PEG/PEC/04 Page 1 of 22 Rev 0

PREPARATION OF FOSTER WHEELER ENERGY LTD PEG/PEC/04
BATCH CONTROL PROCESS GUIDELINES PAGE 1 OF 22

SPECIFICATIONS PROCESS ENGINEERING REV 0
REVISION ORIG. REV 1 REV 2 REV 3 REV 4 REV 5

DATE NOV 97 JAN 03
ORIG.BY CPD CP DAVENPORT
APP.BY MH
CONTENTS
SECTION SUBJECT
1. PURPOSE
2. SCOPE
3. REFERENCES
4. GUIDELINES
4.1 Models and Terminology

4.2 Implementation
LRQA/PEGPEC04.PEG UNCONTROLLED COPY  FORSTER WHEELER ENERGY LTD

PEG/PEC/04 FOSTER WHEELER ENERGY LTD PREPARATION OF
PAGE 2 PROCESS GUIDELINES BATCH CONTROL
REV 0 PROCESS ENGINEERING SPECIFICATIONS
1. PURPOSE
The purpose of this guideline is to provide guidance in good practice for the
specification of batch control software.
2. SCOPE
The guideline is in two main sections. The first section summarises the models
and terminology that form the first part of the evolving batch control standards.
The second section provides guidance in the implementation of batch control
systems.
The guideline does not attempt to be exhaustive in its treatment of the subject, but
to provide a checklist of the important aspects. Complete explanations and further
information can be found in the references provided.
3. REFERENCES
1. ANSI/ISA-S88.01-1995, Batch Control, Part 1 : Models and Terminology
2. PEC/DTA/11-03, Specification of control logic
3. Process Std 510, Instrumentation, DCS's and PLC's
4. Fisher, TG., 1990, Batch Control Systems - Design, Application and

Implementation (ISA)
5. Sawyer, P., 1993, Computer-Controlled Batch Processing (Institution of

Chemical Engineers)
4. GUIDELINES
4.1 Models and Terminology
The models and terminology provide a common language for the definition of batch
control systems. They are summarised from Reference 1 which documents the
work done by the ISA SP88 committee. References 4 and 5 provide further
information on batch control.

BATCH CONTROL PROCESS GUIDELINES PAGE 3
4.1.1 Batch Process Model
A batch process can be organised in a hierarchical fashion as shown in Figure 1.
Process
consists of
ordered set
Process
Stage
consists of
ordered set
Process
Operation
consists of
ordered set
Process
FigureA1c t-i oProcess
n Model
Definition of the levels follow below:
1. Process Stage
A process stage is part of a process that usually operates independently

from other process stages. It usually results in a planned sequence of
chemical or physical changes in the material being processed. Typical
process stages might be 'polymerize', 'recover' or 'dry'.
2. Process Operation
A process operation is a major processing activity that usually results in a

chemical or physical change in the material being processed and that is
defined without consideration of the actual target equipment configuration.
Typical process operations might be 'prepare reactor', 'charge' or 'react;.
3. Process Action
Process actions describe minor processing activities that are combined to

make up a process operation. Typical process actions might be 'add',
'heat' or 'hold'.
4.1.2 Physical Model
The physical assets of an enterprise involved in batch manufacturing are usually

organised in a hierarchical fashion as described in Figure 2. The top three levels
(enterprise site and area) are frequently defined by business considerations and are
not modelled further.
May contain
Enterprise
May
contain
May contain
Site
May
contain
May contain
Area
May contain
Process
Cell
Must contain
Unit
May contain
Equipment
Module May
contain
Figure 2 - Physical Model
May contain
Control
Module May
contain

