimal solutions) is demonstrated in Chapter 10, and novel (nontraditional) optimization techniques that ensure optimalhearoptimal solutions are discussed. Chapter 10includes various nontraditional optimization techniques such as simulated annealing, genetic algorithms, differential evolution, and other evolutionary computation techniques (evolution strategies, evolutionary programming, genetic programming, and other populationbased search algorithms). The stepwise procedures of these evolutionary computation techniques are demonstrated by solving numerical examples.
THIS
CHAPTER 9
Optimization is defined as the method of minimizing or maximizing a function of several variables, i.e., finding those values of the coordinates for which the function takes on the minimum or maximum value. The maximum of a functionflx) is the negative of the minimum of Ax). Symbolically, it can be represented as max { f ( x ) }=  min {  f ( x ) } (9.1)
222
223
5. Further, infinite number of local minimum may exist, even when there is no global minimum [e.g.,Ax) = x + 2 sin x ] . 6. If the function or its derivative is not continuous, then the situation could be even more complicated. For example,Ax) = & has a global minimum at x = 0, which is not a local minimum [i.e.,Ax) = 01.
Optimization in chemical process industries infers the selection of equipment and operating conditions for the production of a given material so that the profit will be maximum. This could be interpreted as meaning the maximum output of a particular substance for a given capital outlay, or the minimum investment for a specified production rate. The former is a mathematical problem of evaluating the appropriate values of a set of variables to maximize a dependent variable, whereas the latter may be considered to be one of locating a minimum value. However, in terms of profit, both types of problems are maximization problems, and the solution of both is generally accomplished by means of an economic balance (trade@ between the capital and operating costs. Such a balance can be represented as shown in Fig. 9.1, in which the capital, the operating cost, and the total cost are plotted againstf, which is some function of the size of the equipment. It could be the actual size of the equipment; the number of pieces of equipment, such as the number of stirred tank reactors in a reactor battery; the frames in a filter press; some parameter related to the size of the equipment, such as the reflux ratio in a distillation unit; or the solventtofeed ratio in a solvent extraction process. Husain and Gangiah (1976) reported some of the optimization techniques that are used for chemical engineering applications.
f (size of equipment)
Fig. 9.1 Capitaloperating cost tradeoff
224
225
Optimum behaviour is defined as a set of output variables ensuring the maximization of a certain objective or return function, or a change in the output variables over a definite time interval such that a predetermined functional value of these output variables is maximized or minimized. As mentioned earlier, the goal of static optimization is to develop and realize an optimum model for the process in question, whereas dynamic optimization seeks to develop and realize an optimum control system for the process. In other words, static optimization is an optimum model for the process, whereas dynamic optimization is the optimum control system for the process.
226
(b) Correlation analysis (experimental optimization and designs: Brandon method, BoxWilson method, etc.) Though, for completeness, all the methods of optimization are listed above, let us restrict our discussion to some of the most important and widely used methods of optimization.
227
must be satisfied simultaneously, which means that the tangent plane to the surface expressed by Eq. (9.2) is horizontal.
9.4.1.3 Problems involving four variables (three independent variables) The maximum of minimum values of w = f ( x , Yl 2) can be located by differentiating Eq. (9.4) and equating it to zero. Thus
(9.4)
The above analytical procedure can be extended to ( n + 1) variables (i.e., n independent variables) as follows. In an analytical search for a maximum or minimum value of a continuous objective function, (9.7) where xl, x2, ...,x, are n independent variables. Its partial derivatives are set equal to zero:
x 2 1 * * * ,
w = f(x,,
x,)
dw =
Cdr, df dXi
? I
=0
i=l
228
In some optimization problems, a relationship must be satisfied by the independent variables. For example, in vapourliquid equilibria, the temperature, pressure, and compositions of the liquid and vapour are related by the boilingpoint condition. One variable, say, temperature, can always be eliminated analytically, but this may not be algebraically convenient, and an alternate method is available. Thus, consider (9.10) w = f( x , y , 2 ) with the restrictive condition (9.1 1) g(x, y , z ) = 0 Differentiating Eqs (9.10) and (9.1 1) gives, respectively,
g d x
dx
+ 8.fy + d
dy
dz df dz
=0
(9.12)
and (9.13) At the optimum point, Eqs (9.12) and (9.13) must be satisfied for displacements in any direction, and in particular for dx = 0. Hence Eqs (9.14) and (9.15) must be consistent:
g d y dy %dy
a y
+ dz df
dz
=0
(9.14) (9.15)
+ dz 8s
a z
=0
The consistency of Eqs (9.14) and (9.15) is possible only if (9.16) and (9.17) By relaxing the condition dx = 0 and imposing the condition d y = 0, it follows that
a f +a=o
ax
ax
(9.18)
(9.19)
229
when the optimum point is given by the solution of Eqs (9.11) and (9.16)(9.18), which contain the four unknowns (x, y , z, A),where A is the Lagrungiun multiplier.
Note The above problem can be extended to two or more restrictive conditions by introducing two or more arbitrary multipliers such as A,,A,, A,, ..., A,, etc. For example, if we have a twoconstraint problem as follows:
(9.20) P = f ( x , y, Z) + Aig(x, y , Z) + A,h(x, y , Z) Then the optimum point is given by the solution of the following equations:
88 af  + A,
d X
d X
dh + A,  = 0
d X
 + A,8Y dY

df df
d Z
88
dh + A,  = 0
8Y
dh + A,88 + A,  = 0
d Z
d Z
Illustration 9.1 Lagrangian multiplier Determine the dimensions of an open rectangular tank with a capacity of 1000 m3, which will minimize the surface area of the bottom and walls. The tank volume is V = Zbh (constraint or restrictive condition), where 1 is the length, b is the width, and h is the depth. Solution We seek to minimize the surface area, i.e, the function is (9.26) f (1, b, h ) = 2bh + Z + 2hZ b Constraint: (9.27) g ( l , b, h) = 0 i.e., g(Z, b, h ) = lbh  V (9.28) The auxiliary function has the form P(Z, b, h, A ) = f (I, b, h ) + Ag(1, b, h ) = 2bh + lb + 2hl + A(lbh  V ) (9.29)
230
Taking partial derivatives with respect to 1, b, h, and 1,and setting them equal to zero, we get
_b+2h+&h=O " dl
dP _  2h + 1 + Alh = 0 db
_2 + 2 1 + U b = O " b
dh dP _  lbh  V = 0
dA
+ 2h) bh Substituting A from Eq. (9.34) into Eq. (9.31) and solving it for 6 ,
A=
(b 2h + 1 + l h (b)  2h = 0 T 2bh + lb  lb  21h = 0 b=l From Eq. (9.32), 2(b + 1)  2(b + b ) = 4 lb b2 b From Eqs (9.34) and (9.38),
(9.34)
A=
(9.38)
4 _  b2h b b = 2h Thus
V = lbh
b2
(9.39) (9.40)
(9.41) Eliminating 1 and h from these equations and substituting b from Eqs (9.37) and (9.401,
V = (b)(b)  =  = 1000m3
(3 :
(9.42)
231
b = 1/2000 = 12.6m
1 = b = 12.6m
(9.43)
(9.44)
 6.3m
(9.46)
(9.47)
232
The partial derivative dF/dxi is proportional to the cosine of the angle between the gradient vector and the iaxis of coordinates. Then (9.48)
In addition to the direction of the gradient vector, a very important problem in gradient methods is to decide on the step length in the direction of the gradient. The step size along gradF is to a considerable degree dependent on the nature of the performance surface. If the step is too short, lengthy calculations will result. On the other hand, if the step is too long, the optimum may well be missed. The step size Axi should satisfy the condition that all steps from the base point must be in the direction of the gradient at the base point. For each variable xi, the step size is found from the values of the partial derivatives at the base (starting) point:
K=
i=l
dF
(9.49)
where K is a constant defining the step size and is the same in each of the i coordinate directions. It is only at the base point that the gradient is precisely orthogonal to the surface. If the step is too long in each of the i coordinate directions, the vector from the base point will not be orthogonal to the surface at the new point. With a properly selected step size, the derivative at the next point will be substantially close to that at the base point. For linear functions, the direction of the gradient is independent of the position of the point on the surface for which it is calculated. If the surface has the form (9.50) F = clxl + c2x2+ c3x3 then
 = c1, =
dF
dF
c2,
 = cj
dF
(9.51)
8x1 8x2 8x3 and the gradient component in the ith coordinate direction will be
C:
Jc;
+ c; + c;
(9.52)
233
For nonlinear functions,the direction of the gradient vector depends on the position of the point on the surface for which it is calculated.
9.4.3.1 Methodical procedurefor optimization Although there is a good deal of difference among the various gradient methods, the procedure for seeking the optimum in most cases is about the same, and is as follows: 1. A base point is selected. 2. The direction of descent (or ascent) from the base point is ascertained. 3. The step size is found. 4. The next point of search is determined. 5. The value of the objective function at a given point is compared with that at the previous point. 6 . The direction of movement is ascertained. 7. The procedure is repeated until the optimum is reached. 9.4.3.2 The method of steepest descent (ascent) The method of steepest descendascent is one of the best known methods of optimization when the number of variables involved is large. The procedure was developed by Box et al. (1969). Essentially, the method consists in defining the criteria to be optimized as the response of the process. This may be the profit, yield, or the output from a process and will depend on a number of factors such as temperature, concentration, pressure, etc. The relationship between the response and these factors can be written in the form (9.53) = f(x,, x21 x,) which is called the response function. The response function can be plotted in terms of two of the factors to give what is known as the response suflace. Such a surface will be undulating, and reaching the optimum will correspond to climbing the highest hill on the surface. Generally speaking, the greatest gradient will be in the direction of the maximum (minimum), and therefore if the steepest ascent (descent) can be located on the response surface, it will lead in the direction of the optimum response. However, it is very difficult to represent a surface on paper; consequently it is advantageous to plot the surface in the form of lines of equal response on a graph whose coordinates are two of the variables. These lines are called response contours and are shown in Fig. 9.2, which is called a response contour map. The line of steepest descent (ascent) starting from any point is obtained by trial, by drawing lines perpendicular to the contour. These lines will show the extent to which different factors must be varied to give a maximum (minimum) increase in the response. This procedure will only direct the way to the optimum conditions,
* * a ,
234
since at the maximum (minimum) the gradient is zero, and as the optimum is approached, the line of steepest ascent (descent) becomes more difficult to predict. Hence this method alone will not locate the optimum, but will rapidly show the engineer the region of optimum conditions.
z
60
Illustration 9.2 As an example of a gradient method, we will describe a procedure for minimizing functions of two variables, F = F(x,, x2), subject to constraints H,( x , , x2) I 0 and H,( X I , x2) 0. Solution This principle can be generalized to any number of variables and any number of constraints. x2) Consider the (x,, plane (Fig. 9.3). According to the equation F = F(x,, x2), each point on this plane corresponds to a particular value of F. The closed curves on this plane represent contours ofconstunt F around the point M* at which F has a maximum (minimum) value. The method of steepest descent (ascent) operates as follows. To begin with, initial values (guesses) are provided for x1 and x2 such that they are at a starting (base) point M,, as well as initial incremental change for these parameters. The search process is started with a series of explanatory steps or moves. > 0, while x2 is held constant At first, x1 is increased by a small amount and the change SF, in F , resulting from the manipulation of xl, is measured. This change may be assumed to be proportional to the product derivative:
dF dF =zl= constant = SF,
dx,
ax,
(9.54)
235
(provided Sx, is the same always). Then x2 is increased by 6x2 > 0 while x1 is held constant. The resultant change SF, in F is a measure of the partial derivative:
dF = dx, dx,
constant = SF,
(9.55)
gradF
Response surface
The partial derivatives given by Eqs (9.54) and (9.55) define a vector with f coordinates dF/dxl and dF/dx,, which is called the gradient o F symbolized as gradF = ,
{.: }:
(9.56)
The vector extends in the direction of the maximum increase of F at a given point (see Fig. 9.3). The negative of the gradient is in the direction of steepest descent in F a t that point. After the gradient component defining a successful direction of search has been ascertained, exploratory steps or moves are discontinued and pattern moves or steps are made in the negative direction of the gradient, the step size being in proportion to the magnitude of gradF. This condition is satisfied if the pattern step sizes Ax, and Ax, are proportional to the partial derivatives obtained before:
Axl = a  ,
dF
Ax,
=a
dF
h l
8x2
(9.57)
236
After each pattern move, the change A F in F is estimated. If the previous change has caused a decrease in F, the next move will be taken in the same direction, MOM,. If the change at M , has caused an increase in F(i.e., A F > 0), no pattern move is taken further, and exploratory moves are resumed. Then again gradF is estimated at the new point M , , and pattern moves are resumed at the newly established direction of steepest descent, i.e., along the line M1M2,etc. This is why the technique is called method of steepest descent (in case of minimization) and method of steepest ascent (in case of maximization). I When the quantity E = IdF/dx,+ I dF/dx, I drops to a small value, which is an indication that the system is in the vicinity of the minimum, a more conservative search technique is applied, called the gradient method. It differs from the method of steepest descent, in that after gradF is determined, only one pattern move at a time is made, and exploratory moves are resumed at the new point. With this search technique, the minimum is located more accurately than with the method of steepest descent, although the latter secures the fastest approach to the minimum. If, during the search, the point M reaches the boundary of the feasible area and at least one of the quantities M , or M2 changes sign, the search procedure is modified so that the point Mmoves along the boundary. The efficiency of the method of steepest descent depends on the scale of the variables used and the nature of the response surface. The fastest approach to the optimum is attained in the case of a surface with spherical contours.
9.4.3.3 Demerits of the method of steepest descent
The following are some of the demerits of the method of steepest descent:
Extrapolation is limited. In moving along the gradient, we are guided by the extrapolation of the derivatives of the objective function with respect to appropriate variables. However, the shape of the response surface may change, thereby necessitating a change in the direction of search. In other words, we cannot move on the surface for any considerable length of time (see the examples discussed in Sec. 9.4.3.5 below).
A global optimum is dificult toJind. The method is applicable only to find local optima.
9.4.3.4 Method of steepest descent (ascent) with constraints
When some constraints are imposed on changes in the parameters of the objective function, the base point is chosen such that it will lie within the limits set by the constraints, and the search is conducted by the method of steepest descent (ascent). After the next point is calculated, a test is run to see if the constraints have been violated. If there is no violation, the search is resumed. If any constraint has been violated, the gradient is calculated so as to allow for the constraint.
237
As an alternative, a method may be used in which the violation of a constraint causes the point to be returned to the constraint line. If more than one constraint has been imposed and a new constraint is violated at each new instant of time, the method requires that the points be moved to the new constraint. In this method, it is assumed that the optimum line lies on the constraint. 9.4.3.5 Problems on method of steepest descent Example 9.1 Find the optimum by the method of steepest descent (ascent) for an objective function of the form y = x + 2x22 + x1x2.The starting point of the search : has the coordinates xl0= 2 and x20= 2. Solution The direction of the gradient is ascertained by finding the partial derivative along the respective coordinate axes.
2 y = x1 +2x,2
+ X1X*
dy and = 4x2 + x1
3x2
(9.58) (9.59)
3= 2x, + x2
3x1
3= 2(2) + 2 = 6 2x1
dy and = 4(2) + 2 = 10
dX2
Both partial derivatives are positive and so the objective function changes in the same direction as x1and x2 (as y is also positive). If the function is to be minimized, x1and x2should be reduced until a maximum value is reached for y in the proportion
Let the first move cause x2to change by 0.5 (step change). Accordingly, x1 will change by 0.6 x 0.5 = 0.3. Then we may write
xl0= 2, x~~= 2, yo = 16
~ 1 = ~ 11 0
~ 2 =~ 2 1 0
Hence,
y1 = (1.7)2 + 2( 1.5)2 + (1.7)( 1.5) = 9.94 On moving along the gradient, the objective function will decrease progressively and we may write (ax, = 0.3, SX, = 0.5) xI2= 1.4, x*2 = 1.0, y2 = 5.36 ~ 1 = 1.1, 3 x23= 0.5, y3 = 2.26 ~ 2 = 0.0, 4 y4 = 0.64 xi4 = 0.8,
238
~ 2 =  0.5, 5
x16 = 0.27
x26 = 1 .o,
ys = 0.5 y6 = 1a84
The line MN is the path of the line of steepest descent from the starting point M . The point N represents x16 and Y6. Since we have passed the minimum of the function at ys, we return to the point P for x1 = 0.5 and x2 =  0.5 [i.e., P (0.5,  0.5)]:
ay = 2x1 + ~2
3x1
From the above equalities, it follows that Gy/Sx, is positive and Sy/Sx, is negative and so the change in y is opposite to that in x2. 1. In other words, in order to minimize the objective function, x2 should be increased. 2. Since we are now in the vicinity of the optimum, the step size AX, should be reduced to 0.3.
S X , / ~ = (~ y / d ~ 1 ) / ( d y / d ~ ,= 0.5/ 1.5 =  1.3 X d ) Since the ratio of 6 x l to Sx, is 1/3, the corresponding change in xl will be 0.1. Thus the following new values will be obtained for the sixth step ( 6 x l = 0.1, 6x2 = 0.3): x16 = x15  0.1 = 0.5  0.1 = 0.4
~ 2 =~ 2 5 6
Hence
y6 = (0.4)2 + 2(2)2
+ (0.4)(0.2) = 0.16
~ 2 = 0.1, 7 x28 = 0.4,
The last point shows that we have passed the minimum again because y8 > y7. Now we reverse the direction again and resume the calculations until we reach the optimum, which in our case is the minimum value of y. Using point 7 ( x l = 0.3, x2 = 0,i)
239
ys = x18+ 2; 2 x ,
+x
~ = (0.25) ~ x
Example 9 2 Compute the optimum to an accuracy of 0.01 by the method . of steepest descent for an objective function of the form Y = (x: + x2  11) + (xl + x i  7). The starting point for the search is (1,l). Solution The direction of the gradient is ascertained by finding the partial derivatives along the respective coordinate axes:
y = (xl2
= Xf
+ 49 + 2XlX;  4x22  14X1 dy/dxl = 4x: + 4XlX2  M x , + 2x1 + 2 2  14 x2 = 4x: + 4x,x2  42x1 + 2 2  14 x2 dy/dX, = 2 : + 22 + 2x2 + 4x23 + 4X1X2 + 28x2 X = 4 2 + 2 :  22 4 4X1X2  26x2 x3 X
At the starting point (1, l), the partial derivatives are
(dy/dx,)l,, = 4 (dy/dX;!)1,1 = 4
+ 2 + 4  42  14 = 46
Both the partial derivatives are negative and so the objective function changes in the same direction as x1 and x2. The function is to be minimized, so x1 and x2 should be increased until a minimum value is reached for y in the proportion
(dy/dx,):(dy/dx2) = (46):(38) = 1.211 = 6 ~ 1 : 6 ~ 2
t.e.,
ax, = 1.21(6x2)
Let the first move cause x2 to change (increase) by 0.5 (step change). Accordingly, x1 will change by 1.211 x 0.5 = 0.6055. Then we may write
ax, = 0.6055, ax2 = 0.5
240
+ Sx,
=1
+ 0.5 = 1.5
Then Yl = ( x : ~ x , ~ 11)2 + ( x l l + x i l  7)* = 57.808 + On moving along the gradient, the objective function will decrease progressively and we write X12 = 2.21 1, x22= 2.2, y2 = 17.526 x13= 2.8165, ~ 2 = 2.5, 3 y3 = 4.5923 y4 = 43.1621 ~ 1 = 3.422, 4 ~ 2 = 3.0, 4 Since we have passed the minimum of the function at y,, we return to the point (~13, 2 3 = (2.8165, 2.5) and find the gradients again at the point to verify the ~ ) direction and step change:
dy/dx, = 2(2.8165)3 + 2(2.5)2 + 4(2.8165)(2.5)  42(2.8165) 14 = 2.2585 dy/dx, = 2(2.8165)2 + 4(2.5)3 + 4(2.8165)(2.5) 26(2.5) 22 = 19.5303 From the above equations, it follows that Sy/Sxl is still negative but Sy/Sx, is positive and so the change in y is opposite to that in x2 (i.e., positive). In other words, in order to minimize the objective function, x1 has to be still increased but x2 has to be decreased. SY/SX, = ( d y / d ~ , ) / ( d y / d ~ 2 )2.2585119.5303 =  0.1156 =
Hence
8x1 = (0.1 1 5 6 ) s ~ ~
We have reached the vicinity of the minimum, so we reduce the step change. Let Sx, = 0.3, i.e.,
~ 1 = 2.8165 4
Sx, = ( 4 . 1 156)(0.3) = 0.03468 + 0.03468 = 2.85118, ~ 2 = 2.5  0.3 = 2.2, y4 = 0.927666 4 x15= 2.88586, x , ~ 1.9, y5 = 0.849851 = x16= 2.92054, x26= 1.7, y6 = 2.008402
So we again return to ( ~ 1 5~, 2 5 and find dy/dx, and dy/dx2 at that point: )
dy/dx, =  9.9 176, dy/dx, =  5.375 1 Sx,/Sx, = 1.845
3
SX, = 1.845(6x2)
Now both dy/dxl and dy/dx, are negative, hence the step change has to be added. Again we are in the vicinity of the minimum, so we reduce the step: Let SX, = 0.1
241
a Sx, = 1.845(0.05)= 0.09225 xi7 = 3.0706 + 0.09225 = 3.16261, ~ 2 = 2.05, y7 = 1.240224 7 The yvalue increases again, so we return to ( X l 6 , x26): d y / d x , = 5.3863, d y / d x , =1.4171 Both these are positive, so both step changes are to be subtracted: Sx,/Sx, = 5.836311.4171 = 3.801
Let Sx, = 0.02
so
~ 1 = 3.07036  0.07602 = 2.99434, ~27' 7
1.980.02 = 1.96, ~=0.331595 7 ~ We return to ( ~ 1 7~, 2 7 and find d y / d x , and d y / d x , at that point: )
~ 2
x18 = 2.994340.07602=2.91832,
d y / d x 1 =  0.8164, d y / d x , =  0.7831 Both gradients are negative, so the step changes are to be added: SX,/SX, =  0.8164/ 0.7831 = 1.0425 Let Sx, = 0.01 Sx, = 1.0425(0.01)=0.010425 Then x18 = 2.99434 + 0.010425 = 3.004765, x28 = 1.98+0.01 = 1.99 y = 0.001581 Now we can stop as the required accuracy 0.001 is attained in the objective function. So the optimum values of x 1 and x2 are x1 = 3.004, x2 = 1.99, y = 0.0015
9.4.3.6 The sequential simplex method
S X , = 1.0425 (6x2)
A number of studies proposing the use of regular simplex designs in the descent (ascent) phase have appeared. A regular simplex is defined as a set of k + 1 equidistant points in a kdimensional space. A simplex is a geometric figure. In onedimensional space, i.e., for one factor (one independent variable), a regular simplex is a straight line (two points). For two factors (two independent variables),
242
a regular simplex is an equilateral triangle (three points). Similarly, for three factors (independent variables), a regular simplex is a regular tetrahedron (four points). In the search for the optimum, trial values of the experimental factors can be selected at points in multidimensionalfactor space located at the vertices of a regular simplex. After the first cycle of observations, the vertex associated with the conditions yielding the poorest response is identified. This point is now deleted and a new point, which is a mirror reflection from the oppositefuce of the simplex, is added (afuce is a set of k points of a kdimensional simplex). This new point and the remaining old points form a new regular simplex, termed reflection, in which the centroid is displaced in the direction of the poorest response point towards the centroid of the remaining points. In the general case, this direction is not the path of the steepest descent (ascent); yet it points towards better performance of the process. Continuation of this procedure, always deleting the point that yields the poorest response and replacing it with a mirror image, leads to a nearly stationary region. The number of moves needed to reach the optimum region may be small when compared to the steepest descent method. This is because k + 1 observations have to be made only at the beginning; after that every move involves one additional observation under conditions selected from an analysis of the previous observations. This method is an extension of the steepest descent (ascent) method and was proposed by Himsworth (1962). It differs from the steepest descent method, in that no attempt is made to find the lines of steepest descent, but rather a rapid determination is made of a direction which is steep, although not necessarily the steepest, so that moves are made frequently in a favorable direction. For a process involving two independent variables the procedure is as follows. In Fig. 9.4, three points are selected fairly close together in such a manner that they form the vertices of an equilateral triangle. Let these points be 1, 2, and 3. Following this, three further points are selected such that each forms an equilateral triangle with any two of the first three points. If the response surface is locally a plane or nearly so, one of the possible new points will give a higher result than the other two; furthermore, point 4 will be a mirror image of the lowest point in the first triangle. Hence, after the first three trials, the point giving the lowest result is rejected and replaced by the mirror image point forming the second triangle. This construction process is repeated until the summit is reached. Thus, as long as the surface is sloping and reasonably plane over the area of a particular triangle, each step of the construction leads to a more favourableregion. The path taken (trajectory) from the starting point will oscillate about the line of steepest descent. For a system containing more than two variables, the procedure will be similar, except that (k + 1) trial points will be made, where k is the number of variables. The most favourable of these points is retained to replace the appropriate member of the original set, thus completing a move towards the optimum. The (k + 1)
 x
Fig. 9.4 The sequential simplex method. The dashed line denotes the descent method: the triangles denote the sequential simplex method.
Advantages of the sequential simplex method 1. The calculations are elementary, requiring no mathematical or statistical knowledge. 2. Each move is determined by the previous result and so human judgement is eliminated. 3. It is possible to add a variable at any time. 4. A numerical measure of the response is not needed. It is only necessary to rank the results and discard the lowest. Reflection, contraction, and expansion In the simplex method, at any stage we have a simplex with n + 1 vertices where the function value is evaluated. The basic iteration consists of changing the simplex to reduce the function values. Several transformations are possible. The simplest is the one where the vertex at which the function value is the largest is reflected in the hyperplane formed by the other n vertices. The function value at the new vertex is then evaluated and the process can be repeated. However, it may turn out that the function value is maximum at the new vertex, in which case, if it is reflected, we will get back to the old simplex and no progress can be made as shown in Fig. 9.5. It is also possible that the reflection process leads to a cyclic process (i.e., after a few iterations, we will get back to the original simplex) as shown in Fig. 9.6. In such cases, either another point is selected for reflection or the simplex is extended or contracted in some
244
direction. The iteration proceeds in such a manner that the volume of the simplex keeps on decreasing once appropriate conditions are satisfied, and ultimately the volume may shrink to the required accuracy and the process may be terminated. At this stage, the vertex with the lowest value of the function will hopefully give a good approximation to the minimizer.
X I
x2
XI
245
Let x be the vertex corresponding to the highest value of the objective function h (i.e., the poorest), X, be the reflection point, and X, be the centroid of all points xi except i = h.
x,
cxi
1 n+l n i=l
i+ h
(9.60)
x, = (1 + a)X,
 ax,
distance between X, and X, h distance between x and X, distance between X, and X, distance between X, and X,
ifflX,)>flXJ for all i except i = h andflx,) <flxh) and when X, and x are oscillating h and not leading to a new simplex
(9.64)
(9.65)
[ AXl) is the vertex corresponding to the minimum function value]. (This means we are moving in the right direction in search of the optimum value, and hence it is better to increase the step size, which is possible by expanding it. Hence it is better to go for expansion.)
(9.69)
Figure 9.7shows the flow diagram for the sequential simplex method (Rao 1991).
246
4 
Find x and X,such thatfix,,) = max HX,)] and AX,) = min [AX,)] h
1 n+'
i=1 i#h
xi
1
[
I
Find X, by reflection No Yes
No
.
Find X, by expansion
I
No
yes
x2, ...,x,
I
Replace X, !,l x i
by X,
...,x,, by X,
No
1
Is the minimum reached (Q < E)?
I
Set Xi, = X,
Yes
r.
Replace X, in x,, x2, ..., x,
+
, by
t
Isf(x,) >AX,)?
Yes
247
Example 9.3 Minimize Ax,, x,) = x1 x2 + 2 ~ :+ 2 xlx2+ xi, taking the points defining the initial simplex as
x,=
Solution
40}, 4.0
x, =
40 5*0}, .
x, =
4*0} 5.0
E
= 0.2.
Iteration 1: 1. The value of the function at each of the vertices of the current simplex is given by fi =AXl) = 4  4 + 2(16) + 2(16) + 16 = 80 (lowest) f 2 =AX2)= 5  4 + 2(16) + 2 (20) + 16 = 107 (highest) f3 =AX,)= 4  5 + 2(16) + 2(20) + 25 = 96
x,
and
= W(X,
+ X,)= v 2
{:::}
f(X,) = 87.75
x, = 2x, = x,
and
= 10.0 6*o}
{ }:I;{
{;::}
248
19.06
>&
and
x 1  x 2
{;:;}
{
4.0 + 2.0 4.0 + 5.5}
=
2. The centroid is
x, = V2(X1 + X2) = v 2
and f(X,) = 67.31
:;5}
3. Reflection point X ,
and
= 2X0 
X, =
f ( X , ) = 2.0  4.5+ 2 ( 4 ) + 2(9) + 20.25 = 43.75 4. A s AX,) < AX/) we find X,:
249
x, = 2xr  x,
and
= {9.0} 
4.0
I 3.0 (4.75
1i 1
=
4.25
n = j(80.0
 67.31)*
" I
> &
= 26.1
and
x, = x, =
{I::}, x,
=x ={ 3 5 ;}
5.5 + 4.25
and
f(X,) = 39.50
3.
x, = 2x0  Xh =
and f(X,) = 16.8125
93705)
{:::} {; .4:}
=
250
6.675
5.50
4.25
6. Convergence:
Q=
=
> &
20.5
Hence we do the next iteration. We have to continue this procedure till the convergence criterion is satisfied.
Y = (x; + x2  11)2+ (XI + x i  7 ) 2 Take the points defining the initial simplex as (3, 3), (4, 3), and (3, 4). For convergence, take E = 0.2 and the coefficients of reflection, contraction, and expansion as 1.0, 0.5, and 2.0, respectively. Perform at least two iterations.
Solution
Iteration 1: 1. The value of the function at each of the vertices of the current simplex is given by fl =AXl) = (9 + 3  11)2+ (3 + 9  7)2 = 26 (lowest) f2 =fix2) (16 + 3  11)2+( 4 + 9  7 ) 2 = 100 = f 3 =AX3) = (9 + 4  11)*+ (3 + 16  7) = 148 (highest) X, = X3 = (3,4), AX,) = 148 X, = XI = (3, 3), AX,) = 26 2. The centroid X o is obtained as xo= 1/2 (XI X 2 ) = (1/2) (3 + 4, 3 + 3) = (3.5, 3) + AXo) = 48.31
251
3. The reflection point is x, = (1 + a)X,  ax, X, = 2x0  X [(7, 6)  (3,4)] = (4, 2) , and AX,) = 50 4. As AX,) >AXl), we check ifAX,) >AXi)for all i f h, which is not the case, i.e.,JgX,) >AXj) for all i # h [asAX, >f(x,) butAX,) < f ( X 2 ) ] .So we replace X,, in (X,, X,, X3)by X, , 5. The vertices of the new simplex after replacing X, by X, are x, = (3, 3), x, = (4, 3), x3= x, = (4,2) AX,) = 26, AX,) = 100, AX3>= 50 6 . Test for convergence: compute Q,
(26  48.3)'
Q={
= 32.52
>&
x, = (4, 3)
and Xl = x, = (3, 3), x3= (4, 2) 2. The centroid is X, = (1/2) (X, + X 3 ) = (1/2) (7, 5) = (3.5, 2.5) and AX,) = (3.52+ 2.5  11), + (3.5 + 2.5,  7)2 = 14.06 + 7.56 = 21.62 3. x, = 2x0x,
= ~ 7 ~5 ) (4,311
= (32)
252
=O
<AX,)
< &
A zero of a nonlinear function can be bracketed between two values, wnere the function value has opposite signs. To bracket a minimum we need more information. For example, if the first derivative of the function has opposite signs at the two end points, the function will have a stationary point inside the interval, provided it is continuous over the interval. This point could be either a minimizer or a maximizer. It may be noted that the first derivative does not change sign at a point of inflection. If this point is known to be a minimizer, we can apply the simple method of bisection to determine the minimizer more accurately. Of course, here we have assumed that the first derivative of the function can be calculated at every point. If it is not possible to calculate the derivative easily, then we need a third point inside the interval to determine if the function has a minimum or not. The ratio of the two segments is called the golden ratio (also occurs in Fibonacci numbers), which gives the optimal method for dividing the interval, and the corresponding algorithm is called the golden section search. In this algorithm, at each stage the new point is selected to be a fraction T as measured from the central point and into the larger of the two subintervals. Even if
253
we start out with a triplet whose segments are not in the golden ratio, this procedure will ultimately lead to intervals with the golden ratio. Once the bracketing triplet has achieved the golden ratio, at each step the bracketing interval reduces by a factor of 1  r 0.618034. Hence, this method converges linearly to the minimizer. Further, this ratio is somewhat larger than the factor of 1/2 in the method of bisection. Hence, the convergence of golden section search will be slower than that of bisection. Once we are close to the minimum, we can switch to some iterative method, which converges superlinearly.
9.4.5.2 Brents method
Brent (1973) has given an algorithm for finding the minimum of a function of one variable. This method combines the golden section search with parabolic interpolation in such a way that the iteration is guaranteed to converge to the specified accuracy in a finite number of iterations, provided, of course, that the roundoff error is neglected. In the presence of roundoff error, it may be meaningless to continue the iteration beyond a certain stage, which unfortunately cannot be detected by this method.
9.4.5.3 QuasiNewton methods
The simplest method based on a quadratic model is Newtons method (Antia 1991) for determining the zeros of a gradient vector. If we can calculate the second derivatives of a function, then we can approximate the function using the first three terms of the Taylor series. The main drawback of Newtons method is that far from a minimum the matrix need not be positive definite and the approximating quadratic may not have a minimum. In fact, the value of the function may not even decrease. This is eliminated in Newtons method with line search, where the Newton correction is only used to generate a direction of the line search. As in the case of the solution of a system of nonlinear equations, the main disadvantage of Newtons method, even when modified to ensure global convergence, is the need to calculate all the n(n + 1)/2 second derivatives. Hence, it may be better to approximate the Hessian matrix using the value of the function and the gradient vector. The simplest technique is to use a finite difference approximation, which may not yield a symmetric matrix. Further, evaluating the finite difference approximation requires n + 1 evaluations of the gradient vector, which could be very expensive. These disadvantages can be avoided if some updating procedure similar to that of Broydens method (Antia 1991) can be given for the Hessian matrix or its inverse, such that the matrix is assured to be positive definite. Such methods incorporating the abovementioned updating procedure are referred to as quasiNewton methods and these enjoy the following advantages over Newtons method: 1. Only first derivatives are required.
254
2. The Hessian matrix is assured to be positive definite, which ensures that the search is in the descent direction. 3. Each iteration requires only O(n2)floatingpoint operations, as opposed to 0(n3) the Newtons method. for 9.4.5.4 Direction set methods QuasiNewton methods require the calculation of derivatives, which may not be possible if the function is rather complicated. Direction set methods do not require the calculation of derivatives. These methods are not as efficient as the methods described earlier in terms of the number of function evaluations required, and unless the derivative calculation is extremely difficult, the methods discussed earlier are more efficient. If the derivative can be evaluated, then it is also possible to use the conjugate gradient methods (Antia 1991), but these require much less memory and may be considered if the number of variables is very large. In the absence of even the first derivatives, it is difficult to approximate the quadratic terms, unless a search is made along n independent directions. The basic idea of all direction set methods is to start with an arbitrary set of orthogonal vectors and update this set using information about the function value and attempt to come up with a set which has noninterfering directions such that a minimization along one direction is not spoiled by subsequent minimization along another. If such a set can be found, then after one cycle the process will converge to the minimizer. Such a set of directions may not even exist for arbitrary functions. However, it can be shown that for a quadratic function, such a set of directions exists. Hence, such methods should terminate after a predetermined finite number of iterations for a quadratic function. This is a useful property of any optimization method and is referred to as quadratic termination. Since a general function can be approximated reasonably well by a quadratic function in the neighbourhood of a minimum, we can expect such methods to converge very fast, once we are close to a minimum. 9.4.5.5 Linear programming In many practical optimization problems, there are constraints on the independent variables. However, finding a minimum of a nonlinear function of several variables in the presence of constraints is a.dificult problem. Hence, we restrict ourselves to only linear functions with linear constraints. Such problems are usually referred to as linear programming (LP) problems. Even if our problem is nonlinear, it may be approximated by a linear model to make it more tractable. The principal application of LP has been in industries, where it is used to determine the optimum allocation of resources subject to various constraints imposed by the prevailing situation. Because of the economic importance of LP, a considerable effort has been put in to develop sophisticated algorithms for solving large LP problems on computers. Problems involving tens of thousands of variables and thousands of
255
constraints have been successfully solved. There is a vast amount of literature available on this issue. Because of its importance, an elaborate quasieconomic terminology has been developed, which, to some extent, obscures the basic numerical process from the nonexperts. In numerical methods, the principal problems of functional approximation can be formulated as LP problems. Rabinowitz (1968) has discussed various applications of LP to numerical analysis.
EXERCISES
9.1 Compute the optimum to an accuracy of 0.001 using the method of steepest descent for an objective function of the form Y = (x: + x2  11) + (xl + x i  7). The starting point of the search has the coordinates (1, 1). 9.2 Compute the optimum to an accuracy of 0.001 using the method of steepest descent for an objective function of the form f ( x ) = lOO(x,  x:) + (1  x ~ ) ~ . The starting point of the search has the coordinates (3, 2). 9.3 Using the method of sequential simplex, minimize the function y = (x: + x2  11)2 + (xl + x i  7)2. Choose the initial simplex of three points as (O,O), (2,0), and (1, 1). Set a = 1.0, p = 0.5, y = 1.5, and E = Perform at least two iterations. 9.4 Using the sequential simplex method, minimize the Himmelblau function f ( x l , xz) = (x: + x2  11)2 + (xl + x i  7)2. Choose the initial simplex of three 8 points as (3, 3), (4, 3), and (3, 4). Set a = 1.0, , = 0.5, y = 0.2, and E = 0.1. Perform at least two iterations. 9.5 Minimize the function Y = (x: + x2  11) + (x, + x i  7) using the sequential simplex method. Take the points defining the initial simplex as (3, 3), (4,3), and (3,4). For convergence, take E = 0.2, and the coefficients of reflection, expansion, and contraction are a = 1.0, p = 0.5, and y = 0.2, respectively. Perform at least two iterations. 9.6 Compute the optimum to an accuracy of 0.001 using the method of steepest descent for an objective function of the form Y = (x: + x2  11) + (xl + x i  7)2. The starting point of the search has the coordinates (1, 1). Take the initial step change in x 2 = 6 x 2 = 0.5. 9.7 The functional relationship between the dependent and independent variables of a chemical process is expressed as z = x2 + xy + y2. Using the optimization routine of the method of steepest descent, find the optimum value of the dependent variable, starting with an initial guess of (2, 2) to an accuracy of 0.0045. 9.8 Using the Lagrangian multiplier optimization technique, find out the dimensions and the optimum surface area of a closed cylindrical tank with a capacity of 500 m3. 9.9 Find out the dimensions and the optimum surface area of a closed cylindrical tank with a capacity of 500 m3 using the method of Lagrangian multipliers.
