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Abstract
This paper addresses the synthesis and optimal design of liquidliquid extraction processes using stochastic optimization algorithms. The
main objective is to comparatively study stochastic optimization algorithms in view of speed and robustness when searching conventional as
well as complex process representations for optimal solutions. The work employs a generic representation framework that accounts for simple
as well as complex extraction process arrangements. The resulting superstructure formulations encompass all the potential configurations
and interconnections that may exist for liquidliquid extraction systems. The task of optimizing the superstructure is assigned to stochastic
optimization algorithms in the form of simulated annealing (SA), genetic algorithms (GA) and ant colony optimization (ACO). The proposed
model is applied to different separation problems involving quaternary mixtures. The liquid phase non-idealities are modeled both by highly
non-linear correlations and standard thermodynamic methods. All three algorithms have been found to address the problem with success in
terms of the quality of the solution found.
2004 Elsevier Ltd. All rights reserved.
Keywords: Liquidliquid extraction; Process synthesis; Ant colony optimization; Genetic algorithms; Simulated annealing
1. Introduction
Liquidliquid extraction is the process of separation of
a liquid mixture of components, by using a liquid solvent
which exclusively dilutes one or more components of the
initial mixture. This process is used where distillation is difficult or impossible to apply, e.g. when the components of the
mixture to be separated have very low relative volatilities,
similar boiling points, are thermo-sensitive or require a vast
amount of heat. The current methods for design of extractors
can be separated into three categories: Graphical methods,
simulation based methods and optimization based methods. Traditional graphical methods (Treybal, 1963; Wankat,
1988) address the design problem using triangular diagrams,
where the mass balances are represented by tie-lines and the
phase equilibrium by solubility curves and are thus restricted
to ternary systems. More recently, Minotti, Doherty, and
Malone (1996, 1998) proposed a geometric method where
Corresponding author. Tel.: +44-1483-689116;
fax: +44-1483-686581.
E-mail address: p.linke@surrey.ac.uk (P. Linke).
0098-1354/$ see front matter 2004 Elsevier Ltd. All rights reserved.
doi:10.1016/j.compchemeng.2004.06.008
2392
Nomenclature
Cst
Csol
Ei,c
Einp
ESF
FSF
LMC
NA
NST
PR
PS
Ri,c
RC
RSF
RESF
Rraf
SECOMP
SEST
SESF
SESP
SESS
SPi,c
SFi,c
SSi,c
x
y
(c1 , c2 , c3 , . . . , cn ) be the set of components in the system and SEST be the i stages of the system. Furthermore,
RCE1 ,c represents the recovery fraction and PRRn ,c the
purity of component c in the final stream E1 and the raffinate stream Rn , respectively. The constraints are given by
Eqs. (1)(8).
Mass balance:
FSFi Ri,c + ESFi Ei,c +
SEST
RSFi,j Ri,c
j=1
SEST
j=1
SEST
RSFj,i Rj,c
j=1
SEST
j=1
(1)
Split fractions:
FSFi +
SEST
RSFi,j = 1,
j=1
ESFi +
SEST
RESFi,j = 1,
j=1
i,j SEST, i = j
(2)
2393
SP
SPi,c SPi xi,c
SS
SSi,c SSi yi,c
Ei,c Ei yi,c = 0,
= 0,
SF
SFi,c SFi xi,c
= 0,
= 0,
i SEST, c SECOMP
(3)
2394
Mass fractions:
SECOMP
xi,c = 1,
c=1
SECOMP
c=1
SECOMP
yi,c = 1,
c=1
xi,c
= 1,
SECOMP
c=1
yi,c
= 1,
(4)
k=1
(6)
xRraf,c PRRraf,c
Purity and recovery requirements in the side products:
SESP
SP1,c RCSP,c R0,c +
SFk,c
(7)
k=1
xSP,c PRSP,c
ACO is a relatively new algorithm and is therefore critically evaluated in comparison to the well known search
meta-heuristics SA and GA. A schematic representation of
the optimization framework is presented in Fig. 2, along
with the implementation of the optimization algorithms in
view of the synthesis problem. Each randomly generated
state is simulated using the presented model equations and
then it is evaluated in terms of objective function value
and constraint violation. This existing state updates the previous solution according to the specified criteria dictated
by the optimization algorithm that is utilized. A new state
is then generated that is introduced again into the simulation stage. This procedure is repeated until the termination criteria specified by the optimization algorithm are
met.
