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11 Quantitative analysis of sinters using laser-induced breakdown
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Analytical Methods Accepted Manuscript

12 spectroscopy (LIBS) coupled with kernel-based extreme learning
13
14
Received 00th January 20xx,
Accepted 00th January 20xx
machine(K-ELM)
15 Yu Ding*a, Fei Yana, Guang Yangb, Haixiu Chena, Zhensheng Songa
DOI: 10.1039/x0xx00000x
16
17 www.rsc.org/ This work explores the combination of LIBS technology and K-ELM algorithm for the quantitative analysis of total iron(TFe)

18 content and alkalinity of sinter. The main components of sinter ore samples was qualitatively identified by national
institute of standards and technology(NIST) database. 30 sinter ore samples were compressed into pellets and prepared
19
for LIBS measurement. 20 sintered samples were used as calibration samples, and their LIBS spectral data were used as
20
input variables to construct the calibration model, and the other 10 sinter samples were used as test set samples. In order
21
to verify the prediction ability of the sintered sample calibration model, the performance of kernel-based extreme learning
22 machine(K-ELM) and partial least square(PLS) models were compared by means of root mean square error(RMSE). The
23 experimental results show that the K-ELM model is superior to the partial least square regression(PLSR) model in
24 quantitative analysis of TFe and Alkalinity, both for the calibration set and the test set. The correlation coefficients
25 obtained by the K-ELM model are above 0.9, and the RMSEs are relatively lower. The method proposed in this paper can
26 quickly and effectively realize the quantitative analysis of the total iron content and alkalinity in the sinter, and can be used
27 for the analysis and control of metallurgical raw materials, reducing the analysis time and saving the production cost.
28
29 and alkalinity of sinter is crucial for the process analysis and
30 1. Introduction control of blast furnace smelting.
31 The traditional sinter analysis methods include X-ray
Sinter ore is the main raw material(more than 80%) of blast
fluorescence analysis(XRF)3, Inductively coupled plasma-
32 furnace smelting, and its quality is very important for the
atomic emission spectrometry(ICP-AES)4 and so on, but ICP-
33 sustained and stable development of iron and steel industry. A
AES analysis requires complex sample preparation, which
34 variety of iron-containing raw materials, accessories and the
hinders its application in in-situ and online analysis5. Although
35 right amount of fuel and solvent are matched for the ratio
XRF as nondestructive analysis method has been applied in
36 according to process requirements, and then the sintering.
many fields, it is very difficult to analyze light elements(the
37 Iron content and alkalinity of sinter are two important
1 atomic numbers less than 11)6. Laser-induced breakdown
indicator in the ore mining and blast furnace smelting . Total
38 spectroscopy (LIBS) technology is a kind of new material
iron(TFe) is an important control elements for blast furnace
39 element analysis technology based on atomic emission
smelting, its content plays a decisive role on the sinter taste.
40 2 spectrometry(AES) and laser as excitation source. The basic
Alkalinity is another important indicator of the sintering
41 process, and usually obtained by the ratio of the mass fraction
principle is follows: a pulsed laser from the laser is emitted,
42 of the alkaline oxide CaO to the acidic oxide SiO2. By adjusting
and is focused on the surface of the analysis material by the
43 the alkalinity of the sintered ore, the overall alkalinity of the
flat convex lens to form high temperature plasma; plasma in
44 raw material into the furnace is changed to ensure that the
the cooling process will radiate different frequencies of light,
45 blast furnace hot metal has a lower sulfur content and a ton of
the fiber is collected and coupled to the spectrometer, with
46 iron coke ratio. For a sintered ore with low alkalinity, the acid
the acquisition of the wavelength and intensity of the line to
47 achieve qualitative and quantitative analysis of LIBS
oxide content is very high, meanwhile, the melting point is
technology. Due to its advantages of rapid, multi-element
48 high, therefore it is difficult to melt in the boiler during
analysis, without complex sample pretreatment and remote
49 smelting. In order to ensure the normal operation of blast
detection7-9, LIBS was known as "a super star in the future",
50 furnace smelting, the flux must be added to form low melting
and then it has a great potential in the field of metallurgy10-13.
51 point compound. Therefore, quantitative analysis of total iron
At present, the application of LIBS technology in the
52 metallurgical industry includes raw material screening14,15,
53 School of Information and Control, Nanjing University of Information Science and product quality monitoring16,17 and waste recycling and
54 Technology,Nanjing,210044, China, E-mail: dingyuaoi@163.com
recycling18 and so on.
College of Instrumentation & Electrical Engineering, Jilin University, Changchun,
55 130061, China
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The studies of LIBS technology in raw materials mainly spectral data were used as input variables to construct the
3 concentrated in iron ore, mainly around the analysis of calibration model. In order to verify the prediction ability of
4 alkalinity and discrimination
1,19-21
, but there are less research the sintered sample calibration model, the K-ELM and PLS
5 on the sinter. The quantitative analysis of LIBS technique is were compared by means of root mean square error (RMSE).
6 based on the calibration method, and the linear relationship
7 between the integral intensity (peak area) or intensity ratio
8 (peak area ratio) and the content of the analytical line can be 2. Materials and methods
9 generated by using a series of standard samples. The common 2.1 LIBS setup
10 calibration method is often univariate, whose regression
A schematic representation of the LIBS setup is shown in Fig.
11 model is established by the contents of the trace elements in
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Analytical Methods Accepted Manuscript

