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 15

Model Predictive Control and Optimization

for Papermaking Processes
Danlei Chu, Michael Forbes, Johan Backström,
Cristian Gheorghe and Stephen Chu
Honeywell,
Canada

1. Introduction
Papermaking is a large-scale two-dimensional process. It has to be monitored and controlled
continuously in order to ensure that the qualities of paper products stay within their
specifications. There are two types of control problems involved in papermaking processes:
machine directional (MD) control and cross directional (CD) control. Machine direction
refers to the direction in which paper sheet travels and cross direction refers to the direction
perpendicular to machine direction. The objectives of MD control and CD control are to
minimize the variation of the sheet quality measurements in machine direction and cross
direction, respectively. This chapter considers the design and applications of model
predictive control (MPC) for papermaking MD and CD processes.
MPC, also known as moving horizon control (MHC), originated in the late seventies and has
developed considerably in the past two decades (Bemporad and Morari 2004; Froisy 1994;
Garcia et al. 1998; Morari & Lee 1999; Rawlings 1999; Chu 2006). It can explicitly incorporate
the process’ physical constraints in the controller design and formulate the controller design
problem into an optimization problem. MPC has become the most widely accepted advanced
control scheme in industries. There are over 3000 commercial MPC implementations in
different areas, including petro-chemicals, food processing, automotives, aerospace, and pulp
and paper (Qin and Badgwell 2000; Qin and Badgwell 2003).
Honeywell introduced MPC for MD controls in 1994; this is likely the first time MPC
technology was applied to MD controls (Backström and Baker, 2008). Increasingly, paper
producers are adopting MPC as a standard approach for advanced MD controls.
MD control of paper machines requires regulation of a number of quality variables, such as
paper dry weight, moisture, ash content, caliper, etc. All of these variables may be coupled
to the process manipulated variables (MV’s), including thick stock flow, steam section
pressures, filler flow, machine speed, and disturbance variables (DV’s) such as slice lip
adjustments, thick stock consistency, broke recycle, and others. Paper machine MD control
is truly a multivariable control problem.
In addition to regulation of the quality variables during normal operation, a modern
advanced control system for a paper machine may be expected to provide dynamic
economic optimization on the machine to reduce energy costs and eliminate waste of raw
materials. For machines that produce more than one grade of paper, it is desired to have an
automatic grade change feature that will create and track controlled variable (CV) and MV

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310 Advanced Model Predictive Control

trajectories to quickly and safely transfer production from one grade to the next. Basic MD-
MPC, economic optimization, and automatic grade change are discussed in this chapter.
MPC for CD control was introduced by Honeywell in 2001 (Backström et al. 2001). Today,
MPC has become the trend of advanced CD control applications. Some successful MPC
applications for CD control have been reported in (Backström et al. 2001, Backström et al.
2002; Chu 2010a; Gheorghe 2009).
In papermaking processes, it is desired to control the CD profile of quality variables such as
dry weight, moisture, thickness, etc. These properties are measured by scanning sensors that
traverse back and forth across the paper sheet, taking as many as 2000 or more samples per
sheet property across the machine. There may be several scanners installed at different
points along the paper machine and so there may be multiple CD profiles for each quality
variable.
The CD profiles are controlled using a number of CD actuator arrays. These arrays span the
paper machine width and may contain up to 300 individual actuators. Common CD
actuators arrays allow for local adjustment, across the machine, of: slice lip opening,
headbox dilution, rewet water sprays, and induction heating of the rolls. As with the CD
measurements, there may be multiple CD actuator arrays of each type available for control.
By changing the setpoints of the individual CD actuators within an array, one can adjust the
local profile of the CD measurements.
The CD process is a multiple-input-multiple-output (MIMO) system. It shows strong input
and output off-diagonal coupling properties. One CD actuator array can have impact on
multiple downstream CD measurement profiles. Conversely, one CD measurement profile can
be affected by multiple upstream CD actuator arrays. Therefore, the CD control problem
consists of attempting to minimize the variation of multiple CD measurement profiles by
simultaneously optimizing the setpoints of all individual CD actuators (Duncan 1989).
MPC is a natural choice for paper machine CD control because it can systematically handle
the coupling between multiple actuator and multiple measurement arrays, and also
incorporate actuator physical constraints into the controller design. However, different from
standard MPC problems, the most challenging part of the cross directional MPC (CD-MPC)
is the size of the problem. The CD-MPC problem can involve up to 600 MVs, 6000 CVs, and
3000 hard constraints. Also, the new setpoints of MVs are required as often as every 10 to 20
seconds. This chapter discusses the details of the design for an efficient large-scale CD-MPC
controller.
This chapter has 5 sections. Section 2 provides an overview of the papermaking process
highlighting both the MD and CD aspects. Section 3 focuses on modelling, control and
optimization for MD processes. Section 4 focuses on modelling, control and optimization for
CD processes. Both Sections 3 and 4 give industrial examples of MPC applications. Finally,
Section 5 draws conclusions and provides some perspective on the future of MD-MPC and
CD-MPC.

2. Overview of papermaking processes

A flat sheet of paper is a network consisting of cellulose fibres bound to one another. A
paper machine transforms a slurry of water and wood cellulose fibres into this type of
network. The whole papermaking process can be regarded as a water-removal system: the
consistency of fibre solutions, called stock by papermakers, increases from around 1% at the
beginning of a paper machine (the headbox) to around 95% at the end (the reel).

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Model Predictive Control and Optimization for Papermaking Processes 311

2.1 Brief description of papermaking processes

In general a paper machine can be divided into four sections: forming section, press section,
drying section, and calendering section. In the forming section, the stock flow enters the
headbox to be distributed evenly across a continuously running fabric felt called the wire.
The newly formed sheet is carried by the wire along the Fourdrinier table, which has a set of
drainage elements that promote water removal by various gravity and suction mechanisms.
These elements include suction boxes, couch rolls, foils, etc. The solid consistency of the
paper web can reach 20% by the time the web leaves the forming section and enters the
press section. Figure 1 illustrates the configuration of a Fourdrinier-type paper machine.

Fig. 1. The configuration of a Fourdrinier-type paper machine

The press section may be considered as an extension of the water-removal process that was
started on the wire in the forming section. Typically, it consists of 1 – 3 rolling press nips.
When the paper web passes through these nips, the pressing roll squeezes water out and
consolidates the web formation at the same time. In the press section, both the surface
smoothness and the web strength are improved. As higher web strength is achieved in the
press section, better runability will be observed in the drying section. A paper machine is
typically operated at a very high speed. The fastest machine speed may be as high as 2,200
meters per minute.
The drying section includes multiple drying cylinders which are heated by high temperature
and high pressure steam. The heat is transferred from steam onto the paper surface through
these rotating steel cylinders. The heat flow increases the paper surface temperature to the
point where water starts evaporating and escaping from the paper web. The drying section is
the most energy consuming part of paper manufacturing. Before the paper enters the drying
section, the solid consistency is around 50%. After the drying section, the consistency can reach
95%, which corresponds to a finished product moisture specification.
The last section of the paper machine is called the calendering section. Calendering is a
terminology referring to pressing with a roll. The surface and the interior properties of the
paper web are modified when it passes through one or more calendering nips. Typically the
calendering nip consists of one or multiple soft/hard or hard/hard roll pairs. The hard roll
presses the paper web against the other roll, and deforms the paper web plastically. By this
means, the calender roll surface is replicated onto the paper web. Depending on the type of
paper being produced, the primary objective of calendering may be to produce a smooth
paper surface (for printing), or to improve the uniformity of CD properties, such as paper
caliper (thickness).