(8)
2395
inclusive of composition dependent activity coefficients. Instead of resorting to a random initial guess, we make use
of the simple model that uses the activity coefficient at infinite dilution to provide a good initial guess which is closely
related to the thermodynamic conditions of the system and
ensures robust convergence of the detailed simulations. The
presented two stage strategy ensures that the process model
converges in short computational times without compromising on the accuracy of the simulations. The non-linear simulation models are solved using the solver proposed by Chen
and Stadther (1981).
3.2. Stochastic optimality
The stochastic optimisation methods implemented in
this work perform global searches. In contrast to deterministic optimisation methods, which converge to strict
mathematical optima, the stochastic optimisation methods
follow a probability driven search and converge a set of
stochastic experiments to a stochastic optimum that is represented by a distribution of closely fitted solutions. The
solutions obtained from the stochastic optimisation methods are independent of the initial states of the problem and
the characteristics of the distribution of solutions obtained
from a number of stochastic experiments under varying
initial conditions can provide statistical guarantees of convergence. The solutions are considered to lie within the
proximity of the globally optimal solution to the problem
if they are identical to or very closely approach the performance of the best solution found amongst all stochastic
experiments. Such a set of stochastically optimal solutions
is characterised by a narrow distribution of the performances of the individual solutions found. The concept of
stochastic optimality is demonstrated through representative
examples for all three stochastic optimisation algorithms in
Section 5.
2396
1,
Ei,j 0,
Ei,j = Ej Ei
Pij =
(9)
E
i,j
, Ei,j > 0
exp
T
where Pi,j is the acceptance probability for the transition
from state i to state j, Ei is the objective function value of
state i and T is the annealing temperature.
3.3.3. Cooling schedule
The annealing temperature T is updated by a certain
amount after a number of iterations has been completed
according to the Aarts and Van Laarhoven (1985) schedule:
1
k
ln(1
+
)
T
T k+1 = 1 +
(10)
Tk
Emax (T k )
where k represents the current temperature interval and
is a statistical cooling parameter that controls the speed of
the annealing process. We use the approximation defined by
Marcoulaki and Kokossis (1999):
(11)
where (Tk ) is the standard deviation observed over Tk and
can be evaluated by
t k
k
k 2
i=1 (
E(T ) Ei (T ))
k
(T ) =
(12)
tk 1
where tk is the number of iterations over Tk .
3.3.4. Termination criteria
The search is terminated if one of the following criteria
is met (Marcoulaki & Kokossis, 2000a).
The annealing temperature reaches a relatively small value
(freezing point).
The algorithm is unable to yield acceptable solution in 5N
consecutive moves.
The temperature gradient over three consecutive chains
remains smaller than 103 .
3.3.5. Remarks on the implementation of SA
The most important issue concerning the implementation
of SA is the decisions regarding control variables. The initial temperature value is set for 10 times the maximum expected deviation in the objective (Marcoulaki & Kokossis,
1999). The cooling parameter is set to the optimized value
proposed by Marcoulaki and Kokossis (1999). In order to
ensure that SA converges systematically to high quality designs the standard deviation in the optimal objective function is developed against the Markov chain. This procedure
0.12
GA
Crossover probability
Jump mutation probability
Creep mutation probability
Maximum number of generations
0.5
0.00250.03
0.0050.06
300
ACO
Evaporation rate (%)
Trail diffusion (%)
50
100
is demonstrated in Fig. 5 for Example 1 (see Section 5). Every point of Fig. 5 corresponds to a sample of 10 runs that
use different initial designs and different initialization seeds.
