Professional Documents
Culture Documents
Review
a r t i c l e
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Article history:
Received 6 March 2015
Received in revised form 6 November 2015
Accepted 7 November 2015
Available online 24 December 2015
Keywords:
Control loop performance
Industrial process
Monitoring
Fault detection
Process control
Survey
a b s t r a c t
Control loop performance monitoring (CPM) in industrial production processes is an established area
of research for which many methods to detect malfunctioning loops have been developed. However,
it is unclear which methods are successful in an industrial environment. Often, there are additional
aspects such as organizational issues, data availability and access that can compromise the use of CPM.
In this paper, we are reporting on the results of a survey amongst CPM users. The survey takes stock
of existing methods and their use in industry as well as which faults are most frequent and can be
detected. Organizational as well as implementation issues are investigated and discussed. This paper
aims to identify open research topics and the direction of development of CPM in industrial production
processes.
2015 Elsevier Ltd. All rights reserved.
Contents
1.
2.
3.
4.
5.
6.
7.
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
Survey description . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
CPM pervasiveness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
CPM methods, time trends and faults . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
4.1.
Mathematical methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
4.2.
Nature of time trends . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
4.3.
Prevalence of faults . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
CPM framework, workow and implementation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
5.1.
CPM workow . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
5.2.
CPM implementation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
Open research topics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Acknowledgements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
1. Introduction
Plants in the process industries use predominantly PID controllers to keep important process variables at their desired
setpoints. The concept of PID control was introduced to industrial
production processes in the 1930s to 1950s [1], rst on a small scale
with a few pneumatic loops per process and today on a large scale
2. Survey description
An online survey was conducted to capture the prevalence of
CPM worldwide. There is an abundance of publications on survey
methodologies for all survey purposes and groups of respondents
[13]. Many providers offer free platforms to easily format questionnaires and capture results. For this survey, the authors chose Google
forms, which is part of Google drive and does not require any software installation. In addition, the results are stored in spreadsheet
form and reports are generated automatically.
The design of the questionnaire is the most important aspect
of the survey. When putting the questions together many pitfalls
have to be avoided. For example, the questions have to be phrased
objectively and clearly in a coherent order. Non-exhaustive listings
must be avoided. To ensure a high response rate, the questions must
be meaningful and interesting [14].
To ensure the validity of the questions, interviews with industry
experts were conducted and the survey questions were discussed.
These experts were Florian Wolff at BASF, Germany, Duane Muller
at AngloAmerican, South Africa.
For this type of survey the group of respondents are limited.
The respondents were identied as lead control engineers in production companies from various industries. In order to address the
target audience, several approaches were started. First, all personal
contacts of the authors were approached. Second, what is referred
to as snowball sampling was pursued, that is, known responding
control experts were asked for referrals among their colleagues.
Thirdly, published authors in the area of CPM that now work in
industry were approached. The contact data was retrieved from
the journal article or conference proceedings. In addition, the survey was distributed in a Honeywell user group meeting and the
participants lled the results in during the meeting. All responses,
electronic or on paper, were anonymous.
In total, 69 control engineering experts in production companies
answered the survey. Fig. 1 lists the respondents by continent and
by industry. Roughly half the respondents were from Europe (33
out of 69) because the authors contact were used to send out the
questionnaire. The majority of respondents (64%) work in chemicals or oil & gas. This may be partly explained because chemical
and petrochemical companies are traditional strongholds of CPM.
It should be noted that the answers do not always add up 69 because
not all respondents answered all questions.
The respondents have various levels of experience in control
engineering, as indicated in Fig. 2. The total is about 1000 years of
control engineering experience on which the survey is based on.
Respondents were also asked how many loops are allocated for
each control expert and the results are displayed in Fig. 3. On average, a control engineer is responsible for about 450 loops. However,
www.processcontrollerperformance.com
overview of the responses.
together
with
an
3. CPM pervasiveness
the number of loops ranges from 30 to 2000. The work environment and the attention that can be paid to each loop is therefore
tremendously different depending on the plant and application. In
general, high or low numbers of loops do not correspond to certain
industries. For example, a control engineer working in a chemical
plant may be responsible for 50 loops or for 1000, depending on
the application, on company policy and on the organization.
The focus of the survey is on CPM users. Signicance testing of
such a small sample group is somewhat limited. The results are nevertheless interesting and well worth reporting because of the vast
experience of the respondents. Similar surveys conducted among
control experts had a comparable sample size [1517].
The survey results will be discussed throughout this paper.
The questionnaire is available on the following website
The organization and categorizing of CPM methods depends signicantly on the viewpoint of the CPM practitioner and expert.
For a comprehensive list of CPM methods see for example [12].
Generally, CPM methods can be grouped according to three
criteria:
1. Mathematical method or algorithm.
2. Nature of time trend analyzed.
3. Type of fault or malfunctioning addressed.
All methods can be grouped according to each category, however, some are strongly associated with a particular method (e.g.