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312 Advanced Model Predictive Control

More details of paper machine design and operation are given in (Smook 2002; Gavelin
1998).

2.2 Paper quality measurement

A paper machine can have one or more measurement scanners. The quality measurement
sensors are mounted on the scanner head which travels back and forth across the paper web
to provide online quality measurements. The most common paper machine quality
measurements include dry weight, moisture, and caliper. Dry weight indicates the solid
weight per unit area of a sheet of paper. For different types of products, the value of dry
weight can vary from 10 grams per square meter (gsm), in the case of paper tissue, to 400
gsm, in the case of heavy paper board. Moisture content is another critical quality property
of the finished paper product. It indicates the mass percentage of water contained in a sheet
of paper. Moisture content is a key factor determining the strength of the finished product.
Typical moisture targets range from 5% to 9%. Caliper is the measure of the thickness of a
sheet of paper. It is a key factor determining the gloss and printability of the finished
product. The caliper targets are in the range from 70 m to 300 m depending on the
production grade. In general the online measurements for dry weight, moisture and caliper
are available and used for both the MD and CD feedback controller designs.
As the scanners travel across a moving sheet, the real data collected actually comes from a
zig-zag trajectory (See Figure 2). These data contain both CD and MD variation. A reliable
MD/CD separation scheme is the prerequisite for MD and CD control designs. Since the
MD/CD separation is a separate topic, the rest of this chapter assumes that the pure
MD/CD measurements have been obtained prior to the MD/CD controller development.
The scanner measurements are denoted by x(i, t), i = , , n indexes the n measurements
taken across the sheet each scan (CD measurement index), and t is the time stamp of each
scan (MD measurement index). x t is the MD measurement given by
1
x(t)= n ∑ni=1 x(i, t). (1)

Fig. 2. The zig-zag scanner trajectories

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Model Predictive Control and Optimization for Papermaking Processes 313

2.3 Brief description of MD control

The objective of MD control is to minimize the variation of the sheet quality measurements
in machine direction.
A number of actuators are available for control of the MD variables. Stock flow to the headbox
is regulated by the stock flow valve or variable speed pump. As stock flow increases, the
amount of fibre flowing into the forming section increases and dry weight and caliper increase.
At the same time, there is also more water coming through the machine and moisture will
increase. So, changes in the stock flow affect dry weight, moisture and caliper. The steam
pressure in the cylinders of the drying section may be adjusted. As the steam pressure in the
cylinders increases, so does the temperature in the cylinders, and more heat is transferred to
the paper. In this way, steam pressure affects moisture. Typically, the dryer cylinders are
divided into groups, and the steam pressure for each of these dryer sections may be adjusted
independently. Machine speed affects dry weight and caliper, as increasing the machine speed
stretches the paper web thinner, giving it less mass per unit area. Machine speed also affects
moisture as both the drying properties of the paper and the residence time in the dryer change.
Clearly, paper machine MD control is a multivariable control problem.

2.4 Brief description of CD control

The objective of CD control is to achieve uniform paper qualities in the cross direction, i.e.,
to minimize the variation of CD profiles. The CD variation, can be formulated as two times
of the standard deviation of the CD profile,
1
1 2 2
2σCD (t)=2* ∑n (x(i, t)-x(t)) (2)
n-1 i=1

Often the term ‘CD spread’ is used interchangeably with 2σCD.

CD actuators are used to regulate CD profiles and improve the uniformity of paper quality
properties in the cross direction i.e., reduce the value of 2σCD.
The most common dry weight CD actuators are both located at the headbox. The headbox
slice opening is a full-width orifice or nozzle that can be adjusted at points across the width
of the paper machine. This allows for differences in the local stock flow onto the wire across
the machine. The consistency profiler changes the consistency of local stock flow by injecting
dilution water and altering the local concentration of pulp fibre across the headbox.
Headbox slice and consistency profiler are primarily designed for dry weight control, but
they have the effects on both moisture and caliper profiles. Figure 1 indicates the location of
headbox dry weight actuators.
The most common moisture actuators are the steam box and water spray. The steam box
applies high temperature steam to the surface of the moving paper web. As the latent heat in
the steam is released and heats up the paper web, it lowers the web viscosity and eases
dewatering in the press section. The water spray regulates the moisture profiles according to
a different mechanism. It deploys a fine water spray to the paper surface through a set of
nozzles across the machine width to re-moisturize the paper web. Similar to the dry weight
actuators, moisture actuators are designed for moisture profile regulation but they may have
effects on the caliper profile. The steam box is typically installed in the press section and the
water spray is located in the drying section. Figure 1 indicates the physical locations of
moisture actuators.
The most common caliper actuators are hot air showers and induction heaters. Both types of
actuators provide surface heating for calendering rolls. The hot shower uses the high

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314 Advanced Model Predictive Control

temperature steam or air; the induction heater uses the high frequency alternating current.
By heating up the calender roll, caliper actuators alter the local diameter of the calender roll
and subsequently increase the local pressure applied to the paper web. The physical location
of the caliper actuators can be also found in Figure 1.

3. Modelling, control and optimization of papermaking MD processes

Control of the MD process is typically a regulation problem where the paper quality
variables need to be held within specified quality limits. At the same time, the constant
pressure to increase operational efficiency demands that the paper production uses the least
amount of raw materials and energy required to meet quality goals.
When multiple grades of paper are produced on a single paper machine, control must also
be able to provide quick transitions of the quality variables along smooth trajectories. When
the differences between the paper grades are large, it may be necessary to enhance the
control algorithm to account for process nonlinearities that become apparent over a larger
span of operating points.

3.1 Modeling of papermaking MD processes

In this section, modelling of the MD process for MPC controller design is discussed. The
additional modelling required for paper grade change control is discussed in section 3.4.
For effective MPC control of paper MD quality variables, it is necessary to build a matrix of
linear models relating the process MV’s to the quality variables (the CV’s). A basic paper
machine model matrix most often includes stock flow, steam pressure of multiple dryer
sections, and machine speed as MVs, and paper weight (basis weight or dry weight), and
moisture as CV’s. Many other MV’s and CV’s can be included in the model matrix
depending on the complexity of the paper machine and the paper quality requirements. An
example model matrix is given in Figure 3.

Fig. 3. A basic model matrix for CD-MPC. The models are step responses.

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Model Predictive Control and Optimization for Papermaking Processes 315

The process models used for MPC control are often developed in transfer function form,
such as:

y s =g(s)u(s)+d(s) (3)
and

y s g s … g s u s
y(s)= , g s = ⋱ , u(s)= , (4)
y s g s … g s u s

where y s ∈ ℂ is the Laplace transformation of the N MD quality measurements (such as

dry weight, moisture, caliper, etc). u s ∈ ℂ is the Laplace transformation of the actuator
setpoints (such as thick stock flow, dryer section steam pressure(s), filler flows, machine
speed, etc). d(s) ∈ ℂ is the Laplace transformation of the augmented process disturbance
array. g s ∈ ℂ (i = … N and j = … N are the transfer functions from the jth actuator u
to the ith MD quality measurement y .

3.1.1 Model identification

Typically the MD process models that are used as the basis for the MD-MPC controller are
identified from data obtained during simple process experiments. A series of step changes
is made for each MV. There is a delay after each step long enough so that the full
responses of all of CV’s can be observed. That is, the CV responses reach steady state
before the next step change in the MV is made. These types of process experiments are
known as bump tests.
Once a set of identification data has been obtained, various techniques may be used to
generate a process model from this data. In the simplest case, plots of the bump tests are
reviewed to graphically estimate a process gain, , dead time, , and time constant, ,
yielding the process model:

= (5)

More complex methods involve use of regression and search techniques to find both the
optimum model parameters, and the optimum model structure (transfer function numerator
and denominator orders). These techniques typically use minimization of squared model
prediction errors as the objective:

=∑ − (6)
Where and are respectively the predicted and actual values of the ith CV at time
k. (Ljung 1998) is the classic reference on system identification, and there are commercial
software packages available that automate much of the system identification work.

