PSO Hybrid Intelligent Inverse Optimal Control for

an Anaerobic Process

K. J. Gurubel,
E. N. Sanchez
Automatic Control
CINVESTAV Unidad Guadalajara
Guadalajara, Mxico
E-mail: sanchez@gdl.cinvestav.mx
S. Carlos-Hernandez
Laboratorio de Revaloracin de Residuos
CINVESTAV Unidad Saltillo
Saltillo, Mxico
E-mail: salvador.carlos@cinvestav.edu.mx


Abstract This paper proposes a hybrid intelligent inverse
optimal control for trajectory tracking based on a neural
observer and fuzzy supervisor for an anaerobic digestion process,
in order to maximize methane production. A nonlinear discrete-
time recurrent high order neural observer (RHONO) is used to
estimate biomass concentration and substrate degradation in a
continuous stirred tank reactor. The control law calculates
dilution rate and bicarbonate supply, and a Takagi-Sugeno
supervisor based on the estimation of biomass, selects and applies
the most adequate control action, allowing a smooth switching
between open loop and closed loop. A Particle Swarm
Optimization (PSO) algorithm is employed to determine the
matrix P for inverse optimal control in order to improve tracking
results. The applicability of the proposed scheme is illustrated via
simulations.
KeywordsHybrid intelligent control; PSO; Anaerobic
digestion; neural observer
I. INTRODUCTION
Anaerobic digestion (AD) is one of the most adequate
processes to treat effluents with high contents of organic
wastes. The complex molecules are progressively transformed
by different bacteria populations; besides to the treated water,
a biogas mainly composed of methane and carbon dioxide is
obtained. The products of AD have added value, since they
can be used to offset treatment costs [1]: i.e, reusing and/or
recycling treated water and additionally employing biogas for
energy generation [2]-[4]. AD is a complex and sequential
process which takes place in four basic stages: hydrolysis,
acidogenesis, acetogenesis and methanogenesis [5]. Each
stage has a specific dynamics; hydrolysis, acidogenesis and
acetogenesis are fast stages in comparison with
methanogenesis, which is the slowest one; it imposes the
dynamics of the process and is considered as the limiting stage
[6]. On this paper, the AD process is developed in a
continuously stirred tank reactor (CSTR), with immobilized
biomass on a solid support, and limiting stage is modeled in
order to produce as much biogas as possible and a good
quality soil amendment. A discrete-time nonlinear
mathematical model of the process is developed in [5].
However, this bioprocess is sensitive to variations on the
operating conditions, such as pH, temperature, overloads, etc
[7]. In addition, there exist variables and parameters hard to
measure due to economical or technical constraints. Then,
estimation and control strategies are required in order to
guarantee adequate performances [8].
Methane production, biomass growth and substrate
degradation are good indicators of the biological activity
inside the reactor. Therefore, a discrete-time recurrent high
order neural observer (RHONO) for unknown nonlinear
systems in presence of external disturbances and parameter
uncertainties [9], [10] is proposed in order to estimate biomass
concentration and substrate degradation in the anaerobic
process. This neural observer is based on a discrete-time
recurrent high order neural network [11] (RHONN) trained
with an extended Kalman filter (EKF)-based algorithm, using
a parallel configuration. The training of the RHONO is
performed on-line. The variables are estimated from CH
4
and
CO
2
flow rates, which are commonly measured in this
process.
In order to control the AD model, a speed-gradient (SG)
inverse optimal neural control for trajectory tracking [12] is
considered, which is developed on the basis of the above
mentioned neural observer. The controllers determine two
control actions, bicarbonate supply (b
inc,k
) and dilution rate
(D
in,k
). A Takagi-Sugeno (TS) supervisor [13], [14] detects
activity of the process based on estimated biomass, selects and
applies the most adequate control action, allowing a smooth
switching between open loop and closed loop. The process
works in open loop in presence of small disturbances.
Particle Swarm Optimization (PSO) is an algorithm which
emulates social behavior of natural systems in which a
population of individuals exists [15]. In a particle swarm
optimizer, these individuals are evolved by cooperation and
competition among the individuals themselves through
generations. Each particle adjusts its flying according to its
own flying experience and its companions flying experience.
Each individual is named as a particle which, in fact,
represents a potential solution of the optimization problem and
travels through the search space for the best solution. For
inverse optimal control theory, the method to find an
appropriate matrix P
C
is traditionally heuristic. In this paper
PSO algorithm is employed in order to found matrix P
C
and
get better trajectory tracking results.
II. DISCRETE TIME RHONO
A discrete-time RHONO [16] structure which estimates the
variables of the methanogenesis stage: biomass (X
2,k
, mol/L),
substrate (S
2,k
, mol/L) and inorganic carbon (IC
k
, mol/L) is
presented. The biomass is used in the TS supervisor controller
structure, and the substrate and the inorganic carbon are
estimated for comparison (with real measures) for future
researches. The observability property of this AD process is
analyzed in [17]. On Fig. 1, the proposed observer scheme is
displayed and its structure is shown in (1).














