An investigation on automatic systems for fault diagnosis in chemical processes

Plant safety is the most important concern of chemical industries. Process faults can cause economic loses as well as human and environmental damages. Most of the operational faults are normally considered in the process design phase by applying methodologies such as Hazard and Operability Analysis (HAZOP). However, it should be expected that failures may occur in an operating plant. For this reason, it is of paramount importance that plant operators can promptly detect and diagnose such faults in order to take the appropriate corrective actions. In addition, preventive maintenance needs to be considered in order to increase plant safety. Fault diagnosis has been faced with both analytic and data-based models and using several techniques and algorithms. However, there is not yet a general fault diagnosis framework that joins detection and diagnosis of faults, either registered or non-registered in records. Even more, less efforts have been focused to automate and implement the reported approaches in real practice. According to this background, this thesis proposes a general framework for data-driven Fault Detection and Diagnosis (FDD), applicable and susceptible to be automated in any industrial scenario in order to hold the plant safety. Thus, the main requirement for constructing this system is the existence of historical process data. In this sense, promising methods imported from the Machine Learning field are introduced as fault diagnosis methods. The learning algorithms, used as diagnosis methods, have proved to be capable to diagnose not only the modeled faults, but also novel faults. Furthermore, Risk-Based Maintenance (RBM) techniques, widely used in petrochemical industry, are proposed to be applied as part of the preventive maintenance in all industry sectors. The proposed FDD system together with an appropriate preventive maintenance program would represent a potential plant safety program to be implemented. Thus, chapter one presents a general introduction to the thesis topic, as well as the motivation and scope. Then, chapter two reviews the state of the art of the related fields. Fault detection and diagnosis methods found in literature are reviewed. In this sense a taxonomy that joins both Artificial Intelligence (AI) and Process Systems Engineering (PSE) classifications is proposed. The fault diagnosis assessment with performance indices is also reviewed. Moreover, it is exposed the state of the art corresponding to Risk Analysis (RA) as a tool for taking corrective actions to faults and the Maintenance Management for the preventive actions. Finally, the benchmark case studies against which FDD research is commonly validated are examined in this chapter. The second part of the thesis, integrated by chapters three to six, addresses the methods applied during the research work. Chapter three deals with the data pre-processing, chapter four with the feature processing stage and chapter five with the diagnosis algorithms. On the other hand, chapter six introduces the Risk-Based Maintenance techniques for addressing the plant preventive maintenance. The third part includes chapter seven, which constitutes the core of the thesis. In this chapter the proposed general FD system is outlined, divided in three steps: diagnosis model construction, model validation and on-line application. This scheme includes a fault detection module and an Anomaly Detection (AD) methodology for the detection of novel faults. Furthermore, several approaches are derived from this general scheme for continuous and batch processes. The fourth part of the thesis presents the validation of the approaches. Specifically, chapter eight presents the validation of the proposed approaches in continuous processes and chapter nine the validation of batch process approaches. Chapter ten raises the AD methodology in real scaled batch processes. First, the methodology is applied to a lab heat exchanger and then it is applied to a Photo-Fenton pilot plant, which corroborates its potential and success in real practice. Finally, the fifth part, including chapter eleven, is dedicated to stress the final conclusions and the main contributions of the thesis. Also, the scientific production achieved during the research period is listed and prospects on further work are envisaged.La seguridad de planta es el problema más inquietante para las industrias químicas. Un fallo en planta puede causar pérdidas económicas y daños humanos y al medio ambiente. La mayoría de los fallos operacionales son previstos en la etapa de diseño de un proceso mediante la aplicación de técnicas de Análisis