Intelligent Control in Drying

ADVANCES IN DRYING SCIENCE AND TECHNOLOGY
INTELLIGENT
CONTROL
IN DRYING
+
Drying
–
edited by
Alex Martynenko
Andreas Bück
Intelligent Control
in Drying
Advances in Drying Science & Technology
Series Editor: Arun S. Mujumdar
PUBLISHED TITLES
Thermal and Nonthermal Encapsulation Methods
Magdalini Krokida
Intermittent and Nonstationary Drying Technologies:
Principles and Applications
Azharul Karim and Chung-Lim Law
Handbook of Drying of Vegetables and Vegetable Products
Min Zhang, Bhesh Bhandari, and Zhongxiang Fang
Computational Fluid Dynamics Simulation of Spray Dryers:
An Engineer’s Guide
Meng Wai Woo
Advances in Heat Pump-Assisted Drying Technology
Vasile Minea
Intelligent Control
in Drying
Edited by
Alex Martynenko
Andreas Bück
CRC Press
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Library of Congress Cataloging‑in‑Publication Data
Names: Martynenko, Alex, editor. | Bück, Andreas, editor.

Title: Intelligent control in drying / [edited by] Alex Martynenko and
Andreas Bück.
Description: Boca Raton : Taylor & Francis, a CRC title, part of the Taylor &
Francis imprint, a member of the Taylor & Francis Group, the academic
division of T&F Informa, plc, 2018. | Series: Advances in drying science &
technology | Includes bibliographical references.
Identifiers: LCCN 2018010437 | ISBN 9781498732758 (hardback)
Subjects: LCSH: Drying.
Classification: LCC TP363 .I56 2018 | DDC 660/.28426--dc23
LC record available at https://lccn.loc.gov/2018010437
Visit the Taylor & Francis Web site at

http://www.taylorandfrancis.com
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To the loving memory of my father, Ivan Martynenko,
one of the founders of the Scientific School in
Control and Automation in the Ukraine
Alex Martynenko
Truro, Canada
To my family
Andreas Bück
Erlangen, Germany
Contents
Acknowledgments .....................................................................................................xi
Introduction ............................................................................................................ xiii
Editors .....................................................................................................................xix
Contributors ............................................................................................................xxi
Section i Basics of intelligent control
Chapter 1 The History of Intelligent Machines .................................................... 3

John Elliott and Alex Martynenko
Chapter 2 Computer-Aided Control in Drying ................................................... 11

Alex Martynenko
Chapter 3 Parameter Estimation ......................................................................... 27

Robert Dürr
Chapter 4 Model-Based Control: Open-Loop, Feedback, Optimal,

Adaptive, Robust ................................................................................ 53
Andreas Bück
Chapter 5 Control of Drying Processes by Static Optimization ......................... 63

Andreas Bück
Chapter 6 Dynamic Optimization in Drying ...................................................... 75

Anton J.B. van Boxtel
Chapter 7 Adaptive Control .............................................................................. 103

Robert Dürr and Andreas Bück
Chapter 8 Fuzzy Logic Control in Drying ........................................................ 125

Alex Martynenko
vii
viii Contents
Chapter 9 Artificial Neural Network-Based Modeling and Controlling

of Drying Systems: A Review .......................................................... 155
Mortaza Aghbashlo, Soleiman Hosseinpour,
and Arun S. Mujumdar
Chapter 10 Genetic Algorithms for Modeling and Control of Drying

Processes .......................................................................................... 173
Stefan Palis
Chapter 11 Deep Probabilistic Machine Learning for Intelligent Control ......... 189
Thomas Trappenberg
Section ii Applications of intelligent control
in Drying
Chapter 12 Automatic Control of Apple Drying with Respect to Product

Temperature and Air Velocity .......................................................... 211
Barbara Sturm
Chapter 13 Quality Optimized Apple Drying Using a Novel Reference

Value and Considering the “Pseudo Wet-Bulb Temperature” .......... 231
Anna-Maria Nuñez Vega
Chapter 14 Intelligent Control of Fruit Drying Based on Computer Vision

Systems ............................................................................................. 253
Mohammad Hossein Nadian
Chapter 15 An Overview on Neural Networks in Physical Properties

and Drying Technology .................................................................... 281
Fábio Bentes Freire, Flavio B. Freire, Maria do Carmo Ferreira,
and José Teixeira Freire
Chapter 16 Feedback Control of Microwave Drying .......................................... 305

Andreas Bück, Robert Dürr, and Nicole Vorhauer
Contents ix
Chapter 17 Automatic Control of Microwave Dryers ......................................... 335

Mohamed Hemis, Dennis G. Watson, and Vijaya G.S. Raghavan
Chapter 18 Control of Spray Drying Processes .................................................. 349

Andreas Bück
Chapter 19 Advanced Control in Freeze-Drying ................................................ 367

Antonello A. Barresi, Roberto Pisano, and Davide Fissore
Chapter 20 Feedback Control of Fluidised Bed Drying .....................................403

Chapter 21 Control of Conveyor-Belt Drying ....................................................... 425

Andreas Bück
Chapter 22 What Is the Future of Intelligent Systems in Drying? ..................... 441

Alex Martynenko
Index ...................................................................................................................... 445
Acknowledgments
This book was inspired by Professor Arun S. Mujumdar, who is constantly looking
for innovations in drying. Thank you, Arun, for the great opportunity to prepare
this book, which is unique in the sense that it is the first attempt to put together the
expertise of the international drying community working on smart drying technolo-
gies with the elements of artificial intelligence.
The editors thank all of the contributors and reviewers for their efforts in prepar-
ing, reviewing, and revising the contributions collected in this book. Special thanks
to Dr. Tadeusz Kudra for his invaluable professional contribution in reviewing
and proofreading the entire book. Furthermore, the continuing support of Allison
Shatkin at CRC Press, Taylor & Francis, in the organization, finalizing, and process-
ing of the book is gratefully acknowledged.
xi
Introduction
Drying is one of the oldest conservation techniques known to man. Although
it has been applied for millennia, it still poses a challenge today with respect to
preservation of key components of the dried material, even more so, if the material
is to be dried on a large scale and is subject to seasonal or local changes in its
composition. As such, the study of drying processes is the simultaneous study of heat
and mass transfer of in many cases porous materials at the interface with materials
science. In order to achieve required throughputs, maintain product quality, and
fulfill economic constraints, control of drying processes is increasingly in demand.
Intelligent control is a multidisciplinary area at the interface of control theory,
expert systems, automation, computer vision, sensor fusion, operations research, and
artificial intelligence (AI). Despite abundant literature in the area of intelligent con-
trol, there is a definite lack of knowledge and general know-how in practical applica-
tions of intelligent control in drying. The intent of this book is to fill this gap.
Intelligent Control in Drying is anticipated to be an innovative and practical
handbook for researchers and professionals in the area of drying technologies. It
provides an overview of state-of-the-art control principles and systems used in dry-
ing operations, from classical to model-based to adaptive and optimal control. At the
same time it lays out approaches to synthesis of control systems, based on the objec-
tives of drying and control strategies, reflecting the complexity of the drying process
and materials under drying.
Product quality and energy efficiency are usually two major objectives of drying.
Although some drying processes could be well-described by models with acceptable
accuracy, there is always some uncertainty in combined effects of drying factors on
the mass transfer. This challenge, especially important in the development of hybrid/
advanced drying technologies, requires optimization of drying. However, optimiza-
tion is usually specific for a particular drying technology and material under drying.
Another step forward is based on intelligent control strategies, which are equally
applicable to any drying scenario. Current research and development in intelligent
control has been driven by recent advances in drying technologies and computer-
aided instrumentation.
The scope of this book covers both fundamental and practical aspects of intel-
ligent control, sensor fusion, and dynamic optimization with respect to drying. It
consists of two parts.
Section I: Basics of Intelligent Control envelops most of the topics related to intel-
ligent control, including a brief history of intelligent machines, instrumentation and
software for computer-aided control, adaptive and model-based control, estimation
of model parameters, static and dynamic optimization, control by neuro-fuzzy and
evolutionary algorithms, and basics of machine learning. Special attention is paid
to the development of control strategies and dynamic optimization in drying. The
benefits of intelligent control for optimization of drying processes are thoroughly
discussed.
xiii
xiv Introduction
Chapter 1 introduces to readers to the history and art of intelligent machines

from the Jacquard loom to spacecraft navigation. Briefly discussed are what makes
machines intelligent, the evolution in machine intelligence, learning, and reason-
ing as required ingredients of intelligent machines, as well as societal and ethical
implications of AI.
Chapter 2 describes challenges and benefits of computer-aided control and
explains how computer applications could improve drying processes. The chapter
focuses on practical aspects of observability and controllability of drying, in par-
ticular smart sensors and instrumentation for real-time measurements, which are
prerequisites for intelligent control. Control of the product under drying is differenti-
ated from control of the drying environment. Computer interfacing with the analog
world, as well as software for data acquisition, process monitoring, control, and opti-
mization are discussed and a motivational example of computer-aided control for
ginseng drying is given.
Chapter 3 provides an introduction to estimation of the structure and parameters
of mathematical models from a limited number of experiments. Different modeling
concepts and notions of model identifiability are discussed. It is proposed that model
parameters are determined by the solution of inverse problems, while uncertainty
is estimated through the diagonal elements of a covariance matrix. This approach
could also be used for online estimation of model parameters in the process of dry-
ing. The proposed approach is illustrated with computational examples of food dry-
ing in fluidized bed.
Chapter 4 introduces the reader to general concepts and terminology of model-
based control, including open-loop, closed-loop (feedback), optimal, and adaptive
control. Practical aspects of robust control, as well as observability, controllability,
stability, and dynamics are briefly discussed.
Chapter 5 covers in an informal manner the main concepts of static optimization,
that is, steady-state or equilibrium models and some methods commonly applied
in the area of drying technology. The mathematical background to optimization,
such as the cost function and constrains, is introduced. Three classes of optimization
models, first principle models, neuro-fuzzy models, and response surface models
(RSM), along with relevant experimental design for each class, are briefly discussed.
Methods of constrained and unconstrained optimization and their applications in
drying technology are presented.
Chapter 6 gives a basic introduction to the mathematical background of dynamic
optimization, numerical methods to solve the optimization problem, and model
requirements. Calculation of optimal trajectories is based on evaluation of the
Hamiltonian of the objective function. Alternative simple algorithms for dynamic
optimization, based on piecewise linear approximation and optimization of spa-
tially distributed processes are presented. For better understanding the concept of
dynamic optimization this chapter is illustrated with examples of batch drying of
tea and broccoli.
Chapter 7 presents a condensed overview of adaptive feedback control design,
starting with a motivation and a description of the main principles. An overview
of different adaptive concepts is given that include gain scheduling, model refer-
ence adaptive control (MRAC), self-tuning regulator (STR), dual control, and
Introduction xv
auto-tuning. The advantages of adaptive control are demonstrated with two exam-
ples of MRAC and auto-tuning control applications for spray drying and conveyor-
belt drying.
Chapters 8 through 10 introduce soft computing techniques, such as artificial neu-
ral networks (ANNs), fuzzy logic, and evolutionary algorithms. Chapter 8 provides
an overview of fuzzy logic fundamentals and applications for advanced modeling
and control of drying processes. Chapter 9 focuses mainly on ANN applications,
providing an overview of the most important research works conducted on the appli-
cation of this technique in drying technology. The ANN technique has been widely
used for function approximation, pattern recognition, optimization, control, and clas-
sification problems. Chapter 10 focuses on genetic algorithms (GAs) and their typi-
cal applications for identification and control in drying processes. Identification of
model parameters is illustrated with the example of exponential model of drying
kinetics, control is illustrated with example of fluidized bed dryer, and optimization
with respect to both the quality and energy is illustrated with the examples of the
conveyor-belt and infrared dryer. Different aspects of GA applications for intelligent
control are briefly discussed.
Chapter 11 introduces inexperienced readers to techniques of machine learning
as a prerequisite for intelligent control. Numerous techniques of supervised learning,
such as support vector machines (SVM), random forest classifier (RFC), multilayer
perceptron (ANN), convolutional neural networks, and recurrent neural networks
(RNN), are explained. The concepts of deep probabilistic machine learning, rein-
forced machine learning, and Bayesian modeling are introduced. Considering that
machine learning is a not commonly used technique in drying, potential areas of
application to food drying are discussed.
Section II: Applications of Intelligent Control in Drying presents examples of
practical implementation of intelligent control. Case studies with air convective,
microwave, freeze, and fluidized-bed drying present examples of industrial dry-
ing applications with the elements of intelligent control. This broad range of top-
ics, approaches, strategies, and application examples will be useful for engineers and
scientists, as well as graduate students who want to learn more about this exciting
subject.
Chapter 12 proposes an intelligent drying control strategy based on monitor-
ing and control of product temperature instead of air temperature. This strategy is
particularly suitable for heat-sensitive products, such as fruits and vegetables. The
implication of this control strategy is non-isothermal (variable temperature) drying,
resulting in better quality of the product.
Chapter 13 elaborates on the concept of non-isothermal drying, proposing prod-
uct cumulative thermal load as an indicator of drying process intensity. Monitoring
and control of product temperature allows for distinction of two phases of drying,
when product temperature becomes equal to wet-bulb temperature. Two control
strategies are explored: (1) high air temperature in the first phase, followed by a lower
temperature in the second phase; and (2) low temperature in the first phase followed
by increase of temperature in the second phase.
Chapter 14 provides an example of intelligent control of apple and kiwifruit dry-
ing, based on a computer vision system (CVS). Monitoring of quality attributes and
xvi Introduction
energy consumption allowed for improvement of hybrid (hot air-infrared) drying by

choosing optimal control strategies. The concept and engineering design of intel-
ligent integrated control using CVS and a fuzzy logic controller for a thin-layer fruit
drying is discussed.
Chapter 15 presents examples of applications of neural networks and software
sensors in drying technology with the focus on control strategies. To illustrate
how these techniques can provide useful information for process control, three
cases are discussed. In the first case study, an ANN is used to predict the cou-
pling term in a model designed to estimate the temperature and moisture dynamic
behavior in spouted-bed drying pastes. In the second case study, the ANN model
allows for the application of a single network to estimate the drying kinetics of
heterogeneous composition of aromatic herbs for a wide range of operating condi-
tions. In the third case study, an ANN is designed to estimate the residence time
distributions of solid wastes in a rotary drum dryer. Based on the case studies, it
is demonstrated that the combination of ANN with software sensors is a powerful
tool to overcome the numerous drawbacks of purely mechanistic models of dry-
ing kinetics.
Chapter 16 presents an overview of challenges in microwave drying, such as non-
linear interaction of the material with the external electromagnetic field, nonuniform
distribution of temperature and moisture content, all causing motivation for feedback
control. Case studies of feedback controller design for different microwave drying
applications, such as spatially averaged temperature and moisture content, spatial
distribution of temperature, and spatial distribution of temperature and moisture
content in a porous solid material are presented.
Chapter 17 focuses on theoretical solutions for automatic control of microwave
dryers using software programming codes to couple mathematical models with
dryer control. Both lumped and distributed mathematical models of microwave pro-
cess are presented. A mathematical model, coupling heat and mass transfer in MW
drying, was developed to control drying of granular agricultural products, such as
cereals and oilseeds.
Chapter 18 introduces the reader to challenges and limitations in spray drying.
Classification of process models and control strategies, appropriate to achieve spe-
cific control objectives, are provided. The applications of open-loop control, static
optimization, feedback control, and optimal control for spray drying are thoroughly
discussed with references to the pertinent research.
Chapter 19 presents an overview of two control strategies in freeze drying,
namely control of the pressure in the heating chamber and/or control of the heat-
ing power. The first strategy is based on the pressure rise test, a technique for the
in-line process identification that allows estimating both the state of the product
(temperature and residual amount of ice) and the model parameters. The second
strategy exploits product temperature to optimize only the temperature of the heat-
ing element. Experimental measurements are coupled to a fuzzy logic model, rep-
resenting software sensors. In-line optimization aims at minimizing duration of the
freeze-drying and maximizing the end product quality. Examples of applications
of both approaches for process design, lab-scale units, and process management in
industrial-scale dryers are given.
Introduction xvii
Chapter 20 provides an overview of control problems in fluidized bed drying.

Feedback control of fluidized bed drying is a challenging task because of the interac-
tion between the process inputs and the outputs. Controller design study is illustrated
with examples of SISO, MIMO with static decoupling, and MIMO PI feedback con-
trol. If state feedback is used, comfortable means exist to find control laws that are
optimal in a certain case, for instance, with respect to the closed-loop dynamics or
minimal control effort.
Chapter 21 presents an introduction to control of conveyor-belt dryers, represent-
ing a spatially distributed system with significant disturbances (variations of inlet
moisture content) and time delays (influenced by the belt velocity) at the outlet. Such
problems of distributed control can be alleviated in at least two ways: installation of
additional measurement probes along the length or width of the dryer or the use of
process control algorithms suitable for managing time delays, for example, the Smith
predictor. An optimal performance can be achieved using instrumentation for early
detection of process disturbances and model-based predictive control, for example,
quadratic dynamic matrix control (QDMC).
The application part is followed by a thorough discussion of future trends in AI
developments for the benefit of drying technologies. It is expected that future AI
applications in drying will focus mostly on three areas: (1) development of software
sensors and their combinations with soft computing algorithms (ANN, fuzzy logic,
evolutionary algorithms), (2) machine learning and knowledge accumulation about
new drying processes and phenomena, and (3) multi-objective optimization of prod-
uct quality and energy efficiency.
Editors
Alex Martynenko is professor of bioelectronics and bioinstrumentation at Dalhousie
University in Nova Scotia, Canada. He earned his Bachelor of Science in agricultural
engineering from the National Agricultural University of Ukraine and his Masters
of Science in agricultural engineering from Moscow Agroengineering University.
Working on the edge of biological science and engineering, he is developing inno-
vative drying and food-processing technologies. While at the University of Guelph
in Ontario, Canada, where he received his PhD, he developed minimal processing
technology for ginseng root drying. This technology, developed for Ontario gin-
seng growers, significantly decreases energy requirements and improves the quality
of ginseng drying. In 2007, he established a framework for a strong and innova-
tive imaging research program at Dalhousie University, with an emphasis on two
major research themes: (1) multispectral imaging of food quality in drying and (2)
optimization in drying operations. Throughout his career, Dr. Martynenko has suc-
cessfully managed a number of research projects related to the engineering of inno-
vative processing technologies and control systems. He has successfully completed
28 research projects, including three international projects, and presented the results
of his research in peer-reviewed scientific journals (62) and at international confer-
ences (46). He is an author and coauthor of four books and 10 patents, requested
author of two reviews in drying technology, and an instructor for industry-oriented
short courses.
Andreas Bück holds a Doktoringenieur (PhD) in chemical engineering and a

Diplomingenieur in engineering cybernetics (control engineering), both from Otto
von Guericke University, Magdeburg, Germany. After several years as assistant
professor for particle formation processes in fluidized bed processes, he is now
professor for “Particle Technology” at Friedrich-Alexander University, Erlangen-
Nuremberg, Erlangen, Germany, heading a research group on solids processing. His
main research focuses on the investigation of particle formation processes—drying,
granulation, agglomeration, crystallization—as well as development of online/inline
measurement techniques, and process control schemes for these processes. He has
(co-)authored more than 50 peer-reviewed works in scientific journals in these areas
since 2013 and has contributed to several standard references in the fields of drying,
heat transfer, and particle formulation.
xix
Contributors
Mortaza Aghbashlo Davide Fissore
Department of Agricultural Machinery Dipartimento di Scienza Applicata e
Engineering Tecnologia
Faculty of Agricultural Engineering and Politecnico di Torino
Technology Torino, Italy
College of Agriculture and Natural
Resources Fábio Bentes Freire
University of Tehran Department of Chemical Engineering
Tehran, Iran Federal University of São Carlos
São Carlos, Brazil
Antonello A. Barresi
Dipartimento di Scienza Applicata e Flavio B. Freire
Tecnologia Department of Civil Engineering
Politecnico di Torino Federal University of Technology – Paraná
Torino, Italy Curitiba, Brazil
Anton J.B. van Boxtel José Teixeira Freire

Biobased Chemistry and Technology Department of Chemical Engineering
Wageningen University and Research Federal University of São Carlos
Wageningen, the Netherlands São Carlos, Brazil
Andreas Bück Mohamed Hemis

Institute of Particle Technology Department of Technology
Friedrich-Alexander University University Djillali Bounaama Khemis
Erlangen-Nuremberg Miliana
Erlangen, Germany Ain Defla, Algeria
Robert Dürr Soleiman Hosseinpour

Department of Chemical Engineering Department of Agricultural Machinery
Katholieke Universiteit Leuven Engineering
Leuven, Belgium Faculty of Agricultural Engineering
and Technology
John Elliott College of Agriculture and Natural
Nova Scotia Teachers College Resources
Truro, Nova Scotia University of Tehran
Canada Tehran, Iran
Maria do Carmo Ferreira Alex Martynenko

Department of Chemical Engineering Department of Engineering
Federal University of São Carlos Dalhousie University
São Carlos, Brazil Truro, Canada
xxi
xxii Contributors
Arun S. Mujumdar Vijaya G.S. Raghavan

Department of Bioresource Engineering Department of Bioresource
McGill University Engineering
Sainte Anne de Bellevue, Quebec, McGill University, Macdonald
Canada Campus
Sainte-Anne-de-Bellevue, Québec,
and
Canada
Department of Food Science
University of Queensland Barbara Sturm
Australia Process and Systems Engineering in
Agriculture
Mohammad Hossein Nadian Department of Agricultural and
Department of Biosystems Engineering Biosystems Engineering
Ferdowsi University of Mashhad University of Kassel
Mashhad, Iran Witzenhausen, Germany
and
Thomas Trappenberg
Brain Engineering Research Center Faculty of Computer Science
Institute for Research in Fundamental Dalhousie University
Sciences (IPM) Halifax, Nova Scotia
Teheran, Iran Canada
Stefan Palis Anna-Maria Nuñez Vega

Institute for Automation Engineering HTWG Konstanz
Otto von Guericke University Institute of Applied Thermo- and Fluid
Magdeburg Dynamics (IATF)
Magdeburg, Germany Konstanz, Germany
and
Nicole Vorhauer
Department of Electrical Power Systems Institute of Process Engineering
National Research University “Moscow Otto von Guericke University
Power Engineering Institute” Magdeburg
Moscow, Russian Federation Magdeburg, Germany
Roberto Pisano Dennis G. Watson

Dipartimento di Scienza Applicata e Department of Plant, Soil, and
Tecnologia Agricultural Systems
Politecnico di Torino Southern Illinois University
Torino, Italy Carbondale, Illinois, USA
Section I
Basics of Intelligent Control
1 The History of
Intelligent Machines
John Elliott and Alex Martynenko
CONTENTS
1.1 What Makes Machines Intelligent? .................................................................. 5
1.2 The Evolution of Machine Intelligence ............................................................6
1.3 Machine Reasoning .......................................................................................... 6
1.4 Machine Learning ............................................................................................7
1.5 Societal Implications of Intelligent Machines ..................................................8
1.6 Ethical Implications of Intelligent Machines ...................................................8
References ..................................................................................................................9
Until the Jacquard loom of about 1799, many automatic devices were designed
to perform only one function. Prehistoric fountains would close a valve when an
assigned water level was reached. Hero’s steam apparatus would open or close a
door depending on circumstances. Early sound recording devices similarly created a
stylus mark on a clay or wax cylinder which could later be used as a playback pattern.
Medieval animatrons (artificial animals or people) would perform a set of physical
activities in a prescribed sequence. In the latter case, gears, weights, springs, and
pulleys were the usual motive and organizing agents.
Jacquard’s innovation was to develop a way that a machine could perform differ-
ent functions. Different weaving patterns could be commanded by placing different
patterns of holes on a cardboard that controlled the loom arms. Patterns could be
sequenced by feeding one card after another to the loom (Figure 1.1).
By the 1840s, Ada Lovelace proposed the same approach for Charles Babbage’s
Analytical Engine. His first device, the Difference Engine, had a single purpose—to
compose tables of numbers. The Analytical Engine was to be multi-purpose, based
on Ada Lovelace’s if-then rules. The commands would be given by arrangements of
slots on cards that would be fed to the machine. Although a detailed layout of the
Analytical Engine was developed, the prototype of the device has never been built.
Devices commanded by slots on cards were also developed in the late 1800s as player
pianos. When a pianist struck a piano key, a specific slot would be cut on a card. The piano
could then replay the piece by connecting the slots to the piano keys. At the very end of the
typewriter era, as word processors entered the office, some typewriters maintained a kind
of mechanical memory by having each key strike a soft clay that held the key shape. The
typewriter could retype to paper whatever had been marked in the clay or wax.
The Jacquard loom and Lovelace/Babbage command by slots on paper or cardboard
represented the step towards machine or hardware, which could have multiple purposes
3
4 Intelligent Control in Drying
FIGURE 1.1 Jacquard loom with punch cards ca. 1840. (From Smithsonian NMAH.)
because of software. Lovelace, for example, suggested that the Analytical Engine might
move beyond numbers to deal with music and other arts. Interestingly, that single-purpose
machine programmed by its initial design did not require human presence after initial
design, while the multi-purpose device required human intelligence for re-programming.
An important concept introduced in early-stage analytical machines was
recursion. A program that once had produced a numerical solution could perform
multiple operations on that solution. Babbage called it “eating its tail.” In pictures,
Escher drew a hand drawing itself (Figure 1.2).
FIGURE 1.2 The concept of recursion. (Drawing Hands, courtesy of M. C. Escher.)

The History of Intelligent Machines 5
1.1 WHAT MAKES MACHINES INTELLIGENT?

The utility of an intelligent machine is in one sense beside the point. If a technologi-
cal task can be accomplished that has not been done before, or not done in a specific
way, or not done as quickly as before, then it is a worthwhile achievement. The earli-
est automobiles could not go as far or as fast as a horse, but their mobility was an
achievement.
If it is agreed that intelligent machines differ in their degree of intelligence, then
the question is how to measure machine intelligence. Blaise Pascal’s device did sums
and differences. Babbage’s analytical machine performed these operations, remem-
bered them, and performed further actions on the results. Babbage’s output was more
sophisticated in that it was the result of recursive operations and was memorized in
print. One way of rating an intelligent machine might be by the utility of the out-
put. However, if we use utility as a measure of machine intelligence, the conclusion
will depend on the environment. A waterwheel would be unintelligent in the desert.
Ironically, a windmill might still be useful underwater.
Perhaps the lowest level of machine intelligence is a machine that can, once
constructed, perform its designed task autonomously. A waterwheel or a stream-fed
bowl which never overflowed because of an escape valve might be such examples.
Most famously Watt’s steam engine governed or regulated its speed by using a rotat-
ing arm to shut down the steam feed when the desired speed had been exceeded.
Once a machine can have different purposes it has a higher intelligence. This flex-
ibility derives from its ability to react to different programs. A programmable
machine is considered partially intelligent since it can have as many purposes as
it can have programs. Chronologically, these take the form of replaced barrels in a
barrel organ, cards on a Jacquard loom, or a memory storage cog and card system
in the Babbage analytical machine. The application of electricity in the twentieth
century accelerated these tasks and reduced machine size but did not alter machine
structure or concept.
Machines with lower intelligence levels perform assigned tasks and stop when
the assignment is completed. More complex assignments can chain tasks or require
further action on the achieved purpose (Babbage’s “eating its tail”). Although given
a general purpose, autonomous machines may use a range of actions to achieve that
purpose. If they are autonomous, they will have a way of detecting the environment.
Their decision operation is usually a Boolean if-then approach, although Babbage
and Lovelace used this approach before it was given this title.
Babbage’s first computer was a big step towards intelligent machine. It had input-
punched cards, memory storage area, a processing area and output-a bell, and a
printer. Although Babbage’s machine could perform loop operations on the results
of mathematical procedures or “eat its tail,” it could not develop new programs, only
accept them from an external source.
Following this logic, it could be assumed that an intelligent machine would have
a meta-program which would itself be able to create sub-programs for new assign-
ments or contexts. The question of what is an intelligent machine could be rephrased
as what makes a person intelligent and how does that person differ from a self-
programming machine. This in itself is a moral question.
1.2 THE EVOLUTION OF MACHINE INTELLIGENCE

Computer theoreticians of the last half of the twentieth century discuss computer
intelligence as it compares to that of humans. Alan Turing considered a machine
intelligent if it could successfully disguise itself as human through words. This
human would be prejudiced or act logically within its own point of view, introducing
a subjective element in the decision making.
The simple model of evolution in machine intelligence could be borrowed from
natural evolution. In the fundamental work The Phenomenon of Man, priest and
philosopher Pierre Teilhard de Chardin (1959) assumed a level of life essence in
inanimate objects which increased with life complexity through plants to simpler
and more complex animals to man and eventually angels. He insisted that life was
evolving each level to a higher level, so that man would at some point reach the
angel level. He also incorporated degrees of self-awareness into this hierarchy. If
this model were applied as an analogue for machine intelligence, we could describe
low-level intelligent machines as those that once constructed could achieve their
single purpose autonomously. A medium-intelligence machine could have its pur-
pose changed by changing its programming (slotted cards, changed barrels in a
barrel organ, differing impressions in the wax cylinder of an early phonograph).
A higher level machine might have sensory devices to indicate if the environment
had changed and if goals had been achieved. At the highest level, the machine
would set its own goals.
Unless we are designing intelligent machines to be companions, the quality of
the man-machine interface should not be the primary concern. An argument could
instead be made for self-determination as the pinnacle of machine intelligence. If a
machine could create new programs for novel environments based on its own per-
ceptions, it would be replacing human intervention at each stage.
1.3 MACHINE REASONING

The ability to learn depends on the mode of reasoning, which could be either deduc-
tive or inductive. Deductive reasoning requires following rules, whereas inductive
reasoning creates rules from experience. The choice depends mostly on computer
memory. A computer with a small memory could accomplish its tasks by follow-
ing a finite set of rules. The memory store would only need to store these rules. If a
task or purpose changed, the memory could be flushed of the old rules and given the
required new ones. Such a machine would still be intelligent and able to accomplish
its task. It would not, however, be a learning machine and would not be able to evolve
in its procedures or purposes.
A computer with a large memory and fast processor would be able to use recur-
sion (trial and error) to discover what approaches were optimal for each specific
purpose or environment. When a new environment or purpose were encountered,
the computer could search its memory to discover whether the problem had been
previously encountered. If the problem was new, the machine could try the closest
previous approximation of the problem and problem solution.
The computer would act inductively if from previous problem solutions it created
a pattern that could be stated as a rule. In this case, the computer would start by pro-
cessing inductively, and then functioning inductively. Recursion could enable a loop
of this process so that it would “eat its tail.”
An example of deductive reasoning is the programmable logic controller (PLC)
or nanocomputer, functioning by rules, not by induction. The learning computer, on
the other hand, can use its experience to evolve in rule-setting and problem-solving
processes, but it will require a larger memory.
Memory storage can be off-site if required. The VIC-20 personal computer had
3.5k usable memory. Large programs could be run despite this by accessing data
when needed from attached tape drives. The Atari 2600 game machine also had a
very small memory. Extra memory was stored in either inserted game cartridges or
from attached tape drives. Perhaps a very small computer with small memory could
learn with the aid of access to external memory.
Deductive machines, though, do not need access to large memory, either internal
or external. Inductive machines will need large memory to store the results of trial
and error in order to create rules as a result of learning.
1.4 MACHINE LEARNING

Learning is a required mode for an increase the level of intelligence. Machine learn-
ing implies different learning strategies, based on inductive reasoning. Learning
of new rules could be achieved in two modes: either supervised or unsupervised.
In supervised learning, the output datasets are provided to train the machine and get
the desired outputs; in unsupervised learning, no datasets are provided, instead the
data are clustered into different classes. Supervised learning problems are catego-
rized into regression and classification problems. In a regression problem, we are
trying to predict results within a continuous output, meaning that we are trying to
map input variables to some continuous function. In a classification problem, we are
instead trying to predict results in a discrete output. In other words, we are trying to
map input variables into discrete categories.
The subjective element in supervised learning could be reduced by introducing
expert systems, generalizing information and choices that the interviewed expert(s)
is aware of. It could be argued that at least in the subject matter field for which
the expert was examined, the system would be indistinguishable from that person.
However, this system would be a closer approximation of a fully intelligent machine.
In unsupervised learning, if the machine learns by trial and error, then a large
memory storage capacity will allow all decisions to be based on pattern match-
ing. Unsupervised learning is using algorithms of clustering data with Principal
Component Analysis (PCA), Average Linkage Method (ALM), Self-Organising
Maps (SOM), and so on. Does the current situation match a situation previously
encountered? If yes, then the action found in memory can be used again. An intel-
ligent machine could, instead of searching its memory, ask if the current situation
matched a rule. The rule could be specific, such as whether a temperature is achieved,
or broader, such as whether an optimal solution is achieved.
1.5 SOCIETAL IMPLICATIONS OF INTELLIGENT MACHINES

There are societal implications of intelligent machines. The first intelligent
Jacquard’s loom machine increased unemployment in the weaving industry. Workers
correctly assumed that the loom’s greater efficiency would reduce the number of
laborers required. The Jacquard loom was condemned not because it was intelligent,
but because it was more efficient, a part of the Industrial Revolution that would
lead twenty years later to the Luddite riots in England. Automation today is seen by
many as source of job loss. It has been alternately argued that industrial automation
reduces the physical pain and injury caused by the eliminated jobs.
On the other hand, during World War II, Turing led the British team that devel-
oped the computer-aided tool for deciphering of German military codes, which may
have shortened the war. Nowadays, the level of artificial intelligence of military sys-
tems is a significant factor of military balance control. Intelligent machines showed
themselves extremely useful in exploration of outer space and solar system.
1.6 ETHICAL IMPLICATIONS OF INTELLIGENT MACHINES

Ethical issues are of primary concern if the intelligent machine is designed to be a
human companion. Some examples of intelligent machines, where the quality of the
man-machine interface is the major determinant, include health-care robots, mili-
tary robots, and autonomous vehicles. Their functioning could encounter multiple
ethical dilemmas, which are difficult to formalize in a rigorous mathematical sense.
A discussion of machine ethics could be considered to be anthropomorphic. If
ethical behavior implies a set of moral rules to be followed, then only a human can be
considered to have morality. In that sense neither animals nor machines have ethical
behavior. Isaac Azimov (1950) suggested a set of robot rules, which essentially stated
that robots could not harm humans. It could be argued that a computer could be pro-
grammed to obey these rules or any other morality set. Alternatively, Arthur Clark
(1968) imagined a computer, HAL 9000, which by acting through self-preservation
could harm humans. An ethical machine would have a software governor that, while
allowing it to perform individual assigned tasks, would keep in mind the greater
good as a limiter.
If ethics is the overriding principle that guides individual actions, then animals
and humans can be considered to follow ethical behavior. These behaviors are goal
or purpose related. Animal goals in the macro sense tend to be innate. Biologists
consider animal purpose to be perpetuation of the species. Individual animal sur-
vival is a subset of this aim. While biologists also apply this rule to humans, theolo-
gians argue for a Creator-human relationship establishment. Humanists might state
that human purpose is self-actualization. The Jesuit philosopher Chardin attempted
to blend these three points of view.
In the world of non-intelligent machines, usually it is the external operator who
would make ethical decisions for machines that achieve their goal and then stop. If
it is the car driver, decisions are made based on the situation, experience, and com-
mon ethical principles. If it is an autonomous self-driving car, people crossing a road
could be recognized too late for the car brakes to prevent a collision. In this situation,
the car intelligence is limited to the least bad solution. For example, it could select
to injure the driver by driving off the road so that the larger number of pedestrians
would be safe. The if-then question here is what the greater common human good
is. If there were more passengers than pedestrians, then the car would aim for the
pedestrians. This is ethically an Azimov car. If it were an Arthur Clark car and was
ruled by self-preservation, it would ask what would do the least damage to the car,
not the humans.
Autonomous cars are the near future. Machine ethics governors will have to be
installed. Military drones are the present. If they carry weapons and not simply
cameras, we must assume machine ethics have been considered. So far as we know, at
all times a human monitors and controls these drones except when the man-machine
connection is lost. Most drones have a set of instructions that take over when this
autonomous mode is reached. They may be commanded to remain in place or return
to base. We have not been told that the default is to continue the attack.
So far as we know the ethical imperative of autonomous cars, outside of war,
would be to not harm humans. The ethics of a military drone could be to not harm
the humans who own the drone, but to damage humans targeted in the instructions.
This assumes military drones partially agree with Azimov: humans should not be
harmed. If they are Arthur Clark drones, they will ask what is best for themselves.
While they may drop bombs, they will not commit to a suicidal dive on the target.
This kind of decision-making would be absurd from the human point of view, but
might happen if self-preservation is included in the drone’s set of rules.
The concern with the appearance of autonomous intelligent machines is what
kinds of rules will be included in the machine commands that will insist on ethi-
cal behaviors when the machine creator is not present. A concern about the ethical
commands will be whether intentionally or inadvertently the machine acts to not
harm humans or from the point of view of self-preservation. Ideally, self-driving cars
either need a memory of all possible driving circumstances from which to choose, or
a way of composing new programs for unforeseen circumstances.
REFERENCES
Asimov, I. (1950). I, Robot. Bantam Books, New York.
Chardin, P. T. (1959). The Phenomenon of Man. Harper Perennial, New York.
Clark, A. (1968). 2001: A Space Odyssey. New American Library, New York.
Padua, S. (2015). The Thrilling Adventures of Lovelace and Babbage: The (Mostly) True
Story of the First Computer. Penguin Books Limited, London, UK.
2 Computer-Aided
Control in Drying
Alex Martynenko
CONTENTS
2.1 Sensors and Instrumentation......................................................................... 13
2.2 Biomimetic Sensors ...................................................................................... 15
2.3 Computer Vision ........................................................................................... 15
2.4 Spectroscopy ................................................................................................. 16
2.5 Control and Automation................................................................................ 17
2.6 Control of Drying Environment.................................................................... 18
2.7 Control of Product under Drying .................................................................. 18
2.8 Computer Interface ....................................................................................... 19
2.9 Software for Control Applications ................................................................ 19
2.10 Example of Computer-Aided Control for Ginseng Drying .......................... 21
2.11 Future Trends ................................................................................................ 23
References ................................................................................................................24
Computer-aided control is becoming popular in the food industry because of the

multiple benefits offered by computers, including remote access, extended function-
ality, and the ability to collect and organize information flow and databases. These
features are quite important for scheduling of complex operations and process
traceability. Computer-aided control in drying is particularly important because of
nonuniformity, nonstationarity, and sometimes significant uncertainty of a drying
process. In many cases, drying is targeting several objectives, such as maximization
of food quality and minimization of production cost, which requires multi-objective
optimization.
Computer control could be used on different levels: from the control of single
dryers to the control of production lines. Menshutina and Kudra (2001) discussed the
range of problems to be solved by computer control with different objectives:
Apparatus level: Control of drying conditions (temperature, humidity, airflow,

product flow) with respect to recommendations on a drying process. At
this level, computer-aided control is applied to actuators with the objective
of maintaining or changing drying conditions according to the particular
drying schedule. One of the functions of computer-aided control at this level
is fault detection.
11
Process level: Computers are required for mathematical modeling, process

simulation, and statistical analysis. At this level, transport phenomena
and material physicochemical properties are considered. The objective
is optimization of a given drying process in terms of drying rate, energy
consumption, and product quality. The major tools to achieve this goal
are models providing both static and dynamic (trajectory) optimiza-
tion. The recent trend in research publications shows that mathematical
and statistical models, mostly used in the past century, are gradually
being substituted by more advanced evolutionary, neural networks and
fuzzy logic models. Accordingly, simple sensory signals are substituted
rather with information flows. Sensor fusion and processing of informa-
tion require computational power of modern computers both as process
observers and controllers. However, the principles of process control are
still the same: feedback, feedforward, and adaptive control. Intelligent
control is basically either one or a combination of these traditional con-
trol techniques.
Process monitoring: It is another computer-aided tool used for better trace-
ability or knowledge accumulation. In the latter case it could be combined
with machine learning (supervised or unsupervised). The combination of
soft sensors, machine learning, and decision-making framework would
constitute intelligent computer-aided control, applied not only for compete
process automation but also for process optimization with respect to mul-
tiple criteria.
Production level: The objective of this level is product consistency, resource
management, and full automation of the production line. Therefore,
computer-aided control at this level is mostly used for automated inspection,
classification, and quality control. This computer control could optimize
production logistics including production cycle planning, scheduling,
transportation, and so on. The optimization at this level is based on micro-
and macroeconomic analysis and often requires remote access to databases
and other computer networks.
This chapter is focused on using computer-aided control for drying process
improvement. Computer-aided control requires appropriate sensors/instrumen-
tation to make process observable and actuators to make process controllable.
In both cases, interfacing computer with peripheral devices and sometimes
remote access to data are becoming critical. The equally important aspect, which
makes computer-aided control unbeatable as compared to programmable logic
controllers (PLCs), is the universal and flexible computer software, already pre-
developed for control applications. Computer software for real-time data mining,
modeling, and knowledge development has a great potential for the improvement
of control strategies and process optimization. Integration of soft computing
with machine learning opens new horizons for computer-aided control applica-
tions in drying.
Computer-Aided Control in Drying 13
2.1 SENSORS AND INSTRUMENTATION

Sensors are mechanical or electronic devices, modules, or subsystems with the pur-
pose to measure changes in environment and send information to a PLC or computer.
Sensors usually resemble human senses, such as vision, hearing, smell, touch, taste;
however, they go far beyond human sensibility in terms of numeric and repeatable
evaluation of environmental variables, such as temperature, humidity, air velocity,
and so on. To reflect physical changes in environment, sensors use different physi-
cal effects, like the Seebeck effect in thermocouples or the Fourier cooling effect in
hot-wire anemometers.
An excellent review of sensors’ basic physical principles is presented in
Chemical Engineering (Anonymous, 1969). The critical characteristics of a
good sensor are sensitivity (it is sensitive to the measured property); selectivity
(insensitive to any other property likely to be encountered in its application); and
noninvasive (does not influence the measured property). On the top of this, the
choice of the sensor is determined by its reliability, lifetime, dimensions, inertia,
output (analog or digital), accuracy, linearity, offset, range of measurements,
cost, and so on.
For linear sensors, the sensitivity is defined as the ratio between the output signal
and measured property. For example, if a thermocouple sensor measures tempera-
ture and has a voltage output, the sensitivity has units [V/K]. For nonlinear sensors
the sensitivity is not constant within the range of measurements. For example, a
thermistor with nonlinear transfer function requires calibration for the particular
range of measured temperatures.
Accuracy of the sensor is limited by systematic and random error. Systematic
error is possible to compensate due to the calibration or signal conditioning.
Random error is determined by the sensor’s resolution or the smallest detectable
change in the measured property. The resolution of an analog sensor is determined
by signal-to-noise ratio and potentially could be improved by filtering. In contrast,
the resolution of a digital sensor is determined only by the resolution of the digital
output.
Chemical sensors and biosensors constitute a special class of sensors provid-
ing information about the chemical composition of its environment. Such sensors
use cells, proteins, nucleic acid, or biomimetic polymers as primary sensitive
elements. Their response is converted in electrical signal by transducer (usually
semiconductor).
Soft (or software) sensors are essentially virtual sensors combining nonlin-
ear (and sometimes nonselective) physical sensors with mathematical models
for linear transformation and further use in the system observers. Mathematical
model and sensor fusion (if necessary) are considered the key elements of the
soft sensor.
Instrumentation is a collective term for measuring instruments used for indicat-
ing, direct reading, and recording of measured quantities. The term instrumentation
may refer to a device or group of devices used for direct reading, or when using many
sensors, may become part of a complex industrial control system (De Sa, 2001). It
should be noted that instrumentation for computer-aided control systems includes
only analog or digital sensors, which are capable of producing a real-time data
stream. In this case dynamic properties of sensors, such as inertia and time delay
become critical for control.
Drying process could be batch or continuous, lumped or distributed. Each case
requires careful choice of sensors and instrumentation for the system observer. The
old school of drying presumed only observation and control of environmental vari-
ables (temperature, humidity, air velocity), without consideration of product quality
(Figure 2.1). It did not assume any observability of product.
In contrast, the new school of drying (Su et al., 2015) considers product qual-
ity a central concept in drying. The new generation of smart drying technologies
requires advanced instrumentation for observation of product quality attributes
(moisture content, shrinkage, color, texture, physicochemical properties, etc.)
and their changes, induced by a particular combination of drying factors. This
special class of sensors and instrumentation, reflecting key quality attributes
of the product and their changes during drying, includes biomimetic sensors
(e-nose, e-tongue), computer vision, and spectroscopy. Computer vision and bio-
mimetic sensors give information about customer-perceived quality attributes,
while spectroscopy mostly reflects nutritional and nutraceutical value of the
product.
Ts Ta
Dryer Product
Ta
Thermocouple
(a)
Ts Ta
Hs Ha
Dryer Product
νs νa
AN
HIH
TC
(b)
FIGURE 2.1 One-loop (a) and multiple-loop (b) feedback controllers of drying environ-
ment: T—temperature, H—humidity, v—air velocity, AN—anemometer, HIH—humidity
sensor, TC—thermocouple. Subscripts: a = air, s = set point.
2.2 BIOMIMETIC SENSORS

These sensors measure smell and taste, which affect customer perception of quality
and market value of food product. Aroma monitoring is critical for multiple food
unit operations, such as sorting, drying, packaging, and storage. In combination with
computer software and data analysis, these sensing systems provide cost-efficient
real-time solutions for process control and optimization. They replace expensive
analytical assays in complex analyses of quality and authenticity of foods. E-noses
usually consist of the array metal-oxide semiconductors, selectively sensitive to par-
ticular group of aroma components. There are a number of e-noses, available on the
market, for example zNoseTM (Electronic Sensor Technology, CA, USA), EOS 835
or EOS 507 or MultiNose (SACMI, Imola, Italy), or TGS (Figaro, IL, USA). The
zNose was successfully used for aroma monitoring during apple and carrot drying
(Raghavan et al., 2010). The information about concentration of aroma components
in the drying chamber was used to control the microwave drying process. Although
biomimetic sensors are not ideally selective and robust, the number of their applica-
tions in drying keeps on growing.
2.3 COMPUTER VISION

The range of applications of computer vision for product inspection, monitoring,
and control in the drying industry is increasing exponentially. The first appli-
cations of computer vision in food processing focused mostly on relationships
between visual appearance of foods and quality attributes. Real-time computer
vision as an intelligent observer makes it an excellent tool for feedback control
of drying. All computer-vision applications could be divided into two catego-
ries depending on whether the information was obtained from analysis of indi-
vidual images or from scrutinizing changes in sequential images. Examples of
information from individual images include morphological features (size, shape,
surface area, roundness, etc.), color, and texture. These are more product-related
attributes and can be obtained by morphological and color image processing.
The value of time-series imaging was first recognized by Watano and Miyanami
(1995) and Saadevandi and Turton (1998) in the powder drying industry. They
and their followers discovered important process-related information, concealed
in sequential images, including particle velocity, acceleration, and material flow
pattern. This was the first step to feedback control of the granulation process
(Watano, 2001). The first application of time-series imaging for temperature con-
trol in convective drying was related to ginseng drying (Martynenko, 2006).
This study revealed ability of time-series imaging to identify critical control
points in quality degradation. This concept opened the door for the imple-
mentation of different control strategies, for example multi-stage control of
air temperature with respect to moisture content (Martynenko, 2006), shrink-
age (Davidson et al., 2009), product surface temperature (Sturm et al., 2014;
Nadian et al., 2016), or even dynamic optimization of the drying process with
respect to quality (Martynenko and Yang, 2007). Surprisingly, the number of
applications of computer vision for intelligent control of drying is very limited.
Probably, it can be explained by the interdisciplinary nature of this research,

which requires basic knowledge of drying principles, image analysis, computer
interfacing, and process automation.
2.4 SPECTROSCOPY
Near-infrared reflectance (NIR) spectroscopy in the range of 780–2500 nm is
used to identify molecules containing CH, OH, and NH chemical bonds. The
NIR spectroscopy technique was employed to estimate moisture content of pow-
der during granulation process in a fluidized bed dryer (De Beer et al., 2011).
NIR spectroscopy was also used in the intelligent control system of sausage dry-
ing for in-line determination of product water activity (Stawczyk et al., 2004).
The potential of NIR for online monitoring of acrylamide, moisture, and oil
content was investigated by Pedreschi et al. (2010), who showed high sensitivity
of NIR technique to acrylamide content. Hyperspectral imaging employing both
the NIR and visible spectrum has been used to identify chemical composition
of foods.
Nuclear magnetic resonance (NMR) is another spectroscopic technique, used
to identify molecular structures containing hydrogen. Therefore, it is widely
used for study of water distribution and transport processes during drying of
plant- and animal-based foods. Potential applications of NMR for compositional
and structural analyses online in food processing was thoroughly discussed by
Marcone et al. (2013).
Microwave dielectric spectroscopy is based on the ability of water to absorb elec-
tromagnetic energy in the range from 300 MHz to 300 GHz. This technique appears
to be highly sensitive in the range of low moisture contents close to the end point
of a drying process. Other advantages are that it allows for measurements of volu-
metric moisture content independent of density, porosity, and surface properties of
solids; does not require sample withdrawal; and provides online data stream. Due
to these advantages, microwave dielectric spectroscopy was successfully applied
to study osmotic dehydration of apples and kiwifruits, as well as meat products
(Su et al., 2015).
Low-power ultrasound (LPU) is recognized as an informative technique for
studying and monitoring of physicochemical and structural properties of liquid
foods (Awad et al., 2012). It utilizes the phenomena of transmission or reflection
of ultrasound waves, which reflect physicochemical properties of food materials,
such as microstructure, phase composition, bulk viscosity, and rheology. Pulse-echo
and continuous wave ultrasound are two major techniques used in most ultrasound
sensors. The LPU technique was successfully used for studying the percentages of
meat, fat, muscles, and carcass in animal-based products because they have different
acoustic properties. It was also used to estimate the composition of moisture, protein,
and fat in fish and poultry products.
Electrostatic sensors (ES) quantify charge, resulting from triboelectric prop-
erties of food materials that depend on moisture content, size, surface roughness,
composition, and other physicochemical properties. This technique is mostly used

in the powder industry (Zhang and Yan, 2003; Rahmat et al., 2011). The ES have
several benefits for commercial-scale applications, such as low cost and temperature
tolerance; however, the sensitivity of this technique to low moisture contents limits
applications to control of only the final period of drying.
It could be concluded that biomimetic, spectroscopic, and electrostatic sensors
are promising soft sensors for real-time control and automation, however, their com-
mercial applications require more research and development efforts.
2.5 CONTROL AND AUTOMATION

Traditionally, the objective of control in drying is to maintain environmental condi-
tions as close as possible to pre-determined set points, compensating for possible
deviations. In most cases, the target output is final moisture content, and perfor-
mance of control is determined by variation in the final moisture content. Computer-
aided control could be applied to the drying environment (conventional control) or to
the product under drying to achieve desirable changes (intelligent or smart control).
The structure of universal computer-aided control, using two feedback loops from
process and product, is given in Figure 2.2.
Computer-aided systems include two distinct parts: the controller and observer.
The observer collects information about process variables and corresponding
changes in product quality, while the controller is adjusting process conditions to
achieve desirable product quality. These two are interconnected. The computer-
aided observer is adaptive with the ability to correlate product quality attributes with
process variables in the form of regression models. The computer-aided controller
uses the same inversed models for optimal control of the drying environment. Set
points for process and product are specified as a part of the computer-aided drying
program.
Computer-aided system Drying process
Process and
Computer-aided Dryer Product
product
controller
set points
Process variables
Computer-aided
observer
Product quality attributes
FIGURE 2.2 The structure of intelligent control, focused on product quality.

2.6 CONTROL OF DRYING ENVIRONMENT

Applications of computer-aided control to the drying environment are typical for
drying of heat-sensitive biomaterials, like foods and probiotics (Dufour, 2006),
where accurate control of drying conditions is critical for the end-product qual-
ity. So far, computer-aided control has been successfully applied for the variety
of drying processes, such as conveyor-belt drying (Tussolini et al., 2014; Lutfy
et al., 2015), fluidized-bed drying (Siettos et al., 1999; Aghbashlo et al., 2014),
freeze drying (Pisano et al., 2013), crossflow drying (Li et al., 2008), infrared dry-
ing (Dhib, 2007), microwave drying (Hu et al., 2017), rotary drying (Thibault and
Duchesne, 2004; Wang et al., 2015), and spray drying (Menshutina et al., 2010). The
common goal of these applications is to improve accuracy of fast drying processes.
Computer-aided control of the drying environment uses feedback and feedforward
control, employing ON/OFF, a proportional-integral-derivative (PID), or neuro-
fuzzy algorithms. It makes the drying system more robust, accurate, relatively inex-
pensive, and scalable for laboratory, pilot, and industrial operations, and therefore
it has been widely adopted by industry. For example, Centre for the Analysis and
Dissemination of Demonstrated Energy Technologies (CADDET) is considering
computer-aided control as the most promising tool for energy-saving solutions in
the drying industry. Another example is the DrycontrolTM control system, devel-
oped by GEA (Soeborg, Denmark) for spray drying. This system uses model pre-
dictive control (MPC) to maintain drying conditions close to their optimal values
(Pisecky, 2012). Another application is DryspecTM 2000, developed for wood dry-
ing (Dandoroff and Riley, 2000). Nowadays, most industrial dryers are equipped
with less or more sophisticated automatic controllers, which can provide stable
and highly accurate control of major drying factors. Availability of process models
extended functionality of the computer-aided control to artificial intelligence tech-
niques, such as neural networks, fuzzy logic, and evolutionary algorithms. These
models are able to manage nonlinearity, however, they are not able to produce an
exact solution for a given problem and do not provide a required flexibility in condi-
tions of uncertainty or system disturbances. Adaptive and self-tuning control sys-
tems seem to be a more flexible solution since they are open for supervised and
unsupervised learning. However, the obvious deficiency of computer-aided control
of the drying environment is that it provides only information about performance
of the dryer, but not about the quality attributes of fresh and semi-dried food inside
the dryer.
2.7 CONTROL OF PRODUCT UNDER DRYING

The goal of any drying process is to achieve desirable quality attributes (moisture
content, size, color, texture) of dry product. With the quality parameters moni-
tored by smart sensors (e-nose, e-tongue, machine vision, or spectroscopy), the
control system becomes sensitive to changes of food quality. Consequently, the
control system would be able to adjust operating parameters with respect to prod-
uct quality and the overall objective of the drying process would be to keep the
product within stringent quality specifications. Control of product under drying
would require a special class of sensors and instrumentation, reflecting key quality
attributes of the product and their changes during drying. Some of these sensors
have been previously discussed. Computer vision and biomimetic sensors give
information about customer-perceived quality attributes, whereas spectroscopy
mostly reflects nutritional and nutraceutical values of the product. These sensors,
combined with computer software, become a part of intelligent computer-aided
observer (Figure 2.2). However, embedding these sensors in a drying process as
a part of drying system and interfacing with computer requires careful research
and engineering.
2.8 COMPUTER INTERFACE

Computer interface is a shared boundary across which two or more separate com-
ponents of a computer system exchange information. This exchange can take place
between software, computer hardware, peripheral devices, humans, and combina-
tions of these. The interface can feature one-way or two-way communication. For
example, some computer hardware devices, such as a touchscreen, can both send
and receive data through the interface, whereas the others, such as a mouse or key-
board, can only provide an interface to send data to a computer. To process a data
stream, computers usually are equipped with digital (parallel or serial) ports. To
be used by a computer, analog signals need to be digitized by an analog-to-digital
(AD) converter and transferred to the computer using standard communication
protocol (RS-232, USB, IEEE-1394, Ethernet, etc.). This functionality is provided
by computer interface, compatible with computer software (MS-DOS, Microsoft,
MacOS, Linux, etc.).
A communication protocol is a system of rules that allow transmission of
information from a computer to peripheral devices and vice versa. The protocol
defines the rules syntax, semantics, and synchronization, and possible error
recovery methods. The rules can be expressed by algorithms and data structures.
Communication protocols are specific for interface, such as serial, parallel,
wireless, mobile, and remote (Internet). For example, Internet protocols could
include Transmission Control Protocol (TCP), Internet Control Message Protocol
(ICMP), Hypertext Transfer Protocol (HTTP), Post Office Protocol (POP), Simple
Mail Transfer Protocol (SMTP), File Transfer Protocol (FTP), and many others.
The best-known framework is the TCP/IP protocol, which provides transmission
of information from/to defined IP addresses. A good example of remote control is a
sausage dryer installed in Spain but operated from Poland (Stawczyk et al., 2004).
Low-level communication protocols used to exchange information between computer
and instrumentation/control devices are called drivers.
2.9 SOFTWARE FOR CONTROL APPLICATIONS

Most applications for real-time control of drying operations use MATLAB
software (MathWorks, USA). This software is very attractive for computer-
aided control and automation due to its extended functionality (Chin, 2017).
The set of prebuilt functions and reduction techniques available in MATLAB
allows development of predictive models that best capture the predictive power
of datasets. These models will allow meaningful interpretation of relationships
between inputs and outputs, which will add to our knowledge of the facto-
rial effects on food quality. Also, MATLAB could be used to build kinetic
models that predict future outcomes based on historical data. This approach
enables efficient exploration of optimal drying conditions and optimization
domain. Another advantage of MATLAB software is that it contains mul-
tiple toolboxes, such as the Neural Network and Fuzzy Logic Toolboxes to
develop inference models, and the Statistics and Machine Learning Toolbox for
supervised and unsupervised parametric identification. Supervised learning
techniques include ANN training with the Levenberg-Marquardt backpropa-
gation algorithm, whereas unsupervised learning utilizes the Self-Organized
Maps algorithm. Inference and mathematical models are the key parts of the
adaptive control system, serving as a part component of intelligent observ-
ers. Optimization of drying conditions with respect to quality could be done
by using MATLAB Optimization Toolbox. In this case, the drying process is
considered as a nonlinear programming problem, which could be solved using
a gradient-based dynamic optimization solver, available in the MATLAB soft-
ware. It significantly simplifies the decision-making framework to dynamic
optimization strategy, generating optimal solutions for each time point. An
additional advantage of using MATLAB is that this software package already
contains a Computer Vision System Toolbox and Image Processing Toolbox,
which are instrumental for real-time quality (color, texture, and microstruc-
ture) evaluation. Using the set of quality attributes, measured in real time,
the goal of control is to find maximum and/or minimum of objective func-
tion over constrained domain. This is illustrated by example of ginseng drying
(Martynenko and Yang, 2007). MATLAB software also includes the Simulink
package, which is suitable for modeling, simulation, and analyzing behavior of
dynamic systems. Simulink enables systematic verification and validation of
models in real time on the physical system. Also, Simulink contains advanced
graphical interface and is widely used for automatic control and digital signal
processing. However, MATLAB does not allow simultaneous real-time data
acquisition, processing, and control.
In contrast, LabVIEW (National Instruments, Austin, TX, USA) sufficiently
combines all three functions in real time, enabling computer-aided control of
drying. For advanced control, LabVIEW has a special Data Acquisition and
Control software package, developed for real-world applications. The major
benefit of this software is the concept of two-ways signal acquisition and signal
generating. Widely developed PCI or USB computer interface enables real-time
communication with multiple physical sensors (temperature, sound, vibration,
strain, pressure, force, position, imaging devices, etc.) and actuators. Image
acquisition and processing with LabVIEW software was successfully used by
Martynenko (2008) and Davidson et al. (2009) for multi-stage temperature control
in ginseng drying. An example of computer-aided observer of quality attributes
(color and shrinkage) is shown in Figure 2.3.
FIGURE 2.3 LabVIEW code for intelligent observer of color and shrinkage from real-time
imaging.
An additional benefit of LabVIEW software is its open architecture, allowing

MATLAB and C++ codes to be embedded into the processing algorithm. The com-
bination of two powerful software packages would be able to compensate perceived
deficiencies of control applications.
2.10 EXAMPLE OF COMPUTER-AIDED CONTROL

FOR GINSENG DRYING
Structural synthesis of computer-aided control system is illustrated with the example
of ginseng root drying (Martynenko and Yang, 2007). The objective function J was
defined as the negative value of root final quality (loss function) and minimization
of this criterion is performed
J = −Q (t e ) (2.1)
min J
T ( τ ), τ∈[ 0 ,te ]
Target value for the final moisture content is specified as a constraint:
m(te ) = me (2.2)
The control variable (temperature) was constrained to the range of technological

limits:
Tmin ≤ T (t ) ≤ Tmax (2.3)
where Tmin = 38°C, Tmax = 50°C are technological limits for ginseng roots drying.
An auxiliary optimization criterion (Jaux) was used to obtain feasible (but gener-
ally suboptimal with respect to the quality) control:
J aux = ( m(te ) − me )
2
(2.4)
min J aux
T ( τ ), τ∈[ 0 ,te ]
Applying the main criterion (J) for quality maximization resulted in a static
solution of the optimization problem at the lower safety margin T(t) = 38°C
(const.). This control decision is intuitively used in ginseng drying to avoid risk
of quality losses. However, the price to pay for this cautious control strategy
is reduced performance: it takes about 240 hours to dry ginseng to the target
moisture content.
Minimization of drying time is another economic goal. To achieve this goal, the opti-
mization problem was reformulated as searching for the best trajectory of air temperature
to reduce the total drying time constrained with the following quality loss function:
J = −t ( me )
(2.5)
min J Q ≥ Qmin
T ( τ ), τ∈[ 0 ,te ]
It follows that the drying process can easily be started at 50°C, with the next gradual
decreasing of temperature in the region of the highest risk of quality degradation
(10–50 hours), and then increasing temperature at the end of drying. For example,
if quality loss is constrained at the level 0.2, the trajectory of temperature can be
determined as:
1. 0 < t < 6 T = 50°C
2. 6 < t < 75 T = f(t) Trajectory follows the isocline Qmin = 0.2
3. 75 < t < 90 T = 50°C
This strategy allowed minimization of drying time to 70–90 hours with guaranteed

quality. The optimal compromise between quality and time of drying can be found
by running several optimization calculations and constructing the Pareto graph of
the highest achievable final quality versus drying time.
Performance of the intelligent control system was tested on a pilot batch dryer.
Bulk average moisture content and quality were estimated using machine-vision and
neural network estimator. Estimated moisture content was used as a global feed-
back parameter for the identification of the drying stage and adjustment of the dry-
ing conditions according to the specified control objective. Estimated quality was
used as another feedback parameter to prevent quality loss below the specified
mi
mo
Controller Dryer Ginseng MV NN Qi
Qo
mi Qi
Local
control
Global control loop
FIGURE 2.4 Structure of intelligent control system for ginseng drying with local and
global control loops. (From Martynenko, A.I., and Yang, S.X., Intelligent control system for
thermal processing of biomaterials, IEEE Conference on Networking, Sensing & Control,
London, UK, 93–98, 2007.)
level. Subsequently, the control system consisted of three modules: machine-vision

observer, neural network estimator, and controller (Figure 2.4).
Machine vision (MV) generated the set of morphological, textural, and color
features as time-independent process variables. This information was used by
the neural network (NN) to estimate moisture content and quality (m, Q). Both
moisture and quality were used as feedback variables in a global control loop
and as constraints in the optimization algorithm. Arranging the data into time
series enabled calculation of the drying rate factor and quality degradation rate in
dynamic models. The controller was running in a regime of dynamic optimiza-
tion, performing calculation of the best trajectory of air temperature with respect
to criterion (Equation 2.1) or (Equation 2.4), using sequential optimization routine,
available in MATLAB.
The observer and controller were developed as re-configurable LabVIEW
applications with an extensive set of functions for image processing, data fusion, cali-
bration, and advanced logic control. Data extracted from image analysis represented
both quality factors perceived by consumers (color, texture) and process parameters
(diffusivity, rate) important for the development of intelligent control. The results
demonstrated the feasibility of an intelligent control system to be used as an accu-
rate tool for a multi-stage ginseng drying (Martynenko, 2006). Based on acceptable
risk of quality degradation (Qmin = 0.2), the controller identified three critical control
points in a drying cycle: (1) point for gradual decreasing of drying temperature from
50°C to 38°C; (2) point to turn back from lower 38°C to higher temperature 50°C; and
(3) point when moisture content attains the target value (0.1 kg/kg) to stop drying.
Optimization of temperature reduced drying time from 240 to 90–110 hours, yet with
high product quality.
2.11 FUTURE TRENDS

Based on our review of recent trends in computer-aided control in drying, we could
predict future development towards embedding elements of artificial intelligence
into drying control systems (Martynenko, 2017). Considering that nonlinear, non-
stationary, and nonuniform drying also have high variability in initial conditions,
the elements of artificial intelligence could significantly improve quality of con-

trol. Observation of previously nonmeasurable quality attributes in real time will
resolve the problem of global controllability of both process and product quality.
Observation of spatial variation of process and product attributes would enable
optimization of control of distributed systems, for example crossflow dryers. In
terms of process control, we could predict a shift into non-isothermal drying
strategies, based on the changes of product physicochemical properties in the pro-
cess of drying (Martynenko and Kudra, 2015). Machine learning would simplify
research and optimization of drying strategies. In the future we can expect better
exchange of information and data through global networks. Combining of com-
mon knowledge into the form of global expert systems will simplify development
of innovative and hybrid drying technologies, based on underexplored physical
phenomena and computer-aided control.
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3 Parameter Estimation
Robert Dürr
CONTENTS
3.1 Introduction .................................................................................................... 27
3.2 General Formulation of the Inverse Problem ................................................. 32
3.3 Identifiability ..................................................................................................34
3.4 Methods for Determining Parameter Uncertainty ......................................... 37
3.5 Model Discrimination..................................................................................... 38
3.6 Bayesian Approach to Parameter Estimation ................................................. 39
3.7 Advanced Topics ............................................................................................. 41
3.7.1 Online Estimation ............................................................................... 41
3.7.2 Application of Artificial Neural Networks ......................................... 42
3.7.3 Computational Example: Food Drying in Fluidized Bed................... 42
3.7.3.1 In Silico—Experimental Data ............................................. 43
3.7.3.2 Least Squares Estimation of Parameters ............................. 43
3.7.3.3 Checking Structural Identifiability with Profile
Likelihoods ..........................................................................44
3.7.3.4 Determining Confidence Intervals with Parametric
Bootstrap ..............................................................................44
3.7.3.5 Bayesian Parameter Estimation with Markov Chain
Monte Carlo ......................................................................... 47
3.8 Summary ........................................................................................................ 48
References ................................................................................................................ 50
3.1 INTRODUCTION
When analyzing a process, we are interested in researching the following two tasks:
inferring the underlying mechanics to come to a deeper understanding of the process
itself and predicting long- and short-term behavior. To obtain qualitative and quan-
titative information on the process we rely on experimental observations. Besides
sophisticated experiments, an abstract representation of the analyzed real-world sys-
tem is a helpful tool to support the researcher in reaching the aforementioned objec-
tives. These so-called models are more or less complex descriptions of the process
attempting to link the experimental observations into a pattern. A good model is able
27
to accurately represent the short- and long-term behavior of the process and can be
further used for one or more of the following tasks (Walter & Pronzato, 1997):
• Deduction of unmeasurable quantities from available measurements

• Hypotheses testing for fault diagnosis
• Providing a suitable basis for development of advanced process control and
intensification schemes
• Surrogate of the real process for evaluation of these schemes and for teach-
ing (saving costs and time)
The procedure of designing meaningful and accurate abstract representations of the

real process is known as systems identification, mathematical modeling, or model
development. The overall workflow for the development of a reliable, accurate, and
predictive mathematical model is given in Figure 3.1: based on experimental data
and a priori knowledge on the process, an abstract (mathematical) representation of
the observations is set up which must be validated by further experiments to ensure
its predictive capacity.
In general, a mathematical model is a rule to compute process outputs y based on
inputs u. The modeler has a large degree of freedom in choosing its specific form,
as long as the experimental observations are accurately represented: most promi-
nent rules are deterministic or stochastic, algebraic, ordinary differential or partial
differential equations and their associated initial and boundary conditions, as well
System/process
A priori knowledge and

experimental data
Mathematical model design

Experimental design
Identification of
structure
(black/grey/white box)
Parameter
estimation
Model
validation
Process model
FIGURE 3.1 Schematic representation of mathematical model development workflow.

Parameter Estimation 29
Black box
(mechanistic description
of input/output behavior)
Complexity of formulation
Level of abstraction
Grey box
White box
(first principles)
FIGURE 3.2 Overview of different modeling concepts.
as neural networks, fuzzy rules, and even abstract verbal statements. Mathematical
model design aims on formulation of a suitable model for a process

u → y,  =  (a-priori information, θ)
and comprises two main steps: the identification of model structure, that is, the spe-
cific form of  , and the estimation of model parameters θ.
Regarding the amount of a priori information on the process used to come up
with the model structure, level of abstraction, and general complexity, models can be
divided roughly into three categories (Figure 3.2): Black-box models are character-
ized by a high level of abstraction and use little or no information of the underlying
process mechanism itself. Typical representations of this type are power series or
parametric ARMAX (auto-regressive moving-average exogenous) models which
directly describe how the inputs affect the outputs. In contrast, the white-box model-
ing approach relies on first principles. Here, physical conservation laws for momen-
tum, energy, mass, and electrical charge are employed to come up with a complex
model structure that describes the underlying physical mechanisms during the pro-
cess. As a third category, so called grey-box models are located in between the two
previously characterized approaches and provide a good trade-off between either too
high or too low levels of abstraction and complexity.
Whatever structure is chosen, it will generally involve partly known or unknown
parameters. These are usually assumed constant but may also vary over time
(e.g., fouling in heat exchangers/membrane filters reduces heat transfer capacity/
filtration efficiency, rechargeable batteries lose their capacity over the years). The
step known as parameter estimation aims at choosing the unknown model param-
eters such that the model behavior accurately represents the process. This usually
involves the solution of a so-called inverse problem where model parameters are
adapted to optimize a certain measure or cost function. Only in rare cases, the opti-
mization problem is solved analytically and in practice inverse problems are mostly
solved with the help of sophisticated computational algorithms.
In general, the model is developed for a limited amount of observations and,
depending on the intended use, usually simplifying assumptions are made to reduce
the structures complexity. Those un-modeled effects eventually result in parameter
estimates which are different from the ones of the real process. Furthermore, all
observations underlie random variations, better known as stochastic noise. Thus,
there is no single exact parameter estimate for accurate representation of the data,
but a probability distribution characterizing acceptable estimates: there may be one
or more values which are most probable for the observed data, but there is also a
certain range for the parameters enabling an accurate representation of the data. This
uncertainty is fundamental for all parameter estimates and it is thus important to be
accounted for.
To ensure meaningful parameter estimates, a sophisticated identifiability analysis
is of significant importance. Identifiability measures if and how good parameters can
be estimated based on an assumed model structure (determined with either white-,
grey-, or black-box modeling approach) and available experimental data. A model
is called structurally identifiable if there is a unique solution of the inverse problem,
that is, there is one optimal parameter set enabling the optimal fit between measure-
ment and model data.
Structurally identifiability analysis only makes a statement if the parameters
can be uniquely estimated in principle under the condition of ideal continuous and
noise-free measurements. It depends on the set of available observable process
outputs and the corresponding analysis usually breaks down to symbolic analysis of
the underlying model equations.
In contrast, practical identifiability analysis gives information of the quality
with which parameters can be estimated from the available (generally) noise cor-
rupted and discrete measurements. Even if a parameter is structurally identifiable
(we could in principle determine it), it may be practically non-identifiable as the
measurements are too sparse or too noisy and thus do not yield reliable parame-
ter estimates. While practical identifiability issues can be improved by advanced
experimental design (improved quality and quantity of measurements), resolving
structurally non-identifiably requires measurement of additional output variables or
a change of the model structure.
The concept of practical identifiability is directly related to parameter confi-
dence and the following questions: To which extent is the quality of the parameter
estimate affected by the quality of the measurement/model structure? or How does
a measurement error affect the parameter estimate? For the computation of param-
eter uncertainty (and parameter estimation in general) two main approaches, that is,
frequentist and Bayesian, exist. In the first case, parameters are assumed unknown
but fixed and the parameter uncertainty can be assessed directly by determining
the variance of the estimate in face of the uncertain measurements. In the Bayesian
approach, prior information on the process parameters can be included and the
unknown parameter itself is assumed to be a probability distribution. Starting from
a prior parameter distribution, measurements are used to compute a posterior

parameter distribution using Bayes theorem (Walter & Pronzato, 1997). The pos-
terior parameter distribution also gives a measure of the parameter uncertainty.
Though focus is on the frequentist approach in this chapter, the Bayesian method
will also be described briefly.
During the whole model development, it is of major importance to keep in mind
that a model only provides a limited representation of specific observed phenomena.
This fact is embodied in the famous statement that “all models are wrong but some
models are useful” (Box, 1976).
In general, model fit may be improved if the model’s degree of freedom, by
means of the number of model parameters, is increased. However, this comes at
the price of higher model complexity and thus a more complex inverse problem
formulation (i.e., more unknown model parameters must be determined from the
experimental data). To find a good trade-off, a good modeling strategy should fol-
low the famous motto “A model has to be complex as necessary and as simple
as possible,” which is based on the parsimony principle also known as Occam’s
razor (Burnham & Anderson, 2002). If there are multiple models that can explain
the observed measurements, information criteria like Akaike information criterion
(AIC) or the Bayesian information criterion (BIC) can be applied. These consider
both model complexity (i.e., the number of unknown model parameters) as well
as model fit (how well a model explains the data) and enable a ranking of model
hypothesis.
Parameter estimation as an important topic in the natural sciences and engineer-
ing has received widespread attention over the last decades and remains a topic of
intensive research efforts. A handful of excellent textbooks, which cover the most
important topics mentioned earlier, are available, for example, Beck and Arnold
(1977), Walter and Pronzato (1997), and Ljung (1987), to mention just a few. The
development of advanced measurement techniques has promoted more detailed mod-
eling of the underlying mechanisms of the processes and thereby resulted in more
complex mathematical models and more complex parameter estimation problems.
As already pointed out, parameter estimation is a fundamental part of model
development and thus most publications on mathematical modeling of drying pro-
cesses also deal, at least up to a certain extent, with parameter estimation. In most
contributions, unknown model parameters are determined by least squares or maxi-
mum likelihood estimation, using numerical optimization. As drying models are
generally rather complicated due to the underlying complex coupling of momen-
tum, mass, and energy transfer, parameter estimation usually comes along with a
high computational effort. To ease the numerical effort, a number of sophisticated
approaches exist, including model reduction (Antoulas, 2005) and efficient numeri-
cal optimization techniques.
This chapter is structured as follows: At first, more detailed information will
be provided on the previously introduced. Description of theory is supported by
an illustrative example from drying processes. The chapter concludes by giving a
glance at advanced topics, namely online estimation and application of artificial neu-
ral networks (ANNs) in models.
3.2 GENERAL FORMULATION OF THE INVERSE PROBLEM

The main goal of any parameter estimation procedure is the adaption of the vector of
unknown model parameters such that the model accurately represents the real pro-
cess by solving the so-called inverse problem. The model  is defined by functions
or more general mappings:
 x M (t ) = F (u, x M , θ, t )
(θ): 
 y M (t ) = G(u, x M , θ, t )
characterizing the relationship of inputs u = [u1, u2 ,…, uN u ], unknown parameters

θ = [θ1, θ2 ,…, θ N θ ], model states x M = [ x1, x2 ,…, xN x ], and model observables
y M = [ y M, 1, y M, 2 , …, y M, N y ]. For reasons of simplicity and without loss of generality,
we will limit the following explanations to the case N y = 1. Furthermore, when we
are talking about dynamical models, we additionally assume that the observables
are sampled at discrete time points t sample = [t1, t2 ,…, t N t ]. The model of the process is
usually augmented by a model of the measurement error. A common approach is to
assume that the outputs are overlaid with an additive noise:

yM = yM + 
Following the Maximum likelihood approach to parameter estimation, we assume

that the model parameters are unknown but fixed and aim at the estimation of the
parameter set θ maximizing the likelihood
Nt
(θ, y ) = ∏(θ, y(t ))

k =1
k
which describes the conditional probability that a fixed parameter set explains a set
of experimental observations observables y = [ y(t1 ), y(t2 ),…, y(t N t )]. The form of
the likelihood is a direct consequence of the error model. If one assumes additive,
normal distributed white noise ε ~ N (0, Σ) with diagonal covariance matrix:
 σ2 (t1 ) 0 
 
Σ= 
 0 σ2 (t N t ) 

the likelihood can be written explicitly as

Nt
∏  2
(θ, y ) =
1
exp −
1
( y M (t k ) ) 
y (t k ) − 
 2 σ(t k ) 
2
k =1 2 πσ(t k )2
Instead of maximizing this likelihood it is often computationally easier to use its

logarithmic transformation, the so-called log-likelihood. For known covariance
matrix Σ, the computation of the maximum likelihood is equivalent to finding the

least squares fit
Nt
∑ 2σ(t ) ( y(t ) − 
y (t ) )
1 2 1 T −1
J LS = 2 k M k = e Σ e
k =1 k 2
to the data. Therein, the column vector e is the column vector of errors between
process and model output:
 y(t1 ) − y M (t1 ) 
 
e= 
 
 y (t N t ) − y M (t N t ) 
It is worth mentioning, that instead of the variances of the measurement noise,

arbitrary weights can be used for each error resulting in the general weighted least
squares (WLS) cost function:
Nt
∑w ( y(t ) − 
y (t ) )
2 1 T
JWLS = k k M k = e We
k =1
2
Therein, the individual weights wk can be used to give some observations a higher
importance than other ones. By setting wk = 0, the corresponding measurement is
not included into the cost function.
The most prominent alternative to least squares estimation based on a quadratic
cost function is least modulus estimation which uses the absolute error in formulation
of the cost function
Nt
J LM = ∑w
k =1
k y(tk ) − y
M (t k )
and has some interesting robustness properties with respect to large outliers. However,
least squares estimation is probably the most famous method for parameter estimation
(if educated guessing is not counted) in the engineering sciences and for industrial
applications, thus what follows will be restricted to this widespread method.
Computation of the least squares parameter estimate requires the solution of gen-
erally nonlinear constrained non-convex optimization problems which may have
multiple local suboptimal solutions. It is also a common approach to apply a loga-
rithmic transformation for positively constrained unknown parameters to transform
the constrained optimization to an unconstrained one. The problem is usually solved
by using advanced nonlinear optimization techniques. These can be categorized
roughly into deterministic, metaheuristic, and hybrid techniques.
Deterministic optimization techniques rely in most cases on variational calculus.
Well-known methods aiming at an iterative approximate solution are gradient methods
like the Levenberg-Marquardt and Gauss-Newton algorithms which use (analytical

or numerical) derivatives of the cost function, and direct search techniques like the
Nelder-Mead simplex algorithm which depends on evaluation of the cost function at a
variety of parameter values. The success rate of this method depends significantly on
the choice of the initial estimate. In general, it cannot be guaranteed that a found mini-
mum is a global one and thus one cannot be certain whether the estimated parameter
set is the optimal one. For this reason, deterministic optimization is often repeated with
different initial parameter estimates. Furthermore, advanced deterministic global opti-
mization techniques like branch and bound algorithms can be applied, which yield the
global optimal parameter sets. Further details can be found in Bonnans et al. (2006).
In contrast, evolutionary algorithms (Bäck, 1996), with genetic algorithms and dif-
ferential evolution algorithms as the most popular representatives of the metaheuristic
techniques, are based on the main concept of survival of the fittest: The cost function
is evaluated for a population of individual parameter estimates. The most fit individu-
als (i.e., the ones with the lowest values of the cost function) are the most probable to
be part of the next population. Variance in the new populations is guaranteed applying
analogues of mutation and crossover. Stochastic optimization algorithms also include
metaheuristic techniques which mimic biological and physical phenomena, for exam-
ple, ant colony optimization, particle swarm optimization, and simulated annealing.
Though these techniques do increase the chance of finding the global optimum, it
can also not be guaranteed that a found solution is globally optimal. Hybrid optimiza-
tion algorithms aim at combination of the advances of deterministic and stochastic
algorithms.
Most commercial and open-source scientific software packages, for example,
MATLAB, OCTAVE, PYTHON, AMPL, and GAMS, provide a broad selection of
deterministic as well stochastic optimization algorithms. The choice of the optimization
algorithm strongly depends on the specific application and the available computational
resources and, of course, on the taste and experience of the individual scientist. In gen-
eral, there is no ideal technique for any problem and thus it is always important to inter-
pret the resulting parameter estimates in the light of the chosen optimization routine.
However, if the process model can be written in a linear form, the procedure sim-
plifies to a linear least squares problem. For the resulting linear optimization prob-
lems, an even larger amount of information is found (Bertsimas & Tsitsiklis, 1997).
3.3 IDENTIFIABILITY
Apart from setting up the general estimation task, that is, adaption of unknown
model parameters to maximize the likelihood or minimize the least squares cost
function, it is important to analyze whether the unknown parameters can even be
estimated from the available measurements before trying to solve the correspond-
ing optimization problems. A lack of identifiability renders most parameter estima-
tion efforts futile. As already explained in the introduction of this chapter, models
(or their unknown parameter sets) can be categorized into structurally identifiable
and practical identifiable ones. The first method questions whether unknown param-
eters could be uniquely determined assuming a perfect scenario with noise-free con-
tinuous data. A model is globally structurally identifiable if there is a unique set of
parameter values in the feasible parameter domain enabling the optimal fit of model
outputs to data. When more than one but a finite number of solutions are possible,
the model is called locally structural identifiable. In any other case, the model is said
to be structural unidentifiable. It is worth mentioning that structural identifiability
is a necessary premise of each process model without which any further parameter
estimation efforts are rendered futile and should thus be checked preferably a priori,
that is, before starting the estimation procedure.
A simple example of identifiability issues was presented by Beck and Arnold
(1977). Consider a linear model
a1
yM = u+b
a2
describing the relationship between input u and measurement y. The solution of

the inverse problem aims at determining the unknown model parameters a1, a2 ,
and b. It is immediately obvious that only the slope of the linear curve m = a1/a2 and
the constant b can be determined uniquely, but not a1 and a2 individually, as there
is an infinite number of combinations to provide m = a1/a2. Thus, the model is not
structurally identifiable.
However, even for linear models, analysis is rarely as simple as for the previ-
ously presented example. In the general nonlinear case, there is a handful of meth-
ods for checking structural identifiability. A good summary is given in the review
by Chis et al. (2011) which covers identifiability analysis methods like the Taylor
series approach, generating series approach, the similarity transformation approach,
as well as methods based on differential algebra and the implicit function theorem.
A particular method’s performances depend on the model complexity, number of
unknown parameters, and number of available observables.
Yet, these methods in general involve symbolic manipulations and can quickly
give rise to long expressions as the systems complexity increases, which may be
the main reason that structural identifiability is seldom checked before performing
parameter estimation in real applications. A more practical and graspable approach
to check (local) structural identifiability after performing parameter estimation
is given by the concept of profile likelihoods (Raue et al., 2009), which relies on
the successive exploration of the shape of the least squares cost function around
a parameter estimate θ* . A parameter θi is said to be locally structural identifiable if
the profile likelihood (i.e., in our case the sum of squared errors) for ideal measure-
ments (e.g., obtained by forward simulation of the process model)
PL
J LS (θi ) = min J LS (θ)
θ j ≠i
has a unique minimum in the neighborhood of θ*. In probably the simplest ver-
sion of computing, the profile likelihood is evaluated on a regular grid around the
parameter value θ*i , meaning that for a different fixed value of θi an inverse problem
is solved in the other parameters. In result, a one-dimensional functional curve is
obtained for each parameter. If each curve has a unique minimum, the corresponding
model is locally structural identifiable. A flat or semi-open curve indicates structural
PL PL
JLS JLS
(a) (b)
FIGURE 3.3 Examples for profile likelihood curves indicating local structural identifiabil-
ity (a) and non-identifiability (b); red symbol denotes the corresponding maximum likelihood
estimate of parameter θi .
non-identifiability (Figure 3.3). Structural non-identifiability for the small example

presented earlier is immediately obvious in context of profile likelihoods: Let us
assume, that the least squares value for an arbitrary series of experimental samples is
given by J LS
*
and the corresponding least squares optimal parameters are [a1* , a2* , b* ].
To obtain the profile likelihood for the first parameter, the inverse problem J LS PL
( a1 )
is solved for different fixed values of a1 around its optimal value. As an increasing/
decreasing value of a1 can be compensated with an increasing/value of a2 to obtain an
identical value of the slope a1/a2 , for each arbitrary value of a1 there exists one value
of a2, resulting in an identical linear curve in the least squares sense. Thus J LS
PL
( a1 ) is
identical for all choices of a1, resulting in a flat curve.
Application of this method only allows local analysis but does not allow making
any statements on global structural identifiability. Yet it is a powerful and easy-to-
handle concept, which does not involve differential algebra and extensive symbolic
manipulation of the model equations and is thus recommended by the author.
To cope with structural non-identifiability, one may either increase the number of
observables or reformulate the model. Coming back to our simple example, model
reformulation to
yM = m ⋅ x + b
allows unique solutions for both parameters, and thus the model is globally structur-
ally identifiable.
One could also consider that in addition to yM, a second output z of the process is
measured and the resulting model may be given as
a1
y= ⋅ x + b,
a2
z = a2 ⋅ x + c
As the coefficient a2 can now be uniquely determined, a1 is also uniquely identifiable.

Structural identifiability is a necessary premise but does not guarantee that

reliable parameter estimates can be determined from the real available measure-
ment data. In contrast to the assumptions on the measurements (continuous, noise-
free) used in structural identifiability analysis, practical identifiability analysis
aims at evaluation of the parameter estimate uncertainty, for example, in terms of
confidence intervals, for a given set of experimental data. If a parameter estimate
is characterized by large uncertainty in terms of a large confidence interval, it is
said to be practically non-identifiable. In contrast, if an estimated parameter has a
small confidence interval, it is said to be practically identifiable. Different methods
for the computation of the estimate’s uncertainty are presented in the next section.
In case of practical non-identifiability, one can try to reduce the confidence inter-
vals by using either more qualitative and quantitative measurements or by choosing
different experimental conditions, that is, other experimental inputs u. This is also
known by the name optimal experimental design (OED). A detailed introduction to
OED techniques can be found in many textbooks on parameter identification, for
example, Walter and Pronzato (1997).
3.4 METHODS FOR DETERMINING PARAMETER UNCERTAINTY

Parameter uncertainty in terms of confidence intervals can be obtained through the
diagonal elements of the parameter covariance matrix as
Conf (θi ) =  θi − tαγ / 2 Covi ,i , θi + tαγ / 2 Covi ,i 
with −tαγ /2 being given by Student’s t-distribution, γ corresponding to the degrees

of freedom in the model and α being the (1 − α) ⋅100% confidence interval selected
(Vilas et al., 2018). The covariance matrix of the parameter estimate θ is given by
Cov = E{(θ − θ* )(θ − θ* )T}
where E{} ⋅ is the expected value. As the true parameter vector θ* is unknown, Cov
must be approximated for general nonlinear models. Typically, the Cramér-Rao
inequality is applied (Walter & Pronzato, 1997), which states that the covariance
matrix is bounded by the Fisher information matrix:
  ∂J (θ)   ∂J (θ) T 
Cov ≥ F −1; F = E   LS   LS  
  ∂ θ   ∂θ  
under some assumptions, that is, (1) additive measurement error, (2) unbiased
estimates, and (3) linearity of the model in the parameters. In particular, the last
assumption is generally not met for complex models, and thus approximation using
the Cramér-Rao bound and Fisher information matrix may strongly underestimate
the true covariance matrix and thereby provide unreliable confidence intervals.
Furthermore, this approach only allows the computation of symmetric confidence
intervals, which may also not represent the true confidence accurately.
As an alternative, a Monte-Carlo-based sampling approach as presented by

Joshi et al. (2006) may be applied. The underlying concept is to solve the inverse
problem for a large number of experimental replicates. Of course, for most real
processes it is not a realistic option to perform hundreds or thousands of experi-
ments. Typically, one relies on fictitious measurements that follow the assumed
measurement statistics. The inverse problem is solved for each of these samples
and the resulting parameter estimates form a cloud in parameter space, thereby
representing the variance of the estimate for errors in the measurements. For
each unknown parameter, the samples can be transformed into histograms. The
mean and the median of the cloud can be used as bootstrap parameter estimate. To
obtain the parameter confidence intervals from the parameter sample, the so-called
percentile method is recommended (Joshi et al., 2006): A percentile θ( α ) is defined
as the value of θ below which 100 ⋅ (1 − α)% of the estimates fall. The 100 ⋅ (1 − α)%
percentile interval is defined as
[θ( α / 2) , θ(1−α / 2) ]
Consequently, the 95% confidence interval of the parameter bootstrap is defined as
[θ( 0.025), θ( 0.975) ]
One important limitation must be mentioned at this point: In the general case, the
number of artificial realizations must be sufficiently large to guarantee reliable esti-
mates of the confidence interval. Consequently, in the case of complex models and
a high number of unknown model parameters, for which the solution of the inverse
problem is also complex, the bootstrap method is attended by a high computational
load. To improve the situation, parallelization strategies on multicore machines can
be implemented or advanced methods like the sigma-point approach (Schenkendorf
et al., 2009) can be employed to reduce the number of realizations and thus numeri-
cal effort.
3.5 MODEL DISCRIMINATION

Assuming that the model structure is known beforehand is rather unrealistic for most
process models. In general, the experimental data may be accounted for by differ-
ent competing model structures. These can differ in quality of fit and complexity, for
example, by number of free (tunable) model parameters. To determine the best model, it
is a common approach to assign a performance index J PI to each individual candidate:
J PI = f (Quality of fit, Complexity)
which considers both properties. Probably, the most widely used measure in this
field is the Akaike information criterion (AIC) (Burnham & Anderson, 2002) that
is given as
AIC = −2 ⋅ ln((θ, y )) + 2 ⋅ K
Here K = N θ + 1 is the overall number of unknowns, that is, parameters and vari-
ance of the measurement. For a normal distributed error with constant variance, the
criterion reduces to
 RSS 
AIC = N t ⋅ ln   + 2 ⋅ ( N θ + 1)
 Nt 
where RSS denotes the residual sum of errors. However, it should only be used if the
number of samples n is much larger than the number of unknown model parameters.
Otherwise, it is generally recommended to use the corrected AIC:
2 ⋅ ( N θ + 1) ⋅ ( N θ + 2)
AICC = AIC +
Nt − Nθ − 2
A lower value for the AICC means that a given model describes the data better than a
model candidate with a higher value. It is worth mentioning that the original formula-
tion was developed for single-output systems, that is, N y = 1. For general multivariate
models with more than one output, adapted formulations must be used (Anderson,
2007) yielding the following expression for the corrected criterion:
K ⋅ ( K + v) K ⋅ ( K + v)
AICCMV = AIC + 2 ⋅ = − 2 ⋅ ln((θ, y )) + 2 ⋅ K + 2 ⋅
( N t ⋅ N y − K − v) ( N t ⋅ N y − K − v)
Therein, K includes all unknowns, that is, Nθ model parameters and v distinct
parameters estimated in the covariance matrix.
As an alternative to the AIC and its versions, the Bayesian information criterion
(BIC) (Anderson, 2007) can be applied in which the number of parameters has more
weight:
 RSS 
BIC = N t ⋅ ln   + ln( N t ) ⋅ ( N θ + 1)
 Nt 
A basic comparison of AIC and BIC and a discussion of advantages and disadvan-
tages is found in Burnham & Anderson (2002) or Anderson (2007), for example.
3.6 BAYESIAN APPROACH TO PARAMETER ESTIMATION

Up to this point, parameter estimation methods were limited to the so-called frequen-
tist approach which assumes that the model parameters are unknown but fixed. The
corresponding estimation concepts yield point estimates for the parameters. With
bootstrapping, the uncertainty in the measurements and the model is represented
by a distribution of point estimates. In contrast, the Bayesian approach assumes that
an unknown parameter itself is given by a probability distribution. Formal starting

point of this philosophy is Bayes’ rule
p( y θ) ⋅ p(θ) p( y θ) ⋅ p(θ)
p(θ y ) = =
p( y )
∫ p( y θ) ⋅ p(θ) dθ
which is used to compute the posterior parameter distribution p(θ y ) . This distribu-
tion is a measure of belief in the distribution of model parameters, while taking into
account the likelihood of the observed data for a certain parameter set p( y θ) and
a parameter prior p(θ).
The likelihood summarizes the available information on the process by means
of models for process dynamics and measurement errors. As for maximum likeli-
hood estimation, the likelihood (or its corresponding logarithmic counterpart) is a
cost function which penalizes deviations of the model from the data. In the Bayesian
framework, the maximum a posteriori (MAP) estimate, that is, the parameter value
for which the posterior density is maximal, is an often used point estimate in analogy
to the frequentist maximum likelihood estimate. However, both point estimates may
be unrepresentative, especially if the likelihood (and thus the posterior distribution)
is multimodal.
The prior distribution represents the belief in a parameter vector before observ-
ing the data, for example, values from literature can be used as means for a normal
prior distribution. If no such information is available, flat (uninformative) priors can
be used. In analog to the profile likelihood, the concept of profile posteriors can be
employed to analyze identifiability (Hug et al., 2013). The marginal likelihood p( y )
(also occasionally referred to as evidence for the data) is a usually high-dimensional
integral taken over the whole parameter space and thus usually hard to compute ana-
lytically or numerically, representing a major bottleneck in the Bayesian approach.
As an alternative, Markov Chain Monte Carlo (MCMC) methods are well suited
to infer the posterior distribution as these only rely on evaluations of the product
of likelihood and prior, that is, the numerator of the Bayes formula, and ignore the
denominator. The general idea is to approximate the posterior distribution with a
Markov chain whose elements are samples from the parameter space. The obtained
stationary distribution of these samples is the desired posterior distribution. Probably,
the best-known algorithm to generate the series of samples
θ( 0 ) , θ(1) ,…, θ( i −1) , θ( i ) ,…
is represented by the Metropolis-Hastings algorithm (Hastings, 1970). Here, a pro-

posal distribution q(θ( i ) , θ( p ) ), for example, a normal distribution with mean θ( i ) , is
used to generate a proposal θ( p ) for the next element θ( i+1) and the likelihood is evalu-
ated at this point. The move is accepted with probability
 p(θ y ) q(θ( i ) , θ( p ) ) 
( p)
α(θ( i ) , θ( p ) ) = min 1, (i ) 
 p(θ y ) q(θ , θ ) 
(i ) ( p)
If the proposal is accepted, the new chain element is set to the proposal θ( i +1) = θ( p ) ,
otherwise the old state is kept θ( i +1) = θ( i ). The crucial point is the choice of the pro-
posal distribution which effects convergence rate. Furthermore, in case of multimodal
posteriors, it may take a long time to explore the full posterior or the chain may even
get stuck in one mode. Therefore, over the last years, sophisticated improvements
have been developed including Adaptive Metropolis (Haario et al., 2001) and multi-
chain algorithms (Hug et al., 2013; Jasra et al., 2007; Neal, 1996). In the end, the
distribution of the chain elements may be used to infer information on the unknown
parameters, for example, confidence intervals using the percentile method as for the
parametric bootstrap.
3.7 ADVANCED TOPICS

3.7.1 Online estimatiOn
So far, the unknown parameters have been considered time invariant either
fixed or distributed. However, in general parameters may also vary during the
process as result of unmodeled dynamics or changing process conditions, for
example, fouling and deterioration processes. In such cases, it is advantageous
to estimate parameters online. Well-known approaches include classical adap-
tive techniques, like recursive least squares techniques in which the param-
eters are updated with each measurement (Ljung, 1987), but also state observer
techniques. The first are important elements of adaptive control algorithms,
so-called self-tuning controllers. In each recursive step, the model parameters
(and thereby the model) are updated with the current measurements, and the
controller parameters are computed for this current model. More details on the
adaptive control and self-tuning controllers are found in Chapter 7 of this book.
The main idea of observers is to use a mathematical model of a process to infer
information on nonmeasurable states of the system (Luenberger, 1971; Walter &
Pronzato, 1997). To augment observers for simultaneous estimation of model
parameters, the latter are considered as nonmeasurable (static) states of the
corresponding processes. Some approaches, like Kalman filtering techniques,
also allow estimation based on corrupted measurements. However, these meth-
ods are rather suited for processes described by models of medium complex-
ity and medium-sized sets of unknown parameters. For complex systems with
a high number of unknown model parameters, application may result in bad
performance. Observer concepts have found broad application in many process
engineering systems, for example, (bio)chemical processes (Ali et al., 2015) dis-
perse systems (Bück et al., 2011), and drying processes (Velardi et al., 2009). In
the latter, an extended Kalman filter–based soft sensor was developed for inline
monitoring of the primary drying phase of the lyophilization of pharmaceuticals
in vial using a simplified mono-dimensional model. Only the temperature at the
bottom of the vial was measurable and the estimator was used to reconstruct the
temperature and position of the drying front as well as mass effective diffusiv-
ity in the dried layer and the heat transfer coefficient between the shelf and the
bottom of the product. The estimator shows a good performance for simulation
scenarios and also for an experimental setup. However, the presented estimator
is limited for state/parameter estimation of a single vial and it is mentioned that
the estimator needs to be tuned.
3.7.2 applicatiOn Of artificial neural netwOrks

As already pointed out, first principle models of drying processes are generally
rather complex due to the complicated coupling of momentum, heat, and mass
transfer. Furthermore, drying of wet materials is a complex and highly nonlinear
multivariable process which is governed by mechanisms that are not yet fully
understood. Consequently, the corresponding mathematical model formulations
are at least uncertain to some degree. In many drying applications, it is sufficient
to have an abstract model formulation characterizing the effect of process inputs
on process outputs. In most cases, classical black-box approaches fail to suffi-
ciently account for observed dynamics or involve rather complex optimization
procedures for estimation of the model parameters. This motivates the applica-
tion of artificial neural networks (ANNs) that have found broad application in
advanced drying process modeling up to the present day (Aghbashlo et al., 2015,
and the references therein). These represent powerful, flexible intelligence sys-
tems mimicking the actions of neurons in biological brains. ANNs do not require
deeper knowledge about the nature of the undergoing phenomenological mecha-
nisms but can reveal hidden relationships using data representing the behavior
of the system. They consist of layers of interconnected artificial neurons, each
summing up weighted inputs and producing an output. The model identification
comprises the iterative adaption of these weights to the data, also known as learn-
ing. For more information on artificial neural networks, please refer to Chapter 7
of this book.
3.7.3 cOmputatiOnal example: fOOd drying in fluidized Bed

Consider drying of raw food slabs in a fluidized bed as presented in Reyes et al.,
(2002) for carrots. The temporal evolution of the dimensionless moisture content in
a finite slab of characteristic size L can be computed as
X − X*  11 ⋅ π2 
Φ(t ) = = exp  − ⋅ De ⋅ t 
X0 − X*  4⋅L
2

As the equilibrium moisture content X* is much smaller than X and X0, thus
Φ ≈ X / X 0 . Furthermore, De denotes the effective diffusivity that depends on process
variables, for example, velocity v and temperature T of the air in the fluidized bed,
but also on the moisture in the slab. Neglecting the influence of moisture content as
well as material shrinkage for the moment, diffusivity can be modeled as
 c 
De = a ⋅ exp  − + b⋅v
 T + 273 . 15 
with the unknown model parameter set θ = [a, b, c]. These are subject of a detailed
study in the following. For all calculations, the commercial scientific software
MATLAB was used, specific toolboxes and functions are mentioned when used.
3.7.3.1 In Silico—Experimental Data

As the purpose of this example is the presentation of the previously discussed
concepts for parameter estimation, nine drying curves were produced in-silico with
the parameter set
θ* = [2.4 ⋅10 −4 , 0.42, 1804]
and an artificial additive normal white noise:
Φ Exp (θ*, t ) = Φ Mod (θ*, t ) +  (0, σ2 )
We further assume that experimental data is available for all possible combinations
of three different air temperatures and velocities:
T Exp = [70, 100, 120] °C, v Exp = [0.8, 1.5, 3.2]ms−1
at sampling times
t Exp = [0, 3, 6, 9, 12, 15, 18, 21, 24, 27, 30] min
3.7.3.2 Least Squares Estimation of Parameters

At first the least squares estimate is computed for the least squares cost function
∑∑∑ 2 ⋅ σ ( Φ ))
NT Nv Nt
, j ( θ , tl
1 2
min J LS ( θ ) = min 2
Mod
k, j ( θ, tl ) − ΦkExp * Exp
θ θ k , j ,l
k =1 j =1 l =1
with N{T ,v,t} the respective numbers of elements in T Exp, v Exp , and t Exp. As the
measurement variance is assumed known and the same for all measurements
(σk , j ,l = σ = const.), it has been neglected in the formulation of the optimization
problem and thus the cost function reduced to a sum of squared errors:
Nv NT
J LS (θ) = ∑∑e
j =1 k =1
j ,k
T
e j ,k
If the measurement variance would be unknown, it could also be estimated simul-

taneously. The extended unknown parameter vector for the corresponding least
squares estimation would be given as θ Ext = [θ, σ]. As all parameters are constrained
positively, a logarithmic transformation was applied to render the optimization prob-

lem to an unconstrained setting.
For computation of the least squares parameter estimate θ LS the Levenberg-
Marquardt algorithm from MATLAB’s built-in function lsqnonlin was used. The
parameter estimation was repeated for 100 different initial guesses θ* to decrease
the chance of getting a suboptimal estimate. The resulting best maximum likelihood
estimate is given by
θ LS = [1.428 ⋅10 −4 , 0.411, 1629.744]
In comparison to the original parameter set, only the estimate for parameter a
shows a significant error (≈ 40%), while b ( ≈ 2%) and c ( ≈10%) are estimated quite
accurately.
3.7.3.3 Checking Structural Identifiability with Profile Likelihoods

To check structural identifiability of the model, the profile likelihoods of the param-
eters are analyzed. In case of the first parameter, aiPL is element of a logarithmically
spaced vector with 200 elements and boundaries:
(a PL
min
PL
, amax )
= [1 ⋅10 −6 , 2.5 ⋅10 −3 ]
The parameter aiPL is kept fixed while the remaining parameters are adapted to mini-
mize the corresponding least squares function:
∑∑∑ ( Φ ([a )
NT Nv Nt
)
2
a
min J PL ([aiPL , b, c]) = min Mod
k, j i , b, c], tl − ΦkExp
PL
, j (θ , tl
* Exp
)
[b,c ] [b, c ]
k =1 j =1 l =1
As for the computation of the least squares estimate, MATLAB’s lsqnonlin function
was used to solve the optimization problem. Profile likelihoods for parameters b
and c are determined in analogous procedures. The resulting graphs are displayed
in Figure 3.4 and each function has a distinct minimum located at the least squares
estimate, indicating that all parameters and thereby the model are (locally) structural
identifiable. While the profile likelihood of parameter c is clearly parabolic shaped
and symmetric in relation to the least squares estimate, for the other two parameters
different curve shapes are obtained which flatten out for larger parameter values.
This indicates non-symmetric confidence intervals which cannot be assessed with
the classical Fisher information matrix approach and thus require application of a
more sophisticated approach.
3.7.3.4 Determining Confidence Intervals with Parametric Bootstrap

In the next step, parametric bootstrap is applied to determine the parameter estima-
tion confidence intervals. Therefore, a set of 10,000 fictitious bootstrap measure-
ments was generated by the same procedure as for the original in-silico dataset. For
each, an individual least squares parameter estimate was determined. The resulting
cloud of estimates depicted in Figure 3.5 shows that the parameters a and b are
1.54
4
1.52
3.5
1.5
3
1.48
JPL
JPL
2.5
1.46
2
1.44
1.42 1.5
0 0.5 1 1.5 2 2.5 0 0.5 1 1.5 2 2.5 3 3.5 4

(a) × 10−3 (b)
1.46
1.455
1.45
1.445
1.44
JPL
1.435
1.43
1.425
1.42
1.415
(c) 1,000 1,200 1,400 1,600 1,800 2,000 2,200
FIGURE 3.4 (a) Profile likelihood curve of parameter a, (b) profile likelihood curve of
parameter b, and (c) profile likelihood curve of parameter c.
3000 3000
2500 2500
2000 2000
c
c
1500 1500
1000 1000
500 500
−5 −4.5 −4 −3.5 −3 −2.5 −2 0.2 0.3 0.4 0.5 0.6 0.7
(a) log10(a) (b) b
0.65
0.6
0.55
0.5
0.45
b
0.4
0.35
0.3
0.25
0.2
−5 −4.5 −4 −3.5 −3 −2.5 −2
(c) log10(a)
FIGURE 3.5 Location of bootstrap parameter point estimates. (a) Projection to a–c plane,
(b) projection to b–c plane, and (c) projection to a–b plane.
0.07 0.07
0.06 0.06
0.05 0.05
Relative frequency
Relative frequency
0.04 0.04
0.03 0.03
0.02 0.02
0.01 0.01
0
−4.5 −4 −3.5 −3 −2.5 0
0.25 0.3 0.35 0.4 0.45 0.5 0.55 0.6
(a) log10(a)
(b) b
0.07
0.06
0.05
Relative frequency
0.04
0.03
0.02
0.01
0
1,000 1,200 1,400 1,600 1,800 2,000 2,200 2,400 2,600
(c) c
FIGURE 3.6 Marginalization of bootstrap estimates on: (a) Histogram for parameter a,
(b) histogram for parameter b, and (c) histogram for parameter c; 0.025/0.5/0.975 quantiles
displayed by black vertical lines.
strongly correlated (this means, that higher values of a can be compensated by larger
values of parameter b) indicating bad identifiability, while the other two parameter
combinations show no clear correlation.
Marginalization of the bootstrapped parameter set to the corresponding axis can
be seen in histograms in Figure 3.6.
These may be approximated by standard distribution functions: The set of point esti-
mates of parameters b and c can be approximated by Gaussian normal distributions. In
contrast, the shape of the distribution for parameter a rather resembles a logarithmic
normal distribution. Thus, the confidence interval will not be symmetric. The 95% con-
fidence intervals are determined by the percentile method as described previously as
 a95%   4.857 ⋅10 1.225 ⋅10 −3 

−5
,
   
θ95% =  b95%  =  3.169 ⋅10 −1 , 5.326 ⋅10 −1 
 c   1. 224 ⋅103 2.391 ⋅103 
 95%   ,
It is further worth mentioning that the bootstrap parameter estimates given by the
median (the 50% percentiles) are
θ BS = [2.404 ⋅10 −4, 4.196 ⋅10 −1, 1.804 ⋅103 ]

and thus differ from the maximum likelihood estimates presented earlier in this section.
However, the differences to the original parameters are very low (<0.1%). Consequently,
compared to the least squares estimation, one is compensated for the high computa-
tional effort of the bootstrap approach by obtained more accurate parameter estimates.
3.7.3.5 Bayesian Parameter Estimation with Markov Chain Monte Carlo

For generation of the Markov chain, an adaptive Metropolis-Hastings algorithm
with delayed rejection as presented by Haario et al., (2006) was employed which
is implemented in MATLAB Toolbox DRAM. The chain was initialized with the
following initial conditions θ* = [1.5, 1.2, 0.5]′ ⋅ θ without further assumptions on the
model parameters (this is also known as flat prior, where the prior parameters are
uniform distributed). The percentile method was applied to infer the estimates from
the 50,000 elements of the chain and convergence of the MCMC chain was veri-
fied with a Geweke test (Haario et al., 2006). The chain elements can be analyzed
analogously to bootstrap point estimates and the resulting values of the parameters
are shown in Figure 3.7.
The resulting Bayesian parameter estimates (i.e., the 50% percentiles of the chain
element distributions) are given by
θ Bayes = [2.754 ⋅10 −4, 4.115 ⋅10 −1, 1.871 ⋅103 ]
0.045 0.06
0.04
0.05
0.035
Relative frequency
Relative frequency
0.03 0.04
0.025
0.03
0.02
0.015 0.02
0.01
0.01
0.005
0
−4.4 −4.2 −4 −3.8 −3.6 −3.4 −3.2 −3 −2.8 0
0.25 0.3 0.35 0.4 0.45 0.5 0.55 0.6
(a) log10(a)
(b) b
0.045
0.04
0.035
Relative frequency
0.03
0.025
0.02
0.015
0.01
0.005
0
1,000 1,200 1,400 1,600 1,800 2,000 2,200 2,400 2,600
(c) c
FIGURE 3.7 Bayesian parameter estimation results—analysis of MCMC chain elements.