Fig. 1 Observer scheme














(1)

where k Z
+
= {0, 1, 2,}, w
ij
is the respective on-line
adapted weight vector; and are the estimated states;
S() is the sigmoid function defined as S(x)= tanh(x), g
mi
is
the Luenberger-like observer gain, D
in
(1/h) is the input
dilution rate, S
2in,k
(mol/L) is the input substrate, b
inc,k
(mol/L)
the bicarbonate supply and e
k
is the output error.
The gaseous phase CH
4
(mol/h) and CO
2
(mol/h) is
considered as the process output:




(2)
with
2,k
the growth rate (Haldane type) of X
2,k
(1/h), R
1
, R
2
,
R
3
are the yield coefficients and
k
is a pressure partial
coefficient for CO
2
defined as:


(3)

where CO
2d
(mol/L) is the dissolved carbon dioxide P
t
is
atmospheric pressure (atm) and K
h
is a gases Henry constant
(mol/L atm).
This neural observer is trained with an extended Kalman filter
(EKF)-based algorithm, using a parallel configuration [18]-
[19].

III. HYBRID INTELLIGENT CONTROL SCHEME
A. SG Inverse Optimal Control
The speed-gradient inverse optimal neural control is based
on the above described neural observer. The aim of the inverse
optimal neural control consist in design a stabilizing feedback
control law, based on an a priori known control Lyapunov
function (CLF) which ensure that the stabilizing control law
optimizes a cost functional [20]. Let consider the affine in the
input discrete-time nonlinear system:

(4)

where x
k
R
n
is the state of the system, u
k
R
m
is the control
input, f(x
k
) : R
n
R
n
and g(x
k
): R
n
R
nxm
are smooth
maps, k Z+ = {0, 1, 2,}. f(0) = 0 and rank {g(x)}=m
0.
k
x =
Reference [21] establishes the following cost functional
associated with system (4):

(5)

where z
k
= x
k
- x
,k
with x
,k
as the desired trajectory for x
k
; z
k

R
n
; V (z
k
) : R
n
R
+
; l(z
k
) : R
n
R
+
is a positive semidefinite
function and R
C
(z
k
) : R
n
R
mxm
is a real symmetric positive
definite weighting matrix. The cost functional (5) is a
performance measure [22]. The entries of R
C
(z
k
) can be
functions of the system state in order to vary the weighting on
control efforts according to the state value [21]. Considering
state feedback control, we assume that the full state x
k
is
available. Then (5) can be rewritten as





(6)

where we require the boundary condition V(0) = 0 so that V(z
k
)
becomes a Lyapunov function. In order to establish the
conditions that the optimal control law must satisfy, we define
the discrete-time Hamiltonian H(z
k
,u
k
) [23] as
2 2
2, 1 2, 2, 2,
11 12 13 14 ,
2
2,
15 , 1
2 2
2, 1 2, 2, 2,
21 22 23 24 ,
2
2,
25
,
k k k k k
in k
k
inc k m k
k k k k k
in k
k
X w S X w S X w S IC w S X D
w S X b g e
S w S S w S S w S IC w S S D
w S S
. . . . .
+
.
. . . . .
+
.
| | | | | | | |
= + + +
| | | |
\ . \ . \ . \ .
| |
+ +
|
\ .
| | | | | | | |
= + + +
| | | |
\ . \ . \ . \ .
| |
+

\ .
2 , 2
2 2
2, 1
31 32 33 34 ,
2
35 , 3
,
,
in k m k
k k k k k
in k
k
inc k m k
S g e
IC w S IC w S IC w S X w S IC D
w S IC b g e
. . . . .
+
.
+
|
| | | | | | | |
= + + +
| | | |
\ . \ . \ . \ .
| |
+ +
|
\ .
2 2 ,
. .
S X
.
IC
4
2
1 2 2, 2,
2 3 2, 2,

,
CH k k
CO k k
Y R R X
Y R R X

=
=
2
2
d
k
t h d
CO
PK CO
=

( ) ( )
1 k k k k
x f x g x u
+
= +
( ) ( ) ( ) ( )
T
k n n C n n
n k
V z l z u R z u