Definitions for the levels follow below:
1. Enterprise Level
An enterprise is an organisation that coordinates the operation of one or

more sites.
2. Site Level
A site is a physical, geographical or logical grouping determined by the

enterprise.
3. Area Level
An area is a physical, geographical or logical grouping determined by the

site.
4. Process Cell Level
A process cell is a logical grouping of equipment, which includes the

equipment required for the production of one or more batches.
Process cells can be classified in terms of manufactured products or

physical structure. Thus a process cell can be described as single product
or multi-product. In terms of physical structure it can be described as
having a single path, a multiple path or a network structure.
5. Unit Level
A unit is a collection of associated control modules and/or equipment

modules that can carry out one or more major processing activities such as
react, crystallize, make a solution, etc. Units are presumed to operate on
only one batch at a time. However it may contain or operate on only a
portion of a batch.
6. Equipment Module
An equipment module is a functional group of subordinate equipment

modules and/or control modules that can carry out a finite number of
specific processing activities such as dosing or weighing. It is usually
centred on a piece of processing equipment, such as filter.
7. Control Module Level
A control module is typically a collection of sensors, actuators, other control

modules, and associated processing equipment that, from the point of view
of control, is operated as a single entity. For example, a header control
module could be defined as a combination of several on/off automatic block
valve control modules.
4.1.3 Batch Control Structure

This section describes the three types of control (basic, procedural, coordination)
typically needed in batch manufacturing.
1. Basic Control
Basic control comprises the control dedicated to establishing and

maintaining a specific state of equipment and process. Basic control:
- includes regulatory control, interlocking, monitoring, exception
handling and repetitive discrete or sequential control
- may respond to process conditions that could influence the control

outputs or trigger corrective actions
- may be activated, deactivated or modified by operator commands or

by procedural or coordination control
2. Procedural Control
Procedural control directs equipment orientated actions to take place in an

ordered sequence that can carry out a process orientated task.
Procedural elements are combined in a hierarchical manner as shown in

Figure 3, which is described below:
Procedure
consists of
ordered set
Unit
Procedure
consists of
ordered set
Operation
Figure 3 - Procedural Control Model

a) Procedure
consists of
The procedure defines the strategy for
ordered set
accomplishing a major processing

Phase
action such as making a batch. In general,
it refers to the strategy for making a batch
within a process cell. An example of a procedure is "Make PVC".

b) Unit Procedure
A unit procedure consists of an ordered set of operations that cause

a contiguous production sequence to take place within a unit.
Multiple unit procedures of one procedure may run concurrently,
each in different units.
c) Operation
An operation is an ordered set of phases that define a major

processing sequence that takes the material being processed from
one state to another, usually involving a chemical or physical
change. Only one operation may be active in a unit at a time. An
operation is carried to completion in a single unit, Examples of
operators are preparation, charge and react, etc.
d) Phase
The smallest element of procedural control that can accomplish a

process orientated task is a phase. A phase may be subdivided in
terms of steps and transitions. Examples of phases are 'add
catalyst', 'heat', etc.
3. Coordination Control
Coordination control directs, initiates, and/or modifies the execution of

procedural control and the utilization of equipment entities (see Section
4.4).
4.1.4 Equipment Entities
Equipment entities are formed by the addition of control functionality to the bottom
four levels of the physical model (see Figure 2). This addition is achieved in Figure
4 by mapping the procedural control model to the physical equipment model to
achieve the functionality of the process model. The resultant four equipment
entities are: process cells, units, equipment modules and control modules

The concept of equipment capabilities and usage of these capabilities to accomplish

processing tasks is important. The procedural control capability of equipment
entities is the mechanism that enables this. The procedural control may be entirely
defined as part of the equipment entity - or it may be based on procedural
information passed on to the equipment entity from the recipe.
The control functionality possible in the different equipment entities can be basic,
procedural or coordination in type.
Procedural Physical
Control Model (Lower Process
Model Four Levels) Model
Resulting
Procedural
Equipment Process
Elements provides process Functionality
combined functionality
with a to carry out a
Process
Procedure(s) Process
Cell(s)
provides process
Unit Process
Unit(s)
Procedure(s) Stage
provides process
Process
Operation(s) Unit(s)
Operation
combined provides process

with a functionality
Phase(s) Unit(s) to carry out a
Process
combined Action
with an
Equipment
Phase(s)
Module(s) provides process
functionality
to carry out a
Figure 4 - Procedural Control/ Equipment Mapping to Achieve Process Functionality