3.2 MD-MPC design

Once all of the bump test, and system identification activities have been performed, the
complete process model (3) is used directly in the model predictive controller. MPC solves
an optimization problem at each control execution. One robust MPC problem formulation is:

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316 Advanced Model Predictive Control

min , ‖W y − S u ‖ , (7)

Subject to:

u u

∆ ∆u ∆u
The values of are the CV targets and SΔU are the predicted future values of the CV’s. S is
the prediction matrix, containing all the information from the process model (3). W is a
weighting matrix, and ‖∙‖ is the two-norm squared operator. and are the low and high
CV quality limits, and u are the low and high MV limits, and ∆ and ∆u are the low
and high limits for MV moves. As discussed in the section below, this problem formulation,
combined with techniques employed in its solution implicitly provide robustness
characteristics in the controller design.
The technical details of the solution of the problem (7) are given in (Ward 1996); however,
some notable aspects of the solution methodology and beneficial characteristics of the
solution are given in the section below.

3.2.1 Model scaling and controller robustness

Robust numerical solution of the optimization problem (7) depends on condition number of
the system gain matrix, G. Prior to performing the controller design, the gain matrix
condition number is minimized by solving the problem:

min ,
{ D gD }, (8)
Where is condition number, and Dr and Dc are diagonal transformation matrices. The
scaled system gain matrix gs is then:

g = D gD , (9)
g is then used for all MPC computations.
It should be noted that the objective (7) does not explicitly penalize the MV moves Δu as a
method to promote controller robustness. Instead, controller robustness is provided by the
CV range formulation and singular value thresholding.
First, the CV range formulation refers to the inequalities given in the problem formulation
(7). Under this formulation, if a CV is predicted to be within it range in the future, no MV
action is taken. Since MV moves are not made unless absolutely necessary, this is a very
robust policy.
Second, the solution of the problem involves an active set method that allows the
constrained optimization problem to be converted into an unconstrained problem. A URV
orthogonal decomposition (see Ward 1996) of the matrix characterizing the unconstrained
problem is then employed to solve the unconstrained problem. Prior to the decomposition,
singular values of the problem matrix that are less than a certain threshold are dropped,
reducing the dimension of the problem, and ensuring that the controller does not attempt to
control weakly controllable directions of the process.

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Model Predictive Control and Optimization for Papermaking Processes 317

3.3 Economic optimization

Energy consumption is a big concern for papermakers. Increasing profits by minimizing
operating costs without sacrificing paper quality and runability is always a goal for them. In
theory, if the number of MVs of a process is greater than the number of CVs plus the
number of active constraints, the process has degrees of freedom allowing for steady-state
optimization. Product value optimization can be systematically integrated with the MD-
MPC control. One can then take the feed, product, and utility costs into account with the
MD controller design.
For the economic optimization of a process, the following objective is to be minimized:

=∑ − + +∑ − + (10)

Here and are the desired steady state values of the process CV’s and MV’s, and
are the costs of quadratic deviation from the desired values, and and are the
linear costs of the CV’s and MV’s. This objective is useful for paper machines, for example,
by placing costs on the different energy sources used in drying.
The economic objective is combined with the MPC control problem objective to give an
augmented problem formulation. The augmented problem is then solved using the same
solution method as described above.
Economic optimization is a lower priority for paper machines than quality control. If the
paper does not meet quality specifications, it cannot be sold, and any savings made from
economic optimization are more than lost. Therefore, economic optimization only occurs
when there are extra degrees of freedom for the controller. Economic optimization is not
attempted unless all of the CV’s are predicted to remain within their quality specifications
over the whole of the controller’s prediction horizon.

3.3.1 Mill implementation results

MPC including an economic optimization layer was implemented for a tissue machine. A
diagram of the tissue machine is given in Figure 4. As can be seen in the diagram, tissue dry
weight and moisture are measured at the reel; moisture is measured between the second
through-air dryer (TAD2) and the Yankee dryer, and TAD1 exhaust pressure must also be
monitored and controlled. These four variables are the CV’s in this example. A large number
of MV’s are available to control this machine. Stock flow, TAD1 supply temperature, TAD1
dry end differential pressure, TAD1 gap pressure, TAD2 exhaust temperature, TAD2 dry
end differential pressure, TAD2 gap pressure, Yankee hood temperature, and Yankee
supply fan speed are all used as MV’s in the MPC. Machine speed and tickler refiner were
added as DV’s. The MPC model matrix is shown in Figure 5.

Linear Obj Coef

MV Energy Fuel Units Cost / eng unit
TAD1 Supply Temp Gas deg F 0.680
TAD1 DE DP Electricity inch H2O 47.267
TAD1 Gap Pres Electricity inch H2O -0.030
TAD2 Exh Temp Gas deg F 5.858
TAD2 DE DP Electricity inch H2O 40.249
TAD2 Gap Pres Electricity inch H2O -16.415
Table 1. Tissue machine MV’s with linear objective coefficients

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318 Advanced Model Predictive Control

A large number of the MV’s in this control problem have an impact on the paper moisture,
both after TAD2, and at the reel; however each MV uses a different energy source and has
different drying efficiency. Overall, since there are more MV’s than CV’s, and significant
cost differences between the MV’s, there is an opportunity for economic optimization in this
system. Table 1 shows the energy sources and different energy cost efficiencies (Linear Obj
Coeff Cost/eng unit) associated with each MV. Economic optimization can be accomplished
by including these variables in the linear part of the economic objective function given by
(10).

Fig. 4. Diagram of a tissue machine with CV’s, MV’s, and DV’s for MPC.
Once the economic cost function was added to the MPC, a plant trial was made. Figures 6-10
show the results of this trial. In Figure 7 it can be seen that prior to turning on the economic
optimizer (the period from 8:30 to 9:30) there was a relative cost of energy of 100. The
optimizer was turned on at 9:30. Initially there were some wind-up problems in the plant
DCS which were preventing the MPC from optimizing. Once these were cleared, at 10:44,
the controller drove the process to the low cost operating point (from 10:44 to 12:30). The
relative cost of energy at this operating point was 98.8. In order to better interpret these
results, it is necessary to rank the costs of each MV on the common basis of Cost/% Moi.
This is accomplished by dividing the linear objective coefficients given in Table 1 by their
respective process gains. These are shown in Table 2, along with the MV high and low
limits, and the optimization behaviour. Looking again at the Figures 8 and 9, it can be seen

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Model Predictive Control and Optimization for Papermaking Processes 319

that the highest costing MV’s are driven to their minimum operating points, and the lowest
costing MV’s are driven to their maximum operating points. The TAD1 dry end differential
pressure is left as the MV that is within limits and actively controlling the paper moistures.
Figure 10 shows that throughout this trial, the MV’s are optimized without causing any
disturbance to the CV’s.