The same procedure is followed in every case in order to
define the optimum Markov chain length. Running SA for a
Markov chain length of 10 shows that the standard deviation
in the objective function is high. As the length of the chain
increases over 30 the deviation drops at 0.2%. The values of
the parameters used in SA can be found in Tables 1 and 2.
3.4. Genetic algorithms
GA is a population based method that describes a randomized evolution of a set of points in the search domain.
The algorithm has found a wide range of applications in
chemical engineering from dynamic control of processes
(Pham, 1998) to molecular design (Venkatasubramanian
et al., 1994). The GA employed in the present work is
based on the work of Caroll (1996a, 1996b), who has successfully developed and applied one such algorithm for the
Table 2
Search rigor control parameters
Example
Example
Example
Example
Example
Example
1
1
2
2
3
4
(infinite dilution)
(composition dependent)
(infinite dilution)
(composition dependent)
LMC
PS
NA
30
40
40
50
50
300
30
250
60
160
80
400
60
70
70
80
100
250
2397
2398
to identify and construct optimum solutions. Few applications of ACO to chemical engineering problems have been
reported to date, including batch scheduling (Jayaraman,
Kulkarni, Karale, & Shelokar, 2000) and dynamic optimization of chemical processes (Rajesh, Gupta, Kusumakar,
Jayaraman, & Kulkarni, 2001). ACO is a meta-heuristic inspired by the foraging behavior of real ants (Blum & Roli,
2001). The principal idea is that ants try to find the shortest
paths between food sources and their nest. While they walk
they lay down a chemical substance called pheromone. As
a result, each time, they choose to follow the paths that
contain the largest concentrations of pheromone. This collective behavior leads to the probabilistic emergence of the
minimum length of paths.
In order to apply in ACO the idea that was described
above, the term artificial ants is introduced. Every artificial ant is an agent that has certain characteristics (Dorigo,
Maniezzo & Colorni, 1996):
it chooses its destination with a probability that is a function of the pheromone value of the destination,
it is forced to make only moves to regions that it has not
visited before,
after every iteration is completed it lays an amount of
pheromone that is a function of the improvement of the
fitness of the solution.
The ants make individual probabilistic choices and they
co-operate with each other by using pheromone trails to
focus on local search. By introducing trail diffusion it is
possible to generate new regions out of the existing ones,
thus adding a global character to the search. Fig. 10 shows
a logical flow diagram of ACO.
3.5.1. Initializing pheromone trails
Various randomly generated values are the initial sets of
trial solutions. Each one of these sets will be called a region.
The regions are sorted according to fitness and stored in Tabu
lists (Glover, 1989, 1990). In the beginning of the search, the
pheromone values are initialized to the same small numerical
values calculated according to Gambardella, Taillard, and
Dorigo (1999):
0 =
1
C
(14)
(15)
(1999):
i (t + 1) =
2399
otherwise
(17)
k
j=1
i
(18)
(19)
current position of the ant and the new region. The ant can
either choose a random direction or even choose to move
towards a direction that has previously improved the fitness.
For continuous variables the short distance hopped by an ant
between two regions is a time dependent random variable
defined by Bonabeau, Dorigo, and Theraulaz (1999):
c
(16)
2400
Table 3
Use of standard deviation as termination criterion in ACO
Iterations/cycle
Maximum number of cycles
Optimum objective function ($/year)
Standard deviation (%)
CPU time (s)
CPU time/iteration (s)
Average stagnation (occurrences/run)
10
30
1460876
0.04
522
1.76
20
deviation in the objective function as our termination criterion instead of the maximum number of cycles. Although
the mechanisms of trail diffusion and trail evaporation prohibit the ants from moving towards the same regions, eventually the amount of pheromone accumulated in regions steers
convergence towards the optimum solution. The algorithm
terminates if the standard deviation of the objective function
in the current iteration reaches a user defined small value,
suggesting that any further moves of the ants are unable to
noticeably improve the solution. The presented criteria are
validated for Example 1(see Section 5) by allowing 30 cycles per run for a total of 10 runs. The results presented in
Table 3 reveal that the criterion assigned to deal with stagnation behavior can save in this example a maximum of 46%
of the required cpu time. Using standard deviation as a termination criterion, in combination with the criterion used to
tackle stagnation behavior, has reduced the computational
time by 86% without compromising the quality of the obtained solution.