PCA), time trend (e.g. oscillation) or fault (e.g. sluggish tuning such
as the Idle index [19]). It is often convenient to group the indices
according to their main functionality, which can be either method,
time trend or fault. For example, some indices may be referred
to as oscillation index while others may be labeled stiction
index.
The following sections present the survey results on the usefulness of methods as well as the occurrence of typical time trends
and faults.
4.1. Mathematical methods
All control experts were asked to rank certain methods according to their usefulness. The CPM methods were grouped into seven
categories to keep the time to answer the survey within a reasonable limit. The authors felt that it would neither be feasible nor
benecial to assess each method individually. The results are presented in Fig. 5 and the provided more detailed description of the
categories are given in Table 1.
Table 1
Method categories and methods that are grouped under this category.
Category
Methods
Basic statistics
Algorithmic indices
Model-based techniques
Multivariate statistics
Minimum variance techniques
Advanced statistics
Fig. 6. Time trends of process variable and controller output for common disturbances.
Fig. 7. Sample time trends of faults and their rating, how frequently they occur.
Generally, the results shown in Fig. 7 are not new control engineers in the 1990s looked for similar features in the data then as
today: Which controller outputs are at their limits, which loops are
oscillating and which are in manual control.
Somewhat surprising in Fig. 7 is that saturation is the most frequent problem. Detection of saturation is straight forward. More
intricate is the identication of the cause of saturation since this
is often an indication of actuator dimensioning but can also occur
when tuning settings are incorrect or no anti-windup algorithm is
implemented.
A similar issue is manual control which should always be investigated as it shows that there is an underlying problem with the
loop. It means that the operator, for various reasons, does not trust
the controller to do its job automatically. The root causes range
from poor tuning over interacting loops to training needs.
Tuning initiatives
Maintenance, in particular referring to valves
Simple operating changes
Control conguration changes
Several respondents stated that CPM is used before the installation of advanced control solutions to ensure that the baseline is
functioning sufciently before installing high level control.
In some organizations CPM is a formalized procedure with
weekly meetings and follow-ups. More importantly, performance
appraisal may be linked to CPM results giving monetary incentives
to staff. On the other hand, CPM is carried out on an ad-hoc basis
and adds to the already high workload of control engineers and
other plant personnel.
Very often, the loops that have been agged as poorly performing are grouped into Top X lists, that is, a list of the ve (Top 5) or
ten (Top 10) malfunctioning loops extracted. These are usually the
worst performing loops. The Top 5 loops for a process unit may be
identied and discussed in a weekly meeting between the operators and the control personnel. In the survey, the respondents were
asked which Top X list they nd most useful. The results are displayed in Fig. 12. This shows that most respondents prefer a Top 10
list which appears to be a balance between a manageable work load
and a signicant number of relevant control loops to be addressed.
An important aspect of Top X lists is to incorporate the significance of the control loop. That is, in addition to a performance
index such as the Harris index, the loops have to be assessed by
their importance in the process. For example, a loop controlling
the outside slurry feed might be performing very poorly. This will
be a known fact to the operator and control engineer. However, no
actions are taken to x the loop since the slurry feed is not critical to
the production. Thus, loops have to be ranked by their signicance
to the overall production objectives. This requires a combination
of detailed process knowledge and understanding of the control
congurations.
5.2. CPM implementation
The focus of this study is on plants with modern process control
systems (PCS) in place. There are still many plants worldwide with
old PCSs and a low level of automation. CPM requires a modern PCS
and a connected data historian since it heavily relies on the logging
of process data for most analysis methods.
The survey deliberately did not include any mentioning of particular solutions offered by CPM companies. The reasons for this are
as follows. The number of respondents is not high enough to allow
a meaningful ranking of any sort, regarding the most popular or the
best solution. Also, the solutions are not comparable enough so that
respondents can answer the questions in a meaningful way. A third
reason is that two of the authors are associated with a vendor company and may be accused of a biased view. A list of commercially
available CPM solutions and their key features can be found in [7].
From an industrial application perspective, there are two different ways of supplying the product of CPM namely as either a
product or a service. CPM as a product is when the solution is delivered as a software that is integrated with the data historian. The
software solution is used by the end user, not the CPM supplier.
CPM as a service means that regular reports are computed by a
service provider and sent to the end user. The main difference is
Fig. 14. Satisfaction with CPM tools: How satised are you with the current tools?
0 not satised, 9 completely satised.
Fig. 15. List of topics for further research and development (split between what vendors and users think).
The clear main result is that the respondents ask for better guidance
on corrective actions to be taken. This does not come as a surprise
because proper corrective action is a pre-requisite for economic
payback of the investment in CPM.
The second most important research need relates to the mentioned prioritization of control loops. A corrective action is only
relevant if the asset relating to it has a certain importance for the
overall performance or criticality of the whole plant.