Yankee
TAD1 Yankee TAD1
Stock TAD1 DE TAD1 TAD2 Exh TAD2 DE TAD2 Supply Machine Stock Tickler
Supply Hood Gap
Flow DP Gap Pres Temp DP Gap Pres Fan Speed Flow Refiner
Temp Temp Pressure
Speed

Dry Weight

Reel
Moisture

TAD
Moisture

TAD1
Exhaust
Pressure

Fig. 5. The MPC model matrix for the tissue machine control and optimization example

Fig. 6. Natural gas costs and electricity costs during the trial

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320 Advanced Model Predictive Control

Fig. 7. Total costs during the trial

Linear Obj Process Cost

Coef Gain (Cost / % Optimization
MV eng unit Low Limit High Limit (Cost/eng unit) (%Moi/eng unit) Moi) Rank Behavior
TAD1 Supply Temp deg F 300.0 450.0 0.68 -0.12 5.48 4 450 (max)
TAD1 DE DP inch H2O 1.0 3.9 47.30 -5.12 9.24 3 controlling Moi
TAD1 Gap Prs inch H2O 0.4 1.5 -0.03 1.95 0.02 6 0.4 (max)
TAD2 Exh Temp deg F 175.0 250.0 5.86 -0.45 13.02 1 175 (min)
TAD2 DE DP inch H2O 1.0 3.5 40.26 -3.14 12.82 2 1 (min)
TAD2 Gap Prs inch H2O 0.2 1.5 -16.40 4.25 3.86 5 0.2 (max)

Table 2. The MV cost rankings.

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Model Predictive Control and Optimization for Papermaking Processes 321

Fig. 8. Manipulated variables during the trial

Fig. 9. Manipulated variables during the trial

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322 Advanced Model Predictive Control

Controlled Variables

12.7 25

12.6

12.5
20

12.4

12.3
15
DW (lb/ream)

Moisture (%)
12.2

12.1
10
12

11.9

5
11.8

11.7
ReelDwt PV ReelMoi PV ExpressMoi PV
11.6 0
8:34:07
8:40:34
8:47:01
8:53:28
8:59:55
9:06:22
9:12:49
9:19:16
9:25:43
9:32:10
9:38:37
9:45:04
9:51:31
9:57:58
10:04:25
10:10:52
10:17:19
10:23:46
10:30:13
10:36:40
10:43:07
10:49:34
10:56:01
11:02:28
11:08:55
11:15:22
11:21:49
11:28:16
11:34:43
11:41:10
11:47:37
11:54:04
12:00:31
12:06:58
12:13:25
12:19:52
Time

Fig. 10. Controlled variables during the trial

3.4 Grade change strategies

Grade change is a terminology in MD control. It refers to the process of transitioning a paper
machine from producing one grade of paper product to another. One can achieve a grade
change by gradually ramping up a set of MVs to drive the setpoints of CVs from one
operating point to another. During a grade change, the paper product is often off-
specification and not sellable. It is important to develop an automatic control scheme to
coordinate the MV trajectories and minimize the grade change transition times and the off-
spec product. An offline model predictive controller can be designed to produce CV and
MV trajectories to meet these grade change criteria. MPC is well-suited to this problem
because it explicitly considers MV and CV trajectories over a finite horizon. By coordinating
the offline grade change controller (linear or nonlinear) and an online MD-MPC, one can
derive a fast grade change that minimizes off-spec production. This section discusses the
design of MPC controllers for linear and nonlinear grade changes.
Figure 11 gives a block diagram of the grade change controller incorporated into an MD
control system. The grade change controller calculates the MV and CV trajectories to meet
the grade change criteria. This occurs as a separate MPC calculation performed offline so
that grade change specific process models can be used, and so that the MPC weightings can
be adjusted until the MV and CV trajectories meet the design criteria. The MV trajectories
are sent to the regulatory loop as a series of MV setpoint changes. The CV trajectories are
sent as setpoint changes to the MD controller. If the grade change is performed with the MD
controller in closed-loop, additional corrections to the MV setpoints are made to eliminate
any deviation of the CV from its target trajectory.

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Model Predictive Control and Optimization for Papermaking Processes 323

User Input

Grade Change
Controller

Δu1,GC
y1,SP y2,SP
uC1,SP u1,SP u1,OP y1

Scanner
R1 Process
MD - MPC
uC2,SP u2,SP u2,OP y2
R2

y1,SP y2,SP

Operator Operator

Fig. 11. Block diagram of MD-MPC control enhanced with grade change capability
The MV and CV trajectories are generated in a two step procedure. First there is a target
calculation step that generates the MV setpoints required to bring the CV’s to their target
values for the new grade. Once the MV setpoints are generated, then there is a trajectory
generation step where the MV and CV trajectories are designed to meet the specifications of
the grade change.
The MV targets are generated from solving a set of nonlinear equations:

1 1
ydw − fdw ( u1 , u2 , u3 ,… ,C1 ,C 2 ,C 3 ,…) = 0,
2 2
ydw − fdw ( u1 , u2 , u3 ,… ,C1 ,C 2 ,C 3 ,…) = 0,

(11)
y 1moi 1
( u1 , u 2 , u 3 ,…,C1 ,C 2 ,C 3 ,…) = 0,
− fmoi
2 2
y moi − fmoi ( u1 , u 2 , u 3 ,…,C1 ,C 2 ,C 3 ,…) = 0,


Here ydw/ymoi represents the CV target for the new grade. The functions f ∙ are the
models of dry weight and moisture. The process MV’s are denoted ui and model constants
are denoted Ci. The superscripts indicate the same paper properties measured by different
scanners. Since the number of MV’s and the number of CV’s is not necessarily equal, these
equations may have one, multiple or no solutions. To allow for all of these cases, the
problem is recast as:

min F u , u , … , (12)
Subject to:

G u ,u ,… ,

H u ,u ,… = ,

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324 Advanced Model Predictive Control

Where F ∙ is a quadratic objective function formulated to find the minimum travel solution.
H ∙ represents the equality constraints given above, and G ∙ represents the physical
limitations of the CVs and MVs (high, low, and rate of change limits).
Once the MV targets have been generated, the MV and CV trajectories are then designed.
Figure 12 gives a schematic representation of the trajectory generation algorithm. The
process models are linearized (if necessary) and then scaled and normalized for
application in an MPC controller. Process constraints such as the MV and CV targets, and
the MV high and low limits are also given to the MPC controller. Internal controller
tuning parameters are then used to adjust the MV and CV trajectories to meet the grade
change requirements.

Linearization Nonlinear Model

CV Target
MPC Controller Process Model
CV Trajectories

MV Trajectories
Scaling &
Normalization

Grade Change Constraints

• MV physical limits
• MV and CV targets
• Customized Weights

MPC Module

Fig. 12. Diagram of MPC-based grade change trajectory generation.

3.4.1 Linear grade change

In a linear grade change, the MD process models that are used in the MD-MPC controller
are also used as the models for determining the MD targets, and for designing the MD grade
change trajectories.

3.4.2 Nonlinear grade change

In a nonlinear grade change, a first principles model may be used for the target and
trajectory generation. For example, a simple dry weight model is:

m =K , (13)

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Model Predictive Control and Optimization for Papermaking Processes 325

Where m is the paper dry weight, q is the thick stock flow, and v is machine speed. K
is the expression of a number of process constants and values including fibre retention,
consistency, and fibre density. (Chu et al. 2008) gives a more detailed treatment of this dry
weight model.
(Persson 1998, Slätteke 2006, and Wilhelmsson 1995) are examples of first principles
moisture models that may be used.