256
9.10 What are the limitations of optimization as a technique? 9.11 Give a brief account of the range of applications of optimization. 9.12 Discuss the types of optimization. 9.13 Categorize and describe the methods of optimization. 9.14 Give short notes on analytical methods of optimization. 9.15 Give short notes on gradient methods of optimization. 9.16 Compare the method of steepest descent and the method of sequential simplex. 9.17 Draw a neat sketch of the flow diagram for the sequential simplex method. 9.18 Discuss the following optimization techniques: (a) Rosenbrock method (b) Golden section search (c) Brents method (d) QuasiNewton methods (e) Direction set methods (0 Linear programming 9.19 Solve the following equations using the steepest descent method by taking the starting point as (0, 0, 0):
9.20 Minimize f = 4x: + 32  5x1x2 8x1 starting from the point (0,O) using x2 the method of steepest descent and the sequential simplex method. 9.21 Minimize f(x,, x2) = xf  2x:x2 + x + x i  2x, + 1. : 9.22 Minimize f = x + 3 2 + 6x: by taking the starting point as (2, 1, 1). : x2 9.23 Minimize f = 2x: + x i by using the steepest descent method with the starting point (1, 2). 9.24 An electric power of 5 x lo4 kW generated at a hydroelectric plant is to be transmitted 400 km to a stepdown transformer station for distribution at 11 kV. where Z is the The power dissipated due to the resistance of conductors is Z2Cl, line current in amperes and C is the conductance in mhos. Based on the cost of the The delivered power, the resistance loss can be expressed as Rs 0.263(Z2C1). power transmitted ( K ) is related to the transmission line voltage at the power plant ( E ) by the relation K = h E Z , where E is in kV. The cost of conductors is Rs 3.9 x 106C and the investment in equipment needed to accommodate the voltage E is Rs 103E. Find the values of E and C to minimize the cost of the transmission system.
+ x2 = 4 + 2x2+ x3 = 8 x2 + 3x3 = 11
2x,
XI
Most of the traditional optimization techniques based on gradient methods have the possibility of getting trapped at local optima, depending upon the degree of nonlinearity and the initial guess. Hence, these traditional optimization techniques do not ensure the global optimum and also have limited applications. In the recent past, nontraditional search and optimization methods based on natural phenomena (evolutionary computation) such as simulated annealing (SA) (Kirkpatrick et al. 1983), genetic algorithms (GA) (Goldberg 1989), and differential evolution (DE) (Price & Storn 1997), to name a few, have been developed to overcome this problem. These algorithms are stochastic in nature, with probabilistic transition rules. These are comparatively new and are gaining popularity due to certain properties which the deterministic algorithms do not have. These are found to have a better global perspective than the traditional methods (Deb 1996). Floudas et al. (1999) listed many test problems on local and global optimization in their handbook. Moreover, when an optimal design problem contains multiple global solutions, designers are not interested in finding just one global optimum solution, but as many as possible for various reasons. First, a design suitable in one situation may not be suitable in another situation. Second, designers may not be interested in finding the absolute global solution. Instead they may be interested in a solution which corresponds to a marginally inferior objective function value but is more amenable to fabrication. Thus, it is always prudent to know about other equally good solutions for later use. However, if the traditional methods are used to find multiple optimal solutions, they need to be applied a number of times, each time starting from a different initial guess and hoping to achieve a different optimal solution. During the last two decades there has been a growing interest in algorithms based on the principle of evolution (survival of the fittest). A common term, coined recently, refers to such techniques as evolutionary algorithms (EA) or evolutionary
258
computation (EC) methods. The bestknown algorithms in this class include genetic algorithms, evolutionary programming, evolution strategies and genetic programming. There are many hybrid systems which incorporate various features of the above paradigms and consequently are hard to classify, which can be referred to just as EC methods (Dasgupta & Michalewicz 1997). A brief review of the evolutionary computation techniques was also presented by Babu (2001). Some of these most widely used nontraditional optimization techniques (simulated annealing, genetic algorithms, differential evolution, and other evolutionary computation techniques) are discussed in this chapter.
10.1.2 Procedure
The simulated annealing procedure simulates this process of slow cooling of molten metal to achieve the minimum value of a function in a minimization problem. The cooling phenomenon is simulated by controlling a temperaturelike parameter introduced with the concept of the Boltzmann probability distribution. According to the Boltzmann probability distribution, a system in thermal equilibrium at a temperature T has its energy distributed probabilistically according to P(E) = exp (EAT), where k is the Boltzmann constant. This expression suggests that a system at high temperature has almost uniform probability of being in any energy state, but at low temperature it has a small probability of being in a high energy state. Therefore, by controlling the temperature T and assuming that the search process follows the Boltzmann probability distribution, the convergence of an algorithm can be controlled. Metropolis et al. (1953) suggested a way to implement the Boltzmann probability distribution in simulated thermodynamic systems. This can also be used in the function minimization context. Let us say, at any instant the
259
current point is x'') and the function value at that point is E(t) =f(x(')). Using the Metropolis algorithm, we can say that the probability of the next point being at x" ') depends on the difference in the function values at these two points or on AE = E ( f+ 1)  E ( f ) and is calculated using the Boltzmann probability distribution: P(E(t + 1)) = min[l, exp(hE/kT)] (10.1) If c\E I0, this probability is 1 and the point x(' ') is always accepted. In the function minimization context, this makes sense because if the function value at x" ') is better than that at x('), the point x(' ') must be accepted. An interesting sjtuation results when AE > 0, which implies that the function value at x(' ') is worse than that at x('). According to many traditional algorithms, the point x'" ') must not be chosen in this situation. But according to the Metropolis algorithm, there is some finite probability of selecting the point x('+ even though it is worse than the point x('). However, this probability is not the same in all situations. This probability depends on the relative magnitude of AE and T values. If the parameter T is large, this probability is more or less high for points with largely disparate function values. Thus, any point is almost acceptable for a large value of T. On the other hand, if the parameter T is small, the probability of accepting an arbitrary point is small. Thus, for small values of T, the points with only a small deviation in the function value are accepted. Simulated annealing (Laarhoven & Aarts 1987) is a pointbypoint method. The algorithm begins with an initial point and a high temperature T. A second point is created at random in the vicinity of the initial point and the difference in the function values (AE)at these two points is calculated. If the second point has a smaller function value, the point is accepted; otherwise the point is accepted with probability exp (AE/T). This completes one iteration of the simulated annealing procedure. In the next generation, another point is created at random in the neighbourhood of the current point and the Metropolis algorithm is used to accept or reject the point. In order to simulate the thermal equilibrium at every temperature, a number of points (n)are usually tested at a particular temperature before reducing the temperature. The algorithm is terminated when a sufficiently small temperature is obtained or a small enough change in function values is found.
10.1.3 Algorithm
Step 1 Choose an initial point X('), a termination criterion E. Set T sufficiently high, number of iterations to be performed at a particular temperature n, and set t = 0.
Step 2
')
Step 3 If AE = E(x(' ")  E(x('))c 0, set t = t + 1; else create a random number r in the range (0,l). If r 5 exp (AE/T), set t = t + 1; else go to step 2.
260
Step 4 If Ix('+  x(')l c E and T is small, terminate; else if ( t mod n) = 0, then lower T according to a cooling schedule. Go to step 2; else go to step 2.
The initial temperature T and the number of iterations ( n )performed at a particular temperature are two important parameters which govern the successful working of the simulated annealing procedure. If a large initial T is chosen, it takes a number of iterations for convergence. On the other hand, if a small initial T is chosen, the search is not adequate to thoroughly investigate the search space before converging to the true optimum. A large value of n is recommended in order to achieve a quasiequilibrium state at each temperature, but the computation time is more. Unfortunately, there are no unique values of the initial temperature and n that work for every problem. However, an estimate of the initial temperature can be obtained by calculating the average of the function values at a number of random points in the search space. A suitable value of n can be chosen (usually between 20 and 100) depending on the available computing resources and the solution time. Nevertheless, the choice of the initial temperature and the subsequent cooling schedule still remain an art and usually require some trialanderror efforts.
10.2.2 Definition
Genetic algorithms are computerized search and optimization algorithms based on the mechanics of natural genetics and natural selection.
261
5 xi 5 xi(u)
(10.2)
i = 1, 2, ..., N
This is an unconstrained optimization problem. Our aim is to find the maximum of this function by using GAS.
xi = xi
(/)
x y  x!/)
2Il  1
/.I  I
(decoded value)
(10.3)
The decoded value (of si,the binary digit in the coding) is given by the rule
~
where
s; E (0, 1) For example, for a binary code (0111), the decoded value will be
(10.4)
262
(10.5)
So, adhering to the abovementioned rules, it is possible to generate a umber of guesses or, in other words, an initial population of coded points that lie in the given range of the function. Then, we move on to the next step, that is, calculation of the fitness.
10.2.4.2 Fitness
As has already been mentioned, GAS work on the principle of survival of the fittest. This in effect means that the good points or the points that yield maximum values for the function are allowed to continue in the next generation, while the less profitable points are discarded from our calculations. GAS maximize a given function, so it is necessary to transform a minimization problem to a maximization problem before we can proceed with our computations. Depending upon whether the initial objective function needs to be maximized or minimized, the fitness function is hence defined in the following ways: F(x) = A x ) for a maximization problem (10.6) (10.7)
1 1+ f(x>
It should be noted that this transformation does not alter the location of the minimum value. The fitness function value for a particular coded string is known as the strings fitness. This fitness value is used to decide whether a particular string carries on to the next generation or not. GA operation begins with a population of random strings. These strings are selected from a given range of the function and represent the design or decision variables. To implement our optimization routine, three operations are carried out: 1. Reproduction 2. Crossover 3. Mutation
10.2.5 Operators in GA
10.2.5.1 Reproduction
The reproduction operator is also called the selection operator. This is because it is this operator that decides the strings to be selected for the next generation. This is the first operator to be applied in genetic algorithms. The end result of this operation is the formation of a mating pool, where the above average strings are copied in a probabilistic manner. The rule can be represented as
263
(10.8)
The probability of selection of the ith string into the mating pool is given by
(10.9)
where Fi is the fitness of the ith string. Fj is the fitness of thejth string, and n is the population size. The average fitness of all the strings is calculated by summing the fitness of individual strings and dividing by the population size, and is represented by the symbol F:
(10.10) F = i = l n It is obvious that the string with the maximum fitness will have the most number of copies in the mating pool. This is implemented using roulette wheel selection. The algorithm of this procedure is as follows.
Roulette wheel selection Step I Using Fi calculate pi. Step 2
Step 3 Generate n random numbers (between 0 and 1). Step 4 Copy the string that represents the chosen random number in the cumulative probability range into the mating pool. A string with higher fitness will have a larger range in the cumulative probability and so has more probability of getting copied into the mating pool. At the end of this implementation, all the strings that are fit enough would have been copied into the mating pool and this marks the end of the reproduction operation. 10.2.5.2 Crossover
After the selection operator has been implemented, there is a need to introduce some amount of randomness into the population in order to avoid getting trapped in local searches. To achieve this, we perform the crossover operation. In the crossover operation, new strings are formed by exchange of information among strings of the mating pool. For example,
264
oo/ooo
lljlll
00~111
Strings are chosen at random and a random crossover point is decided, and crossover is performed in the method shown above. It is evident that, using this method, better strings or worse strings may be formed. If worse strings are formed, then they will not survive for long, since reproduction will eliminate them. But what if majority of the new strings formed are worse? This undermines the purpose of reproduction. To avoid this situation, we do not select all the strings in a population for crossover. We introduce a crossover probability (p,). Therefore, (loop,)% of the strings are used in crossover. ( 1  p,)% of the strings is not used in crossover. Through this we have ensured that some of the good strings from the mating pool remain unchanged. The procedure can be summarized as follows:
Step I
Step 2 Select pairs of strings at random (generate random numbers that map the string numbers and select accordingly). Step 3 Decide a crossover point in each pair of strings (again, this is done by a random number generation over the length of the string and the appropriate position is decided according to the value of the random number). Step 4 bits.
10.2.5.3 Mutation Mutation involves making changes in the population members directly, that is, by flipping randomly selected bits in certain strings. The aim of mutation is to change the population members by a small amount to promote local searches when the optimum is nearby. Mutation is performed by deciding a mutation probability p m and selecting strings, on which mutation is to be performed, at random. The procedure can be summarized as follows: Step 1 Calculate the approximate number of mutations to be performed by
(10.11)
Step 2 Generate random numbers to decide whether mutation is to be performed on a particular population member or not. This is decided by a coin toss. That is, select a random number range to represent true and one to represent false. If the outcome is true, perform mutation, if false, do not.
265
Step 3 If the outcome found in step 2 is true for a particular population member, then generate another random number to decide the mutation point over the length of the string. Once decided, flip the bit corresponding to the mutation point. With the end of mutation, the strings obtained represent the next generation. The same operations are carried out on this generation until the optimum value is encountered.
10.2.7 Applications of GA
The various applications of GAS include the following: Process design and optimization (Androulakis & Venkatasubramanian 199l), computeraided molecular design (Venkatasubramanian et al. 1994), optimal design of the ammonia synthesis reactor (Upreti & Deb 1997), estimation of heattransfer parameters in tdckle bed reactors (Babu & Vivek 1999), automated design of heat exchangers using artificial intelligence based optimization (Babu & Mohiddin 1999), optimal design of heat exchangers (Manish et al. 1999), etc. Apart from these, there are many applications in different disciplines (Goldberg 1989; Deb 2000). Some of the abovementioned applications are discussed here in brief.
10.2.7.1 Process design and optimization (Androulakis & Venkatasubramanian 1991)
A general optimization framework for discrete and continuous problems based on genetic algorithmic techniques is presented. The proposed framework exhibits a structured information exchange leading to an efficient search procedure. The utility of the method is demonstrated by applying it to the design of an unsplit heat exchanger network. The basic idea of genetic algorithms to develop a new method, called the extended genetic search (EGS), is extended for optimization in continuous
266
spaces. The performance of the EGS for several test cases of nonlinear unconstrained and constrained optimization problems is also presented. The performance of this technique with others, including simulated annealing, is compared. The proposed framework turns out to be quite robust and is able to locate global optimum solutions for problems where gradientbased algorithms fail. The results obtained were comparable to those obtained with simulated annealing. The implementational simplicity of the EGS framework makes it particularly useful as a tool for problems where approximate solutions are needed quickly.
10.2.7.2 Optimal design of ammonia synthesis reactor (Upreti & Deb 1996) This paper presents an optimal design procedure of an ammonia synthesis reactor using GASsearch and optimization techniques based on principles of natural genetics. GASare chosen as an optimization tool simply because of their successful application to many engineering optimization problems. The optimal problem requires maximization of an objective function subject to a number of equality constraints involving the solution of coupled differential equations. Although there exist at least a couple of other studies on the optimal design of the ammonia synthesis reactor, they have ignored some terms in the formulation of the objective function, for which the reported optimal solution does not match the solution obtained using an enumerative search technique. This paper includes those terms, and applies GAS to find the optimal reactor length. Simulation results with GAS find optimal reactor lengths at various feedgas temperatures at the top of the reactor. The results of this paper are also found to agree with the reactors used in industries. The successful application of GAS in the ammonia reactor design suggests GAS immediate application to other reactor design or modelling. 10.2.7.3 Heattransfer parameters in trickle bed reactors (Babu & Vivek 1999) The estimation of heattransfer parameters in a trickle bed reactor (TBR), namely, k,, and h,, using the twodimensional twoparameter pseudohomogeneous model is attempted using the nontraditional optimization algorithmgenetic algorithm. The initial population of points is subjected to operators reproduction, crossover, and mutation to get the desired optimum. The iterative calculations are carried out as long as the sum of the squares of the errors is greater than 0.03, using the experimentally measured temperature profile at three different radial positions in a trickle bed reactor. There is a good agreement between the values of k,, and h, estimated using genetic algorithms and the wellproven radial temperature profile (RTP) method.
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10.2.7.4 Automated design of heat exchangers (Babu & Mohiddin 1999) Heat exchangers are very important in any process industry, and their optimal design is of crucial importance in terms of performance and economy. Due to several design variables and different alternatives for each variable, the design of a shellandtube heat exchanger can be posed as a largescale discrete optimization problem. A genetic algorithm is a nonconventional optimization technique which scores over conventional techniques. In this study, genetic algorithm is applied to the optimal design of the shellandtube heat exchanger, and found to converge in very few (10) generations considering six design variables with a total of 4608 configurations.
Step 1 As a first step we use binary coding to represent the variables x1 and x2. In the calculations shown, we have used 10 bits for each variable (see columns 2 and 3 of Table lO.l), thereby making the total string length 20 for both the variables together. With 10 bits, we can get an accuracy of 1/21 of the search space, i.e., a solution accuracy of (6  0)/(21  1) or 0.006 in the search space of (0,6). Here, we have chosen roulette wheel selection, singlepoint crossover, and a bitwise , mutation operator. The crossover and mutation probabilities @ and p,) are taken to be 0.8 and 0.05, respectively. We have used 20 points in the population. (The thumb rule or heuristic available for the population size Np is 510 times of the dimension of the problem. In the present case, we have two variables, x1 and x2, which means we are dealing with a twodimensional problem. It implies we may choose anywhere between 10 and 20 points as the population size. We have chosen arbitrarily 20 as the population size. The random population is generated by a uniform random number generator with a random seed equal to 5 and shown as in columns 2 and 3 in Table 10.1. Finally, we have set the termination condition t = 30 and initialized the generation counter as t = 0.
The next step is to evaluate each string in the population. We calculate the fitness of the first string. The first substring (1 110111011) decodes to 29 + 28 + 27 + + 24 + 23 + 2l + 2' or 955. Thus, the corresponding parameter value is equal to [0 + (6  O)] x 955/1023 or 5.601. The second substring (1001010000) decodes to 29 + 26 + 24 or 592. Thus the corresponding parameter value is equal to [0 + (6  O ) ] x 592/1023 or 3.472. Thus the first string corresponds to the point
Step 2
flx)
F(x)
Prob.
pi
Cum prob.
Rand no.
0.612 0.441 0.713 0.923 0.245 0.651 0.885 0.775 0.348 0.812 0.745 0.029 0.164 0.786 0.887 0.326 0.734 0.639 0.998 0.008
N,
16 12 16
18
x, (binary)
0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19
1110111011 1101001101 1100001111 0110110100 1000111111 1011010011 1111101110 1010100100 11 O O O 0O O O 1 0000OOO0OI 1011101100 111oo00110 0010101001 1001001011 0001111110 1010100000 0000101010 1111001000 0010101010 111010OOOO
10010 1OOOO I11 1100011 010101001 1 1010100111 1111010101 1111101011 1101001110 1011011101 I100101111 1 lo001 1000 0001110110 0010101010 0000001010 1111100011 1101110111 0011100001 0100011100 1001011000 0010101011 10100 10100
5.601 4.956 4.592 2.557 3.372 4.240 5.900 3.965 3.760 0.006 4.387 5.290 0.991 3.443 0.739 3.941 0.246 5.677 0.997 5.443
3.472 5.836 1.988 3.982 5.754 5.883 4.962 4.299 4.780 4.645 0.692 0.997 0.059 5.836 5.202 1.320 1.666 3.519 1.003 3.87 1
115.827 140.145 66.999 47.880 92.278 118.818 153.739 83.678 86.038 16.993 48.740 71.812 3.017 95.552 31.382 45.834 2.297 118.967 4.988 1 17.943
0.009 0.007 0.015 0.020 0.011 0.008 0.006 0.012 0.01 1 0.056 0.020 0.014 0.249 0.010 0.031 0.021 0.303 0.008 0.167 0.008
0.009 0.007 0.015 0.021 0.011 0.008 0.007 0.012 0.012 0.056 0.020 0.014 0.252 0.010 0.03 1 0.022 0.307 0.008 0.169 0.009
0.009 0.0 16 0.031 0.051 0.062 0.07 1 0.077 0.089 0.101 0.157 0.178 0.191 0.443 0.454 0.485 0.507 0.814 0.822 0.991 1.ooo
12 16 18 16 12 16 16 2 10 16 18 12 16 16 19 0
1 0 1 0 0 0 0 0 0 0 1 0 4 0 0 0 9 0 3 1
0000101010 0010101001 0000101010 0010101010 0010101001 0000101010 0010101010 0000101010 0010101001 0000101010 0000101010 1100001111 1011101100 0000101010 0010101010 0010101001 0000101010 0000101010 1110100000 1110111011
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(5.601, 3.472). These values are shown for all the population points as x1 and x2in columns 4 and 5 , respectively, of Table 10.1. These values can now be substituted in the objective function expression to obtain the function valueflx). The function value at this point was found to be 115.827. These values are shown in column 6 of Table 10.1. Since this is a minimization function, the fitness function value is given by F(x) = 1/[1 +Ax)]. Therefore, the fitness function value is 1/(1 + 115.827) = 0.00855966514, which is shown as 0.009 in the table. Similarly, other strings in the population are evaluated and their fitness values are calculated as shown in column 6 of Table 10.1. These values are used in the reproduction operation.
Step 3 Here we check for termination. Since this is the first iteration t = 0, we proceed to step 4. We continue like this till t = 30 (i.e., the maximum number of generations which is prespecified. Step 4 At this step, we select the good strings that must form the mating pool. In order to use the roulette wheel selection procedure, we first calculate the probability of selection of the given population point. The probability of selection of the ith string into the mating pool is given by Eq. (10.9) as shown below:
= 0.009 + 0.007 + 0.015 + 0.020 + 0.011 + 0.008 + 0.006 + 0.012 + 0.011 + 0.056 + 0.020 + 0.014 + 0.249 + 0.010 + 0.031 + 0.021 + 0.303 + 0.008 + 0.167 + 0.008 = 0.986
Then, for the first string, p 1 = 0.009/0.986 = 0.009127 This procedure is followed for all the 20 population strings and shown as pi (probability of each string being copied in the mating pool) in column 8 of Table 10.1. Next the cumulative probabilities are calculated and represented in column 9 of Table 10.1.In order to form the mating pool, we create random numbers between 0 and 1 (column 10 of Table 10.1) and identify the particular string which is specified by each of these random numbers. For example, if the random number generated is 0.612, the 16th string gets a copy in the mating pool because that string occupies the interval (0.507, 0.814). Column 11 shows the selected string. Similarly, other strings are selected according to random numbers shown in column 10.After this selection procedure is repeated n times, the number of selected copies
270
for each string is counted. This is shown in column 12 of Table 10.1. Columns 8 and 12 reveal that the theoretical expected count and the true count of each string more or less agree with each other. Thus we can see that the reproduction operator probabilistically eliminates inferior points from further consideration. As can be seen, the 16th string is selected nine times, while the 12th and 18th strings are selected four and three times, respectively. The Oth, 2nd, loth, and 19th strings are selected only once, and all the remaining strings are not selected at all. Notice that not all selected points are better than all rejected points. Though roulette wheel selection is easier, it is noisy, so we can also use other reproduction techniques such as tournament selection.All the selected population points are shown as the mating pool in columns 13 and 14 of Table 10.1.
Step 5 In this step we perform crossover. In singlepoint crossover, two strings are selected at random and crossed at a random site. First, we have to choose a site for crossover. For this, a random number between 1 and 20 is generated and the respective position is taken as crossover site for each string. Here we perform a crossover between adjacent strings, and since we are performing singlepoint crossover, the crossover site is taken to be same for adjacent strings. Not all strings take part in the crossover. It again depends on the crossover probability we have chosen, i.e., if it is 0.8 then 80% of the strings take part in the crossover. Now, which pairs of strings take part in the crossover is again decided by generating a random number between 0 and 1; and if it is less than 0.8 (crossover probability) we go for the crossover, otherwise we do not. Let us take the first two strings in the mating pool: 00001010100100011100and 0010101001000OOO1010. The crossover site was randomly generated as 11 (as shown in column 4 of Table 10.2). So we swap all the bits to the right of the 1lth position (i.e., 12th bit onwards) in the first two strings to get the children strings, i.e.,
Parent strings: 00001010100100011100 00101010010000001010 Children strings: 00001010100000001010 00101010010100011100 Like this, we generate two new strings for every pair of substrings in the mating pool (the crossover site for strings 0 and 1 is 11, for strings 2 and 3 is 0, for strings 4 and 5 is 9, for strings 6 and 7 is 1, for strings 8 and 9 is 0, for strings 12 and 13 is 12, for strings 14 and 15 is 10, for strings 16 and 17 is 17, and for strings 18 and 19 it is 1) and form the intermediate population, which is shown in columns 5 and 6 of Table 10.2.
Mating pool
XI
After crossover
After mutation
x , (binary) x2 (binary)
X,
(binary)
(binary)
010001 1100 00000010 10 010001 1100 0010101011 000000 10 10 010001 1100 0010101011 010001 1100 000000 1010 010001 1100 0100011100 0101010011 0001 110110 0100011100 001010101 1 0000001010 010001 1100 010001 1100 1010010100 10010 10000
H 11 11 0 0 9 9 1 1 0 0
x1 (binary)
x2 (binary)
Xz
Ax)
F(x)
0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19
0000101010 001010 1001 0000101010 0010101010 0010101001 0000101010 0010101010 0000101010 0010101001 0000101010 0000101010 1100001111 1011101100 000010 1010 0010101010 0010 101001 0000 1010 10 0000101010 11 10100000 1110111011
N N
12 12 10 10 17 17 1 1
oo0010 1010 0010101001 0010101010 o000101010 001010I 000 oo00101011 0000 101010 0010101010 0000101010 00 10101001 0000101010 1100001111 1011101100 000010 1010 0010101010 001010 1001 m101010 0000101010 1110111011 1110100000
00m1010 Olo0011100 0010101011 Olo0011100 0100011100 0000001010 01o0011100 0010101011 Olo0011100 00oO001010 Olo0011100 0101010011 0000011100 0101110110 0000001010 0010101011 0100011100 0100011100 1001010000 1010010100
0000101010 00lO!Ol001 0010101010 0oO0101010 0010101oO0 0000101011 0000101010 001o001010 oooo101010 0010101011 1o00101010 110oO01110 1011101100 0011101010 0010101010 0010101001 0oO0101011 oo00101010 1110111011 1110100000
OOOOOOIOOO
01o0010100 1101010011 01oO011100 0101010110 m001000 001o001011
ooooo11 100
010001 lo00 100101m 1010010100
0.246 0.991 0.997 0.246 0.985 0.252 0.246 0.809 0.246 1.003 3.249 4.587 4.387 1.372 0.997 0.991 0.252 0.246 5.601 5.443
0.059 1.666 3.994 2.041 1.666 0.059 1.666 1.003 1.666 0.047 1.619 4.991 1.666 2.006 0.047 0.815 0.164 1.642 3.472 3.871
0.341 7.367 22.909 3.498 7.318 0.354 2.297 3.746 2.297 3.064 35.886 112.364 58.604 12.663 3.034 4.422 0.325 2.231 115.827 117.943
0.746 0.120 0.042 0.222 0.120 0.739 0.303 0.21 1 0.303 0.246 0.027 0.09 0.017 0.073 0.248 0.184 0.755 0.309 0.009 0.008
3
3
? z
g.
0"
2
0
J L
3'
272
Step 6 By performing a crossover alone we cannot guarantee better child strings. Sometimes a situation may arise when a neighbouring string is better. For example, if we want a child string with 1 in the second position, performing crossover on the parent strings (00001010100000001010, 0010101001010001 1100) will not help unless the bit in the second position of either string is 1. This can be done by mutation, which is nothing but flipping of the bits (0 becomes 1, and 1 becomes 0). So we again randomly find out, i.e., generate a random number between 0 and 1 for each and every bit. If the value of the random number is less than 0.05 (i.e., pm, the mutation probability), we flip that bit, otherwise we do not. Like this, we repeat the process for each and every string. Like the crossover operator, mutation has created some points better and some points worse than the original points. The new points after mutation are shown in columns 7 and 8 of Table 10.2. The cross over sites are shown in bold, i.e., the sites where the bits are shown in bold in columns 5 and 6 are flipped and columns 7 and 8 are generated. And this actually enables GA to explore the search space. Note that the mutation is applied at very few places. In fact, we want it to happen in this limited way and that is the reason why the mutation probability is always kept to a very low value (0.05 in this case).
Step 7 The resulting population after crossover and mutation becomes the new population for the next generation (columns 7 and 8 of Table 10.2). We now evaluate each string as before, by first identifying the substrings for each variable and mapping the decoded values of the substrings in the chosen intervals. These are shown in columns 9 and 10 of Table 10.2. This completes one iteration (or one generation) of the genetic algorithm. We increment the generation counter to t = 1 and proceed to step 3 for next iteration (generation). Like this, we proceed till r becomes 30.
273
In GAS only integers are used and the coding is done in binary format; in DE, no coding is involved and floatingpoint numbers are directly used. If GASare to be made to handle negative integers, then the coding becomes complicated since a separate signed bit has to be used; in DE, this problem does not arise at all.
10.3.3 DE at a Glance
As already stated, DE in principle is similar to GA. So, as in GA, we use a population of points in our search for the optimum. The population size is denoted by NP. The dimension of each vector is denoted by D. The main operation is the NP number of competitions that are to be carried out to decide the next generation. To start with, we have a population of NP vectors within the range of the objective function. We select one of these NP vectors as our target vector. We then randomly select two vectors from the population and find the difference between them (vector subtraction). This difference is multiplied by a factor F (specified at the start) and added to a third randomly selected vector. The result is called the noisy random vector. Subsequently, crossover is performed between the target vector and the noisy random vector to produce the trial vector. Then, a competition between the trial vector and the target vector is performed and the winner is replaced into the population. The same procedure is carried out NP times to decide the next generation of vectors. This sequence is continued till some convergence criterion is met. This summarizes the basic procedure carried out in differential evolution. The details of this procedure are described below.
274
Target vector
X i
 Iy 7vector
I
Trial vector
Crossover
.'>
x,'x,
cost of
////
Step 1 Generate NP random vectors as the initial population: Generate (NP x D) random numbers and linearize the range between 0 and 1 to cover the entire range random numbers, generate NP random vectors, of the function. From these (NP x 0) each of dimension D, by mapping the random numbers over the range of the function.
Step 2 Choose a target vector from the population of size NP: First generate a random number between 0 and 1. From the value of the random number decide which population member is to be selected as the target vector ( X i )(a linear mapping rule can be used). Step 3 Choose two vectors at random from the population and find the weighted difference: Generate two random numbers. Decide which two population members are to be selected (X,,Xb). Find the vector difference between the two vectors (X, Xb). Multiply this difference by F to obtain the weighted difference.
(10.12)
275
Step 4 Find the noisy random vector: Generate a random number. Choose a third Add random vector from the population (X,). this vector to the weighted difference . to obtain the noisy random vector (Xf) (10.13) Noisy random vector (Xf = X , + F(X,  Xb) ) Step 5 Perform crossover between Xiand Xi to find X,, trial vector: Generate the D random numbers. For each of the D dimensions, if the random number is greater into than CR, copy the value from Xi the trial vector; if the random number is less than CR, copy the value from Xf into the trial vector. Step 6 Calculate the cost of the trial vector and the target vector: For a minimization problem, calculate the function value directly and this is the cost. For a maximization problem, transform the objective function Ax) using the rule, F(x) = 1/[1 +Ax)] and calculate the value of the cost. Alternatively, directly calculate the value ofAx) and this yields the profit. In case cost is calculated, the vector that yields the lesser cost replaces the population member in the initial population. In case profit is calculated, the vector with the greater profit replaces the population member in the initial population. Steps 16 are continued till some stopping criterion is met. This may be of two kinds. One may be some convergence criterion that states that the error in the minimum or maximum between two previous generations should be less than some specified value. The other may be an upper bound on the number of generations. The stopping criterion may be a combination of the two. Either way, once the stopping criterion is met, the computations are terminated.
10.3.6 Strategies in DE
Several strategies have been proposed in DE. A list of them is as follows: (a) DE/ best/l/exp, (b) DE/best/2/exp, (c) DE/best/l/bin, (d) DE/best/2/bin, (e) DE/randtobest/l/exp, (0 DE/randtobest/l/bin, (g) DE/rand/l/bin, (h) DE/rand/2/bin, (i) DE/rand/l/exp, and Q) DE/rand/2/exp. The notations that have been used in the above strategies have distinct meanings. The notation after the first '/', i.e., best, randtobest, and rand, denotes the choice
276
of the vector X,. Bestmeans that X , corresponds to the vector in the population that has the minimum cost or maximum profit. Randtobest means that the weighted difference between the best vector and another randomly chosen vector is taken as X,. Rand means X , corresponds to a randomly chosen vector from the population. The notation after the second /, i.e., 1 or 2, denotes the number of sets of random vectors that are chosen from the population for the computation of the weighted difference. Thus 2 means the value of X ; is computed using the following expression: (10.14) x: = xc + F ( X a l  x b l ) + F ( X a 2  xb2,) where Xal, x b l , Xa2, and x b 2 are random vectors. The notation after the third /, i.e., exp or bin, denotes the methodology of crossover that has been used. Exp denotes that the selection technique used is exponential and bin denotes that the method used is binomial. What has been described in the preceding discussion is the binomial technique where the random number for each dimension is compared with CR to decide from where the value should be copied into the trial vector. But, in the exponential method, the instant a random number becomes greater than CR, the rest of the values are copied from the target vector. Apart from the abovementioned strategies, there are some more innovative strategies that are being worked upon by the authors group (discussed in Sec. 10.3.7) and implemented on some application (Sec. 10.3.8).
10.3.7 Innovations on DE
The following additional strategies are proposed by the author and his associates, in addition to the ten strategies listed before: (k) DE/best/3/exp, (1) DE/best/3/bin, (m) DE/rand/3/exp, and (n) DE/rand/3/bin. Very recently, a new concept of nested DE has been successfully implemented for the optimal design of an autothermal ammonia synthesis reactor (Babu et al. 2002). This concept uses DE within DE wherein an outer loop takes care of optimization of key parameters (NP is the population size, CR is the crossover constant, and F is the scaling factor) with the objective of minimizing the number of generations required, while an inner loop takes care of optimizing the problem variables. Yet, the complex objective is the one that takes care of minimizing the number of generations/function evaluations and the standard deviation in the set of solutions at the last generatiodfunction evaluation, and trying to maximize the robustness of the algorithm.
10.3.8 Applications of DE
DE is catching up fast and is being applied to a wide range of complex problems. Some of the applications of DE include the following: digital filter design (Storn
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1995), fuzzydecisionmaking problems of fuel ethanol production (Wang et al. 1998), design of a fuzzy logic controller (Sastry et al. 1998), batch fermentation process (Chiou & Wang 1999; Wang & Cheng 1999), dynamic optimization of a continuous polymer reactor (Lee et al. 1999), estimation of heattransfer Parameters in a trickle bed reactor (Babu & Sastry 1999), optimal design of heat exchangers (Babu & Munawar 2000; 2001), Optimization and synthesis of heat integrated distillation systems (Babu & Singh 2000), optimization of an alkylation reaction (Babu & Chaturvedi 2000), optimization of nonlinear functions (Babu & Angira 2001a), optimization of thermal cracker operation (Babu & Angira 2001b), scenariointegrated optimization of dynamic systems (Babu & Gautam 2001), optimal design of an autothermal ammonia synthesis reactor (Babu et al. 2002), global optimization of mixed integer nonlinear programming (MINLP) problems (Babu & Angira 2002a), optimization of nonlinear chemical engineering processes (Babu & Angira 2002b; Angira & Babu 2003), etc. A detailed bibliography on DE covering the applications on various engineering and other disciplines is available in literature (Lampinen 2003). Let us discuss some of them in brief.
10.3.8.1 Digital filter design (Storn 1995) The task of designing an 18parameter infinite impulse response (IIR) filter which has to meet stringent specifications for both magnitude response and group delay is discussed. This problem must normally be tackled by specialized design methods and requires expertise in digital signal processing for its solution. The use of the generalpurpose minimization method DE, however, allows one to perform the filter design with a minimum knowledge about digital filters. 10.3.8.2 Fuzzydecisionmakingproblems of fuel ethanol production (Wang et al. 1998) A fuzzydecisionmaking procedure is applied to find the optimal feed policy of a fedbatch fermentation process for fuel ethanol production using a genetically engineered Succhuromyces yeast 1400 (pLNH33). The policy consisted of feed flow rate, feed concentration, and fermentation time. The recombinant yeast 1400 (pLNH33) can utilize glucose and xylose simultaneously to produce ethanol. However, the parent yeast utilizes glucose only. A partially selective model is used to describe the kinetic behaviour of the process. In this study, this partially selective fermentation process is formulated as a general multipleobjective optimal control problem. By using an assigned membership function for each of the objectives, the general multipleobjective optimization problem can be converted into a maximizing decision problem. In order to obtain a global solution, a hybrid method of differential evolution is introduced to solve the maximizing decision problem. A simple guideline is introduced in the interactive programming procedures to find a satisfactory solution to the general multipleobjective optimization problem.
278
10.3.8.3 Batch fermentation process (Chiou & Wang 1999) A hybrid algorithm of evolutionary optimization, called hybrid differential evolution (HDE), is developed in this study. The acceleration phase and migration phase are embedded into the original algorithm of DE. These two phases are used to improve the convergence speed without decreasing the diversity among individuals. With some assumptions, this hybrid method is shown as a method using N p parallel processors of the twomember evolution strategy, where Np is the number of individuals in the solution space. The multiplier updating method is introduced in the proposed method to solve the constrained optimization problems. The topology of the augmented Lagrange function and the necessary conditions for the approach are also investigated. The method is then extended to solve the optimal control and optimal parameter selection problems. A fedbatch fermentation example is used to investigate the effectiveness of the proposed method. For comparison, several alternate methods are also employed to solve this process. 10.3.8.4 Estimation of heattransfer parameters in a trickle bed reactor (Babu & Sastry 1999) A new nonsequential technique is proposed for the estimation of effective heattransfer parameters using radial temperature profile measurements in a gasliquid cocurrent down flow through packed bed reactors (often referred to as trickle bed reactors). The orthogonal collocation method combined with a new optimization technique (DE) is employed for estimation. DE is an exceptionally simple, fast, and robust, populationbased search algorithm which is able to locate nearoptimal solutions to difficult problems. The results obtained from this new technique are compared with those of the RTP method. Results indicate that orthogonal collocation augmented with DE offers a powerful alternative to other methods reported in the literature. The proposed technique takes less computational time to Gonverge when compared to the existing techniques, without compromising on the accuracy of the parameter estimates. This technique takes an average 10 s on a 90MHz Pentium processor as compared to 30 s taken by the RTP method. This new technique also assures convergence from any starting point and requires a less number of function evaluations. 10.3.8.5 Optimal design of heat exchangers (Babu & Munawar 2000) We all must accept that nature knows the best! and we try to mimic nature and its natural phenomena in our efforts for the development of technology and resources. Few of the outcomes of such efforts are the evolution of nontraditional optimization techniques such as SA, GA, and DE. In the recent past, these algorithms have been successfully applied to solve complex engineering optimization problems and are widely known to diffuse very close to the global optimum solution. The simple
279
GA was later modified to enable it to work with real variables, followed by the evolution of strategies for faster convergence. Differential evolution DE, an improved version of GA, is an exceptionally simple evolution strategy that is significantly faster and robust at numerical optimization and is more likely to find a functions true global optimum. This paper presents the application of differential evolution for the optimal design of shellandtube heat exchangers. A primary objective in the heatexchanger (HE) design is the estimation of the minimum heattransfer area as it governs the overall cost of the HE. However, many discrete combinations of design variables are possible. Hence a design engineer needs an efficient strategy to search for the global minimum HE cost. In the present study, for the first time, differential evolution has been successfully applied with 161,280 design configurations by varying the design parameters such as the tubes outer diameter, tube pitch, tube length, number of tube passes, baffle spacing, and baffle cut. For comparison, SA and GA are also applied to the above problem. Genetic algorithms consume less computational time relative to SA and have the advantage over other methods in obtaining multiple solutions of the same quality, thus providing more flexibility to a designer. Among DEs advantages are its simple structure, ease of use, speed, and robustness. Significant savings in the HE cost and computational time have been achieved using DE, proving it to be a potential tool for accurate and faster optimization.