de Riesgos y de Operabilidad (HAZOP). Sin embargo, existe la probabilidad de que pueda originarse un fallo en una planta en operación. Por esta razón, es de suma importancia que una planta pueda detectar y diagnosticar fallos en el proceso y tomar las medidas correctoras adecuadas para mitigar los efectos del fallo y evitar lamentables consecuencias. Es entonces también importante el mantenimiento preventivo para aumentar la seguridad y prevenir la ocurrencia de fallos. La diagnosis de fallos ha sido abordada tanto con modelos analíticos como con modelos basados en datos y usando varios tipos de técnicas y algoritmos. Sin embargo, hasta ahora no existe la propuesta de un sistema general de seguridad en planta que combine detección y diagnosis de fallos ya sea registrados o no registrados anteriormente. Menos aún se han reportado metodologías que puedan ser automatizadas e implementadas en la práctica real. Con la finalidad de abordar el problema de la seguridad en plantas químicas, esta tesis propone un sistema general para la detección y diagnosis de fallos capaz de implementarse de forma automatizada en cualquier industria. El principal requerimiento para la construcción de este sistema es la existencia de datos históricos de planta sin previo filtrado. En este sentido, diferentes métodos basados en datos son aplicados como métodos de diagnosis de fallos, principalmente aquellos importados del campo de “Aprendizaje Automático”. Estas técnicas de aprendizaje han resultado ser capaces de detectar y diagnosticar no sólo los fallos modelados o “aprendidos”, sino también nuevos fallos no incluidos en los modelos de diagnosis. Aunado a esto, algunas técnicas de mantenimiento basadas en riesgo (RBM) que son ampliamente usadas en la industria petroquímica, son también propuestas para su aplicación en el resto de sectores industriales como parte del mantenimiento preventivo. En conclusión, se propone implementar en un futuro no lejano un programa general de seguridad de planta que incluya el sistema de detección y diagnosis de fallos propuesto junto con un adecuado programa de mantenimiento preventivo. Desglosando el contenido de la tesis, el capítulo uno presenta una introducción general al tema de esta tesis, así como también la motivación generada para su desarrollo y el alcance delimitado. El capítulo dos expone el estado del arte de las áreas relacionadas al tema de tesis. De esta forma, los métodos de detección y diagnosis de fallos encontrados en la literatura son examinados en este capítulo. Asimismo, se propone una taxonomía de los métodos de diagnosis que unifica las clasificaciones propuestas en el área de Inteligencia Artificial y de Ingeniería de procesos. En consecuencia, se examina también la evaluación del performance de los métodos de diagnosis en la literatura. Además, en este capítulo se revisa y reporta el estado del arte correspondiente al “Análisis de Riesgos” y a la “Gestión del Mantenimiento” como técnicas complementarias para la toma de medidas correctoras y preventivas. Por último se abordan los casos de estudio considerados como puntos de referencia en el campo de investigación para la aplicación del sistema propuesto. La tercera parte incluye el capítulo siete, el cual constituye el corazón de la tesis. En este capítulo se presenta el esquema o sistema general de diagnosis de fallos propuesto. El sistema es dividido en tres partes: construcción de los modelos de diagnosis, validación de los modelos y aplicación on-line. Además incluye un modulo de detección de fallos previo a la diagnosis y una metodología de detección de anomalías para la detección de nuevos fallos. Por último, de este sistema se desglosan varias metodologías para procesos continuos y por lote. La cuarta parte de esta tesis presenta la validación de las metodologías propuestas. Específicamente, el capítulo ocho presenta la validación de las metodologías propuestas para su aplicación en procesos continuos y el capítulo nueve presenta la validación de las metodologías correspondientes a los procesos por lote. El capítulo diez valida la metodología de detección de anomalías en procesos por lote reales. Primero es aplicada a un intercambiador de calor escala laboratorio y después su aplicación es escalada a un proceso Foto-Fenton de planta piloto, lo cual corrobora el potencial y éxito de la metodología en la práctica real. Finalmente, la quinta parte de esta tesis, compuesta por el capítulo once, es dedicada a presentar y reafirmar las conclusiones finales y las principales contribuciones de la tesis. Además, se plantean las líneas de investigación futuras y se lista el trabajo desarrollado y presentado durante el periodo de investigación