1. A Q-Switched Nd:YAG laser (Beijing Beamtech Dawa 300),
12 the sample and the integral intensity of a single characteristic
which operated at the fundamental wavelength λ = 1064 nm
13 peak. However, the highly accurate quantitative analysis
with a 1 Hz repetition rate, was used as the ablation source.
14 required cannot be met by applying the univariate calibration
The pulse energy was about 150 mJ with duration of about 1
model due to laser energy fluctuation, sample heterogeneity
15 22 ns. The sample was placed onto a manual fine-tuned X-Y-Z
and matrix effect . The chemical composition of sintered
16 platform. The laser pulse was focused onto the target surface
samples is usually affected by a variety of matrix effects, and
17 using a 50mm focal length plano-convex lens at a 90° angle.
there usually are serious peaks overlap phenomenon for the
18 iron matrix spectrum, the traditional univariate calibration
The focal point was placed a few millimeters below the target
19 model cannot eliminate the impact of these factors.
surface in order to improve reproducibility of emission
20 Multivariate calibration curve is deemed an effective way to
intensity. The plasma radiation was coupled to a three-channel
21 overcome the complex matrix effects. At present, a number of
optical fiber spectrometer via a quartz lens with a focal length
22 multivariate calibration methods have been developed for ore
of 10 mm (Ocean Optics, MX2500+, wave length range:200-
23 23 500nm, resolution: 0.07nm). The spectrometer was
analysis, such as partial least square regression (PLSR) ,
synchronized with the laser using a digital delayer DG535. The
24 24
principal component regression (PCR) , artificial neural
computer switched on the laser pulse and the external trigger
25 25 26
network (ANN) , random forests (RF) and support vector
signal provided by the laser initiated the digital delayer DG535
26
19
machine (SVM) . However, some intrinsic drawbacks of these
simultaneously, and after a certain preset time delay the
27 method may hinder their application in LIBS spectra for
digital delayer triggered the spectrometer to sample spectral
28 sintered ore analysis. For example, principal component
information of the plasma. The delay time of the detector was
29 analysis (PCA) and partial least square (PLS) are linear methods,
set to 3μs in order to increase the signal-to-noise ratio,
30 which may not completely present the relationship between
meanwhile the gate width was 1 ms. In the course of the
the LIBS spectral intensity and element content. Furthermore,
31 experiment, in order to obtain a better signal to noise ratio
ANN and SVM algorithms require a longer running time in
32 spectrum, each spectrum was obtained by 10 times the signal
modeling and model parameter optimization, and are prone to
33 accumulated.
fall into over-fitting and local optimization. Extreme learning
34 27
machine (ELM) as a relatively new nonlinear method, has
35 shown its excellent performance in classification and
36 regression problems. Different from most learning algorithms
37 with gradient descent, ELM randomly initializes the weights
38 and biases between the input layer and hidden layer, while the
39 weights between the hidden layer and output layer are
40 selected by minimal norm least square method. Therefore,
41 ELM can effectively avoid the slow training speed and over-
42 fitting problems suffered by traditional neural network training
43 algorithms. Furthermore, it possesses similar high
44 generalization performance compared to other conventional
45 learning algorithms such as back propagation artificial neural
46 network (BP-ANN) and SVM. However, ELM produces a large
variation in result with the same number of hidden nodes due
47
to the randomly assigned input weights and bias. A kernel-
48 28-30 Figure 1 LIBS Setup
based extreme learning machine (K-ELM) has been
49
developed lately to solve this problem, and in which the
50 hidden layer of ELM was replaced with a kernel function. 2.2 Sinter samples and LIBS measurements
51 This study explored the feasibility of LIBS technology 30 sinter samples were provided by Shigang Jingcheng
52 combined with K-ELM for sinter iron content and alkalinity Equipment Development & Manufacturing Co., Ltd., the
53 analysis. The main components of sinter ore samples was composition information obtained by XRF is listed in Table 1.
54 qualitatively identified by NIST database. Part of sintered Each sintered sample was grinded with a ball mill and passed
55 samples were used as calibration samples, and their LIBS through a 200 mesh sieve. In order to facilitate the
56
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experimental measurement, each sample was made into a 2.3 Extreme Learning Machine (ELM)
3 sheet of about 4 mm thick, each of which was randomly The extreme learning machine (ELM)27 is a new type of
4 selected for 10 measurement sites for collection, and each feedforward neural network. Compared with the traditional
5 measurement spectrum was a superposition of 10 laser pulse single-layer feedforward neural network (SLFN), ELM has the
6 signals to increase its signal to noise ratio. A total of 300 advantages of fast speed and small error. The main idea of the
7 analytical spectra (10 analytical spectra for each sinter) were extreme learning machine is that the hidden layer parameters
8 obtained from 30 sinter samples. The number of calibration do not need to be learned but randomly assigned. For the
9 samples is 2/3 of the total sample number, and samples extreme learning machine algorithm, given a calibration set of
10 numbered 1-20# are the calibration set; samples numbered samples , the output function is
11 21-30# are the test set. The pre-processing and quantitative as follows
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Analytical Methods Accepted Manuscript