(a) Histogram for parameter a, (b) histogram for parameter b, and (c) histogram for parameter c.
In comparison to the original parameter set, the estimated parameters differ by

15% / 2% / 4% and are thus not as accurate as the bootstrap parameter estimate.
The corresponding confidence intervals are given by
 a95 % 
Bayes
 6.644 ⋅10 −5 , 1.134 ⋅10 −3 
 Bayes   
θ95
Bayes
% =  b95%  =  3.067 ⋅10 −1 , 5.210 ⋅10 −1 
 c95
Bayes   2.382 ⋅103 
 %   1.345 ⋅10
3
,
It can be seen, that the results from the Bayesian approach here also slightly differ
from the bootstrap results. In Figure 3.8, numerical solutions of the drying curve
model with the different estimated parameter sets (least squares, bootstrap median,
Bayes median) are shown along the measurements only slight differences are
observed. The fits of the curves for Tair = [70, 120]°C in the last row seem to be not
as good as for the upper two rows. However, one has to keep in mind that all curves
are fitted at the same time such that the resulting model parameters guarantee best fit
over all experiments and thus single curves show worse fit than other ones.
At this point we can give no general recommendation in which cases the frequen-
tist approach for parameter estimation is preferred over the Bayesian approach or vice
versa. The number of function evaluations for the Bayesian approach is equivalent to
the number of chain elements (Reminder: No optimization is involved!). In contrast,
for the bootstrap approach the number of function evaluations scales not only with
the number bootstrap points but also depends on the complexity of the underlying
optimization problem and the applied optimization routine which may require a large
number of function evaluations for each optimization. Yet the Bayesian approach is
not superior, as more complex problems than the one presented here may require
more advanced MCMC techniques with a larger computational effort. For the rather
simple example presented, the bootstrap procedure for 10,000 point estimates took
about the same time as the generation of a 50,000 element chain.
3.8 SUMMARY
In this chapter, a condensed introduction to parameter estimation, a key element of
mathematical model development process, was provided. In the following the most
significant points are summarized:
The type and complexity of the model and specific choice of inputs and outputs
always depends on the intended use. For controller design an input-output represen-
tation may be sufficient, while for a deeper analysis a more complex and less abstract
white-box model based on conservation laws is necessary. In general, model devel-
opment is an iterative procedure and goes hand in hand with experimental design.
The latter can not only be used to design new experimental setups to improve the
model structure and reduce the parameter estimates uncertainty but also to evaluate
and rank concurring model hypotheses.
Identifiability of the model parameters is a necessary premise without which all
further efforts are futile. While practical non-identifiability can be overcome by
experimental design, model reformulation or additional measurements are necessary
1 Tair = 70 1 Tair = 100 Tair = 120 1
0.5 0.5 0.5
X/X0
vair = 0.8
0 0 0
Parameter Estimation
0 10 20 30 0 10 20 30 0 10 20 30
1 1 1
0.5 0.5 0.5
X/X0
vair = 1.5
0 0 0
0 10 20 30 0 10 20 30 0 10 20 30
1 1 1
0.5 0.5 0.5
X/X0
vair = 3.2
0 0 0
0 10 20 30 0 10 20 30 0 10 20 30
t t t
Meas LS Boot Bayes
FIGURE 3.8 Simulation of drying model with least squares parameter estimate (LS), bootstrap 50% percentile (Boot), and MCMC 50% percentile
(Bayes).
49
to counteract a structural non-identifiability. A vast number of computational tools

exist to solve the inverse problems and obtain parameter estimates. It is important
to be familiar with the properties of the method one uses, to be able to make reli-
able statements. Estimates resulting from deterministic optimization algorithms can
yield local optima and should thus be repeated for multiple different initial param-
eter estimates.
Model parameters obtained from the solution of any inverse problems always
underlie statistical variations resulting from unmodeled effects and nonprevent-
able stochastic measurement errors. These uncertainties can be quantized by means
of confidence regions and are not simply by-products of the parameter estimation
procedure but give a direct measure of the model quality. For the computation of
parameter intervals, the advanced techniques, that is, parametric bootstrap or the
Bayesian approach, should in general be favored over the standard Fisher informa-
tion matrix approach as the latter relies on assumptions which only hold in very rare
cases. Bootstrap estimates can be determined individually from each other (each
corresponds to the solution of one individual least squares problem) and thus may
be parallelized on multiple CPUs/GPUs to reduce the involved computational effort.
When comparing different model hypotheses, it is important to include not only the
quality of fit into evaluation but also model complexity by means of free (unknown)
model parameters. To trade off both, information criteria like the AIC can be used.
As a concluding remark, it has to be emphasized that meaningful experimental
data is fundamental for development of accurate and representative models. For this
reason, it is important that experimentalists and modelers cooperate closely such that
they can adapt their individual work to the other’s viewpoint. This applies in particu-
lar, if non-identifiability of a parameter (and thereby of the model) can be overcome
using measurement of an additional output.
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4 Open-Loop, Feedback,
Model-Based Control
Optimal, Adaptive, Robust

Andreas Bück
CONTENTS
4.1 Introduction .................................................................................................... 53
4.2 Main Terminology and Control Concepts ...................................................... 54
References ................................................................................................................60
4.1 INTRODUCTION
Control is the practice of influencing the static or dynamic behavior of a process—
technical, biological, social or otherwise—with respect to a desired outcome. The out-
come in its broadest sense can be specified in terms of product quality, process dynamics
and stability, economics, or with respect to minimization of risks for health, safety, and
environment. In terms of drying processes, product quality is multifaceted and may
comprise, in addition to regulation of the product moisture content, specification of a
water activity (food); avoidance of denaturation of components; the absence of mechani-
cal damage in the material due to stress formation during drying; ability to re-hydrate
the dried material, the creation of a specific inner morphology or porosity; and the
limitation of unwanted structural changes of the dried material, for example changes in
volume or shape (gels, foams). Economic constraints usually comprise minimization of
costs for consumables, energy, and for maintenance to maximize the profit of operation.
Minimization of risks is a factor gaining importance in dryer operation, not only in
terms of equipment and personnel, but also with respect to the environmental footprint
of dryer operation. For instance, emissions of an evaporated, possibly toxic, solvent with
the drying gas in a convective dryer should be kept to a minimum, specified by local
environmental laws. Trespassing limits may result in severe repercussions for the dryer
operator, and in the worst case, even to forced shutdown of the plant.
Many practical aspects therefore motivate the use of control. The aim of this
chapter is to provide, in an informal manner, the basic terminology and concepts
of control, highlighting the potential and limits of the various control concepts and
methodologies. Detailed treatment of all concepts and additional material can be
found, for instance in Dorf and Bishop (2016), Nijmeijer and van der Schaft (1990),
53
Isidori (1995), Camacho and Bordons (2007), Åström and Wittenmark (1995),
Landau et al. (2011), Ackermann (2002), and Zhou and Doyle (1997). Applications of
these control concepts to drying processes are presented in all chapters throughout
this book, especially in Section II.
4.2 MAIN TERMINOLOGY AND CONTROL CONCEPTS

All control systems are built up from the interplay of four components: First comes
process dynamics, the temporal and spatial behavior of the process in response to
internal and external excitations, which is to be influenced by the control system. The
influence is exerted via the second component, manipulated variables, for example
flow rates or power output of a heater, which are provided by physical actuators, such
as pumps, heaters, heat exchangers, and so on. Each actuator is a dynamic system
of its own, characterized by its operating limits, for example maximum flow rate or
maximum power output, that have to be considered in process and control design.
The third component comprises the measured variables or outputs; these vari-
ables are directly measured in the process, for example gas humidity or material
temperature. From a control point of view, these measurements should be performed
online with as little time delay as possible.
Fourth are the controlled variables or outputs; these are the variables of interest
that should attain predefined values, for example the solids moisture content and the
solids temperature. The performance and the outcome of a controlled process are
assessed with respect to these variables. If they cannot be measured directly, then
they have to be inferred from available process measurements, which require the
process to have the property of observability.
The main requirements on any control system are the provision of (in descending
order of importance; Dorf and Bishop, 2016):
• Stability: For the concept of stability several definitions exist, which will
be discussed subsequently. The general task is to guarantee that finite exog-
enous signals (e.g., references, disturbances) only yield finite changes in
all internal and external signals, for example the measured and controlled
variables.
• Disturbance attenuation or rejection: For disturbance classes of interest, the
steady-state error should vanish, that is, there is no persistent error in the con-
trol result. This requirement can be fulfilled by a suitable choice of the control-
ler structure depending on the process structure.
• Dynamics: The transition of the process between two states, for instance
the return into its initial state after the occurrence of a disturbance, should
be sufficiently fast without too much variation in the measured and con-
trolled variables.
• Robustness: The three requirements should be fulfilled even if the process
model used in the design of the controller contains errors in comparison
with the real process, for instance due to unknown process kinetics or the
simplification of a complex but accurate process model.
Model-Based Control 55
The engineering task then is to design a control system, using the available combi-
nation of manipulated, measured, and controlled variables that provides the stated
functionalities, possibly under considerable uncertainties in the process description.
Process models are at the heart of any control design approach and formalize
the operator expectations in the process response to internal and external excita-
tions. These models can be formulated in many different ways, for example tabulated
data from step response experiments; fitting of input–output relations using artifi-
cial neural networks (Chapter 9, “Artificial Neural Network-Based Modeling and
Controlling of Drying Systems”); based on first principles, that is, fully resolving
mass, energy, and momentum balances of all involved chemical species with their
respective kinetics and thermodynamic behavior; or be described informally using
fuzzy logic (Chapter 8, “Fuzzy Logic Control in Drying”). Although the appear-
ance of the models can be quite different, they can be grouped roughly into two
categories: (1) input–output models and (2) state-space models.
Input–output models describe the process behavior (dynamic and static) solely in
terms of the input variables and the measured variables, that is, they provide direct
relations between the two sets of variables. This type of model cannot describe internal
processes that may be triggered by some inputs but are not measured. Typical exam-
ples of input–output models are linear transfer functions models and artificial neural
networks.
State-space models differ from input–output models in that they possess an
internal state. This is a (nonunique) collection of process variables that completely
describe the evolution of the process. Inputs not only interact with outputs directly
but also with some of the internal states, which in turn can influence other states
and outputs. These types of models therefore possess a memory, that is, the current
state is the result of all previous external influences and internal processes. A state-
space model consists of a dynamic part describing the interaction of the inputs with
the internal states as well as the interaction between the states, and a measurement
or output equation, which expresses the measured variables in terms of the process
states and inputs. Dynamic models obtained from first-principles modelling are usu-
ally state-space models, with the dynamic part given by a set of ordinary or partial
differential equations, whereas the output equation is usually an algebraic relation.
The control system design effort significantly depends on whether the process
model is linear or if it shows nonlinear behavior. A process shows linear behavior if
the response to a doubled input signal is exactly twice the response of the input signal,
and if the response of the process to the sum of two input signals is the same as the sum
of the responses to the two individual input signals (superposition principle). If these
two conditions do not hold simultaneously, then the process is nonlinear. Linear sys-
tems have only a limited variety in their response, which make them generally easier to
control in comparison to nonlinear systems, which have a much larger variety in their
responses. For that reason, design methods for linear process models are usually more
matured than methods for nonlinear processes, and much more practically applied.
As already mentioned, process stability is the main requirement of any con-
trolled system. Broadly speaking, a process is stable if its internal states and out-
puts remain bounded for any bounded input signal. It is asymptotically stable if it
returns on its own to its original state after an excitation. The difference between
stability and asymptotic stability is that in a stable process the state does not
have to attain the original state but may settle to another state finitely far away
from it. In terms of input–output models, stability is defined as bounded-input
bounded-output stability, that is, any finite input signal has to produce at most
a finite output signal. State stability in addition requires that all state variables
remain bounded and finite. These two notions are only equivalent in the special
case that the state-space model is fully controllable and observable (explanation
following), otherwise there may exist state variables that are not accounted for in
an input–output model; analyzing the input–output behavior may show bounded-
input bounded-output stability, although some of the internal states grow without
bounds (diverge).
State controllability is a property of systems or processes that allows (at least
theoretically) for achieving any combination of values of state variables by the
available process inputs, either directly or indirectly through interaction of pro-
cess states. In terms of drying processes, these could be arbitrary precise product
moisture content, arbitrary composition and content of valuable ingredients, any
customer-specified product temperature, and so on. A process is called uncontrol-
lable if there exists at least one state that cannot be arbitrarily influenced by the
inputs. Practically, this theoretical concept of state controllability is often limited
by input constraints. As a simple example consider an IR heater with a certain
power output which can supply heat to a drying process. No process states that
require a larger output than the maximum available can be achieved. Additionally,
this input can only provide heat; the removal of heat cannot be manipulated by this
input. In order to cool down the product, other means are required, for example
a fan providing a cold gas flow, which cannot be used to heat the product. This
limitation to one-directional input, either supply or removal of some quantity but
not both, is quite common in process engineering and one of the major obstacles
in design of control systems.
Given a process model, state controllability can be checked mathematically.
Transfer function models are by construction controllable, so no check is required.
State-space models can be checked for controllability using algebraic methods if they
are linear (Kalman criterion, Hautus criterion; Nijmeijer and van der Schaft, 1990);
the procedures are fully automated and readily available in all control-oriented soft-
ware packages. If the process model is nonlinear, then differential-algebraic meth-
ods or methods from differential geometry are required. The use of these methods
is quite complex, even for models of moderate size. Furthermore, the evaluation
is not yet automated, so typically only experts are able to perform the analysis. In
many cases, the process models are linearized, for example near a steady state, and
checked for controllability near this operating point.
Another important property of a system is state observability. Quite often the
interesting quantity cannot be measured directly or the measurement and its evalu-
ation take up to much time and resources. A process is observable if from a set of
measured outputs all process states can be uniquely determined. A common example
in drying processes is the determination of product moisture content from the mea-
surement of relative or absolute gas humidity. This approach is successful if the
solid is in thermal equilibrium with the gas phase and the sorption isotherm can be
used, by inversion, to determine the product moisture content. A process is called
unobservable, if there is at least one state that cannot be uniquely determined from
the available measured outputs.
As an example, consider convective heating of material. The measured output is
the material temperature and the interesting state is the color, which may change dur-
ing drying. If there is no change in thermal conductivity of the material, then color
changes cannot be inferred from changes in the temperature. Additionally, it needs
to be distinguished whether a change in temperature is due to a change in color or by
the heating itself. A physically motivated link between color and temperature exists
in case of IR heating; here the absorption and reflectance spectra of the material
change with the material cooler; however, it still needs to be distinguished whether
the changes are due to heating or cooling of the material or due to the color change.
If observability is not given, then the required information on the state variables
can only be obtained by changing the measurement setup, that is, by installation of
additional sensors, for example humidity sensors, or by repositioning of sensors.
Testing a model for observability is similar to testing for controllability (Nijmeijer
and van der Schaft, 1990). Transfer function models are by construction also observ-
able. Linear state space models can be tested by algebraic methods (Kalman or
Hautus criterion) which are readily available in standard control software packages.
The observability analysis of nonlinear models is again hindered by the complexity
stemming from the use of differential-algebraic or differential-geometric methods,
and usually restricted to academic investigations.
The principle of open-loop control is depicted in Figure 4.1 (Dorf and Bishop,
2015). In open-loop control the process inputs u are directly determined by the con-
trol law u = C r, where C is an abstract representation of the open-loop controller,
and r is the desired process result (reference). In an ideal setting, that is, without
disturbances d, choosing the controller as the inverse of the process P would give a
perfect result: measured output and reference would match. However, for non-zero
disturbances, a non-zero offset will remain in the control result. As the offset in the
controlled variable is not detected by the controller, this configuration may lead to
unsatisfying results. Additionally, the practical realization of the controller C may be
impossible as it requires perfect knowledge of the process P, which is almost never
available.
d
u
r Controller Process y
FIGURE 4.1 Configuration of open-loop control (r = reference, u = process input, d =

disturbance, y = measured/controlled output).
e u
r Controller Process y
−
FIGURE 4.2 Configuration of closed-loop control (r = reference, e = control error, u = process

input, d = disturbance, y = measured/controlled output).
Closed-loop control or feedback control improves this situation by providing a

comparison between the reference and the current process result (Figure 4.2). The
difference, the control error e, is then used to calculate the control action u = C e.
This feedback of information allows the indirect detection of disturbances and can
provide zero offset in the output with respect to the reference signal. Additionally,
it provides some robustness with respect to model uncertainties as well as measure-
ment noise. With respect to operation, feedback control offers superior capabilities;
in fact, it is the only option to operate processes at open-loop unstable operating
points. However, due to the feedback, the design is generally more complex than
for open-loop control. The decision about which type of control is to be used is also
influenced by economics, as feedback controllers require additional investment.
Robust control and its design methods (Ackermann, 2002; Zhou and Doyle, 1997)
are tasked with providing equal performance of a control system in the presence of
process uncertainties. These could be due to sensor or actuator wear; the change
of internal process parameters during operation, for instance the change of heat
transfer coefficients due to changes in the material structure or caking; or additional
dynamic effects that were neglected in the modelling process. The main requirement
for robust control is that the bounds for the uncertainties (individually or overall)
are known. The result of a design procedure is a controller with fixed structure and
fixed parameters that provides the required performance as long as the uncertainties
remain within the specified bounds. High performance of robust controllers can only
be expected for clear and tight bounds on the uncertainties; the larger the bounds, the
more conservative the resulting controller will act, possibly resulting in slow dynam-
ics of the controlled system.
For linear process models, given either as transfer functions or state-space
models, several mature design methods are available, for example µ-synthesis or
H∞-loop-shaping, which are supported by many control software packages. For non-
linear process models, the design is significantly more complex, with multipurpose
design tools, methods, and software packages still missing.
Adaptive control addresses a similar problem as robust control (Åström
and Wittenmark, 1995; Landau et al., 2011). Again, the main task is to pro-
vide equal control system performance in the face of process uncertainties and
time-varying internal process parameters. The main difference with respect to
robust control, however, is the design approach: In adaptive control, the control
system also consists of a separate mechanism for the detection of changes in
the process behavior. The controller parameters are adapted online to guarantee
the required performance, that is, the controller parameters are time-varying
whereas in robust control they are constant. An in-depth treatment of adap-
tive control and its successful application to drying processes is presented in
Chapter 7, “Adaptive Control.”
Typically, there is more than one solution to a control problem. Optimal control
then asks for the solution, for example, a set of controller parameters, such that an
additionally specified functional is minimized or maximized. For instance the func-
tional can account for the cost of control action, with the optimal solution being the
one minimizing this cost. Another aim could be minimization of process deviation
from a predetermined trajectory, that is, penalizing deviations, for example due to
a process disturbance, and initiating fast controller action to return to the required
process state. The functional can also combine competing aspects, for example quick
response (usually requiring large control effort) and minimization of control effort.
Additionally, constraints can be formulated which are taken into account during the
search for the optimal solution. Typical constraints are limitations on the manipu-
lated variables (e.g., lower and upper bounds), output constraints (e.g., gas humidity
below saturation), or even state constraints, for example, specification of a maximum
solids temperature, for instance in drying of possibly denaturing materials (enzymes,
proteins, etc.).
The search for an optimal control policy can be performed in an open-loop or
closed-loop setting. In both instances, the solution can be obtained by static optimi-
zation or by means of dynamical optimization. One common method for static opti-
mization in the open-loop setting is the response surface methodology (RSM, see
Chapter 5, “Control of Drying Processes by Static Optimization”) which can be used
to systematically evaluate an optimal set of process conditions from a set of a pri-
ori experiments. Dynamic optimization in an open-loop framework is discussed in
detail in Chapter 6, “Dynamic Optimization in Drying,” the main idea being the use
of the process model to predict future process behavior and minimizing or maximiz-
ing the functional using this predicted response. Static optimization in a closed-loop
setting is employed, for example in linear-quadratic optimal control (LQR) of linear
process models, with a quadratic cost functional and without constraints. If con-
straints are present, the problem becomes dynamic, that is, the optimal solution has
to be calculated online; in the case of linear models with quadratic cost functional
to a quadratic programme (QDMC; Garcia and Morshedi, 1986); in case of nonlin-
ear process model, cost functionals or constraints, nonlinear optimization problems
arise whose solution may pose significant challenges (Camacho and Bordons, 2007).
Predictive control subsumes all methods that do not solely rely on the measured
response of a controlled process to evaluate immediate and future control action,
but use a dynamic process model to predict and evaluate the response of the process
to current and possible future control moves. The idea of model predictive control
(MPC), which can be applied to linear and nonlinear processes with and without
Past Future
System Reference
u
t/Tsample
k k+1 k + Nc k + Np
Control horizon
Prediction horizon
FIGURE 4.3 Representation of the general idea of model predictive control.
constraints, is depicted in Figure 4.3. Given the knowledge of the current state of the
process, the future evolution is predicted using the process model and an assumed
control input profile by forward simulation. The calculated process response is eval-
uated and compared with the required response and a cost is assigned to the differ-
ence of the two profiles. Using numerical optimization, the initially assumed control
input profile is updated and the prediction is performed again. Iteratively, an opti-
mal control input sequence is obtained. In open-loop optimal predictive control, the
whole input profile is applied to the process; in closed-loop predictive control only
part of the calculated profile is applied and the calculation is restarted afterwards.
This step-by-step calculation allows reaction to external disturbances as well as to
process drift due to effects not considered in the process model.
For linear process models, a number of predictive control methods and powerful
computer software packages are available (Camacho and Bordons, 2007). Nonlinear
model predictive control is gaining on linear predictive control, however, the numeri-
cal effort is considerably higher (requiring large computational resources for hard
time constraints) and also guarantee of closed-loop stability is not as easily assured
as in the linear case. Nevertheless, nonlinear predictive control has also been suc-
cessfully applied in drying processes, for instance in Musch et al. (1998), Didriksen
(2002), and Abukhalifeh et al. (2005).
REFERENCES
Abukhalifeh, H., Dhib, E., and Fayed, M.E. 2005. Model predictive control of an infrared-
convective dryer. Drying Technology 23(3), 497–511.
Ackermann, J. 2002. Robust Control: The Parameter Space Approach, 2nd ed. London, UK:
Springer.
Åström, K.J., and Wittenmark, B. 1995. Adaptive Control, 2nd ed. Reading, MA: Addison-
Wesley Publishing Group.
Camacho, E.F., and Bordons, C.A. 2007. Model Predictive Control. London, UK: Springer.
Didriksen, H. 2002. Model based predictive control of a rotary dryer. Chemical Engineering
Journal 86, 53–60.
Dorf, R.C., and Bishop, R.H. 2016. Modern Control Systems, 13th ed. Boston, MA: Pearson.
Garcia, C.E., and Morshedi, A.M. 1986. Quadratic programming solution to dynamic matrix
control (QDMC). Chemical Engineering Communications 46, 73–87.
Isidori, A. 1995. Nonlinear Control Systems, 3rd ed. London, UK: Springer.
Landau, I.D., Lozano, R., MʹSaad, M., and Karimi, A. 2011. Adaptive Control: Algorithms,
Analysis and Applications. London, UK: Springer.
Musch, H.E., Barton, G.W., Langrish, T.A.G., and Brooke, A.S. 1998. Nonlinear model pre-
dictive control of timber drying. Computers & Chemical Engineering 22(3), 415–425.
Nijmeijer, H., and van der Schaft, A. 1990. Nonlinear Dynamical Control Systems. New
York: Springer.
Zhou, K., and Doyle, J.C. 1997. Essentials of Robust Control. Upper Saddle River, NJ:
Prentice Hall.
5 Control of Drying
Processes by Static
Optimization
Andreas Bück
CONTENTS
5.1 Introduction .................................................................................................... 63
5.2 Optimization Concepts and Methods .............................................................64
5.2.1 Model Structures Used in Static Process Optimization .....................66
5.2.2 Methods for Unconstrained Optimization .......................................... 68
5.2.3 Methods for Constrained Optimization .............................................. 72
5.3 Applications in Drying Technology ............................................................... 73
5.4 Conclusion and Outlook ................................................................................. 73
References ................................................................................................................ 74
5.1 INTRODUCTION
The question of whether a drying process is run in an optimal way is natural to ask,
however, the answer to this question can prove to be very difficult. First, what does
optimal mean? For different people involved in the operation and management of a
drying process, the answer will be different: The operator may consider long-term
operation without component failure or safety-critical events to be optimal; quality
management may measure optimality in terms of maximum product quality. Higher-
level management may ask not only for maximum throughput at highest quality but
also for the lowest cost possible, before considering the process optimal. Therefore,
optimal operation of a drying process may have different and competing aspects,
which need to be clarified and weighted against each other before one can start to
answer the initial question.
After clarification of the meaning of optimality, the question is how to assess it
or detect deviations there from. Here, mathematical models are used to predict the
response of the drying process with respect to changes in the operation and process
parameters. From the response a value characterizing the optimality is calculated,
using the concept of a cost or merit function. Changes in this value upon changes in
the parameters are then exploited to maximize the merit or minimize the associated
cost. In practical applications, however, several obstacles have to be overcome, for
example: Does an optimum even exist? Is there more than one optimum? Can the
63
optimum be achieved by the available range of operating and process parameters,

or is only a suboptimal solution possible given the constraints, for example, maxi-
mum power output of heaters, maximum allowable process temperature, and so on?
Overcoming these obstacles, step-by-step, by subsequent updates of the operating
and process parameters, an optimum is achieved and the conditions under which the
process performs best are obtained.
The question of optimal operation is therefore misleadingly simple and answer-
ing it may require detailed process models to capture the behavior and response in
sufficient detail. Furthermore, it may require the use of elaborate mathematical tools
to obtain results.
The purpose of this chapter is to introduce in an informal manner the main con-
cepts of static optimization and of some methods commonly applied in the area
of drying technology. Only static optimization, that is, optimization of steady-state
or equilibrium behavior, is considered. Dynamic optimization, that is, optimiza-
tion problems that take into account the dynamic behavior over a time horizon, is
treated in Chapter 6. The selection of methods is subjective and only their core ideas
are presented. All mathematical details, for example proofs and implementation,
as well as other methods can be found in the monographs by Dixon (1972), Gill
et al. (1981), Kelley (1999), Boyd and Vandenberghe (2004), Nocedal and Wright
(2006), and Ruszczyinski (2006). However, for day-to-day use, almost all optimi-
zation methods are readily available in numerical software packages, for example,
MATLAB (Mathworks Inc.), GNU Octave, Scilab (Scilab Enterprises), AMPL
(AMPL Optimization Inc.) or GAMS (GAMS Development Corp.), or in high-level
programming languages (C++, Java, Python), for instance via the NAG Numerical
Library (Numerical Algorithms Group Ltd) or the GNU Scientific Library (GSL).
5.2 OPTIMIZATION CONCEPTS AND METHODS

The search for optimal operating and process conditions leads to the field of math-
ematical optimization, which uses a specific set of concepts and definitions to for-
malize the concept of optimal solution.
Optimality is defined with respect to a cost or merit function, say F, which assigns
to each possible process outcome a value representing the optimality with respect
to the cost or merit function. The function F can depend on all or just some of the
process and operating parameters and it may produce one or several values at once
to describe the optimality of a current setting. For reasons of simplicity in the pre-
sentation, in the following only single-valued functions F are considered. The case of
maximization can be recovered by changing the sign in the definitions.
Given a vector of parameters p = [p1, p2 , …, pn], the function F produces the out-
put F(p). A parameter p* represents a local minimum if F(p*) < F(p) for all p in some
region around p*. It is a global minimum if F(p*) < F(p) holds for all possible sets of
parameters p. Similarly, a parameter p* represents a local maximum, if F(p*) > F(p)
for all p in some region around p*. It is a global maximum if F(p*) > F(p) holds for
all possible sets of parameters p. The difference between local and global optima
is shown in Figure 5.1. A cost or merit function F may have several local optima;
Control of Drying Processes by Static Optimization 65
F
Global
maximum
Local
maximum
Local
maximum
Local Local
minimum maximum
p
Local
minimum
Local Global
minimum minimum
FIGURE 5.1 Local and global optima of a function (special case of a single valued function
F of one parameter p).
it is then the task of the process designer to pick the one that best suits the process,
possibly using additional information that has not been formalized in the function F.
When a global optimum has been found, the situation is much simpler, unless there
are different combinations of p that give the same globally optimal value. On the
other hand, global optima are much harder to find, especially in nonlinear processes
(such as drying) and for very complex formulations of the function F.
In many applications, the range of values that the parameters p1 to pn can attain
is not arbitrary, but limited by constraints. For example, flow rates cannot be nega-
tive, parameters representing these therefore have to fulfil the constraint of non-
negativity, that is, pj ≥ 0 for some values j; or that the (calculated) outlet moisture
content can be at most as high as the corresponding saturation moisture content.
Whereas these are examples of inequality constraints, other relations and interde-
pendency of operating and process parameters can be expressed as equality con-
straints, for instance mass and energy balances that have to hold for any physically
relevant solution of the optimization problem. The set of constraints, inequality,
and equality constraints, limits the parameter range to some, possibly large and
complex, set P.
A collection of parameters p = [p1, p2 , …, pn] is called feasible if it lies in the
admissible set P, that is, p ∈ P . In principle, only feasible collections have to be
checked for optimality, however, due to the possibly complex structure of the set
P, described by the constraints, determination of whether a specific collection p is
feasible is already difficult. A collection of parameters p that is not feasible is not
admissible as a solution of the optimization, as it violates constraints imposed by the
physics of the underlying process.
As mentioned several times, optimization is based on the response of process
models to changes in the process parameters. In general, starting from one or several
initial guesses for the optimal collection of operating and process parameters p*, the
responses are evaluated using the function F and the guess(es) are updated in such a
way that an improvement with respect to F is achieved. The specific structure of the
model is not important, except for two aspects: First, the model should cover all pos-
sible responses over the range of interest, that is, it should describe the process suf-
ficiently well; otherwise the calculated optimum can be arbitrarily far away from the
actual one due to the model mismatch. Second, model complexity should be kept
as low as possible to limit the effort required for the solution of the optimization
problem, that is, when two model formulations with the same behavior are available
for use in the optimization problem, the one of lesser complexity should be used.
5.2.1 mOdel structures used in static prOcess OptimizatiOn

Generally used model structures in optimization include first-principles models,
stemming directly from mass, momentum, and energy balances of the process,
which provide a lot of insight on the inner workings of the process but are generally
highly complex. Artificial neural networks (ANNs) provide a way to formalize pro-
cess responses in a mathematical framework mimicking the working of neural net-
works found in animals and humans, with the ability of automated learning. ANNs
are described in detail in Chapter 9, case studies of their use in drying processes are
presented in Chapter 15.
A third class of model structures that has gained a lot of interest and applications in
the areas of process modeling and optimization is the response surface methodology
(RSM; Khuri and Mukhopadhyay, 2010). The response surface is created by the
actual responses of a process to its inputs in the space of all possible responses. The
main idea of RSM is to approximate the responses of a process to given inputs as
low-order polynomials, for example linear or quadratic relationships between inputs
and responses. The coefficients of the polynomials are then found by fitting of the
responses to the input data, resulting in a static, time-independent model. The fitted
models then allows for the following
• Prediction of responses to other input values (in the range of validity of the
model)
• Significance testing of influence of individual inputs on process responses
• Determination of optimum values of inputs to achieve an optimum (mini-
mum or maximum) response of the process
The main advantage of RSM is that the obtained models have a comparably simple
structure, being made up of low-order polynomials, which can be handled efficiently
by standard tools from mathematical analysis (theoretical as well as numerical).
Additionally, the mathematical prerequisites for its application are low; in many
cases the sought optimum can be obtained graphically or read from a table given the
RSM models.
The RSM model can be obtained from experimental data (either real or simu-
lated) by first carrying out a number of experiments, say N, and then fitting the free
parameters of the RSM model to the response data given the input data of each
experiment. In order to keep the number of necessary experiments N as low as pos-

sible, that is, to extract as much significant information from each experiment as
possible, the design of the experiments is of high importance.
Design of experiments (DoE) been a research topic for decades (Box and Hunter,
1957) but has become an independent branch of research in recent years, with the
aim of providing approaches and methods that, on one hand, reduce the experimen-
tal effort in obtaining a model but, on the other hand, guarantee tight bounds on the
statistical reliability of an obtained model and the region of trust associated with
it. The main requirements and desired properties of a design have been proposed
by Box and Draper (1975); since then many additional properties have been devel-
oped and formalized. An overview is provided in the review of RSM by Khuri and
Mukhopadhyay (2010).
Popular choices of experimental designs in the context of RSM are for linear
models the 2k- and the Plackett-Burman design; for quadratic (or second-order) mod-
els the central composite design (CCD) and the Box-Behnken design:
• 2k factorial designs: All k input variables are investigated at two levels, a

minimum and a maximum, leading to a total of 2k possible combinations.
Without replications, this yields N = 2k experiments, a number that increases
exponentially with a linear increase in k. As the number of parameters to be
estimated is usually considerably less than 2k, for example in a linear model
it is k + 1, only a fraction of the 2k experiments have to be performed. The
lowest fraction m (2−m) is given by the constraint 2k−m ≥ k + 1, so that all
parameters can be estimated uniquely. Details on the construction of these
fractional designs and their use can be found in Montgomery (2005).
• Plackett-Burman design: This design approach also considers two levels for
each input, but is more economical, as it only requires N = k + 1 experi-
ments. However, it is only applicable if k + 1 is a multiple of four, that is,
for k = 3, 7, 11, 15, 19, 23, … Details on this design, the experimental setup,
and its properties are given in Plackett and Burman (1946).
• Central composite design (CCD): This design, first introduced by Box and
Wilson in 1951, extends the ideas of experimental design for linear mod-
els to second-order models. It starts with a factorial design with additional
experimental runs to account for the nonlinearity of the process model. The
total number of experimental runs of this design is N = 2k + 2k + N0, where
N0 are so called centre points of the experimental design. Properties and
details of this design are discussed for instance in Box and Hunter (1957).
• Box-Behnken design: As its core, this is a 3k factorial design, considering
three levels for each input or control variable, a minimum, a maximum and
an intermediate value. However, only a fraction of all possible combina-
tions is considered to keep the number of experiments manageable. This
design has gained popularity in industrial research and development due to
its economic construction. The main resource for this experimental design
is Box and Behnken (1960), further details, especially on its construction,
can be found in Myers and Montgomery (2006).
The actual coefficients of the response surface model can be obtained from the
responses as follows: Although the model is possibly nonlinear in the input vari-
ables, also called control variables, it is linear in the (unknown) model parame-
ters, that is, determination of the model is a parameter estimation problem. These
can be handled, for instance, by the methods presented in Chapter 3, “Parameter
Estimation”.
Optimum settings of the input variables, that is, inputs that minimize or maxi-
mize the process responses, can be obtained from the model in several ways:
First, if not too many responses have to be considered simultaneously, optima can
be obtained simply by plotting contour lines of each response in an overlay graph
and reading off the appropriate settings. Another way is tabulating the values
in the region of interest, using for example additional a priori information, and
selecting the optimum settings from the table. If the number of responses or input
variables gets too large, analytical and numerical methods have to be applied to
obtain optima.
5.2.2 methOds fOr uncOnstrained OptimizatiOn

In the following, several techniques for finding optima of a given cost or merit func-
tion F in one or more parameters p = [p1, …, pn] without constraints are briefly
introduced, presenting only their core ideas. Details on the methods and their practi-
cal implementation can be found in almost every monograph on numerical optimi-
zation, for instance Dixon (1972), Gill et al. (1981) or Nocedal and Wright (2006).
Furthermore, the presentation is restricted to deterministic optimization algorithms;
stochastic and evolutionary algorithms are discussed in detail in Chapter 10, “Genetic
Algorithms for Modeling and Control of Drying Processes”.
For ease of presentation, only the case of finding minima of F is considered, how-
ever, each method can also be used to find maxima by replacing F by (−F).
Direct search techniques comprise one of the most basic approaches to find min-
ima of a given function. In its most simple form, a sequence of points in a param-
eter range of interest is generated and for each point, the cost function is evaluated.
Comparing the function values, the minimum can be obtained. Accuracy and
required time effort depend on the number of points to be tested (the finer the grid-
ding, the higher the accuracy) and the time required for one function evaluation.
Convergence of these methods is generally slow compared to other approaches, how-
ever, it is applicable (although not always practical) to high-dimensional problems,
and not continuously differentiable cost functions. For one-dimensional problems
(one parameter), an optimal method with respect to choice of grid points and func-
tion evaluations is available under the Fibonacci method.
Least squares methods are among the most commonly used optimization meth-
ods. The main idea is to find a model representation that minimizes the sum of the
squared observed deviations from this model. Mathematically,
∑ 2  y
1
min F ( p ) = min ( p ) − yk 
2
m, k , (5.1)
p p
k =1
where ym,k is the model response and yk are the n actually observed values, respec-
tively. In terms of the cost function, F equals the sum the squared deviations. If
the model ym is linear in the parameter p (which can be vector-valued), the prob-
lem can be recast into a matrix-vector equation and solved directly and uniquely
by standard methods, for example, QR decomposition or singular value decompo-
sition (SVD). Its popularity stems from the fact that the method can in principle
be used even if the underlying model ym is nonlinear. In that case, the model
needs to be continuously differentiable with respect to the parameter p. Then the
minimum is calculated iteratively from an initial guess by approximating the non-
linear model in each iteration by a linear one. In the case of a nonlinear model,
several local minima may exist. The initial guess influences to which minimum
the algorithm converges. In order to be certain that the obtained local mini-
mum is also the global one, several restarts from different initial guesses may be
required. Another issue in the nonlinear case is the number of iterations required
for calculation of a minimum, which is in general not bounded, but depends on a
user-specified criterion.
Newton-type methods, which are used for calculation of roots of a function,
can also be used to find minima of a cost function F. The main requirement is
that F can be continuously differentiated twice with respect to its independent
variables and parameters, that is, F′ (gradient) and F″ (Hessian matrix) exist and
are continuous. Observing that possible candidates for optima can only occur at
stationary points of F, that is, points where F′ = 0, Newton-Raphson methods can
be used to find these candidates by searching for the roots of F′. The decision
whether the found optimum is a minimum or maximum is made on the basis of
Hessian matrix of F. The search for optima is performed iteratively starting from
an initial guess p 0:
( ) ( )
−1
p k +1 = p k −  F ′′ p k  F ′ p k , k = 0, 1, 2, … (5.2)
 
As the evaluation of the gradient and the Hessian can be very costly in terms of
operations, several methods exist that do not recalculate the Hessian in each itera-
tion, for instance the Davidon-Fletcher-Powell (DFP) formula and the Broyden-
Fletcher-Goldfarb-Shanno (BFGS) algorithm, which has also been successfully
applied to large-scale optimization problems.
The main difficulties of Newton-type methods are that these are iterative meth-
ods with no guarantee of convergence. Additionally, these methods operate only
locally, that is, local minima are found, depending on the initial guess. Finding
global minima can be tried by restarting the search with different initial guesses.
The calculation and inversion of the Hessian were initially a problem in large-scale
applications, however, this has been mostly overcome in recent years. The main
advantage of Newton-type methods is that if they converge, they converge very fast
to a minimum.
Gradient-type methods follow a similar idea as Newton’s method; however,
they only use gradient information in the determination of the update direction,
whereas Newton’s method also uses information of curvature, provided by the
Hessian, to obtain the next iterate. One method, named gradient descent, approxi-
mates a minimum of a given function F by iteratively calculating the gradient at
the current estimate and then taking a step in the opposite direction given by the
gradient. The reason for taking a step in the opposite direction is that geometri-
cally the gradient points towards increasing function values, that is, taking a step
in the opposite direction will yield lower function values. (In case a maximum is
sought, a step in the direction of the gradient is taken.) An important question in
gradient methods such as gradient descent is the size of the step to be taken. If it
is too small, it may take too many iterations to achieve the minimum; if it is too
large, one may generate a new iterate which actually increases the function value
as it steps over the local minimum. For these reasons, a step weight γk is introduced
in the algorithm:
( )
p k +1 = p k − γ k F ′ p k , k = 0, 1, 2, … (5.3)
starting from an initial guess p 0. The choice of γk is crucial with respect to the
convergence rate of the algorithm. In principle, it can be determined by finding
the minimum function value of F in the direction given by F′ at each iterate
pk. Of course, also a small constant value can be chosen; however, finding the
minimum may be become too costly. An alternative way is given by the Barzilai-
Borwein method:
( pk − pk −1 )T  F′ ( pk ) − F′ ( pk −1 ) 
γk = (5.4)
 F′ ( pk ) − F′ ( pk −1 ) 2
The main advantage of gradient methods is that no higher-order approximations

of the function F, such as the Hessian matrix, are required. This becomes espe-
cially important if the function is only once continuously differentiable. The
main drawback of these methods is their slow convergence rates. Compared with
Newton-type methods, gradient methods usually require more iterations to find
an optimum, also often showing a zigzag behavior in step directions close to the
optimum.
As an example of application of a Newton-type method and gradient descent, the
following cost function is considered:
F ( p ) = 9 p12 + 4 p1 p2 + 4 p22 − 18 p1 − 4 p2 + 9,
which is to be minimized with respect to the parameter vector p = [p1, p2]. The gradi-
ent F′(p) and the Hessian F″(p) are given by
18 4
F ′ ( p ) = [18 p1 + 4 p2 − 18, 4 p1 + 8 p2 − 4 ] ; F ′′ ( p ) = 
8 
.
4
TABLE 5.1
Performance of the Newton Method and the Gradient Descent Method to
Locate the Minimum of the Example Cost Function
Newton Method Gradient Descent Method
Iteration Parameter Value p Parameter Value p Value of γ
0 [−2, 1] [−2, 1] 0.01
1 [1, 0] [−1.50, 1.04] 0.01
2 [1, 0] [0.64, 1.13] 0.0523
3 [1, 0] [0.74, 0.73] 0.0526
4 [1, 0] [0.99, 0.02] 0.1467
5 [1, 0] [0.999, −0.001] 0.1516
6 [1, 0] [1.004, 0.001] 0.1372
7 [1, 0] [1.0, 0.] 0.0515
8 [1, 0] [1.0, 0.] 0.0515
The minimum of this cost functional can be calculated analytically, p = [1, 0]. In
Table 5.1, the values generated by the Newton method and the gradient descent
method are shown; for the gradient descent method, the step weight γ in each itera-
tion is also presented. The initial guess in both methods is p = [−2, 1]; the gradient
descent method is started with a weight of γ = 0.01. It can be seen that in this par-
ticular case, the Newton method converges to the optimum after the first iteration.
This is due to the structure of the cost function, which is a quadratic. The gradient
descent method takes approximately seven iterations before the minimum is found.
Figure 5.2 shows the corresponding paths of the iterates in parameter space.
1.5
p2
0.5
−0.5
−2 −1.5 −1 −0.5 0 0.5 1 1.5
p1
FIGURE 5.2 Path of iterates in parameter space generated by the Newton method (red) and
the gradient descent method (black).
5.2.3 methOds fOr cOnstrained OptimizatiOn

The presence of constraints, in the form of equality or inequality constraints, signifi-
cantly complicates the search of extrema, as in each step the feasibility of the iterates
has to be guaranteed. The complexity increases with the number of constraints. An
equality constraint reduces the dimensionality of the problem, as it pins the solu-
tion to a surface in the parameter space given by the equality. An inequality con-
straint reduces the volume of the parameter space but does not change the number
of dimensions.
Elimination and substitution are the first approaches to try to remove an equal-
ity constraint from the optimization problem. If an equality constraint can be rear-
ranged such that one variable is completely determined by all other variables, this
variable can simply be substituted by the expression and is removed from the cost
function. Additionally, this equality constraint has been removed from the problem
by this substitution.
Another attempt, which reduces the number of inequality constraints, although
it may introduce new local minima in the optimization problem, is direct substitu-
tion of variables. For instance, a variable pj that is supposed to be non-negative, that
is, pj ≥ 0, can be replaced by a new variable pk2, and the constraint can be dropped
from the problem. Several other substitutions are available, see for instance Dixon
(1972).
The Lagrange multiplier technique is a powerful method to handle equality con-
straints of the type ce,i(p) = 0 for i = 1, … r, where r is some integer smaller than the
number of component of p. Using an r-dimensional vector of Lagrange multipliers
λ = [λ1, …, λr], the constraints are added to the cost function F, yielding a new cost
functional L, called the Lagrangian:
L ( p,λ ) = F ( p ) + λ T ce ( p ) (5.5)
If the dimension of p is n, then the result is an unconstrained optimization problem

in n + r variables which can be solved by some of the mentioned methods, replacing
F by L.
The Lagrange multiplier approach can also be extended to handle inequality con-
straints. For this, another term is added to the Lagrangian L with an additional vector
of multipliers µ = [µ1, …, µm], where m can be larger than n:
L ( p, λ, µ ) = F ( p ) + λ T ce ( p ) + µT ci ( p ) (5.6)
where without loss of generality all inequalities are of the form ci,k ≤ dk. This
Lagrangian can be treated as an unconstrained optimization problem; however, two
additional constraints need to checked afterwards: First of all, all multipliers µ need
to be non-negative, µk ≥ 0, additionally, the following constraint needs to be fulfilled:
( ( ) )
µ*k ci,k p* − dk = 0 (5.7)
for all k = 1, …, m.

5.3 APPLICATIONS IN DRYING TECHNOLOGY

In the following, three applications of the concepts presented in this chapter are briefly
described. Additional examples are described in detail, for instance, in Chapter 18,
“Control of Spray Drying Processes”, Chapter 9, “Artificial Neural Network-Based
Modeling and Controlling of Drying Systems” and Chapter 10, “Genetic Algorithms
for Modeling and Control of Drying Processes”.
In Igual et al. (2014), RSM is used to find optimal operating conditions (and
thereby controlling the process to achieve a desired result) for the spray drying of lulo
pulp containing additives. The process inputs are inlet air and the concentrations of
the two additives, arabic gum and maltodextrin. Using design of experiments, a run
of 23 experiments is designed to find the response of the spray drying process with
respect to yield, hygroscopicity, powder water content as well as nutritive and func-
tional properties, for example, vitamin C content. Optimal operating conditions with
respect to all response variables are obtained by overlaying the different responses.
Keshani et al. (2012) presented an application of ANN to study and predict the
amount of wall deposit in the spray drying of lactose solution. Process inputs were
inlet air temperature, the feed flow rate and the ratio of maltodextrin to lactose in
the solution. Output variables were the wall deposition flux and moisture content of
the produced powder. The authors can show that they are able to obtain good pre-
diction of the wall deposits, allowing them to select optimal conditions to minimize
this effect.
Static optimization can also be used to answer structural design questions.
Consider for instance a batch IR dryer. In this equipment, the design questions are
how many IR emitters are required to provide the required amount of heat and fur-
thermore where to place them. An IR emitter does not act as a point source, that is,
infra-red radiation is not emitted to one specific point but is spread out in space. In
order to achieve a uniform heating, avoiding cold spots which may be disastrous for
instance in thin film drying (metal coatings, lacquer), the question is how to place
the IR emitters in such a way that a specific area is covered in an optimal way with a
given least or maximum number of emitters. For the optimization of the location of
the emitters, the specific spatial emission profile of each emitter needs to be known.
From these, and the initial position of the emitters, the overall heating profile can
be calculated, taking into account the overlap of spatial profiles. The optimization
problem would then state that the overall spatial profile should be as flat as possible
under the constraint that all of the area is covered. The parameters to be optimized
are the positions of the emitters and, possibly, also their number.
5.4 CONCLUSION AND OUTLOOK

Static optimization is an important tool for the increase of performance and effi-
ciency of many drying processes. Its basis is the availability of a sufficiently accurate
process model of moderate complexity (measured in the number of equations and its
nonlinearity); such models can be obtained from experiments in a formalized way,
for instance via the response surface methodology. The necessary effort and the suc-
cess of optimization are significantly influenced by the presence of constraints, as
they appear in many applications in the shape of operating limits. In recent years,
several successful techniques have been developed to optimize large-scale nonlinear
and constrained optimization problems, for instance interior point (IP) methods or
nonlinear sequential quadratic programming (SQP) methods. Those allow not only
optimization of dryer operation but also of complete process chains, considering the
pre- and post-processing of the material to be dried (Nocedal and Wright, 2006).
Input combinations obtained by static optimization yielding an extremum of the
associated cost or merit function are very sensitive with respect to process distur-
bances or model imperfections. If a permanent disturbance occurs, the necessary
input values to achieve the optimum are different, as they have to compensate for
the difference. However, static optimization does not possess an adaptation feature,
resulting in permanent deviation from the optimum operating point and subopti-
mal performance. The idea of re-optimizing the process inputs with respect to the
response of the model leads to the concept of model-predictive optimal control
(MPC; Camacho and Bordons, 2007).
REFERENCES
Box, G.E.P., Behnken, D.W. 1960. Some new three-level designs for the studies of quantita-
tive variables. Technometrics 2, 455–475.
Box, G.E.P., Hunter, J.S. 1957. Multifactor experimental designs for exploring response sur-
faces. Annuals of Mathematical Statistics 28, 195–241.
Box, G.E.P., Draper, N.R. 1975. Robust designs. Biometrika 62, 347–352.
Boyd, S.P., Vandenberghe, L. 2004. Convex Optimization. Cambridge, MA: Cambridge
University Press.
Camacho, E.F., Bordons, C.A. 2007. Model Predictive Control. London, UK: Springer.
Dixon, L.C.W. 1972. Nonlinear Optimisation. London, UK: The English Universities Press.
Gill, P.E., Murray, W., Wright, M.H. 1981. Practical Optimization. London, UK: Academic
Press.
Igual, M., Ramires, S., Mosquera, L.H., Martínez-Navarette, N. 2014. Optimization of spray
drying conditions for lulo (Solanum quitoense L.) pulp. Powder Technology 256,
233–238.
Kelley, C.T. 1999. Iterative Methods in Optimization. Philadelphia, PA: Society for Industrial
and Applied Mathematics (SIAM).
Keshani, S., Daud, W.R.W., Woo, M.W., Talib, M.Z.M., Luqman Chuah, A., Russly, A.R.
2012. Artificial neural network modeling of the deposition rate of lactose powder in
spray dryers. Drying Technology 30, 386–397.
Khuri, A.I., Mukhopadhyay, S. 2010. Response surface methodology. WIREs Computational
Statistics 2, 128–149.
Montgomery, D.C. 2005. Design and Analysis of Experiments. 6th ed. New York: John
Wiley & Sons.
Nocedal, J., Wright, S.J. 2006. Numerical Optimization. 2nd ed. New York: Springer.
Plackett, R.L., Burmann, J.P. 1946. The design of optimum multi-factorial experiments.
Biometrika 33, 305–325.
Ruszczynski, A. 2006. Nonlinear Optimization. Princeton, NJ: Princeton University Press.
6 Dynamic Optimization
in Drying
Anton J.B. van Boxtel
CONTENTS
6.1 Introduction .................................................................................................... 75
6.2 Background to Dynamic Optimization .......................................................... 77
6.2.1 Basic Formulation of the Optimization Challenge in Drying ............ 77
6.2.2 Mathematics of Dynamic Optimization ............................................. 77
6.2.3 Calculation of Dynamic Optimal Trajectories ................................... 79
6.2.4 Alternative Methods to Calculate Dynamic Optimal Trajectories..... 81
6.2.5 Optimization Algorithms.................................................................... 83
6.2.6 Spatial Control .................................................................................... 83
6.2.7 Model Requirements...........................................................................84
6.3 Dynamic Optimization in Drying .................................................................. 85
6.3.1 Illustration of Dynamic Optimization in Drying ............................... 85
6.3.1.1 Energy-Efficient Drying of Tea ........................................... 85
6.3.1.2 Combined Optimization of Quality and Energy .................90
6.3.2 Dynamic Optimization in Drying Literature ..................................... 95
6.4 Intelligent Control in Drying ..........................................................................97
Appendix 1: Basic Example for the Concept of Dynamic Optimization................. 98
Appendix 2: Example of Bang-Bang Control..........................................................99
References .............................................................................................................. 100
6.1 INTRODUCTION
The most common control objective in continuous processing is to maintain opera-
tional conditions at the aimed set-point values. The task of the controller is to reject
disturbances to the system and to adapt adequately to set-point changes. Other
chapters in this book discuss the control issues for these tasks.
Controllers can be applied in a similar way for batch-wise drying operations,
that is, keeping the aimed conditions during the operation. However, for batch
operations there is an additional control challenge. During batch processing, the
state of the system is continuously changing and consequently the product water/
moisture content, the conditions (temperature, humidity) around the products, and
the drying rate change. Together with water release and due to the exposure to
the drying conditions, the product properties may decrease gradually. As a conse-
quence it is beneficial to adapt the operational conditions during the batch operation.
75
Pressure 75
+60 60
Pressure (microns)
Temperature °C
+20 45
Shelf
−20 30
Products
−60 Condenser 15
Pressure
−100
0 14 28 42 56 70 84 98 112 126
Freeze Primary dry Secondary dry
Elapsed time, h
FIGURE 6.1 Trajectories for operational pressure, shelf, condenser, and product tempera-
tures during freeze drying. (From Franks, F., Eur. J. Pharm. Biopharm., 45, 221–229, 1998.)
This adaptation of the operational conditions is the other control challenge for batch
drying. The challenge is how to meet drying objectives during batch drying such as
efficiency in operational time, energy consumption, and maintaining product quali-
ties, and this challenge is a rather complex control problem.
Operational strategies and protocols for batch-wise drying can be derived by
smart usage of empirical knowledge or by application of dynamic optimization.
Such operational strategies and protocols have time-varying conditions instead of
constant conditions. See for example Figure 6.1 for the pressure and shelf tem-
perature trajectories during freeze drying. Dynamic optimization is a systematic
model-based method to find the trajectories of variables during the batch opera-
tion. Another application of dynamic optimization is to find the trajectories of
required conditions during the passage of a product in a continuous (plug flow
type of) dryer.
This contribution in Intelligent Control in Drying aims to introduce readers to
the concepts of dynamic optimization. Therefore, the chapter starts with a general
description of batch drying optimization. In its origin, dynamic optimization is a
rather formal mathematical method using a drying model and an objective function.
Although the mathematics can be tough, the “Mathematics of Drying Optimization”
section is presented to help readers better understand the concepts and special cases.
If the mathematics is too complex, the reader is advised to skip this section and con-
tinue with the explanations of more intuitive methods, which need only basic math-
ematical knowledge and understanding. These approaches, however, still require
suitable drying models, objective functions, and understanding of dynamic optimi-
zation methods. The final section of the chapter provides illustrative examples of
dynamic optimization and a literature review on dynamic optimization for drying
operations and control.
Dynamic Optimization in Drying 77
6.2 BACKGROUND TO DYNAMIC OPTIMIZATION

6.2.1 Basic fOrmulatiOn Of the OptimizatiOn challenge in drying
The general objective of a drying system is to reduce the water content of a product
to a prescribed value. Energy represents the most significant operational cost in dry-
ing and the drying energy consumption should be reduced as far as possible. Thus,
the objective of many batch operations is to achieve in a given time the targeted
water content with the lowest amount of energy. The objective function of the opera-
tion is then given by
tf
∫
J = W ( tf ) + E ( t ) dt
0
(6.1)
where:
J is the objective function
W (tf ) is an expression for the targeted final water content
E (t ) represents the instantaneous energy uptake during drying (which can vary
over the processing time)
tf stands for total drying time
During batch processing the drying rate is continuously changing. The drying rate,
which is a function of water content and operational conditions like temperature, air-
flow, and relative humidity, can be expressed in the form of a differential equation:
d Water Content
= Drying Rate (WaterContent , operational conditions ) (6.2)
dt
Operational conditions are constrained by lower and upper boundaries:
Low value ≤ Operational conditions ≤ High value (6.3)
For example the airflow to the dryer cannot be negative, and the relative humidity of
air in the dryer cannot exceed 100%.
This example, written in general terms, is the basis for dynamic optimization for
drying problems. The optimization problem can be extended with product quality
aspects, and additional costs that arise during the operation. In these cases the term
tf
W (tf ) in Equation 6.1 is extended with product quality aspects, the integral ∫0 E(t )dt
with other aspects of operational costs, and the set of differential equations with the
rates of change for the other components (see “Combined Optimization of Quality
and Energy”).
6.2.2 mathematics Of dynamic OptimizatiOn

The concept of dynamic optimization is described in the books by Bryson and Ho
(1975) and Bryson (1999), among others. The dynamic optimization problem is here
given in a general mathematic formulation.
The objective function for the problem is given as

tf
∫
J = Φ ( x(tf ) ) + L ( x ( t ), u ( t ) ) dt
0
(6.4)
where:
Φ( x(tf )) expresses the cost function for the states of the system (x(tf )) at the end
time tf
L ( x(t ), u(t ) ) stands for the running costs during the operation as a function of the
current state of the process x(t ) and the input/control variables u(t )
The input/control variables u(t ) are time varying trajectories.

The rates in the system are defined by a set of differential equations with initial
conditions:
dx(t )
= f ( x(t ), u(t ) ), x(0) = x0 (6.5)
dt
where:
x(t ) is a n ×1 vector of state variables
f ( x(t ), u(t ) ) expresses the rate of changes of each of these state variables
For a drying system, these states concern the water content and relevant quality
attributes that change.
The lower and upper constraints for the control variables are given as
umin ≤ u ( t ) ≤ umax (6.6)
To solve the optimization problem, the objective function (Equation 6.4) and
the expressions for the rates in the system (Equation 6.5) are combined into one
expression
dx ( t )  
tf
 

0 
∫
J = Φ ( x(tf ) ) +  L ( x ( t ), u ( t ) ) + λT  f ( x ( t ), u ( t ) ) −
 dt  
  dt (6.7)
As f ( x ( t ), u ( t ) ) − dx ( t ) dt = 0 the objective function is not changed by this

step, but this expression allows important mathematical operations. Defining the
Hamiltonian function H as
H ( x ( t ), u ( t ) ) = L ( x ( t ), u ( t ) ) + λT ( t ) f ( x ( t ), u ( t ) ) (6.8)
gives
dx ( t ) 
tf

0 
∫
J = Φ ( x(tf ) ) +  H ( x ( t ), u ( t ) ) − λT ( t )
dt 
 dt (6.9)
In these expressions λ(t ) is n ×1 vector of Lagrange multipliers, also named co-

states, which translate the rate equations in terms of the cost function. The co-states
λT (t ) is the 1× n transposed vector of λ(t ).
The system is optimal if the following conditions are satisfied (Bryson and Ho
1975; Bryson 1999):
d λT ( t ) dH ( x ( t ), u ( t ) )
=− (6.10)
dt dx
d Φ ( x (tf ) )
λ T ( tf ) = (6.11)
dx
dH ( x ( t ), u ( t ) )
=0 (6.12)
du
Equation 6.10 describes the behavior of the co-states over time. The boundary con-
ditions for the co-states are defined at the end of drying (tf ) by Equation 6.11. For
optimality the derivative of H with respect to u(t ) at any time moment t must be zero
(Equation 6.12; except if the control variables are on the upper or lower constraints),
which implies that changes of the control vector during the processing time have no
longer effect on the Hamiltonian and objective function J. In Appendix 1 a basic
example for the application of Equations 6.4 through 6.12 is given.
The use of the control law requires that the first order derivative of the Hamiltonian
with respect to the control variables u(t ) gives a solution from which the values
of the control variables u(t ) can be determined. If Equations 6.8 and 6.9 are linear
in the control variables, then differentiation will not result in a solution for the con-
trol variable. In this case, the control variable will switch between minimum and
maximum values of the control variables. This control strategy is called bang-bang
control and is explained through an example in Appendix 2.
6.2.3 calculatiOn Of dynamic Optimal trajectOries

In the previous section the formulation of the dynamic optimization problem was
given and Appendices 1 and 2 present the concept through examples. The complex-
ity of these examples was low, and for problems with low complexity the optimal tra-
jectories can be found by solving the equations analytically. Problems with a higher
level of complexity need numerical solution methods. Bryson (1999) presents for sev-
eral classes of problems solution methods to calculate optimal control trajectories.
Bryson’s book (1999) also includes MATLAB programs on the attached disk. The
main structure of the most robust methods is shown in Figure 6.2.
The calculation of the trajectories starts with an initial guess for the trajectories for
the input variables, for example, a constant value of the control variable over time. For
the dynamic optimization problem the initial values for the state variables ( x(t = 0))
are given and from Equation 6.11 the values of the co-state variables at the final
time ( λ(tf ) = d Φ(tf ) dx ) are available. This is named a two-point-boundary-value-
problem. This problem is solved by first an forward integration of the state variables.
Define initial trajectories for

input variables u(t)
Simulate system differential

dx
equations dt =… forward
from t = 0 to t = tf
Calculate at tf the value of

λ(tf ) from dΦ (tf )
dx
Correct trajectories
Simulate differential of input variables
equations for the co-state
dλ
dt
=… backward from t = tf
to t = 0
Calculate from the simulated

trajectories of state and co-
state variables x(t) and u(t),
evaluate dH
du
dH < threshold? no
du
yes
Optimal trajectory
FIGURE 6.2 Schematic overview of robust methods to calculate optimal input trajectories.
Then, from the resulting state at final time, d Φ(tf ) dx is calculated and subsequently
a backward integration is applied for the co-state variable. From the trajectories for
the state variables obtained during the forward simulation and the trajectories of
the co-state from the backward simulation, the values of dH /du are evaluated. If
dH /du along the trajectories are larger than a threshold, the trajectories for the input
variables need to be adapted, otherwise the best trajectories are obtained. These
methods result in continuous trajectories for the control variables. The algorithm
allows constraining the control variables to the minimum and maximum values for
the control variables.
Note: Instead of forward-backward simulation, forward simulation of both state
and co-state variables can be applied. This procedure should be repeated until
dH /du = 0 and λ ( tf ) = d Φ ( tf ) /dx . The approach is, however, less robust due to the
stability properties of the co-state variables.
6.2.4 alternative methOds tO calculate dynamic Optimal trajectOries

Main drawbacks of the approaches as presented by Bryson (1999) are a dramatic
increase of the computational time for larger problems and the fact that the user
must be able to run the MATLAB programs as given by Bryson. In the last decades,
significant attention has been paid to solving dynamic optimization problems along
alternative routes. The basic idea is that continuous trajectories for control variables
can always be approximated by combinations of base functions. Then, the optimiza-
tion problem along the full course of the input trajectories changes into a standard
optimization problem that searches for the parameters in the combination of base
functions.
The simplest approximation is the use of piecewise constant and piecewise linear
functions. Mishkin et al. (1982, 1983, 1984) used this method in the 1980s to make
dynamic optimization feasible with the computational tools available at that time.
Banga and Singh (1994) and Banga et al. (1997, 1998, 2003, 2005) promoted this
approach further. Figure 6.3 illustrates two examples for the approximation of a
half period of a sinus function. The piecewise constant approximation with 10 equal
intervals (Figure 6.3a) seems quite coarse, but it can be improved by increasing
the number of intervals at sensitive parts of the control trajectory (Hadiyanto et al.
2008a). The optimization problem for piecewise constant systems is parameterized
on these 10 intervals, and corresponds now only to the optimization of the con-
stant values of the intervals that result in the maximized (minimized) value of the
1.2
1
Control variable
0.8
0.6
0.4
0.2
0
0 2 4 6 8 10 12
(a) Time
1.2
1
Control variable
0.8
0.6
0.4
0.2
0
0 2 4 6 8 10 12
(b) Time
FIGURE 6.3 Approximation of half a period of a sinus function (blue) by (a) piecewise
constant values (red), by (b) piecewise linear functions.
Define number of intervals
Give initial parameters values

for intervals
Simulate the system and

evaluate objective function at
Correct parameters
tf
of the intervals
Is objective
function improved
compared to yes
previous cycle?
no
Optimal trajectory
FIGURE 6.4 Schematic overview of control vector parametrization to calculate optimal

trajectories.
objective function (Figure 6.4). In this parameterized approach, the co-state has not
longer a role, and thus the optimization problem has become simpler.
Piecewise constant approximation is very suitable to solve bang-bang optimiza-
tion problems (Appendix 2). The approach can also be applied for variable interval
lengths whereby the length of each interval becomes an optimization parameter.
However, with the increasing number of parameters to be optimized, the optimiza-
tion problem becomes serious and will be more difficult to solve while the risk for
ending in a local minimum increases.
The piecewise linear approximation (Figure 6.3b, with different time periods for
each interval) is close to the original sinus function and needs less parameters for the
approximation. So the approximation is better, and with the lower number of param-
eters, the risk of ending in a local minimum reduces. Again, for this approximation
the length of the intervals can be considered as optimization parameters to achieve a
more accurate approximation.
With these approximations the dynamic optimization problem can be solved with
standard optimization solvers; there are even possibilities to solve the problems in
Excel. More advanced methods use general base functions which are more flexible
and robust in searching for the final solutions. The MATLAB community shares
the program DYNOPT (Čižniar et al. 2014) in which the control and state vector
trajectories are parametrized by linear combinations of base functions. Optimization
programs such as GAMS and TOMLAB use similar approximation methods.
The major advantages of these alternative approaches are that they can be used in
any software environment that includes optimization algorithms, they are easy to set
up, and they are rather fast. As already mentioned, the control vector in the formal
algorithm is linked to the solution of the co-state and state variables. In the control
vector parametrization approaches the co-state is no longer relevant, which reduces
the complexity of the algorithm. The drawback, however, is that the obtained values
for the succeeding intervals may vary strongly by ending in local optima. Restarting
the optimization from different starting values can solve this problem.
6.2.5 OptimizatiOn algOrithms

Previous sections paid most attention to the definition of the control vector and
conditions that must be satisfied for the optimum. To find the optimum, the formal
method or a control vector parametrization method must use an optimization algo-
rithm. Software environments have several algorithms available to solve the opti-
mization problem. Bryson (1999) uses gradient methods where the correction of the
control variables at any time is proportional to the sensitivity of the Hamiltonian to
variations of the control variables (dH /du). Stochastic search methods and genetic/
evolutionary algorithms are strong methods for solving optimization problems with
control vector parametrization and have a low risk of ending in local minima (Banga
et al. 1997, 2003, 2005; Roubos et al. 1999).
In addition to a genetic algorithm (ga), the MATLAB optimization toolbox offers a
powerful optimization tool ( fmincon) that switches between different algorithms. Excel
offers, by installing the solver add-in, the opportunity to use three types of solvers. In
our experience all algorithms are satisfactory; the only problem is ending in a local
instead of a global minimum. Therefore, the result should always be checked by chang-
ing the control vector parameters used to start the optimization algorithm.
6.2.6 spatial cOntrOl

Until now, dynamic optimization has been described for time-varying systems.
See also Equations 6.2 and 6.5 in which the drying rate was given and Equations 6.1
and 6.4 in which the objective function integrated the costs over time. These equa-
tions concern typical applications to batch processes, where the time history of
drying particles is optimized. For products being dried in transport systems, like
belt dryers, the position of the product is related to the residence time of the product
in the dryer up to that moment. The relation is given as
x = v×t (6.13)
where:
x is the position
v represents the transport velocity
t stands for the time
For a given transport velocity, the time trajectory can be directly converted to the
position in the transport system. This approach is ideal in transport systems like belt
dryers, but can be applied for any system that can be considered a plug flow system,
like in most fluid bed dryers. For plug flow dryers with a number of succeeding
sections, the calculation method with the piecewise constant approximation of the
trajectories gives good approximations.
6.2.7 mOdel requirements

The key of dynamic optimization is to control the transitions of states in a system dur-
ing the batch time or time that a product resides in the drying system. The transition
of states during drying (i.e., change of moisture content, product temperature, quality,
etc.) can be boosted for periods when no product deterioration occurs and delayed for
periods in which the quality is strongly affected. Moreover, the energy efficiency can
be improved by making a distinction between periods of easy and difficult drying.
Therefore, it is essential to use models that describe the changes in the product water
content, the changes in product quality, and the changes in energy uptake in time.
Mass and energy balance equations, which give the rates of changes, satisfy these
requirements. These rate equations are given in differential equation form:
dx
= inf low of x − outflow of x + productionof x − consumption of x (6.14)
dt
that is, the rate of change of variable x is equal to the difference of in- and outflow
of variable x plus generation of variable x minus the use of x.
The rate of change equation is formulated for each relevant component involved
in drying. The most important is the product water content. Other variables are the
energy uptake and the changes in product quality attributes. Suitable expressions for
the drying rate and quality attribute changes are the following:
Constant rate, zero order:
dX dC
= −k , = −k (6.15)
dt dt
Lewis equation, first order:
dX dC
= − k ( X − X e ), = −kC (6.16)
dt dt
Diffusion:
dX d dX
= D (6.17)
dt dx dx
with X being the water content in product, Xe representing the final water content in
product both in kg water/kg of product or kg water/kg dry product, C quantifying the
level of the components that represent the quality (kg/kg product), k signifying dry-
ing rate or degradation rate constants (unit depends on the rate equation), D standing
for diffusion coefficient (m2/s), and x represents the location in the product.
Switches between the drying equations are allowed in the drying model. For example,
a constant rate model is applied for the initial phase and a falling rate model in a later
phase. Models which express the water/moisture content in time, such as
X − Xe
= e − kt (6.18)
X 0 − Xe
do not express the drying rate and are, therefore, not suitable for dynamic optimiza-
tion. Differentiating Equation 6.18 to obtain the drying rate results in an expression
that depends on time. In such expressions, the drying rate is governed by the time
and not by the mechanism for drying, which makes the expression unusable.
During drying in a batch dryer or over the distance that products pass through
a continuous dryer, the conditions of air (temperature, humidity) change and thus
affect the rates of change. Therefore, mass and energy balances for the air also
have to be formulated. As the time that the airstream passes the dryer is short com-
pared to the time of drying, steady-state balances for the air are used (see “Energy-
Efficient Drying of Tea”). These balances should be constrained to the feasible
range of operational conditions, with the most important constraint that air is not
saturated with vapor.
6.3 DYNAMIC OPTIMIZATION IN DRYING

6.3.1 illustratiOn Of dynamic OptimizatiOn in drying
Dynamic optimization for drying is illustrated for two cases. Case 1 concerns
energy-efficient drying of tea and in this example the effect of the drying kinetics on
the optimal operation is shown. Case 2 concerns also energy-efficient drying, but in
this case degradation of vitamin C and other nutritional components is considered.
6.3.1.1 Energy-Efficient Drying of Tea

From thin layer drying experiments, Temple and van Boxtel (1999a) derived the dry-
ing rate of black tea in a fluidized bed as
= − k ( X − Xe )
dX
(6.19)
dt
where:
X is the actual water content in product at a moment during drying (kg water/kg
dry matter)
Xe signifies the equilibrium water content (kg water/kg dry matter)
k stands for the drying rate constant (1/s).
From their experimental work, Temple and Boxtel (1999a) found that the drying
rate constant was close to zero at temperatures below 45°C and that the drying
rate was affected by the superficial air velocity in the fluidized bed. To dem-
onstrate the role of the applied drying kinetics, we discuss two options for the
drying rate constant. In option number 1, the drying rate constant is assumed to
be independent from the airflow rate, while in option number 2, the full kinetic
expression from Temple and Boxtel (1999a) is used. Option 1 is obtained from
option 2 by substitution of an airflow rate of 0.3 m/s.
Option Number 1:
k = 0.84 × 10 −4 ( Tbed − 45 ) + 6.7 × 10 −4 (6.20)
Option Number 2:
k = 2.8 × 10 −4 ( Tbed − 45 ) Fa + 6.7 × 10 −4 (6.21)
with Tbed being the temperature (°C), and Fa representing the superficial airflow rate
(m/s) in the fluidized bed.
The equilibrium moisture content of the product is related to the Henderson sorp-
tion isotherm and is given as (Temple and Boxtel 1999b)
1
  RH   0.957
 ln  1 − 
100  
Xe =   (6.22)
 −0.123 
 
 
with RH being the relative humidity of the air in the fluidized bed (%). The sorption
isotherm for tea in this work did not depend significantly on the temperature of the
product.
The system needs additional information on the bed and product temperature and
water content in the air. It is assumed that there is no spatial distribution in the air
temperature and air water content over the height in the fluidized bed. Additional
heat loss from the bed to the environment is not taken into account. The temperature
in the bed follows from the energy balance on the air (Equation 6.23) and the water
content of the air from the water mass balance (Equation 6.24):
c p,aTa,in + x a,in ( ∆H + c p,vTa,in ) − x a,bed ∆H

Tbed = (6.23)
c p,a + x a,bed c p,v
k ( X − Xe )
x a, bed = x a,in + Mp (6.24)
ρa Fa Adryer
where:
Tbed is the temperature of air in the bed (°C)
Ta,in is the air inlet temperature (°C)
x a,in is the water content of the inlet air
x a,bed is the water content in air in the fluidized bed both given in kg water/kg air
∆ H is heat of evaporation (kJ/kg°C)
c p,a and c p,v are the heat capacities of air and vapor (kJ/kg°C)
Mp is the mass of dry product in the fluidized bed (kg)
Fa is the flow rate of air (m/s)

ρa is the density of air (kg/m3)
Adryer is the bed surface area (m2)
Temple and van Boxtel (1999c) found that the product temperature in the fluidized
bed was close the air temperature in the bed.
This case considers a fluid bed dryer with a surface of 1 m 2 for which the super-
ficial airflow rate varies between 0.2 and 0.7 m/s and the ambient air Tamb at 20°C
is heated to the operational temperature Ta,in, which is between 45°C and 120°C.
Bed loadings of 1 and 4 kg dry matter/m 2 are considered. The initial tea water
content is 3.0 kg water/kg dry matter and the aim for this system is to dry the
product to 0.05 kg water/kg dry matter in a batch-wise operation over 20 minutes
with the lowest energy input for air heating. The total energy input for this system
is defined as
tf
∫
Etot = ρac p, a Fa Adryer ( Ta,in − Tamb ) dt
0
(6.25)
The flow rate to the dryer and the air temperature are control variables that can be
adjusted during the operation. Then the objective function is given as
tf
∫
J = w1 ( X ( tf ) − 0.05 ) + w2 ρac p, a Fa Adryer (Ta,in − Tamb ) dt
2
(6.26)
0
In this objective function ( X (tf ) − 0.05 ) expresses the deviation of the final water
2
content from the aimed value. The quadratic term is applied to give positive and neg-
ative deviations from the final water content an equal positive weight. The integral
term represents the energy costs. By minimizing the objective function the devia-
tion of the product water content from the aimed value and the energy uptake are
minimized. As these terms can have different magnitudes, w1 and w2 are used as the
weight factors.
Finally, the optimization problem is constrained by minimum and maximum
values of the control variables Fa and Ta,in:
0.2 m/s ≤ F ≤ 0.7 m/s

(6.27)
45°C ≤ T ≤ 120°C
The Hamiltonian for this system is then
H = ρac p, a Fa Adryer (Ta,in − Tamb ) − λk ( X − X e ) (6.28)
Because of the multiplication FaTa,in and the used expressions for the drying rate, the
Hamiltonian is nonlinear in the control variables. Bang-bang control (Appendix 2)
is therefore not an option.
140
Temperature (°C) 120

100
80
60
40
0 200 400 600 800 1000 1200
Time (s)
0.8
Airflow rate (m/s)
0.6
0.4
0.2
0
0 200 400 600 800 1000 1200
Time (s)
FIGURE 6.5 Trajectories obtained with model option number 1 (Equation 6.20) for the air
temperature and flow rate during batch drying of 1 kg of tea in 1200 seconds.
Trajectories calculated for the drying kinetics given by option number 1 are
shown in Figure 6.5 where 1 kg of tea is dried. In the initial phase of drying, the
water is easily removed from the product due to the high driving force (X − Xe ),
and a moderate temperature is just sufficient to run the mass transfer. However,
with time, the driving force (X − Xe ) decreases and is compensated by increasing
the drying rate constant by a gradual increment of the air temperature. The amount
of removed water is not high during the full drying period and therefore the lower
boundary for the airflow rate is sufficient for the whole drying period. The situ-
ation changes when the amount of product to be dried increases; see Figure 6.6
where 4 kg of tea is dried. To remove the large amount of water in the initial phase
of drying the air flow rate is set to its maximum constraint. This phase is at low
temperature and thus low heating costs. Later on, when the falling driving force
(X − Xe ) is compensated by an increasing drying temperature, the air flow rate is
decreased to save energy.
The resulting trajectories of the control variables T and Fa with the model option
number 2 and 1 kg of tea to be dried are very close to those given in Figure 6.5.
The trajectories for drying with model option number 2 and 4 kg of tea (Figure 6.7),
however, are very different to those from Figure 6.6, where 4 kg of tea is dried with
model number 1. Model number 2 has the ability to improve the drying rate by
increasing the flow rate. With this property, model number 2 can start drying at a low
airflow rate to save energy. The temperature increases gradually to the upper level to
compensate for the falling driving force (X − Xe ), but this strategy is not sufficient to
end with a dry product. Therefore, the airflow rate is increased to enhance the drying
rate in the last 75 seconds of drying.
For the given examples, the aim was to attain a final product water content at
minimal energy consumption. In all of these cases the water content was very
140
Temperature (°C) 120
100
80
60
40
0 200 400 600 800 1000 1200
Time (s)
0.8
Airflow rate (m/s)
0.6
0.4
0.2
0
0 200 400 600 800 1000 1200
Time (s)
FIGURE 6.6 Trajectories obtained with model option number 1 (Equation 6.20) for the air
temperature and flow rate during batch drying of 4 kg of tea in 1200 seconds.
140
Temperature (°C)
120
100
80
60
40
0 200 400 600 800 1000 1200
Time (s)
0.8
Airflow rate (m/s)
0.6
0.4
0.2
0
0 200 400 600 800 1000 1200
Time (s)
FIGURE 6.7 Trajectories for the air temperature and flow rate for model option number 2
(Equation 6.21) during batch drying of 4 kg of tea in 1200 seconds.
close to the target value. Also, a comparison was made for the energy consumption
required in operations with a constant airflow rate and temperature. In this tea dry-
ing example, the energy benefits are only in the order of a few percent. This small
benefit is related to the drying kinetics. In the example given in the next section
significant differences are obtained.
The given optimization problem focuses on the air temperature and flow rate as
control variables to minimize the energy consumption. As energy consumption is
related to the product of flow rate and difference between the ambient and air inlet
temperature, more combinations of trajectories can offer nearly the same energy
consumption, and optimization can result in a local minimum. If the drying kinetics,
which is essential to reach the final water content, is not sufficiently affected by both
variables, then the risk for a local minimum is considerable and the optimization
should be restarted at other start conditions. In the discussed examples, the opera-
tional variables have a sufficiently strong effect on the kinetics (especially option 2)
and no local minima were met.
Despite a limited potential for energy saving, this section illustrates how different
kinetic models for the drying system affect the resulting trajectories. This section
also demonstrates that after analysis of the trajectories, it is always possible to under-
stand why the obtained strategies are beneficial.
6.3.1.2 Combined Optimization of Quality and Energy

The previous section focused on energy efficiency of drying. Operational conditions,
however, can also affect the quality of the product. Therefore, the optimization prob-
lem has to be extended with kinetic expressions for changes in product quality.
Here the work of Jin et al. (2014a) on drying of broccoli is discussed. Broccoli is
dried for applications in convenience foods, soups, and so on. In addition to its taste,
broccoli is interesting because of the nutritional impact of vitamin C and glucosino-
lates. Together with the enzyme myrosinase, glucosinolates play an inhibiting role in
the mechanism of intestine cancer development. Avoiding vitamin C and glucosino-
lates degradation during drying is, therefore, important from a nutritional point of
view. However, both components are heat sensitive.
In this case, the model used has the same basis as used in the section on drying
tea. The following are the main differences:
• The model was extended with kinetic expressions for the degradation rates
of vitamin C and glucosinolates.
• The drying properties and sorption isotherms for broccoli were used.
• The time averaged energy efficiency is optimized.
• Results are projected to a continuous dryer system.
Degradation of vitamin C and glucosinolates follows the first order kinetics:
dC
= −kcC (6.29)
dt
dGL
= −kd GL (6.30)
dt
with C being the concentration of vitamin C and GL the concentration of glu-

cosinolates both in (g/kg) product, kc and kd representing the degradation rate
constants (1/s) for which the temperature dependency is given by the Arrhenius
expression:
 E 
k = k0exp  − a 
 RT  (6.31)
where:
R is the gas constant (J/mol K)
Ea stands for the activation energy (J/mol)
k0 represents the pre-exponential factor
The pre-exponential factor and the activation energy in the Arrhenius expression are
a function of the product water content (see Table 6.1). Analysis of the degradation
rate constants showed that vitamin C is much more sensitive to heat-induced degra-
dation than the glucosinolates. So, preserving vitamin C implies also preserving the
glucosinolates, and thus the optimization problem could be reduced to the retention
of vitamin C.
The objective function is defined as
2
C 
− 1  + w2 ( η − 1)
2
J = w1 
 C0  (6.32)
with C C0 being the retention ratio (-) of vitamin C compared to its initial con-
centration, and • quantifying the time averaged energy efficiency of the dryer,
that is, the ratio of the energy used to evaporate water from the product to the
energy input. In the best case both ratios are close to 1.0. The w1 and w2 are
weight factors for vitamin C retention and energy efficiency, respectively. The
use of the ratios is attractive as the numbers for the vitamin C retention and
energy efficiency in Equation 6.32 are in the same range (0–1), and therefore the
weight factors w1 = 1 and w2 = 1 hold well.
TABLE 6.1
Pre-Exponential Factor and Activation Energy as a Function of the Product
Water Content X (kg Water/kg Dry Product) for Vitamin C (Mishkin et al.
1984; Karim and Adebowale 2009) and Glucosinolates (Oliviero et al. 2012)
Vitamin C Glucosinolates
k0 = exp (16.38 + 1.78 X + 1.89 X 2

) k0 = exp(25.21 + 8.29 X )
Ea = 14831 + 241X + 656 X + 236 X

2 3
Ea = 91741 + 133.6 X + 32606 X 2
The system to be optimized concerned a dryer with a loading of 1 kg of broccoli

per square meter. The control variables were temperature of the inlet air and airflow
rate. The control variables were constrained by
30 °C ≤ Tin ≤ 60 °C
(6.33)
m m
0.005 ≤ Fa ≤ 0.1
s s
The optimization problem in the work of Jin et al. (2014a) was solved by using piece-
wise constant and piecewise linear functions for the control variables. The major
advantage of using the piecewise constant functions is that the solution can easily
be applied to batch drying operations by setting the control variables to fixed values
during a given period. Moreover, if broccoli would be dried in a belt dryer, each
piecewise constant period corresponds to a section of the belt dryer.
The best results were obtained by piecewise linear functions, for which the results
are presented here. The optimal trajectories of the control variables airflow rate and
inlet air temperature are given in Figure 6.8. As the drying rate has the same char-
acteristics as in option number 1 from the section on drying tea, the airflow rate
decreases and the inlet air temperature increases over the processing time. The tra-
jectories are also affected by the vitamin C degradation kinetics.
Figure 6.9 presents the water content–temperature state diagram with lines of equal
vitamin C degradation constant (k-Vc) and lines for equal glucosamine degradation rate
constants (k-GL), and lines of equal drying rate constant. The figure shows that the prod-
uct temperature follows a strategy such that the sensitive area for vitamin C degradation
is circumvented. Glucosamine degradation is tenfold slower compared to vitamin C
0.1
55 Inlet air
temperature
50
Airflow rate 0.08
40
Airflow rate (m/s)
Temperature (°C)
0.06
Product
30 temperature
0.04
20
0.02
10
0 0
0 2 4 6 8 10
Time (hour)
FIGURE 6.8 Trajectories for the airflow rate, inlet air temperature, and product temperature
for optimization of broccoli drying. Total processing time of 10 hours is split in four piece-
wise linear periods of 2.5 hours. (From Jin, X. et al., J Food Eng., 123, 172–178, 2014a.)
50 0.1
Airflow rate
k-GL k-Vc
40 0.08
Airflow rate (m/s)

Temperature (°C)
30 0.06
Drying rate
20 0.04
Product
10 Temperature 0.02
0 0
0 2 4 6 8
Moisture content (kg water/kg dry matter)
FIGURE 6.9 Trajectories of product temperature and airflow rate in the water content–
temperature state diagram. k-Vc indicates lines of equal degradation rate constant for
vitamin C, k-GL for equal degradation rate constant of glucosinolates, and drying rate lines
of equal drying rate constant. (From Jin, X. et al., J Food Eng., 123, 172–178, 2014a.)
degradation and therefore glucosamine degradation is low. The airflow rate starts with
its highest values in the top right corner where the drying rates are the highest and ends
with low values in the left bottom corner where the drying rate is the lowest.
Figure 6.10 gives a comparison for an operation with the best constant settings
for the dryer inlet air temperature and airflow rate (“Reference” in Figure 6.10),
80
Energy efficiency
70
Vitamin C
60
Vitamin C content (%)
Energy efficiency (%)
50
40
30
20
10
0
Ref. 2 4 6 8
Number of drying stages
FIGURE 6.10 Optimization results for different periods/stages of piecewise linear control
variables for both air temperature and airflow rate. Ref.: optimal constant conditions for tem-
perature and flow rate. (From Jin, X. et al., J Food Eng., 123, 172–178, 2014a.)
and operations with the best optimal trajectories for these operational variables. The
optimal trajectories are calculated with two, four, six, and eight stages of piece-
wise linear varying control variables. For the reference situation both the energy
efficiency and vitamin C content end at around 30%, while for the optimized sys-
tems the energy efficiency and vitamin C content almost double to respectively 65%
and 50%–55%. The improvements in energy efficiency and vitamin C depend on
the number of piecewise linear periods applied; the improvement for two periods is
behind that of four–eight periods. The two-period strategy is not advanced enough
to fully circumvent the area of vitamin C degradation and to be sufficiently smart in
the strategy for varying the airflow rate as indicated in Figure 6.9. Compared to four
and eight piecewise linear periods, there is a slight decrease in energy efficiency and
vitamin C retention for the six piecewise linear periods. This illustrates that optimi-
zation algorithms can end in local (instead of global) minima as a drawback of this
trajectory approximation method.
The results in Figures 6.5 through 6.7 concern 10 hours of drying time. For this
operational window the product temperature just touches the area with vitamin C
degradation (Figure 6.9). Increasing the operational time results in lower product
temperatures at further distance from this area (Figure 6.11), but this trajectory
hardly results in a higher vitamin C retention. To achieve the aimed final water con-
tent in a shorter operational time requires increased operational temperatures. As
a consequence, the product temperature passes the area of vitamin C degradation
for a considerable time. The total content of vitamin C will fall from 50%–55% to
60
50 k-GL
k-Vc
40 Drying rate
Temperature (°C)
8 hours
30
10 hours
20
10 12 hours
0
1 2 3 4 5 6 7 8
Moisture content (kg water/kg dry matter)
FIGURE 6.11 Trajectories of product temperature rate in the water content–temperature

state diagram for different drying times (8, 10, 12 hours). k-Vc indicates lines of equal degra-
dation rate constant for vitamin C, k-GL for equal degradation rate constant of glucosinolates,
and drying rate lines of equal drying rate constant. (From Jin, X. et al., J Food Eng., 123,
172–178, 2014a.)
35%. The results for the shorter operational time can be improved by applying more
periods of piecewise linear functions, especially in the period where the trajectory
crosses the area of vitamin C degradation. Jin et al. (2014b) illustrate by experimen-
tal validation that broccoli dried along the dynamic optimized trajectories indeed
has a better retention of nutritional components than broccoli dried under constant
operational conditions.
The broccoli drying case concerned conflicting objectives. On one hand, the
product should be dried within a short time which requires raised temperatures.
On the other hand, degradation of nutritional components should be minimized and
energy efficiency optimized by applying moderate drying temperatures. Dynamic
optimization is well able to compromise between these objectives by searching for
trajectories of air inlet temperature and flow rate. Plots of the trajectories in product
water content–temperature state diagram are helpful to understand how the strategy
attempts to realize the aims.
6.3.2 dynamic OptimizatiOn in drying literature

In the previous section, the potential of dynamic optimization for drying and how
to apply and implement the method was illustrated with two cases. The case on tea
drying was specially developed for contribution to this book, while the case on broc-
coli drying was based on the work of Jin et al. (2014a). These cases are not unique.
During the last decades, the concept of dynamic optimization in drying has been
discussed on a moderate level by some research groups. Here a summary of most
cited papers is given.
Dynamic optimization for drying was first mentioned by Mishkin et al. (1982,
1983, 1984). They considered the effect of drying temperatures on degradation
of vitamin C and brown colorings of potato slices. The trajectory for the air inlet
temperature was obtained by control vector parametrization using piecewise linear
approximations. This trajectory approximation was very interesting because ready-
to-use algorithms to solve the dynamic optimization problem (see “Calculation of
Dynamic Optimal Trajectories”) were not available at that time. In their work spe-
cial attention was paid to the interpretation of the obtained temperature trajectory
in combination with the product water content. For example, the brown coloring
of potatoes and degradation of vitamin C are temperature dependent. Similar to
the work of Jin et al. (2014a), the drying temperature trajectory was kept low in
temperature-moisture regions with strong product deterioration. The formal method
for dynamic optimization (see “Calculation of Dynamic Optimal Trajectories”) has
been applied by Boxtel and Knol (1996) to retain activity of dried encapsulated bac-
teria in starter cultures.
Mishkin et al. (1983) mentions local (i.e., different spots in the product) variations
in degradation of the components. At that time, keeping quality at each location
in the product was difficult to solve with the algorithms. Olmos et al. (2002) faced
this challenge for rice drying. The model used by these researchers made a distinc-
tion between the water content and quality in the surface layer and center of rice
particles. The model also contained a constant rate and diffusion limited drying
period. The solution method was again based on control vector parameterization of
the trajectories (piecewise constant) for the air temperature and relative humidity as
control variables. Their optimization resulted in a strategy with a high air tempera-
ture (75°C–80°C) in the constant rate period during which the product temperature
is relatively low due to the high water transfer (analogous to the broccoli drying
example). In this period the relative humidity was allowed to increase to 60%–80%.
In the last phase of drying, the air temperature and relative humidity were reduced to
50°C and 10%, respectively, to avoid product degradation and to maintain sufficient
drying rate.
Wongrat et al. (2011) considered the same problem as Olmos et al. (2002) but their
challenge was to study the suitability of genetic algorithms to solve the control vec-
tor optimization problem. Banga et al. (1997, 1998, 2003, 2005) focused their work
on the development of algorithms for dynamic optimization. Special attention was
given to stochastic methods that search towards the optimum. The advantage of the
stochastic search methods compared to the more traditional gradient search methods
is a reduced risk to end in local minima. Banga and Singh (1994) evaluated optimi-
zation algorithms and methods on drying problems as defined Mishkin et al. (1982,
1983, 1984). However, they also examined extensions to that work by increasing the
complexity of the optimization problem and using advanced methods for solving the
optimization problems (Banga et al. 1997, 1998, 2003, 2005). Here multiple product
quality attributes were considered by including the effect of the optimization strat-
egy on the activity of enzymes. Moreover, the spatial distribution in the product was
taken into account.
Golmohammadi et al. (2016) optimized the sequential drying and tempering peri-
ods for an intermittent paddy rice dryer. The trajectory for the inlet air temperature
as control variable was obtained by control vector parametrization. The durations
of the tempering and drying periods and the settings for the air temperature during
drying were optimized. For this optimization problem a diffusion model was used to
describe the water transport during drying and tempering. The objective was to dry
from a given initial to the aimed final water content in the shortest total processing
time. The main result was that the first drying period was the longest one and the
duration of drying periods decreased with decreasing water content. Moreover, the
temperature for drying was lowest in the first drying period and increased gradually
with time. Just as in the tea drying example, drying in the initial phase was easy, a
low temperature was satisfactory and furthermore no benefits were obtained from
the leveling water content by tempering. In the later phases, drying was enhanced
by the increased air temperature, but the length of the drying periods decreased. For
decreasing water content it took more time to reduce the water gradients for the rice
and therefore the duration of the tempering periods increased.
Barttfeld et al. (2006) considered a multi-zone air impingement dryer for coated
film drying. Here the settings of the air conditions for succeeding zones were opti-
mized. Different drying aims (scenarios) were considered, for example, minimizing
the total heat consumption and maximizing the production rate. The control variables
were the humidity and temperature of the air and the velocities of the impingement
nozzles. The optimization concerned a partial differential equation model which was
discretized over the thickness of the film and the residence time of the paper sheet in
the dryer. The discretized model was implemented in AMPL (2017) and IPOPT (2017)
was used as optimization tool to solve the nonlinear programming optimization prob-
lem. The optimization of the scenarios showed that 30% reduction of energy consump-
tion can be achieved or the production capacity can be increased by 2.5 times.
Concerning dynamic optimization for drying-related problems in baking bread,
Hadiyanto et al. (2008b) derived the best strategies for simultaneous application of
convective, radiation, and microwave heating to deliver bread with specified quali-
ties (water content, crispness, color, and final temperature). Altering the qualities
resulted in different heating strategies. It was also found that the optimized baking
strategies were less sensitive to the properties of the prepared dough.
Dynamic optimization can also be applied as an element of Model Predictive
Control (MPC) for freeze drying (Pisano et al. 2011). The task of the controller in
this application is to track the prescribed operational temperature trajectories and to
keep quality as prescribed in an operational protocol. The controller obtains at each
control moment information on the current temperature and aims to plan from that
information the control actions over a prediction horizon (e.g., the next minute, or
next 10 minutes, or longer) to follow temperature trajectory defined by the protocol.
The planning of the control action is then based on dynamic optimization for the
given horizon. Control vector parametrization is a suitable approach in this applica-
tion. MPC is very successful as a control method and has become a full competitor
to PID-control. The method is certainly attractive for systems in which the set-points
change in time, like the temperature settings in freeze drying protocols.
6.4 INTELLIGENT CONTROL IN DRYING

During batch drying and during the time products reside in a plug flow type of dryer,
water content and product qualities and conditions around the product continuously
change. Changes of these states and conditions in the dryer systems are a function of
the operational variables and can therefore be controlled by applying in time-varying
trajectories of the operational variables. Trajectories are designed by using empirical
knowledge or, as an intelligent method, by dynamic optimization.
This chapter provided a basic introduction to the mathematical background of
dynamic optimization, numerical methods to solve the optimization problem, and
model requirements. As examples to understand the concept and results from dynamic
optimization, batch drying of tea and broccoli were presented. Energy minimization
was aimed for drying of tea to a final water content in a limited time span. In this
example, two different kinetic models and a different loading of the dryer were used.
It was demonstrated that the resulting strategies were directly a consequence of the
kinetics and the amount of water transferred from the product to air. For broccoli
drying, keeping quality attributes was an additional requirement. In this example,
both energy efficiency and product quality doubled by the smart trajectories. It was
shown that temperature-moisture content state diagrams with information of product
quality changes are a powerful tool to understand the obtained trajectories.
Dynamic optimization in drying is not new. Various applications were already
being discussed in the 1980s. Since that time, only a limited number of papers were
published on dynamic optimization in drying. Keeping product quality was the
major challenge, followed by reducing the energy consumption. As publications on
dynamic optimization in drying are limited, the following challenges are foreseen to
increase intelligence in drying:
• To motivate and to enhance current empirically based drying protocols by

an intelligent model-based approach
• To design drying operations with an increasing demand for new and often
conflicting product qualities
• To reduce the energy consumption in drying to the lowest possible level
• To use dynamic optimization in production, such as in advance or during
operations, to adapt adequately to batch loadings, feed properties, changed
conditions
• To systematically analyze the role of drying kinetics and the kinetics for
product quality degradation with respect to the potential achievements that
can be realized with dynamic optimization
APPENDIX 1: BASIC EXAMPLE FOR THE CONCEPT

OF DYNAMIC OPTIMIZATION
Consider the objective function:
tf
J=
∫(x
0
2
)
− u 2 dt
and suppose that system is described by one differential equation:
dx
= −2 x 3 + u, x ( 0 ) = x0
dt
Then the Hamiltonian function is
H = ( x 2 − u 2 ) + λ( 2 x 3 + u )
Remark: One differential equation gives only one Lagrange multiplier and hence it is
not necessary to use the superscript for the transposed vector.
The conditions for an optimum result in
dH λ
= −2u + λ = 0 → u =
du 2
and
dλ dH
=− = −2 x − 6λx 2
dt dx
as Φ(tf ) = 0, d Φ(tf ) dx = 0 and thus λ(tf ) = 0

Substitution of u = λ 2 in the system differential equation and the differential

equation for the co-state variable gives a set of two differential equations to be solved
simultaneously:
dx λ
= 2 x 3 + x ( 0 ) = x0
dt 2
dλ
= −2 x − 6λx 2 λ ( tf ) = 0
dt
This is a two-point boundary problem whereby the initial condition for x(0) and the
final value of λ(tf ) are known.
APPENDIX 2: EXAMPLE OF BANG-BANG CONTROL

Consider the system from Appendix 1 with a modification in the objective function
which makes the objective function linear in u:
tf
∫
J = ( x 2 − 2u)dt
0
The system differential equation is again
dx
= −2 x 3 + u, x ( 0 ) = x0
dt
The Hamiltonian function for this system is
( ) (
H = x 2 − 2u + λ −2 x 3 + u )
The conditions for an optimum result in
dH
= −2 + λ
du
and
dλ dH
=− = −2 x − 6λx 2
dt dx
Furthermore, Φ(tf ) = 0 gives for the final value of the adjoined variable λ(tf ) = 0.
The symbol u is not present in these conditions for an optimum and thus these
expressions will not result in an expression of a trajectory for the control vector.
Moreover, there is a conflict in the equations which prescribes, on one hand, a con-
stant value for λ(tf ) = 0 while, on the other hand, λ»should vary over time according
to d λ dt = −2 x − 6λx 2 , which makes the condition dH du = −2 + λ = 0 not feasible.
The aim is to optimize the objective function J . However, as J is in its optimum,

the Hamiltonian function is also in its optimum. The expression dH /du = 0 is now
used as a switching function. The following situations can be distinguished:
Minimization Problem Maximization Problem

If λ > 0, then u is as low as possible. If λ > 0, then u is as high as possible.
If λ < 0, then u is as high as possible. If λ < 0, then u is as low as possible.
λ = 0 then u switches between the values.
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7 Adaptive Control
Robert Dürr and Andreas Bück
CONTENTS
7.1 Motivation and Main Characteristics ........................................................... 103
7.2 Adaptive Control Schemes ........................................................................... 105
7.2.1 Gain Scheduling ............................................................................... 105
7.2.2 Model Reference Adaptive Control .................................................. 106
7.2.3 Self-Tuning Regulators ..................................................................... 107
7.2.4 Dual Control ..................................................................................... 108
7.2.5 Auto-Tuning ...................................................................................... 109
7.3 Examples....................................................................................................... 110
7.3.1 Model Reference Adaptive Control of a First Order System ............ 110
7.3.2 Auto-Tuning of the Spray Drying Process Using the
Relay-Feedback Method ................................................................... 112
7.3.3 Adaptive Time-Delay Control of Conveyor Belt Grain Drying
Process .............................................................................................. 114
7.3.4 Self-Tuning State-Feedback Control for Paperboard Machine ......... 117
7.4 Summary ...................................................................................................... 120
References and Further Reading ............................................................................ 122
7.1 MOTIVATION AND MAIN CHARACTERISTICS

The basic aim of a feedback control system is to keep a process in a desired mode
of operation, which may be a constant set point, a time variant trajectory, or more
generally a desired level of performance, in the presence of unknown distur-
bances and (minor) uncertainties on the process’ characteristics. A feedback con-
trol is designed and its parameters are adjusted such that this objective is fulfilled.
However, for large unforeseen disturbances (e.g., sudden changes in environmental
conditions) and changing process conditions (e.g., time variant behavior of process
units resulting from deterioration), initially good performance of a control system
can degrade during the process and the desired control goals may no longer be
reachable. Moreover, for badly designed controllers, the overall control system may
even become unstable. In these cases, the controller parameters have to be changed
to meet the objectives under the changed process conditions. This approach is also
known as adaptive control and can be thought of as an additional control loop that
adjusts the controller parameters. In the following, an overview on the main charac-
teristics and different types of adaptive control are presented. The advantage makes
103
adaptive control algorithms highly relevant for industrial applications. As a result,

research on development and application of adaptive control schemes has received
high interest in the scientific community for the last decades, which is reflected
in the number of excellent publications and textbooks, for example, Åström and
Wittenmark (1995), Sastry and Bodson (1989), and Landau et al. (2011), that pro-
vide the sound basis for the rather condensed information presented in this chapter
and give much more detail on the topics touched upon in this section.
The motivation and core principle of adaptive control can be illustrated with a small
example from process engineering. Consider a new constructed plant, for example, a
large-scale dryer for the drying of food pellets or a paperboard machine. Controllers,
in many cases conventional PID-controllers, are set up in different places to guaran-
tee a smooth performance of involved subunits (e.g., level/temperature/pressure con-
trol) but also of the plant as a whole, by means of guaranteeing the desired product
quality (for the aforementioned examples this may be the relative moisture content).
Initially, the controllers are designed on basis of the behavior of the new plant and
the involved subunits, for example valves, tubes, pumps, or heat exchangers. It is
to be expected that certain operation characteristics of these units change over the
years, examples being the deteriorating efficiency of heat exchangers due to fouling
and the degrading capacity of pumps resulting from wear. Thus the current dynamics
of the plant differ from the original ones, and as a result the controllers designed for
the original configuration may not be able to guarantee the desired overall perfor-
mance for the aged plant. To overcome these issues, the conventional control loops
can be augmented with an adaption loop constantly adjusting the PID-controller
parameters with respect to the changing process behavior.
The corresponding scheme can be seen in Figure 7.1. Within an adaptive control
system, the current performance of the controlled process, for example, by means of
Adjustable control system
Disturbances
Adjustable u y
Reference Process
controller
Desired
performance
Performance Adaption Performance

evaluation algorithm measurements
Adaption scheme
FIGURE 7.1 General scheme of an adaptive control system.