10.3.8.6 Optimization and synthesis of heat integrated distillation systems (Babu & Singh 2000)
A new evolutionary technique for optimization and synthesis of heat integrated distillation systems is proposed. This evolutionary technique, differential evolution, inherits basic features of a genetic algorithm. Synthesis and optimization of heat integrated distillation systems is complex due to the huge search space in which global optimum may be located. Traditional techniques do not locate the global optimum when heat integration is also taken into consideration. Differential evolution is a populationbased search algorithm that is able to locate near optimum solution to difficult problems of multidimensional search space. Differential evolution requires a less number of function evaluations and assures convergence from any starting point.
10.3.8.7 Optimization of an alkylation reaction (Babu & Chaturvedi 2001)
The alkylation process is an important reaction used in refineries to upgrade light olefins and isobutene into a much more highly valued gasoline component. The primary alkylation reaction involves the reaction of isobutene with a light olefin, such as butylene, in the presence of a strong acid catalyst to form the high octane. A longstanding problem is to determine the optimal operating conditions for the
280
alkylation process. In order to achieve this, differential evolution has been employed. An improved scheme of genetic algorithms, differential evolution is exceptionally simple, fast, and robust. It is primarily a search algorithm that is able to locate nearoptimal solutions to difficult problems. An analysis of the results obtained on varying the parameters of the problem is also presented.
10.3.8.8 Optimization of nonlinear functions (Babu & Angita 2001)
Global optimization is important if the function has a number of optima, of which some are local and some global. Since many realworld problems contain multiple optima, traditional methods may not be adequate to solve such problems due to the possibility of getting trapped at local optimum. Hence they do not ensure global optima. In this paper, a nonlinear function (Himmelblau function) with three local optima and one global optimum has been solved by using DE. The results obtained from DE are compared with that of GA. The Himmelblau function is given by
f ( x ) = ( x ; + x2  11)2 + (XI + x;  7)2 Figure 10.2 shows the F A , DEIFA, GA versus NINP for GA and DE [strategy 2 (DE2) and strategy 7 (DE7)], where F A , DE is the average number of function evaluation using DE, FA,GA is the average number of function evaluation using GA, N is the population size in the case of GA, and NP is the population size in the case of DE.
700
+GA
*DE7
0
20
30
Population size ( N I N P )
40
From Fig. 10.2, it is clear that F A , DE c F A , GA. Strategy 7 (that takes minimum number of function evaluations) is found to be the best for the present problem. Hence it can be concluded that the performance of DE is better than that of GA. This successful application of DE over GA for the Himmelblau function indicates that DE has great potential and can be applied to advantage in all the highly nonlinear and complex engineering problems.
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10.3.8.9 Optimal design of shellandtube heat exchangers (Babu & Munawar 2001)
This paper presents the application of DE for the optimal design of shellandtube heat exchangers. The main objective in any heatexchanger design is the estimation of the minimum heattransfer area required for a given heat duty, as it governs the overall cost of the heat exchanger. Millions of configurations are possible with various design variables such as the outer diameter, pitch, and length of the tubes; tube passes; baffle spacing; baffle cut, etc. Hence a design engineer needs an efficient strategy in searching for the global minimum. In the present study, for the first time DE, an improved version of GAS, has been successfully applied with different strategies for 161,280 design configurations using Bells method to find the heattransfer area. In the application of DE, 9680 combinations of the key parameters are considered. For comparison, GAS are also applied to the same case study with 1080 combinations of its parameters. For this optimal design problem, it is found that DE, an exceptionally simple evolution strategy, is significantly faster compared to GA and yields the global optimum for a wide range of the key parameters.
10.3.8.1 0 Optimization of thermal cracker operation (Babu & Angira 2001)
This paper presents the application of DE, an evolutionary computation method, for the optimization of thermal cracking operation. The objective in this problem is the estimation of optimal flow rates of different feeds to the cracking furnace under the restriction on ethylene and propylene production. Thousands of combinations of feeds are possible. Hence an efficient optimization strategy is essential for searching the global optimum. In the present study, the LP simplex method and DE have been successfully applied with different strategies to find the optimum flow rates of different feeds. In the application of DE, various combinations of the key parameters are considered. It is found that DE is significantly faster and yields the global optimum for a wide range of the key parameters. The results obtained from DE are compared with that of LP simplex method.
10.3.8.11 Scenariointegratedoptimization of dynamic systems (Babu & Gautam 2001)
In any chemical process industry, it is necessary to assess the consequences of unexpected events such as equipment failures, change of raw material prices. and product demand. In this work, these unexpected events are called scenarios, which allow the determination of operational strategies that are economically optimal and keep the plant within a chosen regime in the state space. This is achieved by the consideration of several scenarios. The formulations in this paper are based on a unifying model framework containingboth discrete and continuous dynamics. Taking the case of a single scenario, differential evolution is used for the scenariointegrated
282
dynamic optimization of the formulated problem. The applicability of this technique is demonstrated with an example.
10.3.8.12 Optimal design of an autothermal ammonia synthesis reactor (Babu et al. 2002) In the present study, DE is applied to the optimal design of an autothermal ammonia synthesis reactor. This paper also presents the new concept of nested DE (DE is also used to find the best combination of key parameters of DE itself). The main objective in the optimal design of an autothermal ammonia synthesis reactor is the estimation of the optimal length of a reactor for different top temperatures with the constraints of energy and mass balance of reaction and feedgas temperature and massflow rate of nitrogen for ammonia production. Thousands of combinations of feedgas temperature, nitrogen massflow rate, reacting gas temperature, and reactor length are possible. This paper presents the application of four methods, namely, Eulers method, RungeKutta method (both variable and constant step size), and Gears method in combination with DE, and verifies the contradictory results reported using GA in earlier literature. A software package POLYMATH is also used to solve the three equality constraints, i.e., three coupled differential equations. Apart from determining the optimal reactor length, the comparison of results obtained from different methods is presented. DE is found to be a robust, fast, and simple evolutionary computation technique for optimization problems. 10.3.8.1 3 Global Optimization of MINLP problems (Babu & Angira 2002a) The global optimization of MINLP problems is an active research area in many engineering fields. In this work, DE is used for the optimization of nonconvex MINLP problems and a comparison is made among the algorithms based on hybrid of simplex and simulated annealing (MSIMPSA), GA, and DE. It is found that DE is significantly faster and yields the global optimum for a wide range of the key parameters. Results indicate that DE is more reliable, efficient, and hence a better approach to the optimization of nonconvex nonlinear problems. DE is found to be the best evolutionary computation method in all the problems studied. 10.3.8.14 Global optimization of nonlinear chemical engineering processes (Babu & Angira 2002b; Angira & Babu 2003) The first paper (Babu & Angira 2002b) presents the application of DE for the optimization of nonlinear chemical processes. Two test problems optimum fuel allocation in power plants and optimization of the drying process for a throughcirculation dryer, taken as case studies, are solved using DE. Comparison is made with a traditional algorithm based on direct search and systematic search region reduction. It is found that DE is significantly faster and yields the global optimum for a wide range of the key parameters.
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The second paper (Angira & Babu 2003) deals with the DE application to two highly nonlinear chemical engineering processes, namely, the heatexchanger network problem and reactor network problem. DE is found to be exceptionally simple, significantly faster, and robust at numerical optimization and it is more likely to find a functions true global optimum. Comparison is made with the aBB algorithm (which is based on a branchandbound approach). The results indicate that performance of DE is better than the aBB algorithm.
f ( x , , x 2 ) = x1  x2
2 2 + 2x1 + 2x,x2 + x2
(10.15)
The DE key parameters are chosen as NP = 20 (10 times the dimension of the problem, i.e., 10 x 2 = 20), CR = 0.5, F = 0.8.
Step 1 Population initialization Initialize population (20 points) randomly between the given upper and lower bounds for all the parameters (second and third columns of Table 10.3).
Table 10.3 Initial population. x, and x, are variables and cost is the objective function
x1
x7
cost
0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19
3.677337 2.338032 0.528440 1.187137 3.133475 3.216689 0.447552 4.642 198 2.412028 5.517039 4.42203 1 3.36038 1 4.689647 4.020225 4.645876 4.023861 5.000684 3.093430 4.498183 5.460903
0.222648 3.289922 5.870270 4.523740 4.677932 2.511420 1.098901 1.944511 0.662900 5.075050 4.354949 3.322859 2.206954 3.727019 2.039149 3.51 1431 5.525994 4.681739 2.8 10695 3.884746
32.187374 36.188379 35.8809 12 30.686806 69.292287 43.863578 1.940472 67.632426 17.022193 143.072049 96.656809 55.995388 72.038578 76.475217 68.88044 1 73.484507 135.292475 68.434256 75.340828 118.738774
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Step 2 Cost evaluation Calculate the objective function value [using Eq. (10.15)] for initial population (fourth column in Table 10.3). Step 3 Mutation and crossover In Table 10.4, i is population counter i = (0, 1, 2, ..., 19) (first column). 1 Randomly choose three population points a , b, and c such that . i f a f b C (see the second, third, and fourth columns in Table 10.4). 2. Select randomly a parameterj for mutation (fifth column in Table 10.4), 0 = 0, 1). 3. Generate a random number [0,1] (sixth and seventh columns in Table 10.4).
If this is less than CR (0.5), i.e., the crossover constant mutates the parameter as shown in the equation below:
trial [ j ] = x l [ c ] [ j ]
+ F ( x l [a] [ j ]  x l
[b] [ j ] ) ,
where F = 0.8 for this problem. If this is not less than CR, take the parameter as shown in the equation below:
trial [ j ] = xl [i] [ j ]
(eighth and ninth columns in Table 10.4). Check for bounds; if bounds are violated, then randomly generate the parameter as shown below:
trial [ j ] = lower limit
(Columns 10 and 11 in Table 10.4) (lower limit = 0.0 and upper limit = 6.0). Repeat 3 til.1 all parameters are mutated. Here we have two parameters.
Step 4 Evaluation Calculate the objective function value for the vector obtained after mutation and crossover (see column 12 in Table 10.4). Step 5 Selection Select the least cost vector for next generation, if the problem is of minimization as is the case with the present problem (see columns 24 in Table 10.5). Step 6 Repeat Repeat steps 3 to 5 for a specified number of generations, or till some termination criterion is met. The optima is at x1 = 0.0 and x2 = 0.5 withflx) =  0.25.
a 8 14 4 2 15 19 15 1 3 19 16 15 2 9 8 17 11 8 9 0
randno.[0, 11
randno.[0, 11 0.699338 0.5914 0.260761 0.315992 0.882461 0.978825 0.613161 0.824881 0.457 I95 0.796946 0.073992 0.354696 0.255899 0.146946 0.54419 0.71658 1 0.551914 0.201341 0.197326 0.064069
x,
x2
XI
x2
cost
0 1 2 3 4
5 6 7 8 9 10 11 12 13 14 15 16 17 18 19
14 15 6 7 11 15 10 19 18 16 11 2 6 19 3 11 14 14 7 9
7 3 16 6 13 0 14 3 13 17 7 9 10 17 5 18 4 7 13 6
1 1 0 1 1 1
1
0 1 0 0 1 0 1 1 1 1 1 1 1
0.4602 1 0.894391 0.31743 0.381619 0.058299 0.659134 0.1 15894 0.086053 0.095357 0.006763 0.214108 0.845929 0.781496 0.0628 14 0.564136 0.24459 0.005858 0.604323 0.889923 0.127835
2.855120 1.684749 7.149422 2.84345 4.551009 4.826971 4.327340 1.31 1I6 1.371389 3.461605 5.954440 8.3 13375 4.689647 3.138339 4.196601 4.284621 2.105079 2.855120 4.720098 1.0242 1
0.843512 3.289922 8.389219 4.23951 3.877877 2.511420 1.364335 4.04788 1 5.097455 3.36874 1 3.707019 3.322859 8.172045 5.633982 2.039149 3.897799 5.704900 4.681739 2.810695 2.78302
1.935486 4.197434
2.563926
3.239810
3.081357
23.843 199 25.980564 1.109460 13.843822 88.758375 92.430927 79.467 166 54.084030 48.805758 40.000583 58.729204 131&I6566 53.481945 2.577234 76.912755 84.307141 58.653499 85.6968 13 61327322 63.129346 80.901567 3.496450 52.347228
286
cost
0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19
2.855 120 1.684749 1.935486 1.187137 3.133475 3.216689 0.447552 2.563926 2.412028 3.46 1605 4.42203 1 3.239810 4.689647 4.020225 4.196601 4.023861 2.105079 2.855120 4.498 183 3.08 1357
0.843512 3.289922 1.109460 4.523740 4.677932 2.51 1420 1.098901 4.047881 0.662900 3.368741 4.354949 3.322859 2.206954 3.7270 19 2.039149 3.51 1431 5.704900 4.681739 2.8 10695 3.496450
23.843 199 25.980564 13.843822 30.686806 69.292287 43.863578 1.940472 48.805758 17.022193 58.729204 96.656809 53.48 1945 72.038578 76.475217 58.653499 73.484507 61.827322 63.129346 75.340828 52.347228
287
In the ( p , A) evolution strategy, at a given generation, there are p parents, and A offspring are generated by mutation (assuming that A > p ) . Next, the A members are sorted according to their objective function values. Then, the p best of A members generated become the parents of the next generation (i.e., the selection takes place between the A members). For detailed algorithms, refer to the work by Costa and Oliveira (2001).
288
10.4.3.1 Fitness function The most difficult and most important concept of genetic programming is the fitness function. The fitness function determines how well a program is able to solve the problem. It varies greatly from one type of program to the next. For example, if one were to create a genetic program to set the time of a clock, the fitness function would simply be the amount of time that the clock is wrong. Unfortunately, few problems have such an easy fitness function;most cases require a slight modification of the problem in order to find the fitness. Genetic algorithms do not appear to be appropriate for symbolic regression problems, where the structure and parameters of a model are to be determined simultaneously. This is because GAS generally use fixed length binary strings to code potential solutions to a problem. Clearly this is unsuitable for symbolic regression, where the model structure is allowed to vary during evolution. However, GP is a closely related approach that does lend itself to the implementation of symbolic regression. Genetic programming differs from GAS in the following points: 1. Tree structure variable length chromosomes (rather than fixed length and structure). 2. Chromosomes coded in a problemspecific fashion (that can usually be executed in their current form) rather than binary strings. 3. Genetic operators that preserve the syntax of the tree structured chromosomes during reproduction.
the more successful emerging ideas in the ongoing research effort to understand populationbased and local search algorithms. The idea itself is simply to hybridize the two types of method. Memetic algorithmsrepresent a particular way of achieving the hybridization, one which has chalked up a considerable number of successes in recent years.
Scatter search was invented by Glover (1995, 1999). Scatter search focuses the use of previously generated candidate solutions in the generation of new ones. Similar to differential evolution, scatter search emphasizes the production of new
289
solutions by a linear combination of the reference solutions, although guided instead by combining intensification and diversification themes, and introducing strategies for rounding integer variables.
i.
Termination criterion satisfied? yes
~
Designate result
Reproduction
Mutation
1
Select one individual based on fitness
A
Perform reproduction population
based on fitness
I
I
1
Select one individual based on fitness
I
1
J
Performcrossover
i. I Individuals = individuals + 1I
V
I Individuals = individuals + 11
v
Individuals = individuals + 2
4
Fig. 10.3 Flow chart for genetic programming
Ant colony optimization was developed by Dorigo (1992). It has drawn inspiration from the workings of natural ant colonies to derive an optimization method based on ant colony behaviour. This has lately been shown to be remarkably successful on some problems, and there is now a thriving international research community
290
worldwide investigating further the technique. Essentially, the method works by equating the notion of a candidate solution with the route taken by an ant between two (possibly the same) places. Ants leave a trail as they travel, and routes that correspond to good solutions will leave a stronger trail than routes that lead to poor solutions. The trail strength affects the routes taken by future ants. Essentially, previously generated solutions (routes taken by past ants) affect (via trail strengths) the solutions generated by future ants. However, it makes more sense to view it for what it is a new and novel idea for optimization inspired by a process which occurs in nature.
Selforganizing migrating algorithms (Zelinka & Lampinen 2000; Zelinka 2001) originally proposed by Zelinka have drawn inspiration from existing algorithms such as evolutionary algorithms and genetic algorithms. However, in general, the design of a selforganizing migrating algorithm is unique and original. Its principle is both interesting and novel. It offers a novel approach to optimization and combines global search (the attraction of individuals towards the fitter ones) and local search (the multiple jumps of each individual during one migration loop), hence it covers both exploration and exploitation. The temporary replacement of the cost function with a virtual cost function seems to be a unique approach to overcome the difficulties when local optima are populating search space. The idea of the search algorithm is certainly a contribution containing new scientific knowledge.
EXERCISES
10.1 In a fourvariable problem of optimization with genetic algorithms, the following variable bounds are specified: 0.1 I 20.9 w
7 I I x 12 0.0009 I I y 0.007
lo2 I I lo5 Compute the minimum string length of any point (w, , y , z ) coded in a binary x ~ string to achieve threesignificantdigits accuracy in the solution. 10.2 We would like to use genetic algorithms to solve the following NLP problem: + xf Minimize (xl  1.5)2 + ( x 2  4)2, subject to 4 . 5 ~ ~  18 S O , 2x1  x2  1 2 0, and 0 Ixl, x 2 I We decide to have three and two decimal places 4. accuracy for variables x1 and x2 respectively. (a) How many bits are required for coding the variables. (b) Write down the fitness function which you would be using in reproduction.
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10.3 List the steps involved in a DE algorithm with the help of a neat schematic diagram. (a) How do you choose the values of NP, F, and CR in DE? (b) List and briefly explain the 10 DE strategies proposed by Price & Storn. 10.4 Discuss the steps involved in GA with the help of a neat flow chart. (a) Explain the choice of the values of the parameters N , p i , and p c in GA. (b) Compare GA with traditional optimization techniques. 10.5 Discuss the following: (a) simulated annealing, (b) genetic algorithms, and (c) differential evolution, and (d) also compare these three nontraditional optimization techniques. 10.6 What is the purpose and significanceof various operators such as reproduction, crossover, and mutation, employed in GA and DE. What are the guidelines for choosing various key parameters of GA and DE? 10.7 Compare GA with traditional optimization techniques. 10.8 Explain the working principle of DE by using a neat flow diagram. 10.9 What are the steps carried out in DE? Demonstrate with suitable examples. 10.10 Discuss the DE strategies and elaborate the nomenclature used. 10.11 Use GA for solving the following NLP problem: Minimize (xl  1.5)2 + (x2  4)2 subject to 4 . 5 ~ x i  18 I 0, 2x,  x2  1 2 0, and 0 I xl, x < 4. +~ 2. Choose three and two decimal places accuracy for variables x1 and x2, respectively. (a) How many bits are required for coding the variables? (b) Write down the fitness function that you would be using in reproduction. (c) Which schemas represent the following regions according to your coding: (i) 0 I x1 5 2, (ii) 1 I x1 I 2, and x2 >2. 10.12 Consider the following population of binary strings for a maximization problem:
Strings
Fitness
01101 11000 10110
1
00111 10
10101
00010
100
Find the expected number of copies of the best string in the above population in the mating pool under (a) roulette wheel selection, and (b) binary tournament selection without replacement. If only the reproduction operator is used, how many generations are required before the best individual occupies the complete population under each selection operator? 10.13 In a simulated annealing algorithm, a neighbouring point is created with the following probability distribution:
= p(x, 0)
a
cr2
+ x2
What must be the value of a in order to have a valid probability distribution? The current point is x = 10.0 and a variation 0 = 2.0 is used. If a random number 0.723 is chosen to create a point, what is the new point?
292
Fitness
10
If roulette wheel selection,singlepoint crossover with probability 0.9, and a bitwise mutation with a probability 0.01 are used, how many copies of the schema (* 1* 11**) are expected in generation 5? 10.15 In order to solve the maximization problem if 1.5  3x if f(4= 5 x  2.5 if 12.4  2x if
c2x
x 50.3
1
J
using simulated annealing, we begin with an initial point do) =0.2. A standard normal probability distribution is used to create a neighbouring point. (a) Calculate the probability of creating a point in the global basin. (b) If a temperature T = 10 is used, what is the overall probability of accepting a point in the global basin? 10.16 Minimize the function given in Problem 10.11 using DE and compare the results obtained with GA. 10.17 Minimize the function given in Problem 10.13 using DE and compare the results obtained with SA. 10.18 Minimize the function given in Problem 10.15 using DE and compare the results obtained with SA. 10.19 Using the DE code, simulate the results for a ammonia synthesis reactor (see Sec. 10.3.8) and compare the results obtained with those reported by Babu et al. (2002). 10.20 Using the DE code, simulate the results for a alkylation problem (discussed in Sec. 10.3.8), and compare the results obtained with those reported by Babu and Chaturvedi (2000).
PART V
SIMULATlON
PART COMPRISES five chapters. Chapter 11 covers the sequential modular, simultaneous modular, and equationsolving approaches, which are essential for process plant simulation. The structural analysis with substitution algorithm is demonstrated using an example. Chapter 12 deals with decomposition of networks, which is needed to find out the cutset (the streams to be teared to have a sequential calculations in simulation of process plants). Various proven algorithms are presented in this chapter in the form of flow charts, so that the reader can make computer codes using these flow charts. The working of these algorithms is demonstrated by applying them to problems from process industry. In Chapter 13, various convergence promotion techniques, the sources of physical and thermodynamic properties are discussed. The modularity and routing concept is demonstrated using a flow diagram. Finally, Chapter 14 takes up the simulations (specificpurpose and dynamic) of actual industrial process plant problems starting from model formulation, application of numerical methods for solutions, and incorporating the optimization techniques for optimal design purposes. Case studies on an autothermal ammonia synthesis reactor, thermal cracking operation, pyrolysis of biomass, and the design of shellandtube heat exchanger are covered in this chapter. In Chapter 15, the capabilities and use of two most widely used professional software packages, namely, HYSYS and FLUENT are discussed. The problems are solved using these software packages.
THIS
CHAPTERS 11. Modular Approaches and Equationsolving Approach 12. Decomposition of Networks 13. Convergence Promotion and Physical and Thermodynamic Properties 14. Specificpurpose Simulation and Dynamic Simulation 15. Professional Simulation Packages
In this chapter, sequential and simultaneous modular approaches are described, which are essential for process plant simulation. Analysis and design modes are distinguished.Another commonly used simulationapproach,called equationsolving approach, is also discussed. Precedence ordering of equation sets is demonstrated using an example. The concepts of disjointing and tearing a system of equations are discussed. The structural analysis with substitution (SWS) algorithm is described. Finally, maintaining sparsity, block triangular form (BTF), bordered block triangular form (BBTF), and block triangular splitting (BTS) concepts are explained.
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Inputs
outputs
Inputs (specified)
Outputs
?
Calculating the material and energy balances is the most tedious and repetitive problem of process design. Carrying out simple material balances is enough in the initial stages of the flowsheet study. However, in the later stages of the design study, heat and mass balances must be calculated along with the equilibrium and rate equations, PVT relations, and those governing countercurrent operations. Generally, all these equations are strongly nonlinear. Moreover, in the simplest of the cases, if a process is of a sequential configuration, as shown below [Fig. 11,2(a)], it is easy to proceed from the feed streams until the products are obtained calculating sequentially for one process unit after the other. However, majority of the chemical plants are of complex configurationconsisting of recycle of streams such as mass [Fig. 11.2(b)] or energy [Fig. 11.2(c)] or both. They represent the interlinked networks of units. In such cases, it is essential to decompose the network in order to make the calculation procedure sequential, which in turn requires convergence promotion. Taking the above complexities in simulation into account, during the 1960s several design organizations started building libraries of computer programs for various unit operations. It then became evident that many of these could be put into a system enabling one to direct calculations for an entire flowsheet, thus saving considerableengineering time. This resulted in the development of specificpurpose prognms to simulate a particular plant or part of a plant. These were more detailed in nature and rigid in structure. On close examination of these programs, it became clear that a major portion of the simulations could be common to all types of plants (i.e., calculations involved in various unit operations, methods to compute different physical and thermodynamic properties, decompositionand convergencepromotion algorithms, cost information, as well as a library of numerical subroutines. Ultimately, it gave rise to several generalpurpose simulation packages.
297
Heater
Reactor
Separator
t
Separator (b) Recycle of mass (complex)
+ t<b
Reactor
Feed
Product
(c) Recycle of energy (complex) Fig. 11.2 Possible configurations of chemical plants
There are two methods of dealing with the modular approach to simulation. These are (1) the sequential modular approach and (2) the simultaneous modular approach.
11.1.1.1 Sequential modular approach
This approach involves collecting equations and constraints for each process unit into a separate computational subroutine or module. This concept is known as unit computation. Thus, each module calculates values pertaining to the output streams for the given input conditions and parameters for that process unit or equipment, irrespective of the source of input information or the sink of output information.A diagrammatic representation of the sequential modular approach is given in Fig. 11.3. Using this concept, it is possible to create a library of modules and use them for a variety of flowsheets. The sequential part of the approach involves carrying out calculations from module to module, starting with the feed streams until products are obtained. In order to make it totally sequential, it is then necessary to identify recycle loops of units in a given flowsheet and to tear certain streams. Tearing of streams implies assumption of some value for that stream. For example, in Fig. 11.4, tearing streams 2 and 7, it is possible to make the calculations sequential in order of the modules (l), (4), (3), (3,and (2).
290
Streams in
9
Unit
 K 
7 out Streams
~
m
Team streams: (2), (7) Fig. 11.4 Tearing of streams
Therefore, a generalpurpose sequential modular program has the following structural components: 1. A store of physical and thermodynamic properties for pure chemical species and their mixtures. 2. A systemworking database derived from the store as well as the problem input. 3. Individual module database derived from the working database. 4. Modules or subroutines for individual process units, computational procedures including input/output for each module, and internally iterated variables, if any. 5. Flowsheet topology to be used by the system executive to order computational sequence. This is usually defined by a process matrix which specifies standard unit modules for use in simulation of a particular process along with identification numbers, positive for input streams and negative for the output streams. 6. Routines for the recycle calculations and convergence analysis. 7. Other mathematical service routines.
299
Feed
*
l) O u t p u t
Guess all flukfor nodes rn, (rn + l), (rn + 2), ..., (m+ 1)
I
b
Solve Eqs (11.2) and (1 1.3) for yij for nodes m,(m + 1), ..., (m+ 1)
I
Recalculate
Yes
1 Exit
Fig. 11.5 Simultaneous modular approach
11.1.1.2 Simultaneous modular approach In this type of approach, the unit modules are similar to those in the sequential modular approach. However, the main difference is that for each unit, an additional module is written, which approximately relates each output value by a linear
300
combination of all input values. Thus for the given input x i l ,xi2, ..., xin for module i and equipment parameters ui; the exact model for module i could be written as
Yij = J j ( x i p
4 2 , xi3,
a * * ,
xin, Ui)
(11.1)
and the linear models for module i could be represented by the following two connecting equations:
n
(11.2)
Xsr = Y p q
(11.3)
In the above equations, y denotes output values and P coefficients of linear equations. Let us assume that for a given system of nodes, the feed stream values are specified. This means we represent the actual process by two models: (a) the exact model and (b) the linear model. The unknowns of the linear model ( P i j k are determined by the simultaneous modular approach described below. The flow diagram for the simultaneous modular approach is given above (Fig. 11S ) . The simultaneouscalculations are carried out using the method described above. On comparing these two approaches,the sequentialmodular approach seems easier to write; but in the simultaneous modular approach, there is no decomposition required. Also, the convenience of the two approaches depends upon the type of the process and the nature of recycle streams. This comparison is described in Table 11.1.
Table 11.1 Comparison of sequential and simultaneous modular approaches
5 p e of process Without recycles Linear Medium nonlinear Nonlinear in heat balance Strongly nonlinear Approach recommended Sequential Simultaneous Simultaneous Simultaneous Sequential
With recycles
301
11.2.1 Precedenceordering
of Equation Sets
In general, the steadystate simulation of a process requires solving a set of nonlinear simultaneous equations expressed in the form
J(x,u)=O,i I , (11.4) in which x is a vector of n unknown state variables and u a vector of r known decision variables. In an iterative procedure to solve Eq. (1 1.4), one has to start with an initial vector xo and generate successive approximation to it xl, x2, ..., so that the solution is obtained within a prescribed accuracy. For this purpose, in applying Newtons method excessive computational efforts are needed in order to evaluate an nth order Jacobian matrixf, and to find its inverse fx; this has necessitated to develop more efficient algorithms. The major drawback in most iterative techniques is that the whole set of n unknown variables are to be iterated upon, which requires an nth order convergence matrix. When n becomes large with the growing complexity of the process, simulation needs larger storage space and excessive computer time. It is, therefore, desirable to break up a large system of equations into smaller subsets, which only need to be solved simultaneously. A systematic strategy to identify such subsets and to arrange them in a proper sequence is known as precedence ordering.The equations are arranged in a certain order by first arranging them into diagrams. The first of them is the Boolean incidence (or occurrence) matrix, in which the rows correspond to system equations and the columns correspond to a system variable. Then the system is represented by a digraph or directed graph or its associated Boolean adjacency matrix. The output set assignment is not unique. Nevertheless, same results for irreducible sets and precedence ordering are obtained. In this adjacency matrix, the rows correspond to the vertices from which the flow originates and the columns correspond to the vertices to which the flow is directed. This method of dealing with a system of equations is known as path tracing method (PTM). Consider the following example.
Example 11.1 Find (a) the incidence matrix, (b) the digraph, and (c) the associated adjacency matrix for a process represented by a set of the following equations in (x4) functional form:fl (xl,x2)= 0,f2 = 0,f3 (x3,xg) = 0,f4 (x4,x 5 ) = 0,f5 (xl,xg) = 0, and& (x2, x3, x5) = 0. Solution (a) Incidence matrix In the incidence matrix, the process functions and their relationship with the process variables are represented as rows and columns of the matrix, respectively, using the binary coding (Lea,1s and 0s). For example,f, is a function of x1 and x2 only and so, for rowfl against the columns x1 and x2, ones (1s) are put while against the remaining columns of the variables x3,x4, x5, and xg,
302
zeros (0s) are put. Similarly, all the other functions and their relationship with the variables are represented with 1s and 0s. The corresponding incidence matrix for the above system is as follows:
A
f2
1 1 0 0 0 0
0 f3 0 f4 0 fs 1 f 6 .0
0 0 0 0 1
0 1 0 0 1
1 0 1 0 0
0 0 1 0 1
0 1 0 1 0
(b) Digraph In a digraph, the flow of information (i.e., the sequence of calculations) is given. From the equation f2(x4) = 0, the value of x4 can be calculated. Using this x4 and the equationf4 (x4, x5) = 0, the value of xs can be obtained. Using this x5, and with an assumed value of x3, the equation f6 (x2, x4, x5) = 0 gives the value of x2. Using this value of x2 and the equation fl (xl, x2) = 0, the value of x1 could be computed. Subsequently, using this value of x1 in combination with the equation f5 (xl, x6) = 0, the value of x6 could be obtained. Finally, using this x6 and the equationf3(x3, x6) = 0, the value of xgis recalculated. This value should be equal to the earlier assumed value of x3. If not, the iterations are continued till both the values are same. This entire flow of information is represented in the form of a digraph. The digraph for the system is shown in Fig. 11.6. As can be seen from the figure and the earlier description, the values of x4 and x5 can be obtained independently, while the values of the remaining variables xl, x2, x3, and x6 are calculated iteratively. This is evident from Fig. 11.6, as these variables are in a loop.
303
(c) Associated adjacency matrix In the above digraph, the equations are numbered as the nodes. In the adjacency matrix, rows correspond to the vertices from which the flow originates and columns correspond to the vertices to which the flow is directed; it can be obtained directly from the incidence matrix as well. Rules of Boolean multiplication and union apply to these matrices. The corresponding associated adjacency matrix for the system can be written using the digraph as 1 2 0 0 0 0 0 0 0 0 0 0 ( 1 0 3 0 0 0 0 1 0 4 0 1 0 0 0 0 5 1 0 0 0 0 0 6 0 0 1 1 0 0
The rows in the above matrix represent the vertices from which the flow is directed, and the columns of the above matrix represent the vertices to which the flow is directed. When each equation feeds information to the next equation in sequence and the last one feeds to the first, a loop of information flow exists, requiring the whole system to be solved simultaneously. If a set of equations is part of a larger set of equations which itself forms a larger or maximal loop, the smaller subset must be solved together with the bigger subset. The problem of partitioning is thus reduced to finding all the maximal loops through an adjacency matrix and ordering them into a proper sequence. A sound decomposition strategy should be applicable to any system of equations whether linear or nonlinear; algebraic, differential, difference, and integral equations; continuous or discrete variables. Hence, several methods have been proposed for partitioning. These generally fall into two broad categories, namely, path tracing methods (PTM) and those based on powers of adjacency matrix (PAM).
11.2.1.1 Path tracing method
The methods proposed by Sargent and Westerberg (1964), Steward (1962; 1965), Lee et al. (1966), Billingsley (1967), and Christensen and Rudd (1969) come under the category of PTM. According to this method (PTM), the path is traced in two phases as described below.
First phase In the first phase, all columns that contain only zero elements and their corresponding rows are removed from the associated adjacency matrix; these
304
columns belong to equations that are not fed from any of the other equations (see column 2 in the adjacency matrix in the above example), consequently they can be solved independently. The equationf, (x4) = 0 corresponds to this situation of the first phase. Next, there may be equations that contain, besides their own output variables, only the output variables of the equations that are already precedence ordered; the appropriate rows and columns pertaining to such equations are deleted to obtain a further reduced matrix. The equationf, (x4, x s ) = 0 corresponds to this situation of the first phase. So, in Example 11.1, first remove column 2 (all zeros) and corresponding row 2 from the associated adjacency matrix as x4 is independent. As can be seen, after doing so, in the remaining 5 x 5 matrix, now column 4 contains all zeros. Hence, next remove column 4 and to. 4 as x5 now could be computed using the known x4. This further reduces the associated adjacency matrix to a 4 x 4 matrix as shown below.
3
5
0
0
0
1
0 1
0 0
Second phase A path of information is traced in the final reduced matrix starting with any equation and going to the others that feed it. This is continued until an equation is encountered repeatedly, which means a path has been traced around a loop of information flow. In the present problem, one of the possible sequences is as follows:
f3 (x39 x6)
f 6 (x29 x 3 ,
=0
xs> =
fi ( X I 9 X J
fj
=0 =
XI^) = 0
(x39 x6>
f3
The above sequence of equations forms a loop. Hence, the path of information is traced.
305
This is simple and easy to program. The inherent shortcoming of the PTM is the difficulty of programming,which is overcome by the simplicity of the matrix notation in the powers of adjacency matrix (PAM). However, a major drawback of the PAM is the requirement of considerable storage space (memory requirement).The methods proposed by Norman (1965), Ledet and Himmelblau (1970), and Himmelblau (1973) come under this category of path tracing methods. A method that is the combination of both PTM and PAM has been suggested by Jain and Eakman (1975).
11.2.2 Disjointing
In addition to partitioning, the analysis should identify possible subsets of equations among which no intersection exists. In formulating a model of a large process, for instance, a whole chemical plant, there is a possibility that the subset of the system of equations does not contain any variables in common with the rest of the equations in the system. Such a system of equations, called a disjoint, can be solved independently, thus reducing the dimensionality of the whole system to that of the largest disjoint subset.
Illustration 11.1 Consider a set of equations to be solved: (a> x1x4 + x,2/x4  4 = o (b) X2X5  3x6 = 0 (c) x , / x 2 + ln(x3/x4) 2 = 0 3 2 (d) x3 + 2x3  2x3 = 0 (e) x2 + x4  3 = 0 (f) x3(x3 f x6)  7 = 0
306
Solution There are two algorithms that are put to use while solving the problem: 1. Rudds algorithm: It locates those variables that occur in the fewest equations. 2. Stewards algorithm: It isolates equations with the.fewest variables to be solved independently. After the application of these two algorithms, the rest of the equations are solved using the SWS algorithm. At first, it is seen that equation (d) can be solved directly for x3. With the value of x3 obtained from equation (d), equation (f)can be solved for x6. By using Rudds algorithm, it is seen that x5 is the variable that occurs in the fewest number of equations. Therefore, the set of equations can be precedence ordered such that equation (b) is solved last. The remaining three equations are then solved using the SWS algorithm. The maximal set of equations are arranged one by one to express one of its variables, the output variable, in terms of the others. For example, equation (e) is well suited because of its linear form, thus giving the output variable as x2: X2=3X4 (11.5)
All occurrences of x2 in the remaining equations (a) and (c) are then substituted by the above expression (1 1.5). In this manner, one reduces the number of unknown variables in the maximal set; the remaining equations are as follows: x1xq
+ x6/x4 2
4=0
(11.6)
1 + 1n(x3/x4) 2 = o (11.7) 3  x4 Now the substituted variable x2 will be evaluated after the remaining unknowns x1 and x4 in the maximal set are determined. Equation (11.6) can be rearranged to isolate xl,
(11.8) x4 where x1 is its output variable. The occurrence of x1 in the remaining Eq. (1 1.7) is substituted by Eq. (1 1A), thus giving
XI
4  x;/x4
+ ln(x,/x,)  2 = 0 (11.9) x4 (3  x4) Although one may be able to solve a system of nonlinear equations analytically as illustrated in this illustration, for computer implementation, the equations have to be solved iteratively by linearizing the equations (a variant of the NewtonRaphson solution technique).
4  x;/x4
307
Table 11.2 describes the order of the solution of the set of equations (a)(0.