12 analysis of the sintered ore samples using K-ELM is run in L
13 MATLAB 2007a (Mathworks) environment. f L ( x ) = ∑ β i hi ( x ) = h( x )β (1)
14 Table 1. The main component content (wt.%) and alkalinity of i =1
15 sinter ore sample Where is connected to the i-th hidden node and
16 No. output node weight vector, is input
SiO2 CaO MgO Al2O3 TFe Alkalinity
17 Sample vector x corresponding to the hidden layer node output, it is a
18 1# 4.69 10.01 2.15 2.29 57.22 2.13 non-linear feature mapping.
19 2# 5.10 10.62 2.07 2.24 57.11 2.08
Unlike some traditional learning algorithms, ELM tends to
20 3# 5.00 10.94 2.18 2.26 57.16 2.19
achieve the minimum calibration error and output weight, so it
21 has better generalization performance.
4# 5.14 10.78 2.12 2.24 57.23 2.10
22 Hβ - T
2
and β
23 5# 4.82 10.08 2.08 2.15 57.52 2.09 Minimize: (2)
24 6# 5.26 10.50 2.04 2.32 57.14 2.00
Where H is the hidden layer output matrix:
25 7# 5.10 10.37 2.01 2.26 57.21 2.03
26
8# 5.07 10.48 2.02 2.32 57.24 2.07
27
(3)
28 9# 5.05 10.39 2.04 2.27 57.18 2.06
29 10# 5.10 10.59 2.07 2.34 57.13 2.08
30 11# 5.10 10.43 2.07 2.25 57.46 2.05
The weight vector β is obtained by a minimal norm least
31 squares method.
12# 4.85 10.39 2.11 2.40 57.04 2.14
32
β = H +T
33 13# 4.82 10.21 2.13 2.30 57.54 2.12 (4)
34 14# 5.05 10.67 2.18 2.26 57.27 2.11 +
Where H is the Moore-Penrose generalized inverse of the
35 15# 4.75 10.02 2.08 2.31 57.6 2.11 hidden layer output matrix H.
36 Kernel-ELM: If the feature map h(x) is unknown, define a
16# 4.77 10.14 2.14 2.34 56.91 2.13
37 kernel matrix as follows:
38 17# 5.07 10.44 2.09 2.24 57.37 2.06
Ω ELM = HH T : Ω ELM i , j = h( x i ) ⋅ h( x j ) = K ( x i , x j ) (5)
39 18# 4.92 10.27 2.04 2.32 57.05 2.09
40 19# 4.74 10.07 2.16 2.33 57.61 2.12
Different kernel functions such as linear function, wavelet
41 function, radial basis function and so on can be used for
20# 5.19 11.13 2.15 2.38 56.67 2.14 different problems.
42
43 21# 4.78 9.97 2.02 2.26 57.81 2.09 In this paper, the kernel function uses a Gaussian function
44 22# 4.80 10.25 2.14 2.30 57.21 2.14
2
45 K (u, v ) = exp(−γ u − v ) (6)
23# 4.84 9.95 2.01 2.18 57.35 2.06
46
24# 5.15 10.47 2.04 2.27 57.43 2.03
47 where µ and ν are vectors in the input space, γ is represented
48 25# 4.92 10.29 2.07 2.21 57.35 2.09
as γ = −
1
2
,and σ denotes Gaussian noise level of standard
49
2σ
26# 5.16 10.82 2.13 2.27 57.08 2.10
50 27# 5.20 10.81 2.07 2.26 57.02 2.08 deviation.
51
28# 4.93 10.51 2.16 2.19 56.86 2.13
52
53 29# 4.72 9.83 2.04 2.28 57.86 2.08 3. Results and discussion
54 30# 4.79 9.96 2.07 2.28 57.89 2.08 3.1 LIBS spectral analysis and Pretreatment of Sinter ore sample
55
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LIBS spectrum of the sinter ore sample was shown in Fig. 2,
3 which contains the emission lines of the main components of
4 the sinter. Sinter is a complex sample with many chemical
5 components, and the associated LIBS spectrum consists of
6 hundreds of atomic spectral lines. It can be seen from Fig. 2 ,
7 the characteristic lines of the main elements Al I 237.3 nm, Al I
8 257.5 nm, Fe I 248.8nm, Fe I 278.8nm, Si I 251.6 nm, Si I 288.1
9 nm, Ca I 272.1 nm, Ca I 315.8nm, Mg I 280.2 nm and Mg I
10 285.2 nm were identified in the sinter samples based on the
11 NIST database, which could be used for quantitative analysis.
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Analytical Methods Accepted Manuscript