Adaptive Control 105
product quality, is continuously measured and compared to the desired performance.

In case the first diverges from the second, the controller configuration is adjusted
such that the desired demands are met again. This can also be viewed as a kind
of subordinate control or optimization procedure as commonly a certain quantita-
tive error function (e.g., the quadratic residual between current and desired output)
is minimized by adjustment of the controller. In contrast to conventional control
design aiming to reduce the effects of disturbances on the controlled process vari-
ables, adaptive control is more oriented to reduce the influence of disturbances of the
model parameters on the performance of the control system.
Alternatively, robust control design can be applied to cope with unpredictable
plant disturbances and changes. Here, the basic idea is to come up with a controller
configuration that can guarantee satisfactory performance not only for the original
plant but also for changed plant dynamics, up to a certain degree. The uncertainty
is directly represented in model formulation. In contrast to adaptive control design,
robust control design needs a-priori knowledge (or at least a reliable estimate) of
the expected changes of the process characteristics and results in a fixed controller
configuration. As described in Landau et al. (2011), a combination of both principles
can be advantageous.
7.2 ADAPTIVE CONTROL SCHEMES

Adaptive control schemes can be roughly categorized into open- and closed-loop
techniques. For algorithms from the first section, for example, gain scheduling, the
desired process outputs are not measured directly and changes in the process dynam-
ics are inferred from additional measurements. In contrast, for closed-loop methods,
like model reference adaptive control or self-tuning controllers, the important pro-
cess outputs are assessed directly to adjust the controller parameter. The following
section presents the most important adaptive control schemes.
7.2.1 gain scheduling

When using gain scheduling, it is assumed that changes in certain variables
(different from the controlled variables), for example, environmental conditions or
operation regimes, are highly correlated with variations in the system dynamics.
This allows for establishment of a relationship between those auxiliary variables
and the process behavior, which can be used to adapt the controller parameters,
for example, by a static assigning the optimal controller parameters depending on
changes in the auxiliary variables. The principle scheme is depicted in Figure 7.2.
Therein, a simple look-up table connecting operating conditions and controller
configuration represents the adaption scheme. From the displayed scheme, it is also
obvious why gain scheduling is referred to as an open-loop strategy: The overall
performance by means of the controlled variable is not measured directly and, fur-
thermore, the controller parameters may not be adapted continuously but only if a
certain operation region is left indicated by a larger change in the auxiliary variable.
In the control community, there is extensive discussion about whether gain schedul-
ing can even be viewed as a real adaptive control structure. However, as the principle
y
Adjustable u
Reference Process
controller
p Gain schedule, yaux

e.g., look-up table
yaux ⇒ p
FIGURE 7.2 Schematics of a gain-scheduling control scheme.
at least follows its main requirement, that is the adaption of the controller to chang-
ing process conditions, in the authors’ opinion, it can be viewed as a low complex
adaptive algorithm.
Historically, this concept was developed in the early 1950s to support the design of
autopilots for high-performance aircrafts which operate over a large range of speeds
and altitudes. It was found that the application of conventional control design meth-
ods did not result in sufficient performance over the whole flight regime. However,
by using measurements of the flight speed and altitude as auxiliary variables (also
known as scheduling variables), different controller configurations for different
regimes allowed a satisfactory performance (the interested reader is referred to more
detailed information provided in Gregory [1959]).
The simplicity of the approach represents both its biggest advantage—fast adap-
tion transient, easy applicability, reduction of the adaptive control design problem
to a series of conventional control design problems for each regime—as well as its
main point of criticism—detailed knowledge on the process, particularly its relation-
ship to the auxiliary variables, is fundamental. In many cases, it is not possible to
characterize the operation regimes based on a single scheduling variable but a set of
variables is needed. Moreover, if an operating regime is not defined in the look-up
table, no suitable controller configuration can be chosen, resulting even in a failing
overall system. As a rule of thumb, gain scheduling should only be used if changes
in the process require a moderately frequent adaption of the controller. Otherwise,
closed-loop adaptive schemes must be applied. At this point, it is worth mention-
ing that gain scheduling can also be used for the control of nonlinear systems as
described by Rugh and Shamma (2000).
7.2.2 mOdel reference adaptive cOntrOl

In contrast to open loop adaptive schemes, in closed loop adaptive techniques outputs
of interest are measured directly and used to adapt the controllers continuously. To
keep a desired control performance the controller parameters can be adjusted in such
a way, that the behavior of the controlled system matches the behavior of a given refer-
ence system. This approach is known as model reference adaptive control (MRAC)
and the corresponding scheme is depicted in Figure 7.3. Here, the already mentioned
two-loop structure can be seen: The conventional control loop comprises process and
Reference
Adjustable u
input Process
controller
p Adjustment y
mechanism
min (y − yref)
Reference
model yref
FIGURE 7.3 Model reference adaptive control (MRAC) scheme. (Adapted from
Åström, K.J. and Wittenmark, B., Adaptive Control, 2nd ed., Addison-Wesley Publishing
Group, Reading, MA, 1995.)
controller, with a fixed controller structure but adjustable controller parameters p. The
adjustment mechanism and the reference model represent the adaption loop. The latter
continuously adapts the controller parameters such that the control system’s behav-
ior matches the one desired of the reference system. The most challenging aspect of
MRAC design is the computation of the adjustment mechanism. Aiming for an overall
stable adaptive system that minimizes the error between process and reference outputs,
this generally represents a nonlinear online optimization problem. In the original for-
mulation of MRAC, the so-called MIT rule was applied, which is a gradient scheme
minimizing the squared model error (Åström, 1996).
In the case of a single controller parameter, the adaption rule is given by the solu-
tion of the ordinary differential equation
∂p ∂e
= − γe
∂t ∂p
which involves the computation of the model parameter sensitivities ∂e/∂p. These
characterize the influence of changes in the model parameters on the model output
and thereby the error. Alternatively, the update rule can be determined applying
the Lyapunov stability theorem (Parks, 1966). Here, the rule is chosen such that the
model error dynamics asymptotically converge to zeros. Similar approaches can also
be used for nonlinear model dynamics described by partial differential equations
(Palis, 2015).
7.2.3 self-tuning regulatOrs

MRAC represents a direct adaptive method as there is a direct rule for the online
adjustment of the controller parameters as a function of the error between refer-
ence and process outputs as well as the fixed structures of models and controllers.
Alternatively, the model identification and controller design can be approached sepa-
rately. The involved steps model identification, controller design and overall regulator
Controller Process
Reference
Controller
parameters
Controller
Estimation
Specification design
Model parameters
STR
FIGURE 7.4 Scheme of an adaptive control system featuring a self-tuning regulator (STR).
implementation represent an indirect adaptive method and the overall algorithm is

called a self-tuning regulator (STR). It can also be viewed as automated process
modeling and controller design.
In Figure 7.4, the basic two-loop structure of adaptive control (one control loop
for the process and one for adjustment of the controller) is still present. Therein,
the model identification/estimation and the controller design represent the adap-
tion loop. In most self-tuning control methods, identification and control design are
implemented stepwise in discrete time: at each step, the model is updated based on
the new measurement sample at first. This can be realized with efficient estima-
tion techniques (e.g., via recursive least squares estimation in case of a fixed model
structure). Subsequently, the controller is recalculated based on the updated model.
Generally, the STR approach is flexible in the choice of the underlying estimator and
regulator design methods. However, in principle, even if these may be of arbitrary
complexity one has always to consider that they must be implemented in parallel to
the process. This real-time requirement excludes too elaborate and computationally
expensive techniques, though the definition of too expensive surely depends on the
dynamics of the process to be controlled: A slow process characterized by large time
constants leaves more time for the advanced procedures in the estimation/controller
steps, while simple control algorithms have to be implemented in the case of fast
process dynamics.
7.2.4 dual cOntrOl

In most adaptive schemes, controller design is based on the estimated process
parameters which are assumed to be the real and exact process parameters. This
principle is also known as certainty equivalence principle. However, uncertainties
of the controller and model parameters originating, for example, from stochastic
measurement errors are not taken into account. Thereby, poor model parameter esti-
mates characterized by large variances can translate into poorly performing con-
trollers that may even destabilize the closed-loop response. Instead of separating
parameter estimation and controller design, the so-called dual control approach aims
for the solution of the involved estimation and control problem under uncertainty
(Filatov & Unbehauen, 2000). The dual controller provides a trade-off between exci-
tation of the unknown process for good estimation of the uncertain model param-
eters and performance of the overall control system (Filatov & Unbehauen, 2004).
Most commonly, the unknown model and controller parameters are treated as
additional variables with an initial distribution representing their uncertainty. The
overall mathematical model formulation is obtained by augmenting the original pro-
cess model by the dynamics of the unknown and uncertain model/controller param-
eters. For this extended model formulation, a suitable controller can be designed, for
example, by optimizing a specific cost function that also accounts for variance in the
model and controller parameter estimates.
7.2.5 autO-tuning
The presented adaptive schemes need, at least to a certain degree, a-priori informa-
tion about the process one intends to control, for example, structural information or
knowledge about the expected timescales. However, industrial PID controllers are
generally manufactured for a broad class of applications and such detailed knowl-
edge is commonly not known beforehand. Furthermore, in industrial plants a large
number of subprocesses must be controlled and completing the necessary degree of
modeling required for sophisticated adaptive techniques such as MRAC and STR
can be a time-consuming and costly procedure that can only be undertaken for the
most important subsystems or systems which appear in large quantities (Åström,
1995). From a practical point of view, it would be ideal to have a model-free adaptive
controller with an automatic adjustment feature to avoid individual controller tuning
for each control loop. In fact, nowadays such auto-tuning functions are featured in
most stand-alone industrial regulators (Ang et al., 2005) and allow the application
of standard PID controllers to a large class of different processes. If necessary, the
obtained regulator parameters can then be used for more sophisticated adaptive con-
trol algorithms.
Most auto-tuning methods rely on simple experiments on the unknown processes,
and can be used either in open-loop or in closed-loop configuration. For the open-
loop case this is commonly done by excitation of the input with step or pulse func-
tion and a simple assumption on the process model, for example, first or second
order dynamics with time delay. These types of models are characterized by a low
number of model parameters, for example, damping and natural frequency. After the
model parameters are identified from experiments with a suitable parameter estima-
tion procedure, they can be used to set up the PID controller. Possible approaches
to determine the controller parameters comprise simple static relationships between
the model and controller parameter, like the famous Ziegler-Nichols rules (Ziegler &
Nichols, 1942), pole-zero-compensation, or pole-placement design, but also optimal
control methods.
However, if the process itself is unstable, the unknown process cannot be identified
in the open-loop configuration and thus information on the model parameters must be
inferred from experiments on the closed-loop system. Popular representatives are the
Relay
r pPID y
Process
−
PID
FIGURE 7.5 Scheme of the implemented auto-tuning controlled system using relay-
feedback test. External triggered activation in case of insufficient performance: First step is
identification of critical parameters from closed-loop-relay feedback operation; second step is
update of PID controller parameters computed from identified critical parameters.
Ziegler-Nichols self-oscillating method and the relay-feedback method (Hang et al.,
2002). In order to use the first technique for an arbitrary process, as an initial step, the
integral and derivative parts of the controller are switched off. Then the proportional
gain is gradually increased until a sustained oscillation is obtained at the process out-
put. Characteristic process parameters can then be determined from the frequency and
amplitude of the oscillation. This method has serious drawbacks as the system is oper-
ated on the edge of the stable regime, resulting in unreasonably large values for the pro-
cess outputs and the control signals. As an alternative, the relay-feedback method can be
applied, which has the advantage that the amplitude of the oscillation can be controlled.
This allows the control output to be halved while sustaining the oscillation. As described
in Hang et al. (2002), the easiest way to think of the relay is as an on-off controller that
switches the control variable between two levels: When the process output is higher than
the reference signal, the controller output is in the off position (low-level signal), and
otherwise it switches to the on position which corresponds to the high-level signal. For
implementation in a real process, stochastic measurement noise must be considered. To
keep the relay from chattering hysteresis is usually installed. In a second step, the con-
troller parameters are computed as shown in Figure 7.5.
7.3 EXAMPLES
7.3.1 mOdel reference adaptive cOntrOl Of a first Order system
The following scholastic example is adopted from Åström & Wittenmark (1995)
and will be used to visualize the principle benefits of the adaptive control approach.
Consider a first order system described in the frequency domain
b
Y ( s) = U ( s)
s+a
where:
a and b are parameters
U is the control variable
Y is the measured variable
The desired closed-loop behavior is also described by a first order system
ydes ( s ) = R(s)
bdes
s + ades
with the desired output yref and the reference signal R(s). The control law is given by
U ( s ) = k1R ( s ) − k2Y ( s )
For this closed-loop system an adaptive MRAC scheme can be developed using the
MIT rule. As a result, the following adjustment rules for the controller parameters are
obtained:
1 a  1 a 
K1 ( s ) = − γ  des R ( s )  E ( s ) , K 2 ( s ) = γ  des Y ( s )  E ( s )
s  p + ades  s  p + ades 
Here γ represents the adaption gain and e represents the error e = y − ydes . In Figure 7.6
the simulation results are shown for the parameter set
Closed-loop Desired
1
0.5
0
y
−0.5
−1
0 20 40 60 80 100 120 140 160 180 200

t
2
Desired W.o. adaption MRAC
0
y
−1
−2
0 10 20 30 40 50 60 70 80 90 100 110
t
FIGURE 7.6 Simulation result for MRAC control scheme; the controller parameters are
adapted to minimize the quadratic error between measured and desired output.
=
a 1,=
b 0.5= , bdes 2, γ = 2
, ades 2=
It can be seen, that the controller parameters are adjusted in such a way that the
closed-loop output approaches the desired output. For larger simulation times the
controller parameters converge to the ideal ones
bdes a −a
k1,0 = , k2,0 = des
ades b
which guarantee the same input-output relations for the process and the reference model.
In the second scenario shown in Figure 7.6, the process parameters change at t = 20. It
can be seen, that the MRAC scheme is also able to deal with these changes in the pro-
cess dynamics and the set point is tracked after a relatively short adaption transient.
7.3.2 autO-tuning Of the spray drying prOcess

using the relay-feedBack methOd
The following example is adopted from Zaror & Pérez-Correa (1991) and describes
the control of a centrifugal atomizer spray drying process. In a classical approach the
outlet air temperature, which is directly related to the moisture content of the product,
is used as a control variable Y ( s), as online measurement of the moisture content at
the outlet itself is difficult. In the publication, the feed flow rate is used as manipulated
variable U ( s) and the feed water content is used as one specific disturbance D( s).
The dynamic system can be characterized by the following relation in the
Laplace-domain:
Y ( s) = GUY ( s) ⋅ U ( s) + GDY ( s) ⋅ D( s)
where the transfer functions represent first order time-delay systems which can be
identified from the given step responses
−16.89 −25.33
GUY ( s ) = , GDY ( s ) =
1 + 0.7 ⋅ s 1 + 0.7 ⋅ s
For the design of a suitable PID controller, a relay-feedback method will be used. In
the first phase (0 < t < 10) the system displayed in Figure 7.7 is operated in a relay-
feedback loop (Figure 7.5). From the resulting characteristic oscillatory behavior,
the critical parameters Tcrit and K crit are obtained, which are used to determine the
PID controller parameters, for example, by applying the rules of Ziegler-Nichols or
Tyreus-Luyben.
While the first is the probably best-known tuning rule for PID control, the second
one is characterized by a less rapid response resulting in hardly any overshoot for
step changes in the reference of the control variable but also a larger deviation from
the set point in case of step disturbances.
In the second phase (10 < t < 20), the performance of both PID controllers
in closed loop is shown for the set point Tout = 0 with step disturbance at t = 15.
Feed
Atomizer
Drying gas
Exhaust air
Dried
product
FIGURE 7.7 Atomizer spray drying process; the feed involves the manipulated variable
(flow rate) and the disturbance (moisture content); moisture content of the product represents
process output/control variable.
2
Ziegler-Nichols Tyreus-Luyben
1
−1
y
−2
−3
−4
−5
0 5 10 15 20 25 30 35 40 45 50
t
FIGURE 7.8 Simulation results for auto-tuning controller based on feedback-relay tech-
nique for two different PID-tuning rules.
In the third phase, the parameters of transfer function GUY were changed by 25%
to simulate an unpredicted variation in the process dynamics. As the PID control-
lers were designed for the original configuration, closed-closed loop simulation for
a step disturbance at t = 25 shows an undesired large overshoot. In such a case, the
auto-tuning is repeated: At first, the critical parameters are identified from a second
relay-feedback test (30 < t < 40 ) and are used in the following to determine the new
set of PID parameters for the altered plant dynamics. It can be seen, that both con-
trollers show an improved performance (40 < t < 50 ) (Figure 7.8).
7.3.3 adaptive time-delay cOntrOl Of cOnveyOr

Belt grain drying prOcess
In this section, an adaptive Smith predictor will be presented for a conveyor belt dry-
ing process. Wet grain is spread at the input on a conveyor belt. The belt is rotated by
a motor and thereby the wet grain is moved toward the output of dryer while being
blown with hot air. At the dryer output, the moisture content of the product is mea-
sured. The drying rate and thereby the process output are affected by several process
parameters, for example, air temperature and flow rate and the belt velocity. In this
setup, air temperature and flow rate will be kept constant and we will assume that
the voltage supplied to the motor is the only accessible process input. As reported
by Mansor et al. (2011), the dynamic relation of process input/manipulated variable
U ( s), that is, the motor voltage, and output/control variable Y ( s), that is, the grain
moisture content at the output, around a certain stationary output can be described
reasonably with the following transfer function:
K (1 + TB s )
G ( s) = e −TD s
(1+ 2ξT )
s + TA2,1 s2 (1 + TA,2 s )
A,1
for a lab scale conveyor belt grain dryer with parameters values given as
K = 0.17788, TA,1 = 0.32426, TA,2 = 32.076, TB = 0.47177, TD = 27.027, ξ = 0.17533
The process dynamics are characterized by a significant time delay resulting from
conveyor belt transport delay. In general, such processes are challenging for control
design and standard PID approaches are hardly able to guarantee the demanded
specifications. To account for the time delay, a so-called Smith predictor (Bahill,
1983) can be used along with a standard PID design to improve the controller’s per-
formance. The classical Smith predictor structure as depicted in Figure 7.9 relies on a
parallel model of the process which is divided into delay-free part and delay. Design
of the PID controller (or any type of controller) is based on the delay-free part of the
model. However, to guarantee the desired specifications, an accurate estimation of
the time delay is required. This motivated the development of adaptive Smith predic-
tors that can deal with uncertain and changing values of these.
u Process with
Controller
r time delay y
− −
Model of delay Model of

free part time delay −
e
FIGURE 7.9 Basic Smith predictor control scheme for control of time-delay systems.
In case of the grain dryer, the supplied voltage translates into the motor torque
which is applied to the belt. The conveyor belt velocity, which is the major factor
for the delay, depends on the torque and the load of wet grain. If the load changes
due to changing composition of the grains or variances in the feeding rate, the
velocity can change over time. Thus, for a constant motor voltage, the time delay
may vary during the process. In the following, an adaptive Smith predictor, as
presented by Bahill (1983), will be designed to improve the performance of the
process under the described uncertainty. The full control scheme as implemented
in MATLAB/Simulink is shown in Figure 7.10 and details will be discussed in the
following.
The adaption rate of the estimate θ of the unknown time delay is given by
∂J
θ = −k ⋅
∂θ
where k is the adaption rate constant, and the performance function is given by the
integral square error
∫
1 2
J= e dt .
2
It can be derived that the adaption rate is then given by
∂y
θ = −k ⋅ e ⋅
∂θ
with the sensitivity computed as described in Bahill (1983). In contrast to this pub-
lication, a fixed value for the adaption rate constant k was chosen. In Figure 7.11
simulation results are shown for the conveyor belt grain dryer under adaptive and
nonadaptive Smith predictor control. After 100s, the reference value for the out-
put grain moisture is reduced from 17% to 15% and from 500s a step disturbance
is acting on the output, representing e.g., a changing moisture of the input grain.
Furthermore, it is also assumed that the time delay is neither known exactly and
changes randomly during the process. All other parameters are assumed to be
known and time invariant. It can be seen, that the adaption has a positive effect
on the control system’s behavior: In contrast to the standard nonadaptive Smith
predictor, output moisture oscillations are more damped and thus the output grain
moisture converges faster to the desired reference. Moreover, also the controller
output, that is, the applied motor voltage, reaches a settled state much faster which
is an advantage over the strong oscillations of the standard approach. It must be
mentioned at this point, that the concept presented with this example represents a
very simple adaption algorithm (though the performance is improved significantly)
and advanced adaption techniques exist. These can improve the control system even
further and may also be applied to drying systems with multiple control inputs and
systems parameters.
116
+ + ++
Output
− − PID(s) ∫ u y
Reference PID Controller
Plant
Input
Disturbance
Model
0.17788∗0.47177s + 0.17788∗1 1
∧ ∗ ∗ 32.076s + 1
0.32426 2s2 + 2 0.32426 0.17533s + 1 −+
To
Delay model
Adaption
×
× 1
s∫
Product
Divide Adaption Sensitivity
Adaption factor delay
1000 theta
dydp
y
FIGURE 7.10 Adaptive Smith predictor as presented in Bahill (1983).

Intelligent Control in Drying
17.5
Reference
17 Nonadaptive
16.5 Adaptive
Output moisture (%)

16
15.5
15
14.5
14
13.5
13
12.5
12
0 200 400 600 800 1000
t(s)
1.5
Motor voltage (V)
0.5
0
0 200 400 600 800 1000
t(s)
FIGURE 7.11 Simulation results for conveyor belt grain dryer under PID control with
standard and adaptive Smith predictor.
7.3.4 self-tuning state-feedBack cOntrOl fOr paperBOard machine

Examples shown so far were limited to processes with a single manipulated and a
single control variable. However, in many processes one is interested in the simul-
taneous control of multiple control variables. For such processes, sophisticated
adaptive control algorithms can be implemented to cope with varying process
conditions.
In a last computational example, an adaptive multivariable controller will be
designed for control of basis weight and moisture content for a paperboard machine.
Development of suitable controllers is challenging, as the process is characterized
by external nonmeasurable disturbances, long time delays/dead times, and nonlin-
ear and time-varying process dynamics. To overcome limitations arising from fixed
controllers, self-tuning regulators have been suggested by many authors, see, for
example, Xia et al. (1993). In this article, adaptive control is developed for the fol-
lowing linear, discrete time transfer functions:
 B11 ( z −1 ) B12 ( z −1 ) 
 
 y1 ( z )   A11 ( z −1 )
−1
A11 ( z −1 )   u1 ( z −1 ) 
  =  −2 
 y2 ( z )   B21 ( z ) B22 ( z −1 )   u2 ( z ) 
−1 −1
 −1 
 A22 ( z ) A22 ( z −1 ) 
 6.1z −1 − 3.36z −7 −3.4 z −6 + 2.03z −7 

   u ( z −1 ) 
1 − 1.15z −1 + 0.33z −2 1 − 1.15z −1 + 0.33z −2
=  1 
 0.4 z −6 − 0.25z −7 −1.2 z −6 + 0.91z −7   u2 ( z −2 ) 
 
 1 − 1.32 z −1 + 0.43z −2 1 − 1.32 z −1 + 0.43z −2 
Characterizing the dynamics of reel basis weight y1 and moisture content y2 of the
paper depending on the position of the straw pulp control valve u1 and the value of the
steam pressure u2 . The parameter values for the transfer functions have been derived
from one single experiment and are expected to change in course of the process,
for example, in result of disturbances in the initial moisture content. In contrast to
Xia et al. (1993), state-space approaches will be used to design a suitable feedback
controller. The overall self-tuning regulator comprises two steps that are executed
sequentially each time point t k a new measurement is obtained:
1. Identification: Recursive least squares estimation of plant parameters

2. Controller design: State feedback and prefilter design using current plant
parameters
The recursive least squares algorithm is used to estimate the parameter values for
the numerator and denominator polynomials of the multivariable transfer function at
each new measurement. For the paperboard machine, the following agenda is imple-
mented at each measurement instant t k (further details are found for example in Hang
et al. [1993]):
1. Read current measurement and update the data vectors

2. Compute predicted process output based on current parameter estimates
3. Update the gain factors
4. Update parameter covariance matrices
5. Update parameter estimates
In the second step, a new value for the manipulated input is computed using the cur-
rent plant estimate. Therefore, the systems model is transferred from transfer func-
tions form to a state-space description first
x ( k + 1) = A* x ( k ) + B*u ( k )
y(k ) = C*x (k )
where* indicates that the system’s matrices depend on the estimated parameters
from the recursive least squares step. For the manipulated variable u a feedback-
feedforward control is applied
u ( k ) = − K * x ( k ) + V *w ( k )
where the state feedback matrix K * and prefilter matrix V * are computed from the
system’s matrices.
For a good disturbance rejection, the state feedback matrix is designed as linear
quadratic regulator (e.g., using the MATLAB function dlqr). Furthermore, the pre-
filter is computed as
( )
−1
( )
−1
V * = C * I − A* + B* K * B*
to guarantee accurate set point tracking.

In Figure 7.12 simulation results are shown. The reference values for the reel
basis weight and the moisture content are given as pulses of height [5, 3] from
the operation point and width [ 75, 60 ]. Furthermore, the process is disturbed at
t _ dist = [110, 250 ]. To improve the performance of the recursive least squares step,
the input signal was disturbed with a low-powered white noise. It was assumed
that the initial multivariable transfer function is not known exactly a priori and has
been determined as
 5.49 z −6 − 3.02 z −7 −2.72 z −6 + 1.62 z −7 

 
1 − 0.92 z −1 + 0.26 z −2 1 − 0.92 z −1 + 0.26 z −2 
( )
Ginit z −1 =
 0.32 z −6 − 0.2 z −7 −1.44 z −6 + 1.09 z −7 
 
 1 − 1.45 z −1 + 0.47 z −2 1 − 1.32 z −1 + 0.43z −2 
In the first scenario (solid blue), the state feedback and the prefilter are computed
from the available (incorrect) information on the system. During the process the pro-
cess model is not updated, resulting in a significant error between reference and
process outputs: the reel basis weight reaches values more than twice as large as
the desired pulse value and the moisture content is only around half of its reference
value. The main reason for this behavior is the wrong feedforward control signal
resulting from the nonaccurate model. In the second scenario, the earlier described
self-tuning controller algorithm is applied, in which the parameters of the process are
adapted online. These updated parameters are used to recalculate the state feedback
and the prefilter in each step. The advantage can be seen easily: After a short adjust-
ment phase, the reference pulse is followed accurately.
Reel bases weight (g/m2)

10
0
0 50 100 150 200 250 300 350 400 450
6
Moisture content (%)
0
Nonadaptive Adaptive Reference
−2
0 50 100 150 200 250 300 350 400 450
(a) t (min)
1
Valve position
−1
0 50 100 150 200 250 300 350 400 450

1
Steam pressure
−1
−2
−3
0 50 100 150 200 250 300 350 400 450
(b) t (min)
FIGURE 7.12 Process outputs (a) and control inputs (b) for paperboard machine under
nonadaptive and self-tuning state feedback/feedforward control. All values are given as
deviations from the initial point of operation. (From Xia, Q. et al., J. Process Contr., 3(4),
203–209, 1993.)
7.4 SUMMARY
Adaptive control algorithms are a suitable method to ensure reliable operation of
controllers under changing process conditions. Open-loop adaptive schemes like
gain scheduling are simple and able to respond quickly to such variations. However,
extra measures must be considered and detailed knowledge on the process char-
acteristics is necessary. Closed-loop techniques, such as MRAC and self-tuning
regulators, continuously adapt the controller and thus provide better performance.
On the other hand, these algorithms are more complex and usually characterized by
a slower adaption transient. The choice of the specific adaption algorithm depends on
the frequency and rapidness of the changes in the process dynamics: For moderately
changing parameters, auto-tuning or gain scheduling may be sufficient such that
the controller parameters are adapted only at low frequency. In contrast, highly fre-
quent and rapid changes in the process characteristics require a continuous adaption
and thus self-tuning algorithms should be favored. Furthermore, the complexity and
robustness of the control method has to be considered in the choice of the adaption
algorithm: A simple PI or PID controller is generally more robust to variable dynam-
ics than an advanced method like state feedback. Thus, a PID controller has a lower
need for continuous adaption than the advanced state feedback.
In many drying processes, characteristic parameters or properties (e.g., residence
time of a conveyor belt dryer) change in result of input disturbances (e.g., change
of the inlet water content), and are thus candidates for adaptive control design. The
adaptive control schemes presented in this chapter have found application in many
drying processes to guarantee optimal performance in the presence of unpredictable
changes in the process dynamics and disturbances and thereby significantly improve
the its operation. In Åström & Wittenmark (1995) and Cegrell & Hedqvist (1975),
the positive effect of an adaptive algorithm for the PI control of the product moisture
content in a pulp and paper drying has been discussed.
Applications of gain scheduling schemes to drying processes can be found
in Ogonowski (2011) for the safe performance and minimized fuel consumption
for a spray booth using a two-layered adaptive control structure. In Watano et al.
(1995), gain scheduling was used to adapt moisture fuzzy control to changes in the
inlet air conditions in agitation fluidized bed granulation. Iguaz et al. (2007) used
gain-scheduled PI controllers to reduce energy consumption and increase dryer
throughput for an alfalfa rotary dryer. Another prominent method applied to dry-
ing processes is the self-tuning regulator. In Nybrant (1988) adaptive integrating
pole-placement for control of continuous grain dryers was demonstrated, and in
Nybrant (1989) a self-tuning regulator combining recursive least squares estimation
of process parameters and control law based on short time-horizon linear-quadratic
criterion was used for control of concurrent flow dryers. Pérez-Correa et al. (1998)
developed an extended horizon self-tuning regulator for control of direct rotary
dryers. In Corrêa et al. (2002, 2004), adaptive generalized predictive control (GPC)
was used for control of spouted bed dryers. Recently, self-adaptive nonlinear con-
trol was applied for cocoa bean drying and has shown advanced performance com-
pared to GPC (Parra et al., 2016). In many drying applications STR schemes were
used for adaption of fuzzy logic controllers. The online identification of optimal
fuzzy logic parameters was shown in Atthajariyakul and Leephakpreeda (2006)
for fluidized paddy drying. Köni et al. (2010) combined neural networks and fuzzy
control systems to develop a self-tuning adaptive scheme for the control of batch
drying of baker’s yeast. Within these so-called adaptive neuro-fuzzy inference sys-
tems (ANFIS), the parameters of the fuzzy logic controller are assigned by artificial
neural networks which are trained with experimental data. Further drying appli-
cations of ANFIS are found in food processing (see e.g., Lutfy et al. [2015] and
Al-Mahasneh et al. [2016]).
In all of the mentioned drying applications, adaptive control schemes show

improved performance for time variant process conditions compared to standard
non-adaptive control. However, in some cases, stability and robustness issues arise,
which may be overcome by more sophisticated methods like ANFIS or GPC. Thus,
adaptive control schemes represent a good augmentation to classical control schemes
to ensure a reliable performance of drying processes in case of changing process
conditions resulting from time-varying material characteristics.
REFERENCES AND FURTHER READING

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neural fuzzy system (ANFIS) in food processing and technology, Food Engineering
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Åström, K. J. (1983) Theory and applications of adaptive control—A survey, Automatica
19(5), 471–486.
Åström, K. J. and Wittenmark, B. (1995) Adaptive Control. 2nd ed. Reading, MA: Addison-
Wesley Publishing Group.
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dryer, Drying Technology 20(9), 1869–1887.
Köni, M., Yüzgeç, U., Türker, M. and Dinçer, H. (2010) Adaptive neuro-fuzzy-based control
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8 Fuzzy Logic Control
in Drying
Alex Martynenko
CONTENTS
8.1 Introduction .................................................................................................. 125
8.2 Basic Concepts of Fuzzy Logic .................................................................... 125
8.2.1 Uncertain or Imprecise Information ................................................. 126
8.2.2 Fuzzy Logic ...................................................................................... 126
8.2.3 Operations on Fuzzy Sets ................................................................. 128
8.2.4 Fuzzy Relations ................................................................................ 128
8.2.5 Fuzzy Control ................................................................................... 129
8.3 Fuzzy Logic Models in Drying .................................................................... 131
8.4 Fuzzy Logic Control in Drying .................................................................... 138
8.5 Adaptive Neuro-Fuzzy Inference Systems in Drying .................................. 145
8.6 Conclusions ................................................................................................... 150
References .............................................................................................................. 151
8.1 INTRODUCTION
In this chapter basic fuzzy logic concepts and their use for modeling, prediction, and
control in drying are discussed. This chapter includes introduction into fundamental
principles of fuzzy logic, as well as applications of fuzzy logic in the form of fuzzy logic
models, fuzzy logic controls, and adaptive neuro-fuzzy inference systems (ANFIS).
8.2 BASIC CONCEPTS OF FUZZY LOGIC

Fuzzy logic (FL) is a computational technique developed by Zadeh (1965) to deal
with uncertain or imprecise information, implicitly incorporated in any technical
system or statement. FL is a further extension of the binary Boolean logic of “true”
and “false,” which is commonly used in the world of computers and other digital sys-
tems. It is important to note that initial concept of application of Boolean logic as a
computer language was to decrease errors in processing information. But what if the
information is not precise or contains some uncertainty? This is most common for
human reasoning and decision making, which is rarely black and white. Human logic
is rather fuzzy, operating with categories low, moderate, and strong, and considering
possible correlations between pieces of the information. This reasoning helps us to
come up with decisions which are not black and white, but rather various shades of
gray. The background for FL is fuzzy mathematics, based on the theory of fuzzy sets
125
and so-called membership functions, classifying information in initially determined

fuzzy sets. Methods of fuzzifying and defuzzifying are mathematical operations for
converting information from numerical to fuzzy domain and vice versa.
8.2.1 uncertain Or imprecise infOrmatiOn

Precise numerical information from sensors is critically important for correct func-
tioning of technical systems. On the other hand, not all process variables can be quan-
tified. For these nonmeasurable or categorical variables (e.g., food taste or flavor), it is
important to distinguish three different types of imprecision (Farkas, 2016):
• Statistical imprecision: Variables with statistical imprecision represent the

probability of random occurrence and have a value in the range from 0 to 1.
For example, the probability of gambling the number 3 on a dice is 1/6 or
0.167. The probability theory and statistics are powerful instruments to
process this kind of information. In statistics, precision is the reciprocal
of the variance, and the precision matrix (also known as concentration
matrix) is the matrix inverse of the covariance matrix. Statistical impreci-
sion can be minimized by using Bayesian analysis, in particular likelihood
function.
• Informal imprecision: This kind of imprecision comes from deficiency of
information or knowledge, which is often difficult or impossible to obtain.
This imprecision can be related to product/process variability due to uncer-
tain initial conditions (product physicochemical properties, etc.) or unpre-
dictable process disturbances (relative humidity, etc.).
• Linguistic imprecision: This type occurs because of imprecise or vague
information in human communication, which usually operates with
linguistic variables, such as good, normal, bad, awful, and so on. The inter-
pretation of this information depends on context, personal preferences, and
so on. Fuzzy logic deals with this kind of imprecision, using a set of rules
to achieve a desired goal (rule-based approach).
8.2.2 fuzzy lOgic

In the case of uncertain or imprecise information, the binary logic, operating with
dummy variables (yes/no, true/false, 1/0), can increase risks of incorrect decision
making. In this case it should be extended to fuzzy logic, operating with partial degree
of true statements, for example: from yes to no, from true to false, from 1 to 0. This
idea can be illustrated using mathematics of fuzzy sets:
M := { x x ∈ℜ, 2 ≤ x ≤ 3} (8.1)
which means that only rational numbers between 2 and 3 belong to M with certainty
(membership µ = 1), all other values outside the interval [2,3] do not belong to M
(membership µ = 0). This statement can be illustrated graphically (Figure 8.1), where
sharp slopes at x = 2 and x = 3 illustrate exactness of membership to M.
Fuzzy Logic Control in Drying 127
0
x
0 1 2 3 4
FIGURE 8.1 Membership of set M.
However, when dealing with uncertain values, such sharp membership can-
not be defined. Slopes of fuzzy membership function (MF) are smooth, reflecting
uncertainty in definition of x from 1 (most certain value) to 0 (least certain value).
The simplest model for a membership function is a triangle function:
 (m − x ) 
µ( x ) = IF ( m − d ) ≤ x ≤ ( m + d )  THEN 1 − (8.2)
d 
ELSE 0

MFs can be trapezoidal, Gaussian, or singleton (MF = 1 in the case of an exactly
measured value). Two basic properties of MF are support of the fuzzy set (supp),
interpreted as influence range of µ (Equation 8.3) and section of the fuzzy set with
the height α (Equation 8.4).
supp(µ) := {x x ∈ℜ, µ( x ) > 0} (8.3)
[µ]α = {x µ( x ) > α} (8.4)
Both concepts are illustrated in Figure 8.2.
μ(x)
1
μ
x
[μ]α
supp(μ)
FIGURE 8.2 Support and section of membership function.

(a) (b)
FIGURE 8.3 The intersection (AND) (a) and union (OR) (b) operations on fuzzy sets.
8.2.3 OperatiOns On fuzzy sets

The basic operators (intersection, union, and complement) can be generalized for
fuzzy set theory. In contrast to the simple AND operator, the fuzzy intersection
operator contains additional information about the degree of membership of each
set, defined by the corresponding value of MF:
µ1 ∩ µ2 := MIN(µ1( x ), µ 2 ( x )) (8.5)
In the same way the equivalent fuzzy OR operator is defined as
µ1 ∪ µ2 := MAX(µ1( x ), µ2 ( x )) (8.6)
Figure 8.3 shows the intersection (AND) and union (OR) operations on fuzzy sets.
The complement operator is the equivalent of the NOT operator:
µC ( x ) := 1 − µ( x ) (8.7)
8.2.4 fuzzy relatiOns

Fuzzy relations are mapping elements of one universe X to those of another universe
Y through the Cartesian product of two universes:
R( X,Y ) = {[(x, y ), µ R ( x, y )] ( x, y ) ∈ ( X ⊗ Y )}
where the fuzzy relation R has the membership function:
µ R ( x, y) = µ X ×Y ( x, y) = MIN(µ1 ( x ), µ2 ( y))
Usually fuzzy relations are expressed as a table or matrix. Its dimension is deter-
mined by the number of variables to be related. A relation matrix can be determined
arbitrarily (based on the intuition) or numerically (based on experiments; Zhang and
Litchfield [1990]). Examples of the fuzzy relationship between color and maturity of
tomato fruit are given by Farkas (2016) in the form of a table:
Maturity Color Immature Semi-Mature Mature

Green 1 0.5 1
Yellow 0.3 1 0.3
Red 0 0.5 1
or in form of a relation matrix:
1 0.5 0 
R = 0.3 1 0.3
 0 0.5 1 
The combination of two or more fuzzy relations is called composition and is given
by MAX operation:
µ R ( x, z) = µ X ×Z ( x, z )) = MAX (MIN(µ1 ( x, y), µ 2 ( y, z )))
where (x, z) ∈ X × Z, while X × Y→[1.0], Y × Z→[1,0] represent fuzzy relationships.

With fuzzy relations it is possible to model fuzzy implications or fuzzy rules.
This is the fundament to construct fuzzy logic control.
8.2.5 fuzzy cOntrOl

A fuzzy control system is similar to the classical feedback control system, except
a fuzzy controller replaces the classical controller. The fuzzy logic controller is a
rule-based inference system (Figure 8.4).
A good example of fuzzy control is given by Farkas (2016). The measured
output y is compared with a set point r, producing error signal e at the input of
fuzzy controller. It is a physically crisp signal with some measuring inaccuracy,
which may also be contaminated with disturbances. This signal is fuzzified, that
is, assigned to the appropriate fuzzy set and membership function. The inference
engine includes fuzzy relationships between fuzzy sets in the form of the rule base.
Rule base
+ De-
Fuzzyfier Inference System y
r e fuzzyfier u
−
Fuzzy controller
FIGURE 8.4 Typical fuzzy feedback control system. (Adapted from Farkas, I., Artificial
intelligent methods, Lecture notes, Szent Istvan University, Godollo, 2016. With permission.)
μ Very low Low Moderate High Very high

1
μ(T )
0
0 Temperature 100°C
Measured
temperature T
FIGURE 8.5 A set of membership functions for the linguistic variable fruit drying
temperature.
The result composition is fuzzy, so it should be defuzzified, that is, converted into a
crisp numeric signal u to control system actuator.
Fuzzifying is the operation of linking numerical values to linguistic variables
specific for the control objective. For example, numerical values of temperature
(Figure 8.5) are relevant to apple drying, but not relevant to office air-conditioning
system.
In this inference map any measurable temperature T can be translated into degree
of the membership µ(T) related the corresponding linguistic term.
Evaluating each rule is accomplished with a MIN operator. The MAX operator
composes results from all the rules in the rule base (unification of the fuzzy sets
resulting from the rules). The fuzzy inference after composition the rules is illus-
trated in Figure 8.6.
The resulting fuzzy set z or resolution (grey area) is defuzzified to a crisp numeric
value u, using center of gravity (COG) of the area:
cog( z ) =
∫ µ(z)z dz
∫ µ(z) dz
Fuzzy systems with this kind of weighed defuzzifying are referred to as Mamdani
method, which is intuitive, better fits to human-used linguistic variables, and there-
fore has widespread acceptance. The alternative method is the Takagi-Sugeno, which
does not use defuzzifying. Instead of using membership functions for the output,
the inference is directly derived from defined functions, establishing relationships
between inputs (x) and output (z). Advantages of the Takagi-Sugeno method are that it
is computationally efficient; works well with linear (proportional-integral-derivative
[PID] control), optimization, and adaptive techniques; guarantees continuity of the
output surface; and is well-suited for mathematical analysis. Both methods are well
developed in MATLAB software.
μx μy μz
1 1 1
min (μx, μy)
x y z
Rule #1: IF x = very_low AND y = middle THEN z = small
μx μy μz
Inference
1 1 1
min (μx, μy)
x y z
Rule #2: IF x = high AND y = low THEN z = no
μz
1 Composition
Input x Input y
Zdefuzz Output z
Zdefuzz z
FIGURE 8.6 Example of a fuzzy inference action of a fuzzy controller. (Adapted from
Farkas, I., Artificial intelligent methods, Lecture notes, Szent Istvan University, Godollo,
2016. With permission.)
8.3 FUZZY LOGIC MODELS IN DRYING

Fuzzy models can be divided into two classes. In the first class of fuzzy models, the
rules have a fuzzy antecedent part and a fuzzy consequence part as follows:
Ri: IF x1 is A1i AND...AND xn is Ani THEN y is C i
where:
Ri stands for i-th fuzzy rule
Ain and C i are fuzzy sets
xn is an input variable
y is output variable
This is Mamdani-type models.

In the second class of fuzzy models the rules have fuzzy antecedent part, while
consequent parts are mathematical functions of inputs as follows:
Ri : IF x1 is A1i AND...AND xn is Ani THEN y i = aoi + a1i x1 + ... + ani xn

where:
yi is output of the i-th fuzzy rule
a are parameters of consequent mathematical model
Models of this type were introduced by Takagi-Sugeno (1985).

Fuzzy models based on only expert knowledge are usually black-box models with
significant informal imprecision. Therefore, developing a fuzzy model from process
input-output data seems to be a more practical and accurate approach (Koskinen et al.,
1998). In this case, the most important step is the selection of significant input/output
variables. Input variables can be current and/or past inputs and past outputs of the
process. There are two commonly used approaches to develop fuzzy model from data:
1. If there is knowledge about the process, the parameters of initial member-

ship functions (shape, support, range) are fine-tuned using existing data.
They can be tuned using statistical or neuro-fuzzy techniques (Al-Mahasneh
et al., 2016). IF-THEN rules are developed from expert knowledge.
2. If there is no knowledge about the process, the rules and membership func-
tions can be extracted directly from data by clustering the input-output space
(Zhang and Litchfield, 1990). If a Takagi-Sugeno model is used, the param-
eters in consequent part are determined by using least squares techniques.
Fuzzy models developed in the past 30 years for various drying processes are sum-
marized in Table 8.1.
Filev et al. (1985) developed a fuzzy model to predict the ethanol concentration of
batch fermentation of molasses using two fuzzy input variables (yeast and sub-
strate concentrations) and fourteen logical rules. The extension of the fuzzy model
was also discussed for several cases of different measurable variables. This fuzzy
model proved to be less sensitive to measurement errors than a statistical one.
Zhang and Litchfield (1990) presented the first application of fuzzy logic
in drying, specifically hot air drying with the objective to minimize corn
breakage. First they screened factors that affected corn breakage to deter-
mine three major ones: drying temperature and both the initial and equilib-
rium moisture content of the corn. Then, assuming nonlinear relationships
between drying factors and corn breakage, they developed a prototype
fuzzy expert system to predict the breakage susceptibility of corn for cer-
tain drying conditions and provide recommendations for dryer control.
Whitnell et al. (1993) proposed a fuzzy logic model for the prediction of fer-
mentation time in a commercial brewery. The first set of 13 rules was used
to make an initial estimate of fermentation time based on the yeast variables
(pitching rate, pitched volume, and viability). The accuracy of this predic-
tion evaluated for nine batches was not high. Predicted fermentation times
varied within 24 h of the actual fermentation time. More accurate predic-
tion was obtained by using pH and specific gravity during fermentation.
This second set of 10 rules was used to predict the level of vicinal diketone
(VDK). When the VDK level reached a threshold level, a third rule set
TABLE 8.1
The Applications of Fuzzy Models in Drying
Authors Product Process Input Variables Output Variables Results
Filev et al. (1985) Molasses Fermentation Yeast and substrate Ethanol concentration Fuzzy prediction model
concentrations (14 rules) was developed
Zhang & Litchfield (1990) Corn kernels Drying Drying temperature, Corn breakage Fuzzy prediction model was
initial and equilibrium developed Output was used as
moisture content a constraint for two control
Fuzzy Logic Control in Drying
strategies: (1) Drying rate

maximization; (2) Energy
saving control
Ausma & Davidson (1992) Bread crumb Drying A fuzzy prediction model was
developed
Whitnell et al. (1993) Beer Fermentation Temperature, volume Yeast growth rate Predictor of fermentation rate
and viability and time (rough)
pH, density Flavor (vicinal
diketone) (VDK)
VDK kinetics Fermentation time Accurate prediction of
fermentation time
Davidson & Smith (1993) Sausages Smoking Wet and dry bulb Moisture content, Rule-based fuzzy controller,
temperatures accumulated predicting process endpoint,
temperatures (TDT) was developed
and shrinkage
Bremner & Postlethwaite Grain mass Screw dryer Temperature Moisture content A fuzzy model for process
(1994) control was developed
(Continued )
133
134
TABLE 8.1 (continued)

Trystram et al. (1995) Cookies Baking Oven temperature and * * *
L a b color Fuzzy classifier of cookies color
humidity was developed
Bremner & Postlethwaite Grain Steam dryer Steam pressure, syrup Moisture content A fuzzy model for process
(1997) flow rate, drying rate control was developed
Perrot et al. (1998) Rice, corn Hot air dryer Air temperature, Quality degradation Fuzzy rule-based (27 rules)
humidity and time models of quality degradation
Koskinen et al. (1998) Calcite Rotary dryer Flow rate Outlet product Fuzzy model of rotary dryer was
temperature and developed
moisture content
Georgieva et al. (2001) Xanthan gum production Bioreactor Biomass and substrate Product concentration Takagi-Sugeno fuzzy model was
concentrations developed
Ioannou et al. (2004a) Biscuits Conveyor dryer Heating power Color (browning) Rule-based fuzzy diagnostic
model was developed
Zhao et al. (2007) Grain Crossflow dryer Temperature and Moisture content Predictive model for recurrent
variation fuzzy control was developed
Abakarov et al. (2012) Wood Solar dryer The difference in Air temperature, speed Two rule-based FLCs for fan
absolute humidity of air fan speed (9 rules) and temperature
between inlet and (5 rules) were developed
outlet
(Continued )
Sosnin et al. (2014) Grain Cross-flow dryer Grain temperature, Inlet air temperature, Fuzzy controller of moisture
moisture content, grain flow rate content and fuzzy estimator of

color, quality indices grain quality index were
developed
Jafari et al. (2015) Onion Fluidized bed dryer Drying rate Air temperature and Fuzzy model, predicting drying
velocity rate, was developed
Wang et al. (2015) n/a Rotary dryer Moisture content Air temperature and Fuzzy model was used to
flow rate improve performance of
mathematical model
Li et al. (2016) Wood (red maple) Microwave drying Temperature and Microwave power Recurrent adaptive fuzzy neural
moisture content predictive model and
model-based control were
tested
Note: Fuzzy models, using ANFIS, are presented in Table 8.3.

135
updated the estimate of time required to complete the fermentation. Seven

data sets were used to validate the predictions based on VDK level and 4
estimates were within 24 h of the recorded fermentation release times. All
seven predictions were within 32 h of the actual release time and six of the
seven estimates indicated that the batches were held longer than necessary.
Bremner and Postlethwaite (1994) developed a relational fuzzy model for the
prediction of moisture content of grain material as a function of steam tem-
perature in steam screw dryer. A fuzzy model was used because of signifi-
cant nonlinearity and dead time of the process, which resulted in moisture
variability in the range from 5% to 45%. Introducing feedforward predic-
tive fuzzy model control and optimizer of steam pressure, the variation of
moisture content was reduced to 12%–15%.
Davidson and Smith (1995) developed a fuzzy logic system for a batch cook-
ing process of sausages in a smokehouse. The effects of operating condi-
tions on product temperature and shrinkage were determined in a series of
experiments at two levels of air temperature (75°C and 85°C), two levels
of humidity (0.064 and 0.122 kg H2O/kg), and two levels of airflow. Based
on discrete measurements of product temperature, the model estimated the
time required to ensure that the slowest-heating product reaches the desired
thermal exposure of 60 min at 71°C. Based on the estimated process time,
the model predicted the product shrinkage at the end of the process. If prod-
uct temperature or shrinkage was outside the normal operating range, the
operator was alerted and remedial actions recommended.
Trystram et al. (1995) developed applications of fuzzy logic for the control
of food processes. First, a fuzzy model provided more accurate classifica-
tion of biscuits into four classes based on color evaluation in L*a*b* color
space. Fuzzy classification appeared to be superior as compared to operator
or Bayesian approach. Secondly, the fuzzy model of color changes as a func-
tion of baking time and temperature was developed. This rule-based model
(27 rules), predicted trajectory of color changes during baking and helped the
operator correct the temperature profile to achieve the desirable product color.
Bremner and Postlethwaite (1997) extended their relational fuzzy model for
the model-predictive control of moisture content in industrial grain dryer.
The authors justified the benefits of a model-predictive approach over rule-
based control due to the several advantages, such as: (1) linear predictive
control allows explicit optimization of objective functions; (2) it is easier to
obtain data to build a process model than it is to obtain knowledge to build
an effective set of rules; and (3) the rule-based controller follows best prac-
tice, whereas a predictive controller is goal seeking. The moisture content
was predicted re-currently from two inputs: previous value of moisture con-
tent (measured 5 min earlier) and syrup flow rate accounting for the dead
time (85 min). It has been tested in extreme conditions (sudden change in
the load, interruption of syrup flow rate) and demonstrated excellent perfor-
mance with output moisture content in the range from 8% to 15%.
Perrot et al. (1998) proposed fuzzy rule-based models for the prediction of quality
degradation of rice and corn during hot air drying. The three most significant
factors affecting quality were air temperature (°C), absolute humidity (kg H2O/
kg dry air), and drying time. Numeric values were presented as linguistic vari-
ables and membership functions were triangular. As a result, a table containing
27 rules and a table of constraints on input and output variables were developed.
Offline tuning of fuzzy linguistic model on the experimental data set (400 points)
significantly changed the shape of membership functions. Contamination of
inputs with white Gaussian noise showed that 5% uncertainty in temperature
or humidity measurements did not affect the prediction accuracy of the linguis-
tic model. Also, the fuzzy model showed good capability to predict kinetics of
quality degradation at variable drying conditions. However, the authors raised
concerns about potential applicability of the fuzzy model, initially developed for
steady state, for the dynamic applications, such as process control.
Koskinen et al. (1998) proposed fuzzy modeling of a pilot-plant rotary dryer, using
a linguistic equation (LE) approach. Using error and change of error in output
moisture as input variables, they developed a fuzzy PD controller to control the
fuel rate. The rule base table, relation matrix, and tuning procedure for member-
ship functions, based on the polynomial fitting to data points, were developed.
Georgieva et al. (2001) proposed a Takagi-Sugeno (TS) fuzzy model for the mod-
eling of batch biotechnological processes. Two kinds of models, input-output
relationship versus state-space fuzzy model were developed. Considering
product-substrate relationships, model identification was based on the product-
space fuzzy clustering. As an example, both input-output and state-space fuzzy
models of xanthan gum production by strain Xanthomonas campestris were
developed. Biomass and glucose were used as input variables, whereas xanthan
gum was an output variable. The advantage of the state-space fuzzy model was
that the structure of the model is related to the real system behavior.
Ioannou et al. (2004a) developed a fuzzy model to describe food browning
during the baking process. Browning of heat-sensitive foods is a nonuniform
and unpredictable process, requiring manual observation and control. Three
sensory inputs were considered: (1) percentage of spotted area, (2) color of
spots, and (3) color of the outer part of the product surface. Five categories
of browning were introduced: hardly browned, slightly browned, browned,
dark browned, and very browned, and degree of membership was determined
based on sensory inputs. The model was validated versus operator assessment
for the next use as a part of control system to maintain product browning
quality within desirable targets (see also Ioannou et al., 2004b).
Zhao et al. (2007) proposed a recurrent fuzzy neural network for model predic-
tive control of a grain dryer. This fuzzy model overcame limitations of classi-
cal feedback control, such as nonlinearity and long delay, typical for crossflow
dryers. Temperature gradient between the drying and tempering stages was
used as input variable, whereas moisture content was output of the model.
Experimental verification showed that output moisture content met standards
in the range from 13.6% to 14.6% and variability did not exceed 1%.
Abakarov et al. (2012) applied a fuzzy logic model to a solar dryer to manage
uncertainty in the amount of solar radiation during the day. Input variables
of this fuzzy model were temperature and humidity at the input/output.
Nine rules determined the state of air blower either ON (maximum and
medium speed) or OFF. In this way fuzzy logic enabled maintenance of a
desirable convective regime under conditions of large disturbances.
Sosnin et al. (2014) proposed a fuzzy model of grain quality at the output of a cross-
flow dryer, accounting for multiple input variables and disturbances. Fuzzy sets
were used to estimate the complex index of grain quality, which included moisture
content, smell, color, shell quality, percentage of broken grain, and gluten quality.
Jafari et al. (2015) developed a Mamdani-type fuzzy model of relationships
between temperature and air velocity (input variables) and moisture ratio
(output) in onion drying. The model was compared with neural network (NN)
and mathematical (diffusion) models of drying kinetics. It was proved that all
models are capable of predicting drying kinetics with R > 0.999. The disad-
vantage of the fuzzy model is that membership functions and output surface
reflected steady-state conditions. They were constantly changing with the
time of drying, which required significant amount of data for model tuning.
Wang et al. (2015) proposed a fuzzy model of drying rate in a rotary
dryer with an option of unsupervised learning based on Support Vector
Regression (SVR). A mathematical model of a rotary dryer was used for
model-predictive control, while a fuzzy model was used to improve per-
formance of the mathematical model by means of online adjustment of
its coefficients. This hybrid model increased performance in prediction of
drying rate and product moisture content. As compared to nonadjustable
model-predictive control, introduction of online model adjustment signifi-
cantly (23.05%) decreased root-mean-square error (RMSE) of the process.
Li et al. (2016) proposed a recurrent self-evolving fuzzy neural network predictive
control for microwave drying. Quality in microwave drying is very sensitive
to power and moisture content. The relationships between applied power and
product temperature/moisture content, developed from training set, were used
for the prediction of product temperature and moisture content in the process
of drying. One model was used to predict temperature, and the other one was
used to predict moisture content. Both models used three inputs: current tem-
perature, current moisture, and current input power. Multi-objective optimiza-
tion was defined mathematically as an additive function of two optimization
criteria. The prediction error of temperature did not exceed 2.0°C; the accuracy
in prediction of moisture content was not reported.
8.4 FUZZY LOGIC CONTROL IN DRYING

Despite high expectations for fuzzy logic control as a universal instrument to manage
nonlinear and nonstationary processes, the number of fuzzy control applications in
drying is not so large. A summary of developed applications is presented in Table 8.2.
Zhang and Litchfield (1993) developed a fuzzy logic control system for a con-
tinuous crossflow grain dryer. The fuzzy logic controller consisted of five
major segments: data acquisition, fuzzifier, process identifier (acceptable/non
TABLE 8.2
The Applications of Fuzzy Control Logic in Drying
Zhang & Litchfield (1993) Corn kernels Crossflow grain dryer Moisture changes Hot air temperature Rule-base control of heating
and kernel intensity, air velocity and
breakage discharge rate

Zhang & Litchfield (1994) Corn kernels Crossflow grain dryer Moisture changes Hot air temperature Knowledge representation in
and kernel a grain dryer fuzzy logic
breakage controller
Watano et al. (1994) Granules Fluidized bed dryer Granules shape Bed height and agitator PD fuzzy controller to maintain
rotational speed a constant bed height under
conditions of agitation
Watano et al. (1995) Granules Fluidized bed dryer Moisture content Air temperature and Adaptive fuzzy control of
residence time moisture content
Watano et al. (1996) Granules Fluidized bed dryer Granules size Pump on/off Fuzzy rule-based (4 rules)
control of feeding pump
Taprantzis et al. (1997) Bentonit Fluidized bed dryer Moisture error and Fuel rate PD rule-based fuzzy controller
error derivative with 4 rules was developed
Bremner and Postlethweite Grain Screw dryer Moisture content Steam pressure, syrup A fuzzy model for process
(1998) flow rate, drying rate control was developed
(Continued )
139
140

Cammarata & Yliniemi Solids Rotary dryer Moisture content Gain updating factor Self-tuning fuzzy logic
(1999) error and error controller with two strategies
derivative (PID-FLC and direct FLC) was
developed
Davidson et al. (1999) Peanut Conveyor dryer Color, temperature Residence time Fuzzy rules control for peanuts
roasting with feedback
correction was developed
Perrot et al. (2000) Biscuits Oven Color, moisture Temperature in each of Fuzzy rule-based estimator
content three sections of drying (11 rules) of quality for baking
tunnel process was developed
Thyagarajan et al. (2000) Air Hot air dryer Air temperature and Heater voltage PI rule-based fuzzy controller of
error integral air temperature with GA-tuning
of membership functions
Yan et al. (2001) Wood Kiln dryer Moisture content Air temperature 5-rules fuzzy controller of
drying temperature was
developed
Brown et al. (2001) Grain Grain roaster Grain temperature IR heating rate Fuzzy relation matrices and
and change 80 rules (20 for each of 4 flow
rates) were developed
Liu at al. (2003) Grain Cross-flow dryer Moisture content Cross-flow speed PD four-rules fuzzy controller
error and derivative was developed (like Taprantis
et al. 1997)
(Continued )
Ioannou et al. (2004b) Biscuits Conveyor dryer Color (browning) Heating power Rule-based fuzzy control system
was developed
Alvarez-Lopez et al. (2005) Tobacco Curing chamber Air humidity error Heating power and PD rule-based (49 rules) fuzzy
and derivative humidifier intensity humidity controller was

developed
Atthajarariyakul & Paddy rice Continuous fluidized Moisture content Hot air temperature and Adaptive FLC for real-time
Leephakpreeda (2006) bed dryer fraction of recycled air optimization of fraction of
recycled air to minimize energy
consumption while maintaining
desirable moisture content
Mansor et al. (2010) Grain Cross-flow dryer Moisture content Cross-flow speed PD four-rules fuzzy controller
error and derivative was developed (analog to Liu
et al. 2003)
Raghavan et al. (2010) Apples, carrots Microwave drying Volatile compounds Heating rate (power) Fuzzy controller to minimize
aroma losses and power
consumption was developed
Vasquez et al. (2016) Fruits and mushrooms Solar drying Air temperature and Air recirculation rate Fuzzy controllers for solar dryer
humidity (9 rules) and recirculation fan
(3 rules) were developed
141
acceptable), rule-base (inference machine), and process defuzzifier. The results

of testing verified that fuzzy control could significantly decrease drying-
induced corn breakage. The average outlet breakage was 18% with a peak
value less than 35%, while manual control resulted in 34.7% with a peak value
close to 60%. The outlet moisture content was 15.5% with a standard devia-
tion 0.53%. In their follow-up paper (Zhang and Litchfield, 1994), the authors
described a method of using governing rules associated with fuzzy member-
ship matrices to represent knowledge for grain drying control. The governing
rules contained information for decision making, including predicted moisture
and corn breakage levels derived from measurable process variables, dryer
operating conditions, and process disturbances. Fuzzy membership matrices
consisted of state matrices and action matrices. State matrices reflected the
likelihood of the process achieving control objectives at the current process
state. Action matrices reflected degrees of confidences of control actions in
achieving control objectives. All matrices, along with their governing rules,
were grouped into five knowledge bases, representing dryer control knowl-
edge for different process states.
Watano et al. (1994, 1995, 1996) successfully applied fuzzy logic control for the
fluidized bed granulation process. In one of their first publications (Watano
et al., 1994), the authors investigated the effects of bed height and agitator rota-
tional speed on particle size, density, and shape. As a result, they developed
a set of linguistic equations to maintain constant height and agitation for the
production of spherical and well-compacted granules, which cannot be done
using conventional fluidized bed techniques. Follow-up research (Watano et al.,
1995) extended the application to fuzzy control of granules’ moisture content.
The fuzzy control system was tested under different disturbances and showed
remarkable adjustability to the variations in the process characteristics without
updating fuzzy rules. The next step in fuzzy logic control (FLC) of granulation
included machine vision of granule growth (Watano et al., 1996). It was found
that the FLC system could control granule growth with high accuracy, regard-
less of changes in powder composition and operating conditions.
Taprantzis et al. (1997) proposed their version of fuzzy control of a fluidized
bed dryer, which in fact was an improved nonlinear version of the conven-
tional PI controlled. The fuzzy logic controller, using only four rules, was
less sensitive to process nonlinearities, and provided better accuracy in out-
put moisture content and less energy consumption than the conventional one.
Bremner and Postlethwaite (1998) proposed a relational fuzzy model-based
control system for industrial drying of spent grain from a distillery. A rela-
tional model of the process was developed from experimental data of the
process inputs/outputs. The model was made to be dynamic due to intro-
ducing the previous value of output as one of the inputs (analogous to a
feedback control loop) and recurrent algorithm of calculation. Prediction
surface was tuned on the experimental data set and allowed to maintain
output moisture content at the level 12% ± 2%.
Cammarata and Yliniemi (1999) presented an excellent review of self-
tuning fuzzy logic controllers, and their own rule-based controller for a
rotary dryer. It consists of supervisory FLC (15 rules) and low-level hybrid

PD-FLC controller (27 rules). The supervisory controller tuned the out-
put scaling factors of the low-level controller, which used moisture content
error and derivative to update gain in the feedback control loop. This self-
tuning structure used the same inputs for supervisory and low-level control-
ler for simplicity purposes. It was simulated in Simulink (MATLAB) and
showed low sensitivity to disturbances; however, it has not been tested in
experimental settings.
Davidson et al. (1999) developed a fuzzy control system for continuous crossflow
peanut roasting. A hybrid feedforward-feedback control was implemented in
C++ generic software. Feedforward control was based on the process model
for the kinetics of peanut heating and color changes during roasting at 129°C.
Since it was recognized that the process model may not be adequate for all
process disturbances, feedback correction was also included in the fuzzy
control system. A fuzzy error e was calculated as the difference between
 Based on the established kinetic
observed lightness L* and fuzzy setpoint L*.
equation of browning, the fuzzy controller predicted roasting time. However,
if actual color deviated from predicted set point, feedback correction took
over to adjust process time. It was experimentally verified that FLC main-
tained roasted peanut color within an acceptable range despite disturbances
in roaster bed depth, roasting air temperature, and color setpoint.
Perrot et al. (2000) proposed a methodology for feedback quality control of
biscuit quality using fuzzy sets theory. The control system included three
modules, representing different levels of knowledge about food quality con-
trol. The first module reproduced sensory evaluation by the operator, the
second identified the state of the process with respect to biscuit quality and
the third one controlled actuators of the process. Experimental testing of
rule-based FLC showed that 11 rules provided complete control of prod-
uct quality with high accuracy and robustness. Such a modular approach
allowed to evaluate quality changes during the process based on sensor
measurements of color (L*a*b*), thickness, and moisture content.
Thyagarajan et al. (2000) developed a hybrid intelligent control for air heat-
ing for a dryer using fuzzy logic and genetic algorithm. FLC control was
based on the real-time measurements of error e(t) and the integral error
ie(t) = e(t − 1) + e(t) of desired temperature. The rule-based output was
calculated from the Sugeno-Takagi equation and provided smoother control
of temperature without overshoot and oscillations.
Yan et al. (2001) proposed a hierarchical fuzzy control system for a wood dry-
ing kiln, based on the sensory feedback from in-wood moisture content sen-
sors and intelligent control strategy to reduce moisture content to desired
set point. Drying of wood is difficult to model and control due to dynamic
nonlinearity, the coupling effect between key variables, and process distur-
bances caused by the variation of lumber sizes, species, and environmen-
tal factors. Therefore, the controller was set to control process temperature
(pulse-width modulation) with respect to moisture content. The performance
of FLC was better compared to conventional PID controllers.
Brown et al. (2001) developed a fuzzy controller for infrared roasting of
cereal grain, using 80 rules (20 for each flow rate). Bulk average tempera-
ture of the grain exiting the roaster was used as an input fuzzy variable to
adjust the intensity of infrared heating. Control rules matrices were created
from process observations and interviews with operators. The developed
fuzzy controller maintained satisfactory grain temperature without opera-
tor intervention under both set point and load disturbances.
Liu et al. (2003) proposed fuzzy control of a mixed-flow grain dryer, based
on online measurements of grain temperature and moisture content in each
of four sections of grain dryer. The fuzzy inference system controlled grain
discharging motor, providing high accuracy in output moisture content
within the range 13.6%–14.4%.
Stawczyk et al. (2004) proposed an ANFIS controller to minimize deviation
of temperature and humidity from set points in the meat drying process.
Four inputs of the fuzzy controller were relative errors and time derivatives
of temperature and humidity.
Ioannou et al. (2004b) extended a previously developed fuzzy model of food
browning (Ioannou et al., 2004a) to fuzzy control of the oven baking pro-
cess. A decision model developed with a Takagi-Sugeno method controlled
heating power either globally (in the entire oven) or locally (in the final
section of the oven). The set of governing rules activated heaters with the
step 10% maximal power depending on the deviation of browning level
from the desired set point. The fuzzy decision model was validated on the
database and in actual manufacturing process, being 90% consistent with
operator actions.
Alvarez-Lopez et al. (2005) presented application of fuzzy control for dry-
ing (curing) of tobacco leaves. Dry- and wet-bulb temperature sensors were
used as inputs to PD fuzzy control system, which maintained temperature
and humidity in a curing chamber. The temperature was controlled by the
heater, while humidity was controlled by opening of air inlet vents. This
system provided accurate control of temperature and humidity on each of
four steps of tobacco curing process.
Atthajariyakul and Leephakpreeda (2006) proposed adaptive FLC for opti-
mization of fluidized-bed paddy rice drying. The final moisture content and
the energy consumption were chosen as two major performance criteria for
process optimization. Two rule bases were created to control air heater and
the percent of the recycled air. A gradient-based optimizer calculated opti-
mal conditions of drying and in this way provided real-time optimization of
the process. Parameters of the fuzzy controller were continuously adjusted
with unsupervised learning.
Mansor et al. (2010) described intelligent control of grain drying in a cross-
flow dryer using a fuzzy logic controller. Objectives and methodology of
this research were similar to Liu et al. (2003).
Raghavan et al. (2010) monitored the drying of diced carrots and apples in a
microwave dryer by measuring the peaks of the chromatograms obtained
from analyses of the volatile components and proposed a fuzzy controller
to determine temperature set points, in order to reduce aroma loss and avoid
burning. The temperature set points were later simplified to a temperature
program (linear increase). Although the fuzzy controller presented lower
performance when compared to the temperature program, it was neces-
sary to establish the heating rate, initial and final temperature, and elapsed
time during the ramp. The authors also analyzed energy consumption dur-
ing drying and concluded that the control strategy was capable of reducing
energy consumption slightly, which is an important feature in microwave
drying.
Freire et al. (2014) proposed a fuzzy logic algorithm for transferring
experience-based knowledge to controllers through the system of IF–THEN
rules, transforming numerical values (measured variables) in linguistic
information. The correlations between outlet air temperature and product
moisture content are often difficult to obtain because of the lack of a suitable
model to describe the drying operation and uncertain phenomena occurring
inside the dryer.
Vasquez et al. (2016) evaluated efficiency of fuzzy control of a solar dryer
with a thermal energy storage system. Solar drying is a good candidate
for fuzzy control because of the significant uncertainty related to weather
conditions and incident solar radiation. Two FLC systems for solar panel
and solar accumulator valves were developed. This rule-based system was
tested for peaches, mushrooms, and plum drying.
8.5 ADAPTIVE NEURO-FUZZY INFERENCE SYSTEMS IN DRYING

Fuzzy logic and artificial neural networks (ANNs) are complementary technologies
in the design of intelligent systems. The integration of these techniques in the form
of ANFIS appears to be a promising tool for modeling, control, and optimization of
complex systems with significant uncertainty (Azar, 2010). The integrated system
has the advantages of both neural network (i.e., learning and computational capa-
bilities) and fuzzy systems (reasoning, rule-based decision making). The benefits of
ANFIS are summarized by Takagi and Hayashi (1991) into the following four cases:
• NN’s being used to automate the task of designing and fine-tuning the
membership functions of fuzzy systems
• Both fuzzy inference and NNs provide separate learning capabilities
• NN’s work as correcting mechanisms for fuzzy systems
• NN’s being used to customize the standard system according each user’s
preferences and individual needs
ANFIS is a fuzzy reasoning system with parameters trained by NN-based algo-

rithms. The simplified structure of ANFIS with two inputs and one output is shown
in Figure 8.7.
ANFIS architecture usually includes five layers: (1) fuzzification layer; (2) rule
operation layer; (3) normalization layer; (4) consequent layer; and (5) aggrega-
tion layer. The first three layers are organized as a neural networks, which allows
Layer 1 Layer 2 Layer 3 Layer 4 Layer 5

A1
X1 x w1 w1
w
Input vector
A2 1 f1
Output
X1, X2 ∑ O1
f2
B1 w2
X2 x w2 w2
B2
FIGURE 8.7 ANFIS structure with two inputs and one output. (Adapted from Köni, M.
et al., Adaptive modeling of the drying of baker’s yeast in a batch fluidized bed. Control Eng.
Pract., 17, 503–517, 2009.)
self-organization of fuzzy rules. ANFIS learning capability is based on the Takagi-

Sugeno approach, where output is a parametrical function of input variables. In the
last decade ANFIS became especially popular in drying applications, mostly due to
a developed package in MATLAB software. The summary of ANFIS applications
in drying is presented in Table 8.3.
Yliniemi et al. (2003) were first to introduce ANFIS as a modeling tool in dry-
ing. Based on experimental data on drying of calcite in a pilot-scale rotary
dryer, the authors compared performance of three fuzzy-based models
(ANFIS, fuzzy clustering, and linguistic equations) to predict the product
moisture content/temperature and drying air temperature. Few differences
were detected between parameters of the fitted models, which shows that all
of the approaches might be used to model the process. They pointed out that
ANFIS loses generalization capability for large number of input variables.
In this case model based on linguistic equations works better.
Jumah and Mujumdar (2005) applied ANFIS for modeling the intermittent
drying of grains in a spouted bed. The intermittent drying operation is a
highly nonlinear, strongly interactive, multivariable, and nonstationary pro-
cess. This study proved that the ANFIS model is capable of capturing the
periodic behavior and the nonlinearities of the process. Different input vari-
ables were used in different model schemes, in order to predict the product
outlet temperature or moisture content.
Galzina and Šarić (2005) proposed ANFIS model for optimization of sugar
beet pulp drying in rotary dryer. A simplified vector of two input variables
(air and fuel flow rates) was used to predict moisture content of dried pulp.
Comparison with other models using mean square error (MSE) showed that
the PID control strategy with feedback loop provided 0.505, whereas the
feedforward NN model decreased it to 0.321 and ANFIS model decreased
error to 0.186.
Kiralakis and Tsourveloudis (2005) proposed ANFIS-based controller for
modeling and optimization of olive stone drying process in a rotary dryer.
The controller was tested for different temperatures, feed rates, and initial
TABLE 8.3
The Applications of ANFIS Technique in Drying
Yliniemi et al. (2003) Rotary dryer Fuel flow rate Temperature and ANFIS models
moisture of solids
Jumah & Mujumdar n/a Intermittent dryer Duty cycle of heating Solid temperature and ANFIS model for solids
(2005) moisture content, time temperature and moisture

content
Kiralakis & Tsourveloudis Olive stones Cross-flow rotary dryer Initial and final moisture Air temperature, feed ANFIS controller of drying rate
(2005) content rate was developed
Galzina & Saric (2005) Sugar beet pulp Rotary dryer Air rate, fuel rate Moisture content ANFIS model for optimization
of drying rate
Koni et al. (2009, 2010) Baker’s yeast Batch fluidized bed dryer Air temperature and flow Product temperature and ANFIS model of dry matter and
rate moisture content product temperature (2009) and
controller in MATLAB (2010)
Lutfy et al. (2010) Grain Conveyor-belt dryer Conveyor speed Moisture content error, Fuzzy model for PID rule-based
integral and derivative ANFIS controller was
developed
Azadeh et al. (2012) Powders Spray drying Slip density and viscosity, Particle size Predictive ANFIS model of
air inlet and outlet drying process was developed
temperatures, air and feed
pressures
(Continued )
147
148

The Applications of ANFIS Technique in Drying
Lutfy et al. (2015) Grain Conveyor belt dryer Moisture content Conveyor speed ANFIS controller was designed
Zhang et al. (2015) Meat Drying chamber Temperature and humidity Neuro-fuzzy (ANFIS)
decoupling controller of
temperature and humidity
Al-Mahasneh et al. (2016) ANFIS applications in food
industry are reviewed
Navarro et al. (2016) Coffee beans Roaster Color (L*a*b*) Moisture content ANFIS inference model to relate
moisture content to color was
developed
Wu et al. (2017) Tobacco Drying chamber Temperature, humidity Setpoint changing time ANFIS controller for three-stage
tobacco curing was developed
moisture content of olive stones and demonstrated minimal variations of

moisture content from desired set point.
Köni et al. (2009) proposed an adaptive fuzzy model of drying baker’s yeast
in a fluidized bed dryer. ANFIS models diminished uncertainty of the fluid-
ized bed drying process. Product load, initial moisture content, and air tem-
perature and flow rate were used as inputs, while dry matter, changes in dry
matter, and product temperature were used as output variables. Dynamic
predictive models included time as an additional input variable. Models
trained on 570 data sets showed good performance in the prediction of pro-
cess kinetics (R = 0.951) and product quality (R = 0.818). In their follow-up
paper (Köni et al., 2010), the authors applied this model for the control
purposes. The performance of the ANFIS-based controller was tested in
industrial conditions under different disturbances, showing good correla-
tion with predicted dry matter and product temperature values.
Lutfy et al. (2010) presented an approach to intelligent control for the grain
drying process, utilizing ANFIS for modeling and control of a conveyor
belt grain dryer. Experimental data were used to train ANFIS to control
conveyor speed (residence time) with respect to actual grain moisture con-
tent. For training of simplified ANFIS as a feedback controller, they applied
a genetic algorithm (GA) approach. In contrast to mathematical models,
the ANFIS-based model does not depend either on the dryer size or on the
grain type. In their follow-up publication (Lutfy et al., 2015), the authors
modified the ANFIS model by adopting type 2 (Gaussian) fuzzy sets for the
antecedents parameters. Comparison of response functions using three con-
trollers (PID, ANFIS type 1, and ANFIS type 2) proved that ANFIS type 2
controller achieved the best control performance in terms of minimal error.
Azadeh et al. (2012) compared performance of three models (ANFIS, ANN,
and partial least squares [PLS]) for the prediction of particle size in spray
drying. They considered five input factors affecting particle size: slip vis-
cosity and density, hot-air temperature, air suction pressure, and the bed
slip pressure. Models were trained on 300 data points covering a wide range
of operating conditions. Testing of generalization capability of three models
revealed that reducing of inputs with PLS improves performance of neural
network models. Therefore the hybrid PLS-ANFIS model is the preferable
predictor due to the best generalization capability under the limitation in
the collected data.
Zhang et al. (2015) proposed ANFIS model for real-time decoupling of strongly
correlated environmental variables to improve accuracy of temperature and
humidity control during meat drying. The coupling issue between temperature
and relative humidity not only affects the control accuracy, but also causes
system instability, unnecessary adjustment, and extra energy consumption.
The simulation showed tremendous effect of decoupling on the fluctuations
of relative humidity, which has been reduced from ±2.5% to ±0.6%.
Al-Mahasneh et al. (2016) presented an excellent review of up-to-date appli-
cations of ANFIS in the food industry, particularly in food drying. This
paper clearly described the process of ANFIS model development. ANFIS
has two sets of adjustable parameters, the premise parameters in the first
layer and the consequent parameters in the fourth layer. The learning pro-
cess involves adjusting the premise and the consequent parameters sepa-
rately until the desired response of the FIS is achieved. The hybrid learning
combines the least squares (LS) and backpropagation (BP) algorithms and
uses a two-step process to achieve this goal. In the first step, the premise
parameters of membership functions are fixed, the signals are propagated
forward from layer 1 to layer 4, and the consequent parameters are found
by the standard LS algorithm. The ANFIS output is expressed as a linear
combination of the consequent parameters. In the second step, the conse-
quent parameters are fixed, while the error signals are used for adjustment
parameters of membership functions, using standard BP algorithm. The
membership functions and associated fuzzy rules can be determined with
the help of clustering by classifying the data sets to clusters or subsets. The
cluster centers can then be used to generate the primary Sugeno-type fuzzy
inference system which can be used for the prediction. A similar model was
earlier developed by Georgieva et al. (2001) for the batch biotechnological
process of xanthan gum production.
Navarro et al. (2016) proposed ANFIS modeling for monitoring coffee
bean color during roasting in a spouted bed. L*, a*, and b* parameters of
color image were used as fuzzy input variables. The neuro-fuzzy model
was trained on experimental data sets using a backpropagation algorithm
at three roasting temperatures (400°C, 450°C, and 500°C). Based on the
color parameters for each roasting temperature, ANFIS estimated moisture
content of coffee beans with exceptionally high accuracy and coefficient
of determination R = 0.98. The authors concluded that this model can be
employed as a part of a control system for continuous roasting as it provides
real-time information about the state of coffee beans in a roaster.
Wu et al. (2017) developed the prototype of ANFIS to control bulk tobacco flue-
curing process with respect to quality. Based on the measurements of dry-bulb
and wet-bulb temperatures and the color of leaves, the system predicted times
to change curing conditions for 19 identified stages of tobacco curing. The
model was trained, validated, and tested on 574 data sets, randomly sepa-
rated in three categories as 2:1:1. Prediction accuracy depended on the inputs
used. The best accuracy (R > 0.995) was achieved with two inputs, such as
curing phase and hue (H) parameter in HSI color space. Four inputs, includ-
ing dry-bulb and wet-bulb temperatures, did not improve prediction accuracy.
Simulation showed that ANFIS had outstanding prediction accuracy and gen-
eralization capability compared to ANN, SVM, and PLS techniques.
8.6 CONCLUSIONS
Applications of fuzzy logic for modeling and control of drying processes went
through a long evolution. They proved to be useful for modeling highly nonlinear
relationships; however, the power of fuzzy logic for drying applications is still under-
estimated. Considering time invariance, fuzzy logic could be particularly useful in
the development of soft sensors by mapping moisture content and other unmeasur-
able quality attributes. Future research should be directed toward further explo-
ration of advantages and limitations of fuzzy control for novel and hybrid drying
technologies.
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9 Artificial Neural
Network-Based Modeling
and Controlling of
Drying Systems
A Review
Mortaza Aghbashlo, Soleiman Hosseinpour,
and Arun S. Mujumdar
CONTENTS
9.1 Introduction .................................................................................................. 155
9.2 An Artificial Neuron Model ......................................................................... 156
9.3 Artificial Neural Network Structures ........................................................... 158
9.3.1 Single-Layer Feedforward Artificial Neural Network ..................... 158
9.3.2 Multilayer Perceptron Artificial Neural Network............................. 158
9.3.3 Recurrent Artificial Neural Network ................................................ 159
9.3.4 Adaptive Neural-Fuzzy Interface System ......................................... 160
9.3.5 Hybrid Neural-Mathematical Model ................................................ 160
9.4 Development of Artificial Neural Network Models ..................................... 161
9.4.1 Data Preparation ............................................................................... 161
9.4.2 Determination of Optimal Artificial Neural Network Topology ..... 162
9.4.3 Selection and Validation of Optimal Artificial Neural Network
Model ................................................................................................ 162
9.5 Application of Artificial Neural Network Technique in Drying Technology ..... 163
9.6 Concluding Remarks and Recommendations for Further Research ............ 169
Abbreviations ......................................................................................................... 171
References .............................................................................................................. 171
9.1 INTRODUCTION
As one of the most frequently used unit operations, drying plays an important role
in various manufacturing industries. Fast and accurate modeling of drying systems
is required to control drying process, to discount operating and energy costs, to
enhance product quality, to increase manufacturing rate, and to retrofit available
drying systems (Aghbashlo et al., 2015). It should be noted that rapid and precise
modeling of drying processes is the first important step in developing cost-effective
155
and real-time controlling systems. However, the drying process is a very complex,
dynamic, uncertain, nonlinear, and multivariable phenomena because of coupled
momentum, heat, and mass transfer, intense chemical and biochemical reactions,
rapid phase changes, and severe shrinkage (Aghbashlo et al., 2015). In the case of
biological materials, the drying process becomes an even more complex operation
due to the heterogeneity, anisotropicity, and nonuniformity of these materials. In
addition, persevering nutritional value, sensorial attributes, and functional charac-
teristics of biological materials are very important issues in the drying industry.
According to the aforementioned arguments, modeling and subsequent controlling
of drying processes using the conventional mathematical, statistical, numerical, and
analytical approaches are very difficult or even impossible. These issues have spurred
research into the application of advanced soft-computing techniques in drying technol-
ogy. Among the various soft-computing approaches developed, evolutionary-based arti-
ficial neural networks (ANNs) have become increasingly popular for dealing with the
nonlinearities and complexities of ill-defined processes such as drying. ANNs are com-
putational and flexible intelligence paradigms inspired mathematically by the functional
behavior of the biological nervous system of the human brain, even though much of the
biological detail is lost. They have been satisfactorily applied to model complex, dynamic,
nonlinear, and ill-defined problems in various contexts because of their unique features
like efficiency, generalization, and simplicity. ANNs are massively parallel-distributed
systems consisting of many nonlinear and parameterized analog signal-processing units
(neurons) connected by links (synapses) of variable numerical weights (action potential).
ANNs are powerful tools to map nonlinear relationships between variables with limited,
incomplete, nonintegrated, uncertain, noisy, dynamic, multidimensional, and nonlinear
databases owing to their excellent information-processing capabilities such as nonlinear-
ity, high parallelism, robustness, and failure tolerance.
ANNs are able to establish relationships between input and output data by learning
from examples through iteration without the need for a priori information about the sys-
tem under investigation. Accordingly, ANNs are widely applied in drying technology for
various purposes such as nonlinear function approximation, pattern recognition, optimi-
zation, control, clustering, and noise reduction. The main goal of this chapter is to briefly
explain the principles of the ANN approach as well as to provide an overview of the most
important investigations on the application of this paradigm in drying technology. Note
that it is impossible to present a detailed introduction to and explanation of various ANN
models and their training algorithms, development, and optimization in a single book
chapter. Readers are referred to textbooks published in this domain to obtain more com-
plete insights regarding fundamentals and computational fulfillment of different ANN
models (Priddy and Keller, 2005; Yegnanarayana, 2009). Furthermore, opportunities and
advantages of ANN approaches over other available techniques as well as their limita-
tions and disadvantages in modeling and controlling drying systems are also discussed.
9.2 AN ARTIFICIAL NEURON MODEL

Figure 9.1 shows a highly simplified version of an artificial neuron. This model is
an extended form of the earliest artificial neuron developed by McCulloch and Pitts
(1943). An ANN is a group of interconnected artificial neurons, interacting with one
Artificial Neural Network-Based Modeling and Controlling of Drying Systems 157
X1 Soma
W1
X2 W2
Output
Σ f
Axon
…
Wi
Xi
Synapses
FIGURE 9.1 Basic model of an artificial neuron.
another in a concerted manner. An artificial neuron includes various inputs (Xi) mul-
tiplied by connection weights (Wi) before reaching the main body of the processing
unit. These weighted signals are then summed and fed into the activation function.
The activation function transforms the input into a more useful output. It should
be noted that neurons, activation function, and output are respectively analogous to
synapses, soma, and axon in a biological neural model.
There are many kinds of activation function including monotonic, nondecreas-
ing, and nonlinear functions used in neural networks. Some of the most well-known
transfer functions and their mathematical formulations are portrayed in Figure 9.2.
An ANN model updates the weights and biases by learning from examples to
generate a desired response to a specific input. ANNs often use three major learn-
ing modes: supervised, reinforced, and unsupervised algorithms. In the supervised
training method involving a teacher, a learning data set is provided with many pairs
of input/output training patterns. In this algorithm, the output from the network is
compared with a set of targets and then the error signal is used to adjust the weights.
Unlike the supervised mode, there are no targets given in the reinforced learning to
regulate the weights. However, the algorithm is given a grade of the ANN perfor-
mance. In the unsupervised mode, the training data set is composed of input training
patterns only without outside help to cluster different input patterns into different
classes. Additionally, ANNs can be categorized on the basis of their architectures
Linear threshold Tangent sigmoid Hyperbolic

Linear (Heaviside) Piece wise linear (Logistic) tangent Gaussian
2 2 2 2 2 2
1 1 1 1 1 1
−1 0 1 2 −1 0 1 2 −1 0 1 2 −1 0 1 2 −1 0 1 2 −2 −1 0 1 2
−1 −1 −1 −1 −1 −1
−2 −2 −2 −2 −2 −2
x < 0,5 y x ≤ − 0,5 1 ex + e−x

y= 0
0
y = e−x
2
y=x x ≥ 0,5 = x + 0,5 − 0,5 < 0,5 < 0,5 y= y = x −x
1 1 x ≥ 0,5 1 + e−x e +e
FIGURE 9.2 Some of the most well-known activation functions and their mathematical
formulations.
into feedforward or feedback recall networks. A feedforward network refers to an

ANN with unidirectional flow and information processing where connections among
the neurons do not form a directed cycle and which is permitted to obtain informa-
tion only from the previous neuron. However, a feedback network is an ANN with
a bidirectional information-processing procedure in which each node obtains infor-
mation from the previous one and permits the feedback to the next layers.
9.3 ARTIFICIAL NEURAL NETWORK STRUCTURES

There are many different kinds of ANN structures developed for modeling various
scientific and engineering problems. This section only covers the main ANN struc-
tures that have been employed in drying technology. A complete explanation of all
existing ANN structures is out of the scope of this chapter.
9.3.1 single-layer feedfOrward artificial neural netwOrk

The simplest type of layered network is the single-layer perceptron ANN model,
consisting of a single layer of output nodes (Figure 9.3). The inputs are directly
transmitted to the outputs by a series of weights. The output nodes use activation
functions to generate the desired outputs.
9.3.2 multilayer perceptrOn artificial neural netwOrk

Figure 9.4 is a schematic representation of multilayer perceptron (MLP) ANN
model. Obviously, the network consists of an input, an output, and one or more hid-
den layer(s). In this structure, each layer is entirely connected to the next layer with-
out connections between nodes in the same layer. The input nodes receive exogenous
signals from the user. The first hidden layer receives signals through the connections
from the input layer. The output signals from the first hidden layer feed into the
second hidden layer and so on. Finally, the signals are fed into the output layer to
generate the desired output. The numbers of input and output nodes are determined
by dimensions of input and output data, so that only the numbers of hidden layers
and nodes are to be decided by the users.
X1
Y1
X2
…
…
Yj
Xi
Input layer Output layer
FIGURE 9.3 A typical single-layer feedforward network.

Input 1
X1
Input 2 Output 1
X2 Y1
…
Input 3 X3
Output j
…
Yj
…
Input i
Xi
Input layer Hidden layer Output layer
FIGURE 9.4 A typical MLP ANN structure.
9.3.3 recurrent artificial neural netwOrk

A typical recurrent ANN contains both feedforward and feedback connections
between layers and nodes. Therefore, the inputs to the nodes come from external
inputs as well as from the internal nodes as shown in Figure 9.5. This network
can be found in both single and multiple layer(s). The feedback loops make the
recurrent ANNs powerful tools for effectively modeling, identifying, and con-
trolling highly nonlinear dynamic systems. Fully recurrent (Hopfield network
and Boltzmann machine), simple recurrent, echo state, long short-term memory,
bidirectional, hierarchical, and stochastic neural networks are different kinds of
recurrent ANN models.
Z−1
…
Z−1
Input 1
X1
Y1 Output 1
Input 2 X2
…
…
Yj Output j
Input i Xi
FIGURE 9.5 A typical recurrent network model.

9.3.4 adaptive neural-fuzzy interface system

The individual shortcomings of both neural network and fuzzy systems can be
overcome by integrating the trainability of neural networks with flexible knowl-
edge representation capability of fuzzy systems in a single structure. Adaptive
neuro-fuzzy inference system (ANFIS) is one of the most widely used neural-
fuzzy combinations in various disciplines. This model is an adaptive neural-fuzzy
inference system developed by Jang in 1993. ANFIS is a hybrid intelligent system,
which generates fuzzy rules from a given input-output data set by implementing
the Takagi-Sugeno fuzzy inference system. Due to utilizing the strengths of both
ANN and fuzzy systems, ANFIS can be an effective method for solving complex
and nonlinear phenomena even with uncertainty. An ANFIS model utilizes fuzzy
IF-THEN rules to model the qualitative features of human knowledge and reason-
ing processes without applying accurate quantitative analyses, making the ANFIS
close to human intelligence. The ANFIS is a six-layer generalized network with
supervised learning, composed of input, fuzzification, rule, normalization, and
defuzzification layers as well as a single summation node (Figure 9.6). It can be
trained using a hybrid learning algorithm through integrating a backpropagation
(BP) algorithm with the least squares method.
9.3.5 hyBrid neural-mathematical mOdel

In contrast with the phenomenological approaches with good extrapolation capabili-
ties, ANNs cannot be used to model drying process beyond the range of the data
used in the training step. This problem can be overcome to a large extent by using
hybrid neural-mathematical or gray-box approaches thorough integration of the phe-
nomenological and neural models. In other words, some fundamental principles are
known, but some parameters should be determined using the experimental data.
This hybrid structure is able to predict drying process in exterior or unexamined
Layer 1
Layer 2 Layer 3 Layer 4

Layer 5
A x y
x
B Π
W1 W1∗ W1∗f1
N
Σ
f
C Π N W2∗f2
W2 W2∗
y
D x y
FIGURE 9.6 A typical ANFIS model.