Real-time implementation of a sensor validation scheme for a heavy-duty diesel engine

With ultra-low exhaust emissions standards, heavy-duty diesel engines (HDDEs) are dependent upon a myriad of sensors to optimize power output and exhaust emissions. Apart from acquiring and processing sensor signals, engine control modules should also have capabilities to report and compensate for sensors that have failed. The global objective of this research was to develop strategies to enable HDDEs to maintain nominal in-use performance during periods of sensor failures. Specifically, the work explored the creation of a sensor validation scheme to detect, isolate, and accommodate sensor failures in HDDEs. The scheme not only offers onboard diagnostic (OBD) capabilities, but also control of engine performance in the event of sensor failures. The scheme, known as Sensor Failure Detection Isolation and Accommodation (SFDIA), depends on mathematical models for its functionality. Neural approximators served as the modeling tool featuring online adaptive capabilities. The significance of the SFDIA is that it can enhance an engine management system (EMS) capability to control performance under any operating conditions when sensors fail. The SFDIA scheme updates models during the lifetime of an engine under real world, in-use conditions. The central hypothesis for the work was that the SFDIA scheme would allow continuous normal operation of HDDEs under conditions of sensor failures. The SFDIA was tested using the boost pressure, coolant temperature, and fuel pressure sensors to evaluate its performance. The test engine was a 2004 MackRTM MP7-355E (11 L, 355 hp). Experimental work was conducted at the Engine and Emissions Research Laboratory (EERL) at West Virginia University (WVU). Failure modes modeled were abrupt, long-term drift and intermittent failures. During the accommodation phase, the SFDIA restored engine power up to 0.64% to nominal. In addition, oxides of nitrogen (NOx) emissions were maintained at up to 1.41% to nominal

Virtual metrology for plasma etch processes.

Plasma processes can present dicult control challenges due to time-varying dynamics and a lack of relevant and/or regular measurements. Virtual metrology (VM) is the use of mathematical models with accessible measurements from an operating process to estimate variables of interest. This thesis addresses the challenge of virtual metrology for plasma processes, with a particular focus on semiconductor plasma etch. Introductory material covering the essentials of plasma physics, plasma etching, plasma measurement techniques, and black-box modelling techniques is rst presented for readers not familiar with these subjects. A comprehensive literature review is then completed to detail the state of the art in modelling and VM research for plasma etch processes. To demonstrate the versatility of VM, a temperature monitoring system utilising a state-space model and Luenberger observer is designed for the variable specic impulse magnetoplasma rocket (VASIMR) engine, a plasma-based space propulsion system. The temperature monitoring system uses optical emission spectroscopy (OES) measurements from the VASIMR engine plasma to correct temperature estimates in the presence of modelling error and inaccurate initial conditions. Temperature estimates within 2% of the real values are achieved using this scheme. An extensive examination of the implementation of a wafer-to-wafer VM scheme to estimate plasma etch rate for an industrial plasma etch process is presented. The VM models estimate etch rate using measurements from the processing tool and a plasma impedance monitor (PIM). A selection of modelling techniques are considered for VM modelling, and Gaussian process regression (GPR) is applied for the rst time for VM of plasma etch rate. Models with global and local scope are compared, and modelling schemes that attempt to cater for the etch process dynamics are proposed. GPR-based windowed models produce the most accurate estimates, achieving mean absolute percentage errors (MAPEs) of approximately 1:15%. The consistency of the results presented suggests that this level of accuracy represents the best accuracy achievable for the plasma etch system at the current frequency of metrology. Finally, a real-time VM and model predictive control (MPC) scheme for control of plasma electron density in an industrial etch chamber is designed and tested. The VM scheme uses PIM measurements to estimate electron density in real time. A predictive functional control (PFC) scheme is implemented to cater for a time delay in the VM system. The controller achieves time constants of less than one second, no overshoot, and excellent disturbance rejection properties. The PFC scheme is further expanded by adapting the internal model in the controller in real time in response to changes in the process operating point

Virtual metrology for plasma etch processes.