3.4.3 Mill implementation results

In this section, some results of MPC-based grade changes for a fine paper machine are given.
The grade change is from a paper with a dry weight of 53 lb/3000ft2 (86 g/m2) to a paper
with a dry weight of 44 lb/3000ft2 (72 g/m2). Both paper grades have the same reel moisture
setpoint of 4.8%. For the grade change, stock flow, 6th section steam pressure, and machine
speed are manipulated.
Figures 13 and 14 show a grade change performed on the paper machine using linear
process models, and keeping the regular MPC in closed-loop during the grade change. The
grade change was completed in 10 minutes, which is a significant improvement over the 22
minutes required by the grade change package of the plant’s previous control system. In
Figure 13, the CV trajectories are shown. Here it can be seen that although there is initially a
small gap between the actual dry weight and the planned trajectory, the regular MPC takes
action with the thick stock valve (as shown in Figure 14) to quickly bring dry weight back on
target. The deviation in the reel moisture is more obvious. This might be expected as the
moisture dynamics of the paper machine display more nonlinear behaviour for this range of
operations. The steam trajectory in Figure 14 is ramping up at its maximum rate and yet the
paper still becomes too wet during the initial part of the grade change. This indicates that
the grade change package is aggressively pushing the system to achieve short grade change
times.

Fig. 13. CV trajectories under closed-loop GC with linear models

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326 Advanced Model Predictive Control

Fig. 14. MV trajectories under closed-loop GC with linear models

Figures 15 and 16 show a grade change performed on a high fidelity simulation of the fine
paper machine. This grade change uses a nonlinear process model, and the regular MPC is
kept in closed-loop during the grade change. Here it can be seen that the duration of the
grade change is reduced to 8 minutes. Part of the improvement comes from using stock flow
setpoint instead of stock valve position, allowing improved dry weight control. Another
improvement is that the planned trajectories allow for some deviation in the reel moisture
that cannot be eliminated. Both dry weight and reel moisture follow their trajectories more
closely. At the end of the grade change, the nonlinear grade change package is able to
anticipate the need to reduce steam preventing the sheet from becoming dry.

Fig. 15. CV trajectories under closed-loop GC with nonlinear models

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Model Predictive Control and Optimization for Papermaking Processes 327

Fig. 16. MV trajectories under closed-loop GC with nonlinear models

4. Modelling, control and optimization of papermaking CD processes

To produce quality paper it is not enough that the average value of paper weight, moisture,
caliper, etc across the width of the sheet remains on target. Paper properties must be
uniform across the sheet. This is the purpose of CD control.

4.1 Modelling of papermaking CD processes

The papermaking CD process is a large scaled two-dimensional process. It involves multiple
actuator arrays and multiple quality measurement arrays. The process shows very strong
input-output off-diagonal coupling properties. An accurate CD model is the prerequisite for
an effective CD-MPC controller. We begin by discussing a model structure for the CD
process and the details of the model identification.

4.1.1 A two-dimensional linear system

The CD process can be modelled as a linear multiple actuator arrays and multiple
measurement arrays system,

Y s =G(s)U(s)+D(s), (14)
and

y s G s … G s u s
Y(s)= , G s = ⋱ , U(s)= , (15)
y s G s … G s u s

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328 Advanced Model Predictive Control

where Y s ∈ ℂ ⋅ is the Laplace transformation of the augmented CD measurement

array. The element y s ∈ ℂ i = , … , N is the Laplace transformation of the ith
individual CD measurement profile, such as dry weight, moisture, or caliper. N is the total
number of the quality measurements, and m is the number of elements of individual
∑
measurement arrays. U s ∈ ℂ is the Laplace transformation of the augmented
actuator setpoint array. The element u s ∈ ℂ j = … N is the Laplace transformation of
the jth individual CD actuator setpoint profile, such as the headbox slice, water spray, steam
box, or induction heater. N is the total number of actuator beams available as MV’s, and n
is the number of individual zones of the jth actuator beam. In general a CD system has the
same number of elements for all CD measurement profiles, but different numbers of
actuator beam setpoints. D(s) ∈ ℂ ⋅ is the Laplace transformation of the augmented
process disturbance array. It represents process output disturbances.
G s ∈ ℂ × (i = … N and j = … N in (15) is the transfer matrix of the sub-system
from the jth actuator beam u to the ith CD quality measurement y . The model of this sub-
system can be represented by a spatial static matrix P ∈ ℝ × with a temporal dynamic
transfer function h s . In practice, h s is simplified as a first-order plus dead time
system. Therefore, G s is given by

G s =P h s =P e (16)

where T is the time constant and T is the time delay. The static spatial matrix P is a matrix
with n columns, i.e., P = [p p p ] and its kth column p represents the spatial
response of the kth individual actuator zone of the jth actuator beam. As proposed in
(Gorinevsky & Gheorghe 2003), p can be formulated by,

((x − xk ) − ω)2 ((x − xk ) + ω)2

g − π − π
ω cos( ((x − xk ) − ω)) +  e ω2 cos( ((x − xk ) + ω))}
k 2
p = {e (17)
2 ω ω
where x is the coordinate of CD measurements (CD bins), g is the process gain, is the
response width, is the attenuation and is divergence. x is the CD alignment that
indicates the spatial relationship between the centre of the kth individual CD actuator and
the center of the corresponding measurement responses. A fuzzy function may be used to
model the CD alignment. Refer to (Gorinevsky & Gheorghe 2003) for the technical details.
Figure 17 illustrates the structure of the spatial response matrix P . The colour map on the
left shows the band-diagonal property of P ; and the plot in the right shows the spatial
response of the individual spatial actuator p . It can be seen that each individual actuator
affects not only its own spatial zone area, but also adjacent zone areas.

4.1.2 Model identification

Model identification of the papermaking CD process is the procedure to determine the
values of the parameters in (16, 17), i.e., the dynamic model parameters θ = {T , T }, the
spatial model parametersθ = {g, , , }, and the alignment x . An iterative identification
algorithm has been proposed in (Gorinevsky & Gheorghe 2003). As with MD model
identification, this algorithm is an open-loop model identification approach. Identification
experiment data are first collected by performing open-loop bump tests.

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Model Predictive Control and Optimization for Papermaking Processes 329

Fig. 17. The illustration to spatial response matrix P .

Figure 18 illustrates the logic flow of this algorithm. This nontrivial system identification
approach first estimates the overall dynamic response and spatial response, and
subsequently identifies the dynamic model parameter θ and the spatial model
parameter θ . h in Figure 18 is the estimated finite impulse response (FIR) of the dynamic
model h s in (16). p in Figure 18 is the estimated steady state measurement profile, i.e.,
overall spatial response. For easier notation, we omit the indexes i and j here. The key
concept of the algorithm is to optimize the model parameters iteratively. Refer to
(Gorinevsky & Gheorghe 2003) for technical details of this algorithm, and (Gorinevsky &
Heaven, 2001) for the theoretical proof of the algorithm convergence.

Fig. 18. The schematic of the iterative CD system identification algorithm

The algorithm described above has been implemented in a software package, named
IntelliMapTM, which has been widely used in pulp and paper industries. The tool executes
the open-loop bump tests automatically and, at the end of the experiments, provides a
continuous-time transfer matrix model (defined in (14)). For convenience, the MPC
controller design discussed in the next section will use the state space model representation.
Conversion of the continuous-time transfer matrix model into the discrete-time state space
model is trivial (Chen 1999) and is omitted here.