Inputs Phenomenological Outputs

ANN model
model
Inputs Phenomenological Outputs

model
ANN model
FIGURE 9.7 Hybrid neural models.
conditions because of its unique theoretical character. Generally, hybrid neural mod-
els can be categorized into series and parallel approaches as shown in Figure 9.7.
The neural model can be one of the previously explained structures according to the
complexity of the problem.
9.4 DEVELOPMENT OF ARTIFICIAL NEURAL NETWORK MODELS

ANN models can map any mathematical function because they have invaluable fea-
tures such as excellent learning ability, parallel processing ability, and capability for
dealing with imprecise, incomplete, multidimensional, uncertain, noisy, and highly
complex nonlinear data. Therefore, ANNs are promising alternatives to mathemati-
cal, statistical, numerical, and analytical approaches for dealing with the nonlineari-
ties and complexity of drying process, using past historical data without the need for
any information from the user. ANN models can also accommodate more than two
input variables to produce all desired outputs simultaneously, making them suitable
for multivariable processes like drying. Generally, an ANN model can be developed
in three basic steps including data preparation, training the developed ANN model,
and determination and validation of an optimal structure.
9.4.1 data preparatiOn

Databases for ANN models development can be gathered from experimental mea-
surements, mathematical and numerical simulations, or published literature. Notably,
the data intensive feature is one of the critical aspects of ANN technology. The
compiled data patterns are usually divided into three parts for training, validating,
and testing developed ANN models. In addition, some preprocessing operations like
data normalization and randomization should be performed before developing and
training ANN models. Statistical approaches like PC, PCA, and PLS techniques
can be used to improve the performance of ANN models. These tools can select the
relevant inputs, exclude data co-linearity, and simplify networks topologies. It should
be noted that superfluous and irrelevant insights can result in training difficulty,
more complex networks, massive weight matrices, and high computational efforts.
Developing ANN models using data obtained by mathematical and numerical simu-
lations is not prevalent in this domain since ANN paradigm is a data-driven approach.
In other words, the applicability of ANN models developed using such databases is
under question without including experimental uncertainties as unavoidable parts of

the experimental measurements. In such cases, the performance of developed ANN
models should be ascertained using experimental data.
9.4.2 determinatiOn Of Optimal artificial neural netwOrk tOpOlOgy

Finding a suitable ANN topology for a given problem is one of the most crucial
steps of ANN modeling. To obtain an optimal ANN topology, various important
parameters like number of hidden layers, number of hidden nodes, learning rule,
transfer function, initial weights, error minimization algorithm, training iteration,
and number of training runs should be determined. These parameters are affected
by the complexity of the problem being modeled. The trial-and-error method is one
of the most commonly applied approaches for obtaining the optimum architecture
of an ANN model. Therefore, a large number of ANN models should be designed,
trained, and tested which is a time-consuming and computationally intensive task.
However, several promising techniques such as evolutionary algorithms and statisti-
cal approaches have been proposed in recent years for the automatic optimization
of the structures and parameters of ANN models. After finding the best network,
weights and coefficients of the optimal network can be written in the form of alge-
braic equations for further application. It is not always clear how ANN models attain
a solution. ANN models provide little or no information into the relationships devel-
oped during the training step and the relative importance of input parameters, thus
giving poor interpretation facilities. However, there are several promising tools, such
as sensitivity analysis, interconnecting network weights analysis, and rule extraction,
to extract knowledge from developed ANN models and to identify the importance
of individual variables.
9.4.3 selectiOn and validatiOn Of Optimal

artificial neural netwOrk mOdel
Several statistical criteria, such as coefficient of determination (R2), mean square
error (MSE), mean absolute error (MAE), and mean absolute percentage error
(MAPE), can be used to evaluate goodness of fit of developed ANN models to the
experimental data.
∑ (y )
N 2
i
Pre − yExp
i
R2 = 1− i =1
(9.1)
∑ (y )
N 2
i
Pre −y
i =1
∑( y )
1 2
MSE = i
Pre − yExp
i
(9.2)
N i =1
∑y
1
MAE = i
Pre − yExp
i
(9.3)
N i =1
N
− yExp
∑
i i
1 yPre
MAPE = i
(9.4)
N i =1
yExp
where:
i
yPre is the network (predicted) output from observation i
i
yExp is the experimental output from observation i
y is the average value of experimental output
N is the total number of data observations
The optimal ANN model can be selected based on the lowest error on training or
cross-validation steps. The performance of the selected ANN must be evaluated with
the unseen data set.
9.5 APPLICATION OF ARTIFICIAL NEURAL NETWORK

TECHNIQUE IN DRYING TECHNOLOGY
Application of the ANN paradigm in drying technology up to 2015 has been com-
prehensively reviewed by Aghbashlo et al. (2015). Table 9.1 tabulates some important
applications of ANN technology for modeling, monitoring, and controlling different
drying processes. Cubillos and Reyes (2003) satisfactorily predicted the moisture
ratio of carrot cubes in a fluidized bed dryer using a structural modular ANN model
with two sublayers of linear and sigmoidal nodes in the hidden layer. Alvarez et al.
(2005) successfully developed a general model based on mass and energy balance
equations together with a one-hidden layer MLP ANN model to predict the effects
of drying conditions on the drying rate parameters and the global heat transfer coef-
ficient by taking into account four drying zones for vibro-fluidized bed drying of
turnip seeds.
Liu et al. (2007) precisely predicted the moisture content of maize grains as a
function of the grains and drying air conditions in a tower-type mixed flow grain
dryer using a structural modular ANN model optimized by GA. Ochoa-Martínez
et al. (2007) successfully estimated the water diffusivity coefficient and moisture
loss at the equilibrium point during osmotic dehydration of fruits using two ANN
models developed on the basis of physical attributes of the several fruits and proper-
ties of the osmotic solutions. Köni et al. (2010) developed a smart system on the basis
of two ANFIS models to control the temperature and dry matter content of baker’s
yeast during fluidized bed drying by manipulating temperature and mass flow rate of
the inlet drying air. They obtained a good agreement between the simulation results
and industrial-scale databases, indicating its potential for the application phase.
In the study carried out by Azadeh et al. (2012), the PLS-ANFIS outperformed
the ANN and PLS-ANN approaches in estimating the particle size of spray-dried
ceramic granules. Drăgoi et al. (2012, 2013) developed a soft-sensor for freeze drying
process using a recurrent BP-trained ANN model optimized by differential evolu-
tion algorithm based on the database obtained from a one-dimensional phenomeno-
logical model. The interpolation and extrapolation accuracy of the developed sensor
was then experimentally confirmed to monitor temperature and thickness of sucrose
164
TABLE 9.1
Some Important Applications of ANN Technology for Modeling Various Drying Processes
Author(s) Aim(s) Model Input(s) Model Output(s) Best Model(s)
Cubillos and To estimate drying kinetics of carrot Drying air temperature, drying velocity, Moisture ratio A one-hidden layer MLP ANN model
Reyes cubes during fluidized bed drying and drying time with two sublayers, one linear hidden
(2003) using a structural modular ANN node and one sigmoidal hidden node,
model with two sublayers in the and linear transfer function in the
hidden layer output layer
Alvarez To model the drying and heat transfer Vibration amplitude and frequency as Two adjustment A one-hidden layer MLP ANN model
et al. parameters of turnip seeds as a well as drying gas temperature and flow parameters of the with 11 hidden neurons and sigmoid
(2005) function of the operational rate ratio drying rate and the activation function
conditions of vibrated fluidized bed global heat transfer
dryer coefficient
Liu et al. To estimate the grain moisture Inlet air temperature (three temperatures), Moisture content of A one-hidden layer MLP ANN model
(2007) content using the structural grain temperature (eight temperatures), grain with 6 BP neurons and 10 RBF
modular ANN model optimized by and initial moisture content neurons, sigmoid activation function
GA in a tower-type mixed flow for BP neurons, Gaussian activation
grain dryer function for RBF neurons, LM error
minimization algorithm, and linear
activation function in the output layer
Ochoa- To predict the water diffusivity Temperature and concentration of the Water diffusivity Two one-hidden layer MLP ANN
Martínez coefficient and moisture loss of osmotic solution, water and solid coefficient and models with 4 neurons, sigmoid
et al. (2007) osmotic dehydration of fruits using contents of fruits, porosity, surface area moisture loss at the activation function for predicting the
two separate ANN models and characteristic length of the samples, equilibrium point water diffusivity coefficient, tangent
osmotic solution-to-fruit mass ratio, and hyperbolic activation function for
agitation level estimating the moisture loss, and linear
transfer function in the output layer
(Continued)
Köni et al. To control the temperature and dry In the ANFIS model developed for In the ANFIS model Two ANFIS models with the
(2010) matter content of baker’s yeast by manipulating the inlet air temperature: developed for Takagi-Sugeno-type fuzzy inference
manipulating the temperature and drying time, loading weight, humidity manipulating the inlet system, the Gaussian memberships
flow rate of inlet drying air using a of inlet air, set value of the product air temperature: inlet function, 128 rules, one output linear
smart control system developed on temperature, dry matter of product, air temperature membership function, and a hybrid
the basis of two ANFIS models product temperature, and inlet air flow In the ANFIS model learning algorithm (combination of
rate developed for least squares and BP gradient descent
In the ANFIS model developed for manipulating the inlet methods)
manipulating the inlet air flow rate: airflow rate: inlet
drying time, loading weight, humidity airflow rate
of inlet air, dry matter of product, set
value of the dry matter of product,
product temperature, and inlet air
temperature
Azadeh To estimate particle size of ceramic In the ANN model: slip viscosity, density, Particle size A five-layered feedforward PLS-
et al. granule using ANN, PLS-ANN, inlet air temperature, air suction ANFIS model with Takagi-Sugeno
(2012) and PLS-ANFIS approaches pressure, and fed slip pressure fuzzy model, hybrid learning
In the PLS-ANN and PLS-ANFIS algorithm (combination of BP with
models: slip viscosity, density, and outlet least squares method), Gaussian
air temperature membership function, and
6 linguistic variables
(Continued)
166

Drăgoi et al. To develop a soft sensor on the basis Drying time, heating shelf temperature, One-step-ahead Recurrent BP-trained ANN model
(2012, of time-delayed recurrent ANN chamber pressure, and one-, two-, and temperature and with 6 hidden neurons
2013) model optimized by self-adaptive three-step delayed temperature and thickness of sample
differential evolution algorithm and thickness of the sample
to confirm it by experimental tests
for sucrose aqueous solution
Freire et al. To describe drying process of Feed flow rate, inlet air temperature, and ANN: Phase-coupling A one-hidden layer MLP ANN model
(2012) sewage sludge, homogenized egg drying time term with 5 hidden neurons, Bayesian
skimmed milk, and calcium Overall model: regularization BP training algorithm,
carbonate suspensions at different temperature and relative and LM error minimization
solid contents in a conical humidity of the outlet air algorithm
semi-pilot scale spouted bed dryer as well as the powder
using a grey box model achieved by moisture content
combining hybrid lumped balance
equations with an ANN model
Saraceno To predict hot air drying kinetics of Dry bulb temperature, air velocity and its Drying rate constant A one-hidden layer MLP ANN model,
et al. cylindrically and slab-shaped relative humidity, and characteristic from ANN part and 2 hidden neurons, hyperbolic tangent
(2012) potato and carrot samples using a sample size moisture ratio from the in the hidden layer, linear activation
hybrid ANN model overall model function in the output layer, and
Bayesian regularization algorithm
(Continued)
Hosseinpour To model moisture ratio and Four image texture features including ANN #1: moisture ratio Two one-hidden layers MLP ANN
et al. geometrical attributes of shrimp energy, contrast, correlation, and ANN #2: top-view batch models with 27 and 32 hidden
(2014) batch as a function of image homogeneity area, perimeter, Feret neurons for moisture ratio and
texture parameters obtained by an diameter, and geometrical attributes, respectively,
in-line computer vision system lateral-view batch area hyperbolic tangent sigmoid
activation function in the hidden
layer, linear transfer function in the
output layer, LM error minimization
algorithm, and maximum
1,000 training epochs
Kurtulmuş To discriminate tarhana drying SDA- and PCA-based selected image Drying method Two one-hidden layer MLP ANN
et al. (2014) methods using the image texture texture features obtained using models with 8 hidden neurons,
features obtained by gray level Python-Bob library (total 110 features hyperbolic tangent transfer function
co-occurrence matrix through five for each image) in the hidden layer of PCA-based
machine learning classifiers, that is, data, logarithmic sigmoid transfer
support vector machine, naïve Bayes function in the hidden layer of
Classifier, K-nearest-neighbors, SDA-based data, and linear transfer
decision trees, and ANN model function in the output layer
Perazzini To model the residence time Particles mass flow rate, drying air Residence time A one-hidden layer MLP ANN model
et al. distribution of citrus waste solids velocity, and dimensionless time distribution with 4 hidden neurons, and LM
(2014) in a semi-pilot-scale rotary dryer algorithm error minimization
algorithms
(Continued)
168

Prakash and To model the product temperature, Various environmental parameters and Moisture evaporation Three multilayer feedforward ANFlS
Kumar greenhouse air temperature, and product properties for each ANFIS rate, product models with Takagi-Sugeno fuzzy
(2014) moisture evaporation rate during model temperature, and system, hybrid-learning rule (the
natural convection greenhouse greenhouse air gradient descent momentum and the
drying process of jaggery fruit temperature least squares methods), and
using three different ANFIS models bell-shaped membership function
Aktaş et al. To predict moisture content and total Drying time, drying air temperature, Moisture content and A four-hidden layer MLP ANN model
(2015) energy consumption of bay leaves relative humidity, volumetric flow rate total energy with 6, 3, 6, and 2 neurons in the
drying process in a closed-loop consumption hidden layers, respectively, LM error
heat pump dryer minimization algorithm, and Fermi
transfer function
Khawas To predict and optimize quality Drying temperature, sample slice Rehydration ratio, A one-hidden layer MLP ANN model
et al. (2016) parameters of culinary bananas thickness, and pretreatment scavenging activity, with 5 hidden neurons and sigmoid
during vacuum drying nonenzymatic transfer function
browning, and hardness
Li et al. To develop and evaluate a recurrent Current temperature, current moisture, Moisture content and Recurrent self-evolving fuzzy neural
(2016) self-evolving fuzzy neural network and current input power temperature network
predictive control scheme for
microwave drying process
Tarafdar To model water activity of button Time, initial moisture content, vacuum Water activity A one-hidden layer MLP ANN model
et al. (2017) mushrooms during freeze drying pressure, sample thickness, and primary with 13 neurons, LM error
and secondary drying temperatures minimization algorithm, and
hyperbolic tangent transfer function
aqueous solution in an in-line manner. Freire et al. (2012) estimated the inter-phase
coupling term of spouted bed drying of three different pastes using a hybrid lumped
element/ANN model. The inter-phase coupling term reflected both water evapora-
tion and particle coating. The proposed hybrid model accurately computed the outlet
drying air temperature and relative humidity as well as the powder moisture content.
Saraceno et al. (2012) successfully predicted the moisture ratio of cylindrically and
slab-shaped potato and carrot samples during hot air drying using a hybrid ANN
model obtained by integrating a one-hidden layer MLP ANN model and Newton
thin-layer drying model.
Hosseinpour et al. (2014) successfully predicted hot air and superheated steam
drying kinetics and geometrical properties of shrimp batch using two MLP ANN
models developed based on image texture features. Kurtulmuş et al. (2014) success-
fully discriminated tarhana drying methods, that is, sun drying, oven drying, and
microwave drying, using K-nearest-neighbors and ANN classifiers developed on the
basis of SDA-based selected image texture features. Perazzini et al. (2014) precisely
predicted the residence time distribution of citrus waste particles in a semi-pilot-scale
rotary dryer using a one-hidden layer MLP ANN model. Prakash and Kumar (2014)
successfully predicted jaggery fruit drying process parameters, that is, drying rate,
product temperature, and greenhouse air temperature, using three exclusive ANFIS
models. Aktaş et al. (2015) satisfactorily predicted moisture content and total energy
consumption of bay leaves drying process in a closed-loop heat pump dryer using a
four-hidden layer MLP ANN model.
Khawas et al. (2016) found that an MLP ANN model was more accurate com-
pared with RSM model for predicting the quality attributes of culinary bananas dur-
ing vacuum drying. Li et al. (2016) precisely controlled the lignite temperature using
a recurrent self-evolving fuzzy neural network during microwave drying process.
Tarafdar et al. (2017) successfully predicted water activity of button mushrooms dur-
ing freeze drying using a one-hidden layer MLP ANN model. They claimed that the
developed model can reduce energy consumption of freeze drying process.
9.6 CONCLUDING REMARKS AND RECOMMENDATIONS

FOR FURTHER RESEARCH
According to the findings of the aforementioned surveys, ANN technology can be a
useful modeling and controlling tool with a wide variety of applications for various
drying systems. To date, this approach has been applied to only a few categories of
drying systems, but its potential applications are much broader. The majority of stud-
ies carried out in this domain simply used MLP ANN models for modeling drying
processes, while developing and implementation of monitoring and controlling sys-
tems using this technology are somewhat complex and not straightforward. Overall,
little research has been reported on the application of ANN technology and its exten-
sions for monitoring and controlling drying systems, likely because of commercial
barriers to the publication of scientific/technological details. Therefore, future stud-
ies should apply ANN technology for monitoring and controlling drying systems. In
addition, the extrapolation capability of ANN models can be significantly enhanced
by their integration with phenomenological approaches called gray-box models.
Image processing
Camera
Micr Monitoring
osco
pe
Infeed blender
E-nose Fault diagnosis
Dehyd
ration ch
amber
Indirect
Discharge of
heat source
dehydrated
material
Data fusion
Signal processing
Optimization
Neural-network-based
model predictive control
ANN
E-tongue Self-learning control
ANFIS
Neural network control
Neural adaptive control
Evolutionary algorithms
FIGURE 9.8 A comprehensive flowchart for real-time monitoring and control of drying
systems.
The combination of ANN technology with real-time measurement tools like bio-
sensing, imaging, spectral, acoustical, and electrical techniques can be one of the
interesting subjects for real-time monitoring and control of drying systems in future
studies. Figure 9.8 shows a comprehensive flowchart for real-time monitoring and
control of drying systems using this combination. The required information about
the process can be captured using some independent sources such as color CCD cam-
era, digital microscope, infrared camera, electronic nose and tongue, and so on. The
obtained data can then be subjected to preprocessing and processing techniques like
image and signal processing tools in order to enhance the quality of signals and to
extract more appropriate features about the process. Afterward, the features extracted
from different independent sources can be merged into a single features vector
employing some data fusion techniques such as evidence theory (Dempster-Shafer
theory). After finding an appropriate feature vector, modeling should be carried out
to establish a proper model for correlating the feature vector to unmeasured physi-
cochemical and thermodynamic characteristics such as moisture ratio, drying rate,
chemical attributes, and energy consumption. Using such a methodology, the weigh-
ing system can be eliminated. Furthermore, there is no need for sophisticated and
expensive instruments for measuring chemical attributes.
In the proposed flowchart, ANN technology plays an important role as an
advanced modeling technique. Various ANN models and learning algorithms like
feedforward, recurrent, emotional neural networks, and deep learning techniques
are available nowadays for modeling complex processes. The structure and learn-
ing algorithm of ANN models can be chosen according to process complexity
and user expertise. For example, a recurrent neural network is a good choice for
a time series process, while an emotional ANN can solve an overtraining issue in
a process with a smaller number of data patterns. The developed ANN model can
then be used to find the optimal operational conditions of the system. The consid-
ered single- or multi-objective optimization problem with crisp or fuzzy objectives
can be solved using evolutionary algorithms such as genetic algorithm, particle
swarm optimization, ant colony, and honey bee mating methods. In addition to the
excellent modeling capability of ANNs, they have a great potential to be applied
in the complex controlling systems because of their massive parallel processing,
nonlinear mapping, and self-learning abilities. ANNs can also be embedded in
model predictive control systems, namely neural-network-based model predictive
control systems, self-learning control systems, neural network controllers with
neuro-control algorithm, and neural adaptive controllers to solve highly nonlinear
control problems. Finally, to deal with the complexity, uncertainty, and fuzziness
of faults occurring in drying systems, advanced modeling techniques such as ANN
and ANFIS approaches should be employed.
ABBREVIATIONS
ANFIS, Adaptive Neuro-Fuzzy Inference System; ANN, Artificial Neural Network;
BP, Backpropagation; GA, Genetic Algorithm; LM, Levenberg-Marquardt; MLP,
Multilayer Perceptron; PC, Partial Correlation; PCA, Principle Components
Analysis; PLS, Partial Least Squares; SDA, Stepwise Discriminant Analysis; RBF,
Radial Basis Function.
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10 Genetic Algorithms for
Modeling and Control
of Drying Processes
Stefan Palis
CONTENTS
10.1 Introduction ................................................................................................. 173
10.2 Genetic Algorithms for Identification and Control ..................................... 174
10.3 Comparison with Traditional Optimization................................................ 176
10.4 Identification of Drying Models.................................................................. 176
10.5 Drying Process Optimization ..................................................................... 178
10.6 Control of Drying Processes ....................................................................... 181
10.6.1 Mathematical Model of a Fluidized Bed Drying Process ............ 181
10.6.2 PID Control and Genetic Algorithm-Based Controller Tuning .....184
10.6.3 Genetic Algorithms for Fuzzy and Neural Control ...................... 186
10.7 Conclusion................................................................................................... 187
References .............................................................................................................. 187
10.1 INTRODUCTION
The technique using genetic algorithms (GAs) is an optimization approach based
on Darwin’s principle of natural selection and population genetics (Holland, 1975).
It is often applied as an alternative tool for traditional optimization methods, that is,
methods based on calculus or enumeration. In calculus-based optimization methods
a series of points is constructed starting from an initial point using local information,
for example, the gradient of the value function. Depending on the problem structure this
approach may result in an undesired convergence to a local optimum. Application is
thus limited to special classes of optimization problems, for example, convex problems,
or applications where local optima are sufficient. Enumeration methods, as an alterna-
tive approach, systematically investigate the whole space of possible solutions and thus
avoid the aforementioned problem of convergence toward local optima. On the other
hand, enumeration approaches immensely suffer from the curse of dimensionality,
that is, for a growing number of variables, calculation time becomes prohibitively high.
Here, GAs provide a third option. Thus, in the following sections their application to a
number of typical problems arising for modeling and control of drying process will be
stated and discussed. Although, a number of other related population-based algorithms
share many advantages with GAs, for example, particle swarm optimization, genetic
programming, and ant colony optimization, this chapter will focus solely on GAs.
173
The chapter is organized as follows: First, the main ideas and principles of GAs and
comparison to conventional optimization approaches are presented. The problem of
identifying the parameters of a kinetic drying curve serving as a simple introductory
example is investigated in the next section. In the following section, GAs are applied to
the optimization of a drying process. Here, two configurations are investigated: drying
with a maximum remaining enzymatic activity, which is important for drying of bio-
logical products, and drying with a maximum decrease in moisture content, with a limit
input of energy and additional temperature constraints. In the final section, the general
problem of controller tuning, including neural and fuzzy controllers, is discussed as an
important step for reliable and robust drying operations.
10.2 GENETIC ALGORITHMS FOR

IDENTIFICATION AND CONTROL
The basis of a GA is a population P (t ) at time t being a set of individuals, that is,
P (t ) = {x1, x2 , …, xm}, where each individual is a candidate for a solution to the given
optimization problem. The individuals, which can be identified with chromosomes,
are defined as a vector of variables xi = ( g1, g2 , …, gn ) called the gene defining a
specific solution.
Starting with an initial population, the population is evolved in order to find better
solutions to a stated problem. For each individual of the population a fitness value is
calculated which quantifies its optimality. These fitness values determine the prob-
ability of propagating the individual’s genes into future generations of the popula-
tion, where higher values mean a higher probability.
Evolution, that is, iteration or generation of a new population, is performed apply-
ing a number of biologically inspired operations on each member of the current
population. The two most important ones are crossover and mutation:
1. Crossover resembles the exchange of genetic material between two genomes,

resulting in two new genomes. In the simplest case the exchange takes place
at a single crossover point as illustrated in Figure 10.1a for two binary
genomes. Here, the choice of the crossover point is, in general, random.
2. Mutation resembles random changes in the genome. In case of a binary
genome mutation hence swaps a one for a zero or vice versa, as depicted in
Figure 10.1b.
After constructing a new population and calculating each new individual’s fit-
ness, the process repeats itself. Here, in order to remain a constant population, a
part of the old population is replaced by new individuals. The overall GA scheme
consisting of an initial population, the selection of parents, and the generation
of new individuals, called offspring, which then results in a new population, is
depicted in Figure 10.2.
In the initial development, the GA chromosomes were constructed from binary
variables, that is binary arrays. However, an extension to integer or real-value vari-
ables is straightforward and results in minor adaptations, for example, mutation
replaces an integer value at a given position by a new randomly chosen integer.
Genetic Algorithms for Modeling and Control of Drying Processes 175
Crossover point
0 1 0 0 1 1 1 0 0 1 0 0 1 0 0 0
1 1 1 0 1 0 0 0 1 1 1 0 1 1 1 0
(a)
Mutation
0 1 0 0 1 1 1 0 0 1 0 0 1 0 1 0
(b)
FIGURE 10.1 GA basic operations: recombination (a) and mutation (b).
Parents
Recombination
Selection
mutation
Initialization Population Offspring
FIGURE 10.2 Overall GA scheme.
An important property that distinguishes GA from other optimization approaches,

due to its being a population-based approach, is that dissimilar solutions with com-
parable fitness can be supported during the exploration of the search space.
Based on this simple principle, a number of variations have been proposed in
the literature whereby each modification tries to improve the GA performance and
robustness. Most of them can be classified according to the part that is modified:
• Population: Population size and information encoding, using, for example,
a binary, integer, or floating-point genome to represent a solution candidate.
• Fitness assignment: In addition to the pure fitness value, one could use fit-
ness values normalized with respect to the population average or ranking.
• Operations on the genome: The weighting of the operations on the genomes
have a strong effect on GA behavior. Increasing the effect of mutation in
general leads to an increased exploration in the search space, whereas
increasing the effect of recombination tends to move the population to
areas of greater fitness. In addition, implementation details may vary, for
example, restricting crossover between very dissimilar genomes, where a
positive effect on the fitness value would be very unlikely.
• Composition of the new population: Replacing parts of the population with
new individuals is an additional degree of freedom. Typically, the new pop-
ulation consists of new individuals, individuals from the past generation,
and randomly generated individuals.
10.3 COMPARISON WITH TRADITIONAL OPTIMIZATION

In traditional optimization, the task is to find a solution minimizing or maximizing
a given cost or the value function. This corresponds to the fitness function in genetic
algorithms, which is used for the population ranking. Therefore, both approaches
can be directly compared with each other.
In this context, the GA can be seen as a general tool for solving optimization prob-
lems. One of its benefits is that most problems can be solved without modifications in
the algorithm or problem at hand. In addition, due to the fact that no assumptions on the
fitness functions regarding structure or complexity are made, genetic algorithms offer
a promising approach for problems that are difficult to formalize mathematically. This
includes non-convex and hybrid optimization problems as well as problems without
a rigorous mathematical model, time variance, noise, or randomness. As GA can be
interpreted as directed search methods, in general they are much more efficient than
random search or enumeration methods. However, on the other hand, for less general
optimization problems with a favorable structure, for example, linear or convex optimi-
zation problems, GAs are likely to be outperformed by more traditional optimization
approaches. In addition, the GAs’ convergence speed may vary considerably due to their
stochastic nature, which may become prohibitive in real-time applications.
10.4 IDENTIFICATION OF DRYING MODELS

As a first application for GA-based optimization, the parameter estimation of drying
isotherms was studied. Drying isotherms forms the basis for modeling, control, and
optimization of drying processes and is thus of utmost importance. In the topical
literature, a number of drying models derived on the basis of Fick’s law have been
used, for example, Cai and Chen (2008), in order to describe the evolution of the
moisture content of a solid material over time. A general formulation, containing dif-
ferent drying kinetics model hypothesis, has been proposed by Santana et al. (2010):
X (t ) = a exp( −bt ) + c
Here, X (t ) is the material moisture content during drying and a, b, and c are param-
eters to be estimated from experiments. This formulation reduces for example to
the drying model of Brooker, for example, Santana et al. (2010), for c = 0. In addi-
tion, this model has an intuitive representation as a first order differential equation
describing the material moisture content during drying
dX ( t )
dt
(
= − b X ( t ) − Xe )
where Xe is the equilibrium moisture content.
Solving this differential equation and comparing the according coefficients results
in the following correlations:
a = X ( t = 0 ) − Xe
c = Xe
For a given process and measurements the task is then to determine these free
parameters. From a mathematical point of view, the task can be formulated as a
minimization problem, where the three parameters have to be chosen such that
the error between model predictions and experimental data becomes minimal in
terms of a norm. For most practical applications the 2-norm or a variant of the
2-norm is used.
Thus, for a given drying process the three optimization variables a, b, and c should
be chosen such that the 2-norm of the deviations between the measured and predicted
material moisture content at a given time instant =
X m,i X= m (t ti ) and =
X i X= (t i ),
respectively, is minimized
∑( X − Xi )
2
Xm − X 2 = m ,i
Here, the stated estimation problem is solved applying a GA with a chromosome

consisting of the three decision variables a, b, and c, that is, gi = ( ai , bi , ci ). As can
be seen in Figure 10.3, the proposed GA gives good result on the experimental
data derived on a convective dryer with air circulation used for drying of corn
malt (relative air moisture 64%, air flux 1 m 3 /h , and temperature 54°C), which
has been taken from Santana et al. (2010). The achieved minimum deviation in
terms of the 2-norm is 0.0677. Due to simplicity of the structure of the given
parameter estimation problem, traditional optimization approaches in general
outperform the proposed GA in convergence speed and quality. For the presented
parameter identification problem applying a trust-region method, a 2-norm of
0.0630 could be achieved with a 30 times shorter computation time. However,
as the computation time for the GA was about one second, it won’t be critical in
most applications.
0.8
0.6
X
0.4
0.2
0
0 2 4 6 8 10 12
t/h
FIGURE 10.3 Identification of drying kinetics, measurements (gray crosses), model

obtained by GA (gray dotted) and with traditional optimization (black dotted).
10.5 DRYING PROCESS OPTIMIZATION

Drying process optimization allows for a design tailored to the specifics of this
process. Here, the complexity varies strongly with the application and the imposed
requirements. GAs have been proven to provide the required flexibility and perfor-
mance in a number of case studies, for example, Hugget et al. (1999) and Rahman
et al., 2014.
In the studies by Biazus and colleagues (2005), a model for the specific enzymatic
activity of dried maize malt was derived based on experimental data. There tempera-
ture and drying time were varied in a range of 54°C to 76°C and 5.18 h to 10.8 h,
respectively. Applying least square curve fitting, a polynomial model of the second
order correlating temperature, drying time, and the natural logarithm of the specific
enzymatic activity was derived by the authors:
ln AE = −0.6886 + 0.0476 x1 − 1.4522 x2 − 0.2910 x12 + 0.7437 x22 + 0.5209 x1 x2
Here, the original variable t and T have been substituted by x1 = t − 8 2 and

x2 = T − 65 11. Due to the limited measurement range the proposed model can
only be assumed valid in a certain range around the experimental data, that is,
x1 ∈  −1.8,1.8 and x2 ∈  −1.2,1.2  , resulting in a constrained maximization prob-
lem. In order to reflect constraints in GAs, a number of modifications can be applied
such as introduction of a penalty term into the fitness function. For the maximiza-
tion of the malt enzymatic activity, the authors proposed a coding-based approach.
Here, the feasible interval is represented by its quantization, that is, by its mapping
onto a binary string. The resolution used is 10 bits. Therefore, each chromosome can
be represented as a binary array of length 20, that is, g =  b0 , b1,…, b19 , where the
first 10 bits represent the drying time and the second 10 bits represent the drying
temperature.
As an alternative approach for the given problem structure, that is, box constraints
on the optimization variables, the constraints can be directly incorporated into the
GA, that is, generate an initial population only in the feasible region and restrict
mutation and crossover such that the resulting chromosomes remain in the feasible
region. Independently of the chosen representation, the GA finds the drying regime,
which maximizes the specific activity as depicted in Figure 10.4.
Due to the given problem structure, the value function is convex with respect to
the temperature and concave with respect to the drying time, the maximal activity is
thus achieved on the boundary of the temperature, that is, for T = 51.8°C or x2 = −1.2.
In spatially distributed drying processes (e.g., conveyor belt dryer), the wet mate-
rial is transported during operation. Therefore, the material moisture content and
temperature vary not only in time but also in space. From the modeling point of
view, this results in a distributed parameter system, typically a partial differential
equation, with temperature and moisture content being the distributed quantities or
states. As the final product quality and overall energy consumption strongly depend
on the spatial design of the drying process, this gives an additional degree of free-
dom. In the study by Sanjabi et al. (2006), the optimal temperature distribution along
an industrial infrared drying process was investigated. The control objective there
2
ln AE
−2
−4
55 60 5
65 70 10
75 t/h
T/°C
FIGURE 10.4 Enzymatic activity as a function of drying time and temperature (Biazus,
Souza, Santana, Souza, & Tambourgi, 2005) and the optimal regime (gray cross).
was to minimize product humidity at the dryer exit. Additional constraints were
due to minimum and maximum radiant temperatures and a maximum material
temperature.
In the following the mathematical model of an infrared dryer according to Cotè et al.
(1990) is stated. As depicted in Figure 10.5, the material enters the dryer on the left and
is transported to the right side. Inside the dryer the material is heated by infrared radia-
tion. It is assumed that the surrounding air is mainly heated by convection.
The process behavior is described by the mass balance for the material mois-
ture content, the material energy balance, and the air energy balance. The air
moisture balance can be neglected, as water vapor accumulation is relatively low
due to the high flow rate of fresh air. Due to the distribution of the material mois-
ture and the material and air temperature along the conveyor, that is, along one
spatial coordinate, these three equations form a system of one-dimensional partial
differential equations. From a drying process design point of view, the optimal
temperature distribution along the conveyor is of interest. Sanjabi et al. (2006)
Tr, 1 Tr, 2 Tr, 3 Tr, n
Air ...
Radiant
Conveyor
... XS(x = L)
FIGURE 10.5 Process scheme of an infrared dryer.

assumed that the infrared drying process operates at a steady state. This is reason-
able as transient processes are stable and decay considerably fast, thus optimality is
dominated by the steady-state behavior. Therefore, the original model consisting of
three partial differential equations simplifies to three ordinary differential equations:
dXS k1
= m evap
dx v
dTA
dx
=
1
vA
(
k2 ( Tr − TA ) + k3 ( TS − TA ) + k4 m evap ( TS − TA ) )
dTS
=
1
dx v ( k8 + X S )
( ( )
k5 Tr4 − TS4 + k6 ( TS − TA ) + k7 m evap ∆HS )
where:
v is the conveyor speed
v A represents the air velocity
XS stands for the material moisture content
TA is the air temperature
TS is the material temperature
Tr is the radiant temperature
m evap signifies the evaporation rate
∆H S corresponds to the latent heat of vaporization
k1, …, k8 are coefficients
The boundary conditions result from a given moisture content XS0 of the material fed
to the dryer at a defined temperature TS0, the temperature of ambient air TA0 supplied
at the entrance, and specific injection positions xin,k of the drying process:
XS ( x = 0 ) = XS 0
TA ( x = 0 ) = TA ( x = xin,k ) = TA0
The objective of optimization is to find a radiant temperature distribution Tr ( x ) such

that the material moisture content is minimized at the dryer exit x = L :
min XS ( x = L )
Tr ( x )
In addition to the stated steady-state system model, the radiant temperature should
be in given limits
Tr , min ≤ Tr ( x ) ≤ Tr , max x ∈ [ 0, L ]
and the material temperature should in any location be smaller than a given maxi-
mum temperature TS,max:
TS ( x ) ≤ TS , max x ∈ [ 0, L ]
To find an optimal temperature distribution the authors suggested applying a GA,

where infeasible candidates, that is candidates not fulfilling the constraints, are elim-
inated during preliminary screening. This approach is similar to assigning an infi-
nite value to the according fitness function, when one of the constraints is violated.
For an industrial dryer the optimization variables are the 42 radiant temperatures.
The temperature is quantized using 10 bits. Thus, each chromosome representing
a solution candidate is a binary array with 420 elements. The population also con-
sists of 420 individuals. In order to evaluate the fitness function of the stated model,
a system of ordinary differential equations was solved by numerical integration. In
addition to the nominal scenario, that is, without any air injections, the authors inves-
tigated a scenario with one additional air injection in the middle of the drying cham-
ber and one scenario with five equally distributed air injections. In all scenarios the
derived optimal solution allowed for a significant reduction of humidity, in the range
of 60%, at the dryer exit without a violation of the maximum material temperature.
10.6 CONTROL OF DRYING PROCESSES

Ongoing increases in energy costs as well as the growing demands for product qual-
ity have resulted in active research on control of drying processes. From a practical
point of view, guaranteeing specific product quality (e.g., moisture content or material
activity in the presence of feed variations) and a simultaneous decrease in energy con-
sumption are the main challenges in industrial dryer control, which led to a number of
proposed control approaches, including PI control (Kiranoudis, Maroulis, & Marinos-
Kouris, 1994; Kiranoudis, G.V., Maroulis, & Marinos-Kouris, 1995), fuzzy control
(Taprantzis, Siettos, & Bafas, 1997), feedback linearization (Siettos, Kiranoudis, &
Bafas, 1999), and model predictive control (Dufour, Blanc, Touré, & Laurent, 2004). In
addition, online measurement of the system state needed for the realization of model-
based control is still a problem for most industrial drying processes. This is especially
true for measuring the spatially distributed moisture content.
From a theoretical point of view, industrial drying processes are often
described by a complex model, nonlinear partial differential equations for heat
and mass transfer, where the associate kinetics, that is, transport coefficients and
thermophysical material properties, strongly depend on the material at hand and
its current state. This results in significant uncertainties of the according process
models, which have direct implications on the controller robustness requirements.
Moreover, due to the significant uncertainties and nonlinear process behavior,
controller tuning is challenging. Depending on the given controller structure,
process model, uncertainties, and design requirements, these problems are often
non-convex, resulting in possibly suboptimal solutions from traditional optimiza-
tion approaches. GAs can be successfully applied in order to overcome the non-
convexity problem.
10.6.1 mathematical mOdel Of a fluidized Bed drying prOcess

In this section, an industrial fluidized bed dryer (Siettos, Kiranoudis, & Bafas, 1999)
for drying of granular material will be examined. The process scheme is depicted
Air
Feed
Particles
Exit
Air
Controller
Furnace
FIGURE 10.6 Process scheme of a fluidized bed dryer.
in Figure 10.6. The wet granular material enters on the top to the dryer. The dried
material is withdrawn from the lower part of the drying chamber. The drying gas is
typically atmospheric air that is heated in a furnace, which burns fuel, and then fed
into the drying chamber. As the fuel flow rate has a direct impact on the material
moisture content, it can be used as the control variable.
Due to the fluidization of the granular material and thus the continuous mixing
of the solid phase, a uniform distribution of moisture content and material tempera-
ture can be assumed. For simplicity, differences in drying behavior between particle
fractions of different sizes and hence the particle size distribution of the solid phase
is neglected. Therefore, the system dynamics can be described by heat and mass
balances within the drying chamber for the solid and gas phases.
The moisture balance for the solid particles entering the drying chamber is given
by the following equation:
= ( XS 0 − XS ) − kXS
dXS FS
dt M
where:
XS is the material moisture content at the dryer exit
XS0 is the material moisture content of the feed material
FS is the solid feed flow rate
M is the hold-up mass, that is, the mass of all solid particles inside the drying
chamber
k represents the drying constant, which is assumed to be an approximately bilinear
function of the solid particle moisture content XS and the air temperature TA
Here, the first term describes the in- and outflow of solid particles with a specific
moisture content XS0 and XS, respectively. The second term describes the loss of
moisture due to drying.
Thus, the moisture balance for the drying gas yields
= FAC ( X AC − X A ) + kXS
dX A
dt
where:
X A is the gas moisture content
X AC is the gas moisture content of the gas at the drying chamber inlet
FAC signifies the gas feed flow rate
The first term describes the in- and outflow of gas and the second accounts for the
evaporated liquid.
The energy balance for the solid phase consists of terms describing the in- and
outflow of material at specific temperature, heat consumption due to evaporation of
moisture, and heat transfer from the drying gas to the solid phase:
= ( hS 0 − hS ) − ∆HS kX S + hH ( TA − TS )
dhS FS
dt M
where:
hS and hS0 are the specific solid material enthalpies at the dryer exit and entrance
∆H S is the latent heat of vaporization
hH is the volumetric heat transfer coefficient
The energy balance for the air inside the dryer consists of the in- and outflows and
the heat transfer from the gas to the solid phase.
= FAC ( hAC − hA ) − hH ( TA − TS )
dhA
dt
Here, hA and hAC are the specific enthalpies for the air at the dryer exit and entrance.
The moisture and energy balance of the furnace yields
FAC X AC = cu + FA0 X A0
FAC hAC = u∆H F + FA0 hA0
where:
u is the supplied fuel, that is, the control variable
X A0 is the moisture content of fresh air
∆H F is the fuel heat of combustion
hA0 is the specific enthalpy of the stream of fresh air
FA0 is the fresh air flow rate
c quantifies the production of vapor during fuel combustion
It is further assumed that the specific enthalpies of the material and the airstreams
are approximately linear functions of the moisture content and temperature:
hS = cPS TS + XS cPW TS
hA = cPATA + X A ( ∆H0 + cPV TA )
where:
cPS , cPW , cPA, and cPV are the specific heats of the solid phase, liquid water, air, and
vapor, respectively
∆H 0 represents the evaporation heat of water
10.6.2 pid cOntrOl and genetic algOrithm-Based cOntrOller tuning

For the presented process configuration, a number of control approaches have been
investigated by Siettos et al. (1999) using fuel consumption as the control variable
and solid particle moisture content at the dryer exit as the controlled variable. It has
been shown that the presented fuzzy and input-output linearization controller out-
performs a proportional-integral-derivative (PID) controller tuned with respect to
the integral of absolute error criteria:
∞
IAE =
∫ e ( t ) dt
0
The main criticism of the PID controller is the higher settling times and a tendency
toward oscillations. The latter may be a particular problem for practical applications,
where smooth control actuations are more desirable. However, it is well known that
tuning of the controller based on classical value functions as, for example, the inte-
gral of absolute error (IAE) or the integral of square error (ISE)
∞
∫
ISE = e ( t ) dt
2
or the time-weighted integral of absolute error (ITAE)

∞
∫
IAE = t e ( t ) dt
0
may result in unsatisfactory behavior due to model uncertainties and unconsidered

system dynamics. In addition, as neither the control itself nor internal states are
reflected in the aforementioned performance criteria, even a well-tuned controller
can result in unacceptable behavior in practical applications. Here, optimization-
based controller tuning can result in significantly better performance by including
terms into the value function that better fit the specific process at hand.
For the presented prototype fluidized bed dryer, a desired process behavior would
be fast convergence to a steady state for a set point change and robustness with
respect to disturbances. Here, the specific changes in the moisture content of the feed
particle are of great practical importance. Both aims can be reflected in the value
function by the 2-norm of the deviation from the desired steady-state XSd
∫(X ( t ) − XS ( t ) )
2
XSd − X S 2 = Sd dt
0
which resembles the familiar ISE criterion. As this fitness function would result in
problems similar to those stated by Siettos et al. (1999), that is, oscillations in the
actuated variable, an additional term should be introduced. Here, different options
are possible. As is traditionally done in optimal control design procedures like LQR,
one could include the 2-norm of the control variable, that is, u(t )2 , or directly add
a penalty on oscillations, that is, non-smoothness, of u(t ). In continuous time the
latter can be achieved by introducing the 2-norm of the second time derivative of
u(t ), that is, d 2u dt 2 2 . In a discrete time setting with a fixed time step, the second
difference, that is, ut −1 − 2ut + ut +1, can be used. For a discrete time signal u(t ) of
dimension/length n, this results in a ( n − 2)-dimensional vector for the second order
difference, which can be represented by multiplication with the second order differ-
ence matrix D, that is, Du.
 
1 −2 1 
 
 1 −2 1 
D= 1 −2 1 
 
    
 1 −2 1 

 
using the Kronecker notation Dij = δij − 2δij −1 + δij −2 with i = 1,…, n and j = 1,…, n .
Therefore, in order to achieve the aforementioned performance criterion and guaran-
tee a smooth control behavior, the following value function is proposed:
J = X Sd − X S 2 + λ Du 2
where λ is a regularization parameter that allows for designing the trade-off between
control performance and smoothness. It should be mentioned that the same regular-
ization term has been successfully applied in signal filtering in Hodrick and Prescott
(1997) where it is the basis for the HP-filter or l2 -trend filtering.
Applying the GA-based tuning controller, the tuning increases closed-loop per-
formance as depicted in Figure 10.7. In particular, the smoothness of the control
variable has been reduced due to the introduced regularization term.
0.35 3000
2500
0.3
2000
0.25 1500
u
XS
0.2 1000
500
0.15
0
0.1 −500
0 0.5 1 1.5 2 0 0.5 1 1.5 2
(a) t (b) t
FIGURE 10.7 Reference change and disturbance rejection XS (a) and u (b) of a convention-
ally tuned (gray) and GA-based (black dotted) PID controller.
The described GA-based controller tuning procedure has been investigated

since the early 1990s, for example, in works by Oliveira et al. (1991) and Wang and
Kwok (1992). The main benefits are its applicability to a variety of system classes,
for example, unstable or non-minimum phase systems, flexibility with respect to
the cost function, and the possibility to simultaneous consideration of multiple
objectives, such as the set point tracking and disturbance rejection. In addition, the
controller structure is not limited to PID controllers, but can be easily extended
to the state feedback and other control structures. In addition, the GA-based PID
controller tuning for drying processes has been investigated, see, for example,
Zhu, Wang, and Qian (2009) and Aryan, Mohammadzaheri, Chen, Ghanbari, and
Mirsepahi (2010).
It should be mentioned, that as an alternative to the described direct,
simulation-based tuning approach, an indirect methodology is also feasible. There,
the GA adjusts input parameters to a given control design procedure. These input
parameters can be the weightings in a LQR design procedure or the pre- and post-
compensators in a H ∞-loop-shaping control design.
10.6.3 genetic algOrithms fOr fuzzy and neural cOntrOl

The increasing complexity of process modeling, variations and uncertainties of
the associated parameters and kinetics, together with the limitations of traditional
control spurred the development of fuzzy and neural controls and founded the area
of intelligent control. Here, fuzzy control aims at incorporating expert knowledge
into the control design, whereas neural control focuses on learning, that is, online
adaptation, based on process measurements. Both approaches have been inves-
tigated for control of drying processes, for example, in Liu et al. (2003), Lutfy
et al. (2015), and Thyagarajan et al. (2000). In fuzzy control schemes, GAs are
typically used to formulate the fuzzy rule base and to adopt the parameters of the
associated membership functions. In neural controls, where conventional learn-
ing approaches may converge to suboptimal solutions due to non-convexity, GAs
are applied as an alternative approach to determine the weight values. In addition,
GAs can be used to optimize the neural network topology, for example, the num-
ber of neurons in the hidden layer.
In the work by Lutfy et al. (2015), a GA was successfully applied to tune an adap-
tive neuro-fuzzy inference system (ANFIS) controller with respect to the ISE. The
control task was to keep the moisture content of grains at the outlet of a conveyor belt
grain dryer at a desired set point. As a control handle the conveyor belt speed was
used. The authors found that even a small population of 30 members over a maximum
of 100 generations resulted repeatedly in satisfactory results. The proposed control
scheme was tested for its robustness applying two disturbances, that is, increase of
the feed moisture content and an increase in air temperature, which has in the given
configuration the same effect as increasing the flow rate of the drying air.
In the research by Thyagarajan et al. (2000), the control of an air heating system,
as an important part of a drying system, was studied. On the basis of a given PID
controller, controlling the air outlet temperature by means of the supplied power to
the heater, the authors designed and manually tuned a fuzzy logic controller. Both
were then used as a reference behavior for a new fuzzy logic controller, having the
same structure as before but being tuned by a genetic algorithm. Comparing the
three derived controllers showed that the combination of an intelligent controller in
combination with a GA-based tuning procedure gives superior performance with
respect to the ISE and ITAE criteria.
10.7 CONCLUSION
In this chapter a number of problems arising during modeling and control of drying
processes were discussed. All of them have been connected to an optimization prob-
lem, where the complexity increases with each example. Although, the first problem
can be well handled by traditional gradient-based optimization techniques, subse-
quent problems typically cannot be treated in the same way, for example, due to
their non-convexity. For these problems in particular, the GA technique provides an
alternative approach with increased robustness and flexibility.
From a practical point of view, design and tuning of control loops is of specific
importance in particular for such intelligent control schemes as fuzzy and neural
controls. Here, controller design and problem-specific parametrization are difficult
due to a lack of theoretical foundation and/or non-convexity. But, also in well-known
PID control loops, the GA-based optimization may result in further improvements,
for example, due to the inclusion of additional terms into the value function.
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11 Deep Probabilistic
Machine Learning for
Intelligent Control
Thomas Trappenberg
CONTENTS
11.1 Artificial Intelligence and Machine Learning ............................................ 189
11.2 Basic Machine Learning for Classification................................................. 191
11.3 Deep Learning ............................................................................................ 194
11.3.1 Representational Learning in Deep Networks.............................. 194
11.3.2 Convolutional Neural Networks ................................................... 196
11.3.3 Unsupervised Learning and Generative Models .......................... 199
11.4 Recurrent Neural Networks (RNNs) ..........................................................200
11.4.1 Temporal Processing with RNNs .................................................200
11.4.2 Gated RNNs ..................................................................................202
11.5 Reinforcement Learning .............................................................................203
11.6 Bayesian Modeling......................................................................................205
11.7 Outlook for Drying and Food Processing ...................................................207
References ..............................................................................................................208
11.1 ARTIFICIAL INTELLIGENCE AND MACHINE LEARNING

Advanced control has always been part of food production, and engineers have
devised many methods for control over the decades. However, there are several rea-
sons to be excited about new technologies and their possible impact on the food
industry. Several developments in the field of data analysis with learning machines
have produced considerable advancements that enable new applications and pos-
sibilities. A prime example is computer vision. Up until a few years ago it was said
that a 5-year-old child could outperform any computer vision system; now we are at
a point where computer vision systems can outperform humans.
In this introductory chapter we want to outline some of the ideas and technologies
that are behind the developments of AI. The acronym AI stands for artificial
intelligence, which is a diverse field of study in itself. Most of it is about strategies and
technologies to enable applications that require advanced control. AI is sometimes
189
divided into two approaches, namely symbolic AI and sub-symbolic AI. Symbolic
approaches are concerned with reasoning systems based on predefined knowledge
representations that are encapsulated in symbols. Such symbolic systems can then
use some form of an explicit logic method for inference to derive some conclusions.
This type of AI has dominated much of the AI field at least since the 1970s. This area
is now often called the good old-fashioned AI, or GOFAI for short.
In contrast to GOFAI, this chapter will review a main area of sub-symbolic AI
that underlies most of the recent advancements which have brought AI to public
attention. More specifically, this chapter reviews machine learning that focuses on
methods to use data to build models that can then classify or forecast data that have
not been seen before. These forecasts are based on the generalizations which the
models learned from the training data. Building models in this way has advanced
considerably to the point where it is thought that we can even learn meaning or
semantic knowledge from data that would build the symbolic knowledge that under-
lies symbolic AI. Hence, there is the possibility that the traditional distinct area of
AI will become much closer.
Machine learning today is a large field of study that comprises many techniques.
Deep learning is an area within machine learning that has recently received a lot of
attention as it has advanced some major application areas such as computer vision
and natural language processing. The excitement is to a large extent based on rep-
resentational learning that is not part of the older techniques such as support vector
machines (SVMs) or random forest classifiers (RFCs). However, this does not mean
that either SVMs and RFCs or even the more specific models mentioned in this book
are obsolete within applications in the food industry. Quite the contrary, the limited
amount of data often requires a more prudent modeling approach, and the robustness
of these methods aids considerably in their applicability to many industrial prob-
lems. However, the new techniques add novel possibilities for solving problems and
increasing efficiencies, which can in turn give some industries an advantage. There
are even approaches that go further than deep learning in considering implications
of data beyond a point estimate as a single model. Such models, which are more
generally discussed within a Bayesian approach, are also outlined in the discussions
in this chapter in an attempt to provide a broad overview of the ideas behind modern
modeling techniques.
The chapter is organized as follows: We start describing a workhorse for machine
learning that has contributed strongly to a first major wave of machine learning
applications in industrial settings, that of support vector machines. This example of
a machine learning method is used here to outline a typical setting of machine learn-
ing, that of supervised learning of binary classification. We will mention briefly ran-
dom forests and a multilayer perceptron to show that there is a variety of algorithms
out there. These classical machine learning methods typically rely on adequately
engineered features. This is where deep learning comes in, and the next section dives
into representational learning and deep neural networks. We include a brief outline
of recurrent networks before commenting on a more fundamental approach and dis-
cussing the probabilistic setting of machine learning and its relation to Bayesian
methods.
Deep Probabilistic Machine Learning for Intelligent Control 191
In this chapter we try to avoid formulas as the intention is to provide a sense of

the variety of machine learning approaches and the reasoning behind them. There
are a number of books in this area that will provide further details. In particular, the
book by Kevin Murphy (2012) is highly recommended as it provides likely the most
comprehensive view of the probabilistic formulation of machine learning that under-
lies the deeper theory of this scientific area. The book by Goodfellow et al. (2016) is
currently the most comprehensive book on deep learning.
11.2 BASIC MACHINE LEARNING FOR CLASSIFICATION

Machine learning is about describing data to build models that can be used to predict
previously unseen data. A classic example is recognizing handwritten characters or
even just digits. Many people have different ways of writing a digit, and such opti-
cal character recognition has been a difficult task to automate. Digit recognition is
an example of classification whereby an image should be classified into 10 possible
categories or classes. The most basic classification, when there are only two classes,
is called binary classification, such as distinguishing two handwritten numbers; say
the numbers 2 and 3. It is always possible to build multi-class classifiers out of binary
classifiers, for example, by providing many one-against-the-others classifiers and
combining them.
Handwritten letters can be captured as bitmaps in which each pixel indicates
the grey value of ink in this pixel. A classic example of such digitized handwrit-
ten examples is the MNIST dataset of LeCun et al. (1998) that consists of 70,000
labeled examples. Here, labeled means that a human provided the answer as to which
digit is shown in each of the 70,000 images. Examples of this data set are shown
in Figure 11.1. In order to feed these data into a machine learning classifier, we could
collect the pixel values in a large vector that becomes the input to our classification
system. In general, we call this an input vector or a feature vector. The feature vec-
tor using the pixel values leads to a large feature vector and leads hence to a high-
dimensional classification problem.
We start our discussion of methods by first assuming we have a low-dimensional
representation of the letters. Assume we already have a way to derive some measures
such as the amount of curvature and maybe the length of strokes combined; these
features are called X1 and X2. A hypothetical distribution is shown in Figure 11.2
for two classes shown as dots and crosses. With such a distribution it is easy to find
a separating line (in general a separating hyperplane if we have more dimensions).
While the decision boundary shown in Figure 11.2a will do the trick, it is possible
that new data points might be misclassified as the line is so close to existing data.
FIGURE 11.1 Examples of MNIST numbers which are grey-scale images of numbers with
28 × 28 pixels.
X2 X2 X2
X1 X1 X1
(a) (b) (c)
FIGURE 11.2 Illustration of a large margin classifier that is the basis of a support
vector machine (SVM). (a) An example of a classification boundary between two classes.
(b) Choosing the decision boundary that maximizes the distance to the nearest points (mar-
gin) of the training data is likely to perform best when fluctuation around the training points
are possible. (c) A nonlinear classification problem that is often solved with a kernel trick in
nonlinear SVMs.
Robust generalization to new data points is really what we want. Therefore, to make
the classification of future data more robust we chose a separating line so that the
margins between this line and the nearest data points are maximized. This is shown
in Figure 11.2b. The closest data points are called the support vectors, and this large
margin classifier is called a support vector machine (SVM) (Cortes and Vapnik 1995).
Linear methods are usually easy to handle and are commonly a good starting
point. Linear models are the most parsimonious with the minimal number of param-
eters. Hence, such models also need only a few data points to determine the param-
eters, which is what learning is about. However, problems with this approach arise
in cases indicated in Figure 11.2c. In this case the data are not linearly separable,
and this is where the SVM stands out. To solve this problem, we can think about a
transformation of the original feature space to a warped space or a higher dimen-
sional space in which the data can be separated linearly. The only problem is that
we usually do not know this transformation. Another problem is that there is usually
noise so that some data points are not where they should be. So, by requiring all data
points in the training set to be classified, we might overfit these data which in turn
decreases the generalization ability of the data.
This is how a nonlinear SVM handles this case: The most important part of
SVMs is how the optimization is implemented. The implementation includes an
allowance that outliers are possible so that misclassification is only a soft constraint.
It thus becomes a soft-margin classifier. Furthermore, the specific implementation of
the optimization technique with the so-called dual form of the Lagrange formalism
allows the application of a so-called kernel trick. All computations in SMVs only
require a calculation of the distance between data points. Therefore, instead of trans-
forming the data from the original feature space to a new one, one can just calculate
the distance between data points in the new transformed feature space using a kernel
function. Since the right transformation is unknown, we can just choose different
kernel functions. The crucial part is usually in the choice of the kernel function
and the associated hyperparameters. In practice there are only a small number of
choices, such as a polynomial kernel or a Gaussian kernel. The latter is also called a
radial basic function kernel, and this has a hyperparameter gamma which specifies
the width of the Gaussian.
SVMs have been instrumental in bringing machine learning methods to indus-

trial applications. They turn out to be quite robust and give good results in many
applications. They are to some extent easy to use as the choice of the hyperparam-
eters turns out to be easy in most applications. SVMs require only a small amount of
training data and are efficient in the sense that the trained classifier just depends on
the support vectors found during the training process. However, the disadvantage is
that they only implement a type of model called shallow, to contrast them with the
deep learning methods discussed later.
There are of course many more methods for classification, and another popular
choice is the so-called random forest classifier (RFC) (Ho 1995). A random for-
est classification is a technique based on decision trees. A decision tree examines
individual features and makes a classification decision based on them. For example,
assume that we want to decide if a patient has a certain illness from some medical
observations such as blood pressure, some skin conditions, and the temperature of
the patient. At each level the algorithm looks for the feature that best predicts the
split of the data at this level. It often uses some theoretic measure such as the infor-
mation gain to determine which feature is best. In this way, decision trees have some
form of feature selection built into them. However, it is also clear that such a method
takes different features into account only in a serial manner; hence it assumes that
there is some form of conditional independence (like other methods such as the naïve
Bayes classifier). In practice it has often been observed that decision trees tend to
overfit easily. This is where the random forest idea comes into play. A random forest
is an ensemble learning method for decision trees that uses several decision trees
with random variations. The final decision is a form of an average or majority vote,
and this helps to regularize the classifier.
A last example of a classical machine learning method is a form of neural network
called a multilayer perceptron (MLP) (Rosenblatt 1961; Rumelhart et al. 1986). Such
a network is illustrated in Figure 11.3. It is made from simple model neurons and
each of them sums its inputs with weight values that are associated with the specific
Node (neuron) Network

W1
W1 X1
X1
W13
X2 X2
W14
…
Y Y
X3
W15
Wn
Xn
X4 W2
W12
(a) (b)
FIGURE 11.3 (a) A model neuron that sums up input values x with the associate weight
of each channel and outputs a value that is a function of this weighted and summed input.
(b) The nodes can be combined into an artificial neural network. A network like the one
shown is called a multilayer perceptron and it feeds the input from the left to produce an
output on the right.
input value of each neuron. The output of each neuron is then put through a nonlinear
transfer function, such as a sigmoid function, to determine the output value of this
neuron. The illustrated MLP has an input layer that represents the feature vector, an
output layer that represents the label vector such as a class membership, and a hidden
layer. It turns out that at least one hidden layer is necessary so that MLPs can solve
arbitrary classifications tasks (if they are solvable), though it might take many hid-
den neurons. These networks are trained by comparing the network output with the
desired output of a training example and adjusting the weights by propagating this
error signal back though the networks to tell earlier neurons what error they made.
This error-backpropagation is formally a gradient descent rule which tries to mini-
mize an objective function by following the slope (gradient) of this function.
The question arises as to which classifier one should use. A famous theorem by
Daniel Wolpert (1996) is called the no free lunch theorem. It stipulates that there
is no single method that covers it all. To some extent, each method builds some
assumptions into it, although the assumptions are often not explicit. It usually
depends on the specific problem and what kind of data is available. For example,
the earlier methods mostly work well if one has a well-formed set of features that
are informative to distinguish between classes. A set of carefully designed medical
measurements is a good example. However, a SVM or RFC, and even the basic MLP
do not work well when classifying content from pictures using raw pixel values. This
is somewhat understandable since each pixel is rather meaningless in itself when it
comes to the identification of an object. It is only in the context of these pixels with
one another and in their special relation that an object appears.
11.3 DEEP LEARNING

11.3.1 representatiOnal learning in deep netwOrks
We just discussed a multilayer perceptron which is a special form of an artificial
neural network. Deep learning is basically just a neural network with many layers.
However, this statement alone does not pay justice to the enormous impact deep
learning has had in recent years. This section outlines this progress and the reason
for new exciting advancements in its applications, such as image processing and
natural language processing.
It can be shown that a multilayer perceptron with one hidden node is a universal
function approximator. This means that such a model can describe any function
arbitrarily well, meaning that the error between the network approximation and the
function to be modeled can be made arbitrarily small given enough hidden nodes.
However, this does not mean that the representation with only one hidden layer is the
most efficient or even appropriate at all. Indeed, it is likely that even for reasonably
complex functions many hidden neurons must be used. Also, using these functions
as ways to describe objects is not a very useful way to do this. For example, consider
describing a table or a chair: It seems more appropriate to describe components, such
as the legs and the armrests, and use them to compose the objects. This is where hier-
archical structures of describing objects seem much more appropriate and efficient.
Object recognition from digital images such as the MNIST letter recognition
data mentioned earlier is an excellent example for the following discussion. Indeed,
image recognition is the type of application to which deep learning has made con-
siderable contributions and revolutionized computer vision. Vision is also a good
example where we can draw from biological systems. Human vision is well studied
and is known to have several stages of processing. The eye itself is somewhat like
a digital sensor in that light-sensitive cells, the rods and cones in our retina, are the
first stage of converting photons that fall onto the retina into a neural signal of spikes.
Then more information processing is done in the eye with several layers of neurons.
These processed signals are then sent via neurons in the optic nerve and through the
thalamus to our cortex. The neurons in the thalamus are sensitive to patterns with a
light area surrounded by less light (on-center off surround) or vice versa (off-center
on surround). This is a basic feature from which new feature detectors are formed
in the cortex. The neurons in the primary visual cortex are known to be sensitive
to edges, and we also know that cells in later sensory areas are sensitive to more
complex patterns. Thus, it seems that our hierarchical sensory system in the brain is
a type of network in which simple features are combined into more complex repre-
sentations from which we can ultimately extract semantic information.
While the idea of a deep network is straightforward, getting it running in com-
puters has turned out to be tricky. Several factors have contributed to the difficulty
of getting neural networks with many layers learning sufficiently with error-
backpropagation. One, of course, is that the number of parameters in the model with
many layers gets much bigger so that overfitting ought to be a problem. However, the
main problem is that training itself has been very slow. This problem has been identi-
fied by Sepp Hochreiter and Jürgen Schmidhuber (Hochreiter 1991) and called the
problem of vanishing gradients. Error-backpropagation, which is the main learning
method of multilayer perceptrons, is a gradient-based method, and this gradient is
getting smaller when backpropagated through the network to earlier layers. This has
particularly been the problem when using a sigmoidal transfer function. Therefore, a
rectified linear unit (RELU) is recommended for use with deep networks.
The vanishing gradients has not been the only problem. The large number of
parameters in the model requires many training examples, and we are talking about
supervised learning here where all the examples have to be labeled. That is, we
not only need example images but also a teacher that tells what is in these images.
Furthermore, the error function that a training algorithm must minimize is very
high dimensional with many parameters, so that finding it without a good start-
ing position seems hopeless. Interestingly, one of the first successful deep networks
appeared in 2006 from the work of Hinton et al. (2006). Hinton and his students
used an unsupervised learning technique called an auto-encoder. An auto-encoder
tries to reconstruct its input. Of course, we could solve this simply by copying the
input vector identical to the output layer. However, the trick here is to use a network
with a bottleneck as shown in Figure 11.4. Thus, the task is to reconstruct a vector,
such as an image, as well as possible with an intermediate representation that is very
compressed. In practice it is good to add noise to the inputs so that these networks
become denoising auto-encoders.
X1 X1
X2 X2
X3 X3
X4 X4
FIGURE 11.4 A auto-encoder takes an input and tries to reconstruct it from an intermediate
smaller representation. This example has only one hidden layer, but networks with more lay-
ers are typically used. Such auto-encoders can learn compressed representations.
The auto-encoder works best when the bottleneck is slowly approached, and a
central idea is that such a hierarchical network represents a hierarchy of filters with
increasing semantic meaning so that the compressed small layer in the middle might
just represent the meaning of the image, such as the number in the MNIST image.
From there on, the next layers are then used to reconstruct an image of a number that
has been identified in the first half of the network. In other words, such a network can
find good representations. The representational learning in deep networks is indeed
a key ingredient to the progress in computer vision and deep learning in general.
Hinton and his students went on to use this representation learned with unsupervised
training in the first half of the network as a starting point for further training with
backpropagation on labeled examples. The unsupervised learning was hence called
the pre-training, and the further supervised learning step was called the fine-tuning
of the parameters (weights) to achieve good recognition rates. Such a deep network
does quite well on the MNIST data set.
While this early success in deep learning based on representational pre-training
has been instrumental in the development and understanding of deep learning,
many of the success stories that followed did not rely on unsupervised pre-training.
There are several components to this further development. One is that a huge data
set of labeled images called ImageNet (Deng et al. 2009) became available and
was offered in the ImageNet competition (http://www.image-net.org). This data-
base had over a million images from 1,000 categories. Standard machine learning
methods have been able to achieve high recognition rates, but the breakthrough
came in 2012 with a convolutional network that is now called AlexNet (Krizhevsky
et al. 2012). Convolutional networks in various forms are now the workhorse of
computer vision.
11.3.2 cOnvOlutiOnal neural netwOrks

Increasing the number of layers in a neural network will drastically increase the
number of parameters (weights) of the model. Also, the all-to-all connections do
not seem the right approach for computer vision. For example, if we have a neu-
ron that recognizes an edge at a specific location in a visual scene, this neuron
would only specialize to this scene location and we would have to learn an edge
W1
7 4 7 3 9 7 2 8 2
0 6 0 5 6 6 3 7 7 1 −1 8 2 −9 4 −2 W2 W3
4 5 5 6 5 3 6 5 0 −1 0 1 −4 0 8 −1 −2 1 −5 W1
6 5 1 5 3 6 3 4 0 −1 0 1 −7 0 1 −1 6 3 −8 W4
4 2 1 1 0 2 5 5 5 −1 0 1 −7 2 1 −3 1 −1 −3 W2
8 4 9 7 9 2 5 0 4 −8 3 −4 −2 3 0 1 W1
9 2 3 3 0 5 2 4 3 −6 −2 −2 −4 4 −1 −2 W5
3 7 2 1 3 0 9 2 7 −5 −7 0 1 7 1 1 W2
2 5 4 3 6 3 5 3 7
(a) (b)
FIGURE 11.5 (a) A two-dimensional convolution. (b) A convolutional neural network with
one hidden layer of one convolutional filter of size two and a fully connected layer to the
output neuron.
detector for other locations. This seems a waste of resources: Not only do we
need to have many edge detectors, but we have to train them from examples of
edges at all possible locations in a visual scene, and edges could be everywhere.
Hence, it seems much better to have one edge detector and to apply this specific
filter to all possible locations in the visual scene. Such an operation is called a
convolution.
The basic operation of a two-dimensional convolution is shown in Figure 11.5.
We consider here a grey-scale image in the form of an intensity matrix, let’s say with
9 × 9 pixels. We apply to this a filter of say size 3 × 3. These numbers are not specific
and can be changed, but it is useful to have a concrete example. The filter is applied
in the following way: The filter is aligned with the upper left corner of the image and
the overlapping elements are multiplied together component wise, and then all these
products are added up or averaged when normalized to the number of elements in
the filter. This value represents the first pixel of the filtered image. The filter is then
moved over to the right by one pixel to calculate the second filtered pixel values.
This operation is then repeated for all pixels in this row and then continued for all
the rows in the image.
Note that we have one problem: We have not specified what we do when the filter
reaches a boundary of the original image. For example, if we stop shifting the filter if
the right edge of the filter reaches the right edge of the image, or if the lower edge of
the filter reaches the lower edge of the image, then our filtered image will be smaller
than the original. In our specific example, we end up with a filtered image of size
7 × 7. In many applications, this is all right. If an application needs to keep the size,
then there are common techniques that can be applied, for example, by adding some
padding to the original image such as zeros (zero padding) or repeating the pixels
from the beginning (periodic padding).
In image recognition tasks we are typically interested in reducing the dimensions
of the original image. We can achieve this in various ways. For example, we can
move the filter across the original image by steps other than one pixel at a time. This
number is called a stride. A stride of 2 would give us an image of size 4 × 4. More
commonly, a separate operation is used after the convolution, such as averaging the
pixels or taking the maximum of the pixels in a certain cell. This is called pooling
Dense Dense
Pooling
Pooling
Stride
FIGURE 11.6 A typical design of a deep convolutional network for image processing.
(average pooling or max pooling). For example, if we average the pixels of consecu-
tive 2 × 2 cells, we would also end up with a 4 × 4 image.
Convolution can be applied to a neural network by replacing the previous
matrix operations with the convolution operation. The separate operations of con-
volution, pooling, and applying the nonlinear transfer function are sometimes
referred to as separate layers in these networks, but this is only notation. An
example network is shown in Figure 11.6. We have thereby expanded the design
to handle color images by providing three channels, each with a color matrix
as inputs. We have also included several filters in each layer, which can also be
seen as separate channels and which is sometimes referred to as a filter bank. A
convolutional layer is typically followed by a pooling layer, and this structure is
repeated several times to create a deep network. At the end it is common to add
some fully connected layers as we used before in the MLP to do the final recogni-
tion. Indeed, we can view the convolutional layers to build a representation and to
translate the image into a feature representation that builds the input to the classi-
fier as discussed in the previous section where we started from high-level feature
representations of the problem.
Deep convolutional networks have been behind much of the success in deep
learning and are now commonly used in computer vision for all kinds of applica-
tions. For example image classification is likely one of the most basic and com-
mon applications, but variations of convolutional networks can also be used for
segmentation (Ronneberger et al. 2015). Today, deep convolutional networks are
certainly a method that has opened many new applications, even beyond com-
puter vision. While we outlined the basic idea behind convolutional networks
with vision problems, the input data can be from many other sources such as
chemical sensors, heat sensors, or a combination of different types of sensors.
This could provide important new control data for process control and quality
control in drying applications.
11.3.3 unsupervised learning and generative mOdels

We have already mentioned some unsupervised learning in the form of auto-encoders
that is used for representational learning. Unsupervised learning, or learning without
labels, is generally about finding structure in data. Such methods often include clus-
tering techniques like k-nearest neighbors, which simply group or classify items as
belonging together if their Euclidean distance is small in the feature space. Thus, all
red items could be classified as cherries and all green items as leaves. While this can
work in some situations, modern machine learning has gone beyond such simplistic
strategies. Clustering should really be done in semantic space, and we have already
discussed how, for example, using deep Boltzmann machines to learn auto-encoders
that can lead to compressed representations in which semantically related instances
can be clustered together. Another example is a dimensionality reduction technique
called t-distributed stochastic neighbor embedding (t-SNE) which uses such deep
network embeddings for dimensionality reduction clearly outperforming traditional
methods such as principal component analysis (PCA).
Another related area is that of generative models and the more recent genera-
tive adversarial networks (GANs). Let us start by outlining what generative models
are and why they are exciting. The classification models discussed so far have been
mainly of a discriminative type. That is, these models try to find rules that separate
examples from different classes. Another strategy is to first model each class itself.
If one has a good model of each class, then it is easy to use this in a deliberative sys-
tem to do the classification. For example, if we want to classify houses versus barns,
then trying to distinguish them from simple factors can be hard. Maybe a house has
more windows, but there are also houses with fewer windows than barns. Of course,
we known barns are used for storage and houses for people to live in, and from this
knowledge it is easy to distinguish instances based on a combination of factors.
With the help of generative models, unsupervised learning can be used as a boot-
strapping method for quasi-supervised learning. By this we mean the following: Say
we have two classes of data points without labels, but we know something about the
statistics of each class, that is, we have a model for each class in some parameterized
form. So, we can use some parameters of the class to label the data points, and then
use the so-labeled data point with supervised learning to enhance the parameters
of the generative models. This strategy is known as an EM algorithm, where the
E stands for expectation that signifies the production of labels from the generative
model, and M stands for maximization, which is the supervised learning step of
maximizing the model parameters with supervised learning.
A key ingredient of such models is therefore generative models. Later we will
discuss a Bayesian model that starts with parameterized hypothesis functions for the
probability distributions of the classes, but deep neural networks can also be used to
learn such distributions. An example is the GAN invented by Goodfellow et al. (2014)
and illustrated in Figure 11.7. Such a network uses information from a discrimina-
tor network to learn to produce inputs that are difficult to classify. In this sense
they are good examples of the class itself and hence a generative model of the class.
Generating artificial examples is a good way to help AI systems.
Generator Discriminator
network network
R
e
a
l
N
o F
i a
s k
e e
FIGURE 11.7 A generative adversarial network (GAN) that trains a discriminator network
to discriminate between real and fake examples of input and a generative model that learns
fake examples of the class. If the discriminator network cannot discriminate between real and
fake inputs, then the generative model is a good model of the class.
11.4 RECURRENT NEURAL NETWORKS (RNNs)

11.4.1 tempOral prOcessing with rnns
One common application domain in modeling is sequence processing whereby a
value of a sequence at a certain position should be predicted from previous data
points. Many applications are sequences at discrete times, like the value of the stock
market at each hour; hence we commonly speak about time instead of sequence posi-
tion. We can apply a regular feedforward network to this problem by taking a fixed
number of data points at consecutive time steps as the input vector to the network
and the sequence value of the next time step as the desired output. We can visual-
ize the generation of the input vector by tapping the input sequence with lines that
incorporate a delay relaying these values to the network, for example by a different
length of the input line as shown in Figure 11.8. Representing a finite portion of a
sequence in this spatial way is therefore often called a tapped delay line. With such a
representation of a time sequence we can immediately apply a deep neural network
for the sequence forecasting.
Xt
Xt−4 Xt−3 Xt−2 Xt−1
FIGURE 11.8 Example of a tapped delay line to represent temporal sequences to a neural
network.
wi
h(t−1) tan h h(t)
Xt−4 Xt−3 Xt−2 Xt−1 Xt
x(t)
(a) (b)
FIGURE 11.9 Different ways of sequence processing with recurrent neural networks.
(a) This network takes as input the value of each time step and predicts the value of the next
time step from the previous input and the previous activation of the hidden nodes. (b) Another
way of representing the operation in the hidden layer of the recurrent network. (Adapted from
Ohla, C., Understanding LSTM networks, GITHUB blog, August 2015.)
We can reduce the network complexity even further if we assume that the previous
time steps only influence the current time point in a transient or diminishing way. This
is often a good assumption. In this case we can pass back the state of the hidden state
with a modulation value (weight) of less than 1. In this way we can implement a form
of exponentially decaying short-term memory. This way of representing a sequence in
neural networks therefore does include feedback connections, usually called recurrent
connections with neural networks. An example is shown in Figure 11.9.
What is interesting in this case, compared to the tapped delay line input to a
purely feedforward network, is that we introduced a form of weight sharing in the
sense that only the relative times of the sequence are important. This assumption
is similar to the position invariant assumption in convolutional networks, and such
assumptions enable much simpler yet larger models through some form of weight
sharing. As stated earlier, the assumption of a diminishing influence from previous
time steps has the form of an exponential decay that is not always appropriate, such
as in language processing, but we will later see how we can amend this architecture
to allow more flexible memory structures.
Of course, in order to build a deeper network we have to include nonlinearities.
The term recurrent comes from the fact that such networks were often viewed with
the analogy of an electric flow in a circuit. Sometimes such an information flow was
termed re-entry. Another way to visualize this simple RNN is shown on the right
side of Figure 11.9. The inputs are now vectors and the connections represent weight
matrices. To train these networks, we have to unfold them in time. This is demon-
strated for the simplest version in Figure 11.10.
wi wi wi
h(t−3) tan h tan h tan h h(t)
x(t−2) x(t−1) x(t)
FIGURE 11.10 Unfolding of a recurrent network in time so that it can be trained with the
error-backpropagation learning algorithm.
By this, the graph of a feedforward network has been simplified and replaced
with a recursive version, to unfold it in time again in order to train it. However, note
that we have to do the unfolding only during training, and that we still have a form
of weight sharing that makes these models much easier than the general ones with
which we started.
11.4.2 gated rnns

As mentioned previously, the basic recurrent network has a form of memory that
takes earlier states into account. However, the influence of these states is exponen-
tially fading, which is not always appropriate. For example, in language processing
it is necessary to take some context into account that might be remote relative to
words at the current time. Or in other words, certain memories should only kick in
at some appropriate time. It is thus important to gate some of this information until
it is useful at a later state of processing. The first network which has taken this into
consideration is called LSTM, which stands for long short-term memory (Hochreiter
and Schmidhuber 1997). This network is illustrated in Figure 11.11.
The gated network introduces an explicit cell state C(t), or intrinsic memory state,
that can be forwarded to the next time step. This cell state can be modified with
two separate operations, a forgetting gate and a write gate that are indicated with
sigmoid units. The new memory state is updated with these factors and of course
the new input. The interesting thing is that the gating functions are also learned with
corresponding weight values and a sigmoidal gain function of the logistic variety to
scale these terms with a value between 0 and 1. Finally, the output for this hidden
node is calculated from this internal memory state. A simplified and popular variant
of LSTM is the called the gated recurrent unit (GRU) (Chung et al. 2014).
Gated recurrent networks like LSTM and GRU are important networks that have
gained increasing popularity for temporal processing. Each processing unit in these
networks has some form of gated memory. An additional step is to take the idea
further in the form of an external memory. The first version of such a model was the
neural Turing machine (NTM), which was later refined as the differentiable neural
computer (DNC). A graphical outline of such a model is illustrated in Figure 11.12.
C(t−1) σ σ C(t)
wf wi tan h
wc wo
h(t−1) σ h(t)
X(t)
FIGURE 11.11 A gated recurrent network called long short-term memory (LSTM) that has
an internal memory state and corresponding gates to erase, write, and read from this state.
Memory
Write Read
Input Output
Control network
FIGURE 11.12 Differential neural computer (DNC) generalizes the architecture of LSTM
to a more general external memory with read, write, and erase functions (called heads).
The architecture is still fully trainable with gradient descent methods as all operations are
differentiable.
11.5 REINFORCEMENT LEARNING

The Chinese board game Go has been the holy grail in AI for many years. Until
recently the most sophisticated computer programs would play at the level of an
advanced beginner. So it was a shock when Google DeepMind’s computer pro-
gram called alphaGo challenged and beat world leading masters (Silver et al.
2016). Self-improving programs have long been at the center of AI, for example,
Arthur Samuel’s checkers program that had already learned to beat its creator in
the 1950s (Samuel 1959). It was actually Samuel who coined the phrase machine
learning. Reinforcement learning (RL) is also a paradigm that seems to be central
to human learning, and neuroscientific signals of reinforcement learning (Schultz
1998) are now frequently studied and applied to explaining human decision making
(Daw et al. 2005).
A good way to think about the RL paradigm is when a precise supervisor in
the form of a loss function that depends on the difference between a desired and
an actual output of a network is not available. In this case we need a critic that can
somewhat approximate a loss function from reward feedback. What we seek to opti-
mize is the total accumulated future reward, which is called the (state-action) value
function or Q-function in the RL, or return in economics. The learner, often called
an agent in this field, must explore the environment with possible actions. A further
difficulty is that feedback in the form of reward is commonly provided only after a
series of actions that the agent takes. Since the feedback in the form of reward is only
given at a later time, this creates a credit-assignment problem in choosing which of
the past actions have been instrumental for the outcome.
There are two principle ways to go about solving a reinforcement learning prob-
lem. One is to learn about the environment, including the consequences of possible
actions and the expected reward for different states of the system. Knowledge about
the environment typically takes the form of a model that describes the transition of
the system with possible actions and a model of the possible reward in each state.
Such a model-based system can then be used to calculate the Q-function, which in
turn determines the policy, a specification of which action we should take in each
state. The specific equations to be solved were derived in the 1950s by Richard
Bellman (Bellman 1952). The main challenge in this approach is the knowledge of
the environmental models. Interestingly, this in itself can be a learning problem,
and there are some examples where supervised learning has been used first to
derive the environmental models (also called internal models in control theory),
before using the Bellman equations to solve the optimization of return.
The second approach is currently the dominant approach in AI when it comes
to reinforcement learning. In this approach we simply act in the environment and
by doing so we sample from experiences. From these experiences we derive the
Q-function in the following way: We assume that there is a Q-value associated with
each state, and we can set this arbitrarily at the start of the algorithm. We then take
a step to a new state, according to the policy of going to the next state with the
highest expected Q-value, and observe the reward we get. We then calculate a tem-
poral difference error between the Q-value before taking the new experience and
the Q-value that we get after taking the step. This new Q-value is made up from
the reward that we receive plus the Q-value of the state that we could visit after
that. While using the greedy policy to go through the state space should eventually
lead to the best return, it is quite important to also explore in this algorithm. This
is often done by taking an action that is not optimal a certain percentage of times.
Such model-free learning by minimizing a temporal difference, called TD learn-
ing, has been the main ingredient in recent applications of RL learning (Sutton and
Barto 1998).
While RL has been formulated for many years, there are a few other ingredients
that have fueled the recent progress. In the past it was common to implement rein-
forcement learning, or more specifically the Q-function, as a large lookup table for
each possible state in the system. Since the state space is a combination of possible
feature values, this often makes the state space combinatorically large, and sampling
in such a space is usually prohibitive. Bellman himself coined the phrase curse of
dimensionality. This seems rather hopeless when applying RL to applications such
as playing video games where the input is a computer screen with many pixels. Here
again, deep learning comes to the rescue. Instead of providing a large lookup table
for all possible states, the Q-function can be approximated with a neural network.
Deep networks, such as convolutional networks, can then transform the images into
a representation that is appropriate for solving the RL problem. Deep reinforcement
learning thus has the ability to solve the curse of dimensionality.
We mention reinforcement learning here to highlight that there are many tech-
niques other than supervised learning in computer vision which have the potential
to transform the industry. In particular, reinforcement learning is useful in complex
control problems where a specific setting of desired control parameters is not known.
In drying applications, it is often the case that we want to optimize the quality, and
how this is related to specific control actions is less clear. Reinforcement learning is
about exploring the control space and coming up with solutions that might not have
been anticipated with more traditional engineering solutions. Experimenting with
such methods seems well suited.
11.6 BAYESIAN MODELING

The previous chapters have outlined how large hypothesis functions can be repre-
sented as neural networks and trained with gradient descent methods. What we need
to stress now is how these functions can represent probability functions. Probability
theory is a method to quantify uncertainty, and it is the formulation and quantifica-
tion within a probabilistic framework that has enabled much of the progress in this
scientific field.
As already stated, neural networks are general functions approximators and can
hence also approximate probability functions. For example, the output of a deep
network for classification has typically a soft-max output function where the values
of each node are restricted between zero and 1 and all add up to 1. The specific value
of the output nodes can hence be interpreted as the probability that an input belongs
to a class specified by the specific output neuron. This probabilistic information is
important for many applications; it is usually not only important to know what is the
most likely class, but also how likely this one is and how close it might be to other
choices.
Representing a probability function and fitting this to data is an important aspect
of modern machine learning. And while the deep learning approaches have been
very successful in describing high-dimensional data, a neural network model is still
rather ad hoc and at this time limited in terms of probabilistic reasoning. Bayesian
models usually go beyond the neural network approach and other more traditional
machine learning approaches by building more explicit models of a specific applica-
tion. The more general scientific field of probabilistic programming is sometimes
viewed as distinct from machine learning. However, there is at least some direct
overlap between these fields. Most importantly, we are in general talking here about
modeling from data, so that these techniques should be seen as complementary
approaches with respect to such application areas.
Bayesian modeling is a large discipline in itself. We only outline some central
ideas, in particular that of a graphical causal model. Central to this approach is that
we are treating the world and observations with uncertainty so that all factors should
be expressed as random variables. Consider the following example: We want to find
out why our car does not move. Maybe the motor does not start or the transmission
is broken. If the motor does not start, then there might be no fuel or no spark, and
so on. The graphical model shown in Figure 11.13 specifies which factors influence
a certain node in this graph. For example, the age of the battery and factors such as
extreme cold can influence whether the battery works. Each of the nodes is repre-
sented as a random variable, each with its own density function, and the graph speci-
fies the conditional dependencies in the system.
Of course, the graph in Figure 11.13 is only a simple example. However, even
such a simple example illustrates the advantage of a causal model. Assume that all
the variables have only 2 possible states, such as yes or no, or working or not work-
ing. Even the variables Age and Temperature could be just viewed as young or old
and cold or warm. Each such binary random variable can be characterized by one
parameter, that of the probability that it is true of false. In the case of conditional
Ignition
Age Temp.
Fuel
pump Alter-
nator Battery
Tank
empty
Trans-
Fuel Spark Clutch Breaks
mission
Motor
starts
Car
moves
FIGURE 11.13 A graphical causal model of factors that can influence if a car is not working.
probabilities, we need to take all possible combinations into account. That is, for a
general multinomial joint distribution function of 14 binary random variables, we
would have to know 214 − 1 = 16383 parameters, which we usually have to esti-
mate from observations (that is, the machine learning part). And this number goes
up exponentially, which makes such models unusable for all but low dimensional
applications. This is of course another illustration of Bellman’s curse of dimen-
sionality. A causal model helps. For example, in the causal model in Figure 11.13
we would only have to estimate 45 parameters, a huge savings. The knowledge of
all the parameters is equivalent to knowing the joint probability of all these events,
and this can be used for inference, meaning to argue about specific probabilities
of events.
In light of the previous discussions of more general learning machines such as
neural networks, the causal models discussed here are very specific models for spe-
cific situations. If a specific Bayesian model is known, this should give us optimal
solutions. Of course the challenge is to come up with models in real-world appli-
cations. Many example applications in the literature are restricted to very specific
experiments with a low number of factors, such as a two-armed bandit problem.
It is good to realize that neural networks can be seen as Bayesian networks, in
particular if we treat the neurons themselves as random variables. With this inter-
pretation we can see a neural network as a model that can learn about factors or
represent semantic factors in a neural code. So, while causal models and deep neural
networks are sometimes seen as opposite ends in the modeling domain, there is
a deep connection between them. But they are also complementary in practice as
causal models are excellent choices when causal relations are known and when the
dimensionality of the problem is moderate. Deep learning, in contrast, has captured
applications with large data sets where specific relations between low-level features
and high-level quantities of interest are less known.
While diving deeper into Bayesian models is beyond the scope of this chapter,
it is important to acknowledge that some probabilistic modeling goes beyond the
standard setting in machine learning which learns the model parameters with a form
of maximum likelihood estimation (MLE) or even maximum a posteriori (MAP).
These forms of learning algorithms take the maximum likely parameters as the
solution to a model learning problem given a specific training set. Training neural
networks with backpropagation can be seen as using the gradient descent function
as a minimization algorithm for a loss function that is the inverse of a likelihood
function. Modern probabilistic modeling techniques take the distribution of possible
solutions into account, which will give a much better estimate of the uncertainty of
the problem as imposed by the data. Many of these techniques are currently lim-
ited to fairly small problems, but augmenting neural networks with such approaches
should be an interesting research direction.
11.7 OUTLOOK FOR DRYING AND FOOD PROCESSING

The intention of this chapter was to give a broad overview of the type of machine
learning methods that have recently gained widespread acceptance, and which
have already advanced in many application areas. There are several reasons why
we believe that there are many opportunities to apply these techniques to drying
processes.
A major reason for the recent popularity of deep learning is the ability to cre-
ate advanced sensors. By this we mean the following. One useful sensor in many
situations is vision, and computer vision is one of the areas that has benefited enor-
mously from deep learning. Digital cameras and imaging chips have become very
affordable, and this popularity itself drives the abilities of such sensors even further.
Processing such data has been difficult in the past, but it has been proven that repre-
sentational learning can modify basic input from cameras to internal representation
that can be used for decision making and control. This is quite important for the
use of vision sensors. While it is easy to derive features such as color of a sample
or reflectivity, correlating these with, say, the quality of the food is often a difficult
or time-consuming challenge. Machine learning is now combining these steps by
simultaneously learning features that can correlate with the predictions of desired
qualifiers. Such techniques are not even restricted to single pictures but could be
extended to the evaluation of the temporal aspects of the drying process.
While we have discussed vision as a good example for the application of machine
learning, it is important to realize that most machine learning methods are not
restricted to a specific input modality. In particular, deep neural networks are easily
applicable to other sensory inputs such as chemical sensors, temperature, humid-
ity, and so on. Combining different modalities is an engineering task that has been
difficult and often ad hoc in the past. This can now be achieved in a flexible man-
ner with neural networks and deep learning. This should open the door to much
better systematic evaluation of new drying procedures. As argued earlier, there is
even room for exploratory methods, such as reinforcement learning, that seem par-
ticularly applicable to optimize drying processes. Most of these methods are now
established enough to be tried because of their reasonable complexity and possible
potential returns.
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Section II
Applications of Intelligent
Control in Drying
12 Automatic Control
of Apple Drying with
Respect to Product
Temperature and
Air Velocity
Barbara Sturm
CONTENTS
12.1 Introduction ................................................................................................. 212
12.2 Heat Sensitivity of Plant Materials ............................................................. 213
12.2.1 Physical and Physico-Chemical Changes in Cell Components......213
12.2.2 Changes in the Nutritional Value and Associated Color
Changes......................................................................................... 213
12.2.2.1 Vitamins....................................................................... 213
12.2.2.2 Phenolic Compounds ................................................... 214
12.2.2.3 Proteins ........................................................................ 214
12.2.2.4 Sugars........................................................................... 214
12.2.2.5 Aromatic Components ................................................. 214
12.2.2.6 Thermal Degradation of Pigments............................... 215
12.2.3 Enzymatic and Nonenzymatic Browning ..................................... 215
12.3 Quality Characteristics of Dried Products.................................................. 216
12.3.1 Mechanisms of Color Changes ..................................................... 216
12.3.2 Shrinkage Behavior....................................................................... 216
12.4 Application of Product Temperature Measurement and Control ................ 217
12.4.1 Drying Kinetics and Development of Temperatures .................... 218
12.4.2 Impact of Process Control on Resulting Product Quality ............ 221
12.4.3 Color Changes and Shrinkage ...................................................... 221
12.4.3.1 Color............................................................................. 221
12.4.3.2 Shrinkage ..................................................................... 223
12.4.4 Stepwise Temperature Changes Based on Phase Transition
Information Retrieved from Product Temperature .......................224
12.4.5 Technological Implementation ...................................................... 225
12.5 Conclusions ................................................................................................. 226
References .............................................................................................................. 227
211
12.1 INTRODUCTION
Drying significantly increases the shelf life of easily perishable agricultural products. At
the same time, however, it negatively impacts the content of valuable components (e.g.,
vitamin C, pigments, polyphenols) as well as organoleptic (e.g., mouth feel, smell, taste,
and visual appearance) and structural characteristics (Crapiste 2000; Sturm et al. 2014).
The extent of these changes usually correlates directly with the process and product
temperatures. Fortunately, in convective drying, particularly in the first drying period, a
product temperature is significantly lower than the process temperature due to the dif-
ference between dry- and wet-bulb temperatures. Critical temperature can be defined
for core components of each product. To preserve these valuable components, the prod-
uct temperature during drying should not exceed the critical one. The majority of con-
vective drying applications account for this constraint by setting process temperatures
that are low enough to not severely damage the products.
Equally, if the goal is to deactivate enzymes such as polyphenol oxidase (PPO),
which catalyze unwanted reactions, exceeding the critical temperatures for these
components can be used to minimize enzymatic browning and other unwanted reac-
tions. Thus, product temperature is one of the most crucial factors regarding product
quality and its preservation.
Commonly, product temperature during processing of foodstuffs (also technical
products) is unknown and assumed to be constant after an initial heating phase.
In the past, the lack of measurement of product temperature was mainly due to the
high costs of noninvasive sensors for its detection. At present, affordable IR sensors
with sufficient accuracy are available on the market, thus integration of product tem-
perature into automatic control becomes possible. However, in industrial practice,
and even to some extent in scientific research, the role of product temperature and
dynamics of its development throughout the process has not been recognized as criti-
cal factor.
Several studies on a variety of commodities have shown that high process temper-
atures can be used at the beginning of the drying process without risk of damaging
the product (Chua et al., 2001; Schultz et al., 2007; Sturm et al., 2014). In conven-
tional drying applications, process settings are frequently based on experimentally
found values, which were determined decades ago and tend to be a single set point
or at best one-step changes, not accounting for the actual product temperature or
changes in the product throughout the process. This negatively impacts product qual-
ity, processing times, and also the process energy efficiency (Mujumdar, 2007).
Over the last couple of decades, the need for the development of dynamic control
systems for drying applications has been recognized (Mujumdar and Wu, 2008) and
substantial research has been conducted on stepwise or periodical changes of dry-
ing conditions (Chua et al, 2001; Martynenko and Yang, 2006; Schultz et al., 2007;
Cuervo Andrate, 2011) and the benefits of changing processing conditions on the
product quality has been proven. However, almost exclusively, the determination of
the optimum point for changing the processing conditions has been iterative rather
than based on the product temperature and/or quality characteristics. Thus, active
product temperature control is a promising alternative to standard procedures that
could simultaneously increase product quality and process performance.
Automatic Control of Apple Drying with Respect to Product Temperature 213
12.2 HEAT SENSITIVITY OF PLANT MATERIALS

Most biological products are sensitive to heat. Shape, size, and arrangement of macro-
scopic and microscopic elements are often subjected to significant changes. Further,
heat can alter colloidal parts and composition of molecules. Initially, the distribution
of components within the raw material is balanced. Because of water removal during
drying, this balance is not maintained due to the movement of components and their
concentration. In combination with high temperatures and/or long processing times,
this leads to a number of biochemical, chemical, and physical changes in the product,
which are detrimental to its quality, for example, loss of valuable components, cell
rupture leading to degradation of pigments and other components, as well as reduced
rehydration capability (Timoumi et al., 2007; Santos and Silva, 2008; Miranda et al.,
2009). The degradation rate is increased by the concentration of soluble components,
in addition to the influx of oxygen into the increasingly dry product.
Understanding the mechanisms and processes that lead to the product damages
described earlier is essentially important for the development of drying strategies which
will enable high retention of desirable components. Further, the knowledge of critical
temperatures for different reactions is necessary to ensure minimal losses. Additionally,
in the case of certain substances, such as enzymes involved in polyphenol oxidation,
maximal destruction of the component is desirable to maintain product quality.
12.2.1 physical and physicO-chemical changes in cell cOmpOnents

In plant materials, most of the reactions affecting product quality occur in the cell
walls and the cytoplasm (Bai et al., 2002; Lewicki and Pawlack, 2003; Mayor et al.,
2005). The goal of the drying process is to preserve initial cell structure and intact
cytoplasm. If the process is carried out incorrectly (e.g., product temperature is too
high or the process is too long), the cell structure is destroyed during drying. As a
consequence, the intercellular area is increased, which prevents the product from
returning to its original structure by rehydration and swelling. The change in the
swelling capacity, which does not necessarily reflect water holding capacity, pre-
dominantly impacts the sensory attributes of the product. The texture turns spongy
and the taste watery. Crystallization of polysaccharides (starch, sugars) exhibits a
similar impact on the water holding capacity of the cells and, thus, the sensory char-
acteristics of the rehydrated product (Rowland, 1980).
12.2.2 changes in the nutritiOnal value and

assOciated cOlOr changes
The loss of micronutrients during convection drying is a function of temperature,
moisture content, duration of the process, and the presence of catalysts (Rovedo and
Viollaz, 1998). In this section the different effects of temperature on vitamins, phe-
nolics, proteins, sugars, pigments, and aromatic compounds are briefly described.
12.2.2.1 Vitamins
The majority of vitamins are extremely heat sensitive, in particular, vitamin A if
oxygen is available, B1 (thiamine) in acidic solutions, B2 (riboflavin), beta-carotene,
biotin acid, C, D, E, nicotinic acid, and pantothenic acid (Ryley and Kajada, 1994).
Vitamin degradation during drying is a complex process and, besides temperature,
also depends strongly on water solubility, as well as the presence of light and oxygen.
It is further influenced by the pH and can be chemically (metals, other vitamins) or
enzymatically PPO catalyzed (Lewis and Heppell, 2000).
Vitamin C loss during heat treatment is highest in non-citrus fruits (Fennema,
1985). For the evaluation of vitamin C losses during processing, the ascorbic acid
content is most commonly evaluated (Rovedo and Viollaz, 1998; Timoumi et al.,
2007; Santos and Silva, 2008; Miranda et al., 2009). A shortening of the drying time
has shown positive effects on vitamin C retention (Goula and Adamopoulos, 2006)
and, thus, it can be assumed that a shorter drying time with increased temperatures
at the beginning of the process can lead to similar or even higher retention of vitamin
C compared to long drying times at low temperatures.
12.2.2.2 Phenolic Compounds

Polyphenols themselves are heat sensitive and, thus, the amount of phenolic com-
pounds in a product is temperature dependent and decreases accordingly with tem-
perature and drying time. The exception is when polyphenols are nonenzymatically
converted into phenols (Vega-Galvez et al., 2009). In the latter case, the total pheno-
lic content might stay stable or even increase due to this conversion.
Polyphenols are degraded by PPOs in the presence of oxygen. Reaction rates
increase with increasing temperatures until PPOs themselves are thermally inac-
tivated. The reaction products often are of brownish color (tannins) and can create
off-taste of the product.
12.2.2.3 Proteins
Proteins are highly susceptible to thermal denaturation and other factors, such as the
pH level (Eisenbrand and Schreier, 1995). A consequence of protein denaturation
is that amino acids are often released. These can further react with other chemical
compounds via the Maillard reaction (Di Scala et al., 2011).
As a result of proteins denaturation, some amino acids (e.g., Lysine, L-arginin
and L-Histidin) are lost. The loss of lysine is particularly critical due to its nutri-
tional importance (Fennema, 1985). Most literature regarding the damage of pro-
teins throughout the drying process relies on the investigation of free lysine, which
is easily measurable and in nutritional science is often used as an indicator of the
degree of damage to proteins caused by drying (Bolin and Steele, 1987).
12.2.2.4 Sugars
Sugars naturally present in fruits as mono- or polysaccharides play a major role
in the taste of produce, however, they are highly susceptible to heat (Eisenbrand
and Schreier, 1995). When sugars are heated, they undergo caramelization or the
Maillard reaction (see nonenzymatic browning).
12.2.2.5 Aromatic Components

Components which define the aroma of a product are predominantly more vola-
tile than water. Thus, the drying process is usually accompanied by high losses of
TABLE 12.1
Stability of Pigments against Sustained Heat Treatment
Pigment Natural Color Sustained Heat Treatment
Chlorophyll Green Dull olive green, grey-brown, olive-yellow
Carotenoid Yellow, red, orange, pink Less intensive color
Betalains Purple-red, sometimes yellow-orange Pale when pigments bleed out of tissue
Anthoxantine White Dark when temperatures are too high
Source: Bennion, M., The Science of Food, John Wiley & Sons, New York, 1980.
aroma (Boudhrioua et al., 2003; Hawlader et al., 2006), particularly in the first dry-
ing phase. This is due to the capability of these substances to diffuse to the material
surface without resistance. In water solutions of carbohydrates, as well as in amor-
phous carbohydrates, volatiles diffuse slower than water or are bound by amorphous
carbohydrates with decreased water activity. Using very high drying rates at the start
of the drying process leads to the development of a dry layer on the surface of the
product (case hardening), which creates a barrier for the diffusion of a large aroma
molecule (Thijssen, 1979). Thus, a selective retention of aromas can be achieved.
12.2.2.6 Thermal Degradation of Pigments

Pigments define the color of fresh fruits and are very sensitive to enzymatic and
nonenzymatic browning and other degradation reactions during drying and conse-
quent storage (Marty-Audouin et al., 1992). Pigment discoloration increases with
increasing temperatures (Vega-Galvez et al., 2009), thus leading to a less intensive
product color. Table 12.1 gives an overview of the impact of sustained heat treatment
on pigment degradation in terms of color changes.
12.2.3 enzymatic and nOnenzymatic BrOwning

Fruits are highly susceptible to browning reactions during drying and consequent
storage (Krokida et al., 1998). Enzymatic phenol oxidation and nonenzymatic
browning (i.e., Maillard reaction, caramelization, etc.) are the two main categories
of these reactions (Manzocco et al., 2000).
In apples, the enzyme which is predominantly responsible for enzymatic brown-
ing, is PPO. Multiple forms of PPO degrade phenolic components into polymeric
products (tannins), which are brown in color. In certain cases, the primary reaction
products of enzymatic oxidation are color and odorless, but are subsequently react-
ing in nonenzymatic pathways to components with off-odor and color (Sturm and
Hensel, 2016). Enzymatic browning depends on a multitude of factors such as the
concentration of phenolic compounds, temperature, pH, availability of oxygen, and
the presence of vitamin C (Severini et al., 2003). Whereas an increase of temperature
leads to an increase of reaction rates, PPOs are relatively thermally instable and tem-
peratures above 50°C lead to a reduction of PPO activity. Thus, the enzymes can be
inactivated at critical temperatures from 50°C to 80°C (Yemenicloglu et al., 2006).
Further, with a decrease of water activity, PPO activity is significantly reduced since
the majority of enzymatic reactions occur at the surface of the material (in presence
of oxygen). Therefore, if the surface of the product is rapidly dried to low water con-
tent, enzymatic browning can considerably be reduced (Sturm et al., 2012).
Along with water removal, the remaining soluble substances are accumulating
within the product. The accumulation of dissolved carbohydrates, proteins, or pro-
tein components (amino acids) can lead to reactions between reduced sugars (par-
ticularly aldoses) and amino acids (Maillard reaction). Even moderate heat treatment
can cause Maillard reactions during processing. Certain components produce pri-
mary reaction products which are odorless and tasteless (e.g., aldoses to amadori
components). These primary reaction products, however, can further contribute to
product off-tasting or browning during drying or consequent storage (Kröll and
Kast, 1989; Awuah et al., 2007; Baltes, 2007).
12.3 QUALITY CHARACTERISTICS OF DRIED PRODUCTS

The quality of dried foodstuffs is influenced by a multitude of factors. These can lead
to very different requirements for process control, which are not always compatible.
The best retention of cell structure and the rehydration characteristics can be reached
at low process temperatures (Vega-Galvez et al., 2009). For a high retention of aromas,
however, the initial drying should be conducted at comparatively high temperatures
(Thijssen, 1979). In this section the focus is solely on color change and shrinkage.
12.3.1 mechanisms Of cOlOr changes

The color of a dried product depends directly on the drying time, drying method, and
product temperature. Further, the type of product, origin, and pretreatment influence
the achievable color quality (Kröll and Kast, 1989; Brennan, 2006).
Color changes are predominantly caused by enzymatic and nonenzymatic reac-
tions on the surface of the product and pigment degradation (particularly carotenoids
and chlorophyll), as discussed previously, but do not depend on the water content of
the product (Mujumdar, 2000; Maskan, 2006).
Color is often used as a measure for performance of a drying process as it is
directly linked with chemical and biochemical degradation. Further, color is one of
the primary quality features that determines consumer preferences. Thus, it is desir-
able to control the drying process in a way to maximize color retention (Chen, 2008).
12.3.2 shrinkage BehaviOr

Plant biomaterials are very heterogeneous and can be displayed as three-dimensional
solid matrices containing high quantities of water and commonly consist of biopoly-
mers. The particular structure of a material and its mechanical characteristics in the
equilibrium state define its shape, size, and volume. Water removal from the system
causes stresses and strains, leading to shrinkage and/or collapse of the cell structure
(Lewicki and Pawlak, 2003; Mayor and Sereno, 2004; Lewicki and Wiczkowska,
2006). Shrinkage impact the drying behavior, thermal conductivity (Balaban and
Pigott, 1986), and diffusion coefficient (Nunez Vega, 2015).
The impact of the drying temperature depends strongly on the temperature range. For
many materials the degree of shrinkage increases with increasing temperature. However,
if a product temperature supersedes critical (at the start of the process), case hardening can
lead to a stabilization of the outer structure, even if the inner matrix collapses (Mayor and
Sereno, 2004). The drawback of this effect is the increased resistance for water movement
to the surface of the product and thus the increased drying time. Conversely, Lewicki and
Jakubszyk (2004) found that shrinkage of apples decreases with increasing temperature
and that this effect is only amplified when the critical temperature is reached.
Minimization of shrinkage is advantageous as the decrease of density is desirable
for consumer acceptability.
12.4 APPLICATION OF PRODUCT TEMPERATURE

MEASUREMENT AND CONTROL
The role of product temperature and its potential use as a control variable were investigated
by Sturm (2010). For the study, two independent sets of experiments were conducted:
1. One-step conventional air temperature-controlled drying at 5 air tem-

peratures, 5 dew point temperatures, and 5 air velocities, measurement of
product temperature, and online-inline measurement of color changes and
shrinkage
2. Product temperature-controlled drying at 5 product temperatures, 5 dew
point temperatures, and 5 air velocities with measurement of air tempera-
ture and online-inline measurement of color changes and shrinkage
Results were compared regarding drying time, color changes, shrinkage, and rehy-
dration behavior of the product and how these factors might correlate to the devel-
opment of product temperature and air temperature, respectively. Further, direct
comparisons were drawn for identical nominal process temperatures.
A laboratory dryer was developed, which included an array of functionalities for
noninvasive measurement and control of air and product temperatures, air humidity
and velocity, as well as measurement of color and two-dimensional shrinkage (CCD
camera) (Sturm, 2010; Sturm et al., 2012, 2014). Due to practical considerations
regarding heat outputs and resulting maximum air temperatures in industrial dryers,
the control was set up in such a way that a maximum air temperature could be set
when product temperature was controlled.
Dew point temperature and air velocity within each experiment were kept con-
stant over the process for reasons of comparability. Consequently, when product tem-
perature was controlled, relative air humidity and air mass flow varied according
to the relation between absolute water content in the air and temperature and the
thermal expandability of air (Sturm, 2010). All relevant temperatures and air humid-
ity, sample weight, and RGB images were acquired on-line and in-line automatically.
A lumped parameter model of the drying material was developed which imple-
ments automatic process control. The model allows the in-depth analysis of tempera-
ture, water and vapor content, shrinkage, and other quality changes during surface
temperature controlled drying (Nunez Vega et al., 2016).
12.4.1 drying kinetics and develOpment Of temperatures