Table 11.2 Order of the solution for the given set of equations (a)(f)
Order of solution
Equation
output variable
Final form
4  x,2/x,
x4
x4 (3  x4 1
+ ln(x,/x4)
4  x;/x4
x4
2=0
(4)
X1
x, =
For preparing a sequential modular steadystate flowsheet, we need (a) a partitioning algorithm and (b) a tearing algorithm and a numerical scheme for solving linear equations (which can be used iteratively to solve nonlinear algebraic equations). For preparing an equationoriented flowsheet we need (a) an output set assignment followed by partitionjnglprecedenceordering and a numerical method to solve algebraic equations.
where A is an n x n matrix, x E Rnis an unknown vector, and b E R"is a vector of constants. The set of equations [Eq. (11.lo)] in practical problems is characterized by a large value of n (several hundreds), and interestingly at the same time it is sparse (i.e., the number of nonzero elements A is very small, usually less than 5%). That is, more than 95% of the elements of the sparse matrix are zeros.
308
11.2.5.1 Sparse systems A sparse system of equations can be solved in three stages: (1) partitioning, (2) tearing, and (3) numerical solution. The first two stages require only logical operations with least roundoff error propagation, but consume more time. In fact, the time required for the first two stages is twice the time required for the third stage. The third stage of solving the sparse systems is carried out using (a) direct methods (variants of Gauss or GaussJordan elimination) and (b) indirect methods (iterative methods). The disadvantages of direct methods are twofold:
1. During the elimination process (i.e., during algebraic matrix operations), the structure of matrix A is changed since new nonzero elements are generated Cfillins),which results in loss of sparsity. This, in turn, increases the storage space and computational time. 2. Both rowwise and columnwise scanning of the matrix is to be carried out, which needs a larger and more complicated storage scheme. Fillins can be minimized by tearing the equations (Lin & Mah 1977). The tearing is risky, however, since it may prevent pivoting, which is necessary for reducing roundoff error propagation. The indirect methods (iterative methods), such as the GaussSeidel method, successive over relaxation method, conjugate gradient method, etc., have often been preferred for solving sparse set of equations. The advantages of these methods are twofold: 1. Matrix A remains unchanged during the computation. 2. Only rowwise scanning of matrix is required in these methods. These advantages lead to a simpler computer code and reduction in the overhead time necessary for index manipulation. However, the limitation of these indirect methods is that these cannot be used for all types of problems, since unless matrix A has certain special properties, the convergence may be slow or unattainable. So, in spite of having disadvantages, the direct methods are preferred over the indirect methods because of the abovementioned limitation of iterative methods. But, the focus is on finding a way in which the fillins could be reduced. In recent years, attention has been diverted towards reducing the fillins associated with the direct solution methods (Tewarson 1973; Duff 1977). These techniques can be divided into two categories: (1) those that involve pivoting (reducing roundoff error propagation) and (2) those that reorder matrix A prior to elimination, so that the fillins can be limited to certain areas of the matrix. The pivoting techniques can be subdivided into two local strategies: 1. Strategies in which both columns and rows are reordered during the process of elimination.
309
2. A priori strategies in which columns are reordered before elimination and rows during elimination (or) vice versa.
Some of the most widely used pivoting techniques are described below.
112.5.2 BTF, BBTF, and BTS The techniques that reorder matrix A prior to elimination involve permuting A to a block triangular form (BTF) or bordered block triangular form (BBTF). These forms, in turn, can be so factored that fillin is limited to the diagonal blocks of a BTF, and to the diagonal blocks and one border of a BBTF. These forms are explained below.
All
A22
*
*
*
*
*
AIN A2N
A=
. . . . .
ANN
where A, is a square matrix of order mi. The matrix which can be permuted to BTF is reducible and that which cannot be is irreducible. For a reducible matrix, BTF is unique in the sense that N and the particular rows and columns represented in each block are fixed. Among the several techniques suggested for permuting to BTF, the algorithm given by Tarjan (1972) seems to be the most effective. A system in BTF can be readily solved by block back substitution. Since only diagonal blocks of A need to be inverted, fillin is limited to those areas only.
Algorithm of block back substitution Step 1 Read n, mi, i = 1,2, ..., It, and b, where n is the order of the matrix A, mi are orders of diagonal matrices of A, and b is the vector of constants. Step 2 Step 4
Read I, A (where I is the identity matrix and A is the BTF of A). Compute Ek and Fk as follows: Ek is a n x mk matrix identical to the
[Xi"=, columns of the unit matrix I. Fk is a n x mk matrix mi]th mi]th mi]th identical to the [ 1 + Xi"=;' to [xi"=, columns of the matrix A.
Step 5
[l + 1 : mi]th to ;; Compute
K k
as follows:
Ak = I, + (
E  F ~ ) A E:. ~ ;~
310
Step 6
k = k + 1. If k I n, go to step 4.
Srep 7 Compute A' as follows: A' = A,, A,, Step 8 Compute X = A' eb.
 
Bordered block triangular form If A is irreducible, it can be permuted to BBTF. For this purpose, let us denote various parts of the matrix A as follows:
A=[$]
where M is the m x m BTF, R , S are nonzero borders, and T = t x r matrix which may have either zero or nonzero elements. A system in BBTF may be solved by block elimination, by factoring A as follows:
A=[=][ SII
where Z is the identity matrix. Since both the factors in the above expression are BTF, the system is readily solved by block substitution. In this process, fillin occurs in the diagonal block of M as it is inverted, in R and T as they are replaced by M ' R and T  S M ' R , respectively, and finally in the filledin T as T  SM'R is solved during block substitution.
Discussion There is no clearcut advantage in either of the two general approaches, as outlined above (BTF and BBTF) in maintaining sparsity. The pivoting techniques seem to be better suited for generalpurpose user, since it is not always feasible to permute a matrix to BTF or BBTF with small borders. On the other hand, when permutations are possible (i.e., reducible to BTF or BBTF forms), which is often the case in chemical engineering design problems, savings can be appreciable.
Block triangular splitting A new sparsity preservation technique, called block triangular splitting (BTS), has been suggested by Stadtherr (1979), which is outlined as follows. If A is BBTF in the following system:
A = =]x MIR
[i]
=b
where Cis an m x 1 and D is a t x 1 matrix. Then the goal is to reduce A to BTF so that it can be solved by blockback substitution. This can be done by subtracting the column vector [S/SM'R]x from both sides of the above equation. Further, from the above equation it can be noted that
[MIRIx = [q
Multiplying both sides by SM', it follows that
[SM'MISM'R]x = [SM'c]
311
[SISM'R]x = [SM'c]
In this way, the original system is reduced to the block triangular system
A* ex = b*
where
A*=[
b*=[
D  SM'C
This is equivalent to splitting A into the sum of a BTF A* and a matrix of low rank, i.e.,
A=A*+ Si'R] Thus, in performing BTS, fillin occurs in the diagonal blocks of M as it is inverted, and in T as it is replaced by T  SM'R. The solution is readily obtained by computing b* and inverting A* as follows: x = [A*]' b*. Since M has already been inverted, only T  SM'R has to be inverted to invert A*.
EXERCISES
11.1 A chemical process is represented by the following set of equations:
f1 f4
x2) = 0, f 6 (xq, x59 X I ) = 0 (x6, = 0, f5 Determine the following: (a) Associated incidence matrix with outputset encircled. (b) Digraph of the process. (c) Associated adjacency matrix. 11.2 Compae the sequential and simultaneous modular approaches used for process plant simulation. 11.3 Discuss the following: (a) Analysis versus design mode. (b) Process matrix. (c) Types of processes against the modular approach recommended (sequential versus simultaneous). 11.4 A chemical process is represented by the following set of equations:
f ( X I , x4) = 0, f2 '
f4
(x2, x3)
= 0, f 3
(x5)
= 0,
x2) = 0, fs (x3, x4, x6) = (x59 x6) = 0, f 5 Determine the following: (a) Associated incidence matrix with outputset encircled. (b) Digraph of the process. (c) Associated adjacency matrix.
312
11.5 Below given figure represents a mixer (Mix) followed by a splitter (Split) returning part of the output to the mixer. In the splitter the material entering the unit is divided according to the fraction a:
A=@
C
D
(1  a)B
Compare the sequential and simultaneous modular approaches of simulation calculations of a recycle set for the above process, by taking a as 0.33 and 0.90. Comment on results. 11.6 A chemical process is represented by the following set of equations: ~1x4 ( ~ 6 1 x 4 4 = 0 + 2 ) x2x5 + 3x6 = 0 x1/x2+ In (x3/x4) 2 = 0 x; + (2X,2/X4)  2x, = 0 x2 + x4  3 = 0 xg (x3 + x6)  7 = 0 Precedence order these equations using the SWS (structural analysis with substitution) algorithm along with Steward and Rudd algorithms. 11.7 Suggest an algorithm in the form of a flow chart for the simultaneous modular approach in process plant simulation. 11.8 Using a block back substitution algorithm, solve the following set of equations:
[:: :][:I=[5;j
11.9 Write down the pseudocode of the algorithm and the steps involved in solving a matrix of block triangular form (BTF) using the block back substitution method. 11.10 Discuss the three stages of operations involved in solving a sparse system of equations. 11.11 Discuss BTF (block triangular form) and BBTF (bordered block triangular form).
1 2 3 4/3
7/3
CHAPTER 12
DECOMPOSITION OF NETWORKS
This chapter deals with various algorithms for decomposition of networks (determining the streams to be teared) in the form of flow charts. These algorithms are classified into two groups: (1) Algorithms based on signal flow graph such as the B&M algorithm (Barkley & Motard 1972), the basic tearing algorithm (Pho & Lapidus 1973a, 1973b), etc., and (2) algorithms based on reduced digraph (list processing algorithms) such as the K&S algorithm (Kehat & Shacham 1973), M&H1 algorithm (Murthy & Husain 1981), M&H2 algorithms (Schemes I and 11) (Murthy & Husain 1983), etc. Each of these algorithms is explained with examples.
314
The earlier algorithms proposed for tearing networks used either minimum sum of variables or minimum sum of weights associated with tear streams as criteria for efficiency.
3 11 2
41
, 7,
, ,
I
/ I
a
Tear streams: (2), (7)
Fig. 12.1 Digraph of a process flowsheet
The corresponding SFG for the above digraph is shown in Fig. 12.2 (i.e., interchanging the nodes and edges):
Decomposition of Networks
315
Step 5 If all other conditions fail to appear, select the node with the maximum number of output edges for cutting. Step 6 When SFG is totally reduced, the cutset is found.
Illustration 12.1 Using the Barkley and Motard (1972) method (B&M algorithm) for the decomposition of a maximal cyclic net (MCN), find out the streams that are to be
316
teared (i.e., cutset) for the digraph (Fig. 12.1) of a process: (decomposition is by a minimum number of tear streams, all of them assigned unit weight). Solution First reduction Eliminate any node with a single precursor, since it belongs to that precursor. Then, replace such a node whenever it appears as a precursor by its header node.
Nodes Precursors
%, 4
2
3
4
a
'AX2
2&
6 7
v
' A6
Note Replace the nodes which are eliminated with their precursors. In the above table, (1) eliminate each node with only one precursor (i.e., remove nodes 1, 3, 5 , 8 since these belong to that precursor) and (2) replace such nodes in all their occurrences in the list of precursors by their precursors, i.e., we need to replace node 3 with its precursor 2. Similarly, we replace node 5 with its precursor 7 , node 1 with its precursor 2, and node 8 with its precursor 7. The remaining nodes are 2,4, 6, and 7. (If nodes 1,3, 5 , 8 are removed.) The remaining nodes are shown above in which two 'selfloops' are formed at nodes 2 and 7 . Now cut these nodes, remove them from the above table and repeat the same procedure. Second reduction
Nodes
6
I
4
q
xz
A 4
C I T
Precursors .
7
I ,
Third Reduction
Nodes 4 6 Precursors

As a result, the SFG is totally reduced and the cutset found consists of nodes 2 and 7 (where selfloops are formed) or equivalent streams 2 and 7 in the digraph of Fig. 12.1.
Decomposition of Networks
317
Illustration 12.2 Using the Barkley and Motard (1972) method (B&M algorithm) for the decomposition of MCN find out the streams that are to be teared (i.e., cutset) for the digraph of the process shown in Fig. 12.10. Solution First reduction
Nodes Precursors
6 7 8 7. 18 10 11 13
Pairs
* *
k
* *
7, 18 8, 19 6, 10
* *
8, 2 l9 6 8, 26 l9
8, 19 8, 19
8, 20 l9
8, 19
* * *
17 18 19
21
22,25
21, 25 24 6, 17 21, 25 24
* * *
21
8, 20 l9
23 24 25 26 28
21
21
IV IV V
30
30
v, VI
VII VI, VII
30 31
** @, 30
2 f
After the first reduction, seven pairs were found as shown above. For node 6 the precursors are 7, 18. We check whether for any of the nodes 7 and 18 the precursor is 6 to know whether it forms a pair. For node 7 the precursors are 8, 19 (not 6). So node 7 does not pair with 6. But for node 18 the precursors are 6, 17 (6 is there), which means it forms a pair with 6. Nodes 6 and 18 form the first pair.
318
Similarly, nodes 8 and 10 form the second pair, nodes 19 and 21 form the third pair, nodes 24 and 25 form the fourth pair, nodes 26 and 28 form the fifth pair, nodes 28 and 31 form the sixth pair, and nodes 30 and 31 form the seventh pair. Nodes 28 and 31 have two common pairs (twoway edges of type 2). But out of these two nodes, node 28 is cut and eliminated from the list of precursors, since it has the largest number of output edges. Therefore, node 28 is the precursor for nodes 25,26, and 31. Node 31 is the precursor for nodes 28 and 30. Node 28 has the largest number of output edges. The graph is further reduced, as nodes become single precursor nodes after elimination of node 28. The nodes 25, 26, and 31 become single precursor nodes and as such can be eliminated. This is the advantage of putting the node having maximum output edges into the cutset. But cutting such nodes of SFG,more number of outputs can be estimated, i.e., the reduction is more effective (i.e., the digraph can be reduced to the smallest size possible).
Second reduction
Nodes 6 7 8 10 11 13 17 18 19 21 24 28 30 Precursors 7, 18 8, HZ1 6, 10 8, M z l 8, M z l 8, 19 21 21,x 6,M 21 21,% 8, J9 21 21, 24 Precursors after reduction 7, 18 8, 21 6, 10 8, 21 8, 21 8, 21 * (eliminate as 24 is in cutset) 6, 21 * (eliminate as 24 is in cutset) 8, 21 C (selfloop) C (selfloop) C (selfloop)
C
11, 13, 21, 24, 30
* * *
*
21 (selfloop)
Now the cutset includes the nodes 24, 28, 30, 21.
Decomposition of Networks
319
Finally, the cutset obtained is [C = 24, 28, 30, 21, 6, 81 or [C = 6, 8, 21, 24, 28, 301 Conclusion By tearing the streams (cutting the edges) 6, 8, 21, 24, 28, and 30 the original digraph computations can be carried out sequentially. It took four reduction steps for this illustration.
320
i=i+ 1
Apply ineligible node reduction. Make the row and column of node (i) null. i=i+l
No
I'
t
Apply the selfloop node to the cutset and make the corresponding row and column null. twoway edges? twoway edge reduction by cutting one or more nodes and make the row and column of the cut node null. with lower weight as cut node and make the row and column of the cut node null.
1 Yes
Decomposition of Networks
321
Example 1 . Using K&S algorithm for the decomposition of MCN find out the 21 streams that are to be teared (i.e., cutset) for the digraph of a process shown in Fig. 12.1. Solution Step 1 List the input and output streams of each node.
Nodes
(1)
(2) (3)
(4)
(5)
Input 2 6, 8 1, 5 7 4, 3
output 1, 3 7
4
5, 8 2, 6
Step 2 Search the list for nodes with minimum input and maximum output streams. As seen, there are two nodes which have one input and two outputs (nodes 1 and 4). Now considering first node 1, make a trail cutting by eliminating the input streams of this node in both the lists.
Nodes
(1)
Input
./ I
L
output
1 
1, J
(2) (3)
(4) (5)
6, 8 5 7
7 4
5, 8
4 6
Z 6
322
Reduced digraph
i.
List input and output streams of each node.
i
1
this node to the cutset and reduce the list after making these streams void in both the lists. Search the list for nodes with minimum input and maximum output streams. Take each node one by one separately from these nodes.
,
Rationalize the list
When inputloutput is zero, take off that node as well as its outputlinput streams appearing in the inputloutput list. List the number of nodes affected as a result of trial cutting this node.
I
Restore the original list
1
maximum number of other nodes in the list of its input streams were tom.
c o v, u
. ,
output 1, 3
4, 3
Decomposition of Networks
323
As seen for node 4,four nodes are affected. Assign the input stream of this node to the cutset (as this node affects the maximum nodes) and reduce the list.
Nodes (1)
(3)
(5)
Input 2 1 4, 3
output 1, 3
4
2
Now node 1 has minimum input and maximum output; trail cutting is done by eliminating the input streams of this node in both the lists.
Nodes (1) (3) (5)
+
x
A 1
Input
output
1 9
&
9
I
It is seen that this trial cutting reduces the digraph completely and the input stream of node 1 (i.e., 2) goes to the cutset. Final cutset = [2, 71.
1. From elimination point of view (and from reducing the size of SFG point of view), tearing those streams which affect a maximum number of output streams is advantageous (more computational time). 2. But as proved by Murthy and Husain later, from the computational time of view, tearing those streams which affect a minimum number of output stream is advantageous.
12.3.2.1 The M&Hl algorithm
The following steps are involved in the decomposition of a network using the M&H 1 algorithm:
1. The algorithm starts with a reduced diagraph by preparing a list of nodes and their input and output streams. 2. Any node with single inputoutput streams is removed. 3. The single output stream in all its occurrences in the input list is replaced by its precursor.
324
t
Assign output of nodes with SD2 2 successively to the cutset, if the same is single input to
4. Any selfloops formed are assigned to the cutset and the nodes are deleted from the list. 5. Further processing is done by identifying nodes with a single output stream and assigning them successor digit (SD), which is equal to the number of its successor output streams.
Decomposition of Networks
325
6. Then the nodes are eliminated, one by one starting with SD = 1 and SD 2 2. 7. Every time selfloops are assigned to the cutset. 8. The procedure is continued till the total list is reduced.
The overall procedure is shown as a schematic flow chart in Fig. 12.7.
Example 12.2 Using the M&H1 algorithm for the decomposition of MCN find out the streams that are to be teared (i.e., cutset) for the digraph of a process shown in Fig. 12.10. Solution First reduction of the digraph shown in Fig. 12.10 ( M 6 H  1 )
Nodes (1) (2) (3) (4) (5) (6) (7) (8) (9) (10) (1 1) (12) (13) (14) (15) (16) (17) (18) (19) Nodes Input Input
1 I
output
?I
*
*
n
1 1
,
,?I
I1
IL.
*
6 1, 3, 10 8, 19 11, 13, 23, 26, 31
K6
%3,X1O
8,28
l1
Lt
I
I+
* *
*
7, 18
in
I ,
21 29, 30
&A,
e
6 28 22, 23 31
1%
7, 18 21 29, 30
1J
r lu
*
4, 17 22, 25 24, 27 28
Successor digit (SD)
5
(4)
(5)
29,30
1, 3, 4 8 7, 10, 11, 13, 21 28, [301 6 22, 23 31 18 17, 19, 24 25, 26 27, 29
* *
326
SD (successor digits) are assigned to single output streams 8, 6, 31, and 18:
SD of 18 [of node (16)] = 1 [as for input 18, there is only one output 6, i.e., node (lo)] Similarly, SD of 31 [of node (13)] = 2 [as for input 18, there is only one output 6, i.e., node (1011 SD of 6 [of node (lo)] = 3 [as for input 18, there is only one output 6, i.e., node (1011 SD of 8 [of node ( 5 ) ] = 5 [as for input 18, there is only one output 6, i.e., node (1011 Now, eliminating node (16) of SD =1, replace node (10) with 4, 17. Now, no single inputoutput stream and no selfloops are present. Now for SD = 2 [i.e., for node (13)] output is 3 1, which is not a single input to any node. So, 3 1 cannot be put in the cutset. So, we now eliminate node (13) of SD = 2. The inputs for 3 1 are 29 and 3 1. So, replace input 3 1 [see node (13)] of node (7) with 29 and 30. The corresponding output of (7) is 28 and 30, selfloop is formed in 30. Numbers within square brackets represent selfloops. So, cut stream = { 30j. Now, input of single output 31 = 29 and 30 = 29 (as 30 is put in the cutset)
Input after reduction 6 1, 3, 10 8, 19 (7) (10) (12) (17) (18) (19)
11, 13, 23, 26,29 7,4,17 21
21
z, ~ 4 1
24, .HZ8 28
2 3
4,7, 17
* * *
21
Eliminate node (7) of SD = 2. Input of 28 is 11, 13, 23, 26, and 29. Assign outputs of nodes with SD 2 2 successively to the cutset, if the same is single input to any other node. For SD = 2 [node (7)], output is 28, which is the same as the single input to node (19). Hence, put 28 into the cutset, and eliminate node (7). The inputs of node (7) are 11, 13, 23, 26, 29. These inputs appear as outputs in nodes (6), (12), (18), and (19). So, cut them. Then nodes (12) and (18) become single inputoutput nodes, so eliminate them. The precursor of 25 is 24, therefore in node (17), there is a selfloop of 24. Therefore, put 24 into the cutset. Hence cutset streams = 28, 24.
Decomposition of Networks
327
(4)
(5) (6)
(10)
6
10 8, 19
4,7, 18
21
(17)
?I
3
Eliminate bothnodes
6, 10 8, 19
21
SD of ( 5 ) = 3 (as for input 8, there are three outputs, i.e. 7, 10, 21) SD of (10) = 3 (as for input 6, there are three outputs, i.e., 1, 3, 4)
Eliminate node (lo), having SD = 3 (as 8 is not a single input to any node, whereas 6 is a single input to node 4).Then eliminate nodes (4) and (7). Input of node 10 = 4,7, 17 which is eliminated so cut 7 and 17 from nodes (6) and (17), respectively. Cut stream = 6 .
Fijlh reduction of the digraph
Nodes
(5)
Input 10
O/8;9
21
output
(6) (17)
21
8 [lo, 211 19
* *
[lo, 211
Eliminate nodes ( 5 ) and (17), since these are single inputoutput streams. Replace 8 and 19 of node ( 6 ) with precursors 10 and 21, respectively. Then 10, 21 form selfloops. Put them in cut streams. Therefore cutset = 6, 10, 21, 24, 28, 30. The number of streams affected = 9 (i.e., 1 + 1 + 2 + 2 + 2 + 1).
12.3.2.2 The M&H2 algorithm
The flow chart of the M&H2 algorithm is shown in Fig. 12.8. This algorithm is superior to the M&H1 algorithm. There are two schemes that are employed to assign weights to the streams: Scheme I: This scheme allots a unit weight or any arbitrary weight to each stream. Scheme 11: The scheme allots to each input stream of a node a weight equal to the number of output streams of that node. The node denominations (ND) are to be calculated in this case: ND = (sum of weights of output streams)
328
List nodes, input, and output streams. Assign weights to streams according to scheme I or 11.
1
Find node denominations (ND) and list.
No
No
Yes
I
The nodes with single inputoutput and ND = 0 are first deleted by replacing the single inputoutput stream in all its occurrences in the input list by its precursor. Any selfloops formed are assigned to the cutset and the nodes are deleted. Further processing is done for nodes with negative NDs. Every time the list is rationalized and NDs are readjusted. When magnitudes of NDs are not substantially different from each other, certain innovations are necessary. These innovations are as follows: 1. Replace zero denomination of a node by a positive one when the total number of input streams to that node is greater than that of the outputs.
Decomposition o Networks f
329
2. During reduction, retain the node for further consideration having a tear
stream (already identified) as one of its inputs, in case its denomination is zero or negative. 3. In the process of reduction for ND I 0, do not replace an input stream by its precursor in case the same stream is an input to another node with a positive denomination. 4. In the process of reduction for ND I0, do not replace an input stream by its precursor in case the latter is a single input to a forward node with zero denomination.
Example 12.3 Using the M&H2 (scheme 1) algorithm for the decomposition of MCN, find out the streams that are to be teared (i.e., cutset) for the digraph of the process shown in Fig. 12.10. Solution The nodes which are denoted by A to S in Fig. 12.10 have been changed to (1)(19), respectively, for solving this problem. First reduction of the digraph of Fig. 12.10 (M&H2)
Nodes
(1) (2) (3) (4) (5) (6) (7) (8) (9) (10) (11) (12) (13) (14) (15) (16) (17) (18) (19)
K6
Input output
ND
1 1 1, 3, 4 %3f110 8 8, XI9 7, 10, 11, 13, 21 "E, 23, 26, 31 28, 30 13,
7, 18
21 29, 30
22, 23 31
4m16, 22, 25 28
17
2592224, 27
0 0 0 2 2 3 3 0 0 1 0 1 1 0 0 1 1 0 1
* *
*
6
1, 3, 10 8, 19 11, 13, 23, 26, 31
*
7, 18
21 29, 30
* *
4, 17 22, 25 24, 27 28
For node 18, though ND = 0, it is not eliminated. The reason being innovation no. 2, which says that during reduction retain the node for further consideration having a tear stream (already identified) as one of its inputs, in case its denomination is zero or negative. Stream 25 is identified to be a tear stream, as it forms a selfloop. If node 18 is eliminated, we might not have been able to put 25 in the cut stream, which forms a selfloop.
330
6
8, 1 9 , 6 4 ~ ~ 19 , 8
, ,
%: 19
11, 13, 23, 2 6 , X 29330
4 1 9 q 4.17 ~
21 29, 30 4, 17 22, M
22,25
s, ~
28
2 2 3 3 1 1 1 1 1 0 1
* *
22 22, [25], 28 28
Numbers enclosed within square brackets denote selfloops. Cut streams: 8, 25, and 30. Third reduction of the digraph
Nodes Input output ND Input after reduction
0 0 2 2 0 +1 0
* * * *
[191*
Cut streams = 6, 19, 28. Cutset = {6, 8, 19, 25, 28, 30}. Using the M&H2 (scheme 11) algorithm for the decomposition of MCN, find out the streams that are to be teared (i.e., cutset) for the digraph of the process shown in Fig. 12.1, Solution Step 1 List the input and output streams of each node with their corresponding weights. Calculate the corresponding ND. Numbers enclosed within square brackets denote selfloops.
Nodes Input
Example 12.4
2 6,%"1 1, 5 7 4, 3
Weight of input 2 1, 1 1, 1 2 2, 2
output
1, 3 [71 4 5, 8 2, 6
Weight of output 3 2 2 1, 1 2, 1
ND
1 0 0 0 1
Decomposition of Networks
331
Step 2 For all nodes with zero or negative ND, replace input streamsby precursors. If all the nodes with ND = 0 are eliminated from the above table [i.e., nodes (2), (3), and (4)], then there will be a problem in node (5) while replacing the eliminated outputs. There is a continuous loop of 7to be replaced with 8, and 8 in turn to be replaced with 7, which is never ending. In order to avoid this problem, node (2) should not be eliminated (also as per innovation no. 2). There is a selfloop in [7] from node (2), as shown in step 1. Hence, the list in step 1 reduces to
Nodes (1) (2) Input 2 [*]/r:5, 3 Weight of input 2 1, 1, 1 output 1, 3 [21 Weight of output 2 2 ND
0 1
Step 3 Node (1) is eliminated, as the ND of this node is zero. Now, replace the input stream 1 of node (2) by its precursor 2 as shown above. Then again there is a selfloop in [2]. Therefore the final cutset is { 2, 7}.
Table 12.1 Comparison of results for the digraph shown in Fig. 12.10
Algorithm Weights Cutset Number of output streams affected 13 16 20 9 13 Computational time Less but more cumbersome More More Less Less Less
The performance of the various algorithms described so far is compared in Table 12.1 for the digraph of Fig. 12.10. Basis of comparison: The number of output streams affected from those nodes to which the tear streams are the inputs. This criterion is equivalent to the sum of weight according to Scheme I1 of M&H2 algorithms. From Table 12.2, it is clear that both algorithms M&H1 and M&H2, the latter using weights according to scheme 11, produce the best cutset affecting the least number of output streams.
332
Table 12.2 Comparison of various tearing algorithms. SD stands for successor digit; ND for node denomination.
Algorithm 1 2 B&M BTA Diagram SFG SFG Weight Unit Unitfarbitrary Reduction criterion Selfloop twoway edges Weights assigned reflecting the probable degree of difficulty in an iterative procedure to converge Cutset affects maximum number of output streams Minimum number of tear streams Minimizing sum of weights Cutset affects minimum number of output streams Weights assigned
Arbitrary
K&S
Unit
SD = 1, SD 2 1 eliminate ND ND
4
5
M&Hl
Unit
EXERCISES
12.1 For the reduced digraph given below (Fig. 12.9), find the following: (a) Signal flow graph. (b) Cutset using the M&Hl algorithm.
12.2 Using the B&M algorithm for the decomposition of MCN, find the cutset for the digraph of a process plant (Fig. 12.10).
Decomposition of Networks
A
333
A'
5
H
14
1
15
16
12.3 The reduced digraph of a chemical process plant is shown in Fig. 12.9. Using the algorithm for decomposition of networks proposed by Murthy and Husain2 (M&H2), find the following: (a) Cutset containing the tear streams. (b) Total number of output streams affected with the cutset. 12.4 Using the B&M algorithm for the decomposition of MCN, find the cutset for the digraph of a process shown in Fig. 12.9. 12.5 The reduced digraph of a chemical process plant is shown in Fig. 12.10. Using the algorithms for decomposition of networks proposed by Murthy and Husain (M&H1 and 2 with both the schemes), find the following: (a) Cutset containing the tear streams. (b) Total number of output streams affected by the cutset. 12.6 The reduced digraph of a chemical process plant is shown in Fig. 12.11. Using the algorithm for decomposition of networks proposed by Murthy and Husain (M&H1 and 2 with both the schemes) and the B&M algorithm, find the following: (a) Cutset containing the tear streams. (b) Total number of output streams affected by the cutset.
334
12.7 The reduced digraph of a chemical process plant is shown in Fig. 12.12. Using the algorithms for decomposition of networks proposed by Murthy and Husain (M&H1 and 2 with both the schemes) and the B&M algorithm, find the following: (a) Cutset containing the tear streams. (b) Total number of output streams affected by the cutset.
8
~~
Decomposition of Networks
39
60
I
335
39
42
65
61
1 0
40) \
q+$
40 29 29
I 1
42 38 43 47
43
64
69
64
18 30
21
51
I
Fig. 12.13 Digraph: Sulphuric acid plant
53
336
12.8 The reduced digraph of a sulphuric acid plant is shown in Fig. 12.13. Using the algorithms for decomposition of networks proposed by Murthy and Husain (M&H1 and 2 with both the schemes) the B&M algorithm,basic tearing algorithm, K&S algorithm, find the following: (a) Cutset containing the tear streams. (b) Total number of output streams affected by the cutset. (c) Compare the results of various algorithms.
CHAPTER 13
In this chapter, first we will discuss the importance and methods that can be used for convergence promotion. Then, we focus on the retrieving methodologies for physical and thermodynamic properties that are required for any process plant simulation. The sequential modular approach discussed in Chapter 11 is generally executed by decomposing the networks (tearing certain streams, as discussed in Chapter 12) and estimating the values of the teared streams. A number of competing methods are available in literature for convergence promotion of the material and energy balances.
338
where i represents the cycle of calculation or the iteration number. The method is characterized by fast convergence when the initial guess xo is close to the solution. However, it requires evaluation of an n x n matrix of the function derivatives (the Jacobian) as well as solving n simultaneous linear equations. The other methods suggested can be thought of as particular ways of approximating the Jacobian of the nonlinear functionsAx).
Example 13.1 Solve the equation x2  2 = 0 with an initial guess of x = 2. Solution The function is x2  2 = 0. The starting point for Newtons method is 2.0. The derivative of the function is 2x. Newtons method for this function is as follows:
x(i + 1) = x(i) x[O] x[l] x[2] x[3] x[4] x[5] x[6] x2(i> 2 2x(i)
= 2.0 = 1.5 = 1.41666 = 1.41422 = 1.41421 = 1.41421356237309504880168962 = 1.41421356237309504880168872420969807856967187537723 Root = 1.41421356237309504880168872420969807856967187537694 8073 17668.. .
Solution The values shown in Table 13.1 are obtained in various iterations which finally converge to x = 2.35320996419932.
339
x(i)
= 3.13667761101986
= 2.62594320362587
= = = = = = =
2.4005817996535 2.35497912232491 2.35321391356784 2.35320996740109 2.35320996420191 2.35320996419933 2.35320996419932
and m < n to make the problem well defined. Solution We can solve this problem by direct substitution; in other words, we solve simultaneously the m equality constraints and express any set of m variables in terms of the remaining n  m variables. The new objective function is not subjected to any constraint; hence the optimum can be found by using any unconstrained optimization techniques. But, in practice, it is not often possible to express m variables in terms of remaining n  m variables in the case of nonlinear constraints. Thus a more general method is needed.
340
Solution by the method of Lugrange multipliers In order to avoid the deficiencies encountered by the direct substitution method, we use the Lagrange multipliers method, which has been widely used in areas such as dynamics and controls. The abovementioned optimal problem with equality constraints is equivalent to the problem formulated in the form of the Lagrange multiplier: L ( X , A) = f ( X > + Ag(W The necessary conditions for its extremum are given by dL (X, dX dL A ) = 0,  ( X ,
dA
A) = 0
In the case of multiple constraints: equality, inequality, side, etc., we can always convert inequality constraints into equality ones by adding slack variables, e.g., 2 g,(X) I0 , j = 1 , 2 , ..., m after adding slack variables y; turns out to be gj(X) + Y j = O , j = 1, 2, .,,, m, where the values of the slack variables are yet unknown. Applying the Lagrange method to the new function L ( X , Y . A ) = f ( X ) + Cy==l j G j ( X ,Y ) , we get A
dL (x, dXj
Y , A) = G ~ ( xY, ) + gj(x) y: = 0, j +
Y , A ) = 2Ajyj = 0, j = 1, 2, ..., m
1,2, ... m
)
dL (X,
*j
341
The above third equation implies that either A = 0 or yj = 0. The former case means that thejth constraint is inactive and hence can be ignored. Otherwise means that the constraint is active at the optimum point. We can further simplify the Lagranges according to active and inactive constraints. Take a twoconstraint problem for instance; the above equations can be represented as (Fig. 13.1):
Vf = A,Vg, + A,Vg, Let S be a feasible direction at the optimum point. Premultiplying both sides of this equation by , ' S STVf = A,STVg, + A2STVg, as S is a feasible direction, it satisfies the relations STVg, < 0 and STVg2 < 0. If A > 0, then STVf > 0. In other words, we are not able to find any direction in the feasible domain along which the function value can be decreased further.
KuhnTucker conditions As shown above, the conditions to be satisfied at the constrained minimum point X* are
a + j , , , A j  = 0%i = 1 , 2 + f 8 ,
,..., n
the active constraint.
axi
A > 0, j
A i
E J,,where J, is
,j=l,2 n ,...,
In other words, a secant step is taken for each variable separately. In this way, the method ignores the interaction among variables; changes made in each component of x do not take into account those made in the other components. This may result sometimes into oscillations in the iterative procedure or cause divergence instead of convergence.
342
Example 13.3 Write a pseudocode for convergence promotion using Wegsteins method. Solution function x=vweg2(vl ,g,tmin,tmax,nmax,erc) % vweg2: vector solution of n equations in n unknowns using Wegsteins method % function x=vweg2(vl ,g,tmin,tmax,nmax,erc) % Vector solution of n equations in n unknowns using the Wegstein method % of finding roots % Use VWEGl to do each Wegstein step % Argument Gives a character vector naming a function that tells how to % g find a better value for the unknown % vector x given an approximate set: v l . % The vector must be called x in g. % % vl the initial guess for x. % tmin min allowed change in a step. % tmax max allowed change in a step. % nmax max iterations allowed. % erc desired error. % Typical (default) values are: nmax=lO, erc=.001, % tmax=5 and tmin=.lO % You may give the function 2, 4 or 6 arguments. % If you give it only two, the default values are used % for the rest. % If you give it 4, the default values for nmax and erc % will be used. % Example: >> vweg2(zeros(1,7),g312(x),10,5,10,0.001) % revised help by TYLC
if narginc=4 nmax= 10; erc=.001; if narginc=2 tmi n= 10; tmax=5; end end x=vl; v2=eval(g);
Convergence Promotion and Physical and Thermodynamic Properties for k=l:nmax x=vwegl(vl ,v2,g,tmin,tmax); if max(abs(xv2))<erc return end vl=v2; v2=x; end disp(vweg2 did not converge) prntmx(v1 and v2,[vl;v2],10,4)
343
Example 13.4 Make a module that simulates a twophase equilibrium process. The diagram for the twophase equilibrium process is shown in Fig. 13.2.
Phase 2
u
Phase 1
NC components
Solution There is one feed stream that is split into two phases at a constant temperature T and pressure P . The feed stream is defined by its flow rate F,, composition (component mole fractions, zi), P , and TF. It is necessary to calculate the exit stream flow rates and compositions for specified T and P . Note that in an equilibrium process the exit streams are at equilibrium with each other. That is, at the specified T and P , the two exit streams are at equilibrium. The model to be used is based only on mass balance. The component and total mass balance equations are (NC stands for the number of components in a multicomponent mixture).
344
F2 + F3 = F ,
The equilibrium relation is given by, (3) The expressions for Ki have been given in the description of the problem for a vapourliquid equilibrium system. The definition of mole fractions requires that (4) EXi  cyi = 0
=1 (5) We have 3NC + 3 equations with 4NC + 5 variables (x, y , z , K, T, P, F,, F2, F3). This means that we need to specify NC + 2 variables. The variables to specify are zi, i = 1, 2, ...,NC  1, F,, T, and P. Note that there are NC equations for K .
yi = Ki xi, i = 1, 2, ..., NC
czj
Solution procedure By combining Eqs (1) and (3), it is possible to eliminate yi, and we get
(Ki F2 + F3) xi = ziF1,i = 1, 2, ..., NC
Based on Eq. (6), the following solution procedure is proposed. 1. Given values of zi, i = 1, 2, ..., NC  1, F,, T and P. 2. Using Eq. ( 5 ) , calculate zNC = 1  (zl + z2 + z3 + + zNC3. Assuming ideal gas law, calculate K i = e S / P 4. Guess F2/F1; calculate F2 from (F2/F1) F,. 5. Calculate F3 from Eq. (2). 6. Calculate xifrom Eq. (6). 7. Using the calculated values of x i and Ki, calculate yi from Eq. (3). 8. Check whether Eq. ( 5 ) is satisfied. If yes, stop. Otherwise, assume a new value for F2/F1and repeat from step (4). Note that the above procedure is valid for a compositionindependent expression for Ki. If the composition dependence should be considered, the above procedure can be employed to generate an initial estimate for xi and yi. Then with these values, the following solution procedure is proposed. Given values of zi, i = 1, 2, ..., NC  1, F,, T and P ; and initial estimates for x and y. Using Eq. ( 5 ) , calculate zNC= 1  (z, + z2 + z3 + . * * + z N C  ,). Guess F2/F1; calculate F2 from (F2/F1) F,. Calculate Ki using an appropriate expression. Calculate F3 from Eq. (2).