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330 Advanced Model Predictive Control

4.2 CD-MPC design

In this section, a state space realization of (14) is used for the MPC controller development,

X k+ = AX k + B U k
. (18)
Y k = CX k + D k
∑
X k ∈ℝ ⋅ ⋅ , Y k ∈ℝ ⋅ , U k ∈ℝ , andD k ∈ ℝ ⋅ are the augmented
state, output, actuator move, and output disturbance arrays of the papermaking CD process
with multiple CD actuator beams and multiple quality measurement arrays. {A, B, C} are the
model matrices with compatible dimensions. Assume (A, B) is controllable and (A, C) is
observable. In this section, the objective function of CD-MPC is developed first. Then the CD
actuator constraints are incorporated in the objective function. Finally a fast QP solver is
presented for solving the large scale constrained CD-MPC optimization problem. How to
tune a CD-MPC controller is also covered in this section

4.2.1 Objective function of CD-MPC

The first step of MPC development is performing the system output prediction over a
certain length of prediction horizon. From the state space model defined in (18), we can
predict the future states,

k = X k + k , (19)
∑
where k ∈ℝ ⋅ ⋅ ⋅ is the state prediction, k ∈ℝ ⋅ is the augmented
actuator moves. and are the state and input prediction matrices with the compatible
dimensions. H and H are the output and input prediction horizons, respectively.
The explicit expressions of the parameters in (19) are

 X(k + 1|k)   A   B   0
 X(k + 2|k)   2   AB 
A   0
 (k) =   ,   A =  ,   B =  ,
        
     H −1 
 X(k + Hp |k)  Hp  A p B
H −H
 A p u B 
A  (20)
 ΔU(k|k) 
 ΔU(k + 1|k) 
and Δ (k) =  
  
 
 ΔU(k + H u − 1|k)
The initial state X k|k − at instant k can be estimated from the previous state estimation
X k − and the previous actuator move U k − , i.e.,

X k|k − = AX k − +B U k− . (21)
The measurement information at instant k can be used to improve the estimation,

X k = X k|k − + L Y k − CX k|k − , (22)

where L∈ ℝ ⋅ ⋅ × ⋅ is the state observer matrix.
Replace the state X k by its estimation X k , and perform the output prediction k ,

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Model Predictive Control and Optimization for Papermaking Processes 331

k = X k + k , (23)
⋅ ⋅ × ⋅ ⋅ ⋅
where ∈ℝ is the output prediction matrix, given by

C Y k + |k
C Y k + |k
= diag C, C = . Also, k = . (24)
⋱
C Y k + H |k
From the expression in (24), one can define the objective function of a CD-MPC problem,

min || k − || + || k || + || k − || + ||ℱ k || . (25)

= [Y , Y , , Y ] defines the measurement targets over the prediction horizon H .
Similarly, = [U , U , , U ] defines the input actuator setpoint targets over the
control horizon H . , , , are the diagonal weighting matrices. defines the
relative importance of the individual quality measurements. defines the relative
aggressiveness of the individual CD actuators. defines the relative deviation from the
targets of the individual CD actuators. defines the relative picketing penalty of the
individual CD actuators. The matrix ℱ = diag F , , F ) is the augmented actuator
bending matrix. The detailed definition of F will be covered in Section 4.2.2. || ∙ ||ℛ is the
square of weighted 2-norm, i.e., || ∙ ||ℛ = ∙ ℛ ∙ . In general, , , , are used as the
tuning parameters for CD-MPC.
k is the future input prediction. It can be expressed by

U k|k I I
U k + |k I I I
k = = U k− + ⋱ k
, (26)
U k+H |k I I I I I

∑ × ∑
where I ∈ ℝ is the identity matrix. Inserting (26) into (25) and replacing k
by k , the QP problem can be recast into

min k Φ k +φ k , (27)

where Φ is the Hessian matrix and φ is the gradient matrix. Both can be derived from the
prediction matrices ( , , and weighting matrices ( , , , . Refer to (Fan 2003)
for the detailed expressions of Φ and φ.
By solving the QP problem in (27), one can derive the predicted optimal array k . Only
the first component of k , i.e., U k , is sent to the real process and the rest are rejected.
By repetition of this procedure, the optimal MV moves at any instant are derived for
unconstrained CD-MPC problems.

4.2.2 Constraints
In Section 4.2.1 the CD-MPC controller is formulated as an unconstrained QP problem. In
practice the new actuator setpoints given by the CD-MPC controller in (27) should always
respect the actuator’s physical limits. In other words, the hard constraints on k should
be added into the problem in (27).

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332 Advanced Model Predictive Control

The CD actuator constraints include:

• First and second order bend limits;
• Average actuator setpoint maintenance;
• Maximum actuator setpoints;
• Minimum actuator setpoints; and
• Maximum change of actuator setpoints between consecutive CD-MPC iterations.
Of these five types of actuator constraints, most of them are very common for the typical MPC
controllers, except for the bend limits which are special for papermaking CD processes. The
first and second bend limits define the allowable first and second order difference between the
adjacent actuator setpoints of the actuator beam. It typically applies to slice lips and induction
heaters to prevent the actuator beams from being overly bent or locally over-heated. The
bending matrix of the jth actuator beam, , (j = , , N can be defined by

,
− u , ,
.5 − .5 u ,
, ,
.5 − .5
− ⋱
,
u , ,
, (28)
.5 − u ,
, − ,

, F u ,
,

where , and , are the first order and the second order bend limit of the jth actuator beam
u. and , define the bend limit vector and the bend limit matrix of the jth actuator u ,
respectively. The bend limit matrix , is not only part of the constraints, but also the
objective function in (27). In (27), ℱ = diag F , , F and F = diag F , , , F , ).
The individual bend limit constraint on the jth actuator beam u in (28) can be extended to
the overall bend limit matrix F for the augmented actuator setpoint array U, i.e.,

F
U (29)
−F
where is the overall bend limit vector, and =[ , , , ] .
Similar to the bend limits, other types of actuator physical constraints can be formulated as
the matrix inequalities,

F
−F
F
U , (30)
−F
F∆ ∆
−F∆ ∆

where the subscripts “max”, “min”, “avg”, and “∆U" stand for the maximum, minimum,
average limit, and maximum setpoint changes between two consecutive CD-MPC iterations
of the augmented actuator setpoint array, U. It is straightforward to derive the expressions
of F , F , F , F∆ . Therefore the detailed discussion is omitted.
From (29) and (30), one can see that the constraints on the augmented actuator setpoint
array U can be represented by a linear matrix inequality, i.e.,

FU , (31)

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Model Predictive Control and Optimization for Papermaking Processes 333

where F and are constant coefficients used to combine the inequalities in (29) and (30)
together.
(26) is inserted into (31). The constraint in (31) is then added to the objective function in (27).
Finally the CD-MPC controller is formulated as a constrained QP problem,

min k Φ k +ϕ k
subject to, , (32)

ℱ U k− + k
where ℱ = diag F, F, , F and = diag , , , . By solving the QP problem in (32), the
optimal actuator move at instant k can be achieved.

4.2.3 CD-MPC tuning

Figure 19 illustrates the implementation of the CD-MPC controller. First, the process model
is identified offline from input/output process data. Then the CD-MPC tuning algorithm is
executed to generate optimal tuning parameters. Subsequently these tuning parameters are
deployed to the CD-MPC controller. The controller generates the optimal actuator setpoints
continuously based on the feedback measurements.