4.1.5 Recipe Types
A recipe is an entity that contains the minimum set of information that uniquely
defines the manufacturing requirements for a specific product.
Four types of recipe typically found in an enterprise are shown in Figure 5.
includes Product-specific
General Recipe
processing information
May be
transformed into
includes
Site Recipe Site-specific information
May be
transformed into
includes Process Cell - specific

Master Recipe
information
is the
basis for
Batch ID,batch size,in process
includes
Control Recipe operator and/or system
generated information
Figure 5 - Recipe Types
4.1.6 Recipe Contents
Recipe information consists of headers, formula, equipment requirements,

procedures and other information.
1. Header
The administrative information in the recipe is referred to as the header.
2. Formula
The formula includes process inputs (raw material and resource data),
process parameters (eg. temperature, pressure, time , etc) and process
outputs (product and by-product data).
3. Equipment Requirements

Equipment requirements constrain the choice of the equipment that will

eventually be used to implement part of the procedure.
4. Recipe Procedure
The recipe procedure defines the strategy for accomplishing a process. The
general and site recipe procedures are structured using the levels described
in the process model since these levels allow the process to be described in
non-equipment specific terms (see Figure 6). The master and control recipe
procedures are structured using the procedural elements of the procedural
control model, since these procedural elements have a relationship to
equipment (see Figure 8).
General Recipe Recipe

Procedure Procedure
is an ordered may be an
set of ordered set of
General Recipe Recipe Unit

Process Stage Procedure
General Recipe
Process Recipe
Operation Operation
G General Recipe Recipe

en Process Action Phase
er
al Recipe Procedure Master Recipe Procedure
Figure 6 - General and Master Recipe Procedures

5. Other Information
Other information could include information on safety, batch reports,

packaging, analysis, etc.
4.1.7 Control Recipe Procedure/Equipment Control Separation
Figure 7 shows the separation between the control recipe procedure and equipment
control. The control recipe procedure must contain at least one procedural element
which is the recipe procedure. Equipment control must also contain at least one
procedural element that provides the linkage needed to operate the physical
equipment. For the example shown in Figure 7, this is assumed to be the
equipment phase.
The procedural elements shown in the centre of Figure 7 are those that are part of
the procedural control model. These procedural elements may exist as part of
either the control recipe procedure or equipment control, as long as the control
recipe procedure and equipment control each contain at least one procedural
element. Also, as with other models, the procedural control model is collapsible, ie
levels may be left out for a specific application.
Figure 7 - Control Recipe Procedures/Equipment Control Separation
Control Recipe Equipment Control

Procedure
Recipe
Procedure
Procedure
[Must always exist]

consists of
ordered set
Unit
Procedure
consists of
ordered set
Operation
consists of
ordered set
Equipment
Phase
Phase

4.1.8 Product Information
Information needs to be collected and made available to various levels of the

enterprise.
Product information may be batch specific or it may be common to several or all of

the batches produced.
All recorded information pertaining to a batch is referred to as the batch history. In

many regulated industries, the record of the batch history is as important as the
product itself.
The extraction of data related to one or more batches is called a batch report. The
extraction and ordering of the data in a report may vary based on the intended
recipient of the batch report.
4.1.9 Allocation and Arbitration
Resources such as equipment are assigned to a batch or a unit as they are needed
to complete or to continue required processing. Allocation is a form of
coordination control that makes these assignments. When more than one
candidate for allocation exists a selection algorithm will be used as a basis for
choosing the resource. When more than one request for a single resource is made,
arbitration is needed to determine which requester will be granted the resource.
4.1.10 Modes and States
In the preceding sections, models describing equipment entities and procedural

elements have been defined. In these models, transitions for procedural elements
and for equipment entities occur within each hierarchical level. Modes specify the
manner in which these transitions take place; states specify their current status.
1. Modes
A mode determines how equipment entities and procedural elements

respond to commands and how they operate. Table 1 lists possible
behaviours and commands associated with three example modes.