The number of ants is a significant algorithmic parameter.
The use of too many ants could easily result to suboptimal designs and early convergence due to reinforcement
of suboptimal trails. On the other hand too few ants would
not produce the expected synergistic effects of cooperation due to pheromone decay (Bonabeau et al., 1999).
Fig. 11 shows that for a difference between regions and
ants greater than 20 the standard deviation starts increasing.
We develop the standard deviation of the objective function
against the number of ants in order to ensure converged
2401
5. Illustrative examples
Table 4
Components used in examples
Component 1 (diluent)
Component 2 (solute a)
Component 3 (solvent)
Component 4 (solute b)
Examples 1 and
2 (system 1)
Examples 3 and
4 (system 2)
n-Heptane
o-Xylene
Propylene
carbonate
Toluene
Water
Acetone
Chloroform
Acetic acid
4. Objective function
In the presented examples, we minimize the total annualized cost of equipment and utilities according to the following objective function (Reyes-Labarta & Grossmann, 2001):
min OF = Einp Csol +
SEST
NSTi Cst
(20)
i=1
Table 5
Computational results for Examples 1 and 2
Infinite dilution activity coefficients
SA
GA
ACO
SA
GA
ACO
Example 1
Total cost ($/year)
CPU time (s)
St. dev. (%)
1459999
269
0.004
1459262
157
0.18
1460725
88
0.05
1054846
2120
0.004
1055800
4274
0.047
1055013
1251
0.02
Example 2
Total cost ($/year)
CPU time (s)
St. dev. (%)
1459739
295
0.03
1460977
1211
0.03
1460592
181
0.05
1054984
2999
0.017
1060085
6005
0.23
1054891
1121
0.007
2402
Table 6
Optimization results for Examples 1 and 2
Infinite dilution activity coefficients
Example 1
Number of stages
Solvent flowrate (kg/h)
Recovery of o-xylene
Recovery of toluene
Purity of o-xylene
Purity of toluene
Example 2
Number of stages
Solvent flowrate (kg/h)
Recovery of o-xylene
Recovery of toluene
Purity of o-xylene
Purity of toluene
SA
GA
ACO
SA
GA
ACO
11
167.19
0.96
0.99
0.030
0.00003
11
167.10
0.96
0.99
0.030
0.00003
11
167.27
0.96
0.99
0.030
0.00003
15
113.41
0.99
0.99
0.0031
0.00084
16
112.78
0.99
0.99
0.0034
0.0009
15
113.43
0.99
0.99
0.003
0.0009
11
167.15
0.96
0.99
0.030
0.00003
11
167.48
0.96
0.99
0.030
0.00004
11
167.26
0.96
0.99
0.031
0.00002
15
113.42
0.99
0.99
0.003
0.0009
15
114.45
0.99
0.99
0.0029
0.0009
15
113.42
0.99
0.99
0.003
0.0009
this superstructure results in the selection of a simple countercurrent extractor (Table 6), indicating that the addition
of recycle and/or bypass does not improve the separation.
For the case of use of infinite dilution activity coefficients,
comparing these results to the ones in Example 1 shows
that they are of equivalent computational effort and solution quality apart from the case of GA where the effort was
much higher. Although the population size was increased
in GA and ACO and the chain length in SA, in order to
tackle the increased number of variables of this problem,
GA resulted in higher computational time whereas the
other two algorithms making use of statistical termination
criteria remained in reasonable levels of computational
effort.