345
Calculate xi from Eq. (6). Using the calculated values of x i and Ki, calculate yi from Eq. (3). Check whether Eq. (5) is satisfied. If yes, stop. Otherwise, assume a new (also normalize values of x and y). value for F2/F1and repeat from step (4) Alternative methods can also be found in Separation Processes by King (1980). Convergence criteria The residual function for Eq. (5) may be written as
R = C X Cyi ~ (7) A plot of R versus F2/F1 (for the ideal system) will show that R will have zero value between F2/F1= 0 and F2/F, = 1. At F2/F1= 0, there is only one phase (F3), for F2/F, = 1, there is also only one phase (F2).This means that at values of F2/F1 very close to unity, R is positive, while at F,IFl very close to zero, R is negative. The solution for F2/F1therefore must lie between 0 and 1. If for both values of F2/F1, is either positive or negative, it indicates the feed mixture at the specified R T and P is either vapour or liquid, respectively. Convergence is achieved when R is less than abs (lo4)or lower. To update the value of F2/F1,Wegstein's method can be employed once two estimates on either sides of the solution have been found. Alternatively, the Newton method can be employed. Let us consider p = F2/F1.Then new updates with the Newton method are obtained from
p=pWJ (8) where J = dW& Note that for the nonideal case, for convergence, the changes in x and y between iterations should also be monitored. Liquidliquid systems The above procedure can also be used for a liquidliquid system by simply changing the expression for Ki. For a liquidliquid equilibrium system, the condition of equilibrium is given by,
Example 13.5 Consider a mixture of npentane, nhexane, and nheptane. The values for the specified variables are z1 = 0.65, z2 = 0.20, F , = 100, T = 330 K, and P = 1 atm. The converged F2/F1value is approximately 0.7645 with the ideal gas law for a vapourliquid system in equilibrium. Use the vapourpressure data and other necessary data from the supplied database.
346
Solution If the SRK model (Soave modification of the RedlichKwong equation of state) is used for the above the system, the following results are obtained: PTflash: Temperature (K) = 330.00000 Pressure (atm) = 1.00000 Number of phases = 2
The mole fractions in feed and each phase are as follows:
Phase type 1 2 3 Feed 0.65000 0.20000 0.15000 Gas 0.72857 0.18 100 0.904299e  01 Liquid 0.38802 0.26334 0.34864
(13.5)
where
A=(%)
x=x,
(13.6) (13.7)
b =Ax') Ax'
Now labelling eigenvalues A of A in descending order of the absolute magnitude, it can be shown that the necessary and sufficient condition for Eq.(13.5) to converge is IA, I < 1.0 (13.8) when A, is the dominant eigenvalue. This is the basis of the dominant eigenvalue method (DEM) proposed by Orbach and Crowe (1971), which claims major advantage over Newton's method that neither evaluation nor inversion of a large matrix is necessary.
347
xi+l
= g'
(13.9)
(13.10) subject to
Po = 1
(13.11)
or (13.12)
j=O
The use of Eq. (13.12) has been suggested by Kaniel and Stein (1974). Crowe (1978) showed that this leads to more efficient convergence than the use of Eq. (13.11).
. . =xipf'
(13.13)
where Hi is a matrix approximating the inverse of the Jacobian and is updated in every iteration as follows: (13.14) where
qi = x i + l  x i yi = f i + 1  f i
'
(13.15) (13.16)
The vectorp' is arbitrarily chosen; therefore, the convergence rate depends strongly on its choice as well as on the initial guess 9. Broyden (1965) made the following choice for p i , with 9 = I:
pi
= H'Tqi
(13.17)
340
In the modification suggested by Metcalfe and Perkins (1978), the matrix is updated in each iteration unless the newly estimated value is an order of magnitude worse in the sense of a sum of squares of residuals than the current point. Soliman (1978) chose pi as follows:
Pi  g'lqi with
=fi
(13.18) (13.19)
@=I
or
Ho
=(%)
1
(13.20)
x=xo
Four more algorithms were presented by Soliman (1979), which incorporate the identity matrix approximation for the Jacobian.
349
13.2.1 Sources
The two sources of data on properties are those experimentally measured and those already reported in the published literature. Bulks of the data are available for pure components and for mixtures of usually not more than two or three components over limited ranges of temperature and pressure. The commonly measured properties are vapour pressures; temperature and enthalpy changes for phases at equilibrium; density, volume, heat capacity, and enthalpy of a single phase in equilibrium with a second phase; critical constants; enthalpy changes for chemical reactions; equilibrium constants; electrical cell potentials; etc. Additional properties measured for the mixtures are volume and enthalpy changes on mixing and composition of phases at equilibrium. Some other properties which are less often measured are volume, heat capacity, and enthalpy of a single phase as a function of temperature, pressure, and composition; velocity of sound; JouleThompson coefficient; and adiabatic compressibility. The following properties often tabulated are usually derived from the experimental data: enthalpy, volume, entropy, fugacity, Gibbs energy, and Helmholtz energy of a single phase as functions of temperature and pressure; thermodynamic properties of ideal gases; enthalpy and Gibbs energy of formation of compounds and components of mixtures in the standard state; excess thermodynamic functions, activity coefficients, and osmotic coefficients of mixtures. The demand for thermodynamic properties will probably always exceed than what can be obtained from experimental measurements. This can be met only by calculating or estimating properties. Such estimation methods range from those based on rigorous statistical mechanics to those based entirely on empirical approaches. The most successful use of statistical mechanics is the prediction of ideal gas properties from molecular properties. Reid and Sherwood (1958; 1966) presented a critical review of procedures for estimating the properties of gases and liquids, which has been broadened and expanded by Reid et al. (1977). Reonick (1981) showed how the various physical and thermodynamic properties of a single
350
compound can be estimated based on the information on its structural formula and its normal boiling point. The other useful sources for data are ACS (1961), Canjar and Manning (1967), Starling (1973) and Yaws (1977). Simple and efficient means for computer estimation of thermodynamic properties of real gases have been proposed by Llinas and Freze (1976). Several kinds of properties can be successfully estimated as a sum of bond or group contributions [Somayajulu and Zwolinski (1972, 1974, 1976), Benson (1976), Fredenslund et al. (1977), Yoneda (1975)l. The sources for vapourliquid equilibrium data are Air Liquide (1976), Chu et al. (1950; 1956), Gmehling and Onken (1977), Ohe (1976), and Wichterle et al. (1973; 1976).
13.2.2 Databanks
A databank is an electronic analog of a file cabinet in which data are stored for direct retrieval.The design of a thermodynamicproperty databank requires decisions to be made on (i) the kind and number of substances to be stored and their properties, (ii) types of representation for the data, and (iii) organization of the information in total. These questions are closely related in the choice of algorithms for searching the data files, interpreting and processing the data located and procedures for quality control and for file expansion and revision. The data on properties to be retrieved can be classified as follows (Wilhoit 1980): 1. Raw data: results of direct experimental measurements. 2. Normalized data: raw data converted to uniform set of units and reference states. 3. Selected data: single best value for each property of a substance. 4. Smoothed data: selected data represented as smooth functions of independent variables, usually requiring interpolation or extrapolation. 5. Correlated data: experimental data represented by parameters characteristic of molecular structure and dynamics. It is difficult to organize the different types of data into a single file. They have to be necessarily stored in separate files. For most applications, selected and smoothed data are preferable. In some cases, the estimated value of a property might be more accurate than the measured one. Hence, the use of molecular parameters is a potential means of generating physical property data. The estimation procedures can be better incorporated into a retrieval software and invoked whenever a needed property is missing from the data file. For instance, by the use of group contributions,properties of a large number of pure species and their mixtures can be calculated from a small set of group values. Thus, such a procedure will be more efficient to estimate properties as needed rather than storing them in a file. The group contribution values can, therefore, be stored in an auxiliary
351
file. Empirical methods are restricted to certain classes of compounds or limited ranges of independent variables; hence, they should be used with caution when embedded in a retrieval software. The following kinds of specifications define the range and scope of the information to be stored and retrieved: 1. Substances (pure species or mixtures or both) 2. Classes of compounds (organic, inorganic, metals, polymers, electrolytes, etc.) 3. Phases (solid, liquid, gas, plasma) 4. Kinds of properties and their units 5. Kinds of independent variables and their ranges 6. Measures of accuracy Adequate documentation of the data in the file is essential. The immediate source of data should also be recorded and retrieved. If a property value is estimated, it is helpful to identify estimating method. If it is a measured value, reference to the original source should be available. The choice of properties to be stored and retrieved is the principal factor determining the utility of the databank. From the process simulation point of view, these will probably include the following. 1. Phase equilibrium data: for pure compounds such as vapour pressures, melting, and boiling points, enthalpies of phase transition. 2. Properties of single phase: density and volume, enthalpy and entropy, heat capacity. 3. Thermochemical properties: enthalpy and Gibbs energy of formation for various phases, heat of combustion (many of these properties could be given for mixtures). 4. Additional mixture properties: solubility and composition of phases at equilibrium, enthalpy and volume changes on mixing, Henrys law constants, activity coefficients. 5. Transport properties: viscosity, thermal conductivity, diffusion coefficients. About 100 pure compound properties significant in practical applications can be listed; mixtures of nonelectrolytes will add to the list by 3040 and of electrolytes additional 1020. A critical review of available property systems both stand alone and those embedded in simulation programs is given by Reid and Evans (1970). An exhaustive list has been compiled by Hughson and Steymann (1971; 1973). However, a complete survey of existing databanks was made by Rose (1979) and Edmonds (1983). According to Rose (1979), there are three categories of databanks available, which are as follows.
352
Category I In this category are the databanks developed by industrial organizations for their own use. These organizations recover the development cost by selling these databanks. They generally have most of the compounds with an adequate range of properties and an accuracy guarantee. Important banks are those developed by ICI, Monsanto, Solvay, DSM, and Uhde. Category 2 In this category are those banks that are developed as a service for marketing. These can be divided into two subgroups. Banks in the first subgroup are operated as a service specifically for chemical engineers, such as Institution of Chemical Engineers (UK), DECHEMA, CHEMSHARE, Liege University, RRL Hyderabad, etc. The banks objective being to make wellknown data conveniently available, they contain the range of properties usually required by design engineers, particularly VLE data. In the second subgroup are services not limited to chemical engineering. These have data in different available ranges; some of which may be useful to chemical engineers. They provide predominantly data from sources that otherwise would be difficult to locate and cover thousands of components for the limited set of properties. Some of the organizations and the databanks developed by them are NPL (VP & VLE), University of Sussex (Computer Analyzed Thermochemical Data), NPL/Association Thermodata (MTDATAGEMT), NPL (ALLOYDATA), Dortmund University (DDB), TRC/API (TRC Databank), NEL (APPES), Tokyo University (EROTICA), Purdue University (CINDAS), etc. Category 3 In this category are small banks, mostly developed for teaching purpose with limited number of components. These include Edinburgh University (VLE), Manchester University (Physical Property Data System), Milan Polytechnic (PHYSCO), EURECHAEuropean Universities (CHEMCO), University of Houston (CHESS), CADC (CONCEPT), SSI (SSI/lOO), RRL Hyderabad (TPACK), etc.
353
experimental data for the system under study, computational effort required, etc., for providing different modules to perform a single task. As shown by the tree structure in Fig. 13.3, the VLE package has two types of modulestask and method modules represented by circles and rectangles, respectively. Each task module has a choice among various method modules provided to accomplish it. A task module may also invoke another task module. The nomenclature used in Fig. 13.3. are as follows: CP is the fugacity, Y is the activity coefficient,p is the vapour pressure, v is the molar volume,fis the number of moles, I is the integral v/RT dp, and K is the equilibrium constant. Circles denote task modules and rectangles denote method modules.
I,
32
values RedlichKwong YenWood I
V
Curve fit
Laar
NRTL
RedlichKwong
Curve fit
UNIFAC
Antoine
EXERCISES
13.1 Discuss modularity and routing for the prediction of vapourliquid equilibrium data. 13.2 Discuss the following: (a) Newtons method of convergence promotion. (b) Classification of data on properties to be retrieved. 13.3 Discuss the sources and databanks for physical and thermodynamicproperties.
354
13.4 Discuss various convergence promotion methods. 13.5 Compare dominant eigenvalue method and general dominant eigenvalue method. 13.6 Discuss the quasiNewton methods of convergence promotion. 13.7 Discuss the criterion for acceleration. 13.8 Discuss and compare the following convergence promotion methods: (a) Newtons method, (b) direct substitution, (c) Wegsteins method.
CHAPTER 14
356
converter is part of the synthesis loop, and its operation is quite crucial in the overall control strategy of the plant. In the converter, the following catalytic reaction takes place at elevated temperatures and pressures releasing a large amount of heat:
N, + 3H, e 2NH,, AH = 22.0 kcal (14.1) This heat has to be removed to obtain a reasonable conversion as well as to protect the catalyst life. At the same time, the released heat energy is utilized to heat the incoming feed gas to proper reaction temperature. A typical ammonia synthesis reactor is shown in Fig. 14.1,
'
357
1. The rate expression is valid. 2. The model is onedimensional, i.e., the temperature and concentration gradients in the radial direction are neglected. 3. Heat and mass diffusion in the longitudinal direction are negligible. 4. The temperature of the gas flowing through the catalyst zone is equal to that of the reacting gas and the catalyst particles. 5. The heat capacities of the reacting gas and the feed gas are constant. 6. The catalyst activity is uniform along the reactor and equal to unity. 7. Pressure drop across the reactor is negligible compared to the total pressure of the system.
14.1.2.2 Objective function
The objective function is the economic return based on the difference between the value of the product gas (heating value and the ammonia value) and the value of feed gas (as a source of heat only) less the amortization of reactor capital costs. Other operating costs are omitted. As shown by Upreti and Deb (1997), the final consolidation of the objective function terms is
f ( x , N N 2Tf, = 1.33563 x lo7  1.70843 x 104NN2 , T')
699.27(T'  To)
(14.2)  [3.45663 x lo7 + 1.98365 x 109 x] 112 It is clear from the above expression that the objective function depends on four variables: the reactor length x, proportion of nitrogen N,, the top temperature Tg, the feed gas temperature Tf.
358
14.1.2.3 Constraints There are mistakes in modelling equations reported in Murase et al. (1970), which were corrected and some of them were reported by Upreti and Deb (1997). Hence, for the sake of clarity, all the corrected modelling equations are presented below.
Energy balances Feed gas Refemng to Fig. 14.2, an energy balance on the feed stream yields the
following equation:
Tube
(14.3)
where Uis the overall heattransfer coefficient in kcaUm2hK,S,is the surface area of cooling tubes per unit length of reactor in m,T, is the temperature of reacting gas in K, W is the total massflow rate in kgh, CPfisthe specific heat of feed gas in kcal/kgK, and x is the distance along the axis in m.
where AH is the heat of reaction in kcallkg mole of N,, S is the crosssectional , area of the catalyst zone in m2,  d N N 2 / d xis the reaction rate in kg moles of N,ih m3, and Cpgis the heat capacity of reacting gas in kcaVkg K. On the rhs of Eq. (14.4), the first term represents the heat transfer from reacting gas to feed gas and the second term represents the heat released due to reaction.
359
wherefis the catalyst activity; p ~, PH,,P N Hare the partial pressures of N,, H,, , ~ and NH,; and K, and K2 are rate constants.
K, = 2.5714 x 1016exp 
In order to maintain the energy and material balance of the reaction, the above three coupled differential equations [Eqs (14.3)( 14.5)] must be satisfied. It turns out that three of the above variables (Tr Tg, NN,) can be eliminated by satisfying these energy and material balance equations. Thus, practically, there is only one design variable for the given top temperature. The partial pressures appearing in the differential equations are computed as follows. Feed gas contains 21.75 mol% nitrogen, 65.25 mol% hydrogen, 5 mol% ammonia, 4 mol % methane, and 4 mol % argon. Moles of N, in feed (Ni2) = 701.2 kmoVhm2 and total pressure (P) = 286 atm. The partial pressures appearing in the differential equations are computed as follows:
I?:[ I?:[
(14.6)
(14.7)
N2 + 3H2 e 2NH, From the stoichiometry of the above reaction, it is clear that mole fractions of nitrogen, hydrogen, and ammonia are given by
PN 2 moles of
P
N, total moles
   3p,, pH,
PNH, P
where Total moles = moles of N, + moles of H, + moles of NH, + moles of CH, + moles of Ar Moles of nitrogen = NN, (1) Moles of hydrogen = 3NN, (2) Moles of argon + moles of methane = 257.92 kmoVhm2 (3) Moles of ammonia in feed = 161.195 kmoVh m2
360
Moles of ammonia formed = 2(Ni2  NN2 ) Moles of ammonia = moles of ammonia in feed + moles of ammonia formed Total moles = (1) + (2) + (3) + (4) = 2.598Ni2 2 , "
(4)
Therefore, the partial pressures of nitrogen, hydrogen, and ammonia are given by the following equations: 286NN2  2.598Ni2 4 2", (14.8) (14.9)
)
pN2
PH, = ~ P N ,
286(2.23Ni2 2 , "
PNH3 =
(14.10)
= 701.2 k m o n m 2 at x = o
The three inequality constraints that limit the values of three of the design variables are as given below:
(14.14) (14.15)
(14.16) 0.0 I x I 10.0 Since the reaction gas temperature Tgdepends on the nitrogen massflow rate NN,, feedgas temperature Tp and reactor length x, explicit bounds on Tgare not necessary. From the system model, we have three differential equations and four variables, making the degrees of freedom equal to 1. We specify the length of the reactor, calculate the remaining variables using the system model, and then pass these variables to the optimization algorithm. The computation procedure for the optimization camed out is shown in Fig. 14.3.
361
equation solver
Optimization routine
Fig. 14.3 Computation procedure
362
800 700
800 700
a 600 s
z*
600 500
500
h 400 S
L 400 q
300 200
I
300 0
. . . . . . . . .
2 4 6 8 1 Reactor length (m)
(a) RKFS
(b) EULER
....... ......
.......
NN,
2
k
500
&$oo
h i
400 300
300
\
200{ 0
\;
, , ,
(c) POLYMATH
(d) RKVS
.......
700
....
P
2
k
600 500
3001,,
200 0 2
\
, , , , ,
(e) GEAR
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From Tables 14.114.3, it is evident that all the numerical methods (stated above) are equally good, barring a few of the following differences. There is good agreement between RKFS and POLYMATH, which can be explained with the fact that POLYMATH software is based on the RKFS algorithm. Similarly, GEAR and EULER are giving same results though slightly different from RKFS and POLYMATH. The difference in the prediction is less than 2.3% between GEAR/ EULER and RKFSPOLYMATH. Similarly, the difference in the prediction of intersections is less than 5.0% between RKVS and GEAREULER methods. RKVS is the latest and has the ability to adopt its step size and varies as per requirement at every move. Based on the above observations, it can be substantiated that all the five methods are equally good both qualitatively, giving the same results, and quantitatively with slight difference. Hence, any of the above numerical methods can be used for the solution of three coupled differential equations.
Table 14.1 Comparison of different numerical methods at a reactor length of 10 m
EULER POLYMATH RKVS GEAR
X
"2
T B
Tf
X
9
Tg
8.915 490.48
8.915 499.56
8.916 490.56
9.355 499.68
8.895 499.57
N N , , Tf
4.933 501.525
4.900 511.50
4.935 501.64
5.156 511.75
4.900 511.55
364
Upreti and Deb (1997) reported that the reverse reaction predominates the forward reaction at the top temperature of 664 K. In this study, RKVS, which is well accepted for many engineering problems, is used to generate temperature and flow rate profiles at that temperature. Surprisingly,there is no such trend observed in the profiles obtained, as can be seen in Fig. 14.5(a).To see the presence of any reverse reaction effect, the program is executed for temperatures even below 664 K with intervals of 10 K up to 600 K. But no such trend is observed. Qpical results obtained at top temperatures of 640 K and 600 K are shown in Figs 14.5(b) and 14.5(c), respectively. As is evident from the figures, there is no reverse reaction effect even at a top temperature as low as 600 K. Again, to check if it is the limitation of RKVS, the other methods are applied but none of them could show this effect. Also, Upreti and Deb (1997) reported that the three differential equations (14.3)(14.5) become unstable at the top temperature of 706 K. However, using the abovestated numerical methods, it is observed that the equations are not unstable even at a top temperature as high as 800 K. It may be noted that Upreti and Deb (1997) used NAG library's subroutine D02EBF [which is now replaced by D02EJF (NAG 2002)].
.....,.
'O0
.............,_
450 500 0
1
0
I , , , , , , , , , ;
2 4 6 8 1 Reactor length (m) 0
(a) 664 K
(b) 640 K
(c)600 K
Fig. 14.5 The profiles obtained using RKVS for different top temperatures
365
14.1.4 Optimization 14.1.4.1 'Nested' DEa new concept The key parameters of differential evolution (DE), which was discussed in Sec. 10.3, are the population size (NP), the scaling factor (F),and the cross over constant (CR). Choosing the values for NP, F, and CR depends on the specific problem to which is DE is applied, and is often difficult. But some general guidelines are available. Normally, NP should be about 5 to 10 times the number of parameters in a vector. As for F , it lies in the range 0.41.0. Initially F = 0.5 can be tried, then F and/or NP is increased if the population converges prematurely. A good first choice for CR is 0.1, but in general CR should be as large as possible (Price & Storn 1997). The best combination of these key parameters of DE for each of the strategies mentioned earlier is again different. Price and Storn (2003) have mentioned some simple rules for choosing the best strategy as well as the ranges of corresponding key parameters. 14.14.2 Effect of DE key parameters The key parameters are generally found by trialanderror method. In this method one parameter is kept constant while varying the others in steps. In this process, we may m i s s out the optimum combination that gives global optima, as it is very difficult to cover the entire range of all the key parameters, however small the incremental step may be. The comparison of results obtained using different combination of DE key parameters (CR and F) are shown in Figs 14.6(a) and 14.6(b). These graphs show us how difficult it is to find out which combination can be the most suitable one for our problem as there is no specific trend observed.
50 45 40 
 CR = 0.75
,", ,
, ..\ , .,'
,___ , ,
F=0.8
15 10 5 '
0"
'
'
'
'
'
'
'
366
By looking at the problems mentioned above and the results obtained in this study in choosing the right combination of the DE key parameters, it was felt that why not use DE itself for finding the optimum key parameters along with the optimum variables of the actual problem formulation [i.e., using DE within DE wherein the outer loop takes care of optimization of key parameters (NP, CR, F) with the objective of minimizing the number of generations required, while the inner loop takes care of optimizing the problem variables]. A yet complex objective can be one that takes care of minimizing the number of generationdfunction evaluations and the standard deviation (SD) in the set of solutions at the last generatiodfunction evaluation, and to try to maximize the robustness of the algorithm. Initially, the tuning parameters for outer DE (NPOUTER, CROUTER, and FOUTER) were chosen on the basis of general heuristics. The pseudocode for nested DE used in the present study is given below: 1. Choose the DE strategy to be used for both the inner and the outer DE. 2. Initialize the variable D for both the inner [DINNER = 1, the reactor length isx] and outer (D_OUTER=2, CRINNER, and FINNER for inner DE) DEs 3. Initialize the tuning parameters NPOUTER, CROUTER, and FOUTER for the outer DE. 4. Initialize the initial population of NPOUTER (DE) points within the defined limits for the variables CRINNER and FINNER as follows: for(iouter = 1; iouter <= NPOUTER; iouter++)
{
innerCR[iouter] = CRINNERLOWERLIMIT + Rando mN u m ber * (C RI N N ERLOW ERL I M IT C RI N N ERLOW ERL I M IT); inner F[ i outer] = FI N N ERLO W ERL I M IT + RandomNumber * (FINNERLOWERLIMIT FI N N ERLOWERLI M IT);
1
5. Calculate the number of generations required for the inner DE to converge to the global optima using the recent population of innerCR[i] and innerF[i] tuning parameters for all NPOUTER points of the recent generation. for(iouter = 1; iouter <= NPOUTER; iouter++)
{
= innerDE(innerCR[iouter],
367
5b. Calculate the value of the profit function for all x's by performing simulation using the chosen differential equation solver (e.g., RKFS, EULER, POLYMATH, RKVS, D02EJF, GEAR, etc.). for(iinner = 1; iinner c= NPINNER; iinner++)
{
[T,[iinner], T,[iinner], NN2[iinner]] = simulateprofiles(x[iinner]); Profit[ i inner] = prof i tf unct ion(x[ i i nner], T,[ i inner], Tg[ i i nner], NN2[iinner]);
1
5c. Form the next generation for inner DE by performing mutation, recombination, and selection (specific to the chosen DE strategy) with the tuning parameters innerCR[iinner] and innerF[iinner]. For the present study, the seventh DE strategy (DE/rand/l/bin) was used. The steps involved are randomly choosing three vectors (a, b, c; distinct from the target vector[i] against which the trial vector will be checked) from the N PI N NER vectors of the present generation and then continuing as follows (let i be the index of the target vector):
xtrial = x[a] + innerF[iouter]*(x[b].x[c]); [T,trial, T,trial, N,,_trial] = simulateprofiles(xtrial); , I); Prof itt ria I = prof i tf u nct ion(xt rial,t T ria I,t ,T ria I, N,,tria if( Profit[i] c Prof ittrial) pass the trial vector i n t i the next generation to replace the target vector else retain the target vector for the next generation
5d. Check if the standard deviation [using Eqs (14.17) and (14.18)] for the present generation has gone below the maximum allowable limit (SD). If this condition is met, go to the next step, else go to step 5b. 5e. Report the number of generations required for the inner DE to reach the SD to the outer DE. 6. Form the next generation for outer DE by performing mutation, recombination, and selection (specific to the chosen DE strategy) with the tuning parameters CROUTER and FOUTER. As explained in step 5c,
360
this was done using the seventh DE strategy. Similar calculations will follow (let i be the index of the target vector). innerCRtrial = (RandomNumber c CROUTER ? (i nnerCR[ a] + F0 UTE R*( inne rCR[ b]in nerC R[ c])): in ne rCR[ i]); innerFtrial = (RandomNumber c CROUTER ?
(i nner F[a] + FOU TE R*( i nne r F[ b]inne r F[ c])): inner F[ i]); Generat ionsReq u i redt rial = innerDE( innerCRt ria I, inner Ft ria I); if(GenerationsRequired[i] c GenerationsRequiredtrial) pass the trial vector into the next generation to replace the target vector else retain the target vector for the next generation
7. Check if the termination criteria (either reaching the maximum number of generations allowed or reaching the standard deviation below SD) for the outer DE is satisfied. If yes, go to the next step, else go to step 5. 8. Print the results.
The optimum reactor length obtained using GEAR with nested DE is 6.79 m (at top temperature of 694) with the objective function value of US $4,848,383.0 per year. Using RKFS with DE the values are 6.59 m (at top temperature of 694 K) and US $5,006,814.58 per year. To find the best combination of these parameters for the present problem, we vary CR and F, but keep NP to the higher side (NP = lOD, to be on the safer side). The algorithm followed for the nested DE operation in combination with GEAR is shown in Fig. 14.7. The optimum DE parameters using nested DE (with the strategy DE/rand/l/ bin) with the GEAR method for various standard deviations are shown in Table 14.4. For population of xis (i = 1, 2, 3, ..., NP) we define
NP
(X  X i ) 2
(Np 1)
(14.17)
where
NP
( 14.18)
i=l
From Table 14.4, it is clear that irrespective of the values of SD (1.0,0.5,0.25,0.1 0.01, and 0.01) and the corresponding CR and F values, we obtained almost same values of the objective function (US $4,848,383.0/year) and reactor length (6.79 m). It consolidates the robustness of the DE algorithm. The more wider the range of values of CR, F, and SD for which same values of the objective function and reactor length are obtained, the more robust is the algorithm.
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I
Optimize reactor length
t
Solve the system model equation using GEAR
1
Perform mutation, crossover, and recombination on the reactor length till convergence
CR
0.745547 0.939156 0.995696 0.8686 0.902649 0.793 195
F
0.520328 0.485891 0.7012 0.553093 0.434454 0.43707
Gmin
1 2 4 6 10 18
Also, the code of nested DE was run with another strategy DE/rand/l/exp, and we found that the results are exactly the same. This also proves DEs power and robustness. Now that we have already tried the effect of DE parameters and strategy on speed and accuracy and found that it has little or no effect on accuracy, we can say that the NP in a generation, if taken within the limits, would not have any effect on the result.
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Table 14.5 shows the results obtained from different methods and their comparison with those obtained by Murase et al. (1970), Edgar and Himmelblau (1989), and Upreti and Deb (1997) using Pontryagins maximum principle (PMP), Lasdons generalized reducedgradient method (LGRG), and genetic algorithm (GA), respectively.
Table 14.5 Results of various numerical methods and their comparison
Ph4P LGRG D02EBF EULER (Murase (Edgar& withGA withDE Himme(Upreti & et al. 1970) lblau 1989) Deb 1997)
Optimum
x (m)
RKFS
withDE
GEAR withDE
RKVS withDE
5.18
2.58
5.33
6.8
6.59
6.79
7.16
Not 1.29 x lo6 4.23x lo6 4.84x lo6 Objective function reported (US $/year)
FromTable 14.5,we observe that an optimum reactor length of 2.58 m is reported by Edgar and Himmelblau (1989) and 5.18 m by Murase et al. (1970), both of which are wrong due to the errors in their problem formulations as pointed out by Upreti and Deb (1997).An optimum reactor length of 5.33 m and the corresponding objective function value is 4.23 x lo6US $/year, reported by Upreti and Deb (1997), are also not correct as found in this study due to a possible error in the software they used (D02EBFNAG Library subroutine).This may also be wrong, because simple GA does not ensure a global optimum. Among other methods, GEAR, EULER and RKVS have the same objective function value though the optimum reactor length is slightly different in each case. RKVS is an improved method over the other methods and is the wellaccepted one. Also, this study establishes the accuracy and robustness of DE. Hence, the correct optimum reactor length can be considered 7.16 m with an objective function value of 4.841 x lo6 US $/year.
14.1.5 Conclusions
In this problem, DE is used for the optimal design of an autothermal ammonia synthesis reactor. The new concept of nestedDE is introduced. Results indicate that the profiles of temperature and flow rate are smooth and there is no reverse reaction effect irrespective of the numerical method used for the solution of differentialequations.The optimum reactor length depends upon the top temperature. Also, the power and robustness of DE is brought out using the new concept of nested DE. This successfulapplication of DE for the optimal design of the ammonia
371
synthesis reactor indicates that DE has great potential and can be applied to advantage in all the highly nonlinear and complex engineering problems.
372
four commercial processes employed for thermal cracking in oil refineries. They are as follows: m Dubbs thermal cracking process m Pyrolysis Visbreaking Coking Pyrolysis or mild thermal cracking is done mainly for the production of lighter products, mainly unsaturated such as olefins (ethylene, propylene) and naphthene polymers, diolefins, benzene and toluene, etc. (Sourander et al. 1984). It is carried out at high temperature (650700 "C) and low pressure.
Fuel
,,
Thermal cracker

(Ethane) (Propane)
Methanel
I
The capacity to run gas feeds through the cracker is 200,000 lbhtream h (total flow based on an average mixture). Ethane uses the equivalent of 1.1 lb of capacity per pound of ethane, propane uses 0.9 lb of capacity per pound of propane, gas oil uses 0.9 lb/lb, and DNG has a ratio of 1.0. Based on the plant data, eight products are produced in varying proportions according to the following matrix (Table 14.6).
Specificpurpose Simulation and Dynamic Simulation Table 14.6 Yield structure (weight fraction)
Feed Product Methane Ethane Ethylene Propane Propylene Butadiene Gasoline Fuel oil Ethane Propane 0.25 0.06 0.35 0.10 0.15 0.02 0.07 Gas oil 0.10 0.04 0.20 0.01 0.15 0.04 0.25 0.21 DNG 0.15
0.05
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Downstreamprocessing limits exist of 50,000 lb/streamh on ethylene and 20,000 lbhtream h on propylene. The fuel requirements to run the cracking system for each feedstock type are as follows: Ethane Propane Gas oil DNG 8364 Btu/lb 5016 Btuflb 3900 Btu/lb 4553 Btuflb
Methane and fuel oil produced by the cracker are recycled as fuel. All the ethane and propane produced is recycled as feed. The heating values are as follows: Natural gas 21,520 Btuflb Methane 21,520 Btuflb Fuel oil 18,000 Btuflb Because of heat losses and the energy requirements for pyrolysis, a fixed fuel requirement of 20.0 x lo6 Btuhtreamh occurs. The price structure on the feeds and products and fuel costs is (all values are in cents per pound) as follows:
Feeds
Ethane Propane Gas oil DNG Products Methane Ethylene Propylene Butadiene Gasoline Fueloil
6.55 9.73 12.50 10.14 5.38 (fu 1 ralue) 17.75 13.79 26.64 9.93 4.50 (fuel value)
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Assume an energy (fuel) cost of US $2.5/106 Btu. The variables to be optimized are the amounts of the four feeds (namely, gas oil, propane, ethane, and DNG). This problem was solved using both the linear programming simplex method and DE. The assumption used in formulating the objective function and constraints are as follows:
1 20.0 x lo6 Btuh fixed fuel requirement (methane) to compensate for the . heat loss. 2. Propane and ethane are recycled with the feed, and methane and fuel oil is recycled as fuel.
14.2.2.1 Objective function The objective function for the profit is given by
(14.19) f = 234x1  0.22~2 3.33~3+ 1.09X4 + 939x5 + 9.51~6 wherefis the profit function (centsh), x1 is the fresh ethane feed (lbh), x2 is the fresh propane feed (lbh), xj is the gasoil feed (lbh), x4 is the DNG feed (lbh), x5 is ethane recycle (lbh), x6 is propane recycle (lbh), and x7 is the fuel added (lbh).
14.2.2.2 Constraints
< 200,000
OSX1 f O.35X2 + 0.2X3 + O.25X4 + O S X , + 0.35x6 5 50,000 (c) Propylene processing limitation of 20,000 l b h : 0.01x1 + 0.15~2+ O.I5X3 0 . 1 8 ~ ~ + 0.01x5 (d) Ethane recycle: 0.4X1 + 0.06x2 + 0.04x3 (e) Propane recycle:
+ 0.05X4  0 . 6 ~ ~ + 0.06x6 = 0
(14.25)
When DE was applied to the above problem, it was found that the equality constraints were difficult to deal with. Hence, the problem was reformulated by eliminating the equality constraints and incorporating them in inequality constraints, thereby
375
reducing the number of constraints and parameters. The reformulated problem is as follows.
14.2.3.1 Objective function
(14.26)
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CPU time 0.28 0.145 0.418 0.539 0.28 0.22 0.126 0.44 0.55 0.275
NRC 100 100 100 100 100 100 100 100 100 100
6 7 8 9 10
DE/rand/ l/bin DE/best/l/bin DE/best/2/bin DE/rand/2/bin DE/randtobest/ l/bin DE/rand/l/exp DE/best/ l/exp DE/best/2/exp DE/rand/2/exp DE/randtobest/l/exp
6,268 3,168 9,076 11,696 6,052 5,252 2,796 10,132 12,600 6,536
14.2.5 Conclusions
The best key parameters for the present problem are NP = 40, CR = 0.8, and F = 0.5. The strategy that took minimum CPU time with highest NRC is strategy 7. The results obtained by the two methods (namely, DE and LP simplex) are same ih and match w t that reported in literature. Differential evolution exhibits difficulties in dealing with equality constraint problems; but, in general, they are the most efficient in terms of function evaluations.
377
The design of a process heat exchanger usually proceeds through the following steps (Perry & Green 1993). Process conditions (stream compositions, flow rates, temperatures, pressures) must be specified. Required physical properties over the temperature and pressure ranges of interest must be obtained. The type of heat exchanger to be employed is chosen. A preliminary estimate of the size of the exchanger is made, using a heattransfer coefficientappropriateto the fluids, the process, and the equipment. w A first design is chosen, complete in all details necessary to carry out the design calculations. The design chosen is now evaluated or rated as to its ability to meet the process specifications with respect to both heat duty and pressure drop.
378
Based on this result, a new configuration is chosen if necessary and the f above step is repeated. I the first design was inadequate to meet the required heat load, it is usually necessary to increase the size of the exchanger, while still remaining within the specified or feasible limits of pressure drop, tube length, shell diameter, etc. This will sometimes mean going to multiple exchanger configurations. If the first design more than meets heat load requirements or does not use the entire allowable pressure drop, a less expensive exchanger can usually be designed to fulfil process requirements. rn The final design should meet process requirements (within the allowable error limits) at the lowest cost. The lowest cost should include operation and maintenance costs and credit for ability to meet longterm process changes as well as installed (capital) cost. Exchangers should not be selected entirely on a lowest first cost basis, which frequently results in future penalties. The flow chart given in Fig. 14.9 (Sinnott 1993) gives the sequence of steps and the loops involved in the optimal design of a shellandtube heat exchanger.
where
subject to feasibility constraints (pressure drop). The objective function can be minimization of HE cost C(X) or heat transfer area A(X) and X is a solution string representing a design configuration. The design variable x1 takes 12 values for the outer tube diameter in the range of 0.252.5 (0.25, 0.375, OS, 0.625, 0.75, 0.875, LO, 1.25, 1.5, 1.75, 2, 2.5). x2 represents the tube pitcheither square or triangulartaking two values represented by 1 and 2. x3 takes the shell head types: floating head, fixed tube
Specipcpurpose Simulation and Dynamic Simulation Specification: Define duty, make energy balance if needed to calculate unspecified flow rates or temperature Collect physical properties:p, p , C,, k Assume overall coefficient, U,,,,,,
379
[a(
~6
1 Yes
Estimate tubeside and
Decide type, tube size, material layout. Assign fluids to shell or tube side
1
Calculate number of tubes
L
Calculate the shell diameter Estimate the tubeside heattransfer coefficient Yes
I
i
Decide baffle spacing and estimate the shellside heattransfer coefficient
to reduce cost?
Fig. 14.9 Flow chart for optimal design of shellandtube heat exchanger
380
sheet, U tube, and pull through floating head represented by the numbers 1, 2, 3, and 4, respectively. x4 takes the number of tube passes 11, 12, 14, 16, 18 represented by numbers from 1 to 5 . The variable xs takes eight values of the various tube lengths in the range 624 (6, 8, lo, 12, 16, 20, 22, 24) represented by numbers 1 to 8. x6 takes six values for the variable baffle spacing, in the range 0.20.45 times the shell diameter (0.2, 0.25, 0.3, 0.35, 0.4, 0.45). x, takes seven values for the baffle cut in the range 15%45% (0.15, 0.2,0.25, 0.3, 0.35, 0.4, 0.45). In the present problem, the pressure drop on the fluids exchanging heat is considered to be the feasibility constraint. Generally a pressure drop of more than 1 bar is not desirable for the flow of fluid through a HE. For a given design configuration,whenever the pressure drop exceeds the specified limit, a high value for the heattransfer area is returned so that, as an infeasible configuration, it will be eliminated in the next iteration of the optimization routine. The total number of design combinations with these variables is 12 x 2 x 4 x 5 x 8 x 6 x 7 = 161,280. This means that if an exhaustive search is to be performed, it will take at the maximum 161,280 function evaluations before arriving at the global minimum heatexchanger cost. So the strategy that takes few function evaluations is the best one. Considering minimization of heattransfer area as the objective function, the differential evolution technique is applied to find the optimum design configuration with pressure drop as the constraint.For the case study considered, the performance of DE is compared with GA and the results are discussed in Sec. 14.3.3.