12 Due to the fluctuation of laser energy, the inhomogeneity of
13 sample surface and complex matrix effect, the reproducibility
14 of LIBS spectra was poor. In order to reduce the difference
between the samples, it is necessary to carry out the LIBS
15 31
spectral pretreatment. In this study, normalization and
16 32
standard normal variance transformation (SNV) were used to
17 Figure 2 LIBS spectra of sinter ore sample
process the original LIBS spectra of samples numbered 1-20#
18 to reduce the inconsistency in the data and the effects of the
In order to verify the prediction ability of K-ELM calibration
19 differences in surface roughness or particle size, and the ELM
model for sinter analysis, we also established the PLSR
20 calibration models with LIBS spectra addressed by two
calibration model. We constructed the PLSR and K-ELM
calibration models with LIBS spectra addressed by normalized
21 pretreatment methods as input variable were constructed, the by maximum intensity as input variables. For the PLSR
22 predictive results were shown in Table 2. It can be seen from calibration model, the optimal latent variable obtained by the
23 Table 2, the predictive performance of the two calibration 5-fold CV is 5. And then, 5-fold CV was used to internally verify
24 models with the LIBS spectral data processed by the two both PLSR and K-ELM models, and the results are shown in
25 pretreatment methods as the input variables were improved Table 3. It can be seen from Table 3 that the predictive results
26 to some extent, but the ELM calibration model with LIBS of the PLSR model are not very satisfactory and the correlation
is poor, and the RMSE values obtained are higher, especially
27 spectra addressed by normalization by maximum intensity as
for TFe and Alkalinity, the correlation coefficients(R) are below
28 the input variable shows a better predictive performance, and
0.8, therefore, accurate quantitative analysis cannot be carried
29 the better prediction accuracy can be obtained(the R obtained
out. However, K-ELM has better prediction performance and
30 were over than 0.9600, and the RMSE obtained were less than
much higher correlation (above 0.9). Specifically speaking, TFe
0.0867). Therefore, the LIBS spectra(200-500nm) addressed by
31 and Alkalinity showed the most obvious improvement of
normalization by maximum intensity was used as the input
32 correlation coefficient. Meanwhile, their PMSE value is much
variable to construct ELM calibration model for quantitative lower than that of PLSR, and it’s probably due to the impact of
33
analysis of TFe and alkalinity in sinter ores. matrix effect and self-absorption effect. It should be noted
34 that there isn’t a linear relation between detected constituent
35 3.2 Internal Verification of K-ELM Calibration Model and Detection
contents of sinter samples and spectral intensity, hence giving
of Unknown Samples
36 outstanding prediction performance to K-ELM.
37 In this paper, Gaussian kernel function is used to construct We used prediction sets samples(21-30#) to conduct an
38 the K-ELM model, and two parameters(cost parameter C and external verification for the predictive ability of PLSR and K-
kernel parameter γ ) have an important influence on the ELM. Figure 3 shows the predicting concentration of SiO2, CaO,
39 generalization performance of K-ELM model. The two TFe and Alkalinity of the sinter samples using PLSR and K-ELM
40 parameters C and γ of the K-ELM model are optimized by grid respectively. Table 4 summarizes the RMSE and R of the
41 33
search and 5-fold cross validation(CV) with RMSE as an predicting outcomes of PLSR and K-ELM. We can see that
42 evaluation index, and the values range of C and γ is (21, 22, ..., K-ELM shows better predictions for TFe and Alkalinity, and its
19 20
43 2 , 2 ). The results show that the optimal ELM model correlation coefficient is above 0.9 with low RMSE. When it
44 parameters (C, γ) are (211, 24).
Table 2 ELM calibration models with LIBS spectra addressed by two pretreatment methods
45
46 SiO2 CaO TFe Alkalinity
Pretreatment
47 RMSE
R
RMSE
R
RMSE
R
RMSE
R
48 (%) (%) (%) (%)