The study showed that product temperature-controlled drying leads to significantly
different results compared to air temperature-controlled drying (Figure 12.1). The
resulting drying kinetics largely agree with the results of Srikiatden and Roberts
(2005) for isothermal drying of apples.
Air temperature-controlled drying can be described using Fick’s diffusion model.
This is not true for product temperature-controlled drying.
During air temperature-controlled drying, both the dew point temperature and
air velocity have a significant impact on the drying kinetics and quality parameters.
For product temperature-controlled drying the extent of these factors is significantly
reduced.
Analogously to the rapid increase of product temperature during air temperature-
controlled drying, in product temperature-controlled drying air temperature
decreases rapidly. In both cases, the development of color changes is directly linked
with the temperature development.
When using product temperature as the control variable, the applied tempera-
ture level, especially at low temperatures, has a particularly high impact on the
drying kinetics and quality changes. At high temperatures, due to the limitation
to an air temperature of 100°C, the results of the tests were more similar. Air
velocity only has a minor impact on the duration of the drying process during
product temperature-controlled drying. A potential explanation is the great vari-
ance in the temperature developments. The higher the air velocity, and thus the
air mass flow the products are exposed to, the quicker the temperature reduces.
At low air velocities, however, the air temperature level stays high for a prolonged
time. This causes a similar heat transfer as at higher rates and lower tempera-
tures. The impact of a dew point temperature on the drying process significantly
depends on the set product temperature and, thus, the resulting relative air humid-
ity levels that develop throughout the process. At low temperatures, dew point
400
400
322.5
323
Drying time (min)
Drying time (min)
245
245
167.5
168
90
90
40
2.0
45 44
)
(°C
2.7 53 48
) 2.0
re
(°C
tu
3.4 2.7
60 ure 3.4 51
ra
at
per 4.1
pe
Velocity (m/s) 4.1 68 4.8 55

Tem
m
Velocity (m/s)
Te
4.8 75
(a) (b)
FIGURE 12.1 Drying time for air temperature (a) and product temperature (b) controlled
drying as a function of air velocity and process temperature.
temperature hardly impacted drying characteristics, whereas at high temperatures,

distinctive differences were observed.
Figure 12.2a depicts representative drying curves for air temperature- and product
temperature-controlled drying at the same nominal temperature of 60°C. In product
temperature-controlled drying, after an initial warming-up phase, the moisture con-
tent decreases significantly quicker at the outset for product temperature-controlled
drying and reduces notably with reducing air temperature thereafter. Several distinct
phases in the development of air temperature can be identified. Air temperature rises
(in this case up to 100°C) until the target product temperature is reached. Air tem-
perature then rapidly reduces and goes into a transition phase of less rapid decrease
until the second inflexion point is reached (transition into the third drying phase),
which is followed by a second period of rapid decrease of air temperature. When air
temperature is controlled, product temperature increases rapidly until the wet-bulb
temperature is reached. A first and second inflexion (after transition between the
second and third drying phases) points can be observed at ca. 80 min and 120 min.
The comparison of the impact of both strategies as a function of water content
(Figure 12.2a) clearly shows that the respective changes/transitions occur at similar
moisture contents (2 gW/gDB ± 0.2 gW/gDB).
1.0 100
ϑP,A
0.8 80 Temperature ϑ, °C
Moisture ratio, −
ϑP,P ϑA,P
0.6 60
0.4 40
0.2 XP 20
XA
0.0 0
0 40 80 120 160
(a) Time t, min
100
ϑP,A
80
Temperature ϑ, °C
60 ϑP,P
ϑA,P
40
20
0
0 0.2 0.4 0.6 0.8 1
(b) Moisture ratio, −
FIGURE 12.2 Exemplary development of moisture ratio (X A, Xp), air and product tem-
peratures for air temperature (ϑA,P) controlled and product temperature (ϑP,A ϑP,P) controlled
drying as a function of time (a) and air and product temperatures as a function of moisture
ratio (b) at the same nominal temperate (60°C).
120
VA = 2.0 m/s
90 VA = 3.4 m/s
Temperature ϑ, °C
VA = 5.6 m/s
60
30
0
0 50 100 150 200
Time t, min
FIGURE 12.3 Product temperature (ϑP) for air temperature-controlled drying at 60°C for
three different air velocities (VA) as a function of time. (From Sturm, B., Influence of process
control on drying kinetics and product attributes of sensitive biological products (in German),
Forschungsbericht Agrartechnik 491 des Arbeitskreises Forschung und Lehre der Max-Eyth
Gesellschaft Agrartechnik VDI (VDI-MEG), Witzenhausen, Germany, 2010.)
120
ϑDP = 10°C, VA = 2.6 m/s

ϑDP = 10°C, VA = 4.3 m/s
90
ϑDP = 25°C, VA = 2.6 m/s
Temperature ϑ, °C
ϑDP = 25°C, VA = 4.3 m/s
60
30
0
0 50 100 150 200
Time t, min
FIGURE 12.4 Air temperature (ϑA) for product temperature-controlled drying at 47.5°C for two
different air velocities (VA) and two dew point temperatures as a function of time. (From Sturm, B.,
Influence of process control on drying kinetics and product attributes of sensitive biological prod-
ucts (in German), Forschungsbericht Agrartechnik 491 des Arbeitskreises Forschung und Lehre
der Max-Eyth Gesellschaft Agrartechnik VDI (VDI-MEG), Witzenhausen, Germany, 2010.)
Those effects could be observed for all process settings for both strategies as
depicted in Figures 12.3 and 12.4. During air temperature-controlled drying, apply-
ing otherwise identical conditions and varying air velocity led to a shift in the posi-
tion of the transitions phases in product temperature (Figure 12.3), with the earliest
transition being related to the highest air velocity and vice versa.
When product temperature is controlled, a reduction of air velocity leads to a

prolonging of the first falling rate of air temperature to compensate for the reduced
mass flow. An increase of dew point temperature leads to a sharper drop in air tem-
perature, which is directly related to the different wet-bulb temperature due to the
higher initial moisture content in the drying air.
Thus, it could be shown that product temperature can deliver valuable informa-
tion on the state of the product at any given time. This information, combined with
color changes and shrinkage, can help to optimize a drying process.
12.4.2 impact Of prOcess cOntrOl On resulting prOduct quality

The impact of process parameters on ΔE is significantly lower when product tem-
perature is controlled. The same is true for two-dimensional shrinkage.
12.4.3 cOlOr changes and shrinkage

12.4.3.1 Color
During product temperature-controlled drying, high set temperatures did not
necessarily lead to increased changes of the color as compared to lower tempera-
tures. On the contrary, in some cases color changes were reduced at higher tem-
peratures. However, in the second phase (X ≤ 2 gW/gDB), the total color change
increased more rapidly. Color changes in the second phase were almost identical
for most of the process settings. The best results for color changes were achieved
using high temperatures. Dew point temperature and air velocity did not have a
significant influence on the resulting color during product temperature- controlled
drying.
During air temperature-controlled drying, color changes were the lowest at high
temperatures, combined with high air velocities. However, even at low temperatures,
application of high air velocities resulted in a reduced color change (Figure 12.5).
Dew point temperature also affected the outcome, though its significance was much
lower.
While the resulting color changes reduced significantly during air temperature-
controlled drying (Figure 12.5), during product temperature-controlled drying such
effect of air velocity was not observed (Figure 12.6). The latter might be explained
with the compensation of reduced air mass flow through increased temperatures and,
thus, a similar resulting heat and mass transfer between the product and the air in
the first stage of drying.
For both strategies, however, a clear increase of color change as a function of water
content can be seen at around 2 gW/gDB. This coincided with the rapid increase of
product temperature in air temperature-controlled drying and the sharp decrease of
air temperature in product temperature-controlled drying. This effect was observed
for all process settings for both strategies.
Product temperature-controlled drying is distinguished by a very small color
change that goes along with a very high drying rate until the transition into the
second phase. Setting a constant air velocity in these cases is not necessary as the
10
VA = 2.0 m/s
8 VA = 3.4 m/s
VA = 5.6 m/s
6
ΔE
0
0 2 4 6 8
Moisture content X, gW/gDB
FIGURE 12.5 Total color difference ΔE for air temperature-controlled drying at 60°C for
three different air velocities (VA) as a function of moisture content. (From Sturm, B., Influence
of process control on drying kinetics and product attributes of sensitive biological products
(in German), Forschungsbericht Agrartechnik 491 des Arbeitskreises Forschung und Lehre
der Max-Eyth Gesellschaft Agrartechnik VDI (VDI-MEG), Witzenhausen, Germany, 2010.)
10
VA = 2.0 m/s
8 VA = 3.4 m/s
VA = 4.8 m/s
6
ΔE
0
0 2 4 6 8
FIGURE 12.6 Total color difference ΔE for product temperature-controlled drying at 47.5°C
for three different air velocities (VA) as a function of moisture content. (From Sturm, B., Influence
of process control on drying kinetics and product attributes of sensitive biological products
[in German], Forschungsbericht Agrartechnik 491 des Arbeitskreises Forschung und Lehre der
Max-Eyth Gesellschaft Agrartechnik VDI [VDI-MEG], Witzenhausen, Germany, 2010.)
impact of air speed is overcompensated by the resulting air temperature, as long as
enough air is provided to sufficiently remove the water from the product surface.
Conversely, in air temperature-controlled drying, an increase of air velocity leads
to a significant reduction of color changes and shrinkage as well as a shortening of
the overall process (Sturm et al., 2012).
12.4.3.2 Shrinkage
Two-dimensional shrinkage is clearly impacted by the set temperature. Initially, lin-
ear shrinkage can be observed, which increases at a later stage of drying. During
air temperature-controlled drying, shrinkage decreases with increasing temperature
levels. Besides the drying conditions, the initial moisture content plays a significant
role for the absolute shrinkage and the position of the inflexion point. At low tempera-
tures, high air velocities lead to a reduction of the observed shrinkage (Figure 12.7a).
This effect is significantly reduced with increasing temperatures. Thus, it can be
concluded that the increase of initial temperature results in a stabilization of the
outer structure as reported by Lewicki and Jakubczyk (2004).
During product temperature-controlled drying, area shrinkage is also signifi-
cantly influenced by the temperature level and develops similarly to air temperature-
controlled drying throughout the process (Figure 12.7b). However, the degree of
shrinkage is significantly reduced. Further, air velocity only significantly impacts
shrinkage at high temperatures, where a low velocity results in a significant increase
in shrinkage. Thus, while the exposure to low air velocities and increased resulting
temperatures does not negatively impact color of the product, it directly negatively
affects shrinkage.
In conclusion, for both strategies there is a clear dependence of shrinkage on air
velocity; however, in air temperature-controlled drying the effect is the biggest at
low temperatures, whereas in product temperature-controlled drying it is the other
way around.
0.86 0.86
0.84 0.84
Shrinkage (−)
Shrinkage (−)
0.81 0.81
0.79 0.79
0.77 0.77
4.2 75.0
4.2 55
3.8 67.5
) 3.8 51
3.4 60.0 °C )
e( 3.4 48 (°C
3.0 52.5 tur ur
e
Velocity (m/s)
pera Velocity (m/s) 3.0 44 rat
2.6 45.0 em 2.6 40 mpe
T
(a) (b) Te
FIGURE 12.7 Shrinkage for (a) air temperature- and (b) product temperature-controlled
drying as a function of different process temperatures and air velocities. (From Sturm, B.,
Influence of process control on drying kinetics and product attributes of sensitive biological
products [in German], Forschungsbericht Agrartechnik 491 des Arbeitskreises Forschung
und Lehre der Max-Eyth Gesellschaft Agrartechnik VDI [VDI-MEG], Witzenhausen,
Germany, 2010.)
12.4.4 stepwise temperature changes Based On phase transitiOn

infOrmatiOn retrieved frOm prOduct temperature
For both strategies, a clear change for both speed of temperature and color change devel-
opment could be identified. Drying with constant set values (air and product tempera-
ture) for both cases had a potentially negative impact on the overall result. Thus, a step
change optimization of the process has been developed (Sturm and Hofacker, 2010).
In principle, either product or air temperature control or even a combination of
these two could be implemented. However, independent of the strategy, it is crucial
to know the relevant transitions from one phase to the next one, which can be easily
and effectively determined through the temperature information (air temperature
in the case of product temperature control and vice versa). For the best result, the
two inflexion points (at the start and the end of the transition) need to be chosen
for a change in process settings. Figures 12.8 through 12.10 show the results of the
application of these principles to apple drying in a three-stage process. Air tempera-
ture was kept constant until the first inflexion of product temperature, and then air
temperature was significantly decreased until the second inflexion was reached, and
increased again thereafter (Figure 12.9). This decrease in air temperature resulted
in a significantly reduced drying rate throughout the transition phase, allowing for
moisture migration from the inside of the product to be the dominant process.
A shift in settings at 2 gW/gDB resulted in a halting of color changes in the region of
X = 2 gW/gDB and ca X = 0.8 gW/gDB (Figure 12.10). Only after the renewed increase
of air temperature, color only started to change again after the renewed increase of
air temperature.
Thus, the implementation of information on product temperature into the process
control has shown promising results for the maintenance of high product quality in
terms of color changes and shrinkage.
120 8
90 6
ϑA
Temperature ϑ, °C
ϑP
60 4
30 2
X
0 0
0 50 100 150 200
Time t, min
FIGURE 12.8 Air temperature (ϑA), product temperature (ϑP), and moisture content (X) as a
function of time for stepwise air temperature-controlled drying (ϑDP = 17.5°C, VA = 3.4 m/s).
(From Sturm, B. and Hofacker, W., Control strategies for stepwise drying of agricultural
products, 17th International Drying Symposium, Magdeburg, Germany, October 3–6, 2010.)
120 0.16
90 0.12
ϑP
Temperature ϑ, °C
dX/dt, kg/(Kgs)
60 0.08
ϑP
30 0.04
dX/dt
0 0.00
0 2 4 6 8
FIGURE 12.9 Air temperature (ϑA), product temperature (ϑP), and drying rate (dX/dt) as a func-
tion of moisture content (X) for stepwise air temperature-controlled drying (ϑDP = 17.5°C, VA =
3.4 m/s). (From Sturm, B. and Hofacker, W., Control strategies for stepwise drying of agricultural
products, 17th International Drying Symposium, Magdeburg, Germany, October 3–6, 2010.)
10 1.0
S
8 0.8
Area shrinkage S, −
6 0.6
ΔE, −
4 0.4
ΔE
2 0.2
0 0.0
0 2 4 6 8
FIGURE 12.10 Total color difference ΔE and two-dimensional shrinkage (S) as a function of
moisture content (X) for stepwise air temperature-controlled drying (ϑDP = 17.5°C, VA = 3.4 m/s).
(From Sturm, B. and Hofacker, W., Control strategies for stepwise drying of agricultural prod-
ucts, 17th International Drying Symposium, Magdeburg, Germany, October 3–6, 2010.)
12.4.5 technOlOgical implementatiOn

The control of the drying process measuring and/or automatically controlling prod-
uct temperature allows for the optimization of drying processes (in terms of drying
time and quality changes) with minimal changes to the physical system.
In the first drying phase, high air temperatures can be applied, and they are even
desired if reduction of shrinkage is a main goal of the processing. This reduction can
potentially be explained with the increased evaporation rate at high temperatures at the
start of the process, which is supported by Bai et al. (2002). The transition to the second
phase can be determined based on a time window, a product temperature window, or
preferably an increase of the velocity or temperature changes if the development of
product temperature is known. This can then be used to trigger a change in process
settings. In a laboratory dryer, the latter can easily be realized using a PLC or a single
board computer-based controller. The controller continuously compares the current
temperature with the temperature of the last time increment. As soon as the change of
temperature is superseding a set trigger value, the next process settings can be activated.
Noninvasive temperature measurement can be implemented even into existing
dryers with comparatively small modifications to the system. The data received can
directly be integrated into the system for optimizing the process. Direct integration
of the product temperature sensors (4–20 mA or 0–10 mV) into the control of the
dryer can also be achieved with minimal disruption.
In pilot- and industrial-scale cabinet dryers, the positioning of the sensors is chal-
lenging. Initially this is independent of whether a noninvasive or invasive method is
chosen or if the dryer is operated in overflow or throughflow function. In standard
systems a drying front will be established, where particles close to the air inlet dry
faster than particles in other zones. Thus, it is crucial to establish the correlations
between the position of the particles and the stage of drying to avoid a change in pro-
cess settings at an inappropriate time. Optimized process settings and hardware set-
ups need to be found that minimize the position-dependent influences on the product
quality. This is particularly challenging in existing dryers.
First trials on pilot plant scale have shown that an increase of air velocity can
help to reduce these differences, with high air velocities being additionally advanta-
geous regarding the drying behavior of the product. Positioning of the sensors does
not solely depend on the drying front. Heterogeneity of the product and its specific
drying behavior additionally influence the optimum position. Examples for very het-
erogeneous products with a high initial moisture content are apples, mangoes, papa-
yas, and tomatoes. In the conducted tests, initial moisture content of apples varied
between 5.5 and 8.3 gW/gDB (Sturm, 2010). If the product temperature of a particle
with comparably low initial moisture content is measured, the resulting drying con-
ditions can have detrimental effects in particles with a significantly higher initial
water content and vice versa. In newly built devices, the compensation can be imple-
mented through optimal air distribution, sufficient air speed, and short airways as
shown by Amjad et al. (2015).
Belt dryers are generally more suitable for the implementation of product
temperature-controlled drying. The dryer can be divided into specific zones and air-
flow paths can be optimized to accommodate the necessary airflow characteristics
for product temperature control without detrimental effects on parts of the product.
12.5 CONCLUSIONS
Commonly, the success of a drying process is evaluated by the comparison of prod-
uct characteristics before and after drying. Consequently, the dynamic changes of
product characteristics during the process and their correlation to moisture content
cannot be accounted for in optimization of the process. Through continuous nonin-

vasive measurement of color and shrinkage as well as air and product temperatures,
these interdependencies can be identified and consider for use in optimization with-
out significant complexity and expenditures.
Product temperature shows a great potential for both continuous monitoring of
the product and the changes it undergoes, particularly in combination with color
measurement, and as a control variable. The identified advantages of the knowledge
of product temperature and its use for control are:
1. Shortening of drying time (at the same nominal process temperature), lead-
ing to smaller devices and identical or improved quality characteristics
2. Lowering of drying temperature (at the same drying time), resulting in
improved quality
3. Better knowledge of dynamic changes the product undergoes, which helps
to develop improved and more sophisticated drying strategies
4. Reduction of energy consumption through optimized drying (also in com-
bination with the use of air speed)
The results of the research on apples give valuable information on the drying behav-
ior of fruits as influenced by drying conditions and control strategy. It follows that
the lowest color changes were achieved at high temperatures and high air velocities.
However, the experiments also show that a correlation between the color of the prod-
uct and the nutritional value requires further research.
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13 Quality Optimized Apple
Drying Using a Novel
Reference Value and
Considering the “Pseudo
Wet-Bulb Temperature”
Anna-Maria Nuñez Vega
CONTENTS
13.1 Introduction ................................................................................................. 232
13.2 Quality Changes During Drying ................................................................. 233
13.2.1 Color Changes ............................................................................... 233
13.2.2 Shrinkage ....................................................................................... 233
13.2.3 Cumulated Thermal Load ............................................................. 234
13.3 Characterization of the Drying Behavior .................................................... 236
13.3.1 Drying Curve ................................................................................. 236
13.3.2 Characterization of the Drying Behavior of Air-Dried Apple ...... 237
13.3.2.1 Raw Material ................................................................ 237
13.3.2.2 Experimental Setup ...................................................... 237
13.3.2.3 Quality Determination .................................................. 237
13.3.2.4 Results ........................................................................... 237
13.4 Development of Drying Strategies to Improve the Quality of
Air-Dried Apples ......................................................................................... 241
13.4.1 Pseudo Wet-Bulb Temperature ...................................................... 241
13.4.2 Process Optimization .................................................................... 242
13.4.2.1 Strategy 1 ...................................................................... 242
13.4.2.2 Strategy 2 ...................................................................... 243
13.5 Scale Up and Implementation ..................................................................... 245
13.6 Conclusions .................................................................................................248
References .............................................................................................................. 249
231
13.1 INTRODUCTION
The quality of dried products generally depends on color, texture, taste, porosity,
and other physical properties such as density and the specific volume (Krokida and
Maroulis 1997). Drying and the associated exposure to high temperatures over an
extended period of time always result in a change in product properties that affect the
quality of the final product (Sokhansanj and Jayas 2007). The products, however, should
maintain their original appearance as far as possible (Nijhuis et al. 1998; Kiranoudis
and Markatos 2000). The color determines the first impression on a consumer (Dong
Chen 2009) and a uniform shape and size are considered to be a sign of good quality
(Lewicki 2006). The change of quality attributes during drying strongly depends on
process time and the applied drying conditions (Bonazzi and Dumoulin 2011).
Therefore an adequate process design is crucial to reduce unwanted effects on
product quality (Lewicki 2006). The drying behavior of air-dried apples has been
intensively studied by Jokić et al. (2009), Kaya et al. (2007), Krokida et al. (2000),
Kyriacou and Polycarpou (2006), Sacilik and Elicin (2006), Seiiedlou et al. (2010),
Sturm (2010), Üretir et al. (1996), Vega-Gálvez et al. (2008, 2012), Velić et al.
(2004), Zarein et al. (2013), and Zlatanović et al. (2013), just to mention a few.
However, only a limited number of publications deal with quality changes con-
cerning appearance and mechanical properties during the convective drying pro-
cess. This seems to be due to the high costs for implementation of the measuring
instruments necessary to monitor such quality changes (Di Wu and Da-Wen 2013).
The availability of cost-efficient yet robust hardware led to the development of sys-
tems that are able to gather information regarding product quality from photos or
videos (Sturm and Hofacker 2009) and the application of computer vision systems
has lately gained importance (Pathare et al. 2013). The big advantage is that not
only small details but whole objects can be monitored taking into account all pixels
(Cubero et al. 2011). Computer vision systems take pictures and save them in the
three-dimensional RGB color space (Pathare et al. 2013) from where the information
is often transferred to the L*a*b*-color space for best fit with the human perception
(León et al. 2006). A simple CCD-camera is a cost-efficient possibility for this pur-
pose (Di Wu and Da-Wen 2013).
Maskan (2006) indicates that color changes of fruits during drying are always
significant but depend strongly on the drying method. Since the quality criterion
color is a surface phenomenon, surface temperature and degree of wetness are the
most important control parameters (Dong Chen 2009). Important quality changes
during drying mainly depend on these two parameters. Furthermore, air temperature
is the drying parameter with the strongest influence on the drying process in general
(Kaya et al. 2007; Özilgen et al. 1995; Sturm 2010) and it heavily affects drying
time (Koyuncu et al. 2003; Lewicki and Jakubczyk 2004). The color, for instance,
is subject to drying conditions (Tsami and Katsioti 2000), with temperature having
the greatest impact (Argyropoulos et al. 2011; Krokida et al. 1998; Mujumdar 2000).
Drying time, on the other hand, also influences color changes (Arslan and Özcan
2011; Vega-Gálvez et al. 2012).
Several authors studied the influence of varying temperature in apple drying in
order to improve product quality, and it seems to be agreed that high air temperatures
Quality Optimized Apple Drying Using a Novel Reference Value 233
can be applied in the first phase of drying (Bains et al. 1989; Voegel-Turenne et al.
1997; Özilgen et al. 1995; Nunez Vega 2015; Sturm 2010). Üretir et al. (1996) found
two different phases in convective apple drying and supposed that it would be the
transformation from the second to the diffusivity-based third drying phase. A study
by Sturm et al. (2014) showed that two different phases in product temperature devel-
opment can be distinguished when constant air temperatures are applied. Mujumdar
(2000) indicates that wet materials usually show three or more typical phases that
need different dryer settings in order to optimize the drying rate. From this point of
view, any optimization of the drying process should imply a variation of the drying
parameters, an approach that was already successfully implemented in grain and rice
drying decades ago. Martynenko (2008) identified three different phases in ginseng
drying and established a three-phase control system with different air temperatures
in order to maintain a uniform and reproducible product color. Intermittent drying
has furthermore been shown to improve both energy efficiency as well as product
quality, both important concerns of the food processing industry (Kumar et al. 2014).
A process strategy that monitors the product temperature in order to improve
product quality seems promising for apple convective drying as well. Such a process
strategy control can be easily implemented to a wide range of drying systems by
adjusting the operating parameters (e.g. air temperature) to get the desired values for
color or other quality aspects.
13.2 QUALITY CHANGES DURING DRYING

13.2.1 cOlOr changes
The color of apples, as with other plant tissues, changes during drying and subse-
quent storage due to browning reactions (Krokida et al. 2001). The two main reac-
tion groups are enzymatic phenol oxidation and nonenzymatic browning reactions
(Manzocco et al. 2000). The enzymatic browning reaction is mainly attributed to
the catalytic activity of polyphenol oxidase (PPO) (Weemaes et al. 1998). Like
other enzymes, PPO can be deactivated by heat in order to prevent enzymatic
browning, although apple PPO is pretty heat stable (Weemaes et al. 1998). The
authors found a linear decrease in deactivation time with increasing temperature.
Oktay et al. (1995) stated that the apple PPO is thermally stable up to 80°C. Such
high product temperatures are usually not reached during the first stages of con-
vective drying due to evaporative cooling, even when high drying air temperatures
are applied.
Nonenzymatic browning reactions in general, like the Maillard reaction, caramel-
ization, or chemical oxidation of phenols, are favored by heat treatments. Reaction
products created during drying might also lead to further nonenzymatic browning
reactions during subsequent storage (Kröll and Kast 1989).
13.2.2 shrinkage
The removal of water from porous media leads to stresses within the matrix (Kowalski
and Rajewska 2002), creates an underpressure (Pakowski and Adamski 2012),
subsequent deformation, and a decrease in particle size (Mayor and Sereno

2004). Shrinkage during this process is not homogeneous (Ratti 1994). While
shrinkage during drying is uniform at first, deformation in later stages impedes
the evaluation thereof. In convective drying of apples, linear changes in shape
prevail and correspond with the moisture content, making it easy to implement
shrinkage into correspondent models (Golestani et al. 2013; Moreira et al. 2000;
Thieme et al. 2014).
13.2.3 cumulated thermal lOad

The changes in nutrient content and color of food generally follow zero, first, or
second order reactions (Villota and Hawkes 2006) with the concentration C A of the
component A and C B of the component B at the time t, the reaction product P and
the reaction rate constant k:
Zero order reaction: A → P
dC A (13.1)
− =k
dt
First order reaction: A → P
dC A (13.2)
− = kC A
dt
Second order reaction: A + B → P
dC A (13.3)
− = kC AC B
dt
In most cases the temperature dependency of the reaction rate constant is given by
the Arrhenius equation (Devahastin and Niamnuy 2010):
 −EA 
k = k0exp   (13.4)
 RT 
with:
k0 = f ( X ) or k0 = f ( ϑP , X ) (13.5)
E A = f ( X ) or E A = f ( ϑP , X ) (13.6)
and the pre-exponential factor k0 , the activation energy E A , the moisture content of
the material X, the universal gas constant R, the absolute temperature T [K], and the
product temperature ϑP .
Starting from this basic approach, the change of quality characteristics (CA) of
agricultural products during drying thus depends both on product temperature and
product moisture content as well as drying time.
CA = f ( X , ϑ P , t ) (13.7)
This is in accordance with data available in literature. Ascorbic acid degradation is

often described as a first order reaction using the Arrhenius equation, the retention
decreases with increasing drying time (Santos and Silva 2008). An increase in rela-
tive humidity has a negative impact on the ascorbic acid content as well (Sigge et al.
1999). Furthermore, the reduction of polyphenols in apples during drying depends
on drying time and follows a first order reaction (Nowacka et al. 2014).
Since the drying temperature, in addition to the process time, has the greatest
impact on quality, it would be desirable to evaluate quality changes as a function of
surface temperature to better understand its influence. However, the surface tem-
perature remains almost constant during long constant rate periods of the drying
process (Figure 13.1). Therefore, it is not effective to plot quality changes as a func-
tion of this parameter as it results in a point cloud that is difficult to interpret.
Experiments carried out at different drying temperatures are difficult to compare,
especially regarding the effect of temperature on quality characteristics, because of
the strongly differing drying times. Bonazzi and Dumoulin (2011) indicate as a gen-
eral rule, that high drying temperatures lead to a deterioration of product quality, but
that it is preferable to consider them as time and temperature dependent.
It therefore seems to be appropriate to combine these two parameters with the
highest impact on quality, namely time and temperature, to improve the compara-
bility of data obtained applying different drying conditions. A simple approach for
this purpose is to consider not the surface temperature itself but the time integral
thereof (Equation 13.8). This integral provides a detailed insight into the effect of
8 60
Moisture content X (gW/gDM)
Product temperature ϑP (°C)
ϑA = 45°C
6
40
20
2
0 0
0 50 100 150 200 250
Time t (min)
FIGURE 13.1 Drying curve and product temperature of apple during convective drying.
temperature on the product quality during the drying process and subsequently was
named cumulated thermal load (CTL [° C min]):
t
CTL = ∫ϑ P ( t ) dt (13.8)
0
Since the experimental data is obtained every minute, a discretization has to be

performed:
n
( ϑPn −1 + ϑPn ) ⋅ ∆t
CTL = ∑
n =1
2
(13.9)
This method also takes into account that the product temperature during drying
at lower air temperatures is lower as well, but the drying time to reach the final
moisture content increases considerably at the same time. In this case the resulting
cumulated thermal load often is higher in spite of the lower air temperature than in a
comparable experiment where higher drying air temperatures are applied.
13.3 CHARACTERIZATION OF THE DRYING BEHAVIOR

13.3.1 drying curve
The drying curve gives valuable information about the drying behavior of a specific
product and is used as a design basis for drying plants (Mersmann et al. 2005).
During the first phase of drying, the wet product surface acts like a liquid film
with a temperature close to the wet-bulb temperature due to constant evaporation.
The product temperature and the mass flow leaving the product through evaporation
are in equilibrium, leading to a constant drying rate as long as the capillary forces
are able to transport enough water to the surface. The mass transport does not have
any influence in this stage of drying and the drying process depends only on pro-
cesses occurring at the surface.
The beginning of the second drying phase is visible as a kink in the drying
curve and starts when the maximum hygroscopic humidity is reached at the surface
(Delgado and da Silva 2014). The evaporation front, the zone where the phase transi-
tion to vapor takes place moves inside the sample with a hygroscopic moisture above
and a nonhygroscopic moisture below. The vapor subsequently has to diffuse through
a dry material layer that acts as a resistance and leads to a decreasing drying rate.
The third drying phase starts when the maximum hygroscopic moisture is reached
in the product core. This phase transition is less pronounced but yet visible as another
kink in the drying curve. Starting from this moment, the drying rate for hygroscopic
products approaches zero and vapor diffusion takes place until the moisture content
reaches the equilibrium moisture content.
Based on these fundamentals, single-layer convective drying experiments were
carried out in order to determine the drying characteristics of apple.
13.3.2 characterizatiOn Of the drying BehaviOr Of air-dried apple

13.3.2.1 Raw Material
Apples (cv Jonagold) were purchased from a local farmer (Lake Constance,
Germany) and stored in the fridge at 4°C. Before drying, the apples were cut into
slices of 3.8 mm ± 0.1 mm thickness with an outer diameter of 72 mm, an inner
diameter of 20 mm, and an average weight of 12 g ± 0.2 g.
13.3.2.2 Experimental Setup

Single-layer through-flow drying experiments were carried out in a wide parameter
range, using a drying device that allows for the simultaneous measurement of weight,
color, shape and all relevant temperatures, described in detail by Sturm (2010) and
Sturm et al. (2012).
13.3.2.3 Quality Determination

Color of apples: For the representation of product color changes, the total color dif-
ference ΔE was determined, a value increasingly used in the determination of food
quality changes. ΔE is calculated from the L*, a*, b* values as follows:
∆E = ( ∆L* )2 + ( ∆a* )2 + ( ∆b* )2 (13.10)
Apple shrinkage: Two-dimensional shrinkage was determined through counting the

pixels, which undoubtedly were part of the particle surface, to get information of the
particle size and the change of the particle size due to shrinkage.
13.3.2.4 Results
Figure 13.2a depicts the color development of three experiments carried out at
different air temperatures but identical dew point temperatures and air velocities.
Figure 13.2b shows the same experiments in function of the cumulated thermal
load.
Plotting the experimental data in function of the cumulated thermal load leads to
an equalization thereof. This results in a better comparability of experimental data
obtained applying different drying conditions.
The cumulated thermal load is not only of interest for the comparison of color
changes but also for the comparison of other quality parameters.
Shrinkage is often plotted in function of moisture content. Figure 13.3a shows
an example for three air temperatures but the same dew point temperatures and air
velocities.
It is clearly visible that shrinkage is more pronounced at lower air temperatures
than at higher air temperature levels. Both curves show a similar trend when com-
pared qualitatively but differ significantly when compared quantitatively. The dif-
ference between the two curves is obvious when compared in function of time as
14
12 ϑDP = 10°C
VA = 1,35 m/s
10
8
ΔE (−)
6 ϑA = 45°C
ϑA = 60°C
4
ϑA = 75°C
0
0 50 100 150 200 250 300
(a) Time t (min)
14
12 ϑDP = 10°C
VA = 1,35 m/s
10
8
ΔE (−)
6 ϑA = 45°C
ϑA = 60°C
4
ϑA = 75°C
0
0 2000 4000 6000 8000 10000
(b) CTL (°C min)
FIGURE 13.2 (a/b) Color changes applying different air temperatures in function of time/
in function of the cumulated thermal load.
well (Figure 13.3b). Comparing shrinkage in function of the cumulated thermal load
though, these two curves show an almost identical trend (Figure 13.4). The applica-
tion of this new method improves the comparability of experiments carried out not
only at different air temperatures but also at different air velocities. Figure 13.5a
depicts the color changes for four experiments carried out at different air velocities
but constant air and dew point temperatures. Shrinkage for the same experiments
can be seen in Figure 13.5b.
It is obvious that the color changes as well as shrinkage increase with decreasing
air velocities. However, this only results from an increase in drying time and is not
1
ϑDP = 10°C
0.8 VA = 1,35 m/s
Shrinkage S (−)
0.6 ϑA = 45°C
ϑA = 60°C
0.4 ϑA = 75°C
0.2
0
0 2 4 6 8
(a) Moisture content X (gW/gDM)
1
ϑDP = 10°C
0.8 VA = 1,35 m/s
Shrinkage S (−)
0.6 ϑA = 45°C
ϑA = 60°C
0.4 ϑA = 75°C
0.2
0
0 50 100 150 200 250 300
(b) Time t (min)
FIGURE 13.3 (a/b) Shrinkage applying different air temperatures in function of moisture
content/in function of time.
1
ϑDP = 10°C
0.8 VA = 1,35 m/s
Shrinkage S (−)
0.6 ϑA = 45°C
ϑA = 60°C
0.4 ϑA = 75°C
0.2
0
0 2000 4000 6000 8000 10000
CTL (°C min)
FIGURE 13.4 Shrinkage applying different air temperatures in function of the cumulated
thermal load.
14
12 ϑA = 60°C
ϑDP = 17°C
10
8
ΔE (−)
6
VA = 0.4 m/s
4
VA = 0.8 m/s
2 VA = 1.35 m/s
VA = 1.7 m/s
0
0 2000 4000 6000 8000 10000
(a) CTL (°C min)
1
ϑA = 60°C
0.8 ϑDP = 17°C
Shrinkage S (−)
0.6
0.4
VA = 0.4 m/s
VA = 0.8 m/s
0.2
VA = 1.35 m/s
VA = 1.7 m/s
0
0 2000 4000 6000 8000 10000
(b) CTL (°C min)
FIGURE 13.5 (a/b) Color changes/shrinkage at different air velocities in function of the
cumulated thermal load.
due to the changed air velocity itself. It might be assumed that the only influence
of air velocity on quality changes during drying of apples is seen as a variation of
drying time. Dew point, however, has a diverse effect on quality changes of air-
dried apples. The effect on shrinkage is similar to the one of air velocity, where an
increase in humidity leads to an increase of drying time and hence shrinkage is more
pronounced (Figure 13.6a). Concerning color changes, the effect is different though.
Whereas the trend of all experiments is the same, higher air humidity leads to a
higher offset right from the beginning of the experiment (Figure 13.6a).
ϑA = 45°C
0.8 VA = 1,35 m/s
Shrinkage S (−)
0.6
0.4
ϑDP = 10°C
0.2 ϑDP = 17°C
ϑDP = 25°C
0
0 2000 4000 6000 8000 10000
(a) CTL (°C min)
14
ϑDP = 45°C
12 VA = 1,35 m/s
10
8
ΔE (−)
4 ϑDP = 10°C
ϑDP = 17°C
2
ϑDP = 25°C
0
0 2000 4000 6000 8000 10000
(b) CTL (°C min)
FIGURE 13.6 (a/b) Color/shrinkage changes at different dew point temperatures in func-
tion of the cumulated thermal load.
13.4 DEVELOPMENT OF DRYING STRATEGIES TO

IMPROVE THE QUALITY OF AIR-DRIED APPLES
13.4.1 pseudO wet-BulB temperature
The results obtained from the single-layer experiments in an air temperature range
from 45°C to 75°C showed that the lower the cumulated thermal load, the better
the appearance of the final product. As the cumulated thermal load was lower at
high air temperatures, additional experiments were carried out at even higher air
temperatures in order to determine if the product quality could be further improved.
14
ϑDP = 17°C
12 VA = 1,7 m/s
10
ΔE (−) 8
6
ϑA = 75°C
4 ϑA = 95°C
0
0 2000 4000 6000 8000 10000
CTL (°C min)
FIGURE 13.7 ΔE at high air temperatures.
The additional experiments revealed that the drying time can be reduced by apply-
ing higher air temperatures; the change in product color, however, is more pro-
nounced at such conditions. If compared directly, the color changes at 75°C and 95°C
showed very similar behavior up to a cumulated thermal load of about 1800°C min
(Figure 13.7). This point correlates with the inflection point of the surface tempera-
ture, when the surface temperature exceeds the so-called pseudo wet-bulb tempera-
ture. The term “pseudo wet-bulb temperature” was first introduced by Nissan et al.
(1959) to describe the developing constant temperature value of wet porous textile
bobbins that represents the equilibrium between heat exchange and moisture trans-
port and that is similar to the wet-bulb temperature but at later stages of drying (and
therefore at higher product temperature levels). The pseudo wet-bulb temperature is
heavily dependent on the drying conditions and increases with increasing air tem-
peratures. Chiang and Petersen (1987) first used this term to describe the second dry-
ing phase of biological foodstuff. Taking into account that temperature differences
of thin fruit slices during drying can be neglected (Pavón-Melendez et al. 2002) and
considering the theory put forward by Nissan et al. (1959), it can be assumed that no
more free water is available inside the product as soon as the surface temperature
rises above the pseudo wet-bulb temperature. The evaporative cooling consequently
diminishes significantly, leading to a fast increase of the product temperature.
13.4.2 prOcess OptimizatiOn

13.4.2.1 Strategy 1
Considering the results obtained from the single-layer experiments, non-steady pro-
cess strategies were developed, aiming at an improved product quality. For the first
strategy, air temperature of 95°C was chosen for the first and second drying phases.
The surface temperature of the product was monitored and the air temperature was
decreased to 75°C as soon as the surface temperature exceeded the pseudo wet-bulb
temperature (Figure 13.8a). A decrease to 45°C was studied as well (Figure 13.8b).
8 100
Moisture content
Temperature ϑP, ϑA (°C)

80
6 Surface temperature
Air temperature 60
4
40
2
20
0 0
0 50 100 150 200 250 300
(a) Time t (min)
8 100
Moisture content

6 Surface temperature 80
Air temperature 60
4
40
2
20
0 0
0 50 100 150 200 250 300
(b) Time t (min)
FIGURE 13.8 (a/b) Non-steady drying strategies starting at high air temperature levels.
The air velocity furthermore was decreased from 1.7 m/s to 0.8 m/s, because dry-
ing now mostly depends on inner transport mechanisms due to the lack of availabil-
ity of free water in the last phase of drying. This decrease did not affect the drying
result, but improves the process energetically. The product quality (color and shape)
could be improved significantly in both cases, with slight advantages if the air tem-
perature was lowered to 75°C (Figure 13.9). However, this strategy is only beneficial
if starting temperatures of above 75°C are chosen. The cumulated thermal load oth-
erwise is higher than for stationary drying at 75°C, leading to worse product quality.
13.4.2.2 Strategy 2
Assuming that there is only bound water left as soon as the surface temperature
reaches its inflection point and considering the fundamentals of enzymatic brown-
ing, chances are that an increase of air temperature in this point might be beneficial
for the product color. The availability of oxygen for oxidation processes inside the
formerly liquid-filled pores increases significantly and the product temperatures are
in the range of highest enzymatic activities. PPO inactivation takes place at very high
14
12
10
ΔE (−) 8
ϑA = 75°C
6 ϑA = 75°C–55°C (•)
(•) ϑA = 95°C
4 ϑA = 95°C–45°C (∗)
(∗) ϑA = 95°C–75°C (∗)
2
0
0 2000 4000 6000 8000 10000
CTL (°C min)
FIGURE 13.9 Comparison of color changes; stationary/strategy 1 with point of parameter

change (circle).
temperatures that usually can’t be achieved during the first stages of drying, due to
the strong evaporative cooling. In the last phase, however, the product can be heated
up very quickly.
The assumptions could be verified by experiments. If the air temperature was
increased from 75°C to 95°C in the last phase of drying (Figure 13.10), the cumu-
lated thermal load decreased notably when compared to stationary experiments
at 75°C (Figure 13.11). The color change for the second process strategy hardly
differed from the results of the first strategy with high starting temperatures.
Compared to stationary drying at 75°C the color, however, could be improved sig-
nificantly with both strategies and the drying time could be furthermore decreased.
The product texture for both strategies though was completely different. Strategy
1 with the high initial and lower final air temperatures resulted in soft apple rings,
while strategy 2 led to a completely different product with a crispy texture but
nevertheless good color.
8 100
Moisture content
Surface temperature
Air temperature 80
6
60
4
40
2
20
0 0
0 50 100 150 200 250 300
Time t (min)
FIGURE 13.10 Non-steady drying strategy starting at a low air temperature level.
14
12
10
ΔE (−) 8
6
ϑA = 75°C
(•)
4 ϑA = 75°C–95°C (•)
(∗) ϑA = 95°C
2 ϑA = 95°C–75°C (∗)
0
0 2000 4000 6000 8000 10000
CTL (°C min)
FIGURE 13.11 Comparison of color changes; stationary/non-steady strategies with point of

parameter change (circle).
13.5 SCALE UP AND IMPLEMENTATION

The single-layer experiments were repeated using a fully equipped industrial drying
module (Figure 13.12). The module can be opened on both sides for charging and
discharging the drying material. The air humidity can be adjusted to the ambient dew
point using a fresh air flap, the air is heated by a heating coil, and the dryer is oper-
ated in through-flow mode. The air velocity is controlled using a vane anemometer
C P
b
b
c Airflow k
d
Product inlet
a
T
H el. LS
c
d LS
e
S
V
W W
FIGURE 13.12 Scheme of the industrial drying module used for the experiments: (a) tem-
perature/relative humidity ambiance; (K) fresh air flap; (b) temperature/relative humidity
dryer; (LS) power controller; (c) differential pressure; (P) pyrometer; (d) air velocity; (S)
bulk; (e) air temperature control variable; (T) drying chamber; (C) camera; (V) fan; (H) heat-
ing coil; (W) load cells.
and changing the fan frequency. The whole dryer was placed on load cells in order
to determine the drying curve. The product was placed on a matte black tray and
color changes were monitored using a thermally insulated CCD camera on top of the
module. The surface temperature was measured online by a pyrometer. Dryer con-
trol was performed by a PLC. In order to allow for an affordable solution in indus-
trial scale, low-cost equipment was used for the experiments. The precision of these
measurement devices cannot be compared to the equipment used for the single-layer
experiments in lab scale and they tend to higher fluctuations (Figure 13.13). Applying
adequate data processing, however, leads to a very good result that is more than suf-
ficient for industrial use as seen in Figure 13.13. The product temperature measure-
ment as well as the drying curve could easily be determined.
The experiments were carried out using the same raw material as for the single-
layer experiments (Apple cv. Jonagold). The tray was charged with 2500 ± 100 g
apple slices (thickness: 3.8 ± 0.1 mm). It was necessary to ensure that the pyrometer
pointed just in the middle of an apple tissue section in order to avoid measuring the
tray temperature instead as drying proceeds and the material starts to shrink.
Reproducibility was checked conducting several experiments in triplicate. The
results showed good fit throughout the whole parameter space.
The detection of the inflection point might be done automatically by evaluation
of the second derivative of the product surface temperature. With this option, the
8 100
90
80
6
Temperature ϑP (°C)
70
60
4 50
40
30
2
20
10
0 0
0 20 40 60 80 100
Time t (min)
FIGURE 13.13 Moisture and product temperature development filtered and unfiltered,
ϑA = 75°C, ϑDP = 17°C, VA = 1.7 m/s.
sudden rise in surface temperature might be monitored and the air temperature can
be adjusted according to the drying strategies discussed previously. This method,
however, is not trivial and difficult to implement. Considering several single-layer
experiments conducted at 75°C air temperature, it could be shown, that the time
until reaching the inflection point differs considerably, the temperature where inflec-
tion starts, however, was almost the same for all experiments (Figure 13.14). The
inflection point temperature thus was 55°C ± 2°C. The validity of this assumption
has been proven (Nunez Vega 2015). The results obtained in industrial scale showed
good fit with the single-layer experiments for stationary drying conditions as well as
the two process strategies found in lab scale. The inflection point temperature was
proved true for the industrial scale as well.
An additional strategy similar to strategy 2 was found using the industrial dryer
due to its possibility for recirculation of exhaust air. Beginning with an air tempera-
ture of 95°C, the heating coil was switched off after reaching the inflection point
temperature at the product surface. The product then was dried using only the resid-
ual heat. This strategy thus was very energy efficient and led to a product quality
similar to the other strategies.
Figure 13.15a shows the resulting color for the different strategies and stationary
drying in industrial scale, while Figure 13.15b provides a comparison with the addi-
tional strategy found in industrial scale.
100
80
Temperature ϑP (°C)
60
ϑIP = 55°C
40
20
0
0 50 100 150 200 250 300
Time t (min)
FIGURE 13.14 Determination of the inflection point temperature, ϑA = 75°C.

14
12
ϑA = 75°C
10
ϑA = 75°C–95°C
8 ϑA = 95°C
ΔE (−)
ϑA = 95°C–75°C
6
0
0 2000 4000 6000 8000 10000
(a) CTL (°C min)
14
12
10
8
ΔE (−)
6
ϑA = 95°C—°C
4
ϑA = 95°C–45°C
2 ϑA = 95°C–75°C
0
0 2000 4000 6000 8000 10000
(b) CTL (°C min)
FIGURE 13.15 (a/b) Comparison of color changes; stationary/non-steady strategies.
13.6 CONCLUSIONS
Preserving the visible quality aspects as color and shape are of major concern in
drying of biological foodstuff and proper control of drying systems is key to achieve
this aim. The new reference value named cumulated thermal load (CTL [°C min]),
defined as the time integral over the product surface temperature, was introduced
to compare the resulting quality changes of dried agricultural products for different
experimental settings. It has been shown that the comparability of various qual-
ity parameters in question could be improved significantly using the new reference
value and it hence facilitates the development of new control strategies in drying.
The product temperature can be monitored and used to determine the cumulated
thermal load so that the operating parameters can be adjusted accordingly to get the
desired quality characteristics. Such a control might be easily integrated to a wide
range of drying systems and even the use of low-cost measurement devices has been
shown to be more than adequate for this use.
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14 Intelligent Control of
Fruit Drying Based on
Computer Vision Systems
Mohammad Hossein Nadian
CONTENTS
14.1 Introduction ................................................................................................. 253
14.2 Monitoring of Quality with Computer Vision Systems .............................. 256
14.2.1 Image Acquisition.......................................................................... 256
14.2.2 Image Processing........................................................................... 258
14.2.2.1 Kiwifruit........................................................................ 258
14.2.2.2 Apple ............................................................................. 259
14.2.3 Morphological ...............................................................................260
14.2.4 Colour ............................................................................................ 261
14.2.5 Texture ........................................................................................... 263
14.3 Improvement of Drying Processes.............................................................. 265
14.3.1 Hybrid Drying ............................................................................... 265
14.3.1.1 Energy Consumption of Hybrid Drying (Hot
Air + Radiant Heat Transfer) ........................................266
14.4 Optimisation ............................................................................................... 268
14.5 Intelligent Integrated Control...................................................................... 270
14.5.1 Machine Vision.............................................................................. 271
14.5.2 Fuzzy Logic Controller ................................................................. 272
References .............................................................................................................. 277
14.1 INTRODUCTION
Advances in more versatile and efficient methods of fruit drying processes within
a quality-controlled enclosure have been occurring exponentially over the past few
decades in order to meet the continually increasing consumer demands for high-
quality dried fruits (Nadian et al., 2017a). A major consideration in the food indus-
try is avoiding unfavourable changes with an emphasis on preserving the preferred
qualities. Quality assurance, which increases the ability to manufacture high-
quality products, is the basis for success in the highly competitive food industry.
Traditionally, the quality control methods used in the food industry have involved
human visual inspection. In these traditional methods, the samples are removed
from the dryer for quality measurements, which dramatically increases the errors
and uncertainties of the assessment. Hence, these methods are either tedious or
253
time-consuming and, in the case of visual inspection, very subjective, making it dif-
ficult to standardise the results. Then, the invasive methods can disturb mechanisms
and conditions of undergoing processes, causing interference with realistic process
measurements. Also, these common methods were extremely challenging and have
been usually limited to inaccurate and destructive measurement techniques. Thus, it
has been highly desirable for the food industry to develop objective methods of qual-
ity evaluation for different food products in a consistent and cost-effective manner.
The advances in the development and application of computer hardware, software,
and electronic technologies and control systems provides strong support to fast, con-
sistent measurements, data collection, and information analysis for solving problems
in the drying industry. One of the most usable and prominent methods and technol-
ogy used in the drying industry is computer vision technology (Martynenko, 2017).
In the past two decades, off-line computer vision systems (CVSs) were extensively
employed to analyse surface colour, shape, and texture of different foodstuffs during
drying due to having enormous advantages over the traditional destructive meth-
ods (Brosnan and Sun, 2004; León et al., 2006; Mohebbi et al., 2009; Hosseinpour
et al., 2013; Aghbashlo et al., 2014; Martynenko, 2017; Nadian et al., 2017a, 2017b).
Results of previous investigations showed that the off-line computer vision system is
a promising technology for monitoring of foodstuff quality changes during process-
ing. Although it provides acceptable results, analysis takes a long time and it is an
unsuitable method for in-process monitoring of the drying process. Nevertheless, the
off-line methods are easy to use and do not require specialists for successful mea-
surements, unlike real-time monitoring. Conversely, due to the dynamic and com-
plex nature of the drying process, all these approaches are unsuitable for real-time
industrial applications because of high operator dependency and poor repeatability.
Modern real-time computer vision systems can be the best alternative for ill-defined
processes monitoring, automating, and controlling due to its rapidness, cheapness,
nondestructiveness, sensitiveness, and preciseness (Aghbashlo et al., 2014). The exist-
ing investigations indicated that the online CVS can continuously collect informa-
tion from the shape, size (Campos-Mendiola et al., 2007; Yadollahinia and Jahangiri,
2009; Hosseinpour et al., 2011) and colour (Chen and Martynenko, 2013; Hosseinpour
et al., 2013; Nadian et al., 2015) of the drying material during the process for moni-
toring purposes. Thus, automatic real-time quality tracking units in food dryers are
strictly necessary to meet stringent product quality characteristics and attain a bet-
ter understanding of the process for further optimisation of the standard operating
methods. Consequently, this method provides image-based automatic inspection and
analysis for such applications as dried-fruit quality evaluation and process control.
This automation can result in objective, fast, consistent dried product quality evalua-
tion systems, a significant advancement for food engineering and industry.
Another crucial task in food industry, and particularly in drying, is to maximise
profitability by reducing the associated costs. In this regard, reducing energy con-
sumption is the main concern because industrial dryers consume a significant part of
the total energy consumption by industry, that is 12% on average (Mujumdar, 2014).
So even a small percentage saving in their energy consumption would result in con-
siderable overall improvement in energy efficiency. Energy consumption is greatly
influenced by the drying technique and strategy. Thus, to reduce energy consumption
Intelligent Control of Fruit Drying Based on Computer Vision Systems 255
per unit of product moisture, it is necessary to examine different methodologies to

improve the energy efficiency of drying (Chou and Chua, 2001).
Generally, the reduction of drying time is a possible way to increase the efficiency
of operation. Hence, modern drying methods such as microwave and infrared drying
are widely used in conjunction with convection drying (Hebbar et al., 2004; Zhang
et al., 2006). Although such combined methods can be a good substitute for hot air
drying (HAD), the deteriorations of organoleptic properties in the final products
are of significant concern. Hence, in these systems, even though the conversion of
electromagnetic spectral energy into heat is low at the sample’s lower moisture con-
tent, the sample temperature may still continue to rise and result in overheating or
burning (Zhang et al., 2010). The product temperature is a crucial parameter affect-
ing not only duration of the drying process, but also colour changes and shrinkage.
Vega et al. (2016) reported that heat-sensitive products can be subjected to high air
temperatures at the first stage of drying without quality degradation. Therefore, a
good strategy for hybrid hot air–radiant heat transfer drying could be rapid removal
of surface moisture with radiant heating during the initial stage of drying and con-
trol of product temperature at the second stage to achieve the desirable balance
between drying kinetics and product degradation, as well as to ensure safe opera-
tion. For instance Nadian et al. (2017b) found that increasing the product tempera-
ture accelerates the hot air-infrared drying (HID) processing of kiwifruit without
damaging quality at the first stage of drying. Therefore, the two-stage hybrid method
with HID at the first stage and HAD at the second stage of drying was proposed.
In general, this method reduces the drying time while maintaining the quality of
dried products at a reasonable level. In addition, this method provided the benefit of
temperature control of the sample surface, which is an important factor during dry-
ing (Figure 14.1). Therefore, the fast-dried foods with the highest quality and lowest
consumed energy can be produced if the process parameters can be well controlled.
100
Hybrid approach
90 HID
HAD
80
70
Tp (°C)
60
50
40
30
1.0 0.8 0.6 0.4 0.2 0.0
MR
FIGURE 14.1 A comparison of trends of product temperature (Tp–°C) with hot air dry-
ing (70°C–1.5 m/s), hybrid hot air-infrared drying (HID) and hybrid drying (HID + HAD)
approaches of kiwifruits. (From Nadian, M.H. et al., Drying Technol., 35, 709–723, 2017b.)
On the other hand, if a dryer were operated at an optimal condition, more significant
energy savings and best quality could be achieved. Hence, it is desirable to dry heat-
sensitive products under an intelligent control system, such as neural networks or
fuzzy logic, to preserve their quality and to reduce total energy consumption.
This chapter provides a review on the current status of CVS use in fruit drying
technology, with particular reference to apple and kiwifruit drying processes, and
highlights the importance of applying intelligent control systems to solve food qual-
ity and energy hindrances.
14.2 MONITORING OF QUALITY WITH

COMPUTER VISION SYSTEMS
The fact that the importance of food appearance is the first quality index for con-
sumers motivates researchers to focus on further retaining or improving the original
organoleptic properties such as colour, size and texture of foodstuffs during subse-
quent processing operations (Aghbashlo et al., 2014). This is the main reason why
highly sensitive, reliable, precise and rapid techniques are required for monitoring
and evaluating the organoleptic properties of food products under different thermal
and nonthermal processing. In addition, the output of food quality analysis and quan-
tisation can be useful for quality control of food products. Therefore, the feasibility
of applying in-line measurement provides the CVS with a competitive solution for
studying the organoleptic attributes of foodstuffs during drying processes.
For extraction of quality parameters, the CVS monitoring process must be done
in five steps: image acquisition, image processing, feature extraction, pattern recog-
nition and finally decision making. These steps have been completely explained by
Martynenko (2017). Each step is of equal importance and the accuracy of many steps
depends on the proper completion of preceding steps.
14.2.1 image acquisitiOn

The image generation process is a combination of both the image acquisition with a
digital imaging device and subsequent post-processing. For a reliable and reproduc-
ible analysis, it is important to create fixed conditions during image acquisition. An
image acquisition system commonly consists of four parts: camera, illumination,
computer hardware and software. Charge-coupled device (CCD) and complemen-
tary metal-oxide semiconductor (CMOS) cameras including visible, thermographic,
magnetic resonance imaging (MRI) and multispectral imaging are the most popular
choices in the drying industry for quality monitoring.
A well-designed illumination chamber and appropriate light source can help to
reduce shadow, reflection, and noise, producing high-quality images and decreasing
the subsequent image processing time (Ma et al., 2016). Thus, in the food industry,
location, lamp type, and colour quality for the illumination system must be designed
elaborately. Lighting arrangements and lighting geometry are two important design
considerations in determining the quality of colour reproduction that are completely
explained by Martynenko (2017). According to literature review, in dryer-equipped
CVS, the angle between the light source and camera is generally 45 degrees in order
3
1
75°
45°
(a)
Camera
45° Lighting system
(b) Sample
FIGURE 14.2 Examples of illumination and imaging systems. (a) Power LED lighting lamp
in a hot air-infrared dryer, (1) camera; (2) power LED lighting lamp; and (3) IR lamps. (From
Nadian, M.H. et al., Drying Technol., 35, 709–723, 2017b.) (b) A typical imaging chamber
for apple slices illuminated by fluorescent tubes. (From Cubero, S. et al., Food Bioprocess.
Tech., 4, 487–504, 2011.)
to capture the reflection of the light is that scattered from a sample (Fernández et al.,
2005; Pedreschi et al., 2006; Nadian et al., 2015, 2016b). Figure 14.2 shows examples
of possible lighting systems to illuminate dryers.
Another main parameter is the selection of a lamp as it affects image quality and
analysis results. There are many types of lamps to choose from such as incandescent,
fluorescent, and light-emitting diode (LED). The LED lamps (CIE source D65) have
become well established as the light source of choice in the food industry. Their
popularity is explained by the large number of benefits offered by LED technology,
such as considerably longer service life, extremely simple control facilities, the resil-
ience and small physical size of the units, design flexibility, lower operating costs
and excellent value for money.
Because of the effects of nonuniformities such as lamp characteristics, random
noise and quantisation effects, different image processing also has been used to cor-
rect for illumination variations. Since the background (tray) colour is known, an
image formation model in which light reflected from tray is approximately the prod-
uct of the incident light and surface. This model can be used to normalise the light
reflected from the object and minimise errors caused by illumination variations.
Morphological operations such as closing or opening are another method which has
been used to correct for illumination variations. In this technique, the difference
between the background image and the original image generates a highpass-filtered
image. This filter, as well as homomorphic filtering, completely eliminates the effects
of illumination nonuniformities (Sanz, 2012). In addition to these image processing
techniques, modern systems have compensatory circuitry to eliminate the effects
of natural light during image acquisition. This benefit of this circuitry makes these
systems suitable for online monitoring of drying process (Brosnan and Sun, 2004).
14.2.2 image prOcessing

Image processing consists of several steps such as pre-processing, segmentation, fea-
ture extraction, and interpretation. Image processing systems include the following
three main steps:
• Import the image via image acquisition systems.

• Analyse and process the image.
• Output an image or a set of characteristics or parameters related to the
image.
An image processing system for drying industrial quality control must work concur-
rently with the drying process, in such a way that obtained quality information is
sent to an external control system in real time. For evaluation of final results and also
control of the dryer, image processing systems are often connected to programmable
logic controls using digital interfaces or a fieldbus (Hosseinpour et al., 2013, 2014)
or connected directly to a master computer using a network or serial communication
(Nadian et al., 2017a).
There are various approaches to design the sequence of algorithms for solving
an image processing task. In many cases, raw images require pre-processing to
change certain properties of the image like enhancing contrast, suppressing noise,
illumination-invariant processing, and emphasizing specific structures. Some
pre-processing method examples are grey scale transformation, linear and nonlinear
filters, and morphological operations with respect to illumination (Sun, 2011). One of
the most important steps in the analysis of an image acquired by a CVS is segmentation,
or the separation of the region of interest (ROI) from the background (Nadian et al.,
2016b). There are some basic techniques for segmentation (Zhang, 2006; Sun, 2011):
thresholding, edge detection, watershed, gradient-based, classification-based, and
hybrid-based; as well as region-based segmentation techniques such as growing-and-
merging (GM) and splitting-and-merging (SM). Two typical consecutive steps used
for segmentation of kiwifruit and apple slices are characterised as follows.
14.2.2.1 Kiwifruit
Nadian et al. (2016a) performed an image segmentation for kiwifruit slices
(Figure 14.3). As the images had bright green colour and the background (the tray)
was black, the segmentation was obtained by thresholding the high-contrast image
of green and blue difference (2G-2B) by Otsu’s (1979) method. Subsequently, a
(a) (b)
1 cm
(c) (d)
(e) (f)
FIGURE 14.3 Consecutive steps for extracting foreground from background of kiwifruit
slices: (a) original colour image before drying; (b) image from 2G-2B thresholding; (c) binary
image; (d) binary image with filled holes; (e) final desirable image before drying; (f) final
desirable image after drying.
morphological flood-fill operation was performed to fill the holes inside kiwi slices
particularly due to the tiny black seeds.
14.2.2.2 Apple
Apple slices were precisely segmented from the images according to the algorithm,
written in MATLAB codes, specified as follows (Nadian et al., 2016b):
1. An image was split into nonoverlapping quadrilateral blocks. Each block

had both apple and background regions (Figure 14.4b).
2. The threshold value of all subimages was calculated according to Otsu’s
(1979) optimum method to minimise the interclass variance of thresholding
black-and-white pixels (Figure 14.4B2).
3. Morphological operations were carried out to generate quality segmented
blocks (Figure 14.4B3, B4).
4. All of the processed subimages were concatenated to form the processed
overall image.
The final part of image processing is feature extraction. In this step, the quantitative
information is extracted from images in order to use them for quality control. The
main three categories are as follows: morphological, colour, and textural features.
(a) (b) (c) (d)
B1 B2 B3 B4
1 cm
FIGURE 14.4 Consecutive steps for extracting foreground from background of apple slices:
(a) original colour image; (b) split image to nonoverlapping quadrilateral blocks; (B1–B4)
binarizing and morphological operations of each block; (c) binary image; (d) final desirable
image.
14.2.3 mOrphOlOgical
Morphological features illustrate the appearance of an object. The morphological
features of an image are represented as size features (e.g., area, perimeter, bound-
ing rectangle, centroid, lower-order moments [normal, central, and invariant], length
and width, and angle of orientation) and derived shape features (e.g., roundness,
radius ratio, box ratio, area ratio, aspect ratio, and the coefficient of variation of radii)
(Majumdar and Jayas, 2000; Martynenko, 2017). In food quality quantisation and
control, food engineers are interested in the technique of extraction of morphological
features especially area and volume shrinkage from the 2D and 3D images of food
samples, respectively (Sampson et al., 2014; Nadian et al., 2017a):
Area shrinkage (%) = 1 −( A

A0)× 100 (14.1)
 A h
Volume shrinkage (%) = 1 − ×  × 100 (14.2)
 A0 h0 
where:
A and h are the current projection areas and thicknesses of slice, respectively
zero subscript indicates their corresponding initial values
Shrinkage of fruits is one of the most significant and rarely negligible physical
changes during drying processes. When water is removed from the slices, an unbal-
anced pressure leads to material shrinkage, shape change, and occasional cracking.
These unfavourable changes during drying are important indicators of moisture con-
tent, water diffusivity, porosity, density, glass transition, and mechanical properties
(Martynenko, 2017). Therefore, monitoring and controlling of the morphological
parameters (especially shrinkage) are substantial factors in the optimisation of dry-
ing conditions to produce high-quality dried products.
Numerous studies have discussed conventional methodologies for measure-
ment and estimation of density, shrinkage, and porosity of foodstuffs, such as geo-
metric dimension, liquid displacement, gas pycnometer, and solid displacement
(Rahman, 2005; Qiu et al., 2015). Measuring of shrinkage by these techniques is
time-consuming, inaccurate and mostly invasive. Computer vision has been cited as
a promising tool for monitoring the shape and size changes during the drying pro-
cess. It indicates many variables, such as the volume shrinkage, porosity, and bulk
density, by dual-view (Sampson et al., 2014) or stereoscopic (Madiouli et al., 2011)
techniques. Additionally, it enables measurement of the shape and the size in both
off-line (Yan et al., 2008; Mayor et al., 2011) and online modes (Hosseinpour et al.,
2011; Nadian et al., 2016a).
14.2.4 cOlOur
The colour of foodstuffs is evaluated as a first quality parameter by consumers and
is considered a critical factor in buying decisions (Abdullah et al., 2004; Hatcher
et al., 2004). In a drying process, browning reactions and original pigment destruc-
tion, which occur simultaneously with moisture evaporation, are the most important
observable physiochemical changes when fruits dehydrate (Nadian et al., 2016b).
Foodstuff browning can be categorised into enzymatic and nonenzymatic types.
In a drying process, polyphenol oxidase (PPO) causes enzymatic browning while
the browning by Maillard reaction, caramelisation, and ascorbic acid degradation is
nonenzymatic (Nadian et al., 2016b). In the initial steps of the drying process, the
enzymatic colour changes can frequently occur by activating the polyphenol oxidase
enzyme. However, Maillard reactions have a predominant effect on the product’s
colour alterations towards the end of the drying process (Lozano, 2006). It is well
documented that sample pre-treatment before drying can reduce various adverse
phenotypic changes resulting from enzymatic and nonenzymatic reactions by inac-
tivating the enzymes and inhibiting the Maillard reaction, respectively. Figure 14.5
depicts typical images from both pre-treated (P.T.) and untreated (U.T.) apple slices
(Nadian et al., 2016b).
As can be seen, the colour changes of P.T. samples were visually lower than the
colour changes of U.T. slices. This difference could be related to the reduction of
the enzymatic and nonenzymatic browning reactions by chemical pre-treatment.
Moreover, pre-treatment increases the rate of moisture evaporation (Zielinska and
Markowski, 2007) and improves the colour and texture of the finished product to a
large extent (Prajapati et al., 2011).
0 min 30 min
U.T. U.T. U.T. U.T.
P.T. P.T.
P.T. P.T.
60 min 90 min
U.T. U.T. U.T. U.T.
P.T. P.T.
P.T. P.T.
FIGURE 14.5 Typical images taken by CVS from both pre-treated (P.T.) and untreated
(U.T.) apple slices at a drying air temperature of 70°C with 30-minute intervals.
Trained inspectors usually perform the colour inspection visually, but it is subjec-
tive, unreliable, tedious, labourious, and costly. Also, colour measurement of food
products under different unit operations using this method is extremely challeng-
ing and is usually limited to inaccurate and invasive measurement techniques. For
example, the surface to be measured by colorimeters must be uniform and small
compared to the whole sample surface area (2 cm2) which leads to unrepresentative
results and moreover restricts global analysis (Mendoza and Aguilera, 2004). As
mentioned before, noninvasive, reliable and fast measurements by CVSs were exten-
sively employed to analyse the surface colour of different foodstuffs during drying
both off-line (Brosnan and Sun, 2004; Yam and Papadakis, 2004; León et al., 2006;
Shafafi Zenoozian and Devahastin, 2009; Fathi et al., 2011) and online (Hosseinpour
et al., 2013; Nadian et al., 2015, 2017a). Nadian et al. (2016a, 2016b) presented a new
method to investigate the colour changes of kiwifruit and apple slices, respectively,
using an in-process CVS during hot air drying.
Usually, the colour of foods has been measured in L*a*b*. In computer vision, the
colour is extracted in RGB NTSC digital format as intensities of red (R), green (G),
and blue (B) channels on a 0–255 scale. The challenge of this format is high nonlin-
earity. In contrast, the L*a*b* space is perceptually uniform, that is the Euclidean
distance between two different colours corresponds approximately to the colour dif-
ference perceived by the human eye. Therefore, the RGB images must be converted
to L*a*b* colour space in order to calibrate the digital colour system. To calibrate
the extracted L*a*b* colour components, measured L*, a* and b* colour values of
a few standard coloured papers (about 20) must be measured by a colorimeter and
then these values are used in a regression model against their corresponding values
measured by the CVS (Nadian et al., 2017b). The calibrated L*, a* and b* values of
images can then be used to calculate the total amount of colour changes during dry-
ing process as (Nadian et al., 2015):
∆E = ( L * − L0 *)2 + ( a * −a0 *)2 + (b * −b0 *)2 (14.3)
where the values of L*0 , a0* and b0* are the values of the lightness, the values of green
to red and yellow to blue of a fresh sample, respectively.
14.2.5 texture
Food texture is also affected by drying conditions. This parameter, as another pre-
viously mentioned attribute of dried foodstuffs, directly affects marketability and
acceptability. Good agreement has been reported between the physical, chemical
and sensorial properties, and visual texture parameters of food during thermal
processing (Gao and Tan, 1996). Usually, the texture of dried fruits samples is mea-
sured by means of force–deformation methods or texture profile analysis (TPA)
with a texture analyser and specific software (Rahman and Al-Farsi, 2005). In this
method, some dried fruit samples are usually compressed in two consecutive cycles
of 60% compression, with an interval of 15 seconds between the two cycles, using
a plane probe with a standard diameter. The following texture values scores will be
obtained from TPA:
• Chewiness (N/mm): The work necessary to chew a solid sample to a steady

state of swallowing
• Hardness (N): Maximum force required to compress the sample
• Cohesiveness: Extent to which the sample can be deformed prior to rupture
• Springiness index: Ability of the sample to recover its original form after
the deforming force is removed
Although TPA provides important information to measure food texture characteris-

tics, the traditional TPA method has certain hindrances to production efficiency as
it disrupts the entire processing line and destroys the product during the test proce-
dure. In recent years, reliable, simple and cost-effective CVSs have roved promising
in measuring food texture attributes. Image texture is a commonly used term in
computer vision. It must be noted that the definition of texture in image processing is
not same as its concept in food industry (Zheng et al., 2006). Texture is recognizable
by the human eye, but a measuring technique is demanded to precisely evaluate tex-
ture quality. In general, visual texture analysis attempts to discern between patterns
of an image by computing the intensity variance within its pixels or by exploiting
the intensity dependency of two adjacent pixels (Gao and Tan, 1996). The analysis
of texture in images is a developing area of research as new algorithms are continu-
ously being sought. There are three major methods to describe the texture of an area
in image processing:
• Statistical
• Structural
• Spectral
Statistical approaches provide textural characteristics such as smoothness, coarse-

ness and graininess. Statistical approaches include grey-level histograms (GLH),
grey-level co-occurrence matrices (GLCM) and grey-level run-length matrices
(GLRM) (Sun, 2011). The grey-level co-occurrence matrix provides information
about the distribution of grey-level intensities with respect to the relative position
of the pixels with equal intensities. The grey-level run-length matrix represents the
occurrence of collinear and consecutive pixels of the same or similar grey levels in
an object. Structural methods deal with the arrangement of image primitives, such
as the description of texture based on regularly spaced parallel lines. Spectral tech-
niques are based on properties of the Fourier spectrum. For some texture analysis,
such as wavelet textural analysis, a combination of the earlier methods is applied.
Wavelet textural analysis can be viewed as a combination of spectral and statistical
methods. It is based on the wavelet transform and decomposition of an image for dif-
ferent textural orientations followed by the statistic of each decomposed component
being computed as one of the textural features of the image (Huang et al., 2001).
The empirical mode decomposition or fast Fourier transform (FFT) is one of the
well-known techniques frequently used to specify the overall texture of foods, as
well as determine a multivariate prediction of the image texture. Fernández et al.
(2005) used a set of Fourier descriptors to demonstrate changes in energy, entropy
and contrast of apple disks in the process of drying. FFT was also used to calculate
spectral power density for one-dimensional colour intensity profiles. Spectral power
density provides information about both the homogeneity of pixel distribution and
some periodical patterns such as surface wrinkling (Martynenko, 2017). The first
peak of spectral power density corresponds to textural uniformity. Second peak and
higher harmonics of spectral power characterise the development of regular wrin-
kles on the root surface. Furthermore, energy is calculated as an integral of spectral
power density.
Recently, when considering the effects of samples structural and positional

changes often occurring during drying process, a few novel image processing
approaches for attaining precise and reliable visual texture features were reported.
These methods, including translation-, scale-, and rotation-invariant image process-
ing approach based on combination of Radon transform, pseudo Fourier–Mellin
transform, and Fourier spectrum-based fractal dimension, are able to eliminate the
undesirable effects of structural and positional changes on the image texture features
(Hosseinpour et al., 2015). All of the aforementioned textural parameters could be
used as valuable input for the decision-making process and optimisation of drying.
As a general conclusion of this section, it can be said that nonhomogeneity,
anisotropy, and also complexity of the processes by which the morphological,
colour, and texture of foodstuffs change hinder the effective application of the previ-
ously developed empirical models for precise real-time monitoring and automation.
Furthermore, it was confirmed that the CVS could be employed for automated and
in-line assessments of foodstuffs’ morphological, colour, and texture changes under
different unit operations. Consequently, the use of CVS is suggested as a powerful
tool to assess the quality of food products during drying.
14.3 IMPROVEMENT OF DRYING PROCESSES

The main goals of new drying technologies are to produce better-quality products
while operating at higher capacities, lowering total costs (energy, maintenance, etc.)
and maintaining safe and controlled operations. In recent years, the focus in food
engineering has been to improve the design and operation of dryers to achieve dried
food products with desired characteristics and quality for gratifying the market and
industrial demand. In addition, the use of smart drying has expanded, creating the
need for more drying methods that decrease the amount of energy required. Thus,
there is an urgent need to design new drying methods and dryers equipped intelligent
control systems for proper management of energy and high-efficiency operations.
14.3.1 hyBrid drying

Several methods are extensively used in the fruit and vegetable drying industry, such
as hot air (Golestani et al., 2013), infrared (Wang, 2002), microwave (Wray and
Ramaswamy, 2015), freeze drying (Li et al., 2014), ultrasound (Garcia-Perez et al.,
2012) and vacuum (Ciurzynˊska et al., 2012). Each method has its own advantages
and disadvantages which determine energy consumption, drying time, shrinkage
and quality degradation rate. Using only one drying method may not be optimal for
obtaining high-efficiency drying. However, a combination of different drying pro-
cesses usually offers unique advantages that a single drying process cannot achieve
(Kudra and Mujumdar, 2009). Hence, the principle motivation in developing hybrid
drying technologies is to minimise product quality changes and energy consumption
yet produce a product with the desired moisture content.
Although many works have corroborated by observation that the implementation
of hybrid drying strategies yields high-quality dried products, the impact of prod-
uct temperature must be considered as an effect on the efficiency of hybrid drying.
For industries producing large quantities of dried foodstuffs, the product tempera-

ture during hybrid drying is a crucial parameter affecting not only duration of the
drying process and energy consumption, but also colour changes and shrinkage; the
exposure of the food to high temperatures for an extended period of time results
in undesirable energy consumption and degradation of quality properties such as
nutrient content and colour. Recent research has employed cyclic time-temperature
varying to enhance product quality and reduce drying time. For example, Vega et al.
(2016) reported that heat-sensitive products can be subjected to high air temperatures
at the first stage of drying. Also, Nadian et al. (2017b) found that increasing the prod-
uct’s temperature accelerates drying process without damaging its quality at the first
stage of drying. All of this research is aimed at better understanding and ultimately
controlling the quality of kiwifruit drying.
Due to the information stated earlier, a good strategy of hybrid drying could be
fast removal of surface moisture with infrared or microwave during the initial stage
of drying and control of product temperature at the second stage to achieve the desir-
able balance between drying kinetics and product degradation, as well as to ensure
safe operation.
14.3.1.1 Energy Consumption of Hybrid Drying

(Hot Air + Radiant Heat Transfer)
In this section, the general method used to measure total energy consumption of
the hybrid hot air–radiant heat transfer dryer are explained based on the results of
Nadian et al. (2017a). As seen in Figure 14.6, the energy consumption (kWh) of the
hybrid hot air–radiant heat transfer dryer is the total energy entering into the control
volume (Equation 14.4).
Energy consumption of hybrid drying is the sum of the energy from hot air con-
vection (QHA) and fan (WFan) plus the amount of energy emitted by radiant heat trans-
fer (QRH ).
E = (QHA + WFan + QRH ) (14.4)
QRH
WFan QHA
Ambient air Hot air

Fan Heaters
V=0 V Y
h1 h2 Z
T1 T2
X
FIGURE 14.6 Total energy flow into the control volume.

where
  V 2  t
QHA + WFan = ρ2YZV ( h2 − h1 ) +   4 (14.5)
  2000   10
I RH XYt (14.6)
QRH =
103
where X, Y, and Z are the length, width, and height of the control volume, respec-
tively. The height of the control volume is determined on the basis of boundary
layer height of airflow on the tray and also Schmidt and Prandtl numbers (Fox
et al., 2005; Asano, 2007). V is the air velocity inside the dryer (m/s); h2 and h1
are hot air and ambient air enthalpies, respectively (kJ/kg); I RH is the amount of
radiation received on the tray surface and is calculated as W/cm2 from the radiant
intensity distribution; t is the duration of drying (h), and ρ2 is hot air density (kg/
m3). Air density varies with temperature, relative humidity, and atmospheric pres-
sure. Air density can be calculated by Equations 14.7 through 14.12 (Jones, 2007;
Gebreegziabher et al., 2014):
ρda (1 + ω) (14.7)
ρa =
(1 + 1.609ω)
0.62198RH (14.8)
ω=
P Pws − RH
exp(77.3450 + 0.0057T − 7235 T ) (14.9)

Pws =
T 8.2
Pda (14.10)
ρda = 0.0035
T
Pda = Pat − PV (14.11)
PV = RH × Pws (14.12)
where:
ρa is air density (kg/m3)
ρda is dry air density (kg/m3)
ω is humidity ratio and expressed as water vapor mass per dry air mass (kg/kg)
RH is relative humidity
Pws is saturation pressure of water vapor (Pa)
T is dry-bulb temperature, usually referred to as air temperature (K)
Pda is the partial pressure of air (Pa)

Pv is the partial pressure of water vapor in moist air (Pa)
P is the atmospheric pressure of moist air in the testing location (Pa)
The enthalpy changes of air (h2 – h1) is calculated using Equation 14.13 (Akpinar,
2004; Kutz, 2015):
h2 − h1 = Ca (T2 − T1 ) + CV (ω2T2 − ω1T1 ) + hwe (ω2 − ω1 ) (14.13)
where the subscripts 1 and 2 refer to ambient and hot air, respectively. Cpa is the spe-
cific heat capacity of air at constant pressure. Ca can be set to 1.006 kJ/kg°C for the
air temperature between −100°C and 100°C. CV is the specific heat of water vapour
at constant pressure (1.84 kJ/kg°C) and hwe is the evaporation heat of water at 0°C
(2502 kJ/kg).
14.4 OPTIMISATION
The fundamental objectives of drying process optimisation are to maximise product
quality and minimise undesirable changes, cost, and energy consumption. Basically,
a shortest processing time (SPT) must be maintained to achieve optimal drying con-
ditions. Commonly, five terms and elements of all optimisation problems are
• Objective function: The objective function can be formulated in terms of

economic, quality, energy consumption or other factors, and restrictions
may be imposed on ranges of parameters allowed.
• Decision variables: Process time, temperature, air humidity, and so on.
• Constraints: Practical limits for the decision variables or other variables.
• Models: White-, black-, and grey-box models.
• Optimisation technique: Response surface, genetic algorithm, and so on.
According to a literature search in drying technology databases, optimisation

using response surface methodology (RSM) is the most common approach (Pérez-
Francisco et al., 2008; Mestry et al., 2011; Sturm et al., 2012). This methodology
is often used for development, improvement, and optimisation of various processes,
where a certain response is influenced by several variables (Baş and Boyacı, 2007;
Bezerra et al., 2008). The most important advantage of this methodology is that it
enables the evaluation of how interactions between independent variables can affect
the process. Nevertheless, this approach has a number of important disadvantages
due to the empirical, local, and stationary nature of the simple algebraic models used.
Several powerful model-based optimisation methods have been developed during
the last few decades which use more rigorous, time-dependent models. These models
can generally be classified in three categories: white-, black-, and grey-box models.
White-box models, also called deterministic models, are based on first engineering
principles such as general balance equations applied to mass, energy, and momentum
(Banga et al., 2003). This model has been extended over the last years, for example to
describe changing moisture ratio, colour, and other quality parameters. The model-
based control or the optimisation of controllers by simulation using an analytical
model has made a lot of progress within the last few years. The advantages of using
such models include the possibility of using simulations to increase process under-
standing, evaluation of several design alternatives for new drying methods, and pro-
cess optimisation and control by performing several tests without wasting time and
cost. However, to make these models usable, some assumptions have to be made and
some limitations have to be assumed. Because of these constraints, over the years,
alternatives have been proposed and, among them, black-box models used alone or in
combination with white-box models (grey-box models) are gaining acceptability and
are increasingly being applied. Black-box models or data-driven models, also called
artificial intelligence (AI) models, are of empirical nature entirely identified based
on input–output data without reflecting physical or chemical process knowledge of
the model structure. In the last few decades, AI methods have gained increasing
attention to solve control problems characterised by nonlinear and time-varying dry-
ing processes. Other advantages achieved by these models include the potential to
learn from failure, predict changes in advance (providing proactive process control
actions), adapt to different system conditions, optimise operation cycles decreasing
process costs, and incorporate the operator’s experiences from past events. The mod-
els are being used for process monitoring, fault detection, and focusing on predictions
of quality parameters of the drying and providing the means of online monitoring
and rapid actuation of the dryer (Nadian et al., 2015). The main disadvantages usu-
ally attributed to these models are the large amount of data that is necessary to train
the models. Despite that, researchers generally agree that the application of these
models can indeed contribute to a significant improvement of drying monitoring
and control. Hence, heuristically soft computing methods, especially artificial neural
networks (ANNs), can be promising alternatives for dealing with the nonlinearities
and complexity of ill-defined processes by using past historical data representing
the behaviour of a system, even if all mechanisms and principles influencing their
behaviour are not clarified. According to results published thus far, ANN can explain
complex patterns, categorise huge data sets, and provide a precise estimation in large
complicated drying processes. Aghbashlo et al. (2015) comprehensively explained
various ANN architectures and their training algorithms, design, and optimisation
techniques for drying processes. Therefore, this method has tremendous potential to
be applied in almost every field of the drying industry. However, ANN has not been
yet extensively applied in real-world microwave and infrared drying systems for
monitoring and control purposes, which are the ultimate of the ANN introduction to
drying technology (Aghbashlo et al., 2015). So far, only Nadian et al. (2017a) seems
to have attempted to use the ANN technique for developing the real-time controlling
strategies and implementing ANN-based modeling on drying operation in an hybrid
hot air-infrared dryer.
Traditionally, solving an optimisation problem consists of two steps. First, dif-
ferent objective function models are developed using mathematical approaches that
include regression methods, theoretical analysis models and differential equations;
and then the optimal conditions are sought using one of several search methods,
such as direct search, grid search, gold-section method and so on, for single vari-
ables, and alternating variable search, pattern search, and Powell’s method for mul-
tiple variables (Sun, 2012). Nowadays, due to the dynamic and complex nature of
processes such as drying, new algorithms like genetic algorithms (GAs) have been
applied in many complex multidimensional optimisation and search problems. GA
advantages over usual conventional optimisation methods (Mazaheri Tehrani et al.,
2017) include:
• The technique is less susceptible to being stuck in local minima.

• A lower degree of knowledge is needed concerning the process’s
optimisation.
• This method is able to find the optimum process parameters when there is
a large search space of available solutions.
Because of its high capability and easy setups for different types of optimisation
problems, GAs have been used frequently for drying process optimisation (Curvelo
Santana et al., 2010; Fathi et al., 2010; Hashemi Shahraki et al., 2014; Jafari et al.,
2016) and neural network training applied in drying (Aghbashlo et al., 2011;
Nazghelichi et al., 2011; Khawas et al., 2016).
14.5 INTELLIGENT INTEGRATED CONTROL

Control of drying process operations in dried food factories has traditionally con-
sisted of maintaining specified operating conditions that have been predetermined
from product and process tests, such as the process calculations for the time and
temperature of products drying. Although conventional controllers are widely used
in industries because they are simple, robust, and familiar to the field operator, unex-
pected changes can sometimes occur during the course of the process operation
such that the pre-specified processing conditions are no longer valid or appropriate.
In these cases, off-specification product is produced that must be either reprocessed
or destroyed at appreciable economic loss, which are known as process deviations.
Because of the emphasis placed on the quality and consumed energy of dried foods,
processors must operate in strict compliance with the best conditions for drying.
Particular importance is placed on product qualities that experience an unscheduled
process deviation, such as when an increase of temperature occurs during the hybrid
hot air-infrared or microwave drying process. This overheating is the result of long
infrared or microwave exposure time that eventually leads to burning. In such a
case, the products will not have received the established scheduled process and must
be automatically controlled. Indeed, unexpected process deviations are not equal
even for the same fruits. Furthermore, the dried industry operates with very diverse
conditions and products and has varied requirements in terms of the portability and
adaptability of the systems developed. Therefore, the control systems of dryers must
constantly search for set points that allow them to correct the process in a real-time
mode after a deviation in order to compensate for the lost quality or energy caused
by the deviation. When this can be accomplished precisely without unnecessary
overprocessing and automatically without operator intervention, it is referred to as

intelligent real-time control.
For high-throughput processes, it is highly desirable to have intelligent real-time
control of processes because any time delay in process adjustment can result in a
significant amount of low-quality product or waste. This is especially true for con-
tinuous drying processes that cannot be stopped and restarted frequently. A good
example of such a process is fruit drying, which requires the constant attention of
experienced operators for prompt process adjustments.
Implementation of intelligent real-time control of fruit drying processes often
encounters two major difficulties. One difficulty is the lack of automated means
for online assessment of quality variables or attributes; the other is the difficulty in
deriving a simple control law for determining corrective actions based on linguistic
quality measurements. The former problem can be surmounted with rapid develop-
ment of CVSs for online monitoring. The latter can be solved by fuzzy systems
which are applied in nonlinear and probabilistic processes or for the situations where
processes could not be modelled mathematically.
14.5.1 machine visiOn

Ideally, manufacturing processes that depend on visual inspection for quality con-
trol can improve quality and reduce labour costs by using machine vision (MV).
The developments in sensor and monitoring equipment and automatic control tech-
niques observed in the last few years have resulted in a significant improvement of
the monitoring and control performance of drying. MV is a strategy for monitoring
and modifying a manufacturing process based on product quality measurements to
achieve greater economy and efficiency in process operations. Most of the initial
MV systems are isolated batch-type operations that target a specific task. However,
in order for MV systems to be a mainstay of the food processing industry, they
must integrate into the overall system design and provide online, continuous, and
automatic control capabilities. Therefore, incorporation of MV into a process con-
troller is being employed as an indispensable quality control mechanism for an
increasing number of different drying processes where non-contact measurement is
preferable. This combination not only allows for evaluating the immediate effects of
drying parameters such as colour, shrinkage, and texture changes during drying, but
also enables the impact of the control action on the process to be evaluated for the
whole system, rather than only at specific sensing points. Hence, a machine vision
control system (MVCS) could provide an effective way of designing an intelligent
control system to enhance drying processes to their full potential. With the ability
for online acquisition of product quality information, corrective actions can be deter-
mined by applying existing control theories and implemented digitally. An MVCS
system consists of two major parts. The first includes the CVS to continuously collect
information from the shape, size, and colour of the drying material and quantify
these quality attributes during the processes. The second is a mechanism by which
necessary process corrections can be made when quality problems are detected.
14.5.2 fuzzy lOgic cOntrOller

Knowledge about the system being studied should be an integral component of an
MVCS. Without an appropriate knowledge base, the vision system cannot think and
make intelligent decisions. This problem is further complicated by the fact that the
output of a vision is a complex combination of many parameters such as size, shape,
texture, and colour. In other words, the dynamics of a drying process are nonlin-
ear and are often complex because of the unsteady state and interactions between
process variables and, for this reason, can be very difficult to predict in an accurate
manner. Also, mathematical models of erratic quality and moisture content changes
are difficult to derive and they are not very accurate, especially when drying param-
eters such as temperature and humidity are not kept constant throughout the drying
process. Traditionally, the models that have been used for product quality are from
kinetic trends, but these models do not approximate the dynamic behaviour of the
processes with the accuracy required in practice. Therefore, it is difficult to establish
models which are sufficiently representative of the phenomenon involved, even for
control purposes. Requirements for intelligent decision making include the ability
to extract pertinent information from a background of irrelevant details; the abil-
ity to learn from primary experiments and to generalise this knowledge and apply
it in different circumstances; and the ability to make inferences from incomplete
information.
The use of soft computing techniques has been recognised as a different approach
to modelling with good results. Expert systems, neural networks and fuzzy logic
are some of the methods of building knowledge bases into computer memories,
enabling them to recognise and interpret image data and thus provide online control
capabilities.
Fuzzy logic control (FLC) systems are applied in nonlinear and probabilistic pro-
cesses, as well as the situations where processes cannot be modelled mathematically
(Herrera et al., 1998). In addition, the organoleptic characteristics of foods are impre-
cise attributes with no defined boundaries. However, using linguistic attributes, they
can be characterised as high, low, and medium quality. Considering these inherent
characteristics, FLC seems to be an appropriate approach for foodstuff applications
such as drying (Li et al., 2010). Although, fuzzy logic is a unique soft computing
method which simultaneously handles numerical data and linguistic knowledge, it
lacks the capability to learn from the given data and the rules that govern the fuzzy
system must be developed by human experts. This process of developing the fuzzy
rule base is difficult and becomes more complicated as the number of inputs and
outputs increases. The hybridisation of fuzzy logic with a genetic algorithm gives
an advanced soft computing algorithm called the genetic fuzzy system (GFS), which
automatically generates the fuzzy rules from the data. Indeed, GA provide a means
to encode and evolve rule antecedent aggregation operators, different rule seman-
tics, rule base aggregation operators and defuzzification methods. This approach was
explained in more detail by Herrera (2008).
The application of neural networks and/or fuzzy logic in conjunction with com-
puter vision systems is rapidly growing and commercial systems are already avail-
able for drying fruit and vegetables based on quality. According to aforementioned
results, a combination of fuzzy logic controller, machine vision, and genetic algo-
rithm application can be a suitable alternative to traditional control strategies. This
combination continuously extracts visual information of agro-food product under
drying and sends this information to an intelligent control system. Therefore, to opti-
mise the dryer control and to perform a drying process with the shortest drying time,
lowest energy consumption and highest quality of dried fruit, a fuzzy-machine vision
control system (FMVCS) can be developed. For example, Nadian et al. (2017a) found
that the FMVCS can become an effective intelligent system for optimal control of
the kiwifruit drying process. This study might be the first report on application of
intelligent FMVCS for fruits drying processing. Hence, this study will be compre-
hensively explained at the end of this chapter. Figure 14.7 illustrates the schematic
diagram of the FMVCS applied in this research which was equipped with a CVS
and a control system. As seen in this figure, two ANNs (ANN-1 and ANN-2) mod-
els were used. The former was in charge of optimizing the fuzzy controller using
a genetic algorithm and the latter was responsible for predicting the moisture ratio
of materials being dried based on image information (∆E and shrinkage). These
networks were designed based on some preliminary drying experiments with hot
air-infrared drying (HID) and hot air drying (HAD) modes and various temperatures
(50°C, 60°C, and 70°C), air velocities (0.5, 1, and 1.5 m/s), and three replications.
Some 6302 data patterns were produced with a recording rate of 30-second inter-
vals. The thickness of all the kiwifruit slices was 3 mm. The ANN-1 network was
used to predict the kiwifruit drying characteristics including ∆E, shrinkage (Sh) and
moisture ratio (MR) with four input variables of time, IR lamps mode (ON=1 and
OFF=0), temperature (T) and air velocity (V). The ANN-2 network was employed
for predicting the sample’s MR from ∆E and Sh as inputs. To optimise the dryer
control and to perform a drying process with the shortest drying time and the highest
quality of the dried fruits, a fuzzy controller was developed and added to the system.
This fuzzy controller was linked to the previously developed machine vision system
to make an optimal FMVCS. The output from this section of the intelligent inte-
grated control system was a new series of set points (air velocity, IR lamps mode, and
temperature) affecting the drying process. A subcontrol unit was used to manipulate
these variables, which are read by sensors, to match as close as possible to the values
of the set points by reducing errors. In the FLC, three parameters including MR, Sh
and ∆E were chosen as input variables and the output variables were temperature
(T), air velocity (V), and IR mode (ON/OFF).
To evaluate the performance of the optimal FMVCS, drying curves (MR-drying
time) and the trends of ∆E, Sh and E changes as functions of MR were compared
with the corresponding trends obtained from drying experiments with no fuzzy
control (Figure 14.8). The moisture of HID samples evaporated faster than HAD
samples (Figure 14.8a). Although HID method considerably reduced the drying time
274
GA ANN-1
Sh
Morphological Binarization IR
Camera
operations
MR V
T
Optimized fuzzy
sR′G′B′ to ΔE ANN-2 controller
L∗a∗b∗
Dryer
Color space Calibration of

conversion L∗a∗b∗
Subcontrol unit
Temperature regulation
PID
Air velocity regulation

Inverter
IR mode regulation
IR
FIGURE 14.7 The schematic diagram of the FMVCS applied by Nadian et al. (2017a).
1.0 HID: 70°C–0.5 m/s

HAD: 70°C–1.5 m/s
0.8 FMVCS
0.6
MR
0.4
0.2
0.0
0 10 20 30 40
(a) Time (min)
14 HID: 70°C–0.5 m/s
12 HAD: 70°C–1.5 m/s
Area shrinkage (%)
10 FMVCS
8
6
4
2
0
1.0 0.8 0.6 0.4 0.2 0.0
(b) MR
8
HID: 70°C–0.5 m/s
7 HAD: 70°C–1.5 m/s
6 FMVCS
5
4
ΔE
3
2
1
0
1.0 0.8 0.6 0.4 0.2 0.0
(c) MR
0.6
HID: 70°C–0.5 m/s
0.5 HAD: 70°C–1.5 m/s
FMVCS
0.4
E(kWh)
0.3
0.2
0.1
0.0
1.0 0.8 0.6 0.4 0.2 0.0
(d) MR
FIGURE 14.8 Relationships between (a) MR and drying time; (b) Sh and MR; (c) ΔE
(colour change) and MR; and (d) E (energy consumption) and MR for optimal condition HID
and HAD drying methods as well as FMVCS of drying. (From Nadian, M.H. et al., Comput.
Electron. Agric., 137, 138–149, 2017a.)
from an end product quality perspective, it did not fulfil the expectations. As can
be seen, sample slices experienced more shrinkage (Figure 14.8b) and more colour
deteriorations (Figure 14.8c) under HID experimental conditions. Regarding colour
changes, the results showed a general increasing trend with decreasing moisture con-
tent (Figure 14.8c). However, the increasing trend of ΔE was steeper for samples
under HID drying than for those under HAD conditions. This seemed to be due
to the increase of the nonenzymatic browning rate, especially at the final stage of
drying when the temperature was the highest and the moisture content reached its
minimum.
In terms of energy consumption, the results showed that HAD drying consumed
more energy in control volume than under HID conditions (Figure 14.8d). The energy
consumption in control volume for the HID method was 0.108 kWh compared to
0.530 kWh for HAD. In other words, the energy consumption of the HAD method
was nearly five times greater than the HID method, indicating much higher energy
efficiency for HID. Despite the shorter drying time and less energy consumption of
the HID method, it did not provide the best quality results in terms of colour and
shrinkage. Hence, finding a possible solution for improving the quality of the end
product could be accomplished with an automated manipulation of drying variables.
FMVCS energy consumption was 0.158 kWh, which is a little bit higher than HID,
however, it is significantly less than HAD strategy. This increase of energy consump-
tion in FMVCS compared to HID is the ultimate cost for the quality preservation,
because introducing HAD at the second stage would require four additional minutes
for drying.
From Figure 14.8 it follows that HAD can preserve quality; however, it is lon-
ger and, therefore, consumes more energy. HID is not an ideal option to be used
independently either; though it facilitates drying and, therefore, saves energy, it
is damaging for quality in certain periods of drying. Results indicate that intro-
ducing HID at the beginning of the drying process does not significantly degrade
the colour of the samples. As seen in Figure 14.8, the FMVCS, which is a com-
bination of the HID and HAD methods with an automatic control of drying vari-
ables, represents a good balance between energy consumption and the quality of
dried kiwifruits. It was found that developed FMVCS could decrease the dry-
ing time and energy consumption effectively (compared to HAD) and with little
colour change (compared to HID). The minimal difference between FMVCS and
HAD in colour along with the minimal difference between FMVCS and HID in
energy consumption satisfies the objective of control. One could assume that the
performance of HID could be improved simply by turning on IR lamps only for
the first 15 minutes and then turning them off. However, it should be noted that
this simplification is possible only for the particular case of kiwifruit drying in
the specified range of temperatures and velocities; it could not be generalised
for other drying applications. Nevertheless, the developed general structure of
intelligent (fuzzy) control system is applicable for any material and operating
conditions.
Therefore, the FMVCS can be employed for automatic and in-line control of
foodstuffs’ quality under different unit operations and helpful in quality control of
processes.
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15 An Overview on
Neural Networks in
Physical Properties and
Drying Technology
Fábio Bentes Freire, Flavio B. Freire,
Maria do Carmo Ferreira, and José Teixeira Freire
CONTENTS
15.1 Introduction ................................................................................................. 281
15.1.1 Background on Artificial Neural Networks .................................. 283
15.2 Case Studies ................................................................................................284
15.2.1 Case Study 1: Thin-Layer Drying Kinetics of Mint Branches
and Their Fractions ....................................................................... 285
15.2.1.1 The Neural Network Design......................................... 287
15.2.2 Case Study 2: Milk Drying in a Spouted Bed ............................... 289
15.2.2.1 Mathematical Model..................................................... 291
15.2.3 Case Study 3: Fitting Performance of Artificial Neural
Networks and Empirical Correlations to Estimate Higher
Heating Values of Biomass ........................................................... 294
15.3 Conclusions ................................................................................................. 301
Nomenclatures ....................................................................................................... 301
References ..............................................................................................................302
15.1 INTRODUCTION
Drying is a unit operation largely found in many industries such as food, pharmaceu-
tical, chemical, and waste treatment. The removal of excess water not only inhibits
some biochemical reactions that occur in the presence of moisture but also reduces the
cost of transportation and the degree of hazard, improving safe storage. Furthermore,
drying may add value to a dried product, making it reusable. Occasionally it is a
preliminary thermal treatment required for further processing. Some examples that
fit that description are the drying of biomass products before combustion to generate
thermal energy or pyrolysis to produce fuels and chemical feedstocks, or the drying of
aromatic herbs and condiments carried out formerly to solvent extractions.
Drying may be a quite complex operation since in a typical drying process more
than just the drying conditions are relevant. Effective supervision of the quality of
281
supplies and of the finished product is essential to a successful operation. As pointed

out by Aghbashlo et al. (2015), all the steps related to product formulation, drying,
and finished-product quality are interlinked in sequential steps that include prod-
uct formation or treatment, drying optimization and control, and quality analysis.
Additionally, one should consider aspects related to energy consumption, as drying
is a unit operation of rather low thermal efficiency, ranging from 25% to 50%, as
low as 10% in some instances. It is estimated that 15% of the energy used by indus-
tries is related to drying. Consequently, industrial drying costs are intimately related
to energy management. Similar to other energy-intensive operations, high-quality
energy management can be achieved by using suitable monitoring and control strate-
gies, so that equipment can be operated closer to optimal conditions.
Since its inception in the 1980s, the research activities of the Drying Center of
Pastes, Suspensions, and Seeds—the drying research facility of the Department of
Chemical Engineering at Federal University of São Carlos—have focused on ana-
lyzing all the steps concerned with drying operations. Drying of a broad variety
of products in both conventional and innovative equipment has been investigated,
aimed at process analysis, optimization, implementation of control strategies, energy
management, and evaluation of finished products quality (Brito et al., 2017; Freire
et al., 2016; Lima-Corrêa et al., 2017; Perazzini et al., 2017a, 2017b; Rosanova et al.,
2017; Silva Costa et al., 2016; Vieira et. al., 2015). As the main interest of researchers
at the Drying Center lies in drying particulate materials, intermediate operations,
such as particulate solid feeding systems and separation devices, have also been
consistently investigated (Lopes et al., 2011; Pádua et al., 2015; Sousa et al., 2010).
Given the wide variety of products and equipment dealt with, many challenges have
to be faced for deriving reasonable physical-mathematical models able to describe
the complex interactions among process variables, estimating model parameters,
predicting physical and thermal properties, and so on. In this context, we found that
neural networks are a powerful tool to overcome some bottlenecks associated with
drying modeling. They offer alternatives to mechanistic or empirical models that fail
to describe a drying process or are not suitable for a given application, and they can
be used to estimate physical properties or model parameters as well.
Based on research developed at the Drying Center of Pastes, Seeds, and Suspensions,
this chapter will present a few case studies in which artificial neural networks (ANNs)
were used to predict drying parameters, physical properties, and phase coupling terms
for the overall mass and energy balances applied to describe drying processes. In the
first case study, an ANN was used to predict the drying kinetics of mint branches and
of their fractions—leaves and stems. Owing to the heterogeneous composition of the
aromatic herbs, the use of classical phenomenological or purely empirical equations
is restricted to a narrow range of conditions. In such cases, the ANN appears as an
appealing alternative because a single network can be applied to estimate the moisture
content of the branches and their fractions. In the second case study, an ANN was used
to predict the phase coupling term in a model designed to estimate the temperature and
moisture dynamic profiles in spouted-bed drying pasty materials. The combination
of ANNs and phenomenological models is a technique known as grey-box modeling.
Finally, in the third case study, the ANN was used as a tool to predict the higher heat-
ing values of biomass products, in the context of drying, based on a compilation of
Neural Networks in Physical Properties and Drying Technology 283
literature data. All the models were verified using experimental data obtained either
by our research group or available in the literature. Our goal is to demonstrate that the
ANN is a powerful tool to overcome the numerous drawbacks found in the application
of purely mechanistic models and also to fit data in multivariable and highly nonlinear
systems, which are quite common in drying. A few important concepts for the design
of ANNs will be approached in the next section.
15.1.1 BackgrOund On artificial neural netwOrks

Artificial neural networks are a computational method of programming formed by var-
ious processing units, called artificial neurons, which may correlate databases between
themselves. Figure 15.1 shows a typical structure of a three-layer neural network:
The first step in designing a neural network is to select its basic structure, with
given neurons and hidden layers between the input and the output. A typical input/
output relationship of a neural network is given by:
y = b2 + LW. tansig(b1 + IW. x ) (15.1)
where:
y is an output vector
x is an input vector
LW is the connection matrix of weights corresponding to all the arcs from the
hidden layer to the output layer
IW is the connection matrix from the input layer to the hidden layer
b1 and b2 are the bias vectors for the hidden and output layers, respectively
In a feedforward neural network, the signal received by the intermediate (hidden)

layer goes to the neurons of the output layer. In the hidden layer, in turn, each unit (Yj)
sums its weighted inputs and applies the activation function to generate the output
signal according to:
 
Yj = fact ⋅ 


∑
i =1
Wij X i + b j 


(15.2)
Hidden layer
Input layer Output layer
Weights
FIGURE 15.1 Three-layer neural network.

where Wij is the weight of the connection between the i-th input and the j-th neuron
in the hidden layer and bj is the bias weight of the unit j. The activation function used
in this work is the tan-sigmoidal, given by:
1
fact (χ) = (15.3)
1 + e −χ
The output from neuron Yj is sent to all units of the output layer. Each output neuron
Ok sums the weighted input signal and applies the activation function according to:
 
Ok = fact 


∑V Y + b 
j =1
jk j k (15.4)
The weights Wij of each connection between neurons in adjacent layers are deter-
mined during the network learning process. The learning process uses nonlinear
optimization algorithms to update the weights, and once a network has been trained,
it can provide a response with straightforward calculations (Equation 15.1), which is
one of the advantages of using a neural network instead of fully mechanistic differ-
ential models. The learning step consists of iterations that often start with small ran-
dom numbers as the values of the weights in the network. The inputs of the training
set are provided to the network, and the resulting outputs are calculated. The error
between the outputs of the network and the known (targets) values is calculated and
an optimization algorithm is executed in order to change the weights accordingly.
Iterations are terminated when the value of the calculated error starts to increase
with special care to avoid local minimums.
Like any data-fitting technique, the neural network is also evaluated on its abil-
ity to fit the training data and predict outside the training set. Usually, the goal of
statistical methods is to identify the effect of each variable on the response so as
to justify increasing or decreasing model components. However, it is difficult to
interpret the final neural network structure in terms of the components in a physi-
cal process. Given that neural networks are empirical models, the question of the
adequacy of a model has to be related to the process of interest and the decision
criteria employed. An appropriate neural network should exhibit good general-
ization for new data and computational efficiency, which means that the smaller
the network, the fewer the parameters and the data required and the shorter the
identification time involved.
15.2 CASE STUDIES

The following three case studies will be approached in this section: (1) thin-layer
drying kinetics of mint branches and their fractions; (2) milk drying in a spouted
bed; and (3) artificial neural networks and empirical correlations to estimate higher
heating values of biomass.
15.2.1 case study 1: thin-layer drying kinetics

Of mint Branches and their fractiOns
Leaves consist of perhaps the most difficult particulate system to be modeled and
processed by conventional techniques. Due mainly to their fluid dynamic character-
istics, leaves are a particular case in large-scale industrial applications. The study of
the drying kinetics of peppermint leaves and stems is a key step in the development
and optimization of industrial scale dryers. A purely theoretical approach to the
problem is practically unfeasible. Neural networks are an interesting alternative to
model the kinetics of drying, using a single equation valid for a wide range of operat-
ing conditions. Among the main advantages of this technique are the fact that neural
networks conveniently handle the nonlinear behavior of processes and that their final
algebraic equations allow for rapid calculations to be performed. The neural network
successfully replaces experimentally adjusted empirical models that only apply to
a narrow range of operating conditions. In order to provide an insight into the use
of neural networks in drying processes, a simple case study involving the drying of
mint in a thin-layer fixed bed cell is depicted in what follows.
Mint is an aromatic herb that contains essential oils of high economic value,
widely used in food, flavor, fragrance, cosmetic, and pharmaceutical industries. The
plants belonging to mint genus include many varieties; the most cultivated world-
wide for essential oil production are the peppermint and the spearmint (Abbaszadeh
et al., 2009). Owing to its pleasant and fresh flavor, mint plants also serve culinary
purposes and are traditionally used in natural medicine for a variety of diseases
(Andrews, 1996; Chawla and Thakur, 2013; Kunnumakkara et al., 2009). The com-
mercial interest in mint plants comes from the two classes of secondary metabolites
found in their essential oil, namely the monoterpenoids and the phenolic compounds.
The secondary metabolites act as antioxidants, anti-inflammatory compounds, anti-
spasmodics, antiemetics, diaphoretics, and antiviral agents (Mimica-Dukic and
Bozin, 2008). Menthol is the main monoterpene in mint essential oil, followed by
menthone and their derivatives (e.g., acetyl menthol, isomenthone, pulegone). Other
secondary metabolites are alkaloids, tannins, and steroids. The phenolic compounds
include rosmarinic acids and flavonoids (Palmer, 2012; Sujana et al., 2013, Ullah
et al., 2011). Detailed information on aspects of botany, ethnopharmacology, and
uses of mint plants may be found elsewhere (Ferreira and Rosanova, 2015).
After harvest, fresh herbs contain on average up to 80% of water (in wet basis),
therefore reducing their water content is necessary to preserve their quality during pro-
cessing and storage for extended periods. When large amounts of material have to be
processed, the most common treatment to reduce the water content is thermal drying.
Usually, the herbs are exposed to hot air in ovens or in convective dryers where they
are heated up to a moderate temperature. In this process, the internal moisture moves
to the solid surface and evaporates into the gas phase. The first challenge in drying
plants is the selection of an adequate dryer and of adequate drying conditions to avoid
damaging the plant structure and to prevent loss of constituents. Once a configuration is
defined, the next challenge is to predict the solids’ moisture content variation through-
out time as a function of process variables. As the main objective is to achieve a desired
moisture content with minimum energy consumption and minimum degradation of
bioactive compounds, the solids’ moisture is a key variable to be monitored in this

process. Nevertheless, the measurement of solids’ moisture is not straightforward in
dynamic conditions, as the simplest and low-cost procedures are based on sampling
and gravimetric techniques that are time-consuming and not adequate for online mea-
surements. Additional drawbacks arise when dealing with fresh herbs, as the plants
may be quite heterogeneous with regard to their size and shape. Mint branches, for
instance, contain leaves and stems which are commonly dried together in commercial
facilities, as both parts contain constituents of interest. These fractions, however, have
rather different morphological features—while the leaves are flat, thin, and flexible, the
stems are cylindrical shaped and have a rigid structure. These characteristics lead to
different resistances to moisture removal, and therefore to distinct drying rates under
the same operating conditions. When the process is analyzed based on measurements
of the moisture content of the branches, the results may yield misinterpretations, as the
measured values may not represent the local moisture of each fraction well.
Drying rates are affected by numerous factors, including the dryer configuration,
the process variables (such as air temperature and velocity), and the product’s physical-
chemical characteristics. Given the complex phenomena involved, modeling based on
purely phenomenological models is often unfeasible. A classical method is to fit empiri-
cal or semi-empirical equations to experimental data, based on a lumped approach that
assumes isothermal conditions in the samples. The semi-empirical equations are gener-
ally simplified or modified forms of Fick’s second law, such as the Lewis and Page equa-
tions, where k is a drying constant (Akpinar, 2006; Kaya and Aydin, 2009). Empirical
models may be derived by analogy to Newton’s law of cooling and originate the equa-
tions known as drying kinetic models. Some examples of well-known equations com-
monly used to predict drying kinetics of a variety of products are shown in Table 15.1.
Our research team has investigated drying kinetics and quality attributes of a
few aromatic herbs aimed at evaluating how the drying configuration and operat-
ing conditions affect their extracts, volatile oil, and constituents (Brito-Lima and
Ferreira, 2011; Lima-Corrêa et al., 2017; Rosanova et al., 2017). Mint branches and
their fractions—stems and leaves—were dried by different methods and their mois-
ture contents were evaluated to assess the influence of morphological features on
drying kinetics of the different parts of the plant. Tests have been conducted under
different drying configurations, such as using thin-layer samples exposed to cross air-
flow, drying samples in a natural convection oven, and also using an innovative rotary
drum dryer with transversal airflow (Rosanova et al., 2016, 2017). The experimental
TABLE 15.1
Some Kinetic Drying Models
Model Name Model Equation
Lewis MR = exp( −kt ) (15.5)
Page MR = exp( −kt ) n (15.6)
Henderson & Pabis MR = a exp( −kt ) (15.7)
Logarithmic MR = a exp( −kt ) + c (15.8)
Midilli & Kucuk MR = a exp( −kt n ) + k0t (15.9)
data obtained in these assays have been successfully fitted to empirical equations to
predict the moisture content. The main drawback related to these equations, how-
ever, is that they lack generality. Because they depend strongly on experimental con-
ditions and are restricted to the tested range, one equation has to be fitted for every
experimental condition and, in the case of mint plants, for every fraction as well.
The versatility of neural networks to fit a broad range of experimental data in a
single algorithm is an obvious advantage in that situation. In the next section, the
results obtained will be presented and discussed.
15.2.1.1 The Neural Network Design

The design of a neural network begins with a thorough and careful analysis of the
experimental database. The learning process of the network depends heavily on the
quality of the database, especially as regards the size, precision, and distribution of
the measures. A good neural network should fit well with the learning data and also
needs to estimate well data outside this database. These features are reached during
the network learning process, that is, the adjustment of weights between the connec-
tions of neurons. A feedforward type of ANN was designed with the aid of the Neural
Networks toolbox of MATLAB 2015, with the Levenberg-Marquardt optimization
algorithm to determine the weights and the backpropagation method for training. The
choice for a neural network with a single hidden layer, commonly found in most appli-
cations in chemical processes, was to keep the simplest possible input/output relation-
ship as given by Equation 15.1. The final aim is to design a neural network with the
smallest possible number of neurons. In the limit where the number of weights equals
the number of data points, the regression coefficient (R2) reaches the value 1, but the
neural network loses its ability to generalize, becoming too specific to the training
set. The correct choice of a good neural network is one that has the highest R2 and the
smallest verification error. The training is then done repeatedly until such a network
is found within a reasonable training time interval. One of the major drawbacks in the
design of neural networks is the existence of multiple local minima that make it dif-
ficult to choose the best performance. The best neural network structure obtained by
trial and error, as previously mentioned, was that shown in Figure 15.2.
Thin-layer drying experiments were done at air temperatures of 50°C and 60°C
and drying air velocities of 1 and 1.5 m/s for branches, stems, and leaves, and mois-
ture content measurements were used for design and training of the artificial neural
network. At the end of the development stages of a network, the resulting matrixes
and vectors of Equation 15.1 were:
 2.1721 −0.0927 0.0129 0.5079 

 
 −2.2297 −0.1530 0.0153 −14049 
 
IW =  −3.2679 −3.7978 2.5904 1.0933  (15.10)
 
 3.3417 −0.0923 −0.0163 0.2761 
 
 0.9329 0.3934 
 3.5855 0.0746
Hidden
layer
Input
layer
Temperature
Output
Air velocity layer
Moisture
content
Time
Leaves and stems

fractions
FIGURE 15.2 Simplified structure of the neural network.
 1.7140 
 
 −2.4963 
b1 =  0.6710  (15.11)
 
 4.1447 
 3.9219 
LW = [ −1.0615 −1.3306 −0.0619 −3.4675 −0.6468] (15.12)
b2 = 2.8257 (15.13)
Excessive bias in the outputs may be the result of underfitting, which is when a
network is not sufficiently complex to detect fully the signal in complicated data.
MATLAB’s Neural Network toolbox has special features to prevent the occurrence
of both underfitting and overfitting. The good fit of the neural network to the training
data in the learning step can be seen in Figure 15.3.
1 Data points
2
Estimated kinetics
Y = X R = 0.9956
0.8
0.6
0.4
0.2
0
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
Experimental kinetics
FIGURE 15.3 Measured against estimated solids moisture content.