381
w Initialize the values of D, NP, CR, F, and MAXGEN. w Initialize all the vectors of the population randomly. Since the upper bounds
are all different for each variable in this problem, the variables are all normalized. Hence generate a random number between 0 and 1 for all the design variables for initialization.
for i = 1 to N P { f o r j = 1 to D xi,j = random number }
w Evaluate the cost of each vector. The cost here is the area of the shelland
tube heat exchanger for the given design configuration, calculated by a separate function cala rea() using Bells method.
for i = 1 to N P Ci = calarea()
w Find the vector with the lowest cost, i.e., the best vector so far.
Cmin= C, and best = 1 for i = 2 to N P { if (Ci < Cmin) then Cmi, = C, and best = i }
w Perform mutation, crossover, selection, and evaluation of the objective
(select five, if two vector differences are to be used) randomly from the current population (primary array) other than the vector Xi
Do {
r, = random number * N P r2 = random number * N P r3 = random number * N P } while (r, = i) OR (r2 = i) OR (r3 = i) OR (r, = r2) OR (r2 = r OR , ) 01 = r3) w Perform crossover for each target vector Xi with its noisy vector X,,, and create a trial vector, Xt, i. The noisy vector is created by performing mutation. If CR = C, inherit all the parameters from the target vector Xi, except one , which should be from X i. For exponential crossover,
382
{ p = random number * 1 r = random number * D n=O do { Xn, i = Xa, i + F (Xb, i  Xc, i) r=(r+l)%D increment r by 1 } while ((pcCR) and (rcD))
1
For binomial crossover,
/* add two weighted vector differences for two vector perturbation. For best/random vector perturbation the weighted vector difference is added t o the best/random vector of the c u r rent popu I at io n . */
1
if (Xn, > 1) Xn, = 1 if (Xn, c 0) Xn, = 0
Perform selection for each target vector Xi by comparing its cost with that of the trial vector X, i; whichever has the lowest cost will survive for the next generation.
Ct, = calarea() if (Ct, c Ci) new Xi = Xt, new Xi = X, } else
/ * f o r i = l t o NP */
1
Print the results. The entire scheme of optimization of shellandtube heatexchanger design is performed by the DE algorithm, while intermittently it is required to evaluate the heattransferarea for a given design configuration.This task is accomplishedthrough the separate function calarea(), which employs Bells method of heatexchanger design. Bells method gives accurate estimates of the shellside heattransfer coefficient and pressure drop compared to Kerns method, as it takes into account the factors for leakage, bypassing, flow in the window zone, etc. The various
383
correction factors in Bell's method include the temperature correction factor, tubeside heat transfer and friction factor, shellside heat transfer and friction factor, tube row correction factor, window correction factor for heat transfer and pressure drop, bypass correction factor for heat transfer and pressure drop, friction factor for crossflow tube banks, baffle geometrical factors, etc. These correction factors are reported in the literature in the form of monographs (Sinnott 1993; Perry & Green 1993).In this study, the data on these correction factors from the monographs are fitted into polynomial equations and incorporated in the computer program. As a case study the following problem for the design of a shellandtube heat exchanger (Sinnott 1993) is considered. 20,000 kgih of kerosene leaves the base of a sidestripping column at 200C and is to be cooled to 90C with 70,000 kgih light crude oil coming from storage at 40C. The kerosene enters the exchanger at a pressure of 5 bar and the crude oil at 6.5 bar. A pressure drop of 0.8 bar is permissible on both the streams. Allowance should be made for fouling by including fouling factor of 0.00035 (W/m2"C)' on the crude stream and 0.0002 (W/m2"C)' on the kerosene side. By performing the enthalpy balance, the heat duty for this case study is found to be 1509.4kW and the outlet temperature of crude oil is found to be 78.6"C. The crude is dirtier than the kerosene and so is assigned through the tubeside and kerosene to the shellside. Using a proprietary program (HTFS, STEPS) the lowest cost design meeting the above specifications is reported to be a heattransfer area of 55 m2 based on the outside diameter (Sinnott 1993). Considering the result of the above program as the base case design, in this study DE is applied to the same problem with all the ten different strategies. As a heuristic, the pressure drop in a HE normally should not exceed 1 bar. Hence, the DE strategies are applied to this case study separately with both 0.8 bar and 1 bar as the constraints. In both the cases, the same global minimum heatexchanger area of 34.44 m2 is obtained using DE, as against 55 m2 reported by Sinnott (1993). But, in the subsequent analysis, the results for 1 bar as the constraint are referred here in drawing the generalized conclusions. A seed value for the pseudorandomnumber generator should be selected by trialanderror.In principle, any positive integer can be taken. Integers 3,5,7, 10, 15, and 20 are tried with all the strategies for a NP value of 70 (10 times 0). F The values are varied from 0.1 to 1.1 in steps of 0.1 and CR values from 0 to 1 in steps of 0.1, leading to 121 combinations of F and CR for each seed. When the DE program is executed for all the above combinations, the global minimum HE area for the above heat duty is found to be 34.44 m2 as against 55 m2 for the base case designindicating that DE is likely to converge to the true global optimum. For each seed, out of the 121 combinations of F and CR considered, the percentage of the combinations converging to this global minimum (CDE)in less than 30 generations is listed. The average C,, for each seed as well as for each strategy
384
can be consideredto be a measure of the likelihood of achievingthe global minimum. It was found that the individual values of C D E cover a wide range from 28.1 to 8 1.8indicating that DE is more likely to find the global optimum. Combining this above observation with the earlier one, it can be concluded that DE is more likely to find a functions true global optimum compared to the base case design. The average C D E for each seed ranges from 40.7 to 64.8. In this range, the average C D E for seeds 5,7, and 10 is above 54 and so these seeds are good relative to others. With a benchmark of 40 for the individual C D E values as well, seeds 5, 7, and 10 stand good from the rest. Thus with these seeds, there is more likelihood of achieving the global minimum. Whereas with seeds 3, 5, and 20 there are more of CDE values below 40 and hence not considered to be good from the likelihood point of view. The average C D E for different strategies varies from 44.2to 59.4 and hence all are good if an average CDE 40 is considered to be the benchmark. With the same of benchmark for C D E values also taken, then, excepting strategies 2, 7, and 8, all other strategies are good. Considering speed as the other criteria to further consolidate the effect of strategies on each seed and vice versa, the best combinations of F and CRtaking the minimum number of generations to converge to the global minimum (G~,,)are listed in Table 14.9. The criteria for choosing a good seed from the speedpoint view could be the following: (1) It should yield the global minimum in less number of generations and (2) it should yield the same over a wide range of F and CR for most of the strategies. Following the first criterion with a benchmark ofachieving the global minimum in not more than two generationsseed 3 is eliminated. Satisfying the second criterion also, only seeds 7 and 10 remain. But comparing the overall performance of seeds 7 and 10, seed 10 yields the global minimum in two generations for more number of combinations of F and CR (18 times) than for seed 7 (1 1 times). Also, when random numbers are generated between 1 and 10 using seed 10, it is observed that it generates more ls, which is required in the design configuration leading to the global minimum. Though seed 5 was good from the more likelihoodpoint of view, but with speedas the other criterion, it got eliminated. Similarly with seed 15, using DE/rand/2/exp, with F = 0.6 and CR = 0.9, though the global minimum is achieved in one generation itself, still it is not considered, as more number of generations are taken to converge with other strategies and other combinations of F and CR. From the speed point of view, it can be observed from Table 14.9 that strategies 2,5, 7, and 10 are good. Hence, from both more likelihood and speed points of view, for different seeds, strategies 1, 3,4, 6, and 9 are good. From the above results, it is also observed that, if for a given seed the random numbers generated are already good, then by using DE/best/l/ ... (strategies numbers 1 and 6), the global minimum is achieved in few generations itself. For example,
G, ,
NP = 70 and MAXGEN = 30
Strategy
1 DE/best/l/exp
Seed = 3 F CR Gmin
Seed = 7 F CR Gmin
0.4 0.4 0.5 0.4 0.6 0.4 0.7 0.4 0.8 0.4 0.9 0.4
Seed = 10 F CR Gmin 0.8 0.9 0.9 1.0 1.1 0.8 0.8 1.0 1.0 1.0 2 2 2 2 2
0.7 0.9 3
2 DE/rand/l/exp
1.1 0.1 3
5 5 5 5 5 5 5 5 5 6 6
5
2 a
0.9 0.9 7
$
E,
3 DE/randtobest/l/exp
1.0 0.9 4
4 DE/best/2/exp
0.4 0.9 4
1.1 1.0 2
0.8 0.7 2
4 4 4 4 4
f? 6' 3
B a
Y
b
3
0.8 0.8 4
0.7 1.0 2
0.8 1.0 2
3 ii'
0 3
1.1 0.6 4
p
g
w
5 DE/rand/2/exp
0.8 0.9 2
1.0 1.0 3
0.2 1.0 6
(contd)
Strategy
Seed = 3 F CR G,,
0.4 0.6 7 1.0 0.9 7
Seed = 7 F CR G,,
1.0 0.8 3
Seed = 10 F CR G,,
0.5 0 7 2 . 0.6 0.4 2 0.6 0.5 2
Seed= 15 F CR G,,
Seed = 20 F CR G,,
0.4 0.7
6 DElbest/l/bin
0.9 0.8 5
1.0 0.9 5
0.6 0.9 2 0.7 0.4 2 0.9 1.0 2 1.0 0.9 2 1.0 1.0 2 1.1 0.8 2 1.1 0.9 2 1.1 1.0 2
7 DE/rand/l/bin
1.0 0.5 9 0.1 0.7 0.8 0.7 0.8 1.1
0.3 7
0.5 7 0.8 7 0.4 5
0.9 0.9 5
0.4 0.5 7
0.7 0.9 3
0.6 0.7 10
8 DWrandtobest/l/bin
0.5 5 0.4 5
9 DElbestlUbin
0.9 1.0 4
10 DE/rand/Ubin
0.6 0.8 6
2 2 2 5 5
0.9 0.6 0.9 0.7 0.9 0.8 0.9 1.0 1.0 1.0 1.1 1.0 1.1 0.8
2 2 2 2 2
3
1.0 0.5
0 7 0.4 5 .
0.9 1.0 6
1.0 1.0 3
1.1 0.4 9
387
with seeds 3 and 10 the global minimum is achieved in two generations itself with DE/best/l/ ... strategies. To summarize the effect of seed on each strategy, from Table 14.9, the best seeds and the number of combinations of F and CR in which the global minimum is achieved are found for each strategy along with Gfin. The seed value of 10 works well for four out of the ten strategies considered for a total of 19 combinations of F and CR. Seed 7 does well with three strategies, but for a total of 10 combinations of F and CR only. From this table also, it is clear that the seed value of 10 is the best of all the seeds considered. Once a good seed is chosen, the next step is to study the effect of the key parameters of DE to find the best combinations of NP, F, and CR for each strategy. For this, the DE algorithm for the optimal HED problem is executed for all the 10 strategies for various values of NP, F and CR with MAXGEN = 15. The population size NP is normally about five to ten times the number of parameters in a vector D (Price & Storn 1997). To further explore the effect of the key parameters in detail, the NP values are varied from 10 to 100 in steps of 10 and F , and CR values are varied again as before. The reason for taking MAXGEN = 15 can be explained as follows. As can be seen from Table 14.9, at the maximum 12 generations are taken to converge to the global minimum with NP = 70. Hence, to study the effect of NP, the MAXGEN is restricted to only 15 so that with other NP values if more number of generations are taken then NP = 70 itself can be claimed to be the best population size. With MAXGEN = 15, and for the selected seed value of 10, the percentage of the combinations converging to the global minimum CDE are found for each strategy for different NP values. Though the NP values are varied from 10 to 100, the results for NP = 10,20, and 30 are not considered in the subsequent analysis for the following reasons: (1) The global minimum is not achieved for any of the combinations of F and CR with some strategies for these NP values and (2) to have the same basis for comparison with GA, for which the N values are varied from 32 to 100 (the reasons for taking the above range of N for GA is explained later). From these results, it is seen that the individual CDE values cover a wide range from 0.8 to 66.1. The for average CDE each NP as well as for each strategy is also computed. This average is again a measure of the likelihood of achieving the global minimum. The average CDE for different NP varies from 6.3 to 31.3. With a benchmark of 10 for this average CDE, it can be observed that, NP value of 70 and above stand good from the rest. From the more likelihood point of view, with a benchmark of 20 for CDE values, again NP values of 70 and above are good. But for NP values of 100 and above, it is observed that the likelihood decreases. The average CDE for different strategies varies from 6.0 to 32.1. With a benchmark of 15 for this average CDE, from the more likelihood point of view, strategies 1, 3, 4, 6, 8, and 9 stand good from the rest.
388
Considering speed again as the other criterion, the best combinations of F and CRtaking the least number of generations to converge to the global minimum G~nare determined for various strategies with different NP values. It was found that for certain combinations of F and CR, DE is able to converge to the global minimum in a single generation also. From the speed point of view also, again it is evident that the NP values of 70 and above are goodindicating that at least a population size of 10 times D is essential to have more likelihood of achieving the global minimum. It is in agreement with the simple rules proposed by Price and Storn (1997). And strategies 1,4,6,and 9 are good. Hence, from the more likelihood as well as speed points of view, for different NP values, strategies 1,4,6, and 9 are good. Combining the results of variations in seed and NP, from the more likelihood as well as speed points of view, it can be concluded that DE/besV... (strategies 1,4, 6, and 9) are good. Hence, for this optimal HED problem, the best vector perturbations either with a single or two vector differences are the best with either exponential or binomial crossovers. The number of function evaluations (NFE) is related to the population size NP + as NFE = N P ( G ~ , 1) (+1 corresponds to the function evaluations of the initial population). It can be inferred from the simulated results (using NP and Gmin values to compute NFE) that NFE varies from only 100 to 1300, out of the 161,280 possible function evaluations considered. Hence, the best combination corresponding to the least function evaluations is found to be for NP = 50 and DE/best/l/exp strategy, with 100 function evaluations as it converges in one generation itself. For this combination, DE took 0.1 of CPU time on a 266MHz PentiumI1 processor. Now, to study the effect of F and CR on various strategies, the DE algorithm is executed for the present optimal problem, for different values of F and CR. For the selected seed value of 10 and NP = 70, the F values are varied from 0.5 to 1.0 in steps of 0.1 and CR values from 0 to 1 in steps of 0.1. For the 10 different strategies considered in the above range of F and CR, 21 plots are made for the number of generations versus CR values with F as a parameter; 18 plots for the number of generations versus F values with CR as a parameter. Typical graphs are shown in Figs 14.1014.13. The numbers given in the legend correspond to the strategy. Whenever the global minimum is obtained, it is observed that DE converges in less than 70 generations for strategies 1, 4, 6, and 9, and in less than 100 generations for the rest of the strategies. This implies that for any particular combination of the key parameters, if convergence is not achieved in less than 100 generations, then it is never achieved. So the points at 100 generations in the graphs correspond to the misconvergence and hence represent local minima (other than 34.44 m2 and obviously higher values of area).
389
2 f
70
60 50 40
I
I
I
\:
\
! /
30 20 10 0
0.3
0.5
0.7
0.8
0.9
1.0
CR Fig. 14.10 Comparison of DE strategies for best vector perturbation with F a s a parameter ( F = 0.5)
110 100 90 80
f,
 4.DE/best/Yexp
6. DE/best/l/bin .eDUbest/2/bin 9.
...A
8
'
70
60 50
40 30 20 10 0
0.3
0.5
0.7
0.8
0.9
1.0
CR
Fig. 14.11 Comparison of DE strategies for best vector perturbation with F as a parameter ( F = 0.9)
For studying the effect of F and CR on each strategy, the criterion considered is speed. So, it should yield the global minimum in less number of generations. From the speed point of view, it can be seen that with F as a parameter, in general (excluding the misconvergence points), DE/best/l/ ... (strategies 1 and 6) are better than DE/best/2/ ... (strategies 4 and 9) unlike from the more likelihood point of view, where DE/best/2/ ... is better than DE/best/l/ ... as the former takes less number of generations. Similar trends are observed for CR also as a parameter. This means that if the best vector perturbation is to be tried, thkn, from the speed point of view, it is worth trying it with single vector perturbation first to see quickly if there is any convergence. If misconvergence occurs, DE/best/2/ ... can be tried, as it has more likelihood of achieving the global minimum. With DE/best/l/ ... it is observed that
390
at low values of F binomial crossover is better than exponential crossover; as F values are increased there is no marked difference in the performance of exponential and binomial crossover. From the speed point of view this observation is again clearly evident from the results obtained. But for DE/best/2/ ... binomial crossover seems to be better than that of exponential, as it yields the global minimum in less number of generations at medium to higher values of F.Similar trends are observed with CR also as a parameter.
y1
' 1
20 10
0
0.5
....&.. 7. ]
2.1
0.6
0.7
0.8
0.9
1.0
F Fig. 14.12 Comparison of DE strategies for random vector perturbation with CR as a parameter (CR = 0.5)
80 70
10
0
0.5
0.6
0.7
0.8
0.9
1.0
F Fig. 14.13 Comparison of DE strategies for random vector perturbation with CR as a parameter (CR = 1.O)
If misconvergence occurs with DE/bes t/..., either DE/randtobest/l/ ... or DE/ rand/... seem to be the immediate good options. From the speed point of view, DE/ rand/2/ ... is seen to be better than DE/rand/l/ ... at high values of F and CR. This indicates that if random vector perturbation is to be used, then, from the speed point of view, it is better to use it with two vector differences. With DE/rand/l/ ...,
391
exponential crossover seems to be a better option. For the optimal HED problem considered, it is concluded from the preceding discussions that for variations in seed and NP, from the more likelihood as well as speed points of view, DE/bestl... strategies are better than DE/rand... these results it is also observed that the . From DE strategies are more sensitive to the values of CR than to F.Extreme values of CR are worth to be tried first. It was observed that there is no difference in the performance of exponential and binomial crossover at CR = 1.0, which is quite obvious from the nature of these operators. The priority order of the strategies to be employed for a given optimal problem may vary from what is observed above. Selection of a good seed is indeed the first hurdle before investigating the right combination of the key parameters and the choice of the strategy. Some of these observations made in the present study form the supportive evidence of the recommendations and suggestions made for other applications by Price and Storn (2003). For comparison, genetic algorithms with binary coding for the design variables are also applied to the same case study with roulette wheel selection, singlepoint crossover, and bitwise mutation as the operators for creating the new population. The GA algorithm is executed for various values of the population size N , the crossover probability p c and the mutation probability pm.With a seed value of 10 for the pseudorandomnumbergenerator, N is varied from 32 to 100 in steps of 4, p c from 0.5 to 0.95 in steps of 0.05, and p m from 0.05 to 0.3 in steps of 0.05, leading to a total of 1080 combinations. The reasons for not considering the N values of 30 and below are same as those already explained for NP while discussing the results with DE. N/2 has to be an even number for singlepoint crossover and hence the starting value of 32 and the step size of 4 are taken. The step size is smaller for GA compared to DE, as can be seen later that GA has less likelihood, so more search space is required. For each population size, 60 combinations of p c and pm are possible in this range. For the case study considered, the same global minimum heattransfer area is obtained (34.44 m2)by using GA also. The minimum , , number of generations required by GA to converge to the global minimum G in the above range of the key parameters is listed in Table 14.10 along with the NFE. For each combination of N and p c listed in this table, GA is converging to the global minimum heattransfer area of 34.44 m2 for all the six values of p m from 0.05 to 0.30 in steps of 0.05. While executing the GA program, it is observed that more number of generations is taken by GA to converge and, hence, the maximum number of generations (MAXGEN) is specifiedas 100.For a given N , the percentage of the combinations converging to the global minimum C, in less than 100 generations, out of the 60 possible combinations of p c and p m considered, is also , listed in Table 14.10.As can be seen, C ranges from 10 to 50 only, as against the which varies from 0.8 to 66.1. Comparing the individual C range , individual CDE, for one of the best strategy DE/best/2/bin, which varies 11.6 to 66.1 (except one
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392
that is 3.3), C G A is relatively less. The average C G A is calculated to be 20.9, whereas the average C is above 22 for four out of the ten strategies (strategies 1,4,6, and , 9). It is interesting to note that had the basis of MAXGEN been same (i.e., 100) for , both GA and DE, then it is quite obvious that the C, values would have been very high (may be close to 100)indicating that DE has more likelihood of achieving , the global optimum compared to GAas it has a wide range of the individual C, values. Also DE has more strategies to choose from, which is an advantage over GA. As a measure of likelihood, another criterion is identified and definedthe percentage of the key parameter combinations converging to the global minimum, In out of the total number of combinations considered (C,,,). Table 14.10, out of the 1080 combinations of the key parameters considered with GA, only 138 combinations (i.e., C, = 12.8) converge to the global minimum in less than 100 , generations. Whereas in DE, out of the total of 9680 possible combinations of key parameters considered, 1395 combinations (i.e., C,,, 14.4) converge to a global = minimum in less than 15 generations itself.
Table 14.10 GA parameters converging to the global minimum (for pm= 0.050.30)
1 2 3
4
44 48 52 60 64
6 7 8 9
68 72 76 80
10 11
84 100
0.55 0.60 0.75 0.75 0.90 0.65 0.70 0.50 0.60 0.80 0.65 0.85 0.50 0.75 0.60 0.75 0.80 0.85 0.95 0.75 0.90 0.60 0.70
20 10 20 20 30
20 10 10 50
20 20
53 63 5 67 19 71 14 59 43 25 64 6 47 90 23 18 39 35 46 97 70 13 4
2376 2816 288 3536 1040 4320 900 3 840 2816 1664 4420 476 3456 6916 1920 1520 3200 2880 3760 8232 5964 1400
500
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393
The relation between NFE and the number of generations in GA also remains the same as in DE [NFE = N(G,, + l)]. Using GA, with a seed value of 10, NFE varies from 288 to 8148 as against a small range of 100 to 1300 only for DE, which is an indication of the tremendous speed of the DE algorithm. The above two observations clearly demonstrate that for the case study taken up, the DE algorithm is significantlyfaster, has more likelihood of achieving the global optimum and so is more efficient compared to GA. It is also evident from Table 14.10 that, the best combination corresponding to the least function evaluations is for N = 48, p c = 0.75, and p , 0.05 to 0.30 (entire range of p,), with 288 function evaluations as it converges in five generations itself. For this combination of parameters, GA took 0.46 s of CPU time (on a 266MHzPentiumI1 processor) to obtain 34.44 m2 area. The summary of the results from the preceding discussion for the selected seed value of 10 is listed in Table 14.11. The performance of DE and GA can be compared from this table with respect to the various criteria identified and defined. Out of the entire range of key parameter combinations considered, the range of the individual key parameter values converging to the global minimum heatexchanger area of 34.44 m2, along with the best strategies recommended, are listed for DE and GA. For comparison of DE and GA, the characteristic criteria identified are the likelihood and the speed in achieving the global minimum. As a measure of likelihood, the following parameters ,, are defined: C D E and average CDE for DE; C,, and average C,, for GA; C, for both GA and DE. Similarly, as a measure of speed, the parameters defined are the following: G, NFE, and CPU time. From the range of the values of these identified parameters for the above criteria listed in Table 14.11, it is evident that DE has shown remarkable performance within 15 generations itself from both likelihood and speed points of view, which GA could not show even in 100 generations. Hence, it can be concluded that DE is significantly faster at optimization and has more likelihood of achieving the global optimum. The results shown in this comprehensive table consolidate all the observations made and the conclusions drawn from the preceding discussion. So, the authors recommend the above range of the key parameter values (as listed in Table 14.11) for the optimal design of a shellandtube heat exchanger using differential evolution. The performance of DE and GA is compared for the present problem in Table 14.12, with respect to the best parametersparameter values converging to the global minimum out of the entire range considered. For NP = 50, with the DE/best/l/exp strategy, CR = 0.7, and F = 0.8 to 1.1 (any value in steps of O.l), as already mentioned, DE took one generation, 100 function evaluations, and 0.1 s of CPU time. But with GA, for N = 48, p c = 0.75, and p m = 0.05 to 0.30 (any value in steps of 0.05) it took five generations, 288 function evaluations, and 0.46 s of CPU time.
394
Table 14.11 Comparison of DE and GA with respect to various criteria for the entire range of parameters Seed = 10 Criteria 1 2 3 MAXGEN Global minimum heatexchanger area (m) Parameter values converging to the global minimum (a) key parameters 15 34.44 NP: 50100 F 0.31.1 CR: 0.11.0 DE/best/l/exp DE/best/ 1/bin DE/best/2/exp DE/best/2/bin
CDE: 0.666.1 Avg CDE: 6.032.1 Clot:12.8
CGA: 1050 Avg CGA: 20.9 Ctol: 14.4
DE
GA 100 34.44
N: 44100
(b) strategy
Measure of likelihood in achieving the global minimum Measure of speed in achieving the global minimum (a) Gmin (b) NFE (c) CPU time (s)
Table 14.12 Comparison of DE and GA with respect to various criteria for the best parameters Seed = 10 Criteria 1 2 Global minimum heattransfer area (m2) Best parameter values (a) key parameters converging to the global minimum (b) strategy
Gmin
DE 34.44 NP: 50 F 0.8  1.1 CR: 0.7 DEhestll /exp 1 100 0.1
GA 34.44
N : 48
pm:0.050.30 pc: 0.75
3 4
5
288 0.46
From Table 14.12, it can be seen that DE is almost 4.6 times faster than GA. By using DE, there is 78.3% saving in the computational time compared to GA. Comparing the results of the proprietary program (HTFS, STEPS) with these algorithms (both DE and GA), there is 37.4% saving in the heattransfer area for
395
the case study considered. For the optimal shellandtube HED problem considered, the best population size using both DE and GA is seen to be around seven times the number of design variables with about 70%crossover probability. Hence, for the heat duty of the case study taken up, the best design configuration of the shellandtube heat exchanger with respect to the design variables considered corresponds to the global minimum heatexchanger area of 34.44 m2,The best design variables are listed in Table 14.13 along with the best key parameters of the DE algorithm used for this optimization.
Table 14.13 Summary of the proposed final design for the case study
Parameters
Heat duty (kW) Best design variables (a) tube outer diameter (inch) (b) tube pitch (c) shell head type (d) tube passes (e) tube length (ft) ( f ) baffle spacing (g) baffles cut (a) tube side (b) shell side (a) strategy (b) seed (c) NP (d) F (el CR
3 4
5
DE parameters
50 0.81 * 1
0.7
14.3.4 Conclusions
We have demonstrated the first successful application of differential evolution for the optimal design of shellandtubeheat exchangers.A generalized procedure has been developed to run the DE algorithm coupled with a function that uses Bells method of heatexchangerdesign to find the global minimum heatexchanger area. For the case study taken up, application of all the 10 different working strategies of DE is explored. The performance of DE and GA is compared. From this study we conclude the following. 1. The populationbasedalgorithms such as GAS and DE provide significant improvement in the optimal designs, by achieving the global optimum, compared to the traditional designs.
396
2. For the present optimal shellandtube HED problem: I The best population size, using both DE and GA, is about seven times the number of design variables. I From the more likelihood as well as speed points of view, DE/best/ ... strategies are better than DE/rand...for the selected seed value of 10. I DE/best/l/... strategy is found to be the best out of the presently available 10 strategies of DE. 3. Differential evolution, a simple evolution strategy, is significantly faster compared to GA. 4. DE achieves the global minimum over a wide range of its key parametersindicating the likelihood of achieving the true global optimum. 5. DE proves to be a potential source for accurate and faster optimization.
397
Illustration 14.1 Pyrolysis reactions can be described by means of the following scheme as used by Babu and Chaurasia (2003b). Virgin biomass B(nl order decay)
Reaction 1
Reaction 3 (Volatile + gases), + (char)l (volatile + gases)2 + (char), (n2 order decay) (n, order decay) This kinetic scheme indicates that the biomass decomposes to volatiles, gases, and char. The volatiles and gases may further react with char to produce different types of volatiles, gases, and char, where the compositions are different. Therefore, the primary pyrolysis products participate in secondary interactions (reaction 3), resulting in modified final product distribution. The kinetic equations for the mechanism shown above along with heat transfer model equation and initial and boundary conditions are as follows:
I\ Reaction 2
(ii) (iii)
a
at
dr2
Initial conditions at t = 0:
CB
= CEO,
cG1
= cC1 =
cG2 = c C 2 = 0, T ( r >O ) = To
(vii)
398
At t > 0, r = R,
(5)
= h(Tf  T )
+ m(Tf4  T 4 )
r=R
Step 1 Derivation of the model equation The partial differential equation given in the problem formulation is
k[y$+g]+(M)($)=E(C T at PP
Starting from the basic conservation and rate laws, the above model equation can be obtained as follows (Holman 1997): Fourier's law of heat conduction is given by q =  M d;T d X where q is the heattransfer rate and d;T/dx is the temperature gradient in the direction of heat flow. The positive constant k is called the thermal conductivity of the material, and the minus sign is inserted so that the second principle of thermodynamics is satisfied, i.e., heat must flow downhill on the temperature scale. For the element of thickness ax, the following energy balance may be made (see Fig. 14.14 below representing the elemental volume for onedimensional heat conduction analysis):
399
Energy conducted in the left face + heat generated within the element = change in internal energy + energy conducted out of the right face (3) These energy quantities are given as follows: Energy in the left face
qx =
m udx
m
dz
(4)
Energy generated within the element = qAdx Change in internal energy = pC Aak
Energy out of the right face = qx+h= 4, + x(qx)h After substituting the value of q, and rearranging, we get
(7)
where q is the energy generated per unit volume per unit time in W/m3, Cp is the specific heat in J/kg"C, and p is the density in kg/m3. Substituting the above expressions in Eq. (3), we get
Equation (10) is for the unsteady state because temperature is changing with time, i.e., dT/dz. This is the onedimensional heat conduction equation. To treat more than onedimensional heat flow, we need to consider only the heat conducted in and out of a unit volume in all three coordinate directions. The general threedimensional heat conduction equation is
8T q f   1 6 T &' k a dr
400
where the quantity a = k/pCp is called the thermal diffusivity of the material. In this derivations, the expression for the derivative x + dr has been written in the form of a Taylorseries expansion with only the first two terms of the series employed for the development. Equation (12) may be transformed into cylindrical coordinates using the standard calculus techniques:
For a cylinder with length very large compared to the diameter, it may be assumed that the heat flows only in a radial direction, so that only the space coordinate needed to specify in the system is r. The axial, azimuth terms are neglected as the cylinder is sufficiently large. So Eq. (13) becomes
8 T 1 4 18 + 8 T +  = T dr2 r d r k a d z Equation (14) can be written as (14)
8T
1di'
8T
(15)
where q is the energy generated per unit volume per unit time in W/m3. It can be written as
q = (AH)d(p)
at
where AH is the heat of reaction in J k g , p is the density in kg/m3, and t is the time in s. After the substitution of units of all the terms in Eq. (16), the units of the lhs and rhs are found to be the same. Equation (16) can be rewritten as
Consider Cp to be independent of time; however, actually Cp is a function of temperature and temperature is a function of time. Therefore, indirectly Cp is a function of time. However, the above consideration that Cp is independent of time is considered for facilitating solution of the equation. Subsequently, Cp values are taken as a function of temperature.
401
So Eq. ( 1 8) becomes
k[&
L
dr
y$] +
A
[(AH)
= pc dt
d' i
where b is the geometry factor (slab = 1, cylinder = 2, sphere = 3). Equation (22) is based on the following initial and boundary conditions: Initial condition at r = 0:
(23)
At t > 0, r = R,
k($)
r=R
= h(Tf  T )
+ m(Tf4  T 4 )
In Eq. (25), external heat transfer is considered to occur by a combination of conductive and radiative mechanisms. The dimensionless form of Eq. (22) is given by
Step 2 Obtaining the dimensionlessform of the partial differential equation The initial and boundary conditions in dimensionless forms are as follows: Initial condition at r = 0
402
de _ 0 d X
At z > 0, x = 1,
a= k
@P
x=
r R
(34)
Q=
+ C,T
(35)
PC,(TO  Tf 1
Note How to obtain the dimensionless forms of Eqs (26)(29) using the dimensionless groups given by Eqs (30)(35) is demonstrated below: We have
x = r R dx ==1 d r R ~ d r = R d x
j
dr2 = R2dx2
403
Now,
r = at
R2
dr *=dt
R2
R2 = at = 8d7 a
Now,
=$
6T = (Tf  T o ) d e
= (Tf  T0)aZe
j aZT
After substituting dt, dr, dr2, 8T and 8 T in Eq. (22) and simplifying, we get Eq. (26). Similarly Eqs (27)(29) can be obtained from Eqs (23)(25). However, in order to solve Eq. (26), it is essential to obtain the value of (dp/dt) from the chemical kinetics model (Babu & Chaurasia 2003b). From Eq. (32), we have
t =
rR2
a
Hence,
R2dr dt =
(37)
We know from kinetic equations that (Babu & Chaurasia 2003b) (38) which is equal to dp/dt. Hence (39)
404
at
+ QR2k,cz
a
Treatment of condition at the centre, i.e., at x = 0: A close look at Eq. (41) reveals that at the centre, i.e., at x = 0, the first term on the righthand side will become infinity, which is physically not possible and so not acceptable. However, this difficulty can be alleviated by making the use of lH6pitals rule. If and
then
Therefore, invoking lH8pitals rule for the centre condition, we obtain 1 %  a2e lirnX+O ax
xdx
dB    b 8T0+ QR2k,cz dr dx a
Now, Eq. (41) can be solved easily by using the initial and boundary conditions given by Eqs (27)(29).
Step 3 Method of solution and writing the equation inPnite difference form Equation (41) along with initial and boundary conditions given by Eqs (27)(29) is solved by the finite difference method using a pure implicit scheme. A pure implicit scheme is an unconditionally stable scheme, that is, there is no restriction on time step in sharp contrast with the Euler and CrankNicholson method as discussed by Ghoshdastidar (1998). The finite difference forms of Eqs (41), (44), and the equation obtained by using boundary condition, i.e., Eq. (29), are as follows:
405
 (b  i)e$+lH + QRzk,c;
a
(47)
Rearranging Eqs (45)(47) will give the following sets of equations, which would facilitate numerical solution:
Hence, we have a set of M linear simultaneous algebraic equations and M unknowns, which can be easily solved by standard numerical methods. The tridiagonal matrix algorithm (TDMA), also known as the Thomas Algorithm, is used to solve the set of Eqs (48)(50).
Step 4 Numerical solution of the problem [applying the tridiagonal matrix algorithm (Ghoshdastidar 1998) to Eqs (48)(50)]. Zteration 1 Let us assume the following values (Tables 14.14 and 14.15):
406
Table 14.14 Values of parameters used in the numerical solution of the model Property Convective heattransfer coefficient Wood specific heat Char specific heat Wood thermal conductivity Char thermal conductivity Heat of reaction Initial density of wood Initial thermal diffusivity of wood Value
h = 8.4 W/mZK Cp = 1112.0 + 4.85 (T 273) J k g K Cp = 1003.2 + 2.09 ( T  273) J k g K k = 0.13 + 0.0003 (T 273) W/mK k = 0.08  0.0001 (T  273) W/mK = 255,000 J k g Po = 650 kg/m3 a = 1.79 x lo' m2/s
Table 14.15 Nominal values of parameters employed in the present study Property Geometry factor Order of reaction 1 Order of reaction 2 Order of reaction 3 Particle radius range Initial temperature Final temperature range Emissivity coefficient StefanBoltzmann constant Value
b = 2, dimensionless nl = 0, dimensionless n2 = 1.5, dimensionless n3 = 1.5, dimensionless R = 0.005 m To= 473 K T 873 K ' = E = 0.95, dimensionless d = 5.67 x lo4 W/mZK4
k, = AlexP[(D,m + (L,f12>1
(51)
k, = 4 e x P w2m + (L,f12 11
k,
and
A,exp [(E,/RT)]
D, = 17,254.4K, D2 = 10,224.4 K L,
=  9,061,227 K2, L2 =  6,123,081 K2
E, = 81 kJ/mol Let t =1.4 s. So, from Eq. (32), we get z = 0.010024. Az will be same as z. So A T = 0.010024. Let us consider that there are five equations. So, A = 0.25, x1 = x 0, x2 = 0.25, x3 = 0.5,x4 = 0.75, and x5 = 1 .O. Using the values given in Tables 14.14
407
and 14.15, we get k = 0.13 and Cp = 2082. From Eq. (34), H = 1.88945. From Eq. (33, Q = 2.2903 x From Eq. (51), we have k, = 0.17864 x From Eq. (48), we have
+
2bAz
2bA z
A z QR2 klc;
Az(b 1)  A T
). (b2 =
(Ax)
2A r
+ 1)
(W2
Az(b 1)  A T
2(h)x3 (Ax)
),
b3 =
(
2A z
+ 1)
(W2
$$)I
d4=84+[
AT QR2klc;J' a
d 5 = 8 5 + [ AtQR2 a k,c$
After substituting the values, we get bl = 1.6416 = 0.6416 d1 = 1.000004 a2 = 0.0804 b2 = 1.3208 c2 = 0.2404 d2 = 1.000004 a3 = 0.1204 b, = 1.3208 c3 = 0.2004 d3 = 1.000004 ~4 = 0.1337 b4 = 1.3208 ~4 = 0.1871 d4 = 1.000004 US = 0.3208 b5 = 1.49126 d5 = 1.000004 8, = e2= e3 = 8, = 8, = 1.0 (boundary condition)
408
Now based on the above values let us calculate the other values:
ac P4= b4  3= 1.3002
P 3
ac Ps = b,  2= 1.4451
P4
Y1
=Fl
dl
 0.6092
= 0.81354
Y2 =
d2  %" '
P 2
d,  a
y3=
3Y2 =
P3
d,  a
4Y3
P4
0.84562
=0.8561
y4
d5 y5 =
= 0.88204
P 5
C
e, = Y, = 0.88204
8, = y 4  Qe,
P 4
= 0.98303
409
P3
8, = y 1  r
PI
e 2= 0.99984
Now,
i.e., T = 873  4008. So we will get T I = 473.064 T2 = 473.204 T3 = 474.064 T4= 479.788 T, = 520.184 The above are the temperatures at five different points of the cylinder along the radius from the centre to the surface after 1.4 s as we have taken the time steps of 1.4 s. Iteration 2 The temperatures calculated in iteration 1 at different points will be used to calculate the concentrations by using RungeKutta fourthorder method from Eqs (i)(v). Let us assume that we obtain the results given in Table 14.16.