The topics of training, guidance on parameter tuning, automated
data selection and graphical display relates to the implementation
of CPM methods in industrial solutions. This result of the survey
ts the current tendency to not program own CPM tools but to try
to buy commercial products or services. Commercial tools often
offer more advanced functionality for long-term monitoring, data
handling, graphical display and training material.
An interesting point is the second last statement that CPM methods relates to condition monitoring of rotating equipment. As a
matter of fact, there is a certain disconnect between CPM on the one
side and traditional condition monitoring Condition monitoring
refers to fault detection for mainly mechanical process equipment.
If applied to the same process at the same time, both are often
dealt with in different software tools that are managed by different
people. Nowadays, there is much more information available for
analysis, such as production data, condition monitoring data, operating conditions, plant parameters, etc. Such data will increasingly
be accessible also for CPM1 . Hence, methods should be developed
that make use of that data fusion. The benet of integrating different data sources should be an active eld of research. This is often
the result of recent trends referred to as data analytics and big
data.
Such gaps can be bridged by research, which brings both
technologies closer together, or by organizational structures. The
latter can be realized by specic staff that share the responsibility of both aspects in the same plant. Chemical company BASF
in Germany which were interviewed initially for the purpose of
the survey, has deployed so-call Asset Managers for each of their
plants. These asset managers connect plant data from the automation system, the maintenance management system and other ERP
data.
Other areas such as automatic, data-driven detection of stiction
behavior in process control valves has been extensively researched.
There are more than 15 different methods published already. Also,
efforts have been made to integrate them into an index-fusion in
order to increase the reliability of detection [11]. While it may be
worthwhile to further improve the reliability of existing methods,
it does not appear to be fruitful to develop yet another detection
algorithm that will outperform the existing ones.
A conclusion of the answers about further research direction
from an industrial perspective is that simple methods work best
in most cases. Simplicity is here referring to three aspects:
1. Simplicity of parameterization: Methods that need to individually be tuned, parameterized, trained etc. will most likely not
survive in the industrial CPM practice.
2. Simplicity in interpretation of the results: Methods that require
signicant training, experience of interpretation, do not resolve
ambiguities and interpretation guidelines will most likely not
survive in industrial CPM practice.
3. Simplicity in computational complexity. Even though computational power still increases, CPM is typically applied often and
1
This unlimited access to data is called Industrie 4.0 in Europe and Industrial
Internet in North-America.
7. Conclusions
This paper presented results from a survey on industrial application of CPM in the process industries. It has become evident
that there is considerable knowledge about control performance
present in many process industries. The topic of monitoring and
assessing control performance has been important in the past and
will remain to be important also in the future.
We conclude that after 25 years of intensive research there
are still relevant research questions to be solved in the area of
CPM. We will here disregard all indirect aspects such as software
implementation, usability, presentation of results, data access, and
integration into automation systems. They may lead to research
effort, however this is hardly specic for CPM application.
Staff responsible for control performance in process plants are
increasingly given more and more complex tasks so that extensive
tool support for CPM has become a standard. The application of
such tools, however is still quite heterogeneous. One reason is the
different experiences companies have gathered over the years. A
second reason is the different maturity of commercial tools, they
differ in philosophy (product versus expert tool versus service) and
in price. There is not yet any standard which methods to use and
how to present the results to the users, though attempts have been
made [21].
CPM tools are mainly needed to prioritize maintenance actions
related to deteriorated control performance. Guidance for corrective action is a vital requirement that is not yet solved sufciently
well. For this, very often simple methods seem to be sufcient. Rootcauses diagnosing is still an open problem, but, at the present state,
one can detect loop malfunctions with a good level of condence
in many situations.
One key nding is that CPM is more that the application of
numerical algorithms to plant data. Companies that successfully
apply CPM have undertaken thorough efforts to integrate CPM
into their daily plant operation and asset management. This also
includes different work procedures.
A nal question of interest is if the control performance in the
process industry has been improved during the last 25 years (or if it
would have deteriorated more without CPM). This question is difcult to answer. The companies that see value in CPM obviously seem
to apply it successfully. In those companies, it can be expected that
control is performing on a better level than earlier. There are, however, still many companies neglecting the advances in CPM such
that the industry average of non-optimal control performance can
be expected to be much lower than desirable. There is hence still
signicant potential to improve control in the process industry.
2
This comment will in the future possibly be less important when CPM calculations largely are done in the cloud. Some companies already offer the experiment
with CPM-as-a-Service where the algorithms are performed in a powerful (local or
private) cloud infrastructure.
10
Acknowledgements
The authors would like to thank Florian Wolff at BASF and Duane
Muller at Anglo American for their insight as well as Richard Salliss at Honeywell for distributing the questionnaire at a user group
meeting. This paper is a result of many discussions with senior
control practitioners and academics. We would like to thank Russ
Rhinehart, Kevin Brooks, Tom Edgar, Biao Huang, Mike Grimble and
Gerrit van der Molen for their extremely valuable contributions.
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