49 Original LIBS spectra 0.0758 0.9047 0.1643 0.8786 0.1452 0.7857 0.0234 0.8503
50
51 Normalized by
0.0466 0.9690 0.0867 0.9655 0.0283 0.9928 0.0029 0.9983
52 maximum intensity

53 Standard normal
0.0470 0.9660 0.0940 0.9613 0.1047 0.8955 0.0169 0.9298
54 variance (SNV)
55
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2 comes to the analysis of TFe, due to the sinter matrix effect Table 4 Quantitative prediction results of sinter by PLSR
3 and other factors, both PLSR and K-ELM predicted a lower and K-ELM models
4 correlation coefficient than that of SiO2, CaO and Alkalinity,
5 along with worse RMSE. Nevertheless, since the ratio of SiO2 PLSR K-ELM
6 and CaO plays a crucial role in Alkalinity analysis, the acquired Components
correlation coefficient and RMSE are better than those of SiO2 RMSE R RMSE R
7 (%) (%)
and CaO. This is because integrating the ratio of SiO2 and CaO
8 into the calculation of Alkalinity can effectively reduce the
9 interference of other factors on single spectrum line for a
SiO2 0.1500 0.8770 0.0841 0.9734

10 more accurate quantitative analysis. Additionally, the CaO 0.3221 0.8104 0.2096 0.9516
11 stoichiometries of both PLSR and K-ELM can maximize the
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TFe 0.3151 0.8448 0.1453 0.9457

Analytical Methods Accepted Manuscript

12 effective information to reduce the interference of matrix
effect and background noise for higher accuracy of sinter Alkalinity 0.0828 0.7549 0.0733 0.9618
13
quantitative analysis. It is also worth noting that full-wave LIBS
14 spectrum line acts as an input variable to construct the
15 calibration models for SiO2, CaO, TFe and Alkalinity of sinter
16 samples and complete grade analysis. Actually, this represents
4 Conclusions
17 a good way of facilitating the process analysis and control of Based on LIBS technology and K-ELM algorithm, the
18 metallurgical materials, in which case the analysis can be quantitative analysis of total iron content and alkalinity in
19 greatly accelerated to reduce production cost and effectively sinter is realized. First, in order to reduce the difference
avoid the waste of raw materials and energies.
20 Table 3 The predictive performance of PLSR and K-ELM
between the samples, the maximum intensity normalization
21 calibration model based on 5-fold cross validation
method was used to preprocess the original LIBS spectral data
22 of the whole band and establish the calibration model. In
PLSR K-ELM order to verify the predictive power of the model, a PLSR
23 Components calibration model is established. The experimental results
24 RMSE R RMSE R
show that the K-ELM model is superior to the PLSR model for
25 (%) (%)
TFe and Alkalinity, both for the calibration set and the test set.
26 SiO2 0.0958 0.8136 0.0470 0.9860 The correlation coefficients obtained by the K-ELM model are
27 above 0.9, and the RMSEs low.
CaO 0.1774 0.8056 0.0940 0.9813
28 To sum up, the approach outlined in this article is capable
29 TFe 0.1531 0.7547 0.1047 0.9724
of quickly and accurately analyzing the total iron content and
30 Alkalinity 0.0327 0.6681 0.0169 0.9898 alkalinity of sinters. Acting as a guideline for steel-making
31 process, it can facilitate the process analysis and control of
32 metallurgical materials, in which case the analysis can be
33 greatly accelerated to reduce production cost and effectively
34 avoid the waste of raw materials and energies. Therefore, the
35 approach is going to be well received at the metallurgical
36 industry.
37
38
Acknowledgements
39
40 The authors are grateful for financial support from National
41 Major Scientific Instruments and Equipment Development
Special Funds (2011YQ030113), the Natural Science
42
Foundation of the Jiangsu Higher Education Institutions of
43
China (17KJB535002), the Natural Science Foundation of China
44
(61605083), and the Startup Foundation for Introducing Talent
45 of NUIST (2243141701023).
46
47
48 Figure 3 Predicting concentration of SiO2 (a), CaO (b), TFe (c) References
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