Using composition dependent activity coefficients the
results improve significantly as it can be seen in Tables 5
and 6, due to the accuracy of the calculations. SA and
ACO result again into simple extractor configurations,
whereas GA results into configurations that involve bypass and recycle streams that are suboptimal, thus results
are reported excluding the more complex streams. Despite
extreme computational effort put in by GA, the final objective function value is still suboptimal, possibly indicating
that the upper bound of 300 generations as a termination
criterion was not enough or that larger population sizes
are required. However, either larger population sizes or
higher number of generations would result in deterioration
of the performance of GA in terms of time, thus proving
that GA would require an extended computational effort in
order to achieve solutions of the same quality as SA and
ACO.
Example 3 (Design of two independent countercurrent extractors for system 2). The results in Table 7 show that SA
produces a superior quality result, converging quite consistently in the same objective function value. On the other
hand, GA produce a solution that is almost similar to the
one obtained by SA but the algorithm is more than three
GA
ACO
GDP
Example 3
Total cost ($/year)
CPU time (s)
St. dev. (%)
1035807
676
0.02
1036026
2223
0.13
1041888
877
0.38
1101583
1541
Example 4
Total cost ($/year)
CPU time (s)
St. dev. (%)
585451
15113
1.21
596486
7252
1.76
587908
5262
1.47
2403
Table 8
Optimization results for Examples 3 and 4
SA
GA
ACO
GDP
Example 3
Number of stages 1
Solvent flowrate 1 (kg/h)
Number of stages 2
Solvent flowrate 2 (kg/h)
Recovery of acetone
Recovery of acetic acid
Purity of acetone
Purity of acetic acid
7
70.02
7
42.10
0.950
0.391
0.010
0.126
7
70.06
7
42.10
0.951
0.391
0.010
0.126
7
70.82
7
42.05
0.956
0.401
0.010
0.121
8
81
8
37
0.995
0.393
0.010
0.126
Example 4
Number of stages
Solvent flowrate (kg/h)
Side input stream 1
Side feed 1 (kg/h)
Side input stream 2
Side feed 2 (kg/h)
Recycle/bypass (raffinate) (%)
Stream in (raffinate)
Stream out (raffinate)
Recycle/bypass (extract) (%)
Stream in (extract)
Stream out (extract)
Recovery of acetone
Recovery of acetic acid
Purity of acetone
Purity of acetic acid
11
60.14
5
40.30
4
59.70
2.0
1
7
4.0
5
4
0.973
0.298
0.01
0.162
11
61.49
4
37.34
3
62.66
4.0
7
5
6.0
8
2
0.934
0.289
0.009
0.162
9
62.54
3
32.22
2
67.78
1.5
1
4
2.0
5
3
0.959
0.256
0.01
0.169
6. Concluding remarks
In the present work, the synthesis and stochastic optimization of extraction processes was addressed. The
superstructure employed accounts for all possible configurations including recycle and bypass options, in order to
capture simple, as well as complex extraction structures.
Three stochastic algorithms are assigned the difficult task of
optimizing the randomly generated superstructure. The proposed optimization models are tested with two quaternary
systems that represent different extraction behaviors, spread
over four examples. The phase equilibrium is modeled using
both empirical correlations and a standard thermodynamic
method in the form of UNIQUAC.