=
= +

( ) ( ) ( )
( ) ( ) ( )
( ) ( ) ( )
1
1
T
k k k C k k
T
n n C n n
n k
T
k k C k k k
V z l z u R z u
l z u R z u
l z u R z u V z

= +
+
= +
+ +
= + +

uk_Din,k, uk_bin,k
S1in, S2in
xk+1 xk
z
-1

yk = F(CH4, CO2)
gmi
Anaerobic system
RHONO
wi
T
zi(,)
k = F(CH4, CO2)

xk+1

xk
h

h

ek
F(,)
z
-1


(7)

A necessary condition that the optimal control law u
k

should satisfy is H/u
k
= 0, [22] which is equivalent to
calculate the gradient of (7) right-hand side with respect to u
k
,
then

(8)


(9)


(10)


Then, we propose a CLF,

[21] V(z
k
), such that control law
will be inverse optimal (globally) stabilizing along the desired
trajectory x
,k
. Hence, instead of solving (7) for V(z
k
), a
quadratic candidate CLF V(z
k
) for (4) is proposed with the
form:

(11)

Consequently, by considering V(z
k
), control law (10) takes
the following form:




(12)

It is worth to point out that P
k
and R
C
(z
k
) are positive
definite and symmetric matrices; thus, the existence of the
inverse in (12) is ensured. To calculate P
k
, which ensures
trajectory tracking of x
k
for system (4) with (12) along the
desired trajectory x
,k
, we use the speed-gradient (SG)
algorithm. Control law (12) at every time step depends on the
matrix P
k
. Let define this matrix as:

(13)

where P
C
= P
C
T
> 0 is a constant matrix calculate in heuristic
form and p
k
is a scalar parameter to be adjusted by the SG
algorithm [21]. Then, (12) is transformed into:




(14)

Considering a constant p
*
P
r
cR
+
. The SG control goal
for system (4) with (14) is defined as finding p
k
so that the SG
goal function Q
k
(p) [21] fulfills:

(15)
where

(16)

with ( )
1
'
2
T
sg k k k
V z z P z = and k* Z
+
is the time at which the
SG control goal is achieved.

The SG algorithm is now reformulated for the trajectory
tracking inverse optimal control problem. The dynamic
variation of parameter p
k
on (14) results in




(17)

which is positive for all time step k if p
0
> 0. Therefore
positiveness for p
k
is ensured and requirement P
k
= P
k
T
>0
for (11) is guaranteed. With the CLF as defined by (11) and
k
p p = ( p is a constant value when the SG goal is achieved),
the control law is inverse optimal in the sense that it
minimizes the cost functional (5) [21].
According to (13)-(14), the inverse optimal control law for
AD model (1) is formulated as








(18)

with

(19)

The tracking of a desired trajectory is based on the
separation principle for discrete-time nonlinear system [21],
[24].



B. Particle Swarm Optimization
For the PSO algorithm, each member of the population is
treated as a point in a D-dimensional space [15]. The ith
particle is represented as X
i
= (x
i1
, x
i2
, , x
iD
). The best
previous position of each particle is recorded and represented
as P
i
=(p
i1
, p
i2
, , p
iD
). The best particle among all the
particles (the global best position) is represented by p
gd
. The
rate of the position change, or velocity of particle i is
represented as V
i
= (v
i1
, v
i2
, , v
iD
). Then, the particles are
manipulated according to the following equation:

(20)

k k C
P p P =
( ) ( ) ( ) ( ) ( ) ( ) ( )
( ) ( ) ( ) ( )
1 ,
2
, 1 , 1
3
8
2
k k d k
T
T
k k C k C k k k k
T
C k k k C k
p p
f x x P g x R z g x f x x
R z p g x P g x
+
+ +
= +

+
o o

( ) ( ) ( )
( ) ( ) ( ) ( )
( ) ( ) ( )
( ) ( ) ( ) ( )
1
, 1 1 1, 1
1 1, 1 , 1
1
, 2 2 2, 2
2 2, 2 , 1
1 1
_
2 2

1 1
_
2 2

T
k in k C k k k k
T
k k k k k
T
k inc k C k k k k
T
k k k k k
u D R x g x P g x
g x P g x f x x
u b R x g x P g x
g x P g x f x x

+
| |
= +
|
\ .

| |
= +
|
\ .

o
o
( ) ( ) ( ) ( ) ( )
1
, .
T
k k k k C k k k k
H z u l z u R z u V z V z
+
= + +
( )
( )
( ) ( )
( )
1 1
1
1
1
2
2
k k
C k k
k k
k T
C k k k
k
V z z
R z u
u z
V z
R z u g x
z
+ +
+
+
+
c c
= +
c c
c
= +
c
( )
1
0
2
k
T T
c k k k k k
V z z P z P P = = >
( ) ( ) ( ) ( )
( ) ( )
1
*
, 1
1 1
2 2
.
T T
k C k k k k k
k k k
u R z g x P g x g x
P f x x
o

+
| |
= +
|
\ .