Table 1 - Possible Implementations of Example Modes
Mode Behaviour Command

Automatic The transitions within a Operators may pause the
(Procedural) procedure are carried out progression, but may not force
without interruption as transitions.
appropriate conditions are met.
Automatic Equipment entities are The equipment cannot be
(Basic Control) manipulated by their control manipulated directly by the
algorithm operator
Semi-automatic Transitions within a procedure Operators may pause the
(Procedural Only) are carried out on manual progression or re-direct the
commands as appropriate execution to an appropriate
conditions are fulfilled point. Transitions may not be
forced.
Manual The sequential functions within Operators may pause the
(Procedural) a procedure are executed in the progression or force transitions.
order specified by an operator
Manual Equipment entities are not Equipment entities may be
(Basic Control) manipulated by their control manipulated directly by the
algorithm operator
2. States
The state completely specifies the current condition of equipment entities or

procedural elements.
Examples of states for procedural elements include: idle, running, complete,

pausing, paused, holding, held, restarting, stopping, stopped, aborting,
aborted.
Examples of states for equipment entities include : on, off, closed, open,
failed, travelling, tripped, 35% open and available.
Equipment entities and procedural elements may change state. This change
can occur if the conditional logic requirements for the change are met by
internal logic or by an external command such as one generated by another
procedural element or by an operator. Examples of commands applicable to
procedural elements are start, stop, hold, restart, abort, reset, pause,
resume.
The relationship between commands and states can be specified by means

of a state transition matrix or a state transition diagram (see reference 1).
4.1.11 Control Activity Model
The Control Activity Model in Figure 8 provides an overall perspective of batch

control and shows the main relationships between the various control activities.
These relationships are achieved via information flow between the control activities.
Features of this information flow should include:
- interfaces to other information sources

- security of access
- availability and recoverability
- regular archiving
- change management
Figure 8 - Control Activity Model
The Control Activity Model is dealt with in detail in Reference 1. In particular it is

decomposed into further diagrams showing Recipe Management (see Figure 9),
Process Management (see Figure 10), Unit Supervision (see Figure 11) and
Process Control (see Figure 12).
Production
Recipe Planning and Production
Scheduling Information
Management
Management
Process
Management
Unit
Supervision
Process
Control
Outside the scope of

Personnel and batch control standards
Environmental
Protection

Figure 9 - Recipe Management
Manage Define General

Unit General Recipe
Recipe Procedural
General Recipe
Supervision Procedural Element Element
General
Recipe
General Recipe
Procedural Element
Manage Site
Recipe
General
Recipe
Procedural
Site Element
Recipe Information
Master Recipe Define Master

Manage Master Recipe Procedural
Recipe Procedural Element Element
Master Recipe
Information
Process
Management

Production Production
Recipe Management Planning and Information
Scheduling Management
Batch Batch Progress and Batch and Process

Master Recipe Process Cell Status
Scheduling Cell Information
Information Information Information
Manage Process
Cell Resources
Batch and
Resource Process Cell
Information Information
Collect Batch and

Manage Batches Batch Process Cell
Information
Information
Commands and Status

Information
Unit
Recipes,Commands,
and Batch and Status
Information Unit
Manage Batches
Supervision
Figure 10 - Process Management

Process Production
Management Information
Management
Unit recipes, Batch and Unit

Commands and Information
Status Information
Manage Unit
Resources
Batch and
Resource Unit
Information Information
Collect Batch and

Acquire and Execute Batch Unit Information
Procedural Elements Information
Commands and Status

Information
Commands and Status

Information
Process
Manage Batches
Control
Figure 11 - Unit Supervision

Production
Unit Information
Supervision Management
Commands and Data

Commands and
Status Information Status Information
Execute Collect
Data Data
Phases
Commands
and Status Data
Information
Execute Basic
Control
Commands and Status

Information
Commands and Status

Information Personnel and
Environmental
Manage Batches
Protection
Figure 12 - Process Control