Overall the results reflect the basic characteristic of
stochastic optimization tools which is their ability to suggest a distribution of different optimum scenarios, rather
than systematically converging in one solution. SA demonstrated a consistent, robust convergence in highly quality
optimum solutions for simple as well as complex extractor designs, followed closely by ACO. If the CPU time
is employed as a criterion of computational effort, then it
becomes clear from Fig. 15 how the increasing difficulty
of the problems at hand leads to increases in computational
2404
xj,4
yj,k
log
a + bk,p
k,p
yj,p
xj,2
2
xj,4
xj,4
+ ck,p
+ dk,p + ek,p
xj,2
xj,2
2
xj,4
xj,2
+ fk,p
log
xj,2
xj,1
2
xj,4
xj,4
+ gk,p + hk,p
+ ik,p
xj,2
xj,2
2
xj,2
= 0,
log
xj,1
j SEST, k, p SECOMP
/y )
log(yj,2
j,1
/y )
log(yj,3
j,4
1.08418344
1.69670841
0.54918114
10.6191185
17.4490159
6.64954207
24.810838
43.3874678
15.4583387
0.97697805
1.43680314
0.47827271
6.36524047
11.6820482
4.31160926
12.7737816
24.3262345
8.06761518
0.31539557
0.50174614
0.23025919
1.26380234
0.47501422
0.74088285
5.00508651
3.58436122
0.92388234
Table A.2
Parameters for solubility surface correlation
+ x
xj,3
j,4
A
B
C
D
0.56166692
0.7922085
638.307294
202.120475
+ x
xj,2
j,4
A
B
C
D
E
F
0.0002179
0.00181492
0.00208734
0.3966406
0.80055132
1.49226664
G
H
I
J
K
L
100.019097
74.7854131
352.362963
0.00814773
0.03665672
27,822.0805
In the case where the phase equilibrium is modeled using UNIQUAC the equation used is the following (Reid,
Prausnitz, & Polling, 1987):
(c xc ) = (c xc )
xj,3
+ xj,4
{(A Mj + B ) (xj,1
+ xj,4
)
+ (C Mj + D )} = 0
a
b
c
d
e
f
g
h
i
/y )
log(yj,2
j,3
(A.2a)
xj,2
+ xj,4
{(A Mj2 + B Mj + C)
(B.1)
3
+ xj,4
) + (D Mj2 + E Mj + F)
(xj,1
2
+ xj,4
) + (G Mj2 + H Mj + I)
(xj,1
2
+ xj,4
) + (J Mj2 + K Mj + L)} = 0
(xj,1
(A.2b)
Mj =
xj,4
+ x
xj,2
j,4
j SEST
(A.2c)
(A.3a)
yj,c
= yj,c + CC
(A.3b)
where CC is positive constant to allow the use of the binary and ternary equilibrium data in the proposed correlation (CC = 100).
Table C.1
Volume and area parameters for UNIQUAC
o-Xylene (1)
Toluene (2)
n-Heptane (3)
Propylene carbonate (4)
4.6578
3.9228
5.1742
3.2815
3.536
2.968
4.396
2.736
= 0.0
= 0.0
= 13.184
= 190.310
A2,1
A2,2
A2,3
A2,4
= 0.0
= 0.0
= 218.52
= 190.06
A3,1
A3,2
A3,3
A3,4
= 11.240
= 347.16
= 0.0
= 1266.60
A4,1
A4,2
A4,3
A4,4
= 22.100
= 22.650
= 15.667
= 0.0
Table C.3
Problem data
Feed (kg/h)
Component 1
Component 2
Component 3
Component 4
Examples 1
and 2
Input
Example 3
Example 4
Unit 1
Unit 2
Input
Side input
50
0.4
0.3
0.0
0.3
189
0.59
0.29
0.0
0.12
100
0.7
0.17
0.0
0.13
100
0.5
0.38
0.0
0.12
100
0.7
0.1
0.0
0.2
Table C.4
Recovery and purity specifications
Component
Component
Component
Component
1
2
3
4
Examples 1 and 2
Examples 3 and 4
Recovery
(%)
Purity in
raffinate
(w/w)
Recovery
(%)
Purity in
raffinate
(w/w)
90
90
0.03
0.001
90
40
0.01
0.1
complexity low a maximum of two side feed streams are allowed. Furthermore, in designs that exclude the possibility
of a side stream the total feed of 200 kg/h is considered as
a single total feed. The feed, recovery and purity specifications for all examples are reported in Tables C.3 and C.4,
respectively.
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