Plasma processes can present dicult control challenges due to time-varying dynamics and a lack of relevant and/or regular measurements. Virtual metrology (VM) is the use of mathematical models with accessible measurements from an operating process to estimate variables of interest. This thesis addresses the challenge of virtual metrology for plasma processes, with a particular focus on semiconductor plasma etch. Introductory material covering the essentials of plasma physics, plasma etching, plasma measurement techniques, and black-box modelling techniques is rst presented for readers not familiar with these subjects. A comprehensive literature review is then completed to detail the state of the art in modelling and VM research for plasma etch processes. To demonstrate the versatility of VM, a temperature monitoring system utilising a state-space model and Luenberger observer is designed for the variable specic impulse magnetoplasma rocket (VASIMR) engine, a plasma-based space propulsion system. The temperature monitoring system uses optical emission spectroscopy (OES) measurements from the VASIMR engine plasma to correct temperature estimates in the presence of modelling error and inaccurate initial conditions. Temperature estimates within 2% of the real values are achieved using this scheme. An extensive examination of the implementation of a wafer-to-wafer VM scheme to estimate plasma etch rate for an industrial plasma etch process is presented. The VM models estimate etch rate using measurements from the processing tool and a plasma impedance monitor (PIM). A selection of modelling techniques are considered for VM modelling, and Gaussian process regression (GPR) is applied for the rst time for VM of plasma etch rate. Models with global and local scope are compared, and modelling schemes that attempt to cater for the etch process dynamics are proposed. GPR-based windowed models produce the most accurate estimates, achieving mean absolute percentage errors (MAPEs) of approximately 1:15%. The consistency of the results presented suggests that this level of accuracy represents the best accuracy achievable for the plasma etch system at the current frequency of metrology. Finally, a real-time VM and model predictive control (MPC) scheme for control of plasma electron density in an industrial etch chamber is designed and tested. The VM scheme uses PIM measurements to estimate electron density in real time. A predictive functional control (PFC) scheme is implemented to cater for a time delay in the VM system. The controller achieves time constants of less than one second, no overshoot, and excellent disturbance rejection properties. The PFC scheme is further expanded by adapting the internal model in the controller in real time in response to changes in the process operating point

Neural Networks: Training and Application to Nonlinear System Identification and Control

This dissertation investigates training neural networks for system identification and classification. The research contains two main contributions as follow:1. Reducing number of hidden layer nodes using a feedforward componentThis research reduces the number of hidden layer nodes and training time of neural networks to make them more suited to online identification and control applications by adding a parallel feedforward component. Implementing the feedforward component with a wavelet neural network and an echo state network provides good models for nonlinear systems.The wavelet neural network with feedforward component along with model predictive controller can reliably identify and control a seismically isolated structure during earthquake. The network model provides the predictions for model predictive control. Simulations of a 5-story seismically isolated structure with conventional lead-rubber bearings showed significant reductions of all response amplitudes for both near-field (pulse) and far-field ground motions, including reduced deformations along with corresponding reduction in acceleration response. The controller effectively regulated the apparent stiffness at the isolation level. The approach is also applied to the online identification and control of an unmanned vehicle. Lyapunov theory is used to prove the stability of the wavelet neural network and the model predictive controller. 2. Training neural networks using trajectory based optimization approachesTraining neural networks is a nonlinear non-convex optimization problem to determine the weights of the neural network. Traditional training algorithms can be inefficient and can get trapped in local minima. Two global optimization approaches are adapted to train neural networks and avoid the local minima problem. Lyapunov theory is used to prove the stability of the proposed methodology and its convergence in the presence of measurement errors. The first approach transforms the constraint satisfaction problem into unconstrained optimization. The constraints define a quotient gradient system (QGS) whose stable equilibrium points are local minima of the unconstrained optimization. The QGS is integrated to determine local minima and the local minimum with the best generalization performance is chosen as the optimal solution. The second approach uses the QGS together with a projected gradient system (PGS). The PGS is a nonlinear dynamical system, defined based on the optimization problem that searches the components of the feasible region for solutions. Lyapunov theory is used to prove the stability of PGS and QGS and their stability under presence of measurement noise

Product assurance technology for custom LSI/VLSI electronics

The technology for obtaining custom integrated circuits from CMOS-bulk silicon foundries using a universal set of layout rules is presented. The technical efforts were guided by the requirement to develop a 3 micron CMOS test chip for the Combined Release and Radiation Effects Satellite (CRRES). This chip contains both analog and digital circuits. The development employed all the elements required to obtain custom circuits from silicon foundries, including circuit design, foundry interfacing, circuit test, and circuit qualification

On extending process monitoring and diagnosis to the electrical and mechanical utilities: an advanced signal analysis approach