Fig. 19. The implementation of the CD-MPC controller

The objective for CD-MPC tuning algorithm in Figure 19 is to determine the values
of , , , and in (25). It has been proven that defines the relative importance of
quality measurements, defines the dynamic characteristics of the closed-loop CD-MPC
system, and and define the spatial frequency characteristics of the closed-loop CD-
MPC system. is for the high spatial frequency behaviours and is for the low spatial
frequencies (Fan 2004).
Strictly speaking, the CD-MPC tuning problem requires analyzing the robust stability of a
closed-loop control system with nonlinear optimization. An analytic solution to the QP

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334 Advanced Model Predictive Control

problem in (32) is the prerequisite for the CD-MPC tuning algorithm. However, in practice it
is very challenging; almost impossible to derive the explicit solution to (32) due to the large
size of CD-MPC problems. A novel two-dimensional loop shaping approach is proposed in
(Fan 2004) to overcome limitations for large scaled MPC systems. The algorithm consists of
four steps:
Step 1. Ignore the inequality constraint in (32) such that the closed-loop system given by
(27) is linear.
Step 2. Compute the closed-loop transfer function of the unconstrained CD-MPC system
given by (27).
Step 3. By performing two-dimensional loop shaping, optimize the weighting matrices to
get the best trade off between the performance and robustness of the unconstrained
CD-MPC system.
Step 4. Finally, re-introduce the constraint in (32) for implementation.
Figure 20 shows the closed-loop diagram of the unconstrained CD-MPC system with
unstructured model uncertainties. The derivation of the pre-filtering matrix K and feedback
controller K is standard and can be found in (Fan 2003).

Fig. 20. Closed-loop diagram of unconstrained CD-MPC system with unstructured model
uncertainties
From the small gain theory (Khalil 2001), the linear closed-loop system in Figure 20 is
robustly stable if the closed-loop in (32) is nominally stable and,

||G z z || ⇐σ G e ,∀ . (33)

Here G z is the control sensitivity function which defines the linear transfer function from
the output disturbance D(k) to the actuator setpoint U(k),

G z = K z [I − G z K z ] . (34)
The sensitivity function of the system in Figure 20 defines the linear transfer function from
the output disturbance D(k) to the output Y(k),

G z = [I − G z K z ] .
By properly choosing the weighting matrices to , both the control sensitivity function
G z and the sensitivity function G z can be guaranteed stable, and also the small gain
condition in (33) can be satisfied. The two-dimensional loop shaping approach uses G z
and G z to analyze the behaviour of the closed-loop system in Figure 20.
It has been shown that both G z and G z can be approximated as rectangular circulant
matrices. One important property of circulant matrixes is that the circulant matrix can be

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Model Predictive Control and Optimization for Papermaking Processes 335

block-diagonalized by left- and right-multiplying Fourier matrices. Fourier matrices

multiplication is equivalent to performing the standard discrete Fourier transformation.
Therefore, the two-dimensional frequency representation of G z and G z can be
obtained by,

g , e =F G e F , and g , e =F G e F , (35)
where represents the spatial frequency. F and F are m-points and n-points Fourier
matrices, respectively. The detailed definitions of Fourier matrices can be found in (Fan
2004). The two-dimensional frequent representation g , e and g , e are block
diagonal matrices. The singular values of g , e and g , e are directly linked to
the spatial frequencies.
Instead of tune g , e and g , e in full and frequency ranges, two dimensional
loop shaping approach decouples the spatial tuning and dynamic tuning by firstly tuning
the controller at zero spatial frequency, i.e., setting = , and then tuning the controller at
zero dynamic frequency, i.e., setting = . The theoretical proof of this strategy can be
founded in (Fan 2004).
From spatial tuning, the value of the weighting matrices and can be determined, and
from the dynamic tuning, the value of are determined. , as mentioned above, defines
the relative importance of quality measurements and its value is defined by a CD-MPC user.
In practice, the process gain matrix P in (16) is ill-conditioned. Similar to MD-MPC tuning,
the scaling matrices have to be applied before tuning the controller. A scaling approach
discussed in (Lu 1996) is used by CD-MPC to reduce the condition number of the gain
matrices.

4.2.4 Fast QP solver

The technical challenge of the CD-MPC optimization is how to solve the problem in (32)
efficiently and accurately. The typical scanning rate of the paper machine is 10 - 30 seconds.
Also considering the time cost of software implementation and data acquisition, the
computation time of the problem in (32) is typically limited to 5 to 10 seconds.
Different optimization techniques have been developed to solve QP problems efficiently,
such as the active set method, interior point method, QR factorization, etc. This section
presents a fast QP solver, called QPSchur, which is specifically designed to solve a large
scaled CD-MPC problem. QPSchur is a dual space algorithm, where an unconstrained
optimal solution is found first and violated constraints are added until the solution is
feasible (Bartlett 2002).
Let’s consider the Lagrangian of the constrained QP in (32)

Λ , = k Φ k +ϕ k + k − , (36)

where = ℱ and = − ℱ U k − . In (36), k is called the primary variable and

is called as the dual variable (also known as the Lagrangian variable).
At the starting point, QPSchur ignores all the constraints in (32) and solves unconstrained
QP problem. This is equivalent to set the dual variable = . By this means, the initial
∗
optimal solution k is determined,
∗
k = −Φ ϕ. (37)

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336 Advanced Model Predictive Control

∗ ∗ ∗
If k satisfies all the inequality constraints, i.e., k , then k is the
∗
optimal solution, i.e. k = k . The first elements of U k are sent to the real
process, and the CD-MPC optimization stops the search iteration.
∗
If k violates one or more of the inequality constraints in (32), all the violation
inequalities are noted, such that

∗
k , (38)
where , is the violating subset of the inequality constraints in (32), and called the
active set matrix and the active set vector, respectively. The Lagrangian in (36) is redefined
by using , . The Karush-Kuhn-Tucker (KKT) condition of the updated Lagrangian
is,

Φ k −ϕ
= , (39)
Ξ
Here Ξ = for the first searching iteration. Since Φ is non-singular (refer to Fan 2003), the
problem in (39) can be solved by using Gaussian elimination. The Schur complement of the
block Ξ is given by

= Ξ − Φ . (40)
The Schur complement theorem guarantees that is non-singular if the Hessian matrix Φ is
non-singular. From , (39) can be solved by

= + Φ ϕ
∗
= + k . (41)

k = Φ −ϕ −
The inequality constraints in (32) are re-evaluated, and the new active constraints (violated
constraints) and the positive dual variables inequalities are added into the subset pair ,
. The KKT condition of (39) is updated to derive

Φ k −ϕ
= , (42)
Ξ
where

Ξ ρ
=[ , ], Ξ = , = , and = . (43)
ρ
In the same fashion, the Schur complement of the block Ξ can be represented by,

= Ξ − Φ
Ξ ρ
= − Φ [ , ]
ρ . (44)
ρ− Φ
=
ρ − Φ − Φ

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Model Predictive Control and Optimization for Papermaking Processes 337

From (44), the new Schur complement can be easily derived from . The Schur
complement update requires only multiplication with Φ that is calculated in the initial
search step and stored for reuse. This feature makes the SchurQP much faster than a
standard QP solver. Removing the non-active constraints (zero dual variables) of each
search step is achieved easily: the columns of the Schur complement corresponding to the
non-active constraints is removed before pursuing the next search iteration.
At the current search iteration, if all the inequality constraints in (32) and the sign of dual
variables are satisfied, the solution to (42) will be the final optimal solution of the CD-MPC
controller, i.e.,
∗
= + k
(45)
k = Φ −ϕ −
U k (the first component of the optimal solution k ) is sent to the real process, and a
new constrained QP problem is formed at the end of the next scan.

4.3 Mill implementation results

CD-MPC has been implemented in Honeywell’s quality control system (QCS) and widely
deployed on different types of paper mills including fine paper, newsprint, liner board, and
tissue, etc. In this chapter, a CD-MPC application for a fine paper machine will be used as an
example to demonstrate the effectiveness of the CD-MPC controller.