TABLE 15.2
Verification Results for Data Outside the Training Database
Measured Estimated Absolute
Type of Instant Air Velocity Air Temperature Solids Solids Relative
Biomass (min) (m/s) (°C) Moisture Moisture Error (%)
Leaves 15 1 50 0.5605 0.5484 2.2
Leaves 15 1.5 60 0.5085 0.5282 3.9
Leaves 15 1 50 0.3818 0.3604 5.6
Leaves 15 1.5 60 0.2483 0.3122 25.7
Stems 30 1 50 0.6996 0.6676 4.6
Stems 30 1.5 60 0.6321 0.6044 4.4
Stems 30 1 50 0.5296 0.5377 1.5
Stems 30 1.5 60 0.4243 0.4628 9.1
Both 50 1 50 0.3817 0.3769 1.3
Both 50 1.5 60 0.3373 0.3258 3.4
Both 50 1 50 0.2029 0.2094 3.2
Both 50 1.5 60 0.1399 0.1428 2.1
MEAN 5.6
In the learning process, from the data provided by the 36 experimental assays,
80% were used for network programming, 10% for validation, and 10% for tests.
Checking the network for data outside the database should be done at the same time
that the training is performed. The neural network obtained at the end of the design
steps provided the following verification results.
The performance of the network in the verification step using data outside the
training database showed that it is a potential tool to model the kinetics of thin-layer
drying of leaves. The neural network has a much broader scope than the correlations
shown in Table 15.2. A comparison between the performance of these two techniques
for the drying of mint in a convective chamber was done in Rosanova et al. (2017).
It should be emphasized at this point that MATLAB greatly facilitates the design of
neural networks, having several specific tools for a wide range of applications.
15.2.2 case study 2: milk drying in a spOuted Bed

Many well-established methods to produce powders of interest for different indus-
trial sectors consist, basically, of evaporating the water from solutions or pasty
materials. Spray drying is a classical technology widely applied to manufacture pow-
ders such as milk, soap, and coffee, and has been extensively described elsewhere
(Masters, 1979). Using fluidized vessels with inert particles for drying pastes and
producing powders is a low-cost technology that is emerging as an alternative to
spray drying. Although this technology has been applied successfully to drying a
broad variety of materials (Freire et al., 2011), it still needs improvement on aspects
such as process control, design flexibility, and scale-up to be commercially attractive.
The authors are engaged in a long-term project to develop reliable models capable of
describing the dynamic behavior of important variables in paste drying using inert
particles. As the powder moisture is the most relevant quality parameter to be moni-
tored in this process, the ultimate goal is to implement an effective control strategy
to monitor the powder moisture content at the dryer outlet.
Research has been conducted on the use of spouted and vibrofluidized beds to dry
different types of pastes. For convenience, this case study will focus on spouted-bed
milk drying, but it is worth noting that the analysis is essentially similar regardless
of whether a spouted or a vibrofluidized bed is used. Some useful information on
spouted bed configurations and features will be presented in the following to support
further analysis.
The classical spouted bed configuration consists of a diverging conical base with
or without a cylindrical part above it, as schematically illustrated in Figure 15.4. Hot
air is fed into a central inlet orifice located at the bottom of the conical base, at a high
enough flow rate to carry the particles into the flow. After decelerating, these par-
ticles rain back onto the annular region between the hollowed core and the column
wall, thus establishing a continuous circulating flow pattern. In Figure 15.4, Wi and
Wo represent the air inlet and outlet flows and Fi represents the paste liquid feeding.
The liquid or paste is atomized or dropped at the top of the vessel by an appropri-
ated device and coats the particles, forming a wet layer over their surfaces which is
gradually dried. The moisture of the coating reaches a critical value when it becomes
fragile and brittle, and because of the friction caused by the particle-to-particle and
particle-to-wall collisions, the rupture and release of the dry film occur. The powder
is elutriated into the airflow and then collected in a separating device.
The solid circulation rates, minimum air spouting velocity (ums), and pressure
drop (ΔPms) in dry spouted beds have been extensively investigated and a detailed
yo, Wo, Tgo, Fo, xo, Tpo

o
Fi, xi, Tpi
yi, Wi, Tgi
FIGURE 15.4 Spouted bed with inert particles.

review of these topics may be found in Epstein (2011). These are important param-
eters to fully assess the fluid dynamic behavior and stable operating conditions in
spouted beds. It is agreed that they are affected by a huge number of variables,
including those related to the vessel geometry (column diameter, angle of the conical
base) and to the inert particle properties (density, size, and shape). They also depend
on operating conditions, such as the air temperature and the mass or static height of
inert particles. In drying pastes, Freire et al. (2012a) pointed out that the paste is a
likely source of instability, caused by the development of interaction forces owing
to the liquid bridges formed in the moist beds. These forces lead to adhesion and
agglomeration of the particles (Freire et al., 2011) and if not adequately controlled
may cause a collapse of spouting. Experimental evidence indicates that parameters
such as ΔPms, ums, source height, and particle circulation rate undergo major changes
in the presence of pastes (Almeida et al., 2010; Bacelos et al., 2005; Patel et al., 1986;
Schneider and Bridgwater, 1993; Spitzner Neto et al., 2002).
When it comes to modeling, there are three types of models, namely the purely
empirical, the ones that consider global conservation balances (Almeida et al., 2010;
Barret and Fane, 1990; Kmiec, 1975; Markowski, 1993; 1997; Pham, 1983), and
those based on the analysis of interparticle forces (Bacelos et al., 2005; Passos and
Mujumdar, 2000; Schneider and Bridgwater, 1993). Nonetheless, predictions of fluid
dynamics during the drying process are extremely difficult to achieve when per-
formed through models that are solely physical or mechanistic. A good description
of the process is not fully assessed yet, especially regarding incorporating the fea-
tures of the paste. A more comprehensive phenomenological model, however, would
require the estimate or adjustment of a number of parameters that are difficult to
measure experimentally. Local measurements are usually invasive and few are accu-
rate, especially in the presence of the pastes.
The possibility of combining phenomenological and empirical models is quite an
attractive option to advance in the modeling of systems exhibiting complex phenomena
(Karimi et al., 2011), as in the case of spouted bed paste drying. A review of the lit-
erature shows that the hybrid/neural models have been used to evaluate many drying
processes in different configurations such as in rotary dryers (Alvarez et al., 2005;
Cubillos et al., 2011; Mateo et al., 1999), and solar tunnel dryers (Bala et al., 2005).
Recently, the authors have successfully applied this approach to model spouted bed
paste drying (Freire et al., 2012).
The ANN is used mainly to predict parameters required to solve the global bal-
ance equations. In this case study, the predicted parameter was a phase coupling
term in which the simultaneous phenomena of water evaporation and of kinetics of
inert particles coating were considered. In general, the hybrid models implemented
showed good results and were able to predict variables typical of a drying process
such as moisture of the solid, temperature of the solid and gas temperature. A brief
description of the mathematical model applied to milk drying in spouted bed with
inert particles is provided in the next section.
15.2.2.1 Mathematical Model

The mathematical model used to estimate the heat and mass transfer phenomena was
derived from the global balance equations. The main assumptions in this model are
(1) the spouted bed behaves as a perfectly stirred tank, (2) the gas phase behaves as
an ideal gas, (3) paste retention in the spouted bed is not significant, and (4) water
diffusion in the paste film coating the inert particles is neglected. Based on these
assumptions, the moisture changes in the gas and liquid phases were calculated from
the global mass conservation balance, according to Equations 15.14 and 15.15:
dy 0 1
= {Wi yi − W0 y0 + k } (15.14)
dt mg
Fi xi − k
Xo = (15.15)
Fo
The calculations for the changes in temperature of the exhaust gas were performed
using the global energy conservation balance given by:
dTgo Wi cpgiTgi + Fi cppiTpi − WocpgoTgo − FocppoTgo − λk − q

= (15.16)
dt mg cpgo + mscps + m j cp j
In Equations 15.14 through 15.16, the letter k represents the phase coupling term in
which the simultaneous phenomena of water evaporation and of kinetics of inert par-
ticles coating are considered. The term was determined by a neural network which
was coupled to the theoretical model originating a hybrid or gray model, whose
numerical solution was performed according to the data flow chart represented by
Figure 15.5.
The change in moisture content of the powder was estimated during drying by
a hybrid model based on global mass and energy balances together with a neu-
ral network (ANN) for the phase coupling term. In addition, another neural net-
work was used to predict pressure drop during steady operation. The spouted bed
dynamic behavior based on the maximum feed flow rate for the four types of milk
was initially taken into account to evaluate the effect of the presence of sugars and
fats. The results are shown in Table 15.3 for the conditions of 80°C–1.15 ums and
100°C–1.30 ums.
In order to take into account the fluid dynamic influence of the milk on drying,
the mathematical model included a neural network trained from experimental data
Fi Tg
Tgi k
ANN f(•)
Xs
t
FIGURE 15.5 Data flow chart of the simulation process in spouted bed milk drying.
TABLE 15.3
Maximum Feed Flow Rate in Which the Spouted Bed Was Capable of
Operating in a Stable Manner
Velocity above Paste Feed Flow
Paste Temperature (°C) Minimum Spouting Rate (mL/min)
Whole milk 80 1.15 40
100 1.30 60
Semi-skimmed milk 80 1.15 20
100 1.30 40
Skimmed milk 80 1.15 20
100 1.30 40
Low-lactose content milka 80 1.15 20
100 1.30 40
a Same fat concentration as that of semi-skimmed milk.
for different feed flow rates. The estimates of this neural network were used to adjust
the transfer parameters of the model. The training followed by verification was done
by varying the number of neurons in the intermediate layer of the network. The best
neural networks had between 2 and 4 neurons. The results of this step are shown in
Table 15.4.
Although the chemical composition varies considerably in the different types of
milk, the neural network was able to provide good estimates of the pressure drop
in the stable spout. In addition to the hydrodynamic evaluation of the bed, a ther-
mal and mass transfer analysis was also performed. Figure 15.6 shows the experi-
mental results of temperature and relative humidity throughout the process, together
with the estimates of the CST/Neural Network model for the drying of whole and
skimmed milk. Operating conditions for both experiments were as follows: feed
flow rate of 20 mL/min, inlet air temperature of 100°C and at velocity 30% above the
velocity of minimum spouting for the skimmed milk. For the whole milk, the feed
flow rate was 40 mL/min, the temperature was 80°C, and the inlet air velocity was
15% above the velocity of minimum spouting.
TABLE 15.4
Relative Error (%) to Estimate the Pressure Drop
Type of Milk Relative Error (%)
Whole 2.10
Skimmed 1.26
Semi-skimmed 1.89
Low-lactose content 1.75
100
100
Measured skin milk
Measured whole milk
80 80 Estimated
60 60
UR (%)
Tg (°C)
40 40
20 Measured skin milk 20

Measured whole milk
Estimated
0 0
0 500 1000 1500 2000 2500 3000 3500 0 500 1000 1500 2000 2500 3000 3500
(a) Time (s) (b) Time (s)
FIGURE 15.6 Experimental and estimated gas temperature (a) and relative humidity (b) for
the skimmed milk under the condition of 80°C–1.15 ums–20 mL/min, and of 100°C–1.30 ums
–60 mL/min for the whole milk.
The results showed that the joined use of a theoretical model together with two
neural networks provided reliable estimates of the main drying variables. As in the
previous case, it was possible to design a single network capable of generalizing suf-
ficiently well over a wide range of operating conditions. Further information on the
simulations can be found in Freire et al. (2012b).
15.2.3 case study 3: fitting perfOrmance Of artificial

neural netwOrks and empirical cOrrelatiOns tO
estimate higher heating values Of BiOmass
In many real-life applications, drying may be a pre-processing step of paramount impor-
tance to the quality of the final product. The use of biomass as an alternative source
of energy is an example of this, the better and more careful the drying, the better the
thermal treatment efficiency. Organic solid waste is one of the raw materials of most
interest as a source of renewable energy. There are three major types of biomasses to
obtain energy from: lipids, sugars/starches, and cellulose/lignocellulose. The estimate of
the gross calorific value (PCS), whose determination methods require long periods and
are relatively expensive, is crucial in the analysis and development of bioenergy systems.
There are empirical correlations in the literature for higher heating value (HHV) deter-
mination based on both elemental analysis data (more demanding in terms of instrumen-
tation) and proximate analysis data (simpler and easier to achieve experimentally). In the
following, the feasibility of using ANNs and empirical correlations to fit and estimate
the gross calorific value of biomass from proximate analysis databases available in the
literature will be shown. Starting from a database of 100 records and then raising the
database to 225 and thereafter to 350, it was possible to analyze the differences between
basic fitting characteristics of ANNs and correlation models. Six HHV values of biomass
available in the literature were used to verify the validity of the fittings.
Although ANNs are relatively easy to implement with a given toolbox, in many
ways, empirical correlations are easier to handle than neural networks, being found
more often in real-life applications. While this is true, the empirical correlations avail-
able in the literature may fail to attain reasonable performance in some cases. It is
therefore interesting to compare the performance of the neural network with a simple
correlation to see the aspects that justify the use of a more sophisticated fitting method
in the context of this work. In this study, the following algebraic empirical equations
were used for comparing their prediction with that of the proposed neural network:
HHV = aFC + bVM + cAsh (15.17)
which assumes HHV of the fuel to be a linear function of its volatile, nonvolatile, and
inorganic constituents.
 FC 
HHV = aFC + b   + cVM + dAsh (15.18)
 VM 
which assumes HHV of the fuel to be a linear function of its volatile, nonvolatile,
and inorganic constituents, and to the ratio of nonvolatility to volatility constituents.
HHV = aFC + bFC 2 + c( FC .VM ) + dVM + eVM 2 + fAsh (15.19)
which assumes HHV of the fuel to be a polynomial function of its volatile, nonvola-
tile, and inorganic constituents. In all three of the previous equations, data fitting
was done using the Levenberg-Marquardt least squares method and a, b, c, d, e, and
f were the fitting parameters.
In this work, a network of seven neurons in the hidden layer (Figure 15.7) showed
to be suitable. The database available in Parikh et al. (2005), with 100 records, was the
starting point of this work. From this initial database, the neural network was trained
and the empirical correlations given by Equations 15.1 through 15.3 were adjusted
(Example A). Then, another 125 data points from Nhuchhen and Salam (2012) were
added to the initial 100, followed by the training and fitting steps previously men-
tioned (Example B). After this, the remaining 125 points available in Nhuchhen and
FC 3
VM HMV
4
Ash
5
FIGURE 15.7 Multilayer single output (HHV) neural network with seven neurons in the
hidden layer, and three inputs (FC, VM, Ash).
TABLE 15.5
Fitting Parameters for Case A
Fitting Parameters
Equation a b c d e f
8 0.3561 0.1585 −0.0015 — — —
9 0.3604 −0.0198 0.1575 −0.0017 — —
10 0.3307 2.8838 × 10−4 9.0549 × 10−5 0.1705 −1.1765 × 10−4 −8.7336 × 10−4
TABLE 15.6
Fitting Parameters for Case B
Fitting Parameters
8 0.3496 0.1612 −0.0041 — — —
9 0.2554 40.0236 0.0669 −0.0999 — —
10 0.3584 6.8285 × 10−5 −6.8549 × 10−4 0.1609 1.2649 × 10−4 −0.0056
TABLE 15.7
Fitting Parameters for Case C
Fitting Parameters
8 0.3368 0.1646 0.0113 — — —
9 0.3451 −0.0022 0.1625 0.0075 — —
10 0.3241 3.7667 × 10−4 −4.1530 × 10−4 0.1947 −2.8207 × 10−4 −0.0025
Salam (2012) database were included (Example C). The resulting fitting parameters
for cases A, B, and C are shown, respectively, in Tables 15.5 through 15.7.
The number of neurons in the hidden layer was chosen by trial and error, beginning
with a neuron and adding more neurons until the network performance in estimating
the correct output was satisfactory. The final aim was to create a neural network with
the smallest possible number of neurons (Estiati et al., 2016). Figure 15.8 shows the
mean relative error behavior of the network in the training step.
From 9 neurons on, despite the improvement in fitting the training data, the net-
work begins to lose its ability to estimate values outside the database. A reasonable
number of neurons for this application was found to be of around seven. In order to
avoid overfitting, the ANN was not excessively trained (Patel et al., 2007). Overfitting
may occur or a bad local minimum may be reached with excessive training. In the
training process, as the number of iterations in the optimization step is increased,
the error in the predictions for the training set decreases due to a better fitting of
the data to the ANN. Accordingly, the following procedure was used for estimating
5.5
Mean relative error %

5
4.5
3.5
3
0 5 10 15
Number of neurons
FIGURE 15.8 Mean relative error versus number of neurons.
a reasonable number of iterations: (1) The ANN was trained using a given number of
optimization iterations; (2) it was then stopped and the capability of the model was
verified for predicting data outside the training range; (3) in case the prediction was
not satisfactory, the number of interactions was increased and prediction capability
was again checked. This cycle continued until the prediction was satisfactory, which
in turn provided the number of optimization iterations required.
A summary of the database used for verification of ANN and empirical corre-
lation models is shown in Table 15.8 (Saldarriaga et al. 2015). According to the
classification proposed by Vassilev et al. (2010), most of the biomass used for verifi-
cation belongs to the CLH group (cellulose content > lignin content > hemicellulose
content), except for the Miscanthus sinensis, which belongs to the CHL group, and
Pteridium aquilinum and olive pit, which belong to the LCH group. Prediction accu-
racy varies, in addition to other factors, with the database set size. In terms of fitting
data to a model, regardless of it being a neural network or an empirical model, the
fact that the database used for training and fitting is at least to some extent evenly
distributed over the domain of the three biomass groups ensures that the ability to
estimate HHV is independent of biomass classification.
Results of ANN and correlation models for cases A, B, and C are shown, respec-
tively, in Tables 15.9 through 15.11.
TABLE 15.8
Database for Verifying ANN and Empirical Correlation Models
Volatile Matter Fixed Carbon Ash HHV
Biomass (% p/p, d.b.) (% p/p, d.b.) (% p/p, d.b.) (MJ kg−1)
Pellets 87.04 12.25 0.71 18.74
Pinus insignis 85.85 12.79 1.35 18.84
Olive stone 72.21 27.21 0.58 20.36
Pterospartum tridentatum 87.60 10.68 1.71 18.50
Miscanthus sinensis 83.32 12.27 4.41 18.26
Rumex tianschanicus 91.04 3.81 5.14 16.91
298
TABLE 15.9
Verification Results of ANN and Empirical Correlation Models (Case A)
Equation 15.8 Equation 15.9 Equation 15.10
ANN (R2 = 0.9852) (R2 = 0.8902) (R2 = 0.8853) (R2 = 0.8874)
Estimated, Relative Estimated, Relative Estimated, Relative Estimated, Relative
Biomass MJ.kg−1 Error % MJ.kg−1 Error % MJ.kg−1 Error % MJ.kg−1 Error %
Pellet 18.70 0.21 18.76 3.10 18.12 3.30 18.13 3.21
Pinus insignis 18.67 0.88 18.68 3.60 18.12 3.78 18.14 3.69
Olive stone 21.13 3.79 20.35 3.80 21.17 3.98 21.08 3.56
Pterospartum tridentatum 18.27 1.22 18.38 4.39 17.64 4.63 17.67 4.43
Miscanthus sinensis 18.08 0.96 17.99 3.77 17.53 3.96 17.57 3.73
Rumex tianschanicus 16.60 1.85 16.95 6.67 15.70 7.12 15.83 6.34
TABLE 15.10
Verification Results of ANN and Empirical Correlation Models (Case B)
ANN (R2 = 0.9727) (R2 = 0.9027) (R2 = 0.9012) (R2 = 0.8874)
Biomass MJ.kg−1 Error % MJ.kg−1 Error % MJ.kg−1 Error % MJ.kg−1 Error %
Pellet 18.79 0.28 18.31 2.27 18.30 2.32 18.62 0.59
Pinus insignis 18.74 0.50 18.30 2.82 18.29 2.87 18.57 1.38
Olive stone 20.31 0.23 21.15 3.89 21.16 3.96 20.73 1.81
Neural Networks in Physical Properties and Drying Technology
299
300
TABLE 15.11
Verification Results of ANN and Empirical Correlation Models (Case C)
ANN (R2 = 0.9676) (R2 = 0.9047) (R2 = 0.8942) (R2 = 0.9081)
Biomass MJ.kg −1 error % MJ.kg −1 error % MJ.kg −1 error % MJ.kg−1 error %
Pellet 18.77 0.59 18.45 1.51 18.32 2.20 18.35 2.04
Pinus insignis 18.75 0.46 18.45 2.06 18.32 2.71 18.35 2.59
Olive stone 20.60 0.85 21.05 3.40 21.15 3.91 20.89 2.65
Overall, the results in Tables 15.9 through 15.11 show that the ANN was superior to
empirical correlations both in adjusting to the training database as well as in estimating
values of HHV outside the training database. It was seen that as the training database
was increased, the neural network adjusted its weights in order to improve or at least
maintain the same performance (capacity for prediction). This was achieved by decreas-
ing the fitting correlation, which can be interpreted as a network robustness mechanism
with respect to the additional measurement deviations. Nevertheless, the empirical cor-
relation models fitted systematically better to the fitting data; in other words, the correla-
tion coefficient increased with the increase in the database size, except for the correlation
given by Equation 15.9, that can be regarded to have maintained the same fitting perfor-
mance from case B to C. Overall, once the network had been trained, it was able to learn
the correct value of HHV with an average error lower than those of the correlations.
15.3 CONCLUSIONS
The drying process is found in many large-scale industrial applications, with a strong
impact on both the quality and the final cost of the product. Due to high energy demand
and inherent costs, both economically and environmentally, drying must be done in an
optimized and efficient way, which implies the use of mathematical and computational
tools. In addition, it is also true that there is great difficulty in properly modeling the
various types of drying processes, due to the complexity of the physical phenomena
involved. In this context, neural networks may be an alternative to theoretical model-
ing, provided there is a large and reliable experimental database. Through the three
case studies described in this chapter, it has been shown that many of the modeling
bottlenecks can be overcome by the proper use of simple neural networks. The main
advantages in the use of neural networks are the ability not only to generalize within
the domain of each application but also to estimate variables with satisfactory accuracy.
On top of all this, it should be noted that there are easily available software packages
that make the design of neural networks possible even for users with little programming
experience. The focus on the use of neural networks should be mainly in the appropri-
ate choice of the type of network and the correct relation between inputs and outputs, in
such a way that the process is correctly represented by a mathematical neural structure.
NOMENCLATURES
Ash Ash content [% p/p, d.b.]
cp Specific heat capacity [L2 t−2 T−1]
F Paste mass flow rate [M t−1]
FC Fixed carbon content [% p/p, d.b.]
H0 Inert particles static height [L]
m Mass [M]
P Pressure [ML−1 t−2]
q Spouted bed heat loss rate [M L2 t−3]
Q Feed flow rate [L3 t−1]
Qair Airflow rate [L3 t−1]
r Phase coupling term [M t−1]
RH Relative humidity [–]

T Temperature [T]
t Time [t]
u Inlet air velocity [L t−1]
U Paste moisture content in wet basis [-]
VM Volatile matter [% p/p, d.b.]
W Air mass flow rate [M t−1]
x Mass fraction of water in the paste [-]
y Mass fraction of water in the air [-]
Greek Symbols
ρ Paste density [M L−3]
λ Latent heat of vaporization [L2 t−2]
Subscripts
exp Experimental
g Gas
i Inlet
j Spouted bed
o Outlet
p Paste
s Inert particles
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16 Feedback Control
of Microwave Drying
CONTENTS
16.1 Introduction ................................................................................................. 305
16.2 Modelling of Microwave Drying ................................................................308
16.3 Design Studies ............................................................................................ 310
16.3.1 Feedback Control of Average Moisture Content and
Temperature in Microwave Drying ............................................... 310
16.3.2 Feedback Control of Temperature Distributions in Microwave
Thermal Processing....................................................................... 316
16.3.3 Feedback Control of Microwave Drying ....................................... 326
16.4 Summary..................................................................................................... 332
References .............................................................................................................. 332
16.1 INTRODUCTION
Thermal drying, the selective removal of a liquid component from a (porous) solid
by induction of a phase change, often from liquid to vapour by evaporation, is a key
operation in many solids processes, either as a stand-alone operation or as a process
step to prepare the material for further processing or to finalise processing before
packaging and storage.
In order to provide the heat required to evaporate the liquid, three main routes
are available: First is convective drying where the heat is transferred from a mov-
ing fluid, for example a heated gas, to the liquid and the vapour is also transported
away by the flow. This principle is used in a variety of equipment, for example flui-
dised bed dryers, tray, or impingement dryers (Burgschweiger and Tsotsas 2002,
Specht 2014). Heat can also be transferred by conduction, that is by contact of the
moist solid material with heating elements, for example heated apparatus walls (as
in vacuum drying) or immersed steam-heated tubes (as in some fluidised bed dryers)
(Groenewold and Tsotsas 2001, Groenewold and Tsotsas 2007, Tsotsas et al. 2007).
In both cases heat is transferred gradually from the surface of the material to the
interior, that is for efficient drying a good convective heat transfer coefficient and a
sufficiently high thermal conductivity are required. Also, in order to achieve large
heat transfer, the contact area has to be sufficiently large; good mixing of the particu-
late phase and the gas phase is also beneficial.
305
Thus in combination with internal heat conduction limits, for instance in a porous
material due to low effective thermal conductivity, the efficiency of heat transfer may
be limited and two situations can be distinguished with the help of the Biot number
Bi, defined as
αL
Bi = , (16.1)
λ eff
where:
α denotes the heat transfer coefficient (convective/contact) at the body surface
L is a characteristic length of the body
λeff is the effective thermal conductivity of the porous material
For Bi values below a critical value Bicrit, the material is considered thermally thin;
exceeding this limit, it is considered thermally thick. In a thermally thin body, inter-
nal conduction is fast enough to distribute heat supplied to the surface uniformly
inside the material, that is no significant change in temperature distribution is pres-
ent in the material. In a thermally thick body, internal conduction is poor and the
heating is nonuniform with higher temperatures closer to the surface and the buildup
of temperature gradients throughout the material.
The third option is heat transfer by electromagnetic radiation, for example micro-
waves, that cover a frequency range from 300 to 3000 MHz. Practically, the body
is exposed to an external wave field of known frequency that generates an internal
wave field in the material. The energy of the waves is then dissipated by interaction
of the waves with the material at a molecular level, generating heat directly in the
material (volumetric heating). Additionally, mass transfer is enhanced by moisture
diffusion; vapour diffusion and hydraulic flux are induced by vapour pressure dif-
ferences as well as temperature and concentration differences. These effects depend
on the material properties which may change over time, as well as the parameters of
the electromagnetic field. Water, for instance, has one the highest dissipations fac-
tors, whereas other materials are almost transparent to electromagnetic radiation, for
example air, Teflon and some polymers.
Microwave drying has been applied for example in food engineering (Lu et al.
1999, Özbek and Dadali 2007), pharmaceuticals (McMinn et al. 2005) and in the
production of building materials (Wei et al. 1985). In a porous material, the electro-
magnetic properties may vary locally. Nonuniformity in the electromagnetic proper-
ties may then yield a significantly nonuniform dissipation of waves, for example in
areas with high water content as compared to areas with high gas content, creating
a temperature profile in the body. In view of drying operation, nonuniform tem-
peratures may yield local differences in evaporation (and condensation), overheating,
heat and mass transfer from and to these locations, or the generation of mechanical
stress due to buildup of vapour overpressure which may lead to bursting or cracking,
damaging the material. An example is shown in Figure 16.1 for a clay sample. Upon
exceeding a critical power input to the material, the liquid and vapour pressure in the
sample increases such that the solid matrix can no longer withstand the mechanical
stress and a crack is formed to release the pressure. Furthermore, a nonuniformity of
moisture distribution (light and dark spots) can be observed in the sample.
Feedback Control of Microwave Drying 307
FIGURE 16.1 Crack formation and nonuniformity of moisture distribution in a clay sample
after microwave drying.
In order to devise feedback control mechanisms to prevent these effects, the inter-
action of electromagnetic waves with matter and the key influencing factors need to
be understood.
Microwave drying is a special case of dielectric heating (Jones and Rowley 1996),
which is the absorption of energy in a material with a very small but finite electri-
cal conductivity (dielectric insulator). Dielectric material consists of a large num-
ber of electric dipoles which can be polarised (aligned) by an electromagnetic field.
Changing the electromagnetic field, for example changing its phase, realigns the
dipoles, a process that yields dissipation of the supplied energy and heat generation.
The polarisation, the amount of dipoles per unit volume, characterises the capability
to react to an electromagnetic field and thereby the volumetric heating rate.
An electromagnetic field can be characterised by an electromagnetic wave of the
form E (t , z ) = E0 exp[ j (ωt − kz )] (Maxwell 1865), where ω is the frequency and k
a material-specific propagation rate. Associated with this field is a displacement
current J D = ε0 κ r ∂E ∂t = j ωε0 κ r E (t , z ), where κ r is the relative permittivity or
complex dielectric constant of the material. It can be decomposed into a real and
an imaginary component: κr = κ′ − j κ″, where κ″ is the dielectric loss factor, that
characterises the dissipation behaviour of electromagnetic waves in the material,
given by dP/dV = 1/ 2ω ε0 κ″ E * (t ) E(t ), where E* is the complex conjugate of the
electromagnetic field.
A moist, porous solid material consists in principle of the dry solid material and
the liquid. The liquid can be free or chemically bound to the solid, for instance by
adsorption. The dielectric properties, primarily the loss factor κ″, of the moist mate-
rial depends on the temperature of the material and the moisture content, as well as
geometric properties, for example the fibre orientation with respect to the electro-
magnetic field, or the porosity. In an ideal nonhygroscopic material, the effective
loss factor can be estimated as the sum of the contributions of each component where
each component contributes proportionally to its relative volume. As an example, the
loss factor of free water is κ″ ≈ 10; solid ice has a loss factor of κ″ ≈ 0.005 , with the
loss factor of chemically bound water ranging between these limits, depending on
Relative loss factor
“Optimum”
Moisture content
FIGURE 16.2 General dependency of the effective loss factor on moisture content. (Adapted
from Jones, P.L. and Rowley, A.T., Drying Technol., 14, 1063–1098, 1966. With permission.)
the bounding mechanism. Practically, the loss factor is usually lower than the rough
estimate based on the relative contribution of the components due to interaction of
the components.
The general dependency of the loss factor on the moisture content X is shown in
Figure 16.2: For large values of X, the loss factor is approximately proportional to
the moisture content. For a constant electromagnetic field E, this yields proportional
dissipation in the material, that is in wet spots more energy is dissipated than in dry
ones, realising an automatic levelling of moisture variation in the material, provided
that the evaporated liquid can be transferred sufficiently fast. For small values of X,
often corresponding to bound water, the loss factor is almost constant, that is energy
is dissipated independent of the moisture content. This means that if a moisture
distribution exists, it will not be levelled automatically. The intersection of the two
asymptotes shown in Figure 16.2 reveals a terminal moisture content: To the right of
the intersection, operation is efficient towards a uniform moisture distribution; to the
left, the advantage is lost. The capability of automatic levelling of moisture distribu-
tions in a material therefore depends on the sensitivity or variation of the loss factor
with respect to the moisture content. The stronger the variation in the loss factor, the
higher the ability to level out local differences in moisture content in the material.
16.2 MODELLING OF MICROWAVE DRYING

The description of the static and dynamic behaviour of microwave drying is usually
done by one of the following three model classes: In the most basic class are models
of the type dX /dt = −k (T , parameters) X, where k(…) is some kinetic expression that
depends on the operating conditions. This model, often also expressed in terms of
the moisture ratio (MR), is then used to describe experimental data, for example
measurements of sample mass over time, by fitting the kinetic expression to the data,
for instance by nonlinear regression.
Examples of this approach can be found in the works of McMinn et al. (2005),
who investigated drying of different pharmaceutical powders; Özbek and Dadali.
(2007), who described the thin-layer drying of mint leaves under microwave radi-
ation; Celen and Kahveci (2013), who extracted the kinetics from drying data
of apple slices; and Bennamoun et al. (2016), who used the identified model to
describe microwave drying of wastewater sludge.
Main advantages of this approach are the simple model description and the
requirement of fitting only one kinetic parameter per experiment. Additionally,
models of this type can be obtained from experimental process identification, for
example measurement of step response data at an existing microwave drying appara-
tus. The approach also has some disadvantages, especially in view of the model use
in feedback control, as for example all physical processes and conditions are lumped
into one kinetic expression (on kinetic parameter), which also makes it difficult to
use the results for scale-up, as the identified expression may also implicitly depend
on the sample size or holdup used in fitting of the expression.
The second class is made up by models for the spatial average moisture content X
and temperature T, usually derived from first principles, that is mass and energy bal-
ances. Their main advantage is that these models can account for the different processes
individually; also nonlinear behaviour can be described conveniently. Disadvantages
are that they only provide information on the averaged quantities, that is no spatial
information is provided, which makes the detection of critical local conditions (hot or
cold spots) impossible. Additionally, a considerable number of parameters and correla-
tions need to be specified to describe the different phenomena and their interaction.
Some examples of successful application of this modelling approach to micro-
wave drying are Lu et al. (1999), who studied microwave drying of porous potato
slices; Celen and Kahveci (2013), who studied drying of apple slices; and Putranto
and Chen (2016), who presented an application of the reaction engineering approach
(REA) to microwave drying of food materials.
The third class consists of models that take into account the spatial resolution of
the interesting quantities (moisture content, temperature, stresses) in the material.
These models allow for the consideration of spatial inhomogeneities in all space
dimensions, also in material parameters and transport coefficients, which make up
the main advantage of the model class. The main disadvantage is the required effort
in solution of the models which can now consist of coupled partial differential equa-
tions or pore networks (Prat 2011, Vorhauer et al. 2013) of many thousands of pore
and throats that have to be updated at each time increment. Another disadvantage is
that the transport parameters also have to be specified as function of the local posi-
tion or the local state, for example moisture content or temperature, which poses a
challenge in experimental design, measurement and evaluation.
In spite of these difficulties, many successful applications can be found in the
literature, for instance in the works of Wei et al. (1985), who described temperature
and moisture distribution in a cylindrical clay sample; Constant et al. (1996), who
modelled microwave drying of light concrete (Ytong); Kowalski et al. (2004, 2013),
Kowalski and Pawlowski (2010), and Kowalski and Banaszak (2013), who studied
the drying of kaolin and derived the transport properties from the theory of non-
equilibrium thermodynamics, also taking into account the formation of pressure
and stress distributions in the material; Feng et al. (2001), who modelled microwave
drying of apple dices in a spouted bed; Sanga et al. (2002), who investigated the
convection-microwave drying of carrots; and Itaya et al. (2007), who used such a
model to investigate the drying and cracking of a ceramic material. An example of
FIGURE 16.3 Example of a pore network simulation of microwave drying of a porous solid
material (liquid: black; pore saturation decreasing from left to right).
a pore network simulation of the drying behaviour of a porous solid material under
microwave radiation is shown in Figure 16.3. The pore network considers the volu-
metric energy dissipation in the material, and the liquid and vapour pressure in the
pores by capillary pumping and vapour diffusion. The typical formation of wet and
dry clusters can be observed, yielding inhomogeneous moisture and temperature
distributions and possibly product properties.
16.3 DESIGN STUDIES

Using examples from two of the three model classes introduced earlier, feedback
control design studies are presented in the following subsections. The presentation
starts with the design of a nonlinear feedback controller for a process model of aver-
age moisture content and product temperature, continues with a feedback controller
design for a continuous, spatially distributed microwave heating process, an impor-
tant subprocess of microwave drying and closes with a feedback controller design for
a full microwave drying process.
16.3.1 feedBack cOntrOl Of average mOisture cOntent

and temperature in micrOwave drying
Lu et al. (1999) considered drying of a porous solid material (potato slices), starting
from one-dimensional balance equations for the energy and moisture distribution in
the material. From this, they derived a reduced model for the average product tem-
perature T and average moisture content X in the sample:
dT
ρc p = PMW − ( K γ( M v − M v∞ ) Ao + h(T − T∞ ) Ao )
dt
(16.2)
dX
md = − K ( M v − M v∞ ) Ao
dt
Herein, K denotes the mass transfer by evaporation in the sample and subsequent
transport to the sample surface which usually depends on the moisture content. M v
denotes the saturation vapour density at the sample surface, and M v∞ the saturation
vapour density in the surrounding. Similarly, T∞ denotes the temperature in the sur-
rounding exterior. The absorbed microwave power is denoted by PMW ; it is a function
of the nominal transmitted microwave power PMW,nom and the material properties and
strongly depends on moisture content and temperature. Lu et al. (1999) give the fol-
lowing nonlinear relations for K, Mv and PMW :
ζ
 X 
K = K0  
 X0 
PMW = PMW , nom η−(1− X / X 0 ) (16.3)
a
 T 
M v = M v , ref b  
 Tref 
Lu et al. note that the parameters η and ζ should depend on temperature, that is they
will change over time and thereby are a source of model uncertainty.
The open-loop behaviour of this process for the data listed in Table 16.1 is shown
in Figure 16.4 (average product temperature) and Figure 16.5 (average product mois-
ture content). Additionally, the variation in the open-loop behaviour with respect to
the parameter η, which describes the power absorption in the material, is shown.
Similar trends are obtained for a variation in the parameter ζ.
The process model for the average product temperature and average moisture
content is nonlinear due to the nonlinear dependencies of the transport coefficient K
TABLE 16.1
Process Parameters
Parameter Value Unit
a 14.71088 –
b 1.097579 –
cp 3.56 J g−1 K−1
cw 4.18 J g−1 K−1
cd 1.67 J g−1 K−1
h 2.4 × 10−3 W cm−2 K−1
K0 0.07 cm s−1
Mv,ref 1.54 × 10−3 g cm−3
PMW,nom 21.67 W
Tref 291 K
T∞ 293 K
γ 2250 J g−1
η 1.83 –
ρ0 1.06 g cm−3
ζ 0.64 –
Source: Lu, L. et al., Dry. Technol., 17(3), 414–431, 1999.

120
100
−20%
80
T (°C)
60
+20%
40
20
0
0 5 10 15 20 25 30 35
t (min)
FIGURE 16.4 Open-loop product temperature for constant microwave power input, and
variation of the parameter η.
4.5
3.5
3
X (kg/kg)
2.5
1.5 +20%
1
−20%
0.5
0
0 5 10 15 20 25 30 35
t (min)
FIGURE 16.5 Open-loop product moisture content for constant microwave power input,
and variation of the parameter η.
and the absorbed microwave power in the sample on the average moisture content.
Furthermore, the driving force for evaporation depends nonlinearly on the average
product temperature T.
Analysis of the model equations shows that steady-state solutions for constant
microwave power input are not relevant from a process point of view. The main
consequence from the controller design point of view is that linearisation and lin-
ear controller design methods cannot be used right away. For that reason, a nonlin-
ear controller is designed by input-state linearisation (Nijmeijer and van der Schaft
1990).
The idea of input-state linearisation is the following: Given a state-space model of
the form x (t ) = f ( x ) + g ( x )u(t ) , where x denotes the vector of process variables and
u are the available inputs, an invertible state-transformation z = Φ( x ) is calculated (if
it exists) such that the transformed process model has the special form
z1 = z2 ,
z2 = z3 ,
, (16.4)
...,
zn = v(t )
where v is a new input to the process. The main observation is that the new system is
linear with respect to the input v, and linear controller design is possible.
The nonlinear controller design for the process in the states x consists of the
following steps: (1) Calculate the map Φ; (2) controller design for the transformed
system and input v; (3) express the control law in terms of the original state variable x,
that is using the inverse transformation x = Φ−1(z).
The state transformation Φ can be obtained iteratively, by solving the following
set of partial differential equations. The first coordinate z1 can be obtained from the
equations.
∇z1 ad f i g = 0, i = 0, ..., n − 2
(16.5)
∇z1 ad f n−1g ≠ 0
where ad denotes the so-called Lie bracket (Nijmeijer and van der Schaft 1990). The
remaining states z2, …,zn can then be calculated from
z( x ) =  z1, L f z1,..., L f n −1 z1  (16.6)
where Lf is the Lie derivative with respect to the vector field f (Nijmeijer and van der
Schaft 1990).
The process input u can then be related to the input v by
u = α( x ) + β( x ) v
L f n z1 1 (16.7)
α( x ) = − , β( x ) =
Lg L f n −1 z1 Lg L f n −1 z1
where:
function α(x) is used to compensate the nonlinearity in the model
b(x) realises feedback control
In case of the presented microwave drying model, the state is given by x = [T, X]
and the transformation can be obtained by inspection without the aforementioned
calculations. Setting z1 = X, it follows that z=
1 X= f2 (T , X ). Setting z2 = f 2 yields
∂f 2  ∂f 2  ∂f 2 ∂f
z2 = T+ X = ( f1 + g1u) + 2 f 2 (16.8)
∂T ∂X ∂T ∂X
Choosing
−1
  ∂f     ∂f   ∂f  
u =   2  g1   v −  2  f1 −  2  f 2  (16.9)
  ∂T     ∂T   ∂X  
then results in the required linear transformed system.
Controller design can be done by any linear design method, for instance by pole
placement. In that case, the input v is of the form v = −k0 z1 − k1z1 where the constants
k0, k1 are chosen such that solutions to the differential equation  z1 + k1z1 + k0 z0 = 0
tend to zero.
In many applications, the measured output, for example the average moisture
content should follow a predefined reference signal, for example to guarantee dry-
ing without damaging the product. In this case, reference tracking, the process out-
put has to follow a specified time-dependent function z1d(t). The signal v is now
v = 
z1d (t ) − k0 ( z1 − z1d (t )) − k1( z1 − z1d (t )) and the constants k0 and k1 are chosen such
that the resulting error equation for z1 − z1d has solutions that tend to zero. In both
scenarios, the parameters can be chosen such that a desired time response of the
controlled system is achieved, taking into account constraints on the manipulated
variable v (resp. u).
In this study, the manipulated variable u is the nominal power output of the micro-
wave, PMW,nom. It has to be noted that this input is restricted to non-negative values, that
is heat can only be supplied by this input but not be removed. This restricts the reach-
able process states by this input, that is heating and cooling cannot be achieved arbi-
trarily fast. A further restriction is given by the device-dependent upper power limit.
In order to implement the designed feedback controller, both quantities, X and
T, have to be measured, for instant by combined NIR (X) and IR (T) measurement.
In Figures 16.6 and 16.7, the performance of the controlled process is shown in
comparison to the uncontrolled case. Again, the performance with respect to param-
eter uncertainty in the parameter η is shown. It has to be mentioned that the param-
eter uncertainty is not made known to the controller, that is all results are obtained
with the same controller settings. It can be seen that the moisture reference value can
be reached in all cases, even under process uncertainties.
Finally, reference tracking of the moisture content with respect to a prespecified
trajectory is considered. For illustration purposes, the reference trajectory
X ref − X0
X d (t ) = X 0 − t, t ∈ [t0 , tref ] (16.10)
(tref − t0 )
is chosen, that is a constant evaporation rate is desired over the whole process time,
for instance to avoid cracking of the material. The controller parameters have to be
tuned in this case to react fast enough to the change in the reference signal.
4.5
3.5
3
X (kg/kg)
2.5
1.5 Closed loop

Open loop, +20%
1
0.5
Open loop, −20%
0
0 5 10 15 20 25 30 35
t (min)
FIGURE 16.6 Average moisture content under feedback control and variation of η, com-
pared to the corresponding open-loop profiles.
120
100
Open loop, −20%
80
T (°C)
60
Open loop, +20%
40 Closed loop,
Closed loop, −20%
+20%
20
0
0 5 10 15 20 25 30 35
t (min)
FIGURE 16.7 Average product temperature under feedback control and variation of η,
compared to the corresponding open-loop profiles.
In Figures 16.8 and 16.9 the results for reference tracking are shown. The control-
ler is able to realise the desired moisture profile. Additionally, the average product
temperature in the controlled process is lower than in the open-loop case. This means
that this control scheme can be applied, for example to realise gentle drying in order
to avoid crack formation due to buildup of internal pressure from too fast evaporation.
4.5
3.5 Closed loop
3
X (kg/kg)
2.5
1.5
Open loop
1
0.5
0
0 5 10 15 20 25 30 35
t (min)
FIGURE 16.8 Result of trajectory following of the average moisture content by feedback
controlled in comparison with the open-loop response.
100
90 Open loop
80
70
60
T (°C)
50
40
Closed loop
30
20
10
0 5 10 15 20 25 30 35
t (min)
FIGURE 16.9 Temperature profile corresponding to the tracked reference of the average
moisture content.
16.3.2 feedBack cOntrOl Of temperature distriButiOns

in micrOwave thermal prOcessing
Thermal treatment is a basic operation in solid and fluid processing; either as a

stand-alone operation, for example in curing, thawing or pasteurisation, or as part of
combined heat and mass transfer processes, for example drying of food, pharmaceu-
ticals, or building material (clay bricks).
In order to heat a solid uniformly by heat transfer from a fluid effectively, the
ratio of heat transfer from the fluid to the solid surface and the thermal conductivity,
expressed in terms of the dimensionless Biot number Bi is of importance. Solids with
a small Biot number (Bi < 0.1) are called ‘thermally thin’, and a fast equilibration
of temperature profiles can be achieved. In case of large Biot numbers (‘thermally
thick’, Bi > 0.1), temperature distributions are observed due to comparably poor con-
duction. When trying to heat the interior of these solids, the danger of overheating
areas close to the solid surface exists.
In order to prevent the formation of temperature profiles, which may result in
damage of the solid structure or the inactivation of ingredients, feedback control of
the heat transfer by microwaves in thermally thick solids is required.
Although temperature control is of huge importance and industrial interest, very
few reports can be found in the literature. Davidson et al. (1999) presented a fuzzy
control system for the roasting of peanuts, focusing on an average temperature.
Boldor et al. (2005) applied this concept to a continuous microwave drying process,
considering the temperature distribution along a belt dryer using remote sensing of
the surface temperature of the peanuts. Although both contributions consider spatial
temperature distributions, they do not consider the temperature profile in the mate-
rial itself, which has significant influence on the product quality. This problem was
investigated by Alonso et al. (2000) within the framework of passive control design
of distributed parameter systems. Alonso et al. (2000) could show that temperature
profiles can be manipulated by control of a set of thermodynamically motivated
inventories.
For process modelling, the setup depicted in Figure 16.10 is considered: A sample
of thickness L is placed on a surface in an oven of uniform (ambient) temperature
TS. The microwave source is situated above the sample and emits waves with a fre-
quency f and a power density Pw. Due to the possible differences in the dielectric
properties in the material, a temperature distribution T(t, x) will develop. Its temporal
evolution can be derived from an energy balance, see Alonso et al. (2000), yielding
a partial differential equation:
∂T ∂ 2T
= α 2 + g(T , x ) Pw , (16.11)
∂t ∂x
Pw, f
x
TS
L
FIGURE 16.10 Schematics of microwave thermal processing of an infinite slab (dashed

lines denote convective heat transfer).
where α = λ / (ρc p) is the so-called temperature conductivity. The function g(T, x)

describes the fraction of power that is absorbed at each position in the sample depend-
ing on its temperature. For the general case, Maxwell’s equations are required to fully
resolve the electric field in a solid with respect to a known external field. However,
for the special case of an infinite slab considered here, the power distribution in the
material can be described sufficiently accurate by Lambert’s law:
πf
g(T , x ) = ε0 κ′′(T ) exp[ −2 β(T )( L − x )], (16.12)
ρc p
β(T ) =
2πf
c
κ′
2 ( )
1 + ( κ″ / κ′)2 − 1 , (16.13)
where 1/b corresponds to the penetration depth of the microwaves in the material.
Physically relevant boundary conditions are, for instance, heat transfer by convec-
tion at the top of the sample (x = L):
∂T
−λ = hL (T (t , L) − TS ) (16.14)
∂x x=L
and also at the bottom of the sample (x = 0):
∂T
−λ = h0 (T (t , 0) − TS ) (16.15)
∂x x =0
In case of a very large heat transfer coefficient at the bottom, h 0, the temperature is
fixed to the ambient (oven) temperature, that is T(t, 0) = TS(t).
In heating, the local dielectric properties depend on the local temperature. For
the case of raw beef which will serve as an application example, Ayappa et al. (1991)
identified that the relative dielectric resistance κʹ and the relative dielectric loss κʺ
can be parameterized in terms of temperature (in K) as follows:
κ′(T ) = 82.23 − 0.1059 T (16.16)
κ′′(T ) = 236.85 − 1.527 T + 2.7277 × 10 −3 T 2 (16.17)
In total, the dynamics of the process are modelled by a nonlinear partial differential
equation. For feedback controller design of spatially distributed systems in general,
two routes can be followed: First is the so-called late-lumping approach where by the
feedback controller is designed directly at the distributed parameter model, usually
resulting in a distributed parameter controller which then has to be approximated to be
implementable at the process. The other route is the so-called early-lumping approach
where at first a finite-dimensional approximation of the process model is obtained and
the controller is designed for this approximation. Although the properties of the con-
troller depend significantly on the quality of the approximation, controller design by
early-lumping is usually simpler than by late-lumping, as it allows for instance using
established design methods for finite-dimensional state-space models.
In the following, an early-lumping approach is used: First, the partial dif-

ferential equation is approximated by a system of nonlinear ordinary differen-
tial equations using a second order finite volume method to discretise the spatial
coordinate x. Then, the finite-dimensional approximation is used to calculate
the (approximate) steady-state temperature distribution by open-loop simulation.
Afterwards, the system of nonlinear ordinary differential equations is linearised
at the calculated steady state, resulting in a linear time-invariant (LTI) state-space
model for the discretised temperature distribution in the material. This state-space
model, of the form
dξ
= Aξ + Bu, ξ(t = 0) = ξ0 , (16.18)
dt
where:
A and B are constant matrices
ξ and u denote the temperature deviation from the steady state and the deviation
of the manipulated variables from their steady-state values, respectively, is
then used for state feedback controller design
Possible manipulated variables in the presented setup are the oven temperature TS,
the microwave power Pw, the frequency f, and indirectly by the streaming fluid, the
convective heat transfer coefficient h. In the following, all four inputs are considered
in the controller design, resulting in a multiple input, multiple output (MIMO) control
problem.
Analysis of the linear model shows that the steady states are stable, that is none
of the eigenvalues of the matrix A are located in the right complex half plane, and
the states are controllable. The latter allows the design of a state feedback law, that is
u(t ) = − K ξ(t ), (16.19)
with K a constant gain matrix of suitable dimension.

The gain matrix K can be designed in several ways: One would be the direct
assignment of specific closed-loop poles (pole placement), another by optimising a
given cost functional (linear quadratic control). In this study, the latter approach is
used as it allows weighting the four control inputs with respect to their physical rel-
evance and limitations. Using standard methods, given the process model and weight
matrices, the constant gain matrix K of a linear quadratic regulator (LQR) can be
obtained from the minimisation of the cost functional
J=
∫ ( ξ (t) Q ξ(t) + u (t) Ru(t)) dt, (16.20)
T T
with Q and R being the weighting matrices for the states and the inputs, respectively
(Anderson and Moore 2007).
As this feedback law is only of proportional type, a steady-state error is to be

expected with respect to reference tracking. In order to achieve zero steady-state
error, the feedback law is augmented by a pre-filter (Föllinger 1992),
u(t ) = − K ξ(t ) + V r (t ), (16.21)
where V is the pre-filter matrix and r is the reference signal.

The pre-filter is designed such that in steady state, the controlled variables, that is
the outputs y, are exactly equal to the reference signal. Under the assumption of full
state measurement, that is the temperature is measured along the coordinate x, V has
to be chosen such that
( BK − A)−1 BV = I, (16.22)
where I denotes the identity matrix.

With this combination of state feedback and pre-filter, any state can be achieved
with zero steady-state error in the linear process model. Another possibility would
have been to augment the control law by integral action, resulting in better robust-
ness properties with respect to parameter uncertainties. However, contrary to the
pre-filter, integral action may influence the stability of the closed-loop system.
The implementation of the designed controller requires the knowledge of all state
variables. Usually, the temperature at the top of the sample, T(t, L), can be accessed
by measurement, for example by infrared sensors. Thus, the corresponding measure-
ment equation for the linearised system is given by
y(t ) = ξ N (t ) = [01, N −1, 1] ξ , (16.23)
where:
y denotes the available measurement information, that is the surface temperature
measurement
N is the number of volumes considered in the finite-dimensional approximation
Analysis of the resulting linear model shows that the linear system is observable.
This property allows the construction of another dynamic system, a state observer,
that allows estimation of the whole temperature distribution in the material given the
measurement of the surface temperature.
One approach is a linear Luenberger observer (Luenberger 1964, 1966); its struc-
ture is given by
d ξ
= Aξ (t ) + B(u) + L( y(t ) − y(t )), (16.24)
dt
where:
L is the constant observer gain
y is the measurement information generated from the observed or reconstructed
state information
The observer gain L can be constructed for example by eigenvalue assignment, inde-
pendent of the state feedback law, a result known as separation theorem. The state
feedback controller is then implemented with the help of the reconstructed state
u(t ) = − K ξ (t ) + Vr(t ) (16.25)
However, in order to work, the observer has to be faster than the controlled system,
that is the eigenvalues of the observer have to lie left of the eigenvalues of the closed-
loop system.
In the following, for controller design, the nonlinear balance equation is discretised
with respect to the slab thickness into 50 size classes, resulting in N = 50 dynamic
states.
As mentioned before, four manipulated variables (u1 = Pw, u2 = f, u3 = TS, and
u4 = h) are available. However, for practical reasons their use in control has to be
weighted (matrix R), for example changes in power density and convective heat
transfer coefficient are much easier to achieve than ambient (oven) temperature. The
states are weighted equally (matrix Q), that is there is no preference for any particu-
lar state to reach steady state or a given reference value faster than any other. This
results in the following weights:
Q = 4 × 10 −1 I50,50
(16.26)
R = 5 × 103 diag[0.1, 0.08, 5, 0.5],
where:
I denotes the identity matrix
diag a diagonal matrix of appropriate dimension (4 × 4)
For illustration purposes, consider the following open-loop scenario: A constant

power density of 4 × 104 Wm−2 is supplied at a frequency of 900 MHz to a slab of
raw beef with a thickness of 5 cm. The ambient (oven) temperature is 293 K and a
(low) heat transfer coefficient of h = 2 Wm−2K−1 is assumed at the surface, that is
hL = h. At the bottom (x = 0), the heat transfer coefficient is increased artificially,
h0 = 500 hL , to fix the temperature to the ambient temperature TS.
The developing temperature profile in the slab is depicted in Figure 16.11: Starting
from the uniform initial temperature profile (dark gray), a nonuniform profile devel-
ops (gray lines) which is due to the spatially distributed absorption of microwave
energy and the poor conduction of heat in the solid itself. In order to achieve a uni-
form profile, the four control inputs have to be manipulated. To that end, an LQ
regulator and a Luenberger observer are designed, given the process model and
weighting matrices R and Q.
In order to test the feedback control system, a uniform initial temperature pro-
file of 293 K is chosen. As a reference, a uniform temperature profile of 340 K is
required. The observer is initialised with the known uniform initial temperature
profile.
0.05
0.045
0.04
0.035
0.03
x in m
0.025
0.02
0.015
0.01
0.005
0
290 300 310 320 330 340 350 360 370
T in K
FIGURE 16.11 Dynamic performance of the nonlinear thermal treatment process. Color
code: dark gray solid line—initial profile; dashed gray line(s)—temperature profile open loop
(∆t = 10 min); solid gray line—open-loop steady-state profile; dashed black line(s)—closed-
loop temperature profile (∆t = 10 min); solid black line—closed-loop steady-state (reference).
In Figure 16.11, the performance of the closed-loop system is depicted (black lines).
It is observed that the required uniform temperature profile is reached as a new steady
state (solid black line) with zero steady-state error due to the designed pre-filter. The
dashed lines, going from the left to the right with a time interval of 10 minutes between
two lines, show the development of the temperature profile in the material.
Initially, the upper portion of the material is heated by microwave as can also
be seen in the plot of the power density in Figure 16.12 (top): A high power density
and high frequency are used to heat the material close to the surface. Then, with
progressing time, power density and frequency decrease (Figure 16.12, bottom), the
latter to change the penetration depth of the microwaves to also heat lower portions
of the material.
The bottom of the sample is heated almost exclusively by change of the ambient
(oven) temperature TS. This is not surprising, as the penetration depth of the micro-
waves is finite and heat conduction in the material is low, that is heat has to be sup-
plied from the bottom. This is achieved by a high oven temperature in the beginning
of the process which is then gradually reduced to the required reference temperature
(Figure 16.13, top). The convective heat transfer coefficient, h, which can be manipu-
lated by changing the flow in the oven, is shown in Figure 16.13 (bottom), starting
and remaining below the open-loop value, that is less heat is transferred to the envi-
ronment than in open-loop operation.
Compared to the other manipulated variables, the ambient (oven) temperature
is difficult to manipulate and too swift changes or high values may damage the
× 105 PW
3
Closed loop
2 Open loop
W/m2
0
0 1000 2000 3000 4000 5000 6000
f
2.5
2
GHz
1.5
0.5
0 1000 2000 3000 4000 5000 6000
t in s
FIGURE 16.12 Plot of the values of the manipulated variables power density (Pw) and fre-
quency (f).
TS
800
Closed loop
600 Open loop
K
400
200
0 1000 2000 3000 4000 5000 6000
h
2
1.8
W/m2/K
1.6
1.4
0 1000 2000 3000 4000 5000 6000
t in s
FIGURE 16.13 Plot of the values of the manipulated variables ambient (oven) temperature
(TS ) and convective heat transfer coefficient (h).
0.05
0.045
0.04
0.035
0.03
x in m
0.025
0.02
0.015
0.01
0.005
0
290 300 310 320 330 340 350
T in K
FIGURE 16.14 Dynamic performance of the treatment process with higher penalty on use
of the ambient (oven) temperature TS. Color code: see Figure 16.11.
material, especially at the bottom (burning and charring). For that reason, a stronger
restriction of the use of the temperature TS is required. For the boundary condition
considered at the bottom of the sample, TS can only be restricted to a lower limit that
corresponds to the reference temperature at the bottom of the sample (x = 0).
Figure 16.14 shows the evolution of the temperature profile in the material if the
corresponding weight is increased by a factor of 100, that is R3,3 = 500. Again, the
required reference profile is achieved. As expected, the temperature TS is used less
for manipulation (Figure 16.15), resulting in less overheating (with respect to the
reference value) at the bottom of the sample. The overall performance of the closed
loop is similar as the temporal behaviour is mostly governed by the microwave heat-
ing process.
As a third case, consider the thermal treatment in the wider context of drying
of porous solids. In this case, the dielectric properties κʹ and κʺ also depend on the
moisture content of the sample. Evaporation of liquid and vapour transport from the
sample due to heating reduce the dielectric properties, that is κʹ and κʺ decrease with
decreasing moisture content.
This scenario is considered in Figure 16.16 where the dielectric properties in
the process model are reduced to 50% of the nominal values and the controller is
designed for the nominal values of κʹ and κʺ. It can be seen that even in this case
the controller gives satisfactory results with respect to the steady-state temperature
profile. Furthermore, it motivates using this approach to actual feedback control of
drying of porous solids, that is the simultaneous manipulation of temperature and
moisture profile in the sample. Of course this requires the extension of the model
by balances for the liquid and vapour distribution in the material. This case will be
considered in the next and final case study.
TS
360
Closed loop
340 Open loop
320
K
300
280
0 1000 2000 3000 4000 5000 6000
h
2
1.8
W/m2/K
1.6
1.4
0 1000 2000 3000 4000 5000 6000
t in s
FIGURE 16.15 Plot of the values of the manipulated variables ambient (oven) temperature
(TS ) and convective heat transfer coefficient (h) in the second scenario.
0.05
0.045
0.04
0.035
0.03
x in m
0.025
0.02
0.015
0.01
0.005
0
290 300 310 320 330 340 350 360 370
T in K
FIGURE 16.16 Dynamic performance of the nonlinear thermal treatment process under
uncertainty in the dielectric material properties (50% of nominal values of κʹ and κʺ). Color
code: see Figure 16.11.
16.3.3 feedBack cOntrOl Of micrOwave drying

Compared to microwave heating, as presented in the previous section, in microwave
drying the changing moisture of the material is also considered. Due to local tem-
perature differences, the liquid is either transported by capillary pumping (in liq-
uid state) or by vapour diffusion of locally evaporated liquid. The main controlled
quantity in microwave drying is the moisture content distribution, with secondary
interest in the temperature and stress distribution. For illustration purposes, a one-
dimensional model, based on the work of Kumar et al. (2016) for a cylindrical body,
which has been simplified to the geometry of an infinite slab, is presented.
The model consists of two partial differential equations to describe the spatial and
temporal evolution of the temperature T and the moisture concentration c in the material:
∂T (t , x ) ∂  ∂T 
ρc p =  λ eff  + qmic (t , x ), (16.27)
∂t ∂x  ∂x 
∂c ∂  ∂c 
=  Deff , (16.28)
∂t ∂x  ∂x 
where:
λ eff denotes the effective thermal conductivity of the material
Deff is the effective moisture diffusivity
The parameter Deff combines moisture transfer by capillary pumping and internal
vapour diffusion. The model is completed by initial conditions for T and c, respec-
tively, as well as conditions at x = 0 and x = L, describing the heat and mass transfer
at the boundaries:
∂T ( pv,eq ( x = 0) − pv,air )
−λ eff = hT (T (t, 0) − Tair ) + hm ∆hh evap , (16.29)
∂x x =0 RT (t, 0)
∂T ( pv,eq ( x = L) − pv,air )
−λ eff = hT (T (t, L) − Tair ) + hm ∆hh evap, (16.30)
∂x x=L RT (t, L)
∂c ( pv,eq ( x = 0) − pv,air )
− Deff = hm , (16.31)
∂x x =0 RT (t, 0)
∂c ( pv,eq ( z = L) − pv,air )
− Deff = hm . (16.32)
∂x x=L RT (t, L)
The driving force for evaporation at the boundary is the difference in vapour pressure
at the body surface pv,eq and in the surrounding air, pv,air. The power density qmic is
again described by Lambert’s law (Equation 16.12).
In the following, as an example, microwave drying of apple slices is considered.
The relative dielectric constant and the loss factor are given by
κ′ = 36.638 M wb
2
+ 30.289 M wb + 0.1, (16.33)
κ″ = −13.543 M 2
wb + 26.815 M wb + 0.1, (16.34)
where Mwb denotes the moisture content (wet basis), Mwb = c M  w /ρ. In apples, the
mass density is related to the moisture content by ρ = 569.01 Mwb + 415.94 [kg m−3].
Effective thermal conductivity λeff [W m−1 K−1] and heat capacity cp [J kg−1 K−1] also
depend on the moisture content:
λ eff = 0.148 + 0.00493 M wb, c p = 1000(1.4 + 3.22 M wb ) (16.35)
The effective diffusivity Deff is reported to depend on material temperature and

moisture content:
1 b ρw + M wbρs
Deff = ( D0 exp[− E A /( RT )] + Dref (b / b0 )2 ), = . (16.36)
2 b0 ρw + M 0 ρs
Finally, the equilibrium and saturation vapour pressures are given by
pv,eq = pv,sat (T ) exp[ −0.182 M db−0.696 + 0.232 exp[ −43.949 Mdb ]

(16.37)
+ Md0b.0411 ln[ psat (T )]],
pv, sat = exp[−5800.2206 /T + 1.3915 − 0.0486T + 0.4176 × 10 −4 T 2

(16.38)
− 0.01445 × 10 −7 T 3 + 6.656 ln(T )]
completing the model description. All numerical values for the model are given in
Table 16.2, as used in Kumar et al. (2016).
TABLE 16.2
Parameters for Microwave Drying Model
Parameter Value
Initial moisture content (wb), Mwb 6.14 kg water/kg dry solid
Molecular weight of water, M w 18 × 10−3 kg/mol
Latent heat of evaporation, ∆h evap 2358600 J/kg
Drying air temperature, Tair 60°C
Vapour pressure (ambient air), pv, air 2700 Pa
Diffusivity, D0 0.09 × 10−9m2/s
Reference diffusivity, Dref 3.24 × 10−9m2/s
Heat transfer coefficient, hT 16.746 W/(m2 K)
Mass transfer coefficient, hm 0.067904 m/s
Thickness, L 0.01 m
0.9
0.8
0.7
0.6
x in cm
0.5
0.4
0.3
0.2
0.1
0
290 300 310 320 330 340 350 360 370 380 390
T in K
FIGURE 16.17 Open-loop profile of the temperature distribution in microwave drying.

Color code: dark gray—initial condition; gray—final distribution; black—intermediate dis-
tribution (time step: 2 minutes).
The open-loop behaviour of the process model is exemplified in Figures 16.17

and 16.18, that show the evolution of the temperature and moisture distribution for
a power density of qmic = 106 W m−3 after 70 minutes. In both quantities, significant
nonuniformities in the distributions can be observed. The maxima and minima cor-
respond to each other, that is high temperature in areas where a high amount of mois-
ture is present, as the power absorption is proportional to moisture content. Due to
the combination of microwave and convective heating, and the spatial dependency
of the power absorption, the moisture content is lowest at the boundaries of the
body; vice versa, the temperature is lowest there. A further point to consider is
that dry regions are still heated by microwaves as the solid has a strictly positive
relative loss factor, that is temperature and moisture are permanently coupled.
From the point of process operation, the temperature extrema and variance in the
solid should be limited, as should the moisture extrema and the variance of the distri-
bution with respect to its average value. In the limit, both profiles are uniform, that is
one and the same temperature and moisture content in the material.
From the control point of view, the same manipulated variables are available,
that is the microwave power (density), the frequency (in a limited range), as well as
the heat and mass transfer coefficients (implicitly via changing external flow condi-
tions), and the temperature of the air. Practically, the power density, the transfer coef-
ficient and the air temperature can be manipulated with moderate effort in actuation
and instrumentation. However, it has to be kept in mind that the actuator influence
on the process is limited: Just as in thermal processing, heat can only be supplied
to the material by microwave radiation, it cannot be removed by this input, that is
cooling takes place by (slow) heat conduction from the interior to the surface of the
0.9
0.8
0.7
0.6
x in cm
0.5
0.4
0.3
0.2
0.1
0
4.5 5 5.5 6
X in (kg water)/(kg dry solid)
FIGURE 16.18 Open-loop profile of the moisture content distribution in microwave drying.
Color code: see Figure 16.17.
material where the heat is then removed by convection. In addition, moisture cannot
be added by any manipulated variable to the material, that is moisture can only be
removed from or redistributed in the material. These constraints put severe limits
on the achievable moisture and temperature distributions in open- and closed-loop
operations, and in many cases the required distributions may not be realisable.
Motivated by the results obtained in microwave heating in the previous sec-
tion, at first feedback control of the temperature distribution is implemented without
explicit consideration of the moisture distribution. Design and implementation is
done as in the case of microwave heating, that is an LQR controller with pre-filter is
designed. Figure 16.19 shows the obtained result in the temperature distribution in
comparison with the open-loop profile. The reference temperature profile is tracked
again with zero steady-state offset due to the designed pre-filter. Also, due to the
possible change in the manipulated variables compared to open-loop operation, the
reference temperature profile is achieved faster than in open-loop operation. This
speedup may be advantageous, for instance for curing or general increase in pro-
duction capacity. The dynamics of the controlled process can be influenced by the
controller weights; however, care has to be taken to avoid overheating as this cannot
be counteracted directly.
Figure 16.20 shows the obtained results in the moisture distribution. It has to
be noted that the distribution is not controlled directly, but indirectly via the tem-
perature distribution. In comparison to open-loop operation, more moisture has been
evaporated, especially close to the surface, as a result of the changes in the manipu-
lated variables by the feedback controller.
0.9
0.8
0.7
0.6
x in cm
0.5
0.4
0.3
Reference
0.2 Initial
Open loop
0.1 Closed loop
0
290 295 300 305 310 315
T in K
FIGURE 16.19 Closed-loop profile of the temperature distribution in microwave drying

(temperature control only; 15 minutes after starting from the initial condition).
0.9
0.8
0.7
0.6
x in cm
0.5
0.4
0.3
Initial
0.2 Open loop
Closed loop
0.1
4.25 4.26 4.27 4.28 4.29 4.3 4.31

c in (mol liquid)/m3 × 104
FIGURE 16.20 Closed-loop profile of the moisture concentration distribution in microwave

drying (temperature control only, 15 min after starting from the initial condition).
In the previous case, the moisture distribution is only indirectly influenced via
the temperature distribution. If the information on the moisture distribution is used
directly and an LQR feedback controller is designed in a similar way, the results shown
in Figure 16.21 and Figure 16.22 are obtained: The controlled temperature distribution
achieves the reference temperature. Additionally, the reference moisture distribution is
also tracked and a huge improvement with respect to open-loop operation is achieved.
0.9
0.8
0.7
0.6
x in cm
0.5
0.4
0.3
Reference
0.2 Initial
Open loop
0.1 Closed loop
0
290 295 300 305 310 315
T in K
FIGURE 16.21 Closed-loop profile of the temperature distribution in microwave drying

(controller based on both distributions, 30 min after start of operation).
Reference
0.9 Initial
Open loop
0.8
Closed loop
0.7
0.6
x in cm
0.5
0.4
0.3
0.2
0.1
4.25 4.26 4.27 4.28 4.29 4.3 4.31

c in (mol liquid)/m3 × 104
FIGURE 16.22 Closed-loop profile of the moisture content distribution in microwave

drying (controller based on both distributions, 30 min after start of operation).
Again, the speed of tracking can be influenced by the choice of weights in the design of
the controller, but, as in the previous discussion, overdrying (moisture less than refer-
ence moisture) and overheating have to be avoided as these cannot be counteracted by
the controller directly. Overdried portions may re-wet but at the timescale of moisture
diffusion and possibly not enough or too much when compared to the reference profile.
16.4 SUMMARY
Microwave drying is a challenging topic due the interaction of the material with an
external electromagnetic field and the nonlinear dissipation behaviour of the provided
energy in the material. This may lead to the formation of hot and cold spots and
local differences in moisture that may reduce product quality. Application of feedback
control allows manipulation of the temperature distribution in the material to obtain
uniform heating. As a result, the moisture distribution is also changed over time. The
obtained moisture distribution shows some improvement with respect to operating
time, that is intermediate profiles are achieved faster, but may differ from the actual
desired moisture distribution. This situation can be improved by use of the moisture
distribution as measured and controlled variable. From a practical point of view, only
surface measurements of both temperature and moisture content are available, so state
observers need to be elements of the control loop, thus providing access to the whole
spatial distributions. Another difficulty is the capability of the main input, microwave
power, to act in only one direction, that is heating the material. In order to access a
larger range of reference profiles, a mechanism to efficiently remove excess heat from
the interior of the material has to be available. Then in continuous operation, the con-
troller itself can be of standard type, for example an LQR feedback controller.
Not considered so far is the manipulation of stress distributions during opera-
tion. This is in principle also possible with the approach described here, however,
practical implementation may be hindered by the (non-)availability of online mea-
surement of material stress. It could, however, be obtained indirectly via estimation
of vapour and liquid pressure in the material which are linked to the local moisture
and temperature.
From a process control point of view, feedback control of microwave drying is
still in an infant state, but significant developments are to be expected in the years to
come, due to increasing interest in this drying method.
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17 Automatic Control of
Microwave Dryers
Mohamed Hemis, Dennis G. Watson,
and Vijaya G.S. Raghavan
CONTENTS
17.1 Introduction ................................................................................................. 335
17.2 Microwave Drying of an Agricultural Product ........................................... 336
17.3 Automatic Control of the Microwave Drying Process ................................ 337
17.3.1 Automatic Control Using Coupled Mathematical Modeling ........ 339
17.3.1.1 Microwave Model ........................................................ 339
17.3.1.2 Distributed Parameter Model ...................................... 341
17.3.2 Automatic Control of Product Temperature during
MW Drying ............................................................................... 342
17.3.2.1 Automatic Control of Soybean during Drying by
Coupled System ........................................................... 343
17.3.3 Automatic Control of the Output Moisture Content .....................344
17.4 Summary .....................................................................................................344
Acknowledgments..................................................................................................344
Nomenclature ......................................................................................................... 345
References .............................................................................................................. 345
17.1 INTRODUCTION
In three decades the Earth will probably reach a population of 9 to 10 billion people.
Many of the world’s countries will depend on international trade for their food
security. By 2050 net cereal imports by developing countries will be more than
300 million metric tons (FAO, 2009). Even if adequate food and feed is produced to
meet the needs of the world’s population, challenges will remain in developing more
efficient methods to preserve food quality. This is particularly critical for cereal
grains that are stored for many months and shipped around the globe. New grain
preservation technologies and more sophisticated control strategies will be needed to
meet the demands to preserve food quality for worldwide distribution.
Grain dryers are a standard part of the harvesting system because of two primary
advantages. First, an earlier harvest at higher moisture content is possible which
minimizes field losses due to weather and fauna. Second, grain can be safely stored
for later shipment providing an available supply of grain throughout the year. Dryer
control systems play an important role in the preservation of grain quality during
the drying process. Drying methods, sensors, and control systems have been the
335
subject of numerous studies (Jumah and Mujumdar, 2006; Raghavan and Solse,
2006) with the goal of improving energy efficiency and grain quality. Microwave
(MW) and MW-hybrid dryer systems are alternatives to conventional hot-air dryers.
The ultimate objective of any drying process is to dry products with desired quality
at minimum cost, by taking into account most physical and chemical changes that
could occur during the drying process.
Quality measurement of grain condition while drying is difficult. The core and
surface temperatures of individual grains must be kept below a threshold to mini-
mize damage. Typically, a proxy for these grain temperatures is used, such as the
output air temperature. Simulation or modeling programs are required to estimate
grain surface and core temperatures based on operating conditions (Arballo et al.,
2010, 2012; Campañone et al., 2012; Campañone and Zaritzky, 2010). Moisture con-
tent is the most important dryer output variable and can be measured using a sensor
system or electronic balances integrated into the dryer control system. Temperature
or moisture content can be a measured variable for a feedback loop control system to
better automate dryer operation. As sensor systems improve and become less expen-
sive, its use will increase in grain drying systems, including MW dryers.
This chapter focuses on considerations and design criteria for control of MW
drying systems, with particular focus on use of coupled mathematical models. This
chapter assumes the reader has a working knowledge of the basics of grain drying
and control systems, including heat and mass transfer, thermal properties of grain,
grain quality affected by drying, and open- and closed-loop control systems.
17.2 MICROWAVE DRYING OF AN AGRICULTURAL PRODUCT

Several experimental and theoretical MW drying studies can be found in the litera-
ture. Most of them have studied the effects of the drying conditions on the quality of
granular products. MW-assisted drying of corn (Zea mays L. ssp.) was investigated
by Nair et al. (2011) and Canadian Western Red Spring (CWRS) wheat was studied
by Hemis et al. (2011). Hemis et al. (2011) used a domestic MW oven of 2.45 GHz
frequency with different MW power levels starting from P3 to P10 and different
exposure times. Through this study, it was observed that moisture loss increased
with increased power level and exposure time. A mathematical model was adopted
by Hemis et al. (2011) for wheat by coupling mass and energy balance equations
resulting in a nonlinear equation system that gave good predicted results. This model
was further improved by Hemis et al. (2012) by coupling two models (the MW model
and the convective model). However, little documentation (Sanga et al., 2002) is
available in the literature on how to use a coupled system of MW and convection
hot air. Air is used to transport water from the cavity of the MW oven (drying room)
to the ambient air. Air contributes to the drying process by increasing the product
temperature. Depending on inlet air conditions, it can accelerate or slow the drying
rate. These parameters must be included in the mathematical modeling of heat and
mass transfer phenomenon that occur during MW-assisted hot-air drying (Hemis
et al., 2012).
The volumetric heat generation in the wet product during the MW drying process
is due to the electromagnetic field directly absorbed by water molecules. This leads to
Automatic Control of Microwave Dryers 337
increased temperature inside the core of the product that leads to increased drying rate.
The result is a process that is faster than convective drying (Sanga et al., 2001).
It should be noted that due to the nonuniformity of MW distribution inside the MW
drying cavity, hotspots may occur in the dried product that can affect the dried prod-
uct’s quality. The phenomenon of hotspots can be avoided by continuously stirring
the product during the MW drying process.
17.3 AUTOMATIC CONTROL OF THE MICROWAVE

DRYING PROCESS
Automatic controller design may have many objectives such as minimizing the over-
drying/underdrying of grain, preserving grain quality, minimizing energy consump-
tion, and optimizing dryer capacity. During the drying of an agricultural product, the
most important factor is the limit value of the product temperature, beyond which
the product could be damaged. For this reason, the automatic control of MW drying
should protect the drying product against damage due to exposure to high tempera-
tures, which causes stress cracks in the matrix.
Erbay and Icier (2010) found that effective models were necessary for process
design, optimization, energy integration, and control of food dryers. Simulation
results with the use of models has not led to revolutionary new dryer designs,
but has resulted in evolutionary improvement of existing dryer types (Bakker-
Arkema, 1996).
The control of a MW drying system is performed using mathematical modeling
(using programming code) (Figure 17.1). The control program responsible for
the drying parameters would start simultaneously with the experimental process.
By selecting an adequate model, we can predict most parameters that allow us to
automatically apply new drying conditions to the experimental process and rerun
the program using the changed drying conditions based on predicted results.
The program would be run several times to adjust for changes in air/grain properties
External
disturbances
Manipulated Measured
Drying process
variables outputs
Unmeasured outputs
FIGURE 17.1 Schematic diagram of drying process variables. (From Jumah, R. Y. et al.,
Control of industrial dryers, In A. S. Mujumdar (Ed.), Handbook of Industrial Drying,
3rd ed., CRC Press, Boca Raton, FL, 2006.)
and MW dryer parameters. The corrected drying conditions allow safe drying of
the grain by controlling grain temperature without the help of actual grain tem-
perature measurement because existing measuring devices measure the superficial
temperature of grain and not the core temperature of the grain. This temperature is
controlled by adjusting the microwave power density based on the predicted results
of the temperature and moisture content of the product. Using this method to con-
trol the MW drying process, we can adjust and instantaneously update the drying
conditions that will protect the product against high temperatures and low output
moisture content and against damage due to exposure of the particles to high MW
power densities.
By measuring the MW dryer parameters such as the absorbed and reflected MW
power and by measuring the inlet and outlet air characteristics, input parameters to
the programming code can be easily updated, thus using the correct value for each
parameter. Grain temperature can be measured with infrared (IR) temperature sen-
sors (as shown in Figure 17.2) which are commonly used to measure product tem-
perature before and after drying in a continuous-flow industrial dryer.
The predicted parameters can be used for automated control of MW dryers. The
difficult task when using such an automatic control scheme is the validity and the
credibility of the adopted mathematical model. The question is how to get predicted
results close to the experimental data. Starting from this point and developing this
idea, we built an automatic control for a MW drying system.
First, we took most of the parameters into account in the mathematical model-
ing and ignored the parameters that have no effect on the drying process. Second,
we wrote programming code that could predict accurately and with high precision
the product parameters and the air characteristics during the MW-assisted hot-air
MW absorber
Circulator
MW meter Computer
Turning screw
Microwave generator
Acquisition card
Sensor thermometer
Outlet air
MW Input product
IR temperature sensors
IR temperature
Air admission sensors
Output
product Hot-air Conveyor belt
Generator
FIGURE 17.2 Automatic control scheme of MW-assisted hot-air dryers of grains.

drying process. Third, we integrated sensor (i.e., temperature, humidity sensors)

input into the programming code and program proportional-integral-derivative
(PID) control. PID control loops are commonly used in industrial processes and can
be tuned by adjusting values for proportional (present error), integral (past error),
and derivative (future error trends). When properly tuned, a PID control rapidly
reaches the desired set point and minimizes fluctuation above and below the set
point, which is critical to control the drying temperature and humidity of grain. PID
control loops can be readily implemented in many automation controllers and pro-
gramming languages. When more than one PID is used to control the same output,
software must monitor conditions and determine which PID loop is given priority
at any point in the process. The coupled models and PID control allow for proper
control of the drying system.
17.3.1 autOmatic cOntrOl using cOupled mathematical mOdeling

Li et al. (2010) developed a MW drying system with automatic temperature and
power control. They found using product temperature as a feedback to the control
system and predefined variable power profiles which resulted in the best temperature
control and product quality. They also verified how difficult it was to maintain stable
temperature of a product during MW drying, when a feedback temperature control
was not included. A MW-vacuum drying system, with automatic temperature control
was developed by Bórquez et al. (2015) for strawberries to improve product quality.
They found that process efficiency in automatic mode was 13.5 times higher than the
efficiency in manual mode.
Heat and mass transfer during drying of grains using MW-assisted hot-air dryers
was modeled by several researchers by adopting the coupled mathematical model
described by Hemis et al. (2012) and Hemis and Raghavan (2014) or by adopting a
simple MW model described by Campanone and Zaritzky (2005) and Hemis et al.
(2011). The transfer phenomenon of heat and mass during the MW drying process
was also modeled using the MW model coupled to the distributed parameter model
studied by Hemis et al. (2017). We will focus on this latter model, as it has the basic
characteristics of the two previous models.
17.3.1.1 Microwave Model

The MW model was constructed with the following assumptions:
• Uniform initial temperature and uniform humidity diffusion in the product.