( ) ( ) ( )
( ) ( ) ( )
1
*
, 1
2 2
.
T k k
k C k k C k
T
k C k k
p p
u R z g x P g x
g x P f x x

+
| |
= +
|
\ .

o
( )
( )
1
0 2
k
C k k
k
V z
R z u
u
+
c
= +
c
( ) ( ) ,
k k
Q p z for k k
-
s A >
( ) ( ) ( )
1
T
k sg k k k k
k
z V z u R z u
p
A =
( ) ( )
1 1 2 id id id id gd id
v v c rand p x rand p x = + +
1, 1, 1
2, 2, 2
k k C
k k C
P p P
P p P
=
=
(21)

where c
1
and c
2
are two positive constants, rand
1
and rand
2
are
two random functions in the range [0, 1]. The performance of
each particle is measured according to a predefined fitness
function, which is related to the problem to be solved [25].
In this paper, the PSO algorithm is employed to find the
matrix P
C
for SG inverse optimal control. The algorithm
computes the matrix which minimizes the mean square
tracking error for the estimated biomass of X
2,k
with respect to
the given trajectory reference.

C. Fuzzy TS Supervisor for the Controller
A TS supervisor for the controller has two main tasks: i)
detect the process state, and ii) select the most adequate
control action allowing smooth switching (if required)
between them. The idea is to detect the attraction region where
the process is working; if any operating conditions cause the
process to move away from the operating domain, the
supervisor must determine and apply the control action which
allows the biomass to grow in order to avoid washout.
Besides, if a variation on the operation conditions can be
managed by the process itself, the supervisor must allow the
system to operate in open loop, which represents energy
saving. Organic daily load per biomass unit (ODL/X
2
) variable
is important regarding process stability [6], and it is proposed
for the fuzzy inference rules. ODL/X
2
represents the maximal
quantity of organic load that a biomass unit can treat during a
working day. The input disturbances can be classified by this
variable into small, average and large. For this reason, three
fuzzy sets are determined as shown in Fig. 2.










Fig. 2 ODL/X
2
fuzzyfication
Concerning the output fuzzy variables, three operation
regions for the process are identified: open loop, closed loop
with b
inc
action, and closed loop with D
in
action.
The TS algorithm is used to define the supervisor. From
empirical knowledge, each fuzzy set is associated with a
control action; then three fuzzy inference rules are deduced
(22-24):

If ODL/X
2
is LOW then u
1
= open loop (22)
If ODL/X
2
is AVERAGE then u
2
= u
k
_b
inc,k
action (23)
If ODL/X
2
is HIGH then u
3
= u
k
_D
in,k
action (24)

Defuzzification is done using the average center method
[15]:

(25)

with R the number of rules,
j
is known as the membership
function and is calculated as where is
the membership degree of variable ODL/X
2
on the fuzzy set, k
the k
st
fuzzy set of ODL/X
2
and
The ODL/X
2
is defined as:

(26)

where D
in,k
is the dilution rate (1/h), A
2
a disturbance
amplitude on the substrate input S
2in
(mol/L), S
20
the initial
value of the substrate S
2
and is the estimated biomass X
2

(mol/L). The structure of the TS supervisor controller is
shown on the Fig. 3.


















Fig. 3 TS supervisor control scheme
IV. SIMULATION RESULTS
The control strategy is applied to the AD process (1). Model
and observer validation are found in [10].
The proposed reference trajectories for inverse optimal
control are taken from a previous work [26] because they
represent an optimal dynamic behavior of the anaerobic
process for growth biomass and methane production in
presence of disturbances. The hybrid intelligent control
strategy performance is tested considering simulations close to
experimental conditions. The presented results correspond to
the experiment with the largest experimentation time.