4.3.1 Paper machine configuration

The paper machine discussed here is a fine paper machine, equipped with three CD actuator
beams and two measurement scanner frames. The CD actuators include headbox slice lip (63
zones), infrared dryer (40 zones), and induction heater (79 zones). The two scanner frames
hold the paper quality gauges for dry weight, moisture, and caliper. Each measurement
profile includes 250 measurement points with the measurement interval equal to 25.4 mm
(CD bin width). The production range of this machine is from 26 gsm (gram per square
meter) to 85 gsm. The machine speed varies from 2650 feet per minute (13.5 meter/second)
to 3100 feet per minute (15.7 meter/second). The scanning rates of the two scanners are 32
and 34 seconds, respectively. In order to capture the nonlinearity of the process, three model
groups are setup to represent the products of light weight paper, medium weight paper,
and heavy weight paper, respectively. All three CD actuator beams and three quality
measurement profiles are included into the CD-MPC controller. In this section, the medium
weight scenario is used to illustrate the control performance of the CD-MPC controller.

4.3.2 Multiple actuator beams and multiple quality measurements model

Figure 21 shows the two-dimensional process models from the slice lip actuators (Autoslice)
to the measurements of dry weight, moisture and caliper profiles. The system identification
algorithm discussed in Section 4.1.2 is used to derive these models. The plots on the left are
the spatial responses, and the plots on the right are the dynamic responses. The purple
profiles are the average of the real process data, and the white profiles are the estimated
profiles based on identified process model. It can be seen from comparison to the model for
Autoslice to caliper that the models for Autoslice to dry weight and to moisture have high
model fit. In general, the bump test with a larger bump magnitude and longer bump
duration will lead to a more accurate process model (better model fit). However, the open-

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338 Advanced Model Predictive Control

loop bump tests degrade the quality of the finished product and excessive bump tests are
always prevented. The criterion of the CD model identification is to provide a process model
accurate enough for a CD-MPC controller.
From the model identification results in Figure 21, we can see the strong input-output
coupling properties of papermaking CD processes. The response width from slice lip to dry
weight equals to 226.8mm. This is equivalent to 2.3 times the zone width of the slice lip CD
actuator. Therefore, each individual zone of the slice lip affects not only its own spatial zone
but also adjacent zones. As we discussed above, a CD-MPC process has two-fold process
couplings: one is the coupling between different actuator beams; and the other is the
coupling between the different zones of the same actuator beams. Considering these strong
coupling characteristics, MPC strategy is a good candidate for CD control design.

Fig. 21. The multiple CD actuator beams and quality measurement model display

4.3.3 Control performance of the CD-MPC controller

Table 3 summarizes the performance comparison between the CD-MPC controller and the
traditional single-input-single-output (SISO) CD controller (a Dahlin controller). Although
traditional CD control is still quite common in paper mills, CD-MPC is becoming more and
more popular. The significant performance improvement can be observed after switching
CD control into multivariable CD-MPC.

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Model Predictive Control and Optimization for Papermaking Processes 339

Traditional CD Multivariable CD-MPC

Paper Properties Improvement (%)
Control σ Control σ
Dry Weight (gsm) 0.40 0.24 40%
Moisture (%) 0.31 0.19 39%
Caliper (mil) 0.032 0.025 22%
Table 3. Traditional CD versus CD-MPC
Figures 22–24 provide a visual performance comparison for the different quality
measurements in both spatial domain and spatial frequency domain. It can be seen that the
peak-to-peak values (the proxy of σ indexes) are smaller when using the CD-MPC
controller. Also the controllable disturbances (the disturbances with the spatial frequency
less than Xc) are effectively rejected by the CD-MPC controller. Here X db represents the
spatial frequency where the spatial process power drops to 50% of the maximum spatial
power over the full spatial frequency band, Xc represents the frequency where the spatial
power drops to 4% of the maximum power, and / Xa represents the Nyquist frequency.

Fig. 22. Performance comparison of dry weight profiles

TC MPC

Fig. 23. Performance comparison of moisture profiles

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340 Advanced Model Predictive Control

TC MPC

Fig. 24. Performance comparison of caliper profiles

5. Conclusion and perspective

We have seen that MPC has a number of applications in paper machine control. MPC
performs basic MD control, and allows for enhanced MD-MPC control that incorporates
economic optimization, and orchestrates transitions between paper grades. MPC can also be
used for CD controls, using a carefully chosen solution technique to handle the large scale
nature of the problem within the required time scale.
While MD-MPC provides robust and responsive control, and also easily scales to demanding
paper machine applications with larger numbers of CV’s and MV’s. The MD-MPC formulation
may also be augmented with an economic objective function so that paper machine
operational efficiency can be optimized (maximum production, minimum energy costs,
maximizing filler to fibre ratio etc.) while all quality variables continue to be regulated.
In the future as new online sensors, such as the extensional stiffness sensor, gain acceptance
additional quality variables can be adding to MD-MPC. In the case of extensional stiffness,
this online strength measurement could allow economic optimization to minimize fibre use
while maintaining paper strength.
The papermaking CD process is a large scaled two-dimensional system. It shows strong
input-output coupling properties. MPC is a standard technique in controlling multivariable
systems, and has become a standard advanced control strategy in papermaking systems.
However, there are several barriers for the acceptance of CD-MPC by mill personnel: one is
the novel multivariable control concept and the other is the non-trivial tuning technique.
Commercial offline tools, such as IntelliMap, facilitate the acceptance of CD-MPC by
providing automatic model identification and easy-to-use offline CD-MPC tuning. Such
packages enable the CD-MPC users to review the predicted CD steady states before they
update their CD control to CD-MPC (Fan et al. 2005). CD-MPC has been successfully
deployed in over 70 paper mills and applied to practically all types of existing CD processes
from fine paper, to board, to newsprints, to tissues, etc. Without doubt, CD-MPC will have a
significant impact in papermaking CD control applications over the next decade.
CD-MPC offers the significant capability to include multiple CD actuator arrays and
multiple CD measurement arrays into one single CD controller. The next generation CD-

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Model Predictive Control and Optimization for Papermaking Processes 341

MPC applications are most likely to include non-standard CD measurement, such as fibre
orientation, gloss, web formation, and web porosity into the existing CD-MPC framework.
A successful CD-MPC application for fibre orientation control has been reported in (Chu et
al. 2010a). However there still exist technical challenges of controlling non-standard paper
properties by using CD-MPC; for example, the derivation of accurate parametric models
and the effectiveness of CD-MPC tuners for non-standard CD measurements.
In the current CD-MPC framework, system identification and controller design are clearly
separated. The efforts towards integrating system identification and controller design may
bring significant benefits to CD control. Online CD model identification has drawn
extensive attention in both academia and industries. A closed-loop CD alignment
identification algorithm is presented in (Chu et al. 2010b). Closed loop identification of the
entire CD model remains an open problem.

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 Advanced Model Predictive Control
Edited by Dr. Tao ZHENG

ISBN 978-953-307-298-2
Hard cover, 418 pages
Publisher InTech
Published online 24, June, 2011
Published in print edition June, 2011

Model Predictive Control (MPC) refers to a class of control algorithms in which a dynamic process model is
used to predict and optimize process performance. From lower request of modeling accuracy and robustness
to complicated process plants, MPC has been widely accepted in many practical fields. As the guide for
researchers and engineers all over the world concerned with the latest developments of MPC, the purpose of
"Advanced Model Predictive Control" is to show the readers the recent achievements in this area. The first part
of this exciting book will help you comprehend the frontiers in theoretical research of MPC, such as Fast MPC,
Nonlinear MPC, Distributed MPC, Multi-Dimensional MPC and Fuzzy-Neural MPC. In the second part, several
excellent applications of MPC in modern industry are proposed and efficient commercial software for MPC is
introduced. Because of its special industrial origin, we believe that MPC will remain energetic in the future.

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