4.2 Implementation
This section provides further information and advice for applying the models and
terminology introduced in Section 4.1.
4.2.1 Process and Control Engineering
In order for required processing functions to be properly carried out in a batch

manufacturing environment, the equipment structure needed, the process
functionality, and the exception handling for that equipment have to be fully
developed. This requires a coordinated engineering effort that continues from initial
definition through the life of the batch processing facility. This section describes
the process and control engineering needed for the design of the controls needed
to support the recipe hierarchy, the definition of equipment capability, and the
development of the functionality required in the procedures to produce a batch.
Process and control engineering is needed at the general and site recipe levels to
describe procedures, process stages, and process actions and at the master recipe
level to describe procedures, unit procedures, operations, and phases.
Process and control engineering also includes the development and revision of the
phases that are used in the Recipe Management control activity to define the
recipe. As far as possible, equipment phases should be designed such that any
reasonable functionality of a unit can be expressed in terms of equipment phases.
They should generally not be tailored to a set of known recipes. Then, new
recipes can in most cases be written by referencing existing equipment phases.
The development and revision of phases is an ongoing activity that provides
ongoing support to the batch manufacturing facilities. This activity is the result of
the ongoing drive for continuous improvement and the periodic addition of new
process technology.
The precise definition of appropriate procedural elements and equipment entities is

an iterative process. The dual work process is illustrated in Figure 13.
Considerations affecting one design process also affect the other. Processing
considerations are the primary input to the definition (or selection) of procedural
elements that will characterise functionality for associated equipment entities.
Since the functionality defined will be affected by the equipment used, equipment
considerations must be a secondary input. In the same way, equipment
considerations form the primary input and processing considerations the secondary
input when making the definition (or selection of equipment entities.

Processing Equipment
Considerations Considerations
Define/Select Define/Select
Procedural Elements Equipment Elements
to Match to Match
Equipment Entities Procedural Entities
Specific Scheduling/
Product Recipe Path Arbitration
Requirements Constraints
Manufacture
of Batch
Figure 13 - Simultaneous Definition/Selection of Procedural Elements

and Equipment Entities
Recipes can be constructed using these procedural elements and specific product
information. The equipment entities are arranged into a path that is determined by
scheduling and taking into account arbitration constraints. The combination of the
results of these activities provides a framework within which a batch of material
can be manufactured.
4.2.2 Definition of Equipment Entities
Fundamental to a successful batch control implementation is the definition of

equipment entities. Part of this definition should include the numbering of
equipment and instrumentation in a manner consistent with the entities and their
boundaries. As from section 4.2.1 it can be seen that processing considerations
need to be taken into account in defining entities they must also be taken into
account when numbering the plant
.
Part of the definition of entities should include state transition models.
4.2.3 Implementation of Procedural Control

Each procedural level has a number of recommended formats for use in describing
procedural elements as shown in Table 2. The selection of the most appropriate
format will depend on such factors as control complexity and concurrency, the
method of software implementation and client preference.
Procedural Possible Formats References

Level (see Section 3)
Procedure List 1
Gantt-Chart 1
Flow Chart 3 (App. 4.1)
Unit Procedure List 1

Gantt Chart 1
Operation List 1
Sequential Function Chart 1
Phase Structured English 1, 2, 3 (App. 4.1)

Flow Chart 2
Sequential Function Chart 2
Functional Blocks 2
Table 2 - Possible Procedure Formats
An event which occurs outside the normal or desired behaviour of batch control is
commonly called an exception. The methods of handling exceptions should be
defined early in project. Of particular importance is the consideration of the actions
to be taken on power failure and then on its later restoration.
Ideally it should be possible to define procedural control without regard to the

software implementation. Unfortunately batch control systems differ from each
other quite considerably and it is necessary to have specific system knowledge in
order to specify procedural elements particularly at the lower levels.