• Maximum product temperature depends on thermal and dielectric proper-
ties of the dried product.
• Constant volume of the dried product in the case of granular product (no
shrinkage).
• Convective boundary conditions.
• Water migration is by diffusion to the surface of grains in ambient air inside
the MW cavity.
• Shape of the dried product is represented by the shape index GI which takes
the value 0 for slabs, 1 for infinite cylinders and 2 for spheres.
During the MW dryer operation, the energy balance of an agricultural product is

written as (Campanone and Zaritzky, 2005):
∂Tmw
V ρC p = V ( ∇k ∇Tmw ) + P (17.1)
∂t
This Equation (17.1) is developed further as follows:
∂Tmw ∂k ∂Tmw ∂ 2Tmw k ∂Tmw
V ρCp =V + Vk + VGI +P (17.2)
∂t ∂x ∂x ∂x 2
x ∂x
where:
V is sample volume m3
Tmw is the temperature of the product during MW drying process (K)
P is the MW power (W)
k is thermal conductivity of the product (W/m2.K)
GI is geometric index (0 for slabs, 1 for infinite cylinders, and 2 for spheres)
If all the MW energy is absorbed, the power density is calculated using the for-
mula (Puschner 2013):
P = 2πfE 2ε0ε′r tan δ in W/m 3 (17.3)
where:
f is the frequency, measured in Hz
ε0 is the absolute dielectric constant (DC) = 8.85 × 10 −12 As/Vm
E is the electrical field strength, measured in V/m
δ is the dielectric loss angle, measured in degrees with tan δ = ε′′ ε′
λ0 is the wave length, measured in (m), λ 0 = C f
Initial and boundary conditions are as follows:
Tmw = Tmw 0 at t = 0 and at 0 ≤ x ≤ L (17.4)
∂Tmw
x = L −k = h (Tmw − Ta ) (17.5)
∂x
∂Tmw
x = 0 −k =0 t >0 (17.6)
∂x
A microscopic mass balance equation is used to predict the drying factors of an

agricultural product:
∂M mw
= ∇ ( D∇M mw ) (17.7)
∂t
Initial and boundary conditions used to solve Equation 17.7 are as follows:
t =0 M mw = M mw 0 0≤x≤L (17.8)
∂M mw
=0 x = 0 and t > 0 (17.9)
∂x
∂M mw
−D = km′ ( M mw − M e ) x = L t > 0 (17.10)
∂x
Generally, the equilibrium moisture content (EMC) of an agricultural product is

modelled using several relations from the literature. The modified Henderson equa-
tion is used to model the EMC of soybeans and canola seeds (ASAE Standards,
ASAE D245.4):
1  ln (1 − RH ) 
1/ B
Me =   (17.11)
100  − A (Tmw + C ) 
For soybean: A = 30.5 × 10 −5, B = 1.2164, and C = 134.136

For canola: A = 52.6 × 10 −5 , B = 1.4698, and C = 55.80
The saturated water vapor pressure was calculated in the programming code
using the German standard DIN 4108-5 as shown in Equation 17.12:
8.02
 T 
pv ,sat = 288.68 1.098 +  (17.12)
 100 
17.3.1.2 Distributed Parameter Model

The distributed parameter model is preferable in modeling the process of heat and
mass transfer in capillary porous bodies because it allows for estimation of the effects
of the different parameters of the drying process. Luikov and Mikhailov (1965) con-
sidered the transfer of heat and mass in capillary porous bodies in the presence of
phase transformations (evaporation of liquid or condensation of vapor). In the pores
and capillaries of grain, vapor and air are present in the binary mixture form (vapor
and dry air). Pressure gradient takes place at a temperature less than 100°C due to
the transfer of humid air through the micro-capillaries inside the porous body. The
pressure gradient in capillary porous material causes filtration of vapor and liquid.
In this case, the mathematical model for local domain of capillary porous material is
written as follows (Luikov and Mikhailov, 1965):
∂T H ∂M
= aq∇ 2T + ε v (17.13)
∂t cq ∂t
∂M
= am∇ 2 M + amδ∇ 2T + am δ p∇ 2 p (17.14)
∂t
∂p 1 ∂M
= a p∇ 2 p − ε (17.15)
∂t c p ∂t
Initial and boundary conditions defining the problem over the region of: 0 ≤ x ≤ L :
= =
M ( x , 0) M i and T (x ,0) Ti at t = 0 (17.16)
M (0, t ) = M ( L, t ) = M ∞ and T (0,t ) = T ( L, t ) = T∞ (17.17)

Equation 17.13 in the model described earlier is the energy equation, where aq is the
thermal diffusivity:
kp
aq = (17.18)
ρ pc p
Equation 17.14 is the mass balance equation, where am is the mass transfer coeffi-
cient for vapor and liquid inside the grain and δ is the thermal gradient coefficient.
Equation 17.15 represents a change in potential of filtration motion of liquid and
vapor (p) called the vapor pressure in the pores.
Relative humidity was modeled using pv /pvs, and ap is the coefficient of potential
conductivity of the filtration movement of the vapor and ε is the phase conversion
coefficient which varies from 0 to 1. The quantity 1/ε represents the resistance to
diffusion of vapor inside the porous body. This quantity shows how many times the
coefficient of vapor diffusion in air (D) is greater than the coefficient of vapor diffu-
sion within the body (εD).
The distributed parameter model described earlier was coupled to the MW model
to obtain heat and mass transfer that occurs during drying by an assisted system of
MW and hot-air, under low MW density in the range of 0.25−0.3W.g−1 and at hot-air
temperatures from 35°C to 65°C.
17.3.2 autOmatic cOntrOl Of prOduct temperature

duringmw drying
Both inlet and outlet air temperatures and humidity will be measured and the
output values will be the measured process variables for input to PID controllers
integrated into the programming code. Based on the initial product conditions,
the MW density will be adjusted to control the temperature of the dried prod-
uct inside the MW cavity. During MW drying, the absorbed MW power can be
evaluated which allows calculation of the energy absorbed by the dried product
over time (t).
Based on the amount of energy absorbed by the wet product and changes in inlet
and outlet air characteristics (Figures 17.2 and 17.3), the heat and mass transfer
factors can be accurately estimated. A predicted product temperature will be used
to control the magnetron of the MW. If predicted temperature is higher than the
set point, the computer code will reduce the power of the magnetron, and when
predicted temperature is less than the set point, the computer code will increase
the power of the magnetron to a new predicted MW power. The MW power prop-
erty is a function of the parameters of the dried product, such as moisture content
(MC), product temperature (TP), and air characteristics (temperature, Ta, and rela-
tive humidity, RH).
Start
Initial boundary conditions

IMC, Tp
k=k+1
Measure input parameters (Ta, Ta, IMCp),

output parameters (Tp, RH, Ta)
Predict parameters of dried product Tp in

moisture content (MC) after time (t),
Check parameters and control the MW power

density using PID controllers
Improve grain flow rate function

desired output MC
No Yes
Stop Stop
FIGURE 17.3 Coupled MW mathematical modeling program structure.
17.3.2.1 Automatic Control of Soybean during Drying by Coupled System

In a case study, the automatic control of soybean drying in a MW-assisted hot-air
dryer was investigated. A mathematical coupled model was adopted to simulate the
heat and mass transfer coefficients. Since drying was already in process for some
minutes, the temperature was nearly constant at 65°C and the curves are influenced
only by the decreasing moisture content. Figure 17.3 illustrates the steps by which
the various parameters were controlled during the drying process.
Initial moisture content and product temperature were first measured and input-
ted into the program code. Simultaneously with the experimental drying process,
the program code was run to predict the different parameters of the product over
time (t) of drying. The predicted results were compared to the measured results
determined by measuring the exhaust air characteristics with IR temperature sen-
sors (Figure 17.2) and the weight of the product (weight of grain inside the cavity
of the MW dryer) using an electronic balance linked to computer. This comparison
allowed automatic control of the MW power based on temperature of inlet hot air
and its relative humidity using a set of PID controllers.
In the case where the predicted product temperature was higher than the maxi-
mum drying temperature of soybean (Tp ≫ 65°C), a PID controller would decrease
the MW power of the dryer using the new predicted MW power. Others PID control-
lers would control the temperature and the humidity of the inlet hot air based on their
new predicted values. The program code would be executed a second time to start
immediately after changes to various parameters. The new predicted results (results
of the second execution) were used to control the new results determined over time
(t + Δt) of drying. The program code would be executed several times during the
drying process and several interventions (several controls) would be carried out to
improve final results of the dried product.
17.3.3 autOmatic cOntrOl Of the Output mOisture cOntent

Moisture control systems measure moisture content of the grain continuously by
measuring the weight of the product inside the drying chamber with an electronic
balance system given in Figure 17.2. The most difficult task when using automated
grain dryers is to maintain a stable product output moisture content. It is at the same
time the most important issue because of its close relation to economics: Overdrying
means lost money for energy and underdrying risks the quality of stored grain. Once
a dryer control system is installed, it should be tuned by repeated steps of operation,
pulling samples, checking moisture content, and adjusting parameters as needed.
17.4 SUMMARY
Automatic control systems recently applied to continuous MW industrial dryers have
used programming codes to predict the evolution of the product parameters during
drying under known initial and boundary conditions. This mode of control protects
the dried products against damage due to the exposure to high MW power densi-
ties. The application of this system requires a good selection of the mathematical
models adopted to each product. The use of such control techniques minimizes the
energy consumption and reduces the operating costs. In addition, the development of
mathematical models in grain drying is helpful to design energy-efficient dryers,
by simulating the profiles of moisture content, temperature, and specific energy
consumption.
ACKNOWLEDGMENTS
The authors acknowledge partial funding of the University of Djillali Bounaama
Khemis Miliana, Algeria. We also thank NSERC (The Natural Sciences and
Engineering Research Council of Canada).
NOMENCLATURE
Cp Specific heat, J/(Kg K)
K Thermal conductivity of the product, (W/m2.K)
T Temperature, °C
Jm Drying rate [kg water/kg (d.b.).s]
hm Mass transfer coefficient (m/s)
A Exchange area m2
M Moisture content [kg water/kg d.b.]
Yv Vapor concentration at the solid-gas interface
ms Dry mass of the solid (kg)
Dl The diffusivity, (m2/s)
Ea The activation energy (J/mol)
P Power, W
V Volume, m3
RH Relative humidity, %
p Pressure, Pa
ε Phase conversion coefficient which varies from 0 to 1
am Moisture diffusivity coefficient, m2/s
ap Coefficient of potential conductivity of the filtration movement of
the vapor, m2/s
Greek Letters
ρ Density, kg/m3
α Thermal diffusivity in m2/s
Subscripts
v Vapor
l Liquid
a Air
p Product
e Equilibrium
mw Microwave
IMC Initial moisture content
d.b. Dry basis
w.b. Wet basis
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18 Control of Spray
Drying Processes
Andreas Bück
CONTENTS
18.1 Introduction ................................................................................................. 349
18.2 Process Modelling....................................................................................... 352
18.3 Applications of Open-Loop Control and Optimisation .............................. 354
18.4 Applications of Feedback and Optimal Control ......................................... 357
18.5 Conclusions ................................................................................................. 363
References .............................................................................................................. 363
18.1 INTRODUCTION
Spray drying is one of the major convective drying technologies for the removal of
liquid (pure component or mixture) from a suspension (solid dispersed in liquid) or
solution (solid dissolved in liquid). Applications range from the food industry, for
example the drying of milk into milk powder, to production of detergents and cata-
lysts to the production of polymers, for example PVC, with solid production rates of
up to several tons per hour.
The solution or suspension is sprayed by one or several nozzles, arranged in an
array, into the spray tower, usually from the top, but there are also designs whereby
the spray is introduced from the bottom or from the sides of the tower. The evolu-
tion of the droplet in the spray tower is depicted in Figure 18.1: After a short heating
period from the spray temperature, the droplet size remains constant. Afterwards
liquid is evaporated and the droplet shrinks, simultaneously the solid concentra-
tion in the droplet increases. In the case of a solution, onset of oversaturation will
initialise crystallisation of the solid. Depending on the movability of the solid in the
liquid and the evaporation rate, at some point a critical solid concentration will be
achieved at the boundary of the droplet and a wet crust is formed. From this point
onwards, it is no longer a droplet but a wet particle. The final particle size can be
determined by the droplet size at crust formation, however, due to additional effects,
for example buildup of vapour pressure of the evaporating liquid inside the crust, the
particle may inflate (or burst) or deflate, so that a large variety in particle size can
occur for one and the same initial droplet size.
The process is implemented in a spray tower, usually a cylindrical apparatus on
top of a conical section. The diameter-to-length ratio varies significantly, leading to
349
Initial Initial crust Final

droplet formation particle
Heating First drying stage Second drying stage
FIGURE 18.1 Evolution of a droplet in a spray dryer: from droplet to wet particle and final
particle morphology.
Air Feed
Air Air
exhaust Air exhaust
Feed
Product
Product
FIGURE 18.2 Schematic representation of common spray dryer designs.
long and lean or short and bulky designs (Figure 18.2). The choice of the geometry
depends on the process conditions and the flow direction of the heated gas used to
evaporate the liquid. Usually, the gas inlet is either located at the top of the apparatus
(flowing downwards) or at the bottom (flowing upwards) or the gas is introduced
from the side (creating a swirl flow). If the directions of spray and gas flow coincide,
then the sprayer operates co-currently; if the flow directions are opposite, then the
operation is counter-currently.
The choice of operation mode depends on the desired residence time, the droplet
size distribution, the drying kinetics and material properties, for example the sticki-
ness of partially dried droplets. Sticking of droplets and partially dried particles to
apparatus walls is undesirable as it may pose a safety risks (danger of smouldering,
fire and explosion). Process and apparatus design are therefore such that the droplets
which enter the flow field do not collide with the apparatus walls.
If a conical section is present, then the dried droplets (particles) are collected
there; however, they can also be taken up by the gas and then separated afterwards
from the flow. The gas, loaded with the evaporated liquid as well as fines, leaves
either at the top or bottom of the spray tower, entering a gas cleaner, for example
a cyclone to remove the fines and additional filters. Depending on the evaporated
liquid (e.g., its toxicity or economic value), the vapour is condensed from the gas or
it is directly let out into the environment.
Control of Spray Drying Processes 351
General problems in operation of these large-scale apparatuses (with lengths up

to several ten metres and diameters of up to several metres) that motivate the need of
process control are the following:
• Product quality and yield: The primary product specification is the remain-
ing moisture content (mass of liquid per mass of dry solid), especially if the
liquid contains potentially hazardous components, for example organic sol-
vents or non-polymerised monomers, or if the product is biologically active. In
the latter case, the moisture content determines the activity, which may lead to
browning, for example Maillard reaction, or spoiling of the product (growth
of moulds or fungi). Another product quality aspect directly related to residual
moisture content is stickiness, especially for polymers or materials with a sim-
ilar structure, for example carbohydrates. Too high moisture content may yield
partial dissolution of the solid at the particle surface which may lead upon
contact with other particles to the formation of solid bridges and agglomerate
formation (lumping) which may decrease flowability or re-dispersion behav-
iour. Similar undesirable effects can also be initiated by the glass transition
effect: If the polymers or carbohydrates contain a critical amount of moisture,
they become soft (rubbery) and sticky. This process can already take place in
the dryer, leading to sticking of wet particles at the apparatus walls.
Further requirements are posed on the particle size (distribution), for
example to obtain a good flow behaviour and re-dispersion. Additionally,
the particles should be spherical, and the amount of shell fragments should
be low as this mostly contributes to dust and decreased flowability.
• Safety issues: As mentioned before, droplets and partially dry particles may
collide with the apparatus wall and, depending on the viscosity of the mate-
rial, stick. These deposits are still exposed to the hot gas flow (up to several
hundred °C) and therefore will evaporate the remaining liquid. At some
point the deposit is fully dry and it gets heated to a temperature close to the
gas temperature which may induce thermal decomposition of the material,
resulting in smouldering, fire or even an explosion with significant dangers
to equipment and human life.
Another safety-related issue that has to be handled by control are faults
in the operation, for example the clogging of nozzles or a disruption in feed
supply. In that case the effect of evaporative cooling is not as strong as
anticipated by the designers and may yield critical temperature levels in the
plant and outlet gas flow (damage to cyclone, filters). Upon detection, these
situations have to be handled by controlled shutdown of the gas flow and,
for example, spraying of additional liquid to reduce the temperature in the
apparatus.
• Economic requirements: Being a thermal drying process, spray drying is ener-
getically expensive as at least the specific evaporation enthalpy has to be sup-
plied to remove the liquid. Often a multiple of this value has to be supplied due
to low overall energetic efficiency. With the steady increase (Figure 18.3) and
global competition, the need to operate at an economic optimum is required
while assuring product quality and fulfilling safety requirements.
140
130
Relative price (%) (based on 2010)
120
110
100
90
Natural gas
80
Electrical energy
Steam
70
60
50
2000 2003 2006 2009 2012 2015
FIGURE 18.3 Relative development of energy prices of different sources (Germany, based
on prices reported by DESTATIS in 2010).
In the following different control strategies are presented that try to handle the
aforementioned challenges and constraints. For design of the strategies, different
types of spray dryer models are used which will be presented and classified first.
Afterwards applications of open-loop control and open-loop optimisation are pre-
sented and discussed, followed by feedback and optimal control.
18.2 PROCESS MODELLING

Due to the industrial importance, process modelling of spray dryer operation is an
active field of research and development, having led to models of varying degrees of
complexity. Based on the concept of Oakley (2004), the following model types can
be classified:
• Type-0 models: These models use (steady-state) mass and energy balances

to obtain the gas temperature and an average outlet moisture content or
outlet gas moisture content (one of those two has to be specified in order to
calculate the other). These results are obtained purely by the principles of
mass and energy conservation. They are computationally very cheap, even
if several streams and components have to be considered. Type-0 models
are appropriate for basic checks of operation limits, for example sufficient
uptake capacity of the gas given the amount of sprayed liquid and product
moisture content. It does not allow dryer design (e.g., geometry, residence
time), as no information on the speed of the process is available (as dictated
by kinetics and sorption/desorption equilibrium). Examples for this type of
model can be found in Oakley (2004), Shishir and Chen (2017) and Dobry
et al. (2009).
• Type-1 models: In addition to the features of Type-0 models, these mod-

els assume thermal equilibrium between the liquid and the vapour/gas
and consider liquid-vapour equilibrium via the desorption isotherm,
linking relative humidity and equilibrium moisture content. Thereby the
final product moisture content can be calculated and does not have to be
specified. The main drawback of these models is that the relationship
between equilibrium moisture and relative humidity has to be obtained
experimentally, preferably at operating temperature. Kinetic information
is not included in these models, that is, the process of spray dryer design
is not easy in comparison to Type-0 models. In the literature, this type
of model and its application can be found in Oakley (2004) and Shishir
and Chen (2017).
• Type-2A models: These models consider two new aspects compared to
Type-0 and Type-1 models: (1) Droplet drying kinetics are considered,
leading to a dynamic model of the mass balance; (2) the droplet move-
ment in the dryer is considered. Whereas the extension with respect to
drying kinetics is of high degree, the droplet (and particle) movement is
only modelled in a simplified way, for example using the assumption of
plug-flow or relating the residence time in the dryer to the residence time
in a plug-flow reactor. Combining these two aspects yields the drying time
and thereby the minimum residence time of the droplet or wet particle
in the apparatus, as well as its sinking velocity, allowing the determina-
tion of the length of the apparatus. The applicability of these models is
strongly determined by the validity of the flow assumption; an additional
drawback with respect to Type-1 model is the increased mathematical
complexity of the model (ordinary instead of algebraic equations) and
the increased number of process parameters, characterising material
properties and process conditions, for example flow velocity, heat and
mass transfer coefficients. Many examples can be found in the literature,
including Palencia et al. (2002), Oakley (2004), Birchal et al. (2006),
Montazur-Rahmati and Ghafele-Bashi (2007), Handscomb et al. (2009),
Bück et al. (2012), da Silva et al. (2017), Petersen et al. (2017b) and Shishir
and Chen (2017).
• Type-2B models: In these models, the flow fields of particles and gas and
their interaction is resolved in the apparatus geometry using computational
fluid dynamics (CFD). This allows calculation of relative velocities of the
particles and gas at any point in the apparatus and, thus, local heat and mass
transfer coefficients from which the drying of the droplet moving along its
trajectory can be obtained. The resolution of the flow field and interaction
can be performed on different levels, for example treating particles and gas
as two intermixing fluids (Euler-Euler approach) or fully resolving droplet/
particle motion in the flow field (Euler-Lagrange approach). Independent of
the approach, much more process information becomes available compared
to Type-2A models which can be used for dryer and process design. The
main drawback of these models is the requirement in computational time:
Full-scale resolution of an industrial dryer may take up several weeks—a
time investment often considered too high in industrial practice, especially

for the purpose of process troubleshooting. Applications of these models
can be found in Oakley (2004), Dobry et al. (2009) and Shishir and Chen
(2017).
• Type-2C models: These models are not part of the original classification by
Oakley (2004) but are introduced to describe a recent trend to decrease the
computational load of the Type-2B models. Instead of using a full single-
object drying model, taking into account the drying of the droplet and the
transition to wet particles and the evaporation from their interior, reduced
drying models are used, for example the concept of characteristic drying
curve (CDC; van Meel 1958, Tran et al. 2017) or the reaction engineering
approach (REA; e.g., Chen and Liu 2005, George et al. 2015).
From the point of process control (classic or intelligent) the questions of which model
type is appropriate or required, strongly depends on the desired results. If a Type-0
model is sufficient to describe the relation between the manipulated variables and
the variables to be controlled, then it should be used. However, if the required insight
cannot be provided by a certain model type, then the next complex type has to be
tried. The mathematical formulation of the model, for example by differential equa-
tions or neural networks, is not of crucial importance as long as the different formu-
lations are dynamically and statically equivalent, that is show the same dynamic and
steady-state behaviour.
In the following section, different design approaches for process control of
spray dryer operation and examples are presented and discussed. First, open-loop
approaches to control and process optimisation are presented, followed by closed-
loop and optimal control.
18.3 APPLICATIONS OF OPEN-LOOP CONTROL

AND OPTIMISATION
In the following, static methods for open-loop control of spray drying processes are
presented, and several examples are discussed and presented. For dynamic optimisa-
tion, the reader is referred to Chapter 6.
In recent years two approaches have dominated the design of open-loop and opti-
misation of spray drying processes, especially in the area of foods and enzymes:
response surface methodology (RSM) and artificial neural networks (ANNs).
Although of different origin, and applying different concepts, the ideas to achieve a
certain (optimal) control are similar (Figure 18.4). In both approaches, static maps are
obtained, linking some process inputs (manipulated variables) to process responses,
whose selection depends on the application at hand. Then, given the response for
each interaction, a multi-objective optimisation problem is solved to obtain the best
set of input parameters. As the methods have been presented in detail in Chapters 5
and 9, respectively, in the following a discussion of different examples is presented
to show the range of the two approaches, also pointing out some limitations that have
to be considered in practical applications. First, examples using RSM are discussed,
followed by examples using ANNs or a combination of RSM and ANNs.
Process input Process input
Experiment Response Experiment Response
Response
surface Artificial neural
methodology network
Optimisation Optimisation
Optimal process inputs Optimal process inputs
FIGURE 18.4 Open-loop control and optimisation approach in response surface methodol-
ogy and artificial neural networks.
In Igual et al. (2014), RSM is used to find optimal operating conditions (and
thereby control the process to achieve a desired result) for the spray drying of lulo
pulp containing additives. The process inputs are inlet air and the concentrations of
the two additives, arabic gum and maltodextrin. A run of 23 experiments is designed
to find the response of the spray drying process with respect to yield, hygroscopicity
and powder water content, as well as nutritive and functional properties, for example
vitamin C content. Using the measured data, second order responses are generated
by the RSM approach and cross-checked by additional experiments. Optimal operat-
ing conditions with respect to the response variables are obtained by overlaying the
different responses. Igual et al. (2014) can show that within the range of investigated
operating conditions, desired product quality can be obtained.
Selvamuthukumaran and Khanum (2014) present a similar study for the spray
drying of sea buckthorn. The process inputs are inlet air temperature and maltodex-
trin content; among the observed responses are moisture content of the powder, pow-
der solubility, and colour change. The response surfaces are generated by quadratic
regression using data obtained from 14 experimental runs. The optimal conditions
within the investigated range of process parameters are obtained by overlay of the
individual responses and checked experimentally, showing good performance.
The work of Shavakhi et al. (2011), investigating the spray drying of pumpkin
slurry, considers additional responses, for example the water activity (important for
storage and fungal activity) and powder stickiness. Stickiness is measured by com-
pression and separation of the obtained powder. Data is collected in 20 experimental
runs and the response surfaces are generated by multiple regression. Optimal condi-
tions are again obtained by overlay of the different response surfaces.
Mestry et al. (2011) considered the spray drying of a two-component functional

food. In their studies, the inlet air temperature and flow rate, as well as the mass
concentration of an additive (maltodextrin), are selected as input variables. The set
of output variables contains, among others, the powder porosity, flowability, bulk
density, as well as wettability. In a similar way to the examples already discussed,
the responses are expressed in terms of the inputs by multiple regression and optimal
operating conditions are obtained by multi-dimensional overlay of the responses.
Microencapsulation of garlic oleoresin is studied by Balasubramani et al. (2013)
using RSM, selecting the concentrations of core and shell material and the inlet air
temperature as process inputs. Two outputs are considered, the moisture content of
the encapsulated particles and the concentration of one specific component, allicin.
The second order polynomial responses, that is the expression of the responses in
terms of the process inputs, are obtained from 17 experimental runs by regression.
Optimal conditions in the studied range are obtained by overlaying the individual
responses. Another example of microencapsulation is given by Kha et al. (2014) for
gac oil.
An example of use of the RSM in a non-food context is given by Cortés-Rojas
et al. (2015), who investigate spray drying of a medicinal plant extract (Bidens
pilosa L.). They also select inlet air temperature, extract feed flow rate and the con-
centration of an additive (Aerosil) as process inputs, studying the effect on several
responses, among them antioxidant activity, particle size, solubility, and drying effi-
ciency. Response surfaces and optimal conditions are obtained in a similar vein as
before, that is using regression to link process inputs to observed response data and
optimising the response by overlay of the modelled responses.
In the following, some recent examples of the use of ANN for open-loop control
and optimisation of spray drying operation are presented. Additional examples can
be found in the cited references.
Neshat et al. (2010), Neshat et al. (2011) and Azadeh et al. (2012) present appli-
cations of partial least squares (PLS) and an ANN in the spray drying of ceramic
slurries. Multilayer perceptrons are used to model the links between process inputs
(six) and one output, the particle size distribution. The PLS approach is used to select
significant input-response pairs; the ANN is then trained by experimental data via
backpropagation. In a further step, the trained ANN is used for open-loop predictive
control, or reverse engineering, allowing the selection of suitable values of the input
parameters to achieve a desired particle size distribution.
Keshani et al. (2012) presented an application of ANNs to study and predict the
amount of wall deposit in the spray drying of lactose solution. Process inputs were
inlet air temperature, the feed flow rate and the ratio of maltodextrin to lactose in the
solution. Output variables are the wall deposition flux and moisture content of the
produced powder. The ANN is trained via backpropagation using data from experi-
ments and is validated by additional tests. The authors can show that they are able to
obtain good prediction of the wall deposits, allowing them to select optimal condi-
tions to minimise this effect.
Aghbashloo et al. (2013) and Agbashloo et al. (2012) study product quality and
exergetic aspects of a microencapsulation process preformed in a spray dryer. Using
inlet air temperature, feed flow rate and air flow rates as inputs, seven exergetic
parameters can be expressed by training of an ANN. Optimal conditions, in terms

of product quality and exergetics, although sequentially and not simultaneously, are
obtained and validated in additional experiments.
As a final example for use of ANNs, the work of Miletic et al. (2014) is presented.
For the case of spray drying of a drug component, cyclodextrin, RSM and an ANN
are applied. In both approaches, three process inputs are selected: feed concentra-
tion, pump speed (i.e., feed throughput), and air inlet temperature. The responses
are observed, process yield, powder moisture content, and outlet temperature. In
RSM a second order polynomial surface is generated by regression, in the ANN a
multilayer perceptron is created and trained via backpropagation of experimental
results. Although both approaches achieve similar results with respect to output pre-
diction and optimal operating conditions, an advantage of the ANN is observed by
the authors. This is traced back to the better ability of the ANN to mimic arbitrary
nonlinear behaviour of the responses, as compared to the polynomial structure used
in RSM.
Before closing this section, some remarks on the use of RSM and ANNs for open-
loop control and process optimisation should be made: The main advantage of both
approaches is that they allow process modelling based purely on experimental data,
by fitting in RSM and training in ANNs. This black-box approach allows modelling
of input-output relations even if the detailed processes are unknown. By principle,
the obtained models are always open-loop stable and can thus be controlled without
feedback. Optimal process conditions can be obtained often visually, by overlay of
the different responses, which make the approach very attractive in in-field operation
and consulting. However, often a large number of experiments have to be performed
to obtain a reliable process model. This may be expensive in terms of the mate-
rial required and therefore necessitates effort in the experimental design to reduce
material and operating costs. The obtained models are usually only valid within the
studied parameter range, that is, they possess only a small trusted region for extrap-
olation. Another aspect that needs to be considered is the probably huge number
of fitting parameters (or ANN weights), here the danger of overfitting exists, how-
ever, a slight advantage of ANNs in model exactness compared to RSM is observed.
Additionally, optimality of process operation is only certain in the studied region,
that is there may exist other, better operating points outside the limits of the studied
process inputs.
18.4 APPLICATIONS OF FEEDBACK AND OPTIMAL CONTROL

In application of RSM and ANNs, or in fact all open-loop approaches, one should be
aware of the implicit assumption that with the exception of the considered process
inputs, all process conditions are constant. This includes all inputs that may act as a
disturbance on the process, for example a change in inlet air humidity or gas mois-
ture content. Changes in these will yield a drift of the operating space, that is, deform
the response surface, leading to nonoptimal process results.
If disturbances are known to occur and it is the desire of the spray tower operator
to have an automatic reaction of the process to maintain product quality or process
Disturbance
Pd
Controller Plant
R Y
− C Pu
Reference Controlled
output
FIGURE 18.5 General scheme of a feedback control loop.
optimality, for instance with respect to energy consumption, then feedback control
methods have to be applied.
The main difference between open-loop and feedback (or closed-loop) control is
that the state of the process, for example temperatures or moisture contents, is fre-
quently measured online in the closed-loop setting. By comparison of the obtained
with the reference data, for example a required moisture content, changes in the pro-
cess inputs (manipulative variables) are calculated by the controller to adjust for any
detected deviations (Figure 18.5). This allows counteracting the influence of process
disturbances, even if they are not measured. The main drawbacks of feedback con-
trol with respect to open-loop control are the increased demand of instrumentation
(measurement probes) and the design effort for the controller, which is usually based
on a dynamic process model. These can be obtained from experiments by process
identification or from first-principles modelling (Type-2A–Type-2C models).
The main controller types found in the literature and in industrial applications
are traditional PID controllers, as well as model-predictive controllers (MPC, cf.
Chapter 4). The prominence of PID controllers is due to the large base of process
engineers familiar with their design and limitations, and the fact that spray dryers
usually operate under steady-state conditions so that linear models and controllers
are often sufficient to achieve satisfactory results. For advanced control issues and
optimality of operation over a larger region of conditions model-predictive control
has proved to be an efficient concept. Additionally, the concept is gaining hold in the
drying community, with several industrial installations showing the potential of this
approach.
In the following, different examples of application of feedback control to spray
dryer operation are presented and discussed, starting with single-stage spray drying
moving towards multi-stage drying and optimal control. Additional examples for
feedback control of spray dryers can also be found in the references, especially in
the review of Dufour (2006).
In Zaror and Pérez-Correa (1991), the application of PI control to a single-stage
spray dryer is considered. The process inputs manipulated by the controller are
either the inlet air temperature or the feed rate. The controlled variable is the outlet
air temperature which is related via an equilibrium relation to the solid moisture con-
tent. This is an application of inferential control, as the actually controlled variable
moisture content is not measured directly but is inferred from the temperature mea-
surement (via the equilibrium relation). Although the approach shows sufficiently
good results, two aspects have to be considered: First, the implicit assumption that
solid-gas and liquid-gas equilibrium is attained in the spray dryer. This requires a
long residence time of the powder in the apparatus, for example for long droplet
trajectories in the dryer and sufficiently fast drying. Deviations from the equilibrium
assumption may result in unsatisfactory controller action (and thereby product qual-
ity) as the value for comparison in the feedback loop is faulty. Second, closing the
loop between inlet and outlet air temperatures (for example) may introduce large
delays in the process response to changes in the manipulated variable which may
negatively influence the closed-loop performance and may even destabilise the spray
drying process. The controllers should therefore only be pre-parameterised using
process model, additional tuning should be performed at the operating spray dryer.
Perez-Corréa and Farías (1995) investigated feedback control in a single-stage
spray dryer. The measured variables are the gas moisture content and the gas tem-
perature in the dryer. Manipulated variables are the gas inlet temperature, the feed
flow rate as well as the gas flow rate. A PI controller is designed, closing the loop
between gas inlet temperature and gas temperature in the dryer and the gas humid-
ity and the gas mass flow rate, showing good performance. This control structure is
extended in a cascade design to allow control of the product moisture content: Using
an equilibrium relation, the gas humidity is correlated to the product moisture con-
tent. The moisture content is measured offline and the set point for the gas humidity
is adjusted by the cascade controller (outer loop). This is feasible as the moisture
content changes much more slowly than the gas humidity in the dryer. The overall
control scheme shows good performance with respect to reference tracking and dis-
turbance rejection.
In the work of Tan et al. (2017) indirect control of a lab-scale spray dryer is inves-
tigated. A PID controller is designed to close the feedback loop between measured
outlet air temperature and the inlet air temperature which acts as the manipulated
variable. The dynamic behaviour of the process is identified by step-response experi-
ments, fitting the response to a low-order transfer function model. Disturbances are
not considered in the controller design, however, the authors discuss robustness of
the control loop with respect to modelling errors, for example neglected nonlin-
ear influences. Certain insensitivity with respect to unmeasured disturbances in an
inherent feature of control loops, so the designed loop possesses also certain robust-
ness in this regard. From a practical point of view, the outlet temperature is not
necessarily of prime interest in spray dryer operation, with the exception of fault
detection, so additional correlations need to be used to link this controlled variable
to product specification, for example moisture content or activity.
A similar approach, also for a lab-scale dryer with an average gas residence
time of two seconds, has been followed by Parastiwi and Ekojono (2016). They also
achieve good performance with respect to the set point of the outlet air temperature.
Constraints in the manipulated variables (either feed flow rate or inlet air tempera-
ture) are fulfilled by appropriate de-tuning of the controller.
Shabde and Hoo (2008) presented a then novel design approach using bi-level
optimisation of the process behaviour with the aim of parameterisation of a PID
controller. The controlled outputs are the average particle diameter, the product
moisture content as well as the product rate. Taking into account process constraints,
the authors construct a cost functional, based on which an open-loop optimal control
strategy is determined. From this strategy, parameters of a PID controller, using the
gas flow rate and the inlet droplet size as manipulated variables, are determined.
The particle size and moisture content are measured on-line and used for closure of
the feedback loop. In disturbance rejection scenarios, unmeasured changes in the
feed composition and the feed flow rate are considered. The authors then show that
their designed controller is sufficiently robust and shows good set point tracking
capability.
In Govaerts et al. (1994) an optimal feedback controller is designed based on a
linear dynamic process model for an industrial spray dryer. The authors consider
spray drying of a detergent in a counter-current configuration. The chosen manipu-
lated variables are inlet air flow rate as well as the feed flow rate. The controlled
variable is the product moisture content which should follow a given reference or
attain a given set point. As an additional condition, the variance of the moisture
content over time, especially after the occurrence of process disturbances, is to be
minimised, leading to an optimal control problem. The cost function, variance of
product moisture, can be expressed as a quadratic form with respect to the pro-
cess states, comprising several temperatures and the particle moisture content. Not
directly measurable states are estimated using a Kalman filter; estimates are also
calculated between sampling times of the overall control scheme. As the model is
linear (L) and the cost functional quadratic (Q), the resulting proportional full-state
feedback controller is LQ-optimal. In order to improve the capability of the control-
ler to cope with process uncertainties, the controller is extended, including integral
action. In experiments at the spray dryer (tested up to a capacity of 1500 kg h−1), the
authors were able to show that their design approach yields sufficient results as long
as the process is maintained in the linear operating regime and no disruptions or
disturbances in the measurement sensors occur.
As a final example, the recent work by Petersen et al. (2017a) for spray drying of
maltodextrin DE 18 is presented. They considered feedback control of a four-stage
spray dryer, consisting of a co-current spray dryer with one internal fluidised bed,
situated in the bottom section of the dryer, and an additional vibrating fluidised bed
at the outlet of the internal fluidised bed (Figure 18.6). Fluidised beds are commonly
used to further dry the spray-dried particles and to condition the product, for exam-
ple cooling for packaging, transport and storage, or adjustment of water activity.
Petersen et al. (2017a) considered the following measurement variables: four stage
air temperatures (spray dryer, internal fluidised bed, outlet internal fluidised bed,
outlet vibrating fluidised bed), the air moisture content (relative humidity) and the
residual moisture content in the powder. The moisture content was obtained by near-
infrared spectroscopy (NIR). As controlled variables different subsets of the mea-
sured variables are chosen. For manipulation, the feed flow rate, the spray dryer inlet
air temperature and the internal fluidised bed inlet air temperature are considered.
Additionally, several disturbances are taken into account: variations in feed tem-
perature, feed concentration, inlet air humidity, ambient temperature, and the air
temperature used for product cooling in the vibrating fluidised bed.
Main air Exhaust
Feed
SFB
SFB air Exhaust
VFBh air VFBc air Powder
FIGURE 18.6 Schematic setup of the four-stage spray dryer. (Adapted from Petersen, L.N.
et al., J. Process Contr., 57, 1–14, 2017a.)
The initial control approach uses a traditional PI controller to adjust the feed flow
rate according to the measured air temperature in the spray dryer. The temperature
reference value, that is the set point, is manually adjusted based on additional product
moisture samples. This set point adjustment indirectly copes with all process distur-
bances that occurred between two moisture sampling times. In the implementation,
saturation of the manipulated variable, that is non-negative flow rates and maximum
flow rate below air saturation, are considered by range operations. Anti-windup tech-
niques are not implemented in this case, but may become necessary, especially if the
process input is in the saturation limits. The authors can show that their approach is
functional, even in the presence of disturbances, however, a significant variance in
the outlet moisture content is observed. One source of the variation, which is largely
independent of controller tuning, is the sampling time of the powder moisture con-
tent and the delay in adjustment of the spray dryer temperature set point. Another
source is the indirect influence of the controlled variable (spray dryer temperature)
on the moisture content at the outlet of the second fluidised bed. Here, additional
variation in moisture content can be introduced that cannot be counteracted by the
controller directly, but only via the manual adjustment of the set points.
The second control approach utilises nonlinear model-predictive control (NMPC)
to achieve desired product properties. Similarly to the PI approach, the residual mois-
ture content of the powder is considered a controlled variable. However, the powder
moisture content is now sampled automatically and used directly in the control-
ler computation. The predictions are made using a first-principles process model
(Type-2A), allowing operation in a wide range of process conditions. As cost func-
tional the profit of operation is considered which is estimated as a weighted sum of,
for example, product flow rate and specific energy consumption. The main virtue of
the NMPC approach lies in the direct account of process constraints. In this example,
the following constraints are posed: The feed flow (spray) is constrained to specific
minimum and maximum rates; the air inlet temperatures are also bound-constrained,
that is in all stages the temperatures should not fall below a lower limit or exceed an
upper limit. Additionally, the air temperature in all stages should be smaller than the
glass transition temperature, to avoid the formation of sticky maltodextrin that may
adhere to apparatus walls and negatively influence process operation (e.g., clogging
of spray nozzles, smouldering of deposits, danger of fire or dust explosion). The glass
transition temperature of maltodextrin depends on the powder moisture content, as
shown schematically in Figure 18.7 for maltodextrin DE20. For large moisture con-
tents or moisture weight fractions, the glass transition temperature can be quite low,
posing a limit on the air temperature. In later stages, the temperature can be higher as
the glass transition temperature increases with decreasing moisture content.
The NMPC is implemented in a time-discrete setting, that is, new control moves
are generated at specific sample times. This is required to limit the computational
effort in predicting and optimising the process response which is performed dynami-
cally using the nonlinear process model. To account for the different timescales in
the responses and measurement sample times, an extended Kalman filter is used to
obtain estimates of the variables of interest in between samples.
Using industrial disturbance scenarios, Petersen et al. show that their NMPC
approach is able to achieve the required powder moisture content, the product flow
rate is maximised, the stage temperatures are kept within the required limits and
wall deposits are minimised. Additionally, an economic optimum is achieved, which
together with the maximum on-spec powder yields a maximum operation profit. The
optimum is achieved if the spray dryer temperature is close to the glass transition
160
140 Rubbery state

Glass transition temperature (°C)
120
100
“Sticky” region
80
Glassy state
60
40
20
0 0.01 0.02 0.03 0.04 0.05 0.06 0.07 0.08 0.09 0.1
Water mass fraction (−)
FIGURE 18.7 Glass transition temperature of maltodextrin DE20 as a function of water

mass content of the powder.
temperature. This is not unexpected as higher air temperature yields larger evapora-
tion capacity; however, the feed flow rate has to be monitored quite precisely in this
case, as reductions in spray will yield a temperature increase in the drying due to the
reduced evaporative cooling, that is consumption of air enthalpy for the liquid-gas
phase transition. If the feed rate decreases, for instance due to clogging of one of the
nozzles, then the glass transition temperature may be exceeded and increased stick-
ing of partially dried droplets is to be expected.
However, in total, this approach provides a feedback control scheme that provides
optimal process behaviour over a wide range of process conditions and, due to the
maximised operation profit, possesses a short return-of-investment period.
18.5 CONCLUSIONS
In the last decades, several powerful methods for control of spray drying processes
have emerged. In the field of open-loop control and optimisation, the response sur-
face methodology and artificial neural networks dominate, with RSM the conceptu-
ally simpler and therefore industrially more appealing approach, but with ANNs
being better able to take account of nonlinear process response to changes in the
input. Given the responses to modifications in the process inputs, optimal open-
loop process conditions can be obtained, often by visual inspection and overlaying
the different responses. The main difficulty of these approaches is their open-loop
nature: Predicted results are only achieved if no process disturbances are present,
otherwise deviations of a priori unknown magnitude will occur in the output vari-
ables, for example the product moisture content.
Disturbance rejection and coping with model uncertainties are key features of feed-
back control systems. Here, in recent years, a shift from basic PI controllers to online-
optimising predictive controllers has taken place. The latter offer the possibility of
achieving required product qualities even under disturbances, and doing so in a speci-
fied optimal way. Additional advantage of model-predictive controllers is the explicit
consideration of process constraints, for example limits in feed rates or temperatures.
Main disadvantage of feedback controllers with respect to open-loop control is the
requirement of additional instrumentation, especially online measurement devices, and
the possible need to solve for the optimal control law simultaneously to the process
which may pose significant challenges with respect to allowable computational times.
In summary, the advances so far in control of spray drying operations give reason
to expect additional improvement in the coming years, especially in the area of opti-
mal feedback control schemes, not only taking into account product quality but also
economic and ecologic aspects of spray dryer operation.
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19 Advanced Control
in Freeze-Drying
Antonello A. Barresi, Roberto Pisano,
and Davide Fissore
CONTENTS
19.1 Introduction ................................................................................................. 367
19.2 Open- and Closed-Loop Control for Freeze-Drying .................................. 369
19.3 Control Systems Based on Temperature Measurement .............................. 374
19.4 Advanced Control Strategies Based on Parametric Average-Value Models ... 380
19.5 Use of Control Systems for Process Control, Process Optimization and
Cycle Development ..................................................................................... 385
19.5.1 Comparison of In-Line Control Approaches ................................. 386
19.5.2 Handling Batch Nonuniformity .................................................... 389
19.5.3 Heat and Sublimation Flux Monitoring and Control .................... 391
19.5.4 Cycle Development and Scale-Up: In-Line and Off-Line
Approaches.................................................................................... 392
Acknowledgment ................................................................................................... 394
References .............................................................................................................. 394
19.1 INTRODUCTION
Among various drying processes, freeze-drying stands out as the liquid, usually
water, is removed at low temperature; this allows for better preservation of critical
quality attributes (CQAs) (e.g., color, shape, structure, and rehydratability, nutrients
concentration in case of foodstuffs, and drug activity in case of pharmaceuticals) of
the product being processed than in high temperature drying. This is due to the fact
that CQAs are usually related to thermolabile molecules that can be damaged at high
temperature (Jennings, 1999; Oetjen and Haseley, 2004; Fissore and Velardi, 2012;
Fissore, 2013). The freeze-drying process is composed of three stages:
1. Freezing: Product temperature is lowered well below the freezing temperature
of the solvent in such a way that the “free” water moves from the liquid to
the solid state. Depending on the cooling rate it is possible to get smaller or
larger ice crystals, but the process is a stochastic one and this may affect the
subsequent drying stages, as it will be shown in the following. Several tech-
niques (often called “controlled nucleation”) have been developed to force ice
nucleation to occur simultaneously as much as possible, at a predetermined
temperature, in order to strongly reduce the batch variance and improve cake
characteristics (Pisano et al., 2014b; Barresi and Pisano, 2014).
367
2. Primary drying: The pressure in the chamber where the product is pro-
cessed is decreased to a value that causes the sublimation of the ice. Water
vapor leaves the product and a moving interface, separating the dried
product and the frozen core, establishes. As the ice sublimation goes on,
and the amount of frozen liquid decreases, the interface moves from the
external part of the product to the internal one (or from top to bottom for
product in vials), and the vapor flows through the dried layer of the prod-
uct. Obviously, the structure of the dried layer affects the rate of vapor
removal, and it is directly related to size of the ice crystals as the empty
space available for the vapor corresponds to that previously occupied by
the ice.
3. Secondary drying: Once the ice has been removed, it may be necessary
to further decrease the amount of water in the product by removing the
“bounded” water; this is the water that is bounded to product molecules and
that did not turn into solid state in the freezing stage. This task is generally
accomplished by increasing product temperature, thus promoting solvent
desorption from the product.
The product is usually placed onto the shelves of the drying chamber. A techni-
cal fluid flows inside the shelves; during the freezing stage its temperature is very
low and, thus, it removes heat from the product, causing liquid freezing. During the
primary and secondary drying stages, on the other hand, its temperature must be
increased to supply heat to the product, as both ice sublimation and water desorption
are endothermic processes. Radiative heating can also be applied, especially in case
of food processing, when pre-frozen material is loaded in the chamber; it is easier to
control, as the process depends directly on radiator temperature and is not affected
by chamber pressure. A vacuum pump and a condenser for water vapor are used to
get the desired vacuum level in the chamber.
High-quality products, with respect to the “traditional” high temperature drying
processes, are usually obtained if throughout the process product temperature is
maintained below a threshold value that is a characteristic of the product being pro-
cessed. This temperature corresponds to the value that is responsible for the dena-
turation of the molecules of interest, and possibly to scorch temperature of the dried
product when radiative heating is applied from the top. In the case of freeze-drying
of liquid solutions containing a drug (and one or more excipients), for a crystallizing
product a further constraint is represented by the eutectic temperature of the system,
to avoid product melting. In the case of amorphous products, the collapse tempera-
ture must not be trespassed, to avoid the collapse of the dried cake, which also causes
longer reconstitution times, higher amount of water in the final product, and so on
(Franks, 1998; Johnson and Lewis, 2011). Ice melting and collapse can also affect
the final quality of freeze-dried food. The true collapse temperature is difficult to
predict exactly, and generally the glass transition temperature of the moist product
in contact with the ice (Tg’) is considered for precaution; regardless, trespassing the
collapse temperature does not always cause the collapse of the batch, if the product is
partially crystalline, and “aggressive” thermal conditions can be adopted, depending
on the robustness of the cycle (Tchessalov and Warne, 2008).
Advanced Control in Freeze-Drying 369
Product temperature in the freeze-drying process is the result of the selected

operating conditions in the freeze-dryer, namely the total pressure in the chamber
(Pc) and the temperature of the heating shelf (Tshelf ). In fact, it is possible to express
the heat flux to the product (Jq) as a function of the temperature difference between
the heating shelf and the bottom of the product (TB) using the following equation:
J q = K v (Tshelf − TB ) (19.1)
where Kv is the heat transfer coefficient, which is strongly affected by chamber pres-
sure. The mass vapor flux (Jw) can be expressed as a function of the solvent partial
pressure difference between the interface of sublimation (pw,i) and the drying cham-
ber (pw,c) using the following equation:
1
Jw = ( pw ,i − pw ,c ) (19.2)
Rp
where Rp is the resistance of the dried cake to vapor flux. With the steady-state
assumption it is possible to write that
Jq = ∆Hs Jw (19.3)
with ΔHs being the heat of sublimation. When Equations 19.1 and 19.2 are introduced
in Equation 19.3, it is possible to calculate the product temperature as a function of
Tshelf and Pc, considering that pw,c is (almost) equal to Pc as the gas composition in the
chamber is about 100% water vapor, pw,i is a known function of product temperature
at the interface of sublimation (Ti), and Ti and TB are related by the heat balance of
the frozen layer.
The operating conditions of the freeze-drying process influence not only product
temperature but also the sublimation flow rate and, finally, the drying time. With
respect to the sublimation flow rate it must be noted that the equipment where the
process is carried out may pose two additional constraints: (1) the vapor flow rate
has to be compatible with the capacity of the condenser and (2) the occurrence of
choking flow in the duct connecting the condenser to the chamber has to be avoided.
In both cases an undesired pressure increase in the chamber is obtained that causes
product overheating (Searles, 2004; Patel et al., 2010a).
19.2 OPEN- AND CLOSED-LOOP CONTROL

FOR FREEZE-DRYING
Primary drying is the most critical stage of the freeze-drying process as the product
limiting temperature is lower and the water flux is higher due to the higher amount
of water in the product. The secondary drying step may also be crucial, even if there
is lower risk to damage the product, because the residual moisture may affect its
stability.
The concept of modern closed-loop control was introduced for freeze-dryers in
the pharmaceutical field in the early Sixties. Even though the first proposed automatic
control systems had many limitations, and were never really used in industrial units,
some control strategies introduced at that time are still valid today (Nail and Gatlin,
1985; Jennings, 1999).
The control of a batch process with the constraints of an industrial pharmaceutical
process (sterility conditions, compatibility with automatic loading/unloading, stopper-
ing, and consequently the difficulty or impossibility of inserting a measuring probe
in the product) is a very difficult task. The main problem was, and still in part is, the
reliable measurement of the variables of interest, principally the product temperature
during primary drying. In fact, for the reasons mentioned above, it is difficult to mea-
sure or estimate the product temperature accurately and with the required sensibility,
even when a probe is used, as it can interfere with the process, making the selected
sample not representative; then the size of the probe may be large, measuring an aver-
age value of the sample temperature even in the presence of local significant variations.
In addition, there may be a significant nonuniformity in the batch and gradients inside
the vials, making the selection of the vial to be monitored and the correct positioning
of the probe critical, even when a very tiny probe is adopted. Finally, it would be neces-
sary to monitor the complete state of the system, and thus the progress of the process,
or at least to detect the end of the primary drying step, to switch safely to new operating
conditions without unnecessarily prolonging the primary drying step.
Since the early systems, the temperature was measured with probes inserted in the
tray or in some vials, or alternatively, the electrical impedance (resistivity or capaci-
tance) of the product was used to avoid melting of crystalline products, as it was
demonstrated that this physical property (in particular the resistivity was employed
in early works) is a sensitive indicator of the eutectic state (Rey, 1961). Alternatively,
the batch temperature value can be estimated using the pressure rise test (PRT): the
valve in the duct connecting the chamber with the condenser is closed, leaving the
pressure to rise as a consequence of sublimation. In the early version, the ice tem-
perature was calculated from the pressure measured at the end of the shutting-off
period, using the vapor pressure curve of ice when equilibrium with ice was reached
(Oetjen et al., 1962). This method, called the barometric temperature measurement
(BTM), was invasive and not very accurate, because the ice temperature may signifi-
cantly rise during the test, if prolonged up to equilibrium, as a consequence of the
increased heat transfer due to the higher chamber pressure, but it had the advantage
of giving an average value over the batch. Since then, less invasive PRT methods
have been developed based on the interpretation of the pressure rise in a shorter time
interval; a comparison can be found in Fissore et al. (2011b).
As we will see in the following discussion, the aforementioned measuring sys-
tems, though somewhat improved, are still commonly used nowadays in practical
applications. Recently, methods based on measuring the sublimation flow and the
heat flux from the shelf to product have been proposed and validated, and have also
shown a good potential for control applications. Complete and detailed reviews
of the currently available measuring devices for freeze-drying monitoring can be
found elsewhere (Patel and Pikal, 2009; Patel et al., 2010b; Barresi and Fissore, 2011;
Nail et al., 2017; Fissore et al., 2018).
Manipulated variables can only be the shelf temperature and/or the chamber pres-
sure, on which the heat flux from shelf to product depends. Not withstanding that,
it is the one more commonly adopted for primary drying control, heat transfer control
by manipulation of shelf temperature is slow due to thermal inertia of the system,
and the control loop can be unstable if product resistivity, which responds quickly to
temperature variations, is measured, while shelf heating and cooling have a large lag.
Manipulation of the chamber pressure is much more responsive in quickly modifying
the heat transfer coefficient; in fact, pressure manipulation has very fast response,
and the contribution to heat transfer due to gas conduction varies linearly with the
chamber pressure. This can be done either by throttling the valve in the spool, turning
on/off the vacuum pump (which is nowadays generally adopted only in inexpensive
lab- and pilot-scale units), or by controlled bleeding using an inert gas feed to the
chamber.
In secondary drying the most important variable to be monitored is the residual
moisture content of the product, to stop the process when the desired value is reached.
For most pharmaceutical products a low value of residual moisture, usually from less
than 1.0% to 3.0%, has to be obtained, but for certain products it is necessary to
avoid such a low value; a limit on the scorch temperature of the product may also be
considered. The only manipulated variable is generally the shelf temperature. Pikal
et al. (2005) proposed adjusting the shelf temperature in order to reach the desired
level of water in the product; but it is usually kept constant at a relatively high (com-
pared to primary drying) pre-set value. The chamber pressure is not very influent,
even if it has been shown that the water partial pressure can influence the residual
moisture in the product. Lowering the chamber pressure set point may be a strategy
to reduce partial pressure in the units where inert gas bleeding is not used to control
pressure (Searles et al., 2017). In secondary drying the chamber pressure is generally
kept at low value (controlled or at the minimum reachable in the apparatus) to favor
desorption, even if the process is usually controlled by heat transfer. For this reason
Sadikoglu et al. (1998) proposed a control policy varying both shelf temperature and
chamber pressure, increasing in particular the pressure to its maximum values after
a short initial step to improve heat transfer and reduce drying time.
Unfortunately, the moisture content can only be measured directly at-line by sam-
pling, or in-line using single-vial spectrometric methods; these last techniques are
currently of interest for lab-scale apparatus and process development, but not suitable
for industrial applications. The residual moisture of the batch can be estimated from
the composition of the chamber gas, using a dew-point sensor or other gas analyzers
(like a quadrupole mass spectrometer, a tunable diode laser spectrometer [TDLAS],
or a cold plasma ionization device), or from the desorption rate (easily measurable
with a PRT), but a specific calibration for each product would be required (Nail and
Johnson, 1991). It is possible to monitor the desorption flow rate by using the PRT
method or a TDLAS installed in the duct, integrating it during secondary drying
in order to evaluate the residual water content, but the method reliability strongly
depends on the accuracy of the measurements, which may be low using a TDLAS as
a consequence of the low gas velocity (Schneid et al., 2011). In addition, the value at
end of primary drying must be known with sufficient accuracy.
Some systems employing a capacitive moisture sensor or based on PRT have also
been proposed and patented; a review and comparison can be found in Fissore et al.
(2011c). An innovative approach leading to a soft sensor that can be integrated inside
a control loop and which determines the optimal heating strategy for secondary dry-
ing step will be presented in the section on advanced control strategies based on
parametric average-value models. In fact, the maximum allowed product tempera-
ture of the lyophilized product increases with a decrease in the residual moisture,
and the shelf temperature should increase as long as secondary drying goes on.
The early works describing control-loop applications in freeze-drying have been
summarized elsewhere (Barresi and Fissore, 2011); most were simple feedback sys-
tems and were described in patent literature with few or no details. In spite of the
research activity carried out, it must be said that shelf temperature and chamber
pressure during primary and secondary drying in the past (and often nowadays) were
generally set empirically on the basis of a trial-and-error experimental design, or at
best using factorial design. The development of inexpensive microprocessor technol-
ogy in the last decades has favored automation, and in production and pilot-scale
units or in laboratory apparatus there was passage from manual cycle sequencing to
total “hands-off” operation (Nail and Gatlin, 1985; Thompson, 1989). Nevertheless,
true closed-loop control of the critical quality attributes of the product was rarely
put in practice, even if tests were carried out. Generally, the control was limited
to the automatic sequence of operation with predefined set point values and to the
regulation of shelf temperature and chamber pressure to maintain them within the
required tolerance; eventually only the detection of end of primary drying to change
setup or end of operation was included. In addition, relatively few control studies
were published.
A brief summary of the different models utilized and of the control approaches
adopted can be found in Velardi and Barresi (2008), Daraoui et al. (2010), and
Barresi and Fissore (2011). The work of Meo and Friedly (1973) on the optimal feed-
back control, the thermodynamic lyophilization control (TLC) described by Oetjen
(2004), the SMARTTM Freeze-Dryer (Tang et al., 2005), and the ideal model-based
control strategy investigated by Fissore et al. (2008) are some of the early works on
closed-loop control of primary drying.
Several published works are about model-based open-loop control either for
pharmaceuticals or food products: the optimal cycle parameters are defined off-
line by modeling and computational tools. Works by Liapis and Litchfield (1979),
Litchfield and Liapis (1982), Lombraña and Díaz (1987a, 1987b), Lombraña et al.
(1997), Kuu and Nail (2009), and Lopez-Quiroga et al. (2012) investigated primary
drying. In some cases, both the primary drying and the secondary drying have
been optimized (Sadikoglu et al., 1998, 2003; Boss et al., 2004; Sadikoglu, 2005;
Trelea et al., 2007). Gan et al. (2004) considered the effect of the heterogeneity of
the batch on the optimal heating policy, indicating the minimum number of vials
and their relative location on the tray that have to be monitored by sensors. Either a
single manipulated variable or the multivariate case were investigated in the various
studies, but in the majority of cases only one variable was manipulated at a time
and was kept constant; or at most, the cycle was divided into segments. It must be
noted that the published results are of relative interest because they must be consid-
ered as specific for the product and the conditions considered. In the simulations,
very often the process was under mass transfer control, while primary drying for
most products is carried out under heat transfer control. In addition, radiating heat
and the scorch temperature as limit temperature are considered, which in practice

is not the most usual case for pharmaceuticals.
The main drawback of all these model-based algorithms is that the models
require perfect description of the process dynamics, including the batch heterogene-
ity caused by radiation and other thermal effects and by freezing-related stochastic
phenomena, and that all of the parameters and variables of the process are known.
As the real temperature profile is hardly known, the control policies obtained off-
line by mathematical modeling should be interpreted with caution, as evidenced in
some of the works mentioned above. Even not considering the model inadequacies,
an open-loop control approach like the one that has generally been adopted, also
for regulatory reasons, has strong limitations. It cannot adapt operating conditions
to take into account changes in the heating and cooling rates of the apparatus, in
the batch load or in the freezing conditions (and consequently in the cake structure
of the product, which influences the resistance to mass flow) or in the geometrical
characteristics of the vials (which modify the heat transfer). The cycle must be robust
enough to tolerate the effects of these variations, and also of disturbances that enter
the systems through the utility circuits.
The use of an active control system, on the other hand, allows it to react to pos-
sible disturbances, changes of input conditions, and significant variability. It might
also avoid product failure and guarantee safe operation, even when the process
becomes mass-transfer controlled or when hydrodynamic limitations or reduction
in condenser capacity occur. In addition, the control system can optimally drive the
process to a new set point operation to move it far from critical conditions, and
find in-line the new optimal conditions, without impairing the product quality. Very
important in this respect is the possibility of evaluating in-line the most important
parameters of the process, using a process identification tool, and predicting product
evolution by means of a model-based approach (Fissore et al., 2012a). This would
also allow for in-line evaluation of whether an unexpected variation in processing
conditions is acceptable, and eventually in the event of a serious failure, whether the
cycle has to be rejected or a significant fraction of vials can still satisfy the product
requirements (Fissore et al., 2009b, 2012b).
In 2004 the U.S. Food and Drug Administration (FDA) issued the “Guidance
for Industry PAT—A Framework for Innovative Pharmaceutical Manufacturing and
Quality Assurance.” This document was intended to encourage the development
of new process analytical technology (PAT) for process monitoring and control in
such a way that product quality no longer had to be tested in the final product, but
it would be the result of the manufacturing process. FDA (2004) states that prod-
uct quality “should be built-in or by design” aiming to obtain safe and affordable
medicines, although the same approach should be implemented in food production
as well. These guidelines gave great support to the development of monitoring and
control tools for in-line identification of the operating conditions necessary to reach
a certain target, that is the minimization of the drying time (or the maximization of
the sublimation flux), besides fulfilling the constraints previously discussed (mainly
on product temperature).
The last part of this chapter aims to analyze in detail the advanced control sys-
tems proposed in the recent literature, with particular attention to applications in the
pharmaceutical field, which is the most demanding. As has been noted, the various
monitoring systems available can estimate the physical properties of either single
vials or the average batch (Barresi et al., 2009a), and temperature is generally the
most important variable to be measured, especially in pilot and production units. In
the following sections, we will focus first on the systems based on the measurement
of product temperature in single vials, and then on those based on methods used for
system identification, in particular those using a PRT approach.
All these systems can be used at lab scale, for the process design, and at manufac-
turing stage, for disturbance rejection, as it will be discussed in the last part of this
chapter; the advantages and limitation of the different methods will be compared,
considering also off-line methods for process optimization and development of opti-
mal cycles.
19.3 CONTROL SYSTEMS BASED ON

TEMPERATURE MEASUREMENT
Several control systems were proposed in the past using the product temperature
measurement as a monitoring tool. Thermocouples or resistance thermal detectors
are generally used to measure the temperature of the product: the former in lab-
scale apparatus as they allow a punctual measurement using thin wires, the latter
in industrial-scale freeze-dryers as they are more robust, even if larger and more
invasive. The correct and precise positioning of the sensor is of great importance for
the accuracy of the measurement, as there are gradients in the product and the tip
of the device must be in the frozen product. In the case of vials, the best position is
in the center very close to the bottom, and positioning devices are recommended; in
case of bulk products, the positioning of the probe may be problematic (Nail et al.,
2017). Temperature Remote Interrogation System (TEMPRIS) sensors, passive tran-
sponders which receive energy from an electromagnetic field thus eliminating the
necessity of wire connections, are another type of device proposed recently (Schneid
and Gieseler, 2008). Unfortunately, the size of this device is so large that it can cause
significant modifications to the total volume or cause uncontrolled freezing even if
not immersed, making the temperature measurement not very reliable. A different
device was proposed by Corbellini et al. (2010) and by Bosca et al. (2013b): In this
case thermocouples are connected to a battery-powered device, located in the dry-
ing chamber or miniaturized and stored below the stopper, with an embedded radio
operating at 2.4 GHz; this assures the radio communication over 10–20 m range
from the receiver located outside the freeze-dryer.
In all cases it has to be taken into account that the presence of the sensor may
affect the degree of supercooling in the freezing stage and, thus, the size of the ice
crystals, although this effect is not highly relevant in non-GMP (Good Manufacturing
Practice) conditions, for example, at lab scale. The possibility of placing the ther-
mocouples outside the vial, for example, through plasma sputtering that allows
embedding thin film sub-micrometric temperature probes in the glass wall, was also
proposed and validated experimentally (Grassini et al., 2013). In this way it is also
possible to realize an array of thermocouples for more accurate process monitoring
(Parvis et al., 2014; Oddone et al., 2015).
It should be remembered that it is not possible to monitor product temperature till

the ending point of the ice sublimation. In fact, at a certain point during the primary
drying stage, the monitored temperature starts increasing rapidly up to the heat-
ing shelf temperature, well before the ending point of the ice sublimation. This is
due to the loss of contact between the sensor tip and the product, or to the fact that
the interface of sublimation passes the sensor tip (Bosca et al., 2013a). Therefore, the
temperature measurement may be used for product monitoring and process control
only in the first part of the primary drying stage. In any case, this is not a restriction
as, after the initial transient period, product temperature reaches a sort of steady state
(as all the heat received is used for ice sublimation) and, thus, the operating condi-
tions have to be optimized only in the first half of the primary drying stage (Bosca
et al., 2013b; Fissore et al., 2017).
Fissore et al. (2008) proposed the use of a simple proportional integral (PI) con-
troller to minimize the difference between the measured and the desired product
temperature. The system does not manipulate the pressure in the drying chamber
and, thus, sublimation flux is maximized when the temperature of the product is at
the highest allowed value (Tp,max). The control law is the following:
t
∫
Tshelf ( t ) = − K PePI ( t ) − K I ePI ( τ ) d τ + Tshelf ,0
t0
(19.4)
where:
Tshelf,0 is the value of the manipulated variable at time t0
KP and KI are the parameters of the controller (respectively, the gain and the inte-
gral time constant)
ePI is the error on the monitored variables, given by the difference between the
measured product temperature and Tp,max
Product temperature is measured at the bottom of the product, but the temperature
difference in the frozen product is small and may be considered negligible (compared
to the measure uncertainty), due to the (quite) high thermal conductivity of the ice and
to the low thickness of the frozen product. The parameters of the controller are cal-
culated aiming to minimize the predicted integral of the square error (ISE), given by:
td
min ( ISE ) = min

∫ (T ( τ ) − Tp,max )
2
p,max, predicted dτ (19.5)
K P, K I K P, K I
t
where Tp,max,predicted is the maximum product temperature predicted by means of a

mathematical model of the process (Velardi and Barresi, 2008) between the current
time t and the time corresponding to the ending point of the ice sublimation (td ).
When solving Equation 19.5, it is possible to add the constraint on the maximum
product temperature.
Figure 19.1 shows an example of results obtained when using this control system
to control the process in-line. It appears that Tshelf is initially risen to about −4°C from
the temperature reached at the end of the freezing stage. In this time interval product
temperature also increases until the limiting value (−32°C in this case) and then, Tshelf
−10
Temperature (°C)
−20
−30
−40
−50
0 2 4 6 8 10
Time (h)
FIGURE 19.1 Evolution of the shelf temperature (solid line), and the maximum product
temperature estimated by the soft sensor (dotted line) during the primary drying stage when
a feedback controller is used to optimize the process in-line (dashed line indicates the tem-
perature limit). Case study: skim milk, chamber pressure = 5 Pa.
is decreased in such a way that product temperature remains very close to this limit-
ing value, without trespassing it. This example shows that it is important to quickly
raise the shelf temperature at the beginning of the cycle, and this does not impair
the product quality if Tshelf is then decreased to respect the temperature constraint.
When using the PI controller it has to be highlighted that a mathematical model of
the process is required to solve the minimization problem represented by Equation 19.5.
Fissore et al. (2008) used the simplified mono-dimensional model proposed by
Velardi and Barresi (2008), where the heat flux to the product and the mass flux
from the product to the drying chamber are represented by Equations 19.1 and 19.2,
respectively. Thus, using this approach requires the knowledge of model parameters
Kv and Rp (the latter varies during the primary drying stage as it depends on the
thickness of the dried product). Preliminary investigation is required to get the val-
ues of the model parameters using one of the techniques reviewed, among others by
Fissore (2013) and Fissore et al. (2015), or other PAT tools that measure the sublima-
tion flux (Fissore et al., 2018).
As an alternative, it is possible to estimate in-line the values of the model param-
eters using a soft-sensor, that is, an algorithm that combines a mathematical model
of the process, used to simulate the evolution of the product, and the experimental
measurements of a variable, namely the product temperature in this case. The differ-
ence between the calculated and the measured values of the selected variable is used
to correct the model equations in such a way that the estimation error is driven to zero.
Velardi and coworkers (2009) were the first to design a soft sensor to estimate model
parameters for a specific class of products, that is, those characterized by a linear
dependence of the resistance of the dried product on its thickness. The researchers
tested both the Kalman filter algorithm (2009) and the high gain algorithm (2010). The
possibility of using the temperature measurement of the external glass wall, avoiding
contact with the product was also investigated (Barresi et al., 2009b, 2012). Bosca and
Fissore (2011, 2014) used the Kalman filter algorithm to develop a soft sensor for a
broader class of products; they also took into account those products whose resistance
of dry cake is not a linear function of product thickness, and focused on the optimiza-
tion of the algorithm, aiming to improve its robustness, and minimizing the experi-
mental effort required to get a first estimate of the desired variables (Bosca et al.,
2013a, 2013b, 2014, 2015a).
Considering the most recent and robust algorithm in the field of freeze-drying
monitoring (Bosca et al., 2015a), the soft sensor is based on the following equations:
 dT i 

(
   
 dt  =  f T i , K v, Tshelf )  + K (T B − TB )
 d K v   
   (19.6)
 0
 dt 

( )
T B = h T i , K v, Tshelf

where:
T i is the product temperature estimate at the sublimation interface
K v is the heat transfer coefficient estimate
T B is the bottom product temperature estimate
K is the soft-sensor gain (calculated using the extended Kalman filter algorithm)
f is the vector-type function giving the time derivatives of Ti and h in the equation
of the measured variable
The soft-sensor estimates in-line Ti and Kv using the measured value of TB, while Rp
is calculated from Equation 19.2. In fact, once Ti and Kv are known, it is possible to
calculate the heat flux (using Equation 19.1) and then, the sublimation flux (using
Equation 19.3), and finally Rp using Equation 19.2, being pw,i a known function of Ti.
Bosca et al. (2013c) proposed a control system for the in-line optimization of the
temperature of the heating shelf using the soft sensor. Briefly, once the values of Kv
and Rp are estimated by the soft sensor, the algorithm calculates, for the selected
pressure, the design space of the process, that is, the range of values of Tshelf that
allows maintaining product temperature below the limiting value (Tp,max). The fol-
lowing equation is used:
 1 L0 − Ldried 
 pw,i ( Tp,max ) − pw,c 
1
Tshelf,max = Tp,max +  +  ∆ Hs (19.7)
 Kv k frozen  Rp 
where L0 is the initial product thickness, L dried is the thickness of the dried product,
kfrozen is the thermal conductivity of the frozen product, and Tshelf,max is the maximum
allowed temperature of the heating shelf that is a function of the thickness of the
dried layer. Equation 19.7 was obtained by combining the energy balance at the inter-
face of sublimation (Equation 19.3) and the energy balance for the frozen product,
assuming steady state (details can be found in Bosca et al., 2013c). The temperature
of the heating shelf is set initially at a certain “high” value, for example, 0°C,
−10
Tshelf (°C)
−20
−30
(a) −40
−10
−15
−20
TB (°C)
−25
−30
−35
−40
0 5 10 15 20
(b) Time (h)
FIGURE 19.2 Evolution of the shelf temperature (graph a) and temperature of the product
measured by thermocouples (graph b) during the primary drying stage when the soft sensor
is used to optimize the process in-line (dashed line in graph b indicates the limit of tempera-
ture). Case study: 5% sucrose solution; chamber pressure = 10 Pa.
and then every pre-specified time interval, for example, 30 minutes, is modified
(yet remaining constant throughout the time interval). At the beginning of each time
interval, using the estimates of Kv and Rp it is possible to calculate the design space
(using Equation 19.7); thus, the optimal value of Tshelf is determined in such a way
that product temperature remains below the limit value until a new control action is
undertaken (and new estimates of Kv and Rp are available). Details about the algo-
rithm can be found in Bosca et al. (2013c, 2016). Figure 19.2 shows an example of the
results that can be obtained when this algorithm is used.
According to the control algorithm, Tshelf reaches 0°C at the beginning of the
primary drying stage, and then it decreases stepwise, in particular in the first part of
the primary drying stage, while it remains almost constant in the second part when
the product reaches the previously described steady state. The product temperature,
as shown in graph (b) of Figure 19.2, remains below the limiting value throughout
the primary drying stage (it must be noted that in the second part of this stage the
measurement is no longer reliable, as previously discussed). In this framework, esti-
mates of Kv and Rp provided by the soft sensor may be inaccurate, in particular at
the beginning of the primary drying stage. Thus, when looking for the temperature
of the heating shelf to be implemented, a safety margin is used, selecting a value of
Tshelf 2°C lower than the limiting value calculated using Equation 19.7. Consequently,
product temperature remains slightly lower than the limiting value.
Fissore (2016) proposed a fuzzy logic–based controller that uses the measure-
ment of product temperature, and a set of fuzzy rules to optimize in-line both the
temperature of the heating shelf and the pressure in the drying chamber. The algo-
rithm does not make use of a mathematical model, and thus the problems related
to the use of the soft sensor, or to the necessity of carrying out an extended pre-
liminary experimental investigation to get the values of Kv and Rp, are skipped. The
input parameters of the algorithm are the difference between the measured value
of product temperature and the limiting value, the rate of change of product tem-
perature, and the difference between the temperature of the product and that of the
heating shelf. The output variables are the variation of the shelf temperature and of
the chamber pressure. In addition, the fuzzy system requires identifying the fuzzy
(linguistic) descriptors of these variables, and the membership functions, that is, the
mathematical functions that describe the membership of the variables to the fuzzy
descriptors. Bell-shaped functions and sigmoidal functions were used by Fissore
(2016) as membership functions, depending on the variable considered, and a unique
set of fuzzy rules was proposed and tested for products with drastically different
characteristics (details of the algorithm may be found in Fissore, 2016). Figure 19.3
−20
−25
Tshelf (°C)
−30
−35
(a) −40
25
20
Pc (Pa)
15
10
(b) 5
−15
−20
−25
TB (°C)
−30
−35
−40
0 10 20 30 40
(c) Time (h)
FIGURE 19.3 Evolution of the shelf temperature (graph a), chamber pressure (graph b), and
temperature of the product measured by thermocouples (graph c) during the primary drying stage
when the fuzzy controller is used to optimize the process in-line (dashed line in graph c indicates
the limit temperature). Case study: 20% sucrose solution; initial chamber pressure = 20 Pa.
shows an example of the results that are obtained when using the fuzzy logic–based
controller to optimize the process in-line: Tshelf and Pc are being modified during the
process according to the selected rules, taking into account some additional con-
straints, for example, an upper and a lower limit for Pc (20 and 5 Pa, respectively), to
avoid any overpressure and to take into account the minimum pressure that can be
reached in the apparatus. Also, in this case product temperature is below the target
value, as shown in graph c (at least, until reliable temperature measurements are
available).
19.4 ADVANCED CONTROL STRATEGIES BASED ON

PARAMETRIC AVERAGE-VALUE MODELS
As already presented, the optimal control and optimization of freeze-drying can be
realized if the system state is continuously monitored (product temperature, desorp-
tion and sublimation rate, etc.) and if the process dynamics are fully understood.
Achieving this objective requires the use of a mathematical model, describing the
process response to specified variations in input, and the knowledge of all those
parameters characterizing the system dynamics, for example, heat/mass transfer
parameters. As previously discussed, the batch of vials is not uniform, therefore
the control strategy should refer to the state of the system as a whole (Barresi et al.,
2010a) and might include a margin of safety to account for batch heterogeneity
(unless a more sophisticated hybrid system, which estimates the batch variance is
used, as it will be shown later). There are a few methods that can give a reliable and
complete image of the product state (temperature and residual moisture), process
state (rate of sublimation/desorption, etc.), and equipment-product interactions (heat
and mass transfer parameters). The PRT can effectively give a regular estimation
of all these parameters (Fissore et al., 2018) and it can hence be combined with
mathematical modeling to close the loop and realize a feedback control strategy. In
lyophilization, heat and mass transfer are commonly described by time-consuming
simulations based on the solution of a set of partial and ordinary differential alge-
braic equations. Of course, these models are not suitable for control applications,
which require the execution of a large number of simulations within few minutes.
Therefore, it is necessary to simplify model formulation, replacing multidimensional
models with 1D and lumped models.
Various control strategies using the PRT outcomes have been proposed in the
literature and can be organized into two classes. The first class of methods includes
the TLC first reported by Oetjen (1999) and the SmartTM Freeze-Dryer (Tang et al.,
2005). In both, the control law is based on a set of heuristics without any predictive
capability. These algorithms can hardly be classified as feedback control systems,
but better as expert systems that are more suitable for the cycle development than for
in-line control application. Because of that, they will be further discussed in the fol-
lowing section. By contrast, this section will focus on the second class of methods,
which includes the LyoDriver (Pisano et al., 2010; Velardi and Barresi, 2012) and
a more sophisticated model predictive control (MPC) (Pisano et al., 2011a). Both
methods calculate the control action upon the difference between the current value
of the product temperature and its desired value, and use mathematical modeling
to account for the real process dynamics and minimize/eliminate any temperature
overshoot. Calculations also include the temperature rise resulting from the execu-
tion of a PRT. Any prior knowledge about the system state is necessary, apart from
the maximum allowable product temperature and cooling/heating capability of the
equipment.
In the case of LyoDriver, there is only one manipulated variable, that is, shelf
temperature, while pressure is set at a constant value that can be identified by an off-
line optimization procedure (Fissore et al., 2009a) or by heuristic rules (one third
of the vapor pressure as calculated at the maximum allowable product temperature
is a common practice). After sampling of the system state by PRT, the LyoDriver
algorithm calculates the optimal sequence of shelf temperatures, minimizing the
distance between the actual product temperature and its set point value on a given
prediction horizon. In general, only the first control action is implemented, because
the iterative calculation is repeated as soon as a more recent system state estima-
tion is given, and this usually occurs before the application of the second control
action. An example of a freeze-drying cycle as controlled by LyoDriver is given
in Figure 19.4. As expected, shelf temperature was raised at its maximum rate at
the beginning of the drying, because the product temperature was very far from its
set point. Then, shelf temperature was gradually reduced to keep the product tem-
perature at its desired value; these changes were necessary because the resistance
to vapor flow was not constant, but increased as the drying proceeded. In addition,
the product temperature was constantly very close to its desired value, but never
overcame it.
LyoDriver MPC A 20 MPC B 20

310 20 300 300
300
Pressure (Pa)
Pressure (Pa)
Pressure (Pa)
15 15 15
290 280 280
280 10 10 10
270 260 260
Temperature (K)
Temperature (K)
Temperature (K)
5 5 5
260
250 0 240 0 240 0
245 245 245

240 240 240
235 235 235
230 230 230
225 225 225
0 1 2 3 4 5 6 0 1 2 3 4 5 6 0 1 2 3 4 5 6
Time (h) Time (h) Time (h)
FIGURE 19.4 Example of freeze-drying cycles controlled by LyoDriver, MPC-A, and

MPC-B. Top graphs: Evolution of shelf temperature (solid line) and pressure (dashed
line). Bottom graphs: Evolution of product temperature (solid line) and its maximum
allowable value (horizontal line). The vertical line identifies the end point time. (With
kind permission from Taylor & Francis Group: Drying Technol., In-line and off-line
optimization of freeze-drying cycles for pharmaceutical products, 31, 2013a, 905–919.
Pisano, R. et al.)
LyoDriver can rely on two distinct control laws: the conventional proportional law
and the model-based control law. In the case of a proportional controller, the control
strategy is calculated as
Tshelf , sp = Tshelf ( t = 0 ) + K c (T p ( t = 0 ) − Tt ) 0 ≤ t < t1


T = Tshelf ( t1 ) + K c (T p ( t1 ) − Tt ) t1 ≤ t < t2
 shelf , sp
 (19.8)
 

Tshelf , sp = Tshelf ( t n −1 ) + K c (T p ( t n −1 ) − Tt ) t n −1 ≤ t < t n

where:
t n is the horizon of prediction
K c represents the controller gain
Tt is the target temperature
The target temperature is internally calculated by LyoDriver and is obtained by the

maximum allowable product temperature diminished by the temperature rise as
observed during a PRT, the calculated overshoot, and eventually by an additional
amount introduced by the user as margin of safety. The K c parameter is determined
by solving the following minimization problem:
tn
∫ ( T ( t ) − T )
2
min dt
Kc
p t
(19.9)
0
In the case of the model-based control law, the control strategy is
 −1
Tshelf , sp = Tt + (Tt − T p ( t = 0 ) )  K v  1 + frozen (

  L t = 0)  
 − 1 0 ≤ t < t1
   K v k frozen  

 −1
   1 L frozen ( t1 )  
Tshelf , sp = Tt + (Tt − T p ( t1 ) )  K v  K + k  − 1 t1 ≤ t < t2
   v frozen   (19.10)

 

 −1
  1 L frozen ( t n −1 )  
T = Tt + (Tt − T p ( t n −1 ) )  K v  +  − 1 t n −1 ≤ t < t n
 shelf , sp   K v k frozen  

This last algorithm does not require the solution of any optimization problem, and
thus it is much faster than the previous one.
Independently of the control algorithm, LyoDriver calculations rely on the prod-
uct temperature and heat/mass transfer parameters estimated through PRT. It is well
known that PRT tends to underestimate the product temperature as drying nears
its completion. This lack of accuracy in temperature estimations might lead to the
implementation of inaccurate control actions by LyoDriver. However, changes in
shelf temperature are usually small in the second part of the drying, as soon as the
product temperature reaches a steady-state value. Because of that, LyoDriver is usu-
ally disabled in the last third of drying. This operation can automatically be imple-
mented since PRT can also estimate the state of progress of drying.
LyoDriver is efficacious until drying is rate controlled by heat transfer, that is,
when product temperature can efficiently be controlled by adjusting shelf tempera-
ture at constant pressure. In some cases, rate of sublimation is controlled by mass
transfer and, if that occurs, manipulating shelf temperature is not very effective, and
Tshelf approaches product temperature: product overheating is avoided but sublima-
tion rate is reduced to very low values. To restore good operating conditions, the
adjustment of pressure is required. This last situation commonly occurs in the pres-
ence of formulations containing high solid content or having very low maximum
allowable product temperature. When LyoDriver is used for cycle development,
pressure should be manually adjusted by the user as soon as there is evidence to
suggest that sublimation is rate controlled by mass transfer; the new optimal value
can be calculated and an automatic switch can also be programmed (Fissore et al.,
2009a). However, even if this constrained situation does not occur, the optimal value
of pressure might change as the drying proceeds. Therefore, if the objective is to
optimize the cycle, it is necessary to implement more sophisticated control strate-
gies that can adjust both shelf temperature and pressure and, hence, manage the
drying process independently of the fact that sublimation is rate-controlled by mass
transfer or heat transfer.
This objective has been achieved by Pisano et al. (2011a) who designed a feedback
controller based on the MPC strategy that can manipulate both the shelf temperature
and pressure, accounting for the constraints on both product temperature and vapor
flow rate. The control actions are selected based on the difference between the actual
value of product temperature and its target value, and accounts for product and pro-
cess constraints through appropriate penalty functions. It should be noted that this
approach also optimizes the number of changes in input.
In the literature, other authors used the MPC strategy to control the lyophi-
lization process, but these attempts did not have any success in practice for
various reasons. For example, Todorov and coworkers designed a nonlinear
predictive controller based on a black-box model that can manipulate shelf
temperature so as to reduce the cycle time; they tested and compared the Wiener-
Hammerstein and Volterra fuzzy-neural models with various optimization algo-
rithms, without managing the constraint on the product temperature, in the first
approaches (Todorov and Tsvetkov, 2008; Todorov and Petrov, 2011). Explicit
and nonexplicit MPC implementations were compared in Todorov et al. (2012b).
Constraints were included in the MPC described in Daraoui et al. (2010) and
by Todorov et al. (2012a), implementing a Hildreth quadratic programming
procedure; regardless, in both cases pressure could not be modified during the
cycle. By contrast, the MPC algorithm described in Pisano et al. (2011a) could
manipulate both the shelf temperature and pressure and account for constraints
on both the product temperature and mass flow rate of vapor to be evacuated
from the drying chamber.
To provide an example of the advantages in manipulating pressure, Figure 19.4
compares the heating strategy for a given formulation, that is, sucrose 10% (w/w),
in the case of manipulation of only shelf temperature as resulted from LyoDriver
and the MPC-A algorithm described in Pisano et al. (2011a), and of both the shelf
temperature and pressure as resulted from the MPC-B algorithm (Pisano et al.,
2011a). As expected, LyoDriver and MPC-A gave similar results in terms of dry-
ing time and product temperature profile. By contrast, the manipulation of both the
shelf temperature and pressure implemented by MPC-B sped up rate of sublima-
tion, leading to a dramatic reduction in drying time. If it is true that, in some cases,
the manipulation of pressure can be beneficial to cycle optimization, this operation
can automatically be done only if the pressure dependence of the heat transfer
coefficient is known. In fact, PRT can estimate the heat coefficient at a given pres-
sure, but it cannot give any information about its pressure dependence. Therefore,
the application of the MPC-B algorithm requires that the equipment-vial system
has already been characterized with respect to the pressure dependence of the heat
transfer coefficient. Besides, the tuning of a model predictive controller is gener-
ally more complex than that of a simple proportional control law (LyoDriver) as
profoundly discussed in Pisano et al. (2011a).
In conclusion, the combination of PRT and feedback control strategies was
found to be effective in managing primary drying safely, that is, avoiding any col-
lapse of the lyophilized cake and choked flow conditions, and efficiently, that is,
minimizing the processing time. A similar approach has also been proposed for
secondary drying, combining the in-line estimation of the residual moisture within
the product being dried and the desorption rate constant as estimated by PRT
(Fissore et al., 2011a, 2011c), and the model prediction of the design space curve of
secondary drying (Pisano et al., 2012). The design space curve of secondary dry-
ing is a map showing all the combinations of shelf temperature and drying time
that allows the achievement of the desired residual moisture, besides satisfying
any constraint on the maximum allowable product temperature. The design space
can then be used for the off-line optimization of the cycle or, if PRTs are regularly
run during secondary drying, for the in-line control of the shelf temperature. In
this last case, shelf temperature is selected at the boundary of the design space,
that is, it belongs to the design space curve, maintaining the product temperature
as close as possible to its maximum allowable value. Of course, the application
of this method requires knowledge of the dependence of the maximum allowable
product temperature on the product residual moisture, which is a property of the
given formulation. Figure 19.5 shows an example of application of this method for
the control of residual moisture of a sucrose-based formulation. Shelf temperature
was adjusted every hour, maintaining the product temperature close to, but always
below, its limit temperature, which increases as the drying proceeds because of
the decrease in the product residual moisture. The cycle is then stopped as soon as
the desired residual moisture is achieved; in this case the target value was 2% and
occurred after 8 hours as detected by PRT.
350
330
310
T, K
290
270
250
10
8
6
CS (%)
4
2
0
0 2 4 6 8
Time (h)
FIGURE 19.5 Example of secondary drying for a sucrose-based formulation as controlled

by the control system described in Pisano et al. (2012). Top graph: Evolution of shelf
temperature (──), product temperature (─∆─), and its maximum allowable value (─◻─).
Bottom graph: Evolution of the residual moisture as predicted by model simulations.
19.5 USE OF CONTROL SYSTEMS FOR PROCESS CONTROL,

PROCESS OPTIMIZATION AND CYCLE DEVELOPMENT
In spite of the fact that improvement of the process control has been recognized
as a development need for the pharmaceutical industry for the last 30 years, rela-
tively few changes have occurred at the production scale, and even today the most
advanced industrial freeze-dryers have no robust process control. An open-loop
control approach is generally used, but rarely has the cycle been fully optimized,
and cycle transfer between different pieces of equipment or scale-up is usually
very cumbersome and risky (Nail and Gatlin, 1985; Liapis et al., 1996; Sadikoglu
et al., 2006).
Academic and industrial research has produced many patents on process con-
trol, but very few have been made commercially available and adopted especially
at production scale. The principal reason for this can probably be found in drug
registration rules and practices, which makes changes in the operating conditions
during production highly undesirable. Thus, the common approach was trying
to keep operating conditions equal to those employed in the validation batches
(and generally constant or with a few changes in set point during primary dry-
ing), assuming that this would assure identical conditions in the product and the
same final product quality; possibly, the acceptable tolerance in the operating
conditions was investigated, in order to define the endurable design space, or the
robustness of the cycle was experimentally checked (Tchessalov and Warne, 2008).
Unfortunately, this assumption, which is the basis for previous and even current
practice, is strongly erroneous, as neither ingredients nor processing conditions can
remain exactly the same and deviations cannot be accounted for. Only a closed-
loop control approach, coupled with an efficient monitoring system, can guarantee
that the product is processed safely and maintaining for example the correct value
of the temperature inside the product (independently of the value set for the shelf
temperature) (Galan, 2010).
A new guide issued by the Food and Drug Administration in 2008 on process
validation principles, with its later revision (FDA, 2011), states that
Strategies for process control can be designed to reduce input variation, adjust for input
variation during manufacturing (and so reduce its impact on the output), or combine
both approaches. Process controls address variability to assure quality of the prod-
uct. … More advanced strategies, which may involve the use of process analytical
technology (PAT), can include timely analysis and control loops to adjust the process-
ing conditions so that the output remains constant. … In the case of a strategy using
PAT, the approach to process qualification will differ from that used in other process
designs.
This recommendation opens a completely new scenario, and in previous sections

it has been shown that several good solutions, also readily applicable in produc-
tion plants, already exist. But, of course, each pharmaceutical industry will need to
begin work with the appropriate regulatory authorities to define the road map for
its specific process validation. This will be done more likely with new products, as
the driving force to modify existing and validated processes is much weaker. The
delay in practical application of this technology is better understood if we consider
that uncertainty about a new procedure and the way in which different regulatory
officials will implement are obviously obstacles.
Laboratory or small pilot-scale equipment, mainly used for cycle development,
represent a different situation. In this case there are no regulatory constraints, and
the availability of new reliable physical and soft sensors, along with the use of a
simple mathematical model of the drying process, allows for implementing the
advanced systems that are increasingly being used. They are generally based on
complete state estimates and are suitable both for process understanding and process
control, allowing for quick determination of the optimal values of the shelf tem-
perature that minimize the drying time and guarantee product quality, and thus to
develop a near-optimal drying cycle.
In the food industry there are no regulatory constraints, but here as well there has been
practically no improvement in the control systems. Freeze-drying of foodstuffs is less
demanding in terms of control, but ice melting can strongly affect quality and porosity of
the matrix, and cycle optimization is important to reduce process costs and make energy
consumption sustainable (Moy and Spielmann, 1980; Barresi and Fissore, 2012).
19.5.1 cOmparisOn Of in-line cOntrOl apprOaches

Here the control logics described in the previous sections will be briefly compared to
evidence their strengths and weakness in freeze-drying applications. It will be also
shown how they can be coupled with different types of sensors and how it is possible
to take advantage of their ability to estimate the process parameters in-line.
Thermodynamic lyophilization control is a relatively old and simple system, but

it was probably the first closed-loop control commercialized to some extent (Oetjen
et al., 1962). Described by Oetjen (1999, 2004) and by Oetjen and Haseley (2004),
it is based on a set of heuristics for the calculation of the control actions using the
results of the BTM algorithm, and was mainly used for cycle development, having
found rare application in production plants. It is simply an automatic procedure that
maintains the shelf temperature at a set value until the product temperature is below
the required value, considering a safety margin. It prevents failure but does not allow
optimization.
Much more advanced, and with predictive capability, is the LyoDriver concept,
which can in principle work with any sensor supplying the state and the parameter
values of the system, but, as detailed in the previous section, has been implemented
up to now coupled with the dynamic parameters estimation (DPE) algorithm, which
ensures a more accurate estimation of the process parameters than other PRT-based
algorithms (Velardi et al., 2008; Barresi et al., 2009c; Pisano et al., 2010; Velardi and
Barresi, 2012). It has been commercialized as LyometricsTM mainly for pilot-scale
apparatus, but has also been installed on some large industrial units for pharmaceu-
ticals. This control system has also been tested with success for food freeze-drying,
either liquid in vials or in trays, or as individually quick frozen (IQF) products
(Pisano et al., 2011b; Barresi and Fissore, 2012).
The advantage of the PRT methods is that they actually do not require any addi-
tional hardware tool, as a capacitive pressure transducer is generally always available
in pilot-scale and production units; thus, the system is easily implemented, and existing
units can be easily retrofitted, provided they have a duct connecting the chamber and
condenser with a fast closing valve (Galan, 2010). Actually, a limitation to the applica-
tion in large-scale units is the fact that these have quite large and slow mushroom valves.
Technically, the PRT can also be adapted to these systems (Chouvenc et al., 2005), but
frequent closing of large valves is undesirable in large units, and the procedure may
present some risk for the product, if not well conducted, as the pressure rise determines
a temperature rise in the product. That said, the controller is compatible with other sen-
sors, and other approaches less dangerous for the product, like the pressure decrease test
(Pisano et al., 2014a), or which require no moving parts, being fully compatible with
large units with automatic loading and unloading systems like the valveless monitoring
system (Fissore et al., 2014; Pisano et al., 2016), have been recently proposed and tested,
both using water or water-cosolvent systems.
Table 19.1 summarizes the features of the control systems so far proposed for the
in-line control of a lyophilization cycle. It is evident that all of the systems can be
used for both laboratory and industrial-scale freeze-dryers, minimizing the experi-
mental effort and the human resources on the plant. Besides, only LyoDriver and
MPC have predictive capacity, and MPC is the only system that can effectively
manage equipment constraints and compensate for errors in model prediction by
the internal model control strategy. If these features made the MPC the best control
system in terms of controlled process dynamics, it is also true that its implementation
is much more complex.
Aiming to optimize the temperature of the heating shelf for a certain chamber
pressure, either a temperature-measurement-based system (the soft sensor) or a
388
TABLE 19.1
Comparison of the Technical Features of Systems Proposed for the Control of a Lyophilization Cycle
Feedback
SMARTTM Controller/Software
Freeze-Dryer TLC Sensor LyoDriver MPC
Applicability for both lab and industrial For cycle Yes Yes Yes Yes
freeze-dryers development
Experimental effort & human resources Low Low Low Low Low
Handling of product constraints Yes Yes Yes Yes Yes
Handling of equipment constraints (e.g., No No No No Yes
choked flow conditions)
Equipment characteristics (cooling/heating rate) No No No Yes Yes
Freeze-drying cycle optimization No No Yes Yes Yes
Predictive capacity (e.g., prediction of product No No No Yes Yes
temperature overshoot)
Correction of model predictions errors by n.a. n.a. Yes Yes Yes
feedback action
Compensation of model errors via internal No No No No Yes
model control
Compatible with automatic loading Yes Yes Yesa Yes Yes
and unloading systems
Sensing device PRT via MTM PRT via BTM Software sensors PRT via DPE, observersb PRT via DPE, observersb
Source: Pisano, R. et al., Drying Technol., 31, 905–919, 2013a.

a If the software sensor used is compatible with the loading/unloading system.
b Whichever monitoring tool that supplies an accurate estimation of product temperature, heat, and mass transfer coefficient.
PRT-based system (LyoDriver) can be used. An extensive comparison can be found

in Bosca et al. (2016).
From the point of view of the measurement required, in both cases some
issues can arise. In fact, the insertion of the thermocouple in the vial may pose
sterility problems, and may be not compatible with automatic loading/unloading
systems, although various alternatives are nowadays available to freeze-drying
practitioners for coping with these problems (e.g., plasma sputtered thermocou-
ples, wireless sensors, etc.). On the other side, the pressure rise test may also
pose problems. This makes it necessary to use an additional safety margin on
product temperature, beside that related to the uncertainty of the model param-
eters estimate, when optimizing the cycle and, thus, more precautionary cycles
are obtained by this way.
From the viewpoint of the algorithm used, in the case of the pressure rise in test-
based methods, the model parameters are estimated through the resolution of a least
squares problem that, in some cases, may pose problems of ill-conditioning and,
thus, inaccurate estimates (Fissore et al., 2011b). The response time may also be an
important concern for fully loaded equipment operating at aggressive conditions,
with high sublimation rates (Pisano et al., 2017). On the other hand, when using the
soft sensor the main problem is related to the necessity of obtaining a (sufficiently)
good initial estimate of the desired variables, and recent research activity has been
focused on this topic. For both algorithms, the accuracy of the estimated variables is
an important concern.
19.5.2 handling Batch nOnunifOrmity

In evaluating the performance of different systems, the nonuniformity of the batch
must also be taken into account. The causes of this heterogeneity and their effects
have been analyzed in detail (Barresi et al., 2010a); these are mainly due to radiation
from walls and condenser, which results in different heat transfer and thus a different
drying rate in the various parts of the dryer. Systems have been proposed in which
the apparatus walls are thermally controlled (Oetjen and Haseley, 2004), but such
systems have found scarce implementation up to now. The presence of severe radia-
tion can also affect the estimation of temperature done by PRT methods, but this can
be taken into account with a more sophisticated algorithm (Pisano et al., 2011b); this
is typically the case of food freeze-drying, where the product is fast frozen and then
loaded into the dryer, where heat is supplied by radiating sheets, which allows an
easier and most responsive control of heat transfer.
The drying rate in some severe conditions can also be influenced by the internal
hydrodynamics and pressure gradients, even if this is generally a second order effect.
But the concentration gradients, especially in case of air bleeding for pressure con-
trol, may affect the sensor reading (Rasetto et al., 2009a; Barresi et al., 2018).
Considering the estimated variables, using the soft sensor it is relatively easy
to monitor the dynamics of the batch of vials accounting for its nonuniformity, if
multiple vials in selected positions are monitored as suggested, for example, by Gan
et al. (2004) and Barresi et al. (2010a). Thus, it may be possible to design the cycle
focusing on the most critical vials, that is, those where product temperature is higher
Shelf
Temperature measurements
Soft sensor
Batch of Kv, Ti, Lfrozen in the

vials monitored vials
Vials with
Identification of
thermocouple
the target vial
Cycle control/
optimization
FIGURE 19.6 Sketch of the control system based on the use of the soft sensor to track
product dynamics in various vials of the batch. (With kind permission from Taylor & Francis
Group: Drying Technol., Freeze-drying monitoring using a new process analytical technol-
ogy: Toward a “zero defect” process, 31, 2013b, 1744–1755, Bosca, S. et al.)
in the first part of the primary dying stage; then, once ice sublimation is completed
in those vials, the operating conditions may be manipulated to minimize drying
duration in the rest of the batch. Such a system, illustrated in Figure 19.6, has been
described by Bosca et al. (2013b).
A similar but simpler approach is that of Thompson and Ling (2013) who pro-
posed a closed-loop multi-point dynamic control method. Using simple temperature
sensors, these researchers did not estimate the whole status of the system, neither
were able to predict system evolution, but simply used the highest vial or bulk prod-
uct temperature where the sensor is still reading the ice temperature. For this pur-
pose, it is necessary to determine if the sensor is still in ice (the highest temperatures
are indicated when the sensor is immersed in a dry product), for example using the
pressure drop technique.
Of course, if a single vial is monitored in a nonuniform batch, the sample might
not be representative, and the control system would be much less reliable than one
that considers the batch average, like a PRT-based temperature estimator.
When using PRT-based methods, in fact, “mean” values of temperature and
model parameters are obtained that usually correspond to those of the central part
of the batch. Thus, unless additional safety margins are introduced in the calcula-
tion, it is not guaranteed that product temperature remains below the threshold
value in the whole batch; and the larger the nonuniformity, the more severe the
problem. It must be considered that the temperature distribution in the product,
and thus the estimated average, depends also on the size of the apparatus; this
can cause troubles in scale-up, as the same average temperature estimated by the
sensor will correspond to different distributions with different maximum values
(Rasetto et al., 2008).
In principle, it is possible to modify the DPE algorithm simulating the batch as

the sum of several vial types to take into account the variance of the parameters
in the batch; but it can be demonstrated that it is difficult to obtain reliable values
by best fitting techniques (Barresi et al., 2010a). Another possibility is to tune the
parameters of the controller for the best control strategy using computational fluid
dynamics and detailed modeling of the drying as discussed in Rasetto et al. (2010)
and Barresi et al. (2010b).
The best solution would be probably to take advantage of the characteristics of
both the approaches, joining into an hybrid system the pressure rise method (and in
particular one of the DPE algorithms) and a set of observers that estimates the vari-
ance of the batch by monitoring a set of vials, as shown by Barresi et al. (2009c). The
control actions would be determined on the basis of the mean product temperature
and temperature of the radiated vials.
19.5.3 heat and suBlimatiOn flux mOnitOring and cOntrOl

Both the temperature-based soft sensor and the PRT methods measure or estimate
the product temperature without requiring any other information, and these values
are used in the control system as discussed above. In particular, the DPE+ tool
directly measures the sublimation rate, to improve the algorithm robustness, and
then estimates the interface product temperature. Recently other monitoring sys-
tems that measure the heat or mass flow have been developed. In particular, the VMS
(Pisano et al., 2016) and the TDLAS installed in the duct (Gieseler et al., 2007a)
determine the water vapor flow rate to the condenser and thus the sublimation rate.
They can also supply the average batch temperature provided that the heat transfer
coefficient, Kv, is given—it must be measured in a previous run, using the same PAT
tools, or directly measuring the temperature of the product (Schneid et al., 2009).
Thus, a control loop can be realized based either on the monitoring of the sublima-
tion rate or of the temperature; anyway, these sensors are preferably used only for
monitoring. In particular, the sublimation flow is generally monitored for routine
check that process conditions and primary drying time remain the same, and can be
very useful to detect conditions that can lead to choked flow. A control logic whose
goal was maintaining a predetermined sublimation rate would be risky, because
a change in cake structure or in the heat transfer coefficient (modification of vial
bottom geometry, change in radiative heat flux, etc.) would cause an increase in
the product temperature. Product temperature control would be equivalent to those
previously discussed, except the fact that the Kv and Rp parameters are not directly
estimated and continuously updated by the system, but must be supplied by the user,
and thus possible changes that occur cannot be taken into account automatically.
The heat flux measurement has similar characteristics, as at steady state it can
supply the sublimation flow (that is proportional to the heat flow to vials or trays)
and the product temperature, provided the Kv (Ling, 2015; Vollrath et al., 2017). The
particularity of this sensor is that it can monitor individual vials or small clusters
of vials in selected parts of the dryer, or even the whole batch if a large surface is
covered by the sensor. A monitoring and control system based on the heat flux mea-
suring tool (AccuFluxTM) is commercially available (LyoPATTM) and it is claimed
to improve product quality reducing process time. The main advantage over the
other systems is that heat flux measurement is not dependent on loading (while, for
example, using the TDLAS the signal must be scaled for loading) and it allows to
control the freezing rate, when the temperature is practically constant (Thompson,
2013). Obviously, it allows for a distributed control based on the estimated tempera-
ture of vials in different positions, provided that different sensors are placed in the
proper locations.
One of the problems of the heat flux sensor is that it does not detect all heat from
radiation (Vollrath et al., 2017), thus calibration may be necessary, and this may be
dependent on apparatus and scale. The quality of contact between the sensor and the
vial or tray bottom and its thermal resistance also affects the performance and must
be optimized.
19.5.4 cycle develOpment and scale-up: in-line

and O ff -line apprOaches
As concerns the cycle development, the operating conditions are still usually set
on a trial-and-error basis, or at best on the result of a series of experiments, gener-
ally choosing a constant pressure and temperature. Quite common is the practice
of developing a cycle by increasing temperature step. This does not guarantee
that the optimal conditions are identified, albeit a crucial point, as the duration of
the process may be very long and thus the cost very high. Here it can be demon-
strated that an increasing step protocol always unnecessarily extends the drying
time, because the thermal inertia of the system must be taken into account. At the
beginning of the cycle, the shelf temperature is very low and the cake resistance
at minimum value; thus an erroneous concept of precaution leads to inefficient
operation.
An apparatus equipped with an automatic closed-loop control can be used to
develop in a few steps (or even with a single run) a close-to-optimal cycle, if the max-
imum allowable product temperature is specified. As mentioned before, currently the
main application of control systems is just for cycle development in lab- and pilot-
scale equipment. LyoDriver appears to be especially efficient for this purpose, and
several examples of cycle development have been reported in the literature (Rasetto
et al., 2009b; Pisano et al., 2013a, 2013b).
The use of an automatic control system also offers a completely new way to
develop a cycle for the industrial apparatus, overcoming the well-known scale-up
issues (Barresi, 2011). If the apparatus is equipped with one of the monitoring and
control tools described in the previous sections, it may be sufficient that a cycle is
launched imposing the proper restrictions on the product temperature. The optimal
cycle will be automatically obtained, taking into account the constraints that may be
added (Barresi et al., 2010b; Barresi and Pisano, 2013).
An expert system that manipulates Tshelf and Pc using the results obtained by
means of the MTM algorithm and some empirical and good practice rules, named
SMARTTM Freeze-Dryer, has been also patented and commercialized (Tang et al.,
2005; Pikal et al., 2005). The chamber pressure was set at an “optimal value” calcu-
lated from a relationship as a function of the initial product temperature (measured)
and kept constant. Gieseler et al. (2007b) validated it experimentally with differ-
ent excipients and formulations, confirming it as a useful tool for development of a
lyophilization cycle during a single freeze-drying run. Nevertheless, it has no predic-
tive capacity as it does not take into account the evolution of the product as a conse-
quence of the actions taken, and thus, in our opinion, a wide margin for optimization
may remain.
Of great interest for process development are micro- and mini-freeze-dryers
which utilize samples of different size, from microtiter plates to single vials or
microclusters of vials. PAT tools like the Trough-Vial Impedance Spectroscopy
(Smith et al., 2017) or Raman spectroscopy (Kauppinen et al., 2013) are par-
ticularly suitable for this purpose, even if the realization of reliable mini-piloting
studies is challenging, because there is no single PAT technology for freeze-
drying that can be implemented reliably through all scales. The single vial or
small cluster is the size that reduces the impact on product in relation to the con-
tainer geometry, and for which commercial micro-freeze-dryers equipped with
process control are now available. LyosenseTM is a single-vial apparatus exploiting
analysis of dielectric parameters for process control (Smith et al., 2010). A small
cluster of vials is managed in another micro-freeze-dryer that uses a special ring
and a temperature control based on a heat flux sensor (LyoPAT TM) to scale down
and reproduce conditions corresponding to different locations in larger apparatus
(Thompson, 2013).
As widely discussed above, there are various factors limiting the application of
automatic control systems in an industrial unit. However, these tools can still be used
for controlling the cycle in laboratory-scale equipment, avoiding undesired phenom-
ena such as collapse of the cake or choked flow conditions, leading to process opti-
mization and favoring process intensification (Barresi and Pisano, 2014). This result
is important since it allows the determination of base cycles and of reliable heat and
mass transfer parameters, which can then be used for scale-up (Fissore and Barresi,
2011) and cycle development using off-line approaches (Fissore 2015).
The recently developed PAT tools, in particular PRT with DPE algorithms, heat
flux sensors, and TDLAS, are also very effective for the experimental determination
of sublimation rate and of relevant process parameters with a reduced experimental
effort (Fissore, 2015; Galan, 2010; Kuu et al., 2009, 2011; Ling, 2015). The design
space methodology is very powerful when coupled with mathematical modeling.
There are various approaches for the calculation and definition of the design space
(Giordano et al., 2011; Fissore et al., 2011d; Pisano et al., 2012). In general, all of
these methods can easily manage batch heterogeneity, include model parameter
uncertainty in the calculations, and select appropriate margins of safety on both
shelf temperature and pressure that make the cycle more robust (Sundaram et al.,
2010; Koganti et al., 2011; Pisano et al., 2013a, 2013c; Bosca et al., 2015b; Mortier
et al., 2016; Van Bockstal et al., 2017).
Off-line and in-line approaches have been compared by Fissore et al. (2012a) and
Pisano et al. (2013a), discussing how safety margins can be handled in both cases.
It must be remembered that the design space can be obtained in-line using a soft
sensor, obviously limited to the pressure considered (Bosca et al., 2013c). Table 19.2
summarizes characteristics of different design space approaches.
TABLE 19.2
Comparison of the Technical Features of Different Design Space Approaches
Static DS via Dynamic DS DS in Line via
Modeling via Modeling Soft-Sensor
Equipment scale where the process Lab/industrial Lab/industrial Lab/industrial
design is done
Experimental effort & human Low Low Very low
resources (compared to traditional (automatic)
experimental approach)
Ease of introducing some margins of Yes Yes Yes
safety on processing conditions
Accounting for batch unevenness Yes Yes Yes
Freeze-drying cycle optimization No Yes Yes
Availability of comprehensive data Yes Yes Limited to
for better process understanding pressure set
ACKNOWLEDGMENT
Part of the content of the chapter is the synthesis of several years of research activ-
ity of the team at Politecnico di Torino and of the cooperation with various Italian
and foreign groups; technical support by Miquel Galan and Telstar Technology is
also acknowledged. The contribution of the colleagues, and former Ph.D. students
Salvatore Velardi, Serena Bosca, and Irene Oddone (in chronological order), from
Politecnico di Torino is greatly acknowledged.
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20 Feedback Control of
Fluidised Bed Drying
CONTENTS
20.1 Introduction .................................................................................................403
20.2 Modelling of Fluidised Bed Drying ...........................................................405
20.3 Controller Design Study .............................................................................407
20.3.1 Process Description and Open-Loop Behaviour ..........................407
20.3.2 Output Feedback Control by SISO Feedback Controllers ............ 410
20.3.3 Output Feedback MIMO Control by Static Decoupling............... 413
20.3.4 Output Feedback Control by Empirical MIMO PI Controller...... 415
20.3.5 State Feedback Control by Pole Placement .................................. 417
20.3.6 State Feedback Control by Linear-Quadratic Optimal Regulators .....420
20.4 Summary..................................................................................................... 422
References .............................................................................................................. 422
20.1 INTRODUCTION
Drying of wet materials in fluidised beds is a major unit operation in solid pro-
cessing, with applications in the chemical industry, food and feed, pharmaceuticals,
detergents, or fertiliser production. The process can be used not only to remove liq-
uid from the material but also to influence particle formulation, for example be an
integral part of the formation of particle structures and the resulting product proper-
ties, influencing the process behaviour as well as product quality. Examples of the
combination of drying and formulation processes are spray layering and agglomera-
tion processes. Layering is often used in pharmaceutical production to create layers
with a defined thickness and porosity on carrier particles to influence, for example,
the release of an active pharmaceutical ingredient. The layers are produced by spray-
ing of droplets that spread on the particle surface and dry. The drying velocity deter-
mines the morphology of the layer, for example rather compact or rather hollow
layers can be created. Spray agglomeration, in which several primary particles are
combined into one larger particle (agglomerate), is used, for instance, to improve
the flow behaviour and re-dispersion behaviour of particulate substances. Primary
examples are food powders in vending machines: The original primary particles
are usually produced in spray drying, creating a very fine and dusty product that
tends to cake and has poor wettability, that is upon contact with a liquid it will not
403
disperse easily. Agglomeration increases the particle size and improves the flowabil-
ity; furthermore, as hollow structures are formed, the surface area for re-wetting is
increased, improving the re-dispersion behaviour. The drying conditions determine
the speed of the agglomeration process, as well as the morphology and inner struc-
ture, for example the porosity, of the formed agglomerate. The process boundary
between a spray layering process and an agglomeration process is also determined by
the drying conditions: If, for instance, more liquid is sprayed than can be evaporated,
liquid bridges will form between the particles, creating agglomerates, or drying of
sprayed droplets can be that fast that upon particle collision no bridge is formed. In
that case the solid remains on the droplet, creating a portion of a solid layer.
Specific drying of solid materials, in general and especially in fluidised beds, is
therefore of great practical importance, not only in terms of product quality but also
from an economic point of view. Ensuring the desired drying result, also in the pres-
ence of process disturbances, motivates the use of feedback control.
A schematic of a fluidised bed is shown in Figure 20.1. It usually consists of a
cylindrical or conical process chamber with a porous plate at its bottom. Through
this gas distributor a specified gas mass flow rate with known inlet temperature and
inlet moisture content is provided. On top of the distributor plate the wet solid mate-
rial is positioned. Below a minimum gas velocity, the particles in the bed stay at rest,
forming a fixed bed. Upon reaching the minimum fluidisation velocity that depends
on specific particle (mostly particle diameter and mass density) and gas properties
(mass density and viscosity), the weight of the particles is overcome and the particles
start to move. Further increasing the gas velocity increases the particle movement,
yielding high mixing of the particle bed and due to this high heat and mass transfer
rates. Furthermore, the bed expands, that is the bed porosity increases, taking up
Exhaust air
Spray
Heated Heated inlet air

classifying
air
Product discharge
FIGURE 20.1 Schematics of a continuously operated single-stage fluidised bed (with

optional spraying of a solid-containing liquid).
Feedback Control of Fluidised Bed Drying 405
more and more volume of the apparatus. Upon further increase of the gas velocity,
the elutriation velocity is reached: At this velocity, particles are transported pneu-
matically, that is taken up with the gas flow and carried out of the apparatus, demark-
ing the end of fluidisation operation. The range of velocities between the minimum
fluidisation velocity and the elutriation velocity is called the range of existence of the
fluidised bed.
Fluidised beds can be operated as single-stage apparatuses or as multi-stage
apparatuses, for instance by interconnection of several single-stage apparatuses.
Furthermore, they can be run in batch, semi-batch and continuous mode, providing
a broad basis for applications.
The range of existence poses already limits on the drying capacity of the process:
As the heat required for evaporation of the liquid is provided by the gas mass flow,
the limit velocities also determine the limiting gas mass flow rates. If, for instance,
in continuous operation more liquid is sprayed than can be taken up by the maximum
allowable mass flow rate, corresponding to a gas velocity close to the elutriation
velocity, then liquid will accumulate in the apparatus, leading to agglomerate for-
mation and finally, breakdown of fluidisation. Another process limit is given by the
maximum inlet temperature of the gas: In convective drying, the maximum liquid
uptake capacity of the gas is determined by the inlet temperature. From this point of
view, the temperature should be as high as possible. However, the material or some
its components, for example proteins, may be thermo-sensitive and disintegrate or
change its properties, imposing a material specific upper boundary on this process
variable. A third limitation that has to be taken into account is the moisture content
of the gas. The saturation moisture content denotes the thermodynamic maximum
amount of moisture the gas can take up and is accompanied by a saturation tem-
perature. If the saturated gas is cooled below the saturation temperature, then the
vapour will condense, that is liquid droplets will form again, rewetting the material
or parts of the apparatus, leading, for instance to blockage that requires shutdown of
the operation. From practical experience, a safety margin of about 10 K between the
outlet temperature and the saturation temperature should be maintained.
From the point of process control, the main controlled variables are the moisture
content of the solid, X, and the product temperature, T. As this is usually not mea-
surable directly, a mixed gas-solid temperature which can be measured directly by
thermocouples is used in its stead. The main manipulated variables available are
the inlet mass or volume flow rate, the inlet temperature and, in continuous opera-
tion, the inlet mass flow rate of wet solid. Process disturbances affecting the result
of the fluidised bed drying process are changes in the gas inlet moisture content,
for instance due to day/night or seasonal changes, reducing the uptake capacity, and
changes in the inlet moisture content of the solid, for instance due to different mate-
rial pre-processing.
20.2 MODELLING OF FLUIDISED BED DRYING

In order to influence the drying process such that the desired product moisture and
temperature is obtained, even under the influence of disturbances, some qualita-
tive and quantitative understanding of the interaction of the manipulated variables
and disturbances on the controlled variables is required. This understanding can be

obtained from process models that collect, combine, and formalise experimental
observations and the knowledge of heat and mass transfer processes taking place in
fluidised beds.
Process models for fluidised bed drying of different degrees of detail can be found
in the literature, usually tailored to a specific investigation that motivated the develop-
ment of the model. Although they differ significantly in terms of mathematical effort
and range of applicability, they provide a valid representation of fluidised bed drying.
The models can usually be attributed to one of the following three groups:
1. Empirical models created by specification of a functional relation between

input and output variables and fitting of parameters to experimental
observations. Often, the moisture ratio, MR, with respect to the initial
moisture is modelled as a time-dependent function with a time constant,
k, a function of the operating parameters, representing the drying kinet-
ics. Models of this kind follow directly from experimental observations
or can be created, for instance, by measuring the process outputs with
respect to specifically designed process inputs, for examples step signals.
Examples of this approach to describe fluidised bed drying include the
following: Srinivasakannan and Balasubramanian (2009a) estimated the
determination of moisture diffusion parameters, Srinivasakannan and
Balasubramanian (2009b) studied the drying of millet in a batch fluidised
bed, Meziane (2011) investigated the drying of olive pomace using ten dif-
ferent model formulations to obtain the drying kinetics, Perea-Flores et al.
(2012) applied six models of this type to study high-temperature drying of
castor oil seeds, and Tatemoto et al. (2015) investigated the drying of food
materials at reduced operating pressure.
2. Models for average moisture contents and temperatures: These models
often result from first principles, that is mass and energy balances of the
solid and gas. They usually assume perfect mixing or plug-flow behaviour
of the gas and perfect mixing of the solid, resulting in an average moisture
content and temperature of the gas and solid, neglecting local differences
in the apparatus. The resulting balance equations, usually ordinary differ-
ential and algebraic equations, allow the description of the dynamic and
static behaviour of the drying process. They also allow specific expressions
for different transfer mechanisms, whereas models of group 1 usually lump
several influences into one fitting parameter. Successful examples of this
modelling approach can be found in Groenewold and Tsotsas (1997) for
generic modelling of fluidised bed drying, Temple et al. (2000a, 2000b)
for drying of tea leaves in batch and multi-stage continuous fluidised beds,
Abdel-Jabbar et al. (2002) for continuous single-stage drying with applica-
tion to wheat, and Atthajariyakul and Leephakpreeda (2006) for continuous
paddy drying.
3. The third class of models considers distributions in the moisture content and
temperatures. These may be spatial distributions, that is particles and gas
have different properties at different locations in the apparatus, or property
distributions, that is particles of different sizes possess a different moisture

content. The resulting model equations are partial differential equations,
requiring a large effort in analysis and solution, however, providing very
detailed information on the process. Examples of this approach in flui-
dised bed drying are, for instance, the works of Burgschweiger and Tsotsas
(2002), one of the most detailed and exact drying models for single-stage
continuous operation, and Villegas et al. (2009) who model batch fluidised
bed drying by a distributed parameter model.
20.3 CONTROLLER DESIGN STUDY

Process models for fluidised bed drying are usually designed with the aim of increas-
ing process understanding. From a control point of view, models are usually very
detailed and possess complexity that make feedback controller design and interpre-
tation a challenging task. Controller design therefore often starts with a reduction
step, decreasing complexity but conserving the significant process behaviour and
interactions.
In this section, starting from a first principles model description, a reduced model
is designed that allows feedback controller design. Several design approaches are
presented and their performances are compared with respect to the open-loop behav-
iour and with each other with respect to reference tracking, disturbance rejection and
control effort.
20.3.1 prOcess descriptiOn and Open-lOOp BehaviOur

The process model of fluidised bed drying used in the following falls into category
2, that is the average solid moisture content and temperature are the controlled vari-
ables. The model is taken from the work of Abdel-Jabbar et al. (2002), who success-
fully modelled the dynamic behaviour of an industrial fluidised bed drying process
and used the model to study the influence of the various process parameters on dryer
performance. The original model of the continuously operated plant consists of non-
linear ordinary differential equations for the masses and energies from which the
moisture content and temperature can be obtained. Due to the complexity of the
model, Abdel-Jabbar et al. (2005) derived a linear transfer function model describing
the dynamics in the vicinity of a steady state:
 0.934 exp[−50s] −1.88 × 10 −3 

 X   8.22 × 102s + 1 
2.31× 103s + 1   M s 
T  =  −1  
   −4.62 × 10 7.52 × 10  Tg ,inn 
2
 1.38 × 102s + 1 2.62 × 102s + 1 

(20.1)
 7.85 × 10 −2 7.59 
   X in 
8.7 × 103s + 1 1.99 × 10 s + 1
3
+  
 −90 7.77 × 102 exp[−150s]   Yin 
 2.71× 102s + 1 1.95 × 103s + 1 
The response of the model consists of two contributions: One is the response due
to changes in the solid mass flow rate and gas inlet temperature (manipulated vari-
ables), Pu, the second is due to process disturbances, Pd, namely changes in the gas
inlet moisture content and the solid inlet moisture content.
This model forms the starting point for controller design. Although the plant is
nonlinear from a global perspective, its behaviour is linear in the vicinity of the
steady state, so that a feedback controller designed for this behaviour will also be
able to perform at the original nonlinear plant as long as the deviations from the
steady state are sufficiently small.
The open-loop response of the process is shown in Figure 20.2 for a step change
in the inlet mass flow rate and the gas inlet temperature. The figure shows in its
rows the measured variables, the columns show the changes in these due to the input
variables, for example the upper left diagram shows the change in output 1 due to
the unit step increase in input 1 (from zero to one). Immediately, it can be seen that
there is a coupling between the inputs and the outputs, for example a change in
solid inlet mass flow rate not only influences the outlet moisture content but also the
temperature. This significant coupling renders the controller design challenging, as
there is no direct one-to-one correspondence between inputs and outputs. A further
observation is that the value of one is not attained in both outputs, that is significant
Step response
From: In(1) From: In(2)
1
0.8
To: Out(1)
0.6
0.4
0.2
Amplitude
0
0
−100
To: Out(2)
−200
−300
−400
−500
0 5000 10000 15000 0 5000 10000 15000
Time (s)
FIGURE 20.2 Open-loop behaviour of the fluidised bed drying process (response to posi-
tive step signal).
Step response
From: In(1) From: In(2)
8
6
To: Out(1)
2
Amplitude
0
800
600
To: Out(2)
400
200
0 2 4 6 0 2 4 6
× 104 × 104
Time (s)
FIGURE 20.3 Open-loop behaviour of process outputs, X and T, to process disturbances

(response to unit step signals).
steady-state deviations exist with the product not having the desired properties. A
feedback controller tasks is therefore to provide zero steady-state error, while pos-
sibly also speeding up the process.
Figure 20.3 then shows the change in the outputs due to disturbances. Again, a
coupling between outputs and disturbances can be observed. Furthermore, it can
be observed that the process itself is not able to compensate for the disturbances,
as the outputs retain a non-zero value for all times. This means that even for a well-
designed open-loop process, occurrence of a process disturbance, for instance in
the gas inlet moisture content, will result in a deviation in product properties. An
additional task of the controller would therefore be the attenuation of the influence
of process disturbances on the output variables.
Both aims should be achieved as fast as possible while taking into account limits
on the manipulated variables, in this process model especially the gas inlet tempera-
ture. In the following, different feedback control design approaches are presented,
tested and their performance evaluated with respect to the open-loop behaviour.
Special focus is put on controller structures that are standard in or readily available
for industrial applications.
Disturbance
Pd
Controller Plant
R Y
− C Pu
Reference Controlled
output
FIGURE 20.4 Closed-loop configuration considered in the case study. The reference signal
R is to be tracked by the process, disturbance signals D are to be attenuated.
In the following, the closed-loop configuration shown in Figure 20.4 is consid-

ered. The closed-loop behaviour of the plant is given by
Y ( s) = ([ I + Pu C ]−1 Pu C ) R( s) + [ I + Pu C ]−1 D( s) = Gry ( s) R( s) + Gdy ( s) D( s), (20.2)
where Gry denotes the transfer function from the manipulated variables to the output
variables, Gdy the transfer function from the disturbances to the output variables
and C the transfer function of the feedback controller to be designed (Skogestad and
Postlethwaite 2005, Lunze 1988). In order to assess the control effort, the transfer
functions for changes in the manipulated variables due to changes in the reference
signals and the disturbances are also investigated:
U ( s) = ([ I + CP ]−1 C ) R( s) − ([ I + CP ]−1C ) D( s) = Gur ( s) R( s) + Gdu ( s) D( s) . (20.3)
20.3.2 Output feedBack cOntrOl By sisO feedBack cOntrOllers

The first attempt in controlling a multiple-input multiple-output (MIMO) process
is usually to consider the problem as a set of distinct single-input single- output
(SISO) processes that can be controlled individually. If only weak interac-
tion between the loops exists, this approach can yield satisfying performance.
Increase in interaction will decrease the performance and may yield instabil-
ity of the controlled process, even if the uncontrolled open-loop process was
stable. The main advantage of this approach, on the other hand, is that standard
SISO design methods, for example loop shaping or the root-locus method, can
be applied directly.
Using this approach, the controller transfer function matrix C is diagonal, that is
control error channel one only influences manipulated variable one and control error
channel two influences only manipulated variable two. In the current case with two
manipulated variables and two controlled variables, two possible pairings of inputs
to outputs exists. A thorough analysis of suitable pairings can be performed using
relative gain analysis (RGA), as presented in many textbooks on MIMO feedback
control (Skogestad and Postlethwaite 2005). For illustration, the pairings inlet mass
flow rate and solid moisture content and inlet gas temperature and solid temperature
are chosen.
For practical reasons, controllers with a PI structure are chosen as they pro-
vide the capability for zero steady-state error in the controlled variables, which
also provides means for disturbance rejection. As mentioned before, many design
methods are available to design SISO PI feedback controllers, for instance the
root-locus method. These can be applied to obtain desired closed-loop properties,
namely stability of the closed-loop, zero steady-state error and sufficiently fast
dynamics in response to changes in the reference signals as well as in the attenu-
ation of disturbances.
For the fluidised bed drying process, two SISO controllers are designed and com-
bined into a diagonal MIMO controller which is then applied to the MIMO plant.
Figure 20.5 shows the responses of the individual single-input single-output loops
closed by the designed SISO controllers which are stable and sufficiently fast for
both SISO loops.
Results for reference tracking for the MIMO plant, using the diagonal MIMO
feedback controller, are depicted in Figure 20.6, showing unstable behaviour in the
two controlled variables. As the SISO loops were both stable under feedback control,
the instability of the MIMO plant is due to the interaction of the two loops, espe-
cially the interaction of inlet mass flow rate on solid temperature.
1.2 1.4
1 1.2
1
0.8
Moisture (kg/kg)
Temperature (°C)
0.8
0.6
0.6
0.4
0.4
0.2 0.2
Moisture
Temperature
0 0
0 5 10 15 20 25 30
Time (min)
FIGURE 20.5 Closed-loop behaviour of the two single-input single-output (SISO) loops
under individual SISO PI control (reference tracking).
× 106 × 107
0.5 1
0
0
−1
−0.5 −2
Temperature (°C)
Moisture (kg/kg)
−3
−1
−4
−1.5 −5
−6
−2
Moisture −7
Temperature
−2.5 −8
0 500 1000 1500
Time (min)
FIGURE 20.6 Closed-loop behaviour for reference tracking using SISO controllers,
neglecting the interaction between the control loops.
In Figure 20.7 the response of the closed-loop system to disturbances is presented.