This thesis is concerned with extending process monitoring and diagnosis to electrical and mechanical utilities. The motivation is that the reliability, safety and energy efficiency of industrial processes increasingly depend on the condition of the electrical supply and the electrical and mechanical equipment in the process. To enable the integration of electrical and mechanical measurements in the analysis of process disturbances, this thesis develops four new signal analysis methods for transient disturbances, and for measurements with different sampling rates. Transient disturbances are considered because the electrical utility is mostly affected by events of a transient nature. Different sampling rates are considered because process measurements are commonly sampled at intervals in the order of seconds, while electrical and mechanical measurements are commonly sampled with millisecond intervals. Three of the methods detect transient disturbances. Each method progressively improves or extends the applicability of the previous method. Specifically, the first detection method does univariate analysis, the second method extends the analysis to a multivariate data set, and the third method extends the multivariate analysis to measurements with different sampling rates. The fourth method developed removes the transient disturbances from the time series of oscillatory measurements. The motivation is that the analysis of oscillatory disturbances can be affected by transient disturbances. The methods were developed and tested on experimental and industrial data sets obtained during industrial placements with ABB Corporate Research Center, Kraków, Poland and ABB Oil, Gas and Petrochemicals, Oslo, Norway. The concluding chapters of the thesis discuss the merits and limitations of each method, and present three directions for future research. The ideas should contribute further to the extension of process monitoring and diagnosis to the electrical and mechanical utilities. The ideas are exemplified on the case studies and shown to be promising directions for future research.Open Acces

New Methods for Network Traffic Anomaly Detection

In this thesis we examine the efficacy of applying outlier detection techniques to understand the behaviour of anomalies in communication network traffic. We have identified several shortcomings. Our most finding is that known techniques either focus on characterizing the spatial or temporal behaviour of traffic but rarely both. For example DoS attacks are anomalies which violate temporal patterns while port scans violate the spatial equilibrium of network traffic. To address this observed weakness we have designed a new method for outlier detection based spectral decomposition of the Hankel matrix. The Hankel matrix is spatio-temporal correlation matrix and has been used in many other domains including climate data analysis and econometrics. Using our approach we can seamlessly integrate the discovery of both spatial and temporal anomalies. Comparison with other state of the art methods in the networks community confirms that our approach can discover both DoS and port scan attacks. The spectral decomposition of the Hankel matrix is closely tied to the problem of inference in Linear Dynamical Systems (LDS). We introduce a new problem, the Online Selective Anomaly Detection (OSAD) problem, to model the situation where the objective is to report new anomalies in the system and suppress know faults. For example, in the network setting an operator may be interested in triggering an alarm for malicious attacks but not on faults caused by equipment failure. In order to solve OSAD we combine techniques from machine learning and control theory in a unique fashion. Machine Learning ideas are used to learn the parameters of an underlying data generating system. Control theory techniques are used to model the feedback and modify the residual generated by the data generating state model. Experiments on synthetic and real data sets confirm that the OSAD problem captures a general scenario and tightly integrates machine learning and control theory to solve a practical problem

Marine-Derived Nutrient Cycling in the St. Croix River, Maine

Anadromous species can boost freshwater productivity through nutrient subsidies. Along the Maine coast of the northeast United States, several alewife populations are recovering after freshwater connectivity is restored. Iteroparity in this part of their range may reduce their role as nutrient subsidies. Stable isotope analysis was used to detect marine-derived nutrient input. Spatial and temporal trends were characterized in the St. Croix as a baseline before alewife recovery, and nutrient-diffusing substrates indicated nutrient co-limitation. A reference watershed was used to compare nutrient dynamics when alewives were present versus absent. Results indicated isotope shifts within particular functional feeding groups, but not in the freshwater community as a whole. In addition, potential alleviation of nutrient limitation during the peak of the alewife run was seen. A deterministic model was developed to explore the theoretical nitrogen and phosphorus dynamics of Alewife migrations under a range of scenarios. At low escapement levels, the number of recruits produced per spawner was high and juvenile nutrient export dominated. At high escapement levels, fewer recruits were produced per spawner, and so adult nutrient import dominated. These trends persisted regardless of scenario, though the magnitude of endpoints changed. When dams were present, the reduction in upstream passage determined adult abundances. Downstream juvenile rates determined recruitment, as well as nutrient export. The effect of poor passage at sequential dams or an in-river fishery depended on their location in relation to spawning habitat. The St. Croix River, which is located between Maine and New Brunswick, has the majority of spawning habitat upstream. When passage in the lower river was varied, phosphorus difference was insignificant at low passage levels. When varied in the upper river, import dominated at a wide range of upstream passage rates when downstream passage was high. This led to a combined effect of more surviving juveniles per spawner, but a narrower range of passage rates that resulted in phosphorus import. Spawner abundance was higher when a fishery was located upstream than at the estuary, highlighting the need to consider dam and fisheries locations in relation to spawning habitat when estimating population recovery and nutrient dynamics