4.2.4 Minimising Development Risks
The control aspects are often finalised late in a project after the equipment design
has been completed. Subsequently, if the control is complex, such as is the case
with full batch control, the control system is often on the critical path.
Measures that can be taken to diminish the risks associated with late delivery of
the system are:
a) Configure the system so that limited automation facilities such as unit

procedures are available for operator to use prior to full recipe control.
b) Ensure that a development system is available for development and testing

enabling the main system to be shipped to site for loop checking.

PEG/PEC/04 Page 1 of 22 Rev 0

Uploaded by

Copyright:

Available Formats

PEG/PEC/04 Page 1 of 22 Rev 0

Uploaded by

Document Information

Original Description:

Original Title

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

PEG/PEC/04 Page 1 of 22 Rev 0

Uploaded by

Copyright:

Available Formats

PREPARATION OF FOSTER WHEELER ENERGY LTD PEG/PEC/04

BATCH CONTROL PROCESS GUIDELINES PAGE 1 OF 22

REVISION ORIG. REV 1 REV 2 REV 3 REV 4 REV 5

4.1 Models and Terminology

LRQA/PEGPEC04.PEG UNCONTROLLED COPY  FORSTER WHEELER ENERGY LTD

1. ANSI/ISA-S88.01-1995, Batch Control, Part 1 : Models and Terminology

2. PEC/DTA/11-03, Specification of control logic

3. Process Std 510, Instrumentation, DCS's and PLC's

4. Fisher, TG., 1990, Batch Control Systems - Design, Application and

5. Sawyer, P., 1993, Computer-Controlled Batch Processing (Institution of

4.1 Models and Terminology

LRQA/PEGPEC04.PEG UNCONTROLLED COPY  FORSTER WHEELER ENERGY LTD

4.1.1 Batch Process Model

A batch process can be organised in a hierarchical fashion as shown in Figure 1.

Definition of the levels follow below:

A process stage is part of a process that usually operates independently

A process operation is a major processing activity that usually results in a

Process actions describe minor processing activities that are combined to

The physical assets of an enterprise involved in batch manufacturing are usually

not modelled further.

Figure 2 - Physical Model

LRQA/PEGPEC04.PEG UNCONTROLLED COPY  FORSTER WHEELER ENERGY LTD

Definitions for the levels follow below:

An enterprise is an organisation that coordinates the operation of one or

A site is a physical, geographical or logical grouping determined by the

An area is a physical, geographical or logical grouping determined by the

4. Process Cell Level

A process cell is a logical grouping of equipment, which includes the

Process cells can be classified in terms of manufactured products or

A unit is a collection of associated control modules and/or equipment

An equipment module is a functional group of subordinate equipment

7. Control Module Level

A control module is typically a collection of sensors, actuators, other control

4.1.3 Batch Control Structure

LRQA/PEGPEC04.PEG UNCONTROLLED COPY  FORSTER WHEELER ENERGY LTD

Basic control comprises the control dedicated to establishing and

- may respond to process conditions that could influence the control

- may be activated, deactivated or modified by operator commands or

Procedural control directs equipment orientated actions to take place in an

Procedural elements are combined in a hierarchical manner as shown in

Figure 3 - Procedural Control Model

accomplishing a major processing

LRQA/PEGPEC04.PEG UNCONTROLLED COPY  FORSTER WHEELER ENERGY LTD

A unit procedure consists of an ordered set of operations that cause

An operation is an ordered set of phases that define a major

The smallest element of procedural control that can accomplish a

Coordination control directs, initiates, and/or modifies the execution of

4.1.4 Equipment Entities

LRQA/PEGPEC04.PEG UNCONTROLLED COPY  FORSTER WHEELER ENERGY LTD

The concept of equipment capabilities and usage of these capabilities to accomplish

combined provides process

Figure 4 - Procedural Control/ Equipment Mapping to Achieve Process Functionality

LRQA/PEGPEC04.PEG UNCONTROLLED COPY  FORSTER WHEELER ENERGY LTD

4.1.5 Recipe Types

Four types of recipe typically found in an enterprise are shown in Figure 5.

includes Process Cell - specific

Figure 5 - Recipe Types

4.1.6 Recipe Contents