Here again, unstable behaviour is observed due to the interaction of the two loops.
This behaviour is not uncommon in the design of MIMO controllers neglecting
internal coupling; the example serves as a warning of destabilisation of open-loop
stable plants by feedback control.
× 106 × 107
2.5 8
Moisture
Temperature 7
2
6
1.5 5
Temperature (°C)
Moisture (kg/kg)
4
1
3
0.5 2
1
0
0
−0.5 −1
0 500 1000 1500
Time (min)
FIGURE 20.7 Closed-loop behaviour for disturbance rejection using individual SISO con-
trollers, neglecting the interaction between the control loops.
In order to improve the situation in both scenarios, that is to achieve stable opera-
tion and disturbance rejection, the interaction between the loops has to be consid-
ered. For this several approaches exist, using the idea of decoupling the outputs from
the inputs, introducing new dynamic elements in the control loop.
20.3.3 Output feedBack mimO cOntrOl By static decOupling

The idea of decoupling is to introduce a new dynamic element, the decoupling net-
work Ξ( s) , into the loop such that is compensates the interaction between the loops,
that is,
P ( s) Ξ( s) = Λ( s), (20.4)
where the resulting plant transfer function matrix Λ is diagonal. Then, SISO con-
trollers can be designed, giving desired closed-loop characteristics for the diagonal
plant transfer function matrix. The actual controller consists of the designed diago-
nal MIMO controller C * and the decoupling network: C ( s) = Ξ( s) C * ( s)
Closing the loop with this controller will then yield perfect decoupling of the
loops and the overall performance for reference tracking corresponds to the closed-
loop response of the diagonal plant Λ.
The main difficulty with this approach is that the decoupling network may be
(1) difficult to design due to the complexity of the plant (if it even exists) and
(2) the resulting controllers may be very complex and difficult to implement and
maintain at the real drying process. Fortunately, the requirement of perfect decou-
pling is not always required in operation, in many cases static decoupling is suf-
ficient. Static decoupling means that the loops are not decoupled in the transient
phase, although often the interaction is significantly reduced, but in the stationary
phase, that is for sufficiently long process times. The idea is exactly the same
as before but now the decoupling network is a static (constant) transfer function
matrix, that is Ξ( s) = Ξ* . If the steady-state gain of the plant transfer function Pu
is K s, then a suitable choice for the static decoupling network is Ξ* = K s−1. As the
response tends to its steady-state value, characterised by K s, the decoupling net-
work compensates the interaction with the inverse of the gain, resulting in a fully
decoupled plant with almost diagonal structure. For the partially decoupled plant
SISO controllers are designed, neglecting the remaining interaction. The MIMO
controller is then given by the coupling of the diagonal controller and the static
decoupling network.
The main advantage of this approach is that the overall controller is only a
weighted sum of the individual SISO controllers. If, for example, the designed SISO
controllers are of PI-type, then the MIMO controller is also of this type. This allows
immediate implementation in standard process control systems. The main disad-
vantage is that no perfect decoupling is achieved and some online tuning may be
required to compensate manually for the remaining interaction.
In the case study, the static decoupling network is designed using the steady-
state gain. The SISO controllers are of PI structure and designed such that the
SISO closed-loop behaviour is satisfying. Application of the MIMO controller,
1.4 1.4
1.2
1.2
1
1
0.8
Temperature (°C)
Moisture (kg/kg)
0.6 0.8
Moisture
Temperature
0.4 0.6
0.2
0.4
0
0.2
−0.2
−0.4 0
0 500 1000 1500
Time (min)
FIGURE 20.8 Closed-loop response under MIMO control with static decoupling (reference
tracking).
combining the SISO controllers and the static decoupling network, results in
reference tracking behaviour as shown in Figure 20.8. The following can be
observed: The reference value of one is attained in both outputs, that is a zero
steady-state offset is achieved. This is due to integral action of the controller.
The dynamics of the two controlled outputs differs, however: While the solids
temperature increases monotonously to the reference value, a damped oscillation
in the solid moisture content is observed. Furthermore, after the step increase in
both references, the moisture content decreases first before tending towards the
reference value. This behaviour is inherent due to the coupling of the two loops.
It also poses limitations on the dynamics of the closed-loop system, that is in
order to keep the inverse response in reasonable bounds, longer settling times
have to be accepted.
Figure 20.9 shows the reaction of the process to step signals in the disturbance
channels. It can be seen that the MIMO PI controller is able to reject the disturbance
completely over time. The dynamics of rejection are similar to the case of reference
tracking; also the behaviours of the two loops are similar: The disturbance in the
solid temperature is attenuated monotonously; in the solid moisture content an oscil-
lating response is observed. By further controller parameter tuning, the amplitude
and frequency of the oscillation can be manipulated, but at the cost of different con-
trol effort and settling time.
Explicit incorporation of knowledge of loop interaction can significantly improve
the closed-loop performance with only very limited additional effort in implementa-
tion of the resulting MIMO controllers, if standard controllers are used to design the
response of the partially compensated plants.
1.4 1
1.2
0.8
1
Temperature (°C)
0.8 0.6
Moisture (kg/kg)
0.6 Moisture
0.4
Temperature
0.4
0.2 0.2
0
0
−0.2
−0.4 −0.2
0 500 1000 1500
Time (min)
FIGURE 20.9 Closed-loop response under MIMO control with static decoupling (reference
tracking).
20.3.4 Output feedBack cOntrOl By empirical mimO pi cOntrOller

One approach to designing a MIMO PI controller requiring almost no mathematical
modelling has been presented by Korn and Jumar (1991). It is especially useful in
situations where only limited information is available. The approach requires only
the open-loop stable plant steady-state gain and access to the plant to perform con-
troller tuning by two parameters that can be tuned sequentially.
The PI controller is designed in two steps: First the integral part is designed in
such a way that the closed loop remains stable and a certain dynamic behaviour is
achieved. This already provides zero steady-state offset in the controlled variables and
disturbance rejection capabilities. In the second step, the proportional part is designed
to improve the dynamic behaviour of the closed loop by carefully choosing the pro-
portional gain such that the response is improved without sacrificing stability of the
closed loop.
A suitable choice of the integral gain, given the steady-state gain of the plant, is
K I = a Ks−1, (20.5)
where a is the first tuning parameter. The proportional gain is determined in a simi-
lar way, introducing a second, independent tuning parameter b:
K p = b Ks−1. (20.6)
The MIMO PI controller is then given by the transfer function C ( s) = K p + K I 1s

and can be readily implemented. Subsequent adjustment of the tuning parameters
a and b often provides a satisfying closed-loop performance. The straightforward

design and implementation makes this approach a first option, if plant information is
limited and solutions have to be provided within a short time horizon. Additionally,
the controller provides good robustness with respect to uncertainties in the dynamic
behaviour, as only the steady-state gain is used explicitly in the design (Lunze 1988).
The results of this approach applied to the dryer model are shown in Figures 20.10
and 20.11. One observes again in Figure 20.10 that the reference values are attained
by both inputs. The settling times are comparable to the ones obtained in the case
of MIMO control with static decoupling. The dynamics of the two outputs are now
both damped oscillatory, although with practically reasonable amplitude. However,
the maximum and minimum ranges have to be checked in each application, that is
whether any damage of or changes in the material can occur.
Disturbance rejection results depicted in Figure 20.11 show that the MIMO PI con-
troller, designed purely on the basis of the open-loop steady-state gain, is able to reject
disturbances in both controlled outputs. The dynamics and time frames are again com-
parable to the results of reference tracking. Further tuning of the two parameters can
improve the dynamic behaviour, but again increased control effort may be required.
A further approach to improve the performance is to extend the ansatz for the
proportional and integral gain to:
 a1 0 0 b1 0 0
K I =  0  0  K s , K p =  0
 −1
 0  K s−1 (20.7)
 0 0 an   0 0 bn 
The advantage of this approach is that the outputs can be tuned individually, how-
ever, the number of tuneable parameters increases significantly, rendering the design
process more time-consuming.
1.4 20
1.2
15
1
0.8 10
Temperature (°C)
Moisture (kg/kg)
0.6 Moisture
5
Temperature
0.4
0.2 0
0
−5
−0.2
−0.4 −10
0 500 1000 1500
Time (min)
FIGURE 20.10 Closed-loop response under empirical MIMO PI control (reference tracking).
1.4 10
1.2
5
1
0.8 0
Temperature (°C)
Moisture (kg/kg)
0.6 Moisture
Temperature −5
0.4
0.2 −10
0
−15
−0.2
−0.4 −20
0 500 1000 1500
Time (min)
FIGURE 20.11 Closed-loop response under empirical MIMO PI control (disturbance rejection).
20.3.5 state feedBack cOntrOl By pOle placement

In previous subsections, output feedback controllers have been presented, that is
controllers that use the measured variables to generate the plant inputs after com-
parison of the current output with the desired reference signals. Another class of
feedback controllers are state feedback controllers. They do not use information of
the measured variables but of process-internal states. These states are most easily
accessible in a process model of group 2, often the balanced quantities can be chosen
directly as states.
Let the states of the process model be collected in a state vector x, and the process
inputs in a vector u, then a linear process model can be written as
dx(t )
= Ax(t ) + Bu(t ), (20.8)
dt
y(t ) = Cx(t ) + Du(t ), (20.9)
where A, B, C and D are constant matrices of appropriate dimensions. The variable

y groups the measured quantities of the process. As standard result from control
theory, the open-loop behaviour is determined by the eigenvalue (or pole) distribu-
tion of the dynamic matrix A. Desired closed-loop behaviour of the process states
corresponds to a specific eigenvalue distribution of the closed-loop system. Feedback
control by pole placement aims at designing process inputs such that the open-loop
poles are shifted to the desired closed-loop poles.
In order to achieve this, the plant has to be controllable (Friedland 2005), which
means that the inputs must be able to influence all states in a unique way. If this
condition does not hold, the states cannot be influenced arbitrarily and certain pole
configurations are not accessible by feedback. The state feedback controller is given by
u(t ) = − K x (t ), (20.10)
with K being the constant controller gain. Inserting this control law into the state
equation yields the closed-loop dynamic matrix (A-BK). The design task is then to
obtain the entries of the matrix K such that the eigenvalues of the closed-loop matrix
correspond to the desired values. This problem can be solved in a standard way, for
instance by Ackermann’s formula, a result presented in many standard textbooks, or
by deriving the characteristic polynomial of the closed-loop matrix and determining
the coefficients by comparison with the characteristic polynomial corresponding to
the desired closed-loop poles.
A major difference between output and state feedback control is that in state feed-
back control no comparison between the measured and the reference signals takes
place, that is, only the states are influenced. This difference yields in many cases a
non-zero steady-state offset in the controlled variables. One way to overcome this
situation is to introduce integral action to the feedback law using the control error;
a second approach is to use a static prefilter V that provides zero steady-state offset.
The control law is extended to
u(t ) = − K x (t ) + V r (t ), (20.11)
where r denotes the reference signals. The prefilter can be designed from the require-
ment that in steady state the plant outputs y have to be identical to the reference signals r:
V = −[C ( A − BK )−1 B]−1. (20.12)
Application of this strategy to the process model after conversion into an equivalent
state-space model yields the results for the controlled outputs shown in Figures 20.12
and 20.13 for different specifications of the closed-loop poles. In Figure 20.12
results are shown for eigenvalues close to the open-loop poles (10% deviation), in
Figure 20.13 results are shown for an eigenvalue distribution farther to the left of the
open-loop poles (150% deviation, faster state response).
In both cases, the required steady-state values are attained by the outputs.
However, a huge undershoot of the temperature is observed in both cases. Comparing
the two results shows that the location of the poles has only quantitative influence,
the qualitative behaviour is due to the prefilter, designed to obtain zero steady-state
offset. Although it does not, by construction, influence the stability of the closed-
loop process, it significantly influences the dynamics, that is the transient behav-
iour. Depending on the location of the closed-loop eigenvalues, the prefilter can be
very sensitive to deviation, generating additional control inputs of large magnitude
that yield the observed behaviour. If this behaviour occurs and is unacceptable, then
either the prefilter is replaced by state feedback with integral action or one of the two
presented MIMO design techniques can be used.
The improvement in the dynamic response has to be paid for by an increased
control effort, that is constraints (upper, lower bounds, saturation) in the manipulated
1 140
120
0.8
100
0.6 80
Temperature (°C)
Moisture (kg/kg)
60
Moisture
0.4
Temperature
40
0.2 20
0
0
−20
−0.2 −40
0 500 1000 1500
Time (min)
FIGURE 20.12 Output behaviour of the controlled process using pole placement (slow
closed-loop eigenvalues).
1 100
80
0.8
60
0.6
Temperature (°C)
Moisture (kg/kg)
40
Moisture
0.4 20
Temperature
0
0.2
−20
0
−40
−0.2 −60
0 500 1000 1500
Time (min)
FIGURE 20.13 Output behaviour of the controlled process using pole placement (fast
closed-loop eigenvalues).
variables may become active at the plant that will reduce the closed-loop perfor-
mance and in the worst case even destabilise the process. Therefore, appropriate
closed-loop eigenvalues have to be found by the control engineer taking into account
both the dynamic requirements and the actuator limits.
In order to implement the control law, the full state information has to be avail-
able. This is often not the case, for instance the solid moisture content is, despite
significant advances in recent years, still difficult to measure online. To overcome

this situation, state observers (Luenberger 1964, Friedland 2005) can be used to cal-
culate estimates of the states given the incomplete measurement information.
20.3.6 state feedBack cOntrOl By linear-quadratic Optimal regulatOrs

Out of the many possible choices for the feedback gain matrix K in pole place-
ment, some may be optimal in certain sense, for example to minimise a cost
functional expressed in terms of the process states and the inputs. In that way,
deviations from desired states can be penalised while simultaneously weighting
and distributing the control effort between the manipulated variables. This offers
the opportunity of designing control laws that prefer certain manipulated variables
over others, for example, if from an economic point of view one of them is consid-
erably cheaper than the others, so that one would like to act as much as possible
via this input.
Restricting the discussion to quadratic cost functional J and a linear state-space
process model, the constant gain matrix Klqr of a linear quadratic regulator (LQR)
can be obtained from the minimisation of the cost functional:
J=
∫ ( x (t) Q x(t) + u (t) Ru(t)) dt, (20.13)
T T
with Q and R being the weighting matrices for the states and the inputs, respectively
(Anderson and Moore 2007). Choosing different relative weights as entries of the
matrices allows penalising the states and inputs individually.
The feedback law u(t ) = − K lqr x(t ) will not provide zero steady-state offset in the
controlled quantities, in general. To achieve this, just like in pole placement, the
controller can be extended by integral action, incorporating the control error, or by
addition of a prefilter V that compensates the steady-state offset in the controlled
variables: u(t ) = − K lqr x(t ) + V r (t ) .
Using this idea, and choosing the weighting matrices as Q = 10 −7diag ([1,...,1]),
R = 10 100 , i.e. penalising the use of the gas inlet temperature more and no preference
with respect to the states, the result shown in Figure 20.14 is obtained for the two con-
trolled outputs given simultaneous unit step changes in the reference signals.
Changing the weighting to Q = 10 −7diag ([50, 0.001, 1, 1]), R = 10 100  changes the
performance to the results shown in Figure 20.15, showing the influence of the modi-
fied weighting.
The choice of the specific state weighting to achieve a desired output performance
is not always practical or obvious. The situation becomes more comfortable, if the
cost functional is changed such that the output signals are considered directly:
J=
∫ ( y (t) Q′ y(t) + u (t) Ru(t)) dt, (20.14)
T T
0
1 14
12
0.5
10
Temperature (°C)
Moisture (kg/kg)
0
Moisture 6
Temperature
4
−0.5
2
−1 0
−2
−1.5 −4
0 50 100 150 200 250
Time (min)
FIGURE 20.14 Behaviour of the controlled outputs under linear quadratic optimal control.
1 1600
0.5 1400
1200
0 Temperature (°C)
Moisture (kg/kg)
1000
−0.5
Moisture
800
Temperature
−1
600
−1.5
400
−2 200
−2.5 0
0 50 100 150 200 250
Time (min)
FIGURE 20.15 Behaviour of the controlled outputs under linear quadratic optimal control
(selective weighting of state variables).
with a new weight matrix Q′. The correspondence between the two cost functional
is given by the relation y(t ) = C x(t ), so that the optimisation takes place with the
special weighting matrix C T Q′C with respect to the process states x.
Choosing the weighting matrices as Q′ = diag ([1, 10]), R = 10 01  , results in the
responses shown in Figure 20.16, where compared to the original LQR, a response
with significantly less over- and undershoot is obtained. The dynamics of the closed
loop are comparable and could be further tuned by modification of the weights.
1 20
0.5 15
Temperature (°C)
Moisture (kg/kg)
0 10
Moisture
Temperature
−0.5 5
−1 0
−1.5 −5
0 50 100 150 200 250
Time (min)
FIGURE 20.16 Behaviour of the controlled outputs under linear quadratic optimal control
with direct output weighting.
For online implementation, the complete state still needs to be measured, that is, if
this is not possible, the controller has to be supported by an additional state observer.
20.4 SUMMARY
Feedback control of fluidised bed drying is a challenging task, because of the interac-
tion between the process inputs and the outputs. These interactions can be accounted
for in the design by different methods, for example by static output decoupling or in
state feedback control laws. The resulting controllers can be designed such that they
are readily implementable process control systems, that is standard PI structures. If
state feedback is used, comfortable means exist to find control laws that are optimal
in a certain sense, for instance with respect to the closed-loop dynamics or minimal
control effort.
The methods presented in this chapter were showcased for single-stage continu-
ous fluidised bed drying but can be readily extended to multi-stage operation, if
each stage has individual inputs, as it is the case, for instance, in horizontal fluidised
beds. If only one set of manipulated variables is available, that is one gas inlet for
the whole multi-stage apparatus, then the spatial distribution has to be considered
explicitly, rendering the problem significantly more challenging.
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Abdel-Jabbar, N.M., Jumah, R.Y., Al-Haj Ali, M.Q. (2005). State estimation and state feedback
control for continuous fluidised bed dryers. Journal of Food Engineering, 70, 197–203.
Anderson, B., Moore, J. (2007). Optimal Control: Linear Quadratic Methods. Newburyport,
MA: Dover Publications.
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21 Control of Conveyor-Belt
Drying
Andreas Bück
CONTENTS
21.1 Introduction ................................................................................................. 425
21.2 Process Modelling....................................................................................... 427
21.3 Open-Loop Control of Conveyor-Belt Drying ............................................ 429
21.4 Feedback Control of Conveyor-Belt Drying ............................................... 430
21.5 Conclusion and Outlook .............................................................................. 439
References ..............................................................................................................440
21.1 INTRODUCTION
Conveyor-belt dryers consist of a moving belt, usually made from metal or plastics,
on which the material to be dried is deposited, forming a packed bed; the moving
material is then subjected to heat due to which the volatile components, for example
water or some solvents, evaporates and a solid layer remains, for example in the form
of a solid cake. At the outlet of the dryer, the cake is then broken up, for instance
by milling, and conveyed to further processing steps. The dryers can be designed
as a single-pass or multi-pass apparatus, depending on space limitations (appara-
tus length versus apparatus height), as well as a single-chamber or multi-chamber
apparatus, in which different thermal conditions can be realised in each chamber
(Figure 21.1, Poirier 2015).
Conveyor-belt dryers are usually convective dryers with the gas (over-) flow in
co- or counter-current direction, or in cross-flow with the gas passing the belt and the
moving packed bed. The gas can be air, some inert gas, also in recycle, or a vapour
of organic solvent. However, extended configurations can also be found, for example
additional contact drying by heating the belt material, operation under reduced pres-
sure or vacuum atmosphere, or even operating as freeze dryers (Poirier 2015).
Belt dryers are operated exclusively with continuous flows of gas and solid, the
major operating limits are given by the gas temperature (typical values between 20°C
and 200°C) and usually at atmospheric pressure, often open to the ambient environ-
ment. Although hard or soft pastes can also be dried on moving belts, this type of
425
Moist solid feed
(Optional radiative heating)
Drying agent flow

Dry product
FIGURE 21.1 Schematics of a conveyor-belt dryer (single-pass, multiple chambers with

optional heating by IR or microwave radiation). Gas flow can be co-, counter- or cross-current
to the material movement.
dryer is basically designed for drying bulk solids like seeds, grains, particulate food
materials, coffee or tea, herbs, cotton fibres, pharmaceuticals, and tiles (Poirier 2015,
Alamia et al. 2015). Therefore, the word solids will afterwards be used to represent
the wet material fed to the dryer.
Main advantages of conveyor-belt dryers are that the average residence time and
the bed height can be easily adjusted via the belt velocity and the wet feed flow rate.
Additionally, the belt can be divided into different sections with different heating or
cooling conditions to gradually decrease the moisture content and adjustment of the
product temperature.
However, conveyor-belt dryers also have certain disadvantages, primarily their
relatively high energy consumption (specific consumption in the range of 3500 to
6000 kJ/kg H2O), problems in the control of gas circulation, especially in multi-stage
and multi-pass installations, as well as difficulties in applying a sufficient gas flow in
cross-current operation, resulting in a decreased drying rate and possible saturation
of the gas.
The main product requirement in conveyor-belt drying is given by the desired
moisture content of the product at the outlet of the dryer, that is at the end of the belt.
Such problems are similar to the ones encountered in other (convective) dryers; addi-
tionally, the moisture distribution along the belt length and width poses problems in
operation, as does the moisture profile inside the solid layer. From a control point
of view, the task is therefore to realise uniform moisture content at the outlet over
the belt width, as well as a uniform product temperature. Due to the long distance
between inlet and outlet of the dryer, large time delays are observed in the reaction
of outlet moisture content and temperature due to changes in the inlet conditions and
the occurrence of process disturbances. This complicates considerably the construc-
tion of control systems, necessitating online measurements along the belt length to
detect deviations earlier and to improve process performance.
In this chapter, several, practically important control structures, open-loop and
closed-loop (feed-back), are presented and their advantages and limitations are dis-
cussed. Before entering this presentation, approaches for description of the dynamic
behaviour of conveyor-belt drying are presented, as these will form the basis for
control structure selection and controller design.
Control of Conveyor-Belt Drying 427
21.2 PROCESS MODELLING

From the construction and operation of a typical convective conveyor-belt dryer,
regardless of it being a single- or multi-stage apparatus, several process parameters
that affect product quality can be identified:
• Inlet moisture content (humidity) of gas

• Inlet (initial) moisture content of the solid
• Inlet gas temperature: limits the capacity of the convective dryer (the higher
the better) but, on the other hand, has to be kept low enough to avoid ther-
mal degradation of the material (e.g., browning or case hardening of the
material)
• Inlet mass flow rate of gas: also limits the capacity of the belt dryer, has to
be chosen such that the gas is not too close to saturation to avoid condensa-
tion in other parts of the dryer, however, it has to be low enough to avoid
elutriation of small particles from the bulk of the material (dust formation)
• Inlet mass flow rate of the solid material: determining the throughput of the
continuously operated dryer
• Velocity of the belt: determining the residence time of the material in the dryer
Of these, the inlet moisture contents of gas and solid are typically considered as
sources of process disturbances; they may change due to seasonal or day-night varia-
tions or stem from the source of the material to be dried, especially in the case of
biomaterials.
From an operating point of view, the following variables are suitable for process
manipulation (manipulated variables): inlet gas temperature, mass flow rate of gas,
and belt velocity. An increase in gas temperature and gas mass flow rate will typi-
cally increase the drying capacity and also have a positive influence on drying kinet-
ics. However, as mentioned before, several material-dependent limitations may be
present, for example a limit on gas temperature to avoid denaturation of components
(e.g., proteins or enzymes) or to avoid the onset of glass transition in amorphous
materials (e.g., polycarbons). The belt velocity determines the time that the material
spends in the dryer between inlet and outlet. Additionally, for a given inlet mass
flow rate of solid, it also determines the depth of the bed of solids on the dryer belt,
thereby influencing the drying kinetics. By construction, the movement of the belt is
one-directional, that is it is not possible to reverse the direction of movement, result-
ing in a practical lower limit of the belt velocity.
On the side of the controlled variables, the solids outlet moisture content and the
solids temperature can be found. The moisture content of the solids is the primary
controlled variable in many applications, directly determining product quality and
economic value. The outlet solids temperature is of particular interest, if the material
is to be stored directly without any post-processing (e.g., cooling), to avoid moisture
condensation upon natural cooling as this may lead to sticking of the material (for-
mation of solid bridges between particles by partial melting and dissolution or glass
transition) or result in optimal conditions for microorganisms that may spoil the
product during storage, for example in grain drying.
Typical instrumentation that can be found in conveyor-belt operation serves for

moisture measurement of the gas at the inlet and outlet of the dryer and gas tem-
peratures along the belt. Direct measurement of outlet moisture content of the solid
is not yet widespread; usually, using longtime operating knowledge; outlet moisture
content and temperature of the solids are inferred from the measurements of the gas
moisture content and temperature.
Modelling of the interaction of process parameters, manipulated variables and con-
trolled variables can be performed in several ways. One way is the so-called black-box
approach in which the interaction between these variables is described using only little
information on process mechanisms, typically correlating available measurement and
operating data. This input-output data can then be described, for instance by transfer
function models or artificial neural networks. The main advantage of this approach is
that models are usually of low complexity but offer reasonable agreement with the data
used for testing. The main disadvantage is that the applicability of the models is restricted
to operation close to the initial set of operating conditions from which the model was
derived. If larger variations occur, the performance of the models will reduce quickly
and a new black-box model will need to be derived for this set of operating conditions.
One example of this approach is presented by Kiranoudis et al. (1994b), where a
conveyor-belt dryer for raisins consisting of several chambers is studied, including
a cooling chamber. For each chamber configuration (drying or cooling), a detailed
process model is derived based on mass and energy balances. These submodules can
then be clustered to build up a conveyor-belt dryer of arbitrary length and configura-
tion with respect to the number of drying and cooling sections. Subsequently, the
models are reduced to input-output models, giving the same response to changes in
the section input parameters as the full-scale model. This significantly reduces the
model complexity and allows simpler analysis of the process dynamics and influ-
ences on product quality.
Another example following similar ideas is presented by Kiranoudis et al. (1995),
now considering an additional measure of product quality, the solid temperature at
the outlet of the dryer. Again, a full-scale model of the apparatus is derived first and
is then reduced to a black-box input-output model for ease of computation and study
of process behaviour.
Another way is the modelling based on first principles, that is using mass and
energy balances for the solid and gas phase, fully describing kinetics and thermo-
dynamic constraints. As moisture content and temperature of gas and solids vary
along the belt length and width and over the bed height, the process is spatially dis-
tributed, that is the values of the variables of interest and their evolution depend on
time as well as the spatial position. Mathematically, the first principles models (also
called white-box models) result in complex partial differential equations. Depending
on model assumptions, the complexity can be somewhat reduced, for instance by
assuming only negligible variation in the spatial distribution of moisture and tem-
perature along the width of the belt. However, compared to black-box models these
models are of much higher complexity and require a sufficient knowledge of process
and kinetic parameters. Counterbalancing is the advantage that the description of the
process mechanisms is valid for almost all operating conditions, that is re-modelling
of the process is usually not required.
Examples for this modelling approach can be found in the aforementioned works
by Kiranoudis et al. (1994a) and Kiranoudis et al. (1995), Sebastian et al. (1996),
Zhang and Deng (2017), as well as in Kiranoudis et al. (1994b) which is one of the
first publications on the behaviour of multicompartment conveyor-belt dryers on the
basis of steady-state balances. Additionally, Kiranoudis et al. (1994b) also provided
an economic evaluation of dryer operation, considering different costs, for example
of steam and electricity required for operation, with the aim of process optimisa-
tion. More recent studies, following a similar approach, can be found in the works
of Zanoelo et al. (2008) and Tussolini et al. (2014), for the special case of drying
of mate leaves. However, the modelling approach presented in these works is also
applicable to other materials, if the corresponding drying kinetics is adjusted to the
specific material.
Both model types can be used for process control, depending on the aims that
have to be achieved. Typically, control design will start with the model description
of least complexity but sufficiently matching the observed results. Only if control-
ler design fails for these models or the performance of the controlled systems is
not sufficient does redesign using more complex model formulations have to be
considered.
21.3 OPEN-LOOP CONTROL OF CONVEYOR-BELT DRYING

Process control in the sense of open-loop control has been studied and published
in several papers for optimal operation of conveyor-belt drying. For example,
Kiranoudis and Markatos (2000) applied Pareto optimisation to the optimal design
and operation of a conveyor-belt dryer. The purpose of Pareto optimisation is to
obtain in some sense an operational optimum, specifically by minimisation or maxi-
misation of a multi-objective cost functional. The cost functional can be comprised
of contributions weighting operation parameters, for example costs for heating, gas
mass flow rates, to determine structural parameters (apparatus size, number of dryer
sections) and optimal operating conditions. Operation constraints can also be con-
sidered in this framework, for instance, in the work of Kiranoudis and Markatos
(2000) a maximum belt load as well as limits on the variation of several process
parameters (e.g., inlet air temperature) are specified. The outcome of this optimisa-
tion process is a set of open-loop optimal parameters which control the process to
the desired outcome, for example in terms of product quality and economic costs.
Kiranoudis and Markatos (2000) performed this type of open-loop control to an
industrial conveyor-belt dryer for sliced potatoes, obtaining input data for best prod-
uct colour, reduced operating cost and furthermore being able to estimate the influ-
ence of steam temperature on the optimum conditions.
Another, more experimentally oriented and offline approach is the response sur-
face methodology (RSM, Chapter 5), which has found numerous applications for
instance in the optimal design and control of spray drying processes (Chapter 18),
that can also be applied to conveyor-belt drying. In this approach, the static maps are
obtained, linking some process inputs (manipulated variables) to process responses,
whose selection depends on the application in hand. Then, given the response for
each interaction, a multi-objective optimisation problem is solved to obtain the best
set of input parameters. The main advantage of RSM is that it allows process model-
ling based purely on experimental data by fitting. This black-box approach allows
modelling of input-output relations even if the detailed processes are unknown. By
principle, the obtained models are always open-loop stable and can thus be con-
trolled without feedback. Optimal process conditions can be obtained, often visu-
ally, by overlaying different responses, which makes the approach very attractive
for in-field operation and consulting. However, often a large number of experiments
have to be performed to obtain a reliable process model.
Likewise, as with similar restrictions, other data-driven modelling techniques can
be used in connection with some optimisation strategy to obtain optimal process
conditions to control the process to the required result, for example the use of arti-
ficial neural networks (ANNs; Chapters 9 and 15) to model the interaction between
process input parameters and the measured product properties (or properties that can
be inferred from the measurements).
21.4 FEEDBACK CONTROL OF CONVEYOR-BELT DRYING

An open-loop control commonly applied to conveyor-belt dryers to support their
dynamic performance stems from the spatial dimensions of dryers, especially their
length. Typically, product quality, for example the moisture content, is measured at
the outlet of the dryer. If some disturbance occurs at the inlet of the dryer, it may take
a significant amount of time before it is observed at the dryer outlet. For example, a
change in inlet solid moisture content will result in different outlet moisture content
for otherwise constant process conditions. The first time after which this deviation
is observed is given by the residence time of the solid, that is the time required to
move the material from the dryer inlet to its outlet. A feedback controller can then
act for the first time in response to this disturbance. Meanwhile, the conditions may
have already changed; the deviation introduced by the feedback controller response
is again detected for the first time after one residence time, resulting in additional
controller reaction and so on. This information delay may significantly decrease the
performance of the controlled system and may even lead to operation breakdown due
to a destabilising influence of the controller. For that reason, open-loop feedforward
control is implemented in conveyor-belt dryer process control systems (Poirier 2015).
For example, if the outlet moisture content can be measured, a feedback loop can
be designed to adjust gas inlet temperatures to achieve the required outlet moisture
content. This may yield the aforementioned effect of weak dynamic performance
or unstable behaviour if a variation in the inlet moisture content occurs. If the inlet
moisture content is measurable additionally, this information can be used imme-
diately to modify the gas inlet temperatures, without waiting for the detection of
deviations in solids moisture content at the outlet of the dryer. This combination will
yield better performance and make possible to avoid the problem of destabilising
controller action.
One of the first feedback control systems for conveyor-belt dryers has been
reported by Kröll (1978). Therein an input-output transfer function model is used
to describe the dynamic reaction of a change in inlet air temperature, for example
taken from the ambient environment, on the outlet solids temperature (Figure 21.2).
Moist solid feed
TS(z)
Dry product
TS
Heater Fresh air, Tf
FIGURE 21.2 Process scheme for conveyor-belt feedback control considered in Kröll
(1978). Gas and solids flows are cross-current.
Using this temperature, and assuming gas-solid thermal equilibrium at the dryer
outlet, the moisture content of the product can be inferred from the measured tem-
perature via the sorption isotherm.
The model considers the thermal momentum of the heater as well as the product
to be dried and, additionally, the (small) transport delay between outlet of the heater
and inlet of the dryer. The overall process is described by
e − stP
P ( s) = (21.1)
(1 + t H s)(1 + t S s)
where tH and tS stand for the response time of the heater and the solids, respectively,
and tP denotes the transport delay introduced by the movement of the gas in the pipe
from the heater to the dryer.
For a typical example, parameters are collected in Table 21.1; one observes imme-
diately that in this case the delay caused by the pipes is quite small compared to the
other two time constants. This is due to either a high gas velocity in the pipe or a
TABLE 21.1
Typical Time Constants for a
Conveyor-Belt Dryer
Time Constant Value [s]
tH 287
tS 3000
tP 2
Source: Kröll, K., Trocknungstechnik: Trockner

und Trocknungsverfahren, Springer,
Berlin, Germany, 1978.
0.9
0.8
0.7
Measured output
0.6
0.5
0.4
0.3
0.2
0.1
0
0 2000 4000 6000 8000 10000 12000 14000 16000 18000
Time (s)
FIGURE 21.3 Response of solids outlet temperature of the open-loop process to a unit step
change in inlet air temperature.
short pipe length. For long pipes the considerable transport delay may become sig-
nificant compared to the other time constants and care has to be taken in controller
design, to avoid a destabilisation of the closed-loop process. Figure 21.3 shows the
typical response of the process to a unit step change in the fresh air temperature.
As expected, the influence of the time delay is small and the overall response is
dominated by the time constants of the heater and the solid material. Furthermore,
the response shows that in open-loop operation, the response is offset free, although
it takes a relatively long time to achieve the desired temperature change (about five
hours). Therefore, a control aim would be to improve the dynamic response with zero
steady-state offset.
To achieve the required solids outlet temperature, the loop can be closed, for
example by a standard PI controller. This achieves zero steady-state offset and typi-
cally possesses good robustness properties with respect to model uncertainties, for
example in the transport delay of the air from the heater to the dryer. The PI control-
ler is given by the following transfer function:
 T s +1 
C ( s) = K c  I  (21.2)
 TI s 
where the parameters K and TI can be determined by standard or heuristic meth-

ods (Dorf and Bishop 2016). Figure 21.4 shows the dynamic response to a positive
unit step change in the required solids outlet temperature, for two sets of control-
ler parameters K = 2 or 20, TI = 3000 s, as well as the open-loop response for the
purpose of comparison. As expected, the required solids temperature is obtained
1.4
Open-loop
1.2 Closed-loop (1)
Closed-loop (2)
1
Controlled output
0.8
0.6
0.4
0.2
0
0 2000 4000 6000 8000 10000 12000 14000 16000 18000
Time (s)
FIGURE 21.4 Response of solids outlet temperature of the closed-loop process to a unit
step change in reference solids temperature. (1): K = 2, (2) K = 20.
without offset in all cases. However, in terms of process dynamics, the controller
significantly improves the speed of response to changes, depending on the control-
ler gain. Using the gain K = 2, the reference value is already achieved after about
two hours (open-loop: five hours) without overshoot or oscillation in the vicinity of
the reference. Further increase of the gain still shortens this time, for example for
K = 20 to about 45 minutes, but overshoot and oscillation can now be observed in
the response. In practical operation, it depends on the material whether it can or
should withstand large temperature variations, for example to avoid case hardening
or caking of the material on the belt. Additionally, further increase may even cause
instability of the closed-loop system due to excessive action of the controller. For this
specific example, a controller gain in the range of 2 to 10 would be chosen in practi-
cal application, as it provides fast response without overshoot and zero steady-state
offset.
To study the robustness of the PI-controlled process with respect to model uncer-
tainties, the same controller (K = 2) is applied to processes with larger transport
delays, tP. Figure 21.5 shows the performance for the nominal case, as well as for
the cases of 30-, 50-, and 100-times larger transport delay. It can be seen that the
designed PI controller is sufficiently robust with respect to the transport delay, with
only small changes in the overall response. The reason for this is that in this case,
even in the case of 100-times larger than the initial delay, the ratio of transport delay
(tP) to dominating time constant (tS) is still small. If the delay gets significant in
comparison to the dominating time constant, then the response will at first become
sluggish and in extreme cases it may even become unstable. In that case, either the
delay has to be reduced by engineering modifications or more sophisticated control
1
Nominal
0.9 Delay: 30x
Delay: 50x
0.8 Delay: 100x
0.7
Controlled output
0.6
0.5
0.4
0.3
0.2
0.1
0
0 1000 2000 3000 4000 5000 6000 7000
Time (s)
FIGURE 21.5 Response of solids outlet temperature of the open-loop process to a unit
step change in reference solids temperature and deviations in the transport delay tP from the
nominal case.
algorithms specifically designed for the handling of time delays, for example adap-
tive controllers Chapter 7 or Smith predictors.
Feedback controller design for this example is not restricted to PI controllers, more
sophisticated algorithms can also be applied. For example the quadratic dynamic
matrix control (QDMC; Garcia and Morshedi 1986) which utilises the step-response
data to repeatedly calculate optimal control over a specified control horizon. Due to
its predictive nature, it is also well suited for handling of large time delays, that is
QDMC is a natural candidate for controller design if the performance of standard
controllers, for example PI controllers, is not sufficient. It also allows for consider-
ation of constraints, for example limits on operation variables, but in the presence of
constraints, the controller is dynamic, that is all calculations have to be performed
online. Further improvement may be achieved by fully exploiting the nonlinear pro-
cess behaviour using state-space-based robust nonlinear model predictive control
(Kothare et al. 1996, Camacho and Bordons 2007).
The other example highlighting the use of feedback control in conveyor-belt dry-
ing is the process described in Kiranoudis et al. (1995). There, a conveyor-belt dryer
consisting of multiple drying chambers is considered. The process dynamics of a
chamber with respect to external excitations (changes in reference values or dis-
turbances) are studied in the vicinity of a steady state, yielding a linear transfer
function model. The controlled variables are the material moisture content and its
temperature; the manipulated variables are the air- and steam flow rates in an indi-
vidual drying chamber. Additionally, the influence of inlet solids moisture content
and temperature are considered as process disturbances.
From dynamic simulations it can be seen that the process input and outputs are
strongly coupled, that is a change in one input does influence more than one con-
trolled variable; also each disturbance signal influences more than one controlled
variable. This leads to a genuine multiple-input multiple-output (MIMO) process
(here: two inputs, two outputs), requiring additional effort in process control design
as in the previous example.
The transfer function model is given by
 X out ( s)   Fsteam ( s)   X in ( s) 
T ( s)  = P ( s)  F ( s)  + PD ( s) T ( s) , (21.3)
 s,out   air   s,in 
 0.156 0.202 
 − (1 + 0.49s) 4 −
(1 + 1.92s)2 
P ( s) =  , (21.4)
 0.9 0.21 
 (1 + 0.94 s)2 −
 (1 + 1.67s)2 
 −2.38 s 0.0305 
 1.25e −
(1 + 0.54 s)5  , (21.5)
PD ( s) =  
 −2.38 s 0.224 
 −0.464 e −
(1 + 0.54 s)5 

where all time constants are given in minutes. The open-loop responses to individual
unit step changes in the manipulated variables are shown in Figure 21.6. The open-
loop responses to individual unit step changes in the load disturbances are shown in
Figure 21.7.
One approach would be to neglect the coupling between the variables and design
two individual single-input single-output (SISO) controllers, which are then oper-
ated simultaneously. This will work quite well if the coupling is weak, otherwise the
neglected coupling may decrease the performance of the process or even destabilise
it. Additionally, two suitable SISO pairings have to be identified. This can often be
done using process insights and operation experience, in a more formal setting rela-
tive gain analysis (RGA; Dorf and Bishop 2016) can be employed.
Kiranoudis et al. (1995) identified the following pairings for their conveyor-belt
dryer: The material moisture content should be controlled by the steam flow rate
(loop 1) and the material temperature should be controlled by the fresh air flow
rate (loop 2). For the controller structure, all interactions between the manipulated
variables and the controlled outputs are neglected, that is the design problem is sepa-
rated into two SISO problems. For both SISO loops, PI controllers are chosen and
the feedback controllers are parameterised using the heuristic Ziegler-Nichols rule
(Dorf and Bishop 2016).
The two PI controllers are then implemented at the process individually, where
one controller acts as a disturbance on the other loop via the interaction of the manip-
ulated variables and the controlled variables. The results by Kiranoudis et al. (1995)
show that the control aims, zero steady-state offset in the references and offset-free
Steam flow rate Air flow rate

Solids moisture content 0 0
−0.05
−0.05
−0.1
−0.1
−0.15
−0.15 −0.2
0 5 10 15 0 5 10 15
0
0.8
Solids temperature
−0.05
0.6
−0.1
0.4
−0.15
0.2
0 −0.2
0 5 10 15 0 5 10 15
Time (min) Time (min)
FIGURE 21.6 Open-loop response of the MIMO transfer function model to unit step
changes in the manipulated variables.
Inlet moisture content Inlet solids temperature

1.5 0
Solids moisture content
−0.01
1
−0.02
0.5
−0.03
0 −0.04
0 5 10 0 5 10
0 0
Solids temperature
−0.2 −0.1
−0.4 −0.2
−0.6 −0.3
0 5 10 0 5 10
FIGURE 21.7 Open-loop response of the MIMO transfer function model to unit step
changes in the load disturbances.
rejection of load disturbances, can be reached. However, due to the unaccounted

interaction between the loops, the dynamic response is rather sluggish and shows
significant oscillations. Also, neglecting the interaction in general may destabilise
the control system or may result in excessive control action (to counteract the influ-
ence of the other control loop) which may lead to increase wear of the actuator and
thereby increased maintenance costs.
One approach to improve the performance of the closed-loop is the idea of decou-
pling the MIMO plant, that is the plant is augmented by a decoupling network Ξ(s)
such that the coupling is compensated:
P ( s)Ξ( s) = Λ( s), (21.6)
where Λ(s) is a diagonal transfer function matrix. To be more precise, instead of

ignoring the coupling in the controller design, the input-output behaviour is trans-
formed by the decoupling network in such a way that the new input-output behaviour
is equivalent to two decoupled SISO plants.
The practical realisation of this idea is often hindered because to compensate
the coupling completely, that is for all times and input signals, the decoupling net-
work has to be a dynamic system itself. In combination with the chosen controller
structure for the diagonal controller a MIMO controller could not be realisable.
A feedback controller of the same type, utilising only the steady-state information
on the coupling between manipulated and controlled variables, can be obtained in
the following four steps:
1. Determine the steady-state gains. As the transfer function model is open-loop

stable, these can readily be obtained by setting the Laplace variable s to zero.
These gains determine the coupling between input and outputs at a steady state.
2. Modify the plant transfer function model by multiplication with the inverse
of the obtained steady-state gain matrix Ξ: P′ = PΞ.
3. Design two SISO PI controllers for the modified plant P′; either directly or
after performing a relative gain analysis to obtain suitable pairings. The
two controllers are then combined into a diagonal MIMO PI controller C′.
4. Pre-multiply the inverse of the steady-state gain matrix with the diagonal
MIMO transfer function of the PI controller to obtain a full MIMO PI con-
troller: C = ΞC′.
The outcome of this approach is a controller that eliminates all coupling between
inputs and outputs at steady state (partial decoupling). It also decreases the interac-
tion in the dynamic range to some extent, but cannot fully remove these as it is only
using static information on the interaction.
Performing this four-step design procedure in any control-oriented software (for
example MATLAB (The Mathworks), GNU Octave, or some high-level programming
language like Python), the results presented in the following paragraphs are achieved.
In Figure 21.8, the closed-loop response with respect to changes in the reference
values of solids outlet moisture content and temperature are shown. The interpreta-
tion of the graphs is as follows: The diagonal plots show the direct response on the
Moisture content reference Solids temperature reference
1
0.05
0
0.5
−0.05
0 −0.1
0 5 10 15 0 5 10 15
0.2
1
Solids temperature
0
0.5
−0.2
0
0 5 10 15 0 5 10 15
FIGURE 21.8 Closed-loop response of the conveyor-belt dryer to unit step changes in the
process reference.
change in the reference signal; the off-diagonal plots show the outputs generated
under control by the interaction. The total response is then obtained by adding the
individual responses row-wise. For the solids moisture content and the solids tem-
perature the following can be observed: Both controlled outputs will attain their
reference values offset free, as the result of the direct interaction is offset free and
the off-diagonal influences tend to zero with time. With respect to the moisture con-
tent a slight oscillation in the controlled variable will be observed, mostly due to
the influence of the solids temperature. Similarly, some oscillation but with a larger
amplitude (up to 25%) will be observed in the controlled solids temperature due to
the influence of the moisture content.
The interaction is due to the only partial decoupling of the inputs and outputs.
Their influence can be decreased online by manual de-tuning of the controller, or
by using more sophisticated control algorithms. From a practical point of view, this
partial (steady-state) decoupling is advantageous as it allows use of standard control-
ler structures that are readily available at the only additional cost of weighting the
controller outputs according to the data contained in the decoupling network Ξ; the
implementation of this approach can, therefore, be performed immediately in any
process control system.
In parallel to good reference tracking, the feedback control system should also
provide disturbance rejection properties. Similar to Figure 21.8, Figure 21.9 shows
the responses to changes in the load disturbances. For unit step disturbances in both
Inlet moisture content Inlet solids temperature

0.01
−0.01
−0.02 0.005
−0.03
−0.04
0
0 10 20 0 10 20
× 10−3
3
Solids temperature
0.2
2
0.1 1
0
0
0 10 20 0 10 20
FIGURE 21.9 Closed-loop response of the conveyor-belt dryer to unit step changes in the
load disturbances.
the inlet solids moisture content and inlet solids temperature, it can be observed that
within the first 10 minutes after occurrence of a disturbance, these are almost per-
fectly rejected in both controlled outputs. After 20 minutes, the rejection is perfect,
that is the controlled system operates offset-free in the desired specifications. For
clarification, it is noted that this result has been achieved by the same controller used
for reference tracking without any modifications. This exemplifies the additional
advantage that the feedback provides over open-loop operation and control.
21.5 CONCLUSION AND OUTLOOK

Conveyor belt dryers are commonly used for dewatering granular materials or
pastes. They are almost exclusively operated in a continuous mode with the major-
ity of installations being convective dryers. Primary aims of dryer operation are a
uniform moisture and temperature distribution at the outlet of the dryer, along the
belt width and throughout the material on the belt. Due to their spatial dimensions,
conveyor-belt dryers are difficult to control, as disturbances acting at the inlet of the
dryer, for example variations in inlet solids moisture content, are only detected after
a long delay (influenced by the belt velocity) at the outlet. This problem can be alle-
viated in at least two ways: installation of additional measurement probes along the
length or width of the dryer, or the use of process control schemes that are inherently
suited for coping with delays, for example the Smith predictor. As moisture content
and temperature may be coupled, a full multivariable controller may be required to
achieve sufficient performance; optimal performance can be achieved using control

algorithms that use model-based prediction of the evolution of the variables of inter-
est, for example quadratic dynamic matrix control (QDMC).
Conveyor-belt dryer performance will benefit further from the increased use of
instrumentation to detect changes in the dryer state and be able to counteract the
influences of process disturbances, variations in inlet conditions as well as spatial
variations in moisture content and temperature to achieve better and reliable product
quality, for example with respect to moisture content, or biological activity or cost
per production unit.
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Dorf, R.C., Bishop, R.H., 2016. Modern Control Systems, 13th ed. Boston, MA: Pearson.
Garcia, C.E., Morshedi, A.M., 1986. Quadratic programming solution to dynamic matrix
control (QDMC). Chemical Engineering Communications 46, 73–87.
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conveyor-belt drying chambers. Drying Technology 13, 73–97.
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Food Engineering 46, 145–155.
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of conveyor-belt dryers. Drying Technology 12(7), 1575–1603.
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belt dryers. Journal of Food Engineering 23, 375–396.
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exchange networks: An application to conveyor belt dryers. Chemical Engineering
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drying of mate leaves (Ilex paraguariensis) in a conveyor-belt dryer: A semi-automatic
control strategy based on a dynamic model. Drying Technology 32, 1457–1465.
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for conveyor-belt dryers of mate leaves. Journal of Food Engineering 84, 458–468.
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structure optimization. Applied Thermal Engineering 127, 292–301.
22 What Is the Future of
Intelligent Systems
in Drying?
Alex Martynenko
Analysis of research literature shows increasing interest in intelligent techniques,

which have become one of the major research areas in drying technologies. Quick
progress in digital technologies and software makes artificial intelligence (AI) suit-
able and beneficial for most of existing drying technologies. It is expected that future
research and development of AI applications in drying technologies will be focused
mostly in three areas: (1) computer-aided intelligent observers, (2) computer-aided
intelligent controllers, and (3) machine learning and optimization.
1. Intelligent observers are a prerequisite for intelligent controllers. Their

development mostly depends on progress in the development of smart
sensors and instrumentation, such as computer vision, spectroscopy, and
biomimetic sensors (Chapter 2) and soft computing techniques, such as arti-
ficial neural network (ANN), fuzzy logic, Bayesian, and evolutionary algo-
rithms. Intelligent observers will provide unique interpretations of dynamic
situations with respect to control goals. According to Gödel’s principle, the
complexity of an observer should be at least equivalent to the complex-
ity of the observed system/process. At a minimum, observer intelligence
requires the ability to sense the environment, to make decisions, and to
control action. Higher levels of intelligence may include the ability to rec-
ognize objects and events, to represent knowledge in form of models, and
to predict future. In advanced forms, intelligence provides the capacity to
perceive and understand dynamic behavior in an uncertain environment, to
act appropriately to increase probability of success in the achievement of
control goal. Intelligence of observers can grow and evolve, both through
accumulation of knowledge and growth in computational power.
2. Intelligent controllers will emulate human abilities such as adaptation and
learning, planning under large uncertainty, and coping with large amounts
of data in order to effectively control complex drying processes. The con-
cepts of intelligence and control are closely related. Both intelligent sys-
tems and control are goal oriented. Consequently, any intelligent system is
a control system; however, not every control system is intelligent. There are
two essential properties that appear to be rather fundamental for intelligent
441
control systems: learning and autonomy. Hence, new research areas rel-
evant to intelligent control, including machine learning, real-time planning,
self-diagnostics and reconfiguration, and neuro-fuzzy adaptive control, will
be developed.
What are the challenges in control of drying? First, we have to recog-
nize the multilayer complexity of the control problem. The first layer of
complexity is uncertainty of mass, heat, and momentum transfer processes
inside of the material and on the phase interface. This uncertainty increases
in the case of distributed system, such as cross-flow or conveyor-belt dryers.
The second layer of complexity is the nonstationary nature of drying, which
requires real-time observers. The third layer of complexity involves the
unpredictable effects of drying factors on biochemical processes and qual-
ity degradation.
To attain complex control goals, such as optimization, the controller has
to manage significant uncertainty that usual feedback or adaptive control-
lers cannot deal with. Since the goals are to be attained under large uncer-
tainty, autonomy, adaptation, and learning are important considerations in
intelligent controllers. In this sense, intelligent control is an enhanced ver-
sion of conventional control. It is not surprising then that increased control
demands require methods that are not typically used in conventional con-
trol. The area of intelligent control is in fact interdisciplinary, including, for
example, computer science, operations research, pattern recognition, and
machine learning.
3. Machine learning is the process of analyzing, organizing, and converting
data into a flow of knowledge, essential for adaptation to a wide variety of
unexpected changes. Machine learning will decrease uncertainty of both
external and internal disturbances, increasing the quality and efficiency of
drying. In the future we can expect a shift from supervised to unsupervised
learning. A number of unsupervised learning algorithms will be devel-
oped, which will increase system autonomy. For example, an adaptive con-
trol system has higher autonomy than a conventional control system, as it
manages greater uncertainty than a fixed feedback controller. Although for
low autonomy low intelligence is sufficient, for high degrees of autonomy
a higher degree of intelligence is essential. A control system will be truly
intelligent if it can autonomously achieve a high-level goal, while its com-
ponents, process models, and control laws are not completely defined, either
because they were not known at the design time or because they changed
unexpectedly.
Another important attribute of intelligent control will be structuring of knowledge

about particular drying systems, drying processes, and products under drying. The
hierarchical structure of drying process will initiate research of appropriate struc-
ture for efficient organization of knowledge. This structure will provide a mecha-
nism of abstraction (resolution, granularity) and evaluation of control objectives and
strategies. If this organization is done autonomously by the system, then intelligence
becomes a property of the system, rather than of the system’s designer. This implies
What Is the Future of Intelligent Systems in Drying? 443
that systems which autonomously (self)-organize controllers with respect to an inter-

nally realized organizational principle are intelligent control systems. It is antici-
pated that in the near future computer intelligence will become major learning tool,
uncovering hidden knowledge about causal relationships in the drying process. We
could expect that further development of novel drying technologies will substantially
increase demand for AI techniques.
One final remark: One could see intelligent control in drying as a big challenge.
But intelligent control is merely a name that appears to be useful today. In the same
way, the modern control of the 1960s has now become conventional control. What
is called intelligent control today may be known as simply control in the not too
distant future. What is more important is whether or not intelligent control will be
able to meet the ever-increasing demands of our technological society. This is the
true challenge.
Index
Note: Page numbers followed by f and t refer to figures and tables respectively.
2k factorial designs, 67 Al-Mahasneh M., 149–150

AlphaGo computer program, 203
A Alvarez-Lopez I., 141t, 144
Analog sensor resolution, 13
Abakarov A., 134t, 137–138 Analog-to-digital (AD) converter, 19
Activation function, ANN, 157 Analytical engine, 3
Adaptive control schemes, 104 AND operator, 128
auto-tuning, 109–110 ANFIS (adaptive neuro-fuzzy inference systems).
dual control, 108–109 See Adaptive neuro-fuzzy inference
gain scheduling, 105–106 systems (ANFIS)
general scheme, 104f ANNs (Artificial neural networks). See Artificial
MRAC, 106–107, 107f neural networks (ANNs)
self-tuning regulators, 107–108 Apparatus level, computer control, 11
Adaptive neuro-fuzzy inference systems Area shrinkage, 260
(ANFIS), 125, 160, 160f ARMAX (auto-regressive moving-average
Al-Mahasneh, 149–150 exogenous) models, 29
Azadeh, 147t, 149, 163, 165t Aroma monitoring, 15
benefits, 145 Aromatic components, 214–215
Galzina, 146, 147t Arrhenius equation, 234–235
Jumah, 146, 147t Artificial intelligence (AI), 189
Kiralakis, 146, 147t, 149 applications, drying technologies, 441–443
Köni, 147t, 149, 165t, 172 and machine learning, 189–191
layers, 145–146 symbolic and sub-symbolic, 190
Lutfy, 147t, 148t, 149 Artificial neural networks (ANNs), 31, 66, 156,
Mujumdar, 146, 147t 282, 354, 356
Navarro, 148t, 150 ANFIS, 160, 160f
Šarić, 146, 147t application, 42
structure with two inputs/one output, 146f data preparation, 161–162
Wu, 148t, 150 in drying technology, 156, 163,
Yliniemi, 146, 147t 164t–168t, 169
Zhang, 148t, 149 hybrid neural-mathematical model,
Adaptive Smith predictor, 116f 160–161, 161f
Adaptive time-delay control of conveyor belt learning modes, 157
grain drying process, 114–117 MLP, 158, 159f
AD (analog-to-digital) converter, 19 models, 161–163
Advanced control in freeze-drying, 367–394 optimal, 162–163
Agglomeration process, 404 overview, 155–156
AI (artificial intelligence). See Artificial recurrent, 159, 159f
intelligence (AI) single-layer feedforward, 158, 158f
AIC (Akaike information criterion), 31, 38 structures, 158–161
Air-dried apple Artificial neuron model, 156–158, 157f
drying behavior characterization Artificial neurons, 283
of, 237–241 Ascorbic acid degradation, 235
drying strategies development, 241–248 Atari 2600 game machine, 7
Akaike information criterion (AIC), 31, 38 Atomizer spray drying, 113f
AlexNet, 196 Atthajariyakul S., 141t, 144
ALM (Average Linkage Method), 7 Auto-encoder, 195–196, 196f
445
446 Index
Automatic control system, MW C

drying, 335–336
agricultural product, 336–337 CADDET (Centre for the Analysis and
distributed parameter model, 341–342 Dissemination of Demonstrated
hot-air dryers of grains, MW-assisted, 338f Energy Technologies), 18
MW drying process, 337–342 Cammarata L., 140t, 142–143
MW model, 339–341 Capillary porous material, 341
output moisture content, 344 Center of gravity (COG), 130
product temperature, 342–343 Central composite design (CCD), 67
soybean during drying by coupled system, Centre for the Analysis and Dissemination of
343–344 Demonstrated Energy Technologies
Auto-regressive moving-average exogenous (CADDET), 18
(ARMAX) models, 29 Certainty equivalence principle, 108
Auto-tuning of spray drying process, 112–113 Chardin P. T., 6
Average Linkage Method (ALM), 7 Charge-coupled device (CCD), 256
Average moisture content/temperature Chewiness, 263
application, 314–316, 315f, 316f Clark A., 8
MW, feedback control, 310 Classification problem, supervised learning, 7
nonlinear controller design, 313 Closed-loop behaviour
open-loop behaviour, 311–313, 312f MIMO, 414f, 415f
porous solid material, 310–311 SISO, 411f, 412f
state linearisation/transformation, 313–314 Closed-loop/feedback control, 58, 58f
Azadeh A., 147t, 149, 163, 165t Clustering techniques, 199
Azimov I., 8 CMOS (complementary metal-oxide
semiconductor), 256
COG (center of gravity), 130
B Cohesiveness, food texture, 263
Babbage C., 3 Communication protocol, 19
Babbage’s “eating its tail,” 4–5, 7 Complementary metal-oxide semiconductor
Backpropagation (BP) algorithm, 150, 160 (CMOS), 256
Bang-bang control, 79, 99–100 Complement operator, fuzzy set, 128
Barometric temperature measurement Composition relations, 129
(BTM), 370 Computer-aided control in drying
Batch-wise drying, 75 biomimetic sensors, 15
Bayesian approach, 30–31 computer interface, 19
to parameter estimation, 39–41 computer vision, 15–16
Bayesian information criterion (BIC), 31, 39 control applications software, 19–21
Bayesian modeling, 205–207, 206f control/automation, 17
Bayes rule, 40 drying environment control, 18
Bellman R., 204 future trends, 23–24
BFGS (Broyden-Fletcher-Goldfarb-Shanno) ginseng drying, 21–23
algorithm, 69 product under drying control, 18–19
BIC (Bayesian information criterion), 31, 39 sensors/instrumentation, 13–14
Binary classification, 191 spectroscopy, 16–17
Biomimetic sensors, 15 Computer interface, 19
Biot number, 306 Computer memory, 6
Black-box approach, 357, 428 Computer vision, 15–16
Black-box/data-driven models, 269 Constrained optimization methods, 72
Box-Behnken design, 67 Control applications software, 19–21
BP (backpropagation) algorithm, 150, 160 Control/automation, drying, 17
Bremner H., 133t, 134t, 136, 139t, 142 Controlled nucleation, 367
Browning categories, 137 Controlled variables, 54
Brown R. B., 140t, 144 Controller design
Broyden-Fletcher-Goldfarb-Shanno (BFGS) decoupling, 413–415
algorithm, 69 fluidized bed drying, 407
BTM (barometric temperature LQR, 420–422
measurement), 370 MIMO PI controller, 415–417
Index 447
output behaviour, 418f, 419f, 420f, 421f DNC (differentiable neural computer), 202, 202f
pole placement, 417–420 DoE (Design of experiments), 67
process model, 407–410 DPE (dynamic parameters estimation)
SISO design, 410–413 algorithm, 387
Controllers, 75 DPE+ tool, 391
Control strategies Drivers, 19
closed-loop multi-point dynamic control DrycontrolTM control system, 18
method, 390 Drying behavior characterization
freeze-drying process, 380–385 air-dried apple, 237–241
LyoDriver, 381–383 drying curve, 236
MPC, 384 Drying environment control, 18
secondary drying, 385f Drying kinetic models, 286
soft sensor, 390f Drying models identification, 176–177
Control variables, 68 Drying process, 155–156, 336, 337f
Conventional control loop, 106–107 ANNs in, 163, 164t–168t, 169
Conveyor-belt drying control, 181–187
closed-loop response, 438f, 439f fluidized bed, 181–184, 182f
counterbalancing, 428 optimization, 178–181
feedback control, 430–439 real-time monitoring/control, 170f
MIMO, open-loop, 436f Drying rate, 77
multi-objective optimisation problem, Drying technology applications, 73
429–430 Dynamic control systems, 212
open-loop control of, 429–430 Dynamic models, 55
overview, 425–426, 426f Dynamic optimal trajectories calculation, 79–80
process modelling, 427–429 Dynamic optimization in drying, 59
solids outlet, 432f, 433f, 434f alternative calculation methods, 81–83, 81f
Convolutional NN, 196–198, 197f basic formulation, 77
Co-states, 79 calculation of, 79–80
Cramér-Rao inequality, 37 illustration of, 85–95
Critical quality attributes (CQAs), 367 literature, 95–97
Crossover, 174 mathematics of, 77–79
Cycle development and scale-up, 392 model requirements, 84–85
optimization algorithms, 83
D spatial control, 83–84
Dynamic parameters estimation (DPE)
Davidon-Fletcher-Powell (DFP), 69 algorithm, 387
Davidson V. J., 133t, 136, 140t, 143 Dynamics, 54
Decision tree, 193 DYNOPT code, 82
Decision variables, optimisation, 268
Deductive reasoning, 6 E
Deep convolutional network, 198, 198f
Deep learning, 190, 206 Early-lumping approach, 318
convolutional NN, 196–198, 197f Electromagnetic radiation, 306
representational learning in, 194–196 Electrostatic sensors (ES), 16–17
unsupervised learning and generative EM algorithm, 199
models, 199–200 EMC (equilibrium moisture content), 341, 353
Defuzzifying, 126 Energy consumption of hybrid
Design of experiments (DoE), 67 drying, 266–268
Deterministic models, 268–269 Energy-efficient drying of tea, 85–90, 88f, 89f
Deterministic optimization techniques, 33–34 Enumeration methods, 173
DFP (Davidon-Fletcher-Powell), 69 Enzymatic activity, 178, 179f
Differentiable neural computer (DNC), Enzymatic browning, 215–216, 233
202, 202f Equilibrium moisture content (EMC), 341, 353
Diffusivity, 42 Error-backpropagation, 195
Digit recognition, 191 ES (Electrostatic sensors), 16–17
Direct search techniques, 68 Ethical implications, machine intelligence, 8–9
Disturbance attenuation/rejection, 54 Euler-Euler approach, 353
448 Index
F Yan, 140t, 143

Yliniemi, 140t, 142–143
Feasible parameters, 65 Zhang, 138, 139t, 142
Feedback/closed-loop control, 358 Fluidized bed drying
Feedback controllers controller design, 407–422
LQR, 420–422 mathematical model, 181–184, 182f
MIMO PI, 415–417 modelling, 405–407
pole placement, 417–420 open-loop behaviour, 408, 408f, 409f
Feedback control system, 103–105 overview, 403–405
average moisture content/temperature, process control, 405
310–316 range of existence, 405
closed-loop profile, 330f, 331f single-stage, 404f
kinetic parameter, 309 FMVCS (fuzzy-machine vision control system),
modelling, 308–310 273, 274f
MW drying process, 305–331 Food drying in fluidized bed, 42–43
open-loop behaviour, 328, 328f, 329f Bayesian parameter estimation, 47–48
parameters, 327t confidence intervals determining, 44–47
spatial average, 309 least squares estimation of parameters, 43–44
spatial resolution, 309 in silico, 43
temperature distributions, 316–325 structural identifiability checking, 44
Feedback law, 320 Fourier transform (FFT), 264
Feedback network, 158 Freeze-drying process, 367
Feed flow (spray), 362 control strategies, 380–385
Feedforward network, 158 open- and closed-loop control, 369–374
FFT (fast Fourier transform), 264 operating conditions, 369
File Transfer Protocol (FTP), 19 product temperature, 369
Filev D. M., 132, 133t Freezing, 367
Filter bank, 198 Freire F. B., 145
Finite volume method, 319 Fruit drying based on CVSs, 253–276
First order system, MRAC of, 110–112 FTP (File Transfer Protocol), 19
Fitting performance of ANN/empirical Fuzzifying, 126
correlations, 296t, 297f, 297t, 298t, Fuzzy control, 129–131
299t, 330t Fuzzy feedback control system, 129f
FL (fuzzy logic). See Fuzzy logic (FL) Fuzzy inference action of FL, 131f
Flat prior, 47 Fuzzy logic (FL), 125–126
FLC in drying, 138–145 control in drying, 138–145
Alvarez-Lopez, 141t, 144 models in drying, 131–138
applications of, 139t–141t uncertain/imprecise information, 126
Atthajariyakul, 141t, 144 Fuzzy logic control (FLC), 142, 272
Bremner, 139t, 142 Fuzzy-machine vision control system (FMVCS),
Brown, 140t, 144 273, 274f
Cammarata, 140t, 142–143 Fuzzy models by
Davidson, 140t, 143 Abakarov, 134t, 137–138
Freire, 145 applications of, 133t–135t
Ioannou, 141t, 144 Bremner, 133t, 134t, 136
Leephakpreeda, 141t, 144 Davidson, 133t, 136
Litchfield, 138, 139t, 142 Filev, 132, 133t
Liu, 140t, 144 Georgieva, 134t, 137
Mansor, 141t, 144 Ioannou, 134t, 137
Perrot, 140t, 143 Jafari, 135t, 138
Postlethwaite, 139t, 142 Koskinen, 134t, 137
Raghavan, 141t, 144–145 Li, 135t, 138
Stawczyk, 144 Litchfield, 132, 133t
Taprantzis, 139t, 142 Perrot, 134t, 136–137
Thyagarajan, 140t, 143 Postlethwaite, 133t, 134t, 136
Vasquez, 141t, 145 Smith, 133t, 136
Watano, 139t, 142 Sosnin, 135t, 138
Index 449
Trystram, 133t, 136 H

Wang, 135t, 138
Whitnell, 132, 133t, 136 HAD (hot air drying), 255, 273
Zhang, 132, 133t Hamiltonian function, 78
Zhao, 134t, 137 Hardness, food texture, 263
Fuzzy/neural control, GA for, 186–187 Heat flux measurement, 391–392
Fuzzy relations, 128–129 Heat sensitivity of plant materials
enzymatic/nonenzymatic
browning, 215–216
G nutritional value/associated color
GA (genetic algorithm). See Genetic changes, 213
algorithm (GA) physical/physico-chemical changes, 213–215
Gain-scheduling control scheme, 105–106, 106f Henderson equation, 341
Galzina V., 146, 147t HID (hot air-infrared drying), 255, 273
GANs (generative adversarial networks), Higher heating value (HHV), 294–295, 295f
199, 200f Hot air drying (HAD), 255, 273
Gated recurrent unit (GRU), 202 Hot air-infrared drying (HID), 255, 273
Gated RNNs, 202, 202f HTTP (Hypertext Transfer Protocol), 19
Generative adversarial networks (GANs), Hybrid drying, 265–268
199, 200f Hybrid neural-mathematical model,
Generative models, unsupervised 160–161, 161f
learning and, 199 Hyperspectral imaging, 16
Genetic algorithm (GA), 83, 149, 173, 270 Hypertext Transfer Protocol (HTTP), 19
-based tuning, PID controller and,
184–186, 186f I
chromosomes, 174
crossover, 174 ICMP (Internet Control Message Protocol), 19
drying models identification, 176–177 Identifiability, 34–37
drying process control, 181–187 Illustration of dynamic optimization in drying,
for fuzzy/neural control, 186–187 85–95
for identification/control, 174–175 Image acquisition, 256–258
for modeling/control, 173–187 ImageNet, 196
mutation, 174 Image recognition, 195, 197
operations, 175f Image texture, 264
optimization, drying process, 178–181 Inductive reasoning, 6
overview, 173–174 Informal imprecision, 126
PID controller and, 184–186, 186f Infrared drying process, 179–180, 179f
scheme, 174, 175f In-line control approaches, 386–389
with traditional optimization, 176, 177f Input–output models, 55
Genetic fuzzy system (GFS), 272 Instrumentation, 13–14, 14f
Georgieva O., 134t, 137 Integral square error (ISE), 375
Ginseng drying, computer-aided control, Intelligent control
21–23, 23f in drying, 97–98
GLCM (grey-level co-occurrence matrices), 264 of fruit drying using CVSs, 253–276
GLH (grey-level histograms), 264 structure, product quality, 17f
GLRM (grey-level run-length matrices), 264 Intelligent controllers, 441–442
GM (growing-and-merging), 258 Intelligent integrated control, 270–271
Go (game), 203 fuzzy logic controller, 272–276
Good old-fashioned AI (GOFAI), 190 MV, 271
Gradient-type methods, 69–70 Intelligent observers, 441
Grain dryers, 335 Intelligent real-time control, 271
Gray-box approach/models, 160, 169 Internet Control Message Protocol (ICMP), 19
Grey-level co-occurrence matrices (GLCM), 264 Inter-phase coupling, 169
Grey-level histograms (GLH), 264 Intersection operation, 128, 128f
Grey-level run-length matrices (GLRM), 264 Inverse problem, general formulation of, 32–34
Growing-and-merging (GM), 258 Ioannou I., 134t, 137, 141t, 144
GRU (gated recurrent unit), 202 ISE (integral square error), 375
450 Index
J M
Jacquard loom, 3, 4f, 8 Machine intelligence, 5
Jafari S., 135t, 138 ethical implications, 8–9
Jumah R. Y., 146, 147t evolution, 6
societal implications, 8
K Machine learning, 7, 190
AI and, 189–191
Kalman filter algorithm, 377 for classification, 191–194, 191f, 193f
Kalman filtering techniques, 41 process, 442
Kinetic drying models, 286t Machine reasoning, 6–7
Kinetic parameter models, 309 Machine vision (MV), 23, 271
Kiralakis L., 146, 147t, 149 Machine vision control system (MVCS), 271
Köni M., 147t, 149, 165t, 172 Magnetic resonance imaging (MRI), 256
Koskinen J., 134t, 137 Mamdani method, 130
Manipulated variables, 54
L Mansor H., 141t, 144
MAP (maximum a posteriori), 40, 207
Lab-scale dryer, 359 Markov Chain Monte Carlo (MCMC), 40
LabVIEW, 20, 21f Mass/energy balances, 352
Lagrange multiplier technique, 72 Mathematical modeling/model development, 28, 28f
Lagrangian, 72 Mathematics of dynamic optimization, 77–79
Lambert’s law, 318 MATLAB software, drying control, 19–20
Late-lumping approach, 318 Maximum a posteriori (MAP), 40, 207
LE (linguistic equation) approach, 137 Maximum likelihood estimation (MLE), 207
Learning, machine, 7 Maxwell’s equations, 318
Least squares (LS) algorithm, 150 MCMC (Markov Chain Monte Carlo), 40
Leephakpreeda T., 141t, 144 Mean square error (MSE), 146
Light-emitting diode (LED), 257 Measured variables/outputs, 54
Li J., 135t, 138 Membership function (MF), 127, 127f
Linear Luenberger observer, 320 Menthol, 285
Linear-quadratic optimal control, 59 Microscopic mass, 340
Linear quadratic regulator (LQR), 319, Microwave (MW), 336
420–422 dielectric spectroscopy, 16
Linear sensors sensitivity, 13 power property, 342
Linear systems, 55 structure, 343f
Linear time-invariant (LTI) state-space vacuum drying system, 339
model, 319 Milk drying in spouted bed, 289–294
Linguistic equation (LE) approach, 137 MIMO (multiple-input multiple-output)
Linguistic imprecision, 126 process, 410
Litchfield R. J., 132, 133t, 138, 139t, 142 MLE (maximum likelihood estimation), 207
Liu H., 140t, 144 MLP (multilayer perceptron), 158, 193
Local/global optima of function, 65f MLP ANN structure, 158, 159f
Locally structural identifiable, 35 Model-based control, 53–60
Long short-term memory (LSTM), 202, 202f Model discrimination, 38–39
Loss factor, general dependency, 308, 308f Model predictive control (MPC), 59–60, 60f,
Lovelace A., 3 97, 383
Low-power ultrasound (LPU), 16 Model reference adaptive control (MRAC),
LQR (linear quadratic regulator), 319, 420–422 106–107, 107f
LS (least squares) algorithm, 150 Model structures, static optimization, 66–68
LS methods, 68–69 Moisture ratio (MR), 273, 308
LSTM (long short-term memory), 202, 202f Monitoring of quality with CVSs
LTI (linear time-invariant) state-space colour, 261–263
model, 319 image acquisition, 256–258
Lumped parameter model, 217 image processing, 258–260
Lutfy O. F., 147t, 148t, 149 morphological, 260–261
LyoDriver, 381–383 texture, 263–265
Index 451
Monte-Carlo-based sampling approach, 38 Off-line/in-line approaches, 392–394, 394t

Morphological features of image, 260–261 Online estimation, 41–42
MPC (Model predictive control), 59–60, 60f, Open-/closed-loop control
97, 383 BTM, 370
MR (moisture ratio), 273, 308 control-loop applications, 372
MRAC (model reference adaptive control), FDA, 373
106–107, 107f LyoDriver, 381–383, 381f
MRI (magnetic resonance imaging), 256 modern closed-loop control, 369–370
MSE (mean square error), 146 optimal cycle parameters, 372
Mujumdar A. S., 146, 147t PAT, 373
Multilayer perceptron (MLP), 158, 193 primary drying, 369
Multi-objective optimisation problem, 354 secondary drying, 371
Multiple-input multiple-output (MIMO) TDLAS, 371
process, 410 Open-loop control
Murphy K., 191 of conveyor-belt drying, 429–430
Mutation, 174 and optimisation, applications of,
MV (Machine vision), 23, 271 354–357, 355f
MVCS (machine vision control system), 271 principle, 57, 57f
Operations on fuzzy sets, 128
N Optimal ANN model
determination, 162
Near-infrared reflectance (NIR) spectroscopy, 16 selection and validation, 162–163
Nelder-Mead simplex algorithm, 34 Optimal control, 59
Neural network (NN), 23, 138 Optimal experimental design (OED), 37
Neural Turing machine (NTM), 202 Optimality, 64
Newton method versus gradient descent Optimal trajectories
method, 71t control vector parametrization, 82f
Newton-type methods, 69 input calculation, 80f
NIR (Near-infrared reflectance) spectroscopy, 16 Optimisation, 268–270
NMPC (nonlinear model-predictive Optimization algorithms, 83
control), 361 OR operator, 128
NN (neural network), 23, 138 Overdrying, 344
No free lunch theorem, 194
Nonenzymatic browning, 215–216, 233 P
Noninvasive, sensor characteristics, 13
Nonlinear model-predictive control Parameter uncertainty determining
(NMPC), 361 methods, 37–38
Nonlinear sensors sensitivity, 13 Partial least squares (PLS), 149, 356
Nonuniformity batch, 389–391 Pascal B., 5
NTM (neural Turing machine), 202 PAT (process analytical technology), 373
Nuclear magnetic resonance (NMR), 16 PCA (Principal Component Analysis), 7
Nutritional value/associated color changes, heat Percentile, 38
sensitivity Perrot N., 134t, 136–137, 140t, 143
aromatic components, 214–215 Pharmaceutical industry
phenolic compounds, 214 cycle development, 386
proteins, 214 DPE algorithm, 391
sugars, 214 in-line control approaches, 386–389
thermal degradation of pigments, 215 optimal drying cycle, 386
vitamins, 213–214 process control, 385
PRT-based methods, 390
O soft sensor, control system, 390f
Phenolic compounds, 214
Objective function, optimisation, 268 The Phenomenon of Man (book), 6
Observability, 57 PID (proportional-integral-derivative), 18
Observer, computer-aided systems, 17 Piecewise constant/linear approximation, 82
Occam’s razor, 31 Pigments stability versus sustained heat
OED (optimal experimental design), 37 treatment, 215t
452 Index
Plackett-Burman design, 67 R
Plant biomaterials, 216
PLC (programmable logic controller), 7, 12 Radiative heating, 368
PLS (partial least squares), 149, 356 Raghavan G., 141t, 144–145
Polarisation, 307 Random error, 13
Polyphenol oxidase (PPO), 212, 233, 261 Random forest classifier (RFC), 193
Polysaccharides crystallization, 213 Reasoning, machine, 6–7
POP (Post Office Protocol), 19 Rectified linear unit (RELU), 195
Pore network simulation, 310, 310f Recurrent ANN, 159, 159f, 171
Postlethwaite B., 133t, 134t, 136, 139t, 142 Recurrent neural networks (RNNs), 200
Post Office Protocol (POP), 19 gated, 202
Power LED lighting lamp in HID, 257f sequence processing, 201f
Practical identifiability analysis, 30 temporal processing with, 200–202
Predictive control, 59 unfolding, 201f
Pressure rise test (PRT), 370 Recursion concept, 4, 4f
Principal Component Analysis (PCA), 7 Region of interest (ROI), 258
Probability theory method, 205 Regression problem, supervised learning, 7
Process analytical technology (PAT), 373 Reinforcement learning (RL), 203–204
Process deviations, 270 Relative humidity, 342
Process dynamics, 54 Relay-feedback method, 109–110, 110f
Process level, computer control, 12 RELU (rectified linear unit), 195
Process models, 55 Response surface methodology (RSM), 59,
Process monitoring, computer control, 12 66–67, 268, 354–355, 429
Process-related information, 15 RFC (random forest classifier), 193
Production level, computer control, 12 Risks minimization, 53
Product-related attribute, 15 RL (Reinforcement learning),
Product temperature measurement/control, 217 203–204
color changes, 221–222 RMSE (root-mean-square error), 138
drying kinetics/temperature development, RNNs (recurrent neural networks). See Recurrent
218–221, 218f, 219f, 220f neural networks (RNNs)
process control impact on resulting product Robust control, 58
quality, 221–222, 222f Robustness, 54
shrinkage, 223, 223f ROI (region of interest), 258
technological implementation, 225–226 Root-mean-square error (RMSE), 138
temperature changes based on phase RSM (response surface methodology), 59, 66–67,
transition, 224–225, 224f, 225f 354–355, 429
Product under drying control, 18–19
Programmable logic controller S
(PLC), 7, 12
Proportional-integral-derivative (PID), 18 Šarić T., 146, 147t
Proteins, 214 Scale up/implementation, 245–248
PRT (pressure rise test), 370 Selectivity, 13
Pseudo wet-bulb temperature, 242 Self-Organising Maps (SOM), 7
Self-tuning regulator (STR), 107–108, 108f
Self-tuning state-feedback control for paperboard
Q machine, 117–120
Sensitivity, 13
Quality changes during drying Sensors, 13
color changes, 233 Shortest processing time (SPT), 268
cumulated thermal load, 234–236 Simple Mail Transfer Protocol (SMTP), 19
shrinkage, 233–234 Simplified NN structure, 288f
Quality characteristics of dried products Simulink package, 20
color changing mechanisms, 216 Single-input single-output (SISO)
shrinkage behavior, 216–217 processes, 410
Quality/energy, combined optimization of, Single-layer feedforward ANN, 158, 158f
90–95, 91t, 92f, 93f, 94f Singular value decomposition (SVD), 69
Index 453
SISO (single-input single-output) T

processes, 410
SM (splitting-and-merging), 258 Takagi-Sugeno (TS)
Smith K., 133t, 136 fuzzy model, 137
Smith predictor control scheme, 114, 114f method, 130
SMTP (Simple Mail Transfer Protocol), 19 Tapped delay line, 200–201
Societal implications, machine intelligence, 8 Taprantzis A., 139t, 142
Soft-sensor, 376–377 TCP (Transmission Control Protocol), 19
Soft (software) sensors, 13 t-distributed stochastic neighbor embedding
SOM (Self-Organising Maps), 7 (t-SNE), 199
Sosnin K., 135t, 138 Temperature conductivity, 318
Spatial average models, 309 Temperature distributions
Spatial control, 83–84 Luenberger observer, 321
Spatial resolution models, 309 manipulated variables, 323f, 325f
Spectral power density, 264 microwave drying, feedback control,
Spectroscopy, 16–17 316, 317f
Splitting-and-merging (SM), 258 nonlinear thermal treatment process, 322f
Spouted bed thermally thin, 317
with inert particles, 290f thermal treatment, 316
milk drying, data flow chart in, 292f Temperature Remote Interrogation System
Spray drying, 349 (TEMPRIS), 374
design, 350–351, 350f Texture profile analysis (TPA), 263
evolution of droplet, 349, 350f Thermal degradation of pigments, 215
four-stage setup, 361f Thermal drying, 305
process modelling, 352–354 Thermodynamic lyophilization control, 387
RSM, 355 Thin-layer drying kinetics of mint
Spray layering process, 403–404 branches, 285–287
Springiness index, 263 Three-layer NN, 283f
SPT (shortest processing time), 268 Thyagarajan T., 140t, 143
Stability, 54 TPA (texture profile analysis), 263
Standard machine learning methods, 196 Traditional optimization, 176
State controllability/observability, 56 Transmission Control Protocol (TCP), 19
State-space models, 55 Trial-and-error method, 162
State stability, 56 Trystram G., 133t, 136
Static optimization, drying processes control t-SNE (t-distributed stochastic neighbor
by, 63–64 embedding), 199
constrained optimization methods, 72 Turing A., 6
model structures, 66–68 Two-dimensional convolution, 197, 197f
unconstrained optimization Two-dimensional shrinkage, 223
methods, 68–71 Two-point-boundary-value-problem, 79–80
Static optimization in closed-loop, 59
Statistical imprecision, 126 U
Stawczyk J., 144
Stochastic optimization algorithms, 34 Uncertain/imprecise information, FL, 126
STR (self-tuning regulator), 107–108, 108f Unconstrained optimization methods, 68–71
Structural identifiability, 37 Uncontrollable process, 56
Structurally identifiable analysis, 30 Unsupervised learning, 7, 196
Sugars, 214
Supervised learning, 7 V
Supervised training method, 157
Support vector machine (SVM), 192, 192f Value function/Q-function, 203
in industrial application, 193 Vanishing gradients, 195
optimization in, 192 Vapor pressure, 342
Support Vector Regression (SVR), 138 Vasquez J., 141t, 145
Systematic error, 13 Vicinal diketone (VDK), 132, 136
Systems identification, 28 Virgen-Navarro L., 148t, 150
454 Index
Vitamins, 213–214 WLS (weighted least squares), 33

Volume shrinkage, 260 Wolpert D., 194
Volumetric heat generation, 336–337 Wu J., 148t, 150
Y
W
Yan G., 140t, 143
Wang X., 135t, 138 Yliniemi L., 140t, 142–143, 146, 147t
Watano S., 139t, 142
Wavelet textural analysis, 264 Z
Weighted least squares (WLS), 33
While shrinkage during drying, 234 Zhang Q., 132, 133t, 138, 139t, 142, 148t, 149
White-box modeling approach, 29 Zhao C., 134t, 137
White-box models, 268–269, 428 Ziegler-Nichols self-oscillating method,
Whitnell G., 132, 133t, 136 109–110

Intelligent Control in Drying

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Intelligent Control in Drying

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ADVANCES IN DRYING SCIENCE AND TECHNOLOGY

© 2019 by Taylor & Francis Group, LLC

No claim to original U.S. Government works

Printed on acid-free paper

International Standard Book Number-13: 978-1-4987-3275-8 (Hardback)

Library of Congress Cataloging‑in‑Publication Data

Names: Martynenko, Alex, editor. | Bück, Andreas, editor.

Visit the Taylor & Francis Web site at

and the CRC Press Web site at

Section i Basics of intelligent control

Chapter 1 The History of Intelligent Machines .................................................... 3

Chapter 2 Computer-Aided Control in Drying ................................................... 11

Chapter 3 Parameter Estimation ......................................................................... 27

Chapter 4 Model-Based Control: Open-Loop, Feedback, Optimal,

Chapter 5 Control of Drying Processes by Static Optimization ......................... 63

Chapter 6 Dynamic Optimization in Drying ...................................................... 75

Chapter 7 Adaptive Control .............................................................................. 103

Chapter 8 Fuzzy Logic Control in Drying ........................................................ 125

Chapter 9 Artificial Neural Network-Based Modeling and Controlling

Chapter 10 Genetic Algorithms for Modeling and Control of Drying

Chapter 12 Automatic Control of Apple Drying with Respect to Product

Chapter 13 Quality Optimized Apple Drying Using a Novel Reference

Chapter 14 Intelligent Control of Fruit Drying Based on Computer Vision

Chapter 15 An Overview on Neural Networks in Physical Properties

Chapter 16 Feedback Control of Microwave Drying .......................................... 305

Chapter 17 Automatic Control of Microwave Dryers ......................................... 335

Chapter 18 Control of Spray Drying Processes .................................................. 349

Chapter 19 Advanced Control in Freeze-Drying ................................................ 367

Chapter 20 Feedback Control of Fluidised Bed Drying .....................................403

Chapter 21 Control of Conveyor-Belt Drying ....................................................... 425

Chapter 22 What Is the Future of Intelligent Systems in Drying? ..................... 441

Chapter 1 introduces to readers to the history and art of intelligent machines

energy consumption allowed for improvement of hybrid (hot air-infrared) drying by

Chapter 20 provides an overview of control problems in fluidized bed drying.

Andreas Bück holds a Doktoringenieur (PhD) in chemical engineering and a

Anton J.B. van Boxtel José Teixeira Freire

Andreas Bück Mohamed Hemis

Robert Dürr Soleiman Hosseinpour

Maria do Carmo Ferreira Alex Martynenko

Arun S. Mujumdar Vijaya G.S. Raghavan

Stefan Palis Anna-Maria Nuñez Vega

Roberto Pisano Dennis G. Watson

FIGURE 1.2 The concept of recursion. (Drawing Hands, courtesy of M. C. Escher.)

1.1 WHAT MAKES MACHINES INTELLIGENT?

1.2 THE EVOLUTION OF MACHINE INTELLIGENCE

1.3 MACHINE REASONING

1.4 MACHINE LEARNING

1.5 SOCIETAL IMPLICATIONS OF INTELLIGENT MACHINES

1.6 ETHICAL IMPLICATIONS OF INTELLIGENT MACHINES

Computer-aided control is becoming popular in the food industry because of the

Apparatus level: Control of drying conditions (temperature, humidity, airflow,

Process level: Computers are required for mathematical modeling, process

2.1 SENSORS AND INSTRUMENTATION

2.2 BIOMIMETIC SENSORS

2.3 COMPUTER VISION

Probably, it can be explained by the interdisciplinary nature of this research,

composition, and other physicochemical properties. This technique is mostly used

2.5 CONTROL AND AUTOMATION

Computer-aided system Drying process

FIGURE 2.2 The structure of intelligent control, focused on product quality.

2.6 CONTROL OF DRYING ENVIRONMENT

2.7 CONTROL OF PRODUCT UNDER DRYING

2.8 COMPUTER INTERFACE

2.9 SOFTWARE FOR CONTROL APPLICATIONS

Φ Exp (θ, t ) = Φ Mod (θ, t ) +  (0, σ2 )