Table 14.16
Now calculate ff,, for which thermal conductivity at the last point (i.e., point 5 ) (k,) is required, which has to be calculated at temperature T,. Substituting the values in the respective equation, we get k, = 0.2042 and H, = 1.90552. Now we have to calculate Q , which is changing at different points due to change in density p and specific heat Cp.At different temperatures, the different values of Cp are
410
Cpl = 2082.31
Cp2= 2082.99
k , , = 0.17972 x
k,, = 0.1821 x lod5 k , , = 0.1974 x
k14
= 0.3327 x
k15 = 7.2639 x
lo,
C, = 0.6416
C,
43
44 45
~3
~4
411
Note The values of a, b, and c are the same as that of first iteration and these will be the same for all the iterations. The value of d is changing because the value of Q, which is a function of density p and specific heat Cp, is changing at all the points. Also the value of the rate constant k, is changing at different points. Now based on the above values, let us calculate the other values:
PI = b,
= 1.6416
P3
=b 3
P 2
 1.2894

P = b4 4
P = 5

P3
1.3002
b  5
P 4
1.44655
d l
 0.6091
412
8, = y 5 = 79666
c4 8 , = y 4  8,
P4
= 0.95744
8,
=y3
2
e 4 = 0.9913
P3
8, = y 2  9,= 0.99796
P 2
Now,
These are the temperatures at five different points of the cylinder along the radius from the centre to the surface after 2.4 s as we have used the values of iteration 1 (i.e., after 1.4 s) to calculate it. Similarly, we can use the values of iteration 2 (i.e., after 2.4 s) to calculate the values after 4.2 s. The values of iterations 1 and 2 are listed in Table 14.17.
Table 14.17
Iteration 1 Iteration 2
T4
T 5
413
Reaction 3 (Volatile + gases), + (char), (volatile + gases), (n, order decay) (n, order decay)
I\ Reaction 2
+ (char),
This model indicates that the biomass decomposes to volatiles, gases, and char. The volatiles and gases may further react with char to produce different types of volatiles, gases, and char, whose compositions are different. Therefore, the primary pyrolysis products participate in secondary interactions (Reaction 3), resulting in modified final product distribution.
14.4.2.1 Chemical kinetics model
The kinetic equations for the mechanism shown above are as follows: (14.30) (14.3 1) (14.32) (14.33) (14.34)
414
where
k, = A,exp[(D,/T) + (L1/T2)] k, k,
and
A, = 9.973 x
s,, A, = 1.068 x lo, s  ~ , A, = 5.7 x lo5 s, = A,exp[(D,/T)
+ (L2/T2)J
= A,exp[(E,/RT)]
D, = 17,254.4 K, D, = 10,224.4 K
Consider a cylinder of radius R, length 1, and radial thickness dr. Assume the length of cylinder to be so large that heat transfer takes place in the radial direction only. It is assumed that heat flows in one dimension and that heat transfer inside the particle occurs by conduction only. Based on the above assumptions, the equation representing the energy balance is given by dt
+[(AH)+C,T]
The initial and boundary conditions for Eq. (14.36) are as follows: Initial condition: At t = 0,
T(r, 0) = To
Boundary conditions: At t > 0, r = 0,
(14.37)
(14.38)
At t > 0, r = R,
k(
: 1
=R
= h(Tf
 T ) + ~ r ~ ( T4T 4 ) f
(14.39)
415
In Eq. (14.39), external heat transfer is considered to occur by a combination of conductive and radiative mechanisms.
416
from 26 to 176. For AT = 0.01, and values of M = 151 and M = 176, the results are found to be same. So, in order to save the computer time, M = 151, i.e., ( A x = 1/M) is used in this study. The temperature profiles obtained from the heattransfer model based on initial conditions serve as an input to the chemical kinetics model. Equations (14.30)(14.34) are solved by the RungeKutta fourthorder method and the RungeKutta variable stepsize method. It is found that the RungeKutta variable step size is faster than the RungeKutta fourthordermethod as discussed by Babu et al. (2002). But the RungeKutta variable stepsize method does not give the solution for a particular and fixed interval of time. Hence, to obtain the solution at a particular interval of time, which is required to compare results of the present study with those reported in literature, the RungeKutta fourthorder method with a fixed step size is used in the present study.
The concentration profiles for a particular type [wood sawdust (0.300.85 mm)] of biomass with nl = 1 and n2 = n3 = 1.5 for the heating rates of 25 Ws and 60 Ws are shown in Figs 14.15 and 14.16.
Temperature (K)
823
873
923
973
1023
1(
2. 0.8
.3
6
H
0.6
0.4
Legend 1  Initial biomass 2 Volatile 1 3Ch1 4  Char 2 or Volatile 2 Present study  Srivastava et al. (1996)
0.2 0.0 0
4
2
4,
6 Time (s)
10
12
Fig. 14.15 Concentration vs timehemperahre for pyrolysis under nonisothermal condition (HR = 25 Ws, n, = 1, n, = n, = 1.5)
417
1254
1373
Legend 1 Initial biomass 2 Volatile 1 3Charl 4 Char 2 or Volatile 2 Present study  Srivastavaet al. (1996)
'
0.0
0
10
Time (s)
Flg. 14.1 6 Concentration vs time/ternperaturefor pyrolysis under nonisothermalcondition (HR = 60 Ws, n, = 1, n, = n3 = 1.5)
By substituting units of various quantities in Eqs (14.30)( 14.34), the unit of pyrolysis time is found to be in seconds, but, probably by mistake, it was reported to be in minutes (Srivastava et al. 1996). Accordingly, the unit of heating rate should be in Ws and not Wmin as reported (Srivastava et al. 1996). The trends observed in figures are qualitatively same as those reported (Srivastava et al. 1996). But, quantitatively there is slight difference in the final values. It may be due to the different methods adopted for the solution and the assumptions made. Srivastava et al. (1996) used the fourthorder RungeKutta predictorcorrector method to simulate the model and assumed the maximum time for simulation to be 20 s, while in this study the simulation is carried out not based on stopping criteria of time of 20 s but the final dimensionless concentration of the biomass of 0.03. The final pyrolysis time, final temperature and final concentrations for the above orders of reactions and for heating rates of 40, 50 and 80 Ws obtained in this study are compared with those reported (Srivastava et al. 1996) as given in Table 14.18. It is seen from Table 14.18 that, as the heating rate increases, the final pyrolysis temperature increases, and final concentrations of volatile 1 and char 1 decrease while the final concentrations of volatile 2 and char 2 increase. The trends obtained in the final temperature and final concentrations of biomass in this study are the same as those reported (Srivastava et al. 1996). But the trend in the final pyrolysis time is not matching. It is seen from Table 14.18 that for the heating rates of 40 Ws and 50 Us,the final pyrolysis time decreases. It is noted that for 80 Ws,the final pyrolysis time increases, but Srivastava et al. (1996) reported a decreasing value. To have a clear and better understanding of this contradiction, the model is simulated for different values of heating rates with smaller step sizes in the range 5080 Ws.
418
Table 14.18 Comparison of the simulated results obtained (Babu & Chaurasia 2003a) for pyrolysis under nonisothermal conditions (4with those reported by Srivastava et al. (1996) (R)(n, = 1, n, = n, = 1.5)
Final values
t
40 Ws
50 Ws
80 Ws
T
CB
cc,
cGl
CC*
CG*
9.707 9.58 1161.28 1156.2 0 0.030010 0.0002 0.001 13 1 0.692126 0.671 0.133 0.138367 0.133 0.138367
9.532 9.28 1249.6 1237.0 0 0.030005 0 0.000731 0.666 0.686190 0.135 0.141538 0.135 0.141538
10.792 9.08 1636.36 1494.6 0.030001 0 0.000168 0 0.648 0.663411 0.143 0.153210 0.153210 0.143
The final pyrolysis time versus heating rates is plotted and shown in Fig. 14.17. It is found that the final pyrolysis time first decreases with increasing the heating rate, reaches the optimum value and then increases as the heating rate is further increased. For the above orders of reactions, the optimum values of the heating rate and the final pyrolysis time are found to be 5 1 Ws and 9.53 s, respectively. As Srivastava et al. (1996) did not carry out the simulation of the model in between the heating rates of 50 Ws and 80 Ws, they could not notice this decreasing and increasing trend. In order to explain this interesting decreasing and increasing trend in the final pyrolysis time with the heating rate or temperature, the simulated data for the optimum heating rate (51 Ws)and the heating rate of 80 Ws are used as shown in Tables 14.19 and 14.20, respectively.
11.4 11.2 11.0 10.8 10.6 10.4 10.2 10.0 9.8 9.6 9.4 9.2 9.0
Legend
et al. (1996)
t=
Fig. 14.17 Time vs heating rate for pyrolysis under nonisothermal condition (n, = 1, n, = n, = 1.5)
419
T
773.000000 778.100000 864.800000 869.900000 875.000000 885.200000 890.300000 895.400000 900.500000 93 1.100000 936.200000 941.300000 977.000000 1028.00000 1079.OOOOO 1130.00000 1181.00000 123 2.00000 1259.03000 1.oooooo 0.984444 0.666499 0.646787 0.627204 0.588554 0.569549 0.550794 0.5323 16 0.428431 0.412433 0.396842 0.2995 18 0.195522 0.126164 0.08 1744 0.053790 0.036213 0.030004
cGl
0.000000 0.100000 1.800000 1.900000 2.000000 2.200000 2.300000 2.400000 2.500000 3.100000 3.200000 3.300000 4.000000 5.000000 6.000000 7.000000 8.000000 9.000000 9.530000
0.000000 0.013370 0.283709 0.299580 0.3 15098 0.344865 0.359027 0.372664 0.385754 0.452937 0.462433 0.471527 0.526486 0.586404 0.628144 0.655061 0.671731 0.68 1929 0.685557
0.000000 0.002186 0.042532 0.044 153 0.045522 0.047397 0.047861 0.047994 0.047793 0.04056 1 0.038653 0.036651 0.022800 0.010409 0.005079 0.002697 0.001519 0.000895 0.000699
0.000000 0.000000 0.003630 0.004740 0.006088 0.009592 0.01 1781 0.014274 0.017068 0.039036 0.04324 1 0.047490 0.075598 0.103833 0.120306 0.130249 0.136480 0.140482 0.14 1870
0.000000 0.000000 0.003630 0.004740 0.006088 0.009592 0.011781 0.014274 0.017068 0.039036 0.043241 0.047490 0.075598 0.103833 0.120306 0.130249 0.136480 0.140482 0.141870
It is seen that as pyrolysis proceeds (i) temperature increases, (ii) the concentration of biomass decreases and reaches the final value, (iii) concentration of volatile 1 increases, (iv) concentration of char 1 increases up to a certain value of time and then decreases, and (v) concentrationsof volatile 2 and char 2 increase. It may be noted that the decrease in the concentration of biomass is more for 80 Ws up to a certain time (7 s). The maximum concentration of char 1 is obtained at 2.4 and 1.9 s for heating rates of 51 and 80 Ws, respectively. After 1.9 s, the concentration of char 1 starts decreasing for the heating rate of 80 Ws, so the rate of consumption of biomass also decreases. After 7 s, the decrease in the concentration of biomass is less for 80 Ws as compared to 51 Ws, because the char 1 left for 80 Ws is less as compared to 51 Ws. So the reaction between volatile 1 and char 1 is slow for 80 Ws as compared to 51 Ws time, and hence it takes more time to reach the desired final concentration of biomass. Hence the final pyrolysis time is more for 80 Ws as compared to 5 1 Ws.The optimum values of the parameters for the above orders of reactions are shown in Table 14.21. Similar trends as shown in Figs 14.1514.17 can be obtained for orders of reactions of nl = 0 and n2 = n3 = 1.5 for different values of heating rates. The optimum values of the parameters for the above orders of reactions are also given in Table 14.21. From Table 14.21, it is observed that pyrolysis is much faster
420
(optimum pyrolysis time is 2.636 s) for the case of (n, = 0, n2 = n3 = 1.5), because in this case the model equations (14.30)( 14.32) become independent of the initial biomass concentration. However, the optimum pyrolysis time is much more (9.53 s) for the case of (n, = 1; n2 = n3 = 1.5) than the earlier case, because for this case the model equations (14.30)( 14.32) depend on the initial biomass concentration. The optimum temperature for both the orders of reactions are found to be the same, i.e., 1059.03 K, as it is independent of orders of reactions.
Table 14.20 Simulated results (Babu & Chaurasia 2003a) with the heating rate of 80 Ws for pyrolysis under nonisothermal condition (n, = 1, n2 = n, = 1.5)
0.000000 773.000000 0.100000 781.000000 1.800000 917.000000 1.900000 925.000000 2.000000 933.000000 2.200000 949.000000 2.300000 957.000000 2.400000 965.000000 3.100000 1 21.00000 0 3.200000 1029.OOOOO 3.300000 1037.0OOOO 4.000000 1093.00000 5.000000 1173.OOOOO 6.000000 1253.00000 7.000000 1333.00000 8.000000 1413.00000 9.000000 1493.00000 10.0000001573.00000 10.7920001636.36000
1 .000000 0.984002 0.619522 0.597060 0.574944 0.531948 0 5 1 153 .1 0.490875 0.365117 0.349578 0.334646 0.246239 0.160908 0.108788 0.076824 0.056744 0.043710 0.034947 0.03000 1
0.000000 0.013754 0.318944 0.335530 0.351302 0.380276 0.393489 0.405905 0.47645 1 0.484943 0.493153 0.543283 0.593360 0.623367 0.640868 0.651 5 17 0.657332 0.661127 0.66341 1
0.000000 0.002244 0.044262 0.044785 0.044778 0.043 8 17 0.041675 0.039773 0.022603 0.020413 0.018399 0.008955 0.003752 001 1 . 0 83 0.000985 1 0.00057 0.000352 0.000228 0.000168
0.008636 0.011313 0.014488 0.022295 0.026841 0.031724 0.067914 0.072532 0.076901 0.100761 0.120990 0.133007 0.140662 0.145764 0.149303 0.151849 0.153210
0.008636 0.011313 0.014488 0.022295 0.026841 0.031724 0.067914 0.072532 0.076901 0.100761 0.120990 0.133007 0.140662 0.145764 0.149303 0.151849 0.153210
Table 14.21 Optimum parametric values for different orders of reactions for pyrolysis under nonisothermal condition (Babu & Chaurasia 2003a) Optimum parameters Heating rate (Ws) Final pyrolysis time (s) Final pyrolysis temperature (K) Final concentration of initial biomass () Final concentration of char 1 () Final concentration of volatile 1 () Final concentration of char 2 () Final concentration of volatile 2 ()
nl = 1, nz = n3 = 1.5
51
n, = 0, n2 = n3 = 1.5
9.53 15.3 290 0.030004 0.000699 0.685557 011 . 4 870 011 . 4 870
421
The concentration profiles for isothermal conditions with orders of reactions of n1 = 1 and n2 = n3 = 1.5 for the isothermal temperatures of 873 K and 1023 K are shown in Figs 14.18 and 14.19.
1.0 h
L 0.8 ' a
0.6
Legend 1 Initial biomass 2 Volatile 1 3Char1 4 Char 2 or Volatile 2 Present study Srivastava et al. (1996)
0.2 0.4
0.0
6 Time (s)
10
I 12
Fig. 14.18 Concentration vs time for pyrolysis under isothermal condition ( T = 873 K, n, = 1, n2 = n3 =1.5)
The obtained trends are the same as reported (Srivastava et al. 1996).The results obtained for 773 K, 973 K, and 1073 K are compared with those reported (Srivastava et al. 1996) as shown in Table 14.22.
1.2
1 .o
h
0.8
0.2 0.0
\
3
3
1
Legend 1  Initial biomass 2 Volatile 1 3Char1 4  Char 2 or Volatile 2 Present study Srivastava et al. (1996)
4 Time (s)
Fig. 14.19 Concentration vs time for pyrolysis under isothermal condition ( T = 1023 K, n, = 1, n 2 = n3= 1.5)
422
Table 14.22 Comparison of the simulated results obtained (P) (Babu 81Chaurasia 2003a) for pyrolysis under isothermal condition with those reported by Srivastava et al. (1996) (R) (n, = 1, n2 = n3 = 1.5)
Final values
t
CB CCI CGl
773 K
973 K
1073 K
R
23.54 0.030003 0.013130 0.709398 0.123735 0.123735 20.22 0 0.012 0.690 0.122 0.122
P
8.545 0.030008 0.003234 0.686146 0.140306 0.140306
R
8.38 0 0.001 0.658 0.140 0.140
P
7.99 0.030006 0.001832 0.653198 0.157257 0.157257
R
7.88 0 0 0.625 0.158 0.158
cc2
cG*
The trend in the final pyrolysis time is the same as that reported (Srivastava et al. 1996). But when the model is simulated for a wide range of temperatures ranging from 773 K to 1773 K, it is found that the optimum value of the final pyrolysis time is 7.987 s at a temperature of 1066 K as shown in Fig. 14.20. This can be explained on similar lines as explained for the nonisothermal case. The optimum values for the above orders of reactions are given in Table 14.23. It may be noted that Srivastava et al. (1996) simulated results only in a small temperature range between 773 K to 1073 K with a step size of 100 K from 773 K to 973 K and subsequently a step size of 50 K from 973 K to 1073 K, because of which they missed out this decreasing and increasing trend.
26 24 22 h
20 18 16 14 12 
10 86 '
800
lo00
1200
1400
1600
1800
Fig. 14.20 Time vs temperature for pyrolysis under isothermal condition (n, = 1, n2 = n = 1.5) 3
423
Similarly,the concentration profiles can be obtained for the orders of reactions of nl = 0 and n2 = ng = 1.5. The optimum values of the parameters are also given in Table 14.23. The optimum temperature for both the orders of reactions is found to be the same, i.e., 1066 K as in the previous case, because it is independent of orders of reactions. It may be noted that, in this study, a wide range of temperatures is used for simulating the model equations ranging from 773 K to 1773 K with a maximum step size of 100 K initially to a very small step size of 0.1 K to ensure not to m i s s out the optimum parametric values.
Table 14.23 Optimum parametric values for different orders of reactions for pyrolysis under isothermal condition (Babu & Chaurasia 2003a)
Optimum parameters Final pyrolysis time (s) Final pyrolysis temperature (K) Final concentration of initial biomass () Final concentration of char 1 () Final concentration of volatile 1 () Final concentration of char 2 () Final concentration of volatile 2 ()
n1 = 1, n2 = n3 = 1.5
7.987 1066 0.030008 0.001900 0.656206 0.155943 0.155943
n , = 0, n2 = n3 = 1.5
2.209 1066 0.030250 0.017863 0.672005 0.139941 0.139941
14.4.4.3 Experimental validation and comparison (Babu & Chaurasia 2003b) The simultaneous kinetics and heat transfer model developed was compared with the experimental data reported by Pyle and Zaror (1984), Barnfords model used by Pyle and Zaror (1984), and the model developed by Jalan and Srivastava (1999). The model is in better agreement with the experimental data of Pyle and Zaror (1984). vpical temperature profiles are shown in Figs 14.2114.23. Figure 14.21 shows the temperature profile as a function of time at the centre (i.e., x = 0) of the cylindrical pellet of radius 0.003 m. This was compared with profiles obtained by Jalan and Srivastava (1999) and the experimental data obtained by Pyle and Zaror (1984) at the centre of the cylindrical pellet. It was found that the model developed was in excellent agreement with the experimental data better than the agreement with the Jalan and Srivastava model (1999). Figures 14.22 and 14.23 show the temperature profiles as a function of the dimensional radial distance for the final temperatures of 643 K and 753 K, respectively. The temperature profiles obtained were in much better agreement with the experimentaldata of Pyle and Zaror (1984) when compared to the other two models.
424
600
h
1
I
/ _ 
x_
6
B B
500
400
300
1''
Legend Pyle and Z r r (experimental) ao Present model _ Jalan and Srivastava model
50
100
150
200
250
Time (s)
Fig. 14.21 Temperature profile as a function of time at the centre of the cylindrical pellet ( R = 0.003 m, To= 303 K, T,= 643 K, x = 0)
600
0
Legend Pyle and Zaror (experimental) Present model  Jalan and Sriva$tava model Bamford's model
300
'
0.0
0.2
0.4
0.6
0.8
1.o
Fig. 14.22 Temperature profile as a function of radial distance (R=0.011 m, T0=303K, T,=643K, t=4min)
The values used in Figs 14.2114.23 are given in Tables 14.2414.26 also for quantitative comparison of the Babu and Chaurasia model (2003b) with the earlier models and the literature data. In all the cases, it was found that the average percentageerror and the standard deviation from experimental data were significantly less in the model developed by Babu and Chaurasia (2003b) as compared to the other models.
425
'
300
0
Pyle and Zaror (experimental) Present model Jalan and Srivastava model Bamford's model
150
50
100
200
250
Fig. 14.23 Temperature profile as a function of radial distance ( R = 0.011 m, To = 303 K, T,= 753 K, t= 3 min) Table 14.24 Comparison of models for various stages of pyrolysis (time) at the centre of cylindrical pellet ( R = 0.003 m, To= 303 K, T, = 643 K)
Time (s) Pyle and Zaror (1984) (experimental)
0 20 40 60 80 100 150 200
Temperature
Babu and Chaurasia model (2003b)
Jalan and Srivastava model (1999) 303 387 478 533 574 602 630 639 1.56 0.0189
303
400
493 552 588 610 634 640 0.75 0.0106
426
Table 14.25 Comparison of models for pyrolysis time = 4 min (R = 0.01 1 m, To = 303 K, Tf= 643 K)
X
Temperature Pyle and Zaror (1984) (experimental) Babu and Chaurasia model (2003b) Jalan and Srivastava model (1999) Bamford model (1946)
Table 14.26 Comparison of models for pyrolysis time = 3 min (R = 0.01 1 m, To = 303 K, T, =753 K)
X
Temperature Pyle and Zaror (1984) (experimental) Babu and Chaurasia model (2003b) Jalan and Srivastava model (1999) Bamford model (1946)
Figure 14.24 shows the temperature profiles as a function of the radial distance at various times of progression of pyrolysis of 2 s, 10 s, 20 s, 30 s, and 40 s for the particle radius of 0.0075, considering both convection and radiation on the wall (surface of the particle). It is observed that as pyrolysis time increases, temperature increases at a given radial position. The rate of increase is high at the radial position close to the wall compared to that at the centre of the particle. In the initial stages of pyrolysis, the temperature profile is very steep near the wall (refer the temperature profile corresponding to 2 s in Fig. 14.24),and, as time progresses, the steepness
427
in the temperature profile near the wall decreases. This can be explained by the fact that when the heat transfer takes place by both the mechanisms of convection and radiation from the wall surface, the resistance offered to heat transfer near the wall at initial stages of pyrolysis is very high. On the contrary, when heat transfer from the wall surface takes place only by convection and with no radiation, the resistance offered to heat transfer near the wall is not as high as in the above case, which is clearly demonstrated by plotting the simulation results as shown in Fig. 14.25.It is also observed that the increase in temperature at various radial positions at different times of progression of pyrolysis is not significant, which is obvious due to the reasons mentioned above.
800 '0
(
Legend
2s
10s
600500400
e!
300 200 
100
428
to get the same extent of conversion of biomass and with lesser pyrolysis time under controlled conditions by increasing convective heat transfer at much lower operating temperatures which are much safer than at higher operating temperatures leading to combined convective and radiative heattransfer mechanisms which are not safe. Studies have also been carried out by these authors to examine the effect of the heattransfer coefficient and orders of reaction (Babu & Chaurasia 2002a), the effect of the particle size and temperature (Babu & Chaurasia 2002b), heat of reaction number (Babu & Chaurasia 2003c), thermal and thermodynamic properties (Babu & Chaurasia 2004a; Chaurasia & Babu 2003a; 2003b), optimization of pyrolysis of biomass (Babu & Chaurasia 2003d), dominant design variables in pyrolysis of biomass particles (Babu & Chaurasia 2004b), improvised models for pyrolysis of biomass (Babu & Chaurasia 2004c), shrinking of biomass particles (Babu & Chaurasia 2004d), etc.
IW
goo
, @ J 
Legend
600500
I 3
40s
2s
10s
t 20s
30s
p c
400
200 300
>""
,
0.0
0.2
0.4
0.6
0.8
1.0
Fig. 14.25 Temperature profile as a function of radial distance considering convection only with no radiation on the wall ( R = 0.0075, To= 303 K, T,= 900)
,""
,
0.0
0.2
0.4
0.6
0.8
1.0
Fig. 14.26 Temperature profile as a function of radial distance considering tenfold convection with no radiation on the wall ( R = 0.0075, To= 303 K, T,= 900)
429
14.4.5 Conclusions
rn Based on the importance and promising nature of the pyrolysis of biomass
rn
rn
rn
rn rn
rn
rn
rn
process, the modelling and simulation has been carried out for finding out the optimum parameters of the pyrolysis process. The qualitative trends obtained for concentrations of initial biomass, volatile 1, char 1, and volatile 2 are found to be the same as those reported by earlier investigators. The small quantitative differences are attributed to the numerical methods used and the assumptions made. A wide range of the heating rate and temperature is used to simulate the model equations with small step sizes for both isothermal and nonisothermal pyrolysis process conditions with different orders of reactions. Some interesting trends have been obtained, especially with respect to the effect of the net heating rate and temperature on the final pyrolysis time. The reported literature results indicate a decrease in the final pyrolysis time as the net heating rate or temperature is increased. The range of operating conditions used for simulating the model equations is small in the case of earlier investigators work. But the results obtained using a wide range of operating conditions in this study show that the final pyrolysis time initially decreases and then increases as the net heating rate or temperature is increased, giving an optimum final pyrolysis time corresponding to the net heat rate or temperature. The above interesting trends are observed for both isothermal and nonisothermal conditions and also with different orders of reactions. These interesting trends that were not reported earlier could be well explained from the kinetics by systematically generating huge data upon simulating the model equations. For nonisothermal conditions with the orders of reactions of nl = 1, n2 = n3 = 1.5 and n , = 0, n2 = n3 = 1S , the optimum values of the final pyrolysis time are found to be 9.53 s and 2.636 s, respectively, while the optimum values of the heating rate are found to be 51 K/s and 184.38 Ws, respectively. The optimum values of temperature are same (1059.03 K) for both the orders of reactions. For isothermal conditions with the orders of reactions of n1 = 1, n2 = n3 = 1.5 and nl = 0, n2 = n3 = 1.5, the optimum values of the final pyrolysis time are found to be 7.987 s and 2.209 s, respectively. The optimum values of temperature are same (1066 K) for both orders of reactions. The simulated results obtained from the model developed in the present study are in excellent agreement with the experimental data of Pyle and Zaror (1984), in comparison with the mathematical model of Jalan and Srivastava (1999) and Bamfords model (1946) used by Pyle and Zaror.
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The main conclusion resulting from this study concerns the possibility of modelling pyrolysis of a single biomass particle by coupling the heattransfer equation with the pyrolysis chemical kinetics equation. The pyrolysis rate has been simulated by two parallel primary reactions and a third secondary reaction between the volatile and gaseous products and char. The secondary reactions are responsible for carbon enrichment of the final residual. The model developed in the present study is used for wide range of temperature from 3031000 K and of the particle diameter from 0.00050.026 m. As the particle size increases, the time required for completion of pyrolysis at a certain pyrolysis temperature and the effect of secondary reactions increase. A simple model as developed in the present study with very few realistic and restrictive assumptions, combined with the thermal properties variation with temperature, can describe the overall progress of a set of processes of much complexity such as pyrolysis. The model developed can be utilized to predict the temperature and concentration profiles for different types of biomass for a wide range of particle dimensions and temperatures. The work carried out in this study is important and useful for optimal design of the biomass gasifiers, reactors, etc.
EXERCISES
14.1 Discuss the following: (a) Importance of specificpurpose simulation (SPS) (b) The reasons with justification for using SPS for ammonia converters (c) Autothermal process (d) Neat schematic of Casale converter (e) Description and operating procedure of Casale converter 14.2 Using the concepts of specific purpose simulation, formulate the model equations, mention the method of solution, and discuss the simulation results obtained by Yoon et al. (1978) for the coal gasification process. 14.3 A conventional distillation column contains 14 equilibrium stages, a partial condenser, and a reboiler. The feed and other operating conditions are as given. Feed conditions: The feed, which is a saturated liquid, enters the column at stage 8 with a flow rate of 100 kmolh at a temperature of 108 "C. The mole fractions of various fractions C,, C,, C,, C,, and C, are 0.03, 0.20, 0.37, 0.35, and 0.05, respectively. Operating conditions: The pressure is 17 atm and the reflux and distillaterates are 154.3kmoVs and 22.6kmolh, respectively. It is desired to calculate
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the temperature, vapour flow late, and composition profiles of all the components. Assume that the polynomial coefficients for vapourliquid equilibrium constants and the enthalpies of the internal streams are available. Starting from the initially assumed temperature and vapour rate profiles, develop a MATRIX algorithm for finding the converged profiles and show the flow chart schematically. 14.4 Describe and discuss the ammonia synthesis loop in ammonia production. 14.5 Formulate the model equations, simulate the results, and discuss the methanol synthesis process. 14.6 Formulate the model equations, simulate the results, and discuss the Casale converter used in ammonia synthesis. 14.7 Discuss the coal gasification modelling and simulation. 14.8 Describe and discuss the dynamic distillation modelling and simulation. 14.9 Formulate the model equations, simulatethe results, and discuss the sulphuric acid process optimization. 14.10 Using the information given by Babu and Chaurasia (2003a), formulate a model and simulate the results for the estimation of optimum parameters in pyrolysis of biomass. 14.11 Taking the information given by Babu and Gautam (2002), formulate a model and simulate the results for scenariointegrated optimization of dynamic systems. 14.12 Using the information given by Babu andhgira (2001b), formulate a model and simulate the results for optimization of thermal cracker operation. 14.13 Taking the information given by Babu and Munawar (2001), formulate a model and simulatethe results for optimal design of shellandtubeheat exchangers using different strategies of differential evolution. 14.14 Using the information given by Babu and Sastry (1999), formulate a model and simulate the results for estimation of heattransfer parameters in tricklebed reactors. 14.15 Taking the information given by Babu and Shailesh (2000), formulate a model and simulate the results using adaptive networks (backpropagation networks of ANN) for fault diagnosis and process control.
So far we have discussed the various aspects and general methodology of modelling and simulation in the earlier chapters. In this chapter, two of the most widely used professional software packages, namely, HYSYS and FLUENT, are discussed in detail. The stepwise procedures of simulations using these two packages (HYSYS and FLUENT) corresponding to four engineering problems (multicomponent absorption, multicomponent distillation, refrigeration system, and flow through a circular pipe) are demonstrated.
15.1 HYSISA
As mentioned earlier, there are a few generalpurpose simulation software packages available for both commercial and educational purposes. Out of 'these, ASPEN Plus (of AspenTech) and HYSIS (of HyproTech) are widely used round the globe. Very recently (3 1 May 2002), HyproTech merged with AspenTech and is now part of a new engineering business unit within AspenTech that will focus on engineering and asset lifecycle solutions, including simulation, engineering, evaluation, and optimization technologies. HYSYS is a product that continually extends the bounds of process engineering software. With HYSYS, one can create rigorous steadystate and dynamic models for plant design and troubleshooting. Through the completely interactive HYSYS interface, it is easy to manipulate process variables and unit operation topology, as well as to fully customize a simulation using its OLE (object linking and embedding) extensibility capability. HYSYS has been developed with Hyprotech's overall vision of the ultimate process simulation solution in mind. The vision has led to create a product that is
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Process designHYSYS.Process provides the accuracy, speed, efficiency required for process design activities. The level of detail and the integrated utilities available in HYSYS.Process allows for skilful evaluation of design alternatives.
15.1.2.2 HYSYS.Plant
Plant designHYSYS.Plant provides integrated steadystate and dynamic simulation capability, and offers rigorous and highfidelity results with a very fine
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level of equipment geometry and performance detail. HYSYS.Plant+ provides additional detailed equipment configurations, such as actuator dynamics.
15.1.2.3 HYSYSRefinery
Refinery modellingHYSYS.Refinery provides truly scalable refinerywide modelling. Detailed models of the reaction processes can be combined with detailed representations of separation and heat integration systems. Each hydrocarbon stream is capable of predicting a full range of refinery properties based on a refinery assay matrix.
15.1.2.4 HYSYS.OTS
Operations training systemHYSYS.OTS provides realtime simulated training exercises that train operations personnel and help further develop their skills for performing critical process operations. Increased process understanding and procedural familiarity for operations personnel can lead to an increase in plant safety, and improvements in process performance.
15.1.2.5 HYSYSRTO
Realtime optimizationHYSYS.RT0 is a realtime optimization package that enables the optimization of plant efficiency and management of production rate changes and upsets in order to handle process constraints and maximize operating profits.
15.1.2.6 HYSYSConcept
Conceptual design applicationHYSYS.Concept includes DISTIL, which integrates the distillation synthesis and residue curve map technology of Mayflower with data regression and thermodynamic database access. HYSYS.Concept also includes HXNet, which provides the ability to use pinch technology in the design of heatexchanger networks. Conceptual design helps enhance process understanding and can assist in the development of new and economical process schemes.
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and
rn access to the information one needs is in no way restricted.
At any time, even as calculations are proceeding, one can access information from any location in HYSYS. As new information becomes available, each location is always instantly updated with the most current information, whether specified by the user or calculated by HYSYS.
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c,
c 2
c 3
Solution First let us solve this problem manually and then show how the HYSYS software package can be used to solve it. Basis: 100 mol of wet gas. Oil rate = 100 x 1.104 = 110.4 mol The amounts of each component entering the column and the initial assumptions for the various recoveries are given in Table 15.2.
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Table 15.2 Amounts of each component entering the column with initial assumption for recovery
Component
V,po
LN
xN
= Sx,
Cl
c 2
c 3
q, = SxjA
Assumed
Llxl = f A
f
0 0 0 0.1156 0.2717 1.o
0.1 0.2 0.6 0.85 0.95 1.o 2.85 3.16 14.40 16.24 19.30 102.67 158.62
110.4
The residue will leave the tower at the temperature of the top stage. For the initial trial, the top stage temperature will be assumed to be 5 O above that of the F entering lean oil, or 95 O in this example. The temperature of the exiting rich oil F (also the temperature of stage 1) is calculated by the overall heat balance. Enthalpy data can be obtained from Figs B4 and B5 of Design of Equilibrium Stage Processes by Smith (1963). The enthalpy value of various components at 90 O F and 95 O are given in Table 15.3. F Stage efficiency = (theoreticalstages or equilibrium stages)/(actualstages) i.e., 0.2 = N120 i.e., N = 4
Table 15.3 Enthalpy of various components at 90 "F and 95 O
Component
to = 90 O F
F
tN = 95 O F (4.08 atm)
t N + I = 90F
Hv 5,600 9,900 13,700 c 3 nC, 17,600 nC, 2 1,800 Oil (nC,) 32,400
Cl
HV ('N
YN)
c 2
Total
1,624,700
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HL(L,x , ) = 2,414,500 i.e., the enthalpy of rich oil is 2,414,500 Btd100 mol of wet gas. Let us assume t, = 135 O F , then the enthalpies of the various components are given in Table 15.4.
Table 15.4 Enthalpy of various components at 135 O F
Component Cl
c 2
c 3
HL
4,800 7,600 8,600 10,600 12,700 17,800
HL(L1 xi)
13,680 24,O16 123,840 172,144 245,110 1,827,526 2,406,316
= 135F. The phaserate and temperatureprofiles are estimated by the following equations:
(15.1)
L,,,
=
v, + L,  v,
0
(15.2) (15.3)
tn+, =
v  vfl ( t o t,  l  t N + l )
 vN
In Eqs (15.1)(15.3), V , = 51.78, V,, = 100,L , =158.62, and t, = 135. The calculations are shown in Table 15.5.
Table 15.5 Values of V, L, and t at various stages
Stage Wet gas (bottom) n=l n=2 n=3 n=4 Lean oil (top)
Vn
100 84.83 72.0 61.0 51.8
L n
158.62 143.4 130.6 119.6 110.4
v,  vn
15.2 28.0 39.0 48.2
t,
The data on VIL versus n, and t versus n from Table 15.5are plotted in Figs 15.2 and 15.3,respectively. To calculate the effective stripping factor S, first the value
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of the ratio ( N  n + 1)IN for all the components is assumed, as shown in the second column of Table 15.6. Then n is calculated for these components using the known N = 4 (third column in Table 15.6). Using n, the corresponding values of VIL and t are calculated from Figs 15.2 and 15.3, respectively (fourth and fifth columns in Table 15.6). Then K is obtained from the DePriester nomographs given in Figs B3a and B3b of Design of Equilibrium Stage Processes by Smith (1963), and subsequently S is calculated using K and VIL (sixth and seventh columns in Table 15.6).
Table 15.6 Effective stripping factors for various components
Component Cl C Z
c 3
(N  n + 1)lN
1.o 0.9 0.8 0.7 0.6
n
1.o 1.4 1.8 2.2 2.6 4.0
VIL
0.535 0.522 0.508 0.495 0.482 0.433
K
43.0 10.0 3.6 1.16 0.37 0.0155
s = KVIL
23.0 5.22 1.83 0.574 0.178 0.0067
0.0
0.55 
0.50
0.45 I
440
90
'
Number of stages ( n )
f=
(1  S N ) + q s ( S N  S) (1  S N + ' )
Substitution of the stripping factor in the above equation gives the component recoveries and product rates for trial 1 shown in Table 15.7.
Table 15.7 Component recoveries and product rates for the first trial
Component Cl
c 2 c 3
f
0.0435 0.191 0.524 0.893 0.951 0.993
Ll x1
VNY N
27.3 12.8 11.4 2.0 1.o 0.7 55.2
The new overall material balances can be used to calculate a new rich oil temperature. The tN values calculated in the first trial should be used now for the temperature of the residue gas. The enthalpies of V, and LN+ are unchanged from trial 1. The enthalpy of the new V, at 99 O F (Table 15.5) is 501,300 Btu/lOOmol of wet gas as shown in Table 15.8. The corresponding temperature of rich oil is found to be 135OF, unchanged from trial 1. Using Eqs (15.1)( 15.3) with the values V, = 55.2, V, = 100, L , = 155.2, t , = 135, the calculations are shown in Table 15.9.
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Cl
c 2
c 3
501,300
V,IL,
0.555
v,  v,
13.8 25.7 35.9 44.8
t,
Repeat the steps in trial 1 and calculate the stripping factor. The values of effective stripping factors when substituted in the desired equation off give the final component recoveries, product rates, and compositions shown in Table 15.10. For comparison purposes, the effective stripping factors obtained by the Edmister equations
(15.4) (15.5)
c,
C Z
c 3
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Component Cl
c 2
HortonFranklin
23.9 5.43 1.91 0.601 0.188 0.007 18
~~ ~~~ ~~
Eq. (15.4)
20.5 4.56 1.60 0.482 0.15 0.007
Eq. (15.5)
23.8 5.4 1.9 0.595 0.20 0.0119
c 3
The sample calculation for component C,by the Edmister method is done as follows:
For component C,, (Kl)iYp:i = 43 and for the first plate V , / L ,= 0.555 (from the second trial).