Test 1. The proposed control strategy is tested introducing a
large disturbance of 150% on S
2in
, incepted at t=200 hours.
Matrixes P
C1
and P
C2
(19) for u
k
_D
in,k
and u
k
_b
inc,k

respectively, are selected heuristically such that system (1) to
be asymptotically stable along the desired trajectory x
,k
. The
selected matrixes are

{ }
1
1
R
j j
j
R
j
j
u
u

=
=
=

2
/
k
j ODL X
=
2
/
k
ODL X

2 , 2 20 2

/ /
in k
ODL X D A S X =
2

X
LOW AVERAGE HIGH
Open binc Din
Loop action action
C1=1.4 C2=1.7 C3=1.8 ODL/X2
1
1.
R
j
j

=
=

id id id
x x v = +
TS supervisor controller
Open
loop
Anaerobic process model
Inverse optimal
control
ek
Reference trajectory
Cost functional
,
_
k in k
u D

,
_
k inc k
u b

( ) ( ) ( ) ( )
T
k n n C n n
n k
V z l z u R z u

=
= +

x,k

( ) ( )
1 k k k k
x f x g x u
+
= +

Estimated
Biomass
2

X



(27)

Trajectories tracking for X
2,k
and YCH
4
are illustrated in
Fig. 4, where the continuous line is the reference trajectory
signal and the dotted line is the system output signal.




Fig. 4 Trajectory tracking















Fig. 5 PSO Hybrid intelligent inverse control scheme

Test 2. PSO algorithm is used in order to find the matrixes P
C1

and P
C2
for the control laws. Fig. 5 shows a block diagram
which represents the control scheme where PSO affects the
control law by means of the matrixes P
C1
and P
C2
. The output
matrixes of the PSO algorithm are:




(28)

which satisfy the positive definite condition for the control
law.
Simulation with the new matrixes is done for the same
conditions as the one in the previous test; the results are
illustrated in Figure 6.




Fig. 6 PSO Trajectory tracking


On Table I, a mean square error (MSE) comparison
between test 1 and test 2 is displayed.

TABLE I. MSE COMPARATIVE
Test MSE X
2,k
MSE YCH
4

Test 1 3.3712E-6 5.6277E-5
Test 2 1.0721E-7 2.0541E-6

For test 2, trajectory tracking is achieved with a smaller
MSE. Hence, the proposed control law based on PSO
algorithm shows a better performance.
1 2
23300 1112 2028 355 164 160
1112 422 310 164 669 492
2028 310 354 160 492 583
C C
P P
( (
( (
= =
( (
( (

1 2
28003.4 2505.2 2299.2 729.3 436.7 291.4
2502.2 499.6 401.7 436.7 729.3 629.8
2299.15 401.7 506.1 291.4 629.8 729.5
C C
P P
( (
( (
= =
( (
( (

Anaerobic process model
PC
Inverse optimal control
ek
Reference trajectory
Cost functional
,
_
k in k
u D

,
_
k inc k
u b

( ) ( )
1 k k k k
x f x g x u
+
= +

( ) ( ) ( ) ( )
T
k n n C n n
n k
V z l z u R z u

=
= +

x,k
PSO

In order to test this control scheme with a different
reference trajectories, it is used introducing a large disturbance
of 180% on S
2in
, incepted at t=200 hours.

Test 3. Matrixes P
C1
and P
C2
heuristically determined (27)
are selected. Fig. 7 illustrates trajectories tracking for X
2,k
and
YCH
4
.




Fig. 7 Trajectory tracking

Test 4. Matrixes P
C1
and P
C2
calculated with a PSO
algorithm are selected (28). Fig. 8 illustrates trajectories
tracking for X
2,k
and YCH
4
.




Fig. 8 PSO Trajectory tracking

On Table II, a MSE comparison between test 3 and test 4 is
presented.
TABLE II. MSE COMPARATIVE
Test MSE X
2,k
MSE YCH
4

Test 3 5.8601E-7 8.5370E-6
Test 4 1.30941E-7 2.1743E-6

MSE for this new disturbance is smaller for test 4 and a
better performance is illustrated in Fig. 8.

V. CONCLUSIONS
A Hybrid intelligent inverse optimal control for an
anaerobic wastewater treatment process is proposed in order to
produce methane and to avoid inhibition process. A nonlinear
discrete-time recurrent high order neural observer (RHONO)
is used to estimate the biomass concentration and substrate
degradation. Once this model is obtained, an inverse optimal
control law, based on it, is developed. A TS supervisor detects
biological activity inside the tank reactor, on the basis of
estimated biomass, and applies the adequate control action.
The goal is to force the system to track desired references;
simulation results illustrate control law performance before
and after PSO implementation. The PSO algorithm improves
convergence along the desired trajectory and methane
production reference is achieved in presence of disturbances.
This research will be pursued in order to evaluate the
application on real-time of the proposed scheme to an
anaerobic prototype process.

ACKNOWLEDGMENT
This work is supported by CONACyT projects 131678 and
105844.
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