S, = 43 x 0.555 = 23.9
S = S4 = K4v , 4
L4
For component C,,(K4)z:i:a = 38.5 and for the fourth plate V4/L, = 0.463 (from the second trial).
S4 = 38.5 x 0.463 = 17.83
= 20.58
Now,
A, = 1/S, = U23.9 = 0.04184
A, = A 4 = l/S4 = U17.83 = 0.05609
1/S = A = 0.042389
i.e., S = 23.59 Now, let us demonstrate how this problem can be solved using HYSYS in a stepwise manner.
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1 Click on the Start button, select the Programs menu, select the Hyprotech .
menu, and then click on the Hysys program icon (i.e., execute hysys.exe) 2. From the File menu, select New Case (or press the keys ALT+N). 3. The Simulation Basis Manager window shown in Exhibit 15.1 appears.
Exhibit 15.1
4. From the File pulldown menu, save as MulticomponentAbsorption. 5. Click on the Fluid Pkgs tab. Exhibit 15.2 appears.
Exhibit 15.2
Exhiblt 15.3
7. Choose the required property package from the Property Package Selection menu. Let us choose Peng Robinson for this problem. Exhibit 15.4 appears.
Exhibit 15.4
8. Close this window; the again original Simulation Basis Manager window appears as shown in step 3 (Exhibit 15.1). In that window, click on the Components tab; Exhibit 15.5 appears.
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Exhibit 15.5
9. Highlight Component List1 in Exhibit 15.5 and press the View button. Exhibit 15.6 appears.
Exhibit 15.6
10. Select the components one after another by clicking on the Add Pure button. Exhibit 15.7 appears for the present problem after selecting all the components.
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Exhibit 15.7
11. Close this window; the Simulation Basis Manager appears (Exhibit 15.8).
Exhibit 15.8
12. Click on the Enter Simulation Environment button. Exhibit 15.9 appears.
447
Exhibit 15.9
13. Along with Exhibit 15.9, the object palette consisting of symbols of various
equipment and other accessories will appear by the side of it. From this palette, drag the required unit on to Exhibit 15.9. For this problem, the absorber unit is dragged, resulting in Exhibit 15.10.
Exhibit 15.10
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14. Doubleclick on the absorber unit and enter the following data: Absorber Column name: Lean oil Top stage inlet: Wet gas Bottom stage inlet: Ovhd vapour outlet: Residue gas Bottom liquid outlet: Rich oil n (no. of stages): 4 Click on the Bottom Up radio button; click on the Next button and enter the following data: 60 psia (automatically converted Top stage pressure: into 413.7 kPa) 60 psia (automatically converted Bottom stage pressure: into 413.7 kPa)
Click on the Next button and then click on Done, as there is no optional data for this problem. Exhibit 15.11 appears.
Exhibit 15.11
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Exhibit 15.12
16. Doubleclick on the Wet gas stream for entering the corresponding properties. Exhibit 15.13 appears.
Exhibit 15.13
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Exhibit 15.14
18. On the Worksheet menu, click on the Composition tab. Exhibit 15.15 appears. 19. Entering the data results in a window having options for entering the composition in mole fractions, mass fractions, liquid volume fractions, mole flows, mass flows, and liquid volume flows. In the present problem, the data are entered in mole fractions. After entering the data, press the Normalize button and click on the OK button, which gives Exhibit 15.16.
451
Exhibit 15.15
Exhibit 15.16
20. Close Exhibit 15.16; this leads to Exhibit 15.17 [note that the arrow colour of the Wet gas stream has changed to dark blue (on your screen), indicating that data for the stream has already been entered].
452
Exhibit 15.17
21. Doubleclick on the Lean oil stream to enter the corresponding data, which
results in Exhibit 15.18.
Exhibit 15.1 8
453
22. Enter the following data corresponding to the Lean oil stream in Exhibit 15.18. Temperature: 90 O F Pressure: 60 psia Molar flow: 110.4 lb moVh Exhibit 15.19 appears.
Exhibit 15.19
23. Move to Composition change the basis to Molar Flows, and enter the
following data: 0 1bmoVh Methane: Ethane: 0 lb moVh Propane: 0 lb moVh nbutane: 2.21 1bmoVh npentane: 5.52 lb moVh noctane: 102.67 1bmoVh All the above data in lb moVh are automatically converted into kg moVh. Now change the basis to Mole Fractions, Click on the Normalize button and then on OK.Exhibit 15.20 appears. 24. Close Exhibit 15.20. Exhibit 15.21 appears [note that the colour of the Lean oil stream has also changed to dark blue (on your screen), indicating that it is completely defined].
454
Exhibit 15.20
Exhibit 15.21
455
25. Doubleclick on the Absorber of Exhibit 15.21, which leads to the appearance of Exhibit 15.22 (note that the problem has not converged yet, i.e., it is unconverged).
Exhibit 15.22
Exhibit 15.23
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27. Highlight the Monitor button on the Design menu to see the iterations for convergence. In this problem, as the number of stages is less (n = 4), convergence is obtained in a few (five) iterations, as shown in Exhibit 15.24. This is the final result of this problem.
Exhibit 15.24
Illustration 15.2 Multicomponent distillation A continuous fractionating column having 17 stages with a total condenser and reboiler is to be designed to separate 27,522.2 kmoVh of a mixture of 28.19% methanol, 46.26%nbutane, and 25.55%ibutene on molar basis. A,reflux ratio of 10 mol to 1 mol of the product is to be used. The feed enters at bubble point at 1172 kPa and at the 10th stage. The overhead product rate coming out of the column is 2043.0 kmoVh. The pressure at the condenser and the reboiler is 11 15 kPa and 1216 kPa, respectively. Simulate the distillation column assuming no pressure drop across the reboiler and condenser to find the (1) conditions of the feed, distillate, and bottom streams; (2) properties of the feed, distillate, and bottom streams; (3) composition of the distillate and bottom products; (4) temperature, liquid rate, and vapour rate profile throughout the column; (5) composition profiles of all the components throughout the column; and (6) heat duties required for the condenser and reboiler, and the temperature of the condenser and reboiler.
Column specifications Total number of trays: Feed tray location:
17 10th tray
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Feed flow rate: Distillate flow rate: Feed compositions: Methanol: nbutane: ibutene: Feed condition: Reflux ratio: Reboiler pressure: Condenser pressure: Pressure drop in condenser:
2752.2 kmollh 2043.0 kmovh 0.2819 (mole fraction) 0.4626 (mole fraction) 0.2555 (mole fraction) Saturated liquid at 1172 kPa 10 1216 kPa 1115 kPa 0 kPa
Solution 1. Open the file as a new case; Exhibit 15.25 named Simulation Basis Manager will be displayed.
Exhibit 15.25
2. Click on the Add button to select the components and fluid package to be used for the simulation of the column (Exhibit 15.26).
458
Exhibit 15.26
3. Select the components and add them from the list by clicking on the Add Pure button. Here, the components selected are methanol, ibutene, and nbutane (Exhibit 15.27).
Exhibit 15.27
4. Close the window; the Simulation Basis Manager window appears. Click on Fluid Pkgs. Exhibit 15.28 is displayed.
459
Exhibit 15.28
5. Click on the Add button and select the fluid package to be used for the simulation of the column (Exhibit 15.29).
Exhibit 15.29
6. Select the required fluid package from the list (here, we have selected the Peng Robinson fluid package as shown in Exhibit 15.30.
460
Exhibit 15.30
7. Close the window and return to the Simulation Basis Manager (Exhibit 15.31).
Exhibit 15.31
461
Exhibit 15.32
9. Select the distillation column by doubleclicking on it in the Case (main) window. Name the different streams feed, distillate, bottoms, Qcondenser,
etc. Enter the value of number of trays, feed tray location, etc. and then click on the Next button. The window related to the pressure will be displayed. Enter the condenser pressure, reboiler pressure, and condenser pressure drop values and click on the Next button. The window related to the temperature at the condenser and reboiler will be displayed, which is optional. Again after clicking on the Next button, enter the value of the reflux ratio and distillate flow rate. Then click on the Done button. A window showing all the information ahout the column we have added will be displayed (Exhibit 15.33). 10. Close the window; the next window will display the distillation column with Feed, Distillate, and Bottom streams (Exhibit 15.34).
ereboiler,
462
Exhibit 15.33
Exhibit 15.34
463
11. Close this Window and doubleclick on the Feed stream to specify the various conditions of the feed (Exhibit 15.35).
Exhibit 15.35
12. Select Composition and add the known compositions for various components in the feed. Here the molar composition of the feed is (Exhibit 15.36). Methanol: 0.28 19 nbutane: 0.4626 ibutene: 0.2555 13. Select Conditions and add the known properties of the feed. Here the feed properties are Feed flow rate: 2752.2 kmovh Vapour/phase fraction: 0.0 (as the feed is a saturated liquid) Pressure: 12 atm With this information, HYSYS will automatically simulate for the rest of the feed properties (Exhibit 15.37).
Next Page
464
Exhibit 15.36
Exhibit 15.37
Previous Page
465
14. Close the feed window, doubleclick on the Distillation Column, all the specifications of the distillation column will be displayed (Exhibit 15.38). At this stage also we can change the specifications if needed. Now click on the Run button to simulate the distillation column.
Exhibit 15.38
Results
1. Conditions of the feed, distillates, and bottoms: Click on the Worksheet button, select Conditions. The next window will display the conditions of the feed, distillate, and bottom products (Exhibit 15.39). 2. Properties of the feed, distillate, and bottoms: Click on Properties, the
next window will display the properties of the feed, distillate, and bottom products (Exhibit 15.40).
466
Exhibit 15.39
Exhibit 15.40
467
3. Composition of the distillate and bottom products: Click on Compositions, the compositions of the feed, distillate, as well as the bottom products are displayed (Exhibit 15.4 1).
Exhibit 15.41
4. Temperature, vapour, and liquid profiles throughout the column: Click on the Performance button, select Column Profiles,the window will display the temperature, vapour rate, and liquid rate in all trays inside the distillation column (Exhibit 15.42). 5. Composition profiles: Click on Plots, select Composition, and click on View Tables (or on View Graphs), the window will display the compositions of all components in each tray inside the column in the form of a table (or graph) (see Exhibits 15.4315.45). Similarly we can view plots for liquid, vapour, and temperature profiles throughout the column after clicking on the View Graph button for the respective profiles. For example, Exhibit 15.46 shows the result of the temperature profile. 6. Boiler and condenser duties and temperatures: Click on Feeds/Products, the window will display all the loads and properties related to the condenser and reboiler (Exhibit 15.47).
468
Exhibit 15.42
Exhibit 15.43
469
Exhibit 15.44
Exhibit 15.45
470
Exhlblt 15.46
Exhibit 15.47
471
Illustration 15.3 Refrigeration system The refrigerator shown in Fig. 15.4 uses R134a as the working fluid. The mass flow through each component is 0.1 kg/s and the power input to the compressor is 5 kW. The heat lost to the compressor is 0.21 kW. The following state data are known, using the state notation (denoted by encircled numbers) given in Fig. 15.4: P, = 100 kPa, TI = 2O"C, P2 = 800 kPa, x3 = 0.0 (vapour fraction), and T4 = 25 "C.
Expansion valve
I
Evaporator
State 1: Cold vapour State 2: Warm vapour State 3: Warm liquid State 4: Cold liquid + vapour Determine the (1) quality at the evaporator inlet, (2) rate of heat transfer to the evaporator, (3) massflow rate of cold water in the condenser and evaporator if temperature differences are from 10 to 15"C and 85 to 45 "C, and (4) pressure and temperature in the all four states. Solution 1. Click on the Hysys 3.1 icon. 2 Use ALT+F or open a New Case from the menu. The window shown in . Exhibit 15.48 will open.
472
Exhibit 15.48
3. Click on the Add button and select the component R134a and water as shown in Exhibit 15.49.
Exhibit 15.49
4. Now close the above window. In the Simulation Basis Manager, press the Fluid Pkgs tab. In the Fluid Package window, select the Peng Robinson package as shown in Exhibit 15.50.
473
Exhibit 15.50
5. Now close the Fluid Package: Basis1 window. 6. In the Simulation Basis Manager window, click on Enter Simulation Environment.A new window named PFD Case (Main) will open along with the Case (Main) window. 7. From the Case (Main) window, select the compressor by doubleclicking on it. The window shown in Exhibit 15.51 appears.
Exhibit 15.51
474
8. In the K100 window, enter cold vapour, warm vapour, and work in the Inlet, Outlet, and Energy streams, respectively. 9. Click on the Worksheet tab and fill the data for cold vapour, warm vapour, and work as shown in Exhibit 15.52.
Exhibit 15.52
10. Click on Composition and fill the data shown in Exhibit 15.53.
Exhibit 15.53
475
11. As can be seen, the compressor (K100) solved and the outlet warm is vapour temperature is found to be 48.26"C. 12. Select the next component, heat exchanger, by doubleclicking on it and fill the data shown in Exhibit 15.54.Here, vapours are getting condensed, and hence one has to choose the heat exchanger. If we select the cooler, then the solver will automatically assume that no phase change occurs during cooling, which is not the case in the present problem.
Exhibit 15.54
13. Click on Parameters and enter 0 Wa for AP. Click on the Worksheet tab and select Composition. Enter the fraction 1.00 for H20 and make CW, (the composition of water vapour in) and CW,,, (the composition of water vapour out) 100% H20. 14. Now click on Conditions and enter the vapour fraction 0 for warm liquid. Then enter the CW, and CW,, temperatures and its vapour fraction. The solver will calculate the massflow rate as shown in Exhibit 15.55. 15. The condenser has been solved and the PFD Case (Main) window will look as shown in Exhibit 15.56.
476
Exhibit 15.55
Exhibit 15.56
16. Now select the expander by doubleclicking on it and enter the stream names as shown in Exhibit 15.57.Actually, we require an expansion valve (JouleThompson) in this problem, but this feature is not included in the
477
Case (Main) window of this software (HYSYS). However, it is possible to take care of such problems in HYSYS. Though all the components required for various problems are not directly available, with some approximations and assumptions, equivalent components can be found. In the present problem, an expander [which is available in the Case (Main) list] with the options of no work and no heat loss can be approximated by the JouleThompson expansion valve.
Exhibit 15.57
17. Click on the Worksheet tab and enter the data for cold mixture temperature and zero work. One can see that all the other quantities have been solved. However, there is still a warning for the liquid inlet in the expander, but we are using a JouleThompson valve with no work and no heat transfer instead of an expander. 18. Select the heat exchanger by doubleclicking on it, which would work as an evaporator, and fill the stream names as shown in Exhibit 15.58. 19. Click on the Worksheet tab and enter the data for the cold water inlet and outlet temperatures and give its composition. The problem is solved and the results are displayed (Exhibit 15.59).
478
Exhibit 15.58
Exhibit 15.59
479
20. Finally, the PFD Case window will look as shown in Exhibit 15.60.
Exhibit 15.60
480
FLUENT is written in the C computer language and makes full use of the flexibility and power offered by the language. Consequently, true dynamic memory allocation, efficient data structures, and flexible solver control are all possible. In addition, FLUENT uses a clientherver architecture, which allows a simulation to run as separate simultaneous processes on client desktop workstations and powerful computer servers,for efficient execution,interactivecontrol, and complete flexibility of the machine or operating system. All functions required to compute a solution and display the results are accessible in FLUENT through an interactive, menudriven interface. The user interface is written in a language called SCHEME, a dialect of LISP. An advanced user can customize and enhance the interface by writing menu macros and functions.
481
\
0
Boundary
I
Boundary andor volume mesh
2D/3D mesh
PDF files
FLUENT 0 Mesh import and adaption 0 Physical models Boundary conditions 0 Material properties 0 Calculation 0 Postprocessing Mesh
Mesh
Note that preBFC and GeoMesh are the names of FLUENT preprocessors that were used before the introduction of GAMBIT.
482
Process Plant Simulation w chemical species mixing and reaction, including combustion submodels
chemical species
w Lagrangian trajectory calculations for a dispersed phase of particles/
w w w
dropletshbbles, including coupling with the continuous phase phasechange models flow through porous media lumped parameter models for fans, pumps, radiators, and heat exchangers multiphase flows, including cavitation freesurface flows with complex surface shapes
These capabilities allow FLUENT to be used for a wide variety of applications, including the following: w process and process equipment applications w power generation and oiVgas and environmental applications aerospace and turbomachinery applications w automobile applications w heatexchanger applications w electronics/HVAC/appliances w material processing applications w architectural design and fire research Summarizing, FLUENT is ideally suited for incompressible and compressible fluid flow simulations in complex geometries.Fluent, Inc. also offers other solvers that address different flow regimes and incorporate alternative physical models. Additional computational fluid dynamics (CFD) programs from Fluent, Inc. include Airpak, FIDAP, Icepak, MixSim, and POLYFLOW.
Overview
FLUENT uses unstructured meshes in order to reduce the amount of time required for generating meshes, simplify geometry modelling and the mesh generation process, model more complex geometries than one can handle with conventional, multiblock structured meshes, and lets the adaptation of the mesh resolve flowfield features. FLUENT can also use bodyfitted, blockstructured meshes (e.g., those used by FLUENT 4 and many other CFD solvers). It is capable of handling triangular and quadrilateral elements (or a combination of the two) in 2D, and tetrahedral, hexahedral, pyramid, and wedge elements (or a combination of these) in 3D. This flexibility allows one to pick mesh topologies that are best suited for a particular application.
483
One can adapt all types of meshes in FLUENT in order to resolve large gradients in the flow field, but one must always generate the initial mesh (whatever the element types used) outside of the solver, using GAMBIT, TGrid, or one of the CAD systems, for which mesh import filters exist.
484
general and can take into account the complications of combustion. A particular strength of FLUENT is its ability to model combustion phenomena using a variety of models, including eddy dissipation and probability density function models. A host of other models that are very useful for reacting flow applications are also available, including coal and droplet combustion, surface reaction, and pollutant formation models.
To= 300 K
t
L=50mm
i
Solution Step 1 Starting FLUENT on a Windows system Click on the Start button, select the Programs menu, select the Fluent.Inc menu, and then select the FLUENT 6 program. The opening screen should look something like that shown in Exhibit 15.61.
Step 2 Choosing the solverfomulation FLUENT provides three different solver formulations: m Segregated m Coupled implicit m Coupled explicit
All three solver formulations provide accurate results for a broad range of flows, but in some cases one formulation may perform better than the others. The segregated and coupled approaches differ in the way that the continuity, momentum, and energy and species equations are solved: the segregated solver solves these equations sequentially, while the coupled solver solves them simultaneously.
485
Exhibit 15.61
User inputs for solver selection:To choose one of the three solver formulations, you will use the Solver panel (Fig. 15.7). Define + Models + Solver (Exhibit 15.62). To use the segregated solver, retain the default selection of Segregated under Solver. To use the coupled implicit solver, select Coupled under Solver and Implicit (by default) under Formulation. To use the coupled explicit solver, select Coupled under Solver and Explicit under Formulation. For the present problem, the segregated 2D steadystate absolute model solver has been selected.
Exhibit 15.62
486
Step 3 Reading meshjles Mesh files, also known as grid files, are created with the GAMBIT grid generator. A grid file isfrom FLUENTS point of viewsimply a subset of a case file. The grid file contains the coordinates of all the nodes, and connectivity information that tells how the nodes are connected to one another forming faces and cells. GAMBIT grid files: GAMBIT is used to create 2D and 3D .structured/ unstructuredhybrid grids. It is a software package designed to help analysts and designers build and mesh models for CFD and other scientific applications. It receives user inputs by means of its graphical user interface (GU1):The GAMBIT GUI makes the basic steps of building, meshing, and assigning zone types to a model. To create any of these meshes for FLUENT, the following procedure is used: click on the exe file of GAMBIT. The opening screen should look like Exhibit 15.63. Creating the Geometry: When you click on the Geometry command button on the Operation toolpad, GAMBIT opens the Geometry subpad, which contains command buttons that allow one to create, move, copy, modify, summarize, and delete vertices, edges, faces, and volumes. It also contains a command button that allows one to perform operations involving groups of topological entities. The symbols associated with each of the Geometry subpad command sets are shown in Exhibit 15.64.
487
Exhibit 15.63
Exhibit 15.64
488
GAMBIT modelling forms require one to specify a location in space relative to a specified coordinate system. For example, the Create Real Vertex form shown in Fig. 15.8 requires one to specify the three coordinates describing the point at which the vertex is to be created.
After specifyingthe coordinatesin the Create Real Vertex form, the four vertices look as shown in Exhibit 15.65.
Exhibit 15.65
489
Creating edges: Exhibit 15.66 shows the commands available in the Geometry/ Edge subpad.
Exhibit 15.66
To open the Create Straight Edge form (see Exhibit 15.67), click on Create Straight Edge to open the command button on the Geometrymdge subpad.
Exhibit 15.67
490
To create an edge using the Straight Edge command, one must specify two vertices that comprise the end points of the edge. The edge starts from the first (start) vertex and ends at the second (end). For example, a straightline edge is created between vertex 1 and vertex 4, as shown in Exhibit 15.68. All other edges are created in a similar way (Exhibit 15.69).
Exhibit 15.68
Creating a face: The Create Face From Wireframe command allows one to create a face from three or more existing edges. Exhibit 15.70 shows the commands available in the Geometrymace subpad.
491
Exhibit 15.69
Exhibit 15.70
492
To create a face using this command, one must specify the following parameters: edges that define the wireframe face typereal or virtual.
The face is created as shown in Exhibit 15.71. Exhibit 15.72 shows the final face window.
Exhibit 15.71
Meshing the model: Upon clicking on the Mesh command button on the Operation toolpad, GAMBIT opens the Mesh subpad, which contains command buttons that allow one to perform mesh operations involving boundary layers, edges, faces, volumes, and groups. Exhibit 15.73 shows the symbols associated with each of the Mesh subpad command sets.
493
Exhlblt 15.72
Exhibit 15.73
Next Page
494
Mesh edges: The Mesh Edges command allows one to grade or mesh any or all edges in the model. When we grade an edge, GAMBIT applies the mesh node spacing specifications but does not create mesh nodes on the edge. When we mesh an edge, GAMBIT creates mesh nodes according to the specifications. To perform a grading or meshing operation, one must specify the following parameters: edge@)to which the grading specifications apply the grading scheme mesh node spacing (number of intervals) edge meshing options. These operations are shown in Exhibit 15.74.
Exhibit 15.74
Mesh faces: The Mesh Faces command allows one to create meshes for one or more faces in the model. When we mesh a face, GAMBIT creates mesh nodes on the face according to the currently specified meshing parameters. To mesh a face, one must specify the following parameters: face(s) to be meshed meshing scheme
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INDEX
Index Terms A
acceleration criterion Air Liquide algorithms
Links
348 350 8 278 313 387 231 288 360 394 257 295 363 263 301 368 272 305 380
ant colony Barkley and Motard (B&M) basic tearing (BTA) K&S M&H memetic scatter search selforganizing migrating signal flow graph (SFG) based tearing tridiagonal matrix (TDMA) alkylation reaction, optimization ammonia ammonia synthesis reactor assumptions constraints
289 315 319 313 313 288 288 290 314 313 405 279 357 355 357 358 359 370 321 323
Index Terms
ammonia synthesis reactor (cont.) numerical methods objective functions optimal design problem formulation RungeKutta fixed step size method (RKFS) simulated results temperature and flow rate profiles amortization annular flow with inner cylinder moving axially ant colony optimization argon ASCEND ASPEN Plus autothermal ammonia synthesis reactor Artificial Neural Networks (ANN) aqueous twophased systems (ATPSs) backpropagation algorithm backpropagation network (BPN) design and training input and output parameters learning modes of training network architecture network training
Links
367
370
52 50 50 56 56 48 49 49 48
Index Terms
Artificial Neural Networks (ANN) (cont.) neural network model thermodynamic models
Links
55 55
260
B
Barkley and Motard (B&M) algorithms basic tearing algorithms (BTA) Bessel equation of zeroth order biomass concentration profile black box principles of mathematical modelling boiling Boltzmann probability distribution boundary conditions of mathematical modeling BoxWilson method of optimization Brandon method of optimization Brent's method of optimization Broyden method of optimization bypassing 46 226 226 253 253 382 46 371 258 315 319 141 396 416 419 429 188 190
C
cavitation char chemical reaction with diffusion in a tubular reactor gas absorption accompanied by heat transfer in a packed bed Ractor 482 396 181 181 191 186 413 417 419 430
Index Terms
chemical system modelling causeandeffect relationship of system variables chemical equilibrium chemical kinetic component balances conservation laws and rate equations continuity equations energy equation equilibrium relations fundamental laws used in modelling law of mass action model formulation principles motion equation optimum sloppiness phase equilibrium Raoults law state equations system variables transport equations chromosomes coaxial cylinders and concentric spheres, flow between coke formation combustion composition compressibility compression CONCEPT
Links
20
21 27 29 23 20 23 24 27 22 30 21 24 21 27 28 25 20 25 288
Index Terms
conservation cooling computation techniques evolutionary programming (EP) evolutionary strategies genetic programming computeraided molecular design computer control and model adaptation continuity equation controlled systems of modelling contraction convergence
Links
398 1 273 287 286 287 265 225 152 31 243 245 275 375 249 279 388 253 296 392 258 298 273 301 169 179 256 286 260 337 358
convergence promotion acceleration criterion criteria direct substitution dominant eigenvalue method (DEM) general dominant eigenvalue method (GDEM) Jacobian liquidliquid systems Newtons method quasiNewton methods separation processes Wegsteins method coordinate systems for falling film problem, choice
162
Index Terms
countercurrent cooling of tanks countercurrent operations crosscurrent solvent extraction, steadystate, twostage model for masstransfer operations cutset cybernetics system control system optimization cyclic process
Links
124 296
D
data regression analytical methods graphical methods methods theoretical properties deviation variables decomposition of networks Barkley and Motard (B&M) algorithm basic tearing algorithm (BTA) K&S algorithm M&H algorithms maximal cyclic net (MCN) selfloops signal flow graph (SFG)based algorithms tearing algorithms 314 313 331 315 319 313 313 315 315 319 324 328 321 323 205 208 207 206 205 142 296 313 371 434
Index Terms
dehydrogenation density
Links
371 152 484 193 349 351 411
Design of Equilibrium Stage deterministic versus stochastic processes continuous stirred tank reactor (CSTR) deterministic processes differential evolution (DE)
437
15
16 15 257 389
193
196
272
365
374
380
alkylation reaction, optimization applications convergence digital filter design fermentation process fuel ethanol production heat exchangers optimal design Himmelblau function implementation, stepwise procedure infinite impulse response (IIR) innovations key parameters MINPL problems, global optimization mutation nested nonlinear chemical engineering processes, global optimization
279 276 273 276 277 277 355 278 280 283 277 276 275 365 376 387 281 370 283
282
Index Terms
differential evolution (DE) (cont.) randtobest recombination and selection robustness scaling factor (F) scenariointegrated optimization of dynamic systems shellandtube heat exchangers design steps performed strategies synthesis of heat integrated distillation systems thermal cracker operation vector dimension XOR versus add differential equations diffusion coefficients direction set methods of optimization distillation multistage Riccati equation divergence DNG dynamic lumped parameter rigid analytical model dynamic optimization
Links
281
377
279 281 273 273 360 351 254 225 98 100 341 373 363 381
E
Edmister equations 441
Index Terms
energy energy balance enthalpy ethane ethylene entropy equality constraints equationsolving approach to process simulation block triangular form (BTF) block triangular splitting (BTS) Boolean adjacency matrix bordered block triangular form (BBTF) digraph disjoining GaussJordan elimination GuassSeidel method incidence matrix maintaining sparsity Newtons method numerical solutions partitioning path tracing method (PTM) pivoting powers of adjacency matrix (PAM) precedenceordering of equation sets structural analysis with substitution (SWS) algorithm tearing
Links
1 296 349 372 373 349 340 376 399 358 351 359 437 440
300 309
303
295 301 305 308 308 301 307 301 308 307 301 308 303 301
306
295 297
Index Terms
equilibrium process error propagation through addition through subtraction error, sources measurement errors precision errors significant figure Euler equation
Links
343 203 203 204 204 204 205 205 225 404 361 415 363 483 367 370
exothermic reactions expansion extended genetic search (EGS) method of optimization extraction extrapolation
356 243
F
feed gas fermentation process Ficks second law of diffusion flow charts flowsheet 356 53 85 294 1 307 FLOWTRAN FLUENTa software package for computational fluid dynamics Airpak ANSYS 294 482 480 355 432 479 355 3 433 6 296 298 277
Index Terms
FLUENTa software package for (cont.) capabilities CAD/CAE packages Create Real Vertex Create Straight Edge FIDAP flexibility GAMBIT GeoMesh graphic user interface (GUI) IDEAS Icepak mesh methodology for usage MixSim movingreferenceframe model NETRAN PATRAN physical models POLYFLOW PreBFC PrePDF turbulence models TGrid using fluidflow operations, models continuity equation creeping flow between two concentric spheres
Links
481 480 488 489 482 479 480 481 486 480 482 479 484 482 483 480 480 483 482 481 480 483 480 482 152 152 169 179 486 492 494 497 482 486 492 494 497
169
Index Terms
fluidflow operations, models (cont.) differential equation flow of a film on outside of a circular tube massflow rate momentum flux momentum flux for creeping flow into a slot motion equation Newtonian fluid through a packed bed column velocity component
Links
167
171
174 169 156 155 152 172 155 174 159 162 167 172 179
fouling free energy of reaction Frobenius method fuel ethanol production fuel oil fugacity fundamental laws used in modeling
G
gas absorption accompanied by chemical reaction multistage (KremserBrown equation) gas oil gaseous products (H2, CO, CO) GEAR 94 373 396 361 430 363 369 160 191
Index Terms
genetic algorithms (GAs)
Links
9 286 257 370 260 380 279 387 282 391
265 261 263 286 265 266 365 267 267 270 381 288 391 272 390 284
fitness heat exchangers, automated design implementation, stepwise procedure mating pool mutation operations randomness reproduction roulettewheel selection symbolic regression Gibbs free energy global minimum golden section search method of optimization gradient methods of optimization adaptability derivative vector orthogonal graphite, thermal conductivity gravity force
262 267 267 262 264 262 263 262 263 288 349 387
272
284
286
392
395
252 231 231 232 231 129 157 160 165 253 266
H
HageniPoiseuille equation heat capacity 156 349 159
Index Terms
heatting conditions isothermal nonisothermal heat diffusion heat duty heat exchangers automated design optimal design shellandtube heat of mixing heattransfer operations
Links
413 413 413 357 377 267 267 278 281 349 107 479 281 481 383 396 483 394 413 423 281 377 278 283 434 415 415 415 421 429 429
area by conduction through cylindrical pipe, steadystate conductive and radiative mechanisms by conduction, unsteadystate convective coefficients through extended surfaces (spine fin) Fouriers law of heat conduction heat balance heat flow heat loss through a maturing tank unsteadystate heat loss through pipe flanges parameters in trickle bed reactors (TBR)
380
108
129 110 109 108 124 112 138 124 296 126
117 139
150 150
266
278
Index Terms
heattransfer operations (cont.) systematic elimination method temperature profile
Links
127 114 138 117 140 129 135 138 151 121 130 132
thermal conductivity thermal diffusivity thermal equilibrium in thermometer system in tubular gas preheater, unsteadystate heating heats of formation Helmholtz energy Hessian matrix Himmelblau function of nonlinear optimization HX hybrid differential evolution (HDE) hybridization hydracarbons hydrogen HYSIS concept DISTIL HyproTech information access integrated simulation environment intuitive and interactive process modelling methodology of usage for problems
122
145
138
280 355 278 288 371 357 294 434 434 432 433 433 435 359 355 432
434 435
Index Terms
HYSIS (cont.) multicomponent absorption objectoriented design open and extensive architecture operations training system (OTS) plant process products realtime optimization (RTO) refinery modelling
Links
I
independent and dependent variables parameters inequality constraints iteration 39 340 155 347 interconnections 1 360 249 411 3 10 251 266 301
J
JouleThompson coefficients 349
K
K&S algorithm KremserBrown equation, see gas absorption, multistage 321
L
Lagrangian multipliers (with constraints) 225 227 340
Index Terms
Lagrangian trajectory calculations laminar flow in a narrow silt nonNewtonian Laplace transformation Lasdons generalized reducedgradient method (LGRG) leakage linear programming method of optimization liquid (tar and other organics) production LP simplex
Links
482
370 382
254
261
281
M
M&H algorithms Markov processes mass balance masstransfer operations countercurrent flow induction principles method mixing tank, unsteadystate mass balance schematic representation solvent extraction, steadystate, singlestage model for masstransfer operations solvent extraction, steadystate, twostage model for masstransfer operations 65 61 82 61 323 225 79 61 65 64 67 67 197 296 343
Index Terms
masstransfer operations (cont.) solvent extraction, unsteadystate, singlestage model for masstransfer operations steadystate Nstage countercurrent solvent extraction stirred tank, unsteadystate mass balance unsteadystate mathematical modelling classification classification based on variation of independent variables classification based on state of process complete mathematical model distributed parameters models dynamic model electricity transport (current) energy or momentum transport (force of friction) formalization heat transport (heat flux) lumped parameter models mass transport (mass flux) static model theory and experimentation mathematical programming dynamic
Links
73
90
79 85 17 39 483
42
42 44 42 43 20
Index Terms
mathematical programming (cont.) geometric linear maximum number of generations (MAXGEN) melting memetic algorithms methane minimization
Links
225 225
391
modelling fundamental laws used modular approaches to process simulation analysis versus design mode exact model linear model numerical method performance mode process matrix sequential modular approach simultaneous modular approach momentum flux convective for creeping flow into a slot multicomponent absorption
10 22
295 295 300 300 295 295 298 295 295 156 174 174 435 297 299
N
NAG library subordinate 364 370
Index Terms
Newtons law of viscosity NewtonRaphson solution technique nitrogen nodes nonelectrolytes nonlinear chemical engineering processes, global optimization nonlinear equations
Links
162 306 357 314 351 359 321 327 165
282 306
O
OLE (object linking embedding) OPERA optimization 432 355 1 355 432 algorithms analytical methods ant colony applications Brandon method Brents method Broyden method computations continuity equation contraction convergence differential evolution (DE) 8 225 289 222 226 253 253 231 152 243 245 257 389 direction set methods 254 249 272 253 365 273 374 278 380 278 169 286 179 257 231 257 263 272 8 360 21 365 219 380 339 393
Index Terms
optimization (cont.) dynamic evolutionary computation (EC) methods fluctuations genetic algorithms (GAs)
Links
22
281
9 224 9 286
257
279 387
282 391
global golden section search method gradient methods hybrid differential evolution (HDE) Lagrangian multipliers (with constraints) limitations linear mapping rule methods minimization
257
266
227
340
274
226
236
254
258
nonlinear functions nontraditional techniques numerical optimum control system populationbased search algorithms pointbypoint method quasiNewton methods radial temperature profile (RTP) method reflection process response function
282
365
278 251
Index Terms
optimization (cont.) Rosenbrock method sequential simplex method simulated annealing (SA) statistical steepest descent method synthesis of heat integrated distillation systems thermal cracking operation traditional techniques optimum control system osmotic coefficients
Links
P
PACER paralleldisc viscometer parallelism perturbation petroleum physical modelling heattransfer coefficients physical and thermodynamic properties databanks modularity and routing sources pollutant removal efficiency (PRE) POLYMATH Pontryagins maximum principle (PMP) populationbased search algorithms 245 172 47 382 355 15 17 294 350 352 349 53 361 370 288 363 367 296 349 428 388 355
Index Terms
precedenceordering pressure drop probability
Links
301 377 256 391 380 258 395 383 263 484 269 272
problemsolving process analysis convergence promotion design mode equilibrium and rate equations inputs and outputs modularoriented simulator PVT relationships system model equations process conditions process constraints process design and optimization steadystate simulation process modelling process synthesis design decision, hierarchy design heuristics environmental constraints processing costs safety process type, mathematical modelling classification based on rigid or deterministic models stochastic or probabilistic models
45 45 45
Index Terms
PROMIS propane pseudocode pyrolysis of biomass chemical kinetic model convective heattransfer coefficients CrankNicholson method experimentation validation and comparison finite difference method heat transfer isothermal conditions kinetic equations lHpitals rule nonisothermal conditions partial differential equations procedure thermogravimetric analysis
Links
355 373 342 355 413 426 404 481 415 381 396
423 396 397 413 397 404 413 396 396 414 415 402 412 429 404 404 415 413 413 421 429
Q
quasiNewton methods of optimization 253
R
radiation radial temperature profile (RTP) method of optimization reacting gas reaction engineering reactors in seriesI 266 358 181 193 427
Index Terms
reaction engineering (cont.) reactors in seriesII see also chemical reaction reflection process response function Rosenbrock method of optimization Rudd RungeKutta fixed step size method (RKFS) RungeKutta predictorcorrector method RungeKutta variable step size method (RKVS)
Links
197
251
361
367
409
417
417
363
367
370
416
S
Saccharomyces scatter search algorithm selforganizing migrating algorithms sequential simplex method of optimization shellandtube heat exchangers, design Bells method Kern method optimal heatexchanger design (HED) problem problem formulation process conditions signal flow graph (SFG) based algorithms 314 377 378 377 387 395 241 281 381 383 377 277 288 290
Index Terms
similarity dynamic geometric kinematic principles of simulated annealing (SA) simulation sizing solid (charcoal) production solubility standard deviation (SD) static distributed parameter rigid analytical model of heat transfer statistical optimization StefanBoltzmann constant steepest descent method of optimization with constraints demerits steward stochastic processes fluid catalytic cracking (FCC) hydroracking stoichiometry reactors structural analysis with substitution (SWS) algorithm
Links
32 33 32 32 32 9 296 1 396 351 366 424 257 351 5 282 355 21 415 433 432
108 224 406 226 236 236 306 16 16 16 197 300 359 233 5
295
305
T
Taylors theorem tearing 74 297 146 305 153 307 313
Index Terms
tearing algorithms temperature distribution in a transverse cooling fin temperature and flow rate profiles
Links
313
thermal coefficients thermal conductivity thermal cracking operation coking condensation constraints cyclization endothermic reaction exothermic reaction hydrogenation polymerization pyrolysis simulated results and discussion visbreaking thermal diffusivity thermal equilibrium thermochemical properties thermodynamic systems thermodynamics thermometer system Thomas algorithm see tridiagonal matrix algorithms (TDMAs) topology
349 351 281 372 371 374 371 371 371 371 371 372 375 372 400 119 351 256 398 141 405 258 433 122 145 258 398 371
298
433
482
486
Index Terms
TORA tridiagonal matrix algorithms (TDMAs) trickle bed reactors (TBR) tuning parameters of differential evolution
Links
375 405 266 415 278
366
V
velocity 152 172 viscosity VLE package volatiles volume 162 352 396 351 413 417 419 430 155 174 165 159 349 351 162 484 484 167
W
wet gas 435
Z
Zvmomonas mobilis 53